81 FR 24735 - Federal Regulation Supplement: Revisions to Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards (NASA Case 2015-N030)

NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

Federal Register Volume 81, Issue 81 (April 27, 2016)

NASA is proposing to amend the NASA regulation, titled Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards to modify the requirements related to information contained in a Federal award for commercial firms with no cost sharing requirement and to add new or modify existing terms and conditions related to indirect cost charges and access to research results.

[Federal Register Volume 81, Number 81 (Wednesday, April 27, 2016)]
[Proposed Rules]
[Pages 24735-24737]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-09625]


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Proposed Rules
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains notices to the public of 
the proposed issuance of rules and regulations. The purpose of these 
notices is to give interested persons an opportunity to participate in 
the rule making prior to the adoption of the final rules.

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Federal Register / Vol. 81, No. 81 / Wednesday, April 27, 2016 / 
Proposed Rules

[[Page 24735]]



NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

2 CFR Part 1800

RIN 2700-AE29


Federal Regulation Supplement: Revisions to Uniform 
Administrative Requirements, Cost Principles and Audit Requirements for 
Federal Awards (NASA Case 2015-N030)

AGENCY: National Aeronautics and Space Administration.

ACTION: Proposed rule.

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SUMMARY: NASA is proposing to amend the NASA regulation, titled Uniform 
Administrative Requirements, Cost Principles and Audit Requirements for 
Federal Awards to modify the requirements related to information 
contained in a Federal award for commercial firms with no cost sharing 
requirement and to add new or modify existing terms and conditions 
related to indirect cost charges and access to research results.

DATES: Comments on the proposed rule should be submitted in writing to 
the address shown below on or before June 27, 2016, to be considered in 
the formation of a final rule.

ADDRESSES: Submit comments identified by NASA Case 2015-N030, using any 
of the following methods:
    [cir] Regulations.gov: http://www.regulations.gov. Submit comments 
via the Federal eRulemaking portal by entering ``NASA Case 2015-N030'' 
under the heading ``Enter keyword or ID'' and selecting ``Search.'' 
Select the link ``Submit a Comment'' that corresponds with ``NASA Case 
2015-N030.'' Follow the instructions provided at the ``Submit a 
Comment'' screen. Please include your name, company name (if any), and 
``NASA Case 2015-N030'' on your attached document.
    [cir] Email: [email protected]. Include NASA Case 2015-
N030 in the subject line of the message.
    [cir] Fax: (202) 358-3082.
    [cir] Mail: National Aeronautics and Space Administration, 
Headquarters, Office of Procurement, Contract and Grant Policy 
Division, Attn: Ms. Jennifer Richards, Room 5M34, 300 E Street SW., 
Washington, DC 20546-0001.

FOR FURTHER INFORMATION CONTACT: Ms. Jennifer Richards, NASA HQ, Office 
of Procurement, Contract and Grant Policy Division, Room 5M34, 300 E 
Street SW., Washington, DC 20456-0001. Telephone 202-358-0047; 
facsimile 202-358-3082.

SUPPLEMENTARY INFORMATION:

I. Background

    NASA is proposing the following changes to NASA regulation Uniform 
Administrative Requirements, Cost Principles and Audit Requirements for 
Federal Awards (2 CFR part 1800):
    1. Modify the requirement related to information contained in a 
Federal award for commercial firms with no cost sharing requirement. 
NASA requirements for information contained in a Federal award can be 
found at 2 CFR 1800.210, which adopts and supplements 2 CFR 200.210. 
Title 2 CFR 200.210 includes a list of data elements that must be 
included in a Federal award, including indirect cost rate for the 
Federal award (including if the de minimis rate is charged per Sec.  
200.414 Indirect (F&A) costs). Although 2 CFR part 200 does not apply 
to commercial firms, NASA, in its adoption of the regulation at 2 CFR 
1800.3, Applicability, added commercial firms with no cost sharing 
requirement to the list of applicable entities. Therefore, the 
requirement to include an indirect cost rate on a notice of Federal 
award is applicable to commercial firms with no cost sharing 
requirement.
    2. Add a new term and condition to address those instances when a 
recipient has a change in its negotiated indirect cost rate agreement 
during the period of performance of an award. See 2 CFR 200.56, 200.57, 
and 200.414 for more information on indirect (facilities & 
administrative) costs. NASA has discovered that, on occasion, when a 
recipient's indirect cost rate has changed as a result of a new 
negotiated indirect cost rate agreement, the change in rate has not 
always been captured when indirect costs have been charged to NASA. As 
a result, some recipients have either overcharged or undercharged NASA 
for indirect costs.
    3. Modify an existing term and condition and add a new term and 
condition to ensure recipients meet requirements associated with, 
``NASA Plan: Increasing Access to the Results of Scientific Research'' 
(see http://science.nasa.gov/media/medialibrary/2015/07/08/NASA_Plan_for_increasing_access_to_results_of_federally_funded_research1.pdf). This plan was issued in response to the Executive Office of the 
President's, Office of Science and Technology Policy (OSTP) Memorandum 
for the Heads of Executive Departments and Agencies, dated February 22, 
2013, ``Increasing Access to the Results of Federally Funded Scientific 
Research.'' Through this memorandum, OSTP directed all agencies with 
more than $100 million in annual research and development expenditures 
to prepare a plan for improving the public's access to the results of 
federally funded research. Part A of NASA's plan focuses on digital 
unclassified scientific research data, which are research data that can 
be stored digitally and accessed electronically.
    To facilitate increased access to such data, NASA has updated its 
research data policy to require all investigators submitting a research 
proposal or research project plan to NASA to include a Data Management 
Plan for managing and providing access to final research data or to 
state why their data cannot or need not be made publicly available. 
Part B of the plan focuses on the public access to peer-reviewed 
scientific research manuscripts. The scope of applicability of this 
part includes all final peer-reviewed scientific research manuscripts 
authored or coauthored by investigators funded for this research by 
NASA-appropriated funds.

II. Analysis

    After consideration of feedback from commercial firms expressing 
concern that indirect cost rates are sensitive financial information 
which should not be available on documents that could potentially be 
released to the public, NASA has determined that excluding indirect 
cost rates from notices of Federal award to commercial firms with no 
cost sharing requirement is a prudent business decision that protects 
sensitive financial information.

[[Page 24736]]

    In order to ensure that the permitted amount of indirect costs is 
being charged to an award, NASA is proposing a new term and condition 
requiring recipients that have changes to their indirect cost rate 
agreement during the period of performance of an award to apply the 
approved rate to covered direct costs expended during the time frame of 
the rate agreement, even if the agreement is not on file with NASA. 
This will prevent NASA from overpaying or underpaying for indirect 
charges and ensure recipients are receiving what they are legally 
allowed. To address the NASA plan requirements for awardees from non-
NASA organizations that publish scientific research or compile digital 
datasets resulting from research, development, and technology programs, 
NASA is proposing the following revisions:
     Modify an existing term and condition, 2 CFR 1800.902 
Technical Publications and Reports, to add a requirement for awardees 
with research and research-related awards to follow additional 
reporting requirements at 2 CFR 1800.930 Access to Research Results.
     Add a new term and condition requiring recipients to 
comply with their approved Data Management Plan submitted with their 
proposal, and as modified upon agreement by the recipient and NASA from 
time to time during the course of the period of performance. In 
addition, this new term and condition will ensure that any Final Peer-
Reviewed Manuscripts are submitted to the NASA-designated repository, 
currently the PubMed Central system at www.ncbi.nlm.nih.gov, within one 
year of peer-review or publication by a journal, whichever is earlier. 
Furthermore, it will ensure that any publisher's agreements entered 
into by an awardee will allow for the awardee to comply with these 
requirements including submission of Final Peer-Reviewed Manuscripts to 
the NASA-designated repository, currently the PubMed Central system, 
with sufficient rights to permit such repository to use such Final 
Peer-Reviewed Manuscript in its normal course, including rights to 
permit users to download XML and plain text formats. Finally, the 
grantee agrees to be responsible for, and defend NASA against, any 
royalties, fees, or other costs claimed against NASA or for which NASA 
may be held liable as a consequence of awardee failing to comply with 
the foregoing and include in annual and final reports a list of Final 
Peer-Reviewed Manuscripts covered by this term and condition.

III. Executive Orders 12866 and 13563

    Executive Orders (E.O.s) 12866 and 13563 direct agencies to assess 
all costs and benefits of available regulatory alternatives and, if 
regulation is necessary, to select regulatory approaches that maximize 
net benefits (including potential economic, environmental, public 
health and safety effects, distributive impacts, and equity). E.O. 
13563 emphasizes the importance of quantifying both costs and benefits, 
of reducing costs, of harmonizing rules, and of promoting flexibility. 
This is not a significant regulatory action and, therefore, was not 
subject to review under section 6(b) of E.O. 12866, Regulatory Planning 
and Review, dated September 30, 1993. This proposed rule is not a major 
rule under 5 U.S.C. 804.

IV. Paperwork Reduction Act

    This proposed rule contains information collection requirements 
that require the approval of the Office of Management and Budget under 
the Paperwork Reduction Act (44 U.S.C chapter 35; however, these 
changes to 2 CFR part 1800 do not impose additional information 
collection requirements to the paperwork burden previously approved 
under OMB Control Number 2700-0092, entitled Financial Assistant 
Awards/Grants and Cooperative Agreements.

List of Subjects in 2 CFR Part 1800

    Government financial assistance.

Manuel Quinones,
NASA Federal Register Liaison.

    Accordingly, 2 CFR part 1800 is proposed to be amended as follows:

PART 1800--UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, 
AND AUDIT REQUIREMENTS FOR FEDERAL AWARDS

0
1. The authority citation for 2 CFR part 1800 continues to read as 
follows:

    Authority: 51 U.S.C. 20113(e), Pub. L. 97-258, 96 Stat. 1003 (31 
U.S.C. 6301 et seq.), and 2 CFR part 200.

0
2. Revise Sec.  1800.210 to read as follows:


Sec.  1800.210  Information contained in a Federal award.

    NASA waives the requirement for the inclusion of indirect cost 
rates on any notice of Federal award for commercial firms with no cost 
sharing requirement. The terms and conditions for NASA may be found at 
Appendix B of this Part and https://prod.nais.nasa.gov/pub/pub_library/srba.

0
3. Amend Appendix B to part 1800 by:
0
a. Under 1800.902 Technical Publications and Reports, adding paragraph 
(a)(4); and
0
b. Adding 1800.929 Indirect Costs and 1800.930 Access to Research 
Results.
    The additions read as follows:

Appendix B to Part 1800--Terms and Conditions

* * * * *

1800.902 Technical Publications and Reports

* * * * *
    (a) * * *
* * * * *
    (4) For research and research-related awards, see additional 
reporting requirements at 1800.930 Access to Research Results.
* * * * *

1800.929 Indirect Costs

    Prescription --The Grant Officer shall include this term and 
condition in all awards with indirect costs, excluding those awards 
using the 10% de minimis rate.

Indirect Costs

    If during the course of this award, the approved indirect cost 
rate is revised, changed or removed, that rate must be applied, as 
allowed, to the covered direct costs that are expended during the 
time frame of that rate agreement. Any corrections, either up or 
down, to the approved budget submitted with the awarded application 
must be reflected in the awardees' records of costs and should be 
audited as such.

(End of Term and Condition)

1800.930 Access to Research Results

    Prescription--The Grant Officer shall include this term and 
condition in all research and research-related awards.

Access to Research Results

    (a) This award is subject to the requirements of the, ``NASA 
Plan: Increasing Access to the Results of Scientific Research,'' 
which covers public access to digital scientific data and peer-
reviewed publications. For purposes of this term and condition, the 
following definitions apply:
    (1) Awardee: Any recipient of a NASA grant or cooperative 
agreement, its investigators, and subrecipient (subaward or contract 
as defined in 2 CFR part 200.92 and 200.22, respectively) at any 
level.
    (2) Final Peer-Reviewed Manuscript: The final text version of a 
peer-reviewed article disclosing the results of scientific research 
which is authored or co-authored by the Awardee or funded, in whole 
or in part, with funds from a NASA award, that includes all 
modifications from the publishing peer review process, and all 
graphics and supplemental material associated with the article.
    (b) The recipient shall:
    (1) Comply with their approved Data Management Plan submitted 
with its proposal, and as modified upon agreement by the recipient 
and NASA from time to time

[[Page 24737]]

during the course of the period of performance.
    (2) Ensure that any Final Peer-Reviewed Manuscript is submitted 
to the NASA-designated repository, currently the PubMed Central 
system at www.ncbi.nlm.nih.gov. Ensure that the Final Peer-Reviewed 
Manuscript is submitted to PubMed Central within one year of peer-
review or publication by a journal, whichever is earlier.
    (3) Ensure that any publisher's agreements entered into by an 
Awardee will allow for the Awardee to comply with these requirements 
including submission of Final Peer-Reviewed Manuscripts to the NASA-
designated repository, as listed in the above bullet, with 
sufficient rights to permit such repository to use such Final Peer-
Reviewed Manuscript in its normal course, including rights to permit 
users to download XML and plain text formats.
    (4) Agree to be responsible for, and defend NASA against, any 
royalties, fees, or other costs claimed against NASA or for which 
NASA may be held liable as a consequence of Awardee failing to 
comply with the foregoing. Include in annual and final reports a 
list of Final Peer-Reviewed Manuscripts covered by this term and 
condition.

(End of Term and Condition)

[FR Doc. 2016-09625 Filed 4-26-16; 8:45 am]
 BILLING CODE 7510-13-P