USDA 7 CFR PART 3411-2011 NATIONAL RESEARCH INITIATIVE COMPETITIVE GRANTS PROGRAM《国家研究创新性竞赛奖计划》.pdf

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1、403 Coop. State Research, Education, and Extension Ser., USDA 3411.1 REGISTER by the Environmental Pro-tection Agency (40 CFR 1506.10). The decision will be documented in a record of decision as required by 40 CFR 1505.2, and monitoring and mitigation activi-ties will be implemented as required by 4

2、0 CFR 1505.3. PART 3411NATIONAL RESEARCH INITIATIVE COMPETITIVE GRANTS PROGRAM Subpart AGeneral Sec. 3411.1 Applicability of regulations. 3411.2 Definitions. 3411.3 Eligibility requirements. 3411.4 How to apply for a grant. 3411.5 Evaluation and disposition of applica-tions. 3411.6 Grant awards. 341

3、1.7 Use of funds; changes. 3411.8 Other Federal statutes and regula-tions that apply. 3411.9 Other conditions. Subpart BScientific Peer Review of Research Grant Applications 3411.10 Establishment and operation of peer review groups. 3411.11 Composition of peer review groups. 3411.12 Conflicts of int

4、erest. 3411.13 Availability of information. 3411.14 Proposal review. 3411.15 Evaluation factors. AUTHORITY: Sec. 2(i) of the Act of August 4, 1965, as amended (7 U.S.C. 450i(i). SOURCE: 56 FR 57952, Nov. 14, 1991, unless otherwise noted. Redesignated at 60 FR 63368, Dec. 8, 1995. Subpart AGeneral 34

5、11.1 Applicability of regulations. (a) The regulations of this part apply to competitive research grants awarded under the authority of section 2(b) of the Act of August 4, 1965, as amended by section 1615 of the Food, Agri-culture, Conservation, and Trade Act of 1990 (FACT Act), (7 U.S.C. 450i(b),

6、for the support of research to further the programs of the Department of Ag-riculture and to improve research capa-bilities in the agricultural, food, and environmental sciences in the fol-lowing categories: Single investigators or coinvestigators in the same dis-ciplines; teams of researchers from

7、dif-ferent disciplines; multidisciplinary teams for long-term applied research problems; multidisciplinary teams whose research has the eventual goal of technology transfer and education ca-pacity through the acquisition of spe-cial research equipment and improve-ment of teaching and education, in-c

8、luding fellowships; single investiga-tors or coinvestigators who are begin-ning their research careers; and, fac-ulty of small and mid-sized institutions not previously successful in obtaining competitive grants under this sub-section. In accordance with Public Law 104127, within the Department of A

9、gri-culture, the Secretary established the National Agricultural Research, Exten-sion, Education, and Economics Advi-sory Board (NAREEEAB) to provide overall guidance to the Research, Edu-cation and Economics mission area on policies and priorities related to pro-grams, including NRICGP. In addition

10、 to the stakeholder listening sessions NAREEEAB sponsors, CSREES re-ceives stakeholder input on policies and priorities related to NRICGP from multiple sources including scientific societies; the National Research Coun-cil of the National Academy of Sciences; producers, processors, indus-try; the la

11、nd-grant university system; non-governmental organizations; and other federal agencies; and through international coordination. The Ad-ministrator of CSREES shall deter-mine and announce, through publica-tion of a notice on the CSREES Web site (http:/www.csrees.usda.gov), the government-wide funding

12、 opportunities Web site (http:/www.grants.gov), or in such publications as the FEDERAL REG-ISTER, professional trade journals, agency or program handbooks, the Catalog of Federal Domestic Assist-ance, or any other appropriate means, high-priority research areas and cat-egories for which proposals wi

13、ll be so-licited and the extent that funds are made available therefore. (b) The regulations of this part do not apply to grants awarded by the De-partment of Agriculture under any other authority. 56 FR 57952, Nov. 14, 1991. Redesignated and amended at 60 FR 63368, 63369, Dec. 8, 1995; 71 FR 54896,

14、 Sept. 20, 2006 VerDate Mar2010 11:29 Mar 03, 2011 Jkt 223026 PO 00000 Frm 00413 Fmt 8010 Sfmt 8010 Y:SGML223026.XXX 223026jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-404 7 CFR Ch. XXXIV (1111 Edition) 3411.2 341

15、1.2 Definitions. As used in this part and in annual program solicitations issued pursuant to this part: (a) Administrator means the Adminis-trator of the Cooperative State Re-search, Education, and Extension Serv-ice (CSREES) and any other officer or employee of the Department of Agri-culture to who

16、m the authority in-volved may be delegated. (b) Department means the Department of Agriculture. (c) Project Director means a single in-dividual who is responsible for the sci-entific and technical direction of the project, as designated by the grantee in the grant application and approved by the Adm

17、inistrator. (d) Grantee means the entity des-ignated in the grant award document as the responsible legal entity to whom a grant is awarded under this part. (e) Grant means the award by the Ad-ministrator of funds to a grantee to as-sist in meeting the costs of conducting, for the benefit of the pub

18、lic, an identi-fied project which is intended and de-signed to establish, discover, elucidate, or confirm information or the under-lying mechanisms relating to a re-search program area identified in the program solicitation; it also means the award by the Administrator of funds to a grantee to stren

19、gthen its research ca-pabilities relating to a research pro-gram area identified in the program so-licitation; (f) Project means the particular activ-ity within the scope of one or more of the research program areas or the cat-egories to improve research capabili-ties identified in the program solic

20、ita-tion that is supported by a grant under this part. (g) Project period means the total time approved by the Administrator for conducting the proposed project as outlined in an approved grant applica-tion. (h) Budget period means the interval of time (usually 12 months) into which the project peri

21、od is divided for budg-etary and reporting purposes. (i) Awarding official means the Ad-ministrator and any other officer or employee of the Department to whom the authority to issue or modify grant instruments has been delegated. (j) Peer review group means an assem-bled group of experts or consult

22、ants qualified by training and experience to give expert advice on the scientific and technical merit of grant applications or the relevance of those applications to one or more of the research purposes as contained in 3411.15 of this part. (k) Ad hoc reviewers means experts or consultant qualified

23、by training and experience to render special expert ad-vice, through written evaluations, on the scientific and technical merit of grant applications or the relevance of those applications to one or more of the research purposes contained in 3411.15 of this part. (l) Research means any systematic st

24、udy directed toward new or fuller knowledge and understanding of the subject studied. (1) Fundamental research, as referred to annually in the program solicita-tion, means research that tests sci-entific hypotheses and provides basic knowledge which allows advances in applied research and from which

25、 major conceptual breakthroughs are expected to occur. (2) Mission-linked research, as referred to annually in the program solicita-tion, means research on specifically identified agricultural problems which, through a continuum of efforts, pro-vides information and technology that may be transferre

26、d to users and may relate to a product, practice, or proc-ess. (3) Multidisciplinary research, as re-ferred to annually in the program so-licitation, means research in which in-vestigators from two or more dis-ciplines are collaborating closely. These collaborations, where appro-priate, may integrat

27、e the biological, physical, chemical, or social sciences. (m) Methodology means the project approach to be followed and the re-sources needed to carry out the project. (n) Small and mid-sized institution means an academic institution with a total enrollment of 15,000 or less. An institution in this

28、instance is an orga-nization that possesses a significant degree of academic and administrative autonomy, as specified in the annual program solicitation. VerDate Mar2010 11:29 Mar 03, 2011 Jkt 223026 PO 00000 Frm 00414 Fmt 8010 Sfmt 8010 Y:SGML223026.XXX 223026jdjones on DSKHWCL6B1PROD with CFRProv

29、ided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-405 Coop. State Research, Education, and Extension Ser., USDA 3411.3 (o) USDA-EPSCoR States (Experimental Program for Stimulating Competitive Re-search) means States which have had a funding level from the

30、USDA NRICGP no higher than the 38th percentile of all States, based on a three-year roll-ing average, and all United States ter-ritories and possessions. A list of eligi-ble States is published annually in the program solicitation. 56 FR 57952, Nov. 14, 1991. Redesignated and amended at 60 FR 63368,

31、 63369, Dec. 8, 1995; 61 FR 45319, Aug. 29, 1996; 71 FR 54896, Sept. 20, 2006 3411.3 Eligibility requirements. (a) For research projects, except where otherwise prohibited by law, State agricultural experiment stations, all colleges and universities, other re-search institutions and organizations, F

32、ederal agencies, private organizations or corporations, and individuals shall be eligible to apply for and receive a competitive grant under this part, pro-vided that the applicant qualifies as a responsible grantee under the criteria set forth in paragraph (b) of this sec-tion. (b) To qualify as re

33、sponsible, an ap-plicant must meet the following stand-ards as they relate to a particular project: (1) Adequate financial resources for performance, the necessary experience, organizational and technical qualifica-tions, and facilities, or a firm commit-ment, arrangement, or ability to ob-tain some

34、 (including by proposed sub-agreements); (2) Ability to comply with the pro-posed or required completion schedule for the project; (3) Satisfactory record of integrity, judgment, and performance, including, in particular, any prior performance under grants and contracts from the Federal government;

35、(4) Adequate financial management system and audit procedures that pro-vide efficient and effective account-ability and control of all funds, prop-erty, and other assets; and (5) Otherwise qualified and eligible to receive a grant under the applicable laws and regulations; eligibility for specific p

36、rogram areas or categories of competitive grants to improve research capabilities will be outlined in the pro-gram solicitation. (c) Any applicant who is determined to be not responsible will be notified in writing of such finding and the basis therefor. (d) Agricultural Research Enhancement Awards.

37、 In addition to paragraphs (a), (b), and (c) of this section, the fol-lowing eligibility requirements apply to Agricultural Research Enhancement Awards for research projects (Program reserves the right to specify funding limitations and administrative require-ments each year in the program solici-ta

38、tion): (1) Postdoctoral Fellowships. In accord-ance with Section 2(b)(3)(D) of the Act of August 4, 1965, as amended, individ-uals who recently have received or will soon receive their doctoral degree may submit proposals for postdoctoral fel-lowships. The following eligibility re-quirements apply:

39、(i) The doctoral degree of the appli-cant must be received not earlier than January 1 of the fiscal year three years prior to the submission of the proposal and not later than nine months after the proposal due date; (ii) The individual must be a citizen of the United States; and (iii) The proposal

40、must contain: (A) documentation that arrange-ments have been made with an estab-lished investigator to serve as mentor; (B) documentation that arrange-ments have been made for the nec-essary facilities, space, and materials for conduct of the research; and (C) documentation from the host in-stitutio

41、ns authorized organizational representative indicating that the host institution concurs with these arrange-ments. (2) New Investigator Awards. Pursuant to Section 2(b)(3)(E) of the Act of Au-gust 4, 1965, as amended, Project Direc-tors who are beginning their research careers, do not have an extens

42、ive re-search publication record, and have less than 5 years of post-graduate, ca-reer-track research experience, may submit proposals as new investigators. Applicants may not have received com-petitively-awarded Federal research funds beyond the level of pre or postdoctoral research awards or USDA

43、NRICGP seed grants. VerDate Mar2010 11:29 Mar 03, 2011 Jkt 223026 PO 00000 Frm 00415 Fmt 8010 Sfmt 8010 Y:SGML223026.XXX 223026jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-406 7 CFR Ch. XXXIV (1111 Edition) 3411.4

44、 (3) Strengthening Awards. Applicants that are eligible for any grant under this part may also be eligible for Equipment Grants, Research Career Enhancement Awards, Seed Grants, and Strengthening Standard Research Project Awards pursuant to Sections 2(b)(3) (D) and (F) of the Act of August 4, 1965,

45、as amended, subject to the fol-lowing limitations on such eligibility: (i) Equipment Grants. The following organizations are ineligible to apply for Equipment grants: (A) Institutions which are among the top 100 universities and colleges for re-ceiving Federal funds for science and engineering resea

46、rch as specified in the annual program solicitation; or (B) non-degree granting institutions. (ii) Research Career Enhancement Awards, Seed Grants, and Strengthening Standard Research Project Awards. The following eligibility requirements apply to Research Career Enhancement Awards, Seed Grants, and

47、 Strength-ening Standard Research Project Awards: (A) The Project Director listed on the Application For Funding must be from a small or mid-sized institution that is not among the top 100 universities and colleges for receiving Federal funds for science and engineering research as specified in the

48、annual program solici-tation or must be from an institution located in a USDA-EPSCoR state. (B) Every investigator listed on the Application For Funding must have an appointment at a degree granting insti-tution. 56 FR 57952, Nov. 14, 1991. Redesignated and amended at 60 FR 63368, 63369, Dec. 8, 199

49、5; 71 FR 54896, Sept. 20, 2006 3411.4 How to apply for a grant. (a) Program solicitations will be pre-pared and announced through publica-tion on the government-wide funding opportunities Web site (http:/ www.grants.gov) as early as practicable each fiscal year. It will contain infor-mation sufficient to enable all eligible applicants to prepare competitive grant proposals and will be as complete as possible with respect to: (1) Descriptions of the specific re-sea