Collecting Sexual Orientation 

and Gender Identity Data: 

Principles and Examples

Bob Sivinski

Office of Management and Budget
Contents

Principles 

 Utility and Quality

 Minimization

 Inclusivity and Sensitivity

 Privacy Protection

 Consistency

 Compliance

Examples

This presentation does provide new OMB guidance or 

interpret exiting guidance.
Principle: Utility and Quality

• EA: Consider whether the data collection would include enough people 

to generate statistically meaningful estimates or associations.

• EA: Minimize category errors and minimize difficult to parse “other” 

responses.

• WL/ID: If linking to other data sets, how much flexibility is there in 

question design?

• WL/ID: What are the downstream uses and linkages?

• EL: What language is in the statute or regulation?

Equity 

Analysis

Weighting

Linkage

ID 

Resolution Eligibility
DIFFERENT CONTEXTS FOR GENDER DATA COLLECTION

Context Primary Purposes Accuracy 

& Burden

Method Primary Concerns

Statistical 

Surveys

General purpose 

statistics/evidence

High Tested series (e.g., 

“3-step question”)

Categorization errors, drop-off, 

sample size, conform to 

benchmarks used in weighting, 

disaggregation, instructions

Administrative 

Forms

Program 

administration, 

insight/evaluation

Medium Single question, 

expanded list of 

options (?)

Space constraints, drop-off, 

instructions

ID Markers Respect for individual 

identity and expression

Low Single question, 

three options (M, F, 

X)

Defining ‘X’, instructions, 

Categorization errors

Clinical Forms Informing clinical care High Physical/organ 

inventory

Clinical relevance, patient 

confidentiality, comfort, trust
Principle: Minimization

Only collect the data if there are plans to use it. Only collect the 

minimum amount of information necessary to meet the planned 

uses.

• If sex or gender is already on a form but there are no current or 

planned uses, consider removing it rather than modifying it.

• It may be sufficient to know whether the individual is an SGM, 

not whether they identify with a specific gender identity or 

sexual orientation.

• Equity analysis and production of public statistics counts as a 

planned use! But agencies should also have plans to address 

possible inequity.
Principle: Inclusivity and Sensitivity

Use language that makes respondents feel accepted and respected. 

This cuts both ways! Federal forms and surveys must consider 

inclusivity and sensitivity for all respondents. Consider impacts on data 

quality and utility.

• Asking binary sex/gender can leave out a significant portion of the 

population.

• But respondents can find more detailed SGOI questions invasive or 

offensive.

• For example, asking SOGI on administrative forms could make SGM 

respondents feel like they have to out themselves in order to 

receive benefits or services.
Principle: Privacy

This is not an abstract concept; there are real risks to respondents’ 

jobs, families, access, safety, and personal relationships. When 

linked to PII, SOGI data could be used to target individuals or to 

deny them benefits or services.

Most administrative forms do not currently collect data with such 

large privacy risks. As a result, they may not have the right 

infrastructure, processes, and policies in place to protect the data.
Principle: Privacy – Agency Tools

• Talk to your SAOP

• Strip out SOGI before 

adjudication.

• Consider data held by States, 

schools, grantees, etc.

• Explicitly list allowable uses in 

regs or other binding policies.

• Informed consent: is the 

response voluntary, mandatory, 

required for a service or benefit?

• Explain possible uses to 

respondents.

• Establish data governance 

principles; access and control 

for staff.

• Have a plan for FOIA requests, 

talk your GC.

• For HR systems, allow 

employees to access and 

modify their responses.

• Dispose of historical records.
Principle: Consistency

Be as consistent as possible across the agency in 

the creation, handling, and use of this information. 

• Involve your Data Governance Council (CDO, SO, and 

EO) and create agency-wide policies and guidance. 

• Talk to your OIRA desk officer.

• Join the FCSM SOGI Interest Group to keep up with 

what other agencies are doing and learning.
Principle: Compliance

Make sure the agency has specific statutory authority to collect this 

data, and that its collection complies with relevant statutes and 

policies including:

• The Paperwork Reduction Act (PRA)

• Privacy Act

• OMB Circular A-130

• Agency data policies

• Agency or program specific authorities to collect and protect 

data
Example 1: Eligibility and Equity Analysis – 3 Step

What sex were you assigned at birth, on your original birth certificate?

□ Female

□ Male

Do you currently describe yourself as male, female, or transgender?

□ Female

□ Male

□ Transgender

□ None of these

[IF “ASSIGNED AT BIRTH” NE “CURRENTLY DESCRIBE”] Just to confirm, you were assigned 

[$MALE/$FEMALE] at birth and now you describe yourself as [$FEMALE/$MALE]. Is that correct?

□ Yes

□ No
Example 2: Eligibility (SGM) and Equity Analysis

Do you identify as LGBTQ? 

□ Yes

□ No
Example 3: Eligibility and Equity Analysis – 1 Step

Are you: 

(mark all that apply)

□ Female

□ Male

□ Transgender, non-binary, or another gender
Example 4: ID Resolution, Linkage, and Eligibility

Are you:

□ Male

□ Female

□ Unspecified or another gender identity
Example 5: Equity Analysis and Eligibility 

Do you or your organization identify with any of the following groups that the federal 

government, in Executive Order 13985, has identified as underserved? Check all that 

apply.

a) Black, Latino, and Indigenous and Native American persons, Asian Americans 

and Pacific Islanders, and other persons of color

b) Members of religious minorities

c) Lesbian, gay, bisexual, transgender, and queer (LGBTQ) persons

d) Persons with disabilities

e) Persons who live in rural areas

f) Persons otherwise adversely affected by persistent poverty or inequality

g) No, I do not identify with any of these groups
Example 6: Sexual Orientation

Which of the following best describes how you think of yourself?

□ Gay or lesbian

□ Straight, that is not gay or lesbian

□ Bisexual

□ Something else (specify) _______________

□ I don’t know
Thank You

Questions?

Bob Sivinski

Statistical and Science Policy

Office of Management and 

Budget

rsivinski@omb.eop.gov

fcsm.gov