RPPR_Supporting_Statement_Part_A_Final

SUPPORTING STATEMENT – PART A

Research Progress Production Report (RPPR)

OVERVIEW

Department of Defense (DOD) grantees are generally required to submit interim and final progress reports and other post-award documents associated with the monitoring, oversight, and closeout of an award. However, the various DOD Components (e.g. Army Research Office (ARO), Army Medical Research and Materiel Command (AMRMC), and the Defense Threat Reduction Agency (DTRA) whose collection instruments are included in this submission) awarding grants have different reporting requirements such as frequency and uses of information technology. This submission represents a consolidation of various post-award reporting requirements into a revised union data collection. While all interim reports required by DOD Components for research activities will share a common Department-established RPPR-based template, referred to as the RPPR Data Dictionary and which is included as part of this submission, initial electronic implementations of RPPR-compliant reporting requirements will be determined on a Component-level basis until a DOD-wide electronic reporting system can be established.

A.  JUSTIFICATION

1.  Need for the Information Collection

DOD Components are authorized to issue discretionary awards under 10 U.S.C 2358. Awards are identified in the Catalogue of Federal Domestic Assistance.

DOD Components utilize a project period system to fund awards, i.e., projects that will continue for more than one year are programmatically funded in annual budget period increments. To receive funding of each subsequent budget period, grantees are required to submit an interim progress report which is reviewed by agency program and administrative officials within the framework of the approved research project, the recommended level of support, progress reported, and the availability of funds. Implementation of the Research Progress Production Report (RPPR), in accord with the 4/21/2010 memo from OMB/OSTP “Policy on Research Performance Progress Report,” included as part of this submission, establishing a uniform format for use in submission of required annual or other interim performance reporting on grant and cooperative agreement awards, will ultimately replace existing collections. The DOD Implementation Plan, updated January 2011, is available on the RPPR website and is included in this submission. Example RPPR screen shots utilized by ARO to collect the relevant RPPR information are provided. The collection document used by DTRA for its data collection is also provided, as is the document used by AMRMC.

2.  Use of the Information

Information collected as part of interim progress reports is used by agency staff to: (a) monitor federal awards and ensure compliance with applicable terms and conditions of award, regulations, policies and procedures, (b) evaluate progress in accord with goals, aims and objectives set forth in competing applications, (c) evaluate grantee plans for the next budget period and any significant changes, (d) manage scientific programs, (e) plan future scientific initiatives, (f) determine funding for the next budget segment, and (g) report to Congress, the public and other Federal agencies.

3.  Use of Information Technology

The format of the RPPR provides a standardized data set for reporting to be adopted by all DOD Components supporting research or research related activities. With full implementation of the electronic RPPR, all paper progress reports to DOD will be eliminated. Goals of the project, personnel, and other data elements are pre-populated after the initial progress report, and may be modified in subsequent reports.

4.  Non-duplication

Information similar to that specified under this OMB collection does not exist elsewhere; thus there is no other method for collection. Interim progress reports address findings, publications, personnel, changes, and the status of activities such as research with human subjects and select agents, and compliance with legal requirements, policies and other terms of award. Where relevant pre-existing data is available from DOD Components systems the data is pre-populated for the grantee.

5.  Burden on Small Business

The procedures for small businesses and other small entities are the same as for other grantees. Interim progress reporting of SBIR/STTR awards will transition to the RPPR with minor adjustments as appropriate. A SBIR/STTR Phase II Final Progress Report format is provided to facilitate DOD reporting to Congress and the Small Business Administration (SBA) on the commercialization activities of DOD SBIR/STR awards. The impact on small business or other small entities is anticipated to be negligible.

6.  Less Frequent Collection

Information is collected at crucial points in the post-award process: interim progress reporting is required in frequencies specified by each DOD Component to fund subsequent budget periods, when applicable, document payback activities in accord with legislatively mandated timelines, and close-out documents are required by agencies within 90 days of the end of a project. It is not possible to collect this information less frequently.

7.  Paperwork Reduction Act Guidelines

Not Applicable.

8.  Consultation and Public Comments

As required by 5 CFR 1320.8(d), a 60-day Federal Register Notice was published on Wednesday, 07/31/13: Vol. 78, No. 147, page 46326. No comments were received.

A 30-day Federal Register Notice was published on Tuesday, 07/29/13: Vol. 79, No. 145, page 44012.

9.  Gifts or Payment

Not Applicable.

10.  Confidentiality

The DOD Components maintain separate and distinct grant records. Those using web-based system for collection and/or submission require logon/password or common access card (CAC) for access. Uploaded files are encrypted, stored and backed up behind a firewall. All reporting websites are maintained with appropriate Component protocols and safeguards to protect collection information.

11.  Sensitive Questions

No sensitive information is collected.

12.  Respondent Burden, and its Labor Costs

a. Estimation of Respondent Burden

We expect to collect information in the RPPR from 2,000 respondents. We anticipate that it will take each respondent 6 hours to complete the application, and we expect to collect information from each respondent 2 times annually. The total burden hours is 24,000 (2,000 * 6 * 2).

b. Labor Cost of Respondent Burden

Individuals submitting RPPR information will vary by type of staff and salary. The average hourly labor rate across the staff is estimated to be $35: clerical ($15), administrative ($25), and professional staff ($45). Using the estimate average hourly rate, the labor cost for respondents comes to $840,000 (24,000 hours * $35).

13.  Respondent Costs Other than Burden Hour Costs

The only other cost to respondents or record keepers is associated with customary and usual business or practices of organizations receiving DOD funding.

14.  Cost to the Federal Government

The estimated average time to transfer relevant data to RPPR is 30 minutes each. In addition, it is estimated that the internal processing of each Interim report takes 5 hours. The total amount of time per report is 5.5 hours. A GS 10, Step 5 level is equivalent to $31.18 per hour. The number of reports that would be processed is 4,000, thus the cost to the government would be $685,960 (4,000 * 5.5 *$31.18).

15.  Reasons for Change in Burden

There has been no OMB approval for RPPR.

16.  Publication of Results

There is no tabulation, publication, or project time schedule associated with RPPR.

17.  Non-Display of OMB Expiration Date

The OMB number will be displayed in all electronic modules and on paper forms. The OMB expiration date is not displayed in electronic modules to obviate the need to revise or modify electronic systems solely for date changes; however, it is noted in all instructions.

18.  Exceptions to "Certification for Paperwork Reduction Submissions"

This project conforms to all of the 5 CFR 1320.9 requirements; no exceptions are requested.

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