5 CFR 1320(b)(3)

Office of Management and Budget

§ 1320.8

other person through administrative or
judicial process.
(e) The protection provided by paragraph (a) of this section does not preclude the imposition of a penalty on a
person for failing to comply with a collection of information that is imposed
on the person by statute—e.g., 26
U.S.C. § 6011(a) (statutory requirement
for person to file a tax return), 42
U.S.C. § 6938(c) (statutory requirement
for person to provide notification before exporting hazardous waste).

Lhorne on DSK5TPTVN1PROD with CFR

§ 1320.7 Agency head and Senior Official responsibilities.
(a) Except as provided in paragraph
(b) of this section, each agency head
shall designate a Senior Official to
carry out the responsibilities of the
agency under the Act and this part.
The Senior Official shall report directly to the head of the agency and
shall have the authority, subject to
that of the agency head, to carry out
the responsibilities of the agency under
the Act and this part.
(b) An agency head may retain full
undelegated review authority for any
component of the agency which by
statute is required to be independent of
any agency official below the agency
head. For each component for which responsibility under the Act is not delegated to the Senior Official, the agency
head shall be responsible for the performance of those functions.
(c) The Senior Official shall head an
office responsible for ensuring agency
compliance with and prompt, efficient,
and effective implementation of the information policies and information resources management responsibilities
established under the Act, including
the reduction of information collection
burdens on the public.
(d) With respect to the collection of
information and the control of paperwork, the Senior Official shall establish a process within such office that is
sufficiently independent of program responsibility to evaluate fairly whether
proposed collections of information
should be approved under this Part.
(e) Agency submissions of collections
of information for OMB review, and the
accompanying
certifications
under
§ 1320.9, may be made only by the agen-

cy head or the Senior Official, or their
designee.
§ 1320.8 Agency collection of information responsibilities.
The office established under § 1320.7
shall review each collection of information before submission to OMB for review under this part.
(a) This review shall include:
(1) An evaluation of the need for the
collection of information, which shall
include, in the case of an existing collection of information, an evaluation
of the continued need for such collection;
(2) A functional description of the information to be collected;
(3) A plan for the collection of information;
(4) A specific, objectively supported
estimate of burden, which shall include, in the case of an existing collection of information, an evaluation of
the burden that has been imposed by
such collection;
(5) An evaluation of whether (and if
so, to what extent) the burden on respondents can be reduced by use of
automated, electronic, mechanical, or
other technological collection techniques or other forms of information
technology, e.g., permitting electronic
submission of responses;
(6) A test of the collection of information through a pilot program, if appropriate; and
(7) A plan for the efficient and effective management and use of the information to be collected, including necessary resources.
(b) Such office shall ensure that each
collection of information:
(1) Is inventoried, displays a currently valid OMB control number, and,
if appropriate, an expiration date;
(2) Is reviewed by OMB in accordance
with the clearance requirements of 44
U.S.C. § 3507; and
(3) Informs and provides reasonable
notice to the potential persons to
whom the collection of information is
addressed of—
(i) The reasons the information is
planned to be and/or has been collected;
(ii) The way such information is
planned to be and/or has been used to
further the proper performance of the
functions of the agency;

173

VerDate Sep<11>2014

07:51 Mar 15, 2016

Jkt 238010

PO 00000

Frm 00185

Fmt 8010

Sfmt 8010

Y:\SGML\238010.XXX

238010

Lhorne on DSK5TPTVN1PROD with CFR

§ 1320.8

5 CFR Ch. III (1–1–16 Edition)

(iii) An estimate, to the extent practicable, of the average burden of the
collection (together with a request
that the public direct to the agency
any comments concerning the accuracy
of this burden estimate and any suggestions for reducing this burden);
(iv) Whether responses to the collection of information are voluntary, required to obtain or retain a benefit
(citing authority), or mandatory (citing authority);
(v) The nature and extent of confidentiality to be provided, if any (citing authority); and
(vi) The fact that an agency may not
conduct or sponsor, and a person is not
required to respond to, a collection of
information unless it displays a currently valid OMB control number.
(c)(1) An agency shall provide the information described in paragraphs
(b)(3)(i) through (v) of this section as
follows:
(i) In the case of forms, questionnaires, instructions, and other written
collections of information sent or made
available to potential respondents (except in an electronic format), such information can be included either on the
form, questionnaire or other collection
of information, as part of the instructions for such collection, or in a cover
letter or memorandum that accompanies the collection of information.
(ii) In the case of forms, questionnaires, instructions, and other written
collections of information sent or made
available to potential respondents in
an electronic format, such information
can be included either in the instructions, near the title of the electronic
collection instrument, or, for on-line
applications, on the first screen viewed
by the respondent;
(iii) In the case of collections of information published in regulations,
guidelines, and other issuances in the
FEDERAL REGISTER, such information
can be published in the FEDERAL REGISTER (for example, in the case of a collection of information in a regulation,
by publishing such information in the
preamble or the regulatory text to the
final rule, or in a technical amendment
to the final rule, or in a separate notice
announcing OMB approval of the collection of information).

(iv) In other cases, and where OMB
determines in advance in writing that
special circumstances exist, agencies
may use other means to inform potential respondents.
(2) An agency shall provide the information described in paragraph (b)(3)(vi)
of this section in a manner that is reasonably calculated to inform the public
(see § 1320.5(b)(2)(ii)).
(d)(1) Before an agency submits a collection of information to OMB for approval, and except as provided in paragraphs (d)(3) and (d)(4) of this section,
the agency shall provide 60-day notice
in the FEDERAL REGISTER, and otherwise consult with members of the public and affected agencies concerning
each proposed collection of information, to solicit comment to:
(i) 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;
(ii) 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;
(iii) Enhance the quality, utility, and
clarity of the information to be collected; and
(iv) 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 submission of responses.
(2) If the agency does not publish a
copy of the proposed collection of information, together with the related
instructions, as part of the FEDERAL
REGISTER notice, the agency should—
(i) Provide more than 60-day notice
to permit timely receipt, by interested
members of the public, of a copy of the
proposed collection of information and
related instructions; or
(ii) Explain how and from whom an
interested member of the public can request and obtain a copy without
charge, including, if applicable, how
the public can gain access to the collection of information and related instructions electronically on demand.

174

VerDate Sep<11>2014

07:51 Mar 15, 2016

Jkt 238010

PO 00000

Frm 00186

Fmt 8010

Sfmt 8010

Y:\SGML\238010.XXX

238010

Office of Management and Budget

§ 1320.10

Lhorne on DSK5TPTVN1PROD with CFR

(3) The agency need not separately
seek such public comment for any proposed collection of information contained in a proposed rule to be reviewed under § 1320.11, if the agency
provides notice and comment through
the notice of proposed rulemaking for
the proposed rule and such notice specifically includes the solicitation of
comments for the same purposes as are
listed under paragraph (d)(1) of this
section.
(4) The agency need not seek or may
shorten the time allowed for such public comment if OMB grants an exemption from such requirement for emergency processing under § 1320.13.
§ 1320.9 Agency certifications for proposed collections of information.
As part of the agency submission to
OMB of a proposed collection of information, the agency (through the head
of the agency, the Senior Official, or
their designee) shall certify (and provide a record supporting such certification) that the proposed collection of
information—
(a) Is necessary for the proper performance of the functions of the agency, including that the information to
be collected will have practical utility;
(b) Is not unnecessarily duplicative of
information otherwise reasonably accessible to the agency;
(c) Reduces to the extent practicable
and appropriate the burden on persons
who shall provide information to or for
the agency, including with respect to
small entities, as defined in the Regulatory Flexibility Act (5 U.S.C. 601(6)),
the use of such techniques as:
(1) Establishing differing compliance
or reporting requirements or timetables that take into account the resources available to those who are to
respond;
(2) The clarification, consolidation,
or simplification of compliance and reporting requirements; or
(3) An exemption from coverage of
the collection of information, or any
part thereof;
(d) Is written using plain, coherent,
and unambiguous terminology and is
understandable to those who are to respond;
(e) Is to be implemented in ways consistent and compatible, to the max-

imum extent practicable, with the existing reporting and recordkeeping
practices of those who are to respond;
(f) Indicates for each recordkeeping
requirement the length of time persons
are required to maintain the records
specified;
(g) Informs potential respondents of
the information called for under
§ 1320.8(b)(3);
(h) Has been developed by an office
that has planned and allocated resources for the efficient and effective
management and use of the information to be collected, including the processing of the information in a manner
which shall enhance, where appropriate, the utility of the information to
agencies and the public;
(i) Uses effective and efficient statistical survey methodology appropriate
to the purpose for which the information is to be collected; and
(j) To the maximum extent practicable, uses appropriate information
technology to reduce burden and improve data quality, agency efficiency
and responsiveness to the public.
§ 1320.10 Clearance of collections of information, other than those contained in proposed rules or in current rules.
Agencies shall submit all collections
of information, other than those contained either in proposed rules published for public comment in the FEDERAL REGISTER (which are submitted
under § 1320.11) or in current rules that
were published as final rules in the
FEDERAL REGISTER (which are submitted under § 1320.12), in accordance
with the following requirements:
(a) On or before the date of submission to OMB, the agency shall, in accordance with the requirements in
§ 1320.5(a)(1)(iv), forward a notice to the
FEDERAL REGISTER stating that OMB
approval is being sought. The notice
shall direct requests for information,
including copies of the proposed collection of information and supporting documentation, to the agency, and shall
request that comments be submitted to
OMB within 30 days of the notice’s publication. The notice shall direct comments to the Office of Information and
Regulatory Affairs of OMB, Attention:
Desk Officer for [name of agency]. A

175

VerDate Sep<11>2014

07:51 Mar 15, 2016

Jkt 238010

PO 00000

Frm 00187

Fmt 8010

Sfmt 8010

Y:\SGML\238010.XXX

238010