Paycheck Protection Program Affiliation Worksheet

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SBA Form 3511 Paycheck Protection Program_Affiliation Worksheet	Form and Instruction	New	Available
3245-Afflil Emergency Justification for PPP Affiliation Worksheet 12-08-2020.pdf	Supplementary Document	Uploaded 2020-12-08	Available
3245-Afflil Appendix A_PPP_ Affiliation Worksheet Authority 12-8-2020.docx	Supplementary Document	Uploaded 2020-12-08	Available
3245-Afill PPP_Affliation Worksheet Supp.Stmt. 12-14-2020.docx	Supporting Statement A	Uploaded 2020-12-14	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
244786	Paycheck Protection Program_Affiliation Worksheet	Form and Instruction	New

ICR Details

OMB Control No: 3245-0416	ICR Reference No: 202012-3245-001
Status: Active	Previous ICR Reference No:
Agency/Subagency: SBA	Agency Tracking No:
Title: Paycheck Protection Program Affiliation Worksheet
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Emergency	Approval Requested By: 12/10/2020
OIRA Conclusion Action: Approved with change	Conclusion Date: 12/14/2020
	Date Received in OIRA: 12/08/2020
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2021	6 Months From Approved
Responses	16,500	0	0
Time Burden (Hours)	16,500	0	0
Cost Burden (Dollars)	445,500	0	0

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Abstract: During SBA’s review of loans made under the Paycheck Protection Program, SBA will collect information from those Borrowers that have known Affiliates or believed to have Affiliates as defined in 13 CFR 121.301(f). SBA will use the information to review the borrowers' eligibility certifications and compliance with SBA's size and affiliation requirements.

Emergency Justfication: December 7, 2020 Susan Minson SBA Desk Officer Office of Management and Budget Dear Ms. Minson: Pursuant to the Office of Management and Budget (OMB) procedures established at 5 CFR 1320, SBA requests that the collection of information titled, Affiliation Worksheet- Paycheck Protection Program be processed in accordance with section 1320.13, Emergency Processing. SBA has determined that this information must be collected prior to the expiration of time periods established under Part 1320, and that this information is essential to the SBA’s ability to effectively review loans that have been made under the Paycheck Protection Program (PPP). This worksheet will collect information from borrowers that answered “yes” to question 3 on Form 2483 (Borrower Application Form) when they applied for a PPP loan, and also from borrowers that did not respond in the affirmative but, based on the information available to SBA, may have affiliates. The information will be collected during SBA’s review of PPP loans provided to these borrowers, if SBA determines that supplemental information is necessary to evaluate the borrower’s eligibility certification and compliance with size and affiliation requirements. SBA has already started to review PPP loans. Failure to collect the information requested could result in improper payments if loans were issued to borrowers that are not eligible, and forgiveness payments are remitted to lenders for ineligible borrowers. SBA requests approval of the submission by December 10, 2020. Given the inability to seek public comment during such a short timeframe, SBA also requests a waiver from the requirement to publish 60-day and 30-day notices in the Federal Register seeking public comment during the period of OMB review. Although SBA is unable to consult with the public prior to issuing the forms, the Agency has experience designing similar forms in a way that is clear and minimizes burden on respondents. Sincerely, Jihoon Kim Director, Office of Financial Program Operations

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Authorizing Statute(s): None

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

Did the Agency receive public comments on this ICR? No

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

table that charts list of burden

IC Title	Form No.	Form Name
Paycheck Protection Program_Affiliation Worksheet	SBA Form 3511	Paycheck Protection Program Affiliation Worksheet

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ICR Summary of Burden

table that charts list 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	16,500	0	0	16,500	0	0
Annual Time Burden (Hours)	16,500	0	0	16,500	0	0
Annual Cost Burden (Dollars)	445,500	0	0	445,500	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: New Collection

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Annual Cost to Federal Government: $154,688

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.     Yes

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Yes

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? No

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Common Form ICR:  No

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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: 12/08/2020

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