****OMB Bulletin No. 97-03****
****OMB Home****
****January 13, 1997**
OMB BULLETIN NO. 97-03
**TO THE HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES**
**SUBJECT:**  Fiscal Year 1996 Information Streamlining Plan and           Information Collection Budget 
**I.    Purpose.** The President has committed this Administration       to eliminating unnecessary paperwork burden.  Excessive       Federal information requirements have hampered the       American people and economy.  When the President signed       the Paperwork Reduction Act of 1995, he referred to the       need to "conquer a mountain of paperwork that is crushing       our people and wasting a lot of time and resources." 
       Since enactment of the original Paperwork Reduction Act of       1980, which established paperwork burden reduction goals,       agencies have made substantial progress in reducing       paperwork burden.  The Office of Management and Budget       (OMB), working with Executive branch agencies, has in the       past and will continue to develop an annual "Information       Collection Budget," reflecting agency administrative       initiatives to reduce the burden of individual information       requirements.  More recently, as part of the       Administration's regulatory reform efforts, the President       called upon agencies to "eliminate the outdated, and       streamline the bloated" and, "whenever possible, to cut in       half the frequency of reports" required from the public. 
       There have been many achievements in reassessing and       streamlining Federal information requirements; agencies       have lessened the "hassle factor," simplified content,       automated data collection efforts, and worked to identify       and collect only information that is actually needed and       used in administration of programs. 
       These efforts, while laudable, are not enough.  The       American public still experiences the complexity,       redundancy, detail, and burden of Federal paperwork.  In       order to meet this challenge, agencies need to undertake       comprehensive reviews to assess how programs have been       administered to identify needed changes, including       fundamentally restructuring and reducing existing       information requirements.  Specifically, agencies should       look beyond individual data collections and instead focus       on improved methods of program administration and ways to       more carefully calibrate efforts to monitor regulatory       compliance.  This may require consideration not only of       the content of information requirements but the means of       its collection.  It may also require agencies to look       beyond what can be achieved administratively and consider       seeking to amend existing statutes. 
**II.   Summary.**  This Bulletin instructs Executive departments       and agencies to prepare and implement an Information       Streamlining Plan (ISP) and an Information Collection       Budget (ICB).  These efforts will be carried out by       senior-level agency officials, including the agency's       Chief Information Officer (CIO).  The ISP should include       goals and timetables to achieve, by the end of FY 1998, a       cumulative burden reduction of 25 percent from its FY 1995       year-end level, consistent with the government-wide burden       reduction goals in the Paperwork Reduction Act of 1995.       Each agency's 1995 year-end burden level is identified in       the *Information Resources Management Plan of the Federal       Government*, which was published August 1996.  The annual       ICB should contain a summary of the agency's actual       paperwork burdens imposed at the end of FY 1996, the       individual agency initiatives to reduce burden during FY       1996 and those expected in FY 1997, and the aggregate       paperwork burden reduction goals to be accomplished by the       end of FY 1997.  The ICB should be consistent with the       ISP. 
A.  Information Streamlining Plan.
  For those agencies           identified in Part VII-A, the ISP is to provide a           detailed explanation of an agency's multi-year plan to           achieve, by the end of FY 1998, a cumulative burden           reduction of 25 percent from its FY 1995 year-end           level.  Through a systematic, program-wide burden           reduction effort, the agency is to identify specific           administrative changes, program restructures,           regulatory reinventions, and legislative proposals that           will reduce its total paperwork burden on the public           and streamline the paperwork it does impose.  In           developing its approach, the agency is to consider           eliminating the collection of less useful information,           reducing the frequency of reporting and recordkeeping,           increasing the use of information technology, and           devolving responsibility to non-Federal entities.  The           agency is to specify actions that will enable an           assessment of progress toward meeting these goals and           timetables and will report to OMB on the status of           these activities at least every six months. 
**B.  Information Collection Budget.**  On August 29, 1995, OMB           issued regulations, "Controlling Paperwork Burdens on           the Public" (5 CFR 1320), that require designated           agencies to prepare an annual ICB.  For those agencies           identified in Part VII-A and -B, the ICB called for by           this Bulletin reports actual total information           collection burden for FY 1996 and estimated burden for           FY 1997.  In addition, the ICB requires the           identification of the most significant burden reduction           accomplishments and planned initiatives for those           years. 
**III.  Authority.** This Bulletin is issued pursuant to the Budget       and Accounting Act of 1921, as amended; the Budget and       Accounting Procedures Act of 1950, as amended; and the       Paperwork Reduction Act of 1995. 
**IV.   Required Submissions.**  Executive department and agency       reporting should be consistent with OMB fiscal and policy       guidance.  Submissions should reflect coordination with       the agency's CIO.  Agencies are to submit the following       information in accordance with the instructions and       formats provided: 
       A.  One copy of the agency's Information Streamlining Plan,           prepared in accordance with instructions in Appendix A. 
       B.  One copy of the agency's Information Collection Budget,           prepared in accordance with instructions in Appendix B. 
       C.  One copy of data regarding compliance with OMB Circular           No. A-130, "Management of Federal Information           Resources," in accordance with the instructions in           Appendix C. 
       OMB intends to convene a staff-level workshop to assist       the agencies in preparing their ISP and ICB submissions.       Attendance is highly recommended in light of the major new       requirements for agency reporting contained in this       Bulletin. 
**V.    Submission Date.**  Not later than ninety days after the       date of issue of this Bulletin, each agency listed in Part       VII (Coverage) shall provide the reports required by this       Bulletin.  The reports should be delivered to: 
           Jonathan Winer
           The Office of Management and Budget
           The Office of Information and Regulatory Affairs
           New Executive Office Building, Room 10235
           725 17th Street, NW
           Washington, D.C. 20503 

**VI.   OMB Hearings on Submissions.**  OMB intends to conduct       hearings with agency heads and other senior-level agency       officials, including agency CIOs, regarding the content of       agency ISP and ICB submissions.  The purpose of the       hearings will be to determine compliance with the       specified burden reduction levels. 
**VII.  Coverage.**  The following agencies are subject to the       requirements of this Bulletin: 
       A.  
Both
 Information Streamlining Plan and Information Collection Budget
 Department of Agriculture           Department of Commerce            Department of Defense            Department of Education            Department of Energy            Department of Health and Human Services            Department of Housing and Urban Development            Department of the Interior            Department of Justice            Department of Labor            Department of State            Department of Transportation            Department of the Treasury            Department of Veterans Affairs            Environmental Protection Agency            Federal Communications Commission           Federal Trade Commission           Securities and Exchange Commission            Social Security Administration           Federal Acquisition Regulation (FAR Secretariat) 
       B.  **Only** Information Collection Budget             Federal Deposit Insurance Corporation
           Federal Emergency Management Agency
           National Aeronautics and Space Administration 
           National Science Foundation
           Nuclear Regulatory Commission
           Office of Personnel Management
           Small Business Administration 

**VIII. Information Contacts.**  Questions about specific agency       matters should be directed to the agency's Desk Officer in       OMB's Office of Information and Regulatory Affairs. 
       Questions about this Bulletin should be directed to       Jonathan Winer, tel. (202) 395-7858. 
**IX.   Expiration Date.**  This Bulletin expires September 30,       1997. 
  Franklin D. Raines Director 
 Attachments 

Bulletin No. 97-03                                              Appendix A

               INFORMATION STREAMLINING PLAN (ISP)**I.   General.** The ISP establishes a broad framework within which      each agency is to develop and present a multi-year plan to      reduce Federal paperwork burden on the public, achieving by      the end of FY 1998, a cumulative burden reduction of 25      percent from its FY 1995 year-end level.  Each agency is to      identify specific administrative changes, program      restructures, regulatory reinventions, and legislative      proposals that will reduce total burden on the public.  Each      agency is to consider eliminating the collection of less      useful information, reducing the frequency of reporting and      recordkeeping, increasing the use of information technology,      and devolving responsibility to non-Federal entities.  Each      agency is to specify actions that will enable an assessment      of progress towards meeting the 25 percent burden reduction      goal and will report to OMB on the status of these      activities at least every six months. 
**II.  Content.** Each agency's ISP is to contain the four sections      identified below, including Exhibit 1A discussed in      Section 2. 
      Section 1 provides a general overview of how the agency will      reduce paperwork burden.  Specifically, the agency is to      show how it will achieve, by the end of FY 1998, a      cumulative burden reduction of 25 percent from its FY 1995      year-end level. 
      Section 2 identifies specific agency information collections      that have been or will be targeted for revision,      consolidation, and/or elimination.  Each agency is to follow      the format in Exhibit 1A to illustrate these reductions.      Specifically, for each targeted information collection, an      agency is to identify, describe, and set specific dates for      completion of intermediate steps and final actions.  An      agency is to consider statutory and regulatory changes that      streamline information collections, ultimately reducing      burden on the public.  In developing its approach, an agency      is to consider eliminating the collection of less useful      information, reducing the frequency of reporting and      recordkeeping, increasing the use of information technology,      and devolving responsibility to non-Federal entities.      Although all information collections should be considered,      an agency should include in Exhibit 1A burden reduction      plans for each collection greater than one million total      burden hours.  In those cases where there are fewer than 15      collections having greater than one million total burden      hours, an agency should include its 15 largest total burden      hour collections. 
      Section 3, if applicable, details the agency's justification      for not targeting for burden reduction in Section 2 each      collection greater than one million total burden hours or      its 15 largest total burden hour information collections.      Specifically, each agency is to explain on a collection-by-collection basis why, in its opinion, these major      information collections cannot be reduced.  Each agency is      to be specific for each information collection that it has      not targeted for reduction. 
      Section 4 identifies a senior-level agency official directly      accountable to the agency head for the completion and      implementation of the ISP, as well as responsible for      providing progress reports on the status of meeting goals      and timetables identified in the ISP.  These reports will be      submitted to OMB at least every six months. 

INFORMATION STREAMLINING PLANEXHIBIT 1A  Title of Collection: ________________________________________________ 
 OMB Number:                                        ________________ 
 Approved Total Burden Hours at End of FY 1995:         ________________ 
 Approved Total Burden Hours at End of FY 1996:         ________________ 
  Type(s) of Action Required to Reduce Burden (check all that apply): ___statutory   ___regulatory   ___administrative   ___other:_______________________ 
 Identify, Describe, and Set Specific Dates for Completion of Intermediate Steps and Final Burden Reduction Actions (add more lines, as necessary): 
 __/__/__  _________________________________________________________           _________________________________________________________           _________________________________________________________           _________________________________________________________  __/__/__  _________________________________________________________           _________________________________________________________           _________________________________________________________           _________________________________________________________  __/__/__  _________________________________________________________           _________________________________________________________           _________________________________________________________           _________________________________________________________  __/__/__  _________________________________________________________           _________________________________________________________           _________________________________________________________           _________________________________________________________ 
 Estimated Total Burden Hours for Collection After Completion of Final Burden Reduction Step Identified Above:  ________________ 

                              Bulletin No. 97-03                                              Appendix B

INFORMATION COLLECTION BUDGET (ICB)**I.   General.**  The ICB presents an accounting of an agency's      total information collection activity as of the end of the      previous and current fiscal years. 
      The Paperwork Reduction Act of 1995 requires that the      Director of the Office of Management and Budget, 
        "in consultation with agency heads, set an annual        Governmentwide goal for the reduction of information        collection burden by at least 10 percent during each of        fiscal years 1996 and 1997 and 5 percent during each of        fiscal years 1998, 1999, 2000, and 2001, and set annual        agency goals to (A) reduce information collection burdens        imposed on the public that (I) represent the maximum        practicable opportunity in each agency ... ."  (44 U.S.C.        3505(a)(1)). 
        "[report annually on] a summary of accomplishments and        planned initiatives to reduce collection of information        burdens."  (44 U.S.C. 3514(a)(2)(A)(I)). 
        "[report annually on] a list of any increase in the        collection of information burden, including the authority        for each such collection."  (44 U.S.C.        3514(a)(2)(A)(iii)). 
      Enclosed with this Bulletin is a final list of all active      information collections and their associated burden figures      as of the end of FY 1996 (September 30, 1996).  The purpose      of the list is to allow agencies to verify OMB's official      records and, subsequently, submit an updated total for      aggregate burden hours of all active information collections      for FY 1996.  OMB will compare the total Governmentwide      information collection burden for FY 1996 against the total      Governmentwide information collection burden baseline      developed in FY 1995. 
**II.  Content.**  Each agency's ICB is to be prepared in the format      presented in Exhibits 1B, 2B, and 3B, of this appendix. 
      Exhibit 1B provides, in hours and number of collections, the      total information collection burden for FY 1996 and the      burden reduction goals for FY 1997.  If an agency expects      its total information collection burden to increase, Exhibit      1B also asks for the primary statutes and/or regulations      that will directly lead to this increase.  For those      agencies not required to prepare an ISP, Exhibit 1B also      asks agencies to describe, in narrative form, primary goals      and timetables to reduce burden to the maximum extent      practicable; these goals should be consistent with improving      agency management of the information collection review      process. 
      Exhibit 2B details the agency's most significant FY 1996      accomplishments that reduced information collection burdens      on the public.  In other words, only describe those      information collection accomplishments that most      significantly reduced burden on the public -- do not report      every or almost every burden-reducing collection.  Include      additional descriptive information in narrative form on each      initiative that explains the specific burden reduction      accomplishment (e.g., less frequent reporting, consolidation      of several forms, and/or cross-cutting activities).  Please      be specific, but brief.  Attach additional sheets as      necessary. 
      Exhibit 3B details the agency's most significant planned      initiatives for FY 1997 to reduce information collection      burdens on the public.  In other words, only describe those      planned initiatives that will most significantly reduce      burden on the public -- do not report every or almost every      burden-reducing collection.  Include additional descriptive      information in narrative form on each initiative that      explains the specific burden reduction accomplishment (e.g.,      less frequent reporting, consolidation of several forms,      and/or cross-cutting activities).  Please be specific, but      brief.  The specific burden reduction initiatives identified      in Exhibit 3B should support the burden reduction goals and      timetables discussed in an agency's ISP submission or      illustrated in Exhibit 1B.  Attach additional sheets as      necessary. 

INSTRUCTIONS FOR VERIFYING COMPUTER-GENERATED TRANSACTIONS SHEETS  Verify FY 1996 Individual Information Collections. OMB has provided agencies with a computer-generated inventory list of all collections that were active as of the end of FY 1996 (September 30, 1996).  Agencies should verify the "annual reporting hours" for each collection presented in this inventory list, and either provide OMB with the revised annual reporting hours or a statement that OMB's figures are accurate.  Agencies should not re-submit the entire inventory list, but rather only those pages containing annual reporting hours revisions.  If revisions are necessary, the agency should also simultaneously submit an Information Correction Worksheet (ICW, or OMB 83-C) to update the OMB's official computer record system.  The purpose of this verification is to support the agency's burden numbers in Exhibit 1B (A1-4), although it also should be helpful in completing Exhibits 2B and 3B. 
**Definitions:**  Program changes should not be confused with adjustments. 
 A **"Program increase"** is an additional burden resulting from an action or directive of any branch of the Federal government (e.g., an increase in sample size or coverage, amount of information, reporting frequency, or expanded use of an existing form).  This also includes previously in-use and unapproved information collections discovered during the ICB process, or during the fiscal year, which will be in use during the next fiscal year. 
 A **"Program decrease"** is a reduction in burden because of:  (1) the discontinuation of an information collection; or (2) a change in an existing information collection as by a Federal agency (e.g., the use of sampling (or smaller samples), a decrease in the amount of information requested (fewer questions), or a decrease in reporting frequency). 
 An **"Adjustment"** does not denote change in the actual paperwork requirements or in agency policy, but rather in factors such as population growth over which the government has no control. 
 Note:  Only expired collections that are no longer in use (and will not be put back in use) will be accounted for as program decreases (e.g., surveys that have been completed).  For an expired collection which is still in use and for which reinstatement is pending or expected, agencies should write "REINSTATEMENT PENDING" in the margin next to the collection. 

INFORMATION COLLECTION BUDGET
                                        EXHIBIT 1B              Information Collection Burden Reduction Achievements and GoalsA.(1)  Total actual hour burden for all FY 1996 collections:2,500,000 hrs(2)  Total estimated hour burden for all FY 1997 collections:1,500,000 hrs(3)  Total actual number of all FY 1996 collections:20 collections(4)  Total estimated number of all FY 1997 collections:13 collections(5)  Statutes and the corresponding regulations responsible                          for only the most significant burden increases:Name of Law                                                      Name of RegulationB.(1)  Agencies not required to prepare an ISP are also asked to describe, in                narrative form, their primary goals to reduce burden to the maximum extent                practicable; these goals should be consistent with improving agency                               management of the information collection review process. ___________________1 Sum of burden hours for all collections for FY 1996. 
2 Sum of burden hours for all collections for FY 1997. 
3 Total number (count) of all collections for FY 1996. 
4 Total number (count) of all collections for FY 1997. 
5 List only the primary statutes/regulations responsible for burden increases, if any, from FY 1996 to FY 1997. 

INFORMATION COLLECTION BUDGET                                              EXHIBIT 2B                             FY 1996 Accomplishments in Reducing BurdenOMB No.TitleNumber of RespondentsFrequencyof ResponseAnnual BurdenFY 1995(Hours)AnnualBurdenFY 1996(Hours)ProgramChange orAdjustmentComments60000-0000U.S.Survey750Annual20,000,00012,000,000ProgramChange
           [Exhibit 2B details the agency's most significant FY 1996 accomplishments           that reduced information collection burdens on the public.  In other words,           only describe those information collection accomplishments that most           significantly reduced burden on the public -- do not report every or almost           every burden-reducing collection.]  ______________6 Include additional descriptive information in narrative form on each initiative which explains the specific burden reduction accomplishment (e.g., less frequent reporting, consolidation of several forms, and/or cross-cutting activities). Please be specific, but brief. Attach additional sheets, as necessary. 

INFORMATION COLLECTION BUDGET                                             EXHIBIT 3B                         FY 1997 Planned Initiatives for Reducing BurdenOMBNo.TitleNumber of RespondentsFrequencyof ResponseAnnual BurdenFY 1995(HoursAnnualBurdenFY 1996(Hours)ProgramChange orAdjustmentComments70000-0000U.S.Survey750Annual12,000,0008,000,000ProgramChange
           [Exhibit 3B details the agency's most significant planned initiatives for FY           1997 to reduce information collection burdens on the public.  In other words,           only describe those planned initiatives that will most significantly reduce           burden on the public -- do not report every or almost every burden-reducing           collection.]  ______________7 Include additional descriptive information in narrative form on each initiative which explains the specific burden reduction accomplishment (e.g., less frequent reporting, consolidation of several forms, and/or cross-cutting activities). Please be very specific, but brief. Attach additional sheets, as necessary.

                              Bulletin No. 97-03                                              Appendix C

         COMPLIANCE WITH INFORMATION POLICY PROVISIONS OF                       OMB CIRCULAR NO. A-130  Section 9(a)(10) of OMB Circular No. A-130, as revised on February 8, 1996 (61 *Federal Register* 6434, February 20, 1996) provides that the head of each agency shall: 
                     (10)  Direct the senior official appointed           pursuant to 44 U.S.C. 3506(b) to monitor agency           compliance with the policies, procedures, and guidance           in this Circular.  Acting as an ombudsman, the senior           official shall consider alleged instances of agency           failure to comply with this Circular and recommend or           take corrective action as appropriate.  The senior           official shall report annually, not later than February           1st of each year, to the Director those instances of           alleged failure to comply with this Circular and their           resolution. 

 Each agency shall report on (1) each instance in which a failure to comply was alleged, (2) the nature of the alleged violation, and (3) the disposition of the compliant.  Agencies that receive no complaints should so state. 
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