[Federal Register Volume 60, Number 236 (Friday, December 8, 1995)]
[Rules and Regulations]
[Pages 63368-63370]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-29787]





[[Page 63367]]

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Part III





Department of Agriculture





_______________________________________________________________________



Cooperative State Research, Education, and Extension Service



_______________________________________________________________________



7 CFR Parts 3200 and 3411



National Cooperative Research Initiative Grants Program: Administrative 
Provisions; Requirements for Agricultural Research Enhancement Awards; 
Final Rule

Federal Register / Vol. 60. No. 236 / Friday, December 8, 1995 / 
Rules and Regulations

[[Page 63368]]


DEPARTMENT OF AGRICULTURE

Cooperative State Research, Education, and Extension Service

7 CFR Parts 3200, 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: Final rule; amendment.

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SUMMARY: This final rule amends the Cooperative State Research, 
Education, and Extension Service (CSREES) 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.

EFFECTIVE DATE: November 27, 1995.

FOR FURTHER INFORMATION CONTACT:
Sally Rockey, Acting Deputy Administrator, CSREES, USDA, AG Box 2240, 
Washington, D.C. 20250-2240. Telephone: (202) 401-1761.

SUPPLEMENTARY INFORMATION:

Paperwork Reduction

    Information collection for this rule has previously been approved 
by the Office of Management and Budget (OMB) under the Paperwork 
Reduction Act of 1980 (44 U.S.C. 3501-3520), and assigned OMB control 
numbers 0524-0022 and 0524-0033. This amendment does not change this 
information collection burden.

Classification

    This rule has been reviewed under Executive Order 12866 and it has 
been determined that it is not a ``significant regulatory action'' rule 
because it will not have an annual effect on the economy of $100 
million or more or adversely and materially affect a sector of the 
economy, productivity, competition, jobs, the environment, public 
health or safety, or State, local, or tribal governments or 
communities. This 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 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 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 Purposes

    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, P.L. 
103-354, redelegated this authority to the Administrator of the CSREES.
    This 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. Section 3411.3(d)(3)(ii)(C) has been 
changed from the proposed rule so that appointments to degree-granting 
institutions do not have to be full-time.

Discussion of Comments

Section 3411.2  Definitions

    One respondent suggested including the following: ``All proposed 
research should support the mission of generating new knowledge 
relevant to the agricultural, food, and natural resources sector of the 
economy.'' CSREES agrees with the proposed statement, but notes that 
this idea is conveyed in Sec. 3200.1 and therefore that an additional 
statement is unnecessary.

List of subjects in 7 CFR Part 3411

    Grant Programs--Agriculture, Grants administration.

    For the reasons set forth in the preamble, CSREES amends 7 CFR 
Chapters XXXII and XXXIV as follows:

PART 3200--[REDESIGNATED AS PART 3411]

    1. Part 3200 is 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:


[[Page 63369]]

    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, the term ``National Competitive 
Research Initiative Grants Program'' is revised to read ``National 
Research Initiative Competitive Grants Program'' in Sec. 3411.1(a).
    4. In newly redesignated part 3411, the term ``NCRIGP'' is revised 
to read ``NRICGP'', each time it appears in Secs. 3411.1(a) and 
3411.4(c)(9)(iii).
    5. In newly redesignated part 3411, the term ``Grant Application 
Kit'' is revised to read ``NRICGP Application Kit'' each time it 
appears in Sec. 3411.4(b) introductory text, (c)(1), (8), (9) (i), (ii) 
and (iii).
    6. Newly redesignated section 3411.2 is amended by revising the 
introductory text, 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 specified in the annual 
program solicitation.
    (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.
    7. Newly redesignated section 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 received 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 and 
colleges for receiving Federal funds for science and engineering 
research as specified in the annual program solicitation; or
    (B) non-degree granting institutions.
    (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 NRICGP competitive research grant 
within the last five years as evidenced by an investigator listing on a 
prior Form CSRS-661 (an investigator may have received a Seed Grant, 
Research Career Enhancement Award, Equipment Grant, or Postdoctoral 
Fellowship and still be eligible to receive a Strengthening Standard 
Research Project Award);
    (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 and colleges for receiving Federal funds 
for science and engineering research as specified in the annual program 
solicitation 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 an appointment at a degree granting institution.
    8a. The heading of paragraph (c)(1) of newly redesignated 
Sec. 3411.4 is revised to read as set forth below, and in paragraph 
(c)(1), the words ``a Grant Application cover page'' are revised to 
read ``an Application for Funding form''.
    b. 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 
revising the term ``Institutional Review Board'' to read 
``Institutional Committee'' in paragraph (c)(9)(ii), by adding a new 
last sentence to paragraph (c)(9)(iii), and adding new 

[[Page 63370]]
paragraphs (c) (13) and (14) to read as follows:


Sec. 3411.4  How to apply for a grant.

 * * * * *
    (c) * * *
    (1) Application for Funding form. * * *
 * * * * *
    (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.
    (14) 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 section 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 section 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 specified in the annual program solicitation.

    Done at Washington, D.C., this 1st day of December 1995.
Colien Hefferan,
Acting Administrator, Cooperative State Research, Education, and 
Extension Service.
[FR Doc. 95-29787 Filed 12-7-95; 8:45 am]
BILLING CODE 3410-22-M