1 Supporting Statement Part A FINAL-2.24.20

Supporting Statement for the Survey of American Artists
Participating in International Exchanges, Part A

Table of Contents
A1. Circumstances that make the collection of information necessary. ......................................... 4
A2. Purpose and use of the information.......................................................................................... 6
A3. Use of information technology and burden reduction. .......................................................... 9
A4. Efforts to identify duplication. ............................................................................................. 10
A5. Impacts on small businesses or other small entities. ........................................................... 10
A6. Consequences of collecting the information less frequently. .............................................. 10
A7. Special circumstances relating to the Guidelines of 5 CFR 1320.6..................................... 11
A8. Comments in response to the Federal Register Notice and efforts to consult outside
Agency. ......................................................................................................................................... 11
A9. Explain any decisions to provide any payment or gift to respondents. ............................... 11
A10. Assurances of confidentiality provided to respondents. .................................................... 11
A11. Justification for any questions of a sensitive nature. ......................................................... 12
A12. Estimates of the hour burden of the collection of information. ......................................... 12
A13. Estimates of other total annual cost burden. ...................................................................... 13
A14. Provide estimates of annualized costs to the Federal Government. .................................. 13
A15. Explain the reasons for any program changes or adjustments reported on the burden
worksheet. ..................................................................................................................................... 13
A16. Plans for tabulation, and publication and project time schedule. ...................................... 13
A17. Displaying the OMB Approval Expiration Date.................................................................. 14
A18. Exceptions to the certification statement identified in Item 19. ........................................ 14

Table of Attachments
Attachment A: Literature Scan and Focus Group Reports
Attachment B: Communication Materials
Attachment C: Web Survey Instrument
Attachment D: Cognitive Testing Report

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Abstract
This request for conditional clearance will enable the National Endowment for the Arts
(“the Arts Endowment”) to pilot test and eventually implement a web survey that will be used to
support performance reporting on the career benefits to U.S. artists who receive grants to travel
and perform abroad. This package requests the Office of Management and Budget’s (OMB)
conditional clearance for pilot testing. Upon OMB receipt of the pilot testing results, we will
request full clearance for the annual survey, as advised by the Arts Endowment OMB desk
officer.
The Arts Endowment’s Office of International Activities provides opportunities for U.S.
artists to participate in global arts events by partnering with U.S. regional arts organization Mid
Atlantic Arts Foundation on the USArtists International (USAI) program, as well as through
several other partnerships and activities. The USAI program is the largest of the Arts
Endowment’s efforts supporting artists’ travel and performances abroad and therefore was
selected for this work because it will provide the largest sample of respondents, allowing the Arts
Endowment to measure the impacts an international exchange program can have on artists’
careers. The Arts Endowment will pilot test and eventually implement an annual, web-based
census survey of USAI grantees that will provide the Arts Endowment with evidence of the
program’s benefits to artists’ professional careers. The web survey data will support performance
reporting on the Arts Endowment’s fiscal year (FY) 2018‒2022 Strategic Plan, which seeks to
gather evidence to show “Arts Endowment-supported international exchanges have a
demonstrable benefit on the careers of participating American artists” (Performance Goal 3.3.3).
The annual data collection will provide evidence in response to the associated performance
indicator (3.3.3.1), “The percentage of American artists that report benefits of their participation

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in NEA-supported international exchanges.” The survey will focus on benefits to artists’
professional opportunities, professional networks, professional skills and learning, reputations,
and creativity. The survey is designed to take approximately 8 minutes and asks 24 questions,
with skip patterns.
Part A. Justification
A1. Circumstances that make the collection of information necessary.
Identify any legal or administrative requirements that necessitate the collection. Attach a
copy of the appropriate section of each statute and regulation mandating or authorizing the
collection of information.
The planned data collection is a new information collection request, and the data to be
collected are not available elsewhere unless obtained through this information collection. A webbased survey of the USAI program grantees is planned once annually for spring 2021, spring
2022, and spring 2023. A pilot test of the web survey is planned for March 2020, contingent
upon OMB approval. Knowledge gained through this information collection will enable the Arts
Endowment to collect evidence on the impact of the USAI program on U.S. artists’ careers.
Currently, the Arts Endowment does not collect any information from USAI grantees related to
the benefits of the program on their careers.
USAI is an international artist exchange program administered by the Mid Atlantic Arts
Foundation. The Arts Endowment is the lead funder of the program and supports the program
through a cooperative agreement with Mid Atlantic Arts Foundation. Additional supporting
partners include the Andrew W. Mellon Foundation and the John D. and Catherine T. MacArthur
Foundation which support artists from the Chicago area, and the Trust for Mutual Understanding
and the Howard Gilman Foundation which support New York City-based organizations. It is the
only national initiative in the United States solely devoted to supporting performances by
American artists at important international cultural festivals and arts marketplaces abroad and is
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the largest of the Arts Endowment efforts supporting artists’ performances abroad. USAI
provides grants of up to $15,000 towards the support of artist fees, travel, accommodations, per
diem, shipping, and visa preparation for U.S. artists. USAI provides grants to ensembles and
individual performers in dance, music, and theatre.
Based on the Arts Endowment’s FY 2018‒2022 Strategic Plan (approved by OMB), the
Arts Endowment decided to develop a survey of U.S. artists participating in international
exchange programs to support performance reporting that shows “Arts Endowment-supported
international exchanges have a demonstrable benefit on the careers of participating American
artists” (performance goal 3.3.3) and “the percentage of American artists that report benefits of
their participation in Arts Endowment-supported international exchanges” (performance
indicator 3.3.3.1). The survey supports the agency’s evidence-building efforts, to better
understand outcomes associated with its investments. On page 26 of the Strategic Plan, the study
is described as a specific evidence-building initiative supporting Strategic Objective 3.3:
The NEA intends to examine the impacts of these international exchanges on the careers
of U.S. artists and on U.S. audiences who experience works originating from foreign
artists as part of its evidence-building efforts. As an initial step, the NEA is investigating
whether to plan a survey of U.S. artists participating in international exchanges with the
goal of developing a richer understanding of the program’s short- and longer-term
impacts on their careers.
The Arts Endowment’s Office of International Activities and Office of Research &
Analysis decided to survey artist grantees of the USAI program because it is the largest of the
Arts Endowment’s efforts to support artists’ travel and performances abroad and can provide the
largest sample of artists to survey. The questions in the survey will capture five constructs related

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to artists’ careers, including professional opportunities, professional networks, professional skills
and learning, visibility as an artist, and creativity.
This request is for a conditional clearance to conduct pilot testing of a web survey and
upon OMB receiving the results of the pilot study, a potential full clearance to conduct an annual
survey of past USAI program participants once the survey has been piloted.
A2. Purpose and use of the information.
Indicate how, by whom, and for what purpose the information is to be used. Except for a
new collection, indicate how the agency has actually used the information received from the
current collection.
The Arts Endowment will conduct a single pilot test and then implement an annual
census web survey of grantee artists who participated in the USAI program in the year that
occurred prior to the year the survey will be implemented. USAI makes approximately 75 grants
each year. The Arts Endowment will use the information collected in the web survey to capture
five constructs that relate to artists’ careers and provide evidence of USAI’s benefits on the
careers of participating American artists. The Arts Endowment will report data from the survey
in its Annual Performance Report as evidence in support of performance goal 3.3.3 and,
specifically, performance indicator 3.3.3.1. The data will also inform internal discussions about
potential program improvements and improve accuracy of data that the agency reports annually
to the State Department about artists traveling overseas. Specifically, the survey data will support
the following:
•

Question 1-2b will show geographic reach of the USAI program (i.e., countries
who have hosted a USAI-sponsored artist project) and will aid in the
identification of regions where additional outreach may be conducted. Results
may also improve accuracy of data required by the State Department.

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•

Question 2-3 will help gauge effectiveness of agency communications with
embassies in the host country about the USAI program and the Arts Endowment’s
efforts to connect artists with embassy staff.

•

All survey data will be used to inform decision-making related to continuity or
expansion of funding for this program.

The Arts Endowment will report the survey data in aggregate in the Annual Performance
Report to respond to performance goal 3.3.3 and performance indicator 3.3.3.1 in the following
ways (subject to change based on analysis of the pilot test data):
1. The number and percentage of artists that indicate career benefits resulted from the
USAI program (“yes” to any of the yes/no questions, “strongly agree” or “agree” to
any of the Likert questions, or at least some [the exact number will be determined
based on analysis of the pilot test survey data] maintained professional contacts),
which include professional opportunities, professional networks, professional skills
and learning, reputation as an artist, and creativity.
2. The estimated total and average number of secured bookings artists received as a
result of the USAI program (applies only to the professional opportunities construct).
3. The countries that artists received professional opportunities in as a result of the
USAI program (applies only to the professional opportunities construct).
The Arts Endowment will also report these data by construct in the Annual Performance
Report. Table 1 provides the specific data points the Arts Endowment will collect on each of the
five constructs. The frame for the survey pilot test is 2014 to 2018 artist grantees (N = 189). The
frame for the annual survey includes USAI artist grantees from the year preceding the survey
implementation (N = 75, per year).

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Table 1. Data Points the Arts Endowment Will Collect for Each Construct of Artist Careers
Construct of Artist Careers Data Points the Arts Endowment Will Collect
Professional Opportunities: • Number/percentage of U.S. artists who secured bookings
increased number of
to perform abroad as a result of a USAI-sponsored
opportunities available to
experience
artists based on success
• Estimated total and average number of secured bookings to
perform abroad received by U.S. artists as a result of
USAI-sponsored experiences
• The countries from which U.S. artists have secured
bookings to perform in as a result of a USAI-sponsored
experience
Professional Networks:
• Number/percentage of U.S. artists who made and
increased number of
maintained new international professional contacts as a
professional
result of a USAI-sponsored experience
contacts/relationships an
• Number/percentage of U.S. artists who collaborated with
artist has
new international professional contacts on a new
performance or some other finished product
• Number/percentage of U.S. artists that maintained 1 to 2, 3
to 5, 6 to 9, or more than 10 professional contacts as a
result of a USAI-sponsored experience
• Number/percentage of U.S. artists who interacted with the
U.S. embassy before or during their USAI-sponsored
experience
Professional Skills and
• Number/percentage of U.S. artists who report a better
Learning: new professional
understanding of travel logistics and regulations related to
skills an artist learns or
performing arts presentation and touring in other countries
enhances
as a result of a USAI-sponsored experience
• Number/percentage of U.S. artists who report learning new
strategies for engaging international audiences as a result
of a USAI-sponsored experience
• Number/percentage of U.S. artists who report enhancing
marketing skills as a result of a USAI-sponsored
experience, including skills of
o self-promotion on digital platforms,
o media relations,
o accessing other funding sources, and
o other skills
Visibility as an Artist:
• Number/percentage of U.S. artists who report they
development of a positive
improved their artistic reputation in the international arts
artistic reputation; an artist
community as a result of a USAI-sponsored experience
becomes more “known” in
• Number/percentage of U.S. artists who report they gained
the art world
more followers on social media as a result of a USAIsponsored experience

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Creativity: incorporation of
new ideas and innovative
ways of thinking into artistic
practice

•
•
•

Number/percentage of U.S. artists who report taking more
risks in their artistic practice as a result of a USAIsponsored experience
Number/percentage of U.S. artists who report
incorporating more diverse ideas into their artwork as a
result of a USAI-sponsored experience
Number/percentage of U.S. artists who report that their
creativity benefited in other ways as a result of a USAIsponsored experience. (Note: Based on the pilot testing
results, this question will be evaluated to determine if it
will be included in the full implementation.)

To determine the constructs for the survey and the survey items to include for each
construct, the Arts Endowment hired a contractor to:
1. perform a focused literature scan of research and evaluation studies that assess the
impacts of artists’ participation in international festivals, exchange programs, and
other international experiences on artists’ careers; and
2. conduct two 60-minute virtual focus groups with USAI artists (nine or fewer artists
per group, and each group receiving different questions) to gain a deeper
understanding of how the constructs identified in the literature scan specifically apply
to the USAI artists’ experiences. We provide reports detailing the results of the
literature scan and two focus groups in Attachment A.
A3. Use of information technology and burden reduction.
Describe whether, and to what extent, the collection of information involves the use of
automated, electronic, mechanical, or other technological collection techniques or other
forms of information technology, e.g., permitting electronic submission of responses, and
the basis for the decision for adopting this means of collection. Also describe any
consideration of using information technology to reduce burden.
The Arts Endowment takes its responsibility to minimize burden on respondents very
seriously and has designed this project with that goal in mind. By designing a web-based survey,
the Arts Endowment has eliminated hundreds of hours of labor that would have been required to
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administer a paper-based survey. A web-based survey enables the surveying of all USAI grantees
funded in the year prior. Because there are minimal costs associated with adding participants,
every grantee will have a chance to answer the survey. Thus, the electronic nature of the survey
provides the most efficient mechanism for the Arts Endowment to capture responses from
grantees.
Once the survey is electronically deployed, it will include dynamic survey logic that will
tailor the questions to present the most applicable and relevant questions to respondents. For
example, respondents who agree with the prepopulated information on their respective grants
will not be asked to update their records with relevant information.
A4. Efforts to identify duplication.
Describe efforts to identify duplication. Show specifically why any similar information
already available cannot be used or modified for use for the purposes described in item 2
above.
There is no similar ongoing data collection being conducted that duplicates the efforts of
the proposed data collection. This web survey is the first annual federal survey of USAI grantees.
USAI grantee administrative data does not include information on the benefits of the program for
artists’ careers. As a result, the Arts Endowment lacks information about the impacts of the
program on artists’ professional outcomes.
A5. Impacts on small businesses or other small entities.
No small business entities or other small entities are involved in this data collection.
A6. Consequences of collecting the information less frequently.
Describe the consequence to Federal program or policy activities if the collection is not
conducted or is conducted less frequently, as well as any technical or legal obstacles to
reducing the burden.
The information will be collected in a voluntary annual survey of USAI grantees.
Information obtained from the survey will provide important evidence for the Arts Endowment

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to continually report information on performance goal 3.3.3 in the 2018–2022 Strategic Plan.
Without this survey, the Arts Endowment will have no methods for fully understanding how the
USAI program benefits artists’ careers.
Collecting the information less frequently, or with fewer grantees, would not only impede
the Arts Endowment’s ability to understand how the USAI program continues to benefit U.S.
artists careers, it would also impede the agency’s ability to provide annual evidence supporting
the accomplishment of performance goal 3.3.3 in the 2018–2022 Strategic Plan.
A7. Special circumstances relating to the Guidelines of 5 CFR 1320.6.
The information will be collected in a manner consistent with the guidelines in 5 CFR
1320.6 (Controlling Paperwork Burden on the Public-General Information Collection
Guidelines). There are no special circumstances contrary to these guidelines.
A8. Comments in response to the Federal Register Notice and efforts to consult outside
Agency.
On Friday, August 2, 2019, a 60-day Federal Register Notice was published in 84 FR
16506 Volume 84, No. 149. No comments were received. Cognitive testing of the web survey
was conducted in November 2019, with nine respondents. See Attachment D. On Tuesday,
January 14, 2020, a 30-day Federal Register Notice was published in 85 FR 2150 Volume 85,
No. 9.
A9. Explain any decisions to provide any payment or gift to respondents.
Respondents will not receive any payment or gifts for completion of the web survey.
A10. Assurances of confidentiality provided to respondents.
The web survey includes the festival name, country of the festival, and the year of the
festival for each respondent. The survey introduction and email communications include a
statement to respondents that all data for the survey will be kept confidential and that data will
only be analyzed and reported in aggregate. Moreover, the communications and survey include a
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statement that answers will not affect any present or future grant applications, contract proposals,
or cooperative agreement proposals with the Arts Endowment or its partners. The Arts
Endowment will provide all respondents with a description of the importance of the survey and a
notification that their response to the survey is voluntary.
A11. Justification for any questions of a sensitive nature.
Provide additional justification for any questions of a sensitive nature, such as sexual
behavior and attitudes, religious beliefs, and other matters that are commonly considered
private.
The survey does not contain any questions of a sensitive nature.
A12. Estimates of the hour burden of the collection of information.
Provide estimates of the hour burden of the collection of information. Indicate the number
of respondents, frequency of response, annual hour burden, and an explanation of how the
burden was estimated.
Table 2. Burden Estimates for 2020
Participant
Description

Instrument
or Activity

USAI Artist
Grantees, 2014–
2018

Pilot Testing

Average
Hours per
Response
0.13

Number of
Responses
per Person
1

Total
Estimated
Responses Burden
(Hours)
189
24.57

The total estimated burden for 2020 is 24.57 hours, based on the estimate of 8 minutes
per respondent, as supported by the findings from the cognitive testing of the survey instrument.
The total number of responses for the 2019 pilot testing does not include the 10 artists who
participated in one of the two focus groups (five in each group; each group addressed different
questions) or the nine artists who participated in cognitive testing. The total number of responses
for the 2019 pilot testing also does not include any artists with USAI-sponsored travel from
January 2019 to March 2020. The Arts Endowment will not ask artists who participated in the
focus groups or cognitive testing, or those who will participate in the planned 2021 web survey,
to participate in pilot testing the survey.
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A13. Estimates of other total annual cost burden.
Provide an estimate for the total annual cost burden to respondents or recordkeepers
resulting from the collection of information.
Web survey participants do not incur any costs other than their time spent responding.
A14. Provide estimates of annualized costs to the Federal Government.
The total one-time contracted cost to the Federal Government for the pilot testing is
$9,879.15.
A15. Explain the reasons for any program changes or adjustments reported on the
burden worksheet.
The information collected does not represent any program change.
A16. Plans for tabulation, and publication and project time schedule.
For collections of information whose results will be published, outline plans for tabulation
and publication. Address any complex analytical techniques that will be used. Provide the
time schedule for the entire project, including beginning and ending dates of the collection
of information, completion of report, publication dates, and other actions.
The purpose of this clearance package is to obtain conditional clearance for the pilot test,
which will begin after OMB approval and continue for approximately 2 weeks (estimated March
9, 2020 to March 20, 2020). The pilot testing will collect data so that the Arts Endowment
contractor can test the feasibility of the survey and identify any issues with survey
implementation. After the pilot testing, the Arts Endowment will provide to OMB the results of
the pilot test, a revised survey instrument (if appropriate), and an updated clearance package to
OMB for full approval, as appropriate. After obtaining final clearance, the Arts Endowment will
conduct annual data collection. The Arts Endowment will report descriptive statistics on the
survey items in annual publications.

Table 3. Project Schedule
Activity

Expected Activity
Period
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Conditional clearance by OMB to conduct the pilot study
Contractor performs pilot test

Contractor provides a memo describing the findings of the pilot test
Arts Endowment submits results of pilot study to OMB and an
updated clearance package
Arts Endowment implements web survey of USAI grantees
traveling between October 1, 2019 and September 30, 2020
Arts Endowment implements web survey of USAI grantees
traveling between October 1, 2020 and September 30, 2021
Arts Endowment implements web survey of USAI grantees
traveling between October 1, 2021 and September 30, 2022

1/6/2020–3/13/2020
Expected 3/16/2020–
4/2/2020, may be
adjusted to a later 2week period, contingent
on the timing of OMB
approval
4/6/2020–5/1/2020
5/4/2020–6/1/2020
Spring 2021
Spring 2022
Spring 2023

A17. Displaying the OMB Approval Expiration Date.
If you are seeking approval to not display the expiration date for OMB approval of the
information collection, explain the reasons that display would be inappropriate.
The Arts Endowment will display the expiration date of OMB approval and the OMB
approval number on all instruments associated with this information collection, including forms
and questionnaires.
A18. Exceptions to the certification statement identified in Item 19.
Explain each exception to the topics of the certification statement identified in Certification
for Paperwork Reduction Act Submissions.
No exceptions are necessary for this information collection. The agency is able to certify
compliance with all provisions under Item 19 of OMB Form 83-I.

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