National Park Service 

U.S. Department of the Interior 

Social Science Program

Social Science Surveys and Interviews in the National Parks 

and for the National Park Service

A Guide to NPS and OMB Approvals 

July 2002
Electronic copies of this document are available on the National Park Service Social Science Program website at: 

http://www.nps.gov/socialscience/tech/survey.htm

Photo credits: Front cover, courtesy of Margaret Littlejohn 

All other photos, courtesy of the National Park Service, Harpers Ferry Center Historic Photograph Collection
1

Introduction 

Social science can provide park managers with valuable 

information about people and parks. This information can be 

applied to park planning, management, and efforts to improve 

the quality and effectiveness of National Park Service (NPS) 

programs. Such information can also be used to measure 

performance in meeting NPS goals under the Government 

Performance and Results Act (GPRA). To this end, the NPS 

conducts, funds, or sponsors studies in which information is 

collected from the public and/or NPS employees. 

National parks are also exceptional laboratories for independent 

social science research. University professors, graduate 

students, and other researchers often conduct surveys in parks 

and surrounding communities. Many of these independently 

conducted surveys are not funded or sponsored by the NPS. 

Various approval processes and research permits apply to 

surveys conducted, funded, or sponsored by the NPS, and to 

independent research conducted in parks. The approval 

processes are outlined here. A glossary of key terms 

(highlighted in bold) is also included, as well as a list of 

Frequently Asked Questions. Some information on NPS 

Scientific Research and Collecting Permits (which may be 

necessary for a Principal Investigator (PI) to obtain) is 

included. The information included in this brochure is derived 

from the following authorities: 

• Paperwork Reduction Act of 1995 (Public Law 104-13, 

May 22, 1995) 

• U.S. Code Title 44, Chapter 35: Coordination of Federal 

Information Policy 

• Code of Federal Regulations (5 CFR Chapter III Part 1320) 

• The Paperwork Reduction Act of 1995: Implementing 

Guidance for OMB Review of Agency Information 

Collection (Draft−August 16, 1999)

• Department of the Interior Information Collection 

Packages−Collection of Information From the Public: 

Interim Guidelines (March 20, 1997) 

• NPS Director's Order #78: Social Science (Draft−June 

2002) 

Surveys of the public or any other information collection1

activity conducted, funded, or sponsored by the NPS must be 

done in compliance with the Paperwork Reduction Act (PRA). 

Compliance with the PRA and approval of government 

sponsored surveys is overseen by the Office of Management and 

Budget (OMB). The PRA applies to any surveys in which 

identical questions are asked of ten or more persons. Specific 

aims of the PRA include: 

• reducing the paperwork burden the government places on 

the public 

• minimizing costs of information collection activities 

• assuring that information collections meet specific agency 

needs 

• maximizing the practical utility of such efforts, and 

• avoiding collection of duplicate information 

 

1 The following are collectively referred to as information collections by 

the federal government: mail-back questionnaires, on-site 

questionnaires, face-to-face interviews, telephone surveys, and focus 

groups. In this brochure, information collections will be referred to 

simply as surveys.

When a survey is reviewed for PRA compliance, specific 

attention is given to the amount of burden the information 

collection places on the public, the soundness of the research 

methodology, and the clarity of the actual survey instrument. 

The NPS Social Science Program staff, under the direction of 

the Visiting Chief Social Scientist, provides technical assistance 

(as requested) to researchers regarding survey design, 

methodology, and proposal review. The NPS Social Science 

Program staff will work with a PI on any proposed survey to 

assure compliance with existing NPS, Department of the Interior 

(DOI) and OMB rules regarding social science research and 

surveys of the public. PIs may be: 

• park resource management specialists 

• agency scientists 

• researchers from universities and organizations cooperating 

with the NPS, among others 

The NPS Social Science Program staff processes all surveys 

submitted for approval, conducting a thorough administrative 

and technical review. Once approved by the NPS Social 

Science Program, proposed surveys are subsequently submitted 

to the DOI and/or OMB for action as necessary. 

The NPS Social Science Program staff will help PIs and park 

managers determine which types of approval, if any, are needed. 

The NPS Social Science Program staff will also assist PIs with 

the survey submission and approval process. 

If the NPS conducts, funds, or sponsors a survey, NPS and OMB 

approval is required. If the NPS provides significant in-kind 

services to a researcher conducting an independent study, NPS 

and OMB approval is required. 

In-kind services include: 

• staff assistance in survey design or administration 

• housing or office space made available for researchers 

• use of NPS equipment or facilities 

Placement of signs announcing a study on a visitor center 

information desk can imply NPS sponsorship. If an 

independently conducted survey is intended to meet specific 

needs of the NPS or the study's findings are documented in a 

report to the NPS, the NPS appears to be the sponsor. In such 

cases, approval is required. 

If no NPS funds or in-kind services are provided, NPS and OMB 

approval of the survey is not required. If an independent study 

is not designed to meet a specific agency need, NPS and OMB 

approval of the survey is not required. In such cases, only park 

Scientific Research and Collecting Permits may be required. 

If another federal agency provides funds for a study or collects 

information in a unit of the National Park System, that agency, 

rather than the NPS, must acquire OMB approval. If survey 

funding is transferred to the NPS, then the NPS should acquire 

the approval. 

NPS, DOI and OMB Survey Approval 

Processes 

Various requirements and rules apply to different types of 

surveys. The key below provides simple information regarding 

which type of approval or permits are required for a given 

survey. Detailed descriptions of those approval processes 

follow. 
2 

1. Social Science Surveys Related to the Mission of the National Park 

Service (NPS) or the Study of People and Parks in the National Park 

System

 

 a) Surveys of NPS Employees regarding their 

work............................... 

No OMB Approval, 

Park Permits May Apply

 

 b) Surveys of the 

Public................................................................. 

Go to 2 

 

 2. Surveys of the Public 

 

 a) Not Conducted, Sponsored, or Funded by the 

NPS............ 

No OMB Approval, 

Park Permits May Apply

 

 b) Conducted, Sponsored, or Funded by the 

NPS.................. 

Go to 3 

 

 3. Surveys of the Public Conducted, Sponsored, 

or Funded by the NPS

 

 a) Surveys of Park Visitors, Potential Visitors, 

and/or Residents of Communities Near 

Parks...................................................

... 

Submit for Expedited Approval, 

Park Permits May Apply

 

 b) Surveys of Specialized Populations (Not Park 

Visitors, Potential Visitors, and/or Residents 

 of Communities Near 

Parks......................... 

Submit for Standard Approval, 

Park Permits May Apply

1.a) Surveys of NPS Employees 

Researchers may be interested in surveying NPS employees 

regarding their work. Surveys of NPS employees conducted, 

funded, or sponsored by the NPS fall outside the scope of the 

PRA. No OMB approval is required. However, other policies 

and regulations concerning employee participation may exist. 

PIs should consult with NPS Human Resources personnel. 

Any proposed survey of NPS employees conducted 

independently will be subject to the same rules as surveys of the 

public not funded or sponsored by the NPS. An NPS Scientific 

Research and Collecting Permit may be necessary. 

If federal employees are surveyed in their role as private 

citizens, they are treated as any other person. If the survey is 

conducted, funded, or sponsored by the NPS, OMB approval 

will be required. If the survey is not conducted 

using NPS funds or in-kind support, only a park Scientific 

Research and Collecting Permit may be needed. 

2.a) Surveys of the Public Not Conducted, 

Funded, or Sponsored by the NPS: 

Technical Assistance for Park Managers and 

Independent Researchers 

The NPS Social Science Program staff can provide technical 

assistance to park managers and PIs regarding independent 

social science research proposed in units of the National Park 

System. If no NPS funds are used and the NPS is not a sponsor 

of a survey, OMB approval is not required. An NPS Scientific 

Research and Collecting Permit, issued by the parks, may be 

necessary. 
3

Following NPS policy and regulations, the NPS Social Science 

Program staff can provide park managers and PIs with technical 

assistance and recommendations on proposed social science 

research projects independently conducted in parks. The 

following are recommendations to NPS park managers 

regarding non NPS-sponsored surveys conducted in units of the 

National Park System: 

• The park staff should review a draft of the survey 

instrument and sampling plan. The NPS Social Science 

Program staff can also review these materials if requested 

by a representative of the park. 

• The survey instrument and accompanying materials should 

clearly state that the NPS is not sponsoring the information 

collection. 

• Researchers should make it clear to potential respondents 

that participation in the survey is completely voluntary and 

that responses will be kept confidential. 

• Personal contact information and data from respondents 

should be used for no other purpose than the specific 

research project covered by the research permit. 

• The park should request a copy of the final report or any 

articles resulting from the project. A copy of such 

materials should also be archived with the NPS Social 

Science Program. 

3.a) Surveys of Park Visitors, Potential 

Visitors, and Residents of Communities 

Near Parks Conducted, Funded, or 

Sponsored by the NPS: The Expedited 

Approval Process 

There is an expedited PRA approval process for public surveys 

conducted, funded, or sponsored by the NPS. The expedited 

process applies to surveys of park visitors, potential visitors, 

and/or residents of communities near parks. Questions on 

such surveys must fall within one or more of seven specific 

topic areas related to individuals and their perceptions or 

experiences with the National Park Service. Studies that collect 

information from anyone other than park visitors, potential 

visitors, or residents of communities near parks or that ask 

questions outside the specific topic areas must be submitted 

under the standard approval process. 

The specific topic areas included in the expedited approval 

process are: 

• individual characteristics 

• trip/visit characteristics 

• individual activities and uses of park resources 

• individual expenditures 

• individual evaluation of park services 

• individual perceptions of their park experiences 

• individual opinions on park management 

The request for expedited approval, and submission of a 

complete and accurate submission package, must be made at 

least 60 calendar days prior to the first day the PI wishes to 

administer the survey instrument to the public. The following 

steps apply: 

• The PI prepares a complete submission package for the 

NPS Social Science Program. The package includes: 

• the Expedited Approval form

• the proposed survey instrument

• supporting documents (such as introductory scripts 

and follow-up letters)

• NPS Social Science Program staff and the Visiting Chief 

Social Scientist conduct an administrative and technical 

review. The Social Science Program staff work with the PI 

to make necessary revisions. If approved by the NPS 

Social Science Program, the submission is delivered to 

OMB. 

• OMB reviews the submission, and notifies the NPS of 

approval, disapproval or revisions necessary. 

• If approved by OMB, the NPS Social Science Program 

staff notifies the PI immediately and assigns an OMB 

control number, an NPS identification number, and an 

expiration date to the project. 

• The PI prepares the final survey instrument and submits a 

file copy to the NPS Social Science Program. 

• Upon completion of the survey, the PI submits a copy of 

any report or articles resulting from the project to the NPS 

Social Science Program. 

A guide to this process, Guidelines and Approval Form for 

Expedited Approval for NPS-Sponsored Public Surveys, is 

available from the NPS Social Science Program. Electronic 

copies are available on the NPS Social Science Program 

website: 

http://www.nature.nps.gov/socialscience/survey.cfm

In addition to OMB approval, a National Park Service 

Scientific Research and Collecting Permit may be 

necessary. These permits are issued by individual 

park units. The application can be filed on-line at the 

following website: 

http://science.nature.nps.gov/research

3.b) Surveys of Specialized Populations 

Conducted, Funded, or Sponsored by the 

NPS: The Standard OMB Approval Process 

The standard OMB approval process applies to all NPSsponsored surveys of specialized populations who are not park 

visitors, potential visitors, or residents of communities near 

parks. The standard OMB review process must be used for

controversial surveys that are likely to attract or include topics 

of significant public interest in the review process. In addition, 

the standard OMB approval process must be used in cases where 

surveys are conducted with extremely specialized populations or 

where questions asked of the public fall outside the scope of 

those permissible under the program of expedited approval. 

Surveys submitted under the standard approval process are 

reviewed and approved by the NPS Social Science Program, the 

NPS Information Collection Clearance Officer, and the DOI 

Information Collection Clearance Officer in the Office of Policy 

Analysis prior to submission to OMB. The standard OMB 

approval process takes 6 to 8 months. The following steps are 

required: 
4 

• A 60-Day Federal Register Notice is published. This 

brief, general notice announces intent to request clearance 

for an information collection, and solicits public comments 

on the need for gathering information in the proposed 

study. 

• The PI submits a draft of the 60-Day Notice to the 

NPS Social Science Program staff. 

• Once in final form, the NPS Social Science Program 

transmits the notice through numerous clearances 

within the NPS and DOI. 

• When cleared, the notice is sent to the Federal 

Register. 

• The NPS Social Science Program pays the publication 

cost. 

• Clearance of Federal Register Notices can take 2 

months or more.

• A final PRA package, using required OMB forms, is 

prepared and submitted to the NPS Social Science Program 

for review. The submission is subsequently reviewed by 

the NPS Social Science Program as well as NPS and DOI 

Information Collection Officers. The NPS Social Science 

Program staff communicate with PIs regarding any changes 

needed as a result of NPS and DOI review. If approved by 

the NPS and DOI, the package is submitted to OMB. The 

PRA package includes: 

• a completed form 83-I

• a supporting statement consisting of a survey 

justification, description of methodology, and 

description of burden the survey places on the public 

• the survey instrument 

• a copy of the 60-Day Federal Register Notice, and a 

summary of any public comments and their 

incorporation into the final research plan 

• a draft 30-Day Federal Register Notice 

Form 83-I and instructions are available from the 

OMB website: 

www.whitehouse.gov/omb/inforeg/83i.pdf 

• A 30-Day Notice is published in the Federal Register. The 

Notice announces submission of the study package to 

OMB, and solicits public comments on the proposed 

information collection. 

• The PI submits a draft of the 30-Day Notice to the 

NPS Social Science Program staff. 

• Once in final form, the NPS Social Science Program 

transmits the notice through numerous clearances 

within the NPS and DOI. 

• When cleared, the notice is sent to the Federal 

Register. 

• The NPS Social Science Program pays the publication 

cost. 

• Clearance of Federal Register Notices can take 2 

months or more.

• OMB reviews the submission and responds with a Notice 

of Action (indicating approval, disapproval, or conditional 

approval based on required revisions) within 60 days. 

• Upon approval, the PI prepares the final survey instrument 

and submits a file copy to the NPS Social Science Program. 

• Upon completion of the survey, the PI submits a copy of 

any report or articles resulting from the project to the NPS 

Social Science Program. 

The NPS Social Science Program staff can provide park 

managers and PIs with appropriate forms, instructions, and 

samples for use in preparing their submission package. 

In addition to NPS, DOI and OMB approval, a National 

Park Service Scientific Research and Collecting 

Permit may be necessary. These permits are issued 

by individual park units. The application can be filed 

on-line at the following website: 

http://science.nature.nps.gov/research

Categories of Inquiry Outside the Scope of 

NPS and OMB Approval 

There are a number of categories of inquiry which are not 

considered to be information collections by OMB, and therefore 

are outside the scope of NPS and OMB approval. Several of 

those categories of inquiry may be relevant to the NPS. Brief 

descriptions follow. 

1. Affidavits, oaths, affirmations, certifications, receipts, change 

of address, consents, or acknowledgements

This category pertains to facts provided by a person necessary to 

identify themselves and their address. For example, a park 

wishing to gather names and addresses for inclusion on an 

informational mailing list would not be subject to approval. The 

NPS Social Science Program recommends inclusion of a 

statement on any such list informing the public that leaving their 

name and address is purely voluntary and that name and address 

files will be used for no purpose other than informational 

mailings 

2. Facts or opinions obtained through direct observation or 

through non-standardized oral communication in connection 

with such direct observation 

Information collected by direct observation of the public is 

outside the scope of NPS or OMB approval. For instance, in a 

study of visitor behavior in which no questions are asked, no 

approval is required. Questions asked of the visitors regarding 

their behavior (as observed by the researcher) stand outside the 

scope of OMB approval only if questions asked of each 

individual are not identical. If the same type of information is 

requested in regard to observed behavior, NPS and OMB 
5

approval is required. Park Scientific Research and Collecting 

Permits may be needed. 

3. Facts or opinions submitted in response to general 

solicitations of comments from the general public 

Comments solicited as a result of Federal Register Notices or in 

regard to other public documents are not considered to be 

information collections and are outside the scope of NPS and 

OMB approval. 

4. Facts or opinions solicited in connection with public 

hearings or meetings 

Individual testimony or comments in public meetings are outside 

the scope of NPS and OMB approval. 

5. Information solicited through non-standardized follow-up 

questions designed to clarify responses to approved collections 

of information

This category includes questions asked of respondents to verify 

or clarify their responses to surveys previously approved by 

NPS and OMB. For instance, in a face-to-face interview or 

focus group the PI may wish to have a respondent clarify their 

response to a given question. Such inquiry does not require 

approval if the question is specific to the individual's response. 
6 

Frequently Asked Questions 

1. What type of information collections require NPS and OMB 

approval? 

Any survey including on-site or mail-back questionnaires, faceto-face or telephone interviews, focus groups or other methods 

which obtain information for the NPS by means of identical 

questions posed to ten or more persons require NPS and OMB 

approval. Approval is required for any study conducted, 

sponsored, funded, or requested by the NPS. The approval 

process also applies to any information collection for which the 

NPS provides significant in-kind services (staff support, office 

resources, copying services, etc.). 

2. My study will compare information collected from park 

visitors with that from individuals who do not use the national 

parks. Which approval process must I use? 

The expedited approval process applies to all activities that 

collect information from park visitors, potential visitors or 

residents of communities near parks. A comparative study of 

this type falls within the scope of the expedited approval 

process, if the questions asked are within the scope of the 

specific topic areas. 

3. Do I need approval if I am surveying NPS employees? 

OMB approval is not required if information is collected from 

federal employees as part of their jobs. However, such studies 

may require a Scientific Research and Collecting Permit from 

the park in which it is conducted. Other important personnel 

policies and regulations may also apply. Information collected 

from federal employees regarding their role as private citizens 

falls within the scope of NPS and OMB approval. 

4. Is approval required for information collected in focus 

groups? 

Information collected in focus groups or group interviews is 

subject to NPS and OMB approval if the total participation in 

focus groups includes ten or more persons and they are asked 

identical questions. Even though questions may be tailored to 

individual respondents, the same type of information is being 

gathered. 

5. Do I need approval if I am surveying international visitors to 

national parks? 

Collections of information require OMB approval under the 

PRA even though all or some of the respondents may be 

international visitors. 

6. I am a graduate student conducting a study of national park 

visitors. Do I need approval for my study? 

NPS and OMB approval is required only if the study is 

conducted, sponsored, or funded by the NPS. If you are 

receiving financial or in-kind support from the NPS, approval 

will be required. An NPS Scientific Research and Collecting 

Permit may be needed. 

7. I am interested in surveying small groups of visitors to the 

national park where I am superintendent. Is approval required? 

NPS and OMB approval is required if identical questions are 

asked of ten or more persons. 

8. My research is funded by a federal grant (not from the NPS). 

Am I subject to NPS and OMB approval? 

Your work would need approval only if the information you are 

collecting is at the request of the NPS or the terms and 

conditions of your grant require NPS clearance of the 

information collection. Your study may require a Scientific 

Research and Collecting Permit from the park unit in which you 

are working. Contracts are not the same as federal grants. 

Many NPS social science research projects are contracted to 

universities and other partners. NPS and OMB approval is 

required in those cases. 

9. My project is being conducted as a result of a Memorandum 

of Understanding (MOU) between the NPS and another federal 

agency. The funding is from the other agency but has been 

transferred to the NPS. Do I need to seek NPS and OMB 

approval for my survey? 

In such a case, the NPS takes on the sponsorship role, even 

though the funds originally came from another federal agency. 

The study would be treated as any other project conducted, 

funded, or sponsored by the NPS. If, however, the other federal 

agency had not transferred funds and wished to do a study in a 

unit of the National Park System, that agency, rather than the 

NPS, would need to seek OMB approval. 

10. My university has an existing cooperative agreement (such 

as a CESU) with the NPS. Do I need to seek approval for 

surveys conducted under that agreement? 

Approval is required for any information collection sponsored 

by a federal agency. Cooperative agreements and/or contracts 

act as formal sponsorship arrangements. The approval process 

applies to specific surveys or information collection activities 

conducted under a cooperative agreement or other contract. 

11. I am working on a survey which is not sponsored by the 

NPS. I want NPS staff to comment on the instrument design. I 

also want to assure that my work meets needs of the NPS. Do I 

need approval? 

If the NPS comments on the text of your survey to the extent 

that it exercises control and tacitly approves it, the agency can 

appear to sponsor the survey. In that case, NPS and OMB 

approval will be necessary. If the NPS publicly endorses your 

study, allows you to use the NPS arrowhead, or if you include a 

statement in the instructions of your survey indicating it is being 

conducted to meet NPS needs, OMB approval is required. If the 

NPS does not appear to sponsor your study, approval will not be 

necessary. However, such studies may require a scientific 

research and collecting permit from the park in which they are 

conducted. 
7

12. I have been asked by the NPS to study visitor response to 

interpretive exhibits. I intend to observe visitors' behavior as 

they approach, read, and interact with the exhibits. Will I need 

approval? 

Observations made by employees or contractors of the NPS are 

exempt from the approval process if no information is solicited 

from the public. Also exempt would be questions asked of the 

person that are specific to that individual or result from 

observation. However, such studies may require a Scientific 

Research and Collecting Permit from the park in which they are 

conducted. 

13. How long does the standard NPS and OMB approval 

process take? 

The standard approval process takes approximately 6 to 8 

months. Public comment periods and separate reviews are 

conducted by the NPS Social Science Program, the DOI Office 

of Policy Analysis, and OMB. Thorough planning, well in 

advance of the intended start date of a survey is necessary. 

14. How long does the expedited approval process take? 

The request for expedited approval, and submission of a 

complete and accurate approval package, must be made at least 

60 calendar days prior to the first day the PI wishes to 

administer the survey instrument to the public. The expedited 

approval process applies to studies of park visitors, potential 

visitors, and/or residents of communities near parks. 
8 

Glossary 

Burden refers to the time expended by a member of the public 

in order to provide information to the federal government. 

Burden includes the time expended during an initial contact, 

reviewing instructions, and filling out a survey or providing 

responses in an interview or focus group. 

Federal Register Notice A notice published in the Federal 

Register soliciting public comment on a proposed information 

collection. The first required notice (60-Day Notice) announces 

intent to request clearance for an information collection, and 

solicits public comments on the need for gathering information 

in the proposed study. When a full PRA package is submitted to 

OMB, a 30-Day Federal Register Notice is published requesting 

public comment on the full study proposal. 

Form 83-I The official form used to submit a request for 

clearance of an information collection in compliance with the 

Paperwork Reduction Act. 

GPRA The Government Performance and Results Act (P.L. 

103-62 August 3, 1993). 

Identical Questions is a term used by OMB to describe the 

same level of information on the same subject being asked of the 

public. Identical questions need not be phrased exactly the same 

way each time they are asked to be considered identical 

questions. 

Information Collection is the "obtaining, causing to be 

obtained, soliciting, or requiring the disclosure to third parties or 

the public, of facts or opinions by or for an agency." 

Information collection may take place in the form of surveys, 

questionnaires, interviews, or focus groups. 

PRA The Paperwork Reduction Act of 1995 (P.L. 104-13 May 

22, 1995) took effect on 1 October 1995. 

PRA Package The complete package of materials submitted to 

OMB for approval of an information collection. The PRA 

package includes Form 83-I, a supporting statement, a copy of 

the survey instrument, and copies of both 60-Day and 30-Day 

Federal Register Notices. 

Parks refers to all types of units within the National Park 

System, such as national park, national preserve, national 

monument, national memorial, national historic site, national 

lakeshore, and national battlefield park among others. Also 

included are administrative, regional, and support offices, and 

program centers. 

For more information, to initiate the NPS or OMB approval process, or to request a copy 

of Guidelines and Approval Form for Expedited Approval for NPS-Sponsored Public Surveys, 

contact: 

National Park Service 

Social Science Program 

1849 C Street, NW (3127) 

Washington, DC 20240 

Fax: 202.208.4620 

http://www.nature.nps.gov/socialscience/survey.cfm
9

 Notes 
 
Mission Statement 

The objectives of the NPS Social Science Program 

are to conduct and promote state-of-the-art 

social science related to the mission of the 

National Park Service and deliver useable knowledge 

to NPS managers and to the public