63368 Federal Register / Vol. 60. No. 236 / Friday, December 8, 1995 / Rules and Regulations

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.

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 § 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:
Federal Register / Vol. 60. No. 236 / Friday, December 8, 1995 / Rules and Regulations 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 § 3411.1(a).

4. In newly redesignated part 3411,

the term ‘‘NCRIGP’’ is revised to read

‘‘NRICGP’’, each time it appears in

§§ 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 § 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:

§ 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 threeyear 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:

§ 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 coinvestigators who are beginning their

research careers, do not have an

extensive research publication record,

and have less than 5 years of postgraduate, 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 § 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 § 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
63370 Federal Register / Vol. 60. No. 236 / Friday, December 8, 1995 / Rules and Regulations

paragraphs (c) (13) and (14) to read as

follows:

§ 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:

§ 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:

§ 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:

§ 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