[Federal Register Volume 71, Number 218 (Monday, November 13, 2006)]
[Notices]
[Pages 66198-66200]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E6-19104]


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NATIONAL SCIENCE FOUNDATION


Agency Information Collection Activities: Comment Request

AGENCY: National Science Foundation.

ACTION: Submission for OMB review; comment request.

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SUMMARY: The National Science Foundation (NSF) has submitted the 
following information collection requirement to OMB for review and 
clearance under the Paperwork Reduction Act of 1995, Pub. L. 104-13. 
This is the second notice for public comment; the first was published 
in the Federal Register at 71 FR 45076, and no

[[Page 66199]]

substantial comments were received. NSF is forwarding the proposed 
renewal submission to the Office of Management and Budget (OMB) for 
clearance simultaneously with the publication of this second notice. 
Comments regarding (a) 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; (b) the 
accuracy of the agency's estimate of burden including the validity of 
the methodology and assumptions used; (c) ways to enhance the quality, 
utility and clarity of the information to be collected; (d) ways to 
minimize the burden of the collection of information on those who are 
to respond, including through the use of appropriate automated, 
electronic, mechanical, or other technological collection techniques or 
other forms of information technology should be addressed to: Office of 
Information and Regulatory Affairs of OMB, Attention: Desk Officer for 
National Science Foundation, 725--17th Street, NW., Room 10235, 
Washington, DC 20503, and to Suzanne H. Plimpton, Reports Clearance 
Officer, National Science Foundation, 4201 Wilson Boulevard, Suite 295, 
Arlington, Virginia 22230 or send email to [email protected]. Comments 
regarding these information collections are best assured of having 
their full effect if received within 30 days of this notification. 
Copies of the submission(s) may be obtained by calling 703-292-7556.
    NSF may not conduct or sponsor a collection of information unless 
the collection of information displays a currently valid OMB control 
number and the agency informs potential persons who are to respond to 
the collection of information that such persons are not required to 
respond to the collection of information unless it displays a currently 
valid OMB control number.

SUPPLEMENTARY INFORMATION:
    Title of Collection: ``National Science Foundation Proposal and 
Award Information--NSF Proposal and Award Policies & Procedures 
Guide.''
    OMB Approval Number: 3145-0058.
    Type of Request: Intent to seek approval to extend with revision an 
information collection for three years.
    Proposed Project: NSF is seeking to improve its existing mechanisms 
for the issuance of proposal and award policies and procedures. 
Previously, these policies and procedures were contained in two 
separate issuances: the Grant Proposal Guide and the Grant Policy 
Manual. These documents were each separately maintained and issued with 
different effective dates and significant redundancies between the two 
documents. We have now collapsed these two documents into a new policy 
framework: the NSF Proposal and Award Policies and Procedures Guide.
    Part I of this document will include NSF Proposal Preparation and 
Submission Guidelines, i.e., the Grant Proposal Guide (GPG), and Part 
II will include the NSF Award & Administration Guide (previously known 
as the GPM). These documents will be available as a single html file on 
the NSF Web site. This initial issuance of the NSF Proposal and Award 
Policies and Procedures Guide will be effective following approval by 
OMB of this information collection request. Future issuances of this 
Guide will be supplemented with additional documents, such as the NSF 
Grants.gov Application Guide.
    This new policy framework will assist both NSF customers as well as 
NSF staff by:
    1. Improving both the awareness and knowledge of the complete set 
of NSF policies and procedural documents;
    2. Increasing ease of access to the policies and procedures that 
govern the entire grant lifecycle;
    3. Eliminating duplicative coverage between the two documents;
    4. Increasing the transparency of our proposal and award process; 
and
    5. Allowing NSF to better manage amendments between the two 
documents necessitated by administrative changes.
    This process also will combine the Grant Proposal Guide (OMB 
Clearance No. 3145-0058) with the Proposal Review Process (3145-0060) 
to streamline the proposal and award management processes for 
applicants and awardees. This will allow NSF to better manage 
amendments between the two collections necessitated by administrative 
changes. Following OMB approval, this information will be available 
electronically by the community via the Internet.
    The National Science Foundation (NSF) is an independent Federal 
agency created by the National Science Foundation Act of 1950, as 
amended (42 U.S.C. 1861-75). The Act states the purpose of the NSF is 
``to promote the progress of science; [and] to advance the national 
health, prosperity, and welfare'' by supporting research and education 
in all fields of science and engineering.'' The Act authorized and 
directed NSF to initiate and support:
     Basic scientific research and research fundamental to the 
engineering process;
     Programs to strengthen scientific and engineering research 
potential;
     Science and engineering education programs at all levels 
and in all the various fields of science and engineering;
     Programs that provide a source of information for policy 
formulation; and
     Other activities to promote these ends.
    From those first days, NSF has had a unique place in the Federal 
Government: It is responsible for the overall health of science and 
engineering across all disciplines. In contrast, other Federal agencies 
support research focused on specific missions such as health or 
defense. The Foundation also is committed to ensuring the nation's 
supply of scientists, engineers, and science and engineering educators.
    The Foundation fulfills this responsibility by initiating and 
supporting merit-selected research and education projects in all the 
scientific and engineering disciplines. It does this through grants and 
cooperative agreements to more than 2,800 colleges, universities, K-12 
school systems, businesses, informal science organizations and other 
research institutions throughout the U.S. The Foundation accounts for 
about one-fourth of Federal support to academic institutions for basic 
research.
    Over the years, NSF's statutory authority has been modified in a 
number of significant ways. In 1968, authority to support applied 
research was added to the Organic Act. In 1980, The Science and 
Engineering Equal Opportunities Act gave NSF standing authority to 
support activities to improve the participation of women and minorities 
in science and engineering.
    Another major change occurred in 1986, when engineering was 
accorded equal status with science in the Organic Act. NSF has always 
dedicated itself to providing the leadership and vision needed to keep 
the words and ideas embedded in its mission statement fresh and up-to-
date. Even in today's rapidly changing environment, NSF's core purpose 
resonates clearly in everything it does: promoting achievement and 
progress in science and engineering and enhancing the potential for 
research and education to contribute to the Nation. While NSF's vision 
of the future and the mechanisms it uses to carry out its charges have 
evolved significantly over the last four decades, its ultimate mission 
remains the same.
    Use of the Information: The regular submission of proposals to the 
Foundation is part of the collection of information and is used to help 
NSF

[[Page 66200]]

fulfill this responsibility by initiating and supporting merit-selected 
research and education projects in all the scientific and engineering 
disciplines. NSF receives more than 40,000 proposals annually for new 
projects, and makes approximately 10,500 new awards.
    Support is made primarily through grants, contracts, and other 
agreements awarded to more than 2,800 colleges, universities, academic 
consortia, nonprofit institutions, and small businesses. The awards are 
based mainly on evaluations of proposal merit submitted to the 
Foundation (proposal review is currently cleared under OMB Control No. 
3145-0060).
    The Foundation has a continuing commitment to monitor the 
operations of its information collection to identify and address 
excessive reporting burdens as well as to identify any real or apparent 
inequities based on gender, race, ethnicity, or disability of the 
proposed principal investigator(s)/project director(s) or the co-
principal investigator(s)/co-project director(s).

Proposal Evaluation Process

    The Foundation relies heavily on the advice and assistance of 
external advisory committees, ad-hoc proposal reviewers, and to other 
experts to ensure that the Foundation is able to reach fair and 
knowledgeable judgments. These scientists and educators come from 
colleges and universities, nonprofit research and education 
organizations, industry, and other Government agencies.
    In making its decisions on proposals the counsel of these merit 
reviewers has proven invaluable to the Foundation both in the 
identification of meritorious projects and in providing sound basis for 
project restructuring.
    Review of proposals may involve large panel sessions, small groups, 
or use of a mail-review system. Proposals are reviewed carefully by 
scientists or engineers who are expert in the particular field 
represented by the proposal. About 54% are reviewed exclusively by 
panels of reviewers who gather, usually in Arlington, VA, to discuss 
their advice as well as to deliver it. About 33% are reviewed first by 
mail reviewers expert in the particular field, then by panels, usually 
of persons with more diverse expertise, who help the NSF decide among 
proposals from multiple fields or sub-fields. Finally, about 9% are 
reviewed exclusively by mail.

Use of the Information

    The information collected is used to support grant programs of the 
Foundation. The information collected on the proposal evaluation forms 
is used by the Foundation to determine the following criteria when 
awarding or declining proposals submitted to the Agency: (1) What is 
the intellectual merit of the proposed activity? (2) What are the 
broader impacts of the proposed activity?
    The information collected on reviewer background questionnaire (NSF 
428A) is used by managers to maintain an automated database of 
reviewers for the many disciplines represented by the proposals 
submitted to the Foundation. Information collected on gender, race, and 
ethnicity is used in meeting NSF needs for data to permit response to 
Congressional and other queries into equity issues. These data also are 
used in the design, implementation, and monitoring of NSF efforts to 
increase the participation of various groups in science, engineering, 
and education.

Confidentiality

    When a decision has been made (whether an award or a declination), 
verbatim copies of reviews, excluding the names of the reviewers, and 
summaries of review panel deliberations, if any, are provided to the 
PI. A proposer also may request and obtain any other releasable 
material in NSF's file on their proposal. Everything in the file except 
information that directly identifies either reviewers or other pending 
or declined proposals is usually releasable to the proposer.
    While a listing of panelists' names is released annually, the names 
of individual reviewers, associated with individual proposals, are not 
released to anyone.
    Because the Foundation is committed to monitoring and identifying 
any real or apparent inequities based on gender, race, ethnicity, or 
disability of the proposed principal investigator(s)/project 
director(s) or the co-principal investigator(s)/co-project director(s), 
the Foundation also collects information regarding race, ethnicity, 
disability, and gender. This information also is protected by the 
Privacy Act.
    Burden on the Public: For the Grant Proposal Guide, NSF estimates 
that an average of 120 hours is expended for each proposal submitted. 
An estimated 45,000 proposals are expected during the course of one 
year for a total of 5,400,000 public burden hours annually.
    For the proposal review process, NSF estimates that anywhere from 
one hour to twenty hours may be required to review a proposal. It is 
estimated that approximately five hours are required to review an 
average proposal. Each proposal receives an average of 6 reviews, with 
a minimum requirement of three reviews for an estimated total of 
1,350,000 hours. The estimated burden for the Reviewer Background 
Information (NSF 428A) is estimated at 5 minutes per respondent with up 
to 10,000 potential new reviewers for a total of 83 hours. The 
estimated total is 1,350,083 for the reviewer process and the reviewer 
background information.
    The estimated aggregated total for both the Grant Proposal Guide 
and the proposal review process is 6,750,083 hours.

    Dated: November 7, 2006.
Suzanne H. Plimpton,
Reports Clearance Officer, National Science Foundation.
 [FR Doc. E6-19104 Filed 11-9-06; 8:45 am]
BILLING CODE 7555-01-P