Office of Inspector General Review of Awardee Implementation of NSF's Requirement for a Responsible Conduct of Research Program

Forms and Documents

Document Name	Status
OMB response COGR (2).pdf Supplementary Document	2013-08-02
OMB response.pdf Supplementary Document	2013-08-02
Supporting Statement Part B.docx Supporting Statement B	2013-05-28
Supporting Statement Part A.docx Supporting Statement A	2013-05-28

IC Document Collections

IC ID	Document Title	Status
207084	Questions for Students/Post-Docs on an RCR Program Other-RCR Questions - Students and Post-docs	New
207083	Questions for an RCR Program Administrator Other-RCR Questions - Aministrator	New
207082	Senior-level RCR Questions Other-RCR Questions - Sr. level	New
207081	Introductory Letter - Pre-interview information request Other-Introductory letter	New

ICR Details

OMB Control No: 3145-0227	ICR Reference No: 201305-3145-002
Status: Historical Active	Previous ICR Reference No:
Agency/Subagency: NSF	Agency Tracking No:
Title: Office of Inspector General Review of Awardee Implementation of NSF's Requirement for a Responsible Conduct of Research Program
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 08/02/2013
	Date Received in OIRA: 05/31/2013
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2016	36 Months From Approved
Responses	200	0	0
Time Burden (Hours)	200	0	0
Cost Burden (Dollars)	9,560	0	0

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Abstract: The America COMPETES Act section 7009 (codified at 42 U.S.C. § 1862o-1) required the National Science Foundation to ensure that "each institution that applies for financial assistance from the Foundation for science and engineering research or education describe in its grant proposal a plan to provide appropriate training and oversight in the responsible and ethical conduct of research...." NSF's implementation of this requirement is described in the NSF Proposal and Award Policies and Procedures Guide, Part II - Award and Administration Guide, Chapter IV, Part B and is available at nsf.gov/pubs/policydocs/pappguide/nsf11001/aag_4.jsp#IVB. This information collection is necessary for review of institutional compliance with the responsible conduct of research ("RCR") requirement. NSF OIG will use the data collected to inform the Foundation and Congress whether current responsible conduct of research programs comply with the COMPETES Act and NSF's requirement, and to make recommendations to NSF to strengthen these programs if necessary. In particular, there is a similar requirement by the National Institutes of Health for awardees to have an RCR training program, and the approach is quite different from NSF's. It would be useful for NSF to know whether there are elements of NIH's RCR implementation that NSF should consider implementing as well. The results of the information collection will also assist NSF OIG in developing an RCR oversight plan.

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Authorizing Statute(s): US Code: 42 USC 1861 et seq. Name of Law: National Science Foundation Act of 1950, as amended
  

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:
	77 FR 56876	09/14/2012
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 32693	05/31/2013
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 4

IC Title	Form No.	Form Name
Questions for an RCR Program Administrator
Senior-level RCR Questions
Introductory Letter - Pre-interview information request
Questions for Students/Post-Docs on an RCR Program

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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	200	0	0	200	0	0
Annual Time Burden (Hours)	200	0	0	200	0	0
Annual Cost Burden (Dollars)	9,560	0	0	9,560	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: This is a new information collection for NSF.

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Annual Cost to Federal Government: $13,823

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: 05/31/2013

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