Paycheck Protection Program Affiliation Worksheet

Forms and Documents

Document Name	Status
Form SBA Form 3511 Paycheck Protection Program_Affiliation Worksheet Form and Instruction	Modified
3245-0416 Emergency Justification for PPP Affilliation Worksheet 2021-06-28-2021.pdf Supplementary Document	2021-06-28
3245-Afflil Appendix A_PPP_ Affiliation Worksheet Authority 12-8-2020.docx Supplementary Document	2020-12-08
3245-0416 PPP_Affliation Worksheet Supp.Stmt. 2021 6-282-2021.docx Supporting Statement A	2021-06-28

IC Document Collections

IC ID	Document Title	Status
244786	Paycheck Protection Program_Affiliation Worksheet Form and Instruction	Modified

ICR Details

OMB Control No: 3245-0416	ICR Reference No: 202106-3245-003
Status: Received in OIRA	Previous ICR Reference No: 202012-3245-001
Agency/Subagency: SBA	Agency Tracking No:
Title: Paycheck Protection Program Affiliation Worksheet
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Emergency	Approval Requested By: 07/05/2021
Date Submitted to OIRA: 06/28/2021

	Requested	Previously Approved
Expiration Date	6 Months From Approved	06/30/2021
Responses	37,500	16,500
Time Burden (Hours)	37,500	16,500
Cost Burden (Dollars)	949,500	445,500

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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: June 24, 2021 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 OMB review of revisions to the collection of information titled, Paycheck Protection Program Affiliation Worksheet, OMB Control No. 3245-0416, be processed in accordance with section 1320.13, Emergency Processing. These revisions are necessary to incorporate statutory amendments made by the Economic Aid Act and the American Rescue Plan Act and include adding two additional affiliation waivers to the table in Part B, Section I for eligible news organizations and internet-only publishing organizations and adding a note to that section stating that the same affiliation waivers apply to First Draw and Second Draw PPP loans. SBA also added language to Section II stating that only the employee-based size standard is applicable to Second Draw PPP loans, and added a note setting forth the applicable size standards for Second Draw PPP Loans. SBA revised the note explaining the size standards applicable to First Draw PPP loans. SBA added language to notes 9 through 12, which explain the bases of affiliation, to provide guidance to assist nonprofit organizations in applying the affiliation rules. SBA has determined that the revisions are necessary prior to the expiration of time periods established under Part 1320 to complete the OMB review process. SBA is in the process of conducting loan reviews; this updated information is essential to the SBA’s ability to evaluate the eligibility of Borrowers with affiliates, as defined in SBA’s regulations at 13 CFR 121.301(f). The purpose of this Affiliation Worksheet is to collect information from a borrower that answered “YES” to Question 3 on its Paycheck Protection Program (PPP) Loan Application or a borrower for which information available to the Small Business Administration (SBA) indicates that the borrower may have affiliates. SBA requires this additional information regarding the size of the borrower and its affiliates to evaluate the borrower’s certification on its PPP Loan Application that it was eligible to receive a PPP loan under the SBA’s rules in effect at the time the application was submitted. In light of the ongoing need to conduct loan reviews of PPP loans, approval of this revised information collection without having to go through the standard Paperwork Reduction Act review procedures will help to ensure that Borrowers have the updated guidance to assist them in applying the affiliation rules. The new information will also enhance the integrity of the PPP and improve SBA’s oversight and monitoring responsibilities. 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

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

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ICR Summary of Burden

	Total Request	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	37,500	16,500	0	21,000	0	0
Annual Time Burden (Hours)	37,500	16,500	0	21,000	0	0
Annual Cost Burden (Dollars)	949,500	445,500	0	504,000	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 total burden hours have increased. This is because SBA received additional program authority to make new PPP loans after the information collection was approved in December 2020 and SBA has guaranteed approximately 6 million additional PPP loans since that date.

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Annual Cost to Federal Government: $422,000

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: 06/28/2021

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