Rangeland Research Grants Program; Administrative Provisions

SUMMARY: The Cooperative State Research, Education, and Extension

Service (CSREES) proposes to amend its regulations relating to the

administration of the Rangeland Research Grants Program, which

prescribe the procedures to be followed annually in the solicitation of

rangeland research grant proposals, the evaluation of such proposals,

and the award of rangeland research grants under this program. This

proposed amendment: Implements the requirements of the National

Environmental Policy Act as outlined in Sec. 3401.6(c)(16), revises the

objectives of the program as stated in Sec. 3401.17(a), changes the

agency name to reflect the Departmental Reorganization, and makes a few

additional minor changes. CSREES is publishing these regulations in

their entirety to enhance their use by the public and to ensure

expeditious submission and processing of grant proposals.

DATES: Comments are invited from interested individuals and

organizations. To be considered in the formulation of the final rule

all relevant material must be received on or before November 27, 1995.

ADDRESSES: Comments should be sent to Louise Ebaugh, Director, Awards

Management Division, Competitive Research Grants and Awards Management,

Cooperative State Research, Education, and Extension Service, United

States Department of Agriculture, AG Box 2245, Room 322, Aerospace

Center, Washington, DC 20250-2245.

FOR FURTHER INFORMATION CONTACT:

Louise Ebaugh at (202) 401-5024.

SUPPLEMENTARY INFORMATION:

Paperwork Reduction

The Office of Management and Budget has previously approved the

information collection requirements contained in the current

regulations at 7 CFR part 3401 under the provisions of 44 U.S.C.

Chapter 35 and OMB Document No. 0524-0022 has been assigned. Public

reporting burden for the information collections contained in these

regulations is estimated to vary from \1/2\ hour to 3 hours per

response, including the time for reviewing instructions, searching

existing data sources, gathering and maintaining the data needed, and

completing and reviewing the collection of information. Send comments

regarding this burden estimate or any other aspect of this collection

of information, including suggestions for reducing this burden, to

Department of Agriculture, Clearance Officer, OIRM, Room 404-W,

Washington, DC 20250; and to the Office of Management and Budget,

Paperwork Reduction Project (OMB Document No. 0524-0022), Washington,

DC 20503.

Classification

This rule has been reviewed under Executive Order 12866, and it has

been determined that it is not a ``significant regulatory action'' rule

because it will not have an annual effect on the economy of $100

million or more or adversely and materially affect a sector of the

economy, productivity, competition, jobs, the environment, public

health or safety, or State, local, or tribal governments or

communities. This proposed rule will not create any serious

inconsistencies or otherwise interfere with any actions taken or

planned by another agency. It will not materially alter the budgetary

impact of entitlements, grants, user fees or loan programs and does not

raise novel legal or policy issues arising out of legal mandates, the

President's priorities, or principles set forth in Executive Order No.

12866.

Executive Order No. 12778

The following information is given in compliance with Executive

Order No. 12778. All State and local laws and regulations that are in

conflict with this rule are preempted. No retroactive effect is to be

given to this rule. This rule does not require administrative

proceedings before parties may file suit in court.

Executive Order No. 12612

This proposed rule has been reviewed under Executive Order No.

12612 pertaining to Federalism. While this proposed rule will affect

institutions of higher education and other nonprofit organizations, it

will do so only to the extent of requiring that applicants and grantees

comply with existing laws, regulations, public policies, and the

dictates of good management to ensure the safeguarding of public funds.

For this reason, CSREES has determined that this proposed rule will not

have sufficient Federalism implications to warrant the preparation of a

Federalism Assessment.

Regulatory Flexibility Act

The Department certifies that this proposed rule will not have a

significant impact on a substantial number of small entities as defined

in the Regulatory Flexibility Act, Pub. L. No. 96-534 (5 U.S.C. 601 et

seq).

Regulatory Analysis

Not required for this rulemaking.

Environmental Impact Statement

This proposed regulation does not significantly affect the

environment. Therefore, an environmental impact statement is not

required under the National Environmental Policy Act of 1969, as

amended. (42 U.S.C. 4321 et seq.)

Catalog of Federal Domestic Assistance

The Rangeland Research Grants Program is listed in the Catalog of

Federal Domestic Assistance under No. 10.200. For reasons set forth in

the Final Rule-related Notice to 7 CFR part 3015, subpart V (48 FR

29115, June 24, 1983), this program is excluded from the scope of

Executive Order 12372 which requires intergovernmental consultation

with State and local officials.

Background and Purpose

Under the authority of section 1480 of the National Agricultural

Research, Extension, and Teaching Policy Act of 1977, as amended, the

Secretary of Agriculture is authorized to make grants to land-grant

colleges and universities, State agricultural experiment stations, and

colleges, universities, and Federal laboratories having a demonstrable

capacity in rangeland research, as determined by the Secretary, to

carry out rangeland research. 76 CFR 2.107(a)(21) delegates this

authority to the Administrator of CSREES. On April 23, 1993, the

Rangeland Research Program regulations, 7 CFR part 3401, were formally

set out and published in the Federal Register. CSREES now proposes to

amend the administrative regulations governing the Rangeland Research

Grant Program authorized by section 1480 in order to implement the

requirements of the National Environmental Policy Act in

Sec. 3401.6(c)(16), revise the program objectives in Sec. 3401.17,

change the Agency name from the Cooperative State Research Service to

the Cooperative State Research, Education, and Extension Service, and

make a few minor changes.

[[Page 55161]]

List of Subjects in 7 CFR Part 3401

Grant programs--agriculture, Grants administration.

For the reasons set out in the preamble, title 7, subtitle B,

chapter XXXIV, part 3401 of the Code of Federal Regulations, is

proposed to be revised to read as follows:

CHAPTER XXXIV--COOPERATIVE STATE RESEARCH, EDUCATION, AND EXTENSION

SERVICE, DEPARTMENT OF AGRICULTURE

PART 3401--RANGELAND RESEARCH GRANTS PROGRAM

Subpart A--General

Sec.

3401.1 Applicability of regulations of this part.

3401.2 Definitions.

3401.3 Eligibility requirements.

3401.4 Matching funds requirement.

3401.5 Indirect costs and tuition remission costs.

3401.6 How to apply for a grant.

3401.7 Evaluation and disposition of applications.

3401.8 Grant awards.

3401.9 Use of funds; changes.

3401.10 Other Federal statutes and regulations that apply.

3401.11 Other conditions.

Subpart B--Scientific Peer Review of Research Applications for Funding

3401.12 Establishment and operation of peer review groups.

3401.13 Composition of peer review groups.

3401.14 Conflicts of interest.

3401.15 Availability of information.

3401.16 Proposal review.

3401.17 Review criteria.

Authority: Section 1470 of the National Agricultural Research,

Extension and Teaching Policy Act of 1977 (7 U.S.C. 3316).

Subpart A--General

Sec. 3401.1 Applicability of regulations of this part.

(a) The regulations of this part apply to rangeland research grants

awarded under the authority of section 1480 of the National

Agricultural Research, Extension, and Teaching Policy Act of 1977, as

amended (7 U.S.C. 3333) to land-grant colleges and universities, State

agricultural experiment stations, and colleges, universities, and

Federal laboratories having a demonstrable capacity in rangeland, as

determined by the Secretary, to carry out rangeland research. The

Administrator of the Cooperative State Research, Education, and

Extension Service (CSREES) shall determine and announce, through

publication each year of a Notice in the Federal Register, professional

trade journals, agency or program handbooks, the Catalog of Federal

Domestic Assistance or any other appropriate means, research program

areas for which proposals will be solicited, to the extent that funds

are available.

(b) The regulations of this part do not apply to research grants

awarded by the Department of Agriculture under any other authority.

Sec. 3401.2 Definitions.

As used in this part:

(a) Administrator means the Administrator of CSREES and any other

officer or employee of the Department of Agriculture to whom the

authority involved may be delegated.

(b) Department means the Department of Agriculture.

(c) Principal investigator means a single individual designated by

the grantee in the application for funding and approved by the

Administrator who is responsible for the scientific and technical

direction of the project.

(d) Grantee means the entity designated in the grant award document

as the responsible legal entity to whom a grant is awarded under this

Part.

(e) Research project grant means the award by the Administrator of

funds to a grantee to assist in meeting the costs of conducting, for

the benefit of the public, an identified project which is intended and

designed to establish, discover, elucidate, or confirm information or

the underlying mechanisms relating to a research program area

identified in the annual solicitation of applications.

(f) Project means the particular activity within the scope of one

or more of the research program areas identified in the annual

solicitation of applications, which is supported by a grant award under

this part.

(g) Project period means the total length of time that is approved

by the Administrator for conducting the research project as outlined in

an approved application for funding.

(h) Budget period means the interval of time (usually 12 months)

into which the project period is divided for budgetary and reporting

purposes.

(i) Awarding official means the Administrator and any other officer

or employee of the Department to whom the authority to issue or modify

research project grant instruments has been delegated.

(j) Peer review group means an assembled group of experts or

consultants qualified by training or experience in particular

scientific or technical fields to give expert advice, in accordance

with the provisions of this part, on the scientific and technical merit

of applications for funding in those fields.

(k) Ad hoc reviewers means experts or consultants qualified by

training or experience in particular scientific or technical fields to

render special expert advice, whose written evaluations of applications

for funding are designed to complement the expertise of the peer review

group, in accordance with the provisions of this part, on the

scientific or technical merit of Applications for Funding in those

fields.

(l) Research means any systematic study directed toward new or

fuller knowledge and understanding of the subject studied.

(m) Methodology means the project approach to be followed and the

resources needed to carry out the project.

Sec. 3401.3 Eligibility requirements.

(a) Except where otherwise prohibited by law, any land-grant

college and university, State agricultural experiment station, and

college, university, and Federal laboratory have a demonstrable

capacity in rangeland research, as determined by the Secretary, shall

be eligible to apply for and to receive a project grant under this

part, provided that the applicant qualifies as a responsible grantee

under the criteria set forth in paragraph (b) of this section.

(b) To qualify as responsible, an applicant must meet the following

standards as they relate to a particular project:

(1) Have adequate financial resources for performance, the

necessary experience, organizational and technical qualifications, and

facilities, or a firm commitment, arrangement, or ability to obtain

such (including proposed subagreements);

(2) Be able to comply with the proposed or required completion

schedule for the project;

(3) Have a satisfactory record of integrity, judgment, and

performance, including, in particular, any prior performance under

grants and contracts from the Federal government;

(4) Have an adequate financial management system and audit

procedure which provide efficient and effective accountability and

control of all property, funds, and other assets; and

(5) Be otherwise qualified and eligible to receive a research

project grant under applicable laws and regulations.

(c) Any applicant who is determined to be not responsible will be

notified in writing of such findings and the basis therefor.

Sec. 3401.4 Matching funds requirement.

In accordance with section 1480 of the National Agricultural

Research,

[[Page 55162]]

Extension, and Teaching Policy Act of 1977, as amended (7 U.S.C. 3333),

except in the case of Federal laboratories, each grant recipient must

match the Federal funds expended on a research project based on a

formula of 50 percent Federal and 50 percent non-Federal funding.

Sec. 3401.5 Indirect costs and tuition remission costs.

Pursuant to section 1473 of the National Agricultural Research,

Extension, and Teaching Policy Act of 1977, as amended (7 U.S.C. 3319),

funds made available under this program to recipients other than

Federal laboratories shall not be subject to reduction for indirect

costs or tuition remission costs. Since indirect costs and tuition

remission costs, except in the case of Federal laboratories, are not

allowable costs for purposes of this program, such costs may not be

used to satisfy the matching requirement set forth in Sec. 3401.4.

Sec. 3401.6 How to apply for a grant.

(a) General. After consultation with the Rangeland Research

Advisory Board, established pursuant to section 1482 of the National

Agricultural Research, Extension, and Teaching Policy Act of 1977, as

amended (7 U.S.C. 3335), a request for proposals will be prepared and

announced through publications such as the Federal Register,

professional trade journals, agency or program handbooks, the Catalog

of Federal Domestic Assistance, or any other appropriate means of

solicitation, as early as practicable each fiscal year. It will contain

information sufficient to enable all eligible applicants to prepare

rangeland research grant proposals and will be as complete as possible

with respect to:

(1) Descriptions of specific research program areas which the

Department proposes to support during the fiscal year involved,

including anticipated funds to be awarded;

(2) Deadline dates for having proposal packages postmarked;

(3) Name and address where proposals should be mailed;

(4) Number of copies to be submitted;

(5) Forms required to be used when submitting proposals; and

(6) Special requirements.

(b) Application kit. An Application Kit will be made available to

any potential grant applicant who requests a copy. This kit contains

required forms, certifications, and instructions applicable to the

submission of grant proposals.

(c) Format for research grant proposals. Unless otherwise stated in

the specific program solicitation, the following format applies:

(1) Application for funding. All research grant proposals submitted

by eligible applicants should contain an Application for Funding form,

which must be signed by the proposing principal investigator(s) and

endorsed by the cognizant authorized organizational representative who

possesses the necessary authority to commit the applicant's time and

other relevant resources.

(2) Title of project. The title of the project must be brief (80-

character maxim), yet represent the major thrust of the research. This

title will be used to provide information to the Congress and other

interested parties who may be unfamiliar with scientific terms;

therefore, highly technical words or phraseology should be avoided

where possible. In addition, phrases such as ``investigation of'' or

``research on'' should not be used.

(3) Objectives. Clear, concise, complete, enumerated, and logically

arranged statement(s) of the specific aims of the research must be

included in all proposals.

(4) Procedures. The procedures or methodology to be applied to the

proposed research plan should be stated explicitly. This section should

include but not necessarily be limited to:

(i) A description of the proposed investigations and/or experiments

in the sequence in which it is planned to carry them out;

(ii) Techniques to be employed, including their feasibility;

(iii) Kinds of results expected;

(iv) Means by which data will be analyzed or interpreted;

(v) Pitfalls which might be encountered; and

(vi) Limitations to proposed procedures.

(5) Justification. This section of the grant proposal should

describe:

(i) The importance of the problem to the needs of the Department

and to the Nation, including estimates of the magnitude of the problem;

(ii) The importance of starting the work during the current fiscal

year; and

(iii) Reasons for having the work performed by the proposing

organization.

(6) Literature review. A summary of pertinent publications with

emphasis on their relationship to the research should be provided and

should include all important and recent publications. The citations

should be accurate, complete, written in acceptable journal format, and

be appended to the proposal.

(7) Current research. The relevancy of the proposed research to

ongoing and, as yet, unpublished research of both the applicant and any

other institutions should be described.

(8) Facilities and equipment. All facilities, including

laboratories, that are available for use or assignment to the proposed

research project during the requested period of support, should be

reported and described. Any materials, procedures, situations, or

activities, whether or not directly related to a particular phase of

the proposed research, and which may be hazardous to personnel, must be

explained fully, along with an outline of precautions to be exercised.

All items of major instrumentation available for use or assignment to

the proposed research project during the requested period of support

should be itemized. In addition, items of nonexpendable equipment

needed to conduct and bring the proposed project to a successful

conclusion should be listed.

(9) Collaborative arrangements. If the proposed project requires

collaboration with other research scientists, corporations,

organizations, agencies, or entities, such collaboration must be

explained fully and justified. Evidence should be provided to assure

peer reviewers that the collaborators involved agree with the

arrangements. It should be specifically indicated whether or not such

collaborative arrangements have the potential for any conflict(s) of

interest. Proposals which indicate collaborative involvement must state

which applicant is to receive any resulting grant award, since only one

eligible applicant, as provided in Sec. 3401.3 may be the recipient of

a research project grant under one proposal.

(10) Research timetable. The applicant should outline all important

research phases as a function of time, year by year.

(11) Personnel support. All personnel who will be involved in the

research effort must be identified clearly. For each scientist

involved, the following should be included:

(i) An estimate of the time commitments necessary;

(ii) Vitae of the principal investigator(s), senior associate(s),

and other professional personnel to assist reviewers in evaluating the

competence and experience of the project staff. This section should

include curricula vitae of all key persons who will work on the

proposed research project, whether or not Federal funds are sought for

their support. The vitae are to be no more than two pages each in

length, excluding publication listings; and

(iii) A chronological listing of the most representative

publications during

[[Page 55163]]

the past five years shall be provided for each professional project

member for whom a curriculum vitae appears under this section. Authors

should be listed in the same order as they appear on each paper cited,

along with the title and complete reference as these usually appear in

journals.

(12) Budget. A detailed budget is required for each year of

requested support. In addition, a summary budget is required detailing

requested support for the overall project period. A copy of the form

which must be used for this purpose, along with instructions for

completion, is included in the Application Kit identified under

Sec. 3401.6(b) and may be reproduced as needed by applicants. Funds may

be requested under any of the categories listed, provided that the item

or service for which support is requested is allowable under applicable

Federal cost principles and can be identified as necessary for

successful conduct of the proposed research project. As stated in

Sec. 3401.4 each grant recipient must match the Federal funds expended

on a research project based on a formula of 50 percent Federal and 50

percent non-Federal funding. As stated in Sec. 3401.5, indirect costs

and tuition remission costs are not allowable costs for purposes of

this program and, thus, may not be used to satisfy the matching

requirement set forth in Sec. 3401.4.

(13) Research involving special considerations. A number of

situations encountered in the conduct of research require special

information and supporting documentation before funding can be approved

for the project. If such situations are anticipated, the proposal must

so indicate. It is expected that a significant number of rangeland

grant proposals will involve the following:

(i) Recombinant DNA molecules. All key personnel identified in a

proposal and all endorsing officials of a proposed performing entity

are required to comply with the guidelines established by the National

Institutes of Health entitled, ``Guidelines for Research Involving

Recombinant DNA Molecules,'' as revised. The Application Kit,

identified above in Sec. 3401.6(b), contains a form which is suitable

for such certification of compliance. In the event a project involving

recombinant DNA and RNA molecules results in a grant award, the

Institutional Biosafety Committee must approve the research before

CSREES funds will be released.

(ii) Human subjects at risk. Responsibility for safeguarding the

rights and welfare of human subjects used in any research project

supported with grant funds provided by the Department rests with the

performing entity. Regulations have been issued by the Department under

7 CFR part 1c, Protection of Human Subjects. In the event that a

project involving human subjects at risk is recommended for award, the

applicant will be required to submit a statement certifying that the

research plan has been reviewed and approved by the Institutional

Review Board at the proposing organization or institution. The

Application Kit, identified above in Sec. 3401.6(b), contains a form

which is suitable for such certification. In the event a project

involving human subjects results in a grant award, funds will be

released only after the Institutional Committee has approved the

project.

(iii) Laboratory animal care. The responsibility for the humane

care and treatment of any laboratory animal, which has the same meaning

as ``animal'' in section 2(g) of the Animal Welfare Act of 1966, as

amended (7 U.S.C. 2132(g)), used in any research project supported with

Rangeland Research Grant Program funds rests with the performing

organization. In this regard, all key personnel identified in a

proposal and all endorsing officials of the proposed performing entity

are required to comply with the applicable provisions of the Animal

Welfare Act of 1966, as amended (7 U.S.C. 2131 et seq.) and the

regulations promulgated thereunder by the Secretary of Agriculture in 9

CFR parts 1, 2, 3, and 4. In the event that a project involving the use

of a laboratory animal is recommended for award, the applicant will be

required to submit a statement certifying such compliance. The

Application Kit, identified above in Sec. 3401.6(b), contains a form

which is suitable for such certification. In the event a project

involving the use of living vertebrate animals results in a grant

award, funds will be released only after the Institutional Animal Care

and Use Committee has approved the project.

(14) Current and pending support. All proposals must list any other

current public or private research support, in addition to the proposed

project, to which key personnel listed in the proposal under

consideration have committed portions of their time, whether or not

salary support for the person(s) involved is included in the budgets of

the various projects. This section must also contain analogous

information for all projects underway and for pending research

proposals which are currently being considered by, or which will be

submitted in the near future to, other possible sponsors, including

other Departmental programs or agencies. Concurrent submission of

identical or similar projects to other possible sponsors will not

prejudice its review or evaluation by the Administrator or experts or

consultants engaged by the Administrator for this purpose. The

Application Kit, identified above in Sec. 3401.6(b), contains a form

which is suitable for listing current and pending support.

(15) Additions to project description. Each project description is

expected by the Administrator, members of peer review groups, and the

relevant program staff to be complete in itself. However, in those

instances in which the inclusion of additional information is

necessary, the number of copies submitted should match the number of

copies of the application requested in the annual solicitation of

proposals as indicated in Sec. 3401.6(a)(4). Each set of such materials

must be identified with the title of the research project as it appears

in the Application for Funding and the name(s) of the principal

investigator(s). Examples of additional materials may include

photographs which do not reproduce well, reprints, and other pertinent

materials which are deemed to be unsuitable for inclusion in the

proposal.

(16) National Environmental Policy Act. As outlined in CSREES's

implementing regulations of the National Environmental Policy Act of

1969 (NEPA) at 7 CFR part 3407, environmental data or documentation for

the proposed project is to be provided to CSREES in order to assist

CSREES in carrying out its responsibilities under NEPA. These

responsibilities include determining whether the project requires an

Environmental Assessment or an Environmental Impact Statement or

whether it can be excluded from this requirement on the basis of

several categorical exclusions listed in 7 CFR part 3407. In this

regard, the applicant should review the categories defined for

exclusion to ascertain whether the proposed project may fall within one

ore more of the exclusions, and should indicate if it does so on the

National Environmental Policy Act Exclusions Form (Form CSREES--1234)

provided in the Application Kit. Even though the applicant considers

that a proposed project may fall within a categorical exclusion, CSREES

may determine that an Environmental Assessment or an Environmental

Impact Statement is necessary for a proposed project should substantial

controversy on environmental grounds exist or if other extraordinary

conditions or circumstances are present that may

[[Page 55164]]

cause such activity to have a significant environmental effect.

(17) Organizational management information. Specific management

information relating to an applicant shall be submitted on an one-time

basis prior to the award of a research project grant identified under

this part if such information has not been provided previously under

this or another program for which the sponsoring agency is responsible.

Copies of forms recommended for use in fulfilling the requirements

contained in this section will be provided by the agency specified in

this part once a research project grant has been recommended for

funding.

Sec. 3401.7 Evaluation and disposition of applications.

(a) Evaluation. All proposals received from eligible applicants in

accordance with eligible research problem or program areas and

deadlines established in the applicable request for proposals shall be

evaluated by the Administrator through such officers, employees, and

others as the Administrator determines are particularly qualified in

the areas of research represented by particular projects. To assist in

equitably and objectively evaluating proposals and to obtain the best

possible balance of viewpoints, the Administrator may solicit the

advice of peer scientists, ad hoc reviewers, or others who are

recognized specialists in the research program areas covered by the

applications received. Specific evaluations will be based upon the

criteria established in subpart B of this part, Sec. 3401.17, unless

CSREES determines that different criteria are necessary for the proper

evaluation of proposals in one or more specific program areas, and

announces such criteria and their relative importance in the annual

program solicitation. The overriding purpose of such evaluations is to

provide information upon which the Administrator can make informed

judgments in selecting proposals for ultimate support. Incomplete,

unclear, or poorly organized applications will work to the detriment of

applicants during the peer evaluation process. To ensure a

comprehensive evaluation, all applications should be written with the

care and thoroughness accorded papers for publication.

(b) Disposition. On the basis of the Administrator's evaluation of

an application in accordance with paragraph (a) of this section, the

Administrator will approve support using currently available funds,

defer support due to lack of funds or a need for further evaluations,

or disapprove support for the proposed project in whole or in part.

With respect to approved projects, the Administrator will determine the

project period (subject to extension as provided in Sec. 3401.9(c))

during which the project may be supported. Any deferral or disapproval

of an application will not preclude its reconsideration or a

reapplication during subsequent fiscal years.

Sec. 3401.8 Grant awards.

(a) General. Within the limit of funds available for such purpose,

the awarding official shall make research project grants to those

responsible, eligible applicants whose proposals are judged most

meritorious in the announced program areas under the evaluation

criteria and procedures set forth in this part. The date specified by

the Administrator as the beginning of the project period shall be no

later than September 30 of the Federal fiscal year in which the project

is approved for support and funds are appropriated for such purpose,

unless otherwise permitted by law. All funds granted under this part

shall be expended solely for the purpose for which the funds are

granted in accordance with the approved application and budget, the

regulations of this part, the terms and conditions of the award, the

applicable Federal cost principles, and the Department's ``Uniform

Federal Assistance Regulations'' (parts 3015 and 3019 of this title).

(b) Grant award document and notice of grant award.--(1) Grant

award document. The grant award document shall include at a minimum the

following:

(i) Legal name and address of performing organization or

institution to whom the Administrator has awarded a rangeland research

project grant under the terms of this part;

(ii) Title of project;

(iii) Name(s) and address(es) of principal investigator(s) chosen

to direct and control approved activities;

(iv) Identifying grant number assigned by the Department;

(v) Project period, which specifies how long the Department intends

to support the effort without requiring recompetition for funds;

(vi) Total amount of Departmental financial assistance approved by

the Administrator during the project period;

(vii) Legal authority(ies) under which the research project grant

is awarded to accomplish the purpose of the law;

(viii) Approved budget plan for categorizing allocable project

funds to accomplish the stated purpose of the research project grant

award; and

(ix) Other information or provisions deemed necessary by the

Department to carry out its granting activities or to accomplish the

purpose of a particular research project grant.

(2) Notice of grant award. The notice of grant award, in the form

of a letter, will be prepared and will provide pertinent instructions

or information to the grantee that is not included in the grant award

document.

(c) Categories of grant instruments. The major categories of grant

instruments by which the Department may provide support are as follows:

(1) Standard grant. This is a grant instrument by which the

Department agrees to support a specified level of research effort for a

predetermined project period without the announced intention of

providing additional support at a future date. This type of research

project grant is approved on the basis of peer review and

recommendation and is funded for the entire project period at the time

of award.

(2) Renewal grant. This is a document by which the Department

agrees to provide additional funding under a standard grant as

specified in paragraph (c)(1) of this section for a project period

beyond that approved in an original or amended award, provided that the

cumulative period does not exceed the statutory limitation. When a

renewal application is submitted, it should include a summary of

progress to date under the previous grant instrument. Such a renewal

shall be based upon new application, de novo peer review and staff

evaluation, new recommendation and approval, and a new award

instrument.

(3) Continuation grant. This is a grant instrument by which the

Department agrees to support a specified level of effort for a

predetermined period of time with a statement of intention to provide

additional support at a future date, provided that performance has been

satisfactory, appropriations are available for this purpose, and

continued support would be in the best interests of the Federal

government and the public. It involves a long-term research project

that is considered by peer reviewers and Departmental officers to have

an unusually high degree of scientific merit, the results of which are

expected to have a significant impact on the productivity of the

Nation's rangelands, and it supports the efforts of experienced

scientists with records of outstanding research accomplishments. This

kind of document normally will be awarded for an initial one-year

period and any subsequent continuation research project grants also

will be

[[Page 55165]]

awarded in one-year increments, but in no case may the cumulative

period of the project exceed the statutory limit. The award of a

continuation research project grant to fund an initial or succeeding

budget period does not constitute an obligation to fund any subsequent

budget period. A grantee must submit a separate application for

continued support for each subsequent fiscal year. Requests for such

continued support must be submitted in duplicate at least three months

prior to the expiration date of the budget period currently being

funded. Such requests must include: An interim progress report

detailing all work performed to date; An Application for Funding; a

proposed budget for the ensuing period, including an estimate of funds

anticipated to remain unobligated at the end of the current budget

period; and current information regarding other extramural support for

senior personnel. Decisions regarding continued support and the actual

funding levels of such support in future years usually will be made

administratively after consideration of such factors as the grantee's

progress and management practices and within the context of available

funds. Since initial peer reviews were based upon the full term and

scope of the original rangeland research application for funding,

additional evaluations of this type generally are not required prior to

successive years' support. However, in unusual cases (e.g., when the

nature of the project or key personnel change or when the amount of

future support requested substantially exceeds the application for

funding originally reviewed and approved), additional reviews may be

required prior to approval of continued funding.

(4) Supplemental grant. This is an instrument by which the

Department agrees to provide small amounts of additional funding under

a standard, renewal, or continuation grant as specified in paragraphs

(c)(1), (c)(2), and (c)(3) of this section and may involve a short-term

(usually six months or less) extension of the project period beyond

that approved in an original or amended award, but in no case may the

cumulative period of the project, including short term extensions,

exceed the statutory time limitation. A supplement is awarded only if

required to assure adequate completion of the original scope of work

and if there is sufficient justification of need to warrant such

action. A request of this nature normally does not require additional

peer review.

(d) Obligation of the Federal government. Neither the approval of

any application nor the award of any research project grant shall

commit or obligate the United States in any way to make any renewal,

supplemental, continuation, or other award with respect to any approved

application or portion of an approved application.

Sec. 3401.9 Use of funds; changes.

(a) Delegation of fiscal responsibility. The grantee may not

delegate or transfer in whole or in part, to another person,

institution, or organization the responsibility for use or expenditure

of grant funds.

(b) Change in project plans. (1) The permissible changes by the

grantee, principal investigator(s), or other key project personnel in

the approved research project grant shall be limited to changes in

methodology, techniques, or other aspects of the project to expedite

achievement of the projects' approved goals. If the grantee or the

principal investigator(s) is uncertain as to whether a change complies

with this provision, the question shall be referred to the

Administrator for a final determination.

(2) Changes in approved goals, or objectives, shall be requested by

the grantee and approved in writing by the Department prior to

effecting such changes. In no event shall requests for such changes be

approved which are outside the scope of the original approved project.

(3) Changes in approved project leadership or the replacement or

reassignment of other key project personnel shall be requested by the

grantee and approved in writing by the Department prior to effecting

such changes.

(4) Transfers of actual performance of the substantive programmatic

work in whole or in part and provisions for payment of funds, whether

or not Federal funds are involved, shall be requested by the grantee

and approved in writing by the Department prior to effecting such

changes, except as may be allowed in the terms and conditions of a

grant award.

(c) Changes in project period. The project period determined

pursuant to Sec. 3401.7(b) may be extended by the Administrator without

additional financial support, for such additional period(s) as the

Administrator determines may be necessary to complete, or fulfill the

purposes of, an approved project. Any extension, when combined with the

originally approved or amended project period, shall be conditioned

upon prior request by the grantee and approval in writing by the

Department, unless prescribed otherwise in the terms and conditions of

a grant award.

(d) Changes in approved budget. The terms and conditions of a grant

will prescribe circumstances under which written Departmental approval

will be requested and obtained prior to instituting changes in an

approved budget.

Sec. 3401.10 Other Federal statutes and regulations that apply.

Several other Federal statutes and/or regulations apply to grant

proposals considered for review or to research project grants awarded

under this part. These include but are not limited to:

7 CFR part 1c--USDA implementation of the Federal Policy for the

Protection of Human Subjects;

7 CFR part 1.1--USDA implementation of Freedom of Information

Act;

7 CFR part 3--USDA implementation of OMB Circular A-129

regarding debt collection;

7 CFR part 15, Subpart A--USDA implementation of Title VI of the

Civil Rights Act of 1964;

7 CFR part 3015--USDA Uniform Federal Assistance Regulations,

implementing OMB directives (i.e., Circular Nos. A-110, A-21, and A-

122) and incorporating provisions of 31 U.S.C. 6301-6308 (formerly,

the Federal Grant and Cooperative Agreement Act of 1977), as well as

general policy requirements applicable to recipients of Departmental

financial assistance;

7 CFR part 3017, as amended--USDA implementation of

Governmentwide Debarment and Suspension (Nonprocurement) and

Governmentwide Requirements for Drug-Free Workplace (Grants);

7 CFR part 3018--USDA implementation of New Restrictions on

Lobbying. Imposes new prohibitions and requirements for disclosure

and certification related to lobbying on recipients of Federal

contracts, grants, cooperative agreements, and loans;

7 CFR part 3019--USDA Uniform Administrative Requirements for

Grants and Agreements with Institutions of Higher Education,

Hospitals, and Other Non-profit Organizations;

7 CFR part 3051--Audits of Institutions of Higher Education and

Other Nonprofit Institutions;

7 CFR part 3407--CSREES procedures to implement the National

Environmental Policy Act;

29 U.S.C. 794 (section 504, Rehabilitation Act of 1973) and 7

CFR part 15B (USDA implementation of statute)--prohibiting

discrimination based upon physical or mental handicap in Federally

assisted programs; and

35 U.S.C. 200 et seq.--Bayh-Dole Act, controlling allocation of

rights to inventions made by employees of small business firms and

domestic nonprofit organizations, including universities, in

Federally assisted programs (implementing regulations are contained

in 37 CFR part 401).

Sec. 3401.11 Other conditions.

The Administrator may, with respect to any research project grant

or to any

[[Page 55166]]

class of awards, impose additional conditions prior to or at the time

of any award when, in the Administrator's judgment, such conditions are

necessary to assure or protect advancement of the approved project, the

interests of the public, or the conservation of grant funds.

Subpart B--Scientific Peer Review of Research Applications for

Funding

Sec. 3401.12 Establishment and operation of peer review groups.

Subject to Sec. 3401.7, the Administrator will adopt procedures for

the conduct of peer reviews and the formulation of recommendations

under Sec. 3401.16.

Sec. 3401.13 Composition of peer review groups.

Peer review group members will be selected based upon their

training or experience in relevant scientific or technical fields,

taking into account the following factors:

(a) The level of formal scientific or technical education by the

individual;

(b) The extent to which the individual has engaged in relevant

research, the capacities in which the individual has done so (e.g.,

principal investigator, assistant), and the quality of such research;

(c) Professional recognition as reflected by awards and other

honors received from scientific and professional organizations outside

of the Department;

(d) The need of the group to include within its membership experts

from various areas of specialization within relevant scientific or

technical fields;

(e) The need of the group to include within its membership experts

from a variety of organizational types (e.g., universities, industry,

private consultant(s)) and geographic locations; and

(f) The need of the group to maintain a balanced membership, e.g.,

minority and female representation and an equitable age distribution.

Sec. 3401.14 Conflicts of interest.

Members of peer review groups covered by this Part are subject to

relevant provisions contained in Title 18 of the United States Code

relating to criminal activity, Department regulations governing

employee responsibilities and conduct (part O of this title), and

Executive Order 11222 (3 CFR, 1964-1965 Comp., p. 306), as amended.

Sec. 3401.15 Availability of information.

Information regarding the peer review process will be made

available to the extent permitted under the Freedom of Information Act

(5 U.S.C. 552), the Privacy Act (5 U.S.C. 552a.), and implementing

Departmental regulations (part 1 of this title).

Sec. 3401.16 Proposal review.

(a) All research Applications for Funding will be acknowledged.

Prior to technical examination, a preliminary review will be made for

responsiveness to the request for proposals (e.g., relationship of

application to research program area). Proposals that do not fall

within the guidelines as stated in the annual request for proposals

will be eliminated from competition and will be returned to the

applicant. Proposals whose budgets exceed the maximum allowable amount

for a particular program area as announced in the request for proposals

may be considered as lying outside the guidelines.

(b) All applications will be reviewed carefully by the

Administrator, qualified officers or employees of the Department, the

respective merit review panel, and ad hoc reviewers, as required.

Written comments will be solicited from ad hoc reviewers when required,

and individual written comments and in-depth discussions will be

provided by peer review group members prior to recommending

applications for funding. Applications will be ranked and support

levels recommended within the limitation of total available funding for

each research program area as announced in the applicable request for

proposals.

(c) Except to the extent otherwise provided by law, such

recommendations are advisory only and are not binding on program

officers or on the awarding official.

Sec. 3401.17 Review criteria.

(a) Federally funded research supported under these provisions

shall be designed to, among other things, accomplish one or more of the

following purposes:

(1) Improve management of rangelands as an integrated system and/or

watershed;

(2) remedy unstable or unsatisfactory rangeland conditions;

(3) increase revegetation and/or rehabilitation of rangelands/

(4) examine the health of rangelands; and

(5) define economic parameters associated with rangelands.

(b) In carrying out its review under Sec. 3401.16, the peer review

panel will use the following form upon which the evaluation criteria to

be used are enumerated, unless, pursuant to Sec. 3401.7(a), different

evaluation criteria are specified in the annual solicitation of

proposals for a particular program:

Peer Panel Scoring Form

Proposal Identification No.--------------------------------------------

Institution and Project Title------------------------------------------

I. Basic Requirement:

Proposal falls within guidelines? ________Yes ________No. If no,

explain why proposal does not meet guidelines under comment section

of this form.

II. Selection Criteria:

----------------------------------------------------------------------------------------------------------------

Score X

Score 1-10 Weight weight Comments

factor factor

----------------------------------------------------------------------------------------------------------------

1. Overall scientific and technical quality of proposal..... ........... 10 ........... ...........

2. Scientific and technical quality of the approach......... ........... 10 ........... ...........

3. Relevance and importance of proposed research to solution

of specific areas of inquiry............................... ........... 6 ........... ...........

4. Feasibility of attaining objectives; adequacy of

professional training and experience, facilities and

equipment.................................................. ........... 5 ........... ...........

----------------------------------------------------------------------------------------------------------------

[[Page 55167]]

Score------------------------------------------------------------------

Summary Comments-------------------------------------------------------

(c) Proposals satisfactorily meeting the guidelines will be

evaluated and scored by the peer review panel for each criterion

utilizing a scale of 1 through 10. A score of one (1) will be

considered low and a score of ten (10) will be considered high for each

selection criterion. A weighted factor is used for each criterion.

Done at Washington, DC, this 19th day of October 1995.

Colien Hefferan,

Acting Administrator, Cooperative State Research, Education, and

Extension Service.

[FR Doc. 95-26652 Filed 10-26-95; 8:45 am]

BILLING CODE 3410-22-M