[Federal Register Volume 62, Number 170 (Wednesday, September 3, 1997)]
[Notices]
[Pages 46516-46517]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-23365]


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NATIONAL SCIENCE FOUNDATION


Agency Information Collection Activities: Comment Request; 
Submission for OMB Review; NSF Survey of Research and Development 
Funding and Performance by Nonprofit Organizations

AGENCY: National Science Foundation.

ACTION: Notice.

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SUMMARY: Under the Paperwork Reduction Act of 1995, Pub. L. 104-13 (44 
U.S.C. 3501 et seq.), and as part of its continuing effort to reduce 
paperwork and respondent burden, the National Science Foundation (NSF) 
is inviting the general public and other Federal agencies to comment on 
this proposed continuing information collection. This is the second 
notice for public comment, the first was published in the Federal 
Register at 62 FR 34315-34316 and no comment was receive. NSF will 
forward the proposed renewal submission to OMB for clearance with the 
publication of this second notice.

DATES: The Office of Management and Budget (OMB) should receive written 
comments by October 3, 1997.

ADDRESSES: Submits comments 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.

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 a 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'

[[Page 46517]]

sample will be drawn from organizations filing a 990 tax return. An 
initial sample of roughly, 4,460 potential NPO R&D performers will be 
selected and sent a short screening questionnaire to establish 
eligibility for the main study. NPOs in this initial sample will be 
drawn from four strata:
    1. NPOs which received Federal Funds for Science and Engineering 
(S&E) R&D between 1974 and 1994 based on NSF's Federal Support to 
Universities, Colleges, and Nonprofit Institutions (FS) survey and 
which were found in the 990 database.
    2. NPOs in the 990 database which have National Taxonomy of Exempt 
Entities (NTEE) codes with a high likelihood of containing S&E R&D 
performers.
    3. NPOs in the 990 database which are not in the FS or in the high 
likelihood NTEE codes.
    4. NPOs in NSF's 1973 survey, all nonprofit-administered Federally 
Funded Research and Development Centers, and others to be included with 
certainty.
    Depending on stratum, unweighted response rates of 80 to 90 percent 
are anticipated. Also depending on stratum, from 60 to 90 percent of 
the participating organizations are expected to be eligible. These 
approximately 2,360 organizations will be sent a main questionnaire 
that is expected to yield a final working sample size of about 2,100.
    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 and A-133 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.
    Burden on the Public. The Foundation estimates that a total annual 
reporting and recordkeeping burden of 27,056 hours will result from the 
collection of information. The calculation is:

                                                                        
                                                                  Hours 
                                                                        
4,460 performers  x  1 screening questionnaire  x  12.5 minutes         
 =.............................................................      930
2,360 performers  x  1 survey questionnaire  x  10.5 hours =...   24,780
700 funders  x  1 screening questionnaire  x  12.5 minutes =...      146
560 funders  x  1 shorter questionnaire  x  2 hours =..........    1,120
                                                                --------
  Total........................................................   27,056
                                                                        

    Dated: August 27, 1997.
Gail A. McHenry,
Reports Clearance Officer.
[FR Doc. 97-23365 Filed 8-27-97; 8:45 am]
BILLING CODE 7555-01-M