[Federal Register Volume 75, Number 174 (Thursday, September 9, 2010)]
[Rules and Regulations]
[Pages 54759-54766]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-22387]
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Rules and Regulations
Federal Register
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Federal Register / Vol. 75, No. 174 / Thursday, September 9, 2010 /
Rules and Regulations
[[Page 54759]]
DEPARTMENT OF AGRICULTURE
National Institute of Food and Agriculture
7 CFR Part 3430
RIN 0524-AA58
Competitive and Noncompetitive Non-Formula Federal Assistance
Programs--General Award Administrative Provisions and Specific
Administrative Provisions
AGENCY: National Institute of Food and Agriculture, USDA.
ACTION: Interim rule and request for comments.
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SUMMARY: The National Institute of Food and Agriculture (NIFA) is
publishing program-specific administrative provisions for the following
Federal assistance programs: Agriculture and Food Research Initiative
(AFRI) as subpart G; the Organic Agriculture Research and Extension
Initiative (OREI); and the Integrated Research, Education, and
Extension Competitive Grants Program (406), to supplement the
Competitive and Noncompetitive Non-formula Federal Assistance
Programs--General Award Administrative Provisions for these programs.
Section 7406 of the Food, Conservation, and Energy Act of 2008 (FCEA or
the ``2008 Farm Bill'') amended section 2(b) of the Act of August 4,
1965, Competitive, Special, and Facilities Research Grant Act, to
authorize the Agriculture and Food Research Initiative (AFRI) to
provide funding for fundamental and applied research, extension, and
education to address food and agricultural sciences. The Organic
Agriculture Research and Extension Initiative is authorized under
section 1672B of the Food, Agriculture, Conservation, and Trade Act of
1990 (FACT Act), as amended by FCEA. The Integrated Research,
Education, and Extension, Competitive Grants Program is authorized
under section 406 of the Agricultural Research, Extension, and
Education Reform Act of 1998, as amended by FCEA.
DATES: This interim rule becomes effective on September 9, 2010. The
Agency must receive comments on or before November 8, 2010.
ADDRESSES: You may submit comments, identified by RIN 0524-AA58, by any
of the following methods:
Federal eRulemaking Portal: http://www.regulations.gov. Follow the
instructions for submitting comments.
E-mail: RFP-OEP@nifa.usda.gov. Include Regulatory Information
Number (RIN) number 0524-AA58 in the subject line of the message.
Fax: 202-401-7752.
Mail: paper, disk or CD-ROM submissions should be submitted to
National Institute of Food and Agriculture; U.S. Department of
Agriculture; STOP 2299; 1400 Independence Avenue, SW., Washington, DC
20250-2299.
Hand Delivery/Courier: National Institute of Food and Agriculture;
U.S. Department of Agriculture; Room 2258, Waterfront Centre; 800 9th
Street, SW., Washington, DC 20024.
Instructions: All submissions received must include the agency name
and the RIN for this rulemaking. All comments received will be posted
without change to http://www.regulations.gov, including any personal
information provided.
FOR FURTHER INFORMATION CONTACT: Ellen Danus, Chief, Policy and
Oversight Branch, Office of Extramural Programs, National Institute of
Food and Agriculture, U.S. Department of Agriculture, STOP 2299, 1400
Independence Avenue, SW., Washington, DC 20250-2299; Voice: 202-205-
5667; Fax: 202-401-7752; E-mail: edanus@nifa.usda.gov.
SUPPLEMENTARY INFORMATION:
I. Background and Summary
Authority
This rulemaking is authorized by section 1470 of the National
Agricultural Research, Extension, and Teaching Policy Act of 1977
(NARETPA), as amended, Public Law 95-113 (7 U.S.C. 3316). Section 7406
of the Food, Conservation, and Energy Act of 2008 (FCEA) (Pub. L. 110-
246) amended section 2(b) of the Competitive, Special, and Facilities
Research Grant Act (7 U.S.C. 450i(b)) to authorize the Agriculture and
Food Research Initiative (AFRI) to provide funding for fundamental and
applied research, extension, and education to address food and
agricultural sciences. The Organic Agriculture Research and Extension
Initiative is authorized under section 1672B of the Food, Agriculture,
Conservation, and Trade Act OF 1990 (FACT Act), as amended by FCEA (7
U.S.C. 5925b). The Integrated Research, Education, and Extension
Competitive Grants Program is authorized under section 406 of the
Agricultural Research, Extension, and Education Reform Act of 1998, as
amended by FCEA (7 U.S.C. 7626).
Organization of 7 CFR Part 3430
A primary function of NIFA is the fair, effective, and efficient
administration of Federal assistance programs implementing agricultural
research, education, and extension programs. The awards made under the
above authorities are subject to the NIFA assistance regulations at 7
CFR part 3430, Competitive and Noncompetitive Non-formula Federal
Assistance Programs. NIFA's development and publication of these
regulations for its non-formula Federal assistance programs serve to
enhance its accountability and to standardize procedures across the
Federal assistance programs it administers while providing transparency
to the public. NIFA published 7 CFR part 3430 with subparts A through F
as a final rule on September 4, 2009 [74 FR 45736-45752]. These
regulations apply to all Federal assistance programs administered by
NIFA except for the formula grant programs identified in 7 CFR
3430.1(f), the Small Business Innovation Research programs with
implementing regulations at 7 CFR part 3403, and the Veterinary
Medicine Loan Repayment Program (VMLRP) regulations at 7 CFR 3431.
NIFA organized the regulation as follows: Subparts A through E
provide administrative provisions for all competitive and
noncompetitive non-formula Federal assistance programs. Subparts F and
thereafter apply to specific NIFA programs.
NIFA is, to the extent practical, using the following subpart
template for each program authority: (1) Applicability of
[[Page 54760]]
regulations, (2) purpose, (3) definitions (those in addition to or
different from 3430.2), (4) eligibility, (5) project types and
priorities, (6) funding restrictions, and (7) matching requirements.
Subparts F and thereafter contain the above seven components in this
order. Additional sections may be added for a specific program if there
are additional requirements or a need for additional rules for the
program (e.g., additional reporting requirements). Through this
rulemaking, NIFA is adding subparts G, H, and I for the administrative
provisions that are specific to the AFRI, OREI, and 406.
Solicitation of Stakeholder Input and Development of Subparts G, H, and
I
NIFA has been administering the 406 programs for almost 10 years.
Under this authority, the integration of research, education, and
extension is achieved at the program level. Integration at the program
level indicates that the program offers opportunities in that fiscal
year for integrated projects, along with single function projects in
research, education, or extension, which together achieve stated
program goals. Integrated projects incorporate at least two of the
three components of the agricultural knowledge system (i.e., research,
education, and extension) within a project, bringing them together
around a problem or activity. Consequently, NIFA has adopted the
definitions of ``integrated programs'' and ``integrated projects''
under Subpart I. For the OREI program, an integrated project
incorporates only the research and extension components as the OREI
authority applies only to these components. Both subparts H and I
include the standard elements of a subpart including applicability,
purpose, definitions, eligibility, project types and priorities,
funding restrictions, and matching requirements. Although NIFA has not
administered the OREI program as long as the 406 programs, it has a
well-established grants cycle and Request for Applications (RFA)
process.
While the 406 and OREI programs had been administered by NIFA for a
number of years, NIFA implemented (AFRI) in FY 2009. AFRI combines the
former National Research Initiative (NRI) and the Initiative for Future
Agriculture and Food Systems (IFAFS) programs. AFRI is the new core
competitive grant program for research, education, and extension in
USDA. With the enactment of the 2008 Farm Bill, the NRI and IFAFS
program authorities have been repealed. Subpart G for AFRI includes the
standard elements of a subpart as identified above, as well as certain
statutory and administrative requirements for the program. The
regulations for the NRI program were codified at 7 CFR Part 3411 and
were implemented prior to the Government-wide and Agency efforts to
standardize and streamline Federal assistance policies and procedures.
Consequently, 7 CFR 3411 incorporates many more elements that are now
addressed in 7 CFR 3430 Subparts A through E. Subpart G addresses only
those aspects of the grant program that are unique to AFRI.
To implement AFRI and to draft subpart G, NIFA sought to solicit
stakeholder input in the development and implementation of AFRI.
Consequently, NIFA published a Federal Register Notice on August 29,
2008 [73 FR 50926-50928], soliciting written stakeholder input comments
on the implementation of the AFRI and announcing a public meeting to
solicit additional input. Approximately 40 people attended this
session. NIFA also received written comments by telephone, e-mail, and
fax in response to the Federal Register announcement. In all,
stakeholder input was received from: American Soybean Association;
American Forest and Paper Association; American Peanut Council;
American Phytopathological Society; American Society for Nutrition;
Agronomy Society of America; Crop Science Society of America; Soil
Science Society of America; Association of Southern Region Extension
Directors; BASF Plant Science LLC; California Certified Organic
Farmers; Council on Food, Agricultural and Resource Economics; National
Organic Coalition; Experiment Station Committee on Organization and
Policy; Heron's Nest Farm; Institute of Food Technologies; Kentucky
Farm Bureau; Michael Fields Agricultural Institute; National
Association of Plant Breeders; National Association of State
Universities and Land Grant Colleges (NASULGC); NASULGC Board on Human
Sciences; National Association of Wheat Growers; National Coalition for
Food and Agricultural Research; Nourse Farms; Organic Farmers' Agency
for Relationship Marketing, Inc.; Sustainable Agriculture Coalition;
Union of Concerned Scientists; Washington State Potato Commission;
Western Association of Agricultural Experiment Station Directors;
university faculty and several individuals. This list includes several
community-based organizations, professional organizations,
universities, farms, small businesses, and others.
Many stakeholders recognized a need and supported increased
investments in plant and animal breeding. Many breeding objectives are
targeting regional to local conditions and are not supported by
commercial breeders. NIFA feels this is a clear role for competitive
Federal support. Based on stakeholder input, NIFA has included an
emphasis on plant and animal breeding within the program and this is
reflected in the FY 2010 Request for Applications (RFA).
During the stakeholder comment period, there was additional
discussion of the value of making awards for up to 10 years as provided
in the legislation. Several areas were identified where awards of this
length could expand the ability of the program to achieve substantial
goals. For example, longer awards would allow for the full development
of new plant varieties in breeding programs. Studies of nutrition would
be more valuable if the improvements in nutrition and health could be
studied over a longer term to determine if the benefits observed could
be sustained. The FY 2010 RFAs provide opportunities for up to 5-year
duration on awards (with opportunity for up to 2 additional years of
no-cost extension). NIFA is reviewing this authority, along with the
10-year authority available for the Specialty Crop Research Initiative
(authorized under section 412 of the Agricultural Research, Extension,
and Education Reform Act of 1998), and working to implement the 10-year
authority for these programs.
To accomplish identified program goals, many stakeholders pointed
out that it may be effective to make single function awards (i.e.,
research, education, and extension). Clearly there are cases where, to
meet national workforce needs, education programs are needed.
Similarly, when there are issues that can be resolved by directly
engaging farmers and others, extension programs may be appropriate.
Based on these stakeholder recommendations, NIFA has included
education- and extension-only program priorities. For the FY 2010 RFA,
NIFA also solicited proposals for integrated projects (that combine
research, education and/or extension).
There will be a continuous process in soliciting and considering
stakeholder input for the AFRI program; and ongoing stakeholder input
will continue to be encouraged. All stakeholder input received has been
made available at http://www.regulations.gov under CSREES--FRDOC--0001-
0062 and under NIFA-2010-0001.
Timeline for Implementing Regulations
NIFA is publishing this rule as interim with a 60-day comment
period
[[Page 54761]]
and anticipates a final rule by December 31, 2010. However, in the
interim, these regulations apply to the AFRI, OREI, and 406 programs.
II. Administrative Requirements for the Rulemaking
Executive Order 12866
This action has been determined to be not significant for purposes
of Executive Order 12866. This interim rule will not create a serious
inconsistency or otherwise interfere with an action taken or planned by
another agency; nor will it materially alter the budgetary impact of
entitlements, grants, user fees, or loan programs; nor will it have an
annual effect on the economy of $100 million or more; nor will it
adversely affect the economy, a sector of the economy, productivity,
competition, jobs, the environment, public health or safety, or State,
local or Tribal governments or communities in a material way.
Furthermore, it does not raise a novel legal or policy issue arising
out of legal mandates, the President's priorities or principles set
forth in the Executive Order.
Regulatory Flexibility Act of 1980
This interim rule has been reviewed in accordance with The
Regulatory Flexibility Act of 1980, as amended by the Small Business
Regulatory Enforcement Fairness Act of 1996, 5 U.S.C. 601-612. The
Department concluded that the rule will not have a significant economic
impact on a substantial number of small entities. The rule does not
involve regulatory and informational requirements regarding businesses,
organizations, and governmental jurisdictions subject to regulation.
Paperwork Reduction Act (PRA)
The Department certifies that this interim rule has been assessed
in accordance with the requirements of the Paperwork Reduction Act, 44
U.S.C. 3501 et seq. (PRA) The Department concludes that this interim
rule does not impose any new information requirements or increase the
burden hours. In addition to the SF-424 form families (i.e., Research
and Related and Mandatory) and the SF-425 Federal Financial Report
(FFR) No. 0348-0061, NIFA has three currently approved OMB information
collections associated with this rulemaking: OMB Information Collection
No. 0524-0042, NIFA Current Research Information System (CRIS) (Note
that CRIS will be superceded by REEport in the fall of 2010). The
Notice of Intent To Request Approval To Establish a New Information
Collection was published in the Federal Register on July 12, 2010 in FR
Doc 2010-16854. Comments will be accepted until September 15, 2010;
please reference docket number NIFA-2010-0002); No. 0524-0041, NIFA
Application Review Process; and No. 0524-0026, Assurance of Compliance
with the Department of Agriculture Regulations Assuring Civil Rights
Compliance and Organizational Information.
Catalog of Federal Domestic Assistance
This interim regulation applies to the following Federal assistance
programs administered by NIFA including CFDA No. 10.310, Agriculture
and Food Research Initiative; CFDA No. 10.307, Organic Agriculture
Research and Extension Initiative; and CFDA No. 10.303, Integrated
Research, Education, and Extension Competitive Grants Program.
Unfunded Mandates Reform Act of 1995 and Executive Order 13132
The Department has reviewed this interim rule in accordance with
the requirements of Executive Order No. 13132 and the Unfunded Mandates
Reform Act of 1995, 2 U.S.C. 1501 et seq., and has found no potential
or substantial direct effects on the States, on the relationship
between the national government and the States, or on the distribution
of power and responsibilities among the various levels of government.
As there is no Federal mandate contained herein that could result in
increased expenditures by State, local, or Tribal governments, or by
the private sector, the Department has not prepared a budgetary impact
statement.
Clarity of This Regulation
Executive Order 12866 and the President's Memorandum of June 1,
1998, require each agency to write all rules in plain language. The
Department invites comments on how to make this interim rule easier to
understand.
List of Subjects in 7 CFR Part 3430
Administrative practice and procedure, Agricultural research,
education, extension; Federal assistance.
0
Accordingly, Title 7 of the Code of Federal Regulations is amended as
set forth below:
PART 3430--COMPETITIVE AND NONCOMPETITIVE NON-FORMULA FEDERAL
ASSISTANCE PROGRAMS--GENERAL AWARD ADMINISTRATIVE PROVISIONS
0
1. The authority citation for Part 3430 continues to read as follows:
Authority: 7 U.S.C. 3316; Pub. L. 106-107 (31 U.S.C. 6101 note).
0
2. Add new subparts G, H, and I, to read as follows:
Subpart G--Agriculture and Food Research Initiative
Sec.
3430.300 Applicability of regulations.
3430.301 Purpose.
3430.302 Definitions.
3430.303 Eligibility.
3430.304 Project Types and priorities.
3430.305 Funding restrictions.
3430.306 Matching requirements.
3430.307 Coordination and stakeholder input requirements.
3430.308 Duration of awards.
3430.309 Priority areas.
3430.310 Allocation of AFRI funds.
3430.311 Allocation of research funds.
3430.312 Emphasis on Sustainable Agriculture.
Subpart G--Agriculture and Food Research Initiative
Sec. 3430.300 Applicability of regulations.
The regulations in this subpart apply to the Agriculture and Food
Research Initiative (AFRI) authorized under section 2(b) of the
Competitive, Special, and Facilities Research Grant Act (7 U.S.C.
450i(b)).
Sec. 3430.301 Purpose.
The purpose of this program is to make competitive grants for
fundamental and applied research, extension, and education to address
food and agricultural sciences, as defined under section 1404 of the
National Agricultural Research, Extension, and Teaching Policy Act of
1977 (7 U.S.C. 3103).
Sec. 3430.302 Definitions.
The definitions applicable to the competitive grant programs under
this subpart include:
Food and Agricultural Science Enhancement (FASE) awards means
funding awarded to eligible applicants to strengthen science
capabilities of Project Directors, to help institutions develop
competitive scientific programs, and to attract new scientists into
careers in high-priority areas of National need in agriculture, food,
and environmental sciences. FASE awards may apply to any of the three
agricultural knowledge components (i.e., research, education, and
[[Page 54762]]
extension). FASE awards include Pre- and Postdoctoral Fellowships, New
Investigator grants, and Strengthening grants.
Limited institutional success means institutions that are not among
the most successful universities and colleges for receiving Federal
funds for science and engineering research. A list of successful
institutions will be provided in the RFA.
Minority means Alaskan Native, American Indian, AsianAmerican,
African-American, Hispanic American, Native Hawaiian, or Pacific
Islander. The Secretary will determine on a case-by-case basis whether
additional groups qualify under this definition, either at the
Secretary's initiative, or in response to a written request with
supporting explanation.
Minority-serving institution means an accredited academic
institution whose enrollment of a single minority or a combination of
minorities exceeds fifty percent of the total enrollment, including
graduate and undergraduate and full- and part-time students. An
institution in this instance is an organization that is independently
accredited as determined by reference to the current version of the
Higher Education Directory, published by Higher Education Publications,
Inc., 6400 Arlington Boulevard, Suite 648, Falls Church, Virginia
22042.
Multidisciplinary project means a project on which investigators
from two or more disciplines collaborate to address a common problem.
These collaborations, where appropriate, may integrate the biological,
physical, chemical, or social sciences.
Small and mid-sized institutions means academic institutions with a
current total enrollment of 17,500 or less, including graduate and
undergraduate as well as full- and part-time students. An institution,
in this instance, is an organization that possesses a significant
degree of autonomy. Significant degree of autonomy is defined by being
independently accredited as determined by reference to the current
version of the Higher Education Directory, published by Higher
Education Publications, Inc., 6400 Arlington Boulevard, Suite 648,
Falls Church, Virginia 22042 (703-532-2300).
Strengthening grants means funds awarded to institutions eligible
for FASE grants to enhance institutional capacity, with the goal of
leading to future funding in the project area, as well as strengthening
the competitiveness of the investigator's research, education, and/or
extension activities. Strengthening grants consist of standard and
Coordinated Agricultural Project (CAP) grant types as well as seed
grants, equipment grants, and sabbatical grants.
USDA EPSCoR States (Experimental Program for Stimulating
Competitive Research) means States which have been less successful in
receiving funding from AFRI, or its predecessor, the National Research
Initiative (NRI), having a funding level no higher than the 38th
percentile of all States based on a 3-year rolling average of AFRI and/
or NRI funding levels, excluding FASE Strengthening funds granted to
EPSCoR States, and small, mid-sized, and minority-serving degree-
granting institutions. The most recent list of USDA EPSCoR States will
be provided in the RFA.
Sec. 3430.303 Eligibility.
(a) General. Unless otherwise specified in the RFA or this subpart,
eligible applicants for the grant program implemented under this
subpart include:
(1) State agricultural experiment stations;
(2) Colleges and universities (including junior colleges offering
an associate's degree);
(3) University research foundations;
(4) Other research institutions and organizations;
(5) Federal agencies;
(6) National laboratories;
(7) Private organizations or corporations;
(8) Individuals; and
(9) Any group consisting of 2 or more entities identified in
paragraphs (a)(1) through (8) of this section.
(b) Integrated projects. Eligible entities for the integrated
component under this subpart include:
(1) Colleges and universities;
(2) 1994 Institutions; and
(3) Hispanic-serving agricultural colleges and universities (as
defined in section 1404 of the National Agricultural Research,
Extension, and Teaching Policy Act of 1977 (7 U.S.C. 3103).
(c) FASE Grants.
(1) New investigator awards. To be eligible to apply, a new
investigator must be in the beginning of his/her career, without an
extensive publication record, and must have less than 5 years of
postgraduate, career-track experience. To be eligible to receive a
grant, the new investigator may not have received competitively awarded
Federal funds, with the exception of pre- or postdoctoral awards or
NRI/AFRI Seed Grants. The AFRI RFA will contain specific instructions
for New Investigator Grant eligibility, restrictions, and application
preparation.
(2) Pre- and postdoctoral fellowships. The following eligibility
requirements apply to applicants for pre- and postdoctoral fellowships.
(i) The doctoral degree of the applicant must be received not
earlier than January 1 of the calendar year three years prior to the
submission of the proposal and not later than nine months after the
proposal due date; and
(ii) For pre-doctoral applications, the applicant must have
advanced to candidacy by the application deadline.
(3) Strengthening grants. Eligibility for all strengthening
categories includes:
(i) Small and mid-sized academic institutions that have had limited
institutional success;
(ii) Degree-granting institutions and State agricultural experiment
stations (SAES) in USDA Experimental Program for Stimulating
Competitive Research (EPSCoR) states; and
(iii) Minority-serving institutions with limited institutional
success.
Sec. 3430.304 Project Types and priorities.
For each RFA, NIFA may develop and include the appropriate types of
projects and focus areas to address the needs of scientists and
educators in advanced or early stages of their careers and the
differences in institutional capabilities. Types of projects will be
revisited periodically based on stakeholder input and as deemed
appropriate by NIFA. Types of projects under AFRI include, but are not
limited to, the following.
(a) Project Types.
(1) Research projects. Single-function fundamental and applied
Research Projects are conducted by individual investigators, co-
investigators within the same discipline, or multidisciplinary teams.
(2) Education projects. Single-function Education Projects provide
funding to conduct classroom instruction, laboratory instruction, and
practicum experience in the food and agricultural sciences and other
related educational matters. Projects may include faculty development,
student recruitment and services, curriculum development, instructional
materials and equipment, and innovative teaching methods.
(3) Extension Projects. Single-function Extension Projects provide
funding for programs and activities that deliver science-based
knowledge and informal educational programs to people, enabling them to
make practical decisions.
(4) Integrated Projects. Multifunction Integrated Projects bring
together at least two of the three components of the
[[Page 54763]]
agricultural knowledge system (i.e., research, education, and
extension) around a problem or issue. The functions addressed in the
project should be interwoven throughout the life of the project and act
to complement and reinforce one another. The proposed research
component of an Integrated Project should address knowledge gaps that
are critical to the development of practices and programs to address
the stated problem. The proposed education component of an Integrated
Project should strengthen institutional capacities and result in
curricula and related products that will be sustained beyond the life
of the project. The proposed extension component of an Integrated
Project should lead to measurable, documented changes in learning,
actions, or conditions in an identified audience or stakeholder group.
Appropriate project activities will be discussed in the RFA.
(b) Grant Types.
(1) Standard Grants. Standard Grants support targeted, original
scientific Research, Education, Extension, or Integrated Projects.
(2) Coordinated Agricultural Project (CAP) Grants. A CAP is a type
of Research, Education, Extension, or Integrated Project that supports
large-scale multi-million dollar projects that promote collaboration,
open communication, and the exchange of information; reduce duplication
of effort; and coordinate activities among individuals, institutions,
States, and regions. Integrated CAP grants address problems through
multi-function projects that incorporate at least two of the three
components of the agricultural knowledge system (i.e., research,
extension and education). Please note that there occasionally may be
programs in which an Integrated CAP Grant is required to address all
three components of the agricultural knowledge system. In a CAP,
participants serve as a team that conducts targeted research, education
and/or extension in response to emerging or priority area(s) of
national need. A CAP contains the needed science-based expertise in
research, education, and/or extension, as well as expertise from
principle stakeholders and partners, to accomplish project goals and
objectives.
(3) Planning/Coordination Grants. Planning/Coordination Grants
provide assistance to applicants in the development of quality future
CAP applications. Applications must articulate benefits accrued from
formal planning activities and provide evidence of a high likelihood
that quality future applications will be submitted. These activities
can take the form of workshops or symposia that bring together
biological, physical, and social scientists and others as appropriate,
including end-users and technology providers, to identify research,
education, and/or extension needs, foster collaboration, and create
networking opportunities. These events and the information they
generate should be used to build teams that can develop applications to
address priorities identified in the RFA.
(4) Conference grants. AFRI provides partial or total funding for a
limited number of scientific meetings that bring together scientists to
identify research, education, or extension needs within the scope of
AFRI.
(5) FASE Grants.
(i) General. FASE Grants are designed to help institutions develop
competitive Research, Education, Extension, and Integrated Projects and
to attract new scientists into careers in high-priority areas in
agriculture, food, and environmental sciences. The FASE grants provide
funding for new investigators, pre- and postdoctoral fellowships, and
strengthening grants. FASE grants will be awarded as follows:
(A) To an institution to allow for the improvement of the research,
development, technology transfer, education, and extension capacity of
the institution through the acquisition of special research equipment
and the improvement of agricultural research, education, and extension;
(B) To single investigators or coinvestigators who are beginning
research, education, or extension careers and do not have an extensive
publication record;
(C) To ensure that the faculty of small, mid-sized, and minority-
serving institutions who have not previously been successful in
obtaining competitive grants under this subsection receive a portion of
the grants; and
(D) To improve research, extension, and education capabilities in
USDA EPSCoR States, as defined in Sec. 3430.302.
(ii) Types of FASE Grants.
(A) New Investigator Grant. These awards support Project Directors
who meet the eligibility criteria of Sec. 3430.303.
(B) Pre- and Postdoctoral Fellowship Grants. Doctoral candidates
and individuals who recently have received or will soon receive their
doctoral degree, and meet the eligibility criteria of Sec. 3430.303,
may submit proposals for pre- and postdoctoral fellowships.
(C) Strengthening Grants. Strengthening awards consist of the
following four types of grants.
(1) Strengthening Standard and CAP Grant. These grants provide
funding to eligible entities, as defined in Sec. 3430.303, who
submitted meritorious Standard Grant or CAP Grant applications that
were highly ranked but were below the funding line.
(2) Equipment Grant. These grants provide funding for the purchase
of one major piece of equipment. The amount requested shall not exceed
50 percent of the cost of the equipment. Unless eligible for a waiver
(as described in Sec. 3430.306(b)(2)), the Project Director is
responsible for securing the required non-Federal funds. No
installation, maintenance, warranty, or insurance expenses may be paid
from these awards, nor may these costs be part of the matching funds.
(3) Seed Grant. A Seed grant is intended to provide funds to enable
investigators to collect preliminary data in preparation for applying
for a Standard Research, Standard Education, Standard Extension, or
Integrated Grant. The grants are not intended to fund stand-alone
projects, but rather projects that will lead to further work applicable
to one of the priority areas in AFRI.
(4) Sabbatical grants. A Sabbatical grant is intended to provide an
opportunity for faculty to enhance their capabilities through
sabbatical leaves.
Sec. 3430.305 Funding restrictions.
(a) Construction. Funds made available under this subpart shall not
be used for the construction of a new building or facility or the
acquisition, expansion, remodeling, or alteration of an existing
facility (including site grading and improvement, and architect fees).
(b) Indirect costs. Subject to Sec. 3430.54, indirect costs are
allowable. However, indirect costs are not allowed on pre- and
postdoctoral grants, equipment grants, or conference grants.
Sec. 3430.306 Matching requirements.
(a) General. Matching funds are not required as a condition of
receiving grants under this subpart except as provided in paragraphs
(c) and (d) of this section.
(b) Indirect costs. Use of indirect costs as in-kind matching
contributions is subject to Sec. 3430.52(b).
(c) Equipment grants.
(1) Except as provided in paragraph (c)(2) of this section, the
amount of an equipment grant may not exceed 50 percent of the cost of
the special research equipment or other equipment acquired using funds
from the grant.
(2) Waiver. The Secretary may waive all or part of the matching
requirement under paragraph (c)(1) of this section in
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the case of a college, university, or research foundation maintained by
a college or university that ranks in the lowest \1/3\ of such
colleges, universities, and research foundations on the basis of
Federal research funds received, if the equipment to be acquired using
funds from the grant costs not more than $25,000, and has multiple uses
within a single project or is usable in more than 1 project.
(d) Applied research grants. As a condition of making a grant for
applied research, the Secretary shall require the funding of the grant
to be matched with equal matching funds from a non-Federal source if
the grant is for applied research that is:
(1) Commodity-specific; and
(2) Not of national scope.
Sec. 3430.307 Coordination and stakeholder input requirements.
(a) Stakeholder input. In making grants under this Part, NIFA shall
solicit and consider input from persons who conduct or use agricultural
research, extension, or education in accordance with section 102(b) of
the Agricultural Research, Extension, and Education Reform Act of 1998
(7 U.S.C. 7612(b)).
(b) Allocation of funds to high-priority research. To the maximum
extent practicable, the Secretary, in coordination with the Under
Secretary, shall allocate grants under this subpart to high-priority
research as defined in section 1672 of Food, Agriculture, Conservation,
and Trade Act of 1990, 7 U.S.C. 5925. NIFA shall take into
consideration, when available, the determinations made by the Advisory
Board.
Sec. 3430.308 Duration of awards.
The Secretary may set award limits up to 10 years based on
priorities and stakeholder input, subject to other statutory
limitations. The duration of individual awards may vary as specified in
the RFA and is subject to the availability of appropriations.
Sec. 3430.309 Priority areas.
NIFA will award competitive grants in the following areas:
(a) Plant health and production and plant products. Plant systems,
including:
(1) Plant genome structure and function;
(2) Molecular and cellular genetics and plant biotechnology;
(3) Conventional breeding, including cultivar and breed
development, selection theory, applied quantitative genetics, breeding
for improved food quality, breeding for improved local adaptation to
biotic stress and abiotic stress, and participatory breeding;
(4) Plant-pest interactions and biocontrol systems;
(5) Crop plant response to environmental stresses;
(6) Unproved nutrient qualities of plant products; and
(7) New food and industrial uses of plant products.
(b) Animal health and production and animal products. Animal
systems, including:
(1) Aquaculture;
(2) Cellular and molecular basis of animal reproduction, growth,
disease, and health;
(3) Animal biotechnology;
(4) Conventional breeding, including breed development, selection
theory, applied quantitative genetics, breeding for improved food
quality, breeding for improved local adaptation to biotic stress and
abiotic stress, and participatory breeding;
(5) Identification of genes responsible for improved production
traits and resistance to disease;
(6) Improved nutritional performance of animals;
(7) Improved nutrient qualities of animal products and uses; and
(8) The development of new and improved animal husbandry and
production systems that take into account production efficiency, animal
well-being, and animal systems applicable to aquaculture.
(c) Food safety, nutrition, and health. Nutrition, food safety and
quality, and health, including:
(1) Microbial contaminants and pesticides residue relating to human
health;
(2) Links between diet and health;
(3) Bioavailability of nutrients;
(4) Postharvest physiology and practices; and
(5) Improved processing technologies.
(d) Renewable energy, natural resources, and environment. Natural
resources and the environment, including:
(1) Fundamental structures and functions of ecosystems;
(2) Biological and physical bases of sustainable production
systems;
(3) Minimizing soil and water losses and sustaining surface water
and ground water quality;
(4) Global climate effects on agriculture;
(5) Forestry; and
(6) Biological diversity.
(e) Agriculture systems and technology. Engineering, products, and
processes, including:
(1) New uses and new products from traditional and nontraditional
crops, animals, byproducts, and natural resources;
(2) Robotics, energy efficiency, computing, and expert systems;
(3) New hazard and risk assessment and mitigation measures; and
(4) Water quality and management.
(f) Agriculture economics and rural communities. Markets, trade,
and policy, including:
(1) Strategies for entering into and being competitive in domestic
and overseas markets;
(2) Farm efficiency and profitability, including the viability and
competitiveness of small and medium-sized dairy, livestock, crop and
other commodity operations;
(3) New decision tools for farm and market systems;
(4) Choices and applications of technology;
(5) Technology assessment; and
(6) New approaches to rural development, including rural
entrepreneurship.
Sec. 3430.310 Allocation of AFRI funds.
(a) General. The Secretary shall decide the allocation of funds
among research, education, extension, and integrated multifunctional
projects in an appropriate manner and in accordance with the allocation
restrictions found in this section.
(b) Integrated programs. Not less than 30 percent of funds
allocated to AFRI each fiscal year shall be used to fund integrated
programs.
(c) FASE awards.
(1) Each fiscal year, a percentage of AFRI funding (no less than 10
percent of the available funding) will be awarded as FASE awards. This
percentage requirement may be adjusted by the Secretary based upon
priorities and stakeholder input.
(2) The Secretary shall use not less than 25 percent of the funds
made available for FASE grants to provide fellowships to outstanding
pre- and postdoctoral students for research in the agricultural
sciences.
(d) Rapid Response Food and Agricultural Science for Emergency
Issues Awards. The Secretary may allocate some funding to address
emergency issues in the food and agricultural sciences as determined by
the Secretary. Letters of intent and applications may be requested, as
appropriate. Although the solicitation and award processes may be
expedited for these awards, NIFA will adhere to AFRI peer review and
competitive requirements of this subpart.
Sec. 3430.311 Allocation of research funds.
(a) Fundamental research. Of the amount allocated by the Director
for research, not less than 60 percent shall
[[Page 54765]]
be used to make grants for fundamental research (as defined in
subsection (f)(1) of section 251 of the Department of Agriculture
Reorganization Act of 1994 (7 U.S.C. 6971)).
(1) Research by multidisciplinary teams. Of the amount allocated by
the Director for fundamental research under this paragraph (a), not
less than 30 percent shall be made available to make grants for
research to be conducted by multidisciplinary teams.
(2) Equipment grants. Of the amount allocated by the Director for
fundamental research under this paragraph (a) not more than 2 percent
shall be used for equipment grants.
(b) Applied research. Of the amount allocated by the Director for
research, not less than 40 percent shall be made available to make
grants for applied research.
Sec. 3430.312 Emphasis on sustainable agriculture.
NIFA shall ensure that grants made under this subpart are, where
appropriate, consistent with the development of systems of sustainable
agriculture as defined in section 1404 of NARETPA.
Subpart H--Organic Agriculture Research and Extension Initiative
Sec.
3430.400 Applicability of regulations.
3430.401 Purpose.
3430.402 Definitions.
3430.403 Eligibility.
3430.404 Project types and priorities.
3430.405 Funding restrictions.
3430.406 Matching requirements.
3430.407 Program requirements.
Subpart H--Organic Agriculture Research and Extension Initiative
Sec. 3430.400 Applicability of regulations.
The regulations in this subpart apply to the program authorized
under section 1672B of the Food, Agriculture, Conservation, and Trade
Act of 1990 (FACT Act), as amended by the Food, Conservation, and
Energy Act of 2008 (FCEA), Public Law 110-246 (7 U.S.C. 5925b).
Sec. 3430.401 Purpose.
(a) The purpose of this program is to make competitive grants, in
consultation with the Advisory Board, to support research and extension
activities regarding organically grown and processed agricultural
commodities.
(b) Grants may be made for the following purposes:
(1) Facilitating the development of organic agriculture production,
breeding, and processing methods;
(2) Evaluating the potential economic benefits to producers and
processors who use organic methods;
(3) Exploring international trade opportunities for organically
grown and processed agricultural commodities;
(4) Determining desirable traits for organic commodities;
(5) Identifying marketing and policy constraints on the expansion
of organic agriculture;
(6) Conducting advanced on-farm research and development that
emphasizes observation of, experimentation with, and innovation for
working organic farms, including research relating to production and
marketing and to socioeconomic conditions;
(7) Examining optimal conservation and environmental outcomes
relating to organically produced agricultural products; and
(8) Developing new and improved seed varieties that are
particularly suited for organic agriculture.
Sec. 3430.402 Definitions.
The definitions applicable to the competitive grant programs under
this subpart include:
Integrated project means a project that incorporates the research
and extension components of the agricultural knowledge system around a
problem or activity.
Sec. 3430.403 Eligibility.
Unless otherwise specified in the RFA, eligible applicants for the
grant program implemented under this subpart include:
(a) State agricultural experiment stations;
(b) Colleges and universities (including junior colleges offering
an associate's degree);
(c) University research foundations;
(d) Other research institutions and organizations;
(e) Federal agencies;
(f) National laboratories;
(g) Private organizations or corporations;
(h) Individuals; and
(i) Any group consisting of 2 or more entities identified in
paragraphs (a) through (i) of this section.
Sec. 3430.404 Project types and priorities.
For each RFA, NIFA may develop and include the appropriate project
types and priority areas based on stakeholder input and as deemed
appropriate by NIFA. Duration and amount of grants may vary depending
on the type of project.
Sec. 3430.405 Funding restrictions.
(a) Construction. Funds made available for grants under this
subsection shall not be used for the construction of a new building or
facility or the acquisition, expansion, remodeling, or alteration of an
existing building or facility (including site grading and improvement,
and architect fees).
(b) Indirect costs. Subject to Sec. 3430.54, indirect costs are
allowable.
(c) Start-up businesses. NIFA does not fund start-up businesses
under this subpart.
Sec. 3430.406 Matching requirements.
(a) In general. NIFA requires the recipient of a grant under this
section to provide funds or in-kind support from non-Federal sources in
an amount at least equal to the amount provided by the Federal
Government.
(b) Indirect costs. Use of indirect costs as in-kind matching
contributions is subject to Sec. 3430.52(b).
(c) Waiver authority. NIFA may waive the matching requirement
specified in paragraph (a) of this section with respect to a grant if
NIFA determines that:
(1) The results of the project, while of particular benefit to a
specific agricultural commodity, are likely to be applicable to
agricultural commodities generally; or
(2) When all three of the following conditions are present:
(i) The project involves a minor commodity,
(ii) The project deals with scientifically important research, and
(iii) The grant recipient is unable to satisfy the matching funds
requirement.
Sec. 3430.407 Program requirements.
Following the completion of a peer review process for grant
proposals received under this subpart, the Director may provide a
priority for those proposals, found in the peer review process to be
scientifically meritorious, that involve the cooperation of multiple
entities.
Subpart I--Integrated Research, Education, and Extension Competitive
Grants Program
Sec.
3430.500 Applicability of regulations.
3430.501 Purpose.
3430.502 Definitions.
3430.503 Eligibility.
3430.504 Project types and priorities.
3430.505 Funding restrictions.
3430.506 Matching requirements.
3430.507 Program requirements.
Subpart I--Integrated Research, Education, and Extension
Competitive Grants Program
Sec. 3430.500 Applicability of regulations.
The regulations in this subpart apply to the program authorized
under section
[[Page 54766]]
406 of the Agricultural Research, Extension, and Education Reform Act
of 1998 (AREERA), 7 U.S.C. 7626, as amended by the Food, Conservation,
and Energy Act of 2008 (FCEA), Public Law 110-246.
Sec. 3430.501 Purpose.
The purpose of this subpart is to make competitive grants for
integrated, multifunctional agricultural research, extension, and
education activities.
Sec. 3430.502 Definitions.
The definitions applicable to the competitive grant programs under
this subpart include:
Integrated program means a program that brings the three
agricultural knowledge components (i.e., research, extension, and
education) together around a problem or activity through the award of
integrated projects and single component projects.
Integrated project means a project that brings at least two out of
three agricultural knowledge components (i.e., research, extension, and
education) together around a problem or activity.
Sec. 3430.503 Eligibility.
The following entities are eligible to apply for and receive a
grant under this subpart:
(a) Colleges and universities;
(b) 1994 Institutions; and
(c) Hispanic-serving agricultural colleges and universities (as
defined in section 1404 of the National Agricultural Research,
Extension, and Teaching Policy Act of 1977 (7 U.S.C. 3103), and in the
RFA).
Sec. 3430.504 Project types and priorities.
For each RFA, NIFA may develop and include the appropriate project
types and priority areas based on stakeholder input and as deemed
appropriate by NIFA, in consultation with the Advisory Board, and that
involve integrated research, extension, and education activities.
Duration and amount of grants may vary depending on the type of
project.
Sec. 3430.505 Funding restrictions.
(a) Construction. Funds made available for grants under this
subsection shall not be used for the construction of a new building or
facility or the acquisition, expansion, remodeling, or alteration of an
existing building or facility (including site grading and improvement,
and architect fees).
(b) Indirect Costs. Subject to Sec. 3430.54, indirect costs are
allowable.
Sec. 3430.506 Matching requirements.
(a) General requirement. If a grant under this subpart provides a
particular benefit to a specific agricultural commodity, the recipient
of the grant is required to provide funds or in-kind support to match
the amount of funds provided by NIFA.
(b) Indirect costs. Use of indirect costs as in-kind matching
contributions is subject to Sec. 3430.52(b).
(c) Waiver authority. NIFA may waive the matching requirement
specified in paragraph (a) of this section with respect to a grant if
NIFA determines that:
(1) The results of the project, while of particular benefit to a
specific agricultural commodity, are likely to be applicable to
agricultural commodities generally; or
(2) When all three of the following conditions are present:
(i) The project involves a minor commodity,
(ii) The project deals with scientifically important research, and
(iii) The grant recipient is unable to satisfy the matching funds
requirement.
Sec. 3430.507 Program requirements.
(a) General. Grants under this subpart shall address priorities in
the United States agriculture that involve integrated research,
extension, and education activities as determined by the Secretary
through Agency stakeholder input processes and in consultation with the
Advisory Board.
(b) Duration of awards. The term of a grant under this subpart may
not exceed 5 years.
Done at Washington, DC, this 30th day of August 2010.
Roger Beachy,
Director, National Institute of Food and Agriculture.
[FR Doc. 2010-22387 Filed 9-8-10; 8:45 am]
BILLING CODE 3410-22-P