Certificate Pertaining to Foreign Interests (SF 328)

Forms and Documents

Document Name	Status
Form SF328 Certificate Pertaining to Foreign Interests (SF 328) Form	New
0704-AAUE_SSA_7.30.2018.docx Supporting Statement A	2018-07-30

IC Document Collections

IC ID	Document Title	Status
232182	Certificate Pertaining to Foreign Interests (SF 328) Form	New

ICR Details

OMB Control No: 0704-0579	ICR Reference No: 201807-0704-003
Status: Active	Previous ICR Reference No:
Agency/Subagency: DOD/DODDEP	Agency Tracking No: 0704-AAUE
Title: Certificate Pertaining to Foreign Interests (SF 328)
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  Yes
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 10/01/2018
	Date Received in OIRA: 07/30/2018
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2021	36 Months From Approved
Responses	2,123	0	0
Time Burden (Hours)	2,477	0	0
Cost Burden (Dollars)	114,430	0	0

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Abstract: Completion of the SF328 is part of the eligibility determination for access to classified information under the national industrial security program (NISP) and the defense enhanced security program (DESP) and/or issuance of a Facility Clearance.

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Authorizing Statute(s): EO: EO 12829 Name/Subject of EO: National Industrial Security Program
   US Code: 10 USC 1564 Name of Law: Security clearance investigations
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 22966	05/17/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 35624	07/27/2018
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Certificate Pertaining to Foreign Interests (SF 328)	SF328	Certificate Pertaining Foreign Interests

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	2,123	0	0	2,123	0	0
Annual Time Burden (Hours)	2,477	0	0	2,477	0	0
Annual Cost Burden (Dollars)	114,430	0	0	114,430	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The SF-328 was previously approved under OMB Control Number 0704-0194. We are submitting SF-328 as an independent collection to transition it from a Standard Form to a Common Form.

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Annual Cost to Federal Government: $459,607

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  Yes

OIRA authorizes any Agency to begin using a Common Form associated with this ICR automatically after 5 calendar days from the date the agency's RCF including the common form was received in OIRA.

Description/Changes for Common Form Usage:  The SF-328 is used in making determinations whether a contractor is in the interest of national security and is eligible for access to classified information under the NISP or the DESP. The SF 328 was previously approved under Office of Management and Budget (OMB) Control Number 0704-0194, along with DD Forms 441 and 441-1, but is being transitioned from a Standard Form to a Common Form. As a Common Form, users outside of DoD, e.g., DHS and Dept. of Energy, will be able to use the SF 328 after submitting their own justification and burden estimates to OMB. Once SF-328 is given its own OMB Control Number, the Department will revise 0704-0194 to remove the SF 328.

Approved RCFs using this ICR

Agency/Sub Agency	RCF ID	RCF Title	RCF Status	IC Title
DHS/OS	201902-1601-001CF	Certificate Pertaining to Foreign Interests	Active	Certificate Pertaining to Foreign Interests (SF 328)

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 07/30/2018

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