[Federal Register: November 9, 2007 (Volume 72, Number 217)]
[Notices]
[Page 63629-63631]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr09no07-96]
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NATIONAL SCIENCE FOUNDATION
Research Performance Progress Report Format
AGENCY: National Science Foundation (NSF).
ACTION: Request for public comment on a standardized Research
Performance Progress Report (RPPR) format.
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SUMMARY: The National Science Foundation (NSF), on behalf of the Chief
Financial Officers Council's Grants Policy Committee, the Grants.gov
Executive Board, and the National Science & Technology Council's
Research Business Models Subcommittee, is soliciting public comment on
a standardized Research Performance Progress Report (RPPR) format. The
NSF has agreed to serve as the ``sponsor'' of this Federal-wide format
for receipt of comments under this interagency initiative.
Development of a standardized RPPR is an initiative of the Research
Business Models (RBM) Subcommittee of the Committee on Science (CoS), a
Committee of the National Science and Technology Council (NSTC). It is
also part of the implementation of the Federal Financial Assistance
Management Improvement Act of 1999 (Pub. L. 106-107). Consistent with
the purposes of that Act, the objective of this initiative is to
establish a uniform format for reporting performance on Federally-
funded research projects.
[[Page 63630]]
Although different Federal agencies utilize a variety of formats for
reporting progress on activities supported by research grants, similar
information is usually collected. These variations increase
administrative effort and costs for recipients of Federal awards and
make it difficult to compare research programs across government.
Development of standard reporting categories will facilitate the
development of a common electronic solution for collecting the
information in lieu of collecting it through numerous agency-unique
reporting forms currently used. In furtherance of Public Law 106-107,
this proposed format will directly benefit award recipients by making
it easier for recipients to administer Federal grant programs through
standardization of the types of research information required in
performance reports. This proposed format is for interim progress
reports only, and once implemented, it is intended to replace other
formats. The NSTC RBM Subcommittee may consider a similar format for
final reports, subsequent to this RPPR initiative. Agencies may use
other OMB-approved reporting formats for specialized research grants,
such as centers/institutes, clinical trials, or fellowship/training
awards.
Each category is in the proposed RPPR is a separate reporting
component. Award recipients would be required to report on the
mandatory category and may be required to report on the mandatory
category and may be required to report on any of the optional
categories as instructed by an awarding agency. Agencies may develop an
agency- or program-specific category, if necessary, to meet
programmatic requirements, although agencies would be instructed to
minimize the degree to which they supplement the standard categories.
Comment is requested on any aspect of the reporting components
proposed, such as appropriateness, feasibility, completeness, or
mandatory specification. The NSF also invites the general public and
other Federal agencies to comment on estimates of burden as required by
the Paperwork Reduction Act of 1995 (PRA).
DATES: Comments must be received by January 8, 2008.
ADDRESSES: Comments should be addressed to Suzanne H. Plimpton, Reports
Clearance Officer, Division of Administrative Services, National
Science Foundation, 4201 Wilson Blvd, Arlington, VA 22230, e-mail
splimpton@nsf.gov; telephone: (703) 292-7556; Fax (703) 292-9188. We
encourage respondents to submit comments electronically to ensure
timely receipt. We cannot guarantee that comments mailed will be
received before the comment closing date. Please include ``Research
Performance Progress Reporting'' in the subject line of the e-mail
message; please also include in the full body of your comments in the
text of the message and as an attachment. Include your name, title,
organization, postal address, telephone number, and e-mail address in
your message.
FOR FURTHER INFORMATION CONTACT: To view the RPPR format, see: http://www.nsf.gov/bfa/dias/policy/rppr/index.jsp.
For information on the
RPPR, contact Jean Feldman, Head, Policy Office, Division of
Institution & Support, National Science Foundation, 4201 Wilson Blvd,
Arlington, VA, 22230, e-mail: jfeldman@nsf.gov; telephone (703) 292-
8243; Fax: (703) 292-9171. For further information on the NSTC RBM
Subcommittee, contact Diane DiEuliis, at the Office of Science and
Technology Policy, 725 17th Street, NW., Washington, DC 20503; e-mail:
ddieuliis@ostp.eop.gov; telephone 202-456-6059; Fax 202-456-6027. See
also the RBM Subcommittee's Internet Web site located at: http://rbm.nih.gov
.
SUPPLEMENTARY INFORMATION:
I. Background
This project is an initiative of the Research Business Models (RBM)
Subcommittee of the Committee on Science (COS), a committee of the
National Science and Technology Council (NSTC). The RBM Subcommittee's
objectives include:
Facilitating a coordinated effort across Federal agencies
to address policy implications arising from the changing nature of
scientific research; and
Examining the effects of these changes on business models
for the conduct of scientific research sponsored by the Federal
government.
The Subcommittee used public comments, agency perspectives, and
input from a series of regional public meetings to identify priority
areas on which it would focus its initial efforts. In each priority
area, the Subcommittee is pursuing initiatives to promote, as
appropriate, common policy, streamlining of current procedures, or the
identification of agencies' and institutions' ``best practices.'' As
further information about initiatives becomes available, it will be
posted at the Subcommittee's Internet Web site: http://rbm.nih.gov.
The objective of one of the RBM Subcommittee's priority areas is
greater uniformity in the form and content of performance reports that
are required by Federal grants and cooperative agreements awarded under
research programs. Many Federal agencies have their own forms or
formats that recipients must use to report progress on activities
supported by research grants. While agencies use different formats and
different language to request information on progress, they usually
collect similar information. These variations increase the
administrative effort and costs for recipients of Federal awards and
make it difficult to compare research programs across the government.
In furtherance of Pub. L. 106-107, this proposed format will directly
benefit recipients by making it easier to administer Federal grant
programs, through standardization of the types of research information
required in performance reports. It will also facilitate the creation
of a common electronic solution for collecting the information in lieu
of collecting it through the numerous agency-unique reporting forms or
systems currently used by different Federal agencies. The RBM
Subcommittee reviewed all formats currently in use by Federal agencies
for reporting performance on research grants. The reporting categories
used by the NSF were selected as a starting point for designing a
standard format, as hundreds of NSF research programs have used these
categories successfully. The proposed format does not change the
performance reporting requirements in OMB Circulars A-102 and A-110; it
merely provides additional clarification, instructions, and a standard
format for collecting the information.
This proposed format is intended for interim progress reports, not
for use in submission of final reports (see section III. Invitation to
Comment below), and once implemented, it is intended to replace other
formats. The RPPR is intended to address progress for the most recently
completed period, at the frequency required or designated by the
sponsoring agency. Information, once reported, does not have to be
provided again on subsequent reports.
II. Proposed Reporting Categories
The proposed format for interim performance progress reporting on
grants and cooperative agreements awarded under research programs are
available on the NSF Web site at: http://www.nsf.gov/bfa/dias/policy/rppr/index.jsp.
These include the cover page data elements, the
mandatory and optional categories for reporting, and associated
instructions.
[[Page 63631]]
Each of the categories specified is a separate reporting component.
Federal agencies will direct recipients to report on the mandatory
category and may also require reporting on optional categories, as
appropriate. Recipients will not be required or expected to report on
each of the questions or items listed under a particular category. They
will be advised to state ``None'' or ``Nothing to report'' if they have
nothing significant to report.
Agencies will utilize the standard instructions that have been
developed for each category, but may provide additional program-
specific instructions necessary to clarify a requirement for a
particular program. For example, the Environmental Protection Agency
(EPA) is required to collect information on environmental impacts; so
under the following reporting question: ``How has the project
contributed to society beyond science and technology?'', the EPA can
direct recipients to specifically report on the research's benefit or
impact to the environment.
Agencies also may develop additional agency- or program-specific
reporting categories and instructions (e.g., the National Institutes of
Health may need to collect additional information on clinical trial
awards); however, to maintain maximum uniformity, agencies will be
instructed to minimize the degree to which they supplement the standard
categories.
III. Invitation to Comment
Input is welcome on any aspect of the proposed standard reporting
categories. Questions that individuals may wish to address include, but
are not limited to, the following:
Are the categories and the elements appropriate?
Are there other elements that should be included under the
reporting categories?
Should other categories be mandatory?
Are the instructions straightforward and easy to
understand?
Should agencies defer final implementation until there is
a common solution for collecting the information electronically? Should
agencies use a downloadable fillable form or web-based form to report
progress?
The RBM Subcommittee may consider using this format for
final reports as well as progress reports. Is this proposed format
appropriate for a final report? If so, should recipients be directed to
provide summary information for the entire project period, or just for
the last period? If not, what information should be included in a final
report?
IV. Paperwork Reduction Act
In furtherance of Pub. L. 106-107, and its goal of streamlining the
Federal grant process, this proposed format will reduce the burden on
recipients currently expending time and effort on a variety of agency-
specific forms. Under the Paperwork Reduction Act (PRA), OMB assigns a
control number to each ``collection of information'' that it reviews
and approves for use by an agency. An agency may not conduct or
sponsor, and a person is not required to respond to, a collection of
information unless the collection of information displays a valid OMB
Control Number. The PRA also requires agencies to estimate the burden
for each collection of information. Given that this reporting format
has not yet been utilized by Federal recipients to report progress on
research awards, it is difficult to estimate the burden hours
associated with this information collection at this time. Also, because
individual components of the proposed RPPR are in a new format, burden
hours per component are uncertain. Depending on which optional
components agencies select in addition to the mandatory component,
however, burden hours may be estimated within a range. It should be
noted that burden estimates associated with forms currently in use
range from a minimum of 5 hours to a maximum of 16 hours, depending on
the type of research project being supported.
Proposed PRA Submission to OMB
Title: Research Performance Progress Report (RPPR).
OMB Number: 4040-NEW.
Abstract: The Research Performance Progress Report (RPPR) will
establish a uniform format for reporting performance on Federally-
funded research projects.
Type of Review: New Collection.
Affected Public: Public or private institutions, such as
universities, colleges, hospitals, and laboratories; units of state and
local government; domestic or foreign non-profit and for-profit
organizations; and eligible agencies of the Federal government. Note
that affected public will vary depending on individual agency and the
type of research being supported.
Estimated Number of Respondents: The number of Annual Project
Reports that NSF received from 10-01-2006 through 9-30-2007 was 24,603.
Total Estimated Time: The burden imposed by various agencies will
depend on the number of respondents using the collection for their
programs.
Estimated Time per Respondent: Estimated time per respondent may
range from 5 to 16 hours depending on the type of research being
supported.
Total Estimated Out-of-Pocket Costs:
Estimated Out-of-Pocket Cost per Respondent: Agencies and the
public are asked to comment on:
Whether the collection of information is necessary for the
proper performance of the functions of the agency, including whether
the information will have practical utility;
The accuracy of the agency's estimate of the burden of the
collection of information;
Ways to enhance the quality, utility, and clarity of the
information to be collected;
Ways to minimize the burden of the collection of
information on respondents, including through the use of automated
collection techniques or other forms of information technology; and
Estimates of capital or start-up costs and costs of
operation, maintenance, and purchase of services to provide
information.
Prior to submission of the information collection request to OMB
for final clearance, however, specific burden hours associated with
interim progress reporting will be reported by agencies. Comments
submitted in response to this notice will be summarized and/or included
in the request for OMB approval.
Dated: November 6, 2007.
Suzanne H. Plimpton,
Reports Clearance Officer, National Science Foundation.
[FR Doc. 07-5601 Filed 11-8-07; 8:45 am]
BILLING CODE 7555-01-M