NCHS and Census Research Proposals Katie Genadek, PhD RMRDC Administrator University of Colorado katie.r.genadek@colorado.edu IBS Room 423

Proposal Differences by Agency:   Census NCHS Approval % 70 nearly 100 Time to Approval 3-4 months on average less on average Benefit to Agency PPS Required Not Required Fee None $1200 extract Scope Broad (max of 30 pages) Precise

NCHS Proposals

What data is this? Health Survey data from NCHS NHANES NHIS Health administrative data Vital Records MEPS data

Proposal Process: Write proposal – follow outline Fill out forms Create data dictionary Submit proposal to NCHS for review Work with assigned analyst https://www.cdc.gov/rdc/index.htm

Access Process NCHS Once proposal approved, request data extraction $1,200-$2,500 fee for more extensive extraction Pass on-line training Access data RDC (SSS required) Work with data extract from NCHS in RDC Output is reviewed by NCHS analyst, then emailed Disclosure review for manuscripts

Timeline for NCHS Projects Timeline dependent on agency, analyst and data you are working with Usually between 1-3 months Census approval NOT required Once approved we start SSS (1-3+ months)

Special Sworn Status SSS is authorized by Title 13 U.S.C. 23 (c) "to assist the Bureau of the Census in performing the work authorized by this title.” The Census Bureau may provide SSS to an individual When an individual has expertise or specialized knowledge that can contribute to the accomplishment of Census Bureau projects or activities or engages in a joint project with the Census Bureau; When an individual is employed by an agency/organization performing a service for the Census Bureau under contract or providing information to the Census Bureau for statistical purposes; When Federal law requires an individual to audit, inspect, or investigate Census Bureau activities.

Background Check Off-line paperwork and documentation On-line trainings and certifications Background check Submitted online and followed with interview Residential history Foreign travel Education and employment history References Fingerprinting

Census (and other) Data Proposals

Economic data Demographic data LEHD data Other surveys available What data is this? Economic data Demographic data LEHD data Other surveys available

Process: Contact RDC Administrator with plan, get starter packet Write first draft of proposal Work with Administrator on refining proposal description Work on PPS and Abstract Submit to administrator – submit to Census Once Approved - SSS

Proposal Package Proposal Description Benefit to the Census Bureau (Predominate Purpose Statement/PPS) Abstract

Components of Proposal Description: Personnel and Time Frame Project Description (scientific merit, methods, feasibility, why requires restricted data) Dataset(s), Variables, Geography Results Expected and Disclosure Avoidance Strategies

Writing the proposal: perspective The perspective of your proposal is driven toward the predominant purpose or “the Census Bureau benefit.” Your audience includes mostly data experts Your proposal is a request for data showing your project: has 2 possible benefits to the Census Bureau is feasible emphasizes statistical models vs. tabular output has scientific merit clearly needs restricted use data falls within the Census Bureau mandate indicates an understanding of the appropriate disclosure avoidance protections

Proposal Description 15-25 pages Sections: Introduction Background / Literature Review Data & Methods Output / Disclosure Risk Papers needs to be thought out thoroughly during proposal process / before data are released Timeline / Project Duration Conclusion

Description Be clear about the importance of using restricted use data Specify your exact sample for each analysis in paper Research question, hypotheses, variables, expected outcome, models, sample information, how data will be linked Describe empirical methodology, including equations Clarify the relationship between your specifications and the data

Timeline of Project Often 3-5 years List of major milestones When will you complete the matching of datasets, construction of extracts, etc. How do you expect the project to unfold When will you request disclosure Extensions often not granted

Conclusion “upon completion of the project.… we will include a report describing how the research project met Title 13, Chapter 5 requirement.. ……We will also provide all programs, outputs, and findings to the Census Bureau and submit a technical paper to the Working Paper Series”

Benefits to the Census Bureau Predominant Purpose Statement Not a pro forma requirement Legal basis on which researchers are allowed access to restricted use data Must provide 2 benefits Outline for PPS Administrator will help

Benefits 1. Evaluating concepts and practices underlying Census Bureau statistical data collection and dissemination practices, including consideration of continued relevance and appropriateness of past Census Bureau procedures to changing economic and social circumstances; 2. Analyzing demographic and social or economic processes that affect Census Bureau programs, especially those that evaluate or hold promise of improving the quality of products issued by the Census Bureau; 3. Developing means of increasing the utility of Census Bureau data for analyzing public programs, public policy, and/or demographic, economic, or social conditions; and 4. Conducting or facilitating census and survey data collection, processing or dissemination, including through activities such as administrative support, information technology support, program oversight, or auditing under appropriate legal authority. 5. Understanding and/or improving the quality of data produced through a Title 13, Chapter 5 survey, census, or estimate; 6. Leading to new or improved methodology to collect, measure, or tabulate a Title 13, Chapter 5 survey, census, or estimate; 7. Enhancing the data collected in a Title 13, Chapter 5 survey or census. For example: improving imputations for non-response; developing links across time or entities for data gathered in censuses and surveys authorized by Title 13, Chapter 5; 8. Identifying the limitations of, or improving, the underlying Business Register, Master Address File, and industrial and geographical classification schemes used to collect the data; 9. Identifying shortcomings of current data, collection programs and/or documenting new data collection needs; 10. Constructing, verifying, or improving the sampling frame for a census or survey authorized under Title 13, Chapter; 11. Preparing estimates of population and characteristics of population as authorized under Title 13, Chapter 5; 12. Developing a methodology for estimating non-response to a census or survey authorized under Title 13, Chapter 5; 13. Developing statistical weights for a survey authorized under Title 13, Chapter 5.

Approval Process Step 1: Approval from RDC Administrator Step 2: Census approval Step 3: Sponsoring or other agency approval Step 4: Background check and SSS

Special Sworn Status SSS is authorized by Title 13 U.S.C. 23 (c) "to assist the Bureau of the Census in performing the work authorized by this title.” The Census Bureau may provide SSS to an individual When an individual has expertise or specialized knowledge that can contribute to the accomplishment of Census Bureau projects or activities or engages in a joint project with the Census Bureau; When an individual is employed by an agency/organization performing a service for the Census Bureau under contract or providing information to the Census Bureau for statistical purposes; When Federal law requires an individual to audit, inspect, or investigate Census Bureau activities.

Background Check Off-line paperwork and documentation On-line trainings and certifications Background check Submitted online and followed with interview Residential history Foreign travel Education and employment history References Fingerprinting

Timeline – Census Projects Plan on 6 to 12 months from submission total Census Approval (~3 months) Possible other agency/state approval Title 13 (Census approval only) vs. Title 26 (Census & IRS approval) IRS Approval 1 month – 6 months Other Agency Approval State approval for LEHD 30 days Once Census approved, start SSS (1-3+ months)

Helpful hints Know the data Have your data ready Online metadata Public data Work with me (especially on CB data) Have your data ready Plan for your timeline Colleagues and students – work together

How you can speed up the process: Proposal takes the most amount of time – block off time Work closely with local RDC on proposal development and on any requested revisions or clarifications Providing the terms of use for any datasets they wish to bring to the lab. Process Special Sworn Status (SSS) paperwork quickly.

Once in the Rocky Mountain RDC Research conducted on site Restricted area with badge access No internet, phones or personal computers allowed in lab No paper or output allowed outside of lab Disclosure Avoidance review required to present results Discussion of specific results allowed only inside RDC (even among co-authors)

Output / Disclosure Avoidance Review No output can leave the RDC without review Clear understanding of samples No individual person or business can be identifiable in release Performed by Administrator and the Center for Disclosure Avoidance Review 2-3 weeks (in general) Intermediate output discouraged Descriptive results may be problematic Focus on statistical data for release

Completing papers and a project At least one CES working paper Report all working papers, presentations and publications to administrator annually Write short annual report on progress Write final report on project

Discussion papers, reference papers, data introductions Business Register DeSalvo, Bethany, Frank Limehouse, and Shawn D. Klimek. “Documenting the Business Register and Related Economic Business Data.” US Census Bureau Center for Economic Studies Paper No. CES-WP-16-17 (2016). Patents and Firms Graham, Stuart JH, et al. “Business Dynamics of Innovating Firms: Linking US Patents with Administrative Data on Workers and Firms.” Georgia Tech Scheller College of Business Research Paper 30 (2015). Kerr, William, and Shihe Fu. The Industry R & D Survey: Patent Database Link Project. Center for Economic Studies, US Department of Commerce, Bureau of the Census, 2006. An ‘Algorithmic Links with Probabilities’ Crosswalk for USPC and CPC Patent Classifications with an Application Towards Industrial Technology Composition The Longitudinal Business Database (LBD) Jarmin, Ron S., and Javier Miranda. “The longitudinal business database.” Available at SSRN 2128793 (2002). Geography and Demography Davis, James C., and Brian P. Holly. “Regional analysis using Census Bureau microdata at the center for economic studies.” International Regional Science Review3 (2006): 278-296. Longitudinal Employer-Household Dynamics (LEHD) Vilhuber, Lars, and Kevin McKinney. LEHD Infrastructure files in the Census RDC-Overview. No. 14-26. 2014. Goetz, Christopher, et al. The Promise and Potential of Linked Employer-Employee Data for Entrepreneurship Research. No. w21639. National Bureau of Economic Research, 2015. Annual Survey of Entrepreneurs Foster, Lucia, and Patrice Norman. “The Annual Survey of Entrepreneurs: An Introduction.” US Census Bureau Center for Economic Studies Paper No. CES-WP-15-40 (2015).

More Help? Contact the RMRDC Director and Administrator for: data availability project budget and timeline contact information For Census projects, the Administrator will give invaluable guidance on the proposal development process the benefits to Census (PPS) help navigate the project approval process

Contact Information: Katie Genadek: katie.r.genadek@colorado.edu Jani Little: jani.little@colorado.edu