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OMB Control No: 3145-0100	ICR Reference No: 201907-3145-002
Status: Historical Active	Previous ICR Reference No: 201607-3145-001
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: 08/15/2019
Retrieve Notice of Action (NOA)	Date Received in OIRA: 07/16/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2022	36 Months From Approved	09/30/2019
Responses	1,117	0	1,192
Time Burden (Hours)	38,087	0	41,554
Cost Burden (Dollars)	1,333,045	0	1,412,836

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 9839	03/18/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 33980	07/16/2019
Did the Agency receive public comments on this ICR? Yes

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	1,117	1,192	-75
Annual Time Burden (Hours)	38,087	41,554	-3,467
Annual Cost Burden (Dollars)	1,333,045	1,412,836	-79,791

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The FY 2019 HERD population review screener will ask about R&D expenditures for two fiscal years: the reference year on the upcoming HERD survey and the previous year. This will results in two additional questions on the screener. The change to the screener is being made to reduce response burden. For the past 3 survey cycles, an average of 73.7% of the institutions sent the population review screener had also been sent the screener during the previous collection. Adding the additional questions will enable us to survey many institutions less frequently (every other year) while still identifying newly qualified institutions each year. We estimate that the additional burden in a given year to any particular institution would be minimal since the expenditure information for each fiscal year would come from the same data source. We estimate a 50% drop in the number of institutions being sent a screener in a given collection cycle. Only minor instructional and navigational changes were made to the FY 2019 HERD questionnaire. These edits were made to reduce the submission of erroneously formatted data and to reduce the ambiguity of several checkboxes. The edits should ease navigation for respondents. Question 3 on the FY 2019 FFRDC survey was added to collect more detail on funding from “other federal agencies” collected in question 2h. From a design standpoint, the new question 3 is virtually the same as HERD question 10. After completion of the FY 2018 FFRDC survey, respondents with data entered in question 2h were asked to provide the names and funded expenditure totals of the “other federal agencies” listed in question 2h. These data were needed to compare agency-level funding for R&D collected through the FFRDC R&D survey and the Survey of Federal Funds for Research and Development. Respondents were able to provide these data without great effort since they already provide R&D expenditure data funded by 7 federal agencies.

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? Uncollected

Agency Contact: Suzanne Plimpton

View ICR - OIRA Conclusion