OF THE

UNITED STATES

GOVERNMENT

FISCAL YEAR 2000

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:

Docket Library

Office of Information and Regulatory Affairs

New Executive Office Building, Room 10102

Washington, D.C. 20503

Fax: (202) 395-5806
i

The Fiscal Year 2000 Information Collection Budget

Table of Contents

Introduction ................................................................. . iii

Chapter 1. Collecting Information in an Information Age ............................... . 1

Chapter 2. Information Collection Budget of the Federal Government for FY 1999 and FY 2000 . 11

Chapter 3. Significant Paperwork Reductions and Increases -- FY 1999 and 2000 ........... . 15

Appendix A. Information Collection Budget Tables .................................... . 79

Appendix B. Paperwork Reduction Act Compliance ................................... . 85

Appendix C. OMB Memorada to Agencies on PRA Violations .......................... . 129
ii Fiscal Year 2000 Information Collection Budget of the United States Government
iii

Introduction

Under the Paperwork Reduction Act of 1995 (PRA), the Office of Management and Budget (OMB)

prepares an annual report to keep Congress and the public informed of major activities under the PRA. 

This report, the Information Collection Budget (ICB), describes Federal efforts to improve the quality of

services delivered to the public by improving the efficiency and effectiveness of Federal information

collections. It also highlights agencies’ efforts to reduce the time the public spends on Federal

information collections and promotes further reductions by giving agencies examples of practical

approaches that other agencies have used successfully. 

Chapter 1 discusses efforts by the Federal government to collect information more efficiently and

effectively. It describes agency efforts to improve the quality of the information they collect, while

minimizing burden on the public. It presents examples of information technology initiatives which offer

the greatest potential for positive change.

Chapter 2 presents the ICB totals for the Federal government and for each of the 27 agencies that

participated in the ICB process. Its tables, developed in consultation with the agencies, identifies

changes during FY 1999 and expected changes during FY 2000 due to agency actions and new statutory

mandates.

Chapter 3 gives specific examples of changes occurring during FY 1999 or expected for FY 2000 due

either to new statutory mandates or agency actions. These examples highlight agency efforts to

streamline and reduce information collections from the public. They also demonstrate that the

information collection needs of the Federal government are not static , but constantly change to reflect

new statutory and policy priorities.

The ICB has three appendices, the first of which describes the ICB totals and how they were derived. 

The second appendix, as required by the PRA, lists all known violations of the PRA, agency efforts at

compliance, and a summary of OMB and agency initiatives to assure that OMB approval of an agency’s

information collection does not lapse. The third appendix is a copy of a memoranda sent by OMB to

Federal agencies about these lapses.
iv Fiscal Year 2000 Information Collection Budget of the United States Government
1

Chapter 1. Collecting Information in an Information Age

Using Information to Deliver Services

Government needs information to serve the people. Most information needs flow from statutes passed by

Congress. Some of these requirements are specific. Others reflect agency decisions on what information

they need to implement programs. Information helps government do its job better. Agencies can only

deliver services to individuals if they know who they are, what they need, and what they want. Better

information can help agencies make better decisions about how well the government is working, whether

new services are needed, and whether existing programs are still necessary. Indeed, the government’s

provision of information to its citizens can be an important service in its own right. 

In the Information Age, timely, accurate information is essential. Investors need to obtain companies’

public filings from the SEC quickly and easily. Neighbors want to know if their water is safe to drink. 

When filing electronically, taxpayers expect quick responses from the IRS and fast refunds. A sound

financial system, and health, safety, and environmental protections all depend on government having the

right information to deliver services and to respond rapidly and effectively.

Often times, a steady and reliable stream of information can take the place of a more onerous regulatory

scheme. For example, SEC carries out its mission to protect investors and maintain the integrity of the

securities markets by relying primarily on information collections. The basic premise of the SEC

regulations is that all investors, whether large institutions or private individuals, should have access to

certain basic facts about an investment prior to buying it. To achieve this, the SEC requires public

companies to disclose meaningful financial and other information to the public, which provides a

common pool of knowledge for all investors to use to judge for themselves if a company’s securities are

a good investment. Similarly, agencies as diverse as the Food and Drug Administration (with nutrition

labels) and the Environmental Protection Agency (with the Toxic Release Inventory) rely on public

disclosures in lieu of more restrictive regulations to protect the public’s health and safety.

While information plays a critical role in good government, it also imposes a cost on the public. It takes

time to supply information to the government. The Paperwork Reduction Act of 1995 (PRA) includes in

its definition of “burden” the hours expended by respondents in answering Federal questionnaires. The

PRA emphasizes that agencies need to strike a balance, collecting the right information to meet their

responsibilities to the public while not requiring information that is unnecessary or unavailable. 

Agencies should collect only information essential to their mission. They should ensure that they are

collecting information only once, not redundantly. They should always look for simpler, easier, and

faster ways for citizens to provide the essential information. 

The PRA makes each agency’s Chief Information Officer (CIO) responsible for the agency’s information

collection activities. The CIO must ensure that all information collected from the public is needed, will

be used in a practical way by the agency, is not duplicative, and is collected in the most efficient way.
2 Fiscal Year 2000 Information Collection Budget of the United States Government

The PRA gives OMB certain responsibilities for overseeing federal information collection. OMB

reviews agencies’ information collections, both new collections and renewals. It asks the agencies to

explain why they need the information, how they plan to use it, and whether there is a better way to

collect it. By raising these questions, OMB helps the agencies make their information collections as

efficient as possible.

Public involvement is critical in this area. Collecting the right information in the right way can be

challenging. Currently, agencies announce all of their proposed information collections in the Federal

Register so that they can benefit from public input on how best to collect the right information in the

most efficient way. They ask whether the information is available elsewhere, and whether there is a

better collection method. They consider all public comments carefully, as does OMB when it later

reviews the agency’s request for the information collection. Public participation in the design of

information collections helps agencies strike the right balance. 

Improving How Agencies Collect Information

The PRA sets annual goals for reducing the time citizens spend providing information to federal

agencies. In this way, it encourages agencies to collect only essential information, and to do so as

efficiently as possible. For FY 1999 and FY 2000, the PRA set a governmentwide annual reduction goal

of five percent.

As we describe in Chapter 3, Federal agencies have improved greatly in this regard. Many have ongoing

efforts to increase the value, reduce the burden, and otherwise improve management of the information

they collect. Agencies have begun to build information needs and burden concerns into the regulatory

process. Agency Chief Information Officers and their staffs are involved earlier in the process, helping

program offices to design their information collections to strike the right balance.

Not all of these agency efforts are easily recognized as improvements under the PRA. The PRA

measures information collection performance in “burden hours”–the time it takes for the public to

respond to an information request. The PRA governmentwide goals only mention the reduction of these

hours. So, even though the PRA requires agencies to manage information collections to improve

program efficiency and effectiveness, the statutory goals do not account for this important requirement. 

In fact, sometimes improvements in program efficiency and effectiveness will increase the amount of the

time the public as a whole spends on information collections.

Consider an agency effort to improve program performance by making its services available over the

Internet 24 hours a day. This effort would serve the public better by making the services more

convenient and by reducing the effort needed to learn about the services. If it promotes increased use of

the program or service, however, it could add to the total burden hours (because of the increased usage). 

The Bureau of the Public Debt, for example, allows visitors to its website to purchase securities on-line. 

Although the availability of this web-based alternative to paper forms increases burden estimates, the

Bureau's customers value the convenience of buying on on-line.

Electronic applications and form submission can also reduce processing errors and increase the speed

with which services are delivered to the public. Since the time spent waiting for Federal benefits is not

counted under the PRA, however, the streamlining would not offset any increased time or expense spent

moving to an electronic system. One way the Federal government has improved service in this manner is

allowing taxpayers to file tax returns electronically with its e-file program. Returns that are filed
Chapter 1. Collecting Information in an Information Age 3

1

 44 U.S.C. 3505.

electronically have a less than 1 percent error rate and taxpayers due a refund receive it in half the time it

would normally take.

Even efforts to explain Federal programs and policies better add to “burden hours” since the definition of

burden includes time spent reading instructions and guidance. IRS tax forms and schedules, for example,

provide instructions and work-sheets that help filers calculate the correct answers to specific questions. 

Given the complexity of many of the required calculations, taxpayers ultimately spend less time on them

because they are given step-by-step instructions. However, because burden calculations are based in part

on the length of the instructions, these taxpayer aids actually increase the measured burden, even when

the net result is less burden than would exist without the aids.

The PRA’s effectiveness in reducing the time the public spends on information collections cannot be

captured simply by looking at burden hours. Its processes seek not just to streamline existing collections

or end unnecessary ones, but also to streamline or even prevent new collections. If successful, the

agency’s efforts can go unrecognized. An agency’s decision to select the least burdensome alternatives

when implementing a new statute or regulation will still lead to an increase in burden hours under the

PRA, but the final burden total will be less than what it would have been absent that decision. For

example, in 1994 EPA proposed to require housing renovators to distribute EPA's lead hazard

information pamphlet to housing owners and occupants before beginning activities that potentially create

lead hazards. The burden associated with the proposed rule would have been over 3 million hours. 

However, before issuing the final rule, EPA changed the requirements, reducing the burden by 25%.

In each of these above cases, the “burden hours” may increase, even though the public finds it easier to

comply with a program and will benefit more from enhanced information quality, program performance,

and government efficiency. The governmentwide burden reduction goals established in the PRA1

 fail to

recognize the importance of these kinds of initiatives. Nor do the goals take account of the fact that new

legislative or program responsibilities will require agencies to collect additional information. While the

measurement of “burden hours” may be useful in tracking the amount of information the government

collects, it is an imperfect tool which does not give a full picture of agency successes.

Agencies employ a variety of tools to make information collections more efficient. They have

streamlined regulations, eliminated unnecessary requirements, revised application and reporting

procedures, raised reporting thresholds, reduced reporting frequencies, and consolidated multiple

information collections. This Information Collection Budget (ICB) contains many examples of how

agencies use these tools. 

Agencies are using information technology to make information collection more efficient. Technology

reduces the time it takes the public to respond to information collections. Automated tools reduce errors,

making the exchange of information easier and more efficient. Information technology can help

eliminate inconsistencies and duplication by enabling the sharing of information across programs and

agencies. Although we do not yet have a good way of measuring the full impact, we know that

technology can help reduce reporting burdens. 

Despite this potential, information technology does not inherently transform the process of collecting

information. Agencies still need to examine their programs and procedures rigorously, questioning their

information needs and justifying their requirements. Only then can agencies best apply technology to

make essential information transactions as efficient as possible. Ultimately, information technology has

the potential to transform government business processes and Federal management of information.
4 Fiscal Year 2000 Information Collection Budget of the United States Government

This is a complex and difficult transformation, requiring substantial time and resources. Government has

had limited resources and other pressing IT priorities, including the massive Y2K effort. Federal

agencies have needed to reassess business process, and consider privacy and security before

implementing new IT solutions. They have made great progress, but still have a long way to go before

realizing the full potential of the Information Age.

 

Agencies continue to build on the progress they have made. They must focus on the best practices of

information technology and how they can collect information most efficiently and effectively. They must

examine how they can meet information needs through intra-agency and interagency sharing, and ensure

that collections do not duplicate information available within the same agency, from other agencies, or

from the private sector.

The following examples describe agency burden reduction initiatives completed in FY 1999 or planned

for FY 2000. They illustrate the kinds of activities agencies are conducting all across the government. 

For a detailed list of such efforts, please see Chapter 3.

Streamlining Regulations

Streamlining regulations often reduces burden hours. For example, USDA’s Rural Development (RD)

office has been streamlining its program requirements. Having revised its single family housing program

regulations in FY 1998, RD streamlined its multi-family housing program regulations in FY 1999. RD

estimates the completed streamlining will reduce total burden hours in all RD programs by 24%. 

The Federal Motor Carrier Safety Administration (FMCSA) has engaged in an ambitious streamlining

initiative for several years. It plans to complete a zero-based review of its motor carrier regulations in

FY 2000. This review is expected to eliminate or consolidate many regulatory requirements and

information collections, and streamline most of the rest. FMCSA estimates there will be a 90% reduction

in burden hours when it completes the review. 

Program revisions intended to improve customer service often reduce burden as well. In FY 1999, Farm

Loan Programs within the Farm Service Agency (FSA) instituted a Preferred Lender Program and a low

documentation application for its guaranteed operating loans. The streamlined forms and applications

process reduced lender and applicant burden by 110,600 hours.

Another multi-year effort moving toward completion is EPA’s initiative to reform the RCRA program. 

EPA’s Office of Solid Waste and Emergency Response (OSWER) expects to publish a proposed

regulation that will improve the efficiency of the hazardous waste manifest system and reduce “realworld” paperwork burden and cost by up to 1.35 million hours and $78,000,000 annually. EPA also

intends to propose a rulemaking in FY 2000 that will reduce RCRA reporting requirements, lengthen

periods between facility self-inspections, revise personnel training, streamline land disposal restrictions

paperwork, and reduce the data collected by RCRA’s biennial report. As proposed, the burden reduction

could be 3,300,000 hours, which when added to previous reductions, would be a 40% reduction from the

RCRA program’s 1995 baseline.

EPA also will propose regulations in FY 2000 revising its Spill Prevention, Control, and

Countermeasures (SPCC) program. Facilities subject to SPCC must submit plans on how they will

prevent discharges of oil into U.S. waters or along U.S. shorelines. EPA will propose regulations that

will raise the regulatory threshold, encourage the use of industry standards instead of prescriptive
Chapter 1. Collecting Information in an Information Age 5

requirements, and exempt buried tanks. This is expected to reduce the program’s information collection

burden hours by nearly 40% for most facilities after the first year of implementation.

Cutting the frequency of reporting is another strategy for reducing burden. The Community

Development Financial Institutions Program Fund issued new regulations in FY 1999 which reduced

reporting and recordkeeping burden for awardees by cutting quarterly reporting to semi-annual and

streamlining its application for greater clarity and transparency.

Raising reporting thresholds also is an appropriate way to reduce aggregate burden hours when

circumstances warrant. Under EPA’s Community Right To Know regulations, businesses must disclose

information regarding the quantity and toxicity of various chemicals present on the premises so that

members of the community are aware of any potential risks from the chemicals. Gasoline and diesel fuel

were among the substances to be reported. Since normal amounts of gasoline are expected to be present

at retail gas stations, EPA increased the reporting threshold level for gasoline and diesel fuel, effectively

exempting retail gas stations from reporting and eliminating 588,000 burden hours.

Eliminating Redundancy

Consolidating information collections often can eliminate redundant information and the inconsistency

that results. Whether burden reduction is the primary goal or a byproduct of such an effort, it often is

significant. In FY 2000, EPA’s Office of Pollution Prevention and Toxics (OPPT) will consolidate into

one information collection 6 different PCB-related information requirements. EPA expects this to reduce

reporting burden by approximately 1,263,000 hours. In FY 1999, the Social Security Administration

(SSA) consolidated two forms, “Questionnaire for Children Claiming SSI Benefits” and “Child’s

Disability Report”, resulting in burden reduction of 423,000 hours. In FY 2000, SSA will combine two

other forms “Continuing Disability” and “Work Activity Report,” resulting in another 105,000 burden

hour decrease. 

Information technology is making it easier to consolidate collections. In FY 2000, the Rural Housing

Service (RHS) plans to allow property managers to submit required tenant information electronically in

the Rural Rental Housing Program. This will allow RHS to combine 8 information collections and

reduce reporting by 540,858 hours.

Sometimes two or more agencies regulate different aspects of the same activity and use separate,

duplicative information collections. The Department of Transportation (DOT) and the Department of

Labor (DOL) both require truck drivers to record their driving time. DOT has required the drivers to

keep driver logs, while DOL has required them to use time records. DOT has decided to rely on DOL’s

time records. By canceling the requirement for drivers operating within 100 miles of their normal work

site, DOT eliminated 660,000 reporting hours. DOT soon will publish a proposed rulemaking to do the

same thing for intrastate drivers operating further than 100 miles from the work site, which would

produce an estimated 28,000,000-hour reduction. 

Agencies increasingly are working together to reduce burden by sharing information. For example, the

DOL’s Pension Welfare Benefit Administration (PWBA), the IRS, and the Pension Benefit Guaranty

Corporation (PBGC) share the data from the Form 5500 annual report that pension plans file with

PWBA. 
6 Fiscal Year 2000 Information Collection Budget of the United States Government

Simplifying Forms

Even if an agency does not make any changes in a program or is unable to consolidate forms, it often can

obtain significant burden reduction simply be eliminating, simplifying, or consolidating the contents of

an individual information collection. PWBA, the IRS, and PBGC have conducted an extensive review of

the Form 5500 mentioned above. As a result, in FY 2000, PWBA will streamline the form to eliminate

unnecessary data elements and simplify many that remain. PWBA estimates pension plans will save

$40,540,000 annually.

IRS forms and instructions are responsible for about 80% of the total number of reporting hours

government-wide. The IRS has contracted with Xerox to redesign and simplify tax forms and

instructions. For example, for tax year 1999, taxpayers whose only capital gains were from mutual fund

distributions may not need to file Schedule D but may report directly on Form 1040. The IRS estimates

that about 6 million taxpayers will not need to file Schedule D, reducing taxpayer burden by over

1,000,000 hours. Changes in several basic IRS forms (1040, 1040A, 1040EZ, and TeleFile) may be

implemented as early as FY 2000 and offer substantial time savings for taxpayers. 

Changing Statutes

Burden reductions also occur as a result of changes induced by recent legislation. For example, the

Personal Responsibility and Work Opportunity Reconciliation Act of 1996 requires the use of Electronic

Benefit Transfers (EBT) nationwide in lieu of paper food stamp coupons by 2002. As EBT is widely

implemented, the amount of paperwork associated with the food stamp program will drop significantly.

EBT significantly reduces the amount of paperwork and recordkeeping a business has to do to redeem the

food stamps and reduces the amount of time the food stamp recipient has to spend at the cash register.

Using Information Technology

The Government Paperwork Elimination Act of 1998 (GPEA) calls upon Federal agencies to redouble

their efforts to give the public the option of using information technology to respond to Federal

information collections. President Clinton directed agencies in a December 17, 1999 memorandum to

accelerate the process as much as possible by the end of FY 2000. Agencies made substantial progress

towards meeting that goal in FY 1999 and much more is planned in FY 2000. Agencies are exploring

innovative ways to use electronic technology in all of their information collection activities to reduce

paperwork burden hours, and improve the quality, timeliness, and utility of the data received. 

Agencies are implementing electronic access and services, with appropriate privacy and security

safeguards, incrementally. To address the needs of more customers, agencies are adopting different types

of technologies for information exchange. Using the web to exchange information appeals to some

customers, while using a modem to connect directly to the agency’s computers might be preferred by

other customers in other situations. Agencies are expanding their use of both approaches to simplify

information exchange for more customers.

Information Technology in the Regulatory Process

There are many initiatives that illustrate the use of electronic technology to make the regulatory process

more effective and efficient by improving data quality, increasing public access to information, and

reducing burden on respondents. Agency use of information technology in the regulatory process is

advancing rapidly. 
Chapter 1. Collecting Information in an Information Age 7

Often, the availability of electronic reporting reduces burden hours, even if nothing else in the collection

or process changes. For example, the IRS requires employees to report tips to their employers monthly. 

Most employers now have electronic systems for employees to use to report tips. This has reduced the

burden on employees by nearly 65% (16,808,949 burden hours).

In FY 2000, the Federal Railroad Administration (FRA) plans to amend its Hours of Service Regulation

to encourage railroads to collect, maintain, and submit hours of service information electronically. FRA

believes most railroads will be equipped to do so by December 2001, resulting in a reduction of up to

80% in the time needed for each report and a total annual reduction of about 2,000,000 hours.

Shipper’s Export Declarations (SEDs) are the source for the official U.S. export statistics compiled by

the Bureau of the Census. The agency has developed an electronic filing system that reduces by over

two-thirds (to 3 minutes from 11 minutes) the time needed to file an export declaration. After extensive

marketing by the agency, significant numbers of exporters are switching from paper to electronic filing. 

This has reduced burden by approximately 160,000 hours in FY 1999 and is expected to reduce another

47,000 hours in FY 2000 as more exporters adopt the electronic method.

As indicated above, many agencies are using multiple methods for data exchange with customers. The

Bureau of Labor Statistics is working to give respondents the option to transmit data electronically via email, web-based forms, direct transmission from the respondent’s database, and several prototype

systems. EPA’s Office of Ground Water and Drinking Water requires water systems to report water

quality data. Respondents may use an electronic template on EPA’s web site to fill in the data elements

or may forward laboratory results electronically to EPA and avoid the burden of re-keying data. EPA

will complete all of the reporting for small systems, further reducing their burden.

To further simplify reporting, improve the consistency and quality of the data reported, and enable

greater data integration, agencies are working to improve their data standards. Data standards help the

public understand better what information to provide and help agencies integrate and use the information. 

Standardizing information can help an agency integrate its data and eliminate redundancy. EPA has been

developing formal data standards to allow electronic transmission of the data for a number of its major

compliance reports, including safe drinking water laboratory reports, air emission inventory reports,

hazardous waste manifests, point source discharge monitoring reports, and RCRA biennial reports. EPA

also has been working to standardize and integrate basic facility identification information, so that in the

future regulated entities would be able to provide that information only once, instead of repeatedly to

different programs on different forms. EPA expects these efforts to yield great time savings. For

example, EPA estimates that electronic submission of the discharge monitoring reports will save

approximately 25% of respondent time, or about 500,000 hours.

The Rural Utilities Service plans to implement in FY 2000 a comprehensive Internet-based system to

collect, store, use and disseminate data for its electric and telecommunication customers.

The Office of the Controller of the Currency is using information technology to reduce burdens on

lending institutions. OCC demonstrated its “Nationalbanknet” (which has been anticipated in prior

ICBs) at the American Banking Association Conference in October 1999. The Nationalbanknet now links

all federally chartered banks with OCC to enable electronic transactions. OCC also demonstrated the

first tool being made available, the Comparative Analysis Reporting tool, which banks will use for some

of their OCC reporting. OCC will roll out additional electronic filing tools in FY 2000 and FY 2001.

OCC also is developing a “Virtual Exam” to reduce the paperwork and cost of onsite bank examinations.
8 Fiscal Year 2000 Information Collection Budget of the United States Government

As agencies gain more expertise with electronic signatures, more and more transactions will be made

electronic, which should streamline reporting for both the public and the agencies. For example, FDA

promulgated an electronic signatures regulation permitting it to accept documents or portions of

regulatory applications electronically. FDA plans to be fully ready for paperless communication by FY

2002.

Agencies increasingly are using interactive “intelligent” software to help customers file reports, thereby

reducing burden and improving accuracy. For example, the Pension Welfare Benefit Administration

(PWBA) at DOL is implementing EFAST, an interactive filing program to assist approximately 900,000

employers to file their annual ERISA Form 5500 filings (previously filed on paper to the IRS). The new

processing system has built-in consistency and accuracy checks so reporters can avoid making and then

having to correct errors. DOL plans to use EFAST to process 1999 filings starting this summer. PWBA

estimates a savings of 560,000 burden hours and $16,351,000 annually when the system is fully

implemented.

EPA is developing an interactive, intelligent, user-friendly software called “Toxics Release Inventory

Made Easy” (TRI-ME) that uses simple “decision-tree” questions to help facilities determine if they are

subject to TRI reporting and, if so, how to report. It calculates releases, checks for errors and omissions,

completes the forms, serves as a record-keeping device, and provides guidance. EPA estimates that TRIME will greatly reduce data quality errors and reduce reporting burden by up to 20% when fully

implemented. EPA intends to introduce TRI-ME in FY 2000 tailored to the needs of three industries:

chemical distributors, petroleum wholesalers, and foundries.

Information Technology in Tax Administration

The Internal Revenue Service is making significant investments in information technology as part of its

overall modernization efforts. In late FY 1999, the IRS awarded a major contract for a multi-year

systems improvement effort. In FY 2000, the IRS will continue its work on a system to allow individual

taxpayers and businesses to transact and communicate electronically with the IRS. 

The IRS has made Electronic Tax Administration (ETA) a top priority. ETA reduces taxpayer burden by

making it easier and faster to file returns and communicate with the IRS. The IRS expects to receive

over 33 million electronically filed individual tax returns in FY 2000, or over 26% of all individual tax

returns. One key initiative for FY 2000 is expanding the use of identification numbers to facilitate secure

filing by tax preparers. The IRS also plans to make more electronic payment options available, and to

accept more forms and schedules through e-filing.

The IRS is also providing businesses a growing number of electronic filing and payment options. The

Form 941 e-file program will reduce filing time by allowing employers to file their quarterly tax returns

electronically from their office computer beginning April 1, 2000. The IRS will launch an Internet Web

Site to allow on-line enrollment and payment. Business partnerships will be able to file Forms 1065 and

related Schedule K-1 electronically beginning in March 2000. 

Information Technology to Deliver Services and Support Transactions

Agencies also are using information technology to deliver more services to the public more efficiently. 

Frequently, there is an information collection component associated with such transactions. Participants

in Federal grant programs or applicants for Federal procurement opportunities must register, respond to

solicitations, maintain records, and file reports. Applicants for Federal financial and technical assistance

must apply, provide financial information, and maintain records. Lenders and other intermediaries must
Chapter 1. Collecting Information in an Information Age 9

apply to participate in these programs, maintain records, and file reports. Expanded use of information

technology can make participating in these programs and receiving services much easier for all parties. 

The Department of Education now enables students to apply for federal financial aid over the web. After

the first year, the system pre-populates the data fields in the student’s account so the student and/or

parents do not have to re-enter data. 

Several agencies that offer financial assistance are revising their business processes to enable fully

electronic transactions with their customers and lending partners. For example, the Rural Housing

Service expects to implement electronic loan closings and lender status reports by the end of FY 2000. 

SBA is working on e-lending to offer lenders and borrowers online processing, credit risk analysis, and

approval in its guaranteed loan programs and enable paperless disaster loan processing. This will reduce

lender reporting hours significantly.

Within the Administration for Children and Families (ACF), the Head Start program has instituted

electronic grant applications and annual performance reports with over 2,000 grantees (virtually all of

whom are small entities). In the FY 1999 reporting period, 86% of the grantees reported electronically,

the highest percentage to date.

Several agencies are working on “one-stop shopping” initiatives to reduce burden by using electronic

technology to share information across programs and eliminate duplication. In FY 1999 the Foreign

Agricultural Service (FAS) launched a Unified Export Strategy, automating its business processes and

using the Internet to serve its geographically diverse customers. Thus far, FAS and its private sector

partners have developed a secure Internet web site and designed special software that allows customers to

consolidate into a single submission 172 different funding requests for 12 export development programs. 

Customers no longer prepare and submit multiple applications for funding or assistance. The effort

dramatically reduces paperwork by an estimated 11,413 pages annually, saving over 32 staff years, and

reduces the administrative cost of the programs by over 50%. FAS will continue to improve the system

to reduce burden. For example, in FY 2000 FAS plans to upgrade the software to pre-populate data entry

screens so customers will not have to re-enter information on new applications unless the data has

changed since the previous application. 

Another USDA effort is the Service Center Initiative (SCI). Three of its agencies–the Farm Service

Agency, Rural Development, and Natural Resources Conservation Service–are working to establish onestop shopping and a common interface that will offer farmers 24/7 access to the information and services

of all three agencies. The programs will share data, eliminate duplicative information collections, and

streamline those collections that remain. To further this goal, in FY 1999 SCI formed a team of staff to

reduce paperwork. The team identified 547 forms and 402 non-form collection methods used by the three

agencies to collect information from SCI customers; of those, 74 forms were almost completely

duplicative. The team is working to convert the forms and other collections into a single database that

would eliminate the redundant information and serve as a single point for reporting and data

management. In FY 2000, the team will continue to convert forms for on-line use, re-engineer business

processes, and streamline, consolidate, or eliminate collections.

Information technology is making it easier to invest in Treasury securities. Nearly one million investors

hold their marketable Treasury securities in book-entry form directly with the Treasury. The Bureau of

Public Debt is increasing the services provided electronically to those customers through TreasuryDirect

Electronic Services. For example, Buy Direct is an electronic option for submitting tenders. One-third of

investor purchases made in FY 1999 were made electronically. Public Debt streamlined the Buy Direct
10 Fiscal Year 2000 Information Collection Budget of the United States Government

web pages in FY 1999 to reduce burden. They now have fill-in and drop-down boxes, making it easier to

give information. Three out of eight data elements collected on the paper tender were eliminated, making

e-tender easier and faster to complete. On-line sales of Series EE and I savings bonds began November

2, 1999. Although electronic purchase is not appreciably faster, it is available around the clock for the

convenience of the customer, in home or office.

During FY 1999, the IRS established a partnership with the National Association of Enrolled Agents

(NAEA), a tax practitioners trade group. The partners will conduct pilots on how tax preparers could

discuss and resolve taxpayer matters with the IRS by secure and encrypted e-mail. 

Several agencies are developing expert systems and intelligent technology to provide businesses

compliance assistance and to reduce burden. DOL has developed 18 “E-law Advisors,” web-based expert

systems that the public can query through menus and routine questions to better understand and comply

with DOL regulations. OSHA is working on the next generation of these systems, which would combine

interactive questionnaires and electronic forms with legal analysis. OSHA has made similar efforts in

developing its “Expert Advisors,” interactive web-based systems designed to replicate the thinking

process of OSHA’s policy and enforcement staff on a particular topic area of interest to the public. 

OSHA has made 10 Expert Advisors available on-line and plans to add 3 more, for hazard

communications, nursing homes, and workers rights, in FY 2000.

FDA implemented its Adverse Event Reporting System (AERS) 18 months ago as a way to better

monitor adverse effects of using human drugs and therapeutic biologics once they are approved and in

public use. AERS replaces a very ponderous paper process with a real-time, online-system that allows

companies and the agency to produce a more timely and accurate picture of the performance of a drug

product. It has increased reporting of events by the health care community.

More than 20 Federal agencies are reducing burden by participating in the Federal Commons, an interagency effort to use electronic commerce to streamline grants administration. Participating agencies

include USDA, DOC, DOD, ED, DOE, EPA, GSA, HHS, HUD, DOL, NSF, DOT, and Treasury. The

Federal Commons web site will become the single point of entry for Federal grants programs and a

central repository for grant-related information. The site accepts data from grant applicants and

recipients in any format and transmits the data to each agency in that agency’s desired format. The

agencies agreed upon many standard data elements in FY 1999. As that work continues, Federal

Commons will become more robust. Already, several independent grant sites have been consolidated

into the Commons or one of three other major sites, which will eventually be linked into the Commons. 

A similar effort is underway to improve procurement transactions for vendors. Many agencies are using

GSA’s Electronic Posting System, an e-commerce, Internet-based application that allows agencies to post

notices and solicitations on a web site. The posting system notifies vendors by e-mail of upcoming

procurement opportunities in the vendors’ specified areas of business interest. It currently interfaces

with Commerce Business Daily Net (CBDNet), where vendors can access in one place proposals and

solicitations from all agencies. In the future, the system will allow vendors to submit secure electronic

transactions. In FY2000, more agencies will adopt the system, including all 12 Treasury bureaus.
2

 “Changes Due to Agency Action” do not include changes due to a Lapse of OMB approval, the expiration or

reinstatement of a continuing information collection.

3

 See Appendix A for an explanation of the correction.

11

Chapter 2. Information Collection Budget of the Federal Government

for FY 1999 and FY 2000

Hours Needed for Information Collection Activities for FY 1998 and FY 1999

The Information Collection Budget (ICB) reports the hours needed for Federal information collection

activities and the changes from year-to-year. Table 2.1 shows the public’s hours needed for information

collection at the end of FY 1998.

The first column of the table shows the total hours needed by 27 Federal agencies with more than two

million hours approved in FY 1998. The second column shows the “Changes Due to Agency Action” for

each agency in FY 1999. These are intentional changes to an agency’s information collection activities

not directly related to a new statutory mandate.2

 Examples of this kind of change would be creation of an

electronic application system, streamlining or redesigning a form, or creating a new survey. The third

column shows the change due to agency actions as a percentage of the burden for FY 1998 corrected for

lapses in OMB approval.3

The fourth column show the “Changes Due to New Statutes” for each agency for FY 1999. These are

changes to an agency’s information collection activities resulting from or required by a recently-passed

statute. For example, this would include applications for a new benefit or loan program established by

statute or a new reporting requirement specifically detailed in statute. The fifth column shows the

change due to new statutes as a percentage of the burden for FY 1998 corrected for lapses in OMB

approval.

 

Table 2.1 does not show all of the factors which contributed to the change in total hours between FY

1998 and FY 1999. Table A.1 in appendix A has a more complete breakdown for FY 1999.

Approximately 80% of the Federal total is conducted by the Department of the Treasury (including all

Federal tax and revenue reporting and recordkeeping imposed by the Internal Revenue Service and the

Customs Service). Efforts to improve the efficiency of the tax collection system through increased use of

information technology have been successful and are continuing. Frequent and significant amendments

to the tax code, however, have resulted in the IRS having to increase the burden it imposes on taxpayers. 

For example, the reporting of capital gains was recently complicated by the need to apply several capital

gains tax rates. As a result of this and other changes, the hours needed by the public to complete

information collections by the Department of the Treasury increased from 5.70 billion hours in FY 1998

to 5.91 billion hours in FY 1999.
12 Fiscal Year 2000 Information Collection Budget of the United States Government

FY 1998 Total 

Hours 

Needed

Departments 

Agriculture 71.95 (1.32) -2.0% 0.16 0.3%

Commerce* 6.80 0.36 5.3% 0.06 0.9%

Defense 119.00 (7.02) -5.9% 0.00 0.0%

Education 40.90 6.30 15.4% 0.17 0.4%

Energy 4.46 0.02 0.4% 0.00 0.0%

Heath and Human 

Services (0.10) 139.31 -0.1% 8.83 6.2%

Housing and Urban 

Development 0.58 18.48 3.2% 0.96 5.3%

Interior 4.57 (0.16) -3.8% 0.23 5.4%

Justice 25.82 1.29 3.8% 1.57 4.6%

Labor 199.00 0.57 0.3% 0.00 0.0%

State** 28.90 0.02 0.1% 0.00 0.0%

Transportation 138.75 (0.32) -0.2% 0.70 0.5%

Treasury 5,702.24 14.17 0.2% 150.00 2.6%

Veterans Affairs 2.64 0.11 2.1% 0.01 0.1%

 

Agencies 

EPA 119.18 1.98 1.7% 0.04 0.0%

FAR 24.42 (0.54) -2.2% (0.00) 0.0%

FCC 30.34 2.32 7.6% 0.78 2.6%

FDIC 7.56 (0.01) -0.2% 0.00 0.0%

FEMA 4.68 (0.00) -0.1% 0.00 0.0%

FERC 5.54 (1.52) -27.4% 0.00 0.0%

FTC 126.98 0.02 0.0% 0.00 0.0%

NASA 7.71 (0.37) -4.8% 0.00 0.0%

NSF 4.73 (0.00) -0.1% 0.00 0.0%

NRC 9.67 (0.03) -0.4% 0.00 0.0%

SEC 75.67 2.16 2.9% 0.01 0.0%

SBA 3.07 (0.20) -10.5% 0.00 0.0%

SSA 22.08 (0.32) -1.5% 0.32 1.5%

FY 1999 Changes Due 

to Agency Action

FY 1999 Changes Due 

to New Statutes

* The program changes for the Department of Commerce excludes the hours needed by 

periodic collections such as the Decennial Census. The hours needed for these activities 

are listed in appendix A.

** The FY 1998 Total Hours Needed for the Department of State is adjusted, as described 

in the FY 1998 ICB, appendix B.

Table 2.1: FY 1999 Information Collection Totals

(millions of hours)

As seen in Table 2.1, the Chief Information Officers (CIOs) for the Departments reported a variety of

changes in estimated hours needed due to agency actions between FY 1998 and FY 1999. The greatest

reduction due to agency actions was reported by the Departments of Defense (!5.9%), due mostly to

continued streamlining of its procurement procedures. The greatest increases due to agency actions were

reported by the Departments of Education (15.4%) and Commerce (5.3%).

The CIOs for the non-Department agencies also reported a variety of program changes between FY 1998

and FY 1999. The most notable decreases were reported by the Federal Energy Regulatory Commission

(!27.4%) and the Small Business Administration (!10.5%). National Aeronautics and Space

Administration (NASA) also achieved a significant reduction (!4.8%). NASA has continued automating
Chapter 2. Information Collection Budgets for FY 1999 and FY 2000 13

FY 1999 Total 

Hours Needed

Departments 

Agriculture 67.68 (0.89) -1.1% 3.34 4.1%

Commerce* 7.21 0.65 9.0% (0.01) -0.1%

Defense 111.73 0.40 0.4% 0.00 0.0%

Education 42.07 1.64 3.9% (1.49) -3.5%

Energy 4.48 0.00 0.0% 0.00 0.0%

Heath and Human 

Services 13.79 164.35 7.8% 9.29 5.3%

Housing and Urban 

Development 0.55 19.75 2.3% (0.01) -0.1%

Interior 4.36 0.14 2.9% 0.03 0.7%

Justice 36.59 0.42 1.1% 0.01 0.0%

Labor 195.96 0.71 0.4% 2.41 1.2%

State 28.85 0.00 0.0% 0.00 0.0%

Transportation 140.00 4.62 2.7% 13.42 8.0%

Treasury 5,909.07 51.15 0.9% (1.28) 0.0%

Veterans Affairs 5.27 0.94 16.1% - 0.0%

 

Agencies 

EPA 118.91 8.07 6.8% 0.66 0.6%

FAR 23.42 (3.62) -15.4% 0.00 0.0%

FCC 32.49 (4.16) -12.8% 1.34 4.1%

FDIC 7.97 0.00 0.0% 0.00 0.0%

FEMA 4.97 0.28 4.7% 0.13 2.1%

FERC 3.98 (0.98) -24.5% 0.00 0.0%

FTC 126.56 (4.98) -3.9% 6.70 5.3%

NASA 7.34 (0.35) -4.8% 0.00 0.0%

NSF 4.74 (0.04) -0.8% 0.00 0.0%

NRC 9.51 0.01 0.1% 0.00 0.0%

SEC 76.56 (12.30) -16.1% 0.00 0.0%

SBA 1.67 (0.11) -3.5% 0.01 0.3%

SSA 21.22 1.56 7.4% 0.00 0.0%

FY 2000 Expected 

Changes Due to Agency 

Action

FY 2000 Expected 

Changes Due to New 

Statutes

* The program changes for the Department of Commerce excludes the hours 

needed by periodic collections such as the Decennial Census. The hours needed 

for these activities are listed in appendix A.

Table 2.2: FY 2000 Information Collection Totals

(millions of hours)

a number of its information collections and engaged in reforms of its procurement process leading to this

decrease. The greatest increase at a non-Cabinet agency was reported by the Federal Communications

Commission (FCC) (+7.6%).

For FY 1999, agencies also reported over 160 million hours increase in paperwork burden due to new

statutory mandates. Treasury carried the largest share of these statutory increases, 150 million hours, due

mostly to changes in the tax code from the Taxpayer Relief Act of 1997 and the Tax and Trade Relief

Extension Act of 1998.
14 Fiscal Year 2000 Information Collection Budget of the United States Government

Expected Hours Needed for Information Collection Activities for FY 2000

Table 2.2 presents the expected changes in FY 2000. The columns in this table are analogous to the

columns in Table 2.1. Table A.2 in appendix A gives a more detailed breakdown of the projected

changes in the next two years. As in years before, Treasury is responsible for over 80 percent of the

information collection burden of the Federal Government.

The largest anticipated decreases due to program changes come from the Federal Energy Regulatory

Commission (FERC) (!24.5%), the Securities and Exchange Commission (SEC) (!16.1%), and the

Federal Acquisition Regulation System (FAR) (!15.4%). The burden at FERC decreased due to the

termination of the substantial start-up information requirements for the Gas Industry Standards Board

(GISB) system. The largest increases due to agency actions in FY 2000 come from the Departments of

Veterans Affairs (16.1%), Commerce (9.0%), and Health and Human Services (HHS) (7.8%).

For FY 2000, agencies reported over 80 millions hours increased burden due to new statutory mandates. 

Transportation expects an increase of almost 10% due to increased drug testing required by the

Hazardous Materials Act of 1994. HHS expects an increase of over five percent due, in part, to the

Mammography Quality Standards Reauthorization Act and FDA Modernization Act of 1997.
15

Chapter 3. Significant Paperwork Reductions and Increases -- 

FY 1999 & 2000

The Paperwork Reduction Act of 1995 (PRA) requires the head of each agency, supported by his or her

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. By identifying

significant paperwork decreases or increases, this chapter builds on the discussion in Chapter 1 and

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.

• 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. 

• Simplifying Forms. Simplifying or streamlining forms to make them easier to read and fill out, and

making programs easier to apply for. 

• 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 chapter 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. 

Third, the examples identify areas where more work can be done to yield further benefits.
16 Fiscal Year 2000 Information Collection Budget of the United States Government

FY 1999 Reductions

Streamlining Regulations

Agency: Department of Agriculture

OMB Control No.: 0560-0155

Title: Implementation of Preferred Lender Program and Streamlining of Guaranteed

Regulations

Purpose of the Collection: FSA uses this form to determine the eligibility of lender and loan applicants for farm

loan guarantees and to ensure the Government’s financial interests are protected.

How Reduction Achieved: The Farm Service Agency (FSA) streamlined its direct and guaranteed loan programs

to improve efficiency in processing loan and servicing requests, and reduce burden on

lenders, loan applicants, and borrowers. FSA reinstated the information collection at

197,962 burden hours, but the reinstatement reduced the reporting requirements for

loan applications under $50,000 and established a redesigned and simpler loan

application form. 

Change in Burden: - 110,600 hours. 

Agency: Department of Commerce

OMB Control No.: 0694-0088, 0694-0104

Title: Multipurpose Export Application and Commercial Encryption Items Under the

Jurisdiction of the Department of Commerce

Purpose of the Collection: Commerce uses this information, provided by US exporters, as a basis for granting

licenses for export and re-export and for classifying goods and technologies that are

controlled for reasons of national security and foreign policy.

How reductions achieved: Commerce has revised the Export Administration Regulations to relax export license

requirements to certain countries or change licensing requirements for certain

commodities. This includes encryption commodities and software as affected by the

Vice President’s September 1998 encryption policy initiative.

Change in Burden: - 15,836 hours. 

Agency: Department of the Interior 

OMB Control No.: 1076-0017

Title: Bureau of Indian Affairs Financial Assistance and Social Services Program

Purpose of the Collection: BIA uses this information to determine applicants’ eligibility for services. 

How Reduction Achieved: The OMB approval for this collection lapsed in 1993. BIA since re-wrote the

regulations with a focus on reducing paperwork. The collection has now been

reinstated at 50,000 hours, rather than the previous 311,840-hour burden. This will

show up as a 50,000-hour increase due to the reinstatement. 

Change in Burden: -261,840 hours.

Agency: Department of Transportation

OMB Control No.: 2105-0510

Title: Report of DBE Awards and Commitments

Purpose of Collection: DOT uses this collection to monitor equal opportunity in DOT-assisted contracting

opportunities and gauge improvements over any past discrimination.

How Reduction Achieved: DOT streamlined its DBE programs, consistent with new policies supporting

affirmative action programs. In streamlining the program, DOT also re-assessed and

streamlined the paperworks.

Change in Burden: -124,699 hours 
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 17

Agency: Department of Transportation

OMB Control No.: 2139-0004

Title: Annual Report of Class I and II Motor Carriers Property

Purpose of the Collection: This information collection is mandated to under 49 U.S.C. 14123. It provides motor

carrier financial and operating data. 

How Reduction Achieved: Bureau of Transportation Statistics (BTS) developed rules that sought to balance the

need for the information and the paperwork required. Through the rulemaking, BTS

retained only key data and, as a result, reduced paperwork by about a third.

Change in Burden: -13,500 hours.

Agency: Department of Treasury

OMB Control No.: 1550-0011

Title: General Reporting and Record Keeping by Savings Associations

Purpose of the Collection: Savings associations use this information collection for internal management control. 

Office of Thrift Supervision examiners use it to assess the compliance of savings

association operations.

How Reduction Achieved: OTS achieved the savings by changing financial management record keeping

requirements.

Change in Burden: -120,555 burden hours. 

Agency: Federal Acquisition Regulation System

OMB Control No.: 9000-0018

Title: Certification of Independent Price Determination and Parent Company and Identifying

Data

Purpose of the Collection: Agencies use this information to ensure that government contracts are not awarded to

firms violating antitrust laws (for example, collusive bidding, identical bids, uniform

estimating systems).

How Reduction Achieved: The Federal Acquisition Regulation Council responded to public comments be

eliminating unnecessarily burdensome information requirements. 

Change in Burden: -12,850 hours.

Agency: Federal Acquisition Regulation System

OMB Control No.: 9000-0046

Title: Type of Business

Purpose of the Collection: Agencies use this information to ensure that contracts are designed correctly for the

type of business involved.

How Reduction Achieved: A FAR amendment deleted the provisions at FAR 52.214-2, Type of Business

Organization-Sealed Bidding, and 52.215-4, Type of Business Organization, because

the same information is collected under the provisions at FAR 52.204-3, Taxpayer

Identification, and 52.212-3, Offeror Representations and Certifications-Commercial

Items.

Change in Burden: -77,810 hours.

Agency: Federal Acquisition Regulation System

OMB Control No.: 9000-0075

Title: Government Property

Purpose of the Collection: Agencies use this information, gathered from contractors, to manage government

property and hold the respective contractors accountable for the protection and

preservation of government property.

How Reduction Achieved: The published proposed rule change eliminated 12 FAR clauses, reduced the number

of records contractors must maintain from 19 to 7, created a standard form for

reporting property in a contractor’s custody, replaced the five inventory schedules

currently identified in FAR 45.606-5 with one inventory disposal schedule, and
18 Fiscal Year 2000 Information Collection Budget of the United States Government

replaced the current rental clause with a new one that partially replicates commercial

practices and should reduce contractor rental costs and facilitate the use of government

property for commercial purposes.

Change in Burden: -3,146,848 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-0699

Title: EEO Streamlining Proceeding

Purpose of the Collection: This information collection had been used to support Equal Employment Opportunity

processes. 

How Reduction Achieved: The FCC finalized a rule establishing new broadcast and cable EEO rules and policies. 

The new rule terminated certain proceedings and eliminated the need for this

collection. 

Change in Burden: -694,441 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-0061 

Title: FCC Form 325, Annual Report of Cable Television Systems 

Purpose of the Collection: The FCC uses this information to assess industry compliance with FCC rules and to

monitor industry trends in various areas, such as the conversion of cable systems from

the analog to the digital medium.

How Reduction Achieved: During the 1998 Biennial Regulatory Review, the FCC amended the rules to exempt a

majority of entities from this filing requirement.

Change in Burden: -25,800 hours.

Agency: Federal Energy Regulatory Commission

OMB Control No.: 1902-0096

Title: Electric Rate Schedule Filings, FERC-516

Purpose of the Collection: Public utilities submit this collection to obtain FERC authorization for all rates and

charges made, related contracts and service conditions, and for wholesale sales and

transmission of energy in interstate commerce.

How Reduction Achieved: In Final Rule RM95-8/94-7, FERC required public utilities to open their transmission

lines to competitors and to offer them the same charges and conditions they apply

themselves. The orders permitted wholesale buyers and sellers of electricity to rely on

the market instead of FERC’s regulations for determining the services that it provides

and at what cost. Once the market-based rate filings are approved by the FERC,

utilities no longer have to submit future market-based rate filings.

Change in Burden: -341,700 hours. 

Agency: Nuclear Regulatory Commission

OMB Control No.: 3150-0011

Title: 10 CFR 50, Domestic Licensing of Production and Utilization Facilities (Rule change:

Frequency of Reviews and Audits, Emergency Preparation Programs, Safeguards

Contingency Plans, and Security Reviews)

Purpose of the Collection: The NRC uses this collection to review and audit Emergency Preparation Programs,

Safeguards Contingency Plans, and Security Programs annually to ensure the public

health and safety is protected.

How Reduction Achieved: The rule relaxed the frequency of the reporting, depending on the licensee’s

performance and any significant changes in operations or planning. 

Change in Burden: -10,775 hours.
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 19

Agency: Nuclear Regulatory Commission

OMB Control No.: 3150-0169

Title: 48 CFR 20, US NRC Acquisition Regulation (NRCAR)

Purpose of the Collection: NRC uses this information to manage its own procurement and to meet governmentwide procurement requirements. 

How Reduction Achieved: Consistent with changes in government-wide procurement policy, NRC revised its

acquisition regulation to simply procedures for contracts under $100,000, consistent

with FAR Part 13. These changes have streamlined the competitive proposal and task

order proposal submission requirements by using oral presentations in lieu of some

paperwork.

Change in Burden: -93,739 hours. 

Agency: Securities Exchange Commission

OMB Control No.: 3235-0059

Title: Schedule 14A Proxy Statements

Purpose of the Collection: This schedule describes the information that firms must provide to securities owners in

proxy statements.

How Reduction Achieved: Under new Reg. M-A, updated and simplified rules for business combinations,

Schedule 14A would require acquiring companies in cash mergers and tender offers to

provide financial statements for only two years instead of three. Also, Schedule 14A

no longer would require the financial statements of the target in a cash merger when

the acquirer’s shareholders are not voting on the transaction.

Change in Burden: -52,179 hours. 

Agency: Securities Exchange Commission

OMB Control No.: 3235-0511

Title: Reports To Be Made By Certain Brokers And Dealers – Rule 17a-5(e)(5) and Form

BD-Y2K

Purpose of the Collection: The Commission uses this information to monitor the financial and operational

condition of each broker-dealer.

How Reduction Achieved: Collection was allowed to expire.

Change in Burden: -146,750 hours.

Agency: Securities Exchange Commission

OMB Control No.: 3235-0512

Title: Year 2000 Readiness Reports To Be Made By Certain Transfer Agents – Rule 17Ad18 and Form TA-Y2K

Purpose of the Collection: The Commission used this collection in its Year 2000 efforts. The collection helped

the Commission raise non-bank transfer agent awareness of Y2K preparations;

coordinate with self-regulatory organizations on industry-wide testing,

implementation, and contingency planning; and supplement the Commission's

examination module for Year 2000 issues.

How Reduction Achieved: Collection was allowed to expire.

Change in Burden: -12,480 hours.

Eliminating Redundancy

Agency: Department of Education

OMB Control No.: 1830-0029

Title: Perkins Vocational and Technical Education Act State Plan

Purpose of the Collection: The Department uses this information to allocate federal funds.
20 Fiscal Year 2000 Information Collection Budget of the United States Government

How Reduction Achieved: The Department streamlined the collection to include only information required by the

law.

Change in Burden: -19,040 hours. 

Agency: Department of Health and Human Services

OMB Control No.: 0930-0110

Title: 2000 National Household Survey on Drug Abuse

Purpose of the Collection: This information collection provides key national estimates on the incidence and

prevalence of drug abuse, the nature of the substances, and the personal and family

characteristics of those involved as well as the number of persons who have received

treatment in the civilian, on-institutionalized population. 

How Reduction Achieved: The 1999 survey included a one-time separate sample for analyzing trends in data

collection and the shift to computer-assisted interviewing. This sample is not needed

for the 2000 survey and has been dropped.

Change in Burden: -28,970 hours

Agency: Department of Transportation

OMB Control No.: 2120-0593

Title: Certification Air Carrier and Commercial Operators 14 CFR Part 119

Purpose of the Collection: DOT uses this information to monitor the compliance of large transport airplanes and 

commuter airplanes, pursuant to 14 CFR Parts 135 and 121. 

How Reduction Achieved: DOT streamlined the regulations to improve the compatibility of parts 121 and 135. 

By streamlining the rules, DOT was able to eliminate redundant paperwork.

Change in Burden: -27,245 hours.

Agency: Federal Acquisition Regulation System

OMB Control No.: 9000-0041

Title: Technical Proposal, Two-Step Sealed Bidding

Purpose of the Collection: Agencies use this information to assess the acceptability of proposals received.

How Reduction Achieved: The Federal Acquisition Regulation Council decided that this type of information

requirement is the responsibility of individual agencies and, as a result, canceled the

collection. Agencies as a result may individually seek approval for a collection such

as this.

Change in Burden: -25,800 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-0547

Title: Disputes Concerning Carriage – Section 76.61

Purpose of the Collection: The FCC uses this information to evaluate cable operators’ requests for special relief

from must-carry obligations.

How Reduction Achieved: The FCC consolidated a number of collections (3060-0582, 0651, and 0552) into a

new collection (3060-0888).

Change in Burden: -18,000 hours. 

Agency: Securities Exchange Commission

OMB Control No.: 3235-0056

Title: Form 8-A Securities Registration

Purpose of the Collection: The Commission uses this information to register certain classes of securities under

the Exchange Act.

How Reduction Achieved: Form 8-A requires a description of the registrant’s securities and the filing as exhibits

of documents defining the rights of security holders. Companies that are registering

both an offering of securities under the Securities Act and a class of securities under
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 21

the Exchange Act no longer would have to file Form 8-A because the Securities Act

form should contain all necessary information. 

Change in Burden: -12,875 hours

Agency: Securities Exchange Commission

OMB Control No.: 3235-0418

Title: Form SB-2 Small Business Issuers Securities Registration

Purpose of the Collection: The Commission uses this information to register small business issuers under the

Securities Act.

How Reduction Achieved: Proposed changes to Form SB-2 would permit seasoned issuers to incorporate their

previously filed Exchange Act reports into Form SB-2 by reference. 

Change in Burden: -25,825 hours 

Simplifying Forms

Agency: Department of Agriculture

OMB Control No.: 0551-0026

Title: Cooperator Foreign Market Development Program

Purpose of the Collection: The Department uses this information to assess the extent to which applicant

organizations represent U.S. commodity interests and are able to commit resources for

developing, supervising, and executing project activities. It also uses the information

to determine whether benefits derived from market development efforts will translate

back to the broadest possible range of beneficiaries and will lead to increases in

consumption and imports of U.S. agricultural commodities.

How Reduction Achieved: The Department modified program requirements and revised the application process

to eliminate duplicative information and to consolidate the information into a single

form. The Department also enabled applicants to submit their information

electronically over the Internet.

Change in Burden: - 18,830 hours. 

Agency: Department of Commerce

OMB Control No.: 0607-0717

Title: Current Retail Sales and Inventory Surveys

Purpose of the Collection: Commerce uses this information, estimates of monthly sales and end-of-month

inventories, to develop up-to-date statistics on the retail portion of consumer activity.

How Reduction Achieved: The agency switched to collecting the information at the company, rather than

individual establishment, level. This reduces the number of respondents and the

average burden per response.

Change in Burden: -16,818 hours. 

Agency: Department of Defense

OMB Control No.: 0704-0377

Title: Industrial Capabilities Questionnaire

Purpose of the Collection: Defense gathers business, industrial capability, and manufactured end item

information from key industrial facilities.

How Reduction Achieved: By re-engineering processes and implementing electronic data interchange, Defense

reduced the form 2737 questionnaire from 22 pages to 7 pages.

Change in Burden: -52,300 hours.

Agency: Department of Health and Human Services

OMB Control No.: 0938-0565

Title: IRS/SSA/HCFA Data Match
22 Fiscal Year 2000 Information Collection Budget of the United States Government

Purpose of the Collection: This information collection is used to implement various Medicare Secondary Payer

(MSP) provisions.

How Reduction Achieved: HHS streamlined the form and improved its design and instructions so that it is easier

to use.

Change in Burden: -718,861 hours. 

Agency: Department of Justice

OMB Control No.: 1110-0026

Title: Federal Firearms Licensee Enrollment Form

Purpose of the Collection: This information collection updates the National Instant Criminal Background Check

System (NICS) database with federal firearms licensees that intend to sell firearms.

How Reduction Achieved: Justice consolidated two four-page forms into a single two-page form.

Change in Burden: -23,000 hours.

Agency: Federal Deposit Insurance Commission

OMB Control No.: 3064-0015

Title: Interagency Bank Merger Act Application 

Purpose of the Collection: The banking agencies need the information collected to ensure that proposed merger

transactions are consistent with safe and sound banking practices.

How Reduction Achieved: The agencies reduced burden by combining separate agency forms into a uniform

interagency form.

Change in Burden: - 17,260 hours 

Agency: Small Business Administration

OMB Control No.: 3245-0018

Title: Disaster Home Loan Application

Purpose of the Collection: SBA uses this information to provide assistance to victims of Federally-declared

disasters.

How Reduction Achieved: SBA Form 739 previously required applicants to list each property item along with

repair/replacement estimates. The form now has a damaged property listing that

respondents can simply check off. SBA eliminated the repair/replacement estimate. 

As a result of this change, the burden on this form has reduced from 30 minutes to 15

minutes.

Change in Burden: -26,525 hours.

Agency: Social Security Administration

OMB Control No.: 0960-0499

Title: Form SSA-3881, Questionnaire for Children Claiming SSI Benefits

Purpose of the Collection: SSA uses this information to deliver SSI benefits to disabled children.

How Reduction Achieved: By introducing the new SSA-3820 form, SSA eliminated the need to complete the

SSA-3881 at the initial claims process, reducing the individual respondent burden by

10 minutes. In addition, SSA has finished the redetermination of SSI eligibility of

323,000 children, required by P.L. 104-193. Of the total reduction of 423,000 hours,

161,500 hours result from the completion of the child Continuing Disability Reviews

(CDRs). 

Change in Burden: -423,000 hours. 

Using Information Technology

Agency: Department of Commerce

OMB Control No.: 0607-0152

Title: Shippers Export Declarations (SED) Program
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 23

Purpose of the Collection: This information collection forms the basis of the official U.S. export statistics

compiled by the Bureau of the Census. Those statistics are a leading economic

indicator and a key information source for developing the US position on merchandise

trade.

How Reduction Achieved: The new Automated Export System reduces filing time from 11 minutes on paper to 3

minutes electronically. As more exporters adopt the electronic filing method, the

aggregate time required will continue to decrease.

Change in Burden: -163,320 hours. 

Agency: Department of Education

OMB Control No.: 1840-0098

Title: Application to participate in Student Financial Aid Programs

Purpose of the Collection: Education uses this information to certify institutions for Federal student aid

programs.

How Reduction Achieved: Education automated the information, shifting away from an onerous paper-based

system.

Change in Burden: -15,910 hours. 

Agency: Department of Labor

OMB Control No.: 1210-0039

Title: Summary Plan Description Requirements Under Employee Retirement and Income

Security Act (ERISA).

Purpose of the Collection: This information provides plan administrators with guidance on informing

participants and beneficiaries of employee benefit plans so that they are aware of their

benefits and rights under the plan. 

How Reduction Achieved: The Pension Welfare Benefits Administration (PWBA) published a proposed

regulation concerning the use of electronic technologies for disclosure under ERISA.

The paperwork reductions are the estimated savings that plan administrators may

achieve by distributing information electronically.

Change in Burden: -68,046 hours. 

Agency: Department of Labor

OMB Control No.: 1210-0040

Title: Summary Annual Report Requirements Under ERISA

Purpose of the Collection: Employee benefit plans are required to submit an annual report to the Secretary of

Labor describing the plan’s financial condition and operations. This information

collection provides benefit plan participants and beneficiaries a summary of that

annual report. 

How Reduction Achieved: The Pension Welfare Benefits Administration published a proposed regulation (64

FR 4506) concerning the use of electronic technologies for disclosure under ERISA.

The paperwork reductions are the estimated savings that plan administrators may

achieve by distributing information electronically.

Change in Burden: - 560,043 hours.

Agency: Department of Transportation

OMB Control No.: 2106-0009

Title: 14 CFR Part 221 – Construction, Publication, Filing and Posting of Tariffs of Air

Carriers and Foreign Air Carriers

Purpose of the Collection: This information helps carriers, travel agents, DOT, other government agencies, and

the general public to determine the prices, rules, and related charges for international

passenger air transportation.

How Reduction Achieved: DOT adopted electronic filing.

Change in Burden: -662,480 hours.
24 Fiscal Year 2000 Information Collection Budget of the United States Government

Agency: Federal Energy Regulatory Commission

OMB Control No.: 1902-0174

Title: Standards for Business Practices for Interstate Natural Gas Pipelines, FERC-549C 

Purpose of the Collection: This collection helps standardize aspects of pipelines’ business practices so that

buyers of natural gas can buy and transport gas more easily and efficiently from all

potential sources of supply.

How Reduction Achieved: The FERC issued Order Nos. 587 and 587C to implement both the GISB standards

for business practices and the protocols for Electronic Data Interchange and the

Internet. The adopted protocols have provided the gas industry over the past two

years the ability to use automated computer-to-computer communications to

efficiently conduct time sensitive business transactions, such as nominating and

confirming daily gas flows, as well as invoicing and payments.

Change in Burden: -1,365,226 hours.

Agency: Federal Energy Regulatory Commission

OMB Control No.: 1902-0173

Title: Open Access Same Time Information Systems, FERC-717

Purpose of the Collection: This collection provides transmission customers with equal and timely access to 

information about ancillary services provided in electric tariffs.

How Reduction Achieved: Order No. 889, Final Rule RM95-9 required transmission providers to establish an

electronic transmission system that informs transmission users about available

transmission capacity and prices. These systems have been in place for three years

and have reduced the amount of time and labor necessary to process information,

make it available to the public, and reduce obstacles in obtaining the information.

Change in Burden: -123,060 hours.

Statutory Reductions

Agency: Department of Agriculture

OMB Control No.: 0584-0085

Title: FS Redemption Certificate

Purpose of the Collection: This information collection helps firms that participate in the Food Stamp Program to

verify the amount of coupons forwarded to the bank for redemption.

How Reduction Achieved: Public Law 104-193 mandates the use of Electronic Benefit Transfer systems

nationwide by the year 2002 to replace paper food stamp coupons. The use of these

systems reduces the need to verify coupon redemption.

Change in Burden: -214,517 hours 

Statute Title and P.L. #: Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA) of

1996, P.L. 104-193.

Agency: Department of Housing and Urban Development

OMB Control No.: 2577-0172

Title: Administrative Use Agreement

Purpose of the Collection: This information collection establishes the rights and responsibilities of Housing

Authorities with respect to the use of proceeds of sale.

How Reduction Achieved: A new statutory requirement under the Native American Housing Assistance and

Self-Determination Act of 1996 consolidated a number of HUD programs into a block

grant on behalf of Indian tribes to provide assistance for Native Americans. It

superseded this information collection with the Indian Housing Plan under OMB

Control No. 2577-0218.

Change in Burden: -34,650 hrs
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 25

Statute Title and P.L.#: Native American Housing Assistance and Self-Determination Act of 1996,

P.L. 104-330.

Agency: Department of Treasury

OMB Control No.: 1545-0072

Title: IRS Form 2119, Sale of Your Home

Purpose of the Collection: This information collection is filed with Form 1040 to report the sale of an

individual’s main residence.

How Reduction Achieved: Changes made to Code section 121 by the Taxpayer Relief Act (TRA) will allow most

taxpayers to fully exclude gain on home sales after May 6, 1997. This change makes

the filing of Form 2119 unnecessary.

Change in Burden: - 4,661,470 hours

Statute Title and P.L.#: Taxpayer Relief Act of 1997, P.L. 105-34.

Agency: Federal Acquisition Regulation System

OMB Control No.: 9000-0144

Title: Payment by Electronic Fund Transfer

Purpose of the Collection: Contractors provide this information to agencies in order to receive payment by

electronic fund transfer (EFT).

How Reduction Achieved: Procedures for the use of EFT for Federal contract payments were revised to comply

with Subsection 31001(x)(1) of the Debt Collection Improvement Act of 1996 (Pub.

L. 104-134). That subsection of the Act amended 31 U.S.C. 3322 to require, subject

to the authority of the Secretary of the Treasury to grant waivers, that all Federal

payment shall be made by EFT beginning January 2, 1999.

Change in Burden: - 85,000 hours

Statute and P.L.#: Debt Collection Improvement Act of 1996, P. L. 104-134.

Agency: Federal Acquisition Regulation System

OMB Control No.: 9000-0148

Title: Empowerment Contracting

Purpose of the Collection: Agencies use this information to verify that firms are entitled to an evaluation

preference based on their location in or employment of persons from areas of general

or severe economic distress.

How Reduction Achieved: This initiative was effectively superseded by the HUBZone Act of 1997 and

subsequent implementation of Sections 601-607 of the Act in the FAR.

Change in Burden: -12,852 hours

Statute and P.L.#: HUBZone Act of 1997, P.L. 105-135. 

Other 

Agency: Department of Commerce

OMB Control Nos.: 0607-0444, 0607-0825, 0607-0826, 0607-0843, 0607-0845, 0607-0847

Title: Collections related to the 1997 Economic Census and the Company Organization

Survey

Purpose of the Collection: The Economic Census provides vital economic data and is the foundation for the

nation’s economic statistics program. The Company Organization Survey (COS)

updates and maintains a central list of businesses for other censuses and surveys and

collects data on County Business Patterns.

How Reduction Achieved: The 1997 Economic Census is complete, eliminating its collections. However, the

COS, which is streamlined during Economic Census years to minimize redundancy

and improve response, resumed its more detailed form for the 1998 survey.

Change in Burden: - 1,718,752 hours.
26 Fiscal Year 2000 Information Collection Budget of the United States Government

Agency: Department of Defense

OMB Control No.: 0704-0188

Title: Acquisition Management System and Data Requirements Control List (AMSDL) 

Purpose of the Collection: This information collection specifies data requirements used in government contracts

to support the design, manufacture, testing, training, operation, and maintenance of

procured items.

How Reduction Achieved: Defense eliminated 124 Data Item Descriptions (DIDs).

Change in Burden: - 7,365,600 hours.

Agency: Department of Energy

OMB Control No.: 1910-0100

Title: Information Management

Purpose of the Collection: Energy uses this collection to guide DOE and DOE-contractor personnel on the

efficient management and use of information and information technology.

How Reduction Achieved: Energy improved management procedures and eliminated a number of collections that

were no longer needed.

Change in Burden: - 153,837 hours.

Agency: Department of Energy

OMB Control No.: 1901-0298

Title: Steam-Electric Plant Operation and Design Report

Purpose of the Collection: Energy uses this information to monitor air emissions and water quality issues at

steam-electric plants and to support economic, regulatory, and environmental

analyses.

How Reduction Achieved: The DOE’s Fossil Energy office discontinued its joint sponsorship of the form. 

Change in Burden: -17,730 hours. 

Agency: Environmental Protection Agency

OMB Control No.: 2070-0112 

Title: PCBs: Notification and Manifesting of PCB Waste Activities

Purpose of the Collection: EPA uses this information to monitor the compliance of entities that handle, use,

store, and dispose of PCBs. 

How Reduction Achieved: To simplify PCB regulations, the Office of Pollution Prevention and Toxics (OPPT)

is consolidating six existing PCB information collections into a single information

collection. These collections are: PCBs Used in Electrical Equipment and

Transformers (OMB No. 2070-0003); PCBs: Exclusions, Exemptions and Use

Authorizations (OMB No. 2070-0008); PCBs Disposal Permitting Regulation (OMB

No. 2070-0011); PCBs: Manufacturing, Processing and Distribution in Commerce

Exemptions (OMB No. 2070-0021); PCBs: Notification and Manifesting of PCB

Waste Activities and Records of PCB Storage and Disposal (OMB No. 2070-0112);

and Disposal of PCBs (OMB No. 2070-0158).

Change in Burden: -1,263,389 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-0825

Title: Requirements for Toll Free Service Access Codes 888/877

Purpose of the Collection: The Common Carrier Bureau offers toll-free number subscribers the opportunity to

reserve numbers of their choice. Subscribers provide this information to express their

interest in specific numbers.

How Reduction Achieved: Subscribers were given a limited period of time in which to reserve toll-free numbers,

as specified in the Order and Memorandum Opinion and Order, (CC Docket No. 95-

155). This time period has expired, so the collection has been discontinued.
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 27

Change in Burden: - 370,430 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-0096

Title: FCC Form 506/506-A, Application for Ship Radio Station License and Temporary

Operating Authority

Purpose of the Collection: The FCC uses Form 506 to issue Marine Ship radio licenses. Form 506A is a 90-day

temporary operating authority that enables the applicant to operate while the FCC

reviews the license application.

How Reduction Achieved: Under Report and Order, WT Docket 96-82, the FCC eliminated certain types of

licenses.

Change in Burden: -35,701 hours. 

Agency: Federal Communications Commission

OMB Control No.: 3060-0623

Title: FCC Form 600, Application for Mobile Radio Service Authorization or Rural

Radiotelephone Service Authorization

Purpose of the Collection: The FCC uses this information to authorize entities to provide or use commercial,

private, or mixed radio service. 

How Reduction Achieved: The hour reduction results from a reduction in the number of respondents: a number

of radio services are now being captured under the separate Universal Licensing

System.

Change in Burden: -657,230 hours. 

Agency: Federal Deposit Insurance Commission

OMB Control No.: 3064-0128

Title: Year 2000 Guidelines

Purpose of the Collection: This information collection requires insured depository institutions to take and

document actions to prepare for the Year 2000.

How Reduction Achieved: The need for this collection has passed, so it has been discontinued.

Change in Burden: - 23,188 hours. 
28 Fiscal Year 2000 Information Collection Budget of the United States Government

FY 1999 Increases

Statutory Increases

Agency: Department of Agriculture

OMB Control No.: 0560-0190

Title: Power of Attorney

Purpose of the Collection: This information collection allows a producer to delegate authority to another person

to act on their behalf under a variety of programs administered by FSA.

Why Increase Occurred: The Federal Agriculture Improvement and Reform (FAIR) Act of 1996 added

previously unincorporated programs into this information.

Change in Burden: + 150,000 hours

Statute Title and P.L. #: Federal Agriculture Improvement and Reform Act of 1996, P.L. 104-127. 

Agency: Department of Agriculture

OMB Control No.: 0560-0191

Title: Disaster Reserve Flood Compensation Program

Purpose of the Collection: Agriculture uses this information to provide benefits to eligible livestock producers in

approved counties whose land had been flooded and had been inaccessible or

incapable of crop production, grazing, or haying during FY 1998.

Why Increase Occurred: Congress authorized use of funds from several sources to aid producers affected by

long-term flooding of agricultural land. The funds were designated for use with a

new disaster program called the Disaster Reserve Flood Compensation Program.

Change in Burden: +13,000 hours 

Statute Title and P.L. #: Agriculture, Rural Development, Food and Drug Administration, and Related

Appropriations Act of 1999, P.L. 105-277. 

Agency: Department of Commerce

OMB Control No. 0610-0094 

Title: Proposal for Federal Assistance and Application for Federal Assistance

Purpose of the collection: The Economic Development Administration at Commerce uses this information to

provide tailored financial and planning assistance to interested communities.

Why Increase Occurred: EDA’s new authorizing legislation requires that each eligible recipient for a project

under Section 201 or 209 (except for planning assistance under section 209) submit a

Comprehensive Economic Development Strategy (CEDS) as part of its application for

assistance.

Change in Burden: + 16,500 hours

Statute Title and P.L.#: Economic Development Administration Reform Act of 1998, P.L. 105-393. 

Agency: Department of Commerce

OMB Control No. 0648-0376

Title: Fisheries Capacity Reduction Program Buyback Requests

Purposes of the Collection: Commerce uses this information as a tool to reduce excess fishing capacity. The

program pays fishermen to scrap their vessels and/or surrender their permits. 

Buybacks may be funded by the remaining fishery participants or by the government.

Why Increase Occurred: This is a new program.

Change in Burden: + 37,110 hours

Statute Title and P.L. #: “To amend the Magnuson Fishery Conservation and Management Act to authorize

appropriations, to provide for sustainable fisheries, and for other purposes,”

P.L. 104-297.
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 29

Agency: Department of Education

OMB Control No.: 1840-0740

Title: Gaining Early Awareness and Readiness for Undergraduate Programs (GEAR-UP)

Purpose of the Collection: Education uses this information to provide funds for undergraduate programs.

Why Increase Occurred: New program.

Change in Burden: + 120,000 hours

Statute Title and P.L. #: Higher Education Amendments of 1998, P.L. 105-244. 

Agency: Department of Education

OMB Control No.: 1810-0007

Title: Application for Teacher Quality Enhancement

Purpose of the Collection: This information collection is used to apply for Federal funds.

Why Increase Occurred: New program.

Change in Burden: +100,000 hours 

Statute Title and P.L.#: Higher Education Amendments of 1998, P.L. 105-244.

Agency: Department of Health and Human Services

OMB Control No.: 0938-0739

Title: SNF Resident Assessment MDS Data and Supporting Regulations in 42 CFR,

413.343 and 424.32

Purpose of the Collection: Skilled Nursing Facilities (SNFs) submit resident assessment data as described at 42

CFR 483.20, to administer the payment rate methodology described in 42 CFR

413.337. 

Why Increase Occurred: This is a new collection as required by the Balance Budget Act of 1997.

Change in Burden: +3,865,885 hours 

Statute Title and P.L.#: Balance Budget Act of 1997, P.L. 105-33.

Agency: Department of Health and Human Services

OMB Control No.: 0938-0753 

Title: Medicare Plus Choice Program Requirements referenced in 42 CFR 422.000 –

422.700

Purpose of the Collection: HHS uses this information to determine eligibility for the M+C Medicare Program, as

established in Section 4001 of the BBA of 1997, sections 1851 through 1859. 

Why Increase Occurred: New statutory program.

Change in Burden: +1,264,535 hours 

Statute Title and P.L.#: Balance Budget Act of 1997, P.L. 105-33.

Agency: Department of Health and Human Services

OMB Control No.: 0938-0758

Title: Hospice Cost Report and Supporting Regulations in 42 CFR 413.20 and 413.24

Purpose of the Collection: HHS uses this information to evaluate provider rates for the Prospective Payment

System (PPS). 

Why Increase Occurred: This is a new collection mandated by the Balance Budget Act of 1997. 

Change in Burden: +302,720 hours

Statute Title and P.L.#: Balance Budget Act of 1997, P.L. 105-33.

Agency: Department of Health and Human Services

OMB Control No.: 0938-0760

Title: Medicare and Medicaid Programs Use of the OASIS as Part of the CoPs for HHAs

and Supporting Regulations in 42 CFR, 484.55 (HCFA-3007-F)

Purpose of the Collection: This information collection requires that HHAs use a standard core assessment data

set, the OASIS, when collecting and evaluating adult non-maternity patients.

Why Increase Occurred: This is a new collection mandated by the Balance Budget Act of 1997. 
30 Fiscal Year 2000 Information Collection Budget of the United States Government

Change in Burden: +1,238,056 hours

Statute Title and P.L.#: Balance Budget Act of 1997, P.L. 105-33.

Agency: Department of Health and Human Services

OMB Control No.: 0938-0761

Title: Medicare and Medicaid Programs Reporting OASIS Data as Part of the CoPs for

HHAs and Supporting Regulations in 42 CFR 484.11 and 484.20 (HCFA-3006-IFC)

Purpose of the Collection: This information collection requires HHAs to report data from the OASIS data set as

a condition of participation. These requirements are necessary to establish a

prospective payment system for HHAs and to achieve broad-based, measurable

improvement in the quality of care furnished through federal programs.

Why Increase Occurred: This is a new collection mandated by the Balance Budget Act of 1997. 

Change in Burden: +1,274,866 hours

Statute Title and P.L.#: Balance Budget Act of 1997, P.L. 105-33.

Agency: Department of Health and Human Services

OMB Control No.: 0970-0199

Title: TANF Data Report, SSP-MOE Data Report, TANF Financial Report, Annual Report,

Caseload Reduction Documentation Process, Reasonable Cause/Corrective Action

Documentation Process ..ACF-196, ACF-202

Purpose of the Collection: HHS uses this information to monitor the Temporary Assistance for Needy Families

program.

Why Increase Occurred: This is a new collection mandated by the Personal Responsibility and Work

Opportunity Reconciliation Act of 1996. 

Change in Burden: +583,912 hours 

Statute Title and P.L.#: The Personal Responsibility and Work Opportunity Reconciliation Act of 1996,

P.L. 104-193.

Agency: Department of Housing and Urban Development

OMB Control No.: 2505-0001

Title: Mark-to Market Program Operating Procedures Guide

Purpose of the Collection: This information collection concerns application and operating requirements for FHA

Multifamily Housing Mortgage and Housing Assistance Restructuring Program 

Why Increase Occurred: New statutory requirement to provide an application to housing owners seeking to

participate in the Mark-to-Market Program.

Change in Burden: + 93,052 hours

Statute Title and P.L.#: Title V of the Departments of Veterans Affairs and Housing and Urban Development

and Independent Agencies Appropriations Act of 1998, P.L. 106-65. 

Agency: Department of Housing and Urban Development

OMB Control No.: 2577-0226

Title: Public Housing Agency (PHA) Plan

Purpose of the Collection: This information collection informs PHAs that receive tenant-based assistance and

public housing operating subsidies how to submit one- and five-year plans.

Why Increase Occurred: A new statutory provision requires PHAs to develop these plans. This supports an

overall policy of promoting local accountability and public access to PHA policies,

rules, and requirements concerning its operations, programs, and services.

Change in Burden: + 301,310 hours

Statute Title and P.L.#: Section 511 of the Quality Housing and Work Responsibility Act of 1998,

P.L. 105-276. 
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 31

Agency: Department of Housing and Urban Development

OMB Control No.: 2577-0232

Title: Public Housing “One Strike” Admission Policies, Criminal Records

Purpose of the Collection: This information collection screens applicants for public housing to deny admission to

applicants engaging in drug-related and other criminal activities.

Why Increase Occurred: There is a new statutory requirement to deny admission to public housing and removal

from public housing those tenants engaging in drug-related and other criminal

activities. 

Change in Burden: + 217,850 hours

Statute Title and P.L. #: Housing Opportunity Program Extension Act, P.L.104-120.

Agency: Department of Housing and Urban Development

OMB Control No.: 2577-0230

Title: Public Housing Reform: Change in Admission and Occupancy Requirements

Purpose of the Collection: This information collection implements changes concerning choice of rent,

community service, and self-sufficiency in public housing, changes in admission

preferences, and determination of income and rent.

Why Increase Occurred: The Quality Housing and Work Responsibility Act of 1998 repealed Federal

preferences and allows PHAs to establish their own system for making dwelling units

of Section 8 assistance available to families with certain characteristics. This

collection monitors how PHAs establish and administer those systems. 

Change in Burden: +169,300 hours

Statute Title and P.L.#: Quality Housing and Work Responsibility Act of 1998, P.L. 105-276.

Agency: Department of the Interior

OMB Control No.: 1004-0187

Title: Taxpayer Identification/Social Security Number Request 

Purpose of the Collection: This information collection is used to record the taxpayer ID or social security

numbers (TN/SSN) from all entities doing business with the Bureau of Land

Management (BLM).

Why Increase Occurred: BLM has not historically required TN/SSN’s of all entities doing business with it and

so has only some of these identification numbers and must expand its collection.

Change in Burden: +20,000 hours

Statute Title and P.L. #: Debt Collection Improvement Act, P.L. 104-134.

Agency: Department of the Interior

OMB Control No.: 1010-0121

Title: Preliminary Statement of Issues and Fee Waiver

Purpose of the Collection: This information collection identifies the legal and factual disagreements of a party

adversely affected by an order from Minerals Management Service (MMS). The

Office of Hearings and Appeals (OHA) and MMS personnel will use the PSI to

resolve all disputed issues.

Why Increase Occurred: Congress enacted the Royalty Simplification and Fairness Act (RSFA), which

provides time lines and other changes to the current appeals process involving Federal

oil and gas leases. OHA and MMS accordingly amended their regulations to provide

guidance and define changes in the appeals process.

Change in Burden: +36,100 hours

Statute Title and P.L. #: Federal Oil and Gas Royalty Simplification and Fairness Act of 1996, P.L. 104-185,

as corrected by P.L. 104-200.

Agency: Department of the Interior

OMB Control No.: 1076-0149

Title: Class III Gaming Procedures -- 25 CFR Part 291
32 Fiscal Year 2000 Information Collection Budget of the United States Government

Purpose of the Collection: The Bureau of Indian Affairs uses this information to authorize tribes to expand their

gaming venues to include Class III games, as defined under the Act.

Why Increase Occurred: Tribes have only recently expressed interest in submitting these proposals.

Change in Burden: +12,000 hours 

Statute Title and P.L. #: Indian Gaming Regulatory Act, P.L. 100-497.

Agency: Department of Justice

OMB Control No.: 1115-0170

Title: Application for Temporary Protected Status and Supplemental Filing Instructions for

Form I-821 (Form I-821 and I-821A)

Purpose of the Collection: This information collection helps nationals of Honduras, Nicaragua, and the Kosovo

Province apply for temporary protected status under section 244(b)(1) of the

Immigration and Nationality Act, as amended.

Why Increase Occurred: The number of persons eligible to apply for temporary protected status has

significantly increased recently. (See Federal Register 64 FR 524 (Honduras); 64 FR

526 (Nicaragua); and 64 FR 30542 (Kosovo Province)).

Change in Burden: +81,500 hours

Statute Title and P.L.#: Illegal Immigration Reform and Immigrant Responsibility Act of 1996, P.L. 104-208.

Agency: Department of Justice

OMB Control No.: 1115-0225

Title: H-1B Data Collection and Filing Fee Exemption (Form I-129W)

Purpose of the Collection: INS uses this collection to determine if an H-1B petitioner is exempt from the

additional filing fee of $500, as provided by the American Competitiveness and

Workforce Improvement Act of 1998 (Public Law 105-277, enacted October 21,

1998).

Why Increase Occurred: The increase is directly attributed to the revision of the form, which increased from 1

to 4 pages.

Change in Burden: +38,500 hours

Statute Title and P.L.#: The American Competitiveness and Workforce Improvement Act of 1998,

P.L. 105-277.

Agency: Department of Justice

OMB Control No.: 1115-0226

Title: Application for Health Care Certificate (File No. OMB-15)

Purpose of the Collection: This information collection is used by a United States health care credentialing

organization to determine if an alien is eligible to receive a certificate to work in the

United States, as required by Section 212(a)(5)(C) of the Immigration and Nationality

Act.

Why Increase Occurred: This is a new collection.

Change in Burden: +25,620 hours.

Statute Title and PL#: Illegal Immigration Reform and Immigrant Responsibility Act of 1996, P.L. 104-208.

Agency: Department of Justice

OMB Control No.: 1115-0227

Title: Application for Suspension of Deportation or Special Rule Cancellation of Removal

(Pursuant to Section 203 of Public Law 105-100)

Purpose of the Collection: Non-immigrants provide this information to apply for suspension of deportation or

special rule cancellation of removal, with eligibility defined under Section 203 of Pub

.L 105-100 (Nicaraguan Adjustment and Central American Relief Act (NACARA). 

The INS also uses the information to determine if it has jurisdiction in the matter.

Why Increase Occurred: Public Law 105-100 established special circumstances for suspension of deportation

or cancellation of removal. INS created this form to implement those provisions.
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 33

Change in Burden: +1,200,000 hours

Statute Title and P.L.#: Nicaraguan Adjustment and Central American Relief Act (NACARA), P. L 105-100.

Agency: Department of Justice 

OMB Control No.: 1115-0228

Title: Memorandum of Understanding to Participate in Employment Eligibility

Confirmation Pilot Program (File No. OMB-18)

Purpose of the Collection: Justice is statutorily required to pilot test how best to verify electronically that work

eligibility is nondiscriminatory. Title IV, Subtitle A of the Illegal Immigration

Reform and Immigrant Responsibility Act of 1996 (IIRIRA), Public Law 104-208.

Why Increase Occurred: The increase is attributable to the pilot programs, which are required by Public Law

104-208.

Change in Burden: +22,161 hours

Statute Title and P.L. #: Illegal Immigration Reform and Immigrant Responsibility Act of 1996 (IIRIRA),

P.L. 104-208.

Agency: Department of Justice

OMB Control No.: 1115-0229

Title: HRIFA Supplement to Form I-485 Instructions (Form I-485C)

Purpose of the Collection: Justice uses this information to approve certain nationals of Haiti for a change of

status to that of permanent resident, as allowed by Section 902 of Division A, Title IX

of Public Law 105-277 (Haitian Refugee Immigration Fairness Act (HAIFA). 

Why Increase Occurred: The increase results from the supplemental filing instructions for Form I-485, as

required by Section 902 of Division A, Title IX of Public Law 105-277 (Haitian

Refugee Immigration Fairness Act (HRIFA).

Change in Burden: +25,000 hours

Statute Title and P.L.#: Haitian Refugee Immigration Fairness Act (HAIFA), P.L. 105-277.

Agency: Department of Justice

OMB Control No.: 1115-0230

Title: Sworn Statement of Refugee Applying for Admission to the United States

Purpose of the Collection: Refugees supply this information to apply for admission to the United States, as

allowed under Section 207 of the Immigration and Nationality Act. 

Why Increase Occurred: The uses of the collection have been expanded under Section 207 of the Immigration

and Nationality Act. 

Change in Burden: +37,500 hours

Statute Title and P.L.#: Illegal Immigration Reform and Immigrant Responsibility Act of 1996, P.L. 104-208.

Agency: Department of Transportation

OMB Control No.: 2137-0034

Title: Hazardous Materials Shipping Papers and Emergency Response Information

Purpose of the Collection: DOT uses this collection to help hazardous materials carriers and emergency

responders follow appropriate safety and incident mitigation procedures.

Why Increase Occurred: Final rule under Docket HM-200, Hazardous Materials in Intrastate 

Commerce extended the applicability of the hazardous materials regulations to include

Intrastate Commerce as mandated by Congress.

Change in Burden: +211,250 hours

Statute Title and P.L. #: Hazardous Materials Transportation Uniform Safety Act of 1990 (HMTUSA), 

amended by the Hazardous Materials Transportation Authorization Act of 1994

(HMTAA), P.L. 103-311.

Agency: Department of Transportation

OMB Control No.: 2137-0600
34 Fiscal Year 2000 Information Collection Budget of the United States Government

Title: Qualification of Personnel

Purpose of the Collection: DOT uses this information to ensure that pipeline operators have qualified personnel 

to work on gas and hazardous liquid pipelines.

Why Increase Occurred: This is a new collection.

Change in Burden: +466,667 hours.

Statute Title and P.L. #: The Accountable Pipeline Safety and Partnership Act of 1996, P.L. 104-304.

Agency: Department of Transportation

OMB Control No.: 2115-0598

Title: Ballast Water Management for Vessels with Ballast Tanks entering U.S. Waters

Purpose of the Collection: DOT uses this information to verify compliance with ballast water management

regulations by vessels entering U.S. waters from beyond the Exclusive Economic

Zone. The data collected will measure the program’s effectiveness in reducing or

eliminating introductions of aquatic nuisance.

Why Increase Occurred: The increase occurred due to the revision of the regulations on Ballast Water

Management, based on The National Invasive Species Act of 1996 calls for vessels

with ballast tanks entering any U.S. waters from beyond the Exclusive Economic

Zone to report information concerning their Ballast Water Management.

Change in Burden: +20,688 hours 

Statute Title and P.L. #: National Invasive Species Act, P.L. 104-332.

Agency: Department of Treasury

OMB Control No.: 1545-0074

Title: IRS Form 1040 and Schedules, U.S. Individual Income Tax Return.

Purpose of the Collection: Individual taxpayers use this collection to report their taxable income and calculate

their correct tax liability. 

Why Increase Occurred: The IRS added several new lines and worksheets in the instructions to implement new

Code sections created by the Taxpayer Relief Act (TRA). The IRS made other

changes to Form 1040 and its schedules and revised the instructions, including a

reduction of over 2.6 million hours due to simplifications resulting from the one-year

alternative minimum tax (AMT) exclusion provided for in the Tax and Trade Relief

Extension Act.

Change in Burden: +38,975,812 hours 

Statute Title and P.L.#: Taxpayer Relief Act of 1997, P.L. 105-34; Tax and Trade Relief Extension Act of

1998, P.L. 105-277.

Agency: Department of Treasury

OMB Control No.: 1545-0085

Title: IRS Form 1040A and Schedules, U.S. Individual Income Tax Return.

Purpose of the Collection: Individual taxpayers use this form to report their taxable income and calculate their

correct tax liability.

Why Increase Occurred: The IRS added several new lines and worksheets in the instructions to implement new

Code sections created by the Taxpayer Relief Act. The IRS made other changes to

Form 1040A and its schedules and revised the instructions, including a reduction of

almost 421,000 hours due to simplifications resulting from the one-year AMT

exclusion provided for in the Tax and Trade Relief Extension Act.

Change in Burden: + 24,151,389 hours 

Statute Title and P.L.#: Taxpayer Relief Act of 1997, P.L. 105-34; Tax and Trade Relief Extension Act of

1998, P.L.105-277. 

Agency: Department of Treasury

OMB Control No.: 1545-1618

Title: IRS Form 8863, Education Credits (HOPE and Lifetime Learning Credits).
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 35

Purpose of the Collection: This information collection is used to compute the amounts of the allowable

education, HOPE, and Lifetime Learning Credits as specified under Code section

25A, created by the Taxpayer Relief Act.

Why Increase Occurred: This is a new collection.

Change in Burden: + 13,280,000 hours

Statute Title and P.L.#: Taxpayer Relief Act of 1997, P.L. 105-34; Tax and Trade Relief Extension Act of

1998, P.L.105-277. 

Agency: Department of Treasury 

OMB Control No.: 1545-0130

Title: IRS Form 1120S and Schedules, U.S. Income Tax Return for an S Corporation.

Purpose of the Collection: So-called S corporations use this form to calculate 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: IRS added new attachments and Code references in the instructions for Form 1120S,

Schedule D, and Schedule K-1 primarily due to the TRA.

Change in Burden: + 11,468,470 hours 

Statute Title and P.L.#: Taxpayer Relief Act of 1997, P.L.105-34.

Agency: Department of Treasury 

OMB Control No.: 1545-1629

Title: IRS Form 8867, Paid Preparer’s Earned Income Credit Checklist.

Purpose of the Collection: Paid tax preparers use this collection to meet due diligence requirements associated

with refunds involving the Earned Income Tax Credit (Code section 6695(g), added

by the Taxpayer Relief Act of 1997). 

Why Increase Occurred: This is a new collection.

Change in Burden: + 9,372,661 hours.

Statute Title and P.L.#: Taxpayer Relief Act of 1997, P..L. 105-34.

Agency: Federal Acquisition Regulation System

OMB Control No.: 9000-0006

Title: Subcontracting Plans/Subcontracting Report for Individual Contracts

Purpose of the Collection: This information collection covers the requirement for certain prime contractors to

report subcontract awards to firms under the HUBZone Program, as established in the

HUBZone Act of 199. The Act seeks to increase employment opportunities,

investment, and economic development in areas containing historically underutilized

businesses. 

Why Increase Occurred: The burden now includes the time required to monitor and report subcontract awards.

Change in Burden: +90,782 hours

Statute and P.L. #: HUBZone Act of 1997, P.L. 105-135.

Agency: Federal Communications Commission

OMB Control No.: 3060-0863

Title: Satellite Delivery of Network Signals to Unserved Households for Purposes of the

Satellite Home Viewer Act (SHVA)

Purpose of the Collection: Tests of the strength of a television station’s signal are reported on this form. The

Commission uses this information to determine whether consumers are “unserved” by

over-the-air network signals. The written record of test results will be made after

testing and predicting the strength of a television station’s signal.

Why Increase Occurred: The Commission developed this collection in response to public petitions for

rulemaking. The Commission must ensure that as many consumers as possible can

receive a broadcast network signal and most also promote competition where possible

among multichannel video programming distributors.
36 Fiscal Year 2000 Information Collection Budget of the United States Government

Change in Burden: +125,000 hours

Statute Title and P.L. #: Satellite Home Viewer Act of 1994, P.L. 103-369.

Agency: Federal Emergency Management Agency

OMB Control No.: 3067-0271

Title: Flood Mitigation Assistance – Flood Mitigation Plan

Purpose of the Collection: FEMA uses this information to ensure that states and communities applying for

assistance have a flood mitigation plan that meets FEMA requirements.

Why Increase Occurred: FEMA published an interim final rule, 44 CFR Part 78, to implement the statutory

requirements for Flood Management Plans.

Change in Burden: + 116,624 hours 

Statute Title and P.L.#: National Flood Insurance Reform Act of 1994, P.L. 103-325.

Agency: Federal Trade Commission

OMB Control No.: 3084-0117

Title: The Children’s Online Privacy Protection Act

Purpose of the Collection: This information collection imposes notice requirements on website and online

service operators so that parents are informed of children’s online activities, to protect

the privacy and promote the safety of children in the online environment. 

Why Increase Occurred: Increase due to the new Act and implementing rule. 

Change in Burden: +18,000 hours 

Statute Title and P.L.#: Omnibus Consolidated and Emergency Supplemental Appropriations Act, 1999,

P.L. 105-277.

Agency Social Security Administration

OMB Control No.: 0960-0072

Title: Form SSA-454, Report of Continuing Disability Interview

Purpose of the Collection: The Social Security Administration uses this information to determine individuals’

continued eligibility for Social Security and Supplemental Security Income disability

payments.

Why Increase Occurred: Congress has mandated that SSA perform more Continuing Disability Reviews

(CDRs) and has provided increased funding to do so. As a result, more claimants are

filing this form.

Change in Burden: +265,088 hours

Statute Title and P.L. #: Senior Citizen's Right to Work Act of 1996, P.L. 140-121; Social Security

Independence and Program Improvements Act of 1994, P.L. 103-296; Personal

Responsibility and Work Opportunity Reconciliation Act of 1996, P.L. 104-193;

Balanced Budget Act of 1997, P.L. 105-33.

Agency: Social Security Administration

OMB Control No.: 0960-0416

Title: Form SSA-8203, Statement for Determining Continuing Eligibility for Supplemental

Security Income Payments

Purpose of the Collection: The Social Security Administration uses this information 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.

Why Increase Occurred: Congress has mandated that SSA perform more Continuing Disability Reviews

(CDRs) and has provided increased funding to do so. As a result, more claimants are

filing this form.

Change in Burden: +24,650 hours

Statute Title and P.L. #: Senior Citizen's Right to Work Act of 1996, P.L. 140-121; Social Security

Independence and Program Improvements Act of 1994, P.L. 103-296; Personal
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 37

Responsibility and Work Opportunity Reconciliation Act of 1996, P.L. 104-193;

Balanced Budget Act of 1997, P.L. 105-33.

Agency: Social Security Administration

OMB Control No.: 0960-0511

Title: Form SSA-455, Disability Update Report

Purpose of the Collection: The Social Security Administration uses this information to determine continued

eligibility for Social Security and Supplemental Security Income disability payments

for those beneficiaries who have medically improved and/or returned to work and

have substantial earnings.

Why Increase Occurred: Congress has mandated that SSA perform more Continuing Disability Reviews

(CDRs) and has provided increased funding to do so. As a result, more claimants are

filing this form.

Change in Burden: +250,000 hours

Statute Title and P.L. #: Senior Citizen's Right to Work Act of 1996, P.L. 140-121; Social Security

Independence and Program Improvements Act of 1994, P.L. 103-296; Personal

Responsibility and Work Opportunity Reconciliation Act of 1996, P.L. 104-193;

Balanced Budget Act of 1997, P.L. 105-33.

Agency: Social Security Administration

OMB Control No.: 0960-0601

Title: Medicare Buy-In Part B Screening Guide

Purpose of the Collection: The Social Security Administrations uses this information to determine the eligibility

of individuals for participation in the Medicare Part B buy-in program and to identify

any obstacles to their enrollment in the program. 

Why Increase Occurred: P.L. 105-277 directs the Commissioner of Social Security to expend $6,000,000 for

Federal-State partnerships to evaluate how best to promote the Medicare buy-in

programs targeted to elderly and disabled individuals under titles XVIII and XIX of

the Social Security Act. To implement this provision, SSA is conducting a Medicare

buy-in demonstration project.

Change in Burden: + 50,168 hours

Statute Title and P.L. #: Omnibus Consolidated and Emergency Supplemental Appropriations Act of 1999,

P.L. 105-277.

Other

Agency: Department of Agriculture 

OMB Control No.: 0560-0193

Title: Small Hog Operation Payment (SHOP) Program 

Purpose of the Collection: Agriculture uses this information to provide benefits to eligible hog producers who, as

a result of record low pork prices, experienced an economic disaster during the last

six months of 1998.

Why Increase Occurred: The Secretary of Agriculture established a new short term program for making direct

payments to hog producers. This information collection was necessary to implement

the new program.

Change in Burden: +40,000 hours. 

Agency: Department of Agriculture 

OMB Control No.: 0560-0185

Title: Highly Erodible Land Conservation and Wetland Conservation

Purpose of the Collection: Agriculture uses this information to verify that persons eligible to receive benefits are

complying with all conservation provisions.

Why Increase Occurred: The increase is due to a reinstatement of a previously approved package.
38 Fiscal Year 2000 Information Collection Budget of the United States Government

Change in Burden: +109,477 hours. 

Agency: Department of Commerce

OMB Control No.: 0607-0139, 0607-0494

Title: Census Employment Inquiry & Applicant Background Questionnaire

Purpose of the Collection: The Census Bureau uses this information collection with job applicants. Applicants

for temporary (Schedule A) positions voluntarily complete Background Questionnaire

at the time of application and testing. The Census Bureau uses this information to

evaluate its Schedule A recruitment program and to strengthen affirmative action

recruitment. 

Why Increase Occurred: Current efforts to hire an enormous temporary workforce for Census 2000 have

significantly increased the usage of the BC-170. The Commerce Department expects

to recruit approximately 2,900,000 applicants for census jobs.

Change in Burden: + 867,639 hours.

Agency: Department of Commerce

OMB Control No.: 0607-0782

Title: Annual Capital Expenditures Survey

Purpose of the Collection: This information collection concerns data on fixed assets and depreciation, sales and

receipts, and capital expenditures for new and used structures and equipment. 

Commerce uses this data to evaluate the quality of estimates of gross domestic

product, develop monetary policy, analyze business asset depreciation, and improve

estimates of capital stock for productivity analysis. 

Why Increase Occurred: The Census Bureau plans to collect every five years detailed information about capital

expenditures, by type of structure and type of equipment, from employer companies.

The Bureau also will collect information about business expenditures from a sample

of potential new (birth) single-establishment businesses.

Change in Burden: + 65,000 hours.

Agency: Department of Commerce

OMB Control No.: 0607-0809

Title: MAF & TIGER Updating Activities

Purpose of the Collection: The Census Bureau uses the Master Address File (MAF) and the Topologically

Integrated Geographic Encoding and Referencing (TIGER) information collections to

accurately mail and deliver Census 2000 questionnaires to households and as a

sampling frame for the American Community Survey and other current demographic

surveys.

Why Increase Occurred: The Census Bureau conducted additional collections under this approval in

preparation for the 2000 Decennial Census.

Change in Burden: + 1,350,355 hours. 
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 39

Agency: Department of Commerce

OMB Control No.: 0607-0863

Title: Census 2000 Accuracy and Coverage Evaluation, Independent Listing Activities

Purpose of the Collection: This information collection is a national survey of sample block clusters within the 50

states, the District of Columbia, and Puerto Rico. The Census Bureau uses this

information to measure coverage of the population in the decennial census and to

produce a final estimate of the coverage for Census 2000. The Independent Listing

Operation is the first step in the Accuracy and Coverage Evaluation process. 

Why Increase Occurred: This is a new collection that needed to be conducted and completed before the 2000

Census.

Change in Burden: + 70,513 hours.

Agency: Department of Energy

OMB Control No.: 1905-0169

Title: Manufacturing Energy Consumption Survey (MECS)

Purpose of the Collection: Energy uses this information to support the National Energy Modeling System and for

statistics on energy consumption in the manufacturing sector. 

How Reduction Achieved: The burden increased due to the reinstatement of a survey that is conducted every four

years. 

Change in Burden: +49,447 hours. 

Agency: Department of Health and Human Services

OMB Control No.: 0910-0405

Title: Survey of Medical Device Manufacturers for Year 2000 Compliance of

Manufacturing Systems

Purpose of the Collection: HHS used this information to ensure that medical devices were compliant for the Year

2000.

Why Increase Occurred: This was a new collection needed to resolve concerns that medical devices might

malfunction due to Y2K problems. 

Change in Burden Hours: +260,000 hours. 

Agency: Department of Health and Human Services

OMB Control No.: 0938-0766

Title: Feedback Postcard

Purpose of the Collection: HHS uses this voluntary collection to solicit feedback from beneficiaries on how the

program and publications can be improved. 

Why Increase Occurred: This is a new collection implemented in FY 1999. 

Change in Burden: +145,834 hours. 

Agency: Department of Housing and Urban Development

OMB Control No.: 2502-0538

Title: HUD Conditions and Appraisal Report, Fee or Roster Designation

Purpose of the Collection: HUD uses this information to approve real estate appraisers and to issue FHA

mortgage insurance. The information offers a more thorough and complete appraisal

of prospective HUD-insured single family properties. This ensures that mortgages are

acceptable for FHA insurance and protects the interest of HUD and taxpayers in the

FHA insurance fund.

Why Increase Occurred: HUD needed a more thorough and complete appraisal of prospective HUD-insured

single-family properties to protect the interest of taxpayers in the FHA insurance

fund. In modifying this collection, HUD improved the form design to yield more

consistent data and consolidated similar collections (2502-0122) to meeting industry

standards.

Change in Burden: + 470,000 hours. 
40 Fiscal Year 2000 Information Collection Budget of the United States Government

Agency: Department of Labor

OMB Control No.: 1218-0242

Title: Powered Industrial Truck Operator Training

Purpose of the Collection: Truck operators are required to record the results of any training and evaluations they

receive. Labor uses the information to ensure operators are qualified. 

Why Increase Occurred: The increase in burden was a result of a final rule on Powered Industrial Truck

Operator Training

Change in Burden: +759,571 hours.

Agency: Department of Labor

OMB Control No.: 1210-0053 

Title: ERISA Claims Procedure

Purpose of the Collection: Labor uses this collection to provide compliance guidance to plan administrators on

how to follow the claims procedure and to claimants on how to claim their benefits

and appeal claims that are denied. 

Why Increase Occurred: Labor made no change in the collection itself but improved its method of measuring

the burden of the collection, yielding a significant net increase.

Change in Burden: +504,000 hours. 

Agency: Department of Labor

OMB Control No.: 1205-0399

Title: Welfare-to-Work Competitive Grants: Solicitation for Grant Applications,

 Final Round

Purpose of the Collection: Private entities use this collection to apply for Welfare-to-Work grants, as established

by the Balanced Budget Act of 1997. These grants are intended to help achieve

welfare reform goals under the Personal Responsibility and Work Reconciliation Act

of 1996. 

Why Increase Occurred: Because more funds are available through the competitive grant portion of the

Welfare-to-Work program, more applicants will apply. 

Change in Burden: +20,000 hours. 

Agency: Department of Labor

OMB Control No.: 1218-0241

Title: Steel Erection - Subpart R, 29 CFR Part 1926.750 through 1926.761 (Proposed Rule)

Purpose of the Collection: Labor uses this information to ensure that employers are complying with safety

requirements to protect employees from hazards associated with steel erection. 

Why Increase Occurred: OSHA took the burden for the collections of information contained in the Steel

Erection NPRM because the agency anticipated completing the rulemaking prior to

the ICR expiration date. As a result, when the Final Rule is published, the collection

will already have OMB approval. Further, after the public rulemaking process, if

there are no changes to the collection, OSHA will not have to submit a final ICR. 

Change in Burden: +79,228 hours.

Agency: Department of Labor

OMB Control No.: 1219-0070

Title: Certificate of Training, Final Rule

Purpose of the Collection: This collection implements additional training requirements for experienced miners. 

It certifies that miners have been trained in four additional subjects.

Why Increase Occurred: As the result of the approved final rule, Experienced Miner and Supervisor Training,

MSHA sought approval for new information requirements and modified the training

requirements for experienced miners. Among the changes is the requirement that

miners, before they return to work after an absence of 12 months or less, receive

training on the significant changes in the mine environment that are not immediately
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 41

obvious and that could affect the miners’ safety or health. 

Change in Burden: +16,289 hours. 

Agency: Department of Labor

OMB Control No.: 1219-0127

Title: Records of All Certified and Qualified Persons and Man Hoist Operators

Physical Fitness

Purpose of the Collection: Employers file this information to identify which employees are certified and

qualified as hoisting engineers. Labor uses the information to verify that employers

have a program to train and re-train both certified and qualified hoist operators. 

Why Increase Occurred: The original package (1219-0049) entitled “Record of Certified and Qualified

Persons,” included sections 75.159 and 77.106. In July 1996, MSHA added

additional standards to include sections 75.155, 75.161, 77.105, 77.107, and 77.107-1. 

MSHA separated the coal and metal/nonmetal portions of the provisions set forth in

1219-0049 and identified several standards not previously approved during the

resubmission process. 

Change in Burden: +23,021 hours.

Agency: Department of Transportation

OMB Control Nos.: 2105-0537, 2105-0538

Title: Disclosure of Code-Sharing Arrangements and Long-Term Wet Leases; Disclosure of

Change of Gauge Services 

Purpose of the Collections: This collection requires travel agents and airline ticket agents to inform prospective

travelers of en route aircraft changes, so that the consumer can make an informed

purchase.

Why Increase Occurred: This regulatory initiative created new disclosure requirements. 

Change in Burden: +849,988 hours (Code Sharing); +308,861hours (Change-of-Gauge). 

Agency: Department of Transportation

OMB Control No.: 2130-0544

Title: Passenger Equipment Safety Standards

Purpose of the Collection: DOT will use this collection to support equipment inspections to enhance rail safety. 

Why Increase Occurred: The burden increase results from stricter safety requirements in the final rulemaking.

Change in Burden: +62,673 hours.

Agency: Department of Transportation

OMB Control No.: 2137-0595

Title: Cargo Tank Motor Vehicles in Liquefied Compressed Gas Service

Purpose of the Collection: This information collection ensures that certain cargo tank motor vehicles used to

transport liquefied compressed gases are operated safely and minimizes the potential

for catastrophic releases during unloading and loading operations.

Why Increase Occurred: The burden increase resulted from a revision of regulations governing transport and

unloading of liquefied compressed gases.

Change in Burden: +192,315 hours.

Agency: Department of Treasury 

OMB Control No.: 1545-0675

Title: IRS Form 1040EZ, Income Tax Return for Single and Joint Filers With No

Dependents.

Purpose of the Collection: Individuals who are single or married with no dependents and filing a joint return use

this form to taxable income and to compute their correct tax liability. 

Why Increase Occurred: The IRS corrected the number of references to the Internal Revenue Code and the

number of line items on the form, both used in calculating the overall hours required.
42 Fiscal Year 2000 Information Collection Budget of the United States Government

The IRS also adjusted the hour estimates based on a better counting of responses. 

Change in Burden: + 5,166,946 hours.

Agency: Department of the Treasury

OMB Control No.: 1545-1110

Title: Form 940-EZ Employer’s Annual Federal Unemployment (FUTA) Tax Return.

Purpose of the Collection: This collection simplifies From 940, uses by employers with uncomplicated tax

situations to pay their FUTA tax. 

Why Increase Occurred: The IRS corrected the number of references to the Internal Revenue Code, which

changed the estimate of the amount of time needed to understand and prepare the

form. The IRS also adjusted the hour estimates based on a better counting of

responses. 

Change in Burden: + 2,228,505 hours.

Agency: Department of Treasury 

OMB Control No.: 1545-1621

Title: IRS Form W-8BEN, Certificate of Foreign Status of Beneficial Owner for United

States Tax Withholding, IRS Form W-8ECI, Certificate of Foreign Person’s Claim

for Exemption from Withholding on Income Effectively Connected with the Conduct

of a Trade or Business in the United States, IRS Form W-8EXP, Certificate of United

States Tax Withholding for Foreign Governments and Other Foreign Organizations,

and IRS Form W-8IMY, Certificate of Foreign Intermediary, Foreign Partnership, and

Certain U.S. Branches for United States Tax Withholding .

Purpose of the Collection: The IRS issues these collections, in part to increase compliance with withholding

requirements. The IRS has changed the manner in which foreign persons

(individuals, businesses, and other for-profit organizations, partnerships, and taxexempt organizations) must submit certifications to a withholding agent for reduction

of, or exemption from, U.S. tax withholding. 

Why Increase Occurred: These are new collections.

Change in Burden: + 36,114,302 hours. 

Agency: Federal Communications Commission

OMB Control No.: 3060-0262

Title: Section 90.179 Shared use of radio stations.

Purpose of the Collection: The Commission uses this information to identify users of a shared land mobile radio

station and to investigate reported interference. 

Why Increase Occurred: As a result of an amendment to 47 CFR Part 90 in WT Docket No. 96-86, a program

change increased the number of respondents (from 1,650 to 41,000) required to keep

a written sharing agreement as part of their radio station license.

Change in Burden: +29,512 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-0795

Title: FCC Form 606, ULS TIN Registration

Purpose of the Collection: The Commission uses this collection to collect the Taxpayer Identification Number of

licensee/antenna structure owners. The information populates the Universal

Licensing System, which the Commission uses to track licenses. 

Why Increase Occurred: The form was revised to add respondents for Antenna Structure Registration due to its

conversion to the Uniform Licensing System.

Change in Burden: +18,000 hours. 

Agency: Federal Communications Commission

OMB Control No.: 3060-0800
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 43

Title: FCC Form 603, FCC Wireless Telecommunications Bureau Application for

Assignments of Authorization and Transfers of Control

Purpose of the Collection: The Commission uses this information to identify participants in a proposed

assignment or transfer, establish the parties’ basic eligibility and qualifications,

classify the filing, and determine the nature of the proposed service. This form is

submitted by all Wireless applicants whose radio services have been converted to the

Uniform Licensing System.

Why Increase Occurred: The Commission revised the collection to accommodate use by all Wireless Services

(an increase in respondents). The Commission also combined Collection 3060-0797

(FCC Form 604) with this collection in order to reduce burden. The changes yield a

net hour increase for this collection. 

Change in Burden: +35,171 hours. 

Agency: Federal Communications Commission

OMB Control No.: 3060-0850

Title: FCC Form 605, Quick-Form Application for Authorization in the Ship, Aircraft,

Amateur, Restricted and Commercial Operator, and General Mobile Radio Services

Purpose of the Collection: Entities use this collection to apply for authorization to operate radio stations and

perform other miscellaneous activities in Ship, Aircraft, Amateur, Restricted and

Commercial Radio Operator, and General Mobile radio services. The information

collected is part of the Universal Licensing System.

Why Increase Occurred: When the Commission fully implements its Universal Licensing system, this new

collection will replace approximately 13 others.

Change in Burden: +74,800 hours.

Agency: Federal Deposit Insurance Commission

OMB Control No.: 3064-0132

Title: Asset and Liability Back-Up Program

Purpose of the Collection: The FDIC used this information to ensure that FDIC-insured depository institutions

that were behind on their Y2K readiness efforts had created asset and liability

backups (ALBP’s) of deposit and loan account information .

Why Increase Occurred: This was a one-time collection in 1999 for Y2K and has been discontinued.

Change in Burden: +26, 945 hours. 

Agency: Federal Energy Regulatory Commission

OMB Control No.: 1902-0174

Title: Standards for Business Practices for Interstate Natural Gas Pipelines, FERC-549C 

Purpose of the Collection: This collection helps standardize aspects of pipelines' business practices so that

buyers of natural gas can buy and transport gas more easily and efficiently from all

potential sources of supply.

How Reduction Achieved: The FERC issued regulations adopting version 1.3 of the consensus industry

standards developed by GISB, which updates and improves the standards. The

primary changes made affected confirmation practices, further standardization of the

information the pipelines provide on their web sites, and modifications of the data

required. 

Change in Burden: +242,730 hours.

Agency: Nuclear Regulatory Commission

OMB Control No.: 3150-0003

Title: NRC Forms 741 and 741A, Nuclear Material Transaction Report, Continuation Sheet

and Instructions

Purpose of the Collection: NRC and the Department of Energy jointly use these forms to collect information
44 Fiscal Year 2000 Information Collection Budget of the United States Government

regarding each International Atomic Energy Agency (IAEA) material balance area. 

The agencies use the information to ensure accountability for nuclear material and to

track all changes in the inventory of nuclear material. 

Why Increase Occurred: A rulemaking moved two extremely large users from DOE to NRC control. This

shifted some reporting hours from DOE to NRC. 

Change in Burden: +12,375 hours. 

Agency: Nuclear Regulatory Commission

OMB Control No.: 3150-0014

Title: 10 CFR 20, Standards for Protection against Radiation

Purpose of the Collection: This information collection requires reactor and materials licensees who possess

byproduct, source, or special nuclear material to submit and maintain certain radiation

exposure records, maintain a radiation protection program, and perform audits of the

program. The requirements ensure that occupationally exposed individuals and

members of the public are adequately protected from the potential hazards of

exposure to radiation or radioactive materials. 

Why Increase Occurred: Implementation of two final rules, “Radiation Criteria for License Termination” and

“Low-Level Shipment Manifest Information and Reporting” increased the burden

hours.

Change in Burden: +24,427 hours. 

Agency: Nuclear Regulatory Commission

OMB Control No.: 3150-0011

Title: 10 CFR 50, Domestic Licensing of Production and Utilization Facilities (Rule

change: 10 CFR 50.55a, Revision to Codes and Standards)

Purpose of the Collection: This information collection endorses the American Society of Mechanical Engineers

(ASME) industry Boiler and Pressure Vessel (BPV) codes for design, construction,

inspection, and testing of nuclear power reactors.

Why Increase Occurred: The revised rule endorses updated editions of the Code and adds the ASME

Operation and Maintenance (OM) code for in-service testing of pumps and valves to

ensure that proper documentation is maintained and construction procedures have

been properly implemented.

Change in Burden: +48,097 hours. 

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0060

Title: Form 8-K

Purpose of the Collection: The information gathered on Form 8-K provides investors a current picture of various

types of corporate events that affect publicly traded securities. investment decisions.

Why Increase Occurred: Proposed changes to the regulatory structure for Securities Act offerings would

require domestic reporting companies to report selected financial data on Form 8-K. 

Change in Burden: +207,340 hours.

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0070

Title: Form 10-Q

Purpose of the Collection: Companies subject to Exchange Act reporting requirements file this quarterly report.

Why Increase Occurred: Proposed changes to the regulatory structure for Securities Act offerings would

require companies to make and update risk factors disclosure. 

Change in Burden: +26,400 hours.

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0224
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 45

Title: Rule 17j-1 Under The Investment Company Act Of 1940, Personal Investment

Activities Of Investment Company Personnel And Codes Of Ethics Of Investment

Companies And Their Investment Advisers And Principal Underwriters

Purpose of the Collection: The Commission uses this collection to prohibit “insider-trading” activities.

Why Increase Occurred: The hours increase results from program changes (under amended rule 17j-1) that

added requirements for an annual securities holdings report and pre-approval of

certain types of transactions.

Change in Burden: +58,962 hours. 

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0416

Title: Form 10-QSB

Purpose of the Collection: Small business issuers subject to Exchange Act reporting requirements file this

quarterly report.

Why Increase Occurred: Proposed changes to the regulatory structure for Securities Act offerings would

require small business issuers to make and update risk factors disclosure.

Change in Burden: +10,671 hours. 

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0516, 3235-0519, 3235-0520

Title: Form A – Issuers Registering Offerings Of Securities That Are Not Eligible To Use

Other Forms; Form B – Securities Registration; Form C – Securities Registration.

Purpose of the Collection: Organizations provide this information when they want to register with the SEC under

the Securities Act. 

Why Increase Occurred: Under SEC’s proposals to modernize and clarify the regulatory structure for

Securities Act offerings, SEC would create a three-tiered registration system

consisting of new Forms A, B and C. If the rule is finalized, these forms would

replace existing Forms S-1 (3235-0065), S-2 (3235-0072), S-3 (3235-0073), S-4

(3235-0324), S-11 (3235-0067), F-1 (3235-0258), F-2 (3235-0257), F-3 (3235-0256)

and F-4 (3235-0325).

Change in Burden: +1,866,681 hours.

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0517

Title: Proposed Form SB-3

Purpose of the Collection: Small business issues provide this information to register securities under the

Securities Act.

Why Increase Occurred: Proposed changes to the regulatory structure for Securities Act offerings would

require small business issuers to register business combinations and exchange offers

on proposed Form SB-3.

Change in Burden: +110,320 hours.
46 Fiscal Year 2000 Information Collection Budget of the United States Government

Expected FY 2000 Reductions

Streamlining Regulations

Agency: Department of Agriculture

OMB Control No.: 0583-0089

Title: Processing Procedures and Quality Control Systems

Purpose of the Collection: This information collection supports reporting and recordkeeping requirements of

meat and poultry processing establishments related to food processing procedures and

quality control systems. 

How Reduction Achieved: Agriculture is finalizing a rule that will substantially reduce reporting requirements by

eliminating specific guidelines on how establishments must design their quality

control programs.

Change in Burden: -624,465 hours. 

Agency: Department of Agriculture

OMB Control No.: 0583-0109

Title: Performance Standards for the Production of Certain Meat and Poultry Products

Purpose of the Collection: Food processing establishments provide this information to obtain approval to process

certain meat and poultry products.

How Reduction Achieved: As Agriculture phases in its Hazard Analysis and Critical Control Point (HACCP)

System, this collection will become redundant. FSIS regulations require full

implementation of HACCP by January 25, 2000. Accordingly, at that time FSIS will

eliminate information collection 0583-0109 from its active inventory.

Change in Burden: -24,166 hours.

Agency: Department of Agriculture

OMB Control No.: 0584-0074

Title: Integrated Quality Control Worksheet

Purpose of the Collection: This information collection supports State Agency quality control reviewers in

analyzing Food Stamp recipient case files, planning and carrying out field

investigations, and gathering, comparing, analyzing, and evaluating the review data.

How Reduction Achieved: FNS will initiate a regulatory change to reduce the number of Quality Control

reviews, thereby decreasing the reporting and recordkeeping burden.

Change in Burden: -54,105 hours.

Agency: Department of Commerce

OMB Control No.: 0651-0031

Title: Patent Processing (Updating)

Purpose of the Collection: The Patent and Trademark Office and patent applicants use this form to provide or

obtain supplemental information during the patent review process.

How Reduction Achieved: PTO is proposing to amend the rules of practice in patent cases to streamline

application processing and examination procedures, simplify the requirements of the

rules, and eliminate unnecessary rules or portions of the rules as part of a governmentwide effort to reduce the regulatory burden on the public.

Change in Burden: - 11,340 hours.

Agency: Department of Energy

OMB Control No.: 1910-0400

Title: Financial Assistance

Purpose of the Collection: This information collection provides management control and oversight of financial

assistance recipients. 
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 47

How Reduction Achieved: Energy eliminated the regulatory reporting requirements in 10 CFR 600 and applied

information technology to reduce the time required for respondents to complete the

questionnaire.

Change in Burden: -93,303 hours.

Agency: Department of Energy

OMB Control No.: 1910-4100

Title: Procurement

Purpose of the Collection: This information collection provides management control and oversight of

procurement resources and requirements. 

How Reduction Achieved: As a result of the streamlining of Department of Energy Acquisition Regulation

(DEAR), Energy has consolidated and/or eliminated several collections.

Change in Burden: -119,700 hours.

Agency: Department of the Interior

OMB Control No.: 1076-0136

Title: Indian Self-Determination and Education Assistance Act Programs

Purpose of the Collection: Tribes use this information to monitor federal programs affecting the tribe through

contracting. 

How Reduction Achieved: Under new regulations, tribes can contract several programs under one contract,

reducing information needs.

Change in Burden: -60,470 hours. 

Agency: Department of Labor

OMB Control No.: 1215-0013

Title: Applications to Employ Homeworkers, Piece Rate Measurements, Homeworker

Handbooks

Purpose of the Collection: Labor uses this information to verify that employees are paid in accordance with the

Fair Labor Standards Act.

How Reduction Achieved: Through rulemaking, the Department of Labor intends to reduce reporting and

recordkeeping burdens on employers and employees in unrestricted industries using

homeworkers.

Change in Burden: - 26,840 hours. 

Agency: Department of Transportation

OMB Control No.: 2115-0613

Title: Recordkeeping of Refuse Discharge from Ships

Purpose of the Collection: These records verify that vessels are complying with discharge and disposal

requirements for ship-generated waste. 

How Reduction Achieved: A change in regulations reduced the number of respondents. 

Change in Burden: -463,348 hours. 

Agency: Department of Treasury 

OMB Control No.: 1510-0056

Title: Automated Clearinghouse (ACH) Vendor/Miscellaneous Payment Enrollment Form

(SF 3881)

Purpose of the Collection: Federal program agencies use this information to process payments to vendors.

How Reduction Achieved: The Federal Acquisition Regulation (48 CFR Parts 12, 16, 32, and 52) includes an

electronic funds transfer (EFT) clause. As this clause is built into contracts, less EFT

enrollment information will be collected on the SF 3881. 

Change in Burden: - 12,500 hours.
48 Fiscal Year 2000 Information Collection Budget of the United States Government

Agency: Federal Communications Commission

OMB Control No.: 3060-0370 

Title: Part 32 - Uniform System of Accounts for Telecommunications Companies.

Purpose of the Collection: Telecommunications companies use this form to report the results of operational and

financial events so that both management and regulators can assess these results

within a specified accounting period.

How Reduction Achieved: The FCC plans to reevaluate its existing accounting and reporting requirements to

determine whether they should be modified or eliminated as changes occur in the

industry. The Commission sought comment on its proposals to reduce or further

streamline its recordkeeping requirements for common carriers, audit requirements for

the large incumbent LECs, and filing requirements of accounting record charges on

the part of affected common carriers.

Change in Burden: -118,188 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-0869

Title: Review of the Commission’s Broadcast and Cable EEO Rules and Policies and

Termination of the EEO Streamlining Proceeding

Purpose of the Collection: The FCC uses this collection to solicit comments on its proposals for broadcast EEO

requirements dealing with anti-discriminatory hiring and outreach provisions.

How Reduction Achieved: The burden associated with this proceeding represents various information collections

currently in use. Upon Commission action in this proceeding, the burden will be

distributed to the appropriate individual collections, and this collection will be

removed from the OMB inventory.

Change in Burden: -953,389 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-0690

Title: Rules regarding the 37.0-38.6 and 38.6-40.0 GHz bands.

Purpose of the Collection: The Commission uses this information to ensure there exists an adequate point-topoint microwave spectrum, which will facilitate the development of the

communications infrastructure for commercial and private mobile radio operation and

competitive wireless local telephone service, as mandated by the amendments of the

FCC's Rules regarding the 37.0-38.6 GHz and 38.6-40.0 GHz bands in ET Docket

No. 95-183. 

How Reduction Achieved: The Commission amended its rules to permit licensing in the 39 GHz band by

Economic Areas (EAS), rather than Basic Trading Areas (BTAs). This change

reduces the number of responses.

Change in Burden: -134,693 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-0003

Title: FCC Form 610, Application for Amateur Radio Station and/or Operator License

Purpose of the Collection: Entities seeking a new or modified Amateur Radio Service authorization apply to the

Commission using this form.

How Reduction Achieved: The Amateur Radio Service was converted to the Uniform Licensing System (ULS)

on August 16, 1999. Form 610 becomes obsolete six months after conversion to

ULS. Applicants filing in ULS will use FCC Form 605.

Change in Burden: -26,070 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-0068

Title: FCC Form 702, Application for Consent to Assignment of Radio Station Construction
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 49

Authorization or License for Stations in Services Other Than Broadcast

Purpose of the Collection: This information collection is used when applying for consent to assignment of radio

facilities governed by 47 CFR Parts 21, 23,25 or 101.

How Reduction Achieved: Wireless applicants’ use of the form will end on February 28, 1999,at which time the

collection will be modified and turned over to Mass Media Bureau for their use.

Wireless applicants filing under the Uniform Licensing System will use FCC Form

603.

Change in Burden: -13,220 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-0105

Title: FCC Form 430, Licensee Qualification Report

Purpose of the Collection: FCC uses this information to evaluate an applicant’s legal qualifications to become or

remain licensed. Form 430 is submitted by certain new applicants and by existing

common carrier radio satellite licensees and permittees annually if substantial changes

occur in organizational structure.

How Reduction Achieved: Wireless applicants use’ of the form will end on February 28, 1999, at which time the

collection will be modified and turned over to Mass Media Bureau for their use.

Change in Burden: -14,311 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-0635

Title: FCC Form 610-V, Amateur Vanity Call Sign Request

Purpose of the Collection: Amateur radio services use this form to apply for a vanity call sign, instead of

systematically assigned call sign.

How Reduction Achieved: Amateur Radio Service was converted to the Uniform Licensing System on August

16, 1999. Form 610-V becomes obsolete six months after conversion to ULS. 

Applicants filing in ULS will use FCC Form 605.

Change in Burden: -26,400 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-0747

Title: FCC Form 415/415T, Application for Station Authorization in the Microwave

Services

Purpose of the Collection: The Commission uses this information to issue or amend applications for operating 

radio stations in Parts 101 and 74. FCC Form 415T is a self-certifying temporary

authorization that the applicant retains while the FCC processes the full Form 415.

How Reduction Achieved: The Microwave Services were converted to the Uniform Licensing System on August

30, 1999. Form 415/415T becomes obsolete six months after conversion to ULS. 

Applicants filing in ULS will use FCC Form 601.

Change in Burden: -140,000 hours.

Agency: Federal Energy Regulatory Commission

OMB Control No.: 1902-0060

Title: Gas Pipeline Certificates: Construction, Acquisition and Abandonment, FERC-537,

RM98-17 Final Rule

Purpose of the Collection: FERC uses this information to evaluate the feasibility of jurisdictional natural gas

pipeline proposals that involve acquisition, construction and/or operation of natural

gas facilities.

How Reduction Achieved: Final Rule RM98-17, Order No. 609 amended certain aspects of FERC's regulations

to provide pipelines with greater flexibility and to further expedite the certificate

process. The revisions expanded the list of activities categorically excluded from the

need for an environmental assessment in Section 380.4 of FERC's regulations and
50 Fiscal Year 2000 Information Collection Budget of the United States Government

expanded the types of events that allow pipelines to rearrange facilities under their

blanket construction certificates.

Change in Burden: -12,600 hours.

Agency: Federal Trade Commission

OMB Control No.: 3084-0100

Title: Rules and Regulations Under the Wool Products Labeling Act of 1939

Purpose of the Collection: Manufacturers or other sellers of wearing apparel containing wool fiber are required

to maintain certain records and disclosures. Content and country of origin disclosures

enable potential purchasers, both consumers and businesses, to make informed buying

decisions in the marketplace. 

How Reduction Achieved: FTC streamlined the rules’ disclosure requirements by, for example, eliminating

unnecessary wording on labels.

Change in Burden: - 482,000 hours.

Agency: Federal Trade Commission

OMB Control No.: 3084-0101

Title: Rules and Regulations Under the Textile Fiber Products Identification Act of 1939

Purpose of the Collection: Manufacturers or other sellers of textile fiber products are required to maintain certain

records and disclosures. Content and country of origin disclosures enable potential

purchasers, both consumers and businesses, to make informed buying decisions in the

marketplace. 

How Reduction Achieved: FTC streamlined the Rules’ disclosure requirements by, for example, eliminating

unnecessary wording on labels.

Change in Burden: -6,000,000 hours.

Agency: Nuclear Regulatory Commission

OMB Control No.: 3150-0146

Title: 10 CFR 26, Fitness-for-Duty Programs

Purpose of the Collection: This information collection requires power reactor licensees, and licensees authorized

to possess, use, or transport formula quantities of strategic special nuclear material, to

implement fitness-for-duty (FFD) programs to ensure that personnel are not under the

influence of any substance or mentally or physically impaired. Licensees must

maintain certain records associated with these programs and must report on program

performance and certain significant events.

How Reduction Achieved: The proposed revision would reduce the submission of program performance reports

from every six months to annually, delete the requirement to maintain a permanent

record book, reduce the number of records relating to suitable inquiries, and permit

prompt destruction of forms with negative test results. 

Change in Burden: -11,700 hours.

Eliminating Redundancy

Agency: Department of Education

OMB Control No.: 1880-0538

Title: Multiple Year Budget Form for Discretionary Grants

Purpose of the Collection: Discretionary grant recipients provide this information for continuation of the grants. 

How Reduction Achieved: A new process enables a single budget negotiation process for multi-year grants,

reducing paperwork. 

Change in Burden: -223,160 hours.

Agency: Department of Energy
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 51

OMB Control No.: 1910-0300

Title: Environment, Safety and Health

Purpose of the Collection: DOE and DOE-contractors use this collection to provide management control and

oversight over programs to protect DOE workers from radiation exposure. 

How Reduction Achieved: DOE consolidated reporting requirements for radiation exposures in the Occupational

Radiation Protection Program and eliminated several collections that no longer served

management purposes. 

Change in Burden: -368,000 hours.

Agency: Department of Energy

OMB Control No.: 1910-1600

Title: Real Property

Purpose of the Collection: DOE and DOE-contractors use this information to provide management control and

oversight over DOE facilities and related resources. 

How Reduction Achieved: Implementation of the Department’s Life Cycle Asset Management Order streamlined

reporting requirements and eliminated the need for several collections in this package.

Change in Burden: -82,700 hours.

Agency: Department of Health and Human Services

OMB Control No.: 0925-0001

Title: Research and Research Training Grant Applications and Related Forms

Purpose of the Collection: Applicants for Federal assistance research programs under the Public Health Service

Agencies submit this collection.

How Reduction Achieved: HHS modified application procedures and eliminated unnecessary information. 

Change in Burden: -286,975 hours. 

Agency: Department of Transportation

OMB Control No.: 2125-0028

Title: Highway Performance Monitoring System (HPMS)

Purpose of the Collection: As mandated by Congress, DOT uses this information to monitor the condition,

performance, and use of the Nation’s highway system and to estimate future highway

needs on a biennial basis.

How Reduction Achieved: DOT re-assessed the HPMS in 1998 and, as a result, streamlined the data required

from the States by approximately 20 percent. 

Change in Burden: -18,720 hours.

Agency: Department of Transportation

OMB Control No.: 2126-0007

Title: Qualification Certificate

Purpose of the Collection: Motor carriers provide this information to demonstrate that driver with a regularly

employed motor carrier certification is fully qualified to operate CMVs in interstate

commerce.

How Reduction Achieved: DOT will consolidate the information with the collection related to Driver

Qualification, 2126-0065. This action is being done for administrative efficiency.

Change in Burden: -27,500 hours.

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0102

Title: Schedule 14D-1

Purpose of the Collection: This information collection is filed by a person other than the issuer when making a

tender offer for a class of equity securities that would result in that person owning

more than 5% of that class.

How Reduction Achieved: Schedule TO replaced Schedules 13E-4 and 14D-1 by harmonizing and clarifying that
52 Fiscal Year 2000 Information Collection Budget of the United States Government

latter schedules’ requirements. The creation of Form TO allows issuers to file one

schedule instead of two to satisfy the tender offer and going private disclosure

requirements when both apply to the same transaction.

Change in Burden: -22,744 hours.

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0203

Title: Schedule 13E-4

Purpose of the Collection: Issues subject to Exchange Act reporting provide this information when making a

tender offer for a class of issuers’ equity securities.

How Reduction Achieved: Schedule TO replaced Schedules 13E-4 and 14D-1 by harmonizing and clarifying that

latter schedules’ requirements. The creation of Form TO allows issuers to file one

schedule instead of two to satisfy the tender offer and going private disclosure

requirements when both apply to the same transaction.

Change in Burden: -28,072 hours. 

Simplifying Forms

Agency: Department of Agriculture

OMB Control No.: 0572-0031

Title: RUS Form 479, Financial and Statistical Report for Telephone Borrowers

Purpose of the Collection: Agriculture needs financial information to ensure the maintenance of the security for

the Government’s loans, and statistical data to ensure the provision of quality

telephone service as mandated by the Rural Electrification Act of 1936, as amended

(RE Act).

How Reduction Achieved: During FY 2000, Agriculture plans to reinstate information collection 0572-0031. At

that point, it will eliminate approximately 50 percent of the fields as unnecessary.

Change in Burden: 4,450 hours.

Agency: Department of Commerce

OMB Control No.: 0607-0782

Title: Annual Capital Expenditures Survey

Purpose of the Collection: This collection gathers data on fixed assets and depreciation, sales and receipts, and

capital expenditures for new and used structures and equipment. 

How Reduction Achieved: The Census Bureau will begin collecting this information once every five years,

instead of annually. 

Change in Burden: -40,000 hours.

Agency: Department of the Interior

OMB Control No.: 1076-0101

Title: Higher Education Grant Program

Purpose of the Collection: Interior uses this information to determine applicant eligibility for grants in postsecondary institutions.

How Reduction Achieved: The Bureau of Indian Affairs’ review of this program resulted in a major reduction of

information required from individual Indian applicants. 

Change in Burden: -91,712 hours. 

Agency: Department of Labor

OMB Control Nos.: 1210-0016; 1210-0110

Title: Form 5500 -- Annual Report/Return of Employee Benefit Plan

Purpose of the Collection: This information collection is used by administrators of pension and welfare benefit

plans, as well as employers sponsoring fringe benefit plans and other plans of deferred
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 53

compensation, in order to comply with Title I of ERISA, Title IV of ERISA, and the

Internal Revenue Code of 1986. This information serves as a disclosure document for

plan participants, as well as the principal source of information and data available to

the Department of Labor, Internal Revenue Service (IRS), and Pension Benefit

Guaranty Corporation (PBGC) in their enforcement, research, and policy formulation

programs. 

How Reduction Achieved: The Department, IRS, and PBGC jointly have conducted an extensive review of the

form and instructions to streamline and simplify the form, eliminate unnecessary

elements, and clarify elements known to generate confusion or errors.

Change in Burden: - 313,850 hours.

Agency: Department of Transportation

OMB Control No.: 2126-0006

Title: Medical Qualifications Requirement

Purpose of the Collection: Medical examiners complete this form to document that drivers are eligible to operate

Commercial Motor Vehicles (CMVs). DOT uses this information to ensure that only

physically qualified CMV drivers operate in interstate commerce.

How Reduction Achieved: The Federal Motor Carrier Safety Administration intends to publish a final rule in

2000 that will update and simplify the current medical examination form.

Change in Burden: -46,605 hours. 

Agency: Federal Communications Commission

OMB Control No.: 3060-0829

Title: Streamlining of Mass Media Applications, Rules and Processing

Purpose of the Collection: The Commission is using this collection to overhaul and streamline the broadcast

licensing process, as initiated by the NPRM on April 2, 1998.

How Reduction Achieved: The Commission has completed its rulemaking and the hours burden will be

distributed to the appropriate individual collections. This collection will be removed

from the OMB inventory once those other collections have been approved.

Change in Burden: -174,082 hours.

Agency: Securities and Exchange Commission

OMB Control Nos.: 3235-0065; 3235-0072; 3235-0073; 3235-0324; 3235-0067; 3235-0258; 3235-0256;

3235-0325

Title: Form S-1 Registration Statement; Form S-2 Registration Statement; Form S-3

Registration Statement; Forms S-4 Registration Statement; Form S-11 Real Estate

Entities Registration Statement; Form F-1 Securities Registration For Foreign Private

Issuers; Form F-3 Securities Act Registration For Foreign Private Issuers; Form F-4 

Registration Statement For Foreign Private Issuers.

Purpose of the Collection: These information collections are used to register securities under the Securities Act.

How Reduction Achieved: Under SEC’s proposals to modernize and clarify the regulatory structure for the

Securities Act offerings, SEC will create a three-tiered registration system consisting

of new Forms A, B, and C (OMB Control Nos. 3235-0516, 3235-0519, and 3235-

0520). These new forms would replace all of these existing forms.

Change in Burden: -12,608,361 hours.

Agency: Social Security Administration

OMB Control No.: 0960-0555

Title: Generic Clearance of Disability Determination Services

Purpose of the Collection: States use this collection in disability determinations. The information helps assess

functionality symptoms. Authority to collect this information is contained in sections

223(d)(5)(A) and 1631(e)(1) of the Social Security Act.

How Reduction Achieved: SSA plans to discontinue the use of these two forms because the Agency has
54 Fiscal Year 2000 Information Collection Budget of the United States Government

developed Federal forms for these purposes. The forms SSA-3373, SSA-3380 and

SSA-3370 incorporate and standardize information from these collections. (See

entries below for forms SSA-3370, SSA-3373 and SSA-3380.)

Change in Burden: -816,000 hours.

Agency: Social Security Administration

OMB Control No.: 0960-0108

Title: Form SSA-3945, Report of Work Activity – Continuing Disability

Purpose of the Collection: SSA Program Service Centers use this collection to contact beneficiaries to determine

whether they have worked or been employed after becoming disabled and, if so,

whether that work constituted substantial gainful activity. 

How Reduction Achieved: SSA plans to eliminate SSA-3945 by consolidating it with SSA-821 (0960-0059.) 

Form SSA-821 gathers information on the work and earnings of both Social Security

and SSI disability applicants. SSA uses the data to determine initial and continued

eligibility for disability benefits. The revised form SSA-821 will be easier for the

public to understand, thereby eliminating the need for follow-up conversations and

improving customer service. 

Change in Burden: -105,000 hours.

Using Information Technology

Agency: Department of Agriculture

OMB Control No.: 0584-0002

Title: Report of School Program Operations

Purpose of the Collection: This information collection supports the administration of the National School Lunch

Program, the School Breakfast Program, and the Special Milk Program. Agriculture

uses the information to monitor the proper use of Food and Nutrition Service (FNS)

program funds. 

How Reduction Achieved: As FNS changes the policies and procedures related to monthly reporting of School

Program Operations, state agencies will be able to submit information electronically, 

thereby reducing filing time.

Change in Burden: 14,880 hours. 

Agency: Department of Agriculture

OMB Control No.: 0584-0053

Title: Coupon Account and Destruction Report

Purpose of the Collection: FNS uses this collection to reconcile food stamp coupons received as payment on

recipient claims, mutilated or improperly manufactured, old series coupons for

exchange, and coupons returned for miscellaneous reasons. 

How Reduction Achieved: As FNS continues work toward full implementation of Electronic Benefits Transfer

(EBT), there will be fewer food coupons to reconcile and fewer bulk storage points,

issuance points and certification offices. 

Change in Burden: 28,204 hours.

Agency: Department of Agriculture

OMB Control No.: 0575-NEW

Title: Rural Rental Housing Program - Proposed Regulation (7 CFR part 3560)

Purpose of the Collection: Agriculture uses this information to administer the Rural Rental Housing Program,

verify compliance with the associated regulations, and protect the integrity of Federal

funds used.

How Reduction Achieved: Agriculture is implementing automated systems that will allow property managers to

submit required tenant information electronically, reducing reporting time. The effort
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 55

also will eliminate five forms currently in use. 

Change in Burden: - 540,858 hours.

Agency: Department of Commerce

OMB Control No.: 0607-0152

Title: Shippers Export Declarations Program

Purpose of the Collection: This information collection forms the basis of the official U.S. export statistics

compiled by the Bureau of the Census. The official export statistics provide a basic

component for the compilation of the U.S. position on merchandise trade, and are a

leading economic indicator.

How Reduction Achieved: The Department of Commerce anticipates further reductions in this collection through

continued efforts to market this new system to exporters.

Change in Burden: -47,000 hours.

Agency: Department of Education

OMB Control No.: 1850-0582

Title: Integrated Postsecondary Education Data System (IPEDS)

Purpose of the Collection: Education collects this information from approximately 10,000 to monitor higher

education.

How Reduction Achieved: Education revised and consolidated the forms and developed a Web-based data

collection system. 

Change in Burden: -63,356 hours.

Agency: Department of Housing and Urban Development

OMB Control No.: 2577-0226

Title: Public Housing Agency (PHA) Plan

Purpose of the Collection: HUD requires PHAs that receive tenant-based assistance and public housing

operating subsidies to submit one- and five-year plans.

How Reduction Achieved: PHAs can submit the template now via the Internet. The Form HUD-50075 will be

converted to an actual automated system during FY 2000. Once the system is

implemented, the information collection burden (2577-0226) will be decreased. 

Change in Burden: -225,982 hours.

Agency: Department of Housing and Urban Development

OMB Control No.: 2577-0124

Title: Public Housing Drug Elimination Program (PHDEP) Semi-Annual Performance

Reporting System

Purpose of the Collection: This information collection requires PHAs to report on the effectiveness of programs

to eliminate drug abuse from public housing.

How Reduction Achieved: The new Public Housing Drug Elimination Program (PHDEP) Semi-Annual

Performance Reporting System was implemented effective July 1, 1999, with the first

reports under the new system due July 30, 1999, for the reporting period January

through June 1999. Grantees submit reports electronically over the Internet. 

Change in Burden: -18,879 hours.

Agency: Department of Treasury

OMB Control No.: 1545-1466

Title: Third Party Disclosure Requirements in IRS Regulations.

Purpose of the Collection: Employees who receive tips in the course of employment must disclose the amount of

the tips received through a monthly statement to the employer (section 31.6053-1(a)).

How Reduction Achieved: Treasury has revised its time estimate downward, from 27 minutes to 10 minutes,

because many employers have an automated system in place for employees to report
56 Fiscal Year 2000 Information Collection Budget of the United States Government

tips. In recalculating the burden, Treasury also corrected estimates associated with

third party disclosure requirements.

Change in Burden: - 16,808,949 hours.

Agency: Federal Energy Regulatory Commission

OMB Control No.: 1902-0174

Title: Standards for Business Practices for Interstate Natural Gas Pipelines, FERC-549C 

Purpose of the Collection: FERC has implemented electronic communications mechanisms for information

sharing and transparency within the natural gas industry. This collection helps buyers

of natural gas to more easily and efficiently buy and transport gas from all potential

sources of supply. The electronic communication mechanisms conform to FERC’s

plan for an efficient information collection, communication and management within

the natural gas industry.

How Reduction Achieved: 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. The adopted protocols have provided the gas industry over the past two

years the ability to use automated computer-to-computer communications to

efficiently conduct time-sensitive business transactions, such as nominating and

confirming daily gas flows, invoicing, and payments.

Change in Burden: -414,780 hours.

Agency: Federal Energy Regulatory Commission

OMB Control No.: 1902-0098

Title: Preservation of records for Public Utilities, Natural Gas and Oil Pipeline Companies,

FERC-555 Notice of Proposed Rulemaking

Purpose of the Collection: FERC requires public utilities and natural gas and oil pipeline companies to maintain

records on rates for auditing and compliance purposes. 

How Reduction Achieved: FERC gave each jurisdictional company the flexibility to select its own record storage

media, which must have a life expectancy at least equal to the applicable record

period unless there is a quality transfer from one media to another with no loss of

data. Following the issuance of AI99-2-000, FERC held technical conferences with

representatives of the jurisdictional companies to receive their proposals on revising

the recordkeeping requirements. As a result of those discussions and a systematic

review by FERC staff, FERC issued a Notice of Proposed Rulemaking with

comments due by April 2000.

Change in Burden: -679,800 hours.

Agency: Federal Energy Regulatory Commission

OMB Control No.: 1902-0021

Title: Annual Report of Major Electric Utilities, Licensees and Others, FERC Form 1

Purpose of the Collection: In accordance with the Federal Power Act, FERC collects this information to be able

to continuously review the financial conditions of regulated companies.

How Reduction Achieved: FERC issued a Notice announcing that it had upgraded the FERC Form 1 software. 

This upgrade is a Windows-based version that allows web-based electronic filing. 

The software replaces a DOS-based version that was incompatible with Windows and

was not Y2k compliant.

Change in Burden: -24,918 hours.

Agency: Small Business Administration

OMB Control No.: 3245-0091

Title: Entrepreneurial Development Management Information System (EDMIS)

Purpose of the Collection: SBA uses this information to provide appropriate business counseling programs and

to report to Congress and the President on the status of these programs. 
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 57

How Reduction Achieved: Information from the SBA Form 641 currently approved under OMB Control Number

3245-0091 will be incorporated into an electronic system, reducing burden per

respondent by 9 minutes.

Change in Burden: -90,000 hours.

Statutory Reductions

Agency: Department of Commerce

OMB Control No.: 0610-0093

Title: Comprehensive Economic Development Strategy (CEDS)

Purpose of the Collection: Commerce uses this information collection to ensure that areas served by an EDAsupported planning organization have or are developing a Community-Based planning

process and have thoroughly thought out what type of economic development is

needed in the area to alleviate unemployment or underemployment. 

How Reduction Achieved: Changes in EDA’s authorizing legislation allow EDA to accept economic

development plans prepared for and accepted by other Federal agencies.

Change in Burden: - 42,885 hours

Statute Title and P.L.#: Economic Development Administration Reform Act of 1998, P.L. 105-393.

Agency: Department of Health and Human Services

OMB Control No.: 0910-0059

Title: Medical Devices; Medical Device Reporting (MDR); Certification

Purpose of the Collection: HHS used this information collection to evaluate risks associated with medical

devices and to enable FDA to take appropriate regulatory measures to protect the

public health.

How Reduction Achieved: The Food and Drug Administration Modernization Act of 1997 (FDAMA) eliminated

the annual certification requirements for medical device manufacturers. The

collection will be dropped from the inventory when the new MDR/FDAMA final rule

is published, anticipated during the second quarter of FY 2000.

Change in Burden: -193,810 hours 

Statute Title and P.L.#: Food and Drug Administration Modernization Act of 1997, P.L. 105-115.

Agency: Department of Treasury

OMB Control No.: 1545-0184

Title: IRS Form 4797, Sales of Business Property.

Purpose of the Collection: Taxpayers use this collection to report sales, exchanges, or involuntary conversions of

assets used in connection with a trade or business.

How Reduction Achieved: As a result of P.L. 105-206, no items reported on Form 4797 are subject to the 28%

tax rate, so column (h), 28% rate gain or (loss), was deleted from Part I of the form. 

In revising the form, the IRS corrected the number of references to the Internal

Revenue Code and the number of line items, both used to calculate hours. The IRS

also adjusted the hour estimates based on a better counting of responses.

Change in Burden: - 2,660,118 hours

Statute Title and P.L.#: IRS Restructuring and Reform Act of 1998, P.L. 105-206.

Agency: Federal Communications Commission

OMB Control No.: 3060-0760

Title: Access Charge Reform -- CC Docket No. 96-262 (1st R&O), 2nd Order on Recon

and MO&O, 3rd R&O and 5th R&O.

Purpose of the Collection: This information collection is used for compliance.

How Reduction Achieved: The FCC modified the rules that govern the provision of interstate access services by

local exchange carriers (LECs) subject to price regulation. This change was designed
58 Fiscal Year 2000 Information Collection Budget of the United States Government

to advance the pro-competitive, de-regulatory national policies embodied in the

Telecommunications Act of 1996.

Change in Burden: - 1,738,597 hours

Statute Title and P.L.#: Telecommunications Act of 1996, P.L. 104-104.

Agency: Federal Communications Commission

OMB Control No.: 3060-0715

Title: Implementation of the Telecommunications Act of 1996: Telecommunications

Carriers’ Use of Customer Proprietary Network Information (CPNI) and Other

Customer Proprietary Network.

Purpose of the Collection: This information collection is used for compliance.

How Reduction Achieved: In the CPNI Reconsideration Order, the FCC amended its rules to merely state that

telecommunications carriers must implement a system to clearly establish the status of

a customer’s CPNI approval prior to the use of CPNI, and must maintain an audit

mechanism that tracks CPNI usage. The Commission removed the requirements of

sections 64.2009(a) and (c) that carriers must develop and implement software that

flags a customer’s CPNI approval status and must maintain an electronic audit

mechanism that tracks access to customer accounts. 

Change in Burden: -190,864 hours

Statute Title and P.L.#: Telecommunications Act of 1996, P.L. 104-104.

Other

Agency: Department of Commerce

OMB Control Nos.: 0607-0786, 0607-0809, 0607-0853

Title: Collections related to the 2000 Decennial Census

Purpose of the Collection: This information collection was used to prepare for the 2000 Decennial Census

How Reduction Achieved: The collection is complete.

Change in Burden: - 1,382,576 hours.

Agency: Department of Commerce

OMB Control No.: 0607-0854

Title: 1997 Survey of Minority-Owned Business Enterprises and 1997 Survey of WomenOwned Business Enterprises

Purpose of the Collection: These information collections concern the economic aspects of minority and womenowned businesses at the time of the Economic Census, conducted every five years. 

How Reduction Achieved: The 1997 Economic Census is finished.

Change in Burden: - 416,666 hours. 

Agency: Department of Defense

OMB Control No.: 0704-0187; 0704-0188

Title: Information Collection in Support of the DoD Acquisition Process and the

Acquisition Management System and Data Requirements Control List (AMSDL) 

Purpose of the Collection: These information collections concern data requirements for government contracts to

support the design, manufacture, test, training, operation, and maintenance of

procured items

How Reduction Achieved: Defense plans to reduce its information collection burden by 15 percent as a result of

ongoing acquisition reform initiatives, such as acquiring more commercial items.

Change in Burden: -17,000,000 hours.

Agency: Department of Health and Human Services

OMB Control No.: 0910-0405
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 59

Title: Survey of Medical Device Manufacturers for Year 2000 Compliance of

Manufacturing Systems

Purpose of the Collection: HHS used this information collection to verify the Y2K compliance of medical device

manufacturing systems.

How Reduction Achieved: This collection is no longer needed.

Change in Burden: -175,500 hours. 

Agency: Department of the Interior

OMB Control No.: 1028-0052

Title: National Mapping Division Data Grant Program for Land Processes Research

Purpose of the Collection: Interior used this collection to encourage the nonprofit community to use remotely

sensed data in land processes research.

How Reduction Achieved: Interior believes this collection is no longer essential to the mission of the

implementing division, the Data Center Science and Applications Branch.

Change in Burden: -13,000 hours.

Agency: Department of Labor

OMB Control No.: 1205-0179

Title: Unemployment Compensation for Federal Employees

Purpose of the Collection: Labor uses this collection to provide unemployment insurance protection to former (or

partially unemployed) federal civilian employees, as stipulated in Federal law (5

U.S.C. 8501-8508 et Seq.).

How Reduction Achieved: Labor streamlined the claims-taking process and reduced the amount of information

collected. 

Change in Burden: -19,934 hours. 

Agency: Department of Treasury

OMB Control No.: 1545-0184

Title: IRS Form 4797, Sales of Business Property.

Purpose of the Collection: Taxpayers use this collection to report sales, exchanges, or involuntary conversions of

assets used in connection with a trade or business.

How Reduction Achieved: The IRS corrected the number of references to the Internal Revenue Code and the

number of line items, both of which are used to calculate burden hours. The IRS also

adjusted the hour estimates based on a better counting of responses.

Change in Burden: -1,221,840 hours.

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0483

Title: “Transition Rules”--Rule 203A-5 Under The Investment Advisers Act Of 1940; Form

ADV-T Under The Investment Advisers Act Of 1940

Purpose of the Collection: SEC used this information to determine whether advisers meet the eligibility criteria

for SEC registration set forth in section 203A of the Investment Advisers Act of

1940, as amended in 1996, and rules thereunder. SEC also used the information to

remove from Commission registration those advisers that are no longer eligible.

How Reduction Achieved: All advisers registered with the SEC on April 9, 1997 were required under rule 203A5 to file a completed Form ADV-T no later than that date. The information collection

is now complete. The Commission will not request extension of OMB approval

beyond the current expiration date of 3/31/2000. 

Change in Burden: -19,998 hours.

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0513

Title: Year 2000 Compliance, Investment Advisers Report--Rule 204-5 Under The
60 Fiscal Year 2000 Information Collection Budget of the United States Government

Investment Advisers Act Of 1940

Purpose of the Collection: The Commission used this information to verify that investment advisers and

investment companies were prepared for Y2K.

How Reduction Achieved: This collection is no longer needed. 

Change in Burden: -14,782 hours.
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 61

Expected FY 2000 Increases

Statutory Increases

Agency: Department of Agriculture

OMB Control No.: 0581-0186

Title: Livestock Mandatory Reporting Act of 1999

Purpose of the Collection: The Livestock Mandatory Reporting Act of 1999 requires USDA to establish a

program to collect information regarding the marketing of cattle, swine, lambs, and

their products. The Act requires daily and weekly reporting by meatpackers of all

pertinent details of each purchase transaction of livestock and each sales transaction

of finished product. This information includes the prices, quantities, types of

purchase and weights for swine and cattle.

Why Increase Occurred: Congress enacted this statute in response to concerns about increasing concentration

of market power in the meatpacking industry.

Change in Burden: +115,704 hours.

Statute Title and P.L. #: Livestock Mandatory Reporting Act of 1999, P.L. 106-78. 

Agency: Department of Agriculture

OMB Control No.: 0584-0006

Title: 7 CFR Part 270, National School Lunch Program

Purpose of the Collection: Agriculture uses this information to administer the National School Lunch Program.

Why Increase Occurred: New statutes stipulate that the Food and Nutrition Service (FNS) should require

school food authorities to document daily attendance and daily program participation

and include in their monthly reports to FNS the number of snacks served. 

Change in Burden: + 1,254,973 hours 

Statute Title and P.L. #: The Healthy Meals for Children Act, P.L. 104-749, and The William F. Goodling

Child Nutrition Reauthorization Act of 1998, P.L. 105-336.

Agency: Department of Agriculture

OMB Control No.: 0584-0055

Title: 7 CFR Part 226, Child and Adult Care Food Program

Purpose of the Collection: Agriculture uses this information to administer of the Child and Adult Care Food

Program.

Why Increase Occurred: FNS plans several changes to this program. It plans to propose a rule to permit

determining agencies to disclose participants’ free and reduced price information for

use by certain education, health, and means-tested nutrition programs. Second, it

plans an interim rulemaking to require at-risk after-school care centers to maintain a

daily attendance roster, to confirm the child care aspects of the operations, and to

support the meal counts reported on the claim for reimbursement. Third, it proposes

to revise state agency criteria for approving and reviewing institution applications and

for terminating agreements with institutions. The proposed rule would also require

that all program enrollment forms be signed by parents, be updated annually, and

include information on hours of care and meals received.

Change in Burden: + 1,451,972 hours 

Statute Title and P.L. #: The Healthy Meals for Children Act, P.L. 104-749, and The William F. Goodling

Child Nutrition Reauthorization Act of 1998, P.L. 105-336.

Agency: Department of Commerce

OMB Control No.: 0694-0091

Title: Chemical Weapons Convention Declaration Forms Inspections and Inspection
62 Fiscal Year 2000 Information Collection Budget of the United States Government

Reports.

Purpose of the Collection: Commerce collects this information from entities handling a large number of

chemicals that could be used in the production of chemical weapons. 

Why Increase Occurred: The Bureau of Export Administration published the final regulations implementing

the CWC and implementing legislation.

Change in Burden: + 34,709 hours

Statute Title and P.L. #: Chemical Weapons Convention Implementation Act of 1998, Public Law 105-277.

Agency: Department of Health and Human Services 

OMB Control No.: 0910-NEW

Title: Supplements and Other Changes to an Approved Application

Purpose of the Collection: Applicants for drug and biologics approval use this collection to submit supplemental

information. 

Why Increase Occurred: The burden increase is due to a new statutory requirement.. 

Change in Burden: +497,624 hours. 

Statute Title and P.L. #: Food and Drug Administration Modernization Act of 1997, P.L. 105-115.

Agency: Department of Health and Human Services 

OMB Control No.: 0910-NEW

Title: Prescription Drug Marketing Act of 1987; Administrative Procedures, Policies, and

Requirements

Purpose of the Collection: HHS uses this collection for reporting and recordkeeping requirements related to the

reimportation of prescription drugs, the distribution of drug samples, the resale of

certain drugs, the wholesale distribution of drugs, and other requirements. HHS uses

the information to ensure that drug products purchased by consumers are safe and

effective, and to prevent the sale of counterfeit, adulterated, misbranded, subpotent, or

expired drugs.

Why Increase Occurred: The burden increase is due to a new statutory requirement. 

Change in Burden: +3,361,996 hours

Statute Title and P.L. #: Prescription Drug Marketing Act of 1987, P.L.100-293.

Agency: Department of Health and Human Services 

OMB Control No.: 0910-NEW

Title: Medical Device; Device Tracking

Purpose of the Collection: HHS developed this collection to track medical devices among manufacturers,

distributors, final distributors, and multiple distributors.

Why Increase Occurred: This is a new collection of information implementing a statutory requirement.

Change in Burden: +2,844,053 hours 

Statute Title and P.L. #: FDA Modernization Act of 1997, P.L. 105-115.

Agency: Department of Health and Human Services 

OMB Control No.: 0910-NEW

Title: Quality Mammography Standards; Lay Summaries

Purpose of the Collection: Mammography facilities use this collection to provide patients a summary of their

mammography report in lay terms and within 30 days of the examination. If the

results are “suspicious” or “highly suggestive of malignancy”, the facility is required

to make reasonable attempts to communicate the results to the patient as soon as

possible.

Why Increase Occurred: This is a new collection of information implementing a statutory requirement.

Change in Burden: +3,332,000 hours 

Statute Title and P.L.#: Mammography Quality Standards Reauthorization Act, P.L. 105-248.
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 63

Agency: Department of Health and Human Services 

OMB Control No.: 0910-0363

Title: Veterinary Feed Directive - NPRM

Purpose of the Collection: HHS will use this information to verify compliance with the VFD regulations set up

under the Animal Drug Availability Act (ADAA). The information will provide some

assurance that medicated feeds will be safe and effective for their labeled conditions

of use and that edible products from treated animals will be free of unsafe residues.

Why Increase Occurred: This is a new collection of information implementing a statutory requirement.

Change in Burden: +121,329 hours 

Statute Title and P.L. #: Animal Drug Availability Act, P.L. 104-250.

Agency: Department of Health and Human Services 

OMB Control No.: 0915-NEW

Title: Health Care Integrity and Protection Data Bank for Final Adverse Information on

Health Care Providers, Suppliers and Practitioners (45 CFR 61)

Purpose of the Collection: This collection establishes a national health care fraud and abuse data collection

program for the reporting and disclosure of certain final adverse actions taken against

health care providers, suppliers, or practitioners.

Why Increase Occurred: This is a new collection of information implementing a statutory requirement. 

Change in Burden: 187,169 hours

Statute Title and P.L.#: Health Insurance Portability and Accountability Act (HIPAA) of 1996, P.L. 104-191.

Agency: Department of Health and Human Services 

OMB Control No.: 0938-NEW

Title: End Stage Renal Disease (ESRD) Clinical Performance Measures

Purpose of the Collection: HHS will use this information to compare the quality of dialysis services provided by

facilities. The collection captures information about the adequacy of dialysis, anemia

management, vascular access, and other facility characteristics.

Why Increase Occurred: This is a new collection of information implementing a statutory requirement. 

Change in Burden: +227,500 hours 

Statute Title and P.L.#: Balance Budget Act of 1997, P.L. 105-33.

Agency: Department of Health and Human Services 

OMB Control No.: 0938-NEW

Title: Collection of Physician Encounters from Medicare + Choice Organizations

Purpose of the Collection: This information collection will describe the procedures, “claim” formats, and

processing of physician encounter data received from Medicare + Choice

organizations

Why Increase Occurred: This is a new collection of information implementing a statutory requirement. 

Change in Burden: +2,400,000 hours 

Statute Title and P.L.#: Balance Budget Act of 1997, P.L. 105-33.

Agency: Department of Health and Human Services 

OMB Control No.: 0938-NEW

Title: National Provider System – Application for a National Provider Identifier and Update

of Health Care Provider Data

Purpose of the Collection: HHS uses this collection is assign a unique National Provider identification number to

health care providers. 

Why Increase Occurred: This is a new collection of information implementing a statutory requirement. 

Change in Burden: +300,000 hours 

Statute Title and P.L.#: Health Insurance Portability and Accountability Act (HIPAA) of 1996, P.L. 104-191.

Agency: Department of the Interior
64 Fiscal Year 2000 Information Collection Budget of the United States Government

OMB Control No.: 1018-NEW

Title: Survey of Boat Access Facilities

Purpose of the Collection: States use this information to determine the adequacy of boat access facilities.

Why Increase Occurred: A new law requires the Fish and Wildlife Service to conduct this new survey.

Change in Burden: +32,200 hours

Statute Title and P.L.#: The Sportfishing and Boating Safety Act of 1998, P.L. 105-178.

Agency: Department of Labor

OMB Control No.: 1210-NEW

Title: National Medical Support Notice -- Part B

Purpose of the Collection: Labor will use this collection to establish a model qualified medical support order for

use by state child support agencies and private employer-sponsored health plans to

help enroll children in health care coverage. 

Statute Title and P.L.#: Labor drafted a proposed notice with the intent to simplify and standardize

communications among states, parents, and group health plans under ERISA, and

create a uniform process to enforce child medical support orders. 

Change in Burden: +785,000 hours

Statute and P.L.#: Child Support Performance and Incentive Act of 1998, P. L. 105-200 .

Agency: Department of Labor

OMB Control No.: 1210-NEW

Title: Disclosures to Participants and Beneficiaries of ERISA Group Health Plans under the

Women Health and Cancer Rights Act of 1998 (WHCRA).

Purpose of the Collection: This information collection is part of several notice and disclosure provisions

intended to make health care plan participants aware of the new protections for

mastectomy patients. Under WHCRA, insurance issuers must provide coverage for

reconstructive surgery if an individual who is receiving benefits in connection with a

mastectomy elects breast reconstruction. 

Why Increase Occurred: The interim final regulations will include information collection provisions consistent

with the statute.

Change in Burden: +400,000 hours

Statute and P.L.#: Women’s Health and Cancer Right Act of 1998, P. L. 105-277.

Agency: Department of Transportation

OMB Control No.: 2020-NEW

Title: Airport Security

Purpose of the Collection: This collection encompasses airport security programs, training records and

screenings, bomb threats, and arrest reports. DOT will use the information to ensure

the safety of persons and property in air transportation.

Why Increase Occurred: Increase will occur due to final rule amending 14 CFR Part 107.

Change in Burden: + 753,658 hours

Statute Title and P.L. #: A bill to amend title 28, United States Code, P.L. 102-272.

Agency: Department of Transportation

OMB Control No.: 2126-0543

Title: Controlled Substances and Alcohol Use and Testing

Purpose of the Collection: Motor carriers must investigate the drug and alcohol history of drivers of certain types

of commercial motor vehicles in specific types of operations. This ensures that the

motor carrier has vital safety information about the driver when making an

employment decision.

Why Increase Occurred: The Federal Motor Carrier Safety Administration intends to publish regulations that

will increase the number of responses to requests for the drug and alcohol history of

CMV drivers, mandate compliance investigations of rehabilitation referrals, and
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 65

require the investigation of three (instead of two) years’ information.

Change in Burden: + 12,888,006 hours

Statute Title and P.L. #: Hazardous Materials Act of 1994; P.L. 103-311.

Agency: Department of Transportation

OMB Control No.: 2130-0549

Title: Use of Locomotive Horns at Highway-Grade Crossings

Purpose of the Collection: This collection promotes safety at highway-grade rail crossings by requiring the use of

train whistles or the implementation of alternative safety measures with equivalent

effectiveness to reduce/eliminate accidents and the resulting deaths and injuries.

Why Increase Occurred: The burden increase is due to provisions of the Swift Rail Development Act.

Change in Burden: + 62,476 hours

Statute Title and P.L. #: Swift Rail Development Act of 1994, P.L. 103-440; amended by P.L. 104-264.

Agency: Department of Transportation

OMB Control No.: 2120-NEW

Title: Certification of Screening Companies

Purpose of the Collection: Section 302 of the FAA Reauthorization Act of 1996 directs the Administrator of the

FAA to certify companies providing security screening.

Why Increase Occurred: This is a new collection required under statute.

Change in Burden: + 173,577 hours

Statute Title and P.L. #: FAA Reauthorization Act of 1996, P.L. 104-264.

Agency: Federal Communications Commission

OMB Control No.: 3060-0715

Title: Implementation of the Telecommunications Act of 1996: Telecommunications

Carriers' Use of Customer Proprietary Network Information and Other Customer

Proprietary Network.

Purpose of the Collection: This information collection is used for compliance.

Why Increase Occurred: Section 222 of the Telecommunications Act of 1996 requires carriers to provide

requesting directory publishers with subscriber list information on a timely and

unbundled basis under reasonable and nondiscriminatory rates, terms, and conditions. 

Change in Burden: +27,900 hours.

Statute Title and P.L.#: Telecommunications Act of 1996, P.L. 104-104.

Agency: Federal Communications Commission

OMB Control No.: 3060-NEW

Title: Part 76, Public File and Notice Requirements

Purpose of the Collection: This information collection reorganizes the public file requirements, provides cable

operators with an alternative to maintaining a paper public file, eliminates outdated

public file requirements, and expands the definition of small cable systems for the

purposes of the public inspection rules.

Why Increase Occurred: This new collection is the result of a biennial review that streamlined FCC’s rules.

Change in Burden: + 32,400 hours

Statute Title and P.L. #: Telecommunications Act of 1996, P.L. 104-104.

Agency: Federal Communications Commission

OMB Control No.: 3060-0809

Title: Communications Assistance for Law Enforcement Act – CC Docket No. 97-213

Purpose of the Collection: This information collection implements provisions of the Communications Assistance

for Law Enforcement Act, aimed at ensuring that telecommunications carriers have

policies in place that require the affirmative intervention by employees in effectuating

any interception through their switching premises, and that such interception is done
66 Fiscal Year 2000 Information Collection Budget of the United States Government

lawfully and documented carefully. 

Why Increase Occurred: The initial submission greatly underestimated the number of licensees involved. It

also proposed that small businesses be excluded from certain requirements, but they

were later included. While FCC relaxed the record keeping burden, this is more than

offset by the inclusion of small businesses and the adjustment to the initial estimates. 

Change in Burden: +218,275 hours

Statute Title and P.L. #: Communications Assistance for Law Enforcement Act, P. L. 103-414.

Agency: Federal Emergency Management Agency

OMB Control No.: 3067-0279

Title: Hurricane Floyd Special Buyout Authority Application and Reporting

Purpose of the Collection: FEMA uses this information to provide assistance for the acquisition and relocation,

for hazard mitigation purposes, of properties affected by Hurricane Floyd or

surrounding events, as allowed under the Consolidated Appropriations Act.

Why Increase Occurred: Congress required FEMA to implement the act and make $215 million available to

states for the acquisition and relocation of properties. FEMA published an interim

final rule, 44 CFR Part 209, which included requirements for states and others

affected by Hurricane Floyd to apply for buyout assistance.

Change in Burden: + 48,789 hours

Statute Title and P.L.#: Consolidated Appropriations Act for FY 2000, Title I, Chapter 2, P.L. 106-113.

Agency: Federal Emergency Management Agency

OMB Control No.: 3067-NEW

Title: Flood Hazard Mapping Needs Assessment Process.

Purpose of the Collection: FEMA uses this information to assess the need to revise flood hazard maps. FEMA

will use the information to determine which communities are in need of updated flood

hazard maps, prioritize which communities receive updated maps, determine the total

amount of funds needed to update the maps nationwide, and determine funding

allocations to the FEMA Regional Offices for map updates.

Why Increase Occurred: FEMA determined it needed the information to determine the extent of outdated flood

maps and to meet the intent of Section 575 of the NFIRA.

Change in Burden: + 78,000 hours

Statute Title and P.L.#: Riegle Community Development and Regulatory Improvement Act of 1994, (also

known as the National Flood Insurance Reform Act of 1994), P.L. 103-325. 

Agency: Federal Trade Commission

OMB Control No.: 3084-NEW

Title: The Gramm-Leach-Bliley Act

Purpose of the Collection: The FTC will use this information to limit instances in which a financial institution

may disclose a consumer’s nonpublic personal information to a non-affiliated party. 

Why Increase Occurred: The increase is due to the new Act and implementing rule. 

Change in Burden: +6,700,000 hours.

Statute Title and P.L.#: Subtitle A of Title V of Financial Services Modernization Act of 1999, P. L. 106-102.

Other

Agency: Department of Agriculture

OMB Control No.: 0581-0123

Title: Reporting Requirements under the Regulations Governing Inspection and

Certification of Processed Fruits and Vegetables and Related Products

Purpose of the Collection: Agriculture will use this information for grading and certification purposes and for

hiring licensed samplers. 
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 67

Why Increase Occurred: The agency will offer a new inspection service, the “Qualified through Verification

Service” (QTV), and will need this information to support it. 

Change in Burden: +32,200 hours.

Agency: Department of Agriculture

OMB Control No.: 0583- NEW

Title: Use of Food Additives as Antimicrobial Agents

Purpose of the Collection: This collection will guide establishments on the voluntary use of certain additives to

inhibit the growth of certain microorganisms.

Why Increase Occurred: When the regulation is implemented, establishments choosing to use these substances

will be required to modify their labels and reassess HACCP plans.

Change in Burden: + 31,166 hours.

Agency: Department of Commerce

OMB Control No.: 0607-0810

Title: American Community Survey

Purpose of the Collection: The Census Bureau uses this collection to update demographic, social, economic, and

housing data that is essentially the same as the “long-form” data that the Census

Bureau traditionally has collected as part of the decennial census. 

Why Increase Occurred: The Census Bureau is increasing the sample size of the ACS so it can compare the

ACS results against the Decennial Census long form and make a smooth transition to

this new survey. ACS should be in place by 2003.

Change in Burden: + 376,050 hours.

Agency: Department of Commerce

OMB Control Nos.: 0607-0856, 0607-0858, 0607-0860

Title: U.S. Census 2000 (The 2000 Decennial Census)

Purpose of the Collection: This information collection is used to reapportion the House of Representatives and

redraw legislative district boundaries. Congress has mandated the use of this

information to allocate the distribution of federal and state funds for many programs

each year. 

Why Increase Occurred: The 2000 Decennial Census will be conducted between March and June, 2000.

Change in Burden: + 27,287,323 hours. 

Agency: Department of Commerce

OMB Control No.: 0607-NEW

Title: Census 2000 Accuracy and Coverage Evaluation, Housing Unit and Person Interview

Activities

Purpose of the Collection: This surveys sample block clusters within the 50 states, the District of Columbia, and

Puerto Rico. The Census Bureau will use the survey to estimate coverage in Census

2000. 

Why Increase Occurred: This is a new activity which the Census Bureau will conduct during and after the 2000

Decennial Census.

Change in Burden: + 103,162 hours.

Agency: Department of Commerce

OMB Control No.: 0608-0049

Title: Benchmark of U.S. Direct Investment Abroad

Purpose of the Collection: Commerce uses this information to measure the size and economic significance of

U.S. direct investment abroad, to measure changes in such investment, and to assess

the impact of such investment on the U.S. and foreign economies.

Why Increase Occurred: The BEA conducts this survey every five years. 

Change in Burden: + 458,000 hours.
68 Fiscal Year 2000 Information Collection Budget of the United States Government

Agency: Department of Commerce

OMB Control No.: 0640-NEW

Title: Annual Survey of Minority-Owned Business

Purpose of the Collection: Commerce will use this information about the status of ethnic minority-owned

businesses to make informed decisions about assistance programs.

Why Increase Occurred: This is a new collection.

Change in Burden: + 50,000 hours.

Agency: Department of Commerce

OMB Control No.: 0694-0119

Title: National Security and Critical Assessment s of the U.S. Industrial Base

Purpose of the Collection: Commerce uses this information to assess the security and critical technology of US

industry sectors, at the request of various research and planning agencies within the

Department of Defense, for the Congress, and for industry groups. 

Why Increase Occurred: This is a new collection.

Change in Burden: + 24,000 hours.

Agency: Department of Education

OMB Control No.: 1870-0500

Title: Elementary and Secondary School Survey

Purpose of the Collection: This information collection assesses elementary and secondary school compliance

with civil rights legislation and regulations.

Why Increase Occurred: The percentage of schools surveyed has increased from 60 to 100 percent.

Change in Burden: + 191,576 hours.

Agency: Department of Education

OMB Control No.: 1840-0022

Title: Default Reduction Measures for Financial Assistance

Purpose of the Collection: Education uses this information to determine a school’s eligibility to participate in the

Federal Family Educational Loan Program.

Why Increase Occurred: New regulations require recordkeeping and the development of default management

plans.

Change in Burden: + 233,534 hours.

Agency: Department of Health and Human Services 

OMB Control No.: 0910-NEW

Title: Proposed Rule: Current Good Manufacturing Practice for Blood and Blood

Components; Blood Labeling Standards

Purpose of the Collection: HHS will use this information to monitor the safety of the nation’s blood supply and

to ensure that the necessary information is provided on the labeling of blood and

blood components. The proposed rule amends the biologics regulations by removing,

revising, or updating specific labeling regulations applicable to blood and blood

products to be more consistent with current labeling practices and to remove

unnecessary or outdated requirements. 

Why Increase Occurred: This is a new collection.

Change in Burden: +5,642,850 hours.

Agency: Department of Health and Human Services 

OMB Control No.: 0910-NEW

Title: Proposed Rule : Current Good Manufacturing Practice for Blood and Blood

Components; Notification of Consignees and Transfusion Recipients Receiving Blood

and Blood Components at Increase Risk of Transmitting HCV Infection

(“Lookback”)
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 69

Purpose of the Collection: This information collection will be used by consignees and recipients of prior

collections of blood and blood components from a donor who later tests positive for

HCV. This will make it possible for consignees to quarantine a product that may

present an increased risk for transmitting HCV. It will also provide the opportunity

for transfusion recipients of such products to seek medical counseling.

Why Increase Occurred: This is a new collection.

Change in Burden: +958,781 hours. 

Agency: Department of Health and Human Services 

OMB Control No.: 0910-NEW

Title: Proposed Rule: Current Good Tissue Practice (cGTP) for Manufacturers of Cellular

and Tissue-based Products; Inspections and Enforcement

Purpose of the Collection: To prevent the transmission of communicable disease, HHS requires manufacturers of

human cellular and tissue-based products to follow cGTP. This includes proper

handling, processing, storage, and labeling of these products, recordkeeping, and

establishing a quality program to meet FDA inspections and enforcement standards.

Why Increase Occurred: This is a new collection.

Change in Burden: +621,573 hours. 

Agency: Department of Health and Human Services 

OMB Control No.: 0910-NEW

Title: Requirements on Content and Format of Labeling for Human Prescription Drugs and

Biologics; Requirements for Prescription Drug Product Labels.

Purpose of the Collection: New rulemaking requires that prescription drug labeling include a section containing

the highlights of and an index to prescribing information.

Why Increase Occurred: This is a new collection.

Change in Burden: +791,413 hours. 

Agency: Department of the Interior

OMB Control No.: 1004-NEW

Title: Surface Management – 43 CFR Subpart 3809

Purpose of the Collection: Interior uses this information to monitor the compliance of operators and mining

claimants with their responsibilities while exploring, mining, and reclaiming minerals

on public lands, as stipulated in proposed regulations at 43 CFR Subpart 3809.

Why Increase Occurred: The increase in burden is a result of new information needed to successfully

implement these revised regulations.

Change in Burden: +60,000 hours

Agency: Department of the Interior

OMB Control No.: 1010-0057

Title: 30 CFR 250, Subpart C, Pollution Prevention and Control

Purpose of the Collection: Interior uses this information to evaluate whether an Outer Continental Shelf (OCS)

facility will negatively affect the air quality in the Breton National Wildlife

Refuge/Wilderness Area (BWA).

Why Increase Occurred: In FY 1999, the ICB included a one-year collection of meteorological data and air

pollutant emissions for production facilities in BWA. The project was delayed and is

now scheduled for year 2000. The change in burden is due to revisions of the project

design and re-estimation of the burden.

Change in Burden: + 40,880 hours.

Agency: Department of Labor

OMB Control No.: 1218-NEW

Title: Occupational Exposure to Tuberculosis
70 Fiscal Year 2000 Information Collection Budget of the United States Government

Purpose of the Collection: Labor uses this information to prevent or minimize occupational exposure to

tuberculosis.

Why Increase Occurred: The burden increase will occur as the result of a new final rule on tuberculosis.

Change in Burden: +7,098,011 hours. 

Agency: Department of Labor

OMB Control No.: 1210-NEW

Title: Disclosures to Policyholders of Insurance Company General Accounts Which Include

Employee Benefit Plan Assets

Purpose of the Collection: Section 401(c) of the Small Business Job Protection Act of 1996 (Pub. L. 104-188)

(SBJPA) requires information from insurance companies that offer and maintain

policies for private sector employee benefit plans where the assets are held in the

insurer’s general account. 

Why Increase Occurred: The proposed regulation, which included new information collection requirements,

was published on December 22, 1997. It is anticipated that the final regulation will be

published during FY 2000. 

Change in Burden: +1,204,369 hours.

Agency: Department of Labor

OMB Control No.: 1219-0131 

Title: Training Plans, New Miner Training, Newly Hired Experienced Miner Training (Final

Rule) 

Purpose of the Collection: Labor uses this information to verify that miners receive required training designed to

decrease the number of accidents, injuries, and fatalities, as stipulated in 30 CFR part

46.

Why Increase Occurred: This is a new collection. 

Change in Burden: +253,393 hours. 

Agency: Department of Transportation

OMB Control No.: 2126-NEW

Title: Transportation of Household Goods; Consumer Protection Regulations

Purpose of the Collection: This collection is designed to enhance consumer protection. Prospective shippers

would use the collection of information to make informed decisions about contracts

and services to be ordered, executed, and settled with interstate household goods

carriers.

Why Increase Occurred: The Federal Motor Carrier Safety Administration plans to update its regulation in 49

CFR Part 375 and 377 relating to the transportation of household goods. The final

rule will require household goods carriers to file an annual arbitration report, in place

of the outdated annual performance report, make consumer protection disclosures, and

modify a consumer protection publication.

Change in Burden: + 4,209,102 hours.

Agency: Department of Transportation

OMB Control No.: 2126-0004

Title: Driver Qualification File

Purpose of the Collection: Motor carriers are required to file certain information verifying that their drivers are

fully qualified to operate a commercial motor vehicle in interstate commerce.

Why Increase Occurred: The burden increase is due to a consolidation with a related collection entitled

Qualification Certificate (2126-0007).

Change in Burden: + 27,500 hours.

Agency: Department of Treasury

OMB Control No.: 1510-0007
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 71

Title: Direct Deposit Sign-Up Form

Purpose of the Collection: Recipients of federal payments use this form to authorize automatic deposit into their

accounts at financial institutions. 

How Reduction Achieved: The increased burden results from expanded participation in the Direct Deposit

program.

Change in Burden: + 67,683 hours.

Agency: Department of Treasury

OMB Control No.: 1545-0074

Title: IRS Form 1040 and Schedules, U.S. Individual Income Tax Return.

Purpose of the Collection: Individual taxpayers use this form to report their taxable income and calculate their

correct tax liability.

Why Increase Occurred: As a result of the Xerox redesign project, IRS revised the earned income credit and

child tax credit worksheets to improve understandability and reduce taxpayer errors. 

The IRS corrected the number of references to the Internal revenue Code and the

number of line items, both used in estimating hours. The IRS also adjusted the hour

estimates based on a better counting of responses.

Change in Burden: + 46,152,909 hours.

Agency: Department of Treasury

OMB Control No.: 1545-0085

Title: IRS Form 1040A and Schedules, U.S. Individual Income Tax Return.

Purpose of the Collection: Individual taxpayers use this form to report their taxable income and calculate their

correct tax liability.

Why Increase Occurred: As a result of the Xerox redesign project, IRS revised the earned income credit and

child tax credit worksheets to improve understandability and reduce taxpayer errors. 

The IRS corrected the number of references to the Internal revenue Code and the

number of line items, both used in estimating hours. The IRS also adjusted the hour

estimates based on a better counting of responses.

Change in Burden: + 14,421,592 hours.

Agency: Department of Treasury 

OMB Control No.: 1545-1610

Title: IRS Form 5500 and Schedules, Annual Return/Report of Employee Benefit Plan.

Purpose of the Collection: IRS uses this collection to verify that pension benefit plans, welfare benefit plans,

fringe benefit plans, and certain Direct Filing Entities are operating properly as

required under the law, or whether the plans should be audited.

Why Increase Occurred: IRS has revised Form 5500 and Schedules for tax year 1999. IRS re-computed the 

burden based on a study conducted by Mathematica Policy Research, Inc. 

Change in Burden: + 4,938,719 hours.

Agency: Department of Treasury 

OMB Control No.: 1550-0011

Title: General Reporting and Recordkeeping by Savings Association.

Purpose of the Collection: Savings associations use this information for internal management control purposes. 

OTS examiners use the information to determine whether savings associations are

being operated safely, soundly, and in compliance with regulations.

Why Increase Occurred: OTS intends to require written disclosures when nondeposit investment products are

sold to customers, written acknowledgments from customers indicating that they

received the required disclosures, written contracts meeting specified requirements

where a savings association enters into a networking agreement with a broker dealer,

and an annual regulatory compliance certification from broker dealers who enter into

such networking agreements.
72 Fiscal Year 2000 Information Collection Budget of the United States Government

Change in Burden: + 300,000 hours.

Agency: Department of Veterans Affairs

OMB Control No.: 2900-NEW

Title: National Survey of Veterans.

Purpose of the Collection: VA uses this collection to understand trends in health care, as well as the latest

characteristics of the veteran population. VA will use the information in its strategic

planning, policy analyses and budgeting purposes.

Why Increase Occurred: This is a new collection.

Change in Burden: +20,800 hours.

Agency: Department of Veterans Affairs

OMB Control No.: 2900-NEW

Title: Census of Enrollment Status and Health of Veterans, Veterans Short Form 36, VA

Form 10-21034 and VA Form 10-21034a through g.

Purpose of the Collection: VA uses this collection to obtain census data of enrollees.

Why Increase Occurred: This is a new collection.

Change in Burden: +754,050 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-NEW

Title: Standard Labels for Charges Associated with Federal Regulatory

Requirements/CMRS Carriers’ Truth in Billing Requirements

Purpose of the Collection: This information collection is used for compliance.

Why Increase Occurred: The FCC has ordered that common carriers use standard industry-wide labels to

display on telephone bills any line-item charges associated with federal regulatory

action. Uniform labeling will enable consumers to better understand the nature of the

charges and to compare accurately the price of services offered by competing carriers.

Change in Burden: +66,674 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-0869

Title: Review of the Commission’s Broadcast and Cable EEO Rules and Policies and

Termination of the EEO Streamlining Proceeding

Purpose of the Collection: This information collection invites comments on all aspects of the FCC’s proposals

for its broadcast EEO requirements that deal with anti-discriminatory hiring and

outreach provisions.

Why Increase Occurred: This burden represents several information collections currently in use. Upon

completion of the rule making, the burden will be distributed to the appropriate

individual collections. 

Change in Burden: +953,389 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-0897

Title: MDS and ITFS Two-Way Transmissions, Report and Order 

Purpose of the Collection: This information collection enhances the flexibility of MDS and ITFS operations by

facilitating the use of response stations, cellular configurations, signal booster stations

with program origination capability, and variable bandwidth (sub-channeling or superchanneling). This promotes the competitive position of the wireless cable industry,

augmenting the educational uses of these frequencies by ITFS entities and increasing

services to consumers.

Why Increase Occurred: The FCC adopted a Report and Order to implement the new two-way service for

MDS and ITFS transmissions.
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 73

Change in Burden: +214,892 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-0718

Title: Part 101 Governing the Terrestrial Microwave Fixed Radio Service

Purpose of the Collection: The FCC uses this information to verify the technical, legal, and other qualifications

of applicants to operate a station in the public and private operational fixed services. 

The information also helps to ensure the applicants and licensees comply with the

ownership and transfer restrictions imposed by Section 310 of the Act, 47 U.S.C.

Section 310. 

Why Increase Occurred: FCC adjusted the estimate to correctly reflect the 19,000 microwave record keepers

maintaining station records and shared use records.

Change in Burden: + 18,880 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-NEW

Title: FCC Form 160, Commission Registration System (CORES) Registration Form

Purpose of the Collection: Entities will use this collection to obtain an FCC registration number and to submit

any fines, fees, and debts owed the Commission.

Why Increase Occurred: This is a new system that is being implemented this year.

Change in Burden: + 83,000 hours.

Agency: Federal Communications Commission

OMB Control No.: 3060-NEW

Title: FCC Form 161, Commission Registration System (CORES) Update/Change Form

Purpose of the Collection: Entities will use this collection to provide updated identification information for their

registration with the Commission. 

Why Increase Occurred: This is a new system that is being implemented this year.

Change in Burden: + 41,500 hours.

Agency: Federal Energy Regulatory Commission

OMB Control No.: 1902-0060

Title: Gas Pipeline Certificates: Construction, Acquisition and Abandonment, FERC-537,

RM98-16 Final Rule

Purpose of the Collection: This information collection is required to evaluate the feasibility of jurisdictional

natural gas pipeline proposals that involve acquisition, construction and/or operation

of natural gas facilities.

Why Increase Occurred: Issuance of Final Rule RM98-16, Order No. 608, expanded the procedural regulations

governing the authorization of natural gas facilities and services. The regulations

offer prospective applicants seeking to construct, operate or abandon natural gas

facilities or services the option, in appropriate circumstances and prior to filing an

application, of designing a collaborative process that includes environmental analysis

and issue resolution. 

Change in Burden: + 13,230 hours.

Agency: Federal Energy Regulatory Commission

OMB Control No.: 1902-0128

Title: Gas Pipeline Certificates: Environmental Impact Statement, FERC-577, RM98-16

Final Rule

Purpose of the Collection: FERC uses this information to evaluate the environmental affects of construction

proposals and to help in the preparation of Environmental Assessments or

Environmental Impact Statements. This implements statutory provisions of Section

102(2)(C) of the National Environmental Policy Act of 1969 (NEPA)(Pub. L 91-90).
74 Fiscal Year 2000 Information Collection Budget of the United States Government

Why Increase Occurred: Issuance of Final Rule RM98-16, Order No. 608, expanded the procedural regulations

governing the authorization of natural gas facilities and services. The regulations

offer prospective applicants seeking to construct, operate or abandon natural gas

facilities or services the option, in appropriate circumstances and prior to filing an

application, of designing a collaborative process that includes environmental analysis

and issue resolution. 

Change in Burden: + 13,580 hours.

Agency: Federal Energy Regulatory Commission

OMB Control No.: 1902-0128

Title: Gas Pipeline Certificates: Construction, Acquisition and Abandonment, FERC-577,

RM98-17 Final Rule

Purpose of the Collection: FERC uses this information to evaluate the feasibility of jurisdictional natural gas

pipeline proposals that involve acquisition, construction and/or operation of natural

gas facilities.

Why Increase Occurred: Issuance of Final Rule RM98-17, Order No. 609, revised regulations to add certain

landowner notification requirements to ensure that landowners affected by a pipeline’s

proposal to construct natural gas pipeline facilities have sufficient opportunity to

participate in FERC’s certificate process. The final rule also requires pipelines to

conduct an abbreviated consultation with the National Marine Fisheries Service

concerning essential fish habitat, as required by regulations implementing the

Magnuson-Stevens Fishery Conservation and Management Act. Pipelines must also

apply the Upland Erosion Control, Revegetation and Maintenance Plan and the

Wetland and Waterbody Construction and Mitigation Procedures to activities

conducted under the pipelines’ construction certificates.

Change in Burden: +19,544 hours.

Agency: Federal Energy Regulatory Commission

OMB Control No.: 1902-0169

Title: Capacity Information, FERC-549B, RM98-10 Final Rule

Purpose of the Collection: Shippers of natural gas use this collection to release to other shippers who are seeking

capacity information about firm transportation and storage capacity.

Why Increase Occurred: The proposed changes issued in Final Rule RM98-10 include initiatives to revise

pipeline scheduling procedures, receipt and delivery point policies, and penalty

policies. Under the proposed regulations, cost-based regulation would be eliminated

for short-term transportation and replaced by regulatory policies intended to maximize

competition in the short-term transportation market.

Change in Burden: +61,391 hours.

Agency: Federal Energy Regulatory Commission

OMB Control No.: 1902-0112

Title: Well Category Determinations, FERC-568 (Reinstatement)

Purpose of the Collection: This information collection provides procedures for jurisdictional agencies to file

their determinations to FERC as to whether, as defined under NGPA Section 503, gas

is qualified as Section 107(c) "high cost natural gas." The agency makes the initial

determination and FERC can either affirm, reverse, remand, make a preliminary

finding, or take no action. 

Why Increase Occurred: The True Oil Co. v. Commissioner of Internal Revenue decision in 1999 has

prompted FERC to reconsider its prior action in Order No. 567 that deleted its

regulations implementing NGPA ceiling prices, and reinstate the regulations in order

to permit qualifying parties to obtain the tax credit provided under Section 29 of the

Internal Revenue Code.

Change in Burden: +10,818 hours.
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 75

Agency: Federal Trade Commission

OMB Control No.: 3084-0102

Title: Trade Regulation Rule Concerning Pay-Per-Call Services and Other Telephone-Billed

Purchases (“Pay-Per-Call Rule”)

Purpose of the Collection: This collection discloses cost and other information regarding pay-per-call services so

that consumers know in advance what charges they can expect to incur.

Why Increase Occurred: Most of the increase is due to program changes necessary to clarify or strengthen the

Rule’s legal requirements and ensure that it remains effective and consistent with the

purposes of the Telephone Disclosure and Dispute Resolution Act.

Change in Burden: +1,500,000 hours.

Agency: Nuclear Regulatory Commission

OMB Control No.: 3150-0195

Title: Voluntary Reporting of Performance Indicators

Purpose of the Collection: This information collection is used by nuclear power licensees to report to NRC

events that exceed thresholds detailed in the regulations, such as 10 CFR 50.72,

50.73, Part 20, and Part 73. NRC uses this information to formulate appropriate

responses to protect public health and safety.

Why Increase Occurred: In mid-1998, the nuclear industry offered to voluntarily send NRC selected

performance attributes known as performance indicators (PIs) as part of a larger effort

to improve the NRC’s oversight process. While the reporting of PIs will initially

increase licensee burden, the burden is expected to be more than offset by the reduced

effort of licensees to support NRC inspection activities. PIs will be transmitted

electronically to reduce the burden on licensees and NRC staff.

Change in Burden: 13,860 hours.

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0049

Title: Investment Advisers--Form ADV Under The Investment Advisers Act Of 1940

Purpose of the Collection: Investment advisers use this form to apply for registration with the Commission and

to update their registrations. 

Why Increase Occurred: The Division of Investment Management is considering recommending that the

Commission propose revising Form ADV and related rules to better disclose

information on advisers’ disciplinary history and to enhance the information provided

to clients and prospective clients about the advisory relationship.

Change in Burden: +12,090 hours.

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0158

Title: Rule 20a-1 Under The Investment Company Act Of 1940, Solicitation Of Proxies,

Consents And Authorizations

Purpose of the Collection: Companies use this form for proxy activities, to meet the proxy solicitation and

disclosure requirements of the Exchange Act and the 1940 Act. The collection

enables investment companies (“funds”) to provide investors with information

necessary to make informed decisions regarding the actions to be voted on.

Why Increase Occurred: Rule 20a-1 requires any person soliciting proxies for the election of fund directors to

comply with Regulation 14A. The Commission has proposed amendments to

Schedule 14A that would enhance disclosure in proxy solicitations for the election of

directors.

Change in Burden: +10,000 hours.

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0279
76 Fiscal Year 2000 Information Collection Budget of the United States Government

Title: Records To Be Preserved By Certain Exchange Members, Broker And Dealers – Rule

17a-4

Purpose of the Collection: This information collection has been amended to clarify and expand record keeping

requirements with respect to purchase and sale documents, customer records,

associated person records, customer complaints, and certain other matters.

Why Increase Occurred: After the passage of the National Securities Market Improvement Act, states cannot

have books and records requirements that are different or in addition to SEC rules. 

These changes were proposed after consultation with state securities regulators and

reviewing comments from the industry.

Change in Burden: +62,152 hours.

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0288

Title: Form 20-F

Purpose of the Collection: Foreign private issuers use this form to register securities under Section 12 of the

Exchange Act and to file an annual or transition report.

Why Increase Occurred: The Commission revised Form 20-F to conform to the international disclosure

standards endorsed by the International Organization of Securities Commissions in

1998. The initial increased burden is expected to decrease significantly over time as

foreign private issuers become familiar with the revised form.

Change in Burden: +30,210 hours.

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0307

Title: Form N-1A Under The Investment Company Act Of 1940, Registration Statement Of

Open-End Management Investment Companies

Purpose of the Collection: Open-end management investment companies use this form to register under the

Investment Company Act and to register their securities under the Securities Act of

1933. The registration process provides disclosure to investors and potential investors

to enable them to make investment decisions. The SEC uses the information filed on

this form to verify compliance with the federal securities laws. 

Why Increase Occurred: The SEC has submitted for OMB approval an amendment to Form N-1A to enhance

the information currently available about directors of open-end investment companies. 

The enhanced disclosure would enable investors to evaluate whether the directors can

act as independent, vigorous, and effective representatives of shareholders. The SEC

also estimates that the total annual burden of Form N-1A has increased because of an

increase in the number of filings on the form .

Change in Burden: +38,220 hours.

Agency: Securities and Exchange Commission

OMB Control No.: 3235-0307

Title: Form N-1A Under The Investment Company Act Of 1940, Registration Statement Of

Open-End Management Investment Companies

Purpose of the Collection: Open-end management investment companies use this form to register under the

Investment Company Act and to register their securities under the Securities Act of

1933. The registration process provides disclosure to investors and potential investors

to enable them to make investment decisions. The SEC uses the information filed on

this form to verify compliance with the federal securities laws.

Why Increase Occurred: The staff of the Division of Investment Management is evaluating whether to

recommend that the SEC issue a proposed rule to require that mutual funds disclose

after-tax returns.

Change in Burden: +224,000 hours.
Chapter 3. Significant Paperwork Reductions and Increases – FY 1999 and FY 2000 77

Agency: Social Security Administration

OMB Control No.: 0960-0603

Title: Form SSA-3373, Function Report - Adult, and Form SSA-3380, Function Report -

Third Party

Purpose of the Collection: Claimants use this form to furnish medical and other evidence to prove that they are

disabled, as stipulated by Sections 232(d)(5)(A) and 1631(e)(1) of the Social Security

Act, as amended. SSA uses the information collected to meet the regulatory

requirements and to record how the claimant’s condition affects his or her ability to

function.

Why Increase Occurred: SSA projects burden to increase due to the national implementation of forms SSA3373 and SSA-3380, which were initially tested in limited areas. See offsetting

burden reduction for OMB Number 0960-0555.

Change in Burden: +1,500,800 hours.

Agency: Social Security Administration

OMB Control No.: 0960-0604

Title: Form SSA-3370, Symptom Report

Purpose of the Collection: Claimants use this form to furnish medical and other evidence to prove that they are

disabled, as stipulated by Sections 232(d)(5)(A) and 1631(e)(1) of the Social Security

Act, as amended. SSA uses the information collected to meet the regulatory

requirements and to record how the claimant’s condition affects his or her ability to

function. Adult claimants are measured on how symptoms affect their ability to

function in a work setting, while a child is assessed on how the symptoms limit their

ability to function. State adjudicators and Administrative Law Judges use this

information to assess the effects of symptoms on functionality for determining

disability under the Social Security Act.

Why Increase Occurred: SSA plans to implement form SSA-3370 nationally. It was initially tested in limited

areas. See offsetting burden reduction for OMB Number 0960-0555.

Change in Burden: +893,333 hours.
78 Fiscal Year 2000 Information Collection Budget of the United States Government
79

Appendix A. Information Collection Budget Tables

In FY 1999, citizens spent an estimated 7.2 billion hours providing federal agencies the information

needed to fulfill agency responsibilities. This appendix describes in aggregate terms how that number

changed from FY 1998 and what the agencies expect to happen during FY 2000. 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 tables A.1 and A.2 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 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. 

We use the term “hours needed” in this report to emphasize that each agency, through internal review of

the collection by the agency’s Chief Information Officer (CIO) and OMB review of the collection, has

demonstrated that its collections are necessary to the proper performance of its statutory and

programmatic responsibilities. Federal agencies may not collect information from the public without a

well-defined need.

Information Collection Costs 

In addition to hours, agencies are required to report any other costs that the public bears to provide

information. Such costs may include the cost of mailing forms, the cost of computer systems necessary

to collect or submit required information, and the fees that must accompany certain forms.

The 1995 PRA added such costs to the statutory definition of information collection burden. Because

these costs are a relatively recent addition to agencies’ PRA accounting responsibilities, the agencies are

still refining their estimation methods, which vary from agency to agency. The estimates of aggregate

costs, provided in table A.3, should be viewed in this context. 

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 tax filers reporting capital

gains because of more people are participating in a strong stock market. 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 all of the change between one fiscal year total and the next. The tables

in this appendix list program changes and adjustments for each agency for FY 1999 and expected for FY
80 Fiscal Year 2000 Information Collection Budget of the United States Government

2000.

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. For the purposes of this ICB, OMB instructed agencies to consider

only statutes passed after January 1, 1995 as “recent.”

• 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 B. 

OMB distinguishes between these three kinds of program changes through the preparation of the ICB

and with the input of the agencies. In the tables in this report, however, only Changes due to New

Statutes and Changes due to Agency Action are listed. The Changes due to Lapse of OMB Approval are

not listed because they do not reflect changes to the time spent by the public on Federal information

collections but rather agency failure to maintain OMB approval of an ongoing collection as requires by

the PRA. Again, these lapses are captured in Appendix B.

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 Tables

Table A.1 starts with the FY 1998 Totals, as printed in the FY 1999 Information Collection Budget of

the United States Government.

The second column is “FY 1999 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. (Note: reduction in hours are

noted in the tables with parenthesis.) The third column is FY 1999 Program Changes expressed as a

percentage of the FY 1998 Total Hours Needed.

The fourth and sixth columns, “FY 1999 Changes Due to Agency Action” and “FY 1999 Changes Due to
Appendix A. Information Collection Budget Tables 81

New Statutes,” distinguish the cause for any noted changes. Any differences between the “FY 1999

Program Changes” and the sum of the “Agency Action” and “New Statutes” columns of “FY 1999

Changes Due to Agency Action” and “FY 1999 Changes Due to New Statutes” are due to lapses of

OMB approval, which are detailed in Table B.1 in Appendix B.

The fifth and seventh column present “FY 1999 Changes Due to Agency Action” and “FY 1999

Changes Due to New Statutes” as a percentage of the total information collection hours in FY 1999. 

These percentages are calculated by dividing the “Agency Action” or “New Statutes” hours,

respectively, by the total information collection hours currently being implemented. The current total

hours are the FY 1998 total as a base, added to the hours due to lapses of OMB Approval (see Appendix

B). This calculation is a more accurate measure of agency activity with respect to information

collection.

The eighth column is “FY 1999 Adjustments,” as carried in the OMB computer tracking system and

determined in consultation with the agencies. The sum of this column and the “FY 1999 Program

Changes” is the difference between the FY 1999 Total and the FY 1998 Total. The ninth column

presents FY 1999 Adjustments as a percentage of the FY 1998 Total.

The tenth column gives the “FY 1999 Total Hours Needed,” the sum of the hours needed for all

collections approved by OMB on October 1, 1999.

Table A.2 is similar to Table A.1, except that describes anticipated changes, rather than those that have

already taken place. Table A.2 starts from the FY 1999 Totals, as printed in Table A.1.

The second column, “FY 2000 Expected Program Changes,” includes all anticipated program changes

due to agency actions, new statutes, and possible lapses of OMB approvals. The columns “FY 2000

Expected Changes Due to Agency Action” and “FY 2000 Expected Changes Due to New Statutes”

distinguish the types of program changes expected. 

The eighth column, “FY 2000 Expected Adjustments,” is determined in consultation with the agencies. 

The sum of this column, “FY 2000 Expected Program Changes,” and “FY 1999 Total Hours Needed”

yields “FY 2000 Expected Total Hours Needed.” These are the total hours that the agencies and OMB

expect will be needed for all approved information collections in effect on October 1, 2000.
82 Fiscal Year 2000 Information Collection Budget of the United States Government FY 1998 Total Hours Needed FY 1999 Program Changes FY 1999 Changes Due to Agency Action FY 1999 Changes Due to New Statutes FY 1999 Adjustments FY 1999 Total Hours Needed Government Total 6,951.14 189.02 2.7% 18.40 0.3% 163.84 2.4% 43.71 0.6% 7,183.86 Government Total, excluding Treasury 1,248.90 24.79 2.0% 4.23 0.3% 13.84 1.1% 1.09 0.1% 1,274.78 #DIV/0! #DIV/0! Departments #DIV/0! #DIV/0! Agriculture 71.95 (8.32) -11.6% (1.32) -2.0% 0.16 0.3% 4.05 5.6% 67.68 Commerce 13.49 0.82 6.0% 0.78 5.8% 0.06 0.5% 0.01 0.1% 14.32 nonperiodic 6.80 0.40 5.9% 0.36 5.3% 0.06 0.9% 0.01 0.2% 7.21 periodic 6.69 0.42 6.2% 0.42 6.2% 0.00 0.0% 0.00 0.0% 7.11 Defense 119.00 (7.00) -5.9% (7.02) -5.9% 0.00 0.0% (0.27) -0.2% 111.73 Education 40.90 6.47 15.8% 6.30 15.4% 0.17 0.4% (5.30) -13.0% 42.07 Energy 4.46 0.02 0.4% 0.02 0.4% 0.00 0.0% 0.01 0.1% 4.48 Health and Human Services 139.31 12.94 9.3% (0.10) -0.1% 8.83 6.2% 12.11 8.7% 164.35 Housing and Urban Development 18.48 1.15 6.2% 0.58 3.2% 0.96 5.3% 0.11 0.6% 19.75 Interior 4.57 (0.21) -4.6% (0.16) -3.8% 0.23 5.4% 0.00 0.0% 4.36 Justice 25.82 11.37 44.0% 1.29 3.8% 1.57 4.6% (0.60) -2.3% 36.59 Labor 199.00 0.85 0.4% 0.57 0.3% 0.00 0.0% (3.88) -2.0% 195.96 State 28.90 (0.04) -0.2% 0.02 0.1% 0.00 0.0% 0.00 0.0% 28.85 Transportation 138.75 0.38 0.3% (0.32) -0.2% 0.70 0.5% 0.88 0.6% 140.00 Treasury 5,702.24 164.23 2.9% 14.17 0.2% 150.00 2.6% 42.61 0.7% 5,909.07 Veterans Affairs 2.64 2.63 99.5% 0.11 2.1% 0.01 0.1% 0.00 0.1% 5.27 #DIV/0! #DIV/0! Agencies #DIV/0! #DIV/0! EPA 119.18 2.02 1.7% 1.98 1.7% 0.04 0.0% (2.29) -1.9% 118.91 FAR 24.42 (0.54) -2.2% (0.54) -2.2% (0.00) 0.0% (0.46) -1.9% 23.42 FCC 30.34 3.18 10.5% 2.32 7.6% 0.78 2.6% (1.03) -3.4% 32.49 FDIC 7.56 (0.02) -0.3% (0.01) -0.2% 0.00 0.0% 0.43 5.7% 7.97 FEMA 4.68 0.20 4.2% (0.00) -0.1% 0.00 0.0% 0.10 2.1% 4.97 FERC 5.54 (1.52) -27.4% (1.52) -27.4% 0.00 0.0% (0.04) -0.7% 3.98 FTC 126.98 0.02 0.0% 0.02 0.0% 0.00 0.0% (0.44) -0.3% 126.56 NASA 7.71 (0.37) -4.8% (0.37) -4.8% 0.00 0.0% 0.00 0.0% 7.34 NSF 4.73 (0.00) -0.1% (0.00) -0.1% 0.00 0.0% 0.01 0.2% 4.74 NRC 9.67 (0.03) -0.4% (0.03) -0.4% 0.00 0.0% (0.12) -1.2% 9.51 SEC 75.67 2.17 2.9% 2.16 2.9% 0.01 0.0% (1.27) -1.7% 76.56 SBA 3.07 (1.40) -45.5% (0.20) -10.5% 0.00 0.0% (0.00) 0.0% 1.67 SSA 22.08 0.05 0.2% (0.32) -1.5% 0.32 1.5% (0.90) -4.1% 21.22 * Government Total does not include hours needed by Federal agencies subject to the Paperwork Reduction Act but not subject to OMB Bulletin 98-09. These agencies needed approximately 16.0 million hours in FY 1998. ** The FY 1998 Total Hours Needed for the Department of State is adjusted, as described in the FY 1998 ICB, appendix B. Table A.1: Information Collection Totals (millions of hours)
FY 1999 Total Hours Needed FY 2000 Expected Program Changes FY 2000 Expected Changes Due to Agency Action FY 2000 Expected Changes Due to New Statutes FY 2000 Expected Adjustments 

Government Total 176.93 7,183.86 2.5% 79.64 1.1% 34.56 0.5% 86.42 1.2% 

Government Total, excluding Treasury 127.06 1,274.78 10.0% 28.49 2.1% 35.83 2.7% (86.49) -6.8% 

#DIV/0! #DIV/0! Departments #DIV/0! #DIV/0! Agriculture 67.68 16.72 24.7% (0.89) -1.1% 3.34 4.1% 3.22 4.8% 

Commerce 14.32 22.81 159.3% 22.79 158.7% (0.01) -0.1% 1.06 7.4% 

 nonperiodic 7.21 0.68 9.4% 0.65 9.0% (0.01) -0.1% 1.06 14.7% 

 periodic 7.11 22.14 311.5% 22.14 311.5% 0.00 0.0% 0.00 0.0% 

Defense 111.73 0.41 0.4% 0.40 0.4% 0.00 0.0% (17.65) -15.8% 

Education 42.07 0.15 0.4% 1.64 3.9% (1.49) -3.5% 0.47 1.1% 

Energy 4.48 0.00 0.0% 0.00 0.0% 0.00 0.0% (0.01) -0.2% 

Health and Human Services 34.92 164.35 21.2% 13.79 7.8% 9.29 5.3% 1.19 0.7% 

Housing and Urban Development 4.79 19.75 24.3% 0.55 2.3% (0.01) -0.1% 0.05 0.2% 

Interior 4.36 0.57 13.1% 0.14 2.9% 0.03 0.7% 0.05 1.2% 

Justice 36.59 0.61 1.7% 0.42 1.1% 0.01 0.0% (0.21) -0.6% 

Labor 195.96 3.65 1.9% 0.71 0.4% 2.41 1.2% (21.16) -10.8% 

State 28.85 0.11 0.4% 0.00 0.0% 0.00 0.0% 0.00 0.0% 

Transportation 140.00 46.22 33.0% 4.62 2.7% 13.42 8.0% 0.34 0.2% 

Treasury 5,909.07 49.87 0.8% 51.15 0.9% (1.28) 0.0% 172.90 2.9% 

Veterans Affairs 5.27 1.54 29.1% 0.94 16.1% 0.00 0.0% 0.00 0.0% 

#DIV/0! #DIV/0! Agencies #DIV/0! #DIV/0! EPA 118.91 8.73 7.3% 8.07 6.8% 0.66 0.6% (2.47) -2.1% 

FAR 23.42 (3.62) -15.4% (3.62) -15.4% 0.00 0.0% 0.00 0.0% 

FCC 32.49 (2.82) -8.7% (4.16) -12.8% 1.34 4.1% 1.57 4.8% 

FDIC 7.97 0.00 0.0% 0.00 0.0% 0.00 0.0% (0.30) -3.8% 

FEMA 4.97 1.42 28.6% 0.28 4.7% 0.13 2.1% 0.01 0.1% 

FERC 3.98 (0.98) -24.5% (0.98) -24.5% 0.00 0.0% (0.00) -0.1% 

FTC 126.56 1.72 1.4% (4.98) -3.9% 6.70 5.3% (52.11) -41.2% 

NASA 7.34 (0.35) -4.8% (0.35) -4.8% 0.00 0.0% 0.00 0.0% 

NSF 4.74 (0.04) -0.8% (0.04) -0.8% 0.00 0.0% (0.04) -0.8% 

NRC 9.51 0.01 0.1% 0.01 0.1% 0.00 0.0% (0.15) -1.6% 

SEC 76.56 (12.30) -16.1% (12.30) -16.1% 0.00 0.0% (0.10) -0.1% 

SBA 1.67 1.22 72.7% (0.11) -3.5% 0.01 0.3% (0.23) -13.5% 

SSA 21.22 1.56 7.4% 1.56 7.4% 0.00 0.0% (0.03) -0.1% 

Table A.2: FY 2000 Information Collection Totals (millions of hours)
84 Fiscal Year 2000 Information Collection Budget of the United States Government

FY 1999 Estimated 

Total Cost Burden

FY 2000 Expected 

Total Cost Burden

Government Total $ 79,334.4 78,839.4 $ 

Government Total, 

excluding Treasury $ 78,955.8 78,494.3 $ 

Departments

Agriculture 1.0 $ 1,374.5 $ 

Commerce 39.6 $ 40.1 $ 

Defense 41.9 $ 1.3 $ 

Education 13.6 $ 22.2 $ 

Energy 303.9 $ 303.7 $ 

Heath and Human 

Services $ 423.7 332.6 $ 

Housing and Urban 

Development $ 247.7 3,245.6 $ 

Interior 27.4 $ 61.4 $ 

Justice 1,664.4 $ 1,783.7 $ 

Labor 2,900.6 $ 3,761.0 $ 

State 1.2 $ 8.2 $ 

Transportation 7,279.6 $ 7,838.8 $ 

Treasury 345.2 $ 378.7 $ 

Veterans Affairs 0.0 $ 0.0 $ 

Agencies

EPA 9,679.9 $ 9,695.1 $ 

FAR 28,764.1 $ 28,752.4 $ 

FCC 3,368.0 $ 3,360.2 $ 

FDIC - $ - $ 

FEMA 3.4 $ 24.9 $ 

FERC 223.0 $ 166.0 $ 

FTC 205.3 $ 109.1 $ 

NASA 12,814.9 $ 12,799.5 $ 

NSF 0.6 $ 0.6 $ 

NRC 27.1 $ 27.1 $ 

SEC 7,301.7 $ 7,568.9 $ 

SBA 254.6 $ 551.0 $ 

SSA - $ 12.2 $ 

Table A.3: Information Collection Totals

(millions of dollars)
4

 44 U.S.C. 3506(c)(3)(C).

5

 5 U.S.C. chapter 6.

85

Appendix B. Paperwork Reduction Act Compliance

The Paperwork Reduction Act of 1995

The Paperwork Reduction Act of 1995 (PRA) requires federal agencies to request OMB approval before

collecting information from the public. The 1995 PRA seeks to minimize the amount of paperwork the

public is required to complete for federal agencies. At the same time, however, the PRA also recognizes

that good information is essential to agencies’ ability to successfully serve the public. To that end, the

PRA gives OMB the responsibility to evaluate the agency’s information collection request by weighing

the practical utility of the information to the agency with the burden it imposes on the public. In its

review, OMB talks to the agency about how to strike the right balance.

The Chief Information Officer (CIO) in each agency should have in mind the big picture of what

information the agency needs and how it collects, manages, and uses that information. The CIO is to

oversee the agency’s planning and decisions about what new collections of information are needed, and

what existing collections should be extended or discontinued. The development of an information

collection is an involved process and requires careful planning. First and foremost, agencies need to

think carefully about what information is needed, from whom, and how best to get it. Once they have

made those decisions, they need to estimate the amount of time members of the public would spend

providing the information as designed. Agencies then publish the proposed collection in the Federal

Register for a 60-day public comment period.

After reviewing the public comment and revising the proposed collection as appropriate, agencies submit

the information collection request to OMB for review, discussion, and approval (or disapproval). In

seeking OMB’s approval, the agency needs to demonstrate that the collection of information is the most

efficient way of obtaining information necessary for the proper performance of the agency’s functions,

that the collection is not duplicative of others the agency already maintains, and that the agency will

make practical use of the information collected. The agency also must certify that a proposed

information collection “reduces to the extent practicable and appropriate the burden” on respondents,4

including, for small business, local government, and other small entities, the use of the techniques

outlined in the Regulatory Flexibility Act.5

The public has further opportunity to comment on a proposed collection once it has been submitted to

OMB, at which point the agency publishes a notice in the Federal Register advising the public on how to

comment to OMB about the information collection request. The public – during OMB’s review and at

any other time – is to have opportunity to make its views known concerning any Federal data collection,

both as to its perceived practical utility and the reporting burdens involved.

OMB can approve a data collection for no more than three years, at which point the agency must resubmit the collection for re-approval. Many collections are periodic and may be approved for only a

single usage before revision and re-approval. When OMB grants approval for a collection, it issues a

“control number,” which is displayed on the collection itself (for example, in the upper right corner of
86 Fiscal Year 2000 Information Collection Budget of the United States Government

6

 44 U.S.C. 3514(a)(2)(A)(ii).

the form, “OMB No. xxxx-xxxx").

Monitoring Agencies’ Compliance with the PRA

To help the public and the agencies monitor compliance with the information collection provisions of the

PRA, OMB annually publishes a list of violations of the PRA and its implementing regulation.6

 OMB

published such a list in the ICBs for FY1998 (Appendix A) and FY1999 (Appendix B), and does so

again in this Appendix. 

Many of the violations listed here are in fact lapses of OMB approval for ongoing collections. On

average, OMB desk officers review and approve over 3,200 information collections each year. The

inventory of approved information collections government-wide identifies over 7,600 on an ongoing

basis. The OMB approval for roughly 1,000 of these expires each year, and agencies subsequently

request OMB extend approval to approximately 800 of those 1,000. If an agency fails to submit a

request for re-approval before its existing approval expires, then that collection lapses and is

automatically deleted from OMB’s inventory of approved information collections. 

Sometimes, however, an agency continues to use a collection for which the OMB approval has expired. 

This is a violation of the PRA. If the approval has lapsed, the agency needs to submit an appropriate

request to OMB to reinstate approval of the collection. To help agencies monitor upcoming expirations

and plan accordingly for either discontinuing the collection or requesting continued OMB approval of its

implementation, OMB each month sends the agencies a list identifying which collections will expire

within 150 days. Staff turn-over can make agencies’ compliance with the PRA more difficult to manage,

so OMB offers training to agency PRA staff to help them understand the importance of and procedures

for complying with the PRA.

Agencies’ Efforts to Mitigate PRA Violations in FY 1999

In the FY 1999 ICB, OMB described its plan to work with agencies and their CIOs to correct existing

PRA violations and prevent future ones. To help both the agencies and the public monitor the status of

information collections, OMB announced that it would modify its web site to provide the public up-todate information about the review and approval status of information collections. A visitor to the OMB

web site at <http://www.whitehouse.gov/OMB/>, under the topic “Information and Regulatory Policy,”

can review an entry for information collections currently under review by OMB and recently expired. 

This listing is updated daily. The visitor also can review the entire OMB inventory of approved

information collections, which includes for each entry the expiration date for the OMB approval.

After the FY 1999 ICB was published, OMB made further efforts to work with the CIOs to prevent

future PRA violations. The FY 1999 ICB documented 872 lapses of OMB approval and other violations

of the Paperwork Reduction Act, more than 370 of which remained unresolved as of May 1999. OMB

then wrote to the President’s Management Council and each of the CIOs, stating that “this situation is

unacceptable; we must fix it immediately and prevent it from happening again.” These memoranda

requested agencies to provide a timetable to resolve each violation listed in the FY 1999 ICB, and to

“describe your procedures by which the Chief Information Officer will prevent future violations, both

through the monthly review of OMB’s computer-generated reports and through general oversight of and

participation in the agency’s programmatic functions.” For the full text of these memoranda, see

Appendix C.

Agencies responded to this memorandum by working with OMB staff to resolve existing violations and
Appendix B. Paperwork Reduction Act Compliance 87

by describing for OMB how they would prevent future PRA violations. A summary of these plans and

efforts follows:

Agriculture: To improve compliance with the PRA, USDA’s CIO directed her staff to use OMB’s

monthly reports as a basis for discussing with Agency Information Collection Coordinators the status of

the renewal process for each expiring collection and for monitoring Agency progress. The CIO also

directed her staff to train program staff of the need to obtain and maintain approval for information

collections and of the consequences of collecting information without valid approvals.

In 1999, the CIO also instituted a new process for expired collections. If an ongoing collection expires,

CIO staff prepares a memorandum to the appropriate Agency Administrator describing the violation and

requesting a timetable for remediation. The memo also includes a list of upcoming expirations for the

agency. The memo draws senior management's attention to the issues so that they can take appropriate

action to avoid further violations.

Commerce: Commerce has a good history of resolving violations as soon as they are identified. The

PRA staff, with the support of the CIO, is able to encourage Department bureaus to ensure that OMB

approval for a collection does not lapse. To improve their management, the CIO has begun sending

memoranda based on OMB's monthly reports to senior management on an "as needed basis" to inform

them of expiring paperwork requirements and to remind them of their obligations under the Act.

Defense: The Department maintains a department-wide automated inventory of all OMB-approved

information collections. DOD uses the inventory to monitor the collections on a regular basis. Program

units within DOD receive monthly “early warning” reports that identify specifically which collections

will expire during the next six months.

Education: The Education Department (ED) has taken several important steps to prevent ongoing

collections from expiring. First, ED has either reinstated or officially terminated each violation

identified in the FY 1999 ICB. ED also has begun issuing each principle office within the Department a

monthly report on the status of ongoing collections. The report lists all unresolved violations, expected

expirations, the number and status of "emergency" clearance requests, paperwork burden reduction

efforts, data quality improvement activities, training activities on information management and

processes, and emerging information collection requirements for the future. ED's CIO is to review this

report every month with each Assistant Secretary.

Energy: Energy’s CIO is responsible for both forms management and information collection. Within the

CIO’s office, the Office of Information, Records, and Resource Management (OIRRM) is assigned the

day-to-day responsibility of working with the appropriate program offices to carry out the Department’s

information collection activities. OIRRM reviews all information collection activities during the annual

ICB process to ensure that collections are not scheduled to expire. The Department also reviews OMB’s

monthly reports to prevent inadvertent expirations of information collection requests.

HHS: During the past year, HHS has made progress in avoiding new expirations of existing collections,

particularly in the Health Care Financing Administration. Importantly, the Department, in consultation

with OMB, has identified and resolved several violations involving newly adopted collections.

Of particular note within HHS are the efforts taken by FDA. FDA re-engineered its PRA approval

process to eliminate a historical backlog of expired collections and to position the Agency to maintain its

fully compliant status. In re-engineering its PRA process, FDA encouraged the programs to consider
88 Fiscal Year 2000 Information Collection Budget of the United States Government

information collection issues during regulatory planning meetings, to conduct further staff training on

PRA compliance, and to expand use of web-based technology to share information, tools, and templates

with internal (agency) and external (industry) customers. FDA is working closely across its programs,

with other parts of HHS, and with OMB to sustain the effort. 

HUD: Under direction from HUD’s CIO, PRA staff has worked to strengthen review processes and

better coordinate with HUD program offices. HUD continues to work on an automated ICB tracking

system that will help it coordinate and manage its information collection activities.

Interior: The Department of Interior is working to prevent future PRA violations by training staff, better

tracking and scheduling renewals, improving guidance documents, and focusing resources on potential

problem areas. Interior has trained several DOI bureaus on PRA requirements and the process for

requesting OMB approval of information collections. The Department also has developed a guidance,

now on its web site, that explains in detail how to request OMB approval; the Department plans to

append this guidance with a Frequently Asked Questions section based on the bureaus’ experience

applying the guidance over the past two years. The Department forwards to the bureaus the monthly

OMB reports and subsequently discusses the reports with OMB. The Office of Surface Mining

Reclamation and Enforcement has a computerized tracking program that helps them manage their

collections more efficiently, and has offered to share this system with other bureaus. Finally, the

Department has identified website surveys as a potential problem area for new violations, and is

developing a special education program for bureau personnel to address this issue.

Justice: The Department of Justice has implemented several changes to ensure it complies with the PRA. 

The CIO has automated and standardized some elements of the PRA requirements. A full-time Justice

Management Division employee has been appointed and trained to review and process information

collection requests. The Department has standardized documents and memoranda used in the PRA

process. It is deploying the Justice Consolidated Office Network, with internet access, to all

workstations to improve staff's ability to monitor and communicate about information collections. 

Justice and OMB began exchanging information electronically in February 1999,which is helping the

agency receive and instantly disseminate OMB reports throughout the Department. Lastly, the CIO has

installed a Management Information System to track the status of each information collection during

each step of the review and approval process.

Labor: To prevent future PRA violations, the Departmental Clearance Officer will meet monthly with

agency clearance officers in order to more closely monitor the status of collections as their expiration

dates approach. Labor plans to notify OMB by e-mail of their intent to discontinue a collection.

State: After a comprehensive review of all of its information collection activities, State developed an

internal database and tracking program and put in place a process by which staff give nine-month

warning of pending expirations, to ensure there are no lapses in approval. 

Transportation: DOT has established procedures for avoiding PRA violations. Of particular note is their

monthly report to their Deputy Secretary (and all operating administrations (OAs)) about any expired

collections. The procedures effectively alert the OAs of expiring reports and generally ensure that there

is adequate time to complete the proper PRA process for renewing a collection. 

Treasury: Treasury has a plan in place to prevent violations and has demonstrated success in this area. 

Treasury reported four resolved FY 1999 violations in its submission for this ICB. When a collection is

due to expire within 120 days, the PRA management office contacts the appropriate Treasury bureaus
Appendix B. Paperwork Reduction Act Compliance 89

and offices and requests a schedule for re-submission for OMB approval. The CIO also has indicated

that he plans to (1) brief bureau CIOs about the need to prevent future violations and (2) educate

Treasury offices about PRA requirements. 

VA: VA continues to improve PRA compliance in new rulemakings and in incorporating all mandated

disclosure statements on its forms. This disclosure statement points out that if the information collection

does not display a valid OMB control number, the respondent is not obligated to respond and cannot be

penalized for not responding.

EPA: To avoid the expiration of OMB approval for ongoing information collections, EPA maintains a

comprehensive tracking system to help notify program office contacts of the key action dates necessary

to keep their information collections properly approved. If a program office experiences a delay in the

submission of a request to extend or change an existing information collection, the agency submits a

request to OMB for emergency extension of the collection’s approval until the clearance package can be

delivered to OMB for review. EPA has identified only two violations since OMB began tracking

violations in the FY 1998 ICB. 

FAR: The FAR’s existing procedures have prevented Lapses of OMB approval for any FAR collections. 

FCC: The FCC has instituted new procedures to eliminate future Paperwork Reduction Act violations. 

Each monthly report from OMB is forwarded electronically to all bureaus and offices in the Commission

to alert them of pending expirations. As an additional safeguard, in 1999 the Commission implemented

a new internal procedure to notify each bureau or office by e-mail five to ten days before the end of the

month that an information collection is about to expire. The e-mail requests the bureau or office to take

action. FCC has found this new procedure to be working effectively to prevent PRA violations.

FDIC: FDIC reported two resolved FY 1999 violations in its ICB submission. FDIC tracks approved

collections and notifies program managers when their collections are due to expire within 150 days. 

PRA and program staff work together to prepare PRA submissions to OMB. PRA staff also monitors the

monthly OMB inventory reports and reviews the OMB website daily to verify that OMB has received

FDIC's PRA submissions. 

FERC: The CIO of FERC has delegated authority to the Commission's Clearance Officer (CO) to

comply with the PRA. The Clearance Officer coordinates the Commission's information collection

activities with its program offices, other federal agencies, and the public. Each of the Commission's

program offices has a designated information collection coordinator responsible for evaluating PRA

collection requests, whether new, revised, or for reinstatement. The Clearance Officer provides the

program coordinators OMB's monthly report. The Clearance Officer also provides each program office a

quarterly report to allow sufficient time for assessing any continued need for expiring collections and

devoting resources for desired collection renewals. The CO also prepares a directory of the

Commission's data collections, which is posted on the Commission's web site. This helps both

Commission staff and the public get information about and monitor the status of the Commission's

collections. FERC's system works well – in 12 years, FERC has only had one violation.

FTC: The agency has never had any known PRA violations since the 1995 PRA. FTC's General

Counsel's office has done excellent work in monitoring compliance and ensuring that there is adequate

time to perform all the necessary steps for renewing information collections before they expire.

NASA: NASA’s existing procedures have satisfactorily prevented Lapses of OMB approval for its
90 Fiscal Year 2000 Information Collection Budget of the United States Government

collections, reporting only 2 quickly resolved lapses in the FY 1999 ICB and none this ICB.

NSF: The National Science Foundation takes its PRA responsibilities very seriously and carefully

monitors its database of current and expiring collections. In FY 1999, two ongoing collections expired

but NSF immediately sought OMB reinstatement of their approval. NSF plans to continue its diligent

compliance with the PRA. 

NRC: The CIO requires each office director and regional administrator to designate an information

management coordinator to serve as the contact for all the information collection activities for the office. 

The coordinates evaluate the supporting documentation for identified information collections and

coordinate with CIO staff on new, revised, and renewed information collections. The CIO sends each

office a quarterly schedule of clearances to be renewed to ensure that each office has adequate time to

plan the resources needed to assess the continued need for the collections and to prepare to renew them

if necessary. For all continuing collections, the CIO reviews OMB’s monthly reports to ensure that

OMB's and NRC's records are in agreement and that any necessary renewal actions have been initiated

for expiring collections.

SEC: The Securities and Exchange Commission has a management structure in place to manage

compliance with the PRA. Each rule-making division of SEC, in addition to the Office of the Chief

Accountant and the Division of Enforcement, has a PRA coordinator assigned to develop and organize

the submission of information collection packages. The coordinators work with each other and the

Office of the General Counsel to implement the PRA and ensure that submissions accurately reflect the

information SEC is required to collect or disclose. General Counsel distributes to staff and regularly

updates a handbook on complying with the PRA, in accordance with OMB guidance and procedures.

The handbook is issued to the PRA coordinators and the rule-making divisions, ensuring that

information collections created by proposed regulatory actions are quickly identified and forwarded to

the proper personnel. General Counsel helps staff and management apply the handbook. The Chief

Information Clearance Officer issues monthly notices of expiring collections and instructs each PRA

coordinator to update these information collection packages and submit them to the CIO’s Office. These

packages are due 150 days before their expiration date, allowing sufficient time for internal review and

the issuance of 60-day and 30-day notices before they are submitted to OMB.

SSA: The Social Security Administration's various offices are routinely informed of PRA requirements

through staff meetings and an annual reminder issued during preparation of SSA’s Information

Collection Budget submission to OMB. SSA encourages paperwork, printing, publication, and

procurement staff to work with the agency's paperwork clearance office to prevent violations. SSA has a

system to prevent PRA violations by notifying program offices well in advance of upcoming expirations

of OMB approvals and then monitoring and tracking the preparation and submission of approval requests

to OMB. Finally, the agency reviews regulations under development as well as impending legislation in

order to identify potential information collection activities. 

PRA Violations

Section 5(C) of OMB Bulletin No. 99-06 (September 17, 1999) asked each agency to documents its

compliance with the information collection provisions of the PRA. Appendix B of OMB Bulletin No.

99-06 indicated that OMB is required to report to Congress all violations of the PRA and its

implementing regulations.

Agencies were asked to report (1) the title of the information collection, (2) the nature of the violation,
Appendix B. Paperwork Reduction Act Compliance 91

7

 “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).

and (3) how the violation was discovered and remedied. The violations reported are described in three

lists. This lists document 704 violations of the Paperwork Reduction Act, only 228 of which remain

unresolved as of March 15, 2000 (the cut-off date for preparing these lists). This is a substantial

improvement over the unresolved violations identified in the FY 1999 ICB.

The first list, “FY 1999 Lapses in OMB Approval, Resolved as of March 15, 2000,” identifies by agency

(and agency division) those ongoing collections of information for which OMB approval had expired. 

The Departments of Justice and Veterans Affairs both have a significant number of entries on this table,

89 and 93, respectively. This high number reflects significant progress during the last year resolving

these problems.

The second list, “FY 1999 Lapses in OMB Approval, Unresolved as of March 15, 2000,” identifies

ongoing agency use of an expired information collection. Agencies with a large number of entries

include the Departments of Agriculture and Housing and Urban Development. The Department of

Veterans Affairs also has a large number of unresolved lapses.

The third list, “FY 1999 Violations: Collections without OMB approval or modified without OMB

approval,” identifies 89 agency uses of an information collection (or substantive or material modification

thereof)7

 without having first obtained OMB approval under the PRA.
92 Fiscal Year 2000 Information Collection Budget of the United States Government

Table B.1: FY 1999 Lapses in OMB Approval

Resolved as of March 15, 2000

OMB

Control

Number Collection Title

Date of

Expiration

Date of

Reinstatement

Date 

Discontinued

Department of Agriculture

Animal and Plant Heath Inspection Service

0579-0084 Tuberculosis 12/31/1998 7/26/1999

0579-0088 Domestic Quarantines 12/31/1996 8/2/1999

Farm Service Agency

0560-0006 Peanut Quota Regulations for the 1996-2002 Crops 8/31/1997 1/18/2000

0560-0016 Application for FSA County Employment 10/31/1998 9/30/1999

0560-0025 Farm Reconstitutions 10/31/1997 3/15/2000

0560-0074 Cotton Loan Program 1/31/1998 10/1/1999

0560-0082 Conservation and Environmental Program 7/31/1997 3/30/1999

0560-0146 Debt Settlement Policies and Procedures 7/31/1996 3/24/1999

0560-0148 Importer Assessments 12/31/1996 12/29/1998

0560-0155 Implementation of Preferred Lender Program and Streamlining of

guaranteed Regulations

7/31/1998 12/29/1998

0560-0157 Insured Farm Ownership Loan Policies, Procedures, and

Authorizations

5/31/1998 2/11/1999

0560-0159 Emergency Loan Policies, Procedures, and Authorizations 8/31/1997 9/27/1999

0560-0163 Small Farmer Outreach, Training, and Technical Assistance 12/31/1998 9/30/1999

0560-0164 Disaster Set-Aside Program 8/31/1998 3/22/1999

0560-0176 Request for Aerial Photography 10/31/1997 3/24/1999

0560-0179 Livestock Indemnity Program 1/31/1998 11/12/1999

0560-0182 Tobacco Marketing Quota Referenda Ballot 9/30/1998 9/7/1999

0560-0191 Flood Compensation Program 5/31/1999 9/21/1999

0560-0193 Small Hog Operation Payment Program 7/31/1999 8/9/1999

Food and Nutrition Service

0584-0005 Special Milk Program for Children 12/31/1998 8/24/1999

0584-0025 Civil Rights Title VI - Collection Reports 12/31/1998 9/30/1999

0584-0037 Report of Coupon Issuance and Commodity Distribution for Disaster

Relief

9/30/1997 12/3/1998

0584-0052 Affidavit of Return or Exchange of Food Coupons 11/30/1997 11/18/1998

0584-0067 State Administrative Expense Funds 9/30/1998 9/21/1999

0584-0479 Waiver Guidance for Food Stamp Time Limits 6/30/1997 2/5/1999

Food Safety and Inspection Service

0583-0090 Ante-Mortem and Post-Mortem Inspection 11/30/1997 3/15/2000

Foreign Agricultural Service

0551-0008 Request for Vessel Approval 9/30/1998 4/12/1999

0551-0026 FAS/Cooperator Foreign Market Development Program 12/31/1998 6/27/1999

0551-0031 List of Commodities by Firm Available for Exporting 10/31/1998 5/24/1999

Forest Service

0596-0085 Forest Products Free Use Permit, Forest Products Removal Permit

and Cash Receipt, and forest Products Sale Permit and Cash Receipt

8/31/1997 1/4/1999

0596-0097 Interpretive Association Annual Report 6/30/1997 8/20/1999

0596-0099 Application for the Senior Community Service Employment Program 6/30/1997 5/26/1999

0596-0120 Stewardship Incentive Program 6/30/1998 7/14/1999

0596-0128 Recreational Participation and Environmental Activity Survey 2/29/1996 10/19/1999

0596-0129 The Day Use Study 9/30/1996 10/18/1999

Office of the Chief Financial Officer

0505-0001 Advisory Committee Membership Background Information 11/30/1998 12/21/1998
Appendix B. Paperwork Reduction Act Compliance 93

OMB

Control

Number Collection Title

Date of

Expiration

Date of

Reinstatement

Date 

Discontinued

Rural Business-Cooperative Service

0570-0015 Rural Development Loan Servicing 4/30/1998 3/30/1999

Rural Housing Service

0575-0018 Civil Rights Compliance Requirements 8/31/1997 2/1/1999

0575-0045 Farm Labor Housing Loan and Grant Policies, Procedures, and

Authorizations

7/31/1998 1/29/1999

0575-0064 Certificates of Beneficial Ownership and Insured Notices 11/30/1997 4/30/1999

0575-0127 Application Certification, Federal Collection Policies for Consumer

or Commercial Debts

11/30/1997 3/24/1999

0575-0166 Single-Family Housing 9/30/1999 11/19/1999

Rural Utilities Service

0572-0001 Prospective Large Power Service 8/31/1999 3/15/2000

0572-0003 Accounting Requirements for RUS Telephone Borrowers 10/31/1998 3/15/2000

0572-0015 Financial Requirement and Expenditure Statement 9/30/1997 9/27/1999

0572-0051 Request for Mail List Data 11/30/1997 7/20/1999

0572-0105 Demand Side Management and Integrated Resource Plan 6/30/1997 7/16/1999

Department of Commerce

Bureau of Export Administration

0694-0107 National Defense Authorization Act 7/31/1998 10/15/1998

International Trade Administration

0625-0061 Commercial News USA 12/31/1998 5/26/1999

0625-0105 Petition Format for Requesting Relief Under the U.S. Antidumping

Duty Law

9/30/1998 5/26/1999

0625-0118 Information on Articles for Physically or Mentally Handicapped

Persons Imported Free of Duty

6/30/1998 10/15/1998

0625-0143 Information Service Order Form 12/31/1998 5/26/1999

0625-0200 Antidumping and Countervailing Duties Procedures for Initiation of

Downstream Product Monitoring

9/30/1998 11/26/1999

0625-0217 User Satisfaction Surveys 12/31/1998 5/26/1999

Minority Business Development Agency

0640-0002 Automated Business Enterprise Locator System 12/31/1998 8/11/1999

0640-0007 Narrative Reporting Require. 11/30/1998 11/26/1999

National Oceanic and Atmospheric Administration

0648-0145 Deep Seabed Mining Reg for Exploration License 11/30/1998 5/26/1999

Patent and Trademark Office

0651-0012 Admittance to Practice and Roster of Registered Patent Attorneys and

Agents Admitted to Practice Before the PTO

8/31/1999 12/7/1999

0651-0016 Rules for Patent Maintenance Fees 7/31/1999 12/7/1999

0651-0027 Changes in Patent and Trademark Practices 12/31/1998 5/3/1999

Department of Defense

Defense Finance and Accounting Service

0730-0001 Child Annuitant’s School Certification 12/31/1995 3/1/1999

Department of the Air Force

0701-0001 Application for Training Leading to a Commission in the USAF 1/31/1998 3/1/1999

0701-0026 Nomination for Appointment to the United States Military Academy,

Naval Academy, and Air Force Academy

5/31/1998 10/29/1998

0701-0087 Air Force Academy Precandidate Questionnaire 9/30/1998 12/7/1998

0701-0125 Nutritional Medicine Service Patient Evaluation 6/30/1996 6/24/1999

0701-0126 Food/Exercise Diary 6/30/1996 6/24/1999

0701-0130 Nutritional Assessment and Dietary Intake 5/31/1997 6/24/1999

0701-0133 Motor Vehicle Traffic Accident Report 5/31/1997 3/1/1999

0701-0135 Medical Treatment Facility Incident Statement 9/30/1997 6/24/1999
94 Fiscal Year 2000 Information Collection Budget of the United States Government

OMB

Control

Number Collection Title

Date of

Expiration

Date of

Reinstatement

Date 

Discontinued

Department of the Army

0702-0018 Uniform Tender Rates and/or Charges for Transportation 1/31/1996 11/29/1998

0702-0022 Tender of Service and Letter of Intent 10/31/1995 10/29/1998

0702-0027 Signature and Tally Record 5/31/1997 10/29/1998

0702-0060 Pre-Candidate Procedures 2/28/1998 6/24/1999

0702-0061 Candidate Procedures 2/28/1998 8/13/1999

0702-0062 Offered Candidate Procedures 2/28/1998 6/24/1999

0702-0083 Application for the U.S. Army ROTC 2-year and 3-year Scholarship 8/31/1998 2/28/1999

0702-0088 Freight Carrier Qualification Statement/Required Documents 3/31/1998 10/29/1998

Department of the Navy

0703-0029 Application for Commission or Warrant Rank, USN or USNR 9/30/1999 12/1/1999

Departmental and Others

0704-0006 Request for Verification of Birth 9/30/1998 12/7/1998

0704-0056 Tender of Service, Mobile Homes 3/31/1998 11/3/1998

0704-0167 Request for Reference 1/31/1994 10/29/1998

0704-0221 Request for Visit Authorization 12/31/1997 5/11/1999

0704-0295 Reimbursement Information, Psychiatric Residential Treatment

Centers Serving Children and Adolescents

1/31/1994 4/30/1999

0704-0320 Procurement Technical Assistance Cooperative Agreement

Performance Report

4/30/1997 4/30/1999

0704-0364 Continued Health Care Benefit Program (CHCBP) Application 5/31/1995 6/30/1999

0704-0377 Industrial Capabilities Questionnaire 6/30/1998 4/30/2000

0704-0384 DoD Request for Personnel Security Investigation 9/30/1998 8/11/1999

Office of the Assistant Secretary for Health Affairs

0720-0003 Statement of Personal Injury; Possible Third-Party Liability,

CHAMPUS

9/30/1997 6/30/1999

0720-0008 TRICARE Enrollment Application Form 9/30/1998 11/23/1999

U.S. Army Corps of Engineers

0710-0007 Terminal and Transfer Facilities Survey 8/31/1998 11/16/1998

0710-0008 Lock Performance Monitoring System (PMS) Waterway Traffic

Report

7/31/1998 12/3/1998

Department of Education

Office of Special Education and Rehabilitative Services

1820-0017 Annual Vocational Rehabilitation Program/Cost Report 9/30/1997 12/14/1998

Office of Vocational and Adult Education

1830-0026 Adult Education State Plan 11/30/1994 1/29/1999

Department of Health and Human Services

Administration for Children and Families

0970-0004 Annual Statistical Report on Children in Foster Homes and Children

in Families Receiving Payments in Excess of the Poverty Income

Level from a State Program Funded under Part A of....

5/31/1998 1/5/1999

0970-0034 Refugee and Entrant Unaccompanied Minor Placement Report

Refugee and Entrant Unaccompanied Minor Progress Report

6/30/1999 11/4/1999

0970-0036 Quarterly Performance Report 12/31/1998 7/6/1999

0970-0037 Low-Income Home Energy Assistance Program Quarterly Allocation

Estimates

6/30/1998 11/16/1998

0970-0123 Runaway and Homeless Youth Management Information System

(MIS)

12/31/1994 10/5/1999

0970-0137 Family Preservation Family Support (FP/FS) and Services

Implementation Study, State Level Data Collection

3/31/1999 6/21/1999

0970-0140 Head Start Fellows Program 7/31/1999 10/21/1999

0970-0163 Child Care and Development Fund Quarterly Financial Report 12/31/1998 4/1/1999

0970-0165 Temporary Assistance for Needy Families Quarterly Financial

Report, ACF-196

10/31/1998 4/19/1999
Appendix B. Paperwork Reduction Act Compliance 95

OMB

Control

Number Collection Title

Date of

Expiration

Date of

Reinstatement

Date 

Discontinued

0970-0174 Native Employment Works (NEW) Program Plan Guidance and

Report Requirements

6/30/1998 3/4/1999

0970-0181 Child Support Enforcement Program Financial Report, Child Support

Enforcement Program Quarterly Report of

8/31/1999 12/15/1999

Centers for Disease Control and Prevention

0920-0006 Application of Excludability under Immigration and Nationality Act 9/30/1998 12/4/1998

0920-0009 National Disease Surveillance Program —— I. Case Reports 11/30/1996 2/4/2000

Food and Drug Administration

0910-0001 New Drug and Antibiotic Regulations 11/30/1989 11/18/1998

0910-0012 Veterinary Adverse Drug Reaction, Lack of Effectiveness, Product

Defect Report

4/30/1997 12/17/1998

0910-0117 Investigational Use of New Animal Drugs 12/31/1997 1/8/1999

0910-0120 Premarket Notification Submission (510(k)), Subpart E 8/31/1993 10/29/1998

0910-0124 Establishment and Product License Application 6/30/1998 11/29/1998

0910-0139 Current Good Manufacturing Practice; Proposed Amendment of

Certain Requirements for Finished Pharmaceuticals

2/29/1996 6/21/1999

0910-0213 Specific Product Requirements, Electronic Products 6/30/1998 12/3/1998

0910-0230 Adverse Drug Experience Reporting 5/31/1996 5/3/1999

0910-0231 Premarket Approval of Medical Devices 4/30/1999 8/11/1999

Health Care Financing Administration

0938-0027 Request for Certification as a Supplier of Portable x-ray and Portable

x-ray Survey Report Form under the Medicare/Medicaid Program...

5/31/1999 8/30/1999

0938-0065 Request for Certification in the Medicare and/or Medicaid Program

to Provide Outpatient Physical Therapy and/or Speech Pathology

Services Outpatient Physical Therapy/Speech...

5/31/1999 8/30/1999

0938-0354 Annual Early and Periodic Treatment Services (EPSDT) Participation

Report

3/31/1999 6/30/1999

0938-0490 Critera for Medicare Coverage of Heart Transplants 12/31/1997 9/30/1999

0938-0680 Field Testing of the Uniform Needs Assessment Instrument: SmallScale Trial Phase 21/31/1998 7/1/1999

0938-0738 National Medicare Education Program (NMEP) Community Survey 3/31/1999 9/12/1999

0938-0763 The Adjusted Community Rate Proposal (ACRP) M+C Plan Benefit

Package

9/30/1999 3/13/2000

Health Resources and Services Administration

0915-0061 Progress Reports for Continuation of Training Grants 12/31/1997 11/18/1998

Indian Heath Service

0917-0009 Indian Health Service Medical Staff Credentials and Privileges Files 10/31/1998 8/13/1999

Office of Human Development Services

0980-0047 Child and Family Services Plan (CFSP), Annual Progress and

Services Review, and Annual Budget Expense Request And

Estimated Expenditures -- CFS-101

12/31/1998 5/25/1999

0980-0141 State Plan for Foster Care and Adoption Assistance Title IV-E of the

Social Security

8/31/1999 9/29/1999

0980-0180 Certification of Maintenance of Effort 6/30/1995 10/2/1998

0980-0242 Appeal Procedures for Head Start Grantees and Current or

Prospective Delegate Agencies

8/31/1998 8/25/1999

0980-0243 Head Start Grants Administration 9/30/1998 8/26/1999

Department of Housing and Urban Development

Government National Mortgage Association

2503-0009 Schedule of Subscribers and GNMA II Contractual Agreement 9/30/1998 5/18/1999

2503-0016 Transmittal, Resolution of Board of Directors, Servicing Agreement 

GNMA

9/30/1998 3/16/1999

2503-0031 Customer Satisfaction Survey 6/30/1998 11/3/1998

Office of Community Planning and Development

2506-0117 Consolidated Plan for Community Development 12/31/1998 6/1/1999

2506-0154 Base Closure Community Redevelopment and Homeless Assistance 12/31/1998 3/23/1999
96 Fiscal Year 2000 Information Collection Budget of the United States Government

OMB

Control

Number Collection Title

Date of

Expiration

Date of

Reinstatement

Date 

Discontinued

Office of Housing

2502-0001 Personal Financial and Credit Statement 9/30/1998 11/1/1999

2502-0052 Statement of Profit and Loss 9/30/1998 3/22/1999

2502-0057 Eligibility of Non-Profit Corporation 11/30/1997 3/18/1999

2502-0098 Financial Statement 6/30/1998 3/1/1999

2502-0122 Application for Designation of Fee Personnel 11/30/1997 9/30/1999

2502-0187 Requisition for Disbursement of 202 Loan Funds 6/30/1998 3/17/1999

2502-0243 Land Sales Registration 5/31/1998 1/11/1999

2502-0267 Section 202 Supportive Housing for the Elderly Application 6/30/1998 7/26/1999

2502-0331 Project Application 6/30/1995 3/12/1999

2502-0404 Single Family Mortgage Instruments 8/31/1998 3/25/1999

2502-0416 Request for Termination of Multifamily Insurance 5/31/1998 11/18/1999

2502-0418 Statement of Taxes 8/31/1998 3/18/1999

2502-0462 Section 811 Supportive Housing for Persons with Disabilities 6/30/1998 6/9/1999

2502-0483 Section Repayment Agreement 5/31/1998 9/19/1999

2502-0512 Automated Clearinghouse Title I Insurance 5/31/1998 10/30/1998

Office of Lead-Based Paint and Poison Prevention

2539-0013 NOFA Local Lead Hazard Awareness Campaign 7/31/1998 10/19/1998

2539-0014 NOFA National Lead Hazard Awareness Campaign 8/31/1998 10/19/1998

Office of Public and Indian Housing

2577-0200 Mortgage Credit Analysis for Loan Guarantee Program 12/31/1997 12/9/1998

Office of the Secretary

2501-0013 HOME Investment Partnership 11/30/1997 11/25/1998

Policy Development and Research

2528-0142 Section 8 Random Digit Dialing Fair Market Rent Telephone Surveys 11/30/1998 1/20/1999

Department of Interior

Bureau of Indian Affairs

1076-0017 BIA Financial Assistance and Social Sciences Program- 25 CFR Part

20

6/30/1993 6/8/1999

1076-0018 Tribal Colleges Grant Application Form - 25 CFR 41 6/30/1993 9/28/1999

1076-0062 Application for Training, form BIA-3205 12/31/1992 5/26/1999

1076-0096 Education Contracts under Johnson-O’Malley Act Application - 25

CFR 273

7/31/1993 7/14/1999

1076-0105 Tribal Colleges Annual Report Form - 25 CFR 41 8/31/1993 9/28/1999

1076-0106 Higher Education Annual Report - 25 CFR 40, Subchapter E 1/31/1991 9/22/1999

1076-0107 Indian School Equalization Program Student Transportation Form 1/31/1991 7/21/1999

1076-0112 Contents of Reassumption Petition 11/30/1993 6/22/1999

1076-0120 Adult Education Annual Report Form 10/31/1997 8/16/1999

1076-0131 Indian Child Welfare Act Quarterly Report 1/31/1996 12/7/1998

1076-0134 Student Transportation Form 9/30/1997 7/21/1999

1076-0135 Reporting System for PL 102-477 Demonstration Project 3/31/1998 1/12/1999

Bureau of Land Management

1004-0114 Recordation of Location Notices and Annual Filings for Mining

Claims

9/30/1999 12/22/1999

Fish and Wildlife Service

1018-0010 Mourning Dove Call-Count Survey 11/30/1995 10/24/1998

1018-0019 North American Woodcock Singing Ground Survey 12/31/1995 10/24/1998

1018-0070 Incidental Take of Marine Mammals During Specified Activities

Application

2/28/1994 10/24/1998

Office for Equal Opportunity

1091-0001 DOI Applicant Background Survey 6/30/1999 1/20/2000
Appendix B. Paperwork Reduction Act Compliance 97

OMB

Control

Number Collection Title

Date of

Expiration

Date of

Reinstatement

Date 

Discontinued

Department of Justice

Federal Bureau of Investigation

1110-0004 Full-Time Law Enforcement Employees as of October 31 4/30/1998 7/28/1999

1110-0005 Age, Sex, and Race of Persons Arrested Over 18 and Under 18 Years

of Age.

5/31/1999 7/28/1999

1110-0006 Law Enforcement Officers Killed or Assaulted 3/31/1996 7/28/1999

1110-0008 Monthly Return of Arson Offenses Known to Law Enforcement 4/30/1998 7/28/1999

1110-0009 Analysis of Law Enforcement Officers Killed or Assaulted 2/28/1998 7/28/1999

1110-0021 Post-Graduate Evaluation of the FBI National Academy Survey

Booklet

10/31/1996 4/9/1999

1110-0026 Federal Firearms Licensee Enrollment Form 12/31/1998 9/9/1999

General Administration

1103-0027 Universal Hiring Grant Program Application 5/31/1998 11/13/1998

1103-0058 TRUST ‘‘99 7/31/1999 8/11/1999

1103-0061 COPS Count Survey 8/31/1999 2/26/1999

Immigration and Naturalization Service

1115-0007 Request for Verification of Naturalization 12/31/1998 10/15/1999

1115-0009 Application for Naturalization 9/30/1998 11/18/1998

1115-0011 Request for Information from Selective Service 12/31/1998 10/15/1999

1115-0015 Application for Replacement Naturalization Citizen 1/31/1998 9/17/1999

1115-0018 Application for Certificate of Citizenship 12/31/1998 5/4/1999

1115-0019 Application for Nonresident Alien's Mexican Border Crossing Card 9/30/1998 7/27/1999

1115-0029 Guarantee of Payment 2/28/1998 9/20/1999

1115-0035 Application for Transfer of Petition of Naturalization 12/31/1997 5/7/1999

1115-0037 Waiver of Rights, Privileges, Exemptions, and Immunities 12/31/1998 4/16/1999

1115-0042 Application for Waiver of Passport and/or Visa 12/31/1997 5/4/1999

1115-0049 Petition to Classify Orphan as an Immediate Relative Application for

Advance Processing of Orphan Petition

12/31/1998 4/26/1999

1115-0053 Application to Register Permanent Residence or Adjust Status--

Supplement A to Form I-485

1/31/1998 3/17/1999

1115-0055 Application for Stay of Deportation or Removal 7/31/1998 11/13/1998

1115-0057 Registration for Classification as a Refugee 7/31/1999 10/15/1999

1115-0059 Waiver of Foreign Residence Requirement 12/31/1998 4/5/1999

1115-0063 Baggage and Personal Effect of Detained Alien 7/31/1998 4/5/1999

1115-0068 Notice to Student or Exchange Visitor 10/31/1997 5/25/1999

1115-0070 Petition for Approval of School for Attendance of Nonimmigrant

Students

9/30/1998 10/7/1999

1115-0073 Application to Payoff or Discharge Alien Crewman 1/31/1998 5/26/1999

1115-0077 Arrival and Departure Record 11/30/1997 7/12/1999

1115-0085 Immigration Bond 12/31/1987 7/13/1999

1115-0093 Application to Extend/Change Nonimmigrant Status 12/31/1997 7/23/1999

1115-0098 Application by Refugee for Waiver of Grounds of Excludability 12/31/1998 4/26/1999

1115-0099 Application for Admission to Reapply for Admission into the United

States

9/30/1998 9/20/1999

1115-0108 Supplementary Statement for Graduate Medical Trainees 12/31/1997 5/25/1999

1115-0115 Alien Address Report Card 9/30/1998 9/20/1999

1115-0117 Petition for Amerasian, Widow(er), or Special Immigrant 1/31/1998 1/29/1999

1115-0118 Affidavit of Financial Support and Intent to Petition for Legal

Custody of Amerasian

9/30/1998 10/7/1999

1115-0122 Document Verification Request 3/31/1998 2/1/1999

1115-0128 Intracompany Transferee Certificate of Eligibility 1/31/1998 10/19/1999

1115-0129 Application for Temporary Replacement Card 12/31/1998 6/7/1999

1115-0130 Change of Address Card 12/31/1998 10/15/1999
98 Fiscal Year 2000 Information Collection Budget of the United States Government

OMB

Control

Number Collection Title

Date of

Expiration

Date of

Reinstatement

Date 

Discontinued

1115-0132 Application for Waiver of Grounds of Excludability 12/31/1998 4/16/1999

1115-0135 Notice of Appeal 9/30/1998 4/16/1999

1115-0136 Employment Eligibility Verification 1/31/1999 2/16/1999

1115-0140 Guam Visa Waiver Agreement 12/31/1998 4/21/1999

1115-0142 Immigration User Fee 9/30/1998 2/3/1999

1115-0145 Petition to Remove the Conditions on Residence 1/31/1998 1/14/1999

1115-0148 Visa Waiver Nonimmigrant Arrival/Departure Document 12/31/1998 4/26/1999

1115-0152 Application for Certificate of Citizenship on Behalf of an Adopted

Child

11/30/1997 5/7/1999

1115-0154 Certificate of Satisfactory Pursuit 9/30/1998 10/7/1999

1115-0155 Application to Adjust Status from Temporary to Permanent Resident 9/30/1998 10/7/1999

1115-0162 Request for the Return of Original Documents 9/30/1998 2/26/1999

1115-0163 Application for Employment Authorization 4/30/1998 2/23/1999

1115-0166 Application for Voluntary Departure Under the Family Unity

Program

10/31/1997 11/30/1999

1115-0180 Request for Hearing on a Decision in Naturalization Processing under

Sec. 336

12/31/1998 4/26/1999

1115-0182 Guidelines on Producing Master Exhibits for Asylum Applications 9/30/1998 6/7/1999

1115-0183 Notice of Immigration Pilot Program 9/30/1998 5/20/1999

1115-0184 Emergency Law Enforcement Assistance 9/30/1998 6/10/1999

1115-0190 Petition by Entrepreneur to Remove Conditions 12/31/1998 9/20/1999

1115-0192 Telephone Verification System (TVS) Phase II Pilot Non-Citizen

Employees Employment Status Report

9/30/1998 12/15/1998

1115-0196 Interagency Alien Witness and Informant Record 9/30/1998 10/19/1999

1115-0197 ABC Change of Address Form and Special Filing Instructions for

ABC Class Members

7/31/1998 8/23/1999

1115-0203 Application for Transmission of Citizenship Through a Grandparent 12/31/1997 6/1/1999

1115-0204 Re-engineered Foreign Students and Schools Pilot Program 8/31/1998 12/11/1998

1115-0219 Fax Request Form from Benefit Agency to INS for Confirmation of

Status of I-130, Petition and Fax Request Form from Benefit Agency

to EOIR for Confirmation of Status, OMB-14

9/30/1998 1/29/1999

1115-0220 Liberian Deferred Enforced Departure Form, I-765D 8/31/1998 9/29/1999

1115-0224 Attestation of Alien and Memorandum of Creation of Record, I-895 3/31/1999 2/28/1999

Legal Activities

1105-0052 Claims Under the Radiation Exposure Compensation Act 2/28/1998 11/10/1998

1105-0063 Data Base of Offender Job Training and Placement Service Providers 9/30/1998 7/28/1999

1105-0064 Appeal Fee Waiver Request 9/30/1998 7/19/1999

1105-0065 Notice of Appeal to the Board of Immigration Appeals of Decision of

Immigration Judge

9/30/1998 7/19/1999

1105-0066 Change of Address Form 9/30/1998 7/19/1999

Office of Justice Programs

1121-0024 Claim for Death Benefits 9/30/1998 5/5/1999

1121-0025 Report of Public Safety Officers Death 9/30/1998 5/5/1999

1121-0095 National Survey of Indigent Defense Systems 12/31/1983 11/10/1998

1121-0100 1999 Census of Jails 3/31/1994 5/5/1999

1121-0115 Victims of Crime Act, Crime Victim Assistance Grant Program,

Performance Report

9/30/1998 7/28/1999

1121-0130 National Judicial Reporting Program 12/31/1997 3/3/1999

1121-0140 EEO Program Guidelines 1/31/1998 9/15/1999

1121-0148 Denial of Federal Benefits for Drug Offenders 9/30/1998 5/24/1999

1121-0166 Report of Public Safety Officers Permanent and Total Disability 8/31/1994 11/13/1998

1121-0170 Crime Victim Compensation State Certification Form 4/30/1995 3/22/1999

1121-0184 School Crime Supplement 12/30/1995 11/10/1998
Appendix B. Paperwork Reduction Act Compliance 99

OMB

Control

Number Collection Title

Date of

Expiration

Date of

Reinstatement

Date 

Discontinued

1121-0185 Certification of Compliance with the Statutory Eligibility

Requirements of the Violence Against Women Act

3/31/1998 12/9/1998

1121-0217 State Identification Systems Formula Grant Program Application 11/30/1997 3/23/1999

1121-0220 Application for Federal Law Enforcement Dependents Assistance 1/31/1998 5/5/1999

1121-0223 Crime Mapping Survey 3/31/1998 8/20/1999

1121-0233 Certification of Compliance with Eligibility Requirements of Grants

to Combat Violent Crimes Against Women on Campuses

8/31/1999 10/15/1999

Department of Labor

Employment and Training Administration

1205-0015 Application for Alien Employment Certification 6/30/1999 11/22/1999

1205-0134 Forms for Agricultural Recruitment System of Services to Migratory

Workers

7/31/1999 12/10/1999

1205-0350 Standardized Participant 6/30/1996 10/16/1998

1205-0385 Welfare to Work Formula/Competitive Quarterly Status Report 6/30/1999 12/28/1999

Mine Safety and Health Administration

1219-0024 Application for Waiver of Surface Facilities Requirements 8/31/1998 12/8/1998

1219-0030 Main Fan Operation and Inspection - 30 CFR 57.22204 8/31/1996 11/13/1998

1219-0037 Noise Data Report Form and Calibration Records (30 CFR 70.506,

70.507, 70.508, 70.509, 71.801, 71.803 and 71.804)

9/30/1998 10/4/1999

1219-0073 Record of Mine Closure 8/31/1998 10/18/1999

Occupational Safety and Health Administration

1218-0110 Consultation Agreements 10/31/1994 6/10/1999

1218-0203 Permit-required Confined Spaces 6/30/1999 8/31/1999

Pension and Welfare Benefits Administration

1210-0053 ERISA Claims Procedure 9/30/1998 7/2/1999

Department of State

1400-0007 Application for Federal Employment 6/30/1998 10/28/1998

1405-0002 Application for Registration, Forms DSP-0009 and DSP-0009a 3/31/1996 1/19/1999

1405-0003 Application/License for Permanent Export of Unclassified Defense

Articles and Technical Data, Form DSP-0005

12/31/1995 1/19/1999

1405-0008 Registration/Application for Foreign Service Examination, Form

DSP-0024

6/30/1991 6/23/1999

1405-0013 Application/License for Temporary Import of Unclassified Defense

Articles, Form DSP-0061

12/31/1995 1/19/1999

1405-0021 Nontransfer and Use Certificate, Form DSP-0083 3/31/1996 1/19/1999

1405-0022 Application/License for Permanent/Temporary Export or Temporary

Import of Classified Defense Articles and Related Technical Data,

Form DSP-0085

12/31/1995 1/19/1999

1405-0023 Application/License for Temporary Export of Unclassified Defense

Articles, Form DSP-0073

12/31/1995 1/19/1999

1405-0025 Statement of Political Contributions, Fees, or Commissions in

Connection with Sale of Defense Articles or Services, Form Rpt.-

0017

3/31/1996 1/19/1999

1405-0036 Overseas Schools Questionnaire, Information Regarding Professional

Staff, Overseas Summary Budget Information, Overseas Schools

Request for Assistance

7/31/1998 10/28/1998

1405-0051 Authority to Export Defense Articles and Defense Services Sold

under the Foreign Military Sales Program, Form DSP-0094

3/31/1996 1/19/1999

1405-0076 Application for Assistance under The Hague Convention for

International Child Abductions (DSP-105)

8/31/1995 11/12/1999

1405-0080 Application for Consideration (Visa Program), Form Rprt-6 9/30/1994 3/1/1999

1405-0082 Petition to Classify Special Immigrant Under INA 203(B)(4) (DSP1884)2/28/1995 8/23/1999

1405-0092 Application for Amendment to License for Export or Import of

Classified or Unclassified Defense Articles and Related Technical

Data, Form DSP-0119

12/13/1995 1/19/1999
100 Fiscal Year 2000 Information Collection Budget of the United States Government

OMB

Control

Number Collection Title

Date of

Expiration

Date of

Reinstatement

Date 

Discontinued

1405-0093 Request for Approval of Manufacturing License Agreements, Form

Rprt-18

3/31/1996 1/19/1999

1405-0096 Nonimmigrant Fiancéé(e) "K" Visa Application, Form OF-156K 2/29/1996 12/15/1998

1405-0098 Supplemental Registration For The Diversity Immigrant Visa (DSP122)3/31/1997 11/26/1999

1405-0100 Application for A, G, NATO Visa, Form DS-1648 5/31/1997 11/12/1999

Department of the Treasury

1505-0123 Survey of Foreign Portfolio Investment in the United States 3/30/1997 10/4/1999

Financial Crimes Enforcement Network

1506-0005 Currency Transaction Report by Casinos 11/30/1997 2/17/1999

Office of Thrift Supervision

1550-0098 Privacy and Accuracy of Customer Information 3/30/1999 7/14/1999

Department of Transportation

Federal Highway Administration

2125-0196 Time Records 10/31/1998 10/31/1999

Department of Veterans Affairs

2900-0001 Veterans Application for Compensation or Pension 9/30/1998 10/16/1998

2900-0003 Application for Burial Benefits 5/31/1998 11/1/1999

2900-0009 Disabled Veterans Application for Vocational Rehabilitation, VA

Form 28-1900

5/31/1998 8/20/1999

2900-0011 Application for Cash Surrender or Policy Loan, VA Form 29-1546 5/31/1997 10/16/1998

2900-0014 Authorization and Certification of Entrance or Reentrance into

Rehabilitation and Certification or Status, VA Form 28-1905

9/30/1998 8/25/1999

2900-0020 Designation of Beneficiary 7/31/1998 10/23/1998

2900-0022 Notice of Intention to Foreclose, VA Form 26-6851 4/30/1997 9/30/1999

2900-0024 Insurance Deduction Application, VA Form 29-888 8/3/1998 8/25/1999

2900-0027 Application for Accrued Benefits by Veterans Surviving Spouse 7/31/1996 6/18/1999

2900-0028 Application for Service Representatives for Placement on Mailing

List, VA Form 3215

9/30/1998 11/2/1999

2900-0032 Report and Certification of Disbursement 7/31/1998 10/23/1998

2900-0033 Application for Reinstatement, VA Form 29-353 5/31/1997 3/30/1999

2900-0036 Statement of Disappearance, VA Form 21-1775 12/31/1996 1/22/1999

2900-0038 Information From Remarried Widower 7/31/1996 1/22/1999

2900-0041 Compliance Inspection Report, VA Form 26-1839 5/31/1998 10/16/1998

2900-0043 Declaration of Status of Dependents, VA Form 21-686c 3/31/1998 1/27/1999

2900-0046 Statement of Heirs for Payment of Credits Due Estate of Deceased

Veteran, VA FL 29-596

6/30/1998 10/16/1998

2900-0047 Financial Statement 5/31/1999 8/25/1999

2900-0049 Request for Approval of School Attendance, VA Forms 21-674 and

21-674c

9/30/1998 11/2/1999

2900-0052 Report of Medical Examination for Disability Evaluation 7/31/1996 6/21/1999

2900-0057 School Attendance Report, VA Form 21-674b 4/30/1998 6/21/1999

2900-0060 Claim for Life Insurance Proceeds, (NSLI & USGLI), Invitation and

Claim for One Sum Payment (NSLI & USGLI), Claim for Monthly

Installments (NSLI), and Claim for Monthly Installments (USGLI),

VA Forms 29-4125, 29-4125a, 29-4125b, 29-4125k, and 29-764

6/30/1998 1/11/1999

2900-0061 Request for Supplies, VA Form 1905m 9/30/1998 11/2/1999

2900-0064 Application for Amounts Due Estate of Persons Entitled to Benefits,

VA Form 21-609

9/30/1998 8/20/1999

2900-0065 Request for Employment Information in Connection With Claim 7/31/1996 6/21/1999

2900-0066 Request to Employer for Employment Information in Connection

with Claim for Disability Benefits, VA FL 29-459

1/31/1998 10/23/1998

2900-0068 Application for Service - Disabled Insurance, VA Forms 29-4364 and

29-4364-1

4/30/1997 8/20/1999

2900-0075 Statement in Support of Claim 8/31/1996 6/21/1999
Appendix B. Paperwork Reduction Act Compliance 101

OMB

Control

Number Collection Title

Date of

Expiration

Date of

Reinstatement

Date 

Discontinued

2900-0076 Request to Creditor Regarding Applicant’s Indebtedness, VA FL 26-

250

9/30/1998 1/11/1999

2900-0077 Court-Appointed Fiduciary’s Account, VA Form 21-4706c 9/30/1998 9/30/1999

2900-0085 Appeal to Board of Veterans’ Appeals; Withdrawal of Services by a

Representative; Fee Agreement; Motion for Review Expenses;

Request for Change in Hearing Date; and Motion for Reconsideration

7/31/1998 6/18/1999

2900-0091 Application for Health Benefits and Yearly Reapplication of Health

Benefits —— Title 38, CFR Sections 17.36(d)(1) and 17.36(d)(4)(iii)

7/31/1998 10/23/1998

2900-0094 Supplement to VA Forms 21-526, 21-534 and 21-535 (For Philippine

Claims)

9/30/1998 1/22/1999

2900-0095 Pension Claim Questionnaire for Farm Income, VA Form 21 -4165 12/31/1996 1/22/1999

2900-0103 Application for Dependency and Indemnity Compensation by Child,

VA Form 21-4183

6/30/1997 3/9/1999

2900-0111 Statement of Purchaser or Owner Assuming Seller's Loan, VA Form

26-6382

8/31/1998 1/27/1999

2900-0115 Supporting Statement Regarding Marriage, VA Form 21-4171 9/30/1998 6/18/1999

2900-0116 Notice of VA on Incarcerated Veteran 8/31/1996 8/25/1999

2900-0123 Federal Fiduciary's Account, VA Form 21-4706b 9/30/1998 9/30/1999

2900-0128 Notice of Lapse, VA Forms 29-398 and 29-398-1 6/30/1998 3/30/1999

2900-0129 Supplemental Disability Report, VA Form 29-30a 9/30/1998 1/22/1999

2900-0138 Request for Details of Expenses, VA Form 21-8049 9/30/1998 1/11/1999

2900-0143 Offer to Rent on Month-to-Month Basis and Credit Statement of

Prospective Tenant, VA Form 26-6725

7/31/1998 10/16/1998

2900-0144 HUD/VA Addendum To Uniform Residential Loan Application, and

Uniform Residential Loan Application, VA Form 26-1805a and

Freddie Mac 65/Fannie Mae Form 10003

6/30/1998 10/23/1998

2900-0148 Notice of Past Due Payment, VA Form 29-389e 9/30/1998 1/27/1999

2900-0149 Application for Conversion, VA Form 29-0152 7/31/1998 1/11/1999

2900-0153 Disability Benefits Questionnaire, VA Forms 29-8313 and 29-8313-1 7/31/1998 10/16/1998

2900-0160 Aid to States for Care of Veterans in State Homes 9/30/1996 1/8/1999

2900-0162 Monthly Certification of Flight Training, VA Form 22-6553c 8/31/1998 1/11/1999

2900-0168 Request for Estate Information, VA Form 21-439 7/31/1998 1/22/1999

2900-0179 Application for Change of Permanent Plan (Medical), VA Form 29-

1549

6/30/1998 1/11/1999

2900-0196 Report of Automatic Manufactured Home and/or Lot Loan, VA Form

26-8149

1/31/1997 9/30/1999

2900-0202 Application for Ordinary Life Insurance (Age 70), and Information

About Modified Life Insurance Reduction and Replacement Features

(Age 70), VA Forms 29-8485a and 29-8701

6/30/1998 10/23/1998

2900-0205 Application for Employment and Appraisal of Applicant for Title 38

Positions, VA Forms 10-2850, 10-2850A, 10-2850B, 10-2850C and

FL 10-341A

9/30/1998 2/9/2000

2900-0212 Veterans Mortgage Life Insurance Statement, VA Form 29-8691 6/30/1998 10/12/1998

2900-0216 Application for Reimbursement from Accrued Amounts Due a

Deceased Beneficiary, VA Form 21-601

8/31/1998 8/20/1999

2900-0234 Request to Mortgage Company for Amount of Unpaid Mortgage, VA

Form 29-712

7/31/1998 10/6/1998

2900-0252 Application for Authority to Close Loans on an Automatic Basis-Non

Supervised Lenders, VA Form 26-8736

4/30/1998 10/16/1998

2900-0253 Nonsupervised Lenders Nomination and Recommendation of Credit 5/31/1999 8/25/1999

2900-0255 Application for Dependency and Indemnity Compensation or Death

Pension (Including Accrued Benefits where Applicable) from the

Department of Veterans Affairs, VA Form 21-4182

9/30/1998 1/22/1999

2900-0270 Financial Counseling Statement, VA Form 26-8844 6/30/1998 5/3/1999

2900-0317 Request for Identifying Information Re: Veteran's Loan Records, VA

Form 26-626

6/30/1998 10/16/1998

2900-0324 Supplemental Physical Examination Report, VA Form 29-8100

(Series)

9/30/1998 6/18/1999
102 Fiscal Year 2000 Information Collection Budget of the United States Government

OMB

Control

Number Collection Title

Date of

Expiration

Date of

Reinstatement

Date 

Discontinued

2900-0342 Apprenticeship and On-The-Job Training Agreement and Standards,

and Employer’s Application to Provide Training, VA Forms 22-8864

and 22-8865

5/31/1998 10/6/1998

2900-0355 Verification of Pursuit of Course 5/31/1999 8/25/1999

2900-0387 Request for Verification of Deposit, VA Form 26-8497a 4/30/1998 10/6/1998

2900-0390 Application of Surviving Spouse or Child For REPS Benefits

(Restored Entitlement Program for Survivors), VA Form 21-8924

7/31/1998 6/21/1999

2900-0394 Certification of School Attendance-REPS, VA Form 21-8926 4/30/1997 10/16/1998

2900-0404 Veterans Application for Increased Compensation 11/3/1997 1/22/1999

2900-0405 REPS Annual Eligibility Report, VA Form 21-8941 9/30/1998 9/20/1999

2900-0408 Manufactured Home Loan Claim Under the Guaranty (Manufactured

Home Unit Only), Combination Loan (Manufactured Home Unit and

Lot or Lot Only), and Records Maintained by Holders of Loans, VA

Forms 26-8629 and 26-8630

2/28/1998 9/20/1999

2900-0463 Notice of Waiver of VA Compensation or Pension to Receive

Military Pay and Allowance, VA Form 21-8951

9/30/1998 5/28/1999

2900-0466 Certification of Balance on Deposit, VA Form 27-4718a 9/30/1998 9/30/1999

2900-0467 Mortgage Status Information, VA Form 26-8982 6/30/1998 9/30/1999

2900-0469 Certificate Showing Residence and Heirs of Deceased Veteran or

Beneficiary, VA Form 29-541

9/30/1998 1/22/1999

2900-0477 Notice of Default and Intention to Foreclose, VA Form 26-6850a 5/31/1997 9/30/1999

2900-0492 Vamatic Authorization 4/30/1996 8/20/1999

2900-0496 Claim For Veterans Mortgage Life Insurance, VA Form 29-0549 9/30/1998 3/9/1999

2900-0500 Status of Dependents Questionnaire, VA Form 21-0538 3/31/1998 1/22/1999

2900-0501 Veterans Mortgage Life Insurance Inquiry, VA Form 29-0543 8/31/1998 6/21/1999

2900-0503 Veterans Mortgage Life Insurance Change of Address Statement, VA

Form 29-0563

9/30/1998 6/21/1999

2900-0505 Collection of Government Funds Via Credit Card, VA Form 4-5579 6/30/1998 9/30/1999

2900-0507 Medical Information for Reinstatement, VA Form 29-762 9/30/1998 1/27/1999

2900-0509 Veterans Mortgage Life Insurance Health Statement 8/31/1998 9/30/1999

2900-0510 Application for Exclusion of Children’s Income, VA Form 21-0571 8/31/1998 1/22/1999

2900-0519 Locality Pay System Survey, Department of Veterans Affairs Nurses

Pay Act of 1990, VA Form 10-032

8/31/1998 8/25/1999

2900-0529 Study of Reproductive Health Outcomes Among Women Vietnam

Veterans

9/30/1998 9/30/1999

2900-0541 Customer Service/Lender Survey 6/30/1998 9/30/1999

2900-0545 Report of Medical, Legal, and other Expenses Incident to Recovery

for Injury or Death

9/30/1998 6/21/1999

2900-0556 Patient Advance Directive 3/31/1998 6/21/1999

2900-0558 National Health Survey of Gulf War Era Veterans and their Families 9/30/1998 9/30/1999

2900-0561 Study of Environmental Health and Persian Gulf War Syndrome, VA

Form 10-20989(NR)

5/31/1997 9/30/1999

2900-0582 Request for IRS 1099-MISC Tax Collection and Federal 1057 SocioEconomic Status4/30/1998 9/30/1999

Environmental Protection Agency

Air and Radiation

2060-0314 National Emission Standards for Hazardous Air Pollutants:

Aerospace Manufacturing and Rework Operations

1/31/1999 2/19/1999

Federal Communications Commission

3060-0059 Statement Regarding the Importation of Radio Frequency Devices

Capable of Causing Harmful Interference

7/31/1997 6/11/1999

3060-0207 Test of the Emergency Broadcast System and Radio Monitoring and

Attention Signal Transmission Requirements —— Sections 73.961

and 73.932

2/28/1997 6/11/1999

3060-0515 Miscellaneous Common Carrier and Record Carrier Annual Letter 11/30/1998 10/8/1999

3060-0636 Equipment Authorization, Declaration of compliance, Amendment of

Parts 2 and 15

9/30/1998 10/8/1999
Appendix B. Paperwork Reduction Act Compliance 103

OMB

Control

Number Collection Title

Date of

Expiration

Date of

Reinstatement

Date 

Discontinued

3060-0655 Requests for Waivers of Regulatory Fees Predicated on Allegations of

Financial Hardship, MD Docket No. 94-19

9/30/1998 10/8/1999

Federal Deposit Insurance Corporation

3064-0120 Flood Insurance 1/31/1999 4/13/1999

3064-0121 Certification of Compliance With Mandatory Bars to Employment 3/31/1999 5/24/1999

Federal Emergency Management Agency

3067-0009 Disaster Assistance Registration; Applicant Statement/Authorization;

Declaration of Applicant

2/28/1999 3/30/1999

3067-0020 Application for Participation in the National Flood Insurance

Program

12/31/1998 3/30/1999

3067-0022 National Flood Insurance Policy Forms 12/31/1998 3/30/1999

3067-0066 Request for Fire Suppression Assistance 10/31/1997 8/9/1999

3067-0141 Reimbursement for Cost of Firefighting on Federal Property 2/28/1999 8/9/1999

3067-0146 State Administrative Plans for the Individual and Family Grant

Program

7/31/1998 10/15/1998

3067-0166 Crisis Counseling Assistance and Training Program 10/31/1997 3/29/1999

3067-0169 Write Your Own (WYO) Program 5/31/1997 3/30/1999

3067-0201 Federal Assistance for Offsite Radiological Emergency Planning and

Preparedness Under Executive Order 12657

9/30/1998 4/30/1999

3067-0206 Financial and Technical Assistance Under Performance Partnership

Agreements

2/28/1999 6/22/1999

3067-0259 Write Your Own (WYO) Company Participation Criteria; New

Applicants

6/30/1998 4/30/1999

3067-0267 FEMA/FIA Cover America II Project 6/30/1998 9/2/1999

3067-0271 Flood Mitigation Assistance; Flood Mitigation Plan 6/30/1998 3/24/1999

Small Business Administration

3245-0016 Application for Business Loans 6/30/1999 3/1/2000

3245-0017 Disaster Business Loan Application 9/30/1996 2/4/1999

3245-0024 ProNet 12/31/1998 10/19/1999

3245-0096 Nomination for the Small Business Contractor of the Year 2/28/1999 10/4/1999

3245-0101 Application for Small Business Size Determination 9/30/1999 3/4/2000

3245-0141 Prime Contracts Program Quarterly Report 5/31/1999 10/15/1999

3245-0212 Secondary Market Disclosure and Assignment of Guaranteed Interest 6/30/1996 2/16/2000

3245-0226 Client Service Report and Verification Form (Non-Task Order

Service) —— Form 7-J

11/30/1997 6/17/1999

Social Security Administration

0960-0025 Partnership Questionnaire, SSA-7104 7/31/1999 9/15/1999

0960-0282 Vocational Rehabilitation "301" Program Development, SSA-4290 8/31/1999 9/29/1999

0960-0511 Disability Update Report, SSA-455 2/28/1999 3/30/1999

0960-0598 Work History Report, SSA-820 4/14/1994 1/15/1999
104 Fiscal Year 2000 Information Collection Budget of the United States Government

Table B.2: FY 1999 Lapses in OMB Approval

Unresolved as of March 15, 2000

OMB

Control

Number Collection Title

Date of

Expiration

Department of Agriculture

Farm Service Agency

0560-0004 Report of Acreage 6/30/1997

0560-0058 Tobacco Marketing Quota and Price Support Programs 9/30/1997

0560-0092 Forms for Participation in Price Support and Production Adjustment Programs 10/31/1998

0560-0134 Marketing Assessments –– Sugar —— 7 CFR Part 1435 6/30/1997

0560-0165 Agricultural Loan Mediation Program 3/31/1998

0560-0175 Noninsured Crop Disaster Assistance Program 5/31/1998

0560-0181 Request for FSA County Committee Ballot and Declaration of Eligibility to Vote 7/31/1998

Food and Nutrition Service

0584-0062 Annual Report NET Program 6/30/1999

0584-0083 Operating Guidelines, Forms and Waivers 12/31/1998

Food Safety and Inspection Service

0583-0092 Official Marking Devices, Labeling, and Packaging Material 12/31/1997

0583-0094 Exportation, Transportation, and Importation of Meat 12/31/1997

0583-0103 Pathogen Reduction, Hazard Analysis and Critical Control Point (HACCP) Systems 2/28/1999

Foreign Agricultural Service

0551-0024 Buyer Alert 11/30/1997

Forest Service

0596-0010 Forest Industries Data Collection System 12/31/1998

0596-0015 Airplane Pilot Qualifications and Approval Record, Helicopter Pilot Qualifications and

Approval Record, Airplane Data Record, and Helicopter Data Record

12/31/1998

0596-0016 Application for Permit, Non-Federal Commercial Use of Roads Restricted by Order 9/30/1998

0596-0017 Collection and Analysis of Timber Purchasers' Cost and Sales Data 12/31/1998

0596-0025 State and Private forestry Accomplishment Report 10/31/1999

0596-0080 Volunteer Application for Natural Resource Agencies 1/31/1998

0596-0084 Youth Conservation Corps Application and Medical History 10/31/1997

0596-0105 Land Ownership Adjustments, Land Exchanges 8/31/1998

0596-0106 Recreation Fee Permit Envelope 8/31/1998

0596-0118 Employment Interest Survey 10/31/1997

0596-0139 Research for Improving Public Involvement 8/31/1999

National Resources Conservation Service

0578-0007 Agricultural and Urban Drainage Surveys 6/30/1997

0578-0013 Long-Term Contracting Conservation Plan of Operations 8/31/1998

0578-0018 Application for Payment 9/30/1998

0578-0024 Volunteer Program - Earth Team 12/31/1998

Rural Utilities Service

0572-0002 Accounting Requirements for Electric Borrowers 9/30/1997

0572-0012 Manual for Preservation of Borrower's Records, Electric 10/31/1997

0572-0014 Report of Progress of Construction and Engineering Service and Engineer's Monthly

Report of Substation Progress

4/30/1996
Appendix B. Paperwork Reduction Act Compliance 105

OMB

Control

Number Collection Title

Date of

Expiration

0572-0023 Advance and Disbursement of Funds - Telephone Loan Program 8/31/1997

0572-0025 Review Rating Summary 2/28/1999

0572-0031 Financial and Statistical Report for Telephone Borrowers 9/30/1998

0572-0041 Request for Release of Lien and/or Approval of Sale 5/31/1996

0572-0059 Electric and Telephone Standards/Specifications Acceptance, Telephone Field Trials,

and Telephone Contract Forms

9/30/1997

0572-0076 REA Specification for Quality Control and Inspection of Timber 9/30/1997

0572-0079 Preloan Procedures & Requirements for Telephone Borrowers 12/31/1996

0572-0088 RUS Loan Prepayments and Related Reporting Burdens 12/31/1998

0572-0089 Wholesale Contracts for the Purchase & Sale of Electric Power 10/31/1997

0572-0095 RUS Policy on Audits of Electric and Telephone Borrowers 9/30/1998

0572-0096 Distance Learning and Telemedicine Loan and Grant Program 8/31/1999

0572-0097 Deferments of REA Loan Payments for RD Projects 8/31/1997

0572-0098 Borrower Investments, Telecommunications Loan Program 12/31/1998

0572-0099 Seismic Safety of New Building Construction 8/31/1999

0572-0100 Lien Accommodations and Subordinates 5/31/1996

0572-0102 Loan Account Computations, Procedures, and Policies 11/30/1997

0572-0104 State Telecommunications Modernization Plan 1/31/1998

0572-0107 Electric System Construction Policies and Procedures 11/30/1997

0572-0112 Technical Assistance and Training Grants 9/30/1997

0572-0113 Technical Assistance and Training Grants, Addendum I 12/31/1996

Department of Commerce

National Oceanic and Atmospheric Administration

0648-0314 Designation of Fisheries Mgmt Council Members and Application for Reinstatement of

State Authority

9/20/1999

Department of Education

Office of Postsecondary Education

1840-0700 Cancellation and Deferment Request Forms for the Federal Direct Student Loan 2/28/1998

Office of Special Education and Rehabilitative Services

1820-0577 Report of Program Settings Early Intervention Services 12/31/1997

Office of Vocational and Adult Education

1830-0027 Adult Education Financial and Performance Report 12/31/1993

1830-0503 Performance Report state-Administered Vocational Technical Education Programs 1/31/1997

1830-0510 Adult Education General Reporting Requirements 10/31/1994

Department of Health and Human Services

Administration for Children and Families

0970-0129 Collection of Child Welfare Data Under Voluntary Cooperative 1/31/1999

Centers for Disease Control and Prevention

0920-0004 National Disease Surveillance Program II - Disease Summaries 10/31/1996

Health Care Financing Administration

0938-0227 Medical Review of Outpatient Therapy 12/31/1997

0938-0279 Medicare Uniform Institutional Provider Bill 10/31/1995

0938-0366 Intermediate Care Facilities for the Mentally Retarded 10/31/1996

0938-0448 End Stage Renal Disease Death Notification 8/31/1997
106 Fiscal Year 2000 Information Collection Budget of the United States Government

OMB

Control

Number Collection Title

Date of

Expiration

0938-0475 Hospice Core Service: Nursing Information Collection 6/30/1999

0938-0564 Information Collection Requirements in BPD 302-F, Medicare Secondary Payer 3/31/1996

Office of Family Assistance

0992-0005 Automatic Data Processing Equipment and Services, Conditions Subpart F 9/30/1999

Office of Human Development Services

0980-0193 Small Business Innovation Research Program Phase Proposal; Cover Sheet Abstract of

Research Plan

8/31/1998

Substance Abuse and Mental Health Services Administration

0930-0258 Physical Therapist in Independent Practice Request 5/31/1999

Department of Housing and Urban Development

Government National Mortgage Association

2503-0026 Loan Level Reporting for the GNMA Mortgage Backed Securities Program 8/31/1997

Office of Community Planning and Development

2506-0121 Relocation and Real Property Acquisition Recordkeeping 8/31/1997

2506-0123 Section 108 Loan Guarantee Program 12/31/1996

2506-0152 Proposed rule: Residential Anti-Displacement and Relocation 8/31/1997

Office of Fair Housing and Equal Opportunity

2529-0034 Nondiscrimination Based Upon Handicap in Federally Assisted Programs and

Activities of the Department of HUD

3/31/1997

Office of Housing

2502-0005 Title II Approval of Lender Eligibility Requirements 6/30/1996

2502-0017 Title I Approval of Lender Eligibility Requirements 11/30/1994

2502-0029 Application for M/F Housing Project 9/30/1997

2502-0036 Request for Credit Approval of Substitute Mortgage 7/31/1999

2502-0047 Construction Complaint (HUD-92556), Request for Financial Assistance 9/30/1999

2502-0058 Supplement to Subscription Agreement for Cooperative Housing Applications Under

Section 213 and 221 (D)(3)

11/30/1996

2502-0086 Monthly Report of Excess Income 10/31/1999

2502-0094 Assistance Payment Contract - Notice of (1) Termination, (2) Suspension, or (3)

Reinstatement

9/30/1998

2502-0189 Compliance Inspection Report, Mortgagee’’s Assurance Completion 7/31/1998

2502-0210 Certification of Need for Health Facility 11/30/1994

2502-0233 Request and Payment for Labels, Manufactured Home Monthly Production Report,

Refunds Due Manufacturer, Adjustment Report and List or Damaged Label Report

7/31/1999

2502-0235 Reporting Requirements Associated with 24 CFR 203.508 and 235.1001 - Providing

Information

7/31/1997

2502-0275 Application for Transfer for Physical Assets (TPAs) 6/30/1997

2502-0301 Deed-in-Lieu of Foreclosure 4/30/1998

2502-0314 Loan Servicing of All Three Coinsurance Programs: Section 223(f), Section 221(d),

and Section 232

9/30/1998

2502-0324 Budget-Based Rent Increase 9/30/1998

2502-0328 Title I Property Improvement and Manufactured Home Loan Programs –– 24 CFR Part

201

7/31/1999

2502-0349 Certification for Adjustments for Damage and Neglect 9/30/1997

2502-0372 Preferences for Admission to Assisted Housing 1/31/1997

2502-0392 Actions to Reduce Losses in FHA Programs –– FR 2491 9/30/1999
Appendix B. Paperwork Reduction Act Compliance 107

OMB

Control

Number Collection Title

Date of

Expiration

2502-0407 Section 8 Housing Assistance Payments Program, Additional Assistance Program for

Projects with HUD-Held Mortgages –– 24 CFR Part 886, Subpart A, HAP Contract

7/31/1999

2502-0409 Section 8 Housing Assistance Payment (HAP) Contract, Part II 9/30/1999

2502-0412 Leased and Sale of HUD-Acquired Single Family Properties for the Homeless 7/31/1999

2502-0417 Reconciliation of Insurance Charges from the Title I Monthly Statement 9/30/1998

2502-0419 Mortgagee’’s Application for Insurance Benefits, Multifamily Mortgage 3/31/1999

2502-0420 Multifamily Coinsurance Claims Package 223(f) 10/31/1999

2502-0421 Risk-Based Annual Premiums: Monthly Remittance Summary 9/30/1998

2502-0422 Mortgage Record Change 7/31/1999

2502-0424 Pre-authorization Debit 4/30/1996

2502-0447 Service Coordinators in Section 8, 202, 221, and 236 Housing and Projects 6/30/1997

2502-0458 Disclosure of Probable Transfer of Loan Servicing 11/30/1997

2502-0460 Reporting Requirements for the Auction of Section 221(g)(4) Multifamily Mortgages 9/30/1998

2502-0470 Application Submissions Requirements, Conditional Commitment Through Final

Closing, Section 202 Housing for the Elderly, Section 811 Housing for Persons with

Disabilities

12/31/1996

2502-0492 Flexible Subsidy Program 10/31/1999

2502-0494 HUD Conditional Commitment/Direct Endorsement Statement of Appraised Value 7/31/1999

2502-0505 Comprehensive Needs Assessment (CNA) 8/31/1997

2502-0513 HUD Condominium ““ Spot Loan”” Checklist and Warranty 5/31/1997

2502-0529 Title I Electronic Data Collection 7/31/1999

2502-0533 Multifamily Housing Mortgage and Housing Assistance Restructuring Program (Markto-Market) Regulations3/28/1999

2502-0535 NOFA for Secondary Market for Non-Conforming Loans to Loan Wealth Borrowers

Demonstration Program

8/31/1999

Office of Public and Indian Housing

2577-0027 Public Housing Construction Report 10/31/1996

2577-0064 Electricity, Gas, Water, and Sewage Disposal Data 10/31/1996

2577-0125 Performance Funding System; Energy Conservation Savings 8/31/1997

2577-0195 Section 8 Certificates and Vouchers 7/31/1997

2577-0213 Report of Tenants Accounts Receivable, Indian 3/31/1997

2577-0216 PH/Section 8 Moving to Work Demo Request to Qual. 3/31/1997

Office of the General Counsel

2510-0006 Legal Instructions Concerning Applications for Full Insurance Benefits, Assignment of

Multifamily Mortgage to the Secretary

12/31/1996

2510-0009 Information Report to Owners and Managers of all HUD Assisted Housing in the

Boston Metropolitan Statistical Area

7/31/1997

2510-0010 Guide for Opinion of Counsel to the Mortgage 3/31/1997

Office of the Secretary

2501-0014 Restrictions on Assistance to Noncitizens –– FR-2383 10/31/1998

Department of Interior

Bureau of Indian Affairs

1076-0020 Direct Loan Guaranty Program Applications - 25 CFR 103 7/31/1995

1076-0094 Law and Order on Indian Reservations 3/31/1995

1076-0101 Higher Education Grant Program Application 5/31/1998

1076-0108 Indian School Equalization Program Student Membership Form 7/31/1993
108 Fiscal Year 2000 Information Collection Budget of the United States Government

OMB

Control

Number Collection Title

Date of

Expiration

1076-0114 Application for Admission to two Indian colleges, Forms BIA-6222 and BIA-6223 1/31/1994

1076-0128 Employer and Personal reference Inquiry Form 6/30/1994

1076-0136 Indian Self-Determination and Education Assistance Act Programs 6/30/1999

National Park Service

1024-0018 National Register of Historic Places Registration Form 5/31/1999

Department of Justice

Immigration and Naturalization Service

1115-0104 Health and Human Services Statistical Data for Refugee/Asylee 5/31/1998

1115-0201 Joint Employment Verification Pilot 3/31/1998

Office of Justice Programs

1121-0177 Edward Byrne Memorial State and Local Law Enforcement Assistance Program 4/30/1999

1121-0185 Certification of Compliance with Statutory Eligibility 6/30/1999

1121-0186 Certification of Compliance with the Statutory Eligibility Tribal Governments 3/31/1998

1121-0214 BJA-Byrne Formula Grant Program Annual Institutionalization Eligibility Requirement

of the Violence Against Women Act

10/31/1997

1121-0217 State Identification Systems Formula Grant Program Application Kit 9/30/1999

1121-0227 Use of Force in the Arrest of Persons with Impaired Judgement 3/31/1998

1121-0234 Requirements: Data Collection Application for the Juvenile Accountability Incentive

Block Grant Program

9/30/1999

Department of Labor

Employment and Training Administration

1205-0025 Job Corps Data Sheet 6/30/1996

1205-0026 Job Corps Statement from the Court 8/31/1995

1205-0031 Job Corps Request for Readmission 6/30/1996

1205-0035 Job Corps Placement and Assistance 9/30/1998

1205-0040 Senior Community Service Employment Program 10/31/1996

1205-0219 Job Corps Standard RFP Information Gathering 9/30/1997

1205-0243 JTPA Service Delivery Area Reorganization Plan Appeal 8/31/1997

1205-0310 Labor Condition Application and Requirements for Employers Using Non-immigrants

on H1B Visas in Specialty Occupations and as Fashion Models

3/31/1999

1205-0398 Workforce Investment Act Planning Guidance 8/31/1999

Department of State

1405-0046 Marine Note of Protest 9/30/1986

1405-0052 Seaman Action Certificate, Form FS-0463 10/31/1988

1405-0068 Medical History & Examination for Foreign Service Dependent (DS-1622 & DS-1843) 10/31/1994

1405-0077 Denial of Passports to Certain Persons Convicted of Drug Trafficking, Form Rpt.-7 6/30/1990

1405-0079 Application for Benefits for US Hostages (Check), Form DSP-108 3/31/1991

1405-0097 Ground Rules for U.S. Initiative on Joint Implementation, Form Rprt-2 1/31/1997

47-R0178 Statement of Non-Receipt of Passport 9/1/1978

Department of Veterans Affairs

2900-0005 Application for Dependency and Indemnity Compensation by Parent(s) (Including

Accrued Benefits and Death Compensation When Applicable)

1/31/1998

2900-0006 Application for Accrued Amounts of Veteran’s Benefits Payable to Surviving Spouse,

Child or Dependent Parents

4/30/1998

2900-0013 Application for United States Flag for Burial Purposes, VA Form 2008 9/30/1998
Appendix B. Paperwork Reduction Act Compliance 109

OMB

Control

Number Collection Title

Date of

Expiration

2900-0017 Fiduciary Account Book, VA Form 21-4718, and Fiduciary Account, VA Form 21-

4706

9/30/1998

2900-0034 Trainee Request for Leave - Chapter 31, Title 39, U.S.C., VA Form 28-1905h 6/30/1997

2900-0090 Application for Voluntary Service, VA Form 10-7055 7/31/1997

2900-0117 Inquiry Concerning Applicant for Employment, VA FL 5-127 1/31/1997

2900-0186 Computation of Loan Amount for Manufactured Home Unit, VA Form 26-8641A 1/31/1997

2900-0187 Placement Certification for Manufactured Home, VA Form 26-8644 12/31/1996

2900-0208 Architect-Engineer Fee Proposal, VA Form 8-6298, Supplement To SF-129,

Solicitation Mailing List, VA Form 8-6299 and Daily Report of Workers and

Material/Daily Log - Formal Contract, VA Form 8-6131

9/30/1998

2900-0227 Customer Feedback Surveys, VA Forms 10-1465D-H, J, and 10-5387 9/30/1998

2900-0265 Application for Counseling, VA Form 28-8832 9/30/1998

2900-0319 Fiduciary Agreement, VA Form 27-4703 8/31/1998

2900-0368 Monthly Statement of Wage Paid To Trainee, 38 U.S.C. Chapter 31, VA Form 28-1917 8/31/1997

2900-0393 VA Acquisition Regulations, (VAAR), 48 CFR Chapter 8, Parts 813, A, B, C, 814, and

815

11/30/1996

2900-0400 Complaints 38 CFR 18.55452, Notice of Subrecipient 38 CFR 18.532 7/31/1998

2900-0563 Army Chemical Corps Vietnam Health Study 3/31/1998

2900-0582 Request for IRS 1099-MISC Tax Collection and Federal 1057 Socio-Economic Status 4/30/1998

2900-0598 National Health Survey of Gulf War Era Veterans and their Families Phase III Physical

Examinations

9/30/1998

Federal Emergency Management Agency

3067-0113 The Declaration Process 10/31/1997

3067-0161 National Fire Incident Reporting System (NFIRS) 6/30/1998

3067-0163 Individual and Family Grant Program 12/31/1999

3067-0181 Survey of Contractor Responsibility 11/30/1996

3067-0207 Hazard Mitigation Grant Program Application 9/30/1996

3067-0208 Administrative Plan for the Hazard Mitigation Grant Program 9/30/1996

3067-0212 Hazard Mitigation Planning 9/30/1996

3067-0229 Mortgage Portfolio Protection Program 6/30/1998

3067-0235 Residential Basement Floodproofing Certificate 6/30/1998

Small Business Administration

3245-0071 Application for 503/504 Loan 6/30/1998

3245-0073 Application for CDC 11/30/1996

3245-0074 Annual Report Guide 11/30/1997

3245-0080 Statement of Personal History 6/30/1996

3245-0123 Management Training Report 9/30/1999

3245-0169 SBDC Program and Financial Report 9/30/1999

3245-0190 Supplemental Guaranty Agreement, Preferred Lenders Program 3/31/1997

3245-0205 8(a) Annual Update 1/31/1997

3245-0270 Semi-Annual Report on Services in Connection With Obtaining Federal 8(a) Contracts 4/30/1997

3245-0307 Surety Guarantee Graduation Questionnaire 9/30/1998

3245-0311 Office of Women’s Business Ownership Year-End Follow-Up Survey 8/31/1999
Table B.3: FY 1999 Violations Collections Without OMB Approval or Modified Without OMB Approval OMB Control Number Collection Title Description of Violation How Discovered and Rem

Department of Agriculture Office of the Chief Financial Officer 0505-0001 Advisory Committee Membership Background Information Modification of an approved form without OMB approval. The form approved under this inform

collection was put on the Internet wOMB approval. The violation was OCIO when another agency wishing form on the Internet notified OCIO was already available on another US

Farm Service Agency -- Hay Net Register Unapproved collection. OMB discovered the violation throu

bulletins and alerted the Departmennotified staff in FSA who indicated collection was exempt because it coidentifying information. However, piece of information, hay variety, wcollected which triggered the need fapproval. FSA resolved the violatiothe requirement for customers to spvariety. -- Mississippi State Customer Survey Unapproved collection. An article published in the USDA N

newsletter was brought to OCIO’s aagency. The collection was a one titherefore, OMB approval was not soInstructions were issued to informatregarding requirements of the PRA.
OMB

Control

Number Collection Title Description of Violation How Discovered and Rem

0560-0004 Report of Acreage Expiration and disapproval of ongoing collection. OMB sent a Notice of Action on 11

disapproving the reinstatement of thlacking need and practical utility. Tcontinues to conduct this collection currently valid OMB control numbe

-- Crop Data Report Pilot Project Unapproved collection. OCIO forwarded an information co

request to OMB for review on 06/14subsequently withdrew the collectiobased on concerns raised by OMB. with FSA staff revealed that the piloconducted without OMB approval. of the information collection approvtied to issues related to another collAcreage. 0560-0179 Livestock Indemnity Program Unapproved collection. OCIO received an information collerequest in conjunction with an interconversations with FSA staff, OMB the program in question had been incompleted without OMB approval orulemaking or the information collereturned the rule to the agency and ito withdraw the previously submittecollection, as they would not take acprogram had concluded.
OMB

Control

Number Collection Title Description of Violation How Discovered and Rem

0560-0188 Tree Assistance Program Unapproved collection. OCIO received an information colle

request in conjunction with an interconversations with FSA staff, it was the program in question had been incompleted without OMB approval orulemaking or the information collereturned the rule to the agency and inot to forward the information collewould not take action after the progconcluded. 0560-0191 Disaster Reserve Flood Compensation Program Unapproved collection. OCIO received and forwarded to OMinformation collection approval requwith an interim rule supporting the pHowever, the agency initiated the coreceiving OMB approval. OMB apcollection on 09/21/1999. 0560-0194 Standard Operating Agreement Governing Intermodal Transportation Unapproved collection. An internal FSA review revealed thto support the transportation of ComCorporation commodities had not bOMB. An approval request packagand OMB approved the information 07/14/1999. 0560-0195 Standard Rules Tender Governing Motor Carrier Transportation Unapproved collection. An internal FSA review revealed thto support the transportation of ComCorporation commodities had not bOMB. An approval request packagand OMB approved the information 07/14/1999.
OMB

Control

Number Collection Title Description of Violation How Discovered and Rem

Natural Resources Conservation Service 0578-0007 Agriculture and Urban Drainage Surveys Modification of an approved collection without prior OMB approval; unintended expiration OCIO discovered the violation in pr

the Information Collection Budget. expired on 6/30/1997. The agency 30-day Federal Register Notice on 3expects to have the collection reinst2000. Animal and Plant Health Inspection Service -- Customer Satisfaction Survey Unapproved collection. APHIS discovered the violation upothere was no longer a generic approDepartment for customer service conew information collection approvapackage is in development. Agricultural Research Service 0518-0022 Agroecosystem Use Survey Unapproved collection. OMB discovered the violation while ARS home page on the Internet and Department. Upon investigation by was determined that the survey had no longer in use and due to an oversremoved from the website. ARS remsurvey. Risk Management Agency -- Survey for Defining New Crop Insurance Programs Unapproved collection. OMB discovered the violation throupublished on the USDA web site anDepartment. OCIO notified staff in confirmed the violation. An informapproval request is being developed violation.
OMB

Control

Number Collection Title Description of Violation How Discovered and Rem

Agricultural Marketing Service 0581-0031 Reporting and Recordkeeping Requirements under Regulations (Other Than Rules of Practice) Under the Perishable Agricultural Commodities Act (PACA) Modification of an approved collection without OMB approval. The agency discovered the violation 

internal review and submitted a memchange worksheet to OMB on 07/20direction of OCIO. On 09/28/1999notified by OCIO that OMB did not change worksheet. An approval reqcollection modifications was preparapproved the revision on 11/29/199

Forest Service -- Customer Service Comment Card Unapproved collection. Forest Service discovered the violat

learning that there was no longer a gfor the Department for customer serA new information collection appropackage is in development. 0596-0082 Special-Use Application, Permitting, and Administration Modification of an approved collection without prior OMB approval. The Salida Ranger District substantthe reporting burden beyond the appcollection. L&L, Inc. of Orem, UtaOMB and USDA to complain about The Forest Service reviewed his cominformed him that he was not obligathe information not previously apprOMB approved the revised package 

0596-0085 Joint Firewood Permit Modification of an approved collection without OMB approval. The Forest Service discovered this v

through the process of drafting recomanagement procedures for Service The Forest Management Division sethe field directing all units to not usunapproved form. The Forest ManaDivision is working collaboratively of Land Management (BLM) to drainformation collection approval requ
OMB

Control

Number Collection Title Description of Violation How Discovered and Rem

Department of Commerce Office of the Secretary 0690-0015 Complaint of Employment Discrimination Unapproved collection. The form was discovered by the Off

Council (OGC) when a similar one the decennial census. The DepartmClearance Officer immediately begafor clearance. The approval from Oreceived on 10/15/1998. National Oceanic and Atmospheric Administration 0648-0272 Individual Fishing Quotas for Pacific Halibut and Sablefish in the Alaska Fisheries The program office established new requirements and added data elements to existing requirements without OMB approval. When a form was revised to reflect clearance expiration date and sent to clearance officer it became apparendata elements had been added to the Discussions revealed that other requalso not been part of the recent cleaOMB clearance was received on 11

0648-0364 Gear Marking Requirements in the Large Whale Take Reduction Plan A rule was published that contained an unapproved information requirement. NOAA intended to delay the effective date of the appropriate section until it had OMB approval, but incorrectly drafted it and it became effective prior to approval. When preparing a PRA request for 

the NOAA clearance officer noted ttechnically already in effect. No acwas collected, however, as participaaffected fisheries had been informed requirements were not yet in effect. this collection on 1/20/1999.
OMB

Control

Number Collection Title Description of Violation How Discovered and Rem

0648-0367 Gear-marking Requirements in Antarctic Fisheries Requirements existed in regulations that did not have paperwork approval. A review of all NOAA gear-markin

uncovered the violation which affecfisherman. OMB approval was obta1/9/1999. 0648-0387 International Dolphin Conservation Program Requirements were added to an approved collection without OMB approval. During the review of proposed submregulatory requirements, NOAA disother requirements were in place wiThose requirements were added to trequest, which was approved on 8/3

0648-0397 Application Forms for Membership on National Marine Sanctuary Advisory Councils Form in use without OMB approval. The program office, which has othe

requirements cleared, contacted the Clearance Officer for advice. The obelieved that the Federal Advisory Cexempted the collection from the PRapparently is not the case. OMB apcollection on 3/4/2000. Patent and Trademark Office 0651-0041 Public Search Room An electronic badging database is being used to issue plastic Public User ID badges. These new Public User ID badges are being used to maintain and control the patent and trademark reference documents. When the program office discovered electronic badging database needed under the PRA, they approached the Officer for assistance with the approOMB approved this collection on 5/
OMB

Control

Number Collection Title Description of Violation How Discovered and Rem

0651-0042 Online Employment Application Form An employment application form available on the PTO’s web site which applicants can submit to the PTO electronically. When Human Resources discovered 

approval was needed for this online application form, they approached tOfficer for assistance with the approOMB approved this collection on 1

-- Request/Petition Specialized Concurrent Handling Unapproved collection. When the program office discovered 

approval was needed for this RequeConcurrent Handling, they approachOfficer for Assistance with the apprThe PTO Records Officer and the csupport staff will submit the packagreview in April of 2000. 0651-0045 Public Key Infrastructure Unapproved collection. When the program office discovered approval was needed for Public Key they approached the PTO Records Oassistance with the approval processapproved the collection on 3/8/2000

National Institute of Standards and Technology -- Licensing of Government-owned Inventions (Section 37 CFR 404.8) A rule section has an unapproved paperwork requirement. The requirement was discovered wh

was raised by NIST staff. The papeis pending OMB approval. Bureau of Export Administration 0694-0120 Procedure to Initiate An Investigation Under the Trade Expansion Act of 1982 Unapproved collection. During the course of conducting a 2not subject to PRA a review was maactivities. It was determined the BXbegan the process to obtain OMB's however a paperwork package was to OMB after the 60-day comment pOMB approved the collection on 11
OMB

Control

Number Collection Title Description of Violation How Discovered and Rem

Department of Defense Defense Finance and Accounting Service 0730-0009 DD Form 2789, Waiver/Remission of Indebtedness Application Unapproved collection. The unapproved collection was disc

several of the forms were misdirecteClearance Officer. The Defense FinAccounting Service published a sixtRegister notice on September 3, 199collection was subsequently approvyears by OMB on March 1, 1999. Department of Education Office of Intergovernmental and Agency Affairs 1860-0505 Sign-on Focus Partnership for Family Unapproved collection. OMB approved the collection 10/29

Office of the Undersecretary, Planning and Evaluation Service -- Phase 1, Evaluation of Effective Adult Basic Education Unapproved collection. OMB discovered violation in the su

statement of submission. -- Letter requesting States to provide ED with copies of their request Evaluations of the Basic Adult education Programs Mailed to States in October 12, 1998 - never cleared. Discovered while OMB was reviewrelated information collection. A refsurvey below was made in the suppmaterials. OMB asked the agency wcontrol number was for the referencAgency discovered they had never oThe collection was not repeated. Department of Health and Human Services Food and Drug Administration 0910-0387 Medical Device Registration and Listing Unapproved collection. During the preparation for the ICB, 

discovered that these requirements hinadvertently omitted from the apprwith OMB number 0910-0059. The approved by OMB on 12/9/1998.
OMB

Control

Number Collection Title Description of Violation How Discovered and Rem

Health Resources and Services Administration 0915-0226 National Health Service Corps Scholarship Program: Costs of Attendance Form Unapproved collection. Clearance office became aware of v

collection approved on 10/23/1998. 0915-0230 National Health Services Corps Application for Recruitment and Retention Assistance* Unapproved collection. Clearance office discovered the data New collection was approved on 12

0915-0234 National Health Service Corps Site Waiver Unapproved collection. During a routine review of the agen

collection activities. New collection on 5/26/1999 -- Healthy Start Data Reporting Requirements Unapproved collection During a routine review of the agencollection activities. The Program ipreparing the clearance package. -- Application to Request Assignment of a National Health Service Corps Practitioner Unapproved collection. The agency discovered this violation 

the program office of the requiremePRA. Substance Abuse and Mental Health Services Administration 0930-0205 Annual Reports for Projects for Assistance in Transition from Homelessness (PATH) Unapproved collection. SAMHSA reports clearance officer them and had program submit a requapproval; approval received 9/14/19

Health Care Financing Administration 0938-0781 Home Health Agency Beneficiary Notices (HHABN) Unapproved collection. This collection was brought to OMB

industry representatives. OMB appcollection on 9/30/1999. Administration for Children and Families -- Project 1099 Unapproved collection. Discovered in discussions with PRA 
OMB

Control

Number Collection Title Description of Violation How Discovered and Rem

-- Managing for Results Bulletin #16, How to translate your 1998-2000 state plan objectives into performance targets and comply with GPRA Unapproved collection. A contractor to the Administration o

Developmental Disabilities (ADD) questionnaire in the Bulletin withouapproval. The Consortium of DeveDisability Councils wrote a letter to complaining that the questionnaire wabsence of public comment and is pviolation of the PRA. The questiontime request for information. 0970-0145 TANF State Plan Unapproved collection. HHS is preparing a reinstatement pa

Department of the Interior Bureau of Land Management 1004-0023 Indian Allotment Application Form Unapproved collection. Discovered while preparing final In

regulations. This collection was disAugust of 1999. 1004-0182 Alaska Reindeer Grazing Unapproved collection. Discovered while preparing proposereindeer grazing. Approved by OM

1004-0183 Wild Horse and Burro Electronic Adoption Customer Comment Card Unapproved collection. Discovered while checking the Inter

comment cards/surveys. Approved 10/24/1998. -- Joint BLM-Forest Service Firewood Collection Permit Unapproved modification of a form. Discovered by internal BLM reviewForest Service are now working on package.
OMB

Control

Number Collection Title Description of Violation How Discovered and Rem

Minerals Management Service -- Notices to Lessees and Operators (NTLs) Unapproved collection; Modification of an approved collection without prior OMB approval; Failure to display OMB control number. MMS uses NTLs to clarify, describ

regulatory issues or to provide regioits Offshore clients. After a review provided OMB with an issue paper, the nature of various potential and aof the PRA and actions planned to rproblem. MMS is in the process of to include proper references to apprcollections, remove unapproved colobtain approval for others. OMB apsuch NTL on 2/4/2000. 1010-0131 Form MMS-123S, Supplemental APD Information Sheet Unapproved modification. Discovered by MMS during prelimi

rulemaking. OMB approved the off9/14/1999. 1010-0132 Form MMS-133, Weekly Activity Report Unapproved modification. Discovered by MMS during review Lessees. OMB approved the officia9/14/1999. National Park Service 1024-0220 Park Visitor Study Unapproved modification. Identified by National Park Service from the unapproved questions will or used. This collection has been diSeptember of 1999. Office of Surface Mining Reclamation and Enforcement 1029-0118 Federal Inspections and Monitoring Unapproved collection. OSM staff discovered the violation World Wide Web site. The package submitted to OMB for review. OMpackage 6/14/1999. 1029-0059 Budget Information, Financial Reporting and Performance, Program Narrative Forms Unapproved collection. Discovered by an internal OSM revby OMB on 12/21/1999.
OMB

Control

Number Collection Title Description of Violation How Discovered and Rem

Bureau of Indian Affairs 1076-0146 American Indian Trust Evaluation Process Unapproved collection. DOI discovered the violation during 

review. OMB approved the collecti5/26/1999. -- Certificates of Degree of Indian and Alaska Native Blood Unapproved collection. BIA discovered this violation during 

BIA intends to submit this collectioreview in April of 2000. -- Child Abuse and Neglect Reporting Form Unapproved collection. BIA discovered the violation during review. Field offices had been usinown design to collect information restatute. BIA discontinued this colleof 1999. -- Preference in Employment Unapproved collection. BIA discovered this violation during BIA plans to submit this collection in September of 2000. -- Welfare Reform Monthly Statistics Unapproved collection. BIA sent a letter on June 20, 1997, (Bureau and tribal) requiring a monstatistics. The Indian and Native AmEmployment and Training Coalition and the agency of this violation on Adiscontinued this collection in Augu

1076-0017 Social Services Family Profile, Record of Income and Resources, Employment Information — 25 CFR Part 20 Modification of previously approved collections. OMB approved the revised collectio

1076-0147 Indian Service Population and Labor Force Report Unapproved collection. Identified by BIA staff. OMB appr

collection on 12/8/1998. Office of Equal Opportunity 1091-0001 Applicant Background Survey Unapproved collection. The violation was discovered througanonymous tip to the OMB desk offform was approved by OMB on 12/
OMB

Control

Number Collection Title Description of Violation How Discovered and Rem

Department of Labor Occupational Safety and Health Administration -- Rules pertaining to State-Plan State Approval – 29 CFR 1952–1956 Existing collection in effect without approval. This collection is associated with O

relating to State Plan approval. In Fdetermined that the information Stathese regulations is subject to the PRinitially intended to seek clearance, intervening events delayed this procthe joint development of new proceStates and a legal challenge to OSHprocedures. OSHA will now submiapproval before the end of the calen

1218-0243 Roofing Pilot Program Collections in effect without approval. This new partnership program involved collecting information from participants which were thought to be exempt from PRA. It has been determined that the collections are subject to PRA. OMB approved this collection on 7/

1218-0196 Marine Terminal Operations/Long Shoring Rules (Part 1917 and 1918) Collections in effect without OMB approval. The occupational safety and health p

conducted a preclearance process on while it was in the proposal stage. Idiscovered that the rules contained acollections which had not been subjreclearance process and thus OMB yet been obtained. OMB approved collections on 5/7/1999.
OMB

Control

Number Collection Title Description of Violation How Discovered and Rem

Department of State -- Information for Determining US Citizenship Unapproved collection. Department review discovered viola

Department is preparing PRA SubmOMB approval. -- Request for Copies of Documents Regarding Birth Unapproved collection. Department review discovered violaDepartment is preparing PRA SubmOMB approval. -- Petition to Classify Immigrants as Employee of USG Unapproved Collection Department review discovered violaDepartment is preparing PRA SubmOMB approval. -- Passport and Nationality Card Unapproved collection. Department review discovered violaDepartment is preparing PRA SubmOMB approval. 1405-0113 Medical Examination of Applicants Unapproved collection. Department review discovered violaDepartment requested an emergency pending regular clearance. -- PA Web Site Customer Survey Unapproved collection. Collection discovered during a webDepartment intends to submit for cl

Department of Transportation U.S. Coast Guard 2115-0514 Merchant Mariner License, Certificates & Document Application; Criminal Record Review in Issuing Licenses, CORs, MMDs; access to NDR; 5-Year Terms of Validity Modification of an approved collection without prior OMB approval. A member of the public informed O

violation. OMB approved the use o12/4/1998. Federal Motor Carrier Safety Administration (formerly within the Federal Highway Administration) 2126-0001 Driver’s Record of Duty Status (RODS) Requirement that intrastate drivers prepare and file the RODS was not approved. OMB discovered this ongoing violareview of a draft proposed rule to rehours of service regulations.
OMB

Control

Number Collection Title Description of Violation How Discovered and Rem

Federal Railroad Administration 2130-0517 AAR Crossing Inventory Form Draft or revised form placed on the Internet without OMB approval. Discovered when FRA’s Clearance 

DOT’s Clearance Officer explaininrevised form on the internet and askOMB had approved it. DOT InformOfficer informed FRA that they murevised form from the internet and sapproval. Maritime Administration -- Voluntary Intermodal Sealift Agreement Unapproved collection. The violation was discovered througreview. The program office was imadvised of the requirements under thinformation collection is currently bfor OMB submission. National Highway Transportation Safety Administration -- Survey on Air Bag Design and Performance Unapproved collection. DOT surveyed nine automakers in Dwithout OMB approval. OMB discviolation during its review of a drafadvanced air bags. The agency beliapproval was not required because tthan ten respondents. OMB has infagency that collections of informatiall or a substantial majority of an insubject to the PRA. Bureau of Transportation Statistics -- Unknown (Internet form) Unapproved collection. The agency removed the form from 
OMB

Control

Number Collection Title Description of Violation How Discovered and Rem

Environmental Protection Agency 2050-0050 Used Oil Management Standards Recordkeeping & Reporting Requirements Unapproved collection. The portion of the collection coverin

recordkeeping and reporting requireassociated with used oil managemeninadvertently dropped by EPA in the submitted to and approved by OMB 1993. The Agency attributes the remportion of the collection to contractoarising because the relevant rule promoved from 40 CFR part 266 to 40 EPA discovered the error during an action. EPA anticipates revising the collection request for submission to 

Federal Emergency Management Agency -- Request for Federal Assistance Form – Mission Assignments Unapproved collection. Form included in a FEMA draft doc

being staffed for coordination and cProgram official provided a clearanOMB approval on 1/31/2000. -- Notice of Intent to Evict Unapproved collection. Received a telephone call from Calimisspelling of a word on the Spanisform. Working with program officiaforms and other data collections insused in the Disaster Individual Assito ensure that forms under the purviare brought into compliance. 3067-0222 Mobile Home Assistance, Request for Site Inspection, Ingress-Egress Agreement, Landowners Authorization Unapproved collection. Flooding caused by Hurricane Floyd FEMA to provide Mobile Homes to disaster victims. Forms are used to place the homes. The clearance pacsubmitted to OMB for approval on 
OMB

Control

Number Collection Title Description of Violation How Discovered and Rem

-- Format for Identifying Exemplary Practices in Emergency Management Unapproved collection. Form is one of two forms in the pub

"Partnerships in Preparedness, A CoExemplary Practices in Emergency Volumes I, II, III, IV. Forms found of Volume IV, which was sent to FEPublications, and Graphics Branch fprogram specialist is preparing the Opackage. It will be submitted for emapproval as soon as the Information Officer receives it. -- Reader Survey Form Unapproved collection. Form is one of two forms in the pub"Partnerships in Preparedness, A CoExemplary Practices in Emergency Volumes I, II, III, IV. Forms found of Volume IV, which was sent to FEPublications, and Graphics Branch fprogram specialist discontinued the December of 1999. Social Security Administration 0960-0451 Permanent Residence Under Color or Law (PRUCOL) SSA resumed collecting the information after OMB approval had been allowed to lapse because of a change in law under P.L. 104- 193. On 5/9/1999, OMB asked Agencies 

expired collections to ensure that alviolations were rectified. At that timdiscovered that the PRUCOL informbeing collected because of a new sta(P.L. 105-306), but OMB approval obtained. OMB approved the informon 9/29/1999. -- Request for Reconsideration Form SSA-561 Unapproved collection. SSA discovered the form was being 

OMB approval during a review of fconnection with planning the implemGovernment Paperwork Elimination begin the OMB clearance process in 
OMB

Control

Number Collection Title Description of Violation How Discovered and Rem

-- Request for Parking Assignment for Medical Reasons, Form SSA-3192 Unapproved collection. SSA discovered this form is being u

OMB approval from an agency empHowever, changes in the form are bwith the American Federation of GoEmployees. SSA will begin the cleain May 2000. -- Authorization for Source to Release Information to the Social Security Administration Unapproved collection. SSA discovered the form was being OMB approval during a review of fconnection with planning the implemGovernment Paperwork Elimination begin the OMB clearance process in 

0960-0555 State Agency (DDS) Report of Function Forms and State Agency (DDS) Pain Forms State Agency forms in use prior to their inclusion in the DDS collections on behalf of SSA. SSA knew about the violation. The 

received OMB approval on 2/4/199
129

Appendix C. OMB Memorada to Agencies on PRA Violations

The Information Collection Budget of the United States Government for FY 1999 (FY 1999 ICB) listed

over 800 violations of the Paperwork Reduction Act in Appendix B. After the FY 1999 ICB was

published, OMB made further efforts to work with the Chief Information Officers (CIOs) to remedy

these violations and prevent future. The then-Acting Administrator of OIRA, Donald R. Arbuckle, wrote

to the Chief Information Officers requiring their assistance. This memorandum also included a list of all

expirations of OMB approval for the first half of FY 1999 with instructions to the CIOs to review the list

and confirm that all of the collections had been discontinued upon expiration of the OMB approval. 

(This list is not included here.)

In addition, OMB Deputy Director Sylvia Mathews sent the members of the President’s Management

Council a copy of the FY 1999 ICB, pointing out the problems highlighted in Appendix B, and a copy of

the memorandum to the CIOs.

These two memoranda follow.
130 Fiscal Year 2000 Information Collection Budget of the United States Government
Appendix B. Paperwork Reduction Act Compliance 131
132 Fiscal Year 2000 Information Collection Budget of the United States Government
About OIRA

The Paperwork Reduction Act of 1980 (P.L. 96-511) and its successor, the Paperwork

Reduction Act of 1995 (P.L. 104-13), established the Office of Information and

Regulatory Affairs (OIRA) in the Office of Management and Budget to oversee agency

information resources management, information collection, and use of information

technology. Under this authority, OIRA develops policies and guidelines to promote the

management, dissemination, privacy, and security of government information and

coordinates Federal statistical policies and resources. OIRA is also responsible for the

review of agency rulemaking activity under Executive Order 12866. The Administrator

of OIRA is appointed by the President and confirmed by the Senate.

Principal contributors to this report were David Rostker, Peter Eglinton, Erik K.

Godwin, Jefferson B. Hill, Alexander T. Hunt, and Daniel Werfel. If you have questions

about any of the information collections discussed in this report, the Docket Library is

open to the public by appointment. Call, write, or fax to arrange an appointment:

OIRA Docket Library

Office of Management and Budget

New Executive Office Building, Room 10102

Washington, DC 20503

Phone: (202) 395-6880

Fax: (202) 395-5806

Please include the OMB numbers of the collections about which you inquire.