27752 Federal Register / Vol. 61, No. 106 / Friday, May 31, 1996 / Rules and Regulations

DEPARTMENT OF AGRICULTURE

Cooperative State Research,

Education, and Extension Service

7 CFR Part 3401

Rangeland Research Grants Program;

Administrative Provisions

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 Rangeland

Research Grants Program, which

prescribe the procedures to be followed

annually in the solicitation of rangeland

research grant proposals, the evaluation

of such proposals, and the award of

rangeland research grants under this

program. This rule implements the

requirements of the National

Environmental Policy Act as outlined in

§ 3401.6(c)(16), revises the objectives of

the program as stated in § 3401.17(a),

changes the agency name to reflect the

Departmental Reorganization, and

makes a few additional minor changes.

CSREES is publishing these regulations

in their entirety to enhance their use by

the public and to ensure expeditious

submission and processing of grant

proposals.

EFFECTIVE DATE: May 31, 1996.

FOR FURTHER INFORMATION CONTACT:

Louise Ebaugh, Director, Office of

Extramural Programs, Competitive

Research Grants and Awards

Management, Cooperative State

Research, Education, and Extension

Service, United States Department of

Agriculture, Ag Box 2245, Washington,

DC 20250–2245. (Telephone (202) 401–

5024).

SUPPLEMENTARY INFORMATION:

Paperwork Reduction

The Office of Management and Budget

has previously approved the

information collection requirements

contained in the current regulations at

7 CFR Part 3401 under the provisions of

44 U.S.C. Chapter 35 and OMB

Document No. 0524–0022 has been

assigned. Public reporting burden for

the information collections contained in

these regulations is estimated to vary

from 1⁄2 hour to 3 hours per response,

including the time for reviewing

instructions, searching existing data

sources, gathering and maintaining the

data needed, and completing and

reviewing the collection of information.

Send comments regarding this burden

estimate or any other aspect of this

collection of information, including

suggestions for reducing this burden, to

Department of Agriculture, Clearance

Officer, OIRM, Room 404–W,

Washington, D.C. 20250; and to the

Office of Management and Budget,

Paperwork Reduction Project (OMB

Document No. 0524–0022), Washington,

D.C. 20503.

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.

Executive Order No. 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.

Executive Order No. 12612

This rule has been reviewed under

Executive Order No. 12612 pertaining to

Federalism. While this rule will affect

institutions of higher education and

other nonprofit organizations, it will do

so only to the extent of requiring that

applicants and grantees comply with

existing laws, regulations, public

policies, and the dictates of good

management to ensure the safeguarding

of public funds. For this reason,

CSREES has determined that this rule

will not have sufficient Federalism

implications to warrant the preparation

of a Federalism Assessment.

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).

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 Rangeland Research Grants

Program is listed in the Catalog of

Federal Domestic Assistance under No.

10.200. 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 1480 of

the National Agricultural Research,

Extension, and Teaching Policy Act of

1977, as amended, the Secretary of

Agriculture is authorized to make grants

to land-grant colleges and universities,

State agricultural experiment stations,

and colleges, universities, and Federal

laboratories having a demonstrable

capacity in rangeland research, as

determined by the Secretary, to carry

out rangeland research. 7 CFR

2.107(a)(21) delegates this authority to

the Administrator of CSREES. On April

23, 1993, the Rangeland Research

Program regulations, 7 CFR Part 3401,

were formally set out and published in

the Federal Register. CSREES now

amends the administrative regulations

governing the Rangeland Research Grant

Program authorized by section 1480 in

order to implement the requirements of

the National Environmental Policy Act

in § 3401.6(c)(16), revise the program

objectives in § 3401.17, change the

Agency name from the Cooperative

State Research Service to the

Cooperative State Research, Education,

and Extension Service, and make a few

minor changes.

On October 27, 1995, the Department

published a Notice in the Federal

Register (60 FR 55160–55167) proposing

the amendment of this rule and inviting

comments from interested individuals

and organizations. Written comments

were requested by November 27, 1995.

No comments were received.

List of Subjects in 7 CFR Part 3401

Grant programs—agriculture, Grants

administration.
Federal Register / Vol. 61, No. 106 / Friday, May 31, 1996 / Rules and Regulations 27753

For the reasons set out in the

preamble, Title 7, Subtitle B, Chapter

XXXIV, Part 3401 of the Code of Federal

Regulations, is revised to read as

follows:

CHAPTER XXXIV—COOPERATIVE STATE

RESEARCH, EDUCATION, AND EXTENSION

SERVICE, DEPARTMENT OF

AGRICULTURE

PART 3401—RANGELAND RESEARCH

GRANTS PROGRAM

Subpart A—General

Sec.

3401.1 Applicability of regulations of this

part.

3401.2 Definitions.

3401.3 Eligibility requirements.

3401.4 Matching funds requirement.

3401.5 Indirect costs and tuition remission

costs.

3401.6 How to apply for a grant.

3401.7 Evaluation and disposition of

applications.

3401.8 Grant awards.

3401.9 Use of funds; changes.

3401.10 Other Federal statutes and

regulations that apply.

3401.11 Other conditions.

Subpart B—Scientific Peer Review of

Research Applications for Funding

3401.12 Establishment and operation of

peer review groups.

3401.13 Composition of peer review groups.

3401.14 Conflicts of interest.

3401.15 Availability of information.

3401.16 Proposal review.

3401.17 Review criteria.

Authority: Section 1470 of the National

Agricultural Research, Extension and

Teaching Policy Act of 1977 (7 U.S.C. 3316).

Subpart A—General

§ 3401.1 Applicability of regulations of this

part.

(a) The regulations of this Part apply

to rangeland research grants awarded

under the authority of section 1480 of

the National Agricultural Research,

Extension, and Teaching Policy Act of

1977, as amended (7 U.S.C. 3333) to

land-grant colleges and universities,

State agricultural experiment stations,

and colleges, universities, and Federal

laboratories having a demonstrable

capacity in rangeland research, as

determined by the Secretary, to carry

out rangeland research. The

Administrator of the Cooperative State

Research, Education, and Extension

Service (CSREES) shall determine and

announce, through publication each

year of a Notice in the Federal Register,

professional trade journals, agency or

program handbooks, the catalog of

Federal Domestic Assistance or any

other appropriate means, research

program areas for which proposals will

be solicited, to the extent that funds are

available.

(b) The regulations of this Part do not

apply to research grants awarded by the

Department of Agriculture under any

other authority.

§ 3401.2 Definitions.

As used in this part:

(a) Administrator means the

Administrator of CSREES and any other

officer or employee of the Department of

Agriculture to whom the authority

involved may be delegated.

(b) Department means the Department

of Agriculture.

(c) Principal investigator means a

single individual designated by the

grantee in the application for funding

and approved by the Administrator who

is responsible for the scientific and

technical direction of the project.

(d) Grantee means the entity

designated in the grant award document

as the responsible legal entity to whom

a grant is awarded under this Part.

(e) Research project grant means the

award by the Administrator of funds to

a grantee to assist in meeting the costs

of conducting, for the benefit of the

public, an identified project which is

intended and designed to establish,

discover, elucidate, or confirm

information or the underlying

mechanisms relating to a research

program area identified in the annual

solicitation of applications.

(f) Project means the particular

activity within the scope of one or more

of the research program areas identified

in the annual solicitation of

applications, which is supported by a

grant award under this Part.

(g) Project period means the total

length of time that is approved by the

Administrator for conducting the

research project as outlined in an

approved application for funding.

(h) Budget period means the interval

of time (usually 12 months) into which

the project period is divided for

budgetary and reporting purposes.

(i) Awarding official means the

Administrator and any other officer or

employee of the Department to whom

the authority to issue or modify research

project grant instruments has been

delegated.

(j) Peer review group means an

assembled group of experts or

consultants qualified by training or

experience in particular scientific or

technical fields to give expert advice, in

accordance with the provisions of this

Part, on the scientific and technical

merit of applications for funding in

those fields.

(k) Ad hoc reviewers means experts or

consultants qualified by training or

experience in particular scientific or

technical fields to render special expert

advice, whose written evaluations of

applications for funding are designed to

complement the expertise of the peer

review group, in accordance with the

provisions of this Part, on the scientific

or technical merit of applications for

Funding in those fields.

(l) Research means any systematic

study directed toward new or fuller

knowledge and understanding of the

subject studied.

(m) Methodology means the project

approach to be followed and the

resources needed to carry out the

project.

§ 3401.3 Eligibility requirements.

(a) Except where otherwise prohibited

by law, any land-grant college and

university, State agricultural experiment

station, and college, university, and

Federal laboratory having a

demonstrable capacity in rangeland

research, as determined by the

Secretary, shall be eligible to apply for

and to receive a project grant under this

Part, provided that the applicant

qualifies as a responsible grantee under

the criteria set forth in paragraph (b) of

this section.

(b) To qualify as responsible, an

applicant must meet the following

standards as they relate to a particular

project:

(1) Have adequate financial resources

for performance, the necessary

experience, organizational and technical

qualifications, and facilities, or a firm

commitment, arrangement, or ability to

obtain such (including proposed

subagreements);

(2) Be able to comply with the

proposed or required completion

schedule for the project;

(3) Have a satisfactory record of

integrity, judgment, and performance,

including, in particular, any prior

performance under grants and contracts

from the Federal government;

(4) Have an adequate financial

management system and audit

procedure which provides efficient and

effective accountability and control of

all property, funds, and other assets;

and

(5) Be otherwise qualified and eligible

to receive a research project grant under

applicable laws and regulations.

(c) Any applicant who is determined

to be not responsible will be notified in

writing of such findings and the basis

therefor.

§ 3401.4 Matching funds requirement.

In accordance with section 1480 of

the National Agricultural Research,

Extension, and Teaching Policy Act of
27754 Federal Register / Vol. 61, No. 106 / Friday, May 31, 1996 / Rules and Regulations

1977, as amended (7 U.S.C. 3333),

except in the case of Federal

laboratories, each grant recipient must

match the Federal funds expended on a

research project based on a formula of

50 percent Federal and 50 percent nonFederal funding.

§ 3401.5 Indirect costs and tuition

remission costs.

Pursuant to section 1473 of the

National Agricultural Research,

Extension, and Teaching Policy Act of

1977, as amended (7 U.S.C. 3319), funds

made available under this program to

recipients other than Federal

laboratories shall not be subject to

reduction for indirect costs or tuition

remission costs. Since indirect costs and

tuition remission costs, except in the

case of Federal laboratories, are not

allowable costs for purposes of this

program, such costs may not be used to

satisfy the matching requirement set

forth in § 3401.4.

§ 3401.6 How to apply for a grant.

(a) General. After consultation with

the Rangeland Research Advisory

Board, established pursuant to section

1482 of the National Agricultural

Research, Extension, and Teaching

Policy Act of 1977, as amended (7

U.S.C. 3335), a request for proposals

will be prepared and announced

through publications such as the

Federal Register, professional trade

journals, agency or program handbooks,

the Catalog of Federal Domestic

Assistance, or any other appropriate

means of solicitation, as early as

practicable each fiscal year. It will

contain information sufficient to enable

all eligible applicants to prepare

rangeland research grant proposals and

will be as complete as possible with

respect to:

(1) Descriptions of specific research

program areas which the Department

proposes to support during the fiscal

year involved, including anticipated

funds to be awarded;

(2) Deadline dates for having proposal

packages postmarked;

(3) Name and address where

proposals should be mailed;

(4) Number of copies to be submitted;

(5) Forms required to be used when

submitting proposals; and

(6) Special requirements.

(b) Application kit. An Application

Kit will be made available to any

potential grant applicant who requests a

copy. This kit contains required forms,

certifications, and instructions

applicable to the submission of grant

proposals.

(c) Format for research grant

proposals. Unless otherwise stated in

the specific program solicitation, the

following format applies:

(1) Application for funding. All

research grant proposals submitted by

eligible applicants should contain an

Application for Funding form, which

must be signed by the proposing

principal investigator(s) and endorsed

by the cognizant authorized

organizational representative who

possesses the necessary authority to

commit the applicant’s time and other

relevant resources.

(2) Title of Project. The title of the

project must be brief (80-character

maximum), yet represent the major

thrust of the research. This title will be

used to provide information to the

Congress and other interested parties

who may be unfamiliar with scientific

terms; therefore, highly technical words

or phraseology should be avoided where

possible. In addition, phrases such as

‘‘investigation of’’ or ‘‘research on’’

should not be used.

(3) Objectives. Clear, concise,

complete, enumerated, and logically

arranged statement(s) of the specific

aims of the research must be included

in all proposals.

(4) Procedures. The procedures of

methodology to be applied to the

proposed research plan should be stated

explicitly. This section should include

but not necessarily be limited to:

(i) A description of the proposed

investigations and/or experiments in the

sequence in which it is planned to carry

them out;

(ii) Techniques to be employed,

including their feasibility;

(iii) Kinds of results expected;

(iv) Means by which data will be

analyzed or interpreted;

(v) Pitfalls which might be

encountered; and

(vi) Limitations to proposed

procedures.

(5) Justification. This section of the

grant proposal should describe:

(i) The importance of the problem to

the needs of the Department and to the

Nation, including estimates of the

magnitude of the problem;

(ii) The importance of starting the

work during the current fiscal year; and

(iii) Reasons for having the work

performed by the proposing

organization.

(6) Literature review. A summary of

pertinent publications with emphasis on

their relationship to the research should

be provided and should include all

important and recent publications. The

citations should be accurate, complete,

written in acceptable journal format,

and be appended to the proposal.

(7) Current research. The relevancy of

the proposed research to ongoing and,

as yet, unpublished research of both the

applicant and any other institutions

should be described.

(8) Facilities and equipment. All

facilities, including laboratories, that are

available for use or assignment to the

proposed research project during the

requested period of support, should be

reported and described. Any materials,

procedures, situations, or activities,

whether or nor directly related to a

particular phase of the proposed

research, and which may be hazardous

to personnel, must be explained fully,

along with an outline of precautions to

be exercised. All items of major

instrumentation available for use or

assignment to the proposed research

project during the requested period of

support should be itemized. In addition,

items of nonexpendable equipment

needed to conduct and bring the

proposed project to a successful

conclusion should be listed.

(9) Collaborative arrangements. If the

proposed project requires collaboration

with other research scientists,

corporations, organizations, agencies, or

entities, such collaboration must be

explained fully and justified. Evidence

should be provided to assure peer

reviewers that the collaborators

involved agree with the arrangements. It

should be specifically indicated

whether or not such collaborative

arrangements have the potential for any

conflict(s) of interest. Proposals which

indicate collaborative involvements

must state which applicant is to receive

any resulting grant award, since only

one eligible applicant, as provided in

§ 3401.3 may be the recipient of a

research project grant under one

proposal.

(10) Research timetable. The

applicant should outline all important

research phases as a function of time,

year by year.

(11) Personnel support. All personnel

who will be involved in the research

effort must be identified clearly. For

each scientist involved, the following

should be included:

(i) An estimate of the time

commitments necessary;

(ii) Vitae of the principal

investigator(s), senior associate(s), and

other professional personnel to assist

reviewers in evaluating the competence

and experience of the project staff. This

section should include curricula vitae of

all key persons who will work on the

proposed research project, whether or

not Federal funds are sought for their

support. The vitae are to be no more

than two pages each in length,

excluding publication listings; and

(iii) A chronological listing of the

most representative publications during
Federal Register / Vol. 61, No. 106 / Friday, May 31, 1996 / Rules and Regulations 27755

the past five years shall be provided for

each professional project member of

whom a curriculum vitae appears under

this section. Authors should be listed in

the same order as they appear on each

paper cited, along with the title and

complete reference as these usually

appear in journals.

(12) Budget. A detailed budget is

required for each year of requested

support. In addition, a summary budget

is required detailing requested support

for the overall project period. A copy of

the form which must be used for this

purpose, along with instructions for

completion, is included in the

Application Kit identified under

§ 3401.6(b) and may be reproduced as

needed by applicants. Funds may be

requested under any of the categories

listed, provided that the item or service

for which support is requested is

allowable under applicable Federal cost

principles and can be identified as

necessary for successful conduct of the

proposed research project. As stated in

§ 3401.4 each grant recipient must

match the Federal funds expended on a

research project based on a formula of

50 percent Federal and 50 percent nonFederal funding. As stated in § 3401.5,

indirect costs and tuition remission

costs are not allowable costs for

purposes of this program and , thus,

may not be used to satisfy the matching

requirement set forth in § 3401.4.

(13) Research involving special

considerations. A number of situations

encountered in the conduct of research

require special information and

supporting documentation before

funding can be approved for the project.

If such situations are anticipated, the

proposal must so indicate. It is expected

that a significant number of rangeland

grant proposals will involve the

following:

(i) Recombinant DNA molecules. All

key personnel identified in a proposal

and all endorsing officials of a proposed

performing entity are required to

comply with the guidelines establishing

by the National Institutes of Health

entitled, ‘‘Guidelines for Research

Involving Recombinant DNA

Molecules,’’ as revised. The Application

Kit, identified above in § 3401.6(b),

contains a form which is suitable for

such certification of compliance. In the

event a project involving recombinant

DNA and RNA molecules results in a

grant award, the Institutional Biosafety

Committee must approve the research

before CSREES funds will be released.

(ii) Human subjects at risk.

Responsibility for safeguarding the

rights and welfare of human subjects

used in any research project supported

with grant funds provided by the

Department rests with the performing

entity. Regulations have been issued by

the Department under 7 CFR Part 1c,

Protection of Human Subjects. In the

event that a project involving human

subjects at risk is recommended for

award, the applicant will be required to

submit a statement certifying that the

research plan has been reviewed and

approved by the Institutional Review

Board at the proposing organization or

institution. The Application Kit,

identified above in § 3401.6(b), contains

a form which is suitable for such

certification. In the event a project

involving human subjects results in a

grant award, funds will be released only

after the Institutional Committee has

approved the project.

(iii) Laboratory animal care. The

responsibility for the humane care and

treatment of any laboratory animal,

which has the same meaning as

‘‘animal’’ in section 2(g) of the Animal

Welfare Act of 1966, as amended (7

U.S.C. 2132(g)), used in any research

project supported with Rangeland

Research Grant Program funds rests

with the performing organization. In

this regard, all key personnel identified

in a proposal and all endorsing officials

of the proposed performing entity are

required to comply with the applicable

provisions of the Animal Welfare Act of

1966, as amended (7 U.S.C. 2131 et seq.)

and the regulations promulgated

thereunder by the Secretary of

Agriculture in 9 CFR Parts 1, 2, 3, and

4. In the event that a project involving

the use of a laboratory animal is

recommended for award, the applicant

will be required to submit a statement

certifying such compliance. The

Application Kit, identified above in

§ 3401.6(b), contains a form which is

suitable for such certification. In the

event a project involving the use of

living vertebrate animals results in a

grant award, funds will be released only

after the Institutional Animal Care and

Use Committee has approved the

project.

(14) Current and pending support. All

proposals must list any other current

public or private research support, in

addition to the proposed project, to

which key personnel listed in the

proposal under consideration have

committed portions of their time,

whether or not salary support for the

person(s) involved is included in the

budgets of the various projects. This

section must also contain analogous

information for all projects underway

and for pending research proposals

which are currently being considered

by, or which will be submitted in the

near future to, other possible sponsors,

including other Departmental programs

or agencies. Concurrent submission of

identical or similar projects to other

possible sponsors will not prejudice its

review or evaluation by the

Administrator or experts or consultants

engaged by the Administrator for this

purpose. The Application Kit, identified

above in § 3401.6(b), contains a form

which is suitable for listing current and

pending support.

(15) Additions to project description.

Each project description is expected by

the Administrator, members of peer

review groups, and the relevant program

staff to be complete in itself. However,

in those instances in which the

inclusion of additional information is

necessary, the number of copies

submitted should match the number of

copies of the application requested in

the annual solicitation of proposals as

indicated in § 3401.6(a)(4). Each set of

such materials must be identified with

the title of the research project as it

appears in the Application for Funding

and the name(s) of the principal

investigator(s). Examples of additional

materials may include photographs

which do not reproduce well, reprints,

and other pertinent materials which are

deemed to be unsuitable for inclusion in

the proposal.

(16) 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 CSREES—1234) provided

in the 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
27756 Federal Register / Vol. 61, No. 106 / Friday, May 31, 1996 / Rules and Regulations

cause such activity to have a significant

environmental effect.

(17) Organizational management

information. Specific management

information relating to an applicant

shall be submitted on an one-time basis

prior to the award of a research project

grant identified under this Part if such

information has not been provided

previously under this or another

program for which the sponsoring

agency is responsible. Copies of forms

recommended for use in fulfilling the

requirements contained in this section

will be provided by the agency specified

in this Part once a research project grant

has been recommended for funding.

§ 3401.7 Evaluation and disposition of

applications.

(a) Evaluation. All proposals received

from eligible applicants in accordance

with eligible research problem or

program areas and deadlines established

in the applicable request for proposals

shall be evaluated by the Administrator

through such officers, employees, and

others as the Administrator determines

are particularly qualified in the areas of

research represented by particular

projects. To assist in equitably and

objectively evaluating proposals and to

obtain the best possible balance of

viewpoints, the Administrator may

solicit the advice of peer scientists, ad

hoc reviewers, or others who are

recognized specialists in the research

program areas covered by the

applications received. Specific

evaluations will be based upon the

criteria established in Subpart B of this

Part, § 3401.17, unless CSREES

determines that different criteria are

necessary for the proper evaluation of

proposals in one or more specific

program areas, and announces such

criteria and their relative importance in

the annual program solicitation. The

overriding purpose of such evaluations

is to provide information upon which

the Administrator can make informed

judgments in selecting proposals for

ultimate support. Incomplete, unclear,

or poorly organized applications will

work to the detriment of applicants

during the peer evaluation process. To

ensure a comprehensive evaluation, all

applications should be written with the

care and thoroughness accorded papers

for publication.

(b) Disposition. On the basis of the

Administrator’s evaluation of an

application in accordance with

paragraph (a) of this section, the

Administrator will approve using

currently available funds, defer support

due to lack of funds or a need for further

evaluations, or disapprove support for

the proposed project in whole or in part.

With respect to approved projects, the

Administrator will determine the

project period (subject to extension as

provided in § 3401.9(c)) during which

the project may be supported. Any

deferral or disapproval of an application

will not preclude its reconsideration or

a reapplication during subsequent fiscal

years.

§ 3401.8 Grant awards.

(a) General. Within the limit of funds

available for such purpose, the awarding

official shall make research project

grants to those responsible, eligible

applicants whose proposals are judged

most meritorious in the announced

program areas under the evaluation

criteria and procedures set forth in this

Part. The date specified by the

Administrator as 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 and funds are appropriated for

such purpose, unless otherwise

permitted by law. 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 ‘‘Uniform Federal

Assistance Regulations’’ (Parts 3015 and

3019 of this Title).

(b) Grant award document and notice

of grant award.

(1) Grant award documents. The grant

award document shall include at a

minimum the following:

(i) Legal name and address of

performing organization or institution to

whom the Administrator has awarded a

rangeland research project grant under

the terms of this Part;

(ii) Title of project;

(iii) Name(s) and address(es) of

principal investigator(s) chosen to direct

and control approved activities;

(iv) Identifying grant number assigned

by the Department;

(v) Project period, which specifies

how long the Department intends to

support the effort without requiring

recompetition for funds;

(vi) Total amount of Departmental

financial assistance approved by the

Administrator during the project period;

(vii) Legal authority(ies) under which

the research project grant is awarded to

accomplish the purpose of the law;

(viii) Approved budget plan for

categorizing allocable project funds to

accomplish the stated purpose of the

research project grant award; and

(ix) Other information or provisions

deemed necessary by the Department to

carry out its granting activities or to

accomplish the purpose of a particular

research project grant.

(2) Notice of grant award. The notice

of grant award, in the form of a letter,

will be prepared and will provide

pertinent instructions or information to

the grantee that is not included in the

grant award document.

(c) Categories of grant instruments.

The major categories of grant

instruments by which the Department

may provide support are as follows:

(1) Standard grant. This is a grant

instrument by which the Department

agrees to support a specified level of

research effort for a predetermined

project period without the announced

intention of providing additional

support at a future date. This type of

research project grant is approved on

the basis of peer review and

recommendation and is funded for the

entire project period at the time of

award.

(2) Renewal grant. This is a document

by which the Department agrees to

provide additional funding under a

standard grant as specified in paragraph

(c)(1) of this section for a project period

beyond that approved in an original or

amended award, provided that the

cumulative period does not exceed the

statutory limitation. When a renewal

application is submitted, it should

include a summary of progress to date

under the previous grant instrument.

Such a renewal shall be based upon new

application, de novo peer review and

staff evaluation, new recommendation

and approval, and a new award

instrument.

(3) Continuation grant. This is a grant

instrument by which the Department

agrees to support a specified level of

effort for a predetermined period of time

with a statement of intention to provide

additional support at a future date,

provided that performance has been

satisfactory, appropriations are available

for this purpose, and continued support

would be in the best interests of the

Federal government and the public. It

involves a long-term research project

that is considered by peer reviewers and

Departmental officers to have an

unusually high degree of scientific

merit, the results of which are expected

to have a significant impact on the

productivity of the Nation’s rangelands,

and it supports the efforts of

experienced scientists with records of

outstanding research accomplishments.

This kind of document normally will be

awarded for an initial one-year period

and any subsequent continuation

research project grants also will be

awarded in one-year increments, but in

no case may the cumulative period of
Federal Register / Vol. 61, No. 106 / Friday, May 31, 1996 / Rules and Regulations 27757

the project exceed the statutory limit.

The award of a continuation research

project grant to fund an initial or

succeeding budget period does not

constitute an obligation to fund any

subsequent budget period. A grantee

must submit a separate application for

continued support for each subsequent

fiscal year. Requests for such continued

support must be submitted in duplicate

at least three months prior to the

expiration date of the budget period

currently being funded. Such requests

must include: an interim progress report

detailing all work performed to date; an

Application for Funding; a proposed

budget for the enuring period, including

an estimate of funds anticipated to

remain unobligated at the end of the

current budget period; and current

information regarding other extramural

support for senior personnel. Decisions

regarding continued support and the

actual funding levels of such support in

future years usually will be made

administratively after consideration of

such factors as the grantee’s progress

and management practices and within

the context of available funds. Since

initial peer reviews were based upon the

full term and scope of the original

rangeland research application for

funding, additional evaluations of this

type generally are not required prior to

successive years’ support. However, in

unusual cases (e.g., when the nature of

the project or key personnel change or

when the amount of future support

requested substantially exceeds the

application for funding originally

reviewed and approved), additional

reviews may be required prior to

approval of continued funding.

(4) Supplemental grant. This is an

instrument by which the Department

agrees to provide small amounts of

additional funding under a standard,

renewal, or continuation grant as

specified in paragraphs (c)(1), (c)(2), and

(c)(3) of this section and may involve a

short-term (usually six months or less)

extension of the project period beyond

that approved in an original or amended

award, but in no case may the

cumulative period of the project,

including short term extensions, exceed

the statutory time limitation. A

supplement is awarded only if required

to assure adequate completion of the

original scope of work and if there is

sufficient justification of need to

warrant such action. A request of this

nature normally does not require

additional peer review.

(d) Obligation of the Federal

government. Neither the approval of any

application nor the award of any

research project grant shall commit or

obligate the United States in any way to

make any renewal, supplemental,

continuation, or other award with

respect to any approved application or

portion of an approved application.

§ 3401.9 Use of funds; changes.

(a) Delegation of fiscal responsibility.

The grantee may not delegate or transfer

in whole or in part, to another person,

institution, or organization the

responsibility for use or expenditure of

grant funds.

(b) Change in project plans.

(1) The permissible changes by the

grantee, principal investigator(s), or

other key project personnel in the

approved research project grant shall be

limited to changes in methodology,

techniques, or other aspects of the

project to expedite achievement of the

projects’ approved goals. If the grantee

or the principal investigator(s) is

uncertain as to whether a change

complies with this provision, the

question shall be referred to the

Administrator for a final determination.

(2) Changes in approved goals, or

objectives, shall be requested by the

grantee and approved in writing by the

Department prior to effecting such

changes. In no event shall requests for

such changes be approved which are

outside the scope of the original

approved project.

(3) Changes in approved project

leadership or the replacement or

reassignment of other key project

personnel shall be requested by the

grantee and approved in writing by the

Department prior to effecting such

changes.

(4) Transfers of actual performance of

the substantive programmatic work in

whole or in part and provisions for

payment of funds, whether or not

Federal funds are involved, shall be

requested by the grantee and approved

in writing by the Department prior to

effecting such changes, except as may be

allowed in the terms and conditions of

a grant award.

(c) Changes in project period. The

project period determined pursuant to

§ 3401.7(b) may be extended by the

Administrator without additional

financial support, for such additional

period(s) as the Administrator

determines may be necessary to

complete, or fulfill the purposes of, an

approved project. Any extension, when

combined with the originally approved

or amended project period, shall be

conditioned upon prior request by the

grantee and approval in writing by the

Department, unless prescribed

otherwise in the terms and conditions of

a grant award.

(d) Changes in approved budget. The

terms and conditions of a grant will

prescribe circumstances under which

written Departmental approval will be

requested and obtained prior to

instituting changes in an approved

budget.

§ 3401.10 Other Federal statutes and

regulations that apply.

Several other Federal statutes and/or

regulations apply to grant proposals

considered for review or to research

project grants awarded under this Part.

These include but are not limited to:

7 CFR Part 1c—USDA implementation of

the Federal Policy for the Protection of

Human Subjects;

7 CFR Part 1.1—USDA implementation of

Freedom of Information Act:

7 CFR Part 3—USDA implementation of

OMB Circular A–129 regarding debt

collection;

7 CFR Part 15, Subpart A—USDA

implementation of Title VI of the Civil Rights

Act of 1964;

7 CFR Part 3015—USDA Uniform Federal

Assistance Regulations, implementing OMB

directives (i.e., Circular Nos. A–110, 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), as well as general policy requirements

applicable to recipients of Departmental

financial assistance;

7 CFR Part 3017, as amended—USDA

implementation of Governmentwide

Debarment and Suspension

(Nonprocurement) and Governmentwide

Requirements for Drug-Free Workplace

(Grants);

7 CFR Part 3018—USDA implementation

of New Restrictions on Lobbying. Imposes

new 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 Uniform

Administrative Requirements for Grants and

Agreements with Institutions of Higher

Education, Hospitals, and Other Non-profit

Organizations;

7 CFR Part 3051—Audits of Institutions of

Higher Education and Other Nonprofit

Institutions;

7 CFR Part 3407—CSREES procedures to

implement 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; and

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).

§ 3401.11 Other conditions.

The Administrator may, with respect

to any research project grant or to any

class of awards, impose additional
27758 Federal Register / Vol. 61, No. 106 / Friday, May 31, 1996 / Rules and Regulations

conditions prior to or at the time of any

award when, in the Administrator’s

judgment, such conditions are necessary

to assure or protect advancement of the

approved project, the interests of the

public, or the conservation of grant

funds.

Subpart B—Scientific Peer Review of

Research Applications for Funding

§ 3401.12 Establishment and operation of

peer review groups.

Subject to § 3401.7, the Administrator

will adopt procedures for the conduct of

peer reviews and the formulation of

recommendations under § 3401.16.

§ 3401.13 Composition of peer review

groups.

Peer review group members will be

selected based upon their training or

experience in relevant scientific or

technical fields, taking into account the

following factors:

(a) The level of formal scientific or

technical education by the individual;

(b) The extent to which the individual

has engaged in relevant research, the

capacities in which the individual has

done so (e.g., principal investigator,

assistant), and the quality of such

research;

(c) Professional recognition as

reflected by awards and other honors

received from scientific and

professional organizations outside of the

Department;

(d) The need of the group to include

within its membership experts from

various areas of specialization within

relevant scientific or technical fields;

(e) The need of the group to include

within its membership experts from a

variety of organizational types (e.g.,

universities, industry, private

consultant(s)) and geographic locations;

and

(f) The need of the group to maintain

a balanced membership, e.g., minority

and female representation and an

equitable age distribution.

§ 3401.14 Conflicts of interest.

Members of peer review groups

covered by this Part are subject to

relevant provisions contained in Title

18 of the United States Code relating to

criminal activity, Department

regulations governing employee

responsibilities and conduct (Part O of

this title), and Executive Order 11222 (3

CFR, 1964–1965 Comp., p. 306), as

amended.

§ 3401.15 Availability of information.

Information regarding the peer review

process will be made available to the

extent permitted under the Freedom of

Information Act (5 U.S.C. 552), the

Privacy Act (5 U.S.C. 552a.), and

implementing Departmental regulations

(Part 1 of this title).

§ 3401.16 Proposal review.

(a) All research Applications for

Funding will be acknowledged. Prior to

technical examination, a preliminary

review will be made for responsiveness

to the request for proposals (e.g.,

relationship of application to research

program area). Proposals that do not fall

within the guidelines as stated in the

annual request for proposals will be

eliminated from competition and will be

returned to the applicant. Proposals

whose budgets exceed the maximum

allowable amount for a particular

program area as announced in the

request for proposals may be considered

as lying outside the guidelines.

(b) All applications will be reviewed

carefully by the Administrator, qualified

officers or employees of the Department,

the respective merit review panel, and

ad hoc reviewers, as required. Written

comments will be solicited from ad hoc

reviewers, when required, and

individual written comments and indepth discussions will be provided by

peer review group members prior to

recommending applications for funding.

Applications will be ranked and support

levels recommended within the

limitation of total available funding for

each research program area as

announced in the applicable request for

proposals.

(c) Except to the extent otherwise

provided by law, such

recommendations are advisory only and

are not binding on program officers or

on the awarding official.

§ 3401.17 Review criteria.

(a) Federally funded research

supported under these provisions shall

be designed to, among other things,

accomplish one or more of the following

purposes:

(1) improve management of

rangelands as an integrated system and/

or watershed;

(2) remedy unstable or unsatisfactory

rangeland conditions;

(3) increase revegetation and/or

rehabilitation of rangelands;

(4) examine the health of rangelands;

and

(5) define economic parameters

associated with rangelands.

(b) In carrying out its review under

§ 3401.16, the peer review panel will

use the following form upon which the

evaluation criteria to be used are

enumerated, unless, pursuant to

§ 3401.7(a), different evaluation criteria

are specified in the annual solicitation

of proposals for a particular program:

Peer Panel Scoring Form

Proposal Identification No. llllllllllllllllllllllllllllllllllllllllllllllllllll

Institution and Project Title llllllllllllllllllllllllllllllllllllllllllllllllllll

I. Basic Requirement:

Proposal falls within guidelines? llll Yes llll No. If no, explain why proposal does not meet guidelines under comment

section of this form.

II. Selection Criteria:

Score 1–10 Weight

factor

Score X

weight

factor

Comments

1. Overall scientific and technical quality of proposal ............................................ 10

2. Scientific and technical quality of the approach ................................................ 10

Relevance and importance of proposed research to solution of specific areas of

inquiry .................................................................................................................. 6

4. Feasibility of attaining objectives; adequacy of professional training and experience, facilities and equipment .......................................................................... 5

Score llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll

Summary Comments lllllllllllllllllllllllllllllllllllllllllllllllllllllll
Federal Register / Vol. 61, No. 106 / Friday, May 31, 1996 / Rules and Regulations 27759

(c) Proposals satisfactorily meeting

the guidelines will be evaluated and

scored by the peer review panel for each

criterion utilizing a scale of 1 through

10. A score of one (1) will be considered

low and a score of ten (10) will be

considered high for each selection

criterion. A weighted factor is used for

each criterion.

Done at Washington, D.C., this 23rd day of

May, 1996.

B.H. Robinson

Administrator, Cooperative State Research,

Education, and Extension Service.

[FR Doc. 96–13607 Filed 5–30–96; 8:45 am]

BILLING CODE 3410–22–M