Office of the Chief Information Officer &
High Performance Computing and Communications

PRA Instructions: Overview and 83i

(Click here for supporting statement instructions)

The following are the instructions for NOAA offices for requesting Paperwork Reduction Act clearance from OMB. A PDF version of the required OMB-83I form is available from this site. It is a fillable form with Adobe Acrobat Reader, but the result can only be saved if you have the full Acrobat software. Otherwise you can only print out the result. Click here for the 83i form.

 INSTRUCTIONS FOR MAKING A PAPERWORK REDUCTION ACT CLEARANCE SUBMISSION: OVERVIEW and 83i

The OMB form 83-I, supporting statement, forms and other support documents are to be used to request OMB Paperwork Reduction Act clearance for information collections affecting the public. For all line/staff offices other than NOAA Fisheries, the sponsor of the request for clearance submits the request electronically to the NOAA PRA Clearance Officer to initiate the formal clearance process. For NOAA Fisheries, the request goes to the NMFS PRA Coordinator, Kandi Smith (karilyn.smith@noaa.gov), with a cc to Sarah Brabson.

The NOAA PRA Clearance Officer will pre-review the submission and contact the sponsor with questions and suggested edits. The Clearance Officer will send the LO Coordinator revised drafts of the 83-I and supporting statement after completion of edits agreed upon with the sponsor. FOr NMFS, the NMFS PRA Coordinator will then review the submission, obtain the appropriateprogram director's signature at the top of page 3 of the 83i, and send the formal package to the NOAA Clearance Officer. In all other cases, the NOAA Clearance Officer will send the package for signature, usually to the LO CIO. The signed, scanned silgnature page will be returned to the NOAA Clearance Officer, who will then submt the package to the Department of Commerce Management Analyst (who, after review, will submit to OMB).

The final submission contains all of the following: 


1) A completed OMB 83-I, signed by both the LO/SO representative and the NOAA PRA Clearance Officer.


2) A complete supporting statement as described below.


3) Copies of any forms, questionnaires, interview guides, etc., and related correspondence used in the collection, using fillable pdf forms whenever possible, or screen shots of online forms. Here is the required PRA statement to go on all forms. If you are asking for the Tax Identification Number (TIN) -- Employer ID Number (EIN) or Social Security Number (SSN) on a form, then you need to add a reference to the applicable Privacy Act System of Records Notice (number, Federal Register citation, and date). For applicable NMFS Permits forms, you would add: All information collected is part of a Privacy Act system of records: NOAA #19, Permits and Registrations for United States Federally Regulated Fisheries, published on August 7, 2015 (79 FR47457). For NMFS Economic Data Reports, you would cite NOAA #16, Alaaska Economic Data Reports, published on October 9, 2015 (79 FR 61157).

Also, if you are collecting personally identifiable information (including name) you must add a Privacy Act Statement on the form, following the PRA statement. Please go to the link for more information and feel free to consult with the PRA Clearance Officer.


4) Any supporting documents referenced in the supporting statement which are NOT readily available on the Web (normally the NOAA Clearance Officer will simply insert hyperlinks where citations are given).


5) A copy of the published Federal Register notice soliciting public comment on the information collection (not required with submissions involving a Notice of Proposed Rulemaking) 


6) The proposed regulation if the collection is contained in rulemaking.  

 

INSTRUCTIONS FOR THE OMB 83-I (Note: you may find it easier to complete the supporting statement first and then transfer applicable information to the 83-I):


1. Agency/Subagency originating request - Enter DOC/NOAA, then the name of your line or staff office.

2. OMB control number -If the information collection has previously been approved by OMB, enter the control number that was assigned (whether current or expired).  For NOAA, it will always start with "0648" and have 4 additional digits. Check "b" for "None" for new collections which have never been assigned such a number.  

3. Type of information collection
a. Check "New Collection" when the collection has not previously been used by NOAA.
b. Check "Revision" when the collection has previously been approved by OMB and you wish to make a change in the questions asked, the manner of the collection, the burden estimate, or the way in which the information will be used. A revision is usually related to a rule or a change in the regulations. NOTE: As of August 2012, per our current OMB Desk Officer, all revisions must be "comprehensive"; that is, they should describe all aspects of the information collection, not simply an overview followed by a description of the changes. Because these revisions are comprehensive, we are allowed to request a 3-year expiration date for them.
c. Check "Extension" when the collection currently has OMB approval, you wish to extend that approval past the current OMB expiration date (generally, renew for another 3 years), and no major or rule/reg-related change is proposed for the collection. 
d. Check "Revision” AND “Extension" when the collection currently has OMB approval, you wish to extend that approval past the current OMB expiration date (generally, renew for another 3 years), but there are one or more program changes (new requirements/new or revised forms) proposed for the collection.  
e. Check "Reinstatement, without change" when you are submitting a collection which previously had OMB approval, the approval expired, and no program change has been made in the previously approved collection.
f. Check "Reinstatement, with change" when the collection is like "e" above, but has been changed since the prior approval.  


d. Check "Reinstatement, without change" when you are submitting a collection which previously had OMB approval, the approval expired, and no major change has been made in the previously approved collection.
e. Check "Reinstatement, with change" when the collection is like "d" above, but has been changed since the prior approval.  
f. Check "Existing collection" if the collection has been in use without ever having received OMB approval. If you check this block, your request should be accompanied by a memo explaining why this violation of the Paperwork Reduction Act took place.  


4. Type of review requested - Block "a", "Regular Submission", should always be checked unless instructed otherwise by the NOAA PRA Clearance Officer. If you have a situation that requires OMB approval in less than 60 days in order to fulfil a mandate deadline and avoid a signficant damaging effect upon the public or the environment, call the NOAA PRA Clearance Officer or your line office PRA Coordinator to discuss the situation.  Embarrassment from not meeting a deadline because of lack of foresight is not regarded as an emergency by NOAA or DOC.  

5. Small Entities - Indicate whether this information collection will have a significant impact upon a substantial number of small entities.  A small entity may be (1) a small business that is independently owned and operated and that is not dominant in its field of operations; (2) a small organization that is any not-for-profit enterprise independently owned and operated and is not dominant in its field; or (3) a small government jurisdiction which is a government of a city, county, town, township, school district, or special district with a population of less that 50,000.  

6. Requested expiration date -Check block "a" for 3 year approval unless you know that the collection's life will be less than 3 years.  In the latter case, check block "b" and enter a date. DO NOT request an expiration date beyond 3 years, as OMB is prohibited by law from giving such an approval. If the action is a revision to a currently approved collection (and not also an extension), enter the existing expiration date for the collection. 

7. Title - Provide a title for the information collection.  If the submission is a revision to a currently approved collection, use the title for the overall collection rather than providing the title of the change to take place. Usually you should not use the title of any associated rulemaking, as it will not specifically identify the information collection itself. 

8. Agency form numbers - Enter the numbers of any NOAA- or DOC-numbered forms to be used in the collection. When multiple forms will be used, separate the numbers with commas. If the only number on the form is the OMB Control Number, do not list it here but put “NA”.

9. Keywords - Leave blank. These will be filled in by the NOAA Clearance Officer.

10. Abstract - Provide a brief statement, 5-10 lines of text, describing the need for the information, how it will be used, and the respondents (e.g. "scallop fishermen").  

11. Affected public - Mark all the categories that apply. Mark the primary respondent group with a "P" (Also, see “affected public” worksheet for more specific breakdown of affected public, including number of small businesses – to be completed only for NOAA’s use in submitting the PRA request).

12. Obligation to respond -

a. Check "Voluntary" when the response is entirely discretionary and has no direct effect on any benefit or privilege for the respondent.
b. Check "Required to obtain or retain a benefit" when response is elective, but is required to obtain or retain a benefit (e.g. a loan).
c. Check "Mandatory" when the respondent must respond by statute or regulation.  

13. Annual recordkeeping and reporting burden - Enter the information described below. If you are requesting approval for 3 years, and the number of respondents, responses and/or burden hours will vary significantly during that period, provide an annual average over the period rather than the maximum year's figures. If the submission is a revision to an existing collection, the numbers should reflect the new totals for the overall collection, and not just the changes being made. That is, if you are adding six respondents, 100 responses, and 25 burden hours per year, these are not your new annual totals; the new totals reflect the current numbers plus the added numbers  (e.g. current hours of 500 plus added 25 hours equals 525).   NOTE: You are NOT required to stick to the estimated numbers in the Federal Register Notice for this collection.

If you do not have accurate data on the totals, contact the NOAA PRA Clearance Officer or check the current totals for this collection at:
http://www.cio.noaa.gov/itmanagement/prastat.html (click on first bullet on this page). OMB updates the totals monthly. Some reasons why the totals may have changed since the last renewal: a revision, submitted through this same process, and/or a change worksheet that may have merged another collection into this one. If you are not a new sponsor for this collection, you will have been the one doing the revising and/or merging, but it still never hurts to check your totals!


a. Enter the total number of respondents, annualized over the 3-year approval period. That is, if each respondent responds at least once per year, do not divide by 3 – your annual respondent total is the same as your overall total. If each respondent responds less often than annually in the three-year period, divide the total by 3.   Do not double count respondents: if 15 people file 3 reports per year, you have 15 respondents, not 45.


b. Enter the total number of responses provided annually. 
i. Provide the percentage of responses that will be submitted/collected using electronic media (other than telephones and facsimile submissions).  Do not include the entering of submitted information into a computer after receipt in NOAA. Note: even in the best of scenarios, with all respondents having easy internet access, and all your forms being completed on line, you would not state “100 %”, as this would imply that, should a respondent NOT be able to use electronic means, there would not be an alternative available. The exception would be responses through a vessel monitoring system, if this is the only type of response in the collection.


c. Enter the total annual reporting and recordkeeping burden in hours.  


d. Enter the total annual burden hours currently approved by OMB. Enter "0" for a new collection or a collection for which OMB approval expired.


e. Enter the difference by subtracting line d from line c. Record a negative number in parentheses.


f. Based on the reason for the difference (program change or adjustment), enter the amount of the difference shown in line e , in lines f1 and/or f2.


f1. "Program change" is the result of deliberate Federal government action. All new collections and any subsequent revisions or changes resulting in cost changes are recorded as program changes.  

f2. "Adjustment" is a change that is not the result of a deliberate Federal government action.  Changes resulting from new estimations or actions not controllable by the Federal government are recorded as adjustments.  
If appropriate, both program changes and adjustments can be used to explain applicable components of a burden hour change. Examples: of a total difference (increase) of 400, 300 could be due to program change and 100, to adjustment, OR you could have a decrease of 100 due to program change and an increase of 500 due to adjustment, which would still be a net increase of 400.

14. Annual reporting and recordkeeping cost burden (in 1,000s of dollars) - The costs identified in this item are those identified in Part A, Question13 of the Supporting Statement ONLY, i.e. recordkeeping/reporting costs, NOT labor costs (labor costs are addressed ONLY in the supporting statement #12, and do not appear on the
83-I).

NOTE the text in parenthesis above and on the 83i: in 1,000s of dollars)! For the purposes of the question on this form, $500 or less is counted as zero. Anything above $500 tthrough $1.5IK is counted as 1. If over 1.5K, then 2, etc. For the same information in the Supporting Statement, Part A, Question 13, you show the ACTUAL dollars.


a. Enter the total dollar amount of annualized costs for all respondents of any associated capital or start-up costs (e.g., the cost of buying and setting up a computer needed to make the reports, divided by 3 years).  


b. Enter recurring annual dollar amount of costs for all respondents associated with operating or maintaining systems or purchasing services.  Include any money the respondent spends to comply with the information request/requirement (e.g. for attorney fees). Operations and maintenance costs include the costs of mailing, faxing or calling in information, making paper copies, notary costs, and electronic transmission from vessel monitoring systems. Paint and brushes for vessel and gear marking would also fall under this category. Regular maintenance of any equipment whose initial costs fall under “capital and start-up” would also belong here.


c. Enter total of 14a + 14b as requested annual reporting and recordkeeping cost burden.  


d. Enter total cost burden currently approved by OMB for this collection of information. Enter zero (0) if this is a new submission.  


e. Enter the difference by subtracting line d from line c.  Record a negative number within parentheses.  


f. If appropriate, both program changes and adjustments can be used to explain applicable components of a burden hour change. Based on the reason for the difference (program change or adjustment), enter the amount of the difference shown in line e, in lines f1 and/or f2. See #13 above for definitions and examples.

15. Purpose of information collection - Check all that apply, using a "P" for the primary purpose and "x"s for all others.

16. Frequency of recordkeeping or reporting

a. Check "Recordkeeping" if the collection of information explicitly requires persons to maintain records that will not subsequently be submitted to the Federal government.  
b. Check "Third party disclosure" if a collection of information requires a person to obtain or compile information for the purpose of disclosure to members of the public or the public at large, through posting, notification, labeling, or similar requirements (e.g. vessel or gear marking).  
c. Check "Reporting" for information collections that involve reporting to the Federal government and check the frequency of reporting that is requested or required of a respondent. If the reporting is triggered by an event, check "On occasion".

17. Statistical methods
Many research collections and scientific program evaluations employ statistical methods, while applications and audits do not.

Check "Yes" if you are:

a. Collecting data using any survey methods. 
Note: OMB is now including census (collection from the entire respondent population) under “sampling”, and since sampling is a statistical method, for any information collection referred to as a “survey” you must check “yes” (see below).
b. Doing any kind of estimation, imputation, or weighting. 
c. Pretesting or field testing for a survey, including cognitive interviews or focus  groups from a total of 10 or more people. 


If you check “yes” you must also answer Part B in the Supporting Statement (see Part B instructions in the Instructions: Supporting Statement document).


18. Agency contact - Provide the name and telephone number of someone able to answer questions regarding the content of the submission.  

19. Certification - DO NOT SIGN THIS BLOCK! No entry is needed. You do need to review the certification standards on this page, and if the collection fails to meet one or more of those standards, Item 18 of the Supporting Statement must explain the reason for that failure.

Agency Certification - The Department requires that the OMB 83-I be signed by an Assistant Administrator or head of the Management and Budget Staff for Line Office submissions, or by the Director of a Program or Staff Office if not being submitted through a line office.