Mini Supporting Statement A

Mini Supporting Statement A

NIH/CSR Early Career Reviewer Program Survey II

OMB Control Number: 0925-0474

Expiration Date 2/28/2018

Mary Ann Guadagno, Ph.D.

6701 Rockledge Drive, Room 3182,

Bethesda, MD, 20892-7776

Telephone: 301-435-1251

Fax: 301-594-6363

Email: [email protected]

Mini Supporting Statement A

A.1 Circumstances Making the Collection of Information Necessary

The Center for Scientific Review’s (CSR) mission is to see that NIH grant applications receive fair, independent, expert, and timely reviews – free from inappropriate influences – so NIH can fund the most promising research. CSR is engaged in a new initiative to closely examine the grant application and peer review process. The aims include identification of procedures and practices that are most beneficial in accomplishing the Center’s mission as well as identifying any aspects that might make the application and review process vulnerable to bias. The goals of the ECR program are to train and educate qualified scientists without prior CSR review experience; help emerging researchers advance their careers and enrich the existing pool of NIH reviewers by including scientists from less research-intensive institutions. CSR will conduct an online survey under the OMB control number 0925-0474, with expiration date 2/28/2018. The survey will facilitate the evaluation of the ECR program from the perspective of the ECR.

A.2 Purpose and Use of the Information Collection

The information collected will be analyzed and any potential weaknesses in the ECR program will be identified. CSR will work with review staff to develop policies that mitigate any identified problems revealed by this survey. A similar survey was administered in 2012, soon after the initiation of the ECR program. Information provided by respondents informed modifications in ECR program policies and procedures to enhance the positive aspects of the review experience for ECRs. Questions were added to the updated survey to assess respondents’ perceptions of these modifications. In addition, questions were added that probe in a standardized way issues raised in free responses of the respondents. Similar to the initial survey in 2012, the responses will help to improve program policies and procedures to maximize the training and review experiences of ECRs and to accomplish the overall goals of the program. Their feedback is critical to the evaluation of this program.

A.3 Use of Information Technology to Reduce Burden

The survey will be administered online using SPSS software and the data stored on a CSR secured server. A privacy impact assessment on this system of record was last completed on 09/09/2011.

A.4 Efforts to Identify Duplication

The ECR program is managed by the Center for Scientific Review and only CSR staff have access to the names and contact information of ECRs who have served on study sections. Development and administration of surveys is coordinated by the CSR Office of Planning, Analysis, and Evaluation (OPAE). ECR and OPAE staff collaborate on the survey of ECRs who have served on study sections. This collaboration avoids duplication of efforts within CSR.

A.5 Impact on Small Businesses or Other Small Entities

N/A

A.6 Consequences of Collecting the Information Less Frequently

A previous version of this survey was administered in 2012 to the first 236 ECRs that entered the program. No other surveys of ECRs have been conducted since that time. The consequence of collecting feedback less frequently is that recall of the respondents regarding their service at ECRs may be incomplete. For that reason, we will only survey ECRs who served on study sections from 2014 through 2016.

A.7 Special Circumstances Relating to the Guidelines of 5 CFR 1320.5

This survey will be implemented in a manner that fully complies with 5 C.F.R. 1320.5.

A.8 Comments in Response to the Federal Register Notice and Efforts to Consult Outside Agency

N/A

A.9 Explanation of Any Payment of Gift to Respondents

No payments or gifts will be provided to those who complete the survey.

A.10 Assurance of Confidentiality Provided to Respondents

System of Record

The IT system in which the survey information will be stored is feedback.csr.nih.gov. The system was assessed with a Privacy Impact Assessment. The date of the completion of the PIA was 09/09/2011. The Privacy Act applies to this activity. The number of the Privacy Act Systems of Record Notice that covers the information collection is 09-25-0036. This application for OMB Clearance has been completed in consultation with the CSR Privacy Officer, Prema Nair.

Confidentiality

Confidentiality is protected in the CSR secure information system known as feedback.csr.nih.gov through compliance with laws, regulations and other mandates (e.g. Privacy Act, OMB Guidance). Additionally, CSR has in place operational safeguards such as training, education and awareness for PII protection. CSR has also implemented multiple technical security controls to limit access to data, monitor events that affect confidentiality and has an incident response plan to handle breaches to this data. Annual Privacy Impact Assessments (PIA) are held to review and mitigate privacy risks.

It was determined by the CSR Privacy Officer that a Confidentiality Agreement would not be necessary for this proposed project. The existing protections afforded to all reviewers who serve on committees will apply to ECRs.

The survey will include a statement regarding privacy. The information provided will be kept private to the extent allowed by law and not disclosed to anyone but the staff of CSR who process the survey as specified under 42 USC 1306, 20 CFR 401 and 422, 5 USC 552 (Freedom of Information Act), 5 USC 552a (Privacy Act of 1974), Privacy Act System of Records Notice: 09-25-036, and OMB Circular No.A-130.

Respondents will be informed that completion of the survey is strictly voluntary, and that no consequence exists for choosing not to participate.

A.11 Justification for Sensitive Questions

This voluntary survey will not involve personal information of a sensitive nature. The survey will be anonymous. No demographic questions will included in the survey.

A.12.1 Estimated Annualized Burden Hours

We anticipate the recruitment of a census of Early Career Reviewers from its database who submitted applications during 2014 through 2016. This results in 1200 participants who will be invited to complete an online survey. The participants will be recruited from the ECR database of Early Stage Investigators. Using an estimated response time of 10 minutes per online survey the annual burden for applicants is 200 hours (see Table A.12-1).

A.12-1 Estimated Annualized Burden Hours

Form Name	Type of Respondents	Number of Respondents	Number of Responses per Respondent	Average Burden Per Response (in hours)	Total Annual Burden Hour
Online Survey	Adults	1200	1	10/60	200
Total		1200	1		200

A.12-2 ANNUALIZED COST TO RESPONDENTS

A survey of 5,329 colleges published in 2015 in the Chronicle of Higher Education (http://data.chronicle.com/faculty-salaries/) showed that assistant professors across disciplines are earning an average of $68,537 per year for 4 year public schools and $65,813 at 4 year private schools based on a 9 month work year. This can be extrapolated to an average of $89,567 per year based on a 12 month work year and $43.06 per hour based on a 40 hour work week. The vast majority of New Investigators are Assistant Professors. Therefore, this number was used to calculate the annualized costs to respondents.

Based on an estimate of 1200 participants for the online survey, each taking 10 minutes to complete the anticipated average annual respondent cost of the ECR online application is $8,612. According to the report described above, the range in annualized salaries for assistant professors is quite large ($135,180/12 months to $86,208/ 12 months). Therefore, the potential range in annualized cost to respondents is $8,289 at the lower end to $12,998 on the higher end.

A.12-2 ANNUALIZED COST TO RESPONDENTS

Type of Respondents	Total Annual Burden Hour	Hourly Wage Rate*	Total Burden Cost
Adults	200	$43.06	$8612

*http://data.chronicle.com/faculty-salaries/

A.13 Estimate of Other Total Annual Cost Burden to Respondents or Record Keepers

There are no additional cost burdens to respondents other than those described in section A. 12.

A.14 Annualized Cost to the Federal Government

The survey will be developed by ECR staff. The estimate for creation of the survey is 8 hours for the ECR program coordinator and 8 hours for the program analyst. CSR’s Office of Planning, Analysis and Evaluation (OPAE) has estimated that the set-up of the online survey using SPSS software will take each survey team member 4 hours to complete. Administration of the survey pre- and post- survey dissemination will take each survey team member 8 hours to complete, and it is anticipated that analysis of the resulting data will take each survey team member 12 hours. Total estimated cost to the government will be $6670.

Cost Descriptions	Grade/Step	Salary	% of Effort	Fringe* (if applicable)	Total Cost to Gov’t**
Federal Oversight
ECR Coordinator	15/4	$140,892	0.01%	$190 (35%)	$ 732
Senior Scientific Review Officer	15/9	$160,300	0.01%	$647 (35%)	$2,497
Program Analyst	13/10	$119,794	0.01%	$480 (35%)	$1,824
Student Intern	7/1	$ 43,684	0.01%	$176 (35%)	$ 680
Contractor Cost
Program Analyst	11/9	$ 81,200	1%	$625 (50%)	$ 937
Other Cost	N/A	N/A	N/A	N/A	N/A
Total Cost to Government					$6670

*Fringe calculated as % of salary divided by 26 pay periods, divided by 80 hours per pay period multiplied by the total hours for staff effort.

Total Cost to Government calculated as Salary divided by 26 pay periods, divided by 80 hours per pay period for 24 hours total cost to the government for staff effort.

A.15 Explanation for Program Changes or Adjustments

N/A

A.16 Plans for Tabulation and Publication and Project Time Schedule

TABLE 16.1 TIMETABLE SUMMARY
February 22 - March 7, 2016	Create Draft survey and prepare OMB Clearance request.
March 29 - May 2, 2016	Finalize survey and cover letter to CSR Director for approval. Submit OMB Clearance request. Test on-line survey. Draw sample.
May 2 - May 30, 2016	Post survey instrument and send email invitations to participate. Send reminders as needed.
May 31 - June 3, 2016	Download survey responses and input data.
June 3 - July 29, 2016	Analyze coded and narrative data and write reports for CSR management
August 1 - ongoing	CSR management study report and decide if changes need to be implemented.

A.17 Reason(s) Display of OMB Expiration Date is Inappropriate

No exemption is being requested.

A.18 Exceptions to Certification for Paperwork Reduction Act Submissions

This collection of information involved no exceptions to the certification for paperwork reduction act submissions.