Non-sub change memo for ERS LAFA Retail draft 9 16 2022 (1)

United States Department of Agriculture
Research, Education, and Economics
Economic Research Service

TO:

Anthony Nerino, Office of Management and Budget

FROM:

Linda Kantor, Economic Research Service

DATE:

September 15, 2022

SUBJECT:

OMB CONTROL NUMBER: 0536-0073
Non-substantive Change Resulting from the Revised Procedures for the Request to

Conduct Exploratory Semi-Structured Interviews on Retail Food Loss

This memo describes revisions to the data collection and data management procedures for the
semi-structure interviews with retail companies that are being conducted as part of the approved
information request titled, Request to Conduct Exploratory Semi-Structured Interviews on Retail
Food Loss.
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Challenges around transferring the interview recordings from the Zoom environment to
the contractor’s (RTI International) Enhanced Security Network, as well as assessment of
how the recordings would be used after the interviews led us to decide that we could
capture key information from the interviews directly in RTI’s Enhanced Security
Network environment via electronic notes instead of recording the interviews. We believe
this change will not impact the quality of the data collected and will improve security
compared to the original plan. As detailed below, we revised the OMB memo and
relevant appendices to remove information regarding recording the interviews.

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Because of the assurances regarding data confidentiality provided under CIPSEA, we
determined that ERS will have access to the raw interview data and the identity of the
companies interviewed. As detailed below, we revised the OMB memo and relevant
appendices to remove information indicating that ERS would not have access to the data.

As detailed below, the OMB memo and affected appendices have been updated to reflect these
changes.
OMB Memo:
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Deleted the statement on page 9, “ERS will not know the identity of the companies
selected and the companies that decide to participate in the interviews.”
Eliminated Appendix F-1, the disclaimer, since this information is now incorporated into
the informed consent (now labeled as Appendix F) and changed references to the number
of attachments sent recruited retailers from three to two (multiple pages in memo).
Deleted the statement on page 12, “and will solicit companies’ feedback on RTI’s
proposed data confidentiality and security procedures” because the protections under
CIPSEA are well defined.
Mail Stop 1800 · 1400 Independence Avenue, SW · Washington, D.C. 20250-0002
(202) 694-5000 · www.ers.usda.gov
USDA is an equal opportunity provider and employer.

MEMO TO:
FROM:
DATE:
PAGE:

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Anthony Nerino
Linda Kantor
9/XX/2022
2

On page 12, noted specifically that Qualtrics will be used to obtain informed consent
electronically (previously stated “a link”).
On page 13, deleted the statement, “Additionally, RTI will ask each participant for their
verbal consent to record the interview immediately before conducting the interview. If
any participant does not give their consent to record, RTI will still conduct the interview.
The recordings will only be used to supplement the notes; transcripts will not be prepared
from the recordings.”

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On page 13, deleted the statement, “RTI will use the interview responses to prepare a
summary report for ERS. RTI will report aggregate information and will not associate
information in the report with individual companies.

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On page 13, deleted the statement, “Under no circumstances will the interview responses
(contained in the Word and Excel files) be transferred outside of RTI’s Enhanced
Security Network (i.e., they will not be stored on computer hard drives or external
memory devices) or transferred to ERS.”

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On page 13, revised the bullet regarding data destruction to state, “and the Excel file used
to organize and summarize the interview data will be transferred to ERS’s secure
FISMA-moderate cloud-based network using FISMA-moderate Kiteworks file sharing
network. RTI will destroy the files on their Enhanced Security Network and provide
documentation of the destruction to ERS.

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On page 16, added text to note that the following statements will be displayed in the
informed consent for the interview and the “Assurance of Confidentially” box
“The data are being collected under the Confidential Information Protection and
Statistical Efficiency Act, otherwise known as CIPSEA. CIPSEA provides protection for
information collected for statistical purposes under a pledge of confidentiality. CIPSEAprotected information is not subject to Freedom of Information Act requests. RTI will
combine your interview responses with the responses from other companies to prepare a
summary report for USDA, ERS.”

Assurance of Confidentiality: All information which would permit identification of an
individual, a practice, or an establishment will be held confidential, will be used for statistical
purposes only, will be used only by contractors authorized by USDA ERS to perform statistical
activities only when required and with necessary controls, and will not be disclosed or released
to other persons without the consent of the individual or establishment in accordance with the
Confidential Information Protection and Statistical Efficiency Act (PL-107-347). By law, every
employee as well as every agent has taken an oath and is subject to a jail term of up to five
years, a fine of up to $250,000, or both if he or she willfully discloses ANY identifiable
information about you or your company.

MEMO TO:
FROM:
DATE:
PAGE:

Anthony Nerino
Linda Kantor
9/XX/2022
3

Attachments:
Appendix E-2: Scheduling Email – Participant Identified for Non-FMI Members or FMI
Referral.
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On page 1, removed mention of the disclaimer.
Added the following statement on page 1, “Please note that all participants in the
interview will need to sign the informed consent; please provide us with email addresses
for any additional attendees so that we can send them the informed consent prior to the
interview.”

Appendix F: Informed Consent for Interviews.
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On page 1, removed mention of the disclaimer.
On page 1, deleted the following statements regarding recording the interviews and data
sharing.
o “The study’s confidentiality and data security procedures are described below:”
o “Permission to audio-record the interview will be obtained from each individual
at your company participating in the interview before the interview begins. If
anyone declines to be recorded, then we will not record the interview.”
o “Interview notes and audio recordings (if applicable) will be saved in individual
files on RTI’s Enhanced Security Network. Data access will be limited to a small
number of RTI study staff and will require double authentication.”
o “The individual information you provide during the interview and the name of
your company will not be shared with USDA, ERS.”
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On pages 1 and 2, added the following text followed by the “Assurance of
Confidentiality” box
o “The data are being collected under the Confidential Information Protection
and Statistical Efficiency Act, otherwise known as CIPSEA. CIPSEA
provides protection for information collected for statistical purposes under a
pledge of confidentiality. CIPSEA-protected information is not subject to
Freedom of Information Act requests. RTI will combine your interview
responses with the responses from other companies to prepare a summary
report for USDA, ERS.”

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On page 2, added text to indicate that informed consent will need to be obtained
electronically from all participants using Qualtrics.

MEMO TO:
FROM:
DATE:
PAGE:

Anthony Nerino
Linda Kantor
9/XX/2022
4

Appendix G: Informational List of Interview Questions and Topics.
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On page 1 deleted the following text:
o “USDA, Economic Research Service will never have access to your individual
interview responses and will not know the identity of companies that participate.
o The interview responses will be stored on RTI’s Enhanced Security Network
(ESN) which is designated FIPS Moderate. Access will be limited to a small
number of study staff and will require double authentication.
o RTI will only share aggregated information with USDA, Economic Research
Service in the form of a summary report.”
On page, 1 added the “Assurance of Confidentiality” box.
For Question 15 (page 3), deleted mention of the disclaimer.
For Question 16 (page 3), deleted “Are there other safeguards you would like to see
in place?”

Appendix J: Interview Guide.
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On page 1, deleted the text, “USDA, ERS will never have access to your interview
responses. We will combine your interview responses with the responses from other
companies to prepare a summary report, “ and “We will also discuss our proposed
data security procedures.”
On page 1, added the “Assurance of Confidentiality” box.
On page 1, added text to indicate that informed consent will need to be obtained
electronically using Qualtrics from all interview participants.
On page 6, revised the third bullet for Question 16 to state, “[If yes] The informed
consent provides information on the study data confidentiality and security
procedures. Do you have any questions about these procedures?”