Agency Information Collection Activities; Submission to the Office of Management and Budget for Review and Approval; Comment Request; NCES Data Security Requirements for Accessing Restricted Use Data, 30106-30108 [2023-09878]

Agencies

• DEPARTMENT OF EDUCATION

[Federal Register Volume 88, Number 90 (Wednesday, May 10, 2023)]
[Notices]
[Pages 30106-30108]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-09878]


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DEPARTMENT OF EDUCATION

[Docket No.: ED-2022-SCC-0147]


Agency Information Collection Activities; Submission to the 
Office of Management and Budget for Review and Approval; Comment 
Request; NCES Data Security Requirements for Accessing Restricted Use 
Data

AGENCY: National Center for Education Statistics, Institute of 
Education Sciences, Department of Education.

ACTION: Notice.

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SUMMARY: The National Center for Education Statistics (NCES) within the 
Institute of Education Sciences, U.S. Department of Education invites 
the general public and other federal agencies to comment on a proposed 
information collection. NCES plans to collect information from 
individuals to fulfill its data security requirements when providing 
access to restricted-use microdata for the purpose of evidence 
building. NCES'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. 
NCES published this proposal for 60 days of public comment beginning 
November 25, 2022. The purpose of this notice is to allow for an 
additional 30 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 June 9, 2023 
to be assured of consideration. Comments received after that date will 
be considered to the extent practicable. Send comments to the address 
below.

ADDRESSES: Written comments and recommendations for proposed 
information collection requests should be submitted within 30 days of 
publication of this notice. Click on this link www.reginfo.gov/public/do/PRAMain to access the site. Find this information collection request 
(ICR) by selecting ``Department of Education'' under ``Currently Under 
Review,'' then check the ``Only Show ICR for Public Comment'' checkbox. 
Reginfo.gov provides two links to view documents related to this 
information collection request. Information collection forms and 
instructions may be found by clicking on the ``View Information 
Collection (IC) List'' link. Supporting statements and other supporting 
documentation may be found by clicking on the ``View Supporting 
Statement and Other Documents'' link.

FOR FURTHER INFORMATION CONTACT: For specific questions related to 
information activities, please contact Carrie Clarady, 202-245-6347 or 
[email protected].

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. The National Center for Science and Engineering 
Statistics (NCSES) within the National Science Foundation submitted a 
Federal Register Notice in September 2022 announcing plans to collect 
information through the SAP Portal (87 FR 53793). OMB approved the SAP 
Portal for data collection in December 2022.
    Once an application for confidential data is approved through the 
SAP Portal, NCES will collect information to meet its data security 
requirements. This collection will occur outside of the SAP Portal.
    Title of the Collection: NCES Data Security Requirements for 
Accessing Restricted Use Data.
    OMB Control Number: 1850-NEW.
    Type of Review: New ICR.
    Respondents/Affected Public: State, Local and Tribal Governments.
    Total Estimated Number of Annual Responses: 80.
    Total Estimated Number of Annual Burden Hours: 60.

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 conditions, 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

[[Page 30107]]

and program managers at the local, State, Tribal, and National levels. 
The many benefits of access to data for evidence building 
notwithstanding, NCES is required by law to maintain careful controls 
that allow it to minimize disclosure risk while protecting 
confidentiality and privacy. The fulfillment of NCES's data security 
requirements places a degree of burden on individuals, which is 
outlined below.
    The SAP Portal is a web-based application for requesting 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 NCES 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 Portal

    The SAP Portal is an application interface connecting applicants 
seeking data with a catalog of 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 data catalog, 
maintained by federal statistical agencies at https://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 
metadata in the SAP data 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 curated versions of 
administrative data). A statistical agency or unit may still accept an 
application through the SAP Portal even if the requested data asset is 
not listed in the SAP data catalog.

SAP Application Process

    Individuals who have identified and wish to access confidential 
data assets are able to apply for access through the SAP Portal. 
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 proceed to provide summary information about their proposed 
project, to include project title, duration, funding, timeline, and 
other details including the data asset(s) they are requesting and any 
proposed linkages to data not listed in the SAP data catalog, including 
non-federal data sources. Applicants then proceed to 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. 
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.

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 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 IES/NCES-owned confidential data asset, NCES 
will contact the applicant(s) to initiate the process of collecting 
information to fulfill its data security requirements. This process 
allows NCES 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 NCES and the applicant's organization stipulating 
that NCES's confidential data assets are provisioned exclusively for 
statistical purposes and that the applicant must handle and use the 
data 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

[[Page 30108]]

enter the organization into a legal agreement with NCES. A Memorandum 
of Understanding is used in lieu of a restricted-use data licensing 
agreement for other government agencies.
     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),
    [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. A Security 
plan: Remote Access Only form is used in lieu of a Security plan form 
when the license is accessing data remotely.
     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) as well as the imprint of a notary 
public.
     Licensee training certificate--This document requests 
information from the applicant(s) to ensure the completion of the IES/
NCES restricted-use data license training.
    These documents and a more complete description of the NCES Data 
Security Process are available for public view during this 30D public 
comment period.

Estimate of Burden

    The amount of time to complete the agreements and other paperwork 
that comprise NCES's security requirements will vary based on the 
confidential data assets requested. To obtain access to NCES 
confidential data assets, it is estimated that the average time to 
complete and submit NCES's data security agreements and other paperwork 
and to complete the required training is 45 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 NCES'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 NCES in a given year may vary. Overall, 
per year, NCES estimates it will collect data security information for 
80 application submissions that received a positive determination 
within the SAP Portal. NCES 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 180 hours and, as 
a result, an average annual burden of 60 hours.

    Dated: May 4, 2023.
Stephanie Valentine,
PRA Coordinator, Strategic Collections and Clearance, Governance and 
Strategy Division, Office of Chief Data Officer, Office of Planning, 
Evaluation and Policy Development.
[FR Doc. 2023-09878 Filed 5-9-23; 8:45 am]
BILLING CODE 4000-01-P