IP_ICR_Supporting_Statements B

"OMB CONTROL No."

SUPPORTING STATEMENT B FOR

OFFICE OF INFRASTRUCTURE PROTECTION

STAKEHOLDER INPUT PROJECT

1670-NEW

B. Collection of Information Employment Statistical Methods

The agency should be prepared to justify its decision not to use statistical methods in any case where such methods might reduce burden or improve accuracy of results. When Item 17 on the Form OMB 83-I is checked "Yes", the following documentation should be included in the Supporting Statement to the extent that it applies to the methods proposed:

1. Describe (including a numerical estimate) the potential respondent universe and any sampling or other respondent selection methods to be used. Data on the number of entities (e.g., establishments, State and local government units, households, or persons) in the universe covered by the collection and in the corresponding sample are to be provided in tabular form for the universe as a whole and for each of the strata in the proposed sample. Indicate expected response rates for the collection as a whole. If the collection had been conducted previously, include the actual response rate achieved during the last collection.

The respondent universe consists of current or potential users of DHS/IP’s products, services, and programs. Specifically, this respondent universe consists of the following:

• Critical infrastructure and key resource (CIKR) owners and operators, first responders, and/or public sector officials from the following 18 critical infrastructure sectors:

Table 3 – Critical Infrastructure Sectors

Agriculture and Food	Banking and Finance
Chemical	Commercial Facilities
Communications	Critical Manufacturing
Dams	Defense Industrial Base
Emergency Services	Energy
Government Facilities	Healthcare and Public Health
Information Technology	National Monuments and Icons
Nuclear Reactors, Materials, and Waste	Postal and Shipping
Transportation Systems	Water

• Within these 18 sectors, critical infrastructure owners and operators include private and public sector owners and operators in charge of the day-to-day security and protection of critical infrastructure. First responders and/or public sector officials include state, local, territorial, and tribal governments in charge of implementing the Homeland Security mission, protecting public safety and welfare, and ensuring the provision of essential services to communities and industries within their jurisdiction

The sample population for this information collection effort will be obtained from the following sources:

• Stakeholder contacts from the Protective Security Advisors (PSAs), consisting of approximately 5800 contacts

• Members of the 18 Sector Coordinating Councils (SCCs), 18 Government Coordinating Councils (GCCs), the State, Local, Territorial, and Tribal Government Coordinating Council (SLTTGCC), and the Regional Consortium Coordinating Council (RCCC)

• Stakeholders involved in the SLTTGCC Alliance network

• First responder contacts from the Emergency Services Sector-Specific Agency (SSA)

• Registered users of the Homeland Security Information Network (HSIN)

• Stakeholders contacts from the State Homeland Security Advisors (State HSAs)

• DHS/IP partner association members, where IP coordinates with over 700 associations

The response rate during the first year of this collection effort will serve as baseline for future years and will allow DHS/IP to determine areas where additional focus is required in order to increase the response rate for this effort.

2. Describe the procedures for the collection of information including:

DHS/IP staff or third party contractor will conduct and monitor the Internet survey.

• Statistical methodology for stratification and sample selection,

The sampling frame will be divided by critical infrastructure sector strata and whether they are infrastructure owner/operator or first responder.

• Estimation procedure,

Respondent data will be summarized and no inferences will be made to a larger population.

• Degree of accuracy needed for the purpose described in the justification,

For quantitative information collection efforts associated with this clearance, overall results, to the extent feasible, shall have at least a 95% confidence interval with ±5% margin of error, and important subgroup results shall have at least a 95% confidence interval with ±10% margin of error.

• Unusual problems requiring specialized sampling procedures, and

Specialized sampling procedures will not be needed for this survey.

• Any use of periodic (less frequently than annual) data collection cycles to reduce burden.

DHS/IP intends to implement this survey either annually or biennially.

3. Describe methods to maximize response rates and to deal with issues of non-response. The accuracy and reliability of information collected must be shown to be adequate for intended uses. For collections based on sampling, a special justification must be provided for any collection that will not yield "reliable" data that can be generalized to the universe studied.

Participation in the survey is voluntary. To maximize response rates, the following communications will be made:

Communications with general information on the survey sent prior to the survey

• Communication memos to the Sector-Specific Agencies with information on the project and its purpose

• Assistant Secretary speeches to the Federal Senior Leadership Council, SCCs, GCCs, RCCC, and the SLTTGCC regarding the project and the importance of receiving feedback from its stakeholders

• Frequently Asked Questions document provided to PSAs and other DHS/IP employees containing information on the project and how to answer questions regarding the survey

• Communication memos sent to the SCCs, GCCs, RCCC, and the SLTTGCC with information on the project and its purpose

Communications to be sent one or two weeks prior to the distribution of the survey

• Pre-written communication memos to be sent from PSAs to their stakeholders informing them of the survey and its importance and that they will be receiving an email with a survey link within the next two weeks

• Pre-written communication memos to be sent from SLTTGCC executive secretariat to the SLTTGCC Alliance membership informing them of the survey and that they will be receiving an email with a survey link within the next two weeks

• Pre-written communication memos to be sent from DHS/IP’s partner associations to their membership informing them of the survey and that they will be receiving an email with a survey link within the next two of weeks

• Pre-written communication memos to be sent from Deputy State HSAs to their stakeholders informing them of the survey and that they will be receiving an email with a survey link within the next two weeks

Communications while survey is open for responses

• Email containing instructions and web link to the survey

  • To track the response rate by stakeholder group, each web link sent to a specific stakeholder group will be different. However, the multiple web links will direct each respondent to the same survey

• Reminder email sent to potential respondents to respond to the survey prior to the closing date

The survey will be monitored as respondents are replying to the survey to determine if more communications are needed to specific stakeholder groups to improve the response rate

Additionally, the design of the survey will include the following approaches to maximize response rates:

• Incorporate skip logic into the survey questionnaire to ensure the respondents only answer questions that relate to them

• Pretest the survey questions with DHS/IP staff

• Pledge confidentiality to the extent allowable by law

4. Describe any tests of procedures or methods to be undertaken. Testing is encouraged as an effective means of refining collections of information to minimize burden and improve utility. Tests must be approved if they call for answers to identical questions from 10 or more respondents. A proposed test or set of tests may be submitted for approval separately or in combination with the main collection of information.

The survey will be pre-tested by DHS consultants and DHS/IP staff for ease of comprehension and to test the amount of time to complete the survey. Results of these initial pre-tests will be used to further refine the information collection, reduce respondent burden, and improve the usefulness of the information received.

5. Provide the name and telephone number of individuals consulted on statistical aspects of the design and the name of the agency unit, contractor(s), grantee(s), or other person(s) who will actually collect and/or analyze the information for the agency.

The following individuals are providing continued oversight of the statistical aspects of the design and the collection and analysis of the information collected through the survey:

• Cristin Fullem, DHS/IP, 703-235-8147

• Jorge Fraga, JRD & Associates, Inc., 305-662-7228 ext. 303

• Isabel Stillone Behm, JRD & Associates, Inc., 305-662-7228, ext.302

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