[Federal Register Volume 60, Number 91 (Thursday, May 11, 1995)]
[Proposed Rules]
[Pages 25594-25596]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-11577]




[[Page 25593]]

_______________________________________________________________________

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

Federal Register / Vol. 60, No. 91, Thursday, May 11, 1995 / Proposed 
Rules  
[[Page 25594]] 

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.

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

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.

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

    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

    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. 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), [[Page 25595]] (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. 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:
    (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:
    (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 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''. [[Page 25596]] 
    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.

* * * * *
    (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.
* * * * *
    (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.

* * * * *
    (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. 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]
BILLING CODE 3410-22-M