3145-0174 Supporting Statement A final

3145-0174 Supporting Statement A final.pdf

SRS-Generic Clearance of Survey Improvement Projects for the Division of Science Resources Statistics

OMB: 3145-0174

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REQUEST FOR GENERIC CLEARANCE OF SURVEY IMPROVEMENT PROJECTS
FROM THE NATIONAL CENTER FOR SCIENCE AND ENGINEERING STATISTICS
(NCSES)

The National Center for Science and Engineering Statistics (NCSES) of the National Science
Foundation (NSF) requests a three-year extension of the Office of Management and Budget’s
(OMB’s) generic clearance that will allow NCSES to continue to rigorously develop, test, and
evaluate its survey instruments, methodologies, and dissemination methods and tools. NSF has a
mandate to “provide a central clearinghouse for the collection, interpretation, analysis, and
dissemination of data on scientific and engineering resources and to provide a source of
information for policy formulation by other agencies of the Federal Government.” This request
is part of an ongoing initiative to improve NCSES surveys and other data collections as
recommended by both its own guidelines and those of OMB.1
In the last decade, state-of-the art techniques have been increasingly instituted by NSF and other
federal agencies, and are now routinely used to improve the quality and timeliness of survey data
and analyses, while simultaneously reducing respondents’ cognitive workload and burden. The
purpose of this generic clearance is to allow NCSES to continue to adopt and use these
techniques to improve its current data collections on science, engineering, and technology inputs
and outputs. They will be used to improve the content of existing surveys, to aid in the
development of new data collections to capture changes in the U.S. science and engineering
(S&E) enterprise, and to fill gaps in coverage of the S&E enterprise in the existing NCSES
portfolio. The generic clearance will also allow NCSES to explore the possibility of alternative
methods of data collection, as well as data dissemination tools and mechanisms.

NSF Information Quality Guidelines are available on http://www.nsf.gov/policies/infoqual.jsp. OMB Information
Quality Guidelines are available on http://www.whitehouse.gov/omb/inforeg/infopoltech.html. OMB standards and
guidelines for statistical surveys are available on
http://www.whitehouse.gov/omb/inforeg/statpolicy/standards_stat_surveys.pdf.

Following standard OMB requirements, NCSES will submit to OMB an individual request for
each project it undertakes under this generic clearance. NCSES will request OMB approval in
advance and provide OMB with a copy of the materials that describe the project, including the
questionnaire (if one is used).
NCSES envisions using a variety of data collection techniques for the improvements, as
appropriate to the individual projects, such as focus groups, cognitive and usability laboratory
and field techniques, exploratory interviews, behavior coding, respondent debriefing, pilot
studies, pretests and split-panel tests. NCSES has used such techniques in previous activities
conducted under generic clearance.
a. Focus Groups. A qualitative methodology that brings together a small number of relatively
homogenous subjects to discuss pre-identified topics. A protocol containing questions or
topics focused on a particular issue or issues is used to guide these sessions, and is
administered by a trained facilitator. Focus groups are useful for exploring and identifying
issues with either respondents or stakeholders. Focus groups are a good choice during the
development of a survey or survey topic, when a pre-existing questionnaire or survey
questions on the topic do not yet exist; they can also useful in obtaining data user
requirements for new or improved data delivery tools. In the past, NCSES has used focus
groups to assist with redesigning surveys when it became evident that the content of a survey
was outdated and did not reflect current issues or the context that respondents were facing.
b. Cognitive and Usability Laboratory and Field Techniques. A qualitative methodology that
refers to a set of tools employed to study and identify errors that are introduced during the
survey process. These techniques are generally conducted by a researcher with an individual
respondent, though observers may sometimes be present. Cognitive techniques are generally
used to understand the question-response process, whereas usability is generally used to
understand respondent reactions to the features of an electronic survey instrument, for
instance, its display and navigation. In concurrent interviews, respondents are asked to think
aloud as they actually answer the survey. In retrospective interviews, respondents answer the
survey as they would normally, then ‘think aloud’ afterwards. Other techniques, which are

described in the literature and which will be employed as appropriate include: follow-up
probing, memory cue tasks, paraphrasing, confidence rating, response latency measurements,
free and dimensional sort classification tasks, and vignette classifications. The objective of
all of these techniques is to aid in the development of surveys that work with respondents’
thought processes, thus reducing response error and burden. These techniques are generally
very useful for studying and revising a pre-existing questionnaire. NCSES has used
cognitive and usability testing in previous generic clearance projects to improve existing
survey items, to develop and refine new content on existing surveys, and to explore content
for new surveys.
c. Exploratory Interviews. A technique where interviews are conducted with individuals to
gather information about a topical area. These may be used in the very early stages of
developing a new survey or new data delivery mechanism. They may cover discussions
related to administrative records, subject matter, definitions, functionality, etc. Exploratory
interviews may also be used to investigate whether there are sufficient issues related to an
existing data collection to consider a redesign. NCSES has used such interviews extensively
in recordkeeping studies with respondents to several of its establishment surveys to
determine both what types of records institutions keep (and therefore what types of
information they can supply), as well as where and in what format such records are kept.
d. Respondent Debriefing. A technique in which individuals are queried about how they have
responded to a particular survey, question, or series of questions. The purpose of the
debriefing is to determine if the original survey questions are understood as intended, to learn
about respondents’ form filling behavior and recordkeeping systems, or to elicit respondents’
satisfaction with the survey. This information can then be used (especially if it is
triangulated with other information) to improve the survey. This technique can be used as a
qualitative or quantitative measurement, depending on how it is administered. This
technique has been employed in NCSES generic clearance projects to identify potential
problems with existing survey items both quantitatively and qualitatively.

e. Pilot Studies/Pretests. These methodologies are typically used to test a preliminary version of
the data collection instrument, as was done with the Early Career Doctorate Project. Pretests
are used to gather data and assess reliability, validity, or other measurement issues. Pilot
studies are also used to test aspects of implementation procedures. The sample may be
purposive in nature, or limited to particular groups for whom the information is most needed.
Alternatively, small samples can be selected to statistically represent at least some aspect of
the survey population.
f. Split Panel Tests. A technique for controlled experimental testing of alternatives. Thus, they
allow one to choose from among competing questions, questionnaires, definitions, error
messages, surveys, or survey improvement methodologies with greater confidence than other
methods alone. Split panel tests conducted during the actual fielding of the survey are
superior in that they support both internal validity (controlled comparisons of variable under
investigation) and external validity (represent the population under study). Nearly any of the
previously mentioned survey improvement methods can be strengthened when teamed with
this method.
g. Behavior Coding. A quantitative technique in which a standard set of codes is systematically
applied to respondent/interviewer interactions in interviewer-administered surveys or
respondent/questionnaire interactions in self-administered surveys. Though this technique
can quantifiably identify problems with the wording of questions, it does not necessarily
illuminate the underlying causes.

SECTION A. JUSTIFICATION
A1.

Legal Authority and Circumstances Requiring the Collection of Information

The NSF National Center for Science and Engineering Statistics (NCSES) is responsible for
collecting, analyzing, evaluating and disseminating information on science, engineering and
technology employment, work force, and education, as well as research and development (R&D)
funding and performance. In accordance with Sec. 3(a)(6) of the National Science Foundation
Act of 1950, as amended, and Section 505 of the America COMPETES Act (public law 110-69),

the National Science Foundation (NSF) is directed to “serve as a central Federal clearinghouse
for the collection, interpretation, analysis, and dissemination of objective data on science,
engineering, technology, and research and development…that is relevant and useful to
practitioners, researchers, policymakers, and the public.” NCSES publishes data in individual
survey reports and in such general reports as Science and Engineering Indicators and Women,
Minorities and Persons with Disabilities in Science and Engineering. NCSES also releases data
in a variety of formats including data tables, data tools, interactive web tools, and public use
files.
An extension to NCSES’ previously-granted generic clearance is requested for several reasons.
As a federal statistical agency, NCSES is engaged in a process of continuous improvement in the
data collections it conducts and in the way it provides access to data and information. Critical to
the improvement in existing surveys is the ability to engage in small scale projects to test
alternatives to current approaches being utilized in the surveys. Generic clearance authority
substantially enhances NCSES’ ability to engage in such testing and exploration. Furthermore,
as the world continues to change, NCSES must continuously evaluate its surveys in light of these
changes. Respondent behaviors will change (e.g., response rates decrease over time); technology
will change (e.g., the web quickly became a data collection option and is the primary mode for
dissemination); and the S&E enterprise will change (e.g., today’s students increasingly pursue
multi/interdisciplinary studies rather than a single discipline). Similarly, the understanding of
how to improve surveys continues to evolve (e.g., today’s research continues to update the
interpretation of the best implementation for web surveys).
Thus, NCSES requests an OMB generic clearance structure to continue improving the overall
quality of its statistical surveys, reduce the burden on respondents to NCSES surveys, shorten the
time required for NCSES to update and improve its data collections, and redesign and improve
its dissemination tools and methods.
A2.

Purposes and Use of the Information

The information obtained from these efforts will be used to develop new NSF surveys and
improve current ones. Specifically, the information will be used to reduce respondent burden
and to improve the quality of the data collected in these surveys. These objectives are met when
respondents are presented with plain, coherent, and unambiguous questionnaires asking for data
compatible with respondents’ memory and/or current reporting and recordkeeping practices. The

purpose of the survey improvement projects will be to ensure that NCSES surveys are
continuously attempting to meet these standards of excellence. In addition, the information
obtained from data dissemination improvement efforts will be used to help design new data
access tools or improve existing dissemination methods. Improved data access will help
policymakers, researchers, and the general public by easing and streamlining the way they find
the information they are seeking.
Improved NSF surveys will help policy makers in decisions on R&D funding, graduate
education, scientific and technical workforce, innovation, as well as contribute to increased
agency efficiency and reduced survey costs. In addition, methodological findings have broader
implications for survey research and may be presented in technical papers at conferences or
published in the proceedings of conferences or in journals.

A3.

Use of Information Technology to Reduce Burden

NCSES will employ information technology, as appropriate, to reduce the burden of respondents
who agree to participate in its survey improvement projects. Many respondents of current
NCSES surveys supply email addresses that can be used to recruit respondents for survey
improvement projects. This allows respondents to communicate with NCSES at their
convenience. Respondents to current NCSES surveys of academic institutions can often provide
addresses for websites with additional information (e.g., about their schools), once again
reducing their workload. NCSES will continue to explore state-of-the-art technology to find
ways to reduce burden on respondents to both individual and establishment surveys. For
example, NCSES used desktop sharing and teleconferencing software to conduct usability testing
in remote locations to gather information about the functionality of its data dissemination tools.
By using this software to digitally record both comments and web screen interactions, NCSES
had a complete record of each session that made it unlikely that there would be a need to call
respondents back to clarify notes of the sessions.
Web surveys facilitate accurate data by providing respondents with automated tabulations and
feedback on inconsistent answers. These features potentially reduce the need for followup
contact with respondents. However, the success of these features resides in their being well
designed to ensure that respondents are aware of these features. Thus, one focus of NCSES
improvement activities is improving the usability of NCSES web surveys. NCSES improvement
6

projects help ensure that respondents are presented with the most user friendly and least
burdensome survey instruments possible. In addition, NCSES continues to explore the adoption
of innovative methods that could reduce respondent burden and provide easier access to data and
information. Enhanced data dissemination tools help users find, organize, and download data
faster and more accurately.
A4.

Efforts to Identify Duplication

Survey improvement projects will be conducted both to improve existing surveys as well as to
develop new NCSES data collections. The NCSES data collections themselves are subject to
great scrutiny to ensure there is no duplication of other efforts. Likewise, the projects conducted
under the generic clearance authority will be structured in order not to duplicate other efforts.
Furthermore, generic clearance activities help avoid repetitious efforts to hone implementation
for the full-scale surveys.

A5.

Provisions for Reducing Burden on Small Organizations

One goal of NCSES’ efforts to improve its surveys is to minimize the burden on the small
organizations that respond to NCSES surveys. By learning about organizational and
recordkeeping practices of small, medium, and large organizations, NCSES is in a better position
to design surveys and data collection procedures that minimize the burden for various types of
respondents, especially small and very small entities. For example, NCSES has investigated
methods for surveying companies with fewer than five employees about their R&D activities.
In the case of pilot studies or split-panel tests, if probability samples are utilized, sampling rates
proportional to size are often used to make sure that a large institution has a higher probability of
being selected than a small institution. This ensures that a high proportion of the attribute of
interest—U.S. S&E funding, performance, employment, or education—is captured while
minimizing the burden on small entities.
A6.

Consequences of Not Collecting the Information

Numerous consequences would result if NCSES could not conduct the survey and data collection
improvement projects requested in this document. The quality of the data collected could
decrease because the current surveys would not be systematically evaluated and updated to better
7

reflect the current state of S&E. Over time, surveys that are now well designed would eventually
become obsolete. New survey items and procedures could not be implemented without adequate
testing and refinement. Advances in understanding of how organizations or individuals answer
surveys or provide alternative forms of data, and how NCSES can better serve respondents,
would be curtailed. Finally, NCSES’ ability to develop timely, new, and well-designed surveys
and data collections would be diminished.
A7.

Special Circumstances for Collection

Under this clearance, NCSES will explain any circumstances that would result in respondents
being required to:
•

Report information to the agency more often than quarterly;

•

Prepare a written response to a collection of information in fewer than 30 days after receipt
of it;

•

Submit more than an original and two copies of any document;

•

Retain records, other than health, medical, government contract, grant-in-aid, or tax records
for more than three years;

•

Respond to a statistical survey in a manner that is not designed to produce valid and reliable
results, i.e., results that can be generalized to the universe of study;

•

Use a statistical data classification that differs from one approved by OMB;

•

Respond in a manner that includes a pledge of confidentiality that is not supported by
authority established in statute or regulation, that is not supported by disclosure and data
security policies that are consistent with the pledge, or which unnecessarily impedes sharing
of compatible data with other agencies for confidential use;

•

Submit proprietary trade secret or other confidential information unless the agency can
demonstrate that it has instituted procedures to protect the information’s confidentiality to the
extent permitted by law.

A8.

Federal Register Notice and Consultation Outside the Agency

Comments on this data collection effort were solicited in the Federal Register, Vol. 81, No. 7833,
on Tuesday, February 16, 2016 (see Attachment A). NCSES received no comments related to
this request.

The primary objectives of the survey and data collection improvement projects include involving
respondents in the development of new survey content, soliciting respondent feedback to current
surveys, observing respondent navigation of survey questionnaires, exploring how respondents’
recordkeeping systems work, and eliciting feedback from data users on dissemination methods
and tools. These objectives focus on consultation with respondents to reach the goals of
understanding (1) how to minimize the time and effort to complete survey and data collection
tasks, (2) how to reduce other aspects of burden such as concerns about the use of the survey
data, and (3) how to motivate respondents to provide survey answers that have the highest
quality and most accuracy.
A9.

Remuneration to Respondents

NCSES and its contractors sometimes provide compensation to participants in improvement
projects. In some cases, the compensation covers travel costs only. In other cases, compensation
is offered in the range of $25-$75 for activities such as focus groups or cognitive interviews.
This practice has proven necessary and effective in recruiting some types of subjects to
participate in this small-scale research, and is also employed by other federal agencies. Testing
activities are sometimes conducted in contractors’ cognitive laboratories or other comparable
facilities.
Unless otherwise specified and with approval granted by OMB, such incentives will be limited to
no more than $40 for participation in a cognitive interview and no more than $75 for
participation in a focus group. Respondents for field test activities such as split sample tests,
behavior coding of interviewer/respondent interaction, and respondent debriefings will receive
payment only when there are extenuating circumstances that warrant it. Generic clearance
packages for projects offering participant compensation will explain the rationale and describe
the amounts of compensation.
A10.

Assurance of Confidentiality Provided to Respondents

Respondents in the improvement projects will be advised that their participation is voluntary. In
focus groups, interviews, and other respondent activities, NCSES may ask respondents for
permission to record sessions via audio or video recording. Such recordings are conducted to
provide project staff, including those not present at the activity, with a complete and accurate
record to supplement note taking. Recording the session also allows staff to focus more on what
9

is taking place during the session rather than on the completeness of their notes. In some cases,
recordings may be used to train others to conduct this type of research or for illustrative purposes
in presentations to professional audiences. For sessions that are recorded, respondents will be
asked for their consent to the audio or video recording. They will be notified if there is any
chance that a session may be played for audiences for research purposes.
Often activities conducted under the generic clearance authority will not involve pledging
confidentiality to participants. However, there will be instances where confidentiality will be
pledged, such as when the information being requested, either about an individual or an
organization, may be sensitive. The pledge of confidentiality will be made under the Privacy Act
(where applicable) and the National Science Foundation Act of 1950 (as amended). Specifically,
when confidentiality is pledged to individuals, the pledge used will be the following:
The information is solicited under authority of the National Science Foundation Act of
1950 as amended. All information you provide is protected under the NSF Act as
amended and the Privacy Act of 1974 as amended and will only be used for research or
statistical purposes. Any information publically released such as statistical summaries
will be in a form that does not personally identify you.
When confidentiality is pledged to organizations, such as businesses, colleges and universities,
and other non-profit organizations, the pledge used will be the following:
The information is solicited under authority of the National Science Foundation Act of
1950 as amended. All information you provide is protected under the NSF Act as
amended and will only be used for research or statistical purposes. Any information
publically released such as statistical summaries will be in a form that does not personally
identify you or your organization.
A11.

Questions of a Sensitive Nature

No questions of a sensitive nature are anticipated in work conducted under this generic
clearance. However, the nature of the exploration of survey content may include asking
respondents whether items might be considered sensitive in the context of data collection.
A12.

Estimate of Response Burden

NCSES estimates that a total reporting burden of 11,180 hours over the three years of the
requested generic clearance will result from working to evaluate or improve existing surveys, to
develop new surveys or data collections, or to evaluate data dissemination methods. This

includes both the burden placed on respondents participating in each activity as well as burden
imposed on potential respondents during screening activities. Table 1 provides a list of potential
surveys for which generic clearance activities might be conducted, along with estimates of the
number of respondents and burden hours that might be involved in each.
Table 1: Potential surveys for improvement projects, with the number of respondents and
burden hours

Graduate Student Survey
SESTAT Surveys (National Survey of
College Graduates; Survey of Doctorate
Recipients)
Early Career Doctorate Survey
Survey of Earned Doctorates
Higher Education Research &
Development Survey
State Government Research &
Development Survey
Survey of Nonprofit Research Activities
Business Research & Development and
Innovation Survey
Microbusiness Survey
Survey of Scientific & Engineering
Facilities
Innovation Survey
Public Understanding of Science &
Engineering Survey
Data dissemination tools and mechanisms
Other surveys and projects not specified
Total

A13.

Number of
Number of
Respondents Hours
2000
2500
1000
500
600

500
1000
600

300

540

150
230

300
415

50
250

150
500

400
1500

400
3000

550
150
1000

125
150
1000

8,680

11,180

Estimate of Total Cost to Respondents

The cost to respondents generated by the list of potential projects is estimated to be $512,379
over the three years of the clearance. No one year’s cost would exceed $512,379 , so if all work
were done in one year, costs in that one year would be $512,379 and the costs in each of the
other 2 years would be zero. As in previous requests for generic clearance authority, the total

cost was estimated by summing all the hours that might be used on all projects over the three
years (11,180) and multiplying that figure by the hourly wage ($45.83) of the level of employee
who typically answers NCSES’ questionnaires or attends NCSES workshops. This wage amount
is the May 2015 national cross-industry estimate of the mean hourly wage for a financial analyst,
or Job Category 13-2051, by the Bureau of Statistics
(http://www.bls.gov/oes/current/oes132051.htm, accessed on 4/11/2016). The total hours are
based on similar NCSES projects over the past few years.
There are no planned capital, startup, operation or maintenance costs to the respondents,
recordkeepers, or data users involved in these improvement projects. Some explorations
involving the use of alternative sources of data (e.g., converting respondents’ records into a
standard format for upload) may entail some costs; in such events, details would be provided in
the materials associated with that burden request.
A14.

Estimates of Annualized Costs to the Federal Government

The 3-year cost to the Federal government generated by the improvement projects is estimated to
be approximately $2,800,000 (estimate based on $200,000 per line in Table 1). The main
components of these costs are contractor costs and staff time. There are no startup, equipment,
operations or maintenance costs. Bidders on the NCSES contracts are required to have all
software, licenses, and hardware needed to complete the survey improvement projects. The costs
generated by future data collections will be described in the clearance request for each specific
data collection.
A15.

Changes in Burden

The request for 11,180 burden hours is lower than the current generic clearance (14,280 hours).

A16.

Plans for Publication

Data will be collected to develop new surveys, improve the content or methodology of current
surveys, explore alternative sources of data, or evaluate data dissemination mechanisms.
Methodological findings from improvement projects may be referenced in the technical notes for
published data, in methodology reports, in technical papers presented at conferences, in the

proceedings of conferences, or in journals. Generic clearance activities will not be used to
calculate substantive results or estimates that will be released.
A17. OMB Approval Expiration Date
NCSES will display the expiration date for OMB approval of the information collection on
survey instruments.
A18. Exceptions to the Certification Statement
No exceptions to the Certification Statement should be required. If so, OMB approval will be
requested in advance of conducting the survey or data collection.

Federal Register / Vol. 81, No. 30 / Tuesday, February 16, 2016 / Notices
will be held on March 3, 2016, as
follows: The policy discussion session
(open to the public) will convene at
10:30 a.m. until approximately 11:30
a.m., followed by the discussion of
specific grant applications and programs
before the Council (closed to the public)
from 11:30 a.m. until 12:30 p.m.
Digital Humanities: Room 4089
Education Programs: Room P002
Preservation and Access: Room 2002
Public Programs/Federal/State
Partnership: Room P003
Research Programs: Room 4002
In addition, the Humanities Medal
Committee (closed to the public) will
meet from 2:30 p.m. until 3:30 p.m. in
Room 4002.
The plenary session of the National
Council on the Humanities will convene
on March 4, 2016, at 9:00 a.m. in the
Conference Center at Constitution
Center. The agenda for the morning
session (open to the public) will be as
follows:

mstockstill on DSK4VPTVN1PROD with NOTICES

A. Minutes of the Previous Meeting
B. Reports
1. Chairman’s Remarks
2. Deputy Chairman’s Remarks
3. Presentation by guest speaker Mannie
Jackson
4. Congressional Affairs Report
5. Budget Report
6. Reports on Policy and General Matters
a. Digital Humanities
b. Education Programs
c. Preservation and Access
d. Public Programs
e. Federal/State Partnership
f. Research Programs

The remainder of the plenary session
will be for consideration of specific
applications and therefore will be
closed to the public.
As identified above, portions of the
meeting of the National Council on the
Humanities will be closed to the public
pursuant to sections 552b(c)(4),
552b(c)(6) and 552b(c)(9)(b) of Title 5
U.S.C., as amended. The closed sessions
will include review of personal and/or
proprietary financial and commercial
information given in confidence to the
agency by grant applicants, and
discussion of certain information, the
premature disclosure of which could
significantly frustrate implementation of
proposed agency action. I have made
this determination pursuant to the
authority granted me by the Chairman’s
Delegation of Authority to Close
Advisory Committee Meetings dated
July 19, 1993.
Please note that individuals planning
to attend the public sessions of the
meeting are subject to security screening
procedures. If you wish to attend any of
the public sessions, please inform NEH
as soon as possible by contacting Ms.
Katherine Griffin at (202) 606–8322 or

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kgriffin@neh.gov. Please also provide
advance notice of any special needs or
accommodations, including for a sign
language interpreter.
Dated: February 8, 2016.
Elizabeth Voyatzis,
Committee Management Officer.
[FR Doc. 2016–03063 Filed 2–12–16; 8:45 am]
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NATIONAL SCIENCE FOUNDATION
Sunshine Act Meeting; National
Science Board
The National Science Board’s
Committee on Education and Human
Resources (CEH), pursuant to NSF
regulations (45 CFR part 614), the
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Kyscha Slater-Williams,
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[FR Doc. 2016–03126 Filed 2–11–16; 11:15 am]
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7833

The National Science
Foundation (NSF) is announcing plans
to request renewal of the Generic
Clearance of the National Center for
Science & Engineering Statistics Survey
Improvement Projects (3145–0174). In
accordance with the requirement of
section 3506(c)(2)(A) of the Paperwork
Reduction Act of 1995 (Pub. L. 104–13),
we are providing opportunity for public
comment on this action. After obtaining
and considering public comment, NSF
will prepare the submission requesting
that OMB approve clearance of this
collection for three years.
Comments: Comments are invited on
(a) whether the proposed collection of
information is necessary for the proper
performance of the functions of the
NSF, including whether the information
shall have practical utility; (b) the
accuracy of the NSF’s estimate of the
burden of the proposed collection of
information; (c) ways to enhance the
quality, use, and clarity of the
information on respondents, including
through the use of automated collection
techniques or other forms of information
technology; and (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.

SUMMARY:

Written comments on this notice
must be received by April 18, 2016 to
be assured of consideration. Comments
received after that date will be
considered to the extent practicable.
For Additional Information or
Comments: Contact Suzanne H.
Plimpton, Reports Clearance Officer,
National Science Foundation, 4201
Wilson Boulevard, Suite 295, Arlington,
Virginia 22230; telephone (703) 292–
7556; or send email to splimpto@
nsf.gov. 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). You also
may obtain a copy of the data collection
instrument and instructions from Ms.
Plimpton.

DATES:

SUPPLEMENTARY INFORMATION:

NATIONAL SCIENCE FOUNDATION
Agency Information Collection
Activities: Comment Request
National Science Foundation.
Notice.

AGENCY:
ACTION:

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Title of Collection: Generic Clearance
of the National Center for Science &
Engineering Statistics Improvement
Projects.
OMB Control Number: 3145–0174.
Expiration Date of Current Approval:
May 31, 2016.

E:\FR\FM\16FEN1.SGM

16FEN1

7834

Federal Register / Vol. 81, No. 30 / Tuesday, February 16, 2016 / Notices

Type of Request: Intent to seek
approval to extend an information
collection for three years.
Abstract. Established within the
National Science Foundation by the
America COMPETES Reauthorization
Act of 2010 § 505, codified in the
National Science Foundation Act of
1950, as amended, the National Center
for Science & Engineering Statistics
(NCSES) serves as a central Federal
clearinghouse for the collection,
interpretation, analysis, and
dissemination of objective data on
science, engineering, technology,
research and development for use by
practitioners, researchers, policymakers,
and the public. NCSES conducts about
a dozen nationally representative
surveys to obtain the data for these
purposes. The Generic Clearance will be
used to ensure that the highest quality
data are obtained from these surveys.
State of the art methodology will be
used to develop, evaluate, and test
questionnaires and survey concepts as
well as to improve survey methodology.
This may include field or pilot tests of
questions for future large scale surveys,
as needed. The Generic Clearance will
also be used to test and evaluate data
dissemination tools and methods, in an
effort to improve access for data users.

Use of the Information. The purpose
of these studies is to use the latest and
most appropriate methodology to
improve NCSES surveys, evaluate new
data collection efforts, and evaluate data
dissemination tools and mechanisms.
Methodological findings may be
presented externally in technical papers
at conferences, published in the
proceedings of conferences, or in
journals. Improved NCSES surveys, data
collections, and data dissemination will
help policymakers in decisions on
research and development funding,
graduate education, and the scientific
and technical workforce, as well as
contributing to reduced survey costs.
Expected Respondents. The
respondents will be from industry,
academia, nonprofit organizations,
members of the public, and State, local,
and Federal governments. Respondents
will be either individuals or
institutions, depending on the topic
under investigation. Qualitative
procedures will generally be conducted
in person, online (using Skype, Webex,
or other conferencing tools), or over the
phone. Quantitative procedures may be
conducted using mail, Web, email, or
phone modes, depending on the topic
under investigation. Up to 8,680
respondents will be contacted across all

projects. No respondent will be
contacted more than twice in one year
under this generic clearance. Every
effort will be made to use technology to
limit the burden on respondents from
small entities.
Both qualitative and quantitative
methods will be used to improve
NCSES’s current data collection
instruments and processes and to
reduce respondent burden, as well as to
develop new surveys and new or
improved data dissemination tools.
Qualitative methods include, but are not
limited to expert review; exploratory,
cognitive, and usability interviews;
focus groups; and respondent
debriefings. Cognitive and usability
interviews may include the use of
scenarios, paraphrasing, card sorts,
vignette classifications, and rating tasks.
Quantitative methods include, but are
not limited to, telephone surveys;
behavior coding, split panel tests, and
field tests.
Estimate of Burden. NCSES estimates
that a total reporting and recordkeeping
burden of 11,180 hours will result from
activities to improve its surveys. The
calculation is shown in Table 1.

TABLE 1—POTENTIAL SURVEYS FOR IMPROVEMENT PROJECTS, WITH THE NUMBER OF RESPONDENTS AND BURDEN
HOURS
Number of
respondents
Graduate Student Survey ........................................................................................................................................
SESTAT Surveys (National Survey of College Graduates; Survey of Doctorate Recipients) ................................
Early Career Doctorate Survey ...............................................................................................................................
Survey of Earned Doctorates ..................................................................................................................................
Higher Education Research & Development Survey ..............................................................................................
State Government Research & Development Survey .............................................................................................
Survey of Nonprofit Research Activities ..................................................................................................................
Business Research & Development and Innovation Survey ..................................................................................
Microbusiness Survey ..............................................................................................................................................
Survey of Scientific & Engineering Facilities ...........................................................................................................
Innovation Survey ....................................................................................................................................................
Public Understanding of Science & Engineering Survey ........................................................................................
Data dissemination tools and mechanisms .............................................................................................................
Other surveys and projects not specified ................................................................................................................

2000
1000
500
600
300
150
230
50
250
400
1500
550
150
1000

2500
500
1000
600
540
300
415
150
500
400
3000
125
150
1000

Total ..................................................................................................................................................................

8,680

11,180

Dated: February 3, 2016.
Suzanne H. Plimpton,
Reports Clearance Officer, National Science
Foundation.
mstockstill on DSK4VPTVN1PROD with NOTICES

Number of
hours

[FR Doc. 2016–03029 Filed 2–12–16; 8:45 am]
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