Final supporting statement for grants

FINAL SUPPORTING STATEMENT
FOR
GRANT AND COOPERATIVE AGREEMENT PROVISIONS
(3150-0107)
--Extension with Burden Update
Description of Information Collection
The Nuclear Regulatory Commission (NRC) provides financial assistance through issuance of
grants and cooperative agreements. This funding supports research, as well as symposia and
conferences, training and associated curricula, disciplines pertaining to nuclear safety, security,
or environmental protection and other areas that the Commission determines to be critical to the
NRC’s mission. NRC also provides funding to support a broad range of innovative programs
and activities to strengthen the academic excellence and infrastructure capacity of minority
serving institutions by educating and training their students and faculty. NRC provides financial
assistance to accredited U.S. institutions of higher education to support education in nuclear
science, engineering, health physics, and nuclear-related trades for students and faculty
members. This supports the development of a workforce capable of the design, construction,
operation, and regulation of nuclear facilities and the safe handling of nuclear materials.
The Division of Contracts (DC) is responsible for awarding grants and cooperative agreements
for the Agency. DC collects information from recipients of grants and cooperative agreements
(referred hereafter as “recipients”) in order to administer these programs.
A.

JUSTIFICATION
1. Need for and Practical Utility of the Collection of Information
NRC collects this information to ensure that the Government’s rights are protected,
the agency adheres to public laws, the work proceeds on schedule, and that
disputes, if any, are settled between the Government and the recipients.
2. Agency Use of Information
NRC collects this information from recipients in accordance with the NRC general
provisions (as described below) for grants and cooperative agreements awarded to
institutions of higher education and other nonprofit institutions as part of the
grant/cooperative agreement provisions in NRC's awards. The information collected
is used by the NRC administer grant and cooperative agreement programs.
Dispute Review Procedure
A recipients who wants a committee review of a notice of an adverse action taken by
the Commission must submit a request for review to an NRC Grants Officer (NRC
GO) no later than 30 days after the postmarked date of such notice. The NRC
committee reviews the facts in the request and, where appropriate, provides a forum
for the recipients and program personnel to discuss the issues. The NRC committee
uses the information submitted and prepares a recommendation to the Director,

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Office of Administration, who decides the particular matter. There is no other method
to secure this information from a recipient.
Reporting Program Technical Performance
This provision is to apprize the NRC of the recipient’s progress under the grant or
cooperative agreement, Recipients are required to submit technical performance
reports to document their performance and to indicate any problems, if applicable.
The recipients must submit progress reports describing in detail the activities that
have occurred during the reporting period that correspond with the goals and
objectives identified in the narrative, as well as, providing specific, project-related
information. Further, this provision allows the Commission to review the final draft of
a journal article before publication, if applicable. Recipients are required to submit
semiannual reports to the NRC beginning six months after the project start date and
by no later than 30 days after each 6-month period. A final report is due no later
than 30 days after the project expiration date. The recipients submit the reports
electronically on www.grants.gov.
Patent Rights (Small Business Firms or Non-Profit Organizations, July, 1981)
This provision is required to protect against public disclosure of information related to
inventions or discoveries that would adversely affect the patent interests of the NRC
or the recipients. Recipients must submit information on any invention or discovery,
which may be patentable for the Government to determine whether the public
interest and the equities of the recipients are served in deciding whether to file a
patent application. The Government must also obtain information concerning title
and rights that may result under a patent application, when determining the
disposition of an invention or discovery.
Recipients are required to send one copy of the information to the NRC GO who
reviews the material to make the above determinations in consultation with the NRC
attorney. There is no other method to secure this information from recipients.
Reporting of Royalties
The requirements of this provision make clear that the Government may contest the
enforceability, validity, and/or title of any patent under which a royalty or payment is
made. The provision is also necessary in that it allows the Commission, thorough
review of the information supplied by the recipients, to ascertain the patents or basis
on which royalties are to be paid. The recipients agree to report in writing (one copy)
to the NRC Patent Counsel (NRC PC) stipulating the amount of royalties or other
payments made in connection with performance under the grant or cooperative
agreement. No other method exists to secure the information required under this
provision.
Changes in Principal Investigator or Technical Objectives
This provision requires recipients to obtain approval from the NRC GO to make
changes to: (1) the stated objective of the grant/cooperative agreement, (2) the level
of effort of the Principal Investigator, or (3) the phenomenon under study. The
recipients must submit one copy of the request to the NRC GO, who in consultation
with the NRC Project Officer (NRC PO), reviews the request before approving or
disapproving the proposed change. There is no other method of obtaining the
requested information other than following the instructions in this provision.

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Notice and Assistance Regarding Patent and Copyright Infringement
This provision requires the recipients to provide the Commission with all evidence
and information known should any claim or suit arise against the Government of any
alleged patent or copyright infringement under grant/cooperative agreement
performance. This requirement is important since it protects the rights and interests
of the Government. The recipients shall provide this evidence and information in one
copy to the NRC GO, who in consultation with NRC PC, reviews the material to
decide the best course of action to protect the Government's interests. No other
method exists to obtain the required information.
Procurement Standards
This provision sets rules for the recipients to follow if a contract(s) is awarded under
the grant or cooperative agreement. The Government seeks to ensure that these
contracts are awarded competitively, where possible and that negotiated prices are
reasonable. This provision stipulates circumstances when the recipients must
submit requests (one copy) to the NRC GO for approval. The NRC GO reviews each
request and decides which course of action is in the Government's best interest. No
other method exists to obtain these requests.
Suspension or Termination for Cause
This provision protects the Government’s interests by stating that it has the unilateral
right to terminate or suspend the grant/cooperative agreement when the recipients
fail to comply with the terms and conditions of the grant/cooperative agreement. If
the grant/cooperative agreement is terminated, the recipients are required to conduct
an accounting of funds expended to ascertain the amount of funds to deobligate or
return from the grant/cooperative agreement to the Government. The NRC GO
advises the recipients by letter of the nature of the problem. The recipients must
respond to the NRC GO (one copy) within 30 days of the Government letter
identifying plans to correct the deficiencies in performance. The recipients shall also
send one copy to the Principal Investigator (PI) and one copy to the NRC PO. The
NRC GO, in consultation with the NRC PO, must decide the course of action to
follow (suspend, terminate or continue grant/cooperative agreement performance).
No other method exists outside the aegis of this provision to collect the needed
information.
Termination for Convenience
This provision requires the recipients to document a request to terminate the
grant/cooperative agreement and to submit the request and one copy to the NRC
GO and one copy to the NRC PO and PI. The Commission then has a written record
to respond to and challenge if it is in its best interest. The NRC GO, in consultation
with the NRC PO and PI, will come to an understanding with the recipients as to
whether to terminate the grant/cooperative agreement or not. No other method
exists to secure this needed information.
Travel
This provision requires explicit approval by the NRC GO prior to foreign travel,
regardless of its inclusion in the approved award budget. No other method exists to
secure this needed information.

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The reporting/recordkeeping requirements imposed by the above grant provisions
annually affect from approximately 1 to 140 recipients, depending upon the particular
provision. Table 1 shows the number of respondents for each provision. The
information collection requirements do not involve surveys. Recipients are required
to send reports and information to the NRC in accordance with award requirements.
All information is collected under the above-cited provisions. As indicated previously,
the information is submitted to the NRC GO, with copies to the NRC PO and legal
counsel, in some instances. In all cases, it is the responsibility of the NRC GO to
review the information and decide on the best course of action to follow.
3. Reduction of Burden through Information Technology
There are no legal obstacles to reducing the burden associated with this information
collection. NRC issued a regulation on October 10, 2003 (68 FR 58791), consistent
with the Government Paperwork Elimination Act, which allows its licensees, vendors,
applicants, and members of the public the option to make submissions electronically
via CD-ROM, e-mail, special Web-based interface, or other means. The NRC
requires respondents to submit all (100%) of their applications and financial and
technical performance reports in electronic format on www.grants.gov. Information
submitted under other provisions is not required to be in electronic format and is
generally submitted in hard copy. The NRC estimates that the overall percentage of
responses that are submitted electronically is 90%.
4. Effort to Identify Duplication and to Use Similar Information
No sources of similar information are available. There is no duplication of
requirements. NRC has in place an ongoing program to examine all information
collections with the goal of eliminating all duplication and/or unnecessary information
collections. These provisions are not used in any other legal instrument for agency
use other than for grants and cooperative agreements.
5. Effort to Reduce Small Business Burden
The agency grant/cooperative agreement program does not affect small businesses.
6. Consequences to Federal Program or Policy Activities if the Collection is Not
Conducted or is Conducted Less Frequently
If the requested information is not collected or is collected less frequently, the agency
could not adequately track recipients’ progress or ascertain if the work being
performed is within the general scope of the grant or cooperative agreement.
Most provisions (Dispute Review Procedure, Patent Rights, Reporting of Royalties,
Changes in Principal Investigator or Technical Objectives, Notice and Assistance
Regarding Patent and Copyright Infringement, Suspension or Termination for Cause,
Termination for Convenience and Audits) require information only in specific, limited
circumstances defined in the provision. The information is necessary to protect the
rights of the parties under the grant or cooperative agreement in those situations.
Less frequent reporting of technical progress and financial status removes an

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effective mechanism needed to monitor grant/cooperative agreement performance
and initiate appropriate remedial action to protect the interests of the Government.
7. Circumstances Which Justify Variation From OMB Guidelines
This information collection does not vary from OMB Guidelines.
8. Consultation Outside the NRC
Opportunity for public comment on the information collection requirements for this
clearance package has been published in the Federal Register on April 7, 2008 (73
FR 18822). No comments were received.
9. Payment or Gifts to Respondents
None.
10. Confidentiality of the Information
Confidential and proprietary information is protected in accordance with NRC
regulations under 10 CFR 9.17(a) and 10 CFR 2.390(b).
11. Justification for Sensitive Questions
Information related to litigation, claims, patent, or copyright infringement, inventions,
award/cooperative agreement disputes, or termination would be sensitive from a
legal perspective. Certain cost information, (e.g., salaries, indirect cost rates, and
fee) would be sensitive from a corporate perspective. All sensitive information is
properly filed and safeguarded against improper disclosure. This is the NRC Grant
Officer's responsibility. No sensitive personal information is required or requested.
12. Estimated Burden and Burden Hour Cost
Table 1 represents the reporting burden and Table 2 represents the recordkeeping
burden estimates for each provision. Such burden estimates were derived from
experience as to the approximate number of recipients affected by each particular
provision and the approximate number of hours that recipients would have to expend
to comply with the requirements of the provisions. Reporting burden is estimated to
be 3,153 hours, for a cost of $750,414 (3,153 x $238/hr). Recordkeeping burden is
estimated to be 228 hours, for a cost of $54,264 (228 x $238/hr). The total burden
for this collection is estimated to be 3,381 hours at a cost of $804,678 (3,381 hours X
$238/HR). See attached Tables 1 and 2.
13. Estimate of Other Additional Costs
NRC has determined that the records storage cost is roughly proportional to the
recordkeeping burden cost. Based on a typical clearance, the recordkeeping storage
cost has been estimated to be equal to .0004 percent of the recordkeeping burden.
Therefore, the recordkeeping storage cost is estimated to be $22 (228 recordkeeping
hours x $238 x .0004).

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14. Estimated Annualized Cost to Federal Government
The cost to the NRC attributable to the provisions discussed in this supporting
statement is $163,268 (686 hours x $238/hr). Table 3 presents such cost by
provision. The cost to the Government for each provision was derived from
experience as to the approximate number of hours the grant specialist expends in
ensuring that recipients comply with a particular provision. The hours were then
multiplied by $238/hour (standard fee recoverable rate for materials licensees) to
arrive at the approximate cost to the Government.
15. Reason for Change in Burden or Cost
The overall burden has increased by 2,221 hours, from 1,160 hours to 3,381 hours.
This change is due to a number of factors:
1. The total number of grant/cooperative agreement respondents increased
from 60 to 140 respondents due to the increase in the NRC’s budget
appropriation for the financial assistance program. As a result, the number of
respondents for Reporting Program Technical Performance has increased
from 60 to 140 and the number of respondents for Procurement Standards
has increased from 20 to 30.
2. The previous submission for this collection assumed that Reporting Program
Technical Performance would be submitted one time per year. The current
submission has correctly calculated that there will be two submissions per
year, as these reports are submitted every 6 months. This is not a change in
the requirement for grantees, but represents a correction of NRC’s
calculations for this requirement.
3. Finally, NRC removed burden for requirements that are submitted on
Standard Forms. The burden for these requirements is covered under other
OMB clearances. Previously, NRC included the burden for these
requirements under Reporting Program Technical Performance. The current
submission has removed 4.4 hours burden from this requirement, based on
the burden associated with these forms:
Standard Form #

Title

OMB
clearance #

Burden per
form

SF 424

Application for Federal Financial Assistance

4040-0004

60 minutes

SF 424A

Budget Information

4040-0006

180 minutes

SF 424B

Assurances

4040-0007

15 minutes

SF LLL

Disclosure of Lobbying Activities

0348-0046

10 minutes

TOTAL

265 minutes
(4.4 hours)

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As a result of the above three changes, the total number of burden hours for
reporting increased by a total of 2,098 hours. Reporting Program Technical
Performance increased from 900 hours of reporting burden (60 respondents x 1
annual response x 15 hours = 900 hours) to 2,968 hours of reporting burden (140
respondents x 2 annual responses x 10.6 hours = 2,968 hours), an increase of 2,068
hours. Procurement Standards increased from 60 hours (20 respondents x 1 annual
response x 3 hours = 60 hours) to 90 hours (30 respondents x 1 annual response x 3
hours = 90 hours), an increase of 30 hours.
In addition, the number of recordkeeping hours increased by 123 hours. Reporting
Program Technical Performance increased from 90 hours of recordkeeping burden
(60 recordkeepers x 1.5 hours = 90 hours) to 210 recordkeeping hours (140
recordkeepers x 1.5 hours = 210 hours), an increase of 120 hours. Procurement
Standards increased from 6 hours (20 recordkeepers x 0.3 hours = 6 hours) to 9
hours (30 recordkeepers x 0.3 hours = 9 hours), an increase of 3 hours.
There also has been an increase in cost due to the increase in the NRC’s standard
fee recoverable rate for materials licensees from $157 per hour to $238 per hour.
16. Publication for Statistical use
Not applicable.
17. Reason for Not Displaying the Expiration Date
The OMB clearance expiration date is displayed.
18. Exceptions to the Certification Statement
Not applicable.
B.

COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

Statistical methods are not used in this collection of information.

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TABLE 1
ESTIMATED ANNUAL REPORTING BURDEN TABLE
GRANT/COOPERATIVE AGREEMENT PROVISIONS

Provision

No. of
Respondents 1

Responses
per
Respondent

Total
Number of
Responses

Burden
Hours per
Response

Total
Annual
Burden
Hours

Total
Annual
Cost
@$238/HR

Dispute Review
Procedure

1

1

1

15

15

$3,570

Reporting
Program Tech.
Performance

140

2

280

10.6

2,968

$706,384

Patent Rights

1

1

1

10

10

$2,380

Reporting of
Royalties

1

1

1

5

5

$1,190

Changes in
Principal
Investigator or
Technical

1

1

1

10

10

$2,380

Notice and
Assistance
Regarding Patent
and Copyright
Infringement

1

1

1

10

10

$2,380

Procurement
Standards

30

1

30

3

90

$21,420

Suspension or
Termination for
Cause

1

1

1

20

20

$4,760

Termination for
Convenience for
Cause

1

1

1

20

20

$4,760

Travel
TOTAL

1

1

1

5

5
3,153

$1,190
$750,414

140

318

1

This term represents those nonprofit organizations, universities, other institutions of higher education,
professional societies and state and local governments to which the Agency has awarded grants and
cooperative agreements.

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TABLE 2
ESTIMATED ANNUAL RECORDKEEPING BURDEN TABLE
GRANT/COOPERATIVE AGREEMENT PROVISIONS

Section

Burden Hours
per
Recordkeeper

Total
Annual
Burden
Hours

1

1

1

$238

140

1.5

210

$49,980

1

1

1

$238

Changes in
Principal
Investigator or
Technical

1

1

1

$238

Notice and
Assistance
Regarding
Patent and
Copyright
Infringement

1

1

1

$238

Procurement
Standards

30

0.3

9

$2,142

Suspension or
Termination for
Cause

1

2

2

$476

Termination for
Convenience

1

2

2

$476

Travel

1

0.5

0.5

$119

228

$54,264

Dispute Review
Procedure
Reporting
Program Tech.
Performance
Patent Rights

No. of
Recordkeepers

Total Annual
Cost
@$238/HR

Reporting of
Royalties **

TOTAL

140

** Grantees maintain royalty and financial records as a part of the normal course of doing business.
TOTAL BURDEN:
TOTAL RESPONDENTS:
TOTAL RESPONSES:

3,381 (3,153 reporting hours plus 228 recordkeeping hours)
140
458 (318 responses plus 140 recordkeepers)

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TABLE 3
GRANT/COOPERATIVE AGREEMENT PROVISIONS GOVERNMENT COST
Section

No. of
Respondents

Responses
per
Respondent

Number of
Responses

Burden
Hours per
Response

Total
Annual
Burden
Hours

Total
Annual
Cost
@$238/HR

1

1

1

25

25

$5,950

140

2

280

2

560

$133,280

Patent Rights

1

1

1

10

10

$2,380

Reporting of
Royalties

1

1

1

3

3

$714

Changes in
Principal
Investigator or
Technical
Objectives

1

1

1

10

10

$2,380

Notice and
Assistance
Regarding Patent
and Copyright
Infringement

1

1

1

10

10

$2,380

30

1

30

0.9

27

$6,426

Suspension or
Termination for
Cause

1

1

1

20

20

$4,760

Termination for
Convenience

1

1

1

20

20

$4,760

Travel

1

1

1

0.5

0.5

$119

686

$163,268

Dispute Review
Procedure
Reporting
Program Tech.
Performance

Procurement
Standards

TOTAL

140

318

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