0579-0007 2018 Ss

October 2018
SUPPORTING STATEMENT
NATIONAL POULTRY IMPROVEMENT PLAN (NPIP)
OMB NO. 0579-0007
TERMS OF CLEARANCE: OMB notes the progress APHIS has made so far to make the
forms associated with this collection available electronically. This collection is approved
for an additional three years, during which time APHIS should continue to work towards
the goal of making these forms electronically fillable and fileable.
APHIS has studied and discussed making the VS Form 9-2 electronic. It hopes to do so once it
resolves privacy, security, and other outstanding issues with industry stakeholders and finds
solutions for logistical and other differences that need to be accounted for among the various
laboratories involved in NPIP work. Additionally, government budget limitations have left
APHIS with inadequate funding to build a database that will support an electronic VS Form 9-2.
VS Forms 9-3, 9-4, 9-5, 9-7, 9-8, and 9-9 are now electronic and located within the NPIP
database at www.poultryimprovement.org. A user name and password is required to access the
database and use the forms. Access to the forms is requested by the Official State Agency
(OSA) and approved by the NPIP office.
VS Forms 10-3 is a screen-fillable Adobe PDF form available from the APHIS Forms Library
Web page at http://www.aphis.usda.gov/library/forms/pdf/VS_Form10_3.pdf. It may be
completed and saved or printed within the user's Web browser. APHIS plans to make it one of
the next NVSL electronic submission forms for NCAH Portal access.
VS Forms 9-20, 9-21, 9-22, and 9-23 will be available as fillable forms on the NPIP website.
This information collection merges two currently approved information collections, OMB
control number 0579-0007, National Poultry Improvement Plan (NPIP), and 0579-0445,
National Poultry Improvement Plan and Auxiliary Provisions. After OMB approves this
combined information collection package, APHIS will retire OMB Control Number 0579-0445.

A. Justification
1. Explain the circumstances that make the collection of information necessary. Identify
any legal or administrative requirements that necessitate the collection. Attach a copy of
the appropriate section of each statute and regulation mandating or authorizing the
collection of information.
The National Poultry Improvement Plan (NPIP) is a voluntary Federal-State-industry program
for controlling certain poultry diseases and for improving poultry breeding flocks and products
through disease control techniques. It is authorized by the USDA Organic Act of 1944, as
amended (7 U.S.C. 429) and the cooperative work is carried out through memoranda of
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understanding with the participating States. Specific NPIP provisions are contained in Title 9,
Parts 56, 145, 146, and 147 of the Code of Federal Regulations. The Veterinary Services (VS)
unit of USDA's Animal and Plant Health Inspection Service (APHIS) administers these
regulations.
The NPIP became operative on July 1, 1935, with the approval of the Secretary of Agriculture
and under the authority of a Congressional appropriation for the U.S. Department of Agriculture
(USDA) to use with State authorities to administer regulations to improve poultry, poultry
products, and hatcheries. The National Turkey Improvement Plan was combined with the NPIP
in 1970 to create the current NPIP. Emu, rhea, ostrich, and cassowary breeding flocks are also
allowed to participate in the Plan.
The NPIP requires several information collection activities, including memoranda of
understanding, flock selecting and testing reports, commercial waterfowl/game bird egg
producing flock surveillance reports; sales reports, including sales of hatching eggs, chicks, and
poults; breeding flock and slaughter plant participation summaries, hatchery participation
summaries, salmonella investigation reports, flock and hatchery inspection reports, sentinel bird
identification, salmonella serotyping requests, compartment and component registrations, auditor
applications, small chick order printouts, appraisal and indemnity forms, and recordkeeping.
APHIS is asking OMB to approve, for an additional 3 years, its use of these information
collection activities in connection with APHIS’ efforts to continually improve the health of the
U.S. poultry population and the quality of U.S. poultry products.

2. Indicate how, by whom, how frequently, and for what purpose the information is to be
used. Except for a new collection, indicate the actual use the agency has made of the
information received from the current collection.
APHIS uses the following information activities to continually improve the health of the U.S.
poultry population and the quality of U.S. poultry products.

Memorandum of Understanding; (9 CFR 145.2, 146.2); (State)
The NPIP is administered through Memoranda of Understanding (MOU) between VS and
participating States. The MOUs set forth the following responsibilities for the Official State
Agency in implementing the program:
• Designate a State Contact Representative to administer the MOU activities.
• Plan and execute program work jointly with VS.
• Prepare and submit an annual report (the VS Form 9-4).
• Keep accurate and detailed records of all NPIP work.
• Authorize competent persons to perform inspections; flock selecting; blood collecting and
testing; and serological, bacteriological, and other diagnostic work required and to assume
responsibility for their work.
• Require State inspectors and authorized agents to work with NPIP coordinators.
• Write and have signed contracts between the Official State Agency and all participants
except flock owners affiliated with participating hatcheries.
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• Report to NPIP any member of the poultry industry who has discontinued participation.
• Report to NPIP the results of each investigation made to locate the source of infection.
• File with NPIP all current and pending State laws, rules, and regulations related to poultry
improvement work.
Flock Selecting and Testing Reports and Commercial Waterfowl/Game Bird Egg
Producing Flock Surveillance (VS Form 9-2); (9 CFR 145.3, 145.12); (State, Business);
(Merged from 0579-0445)
VS Form 9-2 is used by authorized agents and State inspectors when breeding flocks are selected
and tested, and commercial meat-type chicken flocks, table-egg layer flocks, and meat-type
turkey flocks are tested. The form provides the following information:
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Name and address of the flock owner.
The location of the flock.
The date of the preceding test for this location.
The supply flock information (name and address of hatchery or dealer).
The breed, variety, strain, or trade name of the stock, as well as the age of the birds, NPIP
approval number, and code identification.
• Source and number (separately) of males and females in the flock, together with the
source and date of hatch.
• The type of testing conducted (pullorum typhoid, m. gallisepticum, m. synoviae, avian
influenza, or other) with the number of males/females/totals tested, the number of reactors,
and the number sent to the laboratory.
• Results of the test (i.e., laboratory findings).
Since many NPIP flocks supply the same hatchery, it is extremely important to know the location
of each flock. Table-egg layer flocks also may be contract production flocks for the same
processing company, and the meat-type chicken and meat-type turkey flocks may be supply
flocks for the same slaughter plant. The information on the VS Form 9-2 is critical during
investigations to determine the source of a hatchery-disseminated or egg-transmitted disease or
the source of avian influenza (AI) in breeding flocks and commercial table-egg layers, meat-type
chickens, and meat-type turkeys.
The regulations also include provisions for regular avian influenza (AI) surveillance of
commercial waterfowl and game bird egg-producing flocks. Commercial upland game bird or
waterfowl meat-producing flocks with ongoing active and passive surveillance programs for
H5/H7 AI subtypes approved by the Official State Agency and APHIS must currently submit up
to 30 birds of the flock for testing using VS Form 9-2. This form is used by authorized agents
and State inspectors to select and test flocks. The form provides the following information:
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Flock owner name and contact information (location)
Flock owner hatchery affiliation
Flock owner slaughter plant affiliation
Flock type, purpose, stock, and classification
Number of birds tested
Results of the test
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Report of Sales of Hatching Eggs, Chicks, & Poults (VS Form 9-3); (9 CFR 145.12); (State)
The interstate sales of hatching eggs, chicks, and poults are recorded on VS Form 9-3 and the
document is used by both APHIS and the receiving State to monitor the movements of these
items and track down the source of a poultry disease. The form requires the following
information:
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Reporting number.
Date of shipment.
Name and physical address of the purchaser.
Name and physical address of the producer or shipper.
Name and address of the destination of eggs, chicks, and/or poults.
Quantity; variety or strain; product (hatching egg, chick, or poult); sex, type and
classification of the hatching eggs, poults, or chicks being shipped.
• Any additional remarks.
• Signature of State inspector and date.

Summary of Breeding Flock, Table-Egg Layer Flock, Meat-Type Chicken and Turkey
Slaughter Plant Participation (VS Form 9-4); (9 CFR 145.23); (State)
VS Form 9-4 is completed by State animal health authorities and summarizes blood testing and
flock participation by classes and breeding status. APHIS offices distribute it to Official State
Agencies at the end of the testing year in June; the State agencies must return it to APHIS in
July. APHIS uses this information to publish its Tables on Hatchery, Flock, and Slaughter Plant
Participation, which help monitor the health of participating flocks.
Report of Hatcheries, Dealers, and Independent Flocks, Table-Egg Producers, Meat-Type
Chicken and Turkey Slaughter Plants Participating in the NPIP (VS Form 9-5);
(9 CFR 145.33); (State)
Official State Agencies use VS Form 9-5 to record program participant additions and
withdrawals. This information must include the location and size of each flock owned by the
producer. As the disease status of one flock can affect the health of other flocks, a producer's
failure to report the existence and location of all flocks could hurt APHIS’ ability to effectively
monitor the health of flocks within a State or to promptly contain and eradicate a disease. This
document is also used to record a change in disease program classification. This form allows
APHIS to monitor plan participation and maintain an up-to-date list of program participants,
their addresses, and other important information concerning poultry operations.
Report of Salmonella Isolations to NPIP Official State Agencies (VS Form 9-6);
(9 CFR 145.23, 143.33); (State)
This activity is discontinued.
Investigation of Salmonella Isolations in Poultry (VS Form 9-7); (9 CFR 145.14, 145.53);
(State, Business)
If a multi-State disease outbreak occurs, the NPIP Official State Agency will investigate the
outbreak and share the results with all the States involved. The VS Form 9-7 gives the
investigating State agency a uniform method of compiling and analyzing information that can be
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used to study trends, economic importance, and other matters. This form is arranged in sections
so that the disease investigations can be completed in stages by different inspectors, depending
on the location of the flock, hatchery, and breeding flock:
Section A: Flock from which infected specimens were submitted
• Name and address of owner.
• Location of flock.
• Breed, strain, or trade name of flock.
• Number of birds in the flock.
• Age of the flock.
• Purpose of flock.
• Estimated effects of the infection.
• Morbidity percentage.
• Suspected source of infection.
• Kinds of specimens collected for laboratory examination.
• Corrective measures applied.
• Whether corrective measures are adequate to prevent disease spread.
Section B: Hatchery source of flock reported in section A
• Name and location of hatchery.
• Approval number.
• Previous isolations of same serotype implicating the hatchery (prior isolations at the
same hatchery) and number of such reports.
• Investigation procedures.
• Measures applied to eliminate any infection from premises.
Section C: Parent flock of flock reported in section A
• Name and address of owner of parent flock.
• Location of parent flock.
• Number of birds in parent flock.
• Source of parent flock (males and females).
• Classification and basis of qualifications.
• Examinations for suspected serotype.
• Serial numbers of VS Form 9-6 reports of positive shown and other isolations of other
serotypes found during the investigation.
• Additional remarks.
• Signature of State or other inspector.
• State of inspection.
• Date of signature.
The inspectors obtain some of the needed information by interviewing the appropriate poultry
producers. When several States are involved in a pullorum-typhoid infection, the completed
form will be sent to each of the States involved so that all of them will be aware of the
investigation’s outcome.
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Flock Inspection and Check Testing Report (VS Form 9-8); (9 CFR 147.1); (State)
VS Form 9-8 is completed by a State inspector to recheck a flock that has already been tested for
pullorum-typhoid. This retesting is performed randomly, periodically, and unannounced to
verify that pullorum-typhoid testing was correctly carried out on a given flock. The form lists:
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The flock’s location.
The flock owner’s name and address.
The date of the last pullorum-typhoid test.
The number of birds tested.
The flock's current NPIP classification.
Who selected and tested the flock.
Flock breed, stock, and trade name.
Number of birds in flock (males and females).
Whether replacement stock has been purchased (if yes, give source).
Number of reactors.
Health of flock.
Upkeep of equipment.
Egg handling conditions.
Results of the inspection and check-testing.
Additional remarks.
Signature of State inspector and date.

Hatchery Inspection Form (VS Form 9-9); (9 CFR 145.12); (State)
A State inspector completes VS Form 9-9 while inspecting a hatchery annually for compliance
with NPIP standards. The inspection ensures that the facility’s birds originate from approved
NPIP sources. The inspector notes:
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The cleanliness of the facility and its equipment.
The effectiveness of the facility’s sanitation procedures.
The number of incubators and their condition.
The incubators’ makes and models.
The incubators’ egg capacity for both setting and hatching trays.
The source of the facility’s supply flock.
Whether the flock is a multiplier or primary flock.
The flock’s official health status classification.

Sentinel Birds Banded or Marked for Identification Prior to Flock Vaccination;
(9 CFR 145.5, 145.14); (State, Business)
When a federally licensed Salmonella enteritidis bacterin is used to vaccinate a flock, 350 birds
must remain unvaccinated so they can be used to conduct the necessary serological tests for S.
pullorum and S. gallinarum. These test birds must be banded or marked so that they can be
recognized as sentinel birds.

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Request for Salmonella Serotyping (VS Form 10-3); (9 CFR 145.43); (State)
VS Form 10-3 is a National Veterinary Services Laboratories (NVSL) form that must be
completed by State or APHIS personnel submitting samples for salmonella serotyping. The form
requires the following information:
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Submitter contact information including email, address, phone number, and fax number.
Personal number of the NVSL submitter.
Flock owner’s city, State, and premises identification number.
Examinations requested, including whether the sample submitted is an “SE Rule Out”
submission.
Whether the samples were submitted from an NPIP participant.
Accession or referral number (assigned by the submitter for the submitter's reference).
Method of payment for services.
Species or source of the animals in the flock (also covers egg pool samples).
Clinical role (purpose of samples ─ to confirm infection, monitor the flock, check the
flock's environment, conduct research, or other).
Specimen cultured, including culture number, O group, serotype, and phage type
Additional comments.
Who submitted samples and date submitted.
NVSL technician who performed serotyping.

If samples were sent to NVSL without this form, laboratory personnel could not identify the
sample’s flock of origin, or the disease for which the sample is to be tested.
Application For U.S. Avian Influenza Clean Compartment Registration (VS Form 9-20);
(9 CFR 145.45, 145.74, 145.84); (State, Business); (New)
Compartmentalization applicants must complete this form and submit it for signature to the
Official State Agencies of the States in which they operate. The last signing Official State
Agency tenders the form to the NPIP, which reviews and determines whether to register the
applicant and arrange for an audit. The form requires the following information:
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Company name and mailing address.
Contact name, telephone number, and alternate contact number.
Contact fax number and email address.
Company NPIP classification (US AI Clean or US AI H5/H7 clean).
Breed/type of poultry.
NPIP Classification seeking.
Compartment mailing address.
Compartment location (listing all involved States).
Name of compartment.
Anticipated type of components (farm, feedmill, hatchery, and egg depot) to add within
the compartment.

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Applicants must also certify that their operation meets all general and specific management
protocols. Further, they must certify that they:
• Are participants in good standing with the NPIP in one of the following programs:
• U.S. H5/H7 Avian Influenza Clean Program for Turkey Breeding Flocks
(9 CFR 145.45).
• U.S. Avian Influenza Clean Program for Primary Egg-Type Chicken Breeding Flocks
(9 CFR 145.74).
• U.S. Avian Influenza Clean Program for Primary Meat-Type Chicken Breeding Flocks
(9 CFR 145.84).
• Compliant with all of the management procedures, physical requirements, and protocols
found in the CFR and the NPIP Program Standards document.
• Located in a State or States with an APHIS-approved Initial State Response and
Containment Plan (ISRCP) (9 CFR 56.10).
• Perform routine surveillance of all flocks within the compartment in a NPIP-authorized
laboratory certified to test for AI.
Application For U.S. Avian Influenza Clean Compartment Component Registration
(VS Form 9-21); (9 CFR 145.45, 145.74, 145.84); (State, Business); (New)
Applicants for compartmentalization must also submit an application form listing all the different
components (farm, feedmill, hatchery, and egg depot) to be included in their compartment. Form
B, like Form A, must be submitted to the Official State Agencies for review and signature before
submission to NPIP, and requires the same company contact information and NPIP compliance
verification. In addition, the form asks whether the components are new facilities within a
certified compartment; whether requalification for the component is due; or whether components
previously removed from a certified compartment are to be reinstated. The applicant then has to
list the numbers of each kind of component to be registered, and provide the components’ names,
site plans, specifications, and management protocols.
Application For U.S. Avian Influenza Clean Compartment Component Removal
(VS Form 9-22); (9 CFR 145.45, 145.74, 145.84); (State, Business); (New)
A compartment wishing to remove a component must file Form C with both the applicable
Official State Agencies and the NPIP. The form calls for the same company contact and NPIP
compliance verification information as Forms A and B, as well as a specific list of the reasons
for requesting removal.
Component Audit; (9 CFR 145.45, 145.74, 145.84); (State, Business); (New)
Components are audited by NPIP-certified auditors on a periodic basis to ensure continual
compliance with NPIP standards.
Auditor Application for USDA-APHIS-VS-NPIP AI Clean Compartment Program
(VS Form 9-23); (9 CFR 145.45, 145.74, 145.84); (Business); (New)
Prospective auditors must apply to the NPIP for acceptance as certified auditors. Applicants must
have a qualified sponsor complete Section D of the form and attach a letter of recommendation.
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The applicant must provide his or her name, home and business addresses, telephone number (and
alternate number), fax number, and email address. The applicant must also list his or her
qualifications, including colleges or institutions attended, majors and minors and degrees
obtained; veterinary license number; citizenship; status as a Federal veterinary medical officer or
accredited veterinarian; whether he or she is a member in good standing with the American
College of Poultry Veterinarians; and estimated years of poultry experience. The applicant must
further explain his or her interest in becoming an auditor, and verify that he or she owns no birds
of avian species; has not been employed, nor has any spouse, relative, or household member
employed by or in any contractual relationship with any companies belonging to the compartment
program; will uphold the U.S. veterinarian’s oath, has never been convicted of a felony, and has
never had his or her license revoked by any State board of veterinary medicine.
Compliance Statement; (9 CFR 145); (State, Business, Individual); (New)
Visitors to farms, feedmills, hatcheries, and egg depots must agree in writing to follow companyestablished protocols regarding personal items and food.

Printing and Mailing Computerized Printouts; (9 CFR 147.21); (Business, State)
Hatchery operators who ship large numbers of small chick orders across the United States must
provide computerized printouts containing all the information from the VS 9-3. The printout
reduces the paperwork load. They are mailed every month to those States that request them.
The States use these printouts to monitor the number of small chicks they are receiving.
Diagnostic Test Evaluation; (9 CFR 147.53); (Business); (Merged from 0579-0445)
The regulations require labs to submit a worksheet for diagnostic test evaluation along with the
raw data from the assay response. Worksheets would be obtained by contacting the NPIP Senior
Coordinator. When submitting sensitivity and specificity data on a diagnostic test kit pending
approval, NPIP authorized cooperating laboratories will submit to the kit manufacturer all raw
data regarding the assay response. Each sample tested will be reported as positive or negative,
and the official NPIP procedure used to classify the sample must be submitted in addition to the
assay response value. This raw data (e.g., testing results, or the number of samples run and
number positive/negative) and the completed worksheet for diagnostic test evaluation must also
be submitted to the NPIP Senior Coordinator four months before the next scheduled General
Conference Committee meeting, which is when assay approval will be sought.
Appraisal and Indemnity Claim for Animals Destroyed or Materials Destroyed
(VS Forms 1-23, 1-24, and 1-26)); (9 CFR 56.4, 56.9); (State, Business)
(Added VS Forms 1-24 and 1-26)
VS Forms 1-23, 1-24, and 1-26 are included as placeholders in the event a highly pathogenic
avian influenza or similar disease outbreak occurs in the poultry industry. The forms record
appraisals made and approved for payment to owners or claimants. They are completed by either
personnel from the State VS office or a Federal and State approved appraiser (usually a Federal
employee) with input from the flock owner. The forms are signed by both the appraiser and the
owner and list:
• Premises information: name, identification number, where birds are located (address, city,
county, State, ZIP code).
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• Claimant full legal name and address (the claimant may be the poultry owner and/or
contract grower, as applicable).
• Claimant Data Universal Number System (DUNS) number and confirmation that the
claimant has registered in the Federal System for Award Management (SAM). For
electronic payment processing, the claimant name on the VS 1-23 must be the same as the
vendor name associated with the DUNS number provided.
• Confirmation of mortgage status (claimant initials required): If there is a mortgage, the
form must also be signed by each person holding a mortgage. By signing the form, each
mortgage holder is consenting to the payment of indemnity to the owner or lien holder.
• Appraisal Date: For indemnified birds and eggs, this is the date that the appraisal values
are assigned to the birds or eggs (usually the presumptive positive date). For indemnified
materials, this is the date that the fair market value was determined.
• For indemnified birds and eggs, detailed specific flock information as described in the
Appraisal and Indemnity Request Form (flock type, age, sex, inventories, organic status,
number of animals/eggs for which the owner is seeking payment, and the appraised value
of each animal/lot of eggs using criteria specific to each type of poultry/flock).
• The date of cleaning and disinfection.
• Country Code
• Congressional District, if known (often APHIS personnel must add this later)
• A statement (yes or no) where the recipient attests that this is the only payment received
for this incident. If “no,” APHIS needs to know who provided the additional payment,
how much was received, and the date. APHIS would then reduce the indemnity payment
by that amount.
If applicable, separate forms are prepared for owners and growers. APHIS personnel obtain the
claimant’s signature (poultry owner and/or contract grower). If payment is to be split, the owner
and the grower will sign separate forms. The signatures indicate agreement with the appraised
value of each animal. The appraiser also signs the form.
Recordkeeping; (9 CFR 145.4, 145.12, 146.4, 9 CFR 146.12); (State, Business)
Plan participants must maintain records of purchases and sales and the identity of products
handled in a manner satisfactory to State veterinary authorities. The records of all flocks
maintained primarily to produce hatching eggs must be examined annually by a State inspector.
These records must be maintained for 3 years and include VS Forms 9-2, 9-3, 9-4, and 9-5; set
and batch records, egg receipts, and egg/chick orders or invoices.

3. Describe whether, and to what extent, the collection of information involves the use of
automated, electronic, mechanical, or other technological collection techniques or other
forms of information technology, e.g., permitting electronic submission of responses, and
the basis for the decision for adopting this means of collection. Also describe any
consideration of using information technology to reduce burden.
APHIS has studied and discussed making the VS Form 9-2 electronic. It hopes to do so once it
settles privacy, security, and other outstanding issues with industry stakeholders and resolves
how to handle logistical and other differences that need to be accounted for among the various
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laboratories involved in NPIP work. Additionally, government budget limitations have left
APHIS with inadequate funding to build a database that will support an electronic VS Form 9-2.
VS Forms 9-3, 9-4, 9-5, 9-7, 9-8, and 9-9 are now electronic and accessed and completed within
the NPIP database at www.poultryimprovement.org. A user name and password is required to
access the database and use the forms. Access to the forms is requested by the Official State
Agency and approved by the NPIP office.
VS Form 10-3 is a screen-fillable Adobe PDF form available from the APHIS Forms Library
Web page at http://www.aphis.usda.gov/library/forms/pdf/VS_Form10_3.pdf. It may be
completed and saved or printed within the user's Web browser. APHIS plans to make it one of
the next NVSL electronic submission forms for NCAH Portal access.
VS Forms 9-20, 9-21, 9-22, and VS Form 9-23) will be available on the NPIP website. APHIS is
currently working on standardizing the format of these forms and making them PDF fillable.
VS Forms 1-23, 1-24, and 1-26 are initiated by VS.

4. Describe efforts to identify duplication. Show specifically why any similar information
already available cannot be used or modified for use for the purpose described in item 2
above.
The information that APHIS collects is not available from any other source. APHIS is the only
Federal agency responsible for preventing the entry of exotic animal and poultry diseases into the
United States.

5. If the collection of information impacts small businesses or other small entities, describe
any methods used to minimize burden.
APHIS estimates approximately 5 percent of the business respondents are considered small
entities. The information APHIS collects is the minimum needed to protect the U.S. poultry
population from communicable diseases.

6. Describe the consequence to Federal program or policy activities if the collection is not
conducted or is conducted less frequently, as well as any technical or legal obstacles to
reducing burden.
If the information were collected less frequently or not collected, APHIS could not effectively
monitor the health of the nation's poultry population.

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7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with the general information collection guidelines in 5 CFR 1320.5.
• requiring respondents to report information to the agency more often than
quarterly;
• requiring respondents to prepare a written response to a collection of information in
fewer than 30 days after receipt of it;
• requiring respondents to submit more than an original and two copies of any
document;
• requiring respondents to retain records, other than health, medical, government
contract, grant-in-aid, or tax records for more than 3 years;
• in connection with a statistical survey, that is not designed to produce valid and
reliable results that can be generalized to the universe of study;
• requiring the use of a statistical data classification that has not been reviewed and
approved by OMB;
• that includes a pledge of confidentiality that is not supported by authority
established in statute or regulation, that is not supported by disclosure and data
security policies that are consistent with the pledge, or which unnecessarily impedes
sharing of data with other agencies for compatible confidential use; or
• requiring respondents to submit proprietary trade secret, or other confidential
information unless the agency can demonstrate that it has instituted procedures to
protect the information's confidentiality to the extent permitted by law.
There are no special circumstances associated with this information collection. This information
collection is conducted in a manner consistent with the guidelines established in 5 CFR 1320.5.

8. Describe efforts to consult with persons outside the agency to obtain their views on the
availability of data, frequency of collection, the clarity of instructions and recordkeeping,
disclosure, or reporting form, and on the data elements to be recorded, disclosed, or
reported. If applicable, provide a copy and identify the date and page number of
publication in the Federal Register of the agency's notice, soliciting comments on the
information collection prior to submission to OMB.
APHIS engaged in productive consultations with the following individuals in connection with
the information collection requirements associated with this program:
Dr. Eric Gonder, staff veterinarian
Butterball, LLC
P.O. Box 10009
Goldsboro, NC 27532-0009
Phone: (919) 778-3130, ext. 1239
Email: [email protected]
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Dr. Yuko Sato
Iowa State University VDPAM/VDL
Poultry Extension and Diagnostics
2430 Lloyd Veterinary Medical Center
Ames, IA 50011
Phone: (515) 294-0710
Email: [email protected]
Mr. Mark Friedow
Strategic Account Manager, Eggs/Poultry
Cargill/Provimi-NA
1213 Rush Ridge Road
P.O. Box 110
Jefferson, IA 50129-0110
Phone: (515) 370-0085
Email: [email protected]
On Friday, August 24, 2018, APHIS published in the Federal Register on pages 42861 and
42862, a 60-day notice seeking public comments on its plans to request a 3-year renewal of this
collection of information. During this time, one comment from the public was received. It was a
general complaint against the modern poultry industry and did not contain relevant feedback for
any of the specific burdens in the information collection.

9. Explain any decision to provide any payment or gift to respondents, other than reenumeration of contractors or grantees.
This information collection activity involves no payments or gifts to respondents.

10. Describe any assurance of confidentiality provided to respondents and the basis for the
assurance in statute, regulation, or agency policy.
No additional assurance of confidentiality is provided with this information collection. Any and
all information obtained in this collection shall not be disclosed except in accordance with
5 U.S.C.552a.

11. Provide additional justification for any questions of a sensitive nature, such as sexual
behavior or attitudes, religious beliefs, and other matters that are commonly considered
private. This justification should include the reasons why the agency considers the
questions necessary, the specific uses to be made of the information, the explanation to be
given to persons from whom the information is requested, and any steps to be taken to
obtain their consent.
This information collection activity will ask no questions of a personal or sensitive nature.
13

12. Provide estimates of the hour burden of the collection of information. Indicate the
number of respondents, frequency of response, annual hour burden, and an explanation of
how the burden was estimated.
• Indicate the number of respondents, frequency of response, annual hour burden,
and an explanation of how the burden was estimated. If this request for approval
covers more than one form, provide separate hour burden estimates for each form
and aggregate the hour burdens in Item 13 of OMB Form 83-1.
See APHIS Form 71. Burden estimates were developed from discussions with flock
owners, breeders, hatchery operators, table-egg producers, meat-type chicken and turkey
slaughter plant workers, personnel at approved laboratories, and State personnel who
assist with the program.
• Provide estimates of annualized cost to respondents for the hour burdens for
collections of information, identifying and using appropriate wage rate categories.
APHIS estimates the total annualized cost to the above respondents to be $3,892,966.
APHIS arrived at this figure by multiplying the hours of estimated response time
(117,258 hours) by the estimated average hourly wage of the above respondents ($33.20).
The hourly rate is derived from the U.S. Department of Labor, Bureau of Labor Statistics
May 2017 Report − Occupational Employment and Wages in the United States, found at
http://www.bls.gov/news.release/pdf/ocwage.pdf. The hourly wages are: agricultural
managers, $36.44 (Flock owners, breeders, hatchery operators, and table egg producers);
slaughterers and meat packers, $13.00; animal scientists, $35.04 (personnel at approved
laboratories); and State government veterinarians, $48.34 (State personnel assisting with
the program).

13. Provide estimates of the total annual cost burden to respondents or record keepers
resulting from the collection of information (do not include the cost of any hour burden
shown in items 12 and 14). The cost estimates should be split into two components: (a) a
total capital and start-up cost component annualized over its expected useful life; and (b) a
total operation and maintenance and purchase of services component.
Businesses reimburse APHIS for the audits they receive. The average cost for a complete audit
is $70,000 and the agency averages three per year for a total of $210,000.

14. Provide estimates of annualized cost to the Federal government. Provide a description
of the method used to estimate cost and any other expense that would not have been
incurred without this collection of information.
See APHIS Form 79. The annual cost to the Federal government is estimated to be $1,437,242.

14

15. Explain the reasons for any program changes or adjustments reported in Items 13 or
14 of the OMB Form 83-i.
Program
Change Due
to New
Statute

Requested

Program
Change Due
to Agency
Discretion

Change Due
to Adjustment
in Agency
Estimate

Change Due
to Potential
Violation of
the PRA

Previously
Approved

Annual Number
of Responses

234,963

0

62,497

18,918

0

153,548

Annual Time
Burden (Hours)

117,258

0

10,522

2,425

0

104,311

0

0

0

0

0

0

Annual Cost
Burden ($)

In this renewal request, the number of respondents changed from 18,067 to 6,851, a decrease of
11,216. This change is mainly attributed to a change in how State respondents were counted.
However, 5,340 new respondents are attributed to the Printing and Mailing activity where
business was added as a respondent type, and the new Compliance Statement activity.
The number of responses have a net increase of 81,415 responses, and the burden hours have a
net increase of 12,947 hours. These increases are attributed to realigning State responses to
Business responses for activities where the State reviewed the Business’ submissions, the
addition of five new activities related to compartment and component registrations and auditing,
another requiring site visitors to sign compliance statements, the adding of businesses as
respondents to the Printing and Mailing activity, and ending a State reporting activity.
Agency adjustments resulted in a net increase of 18,918 responses and 2,425 burden hours. The
number of responses for VS Form 9-2 from turkey slaughter plants decreased. The number of
responses for VS Form 9-7 was decreased to one as the activity is rarely conducted. The number
of hours from States for Printing and Mailing Computerized Printouts decreased as the number
of states responding also decreased. The number of responses and burden hours for Business
recordkeeping also decreased as the number of recordkeepers decreased. There was also a one
hour adjustment for a calculation error from the previous submission. Remaining adjustments
are attributed to a correction of the maximum number of State respondents and the realignment
of State estimates to the Business estimates for activities where the States serve as reviewers of
the submitted forms or actions.
Program changes resulted in net increases of 62,497 responses and 10,522 burden hours. The
merger of 0579-0445 with its two activities - Commercial Waterfowl/Game Bird Egg Producing
Flock Surveillance and Diagnostic Test Evaluation - added 10 responses and 6 hours of burden.
Five new activities - Compartment and Component Registrations, Component Removal,
Component Audit, and Auditor Applications, together added 667 responses and 8,065 hours of
burden. Another new activity, Compliance Statements, added 52,800 responses and 2,640 hours
of burden. The activity, Report of Salmonella Isolations to NPIP Official State Agencies
(VS Form 9-6), was discontinued, resulting in decrease of 989 responses and 494 burden hours.
The following two tables provide summaries of the changes described above.
15

CHANGES IN RESPONSES

9 CFR

ACTIVITY

145.2 et al
145.3, .12
145.3, .12
145.3, .12
145.3, .12
145.3, .12
145.3, .12
145.3, .12
145.12 et al
145.12 et al
145.12
145.23
145.33
145.23, .33
145.14, .53
145.14, .53
147.1
145.12
145.5, .14
145.5, .14
145.43
145.45 et al
145.45 et al
145.45 et al
145.45 et al
145.45 et al
145.45 et al
145.45 et al
145.45 et al
145.45 et al
145.45 et al
145.45 et al
147.21
147.21
147.53
56.4, 56.9
56.4, 56.9
145.4 et al
145.4 et al

MOU
VS 9-2, Flock Select & Test
VS 9-2, Chicken Slaughter
VS 9-2, Chicken Slaughter
VS 9-2, Turkey Slaughter
VS 9-2, Turkey Slaughter
VS 9-2, Egg Producers
VS 9-2, Egg Producers
VS 9-2, Waterfowl/Game
VS 9-2, Waterfowl/Game
VS 9-3
VS 9-4
VS 9-5
VS 9-6
VS 9-7
VS 9-7
VS 9-8
VS 9-9
Sentinel Birds Banded
Sentinel Birds Banded
Salmonella Serotyping
VS 9-20
VS 9-20
VS 9-21
VS 9-21
VS 9-22
VS 9-22
Component Audit
VS 9-23
Compliance Statement
Compliance Statement
Compliance Statement
Printing and Mailing
Printing and Mailing
Diagnostic Test Evaluation
VS 1-23, 1-24, 1-26
VS 1-23, 1-24, 1-26
Recordkeeping
Recordkeeping
Rounding error

RESP
S
S
S
B
S
B
S
B
S
B
S
S
S
S
S
B
S
S
S
B
S
S
B
S
B
S
B
B
B
S
B
I
S
B
B
S
B
S
B

PREVIOUS
NEW
RESPONSES RESPONSES DIFFERENCE TYPE OF CHANGE
49
20,156
35,880
55,640
312
372
892
1,312
0
0
16,002
384
290
989
49
0
150
1,080
115
60
5,905
0
0
0
0
0
0
0
0
0
0
0
10,008
0
0
1
1
1,570
2,330
1
_________
153,548

49
20,139
55,615
55,640
364
372
1,323
1,312
3
3
16,023
384
294
0
1
1
147
1,078
98
60
6,223
7
7
175
175
1
1
300
1
249
51,000
1,506
10,008
10,008
4
1
1
49
2,296
0
_________
234,963

0
(17)
19,735
0
52
0
431
0
3
3
21
0
4
(989)
(48)
1
(3)
(2)
(17)
0
318
7
7
175
175
1
1
300
1
249
51,000
1,506
0
10,008
4
0
0
(1,521)
(34)
(1)
_________
81,415

adjustment
adjustment
adjustment
adjustment
program (merger)
program (merger)
adjustment
adjustment
program (end)
adjustment
program (added)
adjustment
adjustment
adjustment
adjustment
program (new)
program (new)
program (new)
program (new)
program (new)
program (new)
program (new)
program (new)
program (new)
program (new)
program (new)
program (added)
program (merger)

adjustment
adjustment
adjustment

CHANGES IN BURDEN HOURS

9 CFR

ACTIVITY

145.2 et al
145.3, .12
145.3, .12
145.3, .12
145.3, .12
145.3, .12
145.3, .12
145.3, .12
145.12 et al

MOU
VS 9-2, Flock Select & Test
VS 9-2, Chicken Slaughter
VS 9-2, Chicken Slaughter
VS 9-2, Turkey Slaughter
VS 9-2, Turkey Slaughter
VS 9-2, Egg Producers
VS 9-2, Egg Producers
VS 9-2, Waterfowl/Game

RESP
S
S
S
B
S
B
S
B
S

PREVIOUS
BURDEN
8
3,225
5,741
8,902
50
60
143
210
0

16

NEW
BURDEN
8
3,222
8,898
8,902
58
60
212
210
1

DIFFERENCE TYPE OF CHANGE
0
(3)
3,157
0
8
0
69
0
1

adjustment
adjustment
adjustment
adjustment
program (merger)

145.12 et al
145.12
145.23
145.33
145.23, .33
145.14, .53
145.14, .53
147.1
145.12
145.5, .14
145.5, .14
145.43
145.45 et al
145.45 et al
145.45 et al
145.45 et al
145.45 et al
145.45 et al
145.45 et al
145.45 et al
145.45 et al
145.45 et al
145.45 et al
147.21
147.21
147.53
56.4, 56.9
56.4, 56.9
145.4 et al
145.4 et al

VS 9-2, Waterfowl/Game
VS 9-3
VS 9-4
VS 9-5
VS 9-6
VS 9-7
VS 9-7
VS 9-8
VS 9-9
Sentinel Birds Banded
Sentinel Birds Banded
Salmonella Serotyping
VS 9-20
VS 9-20
VS 9-21
VS 9-21
VS 9-22
VS 9-22
Component Audit
VS 9-23
Compliance Statement
Compliance Statement
Compliance Statement
Printing and Mailing
Printing and Mailing
Diagnostic Test Evaluation
VS 1-23, 1-24, 1-26
VS 1-23, 1-24, 1-26
Recordkeeping
Recordkeeping

B
S
S
S
S
S
B
S
S
S
B
S
S
B
S
B
S
B
B
B
S
B
I
S
B
B
S
B
S
B

0
4,001
1,536
145
494
98
0
30
216
115
60
945
0
0
0
0
0
0
0
0
0
0
0
330
0
0
1
1
31,400
46,600
_________
104,311

1
4,006
1,536
147
0
2
1
29
216
98
60
996
7
280
175
7,000
1
1
600
1
15
2,550
75
300
300
4
3
3
31,360
45,920
_________
117,258

1
5
0
2
(494)
(96)
1
(1)
0
(17)
0
51
7
280
175
7,000
1
1
600
1
15
2,550
75
(30)
300
4
2
2
(40)
(680)
_________
12,947

program (merger)
adjustment
adjustment
program (end)
adjustment
program (added)
adjustment
adjustment
adjustment
adjustment
program (new)
program (new)
program (new)
program (new)
program (new)
program (new)
program (new)
program (new)
program (new)
program (new)
program (new)
adjustment
program (added)
program (merger)
program
program
adjustment
adjustment

16. For collections of information whose results are planned to be published, outline plans
for tabulation and publication.
The Summary of Breeding and Table-Egg Layer Flock and Meat-Type Chicken and Turkey
Slaughter Plant Participation (VS Form 9-4) contains a summary of blood testing work and of
flock participation by classes and breeding status. It is used to publish APHIS’ Tables on
Hatchery, Slaughter Plant, and Flock Participation, an important tool in monitoring the health
status of NPIP flocks.

17. If seeking approval to not display the expiration date for OMB approval of the
information collection, explain the reasons that display would be inappropriate.
The VS Forms 9-2 is a paper form and including an expiration date would require the destruction
of unused stocks during the information collection renewal window. APHIS is seeking approval
to not display the OMB expiration date.
The VS Forms 1-23, 1-24, and 1-26 are used in multiple information collections. It would not be
practical to include an OMB expiration date because of the various expiration dates for each
collection. APHIS is seeking approval to not display the OMB expiration date on these
17

forms. Also, APHIS is exploring creating one information collection for animal and animal
product indemnity which will include these forms. It is also considering making these forms
common forms.
APHIS will display the expiration date on the remaining forms in this information collection.

18. Explain each exception to the certification statement, "Certification for Paperwork
Reduction Act."
APHIS is able to certify compliance with all the provisions under the Act.

B. Collections of Information Employing Statistical Methods
No statistical methods are associated with the information collection activities used in this
program.

18