18 FAM 201.5
INFORMATION COLLECTIONS
Program
(CT:PPP-13; 02-22-2019)
(Office of Origin: A/GIS/DIR)
18 FAM 201.5-1 POLICY AND
OBJECTIVES
18 FAM 201.5-1(A) Policy
(CT:PPP-4; 04-27-2018)
(State Only)
a. All Department program offices must have a general
understanding of the Department's Information Collections program and the
Paperwork Reduction Act (PRA) to ensure the Department is collecting
information from the public in accordance with the PRA and Office of Management
and Budget (OMB) directives.
b. The Department has designated the Office of
Directives Management (A/GIS/DIR) to manage the Information Collections
program. All Department Information Collections (whether new, being renewed
(extension or revision, or discontinued) must be reviewed and approved through
A/GIS/DIR before submission to the Office of Information and Regulatory Affairs
(OIRA/OMB).
c. In accordance with the PRA, originating program
offices must ensure that Information Collections:
(1) Minimize the burden on the public and the cost of
the collection to the Department;
(2) Serve a Department purpose and/or meet a
Department need;
(3) Maximize the practical use of the information
collected;
(4) Do not duplicate already existing Information
Collections, including those that exist in other federal agencies; and
(5) Are reviewed and either renewed or discontinued
prior to their expiration dates.
d. Originating program offices must make the results of
Information Collections available to the public, unless prevented from doing so
by the Privacy Act or other sensitive or classified considerations.
e. Whenever possible, collection instruments must be
made available electronically on the Department of States Internet website or
OpenNet (and ClassNet, as appropriate).
18 FAM 201.5-1(B) Objectives
(CT:PPP-4; 04-27-2018)
(State Only)
a. The purpose of the Department's Information
Collections program is to comply with the PRA, and all OIRA/OMB requirements in
the most efficient, effective, and accurate manner.
b. The Department achieves its purpose through meeting
the following program objectives:
(1) Provide central program administration via
A/GIS/DIR with legal guidance from the Bureau of Legal Affairs, Office of
Management (L/M);
(2) Provide expert interpretation of the PRA, and
OIRA/OMB requirements (including any changes to such) to the Department's
program offices;
(3) Provide on-going training and guidance to Department
staff who prepare and clear Information Collection submissions;
(4) Maintain efficient and effective administrative
processes that, if followed, result in OIRA/OMB approval of Information
Collections; and
(5) Archive all Information Collections and supporting
records according to National Archives schedules.
18 FAM 201.5-1(C) Scope
(CT:PPP-2; 03-19-2018)
(State Only)
The Information Collections program applies to the
Department of State and its operations worldwide.
18 FAM 201.5-1(D) Applicability
(CT:PPP-2; 03-19-2018)
(State Only)
This program is to be used for all Information Collections
conducted or sponsored by the Department of State.
18 FAM 201.5-2 Authorities
Pertaining to Information Collections
(CT:PPP-4; 04-27-2018)
(State Only)
Authorities include:
(1) The Paperwork Reduction Act of 1980 (Public Law
96-511), as amended by the Paperwork Reduction Act of 1995 (Public Law 104-13)
(44 U.S.C. 3501 - 3521);
(2) 5 CFR 1320 (PRA implementing regulations);
(3) The Privacy Act of 1974 (5 U.S.C. 552a);
(4) Title 44 U.S.C. 21, 29, 31, and 33;
(5) FIRMR 201-45.104 (Issued by the Government
Services Administration (GSA), contains policies, requirements,
responsibilities, and guidelines for managing, administering, and implementing
forms management programs in Federal agencies); and
(6) The Small Business Paperwork Relief Act of 2002
(SBPRA) (Public Law 107-198).
(7) Department of State Delegation of Authority No.
226, dated October 13, 1998.
18 FAM 201.5-3 The Paperwork
Reduction Act (PRA)
18 FAM 201.5-3(A) Purposes of
the PRA
(CT:PPP-13; 02-22-2019)
(State Only)
a. The PRA is a U.S. Federal law enacted in 1980 and
substantively amended in 1995. Before requiring or requesting information from
the public, the PRA requires Federal agencies to seek public comment on
proposed collections of information and to submit proposed collections for
review and approval by the OIRA/OMB.
b. The purposes of the PRA are to:
(1) Minimize the paperwork burden for individuals;
small businesses; educational and nonprofit institutions; Federal contractors;
State, local, and tribal governments; and other persons resulting from the
collection of information by or for the Federal Government;
(2) Ensure the greatest possible public benefit from,
and maximize the utility of, information created, collected, maintained, used,
shared and disseminated by or for the Federal Government;
(3) Coordinate, integrate, and to the extent
practicable, make uniform Federal information resource management policies and
practices as a means to improve productivity, efficiency and effectiveness of
Government programs;
(4) Improve the quality and use of Federal information
to strengthen decision making, accountability and openness in Government;
(5) Minimize the cost to the Federal Government of the
creation, collection, maintenance, use, dissemination, and disposition of
information;
(6) Strengthen the partnership between the Federal
Government and State, local, and tribal governments by maximizing the utility
of information collected;
(7) Provide for the dissemination of public
information on a timely basis, on equitable terms, and in a manner that
promotes the utility of the information to the public and makes effective use
of information technology;
(8) Ensure that the creation, collection, maintenance,
use, dissemination and disposition of information is consistent with applicable
laws relating to privacy, confidentiality and security;
(9) Ensure the integrity, quality, and utility of the
Federal statistical system;
(10) Ensure that information technology is acquired,
used, and managed to reduce information collection burden on the public; and
(11) Improve the responsibility and accountability of
the Office of Management and Budget (OMB) and all other Federal agencies to
Congress and the public for information resources management.
c. The Act imposes a number of procedural requirements
on an agency that wishes to implement a reporting or recordkeeping requirement
on the public.
d. It also established the Office of Information and
Regulatory Affairs (OIRA) within OMB, and authorized this office to oversee
federal agencies' collection of information from the public and to establish
information policies.
e. More information on the PRA, submission checklists,
and templates can be found at DIR's website.
18 FAM 201.5-3(B) Key
Definitions
(CT:PPP-4; 04-27-2018)
(State Only)
Burden: Time, effort, or financial
resources expended by persons to generate, maintain, or provide information to
or for a Federal agency.
Collection of information: The
obtaining, causing to be obtained, soliciting, or requiring the disclosure to
third parties or the public, of facts or opinions by or for an agency,
regardless of form or format, calling for answers to identical questions posed
to, or identical reporting or recordkeeping requirements imposed on, ten or
more persons, other than agencies, instrumentalities, or employees of the
United States.
Identical: When each respondent or
group of respondents is being asked to provide the same level of information on
the same subject. Identical questions do not need to be phrased exactly the
same way each time they are asked, nor does each respondent need to be asked
the same set of questions.
Information Collection Budget: The
vehicle through which OIRA/OMB, in consultation with each Federal agency, sets
annual agency goals to reduce information collection burdens imposed on the
public. The Information Collection Budget serves as a management oversight
tool.
Person: Includes individuals
(including U.S. Government contractors), partnerships, associations,
corporations, business trusts, legal representatives, organized groups of
individuals, and State, territory, tribal, or local governments or branches or
political subdivisions. (Note: For identification and evaluation purposes
OIRA/OMB has granted the Department permission to treat contractors as
employees. This is very limited and requires the review of A/GIS/DIR.) The
definition of "person" excludes current employees of the Federal
Government, military personnel, military reservists, and members of the
National Guard, with respect to all inquiries within the scope of their
employment.
18 FAM 201.5-3(C) Defining
Information
18 FAM 201.5-3(C)(1) Information
Covered by the PRA
(CT:PPP-2; 03-19-2018)
(State Only)
a. OMB regulations define information as "any
statement or estimate of fact or opinion, regardless of form or format, whether
in numerical, graphic, or narrative form, and whether oral or maintained on
paper, electronic or other media." This category includes:
Requests for information to be sent to the Government, such as
forms (e.g., the IRS 1040), written reports (e.g., grantee performance
reports), and surveys (e.g., the Census);
Recordkeeping requirements (e.g., Occupation Safety and Health
Administration requirements that employers maintain records of workplace
accidents); and
Third-party or public disclosures (e.g., nutrition labeling
requirements for food).
b. The PRA applies to collections of information using
identical questions posed to, or reporting or recordkeeping requirements
imposed on, ten or more persons in any 12 month period. If a collection of
information is addressed to all or a substantial majority of industry or sector
in a 12 month period, that collection is presumed to be addressed to ten or
more persons.
c. The requirements of the PRA apply to voluntary
collections, as well as, to mandatory collections, and collections required to
obtain a Federal benefit (e.g., a job, a grant, a contract).
18 FAM 201.5-3(C)(2) Information
Not Covered by the PRA
(CT:PPP-2; 03-19-2018)
(State Only)
OMB regulations specify a number of items that are
generally not information under the PRA. Important examples are:
Affidavits, receipts, changes of address, or consents;
Tests of the aptitude, abilities, or knowledge of persons;
Facts or opinions that are submitted in response to general
solicitations of public comments, addressed to a single person, obtained or
solicited at or in connection with public hearings or meetings, obtained
through direct observation by the agency (e.g., through visual inspection to
determine how long it takes for people to complete a specific transaction), or
obtained from participants in clinical trials (which typically do not involve
answers to "identical questions");
Information collected during a Federal criminal investigation or
prosecution, during a civil action to which the United States is a party, or
during the conduct of intelligence activities; and
Agency collections of information from agencies, instrumentalities,
or employees of the United States in their official capacities unless those
collections are for general statistical purposes. Agencies may ask for facts
and opinions of Federal employees without triggering the PRA.
18 FAM 201.5-4 PROGRAM
RESPONSIBILITIES
18 FAM 201.5-4(A) Chief
Information Officer (CIO)
(CT:PPP-2; 03-19-2018)
(State Only)
The Chief Information Officer (CIOthe head of the Bureau
of Information Resource Management), has been delegated authority for the
Department of States PRA compliance. In 1998, the CIO delegated to the Bureau
of Administration (A) the day-to-day responsibility for compliance with the
PRA's provisions governing Information Collections.
18 FAM 201.5-4(B) Assistant
Secretary for Administration (A)
(CT:PPP-4; 04-27-2018)
(State Only)
Pursuant to the CIO delegation of authority, the Assistant
Secretary for Administration (A) provides senior leadership for the Information
Collections program.
18 FAM 201.5-4(C) Office of
Directives Management (A/GIS/DIR)
(CT:PPP-4; 04-27-2018)
(State Only)
The Office of Directives Management (A/GIS/DIR) manages
the Information Collection program for the Department under the authority of
the Chief Information Officer (CIO) and the Assistant Secretary for
Administration (A), and with the legal assistance of the Bureau of Legal
Affairs (L/M). In addition, A/GIS/DIR:
(1) Works collaboratively with Department program
offices who wish to create, change, renew, and/or discontinue Information
Collections. Provides guidance throughout the process to ensure the Department
is in compliance with the PRA, and OIRA/OMB requirements;
(2) Reviews and approves Information Collection
packages prior to their submission to OIRA/OMB. Ensures packages are complete
and accurate;
(3) Inputs all required data into the Regulatory
Information Service Center and OMB's Office of Information and Regulatory
Affairs "ROCIS" database;
(4) Facilitates discussions between Department program
offices, and OIRA/OMB on Information Collections questions, or concerns;
(5) Reads and interprets all legal and regulatory
mandates and makes changes to Department guidance as needed. Creates and
maintains efficient and effective administrative practices, and processes for
Information Collections based on the current OIRA/OMB requirements;
(6) Provides training to Department staff on
Information Collections;
(7) Is responsible for preparing the Information
Collection Budget (ICB) reports, and statistics for OIRA/OMB as required; and
(8) Maintains the Departments archive and records of
all Information Collections; submits records to the National Archive according
to Record Disposition Schedules.
(9) Is the Department's designated liaison between the
Department and OIRA/OMB and the Office of the Federal Register (FR) for Information
Collection matters.
18 FAM 201.5-4(D) Bureaus/Offices
Originating Information Collections
(CT:PPP-4; 04-27-2018)
(State Only)
Department program offices seeking to create, change,
renew, or discontinue an Information Collection are responsible for:
(1) Consulting with A/GIS/DIR:
(a) During the planning stage for a new Information
Collection;
(b) Prior to formally submitting an Information
Collection package to A/GIS/DIR for review and approval;
(c) When making a decision to discontinue an existing Information
Collection; and
(d) When preparing data or responses to be used in a
Department report on its Information Collections.
(2) Following Department procedures and requirements
for Information Collections as described on the Office of Directives Management
website.
(3) Taking advantage of existing Information
Collections or modifying existing Information Collections where possible; and
(4) Obtaining necessary clearances according to the
Department's procedures and requirements, and any internal clearances as
required by program office management.
18 FAM 201.5-4(E) Posts
(CT:PPP-2; 03-19-2018)
(State Only)
Principal officers at posts abroad are responsible for the
same actions as described in 18 FAM
201.5-4(D).
18 FAM 201.5-4(F) Office of
Management (L/M)
(CT:PPP-4; 04-27-2018)
The Bureau of Legal Affairs, Office of Management (L/M) is
responsible for:
(1) Providing legal counsel to the Department on PRA
issues;
(2) Clearing on Department Information Collection
packages prior to submission to OIRA/OMB;
(3) Reviewing Department reports, and the ICB report,
prepared by the Office of Directives Management prior to submission to
OIRA/OMB; and
(4) Briefing Department senior officials on any PRA
issues.