[Federal Register Volume 87, Number 209 (Monday, October 31, 2022)]
[Notices]
[Pages 65611-65613]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-23629]


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NATIONAL SCIENCE FOUNDATION


Agency Information Collection Activities: Comment Request

AGENCY: National Center for Science and Engineering Statistics, 
National Science Foundation.

ACTION: Notice.

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SUMMARY: The National Center for Science and Engineering Statistics 
(NCSES) within the National Science Foundation invites the general 
public and other federal agencies to comment on a proposed information 
collection. NCSES plans to collect information from individuals to 
fulfill its data security requirements when providing the individual 
with access to restricted use microdata for the purpose of evidence 
building. NCSES's data security agreements and other paperwork along 
with the corresponding security protocols allow the agency to maintain 
careful controls on confidentiality and privacy, as required by law. 
The purpose of this notice is to allow for 60 days of public comment on 
the proposed data security information collection, prior to submission 
of the information collection request (ICR) to the Office of Management 
and Budget (OMB).

DATES: Written comments on this notice must be received by December 30, 
2022 to be assured of consideration. Comments received after that date 
will be considered to the extent practicable. Send comments to the 
address below.
    Comments: Comments are invited on (a) whether the proposed 
collection of information is necessary for the proper performance of 
the functions of NCSES, including whether the information will have 
practical utility; (b) the accuracy of NCSES estimate of the burden of 
the proposed collection of information; (c) ways to enhance the 
quality, use, and clarity of the information on respondents, including 
through the use of automated collection techniques or other forms of 
information technology; and (d) ways to minimize the burden of the 
collection of information on those who are to respond, including 
through the use of appropriate automated, electronic, mechanical, or 
other technological collection techniques or other forms of information 
technology.

FOR FURTHER INFORMATION CONTACT: Suzanne H. Plimpton, Reports Clearance 
Officer, National Science Foundation, 2415 Eisenhower Avenue, Suite 
W18253, Alexandria, Virginia 22314; telephone (703) 292-7556; or send 
email to [email protected]. Individuals who use a telecommunications 
device for the deaf (TDD) may call the Federal Information Relay 
Service (FIRS) at 1-800-877-8339, which is accessible 24 hours a day, 7 
days a week, 365 days a year (including Federal holidays).

SUPPLEMENTARY INFORMATION: The Foundations for Evidence-Based 
Policymaking Act of 2018 mandates that the Office of Management and 
Budget (OMB) establish a Standard Application Process (SAP) for 
requesting access to certain confidential data assets. While the 
adoption of the SAP is required for statistical agencies and units 
designated under the Confidential Information Protection and 
Statistical Efficiency Act of 2018, it is recognized that other 
agencies and organizational units within the Executive branch may 
benefit from the adoption of the SAP to accept applications for access 
to confidential data assets. The SAP is to be a process through which 
agencies, the Congressional Budget Office, State, local, and Tribal 
governments, researchers, and other individuals, as appropriate, may 
apply to access confidential data assets held by a federal statistical 
agency or unit for the purposes of developing evidence. With the 
Interagency Council on Statistical Policy (ICSP) as advisors, the 
entities upon whom this requirement is levied are working with the SAP 
Project Management Office (PMO) and with OMB to implement the SAP. The 
SAP Portal is to be a single web-based common application for 
requesting access to confidential data assets from federal statistical 
agencies and units. NCSES submitted a Federal Register Notice in 
September 2022 announcing plans to collect information through the SAP 
Portal (87 FR 53793).
    Once an application for confidential data is approved through the 
SAP Portal, NCSES will collect information to meet its data security 
requirements. This collection will occur outside of the SAP Portal.
    Title of collection: Data Security Requirements for Accessing 
Confidential Data.
    OMB Control Number: 3145-NEW.
    Expiration Date of Current Approval: Not Applicable.
    Type of Request: Intent to seek approval to collect information to 
fulfill NCSES's security requirements allowing individuals to access 
confidential data assets for the purposes of building evidence.
    Abstract: Title III of the Foundations for Evidence-Based 
Policymaking Act of 2018 (hereafter referred to as the Evidence Act) 
mandates that OMB establish a Standard Application Process (SAP) for 
requesting access to certain confidential data assets. Specifically, 
the Evidence Act requires OMB to establish a common application process 
through which agencies, the Congressional Budget Office, State, local, 
and Tribal governments, researchers, and other individuals, as 
appropriate, may apply for access to confidential data assets 
collected, accessed, or acquired by a statistical agency or unit. This 
new process will be implemented while maintaining stringent controls to 
protect confidentiality and privacy, as required by law.
    Data collected, accessed, or acquired by statistical agencies and 
units is vital for developing evidence on the characteristics and 
behaviors of the public and on the operations and outcomes of public 
programs and policies. This evidence can benefit the stakeholders in 
the programs, the broader public, as well as policymakers and program 
managers at the local, State, Tribal, and National levels. The many 
benefits of access to data for evidence building notwithstanding, NCSES 
is required by law to maintain careful controls that allow it to 
minimize disclosure risk while protecting confidentiality and privacy. 
The fulfillment of NCSES's data security requirements places a degree 
of burden on individuals, which is outlined below.
    The SAP Portal is a web-based application to allow individuals to

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request access to confidential data assets from federal statistical 
agencies and units. The objective of the SAP Portal is to broaden 
access to confidential data for the purposes of evidence building and 
reduce the burden of applying for confidential data. Once an 
individual's application in the SAP Portal has received a positive 
determination, the data-owning agency(ies) or unit(s) will begin the 
process of collecting information to fulfill their data security 
requirements.
    The paragraphs below outline the SAP Policy, the steps to complete 
an application through the SAP Portal, and the process NCSES uses to 
collect information fulfilling its data security requirements.
    The SAP Policy: At the recommendation of the ICSP, the SAP Policy 
establishes the SAP to be implemented by statistical agencies and units 
and incorporates directives from the Evidence Act. The policy is 
intended to provide guidance as to the application and review processes 
using the SAP Portal, setting forth clear standards that enable 
statistical agencies and units to implement a common application form 
and a uniform review process. The SAP Policy was submitted to the 
public for comment in January 2022 (87 FR 2459). The policy is 
currently under review and has not yet been finalized.
    The SAP Portal: The SAP Portal is an application interface 
connecting applicants seeking data with a catalog of metadata for data 
assets owned by the federal statistical agencies and units. The SAP 
Portal is not a new data repository or warehouse; confidential data 
assets will continue to be stored in secure data access facilities 
owned and hosted by the federal statistical agencies and units. The 
Portal will provide a streamlined application process across agencies, 
reducing redundancies in the application process. This single SAP 
Portal will improve the process for applicants, tracking and 
communicating the application process throughout its lifecycle. This 
reduces redundancies and burden on applicants who request access to 
data from multiple agencies. The SAP Portal will automate key tasks to 
save resources and time and will bring agencies into compliance with 
the Evidence Act statutory requirements.
    Data Discovery: Individuals begin the process of accessing 
restricted use data by discovering confidential data assets through the 
SAP metadata catalog maintained by federal statistical agencies at 
www.researchdatagov.org. Potential applicants can search by agency, 
topic, or keyword to identify data of interest or relevance. Once they 
have identified data of interest, applicants can view metadata 
outlining the title, description or abstract, scope and coverage, and 
detailed methodology related to a specific data asset to determine its 
relevance to their research.
    While statistical agencies and units shall endeavor to include 
information in the SAP metadata catalog on all confidential data assets 
for which they accept applications, it may not be feasible to include 
metadata for some data assets (e.g., potential special tabulations of 
administrative data). A statistical agency or unit may still accept an 
application through the SAP Portal even if the requested data asset or 
special tabulation is not listed in the SAP metadata catalog.
    SAP Application Process: Individuals who have identified and wish 
to access confidential data assets will be able to apply for access 
through the SAP Portal when it is released to the public in late 2022. 
Applicants must create an account and follow all steps to complete the 
application. Applicants begin by entering their personal, contact, and 
institutional information, as well as the personal, contact, and 
institutional information of all individuals on their research team. 
Applicants provide summary information about their proposed project to 
include project title, duration, funding, and timeline. Other details 
provided by applicants include the data asset(s) they are requesting 
and any proposed linkages to data not listed in the SAP metadata 
catalog, including non-federal data sources. Applicants then enter 
detailed information regarding their proposed project, including a 
project abstract, research question(s), literature review, project 
scope, research methodology, project products, and anticipated output. 
Within the application, applicants must demonstrate a need for 
confidential data, outlining why their research question cannot be 
answered using publicly available information.
    Submission for Review: Upon submission of their application, 
applicants will receive a notification that their application has been 
received and is under review by the data-owning agency or agencies (in 
the event where data assets are requested from multiple agencies). At 
this point, applicants will also be notified that application approval 
does not alone grant access to confidential data, and that, if 
approved, applicants must comply with the data-owning agency's security 
requirements outside of the SAP Portal, which may include a background 
check.
    In accordance with the Evidence Act and the direction of the ICSP, 
agencies will approve or reject an application within a prompt 
timeframe. In some cases, agencies may determine that additional 
clarity, information, or modification is needed and request the 
applicant to ``revise and resubmit'' their application.
    Data discovery, the SAP application process, and the submission for 
review are planned to take place within the web-based SAP Portal. As 
noted above, the notice announcing plans to collect information through 
the SAP Portal has been published separately (87 FR 53793).
    Access to Restricted Use Data: In the event of a positive 
determination, the applicant will be notified that their proposal has 
been accepted. The positive or final adverse determination concludes 
the SAP Portal process. In the instance of a positive determination, 
the data-owning agency (or agencies) will contact the applicant to 
provide instructions on the agency's security requirements that must be 
completed by the applicant to gain access to the confidential data. The 
completion and submission of the agency's security requirements will 
take place outside of the SAP Portal.
    Collection of Information for Data Security Requirements: In the 
instance of a positive determination for an application requesting 
access to an NCSES-owned confidential data asset, NCSES will contact 
the applicant(s) to initiate the process of collecting information to 
fulfill its data security requirements. This process allows NCSES to 
place the applicant(s) in a trusted access category and includes the 
collection of the following information from applicant(s):
     Restricted-use licensing agreement--This document is an 
agreement between NCSES and the applicant's organization provisioning 
NCSES's confidential data assets exclusively for statistical purposes 
in accordance with the terms and conditions stated in the agreement and 
all prevailing laws and regulations. The agreement requires signatures 
from the applicant(s) and a senior official at the applicant's 
organization who has the authority to enter the organization into a 
legal agreement with NCSES.
     Security plan form--This document requests information 
from the applicant(s) to ensure the confidential data assets are 
protected from unauthorized access, disclosure, or modification. The 
information collected in the security plan form includes the following:
    [cir] planned work location address(es),

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    [cir] workstation specifications (make, model, serial number, type, 
and operating system),
    [cir] workstation authorized users,
    [cir] workstation monitor position (to prevent unauthorized 
viewing), and
    [cir] workstation antivirus brand and version.
    In addition, the applicant(s) must initial a series of security 
measures to indicate compliance. Finally, the form requires signatures 
from the applicant(s), a senior official at the applicant's 
organization, and a System Security Officer (SSO) at the applicant's 
organization. The SSO, in signing the Security plan form, assures the 
inspection and integrity of the applicant's security plan.
     Affidavit of nondisclosure form--This document describes 
the confidentiality protections the applicant(s) must uphold and the 
penalties for unauthorized access or disclosure. The form requires 
signatures from the applicant(s) and the principal researcher for the 
project as well as the imprint of a notary public.
    Estimate of Burden: The amount of time to complete the agreements 
and other paperwork that comprise NCSES's security requirements will 
vary based on the confidential data assets requested. To obtain access 
to NCSES confidential data assets, it is estimated that the average 
time to complete and submit NCSES's data security agreements and other 
paperwork is 30 minutes. This estimate does not include the time needed 
to complete and submit an application within the SAP Portal. All 
efforts related to SAP Portal applications occur prior to and separate 
from NCSES's effort to collect information related to data security 
requirements.
    The expected number of applications in the SAP Portal that receive 
a positive determination from NCSES in a given year may vary. Overall, 
per year, NCSES estimates it will collect data security information for 
20 application submissions that received a positive determination 
within the SAP Portal. NCSES estimates that the total burden for the 
collection of information for data security requirements over the 
course of the three-year OMB clearance will be about 30 hours and, as a 
result, an average annual burden of 10 hours.

    Dated: October 26, 2022.
Suzanne H. Plimpton,
Reports Clearance Officer, National Science Foundation.
[FR Doc. 2022-23629 Filed 10-28-22; 8:45 am]
BILLING CODE 7555-01-P