Survey of Research and Development Expenditures at Universities and Colleges, FY 2006 through FY 2008

Forms and Documents

Document Name	Status
OMB Amendment to FY 2011 HERD Survey revised 112811.docx Justification for No Material/Nonsubstantive Change	2011-11-28
OMB Amendment to FY 2011 HERD and FFRDC R&D Surveys.doc Justification for No Material/Nonsubstantive Change	2011-10-05
OMB Amendment to FY 2010 FFRDC R&D Survey.doc Justification for No Material/Nonsubstantive Change	2010-10-19
Response to BEA letter of support 10-05-10.docx Supplementary Document	2010-10-08
OMB HERD passback - SRS response 10-05-10.docx Supplementary Document	2010-10-08
Attachment 3 NSF FY2009 HERD pilot contacts.docx Supplementary Document	2010-07-09
FY 2009 Academic R&D survey advance and cover letters.doc Supplementary Document	2009-08-07
FY 2009 Academic R&D Pop review email.doc Supplementary Document	2009-08-07
Attachment 5 Kauffman letter attachment.pdf Supplementary Document	2009-08-07
Attachment 5 Kauffman Foundation letter of support.pdf Supplementary Document	2009-08-07
Cognitive Site Visit Report Revised 04-02-09.doc Supplementary Document	2009-08-07
Appendix C Quex and Protocls V3.doc Supplementary Document	2009-08-07
31450100 Part B Revision.doc Supplementary Document	2009-08-07
Appendix A Quex and Protocols V1.doc Supplementary Document	2009-08-07
FY 2009 Academic RD Survey clearance request - response to OMB questions July 2009.doc Supplementary Document	2009-08-07
3145-0100, Section B.docx Supporting Statement B	2010-07-09
3145-0100, Section A.docx Supporting Statement A	2010-07-09
OMB Amendment to Academic RD Survey.doc Justification for No Material/Nonsubstantive Change	2007-09-18

IC Document Collections

IC ID	Document Title	Status
193732	HERD Population Screening of Institutions Other-Survey	Unchanged
193731	FY 2010 FFRDC R&D Survey questionnaire Other-Survey	Modified
193730	FY 2010 Higher Education R&D Suvey Questionnaire Other-Survey	Modified

ICR Details

OMB Control No: 3145-0100	ICR Reference No: 201110-3145-001
Status: Historical Active	Previous ICR Reference No: 201010-3145-002
Agency/Subagency: NSF	Agency Tracking No:
Title: Survey of Research and Development Expenditures at Universities and Colleges, FY 2006 through FY 2008
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 12/02/2011
	Date Received in OIRA: 10/05/2011
Terms of Clearance: OMB continues to encourage NCSES to examine differences between Federal agency and institutional reporting on R&D, consistent with the findings of the Committee on National Statistics. Once additional analysis is complete and results shared with OMB and other stakeholders, OMB will consider NCSES proposals to include additional detail in institutional reporting if needed to further understand the sources of such differences at more detailed levels.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2013	10/31/2013	10/31/2013
Responses	2,643	0	2,643
Time Burden (Hours)	43,014	0	42,610
Cost Burden (Dollars)	80,098	0	80,098

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Abstract: The survey provides academic R&D Expenditures data by source and discipline, including research equipment. Data are used for planning and policy formulation related to academic science and engineering infrastructure. Users include Congress, Federal agencies, States, industry, universities, etc. Affected public-higher education and associated federally funded R&D centers.

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Authorizing Statute(s): US Code: 42 USC 1862 Name of Law: National Science Foundation Act of 1950
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 14633	03/26/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 39583	07/09/2010
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 3

IC Title	Form No.	Form Name
FY 2010 Higher Education R&D Suvey Questionnaire
FY 2010 FFRDC R&D Survey questionnaire
HERD Population Screening of Institutions

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	2,643	2,643	0	0	0	0
Annual Time Burden (Hours)	43,014	42,610	0	404	0	0
Annual Cost Burden (Dollars)	80,098	80,098	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Changes in burden hours are a result of the redesign and expansion of the HERD survey and the additional HERD population screening survey. This amendment concerns the FY 2011 Higher Education R&D (HERD) Survey questionnaire. The changes requested are to modify two items on the HERD survey.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? Yes Part B of Supporting Statement

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 10/05/2011

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