SUPPLEMENTARY INFORMATION:

Title of Collection: Grantee Reporting Requirements for the U.S. National Science Foundation Regional Innovation Engines (NSF Engines) Program.

OMB Control Number: 3145-0284.

Expiration Date of Approval: December 31, 2026.

Type of Request: Request for approval to renew an information collection.

Proposed Project: The U.S. National Science Foundation Regional Innovation Engines (Engines) program, led by NSF's Directorate for Technology, Innovation and Partnerships (TIP), is NSF's flagship investment in place-based innovation. Established pursuant to the CHIPS and Science Act of 2022, the program invests in regions across the United States to bring together the research, talent, partnerships, and resources needed to turn advances in science and technology into economic and societal benefits. Each NSF Engine serves a defined geographic Region of Service (RoS), the area intended to benefit from the NSF Engine's activities and investments, and is organized around technologies and challenges important to that region and the Nation.

Specifically, the program seeks to:

• Advance key technology areas critical to U.S. competitiveness;
• Address pressing national and societal challenges;
• Cultivate partnerships across industry, academia, government, nonprofit organizations, civil society and communities of practice;
• Promote economic growth and job creation; and
• Develop the regional workforce and talent needed to sustain innovation.

Each NSF Engine carries out these objectives through three core functions: use-inspired research and development, translation of innovation results to society, and workforce development. Together, these activities are intended to strengthen a RoS's capacity to develop and commercialize new technologies, create and grow businesses, prepare workers for new opportunities, and attract additional investment. Over time, NSF Engines are expected to develop into sustainable regional innovation ecosystems that contribute to economic growth and U.S. competitiveness.

NSF Engines are substantial, long-term investments. Each NSF Engine may receive NSF funding for up to 10 years, based on its performance and progress toward established goals and milestones. As NSF Engines develop, their activities, partnerships, and sources of support are expected to grow and evolve. Regular reporting on a defined cadence helps NSF Engines teams track performance, identify and address issues, and adjust their strategies as needed. At the same time, it allows NSF to assess progress across the portfolio, identify risks and emerging challenges, and make informed program management and funding decisions.

Project Reporting Requirements: NSF is seeking renewed approval from the Office of Management and Budget (OMB) for the revised Grantee Reporting Requirements for NSF Engines Program information collection. The collection consists of four reporting components: (1) Quarterly Reports; (2) the Engine Report Template; (3) the Strategic and Implementation Plan; and (4) the Strategic Growth Plan. Each serves a distinct purpose; together, they provide NSF with information to monitor the implementation, performance, and development of each NSF Engine over the life of the award and the program holistically.

Quarterly Reports will be required in the first quarter (Q1) and third quarter (Q3) of the first year. These reports provide timely information on NSF Engine operations, implementation, performance, and emerging issues. The two Quarterly Reports cover the first year and include the following required narrative sections:

1. Personnel, Governance and Operations;

2. Programmatic Activities; and

3. Partners and New Collaborations.

The Engines Report Template (ERT) will be submitted semiannually throughout the ten (10) years of the award in lieu of the NSF Research Performance Progress Report (RPPR). The ERT consists of two components: a tabular component for quantitative information, and a narrative component for qualitative information. The tabular component collects standardized and structured information across 10 areas:

1. Personnel;

2. Programmatic Activities;

3. Research, Development and Translation (RD&T) Outputs;

4. Workforce Development (WFD) Outputs;

5. Innovation Ecosystem Building Actions;

6. Innovation Ecosystem Building Infrastructure;

7. Partners;

8. Non-Partner Commitments and Resources;

9. Risk and Opportunity Register; and

10. Awardee Specified Metrics.

The narrative component provides context for the information reported in these areas, including implementation progress, challenges, and outcomes. Award recipients will also describe significant changes since the previous reporting period and, as applicable, explain deviations from previously established plans. Together, the quantitative and qualitative components allow NSF to track measurable progress while understanding the circumstances affecting an individual NSF Engine's performance.

The Strategic and Implementation Plan (SIP) is a forward-looking strategy for the Emergent phase of the award (project years three through five). Each NSF Engine starts development of the SIP in year one and completes it by the end of year two. The SIP is used by NSF to evaluate the NSF Engine for continued support beyond year two. The SIP sections include the following:

(1) Vision, Mission, Goals and Measurable Metrics;

(2) Research and Development;

(3) Translation, including intellectual property strategy;

(4) Workforce Development;

(5) Economic Development;

(6) Governance and Management;

(7) Partnerships; and ( printed page 66370)

(8) Project Evaluation.

The Strategic Growth Plan (SGP) builds upon the SIP and shifts the focus from early implementation to the NSF Engine's longer-term growth and sustainability. Beginning in year four, NSF Engines develop a forward-looking strategy for the Growth phase of the award, with additional planning refinement, and finalization occurring in year five. The SGP addresses:

(1) A strategy for establishing the RoS as a national leader in the NSF Engine's technology area(s);

(2) Strategies for attracting, creating, and supporting businesses in the region;

(3) Goals, strategies, milestones, and measures of progress for research and development, translation, workforce and economic development;

(4) A sustainability plan describing how the RoS will maintain and increase economic growth beyond NSF funding; and

(5) Strategies for sustaining NSF Engine activities, programs, and other efforts important to continued research, translation, workforce development, and economic growth within the RoS.

Use of the Information: NSF uses the information from these four types of reports to monitor implementation and performance; assess progress toward established goals, milestones, and outcomes; identify risks and areas requiring attention; ensure compliance with award terms and conditions; and support program management, evaluation, and reporting to NSF leadership, the Administration, and Congress.

The reporting requirements also provide a consistent record of how each NSF Engine develops over time. The Quarterly Reports and ERT capture ramp-up and ongoing implementation and performance to determine whether NSF Engines are advancing their proposed strategies and developing partnerships, capabilities, and resources needed to sustain their regional innovation ecosystems over time. The SIP and SGP provide details to NSF on each NSF Engine's forward-looking plans in order to make decisions about continued funding for the NSF Engine during phase transitions and establish the metrics that will be reported against in future ERTs.

Burden on the Public: The reporting requirements applicable to an individual NSF Engine vary based on its stage of development and year of the award. Table 1 summarizes each reporting component, the anticipated number of respondents and responses, and the estimated burden per response.

Because the reporting requirements vary over the lifetime of an NSF Engine award, the burden estimates in Table 1 do not apply simultaneously to every NSF Engine. For example, a newly awarded NSF Engine would incur an estimated 80-160 hours of reporting burden in Year 1 for ERT Reports, Quarterly Reports, and SIP; 70-140 hours in Year 2 for ERT Reports and SIP; 25-50 hours in Year 3 for ERT Reports and SGP. This yields an estimated three-year total burden of 175-350 hours per each newly awarded Engine.

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