SGRD OMB Memo

The State Government R&D survey (SGRD), OMB Control Number 0607-0933, requests a non-substantive change request for the 2015 survey year.

The changes are necessary to align data elements with that of similar National Science Foundation (NSF) surveys of R&D so that these data can be properly incorporated into national R&D totals (the National Patterns of Research and Development).  The current survey requires NSF to make a number of improvisational adjustments so that state survey data align with R&D data collected from other sectors.  These changes will allow for a higher quality input data into both the National Patterns of R&D report and the Congressionally mandated Science and Engineering Indicators report.

The changes are designed to capture specific information on source of funds (e.g. internal or external) for R&D performer type (e.g., intramural and extramural); collect information on intramural R&D by type-of-work (e.g., basic research, applied research, and experimental development) that are used in all other R&D surveys and in OMB’s own A-11 Schedule C; and to collect specific information on federal support to states for R&D.  In order to obtain this information, we are: (i) Asking state agencies to provide information on the source of funds for extramural performance (see Question 5).  Agencies have told us they already maintain this information in order to compile results for the existing question on funds to external performers (see Question 10). (ii) Asking state agencies to provide information on basic research, applied research, and experimental development, but instead of asking for these on the agencies’ total R&D expenditures (as was done previously) this question only applies to agencies with intramural R&D and only for the most recent fiscal year, not both FY ’14 and FY ’15 (see Question 9).  Agencies that do not conduct any intramural R&D would skip this question entirely. We anticipate this question would only affect about half of all agencies surveyed.  For example, during the FY 2012 and FY 2013 survey cycle, 189 of 365 agencies reported some intramural R&D.  (iii) we are no longer asking agencies to identify how much of their total R&D was supported from federal funds, as this is now collected in Question 4 and Question 5, but have replaced this with a question asking how much R&D funds did the state receive from a list of specific federal departments and independent agencies (see Question 8).  States have told us they already maintain this information for the Single Audit and other required federal reporting guidance.   All other questions are the same content but have been re-organized.

We do plan to request a three-year extension of the SGRD early next year.  However, the survey launch is carefully timed for November 2015 to avoid conflicts with state fiscal year initialization and preparations of the state’s Comprehensive Annual Financial Reports (CAFRs) which usually takes place between July 1 and November 1.  Waiting until Spring 2016 would push the collection period nearly a year after the close of the most recent reference period and conflict with states’ fiscal year close-out procedures that take place in May and June.  Under the current timeline, the data collection and non-response follow-up would end in May 2016.  Waiting until April 2016 to implement these changes would jeopardize the data collection and reduce the timeliness and of the survey data issued by NSF and render the results too late to be used in the upcoming National Patterns of R&D report which will be produced in the late summer and fall of 2016.

During cognitive testing, burden estimates varied considerably from one agency to the next, but no one said the changes constituted a significant change from the current survey.  However, if it is determined that the changes do impose a significant new burden, we will request an increase in the burden of the collection in our upcoming three-year extension request.