Forms & Information Collections Programs

The Paperwork Reduction Act of 1995 requires Federal agencies to obtain approval from OMB each time they propose to collect or sponsor, even under a contract or other agreement, the collection of identical information from more than nine respondents. In addition, activities related to development or testing of data collection plans are also subject to OMB review and approval if identical information is sought from more than nine respondents in either a formal or informal manner.

Collections Requiring a Clearance

• Report forms, application forms, questionnaires, or interview guides for in-person or telephone surveys.
• Orders, regulations or other directives that include requirements for respondents to provide information or maintain records to be used or made available for use in the collection of information.
• Requests for answers to identical questions which are addressed to respondents by telephone, form letters, information circulars and other devices.
• Any supplementary documents involved in these reporting or recordkeeping requirements, such as instructions or covering letters or introductory statements.

NOTE: OMB interprets the use of Internet surveys as surveys requiring approval if these fall into the above guidelines. However, see below under Surveys NOT Requiring a Clearance for additional information.

Collections Not Requiring a Clearance

• Collecting identical information from 9 or fewer people.
• Surveying other Federal agencies, bureaus, labs, etc. States, tribes, and local governments however require a clearance for surveys.
• Passive means of obtaining feedback and comments without using structured questions. For example, we can provide a passive opportunity for our customers to provide us with feedback and comments through our web homepages. This merely means offering customers an opportunity to send feedback to an email address or to place comments on a webpage.
• Feedback obtained through discussions that are not structured as a survey or focus group mechanism.
• Hotlines and complaint systems.

Definitions of Generic Clearance and Burden

Generic clearance involves advance approval of a well-defined class of low-burden data collections (a bundle of individual collection requests) that are not fully documented until they are used. A generic clearance typically includes a set of agreements negotiated between the sponsoring agency and OMB, covering limitations on methods and usage, a burden cap, a periodic reporting requirement to update the OMB Docket, and a commitment by OMB to review any specific application quickly.

Generic clearances require more than 100 days for approval by OMB. The specific application usage review by OMB, following the generic clearance, is purported to take only 10 days once the generic clearance has been granted. Generic clearances are usually effective for three years. After the three-year time-period, the generic clearance can be renewed by following the 100-day process described above.

Individual clearances can be obtained for specific surveys or information collection activities. Individual clearances also require OMB approval and are subject to the same 100-day review process.

Burden means "total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a federal agency." The burden consists only of expenditures on information collection activities beyond those that "would be incurred by persons in the normal course of their activities"; it does not include expenditures on reporting, recordkeeping, or disclosure activities that are "usual and customary."

Generic Clearance Package Requirements:

• OMB provides for a simplified generic clearance for customer satisfaction surveys made in compliance with the Executive Order. The proposal should include:
• A description of the kinds of customer surveys the clearance will cover as well as the agency programs they will address.
• Cite the authority of Executive Order 12862.
• Request a three-year expiration data (since these data collection programs are expected to support a process of repeated measurement).
• Propose a maximum number of burden hours (per year) against which burden will be charged for each survey used.
• Include an arrangement to submit a brief summary of objectives, specific burden estimates, and all final or near final survey instruments (focus group scripts, test questions, etc.) covered by the generic clearance for inclusion in the OMB public docket prior to their use.
• Specify an adequate internal review process to ensure that individual applications are consistent with the Paperwork Reduction Act (PRA), the Paperwork Rule, and the terms of the generic clearance. This requires qualified reviewers who are independent of sponsoring programs. Review by a professional statistician may be needed in some cases (if the generic clearance will include quantitative surveys). This review must also assure that material submitted for the public docket is accurate, timely, and complete. (OMB recommends working with other Federal agencies that have experience with this and mentions several with points of contact germane to our needs including National Science Foundation, Environmental Protection Agency, the National Center for Education Statistics and the Energy Information Administration.).
• Propose an appropriate progress reporting schedule (such as at one-year intervals) for summarizing actual burden, reporting results achieved, and addressing any problems or revisions needed to the basic clearance agreement.
• Completion of OMB Form 83-I is mandatory and certification of compliance with PRA.
• Supporting supplemental data including a listing of focus groups, surveys, etc. as part of our plan.