Generic Clearance for Formative Data Collections for Evaluation, Research, and Evidence-Building ACTION: 30-Day notice.

U.S. DEPARTMENT OF HOMELAND SECURITY
Generic Clearance for Formative Data Collections for Evaluation, Research, and Evidence-Building
ACTION: 30-Day notice.
SUMMARY: The U.S. Department of Homeland Security (DHS) is seeking approval from the Office of
Management and Budget (OMB) for the information collection described below. In accordance with the
Paperwork Reduction Act and OMB procedures, DHS is publishing this notice to allow all interested
members of the public an additional 30 days to provide comments on the proposed collection of
information.
DATES: Submit comments on or before 07/14/2023.
ADDRESSES: Submit comments by the deadline stated in the DATES section above using any of the
following methods:
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Federal eRulemaking Portal: https://www.regulations.gov. Follow the instructions for submitting
comments. Comments submitted electronically, including attachments to https://
www.regulations.gov, will be posted to the docket unchanged.
Office of Information and Regulatory Affairs. www.reginfo.gov/ public/do/PRAMain. You can
find this information collection by selecting ‘‘Currently under Review—Open for Public
Comments’’ and searching by title, ‘‘Generic Clearance for Formative Data Collections for
Evaluation, Research, and Evidence-Building’’.
Department of Homeland Security. Tyrone Huff, Agency Clearance Officer, Compliance and
Information Services, Department of Homeland Security, [email protected], (202) 5575312.

FOR FURTHER INFORMATION CONTACT: Requests for additional information should be directed to
Tyrone Huff, Agency Clearance Officer, Compliance and Information Services, Department of Homeland
Security, [email protected], (202) 557-5312 or Rebecca Kruse, Assistant Director for Evaluation,
Program Analysis and Evaluation, Department of Homeland Security, [email protected], (202)
731-7002.
SUPPLEMENTARY INFORMATION:
Title: Generic Clearance for Formative Data Collections for Evaluation, Research, and Evidence-Building.
OMB Control Number: 1601–New.
Abstract: This Information Collection Request establishes a new generic clearance to conduct formative
studies that inform the Department of Homeland Security (DHS) evaluation, research, and evidencebuilding activities. Under this generic clearance, the DHS plans to 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:
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maintain a rigorous and relevant evaluation and research agenda,
inform the development of DHS’s future evidence-building activities,

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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 the 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 DHS’s formative studies will collect data using well-established methodologies, including but not
limited to questionnaires and surveys, semi-structured small group discussions or focus groups,
observation, interviews, cognitive interviews and user testing. To minimize the burden of information
collections approved under this clearance, the DHS will collect information electronically and/or use
online collaboration tools, as appropriate, ask for readily available information, and use short, easy-to
complete information collection instruments when possible.
Conducting formative evaluation, research, and evidence-building activities will help the DHS better
understand emerging needs and issues, identify evidence gaps, and ensure that DHS leadership and
program offices have current data and information to implement DHS programs and initiatives
successfully. The data from formative studies 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. Findings from
these formative studies will not be generalized to the broader population and are not intended to
produce influential information that is expected to have a genuinely clear and substantial impact on
major policy decisions. Information gathered may inform future evaluation, research, and evidencebuilding, which could inform future influential public policy decisions.
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 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, 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. 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.
Description of Respondents: The populations to be studied include DHS grantees, program and potential
program providers and participants, researchers, practitioners, and other stakeholder groups involved in
or eligible for DHS programs, experts in fields pertaining to DHS evaluation and research, or others
involved in conducting DHS evaluation, research, or evidence-building projects.
Estimated Number of Respondents: Below is a preliminary estimate of the aggregate burden hours for
this new collection. The Agency will provide refined estimates of burden in subsequent notices.

Description
of Data
Collection
Method
Small group
discussions
or focus
groups
Surveys or
questionnai
res
Interviews
Cognitive
interviews
or user
testing
Total

Estimated
Number of
Respondent
s

Frequency
of Response

Estimated
Annual
Responses

Estimated
Average
Minutes/
Response

Estimated
Annual
Hour
Burden

3600

1

3600

90

5400

$151,254

6750

1

6750

30

3375

$94,533

2025

1

2025

60

2025

$56,720

1125

1

1125

90

1688

$47,281

12488

$349,788

22750

22750

Estimated
Annual Cost

Estimated Number of Respondents per Activity: One response per respondent per activity.
Estimated Annual Responses: 22750.
Estimated Annual Hour Burden: 12488.
Estimated Annual Respondent Cost: $349,788.
The public is invited to submit comments regarding any aspect of this information collection, including
the following: (1) The necessity and utility of the proposed information collection for the proper
performance of the Agency’s functions; (2) the accuracy of the estimated burden; (3) ways to enhance
the quality, utility, and clarity of the information to be collected; and (4) the use of automated collection
techniques or other forms of information technology to minimize the information collection burden of
those who are required to respond to the request for information.
Tyrone Huff,
Agency Clearance Officer