[Federal Register Volume 62, Number 122 (Wednesday, June 25, 1997)]
[Notices]
[Pages 34315-34316]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-16662]


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NATIONAL SCIENCE FOUNDATION


NSF Survey of Research and Development Funding and Performance by 
Nonprofit Organizations; Proposed Collection; Comment Request

AGENCY: National Science Foundation.

ACTION: Proposed collection; comment request.

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SUMMARY: The National Science Foundation, as part of its continuing 
effort to reduce paperwork and respondent burden, invites the general 
public and other Federal agencies to take this opportunity to comment 
on proposed and/or continuing information collections, as required by 
the Paperwork Reduction Act of 1995, Public Law 104-13 (44 U.S.C. 
3506(c)(2)(A)).

COMMENT DUE DATE: Written comments must be submitted by August 25, 
1997.

ADDRESSES: Submit comments to Gail A. McHenry, NSF Reports Clearance 
Officer, by fax (702) 306-0210, e-mail at [email protected], or by mail 
to National Science Foundation, 4201 Wilson Boulevard, Suite 245, 
Arlington, Virginia 22230.

FOR FURTHER INFORMATION CONTACT:
Gail A. McHenry, the NSF Reports Clearance Officer on (703) 306-1125 
x2010 or send e-mail to [email protected]. You may also obtain a copy of 
the data collection instrument and instructions from Mrs. McHenry.

SUPPLEMENTARY INFORMATION:

Abstract

    NSF Survey of Research and Development Funding and Performance by 
Nonprofit Organizations (NPOs) will collect information on the science 
and engineering (S&E) research and development (R&D) activities of 
nonprofit organizations for the two most recently completed years. (On 
an historic note, a prior study with similar objectives was conducted 
in 1973.) The purposes of the study are to: (1) Develop estimates of 
the amounts of R&D funding provided by NPOs and the types of 
organizations supported; (2) develop estimates of the amount of R&D 
performed by NPOs; and (3) develop estimates of R&D employment in NPOs. 
Two different survey questionnaires will be used. R&D performers will 
be asked for R&D expenditures by source of funds, by field of science 
and engineering, by category of work (Basic, Applied, Development), by 
state, and amounts expended for capital improvements, and for 
employment. R&D funders will be asked for amount of S&E R&D they fund 
at various categories of R&D performers. The information is needed to 
update available data on the R&D activities of the nonprofit segment. 
The Gallup Organization will conduct the study for NSF.
    Two samples will be drawn: one of NPO R&D performers and a second 
of NPO R&D funders. The R&D performers' sample will be drawn from 
organizations filing a 990 tax return. An initial sample of roughly 
3,500 potential NPO R&D performers will be selected and sent a short 
screening questionnaire to establish eligibility for the main study. An 
unweighted response rate of 90 percent is anticipated, and about 90 
percent of the participating organizations are expected to be eligible. 
These 2,800 organizations will be sent a main questionnaire that is 
expected to yield a final working sample size of about 2,500. To be 
included with certainty in the sample of 3,500 are the 450 respondents 
to the 1973 NSF R&D nonprofit institutions survey and the 15 Federally 
Funded Research and Development Centers that are administered by NPOs.
    The R&D funders sample will be drawn from both 990PF tax returns 
for private foundations and 990 returns for public charities. As with 
the performers, a sample of potential NPO R&D funders will be selected 
to receive a short screening questionnaire to establish eligibility 
(N=700). Of these, 90 percent are expected to participate and 90 
percent of these are expected to be eligible to participate. The 
roughly 560 eligible organizations will be sent a main questionnaire 
that is expected to yield a total working sample of 500.
    To minimize burden on small entities and to make sure that a high 
proportion of the nonprofit sector's R&D funding and performance is 
captured, the sample will be designed with probabilities proportional 
to size. Thus, a large NPO has a higher probability of being selected 
than a small NPO has. This method is justified because large NPOs are 
more likely to perform R&D than small NPOs are. Size will be determined 
by budgets, assets, or awards.
    The main questionnaires will be distributed in hardcopy and via the 
World Wide Web. To minimize burden, the World Wide Web questionnaires 
will be computer-assisted to ease user input, provide automatic totals 
of numerical information and aid users in error correction.
    Security procedures will minimize the risk of unwanted disclosure 
over the Internet. Definitions of key survey terms have been made 
consistent with OMB Circulars A-122, Cost Principles for Nonprofit 
Organizations, and A-133, Audits of Institutions of Higher Education 
and Other Non-Profit Institutions, to minimize potential confusion and 
unnecessary effort by survey respondents.
    Information being collected is not considered to be sensitive. In 
general, assurances of data confidentiality will not be provided to 
respondents to the NSF Survey of Research and Development Funding and 
Performance by Nonprofit Organizations. The utility of the data will be 
increased by allowing access to collected data. Results of pretesting 
and discussions with possible respondents have suggested this approach 
for handling confidentiality.

Use of the Information

    The purpose of this study is to collect data about R&D funding and 
performance by nonprofit organizations. The NSF will publish a separate 
report of the findings and also include them in other NSF compilations 
such as National Patterns of R&D Resources and Science and Engineering 
Indicators. A public release file of collected data will be made 
available to researchers on the World Wide Web. The results of the 
survey will help policy makers in decisions on R&D funding, 
regulations, and reporting guidelines.

[[Page 34316]]

Burden on the Public

    The Foundation estimates that a total annual reporting and 
recordkeeping burden of 34,335 houses will result from the collection 
of information. The calculation is:

3,500 performers  x  1 screening          729.2 hours                   
 questionnaire  x  12.5 minutes =                                       
2,800 performers  x  1 survey             32,900.0 hours                
 questionnaire  x  11.75 hours =                                        
700 funders  x  1 screening               145.8 hours                   
 questionnaire  x  12.5 minutes =                                       
560 funders  x  1 shorter questionnaire   560.0 hours                   
 x  1 hour =                                                            
                                         -------------------------------
      Total.............................  34,335.0 hours                
                                                                        

Request for Comments

    We invite comments specifically on:
    (a) whether the proposed 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 the burden of the 
proposed collection of information;
    (c) ways to enhance the quality, utility, and clarify of the 
information to be collected;
    (d) ways to minimize the burden of collection of information on 
respondents, including through the use of appropriate automated, 
electronic, mechanical, or other technological collection techniques or 
other forms of information technology, e.g., permitting electronic 
submission of responses; and
    (e) the proposal to allow users to access collected data by not 
providing assurances of data confidentiality. We are interested in 
having NPOs review the questionnaires and identify any data fields that 
may be problematic.
    Comments submitted in response to this notice will be summarized 
and/or included in the request of OMB approval of this information 
collection; they also will become a matter of public record.

    Dated: June 20, 1997.
Gail A. McHenry,
Reports Clearance Officer.
[FR Doc. 97-16662 Filed 6-24-97; 8:45 am]
BILLING CODE 7555-01-M