Notice2022-23629
Agency Information Collection Activities: Comment Request
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
October 31, 2022
Issuing agencies
National Science Foundation
Abstract
The National Center for Science and Engineering Statistics (NCSES) within the National Science Foundation invites the general public and other federal agencies to comment on a proposed information collection. NCSES plans to collect information from individuals to fulfill its data security requirements when providing the individual with access to restricted use microdata for the purpose of evidence building. NCSES's data security agreements and other paperwork along with the corresponding security protocols allow the agency to maintain careful controls on confidentiality and privacy, as required by law. The purpose of this notice is to allow for 60 days of public comment on the proposed data security information collection, prior to submission of the information collection request (ICR) to the Office of Management and Budget (OMB).
Full Text
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<title>Federal Register, Volume 87 Issue 209 (Monday, October 31, 2022)</title>
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[Federal Register Volume 87, Number 209 (Monday, October 31, 2022)]
[Notices]
[Pages 65611-65613]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-23629]
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NATIONAL SCIENCE FOUNDATION
Agency Information Collection Activities: Comment Request
AGENCY: National Center for Science and Engineering Statistics,
National Science Foundation.
ACTION: Notice.
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SUMMARY: The National Center for Science and Engineering Statistics
(NCSES) within the National Science Foundation invites the general
public and other federal agencies to comment on a proposed information
collection. NCSES plans to collect information from individuals to
fulfill its data security requirements when providing the individual
with access to restricted use microdata for the purpose of evidence
building. NCSES's data security agreements and other paperwork along
with the corresponding security protocols allow the agency to maintain
careful controls on confidentiality and privacy, as required by law.
The purpose of this notice is to allow for 60 days of public comment on
the proposed data security information collection, prior to submission
of the information collection request (ICR) to the Office of Management
and Budget (OMB).
DATES: Written comments on this notice must be received by December 30,
2022 to be assured of consideration. Comments received after that date
will be considered to the extent practicable. Send comments to the
address below.
Comments: Comments are invited on (a) whether the proposed
collection of information is necessary for the proper performance of
the functions of NCSES, including whether the information will have
practical utility; (b) the accuracy of NCSES estimate of the burden of
the proposed collection of information; (c) ways to enhance the
quality, use, and clarity of the information on respondents, including
through the use of automated collection techniques or other forms of
information technology; and (d) ways to minimize the burden of the
collection of information on those who are to respond, including
through the use of appropriate automated, electronic, mechanical, or
other technological collection techniques or other forms of information
technology.
FOR FURTHER INFORMATION CONTACT: Suzanne H. Plimpton, Reports Clearance
Officer, National Science Foundation, 2415 Eisenhower Avenue, Suite
W18253, Alexandria, Virginia 22314; telephone (703) 292-7556; or send
email to <a href="/cdn-cgi/l/email-protection#99eae9f5f0f4e9edf6d9f7eaffb7fef6ef"><span class="__cf_email__" data-cfemail="1e6d6e7277736e6a715e706d7830797168">[email protected]</span></a>. 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: The Foundations for Evidence-Based
Policymaking Act of 2018 mandates that the Office of Management and
Budget (OMB) establish a Standard Application Process (SAP) for
requesting access to certain confidential data assets. While the
adoption of the SAP is required for statistical agencies and units
designated under the Confidential Information Protection and
Statistical Efficiency Act of 2018, it is recognized that other
agencies and organizational units within the Executive branch may
benefit from the adoption of the SAP to accept applications for access
to confidential data assets. The SAP is to be a process through which
agencies, the Congressional Budget Office, State, local, and Tribal
governments, researchers, and other individuals, as appropriate, may
apply to access confidential data assets held by a federal statistical
agency or unit for the purposes of developing evidence. With the
Interagency Council on Statistical Policy (ICSP) as advisors, the
entities upon whom this requirement is levied are working with the SAP
Project Management Office (PMO) and with OMB to implement the SAP. The
SAP Portal is to be a single web-based common application for
requesting access to confidential data assets from federal statistical
agencies and units. NCSES submitted a Federal Register Notice in
September 2022 announcing plans to collect information through the SAP
Portal (87 FR 53793).
Once an application for confidential data is approved through the
SAP Portal, NCSES will collect information to meet its data security
requirements. This collection will occur outside of the SAP Portal.
Title of collection: Data Security Requirements for Accessing
Confidential Data.
OMB Control Number: 3145-NEW.
Expiration Date of Current Approval: Not Applicable.
Type of Request: Intent to seek approval to collect information to
fulfill NCSES's security requirements allowing individuals to access
confidential data assets for the purposes of building evidence.
Abstract: Title III of the Foundations for Evidence-Based
Policymaking Act of 2018 (hereafter referred to as the Evidence Act)
mandates that OMB establish a Standard Application Process (SAP) for
requesting access to certain confidential data assets. Specifically,
the Evidence Act requires OMB to establish a common application process
through which agencies, the Congressional Budget Office, State, local,
and Tribal governments, researchers, and other individuals, as
appropriate, may apply for access to confidential data assets
collected, accessed, or acquired by a statistical agency or unit. This
new process will be implemented while maintaining stringent controls to
protect confidentiality and privacy, as required by law.
Data collected, accessed, or acquired by statistical agencies and
units is vital for developing evidence on the characteristics and
behaviors of the public and on the operations and outcomes of public
programs and policies. This evidence can benefit the stakeholders in
the programs, the broader public, as well as policymakers and program
managers at the local, State, Tribal, and National levels. The many
benefits of access to data for evidence building notwithstanding, NCSES
is required by law to maintain careful controls that allow it to
minimize disclosure risk while protecting confidentiality and privacy.
The fulfillment of NCSES's data security requirements places a degree
of burden on individuals, which is outlined below.
The SAP Portal is a web-based application to allow individuals to
[[Page 65612]]
request access to confidential data assets from federal statistical
agencies and units. The objective of the SAP Portal is to broaden
access to confidential data for the purposes of evidence building and
reduce the burden of applying for confidential data. Once an
individual's application in the SAP Portal has received a positive
determination, the data-owning agency(ies) or unit(s) will begin the
process of collecting information to fulfill their data security
requirements.
The paragraphs below outline the SAP Policy, the steps to complete
an application through the SAP Portal, and the process NCSES uses to
collect information fulfilling its data security requirements.
The SAP Policy: At the recommendation of the ICSP, the SAP Policy
establishes the SAP to be implemented by statistical agencies and units
and incorporates directives from the Evidence Act. The policy is
intended to provide guidance as to the application and review processes
using the SAP Portal, setting forth clear standards that enable
statistical agencies and units to implement a common application form
and a uniform review process. The SAP Policy was submitted to the
public for comment in January 2022 (87 FR 2459). The policy is
currently under review and has not yet been finalized.
The SAP Portal: The SAP Portal is an application interface
connecting applicants seeking data with a catalog of metadata for data
assets owned by the federal statistical agencies and units. The SAP
Portal is not a new data repository or warehouse; confidential data
assets will continue to be stored in secure data access facilities
owned and hosted by the federal statistical agencies and units. The
Portal will provide a streamlined application process across agencies,
reducing redundancies in the application process. This single SAP
Portal will improve the process for applicants, tracking and
communicating the application process throughout its lifecycle. This
reduces redundancies and burden on applicants who request access to
data from multiple agencies. The SAP Portal will automate key tasks to
save resources and time and will bring agencies into compliance with
the Evidence Act statutory requirements.
Data Discovery: Individuals begin the process of accessing
restricted use data by discovering confidential data assets through the
SAP metadata catalog maintained by federal statistical agencies at
<a href="http://www.researchdatagov.org">www.researchdatagov.org</a>. Potential applicants can search by agency,
topic, or keyword to identify data of interest or relevance. Once they
have identified data of interest, applicants can view metadata
outlining the title, description or abstract, scope and coverage, and
detailed methodology related to a specific data asset to determine its
relevance to their research.
While statistical agencies and units shall endeavor to include
information in the SAP metadata catalog on all confidential data assets
for which they accept applications, it may not be feasible to include
metadata for some data assets (e.g., potential special tabulations of
administrative data). A statistical agency or unit may still accept an
application through the SAP Portal even if the requested data asset or
special tabulation is not listed in the SAP metadata catalog.
SAP Application Process: Individuals who have identified and wish
to access confidential data assets will be able to apply for access
through the SAP Portal when it is released to the public in late 2022.
Applicants must create an account and follow all steps to complete the
application. Applicants begin by entering their personal, contact, and
institutional information, as well as the personal, contact, and
institutional information of all individuals on their research team.
Applicants provide summary information about their proposed project to
include project title, duration, funding, and timeline. Other details
provided by applicants include the data asset(s) they are requesting
and any proposed linkages to data not listed in the SAP metadata
catalog, including non-federal data sources. Applicants then enter
detailed information regarding their proposed project, including a
project abstract, research question(s), literature review, project
scope, research methodology, project products, and anticipated output.
Within the application, applicants must demonstrate a need for
confidential data, outlining why their research question cannot be
answered using publicly available information.
Submission for Review: Upon submission of their application,
applicants will receive a notification that their application has been
received and is under review by the data-owning agency or agencies (in
the event where data assets are requested from multiple agencies). At
this point, applicants will also be notified that application approval
does not alone grant access to confidential data, and that, if
approved, applicants must comply with the data-owning agency's security
requirements outside of the SAP Portal, which may include a background
check.
In accordance with the Evidence Act and the direction of the ICSP,
agencies will approve or reject an application within a prompt
timeframe. In some cases, agencies may determine that additional
clarity, information, or modification is needed and request the
applicant to ``revise and resubmit'' their application.
Data discovery, the SAP application process, and the submission for
review are planned to take place within the web-based SAP Portal. As
noted above, the notice announcing plans to collect information through
the SAP Portal has been published separately (87 FR 53793).
Access to Restricted Use Data: In the event of a positive
determination, the applicant will be notified that their proposal has
been accepted. The positive or final adverse determination concludes
the SAP Portal process. In the instance of a positive determination,
the data-owning agency (or agencies) will contact the applicant to
provide instructions on the agency's security requirements that must be
completed by the applicant to gain access to the confidential data. The
completion and submission of the agency's security requirements will
take place outside of the SAP Portal.
Collection of Information for Data Security Requirements: In the
instance of a positive determination for an application requesting
access to an NCSES-owned confidential data asset, NCSES will contact
the applicant(s) to initiate the process of collecting information to
fulfill its data security requirements. This process allows NCSES to
place the applicant(s) in a trusted access category and includes the
collection of the following information from applicant(s):
<bullet> Restricted-use licensing agreement--This document is an
agreement between NCSES and the applicant's organization provisioning
NCSES's confidential data assets exclusively for statistical purposes
in accordance with the terms and conditions stated in the agreement and
all prevailing laws and regulations. The agreement requires signatures
from the applicant(s) and a senior official at the applicant's
organization who has the authority to enter the organization into a
legal agreement with NCSES.
<bullet> Security plan form--This document requests information
from the applicant(s) to ensure the confidential data assets are
protected from unauthorized access, disclosure, or modification. The
information collected in the security plan form includes the following:
[cir] planned work location address(es),
[[Page 65613]]
[cir] workstation specifications (make, model, serial number, type,
and operating system),
[cir] workstation authorized users,
[cir] workstation monitor position (to prevent unauthorized
viewing), and
[cir] workstation antivirus brand and version.
In addition, the applicant(s) must initial a series of security
measures to indicate compliance. Finally, the form requires signatures
from the applicant(s), a senior official at the applicant's
organization, and a System Security Officer (SSO) at the applicant's
organization. The SSO, in signing the Security plan form, assures the
inspection and integrity of the applicant's security plan.
<bullet> Affidavit of nondisclosure form--This document describes
the confidentiality protections the applicant(s) must uphold and the
penalties for unauthorized access or disclosure. The form requires
signatures from the applicant(s) and the principal researcher for the
project as well as the imprint of a notary public.
Estimate of Burden: The amount of time to complete the agreements
and other paperwork that comprise NCSES's security requirements will
vary based on the confidential data assets requested. To obtain access
to NCSES confidential data assets, it is estimated that the average
time to complete and submit NCSES's data security agreements and other
paperwork is 30 minutes. This estimate does not include the time needed
to complete and submit an application within the SAP Portal. All
efforts related to SAP Portal applications occur prior to and separate
from NCSES's effort to collect information related to data security
requirements.
The expected number of applications in the SAP Portal that receive
a positive determination from NCSES in a given year may vary. Overall,
per year, NCSES estimates it will collect data security information for
20 application submissions that received a positive determination
within the SAP Portal. NCSES estimates that the total burden for the
collection of information for data security requirements over the
course of the three-year OMB clearance will be about 30 hours and, as a
result, an average annual burden of 10 hours.
Dated: October 26, 2022.
Suzanne H. Plimpton,
Reports Clearance Officer, National Science Foundation.
[FR Doc. 2022-23629 Filed 10-28-22; 8:45 am]
BILLING CODE 7555-01-P
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