Information Collection Program

TABLE OF CONTENTS

OVERVIEW

4.1 What is the purpose of this chapter? This chapter establishes policies and provides guidance for U.S. Fish and Wildlife Service (Service) employees for collecting information from or imposing recordkeeping requirements on the public. 

4.2 What is the scope of this chapter? This chapter:

A. Applies to all employees. We use the term “programs” throughout this chapter to mean those Regional, Headquarters, and field station employees whose activities may have an information collection component.

B. Covers the overall policy and requirements for starting an information collection. See 281 FW 5 for related policy on the information collection approval process. 

4.3 What authorities govern the information collection policies in 281 FW 4-5?

A. Controlling Paperwork Burdens on the Public (5 CFR 1320).

B. Paperwork Reduction Act of 1995(PRA) (44 U.S.C. 3501et seq.).

C. 381 Department of the Interior (Department) Manual (DM) 11, Information Collection Program Requirements.

4.4 What is the overall policy on information collection?

A. It is Service policy to ensure that all information collected from the public adheres to PRA requirements. Service programs must ensure all information collections are reviewed by the Service Information Collection Clearance Officer (ICCO) to determine if they require clearance from the Office of Management and Budget (OMB) under the PRA. See sections 4.9 and 4.11 for details. 

B. If OMB approval is required, the program staff must contact the Service ICCO for help with the procedures to obtain OMB clearance before beginning to collect the information. See 281 FW 5, Information Collection Approval Process, for policy on the approval process. The procedures and documents needed to obtain OMB approval are located on the Information Collection Clearance Program (ICCP) SharePoint site.

C. Service programs must structure structure
Something temporarily or permanently constructed, built, or placed; and constructed of natural or manufactured parts including, but not limited to, a building, shed, cabin, porch, bridge, walkway, stair steps, sign, landing, platform, dock, rack, fence, telecommunication device, antennae, fish cleaning table, satellite dish/mount, or well head.

Learn more about structure information collections so that they impose minimal burden on the public. Programs must also ensure the information they collect is justified, important for program operations, and managed effectively. They must also ensure public awareness and participation when developing information collections. See section 4.8 for details.

D. All data collected by programs as part of their information collections must comply with Service data management policies and best practices (see the Data Management SharePoint,  the Data Management Handbook, and Part 274, Data Resource Management, in the Service Manual). An approved Data Management Plan (DMP) is required as part of the final approval package submitted to OMB, or programs must have an email from the Data Management Branch documenting that a DMP is not required).

E. The Service may not collect information or sponsor an information collection from 10 or more “persons” annually unless OMB approves the collection and assigns an OMB control number and expiration date. See section 4.5D for a description of how the PRA defines “persons.” 

(1) “Ten or more persons” includes the persons we address in an Information Collection Request (ICR) within any 12-month period and any independent entities to which the initial addressee may transmit the request during that period. These entities include independent State or local entities and separately incorporated subsidiaries or affiliates. The “10 or more” does not include employees of a respondent within the scope of their employment or contractors engaged for the purpose of complying with the information collection. 

(2) If the collection of information is in a rule, the program must obtain OMB approval regardless of the number of respondents. OMB considers any recordkeeping or reporting requirement in a rule of general applicability to involve 10 or more persons. Certain activities in rules issued under the Endangered Species Act are exempt. Consult the Service ICCO and 281 FW 5 for guidance regarding information collections associated with rules.

F. Service programs must submit all general applicability rules containing an information collection to OMB for review and approval, even if we can provide evidence that the rule directly affects nine or fewer persons. It is possible for a regulation to indirectly affect a much larger group beyond the targeted respondents who would need to read it to determine if it applies to them. 

G. If information collections address all or a substantial majority of an industry (e.g., domestic automobile companies), we presume 10 or more persons are addressed, so OMB must review and approve them. For example, if there are only five main companies in a particular industry, OMB approval is still required for an information collection addressed to them.

H. If a grantee or contractor collects information at our request, we sponsor the collection (see sections 4.14 through 4.16). When we sponsor such a collection, we must ensure that:

(1) The information collector is aware of and complies with this chapter’s requirements,

(2) The program finalizes the ICR package in accordance with this chapter for the Service ICCO to submit to the Department at least 8-10 months before beginning the collection, and

(3) The grantee or contractor does not begin collection or make a commitment to begin collection until OMB approves it. 

I. Unless exempt (see section 4.11), all information collections require OMB approval regardless of the type of collection (e.g., mandatory, voluntary, or required to obtain or retain a benefit) or the collection technique (e.g., paper, in-person, telephone, internet, etc.). See section 4.10 for details. 

4.5 What terms do you need to know to understand this chapter?

A. Burden. The total time, effort, or financial resources required to respond to an information collection, including that needed to:

(1) Read or hear instructions; 

(2) Develop, modify, or assemble any materials or equipment; 

(3) Conduct tests, inspections, polls, observations, or the like, necessary to obtain the information; 

(4) Organize the information into the requested format; 

(5) Review its accuracy and presentation; and 

(6) Maintain, disclose, or report the information.

B. Information. Any statement of fact or opinion, whether in numerical, graphic, or narrative form, and whether oral or maintained on paper, electronically, or using other media. See sections 4.9 through 4.11 for more details about when OMB requires approval based on the types of information requested. 

C. Information collection. Defined very broadly by the PRA, includes using written report forms, application forms, schedules, reporting or recordkeeping requirements, or other similar methods. Information collections may be found in the following:

(1) Department or Service agreements,

(2) Policy statements,

(3) Plans,

(4) Rules or regulations,

(5) Planning requirements,

(6) Audit guides,

(7) Compliance directives,

(8) Requests for proposals or other procurement requirements,

(9) Contracts,

(10) Agency handbooks,

(11) Interview scripts and guides,

(12) Manuals,

(13) Questionnaires,

(14) Research requirements,

(15) Electronic transmissions used to monitor compliance with our requirements,

(16) Websites, and

(17) Online databases.

D. Persons.

(1) The PRA defines “person” to include not only an individual or household, but also the entities in Table 4-1. 

Table 4-1: Examples of “Persons”

(2) The definition of “person” includes Federal agencies or employees (including military personnel and Federal contractors) if the results of the questions posed will be used for general statistical purposes. That is, OMB approval is required if we will use the results for statistical compilations (e.g., soliciting information about the number of instances where they experienced sexual harassment in the Federal workplace). See 281 FW 5 for guidance on preparing information collections involving statistical analysis.

(3) The definition of “person” does not apply to Federal agencies or Federal employees (including military personnel and Federal contractors) when the inquiries are within the scope of their employment and for learning about their duty status. Such inquiries do not require OMB approval. However, we must have OMB approval to conduct statistical surveys of Federal employees in their professional capacities.

E. Recordkeeping requirements.

(1) Defined broadly by the PRA as “…a requirement imposed by or for an agency on persons to maintain specified records, including a requirement to:

     (a) retain such records;

     (b) notify third parties, the Federal Government, or the public of the existence of such records;

     (c) disclose such records to third parties, the Federal Government, or the public; or

     (d) report to third parties, the Federal Government, or the public regarding such records.”

(2) Recordkeeping requirements apply regardless of how respondents keep records (e.g., on paper or in electronic form) and include records they maintain as part of their customary and usual business practices. 

F. Third-party disclosure. Occurs whenever we require a respondent to provide information to someone other than us. Third-party disclosures may take any form, but usually involve the following examples:

(1) Labeling or marking equipment (e.g., required labeling for tree stands, fuel storage containers, boats, or fishing gear),

(2) Notifications (e.g., signs, posters, visitor or information cards), and

(3) Training (e.g., registration for a seminar on permitting processes). 

RESPONSIBILITIES

4.6 Who is responsible for information collection? See Table 4-2.

Table 4-2: Responsibilities for the Information Collection Program

4.7 Who is responsible for obtaining OMB approval? The program responsible for the content of the collection is responsible for seeking OMB approval. As we mention in section 4.2, we use “program” throughout this chapter to mean Headquarters programs and Regional offices and field stations. See 281 FW 5 for information about how to begin an information collection request and sections 4.14 through 4.16 for guidance when the program sponsors a collection.

4.8 What are the prerequisites for collecting information? Before collecting information, programs must:

A. Determine if existing information held by other bureaus or organizations inside or outside of the Government can satisfy their needs.

B. Ensure that the information being collected is necessary for performing Service functions, and that they have thoroughly planned for the information’s circulation, use, storage, and disposition.

C. Consider less burdensome alternatives to the proposed information collection, such as sampling or a reduced frequency of reporting.

D. Ensure that the information collection imposes a minimum burden on individuals and small organizations.

E. Ensure that the design or procedures for the information collection are relatively simple, understandable, logically arranged, and where appropriate, that programs consulted social science experts on the design or procedures.

F. Integrate the information collection with related activities sponsored by other bureaus or agencies to maximize the usefulness of information collected.

G. Ensure privacy is protected and the proprietary interests of respondents are supported by following Service policies in compliance with the Freedom of Information Act, the Privacy Act, and OMB Circular A-130, Managing Information as a Strategic Resource.

H. Actively seek public comment and views when designing the information collection. In addition to the required Federal Register notices, program personnel should also conduct targeted outreach to affected parties or consider conducting public hearings, or both. 

(1) Programs may conduct targeted outreach to less than 10 individuals familiar with the collection (individuals who have completed one or more information collection requirements) by: 

     (a) Issuing a direct notice to possible respondents,

     (b) Contacting concerned professional or manufacturing associations directly to solicit comments, or 

     (c) Obtaining public views through a pretest or pilot test.

(2) Pretests or pilot tests distributed to 10 or more persons require OMB approval. Consult the Service ICCO for expedited clearance options regarding pretests or pilot tests using a generic clearance.

DETERMINING WHETHER OMB APPROVAL IS REQUIRED

4.9 What collections need OMB approval? Collections need OMB approval if programs:

A. Obtain facts or opinions from 10 or more persons using standard questions in the following:

(1) Forms,

(2) Reporting requirements (such as quarterly or annual reports for grant awards),

(3) Interviews (over the telephone, virtually, or in person),

(4) Surveys or focus groups,

(5) Questionnaires,

(6) Websites used to collect information from the public (beyond what is necessary for self-identification of the respondent such as name, address, email, or phone),

(7) Requests for narrative responses to questions,

(8) Solicitations for proposals,

(9) Requests for identical information, or

(10) Almost any other means. Consult the Service ICCO for PRA review and guidance on other approaches.

B. Require respondents to provide information to the general public or to a third party.

C. Impose requirements to label or mark items or vessels. Examples of labeling requirements subject to the PRA include:

(1) Labeling tree stands or portable blinds left on a refuge during hunting season with information to identify the owner,

(2) Labeling fishing boats or equipment left on a refuge with minimal information (e.g., last name and State-issued fishing permit number) to identify the owner (avoiding use of personally identifiable information), and

(3) Marking a specimen with a hangtag.

D. Require any use of technological methods to monitor public compliance with Government requirements, or use automated collection techniques (e.g., data collected from radio collars or remote sensing devices).

E. Require compilation or maintenance of records, either alone or in conjunction with reporting information.

F. Collect information from a substantial majority of an industry, regardless of how many companies are in that industry. 

4.10 Does the type of collection or the collection technique affect the requirement for OMB approval? Unless exempt (see section 4.11), all of the information collections we describe above require OMB approval regardless of the type of collection or the collection technique.

A. The type of collection: May be mandatory, voluntary, or required to obtain or retain a benefit. 

(1) Examples of mandatory collections include activities where compliance is in a law or regulation, such as:

     (a) Electronic (telephonic or digital) reporting of incidental take of certain protected species (in general or within a specified time period), and

     (b) Notification of wildlife/dangerous animals escaping from regulated facilities.

(2) Examples of voluntary collections include activities where public participation is optional (i.e., there are no legal penalties if they decide not to participate), such as:

     (a) A refuge survey asking visitors questions about their visit, 

     (b) An entry form for the annual Federal Duck Stamp or Junior Duck Stamp art contests, and 

     (c) A request to report sightings of striped bass or tag information for horseshoe crabs.

(3) Examples of collections that are “required to obtain or retain a benefit” include activities where the public must fulfill a requirement to receive something of value, or where the requirement is a term associated with a benefit previously granted, such as:

     (a) Application for a special use permit (i.e., receiving a permit to conduct Service-regulated activities or an associated reporting requirement),

     (b) Hunting and fishing applications,

     (c) Harvest and fishing activity reports, and

     (d) Annual reports associated with the terms of the requested permit.

B. The technique: It does not matter if you use paper, in-person, telephone, voice, automation, electronics, internet-based, or any other collection technique—you still need OMB approval. An information collection may be in any form or format (see section 4.5C for a definition).

4.11 What collections do not need OMB approval?

A. Generally, programs do not need to obtain OMB approval for any of the following if they cause no burden other than the minimal amount of information necessary to identify the respondent; the date; the respondent’s address, phone number, and email address; and the nature of the instrument. Programs should always consult with the ICCO to ensure they do not require OMB approval: 

(1) Affidavits; 

(2) Oaths; 

(3) Affirmations; 

(4) Basic certifications; 

(5) Receipts; 

(6) Changes of address;

(7) Basic contact information collected for agency mailing lists such as address, phone number, or email address; and

(8) Consents or acknowledgments.

B. Programs don’t need OMB approval to collect information from Federal employees or contractors acting in their Federal capacity, unless they are gathering the information for statistical purposes (e.g., gathering the number of instances agency employees were subjected to harassment).

C. Programs don’t need to obtain OMB approval for general solicitations, which are described in 5 CFR 1320.3(h)(4). The regulation excludes “facts or opinions submitted in response to general solicitations of comments from the public, published in the Federal Register or other publications, regardless of the form or format thereof, provided that no person is required to supply specific information pertaining to the commenter, other than that necessary for self-identification, as a condition of the agency’s full consideration of the comment.” Examples of these types of solicitations include:

(1) Open-ended questions to the public (e.g., “What do you think about this?” or “suggestion boxes” that allow members of the public to provide general or unstructured feedback about a program).

(2) Public hearings or meetings. Regulations at 5 CFR 1320.3(h)(8) exclude “facts or opinions obtained or solicited at or in connection with public hearings or meetings.”

D. Programs don’t need to obtain OMB approval for like items, which are addressed in 5 CFR 1320.3(h)(10). The regulation reserves general authority for OMB to identify other “like items” that are not “information.” Examples of like items include:

(1) Items collected to create user accounts or profiles for agency websites:

     (a) Email address,

     (b) Username,

     (c) Password, and

     (d) Contact information (address and phone number) necessary for account registration.

(2) Items collected to allow users to customize or influence the appearance of an agency website.

(3) Ratings and rankings. Information collection does not include functions common to social media tools (e.g., rankings using Likert scale) that the public uses to rank or assess ideas, solutions, suggestions, questions, and comments posted by website users.

(4) Items necessary to complete a voluntary commercial transaction (i.e., minimum information necessary for the selection, payment, or delivery of an item, or to identify the person ordering the item, if used solely for the purpose of completing a commercial transaction).

(5) Contests. Asking the general public (in an unstructured manner) for ideas to improve current practices for potential solutions to a scientific, technological, social, or other problem, or for innovations (e.g., video and software applications) that might advance an agency’s mission.

E. You can find additional exclusions in 5 CFR 1320.3(h). 

F. Always consult the Service ICCO to confirm your activity does not require OMB approval.

OMB APPROVAL EXPIRATIONS AND RENEWALS

4.12 Do OMB approvals expire? Yes. The maximum term for an approval is 3 years.

4.13 How are OMB approvals renewed? If a program wants to continue collecting information, they must renew the approval before the expiration date. Renewal requests require a minimum of 8-10 months to process. The program must work with the ICCO to submit renewal packages to OMB’s Office of Information and Regulatory Affairs (OIRA) on or before the expiration date to avoid a violation of the PRA. OMB requires that programs immediately halt all activity if their collection expires because continuing would create a PRA violation. OMB reports all violations to Congress in their annual Information Collection Budget Report.You can find a list of currently approved information collections and their expiration dates on OIRA’s website, RegInfo.gov, and you can find information about the renewal process in 281 FW 5.

SPONSORING INFORMATION COLLECTIONS

4.14 What does it mean to sponsor an information collection? The program must still meet information collections requirements if we sponsor an information collection but aren’t collecting the information directly. The program is the sponsor of an information collection if we:

A. Cause another agency to collect information;

B. Contract or enter into any agreement (cooperative, financial assistance, memorandum of understanding, etc.) with a person to collect information; or

C. Require someone to provide information to another person, or otherwise cause another person to obtain, retain, solicit, or require the disclosure to third parties or the public of information by or for the Service.

4.15 When is the Service a sponsor of a grantee? 

A. We are the sponsor of an information collection that a grantee conducts if: 

(1) The grantee is collecting information at our request, or

(2) The grant’s terms and conditions require that we approve the information collection or its procedures. 

B. If either of the above conditions is met, we must seek and obtain OMB approval, and the grantee must display the OMB control number and expiration date on the collection instrument.

4.16 When is the Service a sponsor of a privately conducted survey? 

A. When we publicly endorse a survey to 10 or more persons that a private party conducts to serve our needs, it may appear that we are a sponsor of the survey. Sponsorship of a privately conducted survey has two aspects (see section 4.16B below), and the existence of either obligates us to seek and obtain OMB approval. 

B. If either of the following statements is true, we must seek and obtain OMB approval before the private party implements the survey:

(1) Reality of sponsorship.We review and comment on the draft text of the privately developed survey to the extent that we exercise control over and tacitly approve it. 

(2) Appearance of sponsorship.One or more of the following circumstances makes it appear that we are sponsoring the survey:

     (a) We publicly endorse the survey,

     (b) Our logo or a sub-logo appears in or on the survey instrument or related documents, 

     (c) Statements in the survey’s instructions or on the instrument indicate that conducting the survey meets our needs, or

     (d) There is a direct link to an information collection from a Service-sponsored website (e.g., FWS.gov) or Service SharePoint site demonstrating Service sponsorship or direct Service coordination.