Information Collection Approval Process
Throughout this exhibit we use “program” or “you” to mean the authoring Headquarters or Regional program/office or field station that is responsible for an Information Collection Request (ICR).
STEP 1. CONTACT THE SERVICE INFORMATION COLLECTION CLEARANCE OFFICER. Programs should first contact the U.S. Fish and Wildlife Service’s (Service) Information Collection Clearance Officer (ICCO) in the Division of Policy, Economics, Risk Management, and Analytics, Policy and Regulations Branch. The ICCO reviews the documents (or non-form regulatory requirements in a rulemaking) to determine what Information Collections (IC) exist in the documents or regulations (an IC is an individual requirement subject to Office of Management and Budget (OMB) review and contained in the overarching Information Collection Request (ICR), which is the package submitted to OMB for approval). Depending on the ICCO’s findings, the collection may require OMB approval under the Paperwork Reduction Act of 1995 (PRA; 44 U.S.C. 3501 et seq.). See the Service’s Information Collection Clearance Program SharePoint site for additional information.
A. All IC packages must comply with the requirements outlined in OMB’s implementing regulations at 5 CFR 1320, Controlling Paperwork Burdens on the Public.
B. Requirements included in rulemaking actions generally follow a similar approval process to nonrulemaking activities. Contact the Service ICCO early in the proposed rule development stage to discuss the potential ICs to be addressed in ICR package.
STEP 2. PUBLISH IN THE FEDERAL REGISTER A NOTICE OR RULEMAKING PROVIDING THE PUBLIC THE REQUIRED 60 DAYS TO COMMENT ON THE PROPOSED ICS. Guidance for preparing Federal Register documents is provided in 318 DM and in the Document Drafting Handbook prepared by the Office of the Federal Register.
A. Work with the Service ICCO to develop the required 60-day notice or PRA language to insert into the proposed rule document’s Required Determinations section.
(1) Regulations require that the Service provide the public with two comment periods (60 and 30 days) for all ICs via a Federal Register notice or proposed rule before the ICR is finalized and submitted to OMB for review and approval.
(2) The Service ICCO ensures all IC notices or rulemaking documents containing ICs for OMB approval receive the appropriate clearances before they’re submitted to the Federal Register for publication.
B. To ensure consideration, the notice or PRA language in a rulemaking document must instruct the public to submit their comments to the Service within 60 days. The language in the notice or rulemaking must include the following:
(1) Title for the IC;
(2) Summary of the IC;
(3) Brief description of the need and proposed use for the information;
(4) Description of likely respondents (e.g., State/local/Tribal government employees, private sector employees, other individuals), including estimated number and proposed frequency of response;
(5) Estimated total annual reporting and recordkeeping burden that will result from the IC;
(6) Statement informing the public where to submit their comments;
(7) If the Service has requested approval on an emergency basis, indicate time period within which the Service requires OMB to approve or disapprove; and
(8) A statement soliciting public comments on:
(a) Whether or not the IC is necessary for the Service’s proper performance and function, including whether or not the collected information will have practical utility;
(b) The IC burden estimate’s accuracy, including the validity of the methodology and assumptions used;
(c) The quality, utility, and clarity of the information to be collected; and
(d) How to minimize the IC’s burden on those who are to respond, including the appropriate use of automated electronic, mechanical, or other forms of information technology.
C. The Service ICCO creates the required package for notices in the Data Tracking System (DTS) for review/surname by the appropriate entities. Programs coordinate routing of rulemaking documents in DTS. Details for DTS routing requirements are as follows:
(1) For 60-day notices, the Service ICCO will:
(a) Monitor the surnaming progress of the 60-day notice packages in DTS.
(b) Ensure surnaming by the appropriate officials. Clearance levels for notices vary depending on whether the notice:
(i) References a new collection,
(ii) Is a renewal of an existing collection without change, or
(iii) Is a revision to an existing collection.
(c) Sign and submit the notice to the Office of the Federal Register for publication after appropriate officials clear it to publish.
(d) Forward copies of the appropriate supporting document(s) (such as a questionnaire, instructions, and form) to the Service’s Public Comments inbox to upload as supplemental documents to the docket on the Regulations.gov website.
(e) Notify you (i.e., the authoring program) when the notice publishes and also provide you with the link to the Regulations.gov docket to monitor it for public comment submissions to address in question 8 of the Supporting Statement A (SSA).
(2) For proposed rules:
(a) Proposed rules have two concurrent comment periods:
(i) General comment periods about the entire rulemaking can vary, but are typically 60-90 days; and
(ii) A specific IC comment period for the required 60 days.
(b) The PRA language in the rule will instruct individuals wishing to comment on the ICs to submit them directly to the Service ICCO’s email inbox. The Service ICCO then forwards the public comments regarding the rulemaking IC to the program to address in SSA question 8.
(c) The program should carefully analyze electronic comments submitted to the docket on Regulations.gov to determine whether they address the IC. If a comment addressing the IC is submitted to the docket instead of emailed to the Service ICCO email inbox, the program must ensure the comment is addressed in SSA question 8.
(d) Regardless of where the comments addressing the IC are submitted, the program must address all comments pertaining to the IC in SSA question 8 and provide electronic copies of the comments to the Service ICCO.
D. Requests for comment period extensions should be granted unless the Service has a compelling reason to deny the request. The Service ICCO and program staff must consult with the Office of the Solicitor if the extension request is denied to ensure the denial has legal sufficiency.
STEP 3. FINALIZE SUPPORTING STATEMENT A (AND B, IF APPLICABLE). While the 60-day comment period is open, you must complete the SSA (and Supporting Statement B (SSB) if the collection employs statistical methods and analysis). Thoroughly address all questions within the SSA, and if applicable, the SSB. For collections involving many ICs, the Service ICCO will provide an Excel spreadsheet to help calculate the burden in question 12 of the SSA. For rulemaking requirements, the language in the PRA section of the rule’s preamble must be consistent with the language in the SSA.
STEP 4. WORK WITH THE ICCO TO ENSURE THE FINAL ICR PACKAGE IS COMPLETE. The program and the ICCO must ensure the IC:
A. Is necessary for the Service’s proper performance and function, including whether or not the information will have practical utility;
B. Avoids unnecessary duplication (i.e., checking to ensure the information isn’t already being collected elsewhere);
C. Reduces burden on respondents, particularly small entities;
D. Uses plain language;
E. Is consistent and compatible with current reporting and recordkeeping practices;
F. Indicates the retention period for all ICs;
G. Was developed following best practices and principles to collect quality information in terms of reliability and validity;
H. Was developed by a program that has planned and allocated resources for efficient and effective data management of the information collected;
I. Uses effective and efficient statistical survey methodology;
J. Makes appropriate use of information technology; and
K. Informs respondents of the following information called for under 5 CFR 1320.8(b)(3):
(1) Why the information is being collected;
(2) The way such information is planned to be or has been used to further the Service’s proper performance and functions;
(3) How the collection minimizes respondent burden. Includes a description of agency efforts to reduce burden by using information technology and appropriate automated, electronic, mechanical, or other technological collection techniques (e.g., permitting electronic response submission);
(4) Nature of response (voluntary, required for a benefit, or mandatory);
(5) Nature and extent of confidentiality and applicability of the Freedom of Information Act (FOIA);
(6) The required notifications regarding the PRA, estimated burden, Privacy Act statements, and, if necessary, a FOIA statement; and
(7) Valid OMB control number and expiration date.
STEP 5. SUBMIT THE IC REQUEST PACKAGE TO THE SERVICE ICCO FOR REVIEW AND CLEARANCE.
A. The program must submit the following to the Service ICCO:
(1) Finalized SSA (and SSB, if required).
(a) Ensure all comments received during the 60-day comment period address the IC requirements in SSA question 8. An agency response is also required for each comment and must address whether the Service took any action (or why no action was taken) in response to the comment.
(b) Include the Excel burden spreadsheet if you calculated the burden in a way that it is outside of question 12 in the SSA.
(2) Final versions of all IC instruments and supporting documents (forms, survey instruments, instructions, screenshots of website pages, etc.).
(3) Electronic copies of public comments received during the 60-day comment period that address the IC.
B. The Service ICCO develops the required 30-day notice or PRA language to insert into the Required Determinations section of the final rule document.
STEP 6. DEPARTMENT OF THE INTERIOR (DEPARTMENT) ICCO REVIEW AND CLEARANCE. After the Service ICCO reviews and approves the PRA package, the ICCO creates the ICR package electronically in ROCIS (i.e., the Regulatory Information Service Center (RISC) and Office of Information and Regulatory Affairs (OIRA) Combined Information System). The Departmental ICCO reviews the ICR in ROCIS, and after approval, instructs the Service ICCO to place the 30-day Federal Register notice into DTS for surname. After approval on rulemakings, the Service ICCO adds a routing in the final rule’s DTS package for the Departmental ICCO’s surname.
STEP 7. PUBLISH A FEDERAL REGISTER NOTICE OR RULEMAKING PROVIDING THE PUBLIC 30 DAYS TO COMMENT ON THE PROPOSED INFORMATION COLLECTION(S).
A. For 30-day notices:
(1) The notice instructs individuals wishing to comment on the IC to submit them directly to OMB, with a copy to the Service ICCO’s email inbox.
(2) The notice must inform the public that OMB has up to 60 days to approve or disapprove the proposed IC but may respond after 30 days.
(3) The Service ICCO monitors the surnaming progress of the 30-day notice packages in DTS.
(4) Upon receiving clearance, the Service ICCO signs and submits the 30-day notice to the Office of the Federal Register for publication.
B. For rulemaking actions:
(1) The PRA language in the final rule instructs individuals wishing to comment on the IC to submit them directly to OMB, with a copy to the Service ICCO’s email inbox.
(2) The notice informs the public that OMB has up to 60 days to approve or disapprove the proposed IC but may respond after 30 days.
(3) Final rule actions also have two concurrent comment periods:
(a) General comment periods about the entire rulemaking can vary, but they are typically 30 days (on occasion, rules may take effect immediately upon publication).
(b) There is also a specific IC comment period for the required 30 days.
(4) For final rules that are effective immediately upon publication, the Service is still required to provide a 30-day comment period on the ICR submission to OMB. The Service ICCO may request that OMB informally review the ICR prior to the final rule’s publication. This informal review ensures that OMB does not raise concerns about the submission that may affect the final rule language.
STEP 8. SERVICE ICCO SUBMITS THE ICR TO OMB VIA ROCIS FOR APPROVAL. On the day the 30-day notice or final rule publishes, the Service ICCO submits the ICR electronically to OMB via ROCIS. OMB will not take any action on the submission until the 30-day comment period closes.
STEP 9. OMB APPROVES OR DISAPPROVES THE INFORMATION COLLECTION.
A. OMB reviews the PRA submission and will generally respond after 30 days.
B. Depending on OMB’s workload, they may take several months to review the ICR submission.
C. The Service ICCO provides you with a copy of the OMB Notice of Action, which indicates whether OMB approved or disapproved the IC.