concerning whether a particular plan or report form is subject to clearance shall be presented for determination by GAO. Submissions shall comply with the requirements prescribed in subpart C of this part.

(2) Each agency is directly responsible for planning and conducting its information collection activities, including establishing procedures for managing such activities, in a manner consistent with the policies of 44 U.S.C. 3512, as stated in paragraph (a) of this section. Accordingly, prior to submitting proposals for clearance by GAO, each agency shall take all necessary and appropriate measures to insure to the best of its capabilities that proposed plans and report forms comply with the requirements and policies of 44 U.S.C. 3512, including all reasonable efforts to avoid seeking unneeded or marginally useful information; to ascertain whether information sought is already available from another source and, if so, to arrange for use of such information; to minimize both substantive and procedural burdens imposed upon respondents; and to solicit and consider the views of persons who would be affected by the proposed plan or report form, including respondents, business and trade associations, and other concerned organizations. To insure that information is collected and tabulated to maximize its usefulness, agencies should consult with governmental and nongovernmental organizations and entities, including Federal agencies other than independent Federal regulatory agencies, which are likely to be significant users of the information to be collected. For example, agencies planning to conduct or sponsor the collection of statistical information involving financial statements and operating data should consult with the Bureau of Economic Analysis of the Social and Economic Statistics Administration, Department of Commerce.

(3) Each agency is encouraged to use surveys, pretests, or pilot tests in developing major information collection proposals and before full-scale agency adoption of such major proposals. Surveys, pretests, and pilot tests involving collection of information from 10 or

more persons which are designed, not as information gathering devices, but for use by an agency to develop a fullscale major information collection proposal, by ascertaining and evaluating such proposal in terms of costs, respondent burdens, effects, utility, and similar criteria, will not be subject to GAO clearance. Respondents to such a survey, pretest, or pilot test shall be clearly advised of its exemption from GAO clearance and of its limited purpose.

(4) Each agency shall provide GAO such information concerning the status and use of its plans and report forms as may be requested.

(c) GAO is responsible for determining whether information to be collected is already available from another Federal source and whether proposed plans or forms for the collection of information are consistent with the requirements and policies of 44 U.S.C. 3512. Such responsibilities will be approached initially by reviewing those steps which an agency has taken to effect compliance. However, GAO will take such additional steps as it deems necessary and appropriate to insure compliance with the statutory requirements and policies.

[39 FR 24347, July 2, 1974, as amended at 40 FR 36297, Aug. 20, 1975]

upon an identical item from 10 or more persons unless in advance of adoption or revision of any plans or forms to be used in the collection

(1) The agency has submitted to GAO proposed plans or forms for collecting such information, together with copies of pertinent regulations and of such other related materials as are specified in and required pursuant to subpart C of this part; and

(2) GAO has advised that the information proposed to be collected is not presently available to the agency from another source within the Federal Government and has determined that the proposed plans or forms are consistent with the provisions of 44 U.S.C. 3512.

(b) If GAO does not provide advice within 45 days following the date on which it received a complete submission for clearance of a proposal to collect information and review of such proposal has not been suspended or discontinued pursuant to § 10.9 of this part, the agency may immediately proceed to collect such information under the proposal as submitted to GAO. Collection of information by operation of this subsection may not continue for more than 1 year from the date on which it commenced.

(c) Renewals of plans or report forms upon expiration of an existing clearance must be submitted for a new clearance whether or not any revision in such plans or report forms is proposed.

(d) Revisions in plans or report forms prior to expiration of an existing clearance are subject to a new clearance if such revisions are material. The materiality of revisions depends generally on their relationship to the GAO clearance criteria of duplication and respondent burden. Thus, a material revision in a plan or report form might include, but is not necessarily limited to, significant modification in the kind of information sought or an increase in the amount of information sought; significant change in the type of respondents or an increase in the survey coverage or number of respondents; an increase in the frequency of reporting or a lengthening of the duration of records mainte

nance requirements; or a change in the purpose for which information is required. Nonmaterial changes need not be submitted for clearance by GAO. However, agencies shall advise GAO of such changes and the reasons therefor, and furnish GAO a copy of the revised plan or report form.

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

[39 FR 24347, July 2, 1974, as amended at 40 FR 36297, Aug. 20, 1975]

§ 10.6 Particular proposals.

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

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

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

(2) Established or implemented through a rulemaking or similar proceeding; or

(3) Undertaken solely to satisfy a requirement that the agency collect or maintain information for purposes of public inspection or disclosure.

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

oaths, notices

of

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

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

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

(4) Collection of evidence or other information in connection with litigation;

(5) Collection of evidence or other information in connection with quasijudicial proceedings or formal or informal investigations undertaken with reference to particular individuals or entities to determine whether such individuals or entities have violated a statute, regulation, or other requirement (this exception does not include general investigations undertaken with reference to a category of individuals or entities, such as a class of licensees or an industry as a whole);

(6) A solicitation of comments or opinions which is not addressed to specified respondents or is otherwise clearly intended to be entirely voluntary, such as an invitation for comments on a proposed rulemaking or on a proposed action affecting the environment; or

(7) Surveys, pretests, and pilot tests referred to in § 10.3(b)(3); or

(8) Demands for information through the exercise of an agency's subpoena power.

[39 FR 24347, July 2, 1974, as amended at 40 FR 36297, Aug. 20, 1975]

§ 10.7 Scope of clearance procedures.

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

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

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

§ 10.8 Availability of information.

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

(b) All proposals submitted to GAO for clearance, including all accompanying materials, shall be available for

§ 10.9 General submission procedure.

(a) Subject to paragraph (d) of this section, all submissions for clearance shall be made in accordance with this subpart and shall evidence compliance with all requirements thereof. Each agency shall provide GAO such additional information, assistance, or other cooperation as may be required in connection with reviews for clearance. Any failure to comply with any of the provisions or requirements of this subpart which, in the opinion of GAO, precludes complete and effective review or action upon a submission within 45 days shall, after notice to and consultation with the agency, justify suspension or discontinuance of GAO review of such submission and the 45 day period for GAO review will not continue to run.

(b) Proposals requiring clearance shall be sent to the Comptroller General of the United States, 441 G Street NW., Washington, D.C. 20548, and should include a letter of transmittal, Standard Form 83 (original and two copies), and all related documentation (three copies). Each submission for clearance shall also include, for purposes of the FEDERAL REGISTER, notice, pursuant to § 10.8(a) of this part, a separate sheet indicating the proponent agency (and subdivision thereof when applicable), type of proposal (new plan or form, revision, or renewal), subject matter, and potential respondents.

(c) The 45-day limit for GAO clearance reviews shall commence on the day GAO receives a complete submission in terms of the requirements specified in subpart C of this part. Within 5 working days following receipt of a

submission for clearance, GAO will notify the agency if its submission is incomplete in any respect. In the event of such notice, the 45-day period will not commence until the date GAO receives the additional information or materials necessary to complete the submission.

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

[39 FR 24347, July 2, 1974, as amended at 40 FR 36297, Aug. 20, 1975]

§ 10.10 New plans or report forms.

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

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

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

ate documentation showing such delegation should be included.

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

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

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

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

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

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

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

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

publication

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

(4) Time schedule for data collection and publication. (May be omitted for application forms and recordkeeping requirements.) Indicate the planned time schedule for the entire project, including beginning and ending collection dates, and completion of report or publication dates. Indicate the expected elapsed time between the completion of data collection and issuance of first published results.

(5) Consultations outside the agency. (i) Give names of persons outside the agency with whom the proposed plan or report form was discussed and indicate the companies, organizations, or associations which they represent. Summarize any major problems on which agreement could not be reached.

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

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

sons.

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

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

(6) Estimation of compliance burden. To minimize the compliance burden on persons affected and to improve governmental efficiency, each agency will consider and determine, in connection with each plan or report form submitted, whether the proposed