[Federal Register Volume 89, Number 58 (Monday, March 25, 2024)]
[Notices]
[Pages 20708-20710]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-06183]



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NATIONAL SCIENCE FOUNDATION


Agency Information Collection Activities: Comment Request; 
Grantee Reporting Requirements for NSF Regional Innovation Engines (NSF 
Engines) Program

AGENCY: National Science Foundation.

ACTION: Notice.

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SUMMARY: The National Science Foundation (NSF) is announcing plans to 
establish this collection. In accordance with the requirements of the 
Paperwork Reduction Act of 1995, we are providing an opportunity for 
public comment on this action. After obtaining and considering public 
comment, NSF will prepare the submission requesting Office of 
Management and Budget (OMB) clearance of this collection for no longer 
than 3 years.

DATES: Written comments on this notice must be received by May 24, 
2024, to be assured consideration. Comments received after that date 
will be considered to the extent practicable. Send comments to the 
address below.

FOR FURTHER INFORMATION CONTACT: Suzanne H. Plimpton, Reports Clearance 
Officer, National Science Foundation, 2415 Eisenhower Avenue, Suite 
E6400, Alexandria, Virginia 22314; telephone (703) 292-7556; or send 
email to [email protected]. Individuals who use a telecommunications 
device for the deaf (TDD) may call the Federal Information Relay 
Service (FIRS) at 1-800-877-8339, which is accessible 24 hours a day, 7 
days a week, 365 days a year (including federal holidays).
    Comments: Comments are invited on: (a) whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the Foundation, including whether the information will 
have practical utility; (b) the accuracy of the Foundation's estimate 
of the burden of the proposed collection of information; (c) ways to 
enhance the quality, utility, and clarity of the information to be 
collected; and (d) ways to minimize the burden of the collection of 
information on those who are to respond, including through the use of 
automated collection techniques or other forms of information 
technology.

SUPPLEMENTARY INFORMATION: 
    Title of Collection: Grantee Reporting Requirements for the NSF 
Regional Innovation Engines (NSF Engines) Program.
    OMB Number: 3145-NEW.
    Expiration Date of Approval: Not Applicable.
    Type of Request: Intent to seek approval to establish an 
information collection.

Proposed Project

    The CHIPS and Science Act of 2022 codified the National Science 
Foundation's cross-cutting Directorate for Technology, Innovation and 
Partnerships (TIP), NSF's first new directorate in more than 30 years, 
and charged it with the critical mission of advancing U.S. 
competitiveness through investments that accelerate the development of 
key technologies and address pressing national, societal, and 
geostrategic challenges.
    The NSF Engines program was authorized in the CHIPS and Science Act 
of 2022 (Section 10388) to (1) advance multidisciplinary, 
collaborative, use-inspired and translational research, technology 
development, in key technology focus areas; (2) address regional, 
national, societal, or geostrategic challenges; (3) leverage the 
expertise of multidisciplinary and multi-sector partners, including 
partners from private industry, nonprofit organizations, and civil 
society organizations; and (4) support the development of scientific, 
innovation, entrepreneurial, and STEM educational capacity within the 
region of the Regional Innovation Engine to grow and sustain regional 
innovation. The NSF Engines program serves as a flagship funding 
program of the TIP directorate, with the goal of expanding and 
accelerating scientific and technological innovation within the United 
States by catalyzing regional innovation ecosystems throughout every 
region of our nation.
    In January 2024, NSF established 10 inaugural NSF Engine awards 
across 18 states, uniquely placing science and technology leadership as 
the central driver for regional economic competitiveness. By way of 
example, the NSF Engines: Colorado-Wyoming Climate Resilience Engine, 
led by Rocky Mountain Innovation Initiative Inc., aims to advance the 
region's research and commercialization efforts focused on sensing, 
monitoring and predictive analytic technologies for climate resiliency 
spanning methane emissions, soil carbon capture, earth sensing, water 
scarcity, wildfires and extreme weather. The focus on climate 
resiliency derives from several climate emergencies that have hit the 
area from unprecedented wildfires to devastating droughts and 
heatwaves, and will leverage the region's robust startup ecosystem and 
research capacity. This Engine includes a large ecosystem of core 
partners that are essential to its success: large corporations; 
universities (including four- and two-year academic institutions, 
Tribal Colleges, and Hispanic-Serving Institutions); economic and 
workforce development organizations; non-profits; and investment firms. 
This diverse coalition of partners will be central to R&D, translation 
of technology to commercialization, and workforce development efforts.
    Each Engine is focused on addressing specific aspects of a major 
national, societal and/or geostrategic challenge that are of 
significant interest in the NSF Engine's defined ``region of service.'' 
The NSF Engines program envisions a future in which all sectors of the 
American population can participate in, and benefit from, advancements 
in scientific research and development equitably to advance U.S. global 
competitiveness and leadership. The program's mission is to establish 
sustainable regional innovation ecosystems that address pressing 
regional, national, societal, or geostrategic challenges by advancing 
use-inspired and translational research and development in key 
technology focus areas. The programmatic level goals of NSF Engines are 
to:
    Goal 1: Establish self-sustaining innovation ecosystems;
    Goal 2: Establish nationally recognized regional ecosystems for key 
industries;
    Goal 3: Broaden participation in inclusive innovation ecosystems;
    Goal 4: Advance technologies relevant to national competitiveness;
    Goal 5: Catalyze regions with nascent innovation ecosystems;
    Goal 6: Increase economic growth;
    Goal 7: Increase job creation.
    To achieve these goals, each Engine will carry out an integrated 
and comprehensive set of activities spanning use-inspired research, 
translation-to practice, entrepreneurship, and workforce development to 
nurture and accelerate regional industries. In addition, each Engine is 
expected to embody a culture of innovation and have a demonstrated, 
intense, and meaningful focus on improving diversity throughout its 
regional science and technology ecosystem.
    This request is to seek approval from OMB in establishing a new 
data collection pertaining to grantee reporting requirements for the 
NSF Engines program. The reporting requirements consist of: (1) 
Quarterly Reports; (2) a 5-year Strategic and Implementation Plan; and 
(3) Annual Evaluation Reports.

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    The Quarterly Reports will be required quarterly (every three 
months) with initial report due at month three (3); and the others at 
subsequent intervals of six (6) and nine (9). The report at month 
twelve (12) will cover the activities and outcomes for the entire year 
including the last quarter. The reporting will follow the same cadence 
until the end date of the project or the life of the award. NSF will 
use the collective Engine inputs from the reports in addition to the 
results of NSF's formal review of the required plans to determine 
eligibility for receiving the subsequent increment of NSF Engines 
funding. The Quarterly Reports contains 11 items, and grantees are 
required to include a brief description of the status with highlights 
of changes since the previous report and/or deviations from original 
plans outlined in the proposal. If there are no activities or outcomes 
to report for a certain item, the report shall note so for that item.
    * i. Governance and Management. The staffing, activities, and 
effort associated with Governance and Management, e.g., hiring, 
restructuring.
    * ii. Progress on the Engine's Five-year Strategic and 
Implementation Plan's component plans. Activities undertaken toward 
developing and/or modifying the required component plans should be 
described, in addition to implementation and notable outcomes for each.
    * iii. Budget Expenditures. Summary of budget expenditures for the 
specified quarterly reporting period(s). The report should include the 
above information at the six-month and one-year mark, each covering the 
two preceding quarters. This should include any rebudgeting in excess 
of 15% of the original plan or $100,000, whichever is greater, by the 
awardee or sub-awardee organized by programmatic core functions, i.e., 
use-inspired R&D, workforce development, translation innovations to 
practice and subcategorized by NSF budget category (NSF form 1030). The 
cumulative amount should be compared against the planned budget for 
each reporting period. Variances from plans, positive or negative, and 
mitigation steps if needed, should be discussed.
    * iv. Research Security. Research security efforts of the lead 
organization and sub-awardee organizations pertinent to the activities 
on the Engine award, if any.
    * v. Cybersecurity Incidents. Description of all reportable 
cybersecurity incidents pertinent to the activities on the Engine 
award.
    * vi. Infrastructure construction, operations and maintenance 
(O&M), and sustainability plan. Includes all costs and activities 
related to building construction, design and engineering services, and 
on-site costs, e.g., prep costs including cleanup, legal services, etc. 
This also covers the development of shared research facilities, i.e., 
any facility that will not be used exclusively for Engine activities. 
The O&M and sustainability plan for infrastructure should be included 
in the third quarterly report, and changes reported routinely in 
subsequent ones.
    * vii. R&D, Translation and Workforce Development Projects. This 
section should provide a status update of all Engine-funded projects 
and initiatives, reported against the initial project milestones and/or 
objectives as outlined in approved strategic and implementation plans, 
including any Project Funding Competition Plans. Include notable 
outcomes from these activities. This section should cover the selection 
and termination of projects during the reporting period.
    * viii. Risk Assessment and Monitoring. Within sixty (60) days of 
the award start date, a comprehensive formal risk assessment should be 
performed of the Engine using widely accepted standards with detail 
captured in a risk register, specifically any key risks identified and 
how those risks plan to be addressed, e.g., mitigate, transfer, 
eliminate, accept. Status reporting of the identified risks shall be 
included in the quarterly reports to NSF.
    * ix. Core partners. This section should document the changes to 
the set of core partners and any changes in the nature of the core 
partners' activities and commitments to the Engine.
    * x. Commitments and Resources. This section should describe 
changes in commitments and resources made available to Engine 
activities by non-NSF sources. Include new commitments of cash and in-
kind resources by such sources during this period, and the quantitative 
impact of these commitments to the three Engine core functions (use-
inspired R&D, Translation, and Workforce Development).
    * xi. Progress of Meeting Award-Specific Terms and Conditions. Each 
Engine award has a list of terms and conditions that are specific to 
the given award. In this section, Engines will describe progress on 
these items since the last reporting period.
    The Five (5)-year Strategic and Implementation Plan shall be 
comprised of component plans (7) listed below. Each shall be tailored 
to the Engine's mission, operating structure, and region of service and 
cover the specified topical areas. Component plans must be submitted 
for NSF approval. The Component Plans should only be submitted once 
they are in a final form and ready for approval. After a plan has been 
submitted, NSF may review and provide feedback on the plan document, 
typically within sixty (60) days of submission. The awardee may be 
requested by NSF to revise and resubmit the plan, incorporating such 
feedback. NSF reserves the right to potentially continue this iterative 
process until 16-months post award start date, at which point the last 
submitted component plan will be deemed as the final version of the 
document that NSF shall consider for approval in line with the program 
goals. A more detailed set of expectations for each deliverable will be 
provided by the Program Officer post award.

 i. Engine Vision and Mission Statements (month 4)
 ii. Governance and Management
    [cir] Governance and Management Plan (month 4)
    [cir] Partnership Agreement (month 4)
    [cir] Workforce Development Agreement (month 16)
    [cir] IP Management Plan (month 4)
    [cir] Financial and Resource Sustainability Plan (month 16)
 iii. Strengths, Weaknesses, Opportunities, and Threats (SWOT) 
Analyses for R&D and Translation, Workforce Development, and Inclusive 
Engagement (month 4)
 iv. Strategic Plans
    [cir] For R&D and Translation (month 9)
    [cir] For Workforce Development (month 16)
    [cir] For Inclusive Engagement (month 12)
 v. Implementation Plans
    [cir] For R&D and Translation (month 12)
    [cir] For Workforce Development (month 16)
    [cir] For Inclusive Engagement (month 12)
 vi. Evaluation Plan (month 9)
 vii. IP Agreements (month 10)
 viii. Benchmarks; Baselines; Specific, Measurable, Achievable, 
Relevant, and Timely (SMART) Objectives and Targets
    [cir] For R&D and Translation (month 12)
    [cir] For Workforce Development (month 16)
    [cir] For Inclusive Engagement (month 16)

    Engines awardees will publicly disseminate the following within 1 
month of approval by NSF: a public version of their SWOT analyses; 
strategic plans; and implementation plans.

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    The first annual evaluation report is expected at month 18 from the 
award start date, and then annually thereafter for the life of the 
award. The report is prepared and submitted to NSF by an external 
evaluation team required of each Engine award. The report discusses 
progress relative to the milestones, baselines, benchmarks, objectives, 
and targets as listed in the corresponding 5-year strategic and 
implementation plan. The evaluation reports provide an objective and 
independent assessment of how each Engine is performing relative to 
their goals and milestones, and are not subject to approval by Engine 
awardees.
    Information gathered will be used for the dual and interrelated 
purposes of disseminating information about the NSF Engines program and 
using this information to make programmatic improvements, efficiencies, 
and enhanced program monitoring for NSF Engines. Feedback collected 
under this clearance provides useful information for the continued 
evolution of the NSF Engines program. The collective reporting 
requirements will help TIP monitor the progress of individual Engines, 
identify trends over time, assess overall program performance.

Burden on the Public

    For each Engine award, we anticipate the following number of 
responses and response burden by reporting requirement:

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                                        Number of
        Reporting requirement           responses     Frequency of  data collection   Approximate lower bound response  Approximate upper bound response
                                        (per year)                                             burden (hours)                    burden (hours)
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Quarterly progress report............            4  Quarterly.......................  40..............................  80.
Five-year strategic and                          1  Once a year.....................  Year 1: 1,040...................  Year 1: 10,400.
 implementation plan.                                                                 Year 2: 80......................  Year 2: 160.
                                                                                      Year 3: 80......................  Year 3: 160.
Annual evaluation report.............            1  Once a year.....................  200.............................  1,040.
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    We estimated that, on average, each of the twenty components of the 
Five-year Strategic and Implementation Plan could take up to 520 hours 
to complete, hence the upper bound estimate of 10,400 hours per Engine. 
We also anticipate that each component of the Plan will be developed 
and completed by multiple and various team members within an Engine.
    In addition, the upper bound estimate for the annual evaluation 
report reflects not only the effort for writing the report but also 
account for data cleaning, data analysis, and data visualization. We 
anticipate that the burden for subsequent years to be lower as workflow 
and cadence will be established after the first year.
    A total of 10 Engine teams were awarded. For the first year, the 
total amount of burden estimated is between 1,280 and 11,520 hours per 
Engine. For subsequent years, 320 and 1,280 hours.

    Dated: March 19, 2024.
Suzanne H. Plimpton,
Reports Clearance Officer, National Science Foundation.
[FR Doc. 2024-06183 Filed 3-22-24; 8:45 am]
BILLING CODE 7555-01-P