[Congressional Bills 114th Congress]
[From the U.S. Government Publishing Office]
[H.R. 5583 Introduced in House (IH)]
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114th CONGRESS
2d Session
H. R. 5583
To streamline and harmonize Federal research regulations on
institutions of higher education, and for other purposes.
_______________________________________________________________________
IN THE HOUSE OF REPRESENTATIVES
June 24, 2016
Mr. Lipinski (for himself, Ms. Eddie Bernice Johnson of Texas, and Mr.
Hultgren) introduced the following bill; which was referred to the
Committee on Science, Space, and Technology, and in addition to the
Committee on Oversight and Government Reform, for a period to be
subsequently determined by the Speaker, in each case for consideration
of such provisions as fall within the jurisdiction of the committee
concerned
_______________________________________________________________________
A BILL
To streamline and harmonize Federal research regulations on
institutions of higher education, and for other purposes.
Be it enacted by the Senate and House of Representatives of the
United States of America in Congress assembled,
SECTION 1. SHORT TITLE.
This Act may be cited as the ``University Regulation Streamlining
and Harmonization Act of 2016''.
SEC. 2. FINDINGS.
Congress finds the following:
(1) The partnership between the Federal Government and
institutions of higher education, affiliated medical centers,
and independent research institutes has been enormously
beneficial for the Nation, providing economic growth, a highly
skilled workforce, and discoveries that have improved people's
lives.
(2) Regulation of federally funded research institutions,
when done efficiently, serves to ensure that taxpayer dollars
are spent wisely and that human and animal research subjects
are treated ethically.
(3) A survey conducted by the Federal Demonstration
Partnership in 2012 found that 42 percent of faculty time
related to the conduct of federally funded research at research
institutions is spent on activities other than research, with
19.3 percent specifically related to administrative activities.
(4) A study of the Federal regulatory impact on institutes
of higher education led by Vanderbilt University involving 13
public and private universities estimated that the total cost
of compliance with research regulations for all research
institutions ranged from 11 to 25 percent of total research
expenditures and reached an estimated 10 billion dollars across
the country.
(5) Advances in technology, recordkeeping, and internal
controls allow awardees to document charges to Federal awards
for salaries and wages in increasingly efficient ways,
including through payroll certification, which can increase
accountability and reduce burdens relative to personal activity
reports.
(6) Past efforts by the Federal Government, in particular
through the Uniform Guidance implemented by the Office of
Management and Budget in 2014, have made progress in reducing
regulatory burdens. However, problems still remain as noted by
the National Academies' report in September of 2015, which
found that ``continuing expansion of the Federal regulatory
system and its ever-growing requirements are diminishing the
effectiveness of the nation's research investment by directing
investigators' time away from research''.
(7) Streamlining research regulations and moving toward
harmonized regulations based on data-driven cost-benefit
analyses across Federal research funding agencies will help
maximize the impact of research dollars while minimizing waste,
fraud, and abuse.
SEC. 3. DEFINITIONS.
In this Act:
(1) Federal agency.--The term ``Federal agency'' has the
meaning given the term ``agency'' in section 551 of title 5,
United States Code.
(2) Federal research funding agency.--In this Act, the term
``Federal research funding agency'' means a Federal agency that
has an annual extramural research budget of greater than 100
million dollars.
(3) Institution of higher education.--The term
``institution of higher education'' has the meaning given the
term in section 101 of the Higher Education Act of 1965 (20
U.S.C. 1001).
(4) Research institution.--The term ``research
institution'' means an institution of higher education, a
medical center affiliated with an institution of higher
education, independent research institution, or other nonprofit
organization that receives funding from a Federal research
funding agency for research purposes.
SEC. 4. RESEARCH POLICY BOARD.
(a) In General.--Not later than one year after the date of the
enactment of this Act, the Director of the Office of Management and
Budget, in coordination with the Director of the Office of Science and
Technology Policy, shall establish a Research Policy Board (in this
section referred to as the ``Board'') to review proposed Federal
regulations as well as major policies and guidance governing the
conduct of scientific and engineering research at research
institutions.
(b) Membership.--The Board shall be composed of no more than 15
members, including--
(1) representatives from nonprofit associations
representing research institutions;
(2) administrators from research institutions;
(3) stakeholders from the scientific and engineering
research community, including at least one externally funded
researcher who does not hold an administrative position; and
(4) senior research policy officials from Federal research
funding agencies capable of addressing a broad range of policy
issues regarding the conduct of academic research and with
significant input into that agency's decisionmaking regarding
the regulatory process, including representatives from--
(A) the National Institutes of Health;
(B) the National Science Foundation; and
(C) the Department of Defense.
(c) Compensation.--Members of the Board from organizations outside
the Federal Government shall serve in a representative capacity and
shall not be appointed as a special government employee or receive a
salary as a Federal employee, but may receive travel expenses,
including per diem in lieu of subsistence, in accordance with
applicable provisions under subchapter I of chapter 57 of title 5,
United States Code.
(d) Co-Chairs.--The Board shall be co-chaired by--
(1) the Associate Administrator for the Academic Research
Enterprise, appointed pursuant to subsection (g); and
(2) a member of the Board who satisfies the criteria
described in paragraph (1), (2), or (3) of subsection (b),
appointed by the President.
(e) Duties.--In general, the Board shall--
(1) provide advice to the Director of the Office of
Management and Budget, the Director of the Office of Science
and Technology Policy, and the heads of Federal research
funding agencies on actions that each could take to make
Federal regulation of the academic research enterprise more
efficient and less burdensome;
(2) promote a comprehensive approach to regulating the
academic research enterprise at the Federal level and to
improve and maintain a Federal regulatory environment that is
conducive to efficient performance of the Federal-university
research partnership, including identification of regulations
that are duplicative or impose significant costs or unnecessary
burdens;
(3) meet not less than semiannually;
(4) facilitate efforts within the Federal Government to
coordinate new and existing regulations, policies, guidance,
and application and reporting formats;
(5) review existing regulations, policies, and guidance
documents that may be outmoded, ineffective, insufficient, or
excessively burdensome, with the goal of modifying,
streamlining, or repealing, as needed;
(6) identify legislative mandates that Federal agencies and
research institutions believe are unnecessary or outdated;
(7) recommend ad hoc working groups to address particular
regulations, policies, and guidance documents reviewed or
identified by the Board under paragraph (5) or (6) governing
the research enterprise that are under development or targeted
for reform;
(8) provide for coordination of regulations among Federal
agencies and maximize consultation with the groups affected by
Federal research regulations at an early stage;
(9) assist research agencies in fostering a culture of
integrity at research institutions in order to achieve the
highest standards in institutional and individual behavior; and
(10) submit to the Committee on Health, Education, Labor,
and Pensions, the Committee on Commerce, Science, and
Transportation, and the Committee on Homeland Security and
Government Affairs of the Senate, and the Committee on Energy
and Commerce, the Committee on Science, Space, and Technology,
and the Committee on Oversight and Government Reform of the
House of Representatives, an annual report on progress made by
the Board toward reforming and streamlining research
regulations, policies, and guidance documents, and make such
report publicly available.
(f) Submission of Regulatory Plans.--The head of each Federal
research funding agency shall--
(1) provide to the Board a regulatory plan, to be updated
annually, with regulations, policies, and guidance documents
that the agency head expects to issue in proposed or final form
during the upcoming fiscal year to facilitate review by the
Board;
(2) include, to the extent possible, alternatives to be
considered and preliminary estimates of costs and benefits of
the items contained in the plan; and
(3) submit to the Board draft regulatory actions, policies,
and guidance documents as the documents become available.
(g) Associate Administrator for the Academic Research Enterprise.--
Not later than one year after the date of the enactment of this Act,
the President, after consultation with the Director of the Office of
Management and Budget and the Director of the Office of Science and
Technology Policy, shall appoint from among the current full-time
equivalent employees or individuals employed pursuant to the
Intergovernmental Personnel Act of 1970 (42 U.S.C. 4701 note) within
the Office of Information and Regulatory Affairs an Associate
Administrator for the Academic Research Enterprise. The Associate
Administrator shall--
(1) serve as a liaison between the Office of Information
and Regulatory Affairs and the Office of Science and Technology
Policy;
(2) act as Co-Chair of the Board;
(3) meet with representatives from Federal agencies,
research institutions, and other Federal and non-Federal
stakeholder entities relevant to the Federal research
enterprise several times per year; and
(4) establish working groups from the members of the Board,
which may include non-Board members with relevant expertise to
working groups as recommended by the Board, to address
particular regulations, policies, and guidance documents
governing the Federal research enterprise that are under
development or targeted for reform by the Board.
(h) Applicability of FACA.--The Research Policy Board shall be
treated as an advisory committee subject to the Federal Advisory
Committee Act.
(i) Comptroller General Report.--Not later than 24 months after the
establishment of the Board, and every 24 months thereafter, the
Comptroller General shall submit to Congress and make publicly
available a report that--
(1) assesses the performance of the Board, including the
quality of collaboration between the non-Federal and Federal
members of the Board to advise on the regulatory process
(including the development, reform, and harmonization of
regulations, policies, and guidance documents), including
whether--
(A) the Federal agency heads presented the
regulatory plans required by subsection (f);
(B) the non-Federal members had the opportunity to
effectively comment on such plans;
(C) the comments had an impact on the final rules
developed; and
(D) working groups were established as required by
subsection (g)(4);
(2) makes recommendations for improving collaboration, as
necessary, for accomplishing the requirements of this section;
(3) assesses the degree to which Federal research funding
agencies and the Office of Management and Budget take into
account the input of the Board when promulgating new
regulations, policies, and guidance documents, or harmonizing
or reforming existing regulations and policies; and
(4) considers any other issues which the Comptroller
General may find relevant to the performance and purposes of
the Board.
(j) Sunset.--The provisions of this section shall expire ten years
after the date of enactment of this Act.
SEC. 5. EXCEPTIONS TO SUBRECIPIENT MONITORING UNDER THE SINGLE AUDIT
ACT.
(a) In General.--The Director of the Office of Management and
Budget shall exempt prime grant-receiving institutions from the
monitoring of a subrecipient's single audit of institutional systems
and business practices related to the requirements under chapter 75 of
title 31, United States Code, if--
(1) the prime and subrecipient are research institutions
subject to audits under such chapter; and
(2) the subaward is for the performance of work that is
required to be listed on a recipient's schedule of expenditures
of Federal awards.
(b) Single Audit Defined.--In this section, the term ``single
audit'' means the practices related to the requirements under chapter
75 of title 31, United States Code, as implemented in part 200 of title
2, Code of Federal Regulations.
SEC. 6. MICRO-PURCHASE THRESHOLD FOR PROCUREMENT SOLICITATIONS BY
RESEARCH INSTITUTIONS.
(a) Micro-Purchase Threshold.--Except as provided in subsection
(b), the threshold for purchases by research institutions using Federal
grant funds without requiring competitive quotations shall be not less
than $10,000, adjusted periodically to account for inflation.
(b) Reviews and Audits Required for Higher Threshold.--The Director
of the Office of Management and Budget may revise the threshold for
purchases referred to in subsection (a) to be greater than $10,000 if
the Director determines that procurement system reviews and single
audits support the higher threshold.
(c) Strategic Sourcing Agreements.--For purchases referred to in
subsection (a), the Director shall encourage research institutions to
use strategic sourcing agreements to assure favorable pricing on high
volume, low-cost purchases.
(d) Additional Exception for Procurement by Noncompetitive
Proposals.--For a purchase referred to in subsection (a) that exceeds
the threshold applicable under subsection (a) or (b), the Director may
allow the purchase to be carried out through solicitation of a proposal
from only one source, but only if the procurement is necessary for
research, scientific, or other programmatic reasons, such as instances
in which the purchase is for a specialized service or of a necessary
quality that is available only from a single vendor, or if only one
vendor can deliver in the required time frame.
(e) Uniform Guidance.--The Director shall revise the Uniform
Guidance to conform with the requirements of this section. For purposes
of the preceding sentence, the term ``Uniform Guidance'' means the
uniform administrative requirements, cost principles, and audit
requirements for Federal awards contained in part 200 of title 2 of the
Code of Federal Regulations.
SEC. 7. SHARED DATABASE OF RESEARCHER INFORMATION.
(a) Establishment.--The Director of the Office of Science and
Technology Policy shall establish a working group within the National
Science and Technology Council with the responsibility to coordinate
Federal research funding agency policies in developing a central
database of researcher information, including researchers' expertise,
employment, education, and professional accomplishments, for use by
research institutions in applying for research grants from Federal
scientific funding agencies.
(b) Responsibilities.--The working group shall--
(1) identify the policy issues and barriers that must be
addressed in developing such a database;
(2) ensure that the database provides a single source of
information for research profiles across Federal research
funding agencies, including, to the extent practicable,
information on researchers' current and pending Federal
support, expertise, employment, education professional
accomplishments, and other items as appropriate;
(3) work to reduce the administrative burden associated
with Federal grant submission and reporting requirements by use
of the database across Federal research funding agencies;
(4) ensure that the database developed is the least
burdensome possible for research institutions applying for
Federal grants that still allows for the collection of
information necessary for Federal research funding agencies;
(5) determine whether the database can be made more
efficient through linkages to databases developed under the
public access plans of Federal research funding agencies
(pursuant to the memorandum on ``Increasing Access to the
Results of Federally Funded Scientific Research'' published by
the Office of Science and Technology Policy on February 22,
2013);
(6) determine how to best leverage resources on researcher
information from non-Federal sources such as researcher
identifiers;
(7) ensure that the database cross-references other Federal
award databases, including any system of award management
operated by the Government Services Administration; and
(8) recommend a Federal research funding agency to
administer the database.
(c) Report to Congress.--Not later than one year after the date of
enactment of this Act, the Director shall transmit a report to the
Committee on Health, Education, Labor, and Pensions, the Committee on
Commerce, Science, and Transportation, the Committee on Homeland
Security and Government Affairs, the Committee on Energy and Natural
Resources, and the Committee on Armed Services of the Senate, and the
Committee on Armed Services, the Committee on Energy and Commerce, the
Committee on Science, Space, and Technology, and the Committee on
Oversight and Government Reform of the House of Representatives,
describing the actions taken develop the database described in
subsection (a).
SEC. 8. MODIFICATION OF DUTIES OF INSPECTORS GENERAL AT RESEARCH
AGENCIES.
(a) Unresolved Inspector General Recommendation.--The head of any
Federal research funding agency that has received a recommendation from
the Inspector General for that agency that the Inspector General
determines has not been adequately resolved, shall annually provide to
such Inspector General a written explanation why the recommendation has
not been acted upon and the status within the agency of resolving the
recommendation.
(b) Agency Determination.--If the head of a Federal research
funding agency receives a recommendation described in subsection (a)
and determines that the recommendation has been adequately resolved,
the head of that agency shall be exempt from the requirements of
subsection (a) for that recommendation and any substantially similar
recommendation after providing the Inspector General for that agency
with a written explanation of the determination of the head of the
agency.
(c) Unsustained Findings.--For each audit of a research institution
conducted by an Inspector General, the Inspector General shall include
in each public report, including the semiannual report required under
section 5 of the Inspector General Act of 1978 (5 U.S.C. App.), only
such disallowed costs found in the audit which are sustained by the
head of the agency.
SEC. 9. REVIEW OF PAPERWORK REDUCTION ACT ESTIMATES.
(a) In General.--The Director of the Office of Management and
Budget shall--
(1) periodically review estimates of the hours spent by
research institutions to meet the burdens imposed by Federal
research funding agencies submitted in accordance with
subchapter I of chapter 35 of title 44, United States Code
(commonly referred to as the Paperwork Reduction Act); and
(2) determine whether the estimates of hours are reasonable
and based on consistent metrics across Federal research funding
agencies.
(b) Agency Response to Burden Hour Estimates.--During the
development of burden hour estimates, the head of the Federal research
funding agency developing the estimate shall be required to respond to
all comments regarding the reasonableness of burden hour estimates.
(c) Finding.--If the Director determines that the estimates of
hours described in subsection (a) for a particular Federal research
funding agency is not reasonable and consistent, the head of the agency
shall submit to the Director--
(1) revised estimates; or
(2) if the estimates are not revised, a justification for
such estimates.
(d) Burden Defined.--In this section, the term ``burden'' has the
meaning given that term in section 3502 of title 44, United States
Code.
SEC. 10. PUBLIC ACCESS WORKING GROUP DUTIES.
Section 103(b) of the America COMPETES Reauthorization Act of 2010
(42 U.S.C. 6623(b)) is amended--
(1) in paragraph (9), by striking ``and'' at the end;
(2) in paragraph (10), by striking the period at the end
and inserting ``; and''; and
(3) by adding at the end the following new paragraph:
``(11) examine the procedures of Federal science agencies
regarding requirements for providing public access to the
results of federally funded research and identify methods for
reducing the burdens of compliance on funded researchers,
university research administrators, publishers, and others
impacted by agency public access policies.''.
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