Statistical Policy Directive No. 4 Addendum: Release and Dissemination of Statistical Products Produced by Federal Statistical Agencies and Recognized Statistical Units, 71538-71542 [2016-25049]

Agencies

• Management and Budget Office

[Federal Register Volume 81, Number 200 (Monday, October 17, 2016)]
[Notices]
[Pages 71538-71542]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-25049]


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OFFICE OF MANAGEMENT AND BUDGET


Statistical Policy Directive No. 4 Addendum: Release and 
Dissemination of Statistical Products Produced by Federal Statistical 
Agencies and Recognized Statistical Units

AGENCY: Executive Office of the President, Office of Management and 
Budget.

ACTION: Notice of Solicitation of Comments.

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SUMMARY: Under the Budget and Accounting Procedures Act of 1950 (31 
U.S.C. 1104 (d)) and the Paperwork Reduction Act of 1995 (44 U.S.C. 
3504 (e)), the Office of Management and Budget (OMB) issues for comment 
a proposed Addendum to Statistical Policy Directive No. 4: Release and 
Dissemination of Statistical Products Produced by Federal Statistical 
Agencies (73 FR 12622, Mar. 7, 2008). This Addendum reflects the 
ongoing commitment of the Federal statistical system to ensure 
relevant, accurate, objective, and accessible Federal statistics to the 
Nation.
    In its role as coordinator of the Federal statistical system under 
the Paperwork Reduction Act, OMB, among other responsibilities, is 
required to ensure the efficiency and effectiveness of the system. A 
key method used by OMB to achieve this responsibility is the 
promulgation and oversight of Government-wide principles, policies, 
standards, and guidelines concerning the development, presentation, and 
dissemination of statistical products. Accordingly, OMB proposes an 
Addendum to strengthen provisions in its Statistical Policy Directive 
No. 4. The Addendum would ensure systematic review of the production 
and dissemination of key statistical products of Federal statistical 
agencies and recognized statistical units and of how these products 
conform to the responsibilities identified in Statistical Policy 
Directive No. 1: Fundamental Responsibilities of Federal Statistical 
Agencies and Recognized Statistical Units (79 FR 71610, Dec. 2, 2014). 
Additional discussion of the proposed Addendum may be found in the 
SUPPLEMENTARY INFORMATION section below.

DATES: Comments and recommendations on the proposed Addendum detailed 
in this notice must be in writing. To ensure consideration of comments, 
they must be received no later than 45 days from the publication date 
of this notice. Because of delays in the receipt of regular mail 
related to security screening, respondents are encouraged to send 
comments electronically via email, or www.regulations.gov (discussed in 
ADDRESSES below).

ADDRESSES: Please send any comments or questions about this directive 
to: Katherine K. Wallman, Chief Statistician, Office of Management and 
Budget, 1800 G St., 9th Floor, Washington, DC 20503. You may also send 
comments or questions via email to Directive_No._4@omb.eop.gov or to 
www.regulations.gov--a Federal E-Government Web site that allows the 
public to find, review, and submit comments on documents that agencies 
have published in the Federal Register and that are open for comment. 
Simply type ``OMB-2016-0003'' (in quotes) in the Comment or Submission 
search box, click Go, and follow the instructions for submitting 
comments.
    Comments submitted in response to this notice may be made available 
to the public through relevant Web sites. For this reason, please do 
not include in your comments information of a confidential nature, such 
as sensitive personal information or proprietary information. If you 
send an email comment, your email address will be automatically 
captured and included as part of the comment that is placed in the 
public docket. Please note that responses to this public comment 
request containing any routine notice about the confidentiality of the 
communication will be treated as public comments that may be made 
available to the public notwithstanding the inclusion of the routine 
notice.
    This document is available on the Internet on the OMB Web site at 
www.whitehouse.gov/sites/default/files/omb/inforeg/directive4/frn_comment_stat_policy_dir_4_addendum.pdf.

FOR FURTHER INFORMATION CONTACT: Jennifer Park, 1800 G St., 9th Floor, 
Washington, DC 20503, email address: Directive_No._4@omb.eop.gov.

SUPPLEMENTARY INFORMATION:
    Background: The Nation relies on the flow of accurate, reliable, 
and independent statistics to support the decisions of governments, 
businesses, individuals, households, and other organizations. Federal 
statistical agencies release many of the statistics available about the 
United States' economy, population, natural resources, environment, and 
public and private institutions.
    Consistent with the Information Quality Act (Pub. L. 106-554, 
Division C, title V, Sec. 515, Dec. 21, 2000; 114 Stat. 2763A-153 to 
2763A-154) and in

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accordance with Statistical Policy Directive No. 1: Fundamental 
Responsibilities of Federal Statistical Agencies and Recognized 
Statistical Units (79 FR 71610, Dec. 2, 2014), it is the responsibility 
of Federal agencies engaging in statistical work to support the quality 
and accessibility of the Federal statistical information our Nation 
uses to monitor and assess performance, progress, and needs. It is 
therefore essential that Federal statistical agencies and recognized 
statistical units systematically evaluate and continuously improve the 
quality and accessibility of their statistical products.
    Systematic review with the aim of continuous improvement is 
recognized in Federal guidelines provided in Statistical Policy 
Directive No. 3: Compilation, Release, and Evaluation of Principal 
Federal Economic Indicators (50 FR 38932, Sep. 25, 1985). Statistical 
Policy Directive No. 3 requires agencies that issue Principal Federal 
Economic Indicators (PFEIs) to submit performance evaluations of each 
PFEI to the Statistical Policy Office every three years. This review 
ensures that certain key statistical products are prepared and 
published in conformity with Federal information quality standards as 
framed in Statistical Policy Directive No. 1.
    The requirements set forth in Statistical Policy Directive No. 3 
pertain to PFEIs. However, several other Federal statistical products 
are also foundational to the interests of the public and the needs of 
the government. These span, for example, the measurement of educational 
attainment to the measurement of disability. Recognizing this need, OMB 
issued Statistical Policy Directive No. 4: Release and Dissemination of 
Statistical Products Produced by Federal Statistical Agencies (73 FR 
12622, Mar. 7, 2008) to provide detailed guidance to Federal 
statistical agencies and recognized statistical units regarding the 
production and dissemination of statistical products other than PFEIs.
    Development and Review: Statistical Policy Directive No. 4 remains 
a robust and comprehensive source of guidance. However, periodic 
updates and addenda ensure that this Directive remains most useful to 
Federal agencies.
    In November 2014, OMB requested agency and department heads for 
selected Executive Branch agencies and departments to provide feedback 
on Statistical Policy Directive No. 1 through M-15-03 Department 
Support for Implementation of Statistical Policy Directive No. 1: 
Fundamental Responsibilities of Federal Statistical Agencies and 
Recognized Statistical Units. Responses identified best practices, new 
challenges, and areas in need of future support. Among the challenges 
noted was the desire for continuous self-improvement in the timeliness 
and accessibility of Federal statistical products in an era of modern 
data needs and information technology. Communicating these findings 
would support the Federal statistical system broadly in an effort to 
leverage efficiencies.
    In response to this feedback, OMB examined its current guidance. 
Although similar in many respects to Statistical Policy Directive No. 3 
(pertaining to PFEIs), one provision of Statistical Policy Directive 
No. 3 is not currently found in Statistical Policy Directive No. 4. 
Specifically, there is currently no provision in Statistical Policy 
Directive No. 4 for systematic agency self-review and reporting of its 
key statistical products for conformance with OMB information quality 
and statistical policy requirements. Systematic agency self-review is 
recognized in Statistical Policy Directive No. 1 as the cornerstone for 
continuous improvement of Federal statistical agencies' products and 
services. Additionally, these self-reviews would allow users to better 
evaluate the quality of the statistics produced by Federal statistical 
agencies and recognized statistical units.
    Proposed Addendum: For ease of review, this Notice publishes the 
entirety of Statistical Policy Directive No. 4; the proposed Addendum 
appears here at the end of Statistical Policy Directive No. 4 in bold 
font as Section 10 Performance Review. This Addendum does not remove 
nor replace any of the standards and guidelines currently identified in 
Statistical Policy Directive No. 4. Instead, this Addendum is intended 
to expand on the guidelines as part of the continuing efforts of the 
Federal statistical system to ensure the relevance, accuracy, and 
objectivity of Federal statistics. The Addendum would apply to Federal 
statistical agencies and recognized statistical units as described in 
Section 3 Statistical Agencies or Units of Statistical Policy Directive 
No. 4. Agencies would identify specific, key statistical products to be 
reviewed, in consultation with OMB.
    Issues for Comment: With this Notice, OMB seeks comments from all 
interested parties on the purpose, scope, and periodicity of the 
proposed agency reviews and reports on the production and dissemination 
procedures for key statistical products. In addition, OMB seeks comment 
from affected agencies on the expected benefits and burdens of the 
proposed Addendum.

Howard A. Shelanski,
Administrator, Office of Information and Regulatory Affairs.

Statistical Policy Directive No. 4: Release and Dissemination of 
Statistical Products Produced by Federal Statistical Agencies

Authority and Purpose

    This Directive provides guidance to Federal statistical agencies on 
the release and dissemination of statistical products. The Directive is 
issued under the authority of the Budget and Accounting Procedures Act 
of 1950 (31 U.S.C. 1104(d)), the Paperwork Reduction Act (PRA) of 1995 
(44 U.S.C. 3504(e)), and Office of Management and Budget (OMB) policies 
including the Information Quality Act guidelines (67 FR 8451-8460) and 
OMB Circular No. A-130. Under the Information Quality Act (Pub. L. 106-
554, Division C, title V, Sec. 515, Dec. 21, 2000; 114 Stat. 2763A-153 
to 2763A-154; 44 U.S.C. Section 3516 note) and associated guidelines, 
agencies are to maximize the quality, objectivity, utility, and 
integrity of information, including statistical information, provided 
to the public. This includes making information available on an 
equitable and timely basis. The procedures in this Directive are 
intended to ensure that statistical data releases adhere to data 
quality standards through equitable, policy-neutral, transparent, and 
timely release of information to the general public.

Introduction

    Statistics produced by the Federal Government are used to shape 
policies, manage and monitor programs, identify problems and 
opportunities for improvement, track progress, and measure change. 
These statistics must meet high standards of reliability, accuracy, 
timeliness, and objectivity in order to provide a sound and efficient 
basis for decisions and actions by governments, businesses, households, 
and other organizations. These data must be objective and free of bias 
in their presentation and available to all in forms that are readily 
accessible and understandable.
    To be collected and used efficiently, statistical products must 
gain and preserve the trust of the respondent and user communities; 
data must be collected and distributed free of any perceived or actual 
partisan intervention. Widespread recognition of the Federal 
statistical system's policy- neutral data collection and dissemination 
fosters such trust. This

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trust, in turn, engenders greater cooperation from respondents and 
higher quality statistics for data users.
    1. Scope. This Statistical Policy Directive applies to the full 
range of statistical products disseminated by Federal statistical 
agencies or units. However, the Directive excludes coverage of the 
Principal Federal Economic Indicators addressed in Statistical Policy 
Directive No. 3, Compilation, Release, and Evaluation of Principal 
Federal Economic Indicators, which have their own established release 
and evaluation procedures. Unless otherwise specified in statute, 
statistical agencies or units are directly and solely responsible for 
the content, quality, and dissemination of their products. When 
implementing this Directive, statistical agencies must follow all 
relevant Statistical Policy Directives and guidance including the 
principles and practices presented in OMB's Information Quality 
Guidelines and Statistical Policy Directives providing standards and 
guidelines for statistical surveys.
    2. Statistical Products. Statistical products are, generally, 
information dissemination products that are published or otherwise made 
available for public use that describe, estimate, forecast, or analyze 
the characteristics of groups, customarily without identifying the 
persons, organizations, or individual data observations that comprise 
such groups. Statistical products include general-purpose tabulations, 
analyses, projections, forecasts, or other statistical reports. For 
purposes of this Directive, a ``statistical press release'' is an 
announcement to media of a statistical product release that contains 
the title, subject matter, release date, and Internet address of, and 
other available information about the statistical product, as well as 
the name of the statistical agency issuing the product, and may include 
any executive summary information or key findings section as shown in 
the statistical product. A statistical press release announcing or 
presenting statistical data is defined as a statistical product and is 
covered by the provisions of this Directive. Federal statistical 
agencies or units may issue their statistical products in printed and/
or electronic form, but must provide access to them on their Internet 
sites. Agencies should assess the needs of data users and provide a 
range of products to address those needs by whatever means practicable. 
Information to help users interpret data accurately, including 
transparent descriptions of the sources and methodologies used to 
produce the data, must be equitably available for Federal statistical 
products. With the exception of compilations of statistical information 
collected and assembled from other statistical products, these products 
shall contain or reference appropriate information on the strengths and 
limitations of the methodologies, data sources, and data used to 
produce them as well as other information such as explanations of other 
related measures to assist users in the appropriate treatment and 
interpretation of the data.
    3. Statistical Agencies or Units. As identified under OMB's 
implementation guidance (72 FR 33362, 33368, June 15, 2007) for the 
Confidential Information Protection and Statistical Efficiency Act of 
2002 (Pub. L. 107-347, Title V; 116 Stat. 2962; 44 U.S.C. Section 3501 
note), a Federal statistical agency is an organizational unit of the 
executive branch whose activities are predominantly the collection, 
compilation, processing, or analysis of information for statistical 
purposes. Statistical purpose means the description, estimation, or 
analysis of the characteristics of groups, customarily without 
identifying the persons, organizations, or individual data observations 
that comprise such groups, as well as researching, developing, 
implementing, maintaining, or evaluating methods, administrative or 
technical procedures, or information resources that support such 
purposes. A statistical agency or unit may be labeled an 
administration, bureau, center, division, office, service, or similar 
title, so long as it is recognized as a distinct entity. When a 
statistical agency provides services for a separate sponsoring agency 
on a reimbursable basis, the provisions of this Directive normally 
shall apply to the sponsoring agency.
    4. Timing of Release. The timing of the release of statistical 
products, including statistical press releases, regardless of physical 
form or characteristic, shall be the sole responsibility of the 
statistical agency or unit that is directly responsible for the 
content, quality, and dissemination of the data. Agencies should 
minimize the interval between the period to which the data refer and 
the date when the product is released to the public.
    5. Notification of Release. Prior to the beginning of the calendar 
year, the releasing statistical agency shall annually provide the 
public with a schedule of when each regular or recurring statistical 
product is expected to be released during the upcoming calendar year by 
publishing it on its Web site. Agencies must issue any revisions to the 
release schedule in a timely manner on their Web sites.
    6. Dissemination. Statistical agencies must ensure that all users 
have equitable and timely access to data that are disseminated to the 
public. If there are revisions to the data after an initial release, 
notification must also be given to the public about these changes in an 
equitable and timely manner. A statistical agency should strive for the 
widest, most accessible, and appropriate dissemination of its 
statistical products and ensure transparency in its dissemination 
practices by providing complete documentation of its dissemination 
policies on its Web site. The statistical agency is responsible for 
ensuring that this documentation remains accurate by reviewing and 
updating it regularly so that it reflects the agency's current 
dissemination practices. In unusual circumstances, the requirement that 
all users initially have equitable and timely access to statistical 
products may be waived by the releasing statistical agency if the head 
of the agency determines that the value of a particular type of 
statistical product, such as health or safety information, is so time-
sensitive to specific stakeholders that normal procedures to ensure 
equitable and timely access to all users would unduly delay the release 
of urgent findings to those to whom the information is critical. All 
such instances must be reported to OMB within 30 calendar days of the 
agency's waiver determination.
    Agencies should use a variety of vehicles to attain a data 
dissemination program designed to reach data users in an equitable and 
timely manner. Federal statistical agencies or units may issue their 
statistical products in printed and/or electronic form, but must 
provide access to them on their Internet sites. In undertaking any 
dissemination of statistical products, agencies must continue to ensure 
that they have fulfilled their responsibilities to preserve the 
confidentiality and security of respondent data. When appropriate to 
facilitate in-depth research, and feasible in the presence of resource 
constraints, statistical agencies should provide public access to 
microdata files with secure safeguards to protect the confidentiality 
of individually- identifiable responses and with readily accessible 
documentation, metadata, or other means to facilitate user access to 
and manipulation of the data.
    Statistical agencies are encouraged to use a variety of forums and 
strategies to release their statistical products. These include 
conferences, exhibits, presentations, workshops, list serves, the 
Government Printing Office, public

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libraries, and outreach to the media including news conferences and 
statistical press releases as well as media briefings to improve the 
media's understanding of the data and the quality and extent of media 
coverage of the statistics.

a. Outreach to the Media

    To accelerate and/or expand the dissemination of data to the 
public, statistical agencies are encouraged to issue a statistical 
press release when releasing their products. To maintain a clear 
distinction between statistical data and policy interpretations of such 
data, the statistical press release must be produced and issued by the 
statistical agency and must provide a policy-neutral description of the 
data; it must not include policy pronouncements. To the extent that any 
policy pronouncements are to be made regarding the data, those 
pronouncements are to be made by Federal executive policy officials, 
not by the statistical agency. Accordingly, these policy officials may 
issue separate independent statements on the data being released by the 
statistical agency, and policy officials of the issuing department may 
review the draft statistical press release to ensure that it does not 
include policy pronouncements.
    In cases in which the statistical unit currently relies on its 
parent agency for the public affairs function, the statistical agency 
should coordinate with public affairs officials from the parent 
organization on the dissemination aspects of the statistical press 
release process, including planning and scheduling of annual release 
dates.

b. Pre-Release Access to Final Statistical Products

    The purpose of pre-release access is to foster improved public 
understanding of the data when they are first released and the accuracy 
of any initial commentary about the information contained in the 
product. To support the goal of maximizing the public's access to 
informed discussions of the data when they are first released, 
statistical agencies may provide pre-release access to their final 
statistical products. A statistical product is final when the releasing 
statistical agency determines that the product fully meets the agency's 
data quality standards based on all presently available information and 
requires no further changes. Pre-release access to final statistical 
products may be provided under embargo or through secure pre-release 
access. The releasing statistical agency determines which final 
statistical products will be made available under these pre-release 
provisions and which method of pre- release will be employed.

c. Embargo

    Embargo means that pre-release access is provided with the explicit 
acknowledgement of the receiving party that the information cannot be 
further disseminated or used in any unauthorized manner before a 
specific date and time.
    The statistical agency may grant pre-release access via an embargo 
under the following conditions:
    1. The agency shall establish arrangements and impose conditions on 
the granting of an embargo that are necessary to ensure that there is 
no unauthorized dissemination or use.
    2. The agency shall ensure that any person or organization granted 
access under an embargo has been fully informed of, and has 
acknowledged acceptance of, these conditions.
    3. In all cases, pre-release access via an embargo shall precede 
the official release time only to the extent necessary for an orderly 
release of the data.
    4. If an embargo is broken, the agency must release the data to the 
public immediately.

d. Secure Pre-Release Access

    For some data that are particularly sensitive or move markets, 
statistical agency heads may choose to provide secure pre-release 
access. Secure pre- release access means that pre-release access is 
provided only within the confines of secure physical facilities with no 
external communications capability. When the head of a releasing 
statistical agency determines that secure pre-release access is 
required, the agency shall provide pre-release access to final 
statistical products only when it uses secure pre-release procedures.
    7. Announcement of Changes in Data Series. Statistical agencies 
shall announce, in an appropriate and accessible manner as far in 
advance of the change as possible, significant planned changes in data 
collection, analysis, or estimation methods that may affect the 
interpretation of their data series. In the first report affected by 
the change, the agency must include a complete description of the 
change and its effects and place the description on its Internet site, 
if the report is not otherwise available there.
    8. Revisions and Corrections of Data. For some statistical 
products, statistical agencies produce preliminary estimates or initial 
releases that will subsequently be updated and finalized. Whenever 
preliminary data are released, they must be identified as preliminary 
and the release must indicate that an updated or final revision is 
expected. In applicable cases, the expected date of such revisions must 
be included. Reference to the preliminary release and appropriate 
explanations of the methodology and reasons for the revisions must be 
provided or referenced in any updated or final releases.
    Consistent with each agency's information quality guidelines, 
statistical agencies must also establish and implement policies for 
handling unscheduled corrections due to previously unrecognized errors. 
Agencies have an obligation to alert users as quickly as possible to 
any such changes, to explain corrections or revisions that result from 
any unscheduled corrections, and to make appropriate changes in all 
product formats--including statistical press releases.
    9. Granting of Exceptions. Prior to any action being taken that may 
be inconsistent with the provisions of this Directive, the head of a 
releasing statistical agency shall consult with OMB's Administrator for 
Information and Regulatory Affairs. If the Administrator determines 
that the action is inconsistent with the provisions of this Directive, 
the head of the releasing statistical agency may apply for an 
exception. The Administrator may authorize exceptions to the provisions 
in sections 4, 5, 6, 7, and 8 of this Directive. Any agency requesting 
an exception must demonstrate to the satisfaction of the Administrator 
that the proposed exception is necessary and is consistent with the 
purposes of this Directive.

Proposed Addendum

    10. Performance Review. Each Federal statistical agency shall 
submit an annual performance review of the production and dissemination 
of its key statistical products to the Office of Information and 
Regulatory Affairs. Each agency will identify its key statistical 
products for review purposes, in consultation with OMB.
    The review shall address the following issues:
    (a) The accuracy and reliability of the series, e.g., the magnitude 
and direction of all revisions, the performance of the series relative 
to established benchmarks, and the proportion and effect of 
nonresponses or responses received after the publication of preliminary 
estimates;
    (b) the accuracy, completeness, and accessibility of documentation 
describing the methods used in compiling and revising the product;

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    (c) the agency's performance in meeting its established release 
schedule and the prompt release objective of this Directive;
    (d) the agency's ability to avoid disclosure prior to the scheduled 
release time;
    (e) any additional issues (such as periodicity, electronic access, 
etc.) that the Administrator for Information and Regulatory Affairs 
specifies in writing to the agency at least 6 months in advance of the 
scheduled submission date.
    The evaluation will be reviewed by the Administrator to determine 
whether the statistical products are prepared and published in 
conformity with OMB statistical policies, standards, and guidelines. A 
summary of the year's evaluations and their reviews will be included in 
the annual report to Congress required by the Paperwork Reduction Act 
(PRA) of 1995 (44 U.S.C. 3504(e)).

[FR Doc. 2016-25049 Filed 10-14-16; 8:45 am]
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