[Federal Register Volume 60, Number 110 (Thursday, June 8, 1995)]
[Proposed Rules]
[Pages 30438-30456]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-14007]




[[Page 30437]]

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Part VI





Office of Management and Budget





_______________________________________________________________________



5 CFR Part 1320



Controlling Paperwork Burdens on the Public; Regulatory Changes 
Reflecting Recodification of the Paperwork Reduction Act; Proposed Rule

  Federal Register / Vol. 60, No. 110 / Thursday, June 8, 1995 / 
Proposed Rules   
[[Page 30438]] 

OFFICE OF MANAGEMENT AND BUDGET

5 CFR Part 1320


Controlling Paperwork Burdens on the Public; Regulatory Changes 
Reflecting Recodification of the Paperwork Reduction Act

AGENCY: Office of Management and Budget, Executive Office of the 
President.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The recently enacted Paperwork Reduction Act of 1995 replaces 
the Paperwork Reduction Act of 1980, as amended by the Paperwork 
Reduction Reauthorization Act of 1986. The new Act redefines 
``collection of information'' explicitly to include third-party and 
public disclosures, requires agencies to seek public comment concerning 
proposed collections of information through 60-day notice to the public 
before submission for clearance by the Office of Management and Budget 
(OMB) and thereafter to certify to OMB, e.g., that the proposed 
collection reduces to the extent practicable and appropriate the burden 
on respondents for small business, local government, and other small 
entities, and indicates for each recordkeeping requirement the length 
of time persons are required to maintain the records specified. The new 
Act also makes more explicit the responsibilities of agencies in 
developing proposed collections of information and submitting them for 
OMB review and approval, and changes a number of definitions and other 
provisions. OMB is proposing to amend its existing paperwork clearance 
rules to reflect these and the other legislative changes made by the 
Paperwork Reduction Act of 1995.

DATES: Comments must be received on or before August 7, 1995.

ADDRESSES: Please address all written comments to Jefferson B. Hill, 
Office of Information and Regulatory Affairs, OMB, Washington, D.C. 
20503. Comments may be submitted via facsimile to 202/395-7285. 
Electronic mail comments may be submitted via SMTP to 
[email protected] or via X.400 to G=Jefferson, S=Hill, PRMD=gov+eop, 
ADMD+telemail, C=us. Comments submitted via electronic mail should 
include the commenter's name, affiliation, postal address, and e-mail 
address in the text of the message.

FOR FURTHER INFORMATION CONTACT: Jefferson B. Hill, Office of 
Information and Regulatory Affairs, OMB, Washington, D.C. 20503 (202/
395-7340). Inquiries may be submitted via facsimile to 202/395-7285. 
Electronic mail comments may be submitted via SMTP to 
[email protected] or via X.400 to G=Jefferson, S=Hill, PRMD=gov+eop, 
ADMD+telemail, C=us. Inquiries submitted via electronic mail should 
include the commenter's name, affiliation, postal address, and e-mail 
address in the text of the message.
SUPPLEMENTARY INFORMATION:

A. Background

    On May 10, 1988, the Office of Management and Budget (OMB) issued 5 
CFR Part 1320--Controlling Paperwork Burden on the Public [53 FR 
16618]. The 1988 rule implemented the provisions of the Paperwork 
Reduction Act of 1980 (Pub. L. 96-511, 44 U.S.C. Chapter 35), as 
amended by the Paperwork Reduction Reauthorization Act of 1986 (Pub. L. 
99-500 (October 18, 1986) and 99-591 (October 30, 1986), section 
101(m)), concerning agency responsibilities for obtaining OMB approval 
of their collection of information, and other paperwork control 
functions.
    The Paperwork Reduction Act of 1995 (Pub. L. 104-13 (May 22, 1995)) 
replaces the Paperwork Reduction Act of 1980, as amended in 1986. The 
Paperwork Reduction Act of 1995 takes effect on October 1, 1995. The 
procedural requirements of the Paperwork Reduction Act of 1980, as 
amended in 1986, will continue to apply to collections of information 
approved by OMB on or before September 30, 1995, and which have a valid 
OMB control number expiring after that date.
    OMB is proposing to amend 5 CFR Part 1320 in order to reflect the 
legislative recodification of the Paperwork Reduction Act. In proposing 
these amendments, OMB is fully cognizant of the legislative intent of 
the draftsmen: ``To the extent the revision is a restatement of the 
Paperwork Reduction Act of 1980, as amended in 1986, the legislation is 
a reaffirmation of the law's scope, underlying purposes, requirements, 
and legislative history. It is the intent of the [Senate] Committee 
that the Act's prior legislative history remain unchanged and continue 
to be viewed an important explanation of the Congressional intent 
underpinning the Act's provisions'' (S. Rpt. 104-8, p. 35; see H. Rpt. 
104-37, p. 35; H. Rpt. 104-99, pp. 27-28).
    These proposed amendments change the order and structure of the 
existing rules in order to clarify agency and OMB responsibilities, and 
to elaborate upon the various requirements of the Paperwork Reduction 
Act of 1995. The scope of these proposed changes, their legislative 
basis, and their relation to the existing rule are described below. The 
rationale supporting the existing rules is set forth at 53 FR 16618 
(May 10, 1988), 52 FR 27768 (July 23, 1987), 48 FR 13666 (March 31, 
1983), and 47 FR 39515 (September 8, 1982). References to ``44 U.S.C. 
[section number]'' are references to the Paperwork Reduction Act of 
1995, Pub. L. 104-13, unless explicitly stated otherwise.

B. Proposed Section 1320.1--Purpose

    Proposed Sec. 1320.1 is equivalent to existing Sec. 1320.1. Added 
to the proposed Sec. 1320.1 is a statement that the new rule is 
designed to maximize the practical utility and public benefit of the 
collection of information, an addition reflecting the legislative 
changes in 44 U.S.C. 3501(2) and 44 U.S.C. 3504(c)(4). Deleted from the 
proposed Sec. 1320.1 is a reference to inter-agency reporting, a 
deletion reflecting the proposed deletion of existing Sec. 1320.17.

C. Proposed Section 1320.2--Effect

    Proposed Sec. 1320.2 serves the same function as existing 
Sec. 1320.2. The proposed Sec. states the effective date of the new 
rule, and is derived from section 4 of Pub. L. 104-13.

D. Proposed Section 1320.3--Definitions

    Proposed Sec. 1320.3 is equivalent to existing Sec. 1320.7. While 
proposed Sec. 1320.3 serves the same function, OMB is proposing a 
number of changes.
    Proposed Sec. 1320.3(a) defining ``agency'' is substantively 
identical to existing Sec. 1320.7(a).
    Proposed Sec. 1320.3(b): This paragraph defining ``burden'' is 
equivalent to existing Sec. 1320.7(b), except that it is amended to 
reflect the legislative changes in 44 U.S.C. 3502(2). The detail added 
by 44 U.S.C. 3502(2) clarifies the scope of this definition by 
codifying OMB practice and understanding. As the floor manager for the 
Paperwork Reduction Act of 1995, Senator Sam Nunn, stated at final 
Senate passage, this bill ``modifies the Act's definition of burden to 
capture the full range of regulatory paperwork compliance costs'' (141 
Cong. Rec. S5399 (April 6, 1995)).
    Proposed Sec. 1320.3(c): This paragraph defining ``collection of 
information'' serves the same function as existing Sec. 1320.7(c), but 
has been amended in one respect. Paragraph (c)(4) is equivalent to and 
a combination of existing Sec. 1320.7(s) (``Ten or more persons'') and 
the last two sentences in existing Sec. 1320.7(n) (``Person''), but is 
moved to become a part of proposed Sec. 1320.3(c) in order to make it 
clear that the limitations in paragraph (c)(4) apply 
[[Page 30439]] only to the use of ``person'' in the context of ``ten or 
more persons.'' In addition, the definition retains the ``third-party'' 
disclosure language found in existing Sec. 1320.7(c)(2). OMB's 
interpretation of ``collection of information'' to include third-party 
disclosures had been rejected by the Supreme Court in Dole v. United 
Steelworkers of America, 494 U.S. 26 (1990), but was reaffirmed by 
Congress in the 1995 Act (see 44 U.S.C. 3502(3)). In this regard, one 
non-substantive change has been made. The reference to ``disclosure 
requirements'' in existing Sec. 1320.7(c)(1) has been replaced by 
``posting, notification, labeling, or similar disclosure requirements'' 
in proposed new Sec. 1320.3(c)(1), in order to parallel the formulation 
in proposed new Sec. 1320.3(c)(2) (``through posting, notification, 
labeling or similar disclosure requirements''), which is taken from 
existing Sec. 1320.7(c)(2).
    Proposed Sec. 1320.3(d): This paragraph defining ``conduct or 
sponsor'' is equivalent to existing Sec. 1320.7(r) (``Sponsor''), which 
defined both the conducting, and the sponsoring, of a collection of 
information. The definition is amended to reflect the legislative 
changes in 44 U.S.C. 3502(3)(A).
    Proposed Sec. 1320.3(e) defining ``Director'' is equivalent to 
existing Sec. 1320.7(d).
    Proposed Sec. 1320.3(f): This paragraph defining ``display'' is 
equivalent to existing Sec. 1320.7(e), but is amended in several ways 
to clarify that ``display'' can be interpreted in common-sense ways 
appropriate for electronic media, the Federal Register, and the Code of 
Federal Regulations. As the Conference Report explains, ``[f]or 
collections of information contained in a rule, agencies must provide 
the required information in a manner reasonably calculated to inform 
the public. Notice may be provided in the preamble to a final rule 
containing the collection of information, or in a general notice in the 
volume of the Code of Federal Regulations in which the agency's 
regulations appear.'' H. Rep. 104-99, p. 37. These examples are 
illustrative; the information may also be set forth, as in existing 
Sec. 1320.5(e)(2), in the regulatory text of the final rule (including 
through a technical amendment), or, as in proposed new 
Sec. 1320.3(f)(2), in a separate notice in the Federal Register 
announcing OMB approval.
    Proposed Sec. 1320.3(g) defining ``independent regulatory agency'' 
is equivalent to existing Sec. 1320.7(h).
    Proposed Sec. 1320.3(h): This paragraph defining ``information'' 
and the subparagraphs defining exemptions thereto are, with two 
changes, identical to existing Sec. 1320.7(j). The exemption for 
``certifications'' in existing Sec. 1320.7(j)(1) is clarified in order 
to ensure that the exempted certification is used only to identify an 
individual in a routine, non-intrusive, non-burdensome way. The 
exemption will not be available for a certification that substitutes 
for a collection of information to collect evidence of, or to monitor, 
compliance with regulatory standards.
    Proposed Sec. 1320.3(i) defining ``OMB'' is added for clarity.
    Proposed Sec. 1320.3(j) defining ``penalty'' is equivalent to 
existing Sec. 1320.7(m). The word ``penalty'' is used in proposed 
Sec. 1320.6, and is based on 44 U.S.C. 3502(14).
    Proposed Sec. 1320.3(k): This paragraph defining ``person'' is 
equivalent to existing Sec. 1320.7(n), except that the last two 
sentences in existing Sec. 1320.7(n) have been moved to proposed 
Sec. 1320.3(c)(4) (``collection of information''). The purpose for 
placing the limitations on the definition of ``person'' into proposed 
Sec. 1320.3(c)(4) is to make it clear that the limitations in paragraph 
(c)(4) apply only to the use of the word ``person'' in the context of 
``ten or more persons.''
    Proposed Sec. 1320.3(l): This paragraph defining ``practical 
utility'' is equivalent to existing Sec. 1320.7(o), but is amended in 
the final sentence to incorporate the definition of ``general purpose 
statistics'' in existing Sec. 1320.7(i).
    Proposed Sec. 1320.3(m): This paragraph defining ``recordkeeping 
requirement'' is equivalent to existing Sec. 1320.7(p), but is amended 
to reflect the legislative changes in 44 U.S.C. 3502(13). As with the 
definition of ``collection of information'' in existing Sec. 1320.5(p), 
although less explicitly, the definition of ``recordkeeping 
requirement'' in existing Sec. 1320.7(p) included requirements that 
persons maintain information for third parties. The precise scope of 
existing Sec. 1320.5(p) was placed into some question by the Supreme 
Court's decision in Dole v. United Steelworkers of America, 494 U.S. 26 
(1990). However, in Action Alliance of Senior Citizens of Greater 
Philadelphia v. Sullivan, 930 F.2d 77 (D.C. Cir.), cert. denied, 502 
U.S. 938 (1991), the Court of Appeals for the District of Columbia 
Circuit rejected a broad reading of Dole, in the context of a 
requirement to maintain (rather than disclose) information for third 
parties. In the 1995 Act, Congress clarified the scope of 
``recordkeeping requirement'' in 44 U.S.C. 3502(13).

E. Proposed Section 1320.4--Coverage

    Proposed Sec. 1320.4 is equivalent to existing Sec. 1320.3, but is 
amended to reflect the legislative rewording in 44 U.S.C. 3502(3)(B) 
and 3518(c)(i)(D). No substantive change is intended in this section.
    Paragraph (b) is based on 44 U.S.C. 3518(c)(2). Agencies from time 
to time investigate general operations of their programs, to assess 
factors including performance against statutory or regulatory 
objectives, the effectiveness of financial systems, or the efficiency 
of automated data systems. These programmatic reviews often involve 
surveys or other means of posing identical questions to ten or more 
persons without a focus on ``specific individuals or entities.'' Under 
44 U.S.C. Sec. 3518(c)(2) and proposed paragraph 1320.4(b), the 
collection of information during such general programmatic 
investigations (other than information collected in an antitrust 
investigation, as specified) are covered by the Act when ``undertaken 
with reference to a category of individuals or entities such as a class 
of licensees or an entire industry.'' However, as is made clear in 44 
U.S.C. Sec. 3518(c)(1)(B)(ii) and proposed paragraph 1320.4(a)(2), 
investigations are exempt from the Act when they involve ``an agency 
against specific individuals or entities.''
    Thus, for example, the Act does not apply to a law enforcement 
investigation to determine whether persons are in compliance with the 
law. See, e.g., Phillips Petroleum Co. v. Lujan, 963 F.2d 1380, 1382-
83, 1386-87 (10th Cir. 1992) (Paperwork Act does not apply to ``an 
audit of the propriety of the royalty and other payment made by'' two 
mineral lessees; the audit ``clearly falls within the parameters of 
th[e] exemption'' for ``an administrative action or investigation 
involving an agency against specific individuals or entities''); United 
States v. Saunders, 951 F.2d 1065, 1066-67 (9th Cir. 1991) (Paperwork 
Act does not apply to an IRS summons; ``An IRS investigation of a 
taxpayer's failure to file her or his income tax return constitutes `an 
agency action against specific individuals.' ''); Lonsdale v. United 
States, 919 F.2d 1440, 1444-45 (10th Cir. 1990) (same as Saunders; 
``the Paperwork Reduction Act is inapplicable to `information 
collection request' forms issued during an investigation against an 
individual to determine his or her tax liability''). However, the Act 
does apply to a general programmatic investigation to determine whether 
the agency's program achieves its statutory objectives. [[Page 30440]] 
    Finally, when conducted by certain agency offices, including Chief 
Financial Officers or Inspectors General, an investigation often 
carries the title of ``audit.'' OMB recognizes that the Inspectors 
General have an important statutory function that requires independence 
in the conduct of their investigations. OMB seeks public comment on how 
best to implement the objectives of the Paperwork Reduction Act of 1995 
while maintaining the practical ability of the Inspectors General to 
perform their statutory functions.

F. Proposed Section 1320.5--General Requirements

    In general, proposed Sec. 1320.5 reflects a number of legislative 
changes to 44 U.S.C. 3506(c) and 3507(a), and in light of those 
legislative changes amends and consolidates provisions in existing 
Sec. 1320.4, Sec. 1320.6, Sec. 1320.11, Sec. 1320.15, and Sec. 1320.21. 
The purpose of this section is to provide a road-map of agency 
clearance obligations under this Part.
    Proposed Sec. 1320.5(a): This paragraph, in subparagraph (1)(i)-
(iii) and subparagraphs (2)-(3), provides an outline of agency and OMB 
obligations for clearing proposed collections of information under this 
Part, and reflects the legislative changes in 44 U.S.C. 3507(a).
    Paragraph 1320.5(a)(1)(iii) identifies the information that an 
agency is to submit to OMB as part of its submission of a proposed 
collection of information for clearance.
    In response to President Clinton's statement at the signing of the 
Paperwork Reduction Act of 1995, to direct agencies to permit 
electronic submission of responses, the agency, under proposed 
Sec. 1320.5(a)(1)(iii)(E), is to include in its submission to OMB a 
statement about whether (and is so, to what extent) the proposed 
collection of information involves the use of automated collection 
techniques or other forms of information technology (including 
permitting electronic submission of responses); the agency is also to 
explain to OMB its basis for this decision. This builds on activities 
undertaken earlier in the process. Proposed Sec. 1320.8(a)(5) requires 
the agency to evaluate this issue in its consideration of the 
collection of information, and proposed Sec. 1320.8(d)(1)(iv) requires 
the agency to seek public comments on this issue.
    In addition, the information to be submitted under paragraph 
1320.5(a)(1)(iii)(C) includes an explanation of the decision that it 
would not be appropriate, under proposed Sec. 1320.8(b)(1), for a 
proposed collection of information to display an expiration date. Under 
proposed Sec. 1320.5(a)(1)(iii)(D), an agency is to explain a decision 
to provide for any payment or gift to respondents, other than 
remuneration of contractors or grantees. This information also 
includes, under proposed Sec. 1320.5(a)(1)(iii)(F), a summary of the 
public comments received under proposed Sec. 1320.8(d), including 
actions taken by the agency in response to the comments, and the date 
and page of publication in the Federal Register of the notice therefor.
    This paragraph, in subparagraph (1)(iv), provides the information 
that agencies are to set forth in the Federal Register notice 
announcing that the agency has submitted a proposed information 
collection for OMB clearance. Subparagraph (1)(iv) is equivalent to 
existing Sec. 1320.15, but is amended to reflect the legislative 
changes in 44 U.S.C. 3507(a)(1)(D). Subparagraph (1)(iv) also directs 
agencies, except as provided in proposed Sec. 1320.13(d), to request 
public comments within 30 days of publication because, under 44 U.S.C. 
3507(b), OMB is directed to provide at least 30 days for public comment 
prior to making its decision concerning the agency's clearance request.
    Proposed Sec. 1320.5(b): This paragraph stresses the agency's 
obligation, under 44 U.S.C. 3512, to display a currently valid OMB 
control number and to inform the persons who are to respond to the 
collection of information that such persons are not required to respond 
to the collection of information unless it displays a currently valid 
OMB control number. This paragraph, in subparagraph (ii)(A)-(B), 
elaborates on possible ways in which the agency can so inform the 
respondents. This paragraph serves the same function in the first 
sentence in existing Sec. 1320.4(a). As noted above, with respect to 
the definition of ``display'' in proposed new Sec. 1320.3(f), the 
Conference Report explains that ``[f]or collections of information 
contained in a rule, agencies must provide the required information in 
a manner reasonably calculated to inform the public. Notice may be 
provided in the preamble to a final rule containing the collection of 
information, or in a general notice in the volume of the Code of 
Federal Regulations in which the agency's regulations appear.'' H. Rep. 
104-99, p. 37. These examples are illustrative; the information may 
also be set forth, as in existing Sec. 1320.5(e)(2), in the regulatory 
text of the final rule (including through a technical amendment), or, 
as in proposed new Sec. 1320.3(f)(2) and proposed new 
Sec. 1320.5(b)(2)(ii)(B), in a separate notice in the Federal Register 
announcing OMB approval.
    Proposed Sec. 1320.5(c): This paragraph is equivalent to existing 
Sec. 1320.11(e), and identifies the sections in this Part under which 
an agency should submit different kinds of proposed collections of 
information, specifically, for collections of information contained in 
proposed rules published for public comment in the Federal Register and 
for current regulations that were published as final rules in the 
Federal Register. Subparagraph (5) of this paragraph defines when a 
submission to OMB is deemed to have been received, and applies with 
respect to the time frames for OMB review. This subparagraph is 
equivalent to existing Sec. 1320.11(j), except that it has been revised 
to clarify that it applies only to the receipt of a ``properly 
submitted'' package. If OMB concludes that a package has not been 
``properly submitted,'' OMB will notify the agency of this conclusion 
and indicate what corrective steps need to be taken.
    Proposed Sec. 1320.5(d)(1): Subparagraph (1) of this paragraph is 
equivalent to existing Sec. 1320.4(b)(1), (b)(2), and the first two 
sentences of (b)(3). The third sentence of existing Sec. 1320.4(b)(3) 
is no longer necessary. The guidelines set forth in existing 
Sec. 1320.6 have been moved to proposed new Sec. 1320.5(d)(2), which 
immediately follows, and the requirement to discuss the ``practical 
steps'' for consultation have been superseded by the 1995 Act's 
requirements for a comment period prior to submission to OMB.
    Proposed Sec. 1320.5(d)(2). Subparagraph (2) of this paragraph is 
equivalent to existing Sec. 1320.6. Existing Sec. 1320.6(e) is now 
reflected in proposed Sec. 1320.5(a)(1)(iii)(D); existing Sec. 1320.6 
(h) and (j) are now reflected in proposed Sec. 1320.9(c) and (f); and 
existing Sec. 1320.6(k) is now reflected in proposed 
Sec. 1320.5(a)(1)(iii)(D), Sec. 1320.8(a)(5), and 
Sec. 1320.8(d)(1)(iv). These guidelines are also amended by adding 
three new provisions. Subparagraph (2)(vi) directs agencies to avoid 
using statistical data classifications that have not been reviewed and 
approved by OMB. Subparagraph (2)(vii) directs agencies to avoid 
collecting information at the request of another country or an 
international organization unless such request has been reviewed, 
coordinated, and approved by OMB. Subparagraph (2)(viii) directs 
agencies not to make confidentiality pledges to respondents unless they 
have adequate authority to honor such pledges. An agency need not 
comply with each of the policy [[Page 30441]] directives listed under 
subparagraph (2) of this paragraph if the agency is able to 
demonstrate, in its submission for OMB clearance, that such 
characteristic of the collection of information is necessary to satisfy 
statutory requirements or other substantial need.
    Proposed Sec. 1320.5(e) is substantively identical to existing 
Sec. 1320.4(c).
    Proposed Sec. 1320.5(f) is substantively identical to a combination 
of existing Sec. 1320.4(d) and Sec. 1320.11(i).
    Proposed Sec. 1320.5(g) is equivalent to existing Sec. 1320.11(h), 
but is amended to reflect the legislative changes in 44 U.S.C. 
3507(h)(3).
    Proposed Sec. 1320.5(h) is added to request agencies to consult 
with OMB before continuing to use OMB-approved forms or other 
collections of information after the expiration date printed thereon 
(e.g., using copies of old forms to conduct a collection of information 
that OMB has reapproved for continued use). Continuing to use such 
forms may confuse the public which, under proposed Sec. 1320.5(b) and 
proposed Sec. 1320.6, is being advised that absent a valid OMB control 
number the collection of information is unenforceable.

G. Proposed Section 1320.6--Public Protection

    Proposed Sec. 1320.6 is equivalent to existing Sec. 1320.5, but is 
amended to reflect the legislative changes in 44 U.S.C. 3512.
    Proposed Sec. 1320.6(a)(1) states that no person is to be subject 
to any penalty for failing to comply with a collection of information 
that is subject to the requirements of this Part if the collection of 
information does not display a currently valid OMB control number.
    Proposed Sec. 1320.6(a)(2) states that no person is to be subject 
to any penalty for failing to comply with a collection of information 
that is subject to the requirements of this Part if the agency fails to 
inform the person who is to respond to the collection of information 
that such person is not required to respond to the collection of 
information unless it displays a currently valid OMB control number.
    Proposed Sec. 1320.6(b) states that the protections provided by 44 
U.S.C. 3512(a) and proposed Sec. 1320.6(a) may be raised in the form of 
a complete, defense, bar, or otherwise to the imposition of such 
penalties at any time during the agency administrative process in which 
such penalty may be imposed or judicial action applicable thereto.
    Proposed Sec. 1320.6(c) is equivalent to existing Sec. 1320.5(b).
    Proposed Sec. 1320.6(d) is identical to existing Sec. 1320.5(c).
    Proposed Sec. 1320.6(e) is new. This paragraph points out that, 
under existing law, the public protections provided by proposed 
Sec. 1320.6(a) do not preclude the imposition of a penalty on a person 
for failing to comply with a collection of information that is imposed 
on the person by statute, e.g., 26 U.S.C. 6011(a) (statutory 
requirement for person to file a tax return), 42 U.S.C. 6938(c) 
(statutory requirement for person to provide notification before 
exporting hazardous waste).
    This paragraph is based on the principle announced by the courts in 
several cases which addressed the issue of whether the public 
protection provided by 44 U.S.C. 3512 could preclude the Federal 
government from prosecuting persons for their failure to perform 
paperwork duties imposed upon them by statute. See Salberg v. United 
States, 969 F.2d 379 (7th Cir. 1992); United States v. Neff, 954 F.2d 
698 (11th Cir. 1992); United States v. Dawes, 951 F.2d 1189 (10th Cir. 
1991); United States v. Hicks, 947 F.2d 1356 (9th Cir. 1991); United 
States v. Wunder, 919 F.2d 34 (6th Cir. 1990). In those cases, the 
courts concluded that Congress, in enacting the Paperwork Reduction 
Act, did not intend to require itself to comply with the requirements 
of that Act (and seek and obtain OMB approval) whenever Congress 
decides to impose a paperwork requirement on persons directly by 
statute.1

    \1\  See Salberg, supra, at 384 (``Salberg was convicted of 
violating a statute. It was a federal statute--26 U.S.C. Sec. 7203--
not a regulation or an instruction book that required Salberg to 
file an income tax return. Statutes are not subject to the PRA * * * 
.''); Neff, supra, at 700 (``Congress did not enact the PRA's public 
protection provision to allow OMB to abrogate any duty imposed by 
Congress. * * * So the PRA provides Neff no refuge from his 
statutorily-imposed duty to file income tax returns''); Dawes, 
supra, at 1192 (``We would be inclined to follow the general 
analysis of Wunder and Hicks and hold that the operation of the PRA 
in these circumstances did not repeal the criminal sanctions for 
failing to file an income tax return because the obligation to file 
is a statutory one.''); Hicks, supra at 1359 (``where Congress sets 
forth an explicit statutory requirement that the citizen provide 
information, and provides statutory criminal penalties for failure 
to comply with the request, that is another matter. This is a 
legislative command, not an administrative request.''); Wunder, 
supra, at 38 (``the requirement to file a tax return is mandated by 
statute, not regulation. Defendant was not convicted of violating a 
regulation, but of violating a statute which required him to file an 
income tax return.'').
---------------------------------------------------------------------------

    There is no legislative history pertinent to the Paperwork 
Reduction Act of 1995 that suggests that Congress intended to change 
this court interpretation for 44 U.S.C. 3512.
    Accordingly, where Congress imposes a collection of information 
directly on persons, by statute (as, e.g., in 26 U.S.C. Sec. 6011(a) 
and 42 U.S.C. Sec. 6938(c)), then the public protection provided by 
proposed Sec. 1320.6(a) would not preclude the imposition of penalties 
for a person's failure to comply with the statutory mandate. This 
principle, however, does not extend to situations in which a statute 
authorizes, or directs, an agency to impose a collection of information 
on persons, and the agency does so. In such cases, the agency is 
obligated to comply with the Paperwork Reduction Act of 1995 in 
imposing the paperwork requirement (just as the agency must comply with 
other applicable statutes--e.g., the Administrative Procedure Act in 
the case of regulations), and the public protection provided by 
proposed Sec. 1320.6(a) would apply to such paperwork requirements.

H. Proposed Section 1320.7--Agency Head and Senior Official 
Responsibilities

    Proposed Sec. 1320.7 is equivalent to existing Sec. 1320.8, but is 
amended to reflect the legislative changes in 44 U.S.C. 3506(a). 
Proposed Sec. 1320.7(c) calls upon the Senior Official to head an 
office responsible for ensuring agency compliance with the 
implementation of the information policies and information resources 
management responsibilities established under the Paperwork Reduction 
Act of 1995, and reflects the legislative changes in 44 U.S.C. 
3506(a)(3). Proposed Sec. 1320.7(d) calls upon the Senior Official to 
establish a process within that office that is sufficiently independent 
of program responsibility to evaluate fairly whether proposed 
collections of information should be approved under this Part, and 
reflects the legislative changes in 44 U.S.C. 3506(c)(1).

I. Proposed Section 1320.8--Agency Collection of Information 
Responsibilities
    In general, proposed Sec. 1320.8 is new, and reflects the 
legislative changes in 44 U.S.C. 3506(c) (1) and (2). Basically, this 
proposed section sets forth the information collection development 
responsibilities for each agency.
    Proposed Sec. 1320.8(a) reflects the legislative changes in 44 
U.S.C. 3506(c)(1)(A). In general, agencies need, in developing new 
collections of information and in deciding whether to continue existing 
ones, to evaluate the need for each aspect of the information 
collection, estimate respondent burdens, and, if appropriate, test the 
collection of information through a pilot program. Also, in response to 
President Clinton's statement at the signing of the 
[[Page 30442]] Paperwork Reduction Act of 1995, to direct agencies to 
permit electronic submission of responses, the agency is to evaluate 
whether (and if so, to what extent) the burden on respondents can be 
reduced through the use of automated collection techniques or other 
forms of information technology, e.g., permitting electronic submission 
of responses. Subsequent in the process, proposed Sec. 1320.8(d)(1)(iv) 
requires the agency to seek public comments on this issue, and proposed 
Sec. 1320.5(a)(1)(iii)(D) requires the agency to state, in its eventual 
submission to OMB, whether (and to what extent) the collection of 
information involves such techniques, and the agency must explain to 
OMB the basis for its decision.
    Proposed Sec. 1320.8 (b) and (c) reflect the legislative changes in 
44 U.S.C. 3506(c)(1)(B). Agencies need to ensure that each collection 
of information is inventoried, displays a currently valid OMB control 
number, and, if appropriate, an expiration date; and is reviewed by OMB 
in accordance with the clearance requirements of 44 U.S.C. 3507. As 
part of the information clearance package (through the means suggested 
in proposed Sec. 1320.8(c)), the agency needs to inform and provide 
fair notice to potential respondents of the policy reasons for which 
the information is planned to be and/or has been collected; the way in 
which such information is planned to be and/or has been used for the 
proper performance of the functions of the agency; the estimated 
burden; whether responses are voluntary, required to obtain a benefit, 
or mandatory; and the fact that an agency may not conduct or sponsor, 
and the respondent is not required to respond to, a collection of 
information unless it displays a valid OMB control number. Together 
with the estimate of burden, agencies are to request that the public 
direct to the agency any comments concerning the accuracy of this 
burden estimate and any suggestions for reducing this burden; this 
request for public comments concerning the burden estimate is 
equivalent to that included in existing Sec. 1320.21(a)(2).
    Proposed Sec. 1320.8(d) reflects the legislative changes in 44 
U.S.C. 3506(c)(2). Unless the proposed collection of information is 
contained in a Notice of Proposed Rulemaking and the agency seeks OMB 
clearance under proposed Sec. 1320.11, or unless exempted under 
proposed Sec. 1320.13, the agency needs, for each new proposed 
collection of information or extension of an existing one to provide 
60-day notice in the Federal Register, and otherwise consult with the 
members of the public and affected agencies. In this notice, under 
paragraph (d)(1) of this section, the agency needs to solicit comment 
on the need for the information, its practical utility, the accuracy of 
the agency's burden estimate, and on ways to minimize burden on 
respondents, including through the use of automated collection 
techniques or other forms of information technology. Under paragraph 
(d)(2) of this section, if an agency chooses not to publish the 
proposed collection of information in the Federal Register, the agency 
should provide more than a 60-day notice to permit timely receipt of a 
copy by mail, or should explain how interested persons may obtain a 
copy (including, if applicable, how to obtain electronic access to the 
proposed collection of information).

J. Proposed Section 1320.9--Agency Certifications for Proposed 
Collections of Information

    In general, proposed Sec. 1320.9 is new, and reflects the 
legislative changes in 44 U.S.C. 3506(c)(3). Basically, this proposed 
section sets forth the content of agency certifications accompanying 
proposed collections of information submitted for OMB clearance.
    As part of an agency's submission of a proposed collection of 
information to OMB for clearance, an agency needs to send, along with 
the other information called for by proposed Sec. 1320.5(a)(1)(iii)(B)-
(E), a certification that the information collection meets certain 
standards and provide a record supporting such certification. The 
agency needs to certify that the proposed collection of information, 
e.g., is needed; not unnecessarily duplicative; reduces to the extent 
practicable and appropriate the burden on respondents, including, for 
small business, local government, and other small entities, the use of 
the techniques outlined in the Regulatory Flexibility Act; is written 
in unambiguous terminology; is to be implemented in ways consistent 
with the existing reporting and recordkeeping practices of the 
respondents; indicates for each recordkeeping requirement the length of 
time documents are to be retained; informs potential respondents of the 
information called for under proposed Sec. 1320.8(b)(3); has been 
developed by an office that has planned for the efficient and effective 
management of the information to be collected; uses effective and 
efficient statistical survey methodology; and to the maximum extent 
practicable, uses appropriate information technology to reduce burden 
and improve data quality.
K. Proposed Section 1320.10--Clearance of Collections of Information, 
Other Than Those Contained in Proposed Rules or in Current Rules

    Proposed Sec. 1320.10 is equivalent to existing Sec. 1320.12, but 
is amended to reflect the legislative changes in 44 U.S.C. 3507.
    Proposed Sec. 1320.10(a): This paragraph is equivalent to existing 
Sec. 1320.12(a). This paragraph provides that the agency notice in the 
Federal Register required by proposed Sec. 1320.5(a)(1)(iv) request 
that public comments be submitted within at least 30 days of 
publication to OMB. OMB is obligated to provide at least 30 days for 
public comment prior to making a decision under this proposed section 
under 44 U.S.C. 3507(b), but would like to receive public comments at 
the end of that period in order to be prepared to make a decision if 
the need so dictates.
    Proposed Sec. 1320.10(b): This paragraph is equivalent to existing 
Sec. 1320.12(b). Reflecting 44 U.S.C. 3507(c)(2), this paragraph 
provides that OMB is obligated to make its decision within 60 days 
after receipt of the proposed collection of information or publication 
of the notice under paragraph (a) of this section, whichever is later.
    Proposed Sec. 1320.10(c): This paragraph is equivalent to existing 
Sec. 1320.12(c). The maximum time period for OMB review is 60, rather 
than 90, days, reflecting the legislative change in 44 U.S.C. 
3507(c)(3).
    Proposed Sec. 1320.10(d): This paragraph is equivalent to existing 
Sec. 1320.12(d), except that it is expanded to reflect the legislative 
changes in 44 U.S.C. 3512(a)(2). An agency may not conduct or sponsor a 
collection of information unless the collection of information displays 
a currently valid OMB control number and the agency informs potential 
respondents that such respondents are not required to respond to the 
collection of information unless it displays a currently valid OMB 
control number.
    Proposed Sec. 1320.10(e) is new, and reflects the legislative 
changes in 44 U.S.C. 3507(h)(1). This paragraph outlines the procedures 
an agency needs to follow before it seeks to extend an OMB approval for 
an ongoing collection of information. The agency needs to conduct the 
review established in proposed Sec. 1320.8, including the seeking of 
comment from the public under Sec. 1320.8(d), and submit, no later than 
60 days before the expiration date, the collection of information for 
review and approval under this Part, which shall include an explanation 
of how the agency has used the information it has 
[[Page 30443]] collected. This paragraph does not apply to a collection 
of information contained in a published current rule which has been 
approved by OMB and has a currently valid OMB control number because 
such a collection needs to be submitted for OMB clearance under 
proposed Sec. 1320.12.
    Proposed Sec. 1320.10(f) is equivalent to the first five sentences 
in existing Sec. 1320.11(f) (see proposed Sec. 1320.12(i)).
    Proposed Sec. 1320.10(g) is equivalent to the sixth sentence in 
existing Sec. 1320.11(f).

L. Proposed Section 1320.11--Clearance of Collections of Information in 
Proposed Rules

    Proposed Sec. 1320.11 is equivalent to existing Sec. 1320.13, but 
is amended to reflect the legislative changes in 44 U.S.C. 3507(d).
    Proposed Sec. 1320.11(a): This paragraph is equivalent to existing 
Sec. 1320.13(a). This paragraph provides that the agency notice in the 
Federal Register, required by proposed Sec. 1320.5(a)(1)(iv), request 
that public comments be submitted to OMB within 30 days of the notice's 
publication. Under the 1995 Amendments, OMB is obligated to provide at 
least 30 days for public comment prior to making a decision, 44 U.S.C. 
3507(b); however, OMB must make its decision within 60 days under 44 
U.S.C. 3507(d)(1)(B). Therefore, while OMB will of course attempt to 
consider all comments that OMB receives before OMB makes its decision, 
a public comment is best assured of having maximum impact if it is 
received within 30 days of the notice's publication.
    Proposed Secs. 1320.11 (b), (c), and (d) are equivalent to existing 
Secs. 1320.13 (b), (c), and (d).
    Proposed Sec. 1320.11(e) is new, reflecting the legislative change 
in 44 U.S.C. 3507(b) that OMB is obligated to provide at least 30 days 
for public comment prior to making a decision.
    Proposed Secs. 1320.11 (f), (g), (h), (i), and (j) are equivalent 
to existing Secs. 1320.13 (e), (f), (g), (h), and (i).
    Proposed Sec. 1320.11(k) is equivalent to the first sentence in 
existing Sec. 1320.13(j). Proposed Sec. 1320.11(l) serves the same 
function as the second and third sentences in existing Sec. 1320.13(j), 
but is amended to reflect the legislative change in 44 U.S.C. 
3512(a)(2).

M. Proposed Section 1320.12--Clearance of Collections of Information in 
Current Rules

    Proposed Sec. 1320.12 is equivalent to existing Sec. 1320.14, but 
is amended to reflect the legislative changes in 44 U.S.C. 3507.
    Proposed Sec. 1320.12(a): This paragraph is equivalent to existing 
Sec. 1320.14(a), but is amended to reflect the legislative change in 44 
U.S.C. 3507(h)(1). This paragraph outlines the procedures an agency 
needs to follow before it seeks to extend an OMB approval for a 
collection of information published current rule which has been 
approved by OMB and has a currently valid OMB control number. The 
agency needs to conduct the review established in proposed Sec. 1320.8, 
including the seeking of comment from the public under Sec. 1320.8(d), 
and submit, no later than 60 days before the expiration date, the 
collection of information for review and approval under this Part, 
which shall include an explanation of how the agency has used the 
information it has collected.
    Proposed Sec. 1320.12(b) is new. It is equivalent to proposed 
Sec. 1320.12(a), except that it applies a collection of information 
contained in a published current rule that was not required to be 
submitted for OMB review under the Paperwork Reduction Act at the time 
the collection of information was made part of the rule, but which 
collection of information is now subject to the Paperwork Reduction Act 
of 1995. Specifically, this paragraph may apply to published current 
rule that contains a ``disclosure to third parties or the public'' (see 
proposed Sec. 1320.3(c)) or particular kinds of ``recordkeeping 
requirement'' (see proposed Sec. 1320.3(m)(2)-(4)), that were exempt 
from OMB review under Dole v. United Steelworkers of America, 494 U.S. 
26 (1990), or a certification or other affirmation that the agency uses 
as a substitute for a collection of information to collect evidence of, 
or to monitor, compliance with regulatory standards (see proposed 
Sec. 1320.3(h)(1)). Added at the end of proposed Sec. 1320.12(b) is an 
instruction equivalent to proposed Sec. 1320.11(l).
    Proposed Sec. 1320.12(c): This paragraph is equivalent to existing 
Sec. 1320.14(b). This paragraph provides that the agency notice in the 
Federal Register required by proposed Sec. 1320.5(a)(1)(iv) request 
that public comments be submitted within at least 30-days of 
publication to OMB. OMB is obligated to provide at least 30 days for 
public comment prior to making a decision under this proposed section 
under 44 U.S.C. 3507(b), but would like to receive public comments at 
the end of that period in order to be prepared to make a decision if 
the need so dictates.
    Proposed Sec. 1320.12(d): This paragraph is equivalent to existing 
Sec. 1320.14(c). Reflecting 44 U.S.C. 3507(c)(2), this paragraph 
provides that OMB is obligated to make its decision within 60 days 
after receipt of the proposed collection of information or publication 
of the notice under paragraph (a) of this section, whichever is later. 
This paragraph also contains a new last sentence, reflecting the 
legislative change in 44 U.S.C. 3507(b) that OMB is obligated to 
provide at least 30 days for public comment prior to making a decision.
    Proposed Sec. 1320.12(e): This paragraph is equivalent to existing 
Sec. 1320.14(e). The maximum time period for OMB review is 60, rather 
than 90, days, reflecting the legislative change in 44 U.S.C. 
3507(c)(3).
    Proposed Sec. 1320.12(f): Paragraph (f)(1) (i) and (ii) is amended 
to reflect the legislative changes in 44 U.S.C. 3507(h)(2). Paragraph 
(f)(1)(iii) is equivalent to existing Sec. 1320.14(f). Paragraph (f)(2) 
is equivalent to Sec. 1320.14(g).
    Proposed Sec. 1320.12(g) is equivalent to existing Sec. 1320.14(h).
    Proposed Sec. 1320.12(h): Paragraph (h)(1) is equivalent to 
existing Sec. 1320.14(i). Paragraph (h)(2) is equivalent to the second 
sentence in existing Sec. 1320.5(a)(2).
    Proposed Sec. 1320.12(i): This paragraph is equivalent to the first 
three sentences of existing Sec. 1320.11(f) (see proposed 
Sec. 1320.10(f)).

N. Proposed Section 1320.13--Emergency Processing

    Proposed Sec. 1320.13 is equivalent to existing Sec. 1320.18, but 
is amended to reflect the legislative changes in 44 U.S.C. 3507(b), 
(c), and (j). OMB is proposing to delete existing Sec. 1320.18(g) 
concerning ``expedited'' processing. Given the legislative changes in 
44 U.S.C. 3507(b) and (c), OMB is obligated, unless OMB receives a 
request for emergency processing under this section, to provide at 
least 30 days for public comment prior to making a decision and make 
its decision within 60 days after receipt of the clearance request or 
publication of the notice in the Federal Register required by proposed 
Sec. 1320.5(a)(1)(iv), whichever is later.

O. Proposed Section 1320.14--Public Access

    Proposed Sec. 1320.14(a) is equivalent to existing Sec. 1320.19. 
Proposed Sec. 1320.14(b) is equivalent to existing Sec. 1320.11(b).
    Proposed Sec. 1320.14.(c) is new, and reflects the legislative 
changes in 44 U.S.C. 3517(b). Any person may request OMB to review any 
collection of [[Page 30444]] information conducted by or for an agency 
to determine, if a person is obligated to maintain, provide, or 
disclose the information to or for an agency. Unless the request is 
frivolous, OMB is, in coordination with the responsible agency, to 
respond to the request within 60 days (unless notice is given of an 
extension to a specified date) and to take appropriate remedial action, 
as necessary.
P. Proposed Section 1320.15--Independent Regulatory Agency Override 
Authority

    Proposed Sec. 1320.15 is equivalent to existing Sec. 1320.20, 
except that it is amended to reflect the legislative changes in 44 
U.S.C. 3507(f) and 44 U.S.C. 3512(a).

Q. Proposed Section 1320.16--Delegation of Approval Authority

    Proposed Sec. 1320.16 is equivalent to existing Sec. 1320.9, except 
that it is amended to reflect the legislative changes in 44 U.S.C. 
3506(a)(3).

R. Proposed Section 1320.17--Information Collection Budget

    Proposed Sec. 1320.17 is equivalent to the first and last sentences 
in existing Sec. 1320.10.

S. Proposed Section 1320.18--Other Authority

    Proposed Sec. 1320.18 is equivalent to existing Sec. 1320.22.

T. Appendix A--Agencies with Delegated Review and Approval Authority

    Proposed new Appendix A is substantively identical to existing 
Appendix A. Appendix A contains the delegations to the Federal Reserve 
Board and to the Federal Communications Commission. OMB is proposing to 
make only conforming changes, e.g., to revise the section cross-
references in the delegations to the proposed sections in the 
regulation. No substantive changes are proposed.

Q. Other Amendments

    Other proposed amendments to 5 CFR Part 1320 include the deletion 
of terms that are no longer used in this Part, e.g., ``Educational 
agency or institution'' and ``A Federal education program,'' and of 
sections that are no longer pertinent, e.g., existing Sec. 1320.16, 
entitled ``Collections of information prescribed by another agency,'' 
and existing Sec. 1320.17, entitled ``Interagency reporting.''

Assessment of Potential Costs and Benefits and Regulatory Flexibility 
Act Analysis

    OMB has analyzed the effects of this rule under the Regulatory 
Flexibility Act (5 U.S.C. 601 et seq.). Copies of this analysis are 
available upon request. In summary, OMB has concluded that these 
amendments will have a salutary impact on small entities through the 
reduction of unnecessary paperwork.
    For purposes of the Unfunded Mandates Reform Act of 1995 (P.L. 104-
4), as well as Executive Order No. 12875, this rule does not include 
any Federal mandate that may result in increased expenditures by State, 
local, and tribal governments, or by the private sector.

    Issued in Washington, D.C., May 31, 1995.
Sally Katzen,
Administrator, Office of Information and Regulatory Affairs.

List of Subjects in 5 CFR Part 1320

    Reporting and recordkeeping requirements, Paperwork, Collections of 
information.

    For the reasons set forth in the preamble, OMB proposes to revise 5 
CFR Part 1320 as follows:

PART 1320: CONTROLLING PAPERWORK BURDENS ON THE PUBLIC

Sec.
1320.1  Purpose.
1320.2  Effect.
1320.3  Definitions.
1320.4  Coverage.
1320.5  General requirements.
1320.6  Public protection.
1320.7  Agency head and Senior Official responsibilities.
1320.8  Agency collection of information responsibilities.
1320.9  Agency certifications for proposed collections of 
information.
1320.10  Clearance of collections of information, other than those 
contained in proposed rules or in current rules.
1320.11  Clearance of collections of information in proposed rules.
1320.12  Clearance of collections of information in current rules.
1320.13  Emergency processing.
1320.14  Public access.
1320.15  Independent regulatory agency override authority.
1320.16  Delegation of approval authority.
1320.17  Information collection budget.
1320.18  Other authority.

Appendix A: Agencies With Delegated Review and Approval Authority

    Authority: 31 U.S.C. Sec. 1111 and 44 U.S.C. Chs. 21, 25, 27, 
29, 31, 35.


Sec. 1320.1   Purpose.

    The purpose of this part is to implement the provisions of the 
Paperwork Reduction Act of 1995 (44 U.S.C. chapter 35) (the Act) 
concerning collections of information. It is issued under the authority 
of section 3516 of the Act, which provides that ``The Director shall 
promulgate rules, regulations, or procedures necessary to exercise the 
authority provided by this chapter.'' It is designed to minimize and 
control burdens and maximize the practical utility and public benefit 
of the collection of information by or for Federal agencies from 
individuals, small businesses, educational and nonprofit institutions, 
Federal contractors, State, local and tribal governments, and other 
persons.


Sec. 1320.2   Effect.

    (a) Except as provided in paragraph (b) of this section, this part 
takes effect on October 1, 1995.
    (b)(1) In the case of a collection of information for which there 
is in effect on September 30, 1995, a control number issued by the 
Office of Management and Budget under 44 U.S.C. Chapter 35, the 
provisions of this part shall take effect beginning on the earlier of:
    (i) The date of the first extension of approval for or modification 
of that collection of information after September 30, 1995; or
    (ii) The date of the expiration of the OMB control number after 
September 30, 1995.
    (2) Prior to such extension of approval, modification, or 
expiration, the collection of information shall be subject to 5 CFR 
part 1320, as in effect on September 30, 1995.


Sec. 1320.3   Definitions.

    For purposes of implementing the Act and this part, the following 
terms are defined as follows:
    (a) Agency means any executive department, military department, 
Government corporation, Government controlled corporation, or other 
establishment in the executive branch of the government, or any 
independent regulatory agency, but does not include:
    (1) The General Accounting Office;
    (2) Federal Election Commission;
    (3) The governments of the District of Columbia and the territories 
and possessions of the United States, and their various subdivisions; 
or
    (4) Government-owned contractor-operated facilities, including 
laboratories engaged in national defense research and production 
activities.
    (b)(1) Burden means the total time, effort, or financial resources 
expended by persons to generate, maintain, retain, or disclose or 
provide information to or for a Federal agency, 
including: [[Page 30445]] 
    (i) Reviewing instructions;
    (ii) Developing, acquiring, installing, and utilizing technology 
and systems for the purpose of collecting, validating, and verifying 
information;
    (iii) Developing, acquiring, installing, and utilizing technology 
and systems for the purpose of processing and maintaining information;
    (iv) Developing, acquiring, installing, and utilizing technology 
and systems for the purpose of disclosing and providing information;
    (v) Adjusting the existing ways to comply with any previously 
applicable instructions and requirements;
    (vi) Training personnel to respond to a collection of information;
    (vii) Searching data sources;
    (viii) Completing and reviewing the collection of information; and
    (ix) Transmitting, or otherwise disclosing the information.
    (2) The time, effort, and financial resources necessary to comply 
with a collection of information that would be incurred by persons in 
the normal course of their activities (e.g., in compiling and 
maintaining business records) will be excluded from the ``burden'' if 
the agency demonstrates that the reporting, recordkeeping, or 
disclosure activities needed to comply are usual and customary.
    (3) A collection of information conducted or sponsored by a Federal 
agency that is also conducted or sponsored by a unit of State, local, 
or tribal government is presumed to impose a Federal burden except to 
the extent that the agency shows that such State, local, or tribal 
requirement would be imposed even in the absence of a Federal 
requirement.
    (c) Collection of information means, except as provided in 
Sec. 1320.4, the obtaining, causing to be obtained, soliciting, or 
requiring the disclosure to an agency, third parties or the public of 
information by or for an agency by means of identical questions posed 
to, or identical reporting, recordkeeping, or disclosure requirements 
imposed on, ten or more persons, whether such collection of information 
is mandatory, voluntary, or required to obtain a benefit. ``Collection 
of information'' includes any requirement or request for persons to 
obtain, maintain, retain, report, or publicly disclose information. As 
used in this part, ``collection of information'' refers to the act of 
collecting or disclosing information, to the information to be 
collected or disclosed, to a plan and/or an instrument calling for the 
collection or disclosure of information, or any of these, as 
appropriate.
    (1) ``Collection of information'' includes the use of report forms, 
application forms, schedules, questionnaires, surveys, reporting or 
recordkeeping requirements, or other similar methods. Similar methods 
may include contracts; agreements; policy statements; plans; rules or 
regulations; collections of information contained in, derived from, or 
authorized by such rules or regulations; planning requirements; 
circulars; directives; instructions; bulletins; requests for proposal 
or other procurement requirements; interview guides; oral 
communications; posting, notification, labeling, or similar disclosure 
requirements; telegraphic or telephonic requests; automated collection 
techniques; standard questionnaires used to monitor compliance with 
agency requirements; or any other techniques or technological methods 
used to monitor compliance with agency requirements. A ``collection of 
information'' may implicitly or explicitly include related 
recordkeeping requirements.
    (2) Requirements by an agency for a person to obtain or compile 
information for the purpose of disclosure to members of the public or 
the public at large, through posting, notification, labeling or similar 
disclosure requirements constitute the ``collection of information'' 
whenever the same requirement to obtain or compile information would be 
a ``collection of information'' if the information were directly 
provided to the agency. The public disclosure of information originally 
supplied by the Federal government to the recipient for the purpose of 
disclosure to the public is not included within this definition.
    (3) ``Collection of information'' includes questions posed to 
agencies, instrumentalities, or employees of the United States, if the 
results are to be used for general statistical purposes.
    (4) As used in paragraph (c) of this section, ``ten or more 
persons'' refers to the persons to whom a collection of information is 
addressed by the agency within any 12-month period, and to any 
independent entities to which the initial addressee may reasonably be 
expected to transmit the collection of information during that period, 
including independent State, territorial, tribal or local entities and 
separately incorporated subsidiaries or affiliates. For the purposes of 
this definition of ``ten or more persons,'' ``persons'' does not 
include employees of the respondent acting within the scope of their 
employment, contractors engaged by a respondent for the purpose of 
complying with the collection of information, or current employees of 
the Federal government (including military reservists and members of 
the National Guard while on active duty) when acting within the scope 
of their employment, but it does include retired and other former 
Federal employees.
    (i) Any recordkeeping, reporting, or disclosure requirement 
contained in a rule of general applicability is deemed to involve ten 
or more persons.
    (ii) Any collection of information addressed to all or a 
substantial majority of an industry is presumed to involve ten or more 
persons.
    (d) Conduct or Sponsor. A Federal agency is considered to ``conduct 
or sponsor'' a collection of information if the agency collects the 
information, causes another agency to collect the information, 
contracts or enters into a cooperative agreement with a person to 
collect the information, or requires a person to provide information to 
another person, or in similar ways causes another agency, contractor, 
partner in a cooperative agreement, or person to obtain, solicit, or 
require the disclosure to third parties or the public of information by 
or for an agency. A collection of information undertaken by a recipient 
of a Federal grant is considered to be ``conducted or sponsored'' by an 
agency only if:
    (1) The recipient of a grant is conducting the collection of 
information at the specific request of the agency; or
    (2) The terms and conditions of the grant require specific approval 
by the agency of the collection of information or collection 
procedures.
    (e) Director means the Director of OMB, or his or her designee.
    (f) Display means:
    (1) In the case of forms, questionnaires, instructions, and other 
written collections of information sent or made available to potential 
respondents (other than in an electronic format), to place the 
currently valid OMB control number on the front page of the collection 
of information;
    (2) In the case of forms, questionnaires, instructions, and other 
written collections of information sent or made available to potential 
respondents in an electronic format, to place the currently valid OMB 
control number in the instructions, near the title of the electronic 
collection instrument, or, foron-line applications, on the first screen 
viewed by the respondent;
    (3) In the case of collections of information published in 
regulations, guidelines, and other issuances in the Federal Register, 
to publish the currently valid OMB control number in the Federal 
Register (for example, in the case of a collection of information in a 
[[Page 30446]] regulation, by publishing the OMB control number in the 
preamble or the regulatory text for the final rule, in a technical 
amendment to the final rule, or in a separate notice announcing OMB 
approval of the collection of information) and/or in the Code of 
Federal Regulations. For ease of future reference, OMB recommends that, 
even where an agency has already ``displayed'' the OMB control number 
by publishing it in the Federal Register, the agency also publish the 
currently valid OMB control number in the Code of Federal Regulations.
    (4) In other cases, and where OMB determines in advance in writing 
that special circumstances exist, to use other means to inform 
potential respondents of the OMB control number.
    (g) Independent regulatory agency means the Board of Governors of 
the Federal Reserve System, the Commodity Futures Trading Commission, 
the Consumer Product Safety Commission, the Federal Communications 
Commission, the Federal Deposit Insurance Corporation, the Federal 
Energy Regulatory Commission, the Federal Housing Finance Board, the 
Federal Maritime Commission, the Federal Trade Commission, the 
Interstate Commerce Commission, the Mine Enforcement Safety and Health 
Commission, the National Labor Relations Board, the Nuclear Regulatory 
Commission, the Occupational Safety and Health Review Commission, the 
Postal Rate Commission, the Securities and Exchange Commission, and any 
other similar agency designated by statute as a Federal independent 
regulatory agency or commission.
    (h) Information means any statement of fact or opinion, regardless 
of form or format, whether in numerical, graphic, or narrative form, 
and whether oral or maintained on paper, electronic or other media. 
``Information'' does not generally include items in the following 
categories; however, OMB may determine that any specific item 
constitutes ``information'':
    (1) Affidavits, oaths, affirmations, certifications, receipts, 
changes of address, consents, or acknowledgments; provided that they 
entail no burden other than that necessary to identify the respondent, 
the date, the respondent's address, and the nature of the instrument 
(by contrast, a certification would likely involve the collection of 
``information'' if an agency conducted or sponsored it as a substitute 
for a collection of information to collect evidence of, or to monitor, 
compliance with regulatory standards, because such a certification 
would generally entail burden in addition to that necessary to identify 
the respondent, the date, the respondent's address, and the nature of 
the instrument);
    (2) Samples of products or of any other physical objects;
    (3) Facts or opinions obtained through direct observation by an 
employee or agency of the sponsoring agency or through nonstandardized 
oral communication in connection with such direct observations;
    (4) Facts or opinions submitted in response to general 
solicitations of comments from the public, published in the Federal 
Register or other publications, regardless of the form or format 
thereof, provided that no person is required to supply specific 
information pertaining to the commenter, other than that necessary for 
self-identification, as a condition of the agency's full consideration 
of the comment;
    (5) Facts or opinions obtained initially or in follow-on requests, 
from individuals (including individuals in control groups) under 
treatment or clinical examination in connection with research on or 
prophylaxis to prevent a clinical disorder, direct treatment of that 
disorder, or the interpretation of biological analyses of body fluids, 
tissues, or other specimens, or the identification or classification of 
such specimens;
    (6) A request for facts or opinions addressed to a single person;
    (7) Examinations designed to test the aptitude, abilities, or 
knowledge of the persons tested and the collection of information for 
identification or classification in connection with such examinations;
    (8) Facts or opinions obtained or solicited at or in connection 
with public hearings or meetings;
    (9) Facts or opinions obtained or solicited through nonstandardized 
follow-up questions designed to clarify responses to approved 
collections of information; and
    (10) Like items so designated by OMB.
    (i) OMB refers to the Office of Management and Budget.
    (j) Penalty includes the imposition by an agency or court of a fine 
or other punishment; a judgment for monetary damages or equitable 
relief; or the revocation, suspension, reduction, or denial of a 
license, privilege, right, grant, or benefit.
    (k) Person means an individual, partnership, association, 
corporation (including operations of government-owned contractor-
operated facilities), business trust, or legal representative, an 
organized group of individuals, a State, territorial, tribal, or local 
government or branch thereof, or a political subdivision of a State, 
territory, tribal, or local government or a branch of a political 
subdivision;
    (l) Practical utility means the actual, not merely the theoretical 
or potential, usefulness of information to or for an agency, taking 
into account its accuracy, adequacy, and reliability, and the agency's 
ability to process the information it collects (or the public's ability 
to process the information it receives, in the case of a third-party or 
public disclosure) in a useful and timely fashion. In determining 
whether information will have ``practical utility,'' OMB will take into 
account whether the agency demonstrates actual timely use for the 
information either to carry out its functions or make it available to 
third-parties or the public, either directly or by means of a third-
party or public posting, notification, labeling, or similar disclosure 
requirement, for the use of persons who have an interest in entities or 
transactions over which the agency has jurisdiction. In the case of 
recordkeeping or general purpose statistics, which are those statistics 
collected chiefly for public and general government uses and without 
primary reference to policy or program operations of the agency 
collecting the information, ``practical utility'' means that actual 
uses can be demonstrated.
    (m) Recordkeeping requirement means a requirement imposed by or for 
an agency on persons to maintain specified records, including a 
requirement to:
    (1) Retain such records;
    (2) Notify third parties, the Federal government, or the public of 
the existence of such records;
    (3) Disclose such records to third parties, the Federal government, 
or the public; or
    (4) Report to third parties, the Federal government, or the public 
regarding such records.


Sec. 1320.4  Coverage.

    (a) The requirements of this Part apply to all agencies as defined 
in Sec. 1320.3(a) and to all collections of information conducted or 
sponsored by those agencies, as defined in Sec. 1320.3(c) and (d), 
wherever conducted or sponsored, but, except as provided in paragraph 
(b) of this section, shall not apply to collections of information:
    (1) During the conduct of a Federal criminal investigation or 
prosecution, or during the disposition of a particular criminal matter;
    (2) During the conduct of a civil action to which the United States 
or any official or agency thereof is a part, or during the conduct of 
an administrative [[Page 30447]] action or investigation involving an 
agency against specific individuals or entities;
    (3) By compulsory process pursuant to the Antitrust Civil Process 
Act and section 13 of the Federal Trade Commission Improvements Act of 
1980; or
    (4) During the conduct of intelligence activities as defined in 
section 3.4(e) of Executive Order No. 12333, issued December 4, 1981, 
or successor orders, or during the conduct of cryptologic activities 
that are communications security activities.
    (b) The requirements of this part apply to the collection of 
information during the conduct of general investigations (other than 
information collected in an antitrust investigation to the extent 
provided in paragraph (a)(3) of this section) undertaken with reference 
to a category of individuals or entities such as a class of licensees 
or an entire industry.
    (c) The exception in paragraph (a)(2) of this section applies 
during the entire course of the investigation or action, whether before 
or after formal charges or complaints are filed or formal 
administrative action is initiated, but only after a case file or 
equivalent is opened with respect to a particular party. In accordance 
with paragraph (b) of this section, collections of information prepared 
or undertaken with reference to a category of individuals or entities, 
such as a class of licensees or an industry, do not fall within this 
exception.


Sec. 1320.5  General requirements.

    (a) An agency shall not conduct or sponsor a collection of 
information unless, in advance of the adoption or revision of the 
collection of information--
    (1) The agency has--
    (i) Conducted the review required in Sec. 1320.8;
    (ii) Evaluated the public comments received under Sec. 1320.8(d) 
and Sec. 1320.11;
    (iii) Submitted to the Director, in accordance with such procedures 
and in such form as OMB may specify,
    (A) The certification required under Sec. 1320.9;
    (B) The proposed collection of information in accordance with 
Sec. 1320.10, Sec. 1320.11, or Sec. 1320.12, as appropriate;
    (C) An explanation for the decision that it would not be 
appropriate, under Sec. 1320.8(b)(1), for a proposed collection of 
information to display an expiration date;
    (D) An explanation for the decision to provide for any payment or 
gift to respondents, other than remuneration of contractors or 
grantees;
    (E) A statement indicating whether (and if so, to what extent) the 
proposed collection of information involves the use of automated 
collection techniques or other forms of information technology, e.g., 
permitting electronic submission of responses, and an explanation for 
the decision;
    (F) A summary of the public comments received under Sec. 1320.8(d), 
including actions taken by the agency in response to the comments, and 
the date and page of the publication in the Federal Register of the 
notice therefor; and
    (G) Copies of pertinent statutory authority, regulations, and such 
related supporting materials as OMB may request; and
    (iv) Published, except as provided in Sec. 1320.13(d), a notice 
(requesting comments within 30 days) in the Federal Register--
    (A) Stating that the agency has made such submission; and
    (B) Setting forth--
    (1) A title for the collection of information;
    (2) A summary of the collection of information;
    (3) A brief description of the need for the information and 
proposed use of the information;
    (4) A description of the likely respondents and proposed frequency 
of response to the collection of information;
    (5) An estimate of the total annual reporting and recordkeeping 
burden that shall result from the collection of information, which 
shall for each collection of information be disaggregated and set forth 
in terms of the estimated average burden hours per response, the 
proposed frequency of response, and the estimated number of likely 
respondents;
    (6) Notice that comments may be submitted to the agency and OMB; 
and
    (7) The time period within which the agency is requesting OMB to 
approve or disapprove the collection of information if, at the time of 
submittal of a collection of information for OMB review under 
Sec. 1320.10, Sec. 1320.11 or Sec. 1320.12, the agency plans to request 
or has requested OMB to conduct its review on an emergency basis under 
Sec. 1320.13; and
    (2) OMB has approved the proposed collection of information, OMB's 
approval has been inferred under Sec. 1320.10(c), Sec. 1320.11(i), or 
Sec. 1320.12(e), or OMB's disapproval has been voided by an independent 
regulatory agency under Sec. 1320.15; and
    (3) The agency has obtained from the Director a control number to 
be displayed upon the collection of information.
    (b) In addition to the requirements in paragraph (a) of this 
section, an agency shall not conduct or sponsor a collection of 
information unless:
    (1) The collection of information displays a currently valid OMB 
control number; and
    (2)(i) The agency informs the potential persons who are to respond 
to the collection of information that such persons are not required to 
respond to the collection of information unless it displays a currently 
valid OMB control number.
    (ii) An agency shall provide the information described in paragraph 
(b)(2)(i) of this section in a manner that is reasonably calculated to 
inform the public.
    (A) In the case of forms, questionnaires, instructions, and other 
written collections of information sent or made available to potential 
respondents (other than in an electronic format), the information 
described in paragraph (b)(2)(i) of this section is provided ``in a 
manner that is reasonably calculated to inform the public'' if the 
agency includes it either on the form, questionnaire or other 
collection of information, or in the instructions for such collection.
    (B) In the case of forms, questionnaires, instructions, and other 
written collections of information sent or made available to potential 
respondents in an electronic format, the information described in 
paragraph (b)(2)(i) of this section is provided ``in a manner that is 
reasonably calculated to inform the public'' if the agency places the 
currently valid OMB control number in the instructions, near the title 
of the electronic collection instrument, or, for on-line applications, 
on the first screen viewed by the respondent;
    (C) In the case of collections of information published in 
regulations, guidelines, and other issuances in the Federal Register, 
the information described in paragraph (b)(2)(i) of this section is 
``provided in a manner reasonably calculated to inform the public'' if 
the agency publishes such information in the Federal Register (for 
example, in the case of a collection of information in a regulation, by 
publishing such information in the preamble or the regulatory text, or 
in a technical amendment to the regulation, or in a separate notice 
announcing OMB approval of the collection of information) and/or in the 
Code of Federal Regulations. For ease of future reference, OMB 
recommends that, even where an agency has already provided such 
information and informed the [[Page 30448]] public by publishing it in 
the Federal Register, the agency is encouraged to also publish such 
information in the Code of Federal Regulations.
    (D) In other cases, and where OMB determines in advance in writing 
that special circumstances exist, to use other means to inform 
potential respondents of such information.
    (c)(1) Agencies shall submit all collections of information, other 
than those contained in proposed rules published for public comment in 
the Federal Register or in current regulations that were published as 
final rules in the Federal Register, in accordance with the 
requirements in Sec. 1320.10. Agencies shall submit collections of 
information contained in interim final rules or direct final rules in 
accordance with the requirements of Sec. 1320.10.
    (2) Agencies shall submit collections of information contained in 
proposed rules published for public comment in the Federal Register in 
accordance with the requirements in Sec. 1320.11.
    (3) Agencies shall submit collections of information contained in 
current regulations that were published as final rules in the Federal 
Register in accordance with the requirements in Sec. 1320.12.
    (4) Special rules for emergency processing of collections of 
information are set forth in Sec. 1320.13.
    (5) For purposes of time limits for OMB review of collections of 
information, any submission properly submitted and received by OMB 
after 12:00 noon will be deemed to have been received on the following 
business day.
    (d)(1) To obtain OMB approval of a collection of information, an 
agency shall demonstrate that it has taken every reasonable step to 
ensure that the proposed collection of information:
    (i) Is the least burdensome necessary for the proper performance of 
the agency's functions to comply with legal requirements and achieve 
program objectives;
    (ii) Is not duplicative of information otherwise accessible to the 
agency; and
    (iii) Has practical utility. The agency shall also seek to minimize 
the cost to itself of collecting, processing, and using the 
information, but shall not do so by means of shifting disproportionate 
costs or burdens onto the public.
    (2) Unless the agency is able to demonstrate, in its submission for 
OMB clearance, that such characteristic of the collection of 
information is necessary to satisfy statutory requirements or other 
substantial need, OMB will not approve a collection of information--
    (i) Requiring respondents to report information to the agency more 
often than quarterly;
    (ii) Requiring respondents to prepare a written response to a 
collection of information in fewer than 30 days after receipt of it;
    (iii) Requiring respondents to submit more than an original and two 
copies of any document;
    (iv) Requiring respondents to retain records, other than health, 
medical, government contract, grant-in-aid, or tax records, for more 
than three years;
    (v) In connection with a statistical survey, that is not designed 
to produce valid and reliable results that can be generalized to the 
universe of study;
    (vi) Requiring the use of a statistical data classification that 
has not been reviewed and approved by OMB;
    (vii) Collecting information at the request of another country or 
an international organization unless such request has been reviewed, 
coordinated, and approved by OMB;
    (viii) That includes a pledge of confidentiality that is not 
supported by authority established in statute or regulation, that is 
not supported by disclosure and data security policies that are 
consistent with the pledge, or which unnecessarily impedes sharing of 
data with other agencies for compatible confidential use; or
    (ix) Requiring respondents to submit proprietary, trade secret, or 
other confidential information unless the agency can demonstrate that 
it has instituted procedures to protect the information's 
confidentiality to the extent permitted by law--
    (e) OMB shall determine whether the collection of information, as 
submitted by the agency, is necessary for the proper performance of the 
agency's functions. In making this determination, OMB will take into 
account the criteria set forth in paragraph (d) of this section, and 
will consider whether the burden of the collection of information is 
justified by its practical utility. In addition:
    (1) OMB will consider necessary any collection of information 
specifically mandated by statute or court order, but will independently 
assess any collection of information to the extent that the agency 
exercises discretion in its implementation; and
    (2) OMB will consider necessary any collection of information 
specifically required by an agency rule approved or not acted upon by 
OMB under Sec. 1320.11 or Sec. 1320.12, but will independently assess 
any such collection of information to the extent that it deviates from 
the specifications of the rule.
    (f) Except as provided in Sec. 1320.15, to the extent that OMB 
determines that all or any portion of a collection of information is 
unnecessary, for any reason, the agency shall not engage in such 
collection or portion thereof. OMB will reconsider its disapproval of a 
collection of information upon the request of the agency head or Senior 
Official only if the sponsoring agency is able to provide significant 
new or additional information relevant to the original decision.
    (g) An agency may not make a substantive or material modification 
to a collection of information after such collection of information has 
been approved by OMB, unless the modification has been submitted to OMB 
for review and approval under this art.
    (h) An agency should consult with OMB before continuing to use OMB-
approved forms or other collections of information after the expiration 
date printed thereon (in those cases for which an expiration date is 
printed thereon).


Sec. 1320.6  Public protection.

    (a) Notwithstanding any other provision of law, no person shall be 
subject to any penalty for failing to comply with a collection of 
information that is subject to the requirements of this part if:
    (1) The collection of information does not display, in accordance 
with Sec. 1320.3(f) and Sec. 1320.5(b)(1), a currently valid OMB 
control number assigned by the Director in accordance with the Act; or
    (2) The agency fails to inform the potential person who is to 
respond to the collection of information, in accordance with 
Sec. 1320.5(b)(2), that such person is not required to respond to the 
collection of information unless it displays a currently valid OMB 
control number.
    (b) The protection provided by paragraph (a) of this section may be 
raised in the form of a complete defense, bar, or otherwise to the 
imposition of such penalty at any time during the agency administrative 
process in which such penalty may be imposed or in any judicial action 
applicable thereto.
    (c) Whenever an agency has imposed a collection of information as a 
means for proving or satisfying a condition for the receipt of a 
benefit or the avoidance of a penalty, and the collection of 
information does not display a currently valid OMB control number or 
inform the potential persons who are to respond to the collection of 
information, as prescribed in Sec. 1320.5(b), the agency shall not 
treat a person's failure to comply, in and of itself, as grounds for 
withholding the benefit or imposing the [[Page 30449]] penalty. The 
agency shall instead permit respondents to prove or satisfy the legal 
conditions in any other reasonable manner.
    (1) If OMB disapproves the whole of such a collection of 
information (and the disapproval is not overridden under Sec. 1320.15), 
the agency shall grant the benefit to (or not impose the penalty on) 
otherwise qualified persons without requesting further proof concerning 
the condition.
    (2) If OMB instructs an agency to make a substantive or material 
change to such a collection of information (and the instruction is not 
overridden under Sec. 1320.15), the agency shall permit respondents to 
prove or satisfy the condition by complying with the collection of 
information as so changed.
    (d) Whenever a member of the public is protected from imposition of 
a penalty under this section for failure to comply with a collection of 
information, such penalty may not be imposed by an agency directly, by 
an agency through judicial process, or by any other person through 
administrative or judicial process.
    (e) The protection provided by paragraph (a) of this section does 
not preclude the imposition of a penalty on a person for failing to 
comply with a collection of information that is imposed on the person 
by statute--e.g., 26 U.S.C. 6011(a) (statutory requirement for person 
to file a tax return), 42 U.S.C. 6938(c) (statutory requirement for 
person to provide notification before exporting hazardous waste).


Sec. 1320.7  Agency head and Senior Official responsibilities.

    (a) Except as provided in paragraph (b) of this section, each 
agency head shall designate a Senior Official to carry out the 
responsibilities of the agency under the Act and this part. The Senior 
Official shall report directly to the head of the agency and shall have 
the authority, subject to that of the agency head, to carry out the 
responsibilities of the agency under the Act and this part.
    (b) An agency head may retain full undelegated review authority for 
any component of the agency which by statute is required to be 
independent of any agency official below the agency head. For each 
component for which responsibility under the Act is not delegated to 
the Senior Official, the agency head shall be responsible for the 
performance of those functions.
    (c) The Senior Official shall head an office responsible for 
ensuring agency compliance with and prompt, efficient, and effective 
implementation of the information policies and information resources 
management responsibilities established under the Act, including the 
reduction of information collection burdens on the public.
    (d) With respect to the collection of information and the control 
of paperwork, the Senior Official shall establish a process within such 
office that is sufficiently independent of program responsibility to 
evaluate fairly whether proposed collections of information should be 
approved under this part.
    (e) Agency submissions of collections of information for OMB 
review, and the accompanying certifications under Sec. 1320.9, may be 
made only by the agency head or the Senior Official, or their designee.


Sec. 1320.8  Agency collection of information responsibilities.

    The office established under Sec. 1320.7 shall review each 
collection of information before submission to OMB for review under 
this part.
    (a) This review shall include:
    (1) An evaluation of the need for the collection of information, 
which shall include, in the case of an existing collection of 
information, an evaluation of the continued need for such collection;
    (2) A functional description of the information to be collected;
    (3) A plan for the collection of information;
    (4) A specific, objectively supported estimate of burden, which 
shall include, in the case of an existing collection of information, an 
evaluation of the burden that has been imposed by such collection;
    (5) An evaluation of whether (and if so, to what extent) the burden 
on respondents can be reduced by use of automated collection techniques 
or other forms of information technology, e.g., permitting electronic 
submission of responses;
    (6) A test of the collection of information through a pilot 
program, if appropriate; and
    (7) A plan for the efficient and effective management and use of 
the information to be collected, including necessary resources.
    (b) Such office shall ensure that each collection of information:
    (1) Is inventoried, displays a currently valid OMB control number, 
and, if appropriate, an expiration date;
    (2) Is reviewed by OMB in accordance with the clearance 
requirements of 44 U.S.C. 3507; and
    (3) Informs and provides fair notice to the potential persons to 
whom the collection of information is addressed of--
    (i) The policy reasons the information is planned to be and/or has 
been collected;
    (ii) The way such information is planned to be and/or has been used 
to further the proper performance of the functions of the agency;
    (iii) An estimate, to the extent practicable, of the average burden 
of the collection (together with a request that the public direct to 
the agency any comments concerning the accuracy of this burden estimate 
and any suggestions for reducing this burden);
    (iv) Whether responses to the collection of information are 
voluntary, required to obtain or retain a benefit (citing authority), 
or mandatory (citing authority);
    (v) The nature and extent of confidentiality to be provided, if any 
(citing authority); and
    (vi) The fact that an agency may not conduct or sponsor, and a 
person is not required to respond to, a collection of information 
unless it displays a currently valid OMB control number.
    (c)(1) An agency shall provide the information described in 
paragraphs (b)(3) (i) through (v) of this section as follows:
    (i) In the case of forms, questionnaires, instructions, and other 
written collections of information sent or made available to potential 
respondents (except in an electronic format), such information can be 
included either on the form, questionnaire or other collection of 
information, as part of the instructions for such collection, or in a 
cover letter or memorandum that accompanies the collection of 
information.
    (ii) In the case of forms, questionnaires, instructions, and other 
written collections of information sent or made available to potential 
respondents in an electronic format, such information can be included 
either in the instructions, near the title of the electronic collection 
instrument, or, for on-line applications, on the first screen viewed by 
the respondent;
    (iii) In the case of collections of information published in 
regulations, guidelines, and other issuances in the Federal Register, 
such information can be published in the Federal Register (for example, 
in the case of a collection of information in a regulation, by 
publishing such information in the preamble or the regulatory text to 
the final rule, or in a technical amendment to the final rule, or in a 
separate notice announcing OMB approval of the collection of 
information).
    (iv) In other cases, and where OMB determines in advance in writing 
that special circumstances exist, agencies [[Page 30450]] may use other 
means to inform potential respondents.
    (2) An agency shall provide the information described in paragraph 
(b)(3)(vi) of this section in accordance with Sec. 1320.5(b)(2)(ii).
    (d)(1) Before an agency submits a collection of information to OMB 
for approval, and except as provided in paragraphs (d)(3) and (d)(4) of 
this section, the agency shall provide 60-day notice in the Federal 
Register, and otherwise consult with members of the public and affected 
agencies concerning each proposed collection of information, to solicit 
comment to:
    (i) Evaluate whether the proposed collection of information is 
necessary for the proper performance of the functions of the agency, 
including whether the information will have practical utility;
    (ii) Evaluate the accuracy of the agency's estimate of the burden 
of the proposed collection of information;
    (iii) Enhance the quality, utility, and clarity of the information 
to be collected; and
    (iv) Minimize the burden of the collection of information on those 
who are to respond, including through the use of appropriate automated 
collection techniques or other forms of information technology, e.g., 
permitting electronic submission of responses.
    (2) If the agency does not publish a copy of the proposed 
collection of information, together with the related instructions, as 
part of the Federal Register notice, the agency should--
    (i) Provide more than 60-day notice to permit timely receipt, by 
interested members of the public, of a copy of the proposed collection 
of information and related instructions; or
    (ii) Explain how and from whom an interested member of the public 
can request and obtain a copy without charge, including, if applicable, 
how the public can gain access to the collection of information and 
related instructions electronically on demand.
    (3) The agency need not separately seek such public comment for any 
proposed collection of information contained in a proposed rule to be 
reviewed under Sec. 1320.11, if the agency provides notice and comment 
through the notice of proposed rulemaking for the proposed rule and 
such notice specifically includes the solicitation of comments for the 
same purposes as are listed under paragraph (d)(1) of this section.
    (4) The agency need not seek or may shorten the time allowed for 
such public comment if OMB grants an exemption from such requirement 
for emergency processing under Sec. 1320.13.


Sec. 1320.9  Agency certifications for proposed collections of 
information.
    As part of the agency submission to OMB of a proposed collection of 
information, the agency (through the head of the agency, the Senior 
Official, or their designee) shall certify (and provide a record 
supporting such certification) that the proposed collection of 
information--
    (a) Is necessary for the proper performance of the functions of the 
agency, including that the information to be collected will have 
practical utility;
    (b) Is not unnecessarily duplicative of information otherwise 
reasonably accessible to the agency;
    (c) Reduces to the extent practicable and appropriate the burden on 
persons who shall provide information to or for the agency, including 
with respect to small entities, as defined in the Regulatory 
Flexibility Act (5 U.S.C. 601(6)), the use of such techniques as:
    (1) Establishing differing compliance or reporting requirements or 
timetables that take into account the resources available to those who 
are to respond;
    (2) The clarification, consolidation, or simplification of 
compliance and reporting requirements; or
    (3) An exemption from coverage of the collection of information, or 
any part thereof;
    (d) Is written using plain, coherent, and unambiguous terminology 
and is understandable to those who are to respond;
    (e) Is to be implemented in ways consistent and compatible, to the 
maximum extent practicable, with the existing reporting and 
recordkeeping practices of those who are to respond;
    (f) Indicates for each recordkeeping requirement the length of time 
persons are required to maintain the records specified;
    (g) Informs potential respondents of the information called for 
under Sec. 1320.8(b)(3);
    (h) Has been developed by an office that has planned and allocated 
resources for the efficient and effective management and use of the 
information to be collected, including the processing of the 
information in a manner which shall enhance, where appropriate, the 
utility of the information to agencies and the public;
    (i) Uses effective and efficient statistical survey methodology 
appropriate to the purpose for which the information is be collected; 
and
    (j) To the maximum extent practicable, uses appropriate information 
technology to reduce burden and improve data quality, agency efficiency 
and responsiveness to the public.


Sec. 1320.10  Clearance of collections of information, other than those 
contained in proposed rules or in current rules.

    Agencies shall submit all collections of information, other than 
those contained either in proposed rules published for public comment 
in the Federal Register (which are submitted under Sec. 1320.11) or in 
current rules that were published as final rules in the Federal 
Register (which are submitted under Sec. 1320.12), in accordance with 
the following requirements:
    (a) On or before the date of submission to OMB, the agency shall, 
in accordance with the requirements in Sec. 1320.5(a)(1)(iv), forward a 
notice to the Federal Register stating that OMB approval is being 
sought. The notice shall direct requests for information, including 
copies of the proposed collection of information and supporting 
documentation, to the agency, and shall request that comments be 
submitted to OMB within 30 days of the notice's publication. The notice 
shall direct comments to the Office of Information and Regulatory 
Affairs of OMB, Attention: Desk Officer for [name of agency]. A copy of 
the notice submitted to the Federal Register, together with the date of 
expected publication, shall be included in the agency's submission to 
OMB.
    (b) Within 60 days after receipt of the proposed collection of 
information or publication of the notice under paragraph (a) of this 
section, whichever is later, OMB shall notify the agency involved of 
its decision to approve, to instruct the agency to make a substantive 
or material change to, or to disapprove, the collection of information, 
and shall make such decision publicly available. OMB shall provide at 
least 30 days for public comment after receipt of the proposed 
collection of information before making its decision, except as 
provided under Sec. 1320.13. Upon approval of a collection of 
information, OMB shall assign an OMB control number and, if 
appropriate, an expiration date. OMB shall not approve any collection 
of information for a period longer than three years.
    (c) If OMB fails to notify the agency of its approval, instruction 
to make substantive or material change, or disapproval within the 60-
day period, the agency may request, and OMB shall assign without 
further delay, an OMB control number that shall be valid for not more 
than one year.
    (d) As provided in Sec. 1320.5(b) and Sec. 1320.6(a), an agency may 
not conduct [[Page 30451]] or sponsor a collection of information 
unless the collection of information displays a currently valid OMB 
control number and the agency informs potential persons who are to 
respond to the collection of information that such persons are not 
required to respond to the collection of information unless it displays 
a currently valid OMB control number.
    (e)(1) In the case of a collection of information not contained in 
a published current rule which has been approved by OMB and has a 
currently valid OMB control number, the agency shall:
    (i) Conduct the review established under Sec. 1320.8, including the 
seeking of public comment under Sec. 1320.8(d); and
    (ii) After having made a reasonable effort to seek public comment, 
but no later than 60 days before the expiration date of the OMB control 
number for the currently approved collection of information, submit the 
collection of information for review and approval under this Part, 
which shall include an explanation of how the agency has used the 
information that it has collected.
    (2) The agency may continue to conduct or sponsor the collection of 
information while the submission is pending at OMB.
    (f) Prior to the expiration of OMB's approval of a collection of 
information, OMB may decide on its own initiative, after consultation 
with the agency, to review the collection of information. Such 
decisions will be made only when relevant circumstances have changed or 
the burden estimates provided by the agency at the time of initial 
submission were materially in error. Upon notification by OMB of its 
decision to review the collection of information, the agency shall 
submit it to OMB for review under this part.
    (g) For good cause, after consultation with the agency, OMB may 
stay the effectiveness of its prior approval of any collection of 
information that is not specifically required by agency rule; in such 
case, the agency shall cease conducting or sponsoring such collection 
of information while the submission is pending, and shall publish a 
notice in the Federal Register to that effect.


Sec. 1320.11  Clearance of collections of information in proposed 
rules.

    Agencies shall submit collections of information contained in 
proposed rules published for public comment in the Federal Register in 
accordance with the following requirements:
    (a) The agency shall include, in accordance with the requirements 
in Sec. 1320.5(a)(1)(iv), in the preamble to the Notice of Proposed 
Rulemaking a statement that the collections of information contained in 
the proposed rule, and identified as such, have been submitted to OMB 
for review under section 3507(d) of the Act. The statement shall 
request that comments be submitted to OMB within 60 days of the 
notice's publication. The notice shall direct comments to the Office of 
Information and Regulatory Affairs of OMB, Attention: Desk Officer for 
[name of agency].
    (b) All such submissions shall be made to OMB not later than the 
day on which the Notice of Proposed Rulemaking is published in the 
Federal Register, in such form and in accordance with such procedures 
as OMB may direct. Such submissions shall include a copy of the 
proposed regulation and preamble.
    (c) Within 60 days of publication of the proposed rule, but subject 
to paragraph (e) of this section, OMB may file public comments on 
collection of information provisions. The OMB comments shall be in the 
form of an OMB Notice of Action, which shall be sent to the Senior 
Official or agency head, or their designee, and which shall be made a 
part of the agency's rulemaking record.
    (d) If an agency submission is not in compliance with paragraph (b) 
of this section, OMB may, subject to paragraph (e) of this section, 
disapprove the collection of information in the proposed rule within 60 
days of receipt of the submission. If an agency fails to submit a 
collection of information subject to this section, OMB may, subject to 
paragraph (e) of this section, disapprove it at any time.
    (e) OMB shall provide at least 30 days after receipt of the 
proposed collection of information before submitting its comments or 
making its decision, except as provided under Sec. 1320.13.
    (f) When the final rule is published in the Federal Register, the 
agency shall explain how any collection of information contained in the 
final rule responds to any comments received from OMB or the public. 
The agency shall include an identification and explanation of any 
modifications made in the rule, or explain why it rejected the 
comments. If requested by OMB, the agency shall include OMB's comments 
in the preamble to the final rule.
    (g) If OMB has not filed public comments under paragraph (c) of 
this section, or has approved without conditions the collection of 
information contained in a rule before the final rule is published in 
the Federal Register, OMB may assign an OMB control number prior to 
publication of the final rule.
    (h) On or before the date of publication of the final rule, the 
agency shall submit the final rule to OMB, unless it has been approved 
under paragraph (g) of this section (and not substantively or 
materially modified by the agency after approval). Not later than 60 
days after publication, but subject to paragraph (e) of this section, 
OMB shall approve, instruct the agency to make a substantive or 
material change to, or disapprove, the collection of information 
contained in the final rule. Any such instruction to change or 
disapprove may be based on one or more of the following reasons, as 
determined by OMB:
    (1) The agency has failed to comply with paragraph (b) of this 
section;
    (2) The agency had substantially modified the collection of 
information contained in the final rule from that contained in the 
proposed rule without providing OMB with notice of the change and 
sufficient information to make a determination concerning the modified 
collection of information at least 60 days before publication of the 
final rule; or
    (3) In cases in which OMB had filed public comments under paragraph 
(c) of this section, the agency's response to such comments was 
unreasonable, and the collection of information is unnecessary for the 
proper performance of the agency's functions.
    (i) After making such decision to approve, to instruct the agency 
to make a substantive or material change to, or disapprove, the 
collection of information, OMB shall so notify the agency. If OMB 
approves the collection of information or if it has not acted upon the 
submission within the time limits of this section, the agency may 
request, and OMB shall assign an OMB control number. If OMB disapproves 
or instructs the agency to make substantive or material change to the 
collection of information, it shall make the reasons for its decision 
publicly available.
    (j) OMB shall not approve any collection of information under this 
section for a period longer than three years. Approval of such 
collection of information will be for the full three-year period, 
unless OMB determines that there are special circumstances requiring 
approval for a shorter period.
    (k) After receipt of notification of OMB's approval, instruction to 
make a substantive or material change to, disapproval of a collection 
of information, or failure to act, the agency shall publish a notice in 
the Federal Register to inform the public of OMB's decision. 
[[Page 30452]] 
    (l) As provided in Sec. 1320.5(b) and Sec. 1320.6(a), an agency may 
not conduct or sponsor a collection of information unless the 
collection of information displays a currently valid OMB control number 
and the agency informs potential persons who are to respond to the 
collection of information that such persons are not required to respond 
to the collection of information unless it displays a currently valid 
OMB control number.


Sec. 1320.12  Clearance of collections of information in current rules.

    Agencies shall submit collections of information contained in 
current rules that were published as final rules in the Federal 
Register in accordance with the following procedures:
    (a) In the case of a collection of information contained in a 
published current rule which has been approved by OMB and has a 
currently valid OMB control number, the agency shall:
    (1) Conduct the review established under Sec. 1320.8, including the 
seeking of public comment under Sec. 1320.8(d); and
    (2) After having made a reasonable effort to seek public comment, 
but no later than 60 days before the expiration date of the OMB control 
number for the currently approved collection of information, submit the 
collection of information for review and approval under this part, 
which shall include an explanation of how the agency has used the 
information that it has collected.
    (b)(1) In the case of a collection of information contained in a 
published current rule that was not required to be submitted for OMB 
review under the Paperwork Reduction Act at the time the collection of 
information was made part of the rule, but which collection of 
information is now subject to the Act and this Part, the agency shall:
    (i) Conduct the review established under Sec. 1320.8, including the 
seeking of public comment under Sec. 1320.(8)(d); and
    (ii) After having made a reasonable effort to seek public comment, 
submit the collection of information for review and approval under this 
part, which shall include an explanation of how the agency has used the 
information that it has collected.
    (2) The agency may continue to conduct or sponsor the collection of 
information while the submission is pending at OMB. In the case of a 
collection of information not previously approved, a control number 
shall be granted for such period, which shall not exceed 60 days, 
unless extended by the Director for an additional 60 days. Upon 
assignment of an interim OMB control number, and in accordance with 
Sec. 1320.3(f) and Sec. 1320.5(b), the agency shall display the number 
and inform the potential persons who are to respond to the collection 
of information that such persons are not required to respond to the 
collection of information unless it displays a currently valid OMB 
control number and the agency informs potential persons who are to 
respond to the collection of information that such persons are not 
required to respond to the collection of information unless it displays 
a currently valid OMB control number.
    (c) On or before the day of submission to OMB under paragraphs (a) 
or (b) of this section, the agency shall, in accordance with the 
requirements set forth in Sec. 1320.5(a)(1)(iv), forward a notice to 
the Federal Register stating that OMB review is being sought. The 
notice shall direct requests for copies of the collection of 
information and supporting documentation to the agency, and shall 
request that comments be submitted to OMB within 30 days of the 
notice's publication. The notice shall direct comments to the Office of 
Information and Regulatory Affairs of OMB, Attention: Desk Officer for 
[name of agency]. A copy of the notice submitted to the Federal 
Register, together with the date of expected publication, shall be 
included in the agency's submission to OMB.
    (d) Within 60 days after receipt of the collection of information 
or publication of the notice under paragraph (c) of this section, 
whichever is later, OMB shall notify the agency involved of its 
decision to approve, to instruct the agency to make a substantive or 
material change to, or to disapprove, the collection of information, 
and shall make such decision publicly available. OMB shall provide at 
least 30 days for public comment after receipt of the proposed 
collection of information before making its decision, except as 
provided under Sec. 1320.13.
    (e) (1) Upon approval of a collection of information, OMB shall 
assign an OMB control number and an expiration date. OMB shall not 
approve any collection of information for a period longer than three 
years. Approval of any collection of information submitted under this 
section will be for the full three-year period, unless OMB determines 
that there are special circumstances requiring approval for a shorter 
period.
    (2) If OMB fails to notify the agency of its approval, instruction 
to make substantive or material change, or disapproval within the 60-
day period, the agency may request, and OMB shall assign without 
further delay, an OMB control number that shall be valid for not more 
than one year.
    (3) As provided in Sec. 1320.5(b) and Sec. 1320.6(a), an agency may 
not conduct or sponsor a collection of information unless the 
collection of information displays a currently valid OMB control number 
and the agency informs potential persons who are to respond to the 
collection of information that such persons are not required to respond 
to the collection of information unless it displays a currently valid 
OMB control number.
    (f) (1) If OMB disapproves a collection of information contained in 
an existing rule, or instructs the agency to make a substantive or 
material change to a collection of information contained in an existing 
rule, OMB shall:
    (i) Publish an explanation thereof in the Federal Register; and
    (ii) Instruct the agency to undertake a rulemaking within a 
reasonable time limited to consideration of changes to the collection 
of information contained in the rule and thereafter to subject the 
collection of information for approval or disapproval under 
Sec. 1320.10 or Sec. 1320.11, as appropriate; and
    (iii) Extend the existing approval of the collection of information 
(including an interim approval granted under paragraph (b) of this 
section) for the duration of the period required for consideration of 
proposed changes, including that required for OMB approval or 
disapproval of the collection of information under Sec. 1320.10 or 
Sec. 1320.11, as appropriate.
    (2) Thereafter, the agency shall, within a reasonable period of 
time not to exceed 120 days, undertake such procedures as are necessary 
in compliance with the Administrative Procedure Act and other 
applicable law to amend or rescind the collection of information, and 
shall notify the public through the Federal Register. Such notice shall 
identify the proposed changes in the collections of information and 
shall solicit public comment on retention, change, or rescission of 
such collections of information. If the agency employs notice and 
comment rulemaking procedures for amendment or rescission of the 
collection of information, publication of the above in the Federal 
Register and submission to OMB shall initiate OMB clearance procedures 
under section 3507(d) of the Act and Sec. 1320.11. All procedures shall 
be completed within a reasonable period of time to be determined by OMB 
in consultation with the agency.
    (g) OMB may disapprove, in whole or in part, any collection of 
information [[Page 30453]] subject to the procedures of this section, 
if the agency:
    (1) Has refused within a reasonable time to comply with an OMB 
instruction to subject the collection of information for review;
    (2) Has refused within a reasonable time to initiate procedures to 
change the collection of information; or
    (3) Has refused within a reasonable time to publish a final rule 
continuing the collection of information, with such changes as may be 
appropriate, or otherwise complete the procedures for amendment or 
rescission of the collection of information.
    (h) (1) Upon disapproval by OMB of a collection of information 
subject to this section, except as provided in paragraph (f)(1)(iii) of 
this section, the OMB control number assigned to such collection of 
information shall immediately expire, and no agency shall conduct or 
sponsor such collection of information. Any such disapproval shall 
constitute disapproval of the collection of information contained in 
the Notice of Proposed Rulemaking or other submissions, and also of the 
preexisting information collection instruments directed at the same 
collection of information and therefore constituting essentially the 
same collection of information.
    (2) The failure to display a currently valid OMB control number for 
a collection of information contained in a current rule, or the failure 
to inform the potential persons who are to respond to the collection of 
information that such persons are not required to respond to the 
collection of information unless it displays a currently valid OMB 
control number, does not, as a legal matter, rescind or amend the rule; 
however, such absence will alert the public that either the agency has 
failed to comply with applicable legal requirements for the collection 
of information or the collection of information has been disapproved, 
and that therefore the portion of the rule containing the collection of 
information has no legal force and effect and the public protection 
provisions of 44 U.S.C. 3512 apply.
    (i) Prior to the expiration of OMB's approval of a collection of 
information in a current rule, OMB may decide on its own initiative, 
after consultation with the agency, to review the collection of 
information. Such decisions will be made only when relevant 
circumstances have changed or the burden estimates provided by the 
agency at the time of initial submission were materially in error. Upon 
notification by OMB of its decision to review the collection of 
information, the agency shall submit it to OMB for review under this 
part.


Sec. 1320.13  Emergency processing.

    An agency head or the Senior Official may request OMB to authorize 
emergency processing of submissions of collections of information.
    (a) Any such request shall be accompanied by a written 
determination that:
    (1) The collection of information:
    (i) Is needed prior to the expiration of time periods established 
under this part; and
    (ii) Is essential to the mission of the agency; and
    (2) The agency cannot reasonably comply with the normal clearance 
procedures under this part because:
    (i) Public harm is reasonably likely to result if normal clearance 
procedures are followed;
    (ii) An unanticipated event has occurred; or
    (iii) The use of normal clearance procedures is reasonably likely 
to prevent or disrupt the collection of information or is reasonably 
likely to cause a statutory or court ordered deadline to be missed.
    (b) The agency shall state the time period within which OMB should 
approve or disapprove the collection of information.
    (c) The agency shall submit information indicating that it has 
taken all practicable steps to consult with interested agencies and 
members of the public in order to minimize the burden of the collection 
of information.
    (d) The agency shall set forth in the Federal Register notice 
prescribed by Sec. 1320.5(a)(1)(iv), unless waived or modified under 
this section, a statement that it is requesting emergency processing, 
and the time period stated under paragraph (b) of this section.
    (e) OMB shall approve or disapprove each such submission within the 
time period stated under paragraph (b) of this section, provided that 
such time period is consistent with the purposes of this Act.
    (f) If OMB approves the collection of information, it shall assign 
a control number valid for a maximum of 90 days after receipt of the 
agency submission.


Sec. 1320.14  Public access.

    (a) In order to enable the public to participate in and provide 
comments during the clearance process, OMB will ordinarily make its 
paperwork docket files available for public inspection during normal 
business hours. Notwithstanding other provisions of this part, and to 
the extent permitted by law, requirements to publish public notices or 
to provide materials to the public may be modified or waived by the 
Director to the extent that such public participation in the approval 
process would defeat the purpose of the collection of information; 
jeopardize the confidentiality of proprietary, trade secret, or other 
confidential information; violate State or Federal law; or 
substantially interfere with an agency's ability to perform its 
statutory obligations.
    (b) Agencies shall provide copies of the material submitted to OMB 
for review promptly upon request by any person.
    (c) Any person may request OMB to review any collection of 
information conducted by or for an agency to determine, if, under this 
Act and this part, a person shall maintain, provide, or disclose the 
information to or for the agency. Unless the request is frivolous, OMB 
shall, in coordination with the agency responsible for the collection 
of information:
    (1) Respond to the request within 60 days after receiving the 
request, unless such period is extended by OMB to a specified date and 
the person making the request is given notice of such extension; and
    (2) Take appropriate remedial action, if necessary.


Sec. 1320.15  Independent regulatory agency override authority.

    (a) An independent regulatory agency which is administered by two 
or more members of a commission, board, or similar body, may by 
majority vote void:
    (1) Any disapproval, instruction to such agency to make material or 
substantive change to, or stay of the effectiveness of OMB approval of, 
any collection of information of such agency; or
    (2) An exercise of authority under Sec. 1320.10(g) concerning such 
agency.
    (b) The agency shall certify each vote to void such OMB action to 
OMB, and explain the reasons for such vote. OMB shall without further 
delay assign an OMB control number to such collection of information, 
valid for the length of time requested by the agency, up to three 
years, to any collection of information as to which this vote is 
exercised. No override shall become effective until the independent 
regulatory agency, as provided in Sec. 1320.5(b) and Sec. 1320.6(2), 
has displayed the OMB control number and informed the potential persons 
who are to respond to the collection of information that such persons 
are not required to respond to the collection of information unless it 
displays a currently valid OMB control number. [[Page 30454]] 


Sec. 1320.16  Delegation of approval authority.

    (a) OMB may, after complying with the notice and comment procedures 
of the Administrative Procedure Act, delegate OMB review of some or all 
of an agency's collections of information to the Senior Official, or to 
the agency head with respect to those components of the agency for 
which he or she has not delegated authority.
    (b) No delegation of review authority shall be made unless the 
agency demonstrates to OMB that the Senior Official or agency head to 
whom the authority would be delegated:
    (1) Is sufficiently independent of program responsibility to 
evaluate failure whether proposed collections of information should be 
approved;
    (2) Has sufficient resources to carry out this responsibility 
effectively; and
    (3) Has established an agency review process that demonstrates the 
prompt, efficient, and effective performance of collection of 
information review responsibilities.
    (c) OMB may limit, condition, or rescind, in whole or in part, at 
any time, such delegations of authority, and reserves the right to 
review any individual collection of information, or part thereof, 
conducted or sponsored by an agency, at any time.
    (d) Subject to the provisions of this part, and in accordance with 
the terms and conditions of each delegation as specified in appendix A 
to this part, OMB delegates review and approval authority to the 
following agencies:
    (1) Board of Governors of the Federal Reserve System; and
    (2) Managing Director of the Federal Communications Commission.


Sec. 1320.17  Information collection budget.

    Each agency's Senior Official, or agency head in the case of any 
agency for which the agency head has not delegated responsibility under 
the Act for any component of the agency to the Senior Official, shall 
develop and submit to OMB, in such form, at such time, and in 
accordance with such procedures as OMB may prescribe, an annual 
comprehensive budget for all collections of information from the public 
to be conducted in the succeeding twelve months. For good cause, OMB 
may exempt any agency from this requirement.


Sec. 1320.18  Other authority.

    (a) OMB shall determine whether any collection of information or 
other matter is within the scope of the Act, or this part.
    (b) In appropriate cases, after consultation with the agency, OMB 
may initiate a rulemaking proceeding to determine whether an agency's 
collection of information is consistent with statutory standards. Such 
proceedings shall be in accordance with the informal rulemaking 
procedures of the Administrative Procedure Act.
    (c) Each agency is responsible for complying with the information 
policies, principles, standards, and guidelines prescribed by OMB under 
this Act.
    (d) To the extent permitted by law, OMB may waive any requirements 
contained in this part.
    (e) Nothing in this part shall be interpreted to limit the 
authority of OMB under this Act, or any other law. Nothing in this part 
or this Act shall be interpreted as increasing or decreasing the 
authority of OMB with respect to the substantive policies and programs 
of the agencies.

Appendix A--Agencies With Delegated Review and Approval Authority

1. The Board of Governors of the Federal Reserve System

    (a) Authority to review and approve collection of information 
requests, collection of information requirements, and collections of 
information in current rules is delegated to the Board of Governors 
of the Federal Reserve System.
    (1) This delegation does not include review and approval 
authority over any new collection of information or any modification 
to an existing collection of information that:
    (i) Is proposed to be collected as a result of a requirement or 
other mandate of the Federal Financial Institutions Examination 
Council, or other Federal executive branch entities with authority 
to require the Board to conduct or sponsor a collection of 
information.
    (ii) Is objected to by another Federal agency on the grounds 
that agency requires information currently collected by the Board, 
that the currently collected information is being deleted from the 
collection, and the deletion will have a serious adverse impact on 
the agency's program, provided that such objection is certified to 
OMB by the head of the Federal agency involved, with a copy to the 
Board, before the end of the comment period specified by the Board 
on the Federal Register notices specified in paragraph (a)(3)(i) of 
this section 1.
    (iii) Would cause the burden of the information collections 
conducted or sponsored by the Board to exceed by the end of the 
fiscal year the Information Collection Budget allowance provided to 
the Board by OMB for the fiscal year-end.
    (2) The Board may ask that OMB review and approve collections of 
information covered by this delegation.
    (3) In exercising delegated authority, the Board will:
    (i) Provide the public, to the extent possible and appropriate, 
with reasonable opportunity to comment on collections of information 
under review prior to taking final action approving the collection. 
Reasonable opportunity for public comment will include publishing a 
notice in the Federal Register informing the public of the proposed 
collection of information, announcing the beginning of a 60-day 
public comment period, and the availability of copies of the 
``clearance package,'' to provide the public with the opportunity to 
comment. Such Federal Register notices shall also advise the public 
that they may also send a copy of their comments to the Federal 
Reserve Board and to the OMB/OIRA Desk Officer.
    (A) Should the Board determine that a new collection of 
information or a change in an existing collection must be instituted 
quickly and that public participation in the approval process would 
defeat the purpose of the collection or substantially interfere with 
the Board's ability to perform its statutory obligation, the Board 
may temporarily approve of the collection of information for a 
period not to exceed 90 days without providing opportunity for 
public comment.
    (B) At the earliest practical date after approving the temporary 
extension to the collection of information, the Board will publish a 
Federal Register notice informing the public of its approval of the 
collection of information and indicating why immediate action was 
necessary. In such cases, the Board will conduct a normal delegated 
review and publish a notice in the Federal Register soliciting 
public comment on the intention to extend the collection of 
information for a period not to exceed three years.
    (ii) Provide the OMB/OIRA Desk Officer for the Federal Reserve 
Board with a copy of the Board's Federal Register notice not late 
than the day the Board files the notice with the Office of the 
Federal Register.
    (iii) Assure that approved collections of information are 
reviewed not less frequently than once every three years, and that 
such reviews are normally conducted before the expiration date of 
the prior approval. Where the review has not been completed prior to 
the expiration date, the Board may extend the report, for up to 
three months, without public notice in order to complete the review 
and consequent revisions, if any. There may also be other 
circumstances in which the Board determines that a three-month 
extension without public notice is appropriate.
    (iv) Take every reasonable step to conduct the review 
established under 5 CFR 1320.8, including the seeking of public 
comment under 5 CFR 1320.8(d). In determining whether to approve a 
collection of information, the Board will consider all comments 
received from the public and other agencies. The Board will not 
approve a collection of information that it determines does not 
satisfy the guidelines set forth in 5 CFR 1320.5(d)(2), unless it 
determines that departure from these guidelines is necessary to 
satisfy statutory requirements or other substantial need.
    (v)(A) Assure that each approved collection of information 
displays, as required by 5 CFR 1320.6, a currently valid OMB control 
number and the fact that a person is not required to respond to a 
collection of information unless it displays a currently valid OMB 
control number. [[Page 30455]] 
    (B) Assure that all collections of information, except those 
contained in regulations, display the expiration date of the 
approval, or, in case the expiration date has been omitted, explain 
the decision that it would not be appropriate, under 5 CFR 
1320.5(a)(1)(iii)(C), for a proposed collection of information to 
display an expiration date.
    (C) Assure that each collection of information, as required by 5 
CFR 1320.8(b)(3), informs and provides fair notice to the potential 
respondents of why the information is being collected; the way in 
which such information is to be used; the estimated burden; whether 
responses are voluntary, required, required to obtain a benefit, or 
mandatory; the confidentiality to be provided; and the fact that an 
agency may not conduct or sponsor, and the respondent is not 
required to respond to, a collection of information unless it 
displays a currently valid OMB control number.
    (vi) Assure that each approved collection of information, 
together with a completed form OMB 83-I, a supporting statement, a 
copy of each comment received from the public and other agencies in 
response to the Board's Federal Register notice or a summary of 
these comments, the certification required by 5 CFR 1320.9, and a 
certification that the Board has approved of the collection of 
information in accordance with the provisions of this delegation is 
transmitted to OMB for incorporation into OMB's public docket files. 
Such transmittal shall be made as soon as practical after the Board 
has taken final action approving the collection. However, no 
collection of information may be instituted until the Board receives 
written or oral notification from OMB or OMB staff that the 
transmittal has been received.
    (b) OMB will:
    (1) Provide the Board in advance with a block of control numbers 
which the Board will assign in sequential order to and display on, 
new collections of information.
    (2) Provide a written notice of action to the Board indicating 
that the Board approvals of collections of information that have 
been received by OMB and incorporated into OMB's public docket files 
and an inventory of currently approved collections of information.
    (3) Review any collection of information referred by the Board 
in accordance with the provisions of section 1(a)(2) of this 
appendix.
    (c) OMB may review the Board's paperwork review process under 
the delegation. The Board will cooperate in carrying out such a 
review. The Board will respond to any recommendations resulting from 
such review and, if it finds the recommendations to be appropriate, 
will either accept the recommendations or propose an alternative 
approach to achieve the intended purpose.
    (d) This delegation may, as provided by 5 CFR 1320.16(c), be 
limited, conditioned, or rescinded, in whole or in part at any time. 
OMB will exercise this authority only in unusual circumstances and, 
in those rare instances, will do so, subject to the provisions of 5 
CFR 1320.10(f) and 1320.10(g), prior to the expiration of the time 
period set for public comment in the Board's Federal Register 
notices and generally only if:
    (1) Prior to the commencement of a Board review (e.g., during 
the review for the Information Collection Budget). OMB has notified 
the Board that it intends to review a specific new proposal for the 
collection of information or the continued use (with or without 
modification) of an existing collection;
    (2) There is substantial public objection to a proposed 
information collection: or
    (3) OMB determines that a substantially inadequate and 
inappropriate lead time has been provided between the final 
announcement date of the proposed requirement and the first date 
when the information is to be submitted or disclosed. When OMB 
exercises this authority it will consider that the period of its 
review began the date that OMB received the Federal Register notice 
provided for in section 1(a)(3)(i) of this appendix.
    (e) Where OMB conducts a review of a Board information 
collection proposal under section 1(a)(1), 1(a)(2), or 1(d) of this 
appendix, the provisions of 5 CFR 1320.13 continue to apply.

2. The Managing Director of the Federal Communications Commission.

    (a) Authority to review and approve currently valid (OMB-
approved) collections of information, including collections of 
information contained in existing rules, that have a total annual 
burden of 5,000 hours or less and a burden of less than 500 hours 
per respondent is delegated to the Managing Director of the Federal 
Communications Commission.
    (1) This delegation does not include review and approval 
authority over any new collection of information, any collections 
whose approval has lapsed, any substantive or material modification 
to existing collections, any reauthorization of information 
collections employing statistical methods, or any information 
collections that exceed a total annual burden of 5,000 hours or an 
estimated burden of 500 hours per respondent.
    (2) The Managing Director may ask that OMB review and approve 
collections of information covered by the delegation.
    (3) In exercising delegated authority, the Managing Director 
will:
    (i) Provide the public, to the extent possible and appropriate, 
with reasonable opportunity to comment on collections of information 
under review prior to taking final action on reauthorizing an 
existing collection. Reasonable opportunity for public comment will 
include publishing a notice in the Federal Register and an FCC 
Public Notice informing the public that a collection of information 
is being extended and announcing the beginning of a 60-day comment 
period, notifying the public of the ``intent to extend an 
information collection,'' and providing the public with the 
opportunity to comment on the need for the information, its 
practicality, the accuracy of the agency's burden estimate, and on 
ways to minimize burden, including the use of automated collection 
techniques or other forms of information technology, e.g., 
permitting electronic submission of responses. Such notices shall 
advise the public that they may also send a copy of their comments 
to the OMB/Office of Information and Regulatory Affairs desk officer 
for the Commission.
    (A) Should the Managing Director determine that a collection of 
information that falls within the scope of this delegation must be 
reauthorized quickly and that public participation in the 
reauthorization process interferes with the Commission's ability to 
perform its statutory obligation, the Managing Director may 
temporarily reauthorize the extension of an information collection, 
for a period not to exceed 90 days, without providing opportunity 
for public comment.
    (B) At the earliest practical date after granting this temporary 
extension to an information collection, the Managing Director will 
conduct a normal delegated review and publish a Federal Register 
notice soliciting public comment on its intention to extend the 
collection of information for a period not to exceed three years.
    (ii) Assure that approved collections of information are 
reviewed not less frequently than once every three years and that 
such reviews are conducted before the expiration date of the prior 
approval. When the review is not completed prior to the expiration 
date, the Managing Director will submit the lapsed information 
collection to OMB for review and reauthorization.
    (iii) Assure that each reauthorized collection of information 
displays an OMB control number and, except for those contained in 
regulations or specifically designated by OMB, displays the 
expiration date of the approval.
    (iv) Inform and provide fair notice to the potential 
respondents, as required by 5 CFR 1320.8(b)(3), of why the 
information is being collected; the way in which such information is 
to be used; the estimated burden; whether responses are voluntary, 
required, required to obtain a benefit, or mandatory; the 
confidentiality to be provided; and the fact that an agency may not 
conduct or sponsor, and the respondent is not required to respond 
to, a collection of information unless it displays a currently valid 
OMB control number.
    (v) Transmit to OMB for incorporation into OMB's public docket 
files, a report of delegated approval certifying that the Managing 
Director has reauthorized each collection of information in 
accordance with the provisions of this delegation. The Managing 
Director shall also make the certification required by 5 CFR 1320.9, 
e.g., that the approved collection of information reduces to the 
extent practicable and appropriate, the burden on respondents, 
including, for small business, local government, and other small 
entities, the use of the techniques outlined in the Regulatory 
Flexibility Act. Such transmittals shall be made no later than 15 
days after the Managing Director has taken final action 
reauthorizing the extension of an information collection.
    (vi) Ensure that the personnel in the Commission's functional 
bureaus and offices responsible for managing information collections 
receive periodic training on procedures related to meeting the 
requirements of this part and the Act. [[Page 30456]] 
    (b) OMB will:
    (1) Provide notice to the Commission acknowledging receipt of 
the report of delegated approval and its incorporation into OMB's 
public docket files and inventory of currently approved collections 
of information.
    (2) Act upon any request by the Commission to review a 
collection of information referred by the Commission in accordance 
with the provisions of section 2(a)(2) of this appendix.
    (3) Periodically assess, at its discretion, the Commission's 
paperwork review process as administered under the delegation. The 
Managing Director will cooperate in carrying out such an assessment. 
The Managing Director will respond to any recommendations resulting 
from such a review and, if it finds the recommendations to be 
appropriate, will either accept the recommendation or propose an 
alternative approach to achieve the intended purpose.
    (c) This delegation may, as provided by 5 CFR 1320.16(c), be 
limited, conditioned, or rescinded, in whole or in part at any time. 
OMB will exercise this authority only in unusual circumstances.

[FR Doc. 95-14007 Filed 6-7-95; 8:45 am]
BILLING CODE 3110-01-P