Agency Information Collection Activities: Generic Clearance for Formative Data Collections for Evaluation, Research, and Evidence Building, 15733-15734 [2023-05131]

Agencies

• DEPARTMENT OF HOMELAND SECURITY

[Federal Register Volume 88, Number 49 (Tuesday, March 14, 2023)]
[Notices]
[Pages 15733-15734]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-05131]


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DEPARTMENT OF HOMELAND SECURITY

[Docket Number DHS-2023-0011]


Agency Information Collection Activities: Generic Clearance for 
Formative Data Collections for Evaluation, Research, and Evidence 
Building

AGENCY: Department of Homeland Security (DHS).

ACTION: 60-Day notice and request for comments.

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SUMMARY: The Department of Homeland Security, will submit the following 
Information Collection Request (ICR) to the Office of Management and 
Budget (OMB) for review and clearance in accordance with the Paperwork 
Reduction Act of 1995.

DATES: Comments are encouraged and will be accepted until May 15, 2023. 
This process is conducted in accordance with 5 CFR 1320.1.

ADDRESSES: You may submit comments, identified by docket number Docket 
#DHS-2023-0011, at:
    [cir] Federal eRulemaking Portal: https://www.regulations.gov. 
Please follow the instructions for submitting comments.
    Instructions: All submissions received must include the agency name 
and docket number Docket #DHS-2023-0011. All comments received will be 
posted without change to https://www.regulations.gov, including any 
personal information provided.
    Docket: For access to the docket to read background documents or 
comments received, go to https://www.regulations.gov.

SUPPLEMENTARY INFORMATION: The U.S. Department of Homeland Security 
(DHS) intends to request approval from OMB for a generic clearance to 
design and conduct formative studies with more than nine participants 
that inform the DHS's evaluation, research, and evidence-building 
activities. The Generic Clearance for Formative Data Collections for 
Evaluation, Research, and Evidence Building is a new information 
collection request.
    The DHS anticipates undertaking various new evaluation, research, 
and evidence-building activities related to the priority questions 
identified in the Agency's Learning Agenda and Annual Evaluation Plans. 
The evidence-building activities include formative evaluations of 
existing programs, process, and new initiatives; logic model 
development and testing; process or journey mapping; research 
syntheses; survey, questionnaire, and metric development; analysis; and 
foundational fact-finding through descriptive and exploratory studies. 
Pursuant to Executive Orders 13985, Advancing Racial Equity and Support 
for Underserved Communities Through the Federal Government, and 14058, 
Transforming Federal Customer Experience and Service Delivery to 
Rebuild Trust in Government, the DHS continuously seeks to ensure that 
the Agency's programs are effective, designed and delivered in a manner 
all people can navigate, reach underserved communities, promote 
equitable delivery of services, and meet customers' needs. In 
accordance with the DHS's commitment to advancing equity, improving 
service delivery, and promoting trust, the information collected under 
this generic clearance is necessary to enable the Agency to gather 
customer and stakeholder feedback in a timely and efficient manner.
    Under this generic clearance, the DHS would engage in a variety of 
formative and exploratory data collections with DHS grantees, program 
and potential program providers and participants, researchers, 
practitioners, and other stakeholders to fulfill the following goals:
     maintain a rigorous and relevant evaluation and research 
agenda,
     inform the development of the DHS's evidence-building 
activities,
     inform the delivery of targeted assistance and workflows 
related to program and grantee processes,
     inform the development and refinement of recordkeeping and 
communication systems,
     plan for provision of programmatic or evidence-capacity-
related training or technical assistance,
     obtain grantee or stakeholder input on the development or 
refinement of program logic models, evaluations, and performance 
measures,
     test activities to strengthen programs, and
     preparation for summative evaluations.
    The formative studies will collect data using well-established 
methodologies, including but not limited to semi-structured small group 
discussions or focus groups, questionnaires and surveys, observation, 
interviews, and cognitive interviews and user testing (e.g., in-person, 
video, and audio collections). The data collected will be used to 
improve internal decision-making, such as improvements of program 
management and the delivery of products and services, and to inform 
future studies but will not be highly systematic nor intended to be 
statistically representative. The data collection efforts are also not 
intended to produce influential information that is expected to have a 
genuinely clear and substantial impact on major policy decisions.
    The DHS will conduct a variety of formative studies under this 
clearance. The exact nature of the instruments and the samples is 
dependent on each individual project and details will be provided for 
each individual information collection requests submitted. The DHS and 
its contractors will collect information electronically and/or use 
online collaboration tools, as appropriate, to reduce the burden. 
Specific information regarding the use of technology will be submitted 
with each individual information collection request. Following standard 
OMB requirements, the DHS will submit a change request for each 
individual data collection activity under this generic clearance. Each 
request will include the data collection method, sampling strategy, a 
copy of the individual instruments or questionnaires, recruitment 
materials, protocols, and as appropriate, other supplementary materials 
describing the project. OMB should review within 10 days of receiving 
each change request.
    Respondents include DHS grantees, program and potential program 
providers and participants, researchers, practitioners, and other 
stakeholder groups involved in DHS programs, experts in fields 
pertaining to DHS evaluation and research, or others involved in 
conducting DHS evaluation, research, or evidence-building projects. 
Small business or other small entities may be involved in these efforts 
but the DHS will minimize the burden on them of information collections 
approved under this clearance by sampling, asking for readily available 
information, and using short, easy-to-complete information collection 
instruments.
    The DHS anticipates that all data information collected under this 
generic clearance will involve a one-time data collection. However, if 
a data collection effort involved a more frequent collection, the 
rationale and detail will be provided in the individual information 
collection request. These data collections will allow for 
collaborative, ongoing, and actionable communications between the 
Agency

[[Page 15734]]

and its customers and stakeholders and allow the DHS to identify the 
strengths and weaknesses of current programs, pilots, initiatives, and 
services. The efficient and timely formative collection efforts allow 
feedback to contribute directly to rapid cycle improvements of program 
management and the delivery of products and services. Conversely, the 
failure to engage in formative data collection substantially limits the 
DHS's ability to understand emerging needs and issues, identify 
evidence gaps, build evidence about programs and initiatives, and 
inform the development of future impact studies to ensure that DHS 
leadership and program offices have current data and information to 
implement DHS programs and initiatives successfully.
    If the Privacy Act does apply to a collection, the DHS will provide 
a Privacy Act statement, System of Record Notices (SORN), or other 
associated documentation, as appropriate. Participation in any 
formative data collection effort will be voluntary, and personally 
identifiable information will only be collected to the extent 
necessary. Respondents will be informed of all planned data uses, that 
their participation is voluntary, and that their information will be 
kept private to the extent permitted by law. All data collection shall 
protect respondent privacy to the extent permitted by law and will 
comply with all Federal and Agency regulations for private information. 
If a confidentiality pledge is deemed necessary, the Agency will only 
include a pledge of confidentiality supported by authority established 
in statute or regulation, supported by disclosure and data security 
policies that are consistent with the pledge.
    The primary purpose of data collected under this generic clearance 
is not for publication. However, because the formative data collection 
efforts are intended to inform the DHS's decision-making related to 
evidence-building and programmatic activities, the findings may be 
incorporated into documents and presentations available to the public. 
Such documents may include design and method documents; process or 
journey maps, conceptual frameworks, or logic models; performance 
metrics; background materials for technical workgroups, informational 
presentations, technical assistance plans; and evaluation or research 
reports. The aggregated results of this work may be prepared for 
presentation at professional meetings or disseminated in evaluation 
reports, research papers, and professional journals. Although not 
anticipated, the DHS may receive requests to release the information 
(e.g., congressional inquiry, Freedom of Information Act requests) and 
will disseminate the findings when appropriate, following the Agency's 
guidelines. Shared findings will include a discussion of the 
limitations regarding generalizability and intended use, and when 
necessary, results will be labeled as formative or exploratory.
    The Office of Management and Budget is particularly interested in 
comments which:
    1. Evaluate whether the proposed collection of information is 
necessary for the proper performance of the functions of the agency, 
including whether the information will have practical utility;
    2. Evaluate the accuracy of the agency's estimate of the burden of 
the proposed collection of information, including the validity of the 
methodology and assumptions used;
    3. Enhance the quality, utility, and clarity of the information to 
be collected; and
    4. Minimize the burden of the collection of information on those 
who are to respond, including through the use of appropriate automated, 
electronic, mechanical, or other technological collection techniques or 
other forms of information technology, e.g., permitting electronic 
submissions of responses.

Analysis

    Agency: Department of Homeland Security (DHS).
    Title: Generic Clearance for Formative Data Collections for 
Evaluation, Research, and Evidence Building.
    OMB Number: OMB Control Number.
    Frequency: One-time collection.
    Affected Public: Participants in DHS programs being evaluated; 
participants in DHS pilots and demonstrations; recipients of DHS grants 
and individuals served by DHS grantees; comparison group members; and 
other relevant populations, such as individuals eligible for DHS 
services.
    Number of Respondents: 22,750.
    Estimated Time per Respondent: 33 minutes.
    Total Burden Hours: 12,488.

Robert Dorr,
Executive Director, Business Management Directorate.
[FR Doc. 2023-05131 Filed 3-13-23; 8:45 am]
BILLING CODE 9112-FL-P