Notice2024-06183
Agency Information Collection Activities: Comment Request; Grantee Reporting Requirements for NSF Regional Innovation Engines (NSF Engines) Program
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Published
March 25, 2024
Issuing agencies
National Science Foundation
Abstract
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.
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<title>Federal Register, Volume 89 Issue 58 (Monday, March 25, 2024)</title>
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[Federal Register Volume 89, Number 58 (Monday, March 25, 2024)]
[Notices]
[Pages 20708-20710]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2024-06183]
[[Page 20708]]
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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 <a href="/cdn-cgi/l/email-protection#1764677b7e7a6763785779647139707861"><span class="__cf_email__" data-cfemail="b8cbc8d4d1d5c8ccd7f8d6cbde96dfd7ce">[email protected]</span></a>. 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.
[[Page 20709]]
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.
<bullet> i. Engine Vision and Mission Statements (month 4)
<bullet> 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)
<bullet> iii. Strengths, Weaknesses, Opportunities, and Threats (SWOT)
Analyses for R&D and Translation, Workforce Development, and Inclusive
Engagement (month 4)
<bullet> iv. Strategic Plans
[cir] For R&D and Translation (month 9)
[cir] For Workforce Development (month 16)
[cir] For Inclusive Engagement (month 12)
<bullet> v. Implementation Plans
[cir] For R&D and Translation (month 12)
[cir] For Workforce Development (month 16)
[cir] For Inclusive Engagement (month 12)
<bullet> vi. Evaluation Plan (month 9)
<bullet> vii. IP Agreements (month 10)
<bullet> 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.
[[Page 20710]]
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
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