APPENDIX 1

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 amends 5 CFR Chapter

III by adding a new part 1320 to read as follows:

PART 1320 \-- CONTROLLING PAPERWORK BURDENS ON THE PUBLIC

Sec.

1320.1 Purpose.

1320.2 Effect.

1320.3 Coverage.

1320.4 General requirements.

1320.5 Public protection.

1320.6 General information collection guidelines.

1320.7 Definitions.

1320.8 Agency head and senior official responsibilities.

1320.9 Delegation of approval authority.

1320.10 Information Collection Budget.

1320.11 Agency submissions of collections of information.

1320.12 Clearance of information collection requests.

1320.13 Clearance of collection of information requirements in

proposed rules.

1320.14 Clearance of collections of information in current rules.

1320.15 Collections of information prescribed by another agency.

1320.16 Interagency reporting.

1320.17 Emergency and expedited processing.

1320.18 Public access.

1320.19 Independent regulatory agency override authority.

1320.20 Other authority.

Authority: 31 U.S.C. Sec.18a and 44 U.S.C. Chs. 21, 25, 27, 29,

31, 35.

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APPENDIX 1

1320.1 Purpose

The purpose of this Part is to implement the provisions of the

Paperwork Reduction Act of 1980 (Title 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 associated with the collection of

information by Federal agencies from individuals, businesses and

other private institutions, and State and local governments. In the

case of inter-agency reporting, this Part establishes policy and

promulgates regulations to ensure the effective management of

inter-agency reporting requirements in the executive branch, and is

promulgated under the authority of the Federal Records Act (Title 44

U.S.C. Chapters 21, 25, 27, 29, 31) and Section 104 of the Budget and

Accounting Procedures Act of 1950, (Title 31 U.S.C. Section 1111), as

well as the Act.

1320.2 Effect

This Part supersedes and rescinds Circular No. A-40, Revised, dated

May 3, 1973, and Transmittal Memorandum No. 1, dated February 10,

1976\. This Part will become effective on
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ (30 days

after publication).

1320.3 Coverage

The requirements of this Part apply to all agencies as defined in

1320.7(a) and to all collections of information conducted or

sponsored by those agencies, as defined in 1320.7(c), wherever

conducted or sponsored, except for collections of information:

\(a\) By compulsory process pursuant to the Anti-trust Civil

Process Act or Section 13 of the Federal Trade Commission

Improvements Act or Section 13 of the Federal Trade Commission

Improvements Act of 1980;

\(b\) During the conduct of intelligence activities, as defined

in Section 4-206 of Executive Order 12036, issued January 24,

1978, or successor orders, including Executive Order 12333,

issued December 4, 1981, or during the conduct of cryptologic

activities that are communications securities activities; or

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APPENDIX 1

\(c\) During the conduct of a federal criminal investigation or

prosecution, during the disposition of a particular criminal

matter, during the conduct of a civil action to which the United

States or any official or agency thereof is a party, or during

the conduct of an administrative action or investigation

involving an agency against specific individuals or entities.

This exception 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 its equivalent is

opened with respect to a particular party. General 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.

1320.4 General Requirements

\(a\) An agency shall not engage in a collection of information

without obtaining Office of Management and Budget (OMB) approval

of the collection of information and displaying a currently

valid OMB control number and, unless OMB determines it to be

inappropriate, an expiration date. An agency shall not continue

to engage in such collection of information after the expiration

date of the control number, unless OMB has approved an

extension. Each agency shall ensure that collections of

information required by law or necessary to obtain a benefit,

and which are submitted to nine or fewer persons, inform

potential respondents that the collection of information is not

subject to OMB review under the Act.

\(b\) To obtain OMB approval of a collection of information, an

agency shall demonstrate that it has taken every reasonable step

to ensure that:

\(1\) The collection of information is the least burdensome

necessary for the proper performance of the agency\'s

functions to comply with legal requirements and achieve

program objectives;

\(2\) The collection of information is not duplicative of

information otherwise accessible to the agency; and

\(3\) The collection of information has practical utility.

The agency shall also seek to minimize the cost to itself of

collecting, processing, and using the information, but shall

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APPENDIX 1

not do so by means of shifting disproportionate costs or burdens

onto the public. It shall also comply with the general

information collection guidelines set out in 1320.6, where

applicable.

\(c\) 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 listed in

1320.4(b), 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 information collection

request specifically required by an agency rule approved or

not acted upon by OMB pursuant to 1320.13 or 1320.14, but

will independently assess any such information collection

request to the extent that it deviates from the

specifications of the rule.

\(d\) Except as provided in 1320.19, to the extent that OMB

determines that all or any portion of a collection of

information by an agency is unnecessary, for any reason, the

agency shall not engage in such collection or portion thereof.

1320.5 Public Protection

\(a\) Notwithstanding any other provision of law, no person shall

be subject to any penalty for failure to comply with any

information collection request if the request does not display a

currently valid OMB control number, or, in the case of an

information collection request which is submitted to nine or

fewer persons, the request fails to state that for this reason

it is not subject to OMB review under the Act.

\(b\) Notwithstanding any other provision of law, no person shall

be subject to any penalty for failure to comply with any

collection of information requirement if the requirement has

been disapproved by OMB, unless that disapproval has been

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APPENDIX 1

overridden by an independent regulatory agency pursuant to

1320.19. After March 1, 1984, all collection of information

requirements that have been submitted to OMB for clearance, and

that have not been disapproved by OMB, will display a currently

valid OMB control number. The absence of a control number on a

collection of information requirement does not, as a legal

matter, invalidate such requirement; however, its 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 requirement has

been disapproved.

\(c\) Whenever an agency has imposed an information collection

request or collection of information requirement as the means

for proving or satisfying a condition to the receipt of a

benefit or the avoidance of a penalty, and the information

collection request does not display a currently valid OMB

control number or statement, as prescribed in 1320.4(a), or the

collection of information requirement has been disapproved by

OMB in accordance with the procedures established by this Part

(and not overridden by an independent regulatory agency pursuant

to 1320.19), the agency shall not treat a person\'s failure to

comply, in and of itself, as grounds for withholding the benefit

or imposing the penalty. The agency shall instead permit

respondents to prove or satisfy the legal conditions in any

other reasonable manner.

\(1\) If such a collection of information is disapproved in

whole by OMB (and the disapproval is not overridden

pursuant to 1320.19), the agency shall grant the benefit

to (or not impose the penalty on) otherwise qualifed

persons without requesting further proof concerning the

condition.

\(2\) If such a collection of information is ordered

modified by OMB (and the order is not overridden pursuant

to 1320.19), the agency shall permit respondents to prove

or satisfy the condition by complying with the collection

of information as so modified.

\(d\) 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 judicial or

administrative process.

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APPENDIX 1

1320.6 General Information Collection Guidelines

Unless the agency is able to demonstrate that such collection of

information is necessary to satisfy statutory requirements or other

substantial need, OMB will not approve a collection of information:

\(a\) Requiring respondents to report information to the agency

more often than quarterly;

\(b\) Requiring respondents to prepare a written response to an

information collection request or requirement in fewer than 30

days after receipt of it;

\(c\) Requiring respondents to submit more than an original and

two copies of any document;

\(d\) Requiring grantees to submit or maintain information other

than that required under OMB Circulars A-102 or A-110;

\(e\) Providing for renumeration of respondents, other than

contractors or grantees;

\(f\) Requiring respondents to retain records, other than health,

medical, or tax records, for more than three years;

\(g\) In connection with a statistical survey that is not

designed to produce results that can be generalized to the

universe of study;

\(h\) Unless the agency has taken all practicable steps to

develop separate and simplified requirements for small

businesses and other small entities;

\(i\) Requiring respondents to submit proprietary, trade secret,

or other confidential information unless the agency can

demonstrate that it has instituted procedures to protect its

confidentiality to the extent permitted by law;

\(j\) Requiring respondents to maintain or provide information in

a format other than that in which the information is customarily

maintained.

1320.7 Definitions

For purposes of implementing the Paperwork Reduction Act and this

Part, the following terms are defined as follows:

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APPENDIX 1

\(a\) \"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 the General Accounting Office, Federal Election

Commission, and governments of the District of Columbia and of

the territories and possessions of the United States, and their

various subdivisions, or government-owned contractor-operated

facilities including laboratories engaged in national defense

research and production activities.

\(b\) \"Burden\" means the total time, effort, or financial

resources required to respond to a collection of information,

including that to read or hear instructions; to develop, modify,

construct, or assemble any materials or equipment; to conduct

tests, inspections, polls, observations, or the like necessary

to obtain the information; to organize the information into the

requested format; to review its accuracy and the appropriateness

of its manner of presentation; and to maintain, disclose, or

report the information.

\(1\) The time 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 or recordkeeping activities needed to comply

are usual and customary.

\(2\) A collection of information sponsored by a federal

agency that is also sponsored by a unit of state or local

government is presumed to impose a federal burden except to

the extent the agency shows that such state or local

requirement would be imposed even in the absence of a

federal requirement.

\(c\) \"Collection of information\" means the obtaining or

soliciting of information by an agency from ten or more persons

by means of identical questions, whether such collection of

information is mandatory, voluntary, or required to obtain a

benefit. For purposes of this definition, the \"obtaining or

soliciting of information\" includes any requirement or request

for persons to obtain, maintain, retain, report, or publicly

disclose information. \"Collections of information\" are of two

mutually exclusive types: \"collection of information

requirements\" and \"information collection requests.\"

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APPENDIX 1

\(1\) A \"collection of information\" includes the use of

written report forms, application forms, schedules,

questionnaires, reporting or recordkeeping requirements; or

other similar methods. Similar methods may include

contracts, agreements, policy statements, plans, rules or

regulations, planning requirements, circulars, directives,

instructions, bulletins, requests for proposal or other

procurement requirements, interview guides, disclosure

requirements, labeling requirements, telegraphic or

telephonic requests, and standard questionnaires used to

monitor compliance with agency requirements.

\(2\) Requirements by an agency or a person to obtain or

compile information for the purpose of disclosure to

members of the public or to 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.

\(3\) A \"collection of information\" also includes questions

posed to agencies, instrumentalities, or employees of the

United States, if the results are to be used for general

statistical purposes.

\(d\) \"Collection of information requirement\" is the term used

for the collection of information by means of agency rule

adopted after public notice and comment. The term comprises any

form or other written instrument for the collection of

information that is published as a part of the rule.

\(e\) \"Director\" means the Director of OMB or his designee.

\(f\) \"Display\" means:

\(1\) In the case of forms, questionnaires, instructions,

and other written information collection requests

individually distributed to potential respondents, to print

the OMB control number (and, unless OMB determines it to be

inappropriate, the expiration date) in the upper right hand

corner of the front page of the request;

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APPENDIX 1

\(2\) In the case of collections of information published in

regulations, guidelines, and other issuances in the Federal

Register, to publish the OMB control number in the Federal

Register (as part of the regulatory text or as a technical

amendment) and ensure that it will be included in the Code

of Federal Regulations if the issuance is also included

therein;

\(3\) In other cases, and where OMB determines that special

circumstances exist, to use other means to inform potential

respondents of the OMB control number (and, unless OMB

determines it to be inappropriate, the expiration date).

\(g\) An \"Education agency or institution\" means any public or

private agency or institution with the primary function of

education.

\(h\) \"A Federal education program\" means any federal activity

with a primary purpose of offering instruction or affecting an

educational agency\'s or institution\'s ability to offer

instruction.

\(i\) \"Independent regulatory agency\" means the Board of

Governors of the Federal Reserve System, the Civil Aeronautics

Board, 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 Home Loan Bank

Board, the Federal Maritime Commission, the Federal Trade

Commission, the Interstate Commerce Commission, the Mine

Enforcement Safety and Health Review 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,

National Credit Union Administration, and any other similar

agency designated by statute as a Federal independent regulatory

agency or commission.

\(j\) \"General purpose statistics\" are those collected chiefly

for public and general government uses, without primary

reference to policy or program operations of the agency

collecting the information.

\(k\) \"Information\" means any statement of fact or opinion,

whether in numerical, graphic, or narrative form, and whether

oral or maintained on paper, magnetic tapes, or other media.

\"Information\" does not generally include items in the following

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APPENDIX 1

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;

\(2\) Samples of products or of any other physical objects;

\(3\) Facts or opinions obtained through direct observation

by an employee or agent of the sponsoring agency or through

nonstandarized 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, provided that no

person is required to supply specific information

pertaining to the commenter, other than that necessary for

self-identification, as a condition to 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;

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APPENDIX 1

\(10\) Like items so designated by the Director.

\(l\) \"Information collection request\" means the method by which

an agency communicates the specifications for a collection of

information to potential respondents, including a written report

form, application form, schedule, questionnaire, oral

communication, reporting or recordkeeping requirement, or other

similar method.

\(m\) \"Interagency reporting requirement\" means any requirement

that an agency report information to another agency or agencies.

\(n\) \"Modify\" means to approve in part and disapprove in part.

\(o\) \"Penalty\" means the imposition by an agency or court of a

fine or other punishment; judgment for monetary damages or

equitable relief; or revocation, suspension, reduction, or

denial of a license, privilege, right, grant, or benefit.

\(p\) \"Person\" means an individual, partnership, association,

corporation, (including operations of government owned

contractor-operated facilities), business trust, legal

representative, organized group of individuals, state,

territory, or local government or component thereof. Current

employees of the federal government are excluded from this

definition for purposes of the collection of information within

the scope of their employment. Military reservists and members

of the National Guard are considered Federal employees when on

active duty, and for purposes of obtaining information about

duty status. Retired and other former federal employees are

included entirely within the definition of \"person.\"

\(q\) \"Practical utility\" means the actual, not merely the

theoretical or potential, usefulness of information to an

agency, taking into account its accuracy, adequacy, and

reliability, and the agency\'s ability to process the information

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 cut its functions or to make it

available to the public, either directly or by means of a public

disclosure or labeling requirement, for the use of persons who

have an interest in entities or transactions over which the

agency has jurisdiction. In the case of general purpose

statistics or recordkeeping requirements, \"practical utility\"

means that actual uses can be demonstrated.

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APPENDIX 1

\(r\) \"Recordkeeping requirement\" means a requirement imposed by

an agency on persons to maintain specified records and includes

requirements that information be maintained or retained by

persons but not necessarily provided to an agency.

\(s\) \"Reporting requirement\" means a requirement imposed by an

agency on persons to provide information to another person or to

the agency. Reporting requirements may implicitly or explicitly

include related recordkeeping requirements.

\(t\) \"Sponsor.\" A federal agency is considered to \"sponsor\" the

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. A collection of information

undertaken by a recipient of a federal grant is considered to be

\"sponsored\" by an agency only if:

\(1\) The recipient of a grant is collecting 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

the collection procedures.

\(u\) \"Ten or more persons\" refers to the persons to whom an

information collection request 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

request during that period, including independent state or local

entities and separately incorporated subsidiaries or affiliates,

but not including employees of the respondent within the scope

of their employment, or contractors engaged for the purpose of

complying with the information collection request.

\(1\) Any recordkeeping or reporting requirement contained

in a rule of general applicability is deemed to involve ten

or more persons.

\(2\) Any information collection request addressed to all or

a substantial majority of an industry is presumed to

involve ten or more persons.

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APPENDIX 1

1320.8 Agency Head and Senior Official Responsibilities

\(a\) Except as provided in 1320.8(b) below, each agency head

shall designate a Senior Official to carry out the

responsibilities of the agency under the Act.

\(1\) 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.

\(2\) The Senior Official shall independently assess all

collections of information to ensure that they meet the

criteria specified in 1320.4(b) and that the agency

conducts no collection of information that does not display

a currently valid OMB control number.

\(b\) 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.

\(c\) Upon request of the Director, the head or the Senior

Official of each agency (other than an independent regulatory

agency) shall make its services, personnel, and facilities

available to OMB for the performance of Paperwork Reduction Act

functions, unless such head or Senior Official determines in

writing that the provision of such resources is impracticable.

1320.9 Delegation of Approval Authority

\(a\) The Director may, after complying with notice and comment

procedures of Title 5 U.S.C. Chapter 5, 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 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 fairly whether proposed collections of

information should be approved, and

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APPENDIX 1

\(2\) Has sufficient resources to carry out this

responsibility effectively.

\(c\) 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, sponsored by an agency, at any time.

1320.10 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 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 or

sponsored by the agency in the succeeding twelve months. If during

the course of such year, the agency proposes a collection of

information not included in the annual budget, it shall, in

accordance with such instructions as OMB may provide, either make

offsetting reductions in other items in the budget or obtain

supplemental authorization for the additional collection. For good

cause, and where it is possible to meet its statutory

responsibilities by other means, OMB may exempt any agency from this

requirement.

1320.11 Agency Submissions of Collections of Information

\(a\) Agency submissions of collections of information for OMB

review may only be made by the agency head or Senior Official,

or their designee. Submissions shall be made in accordance with

such procedures and in such form as the Director may prescribe.

Submissions shall provide sufficient information to permit

consideration of the criteria set out in 1320.4(b) and (c),

shall include an estimate of burden, calculated in a manner

prescribed by OMB, shall identify any significant burdens placed

on a substantial number of small businesses or other small

entities, and shall contain such additional supporting material

as the Director may request.

\(b\) Agencies shall provide copies of the material submitted to

OMB for review promptly upon request by any person.

\(c\) OMB shall review all agency submissions in accordance with

the standards set forth in 1320.4(b) and (c).

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APPENDIX 1

\(d\) In determining whether to approve, disapprove, modify,

review, initiate proposals for changes in, or stay the

effectiveness of its approval of, any collection of information,

OMB shall consider any public comments received, and may provide

the agency and interested persons additional opportunities to be

heard or to submit statements in writing.

\(e\) Agencies shall submit collections of information contained

in proposed rules published for public comment in the Federal

Register in accordance with the requirements set forth in

1320.13. 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 set forth in 1320.14. Agencies shall submit

information collection requests other than those contained in

regulations published as final rules in the Federal Register, in

accordance with the requirements set forth in 1320.12. Special

rules for clearance and inventory of collections of information

prescribed by an agency, but collected by another agency, are

set forth in 1320.15. Special rules for emergency processing

of information collection requests are set forth in 1320.17.

\(f\) Prior to the expiration date assigned to a collection of

information, after consultation with the agency, OMB may decide

to review the collection of information, and shall so notify the

agency. Such decisions will be made only when relevant

circumstances have changed or the burden estimates provided by

the agency at the time of the initial submission were materially

in error. Upon such notification, the agency shall submit the

information collection request or requirement for review under

the procedures outlined in 1320.12 or 1320.14. The agency may

continue to sponsor the collection of information while the

submission is pending. For good cause, after consultation with

the agency, OMB may stay the effectiveness of its approval of

any information collection request not specifically required by

agency rule, whereupon the agency shall cease sponsoring such

request while the submission is pending, and shall publish a

notice in the Federal Register to that effect.

\(g\) Whenever the persons to whom a collection of information is

addressed are primarily educational agencies or institutions or

whenever the purpose of such activities is primarily to request

information needed for the management or formulation of policy

related to federal education programs, or research or

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APPENDIX 1

evaluation studies related to implementation of federal

education programs, the collection of information shall be

submitted to OMB in accordance with the procedures outlined in

this Part. Such request or requirement will be reviewed by the

Federal Education Data Acquisition Council (FEDAC), or

organizational unit fulfilling the same statutory function

within the Department of Education, prior to approval or

disapproval by OMB. Collections of information addressed to

educational agencies or institutions and submitted to the

Secretary of Education under the provisions of Title 20 U.S.C.

Section 1221-3 shall be submitted by the Secretary of Education

to OMB for approval in accordance with procedures contained in

this Part, in time to receive OMB approval and to be announced

publicly by the agency by the February 15 preceding the school

year in which the information is to be collected.

\(h\) No substantive or material modification may be made by an

agency in an information collection request or requirement after

it has been assigned an OMB control number unless the

modification has been submitted to OMB for review and approval

pursuant to the procedures outlined in this Part.

\(i\) OMB will reconsider its disapproval of a collection of

information upon the written request of an agency head or Senior

Official only if the sponsoring agency can provide significant

new or additional information relevant to the original decision.

\(j\) For purposes of time limits for OMB review of collections

of information, any submission received by OMB after 12:00 noon

will be deemed to have been received on the following business

day.

1320.12 Clearance of Information Collection Requests

Agencies shall submit all collections of information, other than

those contained in proposed rules published for public notice and

comment, or in current regulations that were published as final rules

in the Federal Register, in accordance with the following

requirements:

\(a\) On or before the day of submission to OMB, the agency shall

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 information

collection request and supporting documentation, to the agency,

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APPENDIX 1

and 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 of its receipt of a proposed information

collection request, OMB shall notify the agency involved of its

decision to approve, modify, or disapprove the request and shall

make such decision publicly available. OMB may extend this

60-day period for an additional 30 days upon notice to the

agency. Upon approval of an information collection request, OMB

shall assign a control number and an expiration date. OMB shall

not approve any information collection request for a period

longer than three years.

\(c\) If OMB fails to notify the agency of its approval,

disapproval, or extension of review within the 60-day period (or

90-day period if notice of an extended review has been given),

the agency may request, and OMB shall assign without further

delay, a control number, which shall be valid for not more than

one year.

\(d\) No information collection request may become effective

until the agency has displayed a valid OMB control number (and,

unless OMB determines it to be inappropriate, an expiration

date).

1320.13 Clearance of Collection of Information Requirements in

Proposed Rules

Agencies shall submit collection of information requirements

contained in proposed rules published for public comment in the

Federal Register in accordance with the following requirements:

\(a\) The agency shall include in the preamble to the Notice of

Proposed Rulemaking a statement that the collection of

information requirements contained in the rule have been

submitted to OMB for review under Section 3504(h) of the Act.

The statement 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

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APPENDIX

such procedures as the Director may direct. Such submissions

shall include a copy of the proposed regulation and preamble.

\(c\) Within 60 days of publication of the proposed rule, OMB may

file public comments on collection of information provisions.

Such 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

\(b\) above, OMB may disapprove the collection of information

requirement in the proposed rule within 60 days of receipt of

the submission. If an agency fails to submit a collection of

information requirement subject to this Section, OMB may

disapprove it at any time.

\(e\) When the final rule is published in the Federal Register,

the agency shall explain how 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.

\(f\) If OMB has not filed public comments pursuant to

1320.13(c), or has approved the collection of information

requirement contained in a rule before the final rule is

published in the Federal Register, OMB may assign a control

number prior to publication of the final rule, and the agency

may display the number in its publication of the final rule.

\(g\) 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 pursuant to 1320.13(f) (and not substantively or

materially modified by the agency after approval). Not later

than 60 days after publication OMB shall approve, modify, or

disapprove the collection of information requirement contained

in the final rule. Any such disapproval may be based on one or

more of the following reasons, as determined by OMB:

\(1\) The agency failed to comply with paragraph (b) above;

\(2\) The agency had substantially modified the collection

of information requirement contained in the final rule from

that contained in the proposed rule, without providing OMB

with notice of the change and sufficient information to

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APPENDIX 1

make a determination concerning the modified collection of

information requirement, at least 60 days before

publication of the final rule; or

\(3\) In cases where OMB had filed public comments pursuant

to paragraph (c) above, 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.

\(h\) After making such decision to approve, modify, or

disapprove a collection of information requirement, OMB shall so

notify the agency. If OMB approves the collection of

information requirement, or if it has not acted upon the

submission within the time limits of this Section, OMB shall

assign a control number. If OMB disapproves the collection of

information requirement, it shall make the reasons for its

decision publicly available.

\(i\) OMB shall not approve any collection of information

requirement 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 the Director

determines that there are special circumstances requiring

approval for a shorter period.

\(j\) After receipt of notification of OMB\'s approval,

disapproval, or failure to act, and prior to the effective date

of the rule, the agency shall publish a notice in the Federal

Register to inform the public of OMB\'s decision. If OMB has

approved or failed to act upon the collection of information

requirement, the agency shall include the OMB control number in

such notice. A collection of information requirement may not

become effective until OMB has assigned a control number, and

such number is displayed.

1320.14 Clearance of Collections of Information in Current Rules

Agencies shall submit reporting and recordkeeping requirements

contained in current regulations that were published as final rules

in the Federal Register in accordance with the following procedures:

\(a\) Collections of information not previously reviewed by OMB

or the General Accounting Office, and not assigned currently

valid control numbers, shall be submitted to OMB for review

prior to December 31, 1983 in accordance with an orderly

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APPENDIX 1

schedule to be developed by the agency with OMB concurrence.

Previously approved collections of information subject to this

section shall be submitted not later than 90 days before the

expiration date of the OMB control number assigned to the

collection.

\(b\) On or before the day of submission to OMB, the agency shall

forward a notice to the Federal Register stating that OMB review

is being sought. The notice shall direct requests for

information, including copies of the collection of information

and supporting documentation, to the agency, and 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.

\(c\) Within 60 days of its receipt of a collection of

information submission, OMB shall notify the agency involved of

its decision whether to approve or to initiate proposals for

change in the collection and shall make such decision publicly

available. OMB may extend this 60-day period for an additional

30 days upon notice to the agency. Upon approval of a

collection of information, OMB shall assign a control number and

an expiration date.

\(d\) 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 the Director determines that there are

special circumstances requiring approval for a shorter period.

\(e\) If OMB fails to notify the agency of its approval, decision

to initiate proposals for change, or extension of review within

the 60-day period (or 90-day period if notice of an extended

review has been given), the agency may request, and OMB shall

assign without further delay, a control number, which shall be

valid for not more than one year. Upon assignment of a control

number by OMB, the agency shall display such number in

accordance with 1320.7(f)(2).

\(f\) If OMB has notified the agency of a decision to initiate

proposals for change in the collection of information it shall

extend the existing approval of the collection for the duration

of the period required for consideration of proposed changes,

including that required for OMB approval or disapproval of the

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APPENDIX 1

collection of information under 1320.12(b) or 1320.13(g), as

appropriate. In the case of a collection of information not

previously approved, a control number shall be granted for such

period. The agency shall publish a notice on the agency\'s next

practicable publication date in the Federal Register to inform

the public that OMB has initiated proposals for change in the

collection, and has granted or extended its approval of the

collection of information.

\(g\) 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, modification, or rescission of such collections of

information. If the agency employs notice and comment

rulemaking procedures for amendment or rescission of the

requirement, publication of the above in the Federal Register

and submission to OMB shall initiate OMB clearance procedures

under Section 3504(h) of the Act and 1320.13. If the agency

does not employ notice and comment rulemaking procedures for

amendment or rescission of the collection of information,

publication of such notice and submission to OMB shall initiate

OMB clearance procedures under Section 3507 of the Act and

1320.12. All procedures shall be completed within a reasonable

period of time to be determined by OMB in consultation with the

agency.

\(h\) OMB may disapprove in whole or in part, any collection of

information subject to the procedures of this section if the

agency:

\(1\) Has refused within a reasonable time to comply with an

OMB directive to submit 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 containing 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.

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APPENDIX 1

\(i\) Upon disapproval by OMB of a collection of information

subject to this section, the OMB control number assigned to such

collection 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

request or requirement contained in the Notice of Proposed

Rulemaking or other submissions, and also of the preexisting

request or requirement directed at the same collection of

information and therefore constituting essentially the same

request or requirement.

1320.15 Collections of Information Prescribed by Another Agency

\(a\) Any collection of information prescribed by an agency and

to be adopted as a Standard or Optional Form after approval by

the General Services Administration (GSA) shall be submitted to

OMB for approval through GSA in accordance with such procedures

and in such form as the Director may prescribe.

\(1\) Standard and Optional Forms used for the collection of

information must be approved by OMB and assigned a

currently valid control number before they can be used.

\(2\) GSA, with the assistance of the agencies using the

forms, shall submit annually to OMB a list of all Standard

and Optional Forms in use during that year for the

collection of information from the public, stating which

agencies use these forms, the number of each form used by

each agency, and an estimate of the burden required to

complete each form. Burden estimates developed by GSA will

be counted as burden imposed by each agency in proportion

to the use of the information.

\(b\) Any other collections of information prescribed by an

agency but collected by another agency or agencies shall be

submitted to OMB for approval by the agency that prescribes the

collection, in accordance with such procedures and in such form

as the Director may prescribe. With the assistance of the

agencies collecting the information, the agency making the

submission shall inform OMB of which agencies collect the

information and an estimate of the burden of the collection of

information. Burden estimates developed by the submitting

agency will be counted as burden imposed by each agency in

proportion to their use of the information.

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APPENDIX 1

\(c\) In other respects, collections of information under this

Section shall be treated under the standards and procedures of

1320.11-14, as appropriate.

1320.16 Interagency Reporting

In accordance with authorities in the Act, the Federal Records Act,

and the Budget and Accounting Procedures Act, the General Services

Administration (GSA) is directed to issue regulations or requirements

for the management of interagency reporting and provide for the

approval and clearance of interagency reporting, whether mandatory or

voluntary. Upon request, GSA shall report to the Director on the

status of interagency reporting. Judicial branch requirements

contained in court orders or decrees and OMB and other Executive

Office of the President requirements shall be exempt from the

provisions of this section.

1320.17 Emergency and Expedited Processing

An agency head or the Senior Official may request emergency

processing of submissions of information collection requests.

\(a\) Any such request shall be accompanied by a written

determination that the collection of information is essential to

the mission of the agency, and that public harm will result if

normal clearance procedures are followed, or that an

unanticipated event has occurred which will prevent or disrupt

the collection of information or cause a statutory or judicial

deadline to be missed if normal procedures are followed.

\(b\) 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.

\(d\) OMB shall approve or disapprove each such submission within

the time period stated under 1320.17(b), provided such time

period is consistent with the purposes of the Act.

\(e\) 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.

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APPENDIX 1

\(f\) Upon request by an agency, OMB may agree to act on a

collection of information submission on an expedited schedule,

even though such submission may not qualify for emergency

processing under this section.

1320.18 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 rule, requirements to publish public notices or to

provide materials to the public may be modified or waived by the

Director to the extent that 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. Provisions of

this paragraph guaranteeing public availability of comments on

agency collections of information will not be waived or

modified.

\(b\) Agencies conducting or sponsoring an information collection

request shall take reasonable steps to inform potential

respondents of the identity of the federal agency sponsoring any

collection of information, why the information is being

collected, how it is to be used, whether responses to the

request are voluntary, required to obtain or retain a benefit

(citing authority), or mandatory (citing authority), and the

nature and extent of confidentiality to be provided, if any

(citing authority).

1320.19 Independent Regulatory Agency Override Authority

An independent regulatory agency may override OMB\'s disapproval or

stay of effectiveness of approval of a collection of information by

majority vote of its members or commissioners. The agency shall

certify any such override to the Director, and shall explain in

writing its reasons for exercising the override authority. OMB shall

promptly assign an OMB control number, valid for the length of time

requested by the agency, up to three years, to any information

collection request or collection of information requirement as to

which this authority is exercised. No override shall become

effective until the independent regulatory agency has displayed the

OMB control number.

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APPENDIX 1

1320.20 Other Authority

\(a\) The Director shall determine whether any collection of

information or other matter is within the scope of the Act, or

of this Part.

\(b\) In appropriate cases, after consultation with the agency,

the Director 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 informal rulemaking procedures under Title 5 U.S.C. Chapter

5\.

\(c\) Each agency is responsible for complying with the

information policies, principles, standards, and guidelines

prescribed by the Director.

\(d\) To the extent permitted by law, the Director may waive any

requirements contained in this Part.

\(e\) Nothing in this Part shall be interpreted to limit the

authority of the Director under the Paperwork Reduction Act of

1980 or any other law. Nothing in this Part or the Paperwork

Reduction Act shall be interpreted as increasing or decreasing

the authority of OMB with respect to the substantive policies

and programs of the agencies.

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