Higher Education R&D and FFRDC R&D Surveys

Forms and Documents

Document Name	Status
OMB Amendment to FY 2020 HERD Survey Memo.docx Supplementary Document	2020-10-01
Attachment 5 - FY 2019 HERD Population screening methodology.pdf Supplementary Document	2019-07-15
Attachment 11 - FY 2019 HERD Contact procedures and materials.pdf Supplementary Document	2019-07-15
Attachment 1 - 3145-0100 2016 NOA.pdf Supplementary Document	2019-07-15
Attachment 7 - First Federal Register Notice fo rthe FY2019 HERD Survey.pdf Supplementary Document	2019-07-15
Part A OMB supp statement for HERD.docx Supporting Statement A	2019-07-15
Part B OMB supp statement for HERD.docx Supporting Statement B	2019-07-15

IC Document Collections

IC ID	Document Title	Status
243861	FY 2020 HERD Questionnaire - COVID burden Other-Questionnaire	New
243860	FY 2020 HERD Standard Questionnaire - Personnel Questions Other-Questionnaire	New
222422	FFRDC Research and Development Survey FY 2019 Other-Survey	Unchanged
222417	Higher Education Research and Development Survey Short Form - FY 2016 Other-Survey	Unchanged
222416	Higher Education Research and Development Survey - FY 2019 Other-Survey	Unchanged
222415	Higher Education Research and Development Survey - population review Other-Survey	Unchanged

ICR Details

OMB Control No: 3145-0100	ICR Reference No: 202010-3145-001
Status: Historical Inactive	Previous ICR Reference No: 201907-3145-002
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OIRA Conclusion Action: Withdrawn and continue	Conclusion Date: 11/16/2020
	Date Received in OIRA: 10/02/2020
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2022	36 Months From Approved	08/31/2022
Responses	1,117	0	1,117
Time Burden (Hours)	38,087	0	38,087
Cost Burden (Dollars)	1,333,045	0	1,333,045

---

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.

---

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

Citations for New Statutory Requirements: None

---

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

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 839	03/18/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 62331	10/02/2020
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 6

IC Title	Form No.	Form Name
FFRDC Research and Development Survey FY 2019
Higher Education Research and Development Survey - population review
Higher Education Research and Development Survey Short Form - FY 2016
Higher Education Research and Development Survey - FY 2019
FY 2020 HERD Standard Questionnaire - Personnel Questions
FY 2020 HERD Questionnaire - COVID burden

---

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: The National Center for Science and Engineering Statistics (NCSES) requests approval for an amendment to the OMB clearance for the Higher Education R&D and FFRDC R&D Surveys. This amendment specifically concerns the FY 2020 Higher Education R&D (HERD) Survey questionnaire; it does not apply to the FFRDC questionnaire. NCSES requests a revision to the current question on R&D personnel to collect demographic headcounts (researchers, R&D technicians, R&D support staff) by sex, citizenship, and highest level of education completed and the addition of a new question on the number of full-time equivalents for those personnel. NCSES is also developing questions on the potential disruption to R&D activities at higher education institutions due to the COVID-19 pandemic. Details of the proposed changes are below.

---

Annual Cost to Federal Government: $1,400,000

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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? Yes

---

Common Form ICR:  No

---

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: 10/02/2020

---