I• MANAGEMENT*OF INFORMATION REQUIREMENTS · (703) 746-7935 c-m DOD PROCEDURES FOR ... DoD Reports Management Program 3 a. General Overview 3 b. ... Evaluation for Resource Management,"

DoDDepartment of Defense

Assistant Secretary of Defense for CommandControl, Conmunications, and Intelligence

(703) 746-7935

c-mDOD PROCEDURES FOR

I• MANAGEMENT*OF

INFORMATION REQUIREMENTS

~EL. CTEC ,~AUGO6 a91

-3- 18 138 November 1986

Assistant Secretary of Defense (Comptroller)

50272 -to,

REPORT DOCUMENTATION 1. REPORT 7NO. 2. 3. Recipient's Accession No.

PAGE DoD 7750.5-M4. Title and Subtitle S.Report Oata

DoD Procedures for Management of Information November 1986Requirements

7. Authtor($) S efnigOgazto et o

R. DrakeILP"0"igOgnztoRoN.2. Performing OugeinizstiOft Name end Address 10. Pmioge/Taek/Work Unit Noa.

Washington Headquarters ServicesDirectorate for Information Operations and Reports 11. Coffitract(C) or Grent(G) No.

Arlington, Virginia C(G)

IL. Sponsoring Organization Nane and Address 13. Type of Report & Period Covred

Manual14.

IS. Supplementery Noates

11L Abstract (Umnit. 200 words)

This Manual guides action officers who need to establish reports orobtain information from the public, other Federal agencies, or DoDComponents and provides them with the necessary information to licensetheir information requirements. In addition, it contains informationto assist program managers in the operation of their reports managementprograms.

17. Documnwt Analysis a. Descrilotors

b. lidentiflers/Open.Cnded Terme

c. COSATI Field/Group

1IL Availability St seolent is. Security Close (this Report) 21. No. of Paes.

RELEASE UNLIMITED. FOR SALE BY THE UNCLASSIFIEDNATIONAL TECHNICAL INFORMATION SERVICE 20. Security Claes Clii, Pae.) 22. Price

UNCLASSIFIED)(See ANSI-Zlg.16) See Instruction$ on Reverse OPTIONAL FOR" 272 (4-77)

(Forn.orly NITIS-35)Depormn~t of Commereve

ASSISTANT SECRETARY OF DEFENSE

WASHINGTON, DC 20301-1100

DOD 7750.5-M

COMPTROLLER November 28, 1986

FOREWORD

This Manual is issued under the authority of DoD Directive7750.5, "Management and Control of Information Requirements,"August 7, 1986. It guides action officers who need to establishreports or obtain information from the public, other Federalagencies, or DOD Components and provides them with the necessaryinformation to license their information requirements. Inaddition, it contains information to assist program managers inthe operation of their reports management programs;

The provisions of this Manual apply to the Office of theSecretary of Defense (OSD) and DOD field activities, the MilitaryDepartments (including the National Guard and ReserveComponents), the Organization of the Joint Chiefs of Staff(OJCS), and the Defense Agencies, (Hereafter called "DODComponents").

This Manual is effective immediately, and is mandatory for use by

all DoD Components.

Send recommended changes to this Manual through channels to:

Washington Headquarters ServicesDirectorate for Information Operations and Reports1215 Jefferson Davis Highway, Suite 1204Arlington, Virginia 22202-4302

DOD Components may obtain copies of this Manual through their ownpublications channels. Other Federal agencies and the public mayobtain copies from National Technical Information Service, U.S.Department of Commerce, 5285 Port Royal Road, Springfield,Virginia, 22151. 0 mo a For

o TIC TABQUnamnuewnoA 0l

Robert W. Helm Jusitleatio

DirwzuuujAvitlabllity todes

r vail and/oriDiet Speolal

DTIC QUAL4TY INSP~ECD 3

TABLE OF CONTENTS

SECTION/TITLE PAGE

Foreword iTable of Contents iiReferences viiiFigures x

A. INTRODUCTION 1

1. Purpose 12. Scope 13. Definitions 1

B. GENERAL INFORMATION 3

1. DoD Reports Management Program 3

a. General Overview 3b. Public Information Requirements 3c. Interagency Information Requirements 3d. DoD Internal Information Requirements 3e. Published Listings 4f. Surveys of DoD Personnel 4

2. Responsibilities 5

a. DoD Components 5b. OSD Components 5c. Information Management Control

Officers (IMCOs) 6d. Office of the Assistant Secretary of

Defense (Comptroller) (OASD(C) 6

(1) Policy 6(2) Operations 6

C. INFORMATION REQUIREMENTS FROM THE PUBLIC 7

1. Purpose 72. Scope 73. Definitions 84. Coverage 9

a. Members of the Public 9b. Contractors 9c. Military Dependents and Retirees 9d. Reserve Officer Training Corps (ROTC) 10e. Exemptions 10

5. Information Collection Budget (ICB) 11

a. Overview 11

ii

TABLE OF CONTENTS (Cont'd)

SECTION/TITLE PAGE

b. ICB Process 12c. ICB Management 12d. ICB Compliance Monitoring Quarterly Reports 13

6. Procedures to License Information Requirementsfrom the Public 13

a. Overview 13b. Prepare SF-83 Package 16

(1) Estimate Burden Hours 16(2) Estimate Internal DoD Cost 17(3) Prepare Supporting Statement 17(4) Prepare SF-83 27(5) Prepare Federal Register Notice 37

c. Clear Through Component IMCO 40d. Submission to WHS/DIOR 40

(1) Reports Management Criteria 40(2) Federal Information Locator System

(FILS) 41(3) Privacy Act 42(4) DoD Forms Program 42(5) DoD Data Standards Program 42

e. Submission to OMB 42

(1) OMB Criteria 42(2) FEDAC 44(3) Public Access 44

f. OMB Approval/Disapproval 45g. Appeal Provisions 45

7. Procedures to Revise or Extend InformationRequirements from the Public 45

a. Major Revisions or Extensions 45b. Minor Revisions or Extensions 45

8. Procedures to Cancel Information Requirementsfrom the Public 45

9. Inventory of Public Information Collections 47

a. Overview 47b. Relationship to ICB 47c. Making Changes to Inventory 47d. Output Reports 47

iii


SECTION/TITLE PAGE

(1) Monthly Report to IMCO 47(2) Special Reports 48(3) OMB Quarterly Report 48(4) DoD 7750.5-L 48

10. Annual SF/OF Burden Hour Report 48

D. INTERAGENCY REPORTS 56

1. Purpose 562. Scope 563. Definitions 564. Responsibilities 57

a. Requiring Components 57b. Responding Components 57

5. Coverage 58

a. Excluded organizations 58b. Exemptions 58c. Special Circumstances 58

6. Procedures to License or Revise InteragencyInformation Requirements 58

a. Overview 58b. Preliminary Action 59

(1) Coordinate with IMCO 59(2) Discussion with GSA 59

c. Prepare Justification 59d. Prepare Cost Estimate 61e. Waiver Provisions 61f. Prepare SF-360 61g. Clear Through Component IMCO 63h. Submission to WHS/DIOR 64

(1) Reports Management Criteria 64(2) Privacy Act 64(3) DoD Forms Program 64(4) DoD Data Standards Program 64

i. Submission to GSA 64j. Approval/Disapproval 65k. Appeal Provisions 651. Notification of Approval to Responding

Agencies 65

iv


SECTION/TITLE PAGE

m. Submission of Issuance to GSA 65

7. Procedures to Extend an Interagency InformationRequirement 65

8. Procedures to Cancel Interagency InformationRequirements 66

9. Interagency Report Inventory 66

a. Overview 66b. GSA Publication 66c. Output Reports 66

(1) Monthly Report to IMCO 66

(2) DoD 7750.5-L 66

E. DOD INTERNAL INFORMATION REQUIREMENTS 71

1. Purpose 712. Scope 713. Definitions 714. Exemptions 725. DoD Component Procedures 74

a. Licensing Internal Information Requirements 74b. Indexes of Internal Information Requirements 75

6. OSD Procedures to License DoD Internal InformationRequirements 75

a. Overview 75b. Prepare SD Form 455 76c. Prepare Cost Estimate 81d. Coordination 82

(1) Respondents 82

(2) Information Management Control Officer 82

e. Submission to WHS/DIOR 82

(1) Reports Management Criteria 82(2) Privacy Act 82(3) DoD Forms Program 83(4) DoD Data Standards Program 83

f. Approval/Disapproval 83g. Appeal Provisions 83

v


SECTION/TITLE PAGE

7. OSD Procedures to Revise DoD Internal InformationRequirements 83

a. Substantial Changes 83b. Minor Changes 84

8. OSD Procedures to Cancel an Existing DoD InternalInformation Requirement 84

9. OSD Information Requirement Reviews 84

a. User Responsibilities 84b. Scheduled Review Cycles 84

10. DoD Internal Information Collection Inventory 85

a. Overview 85b. Making Changes to Inventory 85c. Output Reports 85

(1) Monthly Report to IMCO 85(2) DoD 7750.5-L 85

F. COST ESTIMATING PROCEDURES 89

1. Overview 89

a. General 89b. Scope 89

2. Costing Alternatives 89

a. Pilot Testing 89b. Factoring 89c. Sampling 89d. Technical Estimates 90

3. Costing Accuracy 904. Costing Methods 90

a. Routine Cost Estimate 90b. Full Cost/Benefit Analysis 90

5. Excluded Costs 906. Cost Estimating Procedures 90

vi


SECTION/TITLE PAGE

7. Sample Cost Estimate 93

a. Hourly Rate 94b. Direct Personnel Costs 94c. Total Overhead Cost 94d. Total Mission Cost 95e. Overall Overhead Rate 95f. Specific Overhead Costs 95g. Direct Equipment Costs 96h. Direct Material Costs 96i. Other Direct Costs 96j. Final Totals 96k. Sample OF 101 96

8. Other Methods 98

vii

REFERENCES

(a) DoD Directive 7750.5, "Management and Control of InformationRequirements," August 7, 1986.

(b) Federal Information Resources Management Regulation, Part201-45, June 28, 1985 (Title 41, Code of Federal Regulations,Chapter 201)

(c) DoD 7750.5-L, "Listing of Approved Recurring InformationRequirements," Semi-annual listing

(d) DoD Instruction 1100.13, "Surveys of Department of DefensePersonnel," November 9, 1978

(e) Public Law 96-511, "Paperwork Reduction Act of 1980,"December 11, 1980

(f) Title 5, Code of Federal Regulations, Section 1320

(g) FY 1986 Defense Authorization Act, Section 804, "Surveys ofMilitary Families," November 8, 1985

(h) Anti-Trust Civil Process Act

(i) Public Law 96-252, "Federal Trade Commission Improvements Actof 1980"

(j) Executive Order 12036, Section 4-206, January 24, 1978

(k) Executive Order 12333, December 4, 1981

(1) Office of Management and Budget Circular A-102, "UniformAdministrative Requirements for Grants-in-Aid to Stateand Local Governments"

(m) Office of Management and Budget Circular A-l10, "UniformAdministrative Requirements for Grants and Other Agreementswith Institutions of Higher Education, Hospitals, and OtherNonprofit Organizations"

(n) General Accounting Office OIM-79-3, "GAO General AccountingOffice Thesaurus," 1st Edition, November 1978 (GPO Stock No.020-000-0173-9)

(o) Office of Management and Budget Memorandum to Agency ClearanceOfficers, "Federal Information Locator System (FILS) ,"August 27, 1985

(p) DoD 5400.11-R "Department of Defense Privacy Program,"August 1983

(q) DoD 5000.21-L, "Listing of Approved Department of Defense (DD)Forms," Semi-annual listing

viii

REFERENCES (Cont'd)

(r) DoD F00O.12-M "DoD Manual for Standard Data Elements," Annuallisting

(s) office of Management and Budget Memorandum, "Cooperation withFederal Education Data Acquisition Council (FEDAC) ,"April 2, 1982

(t) DoD Directive 5200.26, "Defense Investigative Program," June12, 1979

(u) DoD Directive 5200.27, "Acquisition of Information ConcerningPersons and Organizations not Affiliated with the Departmentof Defense," January 7, 1980

(v) DoD Directive 7920.1, "Life Cycle Management of AuLomatedInformation Systems (AIS) ," October 17, 1978

(w) General Services Administration Information Resources Man-agement Handbook, "Reports Management," July 1985, NationalStock Number 7610-01-195-9767

(x) DoD Instruction 7041.3, "Economic Analysis and ProgramEvaluation for Resource Management," October 18, 1972

ix

LIST OF FIGURES

Figure No. Title Page

C-I Process Flow Chart - Procedures to License

Information Requirements from the Public 15

C-2 Supporting Statement Outline 18

C-3 Sample Supporting Statement 24

C-4a Standard Form 83, "Request for OMB Review,"Side 1 28

C-4b Standard Form 83, "Request for OMB Review,"

Side 2 29

C-5 Sample Federal Register Notice 38

C-6 FILS Checklist (09/83 Version) 43

C-7 Inventory Correction Worksheet 46

C-8 List of Active Reports Approved Underthe Federal Reports Act - Sample 49

C-9 Sample of Special Report 50

C-10 Sample OMB Quarterly Report 51

C-lla Sample Listing - "Part IIIA- List of.Recurring DoD Public-Use Reports" 52

C-llb Sample Listing - "Part IIIB - List ofRecurring DoD Public-Use ReportsCanceled or Transferred in Last 2 Yrs" 53

C-12 Sample Page - GSA "Annual Report of Standardand Optional Forms Covered by 5 CFR 1320" 54

C-13 GSA Form 3515, "Annual Report of Standardand Optional Forms Used for Collectionsof Information Covered by 5 CFR 1320" 55

D-1 Process Flow Chart - Procedures to LicenseInteragency Reporting Requirements 60

D-2 Standard Form 360, "Request for Clearanceof an Interagency Reporting Requirement" 62

D-3 Sample Listing - GSA "Inventory of ApprovedInteragency Reports" 67

x

LIST OF FIGURES (Cont'd)

Figure No. Title Page

D-4a Sample Listing - "Part IIA - List ofRecurring Interagency Reports" 69

D-4b Sample Listing - "Part IIB - List ofRecurring Interagency Reports Canceledin the Last 2 Yrs" 70

E-1 Process Flow Chart - "OSD Procedures toLicense DoD Internal Reports" 77

E-2 SD Form 455, "Request for Approval ofInformation Collection" 78

E-3a Sample Listing - "Part IA - List ofRecurring and One-Time DoD InternalReports" 87

E-3b Sample Listing - "Part IB - List ofRecurring and One-Time DoD InternalReports Canceled in the Last 2 Yrs" 88

F-1 Optional Form 101, "Summary Worksheet forEstimating Reporting Costs" 91

F-2 Example of Completed Optional Form 101 97

xi

A. INTRODUCTION

1. Purpose

The purpose of this Manual is to prescribe procedures whichimplement the policy for the management and control ofinformation requirements of DoD Directive 7750.5, "Management andControl of Information Requirements," (reference (a)). Itprovides step by step instructions for the user to develop thenecessary documentation to obtain approval for establishment,revision, or cancellation of information requirements for theDepartment of Defense.

2. Scope

a. This Manual covers the procedures for theestablishment of new information requirements and themodification or cancellation of existing ones. These informationrequirements include all internal DoD, interagency, and publicreporting requirements and the processes and systems necessary tosupport them. All information and reporting systems as well asall techniques, both electronic and manual, are included underthe provisions of this Manual unless specifically exempted.

b. This Manual applies to the Office of Secretary ofDefense OSD) and DoD Field Activities, the Military Departmentsincluding the National Guard and Reserve Components, the Organi-zation of the Joint Chiefs of Staff (OJCS), and the Defenseagencies. These organizations are referred to collectively as"DoD Components" throughout this Manual. The Office of Secretaryof Defense and DoD field activities are referred to collectivelyas "OSD Components," in this Manual.

3. Definitions

a. Information Reauirement. The functional areaexpression of need for data or information to carry out specifiedand authorized functions or management purposes that require theestablishment or maintenance of forms or formats, or reporting orrecordkeeping systems, whether manual or automated.

b. Report. Data or information which is transmittedfor use in determining policy; planning, controlling, andevaluating operations and performance; making administrativedecisions or preparing other reports. The data or informationmay be graphic or in another form, and may be on paper, magnetictapes, or other media.

1i

C. Surveys of Persons. Systematic data collections,

using personal or telephonic interviews, or self-administeredquestionnaires, from a sample of ten or more persons as

individuals or representatives of agencies, which elicit

attitudes, opinions, behavior, and related demographic, social

and economic data to identical questions that are to be used for

statistical compilations for research and/or policy assessmentpurposes.

2

B. GENERAL INFORMATION

1. DoD Reports Management Program

a. General Overview

The effective management of reports requires anorganized and continuous effort to improve the quality andeconomy of reporting to ensure that agency management officialsare provided with the exact information needed in the rightplace, at the right time, and in the format most useful to themfor informed decision making.

The reports management function includes the output(reports, forms, magnetic tapes, disks, and other media) ofinternal agency systems or procedures as well as the reportingsystems themselves. The reports management function is primarilyconcerned with public, interagency, and DoD internal informationrequirements.

b. Public Information Requirements

Public information requirements are those which requireresponses from the public; the term "public-use reports" was usedfrequently in past years. If there is a reporting requirementwhich requests information from members of the public, Componentsshall, unless exempt, obtain an Office of Management and Budget(OMB) control number to license the collection. Members of thepublic are considered to be individuals, households, privatefirms, companies, contractors, Federal employees in special cir-cumstances, and others. Section C. covers the procedures toobtain OMB approval to collect information from the public.

c. Interagency Information Requirements

Interagency information requirements are those whichinvolve the exchange of information between and among Federalagencies. If information from one or more Federal agencies isrequired, Components shall obtain, unless exempt, an interagencyreport control number (IRCN) which is issued by the GeneralServices Administration GSA). If another Federal agency is re-questing information from a Component, that agency must have anIRCN cited on the request for information or the Component is notobligated to respond, unless the collection is exempt. SectionD. describes the procedures to license an interagency informationrequirement.

d. DOD Internal Information Requirements

DOD internal information requirements pertain to infor-mation required within DOD for internal management or to reportto the Legislative or Judicial branches of the Federal govern-ment. OSD Components who need a report from one or more DoDComponents, shall obtain, unless exempt, a report control symbol(RCS) from Washington Headquarters Services (WHS) to license that

3

reporting requirement. If a DoD Component, other than OSD, needsinformation from within its own DoD Component, an RCS from thereports control activity of that organization may be required.Section E. of this Manual covers the procedures for OSD Compo-nents to license DoD internal reports only. To license internalreports, other DoD Components shall use internal prescribed pro-cedures which are listed in paragraph.E.5.a. of this Manual.

e. Published Listings

(1) OMB, Office of Information and RegulatoryAffairs, publishes the "List of Active Reports Approved Under theFederal Reports Act," on a monthly basis. This report is theofficial status of the reports approved by OMB as of that pointin time and serves as the official record of burden hours beingexpended. This report is used in the formulation of the upcomingfiscal year Information Collection Budget (ICB).

(2) GSA, Office of Information ResourcesManagement, publishes the "Inventory of Approved InteragencyReports," on a semi-annual basis. This report is required bySubpart 201-45.6 of the Federal Information Resources ManagementRegulation (reference (b)). It includes a listing of approvedinteragency reporting requirements by agency and shows thecontrol number, title, prescribing directive, estimated costs,respondents, and expiration date.

(3) WHS, Directorate for Information Operationsand Reports (DIOR), publishes the DoD 7750.5-L (reference (c))which is required by DoD Directive 7750.5 (reference (a)). Itincludes listings of active and canceled DoD internal,interagency, and public information collections, and-is publishedon January 31 and July 31 of each year. It also includes alisting of Information Management Control Officers (IMCOs) foreach of the DoD and OSD Components.

f. Surveys of DoD Personnel

All surveys requiring the participation of military orcivilian personnel in any DoD Component, other than thesponsoring Component, must be approved by the Assistant Secretaryof Defense (Force Management and Personnel), who has considerablemission responsibilities in the survey area. These surveys aregenerally exempt from OMB approval requirements (See paragraphsC.4.c. and C.4.e.) but shall be licensed in accordance with thepolicies and procedures associated with DoD internal informationrequirements (See Section E.). The procedures of DoD Instruction1100.13 (reference (d)) shall be followed prior to submission ofmilitary or civilian personnel surveys to WHS/DIOR for finalapproval.

4

2. Responsibilities

a. DoD Components

Each DoD Component, in providing for effective controlsover the creation of records, is expected to establish anappropriate program for the management of its reportingrequirements. It is the responsibility of DoD Components to:

(1) NOT RESPOND TO UNLICENSED INFORMATIONREQUIREMENTS WHICH ARE NOT EXEMPT.

(2) Establish an information requirements controlactivity under the Information Resources Management (IRM)Official or Representative as prescribed by DoD Directive 7750.5and to assign an IMCO to serve as the key point of contact.

(3) Process, assign, and cancel their internalinformation requirements.

(4) Submit requests for information collections

from the public and other Federal agencies to WHS/DIOR.

b. OSD Components

It is the responsibility of OSD Components to:

(1) NOT RESPOND TO UNLICENSED INFORMATIONREQUIREMENTS WHICH ARE NOT EXEMPT.

(2) Assign an IMCO to serve as the key point ofcontact.

(3) Submit requests through the OSD Component IMCOto WHS/DIOR for DoD internal, interagency, and public informationrequirements.

(4) Establish and implement standards andprocedures for initiating, identifying, reviewing, approving,preparing, distributing, and discontinuing internal reportingrequirements.

(5) Ensure that issuances containing informationrequirements are updated in accordance with applicabledirectives.

(6) Provide for the periodic review of approvedreports for need, adequacy, design, and economy of preparationand use.

(7) Establish and implement standards andprocedures for designing management information systems,including the design of reports used in those systems.

5

C. IMCOs

Each DoD and OSD Component shall assign an IMCO. Theresponsibilities of the IMCO are to:

(1) Serve as a technical advisor to programmanagers and administrators on matters concerning informationrequirements.

(2) Review and screen requests for DoD internal,interagency, and public information requirements. DoD Componentshave their own procedures for their own internal reports and theduties of the IMCOs vary accordingly.

(3) Manage the ICB for their own organizations.

(4) Resolve problems associated with the reportsmanagement function relative to their respective organizationsand missions.

(5) Maintain records of the informationcollections under their cognizance.

(6) Participate in internal or DoD-wide reviewsof reports and reports management activities.

(7) Distribute approval notices from OMB, GSA,WHS/DIOR, and their respective Headquarters to their appropriateoffices.

d. Office of the Assistant Secretary of Defense(Comptroller) (OASD(C))

(1) Policy

OASD(C), Directorate for Information ResourcesManagement Systems (IRMS), is assigned the overall policy for theDoD reports management program and is responsible for DoDDirective 7750.5 (reference (a)). This office also isresponsible for the formulation of the ICB for the Department ofDefense.

(2) Operations

Washington Headquarters Services, Directorate forInformation Operations and Reports (WHS/DIOR), is responsiblefor the overall operation of the DoD reports management programand publishes this Manual. This office also is responsible forthe execution of the ICB.

6

C. INFORMATION REQUIREMENTS FROM THE PUBLIC

1. Purpose

The Paperwork Reduction Act of 1980 (reference (e))-and itsimplementing regulation, 5 CFR 1320 (reference (f)) cover thepolicy for collecting information from the public and have astheir stated purpose:

a. To minimize the Federal paperwork burden on thepublic and the cost to the Federal government of collecting,maintaining, using, and disseminating information;

b. To maximize the usefulness of the information; and

c. To coordinate Federal information policies andpractices.

This section provides the necessary procedures for DoD andOSD Components to establish, revise, and cancel informationcollections from members of the public. It includes detailedguidance on the preparation of a Standard Form 83, "Request forOMB Review," a supporting statement, and a Federal RegisterNotice, all of which are required OMB for approval of aninformation collection from the public.

2. Scope

The Paperwork Reduction Act applies to the executivedepartments, government corporations, government-controlledcorporations, and independent regulatory agencies, except for theGeneral Accounting Office and U.S. territories and possessions.The Act includes a provision that every Federal agenvy designatea senior agency official, who reports directly to the agencyadministrator, to be responsible for that agency's compliancewith the Paperwork Reduction Act.

Among the provisions of the Act, OMB is responsible for

directing and overseeing:

a. Review of information collection requests;

b. Reduction of paperwork burden;

c. Federal statistical activities;

d. Privacy of records;

e. Interagency sharing of information.

This Manual covers the procedures to be used by DoD and OSDComponents who need to collect information from the public. Theseinformation collections are reviewed by Washington HeadquartersServices, Directorate of Information Operations and Reports(WHS/DIOR), and approved or disapproved by OMB. The internal

7

procedures of the DoD Components in this area, up to the time ofWHS/DIOR review, are covered in internal directives,instructions, regulations, and publications.

3. Definitions

a. Burden Hours. See Public Burden.

b. Collection of Information. The use of writtenreports, applications, schedules, questionnaires, reporting orrecordkeeping requirements, or other similar methods. Similarmethods may include contracts, agreements, policy statements,plans, rules or regulations, planning requirements, circulars,directives, instructions, bulletins, requests for proposal orother procurement requirements, interview guides, disclosurerequirements, labeling requirements, telegraphic or telephonicrequests, and standard questionnaires used to monitor compliancewith agency requirements.

c. DoD Clearance Officer. The individual or officeassigned the DoD-wide responsibilities for managing publicreporting requirements. The DoD Clearance officer isorganizationally assigned to WES/DIOR, Information ControlDivision (ICD).

d. Information Collection Reauest. A written report,application, schedule, questionnaire, reporting or recordkeepingrequirement, or other similar method calling for the collectionof information.

e. Practical Utility. The ability of an agency to useinformation it collects, particularly the capability to processsuch information in a timely and useful fashion.

f. Public Burden. The total time, effort, orfinancial resources required to respond to a collection ofinformation, including that to read or hear instructions; todevelop, modify, construct, or assemble any materials orequipment; to conduct tests, inspections, polls, observations, orthe like necessary to obtain the information; to organize theinformation into the requested format; to review its accuracy andthe appropriateness of its manner of presentation; and tomaintain, disclose, or report the information.

g. Public Collection of Information. The obtainingor soliciting of information by an agency from ten or morepersons by means of identical questions, whether such collectionof information is mandatory, voluntary, or required to obtain abenefit. For purposes of this definition, the "obtaining orsoliciting of information" includes any requirement or requestfor persons to obtain, maintain, retain, report, or publiclydisclose information.

h. Federal Education Program. Any Federal activitywith a primary purpose of offering instruction or affecting an

educational agency's or institution's ability to offerinstruction.

i. General Purpose Statistics. Statistics collectedchiefly for public and general government uses, without primaryreference to policy or program operations of the agencycollecting the information.

4. Coverage

OMB approval is needed to collect information from 10 ormore members of the public, unless the collection is exempt. Thepurpose of this subsection is first to cover who is a member ofthe public, for purposes of information collection, and second tocover the conditions under which a specific informationcollection can be exempted.

a. Members of the Public

Members of the public are individuals, partnerships,associations, corporations, (including operations of governmentowned contractor-operated facilities), business trusts, legalrepresentatives, organized groups of individuals, states,territories, or local governments, or components thereof.Current employees of the Federal government are not members ofthe public for purposes of the collection of information withinthe scope of their employment. Military reservists and membersof the National Guard are considered Federal employees when onactive duty, and for purposes of obtaining information about dutystatus. Retired and other former Federal employees are membersof the public except when Military retirees are surveyed underSection 804 of the FY 1986 Defense Authorization Act (reference(g)).

b. Contractors

DoD does a great deal of business with contractors.For information collection purposes they are members of thepublic and OMB approval is required to collect information fromthem.

c. Military Dependents and Retirees

Section 804 of the FY 1986 Defense Authorization Act(reference (g)) states that the Secretary of Defense may conductsurveys of members of the Armed Forces serving on active duty,members of the families of such members, and retired members ofthe Armed Forces to determine the effectiveness of existingFederal programs relating to military families and the need fornew programs. In this context, they shall be considered to beemployees of the United States for purposes of section 3502(4)(A)of title 44, United States Code ((The Paperwork Reduction Act of1980) (reference (e))).

9

d. Reserve Officer Training Corps (ROTC)

ROTC cadets are considered to be employees of theUnited States for purposes of section 3502(4)(A) of Title 44,United States Code (reference (e)), when providing information toinstructors during classroom and other training activities. ROTCcadets who are under contract may be requested to provide furtherinformation, as employees of the United States, provided that theinformation requested remains entirely within the scope of theiremployment.

e. Exemptions

The following types of information collections from thepublic are exempt from OMB review:

(1) Affidavits, oaths, affirmations, certifica-tion, receipts, changes of address, consents, or acknowledgments,provided that they entail no burden other than that necessary toidentify the respondent, the date, the respondent's address, andthe nature of the instrument;

(2) Samples of products or of any other physicalobjects;

(3) Facts or opinions obtained through directobservation by an employee or agent of the sponsoring agency orthrough nonstandardized oral communication in connection withsuch direct observations;

(4) Facts or opinions submitted in response togeneral solicitations of comments from the public, published inthe Federal Register or other publications, provided that noperson is required to supply specific information pertaining tothe commenter, other than that necessary for self-identification,as a condition to the agency's full consideration of the comment;

(5) Facts or opinions, obtained initially or infollow-up requests, from individuals (including individuals incontrol groups) under treatment or clinical examination inconnection with research on, or prophylaxis to prevent, aclinical disorder; direct treatment of that disorder; or theinterpretation of biological analyses of body fluids, tissues, orother specimens; or the identification or classification of suchspecimens;

(6) A request for facts or opinions addressed toa single person;

(7) Examination designed to test the aptitude,abilities, or knowledge of the persons tested and the collectionof information for identification or classification in connectionwith such examinations;

(8) Facts or opinions obtained or solicited at or

10

in connection with public hearings or meetings;

(9) Facts or opinions obtained or solicitedthrough nonstandardized follow-up questions designed to clarifyresponses to approved collections of information;

(10) Like items so designated by OMB;

(11) Collections of information from Federalemployees within the scope of their employment, unless theresults are to be used for general statistical purposes;

(12) Members of the Armed Forces serving onactive duty, members of their families, and retired members ofthe Armed Forces when being surveyed within the context ofSection 804 of the FY 1986 Defense Authorization Act;

(13) Information collections from fewer than 10persons;

(14) Collections of information involvingcompulsory process pursuant to the Anti-trust Civil Process Act(reference (h)), or Section 13 of the Federal Trade CommissionImprovements Act of 1980 (reference (i));

(15) Collections of information required duringthe conduct of intelligence activities, as defined in Section 4-206 of Executive Order 12036 (reference (j)) or successororders, including Executive Order 12333 (reference (k)); orduring the conduct of cryptologic activities that arecommunications securities activities; or

(16) Public information collections neededduring the conduct of a federal criminal investigation orprosecution, during the disposition of a particular criminalmatter, during the conduct of a civil action to which the UnitedStates or any official or agency thereof is a party, or duringthe conduct of an administrative action or investigationinvolving an agency against specific individuals or entities.

5. ICB

a. Overview

The ICB is an annual allowance for each Federal agencyof the total number of burden hours it may require from thepublic to provide it with information. It is an estimate of thetime, direct and indirect, necessary for individuals, businesses,and organizations to collect, record, and submit information tothe Federal government.

Federal agencies prepare ICB requests annually inresponse to specific direction contained in an OMB Bulletin.These requests contain estimated burden hours for theinformation collection activities which the agencies want to

11

conduct. Justifications are provided for new collections ofinformation. OMB authorizes a final allowance, which is themaximum number of burden hours that the agency may impose on thepublic for continuing and new burden items in the next fiscalyear.

b. ICB Process

(1) OMB issues an ICB Guidance Bulletin in the'third quarter of the current fiscal year. This starts the ICBprocess for the next fiscal year.

(2) The ICB is an agency's estimate of the totalburden of time required by the public to comply with requests forinformation by that agency. The sum of all agencies' ICBs is theICB for the Federal government.

(3) After evaluating an agency's proposed ICB,including hearings, OMB will issue a "passback." The passbackidentifies an upper limit of burden hours to be expended by theentire agency during the fiscal year and recommends areas forburden reduction.

(4) The agency may "appeal" the OMB passback byproviding further justification of the agency's position.

(5) OMB transmits a final "allowance" includingany changes subsequent to this appeal. The allowance is themaximum number of burden hours that the agency may impose uponthe public during that fiscal year.

c. ICB Management

The Office of the Assistant Secretary of Defense,(Comptroller) (OASD(C)), Information Resources Management Systems(IRMS), manages the formulation of the ICB. The steps aregenerally as follows:

(1) Upon receipt of the annual ICB Bulletin fromOMB, the OASD(C), IRMS Directorate provides guidance to theMilitary Departments, Defense agencies, and OSD Components. Theguidance provides a timetable for submission and furtherinstructions to assist them in preparing the required exhibitsdescribing existing and anticipated information collectionactivities;

(2) DoD and OSD Components review existingexhibits, update them, and create new exhibits for newactivities;

(3) IRMS reviews and aggregates DoD and OSDComponent exhibits and prepares the DoD ICB;

(4) The senior agency IRM official submits DoD'sICB request to OMB;

12

(5) OMB reviews the DoD submission;

(6) OMB conducts a hearing, where DoD has theopportunity to explain and defend its ICB request;

(7) OMB submits the passback to the agency, whichis the amount tentatively approved for the DoD ICB;

(8) DoD decides whether or not to appeal thepassback; and

(9) OMB prepares the final ICB allowance. If DoDhas decided to appeal the passback, OMB considers the additionaljustification in making the final decision.

Additional information on ICB management can beobtained from the current OMB Budget Guidance Bulletin, the DoDor OSD Component Information Management Control Officer (IMCO),or IRMS directly.

d. ICB Compliance Monitoring Quarterly Reports

(1) The DoD and OSD Components submit a quarterlyplan with their proposed ICB.

(2) At the end of the first, second, and thirdquarters, Components update the quarterly plan, report controlsymbol DD-COMP(Q)1860, to indicate actual performance. The ICBquarterly plan also provides a narrative describing progress madeon the initiatives proposed in prior and current ICB exhibits.

(3) WHS/DIOR provides a summary report indicatingICB status based upon the official records maintained in the DIORinventory of OMB approved information collections (See alsosubparagraph C.9.d(3).

C) The IRMS Directorate reviews the quarterlyreports for consistency with the quarterly plans and ensures thatvariations from the plans submitted with the annual ICB arereconciled in a timely manner. A summary report is provided toOMB in accordance with instructions in the annual bulletin.

6. Procedures to License Information Requirements from thePublic

a. Overview

(1) The approval of an information collection fromthe public sector initially involves the preparation of aStandard Form (SF) 83, "Request for OMB Review," package. Thepackage is submitted to the Component IMCO who will assist inpreparing the package. It is next sent to WHS/DIOR and finallyto OMB for approval or disapproval. During this time, theproposed information collection is announced in the Federal

13

Register for public comment and OMB keeps the package open forpublic access and review for a period of 60 days. IF ACOLLECTION INSTRUMENT DOES NOT HAVE A CONTROL NUMBER, OR IF THEDATE HAS EXPIRED, THE PUBLIC DOES NOT HAVE TO SUPPLY THEINFORMATION. Furthermore, the public cannot be held subject toany penalties for failing to comply with the informationcollection request. Figure C-1 shows the overall flow of theapproval process and the organizations responsible for thevarious steps in the process.

(2) Usually, the clearance package is prepared bythe program office that requires or will utilize the information,but sometimes the IMCO will do the preparation. A clearancepackage has two parts:

(a) SF 83. This form (See Figure C-4a andC-4b) is the official application which an agency submits to OMBfor clearance for a planned information collection activity. Itcontains the data elements that OMB needs to evaluate therequest; and

(b) Supporting Statement. This is theagency's statutory, regulatory and programmatic justification forthe information collection activity.

(3) The following are the key elements of aclearance package. These elements are carefully scrutinized byWHS/DIOR and OMB in their reviews:

(a) Completeness. Every SF 83 package *musthave an original and 3 copies of the "Request for OMB Review," SF83, supporting statement, sections of applicable laws andregulations, and if applicable, forms and instructions and surveydesign documents. It also must have an original and 6 copies ofthe Federal Register notice .

(b) Practical Utility. The supportingstatement must describe the agency's need for the information, aswell as its ability to use it.

(c) Elimination of Duplication. Thesupporting statement must show that information proposed to be

collected does not duplicate information already being collectedor available elsewhere in the Federal government.

(d) Burden Estimates. The supportingstatement must include a thorough explanation of how the burdenestimates were derived.

(4) The basic steps in the process are as follows:

Step 1 - Prepare the SF 83 package.

Step 2 - Clear the Component IMCO

14

Figure C-1

DOD PROCEDURES TO LICENSE INFORMATION REQUIREMENTS FROM THE PUBLICDOD COMPONENT INFORMATION MGMT WHSIDIOR OMB FEDAC

CONTROL OFFICER

coordinatewith IMCO for I No Disapprove or

IsufficientICS Hours Coordinatehours sufficient? -.- - Appeal with

C.5. IRMS

Yes

Advise FEDAC Add info.Education Yes to add to their requirement toeltd nulFdrl------------FRN by 2/15 of

Register Notice preceedingC.6.e.(2) school year

+No,

Prepare

Supporting - Notify DoD - Notify IMCOStatement Component when done.C.6.b.(3)

Review and - Review SF 83Prepare SF-83 submit to package

C.6.b.(4) WHS/DIOR i C.6.dAI ~C.6.c.I

Prepare Federal FILS search forRegister Notice duplication

C.6.b.(5) C,6..(2)

lii

Clear through Eui - Review andIMCO Submit to 0MB ela t ? provide input to

C.6.c.. C.6.d. 0MBNo * C.6.e.(2)

I I

I-------------- -------- ISend Federal Review SF83 ----------.

Register Notice packageto C&D C.6.f.

Receive Notify Notify 4-

Notice DoD IMCO.C.6.g. Component

Update -- ---inventory

C.9.c.

i Approval I

- Notification to ApprovalImplement DoD notification to

Component IMCO

15

Step 3 - Submit SF 83 package to WHS/DIOR.

Step 4 - WHS/DIOR reviews and forwards to OMB.

Step 5 - Federal Register notice published.

Step 6 - OMB approves/disapproves.

Step 7 - WHS/DIOR receives OMB Notification.

Step 8 - WHS/DIOR distributes OMB Notification toIMCO

Step 9 - IMCO distributes OMB Notification tosponsor of the information collection.

b. Prepare SF 83 Package

(1) Estimate Burden Hours

Burden is the time, effort, or financial resourcesexpended by the public to provide information to the Federalqovernment. You will need to estimate burden hours in order toprepare ICB profiles for prepared or anticipated informationcollection activities or to prepare SF 83s for specificinformation collection activities. The following elements mustbe addressed when developing estimates of burden hours:

(a) Time to respond which includes theworkhours required to read or hear the instructions; develop,modify, construct, monitor, or assemble any materials orequipment necessary to collect and report the data or keeprecords; process, format, record and report the information; andmanage the collection, recording and reporting of theinformation.

(b) Other factors that need to be consideredin estimating burden hours are the number of reports,applications, records and/or forms produced each year; and thenumber of respondents.

(c) Steps necessary to estimate the burdenhours are as follows:

Step 1 - Identify the information collectionand reporting requirements. Include data elements to be reportedand the frequency each element will be collected;

Step 2 - Determine the source of the informa-tion (e.g., personal opinions, monitoring devices, etc.);

Step 3 - Determine if information is cur-rently collected, recorded, stored, etc. If so, in what form;

16

Step 4 - Identify previous experience withreporting of same or similar information;

Step 5 - Conduct pretests of the informationcollection and reporting process;

Step 6 - Conduct informal consultations witha few respondents;

Step 7 - For individual or household surveys,conduct trials with office staff;

Step 8 - If appropriate, use regulatoryimpact data;

Step 9 - Compute burden hour estimates andreference the basis for the computations;

Step 10 - Determine if the total burden iswithin reasonable limits;

Step 11 - Finalize burden hour estimates anduse them to prepare ICB profiles or information collectionrequests; and

Step 12 - Consult the Information ManagementControl Officer for additional information if necessary.

(2) Estimate Internal DoD Cost

The internal costs for DoD to collect, process,transmit and use information collected from the public must bereported. These costs must be developed using the methodsprescribed in section- F., below, and incorporated into thesupporting statement.

(3) Prepare Supporting Statement

A supporting statement must be submitted with eachSF 83 as part of the request for approval of an informationcollection activity. Figure C-2 is the "Supporting StatementOutline" which must be adhered to when completing an SF 83package. Identify each topic being addressed with the title ofthe topic in the outline. If a topic does not relate to theinformation collection request, name the title, state "thissection does not apply," and briefly explain why. Figure C-3 isan excellent example of a completed supporting statement preparedby the Air Force which may be useful in preparing supportingstatements.

17

Figure C-2

Supporting Statement Outline

A. JUSTIFICATION

1. Need for the Information Collection

Give a full and detailed explanation of why theDepartment of Defense needs the information requirement.Identify any legal or administrative requirements thatmandate such data collection and include copies of therelevant sections of the statutes, judicial decrees, orregulations.

2. Description and practical Utility of the Informa-tion Collection Activity

a. Description

Describe the information collection activity underreview. Be as specific as possible and include a briefdescription of each of the following:

(1) All respondents, DoD decision-makers andinformation users;

(2) The process the respondents must followto supply the requested information;

(3) The analysis, storage, and publication ofthe information on the part of the agency; and

(4) All schedules and methodologies ortechnologies used in any of the above stages.

b. Practical Utility

Discuss how the agency will use the information tobe collected.

3. Minimize Burden

Describe any actions taken by the Department of Defenseto minimize the burden on the respondent and any improvedtechnologies considered to reduce burden. This may be doneby describing:

a. Activities taken or not taken during theplanning stages; or

b. Actual events, hearings, or actual burdenreduction;

18

Figure C-2

Supporting Statement Outline (Cont'd)

4. Non-duplication

Discuss all efforts taken to determine if any otheragency/department, or other office within the Department ofDefense:

a. Has similar information to the request; or

b. Is planning to request the same kind ofinformation in the future.

5. Consideration of Alternatives

Show specifically why no other data or methods ofcollection can be used to achieve the stated purpose.

6. Minimizing of Burden for Small Business

If any of the respondents are small businesses, discussspecial efforts taken by DOD to minimize the informationburden imposed by the request, and all steps to developseparate and simplified requirements.

7. Consideration of Collection

Describe the consequences to the Federal program orpolicy activities if the collection were conducted lessfrequently.

8. Paperwork Reduction Act Guidelines

If any Paperwork Reduction Act imposed guidelinescontained in 5 CFR 1320.6 (reference (f)) must be exceeded,discuss the special circumstances that make this necessary.Thoroughly justify any of the following, if applicable:

a. Requiring respondents to report information tothe Department of Defense more often than quarterly;

b. Requiring respondents to prepare a writtenresponse to an information collection request or requirementin fewer than 30 days after receipt of it;

c. Requiring respondents to submit more than anoriginal and two copies of any document;

d. Requiring grantees to submit or maintaininformation other than that required under OMB Circulars A-102 and A-110 (references (1) and (m)).;

e. Providing for remuneration of respondents,

19

Figure C-2


other than contractors or grantees;

f. Requiring respondents to retain records, otherthan health, medical, or tax records, for more than threeyears;

g. Utilizing a statistical survey that is notdesigned to produce data that can be generalized to theuniverse of study;

h. Requiring respondents to submit proprietary,trade secret, or other confidential information unless theagency can demonstrate that it has instituted procedures toprotect its confidentiality to the extent permitted by law;and

i. Requiring respondents to maintain or provideinformation in a format other than that in which theinformation is customarily maintained.

9. Consultants

Give the name of non-DoD persons who were consulted onany aspect of the collection activity and indicate theiragency, company, or organization/affiliation. Describeother public contacts or opportunities provided for publiccontacts or opportunities provided for public comment and asummary of the comments received. Summarize any majorproblems on which agreement could not be reached. When theproject involves state or local governments, provideevidence on consultation with officials of such governmentsor organizations such as the Council of State Governments,or the International City Management Association.

10. Confidentiality

Describe the extent of confidentiality in theinformation request, the protection provided against adisclosure of information from individual returns, and thearrangements for disposing of completed report forms. Thisincludes all arrangements for handling, storing, anddisposing of information containing personal ororganizational identifiers.

11. Sensitive Questions

Provide additional justification for any questions of asensitive nature, such as those pertaining to sexualbehavior and attitudes, religious beliefs, and other mattersusually considered private. The reasons the agencyconsiders the questions necessary, the specific uses to be

20

Figure C-2


made of the data obtained, the explanation givento the responderts, and any steps to be taken to obtain therespondents' consent should be included.

12. Cost to the Government and to the Respondents

a. Cost to Government

Provide an estimate of the total dollar cost tothe Federal government to process, analyze or maintain theinformation and the method used to estimate costs. SeeSection F. of this Manual for the appropriate methodolc.gy.

b. Cost to Respondents

Discuss the estimated dollar cost to respondentsand the method used to derive it. Include a dollar cost foreach item of burden identified (list the cost next to eachitem). First, choose a single representative respondentthat typifies the respondent entities. Next, calculate allthe costs associated with information collection activityfor that typical respondent. The costs should include:

(1) Capital costs (for equipment, machinery,construction, rent, utilities, supplies, etc.);

(2) Labor costs (for clerical, and forsenior, junior, and mid-level professional and managerialemployees); and

(3) Other operating and maintenance costs(for labor and equipment) which result from the continuingactivities that are necessary to produce the informationrequested.

If the activity is a new one, or if it is a modification ofan existing requirement, include the start-up ordevelopmental costs in the discussion.

13. Estimation of Respondent Burden (See alsosubparagraph C.6.b.(1).

Explain how the burden estimate (reported on lines 17and 18 of the SF 83) was derived, briefly listing sources ofinformation and basic assumptions used. Identify each itemof burden and show the calculations used to derive theburden hours associated with each.

21

Figure C-2


14. Reasons for Change in Burden

If a change in burden hours is entered (decrease orincrease) for items 19-3 of the SF 83, explain thedifference. The only two general reasons for change areProgram Change and Adjustment. (See instructions for Item19 of the SF 83, subparagraph C.6.b(4)).

15. Scheduling

If a survey is being conducted, indicate the schedulefor the entire project, including dates of beginning andending collection, completion of the report, and expectedrulemaking date, if any. If the information will bepublished, state the expected publication date.

B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

If the information collection activity uses statisticalmethods or techniques at any stage of the process, includethe following information in the supporting statement:

1. Description of the Activity

Describe the potential respondent universe and anysampling or other method used to select respondents. Pro-vide this information in tabular form for the universe as awhole and for each of the strata in the proposed sample. Ata minimum, this tabulation should indicate the expectedresponse rates per stratum and for the collection as awhole. Indicate the actual response rates achieved duringthe last collection, if the collection was conducted pre-viously.

2. Procedures for the Collection of Information

Describe any of the following if they are used in thecollection of information, and give the reason(s) forselecting each procedure:

a. Statistical methodologies used instratification and sample selection;

b. Estimation procedures;

c. Degree of accuracy (needed for the Purposediscussed in the Justification);

d. Unusual problems requiring specializedsampling procedures; and

22

Figure C-2


e. Use of periodic or cyclical data collectionsto reduce respondent burden.

3. Non-response, Maximization to Response Rates, andAccuracy and Reliability

Discuss methods used to maximize response rates.Describe any techniques used to ensure accuracy of responseand avoidance of potential bias. Provide a description ofthe Quality Assurance (QA) plan together with the QAprotocol.

Finally, ensure that the data can be generalized to theuniverse under study.

4. Tests or Procedures

Describe any tests of procedures or methods to beundertaken and the rationale for choosing them. These testscheck for internal consistency and the effectiveness ofprevious similar collection activities.

5. Other

If information collection results will be published forstatistical use, provide the following:

a. Plan outlines for tabulation, statisticalanalysis, and publication;

b. Names and telephone numbers of individualsconsulted on statistical aspects of the design, and the nameof the agency; and,

c. Name of the agency unit, contractor(s),grantees(s), or other person(s) who will actually collectand/or analyze the information for the agency.

23

Figure C-3

SUPPORTING STATEMENT

A. JUSTIFICATION

1. The Directorate of Personnel Plans (HQ USAF/MPX) is responsible for establishing personnel policies that

ensure the capability of the Air Force to attract and retain the proper number and kinds of people needed tomeet its mission requirements. An essential element in providing this capability is the military compensationsystem. The adequacy and efficiency of the Military Retirement System is a key factor in evaluating thecapability of the military compensation system to retain quality personnel. The Directorate of Personnel Plansneeds to be able to estimate the incentives the current Military Retirement System provides for Air Forcepersonnel to continue beyond 20 years of service. The purpose of this study is to analyze the motivators involvedin the nondisability retirement decision, with emphasis upon the financial aspects of the decision process. Theanalysis will determine the marginal lifestream earnings difference for each additional year of military service.Another incentive measure to be examined is the retirees' post-service earnings difference, to be determined bycomparing Air Force retirees' post-service employment and earnings with those of retirees' civilian counterparts.Further, the study will estimate the differences between familial financial situations of military retirees and theircivilian counterparts by examining the impacts of a military careerist's frequent moves on spouses' employmentand earnings and on housing costs. The Directorate of Personnel Plans will use the data and analysis provided bythis study to evaluate proposed changes to the Military Retirement System and to answer questions from theCongress, Office of Management and Budget, and other sources about the impacts of proposed changes uponretention.

2. The Directorate of Personnel Plans (AF/MPX) will be the using organization. Within the Directorate ofPlans, the Analysis Division (AF/MPXA), the Entitlements Division (AF/MPXE), the Policy Division (AF/MPXO), andthe Plans Division (AF/MPXX) will be the primary users of the analysis.

3. The burden involved in this collection of information consists of the time required for respondent retireesfrom the Air Force to complete an approximately 12-page questionnaire sent by mail. The time for an individualto respond should be under one-half hour. Average response time for respondents from our pretests wasapproximately 21 minutes. However, burden time will be conservatively estimated at about 27 minutes for thepurposes of this study. Improved information technology is not applicable to reducing the burden upon thevoluntary retiree respondents.

4. A somewhat similar study was conducted for the Department of Defense by the Rand Corporation in 1977with the findings reported in 1981 (Richard V. L. Cooper, Military Retirees' Post Service Earnings andEmployment, Rand Corporation, R-2493-MRAL). However, questions have been raised about the researchmethodologies employed, and a re-examination of the data from that study, conducted as a first phase of thecurrent project, has confirmed econometric errors in that analysis. Further, that study did not address thefamilial aspects of the question by obtaining data on spouses' incomes; nor did it examine the impact offrequent moves during military service upon subsequent housing costs. Finally, this data is now out of date. TheFifth Quadrennial Review of Military Compensation employed Dr. Cooper to conduct a study of the subject usingdata from the Internal Revenue Service. However, that study does not deal with the important familial aspectsof the post-service earnings of military retirees nor with housing and other costs that are impacted by the fact ofprior military service.

5. No existing combination of sources provides the full range of inter-related data on post-serviceemployment, earnings, housing, and living-cost experiences of Air Force retirees and their spouses. In fact,personnel at the Air Force Manpower and Personnel Center (LTC McFarland) report that no one has previouslyrequested information on female Air Force retirees. This study will specifically focus upon female (as well asmale) Air Force retirees and their post-service incomes.

24

Figure C-3 (Continued)

6. The respondents will be individual Air Force retirees.

7. The collection of information will be a one-time event.

8. The collection will be consistent with current guidelines.

9. The Directorate of Personnel Plans has contracted with The Conference Board, Inc., of New York City, toconduct the study, and The Conference Board has subcontracted the econometric analysis to Unicon ResearchCorporation of Santa Monica, CA. Both are very experienced research organizations that have conductednumerous surveys. A former executive of The Conference Board who has assisted in the design of the surveyinstrument is Dr. George Brown, a former Director of the Bureau of the Census. Dr. Finis Welch, President of theUnicon Research Corporation, serves on advisory panels to the Bureau of the Census. Thus, the surveyinstrument has been developed by persons experienced in the development of such instruments so as tominimize difficulties in responding and to maximize the useful information to be obtained.

10. The respondents will be assured that their responses will be aggregated with those of many others so thatinformation they provide will not be identified with them in any way. Further, they will respond anonymouslyby mail and the items on the survey instrument have been designed so that no identification of individuals willbe possible.

11. Other than questions concerning earnings and other income, which might be considered sensitive bysome persons, there are no questions that might be considered sensitive. The questions concerning income areobviously related to the purposes of the study, which will be explained to the voluntary respondents so that theyought not appear intrusive.

12. Costs to respondents will be minimal: Approximately one-half hour of time or less, one time. The cost tothe Federal Government, if the survey is approved will be $251,561, as established in the contract (MDA-903-83-C-0331). That includes the full cost for printing and mailing the questionnaires, processing the replies,telephone follow up to analyze nonrespondent characteristics, data processing of the results, and theprofessional time in analysis and in preparation of reports called for in the contract.

13. Based on the experience of the 1977 Department of Defense study mentioned in item 4 above, and twopretests conducted in March 1984, questionnaire mailings will be made to a sample sufficient to elicit responsesfrom approximately 4,765 persons.

14. Hours for this collection were included in the ICB under Exihibit 2D, Item 3, Commissary Survey of RetiredMembers. Only 3,423 hours of the approved 7,500 have been used. This study would use 2,173 hours of theremaining 4,077 hours.

15. If approval is obtained from the Office of Management and Budget, it is planned that the questionnaireswill be mailed early in the fall, 1984. Four weeks after the initial mailing, persons in the sample who are notknown to have responded will be contacted by telephone, if possible, and urged to return their completedquestionnaires or provide minimum information for nonrespondent file (items 4, 5, 6, 7, 8, 10, 29, 37, 51, and 61on questionnaire). (Inasmuch as there will be no identifying information on the completed forms, responsecarnot be determined directly or precisely. However, the mailings will contain a separate post card to be used byrespondents to request a copy of the summary results, and they will be asked to note whether or not they havecompleted a questionnaire. For the purposes of the telephone followup, it will be assumed that persons fromwhom we have not received a post card have not responded.) Editing the largely precoded responses will beginwith the first returned questionnaires and continue until collection ends. At that time key punching will begin.

25


It is expected that 1 and 1/2 months later a partially cleaned data tape will be provided to Unicon ResearchCorporation by The Conference Board. Further cleaning of the data by Unicon and preliminary analysis isscheduled for about I5 weeks; delivery of the preliminary analysis report, and edited tape, complete summarystatistics, and a written executive summary of the preliminary findings is to be made to the Directorate ofPersonnel Plans after 3 and 1/2 months. Further indepth analysis and preparation of a final report with theinclusion of comments by Air Force personnel, is scheduled for another 16 weeks, with the project completedabout 4 months later.

B. This collection of information will employ statistical techiques.

1. The universe to be sampled includes about 504,000 US Air Force retirees. From this theoretical universe,however, some groups of retirees will be excluded. Retirees drawing disability retirement pay are excludedinasmuch as the impact of the military compensation system and military retirement pay system upon voluntarydecisions to leave or to remain in the Air Force is the focus of the study; members who leave because ofdisabilities incurred in service would not be appropriate subjects for study. Stratification will be employed toensure including representative samples of all grades of officers and enlisted personnel and various lengths ofservice beyond the minimum of 20 years' service for retirement compensation. Within such stratifications, to bedetermined by the Directorate of Personnel Plans, random sampling will be employed. No unusual samplingproblems are anticipated. Inasmuch as this will be a one-time event, there can be no further reduction of thedata collection cycle.

2. The information called for is contained in item Al above.

3. One mailing of the survey form will be made. Further, a telephone call will be made to a sample ofpersons who have not returned a separate post card, indicating that they have not responded, to urge them tocomplete and mail the questionnaires sent to them. If they state that they do not choose to complete thequestionnaires, they will be asked to provide a minimum amount of information sufficient to determinewhether or not the nonresponclents differ in any significant way from the group who do respond.

4. The first phase of the contract under which -the proposed study will be conducted has been completed.The first phase involved a complete reanalysis of the data from the 1977 study, using a variety of econometricfactors in the analysis so as to eliminate the sources of error and the questions raised in the earlier study. Thus,the first phase constituted a complete test of the procedures that will be employed in the econometric analysisof the data from this survey.

5. The study will be conducted by The Conference Board, Inc., 845 Third Avenue, New York, New York10022; the program manager is Walter S. Wikstrom, Executive Director, Human Resources Program Group; thetelephone is (212) 759-0900. The econometric analysis will be conducted by the Unicon Research Corporation,2116 Wilshire Boulevard, Suite 202, Santa Monica, CA 90403; Dr. Finis Welch is the president; the telephonenumber is (213) 453-4567. A consultant to the project is the former Director of the Bureau of the Census, Dr.George H. Brown, Department of Business Administration, University of South Florida, Jacksonville, FL 32216;the telephone number is (904) 646-2780.

26

(4) Prepare SF 83

The block by block instructions for preparing anSF 83 (See Figures C-4a and C-4b) are listed below. There areless detailed instructions on the form.

Part I of SF 83

Item 1. Department/Agency and Bureau/Office OriginatingRequest. Self-explanatory.

Item 2. Agency Code. The following codes apply to DoD:

0701 - Air Force 0703 - Navy0702 - Army 0704 - Other DoD Components

Item 3. Name and Telephone Number of Person Who CanBest Answer Questions Regarding this Request. Self-explanatory.

Item 4. Title of Information Collection or Rulemaking.State the title as briefly as possible. Do this bydescribing the type of information collection request(e.g., application, report, recordkeeping requirement,monitoring, testing, survey) and function.

Item 5. Legal Authority for Information or Rule.Cite the title and section of the United States Codefor the statute that authorizes the collection ofinZormation. If more than one statute or sectionauthorizes a regulation or a collection of information,cite the principal legal authority. If a regulation orcollection of information is mandated or authorized bya law not yet codified into the U.S. Code, cite thePublic Law number. If an Executive Order authorizes acollection of information, cite the Executive Ordernumber.

Item 6. Affected Public. Indicate which types oforganizations will be required to supply information.Check all categories that will be affected.

Part II of SF 83

This part of the form is not used when submitting anSF 83 under the Paperwork Reduction Act. Part II iscompleted only when requesting a review under E.O.12291. These actions are processed by theOrganizational and Management Planning Directorate,Office of the Deputy Assistant Secretary of Defense(Administration).

Part III of SF 83

Item 13. Abstract.

27

Figure C-4a

Standard Form 831 Request for OMB Review(P,. September 1983)

ImportantRead instructions before completing form. Do not use the same SF 83 Send three copies of this form, the material to be reviewed, and for

to request both an Executive Order 12291 review and approval under the paperwork - three copies of the supporting statement, to:Paperwork Reduction Act.

Answer all questions in Part I. If this request is for review under E.O Office of Information and Regulatory Affairs12291, complete Part II and sign the regulatory certification. If this Office of Management and Budgetrequest is for approval under the Paperwork Reduction Act and 5 CFR Attention: Docket Library, Room 32011320, skip Part II, complete Part III and sign the paperwork certification. Washington, DC 20503

PART I. - Complete This Part for All Requests.1. Depatrtment/agency and Bureau/office originating request 2. Agency codle

3. Name of person who can best answer questions regarding this request . Telephone numberi(

4. Title of information collection or rulemaking

S. Legal authority for information collection or rule (cite United$ates Code. Pub* Law, or Executive Order)

___ USC . ... or

6. Affected public (checka#lthatapply) S Federal agencies or employees

1 Q Individuals or households 3 0 Farms 6 Q Non-profit institutions

2 State or local governments 4 0 Businesses or other for-profit 7 0 Small businesms or organizations

PART II. - Complete This Part Only if the Request is for OMB Review Under Executive Order 12291

7. Regulation Identifier Number (RIN)

- --- or, None assigned 08. Type of submission (check one in each category) Type of review requested

aasslcair. on Sft ofdevelpnt 1 Q Standard1 , Major I ' Proposed or draft 2 Q Pending

2 I Nonmajor 2 Final or interim final, with prior proposal 3 Emergency

3 Final or interim final, without prior proposal 4 Statutory or judicial deadline

9. CFR section affectedCFR

10. Does this regulation contain reporting or recordkeeping requirements that require OMB approval under the Paperwork Reduon Actand5CFR13207 . L.J Yes 0 No

11. Ifamajorrule.istherearegulatoryimpactanalysisattached' ............ . I Yes 2 No

f1 *No,' did OMS waive the analysis? . ...................... 3 . 4 No

Certification for Regulatory SubmissionsIn submitting this request for OMB review, the authorized regulatory contact and the program official certify that the requirements of E.O 12291 and

any applicable policy directives have been complied with.

Signature of program official Date

Signature of authorized regulatory contact

Date

12. (OMB use onl)

PrrEGs ed-, orm owieue 93• 10i Stanld.d Fem 23 (I,' 943)%S?4 ?W4.00634-4034 Pfwlrnyd byV OUS

28 S U 140a-ijo.o 0 12"

Figure C-4bPART 11l. - Complete This Part Only if the Request is for Approval of a Collection

of Information Under the Paperork Reduction Act and 5 CFR 1320.13.Abstract - Describe needs, uses and affected public in 50 words or less

14.Type of information collection (check ontly one)lnformation collections not contained in rulles1 [:1 Regular submission 2 [] Emergency submission (certification attached)Information collections contained Mn mkls3 0 Existing regulation (no change proposed) 6 Final or interim final without prior NPIRM 7. Enter date of expected or actual Federal4 ElNotice of proposed rulemaking (NPRM) A ElRegular submission Register publication at this stage of rulemaking5 E Final. NPRMV was previously published a E Emergency submission (month, day, year):___________

(certification attached)I S.Type of review requested (check only one)

1 0 New collection 4 [JReinstatement of a previously approved collection for2 H Revision of a currently approved collection which approval has expired3 U Extension of the expiration date of a currently approved collection 5 ElExisting collection in use without an 0MB control number

without any change in the substance or in the method of collection16.Agency report form number(s) eticev gandamdfeeaaamw iii AuiWiiu) 22. Purs of information collection (check as many as apply)

1 UApplication for benefits_______________________________________________ 2 ElProgram evaluation

17.Annual reporting or disclosure, burden 3 El General purpose statistics

1 Numberof respondents . . E.4 l Regulatory or compliance2 Number of responses per respondent . . . . 5 [ Program planning or management3 Total annual responses (line I t~ires line 2) .. . 6 El Research4 Hours per response .......... ....... ............. 7 El Audit5 Total hounruw~netilmesilie~j_____ ____________________

MSAnnuall recordkeeping burden 23. Frequency of recordkeeping or reporting (chek aff that apply)1 Number of recordkeepers ........ 1 El Recordkeeping2 Annual hours per recordkeeper . Re.po.X"rfti3 Total recodkeeping hours (line I times line 2). 2 Q On occasion4 Recordkeepina retention Period . . .... years 3 Weekly

19.Total annual burden 4 U monthly1 Requested (line 17-5 plus line 18-).. . .S. Quarterly2 in current 0MB inventory ........ 6 H Semi-annually3 Diff erence (line I less line 2) .. ......... . 7 AnnuallyExplanationall'Jdifference 8 Biennially4 Program change ....... ....... ... . . 9 0 Other (describe):

20.Current (~motrcnt) MB control number or comment number 24.Respondents' obligation to comply (de me Lswoaadgeatia mmeoplws________________________________________ _ 1 El voluntary

21I.Requestaed expiration date 2 ElRequired to obtain or retain a benefit__________________________________________ 3 ElMandatory

2S.Are the respondents primarily educational agencies or institutions or is the primary purpose of the collection related toFederal Education prog.rams I............. e ]N

26. Does the agency use sampling to select respondents or does the agency recommend or prescribe the use of sampling orstatistical analysis by respondents?........................ .. .. ... . . .... .. .. . ......... Yes [:] No

27. Regulatory authority for the information collectionCFR ;or FR ;or, Other (seculW:

Paperwork CertificationIn submitting this request for 0MB approval, the agencythead the senior off icial or an authorizedl representative, certif its that the requrmnsoS CFR 1320. he Privacy Act. statistical standards or directiv es, and any other applicable information oolcy directives ha-ve been complied w th. f

Signature of program official Date

Signature of agency head, the senior official or an authorized representative Date

29

On the first two lines of this block, use the "GeneralAccounting Office Thesaurus," OIM-79-3 (reference (n)),to develop the keywords which best describe theinformation collection. Enclose the keywords inquotation marks and separate them by commas. Anexample of a properly prepared keyword list is asfollows:

"wildlife, animals, fishes, recreation"

Additional information on this subject can be found inattachments to OMB Memorandum to Agency ClearanceOfficers (reference (o)).

On the remaining lines of this block, describe theInformation Collection Request as briefly as possible(approximately 50 words). Include the potentialrespondents, the frequency of the response, the reasonfor the request and the use that will be made of theinformation. The abstract should address the followingfour questions:

1. WHO (in the public) will supply theinformation?

2. WHEN or how often will the information besubmitted?

3. WHAT circumstances require the submissions?

4. WHY - How will the agency use the information?

Item 14. Type of Information Collection. Indicate thebasis for the subidission of the SF 83 by marking onlyone of the following categories:

1. Regular Submission: As defined in 5 CFR1320.12 "Agencies shall submit all collections ofinformation other than those contained in proposedrules published for public notice and comment, orin current regulations that were published asfinal rules in the Federal Register..." Uponrequest by an agency, OMB may agree to act on acollection of information on an expeditedschedule, even though such submission may notqualify for emergency processing described inparagraph 2. below.

2. Emergency Submission: As defined in 5 CFR1320.17, "An agency head or the Senior Officialmay request emergency processing of submission ofinformation collection requests."

Emergency Submissions must be accompanied by a

30

certification as defined in 5 CFR 1320.17(a), "Anysuch request shall be accompanied by a writtendetermination that the collection of informationis essential to the mission of the agency and thatpublic harm will result if normal clearanceprocedures are followed, or that an unanticipatedevent has occurred which will prevent or disruptthe collection of information or cause a statutoryor judicial deadline to be missed if normalprocedures are followed."

In addition, Emergency Submissions must request anOMB approval deadline as specified in 5 CFR1320.17(b), "The agency shall state the timeperiod within which OMB should approve ordisapprove the collection of information."

Finally, an Emergency Submission must includeinformation confirming that steps have been takento minimize burden as specified in 5 CFR1320.17(c). "The agency shall submit informationindicating that it has taken all practicable stepsto consult with interested agencies and members ofthe public in order to minimize the burden of thecollection of information."

3. Submitted with an Existing Regulation with noproposed change.

4. Submitted with a Notice of Proposed Rulemaking(NPRM) (5 CFR 1320.13).

5. Submitted with a Final Regulation for Uhich anNPRM has been-published.

6. Submitted with a Final Regulation (6A) orInterim Final Rule (6B) for which an NPRM has notbeen published. If 6B is marked see comments forStep 2, "Emergency Submissions," above, since thesame requirements apply.

Item 15. Type of Review Requested. Mark one of thefollowing categories which describes the type ofinformation collection request being submitted:

1. New. When the Agency has not previouslycollected or sponsored this collection ofinformation.

2. Revision. When this collection of informationis currently approved by OMB, and the agencywishes to change its burden estimatesubstantially, in the collection itself or in theuse to which the information is to be put.

31

3. Extension. When this collection is currentlyapproved by OMB and the agency wishes only toextend the approval beyond the current expirationdate, with no other change in the collection orburden estimate.

4. Reinstatement. When this collection ofinformation previously had an OMB approval, butthe approval expired or was withdrawn prior tothis submission.

5. Existing Collection in Use Without an OMBcontrol number. When an agency is collecting theinformation without a current OMB control number.

Item 16. Agency Report Form Numbers. Self explanatory.

Item 17. Annual Reporting or Disclosure Burden. Listthe estimated burden associated with reporting ordisclosure. This estimate must be justified in thesupporting statement accompanying the SF 83. It may behelpful to refer to subparagraph C.6.b(l).

1 - Enter the number of respondents for thiscalculated on an annual basis.

2 - Enter the estimated number of report orrecordkeeping responses that the averagerespondent will submit during one year for eachparticular Information Collection Request.

3 - Enter the product of the number in 1multipled by the number in 2.

4 - Enter the average number of person hours foreach response.

5 - Enter the product of the number in 3multiplied by the number in 4.

Item 18. Annual Recordkeeping Burden. List the burdenassociated with recordkeeping. These estimates must bejustified in the supporting statement accompanying theSF 83. It may be helpful to refer to subparagraphC.6.b(l).

1 - Enter the number of recordkeepers for thiscalculated on an annual basis.

2 - Enter the total number of hours incurredannually by each recordkeeper.

3 - Enter the product of the number in 1 multipledby the number in 2.

32

4 - Enter the number of years that the recordsmust be kept. If the recordkeeping retentionperiod is not specified as a number of years --for example, if the records are to be retained forthe life of a given machine -- enter a pointestimate, not a range, and explain the estimate inthe supporting statement.

Item 19: Total Annual Burden. Enter estimates of thetotal annual burden expected to result from thecollection activity.

1. Requested. Enter the sum total of the annualreporting burden (17-5) and the recordkeepingburden (18-3).

2. In Current OMB Inventory. If this submissionpertains to an existing collection, enter thetotal burden hours currently approved by OMB forthis activity.

3. Difference. Enter the difference between 19-1and 19-2 on this line, and explain this differenceon lines 19-4, "Program Change", and/or 19-5,"Adjustment". These are the only reasons for achange in burden.

4. Program Change. A change in burden which isthe result of a deliberate action by the agency.Examples of program changes are:

a. New collection;

b. An - existing collection without an OMBcontrol number that came into existence afterSeptember 30, 1983;

c. Adding, dropping, or changing questions;

d. Changing the frequency of a collectionactivity;

e. Changing eligibility requirements on anassistance program in a way that changes thenumber of applicants or potential applicants;

f. Expanding the use of an existing form toinclude more respondents.

5. Adjustment. A change in burden that is notthe result of deliberate action by the agency.Examples of adjustments are:

a. Corrections of clerical or computationalerrors;

33

b. Reestimation due to factors outside theagency's control, such as population changes or achange in the number of firms in an affectedindustry;

c. Changes in definition by OMB that requirereestimation;

d. Transfers of public burden to or fromanother Federal agency.

Item 20: Current (or Most Recent) OMB control numberor comment number. If the collection of informationhad received previously or now has an OMB controlnumber or comment number, enter that number here.

Item 21: Requested Expiration Date. Enter the monthand year of the desired expiration date for OMBapproval. The information collection period cannotextend beyond three years from the expected date of OMBapproval.

Item 22: Purpose of the Information Collection. Markas many reasons for collecting the information asapply. Note that the categories in this item specifythe purpose of the information collection activity, notthe means of ,iollecting the information.

1. Application for Benefits. A collection ofinformation which a person completes in order toparticipate in, receive, or qualify for grants,financial assistance, or other benefit from theagency.

2. Program Evaluation. A formal assessmentthrough objective measurements and systematicanalyses, of the manner and extent to whichFederal programs achieve their objectives orproduce other significant effects.

3. General Purpose Statistics. Data collectedchiefly for public and general government use,without primary reference to specific agencypolicy or program operations.

4. Regulatory or Compliance. Collections ofinformation undertaken to assess or enforcecompliance with laws or regulations. Thesecollections include requests or petitions forexemptions or waiver or standards, and relatedrecordkeeping. For example, this categoryincludes determining compliance with civil rights,health, safety, environmental, energy, andeconomic standards.

34

5. Program Planning or Management. Allcollections of information necessary to implementprogram activities. This includes progressreporting or grants management, procurement,quality control, and other administrativeinformation collections that do not fit in anycategory above.

6. Research. The collection of information tofurther the course of scientific or medicalresearch, rather than for a specific programpurpose.

7. Audit. Collections of information that verifythe accuracy of accounts and records.

Item 23: Frequency of Recordk'eping or Reporting. Ifthe collection of information is a recordkeepingactivity required of respondents, mark 1. Ifrespondents are required to submit reports, mark theappropriate reporting frequency, 2 through 9. Number 1and another number (2-9) may both be marked if thecollection requires both recordkeeping and reporting.Number 2, "On Occasion," refers to reporting on an as-needed basis.

Item 24: Respondents' Obligation to Reply. Mark thestrongest obligation that applies to the repondentsfrom one of the following:

1. Voluntary: Response by the public is entirelydiscretionary and has no direct effect on anybenefit or privilege for the respondent. -

2. Required to Obtain or Retain a Benefit:Public response is elective, but is required toobtain or retain a benefit.

3. Mandatory: Public response is expresslyrequired by statute. The respondent must reply orface civil or criminal penalties.

Item 25: Are the Respondents Primarily EducationalAgencies or Institutions or is the Primary Purpose ofthe Collection Related to Federal Education Programs?

Self-explanatory. A response of "Yes" in this blockresults in a further review by FEDAC. See sectionC.6.e.(2) of this Manual.

Item 26: Does the Agency Use Sampling to SelectRespondents or Does the Agency Recommend or Prescribethe Use of Sampling or Statistical Analysis byRespondents?

35

Mark "Yes" if information is collected from asubset of all potential respondents and theresults are used to infer the characteristics ofthe whole from the sample. Also mark "Yes" if therespondents are asked or are required to usesimilar sampling, or other statistical techniques,in generating or collecting the informationrequested or required by this collection activity.

Item 27: Regulatory Authority for the InformationCollection. If an existing regulation requires theinformation collection, cite the principal section ofthe Code of Federal Regulations (CFR) containing therequirement. If a regulation not yet codified into theCFR contains the requirement, cite the final rule andprovide the page and/or date it appeared in the FederalRegister. If the authority for the information is notcontained in an existing regulation, leave this itemblank.

Item 28: Signature Block. Self-explanatory.

36

(5) Prepare Federal Register Notice

The Federal Register notice for an SF 83 packageis the means by which the public is notified of pendinginformation collections. The notice is published in the FederalRegister and the public has 30 days from the date of publicationto comment on the pending information collection. It is typeddouble spaced, with one inch margins. Seven notices (originaland 6 copies) are to be forwarded to the DoD Clearance Officerfor review along with the SF 83 package. A sample FederalRegister notice is shown in Figure C-5. The following items shallbe part of the Federal Register notice and contain the sameinformation as Figure C-5:

(a) Item 1. Action. Identifies that it is apublic information collection.

(b) Item 2. Summary. Itemizes the supportingstatement for the information collection.

(c) Item 3. Addresses. Gives the publicthe name, address, and telephone number of persons to contactregarding questions or comments.

(d) Item 4. Supplemental Information.Where the public may obtain a complete copy of the informationcollection proposal.

The below listed items are provided by the information collectionactivity. Leave a one inch left and right margin. Double spaceas indicated in the sample shown in Figure C-5. Submit theoriginal and six copies of the Federal Register notice with theSF 83s. Reproduced copies are acceptable. The information to besubmitted is as follows:

1. Submission. New, Revision, Extension,Reinstatement, and Existing Collection in UseWithout an OMB control number. See SF 83, PartIII, paragraph 15, page 2 for definition of theseterms.

2. Title and Forms. Information collection titleand form numbers, if applicable.

3. Abstract. Describe needs, uses, and affectedpublic in 50 words or less. See SF 83, Part III,paragraph 13, page 2.

4. Type of Respondent. Affected public,individual, state, local governments, farms,businesses, Federal agencies or employees, non-

37

Figure C-5

Sample Federal Register Notice for"Request for OMB Review" (SF 83)

DEPARTMENT OF DEFENSE

Office of the Secretary of Defense

ACTION: Public Information Collection Requirement Submitted to OMB for

Review.

SUMMARY: The Department of Defense has submitted to OMB for review the

following proposal for the collection of information under the provisions of the

Paperwork Reduction Act (44 U.S.C. Chapter 35). Each entry contains the

following information: (1) Type of submission; (2) Title of Information

Collection and Form Number, if applicable; (3) Abstract statement of the need

for and the uses to be made of the information collected; (4) Type of

Respondent; (5) An estimate of the number of responses; (6) An estimate of the

total number of hours needed to provide the information; (7) To whom

comments regarding the information collection are to be forwarded; and (b6 The

point of contact from whom a copy of the information proposal may be

obtained.

(Submission) NEW

(Title & Forms) Portfolio Business Profile; DD Form XXXX

(Abstract) The Booker T. Washington Foundation, under a Department of Defense

contract, has developed the DoD portfolio system; an outreach program which

seeks out, on a voluntary basis, those disadvantaged business firms who desire

to participate in DoD's acquisition program. The Portfolio Business Profile

form is used by Booker T. Washington Foundation Account Executives to obtain

38


significant data from such firms through personal interview appropriate

officials. It lists their capabilities and capacities in terms of equipment, numbers

and skills of employees, kinds of work done in the past, and general capability to

perform.

(Respondent) Disadvantaged Business Firms

(Responses) Responses 5,000

(Burden) Burden hours 10,000

(Comments) ADDRESSES: Comments are to be forwarded to Mr. Edward Springer, Office of

Management and Budget, Desk Officer, Room 3235, New Executive Office

Building, Washington, DC 20503 and Mr. Daniel J. Vitiello, DoD Clearance

Officer, WHS/DIOR, 1215 Jefferson Davis Highway, Suite 1204, Arlington,

Virginia 22202-4302, telephone number (202) 746-0933.

(Point of Contact) SUPPLEMENTAL INFORMATION: A copy of the information collection proposal

may be obtained from Mr. A. F. Williams, OPI, Room 2A340, The Pentagon,

Washington, DC 20301, telephone (202) 697-1481.

PATRICIA H. MEANSOSD Federal Register Liaison OfficerDepartment of Defense

39

profit institutions. See SF 83, Part I, Item 6.

5. Number of Responses. See SF 83, paragraph A,Item 13.

6. Total Burden Hours. See SF 83, Part II, Item19, page 2.

7. Comments. Use the exact text contained inthis sample.

8. Point of Contact. The point of contact is theindividual where a copy of the proposal can beobtained.

9. Office. Type DoD Components' name. Do notgive the originating organization.

Examples: Department of the ArmyDepartment of the NavyDepartment of the Air ForceDefense Logistics AgencyOffice of the Secretary of Defense

c. Clear Through Component IMCO

Submit the SF 83 package (Original and 3 Copies)through the IMCO who shall check it for completeness, ensure thatthe hours are in the ICB, and that a Privacy Act Statement isincorporated in the information collection instrument, ifapplicable. Additionally, the IMCO shall ensure that DoD formsmanagement and data standardization programs have been embodiedinto the request, as appropriate.

d. Submission to WHS/DIOR

(1) Reports Management Criteria

The DoD Clearance Officer reviews all DoDrequests for OMB approval before they are submitted to OMB. Theyare checked for completeness of the SF 83 package, practicalutility of the information collected, duplicative information,and clear explanation of the burden estimates. If there is aproblem with material submitted, the DoD Clearance Officer willcontact the IMCO for the office submitting the package and try toresolve the problem. If the problem cannot be resolved by aninformal means, then the package is returned with a writtenexplanation. The specific items checked are:

(a) Completeness

SF 83 (Original and 3 copies);Supporting statement (4 copies);Forms, if applicable;Instructions and guidelines;

40

Survey designs, if applicable;Sections of applicable laws and regulations;Federal Register notice (Original and 6

copies).

(b) SF 83 Entries.

Item Checked For

13. First line must have minimumof two keywords from the"GAO Thesaurus" (reference(n)).

15. Must be checked.

18. If filled in, see that it isin supporting statement.

19. Must equal OMB's most current

inventory listing.

Check ICB

25. Valid answer

26. Valld answer

(c) Supporting Statement.

Check the justification for the informationneed, use, and existence of duplicative information collections.Ensure that the burden hour calculations are fully explained andsupported.

(d) Other Factors.

Check to see that forms have provisions fordisplaying the OMB control number and expiration date in theupper right corner. Check survey documents for consistency withthe information requirement and request assistance from surveyexperts on the technical aspects of the survey, if necessary.Check the Federal Register notice for compliance with the writtenformat specifications described in subparagraph C.6.b(5) and foroverall compliance with the Privacy Act if a Privacy ActStatement is required.

(2) Federal Information Locator System (FILS)

Each SF 83 package must be screened against theFILS to determine if a duplicate information collection exists.WHS/DIOR enters the search criteria and certifies that the searchwas performed using the "FILS Checklist (09/83 Version)" shown in

41

Figure C-6. This form is retained in the WHS/DIOR files and is

not transmitted to OMB.

(3) Privacy Act

WHS/DIOR reviews the proposed information collec-tion for compliance with the Privacy Act of 1974 as required byDoD 5400.11-R (reference (p)). If WHS/DIOR is unable to ensurethat the proposed collection complies with the law in all"respects, a memorandum requesting review, with the SF 83 packageas an enclosure, is forwarded to (1) the Defense Privacy Officeif a DoD Component is involved, or (2) WHS, Correspondence andDirectives Directorate, Records Management Division, if an OSDComponent is involved.

(4) DoD Forms Program

WHS/DIOR reviews the proposed informationcollection to ensure that any format, document, or computerscreen requiring fill-in data with an annual usage of 100 ormore, is controlled as a form. Form types for OMB approvals canbe Standard Forms, Optional Forms, DD Forms, or DoD Componentforms. Contact the appropriate Component Forms ManagementOfficer if more information is needed. They are listed in DoD5000.21-L (reference (q)).

(5) DoD Data Standards Program

Information requirements from the public,including contractors, shall be reviewed for compliance withexisting DoD standard data elements and codes as published in DoD5000.12-M (reference (r)). The Federal Information ProcessingStandards (FIPS), with which the Department of Defense mustcomply, have been incorporated into DoD 5000.12-M. Many of theFIPS standards implement American National Standards, whereverpossible.

e. Submission to OMB

(1) OMB Criteria

Depending upon the type of information collectionactivity proposed, OMB may review it with varying degrees ofdepth. Typical issues OMB may raise are:

(a) How often is the report requirement formused, and is that the minimum frequencynecessary?

(b) Is the response voluntary?

(c) How old is the report? Is it stillvalid?

(d) Will this information collection trigger

42

Figure C-6

FILS CHECKLIST(09/83 VERSION)

1. Agency Code 2. Date of FILS Search 3. OMB Control Number (if any)

4. Title of the information collection (if there is no OMB number)

5. Agency report form numbers(s)

6. Keywords used during the FILS search for existing information:

(1) - (4) (7)

(2) (5) (8)

(3) (6) (9)

7. Agency(ies) consulted to determine whether information already exists:

8. Indicate the OMB number(s) of similar collections: ,_•

9. The final determination of this search for duplication is that the information collectionrequirements of this clearance request:

L7 are met by the existing collection with OMB number o

"o Therefore, the clearance request was not forwarded to OMB."o The existing information could not be obtained from the collecting

agency for the following reason:

L7 cannot be met by information already available to the government.

L7 are similar to existing Federal information collections, but different inthe following respects:

o different population or sampleo different reporting units or level or detailo different time period (e.g. revision or extension of existing collections)

other:

10. Additional comments:

43

the need for additional data?

(e) Is the information collection the resultof a regulatory or administrative require-ment?

(f) How many burden hours are required toprovide the information? Is the amountexcessive? Is the burden estimate realistic?

(g) What is the quality of the datacollection design?

(h) Can the information be found elsewhere?

(i) Is the information really needed, or isit outmoded?

(j) Is every question or data element reallynecessary?

(k) Is the privacy and confidentiality ofthe respondents protected?

(1) Is the study statistically valid anddesigned to be efficiently administered?

(m) What is the overall quality of the SF 83package?

(2) FEDAC

When Item 25 of the SF 83 is marked "Yes," theentire package shallbe sent to the Federal Education DataAcquisition Council (FEDAC) for review as required by OMBMemorandum (reference (s)). DoD Components must ensure that ifthey are planning an information collection that involves aFederal Education Program, that WHS/DIOR be advised by January 1of the school year preceding the planned collection of theinformation. WHS/DIOR shall send the proposed informationcollection title to FEDAC so it can be published in the FederalRegister by February 15 of that year.

(3) Public Access

In order to enable the public to participate inand make comment on proposed information collections, OMB willmake its files available for public inspection during the normalbusiness hours. Requirements to provide materials to the publicmay be modified or waived by OMB to the extent that publicparticipation in the approval process would defeat the purpose ofthe collection of information; jeopardize the confidentiality ofproprietary, trade secret, or other confidential information;violate state or Federal law; or substantially interfere withDoD's ability to perform its statutory obligations. Accordingly,

44

make sure that any material that cannot be disclosed to thepublic be excluded from the SF 83 package and advise WHS/DIOR ofthis when the package is forwarded.

f. OMB Approval/Disapproval

OMB receives the SF 83 package and the 90 day clockstarts running. OMB shall either:

(1) Approve the SF 83(2) Approve it on a conditional basis(3) Return it for revision(4) Disapprove it, or(5) Take no action. If OMB does not act within

90 days, clearance is automatic, and a control number shall beissued.

Assuming the SF 83 is approved, OMB assigns it an OMB controlnumber and an expiration date and returns the notice to WHS/DIORwho sends it to the Component IMCO.

g. Appeal Provisions

If OMB disapproves an information collection and theDoD or OSD Component wants to appeal the decision, the respectiveIMCO and WHS/DIOR should be consulted to determine the bestcourse of action for the Department of Defense.

7. Procedures to Revise or Extend Information Requirements

from the Public.

a. Major Revisions or Extensions

Major revisions or extensions of over three months mustbe accomplished by the submission of an SF 83 package asspecified in subsection C.6.

b. Minor Revisions or Extensions

Minor revisions or extensions of three months or lesscan be done through the submission of an "Inventory CorrectionWorksheet" as shown in Figure C-7. This form must be coordinatedwith the IMCO and submitted to WHS/DIOR for forwarding to OMB.

8. Procedures to Cancel Information Requirements from thePublic

DoD and OSD Components may cancel an information collectionapproved by OMB by sending an Inventory Correction Worksheetthrough the appropriate IMCO to WHS/DIOR requesting that aninformation collection be canceled. WHS/DIOR shall advise OMB ofthe cancellation and that the information collection inventories(See subsection C.9 for more information on the reportinventories) are updated accordingly.

45

Figure C-7

INVENTORY CORRECTION WORKSHEETInitials Date

Docket No.: Desk Officer:

Effective Date Approved:of Correction: Entered: ___ ___

Classification of CorrectionsEnter only items that change

SF 83 Item AS CURRENTLY IN INVENTORY AS CORRECTED2 Agency/Bureau Number

4 Functional Code

5 Title6 Abstract

7 Expiration Date'9 On Plan (YAY)

10 Exceed Budget (Y/N)

11 Significant (Y/N)

12 Number of Forms13 Agency Form No.(s)

16 Public/Nonpublic (PINP)20 Type of Respondent

21 SiC

22 Small Business (Y/N)

24 Purpose

25 Frequency

26 Collection Method

27 Collection Agent

29 Compulsory Status

30 Confidentiality

32 Cost

19M No. of Respondents .. ...

18 & Report19 Reporting Burden: ( No. of Responsesl9e No. of Reporting Hours 19Q

In Inventory (old): , _..

New (if changed):

Difference (new-old): +

Explanation Correction-Errorfor Change includngtransfersin burden: an not subject

Correction - Reestimate + +

Adjustments_____________

Changeenuse

Program Changes: Increase + + +

Decrease*Circle direction of change as: positive (+) or negative (W).*lndicate one or more types of change and amount attributed to each.

* Extensions without complete resubmission cannot exceed three months.COMMENTS (explanations for other than correction - errors):

46

9. Inventory of Public Information Collections

a. Overview

(1) WHS/DIOR maintains an inventory of OMBapproved reports which includes data such as the OMB controlnumber, report title, expiration date, requesting agency,authority, form numbers, current burden hours, informationcollection budget burden hours, and other data. This data baseis used to publish DoD 7750.5-L (See paragraph C.9.d., below), toperform workload assessments, to support IRM reviews, and forgeneral reports management activities.

(2) OMB maintains an inventory of approvedinformation collections which it uses to produce monthly reportssuch as the "List of Active Reports Approved Under the FederalReports Act," the "Notice of Expiring Repcrts," and the "AgencyQuarterly Changes in Burden." These data are also used to updatethe FILS which is maintained by OMB.

(3) OMB manages the FILS for the Federalgovernment. This system is an inventory of all OMB approvedinformation collections from all Federal agencies. It includes akeyword search capability which enables users to search easilyfor duplicative information collections or other information asnecessary. WHS/DIOR screens DoD Component SF 83 submissions forduplication and certifies that a search was conducted.

b. Relationship to ICB

The ICB is the fiscal year end goal of reporting burdenhours on the public by the Department of Defense, whereas theinventory of OMB approved information collections reflects thecurrent burden hours imposed on the public by the Department. Atthe end of the fiscal year, if the Department of Defense met itsgoal, the burden hours shown in the inventory of informationcollections will be less than or equal to the ICB. Keeping theinventory of information collections up to date is vital to theeffective management of the program for the Department ofDefense.

c. Making Changes to Inventory

Changes to the OMB inventories are made by eithersubmitting an SF 83 or an Inventory Correction Worksheet throughthe IMCO to WHS/DIOR. If the WHS/DIOR inventory disagrees withthe OMB inventory and the OMB inventory is correct, changes areaccepted over the telephone.

d. Output Reports

(1) Monthly Report to IMCO

Every month, WHS/DIOR sends a memorandum whichprovides the latest status of reports control at the DoD level to

47

the IMCO. This memorandum includes OMB's current inventory ofinformation collections from the public and the expiringcollections as well. A sample of one of the OMB reports whichare generally enclosed is shown in Figure C-8.

(2) Special Reports

WHSiDIOR from time to time shall forward specialreports to advise IMCOs of the status of their OMB informationcollection burden hours versus their ICB burden hours. Thesereports are helpful particularly toward the end of the fiscalyear. A sample report is shown in Figure C-9.

(3) OMB Quarterly Report

WHS/DIOR produces the "OMB Quarterly Report" fromthe WHS/DIOR data base (See also subparagraph C.5.d(3)). A pageof this report is shown in Figure C-10.

(4) DoD 7750.5-L

(a) This listing, "Listing of ApprovedRecurring Information Requirements," is published by WHS/DIOR onJanuary 31 and July 31 of every year and is authorized by DoDD7750.5 (reference (a)). Its purpose is to identify DoD internalinformation requirements approved by OSD, interagency reportingrequirements approved by GSA, and information collections fromthe public approved by OMB.

(b) Part III of this listing is divided intotwo subparts. Subpart IIIA is .a list of active OMB approvedinformation collections and includes the OMB control number,title, expiration date, associated forms, authority, respondents,current inventory, and current DoD budget. Subpart IIIB is alist of the OMB approved reports which have been canceled ortransferred in the last two years. Sample pages from thesesubparts are shown in Figures C-lla and C-bib.

10. Annual SF/OF Burden Hour Report

Agencies shall submit to WHS/DIOR, 1215 Jefferson DavisHighway, Suite 1204, Arlington, Virginia 22202-4302, 90 workdaysbefore the close of each fiscal year a summary of the Standardand Optional forms used for collections of information covered by5 CFR 1320. Instructions for preparing the report are on GSAForm 3515, "Annual Report of Standard and Optional Forms Used forCollections of Information Covered by 5 CFR 1320." Include inthe report the actual number of forms used plus the estimatednumber needed for the remainder of the current fiscal year. Thisreport is assigned interagency report control number 0309-GSA-AN.WHS/DIOR shall aggregate Component reports and forward them toGSA, Office of Information Resources Management (KLSO),Washington, DC 20405, 60 workdays before the close of the fiscalyear. A sample page of this report is shown in Figure C-12; acopy of the input form for the report is shown in Figure C-13.

48

Figure C-8

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Number T Date iCn I nve to r To DatE. f T C r v'-R

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0704-0068 1 860630 15000 15000 -14801 -.--. F C 2' 50' .4

0704-0089 8606 ) 625' 625" .0704-0090 88aa)7331 17000 17000 00704-0092 861031 1890 1690 00704-0096 860731 2625 2625 60':704-0-98 86093'0 840 840 '0704-0099 860930 8400 840 02 00704-0110 870731 255219 255219 C,0704-0162 1 880430 264 -264 274 r.

0704-0163 1 880430 2200 20 0 -2034 4.0938-0279 439299 439299 0 0

HA-2ACO1 8 0 C'H A--2,0.2 750 0 0 0HA-2A.03 11%Z63 0 0CHA-2A04 2250 0 0 0 .

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HA-2B06 25000 0 0 -

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2932485 27576 0 0 -16561 134143 275 ...

MY AVMLAB TO DTIC DOES NOT PERIM FULLY LEGOIL BEPRODUCTIOM

50

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z

D. INTERAGENCY REPORTS

1. Purpose

The purpose of this section is to establish procedures forDoD and OSD Components to develop, revise, and cancelinteragency reports imposed on other Federal agencies by theDepartment of Defense. Furthermore, it specifies the DoDresponsibilities DoD in responding to reports imposed on it byother Federal agencies.

2. Scope

a. This Manual covers the procedures for DoD and OSDComponents imposing interagency reports on one or more otherFederal agencies. Interagency reports are reviewed and clearedby the General Services Administration (GSA) and are subject tothe provisions of the Federal Information Resources ManagementRegulation 201-45.6 and 5 CFR 1320.6 (references (b) and (f)).Interagency reports which are also public reports require OMBapproval.

b. It also covers the responsibilities of DoDand OSD Components in responding to reports required by otherFederal agencies and the development of cost estimates forinformation collections proposed by those agencies.

3. Definitions

a. Interagency Report. Data or information which istransmitted between or among Federal agencies for use indetermining policy; planning, controlling, and evaluatingoperations and performance; making administrative determinations;or preparing other reports. The data or information may be innarrative, statistical, graphic, or other form and may bedisplayed on paper, magnetic tapes, or other media.

b. Interagency Reports Coordinator. The officialdesignated by an agency to: Sign and submit Standard Form 360,Request for Clearance of an Interagency Reporting Requirement;"respond to requests from requiring agencies for interagencyreports cost estimates; maintain official agency records oninteragency reporting requirements; and serve as liaison betweenagency components and other agencies on interagency reportingmatters.

c. Operating Document. A completed form or otherdocument used to facilitate, accomplish, or provide a descriptionor record of a transaction, function, or event. The informationin an operating document may provide data (or input) for areport, but that is not its primary purpose. Examples areapplication forms, purchase orders, bills of lading, personnelactions, payrolls and timesheets, inspection or audit reports,and reports that involve direct command and control of militaryforces or cryptological activities related to national security.

56

d. Requiring Agency. An agency establishing aninteragency information requirement.

e. Responding Agency. An agency required to respond toan interagency information requirement.

4. Responsibilities

a. Requiring Components

DoD and OSD Components imposing informationrequirements on other Federal agencies shall:

(1) Develop new and revised interagency reportingrequirements in accordance with this Manual.

(2) Obtain GSA approval through WHS/DIOR for eachnew, revised, or extended interagency reporting-as soon aspossible;

(3) Review DoD 7750.5-L (reference (c) to decideif a proposed report can be met by an existing report;

(4) Review existing interagency reports forpossible improvements when submitting requests to extendclearances;

(5) Provide responding agencies the opportunity tocomment on each proposed new or revised interagency reportingrequirement;

(6) Obtain GSA approval through WHS/DIOR tocollect test information from other Federal agencies to do apilot test of the system if the estimated cost for a new orsubstantially revised report exceeds $500,000.

b. Responding Components

DoD and OSD Components responding to informationrequirements from other Federal agencies shall:

(1) Reply within 30 calendar days to otheragencies' written requests for cost estimates concerning theirexisting or proposed interagency reports;

(2) Respond to approved interagency reports asspecified in instructions; and

(3) REFRAIN FROM RESPONDING TO INTERAGENCYREPORTING REQUIREMENTS NOT APPROVED BY GSA AND INFORM WHS/DIOR OFTHE UNLICENSED REQUIREMENTS.

57

5. Coverage

a. Excluded Organizations

The following organizations are exempt from interagencyreport control licensing:

(1) Legislative branch requirements in statutes orcongressional committee requests;

(2) Judicial branch requirements in court ordersor other judicial determinations;

b. Exemptions

(1) Interagency reporting requirements forsecurity classified information are exempt. However, interagencyreporting requirements for non-security classified informationare not exempt, even if such information is later given asecurity classification by the requesting agency.

(2) Operating documents exchanged between andamong Federal agencies.

(3) Presidential requirements in Presidentialdirectives; and

(4) OMB budgetary, program review and

coordination, and legislative clearance requirements.

c. Special Circumstances.

Questions concerning the applicability of theseexclusions and exemptions shall be directed to WHS/DIOR. In manycases, although the information collection is exempt frominteragency licensing procedures, a DoD report control symbol isrequired because information is collected from the DoD Componentsand forwarded to the requesting organization.

6. Procedures to License or Revise Interagency InformationRequirements

a. Overview

The licensing process involves preliminary discussionswith the GSA which should be conducted with the IMCO and the DoDInteragency Reports Coordinator (WHS/DIOR). After preliminarydiscussions, the process involves the preparation of ajustification, collection of cost estimates from respondingagencies, consolidation of cost estimates, and the preparation ofa Standard Form 360, "Request for Clearance of an InteragencyReporting Requirement," (see Figure D-2). The SF 360 isforwarded to the IMCO, then to WHS/DIOR, and finally to GSA whoshall approve or disapprove the request. The preliminarydiscussions generally provide an excellent indication of GSA's

58

intentions to approve or disapprove the information requirement.Figure D-l shows the overall flow of the approval process and theorganizations responsible for each step in the process.

b. Preliminary Action

(1) Coordinate with IMCO

When it is decided that an interagency reportcontrol number is needed, the overall requirement should bediscussed with the IMCO to resolve any problems that may surface.If it is necessary, further discussions with the DoD InteragencyReport Coordinator should be conducted in preparation for themeeting with GSA.

(2) Discussion with GSA

The Department of Defense, as requiring agency,shall consult with GSA on proposed new or revised interagencyreporting requirements before submitting Standard Form 360,"Request for Clearance of an Interagency Reporting Requirement,"(see Figure D-2). The Component IMCO and the DoD InteragencyReports Coordinator shall participate in the discussion.WHS/DIOR shall schedule the meeting with GSA and make thenecessary arrangements.

c. Prepare Justification

Following the discussion with GSA, the component shalljustify the need for the report. A justification statement,signed by the official who requested the reporting requirement,shall be prepared and attached later to the Standard Form 360.The justification shall:

(1) State why the report is needed and how it willbe used;

(2) Describe the benefits (in dollar value if

possible) expected from the information and assess theprobability that the benefits will be achieved;

(3) Describe how the program will be affected ifthe information is not obtained;

(4) Identify any responding agencies that tookpart in designing, testing, and estimating the cost of theproposed report;

(5) Identify the agencies that agree or do notagree with the proposed report and summarize the reasons why;

(6) Explain how the reporting costs shown on theStandard Form 360 were derived (See Section F. of this Manual).

59

Figure D-1

DOD PROCEDURES TO LICENSE INTERAGENCY REPORTING REQUIREMENTS

DOD COMPONENT INFORMATION MGMT WHSIDIOR GSA OTHER FEDERALCONTROL OFFICER AGENCIES

Coordinate Preliminary Arrangewith IMCO inL discussion with meeting with _ Feedback

advance GSA GSAf D.6.b.(1) D.6.b.(2) D.6.b.(2)

4-------------------------------- -------------------------No

Obtain-- Waiver?

_Yes

PrepareYes

written Review Review/

explanation forward Aprvl

_____ _, _ No aPrepare ,,

Prepfiareon----------------------------------- --------------------- ajustification *-. . . . . . . .SD.6.c.GtoGo to@

Request cost -------------------------------------------------------- Prepare OF 101

estimates within 30 daysD.6.d.

DPreparecostestimate'- (O F 101) .. . . . . . . . . . . . . . . . .

D.6.d. & F.41,

@4• Prepare SF 360D.6.f.

Yes

Clear through Submit to SuD6i. GSA - Approval?IMCO " WHS/DIOR ".i - <I•-

D.6.g. D.6.h.I. No

NotifyagencyD.6.k.

Implement Return to - Update - Return SF 360requirement requester inventory package

D.6.j.

Issuance sentto WHS/DIOR Issuance Issuance

D.6.m.

Respondingagencies - ------------------------------------- ------------------- Notifcanotified

D.6.1.n f 60

S(7) Describe other reporting plans considered,

including:

(a) frequency of reporting;

(b) use of exception reporting;

(c) use of sampling techniques;

(d) selection of respondents;

(e) obligation of respondents to comply;

(f) amount of detail;

(g) format of report; and

(h) method or transmission.

d. Prepare Cost Estimate

The Component shall obtain cost estimates from theFederal agencies who will respond to the proposed informationrequirement. They are required to respond within 30 days.WHS/DIOR shall in this phase by developing the mailing addressesof the appropriate points of contact and, if necessary, followupon the Federal agencies. Components will receive Optional Forms(OF) 101, "Summary Worksheet for Estimating Reporting Costs,"(see Figure F-i) from each of the respondent agencies. The formsmust be consolidated and developed into a single OF 101 whichincludes user costs as well. Section F. of this Manual providesdetailed guidance on how a cost estimate should be prepared.

e. Waiver Provisions

Components seeking a waiver from justifying and cost-estimating a report shall send a written explanation of the needfor the report and the waiver to WHS/DIOR who shall forward therequest to GSA. Waiver requests must include a summary costestimate in item 9 of Standard Form (SF) 360.

f. Prepare SF 360

The item by item instructions for preparing SF 360 (SeeFigure D-2) are as follows:

Item 1: For GSA Use. Self-explanatory.

Item 2: Name, Address and Zip Code of RequestingAgency. Self-explanatory.

Item 3: Title of Proposed Reporting Requirement.Self-explanatory

Item 4: Type of Request. Mark the appropriate box

61

Figure 0-2

REQUEST FOR CLEARANCE OF AN INTERAGENCY 1. FOR GSA USE

REPO TIN REQ IRE ENTa Interagency Report Control No

INSTRUCTIONSSubmit original and one copy together with one copy each of the proposed report, b, Currently ssgned expirationdatesupporting directive and justification statement to GSA, NARS, Office of RecordsManagement. See FPMR (CFR 41) 101-11.11 for further instructions.

2. NAME. ADDRESS AND ZIP CODE Of REQUESTING AGENCY 3 TITLE Of PROPOSED REPORTING REQUIREMENT

4- TYPE OF REQUEST S. FREQUENCY OF USE 6. REVISIONS AND EXTENSION$

a. El NEW .. El SINGLE TIME 0.E QUARTERLY a. Currentiy assigned Interagency Rpr

bi E0 RIEVISION b. El ON OCCASION f. El SEMI-ANNUALLY control NO

E. l EXTENSION (No C14ag) C. [J1 WEEKLY 9, ANNUALLY b. Currently assigied espiration date.d. El WAIVER d. El1 MONTHLY It. El1 OTHER (Spntzfyr)

7. CANCELED OR MODIFIED REPORTS OR FORMS (Lidt by tidle and litterugvy Rieport Control or,0M Appoo Fune ~ Reporni and Forms to be ocanceird or .nodojed by Lb..ImutffUeEUL7eport)

S. SUMMARY OF ESTIMATED REPORTING WORKLOAD

a.. N mNum b fe esp ndi g rencison.....g..agen.....e................................................................................................ ................

b. Nuffmer f timies this repo submiutted annually by eadii responding agency ...................-........................ _......................_._.....

c. Total numbler Of reports sitibmitted annually (a X b) ................................... ................. -..................................

(ieten. d ande appy it naismueuy Pub&& Rpo'rt* ay)

d. Average nsufmber Of Man-hour& required to Prepare and transmit one repon ................t...... . .......................................

e. Total number of man-hours required to prepare and transmit reports annually Ec X d)............................................................

9. SUMMARY OF ESTIMATED REPORTING COSTS REQUIRING AGENCY RESPONDING AGENCIES TOTAL(Col. 1) (Col. 2) (Cr4. I +. 2)

S S Sa. Developmental costs ............................................................................

II. Annual operational costs.......................................................... ............................ _________IS__

c.Annual user costs ............. ................ I......................................... S xxxxxxxxx St0, SIGNATURE OF INTERAGENCY REPORTS COORDINATOR DATE

FOR GSA USE1ýDISPOSITION OF REQUEST BY GSA, NARS, OFFICE OF RECORDS MANAGEMENT REMARKS

a El APPROVED

toE DISAPPROVED rSteisffochmewui

1. ElRECOMMENDED MODIFICATION Ii~reanahorhiumt)

I2 SIGNATURE OF INTERAGENCY REPORTS MANAGEMENT OFFICER DATE

62ndr Form 160

PrmcrribedbvGSA.fPMR (CF4aI)'1ot-it ti

regarding the type of submission.

Item 5: Frequency of Use. Mark the appropriate box(s)regarding the frequency of the report.

Item 6: Revisions and Extensions. Self-explanatory.

Item 7: Canceled or Modified Reports or Forms. Listby title and interagency report control number (or OMBcontrol number) any reports or forms to be canceled orrevised by this interagency report.

Item 8: Summary of Estimated Reporting Workload.Self-explanatory.

Item 9: Summary of Estimated Reporting Costs. Thecost figures for this section are taken from OF 101(see Figure F-l) prepared by DoD and the respondingFederal agencies.

9a, Column 1. These totals are derived from theDoD Optional Form 101 which was prepared inaccordance with Section F. of this Manual.

9a. Column 2. This figure is the total of allresponding agencies taken from Item 5f of theOptional Forms 101 submitted by the respondingagencies.

9a. Total Column. Self-explanatory.

9b. Column 2. This figure is the total of allresponding agencies taken from the 'OperationalCosts section of OFs 101.

9b. Total Column. Self-explanatory.

9c. Column 1. This figure is taken from the UserCosts section of OF 101.

9c. Total Column. Self-explanatory.

Item 10: Signature of Interagency Reports Coordinator.Self-explanatory.

g. Clear Through Component IMCO

Submit the SF 360 package (original and two copies)through the IMCO who shall check it for completeness,duplication, proper coordination, and compliance with GSArequirements agreed to during the initial discussions. Inaddition, the IMCO shall ensure that DoD forms management and

63

data standardization programs have been embodied into the

request, as appropriate.

h. Submission to WHS/DIOR


The DoD Interagency Reports Coordinator reviewsall the DoD SF 360s before they are submitted to GSA. They arechecked for completeness, coordination with responding agencies,duplicate reporting, and cost effectiveness. If there is aproblem with the submission, DoD Interagency Reports Coordinatorshall contact the IMCO for the office submitting the package andtry to resolve the problem. If the problem cannbt be resolved byan informal means, then the package is returned with a writtenexplanation. The specific items checked are:

(a) Three copies of package.(b) SF 360 is complete.(c) OF 101 is correct.(d) Justification is adequate.

(2) Privacy Act

WHS/DIOR reviews the proposed informationcollection for compliance with the Privacy Act of 1974 asrequired by DoD 5400.11-R (reference (p)). If WHS/DIOR is unableto ensure that the proposed collection complies with the law inall respects, a memorandum requesting review, with the SF 360package as an enclosure, is forwarded to (1) the Defense PrivacyOffice if a DoD Component is involved or (2) WHS, Correspondenceand Directives Directorate, Records Management Division, if anOSD Component is involved.


WHS/DIOR reviews the proposed informationcollection to ensure that any format, document, or computerscreen requiring fill-in data with an annual usage of 100 ormore, is controlled as a form. Form types for interagencyreports can be Standard Forms, optional Forms, DD Forms, or DoDComponent forms. Contact the appropriate Component FormsManagement Officer if more information is needed. They arelisted in DoD 5000.21-L (reference (q)).


Interagency information requirements will bereviewed for compliance with existing DoD standard data elementsand codes as published in DoD 5000.12-M (reference (r)). TheFederal Information Processing Standards (FIPS), with which DoDmust comply, have been incorporated into DoD 5000.12-M.

i. Submission to GSA

64

WHS/DIOR shall submit the original and one copy of theStandard Form 360 to GSA. Upon receipt of the Standard Form 360,GSA shall review the proposal for demonstrated need, costeffectiveness, systems design, and coordination with otherclearance authorities, and shall ensure that the report does notduplicate existing interagency reports.

j. Approval/Disapproval

If GSA approves the report, they shall assign aninteragency report control number and an expiration date, returnthe Standard Form 360 to the DoD Interagency Reports Coordinator,and enter the report in the GSA Inventory of Approved InteragencyReports. When GSA rejects an agency's request for a report, GSAshall advise the agency, in writing, of the reasons for therejection.

k. Appeal Provisions

There are no written appeal provisions in any of thewritten implementing regulations from GSA. If a Component wantsto appeal the GSA decision, the IMCO and WHS/DIOR should beconsulted to determine the best approach for the Department ofDefense to obtain a favorable decision.

1. Notification of Approval to Responding Agencies

The requiring agency shall notify responding agenciesof approved reports by directive or by correspondence. Thedirective publishing the requirement shall include the followinginformation: (a) purpose; (b) report title; (c) whether it ismandatory or voluntary; (d) interagency report control number;(e) report format; (f)-preparation instructions; (g) respondingagencies; (h) frequency of use; (i) number of copies; (j) mailingaddress; (k) due date; (1) name and telephone number of contactperson; and (m) for mandatory reports, whether it requires anegative response.

m. Submission of Issuance to GSA

DoD Components shall furnish two copies of theimplementing directive, instruction, or correspondence toWHS/DIOR who shall retain one copy and forward the other copy toGSA.

7. Procedures to Extend an Interagency InformationRequirement

GSA shall notify agencies 90 calendar days in advance of theexpiration date of a requirement. Agencies shall submit requestsfor extensions of revised reports at least 60 calendar daysbefore the expiration date. DoD Components must have theirrequests for extensions to WHS/DIOR one week before the GSA 60day deadline.

65

8. Procedures to Cancel an Interagency InformationRequirement

If an interagency report is no longer needed, the Componentshall notify GSA, through the DoD Interagency ReportsCoordinator, and responding agencies by directive orcorrespondence. GSA shall discontinue the requirement on theexpiration date unless it receives a request for an extension.

9. Interagency Report Inventory

a. Overview

WHS/DIOR maintains an inventory of interagency reportswhich includes data such as the interagency report control numberreport title, requesting agency, authority, respondents, formnumbers, estimated cost, and other data. This data base is usedto publish DoD 7750.5-L (reference (c)) (See paragraph C.9.c.,below), to screen proposed information collections forduplication, to perform workload assessments, to support IRMreviews, and for general reports management activities.

b. GSA Publication

The GSA publishes the "Inventory of ApprovedInteragency Reports" on a semi-annual basis. At the presenttime, WHS/DIOR reviews this publication for new, revised, andcanceled interagency reports and makes changes to the WHS/DIORinteragency reports data base. These changes appear in DoD7750.5-L (reference (c)). A sample page of the GSA listing isshown in Figure D-3.

c. Output Reports

(1) Monthly Reports to IMCO

Every month, WHS/DIOR sends a report to the IMCOwhich provides the latest status of reports control at the DoDlevel. GSA is currently providing monthly updates to WHS/DIOR oninteragency reports and these changes are incorporated into themonthly report to the IMCOs.

(2) DoD 7750.5-L

(a) This listing is published by WHS/DIOR onJanuary 31 and July 31 of every year and is authorized by DoDD7750.5 (reference (a)). Its purpose is to identify DoD internalinformation requirements approved by OSD, interagency reportingrequirements approved by GSA, and information collections fromthe public approved by OMB.

(b) Part II of this lis-ing is divided into twosubparts. Subpart IIA is a list of active interagency reportsand includes the control number, cancellation date, title,

66

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67

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68

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E. DOD INTERNAL INFORMATION REQUIREMENTS

1. Purpose

The purpose of this section is to provide the necessaryprocedures for DoD Components to review, develop, revise, andcancel their DoD internal information requirements. Theprocedures for DoD Components, other Lhan OSD, are contained intheir own directives, instructions, and regulations which arecross-referenced in subsection E.5 below. Detailed proceduresfor OSD Components begin in subsection E.6.

2. Scope

This Section covers the procedures for licensing andreviewing DoD internal information requirements imposed by OSD onthe DoD Components under the authority of DoD Directive 7750.5(reference (a)). It also covers the procedures for licensing andreviewing DoD internal information requirements imposed by theDoD Components on their subordinate commands to the extent that:a) exemptions are specified in subsection E.4., b) their internaldirectives, instructions, and regulations are cross-referenced inparagraph E.5.a., and c) their internal indexes and/or listingsof internal information requirements are referenced in paragraphE.5.b.

3. Definitions

a. DoD Component Internal Information Requirements.Those which are contained within the DoD Component and/orlicensed by that Component. Examples of these would be' OSDinternal, Army internal, Air Force internal, Navy internal, DLAinternal, etc. information requirements.

b. Internal Report. A report is data or informationthat is systematically collected and formatted by one or moreorganizational components and transmitted to anotherorganizational component to meet an authorized and formallyspecified management information requirement. A report isfrequently one output of a data or information system.Management information is data or information needed for use indetermining policy; planning, controlling, and evaluatingoperations and performance; making administrative determinations;or preparing other reports. The data or information may be innarrative, statistical, graphic, or other form, and may bedisplayed on paper documents, magnetic tapes, terminal responses,or in other forms.

c Operating Document. A completed form or otherdocument used to facilitate, accomplish, or provide a descriptionor record of a transaction, function, or event. The informationin an operating document may provide data (or input) for areport, but that is not its primary purpose. Examples areapplication forms, purchase orders, bills of lading, personnel

71

actions, payrolls and timesheets, inspection or audit reports,and reports that involve direct command and control of militaryforces or cryptological activities related to national security.

4. Exemptions. The following types of DoD internalinformation requirements are exempt from the review and approvalprocedures of this Manual:

a. Substantive intelligence reporting.

b. Operating documents and information or documentationprocessed and/or transmitted within an operational system.Examples of these include requisitions, material release orders,supply status notices, back order release notices, etc. However,summary and statistical reporting and other evaluation outputs ofreports transmitted to higher echelons such as an AgedRequisition Report are not exempt.

c. Report of findings, recommendations, or actionsprepared by an official committee, board, survey team, studygroup, or task force.

d. Comments or concurrences which are a part of theroutine clearance of proposed actions or publications;recommendations or evaluations as to existing or proposed plans,policies, procedures, organizations, missions, publications,agenda, or courses of action.

e. Public information releases.

f. Accounting system source documents and outputreports shall be justified during the accounting system conceptand detailed design phases of development as prescribed in DoD7220.9-M, Chapter 12. Therefore, the documents and reports shallbecome an integral part of the accounting system and need not beindividually justified or assigned report control symbols.

g. Reports of audit, internal review, investigation ofcharges, a complaint, a claim or a violation of law orregulation. The following types of reports are not exempt underthis paragraph:

(1) Information required to prepare the finalpublished audit report.

(2) Reports of internal reviews when the reviewis imposed by a higher-echelon command

h. Counterintell gence, personnel security, and other

investigative surveys and reports as covered by:

(1) DoD Directive 5200.26 (reference (t)).

(2) DoD Directive 5200.27 (reference (u)).

72

i. Reports of individuals such as savings bondparticipation, conflict of interest statements, financialstatements, nominations or recommendations for awards, medicaland dental documents, and the like.

j. Routine requests for cost estimates related to aspecific information requirement.

When one of the foregoing exemptions is used in animplementing directive, instruction, or regulation, theappropriate section and paragraph of this Manual shall be citedas an authority for the exemption. For example, the appropriatesection in a DoD directive or instruction would read as follows:

"F. Information Requirements.

The reports in this directive are exempt fromlicensing in accordance with paragraph E.4.b. of DoD7750.5-M, 'Procedures for Management of InformationRequirements.'

73

5. DoD Component Procedures

a. Licensing Internal Information Requirements

DoD Components, other than OSD, have their internalprocedures for the management and control of internal informationrequirements. They are as follows:

DoD Component Document Number Title of Directive/Regulation

Army AR 335-15 Management Information ControlSystem

Air Force AFR 700-11 Management and Control of Infor-mation Reports Requirements

Navy OPNAVINST 5214.7 DON Reports Management Program

OJCS To be provided To be provided

DARPA No Reports No Reports

DCA DCAI 630-225-2 Information Services - InformationRequirements Management

DCAA DCAAR 7750.1 Management and Control of Infor-mation Requirements and ReportsManagement

DIA Unlisted Unlisted

DIS DIS 08-6-R Reports Management Program

DLA DLAR 5000.12 Management and Control of DLAInformation Requirements

DMA DMAINST 5000.19A Policies for the Management andControl of DMA InformationRequirements (Reports Control)

DNA DNA Instruction Policies for the Management and5000.19B Control of DNA Information

Requirements

DSAA DoD 5105.38-M DSAA Security Assistance Manage-ment Manual - Appendix E.

NSA Unlisted Unlisted

74

b. Indexes of Internal Information Requirements

DoD Components, other than OSD, have their internalindexes or listings of their approved internal informationrequirements. They are as follows:

DoD Component Document Title of Index or Listing

Army AR 335-11 List of Approved Recurring Manage-ment Information Requirements

Navy OPNAV Notice N/A5214

Air Force AFP 700-16 Index of Headquarters USAF Con-trolled Reports

OJCS To be provided To be provided

DARPA No Reports No Reports

DCA DCAN Register of Approved RecurringInformation Requirements

DCAA DCAAI 7750.1 Index of DCAA Recurring Reports

DIA Unlisted Unlisted

DIS DIS 08-6-R Reports Management Program

DLA DLAH 5000.5 Listing of HQ DLA RecurringInformation Requirements

DMA DMAL 5000.19 List of DMA Recurring Reports

DNA COMP-1 Register of Approved RecurringReports

DSAA DoD 5105.38-M DSAA Security Assistance Manage-ment Manual - Appendix E.

NSA Unlisted Unlisted

6. OSD Procedures for Internal Information Requirements

a. Overview

(1) General.

OSD Components imposing information requirementson one or more DoD Components must, unless exempt, obtain areport control symbol (RCS) from WHS/DIOR. This involves the

75

preparation of an SD Form 455, "Request for Approval ofInformation Collection," (See Figure E-2) and the development ofa cost estimate using the procedures in Section F. These costestimates are coordinated with the affected DoD Components,processed through the Component Information Management ControlOfficer (IMCO), and finally submitted, with the implementingdocument, to WHS/DIOR for approval. A process flow diagram of theoverall approval process for OSD Components is shown by FigureE-1.

If problems are anticipated with the proposedinformation collection (e.g. high cost, Privacy Act, complexrequirements, etc.) the IMCO should be contacted before startingthe licensing process. The IMCO may recommend that initialdiscussions be conducted with WHS/DIOR to facilitate the approvalprocess.

(2) Coverage.

The procedures in this paragraph apply only toOSD Components. To license DoD internal information requirementsimposed by other DoD Components on their subordinate commands,refer to Component internal procedures which arelisted in paragraph E.5.a., above.

(3) Special Requirements

On a case-by-case basis, special one-time, highpriority, or time-urgent requirements may be approved andsymbolized without being subjected to in-depth review andanalysis, provided a statement of Urgency is included with the SDForm 455, "Request for Approval of Information Collection." Anexpiration date of short duration shall be assigned until therequest for approval document is completed retroactively.

b. Prepare SD Form 455

The instructions for preparing an SD Form 455, "Request forApproval of Information Collection," (See Figure E-2) are listedbelow. Detailed instructions are provided on the form.

Item 1. From (DoD organization name, directorate, and

mailing address). Self-explanatory.

Item 2. Date of Request (YYMMDD). Self-explanatory.

Item 3. Information Requirement Data

3a. Provide the title of the report, informationsystem, recordkeeping requirement, data base,etc., as it appears in the prescribing issuance ormemorandum.

3b. Mark the appropriate box to indicate whetherthe request is for a revision to an existing

76

Figure E-1

OSD PROCEDURES TO LICENSE DOD INTERNAL REPORTS *

OSD COMPONENT INFORMATION MANAGEMENT WHS'OIORCONTROL OFFICER

Prepare

SD 455

E,6.b.

PrepareCost

EstimateE.6.c.

Coordinate

withrespondents

E.6.d.(1)

Coordinate Review mwith and forward to ----.----- - Check for ----- ReviewIMCO WHS/DIOR duplication content[ E.06Md.(2) E.6,d.(2) E.6.e. E.6.e.(1)

YesImplement Receive I1-...... Update Approve?

notification I Inventory <E.6.f, iE.10.b .

No

Notified of Receive - - - - - - - - - - -Disapproval DisapprovalE.6ýg.

*Other DoD Components must use their own procedures. (See E.5.)

77

Figure E-2

REQUEST FOR APPROVAL OF INFORMATION COLLECTION(See instructions on reverse)

1. FROM (OSO organization name, directorate, and mailing address) 2. DATE OF REQUEST (YYMMOD)

3. INFORMATION REQUIREMENT DATAa. REPORT TITLE I) (X one) C. EXISTING REPORT CONTROL

NEW SYMBOL (RCS) (If applicable)

REV'ISE DD-d. FREQUENCY Te INITIAL DUE DATE (YyMmDo) If. RELATED REQUIREMENTS ecs's) g FORM NO,($) (ifaicabte) h. SYSTEM RECORDS NO

4. APPLICABLE DOCUMENTS (List number(s)nezt to type) S. ESTIMATED COST OF REQUIREMENT- (1) PRESCRIBING (2) REPLACED INITIAL ANNUAL RECURRING Cr'ST TOTAL

a. DOD RESPONDENT ONE-TIME NUMBER COST COST ESTIMATEDISSUANCE NAME COST REPORTS PER PER COST

IN YEAR REPORT YEAR

b. STATUTORY b C. d e.

c. INTERAGENCY

d. OTHER

(e.g. Memo)

e. FORMS

6. JUSTIFICATION OF SPECIFIC NEED FOR THIS INFORMATION REQUIREMENT

7. COORDINATION (Do not complete if this information collection is S. PROJECT OFFICERcontained in an approved DoD issuance). a TYPED NAME

a NAME b ORGANIZATION c. PHONE NO b SIGNATURE C. PHONE NO

9 . REQUESTING ORG•ANIZATION APPROVING OFFICIAL

a TYPED NAME b SIGNATURE

10. INFORMATION MANAGEMENT CONTROL OFFICER (IMCO)

a TYPED NAME bSIGNATURE

11. FOR USE Of OSO/,WHSI DOR (MIFORMATION, CONTROL DIVIISION)a. 21PONT CONTROL SYMBOL (RCS) b. EXPUtATION OATEE SSGE

DD-

SO Form 455. DEC 86 Previous editions are obsolete

78

RCS or a request for a new information collection.

3c. When the request is to revise an existingRCS, indicate the current RCS.

3d. Provide the reporting frequency of the infor-mation collection using the following frequencycodes:

A - AnnuallyAR - As RequiredBI - BienniallyBM - BimonthlyBW - BiweeklyD - DailyM - MonthlyOT - One TimeQ - QuarterlyQD - QuadrenniallyQI - QuintenniallySA - SemiannuallyTRA - Thrice YearlyTRI - TrienniallyW - Weekly

3e. Self-explanatory

3f. Cite existing related report control symbols.

3g. Provide the form number(s) to be used whencompleting this requirement, if applicable. Theforms should also be reviewed at this time forcurrency.

3h. If the information requested has a PrivacyAct Statement, provide the Componentidentification and Federal Register citation forthe latest system of records notice in which theinformation will be maintained, e.g. "A0708.03aDAPE, 50 FR 22187, May 29, 1985." (Check withComponent Privacy official).

Item 4. Applicable Documents

4a(l). If the reporting requirement originateswithin DoD, cite the existing or proposed DoDdirective, instruction, publication, or memorandumprescribing the information collection.

4b(l). If the reporting requirement is prescribedby Federal statute, cite the statute (i.e. PublicLaw xxxx, Congress, 10 USC xxxx).

79

4c(l). If the reporting requirement originates inanother Federal agency, provide the agency andprescribing regulation, directive (i.e. TreasuryDepartment Regulation xxx).

4d(1). If the reporting requirement originates inany non-DoD source (i.e. such as Congressionalrequests not incorporated in Federal statutes,requests from State governments, etc.) cite thedocument.

4a(2) through 4d(2). List all existing DoDdirectives, instructions, publications, memoranda,forms, etc., or non-DoD requirements, to besuperseded by this requirement.

Item 5: Estimated Cost of Requirement

5a. Enter applicable DoD Component (Army, Navy,Air Force, etc.).

5b. Provide the costs to set-up the reportingrequirement cycle (include cost of personnel, ADPmachine time, if applicable, supplies, etc.) fromBlock 5(f) of the Optional Form 101 (See SectionF.).

5c through 5e. Obtain the cost of each report, toinclude personnel cost (workhours x average costper work hour), ADP machine time, if applicable,supplies used, etc., from Block 9(f) of theOptional Forms 101. Multiply cost per report xnumber of reports in year to arrive at total costper year.

5f. Total the initial one-time cost and the annualrecurring cost and place the results in thisblock.

Item 6. Justification of Specific Need for thisInformation Requirement. Provide a concise butcomplete justification for the requirement. Ifadditional space is needed, attach a continuationsheet. Include an explanation or discussion of:

I. Specific need for the requirement andresulting benefits in light of projected costs;

2. Risks or penalties associated with not havingthe information;

3. The results of examining other sources ofinformation currently available and why suchinformation cannot satisfy the requirement;

8o

4. Less costly alternatives considered forsatisfying the requirement and why each was notchosen;

5. How the information is to be used byrecipients; and

6. How the need and use warrant frequencyrequested.

If additional space is needed, attach a continuationsheet.

Item 7. Coordination. Provide the name, organizationand telephone number of each using DoD Componentconcurring with the reporting requirement. Concurrenceby all using DoD Components is required beforeapproval. Where concurrence cannot be obtained, theoriginator shall request that the component concernedprovide a statement of the reasons for thenonconcurrence and attach it to the form.

Item 8. Project officer. Self-explanatory.

Item 9. Requesting Organization Approving Official.The SD Form 455 should be signed by the head orprincipal deputy of the requesting activity.

Item 10. Information Management Control Officer. Thecompleted SD Form 455 shall be reviewed and coordinatedby the originating activity's IMCO. The IMCO isresponsible for reviewing the request to ensure thatthe information collection is valid, not a duplicate,and properly authorized. All requests not coordinatedthrough the originating activity's IMCO shall bereturned as incomplete.

Item 11. For Use of OSD/WHS/DIOR (Information ControlDivision). Self-explanatory.

Upon the completion and coordination of the form, send two copies(the original and one) for approval to the Directorate forInformation Operations and Reports, 1215 Jefferson Davis Highway,Suite 1204, Arlington, Virginia 22202-4302. After approval, acopy shall be sent to the IMCO for distribution to theoriginating activity. Additional information on preparing the SDForm 455 can be obtained from the IMCO or WHS/DIOR.

c. Prepare Cost Estimate

A cost estimate is required for every reportingrequirement in accordance with the procedures described inSection F. The Federal Information Resources ManagementRegulation (reference (b)), paragraph 201-45.103-2 requires thatcost estimates for DoD internal reporting requirements be done

81

the same way as reporting cost estimates for interagency reports.

Section F. was developed in accordance with reference (b).

d. Coordination

(1) Respondents

Proposed information requirements must becoordinated with the affected DoD Component(s). This can bedone through the formal coordination of the implementing issuanceor coordination of the formal correspondence implementing theinformation requirement. Cost estimates may be obtained from therespondents before, during, or after coordination. An RCS is notrequired to obtain cost estimates from the DoD Components.

(2) IMCO

The IMCO is the most knowledgeable individual inan organization on the review and approval of informationrequirements and can save considerable time and unnecessary work.Coordination with the IMCO at the earliest possible time in theprocess is recommended.

e. Submission to WHS/DIOR


The DoD Clearance Officer reviews all SD Forms455, "Request For Approval Of Information Collection." Therequest is checked for completeness, proper coordination withresponding offices, duplicative reporting, mission, and costeffectiveness. If there is a problem with. the materialsubmitted, the DoD Clearance Officer shall contact the IMCO forthe OSD Component submitting the package and try to resolve theproblem. If the problem cannot be resolved by informal means,then the package is returned with a written explanation. Thespecific items checked are:

(a) Two copies of SD Form 455 Package(b) SD Form 455 is complete(c) Justification is adequate(d) Costing is adequate(e) Coordination is appropriate(f) No duplicative reports(g) Consistent with mission/charter(h) Information requested is in line with

stated need(i) Request is reasonable(j) Request is legal

(2) Privacy Act

WHS/DIOR reviews the proposed informationcollection for compliance with the Privacy Act of 1974 asrequired by DoD 5400.11-R (reference (p)). If WHS/DIOR is unable

82

to ensure that the proposed collection complies with the law inall respects, a memorandum, with the SD Form 455 package as anenclosure, is forwarded to WHS, Correspondence and DirectivesDirectorate, Records Management Division for review.


WHS/DIOR reviews the proposed informationcollection to ensure that any format, document, or computerscreen requiring fill-in data with an annual usage of 100 ormore, is controlled as a form. Contact the appropriate ComponentForms Management Officer if more information is needed. They arelisted in DoD 5000.21-L (reference (q)).


DoD internal information requirements shall bereviewed for compliance with existing DoD standard data elementsand codes as published in DoD 5000.12-M (reference (r)). TheFederal Information Processing Standards (FIPS), with which theDepartment of Defense must comply, have been incorporated intoDoD 5000.12-M.

f. Approval/Disapproval

If the proposed information requirement is approved,WHS/DIOR shall assign an RCS, notify the appropriate IMCO byreturning one copy of the approved SD Form 455, and formallyenter the approved requirement into DoD 7750.5-L (reference (c)).If disapproved, WHS/DIOR shall return the two SD Forms 455 withan explanation of the reason(s) for disapproving the request.

g. Appeal Provisions

If the Component is not satisfied with the reason(s)for disapproval of the proposed information collection, thedecision may be appealed through proper channels. If the denialcannot be resolved through proper channels and a legalinterpretation is involved, the DoD Office of the General Counselmay be requested to provide an opinion.

7. OSD Procedures to Revise DoD Internal Information

Requirements

a. Substantial Changes

If an information requirement has changedsubstantially, a new SD Form 455 must be submitted and, if thecost of the requirement has changed, a new cost estimate must beprepared. Substantial changes involve, for example:

(1) Organizational assignment(2) Title of information requirement(3) Frequency (new cost estimate required)(4) Respondents (new cost estimate required)

83

(5) Content of collection (new cost estimaterequired

(6) Other major changes

Substantial changes normally shall require modification of theimplementing directives, instructions, or publications. Themodified implementing documents must be submittea with therevised SD Form 455.

b. Minor Changes

If an SD Form 455 needs minor changes, they shall beaccepted by telephone or by correspondence.

8. OSD Procedures to Cancel an Existing DoD InternalInformation Requirement

The Component may cancel an information requirement over thetelephone by identifying the RCS and the authority for thecancellation. Memoranda for the record are preferred but notnecessary. If this reporting requirement is prescribed by a DoDIssuance, the issuance must be updated to reflect thiscancellation.

9. OSD Information Requirement Reviews

a. User Responsibilities

It is the responsibility of the OSD Component to ensurethat information requirements imposed on the DoD Components arevalid and essential to the mission of the OSD Component. Inaddition, OSD Components are to ensure that:

(1) Information requirements are not duplicative

(2) Reporting workload is minimized through theuse of sampling or information technology resources

(3) Information needs are clearly identified

(4) Automated system resources are cost-effectively applied in accordance with DoD Directive 7920.1(reference (v)).

b. Scheduled Review Cycles

(1) Expiration Dates.

DoD internal information requirements prescribedby OSD Components shall be assigned expiration dates no longerthan three years from the date of approval by WHS/DIOR. Theserequirements shall be reviewed on an individual basis when theexpiration date is imminent. At that time, the report shall berenewed upon submission of a new SD Form 455, "Request forApproval of an Information Collection," and a cost estimate, or

84

canceled.

(2) Annual Reviews

Annual report reduction goals shall be establishedeach fiscal year by the Assistant Secretary of Defense(Comptroller). During the year a- the information requirementsapproach their expiration dates and are reviewed, reportreductions should be realized. Ninety days before the end of thefiscal year, WHS/DIOR shall distribute a report to the OSDComponents advising them of the number of reports approved forthem as of the beginning of the current fiscal year and the endof the third quarter as well as those which have had frequencychanges. If it is clear that a report reduction goal may not bemet, OSD Components should review their reports with a viewtowards meeting the annual report reduction goal by the end ofthe fiscal year.

10. DoD Internal Information Collection Inventory

a. Overview

WHS/DIOR maintains an inventory of DoD internal reportswhich includes data such as the RCS, report title, requestingorganization, authority, external authority, respondents, formnumbers, estimated cost, and other data. This data base is usedto publish DoD 7750.5-L (See paragraph E.10.c., below), to screenproposed information collections for duplication, to performworkload assessments, to support IRM reviews, and for generalreports management activities.

b. Making Changes to Inventory

Minor changes or errors in the inventory are made bymemorandum or telephone to WHS/DIOR. Significant changes to aninformation collection in the inventory are made by submitting ofan SD Form 455, "Request for Approval of Information Collection."

c. Output Reports

(1) Monthly Reports to IMCO

Every month, WHS/DIOR forwards a report to theIMCO which provides the latest status of reports control at theDoD level. It includes a list of DoD internal reports canceledsince the last publication and a list of expired DoD internalreports. DoD internal reports are approved currently for aperiod of three years and are assigned an expiration date.

(2) DoD 7750.5-L

(a) This listing is published by WHS/DIOR onJanuary 31 and July 31 of every year and is authorized by DoDD7750.5 (reference (a)). Its purpose is to identify DoD internalinformation requirements approved by OSD, interagency reporting

85

requirements approved by GSA, and information collections fromthe public approved by OMB.

(b) Part I of this listing is divided intotwo subparts. Subpart IA is a list of active recurring and one-time DoD internal reports imposed by OSD and includes the controlnumber, expiration date, assigned date, title, associated forms,authority, and respondents. Subpart IB is a list of the DoDinternal reports imposed by OSD which were canceled in the lasttwo years. Sample pages from this listing are shown in FiguresE-3a and E-3b.

86

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F. COST ESTIMATING PROCEDURES

i. Overview

a. General.

Management needs cost estimate information to decide ifthe expected value of a reporting requirement is worth the costof collecting the information. The costing methods provided inthis Section are used to compute the costs for the collection ofinformation and use of DoD internal, interagency, and publicinformation requirements as prescribed by paragraph 201-45.103-2,Federal Information Resources Management Regulation (reference(b)). These methods are further described in the GSA informationresources management handbook, "Reports Management" (reference(w)). Each Component shall maintain and make available for reviewthe supporting documentation and cost estimating worksheets forall reporting systems. Reporting system cost information shall beupdated every three years or whenever a major change in thereporting system occurs.

b. Scope

The costing methods of this subsection apply to the DoDcosts associated with the collection and use of informationcollected from the public, interagency information collections,and all internal DoD information requirements and covers thepreparation of routine cost estimates. Full cost/benefitanalyses are not covered in this Manual.

2. Costing Alternatives

Cost estimates are needed to decide if the expected value cfthe information is worth the cost of obtaining it. Componentsshall identify, using the following cost alternative(s), themethod(s) used to prepare the reporting cost estimates:

a. Pilot testing (estimate based on actual costscollected) shall be used when there is high cost reporting, fullscale mechanized systems, data banks, a large number of dataelements, or a new data collection system;

b. Factoring (estimate based on actual costspreviously collected for a comparable report) shall be used whenthere is medium to lowz cost reporting, revision of a previouslycosted report, high degree of experience with comparable reportsmade by the same (one or a limited number) responding agencies,or cost is easy tc compare with actual cost for a similarinformation collection;

c. Samplinq (estimate based on a representativeselection of responding agencies) shall be used when there is lowto high cost reporting, large number of respondents, or newreports;

89

d. Technical estimates (estimate based on experience)shall be used when there is low cost reporting, one-time reports,or a limited number of respondents.

3. Costing Accuracy

The importance of the cost estimate to management decision-making shall have a direct bearing on the degree of accuracy thatneeds to be sought in the estimating. Management normally ismore concerned with accuracy of estimates in the case of a high-cost, recurring report than in the case of a relativelyinexpensive, Dne-time report. When the benefits of a report arenot clearly and substantially beyond the probable costs, greaterprecision i:. necessary in order to permit a valid costeffectiveness evaluation.

4. Costing Methods

a. Routine Cost Estimate

DoD internal, interagency, and public informationcollections require cost estimates to be prepared using theappropriate costing alternatives and accuracy levels described inthe previous two sections. The procedures of this Manual addressthe preparation of routine cost estimates.

b. Full Cost/Benefit Analysis

If an information collection or system is considered tobe "major" by the senior IRM Official or Representative of theDoD Component sponsoring the reporting activity, a fullcost/benefit analysis, in lieu of a routine cost -estimate, isrequired. DoD Instruction 7041.3 (reference (x)), or theappropriate DoD Component implementing instruction or regulation,is to be followed in the development of the full cost/benefitanalysis. The procedures for performing these analyses are quitebroad, vary considerably among components, and are not covered inthis Manual.

5. Excluded Costs

a. Feeder reports when the feeder can exist withoutthe reporting system.

b. Reports which are integral to an organization'sfunction and which would continue if the reporting requirementdid not exist.

6. Cost Estimating Procedures

The steps to develop a cost estimate are as follows:

a. Use Optional Form (OF) 101, "Summary Worksheet ForEstimating Reporting Costs," Optional Form 101, Figure F-1, toconsolidate the cost data.

90

Figure F-I

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b. Collect the cost data using one or more of thecosting alternatives doscribed in subsection F.2., above.

c. Group the cost data by the following reportingactivities (developmental, operational, and user). Not all ofthese activities apply and in some cases additional ones may beadded.

(1) Developmental activity is work on new reportsor modification of existing reports. Include in the developmentalcost, modifications made to feeder reports.

(2) Operational activity is on-going work, such asdata collection, data processing, and data transmission. Includein the operational costs, modifications made to feeder reports.

(3) User activity is work performed by the officewhich imposed the requirement. It includes activities such asrefining, reviewing, analyzing, and documenting.

d. Categorize the cost data by the following types ofresources used (direct personnel cost; overhead cost; directequipment, material and supply cost; and other direct cost):

(1) Direct Personnel Costs are the cost of labotused in the reporting activity plus the cost of fringe benefits.Labor cost is computed by multiplying the hourly rate of thepersonnel doing the job by the number hours on the activity. Todetermine the hourly rate, divide the employee's annual salaryby 2,087 which is the standarl number of working hours in a year.Fringe benefit cost is computed by multiplying a fringe benefitfactor by the cost of labor. A fringe benefit factor can beprovided by the Component's budget office or a factor of 0.26 (26percent) may be used.

(2) Overhead Costs are the direct personnel costsmultiplied by an overhead rate for the office. This ratetypically runs from 25 to 100 percent. If the overhead rate isknown, it may be used directly and subparagraph F.6.d.(3), below,then applies. Otherwise, the overhead rate should be computed asfollows:

(a) Compute the total overhead (i.e.indirect cost) by summing the cost of salaries and fringebenefits for supervisory, clerical, and technical personnel,supplies, space, utilities, telephone, and other common items.Ensure that only those costs which apply to internalorganizational activities (i.e. overhead operations) are includedand not production activities. Do not inc'ude in thiscomputation, that portion of supervisory, clerical, and personnelsalaries and fringe benefits that are involved in the directproduction (direct costs).

(h) Compute the direct mission cost by

92

subtracting the total overhead cost from the office's totalannual budget.

(c) Compute the overhead rate by dividingthe total overhead cost by the direct mission cost.

(d) For example, if the overhead costincluding salaries, fringe benefits, supplies, space andutilities is $100,000 and the office's total annual budget is$250,000, then the mission cost is the annual budget less theoverhead cost which is $150,000. The overhead rate then would bethe total overhead cost divided by the direct mission cost($100,000/$150,000) resulting in an overhead rate of 0.67. If thetotal direct personnel cost for this reporting activity is$10,000, then the overhead for this reporting activity cost wouldbe $6,700 ($10,000 x 0.67).

(3) Direct Equipment, Material, and Supply Costsinclude the actual cost of equipment directly applied to theinformation requirement and all associated material and supplycosts which can be attributed directly to the requirement.

(a) Equipment costs include acquisition,maintenance, transportation, and installation. To compute theequipment cost, prorate its actual cost over all its uses andamortize this cost over the equipment's life expectancy. Forexample, if a computer costs $100,000 and 10 percent of the tireit is used for the information requirement at hand, the proratedcost would be $10,000. Assuming the expected life of thecomputer is five years, for example, the annual amortized costwould be $2,000.

(b)- Direct Material and Supply Costs are theactual costs of these items used for the information requirementat hand. Examples are paper, ribbons, forms, and other items.

(4) Other Direct Cost is cost other than directequipment, --aterial, and supply cost. These costs consist ofpurchased services or activities for which fees are charged.

Enter the cost information on the Optional Form (OF)101, "Summary Worksheet For Estimating Reporting Costs," FigureF-1 and calculate the Developmental Costs (Item 5(f)),Operational Costs for One Report (Item 9(f)), Annual OperationalCosts (Item 10(f)), User Costs for One Report (Item 13(f)), andAnnual Users Cost (Item 14(f)).

7. Sample Cost Estimate

The purpose of this subsection is to present a completeexample of a cost estimate prepared for a new reporting system.It utilizes Or 101 and implements the costing methods presentedin subsection F.6., above. IMPORTANT: Assume there is ONE REPORTPER YEAR in this example. If there are four -.eports per year,for example, the cost elements in "Operational Costs" (Columns

93

(a) through (e) of the OF 101) and "User Costs" (Columns (a)through (e) of the OF 101) are each divided by four.

a- Hourly Rate. Given the GS grade and salary data asshown below, compute the average hourly labor rate for each GSgrade involved in the development of the reporting activity.

GS Grade Salary Hourly Rate

13/5 $42,611 $20.4212/5 29,897 14.337/5 20,200 9.684/5 14,578 6.99

b. Direct Personnel Costs (Column (a), OF 101). Usingthe rates determined in the preceding step, and the estimatedlabor hours by GS grade to do the development, operational, anduser activities associated with the reporting activity, and afringe benefit factor of 26 percent, compute the direct personnelcosts and enter them in the apprcpriate items under Column (a) ofthe OF 101.

Developmental Costs Labor Fringe Hourly TotalMrs Benefit Rate Cost

Specification GS 13- 8 hrs x 1.26 x $20.42 = $206GS 4- 1 hrs x 1.26 x $ 6.99 = 9

Analysis GS 13- 16 hrs x 1.26 x $20.42 = 412Design GS 12- 16 hrs x 1.26 x $14.33 = 289Installation GS 12- 40 hrs x 1.26 x $14.33 = 722

Operational Costs

Data Collection GS 7- 4 hrs x 1.26 x $ 9.68 = 49Data Processing GS 7- 2 hrs x 1.26 x $ 9.68 = 24

User Costs

Analyzing GS 12- 16 hrs x 1.26 x $14.33 = 289

Presenting GS 13- 40 hrs x 1.26 x $20.42 = 1029GS 4- 8 hrs x 1.26 x $ 6.99 = 70

c. Total Overhead Cost. If an overhead rate for theorganizations involved in the reporting activity is notavailable, one must be computed. The first step in making such acomputation is to total all overhead costs. Using the exampledata below, the total overhead costs are found to be $1,286,000as follows:

94

i I

Items Overhead Costs

Salary and Fringe Benefits

Supervisury $770,000Clerical/technical 180,000

Supplies 145,000

Teiephone and Common Items 98,000

Space and Utilities 93,000

Total Overhead Costs $1,286,000

d. Total Mission Cost. To arrive at mission cost,subtract overhead costs from the budget of the organizationsinvolved in the reporting activity. Using the example databelow, the mission cost is found to be $1,948,000.

Total Budget $3,234,000Total Overhead Cost -1,286,000

Total Mission Costs $1,948,000

e. Overall Overhead Rate. The overhead rate would thusbe computed as follows:

$1,286,000/$1,948,000 = 0.66

f. Specific Overhead Costs (Column (b), OF 101). Theoverhead calculaticns for the OF 101 are obtained by taking thedirect personnel costs found in paragraph b. above andmultiplying by the overhead rate (0.66 in our example). Thecalculations are as follows:

Developmental Cost Overhead Cost

Specification (217 x 0.66) = $143Analyris (412 x 0.66) = 272Design (289 x 0.66) = 191Installation (722 x 0.66) = 477

Operational Cost

Data Collection (49 x 0.66) = 32

95

Data Processing (24 x 0.66) = 16

User Cost

Analyzing (289 x 0.66) = 191Presenting f1,099 x 0.66) = 725

These iigures can now be entered into Column (b) of the OF 101.U

g. Direct 'quipment Costs (Column (c) of OF 101).Assume there is a computer and associated peripherals that willbe used 20 percent of the total available time on the machineduring the development of the reporting system which will takeless than one year to accomplish. During the operational phaseof reporting, 10 percent of the total time available on thecomputer shall be used by the reporting activity being estimatedon the OF 101. The equipment was purchased for $95,000 two yearsago, has three years of useful life remaining, and has $1,000 perannum maintenance. Compute the equipment costs as follows:

Annual Amortized Computer Cost = $95,000 / 5 = $19,000

Annual Computer Maintenance = $ 1,000

Total Annual Computer Cost = $20,000

Prorated Cost of Development = $20,000 x .2 = $ 4,000Prorated Annual Oper Costs = $20,000 x .1 = $ 2,000

The entry would be $4,000 in Item 4(c) of the OF 101 and $2,000in Item 7(c).

h. Direct Material Costs (Column (d), OF 101). Assumethat $1,000 worth of pre-printed forms must be purchased eachyear to do the data collection. Enter $1,000 in Item 6(d) of theOF 101.

i. Other Direct Costs (Column (e), OF 101). Assumethat a contractor was hired to do the design and installation ofthe reporting system and these costs were $67,000 and $43,000,respectively. In addition, a contractor is paid $48,000 perannum to do the data collection. Enter $67,000 and $43,000 inItems 3(e) and 4(e), respectively, and $48,000 into Item 6,e).

j. Finai Totals. Determine the total costs in Items 5,9, and 13 of the OF 101 by adding the appropriate entries inColumn (f). Compute Items 10 and 14 by multiplying Items 9 and13 by the number of reports per year.

k. Sample OF 101. A completed OF 101 based on thef'ýreeoing exarple is ghnwn in Figure F-2.

96

Figure F-2- - -

en c Ca es C

* n % z r-. Ozl I.f O ý 1 'Jý ý - -C'.. o0: . 0 ; ON C - 4f

C- - "I'-

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zz

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040

Un -C0

o r C0 -

-f C-- 04 0D

Ix CO Cj m V. a *7r. 00 co

z cc

CK 0 . .

I W j

0~ 0 -. e - -

o~ 0

0- t 0

4 * C.

SiU

M%. a: CL c

-5- Jhi U U 0

a~ o .

a,- 0 Uf97U

8. Other Methods

Any forms, methods, or shortcuts which DoD Components maydevise are likely to be acceptable routine cost estimates if theymeasure up to the following standards:

a. Developmental, operational, and user costs andrelated reporting activities are considered.

b. Accepted sampling methods are used.

C. The full range of resources expended in reporting-- personnel, overhead, material, equipment, and others -- areincluded in estimates of reporting costs.

d. Estimates of reportirg costs are based on theresources required to be consumed in the reporting system beingestimated rather than upon the net additional resources requiredby an organization in the reporting.

e. Estimates of personnel costs include the salarycost of an employee's non-productive as well as his or herproductive time and also include the cost to the Government ofinsurance and retirement plans.

f. Estimates of the equipment costs of reporting arebased on a pro-rated share with other uses made of the equipment.

g. Certain basic work operations of an organizationand certain feeder reports, while essential to a particularreporting requirement, are independent in the sense that theywould continue to exist if the reporting requirement werediscontinued. Such independent operations and feeder reports areexcluded from the estimated costs of the reporting requirement.

h. Shortcuts for estimating reporting costs may beused to reduce the expense of estimating if it can bedemonstrated that they provide an adequate degree of reliability,validity, and accuracy.

i. A summary worksheet with supporting papers isretained for each estimate.

98

DEPARTMENT OF DEFENSEPUBLICATION SYSTEM

CHANGE TRANSMITTAL

OFFICE OF THE SECRETARY OF DEFENSE CHANGE NO. IAssistant Secretary of Defense DoD tý - 9/A -1I(Comptroller) September 30, 1987

DoD PROCEDURES FOR MANAGEMENT OF INFORMATION REQUIREMENTS

The Deputy Assistant Secretary of Defense (Administration),Office of the Assistant Secretary of Defense (Comptroller),has authorized the following changes to DoD 7750.5-M, "DoDProcedures for Management of Information Requirements,"November 1986:

PAGE CHANGES

Remove: Pages viii, ix, 11, 12, and 36 through 41

Insert: Attached replacement pages viii, ix, 11, 12, and36 through 41

Changes appear on pages viii, 11, 37, and 40 and are indicatedby marginal asterisks. Pages 38 and 39 are revised completely.Executive Order 12036 (reference (j)) on page viii is revokedby Executive Order 12333 and the statement, (hereby revoked),is added after reference (j) to indicate the revocation.

EFFECTIVE DATE

The above changes are effective i ediately.

/IDirectorCorrespondence and Directives

Attachments10 pages

WHCN PRESCRHF.IV ACTION HAS 8EEN TAXFN. THIS TRANSMITTAL SHOULI) RE Fi.fD WMI THE BkIC DOCUMENT

So FORM 106.281 MAR

7750.5-Ni

Nov 86#

REFERENCES

(a) DoD Directive 7750.5, "Management and Control of InformationRequirements," August 7, 1986.

(b) Federal Information Resources Management Regulation, Part201-45, June 28, 1985 (Title 41, Code of Federal Regulations,Chapter 201)

(c) DoD 7750.5-L, "Listing of Approved Recurring InformationRequirements," Semi-annual listing

(d) DoD Instruction 1100.13, "Surveys of Department of DefensePersonnel," November 9, 1978

(e) Public Law 96-511, "Paperwork Reduction Act of 1980,"December ii, 1980

(f) Title 5, Code of Federal Regulations, Section 1320

(g) FY 1986 Defense Authorization Act, Section 804, "Surveys ofMilitary Families," November 8, 1985

(h) Anti-Trust Civil Process Act

(i) Public Law 96-252, "Federal Trade Commission Improvements Actof 1980"

* (j) Executive Order 12036, Section 4-206, January 24, 1978(hereby revoked)

(k) Executive Order 12333, December 4, 1981

(1) Office of Management and Budget Circular A-102, "UniformAdministrative Requirements for Grants-in-Aid to Stateand Local Governments"

(m) Office of Management and Budget Circular A-l10, "UniformAdministrative Requirements for Grants and Other Agreementswith Institutions of Higher Education, Hospitals, and OtherNonprofit Organizations"

(n) General Accounting Office OIM-79-3, "GAO General AccountingOffice Thesaurus," Ist Edition, November 1978 (GPO Stock No.020-000-0173-9)

(o) Office of Management and Budget Memcrandum to Agency ClearanceOfficers, "Federal Information Locator System (FILS),"August 27, 1985

(p) DoD F,400.II-R "Department of Defense Privacy Program,"August 1983

(q) DoD 5000.21-L, "Listing cf Approved Department of Defense (DD)Forms," Semi-annual listing

viii

#First amendment (Ch 1, 9/30/87)

REFERENCES (Cont'd)

(r) DoD 5000.12-M "DoD Manual for Standard Data Elements," Annuallisting

(s) Office of Management and Buaget Memorandum, "Cooperation withFederal Education Data Acquisition Council (FEDAC),"April 2, 1982

(t) DoD Directive 5200.26, "Defense Investigative Program," June12, 1979

(u) DoD Directive 5200.27, "Acquisition of Information ConcerningPersons and Organizations not Affiliated with the Departmentof Defense," January 7, 1980

(v) DoD Directive 7920.1, "Life Cycle Management of AutomatedInformation Systems (AIS)," October 17, 1978

(w) General Services Administration Information Resources Man-agement Handbook, "Reports Management," July 1985, NationalStock Number 7610-01-195-9767

(x) DoD Instruction 7041.3, "Economic Analysis and ProgramEvaluation for Resource Management," October 18, 1972

iJ x

7750.5-MNov 86=

in connection with public hearings or meetings;

(9) Facts or opinioxis obtained or solicitedthrough nonstandardized follow-up questions designed to clarifyresponses to approved collections of information;

(10) Like items so designated by 0MB;

(11) Collections of information from Federalemployees within the scope of their employment, unless theresults are to be used for general statistical purposes;

(12) Members of the Armed Fortes serving onactive duty, members of their families, and retired members ofthe Armed Forces when being surveyed within the context ofSection 804 of the FY 1986 Defense Authorization Act;

(13) Information collections from fewer than 10persons;

(14) Collections of information involvingcompulsory process pursuant to the Anti-trust Civil Process Act(refer.ence (h)), or Section 13 of the Federal Trade CommissionImprovements Act of 1980 (reference (i));

* (15) Collection of information during the conduct *". of intelligence activities as defined in Sections 3.4e and 3.4f *"* of Executive Order 12333 issued 4 December 1981 (reference (k)), *"* or successor orders; or during the conduct of cryptologic *"* activities that are communications security activities; *

(16) Public informdtion collections neededduring the conduct of a federal criminal investigation orprosecution, during the disposition of a particular criminalmatter, during the conduct of a civil action to which the UnitedStates or any official or agency thereof is a party, or duringthe conduct of an administrative action or investigationinvolving an agency against specific individuals or entities; or

• (17) Collections of information sponsored by a *"* federal agency, that are also sponsored by a unit of State or"* local government, if the agency shows that such State or local *"* requirement would be imposed even in the absence of a federal *"• requirement. *

5. ICB

a. Overview

The ICB is an annual allowance for each Federal agencyof the total number of burden hours it may require from thepublic to provide it with information. It is an estimate of thetime, direct and indirect, necessary for individuals, busine'ýes,and organizations to collect, record, and submit information tothe Federal government.

Federal agencies prepare ICB requests annually inresponse to specific direction contained in an OMB Bulletir.

#(NFirst amendment (Ch 1, 9/30/87)

These requests contain estimated burden hours for theinformation collection activities which the agencies want toconduct. Justifications are provided for new collections ofinformation. OMB authorizes a final allowance, which is themaximum number of burden hours that the agency may impose on thepublic for continuing and new burden items in the next fiscalyear.

b. ICB Process

(1) OMB issues an ICB Guidance Bulletin in thethird quarter of the current fiscal year. This starts the ICBprocess for the next fiscal year.

(2) The ICB is an agency's estimate of the totalburden of time required by the public to comply with requests forinformation by that agency. The sum of all agencies' ICBs is theICB for the Federal government.

(3) After evaluating an agency's proposed ICB,including hearings, OMB will issue a "passback." The passbackidentifies an upper limit of burden hours to be expended by theentire agency during the fiscal year and recommends areas forburden reduction.

(4) The agency may "appeal" the OMB passback byproviding further justification of the agency's position.

(5) OMB transmits a final "allowance" includingany changes subsequent to this appeal. The allowance is themaximum number of burden hours that the agency may impose uponthe public during that fiscal year.

C. ICB Management

The Office of the Assistant Secretary of Defense,(Comptroller) (OASD(C)), Information Resources Management Systems(IRMS), manages the formulation of the ICB. The steps aregenerally as follows:

(1) Upon receipt of the annual ICB Bulletin fromOMB, the OASD(C), IRMS Directorate provides guidance to theMilitary Departments, Defense agencies, and OSD Components. Theguidance provides a timetable for submission and furtherinstructions to assist them in preparing the required exhibitsdescribing existing and anticipated information collectionactivities;

(2) DoD and OSD Components review existingexhibits, update them, and create new exhibits for newactivities;

(3) IRMS reviews and aggregates DoD and OSDComponent exhibits and prepares the DoD ICB;

(4) The senior agency IRM official submits DoD'sICB request to OMB;

12

Mark "Yes" if information is collected from asubset of all potential respondents and theresults are used to infer the characteristics ofthe whole from the sample. Also mark "Yes" if therespondents are asked or are required to usesimilar sampling, or other statistical techniques,in generating or collecting the informationrequested or required by this collection activity.

Item 27: Regulatory Authority for the InformationCollection. If an existing regulation requires theinformation collection, cite the principal section ofthe Code of Federal Regulations (CFR) containing therequirement. If a regulation not yet codified into theCFR contains the requirement, cite the final rule andprovide the page and/or date it appeared in the FederalRegister. If the authority for the information is notcontained in an existing regulation, leave this itemblank.

Item 28: Signature Block. Self-explanatory.

36

7750.5-SINov 86z

(5) Prepare Federal Register Notice

The Federal Reait-e-- notice for an SF 83 packageis the means by which the public is notified of pendinginformation collections. The notice is published in the FederalRegister and the public has 30 days from the date of publicationto comment on the pending information collection. It is typeddouble spaced, with one inch margins. Seven notices (originaland 6 copies) are to be forwarded to the DoD Clearance Officerfor review along with the SF 83 paclage. A sample FederalRegister notice is shown in Figure C-5. The following items shallbe part of the Federal Register notice and contain the sameinformation as Figure C-5:

* (a) Item 1. REASON FOR THIS NOTICE: ** Identifies that it is a public information collection. *

• (b) Item 2. OMB DESK OFFICER: Gives the ** public the name and address of the OMB person who will receive *. their written comments and recommendations. *

. (c) Item 3. DOD CLEARANCE OFFICER: Gives ** the public the name, address, and telephone number of the person ** to contact to obtain a complete copy of the information ** collection proposal. *

The below listed items are provided by the information collectionactivity. Leave a one inch left and right margin. Double spaceas indicated in the sample shown in Figure C-5. Submit theoriginal and six copies of the Federal Register notice with theSF 83s. Reproduced copies are acceptable. The information to besubmitted is as follows:

• 1. Title, Applicable Forms and OMB Control Number: *• Information collection title, form numbers and OMB *• Control Number, if applicable. *

• 2. Type of Request: New, Revision, Extension, *• Reinstatement, and Existing Collection in Use ** Without an OMB Control Number. See SF 83, Part *• III, paragraph 15, page 2 for definition of these *• terms. *

3. Annual Burden Hours: See SF 83, Part III,paragraph 19, page 2.

4. Annual Responses: See SF 83, Part III,paragraph 17, Item 3, page 2.

37#First amendment (Ch 1, 9/30/87)

7750. 5-M,"" ~Nov MG-"

Figure C-5

Sample Federal Register Notice for"Request for OMB Review"(SF 83)

DEPARTMENT OF DEFENSE

REASON FOR THIS NOTICE: The Department of Defense has submitted to OMB

for clearance the following proposal for collection of information under the

provisions of the Paperwork Reduction Act (44 U.S.C. Chapter 35).

TITLE, APPLICABLE FORM AND APPLICABLE OMB CONTROL NUMBER:

Portfolio Business Profile; DD Form XXXX; No OMB Control Number.

TYPE OF REQUEST: New.

ANNUAL BURDEN HOURS: 10,000.

ANNUAL RESPONSES: 5,000.

NEEDS AND USES: The Booker T. Foundation, under a Department of Defense

Contract, has developed the DoD portfolio system; an outreach program which

seeks out, on a voluntary basis, those disadvantaged business firms who desire to

participate in DoD's acquisition program. The Portfolio Business Profile form is

used by Booker T. Washington Foundation Account Executives to obtain

significant data from such firms through personal interview appropriate officials.

It lists their capabilities and capacities in terms of equipment, numbers and skills

of employees, kinds of work done in the past, and general capability to perform.

AFFECTED PUBLIC: Disadvantaged Business Firms.

FREQUENCY: On occasion.

RESPONDENTS OBLIGATION: Voluntary.

#First amendment (Ch 1, 9/30/I7) 38

7750. 5-MN ov 86

Figure C-s (Continued)

0MB DESK OFFICER: Mr. Edward Springer

Written comments and recommendations on the proposed information collection

should be sent to Mr. Edward Springer at Office of Management and Budget,

Desk Officer, Room 3235, New Executive Offic,- Building, Washington, DC 20503.

DOD CLEARANCE OFFICER: Mr. Daniel J. Vitiello

,, cc~py of the information collection proposal may be obtained from Mr. Vitiello,

WHS/DIOR, 1215 Jefferson Davis Highway, Suite 1204, Arlington, Virginia 22202-

4302, telephone 202/746-0933.

PATRICIA H. MEANSOSD Federal Register Liaison OfficerDepartment of Defense

# First amendment (Ch 1, 9/30/87) 3

7 7751) .5-Nov 86z:

* 5. Needs and Uses: Describe needs, uses, and *. affected public in 50 words or less. See SF 83, *. Part III, paragraph 13, page 2. *

. 6. Affected Public. Affected public, individual, *

. state, local governments, farms, businesses, *

. Federal agencies or emoloyees, non-profit *

. institutions. See SF 83, Part I, paragraph 6, *

. page 1. *

. 7. Frequency: Frequency of recordkeeping or *

. reporting such as on occasion, weekly, monthly, *

. quarterly, semi-annual, annual, biennially, and *

. other. See SF 83, Part III, paragraph 23, page 2. *

* 8. Respondent's Obligation: Respondents' ** obligation to comply such as voluntary, mandatory *

. or required to obtain or retain a benefit. See SF *

* 83, Part III, paragraph 24, page 2. *

c. Clear Through Component IMCO

Submit the SF 83 package (Original and 3 Copies)through the IMCO who shall check it for completeness, ensure thatthe hours are in the ICB, and that a Privacy Act Statement isincorporated in the information collection instrument, ifapplicable. Additionally, the IMCO shall ensure that DoD forrsmanagement and data standardization programs have been embodiedinto the request, as appropriate.

d. Submission to WHS/DIOR

(1) Repcrts Management Criteria

The DoD Clearance Officer reviews all DoDrequests for OMB approval before they are submitted to OMB. Theyare checked for completeness of the SF 83 package, practicalutility of the information collected, duplicative information,and clear explanation of the burden estimates. If there is aproblem with material submitted, the DoD Clearance Officer willcontact the IMCO for the office submitting the package and try toresolve the problem. If the problem cannot be resolved by aninformal means, then the package is returned with a writtenexplanation. The specific items checked are:

(a) Completeness

SF 83 (Original and 3 copies);Supporting statement (4 copies);Forms, if applicable;Instructions and guidelines;

40

# First amendment (Ch 1, 9/30187)

Survey designs, if applicable;Sections of applicable inwz and regulitions;Federal Register notice (Original and 6

copies).

(b) SF 83 Entries.

Item Checked For

13. First line must have minimumof two keywords from the"GAO Thesaurus" (reference(n)l.

15. Mutt be checked.

18. If filled in, see that iL isin supporting statement.

19. Must equal OMB's most current

inventory listing.

Check ICB

25. Valid answer

26. Valid answer

(c) Supporting Statement.

Check the justification for the informationneed, use, and existence of duplicative information collections.Ensure that the burden hour calculations are fully explained andsupported.

(d) Other Factors.

Check to see that forms have provisions fordisplaying the OMB control number and expiration date in theupper right corner. Check survey documents for consistency withthe information requirement and request assistance from surveyexperts on the technical aspects of the survey, if necessary.Check the Federal Register notice for compliance with the writtenformat specifications cescribed in subparagraph C.6.b(5) and foroverall compliance with the Privacy Act if a Privacy ActStatement is required.

(2) Federal Information Locator System (FILS)

Each SF Z2 package must be screened against theFILS to determine if a duplicate information collection exists.WHS/DIOR enters the search criteria and certifies that the searchwas performed using the "FItS Checklist (09/83 Version)" shown in

41