[Federal Register Volume 72, Number 217 (Friday, November 9, 2007)]
[Notices]
[Pages 63629-63631]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 07-5601]


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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 
[email protected]; 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: [email protected]; 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: 
[email protected]; 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