OPM PRA Guide_April 27 2011 Paperwork Reduction Act Guide

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Table of Contents
Revision History
Executive Summary
1. INTRODUCTION
2. RESPONSIBILITIES
3. INFORMATION COLLECTION POLICIES AND PROCEDURES
APPENDIX A: ACRONYMS
APPENDIX B: GLOSSARY
APPENDIX C: REFERENCES
APPENDIX D: SAMPLE 60-DAY FEDERAL REGISTER NOTICE
APPENDIX E: SAMPLE 30-DAY FEDERAL REGISTER NOTICE
APPENDIX F: SAMPLE EMERGENCY FEDERAL REGISTER NOTICE
APPENDIX G: SAMPLE OMB MEMORANDUM FOR EMERGENCY CLEARANCE
APPENDIX H: INSTRUCTIONS FOR COMPLETING OMB FORM 83-I
APPENDIX I: HOW TO CREATE A SUPPORTING STATEMENT
APPENDIX J: SAMPLE APPROVED PUBLIC BURDEN STATEMENT

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Paperwork Reduction Act (PRA) Guide 4/27/2011

Table of Contents

1. INTRODUCTION ..................................................................................1

1.1 Purpose ................................................................................................1

1.2 Scope and Applicability .........................................................................1

1.3. Compliance, Enforcement, and Exceptions ..........................................1

2. RESPONSIBILITIES.............................................................................2

3. INFORMATION COLLECTION POLICIES AND PROCEDURES ........4

3.1 What Is a “Collection of Information”? ................................................... 4

3.1.1 Surveys........................................................................................5

3.2 What Information Collections Require OMB Clearance? ......................5

3.3 What Is Not Considered To Be “Information” Under the PRA? .............6

3.4 Overview of the PRA Process At OPM .................................................7

3.5 Information Collection Request (ICR) Approval Process Timeline ........7

3.6 Information Collection Request (ICR) Requirements ............................8

3.7 Collection Instrument Requirements .....................................................9

3.8 Federal Register Notice Requirements .................................................9

3.8.1 60-Day Federal Register Notice .................................................10

3.8.2 30-Day Federal Register Notice .................................................10

3.8.3 Request for Emergency Clearance of an Information Collection

and Emergency Federal Register Notice ...................................11

3.9 Supporting Statement Requirements ..................................................12

3.10 OPM DMS Procedures .......................................................................12

3.10.1 How to Enter a PRA Clearance Request into DMS....................12

3.10.2 DMS 60-Day Federal Register Notice Requirements.................14

3.10.3 DMS 30-Day Federal Register Notice Requirements.................14

3.10.4 DMS Emergency Clearance Federal Register Notice

Requirements ............................................................................14

3.11 Submitting Information Collection Requests (ICRs) To OMB ..............15

3.12 ROCIS Submission Requirements ......................................................15

APPENDIX A: ACRONYMS ............................................................................... 17

APPENDIX B: GLOSSARY ................................................................................ 18

APPENDIX C: REFERENCES ........................................................................... 19

C.1 Authorities ........................................................................................... 19

C.2 External and Internal Issuances Incorporated by Reference ..............19

C.2.1 External References ..................................................................19

C.2.2 OPM Internal References ..........................................................19

C.2.3 Forms.........................................................................................19

APPENDIX D: SAMPLE 60-DAY FEDERAL REGISTER NOTICE ....................20

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Paperwork Reduction Act (PRA) Guide 4/27/2011

APPENDIX E: SAMPLE 30-DAY FEDERAL REGISTER NOTICE ....................23

APPENDIX F: SAMPLE EMERGENCY FEDERAL REGISTER NOTICE ..........26

APPENDIX G: SAMPLE OMB MEMORANDUM FOR EMERGENCY

CLEARANCE .............................................................................29

APPENDIX H: INSTRUCTIONS FOR COMPLETING OMB FORM 83-I ...........30

APPENDIX I: HOW TO CREATE A SUPPORTING STATEMENT ....................35

APPENDIX J: SAMPLE APPROVED PUBLIC BURDEN STATEMENT ............44

Paperwork Reduction Act (PRA) Guide 4/27/2011

Revision History

Version

Number

Version Date Revision Summary

1.0 September 2006 Initial Release

1.1 11/15/2010 Document updated and revised in its entirety

2.0 4/27/2011 Document finalized and published for release.

Executive Summary

The Paperwork Reduction Act (PRA) of 1995 gives the Office of Management and

Budget (OMB) authority over the collection of certain information by Federal agencies.

It is intended, “among other things, to ‘ensure the greatest possible public benefit from

and maximize the utility of information created, collected, maintained, used, shared and

disseminated by or for the Federal Government’ and to ‘improve the quality and use of

Federal information to strengthen decision-making, accountability, and openness in

Government and society.’” See Information Collection under the Paperwork Reduction

Act (April 7, 2010), a Memorandum for the Heads of Executive Departments and

Agencies, and Independent Regulatory Agencies from Cass R. Sunstein, Administrator,

Office of Information and Regulatory Affairs, Office of Management and Budget at

http://www.whitehouse.gov/sites/default/files/omb/assets/inforeg/PRAPrimer_04072010.pdf,

quoting 44 U.S.C. § 3501. The Act requires agencies to plan for the development of

new collections of information and the extension of ongoing collections well in advance

of sending an information collection request to OMB. Agencies must:

 Seek public comment on proposed collections of information by placing a notice

in the Federal Register.

 Certify to OMB that efforts have been made to reduce the burden of the

collection.

 Review and approve information collection requests internally before submitting

them to OMB.

Although the scope of the PRA has changed over the years, its underlying policy

standards remain the same. The PRA seeks to:

 Minimize the paperwork burden on the public and other entities.

 Ensure the greatest possible public benefit from and maximize the utility of

information created, collected, maintained, used, shared, and disseminated by or

for the Federal Government.

 Improve the quality and use of Federal information to strengthen decision making,

accountability, and openness in Government and society.

 Minimize the cost to the Federal Government of creating, collecting, maintaining,

using, disseminating, and disposing of information.

Paperwork Reduction Act (PRA) Guide 4/27/2011

 Ensure the integrity, quality, and utility of the Federal statistical system.

All information collections subject to the PRA must be submitted to OMB for approval.

OMB must review and clear the information collection request (ICR) before OPM begins

to collect the information. Clearance must be obtained regardless of whether responding

to the collection is voluntary or mandatory.

The version of this document that is posted to the Web is the official, authoritative

version.

Paperwork Reduction Act (PRA) Guide 4/27/2011

1. INTRODUCTION

It is OPM policy to ensure that all information collected from the public adheres to the

requirements of the Paperwork Reduction Act (PRA) of 1995, as amended. All OPM

program offices must determine if an information collection1 requires clearance from the

Office of Management and Budget (OMB) under the PRA and, if it does, obtain OMB

clearance before beginning to collect the information. OPM cannot and will not make

exceptions to legal requirements.

1.1 Purpose

The PRA Guide is designed to assist OPM program offices in determining if an existing

or new information collection meets the requirements of the Paperwork Reduction Act

(PRA) of 1995, as amended by the Clinger-Cohen Act, and in preparing the documents

needed to obtain clearance from the Office of Management and Budget (OMB).

1.2 Scope and Applicability

This guide covers how to determine if an information collection requires clearance under

the PRA, defines the roles and responsibilities of OPM staff for purposes of the PRA, and

details the procedures required to obtain OMB approval to collect the information.

All OPM program offices planning to initiate or extend an information collection must

adhere to the policies and procedures in this guide.

1.3. Compliance, Enforcement, and Exceptions

Compliance with the PRA Guide is mandatory. Enforcement and monitoring of this

policy is the responsibility of the Chief Information Officer (CIO). The CIO continually

reviews and monitors the status of OPM's information collections by monitoring:

 The effectiveness of the PRA process.

 Compliance with existing policies, procedures, standards, and guidelines.

 User awareness of the PRA.

 Active adoption of the PRA Guide requirements.

Violations of the requirements in the PRA Guide may result in the expiration of an

information collection or the use of an unapproved collection. All expired information

collections are reported to Congress and the President of the United States. Anyone who

violates the requirements also may face administrative action ranging from counseling to

removal from the agency.

Only the OPM PRA Clearance Officer may grant exceptions to the PRA Guide, and only

OMB may grant exceptions to the PRA.

1 See Appendix B, Glossary, for the definition of “information collection.”

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2. RESPONSIBILITIES

The following stakeholders have responsibilities in implementing this guide:

 OPM Director

 Chief Information Officer (CIO)

 OPM PRA Clearance Officer

 Associate Directors (ADs)

 Division PRA Coordinators

 General Counsel (GC)

 Publications Management

2.1 OPM Director

The OPM Director is responsible for providing signature and approval, or assigning a

designee approval and signature authority, for 60-Day and 30-Day Federal Register

Notices.

2.2 Chief Information Officer (CIO)

Responsibilities of the Chief Information Officer (CIO) include:

 Ensuring the prompt, efficient, and effective implementation of the information

policies and information collection responsibilities established under the

Paperwork Reduction Act of 1995, as amended.

 Establishing a program office to review, evaluate, and process information

collection requests to determine their suitability for submission to OMB.

 Providing signature and approval, or assigning a designee approval and signature

authority, for information collection requests before they are submitted to OMB.

2.3 OPM PRA Clearance Officer

Responsibilities of the OPM PRA Clearance Officer include:

 Implementing the OPM information collection process to ensure OPM

information collection requests meet OMB requirements.

 Providing guidance and assistance to Division PRA Coordinators and program

offices to ensure compliance with the Paperwork Reduction Act of 1995, as

amended.

Paperwork Reduction Act (PRA) Guide 4/27/2011

 Reviewing and finalizing information collection requests, accompanying

certifications, and documentation before submission to OMB for review and

approval, and to the Federal Register for the publishing of the 60-Day and 30-Day

Federal Register Notices.

 Acting as designee on behalf of the Chief Information Officer for submitting

information collection requests to OMB.

2.4 Associate Directors (ADs)

Responsibilities of Associate Directors include:

 Ensuring that their respective programs comply with the Paperwork Reduction

Act of 1995, as amended, and implement the procedures in this guide.

 Ensuring that their programs have no delinquent information collections.

 Designating a Division PRA Coordinator.

2.5 Division PRA Coordinators

Responsibilities of Division PRA Coordinators include:

 Ensuring that all information collections are identified and reported to the OPM

PRA Clearance Officer for their respective divisions and programs.

 Ensuring that all collection instruments, paper and electronic, are properly

formatted according to OPM standards and OMB requirements.

 Ensuring that all supporting documentation that constitutes an information

collection request (ICR) submission package to OMB is complete.

 Creating the 60-Day and 30-Day Federal Register Notice packages in OPM’s

Document Management System (DMS) for internal approval and publishing in

the Federal Register.

 Responding to questions from the OPM PRA Clearance Officer and the Office of

the General Counsel regarding 60-Day and 30-Day Federal Register Notices in

coordination with the program office that owns the collection of information.

 Entering the complete ICR submission package into the Regulatory Information

Service Center (RISC) and Office of Information and Regulatory Affairs (OIRA)

Consolidated Information System (ROCIS) for approval by the OPM PRA

Clearance Officer and submission to OMB for approval.

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 Responding to questions from the OMB Desk Officer for OPM during the 30-day

comment process and OMB approval process regarding ICRs submitted through

ROCIS, in coordination with the program office that owns the collection of

information.

 Responding to questions from the public when the approved 60-Day Federal

2.6 General Counsel (GC)

Responsibilities of the General Counsel (GC) include reviewing and approving Federal

2.7 Facilities, Security and Contracting (FSC) /Publications Management

Publications Management is responsible for publishing approved 60-Day and 30-Day

Notices to the Federal Register and notifying the OPM PRA Clearance Officer and

Division PRA Coordinator when the notice is published.

3. INFORMATION COLLECTION POLICIES AND PROCEDURES

3.1 What Is a “Collection of Information”?

At OPM, the terms “information collection” and “collection of information” mean the

same and are used interchangeably.

Per 5 CFR 1320.3(c), a “collection of information” is a technical term that means:

“[T]he obtaining, causing to be obtained, soliciting, or requiring the disclosure to an

agency, third parties or the public of information by or for an agency by means of

identical questions posed to, or identical reporting, recordkeeping, or disclosure

requirements imposed on, ten or more persons, whether such collection of information is

mandatory, voluntary, or required to obtain or retain a benefit.

‘Collection of information’ includes any requirement or request for persons to obtain,

maintain, retain, report, or publicly disclose information. As used in this Part, ‘collection

of information’ refers to the act of collecting or disclosing information, to the information

to be collected or disclosed, to a plan and/or an instrument calling for the collection or

disclosure of information, or any of these, as appropriate.”

An information collection may consist of one or many collection mechanisms (called

“instruments”) in any form or format, including:

 Report forms

 Application forms

 Schedules

Paperwork Reduction Act (PRA) Guide 4/27/2011

 Questionnaires

 Surveys

 Reporting or recordkeeping requirements

 Contracts

 Agreements

 Policy statements

 Plans

 Rules or regulations

 Planning requirements

 Circulars

 Directives

 Instructions

 Bulletins

 Requests for proposal or other procurement requirements

 Interview guides

 Oral communications

 Posting, notification, labeling, or similar disclosure requirements

 Telegraphic or telephonic requests

 Automated, electronic, mechanical, or other technological collection techniques

 Standard questionnaires used to monitor compliance with agency requirements

 Any other techniques or technological methods used to monitor compliance with

agency requirements.2

3.1.1 Surveys

Surveys are considered to be information collections. Surveys may consist of many

different collection instruments; for example, Web surveys, Web exit surveys, online

surveys, focus groups, and benefits surveys. However, all surveys must meet OMB

Standards and Guidelines.3

3.2 What Information Collections Require OMB Clearance?

OMB must clear an information collection if the agency conducts or sponsors the

collection of information from 10 or more members of the public, regardless of whether

the collection is mandatory, voluntary, or required to obtain or retain a benefit, when the

information is obtained by means of identical questions or identical reporting,

recordkeeping, or disclosure requirements.

2 See 5 CFR 1320.3(c)(1).

3 See Office of Management and Budget Standards and Guidelines for Statistical Surveys (September

2006) and Questions and Answers When Designing Surveys For Information Collections, Office of

Information and Regulatory Affairs, Office of Management and Budget (January 2006).

Paperwork Reduction Act (PRA) Guide 4/27/2011

However, when the information is required to be submitted in response to a rule that is

applicable to the general public rather than any specific entities, OMB clearance is

required regardless of the anticipated number of respondents.

Generally, any information that the public is asked to provide should be presumed to

require OMB clearance unless OMB makes a determination to the contrary.

Under the PRA, “the public” includes individuals, partnerships, corporations,

universities, nonprofit organizations, State, local, and tribal governments and agencies,

and other associations and organizations, whether foreign or domestic. Federal agencies

are not included in the definition of the public. OMB clearance is not required to collect

information from other Federal agencies unless the information will be used for general

statistical purposes. Under the PRA, OMB is responsible for identifying and managing

the collection and use of statistical data throughout the Federal Government.

3.3 What Is Not Considered To Be “Information” Under the PRA?

OMB implementing guidance4 excludes from the definition of “information” disclosures

that require people to provide only facts that “entail no burden other than that necessary

to identify the respondent, the date, the respondent’s address, and the nature of the

instrument.” This includes:

 Affidavits, oaths, affirmations, certifications, receipts, changes of address, and

consents or acknowledgements.

 Samples of products.

 Facts or opinions obtained through direct observation by an employee or agent of

the sponsoring agency.

 Facts or opinions submitted in response to general solicitations of comments from

the general public.

 Information from individuals under treatment or clinical examination in

connection with research to prevent a clinical disorder.

 Facts or opinions requested from a single person.

 Examinations designed to test the aptitude, abilities, or knowledge of the person

tested for a collection.

 Facts or opinions solicited in connection with public hearings or meetings.

 Information solicited through nonstandardized follow-up questions designed to

clarify responses to approved collections of information.

 Similar items as designated by OMB.

Additionally, the PRA exempts from its provisions the collection of information during

the conduct of a Federal criminal investigation or prosecution; during the disposition of

4 See 5 CFR 1320.3(h)).

Paperwork Reduction Act (PRA) Guide 4/27/2011

other litigation or investigative activities; and during the conduct of intelligence activities

and cryptologic activities that are communications security activities.5

3.4 Overview of the PRA Process at OPM

PRA approval at OPM involves two processes.

1. The first process is initiated by the PRA Coordinator in the program office

(Division PRA Coordinator) that is sponsoring the information collection.

The PRA Coordinator obtains internal approval through the OPM Document

Management System (DMS) to publish the required 60-Day and 30-Day

Federal Register Notices informing the public of the proposed collection of

information. The procedures for creating DMS packages for 60-Day and

30-Day Notices are described below.

After both notices have been approved through DMS and published in the

Federal Register, the PRA Coordinator initiates the second process.

2. The second process involves creating the information collection request (ICR)

submission package for OMB approval in the external Regulatory Information

Service Center (RISC) and Office of Information and Regulatory Affairs

(OIRA) Consolidated Information System (ROCIS). The procedures for

creating the ICR submission package in ROCIS are described below.

After the ICR has been entered in ROCIS, the OPM PRA Clearance Officer

reviews and approves it. The Clearance Officer then submits the package to

OMB for final approval.

3.5 Information Collection Request (ICR) Approval Process Timeline

The ICR approval process can vary depending on the complexities of the collection.

Below is a timeline estimate (in business days) for an ICR to undergo OPM approval and

OMB approval. Based on this estimation of approval time, we recommend that Division

PRA Coordinators begin renewing their expiring collections and submitting any new or

anticipated information collections at least 10 months out to allow for internal program

review and approval before entering the package into DMS.

The ICR approval process timeline in business days is outlined below:

1. Approval of 60-Day Notice via DMS. (60 days)

2. Publication of 60-Day Notice in the Federal Register. (4 days)

3. Public comment period for 60-Day Federal Register Notice. (60 days)

5 See 44 U.S.C. 3518.

Paperwork Reduction Act (PRA) Guide 4/27/2011

4. Approval of 30-Day Federal Register Notice via DMS. (60 days)

5. Publication of 30-Day Notice in the Federal Register. (4 days)

6. Creation of ICR submission package in ROCIS (after 30-Day Federal Register

Notice is published). (10 days)

7. Review and submission of ICR package to OMB. (10 days, although this varies

depending on the completeness of the ICR submission package)

8. OMB review and OPM passback period. The total OMB review period is 60 days,

which includes the 30-day public comment period and OMB’s formal 30-day

review period. OMB’s formal 30-day review period does not begin until the 30-

day public comment period has lapsed. During the 60-day OMB review period,

discussions or negotiations concerning the ICR may occur between the OPM PRA

Clearance Officer, the Division PRA Coordinator, the sponsoring program office,

and OMB. Comments received by OMB from the public during the 30-day

comment period may also be discussed at this time. (60 days)

9. OMB action. At the conclusion of the 60-day OMB review, OMB issues a Notice

of Action (NOA) through ROCIS. The OMB NOA contains one of three

responses: Approval, Disapproval with a process for appeal, or Withdrawal.

Additionally, terms of clearance may be attached to the ICR.

TOTAL TIME REQUIRED = 208 days maximum from beginning to end.

3.6 Information Collection Request (ICR) Requirements

Every new ICR submitted to OMB for PRA approval requires an OMB Form 83-I,

Paperwork Reduction Act Submission. See appendix H for complete instructions on how

to fill out an OMB 83-I. A fillable 83-I is available for download at

http://www.whitehouse.gov/omb/inforeg/83i-fill.pdf

Along with the 83-I, a number of documents need to be submitted to OMB for PRA

approval. The documents are described below:

1. Proposed information collection instruments with the appropriate Public Burden

Statement, and any additional forms, documents, or pamphlets issued with the

information collection. If this is an electronic application, you must provide

screenshots of the entire online form.

2. Published 60-Day Federal Register Notice.

3. Published 30-Day Federal Register Notice.

4. Supporting Statement Part A – Justification.

5. Supporting Statement Part B (if the collection is a statistical survey).

Paperwork Reduction Act (PRA) Guide 4/27/2011

6. All applicable Code of Federal Regulations (CFR), U.S. Code (U.S.C.), Executive

Orders (EO), and Public Laws (Pub. L.) that establish the need for the collection

of information and the legal authority for OPM to collect it.

If the ICR involves the collection of personally identifiable information (PII),6 a privacy

impact assessment (PIA) may need to be included in the ICR submission package. Please

contact your designated security officer (DSO) to obtain a copy of the most current PIA

that covers the information collection. Even if no PIA was completed for a particular

collection in the past, if the form implicates PII, then OMB may not approve a renewal or

amendment to the collection form unless a PIA has been completed. Therefore, a PIA

must be created and approved BEFORE submitting the ICR for PRA approval. See

OPM’s Privacy Impact Assessment (PIA) Guide at

http://theo.opm.gov/policies/ispp/PIAGuide.pdf.

If the ICR involves the collection of PII AND the IT system associated with the

information collection uses an element of PII, such as an ID number, social security

number, date of birth, or other element, to retrieve the PII being collected, a system of

records notice (SORN) must be published in the Federal Register BEFORE submitting

the ICR package for PRA approval. See OPM’s System of Records Notice (SORN)

Guide at http://www.opm.gov/privacy/SORNGuide.pdf. .

3.7 Collection Instrument Requirements

OMB will not approve collection instruments for PRA unless they contain the following:

1. Public Burden Statement with:

a. Burden estimate

b. Program office name

c. Agency name

2. OMB control number

3. Expiration date

4. Form number

See appendix J for a sample approved OPM Public Burden Statement.

3.8 Federal Register Notice Requirements

A 60-Day and 30-Day Notice for public comment must be published in the Federal

emergency ICR clearance from OMB and must meet certain legal criteria before they can

be granted. Emergency approvals are thus granted only rarely, and such requests are

discouraged by OMB.

6 Personally identifiable information (PII) is information that can be used to discern or trace a person’s identity; and

alone, or combined with other information, can be used to compromise the integrity of records relating to a person by

permitting unauthorized access to or unauthorized disclosure of these records.

Paperwork Reduction Act (PRA) Guide 4/27/2011

3.8.1 60-Day Federal Register Notice

The 60-Day Federal Register Notice is posted to alert the public that OPM plans to

conduct an information collection and submit it to OMB for PRA approval. This notice

includes:

 A description of the information collection.

 A description of the intended audience.

 An estimate of how many respondents are expected to participate.

 An estimate of the time it will take to complete the information collection.

 An estimate of the burden hours on the public.

See the sample 60-Day Federal Register Notice in appendix D for the correct language

and format.

When the notice is published, the public has 60 calendar days to comment on it.

NOTE: Public comments on the 60-Day Notice are sent only to the OPM program office

conducting the information collection. The program office is responsible for responding

to all comments received. The comments must also be sent to OMB as part of the ICR

submission package via ROCIS. OPM offices can only solicit comments via email or

written letter. Phone calls received from the public cannot be recorded accurately;

therefore, the Federal Register notice only lists the contact email and address of the

sponsoring program office.

3.8.2 30-Day Federal Register Notice

The 30-Day Federal Register Notice is posted to alert the public that OPM has submitted

an information collection to OMB for PRA approval. This notice should be identical to

the 60-Day Notice unless there were changes to the collection due to:

 Comments received during the 60-day comment period.

 Program adjustments.

 Changing respondent numbers.

 Internal OPM review and approval.

The 30-Day Notice also includes the date, volume number, and page number of the

published 60-Day Federal Register Notice. In addition, it must indicate whether any

comments were received during the 60-day period.

When the 30-Day Notice is published, the public has 30 calendar days to comment on it.

Unlike the 60-Day Notice, comments are directed to the OMB desk officer for OPM and

not the OPM program office.

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Paperwork Reduction Act (PRA) Guide 4/27/2011

See the sample 30-Day Federal Register Notice in appendix E for the correct language

and format.

NOTE: The ICR is created in ROCIS when the 30-Day Notice is published. Contact the

OPM PRA Clearance Officer to obtain a ROCIS account and training and to coordinate

the uploading of appropriate documents.

3.8.3 Request for Emergency Clearance of an Information Collection and

Emergency Federal Register Notice

An agency may request emergency clearance only when it needs to begin collecting the

information more quickly than the time a full clearance will require. In every case, the

agency must show that7:

(1) The collection of information must be needed prior to the expiration of the normal

time periods; and

(2) The collection of information is essential to the mission of the agency.

In addition to those two criteria, the agency must, in every case, demonstrate that one of

the following four circumstances is present:

(1) Public harm is likely if normal procedures are followed; or

(2) An unanticipated event has occurred; or

(3) The use of normal procedures is likely to prevent or disrupt the collection; or

(4) The use of normal procedures is likely to cause a statutory or court ordered deadline

to be missed.

Before OMB will take action, the agency must publish an Emergency Federal Register

Notice with a shortened timeframe for public comment and with reduced time for OMB

to take action. In addition, the OPM Chief Information Officer must send a

memorandum to the OPM Desk Officer at OMB explaining the reasons for the

emergency clearance request. OMB may grant emergency clearance for up to 6 months

or 180 days. Emergency clearances, if granted, must be followed by re-initiating the

normal OMB clearance process, i.e., by publishing a 60-Day Federal Register notice and,

subsequently preparing a 30-Day Federal Register Notice and re-requesting clearance by

OMB if the information collection is intended to be used beyond the emergency approval

period. Any comments received during the Emergency Federal Register Notice comment

period must be addressed in the subsequent review process.

7 5 C.F.R. § 1320.13(a)(1).

Paperwork Reduction Act (PRA) Guide 4/27/2011

See the sample Emergency Federal Register Notice in appendix F for the correct

language and format.

3.9 Supporting Statement Requirements

While the 60-Day Notice is clearing DMS, the Division PRA Coordinator should develop

the Supporting Statement. It includes narrative information explaining the purpose,

scope, and benefits of the collection. The Supporting Statement is divided into two parts:

Part A (Justification) and Part B (Statistical Methodology). Part A is mandatory for all

ICRs, and Part B is required for ICRs that involve statistical methods.

See the instructions on how to create a Supporting Statement in appendix I.

3.10 OPM DMS Procedures

All requests for PRA clearance of information collections must be submitted through

OPM’s Document Management System (DMS) for internal OPM review and approval

before they are submitted to the OPM PRA Clearance Officer for submission to OMB.

Internal OPM approval must be obtained as early as possible because this internal process

can take an indeterminate amount of time. OMB is not concerned with OPM internal

review processes, so failure to clear DMS can never be used as an excuse for an expiring

information collection.

This section explains how to create the OPM DMS internal approval routing list for a 60-

Day Federal Register Notice, a 30-Day Federal Register Notice, and an Emergency

Federal Register Notice, including the documents required for internal clearance of each

type of notice. When submitting the DMS request, please be sure that all forms and

information collection instruments, revised forms and information collections, other

attachments, and citations are in electronic format and uploaded into DMS.

3.10.1 How to Enter a PRA Clearance Request into DMS

Follow the 16 steps below to enter your PRA clearance request into DMS:

1. Log in to DMS.

2. Select the Priority Correspondence Folder.

3. The Intake screen will open. In the Subject box, type the OMB clearance number

(3206-####) and the title of the form or information collection.

4. In the Document Date box, select the default date that the request is entered into

DMS.

Paperwork Reduction Act (PRA) Guide 4/27/2011

5. In the Responsible Office box, select the submitting office.

6. In the Date Received box, select the default date.

7. In the Category box, select one of the following as appropriate:

 60-Day PRA Information Collection

 30-Day PRA Information Collection

 Emergency PRA Information Collection

NOTE: The Emergency PRA Information Collection option can only be used

when it has been preapproved by the OPM PRA Clearance Officer and

OMB. These are rarely granted, and OMB frowns upon unjustified or

overly frequent requests.

8. In the Date Due to OD box, select the date the Office of the Director must

receive the package to take action. This date must be before the Final Due Date.

9. In the Final Due Date box, select the date by which the Federal Register notice

must be printed. NOTE: For 30-Day and Emergency Notices, this date must be

before the package can be routed to OMB through ROCIS.

10. In the Recurrence box, select No Recurrence.

11. In the External Obligation box:

 For 60-Day PRA Information Collection – select None.

 For 30-Day PRA Information Collection – select OMB.

 For Emergency PRA Information Collection – select OMB.

12. In the Responsible Office Contact box, select as appropriate.

13. In the Authority box, select as appropriate depending on the information

collection source.

14. In the Handling box, select as appropriate.

15. In the Type box, select as appropriate.

16. In the POC boxes, provide the information indicated.

DMS Routing List

For the DMS routing list, include the following in this order:

 Originator and any required program or division approvals.

 Associate Director or Division head – Approver.

 Chief Information Officer – Approver.

Paperwork Reduction Act (PRA) Guide 4/27/2011

 General Counsel – Approver

 Facilities, Security and Contracting/Publications Management– Reviewer.

 Office of the Director – Approver.

 Facilities, Security and Contracting/Publications Management– Reviewer.

 Chief Information Officer – Reviewer.

 Originator or whoever needs to receive the approved package in the

program office.

3.10.2 DMS 60-Day Federal Register Notice Requirements

The 60-Day Notice should start through the DMS approval process at least a full 13

months before the expiration date of the ICR.

Include the following items with the 60-Day Notice:

1. Draft 60-Day Federal Register Notice.

2. Any legal citation or document that authorizes you to collect the information

(CFR, U.S. Code, Executive Order, etc.).

3. A copy of the form or information collection and any materials that are

issued with it. This may include an additional form, separate instructions, a

pamphlet, or an explanatory sheet. If you have revised your form or information

collection since your last OMB clearance, provide a copy of the old and new

editions highlighting the changes.

3.10.3 DMS 30-Day Federal Register Notice Requirements

The 30-Day Notice should be initiated in DMS as soon as the 60-day comment

period ends.

Include the following items with the 30-Day Notice:

1. Draft 30-Day Federal Register Notice.

2. A copy of the form or information collection and any materials that are

issued with it. This may include an additional form, separate instructions, a

pamphlet, or an explanatory sheet. If you have revised your form or information

collection since the 60-Day Federal Register Notice approval, provide a copy of

the old and new editions highlighting the changes.

3.10.4 DMS Emergency Clearance Federal Register Notice Requirements

Include the following items in the DMS approval package for Emergency Federal

Paperwork Reduction Act (PRA) Guide 4/27/2011

1. Emergency Federal Register Notice.

2. Proposed information collection instrument and any additional forms, documents,

or pamphlets issued with the information collection.

3. Previous information collection if this is a revision.

4. All citations.

5. Memorandum from the OPM CIO to the OPM Desk Officer at OMB. See the

sample memorandum in appendix G.

After all internal approvals are obtained via DMS, the OPM Director will sign the

Emergency Federal Register Notice and forward it in DMS to Publications Management

Group for publication in the Federal Register. When the Emergency Federal Register

Notice is published, the Division PRA Coordinator will create the ICR in ROCIS and

send it to the OPM PRA Clearance Officer for submission to OMB.

3.11 Submitting Information Collection Requests (ICRs) to OMB

Federal agencies are required to use the Regulatory Information Service Center (RISC)

and Office of Information and Regulatory Affairs (OIRA) Consolidated Information

System (ROCIS) to create and submit their ICRs to OMB for review. ROCIS is an

Internet-based system developed to improve the ability of OMB and individual Federal

agencies to meet their collection of information responsibilities under the PRA. ROCIS

also provides Federal agencies with the ability to:

 Track the receipt and status of OIRA’s review of individual ICRs.

 View current and historical OIRA decisions and related records on its reviews of

agency collections of information.

 Identify, search, segment, aggregate, and analyze burden data.

 Use information stored in the ROCIS database to prepare the agency’s annual

information collection budget.

A login ID and training are required to access ROCIS. Contact the OPM PRA Clearance

Officer to schedule training.

3.12 ROCIS Submission Requirements

Once you receive your ROCIS training and login ID from GSA, please download the

ROCIS How To Guide for Agency Users, available on the ROCIS login screen at

http://www.rocis.gov. This will act as a training refresher and assist you with your

submissions.

You will need to have the following items when you submit your ICR package in

ROCIS:

1. Form 83-I, Paperwork Reduction Act Submission.

2. Supporting Statement Part A – Justification.

Paperwork Reduction Act (PRA) Guide 4/27/2011

3. Supporting Statement Part B (if the collection constitutes a statistical survey).

4. Published 60-Day Federal Register Notice.

5. Published 30-Day Federal Register Notice.

6. All applicable Code of Federal Regulations (CFR), U.S. Code (U.S.C.),

Executive Orders (EO), and Public Laws (Pub. L.) that legalize the collection

of information.

7. Proposed information collection instruments with appropriate Public Burden

Statement and any additional forms, documents, or pamphlets issued with the

information collection. If this is an electronic application, you must provide

screenshots of the entire online form.

8. Privacy Impact Assessment (if the ICR involves the collection of personally

identifiable information (PII)).

9. System of Records Notice (if the collection is creating a system of records).

10. Summary of all comments received and responses to comments during the

60-day notice period.

Paperwork Reduction Act (PRA) Guide 4/27/2011

APPENDIX A: ACRONYMS

CFR Code of Federal Regulations

CIO Chief Information Officer

DMS Document Management System at OPM

FR Federal Register

GSA General Services Administration

ICR information collection request

IT information technology

OIRA Office of Information and Regulatory Affairs

OMB Office of Management and Budget

OPM Office of Personnel Management

PII personally identifiable information

PIA privacy impact assessment

PRA Paperwork Reduction Act

Pub. L. public law

RISC Regulatory Information Service Center (GSA)

ROCIS RISC and OIRA Consolidated Information System

SORN system of records notice

SSN social security number

U.S.C. United States Code

Paperwork Reduction Act (PRA) Guide 4/27/2011

APPENDIX B: GLOSSARY

information collection: The obtaining, causing to be obtained, soliciting, or requiring the

disclosure to an agency, third parties or the public of information by or for an agency by

means of identical questions posed to, or identical reporting, recordkeeping, or disclosure

requirements imposed on, ten or more persons, whether such collection of information is

mandatory, voluntary, or required to obtain or retain a benefit (5 CFR 1320.3).

personally identifiable information (PII): Information that can be used to discern or

trace a person’s identity; and alone, or combined with other information, can be used to

compromise the integrity of records relating to a person by permitting unauthorized

access to or unauthorized disclosure of these records.

Paperwork Reduction Act (PRA) Guide 4/27/2011

APPENDIX C: REFERENCES

C.1 Authorities

 Paperwork Reduction Act of 1995, as amended (44 U.S.C. 3501-3520).

 Clinger-Cohen Act of 1996, Information Technology Management Reform Act

(Pub. L. 104-106).

 5 CFR 1320, Controlling Paperwork Burdens on the Public.

 Executive Order 12291, Federal Regulation.

C.2 External and Internal Issuances Incorporated by Reference

C.2.1 External References

 Office of Management and Budget Standards and Guidelines for Statistical

Surveys.

 Questions and Answers When Designing Surveys For Information Collections,

Office of Information and Regulatory Affairs, Office of Management and Budget.

 Christopher and Schmitt, Environmental Monitoring and Sampling Primer, 1997

C.2.2 OPM Internal References

 Privacy Impact Assessment (PIA) Guide

 System of Records Notice (SORN) Guide

C.2.3 Forms

 OMB 83-I, Paperwork Reduction Act Submission

Paperwork Reduction Act (PRA) Guide 4/27/2011

APPENDIX D: SAMPLE 60-DAY FEDERAL REGISTER NOTICE

Publication Date:____________________

6325-38

U.S. OFFICE OF PERSONNEL MANAGEMENT

Submission for Review: Federal Cyber Service: Scholarship For Service (SFS)

Registration Website

AGENCY: U.S. Office of Personnel Management.

ACTION: 60-Day Notice and request for comments.

SUMMARY: The Human Resources Solutions, Office of Personnel Management

(OPM) offers the general public and other federal agencies the opportunity to comment

on an existing information collection request (ICR) 3206-0246, SFS Registration. As

required by the Paperwork Reduction Act of 1995, (Pub. L. 104-13, 44 U.S.C. chapter

35) as amended by the Clinger-Cohen Act (Pub. L. 104-106), OPM is soliciting

comments for this collection. The Office of Management and Budget is particularly

interested in comments that:

1. Evaluate whether the proposed collection of information is necessary for the

proper performance of the functions of the agency, including whether the

information will have practical utility;

2. Evaluate the accuracy of the agency's estimate of the burden of the proposed

collection of information, including the validity of the methodology and

assumptions used;

3. Enhance the quality, utility, and clarity of the information to be collected; and

4. Minimize the burden of the collection of information on those who are to respond,

including through the use of appropriate automated, electronic, mechanical, or

Paperwork Reduction Act (PRA) Guide 4/27/2011

other technological collection techniques or other forms of information

technology, e.g., permitting electronic submissions of responses.

DATES: Comments are encouraged and will be accepted until [INSERT DATE 60

DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER]. This

process is conducted in accordance with 5 CFR 1320.1.

ADDRESS: Interested persons are invited to submit written comments on the proposed

information collection to U.S. Office of Personnel Management, San Antonio Office,

8610 Broadway, Rm. 305, San Antonio, TX 78217, Attention: Kathryn Roberson or sent

via electronic mail to sfs@opm.gov.

FOR FURTHER INFORMATION CONTACT: A copy of this ICR, with applicable

supporting documentation, may be obtained by contacting the San Antonio Services

Branch, Office of Personnel Management, 8610 Broadway, Rm. 305, San Antonio, TX

78217, Attention: Kathryn Roberson or sent via electronic mail to sfs@opm.gov.

SUPPLEMENTARY INFORMATION:

The SFS Program was established by the National Science Foundation in accordance

with the Federal Cyber Service Training and Education Initiative as described in the

President’s National Plan for Information Systems Protection. This program seeks to

increase the number of qualified students entering the fields of information assurance and

computer security in an effort to respond to the threat to the Federal Government’s

information technology infrastructure. The program provides selected 4-year colleges

and universities scholarship grants to attract students to the information assurance field.

Participating students who receive scholarships from this program are required to serve a

10-week internship during their studies and complete a post-graduation employment

____________________________________

Paperwork Reduction Act (PRA) Guide 4/27/2011

commitment equivalent to the length of the scholarship or one year, whichever is longer.

Approval of the webpage is necessary to facilitate the timely registration, selection and

placement of program-enrolled students in Federal agencies.

ANALYSIS:

Agency: Federal Cyber Service: Scholarship For Service Program, Office of Personnel

Management

Title: Scholarship For Service (SFS) Program Internet Site

OMB Number: 3206-0246

Frequency: Annually

Affected Public: Individuals or Households

Number of Respondents: 630

Estimated Time Per Respondent: 1 hour

Total Burden Hours: 630 hours

U.S. Office of Personnel Management.

John Berry,

Director.

6325-38

Paperwork Reduction Act (PRA) Guide 4/27/2011

APPENDIX E: SAMPLE 30-DAY FEDERAL REGISTER NOTICE

Publication Date:____________________

6325-38

U.S. OFFICE OF PERSONNEL MANAGEMENT

Submission for Review: OPM Form 1203-FX, Occupational Questionnaire, 3206-

0040

AGENCY: U.S. Office of Personnel Management.

ACTION: 30-Day Notice and request for comments.

SUMMARY: The Automated Services Management Group, Office of Personnel

Management (OPM) offers the general public and other federal agencies the opportunity

to comment on an existing information collection request (ICR) 3206-0040, Occupational

Questionnaire, OPM Form 1203-FX. As required by the Paperwork Reduction Act of

1995, (Pub. L. 104-13, 44 U.S.C. chapter 35) as amended by the Clinger-Cohen Act (Pub.

L. 104-106), OPM is soliciting comments for this collection. The information collection

was previously published in the Federal Register on September 18, 2009 at Volume 74

FR 47981 allowing for a 60-day public comment period. No comments were received for

this information collection. The purpose of this notice is to allow an additional 30 days

for public comments. The Office of Management and Budget is particularly interested in

comments that:

5. Evaluate whether the proposed collection of information is necessary for the

proper performance of the functions of the agency, including whether the

information will have practical utility;

6. Evaluate the accuracy of the agency's estimate of the burden of the proposed

collection of information, including the validity of the methodology and

Paperwork Reduction Act (PRA) Guide 4/27/2011

assumptions used;

7. Enhance the quality, utility, and clarity of the information to be collected; and

8. Minimize the burden of the collection of information on those who are to respond,

including through the use of appropriate automated, electronic, mechanical, or

other technological collection techniques or other forms of information

technology, e.g., permitting electronic submissions of responses.

DATES: Comments are encouraged and will be accepted until [INSERT DATE 30

DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER]. This

process is conducted in accordance with 5 CFR 1320.1.

ADDRESS: Interested persons are invited to submit written comments on the proposed

information collection to the Office of Information and Regulatory Affairs, Office of

Management and Budget, 725 17th Street, NW, Washington, DC 20503, Attention: Desk

Officer for the Office of Personnel Management or sent via electronic mail to

oira_submission@omb.eop.gov or faxed to (202) 395-6974.

FOR FURTHER INFORMATION CONTACT: A copy of this ICR, with applicable

supporting documentation, may be obtained by contacting the Office of Information and

Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW,

Washington, DC 20503, Attention: Desk Officer for the Office of Personnel

Management or sent via electronic mail to oira_submission@omb.eop.gov or faxed to

(202) 395-6974.

SUPPLEMENTARY INFORMATION: The Occupational Questionnaire is an optical

scan form designed to collect applicant information and qualifications in a format suitable

for automated processing and to create applicant records for an automated examining

____________________________________

Paperwork Reduction Act (PRA) Guide 4/27/2011

system. The 1203 series was commonly referred to as the “Qualifications and

Availability Form C.” OPM has re-titled the series as “Occupational Questionnaire” to

fit a more generic need. OPM uses this form to carry out its responsibility for open

competitive examining for admission to the competitive service in accordance with

section 3304, of title 5, United States Code.

ANALYSIS:

Agency: Automated Systems Management Group, Office of Personnel Management

Title: Occupational Questionnaire, OPM Form 1203-FX

OMB Number: 3260-0040

Frequency: On occasion

Affected Public: Individuals or households

Number of Respondents: 3,484,764

Estimated Time Per Respondent: 45 minutes

Total Burden Hours: 2,613,573

U.S. Office of Personnel Management.

John Berry,

Director.

6325-38

Paperwork Reduction Act (PRA) Guide 4/27/2011

APPENDIX F: SAMPLE EMERGENCY FEDERAL REGISTER NOTICE

Publication Date:____________________

6325-38

OFFICE OF PERSONNEL MANAGEMENT

Submission for OMB Emergency Review: OPM Form 1203-FX, Occupational

Questionnaire, 3206-0040

AGENCY: Office of Personnel Management.

ACTION: Emergency Clearance Notice and request for comments.

SUMMARY: The Human Resources Solutions, Office of Personnel Management

(OPM) submitted a request to the Office of Management and Budget (OMB) for

emergency clearance and review for OPM Form 1203-FX, Occupational Questionnaire,

3206-0040. As required by the Paperwork Reduction Act of 1995, (Pub. L. 104-13, 44

U.S.C. chapter 35) as amended by the Clinger-Cohen Act (Pub. L. 104-106), OPM is

soliciting comments for this collection. The Office of Management and Budget is

particularly interested in comments that:

1. Evaluate whether the proposed collection of information is necessary for the

proper performance of the functions of the agency, including whether the

information will have practical utility;

2. Evaluate the accuracy of the agency's estimate of the burden of the proposed

collection of information, including the validity of the methodology and

assumptions used;

3. Enhance the quality, utility, and clarity of the information to be collected; and

4. Minimize the burden of the collection of information on those who are to respond,

including through the use of appropriate automated, electronic, mechanical, or

Paperwork Reduction Act (PRA) Guide 4/27/2011

other technological collection techniques or other forms of information

technology, e.g., permitting electronic submissions of responses.

DATES: Comments on this proposal for emergency review should be received within

[INSERT DATE 10 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL

close of this Federal Register Notice on the request for emergency review. This process

is conducted in accordance with 5 CFR 1320.1.

ADDRESS: Interested persons are invited to submit written comments on the proposed

information collection to the Office of Information and Regulatory Affairs, Office of

Management and Budget, 725 17th Street, NW, Washington, DC 20503, Attention: Desk

Officer for the Office of Personnel Management or sent via electronic mail to

oira_submission@omb.eop.gov or faxed to (202) 395-6974.

SUPPLEMENTARY INFORMATION: The Occupational Questionnaire is an optical

scan form designed to collect applicant information and qualifications in a format suitable

for automated processing and to create applicant records for an automated examining

system. The 1203 series was commonly referred to as the “Qualifications and

Availability Form C.” OPM has re-titled the series as “Occupational Questionnaire” to

fit a more generic need. OPM uses this form to carry out its responsibility for open

competitive examining for admission to the competitive service in accordance with

section 3304, of title 5, United States Code.

Agency: Automated Systems Management Group, Office of Personnel Management

Title: Occupational Questionnaire, OPM Form 1203-FX

OMB Number: 3260-0040

____________________________________

Paperwork Reduction Act (PRA) Guide 4/27/2011

Frequency: On occasion

Affected Public: Individuals or households

Number of Respondents: 3,484,764

Estimated Time Per Respondent: 45 minutes

Total Burden Hours: 2,613,573

U.S. Office of Personnel Management.

John Berry,

Director.

6325 – 38

Paperwork Reduction Act (PRA) Guide 4/27/2011

APPENDIX G: SAMPLE OMB MEMORANDUM FOR EMERGENCY

CLEARANCE

MEMORANDUM FOR:

OMB Designee

OPM Desk Officer

Office of Management and Budget

FROM:

OPM Designee

Deputy Associate Director

Chief Information Officer

SUBJECT: Request for Emergency Clearance

This is to request emergency clearance for [briefly describe the information collection

and provide the current or former OMB clearance number if applicable]. [If true,

include the following statement] In addition to the emergency clearance, we will also

complete the normal OMB review process and post the 60-Day and 30 Day Federal

[Describe in detail why OPM is requesting emergency clearance, and include the

following information:

 Why emergency clearance is essential to the agency mission.

 Why the agency cannot reasonably comply with normal clearance procedures, and

show how:

a. Public harm is likely to result if normal clearance procedures are followed,

b. An unanticipated event has occurred, or

c. Use of normal clearance procedures is reasonably likely to prevent or

disrupt the collection of information or is likely to cause a statutory or

court-ordered deadline to be missed.

 The time period within which OMB should approve or disapprove the information

collection.

 How OPM has taken all practicable steps to consult with interested agencies and

members of the public to minimize the burden of the information collection.]

Paperwork Reduction Act (PRA) Guide 4/27/2011

APPENDIX H: INSTRUCTIONS FOR COMPLETING OMB FORM 83-I

1. Agency/Subagency originating request – Enter OPM and the program office name.

2. OMB control number – If the information collection has previously been approved

by OMB, enter the control number that was assigned (whether current or expired). For

OPM, it will always start with 3206 and have 4 additional digits. Check b for None for

new collections that have never been assigned a control number.

3. Type of information collection – Check only one block, as follows:

a. Check New Collection when the collection has not previously been used

by OPM.

b. Check Revision when the collection is currently approved by OMB and

you wish to make a change in the questions asked, the manner of the

collection, the burden estimate, or the way in which the information will

be used.

c. Check Extension when the collection currently has OMB approval, you

wish to extend that approval past the current OMB expiration date

(generally, renew for another 3 years), and no change is proposed for the

collection.

d. Check Reinstatement, without change when you are submitting a

collection that previously had OMB approval, the approval expired, and

no major change has been made in the previously approved collection.

e. Check Reinstatement, with change when the collection is like d above,

but has been changed since the prior approval.

f. Check Existing collection in use without an OMB control number if

the collection has been in use without ever having received OMB

approval. If you check this block, your request must be accompanied by a

memo explaining why this violation of the Paperwork Reduction Act took

place.

4. Type of review requested – Block a, Regular Submission, should always be checked

unless instructed otherwise by the OPM PRA Clearance Officer. If you have a situation

that requires OMB approval in less than 60 days to avoid some damaging effect on the

public or the environment, contact the OPM PRA Clearance Officer or your Division

PRA Coordinator to discuss the situation. Not meeting a deadline because of lack of

foresight is not regarded as an emergency by OPM or OMB.

5. Small Entities – Indicate whether this information collection will have a significant

impact on a substantial number of small entities. A small entity may be (1) a small

business that is independently owned and operated and that is not dominant in its field of

operations; (2) a small organization that is any not-for-profit enterprise independently

owned and operated and is not dominant in its field; or (3) a small government

Paperwork Reduction Act (PRA) Guide 4/27/2011

jurisdiction that is the government of a city, county, town, township, school district, or

special district with a population of less that 50,000.

6. Requested expiration date – Check block a for 3-year approval unless you know that

the collection's life will be less than 3 years. In the latter case, check block b and enter a

date. DO NOT request an expiration date beyond 3 years, as OMB is prohibited by law

from giving such an approval. If the action is a revision to a currently approved

collection, enter the existing expiration date for the collection.

7. Title – Provide a title for the information collection. If the submission is a revision to

a currently approved collection, use the title for the overall collection rather than

providing the title of the change to take place. Usually you should not use the title of any

associated rulemaking, as it will not specifically identify the information collection itself.

8. Agency form numbers – Enter the numbers of any OPM numbered forms to be used

in the collection. When multiple forms will be used, separate the numbers with commas.

If the only number on the form is the OMB control number, do not list it here but put NA.

9. Keywords – Enter OPM, the name of the collection, and the program office.

10. Abstract – Provide a brief statement, in 5-10 lines of text, describing the need for the

information and how it will be used.

11. Affected public – Mark all the categories that apply. Mark the primary respondent

group with a P and the secondary respondent group with an X.

12. Obligation to respond –

a. Check Voluntary when the response is entirely discretionary and has no

direct effect on any benefit or privilege for the respondent.

b. Check Required to obtain or retain a benefit when the response is

elective but is required to obtain or retain a benefit (e.g., a loan).

c. Check Mandatory when the respondent must respond by statute or

regulation.

13. Annual recordkeeping and reporting burden – Enter the information described

below. If you are requesting approval for 3 years, and the number of respondents,

responses, or burden hours will vary significantly during that period, provide an annual

average over the period rather than the maximum year's figures. If the submission is a

revision to an existing collection, the numbers should reflect the new totals for the overall

collection, and not just the changes being made. That is, if you are adding six

respondents, 100 responses, and 25 burden hours per year, these are not your new annual

totals; the new totals reflect the current numbers plus the added numbers (e.g., current

hours of 500 plus added 25 hours equals 525).

Paperwork Reduction Act (PRA) Guide 4/27/2011

If you do not have accurate data on the totals, contact the OPM PRA Clearance

Officer or check the current totals for this collection in ROCIS:

Some reasons why the totals may have changed since the last renewal are a revision

submitted through this same process, or a change worksheet that may have merged

another collection into this one. If you are not a new sponsor for this collection, you will

have been the one doing the revising or merging, but it still never hurts to check your

totals!

a. Enter the total number of respondents, annualized over the 3-year approval

period. That is, if each respondent responds at least once per year, do not

divide by 3 – your annual respondent total is the same as your overall

total. If each respondent responds less often than annually in the 3-year

period, divide the total by 3. Do not double-count respondents: if 15

people file 3 reports per year, you have 15 respondents, not 45.

b. Enter the total number of responses provided annually. Provide the

percentage of responses that will be submitted or collected using

electronic media (other than telephones and facsimile submissions). Do

not include the entering of submitted information into a computer after

receipt in OPM.

c. Enter the total annual reporting and recordkeeping burden in hours.

d. Enter the total annual burden-hours currently approved by OMB. Enter 0

for a new collection or a collection for which OMB approval has expired.

e. Enter the difference by subtracting line d from line c. Record a negative

number in parentheses.

f. Based on the reason for the difference (program change or adjustment),

enter the amount of the difference shown in line e, in lines f1 and f2.

f1. Program change – This is the result of deliberate Federal Government action. All

new collections and any subsequent revisions or changes resulting in cost changes are

recorded as program changes.

f2. Adjustment – This is a change that is not the result of a deliberate Federal

Government action. Changes resulting from new estimations or actions not controllable

by the Federal Government are recorded as adjustments.

If appropriate, both program changes and adjustments can be used to explain applicable

components of a burden-hour change. Examples: Of a total difference (increase) of 400,

300 could be due to program change and 100, to adjustment, OR you could have a

decrease of 100 due to program change and an increase of 500 due to adjustment, which

would still be a net increase of 400.

14. Annual reporting and recordkeeping cost burden – The costs identified in this

item are those identified in item 13 of the Supporting Statement ONLY, that is,

recordkeeping or reporting costs, NOT labor costs (labor costs are addressed ONLY in

the Supporting Statement item 12, and do not appear on the 83-I).

Paperwork Reduction Act (PRA) Guide 4/27/2011

a. Enter the total dollar amount of annualized costs for all respondents of any

associated capital or start-up costs (e.g., the cost of buying and setting up a

computer needed to make the reports, divided by 3 years).

b. Enter the recurring annual dollar amount of costs for all respondents

associated with operating or maintaining systems or purchasing services.

Include any money the respondent spends to comply with the information

request or requirement (e.g., for attorney fees). Operations and

maintenance costs include the costs of mailing, faxing, or calling in

information, making paper copies, notary costs, and electronic

transmissions. Regular maintenance of any equipment whose initial costs

fall under “capital and start-up” would also belong here.

c. Enter the total of 14a + 14b as requested annual reporting and

recordkeeping cost burden.

d. Enter the total cost burden currently approved by OMB for this collection

of information. Enter zero (0) if this is a new submission.

e. Enter the difference by subtracting line d from line c. Record a negative

number within parentheses.

f. If appropriate, both program changes and adjustments can be used to

explain applicable components of a burden-hour change. Based on the

reason for the difference (program change or adjustment), enter the

amount of the difference shown in line e, in lines f1 and f2. See #13 above

for definitions and examples.

15. Purpose of information collection – Check all that apply, using a P for the primary

purpose and an X for all others.

16. Frequency of recordkeeping or reporting –

a. Check Recordkeeping if the collection of information explicitly requires

a person to maintain records that will not subsequently be submitted to the

Federal Government.

b. Check Third party disclosure if a collection of information requires a

person to obtain or compile information for the purpose of disclosure to

members of the public or the public at large, through posting, notification,

labeling, or similar requirements.

c. Check Reporting for information collections that involve reporting to the

Federal Government and check the frequency of reporting that is requested

or required of a respondent. If the reporting is triggered by an event, check

On occasion.

17. Statistical methods – Many research collections and scientific program evaluations

employ statistical methods, while applications and audits do not.

Check Yes if you are:

Paperwork Reduction Act (PRA) Guide 4/27/2011

a. Collecting data using any survey methods.

Note: OMB is now including census (collection from the entire respondent

population) under “sampling”, and since sampling is a statistical method,

for any information collection referred to as a “survey” you must check

Yes (see below).

b. Doing any kind of estimation, imputation, or weighting.

c. Pretesting or field testing for a survey, including cognitive interviews or

focus groups from a total of 10 or more people.

If you check Yes, you must also answer Part B in the Supporting Statement (see the

instructions in appendix I, part B).

18. Agency contact – Provide the name and telephone number of someone able to

answer questions regarding the content of the submission.

19. Certification – DO NOT SIGN THIS BLOCK! No entry is needed. However, you do

need to review the certification standards on this page, and if the collection fails to meet

one or more of those standards, item 18 of the Supporting Statement must explain the

reason for that failure.

Agency Certification – OPM requires that the OMB Form 83-I be signed by an

Associate Director, Deputy Associate Director or program manager.

Paperwork Reduction Act (PRA) Guide 4/27/2011

APPENDIX I: HOW TO CREATE A SUPPORTING STATEMENT

General Instructions

A Supporting Statement, including the text of the notice to the public required by 5 CFR

1320.5(a)(i)(iv) and its actual or estimated date of publication in the Federal Register,

must accompany each request for approval of a collection of information. The Supporting

Statement must be prepared in the format described below, and must contain the

information specified in part A below. If an item is not applicable, provide a brief

explanation. When the question “Does this ICR contain surveys or censuses or employ

statistical methods” is checked "Yes", part B of the Supporting Statement must also be

completed. OMB reserves the right to require the submission of additional information

with respect to any request for approval.

Specific Instructions

Start with the title of the collection, any associated forms used, and the control number

for this collection.

Title:

Form names and numbers:

OMB Control Number: 3206-xxxx

PART A. JUSTIFICATION

1. Explain the circumstances that make the collection of information necessary.

Include a citation and brief description of any statute or Executive order that requires the

collection, as well as any pending regulations on which revisions are based, if applicable.

Copies of statutes mandating or authorizing a collection must be included with all

submissions. Provide some background information on the program and describe how the

collection supports it. Detail any specific program problems you hope to resolve.

2. Indicate how, by whom, and for what purpose the information is to be used.

Except for a new collection, indicate the actual use the agency has made of the

information received from the current collection.

For all but "New" collection requests, indicate the actual use OPM has made of the

information received. This explanation of the proposed and any past use of the

information is a key one and must be detailed. Do not just make general statements about

the overall use of the information, but address the specific items of information being

collected. You should deal individually with each question or type of question being

asked in your survey or on your form unless the purpose of the question is obvious to

Paperwork Reduction Act (PRA) Guide 4/27/2011

someone not familiar with your program. One of OMB's key standards under the

Paperwork Reduction Act is whether the information has "practical utility"; you must

demonstrate that you will be using all of the information collected for a practical and

necessary program purpose.

3. Describe whether, and to what extent, the collection of information involves the

use of automated, electronic, mechanical, or other technological collection

techniques or other forms of information technology.

Explain the basis for the decision for adopting this means of collection. Also describe any

consideration you have given or are giving to the use of improved information

technology to reduce the burden on the public. You must address the following:

 Is the electronic submission of responses possible?

 If a form is involved, is it available on the Internet for public printing?

 Will the results of the information collection be made available to the public over

the Internet?

If the answer to any of those questions is “no”, are there plans to do so? If not, why not?

4. Describe efforts to identify duplication. Show specifically why any similar

information already available cannot be used or modified for use for the purposes

described in item 2 above.

Describe your efforts to identify duplication with other collections (under other OMB

control numbers or collections by other agencies, etc.) that may be gathering the same or

similar information. If the same or similar information is available, describe why it

cannot be used or modified for the purposes described in item 2 above.

5. If the collection of information impacts small businesses or other small entities,

describe any methods used to minimize burden.

If the collection will have a significant impact on small entities such as small businesses,

organizations, or government bodies (see the instruction above for item 5 of the OMB 83-

I), describe the methods used to minimize the burden on them.

6. Describe the consequence to Federal program or policy activities if the collection

is not conducted or is conducted less frequently, as well as any technical or legal

obstacles to reducing the burden.

Address both parts of the question: not conducting the collection AND doing it less

frequently. Generally one or two paragraphs are sufficient.

7. Explain any special circumstances that would cause an information collection to

be conducted in a manner:

Paperwork Reduction Act (PRA) Guide 4/27/2011

 Requiring respondents to report information to the agency more often than

quarterly;

 Requiring respondents to prepare a written response to a collection of

information in fewer than 30 days after receipt of it;

 Requiring respondents to submit more than an original and two copies of any

document;

 Requiring respondents to retain records, other than health, medical,

government contract, grant-in-aid, or tax records, for more than 3 years;

 In connection with a statistical survey, that is not designed to produce valid

and reliable results that can be generalized to the universe of study;

 Requiring the use of a statistical data classification that has not been reviewed

and approved by OMB;

 That includes a pledge of confidentiality that is not supported by authority

established in statute or regulation, that is not supported by disclosure and

data security policies that are consistent with the pledge, or that unnecessarily

impedes sharing of data with other agencies for compatible confidential use;

 Requiring respondents to submit proprietary trade secrets or other confidential

information unless the agency can demonstrate that it has instituted

procedures to protect the information's confidentiality to the extent permitted

by law.

8. If applicable, provide a copy and identify the date and page number of

publication in the Federal Register of the agency's notice, required by 5 CFR

1320.8(d), soliciting comments on the information collection prior to submission to

OMB.

The first sentence should read: “On [indicate month, day, and year], a 60-Day Federal

comments were received.” [If pertinent comments were received, state: “## comments

were received and responded to”.]

If you are submitting the request in association with a Notice of Proposed Rulemaking,

eliminate the sentence about publication of a Federal Register notice and state that a

proposed rule will be published for public comment. Please give the Regulation Identifier

Number (RIN).

9. Explain any decision to provide any payment or gift to respondents, other than

remuneration of contractors or grantees.

Payments or gifts are generally not permissible, so if you are proposing to do so, provide

a justification, including your authority for making such payments or gifts.

10. Describe any assurance of confidentiality provided to respondents and the basis

for the assurance in statute, regulation, or agency policy.

Paperwork Reduction Act (PRA) Guide 4/27/2011

You must cite a specific authority for promising confidentiality. If there is no applicable

authority, and you do plan to protect the information, please describe the management,

operational, and technical safeguards, but do not state that information will be

confidential.

If the Privacy Act (5 U.S.C. 552a) applies to a collection (see below), it can be used as a

statutory authority for confidentiality. If there is another appropriate statutory authority in

addition to the Privacy Act, it is best to cite that authority. However, if the Privacy Act

applies, compliance with this Act is still necessary (see below).

This Act generally applies if records will be primarily retrieved by personally identifiable

information, e.g., name, social security number (SSN), or date of birth. This Act “governs

the collection, maintenance, and disclosure of information from or about identifiable

individuals (not statistical or aggregate information).” For these purposes, corporations

are not considered to be individuals, but persons acting as or for corporations are still

considered individuals. Also, if a business does not have an employer identification

number (EIN) and thus must supply an SSN, the SSN requires protection under the

Privacy Act.

If an information collection falls under this Act, a Privacy Act system of records notice

must be published in the Federal Register, which describes how and where the

information is stored, and how it is secured. If a system of records already exists under

which this collection would fall, you do not need to go through this process.

If you request a respondent’s SSN, this Privacy Act note (Section 7(a)(1)(b)) applies,

“Any Federal, State or local government agency which requests an individual to

disclose his social security account number shall inform that individual whether that

disclosure is mandatory or voluntary, by what statutory or other authority such

number is solicited, and what uses will be made of it.”

The applicable statement must be included along with the Paperwork Reduction Act

statement on all forms that request an SSN.

11. Provide additional justification for any questions of a sensitive nature, such as

sexual behavior and attitudes, religious beliefs, and other matters that are

commonly considered private.

This justification should include the reasons why the agency considers the questions

necessary, the specific uses to be made of the information, the explanation to be given to

people from whom the information is requested, and any steps to be taken to obtain their

consent. Finally, OMB has standards8 for asking questions about race or ethnicity. If

you ask such questions, you must comply with those standards.

12. Provide estimates of the hour burden of the collection of information. The

statement should:

8 See OMB Directive 15, Race and Ethnic Standards for Federal Statistics and Administrative Reporting.

Paperwork Reduction Act (PRA) Guide 4/27/2011

 Indicate the number of respondents, frequency of response, annual hour

burden, and an explanation of how the burden was estimated. Unless directed

to do so, agencies should not conduct special surveys to obtain information on

which to base hour burden estimates. Consultation with a sample of potential

respondents (fewer than 10) is desirable. If the hour burden on respondents is

expected to vary widely because of differences in activity, size, or complexity,

show the range of estimated hour burden and explain the reasons for the

variance. Generally, estimates should not include burden hours for customary

and usual business practices. Note: If this request for approval covers more

than one form, provide separate hour burden estimates for each form and

aggregate the hour burdens.

 Provide estimates of annualized cost to respondents for the hour burdens for

collections of information, identifying and using appropriate wage rate

categories. The cost of contracting out or paying outside parties for

information collection activities should not be included here. Instead, this cost

should be included under item 13.

Form

Name

Form

Number

No. of

Respondents

No. of

Responses

per

Respondent

Average.

Burden per

Response (in

hours)

Total

Annual

Burden

(in hours)

Average

Hourly

Wage

Rate

Total

Annual

Respondent

Cost

$ $

Total $ $

13. Provide an estimate for the total annual cost burden to respondents or record-

keepers resulting from the collection of information. Do NOT include the labor cost

(wage equivalent) of the burden-hours described in item 12 above. The information

required here corresponds to that in item 14 on the 83-I (cost to the public).

The cost estimate should be split into two components:

1. A total capital and start-up cost component (annualized over its expected useful

life).

2. A total operation and maintenance and purchase of services component.

The estimates should take into account costs associated with generating, maintaining, and

disclosing or providing the information. Include descriptions of methods used to estimate

major cost factors, including system and technology acquisition, expected useful life of

capital equipment, the discount rates, and the time period over which costs will be

incurred. Capital and start-up costs include, among other items, preparations for

collecting information such as purchasing computers and software; monitoring, sampling,

drilling and testing equipment; and record storage facilities.

Paperwork Reduction Act (PRA) Guide 4/27/2011

If cost estimates are expected to vary widely, agencies should present ranges of cost

burdens and explain the reasons for the variance. The cost of purchasing or contracting

out information collections services should be a part of this cost burden estimate. In

developing cost burden estimates, agencies may consult with a sample of respondents

(fewer than 10), use the 60-day pre-OMB submission public comment process, and use

existing economic or regulatory impact analysis associated with the rulemaking

containing the information collection, as appropriate.

Generally, estimates should not include purchases of equipment or services, or portions

of them, made (1) prior to October 1, 1995, (2) to achieve regulatory compliance with

requirements not associated with the information collection, (3) for reasons other than to

provide information or keep records for the Government, or (4) as part of customary and

usual business or private practices.

14. Provide estimates of annualized costs to the Federal Government.

Include here a description of the method used to estimate costs to the Federal

Government, which should show the quantification of hours, operational expenses (such

as equipment, overhead, printing, and staff support), and any other expense that would

not have been incurred without this collection of information. If there will be no costs

beyond the normal labor costs for staff, state that here.

15. Explain the reasons for any program changes or adjustments reported on the

burden worksheet.

Program changes are new collections or changes in requirements. Adjustments are re-

estimates of the number of respondents, responses, or the response times for existing

requirements. Please be more specific than, for example, “Changes were due to the

requirement that _____". List at least net changes and the specific reasons for them; for

example, “Increased reporting or recordkeeping costs are due to the capital costs of …”.

If there are no changes, simply state, “There are no changes” with no further explanation.

If this is a new program, obviously there can be no changes from a previous version,

simply state “This is a new program”.

16. For collections of information whose results will be published, outline plans for

tabulation and publication. Address any complex analytical techniques that will be

used. Provide the time schedule for the entire project, including beginning and

ending dates of the collection of information, completion of report, publication

dates, and other actions.

Address any complex analytical techniques that will be used. Provide a time schedule for

the collection, publication, and other actions. Also, will the results of the collection be

made available on your organization’s Web site? If not, why not?

Paperwork Reduction Act (PRA) Guide 4/27/2011

17. If you are seeking approval to not display the expiration date for OMB approval

of the information collection, explain the reasons that display would be

inappropriate.

If your collection consists of a paper form, you may request exemption from printing the

expiration date on the forms based on the high cost of reprinting. However if you have

an electronic application, for example, online data entry screens, you may not claim this

exemption.

18. Explain each exception to the topics of the certification statement identified in

Certification for Paperwork Reduction Act Submissions.

Self-explanatory. There are virtually never exceptions.

PART B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL

METHODS

If your collection does not employ statistical methods, state that and delete the following

five questions from the format – UNLESS your proposed information collection is a

survey. OMB recently clarified that Part B must be completed for all survey requests,

whether or not statistical analysis will be applied. In addition to statistical analysis, Part B

addresses the description of the target group of respondents, the sampling plan, and plans

to maximize response rates and address nonresponse. When item 17 of the OMB 83-I is

checked "Yes", the following documentation must be provided to the extent that it applies

to the methods proposed.

1. Describe (including a numerical estimate) the potential respondent universe and

any sampling or other respondent selection methods to be used. Data on the number

of entities (e.g., establishments, State and local government units, households, or

persons) in the universe covered by the collection and in the corresponding sample

are to be provided in tabular form for the universe as a whole and for each of the

strata in the proposed sample. Indicate expected response rates for the collection as

a whole. If the collection had been conducted previously, include the actual response

rate achieved during the last collection.

Response rate means -- Of those in your respondent sample, from what percentage do

you expect to get the required information (if this is not a mandatory collection). The

nonrespondents would include those you could not contact, as well as those you

contacted but who refused to give the information.

2. Describe the procedures for the collection of information, including:

 Statistical methodology for stratification and sample selection.

 Estimation procedure.

 Degree of accuracy needed for the purpose described in the justification.

 Unusual problems requiring specialized sampling procedures,

Paperwork Reduction Act (PRA) Guide 4/27/2011

 Any use of periodic (less frequent than annual) data collection cycles to

reduce burden.

If you are selecting a uniform respondent universe, you may be using a simple random

numbers table to select a sample.

Stratified sampling is often used when the sampling population can be split into

nonoverlapping strata that individually are more homogeneous than the population as a

whole (e.g., gender and age groups). If there are no obvious "dividing lines", grid lines

can be used to divide the population. Random samples are taken from each stratum (or

class) and the results are combined to estimate a population mean. Stratified sampling is

most successful when the variance within each stratum is less than the overall variance of

the population.9

3. Describe methods to maximize response rates and to deal with issues of

nonresponse. The accuracy and reliability of information collected must be shown to

be adequate for intended uses. For collections based on sampling, a special

justification must be provided for any collection that will not yield "reliable" data

that can be generalized to the universe studied.

Any aspect of your plan that makes it easier and more attractive to comply with the

request for information would tend to maximize response rate. This would include:

 Such steps as prenotification and various types of followup with those who

did not respond at the first opportunity (give details, e.g., intervals for

followup, types of followup, how many times you will follow up).

 Making the questions as simple and brief as possible.

 Already having a good working relationship with this group or the group’s

perception that actions based on the information collected would be helpful to

them.

A lower response rate than 75% would definitely require a plan to address nonresponse,

according to OMB’s standards. This means that a large enough number of respondents

didn’t give information so that there is a possibility that their answers as a group might

have differed significantly from those who did respond. Following up with

nonrespondents – resending surveys or sending a shorter version of the survey, trying a

phone interview if possible, etc. – are all effective strategies.

4. Describe any tests of procedures or methods to be undertaken. Testing is

encouraged as an effective means of refining collections of information to minimize

burden and improve utility. Tests must be approved if they call for answers to

identical questions from 10 or more respondents. A proposed test or set of test may

be submitted for approval separately or in combination with the main collection of

information.

9 Christopher and Schmitt, Environmental Monitoring and Sampling Primer, 1997:

http://ewr.cee.vt.edu/environmental/teach/smprimer/design/sample.html#stratified.

Paperwork Reduction Act (PRA) Guide 4/27/2011

If you are employing testing, please describe it here.

5. Provide the name and telephone number of individuals consulted on statistical

aspects of the design and the name of the agency unit, contractors, grantees, or

other person(s) who will actually collect or analyze the information for the agency.

Self-explanatory.

OIRA has produced a number of documents that may serve as useful reference material

for completing Supporting Statement Part B. These can be found at

http://www.whitehouse.gov/omb/inforeg_statpolicy/.

Paperwork Reduction Act (PRA) Guide 4/27/2011

APPENDIX J: SAMPLE APPROVED PUBLIC BURDEN STATEMENT

Public Burden Statement

The public reporting burden for this information collection is estimated to be 30 minutes.

This burden estimate includes time for reviewing instructions, researching existing data

sources, gathering and maintaining the needed data, and completing and submitting the

information. Send comments regarding the accuracy of this burden estimate and any

suggestions for reducing the burden to: U.S. Office of Personnel Management, Federal

Investigative Services, Attn: OMB Number (3206-0246), 1900 E Street NW,

Washington, DC 20415-7900. You are not required to respond to this collection of

information unless a valid OMB control number is displayed.

United StateS 

Office Of PerSOnnel ManageMent 

Chief Information Officer

1900 E Street, NW

Washington, DC 20415

CIO/RM-02

OPM PRA Guide_April 27 2011 Paperwork Reduction Act Guide

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