62536 Federal Register / Vol. 69, No. 206 / Tuesday, October 26, 2004 / Rules and Regulations 

DEPARTMENT OF AGRICULTURE

Cooperative State Research, 

Education, and Extension Service 

7 CFR Part 3402 

[Regulation Identifier Number: 0524–AA30] 

Food and Agricultural Sciences 

National Needs Graduate and 

Postgraduate Fellowship Grants 

Program

AGENCY: Cooperative State Research, 

Education, and Extension Service, 

USDA.

ACTION: Final rule.

SUMMARY: The Cooperative State 

Research, Education, and Extension 

Service (CSREES) revises administrative 

provisions for the Food and Agricultural 

Sciences National Needs Graduate 

Fellowship Grants Program. The 

revisions relax constraints that are 

causing grantees to return unexpended 

funds to CSREES and provide support to 

the training of students awarded 

Fellowships from grants of the Program.

DATES: This rule is effective October 26, 

2004.

FOR FURTHER INFORMATION CONTACT:

Jeffrey L. Gilmore, Ph.D.; Director, 

Higher Education Programs; Phone: 

202–720–1973 Fax: 202–720–2030; email: jgilmore@csrees.usda.gov.

SUPPLEMENTARY INFORMATION: 

Background 

On July 12, 2004, CSREES published 

a Proposed Rule (69 FR 41763, Jul. 12, 

2004) to revise administrative 

provisions for the Food and Agricultural 

Sciences National Needs Graduate 

Fellowship Grants Program. 

Adoption of Proposal as Final Rule 

In the Proposed Rule, CSREES invited 

comments, which were due by August 

11, 2004. The Agency received one 

comment which condemned the Food 

and Agricultural Sciences National 

Needs Graduate Fellowship Grants 

Program for wasting taxpayer money 

and asked that Congress terminate 

support for it. 

The commenter is not clear that 

CSREES uses a competitive process to 

make awards. The Agency solicits 

applications, and bases award decisions 

on recommendations from a panel of 

subject matter experts, drawn from 

colleges, private associations, and 

appropriate government agencies. 

‘‘National Needs’’ refer to those 

scientific disciplines where, according 

to national data supplied by the U.S. 

Department of Education and U.S. 

Bureau of Labor Statistics, there are 

projected shortages of scientific 

personnel required for the U.S. These 

can change and, as a result, are 

described in program solicitations. 

The commenter questions the value of 

studying abroad. However, modern 

agriculture is a global enterprise and 

funded trips allow students to round out 

their education and/or prepare 

dissertations. Concern was expressed 

over eligibility, which includes foreign 

nationals, people who are legally 

extended the rights of citizenship, and 

excludes illegal aliens. 

The commenter also states that the 

Agency discriminates by setting aside 

funds for minorities. The awards do not 

specifically target minority students or 

minority student groups. The legislation 

that authorizes this program identifies 

eligible institutions and, to maximize 

inclusivity, specifically mentions 

colleges/universities that have 

significant minority enrollments and 

demonstrable capacity for teaching food 

and agricultural sciences. 

Finally, the commenter states that one 

year should be the maximum amount of 

time USDA supports a Fellow. CSREES 

does not deem this to be a sufficient 

amount of time to support a Fellow 

because this program intends to provide 

for students for the duration of their 

coursework to ensure that they complete 

degree requirements. 

Upon further consideration, CSREES 

is issuing the Final Rule as it was 

proposed. No public meeting was 

requested or held. 

Purpose 

The former rule (7 CFR part 3402) 

required that grantees refund all 

unexpended money to the Agency, if (1) 

Fellows are not appointed within 15 

months of the effective date of the grant; 

or (2) Fellowships are prematurely 

terminated. The Agency uses refunded 

money to provide Fellows with 

supplemental grants for international 

travel and thesis/dissertation travel. 

Numerous stakeholders expressed 

dissatisfaction with the requirement to 

refund unexpended grant funds. 

CSREES concluded that the Fellowship 

Program’s purpose is better served by 

extending the amount of time for 

Fellowship appointment and permitting 

grantees to recruit and train replacement 

Fellows. 

The former rule required that (1) new 

Graduate Fellows are newly recruited; 

and (2) have a strong interest in 

preparing for careers as food or 

agricultural scientists or professionals. 

Project Directors indicated that the 

recruitment restriction limited their 

ability to gauge whether new Fellows 

had the requisite interest. To give 

Project Directors more time to interact 

with potential Graduate Fellows before 

recruiting them into the Program, the 

Final Rule allows them to appoint 

students who have completed less than 

two semesters of full-time study as new 

Graduate Fellows.

Under the former rule, a grantee could 

award a Fellowship to a student 

enrolled as a master’s or doctoral degree 

candidate, but a grantee was prohibited 

from awarding a Fellowship to a 

postdoctoral candidate. Because of the 

new and multidisciplinary expertise 

required of the next generation of food 

and agricultural scientists, stakeholders 

and CSREES concluded that 

postdoctoral training is an integral part 

of their preparation. 

During the period of support, the 

former rule restricted Fellows from 

accepting employment from their 

sponsoring institution or any other 

agency. Grantees complained that this 

unfairly prohibited Fellows from 

participating in assistantships or other 

employment opportunities that 

included, as compensation, tuition 

waivers. At the discretion of sponsoring 

institutions, this Final Rule allows 

Fellows to accept additional 

supplemental employment that 

positively contributes to their training 

or research and provides eligibility for 

tuition waivers. 

The Agency revises the existing rule 

for the Food and Agricultural Sciences 

National Needs Graduate Fellowship 

Grants Program at 7 CFR part 3402 to 

address these problems. This Final Rule 

allows grantees up to 18 months after 

award to appoint Fellows, and permits 

the recruitment and training of 

replacement Fellows under certain 

circumstances. This Final Rule permits 

grantees to appoint as new Graduate 

Fellows students who have completed 

less than two semesters of full-time 

study. It also permits the Agency to 

fund postdoctoral Fellows preparing for 

a career in agricultural research, 

teaching or extension. Finally, this Final 

Rule authorizes Fellows, at the 

discretion of their institutions, to accept 

additional supplemental employment 

that will contribute to their training or 

research and provide eligibility for 

tuition waivers (e.g., full or partial 

tuition waivers provided with research 

or teaching assignments). 

Paperwork Reduction Act of 1995—

Information Collection 

Under the provisions of the 

Paperwork Reduction Act of 1995 (44 

U.S.C. chapter 35), the collection of 

information requirements contained in 

Federal Register / Vol. 69, No. 206 / Tuesday, October 26, 2004 / Rules and Regulations 62537 

this Final Rule have been approved 

(OMB Approval No. 0524–0039). 

Regulatory Flexibility Act 

USDA certifies that this rule will not 

have a significant impact on a 

substantial number of small entities as 

defined in the Regulatory Flexibility 

Act, Public Law 96–354, as amended (5 

U.S.C. 601, et seq.) because it is a 

Federal assistance program, not a 

regulatory regime, and the majority of 

awards will be made to colleges and 

universities that do not qualify as small 

entities. 

Executive Order 12866 

This rule has been reviewed under 

Executive Order 12866 and has been 

determined to be nonsignificant as it 

will not create a serious inconsistency 

or otherwise interfere with an action 

planned by another agency; will not 

materially alter the budgetary impact of 

entitlement, grants, user fees, or loan 

programs, or rights and obligations of 

the recipients thereof; and will not raise 

novel legal or policy issues arising out 

of legal mandates, the President’s 

priorities, or principles set forth in this 

Executive Order. This rule will not have 

an annual effect on the economy of $100 

million or more or adversely affect in a 

material way the economy, productivity, 

competition, jobs, the environment, 

public health, or safety, or State, local, 

or Tribal governments or communities. 

Unfunded Mandates Reform Act 

Pursuant to title II of the Unfunded 

Mandates Reform Act of 1995 (Pub. L. 

104–4), the Department assessed the 

effects of this rulemaking action on 

State, local, and Tribal government, and 

the public. This action does not compel 

the expenditure of $100 million or more 

by any State, local, or Tribal 

governments, or anyone in the private 

sector. Therefore, a statement under 

Section 202 of the Unfunded Mandates 

Reform Act of 1995 is not required. 

Small Business Regulatory Enforcement 

Fairness Act 

This rule is not a major rule under 5 

U.S.C. 804(2), the Small Business 

Regulatory Enforcement Fairness Act. 

This rule: 

(1) Does not have an annual effect on 

the economy of $100 million or more; (2) Will not cause a major increase in 

costs or prices for consumers, 

individual industries, Federal, State, or 

local government agencies, or 

geographic regions; and (3) Does not have significant adverse 

effects on competition, employment, 

investment, productivity, innovation, or 

the ability of U.S.-based enterprises to 

compete with foreign-based enterprises. 

Executive Order 12988 

This rule has been reviewed under 

Executive Order 12988, Civil Justice 

Reform. In accordance with the 

Executive Order: (1) All State and local 

laws and regulations that are in conflict 

with this rule will be preempted; (2) no 

retroactive effect will be given to this 

rule; (3) no administrative proceedings 

are required before bringing any judicial 

action regarding this rule. 

Executive Order 13132 

In accordance with Executive Order 

13132, this rulemaking does not have 

sufficient federalism implications to 

warrant the preparation of a Federalism 

Assessment. The policies contained in 

this rule do not have any substantial 

direct effect on the policymaking 

discretion of the States, on the 

relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government. Nor does this rule 

impose substantial direct compliance 

costs on State and local governments. 

Executive Order 12372 

For the reasons set forth in the Final 

Rule Related Notice for 7 CFR part 3015, 

subpart V (48 FR 29115, June 24, 1983), 

this program is excluded from the scope 

of the Executive Order 12372 which 

requires intergovernmental consultation 

with State and local officials. This 

program does not directly affect State 

and local governments. 

Executive Order 13175 

The policies contained in this 

rulemaking do not have tribal 

implications and thus no further action 

is required under Executive Order 

13175. 

List of Subjects in 7 CFR Part 3402 

Administrative practice and 

procedure, Colleges and universities, 

Educational study programs, Grant 

programs—agriculture, Scholarships 

and fellowships. 

■ For the reasons stated in the preamble, 

the Cooperative State Research, 

Education, and Extension Service 

revises title 7, part 3402 to read as 

follows: 

PART 3402—FOOD AND 

AGRICULTURAL SCIENCES 

NATIONAL NEEDS GRADUATE AND 

POSTGRADUATE FELLOWSHIP 

GRANTS PROGRAM 

Subpart A—General Introduction 

Sec. 

3402.1 Applicability of regulations. 

3402.2 Definitions. 

3402.3 Institutional eligibility. 

Subpart B—Program Description 

3402.4 Food and agricultural sciences areas 

targeted for National Needs Graduate and 

Postdoctoral Fellowship Grants Program 

support. 

3402.5 Overview of National Needs 

Graduate and Postdoctoral Fellowship 

Grants Program. 

3402.6 Overview of the special 

international study and/or thesis/ 

dissertation research travel allowance. 

3402.7 Fellowship appointments. 

3402.8 Fellowship activities. 

3402.9 Financial provisions. 

Subpart C—Preparation of an Application 

3402.10 Application package. 

3402.11 Proposal cover page. 

3402.12 Project summary. 

3402.13 National need narrative. 

3402.14 Budget and budget narrative. 

3402.15 Faculty vitae. 

3402.16 Appendix. 

Subpart D—Submission and Evaluation of 

an Application 

3402.17 Where to submit an application. 

3402.18 Evaluation criteria. 

Subpart E—Supplementary Information 

3402.19 Terms and conditions of grant 

awards. 

3402.20 Other Federal statutes and 

regulations that apply. 

3402.21 Confidential aspects of 

applications and awards. 

3402.22 Access to peer review information. 

3402.23 Documentation of progress on 

funded projects. 

3402.24 Evaluation of program. 

Authority: 7 U.S.C. 3316. 

Subpart A—General Introduction 

§ 3402.1 Applicability of regulations. 

(a) The regulations of this part apply 

to competitive grants awarded under the 

provisions of section 1417(b)(6) of the 

National Agricultural Research, 

Extension and Teaching Policy Act of 

1977, as amended, 7 U.S.C. 3152(b)(6). 

The Act designates the U.S. Department 

of Agriculture (USDA) as the lead 

Federal agency for agricultural research, 

extension, and teaching in the food and 

agricultural sciences. Section 1417(b)(6) 

authorizes the Secretary of Agriculture, 

who has delegated the authority to the 

Cooperative State Research, Education, 

and Extension Service (CSREES), to 

make competitive grants to land-grant 

colleges and universities, colleges and 

universities having significant minority 

enrollments and a demonstrable 

capacity to carry out the teaching of 

food and agricultural sciences, and to 

other colleges and universities having a 

demonstrable capacity to carry out the 

teaching of food and agricultural 

sciences, to administer and conduct 

62538 Federal Register / Vol. 69, No. 206 / Tuesday, October 26, 2004 / Rules and Regulations 

graduate and postdoctoral fellowship 

programs to help meet the Nation’s 

needs for development of scientific and 

professional expertise in the food and 

agricultural sciences. The Graduate 

Fellowships are intended to encourage 

outstanding students to pursue and 

complete graduate degrees in the areas 

of food and agricultural sciences 

designated by CSREES through the 

Office of Higher Education Programs 

(HEP) as national needs. The 

postdoctoral Fellowships are intended 

to provide additional mentoring and 

training to outstanding USDA Graduate 

Fellows who completed their doctoral 

degrees no more than five (5) years 

before they begin the postdoctoral 

Fellowships. 

(b) The regulations of this part do not 

apply to grants awarded by the 

Department of Agriculture under any 

other authority.

§ 3402.2 Definitions. 

As used in this part: 

Citizen or national of the United 

States means—

(1) A citizen or native resident of a 

State; or, 

(2) A person defined in the 

Immigration and Nationality Act, 8 

U.S.C. 1101(a)(22), who, though not a 

citizen of the United States, owes 

permanent allegiance to the United 

States. 

College and university means an 

educational institution in any State 

which—

(1) Admits as regular students only 

persons having a certificate of 

graduation from a school providing 

secondary education, or the recognized 

equivalent of such a certificate,

(2) Is legally authorized within such 

State to provide a program of education 

beyond secondary education, 

(3) Provides an educational program 

for which a bachelor’s degree or any 

other higher degree is awarded, 

(4) Is a public or other nonprofit 

institution, and 

(5) Is accredited by a nationally 

recognized accrediting agency or 

association. 

Food and agricultural sciences means 

basic, applied, and developmental 

research, extension, and teaching 

activities in the food, agricultural, 

renewable natural resources, forestry, 

and physical and social sciences in the 

broadest sense of these terms including 

but not limited to research, extension 

and teaching activities concerned with 

the production, processing, marketing, 

distribution, conservation, 

consumption, research, and 

development of food and agriculturally 

related products and services, inclusive 

of programs in agriculture, natural 

resources, aquaculture, forestry, 

veterinary medicine, home economics, 

rural development, and closely allied 

fields. 

Graduate degree means a master’s or 

doctoral degree. 

State means any one of the fifty 

States, the Commonwealth of Puerto 

Rico, Guam, American Samoa, the 

Commonwealth of the Northern 

Marianas, the Federated States of 

Micronesia, the Republic of the 

Marshall Islands, the Republic of Palau, 

the Virgin Islands of the United States, 

and the District of Columbia. 

Teaching activities means formal 

classroom instruction, laboratory 

instruction, and practicum experience 

specific to the food and agricultural 

sciences and matters relating thereto 

conducted by colleges and universities 

offering baccalaureate or higher degrees.

§ 3402.3 Institutional eligibility. 

Applications may be submitted by 

land-grant colleges and universities, by 

colleges and universities having 

significant minority enrollments and a 

demonstrable capacity to carry out the 

teaching of food and agricultural 

sciences, and by other colleges and 

universities having a demonstrable 

capacity to carry out the teaching of 

food and agricultural sciences. All 

applicants must be institutions that 

confer a graduate degree in at least one 

area of the food and agricultural 

sciences targeted for National Needs 

Fellowships, that have a significant ongoing commitment to the food and 

agricultural sciences generally, and that 

have a significant ongoing commitment 

to the specific subject area for which a 

grant application is made. It is the 

objective to award grants to colleges and 

universities which have notable 

teaching and research competencies in 

the food and agricultural sciences. The 

Graduate Fellowships are specifically 

intended to support programs that 

encourage outstanding students to 

pursue and complete a graduate degree 

at such institutions in an area of the 

food and agricultural sciences for which 

there is a national need for the 

development of scientific and 

professional expertise. The postdoctoral 

Fellowships are designed to support 

academic programs that provide 

additional training and mentoring to 

USDA Graduate Fellows and have 

notable teaching and research 

competencies in the CSREES designated 

national need areas. Institutions which 

currently have excellent programs of 

graduate study and training in the food 

and agricultural sciences dealing with 

targeted national needs are particularly 

encouraged to apply for all National 

Needs Fellowships.

Subpart B—Program Description

§ 3402.4 Food and agricultural sciences 

areas targeted for National Needs Graduate 

and Postdoctoral Fellowship Grants 

Program support. 

Areas of the food and agricultural 

sciences, including multidisciplinary 

studies, appropriate for Fellowship 

grant applications are those in which 

developing shortages of expertise have 

been determined and targeted by HEP 

for National Needs Graduate and 

Postdoctoral Fellowship Grants Program 

support. When funds are available and 

HEP determines that a new competition 

is warranted, the specific areas and 

funds per area will be identified in a 

funding opportunity announcement 

announcing the program and soliciting 

program applications.

§ 3402.5 Overview of National Needs 

Graduate and Postdoctoral Fellowship 

Grants Program. 

(a) The program will provide funds 

for a limited number of grants to 

support graduate student stipends and 

cost-of-education institutional 

allowances. These grants will be 

awarded competitively to eligible 

institutions. In order to encourage the 

development of special activities that 

are expected to contribute to Fellows’

advanced degree objectives, the program 

will also provide competitive, special 

international study or thesis/

dissertation research travel allowances 

for a limited number of USDA Graduate 

Fellows. To encourage academic 

institutions to provide additional 

training/mentoring to outstanding 

USDA Graduate Fellows who have 

completed their doctoral degrees, the 

program will also provide postdoctoral 

Fellowship grants to a limited number 

of USDA Graduate Fellows. 

(b) Based on the amount of funds 

appropriated in any fiscal year, HEP 

will determine: 

(1) Whether new competitions for 

graduate Fellowships, postdoctoral 

Fellowships, and/or special 

international study or thesis/

dissertation research travel allowances 

will be held during that fiscal year; 

(2) The degree level(s) to be 

supported—master’s, doctoral and/or 

postdoctoral;

(3) The proportion of appropriations 

to be targeted for Fellowship stipends 

for each respective degree level 

supported; 

(4) The proportion of appropriations 

to be targeted for the cost-of-education 

institutional allowances for each 

respective degree level supported; 

Federal Register / Vol. 69, No. 206 / Tuesday, October 26, 2004 / Rules and Regulations 62539

(5) The proportion of appropriations 

to be targeted for the special 

international study or thesis/

dissertation research travel allowances 

for each respective degree level 

supported; 

(6) The allowable stipend amount for 

each respective degree level supported, 

the cost-of-education institutional 

allowance for each respective degree 

level supported, and the maximum 

funds available for each special 

international study or thesis/

dissertation research travel allowance 

for each respective degree level 

supported; 

(7) The activities for which the costof-education allowance may be used for 

awards made in that year; and 

(8) The maximum total funds that 

may be awarded to an institution under 

the program in a given fiscal year. 

(c) HEP will also determine: 

(1) The maximum number of national 

needs areas for which funding may be 

requested in a single application; 

(2) The degree levels for which 

funding may be requested in a single 

application; 

(3) The minimum and maximum 

number of fellowships for which an 

institution may apply in a single 

application; and 

(4) The limits on the total number of 

applications that can be submitted by an 

institution, college, school, or other 

administrative unit. 

(d) These determinations will be 

published as a part of the solicitation, 

which will be available at http://

www.grants.gov.

§ 3402.6 Overview of the special 

international study and/or thesis/

dissertation research travel allowance. 

(a) For each USDA Graduate Fellow 

who desires to be considered for a 

special international study or thesis/

dissertation research travel allowance, 

the Project Director must apply to HEP 

for a supplemental grant in accordance 

with instructions published in the 

solicitation. Postdoctoral Fellows are 

not eligible to receive the special 

international study or thesis/

dissertation research travel allowance. 

Each application must include a 

‘‘Proposal Cover Page’’ (Form CSREES–

2002), ‘‘Project Summary’’ (Form 

CSREES–2003), ‘‘Budget’’ (Form 

CSREES–2004) and National 

Environmental Policy Act Exclusions 

Form (Form CSREES—2006). 

(1) To provide HEP with sufficient 

information upon which to evaluate the 

merits of the requests for a special 

international study or thesis/

dissertation research travel allowance, 

each application for a supplemental 

grant must contain a narrative which 

provides the following: 

(i) The specific destination(s) and 

duration of the travel; 

(ii) The specific study or thesis/

dissertation research activities in which 

the Fellow will be engaged; 

(iii) How the international experience 

will contribute to the Fellow’s program 

of study; 

(iv) A budget narrative specifying and 

justifying the dollar amount requested 

for the travel; 

(v) Summary credentials of the faculty 

or other professionals with whom the 

Fellow will be working during the 

international experience (summary 

credentials must not exceed three pages 

per person); 

(vi) A letter from the dean of the 

Fellow’s college or equivalent 

administrative unit supporting the 

Fellow’s travel request and certifying 

that the travel experience will not 

jeopardize the Fellow’s satisfactory 

progress toward degree completion; and 

(vii) A letter from the fellowship grant 

Project Director certifying the Fellow’s 

eligibility, the accuracy of the Fellow’s 

travel request, and the relevance of the 

travel to the Fellow’s advanced degree 

objectives. 

(2) The narrative portion of the 

application must not exceed the page 

limitation included in the program 

solicitation. 

(b) All complete requests will be 

evaluated by professional staff from 

USDA or other Federal agencies, as 

appropriate. Evaluation criteria will be 

published in the solicitation. HEP will 

award grants in accordance with 

evaluation criteria and to the extent 

possible based on availability of funds. 

(c) Any current Fellow with sufficient 

time to complete the international 

experience before the termination date 

of the grant under which he/she is 

supported is eligible for a special 

international study or thesis/

dissertation research travel allowance. 

Before the international study or thesis/

dissertation research travel may 

commence, a Fellow must have 

completed one academic year of fulltime study, as defined by the institution, 

under the Fellowship appointment and 

arrangements must have been 

formalized for the Fellow to study and/

or conduct research in the foreign 

location(s).

§ 3402.7 Fellowship appointments.

(a)(1) Fellows must be identified and 

Fellowships must be awarded within 18 

months of the effective date of a grant. 

Institutions failing to meet this deadline 

will be required to refund monies 

associated with any unawarded 

Fellowship(s). Graduate Fellowship 

appointments may be held only by 

persons who enroll and pursue full-time 

study in a graduate degree program in 

the national need area and at the degree 

level supported by the grant. 

Postdoctoral Fellowship appointments 

may be held only by persons who 

pursue full-time traineeship in research, 

teaching or extension in the national 

need area and are supervised by the 

mentor indicated in the grant 

application. 

(2) It will be the responsibility of the 

grantee institution to award fellowships 

to students of superior academic ability. 

(3) Graduate Fellows: 

(i) Must be appointed before 

completing two semesters or equivalent 

hours of full-time study, as defined by 

the institution, or immediately after 

passing of candidacy/qualifying 

examinations, whichever is later; 

(ii) Must be citizens or nationals of 

the United States as determined in 

accordance with Federal law; and 

(iii) Must have strong interest, as 

judged by the institution, in pursuing a 

degree in a targeted national need area 

and in preparing for a career as a food 

or agricultural scientist or professional. 

(4) Postdoctoral Fellows: 

(i) Must have been USDA Graduate 

Fellows who successfully completed 

their doctoral degrees in areas of the 

food and agricultural sciences 

designated by CSREES as national need 

areas; 

(ii) Must not have obtained their 

doctoral degrees more than five years 

prior to beginning their postdoctoral 

Fellowships; 

(iii) Must have strong interest, as 

judged by the institution, in preparing 

for a career in agricultural research, 

teaching or extension. 

(5)(i) A doctoral level Graduate 

Fellow who maintains satisfactory 

progress in his or her course of study is 

eligible for support for a maximum of 36 

months within a 42-month period. A 

master’s level Fellow who maintains 

satisfactory progress in his or her course 

of study is eligible for support for a 

maximum of 24 months during a 30-

month period. A postdoctoral Fellow 

who achieves his or her training 

objectives is eligible for support for a 

maximum of 36 months during a 60-

month period. It is the intent of this 

program that Graduate Fellows pursue 

full-time uninterrupted study or thesis/

dissertation research, including time 

spent pursuing USDA-funded special 

international study or thesis/

dissertation research activities. 

(ii) Postdoctoral Fellowship 

appointments may be held only by 

persons who pursue full-time 

62540 Federal Register / Vol. 69, No. 206 / Tuesday, October 26, 2004 / Rules and Regulations 

traineeship in research, teaching, or 

extension in the national need area and 

are supervised by the mentor indicated 

in the grant application. 

However, during the period of 

support, USDA Graduate and 

Postdoctoral Fellows are permitted, at 

the discretion of their institutions, to 

accept additional supplemental 

employment that would positively 

contribute to their training or research 

and provide eligibility for tuition 

waivers (e.g., full or partial tuition 

waivers with research or teaching 

assignments). 

(iii) For graduate Fellows requiring 

additional time to complete a degree, it 

is expected that the institution will 

endeavor to continue supporting 

individuals originally appointed to 

Fellowships through such other 

institutional means as teaching 

assistantships and research 

assistantships. For postdoctoral Fellows 

who terminate the Fellowships 

prematurely, the institution must return 

all unexpended monies to USDA. For 

USDA Graduate Fellows who complete 

the program of study early (less than 24 

months for master’s degree or 36 months 

for doctoral degree) or terminate their 

Fellowships prematurely, the institution 

may use any unexpended monies, 

within the time remaining on the project 

grant, to support pursuit of a doctoral 

degree in a discipline in the food and 

agricultural sciences by a master’s 

degree level Fellow at the grantee 

institution; or a replacement Graduate 

Fellow. Where less than one semester/

quarter remains before the expiration 

date of the Graduate Fellowship grant, 

the institution must refund any 

unexpended monies to the granting 

agency. Such funds cannot be used to 

increase the annual stipend amounts for 

current USDA Graduate or Postdoctoral 

Fellows.

(b) Within the framework of the 

regulations in this part, all decisions 

with respect to the appointment of 

Fellows will be made by the institution. 

However, institutions are urged to take 

maximum advantage of opportunities 

for awarding Fellowships to members of 

underrepresented groups at the graduate 

and postdoctoral level in the food and 

agricultural sciences, particularly 

minorities and women. Throughout a 

USDA Graduate Fellow’s tenure, the 

institution should satisfy itself that the 

Fellow is making satisfactory academic 

progress, and carrying out, or planning 

to carry out, national needs related 

research. If an institution finds it 

necessary to terminate support of a 

USDA Graduate Fellow or a 

postdoctoral Fellow for insufficient 

progress or by decision on the part of 

the Fellow, the Fellow may no longer 

receive funds from the active grant. 

However, termination does not 

automatically disqualify a Fellow from 

receiving future grant support under 

this program. If a graduate or 

postdoctoral Fellow finds it necessary to 

interrupt his or her program of study 

because of health, personal reasons, or 

outside employment, the institution 

must reserve the funds for the purpose 

of allowing the Fellow to resume funded 

training any time within a six (6) month 

period. However, a USDA Graduate or 

Postdoctoral Fellow who finds it 

necessary to interrupt his/her program 

of training more than one time cannot 

exceed a total of six (6) months’

cumulative leave status without 

forfeiting eligibility. For a USDA 

Graduate Fellowship terminated 

because of insufficient progress, by 

decision on the part of the Fellow, or 

reserved due to an interrupted program 

but not resumed within the required 

time period, the institution may use any 

unexpended monies to support, within 

the time remaining on the project grant, 

and subject to the limitations above, a 

replacement Fellow at the same master’s 

or doctoral levels. For postdoctoral 

Fellowships terminated because of 

insufficient progress, by decision on the 

part of the Fellow, or reserved due to an 

interrupted program but not resumed 

within the required time period, the 

institution must return all the 

unexpended monies to CSREES. 

(c) Only Fellows enrolled in master’s 

programs of study may be supported 

under master’s Fellowship grants. 

Master’s degree level Fellows who 

complete their degree early may be 

supported under master’s Fellowship 

grants, if they are enrolled in Ph.D. 

programs in areas of the food and 

agricultural sciences designated as 

national need areas. Only Fellows 

enrolled in doctoral programs of study 

may be supported under doctoral degree 

Fellowship grants. Only USDA Graduate 

Fellows who have completed their 

doctoral degrees may be supported 

under postdoctoral Fellowship grants.

§ 3402.8 Fellowship activities. 

A USDA Graduate Fellow shall be 

enrolled as a full-time graduate student, 

as defined by the institution, at all times 

during the tenure of the Fellowship in 

the national need area and at the degree 

level supported by the grant. This 

includes the time used for special 

international study or thesis/

dissertation research, if the international 

travel is funded through a special 

international study or thesis/

dissertation research travel allowance 

under this grant program. However, the 

normal requirement for formal 

registration during part of this tenure 

may be waived if permitted by the 

policy of the Fellowship institution, 

provided that the Graduate Fellow is 

making satisfactory progress toward 

degree completion and remains engaged 

in appropriate full-time Fellowship 

activities such as thesis/dissertation 

research. Postdoctoral Fellowship 

appointments may be held only by 

persons who pursue full-time 

traineeship in research, teaching, or 

extension in the national need area and 

are supervised by the mentor indicated 

in the grant application. Graduate and 

postdoctoral Fellows in academic 

institutions are not entitled to vacations 

as such. They are entitled to the short 

normal student holidays observed by 

the institution. The time between 

academic semesters or quarters is to be 

utilized as an active part of the grant 

period. During the period of support, 

USDA Graduate and Postdoctoral 

Fellows are permitted, at the discretion 

of their institutions, to accept additional 

supplemental employment that would 

positively contribute to their training or 

research and provide eligibility for 

tuition waivers (e.g., full or partial 

tuition waivers provided with research 

or teaching assignments). A Fellow may 

accept from any other entity a grant 

supporting the Fellow’s research costs.

§ 3402.9 Financial provisions. 

An institution may elect to apply the 

cost-of-education/training institutional 

allowance to a Fellow’s tuition, fees and 

laboratory expenses and to defray other 

program expenses (e.g., recruitment, 

travel, publications, or salaries of 

project personnel), unless stated 

otherwise in the solicitation. Tuition 

and fees are the responsibility of the 

Fellow unless an institution elects to 

use its cost-of-education institutional 

allowance for this purpose or elects to 

pay such costs out of non-USDA 

monies. No dependency allowances are 

provided to any USDA Graduate or 

Postdoctoral Fellows. Stipend payments 

and special international study or 

thesis/dissertation research travel 

allowances may be made to Fellows by 

the institution, in accordance with 

standard institutional procedures for 

graduate and postdoctoral fellowships 

and assistantships.

Subpart C—Preparation of an 

Application

§ 3402.10 Application package. 

Applications will be available at 

http://www.grants.gov and through the 

CSREES Web site. An application 

package will be made available to any 

Federal Register / Vol. 69, No. 206 / Tuesday, October 26, 2004 / Rules and Regulations 62541

potential grant applicant upon request. 

This package will include all necessary 

forms and instructions to apply for a 

grant under this program.

§ 3402.11 Proposal cover page. 

The Proposal Cover Page, Form 

CSREES–2002, must be completed in its 

entirety, including all authorizing 

signatures. One copy of each grant 

application must contain the original 

pen-and-ink signatures, or approved 

electronic equivalent, of: 

(a) The Project Director(s); and 

(b) The Authorized Organizational 

Representative for the institution.

§ 3402.12 Project summary. 

Using the Project Summary, Form 

CSREES–2003, applicants must 

summarize the proposed graduate 

program of study and/or the academic 

and research strengths of the institution 

in the national need area for which 

funding is requested. To the extent 

possible, applicants should emphasize 

the uniqueness of the proposed program 

of training. The summary should not 

include any reference to the specific 

number of fellowships requested. The 

information on Form CSREES–2003 will 

be used in assigning the most 

appropriate panelists to review an 

application. If an application is 

supported, this Form may be used in 

program publications.

§ 3402.13 National need narrative. 

HEP will determine the composition 

of the narrative for each competition, 

including page limits, font size, the 

number and the order of sections, and 

other supporting information that may 

be required. Detailed instructions for 

preparing the narrative will be 

published in the solicitation.

§ 3402.14 Budget and budget narrative. 

Applicants must prepare the Budget, 

Form CSREES–2004, and a budget 

narrative identifying all costs associated 

with the application. Instructions for 

completing the Budget are provided 

with the form.

§ 3402.15 Faculty vitae. 

This section should include a 

Summary Vita, no more than 2 pages 

excluding publications listing, for each 

faculty member contributing 

significantly to institutional competence 

at the level of graduate study for the 

national need area addressed in the 

application. Applicants should arrange 

the faculty vitae with the Project 

Director(s) first, followed by the 

remaining faculty, in alphabetical order.

§ 3402.16 Appendix. 

Any additional supporting 

information deemed essential to 

enhancing the application should be 

included in an Appendix and 

referenced in the national need 

narrative.

Subpart D—Submission and 

Evaluation of an Application

§ 3402.17 Where to submit an application. 

The solicitation will indicate the date 

for submission of applications and the 

number of application copies required 

to apply for a grant. In addition, the 

solicitation will provide the address to 

which the application, the required 

number of accompanying duplicate 

copies, and any other required forms 

and materials should be sent.

§ 3402.18 Evaluation criteria. 

Applications addressing a particular 

national need area at a particular 

Fellowship level (master’s, doctoral or 

postdoctoral) will be evaluated in 

competition with other applications 

addressing the same national need area 

at the same level. Both USDA internal 

staff and the panelists will evaluate 

applications on the basis of the criteria 

published in the solicitation.

Subpart E—Supplementary 

Information

§ 3402.19 Terms and conditions of grant 

awards. 

Within the limit of funds available for 

such purpose, the awarding official 

shall make project grants to those 

responsible, eligible applicants whose 

applications are judged most 

meritorious according to evaluation 

criteria stated in the solicitation. 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. 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 

assistance regulations (parts 3015 and 

3019 of 7 CFR).

§ 3402.20 Other Federal statutes and 

regulations that apply. 

Several Federal statutes and 

regulations apply to grant applications 

considered for review and to grants 

awarded under this program. These 

include, but are not limited to:

7 CFR part 1, subpart A—USDA 

implementation of the Freedom of 

Information Act. 

7 CFR part 3—USDA implementation of 

OMB Circular No. A–129 regarding debt 

collection. 

7 CFR part 15, subpart A—USDA 

implementation of title VI of the Civil Rights 

Act of 1964, as amended. 

7 CFR part 331 and 9 CFR part 121—USDA 

implementation of the Agricultural 

Bioterrorism Protection Act of 2002. 

7 CFR part 3015, or any successor rule—

USDA Uniform Federal Assistance 

Regulations, as amended, implementing 

OMB directives (i.e., Circular Nos. 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, Pub. 

L. No. 95–224), as well as general policy 

requirements applicable to recipients of 

Departmental financial assistance. 

7 CFR part 3017—USDA implementation 

of Government wide Debarment and 

Suspension (Nonprocurement) and 

Government wide Requirements for DrugFree Workplace (Grants). 

7 CFR part 3018—USDA implementation 

of New Restrictions on Lobbying. Imposes 

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 implementation 

of OMB Circular No. A–110, Uniform 

Administrative Requirements for Grants and 

Other Agreements with Institutions of Higher 

Education, Hospitals, and Other Nonprofit 

Organizations. 

7 CFR part 3052—USDA implementation 

of OMB Circular No. A–133, Audits of States, 

Local Governments, and Nonprofit 

Organizations. 

7 CFR part 3407—CSREES implementation 

of 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. 

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).

§ 3402.21 Confidential aspects of 

applications and awards. 

When an application results in a 

grant, the application and supporting 

information become part of the record of 

CSREES transactions, and available to 

the public upon specific request. 

Information that the Secretary 

determines to be of a confidential, 

privileged, or proprietary nature will be 

held in confidence to the extent 

permitted by law. Therefore, any 

information that the applicant wishes to 

have considered as confidential, 

privileged, or proprietary should be 

clearly marked within the application. 

62542 Federal Register / Vol. 69, No. 206 / Tuesday, October 26, 2004 / Rules and Regulations 

The original copy of an application that 

does not result in a grant will be 

retained by the Agency for a period of 

one year. Other copies will be 

destroyed. Such an application will be 

released only with the consent of the 

applicant or to the extent required by 

law. An application may be withdrawn 

at any time prior to the final action 

thereon.

§ 3402.22 Access to peer review 

information. 

After final decisions have been 

announced, HEP will, upon request, 

inform the PD of the reasons for its 

decision on an application. Verbatim 

copies of summary reviews, not 

including the identity of the reviewers, 

will be made available to respective PDs 

upon specific request.

§ 3402.23 Documentation of progress on 

funded projects. 

(a) Fellowships/Scholarships Entry/

Exit Forms (Form CSREES–2010) are 

available from CSREES upon request. 

Upon request by HEP, Project Directors 

awarded Graduate Fellowship 

(excluding supplemental international 

and postdoctoral) grants under the 

program shall complete and submit this 

form. 

(1) Appointment Information shall be 

submitted to HEP within 3 months of 

appointment of a Fellow; 

(2) The Project Director shall submit 

an annual update of each Fellow’s 

progress to HEP by September 30 each 

year. Additional progress reports may be 

needed to assess continuing progress of 

Fellows supported by any special 

international study or thesis/

dissertation research allowance and/or 

institutional adherence to program 

guidelines. 

(3) Exit Information shall be 

completed and submitted to HEP by the 

Project Director for each Fellow 

supported by a grant as soon as a Fellow 

either: Graduates; is officially 

terminated from the Fellowship or the 

academic program due to unsatisfactory 

academic progress; or voluntarily 

withdraws from the Fellowship or the 

academic program. If a Fellow has not 

completed all degree requirements at 

the end of the five-year grant duration, 

HEP may request a preliminary exit 

report. In such a case, a final exit report 

shall be required at a later date. When 

a final exit report for each Fellow 

supported by a grant has been accepted 

by HEP, the grantee will have satisfied 

the requirement of a final performance 

report for the grant. Additional followup reports to track Fellows’ career 

patterns may be requested. 

(b) All grantees (supplemental 

international, graduate, and 

postdoctoral) shall submit initial project 

information and annual and summary 

reports to CSREES’ Current Research 

Information System (CRIS). The CRIS 

database contains narrative project 

information, progress/impact 

statements, and final technical reports 

that are made available to the public. 

For applications recommended for 

funding, instructions on preparation 

and submission of project 

documentation will be provided to the 

applicant by the agency contact. 

Documentation must be submitted to 

CRIS before CSREES funds will be 

released. Project reports will be 

requested by the CRIS office when 

required. For more information about 

CRIS, visit http://cris.csrees.usda.gov.

§ 3402.24 Evaluation of program. 

Grantees should be aware that HEP 

may, as a part of its own program 

evaluation activities, carry out in-depth 

evaluations of assisted activities through 

independent third parties. Thus, 

grantees should be prepared to 

cooperate with evaluators retained by 

HEP to analyze both the institutional 

context and the impact of any supported 

project.

Dated: October 19, 2004. 

Daniel E. Kugler, 

Acting Administrator, Cooperative State 

Research, Education, and Extension Service.

[FR Doc. 04–23896 Filed 10–25–04; 8:45 am] 

BILLING CODE 3410–22–P