81_FR_74865 81 FR 74657 - Revisions to Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards (NASA Case 2015-N030)

81 FR 74657 - 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 208 (October 27, 2016)

Page Range74657-74659
FR Document2016-26014

NASA is issuing a final rule to amend its regulations, titled Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards to revise 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 Issue 208 (Thursday, October 27, 2016)
[Federal Register Volume 81, Number 208 (Thursday, October 27, 2016)]
[Rules and Regulations]
[Pages 74657-74659]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-26014]



========================================================================
Rules and Regulations
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains regulatory documents 
having general applicability and legal effect, most of which are keyed 
to and codified in the Code of Federal Regulations, which is published 
under 50 titles pursuant to 44 U.S.C. 1510.

The Code of Federal Regulations is sold by the Superintendent of Documents. 
Prices of new books are listed in the first FEDERAL REGISTER issue of each 
week.

========================================================================


Federal Register / Vol. 81, No. 208 / Thursday, October 27, 2016 / 
Rules and Regulations

[[Page 74657]]



NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

2 CFR Part 1800

RIN 2700-AE29


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

AGENCY: National Aeronautics and Space Administration.

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: NASA is issuing a final rule to amend its regulations, titled 
Uniform Administrative Requirements, Cost Principles and Audit 
Requirements for Federal Awards to revise 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: Effective: November 28, 2016.

FOR FURTHER INFORMATION CONTACT: Jennifer Richards, telephone 202-358-
0047.

SUPPLEMENTARY INFORMATION:

I. Background

    NASA published a proposed rule in the Federal Register at 81 FR 
24735 on April 27, 2016, to amend title 2 CFR part 1800, 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. Eight 
respondents submitted public comments in response to the proposed rule.

II. Discussion and Analysis

    A. This final rule makes the following significant changes from the 
proposed rule:
     2 CFR part 1800, appendix B, 1800.929 was changed to state 
an exclusion for institutions of higher education as prescribed under 2 
CFR part 200.
     2 CFR part 1800, appendix B, 1800.930(a)(2) was changed to 
reflect that all graphics and supplemental materials submitted must be 
those prepared by the Awardee.
     2 CFR part 1800, appendix B, 1800.930(b)(2) was changed to 
reflect a modification to the submission deadline for the Final Peer-
Reviewed Manuscript to within one year of completion of the peer review 
process.
     2 CFR part 1800, appendix B, 1800.930(b)(2) was changed to 
add a statement indicating that NASA would provide instructions for 
completing the submission process under separate cover.
     2 CFR part 1800, appendix B, 1800.930(b)(2) was changed to 
include a more direct link to the PubMed Central system.
     2 CFR part 1800, appendix B, 1800.930(b)(4) was changed to 
include a representation and warranty in respect of the right to submit 
the Final Peer-Reviewed Manuscript to the NASA repository.
     For added visibility, an administrative change was made to 
2 CFR part 1800, appendix B, 1800.930 to move a requirement from 
paragraph (b)(4) into a new paragraph (b)(5).

B. Analysis of Public Comments

    NASA reviewed the public comments in the development of the final 
rule. A discussion of the comments and the changes made to the rule as 
a result of those comments is provided, as follows:

1. Change in Negotiated Indirect Cost Rate Agreement During the Period 
of Performance of an Award

    Comment: One respondent recommended that the term and condition 
clarify that indirect cost rates may only be adjusted when a 
provisional rate is in place at the time of award. The respondent also 
recommended that the term and condition acknowledge that institutions 
of higher education must follow indirect cost guidance provided in 2 
CFR part 200, appendix III.C.7.
    Response: NASA concurs that institutions of higher education must 
follow indirect cost guidance in 2 CFR part 200, appendix III.C.7. 
However, we note that the guidance stating indirect cost rates may only 
be adjusted when a provisional rate is in place at the time of award 
applies only to IHEs and not to other types of non-Federal entities. As 
a result, we will adjust the term and condition to reflect the 
exclusion for institutions of higher education.

2. Final Peer-Reviewed Manuscript

    Comment: One respondent recommended that due to intellectual 
property concerns associated with the use of graphics, NASA modify its 
definition of the Final Peer-Reviewed Manuscript to include the text 
and author-created graphics, and note that supplemental materials (or 
links to the same) may be included where helpful to understanding the 
text.
    Response: To address this concern, NASA has modified the language 
in the term and condition.

3. PubMed Central System as the NASA-Designated Repository for Final 
Peer-Reviewed Manuscripts

    Comment: Three respondents expressed concern with using the PubMed 
Central system as the NASA-designated repository for Final Peer-
Reviewed Manuscripts, and recommended consideration of alternative 
repositories to potentially increase flexibility and reduce 
administrative burden.
    Response: The term and condition was written to ensure compliance 
with NASA's Plan. During the public consultation phase of the 
development of the Plan, alternative repositories were considered. 
However, the PubMed Central system emerged as the most mature and the 
lowest risk for NASA. Alternative solutions may be considered in Phase 
2.

4. One Year Submission Period

    Comment: One respondent recommended that the language describing 
the submission period of ``within one year of peer-review or 
publication by a journal, whichever is sooner'' be modified to reflect 
that the length of the embargo period is provisional, since the Office 
of Science and Technology Policy (OSTP) memo allows for publishers to 
petition for a longer embargo period.

[[Page 74658]]

    Response: NASA does not believe such a change is necessary because 
the requirement for submission is not inconsistent with the ability of 
publishers to petition for more time since the manuscripts do not 
automatically become public when uploaded.

5. Embargo Period

    Comment: One respondent expressed concern over the use of an 
initial twelve month uniform embargo period for all fields of research, 
as well as the criteria used for potentially lengthening the embargo 
period. The respondent did not believe the criteria reflected the 
primary purpose of such a period, and suggested that NASA look to 
language in the National Science Foundation's plan regarding petitions.
    Response: The term and condition was written to ensure compliance 
with NASA's Plan. Because OSTP recommended 12 months as the default 
period, and 12 months is the maximum and most common period for PubMed 
Central, NASA chose an embargo period of 12 months. NASA used a public 
consultation process for developing the plan and believes the current 
language is in NASA's best interest.

6. Ambiguous Language

    Comment: Two respondents stated that the language in the direction 
to submit the Final Peer-Reviewed Manuscript within one year of peer-
review or publication by a journal, whichever is earlier, is ambiguous 
and should be clarified.
    Response: To address this concern, NASA has modified the language 
in the term and condition.

7. Publisher's Agreements

    Comment: One respondent stated that award recipients are not party 
to publisher's agreements, and therefore, recommended that the 
obligation of publisher's agreements be limited to investigators rather 
than recipients.
    Response: In the proposed revision at 1800.930, NASA defined 
Awardee to mean any recipient of a NASA grant or cooperative agreement 
as well as its investigators and subrecipients at any level. If the 
recipient is not the investigator/author, then NASA expects that the 
recipient will be in privity with (i.e., have their own agreement with) 
the investigator/author, and can therefore enforce the obligation 
regarding publishing agreements. NASA is only in privity with the 
recipient, so NASA would not otherwise have the ability to enforce such 
obligation upon the investigator/author.
    Comment: Two respondents recommended that language requiring rights 
to permit users to download XML and plain text formats be removed. One 
respondent suggested a technology-neutral approach be used to allow for 
potential future changes in technology, and another respondent 
suggested specifying the requirements in either broader terms or more 
specific terms--the middle ground approach that is currently being used 
is ambiguous.
    Response: The term and condition was written to ensure compliance 
with NASA's Plan. NASA used a public consultation process for 
developing the plan and believes the current language is in NASA's best 
interest.

8. Copyright Protection

    Comment: One respondent recommended that NASA add language that 
recognizes that the rights provided to NASA to permit users to download 
materials can be limited by commercial use and other appropriate 
restrictions chosen by the author and copyright holder. Another 
respondent commented that NASA should support and uphold copyright 
protections for scholarly publications.
    Response: The U.S. Government has unlimited rights in data 
deliverables produced under grant agreements, and has an obligation to 
assure that such deliverables are available for taxpayer use in 
accordance with law and regulation. This includes peer-reviewed 
articles funded with NASA grants. In recognition of the valuable 
contributions of publishers to the scholarly process, NASA is 
implementing embargo periods that permit publishers to benefit from a 
period of exclusive distribution.

9. Responsibility for Claims Against NASA

    Comment: Three respondents stated that either they or those they 
represent will not be able to meet this requirement due to state 
statutes that do not grant authority to represent non-state personnel 
or entities.
    Response: To address this concern, NASA has modified the language 
in the term and condition.

C. Other Changes

    During internal deliberations some minor changes were made as 
follows:
     2 CFR part 1800, appendix B, 1800.930(b)(2) was changed to 
add a statement indicating that NASA would provide instructions for 
completing the submission process under separate cover.
     2 CFR part 1800, appendix B, 1800.930(b)(2) was changed to 
include a more direct link to the PubMed Central system.
     For added visibility, an administrative change was made to 
2 CFR part 1800, appendix B, 1800.930 to move a requirement from 
paragraph (b)(4) into a new paragraph (b)(5).

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 rule is not a major rule 
under 5 U.S.C. 804.

IV. Regulatory Flexibility Act

    NASA certifies that this final rule will not have a significant 
economic impact on a substantial number of small entities within the 
meaning of the Regulatory Flexibility Act, 5 U.S.C. 601, et seq., 
because small entities are not a substantial number of NASA grant and 
cooperative agreement recipients. In addition, within the subset of 
awards issued to small entities, the majority are not for research so 
would not be affected by the new term and condition regarding access to 
research results. Furthermore, this rule actually benefits small 
businesses and all other for profit recipients by removing a 
requirement that could potentially expose sensitive financial 
information. NASA chose to remove the requirement for the inclusion of 
indirect cost rates on notices of Federal award in response to feedback 
from for profit recipients.

V. Paperwork Reduction Act

    This 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.

[[Page 74659]]

List of Subjects in 2 CFR Part 1800

    Government financial assistance.

Manuel Quinones,
NASA Federal Register Liaison Officer.

    Accordingly, 2 CFR part 1800 is amended as follows:

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 
to institutions of higher education and to entities using the 10% de 
minimis rate.

Indirect Costs

    Unless otherwise directed in 2 CFR part 200, 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 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 prepared by Awardee.
    (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 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 http://www.ncbi.nlm.nih.gov/pmc/. NASA will provide 
instructions for completing the submission process under separate 
cover. Ensure that the Final Peer-Reviewed Manuscript is submitted 
to PubMed Central within one year of completion of the peer review 
process.
    (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 paragraph (b)(2) of this term 
and condition, 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) Hereby represent and warrant that Awardee has secured for 
recipient the right to submit the Final Peer-Reviewed Manuscript to 
the NASA-designated repository for use as set forth herein.
    (5) 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. 2016-26014 Filed 10-26-16; 8:45 am]
BILLING CODE 7510-13-P



                                                                                                                                                                                                74657

                                                Rules and Regulations                                                                                         Federal Register
                                                                                                                                                              Vol. 81, No. 208

                                                                                                                                                              Thursday, October 27, 2016



                                                This section of the FEDERAL REGISTER                    II. Discussion and Analysis                             Response: NASA concurs that
                                                contains regulatory documents having general
                                                                                                           A. This final rule makes the following             institutions of higher education must
                                                applicability and legal effect, most of which                                                                 follow indirect cost guidance in 2 CFR
                                                are keyed to and codified in the Code of                significant changes from the proposed
                                                                                                        rule:                                                 part 200, appendix III.C.7. However, we
                                                Federal Regulations, which is published under                                                                 note that the guidance stating indirect
                                                50 titles pursuant to 44 U.S.C. 1510.                      • 2 CFR part 1800, appendix B,
                                                                                                        1800.929 was changed to state an                      cost rates may only be adjusted when a
                                                The Code of Federal Regulations is sold by              exclusion for institutions of higher                  provisional rate is in place at the time
                                                the Superintendent of Documents. Prices of              education as prescribed under 2 CFR                   of award applies only to IHEs and not
                                                new books are listed in the first FEDERAL               part 200.                                             to other types of non-Federal entities.
                                                REGISTER issue of each week.                               • 2 CFR part 1800, appendix B,                     As a result, we will adjust the term and
                                                                                                        1800.930(a)(2) was changed to reflect                 condition to reflect the exclusion for
                                                                                                        that all graphics and supplemental                    institutions of higher education.
                                                NATIONAL AERONAUTICS AND                                materials submitted must be those
                                                SPACE ADMINISTRATION                                                                                          2. Final Peer-Reviewed Manuscript
                                                                                                        prepared by the Awardee.
                                                                                                           • 2 CFR part 1800, appendix B,                        Comment: One respondent
                                                2 CFR Part 1800                                                                                               recommended that due to intellectual
                                                                                                        1800.930(b)(2) was changed to reflect a
                                                                                                                                                              property concerns associated with the
                                                RIN 2700–AE29                                           modification to the submission deadline
                                                                                                                                                              use of graphics, NASA modify its
                                                                                                        for the Final Peer-Reviewed Manuscript
                                                Revisions to Uniform Administrative                                                                           definition of the Final Peer-Reviewed
                                                                                                        to within one year of completion of the
                                                Requirements, Cost Principles and                                                                             Manuscript to include the text and
                                                                                                        peer review process.
                                                Audit Requirements for Federal                             • 2 CFR part 1800, appendix B,                     author-created graphics, and note that
                                                Awards (NASA Case 2015–N030)                            1800.930(b)(2) was changed to add a                   supplemental materials (or links to the
                                                                                                                                                              same) may be included where helpful to
                                                AGENCY:  National Aeronautics and                       statement indicating that NASA would
                                                                                                                                                              understanding the text.
                                                Space Administration.                                   provide instructions for completing the
                                                                                                                                                                 Response: To address this concern,
                                                                                                        submission process under separate                     NASA has modified the language in the
                                                ACTION: Final rule.
                                                                                                        cover.                                                term and condition.
                                                SUMMARY:   NASA is issuing a final rule                    • 2 CFR part 1800, appendix B,
                                                to amend its regulations, titled Uniform                1800.930(b)(2) was changed to include a               3. PubMed Central System as the NASA-
                                                Administrative Requirements, Cost                       more direct link to the PubMed Central                Designated Repository for Final Peer-
                                                Principles and Audit Requirements for                   system.                                               Reviewed Manuscripts
                                                Federal Awards to revise the                               • 2 CFR part 1800, appendix B,                        Comment: Three respondents
                                                requirements related to information                     1800.930(b)(4) was changed to include a               expressed concern with using the
                                                contained in a Federal award for                        representation and warranty in respect                PubMed Central system as the NASA-
                                                commercial firms with no cost sharing                   of the right to submit the Final Peer-                designated repository for Final Peer-
                                                requirement and to add new or modify                    Reviewed Manuscript to the NASA                       Reviewed Manuscripts, and
                                                existing terms and conditions related to                repository.                                           recommended consideration of
                                                                                                           • For added visibility, an                         alternative repositories to potentially
                                                indirect cost charges and access to
                                                                                                        administrative change was made to 2                   increase flexibility and reduce
                                                research results.
                                                                                                        CFR part 1800, appendix B, 1800.930 to                administrative burden.
                                                DATES: Effective: November 28, 2016.                    move a requirement from paragraph                        Response: The term and condition
                                                FOR FURTHER INFORMATION CONTACT:                        (b)(4) into a new paragraph (b)(5).                   was written to ensure compliance with
                                                Jennifer Richards, telephone 202–358–                   B. Analysis of Public Comments                        NASA’s Plan. During the public
                                                0047.                                                      NASA reviewed the public comments                  consultation phase of the development
                                                SUPPLEMENTARY INFORMATION:                              in the development of the final rule. A               of the Plan, alternative repositories were
                                                                                                        discussion of the comments and the                    considered. However, the PubMed
                                                I. Background
                                                                                                        changes made to the rule as a result of               Central system emerged as the most
                                                  NASA published a proposed rule in                     those comments is provided, as follows:               mature and the lowest risk for NASA.
                                                the Federal Register at 81 FR 24735 on                                                                        Alternative solutions may be considered
                                                April 27, 2016, to amend title 2 CFR                    1. Change in Negotiated Indirect Cost
                                                                                                                                                              in Phase 2.
                                                part 1800, titled Uniform                               Rate Agreement During the Period of
                                                Administrative Requirements, Cost                       Performance of an Award                               4. One Year Submission Period
                                                Principles and Audit Requirements for                      Comment: One respondent                               Comment: One respondent
                                                Federal Awards to modify the                            recommended that the term and                         recommended that the language
                                                requirements related to information                     condition clarify that indirect cost rates            describing the submission period of
                                                contained in a Federal award for                        may only be adjusted when a                           ‘‘within one year of peer-review or
jstallworth on DSK7TPTVN1PROD with RULES




                                                commercial firms with no cost sharing                   provisional rate is in place at the time              publication by a journal, whichever is
                                                requirement and to add new or modify                    of award. The respondent also                         sooner’’ be modified to reflect that the
                                                existing terms and conditions related to                recommended that the term and                         length of the embargo period is
                                                indirect cost charges and access to                     condition acknowledge that institutions               provisional, since the Office of Science
                                                research results. Eight respondents                     of higher education must follow indirect              and Technology Policy (OSTP) memo
                                                submitted public comments in response                   cost guidance provided in 2 CFR part                  allows for publishers to petition for a
                                                to the proposed rule.                                   200, appendix III.C.7.                                longer embargo period.


                                           VerDate Sep<11>2014   13:32 Oct 26, 2016   Jkt 241001   PO 00000   Frm 00001   Fmt 4700   Sfmt 4700   E:\FR\FM\27OCR1.SGM   27OCR1


                                                74658            Federal Register / Vol. 81, No. 208 / Thursday, October 27, 2016 / Rules and Regulations

                                                  Response: NASA does not believe                          Comment: Two respondents                           more direct link to the PubMed Central
                                                such a change is necessary because the                  recommended that language requiring                   system.
                                                requirement for submission is not                       rights to permit users to download XML                  • For added visibility, an
                                                inconsistent with the ability of                        and plain text formats be removed. One                administrative change was made to 2
                                                publishers to petition for more time                    respondent suggested a technology-                    CFR part 1800, appendix B, 1800.930 to
                                                since the manuscripts do not                            neutral approach be used to allow for                 move a requirement from paragraph
                                                automatically become public when                        potential future changes in technology,               (b)(4) into a new paragraph (b)(5).
                                                uploaded.                                               and another respondent suggested
                                                                                                        specifying the requirements in either                 III. Executive Orders 12866 and 13563
                                                5. Embargo Period
                                                                                                        broader terms or more specific terms—                    Executive Orders (E.O.s) 12866 and
                                                   Comment: One respondent expressed                    the middle ground approach that is                    13563 direct agencies to assess all costs
                                                concern over the use of an initial twelve               currently being used is ambiguous.                    and benefits of available regulatory
                                                month uniform embargo period for all                       Response: The term and condition                   alternatives and, if regulation is
                                                fields of research, as well as the criteria             was written to ensure compliance with                 necessary, to select regulatory
                                                used for potentially lengthening the                    NASA’s Plan. NASA used a public                       approaches that maximize net benefits
                                                embargo period. The respondent did not                  consultation process for developing the               (including potential economic,
                                                believe the criteria reflected the primary              plan and believes the current language                environmental, public health and safety
                                                purpose of such a period, and suggested                 is in NASA’s best interest.                           effects, distributive impacts, and
                                                that NASA look to language in the                                                                             equity). E.O. 13563 emphasizes the
                                                                                                        8. Copyright Protection
                                                National Science Foundation’s plan                                                                            importance of quantifying both costs
                                                regarding petitions.                                      Comment: One respondent                             and benefits, of reducing costs, of
                                                   Response: The term and condition                     recommended that NASA add language                    harmonizing rules, and of promoting
                                                was written to ensure compliance with                   that recognizes that the rights provided              flexibility. This is not a significant
                                                NASA’s Plan. Because OSTP                               to NASA to permit users to download                   regulatory action and, therefore, was not
                                                recommended 12 months as the default                    materials can be limited by commercial                subject to review under section 6(b) of
                                                period, and 12 months is the maximum                    use and other appropriate restrictions                E.O. 12866, Regulatory Planning and
                                                and most common period for PubMed                       chosen by the author and copyright                    Review, dated September 30, 1993. This
                                                Central, NASA chose an embargo period                   holder. Another respondent commented                  rule is not a major rule under 5 U.S.C.
                                                of 12 months. NASA used a public                        that NASA should support and uphold                   804.
                                                consultation process for developing the                 copyright protections for scholarly
                                                plan and believes the current language                  publications.                                         IV. Regulatory Flexibility Act
                                                is in NASA’s best interest.                               Response: The U.S. Government has                      NASA certifies that this final rule will
                                                                                                        unlimited rights in data deliverables                 not have a significant economic impact
                                                6. Ambiguous Language                                   produced under grant agreements, and                  on a substantial number of small entities
                                                  Comment: Two respondents stated                       has an obligation to assure that such                 within the meaning of the Regulatory
                                                that the language in the direction to                   deliverables are available for taxpayer               Flexibility Act, 5 U.S.C. 601, et seq.,
                                                submit the Final Peer-Reviewed                          use in accordance with law and                        because small entities are not a
                                                Manuscript within one year of peer-                     regulation. This includes peer-reviewed               substantial number of NASA grant and
                                                review or publication by a journal,                     articles funded with NASA grants. In                  cooperative agreement recipients. In
                                                whichever is earlier, is ambiguous and                  recognition of the valuable                           addition, within the subset of awards
                                                should be clarified.                                    contributions of publishers to the                    issued to small entities, the majority are
                                                  Response: To address this concern,                    scholarly process, NASA is                            not for research so would not be affected
                                                NASA has modified the language in the                   implementing embargo periods that                     by the new term and condition
                                                term and condition.                                     permit publishers to benefit from a                   regarding access to research results.
                                                                                                        period of exclusive distribution.                     Furthermore, this rule actually benefits
                                                7. Publisher’s Agreements
                                                                                                        9. Responsibility for Claims Against                  small businesses and all other for profit
                                                   Comment: One respondent stated that                  NASA                                                  recipients by removing a requirement
                                                award recipients are not party to                                                                             that could potentially expose sensitive
                                                publisher’s agreements, and therefore,                    Comment: Three respondents stated                   financial information. NASA chose to
                                                recommended that the obligation of                      that either they or those they represent              remove the requirement for the
                                                publisher’s agreements be limited to                    will not be able to meet this requirement             inclusion of indirect cost rates on
                                                investigators rather than recipients.                   due to state statutes that do not grant               notices of Federal award in response to
                                                   Response: In the proposed revision at                authority to represent non-state                      feedback from for profit recipients.
                                                1800.930, NASA defined Awardee to                       personnel or entities.
                                                                                                          Response: To address this concern,                  V. Paperwork Reduction Act
                                                mean any recipient of a NASA grant or
                                                cooperative agreement as well as its                    NASA has modified the language in the                   This rule contains information
                                                investigators and subrecipients at any                  term and condition.                                   collection requirements that require the
                                                level. If the recipient is not the                      C. Other Changes                                      approval of the Office of Management
                                                investigator/author, then NASA expects                    During internal deliberations some                  and Budget under the Paperwork
                                                that the recipient will be in privity with              minor changes were made as follows:                   Reduction Act (44 U.S.C. chapter 35);
                                                (i.e., have their own agreement with) the                 • 2 CFR part 1800, appendix B,                      however, these changes to 2 CFR part
jstallworth on DSK7TPTVN1PROD with RULES




                                                investigator/author, and can therefore                  1800.930(b)(2) was changed to add a                   1800 do not impose additional
                                                enforce the obligation regarding                        statement indicating that NASA would                  information collection requirements to
                                                publishing agreements. NASA is only in                  provide instructions for completing the               the paperwork burden previously
                                                privity with the recipient, so NASA                     submission process under separate                     approved under OMB Control Number
                                                would not otherwise have the ability to                 cover.                                                2700–0092, entitled Financial Assistant
                                                enforce such obligation upon the                          • 2 CFR part 1800, appendix B,                      Awards/Grants and Cooperative
                                                investigator/author.                                    1800.930(b)(2) was changed to include a               Agreements.


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                                                                 Federal Register / Vol. 81, No. 208 / Thursday, October 27, 2016 / Rules and Regulations                                        74659

                                                List of Subjects in 2 CFR Part 1800                     Access to Research Results                            DEPARTMENT OF AGRICULTURE
                                                  Government financial assistance.                         (a) This award is subject to the
                                                                                                        requirements of the, ‘‘NASA Plan: Increasing          Agricultural Marketing Service
                                                Manuel Quinones,                                        Access to the Results of Scientific Research,’’
                                                NASA Federal Register Liaison Officer.                  which covers public access to digital                 7 CFR Part 922
                                                  Accordingly, 2 CFR part 1800 is                       scientific data and peer-reviewed                     [Doc. No. AMS–SC–16–0050; SC16–922–1
                                                amended as follows:                                     publications. For purposes of this term and           FR]
                                                ■ 1. The authority citation for 2 CFR                   condition, the following definitions apply:
                                                part 1800 continues to read as follows:                    (1) Awardee: Any recipient of a NASA               Apricots Grown in Designated
                                                                                                        grant or cooperative agreement, its                   Counties in Washington; Increased
                                                  Authority: 51 U.S.C. 20113(e), Pub. L. 97–            investigators, and subrecipient (subaward or          Assessment Rate
                                                258, 96 Stat. 1003 (31 U.S.C. 6301 et seq.),
                                                and 2 CFR part 200.                                     contract as defined in 2 CFR 200.92 and
                                                                                                                                                              AGENCY:  Agricultural Marketing Service,
                                                                                                        200.22, respectively) at any level.
                                                ■ 2. Revise § 1800.210 to read as                                                                             USDA.
                                                                                                           (2) Final Peer-Reviewed Manuscript: The
                                                follows:                                                final text version of a peer-reviewed article         ACTION: Final rule.
                                                                                                        disclosing the results of scientific research         SUMMARY:   This rule implements a
                                                § 1800.210 Information contained in a
                                                                                                        which is authored or co-authored by the               recommendation from the Washington
                                                Federal award.
                                                                                                        Awardee or funded, in whole or in part, with          Apricot Marketing Committee
                                                   NASA waives the requirement for the                  funds from a NASA award, that includes all
                                                inclusion of indirect cost rates on any                                                                       (Committee) to increase the assessment
                                                                                                        modifications from the publishing peer                rate established for the 2016–17 and
                                                notice of Federal award for commercial                  review process, and all graphics and
                                                firms with no cost sharing requirement.                                                                       subsequent fiscal periods from $0.75 to
                                                                                                        supplemental material prepared by Awardee.            $1.40 per ton of Washington apricots
                                                The terms and conditions for NASA                          (b) The recipient shall:
                                                may be found at appendix B of this part                                                                       handled under the marketing order. The
                                                                                                           (1) Comply with their approved Data                Committee, which is composed of
                                                and https://prod.nais.nasa.gov/pub/                     Management Plan submitted with its
                                                pub_library/srba.                                                                                             growers and handlers, locally
                                                                                                        proposal, and as modified upon agreement by
                                                                                                                                                              administers the order which regulates
                                                ■ 3. Amend appendix B to part 1800 by:                  the recipient and NASA from time to time
                                                ■ a. Under 1800.902 Technical
                                                                                                                                                              the handling of apricots grown in
                                                                                                        during the course of the period of
                                                Publications and Reports, adding                                                                              designated counties in Washington.
                                                                                                        performance.
                                                paragraph (a)(4); and                                                                                         Assessments upon apricot handlers are
                                                                                                           (2) Ensure that any Final Peer-Reviewed
                                                ■ b. Adding 1800.929 Indirect Costs and
                                                                                                                                                              used by the Committee to fund
                                                                                                        Manuscript is submitted to the NASA-
                                                1800.930 Access to Research Results.                                                                          reasonable and necessary expenses of
                                                                                                        designated repository, currently the PubMed
                                                   The additions read as follows:                                                                             the program. The fiscal period begins
                                                                                                        Central system at http://
                                                                                                                                                              April 1 and ends March 31. The
                                                Appendix B to Part 1800—Terms and                       www.ncbi.nlm.nih.gov/pmc/. NASA will
                                                                                                                                                              assessment rate would remain in effect
                                                Conditions                                              provide instructions for completing the
                                                                                                                                                              indefinitely unless modified,
                                                                                                        submission process under separate cover.
                                                *      *     *       *      *                                                                                 suspended, or terminated.
                                                                                                        Ensure that the Final Peer-Reviewed
                                                                                                        Manuscript is submitted to PubMed Central             DATES: Effective October 28, 2016.
                                                1800.902    Technical Publications and
                                                Reports                                                 within one year of completion of the peer             FOR FURTHER INFORMATION CONTACT: Dale
                                                *      *     *       *      *                           review process.                                       Novotny, Marketing Specialist, or Gary
                                                  (a) * * *                                                (3) Ensure that any publisher’s agreements         D. Olson, Regional Director, Northwest
                                                  (4) For research and research-related                 entered into by an Awardee will allow for the         Marketing Field Office, Marketing Order
                                                awards, see additional reporting                        Awardee to comply with these requirements             and Agreement Division, Specialty
                                                requirements at 1800.930 Access to Research             including submission of Final Peer-Reviewed           Crops Program, AMS, USDA;
                                                Results.                                                Manuscripts to the NASA-designated                    Telephone: (503) 326–2724, Fax: (503)
                                                *      *     *       *      *                           repository, as listed in paragraph (b)(2) of this     326–7440, or Email: DaleJ.Novotny@
                                                                                                        term and condition, with sufficient rights to         ams.usda.gov or GaryD.Olson@
                                                1800.929 Indirect Costs
                                                                                                        permit such repository to use such Final              ams.usda.gov.
                                                  Prescription—The Grant Officer shall                                                                           Small businesses may request
                                                                                                        Peer-Reviewed Manuscript in its normal
                                                include this term and condition in all awards                                                                 information on complying with this
                                                with indirect costs, excluding those awards             course, including rights to permit users to
                                                to institutions of higher education and to              download XML and plain text formats.                  regulation by contacting Richard Lower,
                                                entities using the 10% de minimis rate.                    (4) Hereby represent and warrant that              Marketing Order and Agreement
                                                                                                        Awardee has secured for recipient the right           Division, Specialty Crops Program,
                                                Indirect Costs                                                                                                AMS, USDA, 1400 Independence
                                                                                                        to submit the Final Peer-Reviewed
                                                   Unless otherwise directed in 2 CFR part              Manuscript to the NASA-designated                     Avenue SW., STOP 0237, Washington,
                                                200, if during the course of this award, the            repository for use as set forth herein.               DC 20250–0237; Telephone: (202) 720–
                                                approved indirect cost rate is revised,
                                                                                                           (5) Include in annual and final reports a          2491, Fax: (202) 720–8938, or Email:
                                                changed or removed, that rate must be
                                                applied, as allowed, to the covered direct              list of Final Peer-Reviewed Manuscripts               Richard.Lower@ams.usda.gov.
                                                costs that are expended during the time                 covered by this term and condition.                   SUPPLEMENTARY INFORMATION: This rule
                                                frame of that rate agreement. Any corrections,          (End of Term and Condition)                           is issued under Marketing Agreement
                                                either up or down, to the approved budget               [FR Doc. 2016–26014 Filed 10–26–16; 8:45 am]          and Order No. 922, both as amended (7
                                                submitted with the awarded application must                                                                   CFR part 922), regulating the handling
jstallworth on DSK7TPTVN1PROD with RULES




                                                be reflected in the awardees’ records of costs          BILLING CODE 7510–13–P
                                                                                                                                                              of apricots grown in designated counties
                                                and should be audited as such.
                                                                                                                                                              in Washington, hereinafter referred to as
                                                (End of Term and Condition)                                                                                   the ‘‘order.’’ The order is effective under
                                                1800.930 Access to Research Results                                                                           the Agricultural Marketing Agreement
                                                  Prescription—The Grant Officer shall                                                                        Act of 1937, as amended (7 U.S.C. 601–
                                                include this term and condition in all                                                                        674), hereinafter referred to as the
                                                research and research-related awards.                                                                         ‘‘Act.’’


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Document Created: 2016-10-27 01:52:41
Document Modified: 2016-10-27 01:52:41
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionRules and Regulations
ActionFinal rule.
DatesEffective: November 28, 2016.
ContactJennifer Richards, telephone 202-358- 0047.
FR Citation81 FR 74657 
RIN Number2700-AE29

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