1028-0096 SS-A Climate Center CSC 2016-12-22

Supporting Statement A

Department of the Interior Regional Climate Science Centers here

OMB Control Number 1028-0096

Terms of Clearance: None.

Justification

1. Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection.

In September 2009, Secretary of the Interior Salazar issued Secretarial Order 3289 (https://www.doi.gov/climate/strategy). Among other provisions, the Order broadened the mandate of the National Climate Change and Wildlife Science Center (NCCWSC) to include providing science on climate change-related impacts on the full array of resources, not limited to wildlife, fish, and aquatic and terrestrial habitats. The establishment of the DOI Climate Science Centers (CSCs) provided an excellent opportunity to take a broad and integrated approach to developing research, models, and tools for natural and cultural resource adaptation strategies.

Pursuant to P.L. 110-161 and Secretarial Order 3289 (https://www.doi.gov/climate/strategy), and consistent with its mission, the USGS National Climate Change and Wildlife Science Center (NCCWSC) has developed eight Climate Science Centers (CSC), acting on behalf of the Department of the Interior (DOI). CSCs provide climate change impact science and information geared to the needs of natural and cultural resource managers as they develop adaptation strategies in response to climate change. These DOI CSCs were developed in close collaboration with Interior agencies and other federal, state, university, and non-governmental partners.

The NCCWSC has the responsibility to manage the eight DOI CSCs, which are generally co-located at cooperating universities. The DOI CSCs include USGS staff that report to a national USGS office, and may include other DOI and Federal staff. For example the BIA is soliciting for tribes and tribal organizations to provide BIA-funded climate science liaisons to be stationed at CSCs. The NCCWSC works in close partnership with the climate change science and natural and cultural resource management communities to understand high priority science needs and to develop science information tools that can help resource managers develop strategies for responding to climate change. This program provides funding for researchers through cooperative agreements that involve climate change science as a major component.

Eight DOI CSCs have been established as partnerships with one or more non-federal entity, all but one of which was selected through a competitive selection process. The exception was the University of Alaska, which was selected in a sole source arrangement. CSCs were established in 2010, 2011, and 2012. The cooperative agreements to host CSCs were established with five year terms. For a variety of reasons, some or all of these agreements may be extended.

This information collection addresses the invitation to parties to propose to host Climate Science Centers at the termination of the initial agreements reached in 2010-2012, and continuing responsibilities of cooperators for annual performance and financial reports on both the “Hosting Agreements” and cooperative agreements and grants received by Hosting Agreement cooperators, each of which carries its own reporting requirements.

This information collection includes updated and improved information on the number of reports required or expected of cooperators/grantees, and the burden associated with meeting these requirements.

2. Indicate how, by whom, and for what purpose the information is to be used. Except for a new collection, indicate the actual use the agency has made of the information received from the current collection. Be specific. If this collection is a form or a questionnaire, every question needs to be justified.

Program Announcement Information Collection. Leading up to the 2010-2012 cooperator selection for hosting Climate Science Centers, information was collected to identify the preferred locations / institutional partners for Climate Science Centers. This was a full and open competition announced on Grants.gov (as noted above, with the exception of the Alaska CSC, which was awarded non-competitively to the University of Alaska-Fairbanks). Cooperative agreements resulting from this process are referred to as Hosting Agreements.

USGS will re-compete these awards, with release of a program announcement (request for proposals) planned for April 2016 (for CSCs established in 2010), April 2017 (for CSCs established in 2011), and April 2018 (for CSCs established in 2012). Planned start dates would be approximately 10-12 months following release of the program announcement.

The program announcement will request information from proposed hosts concerning proposed

• Faculty and staff to work on the project, both at the main host institution and any “consortium” members

• Space to be allocated for the CSC

• Funding for and education / training proposed for graduate and undergraduate students

• Employment of post-doctoral researchers and the topics they are proposed to research

• Administrative support for the CSC and its research awards

• Communications, information technology, program management and related capabilities

• In-kind and financial commitments from the proposed hosts.

These proposals will be retrieved from Grants.gov, reviewed by administrative staff to prepare summaries, and distributed (electronically, via a proposal management system) to reviewers. Reviewers will review and provide preliminary rankings, followed by an in-person / phone meeting to discuss rankings and develop a consensus recommendation. USGS will the enter negotiations with selected candidate awardees.

The Hosting Agreement process is completed for each CSC approximately every five years. Hosting Agreements that result from this Program Announcement are usually five years in duration but may be extended or terminated early. Thus, USGS may release program announcements in three of every five years, as shown below.

CSC	Years
	1	2	3	4	5	6	7	8	9	10	11
NW, AK, SE	X					X					X
SC, NC		X					X
PI, NE, SC			X					X

Simplified schematic showing the timing of program announcements to serve as CSC hosts. The eight CSCs are divided into three groups, and these groups are competed (re-competed) on a roughly five year basis, with three in an initial year, two in the following year, and the final three in the third year. (Two-letter acronyms refer to CSC names: AK = Alaska, NW = Northwest, SE = Southeast, etc.)

Successful proposers (i.e. those with whom USGS enters a Hosting Agreement) are eligible for research funding, which may be provided as cooperative agreements or grants. Each of these is awarded after a separate process, including solicitation and review.

Both Hosting Agreements and Research Agreements include requirements for financial and progress reporting.

Ongoing Reporting Information Collection. Currently, with existing awardees, and when new agreements are established under the process described above, cooperators are required to submit annual financial and performance reports. These are used by USGS staff to assess the performance of the cooperator against substantive goals and financial plans.

Information is collected via the following required reports. All cooperators are required to file (1) annual progress reports, (2) an annual financial report, (3) a final technical report (within 90 days of the end of the period of performance) and (4) a final financial statement (within 90 days of the end of the period of performance). Both annual and final financial reports are completed using Standard Form 425). Progress reports and final technical report are prepared according to guidance in the Cooperative Agreement. This oversight is a basic part of CSC and NCCWSC management and administration, and is required to ensure that financial activities are matching project progress (i.e. drawdowns are proceeding as expected). This collection submission does not include burden hours / costs associated with financial statements as they used Standard Form 425.

3. Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also describe any consideration of using information technology to reduce burden and specifically how this collection meets GPEA requirements.

Proposals to host CSCs are submitted electronically via the standard Grants.gov portal. Annual and financial reports (SF425) are submitted via the FedConnect Message Center (fedconnect.net). Annual progress and final technical report are provided by email to the relevant CSC offices.

4. Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purposes described in Item 2 above.

Due to the unique nature of this program and authorizing legislation, no other Federal agency collects this information. No duplication will occur.

5. If the collection of information impacts small businesses or other small entities, describe any methods used to minimize burden.

While this collection of information does not specifically impact small businesses, it is possible that one or more small businesses would propose to host or be part of a CSC consortium (host plus other collaborators). We have made efforts to keep the amount of information requested to a minimum. The information has to be sufficient to fulfill the requirements of the National Climate Change and Wildlife Science Center, as well as sufficient to make a competitive funding decision.

6. Describe the consequence to Federal program or policy activities if the collection is not conducted or is conducted less frequently, as well as any technical or legal obstacles to reducing burden.

Under the Stafford Act (P.L. 93–288; Sec. 202), the Department of the Interior has the

responsibility to provide timely and high quality scientific information and products, in this case relating to climate change and impacts on DOI lands and throughout the United States, in general. Failure to collect this information would result in a deficiency to comply with the congressional mandate to establish these centers and the inability to inform decision makers, develop adaptive management strategies, and mitigate the risks to natural resources associated with climate change.

7. Explain any special circumstances that would cause an information collection to be conducted in a manner:

* requiring respondents to report information to the agency more often than quarterly;

* requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it;

* requiring respondents to submit more than an original and two copies of any document;

* requiring respondents to retain records, other than health, medical, government contract, grant-in-aid, or tax records, for more than three years;

* in connection with a statistical survey that is not designed to produce valid and reliable results that can be generalized to the universe of study;

* requiring the use of a statistical data classification that has not been reviewed and approved by OMB;

* that includes a pledge of confidentiality that is not supported by authority established in statute or regulation, that is not supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of data with other agencies for compatible confidential use; or

* requiring respondents to submit proprietary trade secrets, or other confidential information, unless the agency can demonstrate that it has instituted procedures to protect the information's confidentiality to the extent permitted by law.

There are no circumstances that require us to collect the information in a manner inconsistent with OMB guidelines.

8. If applicable, provide a copy and identify the date and page number of publication in the Federal Register of the agency's notice, required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and in response to the PRA statement associated with the collection over the past three years, and describe actions taken by the agency in response to these comments. Specifically address comments received on cost and hour burden.

Describe efforts to consult with persons outside the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported.

Consultation with representatives of those from whom information is to be obtained or those who must compile records should occur at least once every three years — even if the collection of information activity is the same as in prior periods. There may be circumstances that may preclude consultation in a specific situation. These circumstances should be explained.

The 60-day FRN was published September 1, 2015, at 80 FR 52786. No public comments were received as a result of this notice.

The recompetition of the awards for hosting climate science centers is a major activity of the National Climate Change and Wildlife Science Center (NCCWSC). We are undertaking an external review of the performance of individual CSCs and of the network strategy as a whole. This review is now underway, with Cornell University as the lead, and several professional societies and universities providing expertise. Reviews will be conducted for the CSCs to be recompeted in the next three years (i.e. for those to be recompeted in 2016, the review will be completed prior to release of the RFP). In addition, we (NCCWSC) are undertaking reviews of the operational aspects of the relationship with current awardees (e.g. provision of space, management of office responsibilities, etc.). These activities will provide substantive input for the revised program announcement.

The format of the program announcement is standard and straightforward, covering the substantive objectives, eligibility, timelines, submission requirements, review process and criteria, financial information needs and format, etc. and will be embedded within the Grants.gov application system, which has its own standard (and non-modifiable) requirements.

Annual progress reports follow formats provided by the relevant Climate Science Center.

Regarding consultation with representatives of those from whom information is to be obtained or those who must compile records: USGS has conducted “mid-course reviews” of the five year agreements entered for hosting Climate Science Centers in the third year of the agreements. There were informal reviews intended to share information about implementation and identify areas to be worked on in the future. In at least four of the eight mid-course reviews, sessions were held with representatives from the offices responsible for proposals, grant management, and financial reporting. These meetings provided some of the updated information on the number of reports and the burden of preparing and filing these reports, information which is reflected in the tables below. In addition, discussions included issues such as clarification of the content and timing of various reports, given timetables for reporting of sub-awardees. The development of an on-line report submittal mechanism (see #3 above) was also discussed, and supported by these offices.

These reviews were undertaken with the entities that host Climate Science Centers (i.e. eight universities). These are: University of Massachusetts-Amherst, North Carolina State University; University of Oklahoma; Colorado State University; University of Arizona; Oregon State University; University of Alaska-Fairbanks, and University of Hawaii-Manoa.

9. Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.

We do not provide gifts or payments other than the remuneration of awards.

10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy.

Proposals submitted to USGS, either for Hosting Agreements or research agreements, are treated as the intellectual property of the proposer and are not released without approval of the proposer.

Periodic financial and progress reports submitted under these agreements are public information.

Information generated under these agreements – research findings, data, and the like – are intended for use in public and private decision making and are released publicly via the USGS website and other means.

11. Provide additional justification for any questions of a sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private. This justification should include the reasons why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to persons from whom the information is requested, and any steps to be taken to obtain their consent.

We do not ask questions of a sensitive nature.

12. Provide estimates of the hour burden of the collection of information. The statement should:

* Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated. Unless directed to do so, agencies should not conduct special surveys to obtain information on which to base hour burden estimates. Consultation with a sample (fewer than 10) of potential respondents is desirable. If the hour burden on respondents is expected to vary widely because of differences in activity, size, or complexity, show the range of estimated hour burden, and explain the reasons for the variance. Generally, estimates should not include burden hours for customary and usual business practices.

* If this request for approval covers more than one form, provide separate hour burden estimates for each form and aggregate the hour burdens.

* Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories. The cost of contracting out or paying outside parties for information collection activities should not be included here.

RESPONSE TO PROGRAM ANNOUNCEMENT (REQUEST FOR PROPOSALS TO ENTER “HOSTING AGREEMENTS”) CSC Program Announcements to solicit Hosting Agreement proposals are issued approximately three out of five years by USGS, because Hosting Agreements are approximately five years long, and there are three groups of CSCs, which are competed in different years. In any given year, in which two or three CSCs are re-competed USGS expects approximately 15 proposals. Each proposal is expected to consume 200 hours of staff time for development, negotiation, and submittal of all required documents.
Participant / Activity	Number of Responses		Minutes per response		Burden Hours	Burden Value
Committed State, local, tribal proposer. Prepare and submit proposal*	15		12,000		3000	$ 135,690
TOTAL					3000	$ 135,690
* Proposal preparation is a large complex and often multi-institutional operation. We have assumed 200 hours total per proposal. Used average hourly compensation for State and Local Government, ECEC http://www.bls.gov/news.release/ecec.t03.htm, released 6/09/2016
Rate used was:		$ 45.23
Assume tribal rates were similar.
PROGRESS REPORTS -- HOSTING AGREEMENTS Hosting Agreements include requirements for an annual progress report. There are eight CSCs, resulting in 8 total reports per year.
Participant / Activity	Number of Responses		Minutes per response		Burden Hours	Burden Value
Cooperator State, local, tribal government. Prepare financial and program reports*	8		150		20	$ 905
TOTAL						$ 905
* Each annual report is expected to require 2.5 burden hours. Used average hourly compensation for State and Local Government, ECEC http://www.bls.gov/news.release/ecec.t03.htm, released 6/09/2016
Rate used was:		$ 45.23
Assume tribal rates were similar.

PROGRESS OR FINAL REPORTS -- RESEARCH AGREEMENTS Entities with Hosting Agreements are also eligible to receive funding for research activities. These are covered in separate cooperative agreements or grants, require annual progress reports. We estimate that there are forty active or closing research projects at any time across the eight CSCs.
Participant / Activity	Number of Responses		Minutes per response		Burden Hours		Burden Value
Cooperator State, local, tribal government. Prepare progress reports	40		150		100		$4,523
TOTAL							$ 4,523
Each annual report is expected to require 2.5 burden hours per progress report (40 total). Used average hourly compensation for State and Local Government, ECEC http://www.bls.gov/news.release/ecec.t03.htm, released 6/09/2016
Rate used was:		$ 45.23
Assume tribal rates were similar.

SUMMARY OF STATE, LOCAL, TRIBAL GOVERNMENTAL BURDEN

Collection of Information	Burden Hours	Burden Value
Response to Program Announcement – for years in which hosting agreement is competed.	3000	$135,690
Progress Reports – Hosting Agreements – every year	20	$905
Progress Reports – Research Agreements – every year	100	$4,523
TOTAL - Hosting Agreement Competition Years (Response to “RFP” plus Annual Progress Reports)	3120	$141,118

Used average hourly compensation for State and Local Government, ECEC http://www.bls.gov/news.release/ecec.t03.htm, released 6/09/2016
Rate used was:	$ 45.23
Assume tribal rates were similar.

13. Provide an estimate of the total annual non-hour cost burden to respondents or recordkeepers resulting from the collection of information. (Do not include the cost of any hour burden already reflected in item 12.)

* The cost estimate should be split into two components: (a) a total capital and start-up cost component (annualized over its expected useful life) and (b) a total operation and maintenance and purchase of services component. The estimates should take into account costs associated with generating, maintaining, and disclosing or providing the information (including filing fees paid for form processing). Include descriptions of methods used to estimate major cost factors including system and technology acquisition, expected useful life of capital equipment, the discount rate(s), and the time period over which costs will be incurred. Capital and start-up costs include, among other items, preparations for collecting information such as purchasing computers and software; monitoring, sampling, drilling and testing equipment; and record storage facilities.

* If cost estimates are expected to vary widely, agencies should present ranges of cost burdens and explain the reasons for the variance. The cost of purchasing or contracting out information collection services should be a part of this cost burden estimate. In developing cost burden estimates, agencies may consult with a sample of respondents (fewer than 10), utilize the 60-day pre-OMB submission public comment process and use existing economic or regulatory impact analysis associated with the rulemaking containing the information collection, as appropriate.

* Generally, estimates should not include purchases of equipment or services, or portions thereof, made: (1) prior to October 1, 1995, (2) to achieve regulatory compliance with requirements not associated with the information collection, (3) for reasons other than to provide information or keep records for the government, or (4) as part of customary and usual business or private practices.

There is no non-hour cost burden to applicants resulting from this collection. There are no fees associated with application process or requirements.

14. Provide estimates of annualized cost to the Federal government. Also, provide a description of the method used to estimate cost, which should include quantification of hours, operational expenses (such as equipment, overhead, printing, and support staff), and any other expense that would not have been incurred without this collection of information.

The Total Cost to Federal Government is $19,171. This cost is based upon past Federal salary expenditures necessary to review proposals and required reports. Details below.

REVIEW OF PROPOSALS
	Grade /	Hourly	Total Hours	Fully Loaded	Total
Position	Step	Rate	Federal	Hr Rate	Labor Value
NCCWSC Director	15/8	$76.08	20	$114.12	$2,282
NCCWSC Deputy Director	15/4	$67.03	20	$100.55	$2,011
NCCWSC Science Coordinator	15/4	$68.58	20	$102.87	$2,057
NCCWSC Information Coordinator	14/10	$67.34	20	$101.01	$2,020
NCCWSC Policy/ Partnership Coordinator	15/10	$76.60	20	$114.90	$2,298
Program Analyst (2)	GS 9/1	$25.71	20	$38.57	$771
Agency Reviewer (6)	GS 15/1	$59.63	60	$89.45	$5,367
Federal Govt cost			180		$16,806

Proposals for hosting Climate Science Centers are among the largest / most consequential decisions of the organization. There are three labor groups represented in the table above.

• “Agency Reviewers” are senior members from other bureaus and departments who are members of the Technical Review Committee for this selection. Each members has lead review responsibility for one or more proposal but reviews and ranks all proposals

• “Program Analysts” are administrative staff who managing intake, oversee the review software, and identify specific cost proposal items

• NCCWSC senior staff (Policy and Partnership, Information, Science, etc.) are the senior decision making team, often conduct site visits to candidate universities, and prepare all final documentation.

REVIEW OF ANNUAL PROGRESS REPORTS
	Grade /	Hourly		Total Hours		Fully Loaded		Total
Position	Step	Rate		Federal		Hr Rate		Labor Value
Climate Science Center Director (s)	15/4	$68.58		8		$102.87		$823
Program Analyst	GS 9/1	$25.71		20		$38.57		$771
Program Analyst	GS 9/1	$25.71		20		$38.57		$771
Federal Govt cost				48				$2,365
BOTH TABLES: Source for base Hourly Rate salary information: USGS BASIS+ system. The Fully Loaded rates are reported at Hourly Rate x 1.5.

Review of annual progress reports requires review by the Director of the relevant Climate Science Center.

15. Explain the reasons for any program changes or adjustments in hour or cost burden.

This application has an additional 723 responses and an additional 25202320 burden hours. Changes from previous applications result from (1) this application covers the submission of proposals, which was not addressed previously, and (2) we have gathered information from respondents about the time required to produce annual progress reports. Proposals will only be requested for a specific Center (and thus from respondents in a specific region) once every five years.

16. For collections of information whose results will be published, outline plans for tabulation and publication. Address any complex analytical techniques that will be used. Provide the time schedule for the entire project, including beginning and ending dates of the collection of information, completion of report, publication dates, and other actions.

The information collected will not be tabulated or published for statistical use.

17. If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons that display would be inappropriate.

We will display the OMB control number and expiration date.

18. Explain each exception to the topics of the certification statement identified in "Certification for Paperwork Reduction Act Submissions."

There are no exceptions to the certification statement.

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