[Federal Register Volume 60, Number 208 (Friday, October 27, 1995)] [Proposed Rules] [Pages 55160-55167] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 95-26652] [[Page 55159]] _______________________________________________________________________ Part VI Department of Agriculture _______________________________________________________________________ Cooperative State Research, Education, and Extension Service _______________________________________________________________________ 7 CFR Part 3401 Rangeland Research Grants Program; Administrative Provisions; Proposed Rule Federal Register / Vol. 60, No. 208 / Friday, October 27, 1995 / Proposed Rules [[Page 55160]] 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: Notice of proposed rulemaking. ----------------------------------------------------------------------- SUMMARY: The Cooperative State Research, Education, and Extension Service (CSREES) proposes to amend its regulations relating to the administration of the 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 proposed amendment: Implements the requirements of the National Environmental Policy Act as outlined in Sec. 3401.6(c)(16), revises the objectives of the program as stated in Sec. 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. DATES: Comments are invited from interested individuals and organizations. To be considered in the formulation of the final rule all relevant material must be received on or before November 27, 1995. ADDRESSES: Comments should be sent to Louise Ebaugh, Director, Awards Management Division, Competitive Research Grants and Awards Management, Cooperative State Research, Education, and Extension Service, United States Department of Agriculture, AG Box 2245, Room 322, Aerospace Center, Washington, DC 20250-2245. FOR FURTHER INFORMATION CONTACT: Louise Ebaugh at (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, DC 20250; and to the Office of Management and Budget, Paperwork Reduction Project (OMB Document No. 0524-0022), Washington, DC 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 proposed rule will not create any serious inconsistencies or otherwise interfere with any actions taken or planned by another agency. It will not materially alter the budgetary impact of entitlements, grants, user fees or loan programs and does not raise novel legal or policy issues arising out of legal mandates, the President's priorities, or principles set forth in Executive Order No. 12866. 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 proposed rule has been reviewed under Executive Order No. 12612 pertaining to Federalism. While this proposed 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 proposed rule will not have sufficient Federalism implications to warrant the preparation of a Federalism Assessment. Regulatory Flexibility Act The Department certifies that this proposed rule will not have a significant impact on a substantial number of small entities as defined in the Regulatory Flexibility Act, Pub. L. No. 96-534 (5 U.S.C. 601 et seq). Regulatory Analysis Not required for this rulemaking. Environmental Impact Statement This proposed regulation does not significantly affect the environment. Therefore, an environmental impact statement is not required under the National Environmental Policy Act of 1969, as amended. (42 U.S.C. 4321 et seq.) Catalog of Federal Domestic Assistance The 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. 76 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 proposes to amend 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 Sec. 3401.6(c)(16), revise the program objectives in Sec. 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. [[Page 55161]] List of Subjects in 7 CFR Part 3401 Grant programs--agriculture, Grants administration. For the reasons set out in the preamble, title 7, subtitle B, chapter XXXIV, part 3401 of the Code of Federal Regulations, is proposed to be 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 Sec. 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, 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. Sec. 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. Sec. 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 have 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 provide 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. Sec. 3401.4 Matching funds requirement. In accordance with section 1480 of the National Agricultural Research, [[Page 55162]] Extension, and Teaching Policy Act of 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 non-Federal funding. Sec. 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 Sec. 3401.4. Sec. 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 maxim), 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 or 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 not 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 involvement must state which applicant is to receive any resulting grant award, since only one eligible applicant, as provided in Sec. 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 [[Page 55163]] the past five years shall be provided for each professional project member for 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 Sec. 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 Sec. 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 non-Federal funding. As stated in Sec. 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 Sec. 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 established by the National Institutes of Health entitled, ``Guidelines for Research Involving Recombinant DNA Molecules,'' as revised. The Application Kit, identified above in Sec. 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 Sec. 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 Sec. 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 Sec. 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 Sec. 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 ore 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 [[Page 55164]] 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. Sec. 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, Sec. 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 support 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 Sec. 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. Sec. 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 document. 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 [[Page 55165]] awarded in one-year increments, but in no case may the cumulative period of 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 ensuing 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. Sec. 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 Sec. 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. Sec. 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). Sec. 3401.11 Other conditions. The Administrator may, with respect to any research project grant or to any [[Page 55166]] class of awards, impose additional 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 Sec. 3401.12 Establishment and operation of peer review groups. Subject to Sec. 3401.7, the Administrator will adopt procedures for the conduct of peer reviews and the formulation of recommendations under Sec. 3401.16. Sec. 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. Sec. 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. Sec. 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). Sec. 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 in-depth 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. Sec. 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 Sec. 3401.16, the peer review panel will use the following form upon which the evaluation criteria to be used are enumerated, unless, pursuant to Sec. 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.-------------------------------------------- Institution and Project Title------------------------------------------ I. Basic Requirement: Proposal falls within guidelines? ________Yes ________No. If no, explain why proposal does not meet guidelines under comment section of this form. II. Selection Criteria: ---------------------------------------------------------------------------------------------------------------- Score X Score 1-10 Weight weight Comments factor factor ---------------------------------------------------------------------------------------------------------------- 1. Overall scientific and technical quality of proposal..... ........... 10 ........... ........... 2. Scientific and technical quality of the approach......... ........... 10 ........... ........... 3. 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 ........... ........... ---------------------------------------------------------------------------------------------------------------- [[Page 55167]] Score------------------------------------------------------------------ Summary Comments------------------------------------------------------- (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, DC, this 19th day of October 1995. Colien Hefferan, Acting Administrator, Cooperative State Research, Education, and Extension Service. [FR Doc. 95-26652 Filed 10-26-95; 8:45 am] BILLING CODE 3410-22-M