Managing 

Information Collection 

and 

Dissemination 

FISCAL YEAR 2003

OFFICE OF MANAGEMENT AND BUDGET 

OFFICE OF INFORMATION AND REGULATORY AFFAIRS 
Additional copies of this report are available on the Internet via the 

World Wide Web at: 

http://www.whitehouse.gov/OMB/ 

or by writing to:

Records Management Center

Office of Information and Regulatory Affairs

New Executive Office Building, Room 10102

Washington, D.C. 20503

Fax: (202) 395-5806

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3
Managing Information Collection and Dissemination (Fiscal Year 2003) 

Table of Contents 

Executive Summary

Chapter 1. The Paperwork Burden Story

Chapter 2. Moving Toward Zero PRA Violations

Chapter 3. IRS

Chapter 4. E-Government

Chapter 5. Agency Initiatives

Appendix A. Information Collection Budget Tables

Appendix B. Significant Paperwork Reductions and Increases

Appendix C. Paperwork Reduction Act Compliance

Appendix D. OMB Memoranda to Agencies on PRA Violations

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5
Executive Summary 

The Paperwork Reduction Act requires OMB to report to Congress on the 

paperwork burden imposed on the public by the Federal government and efforts to reduce 

this burden. As in previous years, the overall paperwork burden increased in 2002, from 

7.65 billion hours in 2001 to 8.22 billion, an increase of nearly 8 percent. There are 

many factors contributing to this increase, including changes beyond agency control 

(such as statutory requirements and demographic trends), corrections of violations, and 

changes due to actions by the agencies. 

In addition to an accounting of burden hours for the 2002 fiscal year, this report 

highlights the following issues: 

· the relationship of paperwork burden to statutory changes and other factors outside 

agency control;

· increased agency compliance with the Paperwork Reduction Act;

· IRS efforts to reduce the paperwork burden it imposes (which accounts for nearly 80 

percent of all burden); 

· the impact of the Administration’s E-Government initiatives on paperwork burden; and

· the agencies’ initiatives to reduce paperwork burden.

Perhaps the most important finding of the report is that Federal agencies reported 

a net decrease in burden hours—approximately 2 million hours—due to activities within 

their control. OMB considers activities within an agency’s discretion to be the most 

accurate measure of agency information collection activity, rather than changes due to 

violations or statutes. It appears that the agencies are taking constructive steps toward 

reducing paperwork burden where such opportunity exists. 

Agencies are also taking steps to increase PRA compliance. When OMB 

approval of an information collection lapses and the agency continues to collect that 

information, that agency violates the PRA. OMB has adopted a zero-tolerance policy on 

PRA violations. By making PRA compliance a priority, OMB and the agencies have 

reduced the number of violations by more than 50 percent. When a violation is corrected, 

it appears in the Information Collection Budget as an increase in burden. Thus, changes 

due to a lapse in OMB approval are not a measurement of actual change in burden on the 

public. Rather, they reflect a change in accounting. What appears to be an increase in 

paperwork burden is partly increased compliance with the PRA, a more accurate 

accounting of the burden imposed on the public. 

The importance of paperwork reduction needs to be understood in the context of 

larger efforts to reform the regulatory system and the tax code. Most paperwork burden 

is rooted in either regulations or the tax code itself, and thus one cannot easily separate 

the paperwork reduction goal from the important public challenge of improving 

regulatory and tax policy. 

6 
The Administration's E-Goverment strategy is a key enabler of burden reduction. 

The principles of e-government embrace collecting data once and reusing it as necessary, 

buying IT once and taking advantage of economies of scale, and simplifying business 

processes in line with the ease of using a browser and mouse, reusing technology, 

interoperability, and easier access. All of these steps reduce the burden on the respondent. 

Moreover, forward-thinking principles which assist in the transformation and delivery of 

customer (or citizen) services also embrace cost reduction and operational efficiency. 

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Chapter 1. THE PAPERWORK BURDEN STORY 

The Paperwork Reduction Act (PRA) requires the Director of the Office of 

Management and Budget (OMB) to report to Congress on Federal activities under the 

Act, based upon performance results reported by agencies. The Information Collection 

Budget (ICB) is OMB’s annual report in compliance with our responsibilities under the 

Act. The report covers government progress in making information collection more 

efficient and effective and reducing the information collection burden on the public. The 

ICB provides a mechanism for measuring and managing the burdens of the Federal 

information collections imposed on individuals; businesses; and state, local, and tribal 

governments. 

Based on agency estimates of paperwork burden1, the public spent about 8.22 

billion hours responding to or complying with information requirements (see chart 

below2). This represents a 7.7 percent increase compared to last year’s burden total of 

7.65 billion hours. Of this reported increase, however, over half is simply a product of 

agency re-estimates or factors outside the agency’s control (e.g., economic growth). 

Another twenty-five percent of this increase represents DOT re-securing OMB approval 

for a particular collection of information. This is not really an increase in real world 

burden; it’s an increase in compliance with the Paperwork Reduction Act. All of the 

remaining increase, roughly 119 million hours, is due to implementing new statutes 

passed by Congress. After removing these factors and focusing on deliberate actions 

within agencies’ discretion—the most accurate measure of agency performance—the 

Federal government actually reduced burden during fiscal year 2002. 

Total Government Burden Hours by Year 

0 

2 

4 

6 

8 

10 

1980 1982 1984 1986 1988 1990 1992 1994 1996 1998 2000 2002 

Year 

Burden Hours (in billions) 

1

 Traditionally, paperwork burden is measured as the time spent reading and understanding a request for 

information as well as the time spent developing, compiling, recording, reviewing, and providing the 

information.

2

 In 1989, the Internal Revenue Service changed the way it calculated paperwork burden estimates. That 

re-estimate increased the agency’s paperwork burden estimate by 3.4 billion hours, and nearly tripled the 

government-wide burden-hour estimate.

8 
As discussed below, a variety of influences affected burden hours during the past 

fiscal year. 

Changes beyond agency control 

Among others factors, economic growth, demographic trends, and natural 

disasters are common influences that tend to increase burden but are outside the control 

of the agency. In addition, agency re-estimates of the burden imposed by a collection are 

also considered adjustments since this re-estimate does not reflect any substantive change 

in the collection of information itself. During FY 2002, Federal agencies reported that 

these changes beyond agency control or “adjustments” were responsible for an increase 

of 296 million hours. Consequently, approximately half of the total increase in burden 

from FY 2001 to FY 2002 resulted from either re-estimates or factors outside the control 

of the agency. 

In addition, many of the increases in burden are due to new statutes passed by 

Congress. The burden associated with changes due to statute totaled about 119 million 

hours. For example, HHS established standards for electronic transactions and codes for 

those transactions to implement the Health Insurance Portability and Accountability Act 

of 1996. This resulted in a burden increase of 34 million hours. As discussed in greater 

detail in Chapter 3, a large portion of statutory paperwork burden results from several 

Treasury activities. By making changes to various 1040 schedules to implement the 

Economic Growth and Tax Relief Reconciliation Act of 2001, burden hours increased 

about 47 million hours. 

Technical Changes 

When an agency allows OMB approval of a collection of information to lapse but 

continues to collect this information, this is a violation of the Paperwork Reduction Act. 

When this violation is corrected, it shows up as an increase in burden, even though the 

actual burden on the public has not changed. OMB has made a considerable effort over 

the past year to resolve outstanding violations. In fact, Federal agencies resolved 328 

outstanding violations during FY 2002 (see Appendix C). 

As Federal agencies have been more successful in cleaning up their respective 

outstanding collections, the burden numbers climb upward. This year’s large spike in 

burden due to reinstatements of collections in violation of the PRA is largely related to an 

individual violation by the Department of Transportation. By reinstating the Federal 

Motor Carrier Safety Administration collection “Driver's Record of Duty Status,” the 

Department of Transportation’s burden increased by about 161 million hours. The total 

increase in burden due to reinstatement of OMB approval is 161,364,492 hours. 

Changes within Agency Control 

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Burden changes due to agency action for FY 2002 are negative. Federal agencies 

reported a net decrease in burden hours of about 2.5 million hours due to activities within 

their control. This is notable because OMB has always stated that changes due to agency 

action should be considered the most accurate measure of agency activity with respect to 

information collection, rather than changes due to violations or statue. Changes due to a 

lapse in OMB approval are not a measurement of an actual change in burden on the 

public, but are simply a product of accounting. And, while the actual public burden is 

affected by changes due to statute, the agency often has little or no discretion over these 

changes. Therefore, to most accurately assess how agencies have performed, changes 

due to deliberate action within an agency’s discretion should be evaluated. By this 

measure, agency’s performed well during FY 2002. In particular, the Treasury 

Department, Department of Education, and HHS have each performed extremely well, 

reducing burden by nine million hours, three million hours, and two million hours 

respectively. 

At first glance, it might appear that the Federal government is not performing well 

with respect to information collection burden. After all, burden hours increased by 

almost 600 million hours during FY 2002. However, most of these increases are due to 

resolving violations or factors outside the agencies’ control. For those deliberate actions 

that affected burden within an agency’s discretion, the Federal agencies reduced burden. 

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Chapter 2. MOVING TOWARD ZERO PRA VIOLATIONS 

For many years, Congress and GAO have noted the large number of violations of 

the PRA. At last year’s hearing on the Paperwork Reduction Act, the General 

Accounting Office noted that the decline in the number of PRA violations during fiscal 

year 1999 and 2000 appeared to stop in fiscal year 2001. They also noted that while 

“OIRA had taken several actions to address PRA violations, the OMB and the agencies 

responsible for the collections could do more to ensure compliance.”3 OMB has devoted 

a great deal of effort toward eliminating violations and the results are outstanding. There 

are only 62 remaining unresolved violations, a 55% reduction from last year’s total. 

Even more impressive, a 60-day Federal Register notice has already been published (the 

first step in obtaining authority to collect information under the PRA) for each of these 

outstanding collections. 

Unresolved Violations 

OMB has adopted a zero-tolerance policy on violations of the PRA, and has 

focused considerable efforts on PRA compliance throughout the last 18 months in order 

to meet a goal of eliminating all compliance violations. The results of that effort are 

clear. This year, there are only 62 outstanding violations. While a direct comparison to 

the number of outstanding violations from the previous year is impossible, since this ICB 

covers more agencies than were covered in the previous ICB, 4 a comparison of the 

agencies covered by both ICB reports reveals that there are 49 unresolved violations from 

Fiscal Year 2003, as compared to 109 unresolved violations from Fiscal Year 2002—a 

55% reduction. All of those violations appearing on the “unresolved” list in Appendix C 

are in the process of being remedied. All collections have taken at least the first step— 

publication of a 60-day Federal Register notice inviting comment on the collection—in 

obtaining clearance under the PRA. As of April 1, 19 of these collections were under 

OMB review. 

3

 U.S. General Accounting Office, GAO-02-598T.

4

 For the FY 2002 report, only Cabinet agencies and EPA were covered. This year, as in previous years, 

additional agencies are covered.

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Unresolved Violations-- 1998 to 2003 

* Only Cabinet agencies and EPA were addressed in the FY 2002 report 

350 

300 

250 

200 

150 

100 

50 

0 

1998 1999 2000 2001 2002 2003 

Fiscal Year 

OMB Efforts to Eliminate Violations 

We believe that the decrease in unresolved violations stems directly from our 

heightened efforts throughout the last 18 months. OMB took a number of steps to 

eliminate violations (see Appendix D), including: 

• November 14, 2001 memo to agencies: The General Counsel of OMB and the OIRA 

Administrator sent a memo to the Chief Information Officers (CIOs) and General 

Counsels (GCs) of the 18 agencies traditionally covered by the ICB, outlining our 

zero-tolerance policy for violations and requiring them to submit a detailed 

description of the ir agencies’ procedures for avoiding future violations and for 

resolving existing violations. 

• June 6, 2002 memo to agencies: The OIRA Administrator sent a follow-up memo to 

the CIOs and GCs of the agencies, asking them for an update on the violations 

reported in last year’s ICB, as well as the status of any new violations that had 

occurred since October 1, 2001. The memo also asked them to again provide a 

detailed description of their procedures for avoiding future violations. 

• Meetings with selected agencies: In August 2002, the OIRA Administrator met with 

the CIOs and GCs of four agencies (USDA, HUD, VA, and HHS) that had the 

greatest number of violations or the highest burden associated with the collections in 

violation. In those productive meetings, we discussed the importance of PRA 

compliance as well as action plans for achieving this compliance. Number of Violations 

All Agencies* 

Cabinet + EPA 

12 
• ICB Bulletin: In this year’s ICB bulletin (describing the agency requirements for 

submission of ICB documents), OMB asked agencies to provide a list of violations 

that occurred in the past fiscal year, and to update previously reported violations, as 

was required in previous ICB bulletins. In addition, OMB required that agencies 

provide us with a Federal Register publication citation and publication date for the 

initial 60-day Federal Register notices requesting public comment in their ICB 

submission. An agency’s ICB submission was not be considered to be complete until 

all existing violations (including those violations that have occurred during FY 2002) 

have had a Federal Register notice published. All agencies have published a Federal 

Register notice for each outstanding violation. 

• Status memo to all agencies: The OIRA Administrator sent a memo to the CIOs of 

the agencies on November 8, 2002, detailing their progress toward our goal of 

eliminating PRA violations and establishing a goal of zero violations by April 1, 

2003; OMB’s General Counsel also shared that memo with the agencies’ General 

Counsels and Solicitors. In addition to this progress report, a list of collections that 

had expired in the past month and those collections that would be expiring in the 

upcoming 150 days was attached. This report was identical to the report that agency 

staff receive monthly to assist them in their PRA review planning. OMB asked the 

CIOs to examine each of the expired and expiring collections and to determine if 

there were any systemic problems in the agency’s procedures for PRA compliance. 

OMB required the agency to publish a 60-day Federal Register notices within a set 

timeframe for those collections that were already in violation, and asked agencies to 

publish a Federal Register notice at least four months in advance of the expiration 

date, and submit the information collection request to OMB no later than one month 

prior to the expiration date for currently-approved collections. This schedule should 

ensure that no currently approved information collections are allowed to expire in 

violation of the PRA. 

• Letters to HUD and USDA: OMB also sent letters to the Deputy Secretaries of HUD 

and USDA that listed the collections that had expired in FY 2002 and asked them to 

take action on those that were in violation. These agencies, which seemed to have the 

most difficulty maintaining a process that results in full compliance with the PRA, 

have now made substantial progress on their violations, as a result of the attention 

paid to the PRA process by the highest levels of the agencies. 

USDA, which had 21 unresolved violations last year, currently has 11 unresolved 

violations, all of which are currently under review at OMB. USDA resolved 66 

collections during Fiscal Year 2002, many of which had been long-standing 

violations of the PRA. They have instituted procedures that should eliminate the 

occurrence of any more violations of the PRA. 

HUD has undertaken an effort to look back on all of their information collections 

from the past 20 years to determine continued compliance with the PRA. While this 

review resulted in the discovery of 14 additional violations that had not been 

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previously reported, all of these are in the process of being remedied. HUD is 

confident that no other existing collections are in violation, and has updated their 

procedures to ensure that violations will not occur in the future. 

• Coordination with CIO Council and PMC: OMB has continued to work with the CIO 

Council and the PMC to ensure that agencies, at the highest levels, are engaged in the 

process of resolving violations and implementing a system that avoids future 

violations. The OIRA Administrator spoke to the PMC in December, 2002 about the 

need to attend to compliance with the PRA. 

As noted in Chapter 1, our efforts resulted in a number of violations, many of 

them long-standing, being resolved during the last 18 months. The increase in burden 

associated with these collections was almost 60% of the “increase” in burden hours 

overall. There were a total of 328 collections that were resolved since October 1, 2002. 

While we have not yet eliminated all violations of the Paperwork Reduction Act, 

the actions taken by OMB and the agencies have substantially increased compliance. 

OMB will continue to focus on eliminating all violations of the PRA, and will work 

closely with the agencies to make that goal a reality. 

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Chapter 3. IRS 

Internal Revenue Service paperwork is currently estimated to total approximately 

6.7 billion hours. Overall, the paperwork burden associated with Internal Revenue Code 

dwarfs the paperwork burden of every other part of the Federal government, accounting 

for approximately 80 percent of all the paperwork burden of the Federal government. 

The IRS burden is highly concentrated; ten out of the approximately 800 IRS forms 

accounting for approximately 80 percent of all IRS burden. By far, the most burdensome 

form is the basic tax return – the Form 1040 and its associated schedules. It accounts for 

1.6 billion hours, or 25 percent of all IRS burden. 

Although we tend to attach a negative connotation to Federal paperwork burdens, 

we should resist the urge to do so. Much of this burden necessary for agencies to 

faithfully implement the law, and is essential to the proper functioning of the Federal 

government. This is particularly true in the context of paperwork burdens associated with 

our tax system. For these reasons, it is incumbent upon all of us to recognize that all 

burden is not bad, and to focus on eliminating paperwork burdens that are truly 

unnecessary. 

Since 1993, taxpayer paperwork burden has grown by over 30 percent. This 

expansion – while appearing large – must be considered in the context of the 

unprecedented economic expansion that occurred during the same period. By the end of 

2002, U.S. gross domestic product was 50 percent larger than in 1993. Much of the 

growth in IRS paperwork resulted from this dynamic economic expansion – a period 

during which more individuals entered the tax rolls, more businesses were created, and 

the volume of activity in financial markets generated unprecedented wealth as well as 

high levels of taxable transactions. During this period, the total burden represented by 

IRS Form 1040 increased by about 531 million hours. A third of this increase can be 

attributed to the increasing number of tax returns filed annually. An additional 

component of this increase can be traced to the increasing complexity of the Internal 

Revenue Code. 

The IRS devotes considerable resources to development of forms in a manner that 

minimizes burden. Forms development within IRS is a rigorous procedure that utilizes 

the policy and graphic layout expertise of numerous individuals as well as, when 

appropriate, public focus groups. Of the 800 forms, schedules, and instructions, some 

450 are reviewed each year. New IRS forms are initiated and existing forms are revised 

to reflect one or several events that may converge, including tax law changes; input from 

taxpayers, tax professionals, and IRS employees; recommendations by internal audit staff 

and GAO; and triennial OMB review under the PRA process. 

In recognition of the importance of reducing paperwork, in January 2002, IRS 

created the Office of Taxpayer Burden Reduction (OTBR). This office seeks to achieve 

significant burden reduction for taxpayers by developing proposals that foster burden 

reduction; by coordinating and championing burden reduction efforts throughout the IRS; 

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and by working with others in IRS, Congress, States, other Federal agencies, and the 

small business community to develop, coordinate and implement meaningful burden 

reduction efforts that are consistent with IRS’s customer service and compliance goals. 

Taxpayer Burden and the Tax Code 

While the growth of our population and increased economic activity during the 

last ten years has contributed to the growth in IRS paperwork, the increasing complexity 

of our tax system has also been a significant factor in the increased level of IRS 

paperwork burden. Individual taxpayers purchase tax-help books and computer software 

to help them navigate the maze. The complexity is such that over half of individual 

taxpayers use paid tax preparers to complete their tax forms. 

In assessing IRS’s efforts to reduce the paperwork burden it imposes on 

taxpayers, it is important to consider the competing need for IRS to ensure taxpayer 

compliance with the Internal Revenue Code. In many cases, the Code sets out in 

considerable detail the information that taxpayers must provide to IRS to demonstrate, for 

example, that they are eligible for and have correctly calculated a particular tax deduction 

or credit. To illustrate this challenge, consider three new statutory tax provisions that 

required IRS to modify the Form 1040: the deduction for educator expenses; the 

expansion of the child tax credit; and the creation of a retirement savings contribution 

credit. 

Educator Expenses 

At the bottom of this year’s Form 1040, there is a new line labeled “educator 

expenses.” This is a new tax benefit intended to permit teachers to buy classroom 

supplies and subtract up to $250 of these expenses from their taxable income. While the 

implementation of this laudable social goal would seem to be straightforward, the 

requirements from the statutory language in section 62(a)(2)(D) of the Internal Revenue 

Code leads to complex instructions for that single line item. In order to report an expense 

on that line, a teacher must assure that they are an eligible educator – a kindergarten 

through 12th grade teacher, counselor, principal or aid in a school for at least 900 hours 

during a school year– and then must determine if the expenses are “qualified expenses” – 

for books, supplies, equipment and other materials used in the classroom. Expenses for 

non-athletic supplies for courses in health or physical education, and expenses for ho me 

schooling, cannot be included. 

Most teachers should be able to readily determine their eligibility. However, it 

becomes more difficult, complex, and time-consuming for teachers to determine the 

actual amount that they can deduct from their taxable income. Specifically, teachers 

must know several other things (as required by the Internal Revenue Code) as indicated 

in the instructions to this single line. They have to subtract, from their classroom 

expenses, (1) U.S. Savings Bond interest they received, which taxpayers calculate using 

another form -- IRS Form 8815; (2) nontaxable “qualified state tuition program 

earnings;” (3) nontaxable earnings from “Coverdell education savings accounts;” and (4) 

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reimbursements received for the expenses that were not reported in “box 1 of your Form 

W-2.” Once an educator wades through this, he or she can deduct no more than $250. 

This real example from this year’s income tax forms illustrates the difficult and 

complex task faced by the IRS in implementing new statutory provisions in a manner that 

minimizes burden. Despite the detailed eligibility criteria and limitations of the educator 

expenses credit--all of which are specified in the Internal Revenue Code--IRS was able to 

implement this statutory requirement in as minimally burdensome way as possible by 

adding one line to the Form 1040 and explaining what goes on that line with 37 lines of 

instructions. 

IRS decided to add a new line because there was no existing line on which to 

claim an adjustment to income for educator expenses, and the number of taxpayers 

eligible to claim the deduction was estimated to be more than 4 million. IRS could have 

required these taxpayers to make a “write-in” entry instead of adding the new line, but it 

rejected this approach because it would cause many educators to overlook the new 

deduction. 

Expansion of the Child Tax Credit 

Another recent example of how complex statutory language creates a maze that an 

individual taxpayer must navigate in preparing an income tax return is a change relating 

to the child tax credit. Many benefiting from this tax benefit are low- and moderateincome families who do not have access to professional tax advisors. 

Prior to tax year 2001, an additional child tax credit was available only to 

taxpayers having three or more children. Beginning in tax year 2001, eligibility for the 

additional child tax credit was extended to taxpayers having fewer than three children. 

This change was enacted as a part of the Economic Growth and Tax Relief Reconciliation 

Act of 2001. 

What sounds like a straightforward change to the law was complicated by the fact 

that the tax credit computation was changed to limit the amount of this additional credit 

for those filers with only one or two children -- to ten percent of their taxable earned 

income in excess of $10,000. Additionally, the credit computation used by taxpayers 

with three or more children was changed to allow them to use either the previous or the 

new method of credit computation. 

The expansion of the additional child tax credit was implemented by the IRS 

through changes to its Form 8812, “Additional Tax Credit.” A taxpayer is directed to 

Form 8812 from the “child credit worksheet,” which appears in the instructions to the 

Form 1040. Using that worksheet, the taxpayer determines the basic amount of the tax 

credit they are eligible for and, if appropriate, are directed to Form 8812 to compute the 

additional credit. 

17 
Form 8812 is a step-by-step route to determine eligibility for the additional child 

tax credit. The four new lines require taking numbers from Form 1040 or 1040A and 

computing additions and subtractions, to compute the additional child tax credit. The 

changed form represents a straightforward implementation of complicated statutory 

language. A combination of instructions and a step-by-step worksheet and form presents 

a taxpayer with a manageable – but somewhat complex – route through this area of 

income tax preparation. 

Retirement Savings Contribution Credit 

Another recent example of IRS implementation of statutory language is the 

creation of a “retirement savings contribution credit.” This item appears as a new line on 

the tax year 2002 Form 1040. It was enacted as part of the Economic Growth and Tax 

Relief Reconciliation Act of 2001. New section 25B of the Internal Revenue Code 

describes in great specificity the variable amount of credit allowed, taxpayer eligibility 

requirements, qualifying types of savings contributions, and reductions to the eligible 

credit amount resulting from distributions received from certain kinds of retirement 

accounts. The Code also treats retirement savings distributions to a person’s spouse the 

same as retirement savings distributions to that individual when a joint tax return is filed. 

This detailed statutory language led the IRS to develop a new form through the forms 

creation process. “Retirement savings contributions credit. Attach Form 8880” is the 

title of a new line on Form 1040, appearing in the section headed “Tax and Credits.” The 

instructions for this line briefly explain that an individual may be able to take the credit if 

they have made certain kinds of retirement savings contributions during the year. It 

briefly lists the kinds of qualifying contributions, including traditional or Roth IRA 

contributions and 401(k) payments. The instructions also note that an individual cannot 

take the credit if they have an income over $50,000 if married and filing jointly; if they 

are under age 18; or if they were a student during any five months of the year. Finally, 

the Form 1040 instructions direct individuals to Form 8880 if they believe that they 

qualify for the tax credit. 

The Form 8880, “Credit for Qualified Retirement Savings Contributions” is a 

step-by step walk through the requirements of the Internal Revenue Code relating to the 

retirement savings contrib utions credit. This form, like the Form 1040 instructions, 

begins by listing the factors that eliminate an individual from claiming this credit – 

income level, age, dependent status and student status. The form then walks a taxpayer 

through the numbers. This step-by-step approach involves filling in numbers related to 

retirement savings contributions and distributions for individuals and their spouse and 

entering a factor by which their retirement savings contribution is multiplied. The form 

has 14 lines as well as one page of instructions that further explain general eligibility for 

the credit and specific concepts relating to the lines. In addition to the top of the form, 

which describes who cannot claim the credit, there are two places on the form where a 

filer gets a result of zero and is told “stop; you cannot claim the credit.” 

Thus, this is another example of IRS’ implementation of new Code language into 

one line on the Form 1040 and instructions that refer the taxpayer to another form – the 

18 
8880, which has 14 step-by-step lines and one page of instructions. OMB has looked 

closely at this, and believe that there is no less burdensome or more simplified approach 

that IRS could have taken given the prescriptive language of the Internal Revenue Code. 

Initiatives to Reduce Taxpayer Paperwork Burden 

• Redesign Form 941. This project to review and redesign this form will affect 6.6 

million employers. Work is being conducted to identify what steps can be taken to 

simplify this form. IRS’s form redesign group has determined that some existing 

space on the form is used for internal processing and can be made available for 

improved formatting and readability. 

• Change Reporting Threshold for Schedule B. Changing the reporting threshold from 

$400 to $15,000 affected 15 million taxpayers and reduced burden by 20 million 

hours. 

• Redesign Schedule K-1. This project to review and redesign this form will affect the 

23 million K-1s filed each year. IRS will be balancing the need to simplify the form 

and make it less burdensome with the need to insure the integrity of the tax system 

and the compliance program. 

• Reducing Burden on Farmers. IRS has plans to conduct an analysis to develop 

recommendations to reduce burden imposed on farmers. 

Improving the Measurement of Taxpayer Burden 

IRS’ current model to estimate paperwork burden was created by the Arthur D. 

Little Company (ADL) in the early 1980's. It is based on survey data collected more than 

15 years ago, and it measures only certain types of compliance burdens. It has limited 

ability to predict changes in compliance burden resulting from changes in tax policy or 

tax system administration. ADL's survey of taxpayers provided estimates of the time 

spent by taxpayers on each form, but not estimates of the money spent. To meet OMB 

requirements, and for simplicity in updating the model annually, the ADL model 

estimates burden using counts of lines and words in forms and cross-references to 

worksheets. At times, this has had unintended consequences. For example, if a 

worksheet was added to clarify or simplify the associated form for the taxpayer, the 

additional lines or words increased the estimated burden, even when it actually reduced 

the true burden on the taxpayer. IRS corrected this problem in recent years by 

subjectively adjusting the model output under certain circumstances. 

IRS began an effort to develop a new model in 1998 in response to the 

Commissioner's interest in a tool for (1) measurement of burden; and for (2) 

understanding how IRS administrative actions and tax legislation affect compliance 

burdens imposed on taxpayers. This new model could also satisfy the need for improved 

information for OMB’s use in meeting the requirements of the PRA. 

The new model will cover a wide range of dimensions affecting tax compliance. 

These include: tax system impacts (e.g., laws, regulations, and tax forms); taxpayer 

behavior (e.g., preparation, filing and submission methods), taxpayer demographics (e.g., 

19 
age, filing status, and income levels); technology (e.g., tax preparation software, e-filing, 

and internet access to forms and publications); and economic changes (e.g., anticipated 

economic growth). 

The new model will provide IRS with information unique to each taxpayer's 

burden. Some of the estimates of particular value to IRS are time and money burden by 

(1) preparation and submission method; by (2) reported income classification; and by (3) 

taxpayer activity. Because the data can answer many different needs, it has great 

potential for IRS, and it can be available for those in IRS wishing to evaluate the impact 

of administrative or policy changes on taxpayer burden. The complexity of the model 

necessitates establishing a sophisticated, technical staff, and taking a cautious approach 

when analyzing the data. 

The massive scope of the project necessitated doing it in steps. The first piece 

focused on individuals filing income tax Form 1040 and its many schedules and linked 

forms. This was broken into two segments: Wage and Investment (W&I) and Self 

Employed (SE). Pre-filing and filing activities were included. In March 2002, the 

contractor delivered the first burden simulation model, addressing the Federal income tax 

compliance burden of W&I taxpayers. A second model, delivered in January 2003, 

integrates the W&I and SE populations to yield a comprehensive model of individual 

taxpayer compliance burden. The model is referred to as the Integrated Taxpayer Burden 

Model (ITBM). 

IRS has recently begun work on estimating burden of small business taxpayers, 

including employment and excise taxes. Potential future projects may address reporting 

burden incurred by small and mid-size corporations, tax exempt entities, post-filing, and 

perhaps some other specialty taxes. In addition, the current work will need to be updated 

every five to seven years, depending on the changes in the law. 

20 
Chapter 4. E-GOVERNMENT 

The Administration’s E-Government Strategy is a two pronged approach to 

Information Technology (IT) reform: modernizing within agencies around the tenets of ebusiness, and consolidating and integrating IT investments across agencies around groups 

of citizens. The Federal government has made significant progress toward becoming a 

transformed and more productive “E-Enterprise,” focusing on how IT is managed at an 

enterprise level within and across agencies. Since the President proposed 24 EGovernment initiatives in the 2003 Budget, 19 have already delivered significant 

capabilities and are showing results. 

The Administration is committed to successfully implementing the Government 

Paperwork Elimination Act (GPEA) which along with the E-Government Act, is the 

legislative basis for e-government. By October 21, 2003, agencies are to provide the 

option for electronic filing and electronic signature capabilities for the full range of 

government activities and services unless it is not practicable to do so. However, 

implementing an electronic process does not automatically reduce the burden of the 

information collection. We have encouraged agencies to implement those projects with a 

positive return on investment for the agency and the public. Optimal burden reduction 

occurs when agencies reengineer and streamline the business process using available 

technology. You do not meet the requirements of GPEA by “slapping up” an e-form that 

automates an inefficient paper process. Examples of this strategy in action include the 

following initiatives: 

• BCOS: The Business Compliance One Stop initiative is focused on making it 

easier for businesses to find, understand, and comply with governmental 

regulations. The framework for this has already been put in place with the 

launch of Businesslaw.gov and a number of expert compliance assistance 

tools. The next phase of the initiative will place a greater emphasis on 

reducing the paperwork burden from having to comply with government 

requests for information. The initiative will use three strategies to accomplish 

this, including: reducing the information required from businesses through 

analyzing if information is needed; assessing whether definitions in different 

forms and forms in different agencies can be harmonized to reduce overlap; 

and increasing the effectiveness of data collections processes by collecting 

once and sharing data among programs and agencies. Reducing the work of 

submitting data by using interactive electronic forms that aid the user 

• EETPB: The objective of the Expanding Electronic Tax Products for 

Businesses initiative is to reduce the tax-reporting burden on businesses while 

improving the efficiency and effectiveness of government operations. The 

initiative is comprised of seven projects that will deliver benefits by reducing 

the number of tax-related forms that businesses must file, providing timely 

and accurate tax information to businesses, increasing the availability of 

electronic tax filing, and modeling simplified Federal and state tax 

21 
employment laws. These projects include Form 94x Series, Form 1120/1120S, 

Form 8850, Internet Employer Identification Number (EIN), and the 

Standardized EIN. 

The E-Government initiatives consolidate dozens of redundant agency centered 

efforts. The 24 E-Government initiatives were discussed in Chapter 4 of the OMB FY 

2002 Managing Information Collection and Dissemination Report to Congress. The 

projects were selected on the basis of the value they would bring to citizens, while 

generating cost savings or improving effectiveness of government. The initiatives reflect 

the Administration’s E-Government Strategy, which focuses on four citizen-centered 

groups. 

• Individuals: The E-Government initiatives have developed easy to 

find one-stop-shops for citizens that create single points of easy access 

to high-quality government services. Citizens should be able to find 

what they need quickly and easily, accessing information in seconds 

or minutes, instead of hours or days. For example, the 

GovBenefits.gov portal is expanding to provide potential beneficiaries 

with instant access to information for all government benefit programs 

and services through a single web site. Federal agencies use IT to 

enhance delivery of government services, and to engage the public in 

new and constructive ways in the development and implementation of 

policies and programs. 

• Businesses: The Federal government must use the Internet to reduce the 

burden it places on businesses. The Administration cannot continue to make 

businesses report the same data to multiple agencies because the government 

fails to minimize redundant data collection and use commercial electronic 

transaction protocols. A citizen-centered approach will streamline reporting 

requirements as well as facilitating a more efficient means for businesses to do 

business with the government. For example, the Business Compliance OneStop project reduces government’s burden on business owners by making it 

easy to find, understand, and comply with laws and regulations. 

• Intergovernmental: The Federal government must make it easier for states and 

localities to meet reporting requirements, while promoting performance, 

especially for grants. State and local governments will see significant 

administrative savings and will be able to improve program delivery through 

collaboration tools for e-government. Enhanced and more visible 

performance reports will help make government at all levels more accountable 

for results and wise use of resources. Moreover, improving the way that 

information is shared among levels of government will improve the nation’s 

ability to provide for home land security. Many of the intergovernmental 

initiatives are designed to improve homeland security, as identified in the 

President’s Budget and in the National Strategy for Homeland Security 

released in July. For example, one initiative is a secure portal that will 

22 
improve the disaster management process by simplifying and unifying the 

interaction between Federal, state, and local public safety personnel. 

• Internal Efficiency and Effectiveness: The Federal government must 

modernize internal processes to reduce costs for Federal government agency 

administration. Industry best practices in supply-chain management, financial 

management, and knowledge management improve agency efficiency and 

effectiveness, eliminates delays in processing, and improve employee 

satisfaction and retention. A clear model is the E-Training initiative which is 

consolidating numerous online Federal training capabilities into a premier Etraining portal (GoLearn.gov), providing enhanced access to high quality 

training and competency development for Federal employees. 

The 24 projects achieve results by simplifying and unifying redundant work 

processes and IT. Agencies have since identified additiona l opportunities for using egovernment to work across boundaries to improve performance and reduce costs. 

Significant progress has been made on the projects in the last year, including the 

launch of numerous government portals, initiative websites and consolidations. Our 

recent achievements include: 

• FirstGov.gov: This website provides American citizens with a gateway to the 

Federal government. The site was named “One of the Top 50 Most Incredibly 

Useful Web Sites” by Yahoo! Internet Life in July 2002, and was redesigned 

to provide government services within “three clicks.” The new “three clicks” 

strategy has increased the number of site visitors by 50 percent. Recently 

launched within Firstgov is Science.gov, a gateway to science and technology 

and related R&D information provided by U.S. government agencies. 

• Recreation.gov: This site provides citizens with one-stop online access to 

America’s National Parks and public recreation areas. The web site includes 

links to 1900 Federal parks and receives more than 750,000 site visitors per 

month. 

• GovBenefits.gov: This web portal offers citizens one-stop access to 

information and services of almost 200 government programs representing 

more than $1.3 trillion in annual benefits. GovBenefits receives more than 

500,000 visitors per month and is listed as one of USA Today’s “Hot Sites.” 

• GoLearn.gov: This on-line training initiative is the number one most visited etraining site in the world, with more than 36 million hits for information on 

many thousands of e-training courses, e-books, and career development 

resources. GoLearn.gov has already allowed over 30,000 Federal employees 

to receive training that would not have been possible prior to the launch of this 

initiative, at a cost of pennies per course. Traditional training approaches only 

serve a fraction of this number of people, often at as much as $2,500-$5,000 

per class. 

23 
• Volunteer.gov: This website works in support of the President’s 

USAFreedomCorps initiative by allowing citizens to access information about 

volunteering for more than 100,000 openings at national parks, veteran 

hospitals, and other Federal facilities. 

• Integrated Acquisition: This initiative helps Federal agencies acquire quality 

goods and services cost-effectively by providing one-stop access to a 

catalogue of interagency vendor contacts and a record of vendor past 

performance. 

• E-Payroll: This initiative consolidates government payroll processing from 22 

service providers to two service partnerships. $1.2 billion will be saved over 

the next 10 years by modernizing these two providers, rather than 22. 

• IRS Free Filing: Over 78 million Americans can file their taxes online for free 

beginning in the 2003 tax filing season. In the first 5 weeks of the 2003 tax 

season (as of February 21, 2003), 1.3 million Americans have used this 

service. The number of e-filed returns is up 8.1 percent from the same time 

last year. 

• Regulations.gov: This portal makes it quicker and easier for citizens and small 

businesses to find and comment on hundreds of proposed rules. 

Regulations.gov is estimated to save $94 million by creating a single system 

that makes the rulemaking process more efficient. Since its launch on January 

23rd of this year, the site has had approximately 1.5 million hits. 

• E-Clearance: E-Clearance has deployed an integrated database that will enable 

significant reductions in the security clearance backlog. The database 

streamlines and improves the quality of the current security process. 

• Disability.gov: This website is a one-stop resource for Americans with 

disabilities, providing them access to disability-related information and 

programs available across the government. The disability.gov website was 

launched in October 2002. 

We are continuing to focus on improving government responsiveness and 

reducing the government’s burden. Here are some of the initiatives that will have 

deployments over the next few months: 

• Geospatial One Stop: This portal will launch in Spring 2003, pulling together 

all existing and planned Federal geospatial assets into one-stop shopping for 

all customers 

• Disasterhelp.gov: At the end of April, the initiative will launch a robust set of 

tools for Federal, State, local, and tribal first responders to work together 

before, during, and after a disaster. 

24 
• Business Compliance One-Stop: This website will provide one-stop Internet 

access to help small businesses find the laws and regulations they must 

comply with to start and/or manage a business. 

• E-Grants: The E-Grants website deploys in October, 2003. The website will 

allow for a simple, one-stop, online place for state and local governments, 

researchers, faith and community based organizations, citizens, and businesses 

to easily look across 500 grant programs to determine which grants may meet 

their needs and apply for many of those grants using a standard form. 

• Recruitment One-Stop: Will provide one-stop access to government job 

opportunities and deliver state-of-the-art on-line recruitment services to job 

seekers, including intuitive job searching, on-line resume submission, 

applicant data mining, and on-line feedback on status and eligibility 

25 
Small Business Burden Reduction Task Force 

The Small Business Paperwork Relief Act of 2002 (SBPRA, P.L. 107-198) 

establishes a multi-agency Task Force on information collection and dissemination 

chaired by OMB. The group's efforts will support the goal of the Government-toBusiness, E-Government Portfolio: reducing the burden on buisnesses by adopting 

processes that enable collecting data once for multiple uses. Further, the Task 

Force seeks to propose recommendations that will reduce the paperwork burden 

on small businesses and make it easier to find, understand and comply with 

government collections of information. 

SBPRA charges the Task Force with examining five specific ideas. They are: 

1. Examine the feasibility and desirability of consolidating information 

collection requirements within and across Federal agencies and programs, and 

identify ways of doing so. 

2. Examine the feasibility and benefits to small businesses of having OMB 

publish a list of information collections organized in a manner by which they 

can more easily identify requirements with which they are expected to comply. 

3. Examine the savings and develop recommendations for implementing 

electronic submissions of information to the Federal government with 

immediate feedback to the submitter. 

4. Make recommendations to improve the electronic dissemination of 

information collected under Federal Requirements. 

5. Recommend a plan to develop an interactive Government-wide Internet 

program to identify applicable collections and facilitate compliance. 

A report of findings and recommendations will be published for the first three 

ideas by June 2003, and the remaining two ideas by June of 2004. The draft for 

this year's report is now under development in preparation for a public comment 

period during May 2003. Addressees for the final reports are the Director of 

OMB, the Small Business and Agriculture Regulatory Enforcement Ombudsman, 

and the chairpersons and ranking minority members of (a) the Senate committees 

on Governmental Affairs and Small Business and Entrepreuneurship, and (b) the 

House committees on Government Reform and Small Business. 

26 
Chapter 5. Agency Initiatives 

Historically, the ICB has provided agency burden accounting numbers, identified 

significant paperwork reductions and increases, and described overall compliance with 

the PRA. The government-wide accounting of the past year’s information collection 

activities had traditionally been the focus of previous ICB reports. Last year’s bulletin 

represented an effort to shift the focus from aggregate accounting numbers to meaningful 

agency efforts at reducing paperwork burden on the public and improving the efficiency 

of information collection activities. Like last year’s bulletin, the FY2003 ICB draws 

attention to specific agency initiatives. 

The impact of the PRA cannot be captured by looking solely at burden hours. 

Sometimes, when agencies make significant efforts at improving program efficiency and 

effectiveness, these improvements increase the amount of time the public as a whole 

spends on information collections. For example, consider an agency that improves its 

program performance by making its services accessible over the internet. Obviously, this 

effort would benefit the public by making the services more convenient and by reducing 

the effort needed to learn about the services. However, if this enhanced service promotes 

increased use, the total burden hours might increase. While measurement of burden 

hours may be useful in tracking the amount of information the government collects, it is 

an imperfect tool that does not give a full picture of agency efforts at reducing burden and 

increasing public benefits. 

Recognizing this situation, OMB believes a more effective way to oversee agency 

information collection improvement efforts is to encourage agencies to develop specific 

initiatives and urge agencies to focus energy on these efforts. Through this type of 

meaningful effort, the public will benefit from enhanced information quality, program 

performance, and government efficiency. 

As described in its instructions on preparation of the FY 2003 ICB, OMB asked 

each agency to provide a summary progress report on initiatives identified in last year’s 

ICB. For agencies not included in last year’s ICB, OMB asked them to identify at least 

two initiatives that improve program performance by enhancing the efficiency of 

information collections; significantly reduce the burden per response on the public; or 

lead to a comprehensive review of an entire program, including regulations and 

procedures. 

In response to this request, agencies noted dozens of initiatives that have made or 

have the potential to make meaningful improvements for the public. In general, the 

identified initiatives can be placed into three categories: reducing burden, hastening 

electronic reporting, and improving program effectiveness. The rema ining three sections 

of this chapter highlight these initiatives. 

27 
Reducing Burden 

In keeping with the goal of the PRA, agencies are taking steps to reduce 

paperwork burden. The following initiatives were each designed to reduce burden: 

Environmental Protection Agency: 

RCRA Burden Reduction Initiative. The Environmental Protection Agency, through 

rulemaking, will significantly reduce the paperwork burden imposed by regulations under 

the Resource Conservation and Recovery Act (RCRA). EPA is undertaking this initiative 

to ensure that only the information actually needed to run the RCRA program is 

collected. EPA estimates that the initiative will reduce burden by 929,000 hours and save 

$120 million annually. A proposed rule was published in FY02. 

Department of Health and Human Services: 

MedSun. The Medical Product Surveillance System (MedSuN) initiative is a pilot 

program designed to enable the Food and Drug Administration (FDA) to obtain higher 

quality reports for its user facility medical adverse event reporting program. For the 

reporting facilities, reporting time should be reduced using this web-based tool. Ease in 

submitting the information will be vastly improved, and the need to mail paper copies 

will be eliminated. Reporting adverse events about medical devices will become simpler. 

FDA will formally evaluate the burden reduction once the goal of recruiting 100 more 

sites in FY 2003 is reached. 

Medicare/Medicaid Electronic Collection/Signatures. In 2002, the Centers for Medicare 

and Medicaid Services (CMS) identified 10 collections, reform of which will 

significantly reduce burden and improve program performance if electronic 

collection/signatures could be obtained. Since the FY02 ICB, CMS has identified ways 

to streamline, eliminate, and/or provide alternative reporting methods for five of the 

referenced collection activities. As a result of this effort, several regulatory requirements 

necessitating the submission of multiple hard copy forms will be eliminated, electronic 

reporting will be achieved, and reporting burden will be reduced for approximately 

5,740,000 responses. For the remaining five collection activities, totaling 125,500 annual 

responses, the measurable objectives and proposed timetable remain the same as last 

year. 

Department of Interior: 

Single Source Reporting. Formerly entitled the OSM-1 Initiative, the Department of 

Interior’s single source reporting initiative involves combining selected Federal and State 

forms related to mining sites into a single mineral industry reporting system. A pilot 

program was completed in January 2003. The goals of this initiative are to reduce the 

number of forms to be completed and reduce the reporting burden through the use of 

electronic submission of information. The ultimate product will be an e-form that will be 

28 
available nationally, capture the data required by State and Federal agencies, enable data 

sharing among member agencies, and reduce burden. 

The Department of Defense Acquisition Process 

The information collection in support of the DoD acquisition process covers contract 

solicitations not included by another OMB clearance. 

second largest information collection, encompassing 24 million hours, or 26%, of the 

Department’s total burden. plications 

for benefits/contracts, including the acquisition of goods and services under the 

Defense Federal Acquisition Regulation Supplement (DFARS), a supplement to the 

government-wide procurement requirements under the Federal Acquisition Regulation 

system. 

information through higher costs and unnecessary delays, DoD has a strong incentive 

to reduce the paperwork burden. 

achieved a burden reduction of 14,115,462 hours. 

This is the Department’s 

Almost all of this burden is imposed through ap

Because it pays, either directly or indirectly, for these collections of 

This initiative was completed December 2002 and 

Department of Labor: 

Current Employment Statistics Survey. The Current Employment Statistics (CES) Survey 

is a Federal and State program of the Bureau of Labor Statistics (BLS). It produces 

monthly estimates of employment, hours, and earnings based on U.S. nonagricultural 

establishment payrolls. CES is employing a number of collection methods and 

techniques designed to ease reporting burden and simplify reporting. For example, by the 

end of FY 2003, BLS will use a probability sample to collect 327,000 reports. The 

probability sample design will reduce burden by approximately 50,586 hours through 

reducing the number of reports submitted by respondents. 

Workplace Health Standards Improvement. OSHA is undertaking rulemaking to update 

numerous health standards that are inconsistent, duplicative, and outdated. The proposal 

affects 18 information collections and would result in a 207,892-burden hour reduction. 

Time for completion of this project hinges upon the number and complexity of public 

comments received on the proposed rule. 

Review of Certification Records Requirements. Numerous OSHA standards contain 

certification records. OSHA is reviewing the requirements associated with these records 

to reassess the information. If some certification records requirements could be revoked 

without jeopardizing worker safety and health, burden hours could be reduced 

significantly. OSHA is currently examining possible options regarding certification 

records and anticipates making a decision on this project during FY 2003. 

29 
Department of Transportation: 

Railroad Locomotive Safety Standards and Event Recorders. This Federal Railroad 

Administration (FRA) initiative pertains to requests for waivers by the Burlington 

Northern Santa Fe Railroad (BNSF) and the Union Pacific Railroad (UP) to keep the 

daily locomotive inspections records required under 49 CFR 229 (§ 229.21) in an 

electronic format. A conversion from paper to electronic records has the potential to 

reduce the overall burden by 96,250 hours and reduce the expense incurred by railroads 

to create, retrieve, and maintain paper records. 

Federal Communications Commission: 

Streamlining the Section 214 Application. If implemented, Federal Communication 

Commission (FCC) streamlining of the 214 application will reduce the time it takes to 

complete the form. The 214 application is used to determine if applicants are qualified to 

provide international telecommunications service. FCC is making the application easier 

to understand by deleting redundant and obsolete information and including helpful 

instructions to expedite completion of the form. This initiative will also expedite the 

review and processing of applications by the Commission. Completion of this initiative 

is scheduled for June 2003. 

Hastening Electronic Reporting 

Many of the initiatives identified by agencies are designed to provide customers 

with alternatives to paper submission, the goal of the Government Paper Elimination Act 

(GPEA). These initiatives usually serve other purposes as well. Data quality 

improvement is most often cited as a benefit of such initiatives. 

Department of Agriculture: 

Forest Service Permit Program. The USDA Forest Service is implementing a webenabled electronic government system to fully process permits for use of U.S. forest 

system lands and facilities. The agency will be able to readily analyze and measure 

improved program delivery in an electronic customer-centered environment. Burden is 

also reduced because the initiative will provide an expected decrease in customer data 

entry time (25%), internal processing time (33%), and customer search time (50%). 

Department of Commerce: 

Automated Export System (AES). AES is a part of the government-wide trade 

streamlining initiative. AES allows for electronic filing of Shipper’s Export Declarations 

(SEDs), resulting in a significant reduction in the number of paper SEDs. Prior to the 

1995 establishment of AES, the average number of paper SEDs filed monthly was more 

than 500,000. That number has been reduced to approximately 170,000 per month. The 

30 
Department of Commerce has launched an aggressive marketing and training plan to 

reduce the number of SEDs to 85,000 by September 2003. 

ECASS2000+ and SNAP+. The Bureau of Industry and Security (BIS) uses the Export 

Control Automated Support System (ECASS) to process export license applications and 

track and document export enforcement investigations. A complete redesign of the 

Export Control Automated Support System (ECASS), called the ECASS2000+ project, 

will provide improved benefits for export control, enforcement, and licensing activities. 

As the redesign effort evolves, it will address the need to reduce public information 

collection reporting burden hours, reduce redundant support documentation requirements, 

and coordinate with various BIS and inter-agency groups that are necessary to support 

and deliver a successful implementation. A re-designed Simplified Network Application 

Process, or SNAP+ module, will provide support for the submission of all BIS work 

items. 

Department of Defense: 

Information in Support of the Military Health System. The primary information 

requirements imposed upon the public by the Military Health System (MHS) are 

contained in three information collection requests, and the forms associated with these 

ICRs have been targeted by the Department of Defense (DoD) for electronic commerce. 

Pursuant to the Health Insurance Portability and Accountability Act of 1996 (HIPAA), 

the Department of Health and Human Services issued final electronic transaction 

standards to streamline the processing of health care claims; reduce the volume of 

paperwork; and provide better service for providers, insurers, and patients. The MHS is a 

covered entity under HIPAA. By promoting the greater use of electronic transactions and 

the elimination of inefficient paper forms, the electronic formats are expected to provide 

a significant savings to the health care industry overall. 

Department of Energy: 

Electronic Reporting Option for Electric Power Companies. This initiative was 

undertaken by the Energy Information Administration (EIA), Department of Energy, to 

establish an electronic reporting option for completing electric power forms. The goals 

were to reduce respondent burden, improve the quality of information reported, reduce 

follow-up time for both respondents and EIA, and offer an additional reporting option to 

electric power companies responding to EIA surveys. This initiative was completed in 

FY 2002. The new option reduces respondent burden and the EIA workload by 

eliminating the need for EIA/respondent contact due to questionable information. EIA is 

now working to increase the participation level for this new reporting option. 

Environmental Protection Agency: 

TRI-ME. The Environmental Protection Agency has developed software to improve the 

quality of information in the Toxics Release Inventory. The goal of TRI-ME (TRI Made 

Easy) is to reduce burden on facilities reporting to TRI and improve data quality without 

31 
diminishing data collection. EPA is currently working on completing the TRI-ME 

software for reporting year (RY) 2002. The software is expected to be made available to 

facilities in March 2003. Major enhancements will allow facilities to prepare their 

submission with electronic signature, and allow users the ability to load data from prior 

years and current-year third-party software. 

Department of Health and Human Services: 

Electronic Research Administration (eRA). This National Institutes of Health (NIH) 

initiative represents a conversion of the extramural award program (application, initial 

peer review, secondary council review, award and post-award administrative process) 

from a paper to an electronic medium. Since the FY02 ICB, NIH successfully launched a 

pilot program. Full implementation is not expected until later in FY 2003. 

Department of Housing and Urban Development: 

B2B Specification. Within HUD, Single Family Housing is developing a business-tobusiness (B2B) specification that will to lay the groundwork for a new integrated 

information system. This system will provide for automated data transmission from 

lender’s and loan origination systems (LOS) providers directly to the FHA. Full 

implementation of this B2B specification will reduce the FHA loan-processing burden for 

lenders and facilitate high quality, high performance, and operationally robust data 

submission. Implementation of the B2B specification is currently in the testing phase. 

Public and Indian Housing (PIH) Information Center (PIC). PIC represents a HUD 

effort to allow public and Indian housing (PIH) business partners to collect and process 

information in an internet environment. The focus is on automating three paper-based 

information collections. PIC has been implemented, and is being accepted by the PIH 

business partners. 

GinnieNet. Ginnie Mae is identifying opportunities for electronic transmissions of and/or 

consolidation of requests for data from its program participants and industry partners. 

Specifically, Ginnie Mae will determine if issuers can submit their requests for 

commitment authority and pool numbers electronically using Ginnie Mae's GinnieNet 

system. Under the initiative, certain forms would be processed electronically. 

Department of Interior: 

E-Well Permit and Report System Pilot Program. The Department of Interior (DOI) is 

conducting a pilot program to streamline information collections and operations 

associated with the conduct of well drilling/completion/workover operations on the Outer 

Continental Shelf (OCS). This project is designed to streamline processes; reduce data 

redundancy; and improve the quality, timeliness, completeness, and compliance of the 

information exchange between OMM and industry. A complete system will be externally 

accessible by the end of FY03. 

32 
Cross-Program Electronic Permit Initiative. The Fish and Wildlife Service (FWS) is 

reviewing its permit programs for possible electronic conversion to allow the public to 

submit permits and permit fees electronically using digital signatures. This initiative is 

expected to streamline the permit issuance process and reduce burden on the public. This 

initiative should also allow FWS program offices to share information more quickly and 

effectively. 

Department of Labor: 

Electronic Reporting Initiative. The Labor-Management Reporting and Disclosure Act 

(LMRDA) requires the filing of various reports by labor organizations, union officers and 

employees, employers, labor relations consultants, and surety companies. The 

Department of Labor (DOL) recently added an electronic reporting option. Since July 

2002, labor organization officers required to file certain forms have been able to purchase 

digital signature certificates and file the reports electronically. 

ES-202 Program. The ES-202 program is a Federal/State cooperative effort, which 

compiles monthly employment and quarterly wage data submitted to state workforce 

agencies by employers subject to state unemployment insurance (UI) laws. The ES-202 

Program provides a virtual census of nonagricultural employees and their wages, and 

nearly half of agricultural workers are covered as well. The Bureau of Labor Statistics 

(BLS) is in the process of automating this data collection. The initiative was originally 

scheduled as an FY02 burden reduction initiative, but was rescheduled for FY03. 

Department of Transportation: 

OE/AAA Automation. The Federal Aeronautics Administration (FAA) annually conducts 

more than 50,000 aeronautical studies. Such studies are conducted when FAA is notified 

of any proposed construction or alteration around public use airports or higher than 200 

feet above sea level. Such notification is required by law. The new obstruction 

evaluation/airport airspace analysis (OE/AAA) automation program is a web-based 

application that is accessed through the FAA’s intranet via the user’s workstation 

browser. With the deployment of the OE/AAA automation system to all nine regions, the 

reliance on paper transactions has been dramatically reduced. 

Integrated Airman Certification and Rating Application (IACRA). The FAA developed a 

computer-based program that automates the airman certification process. The program, 

known as IACRA, standardizes and streamlines the airman certification process for all 

persons responsible for airman certification. In addition, the final program will provide 

an interface between ACRA and multiple FAA databases for a comprehensive and 

integrated electronic airman certification process. Beta testing for the web-based 

submission tool is scheduled to begin in August of 2003; project completion is scheduled 

for September 2003. 

Hours of Service Regulations. This initiative pertains to the conversion of the Hours of 

Duty records that railroads are required to account for the time covered employees spend 

33 
on the job from a paper to an electronic format. To date, both time and cost burdens have 

been substantially reduced. The conversion from a paper to an electronic format reduced 

the burden on railroads by 733,333 hours. The Federal Railroad Administration (FRA) 

estimates that an additional 295,000 records will be generated and kept electronically, 

instead of on paper, over the next year. This further conversion will reduce the hourly 

burden for this information collection by an additional 39,333 hours. 

Department of Treasury: 

Modernized e-File. The purpose of this Internal Revenue Service (IRS) initiative is to 

significantly increase the number of electronically filed returns by enabling businesses 

and preparers to file many business forms, schedules and statements electronically. This 

system is not yet operational. By 2004, the infrastructure will be in place. Benefits of the 

initiative include reduced duplication, reduced processing times, elimination of 

transcription errors, and faster identification of emerging issues and trends. 

Electronic Information for Retirement Plan Participants. This IRS initiative will 

facilitate the use of electronic media by sponsors of tax-qualified retirement plans. 

Specifically, participants of those plans and certain other parties will be able to obtain 

two types of notices: (1) the notice to interested parties required in connection with an 

application for a determination letter for a tax-qualified retirement plan and (2) the notice 

of a reduction in future benefit accruals. IRS issued a final rule on July 19, 2002 

regarding the notice to interested parties. IRS proposed a rule on April 23, 2002 

regarding the notice of reduction in future benefit accruals. A final rule is expected in 

April 2003. 

Department of Veterans Affairs: 

Application for Service Disabled Veterans Insurance. Currently, veterans only have a 

paper option when applying for service disabled veterans insurance. The VA proposes to 

offer the veteran the option of submitting the relevant form electronically. The VA 

anticipates offering this option no later than June 30, 2003. 

Application for Designation of Beneficiary. Veterans only have the option of using a 

paper form to designate a beneficiary and select an optional settlement to be us ed when 

the insurance matures because of the veteran’s death. The VA proposes to offer the 

veteran the option of viewing the relevant form electronically. The electronic option 

should be available by June 30, 2003. 

Student Verification of Enrollment. Claimants receiving VA educational assistance must 

complete a form to certify attendance and verify enrollment before the department 

provides payment. Claimants had been able to submit this information in by completing 

the paper version, by calling a national toll-free telephone number, or by using the 

Internet. The VA eliminated the paper option and now requires electronic submission. 

This change reduced the average burden to respondents and cut VA burden hours from 

146,000 to 73,000. This initiative was completed in August 2002. 

34 
Veterans On-line Applications. VA has an Internet site from which applicants can view, 

print, and submit electronically various VA benefits application forms: Veterans Online 

Applications (VONAPP). VONAPP allows applicants to begin the claims adjudication 

process with VBA via the Internet. VBA is planning to migrate selected VONAPP data 

into VBA's corporate database. Doing so will allow a smooth flow of data into the VA 

modern awards processing system (MAP-D) which will eliminate the need to re-key data. 

The Compensation and Pension Service will begin discussions to develop a timeline to 

migrate this data into MAP-D beginning in January 2003. 

Federal Energy Regulatory Commission: 

FERC Electronic Filing. On May 26, 1999, FERC revised its rules to permit parties to 

Commission proceedings to serve documents electronically. On September 14, 2000, the 

Commission revised its rules to permit Commission proceedings participants to begin, on 

a voluntary basis, to file submissions via the Internet (e-filing). Increased use of filing 

will reduce the burden and expenses associated with paper filings and assist the public by 

making information available in a faster and more efficient manner. As of March 2003, 

an estimated 60% of the transactions and forms filed with the commission are filed 

electronically. 

Nuclear Regulatory Commission: 

Reducing Burden on Power Reactor Licensees. The Nuclear Regulatory Commission 

(NRC) has developed an initiative to review various reporting requirements for power 

reactor licensees. This initiative is expected to reduce the burden on licensees associated 

with periodic reporting requirements by eliminating certain reporting requirements, 

reducing the frequency of reporting, or making the required report an exception report. 

The NRC began developing the initiative in FY 2002. In FY 2003, NRC intends to 

develop a plan to determine which rule changes would reduce the licensee burden 

without compromising safety. The first rule changes may not occur until FY 2004. 

Social Security Administration: 

Disability Reporting. The Social Security Administration (SSA) is developing an internet 

filing alternative for members of the public wishing to provide disability reporting 

information in connection with pursuing a case for disability bene fits. The entire process 

is scheduled to be completed by January 2004. Developing an internet option enables 

SSA to capture information electronically at the earliest point in the business process and 

retain this information in an electronic format for use throughout the life of the case. The 

internet application also provides features that improve data collection and data entry for 

the public 

Improving Program Effectiveness 

35 
Some initiatives are designed to improve performance with statutory tasks. The 

following examples illustrate this category: 

Department of Agriculture: 

Child Nutrition. The USDA Food Nutrition Service (FNS) is in the process of reviewing 

its Special Nutrition Programs (SNP) to maximize the accuracy, efficiency, and 

usefulness of its child nutrition (CN) information collection. FNS is concentrating on a 

review of all CN data elements and instructions, focusing on items to add, eliminate or 

alter. FNS is also examining the process of collecting, validating, and consolidating CN 

data. This initiative will not necessarily result in a reduction of the quantity or frequency 

of information collected by FNS, but will improve program performance. 

Department of Education: 

Common Data Definitions. The objective of this Department of Education initiative is to 

develop a common language with common data definitions to greatly enhance 

communication between the department and its partners. The effort started with analysis 

of approved collections under the Paperwork Reduction Act, and the data elements used 

in those collections were identified and analyzed to develop consensus definitions and 

code sets. So far, twenty-seven data elements met the criteria for “consensus”, but the 

department continues its work to identify and achieve consensus definitions for additional 

data elements. 

Data Quality Certification Initiative. The objective of this Department of Education 

initiative is to establish data quality standards for information used and disseminated by 

the department and to certify major department databases for data quality. 

Department of Health and Human Services: 

Streamlining Health Information Collections. The Centers for Disease Control and the 

Agency for Toxic Substances Disease Registry (CDC/ATSDR) have initiated a 

comprehensive initiative to reduce paperwork and increase program effectiveness. 

Specifically, all centers, institutes, and offices are reviewing information collections to 

streamline forms and procedures, collaborate within and outside CDC/ATSDR, meet 

GPEA requirements, and use the latest technology available. Among the notable 

achievements to date: the Mortality and Morbidity Weekly Reports series of publications 

are now available on the internet in a searchable database; CDC is now consulting with 

HRSA and NIH on data collections involving HIV/AIDS in order to better evaluate HIV 

prevention programs; and the two largest information collections for the National Center 

for Infectious Disease are in the process of being streamlined and converted to electronic 

reporting under the National Electronic Disease Surveillance System. 

Department of Justice: 

36 
Arrival/Departure Information System (ADIS). To meet statutory requirements, the 

Immigration and Naturalization Service (INS) is requiring electronic arrival and 

departure manifests. Initial indications are that the arrival/departure information system 

(ADIS) is more reliable, alleviates data-entry errors, and enhances the capability of 

collecting a complete arrival/departure record every time. Beginning on January 1, 2003, 

all commercial carriers are required to submit electronic arrival and departure manifests. 

Department of Transportation: 

Air Carrier Traffic and Capacity Data. As a result of a BTS final rule issued in July 

2002, small certificated, commuter, and all-cargo air carriers are required to report their 

air traffic activity under the T-100 Traffic Reporting System. Prior to the final rule, there 

was a lack of market and segment data for domestic all-cargo, domestic charter and small 

aircraft operations. The regulatory changes were designed to fill the data gaps for these 

rapidly growing segments in the air transportation industry. Moreover, the final rule 

allows aviation data users to compare operations of commuter and certificated air 

carriers. 

National Bridge Inventory System (NBIS). During FY 2002, the Federal Highway 

Administration (FHWA) developed a new national bridge inventory system (NBIS). This 

new system greatly improves FHWA capability for administering the agency’s bridge 

program. The new NBIS system allows states to make submissions directly to FHWA 

using the internet so that separate data submittals (hard copies, diskettes, etc.) and cover 

letters are no longer needed. 

National Transit Database (NTD). At the direction of Congress, the Federal Transit 

Administration (FTA) undertook a top-to-bottom evaluation of the National Transit 

Database (NTD). As a result, the new NTD system was launched in October 2002. One 

objective of the new system is to ease reporting burden. Another objective is to reduce 

the validation processing time. FTA hopes to cut validation time in half. 

Federal Communications Commission: 

Streamlining and Revising Rules on Satellite Network Earth Stations and Space Stations. 

The International Bureau of the Federal Communications Commission (FCC) is revising 

requirements governing the licensing of, and spectrum usage by, satellite network earth 

stations and space stations. This rulemaking initiative, if implemented, will result in a 

shorter, on-line, user-friendly form that will expedite the review and processing of 

applications. The rulemaking is expected to be finalized by April 2003. 

Revision of the Automated Reporting Management Information Systems (ARMIS). The 

FCC established ARMIS reporting requirements in 1987 to facilitate the timely and 

efficient analysis of carrier costs and revenue. As a consequence of an internal review, 

FCC eliminated unnecessary reporting requirements and revised definitions, descriptions 

and instructions to provide greater clarity and consistency in reporting by incumbent local 

exchange carriers (LECs). Performance in the ARMIS related information collections has 

37 
improved due to streamlining the reporting and recordkeeping requirements. These 

revisions also enhanced the quality, utility, and clarity of the collected information. 

Federal Trade Commission: 

Merger Review Process. The FTC has been working with the Antitrust Division at the 

Department of Justice to establish procedures to make the Hart-Scott-Rodino Act (HSR) 

merger review process more efficient and transparent. In general, the FTC has focused on 

two areas for streamlining: (1) electronic pre-merger filing and (2) burden reduction with 

respect to certain investigations (i.e., second requests). E-filing will reduce filing burdens 

for businesses and government and create a valuable database of information on merger 

transactions. The system is scheduled to become operational in June 2003. The FTC, in 

conjunction with DOJ, has taken steps to reduce the burden in document productions 

responsive to requests for additional information under the HSR Act ("second requests"). 

National Aeronautics and Space Administration: 

Improvement of NASA’s ICB Process. NASA plans to conduct a complete overhaul of its 

information collection budget process. The program review and restructuring will take 

approximately ten months to one year to complete. NASA has instituted an electronic 

tracking system to monitor the status of current, new, and expiring collections, and plans 

to improve the system by adding more data to it in FY 2003. 

Nuclear Regulatory Commission: 

Risk-Informing Regulations. Risk-informed regulation is an approach to regulatory 

decision-making that uses risk insights as well as traditional considerations to focus 

regulatory and licensee attention on design and operational issues commensurate with 

their importance to health and safety. The Nuclear Regulatory Commission (NRC) is 

identifying regulatory activities that could benefit from risk information. The regulatory 

changes should (1) help resolve questions with respect to maintaining or improving an 

activity=s safety, (2) improve the efficiency or the effectiveness of the regulatory process, 

(3) reduce unnecessary regulatory burden on applicants or licensees, and/or (4) help to 

effectively communicate a regulatory decision. Currently, the NRC is developing riskinformed regulatory changes to many of its requirements and technical specification 

initiatives. 

Consolidated Decommissioning Guidance. NRC is consolidating and updating all 

existing NMSS decommissioning guidance documents into a three-volume NUREG. The 

consolidated guidance takes a risk-informed, performance-based approach to the 

information needed to support an application for decommissioning a materials license. 

The objective is to increase efficiency and reduce burden for both staff and licensees. 

The first volume was published in September 2002, the second volume is scheduled 

completed in June 2003, and the third volume is scheduled for completion in September 

2003.

38 
Consolidation of Licensing Process Requirements. The NRC has developed a new 

materials licensing process that will significantly reduce the regulatory burden on 

materials licensees. NRC has replaced the current guidance with a series of 

comprehensive and consolidated electronically searchable guidance documents. NRC 

issued one revised guidance document in FY 2001 on portable gauge licenses and plans 

to issue three revised guidance documents in FY 2003. 

Conclusion 

Agencies have undertaken a variety of initiatives to improve the information 

collection process. Although burden reduction remains an important goal, the initiatives 

described in this chapter demonstrate significant efforts in hastening electronic reporting 

and improving program performance. 

39 
Appendix A. Information Collection Budget Table 

In FY 2002, citizens spent an estimated 8.22 billion hours providing Federal agencies the 

information needed to fulfill agency responsibilities. This appendix describes in aggregate terms 

how that number changed from FY 2001. It also provides further explanation of some of the 

terms used throughout this report to describe these changes. 

Information Collection “Hours” 

The aggregate totals presented in Table B are stated in terms of annual “hours needed.” In 

developing an information collection for public comment and OMB review, an agency estimates 

the amount of time a respondent will need to provide the requested information. The estimated 

hours needed include the time spent reading and understanding the information collection itself 

and any instructions, as well as time spent compiling, recording, reviewing, and submitting the 

information. 

Changes in the Hours Needed 

The total hours needed to complete an agency’s information collections can change from year to 

year for a variety of reasons. OMB, through a computer system that tracks the information 

collections it reviews and approves, categorizes hour changes as resulting from either “program 

changes” or “adjustments.” The distinction between these two categories is the presence or 

absence of agency action. A program change results from an agency action of some type, such 

as adding or deleting questions from a form or reducing the frequency of reporting. An 

adjustment results from other factors that are beyond agency control. An example of an 

adjustment would be the increased number of people applying for Federal benefits because of 

greater needs. OMB tracks approved information collections over time using this distinction in 

why hours change. The sum of the changes in these two categories accounts for the change 

between one fiscal year total and the next. Tables A1 and A2 in this appendix list program 

changes and adjustments for each agency for FY 2002 and those expected for FY 2003. 

Program Changes: Program changes are hour changes that result from an agency action that 

affects the time required to complete an information collection. Such agency actions generally 

are deliberate. For example, an agency might change a regulation or re-design the collection 

form. The program changes include three different types of agency transactions: 
• Changes due to New Statutes. These include the creation of new collections or the 

material revision or elimination of existing collections that an agency must undertake 

because a recent statute requires the action. 

• Changes due to Agency Action. These include the creation of new collections or the 

material revision or elimination of existing collections that an agency undertakes without 

a specific and recent statutory mandate. This type of transaction includes changes due to 

new or revised policies and collections that are authorized but not explicitly required by 

statute. 

• Changes due to Lapse of OMB Approval. This kind of transaction occurs when an 

agency allows OMB approval for a collection to expire even though the agency continues 

to conduct or sponsor the collection. The figures include the hours for the collection 

removed from the computer tracking system upon expiration as well as the hours added 

upon reinstatement. These lapses are reported in Appendix D. 

OMB distinguishes among these three kinds of program changes through the preparation of the 

ICB and with the input of the agencies. Each of these types of program changes are listed in the 

following table. 

Adjustments: Often the hours needed for a particular information collection will vary from year 

to year. For example, a strong economy leads to increased filing of tax returns. Increased 

immigration leads to a higher number of naturalization applications. Such circumstances can 

produce significant changes in aggregate burden hours. These changes are characterized as 

“adjustments.” Adjustments, while often having large effects on estimates, do not represent 

government efforts either to expand or reduce an information collection. 

Explanation of the Table 

The table starts with the FY 2001 Totals, as printed in the FY 2001 Information Collection 

Budget of the United States Government. 

The second column is “FY 2002 Program Changes,” as carried in the OMB computer tracking 

system and determined in consultation with the agencies. This column includes all program 

changes due to agency actions, due to new statutes, and due to lapses of OMB approvals. The 

third column is FY 2002 Program Changes expressed as a percentage of the FY 2001 Total 

Hours Needed. 

The fourth column, “FY 2002 Changes Due to Agency Action,” represents the program changes 

associated with new or revised collections not explicitly required by statute. The fifth column is 

the FY 2002 Program Changes Due to Agency Action expressed as a percentage of the FY 2001 

Total Hours Needed. This calculation is the most accurate measure of agency activity with 

respect to information collection. 

The sixth column is “FY 2002 Changes Due to New Statute.” This column represents the 

program changes associated with collections required by statute. The seventh column is the FY 

38 
2002 Changes Due to New Statute expressed as a percentage of the FY 2001 Total Hours 

Needed. 

The eighth column, “FY 2002 Changes Due to Lapse in OMB Approval,” represents the program 

change burden associated with collections that an agency allowed to expire even though the 

agency continues to collect the information. This column includes subtractions (due to 

expirations) and additions (due to reinstatements). The ninth column is FY 2002 Changes Due to 

Lapse in OMB Approval as a percentage of the FY 2001 Total Hours Needed. 

The tenth column is “Adjustments,” as carried in the OMB computer tracking system and 

determined in consultation with the agencies. The sum of this column and the “FY 2002 

Program Changes” is the difference between the FY 2002 Total and the FY 2001 Total. The 

eleventh column presents FY 2002 Adjustments as a percentage of the FY 2001 Total. 

The twelfth column gives the “FY 2002 Total Hours Needed,” the sum of the hours needed for 

all collections approved by OMB on October 4, 2002. 

Table A2 is presented in the same format as Table A1. 

Please note the following regarding Tables A1 and A2: 

1. The Department of Homeland Security (DHS) was created on January 24, 2003. Since 

the ICB bulletin was sent to agencies months before DHS was created, we are not 

presenting burden data for DHS. This information will be provided next year. The 

agencies that will be affected by the transition include USDA, DOJ, DOT, Treasury, and 

FEMA. 

2. For DOT, the program change total for FY 2002 includes an increase of 161,364,492 

hours that was due to a reinstatement of an OMB approval to resolve a PRA violation. 

DOT inadvertently allowed OMB's approval of a Federal Motor Carrier Safety 

Administration collection, Driver's Record of Duty Status, to expire on September 30, 

2001. DOT continued to use this collection in violation of the PRA until it obtained a 

reinstatement of OMB's approval on March 4, 2002. When DOT reinstated OMB’s 

approval of this collection, it increased its estimate of the burden from 42,464,327 hours 

to 161,364,492 hours. The increase of 118,900,165 hours was due largely to DOT’s reestimate of the average burden imposed on drivers and motor carriers, which DOT made 

in response to public comments. 

3. A large portion of the Commerce Department’s program change increase in FY 2002 and 

FY 2003 is due to the periodic nature of their information collections. Specifically, the 

2002 Economic Census is conducted once every five years. Please see Appendix B for 

other specific examples. 

39 
Table A1. FY 2002 Burden Hours 

FY 2001 

Total FY 2002 

Hours Program 

Needed Changes 

Government 

FY 2002 FY 

Changes FY 2002 FY 2002 2002 

Due to Changes Due Changes Due Total 

Agency to New to Lapses in FY 2002 Hours 

Action Statutes OMB Approval Adjustments Needed 

Total 7631.74 294.06 3.9% -2.41 0.0% 115.13 1.5% 181.67 2.4% 297.37 3.9% 8223.17 

Agency 

Agriculture 86.72 1.84 2.1% 0.97 1.1% 0.22 0.3% 0.66 0.8% 0.03 0.0% 88.59 

Commerce 10.29 1.81 17.6% 1.80 17.4% 0.00 0.0% 0.01 0.1% -0.45 -4.4% 11.65 

Defense 92.05 1.01 1.1% 0.56 0.6% 0.00 0.0% 0.45 0.5% -0.70 -0.8% 92.36 

Education 40.49 -2.95 -7.3% -3.19 -7.9% 0.27 0.7% -0.03 -0.1% 0.90 2.2% 38.44 

Energy 3.85 0.06 1.6% 0.06 1.6% 0.00 0.0% 0.00 0.0% -0.15 -3.9% 3.76 

HHS 186.61 38.52 20.6% -1.79 -1.0% 35.94 19.3% 4.37 2.3% -0.30 -0.2% 224.83 

HUD 12.05 9.93 82.4% 0.01 0.1% 0.03 0.2% 9.89 82.1% -0.05 -0.4% 21.93 

Interior 7.56 0.43 5.7% 0.28 3.6% 0.05 0.6% 0.28 3.6% -0.32 -4.3% 7.66 

Justice 40.53 5.90 14.5% 0.81 2.0% 1.32 3.3% 3.76 9.3% 0.17 0.4% 46.60 

Labor 186.11 2.45 1.3% 2.40 1.3% 0.05 0.0% 0.00 0.0% 0.66 0.4% 189.22 

State 16.56 12.52 75.6% 0.02 0.1% 12.10 73.1% 0.40 2.4% 0.15 0.9% 29.23 

Transportation 80.34 163.42 203.4% 0.75 0.9% 0.31 0.4% 162.36 202.1% 0.97 1.2% 244.73 

Treasury 6,415.85 55.01 0.9% -9.51 -0.1% 64.73 1.0% -0.04 0.0% 279.57 4.4% 6750.43 

EPA 130.77 0.04 0.0% -0.03 0.0% 0.07 0.1% 0.00 0.0% 9.66 7.4% 140.47 

0.00 

VA 5.31 0.17 3.2% 0.06 1.2% -0.02 -0.3% 0.12 2.3% 1.83 34.5% 7.31 

FAR 23.75 0.73 3.1% 0.73 3.1% 0.00 0.0% 0.00 0.0% 0.01 0.0% 24.49 

FCC 40.1 -2.25 -5.6% -1.71 -4.3% -0.54 -1.3% 0.00 0.0% -11.05 -27.6% 26.80 

FDIC 10.53 0.01 0.1% 0.01 0.1% 0.00 0.0% 0.00 0.0% -0.67 -6.4% 9.87 

FEMA 5.51 0.31 5.7% 0.30 5.4% 0.04 0.7% -0.02 -0.4% 1.95 35.3% 7.77 

FERC 3.95 0.46 11.6% 0.42 10.7% 0.00 0.0% 0.03 0.9% -0.03 -0.7% 4.38 

FTC 72.58 0.00 0.0% 0.00 0.0% 0.00 0.0% 0.00 0.0% -2.92 -4.0% 69.66 

NASA 6.86 -0.90 -13.1% 0.01 0.1% 0.00 0.0% -0.90 -13.2% -0.01 -0.2% 5.95 

NSF 4.72 0.01 0.2% 0.01 0.2% 0.00 0.0% 0.00 0.0% -0.27 -5.7% 4.46 

NRC 8.17 0.00 0.1% 0.00 0.1% 0.00 0.0% 0.00 0.0% 0.17 2.0% 8.34 

SEC 114.28 4.51 4.0% 4.32 3.8% 0.19 0.2% 0.00 0.0% 17.79 15.6% 136.58 

SBA 1.94 0.35 18.2% 0.02 0.8% 0.00 0.0% 0.34 17.4% 0.48 24.6% 2.77 

SSA 24.26 0.65 2.7% 0.28 1.2% 0.36 1.5% 0.00 0.0% -0.02 -0.1% 24.89 

40 
Table A2. Expected FY 2003 Burden Hours 

FY 2003 FY 2003 FY 

FY 2002 Changes FY 2003 Changes Due 2003 

Total FY 2003 Due to Changes Due to Lapses in Total 

Hours Program Agency to New OMB FY 2003 Hours 

Needed Changes Action Statutes Approval Adjustments Needed 

Government 

Total 8223.17 16.01 0.2% 4.06 0.0% 0.43 0.0% 11.51 0.1% -117.4 -1.4% 8121.75 

Agency 

Agriculture 88.59 12.19 13.8% 1.64 1.9% 1.76 2.0% 8.79 9.9% -10.89 -12.3% 89.89 

Commerce 11.65 6.42 55.1% 6.42 55.1% 0.00 0.0% 0.00 0.0% 1.14 9.8% 19.22 

Defense 92.36 -18.04 -19.5% -18.04 -19.5% 0.00 0.0% 0.00 0.0% 0.00 0.0% 74.32 

Education 38.44 2.10 5.5% 0.16 0.4% 1.94 5.0% 0.00 0.0% 2.07 5.4% 42.61 

Energy 3.76 -0.83 -22.2% -0.90 -23.9% 0.06 1.7% 0.00 0.0% 0.00 -0.1% 2.92 

HHS 224.83 25.95 11.5% 5.58 2.5% 20.38 9.1% 0.00 0.0% 0.11 0.1% 250.90 

HUD 21.93 4.70 21.5% 1.34 6.1% 2.55 11.6% 0.81 3.7% 0.00 0.0% 26.63 

Interior 7.66 0.04 0.5% 0.01 0.1% 0.03 0.4% 0.00 0.0% 0.16 2.0% 7.86 

Justice 46.60 -1.91 -4.1% -1.29 -2.8% -0.62 -1.3% 0.00 0.0% 2.82 6.0% 47.51 

Labor 189.22 0.46 0.2% 0.29 0.2% 0.17 0.1% 0.00 0.0% -29.12 -15.4% 160.56 

State 29.23 1.09 3.7% 0.81 2.8% 0.00 0.0% 0.28 0.9% -6.65 -22.7% 23.67 

Transportation 244.73 4.22 1.7% 3.05 1.2% 1.17 0.5% 0.00 0.0% 0.00 0.0% 248.94 

Treasury 6750.43 -33.27 -0.5% -3.27 0.0% -30.00 -0.4% 0.00 0.0% -81.06 -1.2% 6636.10 

EPA 140.47 5.32 3.8% 5.31 3.8% 0.01 0.0% 0.00 0.0% -1.56 -1.1% 144.24 

VA 7.31 -0.50 -6.9% -0.61 -8.3% 0.11 1.5% 0.00 0.0% -1.10 -15.1% 5.71 

FAR 24.49 -0.01 0.0% -0.01 0.0% 0.00 0.0% 0.00 0.0% 6.56 26.8% 31.05 

FCC 26.80 0.83 3.1% 1.21 4.5% 0.00 0.0% -0.39 -1.4% -0.89 -3.3% 26.73 

FDIC 9.87 -0.23 -2.3% -0.23 -2.3% 0.00 0.0% 0.00 0.0% 0.13 1.3% 9.77 

FEMA 7.77 2.14 27.5% 0.16 2.1% 0.08 1.0% 1.90 24.4% 0.25 3.2% 10.16 

FERC 4.38 -0.19 -4.3% -0.24 -5.5% 0.00 0.0% 0.06 1.3% 0.00 0.0% 4.19 

FTC 69.66 0.84 1.2% 0.84 1.2% 0.00 0.0% 0.00 0.0% -2.27 -3.3% 68.24 

NASA 5.95 0.00 0.0% 0.00 0.1% 0.00 0.0% 0.00 0.0% 0.00 0.0% 5.95 

NSF 4.46 0.16 3.5% 0.16 3.5% 0.00 0.0% 0.00 0.0% 0.00 0.1% 4.62 

NRC 8.34 -0.05 -0.5% -0.05 -0.5% 0.00 0.0% 0.00 0.0% 0.61 7.3% 8.91 

SEC 136.58 2.37 1.7% 1.57 1.1% 0.80 0.6% 0.00 0.0% 2.01 1.5% 140.96 

SBA 2.77 0.07 2.5% 0.00 0.0% 0.00 0.0% 0.07 2.5% 0.00 0.0% 2.84 

SSA 24.89 2.13 8.6% 0.15 0.6% 1.99 8.0% 0.00 0.0% 0.24 1.0% 27.26 

41 
Table A3. Information Collection Totals (millions of dollars) 

FY 2002 FY 2003 

Estimated Total Expected Total 

Cost Burden Cost Burden 

Government 

Total 

Agency 

Agriculture

Commerce

Defense

Education

Energy

HHS

HUD

Interior

Justice

Labor

State

Transportation

Treasury

EPA

VA

FAR

FCC

FDIC

FEMA

FERC

FTC

NASA

NSF

NRC

SEC

SBA

SSA

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

59,063.3 

130.8 

1,013.4 

0.9 

612.7 

3.9 

1,013.4 

31.4 

71.6 

1,649.5 

1,806.2 

1,480.5 

976.5 

5,296.6 

1,205.1 

0.1 

25,143.0 

668.0 

-

31.9 

90.3 

38.3 

1.0 

0.2 

3.7 

10,402.8 

3.0 

7,388.5 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

$ 

56,588.7 

209.4 

889.1 

0.9 

608.9 

3.9 

1,058.2 

31.4 

34.0 

1,624.1 

1,859.6 

1,895.8 

978.0 

5,296.6 

1,224.6 

0.1 

25,039.3 

664.3 

-

30.3 

90.3 

40.2 

1.0 

0.2 

0.8 

7,554.7 

64.4 

7,388.5 

42 
Appendix B. Significant Paperwork Reductions and Increases—FY 2002 & 2003 

The Paperwork Reduction Act of 1995 (PRA) requires the head of each agency, supported by 

their Chief Information Officer (CIO), to be responsible for the agency’s information collection 

activities. This includes reducing the amount of paperwork required of the public. Agencies are 

to develop and coordinate initiatives that will produce meaningful improvements for the public. 

This appendix highlights the significant improvements agencies have made and where further 

improvement is needed. 

The examples of significant burden reductions are organized into 6 categories: 

- Streamlining Regulations. Revising existing regulations to eliminate unnecessary 

requirements. 

- Simplifying Forms. Editing forms to reduce unnecessary information 

- Eliminating Redundancy. Raising reporting thresholds to reduce the number of reports that 

need to be submitted, cutting the frequency of periodic reporting requirements, consolidating 

information collections, or working across agencies to share information. 

- Using Information Technology. Using automated systems to speed and simplify the 

exchange of information between the government and the public and allowing respondents to 

use their own information technology to ease reporting burdens. 

- Statutory Reductions. Reducing burden because of recently enacted statutes. 

- Other. Any other agency efforts to reduce burden. 

The examples of significant burden increases are organized into two categories: 

- Statutory Increases. Increasing burden due to new statutory requirements. 

- Other. Increasing burden due to other factors. 

Using these categories to illustrate the broad range of agency information collection activities 

and burden reduction efforts, this appendix serves several important goals. First, the examples 

highlight agency accomplishments in improving how information is collected and reducing 

burden on the public. Second, the examples provide a source of ideas and guidance on what 

agencies can do to reduce paperwork. Finally, the examples identify areas where more work can 

be done to yield further benefits. 
FY 2002 Reductions 

Streamlining Regulations 

Agency: Environmental Protection Agency 

OMB Control No.: 2050-0021 

Title: Information Collection Request for the Final Rule to Amend the Oil Pollution 

Prevention Regulation 

Purpose of Collection: The final rule includes reporting and recordkeeping associated with facilities 

preparing and maintaining an Oil Spill Prevention, Control, and Countermeasure 

Plan. 

How Reduction Achieved: The prevention aspects of 40 CFR 112 are being changed. For example, the rule 

excluded regulating any container with a storage or use capacity of less than 55 

gallons of oil. The threshold for reportable discharges was changed, thereby 

reducing the amount of information that must be submitted to the Agency in 

such an event. The plan review period was changed from three to five years. 

Change in Burden: -619,449 hours 

Agency: Federal Communications Commission 

OMB Control No.: 3060-0370 

Title: Part 32–Uniform System of Accounts for Telecommunications Companies 

Purpose of Collection: The Uniform System of Accounts is a historical financial accounting system 

which reports the results of operational and financial events in a manner which 

enables both management and regulators to assess these results within a 

specified accounting period. Subject respondents are telecommunications 

companies. Entities having annual revenues from regulatory 

telecommunications operations of less than $114 million are designated as class 

B and are subject to less detailed accounting system than those designated as 

class A companies. 

How Reduction Achieved: The Commission made four major accounting and reporting reforms that 

decreased the reporting requirements for class B companies. 

Change in Burden: -816,584 hours 

Agency: Federal Communications Commission 

OMB Control No.: 3060-0739 

Title: Amendment of the Commission’s Rules to Establish Competitive Safeguards for 

Local Exchange Carrier Provision of Commercial Mobile Radio Services. 

Purpose of Collection: Incumbent Local Exchange Carriers (LECs) offering in-region broadband 

Commercial Mobile Radio Services (CMRS) must do so through a separate 

affiliate. The CMRS affiliate must maintain separate books of accounts and 

will be subject to the Commission’s joint cost and affiliate transaction rules. 

The Commission imposed a recordkeeping collection to ensure that incumbent 

LECs providing in-region broadband CMRS through a separate affiliate are in 

compliance with the Communications Act of 1934, as amended, and with 

Commission policies and regulations. 

How Reduction Achieved: This collection of information was cancelled due to the Commission abolishing 

the rules that required this collection. 

Change in Burden: -66,944 hours 

Agency: Federal Energy Regulatory Commission 
OMB Control No.: 1902-0187 

Title: Reporting of Natural Gas Sales to the California Market 

Purpose of Collection: In response to a complaint, the Commission had to determine if the rates for 

transportation and wholesale sales of natural gas in California were just and 

reasonable, and if not, what remedies were appropriate. Specifically, the 

Commission needed information to understand why the disparity in the price of 

natural gas occurred in California and continued to exist while other markets 

including those markets that are supplied by the same producing areas have 

experienced a decline in prices. 

How Reduction Achieved: In May 2001 when the Commission first proposed to impose a reporting 

requirement, the spot price of natural gas in the California market ranged 

between $11.79 and $18.80 MMBtu while the price range in all other markets 

was between $4 and $7. However, natural gas prices dropped significantly from 

what they were in the Spring of 2001 in California and the rest of the country. 

The reason for imposing a reporting requirement for sales of natural gas to the 

California—that the California market was experiencing unique difficulties 

largely disappeared. The Commission believed that it could not justify 

continuing to collect the data under these circumstances for California when 

there was no similar reporting requirement in other parts of the country. 

Change in Burden: -19,847 hours 

Agency: Department of Health and Human Services 

OMB Control No.: 0938-0037 

Title of Collection: Outpatient Rehabilitation Cost Report and Supporting Regulations in 42 CFR 

413.20 and 413.24 

Purpose of Collection: This is the form used by Outpatient Rehabilitation Facilities to report their 

health care costs to determine the amount of reimb ursement for services 

furnished to Medicare beneficiaries. 

How Reduction Achieved: Comprehensive Outpatient Rehabilitation Facilities (CORFs) and OPTs have 

been eliminated from this collection requirement. Effective cost reporting 

periods ending on or after June 30, 2001, CORFs and OPTs with 100 percent of 

their services reimbursed on a fee schedule basis are not required to complete 

and file the Form CMS 2088-92 cost report. 

Change in Burden: -358,200 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0225 

Title of Collection: Rule 17f-4 under the Investment Company Act of 1940, Custody of Investment 

Company Assets with a Securities Depository 

Purpose of Collection: Section 17(f) of the Investment Company Act of 1940 (the “Act”) permits 

registered management investment companies (“funds”) and their custodians to 

deposit the securities they own in a system for the central handling of securities, 

subject to rules adopted by the Securities and Exchange Commission 

(“Commission”). Rule 17f-4 specifies the conditions for the use of securities 

depositories by funds and custodians. 

How Reduction Achieved: Proposed rule 17f-4 would reflect recent changes in custody practices and 

commercial law. The proposed amendments would update and simplify the rule 

and would substantially ease the rule’s reporting, recordkeeping, and other 

compliance requirements. 

Change in Burden: -21,462 hours 
Simplifying Forms 

Agency Department of Education

OMB Control No.: 1845-0056

Title: Federal Direct Stafford/Ford Loan and Federal Direct Unsubsidized 

Stafford/Ford Loan and Master Promissory Note 

Purpose of Collection: This promissory note is the means by which a Federal Direct Stafford Program 

Loan borrower promises to repay his or her loan. 

How Reduction Achieved: By consolidating this collection into 1845-0007 the collection eliminated the 

requirement for a student to sign a promissory note on an annual basis. With 

1845-0007, a student is permitted to sign one promissory note and it is good for 

10 years. 

Change in Burden: -1,325,360 hours 

Agency: Federal Communications Commission

OMB Control No.: 3060-0511

Title: ARMIS Access Report, FCC Report 43-04

Purpose of Collection: The ARMIS Access Report is needed to admin ister the Commission’s 

accounting jurisdictional separations and access charge rule; to analyze revenue 

requirements and rates of return, and to collect financial data from Tier 1 

incumbent local exchange carriers (LEC’s). 

How Reduction Achieved: The Commission modified the reporting requirements in FCC Report 43-04 in a 

Report and Order. The Commission clarified that mid-sized carriers are not 

required to file FCC Report 43-04. The Commission made four major 

accounting and reporting reforms. These reforms substantially consolidated the 

classes of carriers (A and B) accounting requirements, relaxed certain 

transaction rules, reduced the cost of regulatory compliance, and reduced the 

ARMIS (Automated Reporting and Management Information Systems) 

reporting requirements. This effectively reduced the number of hours required 

for carriers to complete the report. 

Change in Burden: -74,153 hours 

Agency: Department of Health and Human Services

OMB Control No.: 0938-0756

Title of Collection: MS Interactive Survey Tool for www.medicare.gov

Purpose of Collection: To obtain feedback from users of the Web site so that the agency can continually 

revise the site to respond to the needs of the public. 

How Reduction Achieved: The survey tool was revised to collect less information. 

Change in Burden: -20,638 hours 

Agency: Department of Housing and Urban Development 
OMB Control No.: 2502-0261 

Title: Housing Counseling Program 

Purpose of Collection: Section 106 of the Housing and Community Development Act of 1974 

authorizes HUD to contract with organizations to provide counseling to tenants 

and homeowners to assist them in improving their housing conditions and in 

meeting the responsibilities of tenancy and homeownership. Counseling 

agencies are required to submit their qualifications to provide such services. 

HUD-approved agencies can compete for program funds. Grantees are required 

to submit performance data to enable HUD to evaluate the effectiveness of the 

program. 

How Reduction Achieved: HUD streamlined its data collection and improved performance indicators and 

measurements. Three forms were consolidated into one, two forms were 

deleted, and the form HUD-9902 was improved to reflect a more complete 

representation of housing counseling outcomes. 

Change in Burden: -12,801 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0318 

Title: Form N-4: Registration Statement of Separate Accounts Organized as Unit 

Investment Trusts 

Purpose of Collection: Form N-4 provides investors with material information concerning securities 

offered for public sale. The first part includes a simplified prospectus that 

satisfies the prospectus delivery requirements of the Securities Act of 1933 Act 

(“Securities Act”). The second part is a Statement of Additional Information 

available free of charge to prospective investors upon request. A third part of 

the registration statement includes all of the other mandatory information that is 

not specifically required to be in the prospectus or the Statement of Additional 

Information. Form N-4 satisfies the disclosure requirements of the Securities 

Act and the requirement of the Investment Company Act of 1940 that 

investment companies file a registration statement with the Commis sion 

pursuant to Section 8(b). 

How Reduction Achieved: In connection with proposed amendments to rule 482 under the Securities Act, 

the burden hours associated with rule 482 advertising, including the form N-4 

advertising disclosure requirement, were deducted from the burden of Form N-4. 

Change in Burden: -36,630 hours 

Agency: Department of Treasury 

OMB Control No.: 1545-0277 

Title: Form 6251, Alternative Minimum Tax-Individuals 

Purpose of Collection: Form 6251 is used by individuals with adjustments, tax preference items, 

taxable income above certain exemption amounts, or certain credits. Form 6251 

computes the alternative minimum tax which is added to regular tax. The 

information is needed to ensure the taxpayer is complying with the law. 

How Reduction Achieved: Changing Forms - Form 6251 was revised as part of the Taxpayer Burden 

Reduction Initiative. Part I. Lines 14a through 14o were eliminated by giving 

some of the items their own entry lines and combining several of the lesser-used 

lines. Part II. Line 31 (old line 24) was separated from the text into two 

bulleted items to improve clarity. Part III. Part III was revised to be consistent 

with the changes made to the Schedule D Tax Worksheet in the Instructions for 

Schedule D (Form 1040). 

Change in Burden: -5,561,160 hours 
Eliminating Redundancy 

Agency: Department of Health and Human Services

OMB Control No.: 0915-0126

Title: National Practitioner Data Bank (NPDB) for Adverse Information on Physicians 

and Other Health Care Practitioners-45 CFR Part 60 Regulations and Form 

Purpose of Collection: The purpose of the NPDB is to restrict the ability of physicians, dentists, and 

other licensed health care practitioners with a history of substandard practice to 

move from State to State without disclosure or discovery of their previous 

damaging or incompetent performance or conduct. 

How Reduction Achieved: This decrease is due primarily to the fact that there was an overlap in burden for 

certain NPDB and HIPDB reporting and self-querying activities in the HIPDB 

regulation. Reductions in the burden also result from enhancements made to the 

reporting and querying system itself, input from users, and additional experience 

gained in operating the Data Bank. 

Change in Burden: -32,358 hours 

Agency: Department of Treasury

OMB Control No.: 1550-0098

Title: Privacy & Accuracy of Customer Account Information

Purpose of Collection: Inform public of policy of protecting customer information and provide way for 

customers to react. 

How Reduction Achieved: Discovered redundancy with two other information collections: Privacy of 

Consumer Financial Information (1550-0103) and Minimum Security Devices 

and Procedures (1550-0062). 

Change in Burden: -49,200 hours 

Using Information Technol ogy 

Agency: Department of Commerce

OMB Control No.: 0607-0152

Title: Shipper’s Export Declaration/Automated Export System (AES) Program

Purpose of the Collection: The paper Shipper’s Export Declaration (SED) 7525-V and its electronic 

equivalent, the Automated Export System (AES) provide the vehicles for 

collecting data on U.S. exports. The official export statistics provide a basic 

component for the compilation of the U.S. position on merchandise trade. These 

data are an essential component of the monthly totals on U.S. International 

Trade in Goods and Services, a principal economic indicator and primary 

component of the Gross Domestic Product (GDP). This information is used to 

detect and prevent the export of high technology items or military goods to 

unauthorized destinations or end users. 

How Reduction Achieved: The reduction in burden is attributable to the ever increasing number of 

exporters and forwarding agents using the electronic AES instead of filing the 

paper SED. 

Change in Burden: -340,761 hours 

Agency Department of Education 

OMB Control No.: 1845-0050

Title: Federal Stafford Loan Subsidized/Unsubsidized Master Promissory Note 
Purpose of Collection: This promissory note is the means by which a Federal Stafford Program Loan 

borrower promises to repay his or her loan. 

How Reduction Achieved: By consolidating this collection into 1845-0006, the collection was eliminated 

and 1845-0006 decreased the burden hours through the use of a streamlined 

document as well as permitting electronic submission via the use of a PIN. 

Change in Burden: -634,600 hours 

Agency Federal Energy Regulatory Commission 

OMB Control No.: 1902-0021 

Title: Annual Report of Major Electric Utilities, Licensees and Others, FERC Form 1 

(RM02-9-000) 

Purpose of Collection: Under the sections 304 and 309 of the Federal Power Act (FPA), (16 U.S.C. 

825c and 825h), the Commission is authorized to collect general corporate 

information including: summary financial information, balance sheet and 

income statement supporting information, and electric plant, sales, and 

operating expenses. The information is used in the review of the financial 

condition of regulated companies, in various rate proceedings and in the 

Commission’s audit program. 

How Reduction Achieved: On May 16, 2002 the FERC issued a Final Rule amending its regulations to 

provide for the electronic filing of the required financial data from major electric 

utilities. Also, based on the Commission’s review on the need for data, given 

requests for reductions in the collection of data, FERC has eliminated eleven 

schedules. 

Change in Burden: -28,770 hours 

Agency: Department of Transportation 

OMB Control No.: 2132-0502 

Title: 49 U.S.C. Section 5309 Capital Program and 5307 Urbanized Area Formula 

Program 

Purpose of Collection: FTA provides financial assistance to State and local governments, and public 

transportation authorities primarily through these programs (Sections 5307 and 

5309). The provisions of Title 49 U.S.C. 5307 and 5309, 49 CFR Part 18, the 

Uniform Administrative Requirements for Grants and Cooperative Agreements 

to State and Local governments (the Common Grant Rule), and prudent 

administration of Federal grant funds dictate that grantor agencies review 

applications for Federal assistance to assure eligibility and other criteria and 

monitor approved projects to ensure timely expenditure of Federal funds by 

grant recipients. The information submitted ensures FTA’s compliance with 

applicable Federal laws and the Common Grant Rule. Without these reports, 

significant resources and manpower would be necessary to conduct on-site 

inspections. 

How Reduction Achieved: Increase in the number of grantees who submit grant requirements 

electronically. 

Change in Hours: -319,134 hours 

Statutory Reductions 

Agency: Department of Agriculture 

OMB Control No.: 0584-0052

Title: Affidavit of return/exchange of food coupons 
Purpose of Collection: The report documents the return or exchange of coupons for a complete audit 

trail of destroyed coupons. 

How Reduction Achieved: Expansion of EBT eliminates coupons and the burden associated with this form. 

Change in Burden: -10,359 hours 

Statute Title and P.L.#: Food Stamp Act of 1977, as amended. 

Agency: Department of Agriculture

OMB Control No.: 0584-0085

Title: FS Redemption Certificate

Purpose of Collection: Used by retailers to accompany deposits of food stamp coupons.

How Reduction Achieved: Expansion of EBT eliminates coupons and the burden associated with this form.

Change in Burden: -189,536 hours

Statute Title and P.L.#: Food Stamp Act of 1977, as amended.

Agency Department of Education

OMB Control No.: 1810-0036

Title: Applications for Assistance (Sections 8002 and 8003) Impact Aid Program 

Purpose of the Collection: To apply for Impact Aid payments.

How Reduction Achieved: The decrease in hours reflects a decrease in the number of section 8003 

applications filed annually, the removal of statutory authority for payment for 

children with severe disabilities, and a decrease in applicants under State 

equalization, school construction, and with military installation housing 

undergoing renovation or rebuilding. The statutory reduction of (100,623) is 

due to the enactment of P.L.# 106-398. 

Change in Burde n: -100,623 hours

Statute Title and P.L.#: Floyd D. Spence National Defense Authorization Act, P.L.# 106-398

Agency Department of Education

OMB Control No.: 1885-0535

Title: Application for Grants under Bilingual Education: Comprehensive School 

Grants Program 

Purpose of Collection: The Department needs and uses this information from local educational agencies 

to make grant awards. 

How Reduction Achieved: The reduction was achieved as a result of reauthorization of the Elementary and 

Secondary Education Act, which eliminated this program. 

Change in Burden: -48,000 hours 

Statute Title and P.L.#: No Child Left Behind Act of 2001, P.L.107-110 

Agency Department of Education

OMB Control No.: 1885-0536

Title: Application for Grants under Bilingual Education: Teachers and Personnel 

Grants Program 

Purpose of Collection: The Department needs and uses this information to make grants. The 

respondents are local educational agencies, and institutions of higher education. 

How Reduction Achieved: The reduction was achieved as a result of reauthorization of the Elementary and 

Secondary Education Act, which eliminated this program. 

Change in burden: -24,000 hours 

Statute Title and P.L. #: No Child Left Behind Act of 2001, P.L. 107-110 

Agency Department of Education 

OMB Control No.: 1885-0537
Title: Application for Grants under Bilingual Education: System-wide Improvement 

Grants Program 

Purpose of Collection: The Department needs and uses this information from local educational agencies 

to make grants. 

How Reduction Achieved: The reduction was achieved as a result of reauthorization of the Elementary and 

Secondary Education Act, which eliminated this program. 

Change in Burden: -24,000 hours 

Statute Title and P.L.#: No Child Left Behind Act of 2001, P.L. 107-110 

Agency Department of Education

OMB Control No.: 1885-0538

Title: Application for Grants under Bilingual Education: Program Development and 

Implementation Grants Program 

Purpose of Collection: The Department needs and uses this information to make grants. The 

respondents are local educational agencies, institutions of higher education, 

community-based organizations, and State educational agencies. 

How Reduction Achieved: The reduction was achieved as a result of reauthorization of the Elementary and 

Secondary Education Act, which eliminated this program. 

Change in Burden: -24,000 hours 

Statute Title and P.L. #: No Child Left Behind Act of 2001, P.L. 107-110 

Agency Department of Education

OMB Control No.: 1885-0539

Title: Application for Grants under Bilingual Education: Program Enhancement 

Grants Program 

Purpose of Collection: The Department needs and uses this information to make grants. The 

respondents are local educational agencies, institutions of higher education, and 

community-based organizations. 

How Reduction Achieved: The reduction was achieved as a result of reauthorization of the Elementary and 

Secondary Education Act, which eliminated this program. 

Change in Burden: -24,000 hours 

Statute Title and P.L. #: No Child Left Behind Act of 2001, P.L. 107-110 

Agency Department of Education

OMB Control No.: 1885-0542

Title: Application for Grants under Bilingual Education: Career Ladder Program

Purpose of the Collection: The Department needs and uses this information to make grants. The 

respondents are local educational agencies, institutions of higher education, and 

community-based organizations. 

How Reduction Achieved: The reduction was achieved as a result of reauthorization of the Elementary and 

Secondary Education Act, which eliminated this program. 

Change in burden: -24,000 hours 

Statute Title and PL#: No Child Left Behind Act of 2001, PL 107-110 

Agency Social Security Administration

OMB No.: 0960-0565

Title: Employer Report of Special Wage Payments/SSA-131

Purpose of Collection: The purpose of gathering this information is to prevent earnings- related 

overpayments and to avoid erroneous withholding. The SSA-131 is used by 

SSA for awards and post-entitlement events that require special wage payment 

verification from employers. Based on Section 203(f) (5)&(6) of the Social 
Security Act, certain payments that are wages for tax purposes are not counted 

under the Social Security annual earnings test. The special wage payments may 

appear on employer wage reports and beneficiary earnings reports to SSA even 

though they do not count when applying the Annual Earning Test. 

How Reduction Achieved: As a result of legislation that eliminated the annual earnings test at full 

retirement age, the number of eligible respondents to this information collection 

has been reduced. 

Change in Burden: -23,357 hours 

Statute Title and P.L.#: Senior Citizens' Freedom to Work Act of 2000, Public Law 106-182 

Agency Department of the Treasury 

OMB No.: 1545-0074 

Title: 2002 Form 1040 and Schedules, U.S. Individual Income Tax Return 

Purpose of the Collection: This form is used by individual taxpayers to report their taxable income and 

calculate their correct tax liability. 

How reduction Achieved: Two worksheets were deleted , Line 40, Tax Computation Worksheet for 

Certain Dependents, and Line 47, Rate Reduction Credit Worksheet, and 

Schedule D, deleted 1 statement and 2 Code sections under Election To 

Recognize Gain on Certain Assets Held on January 1, 2001. Changes of 

increases and decreases of lines, Code references, words, and size of worksheets 

were made throughout Form 1040, instructions, and schedules. 

Change in Burden: -1,840,157 hours. 

Statute Title and P.L.#: Job Creation and Worker Assistance Act of 2002. P.L. 107-47. Economic 

Growth and Tax Relief Reconciliation Act 2001. P.L. 107-16. 

Agency Department of the Treasury 

OMB No.: 1545-0675 

Title: 2002 Form 1040-EZ, Income Tax Return for Single and Joint Filers With No 

Dependents 

Purpose of the Collection: Form 1040EZ is used by individuals who are single or married filing a joint 

return with no dependents to report income subject to tax and to compute tax 

liability. 

How Reduction Achieved: Two wo rksheets were deleted, Line 7, Rate Reduction Credit Worksheet, and 

Line 11, Tax Computation Worksheet for Certain Dependents. Also, eleven 

lines and 1 Code reference were deleted, and 217 words were added throughout 

the form and instructions. 

Change in Burden: -4,326,193 hours. 

Statute Title and P.L.#: Economic Growth and Tax Relief Reconciliation Act of 2001. P.L. 107-16 

Other Reductions 

Agency: Department of Education 

OMB Control No.: 1885-0540 

Title: Application for Grants under Foreign Language Assistance Program for Local 

Education Agencies 

Purpose of Collection: This application is used by local educational agencies to apply for discretionary 

grants. 

How Reduction Achieved: The reduction was achieved as a result of agency action to not fund the Foreign 

Language Assistance Program. 

Change in burden: -12,000 hours 
Agency: Department of Energy

OMB Control No.: 1905-0169

Title: Manufacturing Energy Consumption Survey

Purpose of Collection: The purpose is to provide data to analysts and policy makers for the purpose of 

longitudinal analysis. Data obtained from the MECS serve as a major input into 

the National Energy Modeling System industrial models, which, in turn are used 

to benchmark other government and non-government modeling systems. In 

addition, it provides a benchmark whereby progress in controlling external peak 

electricity demand through the use of energy management programs can be 

identified, as well as the rate of penetration of energy efficient technologies into 

the U.S. manufacturing capital equipment base. It is also used by retailers to 

accompany deposits of food stamp coupons. 

How Reduction Achieved: Information collection is quadrennial, so the approval was allowed to expire in 

2002 while EIA developed the new survey to be conducted in 2003. 

Change in Burden: -49,447 hours 

Agency: Department of Energy

OMB Control No.: 1905-0197

Title: Steam-Electric Plant Operation and Design Report

Purpose of Collection: In order to develop, revise and enforce the regulations required under the Clean 

Water Act as Amended in 1977, Pub. L. No. 101-549, the Clean Air Act 

Amendment of 1990, and "The Resource Conservation and Recovery Act of 

1976 as Amended. (Pub. L. No. 94-580), EPA must have available timely data 

that characterize electric utility plants and operations. The Clean Air Act 

Amendment of 1990 cited the Form EIA-767 as the source of data for 

establishing a baseline used to calculate allowances of sulfur dioxide. 

How Reduction Achieved: Form EIA-767 approval under 1905-0197 was eliminated and the collection is 

now approved under 1905-0129 for EIA’s Electric Power Program Surveys. 

The reduction for 1905-0197 was considered a program decrease and the change 

for 1905-0129 was considered a program increase. 

Change in Burden: -20,781 hours 

Agency: Department of Energy

OMB Control No.: 1910-0100

Title: Information Management

Purpose of Collection: The collections in this package are required by DOE Management to ensure that 

information resources and systems are managed efficiently and effectively. 

How Reduction Achieved: Fewer respondents and burden hours. This decrease is the result of management 

decisions to cancel several Automated Data Processing requirements and 

directives and the elimination of interagency reports by the General Services 

Administration and the National Institute of Standards. 

Change in Burden: -15,376 hours 

Agency: Department of Health and Human Services

OMB Control No.: 0980-0271

Title: Computerized Support enforcement systems

Purpose of Collection: To allow State input to Federal Case Registry system in support of title IV-D of 

the Social Security Act. 

How Reduction Achieved: States have gotten past the initial data loading and are now in a maintenance 

mode. 

Change in Burden: -630,210 hours 
Agency: Department of Health and Human Services

OMB Control No.: 0970-0143

Title: Early Head Start Evaluation

Purpose of Collection: This national evaluation of the Head Start program analyzed the effectiveness of 

the program, identified “best practices,” and was intended to inform discussions 

regarding Head Start funding and expansion. 

How Reduction Achieved: The study was completed. 

Change in Burden: -12,361 hours 

Agency: Department of Health and Human Services

OMB Contr ol No.: 0930-0213

Title: State Prevention Needs Assessment Surveys: Alcohol and Other Drugs: Cohort 

V 

Purpose of Collection: The Center for Substance Abuse Prevention funded a number of States for 

conduct of student school surveys and surveys of community resource agencies 

for substance abuse prevention. 

How Reduction Achieved: The final sample size for the Tennessee student survey was significantly reduced 

from that originally planned. 

Change in Burden: -13,222 hours 

Agency: Department of Health and Human Services

OMB Control No.: 0930-0449

Title: The Evaluation of Customer Satisfaction of the Internet Homepage and Links 

for CDC and ATSDR 

Purpose of Collection: This data collection is designed to evaluate profile users of the CDC Internet 

home page and links, so that these “pages” and their related information, 

services, and materials may be made more responsive to customer needs. 

How Reduction Achieved: Several questions were deleted and adjustments were made to the expected 

number of respondents/responses. 

Change in Burden: -28,526 hours 

Agency: Department of Labor

OMB Control No.: 1220-0011

Title: Report on Employment, Payroll, and Hours

Purpose of Collection: The Current Employment Statistics program provides current monthly statistics 

on employment, hours, and earnings by industry. The statistics are fundamental 

inputs in economic processes at all levels of government, private enterprise, and 

organized labor. 

How Reduction Achieved: Burden hours have decreased due to the introduction of a probability based 

sample. This design reduces the number of reports. 

Change in Burden: -88,530 hours 

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0307

Title: Form N-1A under the Investment Company Act of 1940 and the Securities Act 

of 1933, Registration Statement of Open-End Management Investment 

Companies 

Purpose of Collection: Form N-1A provides a means for open-end companies to register offerings of 

securities under the Securities Act and register as investment companies under 
the Investment Company Act on a single form. The purpose of Form N-1A is to 

provide a means of meeting the filing and disclosure requirements of the 

Securities Act and the Investment Company Act and to enable open-end 

companies to provide investors with information necessary to evaluate an 

investment in the securities they issue. 

How Reduction Achieved: Rule 482 under the Securities Act of 1933 (“Securities Act”), under certain 

circumstances, permits investment companies to advertise investment 

performance data, as well as other information. Presently, rule 482 

advertisements are “prospectuses” under the Securities Act, which means that 

they are allowed only to contain information the “substance of which” is 

included in the statutory prospectus for the fund advertised. In the National 

Securities Markets Improvement Act of 1996, Congress amended the Investment 

Company Act of 1940 to permit, subject to rules adopted by the Commission, 

the use of prospectuses under section 10(b) of the Securities Act of 1933 that 

include information the substance of which is not included in the statutory 

prospectus. The Commission proposed to amend rule 482 to implement this 

legislation. The amendment and related rule and form changes will provide 

funds with greater flexibility and the ability to include more timely information 

in their advertisements. 

Change in Burden: -177,514 hours 

Agency: Department of Transportation 

OMB Control No.: 2115-0514 

Title: Submission of Continuous Discharge Book, Revised Merchant Mariner 

Application, Physical Report, New Sea Service, Chemical Testing and Entry 

Level Physical Forms. 

Purpose of Collection: The information collected will be used solely by the U.S. Coast Guard for the 

purpose of determining eligibility for issuance of a Coast Guard credential i.e. 

license, certificate of registry or Merchant mariner document. 

How Reduction Achieved: Seven forms were deleted from this information collection, two existing forms 

were revised and three new forms were added. 

Change in Burden: -61,969 hours 

Agency Department of the Treasury 

OMB No.: 1545-0074 

Title: 2001 Form 1040 and Schedules, U.S. Individual Income Tax Return 

Purpose of the Collection: This form is used by individual taxpayers to report their taxable income and 

calculate their correct tax liability. 

How Reduction Achieved: Form 1040 (Schedule D) was revised and simplified to make it easier for the 

taxpayer to compute their capital gains and losses. 

Change in Burden: -2,925,214 hours 

Agency: Department of Treasury 

OMB Control No.: 1545-0710 

Title: Annual Return/Report of Employee Benefit Plan, Return/Report of Employee 

Benefit Plan and Associated Schedules 5500 5500-C/R SCHEDS(1998 

VERSION) 

Purpose of Collection: Forms 5500 and 5500-C/R are annual information returns filed by Employee 

Benefit Plans. The IRS uses this information to determine if the plan appears to 

be operating properly as required under the law or whether the plan should be 

audited. 
How Reduction Occurred: This form was replaced by a new and streamlined version that is generally filed 

electronically. (The new form was approved during a prior year under a new 

OMB control number and its burden was computed using a more accurate 

methodology.) The burden decrease for this form reflects the fact that its use is 

only required for delinquent filers for those years when it was in general use. 

Other filers use the new form. The number of delinquent filers is approximately 

3% of the number of previous users of this form. Previously, this form was used 

by over 900,000 filers; now it is used by approximately 25.000. 

Change in Burden: –26,928,784 hours 

Agency Department of the Treasury 

OMB No.: 1545-0143 

Title: Heavy Highway Vehicle Use Tax Return 

Purpose of the Collection: Form 2290 is used to compute and report the tax imposed by section 4481 on the 

highway use of certain motor vehicles. 

How reduction Achieved: 1545-0143 (Form 2290)A third party designee signature section, and an address 

change box were added for a program increase 532,400 hours. The name 

control box on the voucher was eliminated resulting in a program decrease of 

2,500 hours. The addition of the preprinted voucher resulted in a program 

change increase of 7,200 hours. Due to the Form 2290-EZ, there will be a 

decrease of 138,000 filers for the 2290, resulting in another decrease of 

5,115,660 hours in this collection and an increase of 495,000 hours in OMB 

number 1545-1781, which is the clearance number for the 2290-EZ. 

Change in Burden: -4,578,560 hours 

Agency: Department of Treasury 

OMB Control No.: 1545-0710 

Title: Annual Return/Report of Employee Benefit Plan, Return/Report of Employee 

Benefit Plan and Associated Schedules 5500 5500-C/R SCHEDS(1998 

VERSION) 

Purpose of Collection: Forms 5500 and 5500-C/R are annual information returns filed by Employee 

Benefit Plans. The IRS uses this information to determine if the plan appears to 

be operating properly as required under the law or whether the plan should be 

audited. 

How Reduction Achieved: The estimated volume of "prior year" returns (1998 and before) that used the 

previous versions of Form 5500 is 25,000 for the processing year August 1, 

2001, through July 31, 2002. The number was much lower than our previous 

estimates due to the fact that only delinquent filers would have need for the 1998 

(or prior) year returns. The estimated volume of 25,000 "prior year" filers 

represented 2.8% of the previous estimate of 901,400 filers. Therefore, to arrive 

at the burden estimate for the new processing year, we reduced the number of 

filers and burden hours to 2.8% of the previous numbers for each form and 

schedule in the submission. 

Change in Burden: –26,928,784 hours 

FY 2002 Increases 

Statutory Increases 

Agency: Department of Agriculture 
OMB No.: 0572-0127

Title: Broadband Pilot Grant Program

Purpose of the Collection: This collection is used to deploy the Broadband Pilot Grant Program to provide 

broadband infrastructure to extremely rural, lower income communities on a 

“community-oriented connectivity” basis. 

Why Increase Occurred: New Program. 

Change in Burden: 16,005 hours 

Statute Title and P.L. #: Public Law 107-76, “Making appropriations for Agriculture, Rural 

Development, Food and Drug Administration, and Related Agencies programs 

for the fiscal year ending Septemb er 30, 2002, and for other programs. 

Agency: Department of Education

OMB Control No.: 1810-0652

Title: Application for Improving Literacy Through School Libraries Grant Program

Purpose of Collection: To apply for funding under the grant program.

Why Increase Occurred: This was a new program due to the No Child Left Behind Act.

Change in Burden: 45,000 hours

Statute Title and P.L.#: No Child Left Behind Act, P.L.# 107-110

Agency: Department of Education

OMB Control No.: 1810-0654

Title: Early Reading First Program Federal Register Notice Inviting Applications, and 

Application Packet 

Purpose of Collection: To apply for funding for the grant program. 

Why Increase Occurred: This was a new program due to the No Child Left Behind Act. 

Change in Burden: 12,000 hours 

Statute Title and P.L.#: No Child Left Behind Act, P.L.# 107-110 

Agency: Department of Education

OMB Control No.: 1810-0655

Title: Local-Flex Application

Purpose of Collection: Local educational agencies apply to enter into Local-Flex agreements with the 

Department. 

Why Increase Occurred: This was a new program due to the No Child Left Behind Act. 

Change in Burden: 19,200 hours 

Statute Title and P.L.#: No Child Left Behind Act, P.L.# 107-110 

Agency: Department of Education

OMB Control No.: 1810-0660

Title: State-Flex Application

Purpose of Collection: To assist the State educational agency and local educational agencies enter into 

local performance agreements, in meeting the State’s definition of adequate 

yearly progress (AYP) and specific, measurable goals for improving student 

achievement and narrowing achievement gaps. 

Why Increase Occurred: This was a new program due to the No Child Left Behind Act.

Change in Burden: 13,440 hours

Statute Title and P.L.#: No Child Left Behind Act, P.L.# 107-110

Agency: Department of Education 

OMB Control No.: 1845-0061
Title: Federal Perkins Loan/NDSL Promissory Notes 

Purpose of Collection: The collection of information on the promissory note is necessary for eligible 

institutions of higher education to make Perkins or NDSL loans to students. The 

specific use of the promissory note is to authorize the loan holder to provide 

information to schools, lenders, guarantors, subsequent holders, the Department, 

and their agents about the loan. The promissory note is the means by which the 

borrower promises to repay the Perkins or NDSL loan under the terms and 

conditions in the promissory note which is signed and agreed to by the borrower 

before the institution makes the loan. If the Department does not conduct this 

collection of information, a student would not have the opportunity to obtain a 

Perkins or NDSL loan and take advantage of the benefits the Perkins and NDSL 

programs have to offer. 

Why the increase occurred: The increase occurred due to a new statute.

Change in burden: 345,000 hours

Statute Title and PL#: Higher Education Act of 1965, as amended through December 1999 §464(c)

Agency: Department of Education

OMB Control No.: 1885-0550

Title: Application for Grants Under English Language Acquisition: National 

Professional Development Program 

Purpose of Collection: To apply for funding. 

Why the increase occurred: The increase occurred as a result of statutory requirement for funding of the new 

discretionary program. 

Change in burden: 30,600 hours 

Statute Title and PL#: No Child Left Behind Act of 2001, P.L. 107-110 

Agency: Department of Energy

OMB Control No.: 1910-0300

Title: Environment, Safety and Health: Package title, “Nuclear Safety Management 

Reporting” 

Purpose of Collection: The collection is the primary means the Department has to monitor the safety 

management programs of its nuclear facilities. 

Why the increase occurred: In 2001, DOE issued the safety basis requirements in Title 10 of the Code of 

Federal Regulations, Part 830 (10 CFR Part 830), “Nuclear Safety Management” 

Change in burden: 64,425 hours 

Agency: Environmental Protection Agency

OMB Control No.: 2040-0244

Title: U.S. EPA BEACH Act Grant Program

Purpose of Collection: The BEACH Act of 2000 established a grant program to assist states in 

implementing a uniform monitoring and notification program for their coastal 

recreational waters. As a condition of receipt of a grant, states must show 

evidence of meeting the nine performance criteria and the conditions under the 

BEACH Act. The information collection represents documentation of such 

evidence. 

Why Increase Occurred: The BEACH Act Grant Program is a new program established by Congress. 

Change in Burden: 69,755 hours

Statute Title and P.L. #: Beaches Environmental Assessment and Coastal Health (BEACH ) Act, (Public 

Law 106-284) 

Agency: Environmental Protection Agency 
OMB Control No.: 2060-0482 

Title: Request for Applications for Critical Use Exemptions from the Phaseout of 

Methyl Bromide 

Purpose of Collection: EPA is preparing to request applications for critical use exemptions from the 

phaseout of methyl bromide under the Clean Air Act (CAA). Entities applying 

for these exemptions will be asked to submit to EPA information to evaluate the 

need for a critical use exemption. 

Why Increase Occurred: New regulation.

Change in Burden: 97,605 hours

Statute Title and P.L. #: Section 604(d)(6) of the CAA, added by Section 764 of the 1999 Omnibus 

Consolidated and Emergency Supplemental Appropriations Act (Public Law 

No. 105-277; October 21, 1998) and to meet U.S. obligations under Article 2H 

of the Montreal Protocol on Substances that Deplete the Ozone Layer. 

Agency: Department of Health and Human Services

OMB Control No.: 0938-0866

Title: Electronic Transactions and Supporting Regulations in 45 CFR Part 162

Purpose of Collection: The purpose of this collection is to establish standards for electronic transactions 

and for code sets to be used in those transactions. 

Why Increase Occurred: The increase occurred due to the enactment of HIPAA. 

Change in Burden: 34,000,000 hours. 

Statute Title and P.L.#: Health Insurance Portability and Accountability Act of 1996 (HIPAA), Public 

Law 104-191 

Agency: Department of Health and Human Services

OMB Control No.: 0938-0874

Title: HIPAA Standard Unique Employer Identifier and Supporting Regulations in 45 

CFR Parts 160 & 162 

Purpose of Collection: The purpose of this collection is to establish a standard for a unique employer 

identifier. 

Why Increase Occurred: The increase occurred due to the enactment of HIPAA. 

Change in Burden: 1,700,000 hours. 

Statute Title and P.L.#: HIPAA, Public Law 104-191 

Agency: Department of Health and Human Services

OMB Control No.: 0920-0561

Title: Notification of Possession of Select Agents

Purpose of Collection: CDC was delegated the responsibility of identifying entities that possess, use, or 

transfer select agents or toxins. In performance of its responsibility, CDC 

surveyed entities to discover who and how many entities possessed select agents 

and toxins. 

Why Increase Occurred: New legislation, which requires the collection of new data. 

Change in Burden: 205,100 hours

Statute Title and P.L.#: Public Health Security and Bioterrorism Preparedness and Response Act of 

2002, P.L. 107-188 (June, 2002). 

Agency: Department of the Interior

OMB Control No.: 1018-0109

Title: Federal Aid Grant Application Booklet, 50 CFR 80

Purpose of Collection: This information collection includes the burden associated with completing 

grant application packages. 
Why Increase Occurred: In the FY 2002 Department of the Interior and Related Agencies Appropriations 

Act, the FWS was given the responsibility for many new grant programs, 

including the Landowner Incentive Program. 

Change in Burden: 39,500 hours 

Statute Title and P.L. #: FY 2002 Appropriations Act for Interior and Related Agencies, P.L. 107-63, 

H.R. 2217. 

Agency: Department of Justice

OMB Control No.: 1105-0073

Title: Registration Eligibility Form and Application for Emergency Benefits from the

Victim Compensation Fund 

Purpose of Collection: The information collected from the Registration/Eligibility Form and 

Application for Emergency Benefits from the Victim Compensation Fund will 

be used to make advanced benefits to those claimants deemed eligible by the 

Special Master or his designee. 

Why Increase Occurred: Implementation of Public Law 107-4.

Change in Burden: 30,000 hours.

Statute Title and P.L.: Title IV of the Air Transportation Safety and System Stabilization Act (P.L 107-

42). 

Agency: Department of Justice

OMB Control No.: 1105-0078

Title: The Death Compensation form for the September 11 Victim Comp ensation 

Fund and The Personal Injury Compensation Form for the September 11 Victim 

Compensation Fund. 

Purpose of Collection: Title IV of the Air Transportation Safety and System Stabilization Act (P.L. 

107-42) established the "September 11 Victim Compensation Fund of 2001" to 

provide compensation to individuals (or the beneficiaries of deceased 

individuals) who were physically injured or killed as a result of the terroristrelated aircraft crashes of September 11, 2001. In order to fulfill the 

requirements of the law, the "Death Compensation Form" and the "Injury 

Compensation Form" are necessary to collect relevant information from 

claimants. 

Why Increase Occurred: Implementation of Public Law 107-42.

Change in Burden: 75,000 hours

Statute Title and P.L.: Title IV of the Air Transportation Safety and System Stabilization Act (P.L. 

107-42). 

Agency: Department of Justice

OMB Control No.: 1110-0036

Title: National Stolen Passenger Motor Vehicle Information System

Purpose of Collection: United States Department of Justice implemented the National Stolen Passenger 

Motor Vehicle Information System by issuing regulations to establish a national 

system for verifying the theft status of salvage and junk (non-repairable) motor 

vehicles and major parts marked with a Vehicle Identification Number (VIN) or 

a derivative of that number. Under specific conditions detailed in the 

regulations, an insurance carrier, or a person lawfully selling or distributing 

vehicle parts in interstate commerce or an individual engaged in the business of 

repairing passenger motor vehicles must request such verification. 

Why Increase Occurred: Implementation of new law.

Change in Burden: 702,000 hours

Statute Title and P.L.: 49 U.S.C. 33109
Agency: Department of Justice

OMB Control No.: 1115-0018

Title: Application for Certificate of Citizenship

Purpose of Collection: This application is used to determine an applicant’s eligibility for receipt of a 

certificate of citizenship. 

Why Increase Occurred: The increase is attributed to the revision of the form to consolidate information 

collected on current Form N-600 with information collected on Form N-643. 

The increase represents the combined total number of respondents for each 

form. 

Change in Burden: 20,564 hours 

Statute Title and P.L.#: Title 1 of the Child Citizenship Act (CCA), P.L. 106-395; amended Section 321 

of the Immigration and Nationality Act. 

Agency: Department of Justice

OMB Control No.: 1115-0246

Title: Application for T Nonimmigrant Status; Application for Immediate Family 

Member of T-1 Recipient; and Declaration of Law Enforcement Officer for 

Victim of Trafficking in Persons 

Purpose of Collection: This application permits victims of severe forms of trafficking and their 

immediate family members to demonstrate that they qualify for temporary 

nonimmigrant status to receive temporary immigration benefits. 

Why Increase Occurred: This is a new information collection established by Public Law to provide 

temporary immigration benefits to certain victims of crimes while providing a 

means of assistance for government officials who investigate and prosecute 

those crimes. 

Change in Burden: 41,938 hours 

Statute Title and P.L.#: P.L. 106-386, Victims of Trafficking and Violence Protection Act of 2000 and 

Sections 214 of the Immigration and Nationality Act and 8 CFR 212. 

Agency: Department of Justice

OMB Control No.: 1115-0252

Title: The Student and Exchange Visitor Information System (SEVIS)

Purpose of Collection: SEVIS will be used by institutions and sponsors to provide notifications, reports, 

updates and data required by regulations on the institutions and program, as well 

as on student and exchange visitors. Additionally, the INS and the Department 

of State will use SEVIS to adjudicate benefits and services, track student and 

exchange visitor data, and to monitor institution and program sponsor 

compliance with current regulations. 

Why Increase Occurred: This is a new information collection mandated by provisions of the Illegal 

Immigration Reform and Immigrant Responsibility Act of 1996 to establish 

electronic reporting of data from schools and exchange visitor programs. 

Change in Burden: 1,040,850 hours 

Statute Title and P.L.#: P.L. 104-208, Illegal Immigration Reform and Immigrant Responsibility Act of 

1996; P.L. 106-396, Visa Waiver Permanent Program Act; and P.L. 107-56, 

Uniting and Strengthening America by Providing Appropriate Tools Required to 

Intercept and Obstruct Terrorism (USA PATRIOT ACT) Act of 2001. 

Agency: Department of Justice

1115-0254

National Security Entry-Exit Registration System (NSEERS)

OMB Control No.: 

Title: 
Purpose of Collection: The information gathered from qualified aliens will be entered directly into the 

INS ENFORCE law enforcement investigative databank and will be used by the 

agency to investigate compliance with visa and admission conditions, to 

complete administrative civil and criminal enforcement activities, and to further 

other national security and law enforcement objectives. 

Why Increase Occurred: This is a new information collection required by statute. 

Change in Burden: 70,000 hours 

Statute Title and P.L.#: P.L. 107-173, Enhanced Border Security and Visa Entry Reform Act of 2002. 

Agency: Department of Labor 

OMB Control No.: 1293-0005 

Title: Federal Contractor Veterans’ Employment Report VETS-100 

Purpose of Collection: Title 38 U.S.C., Section 4212 (d) requires contractors and subcontractors 

holding contracts of $25,000 or more with Federal Departments or agencies to 

report annually on (a) the number of current employees in each job category and 

at each hiring location who are special disabled veterans and the number who 

are veterans of the Vietnam era, and the number who are other eligible veterans 

who served on active duty during a war or a campaign or expedition for which a 

campaign badge has been authorized; (b) the total number of employees hired 

during the report period and of those, the number of who are classified as special 

disabled, the number who are veterans of the Vietnam era, and the number who 

are classified as other veterans; and (3) the maximum and minimum number of 

employees employed by the contractor at each hiring location during the report 

period. 

Why Increase Occurred: The additional data collection is required by statute. 

Change in Burden: 48,645 hours 

Statute Title and Public Law# Veterans Benefits and Health Care Improvement Act of 2000, Public Law 106-

419. 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0330 

Title: Form N-SAR under the Investment Company Act of 1940, Semi-Annual Report 

for Registered Investment Companies 

Purpose of Collection: The information in Form N-SAR is required to keep reasonably current the 

information in the filer’s registration statement and to mo nitor the operations of 

registered investment companies so that the Commission can use inspection and 

document review resources effectively. Filers on the Form submit their 

responses electronically as data that is incorporated into a database of 

investment company information maintained by the Commission for automated 

analysis. 

Why Increase Occurred: Section 302 of the Sarbanes-Oxley Act of 2002 requires the Commission to 

adopt rules under which the principal executive officer or officers and the 

principal financial officer or officers, or persons performing similar functions, of 

an issuer each must certify the information contained in the issuer’s “quarterly 

and annual reports” filed or submitted under Section 13(a) or 15(d) of the 

Securities Exchange Act of 1934 (“Exchange Act”). Form N-SAR is currently 

the reporting form designated for all registered investment companies to comply 

with their reporting requirements under the Exchange Act. To implement 

Section 302 with respect to registered investment companies, the Commission 

amended Form N-SAR to require the investment companies to file with the 

Commission the certification specified by Section 302 as an exhibit to Form NSAR. 

Change in Burden: 36,049 hours 
Statute Title and Public Law# Sarbanes-Oxley Act of 2002, P.L.107-204

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0565

Title: Rule 482 under the Securities Act of 1933, Advertising by an Investment 

Company 

Purpose of Collection: Rule 482 requires certain standardized performance information in fund 

advertisements in order to permit investors to make meaningful comparisons 

among fund performance claims. 

Why Increase Occurred: Rule 482 under the Securities Act of 1933 (“Securities Act”), under certain 

circumstances, permits investment companies to advertise investment 

performance data, as well as other information. Presently, rule 482 

advertisements are “prospectuses” under the Securities Act, which means that 

they are allowed only to contain information the “substance of which” is 

included in the statutory prospectus for the fund advertised. In the National 

Securities Markets Improvement Act of 1996, Congress amended the Investment 

Company Act of 1940 to permit, subject to rules adopted by the Commission, 

the use of prospectuses under section 10(b) of the Securities Act of 1933 that 

include information, the substance of which is not included in the statutory 

prospectus. The Commission proposed to amend rule 482 to implement this 

legislation. The amendment and related rule and form changes will provide 

funds with greater flexibility and the ability to include more timely information 

in their advertisements. 

Change in Burden: 218,125 hours

Statute Title and Public Law# National Securities Markets Improvement Act of 1996, P.L. 104-290

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0420

Title: Form 10-KSB

Purpose of Collection: Every small business issuer that is subject to Section 13(a) or 15(d) under the 

Exchange Act must file periodic and current reports with the Commission 

containing information about its business and financial condition. In Exchange 

Act Release No. 46079, the Commission proposed to require small business 

issuers principal executive officer and principal financial officer to certify that 

the information in its quarterly and annual reports is true in all important 

respects and that the reports contain all information about the registrant of which 

they are aware and believe is important to a reasonable investor. 

Why Increase Occurred: This certification requirement would increase the number of burden hours 

associated with the preparation and filing of an annual report on Form 10-KSB. 

Also, part of the increase is attributable to the fact that the Commission changed 

the estimated percentage of the reporting burden carried internally to 75%. 

Change in Burden: 14,209 hours

Statute Title and Public Law# Sarbanes-Oxley Act of 2002, P.L.107-204

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0070

Title: Form 10-Q

Purpose of Collection: Every issuer that is subject to Section 13(a) or 15(d) under the Exchange Act 

must file periodic and current reports with the Commission containing 

information about its business and financial condition. In Exchange Act Release 

No. 46079, the Commission proposed to require a registrant’s principal 

executive officer and principal financial officer to certify that the information in 
the registrant’s quarterly and annual reports is true in all important respects and 

that the reports contain all information about the registrant of which they are 

aware and believe is important to a reasonable investor. 

Why Increase Occurred: The certification requirement would increase the number of burden hours and 

costs associated with the preparation and filing of a quarterly report on Form 10-

Q. Also, part of the increase is attributable to the fact that the Commission 

changed the estimated percentage of the reporting burden carried internally to 

75% and the percentage of the burden carried externally to 25%. 

Change in Burden: 100,298 hours

Statute Title and Public Law# Sarbanes-Oxley Act of 2002, P.L.107-204

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0416

Title: Form 10-QSB

Purpose of Collection: Every small business issuer that is subject to Section 13(a) or 15(d) under the 

Exchange Act must file periodic and current reports with the Commission 

containing information about its business and financial condition. In Exchange 

Act Release No. 46079, the Commission proposed to require small business 

issuers principal executive officer and principal financial officer to certify that 

the information in its quarterly and annual reports is true in all important 

respects and that the reports contain all information about the registrant of which 

they are aware and believe is important to a reasonable investor. 

Why Increase Occurred: This certification requirement would increase the number of burden hours 

associated with the preparation and filing of a quarterly report on Form 10-QSB. 

Also, part of the increase is attributable to the fact that the Commission changed 

the estimated percentage of the reporting burden carried internally to 75%. 

Change in Burden: 43,530 hours

Statute Title and Public Law# Sarbanes-Oxley Act of 2002, P.L.107-204

Agency: Social Security Administration

OMB Control No.: 0960-0145

Title: Statement for Determining Continuing Eligibility Supplemental Security Income

Payment / SSA-8202-F6 & SSA-8202-OCR SM 

Purpose of Collection: The information collected on form SSA-8202 is used in middle-error-probability 

(MEP) and low-error-probability (LEP) redetermination (RZ) cases to determine 

whether Supplemental Security Income (SSI) recipients have met and continue 

to meet all statutory and regulatory requirements for SSI eligibility and whether 

they have been and are still receiving the correct payment amount. Periodic 

collection of this information is the only way SSA can make these 

determinations. 

Why Increase Occurred: SSA revised and added several new questions to the SSA-8202 forms as a result 

of statutory authority contained in the Personal Responsibility and Work 

Opportunity Reconciliation Act of 1996 (PRWORA) and the Foster Care 

Independence Act of 1999. 

Change in Burden: 28,666 Hours

Statute Title and P.L. #: Public Law 104-193, section 202(a), and Public Law 106-169 section 206

Agency: Social Security Administration 

OMB Control No.: 0960-0416 

Title: Statement For Determining Continuing Eligibility For Supplemental Security 

Income Payments / SSA-8203 
Purpose of Collection: The information collected on form SSA-8203 is used in high-error probability 

(HEP) redetermination cases to determine whether SSI recipients have met and 

continue to meet all statutory and regulatory requirements for SSI eligibility and 

whether they have been and are still receiving the correct payment amount. 

Periodic collection of this information is the only way SSA can make these 

determinations. 

Why Increase Occurred: SSA revised and added several new questions to the SSA-8203 as a result of 

statutory authority contained in the Personal Responsibility and Work 

Opportunity Reconciliation Act of 1996 (PRWORA) and the Foster Care 

Independence Act of 1999. 

Change in Burden: 15,333 hours

Statute Title and P.L. #: Public Law 104-193, section 202(a), and Public Law 106-169 section 206

Agency: Social Security Administration

OMB Control No.: 0960-0644

Title: The Ticket to Work and Self-Sufficiency Program

Purpose of the Collection: The purpose of this program is to provide expanded opportunities to Social 

Security disability beneficiaries and SSI recipients in obtaining the services 

necessary to find, enter and retain employment. Expanded employment 

opportunities for these individuals also will increase the likelihood that they will 

reduce their dependency on Social Security and SSI cash benefits. 

Why Increase Occurred: This is a new provision in the law established by Section 101 of the Ticket to 

Work and Work Incentives Improvement Act of 1999. 

Change in Burden: 201,680 hours 

Statute Title and P.L. #: Ticket to Work and Work Incentives Improvement Act of 1999, 

Public Law 106-170 

Agency: Department of State

OMB Control No.: 1405-0134

Title: Supplemental Nonimmigrant Visa Application

Purpose of the Collection: To increase border security.

Why Increase Occurred: The President has directed stricter controls on visas in response to the terrorist 

attacks of September 11, 2001. P.L. 107-56 has imposed additional requirements 

for, and this collection is intended to assist the Department in determining the 

application of those requirements. 

Change in Burden: 9,600,000 hours

Statute Title and P.L. #: P.L.107-56; INA Section 212(a) of the INA, 8 U.S.C. 1182(a)

Agency: Department of State

OMB Control No.: 1405-0144

Title: Contact Information and Work History for Nonimmigrant Visa Application

Purpose of the Collection: All nonimmigrant visa applicants seeking to study in the United States must 

submit specific information to consular officers prior to visa issuance. This 

information was not currently collected and a new form was necessary in order 

to gather this information in accordance with the provisions of the bill. 

Why Increase Occurred: The President has directed stricter controls on visas in response to the terrorist 

attacks of September 11, 2001. 

Change in Burden: 2,500,000 hours 

Statute Title and P.L. # : H.R. 3525, the “Enhanced Border Security and Visa Entry Reform Act of 2002 

Agency: Department of Transportation 
OMB Control No.: 2110-0002

Title: Aviation Security Infrastructure Fee

Purpose of Collection: For purposes of collecting information necessary to establish the Aviation 

Security Infrastructure Fee, which helped pay for the costs of providing civil 

aviation security services, as described in 49 U.S.C. 44940 that are not otherwise 

covered by the collection of the September 11th Security Fee. Air carriers and 

foreign air carriers were required to provide information regarding their costs for 

screening passengers and property in calendar year 2000 and provide for an 

independent audit of this information to establish and administer this fee. 

Why Increase Occurred: The reduction was achieved through the initiation of the Aviation Security 

Infrastructure Fee, which is now in place and therefore, this collection is no 

longer deemed necessary. 

Change in Burden: 31,200 hours

Statute Title and P. L. #: Aviation and Transportation Security Act, Public Law 107-71

Agency: Department of Transportation

OMB Control No.: 2120-0675

Title: Certification of Airports, 14 CFR Part 139

Purpose of Collection: The final rule revises the current airport certification regulation and establishes 

certification requirements for airports serving scheduled air carrier operations in 

aircraft with 10–30 seats. 

Why Increase Occurred: The FAA Reauthorization Act of 1996, Section 44706 was amended to allow the 

FAA to certificate airports, with the exception of those located in the State of 

Alaska, that serve any scheduled passenger operation of an air carrier operating 

aircraft designed for more than 9 but less than 31 passenger seats. 

Change in Burden: 52,993 hours 

Statute Title and P.L.#: Federal Aviation Administration Reauthorization Act of 1996, Public Law 104-

264. 

Agency: Department of Transportation

OMB Control No.: 2127-0616

Title: Reporting of Information and Documents about Potential Defects-Retention of 

Records 49 CFR part 579 

Purpose of Collection: Mandated by the Transportation Recall Enforcement Accountability and 

Documentation (TREAD ACT), motor vehicle and equipment manufacturers 

must report information and submit documents that may assist NHTSA to 

promptly identify defects related to motor vehicle safety. 

Why Increase Occurred: New information collection.

Change in Burden: 234,631 hours

Statute Title and P.L.#: TREAD Act, Public Law 106-414

Agency: Department of Treasury

OMB Control No.: 1545-0074

Title: 2001 Form 1040 and Schedules, U.S. Individual Income Tax Return

Purpose of Collection: This form is used by individual taxpayers to report their taxable income and 

calculate their correct tax liability. 

Why Increase Occurred: Changes were made throughout Form 1040, schedules and instructions by 

adding lines, new worksheets, and Code references and deleting lines and Code 

references due to legislation. 

Change in Burden: 18,744,806 hours

Statute Title and P.L.#: Economic Growth and Tax Relief Reconciliation Act of 2001. P.L. 107-16
Agency: Department of Treasury

OMB Control No.: 1506-0013

Title: Registration of Money Services Businesses

Purpose of Collection: 31 USC and implementing regulations under 31 CFR 103.41 (a)(d) require 

money services businesses (MSBs) to register with the Department of the 

Treasury and maintain a current list of agents. The registration and agent list 

requirements will enable the Treasury to locate MSBs, educate them about their 

reporting and recordkeeping requirements of the Bank Secrecy Act, and ensure 

that MSBs comply with those requirements. 

Why Increase Occurred: New statutory requirement.

Change in Burden: 1,105374 hours

Statute Title and P.L.#: Bank Secrecy Act, Titles I and II of P.L. 91-508.

Agency: Department of Treasury

OMB Control No.: 1545-0085

Title: 2001 Form 1040A and Schedules, U.S. Individual Income Tax Return

Purpose of Collection: This form is used by individual taxpayers to report their taxable income and 

calculate their correct tax liability. 

Why Increase Occurred: The changes were due to the addition of 2 worksheets, Line 26, Tax 

Computation Worksheet for Certain Dependents and Line 30, Rate Reduction 

Credit Worksheet, and lines and Code references were added throughout the 

form, schedules and instructions. 

Change in Burden: 8,689,904 hours

Statute Title and P.L.#: Economic Growth and Tax Relief Reconciliation Act of 2001. P.L. 107-16

Agency: Department of Treasury

OMB Control No.: 1545-1758

Title: Form 8879, IRS e-file Signature Authorization

Purpose of Collection: Form 8879 is used to allow taxpayers to authorize the Electronic Return 

Originators to enter the taxpayer’s PIN on the electronically filed tax returns. 

Why Increase Occurred: This is a new form. Section 6011 of the Internal Revenue Code allows taxpayers 

to file tax returns electronically. Taxpayers are allowed to use a self-selected 

Personal Identification Number (PIN) as an electronic signature for their tax 

returns. Some Electronic Return Originators (EROs) are also allowed to use a 

PIN as an electronic signature. 

Change in Burden: 5,440,000 hours 

Statute Title and P.L.#: P.L. 105-206 

Agency: Department of Treasury

OMB Control No.: 1545-0090

Title: Form 1040-SS, U.S. Self-Employment Tax Return (Including the Additional 

Child Tax for Bona Fide Residents of Puerto Rico); Form 1040-PR, Planilla 

para la Declaracion de la Contribucion Federal sobre el Trabajo por Cuenta 

Propia (Incluyendo el Credito Tributario Adicional por Hijos(as) para 

Residentes Bonafides de Puerto Rico) 

Purpose of Collection: Forms 1040-SS and 1040-PR are used to determine whether the proper amount 

of self-employment tax is reported. 

Why Increase Occurred: Forms 1040-SS and 1040-PR were revised to allow bona fide residents of Puerto 

Rico to claim the additional child tax credit due to legislation. Also, due to a 

change in law, the number of filers increased. 

Change in Burden: 2,656,120 hours 
Statute Title and P.L.#: Economic Growth and Tax Relief Reconciliation of 2001. P.L. 107-16. 

Agency: Department of Treasury

OMB Control No.: 1545-0172

Title: Form 4562, Depreciation and Amortization (Including Information on Listed 

Property) 

Purpose of Collection: Form 4562 is used to claim the deduction for depreciation and amortization, 

make the section 179 election to expense certain tangible property, and to 

provide information on the business/investment use of automobiles and other 

listed property. 

Why Increase Occurred: Changes were made to Form 4562 by the Job Creation and Worker Assistance 

Act of 2002. The provisions that affect Form 4562 include an additional 30% 

depreciation deduction for qualified property placed in service after September 

10, 2001, and an increase in the section 179 expense deduction for property 

placed in service in the New York Liberty Zone. Four lines and 8 Code 

references were added. 

Change in Burden: 16,835,000 hours

Statute Title and P.L.#: Job Creation and Worker Assistance Act of 2002. P.L. 107-147.

Agency: Department of Treasury

OMB Control No.: 1545-0092

Title: Form 1041, Schedules, and Instructions, U.S. Income Tax Return for Estates and 

Trusts 

Purpose of Collection: Form 1041 is used by the IRS to determine that the estates, trusts, and 

beneficiaries filed the proper returns and paid the correct tax. 

Why Increase Occurred: Changes were made due to the Victims of Terrorism Tax Relief Act of 2001. 

Also, editorial changes were made to the form, schedules, and instructions. A 

new worksheet was added and 8 Code references. 

Change in Burden: 5,595,949 hours

Statute Title and P.L.#: Victims of Terrorism Tax Relief Act of 2001. H.R. 2884.

Agency: Department of Treasury

OMB Control No.: 1545-1769

Title: Revenue Procedure 2002-10, Procedures for IRAs, SEPs, and SIMPLEs IRA 

Plans 

Purpose of Collection: This revenue procedure provides (1) guidance to drafters of IRAs, SEPs and 

SIMPLE IRA plans; (2) guidance to users of Internal Revenue Service model 

IRAs and plans; and (3) transitional relief for users of IRAs and plans that have 

not been approved by the Service. 

Why Increase Occurred: This is a new revenue procedure. Taxpayers urgently needed the guidance in 

this revenue procedure as a result of the changes to IRAs, SEPs and SIMPLE 

IRA plans made by EGTRRA. 

Change in Burden: 7,371,000 hours

Statute Title and P.L.#: Economic Growth and Tax Relief Reconciliation Act of 2001. P.L. 107-16

Agency: Department of Treasury

OMB Control No.: 1545-1574

Title: Tuition Payments Statement (FORM-1098-T)

Purpose of Collection: Section 6050S of the Internal Revenue Code requires eligible education 

institutions to report certain information regarding tuition payments to the IRS 

and to students. Form 1098-T has been developed to meet this requirement. 
Why Increase Occurred: Four new lines were added to reflect proposed regulations to section 6050S 

made by the Taxpayer Relief Act of 1997 and the amendments made by the 

Internal Revenue Service Restructuring and Reform Act of 1998 and Public Law 

107-131. Boxes were added for amounts for qualified and related expenses, 

adjustments made for a prior year, adjustments to scholarships or grants for a 

prior year and whether payments received or amounts billed relate to the first 

three months of the calendar year. 

Change in Burden: 1,475,505 hours

Statute Title and P.L.#: Economic Growth and Tax Relief Reconciliation Act of 2001. P.L. 107-16

Agency: Department of Veterans Affairs 

OMB Control No.: 2900-0629

Title: Application for Extended Care Services (VA Form 10-10EC)

Purpose of Collection: To establish eligibility for extended care benefits. Form establishes financial 

liability of veteran to pay if accepted for placement in Extended Care Services, 

and shows that veteran has agreed to make any applicable co-payment. 

Why Increase Occurred: New data collection. 

Change in Burden: 12,900 hours 

Statute Title and P.L.#: Public Law 106-117, The Veterans’ Millennium Health Care and Benefits Act 

Other Increases 

Agency: Department of Agriculture 

OMB Control No.: 0560-0219

Title: USDA Registration Form to Request Electronic Access Code

Purpose of Collection: Voluntary registration process will enable customers as well as County Based 

Agency (CBA) employees to register as authorized users and provide single 

sign-on capability for CBA on-line applications. 

Why Increase Occurred: USDA has developed a management and technical process that addresses user 

authentication and authorization prerequisites for providing services 

electronically. The process is based on a one-time registration for each 

customer desiring access to any on-line service that requires authentication. 

The registration form will collect the minimum information necessary to verify 

and validate the identity of the customer. Time to complete the form will vary 

from an estimated 10 to 15 minutes depending upon the method option the 

customer chooses. 

Change in Burden: 1,331,000 hours 

Agency: Department of Agriculture 

OMB Control No.: 0560-0223 and 0560-0222

Title: 2002 Livestock Compensation Program and 2002 Cattle Feed Program

Purpose of Collection: Livestock producers and foundation beef cattle owners/lessees who suffered 

feed and grazing losses as a result of severe 2001 and 2002 drought conditions 

may apply for assistance. The producers must certify the number of head and 

type of eligible livestock. The information provided will determine eligibility 

and payment rates. 

Why Increase Occurred: Farm Service Agency received $752 million for livestock compensation and 

$150 million for 2002 cattle feed progra m appropriated under Section 32 of the 

Act of August 24, 1935, as amended (Section 32), to provide assistance to 

certain livestock producers experiencing severe 2001 and 2002 crop year feed 

and pasture losses because of drought. 
Change in Burden: 125,000 and 97,000 hours 

Agency: Department of Agriculture 

OMB Control No.: 0584-0512 

Title: Uniform Grant Application for Non-Entitlement Discretionary Grants 

Purpose of Collection: Provide a streamlined Office of Management Budget approval process for nonentitlement discretionary grants. 

Why Increase Occurred: Provide accountability for the information collection burden for awarding nonentitlement discretionary grants by the Food and Nutrition Service and 

consolidate all such burden into one information collection. 

Change in Burden: 30,000 hours 

Agency: Department of Commerce 

OMB Control No.: 0607-0889 

Title: 2002 Economic Census, Commodity Flow Survey 

Purpose of Collection: The 2002 Commodity Flow Survey, a component of the Census Bureau’s 2002 

Economic Census, produces key information about the transportation of freight 

in the United States. The Commodity Flow Survey is the only source of 

nationwide data on the movement of goods from origin to destination by all 

modes of transportation and for intermodal combinations. This survey provides 

a crucial set of statistics on the value, weight, mode, and distance of 

commodities shipped by mining, manufacturing, wholesale, and selected retail 

establishments. 

Why Increase Occurred: The collection was submitted as new in FY 2002. 

Change in Burden: 400,000 hours 

Agency: Department of Commerce 

OMB Control No.: 0607-0810 

Title: American Community Survey 

Purpose of Collection: The Census Bureau has been developing a methodology to collect and update 

every year demographic, social, economic, and housing data that are essentially 

the same as the "long-form" data that the Census Bureau traditionally has 

collected once a decade as part of the decennial census. To provide more timely 

data, the Census Bureau developed an alternative called Continuous 

Measurement (CM). Federal and State government agencies use such data to 

evaluate and manage Federal programs and to distribute funding for various 

programs which include food stamps, transportation dollars, and housing grants. 

State, county, and community governments, nonprofit organizations, businesses, 

and the general public use information like housing quality, income distribution, 

journey-to-work patterns, immigration data, and regional age distributions for 

decision making and program evaluation. 

Why Increase Occurred: The increase in burden is attributable to the full implementation of the ACS in 

every part of the United States and Puerto Rico. 

Change in Burden: 1,319,500 hours 

Agency: Department of Commerce 

OMB Control No.: 0607-0585 

Title: Government Finance Forms 

Purpose of Collection: This clearance represents a collection of questionnaires needed to conduct the 

quinquennial Census of Governments, Finance Phase, and the Annual Survey of 

State and Local Government Finance. The data are released in reports which 
contain benchmark statistics on public revenue, expenditure, debt, and assets. 

They are widely used by Federal, State, and local legislators, policy-makers, 

administrators, analysts, economists, and researchers to follow the changing 

characteristics of the government sector of the economy. 

Why Increase Occurred: The increase in burden is attributable to the fact that these forms are used 

cyclically. Once every five years the forms are used in conducting the finance 

portion of the Census of Governments. Burden will decrease the following year 

and will remain so for 4 years. 

Change in Burden: 92,278 hours 

Agency: Department of Commerce 

OMB Control No.: 0607-0452

Title: Government Employment Forms

Purpose of Collection: This clearance represents a collection of questionnaires needed to conduct the 

quinquennial Census of Governments, Employment Phase, and the Annual 

Survey of Government Employment. Statistics compiled from data gathered 

using these forms are used by Federal agencies for activities such as developing 

the National Income and Product Accounts and the allocation of operating 

subsidies to local housing authorities. Other users include state and local 

government executives and legislators, policy makers, economists, researchers, 

and the general public. 

Why Increase Occurred: The increase in burden is attributable to the fact that these forms are used 

cyclically. Once every five years the forms are used in conducting the 

employment phase of the Census of Governments. During that year burden 

increases because of the larger number of respondents. Accordingly, burden 

will decrease the following year and will remain so for 4 years. 

Change in Burden: 61,083 hours 

Agency: Department of Commerce 

OMB Control No.: 0607-0368

Title: Special Census Program

Purpose of Collection: Governmental units requiring current population statistics between decennial 

censuses request that the Census Bureau conduct special censuses. Many states 

distribute funds based on current population statistics. In addition, special 

census data are used by the local jurisdictions to plan new schools, 

transportation systems, housing programs, and water treatment facilities, and 

apply for and disburse state and Federal funding. The Census Bureau will 

establish reimbursable agreements with a variety of potential special census 

customers that are unknown at this time. The Census Bureau also uses special 

census data as part of its local population estimates calculation and to update the 

Bureau’s Master Address File (MAF) and Topographically Integrated 

Geographic Encoding and Referencing (TIGER) System. 

Why Increase Occurred: The collection was submitted as a reinstatement in FY 2002.

Change in Burden: 114,421 hours

Agency: Department of Commerce 

OMB Control No.: 0610-0098

Title: Data Collection for Compliance with Government Performance and Results Act 

and Results Act of 1993 (GPRA) 

Purpose of Collection: The GPRA requires Federal agencies to develop performance measures and 

report to Congress and their stakeholders the results of the agency’s 

performance. EDA must collect data and report on the following principal 
programs: 1) the Public Works program which promotes long-range economic 

development in distressed areas by providing investments for vital infrastructure 

and development facilities; 2) the Economic Adjustment program offers flexible 

investments for communities facing sudden and severe economic distress 

including revolving loan funds; 3) the Planning program supports local planning 

and long-term partnerships with State, regional organizations, Economic 

Development Districts and Indian Tribes that assist distressed communities with 

strategic planning and investment activities; 4) the University Center program is 

a partnership program that draws on the expertise of colleges and universities to 

strengthen the hand of distressed communities as they strive to become selfsufficient and 5) the Trade Adjustment Assistance program which assists U.S. 

firms and industries injured as the result of trade agreements by offering lowcost, effective professional assistance to certified firms in developing and 

implementing recovery strategies. 

Why Increase Occurred: Last fiscal year, EDA developed separate forms and distinct measures for each 

program. 

Change in Burden: 21,009 hours 

Agency: Department of State 

OMB Control No.: 1405-0135 

Title: J-1 Waiver Vis a Application 

Purpose of the Collection: To record the information required by 22 CFR 41.63 for a waiver request filed 

with the Secretary of State 

Why Increase Occurred: The President has directed stricter controls on visas in response to the terrorist 

attacks of September 11, 2001. 

Change in Burden: 20,000 burden hours 

Agency: Department of Commerce 

OMB Control No.: 0625-0245 

Title: Steel Imp ort License 

Purpose of Collection: This information is required to implement the safeguard measures announced by 

the President on March 5, 2002 for certain steel import products pursuant to 

Section 203 of the Trade Act of 1974. The Steel Import License is used by the 

Department of Commerce to collect and provide aggregate summaries about 

imports of certain steel import products. This information is used by the U.S. 

Trade Representative (USTR) to track increases in imports from excluded 

countries. 

Why Increase Occurred: Statutory increase required by Section 203 of the Trade Act of 1974. This online information collection will allow 400 major brokers and importers of steel 

to file their summary documentation and result in an increase of 1,000,000 

responses and 166,667 burdens hours annually. 

Change in Burden: 166,667 hours 

Agency: Department of Commerce 

OMB Control No.: 0648-0371 

Title: Highly Migratory Species Vessel Logbooks and Cost-earnings Data Reports. 

Purpose of Collection: Fishermen with permits to fish for Highly Migratory Species must submit 

fishing logbooks and provide cost-earnings information. The information is 

necessary to manage the fishery and to analyze possible regulatory measures. 

Why Increase Occurred: Submission of previously voluntary cost-earnings data was made mandatory for 

selected vessels, and additional respondents were selected, both in order to 

provide better data. 
Change in Burden: 14,814 hours. 

Agency: Department of Commerce 

OMB Control No.: 0648-0445

Title: NMFS Alaska Region Vessel Monitoring System (VMS) Program.

Purpose of Collection: Participants in the Bering Sea-Aleutian Islands and Gulf of Alaska pollock, Atka 

mackerel, and Pacific cod fisheries must install and use vessel monitoring 

systems. The equipment allows monitoring of fishing activity near critical 

habitat for endangered Steller sea lions. 

Why Increase Occurred: A biological opinion issued under the Endangered Species Act requires NOAA 

to take reasonable and prudent measures to protect this endangered species. 

Change in Burden: 13,044 hours 

Agency: Department of Defense

OMB Control No.: 0720-0027

Title: Health Evaluation Assessment Review (HEAR 2.X)

Purpose of Collection: The information is for the patient’s medical record and will be used to identify 

patients requiring clinical preventive care, target those who could benefit from 

counseling services associated with high risk behaviors, and assess the health 

status of the Military Health System population. 

Why Increase Occurred: Program Change due to agency action.

Change in Burden: 703,248 hours

Agency: Department of Education

OMB Control No.: 1810-0614

Title: Consolidated State Performance Report and State Self-Review

Purpose of Collection: To collect performance data.

Why Increase Occurred: There was a reinstatement of previous 137,086 hours; in addition there was a 

reduction of 2,318 hours due to eliminating and modifying portions of the 

instrument. 

Change in Burden: 134,768 hours 

Agency: Department of Education

OMB Control No.: 1820-0622

Title: Special Education—Personnel Preparation to Improve Services and Results for 

Children with Disabilities 

Purpose of Collection: The purpose of this information collection is to justify the expenditure of public 

funds under this program. Certain data collections, record keeping, and 

documentation are necessary to ensure that goals of the program are achieved. 

Section 673(h) of IDEA requires individuals who receive a scholarship through 

personnel preparation projects funded under the Act to subsequently provide 

special education and related services to children with disabilities (or, for 

leadership personnel to work in areas related to their preparation) for a period of 

two years for every year for which assistance was received. 

Why Increase Occurred: The collection deactivated pending legislation and was re-instated with change 

to reflect an additional 10,000 burden hours upon scholars (beyond the 142,500 

burden hours on grantees) that had not been included before. 

Change in Burden: 152,500 hours 

Agency: Department of Education 
OMB Control No.: 1840-0766

Title: Annual Performance Report (APR) for Title III and Title V Grantees

Purpose of Collection: The information gathered by the APR will be used to (1) monitor the yearly 

progress of Title III and V grantees; (2) to make non-competing continuation 

awards to grantees for the following year; and (3) collect GPRA data to report to 

policymakers. The project directors will compile the information for the report 

and submit it to the Department of Education via a secure web-based report or 

an optional paper format. Once received, the Title III and V program office and 

other applicable entities (IG, PMIT, Area Representatives, etc.) will analyze the 

APR. The results of the report have played and will continue to play a central 

role in approving continued funding. 

Why Increase Occurred: This collection was a new collection.

Change in Burden: 11,358 hours

Agency: Department of Education

OMB Control No.: 1890-0009

Title: Generic Application Package for Discretionary Grant Programs

Purpose of Collection: To provide a common and recognizable format of discretionary grant programs 

to applicants. 

Why Increase Occurred: Thirteen of the eighteen grants were existing programs which were transferred 

to this number; the remaining five grants were new grants in FY2002. All of 

these grants fall under the generic application guidelines that use EDGAR 

criteria and the standard forms. It is a streamlined format to allow for a common 

and easily recognizable format of discretionary grants. The Department 

anticipates more grant programs to use the generic guidelines for FY2003. 

Change in Burden: 181,984 hours 

Agency: Department of Energy

OMB Contr ol No.: 1905-0129

Title: Electric Power Surveys

Purpose of Collection: The Electric Power Surveys collect information on electric power capacity, 

generation, fuel consumption, fuel receipts, fuel stocks, prices, electric rates, 

construction costs, and operating income and revenue. Respondents include 

electric utilities, combined heat and power producers, electric reliability council 

members, and independent electric power system operators. Electric power data 

collected are used by the Department of Energy for analysis and forecasting. 

Why Increase Occurred: An increase in the information to be reported and the number of respondents 

caused an increase in total burden. Also, now includes information previously 

collected under ICR 1905-0197. 

Change in Burden: 92,485 hours 

Agency: Environmental Protection Agency

OMB Control No.: 2040-0229

Title: Information Collection Request for Long Term 1 Enhanced Surface Water 

Treatment Rule (Final Rule) 

Purpose of Collection: Monitoring, reporting, and recordkeeping are required at both the system and 

state levels under the National Primary Drinking Water Regulations (NPDWRs). 

Why Increase Occurred: New Rule. 

Change in Burden: 330,329 hours 

Agency: Environmental Protection Agency 
OMB Control No.: 2040-0235 

Title: Pollution Prevention Compliance Alternative; Transportation Equipment 

Cleaning Point Source Category 

Purpose of Collection: This collection covers recordkeeping associated with a pollutant management 

plan to demonstrate compliance. 

Why Increase Occurred: The recordkeeping associated with the pollution prevention alternative, 

previously unaccounted for and thus represents an increase, also offers facilities 

an option to decrease their overall burden and compliance costs. Pollution 

prevention is an appropriate and effective way to reduce pollutant discharges. 

The compliance option may be less costly than the technology options. 

Facilities can select the compliance option that best suits their waste streams and 

cleaning processes. 

Change in Burden: 19,144 hours 

Agency: Environmental Protection Agency 

OMB Control No.: 2040-0240 

Title: Aquatic Animal Production Industry Survey 

Purpose of Collection: Collect industry-specific information for regulatory development. The data are 

necessary to develop regulatory options and to support analysis to demonstrate 

technical feasibility and economic achievability. 

Why Increase Occurred: This increase reflects a one-time collection of information to support rule 

development. EPA thoroughly investigated and evaluated alternatives to 

collecting this data directly from the industry. The collection represents the 

least burdensome approach in the absence of suitable and reliable alternative 

data sources. 

Change in Burden: 19,840 hours 

Agency: Environmental Protection Agency 

OMB Control No.: 2040-0241 

Title: Information Collection Request for Cooling Water Intake Structures for Final 

Rule Covering New Facilities. 

Purpose of Collection: The final rule includes revisions for permit application and compliance. The 

information will be used to identify applicable requirements and whether the 

facility is meeting the regulatory goals. The data als o include monitoring and 

reporting to demonstrate compliance. 

Why Increase Occurred: The increase reflects new regulatory requirements for new electric generation 

and manufacturing facilities that select specific compliance tracks. 

Change in Burden: 40,376 hours 

Agency: Environmental Protection Agency 

OMB Control No.: 2040-0243 

Title: Minimum Monitoring Requirements for the Pulp, Paper, and Paperboard 

Effluent Limitations Guidelines and Standards 

Purpose of Collection: To demonstrate compliance with chloroform effluent discharge standards, 

dischargers may follow a monitoring schedule or reduce their monitoring burden 

by choosing this certification option. 

Why Increase Occurred: The recordkeeping associated with this compliance option, although not 

previously accounted for, also offers facilities an option to decrease their 

monitoring costs and thus, their overall burden. This voluntary certification 

program significantly reduces the costs associated with meeting and 

demonstrating compliance with chloroform numeric standards. 

Change in Burden: 36,858 hours 
Agency: Environmental Protection Agency

OMB Control No.: 2050-0096

Title: National Oil and Hazardous Substances Pollution Contingency Plan

Purpose of Collection: To address the recordkeeping and reporting provisions of the National 

Contingency Plan affecting states that voluntarily participate in the remedial 

action phase of the Superfund program. This ICR also addresses recordkeeping 

and reporting provisions affecting communities that voluntarily provide their 

concerns about the Superfund process and who voluntarily provide their 

feedback on community involvement activities. 

Why Increase Occurred: The increase is attributable to the number of sites expected to be added to the 

National Priorities List over the three-year period and revisions to the 

community involvement estimates based on an update of the activities 

conducted and the burden imposed by those activities. 

Change in Burden: 72,370 hours 

Agency: Environmental Protection Agency

OMB Control No.: 2060-0266

Title: Control Technology for Equivalent Emissions Limitations by Permit under 

Clean Air Act Section 112(j) 

Purpose of Collection: Respondents are owners and operators of facilities that come under source 

categories for which the section 112(j) hammer date has passed. Permitting 

authorities are state, local, or tribal air quality agencies who will make MACT 

floor determinations on a case-by-case basis as stated in the section 112(j) 

amended regulations. Respondents will submit MACT applications to the 

permitting authority for a MACT floor determination. The permitting authority 

will then make the MACT floor determination for each individual respondent. 

Why Increase Occurred: New regulation. 

Change in Burden: 152,457 hours 

Agency: Environmental Protection Agency

OMB Control No.: 2060-0489

Title: NESHAP for Source Categories: Generic Maximum Achievable Control 

Technology Standards (final rule) 

Purpose of Collection: Respondents are owners and operators of facilities in the carbon black, cyanide 

chemicals, ethylene, and spandex production source categories. Respondents 

would submit notification and information indicating the performance of air 

pollution controls. 

Why Increase Occurred: New regulation. 

Change in Burden: 33,926 hours 

Agency: Environmental Protection Agency

OMB Control No.: 2070-0033

Title: TSCA Existing Chemical Test Rules, Consent Orders, Test Rule Exemptions, 

and Voluntary Test Data Submissions 

Purpose of Collection: Test rules and consent orders are designed to provide the Agency with chemical 

information needed to assess risk. Section 4 of the Toxic Substances Control 

Act (TSCA) provides EPA with the authority to collect this information. 

Why Increase Occurred: This ICR includes burden associated with the Chemical Right-to-Know 

Initiative, which includes the HPV Challenge Program and the Children’s 

Health Challenge Program. The HPV Challenge Program is a voluntary 
initiative under which manufacturers of HPV chemicals will voluntarily develop 

and/or submit certain Organization for Economic Cooperation and Development 

(OECD) screening level studies for the chemicals they manufacture. Similarly, 

the Children’s Health Challenge Program is a voluntary initiative under which 

manufacturers of chemicals with identified children's health concerns agree to 

submit available data or conduct any needed testing for the chemicals they 

manufacture. 

Change in Burden: 1,106,124 hours. 

Agency: Environmental Protection Agency

OMB Control No.: 2070-0093

Title: (Final Lead Rule) Toxic Chemical Release Reporting, Recordkeeping, Supplier 

Notification and Petitions under Section 313 of the Emergency Planning and 

Community Right-to-Know Act (EPCRA) 

Purpose of Collection: This collection is an addendum to the existing ICR approval to collect 

information under section 313 of the Emergency Planning and Community 

Right-to-Know Act (EPCRA) and section 6607 of the Pollution Prevention Act 

of 1990. Reporters submit information concerning toxic chemical releases into 

the air, land, and water. This addendum is related to (1) an adjustment to more 

accurately reflect actual reporting by TRI expansion (non-manufacturing) 

industries and (2) the final TRI lead rulemaking, which lowers the reporting 

threshold for lead and lead compounds. 

Why Increase Occurred: New regulation. 

Change in Burden: 786,169 hours 

Agency: Federal Energy Regulatory Commission

OMB Control No.: 1902-0174 

Title: Standards for Business Practices of Interstate Natural Gas Pipelines, FERC549C (RM96-1-020) 

Purpose of Collection: The FERC adopted regulations to standardize the business practices and 

communication methodologies of interstate pipelines in order to create a more 

integrated and efficient pipeline grid. In those orders, the Commission 

incorporated by reference consensus standards developed by GISB (now 

NAESB, North American Energy Standards Board), a private consensus 

standards developer composed of members from all segments of the natural gas 

industry. 

Why Increase Occurred: The Commission proposed the adoption of Version 1.5 of NAESB’s consensus 

standards. Version 1.5 provides shippers with greater flexibility in structuring 

transactions, and enhances the liquid ity of the natural gas market by providing 

for an accurate accounting of gas purchase and sale transactions and integrating 

these transactions into the pipeline scheduling process. The principal changes 

occur in the areas of title transfer tracking, imbalance netting and trading, and 

improvement standards for conducting business transactions electronically over 

the Internet. 

Change in Burden: 420,918 hours 

Agency: Federal Energy Regulatory Commission

OMB Control No.: 1902-0096 

Title: Electric Rate Schedule Filings, FERC-516 (RM01-8-000)

Purpose of Collection: Under the authority of Sections 205 and 206 of the Federal Power Act (FPA), 

the FERC has the authority to ensure that transmission to interstate commerce 

and rates, contracts, and practices affecting transmission services, do not reflect 
an undue preference or advantage (or undue prejudice or disadvantage) and are 

just, reasonable, and not discriminatory or preferential. 

How Increase Occurred: On April 25, 2002, the FERC proposed to replace the current procedure whereby 

public utilities file short-term and long-term service agreements for marketbased sales of electric energy, service agreements for generally applicable 

services, such as point to point transmission service, and Quarterly Transaction 

reports summarizing their short-term sales and purchases of power at marketbased rates. Instead, public utilities will file electronically Electric Quarterly 

Reports summarizing the contractual terms and conditions in their agreements 

for all jurisdictional services (including market-based power sales, cost-based 

power sales and transmission service) and transmission information for shortterm and long-term market-based power sales and cost based power sales during 

the most recent calendar quarter. Implementation of the reporting requirements 

will take place in two phases: an interim phase through October 31, 2002 and 

then a final phase thereafter. 

Change in Burden: 40,776 hours 

Agency: Department of Health and Human Services

OMB Control No.: 0920-0406

Title: State and Local Area Integrated Telephone Survey (SLAITS)

Purpose of Collection: The State and Local Area Integrated Telephone Survey (SLAITS) uses an 

integrated, coordinated framework to maximize analytic potential, minimize 

cost, provide data for sub-national and national comparisons, and avoid 

unnecessary respondent burden. It is one of the few population-based survey 

mechanism within DHHS designed to produce standardized and comparable 

data across states over time on general health and health related topics 

Why Increase Occurred: NCHS continues to maximize existing Federal sampling frames and survey 

infrastructures through pilot testing and adding new modules to the National 

Immunization Survey. These modules address significant issues in pediatric 

health, special needs, and well being. 

Change in the Burden: 60,863 hours 

Agency: Department of Health and Human Services

OMB Control No.: 0920-0555

Title: National Public Health Performance Standards Program Local Public Health 

Performance Assessment 

Purpose of Collection: PHPPO will collect, analyze, and disseminate data on the public health 

infrastructure and performance of local health jurisdictions. The data is based 

on the framework of ten essential services and will be used to monitor progress 

toward accomplishment of national infrastructure objectives in Healthy People 

2010 and by health officials/policy makers for quality improvement and 

strategic planning. 

Why Increase Occurred: New submission. 

Change in the Burden: 28,008 hours 

Agency: Department of the Interior

OMB Control No.: 1010-0151

Title: Proposed Rulemaking—30 CFR 250, Subpart B, Plans and Information (Forms 

MMS-137, MMS-138, MMS-139, MMS-141, MMS-NEW) 

Purpose of Collection: To address a proposed rulemaking that will provide lessees with supplementary 

guidance and procedures on submitting exploration and development and 

production plans. Sections 11 and 25 of the OCS Lands Act require holders of 
OCS oil and gas or sulfur leases to submit plans for approval before beginning 

any such offshore activities. The information collected is used to analyze and 

evaluate planned operations in the OCS to ensure that they are safe and will not 

adversely affect the environment before being approved. 

Why Increase Occurred: Proposed rulemaking incorporates new and expanded requirements, which 

include new information collection require ments. 

Change in Burden: 10,410 hours 

Agency: Department of Justice

OMB Control No.: 1115-0249

Title: Contacts Concerning Project Speak Out (INS Practitioner Fraud Pilot Program)

Purpose of Collection: This form is used by the agency to evaluate the INS Practitioner Fraud Pilot 

Program to ensure that all persons eligible to benefit from this program are 

being included and receiving the appropriate assistance. This form is completed 

by community-based organizations assisting the agency as complaint intake 

organizations. 

Why Increase Occurred: This is a new information collection established to standardize the method of 

recording the number of individuals contacting community-based organizations 

concerning the INS Practitioner Fraud Pilot Program. INS will use the 

information collected on the form to determine how many persons are served by 

the program and if its public outreach efforts are successful. 

Change in Burden: 51,960 hours 

Agency: Department of Labor

OMB Control No.: 1205-0240

Title: Labor Exchange Reporting System

Purpose of Collection: To collect standardized information pertaining to customers in Wagner-Peyser 

programs and report for the purposes of general program oversight, evaluation 

and performance assessment. 

Why Increase Occurred: New requirement to access wage record data and report program outcomes 

based on the new Labor Exchange Performance Measures and the new VETS 

Performance Measures. 

Change in Burden: 18,361 hours 

Agency: Department of Labor

OMB Control No.: 1205-0429

Title: Reporting and Performance Standards for Migrant and Seasonal Farmworker: 

Youth Programs under Title I-D, Section 167 of the Workforce Investment Act 

(WIA) 

Purpose of Collection: The data is used for program management activities, to identify areas in need of 

technical assistance, and for performance measurement. 

Why Increase Occurred: New collection that will help ETA better identify areas in need of technical 

assistance and performance measurement. 

Change in Burden: 15,650 hours 

Agency: Department of Labor

OMB Control No.: 1205-0430

Title: Resource Justification Model (RJM)

Purpose of Collection: Replaces the current methodologies for budget formulation and grant allocation 

to the States for the unemployment insurance program. 

Why Increase Occurred: To improve methodology for budget formulations. 
Change in Burden: 12,349 hours 

Agency: Department of Labor 

OMB Control No.: 1205-0431 

Title: Unemployment Insurance Data Validation Program 

Purpose of Collection: Requires States to implement and operate a system for ascertaining the validity 

(adherence to Federal reporting requirements) of specified unemployment 

insurance data submitted to the ETA; also used to assess performance or 

determinate States’ grants for UI administration. 

Why Increase Occurred: New request that implements a new system to better ascertain validity and 

adherence to Federal program requirements. 

Change in Burden: 30,187 hours 

Agency: Department of Labor

OMB Control No.: 1220-0032

Title: Annual Refiling Survey (ARS) (formerly called the Standard Industrial 

Classification (SIC) forms) 

Purpose of Collection: Verify the accuracy of industry codes for business establishments covered by 

State Unemployment Insurance (U.I.) programs. 

Why Increase Occurred: The increase in burden hours reflects a return to the normal ARS survey criteria 

of verifying one-third of approximately 7.8 million establishments. 

Change in Burden: 53,852 hours 

Agency: Department of Labor

OMB Control No.: 1220-0045

Title: Survey of Occupational Injuries and Illnesses

Purpose of Collection: Provides data on nonfatal occupational injuries and illnesses for the Nation and 

for States. 

Why Increase Occurred: A change in recordkeeping requirements resulted in an increase in burden hours. 

Change in Burden: 142,875 hours 

Agency: Department of Labor

OMB Control No.: 1220-0100

Title: Current Population Survey (CPS) Basic Labor Force

Purpose of Collection: Principal source of the official government statistics on employment and 

unemployment. 

Why Increase Occurred: Total respondent burden for the collection of labor force information increased 

by 12,600 hours due to an increase in the number of households interviewed 

(from 48,000 to 57,000). 

Change in Burden: 12,600 hours 

Agency: Department of Labor

OMB Control No.: 1220-0164

Title: National Compensation Survey

Purpose of Collection: Survey which collects employee compensation, benefits, and occupation data. 

(The NCS is the result of the integration of three former separate BLS surveys: 

the Employment Cost Index (ECI), the Occupational Compensation Survey 

Program (OCSP), and the Employee Benefits Survey (EBS)). 

Why Increase Occurred: Increase in burden hours due to the addition of sample units to the survey. 
Change in Burden: 19,533 hours 

Agency: Department of Labor 

OMB Control No.: 1290-0003 

Title: Information Collection Plan for GovBenefits Online 

Purpose of Collection: The Department serves as the managing partner of the Administration’s 

GovBenefits (formerly “Eligibility Assistance Online”) strategy for assisting 

citizens in identifying and locating information on benefits sponsored by the 

Federal government. This service will greatly reduce the burden on citizens 

attempting to locate benefits available from many different government agencies 

by providing one-stop access to information on obtaining those benefits. 

Why Increase Occurred: Respondents answer a series of questions to the extent necessary for locating 

relevant information on Federal benefits. Responses are used by the respondent 

to expedite the identification and retrieval of sought after information and 

resources pertaining to benefits sponsored by the Federal government. 

Change in Burden: 20,000 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0033 

Title: Records to be Made by Certain Exchange Members, Brokers, and Dealers— 

Rule 17a-3 

Purpose of Collection: Used by examiners and other representatives of the Commission, and the Selfregulatory organizations (SROs) to ensure that the broker or dealer is in compliance 

with the Commission’s financial responsibility program and antifraud and antimanipulation rules as well as other rules and regulations of the Commission and the 

SROs. 

Why Increase Occurred: Rule amended: Rule 17a-3 was extensively amended to include a number of new 

recordkeeping requirements. Amendments to Rule 17a -3 require the following 

of broker-dealers: send account information to customers for verification within 

30 days of account opening and at least every 36 months thereafter; obtain 

certain specified information from their customers; contact customer and make a 

record of a customer’s consent for discretionary accounts; and keep a record 

relating to written customer complaints. The amendments also added 

recordkeeping requirements relating to order tickets. 

Change in Burden: 1,317,454 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0078 

Title: Customer Protection—Reserves and Custody of Securities—Rule 15c3-3 

Purpose of Collection: Provides for the protection of customer funds and securities in the custody of a 

broker-dealer. The Rule sets forth standards for (i) a broker dealer’s acceptance, 

custody, and use of customer securities, and (ii) the maintenance of reserves 

with respect to customer deposits and monies obtained from the use of customer 

securities. 

Why Increase Occurred: The Commission adopted new requirements designed to eliminate conflicting 

and duplicative customer protection, recordkeeping, and reporting regulations 

applicable to security futures products . 

Change in Burden: 858,913 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0279
Title: Records to be Preserved by Certain Exchange Members, Brokers and Dealers— 

Rule 17a-4 

Purpose of Collection: Requires certain records to be maintained by certain exchange members and 

registered brokers and dealers. The Rule serves to standardize prudent business 

practices. It also specifies the length of time that certain records relating to 

transactions in security futures products must be maintained. In addition, it 

would require broker-dealers, if requested by a Commission representative or 

self-regulatory organization, to obtain certain documents underlying exchanges 

of security futures products for physical securities and provide them to the 

requesting regulator. 

Why Increase Occurred: Rule amended to expand the type and number of broker-dealer and exchange 

member records that must be maintained for specified periods of time. 

Change in Burden: 38,868 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0444 

Title: Confirmation Requirements for Transactions of Security Futures Products 

Effected in Futures Accounts—Rule 10b-10 

Purpose of Collection: Requires broker-dealers to provide confirmations, at or before the completion of 

each securities transactions effected for a customer’s account, to the customer to 

disclose certain basic terms of the transaction. 

Why Increase Occurred: Amended to permit alternative information disclosure requirements in 

confirmations provided to customers in security futures products in a futures 

account. 

Change in Burden: 2,000,000 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0060 

Title: Form 8-K 

Purpose of Collection: Every issuer that is subject to Section 13(a) or 15(d) under the Exchange Act 

must file periodic and current reports with the Commission containing 

information about its business and financial condition. In Securities Act Release 

No. 8090, the Commission proposed amendments to provide investors with 

prompt disclosure of information about its director and executive officer 

transactions in registrant equity securities and certain related activities so that 

investors will be able to make investment and voting decisions on a betterinformed and more timely basis. The proposed amendments would require 

registrants with a class of equity securities registered under Section 12 of the 

Exchange Act to promptly disclose certain information about these transactions 

and activities by filing a current report on Form 8-K. 

Why Increase Occurred: The proposed amendments would increase the number of Forms 8-K filed with 

Commission, thereby increasing the number of burden hours and costs 

associated with this form. Part of the increase also is attributable to the fact that 

the Commission changed the estimated percentage of the reporting burden 

carried internally to 75% and the percentage of the burden carried externally to 

25%. 

Change in Burden: 484,425 hours 

Agency: Social Security Administration 

OMB Control No.: 0960-0646 

Title: National Teacher Questionnaire, SSA-5665-BK Information About the Working 

Age Child, SSA-5665-SUP 
Purpose of Collection: SSA must consider all relevant evidence in the case record in determining 

whether a child is disabled under title XVI of the Act when making an initial 

disability determination, a reconsideration of eligibility or a continuing 

disability determination. This may include medical evidence, school records 

and employment history—information from people who know the child and 

can provide evidence about the child’s functioning. 

Why Increase Occurred: SSA developed standardized forms to replace State versions of the forms used 

by the Disability Determination Services (DDS). The State forms varied a great 

deal in format and content, reliability, and effectiveness in evaluating the 

functional limitations resulting from a child’s impairment(s). There was an 

increase in SSA’s information collection budget when the standard forms were 

approved because SSA did not previously account for the burden imposed by the 

State forms. 

Change in Burden: 277,416 hours 

Agency: Social Security Administration 

OMB Control No.: 0960-0650 

Title: Internet Social Security Disability Report (ISSDR)5 

Purpose of Collection: The information collected on ISSDR will be used by the State Disability 

Determination Services (DDS) evaluator to develop medical evidence and to 

assess the alleged disability. The information, together with medical evidence, 

forms the evidentiary basis upon which the initial disability evaluation is 

founded. 

Why Increase Occurred: The ISSDR is a self-help Internet application that augments the current paperbased collection (SSA-3368-BK, OMB No. 0960-0579). The Internet 

application takes longer to complete, because the Internet version has onscreen 

help in the form of explanations and examples to be read while completing the 

questions. However, this time is offset by added public convenience and SSA 

processing efficiencies as follows: 1) The ISSDR allows the public flexibility to 

complete the application at the time and place of there choice, eliminating both 

travel and scheduling conflicts. 2) The application permits information to be 

entered over multiple sessions so users can stop and return later if they need to 

for any reason. 3) Dynamic pathing embedded within the application tailors 

ISSDR to meet individual claimant needs, so the claimant is directed only to 

information necessary. These features in conjunction with the agency’s 

initiative to create a fully electronic process for taking disability claims will 

further enhance SSA’s ability to deliver fast and accurate claims service. This 

will further benefit the public by eliminating delays in claim adjudication due to 

lost documentation or claims folders as well as improving efficiency to SSA’s 

field offices and the Disability Determination Services. 

Change in Burden: 132,000 Hours 

Agency: Department of State 

OMB Control No.: 1405-0135 

Title: J-1 Waiver Visa Application 

Purpose of Collection: To record the information required by 22 CFR 41.63 for a waiver request filed 

with the Secretary of State 

Why Increase Occurred: The President has directed stricter controls on visas in response to the terrorist 

attacks of September 11, 2001. 

5

 The ISSDR is a part of the AeDib application that when fully operational will encompass a suite of self-directed 

disability information collections which will seamlessly collect medical, vocational, and educational information 

necessary to develop disability claims for adjudication. 
Change in Burden: 20,000 hours 

Agency: Department of Transportation

OMB Control No.: 2105-0548

Title: Procedures for Compensation of Air Carriers

Purpose of Collection: The purpose of this information collection is to collect from U.S. air carriers 

information for the purposes of determining eligibility for compensation under 

the Air Transportation Safety and System Act. This information is needed in 

order to assist the Department in assessing whether carriers are eligible for 

compensation and, if so, the amount of compensation that should be paid. 

Why Increase Occurred: New Information Collection. 

Change in Burde n: 43,164 hours 

Agency: Department of Transportation

OMB Control No.: 2120-0679

Title: Reduced Vertical Separation Minimum (RVSM)

Purpose of Collection: Aircraft operators seeking operational approval to conduct Reduced Vertical 

Separation Minimum (RVSM) operations within the 48 contiguous states of the 

United States, Alaska and that portion of the Gulf of Mexico where the FAA 

provides air traffic services must submit their application to the Certificate 

Holding District Office (CHDO). The CHDO registers RVSM approved 

airframes in the FAA RVSM Approvals Database. When operators complete 

airworthiness, continued airworthiness and operations program requirements, 

the CHDO grants operational approval. 

Why Increase Occurred: This is a Notice of Proposed Rulemaking that will require aircraft operators 

seeking operational approval to conduct RVSM operations within the 48 

contiguous States of the United States, Alaska and that portion of the Gulf of 

Mexico where the FAA provides air traffic services to submit application to 

their Certificate Holding District Office. 

Change in Burden: 68,250 hours 

Agency: Department of Transportation

OMB Control No.: 2120-0673

Title: Criminal History Records Checks 14 CFR Parts 107 and 108

Purpose of Collection: This was an emergency rule that required airport and aircraft operators to 

fingerprint those covered individuals at all categories of airports that previous to 

11/14/01, were not subject to a criminal history records check. 

Why Increase Occurred: The terrorist’s attacks of September 11, 2001 caused the FAA to reexamine the 

provisions for criminal history records checks. The FAA created a rule that 

would expand the population from which fingerprints are collected. 

Change in Burden: 123,471 hours 

Agency: Department of Transportation

OMB Control No.: 2120-0680

Title: Part 60—Flight Simulation Device Initial and Continuing Qualification and Use 

(NPRM) 

Purpose of Collection: Ensuring complete and adequate training, testing, checking, and experience is 

obtained and maintained by those who operate under Parts 61, 63, 91, 121, 135, 

141, and 142 of the regulation and who use flight simulation in lieu of aircraft 

for these functions. 

Why Increase Occurred: Amendment to an existing regulation (14 CFR part 60). 
Change in Burden: 201,653 hours 

Agency: Department of Transportation

OMB Control No.: 2125-0590 

Title: Customer Satisfaction Surveys

Purpose of Collection: FHWA plans to conduct 32 customer satisfaction surveys at various times 

during the next 2 years. This plan will be used by FHWA management in 

several ways: 1) to evaluate an overall agency strategy on conducting customer 

surveys and utilizing the data that is received; 2) to ensure that there is no 

duplication for surveys that cross program areas within FHWA; 3) to prioritize 

required surveys; and 4) to use for obtaining OMB’s approval. 

Why Increase Occurred: New Information Collection. 

Change in Burden: 12,433 hours 

Agency: Department of Transportation

OMB Control No.: 2126-0016

Title: Revision of Licensing Application Forms, Application Procedures, and 

Corresponding Regulations 

Purpose of Collection: This collection allows the Federal Motor Carrier Safety Administration 

(FMCSA) to evaluate applications filed by Mexican motor carriers for operating 

authority to transport international cargo in foreign commerce across the U.S.-

Mexico border into and out of the commercial zone. 

Why Increase Occurred: The increase allows additional effort for the first year after the NAFTA rules are 

in effect (i.e., re -filings and initial new filings) of the OP-1 (MX) application. 

Change in Burden: 18,941 hours 

Agency: Department of Transportation

OMB Control No.: 2126-0019

Title: Application for Certificate of Registration for Foreign Motor Carriers and 

Foreign Private Carriers 

Purpose of Collection: This collection allows the Federal Motor Carrier Safety Administration 

(FMCSA) to evaluate applications filed by Mexican motor carriers for operating 

authority to transport international cargo in foreign commerce across the U.S.-

Mexico border within the commercial zone. 

Why Increase Occurred: A final rule (RIN 2126-AA33), “Revision of Regulations and Application Form 

for Mexican-Domiciled Motor Carriers to Operate in U.S. Municipalities and 

Commercial Zones on the U.S.-Mexico Border” revised regulations and the OP2 application form. The increase reflected the anticipated increased burden for 

the first year after the rule is in affect. 

Change in Burden: 21,818 hours 

Agency: Department of Transportation

OMB Control No.: 2127-0579

Title: Generic Clearance for Customer Surveys

Purpose of Collection: The purpose of the surveys are to assist in understanding customer needs, 

satisfaction with existing products and services, perspectives on highway safety 

problems, and ideas on how to improve highway safety. 

Why Increase Occurred: The increased occurred to meet the agency’s increasing demand to have access 

to detailed information on trends and potential problems in traffic safety that are 

emerging before manifesting in the nation’s crash data records. 

Change in Burden: 13,418 hours 
Agency: Department of Transportation

OMB Control No.: 2137-0034

Title: Hazardous Materials Shipping Papers & Emergency Response 

Information 

Purpose of Collection: Shipping papers and emergency response information identifies the presence of 

hazardous materials to assist carrier personnel and emergency responders in the 

proper safety procedures and incident mitigation. 

Why Increase Occurred: Docket HM -232, NPRM, “Security Requirements for Offerors and Transporters 

of Hazardous Materials ” was published on May 2, 2002, proposing to require 

the name and address of the consignor and consignee and the shippers DOT 

Hazmat registration number, if applicable, in order to enhance the security of 

hazardous materials shipments. 

Change in Burden: 361,111 hours 

Agency: Department of Treasury

OMB Control No.: 1550-0109

Title: Recordkeeping and Confirmation Requirements for Securities Transactions

Purpose of Collection: To govern the recordkeeping and confirmation requirements for savings 

associations that effect securities transactions. 

Why Increase Occurred: New collection. 

Change in Burden: 11,077 hours 

Agency: Department of Treasury

OMB Control No.: 1545-0074

Title: 2001 Form 1040 and Schedules, U.S. Individual Income Tax Return

Purpose of Collection: This form is used by individual taxpayers to report their taxable income and 

calculate their correct tax liability. 

Why Increase Occurred: Three lines were added for the Third Party Designee. Also, lines and Code 

references were added throughout the form, schedules, and instructions. 

Change in Burden: 3,192,112 hours 

Agency: Department of Treasury

OMB Control No.: 1545-0029

Title: Forms 941, 941-PR and 941-SS, Employer’s Quarterly Federal Tax Return

Purpose of Collection: Forms 941 is used by employers to report payments made to employees subject 

to income and social security/Medicare taxes and the amounts of these taxes. 

Form 941-PR is used by employers in Puerto Rico to report social security and 

Medicare taxes only. Form 941-SS is used by employers in the U.S. possessions 

to report social security and Medicare taxes only. 

Why Increase Occurred: Four lines were added to Forms 941, 941-PR, and 941-SS for the Third Party 

Designee, resulting in the addition of 12 lines. 

Change in Burden: 22,497,698 hours 

Agency: Department of Treasury

OMB Control No.: 1545-0142

Title: Underpayment of Estimated Tax by Corporations

Purpose of Collection: Form 2220 is used by corporations to determine whether they are subject to the 

penalty for underpayment of estimated tax and, if so, the amount of the penalty. 

IRS uses the form to determine if the penalty was correctly computed. 
How Reduction Achieved: Special consideration to firms affected by September 11, 2001 terrorist attacks 

and “suspended research” credit. 

Change in Burden: -856,440

Agency: Department of Veteran Affairs

OMB Control No.: 2900-0570

Title: Generic Veterans Health Administration Satisfaction Surveys

Purpose of Collection: Site specific surveys designed to determine the level of satisfaction among 

customers with existing VA services. Baseline data obtained through these 

information collections are used to develop customer service standards. 

Why Increase Occurred: Continued emphasis on quality improvement. 

Change in Burden: 75,069 hours 

FY 2003 Reductions 

Streamlining Regulations 

Agency: Department of Agriculture

OMB Control No.: 0584-0293

Title: Commodity Supplemental Food Program—Plain Language, Program 

Accountability, and Program Flexibility 

Purpose of Collection: (1) Federal/State Agreement 

(2) State Plan of Operation 

(3) Application/Recertifications 

(4) Verification of Certification Form 

(5) Management Reviews 

(6) Records of Participant Claims 

How Reduction Achieved: Revision of currently approved collection by making the Federal/State 

Agreement permanent rather than an annual submission; making the State Plan 

of Operation permanent with amendments submitted as needed, rather than an 

annual submission; allowing State agencies to extend the certification of Elderly 

participants for 6 months without a formal review of eligibility; removing 

requirement that local agencies provide a Verification of certification form to 

participants moving to another location; requiring State and local agencies to 

establish and pursue claims against participants ; and requiring that State 

agencies perform management evaluation of local agencies every two years, 

rather than annually. 

Change in Burden: –90,559 hours 

Agency: Environmental Protection Agency

OMB Control No.: 2060-0258

Title: Acid Rain Program under Title IV of the CAA Amendments of 1990

Purpose of Collection: Under the Clean Air Act, the Agency collects sulfur dioxide and nitrogen oxides 

emissions data from electric utility power plants. This data is used by the 

Agency and the public to determine compliance. It’s also used in data modeling 

to evaluate environmental benefits and estimate health effects of emissions 

reductions. 

How Reduction Achieved: The Agency revised the emissions monitoring and reporting rules under 40 CFR 

Part 75 of the Acid Rain Program regulations. The rule changes will reduce the 
respondent burden by providing streamlined monitoring options for lowemitting facilities and improving automated tools for submitting quarterly 

emissions reports. 

Change in Burden: -37,000 hours 

Agency: Department of Labor 

OMB Control No.: 1218-0010; 1218-0061;1218-0085;1218-0092; 1218-0104; 1218-0126;1218-

0128;1218-0134;1218-0185; 1218-0186; 1218-0189;1218-0195 

Title: Standards Improvement Project-Phase II; Proposed Rule 

Purpose of Collection: The Standard Improvement Project—Phase II will remove and revise health 

provisions contained in its standards for general industry, shipyard employment, 

and construction, that are out of date, duplicative, unnecessary, or inconsistent. 

How Reduction Achieved: On October 31, 2002, OSHA published the Standards Improvement Project— 

Phase II proposed rule (67 FR 66494). The Agency made a preliminary finding 

that the revisions to certain health standards would reduce regulatory burden 

without reducing the health protection that these standards currently provide to 

employees. The changes also would simplify and clarify the requirements of 

these provisions, thereby facilitating employer compliance, improving employee 

protection and reducing paperwork. Health Standards with collections of 

information are: (title, followed by OMB number ) Vinyl Chloride, 29 CFR 

1910.1017(1218-0010); Cotton Dust, 29 CFR 1910.1043 (1218-0061); The 13 

Carcinogens Standard, 29 CFR 1910.1003, (1218-0085); Lead in general 

industry, 29 CFR 1910.1025,(1218-0092); Inorganic Arsenic, 29 CFR 

1910.1018 (1218-0104); Acrylonitrile, 29 CFR 1910.1045 (1218-0126); Coke 

Oven emissions, 29 CFR 1910.1028 (1218-0128); Asbestos in Construction, 29 

CFR 1926.1101 (1218-0134); Cadmium in General Industry, 29 CFR 1910.1027 

(1218-0185); Cadmium in Construction (1218-0186); Lead in Construction, 29 

CFR 1926.62 (1218-0189); Asbestos in Shipyards 29 CFR 1915.1001 (1218-

0195). 

Change in Burden: -207,893 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0202 

Title: Initiation or Resumption of Quotations Without Specified Information— 

Rule 15c2-11 

Purpose of Collection: This information maintenance requirement is intended to have a broker-dealer give 

some measure of attention to financial and other information about an issuer before 

it initiates or resumes quotations for that issuer's securities. To satisfy the Rule’s 

requirement,broker-dealers should obtain and review information about issuers of 

covered over-the-counter securities and determine that they have a reasonable basis 

for believing that the information is current, accurate, and from reliable sources. 

How Reduction Achieved: Proposed amendments would exclude those securities satisfying any one of three 

alternative tests based on: the value of the security’s average daily trading 

volume; the security’s bid price; or the issuer’s total assets and shareholder 

equity. The proposed amendments would also exclude debt securities, nonparticipatory preferred stock, and investment grade asset-backed securities. 

These measures would reduce the number of respondents as well as the overall 

burden on respondents. 

Change in Burden: -60,898 hours 

Agency: Department of Treasury 

OMB Control No.: 1545-1466
Title: Third Party Disclosure Requirements in IRS Regulations

Purpose of Collection: Covers a large number of different regulatory provisions regarding disclosure to 

third parties. 

How Reduction Achieved: Largest decreases due to elimination of regulatory provisions. 

Change in Burden: -1,041,645 

Eliminating Redundancies 

Agency: Department of Housing and Urban Development

OMB Control No.: 2502-0182

Title: Certification & Application for Housing Assistance Payments (HAPs)

Purpose of Collection: These forms are used by owners to request monthly housing assistance 

payments for eligible households, and for other payments. 

How Reduction Achieved: HUD streamlined its data collection and improved performance indicators and 

measurements. Three forms were consolidated into one, two forms were 

deleted, and the form HUD-9902 was improved to reflect a more complete 

representation of housing counseling outcomes. 

Change in Burden: -105,525 hours 

Agency: Department of the Interior

OMB Control No.: 1029-0063

Title: Coal Production and Reclamation Fee Report

Purpose of Collection: The information received from the OSM-1 report is used to maintain a record of 

coal produced for sale, transfer or use nationwide each calendar quarter, the 

method of coal removal and the type of coal, and the basis for coal tonnage 

reported. Individual reclamation fee payment liability is based on this 

information and is required by SMCRA as amended by P.L. 101-508. 

How Reduction Achieved: The OSM is exploring improving efficiency by consolidating the OSM-1 Form 

with the Mine Safety and Health Administration’s (MSHA’s) 7000-2 Form and 

the Internal Revenue Service’s Form 720 for coal operators submitting excise 

tax information. If implemented, this initiative should reduce the burden placed 

on coal mining operators who submit multiple reports to several agencies, and 

should reduce conflicting or confusing coal industry-reported figures. 

Change in Burden: -10,000 hours 

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0070

Title: Form 10-Q

Purpose of Collection: Every issuer that is subject to Section 13(a) or 15(d) under the Exchange Act 

must file periodic and current reports with the Commission containing 

information about its business and financial condition. In Securities Act Release 

No. 8160, we proposed to provide investors with more information about 

important extraordinary corporate events on a more timely basis so that 

investors will be able to make investment and voting decisions. 

How Reduction Achieved: The proposed amendments would decrease the burden associated with Form 10-

Q because several of the disclosures currently required to be reported on Form 

10-Q would be reported instead on Form 8-K. 

Change in Burden: -20,060 hours 
Agency: Social Securities Administration

OMB Control No.: 0960-0536

Title: SSA-1587-OCR-SM / Beneficiary Recontact Report

Purpose of Collection: The SSA-1587 is used to detect unreported marriages of minor children. Studies 

conducted by SSA and a match (made by the Office of the Inspector General) of 

marriage records to our Master Beneficiary Record disclosed that a number of 

children who married failed to report the marriage. This form requests marriage 

status from our child beneficiary population most likely to marry, ages 15-17. 

Based on the information collected, SSA terminates benefits according to the 

statute to prevent additional overpayments from accruing. 

How Reduction Achieved: Only 17 year old recipients with no second request, suspensions, or terminations 

will be targeted. 

Change in Burden: -31,118 hours 

Agency: Department of Veteran Affairs

OMB Control No.: 2900-0609

Title: Survey of Veteran Enrollees’ Health and Reliance upon VA (VA Forms 10-

21034g and h) 

Purpose of Collection: Study of enrollees' health status, income and reliance upon the VA system will 

provide information for planning & policy development for actuarial projections 

of enrollment, utilization, expenditures & mandated annual enrollment reforms. 

How Reduction Achieved: The lengthy clinical portion of the “Census of the Health of Veterans’ is either 

being eliminated or dramatically shortened and combined with 2900-0227. 

Change in Burden: -243,008 hours 

Simplifying Forms 

Agency: Department of Health and Human Services

OMB Control No.: 0938-0301

Title: Provider Cost Report Reimbursement Questionnaire and Supporting Regulations 

42 CFRE 413.20, 413.24 CMS-339 

Purpose of Collection: This form and instructions assists the provider in preparing an acceptable cost 

report and minimize subsequent contact between the provider and intermediary. 

It provides the basic data elements with related worksheet computations to 

develop the hospital and physician component cost so that Medicare costs are 

properly allocated between the Part A and the Part B trust funds. 

How Reduction Achieved: The change is a combination of both a program change and an adjustment -

mostly programchange. The hours per response were reduced by requiring less 

information: from 40.5 hours per response to 29.5 hours per response. Therefore 

335,786 hours is from program change and 106,029 hours is due to adjustment. 

Change in Burden: -441,815 

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0330

Title: Form N-SAR under the Investment Company Act of 1940, Semi-Annual Report 

for Registered Investment Companies 

Purpose of Collection: The information in Form N-SAR is required to keep reasonably current the 

information in the filer’s registration statement and to monitor the operations of 

registered investment companies so that the Commission can use inspection and 

document review resources effectively. Filers on the Form submit their 

responses electronically as data that is incorporated into a database of 
investment company information maintained by the Commission for automated 

analysis. 

How Reduction Achieved: Section 302 of the Sarbanes-Oxley Act of 2002 requires the Commission to 

adopt rules under which the principal executive officer or officers and the 

principal financial officer or officers, or persons performing similar functions, of 

an issuer each must certify the information contained in the issuer’s “quarterly 

and annual reports” filed or submitted under Section 13(a) or 15(d) of the 

Securities Exchange Act of 1934 (“Exchange Act”). Form N-SAR is currently 

the reporting form designated for all registered investment companies to comply 

with their reporting requirements under the Exchange Act. To implement 

Section 302 with respect to registered investment companies, the Commission 

amended Form N-SAR to require the investment companies to file with the 

Commission the certification specified by Section 302 as an exhibit to Form NSAR. In 2002, the Commission proposed a new form to meet the requirements 

of the Sarbanes-Oxley Act, Form N-CSR. If the Commission adopts Form NCSR and decides that registered investment companies no longer need to file the 

certification as an exhibit to Form N-SAR, the Commission will submit an 

information correction worksheet requesting a reduction of the burden of Form 

N-SAR. 

Change in Burden: -36,049 hours 

Agency: Department of Treasury

OMB Control No.: 1545-1619

Title: Information to Claim Earned Income Credit after Disallowance

Purpose of Collection: When earned income tax credit is improperly claimed, taxpayer is disallowed 

from using it for a statutory period. 

How Reduction Achieved: Reflects legislative changes and redesign of the form. 

Change in Burden: -420,000 

Agency: Department of Veteran Affairs

OMB Control No.: 2900-0091

Title: Health Benefits Application and Renewal (VA Forms 10-10EZ and 10-10EZR)

Purpose of Collection: Collects information to enroll for health care benefits, establishes basic 

eligibility, identifies 3rd party health insurance coverage & identifies 

prescription co-payment and serves as a mechanism for yearly financial updates. 

How Reduction Achieved: Program Change results from the development of a new form (10-10EZR) for 

updated information that eliminates the need for again providing information 

which does not change. 

Change in Burden: -563,750 hours 

Using Information Technology 

Agency: Department of Defense

OMB Control No.: 0704-0188

Title: Acquisition Management Systems and Data Requirements Control List 

(AMSDL) 

Purpose of Collection: Information is a list of data requirements used in Department of Defense 

contracts for supplies, services, hardware, and software, necessary to support 
design, testing, manufacture, training, and the operation and maintenance of 

procured items. 

How Reduction Achieved: The Department reevaluated the required formats to accept contractor formats, 

as well as submission by electronic means. 

Change in Burden: -5,262,840 hours 

Agency: Department of Education

OMB Control No.: 1850-0582

Title: Integrated Postsecondary Education Data System (IPEDS) Web-Based 

Collection System 

Purpose of Collection: To collect student data from postsecondary institutions through a web-based 

system. 

How Reduction Achieved: The reduction is due to several changes in the program including changes to the 

Classification of Instructional Program (CIP) codes; assumption of the 

Graduation Rate Study (GRS) recordkeeping burden by the Office of 

Postsecondary Education (OPE); changes to the Finance for public institutions; 

and respondent “learning curve” following implementation of new CIP and the 

new Governmental Accounting Standards Board (GASB) form for public 

institutions. 

Change in Burden: -19,556 hours 

Agency: Department of Energy

OMB Control No.: 1910-5101

Title: Annual Alternative Fuel Vehicle Acquisition Report for State Government & 

Alternative Fuel Provider Fleets 

Purpose of Collection: To determine whether alternative fuel providers are in compliance with the 

Alternative Fuel Providers Vehicle Acquisition Mandate; to determine whether 

States are in compliance with the State Fleet Mandate Program; and to 

determine whether fleet owner/operators should be awarded credits under the 

Alternative Fueled Vehicle Credits Program. 

How Reduction Achieved: 85% of respondents are now filing reports online. 

Change in Burden: -10,450 hours

Agency: Department of Labor

OMB Control No.: 1205-0219

Title: Standard Job Corps Request for Proposal and Related Contractor Information 

Gathering 

Purpose of Collection: Forms completed by prospective contractors for competitive procurement and 

Federal paperwork requirements of contract operators of such centers. 

How Reduction Achieved: Development of electronic database. 

Change in Burden: -16,422 hours 

Agency: Department of Treasury

OMB Control No.: 1510-0057

Title: Annual Letters—Certificates of Authority (A) and Admitted Reinsurer (B)

Purpose of Collection: Annual letters are sent to insurance companies providing surety bonds to protect 

the Federal government or companies providing reinsurance (except on excess 

risks running to the United States). The information provided in this collection 

is needed for the renewal of Treasury Certified companies and the determination 

of their underwriting limitations, and the renewal of companies recognized as 

Admitted Reinsurers. Summary information of Treasury Certified companies is 
published in Treasury Circular 570, while a separate listing of companies 

recognized as Admitted Reinsurers is generated. 

How Reduction Achieved: Reduction in the total number of company respondents and implementation of 

automation and technology improvements on the part of respondents and by the 

Treasury which reduced the actual burden hours spent in the extraction and 

preparation of data in responding to the items enumerated in Annual Letters (A) 

and (B). 

Change in Burden: -12,270 hours 

Statutory Reductions 

Agency: Department of Agriculture 

OMB Control No.: 0584-0339 

Title: Employment and Training Program Activity Report 

Purpose of Collection: Monitoring State employment and training program performance. 

How Reduction Achieved: P.L. 107-171 allows FNS to eliminate the requirement to report numbers of 

filled and offered education/training slots and workfare slots in geographical 

areas that are waived because of low employment opportunity versus unwaived 

geographical areas. 

Change in Burden: -58,461 hours 

Statute Title and PL#: Title IV, Farm Security and Rural Investment Act of 2002 P.L. 107-171. 

Other Reductions 

Agency: Department of Agriculture 

OMB Control No.: 0560-0006; 0560-0025; 0560-0026; 0560-0040; 0560-0052; 0560-0074; 0560-

0082; 0560-0087; 0560-0092; 0560-0096; 0560-0120; 0560-0125; 0560-0129; 

0560-0138; 0560-0174; 0560-0177; 0560-0185; 0560-0203; 0560-0204; 0560-

0215; 0560-0216; 0560-0219; 0578-0013; 0578-0018; 0578-0027; 0578-0028. 

Title: Peanut Poundage Quota, Marketing Regulations, Peanut Warehouse Loan and 

Handler Operations; Farm Reconstitution; Application for Payment of Amounts 

Due Persons Who Have Died; Regulations for Cooperative Marketing 

Associations; Standards for Approval of Warehouses; Regulations Governing 

Nonrecourse Cotton Loan Programs; Conservation and Environmental 

Programs; General Regulations Governing Commodity Loans; Forms for 

Participation in a 7-Year Production Flexibility Contract; Payment Limitation 

and Determination of Eligibility; Warehouse Regulations Under USWA; 

Conservation Reserve Program; Loan Deficiency Payments; Sugar Program; 

Environmental Quality Incentives Program (EQIP); Request for Aerial 

Photography; Offer Forms; Highly Erodible Land Conservation and Wetland 

Conservation; Facsimile Signature Authorization and Verification; Farm Storage 

Facility Loan Program; Representations for CCC and FSA Loans and 

Authorization to File a Financing Statement; Storage of Honey Forfeited to 

CCC; USDA Registration Form Form to Request Electronic Access Code; Long 

Term Contracting; Application for Payment; Request for State Technical 

Committee Membership Risk Protection Program 

Purpose of Collection: These collections support the commodity and conservation programs authorized 

in Title I and Title II of the Farm Security and Rural Investment Act of 2002 

(Farm Bill) 

How Reduction Achieved: Title I and II of the Farm Security and Rural Investment Act of 2002 are exempt 

from the PRA for program implementation and administration. 
Change in Burden: -10,407,942 hours 

Agency: Department of Agriculture

OMB Control No.: 0535-0226

Title: 2002 Census of Agriculture

Purpose of Collection: The census of agriculture is conducted every 5 years. It collects information on 

the number and size of farms, land use, production expenses, value of 

production, and many other agricultural data. 

How Reduction Achieved: The census information collection will be retired at the end of FY 2003. 

Change in Burden: -1,354,204 hours 

Agency: Department of Agriculture

OMB Control No.: 0563-0058

Title: Dairy Options Pilot Program

Purpose of Collection: The Dairy Options Pilot Program (DOPP) is viewed as an opportunity to 

construct a short-term, educational, “safety-net” beneath an industry which 

otherwise expects to be without a means of managing price risk. 

How Reduction Achieved: Program will no longer be funded after December 2002. 

Change in Burden: -33,400 hours 

Agency: Department of Commerce

OMB Control No.: 0607-0444

Title: 2002 Company Organization Survey (COS)

Purpose of Collection: The Census Bureau conducts the annual COS in order to update and maintain a 

central, multipurpose business register (formerly known as the Standard 

Statistical Establishment List, SSEL). In particular, the COS supplies critical 

information on the composition, organizational structure, and operating 

characteristics of multi-establishment enterprises. 

How Reduction Achieved: The Census Bureau will conduct the 2002 COS in conjunction with the 2002 

Economic Censuses and will coordinate these collections so as to minimize 

respondent burden. The reduction in burden is attributable to the fact that 2002 

establishment data will be collected as part of the 2002 Economic Census, rather 

than through this collection. 

Change in Burden: -48,745 hours 

Agency: Department of Commerce

OMB Control No.: 0607-0452

Title: Government Employment Forms

Purpose of Collection: This clearance represents a collection of questionnaires needed to conduct the 

quinquennial Census of Governments, Employment Phase, and the Annual 

Survey of Government Employment. Statistics compiled from data gathered 

using these forms are used in the Federal government for activities such as 

developing the National Income and Product Accounts and the allocation of 

operating subsidies to local housing authorities. Other users include state and 

local government executives and legislators, policy makers, economists, 

researchers, and the general public. 

How Reduction Achieved: The decrease in burden is attributable to the fact that these forms are used 

cyclically. Once every five years the forms are used in conducting the 

employment phase of the Census of Governments. During that year burden 

increases because of the larger number of respondents. Accordingly, burden 

decreases the following year and remains so for 4 years. 
Change in Burden: -67,987 hours 

Agency: Department of Defense

OMB Control No.: 0704-0187

Title: Information Collection in Support of the Department of Defense Acquisition 

Process (Solicitation Requirements) 

Purpose of Collection: This information collection requirement pertains to information not covered by 

another OMB control number that an offeror must submit to Department of 

Defense in response to Department of Defense solicitations. 

How Reduction Achieved: The Department reevaluated its information requirements to require the 

minimum information consistent with best business practices including 

electronic submission of information. 

Change in Burden: -14,115,462 hours 

Agency: Department of Education

OMB Control No.: 1810-0614

Title: Consolidated State Performance Report

Purpose of Collection: To collect performance data.

How Reduction Achieved: The State self-review was eliminated as well as several programs.

Change in Burden: -677,855 hours

Agency: Department of Education

OMB Control No.: 1850-0652

Title: Education Longitudinal Study of 2002, First Follow-up

Purpose of Collection: To collect data from students, dropouts and school administrators regarding 

school effectiveness, and the impact on postsecondary and labor market 

outcomes. 

How Reduction Achieved: Reduction due to first follow-up field test of ELS: 2002 in 2003. 

Change in Burden: -27,765 hours 

Agency: Department of Education

OMB Control No.: 1850-0769

Title: The Impact of ICT on Learning: Quasi-Experimental Study

Purpose of Collection: This was an international study to examine the impact of information and 

communication technology (ICT) on student learning Curriculum Survey. 

How Reduction Achieved: This was a one-time study. 

Change in Burden: -15,721 hours 

Agency: Department of Energy

OMB Control No.: 1910-0400

Title: Financial Assistance

Purpose of Collection: This collection provides information necessary to manage all phases of the 

process of seeking, awarding, administering, and closing financial assistance 

instruments. 

How Reduction Achieved: The reduced burden estimate is due to the elimination of 19 collections. 

Change in Burden: -249,129 hours 

Agency: Department of Energy 

OMB Control No.: 1910-1000
Title: Personal Property 

Purpose of Collection: This collection provides information on the management, control, reutilization 

and disposal of government personal property. 

How Reduction Achieved: Changes to the package were due to comprehensive review that resulted in the 

elimination of 28 collections and the addition of 2 new collections. It was 

determined that these collections were no longer needed for management 

purposes. 

Change in Burden: -245,494 hours 

Agency: Department of Energy 

OMB Control No.: 1910-1800 

Title: Security 

Purpose of Collection: This collection provides information concerning security, classified records, and 

material accountability and control. 

How Reduction Achieved: Changes to the package were due to a comprehensive review that resulted in the 

elimination of 15 information collections. It was determined that these 

collections were no longer needed for management purposes and/or required for 

contract management and administration. 

Change in Burden: -433,533 hours 

Agency: Federal Communications Commission 

OMB Control No.: 3060-0362 

Title: Inspection of Radio Installation on Ships 

Purpose of Collection: The Communications Act requires that the Commission or a Commissionlicensed technician to inspect the radio installation of large cargo ships and 

certain passenger ships at least once a year to ensure that the radio installations 

are in compliance with the requirements of the Communications Act of 1934, as 

amended. 

How Reduction Achieved: The Commission has consolidated this collection with OMB Control Number 

3060-0835, Ship Inspection Certificates, which is projected to increase by 5,082 

hours. The net decrease is therefore -15,526 hours. This combination will put 

the entire ship inspection program under one OMB control number. 

Change in Burden: -15,526 hours 

Agency: Federal Energy Regulatory Commission 

OMB Control No.: 1902-0154 

Title: Gas Pipeline Rates: Rate Change (Non Formal) FERC-545 RM96-1-000, et. al.) 

(RM99-5-000) 

Purpose of Collection: In RM99-5, Order No. 639, the Commission revised its regulations to require 

Outer Continental Shelf providers to make information available regarding their 

affiliations and conditions under which service is rendered. The primary 

objectives of collecting the information are to further competition, prevent 

undue discrimination between shippers of natural gas and to improve the 

efficiency of the gas market. 

How Reduction Achieved: On April 10, 2000, the Commission is sued Order No. 639 (Docket No. RM99-

5), regulations under the Outer Continental Shelf Lands Act (OCSLA) to ensure 

that natural gas is transported on an open and nondiscriminatory basis through 

pipeline facilities located on the Outer Continental Shelf (OCS). The 

regulations require OCS gas transportation service providers to make available 

information regarding their affiliations and the conditions under which service is 

rendered. The final rule, by rendering offshore transactions transparent, provide 

a sound basis for implementing the uniformly applicable open access and 
nondiscrimination mandates and creating greater efficiencies in the market 

place. OCS gas service providers were subject to providing a report if they were 

not already subject to the Natural Gas Act reporting requirements. These reports 

have been filed with the Commission, and the information collection is reduced 

to reflect the fact that the information will not be collected again in the future. 

Change in Burden: -83,055 hours 

Agency: Federal Energy Regulatory Commission 

OMB Control No.: 1902-0174 

Title: Standards for Business Practices of Interstate Natural Gas Pipelines, FERC549C (RM96-1-024) 

Purpose of Collection: In Order Nos. 587, 587-B, 587-C, 587-G, 587-H, and 587-I, 587-K, 587-M, 587-

N and 587-O the FERC adopted regulations to standardize the business practices 

and communication methodologies of interstate pipelines in order to create a 

more integrated and efficient pipeline grid. In those orders, the Commission 

incorporated by reference consensus standards developed by GISB (now 

NAESB, North American Energy Standards Board), a private consensus 

standards developer composed of members from all segments of the natural gas 

industry. 

How Reduction Achieved: On October 1, 2002 the Washington Gas Quadrant (WGO), a subunit of 

NAESB, filed with the Commission a report stating that its Executive 

Committee had adopted standards governing partial or flowing day recalls, and 

Version 1.6 of the standards. WGQ’s general membership approved the 

standards on October 31, 2002. Version 1.6 implements operational balance 

agreements and imbalance netting and trading, standards which in previous 

versions had conflicted with FERC’s regulations. Adoption of the partial day 

recall standards will provide shippers with enhanced flexibility to recall 

capacity, while ensuring that replacement shippers receive adequate notice to 

allow them to reschedule capacity. The primary objectives of the substantive 

changes imposed by the implementation of these standards are to further update 

and standardize the natural gas industry’s business practices and procedures to 

improve the efficiency of the gas market and the means by which the gas 

industry conducts business across the interstate pipeline grid. The proposed 

filing and data requirements would reflect restructured services and operations 

and further streamline the way pipelines and their customers/shippers receive 

and send important information. 

The Commission anticipates the issuance of a Final Rule before the end of 2003. 

The phase in of Version 1.6 is accompanied with the completion of the adoption 

of Version 1.4 of the standards, which would lead to a net reduction of burden. 

Change in Burden: -403,061 hours 

Agency: Department of Health and Human Services 

OMB Control No.: 0930-0213 

Title: State Prevention Needs Assessment Surveys: Alcohol and Other Drugs— 

Cohort 5 

Purpose of Collection: SAMHSA’s Center for Substance Abuse Prevention (CSAP), as part of its State 

Prevention Needs Assessment Program (STNAP), awarded contracts to States to 

conduct studies for the purpose of determining the need for and resources to 

provide for substance abuse prevention within States. States that were funded 

conducted student school surveys and surveys of community resource agencies 

for substance abuse prevention. 

How Reduction Achieved: The contracts are ending and data collection will also end. 
Change in Burden: -17,959 hours 

Agency: Department of Justice

OMB Control No.: 1115-0057

Title: Registration for Classification as a Refugee

Purpose of Collection: This collection of information provides a uniform method for applicant to apply 

for refugee status and contains the information needed in order to adjudicate 

such applications. 

How Reduction Achieved: The information collection is no longer required by the INS and was canceled by 

the Program Manager. 

Change in Burden: -81,620 hours 

Agency: Department of Justice

OMB Control No.: 1115-0130

Title: Change of Address Card

Purpose of Collection: The INS uses the information to update an applicant’s address in the 

Legalization Automated Database. The information collected is needed to 

identify specific applicants who have similar names and by applicants who do 

not provide correct or specific information. 

How Reduction Achieved: The Legalization and Special Agricultural Workers program have expired. The 

information collection is no longer required by the INS and was canceled by the 

Program Manager. 

Change in Burden: -16,600 hours 

Agency: Department of Justice

OMB Control No.: 1115-0228

Title: Memorandum of Understanding to Participate in Employment Eligibility 

Confirmation Pilot Program (OMB-18) 

Purpose of Collection: Employers who have elected to participate in a pilot execute a Memorandum of 

Understanding with the INS and the Social Security Administration (if 

applicable), that provides the specific terms and conditions governing the pilot 

and company information for each site that will be performing employment 

verification queries. 

How Reduction Achieved: The process has been streamlined by the INS Program Manager.

Change in Burden: -14,246 hours

Agency: Department of Labor

OMB Control No.: 1220-0011

Title: Report on Employment, Wages, and Hours

Purpose of Collection: The Current Employment Statistics program provides current monthly statistics 

on employment, hours, and earnings by industry. The statistics are fundamental 

inputs in economic processes at all levels of government, private enterprise, and 

organized labor. 

How Reduction Achieved: Phase-in of probability sample design will be completed, which reduces the 

number of reports. 

Change in Burden: -50,586 hours 

Agency: Department of Labor

1220-0090

Mass Layoff Statistics Program

OMB Control No.: 

Title: 
Purpose of Collection: The Mass Layoff Statistics program is a Federal-State cooperative statistical 

effort which uses a standardized, automated approach to identify, describe, and 

track the effects of major job cutbacks, using data from each State’s 

unemployment insurance database. 

How Reduction Achieved: Termination of program. 

Change in Burden: -73,320 hours 

Agency: Department of Labor

OMB Control No.: 1220-0109

Title: National Longitudinal Survey of Youth 1979

Purpose of Collection: Used by the Department of Labor, other agencies, academic researchers, the 

news media, and the general public to understand the employment experiences 

and life -cycle transitions of men and women born in the years 1957 to 1964 and 

living in the United States when the survey began in 1979. 

How Reduction Achieved: This is a biennial survey that will be allowed to expire.

Change in Burden: -13,297 hours

Agency: Social Security Administration

OMB Control No.: 0960-0442

Title: SSA-833 U3/C3, State Disability Determination Services’ (DDS) Decision

Purpose of Collection: SSA uses the form to make determinations as to whether Title II disability 

recipients continue to be disabled. 

How Reduction Achieved: To eliminate a large backlog, SSA processed large numbers of Title II 

Continuing Disability Reviews (CDRs) in recent years. As the backlog was 

eliminated the focus was shifted to Title XVI CDRs (OMB No. 0960-0433). 

Therefore, fewer SSA-833s are being used. The decrease in burden hours is in 

accordance with the Agency's 7-Year Continuing Disability Review Budget 

Plan. Congress authorized special funding and mandated that periodic 

continuing disability reviews take place but did not mandate the number of 

reviews that take place each year. 

Change in Burden: -87,122 hours 

Agency: Social Security Administration

OMB Control No.: 0960-0608

Title: SSA-378, Claimant Conference Reply Form

Purpose of Collection: SSA is testing modifications to the disability determination procedures. One 

aspect of the test includes notifying claimants if initial determination of 

disability is less than fully favorable. In the prototype disability determination 

procedure, the form SSA-378 was used to allow a claimant to request a 

conference and/or provide additional medical evidence. 

How Reduction Achieved: The disability determination test is no longer being used and the prototype form 

has been discontinued. 

Change in Burden: -10,525 hours 

Agency: Department of Transportation

OMB Control No.: 2137-0039

Title: Hazardous Materials Incident Reports

Purpose of Collection: Hazardous materials carriers provide reports of accidents/ incidents in 

transportation on the DOT Form 5800.1. These reports are used for revision of 

the hazardous materials standards and assessment of carriers of hazardous 

materials in transportation. 
How Reduction Achieved: Docket HM -229, NPRM, Revisions to the Incident Reporting Requirements and 

the Hazardous Materials Incident Report Form 5800.1 was published on July 3, 

2001. These proposed revisions to the reporting requirements/form are intended 

to increase the usefulness of data collected for risk analysis and management by 

government and industry, and to provide regulatory relief. 

Change in Burden: -10,004 hours 

Agency: Department of Treasury 

OMB Control No.: 1545-0130 

Title: Form 1120S and Schedules, U.S. Income Tax Return for an S Corporation 

Purpose of Collection: The principal purpose of Form N-14 is to make material information available to 

investors regarding securities used in business combination transactions. The 

information required to be filed with the Commission permits verification of 

compliance with securities law requirements and assures the public availability 

and dissemination of such information. Without the registration statement 

requirement, material information would not necessarily be available to 

investors. 

How Reduction Achieved: Due to the Commissioner’s Burden Reduction Initiative, corporations with total 

receipts and assets of less than $250,000 are not required to complete Schedules 

L and M-1. 

Change in Burden: -14,262,930 hours 

Agency: Department of Treasury 

OMB Control No.: 1545-0123 

Title: Form 1120 and Schedules, U.S. Corporation Income Tax Return 

Purpose of Collection: Form 1120 is used by corporations to compute their taxable income and tax 

liability. 

How Reduction Achieved: Cutting Redundancy - Due to the Commissioner’s Burden Reduction Initiative, 

corporation with total receipts and assets of less than $250,000 are not required 

to complete Schedules L, M-1 and M-2. . This will result in a net program 

change decrease of 26,211,719 hours. Statutory Reductions - Code references 

were deleted and added throughout the form and instructions. This will result in 

a program change decrease of 4,439,447 hours. Other Deductions - Changes 

were made throughout Form 1120, schedules, and instructions by adding lines, 

deleting lines, and adding 1 form attachment. These program changes are due to 

IRS. This will result in a program change decrease of 3,104,865 hours. 

Change in Burden: -33,756,031 hours 

Statute Title and PL#: Job Creation and Worker Assistance Act of 2002. P.L. 107-147. 

Agency: Department of Treasury 

OMB Control No.: 1545-0890 

Title: Form 1120-A, U.S. Corporation Short-Form Income Tax Return 

Purpose of Collection: Form 1120-A gives the IRS information necessary to determine whether the 

corporation has correctly computed its income tax liability. 

How Reduction Achieved: Cutting Redundancy - Due to the Commissioner’s Burden Reduction Initiative, 

corporations with total receipts and assets of less than $250,000 are not required 

to complete Parts III and IV. This will result in a net program change decrease 

of 2,576,794 hours. Statutory Reductions - Code references were added and 

deleted throughout the form and instructions. This will result in a program 

change decrease of 427,645 hours. Other Reductions - Changes were made 

due to IRS. Lines were deleted and added, and a form attachment deleted. This 
will result in a program change decrease of 373,949 hours. All of the above 

changes resulted in a program change decrease of 3,378,388 hours. 

Change in Burden: -3,378,388 hours 

Statute Title and PL#: Job Creation and Worker Assistance Act of 2002. P.L. 107-147. 

Agency: Department of Treasury 

OMB Control No.: 1545-0074 

Title: 2002 Form 1040 and Schedules, U.S. Individual Income Tax Return 

Purpose of Collection: This form is used by individual taxpayers to report their taxable income and 

calculate their correct liability. 

How Reduction Achieved: As part of the Burden Reduction Initiative, Treasury decided to increase the 

threshold for filing Schedule B (Form 1040) from $400 to $1,500. As a result of 

this change the number of people filing Schedule B was reduced from 

33,861,904 to 23,092,147. This will result in a program change decrease of 

15,616,147. Other Reductions - Also, additional text was added to the 

instructions for “Rollover of Gain From Empowerment Zone Assets ” resulting 

of 1 write-in and 1 Code reference. This will result in a program change increase 

of 2,840,101. The net program change decrease is 12,776,046. 

Change in Burden: -12,776,046 hours 

Agency: Department of Treasury 

OMB Control No.: 1545-0085 

Title: 2002 Form 1040A and Schedules, U.S. Individual Income Tax Return 

Purpose of Collection: This form is used by individual taxpayers to report their taxable income and 

calculate their correct liability. 

How Reduction Achieved: As part of the Burden Reduction Initiative , Treasury has decided to increase 

the threshold for filing Schedule 1 (Form 1040A) from $400 to $1,500. As a 

result of this change the number of people filing Schedule 1 will be reduced 

from 3,391,161 respondents to 1,728,736 respondents. Statutory Reductions -

Two worksheets were deleted , Line 26, “Tax Computation Worksheet for 

Certain Dependents” and Line 30, “Rate Reduction Credit Worksheet.” 

Changes of increases and decreases of lines, Code references, and size of 

worksheets were made throughout Form 1040A, instructions, and schedules. 

The above changes will result in a program change increase of 3,683,969 hours, 

and a program change decrease of 8,871,556. Other Reductions program 

change due to IRS resulted in a program change decrease of 2,015 hours. 

Change in Burden: -6,802,155 hours 

Statute Title and PL#: Job Creation and Worker Assistance Act of 2002. P.L. 107-147. Economic 

Growth and Tax Relief Reconciliation Act 2001 P.L. 107-16. 

Agency: Department of Veteran Affairs 

OMB Control No.: 2900-0615 

Title: National Survey of Veterans 

Purpose of Collection: To collect information not readily available from other sources, which will be 

used as input for strategic planning, policy analyses and budgeting purposes. 

This collection provides up to date information on veterans’ use of VA and nonVA benefits usage. It also provides data on characteristics of the veteran 

population. 

How Reduction Achieved: The National Survey of Veterans is a periodic survey and as such does not have 

a recurring demand on the public. The data collection for the National Survey 

of Veterans has been completed. 

Change in Burden: -22,957 hours 
FY 2003 Increases 

Statutory Increases 

Agency: Department of Agriculture

OMB Control No.: 0572-NEW

Title: Rural Broadband Access Loans and Loan Guarantee Program

Purpose of Collection: The program requires information on market feasibility of investments in rural 

broadband and financial resources of applicants in order to determine loan 

eligibility 

Why Increase Occurred: New Program. 

Change in Burden: 10,000 hours 

Statute Title and PL#: Farm Security and Rural Investment Act of 2002, Pub. L. 101-171 (Section 

6103) 

Agency: Department of Agriculture

OMB Control No.: 0584-0055

Title: Child and Adult Care Food Program

Purpose of Collection: To provide benefits to eligible participants

Why Increase Occurred: The increases are due to new reporting requirements on the sponsoring 

organization and respondents. 

Change in Burden: 17,424 and 491,000 hours 

Statute Title and PL#: Agriculture Risk Protection Act of 2000, P.L. 106-224 Grain Standards and 

Warehouse Inspection Act of 2000, P.L. 106-472 and Healthy Meals for Healthy 

American Act of 1994, P.L. 103-448, Personal Responsibility and Work 

Opportunities—Reconciliation Act of 1996, P.L. 104-193 Child Nutrition 

Reauthorization Act of 1998, P.L. 105-336. 

Agency: Department of Education

OMB Control No.: 1810-0576

Title: Consolidated State Application / Consolidated State Report

Purpose of Collection: The Department will use the information from the consolidated State application 

as the basis for approving funding under the covered Elementary and Secondary 

Education Act (ES EA) programs (in which the State participates) as authorized 

by NCLB. The Department also will use the performance targets, baseline data, 

and other related information in the consolidated application to assess the degree 

of progress States make over time in achieving ESEA goals. As with the 

previous collection, the information in this collection will allow the Department 

to monitor and provide technical assistance to States, schools, and school 

districts on the effective use of program funds. 

Why Increase Occurred: The additional hours are due primarily to carrying out the statutory requirements 

included in the Title I Notice of Proposed Rulemaking. 

Change in Burden: 10,360 hours 

Statute Title and PL#: No Child Left Behind Act, P.L.# 107-110. 

Agency: Department of Education

OMB Control No.: 1810-0581

Title: State Educational Agency, Local Educational Agency, and School Data 

collection and Reporting under ESEA, Title I, Part A 
Purpose of Collection: To establish requirements from Title I, Part A of the Elementary and Secondary 

Education Act, as amended by the No Child Left Behind Act. These final 

regulations require State educational agencies, local educational agencies, and 

schools to collect and disseminate information to document progress, inform 

parents and the public, and provide services to at-risk students and their 

teachers. 

Why Increase Occurred: Burden hour estimates reflect changes in Title I, Part A requirements under the 

No Child Left Behind Act and incorporates the previous burden hours that 

expired under old Title I regulations that were first published in July 1995. 

Change in Burden: 2,586,428 hours

Statute Title and PL#: No Child Left Behind Act, P.L.# 107-110.

Agency: Department of Education

OMB Control No.: 1810-0662

Title: Migrant Education Program (MEP) Final Regulations Sections 200.83, 200.84 

and 200.88 

Purpose of Collection: To establish the requirements an SEA must meet for development of a 

comprehensive needs assessment and plan for service delivery, and to 

implement the program evaluation as required by Sections 106(b) and 

1304(c)(2) of the Elementary and Secondary Education Act (ESEA), as 

amended by No Child Left Behind Act, P.L.# 107-110. 

Why Increase Occurred: As a result from the implementation of sections 200.83, 200.84 and 200.88 of 

the proposed regulations for Title I, Part C of the No Child Left Behind Act. 

Change in Burden: 19,925 hours 

Statute Title and PL#: No Child Left Behind Act, P.L.# 107-110. 

Agency: Department of Education

OMB Control No.: 1845-0061

Title: Federal Perkins Loan/NDSL Promissory Notes

Purpose of Collection: The collection of information on the promissory notes is necessary for eligible 

institutions of higher education to make Perkins or NDSL loans to students. The 

specific use of the promissory note is to authorize the loan holder to provide 

information to schools, lenders, guarantors, subsequent holders, the Department, 

and their agents about the loan. The promissory note is the means by which the 

borrower promises to repay the Perkins or NDSL loan under the terms and 

conditions set forth in the promissory note which is signed and agreed to by the 

borrower before the institution makes the loan. If the Department does not 

conduct this collection of information, a student would not have the opportunity 

to obtain a Perkins or NDSL loan and take advantage of benefits that the Perkins 

and NDSL programs have to offer. 

Why Increase Occurred: New Statute.

Change in Burden: 345,000 hours

Statute Title and PL#: Higher Education Act of 1965, as amended through December 1999 Section 

464(c). 

Agency: Environmental Protection Agency

OMB Control No.: 2050-NEW

Title: Brownfields Grantee Reporting

Purpose of Collection: New legislation requires information from grantees obtaining brownfields 

revitalization funding and state response programs funding. The collection also 

provides for Government Performance Results Act reporting, ensures grant 
management accountability, and accounts for information relating to public 

involvement. 

Why Increase Occurred: New legislation included property specific eligibility requirements, an increase 

in program elements, and specific reporting obligations. There is also an 

increase in the number of grantees. 

Change in Burden: 10,000 hours 

Statute Title and PL#: Small Business Liability Relief and Brownfields Revitalization Act, Public Law 

107-118, Title II—Brownfields Revitalization and Environmental Restoration, 

Subtitles A and C. 

Agency: Environmental Protection Agency

OMB Control No.: 2070-0164

Title: Data Acquisition for Anticipated Residue and Percent of Crop Treated 

[Addendum] 

Purpose of Collection: This collection is needed to re-evaluate the Agency’s original tolerance 

decisions to assess whether the existing pesticide registration poses an 

unreasonable risk to human health or the environment. The collection and 

verification of data is necessary to comply with the law, in compliance with new 

requirements under the Food Quality Protection Act of 1996 (FQPA). 

Why Increase Occurred: This increase is to account for additional burden hours for respondents who must 

comply with Federal Food, Drug, and Cosmetic Act (FFDCA) sections 

408(b)(2)(E) (ii) and 408(b)(2)(F) tolerance actions reviewed under the 

reregistration program within EPA’s Office of Pesticide Programs. This 

modification increases the estimated number of respondents and total burden 

hours. 

Change in Burden: 44,809 hours

Statute Title and PL#: Federal Food, Drug, and Cosmetic Act (FFDCA).

Agency: Department of Health and Human Services

OMB Control No.: 0910-NEW

Title: Registration of Food Facilities

Purpose of Collection: FDA will use the information to aid the enforcement activities and screening of 

foreign food shipments and to inform food facilities of specific food threats. 

Why Increase Occurred: The Bioterrorism Act requires the Secretary, through FDA to develop 

regulations requiring that domestic and foreign manufacturers/processors, 

holders, and packers of food intended for consumption in the United States to 

register with FDA by December 12, 2003. Facilities are also required to submit 

timely updates when any information on their registration changes. 

Change in Burden: 1,059,427 hours 

Statute Title and PL#: Public Health Security and Bioterrorism Preparedness and Response Act of 2002, 

P.L.107-188 

Agency: Department of Health and Human Services

OMB Control No.: 0910-NEW

Title: Prior Notice of Imported Food Shipments

Purpose of Collection: Information necessary to collect may include the identity of the article of food; 

the manufacturer, the shipper; the grower, if known at the time of the 

notification; the originating country; the shipping country; and the anticipated 

port of entry. 

Why Increase Occurred: Section 801(m) of the Federal Food, Drug, and Cosmetic Act requires 

notification to FDA prior to the entry of imported food. FDA is proposing a 

regulation that would identify the parties responsible for providing notice and 
explain the information that the prior notice is required to contain, the method of 

submission of the notice, and the minimum and the maximum period of 

advanced notice required. The required prior notice would provide the identity 

of the article of food; the manufacturer, the shipper; the grower, if known at the 

time of the notification; the originating country; the shipping country; and the 

anticipated port of entry. 

Change in Burden: 1,833,822 hours 

Statute Title and PL#: Public Health Security and Bioterrorism Preparedness and Response Act of 2002, 

P.L.107-188 

Agency: Department of Health and Human Services 

OMB Control No.: 0910-NEW 

Title: Establish and Maintain Records 

Purpose of Collection: This information will allow FDA to trace the immediate previous source of a 

food, to trace the immediate subsequent recipient, to trace the chain of 

custody/distribution and require the company to retain records. 

Why Increase Occurred: FDA is required by the Bioterrorism Act to develop regulations regarding the 

establishment and maintenance of records for foods to identify the immediate 

previous sources and the immediate subsequent recipients of food, including its 

packaging, in order to address credible threats of serious adverse health 

consequences or death to humans or animals. 

Change in Burden: 12,020,000 hours 

Statute Title and PL#: Public Health Security and Bioterrorism Preparedness and Response Act of 2002, 

P.L.107-188 

Agency: Department of Health and Human Services 

OMB Control No.: 0930-NEW 

Title: Regulations to Implement SAMHSA’s Charitable Choice Statutory Provisions: 

42 CFR Parts 54 and 54a 

Purpose of Collection: Section 1955 of the Public Health Service Act (42 USC 300x-65), as amended 

by the Children’s Health Act of 2000 (Pub. L. 106-310) and Sections 581-584 of 

the Public Health Service Act (42 USC 290kk et seq., as added by the 

Consolidated Appropriations Act (Pub. L. 106-554)), set forth various 

provisions which aim to ensure that religious organizations are able to compete 

on an equal footing for Federal funds to provide substance abuse services. 

These provisions allow religious organizations to offer substance abuse services 

to individuals without impairing the religious character of the organizations or 

the religious freedom of the individuals who receive the services. The 

provisions apply to the Substance Abuse Prevention and Treatment Block Grant 

(SAPT BG), to the Projects for Assistance in Transition from Homelessness 

(PATH) formula grant program, and to certain Substance Abuse and Mental 

Health Services Administration (SAMHSA) discretionary grant programs 

(programs that pay for substance abuse treatment and prevention services, not 

for certain infrastructure and technical assistance activities). 

Why Increase Occurred: The legislation requires disclosure to patients of information about their 

entitlement to receive substance abuse treatment services from an alternative 

provider. The statutes also require that upon making such a referral the provider 

must notify the applicable level of State, local or Federal government. 

Change in Burden: 16,208 hours 

Statute Title and PL#: Section 1955 of the Public Health Service Act (42 USC 300x-65), as amended by 

the Children’s Health Act of 2000 (Pub. L. 106-310) and Sections 581-584 of the 
Public Health Service Act (42 USC 290kk et seq., as added by the Consolidated 

Appropriations Act (Pub. L. 106-554)) 

Agency: Department of Health and Human Services

OMB Control No.: 0920-0556

Title: Assisted Reproductive Technology (ART) Program Reporting System

Purpose of Collection: The ART program reporting system has been designed in collaboration with the 

Society for Assisted Reproductive Technology (SART) to comply with the 

requirements of the Fertility Clinic Success Rate Technology and Certification 

Act. The reporting system includes all ART cycles initiated by any of the 

approximately 400 ART programs in the United States, and covers the 

pregnancy outcome of each cycle, as well as a number of data items deemed 

important to explain variability in success rates across clinics and across 

individuals. 

Why Increase Occurred: New legislation, which requires the collection of new data.

Change in Burden: 56,067 hours

Statute Title and PL#: Fertility Clinic Success Rate Technology and Certification Act of 1992 

[FCSRTCA], P.L. 102-493 

Agency: Department of Health and Human Services

OMB Control No.: 0920-NEW

Title: Possession, Use, and Transfer of Select Agents and Toxins

Purpose of Collection: CDC was delegated the responsibility of registering entities that possess, use, or 

transfer select agents or toxins. In performance of its responsibility, CDC has 

modified a previously approved collection to include registration of entities; 

transfer of select agents and toxins; clinical and diagnostic laboratory report 

form; notification of theft, loss, or release; and application for exemption. As 

mandated in the law, these forms have been jointly developed by CDC and 

USDA/APHIS. 

Why Increase Occurred: New legislation, which requires the collection of new data.

Change in Burden: 30,777 hours

Statute Title and PL#: Public Health Security and Bioterrorism Preparedness and Response Act of 2002, 

P.L. 107-188 (June, 2002) 

Agency: Department of Housing and Urban Development

OMB Control No.: 2577-0232

Title: Conversion of Development from Public Housing Stock: Assessment; 

Conversion Plan 

Purpose of Collection: Public Housing Authorities (PHAs) will perform a conversion assessment. 

PHAs may develop, and submit a conversion plan to HUD. HUD will review 

and evaluate the plan to ensure statutory and regulatory compliance. 

Why Increase Occurred: Implementation of new legislation.

Change in Burden: 20,400 hours

Statute Title and PL#: Public Housing Reform Act, Section 533 P.L. 105-276, Oct. 21, 1998

Agency: Department of the Interior

OMB Control No.: 1076-0161

Title: 25 CFR 170, Indian Reservation Roads

Purpose of Collection: To determine how BIA will allocate funds to various tribal governments under 

the new Indian Reservation Roads program. 

Why Increase Occurred: Implementation of new legislation. 
Change in Burden: 31,470 hours

Statute Title and PL#: Transportation Equity Act for the 21st Century, P.L. 105-178

Agency: Department of Justice

OMB Control No.: 1115-0255

Title: Visa Waiver Program Passenger Arrival and Departure Data

Purpose of Collection: Section 217(h) of the Immigration and Nationality Act requires an automated 

entry and exit control system by specifying those passenger data elements that 

must be electronically transmitted to the INS by carriers seeking to transport 

Visa Waiver Program passengers into and out of the United States on or after 

October 1, 2002. This information is transmitted electronically under the 

Advanced Passenger Information System (APIS) Program administered jointly 

by the INS and the United States Customs Service. 

Why Increase Occurred: Implementation of new legislation.

Change in Burden: 36,500 hours

Statute Title and PL#: Public Law 106-396, 114 Stat. 1637, The Visa Waiver Permanent Program Act 

(VWPPA); Public Law 107-71, Aviation and Transportation Security Act. 

Agency: Department of Labor

OMB Control No.: 1205-0339

Title: Business Confidential Data Request and NAFTA Transitional Adjustment 

Assistance Confidential Data Request 

Purpose of Collection: The Trade Act of 2002, H.R. 3009, P.L. 107-210 repeals the NAFTA-TAA, but 

extends TAA eligibility to secondarily affected worker and to workers whose 

form has shifted production to certain foreign countries. 

Why Increase Occurred: The new law amended the Trade Act of 1974 and consolidated two previously 

approved programs, Trade Adjustment Assistance (TAA) and the North 

American Free Trade Agreement—Transitional Adjustment Assistance 

(NAFTA-TAA) programs. 

Change in Burden: 14,350 hours

Statute Title and PL#: H.R. 3009, P.L. 107-210 (Trade Act of 2002).

Agency: Department of Labor

OMB Control No.: 1205-0190

Title: Customer Survey and TAA Customer Survey 

Purpose of Collection: Information required for the Secretary of Labor to make determinations of 

eligibility for petitioning workers to apply for transitional adjustment assistance 

under the Trade Act of 1974. 

Why Increase Occurred: The new law amended the Trade Act of 1974 and consolidated two previously 

approved programs, Trade Adjustment Assistance (TAA) and the North 

American Free Trade Agreement—Transitional Adjustment Assistance 

(NAFTA-TAA) programs. 

Change in Burden: 11,677 hours

Statute Title and PL#: H.R. 3009, P.L. 107-210 (Trade Act of 2002).

Agency: Department of Labor

OMB Control No.: 1210-0122

Title: Notice of Blackout Period under ERISA

Purpose of Collection: To provide participants and affected beneficiaries of individual account pension 

plans advance written notice of any “blackout period” during which their right to 
direct or diversify investments, obtain a loan or a distribution under the plan 

may be temporarily suspended. The required notice is a third party disclosure. 

Why Increase Occurred: The Sarbanes-Oxley Act (SOA) of 2002 (Pub. L. 107-204), enacted on July 30, 

2002, amended ERISA to require that administrators of individual account plans 

provide notice in advance of blackout periods. SOA also provided that the 

Secretary of Labor would promulgate interim final rules to provide 

implementing guidance on the requirements of SOA within 75 days of 

enactment. The Department of Labor’s Pension and Welfare Benefits 

Administration issued interim final rules necessary to carry out the statutory 

provisions of SOA and amendments to ERISA on October 21, 2002 (67 FR 

64766). 

Change in Burden: 166,129 hours 

Statute Title and PL#: The Sarbanes-Oxley Act of 2002 (Pub. L. 107-204) 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0059 

Title: Regulation 14A and Schedule 14A 

Purpose of Collection: In Securities Act Release No 8154, the Commission proposed amendments to 

Item 9(e) of Schedule 14A to implement Section 202 of the Sarbanes-Oxley Act. 

The proposed amendments also addressed the independence of auditors who are 

charged with examining companies’ financial statements. We believe that the 

proposed disclosure would allow investors to better assess an auditor’s 

independence and activities of audit committees related to assuring the auditor’s 

independence. 

Why Increase Occurred: The proposed amendments to Item 9(e) of Schedule 14A would require 

companies to disclose additional information in two new categories (tax fees and 

audit-related fees) and to disclose information for two years rather than one. 

This information regarding the categories of fees paid by the registrant to the 

auditor will better inform investors about the critical role that audit committees 

play in assuring the auditor’s independence. 

Change in Burden: 11,492 hours 

Statute Title and PL#: Sarbanes-Oxley Act of 2002, Pub. L. No 107-204 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0060 

Title: Form 8-K 

Purpose of Collection: Every issuer that is subject to Section 13(a) or 15(d) under the Exchange Act 

must file periodic and current reports with the Commission containing 

information about its business and financial condition. In Securities Act Release 

No. 8145, we proposed to require a company that publicly discloses material 

information regarding its actual or expected quarterly or annual results of 

operations or financial condition for a completed fiscal period to file the text of 

the public disclosure and any accompanying analysis using Form 8-K. The 

amendment to Form 8-K would not require companies to actually issue an 

earnings announcement or release but only require that it be filed if they choose 

to issue an earnings announcement or release. We believe that these 

announcements and releases should be available to investors on a widespread 

basis. The purpose of the proposed amendments to Form 8-K is to implement 

the requirements of the Sarbanes-Oxley Act. 

Why Increase Occurred: The proposed amendments would require issuers to promptly disclose this 

information by filing a current report on Form 8-K. This disclosure would 

increase the number of Form 8-K filings, thereby increasing the number of 

burden hours and costs associated with this form. 
Change in Burden: 28,000 hours

Statute Title and PL#: Sarbanes-Oxley Act of 2002, Pub. L. No 107-204

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0060

Title: Form 8-K

Purpose of Collection: Every issuer that is subject to Section 13(a) and 15(d) under the Exchange Act 

must file periodic and current reports with the Commission containing 

information about its business condition. In Securities Act Release No. 8138, 

the Commission proposed amendments to implement Section 406 of the 

Sarbanes-Oxley Act of 2002. 

Why Increase Occurred: The proposed amendments would add disclosure requirements to implement 

Section 406 of the Sarbanes-Oxley Act of 2002. The proposed amendments 

would require companies to disclose on Form 8-K changes to, or waivers from, 

any provision of the code of ethics. 

Change in Burden: 16,500 hours

Statute Title and PL#: Sarbanes-Oxley Act of 2002, Pub. L. No 107-204

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0063

Title: Form 10-K

Purpose of Collection: Every issuer that is subject to Section 13(a) or 15(d) under the Exchange Act 

must file quarterly and annual reports with the Commission containing 

information about its business and financial conditions. In Securities Act 

Release 33-8144, we propose to require public companies to include a 

discussion of material off-balance sheet arrangements, contractual obligations 

and contingent liabilities and commitments in the MD&A section of their filings 

with the Commission. The purpose of the proposed amendments is to 

implement Section 401(a) of the Sarbanes-Oxley Act. Compliance with the 

revised disclosure requirements would be mandatory. 

Why Increase Occurred: The proposed amendments would add disclosure requirements relating to offbalance sheet arrangements, contractual obligations and contingent liabilities 

and commitments. As a result, it would take a company more time to complete 

Form 10-K. 

Change in Burden: 101,808 hours

Statute Title and PL#: Sarbanes-Oxley Act of 2002, Pub. L. No 107-204

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0063

Title: Form 10-K

Purpose of Collection: Every issuer that is subject to Section 13(a) and 15(d) under the Exchange Act 

must file periodic and current reports with the Commission containing 

information about its business condition. In Securities Act Release No. 8138, 

the Commission proposed amendments to implement Sections 404, 406, and 407 

of the Sarbanes-Oxley Act of 2002. 

Why Increase Occurred: The proposed amendments would add disclosure requirements relating to 

implementation of Sections 404, 406, and 407 of the Sarbanes-Oxley Act of 

2002. The proposed amendments would require the following disclosures in the 

annual report on Form 10-K: (1) whether a financial expert serves on a 

company’s audit committer; (2) whether the company has a code of ethics for its 

specified senior corporate officers, and (3) management’s annual report on the 

effectiveness of a company’s internal controls and procedures for financial 
reporting as of the end of the company’s fiscal year and an attestation to, and 

report on, that internal control report by the company’s registered public 

accounting firm. This disclosure would increase the amount of information that 

a company must compile and disclose on Form 10-K. 

Change in Burden: 80,937 hours

Statute Title and PL#: Sarbanes-Oxley Act of 2002, Pub. L. No 107-204

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0070

Title: Form 10-Q

Purpose of Collection: Every issuer that is subject to Section 13(a) or 15(d) under the Exchange Act 

must file quarterly and annual reports with the Commission containing 

information about its business and financial conditions. In Securities Act 

Release 33-8144, we propose to require public companies to include a 

discussion of material off-balance sheet arrangements, contractual obligations 

and contingent liabilities and commitments in the MD&A section of their filings 

with the Commission. The purpose of the proposed amendments is to 

implement Section 401(a) of the Sarbanes-Oxley Act. Compliance with the 

revised disclosure requirements would be mandatory. 

Why Increase Occurred: The proposed amendments would add disclosure requirements relating to offbalance sheet arrangements, contractual obligations and contingent liabilities 

and commitments. 

Change in Burden: 53,422 hours

Statute Title and PL#: Sarbanes-Oxley Act of 2002, Pub. L. No 107-204

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0070

Title: Form 10-Q

Purpose of Collection: Every issuer that is subject to Section 13(a) and 15(d) under the Exchange Act 

must file periodic and current reports with the Commission containing 

information about its business condition. In Securities Act Release No. 8138, 

the Commission proposed amendments to implement Section 404 of the 

Sarbanes-Oxley Act of 2002. 

Why Increase Occurred: The proposed amendments would add disclosure requirements relating to 

implementation of Section 404 of the Sarbanes-Oxley Act of 2002. The 

proposed amendments would require a company to disclose on Form 10-Q 

management’s conclusions regarding the effectiveness of the company’s internal 

controls as of the end of the period covered by each report. 

Change in Burden: 100,298 hours

Statute Title and PL#: Sarbanes-Oxley Act of 2002, Pub. L. No 107-204

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0287

Title: Form 4

Purpose of Collection: In Exchange Act Release No. 46421, the Commission proposed amendments to 

implement the accelerated filing deadline applicable to change of beneficial 

ownership reports required to be filed by officers, directors and principal 

security holders under Section 16(a) of the Securities Exchange Act of 1934, as 

amended by the Sarbanes-Oxley Act of 2002. 

Why Increase Occurred: Some of the information that was previously reported on Form 5 will now be 

reported on Form 4, thereby increasing the disclosure requirement for this form. 

Change in Burden: 20,377 hours 
Statute Title and PL#: Sarbanes-Oxley Act of 2002, Pub. L. No 107-204 

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0416

Title: Form 10-QSB

Purpose of Collection: Every Small Business issuer that is subject to Section 13(a) or 15(d) under the 

Exchange Act must file quarterly and annual reports with the Commission 

containing information about its business and financial conditions. In Securities 

Act Release 33-8144, we propose to require public companies to include a 

discussion of material off-balance sheet arrangements, contractual obligations 

and contingent liabilities and commitments in the MD&A section of their filings 

with the Commission. The purpose of the proposed amendments is to 

implement Section 401(a) of the Sarbanes-Oxley Act. Compliance with the 

revised disclosure requirements would be mandatory. 

Why Increase Occurred: The proposed amendments would add disclosure requirements relating to offbalance sheet arrangements, contractual obligations and contingent liabilities 

and commitments. 

Change in Burden: 19,773 hours

Statute Title and PL#: Sarbanes-Oxley Act of 2002, Pub. L. No 107-204

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0416

Title: Form 10-QSB

Purpose of Collection: Every small business issuer that is subject to Section 13(a) and 15(d) under the 

Exchange Act must file periodic and current reports with the Commission 

containing information about its business condition. In Securities Act Release 

No. 8138, the Commission proposed amendments to implement Section 404 of 

the Sarbanes-Oxley Act of 2002. 

Why Increase Occurred: The proposed amendments would add disclosure requirements relating to 

implementation of Section 404 of the Sarbanes-Oxley Act of 2002. The 

proposed amendments would require small business issuers to disclose on Form 

10-QSB management’s conclusions regarding the effectiveness of the 

company’s internal controls as of the end of the period covered by each report, 

thereby increasing the amount of information that a company must compile and 

disclose on Form 10-QSB. 

Change in Burden: 43,530 hours

Statute Title and PL#: Sarbanes-Oxley Act of 2002, Pub. L. No 107-204

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0420

Title: Form 10-KSB

Purpose of Collection: Every Small Business issuer that is subject to Section 13(a) or 15(d) under the 

Exchange Act must file quarterly and annual reports with the Commission 

containing information about its business and financial conditions. In Securities 

Act Release 33-8144, we propose to require public companies to include a 

discussion of material off-balance sheet arrangements, contractual obligations 

and contingent liabilities and commitments in the MD&A section of their filings 

with the Commission. The purpose of the proposed amendments is to 

implement Section 401(a) of the Sarbanes-Oxley Act. Compliance with the 

revised disclosure requirements would be mandatory. 
Why Increase Occurred: The proposed amendments would add disclosure requirements relating to offbalance sheet arrangements, contractual obligations and contingent liabilities 

and commitments. 

Change in Burden: 28,650 hours 

Statute Title and PL#: Sarbanes-Oxley Act of 2002, Pub. L. No 107-204 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0420 

Title: Form 10-KSB 

Purpose of Collection: Every small business issuer that is subject to Section 13(a) and 15(d) under the 

Exchange Act must file periodic and current reports with the Commission 

containing information about its business condition. In Securities Act Release 

No.8138, the Commission proposed amendments to implement Sections 404, 

406, and 407 of the Sarbanes-Oxley Act of 2002. 

Why Increase Occurred: The proposed amendments would add disclosure requirements relating to 

implementation of Sections 404, 406, and 407 of the Sarbanes-Oxley Act of 

2002. The proposed amendments would require a small business issuer to 

disclose the following on the annual report Form 10-KSB: (1) whether a 

financial expert serves on a company’s audit committer; (2) whether the 

company has a code of ethics for its specified senior corporate officers, and (3) 

management’s annual report on the effectiveness of a company’s internal 

controls and procedures for financial reporting as of the end of the company’s 

fiscal year and an attestation to, and report on, that internal control report by the 

company’s registered public accounting firm. 

Change in Burden: 32,681 hours 

Statute Title and PL#: Sarbanes-Oxley Act of 2002, Pub. L. No 107-204 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0570 

Title: Form N-CSR under the Investment Company Act of 1940 and the Securities 

Exchange Act of 1934, Certified Shareholder Reports 

Purpose of Collection: The Sarbanes-Oxley Act requires the Commission to adopt final rules that 

require the principal executive officer or officers and the principal financial 

officer or officers, or persons performing similar functions, of an issuer each to 

certify the information contained in the issuer’s quarterly and annual reports 

filed or submitted under Section 13(a) or 15(d) of the Securities Exchange Act 

of 1934 (“Exchange Act”). Investment companies would use proposed Form NCSR to satisfy their reporting requirements under the Exchange Act. The 

Commission staff would use the information provided on proposed Form NCSR to verify that investment companies have provided the certification 

required by Section 302 of the Sarbanes-Oxley Act that the company’s financial 

statements and other information in the shareholder report fairly present in all 

material respects the financial condition and results of operations of the 

investment company and the effectiveness of disclosure controls and procedures. 

Why Increase Occurred: Implement new legislation. 

Change in Burden: 37,000 hours 

Statute Title and PL#: Sarbanes-Oxley Act of 2002, Pub. L. No 107-204 

Agency: Securities and Exchange Commission 

3235-new 

Title: Regulation G 

OMB Control No.: 
Purpose of Collection: In Securities Act Release No. 8145, the Commission proposed to require 

registrants, when they publicly disclose material information that includes nonGAAP financial measures to provide a reconciliation to comparable GAAP 

figures. Regulation G is intended to implement the requirements of Section 

401(b) Sarbanes-Oxley Act of 2002. Section 401(b) directs the Commission to 

issue final rules requiring pro forma financial information included in any 

periodic or other report filed with the Commission pursuant to the securities 

laws, or in any public disclosure or press or release to be reconciled to GAAP. 

Why Increase Occurred: New Regulation G would imposed a minimal burden because much of the 

information that it requires such as directly comparable GAAP measures already 

must be provided pursuant to other forms and regulations, such as Form 10-K, 

Form 10-Q and Regulation S-X. 

Change in Burden: 42,000 hours 

Statute Title and PL#: Sarbanes-Oxley Act of 2002, Pub. L. No 107-204 

Agency: Social Security Administration 

OMB Control No.: 0960-0623 

Title: SSA-827, Authorization to Disclose Information to Social Security 

Administration (SSA) 

Purpose of Collection: Federal and State laws require authorization from disability claimants for their 

sources of medical and other information, including schools, to release such 

information to SSA and the State agency that makes disability determinations 

for SSA. 

Why Increase Occurred: Significantly expanded language on the front and back of the form results in 

increased time to read the form. This increase is necessary because of the 

additional informed-consent burden due to the Health Insurance Portability and 

Accountability Act of 1996 legislation and the inclusion of language required by 

the Department of Education. 

Change in Burden: 1,798,409 hours 

Statute Title and PL#: The Health Insurance Portability and Accountability Act of 1996, Public Law 

104-191; Family Education Rights and Privacy Act, Public Law 93-380; 

Individuals with Disabilities Education Act, Public Law 105-17 

Agency: Department of Transportation 

OMB Control No.: 2115-new 

Title: Security Plans for Ports, Vessels and Facilities 

Purpose of Collection: Security plans for ports, vessels and facilities are needed to establish security 

measures commensurate with the level and degree of risk within the marine 

transportation system. The rulemakings to implement these requirements will 

affect all users, workers, and property in and adjacent to U.S. navigable waters 

and waters subject to the jurisdiction of the United States. 

Why Increase Occurred: Implementing new statutory requirements. 

Change in Burden: First year burden is estimated at +1,170,000 hours, and the subsequent annual 

burden is estimated at 362,000 hours. 

Statute Title and PL#: Maritime Transportation Security Act of 2002 Public Law 107-295 

Agency: Department of Treasury 

OMB Control No.: 1545-1809 

Title: Form 8882, Credit for Employer-Provided Child Care Facilities and Services 

Purpose of Collection: Form 8882 is used by child care providers who acquire, construct, rehabilitate or 

expand property which is to be used as a qualified child care facility. The credit 

applies to cost incurred as operating expenses. 
Why Increase Occurred: Implementing new statutory requirements. 

Change in Burden: 9,680,000 hours

Statute Title and PL#: Economic Growth and Tax Relief Reconciliation Act of 2001. P.L. 107-16 

Agency: Department of Treasury

OMB Control No.: 1545-1008

Title: Form 8582, Passive Activity Loss Limitations

Purpose of Collection: Form 8582 is used by non-corporate taxpayers to figure the amount of any 

passive activity loss (PAL) for the current tax year and the total losses allowed 

from passive activities. 

Why Increase Occurred: Implementing new statutory requirements. 

Change in Burden: 2,100,924 hours 

Statute Title and PL#: Community Renewal Tax Relief Act of 2000, P.L. 106-554. Job Creation and 

Worker Assistance Act of 2002. P.L. 107-147 

Agency: Department of Treasury

OMB Control No.: 1557-NEW

Title: USA Patriot Act Paperwork Requirements

Purpose of Collection: Records and disclosures are required to implement the various provisions of The 

Uniting and Strengthening America by Providing Appropriate Tools Required to 

Intercept and Obstruct Terrorism Act (USA PATRIOT Act). 

Why Increase Occurred: Implementing new statutory requirements. 

Change in Burden: 50,000 hours 

Statute Title and PL#: The Uniting and Strengthening America by Providing Appropriate Tools 

Required to Intercept and Obstruct Terroris m Act, Pub. L. 107-56 (October 26, 

2001). 

Agency: Department of Veteran Affairs

OMB Control No.: 2900-0554

Title: Homeless Grant and Providers Per Diem Program

Purpose of Collection: Program promotes development and provision of supportive housing and/or 

services to assist homeless veterans in the transition to independent living. 

Why Increase Occurred: Changes in Law provided more benefits. 

Change in Burden: 10,803 hours 

Statute Title and PL#: PL 107-95 the Homeless Veterans Comprehensive Assistance Act of 2001. 

Agency: Department of Veteran Affairs

OMB Control No.: 2900-New

Title: Application for Fisher Houses & Other Temporary Lodging

Purpose of Collection: This provides information to determine eligibility of veterans and family support 

members to VA sponsored temporary housing and for VA to reserve lodging & 

notify requester. 

Why Increase Occurred: New legislation. 

Change in Burden: 83,333 hours 

Statute Title and PL#: Public Law 106-117, The Veterans’ Millennium Health Care and Benefits Act. 

Other Increases 

Agency: Department of Agriculture 
OMB Control No.: 0563-NEW 

Title: General Administrative Regulations: Subpart V - Submission of Policies, 

Provisions of Policies, and Rates of Premium 

Purpose of Collection: Subpart V establishes guidelines for the submission of policies or other material 

to the Federal Crop Insurance Board of Directors. 

Why Increase Occurred: New requirement. 

Change in Burden: 57,000 hours 

Agency: Department of Agriculture

OMB Control No.: 0584-0026

Title: Free and Reduced Price Eligibility

Purpose of Collection: To provide benefits to eligible children.

Why Increase Occurred: Revise program regulations in implement procedures to imp rove accuracy of 

applications for free and reduced price meals. 

Change in Burden: 35,669 hours 

Agency: Department of Commerce

OMB Control No.: 0607-0880

Title: 2002 Economic Census Covering the Wholesale Trade Sector

Purpose of Collection: The economic census is conducted every five years and is the primary source of 

facts about the structure and functioning of the Nation’s economy and features 

unique industry and geographic detail. Economic census statistics serve as part 

of the framework for the national accounts and provide essential information for 

government, business, and the general public. The census will use a mail 

canvass, supplemented by data from Federal administrative records, to measure 

the economic activity of more than 480,000 wholesale establishments classified 

in the North American Industry Classification System (NAICS). 

Why Increase Occurred: This periodic collection will be conducted during Fiscal Year 2003.

Change in Burden: 719,999 hours

Agency: Department of Commerce

OMB Control No.: 0607-0881

Title: 2002 Economic Census Covering Retail Trade and Accommodation and Food 

Services Sectors 

Purpose of Collection: The economic census is conducted every five years and is the primary source of 

facts about the structure and functioning of the Nation’s economy and features 

unique industry and geographic detail. Economic census statistics serve as part 

of the framework for the national accounts and provide essential information for 

government, business, and the general public. The census will use a mail 

canvass, supplemented by data from Federal administrative records, to measure 

the economic activity of more than 1.8 million establishments classified in the 

North American Industry Classification System (NAICS). 

Why Increase Occurred: This periodic collection will be conducted during Fiscal Year 2003.

Change in Burden: 1,282,099 hours

Agency: Department of Commerce

OMB Control No.: 0607-0882

Title: 2002 Economic Census Covering Utilities; Transportation and Warehousing; 

Finance and Insurance; and Real Estate, Rental and Leasing Sectors 

Purpose of Collection: The economic census is conducted every five years and is the primary source of 

facts about the structure and functioning of the Nation’s economy and features 
unique industry and geographic detail. Economic census statistics serve as part 

of the framework for the national accounts and provide essential information for 

government, business, and the general public. 

Why Increase Occurred: This periodic collection will be conducted during Fiscal Year 2003.

Change in Burden: 829,578 hours

Agency: Department of Commerce

OMB Control No.: 0607-0883

Title: 2002 Economic Census Classification Report

Purpose of Collection: The Census Bureau implemented the new North American Industry 

Classification System (NAICS) for the 1997 Economic Census to replace the 

1987 Standard Industrial Classification (SIC) system. The NAICS has been 

revised for the 2002 Economic Census. Many of the revisions significantly 

impact the Construction Sector. In order to provide detailed construction 

industry statistics reflecting NAICS revisions for the 2002 Economic Census, 

the Census Bureau will use the 2002 Economic Census Classification Report to 

collect additional information from a sample of construction businesses. The 

information collected will be used to assign the appropriate NAICS codes, 

update the Business Register (Standard Statistical Establishment List (SSEL)) 

and mailing list, improve the sampling frame, and ensure that the correct form is 

delivered during the initia l mailing for the census. 

Why Increase Occurred: This periodic collection had a lower burden level in FY 2002 than in FY 2003.

Change in Burden: 32,500 hours

Agency: Department of Commerce

OMB Control No.: 0607-0884

Title: 2002 Economic Census General Classification Report

Purpose of Collection: In order to provide detailed industry data for the 2002 Economic Census and the 

Business Register [Standard Statistical Establishment Listing (SSEL)], 

businesses without industry classifications assigned by the Social Security 

Administration must be assigned North American Industry Classification 

System (NAICS) codes. During the 2002 Economic Census, the 2002 

Economic Census General Classification Report will be used to collect 

information from unclassified single-unit establishments. In 2001, the year prior 

to the census, this form was used to collect information from: 1) establishments 

with a significant amount of receipts but no payroll; 2) new businesses with a 

large amount of payroll, but insufficient industry classification; and 3) 

establishments that have been previously classified as farms, but report large 

amounts of non-farm payroll. 

Why Increase Occurred: This periodic collection had a lower burden level in FY 2002 than in FY 2003.

Change in Burden: 28,333 hours

Agency: Department of Commerce

OMB Control No.: 0607-0886

Title: 2002 Economic Census Ownership or Control Flier

Purpose of Collection: As single-establishment firms are acquired or begin operating at additional 

locations, it is necessary to update the Bureau's Business Register (Standard 

Statistical Establishment Listing (SSEL). During the 2002 Economic Census, 

the Ownership or Control fliers will be used to link establishments that are not 

single-establishment firms to their parent companies or create new multiestablishment firms when they operate at more than one location. In prior 

censuses these questions were part of the economic census questionnaires and 
used to determine if single-establishment firms were either owned or controlled 

by another company or if they operate at more than one location. For the 2002 

Economic Census we have removed these questions from economic census 

questionnaires and will include them on a separate flier that will only be inserted 

in economic census questionnaire mail-out packages sent to single-establishment 

firms. 

Why Increase Occurred: This periodic collection will be conducted during Fiscal Year 2003.

Change in Burden: 48,845 hours

Agency: Department of Commerce

OMB Control No.: 0607-0887

Title: 2002 Economic Census Covering Information; Professional, Scientific, and 

Technical Services; Management of Companies and Enterprises; Administrative 

and Support and Waste Management and Remediation Services; Educational 

Services; Health Care and Social Assistance; Arts, Entertainment, and 

Recreation; and Other Services (Except Public Administration) Sectors 

Purpose of Collection: The economic census is conducted every five years and is the primary source of 

facts about the structure and functioning of the Nation’s economy and features 

unique industry and geographic detail. Economic census statistics serve as part 

of the framework for the national accounts and provide essential information for 

government, business, and the general public. 

Why Increase Occurred: This periodic collection will be conducted during Fiscal Year 2003.

Change in Burden: 1,403,060 hours

Agency: Department of Commerce

OMB Control No.: 0607-0892

Title: 2002 Vehicle Inventory and Use Survey (VIUS)

Purpose of Collection: The 2002 VIUS (part of the 2002 Economic Census) will collect data to measure 

the physical and operational characteristics of a sample of trucks selected from 

more than 76 million private and commercial trucks registered on file with 

motor vehicle departments in the 50 states and the District of Columbia. The 

Census Bureau will collect the data for the sampled trucks from a questionnaire 

mailed to truck owners. Physical and operational vehicular characteristics 

estimates for each state, the District of Columbia, and the United States will be 

published. The VIUS is the only comprehensive source of information on the 

physical and operational characteristics of the Nation’s truck population. The 

VIUS provides unique, essential information for government, business, and 

academia. 

Why Increase Occurred: This periodic collection will be conducted during Fiscal Year 2003.

Change in Burden: 85,169 hours

Agency: Department of Commerce

OMB Control No.: 0607-0893

Title: 2002 Economic Census Covering the Construction Sector

Purpose of Collection: The economic census is conducted every five years and is the primary source of 

facts about the structure and functioning of the Nation’s economy and features 

unique industry and geographic detail. Economic census statistics serve as part 

of the framework for the national accounts and provide essential information for 

government, business, and the general public. 

Why Increase Occurred: This periodic collection will be conducted during Fiscal Year 2003. 

Change in Burden: 324,999 hours 
Agency: Department of Commerce

OMB Control No.: 0607-0894

Title: 2002 Economic Census of Puerto Rico and Island Areas

Purpose of Collection: The economic census is the primary source of dependable facts about the 

structure and functioning of the economies of Puerto Rico and each of the Island 

Areas (Guam, the Commonwealth of the Northern Mariana Islands, the U.S. 

Virgin Islands, and American Samoa), and features the only recognized source 

of data at a geographic level equivalent to U.S. counties. Economic census 

statistics serve as part of the framework for the national accounts of Puerto Rico 

and the Island Areas and provide essential information for government (Federal 

and local), business, and the general public. The 2002 Economic Census of 

Puerto Rico and Island Areas will cover sectors [as defined by the North 

American Industry Classification System (NAICS)] equivalent to that of the 

stateside economic census. 

Why Increase Occurred: This periodic collection will be conducted during Fiscal Year 2003.

Change in Burden: 55,749 hours

Agency: Department of Commerce

OMB Control No.: 0607-0897

Title: 2002 Economic Census Covering the Mining Sector

Purpose of Collection: The economic census is conducted every five years and is the primary source of 

facts about the structure and functioning of the Nation’s economy and features 

unique industry and geographic detail. Economic census statistics serve as part 

of the framework for the national accounts and provide essential information for 

government, business, and the general public. 

Why Increase Occurred: This periodic collection will be conducted during Fiscal Year 2003.

Change in Burden: 55,079 hours

Agency: Department of Commerce

OMB Control No.: 0607-0899

Title: 2002 Economic Census Covering the Manufacturing Sector

Purpose of Collection: The economic census is conducted every five years and is the primary source of 

facts about the structure and functioning of the Nation’s economy and features 

unique industry and geographic detail. Economic census statistics serve as part 

of the framework for the national accounts and provide essential information for 

government, business, and the general public. 

Why Increase Occurred: This periodic collection will be conducted during Fiscal Year 2003.

Change in Burden: 940,199 hours

Agency: Department of Commerce

OMB Control No.: 0607-0900

Title: 2003 National Census Test

Purpose of Collection: The U.S. Census Bureau will conduct the two-part 2003 National Census Test as 

part of planning for the 2010 Decennial Census. The first part, which tests selfresponse options, is planned to take advantage of evolving technology. The 

Census Bureau needs to research various self-response options in order to 

develop a strategy that encourages the public to respond to the census using 

either paper or electronic means before Non-response Follow-up (NRFU) 

occurs. This part will examine the impact of offering various options on overall 

response rates and data quality. These options include mail, Internet, Telephone 

Interactive Voice Response (IVR), and a combination of Internet and IVR. The 
second part of the test will examine revisions to the question on Hispanic origin 

and race. The goal of this portion of the test is to develop question wording and 

content that will lead to improved self-reporting of both race and Hispanic origin 

in the census and surveys. 

Why Increase Occurred: The collection was submitted as new during FY 2003.

Change in Burden: 40,000 hours

Agency: Department of Commerce

OMB Control No.: 0607-0901

Title: 2002 Business Expenses Survey

Purpose of Collection: The 2002 Business Expenses Survey will supplement basic economic statistics 

produced by the 2002 Economic Census of Wholesale Trade, Retail Trade, and 

Service Industries with estimates of operating expenses. Further, it will provide 

measures of value produced for wholesale trade and retail trade. Essential 

measurement of the Nation’s economy requires compilation of comprehensive 

and reliable data on both economic outputs (e.g., sales) and inputs (e.g., utilities 

and advertising expenses). This survey is the sole source of comprehensive 

expenses input data for covered industries. 

Why Increase Occurred: The collection was submitted as new during FY 2003.

Change in Burden: 158,710 hours

Agency: Department of Commerce

OMB Control No.: 0607-0902

Title: 2002 Survey of Business Owners and Self-Employed Persons (SBO)

Purpose of Collection: The 2002 Survey of Business Owners and Self-Employed Persons (SBO) will 

provide the only comprehensive, regularly collected source of information on 

selected economic and demographic characteristics for businesses and business 

owners by gender, ethnicity, and race. It is conducted as part of the economic 

census program. These data are needed to evaluate the extent and growth of 

business ownership by minorities and women in o rder to provide a framework 

for assessing and directing Federal, State, and local government programs 

designed to promote the activities of disadvantaged groups. 

Why Increase Occurred: The collection was submitted as new during FY 2003.

Change in Burden: 416,666 hours

Agency: Department of Commerce

OMB Control No.: 0607-NEW

Title: 2004 National Census Test

Purpose of Collection: The 2004 Census Test is a site-specific census test designed to assess 

methodologies and procedural design elements for data collection, capture, and 

processing operations, together with their associated support activities. The test 

will evaluate evolving technologies and updated procedures intended to help us 

meet our key goals for 2010: reducing operational risk, increasing the coverage, 

accuracy, and quality of census data, and containing cost. 

Why Increase Occurred: The collection was submitted as new during FY 2003. 

Change in Burden: 73,104 hours 

Agency: Department of Commerce

0607-NEW

Overseas Enumeration Questionnaire

OMB Control No.: 

Title: 
Purpose of Collection: The 2004 Overseas Enumeration Test is part of a research and testing program 

that will determine the feasibility, data, quality, and cost of enumerating all 

Americans living overseas during the 2010 census. The results of the 2004 test 

will provide information and recommendations to inform a test in 2006. If the 

Census Bureau and Congress decide to include an expanded overseas 

enumeration in the 2010 census, a “dress rehearsal” will be conducted in 2008. 

The proposed 2004 test will be conducted in three foreign countries. Americans 

living in these countries who request a test questionnaire will be mailed a 

questionnaire. Questionnaires also will be made available at embassies and 

consulates and through stakeholder organizations. Overseas Americans also can 

respond via the Internet. The questionnaire will contain the same “short form” 

(100 percent) questions asked stateside. In addition, respondents will be asked 

questions specific to this enumeration: citizenship, stateside address, and 

additional items needed for evaluating the test. 

Why Increase Occurred: The collection was submitted as new during FY 2003. 

Change in Burden: 12,881 hours 

Agency: Department of Commerce 

OMB Control No.: 0607-NEW 

Title: 2004 Panel of the Survey of Income and Program Participation (SIPP), Core 

Questionnaire & Wave 1 Topical Modules 

Purpose of Collection: The Census Bureau conducts the SIPP which is a household-based survey 

designed as a continuous series of national panels. New panels are introduced 

every few years with each panel usually having durations of one to four years. 

Respondents are interviewed at 4-month intervals or "waves" over the life of the 

panel. The survey is molded around a central "core" of labor force and income 

questions that remain fixed throughout the life of the panel. The core is 

supplemented with questions designed to address specific needs, such as 

obtaining information about child support agreements, support for nonhousehold members, functional limitations and disabilities (adults/children), 

adult well-being, and welfare reform. The SIPP represents a source of 

information for a wide variety of topics and allows information for separate 

topics to be integrated to form a single, unified database so that the interaction 

between tax, transfer, and other government and private policies can be 

examined. Government domestic-policy formulators depend heavily upon the 

SIPP information concerning the distribution of income received directly as 

money or indirectly as in-kind benefits and the effect of tax and transfer 

programs on this distribution. They also need improved and expanded data on 

the income and general economic and financial situation of the U.S. population. 

Why Increase Occurred: The collection was submitted as new during FY 2003. 

Change in Burden: 119,378 hours 

Agency: Department of Commerce 

OMB Control No.: 0607-0444 

Title: 2003 Company Organization Survey 

Purpose of Collection: The Census Bureau conducts the annual COS in order to update and maintain a 

central, multipurpose business register (formerly known as the SSEL). In 

particular, the COS supplies critical information on the composition, 

organizational structure, and operating characteristics of multi-establishment 

enterprises. 

Why Increase Occurred: The Census Bureau conducted the 2002 COS in conjunction with the 2002 

Economic Censuses and coordinated these collections so as to minimize 

respondent burden. The increase in burden is attributable to the fact that 
establishment data—collected for 2002 as part of the 2002 Economic Census—

will be collected for 2003 through this collection.

Change in Burden: 48,745 hours

Agency: Department of Commerce

OMB Control No.: 0607-0449

Title: Annual Survey of Manufactures (ASM)

Purpose of Collection: The ASM furnishes up-to-date estimates of employment and payrolls, hours and 

wages of production workers, value added by manufacture, cost of materials, 

value of shipments by product class, inventories, and expenditures for both plant 

and equipment and structures. The survey provides data for most of these items 

for each of the industries as defined in the North American Industry 

Classification System (NAICS). It also provides geographic data by state at a 

more aggregated industry level. Industry makes extensive use of the annual 

figures on product class shipments at the U.S. level in its market analysis, 

product planning, and investment planning. The ASM data are used to 

benchmark and reconcile monthly and quarterly data on manufacturing 

production and inventories. 

Why Increase Occurred: ASM was collected as part of the 2002 Economic Censuses, but it will be 

administered separately in 2003. 

Change in Burden: 186,100 hours 

Agency: Department of Commerce

OMB Control No.: 0648-NEW

Title: Alaska Seabird Avoidance Program

Purpose of Collection: All vessels in the hook-and-line ground fish fisheries off Alaska and in the 

Pacific halibut fishery in U.S. convention waters off Alaska will be required to 

prepare and use a seabird avoidance plan. 

Why Increase Occurred: Added requirements are needed to reduce seabird mortality and protect the 

endangered short-tailed albatross. A biological opinion issued under the 

Endangered Species Act requires action to protect the species 

Change in Burden: 16,000 hours 

Agency: Department of Commerce

OMB Control No.: 0651-0032

Title: Initial Patent Applications

Purpose of Collection: This information collection covers the documents and drawings that comprise 

the different types of patent applications. This collection covers the initial 

applications that are filed to start the patent proceedings (utility, plant, and 

design applications) and various applications that continue the prosecution of 

patent applications that have been abandoned or delayed for some reason (noncontinued prosecution applications, continuation/divisional international 

applications, continued prosecution applications, and continuation-in-part 

applications). Provisional applications, which are similar to the other initial 

applications except that they do not require claims or oaths, are also part of this 

information collection. 

Why Increase Occurred: As part of its movement toward electronic filing of all patent applications and 

related documents, the USPTO is accepting new utility and provisional 

applications electronically through the Electronic Filing System (EFS). The 

option to file these applications electronically adds 4,138 responses and 42,131 

burden hours to this collection. Additionally, applications larger than 10 

megabytes, which cannot be submitted through EFS, can be submitted to the 
USPTO on CD-ROM, along with the Application Transmittal Form and a Cover 

Letter. The USPTO estimates that three of these will be submitted per year, for 

a total of one hour. 

Change in Burden: 42,132 hours 

Agency: Department of Education

OMB Control No.: 1840-0759

Title: The Evaluation of Exchange, Language, International and Area Studies 

(EELIAS) 

Purpose of Collection: EELIAS is an electronic performance reporting system for grantees under 

Fulbright-Hays and Title VI programs. Information collected using EELIAS 

meets the regulatory reporting requirements for these programs and assists ED 

staff in meeting GPRA requirements. 

Why Increase Occurred: The remaining seven grants programs will be added to EELIAS during FY 03.

Change in Burden: 12,528 hours

Agency: Department of Education

OMB Control No.: 1845-NEW

Title: FSA Students Portal

Purpose of Collection: Federal Student Aid (FSA) of the U.S. Department of Education seeks to 

establish a registration system within the 'Students Portal', an Internet Portal 

Website. The Website will make the college application process more efficient, 

faster, and accurate by making it an automated, electronic process that targets 

financial aid and college applications. The Website uses some personal contact 

information criteria to automatically fill out the forms and surveys initiated by 

the user. The Website will also provide a database of demographic information 

that will help FSA target the distribution of financial aid materials to specific 

groups of students and/or parents . 

Why Increase Occurred: This is a new collection. 

Change in Burden: 200,000 hours 

Agency: Department of Energy

OMB Control No.: 1905-0169

Title: Manufacturing Energy Consumption Survey

Purpose of Collection: Data obtained from the MECS serve as a major input into the National Energy 

Modeling System industrial models, which, in turn are used to benchmark other 

government and non-government modeling systems. In addition, it provides a 

benchmark whereby progress in controlling external peak electricity demand 

through the use of energy management programs can be identified, as well as the 

rate of penetration of energy efficient technologies into the U.S. manufacturing 

capital equipment base. 

Why Increase Occurred: Information collection is quadrennial, so the approval was allowed to expire in 

2002 while EIA developed the new survey to be conducted in 2003. 

Change in Burden: 55,291 hours 

Agency: Environmental Protection Agency

OMB Control No.: 2025-NEW

Title: Electronic Reporting (Final Rule)

Purpose of Collection: This rule will allow regulated entities to report electronically to EPA by 

permitting the use of electronic document receiving systems to receive 

electronic documents in satisfaction of certain document submission 
requirements in EPA regulations. The rule would also allow state, tribal, and 

local environmental programs to seek EPA approval, as provided under 40 CFR 

§3.1000, to accept electronic documents to satisfy reporting requirements under 

authorized or delegated environmental programs that they administer. In 

seeking EPA approval, these state, tribal, and local environmental programs 

must upgrade their receiving systems as needed in order to satisfy the criteria 

laid out at 40 CFR 3.2000. 

Why Increase Occurred: New regulation. 

Change in Burden: 12,000 hours 

Agency: Environmental Protection Agency

OMB Control No.: 2040-NEW

Title: Final NPDES and ELG Regulatory Revisions for Concentrated Animal Feeding 

Operations (Final Rule) 

Purpose of Collection: This final rule expands the scope of the NPDES and ELG regulations for 

Concentrated Animal Feeding Operations (CAFOs) by regulating land 

application of manure, litter, and wastewater generated at these facilities. The 

rule expands the type of facilities covered to include dry chicken manure and 

immature animal operations. The rule also requires all facilities defined as a 

CAFO to apply for an NPDES permit. 

Why Increase Occurred: New regulation. 

Change in Burden: 1,890,000 hours 

Agency: Environmental Protection Agency

OMB Control No.: 2060-0088

Title: Final Consolidated Emissions Reporting Rule

Purpose of Collection: The Consolidated Emissions Reporting Rule revises existing statewide annual 

point source inventory requirements to minimize the annual reporting burden for 

a majority of sources. Under the final rule, 55 state and territorial air quality 

agencies, as well as 49 local agencies, must annually submit emissions data for 

larger point sources emitting specified levels of criteria pollutants. New 

requirements associated with the final rule include a provision to report point 

source emissions of PM-2.5 and its precursors. In addition, every three years, 

states will be required to submit a statewide stationary area, non-road mobile, 

on-road mobile, and biogenic source inventory for all criteria pollutants, 

including PM-2.5 and ammonia. 

Why Increase Occurred: New regulation. 

Change in Burden: 72,587 hours 

Agency: Environmental Protection Agency

OMB Control No.: 2040-0211

Title: Phase II of the NPDES Storm Water Program

Purpose of Collection: After small municipal separate storm sewer systems and small construction sites 

obtain permit coverage in March 2003, NPDES permitting authorities, including 

the Water Permits Division of the EPA Office of Wastewater Management, 

intend to use the data contained in storm water permit applications, construction 

waiver certifications, storm water pollution prevention plans (SWPPPs), no 

exposure certifications, and reports to set appropriate permit conditions, track 

discharges covered by storm water permits, and assess permit compliance. 

Why Increase Occurred: Phase II regulations, promulgated in December 1999, required small 

construction activities and certain small municipal separate storm sewer system 

operators to obtain NPDES permit coverage as of March 2003. Respondents 
will then be required to implement storm water programs as part of an NPDES 

storm water permit and report and maintain information.

Change in Burden: 3,816,828 hours

Agency: Environmental Protection Agency

OMB Control No.: 2040-NEW

Title: Long Term 2 Enhanced Surface Water Treatment Proposed Rule

Purpose of Collection: Monitoring, reporting, and recordkeeping are required at both the system and 

state levels under the National Primary Drinking Water Regulations (NPDWRs). 

Why Increase Occurred: New regulation. 

Change in Burden: 145,854 hours 

Agency: Environmental Protection Agency

OMB Control No.: 2040-NEW

Title: Stage 2 Disinfectants and Disinfection Byproducts Proposed Rule

Purpose of Collection: Monitoring, reporting, and recordkeeping are required at both the system and 

state levels under the National Primary Drinking Water Regulations (NPDWRs). 

Why Increase Occurred: New regulation 

Change in Burden: 248,772 hours 

Agency: Environmental Protection Agency

OMB Control No.: 2070-0162

Title: TSCA Inventory Update Rule Amendments

Purpose of Collection: EPA is amending the Inventory Update Rule (IUR) for three principle reasons: 

(1) to tailor the chemical substance reporting requirements to more closely 

match the Agency’s information needs without unreasonably increasing the 

reporting burdens on industry; (2) to obtain updated information relating to the 

potential human and environmental exposures of chemical substances listed on 

the TSCA Inventory; and (3) to improve the utility of the information reported 

under the IUR. The amendments are intended to obtain critical information that 

will enable EPA and other government agencies, industry and the public to 

better screen and assess chemical exposures and risks. EPA expects to be able 

to use this information to help set priorities for reviewing chemicals for further 

evaluation of potential risks. 

Why Increase Occurred: New regulation. 

Change in Burden: 414,500 hours 

Agency: Environmental Protection Agency

OMB Control No.: 2070-NEW

Title: Data Submissions for the Voluntary Children’s Chemical Evaluation Program 

(VCCEP) 

Purpose of Collection: EPA is engaged in an effort jointly with stakeholders to design and develop a 

voluntary program to evaluate commercial chemicals to which children may 

have a high likelihood of exposure. The purpose of the voluntary program is to 

obtain toxicity and exposure data needed to assess the risk of childhood 

exposure to commercial chemicals. EPA launched a pilot of this program on 

December 26, 2000. Manufacturers of 23 chemicals have been asked 

voluntarily to sponsor evaluations of their chemicals in the pilot. This collection 

addresses the reporting activities necessary to implement the pilot program. 
Why Increase Occurred: This will be a new information collection activity to obtain voluntary 

submissions of toxicity and exposure data on chemicals to which children may 

be especially exposed. 

Change in Burden: 152,000 hours 

Agency: Environmental Protection Agency 

OMB Control No.: 2070-NEW 

Title: Reporting and Recordkeeping Requirements under EPA's Hospitals for a 

Healthy Environment (H2E) Program 

Purpose of Collection: This information collection supports EPA’s Hospitals for a Healthy 

Environment (H2E) program. H2E is a voluntary partnership program jointly 

administered by the EPA and the American Hospital Association (AHA) that 

helps hospitals enhance work place safety, reduce waste and waste disposal 

costs, and become better environmental stewards and neighbors. The program is 

based on a 1998 Memorandum of Understanding signed by AHA and EPA to 

provide health care professionals with the tools and information necessary to 

reduce mercury waste, reduce the overall volume of waste, and identify 

pollution prevention opportunities. Participating health care facilities set waste 

reduction and pollution prevention goals and report progress on meeting their 

goals to EPA and AHA. 

Why Increase Occurred: This will be a new information collection activity to obtain voluntary 

information on waste reduction and pollution prevention efforts in health care 

facilities. 

Change in Burden: 10,110 hours 

Agency: Federal Communications Commission 

OMB Control No.: 3060-0207 

Title: Part 11—Emergency Alert System (EAS) 

Purpose of Collection: This collection contains rules and regulations providing for an emergency alert 

system (EAS). The EAS provides the President of the United States with the 

capability to provide immediate communications and information to the general 

public during periods of national emergency. The EAS also provides state and 

local governments and the National Weather Service with the capability to 

provide immediate communications and information to the general public 

concerning emergency situations posing a threat to life and property. 

Why Increase Occurred: The Commission adopted a Report and Order (R&O) on February 22, 2002. 

The Report and Order amended 47 CFR Part 11 rules to revise the technical and 

operational requirements for the EAS. Many amendments were intended to 

enhance the capabilities and performance of the EAS during state and local 

emergencies, which will promote public safety. 

Change in Burden: 16,500 hours 

Agency: Federal Communications Commission 

OMB Control No.: 3060-0519 

Title: Rules and Regulations Implementing the Telephone Consumer Protection Act 

(TCPA) of 1991, NPRM, GC Docket No. 02-278 and CC Docket No. 92-90 

Purpose of Collection: The Commission implemented rules pursuant to the requirements of the 

Telephone Consumer Protection Act of 1991 (TCPA), Public Law 102-243, 

(1991), which added Section 227 to the Communications Act of 1934, as 

amended, to restrict the use of automatic telephone dialing systems 

(“autodialers”), artificial or prerecorded messages, facsimile machines, or other 

devices to send unsolicited advertisements. In the NPRM, the Commission 
sought comment on the current recordkeeping requirement on telemarketers to 

maintain lists of telephone subscribers who do not wish to be contacted by 

telephone. The Commission sought comment on the effectiveness of such lists 

in preventing unwanted telephone solicitations and whether the benefits of such 

lists continue to outweigh the cost to telemarketers. 

Why Increase Occurred: The Commission estimates that the total annual burden hour would increase 

from 936,000 respondents to 1,653,600 respondents based on more recent public 

information regarding the number of telemarketing calls made per day in the 

United States. 

Change in Burden: 717,600 hours 

Agency: Federal Communications Commission 

OMB Control No.: 3060-1025 

Title: Section 101.1440 MVDDS Protection of Direct Broadcast Satellites 

Purpose of Collection: This rule requires Multichannel Video Distribution and Data Services 

(MVDDS) licensees are required to conduct a survey to determine the location 

of all Direct Broadcast Satellite (DBS) customers around its proposed 

transmitting antenna site that may potentially be affected by the introduction of 

the MVDDS service. This will ensure that the MVDDS signal will not be in 

excess of the appropriate Equivalent Power Flux Density (EPFD) limits and 

cause interference to DBS customers. 

Why Increase Occurred: This rule section is required to keep all MVDDS licensees in compliance with 

the Commission’s Interference Rules. 

Change in Burden: 14,160 hours 

Agency: Federal Communications Commission 

OMB Control No.: 3060-0855 

Title: Telecommunications Reporting Worksheet, FCC Forms 499, 499-A and 499-Q 

Purpose of Collection: Pursuant to the Communications Act of 1934, as amended, telecommunications 

carriers (and certain other providers of telecommunications services) must 

contribute to the support and cost recovery mechanisms for telecommunications 

relay services, numbering administration, number portability, and universal 

service. The Commission modified the existing methodology used to assess 

contributions that carriers make to the Federal universal service support 

mechanisms. The adopted modifications will entail altering to the current 

revenue reporting requirements to which interstate telecommunications carriers 

are subject under Part 54 of the Commission’s rules. 

Why Increase Occurred: The program change increase in burden hours reflects increased average 

reporting obligations and respondent inquiries to the Administrator under 

current procedures, as necessary for the Commission to implement the express 

directives of Congress in the Telecommunications Act of 1996. 

Change in Burden: 58,200 hours 

Agency: Federal Energy Regulatory Commission 

OMB Control No.: 1902-0096 

Title: Electric Rate Schedule Filings, FERC-516 (RM01-12-000) (Standard Market 

Rate Design) 

Purpose of Collection: To remedy remaining undue discrimination in the provision of interstate 

transmission services and in other industry practices, and to ensure just and 

reasonable rates for sales of electric energy within and among regional power 

markets. The Commission proposes to modify the Order No. 888 pro forma 

tariff to reflect nondiscriminatory, standardized transmission service and require 
standardized wholesale electric market design. The Commission also proposes 

to expressly exercise jurisdiction over all transmission in interstate commerce by 

public utilities. 

Why Increase Occurred: The Commission proposes to modify the Order No. 888 pro forma tariff to 

reflect nondiscriminatory, standardized transmission service and require 

standardized wholesale electric market design. The Commission also proposes 

to expressly exercise jurisdiction over all transmission in interstate commerce by 

public utilities. 

Change in Burden: 215,104 hours 

Agency: Federal Energy Regulatory Commission 

OMB Control No.: 1902-0173 

Title: Open Access Same-Time Information System and Standards of Conduct, 

(OASIS) 

Purpose of Collection: The information contained in FERC-717 is required by the Commission to 

ensure that employees of a public utility (or any of its affiliates) engaged in 

marketing functions do not have preferential access to OASIS-re lated 

information or from engaging in unduly discriminatory business practices. 

Why Increase Occurred: In the proposed rule, FERC is proposing to apply the standards of conduct to 

require a separation of the transmission function from all sales functions, 

including bundled retail sales and a restriction on preferential access to 

transmission information for the bundled sales function. All merchant function 

employees would need to be separated from transmission function employees, 

whether they are engaged in bundled retail sales or wholesale sales. Therefore, 

the transmission providers’ employees engaged in bundled sales functions for 

retail native load will be treated the same as wholesale merchant function 

employees. In addition, transmission providers will have to implement 

measures to restrict native load sales employees’ preferential access to 

transmission information. 

Change in Burden: 11,895 hours 

Agency: Federal Trade Commission 

OMB Control No.: 3084-0097 

Title: Telemarketing Sales Rule 

Purpose of Collection: The Rule requires certain disclosures in telemarketing calls for sales of goods or 

services or solicitations of charitable contributions by sellers and/or 

telemarketers. The disclosures provide consumers or prospective donors with 

information necessary to make informed decisions. Recordkeeping provisions 

aid in determining compliance. 

Why Increase Occurred: As a result of the Commission’s review of the Rule, as required by the 

Telemarketing and Consumer Fraud and Abuse Prevention Act, the Commission 

has amended the rule to protect consumers further regarding emerging areas of 

fraud and abuse. Moreover, various provisions throughout the rule were 

modified to expand their coverage to include charitable solicitations, pursuant to 

the USA PATRIOT Act. 

Change in Burden: 840,264 hours 

Agency: Department of Health and Human Services 

OMB Control No.: 0938-0786 

Title: External Quality Review of Medicaid MCOs and Supporting Regulations in 42 

CFR 438.352,438.360, 438.362, and 438.364 
Purpose of Collection: The results of Medicare reviews, Medicare accreditation surveys, and Medicaid 

external quality reviews will be used by States in assessing the quality of care 

provided to Medicaid beneficiaries provided by managed care organizations and 

to provide information on the quality of the care provided to the general public 

upon request. 

Why Increase Occurred: The EQR protocols identify and discuss activities to be undertaken by personnel 

performing reviews of health care quality. The JCAHO developed these 

protocols with the advice of an expert panel. All activities that provide 

information for EQR must use protocols that are consistent with (as opposed to 

identical to) the activities discussed in the protocols. This will ensure that the 

conduct of the activities enhances the quality of EQR for state agencies and that 

the conduct of the activities is methodologically sound. 

Change in Burden: 503,214 hours 

Agency: Department of Health and Human Services

OMB Control No.: 0938-NEW

Title: Changes to the Medicare Claims Appeal Procedures--Supporting statement for 

4004-P 

Purpose of Collection: Proposed §405.940 provides for a redetermination of an initial determination by 

an FI or carrier. It requires that an individual file a written request for 

redetermination within 120 days from the date the individual receives the initial 

determination. The request for redermination generally must be by a standard 

CMS form but may otherwise be accepted if the request contains the required 

elements. 

Why Increase Occurred: This is a new collection imposing new requirements.

Change in Burden: 1,715,000 hours

Agency: Department of Health and Human Services

OMB Control No.: 0938-0883

Title: Standards for Privacy of Individually Identifiable Health Information and 

Supporting Regulations contained in 45 CFR Parts 160 and 164 

Purpose of Collection: The Privacy Rule implements the privacy requirements of the Administrative 

Simplification subtitle of the Health Insurance Portability and Accountability 

Act of 1996. The final regulation would require covered entities (as defined in 

the regulation) to maintain strong protections for the privacy of individually 

identifiable health information; to use or disclose this information only as 

required or permitted by the Rule or with the express written authorization of the 

individual; to provide a notice of the entity’s privacy practices; and to document 

compliance with the Rule. 

Why Increase Occurred: This is a new collection imposing new requirements.

Change in Burden: 2,210,715 hours

Agency: Department of Health and Human Services

OMB Control No.: 0910-NEW

Title: Bar Code Label Requirement for Human Drug Products and Blood

Purpose of Collection: To require human drug product and biological product labels to have bar codes. 

The bar code for such products (other than blood and blood components) would 

contain the National Drug Code (NDC) number in a linear bar code. The rule 

would help reduce the number of medication errors in hospitals and other health 

care settings by allowing healthcare professionals to use bar code scanning 

equipment to verify that the right drug, in the right dose and the right route of 

administration, is being given to the right patient at the right time. It would also 
require the use of machine-readable information on blood and blood component 

container labels. 

Why Increase Occurred: This is a new collection imposing new requirements. 

Change in Burden: 1,776,590 hours 

Agency: Department of Health and Human Services

OMB Control No.: 0910-NEW

Title: Food Labeling: Trans Fatty Acids in Nutrition Labeling; Nutrition Content 

Claims, and Health Claims 

Purpose of Collection: This rule requires food processors to disclose on the label information on the 

amount of trans fat when the product contains 0.5 g or more of trans fat per 

serving. This rule also allows manufacturers to make “trans fat free” claims on 

appropriate products. Such claims would trigger additional required information 

(i.e., a declaration of “0 g trans fatty acids” in a footnote, the levels of total fat 

and cholesterol if either or both are present at significant levels. This rule assists 

the consumer in constructing a diet consistent with dietary guidelines for 

limiting saturated fat intake. 

Why Increase Occurred: Section 403(q) of the Federal Food, Drug, and Cosmetic Act requires that the 

label or labeling of food bear nutrition information on the amount of nutrients 

present in a product. 

Change in Burden: 598,000 hours 

Agency: Department of Health and Human Services

OMB Control No.: 0910-NEW

Title: Current Good Manufacturing Practice (CGMPs) in Manufacturing, Packing, or 

Holding Dietary ingredients and Dietary Supplements 

Purpose of Collection: FDA is proposing current good manufacturing practice regulations for dietary 

ingredients and dietary supplements that would establish the minimum CGMPs 

necessary to ensure that activities related to manufacturing, packaging, or 

holding dietary ingredients or dietary supplements. Respondents include those 

that manufacture, package or hold dietary ingredients or dietary supplements. 

FDA will use these records to determine whether the methods, facilities, and 

controls used in manufacturing, packaging, or holding dietary ingredients or 

dietary supplements conform to CGMP regulations. 

Why Increase Occurred: Section 402(g) of the Federal Food, Drug, and Cosmetic Act and the 

communicable disease provisions authorize FDA to prescribe good 

manufacturing practices required of manufacturing, packaging, or holding 

dietary ingredients or dietary supplements. 

Change in Burden: 504,032 hours 

Agency: Department of Health and Human Services

OMB Control No.: 0990-NEW

Title: OCR Complaint Forms

Purpose of Collection: To establish a standardized, automated mechanism for filing complaints, the 

Office for Civil Rights will seek OMB approval of complaint forms. 

Why Increase Occurred: No prior standardized version. 

Change in Burden: 17,930 hours 

Agency: Department of Health and Human Services 

OMB Control No.: 0930-0078

Title: Drug Abuse Warning Network (DAWN)
Purpose of Collection: DAWN collects data on drug-related medical emergencies and deaths. Data are 

reported from approximately 660 hospitals and medical examiners nationwide. 

Used by Federal, State and local agencies, the ongoing data system supports 

efforts to identify drug abuse trends, assess health hazards associated with 

substance abuse, and scheduled substances under the Controlled Substances Act. 

Why Increase Occurred: The sample size and design for the emergency department component was 

completely revised to provide data for an expanded set of metropolitan areas in 

order to make the data more useful. 

Change in Burden: 31,454 hours 

Agency: Department of Health and Human Services

OMB Control No.: 0930-NEW

Title: The National Historically Black College and University (HBCU) Substance Use 

Survey 

Purpose of Collection: The HBCU Substance Use Survey will assess the prevalence of alcohol, 

tobacco, and other drug use and identify a variety of risk and/or protective 

factors that may be associated with the use of these substances among college 

freshman at participating HBCU institutions. 

Why Increase Occurred: Participating schools want to identify the needs and problems on their campuses 

and to modify their programs for students in response. 

Change in Burden: 22,000 hours 

Agency: Department of Health and Human Services

OMB Control No.: 0930-NEW

Title: National Treatment Outcomes Monitoring System

Purpose of Collection: NTOMS will be a surveillance system that will provide periodic reporting on 

access to and effectiveness of drug abuse treatment using a nationally 

representative sample of patients receiving treatment for psychoactive substance 

dependence in a sample of specialty treatment providers throughout the United 

States. NTOMS will collect information from and about clients, and limited 

information about treatment facilities. 

Why Increase Occurred: This new data collection activity is being developed and implemented at the 

request of the Office of National Drug Control Policy to provide important 

information that is not currently available. 

Change in Burden: 35,116 hours

Agency: Department of Health and Human Services

OMB Control No.: 0925-0423

Title: A Prospective Study of Diet and Cancer in Members of the American 

Association of Retired Persons (AARP) 

Purpose of Collection: The information is expected to elucidate the relation between diet and several 

major cancers. 

Why Increase Occurred: Planned periodic follow-up of an earlier survey after a three year interval. 

Change in Burden: 55,977 hours 

Agency: Department of Health and Human Services

OMB Control No.: 0920-NEW

Title: Monitoring and Evaluation Systems for Health Departments and Communitybased Organizations 

Purpose of Collection: The National Center for HIV, STD, and TB Prevention is conducting this 

survey. Although CDC receives evaluation data from grantees, the data 
received to date have been insufficient for evaluation and accountability. 

Furthermore, there has not been standardization of required evaluation data from 

both health departments and CBOs. A revision of the Evaluation Guidance and 

the reporting process has become necessary to ensure CDC receives 

standardized, accurate, thorough evaluation data from both health department 

and CBO grantees. 

Why Increase Occurred: New submission. 

Change in Burden: 86,250 hours 

Agency: Department of Housing and Urban Development 

OMB Control No.: 2502-0525 

Title: Builder’s Certification/Guarantee and New Construction Subterranean Termite 

Soil Treatment Record, and Wood Destroying Insect Infestation Inspection 

Report 

Purpose of Collection: This information collection is adding a new form, HUD-NPCA-1, to report the 

condition of the subject property for visible evidence of wood destroying insect 

infestations. The report will be used on existing structures being insured by 

HUD. Wood destroying insects include, but are not limited to: termites, 

carpenter ants, carpenter bees, and infesting wood boring beetles. 

Why Increase Occurred: HUD has adopted a form used by the National Pest Control Association so that 

there can be a uniform industry form. The increase to this collection is based on 

the number of existing homes sold each year that will use this report. 

Change in Burden: 900,000 hours 

Agency: Department of Housing and Urban Development 

OMB Control No.: 2577-NEW 

Title: Up-Front Income Verification (UIV) Data System Rent Subsidy Program 

Purpose of Collection: Public Housing Authorities (PHAs) would use the UIV data system to perform 

verification of the incomes of existing tenants during interim and annual 

recertifications, and to report income and rent discrepancies. 

Why Increase Occurred: New collection due to an initiative in the President’s Management Agenda. 

Change in Burden: 391,667 hours 

Agency: Department of the Interior 

OMB Control No.: 1010-0152 

Title: Notice to Lessees and Operators (NTL)—Damage Caused by Hurricane Lili 

Purpose of Collection: The information to be collected is necessary for the MMS to assess the structural 

integrity of the platforms that may have been damaged by Hurricane Lili to 

determine if any of them pose a threat to continued safe operations or to the 

environment. The MMS will use the information collected to determine whether 

to require corrective action, including repairs and maintenance, on any damaged 

structures. The offshore oil and gas industry will use the information for 

financial purposes when dealing with partners, insurance companies, and 

company personnel. 

Why Increase Occurred: On October 2, 2002, Hurricane Lili hit the Gulf of Mexico as a category III/IV 

storm. As a result, MMS received numerous reports of severe damage to OCS 

platforms (both above and below the water line) along the path of the hurricane. 

The MMS is concerned that other damage that could eventually pose a threat to 

safety or to the environment remains undetected. The NTL will provide MMS 

with information needed to identify these situations and determine corrective 

action. 

Change in Burden: 36,960 hours 
Agency: Department of the Interior 

OMB Control No.: 1018-0119 

Title: Policy for Evaluation of Conservation Efforts When Making Listing Decisions 

Purpose of Collection: If a State or other entity is taking steps to protect a species that the FWS is 

considering listing as endangered or threatened, then the FWS may not list that 

species. To be recognized as taking steps to protect a species, a State or other 

entity may enter into a voluntary conservation agreement with the FWS. When 

a State or other entity enters into such an agreement with the FWS, the State or 

other entity must develop a sound conservation plan and must monitor and 

report on the progress and results of the implementation of conversation efforts. 

These requirements ensure that conservation efforts are meeting their intended 

goal of protecting imperiled wildlife or plants. This information collection 

should result in a decrease in the number of species of wildlife and plants that 

the FWS must list as endangered or threatened. 

Why Increase Occurred: This is a new program to formally collect written conservation plans, require 

monitoring of conservation efforts, and provide a progress report. 

Change in Burden: 16,600 hours 

Agency: Department of the Interior 

OMB Control No.: 1029-NEW 

Title: Surface Mining Permit Applications—Minimum Requirements for Reclamation 

and Operation Plans—30 CFR 780 

Purpose of Collection: Permit application requirements in sections 507 and 508(g) of P.L. 95-87 require 

the applicant to submit the operations and reclamation plans for coal mining 

activities. Information collection is needed to determine whether the mining and 

reclamation plan will achieve the reclamation and environmental protections 

pursuant to SMCRA. 

Why Increase Occurred: OSM is preparing the Placement of Excess Spoil Rule to address the 

environmental impacts of mining that involves the creation of excess spoil fills , 

particularly fills placed in streams. This rulemaking will resolve the controversy 

surrounding the legitimacy and on-the-ground impacts of mountaintop mining in 

West Virginia and adjacent states. Specifically, this rulemaking will require 

surface coal mining permit applicants to provide additional information on 1) 

fish and wildlife affected, 2) volumetric spoil and post-mining configuration 

design analysis, and 3) findings regarding the probable hydrological 

consequences of the proposed mine. 

Change in Burden: 18,300 hours 

Agency: Department of Justice 

OMB Control No.: 1115-0077 

Title: Arrival and Departure Record 

Purpose of Collection: The data collected on this form provides required data elements; supports timely 

and accurate capture of nonimmigrant data and matching of arrival and 

departure records; and supports development of automated solutions to further 

streamline document handling and information processing. Documentation of 

aliens’ arrival and departure to and from the United States is a part of the 

manifest requirements of Sections 231 and 235 of the Immigration and 

Nationality Act and may be evidence of registration when issued as provided by 

Section 264 of the Immigration and Nationality Act. 

Why Increase Occurred: The increase is attributed to regulations at 8 CFR 212.1(a) (INS No. 2202; 

AG68, Removal of Visa and Passport Waiver for Certain Permanent Residents 
of Canada and Bermuda), requiring all residents of Canada and Bermuda who 

are not citizens of the United States to have a passport and nonimmigrant for 

visa for entry to the United States. 

Change in Burden: 33,000 hours 

Agency: Department of Labor

OMB Control No.: 1205-0417

Title: FY 2002 Workforce Information Grant Plan and Annual Performance Report

Purpose of Collection: Requires States to submit additional narrative in the annual grant plan, to assess 

customer satisfaction with State workforce information and to include a 

summary of the results of customer satisfaction assessment in an annual 

performance report, as conditions for receiving Workforce Information Core 

Products and Services reimbursable grants. 

Why Increase Occurred: The FY 2002 planning guidance requires additional narrative describing the 

statewide employment statistics system and how the system supports the state’s 

Workforce Investment Act/Wagner-Peyser Five Year Strategic Plan and OneStop Service Delivery. 

Change in Burden: 44,064 hours 

Agency: Department of Labor

OMB Control No.: 1205-0373

Title: Youth Opportunity Area Demonstration Evaluation

Purpose of Collection: Provides third and final wave of the survey to be completed and serve as an 

analysis of the youth employment rate in the subject areas after three years of 

operation. 

Why Increase Occurred: Allows for follow-up estimates in the last five Kulick sites and the 36 Youth 

Opportunity areas. 

Change in Burden: 17,323 hours 

Agency: Department of Labor

OMB Control No.: 1205-NEW

Title: Labor Condition for the Permanent Employment of Aliens in the U.S., 

Implementation of New System 

Purpose of Collection: To process applications for permanent alien Employment Certification. System 

is expected to yield a large reduction in the average time needed to process labor 

certification applications and to eliminate the need to periodically institute 

special, resource intensive efforts to reduce backlogs, which has been a 

recurring problem. 

Why Increase Occurred: Implementation of Proposed Rule.

Change in Burden: 96,681 hours

Agency: Department of Labor

OMB Control No.: 1205-NEW

Title: ETA Data Validation Reporting Project

Purpose of Collection: To collect data from state workforce agencies and Local workforce investment 

areas on the data validation efforts such as Validation Report Summaries and 

Data Element Validation Summaries. 

Why Increase Occurred: New collection to improve data validation efforts. 

Change in Burden: 93,650 hours 
Agency: Department of Labor

OMB Control No.: 1205-NEW

Title: Required Disclosures for Continuation Coverage under Part 6 of Title I of 

ERISA (“COBRA Notices’) 

Purpose of Collection: Continuation of health care coverage provisions of the ERISA generally require 

group health plans to provide participants and beneficiaries who would lose 

coverage due to death, divorce, or termination of employment (and other 

specific circumstances), with notice of the opportunity to elect to continue 

coverage under the plan at group rates for a limited period of time. This third 

party notice of the opportunity to continue coverage and related notices 

constitute the information collection. 

Why Increase Occurred: The statutory notice requirements have been in effect since 1986; however, the 

Department’s Pension and Welfare Benefits Administration (PWBA) has not 

issued regulations with respect to the statutory requirements. Individuals and 

industry representatives have encouraged PWBA to issue guidance as to the 

timing and content of the required notices, as well as standards for administering 

the notice process. PWBA intends to issue such guidance in 2003. The notice 

provisions affect significant numbers of respondent plans (about 2.6 million), 

and plan participants and beneficiaries (about 7 million responses) annually. 

Change in Burden: 90,000 hours 

Agency: Department of Labor

OMB Control No.: 1215-0188

Title: Labor Organization and Auxiliary Reports

Purpose of Collection: The Labor-Management Reporting and Disclosure Act (LMRDA) requires 

unions to file annual financial reports, initial information reports, and copies of 

their constitution and bylaws with DOL. Under certain circumstances, reports 

are required of union officers and employees, employers, labor relations 

consultants, and surety companies. 

Why Increase Occurred: The increase was a result of the publication of a proposed Regulation revising 

the LM -2, LM-3, LM-4, and adding a new form, the T-1. 

Change in Burden: 223,130 hours 

Agency: Department of Labor

OMB Control No.: 1218-0176

Title: Recording and Reporting Occupational Injuries and Illnesses

Purpose of Collection: The Occupational Safety and Health Act requires that the Secretary of Labor 

develop and maintain an effective program of collection, compilation, and 

analysis of occupational safety and health statistics. The Department of Labor’s 

Occupational Safety and Health Administration’s (OSHA) Recordkeeping 

Regulations contained in Title 29 Code of Federal Regulations (CFR Part 1904) 

fulfill this requirement. The use of recordkeeping forms by employers helps to 

ensure that uniformity of the safety and health data utilized by OSHA and the 

Bureau of Labor Statistics. 

Why Increase Occurred: On July 1, 2002, OSHA published a final rule revising the criteria for recording 

occupational hearing loss on the OSHA 300 and 301 forms. These revised 

criteria take affect January 1, 2003. 

Change in Burden: 31,663 hours 

Agency: National Science Foundation

3145-0141

National Survey of College Graduates

OMB Control No.: 

Title: 
Purpose of Collection: The National Survey of College Graduates (NSCG) has been conducted 

biennially since 1993. In the 2003 NSCG, persons trained and/or working in 

science and engineering will be contacted. The purpose of this longitudinal 

study is to provide national estimates on the science and engineering workforce 

and changes in employment, education and demographic characteristics. The 

study is one of three components of the Scientists and Engineers Statistical Data 

System (SESTAT), which produces national estimates of the size and 

characteristics of the nation's science and engineering population. 

Why Increase Occurred: Administration of the survey. 

Change in Burden: 75,000 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0025 

Title: Rule 30e-1 under the Investment Comp any Act of 1940, Reports to Stockholders 

of Management Companies 

Purpose of Collection: Shareholder reports are one of the principal means by which funds provide 

periodic information to their investors. 

Why Increase Occurred: The Commission has proposed amendments to rule 30e-1 that would permit a 

fund to include a summary portfolio schedule in its reports to shareholders and 

exempt a money market fund from the requirement to include a portfolio 

schedule of investments in securities of unaffiliated issuers in its reports to 

shareholders, under certain conditions; require reports to shareholders to include 

a tabular or graphic presentation of a fund’s portfolio holdings by identifiable 

categories; require open-end management investment companies (“mutual 

funds”) to disclose in reports to shareholders fund expenses borne by 

shareholders during the reporting period; and require a mutual fund to include 

Management’s Discussion of Fund Performance in its annual report to 

shareholders. 

Change in Burden: 140,000 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0025 

Title: Rule 30e-1 under the Investment Company Act of 1940, Reports to Stockholders 

of Management Companies 

Purpose of Collection: Rule 30e-1 requires registered management investment companies to send 

reports to their shareholders. Shareholder reports are one of the principal means 

by which funds provide periodic information to their investors. 

Why Increase Occurred: The Commission has proposed to amend the requirements for the content of 

shareholder reports to require funds to disclose information about their proxy 

voting policies and procedures and their actual voting records for votes that were 

inconsistent with the proxy voting policies and procedures. 

Change in Burden: 37,000 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0058 

Title: Form 12b-25 – Notification of Late Filing 

Purpose of Collection: Every issuer that is subject to Section 13(a) or 15(d) under the Exchange Act 

must file periodic and current reports with the Commission containing 

information about its business and financial condition. In Securities Act Release 

No. 8160, we proposed to provide investors with more information about 

important extraordinary corporate events on a more timely basis so that 

investors will be able to make investment and voting decisions. 
Why Increase Occurred: The proposed amendments require more corporate events to be disclosed on 

Form 8-K. This disclosure would increase the number of Form 8-K filings. 

This, in turn, may result in an increase in the number of Form 12b-25 filings 

because more filers may have to inform the Commission that they are unable to 

file a report in timely manner. 

Change in Burden: 16,750 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0063 

Title: Form 10-K 

Purpose of Collection: Every issuer that is subject to Section 13(a) or 15(d) under the Exchange Act 

must file periodic and current reports with the Commission containing 

information about its business and financial condition. In Securities Act Release 

No. 8160, we proposed to provide investors with faster disclosure of information 

about extraordinary corporate events so that investors will be able to make 

investment and voting decisions on a better-informed and more-timely basis. 

The proposed amendments would require prompt disclosure of this information 

within two business days on Form 8-K. In addition, Exchange Act Release No. 

46079, the Commission proposed to require a registrant’s principal executive 

officer and principal financial officer to certify that the information in the 

registrant’s quarterly and annual reports is true in all important respects and that 

the reports contain all information about the registrant of which they are aware 

and believe is important to a reasonable investor. 

Why Increase Occurred: The proposed amendments described in Securities Act Release No. 8106 would 

decrease the burden hours associated with Form 10-K by moving several 

required disclosures to Form 8-K. The Exchange Act Release No. 46079, 

proposals would increase the number of burden hours associated with the 

preparation and filing of an annual report on Form 10-K by requiring the new 

certifications. 

Change in Burden: 28,152 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0278 

Title: Rule 204-2 Under the Investment Advisers Act of 1940 

Purpose of Collection: Rule 204-2 under the Investment Advisers Act of 1940 sets forth the 

requirements for maintaining and preserving specified books and records of 

investment advisers. 

Why Increase Occurred: Proposed amendments to rule 204-2 would require registered investment 

advisers that vote client proxies to maintain specified records with respect to 

those clients. These advisers would be required to maintain copies of their 

policies and procedures about voting client proxies, as well as copies of records 

of each proxy statement received with respect to the securities of clients for 

whom the adviser exercises voting authority. 

Change in Burden: 124,060 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0307 

Title: Form N-1A under the Investment Company Act of 1940 and the Securities Act 

of 1933, Registration Statement of Open-End Management Investment 

Companies 

Purpose of Collection: Open-end investment companies register offerings of securities under the 

Securities Act of 1933 [15 U.S.C. 77a et seq.] (“Securities Act”) and register as 
investment companies under the Investment Company Act of 1940 [15 U.S.C. 

80a-1 et seq.] (“Investment Company Act”). Form N-1A provides a means for 

open-end companies to register offerings of securities under the Securities Act 

and register as investment companies under the Investment Company Act on a 

single form. The purpose of Form N-1A is to provide a means of meeting the 

filing and disclosure requirements of the Securities Act and the Investment 

Company Act and to enable open-end companies to provide investors with 

information necessary to evaluate an investment in the securities they issue. 

Why Increase Occurred: The Commission proposed amendments to Form N-1A to require the disclosure 

of certain information about the policies and procedures the open-end 

investment company uses to determine how to vote proxies relating to portfolio 

securities. The proposed amendments would also require a fund to disclose in 

its registration statement the methods by which shareholders may obtain 

information about proxy voting. 

Change in Burden: 16,594 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0570 

Title: Form N-CSR under the Investment Company Act of 1940 and the Securities 

Exchange Act of 1934, Certified Shareholder Reports 

Purpose of Collection: The Sarbanes-Oxley Act requires the Commission to adopt final rules that 

require the principal executive officer or officers and the principal financial 

officer or officers, or persons performing similar functions, of an issuer each to 

certify the information contained in the issuer’s quarterly and annual reports 

filed or submitted under Section 13(a) or 15(d) of the Securities Exchange Act 

of 1934 (“Exchange Act”). Investment companies would use proposed Form NCSR to satisfy their reporting requirements under the Exchange Act. The 

Commission staff would use the information provided on proposed Form NCSR to verify that investment companies have provided the certification 

required by Section 302 of the Sarbanes-Oxley Act that the company’s financial 

statements and other information in the shareholder report fairly present in all 

material respects the financial condition and results of operations of the 

investment company and the effectiveness of disclosure controls and procedures. 

Proposed amendments to proposed Form N-CSR would enhance the ability of 

fund shareholders to monitor whether the fund uses its assets in the best interests 

of its shareholders. 

Why Increase Occurred: The Commission proposed amendments to proposed Form N-CSR to require the 

disclosure of certain information about issuers of portfolio securities with 

respect to which the fund was entitled to vote proxies, including identification of 

the issuers, the matters voted on, whether and how the fund voted its proxies, 

whether the matter voted on was proposed by management, and whether the 

fund voted for or against management. 

Change in Burden: 74,000 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0570 

Title: Form N-CSR under the Investment Company Act of 1940 and the Securities 

Exchange Act of 1934, Certified Shareholder Reports 

Purpose of Collection: The Sarbanes-Oxley Act requires the Commission to adopt final rules that 

require the principal executive officer or officers and the principal financial 

officer or officers, or persons performing similar functions, of an issuer each to 

certify the information contained in the issuer’s quarterly and annual reports 

filed or submitted under Section 13(a) or 15(d) of the Securities Exchange Act 
of 1934 (“Exchange Act”). Investment companies would use proposed Form NCSR to satisfy their reporting requirements under the Exchange Act. The 

Commission staff would use the information provided on proposed Form NCSR to verify that investment companies have provided the certification 

required by Section 302 of the Sarbanes-Oxley Act that the company’s financial 

statements and other information in the shareholder report fairly present in all 

material respects the financial condition and results of operations of the 

investment company and the effectiveness of disclosure controls and procedures. 

Why Increase Occurred: The Commission has proposed an amendment to proposed Form N-CSR that 

would require a fund that has used a summary portfolio schedule in its reports to 

shareholders in lieu of including a complete schedule of investments in 

securities of unaffiliated issuers, or a money market fund that has omitted its 

schedule of investments in securities of unaffiliated issuers from its reports to 

shareholders, to file its complete schedule of investments in securities of 

unaffiliated issuers pursuant to a new item of Form N-CSR. 

Change in Burden: 71,950 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-0571 

Title: Rule 206(4)-6 Under the Investment Advisers Act of 1940 

Purpose of Collection: The Securities and Exchange Commission has proposed to adopt a new rule that 

would address an investment adviser’s fiduciary obligation to clients who have 

given the adviser authority to vote their proxies. 

Why Increase Occurred: Proposed Rule 206(4)-6 under the Investment Advisers Act of 1940 would 

require an investment adviser that votes client proxies to adopt written policies 

and procedures reasonably designed to ensure the adviser votes proxies in the 

best interest of the client, including procedures to address any material conflict 

that may arise between the interest of the adviser and the client. The proposed 

rule would also require the adviser to disclose to clients information about those 

procedures and policies and how clients may obtain information on how the 

adviser has voted their proxies. 

Change in Burden: 103,590 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-NEW 

Title: Rule 206(4)-7 under the Investment Advisers Act of 1940, Compliance 

procedures and practices 

Purpose of Collection: The collection of information under rule 206(4)-7 is necessary to assure that 

investment advisers maintain comprehensive internal programs that promote the 

advisers’ compliance with the Advisers Act. The Commission staff conducting 

the Commission’s examination and oversight program would use the 

information collected to assess investment advisers’ compliance programs. 

Why Increase Occurred: The Division of Investment Management will recommend that the Commission 

propose rule 206(4)-7 to require all registered investment advisers to adopt and 

implement policies and procedures designed to prevent violations of the 

securities laws, review these policies and procedures at least annually for their 

adequacy and the effectiveness of their implementation, and designate a chief 

compliance officer responsible for administering the policies and procedures. 

Change in Burden: 623,200 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-NEW
Title: Rule 38a-1 under the Investment Company Act of 1940, Compliance procedures 

and practices of registered investment companies 

Purpose of Collection: The collection of information under rule 38a-1 is necessary to assure that 

investment companies maintain comprehensive internal programs that promote 

the companies’ compliance with Federal securities laws. The Commission staff 

conducting the Commission’s examination and oversight program would use the 

information collected to assess investment companies’ compliance programs. 

Why Increase Occurred: The Division of Investment Management will recommend that the Commission 

propose rule 38a-1 to require all registered investment companies and business 

development companies to adopt and implement policies and procedures 

designed to prevent violations of the securities laws, review these policies and 

procedures at least annually for their adequacy and the effectiveness of their 

implementation, and designate a chief compliance officer responsible for 

administering the policies and procedures. 

Change in Burden: 326,950 hours 

Agency: Securities and Exchange Commission 

OMB Control No.: 3235-NEW 

Title: Form N-Q under the Investment Company Act of 1940 and the Securities Act of 

1933, Quarterly Schedule of Portfolio Holdings of Registered Management 

Investment Companies 

Purpose of Collection: The information in proposed Form N-Q would be required to keep reasonably 

current the information in the filer’s registration statement and to monitor the 

operations of registered investment companies so that the Commission can use 

inspection and document review resources effectively 

Why Increase Occurred: The Commission has proposed new Form N-Q that is intended to imp rove the 

periodic disclosure provided by registered management investment companies 

(“funds”) to their investors about fund investments. A fund would file its 

complete portfolio schedule as of the end of its first and third fiscal quarters with 

the Commis sion on the new proposed Form. 

Change in Burden: 197,000 hours 

Agency: Social Security Administration 

OMB Control No.: 0960-0443 

Title: SSA-832-U3, Cessation or Continuance of Disability or Blindness 

Determination and Transmittal 

Purpose of Collection: Form SSA-832-C3-U3 is used by the DDS’s to document and transmit 

determinations as to whether an individual’s Title XVI disability benefits should 

be terminated or continued. 

Why Increase Occurred: As SSA became current with the Title II CDR backlog (OMB No. 0960-0422, 

the focus was shifted to Title XVI CDRs. Many more Title XVI CDRs are 

being processed necessitating more SSA-832s. The increase in burden hours is 

in accordance with the Agency's 7-Year Continuing Disability Review Budget 

Plan. Congress authorized special funding and mandated that periodic 

continuing disability reviews take place but did not mandate the number of 

reviews that take place each year. 

Change in Burden: 67,442 hours 

Agency: Social Security Administration 

OMB Control No.: 0960-0145 

Title: Statement for Determining Continuing Eligibility Supplemental Security Income 

Payment / SSA-8202-F6 & SSA-8202-OCR SM 
Purpose of Collection: The information collected on form SSA-8202 is used in middle-error-probability 

(MEP) and low-error-probability (LEP) redetermination cases to determine 

whether SSI recipients have met and continue to meet all statutory and 

regulatory requirements for SSI eligibility and whether they have been and are 

still receiving the correct payment amount. Form SSA-8202-OCR-SM collects 

information similar to that collected on Form SSA-8202-F6. It is used 

exclusively in LEP RZ cases, is mailed on a 6-year cycle to recipients who 

complete it without personal contact interviews and has been found to be very 

cost-effective. Periodic collection of this information is the only way SSA can 

make these determinations. 

Why Increase Occurred: SSA revised and added several new questions to the SSA-8202 as a result of 

Manchaca Court Case Settlement, (Civil Action No. 9:90cv81; U.S. District 

Court for the Eastern District of Texas, Lufkin Division). Based on the court 

case settlement, SSA revised and expanded questions relating to food stamps 

and revised the burden estimate to reflect time required to answer the expanded 

questions. 

Change in Burden: 15,333 hours 

Agency: Social Security Administration 

OMB Control No.: 0960-0416 

Title: Statement For Determining Continuing Eligibility For Supplemental Security 

Income Payments / SSA-8203 

Purpose of Collection: The information collected on form SSA-8203 is used in high-error probability 

(HEP) redetermination cases to determine whether SSI recipients have met and 

continue to meet all statutory and regulatory requirements for SSI eligibility and 

whether they have been and are still receiving the correct payment amount. 

Periodic collection of this information is the only way SSA can make these 

determinations. 

Why Increase Occurred: SSA revised and added several new questions to the SSA-8203 as a result of 

Manchaca Court Case Settlement, (Civil Action No. 9:90cv81; U.S. District 

Court for the Eastern District of Texas, Lufkin Division). Based on the court 

case settlement, SSA revised and expanded questions relating to food stamps 

and revised the burden estimate to reflect time required to answer the expanded 

questions. 

Change in Burden: 15,333 hours 

Agency: Social Security Administration 

OMB Control No.: 0960-0072 

Title: SSA-i454, Report of Continuing Disability Interview 

Purpose of Collection: The i454 is used to collect information from individuals receiving disability 

benefits or their representatives. The information is evaluated by SSA to 

determine whether the individuals remain eligible for benefit payments because 

they continue to be unable to engage in substantial gainful activity by reason of 

their impairments. 

Why Increase Occurred: The planned i454 is designed as a self-help Internet application. The Internet 

application takes longer to complete because it includes a number of 

explanations, examples and self-help screens to be read while completing the 

questions. However, this time is offset by added public convenience and SSA 

processing efficiencies as follows: 1) The i454 allows the public flexibility to 

complete the application at the time and place of there choice, eliminating both 

travel and scheduling conflicts. 2) The application permits information to be 

entered over multiple sessions so users can stop and return later if they need to 

for any reason. 3) Dynamic pathing embedded within the application tailors 
i454 to meet individual claimant needs, so the claimant is directed only to 

information necessary. These features in conjunction with the agency’s 

initiative to create a fully electronic process for taking disability claims will 

further enhance SSA’s ability to deliver fast and accurate claims service. This 

will further benefit the public by eliminating delays in claim adjudication due to 

lost documentation or claims folders as well as improving efficiency to SSA’s 

field offices and the Disability Determination Services. 

Change in Burden: 127,800 hours 

Agency: Social Security Administration 

OMB Control No.: 0960-0577 

Title: 6i3820 Internet Social Security Disability Report—Child and SSA-3820, 

Disability Report—Child 

Purpose of Collection: The information is collected by the State Disability Determination Services to 

develop medical evidence and to assess the alleged disability. This information 

forms the evidentiary basis upon which the initial disability evaluation is 

founded. 

Why Increase Occurred: The planned i3820 is designed as a self-help Internet application. The Internet 

application takes longer to complete because it includes a number of 

explanations, examples and self-help screens to be read while completing the 

questions. However, this time is offset by added public convenience and SSA 

processing efficiencies as follows; 1)The i3820 allows the public flexibility to 

complete the application at the time and place of there choice, eliminating both 

travel and scheduling conflicts. 2) The application permits information to be 

entered over multiple sessions so users can stop and return later if they need to 

for any reason. 3) Dynamic pathing embedded within the application tailors 

i3820 to meet individual claimant needs, so the claimant is directed only to 

information necessary. These features in conjunction with the agency’s 

initiative to create a fully electronic process for taking disability claims will 

further enhance SSA’s ability to deliver fast and accurate claims service. This 

will further benefit the public by eliminating delays in claim adjudication due to 

lost documentation or claims folders as well as improving efficiency to SSA’s 

field offices and the Disability Determination Services. 

Change in Burden: 52,300 hours 

Agency: Social Security Administration 

OMB Control No.: 0960-0632 

Title: Request for Internet Services – Password Authentication 

Purpose of Collection: This electronic information collection allows members of the public to establish 

or re-establish their identity with SSA, to create a password and access or 

change their own personal information maintain by SSA. 

Why Increase Occurred: A pilot on SSI wage reporting will be conducted which will require expanding 

the universe of password users to include Supplemental Security Income 

recipients. 

Change in Burden: 23,544 hours 

Agency: Social Security Administration 

OMB Control No.: 0960-0643

6 Thei3820 is part of the AeDib application that when fully operational will encompass a suite of self-directed 

disability information collections which will seamlessly collect medical, vocational and educational information 

necessary to develop disability claims for adjudication 
Title: Statement for Determining Continuing Eligibility for Supplemental Security 

Income (SSI) Payments-Adults; Statement for Determining Continuing 

Eligibility for SSI payments - Child 

Purpose of Collection: SSA is conducting a test using forms SSA-3988-TEST and SSA-3989-TEST to 

determine the feasibility of using new mail-in redetermination forms for SSI 

recipients to complete and return without direct involvement of an SSA 

representative. 

Why Increase Occurred: For phase 2, SSA expanded the initial test from 20,000 low error profile (LEP) 

and middle error profile (LEP) cases to 55,000 cases. Phase 2 includes high 

error profile cases in the sample, in addition to LEPs and MEPs. 

Change in Burden: 11,666 hours 

Agency: Social Security Administration

OMB Control No.: 0960-0662

Title: HA-1151, Medical Source Statement of Ability To Do Work-related Activities 

(Physical) & HA-1152, Medical Source Statement of Ability To Do Workrelated Activities (Mental) 

Purpose of Collection: These medical source statement forms are used to collect data and information 

that Administrative Law Judges and the Appeals Council require to effectively 

carry-out their responsibility to determine the residual functional capacity (RFC) 

of individuals who are appealing denied claims for benefits based on disability. 

RFC must be determined to decide cases that cannot be decided based on current 

work activity or on medical facts alone. The forms will be completed by 

medical sources that provide medical reports based either on existing medical 

evidence or on consultative examinations conducted for the purpose of 

submitting a medical report. 

Why Increase Occurred: The Office of Hearing and Appeals has been using the HA-1151& HA-1152 to 

collect information without OMB approval. The increase represents the initial 

clearance of these forms. 

Change in Burden: 50,000 hours 

Agency: Department of State

OMB Control No.: 1405-NEW

Title: Internet Based Registration Service (Form DS-4024)

Purpose of Collection: To allow travelers to foreign countries the opportunity to register their intended 

locations online. 

Why Increase Occurred: New program. 

Change in Burden: 800,000 hours 

Agency: Department of Transportation

OMB Control No.: 2120-NEW

Title: Final Rule Certification of Repair Stations, 14 CFR part 145

Purpose of Collection: Information is collected from applicants who wish to obtain repair station 

certification. Applicants must submit FAA form 8310-3 to the appropriate FAA 

flight standards district office for review. If the application is satisfactory, an 

onsite inspection is conducted. When all the requirements have been met, an air 

agency certificate and repair station operations specifications with appropriate 

ratings and limitations are issued. 

Why Increase Occured: This is a revision of 14 CFR Part 145, Certification of Repair Stations. 

Change in Burden: 270,239 hours 
Agency: Department of Transportation

OMB Control No.: 2120-NEW

Title: Fractional Aircraft Ownership Programs

Purpose of Collection: Fractional ownership is a new program that offers increased flexibility in aircraft 

ownership. Owners purchase shares of an aircraft and agree to share their 

aircraft with others having an ownership share in that same aircraft. 

Why Increase Occurred: This new rule defines fractional ownership programs and their various 

participants, more clearly allocates responsibility and authority for safety of 

flight operations for purposes of compliance with the regulations, and ensures 

that fractional ownership program aircraft operations maintain a high level of 

safety. 

Change in Burden: 38,128 hours 

Agency: Department of Transportation

OMB Control No.: 2120-NEW

Title: Certification of Aircraft and Airmen for the Operation of Light-Sport Aircraft

Purpose of Collection: This rule would establish requirements for the certification, operation, and 

maintenance of light-sport aircraft. For the operation of light-sport aircraft, the 

rule would establish a sport pilot certificate and a flight instructor certificate 

with a sport pilot rating. The rule would also establish requirements for student 

and private pilots to operate these aircraft, and to revise the recreational pilot 

certificate to align it with privileges proposed for the new sport pilot certificate. 

Why Increase Occurred: This is a new rule. 

Change in Burden: 10,437 hours 

Agency: Department of Transportation

OMB Control No.: 2126-0001

Title: Driver’s Record of Duty Status

Purpose of Collection: Driver’s Record of Duty Status are the primary tools used by motor carriers and 

commercial motor vehicle drivers to determine compliance with the maximum 

driving and duty time limitation prescribed by the Federal Motor Carrier Safety 

Administration’s hours of service rules. 

Why Increase Occurred: This increase is due to a final rule, titled “Safety Requirements for Operators of 

Small Passenger-Carrying Commercial Motor Vehicles Used in Interstate 

Commerce,” which will result in an estimated 22,000 drivers who are subject to 

the driver’s record of duty status requirements covered by this information 

collection. 

Change in Burden: 836,000 hours 

Agency: Department of Transportation

OMB Control No.: 2126-0003

Title: Inspection, Repair, and Maintenance

Purpose of Collection: This information collection ensures that motor carriers have adequate records to 

document the inspection, repair, and maintenance of their commercial motor 

vehicles, and to ensure adequate measures are taken to keep their commercial 

motor vehicles in safe and proper operating condition at all times. 

Why Increase Occurred: This increase is due to a final rule, titled “Safety Requirements for Operators of 

Small Passenger-Carrying Commercial Motor Vehicles Used in Interstate 

Commerce,” which will result in an estimated 18,430 vehicles who are subject 

to the inspection, repair, and maintenance requirements covered by this 

information collection. 

Change in Burden: 238,976 hours 
Agency: Department of Transportation

OMB Control No.: 2137-NEW

Title: Hazardous Materials Security Plans

Purpose of Collection: Security plans will enable shippers and carriers to reduce the possibility that a 

hazardous materials shipment will be used as a weapon of opportunity by 

terrorists. 

Why Increase Occurred: Docket HM -232, NPRM, “Security Requirements for Offerors and Transporters 

of Hazardous Materials ” was published on May 2, 2002, proposing to require 

shippers and carriers of certain highly hazardous materials to develop and 

implement security plans. 

Change in Burden: This rulemaking resulted in an increase in burden of 1,207,500 hours for 

developing and implementing these security plans for the first year. This burden 

estimate is being revised for adoption into the final rule to be published in FY 

2003. After the first year, the burden hours will be 247,250. 

Agency: Department of Transportation

OMB Control No.: 2137-0034

Title: Hazardous Materials Shipping Papers & Emergency Response Information

Purpose of Collection: Shipping papers and emergency response information identifies the presence of 

hazardous materials to assist carrier personnel and emergency responders in the 

proper safety procedures and incident mitigation. 

Why Increase Occurred: Docket HM -232, NPRM, “Security Requirements for Offerors and Transporters 

of Hazardous Materials ” was published on May 2, 2002, proposing to require 

the name and address of the consignor and consignee and the shippers DOT 

Hazmat registration number, if applicable, in order to enhance the security of 

hazardous materia ls shipments. 

Change in Burden: 361,111 hours 

Agency: Department of Treasury

OMB Control No.: 1545-0074

Title: 2002 Form 1040A and Schedules, U.S. Individual Income Tax Return

Purpose of Collection: This form is used by individual taxpayers to report their taxable income and 

calculate their correct liability. 

Why Increase Occurred: Two Code reference were added, the checkboxes on line 6 of the newly added 

2001 Capital Gain Tax Worksheet, Schedule J have been deleted to prevent 

taxpayer confusion with the other two worksheets in these instructions. 

Change in Burden: 8,269,155 hours 

Agency: Department of Treasury

OMB Control No.: 1545-0085

Title: 2002 Form 1040A and Schedules, U.S. Individual Income Tax Return

Purpose of Collection: This form is used by individual taxpayers to report their taxable income and 

calculate their correct liability. 

Why Increase Occurred: Editorial changes were made throughout the instructions. Two Code sections 

were added. Two checkboxes on the Social Security Benefits Worksheet for 

clarification purposes were removed to reduce burden, and provide consistency 

with various products. 

Change in Burden: 3,226,439 hours 
Agency: Department of Treasury

OMB Control No.: 1545-0130

Title: Form 1120S and Schedules, U.S. Income Tax Return for an S Corporation

Purpose of Collection: Form 1120S and its schedules are used by S corporations to figure their tax 

liability and report their income and other tax-related information. IRS uses the 

information to determine the correct tax for S corporations and their 

shareholders. 

Why Increase Occurred: Statutory Increases - Changes were made by adding 5 Code references and 1 

form attachment, and deleting 1 Code reference to Form 1120S instructions, and 

adding 1 Code reference and deleting 4 Code references to Form 1120S 

(Schedule D). This will result in a program change increase of 5,035,690 hours. 

Other Reductions - The changes were requested by IRS. Part III -Capital 

Gains Tax (Schedule D) is deleted because it is no longer relevant. One line is 

added to Form 1120S (Schedule B). This will result in a program change 

decrease of 585,430 hours. All of the above changes resulted in a program 

change increase of 4, 450,260 hours. 

Change in Burden: 4,450,260 hours

Statute Title and PL#: 2000 Community Renewal Act. P.L. 106-554

Agency: Department of Treasury

OMB Control No.: 1545-0099

Title: Form 1065, Schedules, and Instructions, U.S. Return of Partnership Income

Purpose of Collection: Form 1065 is used by IRS to verify correct reporting of partnership items and 

for general statistics. The information is used by partners to determine the 

income, loss, credits, etc., to report on their tax returns. 

Why Increase Occurred: Statutory Increases - Changes occurred for 2002 throughout the form, 

schedules, and instructions by adding 2 lines, 7 Code references, and 1 form 

attachment, and the deletion of 3 Code references. This will result in a program 

change increase of 9,136,615 hours. Other Increases – on Schedule M-2, the 

line ACapital Contributed@ is now split into ACash@ and AProperty@. This 

will result in a program change increase of 666,824 hours. 

Change in Burden: 9,803,439 hours

Statute Title and PL#: 2000 Community Renewal Act. P.L. 106-554

Agency: Department of Treasury

OMB Control No.: 1557-0224

Title: Debt Cancellation Contracts and Debt Suspension Agreements—12 CFR 37

Purpose of Collection: 12 CFR 37 requires banks to make certain disclosures to customers prior to the 

purchase of debt cancellation contracts and debt suspension agreements (DCCs 

and DSAs). The disclosures are intended to establish standards to promote the 

protection of customers who buy DCCs and DSAs. 

Why Increase Occurred: OCC issued Part 37 to ensure that national banks providing DCCs and DSAs do 

so on a safe and sound basis and to promote the protection of customers who 

purchase DCCs and DSAs. 

Change in Burden: 29,800 hours 

Agency: Department of Veteran Affairs

OMB Control No.: 2900-0227

Title: Nation-wide Customer Satisfaction Surveys

Purpose of Collection: Executive Order 12862 calls for the establishment and implementation of 

customer service standards, and for agencies to “survey customers to determine 

the kind and quality of services they want and their level of satisfaction with 
current services”. To gain operational efficiency and to reduce potential 

respondent burden, the historically separate satisfaction questionnaire has been 

combined with the functional status and healthy behaviors questionnaire. 

Why Increase Occurred: Frequency of use has been increased as well as the combination with 2900-0609. 

Change in Burden: 147,512 hours 
Appendix C. Violations 

OMB asked each agency to documents its compliance with the information collection provisions 

of the PRA. Agencies were asked to report (1) the title of the information collection, (2) the 

nature of the violation, and (3) how the violation was discovered and remedied. The violations 

reported are described in three lists. 

The first list, “FY 2002 Lapses in OMB Approval, Resolved as of April 1, 2003,” identifies by 

agency (and agency division) those ongoing collections of information for which OMB approval 

had expired but has subsequently been resolved. For each of these collections, the date of 

resolution (reinstatement or discontinuation) is noted. 

The second list, “FY 2002 Lapses in OMB Approval, Unresolved as of April 1, 2003,” identifies 

ongoing agency use of an expired information collection. 

The third list, “FY 2001 Violations: Collections without OMB approval or modified without 

OMB approval,” identifies agency uses of an information collection (or substantive or material 

modification thereof)1

 without having first obtained OMB approval under the PRA. 

1 “An agency may not make a substantive or material modification” of an already approved collection of 

information without obtaining OMB approval for that modification. 44 U.S.C. 3507(h)(3), 5 CFR 

1320.5(g). 
Table C.1: FY 2002 Lapses in OMB Approval 

Resolve d as of 4/1/03 

OMB 

Control Date of Date of Date 

Number Collection Title Expiration Reinstatement Discontinued 

Department of Agriculture 

Agricultural Research Service 

0518-0024 Use of Facilities for the Performance of 10/31/2000 11/6/2001 

Photography/Cinematography at the U.S. National 

Arboretum 

Animal and Plant Heath Inspection Service 

0579-0013 Virus Serum Toxin Act & Related Regulations 9/30/2001 3/12/2002 

0579-0015 Prohibited and Restricted Importation of Meats, Animal 7/31/2001 3/12/2 002 

Byproducts, Poultry, Organisms, and Vectors into the 

0579-0047 Brucellosis Program Cooperative Agreements 9/30/2001 7/19/2002 

0579-0048 Certificate for Poultry and Hatching Eggs for Export 9/30/2001 2/13/2002 

0579-0049 Foreign Quarantine Notices 9/30/2001 2/11/2003 

0579-0052 Phytosanitary Export Certification 8/31/2001 6/18/2002 

0579-0071 Field Epidemiology Data System 9/30/2001 3/12/2002 

0579-0072 Exotic Bee Diseases and Parasites 9/30/2001 2/10/2003 

0579-0076 Endangered Species Regulations and Forfeiture 3/31/2002 8/20/2002 

0579-0088 Domestic Quarantines 11/30/2000 7/6/2002 

0579-0094 User Fee Regulations 3/31/2002 10/18/2002 

0579-0102 Imported Fire Ant 8/31/2001 9/30/2002 

0579-0115 Animal Welfare, 9 CFR, Part 3, Marine Mammals 2/28/2002 9/6/2002 

0579-0116 Exotic Newcastle Disease in Birds and Poultry 8/31/2001 1/8/2002 

Chlamydiosis in Poultry 

0579-0119 Foreign Quarantine Notices, Logs, and Lumber 9/30/2001 1/10/2003 

0579-0121 Karnal Bunt 7/31/2000 1/17/2002 

0579-0122 Asian Long-Horned Beatle 1/31/2001 2/13/2002 

0579-0126 Compensation for Wheat Seed and Straw in the 1995 - 7/31/2000 1/31/2002 

1996 Crop Season 

0579-0127 Communicable Diseases in Horses 1/31/2001 10/11/2001 

0579-0128 Importation of Fruits and Vegetables 1/31/2001 11/21 /2001 

0579-0129 Importation of Fresh Hass Avocado Fruit 1/31/2001 1/8/2002 

0579-0130 Export Certification, Accreditation of Non-Government 4/30/2001 3/12/2002 

Facilities 

0579-0131 Importation of Tomatoes from France, Morocco and 4/30/2001 2/6/2002 

W estern Sahara, Chile and Spain 

0579-0132 Mexicali Valley, Karnal Bunt 7/31/2001 11/16/2001 

0579-0144 Importation of Poultry Meat and Other Poultry Products 7/31/2002 10/18/2002 

from Sinaloa and Sonora Mexico 
OMB 

Control Date of Date of Date 

Number Collection Title Expiration Reinstatement Discontinued 

0579-0194 Importation of Poultry Meat and Other Poultry Products 7/31/2002 10/18/2002 

from Sinaloa and Sonora, Mexico 

Cooperative State Research, Education, and Extension Service 

0524-0034 Application for Authorization to Use the 4 -H Name and/or 7/31/2002 3/26/2003 

Emblem 

Economic Research Service 

0536-0043 Food Security Supplement to the Current Population 4/30/2002 9/19/2002 

Farm Service Agency 

0560-0014 General Regulations Governing the Peanut Warehouse 2/28/2002 9/30/2002 

Storage Loan and Handler Operations 

0560-0074 Regulations Governing CCC Nonrecourse Cotton Loan 6/30/2001 1/31/2002 

Programs for 1996 and Subsequent Crops 

0560-0082 Conservation and Environmental Programs 3/31 /2002 10/18/2002 

0560-0087 General Regulations Governing Commodity Loans for 3/31/2000 3/29/2002 

1996 and Subsequent Crops-- 7 CFR part 1421 

0560-0093 General Regulations Governing Sugar Loans for 1996 3/31/2002 9/26/2002 

and Subsequent Crops 

0560-0116 Indemnity Payment Program - Dairy Indemnity Payment 9/30/2002 6/3/2002 

Program 

0560-0136 Upland Cotton Domestic User/Exporter Agreement and 2/28/2002 9/30/2002 

Payment Program 

0560-0138 Sugar Program 11/30/2000 10/11/2001 

0560-0146 Debt Settlement Policies and Procedures 3/31/2002 3/3/2003 

0560-0158 Servicing of Real Estate Security for Farmer Program 2/28/2002 7/6/2002 

Loans and Certain Note-Only Cases 

0560-0163 Small Farmer Outreach, Training, and Technical Assistance 9/30/2002 11/25/2002 

0560-0166 Verification of Debts and Assets 2/28/2002 6/17/2002 

0560-0171 Agreement for the Use of Proceeds/Release of Chattel 9/30/2001 3/29/2002 

Security 

0560-0177 Offer Forms and Shipment Information Log 1/31/2001 9/30/2002 

0560-0215 Representations for CCC and FSA Loans and 3/31/2002 9/2/2002 

Authorization to File a Financing Statement 

0560-0216 Storage of Honey Forfeited to CCC by Honey Producers 3/31/2002 9/3/2002 

0560-0220 Request for Electronic Loan Deficiency Payment Services 9/30/2002 12/16 /2002 

Food and Nutrition Service 

0584-0336 Disaster Food Stamp Program 1/31/2000 3/7/2003 

0584-0479 Waivers Under Section 6(0) of the Food Stamp Act 2/28/2002 8/22/2002 

Food Safety and Inspection Service 

0583-0103 Pathogen Reduction, Hazard Analysis and Critical 2/28/1999 2/11/2003 

Control Point (HACCP) Systems 

Forest Service 

0596-0022 36 CFR Part 228, Subpart A-- Locatable Minerals 3/31/2002 7/18/2002 

0596-0078 National Woodland Owner Survey 10/31/1997 12/27/2001 
OMB 

Control Date of Date of Date 

Number Collection Title Expiration Reinstatement Discontinued 

0596-0097 Interpretive Association Annual Report 8/3/2002 12/4/2002 

0596-0120 Stewardship Incentive Program 7/31/2002 12/4/2002 

0596-0141 Small Business Timber Sale Set -Aside Program : Appeal 8/31/2000 5/24/2002 

Procedures on Recomputation of Shares 

0596-0146 How Are We Doing? Customer Service Comment Card 4/30/2002 9/30/2002 

0596-0165 Secure Rural Schools and Community Self Determination 3/31/2002 12/4/2002 

Act of 2000 

National Agricultural Statistical Service 

0535-0226 2002 Census of Agriculture 6/30/1999 10/18/2001 

National Resources Conservation Service 

0578-0024 Volunteer Program - Earth Team 12/31/1998 3/27/2003 

Office of the Chief Financial Officer 

0505-0009 USDA Applicant Supplemental Sheet 10/31/2000 12/9/2002 

Risk Management Agency 

0563-0055 General Administration Regulations; Interpretations of 8/31/2002 3/3/2003 

Statutory and Regulatory Provisions 

Rural Business-Cooperative Service 

0570-0040 Agricultural Product Market Development Grant Program 8/31/2001 6/17/2002 

(Resource Center) 

Rural Housing Service 

0575-0119 Offset of Federal Payments to USDA Borrowers 2/28/2001 10/10/2001 

0575-0158 Supervised Bank Account 10/31/2000 1/11/2002 

Rural Utilities Service 

0572-0015 Advance of Loan Funds and Budgetary Control and 9/30/2002 3/3/2003 

Other Related Burdens 

0572-0118 Electric Engineering, Architectural Services and Design 9/30/2002 3/3/2003 

Policies 

0572-0125 Local Dial-Up Internet Grant Program 

Department of Commerce 

International Trade Administration 

0625-0130 Trade Fair Certification Program 

National Oceanic and Atmospheric Administration 

0648-0009 Billfish Tagging Report 

0648-0020 Pacific Billfish Angler Survey 

0648-0078 Certificate of Exemption Renewal 

0648-0079 Subsequent Purchaser Reports 

2/28/2 002 6/17/2002 

2/28/2002 5/29/2002 

8/31/2001 3/11/2002 

8/31/2001 5/29/2002 

8/31/2001 12/31/2001 

8/31/2001 12/31/2001 

0648-0119 Coastal Zone Management Program Administration 8/31/2001 11/28/2001 

0648-0175 Marine Fisheries Initiative (MARFIN) 9/30/2001 3/11/2002 

0648-0179 Applications and Reports for Registration as a Tanner or 9/30/2001 12/2/2002 

Agent 
OMB 

Control Date of Date of Date 

Number Collection Title Expiration Reinstatement Discontinued 

0648-0223 Pacific Albacore Logbook 8/31/2001 3/11/2002 

0648-0228 U.S. Fishermen Fishing in Russian Waters 8/31/2001 9/27/2002 

0648-0235 Northeast Region Survey of Intent and Capacity to 2/28/2002 10/22/2002 

Process Fish and Shellfish 

0648-0238 Surf Clam/Ocean Quahog Transfer Log 10/31/2001 9/27/2002 

0648-0240 Application to Shuck Surf Clams.Ocean Quahogs at Sea 10/31/2001 9/27/2002 

0648-0266 Seafood Inspection and Certification Requirements 2/28/2002 6/17/2002 

0648-0309 Scientific Research, Exempted Fishing, and Exempted 3/31/2002 8/30/2002 

Agency Submissions 

0648-0316 Prohibited Species Donation Program 5/31/2001 3/11/2002 

0648-0345 Southeast Region Bycatch Reduction Device Certification 8/31/2001 3/11/2002 

Family of Forms 

0648-0346 List of Gear by Fisheries and Fishery Management 8/31/2001 9/27/2002 

0648-0348 High Seas Fishing Vessel Identification Requirements 9/30/2001 3/11/2002 

0648-0349 High Seas Fishing Vessel Reporting Requirements 9/30/2001 3/11/2002 

0648-0364 Gear-Markin g Requirements for Atlantic Large Whale Take 2/28/2002 9/27/2002 

Reduction Plan 

0648-0365 Documentation of Fish Harvest 2/28/2002 12/2/2002 

0648-0368 Vessel-Marking in Antarctic Waters 2/28/2002 9/27/2002 

0648-0371 Highly Migratory Species Vessel Logbooks and Gear 3/31/2002 6/17/2002 

Marking 

0648-0373 Atlantic Highly Migratory Species Vessel and Gear 3/31/2002 6/17/2002 

Marking 

0648-0374 Atlantic Highly Migratory Species Observer Notification 3/31/2002 6/17/2002 

Requirement 

0648-0376 Fishing Capacity Reduction Program Buyback Requests 5/31/2002 7/30/2002 

0648-0387 International Dolphin Conservation Program 8/31/2002 2/6/2003 

0648-0402 Application and Reports for Scientific Research and 6/30/2002 11/12/2002 

Enhancement Permits under the Endangered Species Act 

Department of Defense 

Defense Finance and Accounting Service 

0730-0001 Child Annuitant's School Certification 3/31/2002 9/27/2002 

0730-0008 Application for Former Spouse Payments from Retired Pay 9/30/2001 11/28/2001 

0730-0009 Waiver/Remission of Indebtedness Application 3/31/2002 9/27/2002 

Department of the Air Force 

0701-0096 Application for Appointment as Reserves of the Air Force 9/30/2001 11/28/2001 

or USAF Without Component 

Department of the Army 

0702-0018 Uniform Tender Rates and/or Charges for Transportation 2/28/2002 7/8/2002 

0702-0022 Tender of Service and Letter of Intent 2/28/2002 7/8/2002 
OMB 

Control Date of Date of Date 

Number Collection Title Expiration Reinstatement Discontinued 

0702-0027 Signature and Tally Record 2/28/2002 1/21/2003 

0702-0060 Pre-Candidate Procedures 6/30/2002 2/10/2003 

0702-0061 Candidate Procedures 8/31/2002 2/11/2003 

0702-0062 Offered Candidate Procedures 6/30/2002 2/10/2003 

Department of the Navy 

0703-0010 Custodianship Certificate to Support Claim on Behalf of 5/31/2002 9/27/2002 

Minor Children 

0703-0020 Enlistee Financial Statement 8/31/2000 9/11/2002 

0703-0028 NROTC Applicant Questionnaire 9/30/2001 9/10/2002 

Departmental and Others 

0704-0261 DoD Standard Tender of Freight Services 7/31/2001 8/2/2002 

0704-0320 Procurement Technical Assistance Cooperative Agreement 4/30/2002 7/8/2002 

Performance Report 

0704-0370 DoD Dependents Schools Overseas Employment 6/30/2001 3/27/2002 

Opportunities for Educators 

0704-0384 DoD Request for Personnel Security Investigation 8/31/2002 3/26/2003 

0704-0404 Technology Reinvestment Project (TRP) Review Project 9/30/2001 2/28/2002 

Office of the Assistant Secretary for Health Affairs 

0720-0006 CHAMPUS Claim Form -- Patient's Request for Medical 9/30/2002 3/12/2003 

Payment 

0720-0013 Health Insurance Claim Form HCFA -1450 6/30/2000 3/26/2002 

U.S. Army Corps of Engineers 

0710-0003 Application of a Department of the Army Permit 6/30/2000 12/12/2001 

0710-0007 Terminal and Transfer Facilities Survey 2/28/2002 8/20/2002 

0710-0008 Lock Performance Monitoring System (PMS) Waterway 2/28/2002 8/19/2002 

Traffic Report 

0710-0012 Customer Service Survey, Regulatory Program U.S. Army 9/30/2001 8/19/2002 

Corps of Engineers 

Department of Education 

Office of Federal Student Aid 

1845-0011 William D. Ford Federal Direct Loan Deferment Request 2/28/2002 6/28/2002 

Form 

1845-0048 Federal Perkins/NSLDS Loan Assignment Form 8/31/2001 3/27/2002 

Office of Postsecondary Education 

1840-0113 Application for the Strengthening of Historically Black 2/28/2001 6/30/2002 

Colleges and Universities and Historically Black Graduate 

Institution Programs 

1840-0130 Teacher Cancellation Low Income Directory 3/31/2000 2/21/2003 

Office of the Under Secretary 

1875-0106 Application for Federal Education Assistance 9/30/2001 11/9/2001

Department of Health and Human Services 
OMB 

Control Date of Date of Date 

Number Collection Title Expiration Reinstatement Discontinued 

Administration for Children and Families 

0970-0145 Temporary Assistance to Needy Families (TANF) State 3/31/1997 7/26/2002 

0970-0155 Community -Based Family Resource and Support Program 5/31/2001 4/2/2002 

0970-0159 Statewide Automated Child Welfare Information System - 2/28/2001 5/8/2002 

Assesment Review Guide (SACWIS) 

0970-0174 NEW Program Plan Guidance and Report Requirements 3/31/2002 3/28/2003 

Center for Medicare and Medicaid Services 

0938-0469 Health Maintenance Organizations and Competitive 8/31/2001 12/10/2001 

Medical Plans and Supporting Regulations 

0938-0564 Information Collection Requirements in BPD 302 -F, 3/31/1996 3/28/2003 

Medicare Secondary Payer 

0938-0679 Durable Medicare Equipment Regional Carrier, Certificates 10/31/2001 9/13/2002 

of Medical Necessity 

0938-0685 Medicare Federal Health Care Provider/Supplier 

Enrollment Application 

0938-0701 HEDIS 3/0 and Supporting Regulations 

0938-0817 Survey of Medicare Beneficiaries Who Involuntarily 

Disenroll from their Health Plan 

Food and Drug Administration 

0910-0396 Financial Disclosure by Clinical Investigators 

Indian Heath Service 

0917-0002 HIS Contract Health Service Report 

0917-0006 HIS Scholarship Application 

Office of Human Development Services 

0980-0017 Head Start Program 

0980-0160 Developmental Disability Protection and Advocacy 

Program Performance Report 

0980-0172 State Council on Developmental Disabilities Program 

Performance Report 

2/28/2002 5/31/2002 

12/31/2000 3/29/2002 

6/30/2001 11/30/2001 

6/30/2002 2/7/2003 

4/30/2001 1/28/2002 

7/31/2001 12/5/2001 

5/31/2001 11/14/2001 

2/28/2002 8/12/2002 

2/28/2002 9/10/2002 

0980-0212 Financial Status Reporting Form with Supplemental Form 3/31/1993 9/10/2002 

for Program of State Council on Developmental Disabilities 

0980-0243 Head Start Grants Administration 

0980-0270 Developmental Disability Protection and Advocacy 

Statement of Goals and Priorities 

Office of the Assistant Secretary for Health 

0937-0166 Sterilization Consent 

Department of Housing and Urban Development 

Government National Mortgage Association 

2503-0026 Quarterly Loan Level Reporting 

Office of Community Planning and Development 

2506-0016 Application for Relocation/Displacement Assistance 

8/31/2002 1/27/2003 

2/28/2002 9/12/2002 

8/31/2002 11/19/2002 

3/31/2002 7/5/2002 

11/30/1995 4/30/2002 
OMB 

Control Date of Date of Date 

Number Collection Title Expiration Reinstatement Discontinued 

2506-0020 HUD-Administered Small Cities Program Application for 1/31/2000 5/21/2002 

CDBG Funds & Performance Assessment Report 

2506-0085 State CDBG Program 11/30/2000 10/31/2001 

2506-0087 Environmental Review Procedures for Entities Assuming 9/30/2001 11/26/2001 

HUD Environmental Responsibilites 

2506-0121 Relocation and Real Property Acquisition Recordkeeping 8/31/1997 4/30/2002 

2506-0160 Consolidated Plan Community Reviatalization Strategies, 12/31/1999 10/1/2001 

State CDBG Program -- FR-4081 

2506-0173 Designation of Round III Empowerment Zones and 7/31/2001 12/18/2001 

Renewal Communities 

Office of Housing 

2502-0010 HUD Survey Instructions and Report for Insured 3/31/2001 6/10/2002 

Multifamily Projects 

2502-0028 Contractor's Requisition Project Mortgages 12/31/2000 12/10/2002 

2502-0036 Request for Credit Approval of Substitute Mortgage 7/31/1999 10/31/2002 

2502-0047 Construction Complaint (HUD-92556), Request for 9/30/1999 10/31/2002 

Financial Assistance 

2502-0057 SF Delinquent Loan Reporting 8/31/2000 10/29/2002 

2502-0060 Monthly Delinquent Loan Report 8/31/2000 3/28/2003 

2502-0081 Mortgagee's Cert./Application/Monthly Summary of 10/31/1997 3/28/2003 

Assistance Payments Due 

2502-0094 Assistance Payment Contract - Notice of (1) Termination, 9/30/1998 2/6/2003 

(2) Suspension, or (3) Reinstatement 

2502-0112 Mortgagor's Certificate of Actual Cost 1/31/2001 3/8/2002 

2502-0141 Application for Mortgage Insurance 10/31/2000 9/27/2002 

2502-0178 Management Reviews of Multifamily Projects 1/31/2000 4/25/2002 

2502-0187 Requisition for Disbursement of Section 202/811 Loan 6/30/2002 12/31/2002 

Funds 

2502-0189 Compliance Inspect ion Report, Mortgagee’s Assurance 7/31/1998 10/17/2001 

Completion 

2502-0204 Owner/Tenant Certification for Multifamily Housing 7/31/2001 10/5/2001 

Programs 

2502-0265 Good Faith Estimate and Special Information Booklet 10/31/2001 7/24/2002 

2502-0301 Deed-in -Lieu of Foreclosure 4/30/1998 3/28/2003 

2502-0302 Local Appeals to Single-family Mortgage Limits 2/29/2000 11/27/2002 

2502-0314 Loan Servicing of All Three Coinsurance Programs: 9/30/1998 11/12/2002 

Section 223(f), Section 221(d), and Section 232 

2502-0340 Section 248 Single-Family Mortgage Insurance on Indian 3/31/2001 9/27/2002 

Reservations & Other Restricted Lands 

2502-0355 Contract and Subcontract Activity Reporting for 8/31/1996 10/5/2001 

Housing's Multifamily Programs-- MBE 

2502-0358 Single Family Mortgage Insurance on Hawaiian Homelands 11/30/1993 9/27/2002 

2502-0395 Flexible Subsidy, Capital Improvement Loan Program 1/31/2001 12/19/2002 
OMB 

Control Date of Date of Date 

Number Collection Title Expiration Reinstatement Discontinued 

2502-0424 Pre-authorization Debit 4/30/1996 12/28/2001 

2502-0436 Mortgagee Request for Extension of Time Requirements 1/31/1996 1/8/2003 

2502-0446 Procedures for Appealing Section 8 Rent Adjustments 6/30/2000 11/27/2002 

2502-0456 Mortgagee Letter: "Revision to the Sec. 235(r) 3/31/2001 11/2/2002 

Refinancing Procedures" 

2502-0458 Disclosure of Probable Transfer of Loan Servicing 11/30/1997 8/5/2002 

2502-0460 Reporting Requirements for the Auction of Section 9/30/1998 1/11/2002 

221(g)(4) M ultifamily Mortgages 

2502-0462 Capital Advance Program for Sec. 811 Application for 6/30/2002 1/2/2003 

Supportive Housing for Persons with Disabilities 

2502-0470 Application Submissions Requirements, Conditional 12/31/1996 1/8/2003 

Commitment Through Final Closing, Section 202 

Housing for the Elderly, Section 811 Housing for 

Persons with Disabilities 

2502-0485 Congregate Housing Services 10/31/200 11/26/2001 

2502-0492 Flexible Subsidy Program 10/31/1999 12/1/2001 

2502-0493 Master Appraisal Repo rt (MAR) for Proposed 2/28/1996 1/8/2003 

2502-0501 Initial Escrow Account Statement, Annual Escrow 6/30/2000 10/1/2002 

Account Statement 

2502-0507 AAF Rent Increase Requirement Pursuant to the Housing 7/31/2001 3/26/2002 

2502-0518 Sec. 242 Hospital/Application for Project Mortgage 

Insurance 

2502-0520 Safe Neighborhood Grants (SNG) 

2502-0523 Loss Mitigation Evaluation- FR-4032 

2502-0534 Home Equity Conversion Mortgages (HECM) 

2502-0545 Review of Health Care Facility Portfolios 

Office of Public and Indian Housing 

2577-0006 Lease Requirements - 24 CFR Part 966.4 

2577-0015 Contract for Development of A/E Services 

2577-0046 Procedure for Obtaining Certificates of Insurance for 

Capital Program Projects 

2577-0067 Insurance Information 

2577-0078 Pet Ownership in Public Housing for the Elderly or 

Handicapped: Notification to Applicants 

2577-0200 Loan Guarantees for Indian Housing 

2577-0201 Section 5(h) Homeownership Program: Resident 

Application 

2577-0208 Hope VI Application Requirements 

2577-0220 Admission To and Continued Occupancy of Public 

12/31/2000 10/5/2001 

11/30/2000 10/1/2002 

12/31/2000 9/27/2002 

5/31/2002 8/2/2002 

7/31/2001 10/5/2001 

9/30/2001 3/5/2003 

6/30/2002 9/5/2002 

8/31/2001 10/31/2001 

7/31/2000 10/17/2001 

6/30/2001 10/5/2001 

3/31/2002 6/4/2002 

9/30/2001 1/7/2002 

5/31/2000 12/18/200 1 

6/30/2000 11/26/2001 

Housing, Policies on Applicant Admission, Verification, 

Communication, Screening, Waiting Lists 

2577-0226 Public Housing Authority (PHA) Plan 6/30/2002 2/6/2003 
OMB 

Control Date of Date of Date 

Number Collection Title Expiration Reinstatement Discontinued 

Office of the General Counsel 

2510-0008 Information Request to Owners of Multifamily Housing in 9/30/1999 11/26/2001 

Boston 

Office of the Secretary 

2501-0009 Record of Employee Interview 1/31/2000 4/25/2002 

Policy Development and Research 

2528-0142 Section 8 Random Digit Dial Fair Market Rent Survey 8/31/2002 10/23/2002 

2528-0175 Community Development Work Study Program 3/31/2002 10/1/2002 

Department of Interior 

Bureau of Indian Affairs 

1076-0094 Law and Order on Indian Reservations 3/31/1995 11/6/2001 

1076-0101 Higher Education Grant Program Application 5/31/1998 10/26/2001 

1076-0106 Higher Education Annual Report -- 25 CFR 40, 1/31/2000 10/26/2001 

Subchapter E 

1076-0108 Indian School Equalization Program Student Membership 7/31/1993 12/21/2001 

Form 

1076-0114 Application for Admission to two Indian colleges, Forms 1/31/1994 11/30/2001 

BIA-6222 and BIA-6223 

1076-0122 Student Enrollment Applicat ion, Form VIA-6248 12/31/1993 12/21/2001 

National Park Service 

1024-0018 National Register of Historic Places Registration Form 5/31/1999 1/16/2002 

1024-0029 Concessioner Annual Financial Report 12/1/1995 3/31/2003 

Department of Justice 

Civil Rights Division 

1190-0001 Procedures for the Administration of Section 5+ of the 2/28/2002 11/12/2002 

Voting Rights Act of 1965 

Executive Office for Immigration Review 

1125-0009 Application for Suspension of Deportation 

Federal Bureau of Investigation 

1110-0011 VICAP Crime Analysis Report 

General Administration 

1103-0027 Universal Hiring Grant Program Application 

1103-0027 Universal Hiring Grant Program Application 

8/31/2001 3/28/2003 

3/31/1997 12/19/2001 

5/31/2001 1/3/2002 

8/31/2002 3/19/2003 

1103-0037 COPS MORE (Making Officer Redeployment Effective) 3/31/2000 12/7/2001 

'98 Progress Report 

1103-0043 Regional Community Policing Institute Quarterly 3/31/2001 10/23/2002 

Projection Report 

Immigration and Naturalization Service 

1115-0053 Application to Register Permanent Residence or Adjust 6/30/2001 10/3/2001 

Status, and Supplementa A to Form I-485 

1115-0168 Petition for non Immigrant Worker 8/31/2001 10/4/2001 
OMB 

Control Date of Date of Date 

Number Collection Title Expiration Reinstateme nt Discontinued 

1115-0180 Request for Hearing on a Decision in Naturalization 4/30/2002 7/16/2002 

Processing under Sec. 336 

1115-0190 Petition by Entrepreneur to Remove Conditions 9/30/2002 12/6/2002 

Legal Activities 

1105-0052 Claims Under the Radiat ion Exposure Compensation Act 2/28/2002 7/11/2002 

Office of Justice Programs 

1121-0094 Annual Survey of Jails 9/30/2001 5/30/2002 

1121-0115 Victims of Crime Act, Crime Victim Assistance Grant 7/31/2002 7/31/2002 

Program, Performance Report 

1121-0170 Crime Victim Compensation State Certification Form 3/31/2002 12/17/2002 

1121-0224 National Youth Gang Survey 1/31/2001 4/22/2002 

Department of State 

1400-0009 Affidavit Regarding Change of Name 4/30/2001 11/19/2001 

1400-0010 Birth Affidavit 4/30/2001 11/19/2001 

1405-0002 Statement of Registration 2/28/2002 7/18/2002 

1405-0003 Application/License for Permanent Export of Unclassified 2/28/2002 7/18/2002 

Defense Article and Related Unclassified Technical Data 

1405-0013 Application/License for Temporar y Import of Unclassified 2/28/2002 7/18/2002 

Defense Aricles 

1405-0020 Application for Passport by Mail 4/30/2001 3/12/2002 

1405-0021 Non -Transfer and Use Certificate 2/28/2002 7/19/2002 

1405-0022 Application/License for Permanent/Temporary Export or 2/28/2001 7/18/2002 

Temporary Import of Classified Defense Articles and 

Classified Technical Data 

1405-0023 Application/License for Temporary Import of Unclassified 2/28/2001 7/18/2002 

Defense Articles 

1405-0025 Statement of Political Contributions, Fees, or 2/28/2001 7/19/2002 

Commissions in Connection with the Sale of Defense 

1405-0031 Approval of Funding to Support Educational Projects 3/31/2001 9/27/2002 

1405-0036 Grant Request Automated Submissions Program (GRASP) 2/28/2002 7/29/2002 

(Fo rmerly Overseas Schools Questionnaire) 

1405-0051 Authority to Export Defense Articles and Services Sold 2/28/2001 7/19/2002 

Under the Foreign Military Sales (FMS) Program 

1405-0072 Department of State Diplomatic Motor Vehicles 2/28/2002 5/30/2002 

App lications 

1405-0092 Application for Amendment to License for Export or 2/28/2002 7/18/2002 

Import of Classified or Unclassified Defense Articles and 

Related Technical Data 

1405-0093 Request for Approval of Manufacturing License 2/28/2002 7/19/2002 

Agreements, Technical Assistance Agreements, and Other 

Agreements 

1405-0104 Request for Customs Clearance of Merchandise 6/30/2001 2/14/2002 
OMB 

Control Date of Date of Date 

Number Collection Title Expiration Reinstatement Discontinued 

1405-0111 "Maintenance of Records by Registrants" Section 122.5 2/28/2001 7/19/2002 

of the International Traffic in Arms Regulations (ITAR) 

1405-0117 Camp Counselor Exchanges-- Rulemaking No. 102 7/31/2000 1/31/2003 

1405-0118 Evaluation of DOS-sponsored Educational and Cultural 8/31/2001 2/15/2002 

Exchange Program 

1405-0131 Medical Clearance Update 2/28/2002 5/30/2002 

1405-0139 Department of State Application for Federal Employment 2/28/2002 5/30/2002 

1405-0146 Statement of Non -Receipt of Passport 9/1/1978 12/2/2002 

Department of the Interior 

Bureau of Reclamation 

1006-0003 Procedure to Process and Recover Value of Rights-of-Use 7/31/1994 6/10/2002 

and Administrative Costs 

1006-0003 Right of Use Application 7/31/1994 6/10/2002 

Department of the Treasury 

1505-0181 Community Adjustment and Investment Program Grant 7/31/2001 12/18/2001 

Program Application 

Community Development Financial Institutions 

1559-0005 Bank Enterprise Award Program Application, Final 4/30/2001 11/16/2001 

Reporting Form 

1559-0006 Community Development Financial Institutions (CFDI 3/31/2002 6/25/2002 

Program) 

1559-0007 Presidential Awards for Excellence in Microenterprise 4/30/2001 11/26/2001 

Development Program 

1559-0008 Bank Enterprise Award (BEA) Program Survey 2/28 /2001 11/16/2001 

1559-0014 New Markets Tax Credit Program-- Community 5/31/2002 10/3/2002 

Development Entity (CDE) Certification Application 

Financial Management Service 

1510-0029 Depositor's Application for Payment 

U.S. Customs Service 

1515-0218 Automated Clearinghourse Credit 

Department of Transportation 

Federal Motor Carrier Safety Administration 

2126-0001 Hours of Service of Drivers Regulations 

National Highway Traffic Safety Administration 

2127-0008 Consumer Complaint/Recall Audit Information 

7/31/2001 10/3/2001 

3/31/2001 2/7/2002 

9/30/2001 3/4/2002 

9/30/2001 2/20/2002 

2127-0043 Manufacturers' Identification -- 49 CFR Part 566 9/30/2001 2/7/2002 

2127-0044 Names and Addresses of First Purchasers of Motor Vehicles 9/30/2001 2/7/2002 

2127-0045 Petitions for Inconsequentiality -- 49 CFR 556 9/30/2001 2/7/2002 

2127-0052 Brake Hose Manufacturers Identification 9/30/2001 1/22/2002 

2127-0576 Voluntary Child Safety Seat Registration Form 9/30/2001 1/22/2002 
OMB 

Control Date of Date of Date 

Number Collection Title Expiration Reinstatement Discontinued 

Department of Veterans Affairs 

2900-0029 Offer to Purchase and Contract of Sale, VA Form 26- 6/30/2002 7/5/2002 

6705; Credit Statement of Prospective Purchaser, VA 

Form 26-6705b; Addendum to Officer to Purchase and 

Contract of Sale, VA Form 26-6705-c; and Virginia 

Addendum, VA Form 26-6705d 

2900-0059 Statement of Person Claiming to Have Stood in Relation 9/30/1998 3/1/2002 

of Parent, VA Form 21-524 

2900-0060 Claim for Life Insurance Proceeds (NSLI & USGLI) 6/30/2002 8/23/2002 

2900-0080 Funeral Arrangements, VA Form 10-2065 10/23/1998 10/4/2001 

2900-0094 Supplement to VA Forms 21 -526, 21-534, and 21-535 2/28/2002 6/30/2002 

(For Phillippine Claims), VA Form 21 -4169 

2900-0166 Application for Ordinary Life Insurance and Information 5/31/2001 5/1/2002 

about Modified Life, VA Form 29 -8485, 29 -9495A, 29-

8700A-E, 29-8701A-E 

2900-0261 Application for Refund of Educational Contribution 11/30/1993 3/15/2002 

2900-0393 VA Acquisition Regulations, (VAAR), 48 CFR Chapter 11/30/1996 3/12/2002 

8, Parts 813, A, B, C, 814, and 815 

2900-0418 Department of Veterans Affairs Acquisition Regulations, 9/30/1996 3/15/2002 

Sections 809.106-1, 809-504(d) and Clause 852.209-70 

2900-0422 Department of Veterans Affairs Acquisition Regulations 9/30/1996 3/15/2002 

2900-0442 Request for Armed Forces Seperation Records, VA Form 8/31/1997 10/16/2001 

Letter 21-80e 

2900-0474 Loan Guaranty Funding Fee Transmittal, VA Forms 26- 11/30/2000 12/5/2001 

8986 and 26-8986-1 

2900-0495 Marital Status Questionnaire, VA Form 21-0537 3/31/2001 10/2/2001 

2900-0521 Credit Underwriting Standards and Procedures for 12/31/1997 10/2/2001 

Processing VA Guaranteed Loans (38 CFR 36.4337), VA 

Forms 26 -8497, 26 -8497a, 26-1820 

2900-0568 Submission of School Catalog to the State Approving 4/30/2000 8/13/2002 

Agency 

2900-0568 Submission for School Catalog to the State Approving 4/30/2000 8/13/2002 

Agency 

2900-0573 Application for Extension of Eligibility Period under 7/31/2000 10/23/2001 

Survivors' and Dependents' Educational Assistance (Title 

38 CFR 21.3047) 

2900-0575 Certification as to the Completion Time of a 9/30/2000 2/28/2002 

Correspondence Course 

2900-0576 Affirmation of Enrollment Agreement 9/30/2000 8/13/2002 

2900-0579 Application of Spina Bifida Vocational Rehabilitation - 11/30/2000 11/22/2002 

Title 38 CFR 21.8014 

2900-0580 Request for Transportation Expense Reimbursement- Title 11/30/2000 11/21/2002 

38 CFR 21.8370 

2900-0583 Informed Consent for Patient Care - Tile 38 CFR 17.32 10/31/2000 11/19/2001 
OMB 

Control Date of Date of Date 

Number Collection Title Expiration Reinstatement Discontinued 

2900-0594 Election to Apply Selected Reserves Services to either 1/31/2001 8/13/2002 

Montgomery GI Bill-Active Duty or to the Montgomery 

GI Bill-Selected Reserve - 38 CFR 21.7042 and 21-7540 

2900-0596 Claim for Educational Assistance - 38 CFR 21.1030 8/31/2001 10/23/2001 

2900-0597 Monthly Verificatin of Pursuit of Training under the 8/31/2 001 2/28/2002 

Montgomery GI Bill, Selected Reserve-38 CFR 21.7654 

and 21.7656(a) 

Environmental Protection Agency 

Air and Radiation 

2060-0132 Nonconformance Penalties for Heavy-Duty Engines and 5/31/1997 7/1/2002 

Heavy-Duty Vehicles, Including Light-Duty Trucks 

Reporting and Recordkeeping Requirements 

Federal Communications Commission 

3060-0068 FCC Form 702, Application for Consent to Assign an 1/31/2001 5/14/2002 

Experimental Authorization 

3060-0419 Secs. 76.94, 76.95, 76.105, 76.106, 76.107 , 76.109, 3/31/2002 5/30/2002 

76.1609 

Federal Emergency Management Agency 

3067-0066 Request for Fire Suppression Assistance 8/31/2002 3/1/2003 

3067-0161 National Fire Incident Reporting System (NFIRS) 6/30/1998 3/17/2003 

3067-0163 Individual and Family Grant Program 4/30/2002 10/25/2002 

3067-0198 Effectiveness of a Community's Implementation of NFIP, 8/31/2002 11/13/2002 

Community Assistance Contact Report and Community 

Assistance Visit 

3067-0207 Hazard Mitigation Grant Program Application 9/30/1996 3/1/2003 

3067-0237 Emergency Management Institute Resident Course 2/28/2002 12/2/2002 

Evaluation Form 

Federal Energy Regulatory Commission 

1902-0032 Natural Gas Pipeline Company Quarterly Statement of 5/31/2002 8/2/2002 

Monthly Data 

1902-0070 Gas Pipeline Rates: Rate Tracking 12/31/2000 10/5/2001 

1902-0140 Annual Electric Control and Planning Area Report 5/31/2000 3/7/2003 

1902-0155 Certificated Rate Filings: Gas Pipeline Rates 10/31/2000 10/5/2001 

National Aeronautics and Space Administration 

2700-0003 NASA Contractor Financial Management Reports 6/30/2001 10/15/2001 

2700-0007 Radioactive Material Transfer Receipt 2/28/2002 8/2/2002 

2700-0017 NASA Property in the Custody of Contractors 2/28/2002 8/2/2002 

2700-0047 Property Management and Control, Grants 2/28/2002 8/2/2002 

2700-0052 Patents, Data, and Copyrighs-- NASA FAR Supplement 5/31/2001 11/20/2001 

Part 1827 
OMB 

Control Date of Date of Date 

Number Collection Title Expiration Reinstatement Discontinued 

2700-0054 Contract Modifications-- NASA FAR Supplement Part 18 - 2/28/2002 8/2/2002 

43 

2700-0057 Application for Volunteer Program 2/28/2002 5/17/2002 

2700-0073 Small Business and Small Disadvantaged Business 2/28/2002 8/2/2002 

Concerns and SF-295 

2700-0088 NASA Acquisit ion Process, Reports Required Under 2/28/2002 5/28/2002 

Contracts Valued at Less than $500 K 

2700-0092 Cooperative Agreements with Commercial Firms 2/28/2002 5/28/2002 

2700-0093 Grants and Cooperative Agreements with State and Local 2/28/2002 8/2/2002 

Governments 

2700-0094 Cost Reduction Proposals under the NASA FAR 2/28/2002 8/2/2002 

Supplement 

Small Business Administration 

3245-0012 Requests from Borrowers (Reports, Records, and 9/30/2001 5/29/2002 

Financial Statements) 

3245-0071 Application for 503/504 Loan 6/30/1998 4/23/2002 

3245-0132 Lender Transcript 5/31/2000 3/12/2002 

3245-0188 Personal Financial Statement 3/31/2000 11/21/2001 

3245-0200 Settlement Sheet 6/30/2001 3/12/2002 

3245-0201 7(a) Loan Closing Forms 7/31/2000 5/29/2002 

3245-0270 Semi-Annual Report on Services in Connection With 4/30/1997 12/31/2002 

Obtaining Federal 8(a) Contracts 

3245-0332 New Markets Venture Capital Program 7/31/2001 9/27/2002 
Table C.2: FY 2002 Lapses in OMB Approval 

Unresolved as of 4/1/03 

OMB 

Control 

Number Collection Title 

Department of Agriculture 

Farm Service Agency 

0560-0004 Report of Acreage 

0560-0121 Payer's Request for Identifying Number 

0560-0148 Importer Assessments 

0560-0182 Tobacco Marketing Quota Referenda Ballot 

0560-0183 Assignment of Payments and Joint Payment 

0560-0192 Power of Attorney 

0560-0205 Lamb Meat Adjustment Assistance Program (LMAAP) 

0560-0217 Designation of Burley Tobacco Sales and Request for 

Marketing Cards 

Foreign Agricultural Service 

0551-0031 List of Commodities by Firm Available for Exporting 

Rural Utilities Service 

0572-0059 Electric and Telephone Standards/Specifications 

Acceptance, Telephone Field Trials, and Telephone 

Contract Forms 

0572-0076 RUS Specification for Quality Control and Inspection of 

Timber 

Department of Defense 

Department of the Army 

0702-0064 International Military Student Information 

Department of the Navy 

0703-0006 Facilities Available for the Construction or Repair of 

Departmental and Others 

0704-0377 Industrial Capabilities Questionnaire 

Office of the Assistant Secretary for Health Affairs 

0720-0003 Statement of Personal Injury-- Possible Third Person 

Liability 

0720-0020 Application for CHAMPUS-- Provider Status: Corporate 

Services Provider 

0720-0021 Armed Forces Health Professions Loan Repayment 

Program Loan Information Form 

Department of Health and Human Services 

Administration for Children and Families 

0970-0204 Grants to States for Access and Visitation: Program 

Reporting 

Center for Medicare and Medicaid Services 

Date of Date of Date 

Expiration Reinstatement Discontinued 

6/30/1997 

10/31/2000 

2/28/2002 

9/30/2002 

2/28/2001 

3/31/2002 

9/30/2002 

3/31/2002 

5/31/2002 

9/30/1997 

9/30/1997 

12/31/2002 

9/30/2002 

7/31/2002 

6/30/2002 

5/31/2002 

9/30/2002 

8/31/2002 
--

OMB 

Control 

Number Collection Title 

0938-0227 Medical Review of Outpatient Therapy 

0938-0366 Intermediate Care Facilities for the Mentally Retarded 

Departmental Management 

0990-0162 State Medicaid Fraud Control Units Annual Report 

Department of Housing and Urban Development 

Office of Community Planning and Development 

2506-0161 Consolidated Plan, Section 108 Loan Guarantee 

Office of Housing 

2502-0117 Request for Acceptance of Changes in Approved 

Drawings and Specifications 

2502-0190 Application for Homeownership Assistance under Section 

235 of the NHA 

2502-0331 Multifamily Project Applications and Applications 

Reviews (MAP) 

2502-0445 Mortgagee's Certification and Application for Interest 

Reduction Payments 

2502-0464 Pre-forclosure Sale Procedure 

2502-0468 Mortgagee's Certificate 

2502-0477 Direct Endorsement Underwriter/HUD Reviewer Analysis 

of Appraisal Report 

Office of Public and Indian Housing 

2577-0007 Contract for Inspection Services Turnkey 

2577-0026 Operating Budget, Supporting Schedules and Board 

Resolution 

2577-0028 Report on Occupancy for Public and Indian Housing 

2577-0062 Part 965 PHA-Owned or Leased Projects, Maintenance 

2577-0157 Modernization of Public Housing Under Comprehensive 

Grant Program (CGP) 

2577-0159 Low-Income Public Housing, Project -Based Accounting 

Office of the General Counsel 

2510-0006 Legal Instructions Concerning Applications for Full 

Insurance, Benefits, Assignment of Multifamily Mortgages 

to the Secretary 

2510-0009 Informat ion Request to Owners and Managers of all HUD 

Assisted Housing in the Boston Metropolitian Statistical 

Area, Pursuant to Section II.A of the March 11, 1991 

Decree 

2510-0010 Guide for Opinion of Counsel to the Mortgagor 

2510-0012 Notice of Application for Designation as a Single Family 

Foreclosure Commissioner (Single Family Mortgage 

Foreclosure Act of 1994) 

Office of the Secretary 

2501-0011 Report of Additional Classification and Wage Rate 

Pursuant to a DAVIS-BACON Wage Determination 

Date of Date of Date 

Expiration Reinstatement Discontinued 

12/31/1997 

10/31/1996 

3/31/1999 

1/31/2000 

1/31/1995 

1/31/2001 

6/30/2002 

1/31/1991 

10/31/1997 

3/30/1994 

7/31/1996 

11/30/1995 

6/30/2001 

5/31/2001 

9/30/1996 

2/28/2002 

12/31/1994 

12/31/1996 

7/31/1997 

3/31/1997 

10/31/1999 

10/31/1983 
OMB 

Control 

Number Collection Title 

Department of Justice 

Federal Bureau of Investigation 

1110-0021 Post-Graduate Evaluation of the FBI National Academy 

Survey Booklet 

General Administration 

1103-0036 Police Corps Service Agreement 

Legal Activities 

1105-0071 National Drug Threat Survey 

Office of Justice Programs 

1121-0148 Denial of Federal Benefits for Drug Offenders 

1121-0177 Edward Byrne Memorial State and Local Law Enforcement 

Assistance Program 

1121-0185 Certification of Compliance with Statutory Eligibility 

1121-0186 Certification of Compliance with the Statutory Eligibility 

Tribal Governments 

1121-0217 State Identification Systems Formula Grant Program 

Application Kit 

Department of State 

1405-0011 Application for Consular Report of Birth Abroad of a 

Citizen of the United States (Includes SS-5) 

Federal Emergency Management Agency 

3067-0026 Community Disaster Loan Application

3067-0034 Application for Community Disaster Loan Cancellation

3067-0166 Crisis Counseling Assistance and Training Program

3067-0229 Mortgage Portfolio Protection Program

3067-0271 Flood Mitigation Assistance; Flood Mitigation Plan

Small Business Administration 

3245-0062 Small Business Investment Corporation License 

3245-0075 National Training Participant Evaluation 

3245-0077 Small Business Lending Companies Reporting and 

Recordkeeping Requirements 

3245-0080 Statement of Personal History 

3245-0083 Amendments to License Application 

3245-0131 Transaction Report on Loans Serviced by Lenders 

3245-0183 SBA Counseling Evaluation 

3245-0205 8(a) Annual Update 

Date of Date of Date 

Expiration Reinstatement Discontinued 

4/30/2002 

7/31/2001 

7/31/2002 

5/31/2002 

4/30/1999 

6/30/1999 

3/31/1998 

9/30/1999 

2/2/2002 

9/30/1996 

9/30/1996 

7/31/2002 

6/30/1998 

10/31/2002 

2/28/2002 

10/31/2000 

3/31/2000 

5/31/2002 

8/31/2001 

2/28/2002 

10/31/2000 

1/31/1997 
--

Table C.3: FY 2002 Violations 

Collections Without OMB Approval or Modified Without OMB Approval 

OMB 

Control Collection Title Description of How Discovered and Remedied Violation Number 

Department of Agriculture 

Risk Management Agency 

Standard Reinsurance Agreement Plan of Operations Unapproved collection. Discovered at the time of submission for OMB 

approval. The collection is currently pending at OMB. 

Department of Commerce 

National Oceanic and Atmospheric Administration 

0648-0047 Application for Commission to the NOAA Corps Commerce decided to A website review indicated that applications were 

discontinue the collection being solicited. OMB clearance was obtained. 

in 1996, and subsequently 

began recollecting the 

information without OMB 

approval. 

United States Patent and Trademark Office 

0651-0048 Native American Tribal Insignia Database Unapproved collection. The USPTO established the Native American Tribal 

Insignia database based on Congressional direction, 

and began accepting requests to record insignia on 

August 31, 2001. The collection was not cleared by 

OMB until March 31, 2002. 

0651-0009 Electronic Response to Office Action and Preliminary Unapproved collection of The “Response to Office Actions” was inadvertently 

Amendment Forms additional information omitted from the information collection package 

within an already- approved by OMB in 2001. USTPO will resubmit the 

approved collection. entire collection for approval. 

Department of Education 

Office of Postsecondary Education 

1840-0113 Application for the Strengthening of Historically Black Modification without OMB discovered this modification when the package 
--

--

--

--

--

OMB 

Control Collection Title Description of How Discovered and Remedied Violation Number 

Colleges and Universities and Historically Black OMB approval. was submitted for clearance. The revised collection 

Graduate Institution Programs was approved by OMB. 

Federal Emergency Management Agency 

Pre-Disaster Mitigation Assistance. Unapproved collection. 

Heritage Hall Surveys Unapproved collection. 

Flood Mapping Needs Assessment—MNUSS Worksheet Unapproved collection. 

and Database 

Citizen Corps Council Registration Form Unapproved collection. 

Citizen Corps Individual Registration Form Unapproved collection. 

During a program staff meeting concerning the 

clearance of another information collection, it was 

discovered that this collection was in use without OMB 

approval. The program will be publishing a Federal 

Register notice by April, 2003, and requesting 

emergency approval to include the collection in the 

NOFA. 

The US Fire Administration contracted for a Feasibility 

Report on Heritage Hall. The contractor developed 

two one-time surveys that were conducted in October 

2002. It was brought to the attention of the Records 

Management Branch at FEMA after data collection 

was complete. 

During a conversation with the program manager for 

this collection, it was discovered that the collection was 

being used. Once identified as a violation, the program 

manager submitted a clearance package to OMB for 

clearance. 

The staff did not realize that websites were subject to 

the PRA. They were informed by internal memo on 

January 9, 2003. The website has been up since April 

2002. The collection has been submitted to OMB for 

review. 

The staff did not realize that websites were subject to 

the PRA. They were informed by internal memo on 

January 9, 2003. The website has been up since April 

2002. The collection has been submitted to OMB for 

review. 
--

OMB 

Control Collection Title Description of How Discovered and Remedied Violation Number 

Department of Health and Human Services 

Centers for Disease Control and Prevention 

0920-0556 Assisted Reproductive Technologies (ART) Inclusion of a noncovered population in a 

covered information 

collection. 

All non-ART clinics were required to use the ART 

reporting system, as stated in a Federal Register notice 

in September, 2000. The violation was discovered 

upon renewal of the contract. An emergency clearance 

request was submitted immediately and approved. 

0920-0571 MDE/STAR for the National Breast and Cervical Cancer 

Early Detection Program 

Unapproved collection. The program originally had only 4 respondents, but 

grew to 71 respondents as the project grew. The 

violation was discovered during a program review, and 

an emergency clearance request was approved by 

OMB. 

Health Services Agency 

0915-0259 Survey of State/Local Efforts to Coordinate Trauma Care 

Delivery 

0915-0262 Survey of State/Local Efforts to Coordinate Trauma Care 

Delivery 

Maternal and Child Health Bureau Common Grant 

Guidance Discretionary Grants (Previously listed as 

“Healthy Start Data Reporting Requirements”) 

Advance copies sent to New data collection was approved on 2/8/02. 

meeting participants. 

Unapproved collection. Clearance officer became aware of an on-line data 

collection. New collection approved 6/14/02. 

Unapproved collection. Clearance officer became aware of the violation. 

Clearance request was submitted to OMB. 

Food and Drug Administration 

0910-0485 Medical Device Labeling Regulations Unapproved collection. FDA identified this violation and submitted it for OMB 

review. OMB cleared the requirements on 3/21/02. 

0910-0498 Export Certificates for FDA Regulated Products Under Unapproved collection. FDA identified this violation and submitted it for OMB 

U.S.C. Sections 801(e) and 802 review. OMB cleared the requirements on 11/27/02. 

National Institutes of Health 
--

OMB 

Control Collection Title Description of How Discovered and Remedied Violation Number 

The Sister Study Unapproved pilot study. Violation was reported to OMB by NIEHS when 

concerns were raised by OMB during review of the 

full-scale sister study. 

0925-0510 An Evaluation of the National Cancer Institute Science Collection was believed In the course of negotiations for a related study,

Enrichment Program to have been approved program mentioned that the data had been collected 

under another OMB under OMB # 0925-0473. Clearance was obtained for 

clearance, but had not the study under a new OMB number. 

been approved 

Department of Interior 

Bureau of Reclamation 

1006-0024 Summary of Water Requirements for Crops on Eligible Unapproved collection. Identified in a letter from Congressman Ose.

Lands Approved by OMB on 4/8/02. 

Fish and Wildlife Service 

1018-0120 Federal Subsistence Regional Advisory Council Unapproved collection. Discovered by an internal FWS review. Approved by

membership Application, Nomination, and Interview OMB on 2/26/03. 

Forms 

Geological Survey 

1028-0078 North American Breeding Bird Survey Unapproved collection. USGS discovered forms in use during a program 

review. Approved by OMB on 3/12/02. 

1028-0079 North American Amphibian Monitoring Program Unapproved collection. USGS discovered forms in use during a program 

review. Approved by OMB on 3/12/02. 

Internal Revenue Service 

1545-1788 Taxpayer Advocacy Panel (TAP) Membership Unapproved collection by Discovered by IRS staff. Treasury advised the field 

Application (Form 13259) field office, posted on its office to remove the application from the site and 

website. submit a PRA clearance package immediately. It was 

approved by OMB on 5/17/02. 

Social Security Administration 

0960-xxxx Acknowledgement of Receipt (Notice of Hearing) Unapproved Collection. The Reports Clearance Officer discovered the violation 

during a review of the final rule for Video 

Teleconferencing before Administrative Law Judges. 
OMB 

Control Collection Title Description of How Discovered and Remedied Violation Number 

SSA will clear this form with the associated regulation. 

0960-xxxx Employee Verification Service Unapproved Collection. The Reports Clearance Officer discovered the 

collection during a clearance of a related information 

collection. The collection was approved on 3/12/03. 

0960-0639 Contact with Rep Payee; Contact with Beneficiary Unapproved Collection. The forms were discovered during the conduct of a 

forms management project. OMB approved the 

information collections on 10/26/01. 

0960-0646 National Teacher Questionnaire; Request for Unapproved Collection. SSA forms were submitted for OMB clearance. At that 

time, SSA discovered that State versions of the forms 

were in use. OMB approved the SSA forms on 

2/27/02. State forms have been replaced by SSA 

forms. 

Administrative Information 

0960-0662 Medical Source Statement of Ability to Do Work-Related Unapproved Collection. The forms were discovered during the conduct of a 

Activities (Physical and Mental) forms management project. OMB approved the 

information collections on 12/24/02/ 

0960-0663 Private Printing and Modification of Prescribed Unapproved Collection. The Reports Clearance Officer discovered the 

collection of information in a current rule during a 

review of a draft revised NPRM for this rule. OMB 

approved the information collection on 12/20/02. 

Applications and Other Forms 

Department o f State 

1405-0110 U.S.- Egypt Science and Technology Joint Fund Annual Unapproved Collection. The Reports Clearance office discovered the violation. 

Grants Program Announcement Collection 60-day notice was published 1/02/2003 and 

collection will be submitted to OMB for approval to 

reinstate. 
Appendix D. OMB Memoranda to Agencies on PRA Violations 
EXECUTIVE OFFICE OF THE PRESIDENT 

OFFICE OF MANAGEMENT AND BUDGET 

WASHINGTON, D.C. 20503 

November 14, 2001 

MEMORANDUM FOR CHIEF INFORMATION OFFICERS 

GENERAL COUNSELS AND SOLICITORS 

FROM:	 John D. Graham /s/ 

Administrator 

Office of Information and Regulatory Affairs 

Jay P. Lefkowitz /s/ 

General Counsel 

SUBJECT:	 Ensuring Full Compliance with the Information Collection 

Provisions of the Paperwork Reduction Act 

We are writing to you to emphasize the importance of the Federal Government 

complying fully with the information collection provisions of the Paperwork Reduction Act 

of 1995 (PRA), and to ask for your assistance in eliminating existing PRA violations and 

preventing future violations. 

The PRA requires agencies and OMB to ensure that information collected from the 

public minimizes burden and maximizes practical utility. The Act assigns to each agency’s 

Chief Information Officer (CIO) the responsibility for ensuring that the agency complies 

with the PRA. The attached paper summarizes the PRA and its requirements for public, 

agency, and OMB review of collections of information. OMB’s review is conducted by the 

Office of Information and Regulatory Affairs (OIRA). 

In this year’s Information Collection Budget (ICB), OMB documented 487 violations 

of the PRA, of which 191 remained unresolved as of the cut-off date for the ICB’s 

publication. While these figures do represent a continuation in the recent downward trend in 

the number of PRA violations, we cannot allow this situation to continue. Our objective is 

to ensure that the Federal Government is in full compliance with the PRA by no later than 

the end of this fiscal year. 

OMB would therefore like to work with each of your agencies to resolve existing 

violations and take whatever actions are necessary to avoid future violations. 
As a first step, we are asking the CIOs of the 27 agencies identified in the Information 

Collection Budget to provide the following information to your agency’s OIRA desk officer: 

•	 For each violation of the PRA described in Appendix B.2 (i.e., the continued use of 

collections for which OMB approval has expired), please indicate affirmatively 

whether your agency (1) has already requested a reinstatement of the OMB approval, 

(2) is planning to request a reinstatement of the OMB approval, or (3) has 

discontinued its use. Each of these collections that falls into categories (1) or (2) 

represents a violation of the PRA until its approval is reinstated. Provide a timetable 

for resolution, including publication of all relevant Federal Register notices and 

submission to OMB, for each collection that your agency plans to continue using. 

•	 For each violation of the PRA described in Appendix B.3 (i.e., for collections for 

which OMB approval has never been given), provide a timetable of resolution, 

including publication of all relevant Federal Register notices and submission to OMB. 

•	 Describe the procedures that you (and your agency) have in place to prevent future 

violations, both through your monthly review of OMB’s computer-generated reports 

and through your general oversight and participation in the agency’s programmatic 

functions. 

Please provide this information to your OIRA Desk Officer by December 14th. 

In addition, as part of this effort, we are asking agency General Counsels and 

Solicitors to take whatever actions you can to assist the CIOs in ensuring your agency’s full 

compliance with the PRA. Please inform personnel in your agency that OMB-OIRA is 

approving a very high percentage of the well-supported information collection requests and thus 

concern about OMB approval is not a legitimate basis for avoiding OMB review of a worthy 

information collection. 

We are aware that OIRA has not always responded to PRA requests in a timely 

fashion. We are working diligently to correct this problem and to respond to all requests 

within the time frame described in the statute. 

If you have any questions about this effort, please contact us directly or have agency 

staff contact your OIRA Desk Officer. 

Attachment 
Paperwork Reduction Act 

The Paperwork Reduction Act of 1995 (44 U.S.C. chapter 35; see 5 CFR Part 1320) 

requires that the Office of Management and Budget approve all collections of information 

by a Federal agency from the public before they can be implemented. Collections of 

information include (1) requests for information for transmission to the government, such as 

application forms and written report forms, (2) reporting or recordkeeping requirements, and 

(3) third-party or public disclosure requirements. Many information collections, 

recordkeeping requirements, and third-party disclosure requirements are contained in or 

authorized by regulations as monitoring or enforcement tools, while others appear in 

questionnaires and their accompanying instructions. An underlying goal of the Act is to 

minimize the Federal paperwork burden on the public. The Act also recognizes the 

importance of information to the successful completion of agency missions, and charges 

OMB with the responsibility of weighing the burdens of the collection on the public against 

the practical utility it will have for the agency. 

In general terms, the 1995 Act requires agencies to plan for the development of new 

collections of information and the extension of ongoing collections of information well in 

advance of sending the proposal to OMB. Advance planning is necessary because agencies 

need to estimate potential burdens on respondents, prepare to disclose certain additional 

information to the public (e.g., time limits for recordkeeping requirements), seek public 

comment through 60-day notice in the Federal Register, and thereafter submit their 

clearance requests to OMB for review and approval. In developing a paperwork clearance 

request, the agency needs to demonstrate to OMB that the collection of information is the 

least burdensome way of obtaining information necessary for the proper performance of its 

functions, that the collection is not duplicative of others, and that the collection has practical 

utility. Additionally, the agency is required to certify that a proposed collection of 

information "reduces to the extent practicable and appropriate the burden" on respondents, 

including, for small business, local government, and other entities, the use of the techniques 

outlined in the Regulatory Flexibility Act. 

To alert the public that OMB review has begun, agencies publish a notice in the 

Federal Register of the agency's submission to OMB of a request for approval and tell the 

public how to comment to OMB regarding the request. The public -- during OMB's review 

and at any other time -- is to have full opportunity to make its views known concerning any 

Federal data collection, both as to its perceived practical utility and the reporting burdens 

involved. 

Under the Act, OMB approval for an agency to use each data collection instrument 

can last for a maximum of three years. Approval is evidenced by OMB granting an OMB 

control number for the information collection instrument. The Act prohibits agencies from 

penalizing those who fail to respond to Federal collections of information that do not display 

valid OMB control numbers. The Act also prohibits agencies from penalizing those who 

have not been informed that a response is not required unless the collection of information 

displays a valid control number. Both of these public protections "may be raised in the form 

of a complete defense, bar, or otherwise at any time during the agency administrative 
process or judicial action applicable thereto" (44 U.S.C. 3512(b)). Recent court cases 

discussing the Act and its "public protection" provision include Center for Auto Safety v. 

NHTSA, 244 F.3d 144 (D.C. Cir. 2001), and Saco River Cellular Inc. v. FCC, 133 F.3d 25 

(D.C. Cir. 1998). 
EXECUTIVE OFFICE OF THE PRESIDENT 

OFFICE OF MANAGEMENT AND BUDGET 

WASHINGTON, D.C. 20503 

June 6, 2002 

MEMORANDUM FOR CHIEF INFORMATION OFFICERS 

GENERAL COUNSELS AND SOLICITORS 

FROM: 	 	 John D. Graham, Ph.D. /s/ 

Administrator 

Office of Information and Regulatory Affairs 

SUBJECT: Ensuring Full Compliance with the Paperwork Reduction Act 

We are writing to again emphasize the importance of the Federal Government 

complying fully with the information collection provisions of the Paperwork Reduction 

Act of 1995 (PRA). While our memo dated November 14, 2001 has helped to resolve a 

number of PRA violations, and undoubtedly helped to reduce the number of future 

violations, we are again asking your assistance in eliminating still-existing PRA 

violations and avoiding future violations. 

The PRA requires agencies and the Office of Management and Budget (OMB) to 

ensure that information collected from the public minimizes burden and maximizes 

practical utility. The Act assigns each agency=s Chief Information Officer (CIO) the 

responsibility for ensuring that the agency complies with the PRA. OMB=s Office of 

Information and Regulatory Affairs (OIRA) is responsible for conducting reviews under 

the PRA. 

In last year=s Information Collection Budget (ICB), OMB documented 487 

violations of the PRA, of which 191 remained unresolved as of the cut-off date for that 

ICB=s publication. In this year=s ICB, there were 406 violations, of which 109 remained 

unresolved as of March 12, 2002 (the cut-off date for this year’s ICB). Of those 

unresolved violations, 47 are known to be long-standing (i.e., in violation prior to FY 

2001). While these figures do represent a continuation in the recent downward trend in 

the number of PRA violations, the number of overall and unresolved violations is still 

unacceptably high. 

In light of this continuing problem, we are asking each agency to do the following: 

_ 	 	We have attached a list of all of your agency’s violations from the FY 2001 reporting 

period that were unresolved as of April 26, 2002 (if applicable). Please review this 

list carefully and indicate, for each individual collection, if your agency (1) has 

already requested a reinstatement of the OMB approval, (2) is planning to request a 

reinstatement of the OMB approval, or (3) has discontinued its use. Each collection 
in the first two categories has been in violation of the PRA for at least six months. 

This is unacceptable. For each of the violations in these categories, provide a 

timetable for resolution, including publication of all relevant Federal Register notices 

and submission to OMB. 

_ 	 Provide a list of all collections that are currently in violation since September 30, 

2001, with an indication of the status of the collection and plans for resolution (as 

detailed in the bullet above). 

_ 	 Describe the procedures that you (and your agency) have in place to prevent future 

violations, both through your monthly review of OMB=s computer-generated reports 

and through your general oversight and participation in the agency=s programmatic 

functions. 

Please provide this information to your OIRA Desk Officer by July 8, 2002. In 

addition to information requested above, we will be scheduling meetings in early summer 

with the CIOs and GCs of the five agencies with the highest number of overall, longstanding, or high-burden violations to further discuss the resolution of these violations. 

These agencies are: 

• Department of Agriculture 

• Department of Health and Human Services 

• Department of Housing and Urban Development 

• Department of State 

• Department of Veterans Affairs 

If you have any questions about this effort, please contact us directly or have 

agency staff contact your OIRA Desk Officer. 

Attachment (open Bookmarks for easy selection) 

Commerce 

DOD 

DOJ 

DOL 

ED 

HHS 

HUD 

State 

USDA 

VA 
U.S. Department of Commerce—Outstanding Violations of the PRA from ICB-02 

0648-0078 Certificate of Exemption Renewal 8/31/2001 

0648-0079 Subsequent Purchaser Reports 8/31/2001 

0648-0179 Applications and Reports for Registration as a 9/30/2001 

Tanner or Agent 

0648-0228 U.S. Fishermen Fishing in Russian Waters 8/31/2001 

0648-0346 List of Gear by Fisheries and Fishery Management 8/31/2001 
U.S. Department of Defense—Outstanding Violations of the PRA from ICB-02 

0703-0028 NROTC Applicant Questionnaire 9/30/2001 

0704-0261 DoD Standard Tender of Freight Services 7/31/2001 

0710-0012 Customer Service Survey, Regulatory 9/30/2001 

Program U.S. Army Corps of Engineers 
U.S. Department of Justice—Outstanding Violations of the PRA from ICB-02 

1125-0009 Application for Suspension of Deportation 8/31/2001 

1103-0036 Police Corps Service Agreement 7/31/2001 

1103-0043 Regional Community Policing Institute Quarterly 3/31/2001 

Projection Report 

1121-0094 Annual Survey of Jails (pending) 

• Tribal Resource Grant Program Hiring Progress Report-Unapproved Collection. 

•	 Tribal Resource Grant Program Equipment & Training Progress Report-Unapproved 

Collection 

•	 Mental Health & Community Safety Initiative Application Kit-Unapproved 

Collection 

• Universal Hiring Program Application Update Form-Unapproved Collection 

• COPS in Schools Annual Report 
U.S. Department of Labor—Outstanding Violations of the PRA from ICB-02 

•	 State Plans for the Development and Enforcement of Standards-Unapproved 

Collection 
U.S. Department of Education—Outstanding Violations of the PRA from ICB-02 

1840-0510 Cancellation and Deferment Request Forms 7/2001 

for the Federal Direct Student Loan 

1820-0577 Report of Program Settings Early 12/31/1997 

Intervention Services 

1830-0510 Adult Education General Reporting 10/31/1994 

Requirements 
Health and Human Services—Outstanding Violations of the PRA from ICB-02 

0970-0145 Temporary Assistance to Needy (TANF) 3/31/1997 

Families 

0970-0159 Statewide Automated Child Welfare (pending) 

Information System-Assessment Review 

Guide (SACWIS) 

0938-0679 Durable Medicare Equipment Regional 10/31/2000 

Carrier, Certificates of Medical Necessity 

• Healthy Start Data Reporting Requirements-Unapproved Collection. Will submit 

clearance package by July 2002. 
Housing and Urban Development—Outstanding Violations of the PRA from ICB-02 

2506-0020 HUD-Administered Small Cities Program (pending) 

Application for CDBG Funds & Performance 

Assessment Report 

2506-0121 Relocation and Real Property Acquisition (pending) 

2502-0265 Good Faith Estimate and Special 10/31/2000 

Information Booklet 

2502-0010 HUD Survey Instructions and Report for 3/31/2001 

Insured Multifamily Projects 

2502-0028 Contractor’s Requisition Project Mortgages 12/31/2000 

2502-0036 Request for Credit Approval of Substitute 7/31/1999 

Mortgage 

2502-0047 Construction Complaint (HUD-92556), Request for 9/30/1999 

Financial Assistance 

2502-0060 Monthly Delinquent Loan Report 8/31/2000 

2502-0094 Assistance Payment Contract-Notice of 9/30/1998 

(1) Termination, (2) Suspension, (3) Reinstatement 

2502-0121 Mortgagee Questionnaire 12/31/1999 

2502-0141 Application for Mortgage Insurance 10/31/2000 

2502-0301 Deed-in-Lieu of Foreclosure 4/30/1998 

2502-0302 Local Appeals to Single-family Mortgage Limits 2/29/2000 

2502-0314 Loan Servicing of All Three Coinsurance Programs:9/30/1998 

Section 223(f), Section 221(d), and Section 232 

2502-0340 Section 248 Single-Family Mortgage Insurance on 

Indian Reservations & Other Restricted Lands 3/31/2001 

2502-0395 Flexible Subsidy, Capital Improvement Loan 1/31/2001 

Program 

2502-0409 Section 8 Housing Assistance Payment (HAP) 9/30/1999 

Contract, Part II 

2502-0410 Survey of Tenants in Certain Properties with HUD- 3/31/2001 
 

Held and Foreclosed Mortgages 
 

2502-0446 Procedures for Appealing Section 8 Rent 6/30/2000 
 

Adjustments 

2502-0456 Mortgagee Letter: “Revision to the Sec.235(r) 3/31/2001 

Refinancing Procedures 

2502-0458 Disclosure of Probable Transfer of Loan Servicing 11/30/1997 

2502-0470 Application Submission Requirements, Conditional 12/31/1996 

Commitment Through Final Closing, Section 202 

Housing for the Elderly, Section 811 Housing for 

Persons with Disabilities 

2502-0501 Initial Escrow Account Statement, Annual Escrow 6/30/200 

Account Statement 
Housing and Urban Development—Outstanding Violations of the PRA from ICB-02 

Continued 

2502-0516 Affiliated Business Disclosure (Formerly 10/31/2000 

Controlled Business) 

2502-0517 Escrow Account Disbursement 10/31/2000 

2502-0520 Safe Neighborhood Grants 11/30/2000 

2502-0523 Loss Mitigation Evaluation-FR-4032 12/31/2000 

2577-0006 Lease Requirements-24CFR966.4 9/30/2001 

2577-0026 Operating Budget, Supporting Schedules and Board 6/30/2001 

Resolution 

2577-0028 Report on Occupancy for Public and Indian 5/31/2001 

Housing 

2510-0006 Legal Instructions Concerning Applications for Full 12/31/1996 

Insurance Benefits, Assignment of Multifamily 

Mortgage to the Secretary 

2510-0009 Information Report to Owners and Managers of all 7/31/1997 

HUD Assisted Housing in the Boston Metropolitan 

Statistical Area 

2510-0009 Guide for Opinion of Counsel to Mortgage 3/31/1997 
U.S. Department of State—Outstanding Violations of the PRA from ICB-02 

1405-0046 Marine Note of Protest 9/30/1996 

1405-0052 Seaman Action Certificate, Form FS-0463 10/31/1988 

1405-0077 Denial of Passports to Certain Persons Convicted of 6/30/1990 

Drug Trafficking, Form Rpt.-7 

1405-0079 Application for Benefits for US Hostages (Check), 3/31/1991 

Form DSP-108 

1405-0097 Ground Rules for US Initiative on Joint 1/31/1997 

Implementation, Form Rprt-2 

1405-0117 Camp Counselor Exchanges—Rulemaking No. 102 7/31/2000 

1405-0121 Certificate of Eligibility for Exchange Visitor Status4/20/2000 

(J-1 Visa) 

47-R0178 Statement of Non-Receipt of Passport 9/1/1978 
U.S. Department of Agriculture—Outstanding Violations of the PRA from ICB-02 

0579-0049 Foreign Quarantine Notices 9/30/2001 

0579-0052 Phytosanitary Export Certification 8/31/2001 

0579-0088 Domestic Quarantines 11/30/2000 

0579-0102 Imported Fire Ant 8/31/2001 

0579-0119 Foreign Quarantine Notices, Logs, and Lumber 9/30/2001 

0560-0004 Report of Acreage 6/30/1997 

0560-0121 Payer’s Request for Identifying Number 10/31/2000 

0560-0177 Offer Forms and Shipment Information Log 1/31/2001 

0560-0183 Assignment of Payments and Joint Payment 2/28/2001 

0583-0103 Pathogen Reduction, Hazard Analysis and Critical 2/28/1999 

Control Point (HACCP) Systems 

0596-0141 Small Business Timber Sale Set-Aside Program: 8/31/2000 (pending) 

Appeal Procedures on Recomputation of Shares 

0578-0024 Volunteer Program – Earth Team 12/31/1998 

0505-0009 USDA Applicant Supplemental Sheet 10/31/2000 

0572-0059 Electric and Telephone Standards/Specifications 9/30/1997 

Acceptance, Telephone Field Trials, and Telephone 

Contract Forms 

0572-0076 REA Specification for Quality Control and 9/30/1997 

Inspection of Timber 

•	 Farm Service Agency Unapproved Collection (no number, no title) to post program 

forms on the Internet 

•	 Animal and Plant Health Inspection Service-TB Cooperative Agreements 

Unapproved Collection. Plans to submit ICR 6/02. 

•	 Food and Nutrition Services Unapproved Collection (no number, no title)-NonEntitlement Discretionary Grants Submitted Dec, 2001 and is under review. 
Department of Veterans Affairs—Outstanding Violations of the PRA from ICB-02 

2900-0568 Submission of School Catalog to the State 4/30/2000 

2900-0579 Application of Spina Bifida Vocational 11/30/2000 

Rehabilitation Title 38 CFR 21.8014 

2900-0580 Request for Transportation Expense Reimbursement 11/30/2000 

Title 38 CFR 21.8370 

2900-0581 	 Election of Benefits Between Benefits under 38 11/30/2000 

USC Chapter 35 and Vocational Training Benefits 

For Vietnam Veterans’ Children Suffering from Spina Bifitda 

38CFR21.8016 

2900-0594 	 Election to Apply Selected Reserves Services to 1/31/2001 

either Montgomery GI Bill-Active Duty or to the 

Montgomery GI Bill-Selected Reserve-38CFR21.7042 and 21-7540 

2900-0595 Election to Receive Dependents’ Education 1/31/2001 

assistance Instead of Dependency and Indemnity 

Compensation 38CFR21.3023 

2900-0597 Monthly Verification of Pursuit of Training under 8/31/2001 

the Montgomery GI Bill, Selected Reserve-38CFR21.7654 and 21.7656(a) 
EXECUTIVE OFFICE OF THE PRESIDENT 

OFFICE OF MANAGEMENT AND BUDGET 

\ WASHINGTON, D.C. 20503

AD M IN I R 

OFFICE OF NOV 8 INFORMATION AND 

REGULATORY AFFAIRS 

MEMORANDUM FOR CHIEF INFORMATION OFFICERS 

FROM: John D. Graham, 

Administrator 

Office of Information and Regulatory Affairs 

*! 

SUBJECT: Ensuring Full Compliance with the Paperwork Reduction Act 

a November 14, 2001 memorandum from the office of the OMB General 

Counsel and my office, we stated our determination to work with agencies to eliminate 

violations of the Paperwork Reducation Act (PRA) by the end of FY 2002. While most 

agencies have made significant progress in reducing the number of violations-all but 

one agency has resolved more than half of their existing violations from last year’s 

ICB-the Administration has not yet reached the goal of zero violations. I cannot 

emphasize enough the importance of agencies eliminating all current PRA violations as 

quickly as possible and avoiding future violations. Complying with the Act’s 

information collection provisions is for the most part a straightforward administrative 

task. Full compliance is an achievable goal that we can and must meet. 

On June 6, 2002, I asked your agency to identify progress on violations reported 

in the ICB for FY 200 1, and to identify any new violations that had occurred since 

October 1, 2001. Using these and other data, we have identified “old” (existing) and 

“new” (recently expired or recently discovered) violations that had not been resolved as 

of October 1, 2002. (See chart on next page for a breakdown of violations by agency.) 

While most agencies have done a good job of resolving the existing violations, some 

agencies are still having significant problems in clearing up these old violations. Many 

agencies are allowing a significant number of packages to lapse - - that is, failing to 

obtain OMB re-approval when the time period for OMB clearance ends - - thereby 

creating “new” violations. Six agencies-U.S. Department of Agriculture, U.S. 

Department of State, Small Business Administration, Federal Emergency Management 

Agency, Department of Commerce, and National Aeronautics and Space Administration­

- had 10 or more new violations from October 1,2001 to the reporting date of June 6, 

2002. Many of those new violations remained unresolved as of October 1, 2002. 

I recognize that agencies are continuing their work to resolve existing violations. 

For example, VA has resolved 16 of 18 violations and HHS has resolved 12 of 15 
2 

violations. Overall, 31 of the 82 violations that are still unresolved are currently at OMB 

for review, and an additional 33 of those 82 violations have had their 60-day Federal 

Register notice published. Only 18 have had no action taken to resolve the existing 

violation. 

Our goal now is to achieve zero violations by no later than April 1, 2003. To 

accomplish this, agencies must make stronger efforts not only to resolve existing 

violations, but to put into place policies that will prevent future violations 

occurring. Each agency already has developed, and described to us, detailed plans to 

eliminate future violations; these plans should be carried out diligently. If the plans are 

not effective in eliminating new violations, agencies should reevaluate and strengthen 

their plans. Attention should be given at the highest levels of the agency to assure that 

agencies are complying with their responsibilities under the PRA. 

To assist you in determining the efficacy of your agency’s PRA clearance system, 

I have attached a list of collections that have expired in the last 30 days and those that are 

due to expire in the next 150 days. The contact for each agency receives these lists 

monthly and should be using them for short-term planning purposes. This list should be 

a supplement to an agency-generated list that tracks all currently approved and expired 

information collections, so that your agency knows the status of all agency collections 

and can plan far enough in advance for the expiration of all currently approved packages. 

In order to ensure that your agency’s procedures are functioning correctly to avoid future 

violations and quickly clear up violations that have occurred in the past 30 days, please 

do the following for all collections on the attached list: 

1. For those collections that have expired (if any), verify that the information 

collection activities have been discontinued by the program. If it is determined 

that the program is still collecting the information in violation of the PRA, 

immediately initiate procedures to reinstate the information collection under the 

PRA and determine why the collection was not sent to OMB for extension of the 

existing clearance in a timely fashion. The 60-day Federal Register notice for 

these collections should be published no later than December 13, 2002. The 

information collection request for approval should be received by OMB no 

later than February 28, 2003. 

2. 	 For those collectionsthat are due to expire on or before March 31, 2003, verify 

that the 60-day Federal Register notice has been published. If the notice has not 

yet been published, a notice should be placed in the Federal Register no later 

than December 13, 2002, and an information collection request should be 

sent to OMB no later than February 28, 2003. An emergency extension may 

be granted, at the discretion of the OIRA desk officer, for those collections that 

are set to expire prior to submission of the information collection request to 

OMB. Starting now, however. emergency extension reauests will not be 

granted unless the has a Federal notice 

{unless it demonstrates exceptional circumstances). Therefore. any emergency 
3 

extension reauest must be accompanied by a citation for the 60-day Federal 

Register notice and a date of publication. 

3. 	 For those collections due to expire on or April 30, 2003, make any changes 

to the currently approved packages that are necessary (including changes to the 

burden estimates) and publish the 60-day Federal Register notices at least four 

months prior to the expiration date of the collection. These collections should be 

submitted to OMB no later than one month prior to the expiration date. 

OMB will be sending the Information Collection Budget (ICB) bulletin for FY 

2002 to your agency very shortly. As in the past, we are asking agencies to make a 

thorough accounting of all violations that have been identified as existing violations in 

previous and those that have occurred or been identified since the last ICB in which 

the agency participated. In addition, to further emphasize the importance of our goal of 

zero violations, we are asking agencies to send OMB the Federal Register cite and date 

of the 60-day notice for all unresolved violations. Failure to publish a Federal Register 

notice for any unresolved violation will be considered an incomplete response to the ICB 

bulletin. It is important that agencies make a concerted effort to all collections 

that are in violation as of September 30, 2002, and work to resolve all violations prior to 

submitting their ICB exhibits to OMB. 

Attachments 
** The following agencies