Source: https://sourcebook.acus.gov/index.php?title=Paperwork_Reduction_Act&diff=1461&oldid=1352
Timestamp: 2020-08-12 20:53:02
Document Index: 475359125

Matched Legal Cases: ['§ 3502', '§ 1320', '§ 1320', '§ 1320', '§ 1320', '§ 1320', '§ 1320', '§ 1320', '§ 1320']

Revision as of 17:51, 3 December 2018 (view source)
(→‎Clearance Procedure)
One of the main purposes of the Paperwork Reduction Act (PRA) is to “minimize the paperwork burden for individuals, small businesses, educational and nonprofit institutions, Federal contractors, State, local and tribal governments, and other persons . . . ; ensure the greatest possible public benefit . . . of information collected . . . ; [and] and minimize the cost to the Federal Government of the creation, collection, maintenance, use, dissemination, and disposition of information.” 44 U.S.C. § [http://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title44-section3501&num=0&edition=prelim 3501]. The PRA statutorily established the Office of Information and Regulatory Affairs (OIRA) in the Office of Management and Budget (OMB) and assigned it responsibility for coordinating government information policies, including approving agency collections of information. The PRA applies to all agencies in the executive branch, as well as to the independent regulatory agencies. Only very narrow functions are exempted from its coverage: (1) federal criminal matters or actions; (2) civil and administrative actions and investigations of specified individuals or entities; (3) compulsory process issued in connection with antitrust proceedings; and (4) federal intelligence activities carried out under presidential executive order. 44 U.S.C. § [http://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title44-section3518&num=0&edition=prelim 3518].
The PRA assigns to OIRA the function of approving information collections. It provides that agencies “shall not conduct or sponsor the collection of information” without first obtaining the actual or inferred approval of the Director of OMB, who will determine whether the information collection is necessary for the proper performance of the agency’s functions. § [http://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title44-section3507&num=0&edition=prelim 3507(a)(2)]. The PRA (§ [http://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title44-section3502&num=0&edition=prelim 3502(3)]) defines “collection of information” as: <blockquote>The obtaining, causing to be obtained, soliciting, or requiring the disclosure to third parties or the public, of facts or opinions by or for an agency, regardless of form or format, calling for either—answers to identical questions posed to, or identical reporting or recordkeeping requirements imposed on, ten or more persons, other than agencies, instrumentalities, or employees of the United States; or answers to questions posed to agencies instrumentalities, or employees of the United States which are to be used for general statistical purposes.</blockquote>The 1995 amendments amended the definition of “collection of information” in § 3502(3) explicitly to include requiring persons to collect information for the purpose of disclosing it to the public or third parties as opposed to federal agencies only, thereby overruling [https://cdn.loc.gov/service/ll/usrep/usrep494/usrep494026/usrep494026.pdf Dole v. United Steelworkers of America], 494 U.S. 26 (1990).
*Agencies should submit collections of information contained in proposed rules to the ''Federal Register'' for public comment. The preamble to the NPRM shall state that the collection of information has been submitted for OMB review and direct that comments be filed with the desk officer for the agency in OIRA/OMB (5 C.F.R. § 1320.11(a)). OMB will provide at least 30 days for public comment (5 C.F.R. § 1320.11(e)).
*Upon publication of the final rule, the agency shall explain how the collection of information in the final rule responds to comments and identify and explain modifications made to the rule (5 C.F.R. § 1320.11(f)).
*On or before the date of publication of the final rule, the agency will submit the final rule to OMB, unless the approved proposed rule was not materially changed. OMB then has 60 days to approve, disapprove, or order a change in the final rule (5 C.F.R. § 1320.11(h)). If OMB approves, it will assign an OMB control number (5 C.F.R. § 1320.11(i)).
*On or before the day an information collection proposal is submitted to OMB for clearance, the agency must send a notice to the ''Federal Registe''r, in which the agency advises the public that OMB approval has been requested and that the public has 30 to submit comments on the proposal to the OIRA/OMB desk officer for the agency (5 C.F.R. § 1320.10(a)).
*Within 60 days after receipt of the agency’s submission, OMB will notify the agency of its decision to approve or disapprove, in whole or in part, the information collection. OMB will provide at least 30 days for public comment before making a decision (5 C.F.R. § 1320.10(b)).
*If OMB does not act within the 60-day period, the agency can ask OMB to assign the required control number (valid for one year in these circumstances), and OMB must do so without delay (5 C.F.R. § 1320.10(c)).
OMB has also developed procedures that govern clearance for information collections in existing rules (5 C.F.R. § [https://www.ecfr.gov/cgi-bin/text-idx?SID=b6590f23848222fab6317f1c1c11b185&mc=true&node=se5.3.1320_112&rgn=div8 1320.12]). The procedures are intended to prevent expiration of OMB approval for an information collection before the agency has undertaken the necessary administrative procedure to extend OMB’s three-year approval or effect a repeal or amendment of the rule containing the collection provision. The agency is required to seek public comment on the requirement and initiate the OMB review process not later than 60 days before the existing OMB approval expires. If OMB indicates disapproval of the existing information collection provision, OMB must publish an explanation in the ''Federal Register'' and instruct the agency to initiate a rulemaking to amend or rescind the provision, consistent with the [[Administrative Procedure Act]] (APA) or other applicable requirements.
Finally, OMB regulations (§ [https://www.ecfr.gov/cgi-bin/text-idx?SID=b6590f23848222fab6317f1c1c11b185&mc=true&node=se5.3.1320_16&rgn=div8 1320.6(e)]) make clear that the public protection provision in § [http://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title44-section3512&num=0&edition=prelim 3512] of the PRA does not preclude the government from imposing a penalty for failing to comply with a collection of information that is mandated by statute, even in the absence of a valid OMB control number. Several courts have so held: [http://media.ca7.uscourts.gov/cgi-bin/rssExec.pl?Submit=Display&Path=Y2007/D11-14/C:06-3635:J:Easterbrook:aut:T:op:N:0:S:0 United States v. Patridge], 507 F.3d 1092 (7th Cir. 2007), ''reh’g and reh’g en banc denied, cert. denied'', 552 U.S. 1280, ''reh’g denied'', 553 U.S. 1062, ''cert. denied'', 555 U.S. 909, ''post-conviction relief denied'', 2010 WL 3025043; ''Salberg v. United States'', 969 F.2d 379, 384 (7th Cir. 1992); ''United States v. Neff'', 954 F.2d 698, 699–700, (11th Cir. 1992); ''United States v. Hicks'', 947 F.2d 1356, 1359 (9th Cir. 1991); ''United States v. Kerwin'', 945 F.2d 92 (5th Cir. 1991); ''United States v. Wunder'', 919 F.2d 34, 38 (6th Cir. 1990).
The regulations (5 C.F.R. § [https://www.ecfr.gov/cgi-bin/text-idx?SID=502d3fc456f2ea6fe5ea737ddd44990b&mc=true&node=se5.3.1320_15&rgn=div8 1320.5(d)(1)]) further describe the standard: an agency must show that all reasonable steps have been taken to ensure that the collection of information is the least burdensome necessary, that it is not duplicative of information otherwise accessible to the agency, and that the collection of information has practical utility.
In addition, OMB has established general guidelines (5 C.F.R. § [https://www.ecfr.gov/cgi-bin/text-idx?SID=b6590f23848222fab6317f1c1c11b185&mc=true&node=se5.3.1320_15&rgn=div8 1320.5(d)(2)]) that will be applied unless the agency can demonstrate the need for an exception to them. Among other things, OMB will generally not approve a collection of information
**''Information Collection Review Handbook'' (1989); superseded by OMB/OIRA, ''The Paperwork Reduction Act, of 1995: Implementing Guidance'' (preliminary draft, Feb. 3, 1997).
**[https://www.cio.noaa.gov/itmanagement/pdfs/OMBSurveyGuidance_0106.pdf Questions and Answers When Designing Surveys for Information Collections] (Jan. 2006).
**[https://www.usaid.gov/sites/default/files/documents/1868/OMB%2083-I%20(Paperwork%20Reduction%20Act%20Submission).pdf OMB Form 83-I] (rev’d Feb. 2004).