PART 3400—SPECIAL RESEARCH GRANTS PROGRAM Authority: 7 U.S.C. 450i(c). Source: 56 FR 58147, Nov 15, 1991, unless otherwise noted. Editorial Note: Nomenclature changes to part 3400 appear at 76 FR 4806, Jan. 27, 2011. Subpart A—General § 3400.1 Applicability of regulations. (a) The regulations of this part apply to special research grants awarded under the authority of subsection (c) of the Competitive, Special, and Facilities Research Grant Act, as amended (7 U.S.C. 450i (c)), to facilitate or expand promising breakthroughs in areas of the food and agricultural sciences of importance to the United States. Subparts A and B, excepting this section, apply only to special research grants awarded under subsection (c)(1)(A). Subpart C, Peer and Merit Review Arranged by Grantees, and Subpart D, Annual Reports, apply to all grants awarded under subsection (c). (b) Each year the Director of NIFA shall determine and announce through publication of a Notice in such publications as the Federal Register, (c) The regulations of this part do not apply to research, extension or education grants awarded by the Department of Agriculture under any other authority. [64 FR 34103, June 24, 1999] § 3400.2 Definitions. As used in this part: (a) Director (b) Department (c) Principal investigator (d) Grantee (e) Research project grant (f) Project (g) Project period (h) Budget period (i) Awarding official (j) Peer review group (k) Ad hoc reviewers (l) Research (m) Methodology [56 FR 58147, Nov. 15, 1991, as amended at 76 FR 4806, Jan. 27, 2011] § 3400.3 Eligibility requirements. (a) Except where otherwise prohibited by law, any State agricultural experiment station, all colleges and universities, other research institutions and organizations, Federal agencies, private organizations or corporations, and individuals, shall be eligible to apply for and to receive a special research project grant under this part, provided that the applicant qualifies as a responsible grantee under the criteria set forth in paragraph (b) of this section. (b) To qualify as responsible, an applicant must meet the following standards as they relate to a particular project: (1) Have adequate financial resources for performance, the necessary experience, organizational and technical qualifications, and facilities, or a firm commitment, arrangement, or ability to obtain such (including proposed subagreements); (2) Be able to comply with the proposed or required completion schedule for the project; (3) Have a satisfactory record of integrity, judgment, and performance, including, in particular, any prior performance under grants and contracts from the Federal Government; (4) Have an adequate financial management system and audit procedure which provides efficient and effective accountability and control of all property, funds, and other assets; and (5) Be otherwise qualified and eligible to receive a research project grant under applicable laws and regulations. (c) Any applicant who is determined to be not responsible will be notified in writing of such findings and the basis therefor. § 3400.4 How to apply for a grant. (a) A request for proposals will be prepared and announced through publications such as the Federal Register, (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) Grant Application Kit. (c) Format for research grant proposals. (1) Grant Application. (2) Title of Project. (3) Objectives. (4) Procedures. (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. (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. (7) Current research. (8) Facilities and equipment. (9) Collaborative arrangements. (10) Research timetable. (11) Personnel support. (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 (iii) A chronological listing of the most representative publications during 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. (13) Research involving special considerations. (i) Recombinant DNA molecules. (ii) Human subjects at risk. (iii) Laboratory animal care. et. seq. (14) Current and pending support. (15) Additions to project description. (16) Organizational management information. [56 FR 58147, Nov 15, 1991, as amended at 80 FR 81738, Dec. 31, 2015] § 3400.5 Evaluation and disposition of applications. (a) Evaluation. ad hoc (b) Disposition. (1) Approve support using currently available funds, (2) Defer support due to lack of funds or a need for further evaluations, or (3) Disapprove support for the proposed project in whole or in part. With respect to approved projects, the Director will determine the project period (subject to extension as provided in § 3400.7(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. § 3400.6 Grant awards. (a) General. (b) Grant award document and notice of grant award Grant award document. (i) Legal name and address of performing organization or institution to whom the Director has awarded a special 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 Director 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. (c) Categories of grant instruments. (1) Standard grant. (2) Renewal grant. de novo (3) Continuation grant. (4) Supplemental grant. (d) Obligation of the Federal Government. [56 FR 58147, Nov. 15, 1991, as amended at 79 FR 75997, Dec. 26, 2014] § 3400.7 Use of funds; changes. (a) Delegation of fiscal responsibility. (b) Change in project plans. (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 the grant award. (c) Changes in project period. (d) Changes in approved budget. [56 FR 58147, Nov. 15, 1991, as amended at 64 FR 34103, June 24, 1999] § 3400.8 Other Federal statutes and regulations that apply. (a) The Office of Management and Budget (“OMB”) issued guidance on Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 CFR part 200 on December 26, 2013. In 2 CFR 400.1, the Department adopted OMB's guidance in subparts A through F of 2 CFR part 200, as supplemented by 2 CFR part 400, as the Department's policies and procedures for uniform administrative requirements, cost principles, and audit requirements for federal awards. As a result, this regulation contains references to 2 CFR part 200 as it has regulatory effect for the Department's programs and activities.” (b) 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: 2 CFR part 200—Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. 2 CFR part 180 and Part 417—OMB Guidelines to Agencies on Government-Wide Debarment and Suspension (Nonprocurement) and USDA Nonprocurement Debarment and Suspension. 7 CFR part 1c—USDA Implementation of the Federal Policy for the Protection of Human Subjects. 7 CFR 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 3407—NIFA 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. 35 U.S.C. 200 et seq. [79 FR 75997, Dec. 19, 2014] § 3400.9 Other conditions. The Director may, with respect to any research project grant or to any class of awards, impose additional conditions prior to or at the time of any award when, in the Director'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 Grant Applications § 3400.10 Establishment and operation of peer review groups. Subject to § 3400.5, the Director will adopt procedures for the conduct of peer reviews and the formulation of recommendations under § 3400.14. § 3400.11 Composition of peer review groups. (a) Peer review group members will be selected based upon their training and experience in relevant scientific or technical fields, taking into account the following factors: (1) The level of formal scientific or technical education by the individual; (2) 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; (3) Professional recognition as reflected by awards and other honors received from scientific and professional organizations outside of the Department; (4) The need of the group to include within its membership experts from various areas of specialization within relevant scientific or technical fields; (5) 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 (6) The need of the group to maintain a balanced membership, e.g., minority and female representation and an equitable age distribution. (b) [Reserved] § 3400.12 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, as amended. § 3400.13 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). § 3400.14 Proposal review. (a) All research grant applications 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 which 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 carefully reviewed by the Director, qualified officers or employees of the Department, the respective peer review group, and ad hoc ad hoc (c) No awarding official will make a research project grant based upon an application covered by this part unless the application has been reviewed by a peer review group and/or ad hoc (d) 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. § 3400.15 Review criteria. (a) Subject to the varying conditions and needs of States, Federal funded agricultural research supported under these provisions shall be designed to, among other things, accomplish one or more of the following purposes: (1) Continue to satisfy human food and fiber needs; (2) Enhance the long-term viability and competitiveness of the food production and agricultural system of the United States within the global economy; (3) Expand economic opportunities in rural America and enhance the quality of life for farmers, rural citizens, and society as a whole; (4) Improve the productivity of the American agricultural system and develop new agricultural crops and new uses for agricultural commodities; (5) Develop information and systems to enhance the environment and the natural resource base upon which a sustainable agricultural economy depends; or (6) Enhance human health. In carrying out its review under § 3400.14, the peer review group will use the following form upon which the evaluation criteria to be used are enumerated, unless pursuant to § 3400.5(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 1-10 Weight factor Score X weight factor Comments 1. Overall scientific and technical quality of proposal 10 2. Scientific and technical quality of the approach 10 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 Score Summary Comments (b) 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. Subpart C—Peer and Merit Review Arranged by Grantees Source: 64 FR 34104, June 24, 1999, unless otherwise noted. § 3400.20 Grantee review prior to award. (a) Review requirement. (b) Credible and independent. (c) Notice of completion and retention of records. (d) Renewal and supplemental grants. § 3400.21 Scientific peer review for research activities. Scientific peer review is an evaluation of a proposed project for technical quality and relevance to regional or national goals performed by experts with the scientific knowledge and technical skills to conduct the proposed research work. Peer reviewers may be selected from an applicant organization or from outside the organization, but shall not include principals, collaborators or others involved in the preparation of the application under review. § 3400.22 Merit review for education and extension activities. Merit review is an evaluation of a proposed project or elements of a proposed program whereby the technical quality and relevance to regional or national goals are assessed. The merit review shall be performed by peers and other individuals with expertise appropriate to evaluate the proposed project. Merit reviewers may not include principals, collaborators or others involved in the preparation of the application under review. Subpart D—Annual Reports § 3400.23 Annual reports. (a) Reporting requirement. (b) Report type and content. [64 FR 34104, June 24, 1999]