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August 28, 2014 Newswires
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Agency Information Collection Activities: Comment Request

Federal Information & News Dispatch, Inc.

Submission for OMB Review; Comment Request.

Citation: "79 FR 51363"

Page Number: "51363"

"Notices"

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, Public Law 104-13. This is the second notice for public comment; the first was published in the Federal Register at 79 FR 26778, and 54 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. The full submission may be found at: http://www.reginfo.gov/public/do/PRAMain.

The National Science Foundation (NSF) is announcing plans to request renewed clearance of this collection. The primary purpose of this revision is to implement 2 CFR 200, Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards (Uniform Guidance). NSF has requested and received from the Office of Management and Budget (OMB) approval to implement the Uniform Guidance through NSF's longstanding practice of implementing these requirements via use of a policy rather than regulation. In conjunction with the terms and conditions of the award, the Proposal and Award Policies and Procedures Guide (PAPPG), and its predecessors, have served as NSF's implementation vehicle for OMB Circular A-110 since its initial issuance in 1976.

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 1265, Arlington, Virginia 22230 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 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:

Summary of Comments on the National Science Foundation Proposal and Award Policies and Procedures Guide and NSF's Responses

   The draft NSF PAPPG was made available for review by the public on the NSF Web site at Federal Register notice published May 9, 2014, at 79 FR 26778, NSF received 54 comments from 18 different institutions/individuals. Following are three tables showing the summaries of the comments received on the PAPPG sections, with NSF's response.

  GPG section and Commenter       Comment                NSF response topic  GPG, Chapter    Council on      We encourage NSF to    The section has been I.F.2.          Governmental    add additional         revised to delete Inclement       Relations       clarification and      "prior" from the Weather Policy                  modification to this   approval requirement,                                 section that reflect   given the                                 more accurately the    unanticipated nature                                 challenges faced in    of natural or                                 natural and/or         anthropogenic events.                                 anthropogenic events.                                 The ability of a                                 potential applicant to                                 request prior approval                                 for natural or                                 anthropogenic events                                 can be severely                                 affected by the very                                 event that prevents                                 timely submission GPG, Chapter    Council on      We request that NSF    The section has been I.F.2.          Governmental    modify this section to updated to Inclement       Relations       include a provision    specifically address Weather Policy                  for: (1) Notification  the closure of NSF.                                 by the potential       Additionally, the                                 applicant as soon as   revised language                                 possible but no later  developed by NSF                                 than five (5) days     provides greater                                 after the event and,   flexibility than the                                 based on that          language proposed by                                 notification; (2) a    the commenter. NSF                                 determination and      believes that such                                 authorization, as      flexibility is                                 appropriate, by the    important given the                                 program officer for a  nature of the                                 late submission. NSF   deviation request.                                 could alleviate the                                 anxiety associated                                 with unanticipated                                 institutional closings                                 by providing a                                 standard exception for                                 situations of short                                 duration. Campuses can                                 be closed for a                                 variety of reasons                                 including natural or                                 anthropogenic events,                                 which can require                                 several days to return                                 to normal operations.                                 The recommendation                                 above can help address                                 that situation.                                 Recently, however,                                 campuses have been                                 closed for a day for                                 "man-made" events                                 including sightings of                                 armed assailants and                                 other health and                                 safety issues. We ask                                 NSF to consider a                                 standard exception of                                 one day (next business                                 day) for applicants                                 whose campus is closed                                 for an unanticipated                                 event. The application                                 could be submitted                                 with documentation                                 from the authorized                                 institutional official                                 or the official's                                 designee                                 Similarly, we suggest                                 that NSF consider a                                 standard provision for                                 late submission in                                 those cases where NSF                                 is unable to operate                                 because of natural,                                 anthropogenic, and                                 weather related or                                 other events. Such a                                 provision could set a                                 specific number of                                 days after the event                                 for a new submission                                 deadline. For example,                                 in the case of                                 closures because of                                 inclement weather, the                                 deadline could be set                                 as the day following                                 reopening of federal                                 offices. Any                                 deviations from this                                 standard could be                                 announced on the NSF                                 Web site GPG, Chapter    Cold Spring     Recommend that this    Comment has been GPG, Chapter    Massachusetts   Can the NSF policy on  NSF believes the II.C.2.d.(ii)   Institute of    URLs in other          existing language on Use of URLs     Technology      documents be           inclusion of URLs is outside the                     clarified? In the      clearly articulated Project                         Project description,   and further action is Description                     we understand that     neither necessary nor                                 these are discouraged  appropriate.                                 per GPG II.C.2.d.ii.                                 At MIT, we have had a                                 couple of funding                                 divisions ask for                                 proposal file updates                                 to remove links from                                 the references                                 biographical sketches                                 whereas other                                 divisions do not                                 require this. The GPG                                 states that                                 appropriate citations                                 for references cited                                 (II.C.2.e) or                                 Biosketch "products"                                 (II.C.2.f) may include                                 URLs, so it's unclear                                 how to treat this as                                 many PDF generating                                 programs automatically                                 treat URLs as links GPG, Chapter    Massachusetts   Biosketch section (e)  This change will be II.C.2.f.(i)(e) Institute of    adds "the total number highlighted in the Biographical    Technology      of collaborators and   Summary of Significant Sketches:                       co-editors also must   Changes. Collaborators &                 be identified". Should Other                           this change versus 14- Affiliations                    1 be highlighted? GPG, Chapter    Massachusetts   This section suggests  New language has been II.C.2.f.(ii)   Institute of    that information on    added to the Biographical    Technology      the qualifications     Biographical Sketches: Other                 other personnel may be Sketch(es) Personnel                       included, but it is    instructions which                                 unclear where this     states: "Such                                 should be included.    information should be                                 FastLane does not      clearly identified as                                 include a place to     `Other Personnel'                                 upload biosketches for biographical                                 non-senior personnel.  information and                                 Can the correct place  uploaded along with                                 to include non-senior  the Biosketches for                                 bio information be     Senior Personnel in                                 specified?             the Biosketches                                                        section of the                                                        proposal." GPG, Chapter    University of   Both of these sections This issue will be II.C.2.g.(ii);  Wisconsin       describe the ability   addressed in the AAG, Chapter                    of the grantee to      latest version of the V.B.1.b. Fringe                 charge fringe benefits Frequently Asked Benefits                        as direct costs, given Questions that are                                 that charges are made  being developed by the                                 in accordance with     Office of Management                                 usual accounting       and Budget. As such,                                 practices and/or with  it would not be                                 approval of the        appropriate for the                                 cognizant federal      issue to be resolved                                 agency. Reference also by NSF.                                 is made to 2 CFR S.                                 200.431, within which                                 part (b)(3)(i) states                                 that, "Payments for                                 unused leave when an                                 employee retires or                                 terminates employment                                 are allowable as                                 indirect costs in the                                 year of payment." We                                 want to confirm our                                 understanding that NSF                                 policy does not                                 preclude costs of                                 unused leave at                                 retirement and                                 termination from being                                 directly charged to                                 NSF awards. We                                 recognize that NSF                                 policy indicates that                                 such payments may be                                 subject to                                 reasonableness                                 determination.                                 Additionally, we seek                                 affirmation that 2 CFR                                 S. 200.431 is                                 incorporated into NSF                                 policy to acknowledge                                 that such unused leave                                 also may be allowable                                 as indirect costs and                                 is not a directive to                                 institutions to charge                                 such costs as indirect                                 costs GPG, Chapter    Trish Lowney    "Examples include . .  Language has now been II.C.2.g.(vi)                   . And construction of  modified to help Other Direct                    equipment or systems   eliminate confusion Costs                           not available off-the  regarding where                                 shelf."                equipment should be                                 Confusing: Doesn't     addressed in the                                 fabricated equipment   budget.                      (construction of                                 equipment or systems                                 not available off-the-                                 shelf) that meets the                                 institution's                                 capitalization                                 threshold (e.g., 

|% 5,000) ought to be

included in the equipment budget line (e.g., MRI development options awards)? GPG, Chapter University of The University Language has been II.C.2.g.(vi)(a Alabama appreciates the incorporated as) Materials & clarification that a requested. Supplies, computing device is a including Costs supply as long as it of Computing does not meet the Devices lesser of institution's capitalization level or $5,000. It would be helpful if the PAPPG also included in this section the following statement found at 200.453(c) in the Uniform Guidance: "In the specific case of computing devices, charging as direct costs is allowable for devices that are essential and allocable, but not solely dedicated, to the performance of a Federal Award." GPG, Chapter Trish Lowney ". . . services NSF has implemented II.C.2.g.(vi)(c rendered by persons consultant services) Consultant who are members of a consistent with 2 CFR Services particular profession. 200.459 which states: . . And who are not "Costs of professional officers or employees and consultant of the proposing services rendered by institution. . ." persons who are Clarify whether or not members of a "persons" include particular profession organizations/entities or possess a special that meet definition skill, and who are not of contractor and officers or employees should be managed by a of the non-Federal contract for provision entity, are allowable, of consultant subject to paragraphs services. (b) and (c) when Clarify whether that reasonable in relation the contracting to the services vehicle to be used rendered and when not must comply with contingent upon Appendix II of the UG. recovery of the costs from the Federal government. In addition, legal and related services are limited under S. 200.435 Defense and prosecution of criminal and civil proceedings, claims, appeals and patent infringements." As such, it would not be appropriate to deviate from this language. Additional language has been added to the consultant services section to address compliance with Appendix II of the Uniform Guidance. GPG, Chapter Council on We appreciate that NSF Additional language II.C.2.g.(vi)(d Governmental has acknowledged that has been added to) Computer Relations computing devices point users to the Services below an institution's appropriate section of equipment threshold the budget preparation are allowable. instructions for However, per Chapter guidance on the II.2C.g.(vi)(d), the acquisition of reference to "computer computing devices. equipment" may create confusion in the community by suggesting that computing devices are unallowable. Per this section: "As noted in Chapter II.C.2.g.(iii) above, general purpose (such as word processing, spreadsheets, communication) computer equipment should not be requested." We request that you consider deleting this reference, since most such devices do not rise to the level of equipment. Or, alternatively, reinforcement that computing devices below an institution's equipment threshold are allowable would be a helpful footnote to include and would be an important reminder to auditors of the differentiation between supplies and equipment. GPG, Chapter Massachusetts In GPG II.C.2.g.vi.e, Language in both the II.C.2.g.(vi)(e Institute of the old policy that subaward and indirect) Subawards, Technology foreign subawardees cost sections of the Foreign are not eligible for Grant Proposal Guide Subrecipients indirect costs is has been revised to mentioned. However, clarify application of GPG II.C.2.g.viii a de minimus rate. references 2 CFR 200.414, which indicates a 10% de minimus rate is allowable for foreign grantees. Should this also apply to foreign subawardees? GPG, Chapter University of The phrase is Language in both the II.C.2.g.(vi)(e Minnesota inconsistent with the subaward and indirect) Subawards, Uniform Guidance's cost sections of the Foreign section 200.331, which Grant Proposal Guide Subrecipients allows for a 10% MTDC has been revised to de minimus rate. The clarify application of ability to apply the a de minimus rate. 10% MTDC de minimus rate is correctly spelled out on the following page (II-18) in the indirect cost section. It would be helpful to have the first reference corrected to avoid confusion. GPG, Chapter University of NSF recently clarified This request has been II.C.2.g.(vi)(e Wisconsin that each proposal's incorporated and) Subawards, budget justification language has now been Budgets is limited to three revised to read as pages, including a follows: "Each collaborative proposal proposal must contain from a single a budget for each year organization that of support requested, contains a unless a particular subaward(s). However, program solicitation if a subaward is stipulates otherwise. requested post-award, The budget a proposer may submit justification must be up to a three-page no more than three budget justification pages per proposal. . for each subaward. . For proposals that This creates an contain a subaward(s), inconsistency each subaward must regarding what is include a separate submitted to obtain a budget justification subaward approval. A of no more than three subaward budget pages." justification may contain critical information regarding proposed costs, and we recommend that all subawards be allowed to include a budget justification of up to three pages, regardless of whether they are submitted with a new proposal or as a post-award action. GPG, Chapter Council on The first two sections Language in both the II.C.2.g.(viii) Governmental referenced above subaward and indirect Indirect Cost Relations state: "Foreign cost sections of the grantees that have Grant Proposal Guide never had a negotiated has been revised to indirect cost rate are clarify application of limited to an indirect a de minimus rate. cost rate recovery of 10% of modified total direct costs. Foreign grantees that have a negotiated rate agreement with a U.S. federal agency may recover indirect costs at the current negotiated rate." This seems to suggest that this rule would not be applicable to domestic grantees; we request that this section be clarified to state these rules apply to all grantees. The third reference above states: "Foreign subrecipients are not eligible for indirect cost recovery unless the subrecipient has a previously negotiated rate agreement with a U.S. Federal agency that has a practice of negotiating rates with foreign entities." This seems to be inconsistent with the previously referenced sections and the Uniform Guidance; we request that this section be updated, accordingly. GPG, Chapter Trish Lowney Foreign Grantees that Language in both the II.C.2.g.(viii) have never had subaward and indirect Indirect Cost negotiated IDC are cost sections of the limited to 10% MTDC. Grant Proposal Guide Seems to conflicts has been revised to with II-17/(e) clarify application of Subawards: foreign a de minimus rate. subrecipients not eligible for IDC. Consistency needed or otherwise explain why handled differently D14. GPG, Chapter University of We would like to take Thank-you. No NSF II.C.2.g.(viii) Minnesota this opportunity to response required.. Indirect Cost thank NSF for its clear and unambiguous statement in its proposed implementation plan about the need for pass-through entities to honor their subrecipient's negotiated F&A rate. NSF's well-articulated position on this supports full cost recovery. GPG, Chapter Council on It is not clear what Language has now been II.D.3.. Ideas Governmental the nature and extent added to specify the Lab Relations of support from NSF anticipated length of will be for the Ideas Lab. participants in Stage The funding 3 of the Ideas Lab. If opportunity will a participant is clearly instruct the expected to travel selected teams on how and/or contribute the full proposal substantial portions should be prepared, of their time-- and will address substantial enough to whether it should be re-allocate their submitted either as a institutional single proposal or as responsibilities--we simultaneous proposals believe the from all participating institution should be organizations. a party to any Unless otherwise agreement to specified in the participate. If, as funding opportunity, indicated, the Stage 2 renewal proposals will selection process uses be submitted as the preliminary standard research proposal format in proposals following Fastlane with the the guidance provided required submission in the Grant Proposal through the Sponsored Guide. Program Office, our concerns about notification are alleviated. If there are costs associated with participation that will be provided by NSF, we assume that participant support would be allocated as a grant through the institution with the usual budgetary considerations related to participant support. Because of the collaborative nature of the Ideas Lab, we assume any Stage 4 invited full proposals will be submitted according to the Special Guidelines described at GPG Ch. II d. 5. This approach raises some questions concerning the submission process and we encourage NSF to clarify the submission process either in the Funding Opportunity Announcement or in the PAPPG. Will the participating institutions have the option to submit either a single proposal or simultaneous proposals from all participating organizations? Will renewal proposals require a preliminary proposal or submission of a full proposal within a regular funding cycle? GPG, Chapter Trish Lowney Notes that equipment Language has been II.D.6. to be purchased, revised in the Proposals for modified or Equipment Proposal Equipment constructed must be preparation described . . . instructions in GPG, Seems to conflict with Chapter II.C.2.g.(iii) II-16 other direct to address the issue. costs presented above? That is, constructed equipment--equipment if > capitalization threshold and in equipment budget line (with associated alteration and modification costs) and *not * in other direct costs? GPG, Chapter Council on We appreciate that the Dual Use Research of II.D.8. Dual Governmental provisions for meeting Concern will now not Use Research of Relations the US Government be implemented in this Concern Policy for Oversight version of the PAPPG of Life Sciences Dual and all DURC-related Use Research of language has been Concern and the removed. proposed US Government Policy for Institutional Oversight of Life Sciences Dual Use Research of Concern have been described as contingent on the publication of the final US Government Policy for Institutional Oversight of Life Sciences Dual Use Research of Concern. However, we understand that these are two separate but linked policies and that the agencies are expected to meet the requirements of the US Government Policy for Oversight of Life Sciences Dual Use Research of Concern. We agree with the observation at AAG Ch. VI B 5 b. that it is unlikely that NSF sponsored research will fall under these policy requirements. Nonetheless, it may be helpful to offer more direction at GPG Ch. II D. 9 to the grantee concerning the implementation of the policy for agencies. An indication of how NSF will engage in the development of plans with grantee organizations to mitigate the risks associated with DURC may be helpful. Such a statement or provision could outline the path for communications with NSF as in the AAG and the process for reporting by the PI/PD described in the agency policy. GPG, Chapter Massachusetts Dual Use Research of Dual Use Research of II.D.8. Dual Institute of concern is at II.D.9, Concern will now not Use Research of Technology not II.D.8. be implemented in this Concern version of the PAPPG and all DURC-related language has been removed. GPG, Chapter Boise State Requiring an estimated Language has been II.D.10. total budget is revised to read as Proposals for inconsistent with follows: "Proposal Conferences NSF's prohibition of Budget: A budget for voluntary committed the conference that is cost share. prepared in accordance The prohibition of with GPG Chapter voluntary committed II.C.2g. The budget cost share is also may include referenced in the AAG, participant support page II-5, NSF 15--1 for transportation draft. (when appropriate), per diem costs, stipends, publication and other conference- related costs. Note: Participant support costs must be excluded from the indirect cost base; see GPG Chapter II.C.2g(v). For additional information on Program Income associated with conferences, see AAG Chapter III.D.4." GPG, Chapter Stanford Chapter II.D.10 of Language has been II.D.10. University NSF's PAPPG be revised to read: "NSF Proposals for clarified to indicate funds are not to be Conferences that it only applies spent for meals and to direct costs, if coffee breaks for indeed that is the intramural meetings of intent. It currently an organization or any says "NSF funds are of its components, not to be spent for including, but not meals and coffee limited to, breaks for intramural laboratories, meetings of an departments and organization or any of centers, as a direct its components, but cost." not limited to laboratories, departments and centers either as direct or indirect costs." GPG, Chapter Council on We encourage NSF to NSF does not concur III.F. Use of Governmental standardize the with this the Term Relations language throughout recommendation. There Proposer this section with the are significant terms used throughout differences in terms the PAPPG. The use of of process, including the term "proposer" with respect to has created some requirements imposed confusion in the on proposers versus community particularly awardees. The terms at grantee "proposer" and institutions with "grantee" are not multiple interchangeable. investigators. We request that "proposer" be replaced with "grantee" because we understand that all new grantee institutions may be evaluated under the Risk Management Framework. GPG, Chapter Cold Spring It is unclear what The language regarding III.F. NSF Risk Harbor defines "all new the conduct of pre- Management Laboratory proposers" that will award financial and Framework be subjected to administrative review additional pre-award has been modified to financial and only include: ". . . administrative review. all proposers Recommend that NSF recommended for award provide additional that have not received clarification whether NSF funding in the this additional last five years, with scrutiny will be particular focus on limited to proposers whose institutions that have cumulative NSF funding never received NSF would amount to

|% funding. If this is 200,000 or more."

the intent, then the text should be modified to reflect this. GPG, Exhibit University of The NSF Proposal and The Proposal and Award III-1 NSF Wisconsin Award Process & lifecycle graphic will Proposal & Timeline does not be modified to Award Process capture the new incorporate Timeline process in which DGA declinations made by or DACS may decide to DGA or DACS. decline an award after financial or administrative review. The graphic seems to indicate that declines occur only at the Division Director level, which is no longer accurate. Updating the graphic may prevent confusion regarding the declination process GPG, Chapter Trish Lowney If a proposal has been NSF does not believe IV.D.1.b. declined by the NSB, that further Reconsideration only an explanation information on NSB will be available declinations, beyond Unclear; the Board's that provided, is role or involvement in necessary. the declination process seems not well defined

   Award and Administration Guide (18 comments, including one duplication):

  AAG Section and Commenter       Comment                NSF response topic  AAG, Chapter    Cal Tech        The note on page I-2   The future of the I.C.2.a.                        of the GPG indicates   Research Terms and Research Terms                  that the Research      Conditions is & Conditions                    Terms and Conditions   currently being                                 "will be added to this considered by the                                 list, if available, at NSTC/RBM.                                 the time of issuance."                                 From the point of view                                 of the research                                 community, having the                                 Research Terms and                                 Conditions                                 reintroduced is                                 extremely important                                 and very beneficial.                                 We urge NSF to use its                                 influence to                                 strengthen the case                                 for the return of the                                 Research Terms and                                 Conditions and                                 appreciate your                                 efforts along those                                 lines AAG, Chapter    University of   We appreciate the      NSF takes the II.C.3.b. Cost  Wisconsin       confirmation that all  imposition of new Sharing                         awards subject to      administrative                                 statutory cost sharing requirements very                                 have been closed out.  seriously. Given the                                 We also note that NSF  limited number of                                 has changed cost       awards that have cost                                 sharing requirements.  sharing requirements,                                 Where NSF previously   and the importance of                                 required reports only  meeting the financial                                 when a cost sharing    commitments made by                                 commitment of  $      the recipient, we                                 500,000 or more        believe it is                                 existed, grantees must important that                                 now report on          organizations provide                                 mandatory cost sharing this information to                                 on an annual and final NSF, irrespective of                                 basis. Although we     the dollar value of                                 assume that this       the cost sharing.                                 change is being made                                 in conformance with                                 the Uniform Guidance,                                 we acknowledge that                                 this new level of                                 reporting will create                                 an increased                                 administrative burden                                 on grantees AAG, Chapter    Council on      COGR respectfully asks NSF implemented award II.D.5.; AAG,   Governmental    NSF to request a       financial closeout Chapter III.E.  Relations       deviation from OMB     requirements as Grant Closeout                  that the submission    established by the                                 date for all           Uniform Guidance                                 financial,             paragraph 2 CFR S.                                 performance, and other 200.343(b) which                                 reports and the        states that "a non-                                 liquidation date be    Federal entity must                                 set to a new standard  liquidate all                                 of 120-days after the  obligations incurred                                 end date of the period under the Federal                                 of performance         award not later than                                 Specifically, we       90 calendar days after                                 request that the       the end date of the                                 submission date for    period of performance                                 all financial,         as specified in the                                 performance, and other terms and conditions                                 reports and the        of the Federal award."                                 liquidation date be    Additionally, NSF                                 set to a new standard  complies with the                                 of 120-days after the  requirements                                 end date of the period established by the                                 of performance. Per 2  Uniform Guidance                                 CFR S. 200.343         paragraph 200.343(e)                                 Closeouts, (g),        which states "the                                 Federal awarding       Federal awarding                                 agencies should        agency or pass-through                                 complete all closeout  entity must make a                                 actions no later than  settlement for any                                 one year after the     upward or downward                                 acceptance of all      adjustments to the                                 required final         Federal share of costs                                 reports. This          after closeout reports                                 effectively sets the   are received."                                 final closeout clock   Adjustments to the                                 at 15 months (i.e., 90 Federal share of costs                                 days plus one year)    can be completed by                                 after the end date of  awardee institutions                                 the award. Within that through the Award Cash                                 time period, COGR      Management Service                                 believes that all      (ACM ] and submitted                                 parties can work in a  on line to NSF for 18                                 bi-lateral fashion to  months after the award                                 ensure an award is     expiration date.                                 closed in the most     Downward adjustments                                 timely, efficient, and can be submitted until                                 accurate manner        the appropriations                                 possible. Under this   funding the award                                 bi-lateral closeout    cancel. ACM $enables                                 model, both the        awardee institutions                                 federal agency and the to submit adjustments                                 grantee recognize each with essentially no                                 other's system and     increased workload                                 resource constraints   over that of a                                 and will work together standard payment                                 to provide sufficient  request. NSF believes                                 flexibility toward     the capabilities                                 achieving the final    offered by ACM $for                                 closeout objective     adjustments to                                                        financially closed                                                        awards mitigate the                                                        effects of the                                                        implementation of the                                                        90-day financial                                                        closeout. However, NSF                                                        is committed to the                                                        long standing                                                        partnership with its                                                        awardee institution                                                        population. As such,                                                        NSF will consider the                                                        feasibility of                                                        requesting a deviation                                                        from the Uniform                                                        Guidance requirements.                                                        However, such a                                                        deviation would be                                                        dependent upon the                                                        concurrence of other                                                        research oriented                                                        Federal agencies in                                                        order to establish a                                                        consistent requirement                                                        for the timing of                                                        award financial                                                        closeout actions. NSF                                                        believes a 120-day                                                        standard award                                                        closeout would be                                                        feasible, if agreement                                                        can be reached within                                                        the Federal agency                                                        research community.                                                        NSF believes a                                                        unilateral deviation                                                        from the Uniform                                                        Guidance for award                                                        financial closeout                                                        would not be                                                        consistent with the                                                        intent of the Uniform                                                        Guidance and could                                                        introduce the type of                                                        uncertainty within the                                                        grant administration                                                        community that the                                                        Uniform Guidance was                                                        intended to improve. AAG, Chapter    University of   We echo COGR's request See answer to the AAG, Chapter    Massachusetts   MIT requests that the  See answer to the II.D.5.; AAG,   Institute of    NSF apply for a        Council on Chapter III.E.  Technology      deviation from OMB     Governmental Relations Grant Closeout                  allowing the closeout  on the same issue                                 submission deadline to above.                                 be changed from the                                 current 90-standard to                                 a new 120-day                                 standard, as also                                 requested by the                                 Council on                                 Governmental Relations                                 (COGR). MIT has                                 identified subawards                                 as a major factor                                 contributing to delays                                 in award closeout, and                                 the additional 30 days                                 would significantly                                 improve our compliance                                 We recognize that                                 closeouts require more                                 work and attention to                                 detail than ever                                 before, on the part of                                 both the federal                                 awarding agency and                                 the non-federal                                 awardee organization.                                 This additional work                                 impacts all of us, and                                 our primary goal with                                 this request is to                                 complete the closeout                                 in the most timely,                                 efficient, and                                 accurate way possible.                                 Per 2 CFR S. 200.343                                 Closeouts (g), the                                 Federal awarding                                 agency should complete                                 closeout within 15                                 months after the                                 expiration date of an                                 award (90 days + 1                                 year), and we believe                                 that allowing awardee                                 organizations an extra                                 30 days out of this                                 window should not                                 negatively impact                                 NSF's workflow AAG, Chapter    University of   We applaud NSF for the See answer to the III.E.          Minnesota       great partnership      Council on Financial                       created with           Governmental Relations Requirements                    Universities through   on the same issue and Payments                    the implementation of  above.                                 the ACMS system and                                 the replacement of the                                 FFR and Cash Request                                 Function. The single                                 system point of entry                                 and acknowledgement                                 and new understanding                                 that the amount drawn                                 equated to amount                                 spent is a great step                                 in moving to a                                 streamlined and more                                 efficient financial                                 process. We encourage                                 NSF to critically                                 consider the closeout                                 process as described                                 in the COGR letter AAG, Chapter    University of   While this is not a    The record retention II.E. Record    Alabama         change in NSF policy,  language specified in Retention &                     it is more burdensome  Award & Administration Audit                           that the requirements  Guide Chapter II has                                 of the Uniform         been revised to read                                 Guidance found in      as follows: "1.                                 200.333: "Financial    Financial records,                                 records . . . and all  supporting documents,                                 other non-Federal      statistical records                                 entity records         and all other records                                 pertinent to a Federal pertinent to the NSF                                 award must be retained grant must be retained                                 for a period of three  by the grantee for a                                 years from the date of period of three years                                 submission of the      from award financial                                 final expenditure      closeout described in                                 report or, for Federal AAG Chapter III.E.3,                                 awards that are        except as noted in 2                                 renewed quarterly or   CFR 200.333."                                 annually, from the                                 date of the submission                                 of the quarterly or                                 annual financial                                 report, respectively,                                 as reported to the                                 Federal awarding                                 agency or pass-through                                 entity . . . Federal                                 awarding agencies and                                 pass-through entities                                 must not impose any                                 other record retention                                 requirements upon non-                                 Federal entities."                                 Although it is                                 becoming easier to                                 track submission of                                 project reports to                                 NSF, and the                                 University appreciated                                 NSF's progress in this                                 area, it is still more                                 complicated for                                 recipients to identify                                 and record the project                                 report submission date                                 and to ensure it is                                 used for record                                 retention purposes                                 when it occurs after                                 the date of the award                                 financial closeout and                                 is, in practice, an                                 additional record                                 retention requirement AAG, Chapter    University of   2 CFR 200.87--         This issue was raised II.E. Record    Alabama         "Research and          during the last Retention &                     Development (R&D) R&D  comment period for the Audit                           means all research     NSF Proposal and Award                                 activities, both basic Policies and                                 and applied, and all   Procedures Guide and                                 development activities is considered                                 that are performed by  resolved. NSF does not                                 non-Federal entities.  intend to make further                                 The term research also changes to the                                 includes activities    language provided.                                 involving the training                                 of individuals in                                 research techniques                                 where such activities                                 utilize the same                                 facilities as other                                 research and                                 development activities                                 and where such                                 activities are not                                 included in the                                 instruction function.                                 "Research" is defined                                 as a systematic study                                 directed toward fuller                                 scientific knowledge                                 or understanding of                                 the subject studied.                                 "Development" is the                                 systematic use of                                 knowledge and                                 understanding gained                                 from research directed                                 toward the production                                 of useful materials,                                 devices, systems, or                                 methods, including                                 design and development                                 of prototypes and                                 processes. While NSF's                                 mission, "to promote                                 the progress of                                 science; to advance                                 the national health,                                 prosperity, and                                 welfare; to secure the                                 national defense; and                                 for other purposes" is                                 advanced primarily                                 through the support of                                 science and                                 engineering research,                                 not all of the                                 activities NSF funds                                 meet the definition of                                 Research and                                 Development, as other                                 types of activities,                                 such as education,                                 also promote the                                 progress of science.                                 The fact that NSF                                 funds education                                 programs and other                                 activities that do not                                 involve a systematic                                 study of a subject or                                 the use of research                                 results in the                                 production of                                 materials, etc. is                                 included throughout                                 the PAPPG. For                                 example, the                                 definition of                                 Assistance Award                                 states that for NSF,                                 they "involve the                                 support or stimulation                                 of scientific and                                 engineering research,                                 science and                                 engineering education                                 or other related                                 activities." While                                 "NSF recognizes that                                 some awards may have                                 another classification                                 for purposes of                                 indirect costs," the                                 inconsistency in                                 classification for                                 various purposes                                 creates problems in                                 determining the                                 appropriate indirect                                 cost rate to charge                                 (which can be                                 particularly                                 burdensome to                                 faculty), in                                 appropriately                                 categorizing                                 expenditures and space                                 in indirect cost rate                                 proposals and in other                                 areas of                                 administration and                                 management of funds.                                 The OMB Circular A-133                                 Compliance Supplement                                 contains in Part 5,                                 Clusters of Programs,                                 specific instructions                                 for auditing Research                                 and Development                                 Programs. The                                 Compliance                                 Requirements and                                 Suggested Audit                                 Procedures are not                                 always the most                                 appropriate for                                 educational, service                                 or other non-research                                 programs/activities AAG, Chapter    University of   The CFDA number of NSF This issue was raised II.E. Record    Minnesota       awards is provided to  during the last Retention &                     the Grantee at the     comment period for the Audit                           time of award on the   NSF Proposal and Award                                 Award Notice. The CFDA Policies and                                 number provided by NSF Procedures Guide and                                 is a CFDA that falls   is considered                                 into a cluster         resolved. NSF does not                                 category as outlined   intend to make further                                 in the compliance      changes to the                                 supplement. If a CFDA  language provided.                                 number isn't defined                                 in a category the                                 guidance is to report                                 the CFDA by function.                                 At a macro level,                                 institutions plan and                                 review their                                 portfolios by mission                                 (function); teaching,                                 training, research,                                 public service, etc.                                 Institutionally,                                 function is defined by                                 how the activity                                 (transaction)                                 accomplishes the                                 mission of the                                 university. For                                 example, awards with                                 the primary function                                 of training would not                                 fall under the mission                                 of research at our                                 institution. Our                                 financial statements                                 summarize all our                                 mission activity by                                 function. Our SEFA is                                 reconciled to the                                 Financial Statements                                 as required. Requiring                                 the institution to                                 arbitrarily report                                 activity as part of                                 the R&D Cluster when                                 institutionally we                                 have defined the                                 activity as another                                 function will cause                                 additional                                 reconciliation steps                                 and ongoing "reporting                                 discrepancies." AAG, Chapter    Stanford        We respectfully ask    Language has been III.D.4.b.      University      that NSF request a     modified in AAG, Program Income                  deviation from OMB     Chapter III.D.4.c.(1)                                 that income from       to address the issue                                 license fees and       as follows: "The                                 royalties be excluded  grantee also shall                                 from the definition of have no obligation to                                 program income (Part   NSF with respect to                                 II, Chapter            program income earned                                 III.D.4.b). Statutory  from license fees and                                 requirements under the royalties for                                 Bayh-Dole Act (35      copyrighted material,                                 U.S.C. 202(c)(7))      patents, patent                                 supersede any          applications,                                 described treatments   trademarks, and                                 of license fees and    inventions produced                                 royalties per sections under an award.                                 200.80 and 200.307(f)  However, Patent and                                 in the Uniform         Trademark Amendments                                 Guidance. We believe   (35 U.S.C. 18) shall                                 OMB has confirmed the  apply to inventions                                 precedence of U.S. law made under an award."                                 or statute over the                                 OMB Uniform Guidance.                                 Therefore reporting to                                 Federal agencies on                                 Program Income should                                 not include such                                 license fees and                                 royalties AAG, Chapter    University of   Thank you for          Thank-you. No NSF IV.D. Property  Wisconsin       providing verification response required. Management                      that NSF has the Standards                       authority under the                                 Federal Technology                                 Transfer Act to vest                                 title in an                                 institution of higher                                 education. This should                                 allow institutions of                                 higher education to                                 continue handling                                 title in a manner to                                 which they are                                 accustomed AAG, Chapter    Council on      COGR respectfully asks The issue of IV.E.           Governmental    NSF to request a       procurement standards Procurement     Relations       deviation from OMB     contained in the new                                 that Institutions of   Uniform Guidance has                                 Higher Education       been brought to the                                 (IHEs), Nonprofit      attention of the                                 Research Organizations Office of Management                                 (NROs), and all        and Budget. Any                                 research performers be decisions regarding                                 exempted from          implementation rest                                 Procurement Standards  with OMB, and, cannot                                 Sections 200.317       be addressed                                 through 200.326.       independently by NSF.                                 Procurement Standards                                 under Circular A-110                                 should be reinstated                                 for research                                 performers                                 The PAPPG states that                                 NSF grantees shall                                 adhere to the                                 requirements of 2 CFR                                 200.317-326, which                                 prescribes standards                                 for use by recipients                                 in establishing                                 procedures for                                 procurement. COGR has                                 documented that                                 implementation of 2                                 CFR S. 200.317-326                                 will: (1) Create                                 increased cost and                                 administrative burden                                 via expensive process-                                 workflow and IT system                                 changes, (2) require a                                 long lead time to                                 implement, which                                 cannot effectively be                                 accomplished by                                 December 26th, and (3)                                 result in risk to                                 program performance--                                 for example, critical                                 research tools and                                 supplies that normally                                 would be acquired in                                 one day could take at                                 least one week to                                 acquire. By securing                                 the deviation                                 requested above, NSF                                 can help ensure the                                 continuity of current                                 and effective                                 procurement practices                                 in place at IHEs and                                 NROs, without any                                 sacrifice to                                 institutional                                 accountability and                                 stewardship of federal                                 funds AAG, Chapter    University of   We strongly request    The issue of IV.E.           California      that NSF request a     procurement standards Procurement                     deviation from OMB     contained in the new                                 exempting Institutions Uniform Guidance has                                 of Higher Education    been brought to the                                 (IHEs) from the        attention of the                                 procurement            Office of Management                                 requirements outlined  and Budget. Any                                 in the Uniform         decisions regarding                                 Guidance (2 CFR        implementation rest                                 200.317-326). These    with OMB, and, cannot                                 new procurement        be addressed                                 documentation and      independently by NSF.                                 sourcing standards                                 will require UC to                                 restructure                                 longstanding                                 procurement practices,                                 redesign internal                                 controls for                                 procurement processes,                                 reconfigure supporting                                 E-procurement systems,                                 and execute a                                 wholesale change                                 management strategy to                                 re-educate faculty,                                 staff, and students                                 across 10 campuses and                                 five medical centers.                                 It will be costly and                                 difficult, if not                                 impossible, to                                 implement such changes                                 by the required date                                 of December 26, 2014 AAG, Chapter    Massachusetts   MIT also supports      The issue of IV.E.           Institute of    COGR's request that    procurement standards Procurement     Technology      NSF apply for a        contained in the new                                 deviation allowing     Uniform Guidance has                                 Institutions of Higher been brought to the                                 Education (IHEs),      attention of the                                 Nonprofit Research     Office of Management                                 Organizations (NROs),  and Budget. Any                                 and all research       decisions regarding                                 performers to be       implementation rest                                 subject to the prior   with OMB, and, cannot                                 procurement standards  be addressed                                 of Circular A-110. We  independently by NSF.                                 absolutely recognize                                 and agree with the                                 need to make the best                                 use of our scarce                                 resources, but for                                 IHEs, NROs, and                                 research performers of                                 all types, this change                                 would be too sudden to                                 implement by the end                                 of the year                                 The requirements of                                 the Procurement                                 standards in 200.317                                 through 200.326 call                                 for system solutions.                                 Without a system for                                 capturing the required                                 documentation, the                                 additional                                 administrative effort                                 on each transaction                                 would significantly                                 outweigh any cost                                 savings. It is simply                                 not feasible for IHEs                                 and NROs to put new                                 procurement                                 documentation systems                                 in place by the                                 December 26th                                 deadline.                                 Additionally, the                                 additional time this                                 would require for each                                 transaction would                                 seriously impact the                                 flexibility needed to                                 effectively respond to                                 the unpredictability                                 of fundamental                                 research AAG, Chapter    University of   Regarding the third    NSF believes that the V.A.2.c.        Florida         paragraph "However, in coverage in the Publication and                 accordance with 2 CFR  Uniform Guidance on Printing Costs                  200.461, Publication   this topic is clear                                 and Printing costs,    and no further                                 awardees may charge    clarification on the                                 the NSF award before   part of NSF is                                 closeout for the costs necessary.                                 of publication or                                 sharing of research                                 results, if the costs                                 are not incurred                                 during the period of                                 performance of the                                 award"                                 Would the cost of                                 travel (of course the                                 purpose of which is to                                 disseminate and share                                 the results of the                                 research) where the                                 airfare, registration                                 and other costs are                                 paid for prior to the                                 end of the project                                 period but the travel                                 does not occur until                                 after the end of the                                 project period be an                                 allowable cost? AAG, Chapter    University of   We appreciate that NSF Thank-you. No action V.A.3.a. Prior  Wisconsin       has clarified that     needed. Written                         "items identified in Approvals                       the approved budget                                 constitutes NSF's                                 authorization . . . to                                 incur these costs"                                 provided they are                                 consistent with                                 applicable terms,                                 conditions, and                                 regulations. This                                 language will help                                 eliminate confusion                                 when items are                                 included in the                                 approved budget, and                                 costs are later                                 presumed as needing                                 prior approval AAG, Chapter    University of   Both of these sections This issue will be V.B.1.b.; GPG,  Wisconsin       describe the ability   addressed in the Chapter                         of the grantee to      latest version of the II.C.2.g.(ii)                   charge fringe benefits Frequently Asked Fringe Benefits                 as direct costs, given Questions that are                                 that charges are made  being developed by the                                 in accordance with     Office of Management                                 usual accounting       and Budget. As such,                                 practices and/or with  it would not be                                 approval of the        appropriate for the                                 cognizant federal      issue to be resolved                                 agency. Reference also by NSF.                                 is made to 2 CFR                                 200.431, within which                                 part (b)(3)(i) states                                 that, "Payments for                                 unused leave when an                                 employee retires or                                 terminates employment                                 are allowable as                                 indirect costs in the                                 year of payment." We                                 want to confirm our                                 understanding that NSF                                 policy does not                                 preclude costs of                                 unused leave at                                 retirement and                                 termination from being                                 directly charged to                                 NSF awards. We                                 recognize that NSF                                 policy indicates that                                 such payments may be                                 subject to                                 reasonableness                                 determination.                                 Additionally, we seek                                 affirmation that 2 CFR                                 200.431 is                                 incorporated into NSF                                 policy to acknowledge                                 that such unused leave                                 also may be allowable                                 as indirect costs and                                 is not a directive to                                 institutions to charge                                 such costs as indirect                                 costs AAG, Chapter    Council on      This section states:   NSF will forward this V.D.1.(ii)(a)   Governmental    "Federal Awards may    comment to the Office Fixed Rates for Relations       not be adjusted in     of Management and Life of the                     future years as a      Budget for further Award                           result of changes in   discussion with the                                 negotiated rates." We  Council on Financial                                 understand that this   Assistance Reform.                                 text is included in                                 the Uniform Guidance,                                 but urge the NSF to                                 work with OMB and                                 other federal agencies                                 to provide                                 clarification that                                 would allow non-profit                                 research organizations                                 the opportunity to                                 continue to have their                                 total-cost for                                 existing award                                 commitments                                 reconsidered where                                 circumstances warrant.                                 This option has been                                 in place with                                 agencies, such as the                                 NIH, since 1997. It is                                 important that this                                 remain a viable option                                 for non-profit                                 organizations that                                 would be affected by                                 the language in this                                 section of the PAPPG AAG, Chapter    Cold Spring     We understand that     NSF will forward this V.D.1.(ii)(a)   Harbor          this text is included  comment to the Office Fixed Rates for Laboratory      in the OMB Omnibus     of Management and Life of the                     Guidance, but strongly Budget for further Award                           urge the NSF and all   discussion with the                                 other Federal research Council on Financial                                 funding organizations  Assistance Reform.                                 to work with OMB to                                 provide clarification,                                 such as in the NSF                                 Policy document, that                                 would continue to                                 allow non-profit                                 research organizations                                 the opportunity to                                 have their total-cost                                 for existing award                                 commitments                                 reconsidered where                                 circumstances warrant.                                 This option has been                                 in place with                                 organizations such as                                 the NIH since 1997                                 (see attached                                 correspondence with                                 AIRI), and must                                 continue to be a                                 viable option for non-                                 profit organizations                                 that may be harmed by                                 this newly mandated                                 restriction  

   Other Comments: GOES

  Topic and PAPPG    Commenter          Comment            NSF response section  Expiring Funds     University of      Not addressed in   NSF guidance for                    Minnesota          the Guide. The     expiring/canceling                                       process around     award funds will                                       expiring funds is  not differ from                                       not addressed in   the standard                                       the guide. While   guidance                                       we are now         applicable to all                                       notified that      award funds as                                       certain funds are  outlined in the                                       expiring there     NSF AAG Chapter V:                                       isn't guidance     Allowability of                                       provided on        Costs. NSF will                                       options that a     work toward                                       university can     further improving                                       employ to manage   the awareness of                                       the funds. Federal awards with                                       agencies differ in canceling funds                                       the amount of      held by our                                       individual         awardees. This                                       guidance provided  will include                                       and at times we    additional                                       are unsure if a    communications                                       methodology        with awardee                                       described for one  institutions as                                       agency should be   well as other                                       used for another   efforts to further                                       agency             highlight awards                                                          with canceling                                                          funds. Grants.gov         Massachusetts      There are items    A new NSF E58 Application Guide  Institute of       added by GPG 14-1  Grants.gov                    Technology         and 15-1 which are Application Guide                                       not addressed in   will be issued                                       the Grants.gov     concurrently with                                       guide, and we're   the PAPPG.                                       not sure whether                                       this means they                                       are not required                                       when submitting                                       via Grants.gov.                                       For example, the                                       Collaboration type                                       and Proposal type                                       checkboxes on the                                       FastLane cover                                       page don't appear                                       to correspond to                                       any information on                                       the Grants.gov                                       SF424  

   Title of Collection: "National Science Foundation Proposal/Award Information-Grant Proposal 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: The National Science Foundation Act of 1950 (Pub. L. 81-507) set forth NSF's mission and purpose:

   "To promote the progress of science; to advance the national health, prosperity, and welfare; to secure the national defense. * * *"

   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.

   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 fulfill this responsibility by initiating and supporting merit-selected research and education projects in all the scientific and engineering disciplines. NSF receives more than 51,000 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 2,000 colleges, universities, academic consortia, nonprofit institutions, and small businesses. The awards are based mainly on evaluations of proposal merit submitted to the Foundation.

   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).

   Burden on the Public: The Foundation estimates that an average of 120 hours is expended for each proposal submitted. An estimated 51,600 proposals are expected during the course of one year for a total of 6,192,000 public burden hours annually.

   Dated: August 25, 2014.

Suzanne H. Plimpton,

Reports Clearance Officer, National Science Foundation.

[FR Doc. 2014-20521 Filed 8-27-14; 8:45 am]

BILLING CODE 7555-01-P

Copyright:  (c) 2014 Federal Information & News Dispatch, Inc.
Wordcount:  8054

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