Higher Education R&D and FFRDC R&D Surveys

Forms and Documents

Document Name	Status
Part A OMB supp statement for HERD 2016-18.docx Supporting Statement A	2016-07-12
2016-16421.pdf Supplementary Document	2016-07-12
2016-08089.pdf Supplementary Document	2016-07-12
1. HERD 2013-09-16 3145-0100 NOA.pdf Supplementary Document	2016-07-12
11. FFRDC vs Federal Funds differences memo.docx Supplementary Document	2016-07-12
12. Draft HERD FY 2016 contact procedures.docx Supplementary Document	2016-07-12
Part B OMB supp statement for HERD 2016-18.docx Supporting Statement B	2016-07-12

IC Document Collections

IC ID	Document Title	Status
222422	FFRDC Research and Development Survey FY 2016 Other-Survey	New
222417	Higher Education Research and Development Survey Short Form - FY 2016 Other-Survey	New
222416	Higher Education Research and Development Survey - FY 2016 Other-Survey	New
222415	Higher Education Research and Development Survey - population review Other-Survey	New
207426	FY 2013 FFRDC R&D Survey Other-Survey	Removed
207425	FY 2013 Higher Education R&D Survey - short form Other-Survey	Removed
207424	FY 2013 Higher Education R&D Survey Questionnaire Other-Survey	Removed
207423	FY 2013 Higher Education R&D Survey population review questionnaire Other-Survey	Removed

ICR Details

OMB Control No: 3145-0100	ICR Reference No: 201607-3145-001
Status: Historical Active	Previous ICR Reference No: 201306-3145-007
Agency/Subagency: NSF	Agency Tracking No:
Title: Higher Education R&D and FFRDC R&D Surveys
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 09/19/2016
	Date Received in OIRA: 07/12/2016
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2019	36 Months From Approved	09/30/2016
Responses	1,192	0	1,190
Time Burden (Hours)	41,554	0	40,790
Cost Burden (Dollars)	1,412,836	0	1,346,070

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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. This revision does not any changes to the design or protocol; however a few small changes are being made to the instrument for the 2016-2017 renewal.

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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:
	81 FR 20688	04/08/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 45184	07/12/2016
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
FFRDC Research and Development Survey FY 2016
FY 2013 Higher Education R&D Survey population review questionnaire
FY 2013 Higher Education R&D Survey - short form
FY 2013 FFRDC R&D Survey
Higher Education Research and Development Survey - population review
FY 2013 Higher Education R&D Survey Questionnaire
Higher Education Research and Development Survey Short Form - FY 2016
Higher Education Research and Development Survey - FY 2016

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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	1,192	1,190	0	702	-700	0
Annual Time Burden (Hours)	41,554	40,790	0	38,564	-37,800	0
Annual Cost Burden (Dollars)	1,412,836	1,346,070	0	1,314,166	-1,247,400	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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: Minor adjustments made to the surveys

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Annual Cost to Federal Government: $1,380,000

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: 07/12/2016

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