Certificate Pertaining to Foreign Interests (SF 328)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form Standard Form 328 Certificate Pertaining to Foreign Interests	Form	Modified	Available
Form Standard Form 328 Certificate Pertaining to Foreign Interests (SF 328)	Form	Modified	Repair queued
0704-0579_SSA_1.14.2022.docx	Supporting Statement A	Uploaded 2022-01-14	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
232182	Certificate Pertaining to Foreign Interests (SF 328)	Form	Modified	Certificate Pertaining to Foreign Interests
232182	Certificate Pertaining to Foreign Interests (SF 328)	Form	Modified

ICR Details

OMB Control No: 0704-0579	ICR Reference No: 202110-0704-003
Status: Historical Active	Previous ICR Reference No: 201807-0704-003
Agency/Subagency: DOW/DODDEP	Agency Tracking No: 0704-AAUE
Title: Certificate Pertaining to Foreign Interests (SF 328)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  Yes
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 03/09/2022
Retrieve Notice of Action (NOA)	Date Received in OIRA: 01/18/2022
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2025	36 Months From Approved	03/31/2022
Responses	2,650	0	2,123
Time Burden (Hours)	3,092	0	2,477
Cost Burden (Dollars)	188,684	0	114,430

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Abstract: Completion of the SF 328 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): US Code: 10 USC 1564 Name of Law: Security clearance investigations
   EO: EO 13691 Name/Subject of EO: Promoting Private Sector Cyber Security Information Sharing
   PL: Pub.L. 114 - 328 951 Name of Law: Enhanced Security Programs for DoD Personnel and Innovation Initiatives
   EO: EO 12829 Name/Subject of EO: National Industrial Security Program
   PL: Pub.L. 116 - 92 847 Name of Law: Mitigating Risks Related to Foreign Ownership, Control, or Influence of DoD Contractors or Subcontra
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
0790-AK85	Final or interim final rulemaking	85 FR 83300	12/21/2020

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 47481	08/25/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 2422	01/14/2022
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
Certificate Pertaining to Foreign Interests (SF 328)	Standard Form 328	Certificate Pertaining to Foreign Interests

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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	2,650	2,123	0	527	0	0
Annual Time Burden (Hours)	3,092	2,477	0	615	0	0
Annual Cost Burden (Dollars)	188,684	114,430	0	74,254	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 annual number of responses has increased to account for increased entry into the NISP by contractors which require SF-328 submissions. The estimated hourly wage for respondents has also increased. Respondent costs other than burden costs have been removed as it was determined that the items included previously were things that one could safely assume all respondents to have prior to responding to this collection (internet connection, printers, etc.). Additionally, SF 328s are now exclusively submitted electronically, eliminating any printing and postage costs.

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Annual Cost to Federal Government: $504,191

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? No

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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 to make eligibility determinations for access to classified information under the NISP or the DESP. As a Common Form, users outside of the Department of Defense, such as the Department of Homeland Security and Department of Energy, are able to use the SF 328 after submitting their own justification and burden estimates to OMB.

Approved RCFs using this ICR

table that charts list of RCF

Agency/Sub Agency	RCF ID	RCF Title	RCF Status	IC Title
DOC/NTIA	202405-0660-006CF	Certificate Pertaining to Foreign Interests for NTIA Public Wireless Supply Chain Innovation Fund Grant Program	Active	Certificate Pertaining to Foreign Interests (SF 328)
DHS/OS	202203-1601-001CF	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: 01/18/2022

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