(e) Agencies may continue to use plans and report forms approved by OMB prior to November 16, 1973, until the OMB clearance expires. However, no plan or report form previously cleared by OMB may be used after its expiration date or materially revised for use prior to its expiration date without submission to and clearance by GAO.

§ 10.6 Particular proposals.

(a) (1) Subject to §§ 10.2 and 10.5 of this part and paragraphs (b) and (c) of this section, agencies shall submit for clearance every new or revised proposal to conduct or sponsor the collection of information upon an identical item from 10 or more persons.

(2) Subsections (b) and (c) of this section establish certain general guidelines for clearance. As such, these guidelines are not designed to cover definitively or comprehensively all issues which may arise concerning which plans or forms are subject to clearance; and GAO may depart from these guidelines when deemed consistent with 44 U.S.C. 3512. GÃO shall ultimately determine what proposed plans and forms are subject to clearance; and any questions concerning applicability of the clearance requirement to particular plans or forms, as well as questions concerning application of the guidelines contained in paragraphs (b) and (c) of this section, should be submitted for determination by GAO.

(b) Plans or forms for the collection of information shall be submitted for clearance irrespective of whether they are:

(1) Specifically authorized or required by law (and whether or not the agency is authorized to prescribe the manner or form of such collection);

(2) Established or implemented through a rulemaking or similar proceeding; or (3) Undertaken solely to satisfy a requirement that the agency collect or maintain information for purposes of public inspection or disclosure.

(c) The requirement for clearance does not include the following types of plans or forms:

(1) Affidavits, oaths, notices of change of address, or forms used for acknowledgement or receipt of articles or services requiring no information other than that necessary to describe the article or service and identify the person or persons making the acknowledgment or receipt;

(2) Collection of information for identification or classification in connection with laboratory research and clinical investigations;

(3) Tests or examinations given individuals to determine knowledge, abilities, or aptitudes or the collection of information for identification or classification in connection with such tests;

(4) Collection of evidence or other information in connection with litigation; (5) Collection of evidence or other information in connection with quasijudicial proceedings or formal or informal investigations undertaken with reference to particular individuals or entities to determine whether such individuals or entities have violated a statute, regulation, or other requirement (this exception does not include general investigations undertaken with reference to a category of individuals or entities, such as a class of licensees or an industry as a whole); (6) A solicitation of comments or opinions which is not addressed to specified respondents or is otherwise clearly intended to be entirely voluntary, such as an invitation for comments on a proposed rulemaking or on a proposed action affecting the environment; or

(7) Surveys, pretests, and pilot tests referred to in § 10.3(b) (4) of this part. § 10.7 Scope of clearance procedures.

(a) Each review for clearance by GAO of a proposal for the collection of information will include consideration of whether information proposed to be collected is presently available to the agency from another source within the Federal Government and whether the proposed plans or report forms impose a minimum burden upon respondents consistent with the substantive needs of the agency and are otherwise consistent with 44 U.S.C. 3512 and appropriate for collection of the information sought. The agency shall finally determine its substantive need for information. However, GÃO will consider an agency's need for information, as well as any other issues insofar as relevant to the criteria specified in this subsection.

(b) GAO shall take such measures as it deems necessary and appropriate to conduct reviews for clearance and to promote the purposes of 44 U.S.C. 3512, including requesting additional information and other cooperation from the agency and directly consulting with or soliciting the views of persons affected by or having an interest in the proposal.

(c) Clearances by GAO will normally be limited to a particular period of time and shall be subject to revocation on the basis of changed circumstances or other cause after notice to and consultation with the agency concerned.

$10.8 Availability of information.

(a) GAO will publish in the FEDERAL REGISTER notices of submissions for clearance of new plans and report forms, as well as revisions and renewals of existing plans and report forms, as such submissions are received. Such notice will identify for each proposal the proponent agency (and subdivision thereof when applicable), type of proposal (new plan or form, revision, or renewal), subject matter, potential respondents, and date of receipt by GAO.

(b) All proposals submitted to GAO for clearance, including all accompanying materials, shall be available for public inspection and copying (at reasonable cost) during regular business hours.

(c) Questions concerning the disposition or status of proposals submitted to GAO for clearance or whether particular information collection activities have been submitted to and cleared by GAO may be directed to the GAO's Regulatory Reports Review Officer.

10.9 General.

SUBPART C-SUBMISSION FOR CLEARANCE

(a) Subject to paragraph (d) of this section, all submissions for clearance shall be made in accordance with this subpart and shall evidence compliance with all requirements thereof. Each agency shall provide GAO such additional information, assistance, or other cooperation as may be required in connection with reviews for clearance. Any failure to comply with any of the provisions or requirements of this subpart which, in the opinion of GAO, precludes complete and effective review or action upon a submission within 45 days shall, after notice to and consultation with the agency, justify suspension or discontinuance of GAO review of such submission and the 45 day period for GAO review will not continue to run. (b) Proposals requiring clearance shall be sent to the Comptroller General of the United States, 441 G Street, NW., Washington, D.C. 20548, and should include a letter of transmittal, Standard Form 83 (original and two copies), and all related documentation (three copies.) Each submission for clearance shall also include, for purposes of the FEDERAL REGISTER, notice, pursuant to § 10.8(a) of this part, a separate sheet indicating the proponent agency (and subdivision thereof when applicable), type of proposal (new plan or form, revision, or renewal), subject matter, and potential respondents.

(c) The 45-day limit for GAO clearance reviews shall commence on the day GAO receives a complete submission in terms of the requirements specified in subpart C of this part. Within 5 days following receipt of submission for clearance, GAO will notify the agency if its submission is incomplete in any respect. In the event of such notice, the 45-day period will not commence until the date GAO receives the additional information or materials necessary to complete the submission.

(d) GAO may in special or emergency circumstances undertake special procedures or arrangements within the general framework of this part for the processing of submissions for clearance.

§ 10.10 New plans or report forms.

Subject to § 10.9 (d) of this part, all requests for clearance of new plans or report forms must be made in accordance with the provisions of this section:

(a) Until GAO has developed its own form, requests for clearance should be made by submitting Standard Form 83, "Clearance Request and Notice of Action," prepared in accordance with the instructions contained therein (subject to any revisions or modifications which GAO may specify), and accompanied by additional materials described in this section. Requests for clearance should be made in time to allow for adequate review and adoption of any necessary alterations (including coordination or integration with other plans and report forms) without delaying the operating program to which the plan or report form relates.

(b) Clearance should not be requested for a plan or report form until it is in final form. Therefore, the agency head should approve the plan or report form before submitting it for clearance to GAO and the letter of transmittal should so state. However, if the plan or report form for which clearance is requested is of a type for which the responsibility for determining need, use, etc., has been delegated to a staff level within the agency, the agency's transmittal letter should

include a statement that the proposed form has been processed pursuant to a delegation of authority and appropriate documentation showing such delegation should be included.

(c) Each request for clearance must include a narrative supporting statement containing detailed information, quantified where applicable, on each of the topics specified in this subsection. When a topic is not applicable to the subject request, so state, giving the reasons therefor. If the information has already been provided for the review of the preliminary plan or contract, a reference to the previous submission, with the citation, will be sufficient.

(1) Justification.—(i) Give a full and detailed explanation of the circumstances which make the plan or report form necessary. Include identification of any legal or administrative requirements which necessitate such data collection. Where the form is used in an agency program, describe the program and indicate how this particular form fits in.

(ii) Indicate how, by whom, and for what purpose the data will be used.

(iii) Indicate specifically any similar data already available in the subject field and why it cannot be used for this purpose.

(2) Description of survey plan. (May be omitted for application forms and recordkeeping requirements.)

(i) Give a quantified description of the potential respondent universe. Identify available mailing lists or directory sources used.

(ii) Describe the survey design and sampling or other respondent selection method to be used, as well as any plans for a pretest and techniques for handling nonresponse.

(iii) If the survey is to be made or the returns processed under a federally sponsored contractor grant, the sponsoring agency will be responsible for obtaining GAO clearance for all data collection forms or other documents. The sponsoring agency should also provide the following: name of contractor; his role and responsibilities relating to the entire project; and the arrangement made with the contractor regarding confidentiality of collected data, disposition of completed report forms, punch cards, or tapes, etc.

(3) Tabulation and publication plans. (May be omitted for application forms, recordkeeping requirements, and preliminary plans or contracts.) Indicate briefly plans for publication, such as time, type, and content. A summary of the tabulation plans should accompany the request for clearance or be described briefly in the supporting statement.

(4) Time schedule for data collection and publication.-(May be omitted for application forms and recordkeeping requirements.) Indicate the planned time schedule for the entire project, including beginning and ending collection dates, and completion of report or publication dates. Indicate the expected elapsed time between the completion of data collection and issuance of first published results. (5) Consultations outside the agency.—(i) Give names of persons outside the agency with whom the proposed plan or report form was discussed and indicate the companies, organizations, or associations which they represent. Summarize any major problems on which agreement could not be reached.

(ii) Indicate the extent to which comments from such persons are reflected in the plan or report form.

(iii) Indicate the extent to which availability of records and reportability of data was learned from such persons.

(iv) Give the names and positions of officials of other Federal agencies (whether or not subject to this part) with whom the plan or report form was discussed and indicate comments these officials made regarding the present availability of the information.

(v) The agency will maintain and make available for GAO review copies of written comments from persons and officials contacted pursuant to paragraphs (c) (5) (i) through (iv) of this section.

(6) Estimation of compliance burden. To minimize the compliance burden on persons affected and to improve governmental efficiency, each agency will consider and determine, in connection with each plan or report form submitted, whether the proposed plan or report form exceeds the limits of reasonable needs or practical utility, either with respect to the number of respondents, frequency of collection, or number of difficulty of the items and whether all items of information to be furnished or recorded are essential to the central purpose of such plan or report form. Special consideration will be given to the burden on individuals, small business, and other organizations with limited clerical, financial management, and statistical staffs.

(i) Explain the basis used in developing the figure shown in item 15e, "Estimated average number of man-hours required per person," of Standard Form 83. Informal consultation with a few persons affected, particularly in instances in which selected persons are consulted as required in paragraph (c) (5) of this section, may be desirable. Estimates may also be based on experience with a pretest or related forms. In the case of forms to be completed by individuals or households, a trial with office staff is a possible device.

(ii) In making this estimate of burden, be sure to allow for the time needed to gather and compile the data (if not already available) as well as clerical time needed to complete the form.

(iii) Where the compliance burden is expected to vary considerably because of differences in respondent size or complexity, show the range of such estimated burden explaining the reasons for the variation and estimate the average time per response.

(7) Estimate of cost to the Federal Government. Include an estimate of the total cost for each proposed collection of information, including planning, compiling of information, and the estimated share of overhead costs. In the case of repetitive plans or forms, calculate costs on an annual basis.

(d) Any related background documents, such as preliminary research reports or survey, pretest, or pilot test results, which will illustrate the purpose or origin of the proposed plan or report form, should be submitted with the proposal. (8) Provisions for confidentiality of information. Include references and descriptions of any restrictions upon agency use of the information concerned or other protections in terms of the confidentiality of such information under relevant statutes or agency regulations, procedures, or practices.

§ 10.11 Renewals or revisions of existing plans and report forms.

(a) (1) Forms with clearance expiring. Proposals for renewal of a prior OMB or GAO clearance which is about to expire must be submitted in accordance with the requirements for new plants or report forms set forth in § 10.10 of this part. Information provided under § 10.10 in a prior submission to GAO may, to extent that it is still current, be incorporated by reference in the submission for renewal. All proposals for renewal shall be submitted to GAO not later than 45 days prior to the expiration date of the existing clearance.

(2) For plans or report forms for which the agency plans no revision, furnish a statement detailing the use made of previsously collected information and explaining the circumstances which make continued use of the plan or report form necessary.

(3) If a change is to be made in an existing plan or report form or in the use thereof, furnish a statement explaining the extent of the revisions and the reasons therefor, and what use has been made of previously collected information. (b) Plans or report forms revised prior to expiration of an existing clearance. Clearance is required only for revisions which are material, as explained in § 10.5 (d) of this part. Material revisions will be submitted for clearance in accordance with the requirements for new plans or report forms set forth in § 10.10 of this part, subject also to § 10.11(a)(Î).

§ 10.12 Notification of General Accounting Office action.

(a) If GAO determines that proposed plans or report forms are not unnecessarily duplicative or burdensome and are otherwise consistent with 44 U.S.C. 3512 and appropriate for collection of the information sought, GAO will so advise the agency, assign a clearance number, and prescribe an expiration date. The GAO clearance number, or a statement denoting GAO clearance, and the expiration date must appear prominently on the report form or in the reporting or recordkeeping requirement.

(b) If GAO determines that [a] proposed plan[s] or report form[s] fails to meet any one or more of the criteria referred to in paragraph (a) of this section, GAO shall advise the agency of such determination and the reasons therefor, and will not issue a clearance. GAO will also publish in the Federal Register notice of any such determination and the reasons therefore.

(c) If an agency implements a proposal for collecting information upon failure by GAO to respond to a submission within 45 days as provided in § 10.5(b) of this part, the report form or reporting or recordkeeping requirement shall prominently display a notice stating in substance the collection of information is authorized by operation of 44 U.S.C. 3512(d) until (a date not more than 1 year following the date on which information collection commenced.).

[SEAL]

ELMER B. STAATS,
Comptroller General
of the United States.

ASSISTANT COMPTROLLER GENERAL OF THE UNITED STATES,
Washington, D.C., July 1, 1974.

Mr. VIC REINEMER,

Staff Director, Subcommittee on Budgeting, Management, and Expenditures, Committee on Government Operations U.S. Senate.

DEAR VIC: In accordance with your request and discussions with members of my staff, the information below shows our reconciliation of the difference between the number of requests for clearance given in our testimony of April 24, 1974, and the numbers cited in the agencies' letters to Senator Metcalf.*

1 Agency submitted additional request(s) for clearance between the date of their letter and the date of our testimony. 2 We were advised that the agency's letter included only the requests that GAO had approved and one request had not been approved as of the date of the letter.

3 4 of the 6 involve a difference in the way the number of clearances were counted. GAO counted the revisions to 8 forms as 12 clearances because 4 of the 8 forms had 2 revisions-1 requested in December 1973 and 1 requested in January 1974. The agency counted these as 8 clearances because there were only 8 forms involved.

4 We were advised that one request had been overlooked when the agency's letter was prepared.

If you have any further questions, please let us know.

Sincerely yours,

PHILLIP S. HUGHES, Assistant Comptroller General.

The letters and summary appear in pt. II, beginning on p. 877.