[Federal Register Volume 80, Number 39 (Friday, February 27, 2015)]
[Notices]
[Pages 10724-10726]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-04097]


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NATIONAL SCIENCE FOUNDATION


Notice of Intent To Seek Approval To Establish an Information 
Collection

AGENCY: National Science Foundation.

ACTION: Notice and request for comments.

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SUMMARY: Under the Paperwork Reduction Act of 1995, Public Law 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 information collection.
    Comments: Comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the Foundation, including whether the information will 
have practical utility; (b) the accuracy of the Foundation's estimate 
of the burden of the proposed collection of information; (c) ways to 
enhance the quality, utility, and clarity of the information to be 
collected; and (d) ways to minimize the burden of the collection of 
information on those who are to respond, including through the use of 
automated collection techniques or other forms of information 
technology.

DATES: Written comments on this notice must be received by April 28, 
2015, to be assured consideration. Comments received after that date 
will be considered to the extent practicable. Send comments to address 
below.

FOR FURTHER INFORMATION CONTACT: Ms. Suzanne H. Plimpton, Reports 
Clearance Officer, National Science Foundation, 4201 Wilson Boulevard, 
Suite 1265, Arlington, Virginia 22230; telephone (703) 292-7556; or 
send email to [email protected]. 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).

SUPPLEMENTARY INFORMATION: 
    Title Of Collection: Generic Clearance of Survey Improvement 
Projects From the National Science Foundation.
    OMB Number: 3145--NEW.
    Expiration Date of Approval: Not applicable.
    Type of Request: Intent to seek approval to establish a generic 
clearance for survey improvement projects for the National Science 
Foundation.
    Abstract: The National Science Foundation (NSF) requests that the 
Office of Management and Budget (OMB) grant a generic clearance that 
will allow NSF to rigorously develop, test, and evaluate its survey 
instruments and methodologies. NSF has a mandate to ``provide a central 
clearinghouse for the collection, interpretation, and analysis 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 
NSF surveys as recommended by both its own guidelines and those of 
OMB.\1\
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    \1\ 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.
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    In the last decade, state-of-the art data collection and analysis 
methods have been increasingly instituted by NSF and other federal 
agencies, and are now routinely used to improve the quality and 
timeliness of data and analyses. These new methods or techniques many 
times help reduce respondents' cognitive workload and burden. The 
purpose of this generic clearance is to allow NSF to continue to adopt 
and use these methods or techniques to improve its current data 
collections on science, engineering, and technology inputs, outputs and 
outcomes. 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 NSF portfolio.
    Following standard OMB requirements, NSF will submit to OMB an 
individual request for each survey improvement project it undertakes 
under this generic clearance. NSF will request OMB approval in advance 
and provide OMB with a copy of the questionnaire (if one is used) and 
materials describing the project.
    NSF envisions using a variety of survey improvement techniques, 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. NSF has used such techniques in previous activities 
conducted under generic clearances granted to individual divisions.
    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. NSF has used focus groups for 
several projects under the Science Resources Statistics generic 
clearance (OMB Control Number 3145-0174) to assist with redesign of 
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. NSF has used cognitive and usability testing in previous 
generic clearance projects (OMB Control Numbers 3145-

[[Page 10725]]

0157 and 3145-0174) 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. 
They may cover discussions related to administrative records, subject 
matter, definitions, etc. Exploratory interviews may also be used to 
investigate whether there are sufficient issues related to an existing 
data collection to consider a redesign. NSF 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 NSF generic clearance 
projects (OMB Control Number 3145-0174) to identify potential problems 
with existing survey items both quantitatively (response behavior 
study, or RBS, using web survey questions with respondents to the 
Survey of Graduate Students and Post-doctorates in Science and 
Engineering, or GSS) and qualitatively (interviews using semi-
structured protocols with Higher Education R&D Survey respondents).
    e. Pilot Studies/Pretests. These methodologies are 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 to 
refine questionnaire items and scales and assess reliability, validity, 
or other survey 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 variables 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.
    Use of the Information: The information obtained from these efforts 
will be used to develop new NSF surveys and improve current ones. These 
surveys will generally be used to monitor outputs and outcomes of NSF 
funding over time (particularly data that is not being collected in 
annual and final reports), and manage and improve programs. Data 
collected through survey questionnaires can be used in program 
evaluation studies and can be matched to administrative data to 
understand NSF's portfolio of investments. Specifically, the 
information from the survey questionnaire improvement projects 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 NSF surveys are 
continuously attempting to meet these standards of excellence. Improved 
NSF surveys will help policy makers make 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.
    Estimate of Burden: NSF estimates that a total reporting burden of 
171,000 hours over the three years of the requested generic clearance 
is possible from working to evaluate/improve existing surveys and to 
develop new ones. 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 improvement projects 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.
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    \2\ Number of respondents listed for any individual survey may 
represent several methodological improvement projects.

                 Table 1--Potential Improvement Projects
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                                             Number of
        Improvement project type            respondents        Hours
                                                \2\
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Cognitive Testing.......................           5,000          15,000
Focus Groups............................           5,000          10,000
Card Sorting............................           5,000           5,000
Interviews..............................           5,000           5,000
Panelist Survey.........................           7,000          12,000
Past Awardee Survey.....................           9,000          14,000
Usability Testing.......................           5,000          10,000

[[Page 10726]]

 
Additional surveys not specified........          35,000         100,000
                                         -------------------------------
    Total...............................          76,000         171,000
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    Respondents: The respondents are PIs, program coordinators, or 
participants in NSF activities.

Estimates of Annualized Cost to Respondents for the Hour Burdens

    The cost to respondents generated by the list of potential projects 
is estimated to be $3,205,680 over the three years of the clearance. No 
one year's cost would exceed $3,205,680. In other words, if all work 
were done in one year, costs in that one year would be $3,205,680 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 (76,000) and multiplying that figure by the hourly wage 
($42.18) of the level of employee who typically answers NSF 
questionnaires or attends NSF workshops. This wage amount is the May 
2011 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/#data. The total hours are based on 
similar NSF projects over the past few years.
    There are no capital, startup, operation or maintenance costs to 
the respondents. The costs generated by future data collections will be 
described in the clearance request for each specific data collection. 
NSF does not anticipate any capital, startup, operation, or maintenance 
costs for future surveys.

    Dated: February 23, 2015.
Suzanne H. Plimpton,
Reports Clearance Officer, National Science Foundation.
[FR Doc. 2015-04097 Filed 2-26-15; 8:45 am]
BILLING CODE 7555-01-P