[Code of Federal Regulations]
[Title 7, Volume 15]
[Revised as of January 1, 2005]
From the U.S. Government Printing Office via GPO Access
[CITE: 7CFR3411.6]

[Page 399-400]
 
                          TITLE 7--AGRICULTURE
 
  CHAPTER XXXIV--COOPERATIVE STATE RESEARCH, EDUCATION, AND EXTENSION 
                   SERVICE, DEPARTMENT OF AGRICULTURE
 
PART 3411_NATIONAL RESEARCH INITIATIVE COMPETITIVE GRANTS PROGRAM
--Table of Contents
 
                            Subpart A_General
 
Sec. 3411.6  Grant awards.

    (a) General. Within the limit of funds available for such purpose, 
the awarding official shall make 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'' (part 3015 of 
this title) and the Department's ``Uniform Administrative Requirements 
for Grants and Cooperative Agreements to State and Local Governments'' 
(part 3016 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 competitive 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, specifying the amount of time the Department 
intends to support the project 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 grant is awarded;
    (viii) Approved budget plan for categorizing allocable project funds 
to accomplish the stated purpose of the 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 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) Types of grant instruments. The major types of grant instruments 
shall be as follows:
    (1) New grant. This is a grant instrument by which the Department 
agrees to support a specified level of effort for a project that 
generally has not been supported previously under this program. This 
type of grant is approved on the basis of peer review recommendation.
    (2) Renewal grant. This is a grant instrument by which the 
Department agrees to provide additional funding 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 from the previous granting period. A renewal grant 
shall be based upon new application, de novo peer review and staff 
evaluation, new recommendation and approval, and a new award instrument.
    (3) Supplemental grant. This is an instrument by which the 
Department

[[Page 400]]

agrees to provide small amounts of additional funding under a new or 
renewal grant as specified in paragraphs (c)(1) and (c)(2) 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 for the project 
exceed the statutory limitation. A supplement is awarded only if 
required to assure adequate completion of the original scope of work and 
if there is sufficient justification to warrant such action. A request 
of this nature normally will not require additional peer review.
    (d) Funding mechanisms. The two mechanisms by which new, renewal, 
and supplemental grants shall be awarded are as follows:
    (1) Standard grant. This is a funding mechanism whereby the 
Department agrees to support a specified level of effort for a 
predetermined time period without the announced intention of providing 
additional support at a future date.
    (2) Continuation grant. This is a funding mechanism whereby 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. This kind of mechanism normally will be 
awarded for an initial one-year period, and any subsequent continuation 
project grants will also be awarded in one-year increments. The award of 
a continuation project grant to fund an initial or succeeding budget 
period does not constitute an obligation to fund any subsequent budget 
period. Unless prescribed otherwise by CSRS, 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. 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 the availability of 
funds. Since initial peer reviews are based upon the full term and scope 
of the original special grant application, 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 grant application originally reviewed and 
approved), additional reviews may be required prior to approving 
continued funding.
    (e) Obligation of the Federal Government. Neither the approval of 
any application nor the award of any 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.
    (f) Current Research Information Service (CRIS). For each project 
funded, CRIS Form AD-416, ``Research Work Unit/Project Description-
Research Resume'' and CRIS Form AD-417, ``Research Work Unit/Project 
Description-Classification of Research'' and specific instructions for 
their completion will be sent to the grantee for completion and return. 
Grant funds will not be released until the completed forms are received 
in CSREES.

[56 FR 57952, Nov. 14, 1991. Redesignated and amended at 60 FR 63368, 
63370, Dec. 8, 1995]