Notice2022-25342
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
November 22, 2022
Issuing agencies
Health and Human Services DepartmentSubstance Abuse and Mental Health Services Administration
Abstract
Center for Behavioral Health Statistics and Quality (CBHSQ) within the Substance Abuse and Mental Health Services Administration (SAMHSA) invites the general public and other Federal agencies to comment on a proposed information collection. SAMHSA plans to collect information from the public to fulfill its data security requirements when providing access to restricted use microdata for the purpose of evidence building. SAMHSA's data security agreements and other paperwork along with the corresponding security protocols allow SAMHSA 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 224 (Tuesday, November 22, 2022)</title>
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[Federal Register Volume 87, Number 224 (Tuesday, November 22, 2022)]
[Notices]
[Pages 71346-71348]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-25342]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Substance Abuse and Mental Health Services Administration
Agency Information Collection Activities: Comment Request
AGENCY: Center for Behavioral Health Statistics and Quality; Substance
Abuse and Mental Health Services Administration; HHS.
ACTION: Notice.
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SUMMARY: Center for Behavioral Health Statistics and Quality (CBHSQ)
within the Substance Abuse and Mental Health Services Administration
(SAMHSA) invites the general public and other Federal agencies to
comment on a proposed information collection. SAMHSA plans to collect
information from the public to fulfill its data security requirements
when providing access to restricted use microdata for the purpose of
evidence building. SAMHSA's data security agreements and other
paperwork along with the corresponding security protocols allow SAMHSA
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 January 23,
2023 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 SAMHSA, including whether the information will have
practical utility; (b) the accuracy of SAMHSA's 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: Carlos Graham, SAMHSA Reports
Clearance Officer, 5600 Fishers Lane, Room 15E57-A, Rockville, Maryland
20857, OR email a copy to <a href="/cdn-cgi/l/email-protection#8dceecffe1e2fea3caffece5ece0cdfeece0e5feeca3e5e5fea3eae2fb"><span class="__cf_email__" data-cfemail="8ecdeffce2e1fda0c9fcefe6efe3cefdefe3e6fdefa0e6e6fda0e9e1f8">[email protected]</span></a>.
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 (CIPSEA), 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 the
public to request access to confidential data assets from federal
statistical agencies and units. The National Center for Science and
Engineering Statistics (NCSES), within the National Science Foundation
(NSF), 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, SAMHSA 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
from the public to fulfill [agency name] 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 conditions, 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, SAMHSA is required by law to maintain careful
controls that allow it to minimize disclosure risk while protecting
confidentiality and privacy. The fulfillment of SAMHSA's data security
requirements places a degree of burden on the public, which is outlined
below.
The SAP Portal is a web-based application for the public to request
access to confidential data assets from federal statistical agencies
and units. The objective of the SAP Portal is to increase public access
to confidential
[[Page 71347]]
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 for agencies to
collect information fulfilling their 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 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 that 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 data 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
metadata in the SAP data 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 curated versions of
administrative data). A statistical agency or unit may still accept an
application through the SAP Portal even if the requested data asset is
not listed in the SAP data 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
proceed to provide summary information about their proposed project, to
include project title, duration, funding, timeline, and other details
including the data asset(s) they are requesting and any proposed
linkages to data not listed in the SAP data catalog, including non-
federal data sources. Applicants then proceed to 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.
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 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 SAMHSA confidential data asset, SAMHSA will
contact the applicant(s) to initiate the process of collecting
information to fulfill their security requirements. These include
additional requirements necessary for the statistical agency or unit to
place the applicant(s) in a trusted category that may include the
applicant's successful completion of a background investigation,
confidentiality training, nondisclosure, and data use agreements.
SAMHSA's data security requirements include the collection of the
following information:
<bullet> Researcher's information (personal): Name (Last, First,
Middle), DOB, citizenship status, home address, home/cell phone number,
personal email, Census Special Sworn Status completion.
<bullet> Researcher's employer information: Employer name, employer
address, work phone number, work address, name of supervisor,
supervisor's phone number, supervisor's email.
<bullet> Project information: Title of project, time period
researcher expects to be at
[[Page 71348]]
the Research Data Center (RDC), signature of researcher, notary
signature.
Estimate of Burden: The amount of time to complete the agreements
and other paperwork that comprise SAMHSA's security requirements will
vary based on the confidential data assets requested and the access
modality. To obtain access to SAMHSA's confidential data assets, it is
estimated that the average time to complete and submit SAMHSA's data
security agreements and other paperwork is 40 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 SAMHSA'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 SAMHSA in a given year may vary. Overall,
per year, SAMHSA estimates it will collect data security information
for 15 application submissions that received a positive determination
within the SAP Portal. SAMHSA 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.
Carlos Graham,
Reports Clearance Officer.
[FR Doc. 2022-25342 Filed 11-21-22; 8:45 am]
BILLING CODE 4162-20-P
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