[House Report 115-411]
[From the U.S. Government Publishing Office]
115th Congress } { REPORT
HOUSE OF REPRESENTATIVES
1st Session } { 115-411
======================================================================
FOUNDATIONS FOR EVIDENCE-BASED POLICYMAKING ACT OF 2017
_______
November 15, 2017.--Committed to the Committee of the Whole House on
the State of the Union and ordered to be printed
_______
Mr. Gowdy, from the Committee on Oversight and Government Reform,
submitted the following
R E P O R T
[To accompany H.R. 4174]
The Committee on Oversight and Government Reform, to whom
was referred the bill (H.R. 4174) to amend titles 5 and 44,
United States Code, to require Federal evaluation activities,
improve Federal data management, and for other purposes, having
considered the same, report favorably thereon without amendment
and recommend that the bill do pass.
CONTENTS
Page
Committee Statement and Views.................................... 1
Section-by-Section............................................... 24
Explanation of Amendments........................................ 27
Committee Consideration.......................................... 27
Roll Call Votes.................................................. 27
Application of Law to the Legislative Branch..................... 27
Statement of Oversight Findings and Recommendations of the
Committee...................................................... 27
Statement of General Performance Goals and Objectives............ 27
Duplication of Federal Programs.................................. 27
Disclosure of Directed Rule Makings.............................. 28
Federal Advisory Committee Act................................... 28
Unfunded Mandates Statement...................................... 28
Earmark Identification........................................... 28
Committee Estimate............................................... 28
Budget Authority and Congressional Budget Office Cost Estimate... 28
Changes in Existing Law Made by the Bill, as Reported............ 29
Committee Statement and Views
PURPOSE AND SUMMARY
H.R. 4174, the Foundations for Evidence-Based Policymaking
Act of 2017, advances the evidence building functions in the
Federal government by improving access to data and expanding
evaluation capacity. The bill incorporates H.R. 1770, the OPEN
Government Data Act, in titles I and II, which expand public
access to Federal data assets and make information about
Federal data assets publicly available in a comprehensive,
searchable inventory. H.R. 4174 improves data management
practices by codifying the Chief Data Officer position and
requiring the new position to coordinate the agency's data
management functions. H.R. 4174 also establishes the position
of Chief Evaluation Officer, which is responsible for
coordinating evidence-building activities across the agency and
leading the agency's evidence-building strategic planning. The
bill further expands access to data by establishing a secure
process for accessing nonpublic data assets for the purpose of
evidence-building.
BACKGROUND AND NEED FOR LEGISLATION
Enacted in March 2016, the Evidence-Based Policy Commission
Act of 2016, established a 15-member commission to ``conduct a
comprehensive study of the data inventory, data infrastructure,
database security, and statistical protocols related to Federal
policymaking and the agencies responsible for maintaining that
data.''\1\ The Act was the result of a bicameral and bipartisan
effort by Speaker Paul Ryan (R-WI) and Senator Patty Murray (D-
WA) to examine solutions to the problems facing the Federal
evidence building community.\2\ The Commission on Evidence-
Based Policymaking (the ``Commission'' or ``CEP'') was charged
with making recommendations related to the access, integration,
use, and control of data to facilitate research and evidence-
based evaluation of government programs.\3\
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\1\Pub. L. 114-140 (2016).
\2\Id.
\3\Id.
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With 15 months to complete its work, the Commission took a
two-phase approach. First, the Commission engaged in a fact-
finding mission. During the eight months following the initial
meeting, the Commission administered a survey of 209 Federal
government offices, convened seven public meetings with 49
witnesses, solicited public comments, held three public
hearings, and conducted meetings with more than 30
organizations and experts.\4\ Second, the Commission spent five
months reviewing the information collected and deliberating.
The Commission established five guiding principles:
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\4\Comm'n on Evidence-Based Policymaking, The Promise of Evidence-
Based Policymaking 5 (2017) [hereinafter CEP Report].
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1. Privacy: Individual privacy and confidentiality
must be respected in the generation and use of data and
evidence.
2. Rigor: Evidence should be developed using well-
designed and well-implemented methods tailored to the
questions being asked.
3. Transparency: Those engaged in generating and
using data and evidence should operate transparently,
providing meaningful channels for public input and
comment and ensuring that evidence produced is made
publicly available.
4. Humility: Care should be taken not to over-
generalize from findings that may be specific to a
particular study or context.
5. Capacity: The capacity to generate and use data
and evidence should be integrated within government
institutions and adequately funded and staffed.\5\
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\5\Id.
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Relying on these principles, the Commission produced a
final report, The Promise of Evidence-Based Policymaking,
detailing 22 recommendations on how to improve Federal data and
evidence usage.\6\ The Commission approved the report
unanimously and released the report on September 6, 2017.\7\
The Committee held a hearing on September 26, 2017 titled,
``Recommendations from the Commission on Evidence-Based
Policymaking'' to receive testimony from four commissioners
explaining the findings and recommendations.\8\
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\6\Id.
\7\Recommendations of the Commission on Evidence-Based
Policymaking: Hearing Before the H. Comm. on Oversight & Gov't Reform,
115th Cong. (Sept. 26, 2017) (testimony of Dr. Ron Haskins)
[hereinafter Haskins Testimony], available at https://
oversight.house.gov/hearing/recommendations-commission-evidence-based-
policymaking/.
\8\Id.
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The Commission's findings and recommendations
The Commission found that while Federal policymakers need
good information on which to base their decisions, ``too little
evidence is produced to meet this need.''\9\ Ron Haskins, Co-
Chair of the Commission, testified, ``There are all kinds of
evidence that 80 to 90 percent of programs in medicine, in
social science, and in business, fail. That's the main reason
that we need to have more evidence. We need to develop these
programs. . . . [M]ost programs . . . have a good reputation,
but when you look at what they do in the country as a whole
they are not successful.''\10\
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\9\CEP Report, supra note 4 at 1.
\10\Haskins Testimony, supra note 7.
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Dr. Haskins also observed that some ``programs that were
initiated 5, 6, 7 years ago'' are using evidence that shows we
need ``better strategies.''\11\ He explained such programs do
not ``go overnight from 10 or 15 percent success to 80 percent.
. . . It will take us years to develop this. We need to be
patient and do it right.''\12\
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\11\Id.
\12\Id.
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What is evidence-based policymaking?
The Commission defined evidence as ``information produced
by `statistical activities' with a `statistical purpose' that
is potentially useful when evaluating government programs and
policies.''\13\ The Commission acknowledged that evidence could
be defined broadly to include any information that would assist
in the development of a conclusion, but the statute suggested a
more narrow focus. Dr. Katharine Abraham, Chair of the
Commission, explained:
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\13\CEP Report, supra note 4 at 8.
[T]he Commission was directed to review the barriers
to using the administrative data that the Government
already collects to `facilitate program evaluation,
continuous improvement, policy-relevant research, and
cost-benefit analyses.' These types of analytic and
evaluative activities consider the impact of policies
and programs on groups of people, rather than
individuals. The essence of a `statistical activity'
with a `statistical purpose' is that the results
summarizes information about a group rather than a
single individual or organization.\14\
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\14\Recommendations of the Commission on Evidence-Based
Policymaking: Hearing Before the H. Comm. on Oversight & Gov't Reform,
115th Cong. (2017) (Question for the Record).
Evidence is distinct from policymaking, but evidence can be
used by policymakers to determine whether a particular policy
option will meet the goals or solve the problems that give rise
to the need to create policy.
Evidence is an objective description of what is, whereas
policymaking is the subjective determination of what ought to
be. Dr. Abraham testified, ``I think that evidence can tell you
that if you do A, the outcome appears to be B. That can't tell
you what your policy should be. . . . [E]vidence [should have]
a seat at the table so that everyone can look at it and then,
given that and other value judgments and other inputs make
decisions about policy.''\15\
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\15\Id. (testimony of Dr. Katharine Abraham) [hereinafter Abraham
Testimony].
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The promise of evidence-based policy making is to apply
this evidence to ``inform decisions in government.''\16\
Describing the role of evidence in policymaking, Dr. Haskins
testified, ``I do not expect that Congress would make decisions
exclusively based on evidence. I want evidence to have a place
at the table. I want Congress to understand what the evidence
is. But they will use other factors to decide how much money
they should spend or whether they do anything at all.''\17\ The
intent of government is to utilize limited resources
efficiently. Through evidence-based policy making, services and
programs can be developed to address efficiency.
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\16\CEP Report, supra note 4 at 11-12.
\17\Haskins Testimony, supra note 7.
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One example of how evidence can inform decisions comes from
the Drug Resistance Education program (D.A.R.E.). At its peak,
DARE was in more than 75 percent of schools in the United
States.\18\ Throughout the 1990s and 2000s, evaluations of the
program yielded a hard truth: D.A.R.E. was not effective at
reducing long-term substance abuse in teenagers.\19\ As a
result the nonprofit organization made a change to the
curriculum. DARE's original curriculum entailed long lectures
about the harms caused by drugs and alcohol; while the new
curriculum consists of short instruction about good decision-
making skills followed by group practice in implementing those
skills.\20\ D.A.R.E. used evidence to conclude that the old
curriculum failed to advance the intended policy goal.
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\18\CEP Report, supra note 4 at 9.
\19\Id.
\20\Amy Nordrum, The New D.A.R.E. Program--This One Works,
Scientific Amer., Sept. 10, 2014, available at https://
www.scientificamerican.com/article/the-new-d-a-r-e-program-this-one-
works/.
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The Commission identified a number of potential questions
to be answered with additional evidence. Common sense would
dictate that the Federal Government would make policy decisions
based on good evidence without the need for a new law.
Unfortunately, there are currently barriers to making the
necessary evidence available to policymakers. Often the data
needed for evidence building is not available, and even when it
is available, agencies lack the resources and expertise to
effectively evaluate the programs.\21\ The Commission also
found that ``[g]enerating and using evidence to inform
government policymaking and program administration is not a
partisan issue.''\22\ Evidence should inform both Congressional
and Executive branch policy decisions.
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\21\CEP Report, supra note 4 at 20.
\22\Id. at 3.
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Improving evidence-building capacity
According to the Commission and the Government
Accountability Office (GAO), evidence-building efforts,
coordination, and capacity are uneven across Federal
agencies.\23\ As is common in Federal agencies, the Commission
found that evidence-building activities tend to be siloed,
which results in missed opportunities, unnecessary duplication,
and wasted resources.\24\ Ineffective coordination and
prioritization of evidence-building has a significant impact on
the Federal Government. GAO reports, ``Agencies' continued lack
of evaluations may be the greatest barrier to their informing
managers and policy makers and constitutes a lost opportunity
to improve the efficiency and effectiveness of limited
government resources.''\25\
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\23\CEP Report, supra note 4 at 88; and U.S. Gov't Accountability
Office, GAO-15-25, Program Evaluation: Some Agencies Reported That
Networking, Hiring, and Involving Program Staff Help Build Capacity
(2014) [hereinafter GAO-15-25].
\24\CEP Report, supra note 4 at 88.
\25\U.S. Gov't Accountability Office, GAO-17-743, Program
Evaluation Annual Agency-Wide Plans Could Enhance Leadership Support
for Program Evaluations (2017) [hereinafter GAO-17-743] (citing to the
highlights).
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Silos are particularly problematic because of the large
number of key actors within the Federal evidence-building
community. CEP Commissioner Robert Shea testified at the
Committee's hearing. Mr. Shea explained, ``We've taken to
calling those who generate, manage, and analyze data, those who
transform information into evidence, and those who support
those functions through the routine processes of government,
members of the evidence community.''\26\ The Commission
identified the following components of the evidence-building
community:
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\26\Recommendations of the Commission on Evidence-Based
Policymaking: Hearing Before the H. Comm. on Oversight & Gov't Reform,
115th Cong. (2017) (testimony of Robert Shea) [hereinafter Shea
Testimony].
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1. The Federal Statistical System: This includes the
13 Principal Statistical Agencies (PSAs) and other
statistical programs.
2. Evaluation offices: Evaluators use systematic data
collection and analysis to assess the strengths and
weaknesses of programs, policies, and organizations.
3. Policy research offices: Policy research means
activities conducted to increase the stock of knowledge
about programs and policies. This activity often occurs
prior to formal evaluation to develop a knowledge base
upon which to develop questions to be answered through
evaluation.
4. Program administrators: Program administrators are
responsible for ensuring programs are effectively and
efficiently achieving the agency's mission. Federal
programs are both an audience for evidence and a source
of data used to generate the evidence.
5. Performance management offices: Performance
management offices are responsible for improving
performance and achieving cost-effective results. Such
offices are another important audience for evidence.
6. Centralized policy analysis offices: Described as
``knowledge brokers,'' policy analysis offices
translate the knowledge obtained through evaluation and
policy research into information accessible to the
evidence audience, including program and performance
management offices, Congress, and the public.
7. External partners: Some agencies also seek to
develop evidence through external partnerships with
researchers and service providers with tools like
cooperative-agreements or grants.
All departments have some combination of these
functions.\27\ President Trump's 2018 Budget Proposal argued
for an integrated infrastructure for the evidence-building
community:
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\27\CEP Report, supra note 4, at 101.
A strong evidence infrastructure requires a variety
of capacities, and developing and supporting the use of
evidence and evaluation in decision-making requires
coordination between those managing the operations of a
program . . . and those responsible for using data and
evaluation to understand program effectiveness.\28\
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\28\Office of Mgmt, & Budget, Exec. Office of the President,
Analytical Perspectives: Budget of the U.S. Government Fiscal Year
2018, at 55-58 (2017).
Reports from GAO support these findings and show that
agencies with centralized leadership report greater rates of
evaluation and use of evaluation results in decision-
making.\29\
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\29\GAO-17-743, supra note 26, at 5.
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Chief Evaluation Officers
H.R. 4174 addresses the need to improve coordination and
support evidence-building functions in agencies by requiring
the 24 Chief Financial Officers Act agencies to designate Chief
Evaluation Officers (CEOs), as recommended by the Commission.
The role of a CEO is not a political role, instead candidates
must have a ``demonstrated expertise in evaluation methodology,
practices, and appropriate expertise to the disciplines of the
agency.''\30\ The responsibility of a CEO is to oversee the
agency's efforts in conducting policy research and evaluation
activities.
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\30\Foundations for Evidence-Based Policymaking Act of 2017, H.R.
4147, 115th Cong. (2017).
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For most agencies, the identification and designation of a
CEO will require very few changes in their organizational
structures. In 2014, GAO found approximately one-third of the
Federal agencies have already established CEOs or similarly
titled positions, and about half of the agencies reported
establishing a centralized evaluation office.\31\ However,
establishing statutory requirements to coordinate and assess
capacity of the evidence-building functions of the agency will
elevate the role and ensure greater consistency across
agencies.
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\31\GAO-15-25, supra note 24 at 10 (2014).
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In 2012, the Office of Management and Budget (OMB) issued
guidance on the ``Use of Evidence and Evaluation in the 2014
Budget,'' encouraging agencies to designate a ``high-level
official who is responsible for program evaluation'' and other
tasks to support evidence-building capacity and
coordination.\32\ OMB suggested the designation of a Chief
Evaluation Officer or assigning the responsibility to the head
of an independent entity within the agency, explaining, ``An
existing official could play the role, or a forceful new
position could replace several less empowered ones.''\33\
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\32\Office Of Mgmt, & Budget, Exec. Office Of The President, M-12-
14, Memorandum to the Heads of Executive Departments and Agencies: Use
of Evidence and Evaluation in the 2014 Budget (2012).
\33\Id.
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The Administration highlighted the value of Chief
Evaluation Offices in the 2018 Budget Proposal:
Centralized or chief evaluation offices play an
important role in an evidence infrastructure that can
develop and sustain agency capacity to build and use
evidence. A recent Government Accountability Office
(GAO) report found that Federal agencies with a
centralized evaluation authority reported greater
evaluation coverage of their performance goals and were
more likely to use evaluation results in decision
making. Centralized or chief evaluation offices are
often essential for ensuring that key evidence and
evaluation principles are reflected in practice. The
establishment of a centralized evaluation office and an
official, public evaluation policy that reflects these
principles is a particularly strong and mutually
reinforcing combination. A centralized office allows
the agency to credibly establish the independence and
transparency of its evaluation activity, develop the
specialized expertise required to implement rigorous
evaluations, and have a centralized entity responsible
for coordinating and disseminating research
findings.\34\
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\34\Office of Mgmt, & Budget, supra note 29, at 55-58.
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Annual agency-wide evidence-building plans
The Commission recommended departments develop multi-year
agendas of pressing research and policy questions and a plan to
address them, which the Commission referred to as, ``learning
agendas.''\35\ Commissioner Robert Shea described the plan as
``essentially a strategic plan for evidence building,
identifying important policy questions relevant to the
department's mission.''\36\
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\35\CEP Report, supra note 4 at 93.
\36\Shea Testimony, supra note 27.
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H.R. 4174 requires the 24 Chief Financial Officers Act
agencies to submit the annual evidence-building plans to
Congress and OMB by the first Monday in February of each year.
The timing allows the agencies to consider the development of
evidence in conjunction with the development of their strategic
plans, which are annual long-term planning tools required by
current law that describe goals, planned actions to achieve
those goals, and plans for dealing with challenges and
risks.\37\ Agencies will be required to develop lists of: (1)
policy questions the agency intends to address through
evidence-building functions, (2) data needed to facilitate
evidence-building, (3) methods and analytical approaches that
may be used in developing the evidence, and (4) challenges to
developing evidence. The bill addresses recommendations for
agency-wide evidence or evaluation plans recommended by the
Commission, the Administration, and GAO.
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\37\Office of Mgmt, & Budget, Exec. Office of the President,
Circular A-11 Sec. 230, Agency Strategic Planning (2017).
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According to GAO and OMB, the development of a plan or
agenda for evidence-building is important ``to ensure that an
agency's scarce research and evaluation resources are targeted
to its most important issues.''\38\ Currently, about one-
quarter of Federal agencies develop annual and long-term
evaluation plans.\39\ OMB has encouraged agencies to develop
``a planned approach to learning in the context of evidence-
based decision-making and improving program performance through
evaluation and analysis.''\40\
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\38\GAO-17-743, supra note 26.
\39\Id.
\40\Office of Mgmt, & Budget, supra note 29, at 55-58.
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In September 2017, GAO recommended OMB direct each of the
24 Chief Financial Officers Act agencies develop an annual
agency-wide evaluation plan to describe key questions for each
significant evaluation planned in the upcoming year.\41\ An
agency's annual strategic review provides a good opportunity to
help target its evaluation agenda to its management, budget,
and policy priorities.\42\
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\41\GAO-17-743, supra note 26, at 29. In response to the
recommendation, OMB suggested that they would prefer to continue to
simply encourage the plan rather than establish a requirement. However,
GAO noted that OMB's encouragement has achieved only limited success
and ``a more directive approach is needed.'' Id.
\42\Id.
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GAO suggested that OMB's guidance for strategic reviews
could serve as a foundation for a comprehensive evidence-
building plan.\43\ The guidance ``directs agencies to consider
a broad array of evidence and external influences on their
objectives, identify any gaps in their evidence and areas where
additional evaluations or other analyses are needed, and thus
focus their limited evaluation resources to inform the
strategic decisions facing the agency.''\44\ Agencies are
already required to identify gaps in evidence-building efforts
and take actions to address them.\45\
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\43\Id.
\44\Id.
\45\Id. at 28.
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The Committee does not intend the requirements in title I
to create a basis for judicial action.
H.R. 4174 also requires agencies to engage in consultation
with key stakeholders in development of evidence-building
plans. Involving agency staff that will use the final product
in planning and conducting the evaluations improves the utility
of the evidence produced.\46\ Experienced evaluation offices
already practice stakeholder consultation.\47\
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\46\Id.
\47\Id. at 17.
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Congressional consultation is also required under H.R.
4174. Congressional consultation and all consultation required
under this bill should be more than ``one-directional
[communication], resembling reporting more than dialogue.''\48\
Agency staff have described statutorily mandated consultation
as ``formal briefings . . . in a tense, high-stakes
environment.''\49\ However, formal briefings without an
opportunity to discuss findings and results or exchange ideas
is not consultation. Consultation is a discussion and a
deliberation. It is an opportunity to engage stakeholders to
obtain their unique perspective, solicit their support, and
adapt the final product to address new ideas.
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\48\Id.
\49\Id.
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In approaching consultation under this bill, agencies
should consider GAO's findings:
1. Congressional consultation on agency evaluation
plans could increase the studies' credibility with
those whose support is needed to implement program
reforms.\50\
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\50\Id.
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2. GAO previously reported that involving agency
staff in planning and conducting evaluations helps to
ensure they are relevant, credible, and used in
decision making.\51\
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\51\Id.
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3. [GAO's] previous literature review found that
collaboration with program stakeholders in evaluation
planning is a widely recognized element of evaluation
capacity.\52\
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\52\Id.
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4. Although only some agencies have developed agency-
wide evaluation plans, evaluators who have them found
that obtaining stakeholder input helped ensure
evaluation relevance and facilitate use of their
results. \53\
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\53\Id.
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5. [GAO] also described in a previous report how
experienced agency evaluation offices reach out to key
program stakeholders to identify important policy and
program management questions, vet initial ideas with
the evaluations' intended users, and then scrutinize
the proposed portfolio of studies for relevance and
feasibility within available resources. The resulting
evaluation agenda aims to provide timely, credible
answers to important policy and program management
questions. This can help ensure that their evaluations
will be used effectively in management and legislative
oversight.\54\
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\54\Id. at 17.
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6. Congressional committees can communicate their
interest in evaluation by consulting with agencies on
their strategic plans and priority goals, reviewing
agency annual evaluation plans to ensure they address
issues that will inform congressional decision making,
and requesting evaluations to address specific
questions of interest.\55\
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\55\GAO-15-25, supra note 24.
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7. Consulting with program staff throughout an
evaluation was said to help ensure a more trusting
relationship and a greater willingness to hear not-so-
good news when the evaluation results came in. Program
staff may be unwilling to accept negative findings
because they have a vested interest in trying to make
the program work. But this can be countered if staff
understand the logic of the evaluation or if the study
provides information on barriers that might be
overcome.\56\
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\56\Id. at 27.
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8. Yet, nearly 40 percent of managers who had
evaluations reported that they did not know whether
lack of ongoing congressional commitment to using
evaluations was a barrier, and some of the evaluators
[GAO] interviewed reported few congressional
consultations in planning evaluations. Consultation
with congressional stakeholders in developing
evaluation agendas is important to help ensure that
agency evaluations meet their information needs and
inform decisions.\57\
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\57\Id. at 29.
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Per the Commission's recommendation that OMB serve a
coordinating role for evidence-building, H.R. 4174 requires OMB
to consolidate the agency evidence-building plans and to
facilitate interagency coordination of evidence-building plans.
The bill explicitly requires agencies to submit the plans to
OMB and Congress at the same time. The purpose of this
requirement is to focus OMB's efforts on facilitating
interagency coordination, rather than conducting a content
review of the plans for purposes of providing feedback on
whether agencies should pursue answers to particular policy
questions.
Interagency coordination should improve the use of limited
resources and expand the production of evidence at Federal
agencies. Commissioner Robert Shea described the Commission's
recommendation for OMB coordination as follows:
Efficiently implementing evidence-building activities
across government requires strong coordination. This
committee has already vested a great deal of
responsib[ility] in OMB, but we firmly believe it's the
right institution to help coordinate these activities.
We recommend OMB facilitate cross-government
coordination and consider whether consolidation or
reorganization of evidence-based policymaking functions
at OMB would accelerate adoption of the Commission's
recommendations.\58\
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\58\Shea Testimony, supra note 27.
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Continued consideration of recommendation for National Secure Data
Service
The first recommendation offered by the Commission is to
establish a National Secure Data Service (NSDS). The NSDS, as
envisioned by the Commission, would be a model of privacy
protection, secure and temporary data linkage, and transparent
activity and processes. The NSDS would develop state-of-the-art
methods for secure access to data and apply strict data
minimization techniques. The Commission also recommended that
the NSDS be established in the existing framework of the
Department of Commerce.
Establishing a new program, office, or agency not currently
in existence in the Federal Government necessitates a
comprehensive study of the appropriate parameters of the
recommended permanent establishment of an expansion of the
Executive branch and an evaluation of the expected return on
the investment of taxpayer dollars. H.R. 4174 continues the
discussion about the need and value of the NSDS by establishing
an advisory committee to evaluate and provide recommendations
to OMB regarding the implementation of the NSDS.
The recommendation to house the NSDS in the Department of
Commerce warrants particular attention. Dr. Haskins explained,
``one of our explicit intents was not to create some big new
agency that would have mountains of data. Rather it was to
build on things the Census Bureau is already doing and expand
those gradually over a period of years so that primarily we
could have a temporary repository for data that is needed for
good studies that have been approved through an elaborate
process. And then the data would be sent back to wherever it
came from, whatever agency it came from.''\59\
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\59\Haskins Testimony, supra note 7.
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However, housing the new service at the Department of
Commerce raises concerns about how a new statistical function
might affect the Census Bureau in the lead up to the 2020
census. In 2015, the Department of Commerce estimated the 2020
census would cost $12.3 billion--just two years later the
estimate was revised to $15.6 billion, an increase of more than
$3 billion.\60\ David A. Powner, Director of Information
Technology at the Government Accountability Office, testified
that the Census Bureau has ``missed many milestones''\61\ when
it comes to implementing the 43 systems required for the
decennial census. Additionally, there is concern that
``schedule pressure and late deliveries will result in
compressed and inadequate testing.''\62\ Careful consideration
must be made before redirecting resources from a program that
is increasingly costly and behind schedule.
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\60\Census Bureau, 2020 Census Program Management Review (2017),
available at https://www2.census.gov/programs-surveys/decennial/2020/
program-management/pmr-materials/10-27-2017/pmr-welcome-high-level-
updates-10-27-2017.pdf.
\61\Hearing on the 2020 Census: Hearing Before H. Comm. on
Oversight and Gov't Reform, 115th Cong. (2017).
\62\Ibid.
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Both the House and the Senate held hearings on the 2020
Census in October 2017. Secretary of Commerce Wilbur Ross
requested additional funding following the new cost estimates
and testified that ``Many challenges still lie ahead for the
2020 Census. We are keenly aware of the challenges, risks, and
costs associated with this new approach.''\63\ In his
appearance before the House on October 12, 2017, Secretary Ross
provided a new life-cycle cost estimate of $15.6 billion
dollars, an increase of $3.3 billion from the 2015 cost
estimate.\64\
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\63\2020 Census: Examining Cost Overruns, Information Security, and
Accuracy: Hearing before the S. Comm. on Homeland Sec. and Gov't
Affairs, 115th Cong. (2017) (written statement of Wilbur Ross,
Secretary of Commerce).
\64\Id.
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OPEN Government Data Act
On May 9, 2013, President Obama issued Executive Order
13642, titled ``Making Open and Machine Readable the New
Default for Government Information.''\65\ Shortly thereafter,
OMB issued Memorandum M-13-13, ``Open Data Policy--Managing
Information as an Asset,''\66\ and further guidance in a
document titled, ``Supplemental Guidance on the Implementation
of M-13-13 `Open Data Policy--Managing Information as an
Asset.'''\67\
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\65\78 Fed. Reg. Sec. 28111-3 (May 9, 2013).
\66\Office of the Fed. Chief Fin. Officer, M-13-13, Memorandum for
the Heads of Executive Departments and Agencies: Data Policy--Managing
Information as an Asset (May 13, 2013).
\67\Office of Mgmt and Budget, Supplemental Guidance on the
Implementation of M-13-13 ``Open Data Policy - Managing Information as
an Asset'' (Nov. 30, 2013).
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The open data policies placed unprecedented data management
requirements on agencies. Under this policy, agencies were
required to collect and create information electronically by
default, in machine-readable and open formats, with data
standards that promote interoperability and openness, and under
open licenses. Agencies were also required to begin
inventorying their data assets. M-13-13 described the process
as accounting for data assets in the agency's information
systems to be built out over time and to ultimately include all
data assets to the extent practicable.
The open data policy lacked one important openness
requirement--the requirement to make the data inventories
themselves open. The policy only required a small subset of the
inventories to be made available online. In December 2013, the
Sunlight Foundation filed a FOIA request for all of the
enterprise data inventories and data inventory schedules
submitted to OMB.\68\ After 14 months of resisting, OMB agreed
to provide a plan to comply with the FOIA request.\69\ In late
February 2015, OMB began to publish the agency data inventories
online, in accordance with the legal requirements for
disclosure under FOIA.\70\
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\68\Ginger McCall, Sunlight files FOIA request for full list of
agency databases, Sunlight Found. (2013), available at https://
sunlightfoundation.com/2013/12/06/sunlight-files-foia-request-for-full-
list-of-agency-databases/.
\69\Matt Rumsey, et al., A big win for open government: Sunlight
gets U.S. to release indexes of federal data Sunlight Found. (2015),
available at https://sunlightfoundation.com/2015/02/09/a-big-win-for-
open-government-sunlight-gets-us-to-release-indexes-of-federal-data/.
\70\Matt Rumsey, et al., After Sunlight FOIA, comprehensive data
indexes arrive on Data.gov Sunlight Found. (2015), available at https:/
/sunlightfoundation.com/2015/03/02/after-sunlight-foia-comprehensive-
data-indexes-arrive-on-data-gov/.
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In the 114th Congress, Representatives Derek Kilmer (D-WA)
and Blake Farenthold (R-TX) introduced the Open, Public,
Electronic, and Necessary (OPEN) Government Data Act on April
26, 2016. The bill essentially codified the requirements of the
existing open data policy. The bill was reintroduced in the
115th Congress on March 29, 2017. The policies of that bill are
incorporated into title II and section 101(c) of H.R. 4174,
with some additional requirements to address recommendations of
the Commission.
Title II of H.R. 4174, the OPEN Government Data Act,
establishes a default of openness, meaning government data
should be available to and usable by the public to the greatest
extent possible. Open formats and open licenses are necessary
components of a default of openness because they remove
barriers to accessing and using the data. The presumptions
expand upon, but do not alter existing openness requirements
related to the treatment of any work of the United States
Government under section 105 of title 17 or any other rights
regimes.
The default is only that--a default. There are instances
where it could be inappropriate for the government to impose
open license requirements, such as for data that the government
uses and maintains but does not own. For example, an agency
might contract with a commercial data provider to obtain data
that, if the agency attempted to collect on its own, the agency
would need to spend significant time and resources verifying.
This bill is not intended to prevent agencies from contracting
with commercial data providers to obtain data under restricted
terms, when such contract is in the public interest and is the
most cost-effective way to meet the Federal Government's needs.
Comprehensive inventory
An inventory of Federal data assets with basic technical
information ``is fundamental to evidence building.''\71\ The
evidence building community cannot use data unless there is
some way to know that the data exists and where the data is
located. The Federal Government produces a wealth of data that
could be responsibly utilized by researchers, but is difficult
to find across multiple agencies and thousands of datasets. A
data inventory would allow researchers to quickly ascertain the
scope of data products available and the location of the
available data so that they can direct requests for access
accordingly.\72\
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\71\CEP Report, supra note 4 at 78.
\72\Id.
---------------------------------------------------------------------------
The Commission notes: ``Notwithstanding recent attempts to
develop a data inventory and calls for improved technical
information about datasets, government lags behind the private
sector in its standards for managing and documenting data that
could be used for evidence building.''\73\ Agency inventories
are of uneven quality and completeness, and the inventory does
not include all datasets useful for evidence building.\74\
According to the Commission, the indications of availability
will be ``extremely valuable,'' and the data inventory should
include information on any restrictions to use of each data
asset.\75\
---------------------------------------------------------------------------
\73\CEP Report, supra note 4, at 78.
\74\Id.
\75\Id.
---------------------------------------------------------------------------
To be of maximum utility, agency data inventories need to
include the maximum amount of metadata about the maximum number
of data assets. In practical terms, that means the agencies
should account for every data asset owned, used, maintained, or
accessed by the agency. This includes data from applications,
devices, networks, and equipment, which is often underutilized
and can be useful for strengthening cybersecurity and
forensics, improving security, reducing costs, identifying
waste, reducing energy consumption, and improving agency
operations. It also means that any information on the inventory
that can be made available should be made available.
The inventory must include information about the data
assets that will help the public better understand the data.
Required information includes: the name of the data asset, the
date the data asset with last updated, the owner of the data
asset, and a description of the method by which the public may
request access to the data asset. There are existing methods of
accessing data through Federal agencies, such as requests under
the Freedom of Information Act (FOIA). This bill adds
additional methods to access data, such through the Federal
data catalogue and through the process established in section
303 for researchers and others to access data for evidence-
building purposes. In some circumstances, the government may
maintain data owned by a private entity. Contacting the private
entity to access the privately owned data may be another method
the public can use to access data.
H.R. 4174 adds to the OPEN Government Data Act the
requirement that any information on the inventory that would be
available under the Freedom of Information Act (FOIA) must be
included in the publicly released portion of the inventory. In
consideration of the efforts of the Sunlight Foundation and
many other FOIA requesters, this requirement would eliminate
the unnecessary procedural burdens of FOIA to ensure
transparency of the inventory, which is ``likely to become the
subject of subsequent requests for substantially the same
records.''\76\
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\76\5 U.S.C. Sec. 552(a)(2)(D)(ii)(I). Enacted last year, the FOIA
Improvements Act, Pub. L. 114-185, established another pertinent
requirement that any record requested three or more times would also
need to be made publicly available. The requirement in H.R. 4174
reduces the burden on the requesters that are clearly interested in a
comprehensive data inventory and on the agencies that would need to
comply with this request.
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Expanding access to data
Even beyond the evidence-building applications, expanding
access and usability of government data can have a profound
effect on the American public. The Department of Commerce
estimates that the private sector's use of government data
generates as much as $221 billion a year in private sector
revenue.\77\ Another study estimated that government data is
potentially worth as much as $5 trillion per year in economic
value, in seven areas of the global economy, according to a
McKinsey Global Institute study.\78\ The government should
treat data as the valuable national resource that it is.
---------------------------------------------------------------------------
\77\U.S. Dep't. of Commerce, Fostering Innovation, Creating Jobs,
Driving Better Decisions: the Value of Government Data (2014),
available at https://esa.gov/sites/default/files/
revisedfosteringinnovationcreatingjobsdrivingbetterdecisions-
thevalueofgovernmentdata.pdf.
\78\James Manyika, et al., Open Data: Unlocking Innovation and
Performance with Liquid Information, Mckinsey Global Inst. (2013),
available at https://www.mckinsey.com/business-functions/digital-
mckinsey/our-insights/open-data-unlocking-innovation-and-performance-
with-liquid-information.
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Agencies should also treat data as a valuable agency
resource and manage it so as to maximize their capacity to gain
insights. According to the CIO Council:
Improving the management of government data and
information can increase operational efficiencies,
reduce costs, improve services, and better safeguard
personal information. Furthermore, improved information
management can allow for the efficient release and
reuse of this data by others outside of an
agency''.\79\
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\79\Office of Fed. Chief Information Officer, State of Federal
Information Technology (2017).
In March 2017, Hudson Hollister, Founder and Executive
Director of the Data Coalition, testified before the Committee
about the value of open data to the Federal agencies. Mr.
---------------------------------------------------------------------------
Hollister stated:
Most of the expense of big data projects comes from
extracting information from different sources,
transforming those data sets into the same format, and
then loading them into new systems to be analyzed. If
Federal data sets were consistently available using
machine-readable formats to begin with, those expensive
one-off projects would not be necessary.\80\
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\80\Legislative Proposals for Fostering Transparency, Hearing
Before H. Comm. on Oversight and Gov't. Reform, 115th Cong. (2017).
An excerpt from a report by the Data Foundation entitled,
The State of the Union of Open Data 2016, further explains the
---------------------------------------------------------------------------
importance of open data:
Within government, open data greatly reduces the
costs of sharing and using information. When
information is expressed as open data, a range of
functions become easier and cheaper: measuring program
performance, discovering fraud and waste, improving
citizens' customer experience, and informing
decisions.\81\
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\81\Alison Gill, et. al., The State of the Union of Open Data
(2016), available at http://www.datafoundation.org/state-of-the-union-
of-open-data-2016/ (Noting, the State of the Union of Open Data 2016
provides a history of federal open data efforts).
At a recent roundtable discussion, White House officials
supported the continued expansion of open data. According to
the Sunlight Foundation, one official ``said they think that
open data is an example of an important enabler to encouraging
innovation in emerging technology fields, empowering Americans
to create better services and systems,'' and another
``expressed optimism that more useful data sets will be
identified and opened up, fueling job growth and economic
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activity, creating new opportunities.''\82\
\82\Alex Howard, Notes from a roundtable on open data at the White
House, Sunlight Found. (July 26, 2017), https://sunlightfoundation.com/
2017/07/26/white-house-open-data-roundtable/.
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Chief Data Officers
The Commission found that many departments lack senior
leadership focused on data management. The Commission urged
agencies to develop more meaningful collaboration:
``Coordinating evidence-building activities and supporting use
of administrative data across departments leads to useable
inventories, data resources, and analytic capabilities for
responding to specific policy and research questions.''\83\ The
Commission expressed concern about the expansive portfolios of
CIOs and other senior officials, which would prevent such
officials from prioritizing data management.\84\
---------------------------------------------------------------------------
\83\CEP Report, supra note 4 at 59.
\84\Id.
---------------------------------------------------------------------------
Similarly, the CIO Council expressed concerns about the
inability to manage data with sufficient focus on expanding
access to data, due to competing priorities and limited
resources.\85\ The CIO Council's concerns are furthered by the
state of information technology (IT) in the Federal Government.
In fact, IT management has been on the GAO High-Risk List since
2015.\86\ By some accounts, Federal IT spending may be as much
as $200 billion each year.\87\
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\85\Office of Fed. Chief Information Officer, supra note 80, at C-
12.
\86\U.S. Gov't Accountability Office, GAO-15-290, High-Risk Series:
An Update (2015).
\87\Troy K. Schneider, White House pushes TBM for IT savings and
smarter spending, FCW (July 20, 2017), https://fcw.com/articles/2017/
07/20/tbm-summit-schneider.aspx.
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The CIO Council also expressed concern about the complexity
of open data policy management. Time and resources are required
to navigate the complex disclosure and nondisclosure laws and
the numerous stakeholders of Federal data.\88\ Further,
increased access to quantity is not enough. Coordination and
feedback from the public is necessary to ensure the quality of
the effort.\89\ The Federal Chief Information Officer's State
of Federal Information Technology report recommended that
information management roles be clarified.\90\
---------------------------------------------------------------------------
\88\Office Of Fed. Chief Information Officer, supra note 86, at C-
14.
\89\Id. at C-11.
\90\Id. at Rec-10.
---------------------------------------------------------------------------
In testimony before the Committee, Dr. Sweeney explained
why an official dedicated to data management is needed in
addition to the existing role of the Chief Information Officer:
Many of the Federal information technology officers
are primarily focused on just that, the machines
themselves, the IT, the infrastructure of the systems
on which work is based. The chief privacy officer in
most of the agencies is based on making sure that the
agency is in compliance with privacy laws and
regulations. But what we're talking about is a
different issue. It's about the data that's on the
technology, the data that's being provided within the
context of existing privacy laws. That is, the agency
has the right to give out the data or not, or is
responding to the Privacy Act. That would be in the
chief privacy officer. But what version of the data is
actually being given? That's a technical analysis that
neither of the other two would be able to actually
implement.\91\
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\91\Recommendations of the Commission on Evidence-Based
Policymaking: Hearing Before the H. Comm. on Oversight & Gov't Reform,
115th Cong. (2017) (testimony of Dr. Latanya Sweeney) [hereinafter
Sweeney Testimony].
The Commission also highlighted concerns with the
Information Collection Review process under the Paperwork
Reduction Act. Inefficiencies in the process result in delays
and reduce coordination and transparency of information
collections.\92\ The Commission noted that while there are
complaints about the difficulty and length of the review
process, the problems also seem to stem from a failure to
exercise existing flexibilities in the law.\93\
---------------------------------------------------------------------------
\92\CEP Report, supra note 4 at 99.
\93\Id. at 100.
---------------------------------------------------------------------------
H.R. 4174 establishes Chief Data Officers (CDOs) at
agencies to take on the role of data managers and coordinators.
CDOs will carry out the information management, collection, and
dissemination responsibilities under the Paperwork Reduction
Act, while CIOs will be able to continue their focus on
technology, procurement, and physical information systems. Data
management, as opposed to IT management or IT security, is
about establishing effective procedures, standards, and
controls to ensure quality, accuracy, transparency, and privacy
of data.\94\ The centralized management of data will improve
interoperability and enhance transparency of existing
resources.
---------------------------------------------------------------------------
\94\Randy Bean, Big Data and the Emergence of the Chief Data
Officer, Forbes (Aug. 8, 2016), available at https://www.forbes.com/
sites/ciocentral/2016/08/08/big-data-and-the-emergence-of-the-chief-
data-officer/.
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Role of designated statistical officials
There are some laws that prohibit access and use of data
except under specific circumstances and by specific
individuals. Statistical agencies have strict data access laws
and policies to protect the confidentiality of data collected
under a pledge of confidentiality. The Congressional Research
Service provided the Commission with a list of statistical laws
that establish agencies and govern the protection of the data
obtained by such agencies for statistical purposes.\95\ The
reference to statistical laws in H.R. 4174 extends to those
laws that govern the protection of data for statistical
purposes.
---------------------------------------------------------------------------
\95\Memorandum from Clinton T. Brass, Co-Coordinator Specialist in
Gov't Org. and Mgmt., and Jennifer D. Williams, Co-Coordinator,
Specialist in American Nat'l Gov't to Honorable Paul Ryan, Speaker of
the House of Representatives, and Honorable Patty Murray, Ranking
Member, S. Comm. on Health, Educ., Labor, and Pensions, 115th Cong.
(Feb. 28, 2017); U.S. Gen. Accounting Office, GAO/GGD-96-106,
Statistical Agencies: Statutory Requirements Affecting Government
Policies and Programs (1996).
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To create flexibility and to avoid overlap with existing
legal protections, H.R. 4174 delegates responsibilities of the
Chief Data Officer to a designated statistical official, with
expertise and authority necessary to access and manage
statistical data, to the extent necessary to avoid conflicts
with existing statistical laws. The designated statistical
official will have the expertise necessary to know when these
laws that govern the protection of data for statistical
purposes apply. Therefore, H.R. 4174 authorizes the statistical
official to make the determination of what responsibilities are
necessary to delegate in order to avoid noncompliance with
legal requirements designed to protect privacy and
confidentiality. The Commission explained why this flexibility
is necessary:
The very legal framework that requires statistical
agencies to protect data collected or acquired under a
pledge of confidentiality and limit its use to
statistical purposes provides a privacy-protective way
to protect newly available data for evidence building.
The data protection requirement extends to all of [the]
representatives operating on a PSA's behalf, including
those working in data centers that store agency data.
Under the law, each person with any confidential
statistical data access must be made an agent, subject
to the law's penalty. Statistical agencies therefore
require that non-agency data center employees with
access to servers containing confidential data complete
training about data stewardship, formally affirm their
commitment to keeping statistical data secure and
confidential, and pledge not to divulge or attempt to
re-identify data. In fact, many statistical statutes
provide for notable penalties, including jail time, for
breaches of confidentiality.\96\
---------------------------------------------------------------------------
\96\Recommendations of the Commission on Evidence-Based
Policymaking: Hearing Before the H. Comm. on Oversight & Gov't Reform,
115th Cong. (2017) (Question for the Record).
---------------------------------------------------------------------------
Secure access to nonpublic data for evidence-building
Evidence has the power to transform inefficient and
ineffective programs to better serve the American public.
Often, the production of evidence requires the use of data
containing personally identifiable information. The American
public expects and deserves robust privacy protection when data
is given in confidence. Access to and protection of data can be
competing goals at times; however, the Federal Government's
data management practices have hurt both interests.
Due to inconsistent data privacy safeguards, agencies have
both unnecessarily restricted access to data valuable for the
production of evidence and inappropriately released data
creating an unnecessary risk.\97\ To address this problem, the
Commission offered a number of recommendations to improve data
privacy protections with standards and methodologies to ensure
thoughtful and consistent decision-making about data access.
---------------------------------------------------------------------------
\97\Sweeny Testimony, supra note 92.
---------------------------------------------------------------------------
As Dr. Abraham explained, ``We're not so much talking about
the hardware and having to buy new hardware. We're talking
about applying the right sort of methods to the way that data
files that are going to be released get structured.''\98\ Data
privacy should not be confused with IT security. The purpose of
IT security is to prevent hacks and data breaches on physical
systems. The purpose of data privacy is to prevent uninformed
decisions to intentionally release personally identifiable
information. Dr. Sweeney, the Commission's privacy expert,
testified:
---------------------------------------------------------------------------
\98\Abraham Testimony, supra note 16.
The Commission believes we can securely increase
access to confidential data for evidence building based
in great part on new advances made in how we think
about privacy, in particular data privacy, and new
techniques that use the same technology that challenges
privacy to help provide protections. If we don't take
these actions, we risk exposing confidential data about
Americans widely, which leaves us vulnerable to many
problems.
The Federal Government collects a lot of information
about individuals and businesses during the course of
its daily operations, and much of that information is
and should be open data. That is, it should be publicly
accessible government information. And things like
weather forecasts and train timetables do not carry the
same privacy burden.
The government says it will keep some of that
information confidential, like names and dates of birth
of Social Security recipients. And when the government
pledges to keep data confidential, the data should have
strong protections, and data used should generally be
made known to the American public. Versions of the data
that can be rendered sufficiently de-identified should
also be made publicly available.\99\
\99\Sweeney Testimony, supra note 92.
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Codifying statistical laws and policies in Title 44, United States Code
The Confidential Information Protection and Statistical
Efficiency Act of 2002 (CIPSEA) was enacted as part of the E-
Government Act of 2002. CIPSEA has two purposes: (1) to create
strong and uniform confidentiality protections for information
collected exclusively for statistical purposes and under a
pledge of confidentiality, and (2) to provide a limited
authority to share protected data. According to the Commission,
CIPSEA creates consistent statutory authority for the agencies
responsible for statistical data to protect the data and
codifies the long-standing principal of functional separation
of statistical activities.\100\
---------------------------------------------------------------------------
\100\CEP REPORT, supra note 4 at 27.
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Statistical Policy Directive #1
H.R. 4174 codifies CIPSEA in chapter 35 of title 44, United
States Code, with a few enhancements such as clarifying the
definition of statistical agencies and units and codifying
Statistical Policy Directive #1 (SPD#1). According to the
Commission, SPD#1 affirmed ``long-acknowledged, fundamental
responsibilities of Federal statistical agencies'' and
placement in the law would improve the protection of
confidential data used in evidence-building. The Commission
recommended codifying the four responsibilities identified in
SPD#1:\101\
---------------------------------------------------------------------------
\101\Statistical Policy Directive No. 1, Federal Register 79 (Dec.
2, 2014): 71609-71616; https://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/
FR-2014-12-02.pdf.
---------------------------------------------------------------------------
Responsibility 1: Produce and disseminate relevant
and timely information. The requirement for relevance
means that statistical agencies must communicate and
coordination across the department and with other
stakeholders.
Responsibility 2: Conduct credible and accurate
statistical activities. Ensuring accuracy and
credibility means ensuring data and information
produced meet established standards like the OMB
established ``Information Quality Guidelines'' and the
agency's established guidelines. Transparency of
sources, dissemination practices, data collection
methods, and other relevant details supports
credibility.
Responsibility 3: Conduct objective statistical
activities. Objective requires the avoidance of ``even
the appearance that agency design, collection,
processing, editing, compilation, storage, analysis,
release, and dissemination processes may be
manipulated.'' This responsibility requires statistical
activities be conducted ``autonomously when determining
what information to collect and process, the physical
security and information systems security employed to
protect confidential data, which methods to apply in
their estimation procedures and data analysis, when and
how to store and disseminate their statistical
products, and which staff to select to join their
agencies.''
Responsibility 4: Protect the trust of information
providers by ensuring the confidentiality and exclusive
statistical use of their responses. Trust is
``essential for the completeness and accuracy of
statistical information as well as the efficiency and
burden of its production.'' Agencies build and maintain
trust ``by maintaining a strong organizational climate
that safeguards and protects the integrity and
confidentiality of the data collected, processed, and
analyzed to ensure that the information is secure
against unauthorized access, editing, deletion, or
use.''
H.R. 4174 codifies these responsibilities in new section
3563 of title 44, United States Code. The requirement for OMB
to issue regulations, as opposed to guidance, is an additional
method to reinforce the responsibilities of SPD#1 by requiring
the use of an established, transparent process to develop and
institute policies to implement the requirements in section
3563. H.R. 4174 furthers SPD#1's responsibility to establish
trust by holding agencies accountable for the pledge to keep
data protected and by requiring the agency to protect the data
in accordance with that pledge.
Relationship to FITARA
Enacted in December 2014, the Federal Information
Technology Acquisition Reform Act (FITARA) was the first
serious IT acquisition reform effort since the Clinger-Cohen
Act of 1996.\102\ The impetus for FITARA was a lack of clear
accountability for IT investment outcomes and other issues
identified through oversight. FITARA addresses the
accountability problem by enhancing existing CIO authorities
and ensuring the CIO has a significant role in the budgeting,
execution, management, and governance processes related to IT
management and acquisition. For example, by law the agency CIO
shall: (1) approve the agency's IT budget request; (2) certify
that IT investments are implementing incremental development;
and (3) approve the appointment of any other employee with the
title of CIO or who functions as a CIO within the agency. The
CIO must also approve all major IT contracts and reprogramming
of IT program funds.\103\
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\102\40 U.S.C. Sec. 11101, et seq. The Clinger-Cohen Act created
the position of the agency CIO and made the CIO responsible for
assisting agency heads in IT acquisition and management. It also made
the CIO responsible for IT capital planning, investment control,
performance, and results-based management. The E-Government Act of 2002
reiterated the CIO's management responsibility for agency IT management
and information security at individual agencies and created the CIO
Council.
\103\The CIO may delegate the approval of non-major IT contracts to
an individual who reports to the CIO. FITARA also provides some
flexibility in how the CIO approval might work by allowing for the use
of agency ``governance processes'' as long as the CIO is a ``full
participant.'' FITARA, Section 831(b)(1)(C).
---------------------------------------------------------------------------
The Commission's report raises some important questions
about the intent of codifying SPD#1. Some comments received by
the Commission suggested that FITARA raised questions about
statistical agencies' abilities to adequately protect the
confidentiality of the data and suggested that ``well-
intentioned efforts'' to comply with FITARA may hinder
statistical agencies' ability to follow through with their
pledges of confidentiality and non-disclosure.\104\ Commenters
also suggested that PSAs should have their legal authority
restored.\105\ The recommendation asserted that placing SPD#1
into law ``provides PSAs a stronger basis from which to defend
their need for independent information technology resources and
tailored procedures to secure the confidentiality of Federal
data used for evidence building.''\106\
---------------------------------------------------------------------------
\104\CEP Report, supra note 4 at 59-60.
\105\Id.
\106\Id. at 64.
---------------------------------------------------------------------------
The Committee is a strong proponent of FITARA and opposes
policies that alter the legal authorities provided under the
law. H.R. 4174 does not alter any existing authorities under
FITARA, including of the CIO, or otherwise affect the
requirements under that law. Dr. Abraham clarified the
Commission's intent: ``We do not believe there need be a
conflict between the objectives of FITARA and statistical
confidentiality.''\107\ Thus, the intent and the text of the
bill do not create a conflict. Agencies should be able to meet
the requirements under FITARA and this bill.
---------------------------------------------------------------------------
\107\Recommendations of the Commission on Evidence-Based
Policymaking: Hearing Before the H. Comm. on Oversight & Gov't Reform,
115th Cong. (2017) (Question for the Record).
---------------------------------------------------------------------------
Enhancing privacy protections and expanding secure access
Many statistical agencies have been at the forefront of
privacy for decades. The Commission reports there are new,
cutting-edge technologies being explored by the Census Bureau
to mitigate the risk of identification. According to the
Commission, improvements in privacy protection are foundational
for using data for evidence building because strong and
effective privacy protections build public trust.
The Commission found that government-wide agencies are not
consistently applying best practices for privacy protections
and do not require a risk assessment prior to the public
release of this data. Furthermore, privacy protection
techniques like data minimization, the practice of allowing
access only to the data that is necessary to complete a
project, are applied differently across agencies and
departments.\108\ Because of rapid changes in computer science,
additional vigilance is required when releasing data, even when
names, addresses, and social security numbers have all been
removed.
---------------------------------------------------------------------------
\108\CEP Report, supra note 4 at 38-39.
---------------------------------------------------------------------------
Dr. Sweeney explained that protecting privacy through
consistent and established policies can increase the public's
understanding of government activities. She testified:
Privacy does not mean secrecy, and there's often a
lot of confusion that the idea of privacy is to hide it
and not let anyone know about it. But, in fact, the
Commission believes that advancing beyond the status
quo and achieving unparalleled transparency means first
telling the public about how government data are used
for evidence building, and, second, regularly auditing
whether the government is doing what it said it would
do to protect privacy when allowing access to
government data for evidence building. Further,
transparency means how was the data redacted and
learning new ways and encouraging the use of new
techniques.\109\
---------------------------------------------------------------------------
\109\Sweeney Testimony, supra note 92.
The Commission recommended a tiered access approach to data
protection. Explaining data access under a tiered access
approach, Dr. Sweeney said, ``It's not a binary decision.
That's how we've historically looked at it. But today's
technology allows us the opportunity to say we can, in fact,
provide public versions of data. The question is which version
and the techniques used to render that version.''\110\ The
problem is ``there's a great variation in how Federal agencies
go about protecting confidential data today.''\111\
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\110\Id.
\111\Id.
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A tiered access approach means using data minimization,
which means giving access to the least amount of data necessary
for the project.\112\ Under the Commission's approach agencies
would need to assess the sensitivity of each data asset by
analyzing the potential harm in the context of the potential
use. The Commission noted that the government lacks a
consistent and objective system to classify sensitivity, which
means agencies cannot ensure equal treatment of all data
assets. Dr. Sweeney explained:
---------------------------------------------------------------------------
\112\CEP Report, supra note 4 at 38.
Government agencies follow their own applicable laws
and regulations in providing access to their
confidential data. These agencies are not necessarily
coordinated in the decisionmaking they make. And the
fact that they have different policies and different
procedures about what it means to be identifiable
creates a lot of problems. Sometimes two different
agencies releasing the same data make different
decisions, and the two pieces can be put together.\113\
---------------------------------------------------------------------------
\113\Sweeney Testimony, supra note 90.
The Commission's report discussed several new techniques
for enhancing privacy protections. For example, differential
privacy means the risk of re-identification is mathematically
computed, and a quantifiable measure of the excess privacy risk
of an individual subject is produced.\114\ OnTheMap, an online
mapping and reporting tool that shows areas where people work
and where workers live, uses differential privacy. OnTheMap
uses an algorithm, known as synthetic data generation, to
anonymize data, which allows the application to provide
significant detail for what would otherwise be confidential
data.\115\
---------------------------------------------------------------------------
\114\CEP Report, supra note 4 at 57.
\115\Id. at 58.
---------------------------------------------------------------------------
Under the Commission's recommended approach, agencies could
improve privacy protections while also improving access to
data. Dr. Sweeney testified, ``protecting the privacy of the
American people means being transparent and open about decision
making and processes, and clear about how confidential
information is being used, and giving opportunities for
feedback and improvement.''\116\ Improved use of state of the
art techniques, in conjunction with a transparent and
consistent process, will lead to both more security and more
access.
---------------------------------------------------------------------------
\116\Sweeney Testimony, supra note 92.
---------------------------------------------------------------------------
H.R. 4174 establishes a framework under which the
statistical agencies will establish and implement a consistent,
secure, and comprehensive approach to protecting confidential
information in data obtained from program agencies for use to
develop evidence. The PSAs will be required to analyze data
obtained under CIPSEA, including the presumption discussed
below, to determine the level of sensitivity of the data asset
and to apply a consistent level of access to such data asset.
The result of the sensitivity analysis is greater uniformity
across agencies for determining appropriate access to nonpublic
data assets.
The PSAs will also be tasked with developing standards and
methodology to de-identify, meaning to obscure identifying
information in a data asset so that the identity of the subject
cannot be reasonably inferred by either direct or indirect
means. The purpose of the effort is to increase access to data,
but not necessarily to make such data publicly accessible.
Prior to releasing any data obtained under CIPSEA, statistical
agencies will be required to conduct a comprehensive analysis
of the risk of publicly releasing such data.
Presumption of access
Agency interpretations of restrictions on data sharing
often govern access and use of the data, but agencies may
interpret the same law differently, causing confusion. Sharing
data between Federal agencies can be difficult, costly, and
cumbersome. The Commission found that as a result of years of
statutory buildup of regulations related to statistical and
administrative data collected by the government, there is no
consensus on how, when, and with whom collected data can be
shared.\117\ This stems in part from the decentralized nature
of the Federal statistical programs, which are spread among
multiple different agencies.\118\ According to Dr. Abraham:
---------------------------------------------------------------------------
\117\CEP Report, supra note 4 at 26.
\118\Id.
In its review of applicable laws, the Commission
found considerable variation in provisions governing
data confidentiality and permissible uses of data. The
laws that authorize statistical agencies, for example,
include varying restrictions on who can access data
that has been collected and for what purposes. Many
program agencies' authorizing statutes do not address
data confidentiality and the use of data for evidence
building at all. Other program agencies' laws establish
narrow standards for the acceptable use of
administrative data. For example, Title 26 of the U.S.
Code generally limits the use of tax data to projects
that would improve tax administration, precluding the
use of these data under controlled circumstances and
conditions for other evidence building purposes.\119\
---------------------------------------------------------------------------
\119\Abraham Testimony, supra note 16.
H.R. 4174 creates a presumption that Federal data should be
made available to statistical agencies for evidence-building
purposes. To create greater clarity regarding which laws
restrict access, the bill requires OMB to develop a list of
laws that prevent statistical agencies from accessing data and
for all future restrictions to specifically cite to the code
section when intending to create an exemption from the
presumption in this bill.
Similarly, H.R. 4174 does not alter agencies' existing
statutory access to statistical data or information otherwise
protected by provisions of the bill, or memoranda of
understanding thereon, including, for example under the Federal
Cybersecurity Enhancement Act of 2015.\120\ Nor does the bill
alter Congress's authorities derived from its constitutional
power of inquiry, such as access to information and records by
the House of Representatives or the Senate, or a committee
thereof.
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\120\Pub. L. 114-113, Title II, Subtitle B, 129 Stat. 2963, et seq.
---------------------------------------------------------------------------
Application process
The Commission described access to government data as
governed by ``cumbersome and onerous processes, often the
result of idiosyncratic processes that vary across
government.''\121\ Currently, there is no established,
consistent process by which researchers and other appropriate
individuals can seek access to data that would be valuable for
evidence-building, but otherwise not available under the
Freedom of Information Act (FOIA). Dr. Abraham testified:
---------------------------------------------------------------------------
\121\CEP Report, supra note 4 at 35.
During its fact-finding phase, the Commission heard
about several examples of exciting research done using
confidential data that has generated valuable
information for designing and carrying out programs and
policies . . . . Too often, however, we found legal and
bureaucratic barriers to accessing data have prevented
researchers from studying important policy questions.
Surmounting these barriers is especially difficult when
the researcher seeks to access data from multiple
jurisdictions or agencies.\122\
---------------------------------------------------------------------------
\122\Abraham Testimony, supra note 16.
Agency application processes for researchers seeking to
access various agency data sources are inconsistent and
specific only to the data held at that agency. Some agencies
lack any formal program for outside researcher access. These
burdens may increase the costs associated with conducting
federally funded research. Beyond the issue of inconsistent
access procedures, the Commission's review found that agencies
often lack the capacity to provide access to data resources.
H.R. 4174 addresses access concerns by establishing a
common application process for researchers and other entities
for purposes of developing evidence to apply to access data
through statistical agencies. While the application process
will not guarantee access, the process will create efficiency
and clarity for the evidence-building community to maximize the
value obtained from resources devoted to evidence building.
Restricting the process to statistical agencies will ensure the
greatest level of privacy protection, with protections
established in CIPSEA and in other parts of this bill.
Statistical agencies also have a greater incentive than other
agencies to engage in the access and use of data for purposes
of developing evidence because those activities are part of the
statistical agencies' missions.
LEGISLATIVE HISTORY
On October 31, 2017, Representative Paul Ryan (R-WI), the
Speaker of the House, introduced H.R. 4174, the Foundations for
Evidence-Based Policymaking Act of 2017, with Representative
Trey Gowdy (R-SC), the Chairman of the Committee, and
Representatives Blake Farenthold (R-TX) and Derek Kilmer (D-
WA). H.R. 4174 was referred to the Committee on Oversight and
Government Reform. The Committee considered H.R. 4174 at a
business meeting on November 2, 2017, and ordered the bill
favorably reported by voice vote.
Senator Patty Murray (D-WA) introduced S. 2046, the Senate
companion to H.R. 4174, on October 31, 2017, which was referred
to the Committee on Homeland Security and Governmental Affairs.
Representative Derek Kilmer (D-WA) introduced a related
bill, H.R. 1770, the Open, Public, Electronic, and Necessary
Government Data Act, on March 29, 2017, with Representative
Blake Farenthold (R-TX). H.R. 1770 was also referred to the
Committee on Oversight and Government Reform.
Senator Brian Schatz (D-HI) introduced S. 760, the Senate
companion to H.R. 1770, on March 29, 2017, with Senators Ben
Sasse (R-NE), Gary Peters (D-MI), Cory Gardner (R-CO), and
Chris Coons (D-DE). S. 760 was referred to the Committee on
Homeland Security and Governmental Affairs. The Senate
Committee on Homeland Security and Governmental Affairs
considered S. 760 at a business meeting on May 17, 2017, and
order the bill reported favorably, as amended, by voice vote.
Section-by-Section
Section 1. Short title; table of contents
Section 1 provides the short title of the bill and the
table of contents.
TITLE I--FEDERAL EVIDENCE-BUILDING ACTIVITIES
Sec. 101. Federal evidence-building activities
Section 101 adds subchapter II to chapter 3 of title 5,
United States Code, which establishes requirements for expanded
capacity and prioritization of evidence-building and
evaluation.
The new section 311 of new subchapter II defines terms used
in the subchapter.
The new section 312 establishes a requirement for Chief
Financial Officers Act agencies to develop annual evidence-
building plans, which will include policy questions for which
the agency needs to develop evidence, data the agency intends
to acquire or use for evidence-building, and other information
necessary to help the agency better plan for evidence-building
activities.
The new section 313 requires the OMB to coordinate
government-wide evidence-building efforts by consolidating the
evidence-building plans and facilitating interagency
coordination of evidence-building activities. This section
codifies the current Interagency Council on Evaluation Policy.
The new section 314 requires each Chief Financial Officers
Act agency to designate an employee of the agency as the Chief
Evaluation Officer, who shall coordinate evidence-building
activities across the agency.
The new section 315 requires agencies to designate
statistical officials to advise on statistical policy,
techniques, and procedures.
The new section 316 establishes the Advisory Committee on
Data for Evidence Building to further evaluate the Commission
on Evidence-Based Policymaking's recommendation to establish a
National Secure Data Service and to assist OMB with developing
guidance as required under the bill.
Section 101 of the bill also adds a requirement to the
agency strategic plan to include an assessment of coverage,
quality, methods, effectiveness and independence of statistics,
evaluation, and research and analysis efforts of the agency. In
addition, it requires GAO conduct a government-wide review of
agency strategic plans.
TITLE II--OPEN GOVERNMENT DATA ACT
Sec. 201. Short title
Section 201 provides the short title of title II of the
bill.
Sec. 202. OPEN government data
Section 202 adds definitions to section 3502 of title 44,
United States Code. The section expands agency responsibilities
for managing information by requiring agencies to establish an
open data plan, requiring agencies to make data available under
an open format and an open license and as machine-readable
data, and by encouraging agencies to collaborate with the
public on the use of Federal data.
OMB must issue guidance to agencies regarding their
implementation of the requirements to make data available under
an open format and open license, which takes into consideration
security, privacy, intellectual property, and the expectation
to disclose data available under the Freedom of Information Act
(FOIA).
Section 202 amends section 3511 of title 44, United States
Code, to require agencies to develop a comprehensive inventory
of agency data assets and to publish data assets on the Federal
data catalogue in accordance with guidance issued by OMB, which
considers security, privacy, intellectual property, and the
expectation to disclose data available under FOIA. It also
amends section 3520 of title 44, United States Code, to
establish Chief Data Officers to coordinate the management of
data at each agency, to manage information collection request
processes, and to develop the inventory in section 3511.
Section 202 creates a new section 3520A of title 44, United
States Code, to establish a Chief Data Officer Council for
Chief Data Officers to share best practices, promote data
sharing, and identify ways to improve access to data.
GAO shall report on the value of the improved data access
under the bill and the completeness of the data inventories,
and OMB must report on performance and compliance with
amendments made by the bill.
TITLE III--CONFIDENTIAL INFORMATION PROTECTION AND STATISTICAL
EFFICIENCY
Sec. 301. Short title
Section 301 provides the short title of title III of the
bill.
Sec. 302. Confidential information protection and statistical
efficiency
Section 302 codifies the Confidential Information
Protection and Statistical Efficiency Act of 2002 (CIPSEA) in a
new subchapter III, of chapter 35 of title 44, United States
Code with certain changes. Those include:
(1) Definitions for director and evidence are added to
section 3561.
(2) The definition of statistical agencies is clarified by
requiring OMB to establish a process by which an agency is
designated as a CIPSEA statistical agency.
(3) Section 3563 is added to codify Statistical Policy
Directive #1, which establishes responsibilities for
statistical agencies and requires other agencies to support
statistical agencies in fulfilling their responsibilities.
(4) Section 3572(b) is amended to codify the requirement
that information obtained under a pledge of confidentiality and
for statistical purposes will be protected in accordance with
the pledge. Nothing in this provision is intended to alter an
existing statutory authorization for access to information, or
memoranda of understanding based on such a statutory
authorization, or impede Congress's constitutional right of
access to information and records of Federal agencies.
Sec. 303. Increasing access to data for evidence
Section 303 adds part D to chapter 35 subchapter III of
title 44, United States Code, which establishes new procedures
for data access and privacy protection. The bill clarifies the
requirement that agencies must share data with statistical
agencies for the purposes of developing evidence unless the
underlying statute prohibits data sharing in a manner that
leaves no discretion. Statistical agencies are charged with
expanding access to data in a manner that protects the data
from inappropriate access and use. The bill requires OMB to
establish regulations for statistical agencies to assess data
and categorize access to data based on the sensitivity of the
data, to conduct an analysis of risks prior to releasing any
data publicly, and to develop methods to reduce the sensitivity
of data to improve access to such data. The bill also
establishes an application process for researchers, state and
local governments, and other entities to access data for the
purpose of developing evidence.
TITLE IV--GENERAL PROVISIONS
Sec. 401. Rule of construction
The rule of construction clarifies that the bill does not
require the disclosure of any material that is exempt from
disclosure under FOIA and does not create any new exemptions to
FOIA.
Sec. 402. Effective date
The effective date is 180 days after enactment.
Explanation of Amendments
There were no amendments to H.R. 4174 offered or adopted
during Committee consideration of the bill.
Committee Consideration
On November 2, 2017, the Committee met in open session and,
with a quorum being present, ordered the bill favorably
reported by voice vote, without amendment.
Roll Call Votes
There were no roll call votes requested or conducted during
Committee consideration of H.R. 4174.
Application of Law to the Legislative Branch
Section 102(b)(3) of Public Law 104-1 requires a
description of the application of this bill to the legislative
branch where the bill relates to the terms and conditions of
employment or access to public services and accommodations.
This bill amends titles 5 and 44, United States Code, to
require Federal evaluation activities, improve Federal data
management, and for other purposes. As such, this bill does not
relate to employment or access to public services and
accommodations.
Statement of Oversight Findings and Recommendations of the Committee
In compliance with clause 3(c)(1) of rule XIII and clause
(2)(b)(1) of rule X of the Rules of the House of
Representatives, the Committee's oversight findings and
recommendations are reflected in the descriptive portions of
this report.
Statement of General Performance Goals and Objectives
In accordance with clause 3(c)(4) of rule XIII of the Rules
of the House of Representatives, the Committee's performance
goal or objective of this bill is to amend titles 5 and 44,
United States Code, to require Federal evaluation activities,
improve Federal data management, and for other purposes.
Duplication of Federal Programs
In accordance with clause 2(c)(5) of rule XIII no provision
of this bill establishes or reauthorizes a program of the
Federal Government known to be duplicative of another Federal
program, a program that was included in any report from the
Government Accountability Office to Congress pursuant to
section 21 of Public Law 111-139, or a program related to a
program identified in the most recent Catalog of Federal
Domestic Assistance.
Disclosure of Directed Rule Makings
This bill directs the completion of the following specific
rule makings within the meaning of section 551 of title 5,
United States Code:
In section 302(a), section 3563(c) of title 44,
United States Code, requires the Director of the Office of
Management and Budget (OMB) to promulgate regulations to carry
out subsections (a) and (b) of the section.
In section 303(a), section 3581(c) of title 44,
United States Code, requires the Director of OMB to promulgate
regulations to carry out subsections (a) and (b) of the
section.
In section 303(a), section 3582(b) of title 44,
United States Code, requires the Director of OMB to promulgate
regulations to carry out subsections (a).
Federal Advisory Committee Act
The Committee finds that the legislation establishes an
advisory committee within the definition of Section 5(b) of the
appendix to title 5, United States Code. No equivalent advisory
committee currently exists. The creation of an advisory
committee to carry out the intended policy is necessary because
the establishment of a service to facilitate data sharing for
statistical activities conducted for statistical purposes
affects both government and non-government entities.
Unfunded Mandates Statement
H.R. 4174 contains no intergovernmental or private-sector
mandates as defined in the Unfunded Mandates Reform Act and
would impose no costs on state, local, or tribal governments.
Earmark Identification
This bill does not include any congressional earmarks,
limited tax benefits, or limited tariff benefits as defined in
clause 9 of rule XXI of the House of Representatives.
Committee Estimate
Based on a review of similar legislation and provisions of
legislation in this and previous Congresses, the Committee
estimates the cost of implementing H.R. 4174 would not be
substantial. The Congressional Budget Office did not provide a
cost estimate for the bill.
New Budget Authority and Congressional Budget Office Cost Estimate
With respect to the requirements of clause 3(c)(3) of rule
XIII of the Rules of the House of Representatives and section
402 of the Congressional Budget & Impound Control Act of 1974,
the Committee has not received a cost estimate for this bill
from the Director of Congressional Budget Office. The bill
provides no new budget authority or increase or decrease in
revenues or tax expenditures within the meaning of clause
3(c)(2) of rule XIII of the Rules of the House of
Representatives or section 308(a) of the Congressional Budget &
Impound Control Act of 1974.
Changes in Existing Law Made by the Bill, as Reported
In compliance with clause 3(e) of rule XIII of the Rules of
the House of Representatives, changes in existing law made by
the bill, as reported, are shown as follows (existing law
proposed to be omitted is enclosed in black brackets, new
matter is printed in italic, and existing law in which no
change is proposed is shown in roman):
TITLE 5, UNITED STATES CODE
* * * * * * *
PART I--THE AGENCIES GENERALLY
* * * * * * *
CHAPTER 3--POWERS
Sec.
SUBCHAPTER I--GENERAL PROVISIONS
301. Departmental regulations.
302. Delegation of authority.
303. Oaths to witnesses.
304. Subpenas.
305. Systematic agency review of operations.
306. Agency strategic plans.
SUBCHAPTER II--FEDERAL EVIDENCE-BUILDING ACTIVITIES
Sec.
311. Definitions.
312. Agency evidence-building plan.
313. Governmentwide evidence-building coordination.
314. Chief Evaluation Officers.
315. Statistical expertise.
316. Advisory Committee on Data for Evidence Building.
SUBCHAPTER I--GENERAL PROVISIONS
* * * * * * *
Sec. 306. Agency strategic plans
(a) Not later than the first Monday in February of any year
following the year in which the term of the President commences
under section 101 of title 3, the head of each agency shall
make available on the public website of the agency a strategic
plan and notify the President and Congress of its availability.
Such plan shall contain--
(1) a comprehensive mission statement covering the
major functions and operations of the agency;
(2) general goals and objectives, including outcome-
oriented goals, for the major functions and operations
of the agency;
(3) a description of how any goals and objectives
contribute to the Federal Government priority goals
required by section 1120(a) of title 31;
(4) a description of how the goals and objectives are
to be achieved, including--
(A) a description of the operational
processes, skills and technology, and the
human, capital, information, and other
resources required to achieve those goals and
objectives; and
(B) a description of how the agency is
working with other agencies to achieve its
goals and objectives as well as relevant
Federal Government priority goals;
(5) a description of how the goals and objectives
incorporate views and suggestions obtained through
congressional consultations required under subsection
(d);
(6) a description of how the performance goals
provided in the plan required by section 1115(a) of
title 31, including the agency priority goals required
by section 1120(b) of title 31, if applicable,
contribute to the general goals and objectives in the
strategic plan;
(7) an identification of those key factors external
to the agency and beyond its control that could
significantly affect the achievement of the general
goals and objectives[; and];
(8) a description of the program evaluations used in
establishing or revising general goals and objectives,
with a schedule for future program evaluations to be
conducted[.], and citations to relevant provisions of
the plan required under section 312; and
(9) an assessment of the coverage, quality, methods,
effectiveness, and independence of the statistics,
evaluation, research, and analysis efforts of the
agency, including--
(A) a list of the activities and operations
of the agency that are currently being
evaluated and analyzed;
(B) the extent to which the evaluations,
research, and analysis efforts and related
activities of the agency support the needs of
various divisions within the agency;
(C) the extent to which the evaluation
research and analysis efforts and related
activities of the agency address an appropriate
balance between needs related to organizational
learning, ongoing program management,
performance management, strategic management,
interagency and private sector coordination,
internal and external oversight, and
accountability;
(D) the extent to which the agency uses
methods and combinations of methods that are
appropriate to agency divisions and the
corresponding research questions being
addressed, including an appropriate combination
of formative and summative evaluation research
and analysis approaches;
(E) the extent to which evaluation and
research capacity is present within the agency
to include personnel and agency processes for
planning and implementing evaluation
activities, disseminating best practices and
findings, and incorporating employee views and
feedback; and
(F) the extent to which the agency has the
capacity to assist agency staff and program
offices to develop the capacity to use
evaluation research and analysis approaches and
data in the day-to-day operations.
(b) The strategic plan shall cover a period of not less than
4 years following the fiscal year in which the plan is
submitted. As needed, the head of the agency may make
adjustments to the strategic plan to reflect significant
changes in the environment in which the agency is operating,
with appropriate notification of Congress.
(c) The performance plan required by section 1115(b) of title
31 shall be consistent with the agency's strategic plan. A
performance plan may not be submitted for a fiscal year not
covered by a current strategic plan under this section.
(d) When developing or making adjustments to a strategic
plan, the agency shall consult periodically with the Congress,
including majority and minority views from the appropriate
authorizing, appropriations, and oversight committees, and
shall solicit and consider the views and suggestions of those
entities potentially affected by or interested in such a plan.
The agency shall consult with the appropriate committees of
Congress at least once every 2 years.
(e) The functions and activities of this section shall be
considered to be inherently governmental functions. The
drafting of strategic plans under this section shall be
performed only by Federal employees.
(f) Not later than two years after the date on which each
strategic plan required under subsection (a) is published, the
Comptroller General of the United States shall submit to
Congress a report that--
(1) summarizes agency findings and highlights trends
in the assessment conducted pursuant to subsection
(a)(9); and
(2) if appropriate, recommends actions to further
improve agency capacity to use evaluation techniques
and data to support evaluation efforts.
[(f)] (g) For purposes of this section the term ``agency''
means an Executive agency defined under section 105, but does
not include the Central Intelligence Agency, the Government
Accountability Office, the United States Postal Service, and
the Postal Regulatory Commission.
SUBCHAPTER II--FEDERAL EVIDENCE-BUILDING ACTIVITIES
Sec. 311. Definitions
In this subchapter:
(1) Agency.--The term ``agency'' means an agency
referred to under section 901(b) of title 31.
(2) Director.--The term ``Director'' means the
Director of the Office of Management and Budget.
(3) Evaluation.--The term ``evaluation'' means an
assessment using systematic data collection and
analysis of one or more programs, policies, and
organizations intended to assess their effectiveness
and efficiency.
(4) Evidence.--The term ``evidence'' means
evaluation, policy research and analysis, and
information produced as a result of statistical
activities conducted for a statistical purpose.
(5) State.--The term ``State'' means each of the
several States, the District of Columbia, each
territory or possession of the United States, and each
federally recognized Indian Tribe.
(6) Statistical activities; statistical agency or
unit; statistical purpose.--The terms ``statistical
activities'', ``statistical agency or unit'', and
``statistical purpose'' have the meanings given those
terms in section 3561 of title 44.
Sec. 312. Agency evidence-building plan
(a) Requirement.--Not later than the first Monday in February
of each year, the head of each agency shall submit to the
Director and Congress a systematic plan for identifying and
addressing policy questions relevant to the programs, policies,
and regulations of the agency. Such plan shall be made
available on the public website of the agency and shall cover
at least a 4-year period beginning with the first fiscal year
following the fiscal year in which the plan is submitted and
published and contain the following:
(1) A list of policy-relevant questions for which the
agency intends to develop evidence to support
policymaking.
(2) A list of data the agency intends to collect,
use, or acquire to facilitate the use of evidence in
policymaking.
(3) A list of methods and analytical approaches that
may be used to develop evidence to support
policymaking.
(4) A list of any challenges to developing evidence
to support policymaking, including any statutory or
other restrictions to accessing relevant data.
(5) A description of the steps the agency will take
to accomplish paragraphs (1) and (2).
(6) Any other information as required by guidance
issued by the Director.
(b) Consultation.--In developing the plan required under
subsection (a), the head of an agency shall consult with the
following:
(1) The public.
(2) Any evaluation or analysis unit and personnel of
the agency.
(3) Agency officials responsible for implementing
privacy policy.
(4) The Chief Data Officer of the agency.
(5) The officials of the agency designated under
section 315.
(6) The Performance Improvement Officer of the
agency.
(7) Program administrators of the agency.
(8) The committees of the House of Representatives
and Senate with oversight jurisdiction over the agency.
Sec. 313. Governmentwide evidence-building coordination
(a) Unified Evidence-Building Coordination.--
(1) In general.--The Director shall consolidate the
plans submitted under section 312 in a unified
evidence-building plan. The Director shall notify
agency heads of potentially overlapping or unnecessary
duplicative data acquisition plans and facilitate
interagency evidence gathering and sharing. The head of
the agency may incorporate the results of any
interagency coordination by updating the plan required
under section 312. The Director shall incorporate any
such agency update in the unified evidence-building
plan.
(2) Consultation.--In developing the unified
evidence-building plan required under paragraph (1),
the Director shall consult with the following:
(A) The public.
(B) The Interagency Council on Evaluation
Policy established under subsection (b).
(C) The Interagency Council on Statistical
Policy established under section 3504(e)(8) of
title 44.
(D) Any other relevant interagency council.
(E) The head of each agency.
(b) Interagency Council on Evaluation Policy.--
(1) Establishment.--There is established an
Interagency Council on Evaluation Policy (in this
section referred to as the ``Council'') to advise and
assist the Director in supporting Governmentwide
evaluation activities and policies.
(2) Purpose and function.--The Council shall act as
the principal interagency forum for coordinating cross-
agency evaluation activities and improving agency
practices related to program evaluation. The Council
shall--
(A) advise and assist the Director in
supporting Governmentwide evaluation activities
and policies;
(B) foster capacity for program evaluation
across agencies by collaborating on a set of
Governmentwide human capital strategies that
develop and maintain agencies' capacity for
program evaluation;
(C) advise on the development of department-
wide evaluation policies and the systematic
plans for identifying and addressing priority
policy questions described in agency evidence-
building plans under section 312; and
(D) serve as a forum in which members may
engage in collective learning and sharing of
information to strengthen and promote high-
quality program evaluation practices across the
Government.
(3) Membership.--The members of the Council shall be
the Chief Evaluation Officers appointed or designated
under section 314. The Director shall designate a Chair
of the Council. Additional members may be designated by
the Chair.
(4) Meetings.--The Council shall meet not less than
twice per fiscal year and may meet at the call of the
Chair or a majority of the members of the Council.
(5) Support.--The head of each agency with a Chief
Evaluation Officer serving on the Council shall, as
appropriate and to the extent permitted by law, provide
support in operating the Council, upon the request of
the Chair.
(6) Annual report.--The Chair of the Council shall
submit an annual report on the Council's work under
paragraph (2) to the Committee on Oversight and
Government Reform of the House of Representatives and
the Committee on Homeland Security and Government
Affairs of the Senate. The Director shall make such
report publicly available online.
(7) Report and termination.--
(A) Evaluation of council.--Not later than
four years after the date of the enactment of
this subsection, the Comptroller General of the
United States shall submit a report to Congress
on whether the Council improved the use of
evidence and program evaluation in the Federal
Government.
(B) Termination of council.--The Council
shall terminate and this subsection shall be
repealed upon the expiration of the two-year
period that begins on the date the Comptroller
General of the United States submits the
evaluation under subparagraph (A) to Congress.
Sec. 314. Chief Evaluation Officers
(a) Establishment.--The head of each agency shall appoint or
designate an employee of the agency as the Chief Evaluation
Officer of the agency.
(b) Qualifications.--The Chief Evaluation Officer of an
agency shall be appointed or designated without regard to
political affiliation and based on demonstrated expertise in
evaluation methodology, practices, and appropriate expertise to
the disciplines of the agency.
(c) Limitations.--The Chief Evaluation Officer of an agency
may not simultaneously serve as any of the following:
(1) The Chief Financial Officer of any agency.
(2) The Chief Information Officer of any agency.
(3) The Chief Human Capital Officer of any agency.
(4) The Chief Acquisition Officer of any agency.
(5) The Inspector General of any agency.
(d) Coordination.--The Chief Evaluation Officer of an agency
shall, to the extent practicable, coordinate activities with
agency officials, including the following:
(1) Agency officials responsible for implementing
privacy policy regarding privacy and confidentiality
issues.
(2) The Chief Data Officer of the agency.
(3) Agency officials designated under section 315.
(4) Any evaluation or analysis unit and personnel of
the agency on the needs for evaluation and analysis.
(5) The Performance Improvement Officer of the
agency.
(6) Program administrators of the agency.
(7) The Chief Evaluation Officers of other agencies.
(e) Functions.--The Chief Evaluation Officer of each agency
shall--
(1) continually assess the coverage, quality,
methods, consistency, effectiveness, independence, and
balance of the portfolio of evaluations, policy
research, and ongoing evaluation activities of the
agency;
(2) assess agency capacity to support the development
and use of evaluation;
(3) establish and implement an agency evaluation
policy; and
(4) coordinate, develop, and implement the plan
required under section 312.
Sec. 315. Statistical expertise
(a) In General.--The head of each agency shall designate the
head of any statistical agency or unit within the agency, or in
the case of an agency that does not have a statistical agency
or unit, any senior agency official with appropriate expertise,
as a statistical official to advise on statistical policy,
techniques, and procedures. Agency officials engaged in
statistical activities may consult with any such statistical
official as necessary.
(b) Membership on Interagency Council for Statistical
Policy.--Each statistical official designated under subsection
(a) shall serve as a member of the Interagency Council for
Statistical Policy established under section 3504(e)(8) of
title 44.
Sec. 316. Advisory Committee on Data for Evidence Building
(a) Establishment.--The Director, or the head of an agency
head designated by the Director, shall establish an Advisory
Committee on Data for Evidence Building (in this section
referred to as the ``Advisory Committee'') to review, analyze,
and make recommendations on how to expand access to and use of
Federal data for evidence building.
(b) Membership.--The members of the Advisory Committee shall
consist of the Chief Statistician of the United States, who
shall serve as the Chair of the Advisory Committee, and other
members appointed by the Director as follows:
(1) One member who is an agency Chief Information
Officer.
(2) One member who is an agency Chief Privacy
Officer.
(3) One member who is an agency Chief Performance
Officer.
(4) Three members who are agency Chief Data Officers.
(5) Three members who are agency Chief Evaluation
Officers.
(6) Three members who are members of the Interagency
Council for Statistical Policy established under
section 3504(e)(8) of title 44.
(7) At least 10 members who are representatives of
State and local governments and nongovernmental
stakeholders with expertise in government data policy,
privacy, technology, transparency policy, evaluation
and research methodologies, and other relevant
subjects, of whom--
(A) at least one shall have expertise in
transparency policy;
(B) at least one shall have expertise in
privacy policy;
(C) at least one shall have expertise in
statistical data use;
(D) at least one shall have expertise in
information management;
(E) at least one shall have expertise in
information technology;
(F) at least one shall be from the research
and evaluation community; and
(G) if practicable, at least one shall be a
former member of the Commission on Evidence-
Based Policymaking.
(c) Term of Service.--
(1) In general.--Each member of the Advisory
Committee (other than the Chair) shall serve for a term
of two years.
(2) Vacancy.--Any member appointed to fill a vacancy
occurring before the expiration of the term for which
the member's predecessor was appointed shall be
appointed only for the remainder of that term. A
vacancy in the Commission shall be filled in the manner
in which the original appointment was made.
(d) Compensation.--Members of the Advisory Committee shall
serve without compensation.
(e) Duties.--
(1) First year.--During the first year of the
Advisory Committee, the Advisory Committee shall--
(A) assist the Director in carrying out the
duties of the Director under part D of
subchapter III of chapter 35 of title 44; and
(B) evaluate and provide recommendations to
the Director on the establishment of a shared
service to facilitate data sharing, enable data
linkage, and develop privacy enhancing
techniques, including--
(i) the specific capabilities, needs,
and necessary assets of such service,
and the extent to which assets should
be transferred from existing agencies;
(ii) any prospective location for
such service;
(iii) best practices for transparency
and interagency coordination;
(iv) best practices for monitoring
and auditing of privacy, data linkage,
and confidentiality of data accessed
through such service; and
(v) necessary administrative and
financial authorities to support the
activities of such service.
(2) Second year.--During the second and any
subsequent year of the Advisory Committee, the Advisory
Committee shall--
(A) if determined necessary by the Director,
carry out the duties described in paragraph
(1); and
(B) review the coordination of data sharing
or availability for evidence building across
all agencies.
(f) Reports.--For each year of the existence of the Advisory
Committee, the Advisory Committee shall submit to the Director
and make publicly available an annual report on the activities
and findings of the Advisory Committee.
* * * * * * *
----------
TITLE 44, UNITED STATES CODE
* * * * * * *
PART A--GENERAL
* * * * * * *
CHAPTER 35--COORDINATION OF FEDERAL INFORMATION POLICY
SUBCHAPTER I--FEDERAL INFORMATION POLICY
Sec.
3501. Purposes.
* * * * * * *
[3511. Establishment and operation of Government Information Locator
Service.]
3511. Data inventory and Federal data catalogue.
* * * * * * *
[3520. Establishment of task force on information collection and
dissemination.]
3520. Chief Data Officers.
3520A. Chief Data Officer Council.
3521. Authorization of appropriations.
* * * * * * *
SUBCHAPTER III--CONFIDENTIAL INFORMATION PROTECTION AND STATISTICAL
EFFICIENCY
Part A--General
3561. Definitions.
3562. Coordination and oversight of policies.
3563. Federal statistical agencies.
3564. Effect on other laws.
Part B--Confidential Information Protection
3571. Findings.
3572. Confidential information protection.
Part C--Statistical Efficiency
3575. Findings.
3576. Designated Statistical Agencies.
Part D--Access to Data for Evidence
3581. Presumption of accessibility for statistical agencies and units.
3582. Expanding secure access to nonpublic data assets.
3583. Application to access data assets for developing evidence.
SUBCHAPTER I--FEDERAL INFORMATION POLICY
* * * * * * *
Sec. 3502. Definitions
As used in this subchapter--
(1) the term ``agency'' means any executive
department, military department, Government
corporation, Government controlled corporation, or
other establishment in the executive branch of the
Government (including the Executive Office of the
President), or any independent regulatory agency, but
does not include--
(A) the Government Accountability Office;
(B) Federal Election Commission;
(C) the governments of the District of
Columbia and of the territories and possessions
of the United States, and their various
subdivisions; or
(D) Government-owned contractor-operated
facilities, including laboratories engaged in
national defense research and production
activities;
(2) the term ``burden'' means time, effort, or
financial resources expended by persons to generate,
maintain, or provide information to or for a Federal
agency, including the resources expended for--
(A) reviewing instructions;
(B) acquiring, installing, and utilizing
technology and systems;
(C) adjusting the existing ways to comply
with any previously applicable instructions and
requirements;
(D) searching data sources;
(E) completing and reviewing the collection
of information; and
(F) transmitting, or otherwise disclosing the
information;
(3) the term ``collection of information''--
(A) means 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,
regardless of form or format, calling for
either--
(i) answers to identical questions
posed to, or identical reporting or
recordkeeping requirements imposed on,
ten or more persons, other than
agencies, instrumentalities, or
employees of the United States; or
(ii) answers to questions posed to
agencies, instrumentalities, or
employees of the United States which
are to be used for general statistical
purposes; and
(B) shall not include a collection of
information described under section 3518(c)(1);
(4) the term ``Director'' means the Director of the
Office of Management and Budget;
(5) the term ``independent regulatory agency'' means
the Board of Governors of the Federal Reserve System,
the Commodity Futures Trading Commission, the Consumer
Product Safety Commission, the Federal Communications
Commission, the Federal Deposit Insurance Corporation,
the Federal Energy Regulatory Commission, the Federal
Housing Finance Agency, the Federal Maritime
Commission, the Federal Trade Commission, the
Interstate Commerce Commission, the Mine Enforcement
Safety and Health Review Commission, the National Labor
Relations Board, the Nuclear Regulatory Commission, the
Occupational Safety and Health Review Commission, the
Postal Regulatory Commission, the Securities and
Exchange Commission, the Bureau of Consumer Financial
Protection, the Office of Financial Research, Office of
the Comptroller of the Currency, and any other similar
agency designated by statute as a Federal independent
regulatory agency or commission;
(6) the term ``information resources'' means
information and related resources, such as personnel,
equipment, funds, and information technology;
(7) the term ``information resources management''
means the process of managing information resources to
accomplish agency missions and to improve agency
performance, including through the reduction of
information collection burdens on the public;
(8) the term ``information system'' means a discrete
set of information resources organized for the
collection, processing, maintenance, use, sharing,
dissemination, or disposition of information;
(9) the term ``information technology'' has the
meaning given that term in section 11101 of title 40
but does not include national security systems as
defined in section 11103 of title 40;
(10) the term ``person'' means an individual,
partnership, association, corporation, business trust,
or legal representative, an organized group of
individuals, a State, territorial, tribal, or local
government or branch thereof, or a political
subdivision of a State, territory, tribal, or local
government or a branch of a political subdivision;
(11) the term ``practical utility'' means the ability
of an agency to use information, particularly the
capability to process such information in a timely and
useful fashion;
(12) the term ``public information'' means any
information, regardless of form or format, that an
agency discloses, disseminates, or makes available to
the public;
(13) the term ``recordkeeping requirement'' means a
requirement imposed by or for an agency on persons to
maintain specified records, including a requirement
to--
(A) retain such records;
(B) notify third parties, the Federal
Government, or the public of the existence of
such records;
(C) disclose such records to third parties,
the Federal Government, or the public; or
(D) report to third parties, the Federal
Government, or the public regarding such
records[; and];
(14) the term ``penalty'' includes the imposition by
an agency or court of a fine or other punishment; a
judgment for monetary damages or equitable relief; or
the revocation, suspension, reduction, or denial of a
license, privilege, right, grant, or benefit[.];
(15) the term ``data'' means recorded information,
regardless of form or the media on which the data is
recorded;
(16) the term ``data asset'' means a collection of
data elements or data sets that may be grouped
together;
(17) the term ``machine-readable'', when used with
respect to data, means data in a format that can be
easily processed by a computer without human
intervention while ensuring no semantic meaning is
lost;
(18) the term ``metadata'' means structural or
descriptive information about data such as content,
format, source, rights, accuracy, provenance,
frequency, periodicity, granularity, publisher or
responsible party, contact information, method of
collection, and other descriptions;
(19) the term ``open Government data asset'' means a
public data asset that is--
(A) machine-readable;
(B) available (or could be made available) in
an open format;
(C) not encumbered by restrictions that would
impede the use or reuse of such asset; and
(D) based on an underlying open standard that
is maintained by a standards organization;
(20) the term ``open license'' means a legal
guarantee that a data asset is made available--
(A) at no cost to the public; and
(B) with no restrictions on copying,
publishing, distributing, transmitting, citing,
or adapting such asset;
(21) the term ``public data asset'' means a data
asset maintained by the Federal Government that has
been, or may be, released to the public, including any
data asset subject to disclosure under section 552 of
title 5; and
(22) the term ``statistical laws'' means subchapter
III of this chapter and other laws pertaining to the
protection of information collected for statistical
purposes as designated by the Director.
* * * * * * *
Sec. 3504. Authority and functions of Director
(a)(1) The Director shall oversee the use of information
resources to improve the efficiency and effectiveness of
governmental operations to serve agency missions, including
burden reduction and service delivery to the public. In
performing such oversight, the Director shall--
(A) develop, coordinate and oversee the
implementation of Federal information resources
management policies, principles, standards, and
guidelines; and
(B) provide direction and oversee--
(i) the review and approval of the collection
of information and the reduction of the
information collection burden;
(ii) agency dissemination of and public
access to information;
(iii) statistical activities;
(iv) records management activities;
(v) privacy, confidentiality, security,
disclosure, and sharing of information; and
(vi) the acquisition and use of information
technology, including alternative information
technologies that provide for electronic
submission, maintenance, or disclosure of
information as a substitute for paper and for
the use and acceptance of electronic
signatures.
(2) The authority of the Director under this subchapter shall
be exercised consistent with applicable law.
(b) With respect to general information resources management
policy, the Director shall--
(1) develop and oversee the implementation of uniform
information resources management policies, principles,
standards, and guidelines;
(2) foster greater sharing, dissemination, and access
to public information, including through--
(A) [the use of the Government Information
Locator Service] the use of the comprehensive
data inventory and Federal data catalogue
described under section 3511; and
(B) the development and utilization of common
standards for information collection, storage,
processing and communication, including
standards for security, interconnectivity and
interoperability;
(3) initiate and review proposals for changes in
legislation, regulations, and agency procedures to
improve information resources management practices;
(4) oversee the development and implementation of
best practices in information resources management,
including training[; and];
(5) oversee agency integration of program and
management functions with information resources
management functions[.]; and
(6) issue guidance for agencies to implement section
3506(b)(6) in a manner that takes into account--
(A) risks and restrictions related to the
disclosure of personally identifiable
information, including the risk that an
individual data asset in isolation does not
pose a privacy or confidentiality risk but when
combined with other available information may
pose such a risk;
(B) security considerations, including the
risk that information in an individual data
asset in isolation does not pose a security
risk but when combined with other available
information may pose such a risk;
(C) the cost and benefits to the public of
converting a data asset into a machine-readable
format that is accessible and useful to the
public;
(D) whether a data asset--
(i) is protected by intellectual
property rights;
(ii) contains confidential business
information, that could be withheld
under section 552(b)(4) of title 5; or
(iii) is otherwise restricted by
contract or other binding, written
agreement;
(E) the requirement that a data asset be
disclosed, if it would otherwise be made
available under section 552 of title 5
(commonly known as the Freedom of Information
Act); and
(F) any other considerations that the
Director determines to be relevant.
(c) With respect to the collection of information and the
control of paperwork, the Director shall--
(1) review and approve proposed agency collections of
information;
(2) coordinate the review of the collection of
information associated with Federal procurement and
acquisition by the Office of Information and Regulatory
Affairs with the Office of Federal Procurement Policy,
with particular emphasis on applying information
technology to improve the efficiency and effectiveness
of Federal procurement, acquisition and payment, and to
reduce information collection burdens on the public;
(3) minimize the Federal information collection
burden, with particular emphasis on those individuals
and entities most adversely affected;
(4) maximize the practical utility of and public
benefit from information collected by or for the
Federal Government;
(5) establish and oversee standards and guidelines by
which agencies are to estimate the burden to comply
with a proposed collection of information;?
(6) publish in the Federal Register and make
available on the Internet (in consultation with the
Small Business Administration) on an annual basis a
list of the compliance assistance resources available
to small businesses, with the first such publication
occurring not later than 1 year after the date of
enactment of the Small Business Paperwork Relief Act of
2002.
(d) With respect to information dissemination, the Director
shall develop and oversee the implementation of policies,
principles, standards, and guidelines to--
(1) apply to Federal agency dissemination of public
information, regardless of the form or format in which
such information is disseminated; and
(2) promote public access to public information and
fulfill the purposes of this subchapter, including
through the effective use of information technology.
(e) With respect to statistical policy and coordination, the
Director shall--
(1) coordinate the activities of the Federal
statistical system to ensure--
(A) the efficiency and effectiveness of the
system; and
(B) the integrity, objectivity, impartiality,
utility, and confidentiality of information
collected for statistical purposes;
(2) ensure that budget proposals of agencies are
consistent with system-wide priorities for maintaining
and improving the quality of Federal statistics and
prepare an annual report on statistical program
funding;
(3) develop and oversee the implementation of
Governmentwide policies, principles, standards, and
guidelines concerning--
(A) statistical collection procedures and
methods;
(B) statistical data classification;
(C) statistical information presentation and
dissemination;
(D) timely release of statistical data; and
(E) such statistical data sources as may be
required for the administration of Federal
programs;
(4) evaluate statistical program performance and
agency compliance with Governmentwide policies,
principles, standards and guidelines;
(5) promote the sharing of information collected for
statistical purposes consistent with privacy rights and
confidentiality pledges;
(6) coordinate the participation of the United States
in international statistical activities, including the
development of comparable statistics;
(7) appoint a chief statistician who is a trained and
experienced professional statistician to carry out the
functions described under this subsection;
(8) establish an Interagency Council on Statistical
Policy to advise and assist the Director in carrying
out the functions under this subsection that shall--
(A) be headed by the chief statistician; and
(B) consist of--
(i) the heads of the major
statistical programs; and
(ii) representatives of other
statistical agencies under rotating
membership; and
(9) provide opportunities for training in statistical
policy functions to employees of the Federal Government
under which--
(A) each trainee shall be selected at the
discretion of the Director based on agency
requests and shall serve under the chief
statistician for at least 6 months and not more
than 1 year; and
(B) all costs of the training shall be paid
by the agency requesting training.
(f) With respect to records management, the Director shall--
(1) provide advice and assistance to the Archivist of
the United States and the Administrator of General
Services to promote coordination in the administration
of chapters 29, 31, and 33 of this title with the
information resources management policies, principles,
standards, and guidelines established under this
subchapter;
(2) review compliance by agencies with--
(A) the requirements of chapters 29, 31, and
33 of this title; and
(B) regulations promulgated by the Archivist
of the United States and the Administrator of
General Services; and
(3) oversee the application of records management
policies, principles, standards, and guidelines,
including requirements for archiving information
maintained in electronic format, in the planning and
design of information systems.
(g) With respect to privacy and security, the Director
shall--
(1) develop and oversee the implementation of
policies, principles, standards, and guidelines on
privacy, confidentiality, security, disclosure and
sharing of information collected or maintained by or
for agencies; and
(2) oversee and coordinate compliance with sections
552 and 552a of title 5, sections 20 and 21 of the
National Institute of Standards and Technology Act (15
U.S.C. 278g-3 and 278g-4), section 11331 of title 40
and subchapter II of this chapter, and related
information management laws.
(h) With respect to Federal information technology, the
Director shall--
(1) in consultation with the Director of the National
Institute of Standards and Technology and the
Administrator of General Services--
(A) develop and oversee the implementation of
policies, principles, standards, and guidelines
for information technology functions and
activities of the Federal Government, including
periodic evaluations of major information
systems; and
(B) oversee the development and
implementation of standards under section 11331
of title 40;
(2) monitor the effectiveness of, and compliance
with, directives issued under subtitle III of title 40
and directives issued under section 322 of title 40;
(3) coordinate the development and review by the
Office of Information and Regulatory Affairs of policy
associated with Federal procurement and acquisition of
information technology with the Office of Federal
Procurement Policy;
(4) ensure, through the review of agency budget
proposals, information resources management plans and
other means--
(A) agency integration of information
resources management plans, program plans and
budgets for acquisition and use of information
technology; and
(B) the efficiency and effectiveness of
inter-agency information technology initiatives
to improve agency performance and the
accomplishment of agency missions; and
(5) promote the use of information technology by the
Federal Government to improve the productivity,
efficiency, and effectiveness of Federal programs,
including through dissemination of public information
and the reduction of information collection burdens on
the public.
* * * * * * *
Sec. 3506. Federal agency responsibilities
(a)(1) The head of each agency shall be responsible for--
(A) carrying out the agency's information resources
management activities to improve agency productivity,
efficiency, and effectiveness; and
(B) complying with the requirements of this
subchapter and related policies established by the
Director.
(2)(A) Except as provided under subparagraph (B), the head of
each agency shall designate a Chief Information Officer who
shall report directly to such agency head to carry out the
responsibilities of the agency under this subchapter.
(B) The Secretary of the Department of Defense and the
Secretary of each military department may each designate Chief
Information Officers who shall report directly to such
Secretary to carry out the responsibilities of the department
under this subchapter. If more than one Chief Information
Officer is designated, the respective duties of the Chief
Information Officers shall be clearly delineated.
(3) The Chief Information Officer designated under paragraph
(2) shall head an office responsible for ensuring agency
compliance with and prompt, efficient, and effective
implementation of the information policies and information
resources management responsibilities established under this
subchapter, including the reduction of information collection
burdens on the public. The Chief Information Officer and
employees of such office shall be selected with special
attention to the professional qualifications required to
administer the functions described under this subchapter.
(4) Each agency program official shall be responsible and
accountable for information resources assigned to and
supporting the programs under such official. In consultation
with the Chief Information Officer designated under paragraph
(2) and the agency Chief Financial Officer (or comparable
official), each agency program official shall define program
information needs and develop strategies, systems, and
capabilities to meet those needs.
(b) With respect to general information resources management,
each agency shall--
(1) manage information resources to--
(A) reduce information collection burdens on
the public;
(B) increase program efficiency and
effectiveness; and
(C) improve the integrity, quality, and
utility of information to all users within and
outside the agency, including capabilities for
ensuring dissemination of public information,
public access to government information, and
protections for privacy and security;
[(2) in accordance with guidance by the Director,
develop and maintain a strategic information resources
management plan that shall describe how information
resources management activities help accomplish agency
missions;]
(2) in accordance with guidance by the Director,
develop and maintain a strategic information resources
management plan that--
(A) describes how information resources
management activities help accomplish agency
missions;
(B) includes an open data plan that--
(i) requires the agency to develop
processes and procedures that--
(I) require data collection
mechanisms created on or after
the date of the enactment of
the OPEN Government Data Act to
be available in an open format;
and
(II) facilitate collaboration
with non-Government entities
(including businesses),
researchers, and the public for
the purpose of understanding
how data users value and use
government data;
(ii) identifies and implements
methods for collecting and analyzing
digital information on data asset usage
by users within and outside of the
agency, including designating a point
of contact within the agency to assist
the public and to respond to quality
issues, usability issues,
recommendations for improvements, and
complaints about adherence to open data
requirements within a reasonable period
of time;
(iii) develops and implements a
process to evaluate and improve the
timeliness, completeness, consistency,
accuracy, usefulness, and availability
of open Government data assets;
(iv) includes requirements for
meeting the goals of the agency open
data plan, including the acquisition of
technology, provision of training for
employees, and the implementation of
procurement standards, in accordance
with existing law, regulation, and
policy, that allow for the acquisition
of innovative solutions from public and
private sectors; and
(v) requires the agency to comply
with requirements under section 3511,
including any standards established by
the Director under such section, when
disclosing a data asset pursuant to
such section; and
(C) is updated annually and made publicly
available on the website of the agency not
later than five days after each such update;
(3) develop and maintain an ongoing process to--
(A) ensure that information resources
management operations and decisions are
integrated with organizational planning,
budget, financial management, human resources
management, and program decisions;
(B) in cooperation with the agency Chief
Financial Officer (or comparable official),
develop a full and accurate accounting of
information technology expenditures, related
expenses, and results; and
(C) establish goals for improving information
resources management's contribution to program
productivity, efficiency, and effectiveness,
methods for measuring progress towards those
goals, and clear roles and responsibilities for
achieving those goals;
(4) in consultation with the Director, the
Administrator of General Services, and the Archivist of
the United States, maintain a current and complete
inventory of the agency's information resources,
including directories necessary to fulfill the
requirements of section 3511 of this subchapter[; and];
(5) in consultation with the Director and the
Director of the Office of Personnel Management, conduct
formal training programs to educate agency program and
management officials about information resources
management[.]; and
(6) in accordance with guidance by the Director--
(A) make each data asset of the agency
available in an open format and under an open
license;
(B) make each public data asset of the agency
available as an open Government data asset; and
(C) make each open Government data asset
created by or for the agency available under an
open license.
(c) With respect to the collection of information and the
control of paperwork, each agency shall--
(1) establish a process within the office headed by
the Chief Information Officer designated under
subsection (a), that is sufficiently independent of
program responsibility to evaluate fairly whether
proposed collections of information should be approved
under this subchapter, to--
(A) review each collection of information
before submission to the Director for review
under this subchapter, including--
(i) an evaluation of the need for the
collection of information;
(ii) a functional description of the
information to be collected;
(iii) a plan for the collection of
the information;
(iv) a specific, objectively
supported estimate of burden;
(v) a test of the collection of
information through a pilot program, if
appropriate; and
(vi) a plan for the efficient and
effective management and use of the
information to be collected, including
necessary resources;
(B) ensure that each information collection--
(i) is inventoried, displays a
control number and, if appropriate, an
expiration date;
(ii) indicates the collection is in
accordance with the clearance
requirements of section 3507; and
(iii) informs the person receiving
the collection of information of--
(I) the reasons the
information is being collected;
(II) the way such information
is to be used;
(III) an estimate, to the
extent practicable, of the
burden of the collection;
(IV) whether responses to the
collection of information are
voluntary, required to obtain a
benefit, or mandatory; and
(V) the fact that an agency
may not conduct or sponsor, and
a person is not required to
respond to, a collection of
information unless it displays
a valid control number; and
(C) assess the information collection burden
of proposed legislation affecting the agency;
(2)(A) except as provided under subparagraph (B) or
section 3507(j), provide 60-day notice in the Federal
Register, and otherwise consult with members of the
public and affected agencies concerning each proposed
collection of information, to solicit comment to--
(i) evaluate whether the proposed collection
of information is necessary for the proper
performance of the functions of the agency,
including whether the information shall have
practical utility;
(ii) evaluate the accuracy of the agency's
estimate of the burden of the proposed
collection of information;
(iii) enhance the quality, utility, and
clarity of the information to be collected; and
(iv) minimize the burden of the collection of
information on those who are to respond,
including through the use of automated
collection techniques or other forms of
information technology; and
(B) for any proposed collection of information
contained in a proposed rule (to be reviewed by the
Director under section 3507(d)), provide notice and
comment through the notice of proposed rulemaking for
the proposed rule and such notice shall have the same
purposes specified under subparagraph (A)(i) through
(iv);
(3) certify (and provide a record supporting such
certification, including public comments received by
the agency) that each collection of information
submitted to the Director for review under section
3507--
(A) is necessary for the proper performance
of the functions of the agency, including that
the information has practical utility;
(B) is not unnecessarily duplicative of
information otherwise reasonably accessible to
the agency;
(C) reduces to the extent practicable and
appropriate the burden on persons who shall
provide information to or for the agency,
including with respect to small entities, as
defined under section 601(6) of title 5, the
use of such techniques as--
(i) establishing differing compliance
or reporting requirements or timetables
that take into account the resources
available to those who are to respond;
(ii) the clarification,
consolidation, or simplification of
compliance and reporting requirements;
or
(iii) an exemption from coverage of
the collection of information, or any
part thereof;
(D) is written using plain, coherent, and
unambiguous terminology and is understandable
to those who are to respond;
(E) is to be implemented in ways consistent
and compatible, to the maximum extent
practicable, with the existing reporting and
recordkeeping practices of those who are to
respond;
(F) indicates for each recordkeeping
requirement the length of time persons are
required to maintain the records specified;
(G) contains the statement required under
paragraph (1)(B)(iii);
(H) has been developed by an office that has
planned and allocated resources for the
efficient and effective management and use of
the information to be collected, including the
processing of the information in a manner which
shall enhance, where appropriate, the utility
of the information to agencies and the public;
(I) uses effective and efficient statistical
survey methodology appropriate to the purpose
for which the information is to be collected;
and
(J) to the maximum extent practicable, uses
information technology to reduce burden and
improve data quality, agency efficiency and
responsiveness to the public; and
(4) in addition to the requirements of this chapter
regarding the reduction of information collection
burdens for small business concerns (as defined in
section 3 of the Small Business Act (15 U.S.C. 632)),
make efforts to further reduce the information
collection burden for small business concerns with
fewer than 25 employees.
(d) With respect to information dissemination, each agency
shall--
(1) ensure that the public has timely and equitable
access to the agency's public information, including
ensuring such access through--
(A) encouraging a diversity of public and
private sources for information based on
government public information;
(B) in cases in which the agency provides
public information maintained in electronic
format, providing timely and equitable access
to the underlying data (in whole or in part);
and
(C) agency dissemination of public
information in an efficient, effective, and
economical manner;
(2) regularly solicit and consider public input on
the agency's information dissemination activities;
(3) provide adequate notice when initiating,
substantially modifying, or terminating significant
information dissemination products; [and]
(4) not, except where specifically authorized by
statute--
(A) establish an exclusive, restricted, or
other distribution arrangement that interferes
with timely and equitable availability of
public information to the public;
(B) restrict or regulate the use, resale, or
redissemination of public information by the
public;
(C) charge fees or royalties for resale or
redissemination of public information; or
(D) establish user fees for public
information that exceed the cost of
dissemination[.];
(5) ensure that any public data asset of the agency
is machine-readable; and
(6) engage the public in using public data assets of
the agency and encourage collaboration by--
(A) publishing on the website of the agency,
on a regular basis (not less than annually),
information on the usage of such assets by non-
Government users;
(B) providing the public with the opportunity
to request specific data assets to be
prioritized for disclosure and to provide
suggestions for the development of agency
criteria with respect to prioritizing data
assets for disclosure;
(C) assisting the public in expanding the use
of public data assets; and
(D) hosting challenges, competitions, events,
or other initiatives designed to create
additional value from public data assets of the
agency.
(e) With respect to statistical policy and coordination, each
agency shall--
(1) ensure the relevance, accuracy, timeliness,
integrity, and objectivity of information collected or
created for statistical purposes;
(2) inform respondents fully and accurately about the
sponsors, purposes, and uses of statistical surveys and
studies;
(3) protect respondents' privacy and ensure that
disclosure policies fully honor pledges of
confidentiality;
(4) observe Federal standards and practices for data
collection, analysis, documentation, sharing, and
dissemination of information;
(5) ensure the timely publication of the results of
statistical surveys and studies, including information
about the quality and limitations of the surveys and
studies; and
(6) make data available to statistical agencies and
readily accessible to the public.
(f) With respect to records management, each agency shall
implement and enforce applicable policies and procedures,
including requirements for archiving information maintained in
electronic format, particularly in the planning, design and
operation of information systems.
(g) With respect to privacy and security, each agency shall--
(1) implement and enforce applicable policies,
procedures, standards, and guidelines on privacy,
confidentiality, security, disclosure and sharing of
information collected or maintained by or for the
agency; and
(2) assume responsibility and accountability for
compliance with and coordinated management of sections
552 and 552a of title 5, subchapter II of this chapter,
and related information management laws.
(h) With respect to Federal information technology, each
agency shall--
(1) implement and enforce applicable Governmentwide
and agency information technology management policies,
principles, standards, and guidelines;
(2) assume responsibility and accountability for
information technology investments;
(3) promote the use of information technology by the
agency to improve the productivity, efficiency, and
effectiveness of agency programs, including the
reduction of information collection burdens on the
public and improved dissemination of public
information;
(4) propose changes in legislation, regulations, and
agency procedures to improve information technology
practices, including changes that improve the ability
of the agency to use technology to reduce burden; and
(5) assume responsibility for maximizing the value
and assessing and managing the risks of major
information systems initiatives through a process that
is--
(A) integrated with budget, financial, and
program management decisions; and
(B) used to select, control, and evaluate the
results of major information systems
initiatives.
(i)(1) In addition to the requirements described in
subsection (c), each agency shall, with respect to the
collection of information and the control of paperwork,
establish 1 point of contact in the agency to act as a liaison
between the agency and small business concerns (as defined in
section 3 of the Small Business Act (15 U.S.C. 632)).
(2) Each point of contact described under paragraph (1) shall
be established not later than 1 year after the date of
enactment of the Small Business Paperwork Relief Act of 2002.
* * * * * * *
[Sec. 3511. Establishment and operation of Government Information
Locator Service
[(a) In order to assist agencies and the public in locating
information and to promote information sharing and equitable
access by the public, the Director shall--
[(1) cause to be established and maintained a
distributed agency-based electronic Government
Information Locator Service (hereafter in this section
referred to as the ``Service''), which shall identify
the major information systems, holdings, and
dissemination products of each agency;
[(2) require each agency to establish and maintain an
agency information locator service as a component of,
and to support the establishment and operation of the
Service;
[(3) in cooperation with the Archivist of the United
States, the Administrator of General Services, the
Director of the Government Publishing Office, and the
Librarian of Congress, establish an interagency
committee to advise the Secretary of Commerce on the
development of technical standards for the Service to
ensure compatibility, promote information sharing, and
uniform access by the public;
[(4) consider public access and other user needs in
the establishment and operation of the Service;
[(5) ensure the security and integrity of the
Service, including measures to ensure that only
information which is intended to be disclosed to the
public is disclosed through the Service; and
[(6) periodically review the development and
effectiveness of the Service and make recommendations
for improvement, including other mechanisms for
improving public access to Federal agency public
information.
[(b) This section shall not apply to operational files as
defined by the Central Intelligence Agency Information Act (50
U.S.C. 431 et seq.).]
Sec. 3511. Data inventory and Federal data catalogue
(a) Comprehensive Data Inventory.--
(1) In general.--In consultation with the Director
and in accordance with the guidance established under
paragraph (2), the head of each agency shall develop
and maintain a comprehensive data inventory that
accounts for all data assets created by, collected by,
under the control or direction of, or maintained by the
agency. The head of each agency shall ensure that such
inventory provides a clear and comprehensive
understanding of the data assets in the possession of
the agency.
(2) Guidance.--The Director shall establish guidance
for agencies to develop and maintain comprehensive data
inventories under paragraph (1). Such guidance shall
include the following:
(A) A requirement for the head of an agency
to include in the comprehensive data inventory
metadata on each data asset of the agency,
including the following:
(i) A description of the data asset,
including all variable names and
definitions.
(ii) The name or title of the data
asset.
(iii) An indication of whether the
agency--
(I) has determined if the
data asset is an open
Government data asset,
available by request under
section 552 of title 5, or a
public data asset eligible for
disclosure under subsection
(b); or
(II) as of the date of such
indication, has not made such
determination.
(iv) Any determination made under
section 3582, if available.
(v) A description of the method by
which the public may access or request
access to the data asset.
(vi) The date on which the data asset
was most recently updated.
(vii) Each agency responsible for
maintaining the data asset.
(viii) The owner of the data asset.
(ix) Any restrictions on the use of
the data asset.
(x) The location of the data asset.
(xi) Any other metadata necessary to
make the comprehensive data inventory
useful to the agency and the public, or
otherwise determined useful by the
Director.
(B) A requirement for the head of an agency
to exclude from the comprehensive data
inventory any data asset contained on a
national security system, as defined in section
11103 of title 40.
(C) Criteria for the head of an agency to use
in determining which information, if any, in
the comprehensive data inventory shall not be
made publicly available, which shall include,
at a minimum, a requirement to ensure all
information in the inventory that would be
subject to disclosure under section 552 of
title 5 is made publicly available.
(D) A requirement for the head of each
agency, in accordance with a procedure
established by the Director, to submit for
inclusion in the Federal data catalogue
maintained under subsection (c) the data
inventory developed pursuant to subparagraph
(C), including any real-time updates to such
inventory and data assets, or any electronic
hyperlink providing access to such data assets,
made available in accordance with subparagraph
(E), listed on such inventory.
(E) Criteria for the head of an agency to use
in determining whether a particular data asset
should not be made publicly available in a
manner that takes into account--
(i) risks and restrictions related to
the disclosure of personally
identifiable information, including the
risk that an individual data asset in
isolation does not pose a privacy or
confidentiality risk but when combined
with other available information may
pose such a risk;
(ii) security considerations,
including the risk that information in
an individual data asset in isolation
does not pose a security risk but when
combined with other available
information may pose such a risk;
(iii) the cost and benefits to the
public of converting the data into a
manner that could be understood and
used by the public;
(iv) whether the data asset--
(I) is protected by
intellectual property rights;
(II) contains confidential
business information, that
could be withheld under section
552(b)(4) of title 5; or
(III) is restricted by
contract or other binding,
written agreement;
(v) the expectation that all data
assets that would otherwise be made
available under section 552 of title 5
be disclosed; and
(vi) any other considerations that
the Director determines to be relevant.
(3) Regular updates required.--With respect to each
data asset created or identified by an agency, the head
of the agency shall update the comprehensive data
inventory of the agency not later than 90 days after
the date of such creation or identification.
(b) Public Data Assets.--The head of each agency shall submit
public data assets, or links to public data assets available
online, as open Government data assets for inclusion in the
Federal data catalogue in accordance with the guidance
established in subsection (a)(2).
(c) Federal Data Catalogue.--
(1) In general.--The Administrator of General
Services shall maintain a single public interface
online as a point of entry dedicated to sharing agency
data assets with the public which shall be known as the
``Federal data catalogue''. The Administrator and the
Director shall ensure that agencies can submit public
data assets or links to public data assets to be
published and made publicly available on the interface.
(2) Repository.--The Director shall collaborate with
the Office of Government Information Services and the
Administrator of General Services to develop and
maintain an online repository of tools, best practices,
and schema standards to facilitate the adoption of open
data practices across the Federal Government, which
shall--
(A) include any definitions, regulations,
policies, checklists, and case studies related
to open data policy;
(B) facilitate collaboration and the adoption
of best practices across the Federal Government
relating to the adoption of open data
practices; and
(C) be made available on the Federal data
catalogue developed under paragraph (1).
(3) Access to other data assets.--The Director shall
ensure the Federal data catalogue maintained under
paragraph (1) provides information on how the public
can access data assets included in the public data
inventory that are not yet available on the Federal
data catalogue, including information regarding the
application process established under section 3583 of
title 44.
(d) Delegation.--The Director shall delegate to the
Administrator of the Office of Information and Regulatory
Affairs and the Administrator of the Office of Electronic
Government the authority to jointly issue guidance required
under this section.
(e) Use of Existing Resources.--To the extent practicable,
the head of each agency shall use existing procedures and
systems to carry out agency requirements under this section.
* * * * * * *
[Sec. 3520. Establishment of task force on information collection and
dissemination
[(a) There is established a task force to study the
feasibility of streamlining requirements with respect to small
business concerns regarding collection of information and
strengthening dissemination of information (in this section
referred to as the ``task force'').
[(b)(1) The Director shall determine--
[(A) subject to the minimum requirements under
paragraph (2), the number of representatives to be
designated under each subparagraph of that paragraph;
and
[(B) the agencies to be represented under paragraph
(2)(K).
[(2) After all determinations are made under paragraph (1),
the members of the task force shall be designated by the head
of each applicable department or agency, and include--
[(A) 1 representative of the Director, who shall
convene and chair the task force;
[(B) not less than 2 representatives of the
Department of Labor, including 1 representative of the
Bureau of Labor Statistics and 1 representative of the
Occupational Safety and Health Administration;
[(C) not less than 1 representative of the
Environmental Protection Agency;
[(D) not less than 1 representative of the Department
of Transportation;
[(E) not less than 1 representative of the Office of
Advocacy of the Small Business Administration;
[(F) not less than 1 representative of the Internal
Revenue Service;
[(G) not less than 2 representatives of the
Department of Health and Human Services, including 1
representative of the Centers for Medicare and Medicaid
Services;
[(H) not less than 1 representative of the Department
of Agriculture;
[(I) not less than 1 representative of the Department
of the Interior;
[(J) not less than 1 representative of the General
Services Administration; and
[(K) not less than 1 representative of each of 2
agencies not represented by representatives described
under subparagraphs (A) through (J).
[(c) The task force shall--
[(1) identify ways to integrate the collection of
information across Federal agencies and programs and
examine the feasibility and desirability of requiring
each agency to consolidate requirements regarding
collections of information with respect to small
business concerns within and across agencies, without
negatively impacting the effectiveness of underlying
laws and regulations regarding such collections of
information, in order that each small business concern
may submit all information required by the agency--
[(A) to 1 point of contact in the agency;
[(B) in a single format, such as a single
electronic reporting system, with respect to
the agency; and
[(C) with synchronized reporting for
information submissions having the same
frequency, such as synchronized quarterly,
semiannual, and annual reporting dates;
[(2) examine the feasibility and benefits to small
businesses of publishing a list by the Director of the
collections of information applicable to small business
concerns (as defined in section 3 of the Small Business
Act (15 U.S.C. 632)), organized--
[(A) by North American Industry
Classification System code;
[(B) by industrial sector description; or
[(C) in another manner by which small
business concerns can more easily identify
requirements with which those small business
concerns are expected to comply;
[(3) examine the savings, including cost savings, and
develop recommendations for implementing--
[(A) systems for electronic submissions of
information to the Federal Government; and
[(B) interactive reporting systems, including
components that provide immediate feedback to
assure that data being submitted--
[(i) meet requirements of format; and
[(ii) are within the range of
acceptable options for each data field;
[(4) make recommendations to improve the electronic
dissemination of information collected under Federal
requirements;
[(5) recommend a plan for the development of an
interactive Governmentwide system, available through
the Internet, to allow each small business to--
[(A) better understand which Federal
requirements regarding collection of
information (and, when possible, which other
Federal regulatory requirements) apply to that
particular business; and
[(B) more easily comply with those Federal
requirements; and
[(6) in carrying out this section, consider
opportunities for the coordination--
[(A) of Federal and State reporting
requirements; and
[(B) among the points of contact described
under section 3506(i), such as to enable
agencies to provide small business concerns
with contacts for information collection
requirements for other agencies.
[(d) The task force shall--
[(1) by publication in the Federal Register, provide
notice and an opportunity for public comment on each
report in draft form; and
[(2) make provision in each report for the inclusion
of--
[(A) any additional or dissenting views of
task force members; and
[(B) a summary of significant public
comments.
[(e) Not later than 1 year after the date of enactment of the
Small Business Paperwork Relief Act of 2002, the task force
shall submit a report of its findings under subsection (c) (1),
(2), and (3) to--
[(1) the Director;
[(2) the chairpersons and ranking minority members
of--
[(A) the Committee on Governmental Affairs
and the Committee on Small Business and
Entrepreneurship of the Senate; and
[(B) the Committee on Government Reform and
the Committee on Small Business of the House of
Representatives; and
[(3) the Small Business and Agriculture Regulatory
Enforcement Ombudsman designated under section 30(b) of
the Small Business Act (15 U.S.C. 657(b)).
[(f) Not later than 2 years after the date of enactment of
the Small Business Paperwork Relief Act of 2002, the task force
shall submit a report of its findings under subsection (c) (4)
and (5) to--
[(1) the Director;
[(2) the chairpersons and ranking minority members
of--
[(A) the Committee on Governmental Affairs
and the Committee on Small Business and
Entrepreneurship of the Senate; and
[(B) the Committee on Government Reform and
the Committee on Small Business of the House of
Representatives; and
[(3) the Small Business and Agriculture Regulatory
Enforcement Ombudsman designated under section 30(b) of
the Small Business Act (15 U.S.C. 657(b)).
[(g) The task force shall terminate after completion of its
work.
[(h) In this section, the term ``small business concern'' has
the meaning given under section 3 of the Small Business Act (15
U.S.C. 632).]
Sec. 3520. Chief Data Officers
(a) Establishment.--The head of each agency shall designate a
career appointee (as defined in section 3132 of title 5) in the
agency as the Chief Data Officer.
(b) Qualifications.--The Chief Data Officer of an agency
shall be designated on the basis of demonstrated training and
experience in data management, collection, analysis,
protection, use, and dissemination, including with respect to
any statistical and related techniques to protect and de-
identify confidential data.
(c) Limitations.--The Chief Data Officer of an agency may not
simultaneously serve as any of the following:
(1) The Chief Financial Officer of any agency.
(2) The Chief Human Capital Officer of any agency.
(3) The Chief Acquisition Officer of any agency.
(4) The Inspector General of any agency.
(5) The Performance Improvement Officer of any
agency.
(d) Functions.--The Chief Data Officer of an agency shall--
(1) be responsible for lifecycle data management;
(2) coordinate with any official in the agency
responsible for using, protecting, disseminating, and
generating data to ensure that the data needs of the
agency are met;
(3) manage data assets of the agency, including the
standardization of data format, sharing of data assets,
and publication of data assets in accordance with
applicable law;
(4) in carrying out the requirement under paragraphs
(3) and (5), consult with any statistical official of
the agency (as designated under section 315 of title
5);
(5) carry out the requirements of the agency under
subsections (b) through (d), (f), and (i) of section
3506, section 3507, and section 3511;
(6) ensure that agency data conforms with data
management best practices;
(7) engage agency employees, the public, and
contractors in using public data assets and encourage
collaborative approaches on improving data use;
(8) support the Performance Improvement Officer of
the agency in identifying and using data to carry out
the functions described in section 1124(a)(2) of title
31;
(9) support the Chief Evaluation Officer of the
agency in obtaining data to carry out the functions
described in section 314 of title 5;
(10) review the impact of the infrastructure of the
agency on data asset accessibility and coordinate with
the Chief Information Officer of the agency to improve
such infrastructure to reduce barriers that inhibit
data asset accessibility;
(11) ensure that, to the extent practicable, the
agency maximizes the use of data in the agency,
including for the production of evidence (as defined in
section 3561), cybersecurity, and the improvement of
agency operations;
(12) identify points of contact for roles and
responsibilities related to open data use and
implementation (as required by the Director);
(13) serve as the agency liaison to other agencies
and the Office of Management and Budget on the best way
to use existing agency data for statistical purposes
(as defined in section 3561); and
(14) comply with any regulation and guidance issued
under subchapter III, including the acquisition and
maintenance of any required certification and training.
(e) Delegation of Responsibilities.--
(1) In general.--To the extent necessary to comply
with statistical laws, the Chief Data Officer of an
agency shall delegate any responsibility under
subsection (d) to the head of a statistical agency or
unit (as defined in section 3561) within the agency.
(2) Consultation.--To the extent permissible under
law, the individual to whom a responsibility has been
delegated under paragraph (1) shall consult with the
Chief Data Officer of the agency in carrying out such
responsibility.
(3) Deference.--The Chief Data Officer of the agency
shall defer to the individual to whom a responsibility
has been delegated under paragraph (1) regarding the
necessary delegation of such responsibility with
respect to any data acquired, maintained, or
disseminated by the agency under applicable statistical
law.
(f) Reports.--The Chief Data Officer of an agency shall
submit to the Committee on Homeland Security and Governmental
Affairs of the Senate and the Committee on Oversight and
Government Reform of the House of Representatives an annual
report on the compliance of the agency with the requirements of
this subchapter, including information on each requirement that
the agency could not carry out and, if applicable, what the
agency needs to carry out such requirement.
Sec. 3520A. Chief Data Officer Council
(a) Establishment.--There is established in the Office of
Management and Budget a Chief Data Officer Council (in this
section referred to as the ``Council'').
(b) Purpose and Functions.--The Council shall--
(1) establish Governmentwide best practices for the
use, protection, dissemination, and generation of data;
(2) promote and encourage data sharing agreements
between agencies;
(3) identify ways in which agencies can improve upon
the production of evidence for use in policymaking;
(4) consult with the public and engage with private
users of Government data and other stakeholders on how
to improve access to data assets of the Federal
Government; and
(5) identify and evaluate new technology solutions
for improving the collection and use of data.
(c) Membership.--
(1) In general.--The Chief Data Officer of each
agency shall serve as a member of the Council.
(2) Chair.--The Director shall select the Chair of
the Council from among the members of the Council.
(3) Additional members.--The Administrator of the
Office of Electronic Government shall serve as a member
of the Council.
(4) Ex officio member.--The Director shall appoint a
representative for all Chief Information Officers and
Chief Evaluation Officers, and such representative
shall serve as an ex officio member of the Council.
(d) Reports.--The Council shall submit to the Director, the
Committee on Homeland Security and Governmental Affairs of the
Senate, and the Committee on Oversight and Government Reform of
the House of Representatives a biennial report on the work of
the Council.
(e) Evaluation and Termination.--
(1) GAO evaluation of council.--Not later than 4
years after date of the enactment of this section, the
Comptroller General shall submit to Congress a report
on whether the additional duties of the Council
improved the use of evidence and program evaluation in
the Federal Government.
(2) Termination of council.--The Council shall
terminate and this section shall be repealed upon the
expiration of the two-year period that begins on the
date the Comptroller General submits the evaluation
under paragraph (1) to Congress.
* * * * * * *
SUBCHAPTER III--CONFIDENTIAL INFORMATION PROTECTION AND STATISTICAL
EFFICIENCY
PART A--GENERAL
Sec. 3561. Definitions
In this subchapter:
(1) Agency.--The term ``agency'' means any entity
that falls within the definition of the term
``executive agency'', as defined in section 102 of
title 31, or ``agency'', as defined in section 3502.
(2) Agent.--The term ``agent'' means an individual--
(A)(i) who is an employee of a private
organization or a researcher affiliated with an
institution of higher learning (including a
person granted special sworn status by the
Bureau of the Census under section 23(c) of
title 13), and with whom a contract or other
agreement is executed, on a temporary basis, by
an executive agency to perform exclusively
statistical activities under the control and
supervision of an officer or employee of that
agency;
(ii) who is working under the
authority of a government entity with
which a contract or other agreement is
executed by an executive agency to
perform exclusively statistical
activities under the control of an
officer or employee of that agency;
(iii) who is a self-employed
researcher, a consultant, a contractor,
or an employee of a contractor, and
with whom a contract or other agreement
is executed by an executive agency to
perform a statistical activity under
the control of an officer or employee
of that agency; or
(iv) who is a contractor or an
employee of a contractor, and who is
engaged by the agency to design or
maintain the systems for handling or
storage of data received under this
subchapter; and
(B) who agrees in writing to comply with all
provisions of law that affect information
acquired by that agency.
(3) Business data.--The term ``business data'' means
operating and financial data and information about
businesses, tax-exempt organizations, and government
entities.
(4) Data asset.--The term ``data asset'' has the
meaning given that term in section 3502.
(5) Director.--The term ``Director'' means the
Director of the Office of Management and Budget.
(6) Evidence.--The term ``evidence'' means
information produced as a result of statistical
activities conducted for a statistical purpose.
(7) Identifiable form.--The term ``identifiable
form'' means any representation of information that
permits the identity of the respondent to whom the
information applies to be reasonably inferred by either
direct or indirect means.
(8) Nonstatistical purpose.--The term
``nonstatistical purpose''--
(A) means the use of data in identifiable
form for any purpose that is not a statistical
purpose, including any administrative,
regulatory, law enforcement, adjudicatory, or
other purpose that affects the rights,
privileges, or benefits of a particular
identifiable respondent; and
(B) includes the disclosure under section 552
of title 5 of data that are acquired for
exclusively statistical purposes under a pledge
of confidentiality.
(9) Respondent.--The term ``respondent'' means a
person who, or organization that, is requested or
required to supply information to an agency, is the
subject of information requested or required to be
supplied to an agency, or provides that information to
an agency.
(10) Statistical activities.--The term ``statistical
activities''--
(A) means the collection, compilation,
processing, or analysis of data for the purpose
of describing or making estimates concerning
the whole, or relevant groups or components
within, the economy, society, or the natural
environment; and
(B) includes the development of methods or
resources that support those activities, such
as measurement methods, models, statistical
classifications, or sampling frames.
(11) Statistical agency or unit.--The term
``statistical agency or unit'' means an agency or
organizational unit of the executive branch whose
activities are predominantly the collection,
compilation, processing, or analysis of information for
statistical purposes, as designated by the Director
under section 3562.
(12) Statistical purpose.--The term ``statistical
purpose''--
(A) means the description, estimation, or
analysis of the characteristics of groups,
without identifying the individuals or
organizations that comprise such groups; and
(B) includes the development, implementation,
or maintenance of methods, technical or
administrative procedures, or information
resources that support the purposes described
in subparagraph (A).
Sec. 3562. Coordination and oversight of policies
(a) In General.--The Director shall coordinate and oversee
the confidentiality and disclosure policies established by this
subchapter. The Director may promulgate rules or provide other
guidance to ensure consistent interpretation of this subchapter
by the affected agencies. The Director shall develop a process
by which the Director designates agencies or organizational
units as statistical agencies and units. The Director shall
promulgate guidance to implement such process, which shall
include specific criteria for such designation and methods by
which the Director will ensure transparency in the process.
(b) Agency Rules.--Subject to subsection (c), agencies may
promulgate rules to implement this subchapter. Rules governing
disclosures of information that are authorized by this
subchapter shall be promulgated by the agency that originally
collected the information.
(c) Review and Approval of Rules.--The Director shall review
any rules proposed by an agency pursuant to this subchapter for
consistency with the provisions of this chapter and such rules
shall be subject to the approval of the Director.
(d) Reports.--
(1) The head of each agency shall provide to the
Director such reports and other information as the
Director requests.
(2) Each Designated Statistical Agency (as defined in
section 3576(e)) shall report annually to the Director,
the Committee on Oversight and Government Reform of the
House of Representatives, and the Committee on Homeland
Security and Governmental Affairs of the Senate on the
actions it has taken to implement section 3576. The
report shall include copies of each written agreement
entered into pursuant to section 3576(c)(1) for the
applicable year.
(3) The Director shall include a summary of reports
submitted to the Director under this subsection and
actions taken by the Director to advance the purposes
of this subchapter in the annual report to Congress on
statistical programs prepared under section 3504(e)(2).
Sec. 3563. Federal statistical agencies
(a) Responsibilities.--
(1) In general.--Each statistical agency or unit
shall--
(A) produce and disseminate relevant and
timely statistical information;
(B) conduct credible and accurate statistical
activities;
(C) conduct objective statistical activities;
and
(D) protect the trust of information
providers by ensuring the confidentiality and
exclusive statistical use of their responses
(2) Policies, best practices, and procedures.--Each
statistical agency or unit shall adopt policies, best
practices, and appropriate procedures to implement the
responsibilities described in paragraph (1).
(b) Support From Other Agencies.--The head of each agency
shall enable, support, and facilitate statistical agencies or
units in carrying out the responsibilities described in
subsection (a)(1).
(c) Regulations.--The Director shall prescribe regulations to
carry out this section.
(d) Definitions.--In this section:
(1) Accurate.--The term ``accurate'', when used with
respect to statistical activities, means statistics
that consistently match the events and trends being
measured.
(2) Confidentiality.--The term ``confidentiality''
means a quality or condition accorded to information as
an obligation not to disclose that information to an
unauthorized party.
(3) Objective.--The term ``objective'', when used
with respect to statistical activities, means accurate,
clear, complete, and unbiased.
(4) Relevant.--The term ``relevant'', when used with
respect to statistical information, means processes,
activities, and things that matter to policymakers and
public and private sector data users.
Sec. 3564. Effect on other laws
(a) Title 44, United States Code.--This subchapter does not
diminish the authority under section 3510 of the Director to
direct, and of an agency to make, disclosures that are not
inconsistent with any applicable law.
(b) Title 13 and Title 44, United States Code.--This
subchapter does not diminish the authority of the Bureau of the
Census to provide information in accordance with sections 8,
16, 301, and 401 of title 13 and section 2108 of this title.
(c) Title 13, United States Code.--This subchapter shall not
be construed as authorizing the disclosure for nonstatistical
purposes of demographic data or information collected by the
Bureau of the Census pursuant to section 9 of title 13.
(d) Various Energy Statutes.--Data or information acquired by
the Energy Information Administration under a pledge of
confidentiality and designated by the Energy Information
Administration to be used for exclusively statistical purposes
shall not be disclosed in identifiable form for nonstatistical
purposes under--
(1) section 12, 20, or 59 of the Federal Energy
Administration Act of 1974 (15 U.S.C. 771, 779, 790h);
(2) section 11 of the Energy Supply and Environmental
Coordination Act of 1974 (15 U.S.C. 796); or
(3) section 205 or 407 of the Department of Energy
Organization Act (42 U.S.C. 7135, 7177).
(e) Section 201 of Congressional Budget Act of 1974.--This
subchapter shall not be construed to limit any authorities of
the Congressional Budget Office to work (consistent with laws
governing the confidentiality of information the disclosure of
which would be a violation of law) with databases of Designated
Statistical Agencies (as defined in section 3576(e)), either
separately or, for data that may be shared pursuant to section
3576(c) or other authority, jointly in order to improve the
general utility of these databases for the statistical purpose
of analyzing pension and health care financing issues.
(f) Preemption of State Law.--Nothing in this subchapter
shall preempt applicable State law regarding the
confidentiality of data collected by the States.
(g) Statutes Regarding False Statements.--Notwithstanding
section 3572, information collected by an agency for
exclusively statistical purposes under a pledge of
confidentiality may be provided by the collecting agency to a
law enforcement agency for the prosecution of submissions to
the collecting agency of false statistical information under
statutes that authorize criminal penalties (such as section 221
of title 13) or civil penalties for the provision of false
statistical information, unless such disclosure or use would
otherwise be prohibited under Federal law.
(h) Construction.--Nothing in this subchapter shall be
construed as restricting or diminishing any confidentiality
protections or penalties for unauthorized disclosure that
otherwise apply to data or information collected for
statistical purposes or nonstatistical purposes, including, but
not limited to, section 6103 of the Internal Revenue Code of
1986.
(i) Authority of Congress.--Nothing in this subchapter shall
be construed to affect the authority of the Congress, including
its committees, members, or agents, to obtain data or
information for a statistical purpose, including for oversight
of an agency's statistical activities.
PART B--CONFIDENTIAL INFORMATION PROTECTION
Sec. 3571. Findings
The Congress finds the following:
(1) Individuals, businesses, and other organizations
have varying degrees of legal protection when providing
information to the agencies for strictly statistical
purposes.
(2) Pledges of confidentiality by agencies provide
assurances to the public that information about
individuals or organizations or provided by individuals
or organizations for exclusively statistical purposes
will be held in confidence and will not be used against
such individuals or organizations in any agency action.
(3) Protecting the confidentiality interests of
individuals or organizations who provide information
under a pledge of confidentiality for Federal
statistical programs serves both the interests of the
public and the needs of society.
(4) Declining trust of the public in the protection
of information provided under a pledge of
confidentiality to the agencies adversely affects both
the accuracy and completeness of statistical analyses.
(5) Ensuring that information provided under a pledge
of confidentiality for statistical purposes receives
protection is essential in continuing public
cooperation in statistical programs.
Sec. 3572. Confidential information protection
(a) Purposes.--The purposes of this section are the
following:
(1) To ensure that information supplied by
individuals or organizations to an agency for
statistical purposes under a pledge of confidentiality
is used exclusively for statistical purposes.
(2) To ensure that individuals or organizations who
supply information under a pledge of confidentiality to
agencies for statistical purposes will neither have
that information disclosed in identifiable form to
anyone not authorized by this subchapter nor have that
information used for any purpose other than a
statistical purpose.
(3) To safeguard the confidentiality of individually
identifiable information acquired under a pledge of
confidentiality for statistical purposes by controlling
access to, and uses made of, such information.
(b) Use of Statistical Data or Information.--Data or
information acquired by an agency under a pledge of
confidentiality and for exclusively statistical purposes shall
be used by officers, employees, or agents of the agency
exclusively for statistical purposes and protected in
accordance with such pledge.
(c) Disclosure of Statistical Data or Information.--
(1) Data or information acquired by an agency under a
pledge of confidentiality for exclusively statistical
purposes shall not be disclosed by an agency in
identifiable form, for any use other than an
exclusively statistical purpose, except with the
informed consent of the respondent.
(2) A disclosure pursuant to paragraph (1) is
authorized only when the head of the agency approves
such disclosure and the disclosure is not prohibited by
any other law.
(3) This section does not restrict or diminish any
confidentiality protections in law that otherwise apply
to data or information acquired by an agency under a
pledge of confidentiality for exclusively statistical
purposes.
(d) Rule for Use of Data or Information for Nonstatistical
Purposes.--A statistical agency or unit shall clearly
distinguish any data or information it collects for
nonstatistical purposes (as authorized by law) and provide
notice to the public, before the data or information is
collected, that the data or information could be used for
nonstatistical purposes.
(e) Designation of Agents.--A statistical agency or unit may
designate agents, by contract or by entering into a special
agreement containing the provisions required under section
3561(2) for treatment as an agent under that section, who may
perform exclusively statistical activities, subject to the
limitations and penalties described in this subchapter.
(f) Fines and Penalties.--Whoever, being an officer,
employee, or agent of an agency acquiring information for
exclusively statistical purposes, having taken and subscribed
the oath of office, or having sworn to observe the limitations
imposed by this section, comes into possession of such
information by reason of his or her being an officer, employee,
or agent and, knowing that the disclosure of the specific
information is prohibited under the provisions of this
subchapter, willfully discloses the information in any manner
to a person or agency not entitled to receive it, shall be
guilty of a class E felony and imprisoned for not more than
five years, or fined not more than $250,000, or both.
PART C--STATISTICAL EFFICIENCY
Sec. 3575. Findings
The Congress finds the following:
(1) Federal statistics are an important source of
information for public and private decision-makers such
as policymakers, consumers, businesses, investors, and
workers.
(2) Federal statistical agencies should continuously
seek to improve their efficiency. Statutory constraints
limit the ability of these agencies to share data and
thus to achieve higher efficiency for Federal
statistical programs.
(3) The quality of Federal statistics depends on the
willingness of businesses to respond to statistical
surveys. Reducing reporting burdens will increase
response rates, and therefore lead to more accurate
characterizations of the economy.
(4) Enhanced sharing of business data among the
Bureau of the Census, the Bureau of Economic Analysis,
and the Bureau of Labor Statistics for exclusively
statistical purposes will improve their ability to
track more accurately the large and rapidly changing
nature of United States business. In particular, the
statistical agencies will be able to better ensure that
businesses are consistently classified in appropriate
industries, resolve data anomalies, produce statistical
samples that are consistently adjusted for the entry
and exit of new businesses in a timely manner, and
correct faulty reporting errors quickly and
efficiently.
(5) Congress enacted the International Investment and
Trade in Services Survey Act (Public Law 94-472), which
allowed the Bureau of the Census, the Bureau of
Economic Analysis, and the Bureau of Labor Statistics
to share data on foreign-owned companies. The Act not
only expanded detailed industry coverage from 135
industries to over 800 industries with no increase in
the data collected from respondents but also
demonstrated how data sharing can result in the
creation of valuable data products.
(6) With part B of this subchapter, the sharing of
business data among the Bureau of the Census, the
Bureau of Economic Analysis, and the Bureau of Labor
Statistics continues to ensure the highest level of
confidentiality for respondents to statistical surveys.
Sec. 3576. Designated Statistical Agencies
(a) Purposes.--The purposes of this section are the
following:
(1) To authorize the sharing of business data among
the Bureau of the Census, the Bureau of Economic
Analysis, and the Bureau of Labor Statistics for
exclusively statistical purposes.
(2) To reduce the paperwork burdens imposed on
businesses that provide requested information to the
Federal Government.
(3) To improve the comparability and accuracy of
Federal economic statistics by allowing the Bureau of
the Census, the Bureau of Economic Analysis, and the
Bureau of Labor Statistics to update sample frames,
develop consistent classifications of establishments
and companies into industries, improve coverage, and
reconcile significant differences in data produced by
the three agencies.
(4) To increase understanding of the United States
economy, especially for key industry and regional
statistics, to develop more accurate measures of the
impact of technology on productivity growth, and to
enhance the reliability of the Nation's most important
economic indicators, such as the National Income and
Product Accounts.
(b) Responsibilities of Designated Statistical Agencies.--The
head of each of the Designated Statistical Agencies shall--
(1) identify opportunities to eliminate duplication
and otherwise reduce reporting burden and cost imposed
on the public in providing information for statistical
purposes;
(2) enter into joint statistical projects to improve
the quality and reduce the cost of statistical
programs; and
(3) protect the confidentiality of individually
identifiable information acquired for statistical
purposes by adhering to safeguard principles,
including--
(A) emphasizing to their officers, employees,
and agents the importance of protecting the
confidentiality of information in cases where
the identity of individual respondents can
reasonably be inferred by either direct or
indirect means;
(B) training their officers, employees, and
agents in their legal obligations to protect
the confidentiality of individually
identifiable information and in the procedures
that must be followed to provide access to such
information;
(C) implementing appropriate measures to
assure the physical and electronic security of
confidential data;
(D) establishing a system of records that
identifies individuals accessing confidential
data and the project for which the data were
required; and
(E) being prepared to document their
compliance with safeguard principles to other
agencies authorized by law to monitor such
compliance.
(c) Sharing of Business Data Among Designated Statistical
Agencies.--
(1) In general.--A Designated Statistical Agency may
provide business data in an identifiable form to
another Designated Statistical Agency under the terms
of a written agreement among the agencies sharing the
business data that specifies--
(A) the business data to be shared;
(B) the statistical purposes for which the
business data are to be used;
(C) the officers, employees, and agents
authorized to examine the business data to be
shared; and
(D) appropriate security procedures to
safeguard the confidentiality of the business
data.
(2) Responsibilities of agencies under other laws.--
The provision of business data by an agency to a
Designated Statistical Agency under this section shall
in no way alter the responsibility of the agency
providing the data under other statutes (including
sections 552 and 552b of title 5) with respect to the
provision or withholding of such information by the
agency providing the data.
(3) Responsibilities of officers, employees, and
agents.--Examination of business data in identifiable
form shall be limited to the officers, employees, and
agents authorized to examine the individual reports in
accordance with written agreements pursuant to this
section. Officers, employees, and agents of a
Designated Statistical Agency who receive data pursuant
to this section shall be subject to all provisions of
law, including penalties, that relate--
(A) to the unlawful provision of the business
data that would apply to the officers,
employees, and agents of the agency that
originally obtained the information; and
(B) to the unlawful disclosure of the
business data that would apply to officers,
employees, and agents of the agency that
originally obtained the information.
(4) Notice.--Whenever a written agreement concerns
data that respondents were required by law to report
and the respondents were not informed that the data
could be shared among the Designated Statistical
Agencies, for exclusively statistical purposes, the
terms of such agreement shall be described in a public
notice issued by the agency that intends to provide the
data. Such notice shall allow a minimum of 60 days for
public comment.
(d) Limitations on Use of Business Data Provided by
Designated Statistical Agencies.--
(1) General use.--Business data provided by a
Designated Statistical Agency pursuant to this section
shall be used exclusively for statistical purposes.
(2) Publication.--Publication of business data
acquired by a Designated Statistical Agency shall occur
in a manner whereby the data furnished by any
particular respondent are not in identifiable form.
(e) Designated Statistical Agency Defined.--In this section,
the term ``Designated Statistical Agency'' means each of the
following:
(1) The Census Bureau of the Department of Commerce.
(2) The Bureau of Economic Analysis of the Department
of Commerce.
(3) The Bureau of Labor Statistics of the Department
of Labor.
PART D--ACCESS TO DATA FOR EVIDENCE
Sec. 3581. Presumption of accessibility for statistical agencies and
units
(a) Accessibility of Data Assets.--The head of an agency
shall, to the extent practicable, make any data asset
maintained by the agency available, upon request, to any
statistical agency or unit for purposes of developing evidence.
(b) Limitations.--Subsection (a) does not apply to any data
asset that is subject to a statute that--
(1) prohibits the sharing or intended use of such
asset in a manner as to leave no discretion on the
issue; or
(2) if enacted after the date of the enactment of
this section, specifically cites to this paragraph.
(c) Regulations.--The Director shall prescribe regulations
for agencies to carry out this section. Such regulations
shall--
(1) require the timely provision of data assets under
subsection (a);
(2) provide a list of statutes that exempt agencies
from the requirement under subsection (a) pursuant to
subsection (b)(1); and
(3) require a transparent process for statistical
agencies and units to request data assets from agencies
and for agencies to respond to such requests.
Sec. 3582. Expanding secure access to CIPSEA data assets
(a) Statistical Agency Responsibilities.--To the extent
practicable, each statistical agency or unit shall expand
access to data assets of such agency or unit acquired or
accessed under this subchapter to develop evidence while
protecting such assets from inappropriate access and use, in
accordance with the regulations promulgated under subsection
(b).
(b) Regulations for Accessibility of Nonpublic Data Assets.--
The Director shall promulgate regulations, in accordance with
applicable law, for statistical agencies and units to carry out
the requirement under subsection (a). Such regulations shall
include the following:
(1) Standards for each statistical agency or unit to
assess each data asset owned or accessed by the
statistical agency or unit for purposes of categorizing
the sensitivity level of each such asset and
identifying the corresponding level of accessibility to
each such asset. Such standards shall include--
(A) common sensitivity levels and
corresponding levels of accessibility that may
be assigned to a data asset, including a
requisite minimum and maximum number of
sensitivity levels for each statistical agency
or unit to use;
(B) criteria for determining the sensitivity
level and corresponding level of accessibility
of each data asset; and
(C) criteria for determining whether a less
sensitive and more accessible version of a data
asset can be produced.
(2) Standards for each statistical agency or unit to
improve access to a data asset pursuant to paragraph
(1) or (3) by removing or obscuring information in such
a manner that the identity of the data subject is less
likely to be reasonably inferred by either direct or
indirect means.
(3) A requirement for each statistical agency or unit
to conduct a comprehensive risk assessment of any data
asset acquired or accessed under this subchapter prior
to any public release of such asset, including
standards for such comprehensive risk assessment and
criteria for making a determination of whether to
release the data.
(4) Requirements for each statistical agency or unit
to make any process or assessment established,
produced, or conducted pursuant to this section
transparent and easy to understand, including the
following:
(A) A requirement to make information on the
assessment of the sensitivity level of each
data asset conducted pursuant to paragraph (1)
available on the Federal data catalogue
established under section 3511(c)(1).
(B) A requirement to make any comprehensive
risk assessment, and associated determinations,
conducted under paragraph (3) available on the
Federal data catalogue established under
section 3511(c)(1).
(C) A requirement to make any standard or
policy established by the statistical agency or
unit to carry out this section and any
assessment conducted under this section easily
accessible on the public website of such agency
or unit.
(c) Responsibilities of the Director.--The Director shall--
(1) make public all standards and policies
established under this section; and
(2) ensure that statistical agencies and units have
the ability to make information public on the Federal
data catalogue established under section 3511(c)(1), in
accordance with requirements established pursuant to
subsection (b).
Sec. 3583. Application to access data assets for developing evidence
(a) Standard Application Process.--The Director shall
establish a process through which agencies, the Congressional
Budget Office, State, local, and Tribal governments,
researchers, and other individuals, as appropriate, may apply
to access the data assets accessed or acquired under this
subchapter by a statistical agency or unit for purposes of
developing evidence. The process shall include the following:
(1) Sufficient detail to ensure that each statistical
agency or unit establishes an identical process.
(2) A common application form.
(3) Criteria for statistical agencies and units to
determine whether to grant an applicant access to a
data asset.
(4) Timeframes for prompt determinations by each
statistical agency or unit.
(5) An appeals process for adverse decisions and
noncompliance with the process established under this
subsection.
(6) Standards for transparency, including
requirements to make the following information publicly
available:
(A) Each application received.
(B) The status of each application.
(C) The determination made for each
application.
(D) Any other information, as appropriate, to
ensure full transparency of the process
established under this subsection.
(b) Consultation.--In establishing the process required under
subsection (a), the Director shall consult with stakeholders,
including the public, agencies, State and local governments,
and representatives of non-governmental researchers.
(c) Implementation.--The head of each statistical agency or
unit shall implement the process established under subsection
(a).
* * * * * * *
----------
E-GOVERNMENT ACT OF 2002
SECTION 1. SHORT TITLE; TABLE OF CONTENTS.
(a) Short Title.--This Act may be cited as the ``E-Government
Act of 2002''.
(b) Table of Contents.--The table of contents for this Act is
as follows:
Sec. 1. Short title; table of contents.
* * * * * * *
[TITLE V--CONFIDENTIAL INFORMATION PROTECTION AND STATISTICAL EFFICIENCY
[Sec. 501. Short title.
[Sec. 502. Definitions.
[Sec. 503. Coordination and oversight of policies.
[Sec. 504. Effect on other laws.
[Subtitle A--Confidential Information Protection
[Sec. 511. Findings and purposes.
[Sec. 512. Limitations on use and disclosure of data and information.
[Sec. 513. Fines and penalties.
[Subtitle B--Statistical Efficiency
[Sec. 521. Findings and purposes.
[Sec. 522. Designation of statistical agencies.
[Sec. 523. Responsibilities of designated statistical agencies.
[Sec. 524. Sharing of business data among designated statistical
agencies.
[Sec. 525. Limitations on use of business data provided by designated
statistical agencies.
[Sec. 526. Conforming amendments.]
* * * * * * *
[TITLE V--CONFIDENTIAL INFORMATION PROTECTION AND STATISTICAL
EFFICIENCY
[SEC. 501. SHORT TITLE.
[This title may be cited as the ``Confidential Information
Protection and Statistical Efficiency Act of 2002''.
[SEC. 502. DEFINITIONS.
[As used in this title:
[(1) The term ``agency'' means any entity that falls
within the definition of the term ``executive agency''
as defined in section 102 of title 31, United States
Code, or ``agency'', as defined in section 3502 of
title 44, United States Code.
[(2) The term ``agent'' means an individual--
[(A)(i) who is an employee of a private
organization or a researcher affiliated with an
institution of higher learning (including a
person granted special sworn status by the
Bureau of the Census under section 23(c) of
title 13, United States Code), and with whom a
contract or other agreement is executed, on a
temporary basis, by an executive agency to
perform exclusively statistical activities
under the control and supervision of an officer
or employee of that agency;
[(ii) who is working under the authority of a
government entity with which a contract or
other agreement is executed by an executive
agency to perform exclusively statistical
activities under the control of an officer or
employee of that agency;
[(iii) who is a self-employed researcher, a
consultant, a contractor, or an employee of a
contractor, and with whom a contract or other
agreement is executed by an executive agency to
perform a statistical activity under the
control of an officer or employee of that
agency; or
[(iv) who is a contractor or an employee of a
contractor, and who is engaged by the agency to
design or maintain the systems for handling or
storage of data received under this title; and
[(B) who agrees in writing to comply with all
provisions of law that affect information
acquired by that agency.
[(3) The term ``business data'' means operating and
financial data and information about businesses, tax-
exempt organizations, and government entities.
[(4) The term ``identifiable form'' means any
representation of information that permits the identity
of the respondent to whom the information applies to be
reasonably inferred by either direct or indirect means.
[(5) The term ``nonstatistical purpose''--
[(A) means the use of data in identifiable
form for any purpose that is not a statistical
purpose, including any administrative,
regulatory, law enforcement, adjudicatory, or
other purpose that affects the rights,
privileges, or benefits of a particular
identifiable respondent; and
[(B) includes the disclosure under section
552 of title 5, United States Code (popularly
known as the Freedom of Information Act) of
data that are acquired for exclusively
statistical purposes under a pledge of
confidentiality.
[(6) The term ``respondent'' means a person who, or
organization that, is requested or required to supply
information to an agency, is the subject of information
requested or required to be supplied to an agency, or
provides that information to an agency.
[(7) The term ``statistical activities''--
[(A) means the collection, compilation,
processing, or analysis of data for the purpose
of describing or making estimates concerning
the whole, or relevant groups or components
within, the economy, society, or the natural
environment; and
[(B) includes the development of methods or
resources that support those activities, such
as measurement methods, models, statistical
classifications, or sampling frames.
[(8) The term ``statistical agency or unit'' means an
agency or organizational unit of the executive branch
whose activities are predominantly the collection,
compilation, processing, or analysis of information for
statistical purposes.
[(9) The term ``statistical purpose''--
[(A) means the description, estimation, or
analysis of the characteristics of groups,
without identifying the individuals or
organizations that comprise such groups; and
[(B) includes the development,
implementation, or maintenance of methods,
technical or administrative procedures, or
information resources that support the purposes
described in subparagraph (A).
[SEC. 503. COORDINATION AND OVERSIGHT OF POLICIES.
[(a) In General.--The Director of the Office of Management
and Budget shall coordinate and oversee the confidentiality and
disclosure policies established by this title. The Director may
promulgate rules or provide other guidance to ensure consistent
interpretation of this title by the affected agencies.
[(b) Agency Rules.--Subject to subsection (c), agencies may
promulgate rules to implement this title. Rules governing
disclosures of information that are authorized by this title
shall be promulgated by the agency that originally collected
the information.
[(c) Review and Approval of Rules.--The Director shall review
any rules proposed by an agency pursuant to this title for
consistency with the provisions of this title and chapter 35 of
title 44, United States Code, and such rules shall be subject
to the approval of the Director.
[(d) Reports.--
[(1) The head of each agency shall provide to the
Director of the Office of Management and Budget such
reports and other information as the Director requests.
[(2) Each Designated Statistical Agency referred to
in section 522 shall report annually to the Director of
the Office of Management and Budget, the Committee on
Government Reform of the House of Representatives, and
the Committee on Governmental Affairs of the Senate on
the actions it has taken to implement sections 523 and
524. The report shall include copies of each written
agreement entered into pursuant to section 524(a) for
the applicable year.
[(3) The Director of the Office of Management and
Budget shall include a summary of reports submitted to
the Director under paragraph (2) and actions taken by
the Director to advance the purposes of this title in
the annual report to the Congress on statistical
programs prepared under section 3504(e)(2) of title 44,
United States Code.
[SEC. 504. EFFECT ON OTHER LAWS.
[(a) Title 44, United States Code.--This title, including
amendments made by this title, does not diminish the authority
under section 3510 of title 44, United States Code, of the
Director of the Office of Management and Budget to direct, and
of an agency to make, disclosures that are not inconsistent
with any applicable law.
[(b) Title 13 and Title 44, United States Code.--This title,
including amendments made by this title, does not diminish the
authority of the Bureau of the Census to provide information in
accordance with sections 8, 16, 301, and 401 of title 13,
United States Code, and section 2108 of title 44, United States
Code.
[(c) Title 13, United States Code.--This title, including
amendments made by this title, shall not be construed as
authorizing the disclosure for nonstatistical purposes of
demographic data or information collected by the Census Bureau
pursuant to section 9 of title 13, United States Code.
[(d) Various Energy Statutes.--Data or information acquired
by the Energy Information Administration under a pledge of
confidentiality and designated by the Energy Information
Administration to be used for exclusively statistical purposes
shall not be disclosed in identifiable form for nonstatistical
purposes under--
[(1) section 12, 20, or 59 of the Federal Energy
Administration Act of 1974 (15 U.S.C. 771, 779, 790h);
[(2) section 11 of the Energy Supply and
Environmental Coordination Act of 1974 (15 U.S.C. 796);
or
[(3) section 205 or 407 of the Department of the
Energy Organization Act of 1977 (42 U.S.C. 7135, 7177).
[(e) Section 201 of Congressional Budget Act of 1974.--This
title, including amendments made by this title, shall not be
construed to limit any authorities of the Congressional Budget
Office to work (consistent with laws governing the
confidentiality of information the disclosure of which would be
a violation of law) with databases of Designated Statistical
Agencies (as defined in section 522), either separately or, for
data that may be shared pursuant to section 524 of this title
or other authority, jointly in order to improve the general
utility of these databases for the statistical purpose of
analyzing pension and health care financing issues.
[(f) Preemption of State Law--.Nothing in this title shall
preempt applicable State law regarding the confidentiality of
data collected by the States.
[(g) Statutes Regarding False Statements.--Notwithstanding
section 512, information collected by an agency for exclusively
statistical purposes under a pledge of confidentiality may be
provided by the collecting agency to a law enforcement agency
for the prosecution of submissions to the collecting agency of
false statistical information under statutes that authorize
criminal penalties (such as section 221 of title 13, United
States Code) or civil penalties for the provision of false
statistical information, unless such disclosure or use would
otherwise be prohibited under Federal law.
[(h) Construction.--Nothing in this title shall be construed
as restricting or diminishing any confidentiality protections
or penalties for unauthorized disclosure that otherwise apply
to data or information collected for statistical purposes or
nonstatistical purposes, including, but not limited to, section
6103 of the Internal Revenue Code of 1986 (26 U.S.C. 6103).
[(i) Authority of Congress.--Nothing in this title shall be
construed to affect the authority of the Congress, including
its committees, members, or agents, to obtain data or
information for a statistical purpose, including for oversight
of an agency's statistical activities.
[Subtitle A--Confidential Information Protection
[SEC. 511. FINDINGS AND PURPOSES.
[(a) Findings.--The Congress finds the following:
[(1) Individuals, businesses, and other organizations
have varying degrees of legal protection when providing
information to the agencies for strictly statistical
purposes.
[(2) Pledges of confidentiality by agencies provide
assurances to the public that information about
individuals or organizations or provided by individuals
or organizations for exclusively statistical purposes
will be held in confidence and will not be used against
such individuals or organizations in any agency action.
[(3) Protecting the confidentiality interests of
individuals or organizations who provide information
under a pledge of confidentiality for Federal
statistical programs serves both the interests of the
public and the needs of society.
[(4) Declining trust of the public in the protection
of information provided under a pledge of
confidentiality to the agencies adversely affects both
the accuracy and completeness of statistical analyses.
[(5) Ensuring that information provided under a
pledge of confidentiality for statistical purposes
receives protection is essential in continuing public
cooperation in statistical programs.
[(b) Purposes.--The purposes of this subtitle are the
following:
[(1) To ensure that information supplied by
individuals or organizations to an agency for
statistical purposes under a pledge of confidentiality
is used exclusively for statistical purposes.
[(2) To ensure that individuals or organizations who
supply information under a pledge of confidentiality to
agencies for statistical purposes will neither have
that information disclosed in identifiable form to
anyone not authorized by this title nor have that
information used for any purpose other than a
statistical purpose.
[(3) To safeguard the confidentiality of individually
identifiable information acquired under a pledge of
confidentiality for statistical purposes by controlling
access to, and uses made of, such information.
[SEC. 512. LIMITATIONS ON USE AND DISCLOSURE OF DATA AND INFORMATION.
[(a) Use of Statistical Data or Information.--Data or
information acquired by an agency under a pledge of
confidentiality and for exclusively statistical purposes shall
be used by officers, employees, or agents of the agency
exclusively for statistical purposes.
[(b) Disclosure of Statistical Data or Information.--
[(1) Data or information acquired by an agency under
a pledge of confidentiality for exclusively statistical
purposes shall not be disclosed by an agency in
identifiable form, for any use other than an
exclusively statistical purpose, except with the
informed consent of the respondent.
[(2) A disclosure pursuant to paragraph (1) is
authorized only when the head of the agency approves
such disclosure and the disclosure is not prohibited by
any other law.
[(3) This section does not restrict or diminish any
confidentiality protections in law that otherwise apply
to data or information acquired by an agency under a
pledge of confidentiality for exclusively statistical
purposes.
[(c) Rule for Use of Data or Information for Nonstatistical
Purposes.--A statistical agency or unit shall clearly
distinguish any data or information it collects for
nonstatistical purposes (as authorized by law) and provide
notice to the public, before the data or information is
collected, that the data or information could be used for
nonstatistical purposes.
[(d) Designation of Agents.--A statistical agency or unit may
designate agents, by contract or by entering into a special
agreement containing the provisions required under section
502(2) for treatment as an agent under that section, who may
perform exclusively statistical activities, subject to the
limitations and penalties described in this title.
[SEC. 513. FINES AND PENALTIES.
[Whoever, being an officer, employee, or agent of an agency
acquiring information for exclusively statistical purposes,
having taken and subscribed the oath of office, or having sworn
to observe the limitations imposed by section 512, comes into
possession of such information by reason of his or her being an
officer, employee, or agent and, knowing that the disclosure of
the specific information is prohibited under the provisions of
this title, willfully discloses the information in any manner
to a person or agency not entitled to receive it, shall be
guilty of a class E felony and imprisoned for not more than 5
years, or fined not more than $250,000, or both.
[Subtitle B--Statistical Efficiency
[SEC. 521. FINDINGS AND PURPOSES.
[(a) Findings.--The Congress finds the following:
[(1) Federal statistics are an important source of
information for public and private decision-makers such
as policymakers, consumers, businesses, investors, and
workers.
[(2) Federal statistical agencies should continuously
seek to improve their efficiency. Statutory constraints
limit the ability of these agencies to share data and
thus to achieve higher efficiency for Federal
statistical programs.
[(3) The quality of Federal statistics depends on the
willingness of businesses to respond to statistical
surveys. Reducing reporting burdens will increase
response rates, and therefore lead to more accurate
characterizations of the economy.
[(4) Enhanced sharing of business data among the
Bureau of the Census, the Bureau of Economic Analysis,
and the Bureau of Labor Statistics for exclusively
statistical purposes will improve their ability to
track more accurately the large and rapidly changing
nature of United States business. In particular, the
statistical agencies will be able to better ensure that
businesses are consistently classified in appropriate
industries, resolve data anomalies, produce statistical
samples that are consistently adjusted for the entry
and exit of new businesses in a timely manner, and
correct faulty reporting errors quickly and
efficiently.
[(5) The Congress enacted the International
Investment and Trade in Services Act of 1990 that
allowed the Bureau of the Census, the Bureau of
Economic Analysis, and the Bureau of Labor Statistics
to share data on foreign-owned companies. The Act not
only expanded detailed industry coverage from 135
industries to over 800 industries with no increase in
the data collected from respondents but also
demonstrated how data sharing can result in the
creation of valuable data products.
[(6) With subtitle A of this title, the sharing of
business data among the Bureau of the Census, the
Bureau of Economic Analysis, and the Bureau of Labor
Statistics continues to ensure the highest level of
confidentiality for respondents to statistical surveys.
[(b) Purposes.--The purposes of this subtitle are the
following:
[(1) To authorize the sharing of business data among
the Bureau of the Census, the Bureau of Economic
Analysis, and the Bureau of Labor Statistics for
exclusively statistical purposes.
[(2) To reduce the paperwork burdens imposed on
businesses that provide requested information to the
Federal Government.
[(3) To improve the comparability and accuracy of
Federal economic statistics by allowing the Bureau of
the Census, the Bureau of Economic Analysis, and the
Bureau of Labor Statistics to update sample frames,
develop consistent classifications of establishments
and companies into industries, improve coverage, and
reconcile significant differences in data produced by
the three agencies.
[(4) To increase understanding of the United States
economy, especially for key industry and regional
statistics, to develop more accurate measures of the
impact of technology on productivity growth, and to
enhance the reliability of the Nation's most important
economic indicators, such as the National Income and
Product Accounts.
[SEC. 522. DESIGNATION OF STATISTICAL AGENCIES.
[For purposes of this subtitle, the term ``Designated
Statistical Agency'' means each of the following:
[(1) The Bureau of the Census of the Department of
Commerce.
[(2) The Bureau of Economic Analysis of the
Department of Commerce.
[(3) The Bureau of Labor Statistics of the Department
of Labor.
[SEC. 523. RESPONSIBILITIES OF DESIGNATED STATISTICAL AGENCIES.
[The head of each of the Designated Statistical Agencies
shall--
[(1) identify opportunities to eliminate duplication
and otherwise reduce reporting burden and cost imposed
on the public in providing information for statistical
purposes;
[(2) enter into joint statistical projects to improve
the quality and reduce the cost of statistical
programs; and
[(3) protect the confidentiality of individually
identifiable information acquired for statistical
purposes by adhering to safeguard principles,
including--
[(A) emphasizing to their officers,
employees, and agents the importance of
protecting the confidentiality of information
in cases where the identity of individual
respondents can reasonably be inferred by
either direct or indirect means;
[(B) training their officers, employees, and
agents in their legal obligations to protect
the confidentiality of individually
identifiable information and in the procedures
that must be followed to provide access to such
information;
[(C) implementing appropriate measures to
assure the physical and electronic security of
confidential data;
[(D) establishing a system of records that
identifies individuals accessing confidential
data and the project for which the data were
required; and
[(E) being prepared to document their
compliance with safeguard principles to other
agencies authorized by law to monitor such
compliance.
[SEC. 524. SHARING OF BUSINESS DATA AMONG DESIGNATED STATISTICAL
AGENCIES.
[(a) In General.--A Designated Statistical Agency may provide
business data in an identifiable form to another Designated
Statistical Agency under the terms of a written agreement among
the agencies sharing the business data that specifies--
[(1) the business data to be shared;
[(2) the statistical purposes for which the business
data are to be used;
[(3) the officers, employees, and agents authorized
to examine the business data to be shared; and
[(4) appropriate security procedures to safeguard the
confidentiality of the business data.
[(b) Responsibilities of Agencies Under Other Laws.--The
provision of business data by an agency to a Designated
Statistical Agency under this subtitle shall in no way alter
the responsibility of the agency providing the data under other
statutes (including section 552 of title 5, United States Code
(popularly known as the Freedom of Information Act), and
section 552b of title 5, United States Code (popularly known as
the Privacy Act of 1974)) with respect to the provision or
withholding of such information by the agency providing the
data.
[(c) Responsibilities of Officers, Employees, and Agents.--
Examination of business data in identifiable form shall be
limited to the officers, employees, and agents authorized to
examine the individual reports in accordance with written
agreements pursuant to this section. Officers, employees, and
agents of a Designated Statistical Agency who receive data
pursuant to this subtitle shall be subject to all provisions of
law, including penalties, that relate--
[(1) to the unlawful provision of the business data
that would apply to the officers, employees, and agents
of the agency that originally obtained the information;
and
[(2) to the unlawful disclosure of the business data
that would apply to officers, employees, and agents of
the agency that originally obtained the information.
[(d) Notice.--Whenever a written agreement concerns data that
respondents were required by law to report and the respondents
were not informed that the data could be shared among the
Designated Statistical Agencies, for exclusively statistical
purposes, the terms of such agreement shall be described in a
public notice issued by the agency that intends to provide the
data. Such notice shall allow a minimum of 60 days for public
comment.
[SEC. 525. LIMITATIONS ON USE OF BUSINESS DATA PROVIDED BY DESIGNATED
STATISTICAL AGENCIES.
[(a) Use, Generally.--Business data provided by a Designated
Statistical Agency pursuant to this subtitle shall be used
exclusively for statistical purposes.
[(b) Publication.--Publication of business data acquired by a
Designated Statistical Agency shall occur in a manner whereby
the data furnished by any particular respondent are not in
identifiable form.
[SEC. 526. CONFORMING AMENDMENTS.
[(a) Department of Commerce.--Section 1 of the Act of January
27, 1938 (15 U.S.C. 176a) is amended by striking ``The'' and
inserting ``Except as provided in the Confidential Information
Protection and Statistical Efficiency Act of 2002, the''.
[(b) Title 13.--Chapter 10 of title 13, United States Code,
is amended--
[(1) by adding after section 401 the following:
[``SEC. 402. PROVIDING BUSINESS DATA TO DESIGNATED STATISTICAL AGENCIES
[``The Bureau of the Census may provide business data to the
Bureau of Economic Analysis and the Bureau of Labor Statistics
(`Designated Statistical Agencies') if such information is
required for an authorized statistical purpose and the
provision is the subject of a written agreement with that
Designated Statistical Agency, or their successors, as defined
in the Confidential Information Protection and Statistical
Efficiency Act of 2002.''; and
[(2) in the table of sections for the chapter by
adding after the item relating to section 401 the
following:
[``402. Providing business data to Designated Statistical Agencies.]''.]
----------
TITLE 13, UNITED STATES CODE
* * * * * * *
CHAPTER 10--EXCHANGE OF CENSUS INFORMATION
* * * * * * *
Sec. 402. Providing business data to Designated Statistical Agencies
The Bureau of the Census may provide business data to the
Bureau of Economic Analysis and the Bureau of Labor Statistics
(``Designated Statistical Agencies'') if such information is
required for an authorized statistical purpose and the
provision is the subject of a written agreement with that
Designated Statistical Agency, or their successors, as defined
in [the Confidential Information Protection and Statistical
Efficiency Act of 2002] section 3576(e) of title 44.
* * * * * * *
----------
TITLE 49, UNITED STATES CODE
* * * * * * *
SUBTITLE III--GENERAL AND INTERMODAL PROGRAMS
* * * * * * *
CHAPTER 63--BUREAU OF TRANSPORTATION STATISTICS
* * * * * * *
Sec. 6302. Bureau of Transportation Statistics
(a) In General.--There shall be within the Department of
Transportation the Bureau of Transportation Statistics.
(b) Director.--
(1) Appointment.--The Bureau shall be headed by a
Director, who shall be appointed in the competitive
service by the Secretary.
(2) Qualifications.--The Director shall be appointed
from among individuals who are qualified to serve as
the Director by virtue of their training and experience
in the collection, analysis, and use of transportation
statistics.
(3) Duties.--
(A) In general.--The Director shall--
(i) serve as the senior advisor to
the Secretary on data and statistics;
and
(ii) be responsible for carrying out
the duties described in subparagraph
(B).
(B) Duties.--The Director shall--
(i) ensure that the statistics
compiled under clause (vi) are designed
to support transportation
decisionmaking by--
(I) the Federal Government;
(II) State and local
governments;
(III) metropolitan planning
organizations;
(IV) transportation-related
associations;
(V) the private sector,
including the freight
community; and
(VI) the public;
(ii) establish on behalf of the
Secretary a program--
(I) to effectively integrate
safety data across modes; and
(II) to address gaps in
existing safety data programs
of the Department;
(iii) work with the operating
administrations of the Department--
(I) to establish and
implement the data programs of
the Bureau; and
(II) to improve the
coordination of information
collection efforts with other
Federal agencies;
(iv) continually improve surveys and
data collection methods of the
Department to improve the accuracy and
utility of transportation statistics;
(v) encourage the standardization of
data, data collection methods, and data
management and storage technologies for
data collected by--
(I) the Bureau;
(II) the operating
administrations of the
Department;
(III) State and local
governments;
(IV) metropolitan planning
organizations; and
(V) private sector entities;
(vi) collect, compile, analyze, and
publish a comprehensive set of
transportation statistics on the
performance and impacts of the national
transportation system, including
statistics on--
(I) transportation safety
across all modes and
intermodally;
(II) the state of good repair
of United States transportation
infrastructure;
(III) the extent,
connectivity, and condition of
the transportation system,
building on the national
transportation atlas database
developed under section 6309;
(IV) economic efficiency
across the entire
transportation sector;
(V) the effects of the
transportation system on global
and domestic economic
competitiveness;
(VI) demographic, economic,
and other variables influencing
travel behavior, including
choice of transportation mode
and goods movement;
(VII) transportation-related
variables that influence the
domestic economy and global
competitiveness;
(VIII) economic costs and
impacts for passenger travel
and freight movement;
(IX) intermodal and
multimodal passenger movement;
(X) intermodal and multimodal
freight movement; and
(XI) consequences of
transportation for the human
and natural environment;
(vii) build and disseminate the
transportation layer of the National
Spatial Data Infrastructure developed
under Executive Order 12906 (59 Fed.
Reg. 17671) (or a successor Executive
Order), including by coordinating the
development of transportation
geospatial data standards, compiling
intermodal geospatial data, and
collecting geospatial data that is not
being collected by other entities;
(viii) issue guidelines for the
collection of information by the
Department that the Director determines
necessary to develop transportation
statistics and carry out modeling,
economic assessment, and program
assessment activities to ensure that
such information is accurate, reliable,
relevant, uniform, and in a form that
permits systematic analysis by the
Department;
(ix) review and report to the
Secretary on the sources and
reliability of--
(I) the statistics proposed
by the heads of the operating
administrations of the
Department to measure outputs
and outcomes as required by the
Government Performance and
Results Act of 1993 (Public Law
103-62;107 Stat. 285); and
(II) at the request of the
Secretary, any other data
collected or statistical
information published by the
heads of the operating
administrations of the
Department; and
(x) ensure that the statistics
published under this section are
readily accessible to the public,
consistent with applicable security
constraints and confidentiality
interests.
(c) Access to Federal Data.--In carrying out subsection
(b)(3)(B)(ii), the Director shall be given access to all safety
data that the Director determines necessary to carry out that
subsection that is held by the Department or any other Federal
agency upon written request and subject to any statutory or
regulatory restrictions.
(d) Independence of Bureau.--
(1) In general.--The Director shall not be required--
(A) to obtain the approval of any other
officer or employee of the Department with
respect to the collection or analysis of any
information; or
(B) prior to publication, to obtain the
approval of any other officer or employee of
the United States Government with respect to
the substance of any statistical technical
reports or press releases lawfully prepared by
the Director.
(2) Budget authority.--The Director shall have a
significant role in the disposition and allocation of
the authorized budget of the Bureau, including--
(A) all hiring, grants, cooperative
agreements, and contracts awarded by the Bureau
to carry out this section; and
(B) the disposition and allocation of amounts
paid to the Bureau for cost-reimbursable
projects.
(3) Exceptions.--The Secretary shall direct external
support functions, such as the coordination of
activities involving multiple modal administrations.
(4) Information technology.--The Department Chief
Information Officer shall consult with the Director to
ensure decisions related to information technology
guarantee the protection of the confidentiality of
information provided solely for statistical purposes,
in accordance with [the Confidential Information
Protection and Statistical Efficiency Act of 2002 (44
U.S.C. 3501 note; Public Law 107-347).] section 3572 of
title 44.
* * * * * * *
Sec. 6314. Port performance freight statistics program
(a) In General.--The Director shall establish, on behalf of
the Secretary, a port performance statistics program to provide
nationally consistent measures of performance of, at a
minimum--
(1) the Nation's top 25 ports by tonnage;
(2) the Nation's top 25 ports by 20-foot equivalent
unit; and
(3) the Nation's top 25 ports by dry bulk.
(b) Reports.--
(1) Port capacity and throughput.--Not later than
January 15 of each year, the Director shall submit an
annual report to Congress that includes statistics on
capacity and throughput at the ports described in
subsection (a).
(2) Port performance measures.--The Director shall
collect port performance measures for each of the
United States ports referred to in subsection (a)
that--
(A) receives Federal assistance; or
(B) is subject to Federal regulation to
submit necessary information to the Bureau that
includes statistics on capacity and throughput
as applicable to the specific configuration of
the port.
(c) Recommendations.--
(1) In general.--The Director shall obtain
recommendations for--
(A) port performance measures, including
specifications and data measurements to be used
in the program established under subsection
(a); and
(B) a process for the Department to collect
timely and consistent data, including
identifying safeguards to protect proprietary
information described in subsection (b)(2).
(2) Working group.--Not later than 60 days after the
date of the enactment of the Transportation for
Tomorrow Act of 2015, the Director shall commission a
working group composed of--
(A) operating administrations of the
Department;
(B) the Coast Guard;
(C) the Federal Maritime Commission;
(D) U.S. Customs and Border Protection;
(E) the Marine Transportation System National
Advisory Council;
(F) the Army Corps of Engineers;
(G) the Saint Lawrence Seaway Development
Corporation;
(H) the Bureau of Labor Statistics;
(I) the Maritime Advisory Committee for
Occupational Safety and Health;
(J) the Advisory Committee on Supply Chain
Competitiveness;
(K) 1 representative from the rail industry;
(L) 1 representative from the trucking
industry;
(M) 1 representative from the maritime
shipping industry;
(N) 1 representative from a labor
organization for each industry described in
subparagraphs (K) through (M);
(O) 1 representative from the International
Longshoremen's Association;
(P) 1 representative from the International
Longshore and Warehouse Union;
(Q) 1 representative from a port authority;
(R) 1 representative from a terminal
operator;
(S) representatives of the National Freight
Advisory Committee of the Department; and
(T) representatives of the Transportation
Research Board of the National Academies of
Sciences, Engineering, and Medicine.
(3) Recommendations.--Not later than 1 year after the
date of the enactment of the Transportation for
Tomorrow Act of 2015, the working group commissioned
under paragraph (2) shall submit its recommendations to
the Director.
(d) Access to Data.--The Director shall ensure that--
(1) the statistics compiled under this section--
(A) are readily accessible to the public; and
(B) are consistent with applicable security
constraints and confidentiality interests; and
(2) the data acquired, regardless of source, shall be
protected in accordance with [the Confidential
Information Protection and Statistical Efficiency Act
of 2002 (44 U.S.C. 3501 note; Public Law 107-347).]
section 3572 of title 44.
* * * * * * *
----------
ACT OF JANUARY 27, 1938
AN ACT To make confidential certain information furnished to the Bureau
of Foreign and Domestic Commerce, and for other purposes.
Be it enacted by the Senate and House of Representatives of the
United States of America in Congress assembled, That any
statistical information furnished in confidence to the Bureau
of Foreign and Domestic Commerce by individuals, corporations,
and firms shall be held to be confidential, and shall be used
only for the statistical purposes for which it is supplied.
Except as provided in [the Confidential Information Protection
and Statistical Efficiency Act of 2002] subchapter III of
chapter 35 of title 44, United States Code, the Director of the
Bureau of Foreign and Domestic Commerce shall not permit anyone
other than the sworn employees of the Bureau to examine such
individual reports, nor shall he permit any statistics of
domestic commerce to be published in such manner as to reveal
the identity of the individual, corporation, or firm furnishing
such data.
* * * * * * *
----------
FIXING AMERICA'S SURFACE TRANSPORTATION ACT
* * * * * * *
DIVISION A--SURFACE TRANSPORTATION
* * * * * * *
TITLE VII--HAZARDOUS MATERIALS TRANSPORTATION
* * * * * * *
Subtitle C--Safe Transportation of Flammable Liquids by Rail
* * * * * * *
SEC. 7308. MODIFICATION REPORTING.
(a) In general.--Not later than 1 year after the date of
enactment of this Act, the Secretary shall implement a
reporting requirement to monitor industry-wide progress toward
modifying rail tank cars used to transport Class 3 flammable
liquids by the applicable deadlines established in section
7304.
(b) Tank Car Data.--The Secretary shall collect data from
shippers and rail tank car owners on--
(1) the total number of tank cars modified to meet
the DOT-117R specification, or equivalent, specifying--
(A) the type or specification of each tank
car before it was modified, including non-
jacketed DOT-111, jacketed DOT-111, non-
jacketed DOT-111 meeting the CPC-1232 standard,
or jacketed DOT-111 meeting the CPC-1232
standard; and
(B) the identification number of each Class 3
flammable liquid carried by each tank car in
the past year;
(2) the total number of tank cars built to meet the
DOT-117 specification, or equivalent; and
(3) the total number of tank cars used or likely to
be used to transport Class 3 flammable liquids that
have not been modified, specifying--
(A) the type or specification of each tank
car not modified, including the non-jacketed
DOT-111, jacketed DOT-111, non-jacketed DOT-111
meeting the CPC-1232 standard, or jacketed DOT-
111 meeting the CPC-1232 standard; and
(B) the identification number of each Class 3
flammable liquid carried by each tank car in
the past year.
(c) Tank Car Shop Data.--The Secretary shall conduct a survey
of tank car facilities modifying tank cars to the DOT-117R
specification, or equivalent, or building new tank cars to the
DOT-117 specification, or equivalent, to generate
statistically- valid estimates of the anticipated number of
tank cars those facilities expect to modify to DOT-117R
specification, or equivalent, or build to the DOT-117
specification, or equivalent.
(d) Frequency.--The Secretary shall collect the data under
subsection (b) and conduct the survey under subsection (c)
annually until May 1, 2029.
(e) Information Protections.--
(1) In general.--The Secretary shall only report data
in industry-wide totals and shall treat company-
specific information as confidential business
information.
(2) Level of confidentiality.--The Secretary shall
ensure the data collected under subsection (b) and the
survey data under subsection (c) have the same level of
confidentiality as required by [the Confidential
Information Protection and Statistical Efficiency Act
of 2002 (44 U.S.C. 3501 note)] section 3572 of title
44, United States Code, as administered by the Bureau
of Transportation Statistics.
(3) Designee.--The Secretary may--
(A) designate the Director of the Bureau of
Transportation Statistics to collect data under
subsection (b) and the survey data under
subsection (c); and
(B) direct the Director to ensure the
confidentially of company-specific information
to the maximum extent permitted by law.
(f) Report.--Each year, not later than 60 days after the date
that both the collection of the data under subsection (b) and
the survey under subsection (c) are complete, the Secretary
shall submit a written report on the aggregate results, without
company-specific information, to--
(1) the Committee on Commerce, Science, and
Transportation of the Senate; and
(2) the Committee on Transportation and
Infrastructure of the House of Representatives.
(g) Definition of Class 3 Flammable Liquid.--In this section,
the term ``Class 3 flammable liquid'' has the meaning given the
term flammable liquid in section 173.120 of title 49, Code of
Federal Regulations.
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