National Competitive Research Initiative Grants Program (also known as the National Research Initiative Competitive Grants Program); Administrative Provisions; Requirements for Agricultural Research Enhancement Awards

Part VIII

Department of Agriculture

_______________________________________________________________________

Cooperative State Research, Education, and Extension Service

_______________________________________________________________________

7 CFR Parts 3200 and 3411

National Competitive Research Initiative Grants Program; Administrative

Provisions; Requirements for Agricultural Research Enhancement Awards;

Proposed Rule

Rules

DEPARTMENT OF AGRICULTURE

Cooperative State Research, Education, and Extension Service

7 CFR Parts 3200 and 3411

National Competitive Research Initiative Grants Program (also

known as the National Research Initiative Competitive Grants Program);

Administrative Provisions; Requirements for Agricultural Research

Enhancement Awards

AGENCY: Cooperative State Research, Education, and Extension Service,

USDA.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Cooperative State Research, Education, and Extension

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

administration of the National Research Initiative Grants Competitive

Program (NRICGP) (referred to in 7 CFR Part 3200 as the National

Competitive Research Initiative Grants Program) that prescribe the

procedures to be followed annually in the solicitation of competitive

grant proposals, the evaluation of such proposals, and the award of

competitive research grants under this program. This action amends

those regulations to redesignate 7 CFR Part 3200 as Part 3411, to

change the legal name of the program to the National Research

Initiative Competitive Grants Program, to clarify certain aspects of

the program, and to add eligibility requirements for the Agricultural

Research Enhancement Awards.

DATES: Comments are invited from interested individuals and

organizations. To be considered in the formulation of a final rule, all

relevant material must be received on or before June 12, 1995.

rogram to the National Research

Initiative Competitive Grants Program, to clarify certain aspects of

the program, and to add eligibility requirements for the Agricultural

Research Enhancement Awards.

DATES: Comments are invited from interested individuals and

organizations. To be considered in the formulation of a final rule, all

relevant material must be received on or before June 12, 1995.

ADDRESSES: Comments should be sent to Colien Hefferan, Acting Deputy

Administrator, CSREES, USDA, AG Box 2240, Washington, D.C. 20250-2240.

FOR FURTHER INFORMATION CONTACT:

Colien Hefferan at (202) 401-1761.

SUPPLEMENTARY INFORMATION:

Classification

This proposed 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.

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.).

Executive Order 12778

policy issues arising out of legal mandates, the

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

12866.

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.).

Executive Order 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.

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 NRICGP is listed in the Catalog of Federal Domestic Assistance

under No. 10.206. 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

Federal Domestic Assistance

The NRICGP is listed in the Catalog of Federal Domestic Assistance

under No. 10.206. 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 2(b) of the Act of August 4, 1965,

Pub. L. No. 89-106, as amended (7 U.S.C. 450i(b)) (the Act), the

Secretary of Agriculture is authorized to make competitive grants to

State Agricultural Experiment Stations, all colleges and universities,

other research institutions and organizations, Federal agencies,

private organizations or corporations, and individuals to further the

programs of the Department of Agriculture and to improve research

capabilities in agricultural, food, and environmental sciences. Section

2(b) of the Act also authorizes the Secretary of Agriculture to make a

variety of competitive grants to improve research capabilities in the

agricultural, food, and environmental sciences.

The NRICGP was created pursuant to this authority. Pursuant to 7

CFR 2.107(a)(7), the Secretary delegated this authority to the

Administrator of the Cooperative State Research Service. The Secretary

of Agriculture's memorandum 1010-1 of October 20, 1994, implementing

the reorganization authorities contained in the Federal Crop Insurance

Reform and Department of Agriculture Reorganization Act of 1994, Pub.

L. 103-354, redelegated this authority to the Administrator of the

CSREES.

This proposed rule moves this part from 7 CFR Chapter XXXII to 7

CFR Chapter XXXIV, changes the name of the program, adds additional

definitions for ``fundamental research,'' ``mission-linked research,''

and ``multidisciplinary research'' to the NRICGP administrative

provisions, and establishes eligibility requirements for the

Agricultural Research Enhancement Awards program

of the

CSREES.

This proposed rule moves this part from 7 CFR Chapter XXXII to 7

CFR Chapter XXXIV, changes the name of the program, adds additional

definitions for ``fundamental research,'' ``mission-linked research,''

and ``multidisciplinary research'' to the NRICGP administrative

provisions, and establishes eligibility requirements for the

Agricultural Research Enhancement Awards program. The planned effective

date for this proposed rule is October 1, 1995, or 30 days from the

date of publication of the final rule, whichever comes later.

List of Subjects in 7 CFR Part 3411

Grant Programs--Agriculture, Grants administration.

For the reasons set forth in the preamble, CSREES proposes to amend

7 CFR Chapters XXXII and XXXIV as follows:

PART 3200--[REDESIGNATED AS PART 3411]

1. Part 3200 redesignated as Part 3411 and moved from Chapter XXXII

to Chapter XXXIV.

2. The authority citation for newly redesignated part 3411 is

revised to read as follows:

Authority: Sec. 2(i) of the Act of August 4, 1965, as amended (7

U.S.C. 450i(i)).

3. In newly redesignated part 3411, all references to ``National

Competitive Research Initiative Grants Program'' are revised to read

``National Research Initiative Competitive Grants Program'', and all

references to ``NCRIGP'' are revised to read ``NRICGP''.

4. In newly redesignated part 3411, all references to ``Grant

Application Kit'' are revised to read ``NRICGP Application Kit''.

5. Newly redesignated section 3411.2 is amended by revising the

first sentence, adding new paragraphs (l)(1), (l)(2),

and (l)(3) and adding new paragraphs (n) and (o) to read as follows:

Sec. 3411.2 Definitions.

As used in this part and in annual program solicitations issued

pursuant to this part:

* * * * *

rences to ``Grant

Application Kit'' are revised to read ``NRICGP Application Kit''.

5. Newly redesignated section 3411.2 is amended by revising the

first sentence, adding new paragraphs (l)(1), (l)(2),

and (l)(3) and adding new paragraphs (n) and (o) to read as follows:

Sec. 3411.2 Definitions.

As used in this part and in annual program solicitations issued

pursuant to this part:

* * * * *

(l) * * *

(1) Fundamental research, as referred to annually in the program

solicitation, means research that tests scientific hypotheses and

provides basic knowledge which allows advances in applied research and

from which major conceptual breakthroughs are expected to occur.

(2) Mission-linked research, as referred to annually in the program

solicitation, means research on specifically identified agricultural

problems which, through a continuum of efforts, provides information

and technology that may be transferred to users and may relate to a

product, practice, or process.

(3) Multidisciplinary research, as referred to annually in the

program solicitation, means research in which investigators from two or

more disciplines are collaborating closely. These collaborations, where

appropriate, may integrate the biological, physical, chemical, or

social sciences.

* * * * *

(n) Small and mid-sized institution means an academic institution

with a total enrollment of 15,000 or less. An institution in this

instance is an organization that possesses a significant degree of

academic and administrative autonomy, as determined by reference to the

most recent issue of the Codebook for Compatible Statistical Reporting

of Federal Support to Universities, Colleges, and Nonprofit

Institutions, prepared by Quantum Research Corporation for the National

Science Foundation. This incorporation by reference was approved by the

Director of the Federal Register in accordance with 5 U.S.C. 552(a) and

1 CFR part 51

as determined by reference to the

most recent issue of the Codebook for Compatible Statistical Reporting

of Federal Support to Universities, Colleges, and Nonprofit

Institutions, prepared by Quantum Research Corporation for the National

Science Foundation. This incorporation by reference was approved by the

Director of the Federal Register in accordance with 5 U.S.C. 552(a) and

1 CFR part 51. Copies may be obtained from Quantum Research

Corporation, 7315 Wisconsin Avenue, Suite 631W, Bethesda, MD 20814.

Copies may be inspected at USDA, CSREES, NRICGP, 901 D. St., SW., Suite

323, Washington, DC.

(o) USDA-EPSCoR States (Experimental Program for Stimulating

Competitive Research) means States which have had a funding level from

the USDA NRICGP no higher than the 38th percentile of all States, based

on a three-year rolling average, and all United States territories and

possessions. A list of eligible states is published annually in the

program solicitation.

6. Newly redesignated Sec. 3411.3 is amended by adding paragraph

(d) as follows:

Sec. 3411.3 Eligibility requirements.

* * * * *

(d) Agricultural Research Enhancement Awards. In addition to

paragraphs (a), (b), and (c) of this section, the following eligibility

requirements apply to Agricultural Research Enhancement Awards (Program

reserves the right to specify funding limitations and administrative

requirements each year in the program solicitation):

(1) Postdoctoral Fellowships. In accordance with Section 2(b)(3)(D)

of the Act of August 4, 1965, as amended, individuals who have recently

received or will soon receive their doctoral degree may submit

proposals for postdoctoral fellowships. The following eligibility

requirements apply:

ht to specify funding limitations and administrative

requirements each year in the program solicitation):

(1) Postdoctoral Fellowships. In accordance with Section 2(b)(3)(D)

of the Act of August 4, 1965, as amended, individuals who have recently

received or will soon receive their doctoral degree may submit

proposals for postdoctoral fellowships. The following eligibility

requirements apply:

(i) The doctoral degree of the applicant must be received not

earlier than January 1 of the fiscal year three years prior to the

submission of the proposal and not later than June 15 of the fiscal

year during which the proposal is submitted;

(ii) The individual must be a citizen of the United States; and

(iii) The proposal must contain:

(A) Documentation that arrangements have been made with an

established investigator to serve as mentor;

(B) Documentation that arrangements have been made for the

necessary facilities, space, and materials for conduct of the research;

and

(C) Documentation from the host institution's authorized

organizational representative indicating that the host institution

concurs with these arrangements.

(2) New Investigator Awards. Pursuant to Section 2(b)(3)(E) of the

Act of August 4, 1965, as amended, investigators or co-investigators

who are beginning their research careers, do not have an extensive

research publication record, and have less than 5 years of post-

graduate, career-track research experience may submit proposals as new

investigators. Applicants may not have received competitively-awarded

Federal research funds beyond the level of pre-or postdoctoral research

awards.

(3) Strengthening Awards. Applicants that are eligible for any

grant under this part may also be eligible for Equipment Grants,

Research Career Enhancement Awards, Seed Grants, and Strengthening

Standard Research Project Awards pursuant to Sections 2(b)(3)(D) and

(F) of the Act of August 4, 1965, as amended, subject to the following

limitations on such eligibility:

doctoral research

awards.

(3) Strengthening Awards. Applicants that are eligible for any

grant under this part may also be eligible for Equipment Grants,

Research Career Enhancement Awards, Seed Grants, and Strengthening

Standard Research Project Awards pursuant to Sections 2(b)(3)(D) and

(F) of the Act of August 4, 1965, as amended, subject to the following

limitations on such eligibility:

(i) Equipment Grants. The following organizations are ineligible to

apply for Equipment grants:

(A) Institutions which are among the top 100 universities for

receiving Federal funds for science and engineering research as listed

in the most recent release of Selected Data on Federal Support to

Universities and Colleges (National Science Foundation); or

(B) non-degree granting institutions. This incorporation by

reference was approved by the Director of the Federal Register in

accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be

obtained from the Division of Science Resource Studies, National

Science Foundation, Arlington, VA 22230. Copies may be inspected at

USDA, CSREES, NRICGP, 901 D St., SW., Suite 323, Washington, DC.

(ii) Research Career Enhancement Awards, Seed Grants, and

Strengthening Standard Research Project Awards. The following

eligibility requirements apply to Research Career Enhancement Awards,

Seed Grants, and Strengthening Standard Research Project Awards:

(A) No investigator listed on the Application For Funding (Form

CSRS-661) may have received a USDA competitive research grant within

the last five years as evidenced by an investigator listing on a prior

Form CSRS-661;

(B) All investigators listed on the Application For Funding (Form

CSRS-661) must be from a small or mid-sized institution that is not

among the top 100 universities for receiving Federal funds for science

and engineering research (as listed in the most recent release of

Selected Data on Federal Support to Universities and Colleges (National

Science Foundation)) or must be from an institution located

investigators listed on the Application For Funding (Form

CSRS-661) must be from a small or mid-sized institution that is not

among the top 100 universities for receiving Federal funds for science

and engineering research (as listed in the most recent release of

Selected Data on Federal Support to Universities and Colleges (National

Science Foundation)) or must be from an institution located in a USDA-

EPSCoR state; and

(C) Every investigator listed on the Application For Funding (Form

CSRS-661) must have a full-time appointment at a degree granting

institution. This incorporation by reference was approved by the

Director of the Federal Register with 5 U.S.C. 552(a) and 1 CFR part

51. Copies may be obtained from the Division of Science Resource

Studies, National Science Foundation, Arlington, VA 22230. Copies may

be inspected at USDA, CSREES, NRICGP, 901 D. St., SW., Suite 323,

Washington, DC.

7. Paragraph (c)(1) of newly redesignated Sec. 3411.4 is amended by

revising all references to ``Grant Application Cover Page'' to read

``Application for Funding form''.

8. Newly redesignated Sec. 3411.4 is further amended by revising

the last sentence of paragraph (c)(4), adding three new sentences at

the end of paragraph (c)(8), adding a new last sentence to paragraph

(c)(9)(i), and adding a new last sentence to paragraph (c)(9)(ii), by

replacing ``Institutional Review Board'' with ``Institutional

Committee'' in paragraph (c)(9)(ii), by adding a new last sentence to

paragraph (c)(9)(iii), and adding a new paragraph (c)(13) to read as

follows:

Sec. 3411.4 How to apply for a grant.

* * * * *

end of paragraph (c)(8), adding a new last sentence to paragraph

(c)(9)(i), and adding a new last sentence to paragraph (c)(9)(ii), by

replacing ``Institutional Review Board'' with ``Institutional

Committee'' in paragraph (c)(9)(ii), by adding a new last sentence to

paragraph (c)(9)(iii), and adding a new paragraph (c)(13) to read as

follows:

Sec. 3411.4 How to apply for a grant.

* * * * *

(c) * * *

(4) Facilities and equipment. * * * In addition, requested items of

nonexpendable equipment necessary to conduct and successfully conclude

the proposed project should be listed (including dollar amounts), and,

if funds are requested for their acquisition, justified on a separate

sheet of paper and attached to the budget.

* * * * *

(8) Budget. * * * Equipment grants may not exceed 50 percent of the

cost of the equipment to be acquired. Equipment grant funds also may

not be used for installation, maintenance, warranty, or insurance

expenses. Indirect costs are not permitted on Equipment grants.

(9) Research involving special considerations. * * *

(i) Recombinant DNA and RNA molecules. * * * In the event a project

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

qualified Institutional Biosafety Committee must approve the research

before CSREES funds will be released.

(ii) Human subjects at risk. * * * In the event a project involving

human subjects results in a grant award, funds will be released only

after a qualified Institutional Committee has approved the project.

(iii) Experimental vertebrate animal. * * * In the event a project

involving the use of living vertebrate animals results in a grant

award, funds will be released only after a qualified Institutional

Animal Care and Use Committee has approved the project.

* * * * *

ubjects results in a grant award, funds will be released only

after a qualified Institutional Committee has approved the project.

(iii) Experimental vertebrate animal. * * * In the event a project

involving the use of living vertebrate animals results in a grant

award, funds will be released only after a qualified Institutional

Animal Care and Use Committee has approved the project.

* * * * *

(13) 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

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

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

provided in the NRICGP 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

cause such activity to have a significant environmental effect.

9. Newly redesignated Sec. 3411.6 is amended by adding paragraph

(f) as follows:

Sec. 3411.6 Grant awards.

* * * * *

t 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

cause such activity to have a significant environmental effect.

9. Newly redesignated Sec. 3411.6 is amended by adding paragraph

(f) as follows:

Sec. 3411.6 Grant awards.

* * * * *

(f) Current Research Information Service (CRIS). For each project

funded, CRIS Form AD-416, ``Research Work Unit/Project Description-

Research Resume'' and CRIS Form AD-417, ``Research Work Unit/Project

Description-Classification of Research'' and specific instructions for

their completion will be sent to the grantee for completion and return.

Grant funds will not be released until the completed forms are received

in CSREES.

10. Newly redesignated Sec. 3411.8 is amended by adding the

following additional applicable regulation:

Sec. 3411.8 Other Federal statutes and regulations that apply.

* * * * *

7 CFR Part 3051--Audits of Institutions of Higher Education and Other

Nonprofit Institutions

11. Newly redesignated section 3411.12 is amended by redesignating

the current paragraph as paragraph (a) and by adding a new paragraph

(b) as follows:

Sec. 3411.12 Conflicts of interest.

* * * * *

(b) Reviewers may not review proposals submitted by institutions or

other entities with which they have an affiliation or in which they

have an interest. For the purposes of determining whether such a

conflict exists, an institution shall be considered as an organization

if it possesses a significant degree of academic and administrative

autonomy, as determined by reference to the most recent issue of the

Codebook for Compatible Statistical Reporting of Federal Support to

Universities, Colleges, and Nonprofit Institutions, prepared by Quantum

Research Corporation

etermining whether such a

conflict exists, an institution shall be considered as an organization

if it possesses a significant degree of academic and administrative

autonomy, as determined by reference to the most recent issue of the

Codebook for Compatible Statistical Reporting of Federal Support to

Universities, Colleges, and Nonprofit Institutions, prepared by Quantum

Research Corporation. This incorporation by reference will be submitted

for approval by the Director of the Federal Register prior to

publication of the final rule in accordance with 5 U.S.C. 552(a) and 1

CFR part 51. Copies may be obtained from Quantum Research Corporation,

7315 Wisconsin Avenue, Suite 631W, Bethesda, MD 20814. Copies may be

inspected at USDA, CSREES, NRICGP, 901 D. St., SW., Suite 323,

Washington, DC.

Done at Washington, DC, this 5th day of May.

William D. Carlson,

Acting Administrator, Cooperative State Research, Education, and

Extension Service.

[FR Doc. 95-11577 Filed 5-10-95; 8:45 am]

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