81 FR 45184 - Agency Information Collection Activities: Submission for OMB Review; Comment Request

NATIONAL SCIENCE FOUNDATION

Federal Register Volume 81, Issue 133 (July 12, 2016)

Page Range		45184-45185
FR Document		2016-16421
Federal Register, Volume 81 Issue 133 (Tuesday, July 12, 2016)
[Federal Register Volume 81, Number 133 (Tuesday, July 12, 2016)]
[Notices]
[Pages 45184-45185]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-16421]


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NATIONAL SCIENCE FOUNDATION


Agency Information Collection Activities: Submission for OMB 
Review; Comment Request

AGENCY: National Science Foundation.

ACTION: Submission for OMB review; comment request.

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    The National Science Foundation (NSF) has submitted the following 
information collection requirement to OMB for review and clearance 
under the Paperwork Reduction Act of 1995, Public Law 104-13. This is 
the second notice for public comment; the first was published in the 
Federal Register at 81 FR 20688 and four comments were received. NSF is 
forwarding the proposed renewal submission to the Office of Management 
and Budget (OMB) for clearance simultaneously with the publication of 
this second notice. The full submission may be found at: http://www.reginfo.gov/public/do/PRAMain.
    Comments: Comments regarding (a) whether the collection of 
information is necessary for the proper performance of the functions of 
the agency, including whether the information will have practical 
utility; (b) the accuracy of the agency's estimate of burden including 
the validity of the methodology and assumptions used; (c) ways to 
enhance the quality, utility and clarity of the information to be 
collected; or (d) ways to minimize the burden of the collection of 
information on those who are to respond, including through the use of 
appropriate automated, electronic, mechanical, or other technological 
collection techniques or other forms of information technology should 
be addressed to: Office of Information and Regulatory Affairs of OMB, 
Attention: Desk Officer for National Science Foundation, 725-17th 
Street NW., Room 10235, Washington, DC 20503, and to Suzanne H. 
Plimpton, Reports Clearance Officer, National Science Foundation, 4201 
Wilson Boulevard, Suite 1265, Arlington, Virginia 22230 or send email 
to [email protected]. Comments regarding these information collections 
are best assured of having their full effect if received within 30 days 
of this notification. Copies of the submission(s) may be obtained by 
calling 703-292-7556. Individuals who use a telecommunications device 
for the deaf (TDD) may call the Federal Information Relay Service 
(FIRS) at 1-800-877-8339, which is accessible 24 hours a day, 7 days a 
week, 365 days a year (including federal holidays).
    NSF may not conduct or sponsor a collection of information unless 
the collection of information displays a currently valid OMB control 
number and the agency informs potential persons who are to respond to 
the collection of information that such persons are not required to 
respond to the collection of information unless it displays a currently 
valid OMB control number.

SUPPLEMENTARY INFORMATION: 
    Comments: As required by 5 CFR 1320.8(d), comments on the 
information collection activities as part of this study were solicited 
through publication of a 60-Day Notice in the Federal Register on 
January 11, 2016, at 81 FR 20688. Four comments were received, to which 
we here respond. One comment came from the Federation of American 
Societies for Experimental Biology. They expressed support for the 
survey, stating that it is a unique data resource that they often use 
in development of their own reports and factsheets. They wrote that the 
utility of the survey would be enhanced if it were available on a more 
frequent basis and if the data were available more rapidly. NSF 
understands that data users need more timely data and thus we 
continually look for procedural changes to reduce the time required to 
collect and publish the data. Our changes have resulted in the survey 
data being published by November each year, approximately 6 months 
following the close of the survey and data follow up activities. 
Previously the data were not published until the spring of the 
following year, or one year following the official close of the survey. 
We plan to continue looking for ways to improve the timeliness of the 
survey data release, but we have no plans to survey institutions more 
frequently than annually at this time.
    The second comment came from Jason Owen-Smith, Executive Director, 
Institute for Research on Innovation & Science (IRIS) at the University 
of Michigan. He expressed support for the survey and asked NSF to 
consider linking the administrative data maintained by IRIS into the 
HERD survey data to increase the survey data's utility. NSF is very 
interested in the administrative data maintained by IRIS and was an 
active participant in the Star Metrics project (predecessor of 
UMetrics). We will contact Dr. Owen-Smith to discuss the possibilities 
for data linking in the coming year.
    The third comment came from Marc Kastner, President of the Science 
Philanthropy Alliance. He expressed support for the survey and 
requested more data on the amount of funding devoted to basic research 
versus applied research. Currently the survey does measure the split 
between basic research, applied research and experimental development 
by overall federal and nonfederal totals. We have no plans to expand 
the survey to obtain this split by all sources of funding or field due 
to the burden that would place on universities in responding to the 
survey.
    A fourth comment came from the Bureau of Economic Analysis (BEA). 
They expressed general support for the survey and requested a few 
additional data elements to be considered for future collection. NSF is 
in regular contact with BEA about their data needs and the feasibility 
of adding questions to the HERD or FFRDC Surveys to address these 
needs. As part of the survey redesign, NSF added several items 
requested by BEA to the questionnaire, where the additional detail 
posed no significant increase in burden for the institutions. NSF will 
continue to consider additional items in future years while still 
prioritizing respondent burden. There are no plans to incorporate these 
data items on the HERD or FFRDC Surveys for FY 2016.
    Title of Collection: Higher Education Research and Development 
Survey
    OMB Approval Number: 3145-0100.
    Expiration Date of Current Approval: September 30, 2016.
    Summary of Collection: The Higher Education Research and 
Development (R&D) Survey (formerly known as the Survey of R&D 
Expenditures at Universities and Colleges) originated in fiscal year 
(FY) 1954 and has been conducted annually since FY 1972. The survey 
represents one facet of the higher education component of the NSF's 
National Center for Science and Engineering Statistics (NCSES) 
statistical program authorized by the America COMPETES Reauthorization 
Act of 2010 Sec.  505, codified in the National Science Foundation Act 
of 1950 (NSF Act), as amended, at 42 U.S.C. 1862. Under paragraph 
``b'', NCSES is directed to ``(1) collect, acquire, analyze, report, 
and disseminate statistical data related to the science and engineering 
enterprise

[[Page 45185]]

in the U.S. and other nations that is relevant and useful to 
practitioners, researchers, policymakers, and the public, including 
statistical data on
    (A) research and development trends;
    (B) the science and engineering workforce;
    (C) U.S. competitiveness in science, engineering, technology, and 
research and development. . .''
    Use of the information: The proposed project will continue the 
annual survey cycle for three years. The Higher Education R&D Survey 
will provide continuity of statistics on R&D expenditures by source of 
funding, type of R&D (basic research, applied research, or 
development), and field of R&D, with separate data requested on 
research equipment by field. Further breakdowns are collected on funds 
passed through to subrecipients and funds received as a subrecipient, 
and on R&D expenditures by field from specific federal agency sources. 
As of FY 2010, the survey also requests total R&D expenditures funded 
from foreign sources, R&D within an institution's medical school, 
clinical trial expenditures, R&D by type of funding mechanism 
(contracts vs. grants), and R&D by cost category (salaries, equipment, 
software, etc.). The survey also requests headcounts of principal 
investigators and other personnel paid from R&D funds.
    Data are published in NSF's annual publication series Higher 
Education Research and Development, available on the web at http://www.nsf.gov/statistics/srvyherd/.
    Expected respondents: The FY 2016 Higher Education R&D Survey will 
be administered to approximately 700 institutions. In addition, a 
shorter version of the survey asking for R&D expenditures by source of 
funding and broad field will be sent to approximately 300 institutions 
spending under $1 million on R&D in their previous fiscal year. We also 
expect approximately 150 institutions to respond to the population 
screener form sent to determine eligibility for the survey. Finally, a 
survey requesting R&D expenditures by source of funds, cost categories, 
and type of R&D will be administered to the 42 Federally Funded 
Research and Development Centers.
    Estimate of burden: The survey is a fully automated web data 
collection effort and is handled primarily by administrators in 
university sponsored programs and accounting offices. To minimize 
burden, institutions are provided with an abundance of guidance and 
resources on the web, and are able to respond via downloadable 
spreadsheet if desired. Each institution's record is pre-loaded with 
the 2 previous years of comparable data that facilitate editing and 
trend checking. Response to this voluntary survey has exceeded 95 
percent each year.
    The average burden estimate is 1 hour for the approximately 150 
institutions responding to the population screener form, 55 hours for 
the approximately 700 institutions reporting over $1 million in R&D 
expenditures on the standard form, 8 hours for the approximately 300 
institutions reporting less than $1 million on the short form, and 12 
hours for the 42 organizations completing the FFRDC survey. The total 
calculated burden across all forms is 40,812 hours.

    Dated: July 6, 2016.
Suzanne H. Plimpton,
Reports Clearance Officer, National Science Foundation.
[FR Doc. 2016-16421 Filed 7-11-16; 8:45 am]
 BILLING CODE 7555-01-P
Federal Register / Vol. 81, No. 133 / Tuesday, July 12, 2016 / Notices 45185

in the U.S. and other nations that is spreadsheet if desired. Each institution’s The text of the proposed rule change
relevant and useful to practitioners, record is pre-loaded with the 2 previous is available at the Exchange’s Web site
researchers, policymakers, and the years of comparable data that facilitate at www.batstrading.com, at the
public, including statistical data on editing and trend checking. Response to principal office of the Exchange, and at
(A) research and development trends; this voluntary survey has exceeded 95 the Commission’s Public Reference
(B) the science and engineering percent each year. Room.
workforce; The average burden estimate is 1 hour
(C) U.S. competitiveness in science, II. Self-Regulatory Organization’s
for the approximately 150 institutions
engineering, technology, and research Statement of the Purpose of, and
responding to the population screener
and development. . .’’ Statutory Basis for, the Proposed Rule
form, 55 hours for the approximately
Use of the information: The proposed Change
700 institutions reporting over $1
project will continue the annual survey million in R&D expenditures on the In its filing with the Commission, the
cycle for three years. The Higher standard form, 8 hours for the Exchange included statements
Education R&D Survey will provide approximately 300 institutions reporting concerning the purpose of and basis for
continuity of statistics on R&D less than $1 million on the short form, the proposed rule change and discussed
expenditures by source of funding, type and 12 hours for the 42 organizations any comments it received on the
of R&D (basic research, applied completing the FFRDC survey. The total proposed rule change. The text of these
research, or development), and field of calculated burden across all forms is statements may be examined at the
R&D, with separate data requested on places specified in Item IV below. The
40,812 hours.
research equipment by field. Further Exchange has prepared summaries, set
breakdowns are collected on funds Dated: July 6, 2016.
forth in Sections A, B, and C below, of
passed through to subrecipients and Suzanne H. Plimpton,
the most significant parts of such
funds received as a subrecipient, and on Reports Clearance Officer, National Science statements.
R&D expenditures by field from specific Foundation.
federal agency sources. As of FY 2010, [FR Doc. 2016–16421 Filed 7–11–16; 8:45 am] A. Self-Regulatory Organization’s
the survey also requests total R&D BILLING CODE 7555–01–P Statement of the Purpose of, and
expenditures funded from foreign Statutory Basis for, the Proposed Rule
sources, R&D within an institution’s Change
medical school, clinical trial
SECURITIES AND EXCHANGE 1. Purpose
expenditures, R&D by type of funding
mechanism (contracts vs. grants), and COMMISSION The Commission has approved the
R&D by cost category (salaries, listing of debt securities known as
[Release No. 34–78236; File No. SR– Linked Securities 3 and, in particular,
equipment, software, etc.). The survey BatsBZX–2016–26]
also requests headcounts of principal Futures-Linked Securities, which are
investigators and other personnel paid Self-Regulatory Organizations; Bats Linked Securities with a payment at
from R&D funds. BZX Exchange, Inc.; Notice of Filing of maturity based on the performance of a
Data are published in NSF’s annual Proposed Rule Change to BZX Rule Futures Reference Asset,4 including
publication series Higher Education 14.11(d) To Add the EURO STOXX 50® listing pursuant to Rule 19b–4(e) under
Research and Development, available on Volatility Futures to the Definition of Rule 14.11(d)(2).5 Rule 19b–4(e) 6 under
the web at http://www.nsf.gov/statistics/ Futures Reference Asset the Act provides that the listing and
srvyherd/. trading of a new derivative securities
Expected respondents: The FY 2016 July 6, 2016. product by a self-regulatory organization
Higher Education R&D Survey will be Pursuant to Section 19(b)(1) of the (‘‘SRO’’) shall not be deemed a proposed
administered to approximately 700 Securities Exchange Act of 1934 (the rule change, pursuant to section (c)(1) of
institutions. In addition, a shorter ‘‘Act’’),1 and Rule 19b–4 thereunder,2 Rule 19b–4,7 if the Commission has
version of the survey asking for R&D notice is hereby given that on June 23,
expenditures by source of funding and 2016, Bats BZX Exchange, Inc. (the 3 As defined in Rule 14.11(d), ‘‘Linked

broad field will be sent to ‘‘Exchange’’ or ‘‘BZX’’) filed with the Securities’’ includes Multifactor Index-Linked
Securities, Equity Index-Linked Securities,
approximately 300 institutions spending Securities and Exchange Commission Commodity-Linked Securities, Fixed Income Index-
under $1 million on R&D in their (‘‘Commission’’) the proposed rule Linked Securities, and Futures-Linked Securities.
previous fiscal year. We also expect change as described in Items I and II 4 As defined in Rule 14.11(d), ‘‘Futures Reference

approximately 150 institutions to below, which Items have been prepared Asset’’ includes ‘‘an index of (a) futures on Treasury
Securities, GSE Securities, supranational debt and
respond to the population screener form by the Exchange. The Commission is debt of a foreign country or a subdivision thereof,
sent to determine eligibility for the publishing this notice to solicit or options or other derivatives on any of the
survey. Finally, a survey requesting R&D comments on the proposed rule change foregoing; or (b) interest rate futures or options or
expenditures by source of funds, cost from interested persons. derivatives on the foregoing in this subparagraph
(b); or (c) CBOE Volatility Index (VIX) Futures.’’
categories, and type of R&D will be
I. Self-Regulatory Organization’s 5 See Securities Exchange Act Release No. 65225
administered to the 42 Federally (August 30, 2011), 76 FR 55148 (September 6, 2011)
Statement of the Terms of the Substance
Funded Research and Development (SR–BATS–2011–018) (Order Approving Proposed
of the Proposed Rule Change
Centers. Rule Change to Adopt Rules for the Qualification,
Estimate of burden: The survey is a The Exchange filed a proposal to Listing and Delisting of Companies on the
Exchange) (the ‘‘Approval Order’’). The Approval
fully automated web data collection amend Rule 14.11(d) in order to add the
mstockstill on DSK3G9T082PROD with NOTICES

Order approved the rules permitting the listing of
effort and is handled primarily by EURO STOXX 50® Volatility both Tier I and Tier II securities on the Exchange
administrators in university sponsored (VSTOXX®) Futures (‘‘VSTOXX and the requirements associated therewith, which
programs and accounting offices. To Futures’’) to the definition of Futures includes, among others, the listing and trading of
Linked Securities, trading hours and halts, and
minimize burden, institutions are Reference Asset. listing fees originally applicable to Linked
provided with an abundance of Securities.
guidance and resources on the web, and 1 15 U.S.C. 78s(b)(1). 6 17 CFR 240.19b–4(e).

are able to respond via downloadable 2 17 CFR 240.19b–4. 7 17 CFR 240.19b–4(c)(1).

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Document Created: 2016-07-12 01:59:10
Document Modified: 2016-07-12 01:59:10
Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
Action		Submission for OMB review; comment request.
FR Citation		81 FR 45184