OMB 83-I Supporting Statement 6 27 07

OMB 83-I SUPPORTING STATEMENT for 1910-5115
Contractor Legal Management Requirements
This supporting statement provides information regarding the Department of Energy (DOE)
Paperwork Reduction Act Submission request pertaining to DOE contractors’ practices for
managing legal costs and matters for which it procures the services of legal counsel.
A.

JUSTIFICATION

1.

Explain the circumstances that make the collection of information necessary.
Identify any legal or administrative requirements that necessitate the collection.
Attach a copy of the appropriate section of each statute and regulation mandating
or authorizing the collection of information.

DOE’s Contractor Legal Management Requirements, 10 CFR Part 719, which became
effective on April 23, 2001, include provisions that impose a collection of information. These
regulations were promulgated under authority in section 161 of the Atomic Energy Act of 1954,
42 U.S.C. 2201, the Department of Energy Organization Act, 42 U.S.C. 7101, et seq., and the
National Nuclear Security Administration Act, 50 U.S.C. 2401, et seq.
2.

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

The regulation (Subpart B, § 719.10, et seq.) requires covered DOE contractors and
subcontractors to submit to DOE counsel a legal management plan within 60 days following
execution of a contract if covered costs are to be reimbursed by DOE. (The requirement would
not apply to fixed price contracts, cost reimbursement contracts for less than $100,000,000, and
contracts not involving work performed at DOE owned or leased facilities.) The legal
management plan must include provision for contractor submission of an annual legal budget
that includes cost projections for the matters for which legal costs will exceed $100,000 and for
which a request for DOE reimbursement may be made. The budget detail will depend on the
nature of the activities and complexity of the matters included in the budget. Once approved by
DOE, the legal management plan, as well as applicable regulations and contract provisions, will
form the basis for DOE actions on requests for reimbursement of litigation and other legal
expenses.
3.

Describe whether, at 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.

The regulation does not specifically preclude or provide for the use of particular
automated, electronic, mechanical, or other technological collection techniques or other forms of
information technology. The legal management plans submitted by DOE contractors must
address the items specified in § 719.11, but otherwise the content of the plans is expected to vary
because contractors’ use of outside legal services will vary.
4.

Describe efforts to identify duplication.

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This information collection applies to management of programs in DOE and does not
duplicate any existing data of other agencies.
5.

If the collection of information impacts small businesses or other small entities,
describe any methods used to minimize burden.

The collection of information does not adversely impact small businesses or other small
entities. DOE facility contractors are large entities. Some small subcontractors may be affected,
but the modest compliance costs would be an allowable cost under their contracts.
6.
Describe the consequence to Federal program or policy activities if the collection is
not conducted or is conducted less frequently.
The initial submission of a legal management plan, the annual legal budget, and
certification of costs submitted for reimbursement are the minimum requirements for an effective
program to oversee and make decisions regarding reimbursement of legal costs.
7.
Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
This collection of information has been reviewed and justified by Departmental
management requirements, statutes, external regulations, Departmental directives, and is
collected in a manner consistent with 5 CFR 1320 guidelines.
8.

Describe efforts to consult with persons outside the agency to obtain their views on
the availability of data, frequency of collection, the clarity of instructions and
recordkeeping, disclosure, or reporting format (if any), and on the data elements to
be recorded, disclosed, or reported. Consultation with representatives of those from
whom information is to be obtained or those who must compile records should
occur at least once every 3 years. There may be circumstances that may preclude
consultation in a specific situation. These circumstances should be explained.

This information collection differs from collections placed on the general public in that it
is placed on DOE contractors. DOE does solicit input from DOE contractors regarding the
burden implications of new or revised collections and also solicits their input on ways to reduce
the burden of existing collections and still provide DOE contractor management with sufficient
information to fulfill their managerial and statutory responsibilities.

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9.
Explain any decision to provide any payment or gift to respondents, other than
remuneration of contractors or grantees.
No payment or gift will be provided to respondents, other than remuneration of
contractors.
10.
Describe any assurance of confidentiality provided to respondents and the basis for
the assurance in statute, regulation, or agency policy.
No assurance of confidentiality is provided in the regulation. In the unlikely event that
confidential information would be involved in any information collection, the provisions for
dealing with this confidential information are set forth in the contract documents and the related
Departmental regulations, and the matter would be handled under established procedures.
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.
No information of a sensitive or personal nature will be collected.
12.

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

Respondents & Responses
DOE estimates that the total annual number of respondents and responses will be seven
(7). This estimate is based on the estimate that approximately thirty-six (36) contractors will be
subject to the requirement to submit a legal management plan; that these contracts are for a five
(5) year period; and that in any one year twenty percent (20%) of the total number of covered
contractors may be required to submit a plan in any given year. There is also an annual legal
budget submission required of all 36 contractors.
Thus, the total number of annual responses is estimated to be 7 for the legal management
plan and 36 for the annual legal budget portion of the legal management plan.
Burden Hours
The burden hours for this collection are estimated to be approximately 515 hours on an
annual basis. The basis for this estimate in on the estimate that preparation time of the initial
plan is 15-30 hours and that 20% of the 36 contractors will need to submit a legal management
plan in any given year. The estimate total for the year also includes an estimate of approximately
10 hours for an annual budgetary update, which would be submitted by all of the contractors.

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13.
Provide an estimate of the total annual cost burden to respondents or recordkeepers
resulting from the collection of information. (Do not include the cost of any hour burden
shown in Items 12 and 14).
There are no additional: (1) capital and start-up costs or (2) operation and purchase of
service costs associated with these data collections. It should also be noted that costs incurred by
DOE contractors in providing the information collections in this information collection request
are recovered in their contract fees and payments. In this sense, they differ from information
collections imposed on the general public for which no cost reimbursement is provided.
14.

Provide estimates of annualized cost to the Federal government.

As noted above in question 1, the Department is not involved in the collection or
maintenance of this data. Accordingly, there is no cost to the Department.
15.
Explain the reasons for any program changes or adjustments reporting in Items 13
or 14 of the OMB Form 83-I.
There are no changes or adjustments.
16.
For collections of information whose results will be published, outline plans for
tabulation, and publication.
DOE does not plan to publish the information obtained by this information collection.
17.
If seeking approval to not display the expiration date for OMB approval of the
information collection, explain the reasons that display would be appropriate.
DOE is not seeking approval to not display the expiration date for OMB approval of this
information collection.
18.
Explain each exception to the certification statement identified in Item 19 of the
OMB 83-I.
This collection of information has been reviewed and justified by Departmental
management requirements, statutes, external regulations, and Departmental directives, and meets
the requirements listed in the “Certification for Paperwork Reduction Act Submissions.”
B.

COLLECTION OF INFORMATION AND EMPLOYMENT STATISTICAL
METHODS

This is not applicable since there is no requirement for the collection of
information employing statistical methods.

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