NCSES - Higher Education R&D and FFRDC R&D Surveys - FY 2020

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Attachment 17 = FY 2018 HERD Imputation.pdf	Supplementary Document	Uploaded 2020-12-08	Available
Attachment 16 - Contact Materials.pdf	Supplementary Document	Uploaded 2020-12-08	Available
Attachment 15 - HERD 2020 Webinar.pdf	Supplementary Document	Uploaded 2020-12-08	Available
Attachment 14 - HERD FDP Presentation.pdf	Supplementary Document	Uploaded 2020-12-08	Available
Attachment 13 - HERD COVID-19 Cognitive Interview Report.pdf	Supplementary Document	Uploaded 2020-12-08	Available
Attachment 12 - HERD Personnel Questions.pdf	Supplementary Document	Uploaded 2020-12-08	Available
Attachment 11 - HERD 2020 Workshop Summary.pdf	Supplementary Document	Uploaded 2020-12-08	Available
Attachment 10 - FR notice 10-2-2020.pdf	Supplementary Document	Uploaded 2020-12-08	Available
Attachment 9 - NOA for 3145-0174 COVID.pdf	Supplementary Document	Uploaded 2020-12-08	Available
Attachment 8 - NOA for 3145-0174 2020 HERD.pdf	Supplementary Document	Uploaded 2020-12-08	Available
Attachment 4 - America COMPETES Act Reauthorization 2010.pdf	Supplementary Document	Uploaded 2020-12-08	Available
Attachment 1 - NOA for 3145-0100.pdf	Supplementary Document	Uploaded 2020-12-08	Available
Attachment 7 - First Federal Register Notice fo rthe FY2019 HERD Survey.pdf	Supplementary Document	Uploaded 2019-07-15	Available
HERD 2020-2021 OMB SS Section A.docx	Supporting Statement A	Uploaded 2020-12-08	Available
HERD 2020-2021 OMB SS Section B.docx	Supporting Statement B	Uploaded 2020-12-08	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
222422	FFRDC Research and Development Survey FY 2020	Other-Questionnaire	Modified
222417	FY 2020 Higher Education Research and Development Survey Short Form - FY 2016	Other-Survey	Modified
222416	Higher Education Research and Development Survey - FY 2020	Other-Survey	Modified
222415	Higher Education Research and Development Survey - population review	Other-Questionnaire	Modified

ICR Details

OMB Control No: 3145-0100	ICR Reference No: 202012-3145-002
Status: Active	Previous ICR Reference No: 201907-3145-002
Agency/Subagency: NSF	Agency Tracking No:
Title: NCSES - Higher Education R&D and FFRDC R&D Surveys - FY 2020
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: 12/08/2020
	Date Received in OIRA: 12/08/2020
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2023	36 Months From Approved	08/31/2022
Responses	1,092	0	1,117
Time Burden (Hours)	44,387	0	38,087
Cost Burden (Dollars)	1,530,878	0	1,333,045

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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. 12/8/2020 request: NCSES also requests the addition of three qualitative questions that would provide more insight into the impacts of the COVID-19 pandemic on higher education R&D activity beyond the reported R&D expenditure totals.

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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:
	84 FR 9839	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

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

table that charts list of burden

IC Title	Form No.	Form Name
FFRDC Research and Development Survey FY 2020
Higher Education Research and Development Survey - population review
FY 2020 Higher Education Research and Development Survey Short Form - FY 2016
Higher Education Research and Development Survey - FY 2020

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ICR Summary of Burden

table that charts list 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	1,092	1,117	0	-25	0	0
Annual Time Burden (Hours)	44,387	38,087	0	6,300	0	0
Annual Cost Burden (Dollars)	1,530,878	1,333,045	0	197,833	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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The changes are due to additional questions related to COVID and a reduction in respondents.

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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

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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: 12/08/2020

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