Notice2023-05131
Agency Information Collection Activities: Generic Clearance for Formative Data Collections for Evaluation, Research, and Evidence Building
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
March 14, 2023
Issuing agencies
Homeland Security Department
Abstract
The Department of Homeland Security, will submit the following Information Collection Request (ICR) to the Office of Management and Budget (OMB) for review and clearance in accordance with the Paperwork Reduction Act of 1995.
Full Text
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<title>Federal Register, Volume 88 Issue 49 (Tuesday, March 14, 2023)</title>
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[Federal Register Volume 88, Number 49 (Tuesday, March 14, 2023)]
[Notices]
[Pages 15733-15734]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-05131]
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DEPARTMENT OF HOMELAND SECURITY
[Docket Number DHS-2023-0011]
Agency Information Collection Activities: Generic Clearance for
Formative Data Collections for Evaluation, Research, and Evidence
Building
AGENCY: Department of Homeland Security (DHS).
ACTION: 60-Day notice and request for comments.
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SUMMARY: The Department of Homeland Security, will submit the following
Information Collection Request (ICR) to the Office of Management and
Budget (OMB) for review and clearance in accordance with the Paperwork
Reduction Act of 1995.
DATES: Comments are encouraged and will be accepted until May 15, 2023.
This process is conducted in accordance with 5 CFR 1320.1.
ADDRESSES: You may submit comments, identified by docket number Docket
#DHS-2023-0011, at:
[cir] Federal eRulemaking Portal: <a href="https://www.regulations.gov">https://www.regulations.gov</a>.
Please follow the instructions for submitting comments.
Instructions: All submissions received must include the agency name
and docket number Docket #DHS-2023-0011. All comments received will be
posted without change to <a href="https://www.regulations.gov">https://www.regulations.gov</a>, including any
personal information provided.
Docket: For access to the docket to read background documents or
comments received, go to <a href="https://www.regulations.gov">https://www.regulations.gov</a>.
SUPPLEMENTARY INFORMATION: The U.S. Department of Homeland Security
(DHS) intends to request approval from OMB for a generic clearance to
design and conduct formative studies with more than nine participants
that inform the DHS's evaluation, research, and evidence-building
activities. The Generic Clearance for Formative Data Collections for
Evaluation, Research, and Evidence Building is a new information
collection request.
The DHS anticipates undertaking various new evaluation, research,
and evidence-building activities related to the priority questions
identified in the Agency's Learning Agenda and Annual Evaluation Plans.
The evidence-building activities include formative evaluations of
existing programs, process, and new initiatives; logic model
development and testing; process or journey mapping; research
syntheses; survey, questionnaire, and metric development; analysis; and
foundational fact-finding through descriptive and exploratory studies.
Pursuant to Executive Orders 13985, Advancing Racial Equity and Support
for Underserved Communities Through the Federal Government, and 14058,
Transforming Federal Customer Experience and Service Delivery to
Rebuild Trust in Government, the DHS continuously seeks to ensure that
the Agency's programs are effective, designed and delivered in a manner
all people can navigate, reach underserved communities, promote
equitable delivery of services, and meet customers' needs. In
accordance with the DHS's commitment to advancing equity, improving
service delivery, and promoting trust, the information collected under
this generic clearance is necessary to enable the Agency to gather
customer and stakeholder feedback in a timely and efficient manner.
Under this generic clearance, the DHS would engage in a variety of
formative and exploratory data collections with DHS grantees, program
and potential program providers and participants, researchers,
practitioners, and other stakeholders to fulfill the following goals:
<bullet> maintain a rigorous and relevant evaluation and research
agenda,
<bullet> inform the development of the DHS's evidence-building
activities,
<bullet> inform the delivery of targeted assistance and workflows
related to program and grantee processes,
<bullet> inform the development and refinement of recordkeeping and
communication systems,
<bullet> plan for provision of programmatic or evidence-capacity-
related training or technical assistance,
<bullet> obtain grantee or stakeholder input on the development or
refinement of program logic models, evaluations, and performance
measures,
<bullet> test activities to strengthen programs, and
<bullet> preparation for summative evaluations.
The formative studies will collect data using well-established
methodologies, including but not limited to semi-structured small group
discussions or focus groups, questionnaires and surveys, observation,
interviews, and cognitive interviews and user testing (e.g., in-person,
video, and audio collections). The data collected will be used to
improve internal decision-making, such as improvements of program
management and the delivery of products and services, and to inform
future studies but will not be highly systematic nor intended to be
statistically representative. The data collection efforts are also not
intended to produce influential information that is expected to have a
genuinely clear and substantial impact on major policy decisions.
The DHS will conduct a variety of formative studies under this
clearance. The exact nature of the instruments and the samples is
dependent on each individual project and details will be provided for
each individual information collection requests submitted. The DHS and
its contractors will collect information electronically and/or use
online collaboration tools, as appropriate, to reduce the burden.
Specific information regarding the use of technology will be submitted
with each individual information collection request. Following standard
OMB requirements, the DHS will submit a change request for each
individual data collection activity under this generic clearance. Each
request will include the data collection method, sampling strategy, a
copy of the individual instruments or questionnaires, recruitment
materials, protocols, and as appropriate, other supplementary materials
describing the project. OMB should review within 10 days of receiving
each change request.
Respondents include DHS grantees, program and potential program
providers and participants, researchers, practitioners, and other
stakeholder groups involved in DHS programs, experts in fields
pertaining to DHS evaluation and research, or others involved in
conducting DHS evaluation, research, or evidence-building projects.
Small business or other small entities may be involved in these efforts
but the DHS will minimize the burden on them of information collections
approved under this clearance by sampling, asking for readily available
information, and using short, easy-to-complete information collection
instruments.
The DHS anticipates that all data information collected under this
generic clearance will involve a one-time data collection. However, if
a data collection effort involved a more frequent collection, the
rationale and detail will be provided in the individual information
collection request. These data collections will allow for
collaborative, ongoing, and actionable communications between the
Agency
[[Page 15734]]
and its customers and stakeholders and allow the DHS to identify the
strengths and weaknesses of current programs, pilots, initiatives, and
services. The efficient and timely formative collection efforts allow
feedback to contribute directly to rapid cycle improvements of program
management and the delivery of products and services. Conversely, the
failure to engage in formative data collection substantially limits the
DHS's ability to understand emerging needs and issues, identify
evidence gaps, build evidence about programs and initiatives, and
inform the development of future impact studies to ensure that DHS
leadership and program offices have current data and information to
implement DHS programs and initiatives successfully.
If the Privacy Act does apply to a collection, the DHS will provide
a Privacy Act statement, System of Record Notices (SORN), or other
associated documentation, as appropriate. Participation in any
formative data collection effort will be voluntary, and personally
identifiable information will only be collected to the extent
necessary. Respondents will be informed of all planned data uses, that
their participation is voluntary, and that their information will be
kept private to the extent permitted by law. All data collection shall
protect respondent privacy to the extent permitted by law and will
comply with all Federal and Agency regulations for private information.
If a confidentiality pledge is deemed necessary, the Agency will only
include a pledge of confidentiality supported by authority established
in statute or regulation, supported by disclosure and data security
policies that are consistent with the pledge.
The primary purpose of data collected under this generic clearance
is not for publication. However, because the formative data collection
efforts are intended to inform the DHS's decision-making related to
evidence-building and programmatic activities, the findings may be
incorporated into documents and presentations available to the public.
Such documents may include design and method documents; process or
journey maps, conceptual frameworks, or logic models; performance
metrics; background materials for technical workgroups, informational
presentations, technical assistance plans; and evaluation or research
reports. The aggregated results of this work may be prepared for
presentation at professional meetings or disseminated in evaluation
reports, research papers, and professional journals. Although not
anticipated, the DHS may receive requests to release the information
(e.g., congressional inquiry, Freedom of Information Act requests) and
will disseminate the findings when appropriate, following the Agency's
guidelines. Shared findings will include a discussion of the
limitations regarding generalizability and intended use, and when
necessary, results will be labeled as formative or exploratory.
The Office of Management and Budget is particularly interested in
comments which:
1. Evaluate whether the proposed collection of information is
necessary for the proper performance of the functions of the agency,
including whether the information will have practical utility;
2. Evaluate the accuracy of the agency's estimate of the burden of
the proposed collection of information, including the validity of the
methodology and assumptions used;
3. Enhance the quality, utility, and clarity of the information to
be collected; and
4. 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, e.g., permitting electronic
submissions of responses.
Analysis
Agency: Department of Homeland Security (DHS).
Title: Generic Clearance for Formative Data Collections for
Evaluation, Research, and Evidence Building.
OMB Number: OMB Control Number.
Frequency: One-time collection.
Affected Public: Participants in DHS programs being evaluated;
participants in DHS pilots and demonstrations; recipients of DHS grants
and individuals served by DHS grantees; comparison group members; and
other relevant populations, such as individuals eligible for DHS
services.
Number of Respondents: 22,750.
Estimated Time per Respondent: 33 minutes.
Total Burden Hours: 12,488.
Robert Dorr,
Executive Director, Business Management Directorate.
[FR Doc. 2023-05131 Filed 3-13-23; 8:45 am]
BILLING CODE 9112-FL-P
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