PRESIDENT'S REPORTING BURDEN REDUCTION PROGRAM

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP80M00165A002100060014-1
• Release Decision: RIPPUB
• Original Classification: K
• Document Page Count: 39
• Document Creation Date: December 15, 2016
• Document Release Date: February 18, 2004
• Sequence Number: 14
• Publication Date: February 17, 1977
• Content Type: MEMO

E'e i~fit 41 ?i,a4F T
Approved For Rele fe'2004/03/11 CIA-RDP80M00165AOO OO60014
EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT ANO BUDGET
WASHINGTON, D.C. 20503
February 17, 1977
MEMORANDUM TO THE HEADS OF EXECUTIVE DEPARTMENTS
AND ESTABLISHMENTS
SUBJECT: President's Reporting Burden Reduction Program
At the direction of the President, I am transmitting the
Office of Management and Budget's guidelines for your use
in implementing the President's reporting burden reduction
program and the Federal Reports Act. I am also enclosing
copies of OMB Circular No. A-40 and pertinent transmittal
memoranda.
I will be communicating with some of you separately on
specific problems relating to the reporting burdens which
your agencies place upon the public.
I would appreciate receiving from you the name or names
of those persons in the line of delegation of the
responsibilities as defined in the President's letter
in order that we may deal effectively and promptly with
any problems associated with individual requests for
clearance, interpretations of OMB Circular No.:A-40, and
related matters.
For administrative convenience, you may wish to have this
information supplied directly to the Clearance Officer,
Statistical Policy Division, Office of Management and
Budget, Stop 20, Telephone [phone].
Bert Lance
Director
r AA
Approved For Release 2004/03/11 : CIA-RDP80M00165A002100060014-1
 Approved For ReleaV2004/03/11: CIA-RDP80M00165AO02"0060014-1
GUIDELINES FOR REDUCING PUBLIC
REPORTING TO FEDERAL AGENCIES
B. Each department and independent agency has a ceil-
ing on the number of repetitive reports and a
ceiling on the number of single-time reports.
The ceilings for each department and agency are
set forth in Attachment A.
C. The following guidelines come into effect for any
department or agency which reaches its ceiling.
They will remain in effect until the number of
repetitive reports,and single-time reports used
by the department or agency are reduced to the
number in use on June 30, 1976.
(1) No request for clearance of a new report is
"to be made unless:
'(a) the report is specifically required by
law, or
(b) the report is required to;obtain
information specifically requested by
Congress, or
(c) the request for clearance of the
proposed new report is accompanied by
a request for the elimination of an
existing report. The elimination of
an existing single-time report is not
acceptable as an offset to the introduction
of a repetitive report, or
I. GUIDELINES FOR CONTROLLING THE NUMBER OEREPORTS
Objective: To control .the number of reports used'`
by executive agencies while permitting a degree.
of flexibility.
A. A ceiling of 4,700 repetitive reports and 600
single-time reports is established for agencies.
in the executive branch, subject to the provisions
of the Federal Reports Act (44.U.S.C. 3501 -
3512).
Approved For Release 2004/03/11 : CIA-RDP80M00165AO02100060014-1
 ApprovFor Release 2004/03/11 CIA-RDP80W0165A0021000600t'4-12
(d) an exception is granted per guideline
I-C (3) .
(2) No request for clearance for the continued use
of an existing report is to be made unless:.
(a) the. report is speci.ficall required by
law, or
(b) the request for clearance. is accompanied
by a request'for the elimination of an
existing report. The elimination of an
existing single-time report is not
acceptable as an offset to the continued
use of a repetitive report, or.
(c) an exception is granted per guideline
I-C(3).
(3)
If the head
of a department or agency determines
that there
is no approved report which can be
eliminated
in order to meet the requirements of
C(1)(c)?or
C(2)(b) above, he may request an
exemption from these guidelines.by certifying
his determination to the Director of the Office
of Management and'Budget. It is intended that
this
determination, certification, and request
for
exemption be made by the head of the depart-
ment
or.agency and not by any person to whom he
has
delegated his clearance authority.
(4) If an exemption is granted by the Director, it
will apply only to a specific request for
clearance. A separate determination, certifi-
cation, and request for clearance must be made
for each case for which an exemption is sought.
D. In some cases one agency collects information on
behalf of another. In'such a case, if the data
collection involves a separate survey, the agency
which sponsors the collection of information from the
public shall have the data collection included in its
inventory of reports and estimated reporting burden.
proved For. Release 2004/03/11 CIA-RDP80M00165A002100060014-1
}
 Approved For Relea 2004/03/11: CIA-RDP80MO0,165A0021'0060014-
II. GUIDELINES FOR REDUCING REPORTING BURDEN
Objective: To reduce the burden of public reporting
by 7,000,000 hours by September 30, 1977. The
reduction is to be achieved in the burden of reporting
associated with repetitive reports. The,burden of '
reporting associated ` with single-time reports is to
be no higher on September 30, 1977 that it was on
June 30, 1976.
A. Guidelines for agency use in.achieving a reduction
in reporting hour burden of existing; or prospective
data collections.
(1) Review the essentiality of the report.
Request clearance only for those reports
which are essential to policy decisions,
program planning, management or evaluation.
(2) Review the practical utility of the information
collected. If it is not used for reasons
beyond the agency's control, do not.collect it
even though it may be "needed."
(3) Reexamine use of samples, cutoffs, and similar
techniques which can reduce reporting burden.
If these techniques are not being used, why
can'"t they be used? If they are'being used,
can the samples be reduced or cutoff levels
raised?
(4) Reexamine the need for frequency of data
collection.. Would less frequent data collection
..adequately serve minimum department or agency
needs?
(5) Consider the possible use of "short" forms for
use by individuals or by small organizations
when an inquiry-is addressed to a universe or
sample containing large organizations, small.
organizations, and/or individuals.
Approved For Release 20'04/03/11 : CIA-RDP80M00165AO02100060014-1
 Approved For Release 2004/03/11 : CIA-RDP80M 165A0021000.60O.14-1
(6) Address special. efforts to a reexamination of
the use of information collected-by "large .
burden" programs. such as. medicare and medicaid,
the food stamp program of the Department of
Agriculture, and the like. Such special efforts
should concentrate on an evaluation of the-,
practical-utility of the information collected.
]3. Guidelines to be used by 0MS in review of requests
for clearance.
(1) Applications. No request for clearance of a
new application form or for the. continued use
of an existing application form will be granted
for forms. which contain anything, other than the
information-necessary to determine (1) whether
the applicant is eligible to receive the benefit
applied for or (2) the amount of benefit to
which an eligible applicant is entitled.
When narrative; statements are required as part
of an application, reporting instructions are
to be explicit,as to what is needed.
An agency which requires the name or names of
project directors/principal investigators
(and information on their staffs) as part of
an application 'is required to present a specific
justification for such information in its request
for clearance under the Federal Reports Act and
to describe the consequences of not receiving it.
Program meevaluation. Reporting and data collection
required for program evaluation must directly
contribute to the assessment of the degree to
which program goals have been achieved or to the
assessment of the effects of programs or their
processes or management. Acquisition of large
amounts of descriptive data not directly relevant
.to these purposes is to. be avoided.
(3) Other management reports. No report is to be
required of an.employer of fewer than 10Q-
employees unless the report is specifically
required by law or unless-the'report is
consequent to a benefit received.
Approved For Release 2004/03/11 CIA-RDP80M001,65AO02100060014-1
 Approved For Releft6 2004/03/11 : CIA-RDP80M00165A001T60060014-.1 5
(4) Statistical surveys or reports. No statistics
program which collects information annually or
more frequently shall be designed to produce
geographic detail below national totals for the
United States unless:
(a) the information is required by law more
frequently than. would be provided by a
census and
(b) cannot be obtained from existing adminis-
trative records or
(c) the data collection is an integral part of
a specific Federal-State cooperative
program or of a specific Federal-local
government cooperative program.
Federal agencies are not to engage in any data
collection activities which are not financed
wholly by Federal funds, except ;data collection
which is undertaken as a consequence of cooperative
efforts with State and/or local'governments.
it is expected that data collections for statisti-
cal purposes 'ill have a response rate of 75
percent. Proposed data collections having an
expected response rate of less than 75 percent
require a special justification. Statistical
data collection activities having a response,
rate of under 50 percent should be terminated.
Proposed statistical data collection activities
having an expected response rate of less than
50 percent will be disapproved.
An agency will make every reasonable effort to
assure that no individual and no employer of
fewer than 100 is included in more than one of
its statistical samples at the same time.
(5) Data collection for research purposes. Data
collectiorsfor research purposes will be approved
only if (1) they test a stated hypothesis or
(2) they are part. of an investigation designed to
Approved For Release 2004/03/11 : CIA-RDP80MO0165AO02100060014-1
 Approved For Release 2004/03/11 : CIA-RDP80M00165A002100060014--1
discover new.facts.or:principles in a specified.
area of knowledge.. The anticipated benefits
expected from the data collection and. the
consequences of not engaging in the proposed
data collection are to be specified..
(6) Grant-in-aid.fepor_ting. Grant-in-aid programs
are expected to use . the. uniform grant reporting
procedures set forth in FMC 74-7 and OMB
Circular Nos. A-110 and-A-ill Agencies. may
ask for less information than is included in. the.
uniform-grant--reporting procedures, but may not-
ask for more information unless (1) the..additiorral:
information is-specifically required by law or.
(2) is specifically required by Congress even
though not. required by law.
Grant-in-aid.reporting shall be required only of
the grant. recipient. Reports from.subgrantees,,
projects, or ultimate beneficiaries are.not.to
be required unless. specifically required. by. law
or by Congress.
(7) Exemptions from these guidelines. The head of
a department or independent agency may request-:
an exemption from any of these guidelines for
a particular case. A request for such an
exemption may be made only by the head of the
department or agency and may not be made by any
.one to whom clearance responsibilities may be
delegated. A request for exemption must describe
why the particular exemption sought is necessary
to the proper performance of the department's or,
agency's functions`.
r.ri,. GUIDELINES FOR REDUCING REPORTING BURDEN. SUBSEQUENT TO
SEPTEMBER 30, 1977
Objective: To recommend changes in legislation-which would
achieve.an.additional reduction of reporting. burden..
A. During FY 1977 identify legislative sources of. specific
reporting and recordkeeping requirements.which_the
department ox-agency regards as excessive.
Approved For Release 2004/03/11 CIA-RDP80M00165AO02100060014-1
 'Approved For Relea 2004/03/11 : CIA-RDP80M00165A0024 0060014-1
B. Recommend specific changes in legislation which could
reduce the excessive reporting or recordkeeping
requirement. These recommendations are to be reported
quarterly to OMB, beginning March 31, 1977, together
with an estimate of the savings in reporting burden
which could be secured if the recommendations were
enacted.
Approved For Release 2004/03/11 : CIA-RDP80M00165A002100060014-1
 Approved For ReledW 2004/03/11 CIA-RDP80M00l65A002"006 $ chment A
CEILINGS FOR REPETITIVE REPORTS
Department
Department
Department
Department
Department
Department
Department
Department
Department
Department
'Department
of Agriculture
of Commerce
of Defense
of Health, Education, and Welfare
of Housing and Urban Development
of the Interior
of Justice
of Labor
of State
of Transportation
of the Treasury
Agency for International Development.
Energy Research and Development Administration
Environmental Protection Agency
Executive Office of the.President
Community Services Administration
Federal Home Loan Bank Board
Federal Mediation and Conciliation Service
Federal Reserve System
Foreign Claims Settlement Commission
National Foundation on the Arts and Humanities
General Services Administration
National Aeronautics and Space Administration
National Mediation Board
National Science. Foundation
ACTION
Railroad Retirement Board .
Renegotiation Board
Selective Service System
Small Business Administration
Smithsonian Institution
Tennessee Valley Authority
U.S. Civil Service Commission
U.S. Commission on Civil Rights
U.S. Information Agency
U.S_ International Trade Commission
726
527
211
850
254
296
166
251.,
31
272
130
20
29
56
13
11
1~.
12
1
20
49
23
55
23
118
4
6
22
9
20
132
1
9
Approved For Release 2004/03/11 : CIA-RDP80M00165AO02100060014-1
 'Approved For Releaw2004/03/11 : CIA-RDP80M00165A002 &0060014-1
Repetitive Reports (continued)
Veterans
Administration
283
National
Gallery of:Art
2
Interim
National
Compliance Panel
Credit Union Administration
5
Overseas
Private Investment Corporation
2
Special Action office for. Drug Abuse Prevention
American Revolution Bicentennial Administration
Committee on Products and. Services of Blind
and Severely Handicapped
4
Inter-American Foundation
Pension Benefit Guaranty Corporation
1
U.S. Postal Service
National Academy of Sciences
1
National Center for Productivity
1
Administrative Conference of the United States
1
Commission on Review of National Policy toward
Gambling
1
National Commission on Libraries and Information
Science
1
Approved For Release 2004/03/11 : CIA-RDP80M00165AO02100060014-1
 Approved. For Relea2004/03/11 : CIA-RDP80M00165A002ent A
CEILINGS FOR SINGLE-TIME REPORTS
Department
of
Agriculture
35
Department
of
Commerce
76
Department
of
Defense
13
Department
of
Health, Education, and Welfare
230
Department
of
Housing and Urban Development
23
Department
of
the Interior
22
Department
of
Justice
11
Department
of
Labor
18
Department
of
State .
1
Department
of
Transportation
53
Department
of
the Treasury
.7
Agency for International Development
Energy Research and Development Administration
Environmental Protection Agency
14
Executive Office of the President
1
Community Services Administration
1
Farm Credit Administration
Federal Home Loan Bank Board
Federal Mediation and Conciliation Service
Federal Reserve System
Foreign Claims Settlement Commission
National Foundation on the Arts and Humanities
General Services Administration
National Aeronautics and Space Administration
National Mediation Board
National Science Foundation
ACTION
Railroad Retirement Board
Renegotiation Board
Selective Service System
Small Business Administration
Smithsonian Institution
Tennessee Valley Authority
U.S. Civil Service Commission
U.S. Commission on Civil Rights
U.S. Information Agency
.U.S. International Trade Commission
Approved For Release 2004/03/11 : CIA-RDP80M00165AO02100060014-1
 Approved For Relea"W2004/03/11 CIA-RDP80M00165A002W0060014-1
Single-Time Reports(continued)
Veterans Administration 10
National. Gallery of Art
Interim Compliance Panel.
National Credit Union-Administration
Overseas Private Investment Corporation
Special Action Office for Drug Abuse. Prevention
American Revolution Bicentennial Administration
Committee on Products and Services of Blind
and Severely Handicapped.
Inter-American Foundation
Pension Benefit Guaranty Corporation
U.S..Postal Service
National Academy of Sciences 2
National Center for Productivity 1
Administrative Conference--of the United States. 1
Commission on Review-of-National Policy toward`
Gambling 2
National Commission. on Libraries and Information.
Science 1
Approved For Release 2004/03/11 : CIA-RDP80M00165A002100060014-1
 roved For_eTea~ 1~W4/$ jG CIA RDP80M00165AO02WO060014-1
OFFICE OF MANAGEMENT AND BUDGET
February 10, 1976
CIRCULAR NO. A-40
Transmittal Memorandum No. 1
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Revision of Attachment A to Circular No. A-40
"Clearance of Public Reporting and Recordkeeping
Requirements Under the Federal Reports Act"
Attached is revised Attachment A, "Clearance of Public Report-
ing and Recordkeeping Requirements Under the Federal Reports
Act."
The purpose of the revision is to: (1) change the definition
of "Federal agency" to accord with the amendment to
44 U.S.C. 3502; (2) further define "practical utility" and
distinguish it from "potential utility;" (3) require Federal
agencies to submit a specific justification for any data
collection which is expected to require more than one-half
hour of reporting time by individuals or small organizations;
(4) require Federal agencies to note whether a report is
mandatory or voluntary; (5) require the inclusion of language
required by the Privacy Act of 1974 on any form proposed for
use to collect information from individuals about themselves;
and (6) require agencies to submit, as part of a request for
clearance, a statement that the proposed data collection and
method of handling of information collected complies with the
Freedom of Information Act and the Privacy Act of 1974.
Approved For Release 2004/03/11 : CIA-RDP80M00165AO02100060014-1
 Approved For Relea4e2004/03/11 : CIA-RDP80M00165A002'060014-i-E'?-'`'"
?. EXECUTIVE OFFICE OF THE PRESIDENT 73 G
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON. D.C. 20503
November 5, 1976
CIRCULAR NO. 'A-40
Transmittal Memorandum No. 2
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Interpretation of the requirement of clearance
for proposed collections of information from the
public (44 U.S.C. 3509)
The purpose of this memorandum is to clarify the requirement
for clearance of proposed collections of information from
the public in those cases in which the sponsoring agency and
the collecting agency are different and one of the agencies
is not subject to the provisions of the Federal Reports Act.
44 U.S.C.. 3509 states that no agency shall collect or
sponsor the collection of information upon identical items
from 10 or more persons unless the Director of the Office
of Management and Budget shall have indicated that he does
not disapprove the collection.
According to the provisions of 44 U.S.C. 3502, the following
organizations are not "agencies" within the meaning of the
Federal Reports Act.
Civil Aeronautics Board
Commodity Futures Trading Commission
Consumer Product Safety Commission
Equal Employment Opportunity Commission
Federal Communications Commission
Federal Maritime Commission
Federal Power Commission
Interstate Commerce Commission
National Labor Relations Board
Securities and Exchange Commission
Federal Energy Administration
Approved For Release 2004/03/11 : CIA-RDP80M00165AO02100060014-1
 Approved for Release 2004/03/11 : CIA-RDP8 M00165AO021000600i4-1
The following units within the Department of the"Trea'sury:
Bureau of Alcohol, Tobacco and Firearms
Bureau of Government Financial Operations
Bureau of the Public Debt
Comptroller of the Currency
Internal Revenue Service
General Accounting Office
District of Columbia
An agency subject to the provisions of the Federal Reports
Act may enter into an arrangement with an organization not
subject to the Act whereby the organization not subject to
the Act collects information on behalf of the agency subject
to the Act.. The reverse also occurs.
The provisions of 44 U.S.C. 3509 apply to both of these
situations.
Any collection of information upon identical items from 10 or
more persons made by an agency subject to the provisions of
the Federal Reports Act is subject to the requirement of
clearance by the Office of Management and Budget, whether or
not the sponsor of the collection is an agency subject to the
Act. Example: the collection of information by the Bureau
of Mines for the Federal Energy Administration is subject to
clearance even though the data collection activities of the
Federal Energy Administration are not subject to clearance by
OMB under the Federal Reports Act.
Any collection of information upon identical items from 10 or
more persons sponsored by an agency subject to the Federal
Reports Act is subject to the requirement of clearance by
the Office of Management and Budget whether or not the agency
collecting the information is subject to the Act. Example:
the collection of information for the Bureau of the Census
by the Internal Revenue Service is subject to clearance by
the Office of Management and Budget even though the data
collection activities of the Internal Revenue Service are not
subject to clearance by OMB under the Federal Reports Act.
In each case, the agency which is subject to the provisions of
the Federal Reports Act will submit a request for clearance to
the Office of Management and Budget as required by Attachment A
to OMB Circular No. A-40.
JAMES T. LYNN
DIRECTOR
Approved For Release 2004/03/11 : CIA-RDP80M00165AO02100060014-1
 Approved For R'eleasa2004/03/11 CIA-RDP80M00165A002'f`90060014-1
ATTACHMENT A
Circular No. A-40
Revised
Clearance of Public Reporting and Recordkeeping
Requirements, Under. the Federal Reports Act
1. The following definitions for public reporting are to-be
used for the purpose of this Circular.
a. "Federal agency." An executive department, commission,
independent establishment, corporation owned or controlled by
the United States, board, bureau, division, service, office,
authority, or administration in the executive branch of the
Government. Exceptions: the Government of the District of
Columbia or of any territory or possession of the United States,
or any subdivision of such a Government; the General Accounting
Office; the Internal Revenue Service, the Comptroller of the
Currency, the Bureau of the Public Debt, the Bureau of
Government Financial Operations, the Bureau of Alcohol, Tobacco,
and Firearms, and the Division of Foreign Funds Control of the
Treasury Department; independent Federal regulatory agencies; 1/
and any Federal bank supervisory agency to the extent that such
agency obtains reports and information from banks as provided
or authorized by law and in the proper performance of its
supervisory capacity.
b. "Information." Facts obtained or solicited by the use
of written report forms, application forms, schedules,
questionnaires, or other similar methods calling either for
answers to identical questions from 10 or more persons other
than agencies, instrumentalities, or employees of the
United States or for answers to questions from agencies,
instrumentalities, or employees of the United States which are
to be used for statistical compilations of general public
interest (44 U.S.C. 3502).
1/ Independent Federal regulatory agencies are: Civil Aeronautics
Board, Commodity Exchange Authority, Consumer Product Safety
Commission, Equal Employment Opportunity Commission, Federal
Communications Commission, Federal Maritime Commission, Federal
Power Commission, Federal Trade Commission, Interstate Commerce
Commission, National Labor Relations Board, Securities and
Exchange Commission, and Federal Energy Administration.
(No. A-40)
Approved For Release 2004/03/11 : CIA-RDP80M00165AO02100060014-1
 ,ApprovedjFor Release 2004/03/11 : CIA-RDP84M00165AO02100060014-1
c. "Person." An individual, partnership, association, corp-
oration, business trust, or legal representative, an organized
group of persons, a State or territorial Government or branch, or
a political subdivision. In determining whether information is
being collected from 10 or more persons, when the primary or
principal respondents must obtain from others the same information
that is requested of them (e.g., prime contractors obtaining
information from their subcontractors), the secondary respondents
are also included.
d. "Plan." Any specific requirement or guide for the
reporting-57-information or the establishment or maintenance
of records (including management systems and systems of
classification) which are to be used or be available for use
in the collection of information; any such requirement or
instruction affecting the content, preparation, return, or use
of a plan or report form; or any contract or agreement which
will result in the collection of information on identical items
from 10 or more respondents.
e. "Report form." Any application or other administrative
form, questionnaire, schedule, interview guide, telegraphic
request, or other similar device for the collection of
information.
f. A plan or report form is deemed to be "used" by a
Federal agency if:
(1) The agency itself uses the plan or form to collect
data, upon identical items, from 10 or more persons, or
(2) The agency sponsors the employment of the plan or
form by others.
g. "Sponsor." A Federal agency is considered to "sponsor"
the collection of information under the following circumstances,
subject to the qualifications and explanations indicated herein:
(1) Collection by a contractor. A plan or report form
used by a contractor to a Federal agency is deemed to be sponsored
by the agency which awards the contract, except when the data
collection is neither required by nor implied by the terms of
the contract and no representation of Federal sponsorship or
association is made to the respondents.
(2) Collection by recipient of a grant. A plan or report
form used by a recipient of a Federal grant is not deemed to be
sponsored by an agency, except when:
(a) The recipient of a grant represents to
respondents that the information is beirj collected for or in
(No. A-40)
Approved For Release 2004/03/11 : CIA-RDP80M00165AO02100060014-1
 Approved For Relea 42004/03/11 CIA-RDP80M00165A002"b060014-1
association with a Federal agency (However, this exception
is not intended to preclude mention of Federal support in
response to an inquiry, or acknowledgement of assistance from
a Federal grant in any publication of the data.); or
(b) The recipient of a grant uses the p3,an or
report form to collect iii-formation that the agency has requested
for the planning, operation, or evaluation of its program; or
(c) The terms and conditions of the grant provide
for approval by the agency of the survey design, questionnaire
content, or data collection procedures; or
(d) The terms-and conditions of the grant provide
for either submission to the agency of the data for individual
respondents or the preparation and submission of tabulations
requested by the agency.
(3) Other types of sponsorship. When a person or
organization is requested by a Federffl agency to collect.specific
information to be made available to the agency, the plan or report
form or the part thereof used to collect this information must be
regarded as sponsored, even though no contract or grant is
involved. When a plan or report form is promulgated by a
Federal agency as a standard for use by State or local govern-
mental agencies, such a plan or report form is deemed to be
sponsored, even though it is not used for reporting to the
Federal agency. In the case of doubt as to whether a plan or
report form is sponsored, inquiry should be made of the Office
of Management and Budget.
.2.- Clearance requirements.
a. General requirements of clearance. No plan or report
form (whether repetitive or single-time) is to be used or
prescribed by a Federal agency in the collection or recording
of information from 10 or more persons without first obtaining
-clearance from the office of Management and Budget which will
be indicated by inscribing thereon the OMB approval number.or
notation. Reimbursement of contractors or other persons
supplying information does not constitute a basis for exemption
from any clearance requirement.
b. Responsibility of agency sponsoring collection of
information. Whenever a Federal agency sponsors the use of
a. plan or report form by contractors, grantees, or other
sponsored collectors of information, it will be that agency's
responsibility:
(No. A-40)
Approved For Release 2004/03/11 : CIA-RDP80M00165A002100060014-1?
 Approved For Release. 2004/03/11 : CIA-RDP8165A0021000600.14-
(1) To inform the sponsored collector of information
of the requirements of this.Attachment;
(2) To ensure that the submittal required by paragraph
3a of this Attachment is made; and
(3) To ensure that the plan or report form is not used
without prior clearance.`'
C. Termination of clearance and use. No plan or report
form subject -to paragraph 2a of this Attachment is to be used
after its expiration date without resubmittal to the Office of
Management and Budget and prior clearance. Moreover, clearance
of any plan or report form subject to paragraph 2a may be
withdrawn by the Office of Management and Budget., in which event
the use of the plan or report form will be discontinued.
3. 512 -guest for clearance for new plans and report forms.
a. Acge:tc laazs and re ort `o:rms. Requests for clearance
,~_t mitting Stand-Tr-1-Form 83, "Clearance Request
shall be made by
and Notice of Action," prepared in accordance with, and .
-1-.0"11panted by additional materials described in Standard Form
"instructions for Requesting 'OMB approval under the
33~s
,
redetal Reports Act." (Standard Forms 33 and 33a may be secured
the Federal Supply Service, Ge_neral. Se vices Administration.)
Re7ue, is for clearance should be made in time to allow for
adequate review and the adoption of any necessary alterations
(includingcoordin.ation or integration with other plans and
recort forms) without delaying the operating program to which
the plan or report form relates.
b. Standard and o tiona.L forms. Standard and optional forms
which regtttre Otr"ice of Management and Budget approval under
-44 u.s.C. 3509 (i.e., public use forms or those which are the
basis for statistical compilations of general public interest)
should be submitted to the National Archives and Records Service
of the General Services Administration, with copies of both
Standard Form 152, "Regaest for Clearance and Procurement--
Standard and Optional. Forms, and Standard Form 83 (only
items 6, 14, 15, and 16 need be completed on Standard Form 83) .
The National Archives and Records Service will review the
proposed forms and will also transmit copies to the Office of
Management and Budget.
c. Interagency reports. Interagency report forms and
requirements which require Office of Management and Budget
approval under 44 U.S.C. 3502 (i.e., because the information
(No. A-40)
Approved For Release 2004/03/11 : CIA-RDP80M00165AO02100060014-1
 Approved For Relea 2004/03/11: CIA-RDP80M00165A002WO060014-1
to be collected is to be used for statistical compilations of
general public interest) should be submitted to the National
Archives and Records Service of the General Services
Administration with copies of Standard Form 360, "Request for
Clearance of an Interagency Reporting Requirement." The
National Archives and Records service will review the proposed
forms and requirements and will also transmit copies to the
Office of Management and Budget. (Effective July 1, 1973.
See Attachment B.)
4. Consideration of utility and burden.
a. To minimize the reporting burden on respondents and to
improve governmental efficiency, each Federal agency will
consider and determine, in connection with each plan or report
form submitted, whether the proposed plan or report form
exceeds the limits of reasonable need or practical utility,
either with respect to number of respondents, frequency of
collection, or number and difficulty of the items, and whether
all of the items of information to be furnished or recorded
are essential to the central purpose of such plan or report
form.
b. Practical utility (as distinguished from potential
utility) also includes the ability of the agency to use the
information received. Particular care will be exercised by
agencies to insure that, need for information notwithstanding,
there are no limitations in staff, in capability to process
the information in a timely and useful fashion, or other
constraints on the likely use of the information. Otherwise
there is no practical utility and the information should not
be collected.
c.' Special consideration will be given to the burden on
individuals, small businesses, and other organizations with
limited clerical, financial management, and statistical staffs
which employ fewer than 100 persons.-Individuals, small
businesses, or other small organizations should not be called
upon to spend more than one-half hour in responding to a
request for information from a Federal agency. Agencies will
be expected to make a specific justification for any data
collection plan or instrument which requires more than one-
half hour from these respondents.
d. Dollar costs associated with the development and
processing of a public reporting requirement will be treated
as an internal reporting cost of the agency collecting the
information.
(No. A-40)
Approved For Release 2004/03/11 : CIA-RDP80M00165A002100060014-1
 Approveor Release 2004/03/11 : CIA-RDP8165A0021000600'14-1
5. Mandatory and voluntary reports.
a. Except for applications and reports filed by recipients
of Federal benefits, each report subject to the provisions of
the Federal Reports Act and of this Circular will carry on its
face one of the following,statements:
(1) "This report is required by law ( U.S.C.
E.O. ; C.F.R. ). Failure to report can result in
(cite penalty)." The penalty should be cited in plain language
along with the appropriate legal citation.
(2) "This report is authorized by law ( U.S.C.
E.O. C.F.R. ). While you are not required to
respond, your cooperations is needed to make the results of this
survey comprehensive, accurate and timely." An agency may propose
the use of alternative language providing there is no change in
the substance of the message.
b. Each application subject to the provisions of the
Federal Reports Act and of this Circular shall carry on its
face the following statement:
(1) No may be unless a
completed application Form has been received ( U.S.C.
E.O. ; C.F.R. ). (Examples: No grant may be
awarded...; No passport may be issued....)
c. Reports filed by recipients of Federal benefits shall
carry the following statement (unless reporting is not required,
in which case the statement contained in paragraph 5a(2) shall
be used)
(1) No further monies or other benefits may be paid out
under this program unless this report is completed and filed as
required by existing law and regulations ( U.S.C.;
E.O. ; C.F.R.
d. In those cases in which the information is collected
by personal interview (either in person or by telephone), the
respondent shall be informed as to whether the information
sought is required by law or is voluntary and he shall be
furnished with the appropriate statement upon request.
6. Information collected from individuals. In addition to
informing respondents as to the man atory or voluntary character
of the response to a report, each report requesting information
from individuals must include the following information required
by the Privacy Act of 1974 (5 U.S.C. 552a(e)(3)):
(No. A-4O)
Approved For?Release 2004/03/11: CIA-RDP80MOO165AO02100060014-1
 Approved For Release 2004/03/11 : CIA-RDP80M00165A002'W060014-1
a. The principal purpose or purposes for which the
information is intended to be used.
b. The routine uses (as defined in 5 U.S.C. 552a(a)(7))
which may be made of the information.
7. Request for clearance for revised plans and report forms.
Before a material revision or change is made in an approved
plan or report or in the use thereof, further clearance must
be obtained from the office of Management and Budget in the
manner prescribed in the relevant subparagraph of paragraph 3.
A material revision or change in a plan or report form or the
use thereof, necessitating further clearance, will include
(a) any modification in the kind or amount of information
sought, (b) any change in the type of respondents or the survey
coverage, (c) any change in the timing or frequency of reporting,
(d) any other change in the sample design or collection method,
or (e) a change in the purpose for which the data are collected.
8. Request for extension of clearance. If use of a plan or
report form beyond a scheduled expiration date is desired,
without material revision or change, the request for an
extension of approval will be made on Standard Form 83 or by
such other means as may be prescribed.
9. Exemptions. The following types of forms and reporting
requirements are exempted from the requirement of approval
under 44 U.S.C. 3509:
a. Affidavits, oaths, certifications, notices of change
of address, and , forms,. used for acknowledgment or-receipt of
articles or services which require no information other than
that necessary to describe the article or service and identify
the person or persons making the acknowledgment or receipt.
b. Forms calling for technical information incident. to
the design, production, or operation of contract items, such
as engineering drawings, specifications and standards, parts
breakdown lists, catalog items identifications, or descriptions
of physical qualities and characteristics. ("Technical
information" does not include financial, administrative, cost
and pricing, management and management planning data, or other
information incidental to contract administration.)
c. Collection of information for identification or
classification in connection with laboratory research and
clinical investigations.
(No. A-40)
Approved For Release 2004/03/11 : CIA-RDP80M00165A002100060014-1
 Approved For Release 2004/03/11 : CIA-RDP800M00165A00210006001'4-1
d. Tests or examination given individuals for the purpose
of determining knowledge, abilities, or aptitudes of the
person tested, and the collection of information for
identification or classification in connection with such tests.
e. Requests for information in connection with a particular
proceeding which arise ocit of judicial and quasi-judicial actions,
such as proceedings before hearing examiners or administrative
law judges.
f. Those specifically exempted by the office of Management
and Budget because they do not call for information of substantial
volume or importance.
10. Deviation from terms of clearance. No deviation is to be
made in the use of any plan or report form from the terms and
conditions on which clearance has been granted,
11. Notice of discontinuance. Whenever the use of a plan or
report form for which clearance has been given is to be
discontinued, except by expiration of a time limit fixed by
the Office of Management and Budget, the Clearance Officer,
Statistical Policy Division, Office of Management and Budget,
is to be notified by the responsible agency at least 30 days
in advance,
12. Reports. Each Federal agency will provide the Clearance
Officer such information concerning the status and use of its
report forms as may be requested.
13. Exercise of authority.
a. Determination of scope. The determination of the
Director as to whether any plan, report form, activity, or
other matter is within the scope of the Act or this Circular
will be controlling.
b. Waivers. Any provision of this Circular may be waived
in writing by the Director except for those requirements
applicable to the collection of personal information specified
in the Privacy Act of 1974.
C. Delegation of Director's authority. The authority
conferred by the Federal Reports Act on the Director may be
exercised by his designee to the extent necessary or
appropriate for the performance of any function or duty
prescribed by this Circular.
(No. A-40)
Approved For Release 2004/03/11 : CIA-RDP80M00165AO02100060014-1
 Approved For ReleavW2004/03/11: CIA-RDP80M00165A002' 060014-1
'1:4. Relation to existing authority. This Attachment will not
be deemed to limit or preclude exercise of the authority
vested in the Office of Management and Budget by Executive
Orders 8248, 10033, 10253, or otherwise, to plan and promote
the improvement, development, and coordination of Federal and
other statistical services..
15... Relation to Freedom of Information Act and Privacy Act
of 1974. This Attachment does not limit nor does it expand
the ghts of individuals or other persons nor does it limit
the responsibilities of agencies under the Freedom of
Information Act or the Privacy Act of 1974. Agencies will
be required to submit, as a part of any request for clearance
of a request to collect information from the public, a statement
that the proposed collection and method of handling and storing
the information proposed to be collected complies with the
Freedom of Information Act, the Privacy Act of 1974, and OMB
Circular No. 108.
(No. A-40)
Approved For Release 2004/03/11 : CIA-RDP80M00165A002100060014-1
 Approved For Relea 2004/03/11 : CIA-RDP80MOO165AO0 0060014-1
EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C 20503
May 3, 1973 CIRCULAR NO. )\-4 (,
ReviF.C-?:
TO TILE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Management of Federal reporting requirements
1. Pur ose. This Circular establishes policy and promuln,,*PS
regulations to assure continuing effective management of F-deTi'
reporting requirements in the executive branch.
2. Rescission. This Circular supersedes and rescinds Circular
No. A-40, evised, dated May 25, 1962 and Transmittal Memoranduzr?
No. 1 thereto, dated February 12, 1968.
3. Coverage and definitions. The provisions of this Circular
apply to the management of all Federal reporting requirements as
defined in this paragraph and in Attachment A.
a. Rep~ort. Data or information which is transmitted for us-
in determining policy; planning, controlling, and evaluating or'-
erations and performance; making administrative determinations;
or preparing other reports.
b. RReep_ortin!g. The process by which data or information for
a report is coo I-ected, organized, transmitted, and retained.
c. Management of rreeportin . An organized and cont i nui'u s ef-
fort to improve tie quality a economy of reporting.
d. Federal reporting requirements include:
(1) Public reporting. Any reporting or recordkeepinn
required from any non-Federal Government, business, institution,
group, or individual., and which is subject to the provisions of
the Federal Reports Act. Reports from Federal agencies.
instrumentalities, and employees are also included if they call
for information which is to be used for statistical compilations
of general public interest.
(2) Interagenc reporting. Any reporting which involves
reports to a department or agency from one or more other depart-
(No. A-40)
Approved For Release 2004/03/11 : CIA-RDP80M00165AO02100060014-1
 Approved For Release 2004/03/11 : CIA-RDP80M00165A002100060014-1
ments and agencies covered by the Federal Records Act. (See
(CFR 41) 101-11.11.)
(3) Internal repor` ting. Any
reporting prepared and
within a department or agency covered by the Federal Records Act.
(See FPMR (CFR 41) 101-11 :..207. )
4. Authorit,_,y, . The policy and regulations provided herein are
promulgate nder the authorities in the Federal Reports Act of
1942 (44 U.S.C. 3501-3511); section 104 of the Act of September
12, 1950 (31 U.S.G. 18a); and that section of the Federal Records
Act of 1950 codified in 44 U.S.C. 3102.
5. Policy. The management of Federal reporting requirements
will be a. continuous function performed at all levels within the
executive branch and will include:
a. The coordination of public, interagency, and internal
reporting;
h. The implementation of effective controls on all reporting
including objective cost effectiveness evaluation of reporting
requirements; and
c.. The definition and assessment of reporting needs in the
planning of all new programs and major policy implementations.
6. Responsibilities.
a. Office of" Mann ement and Bud et. The Office of Manage-
ment and Buc(getTOMB wi :
(1) Evaluate management of Federal reporting through re-
view of agency annual management reports and issue necessary
changes to the policy and regulations established by this
Circular: and
(2) Provide for the clearance of public reporting and
recordkeening requirements in accordance with the regulations
herein.
b. General Services Administration. The general Services
Administration (GSA will:
(1) Issue procedures for the management of Federal re-
porting consistent with the policy and regulations of this Circu-
lar in the Federal Property Management Regulations;
(Na. A-4a)
Approved For Release 2004/03/11 : CIA-RDP80M00165A002100060014-1
 Approved For Relea 1004/03/11 : CIA-RDP80M00165A002WO60014-1
(2) Issue standard costing criteria defining what must
be included in cost estimates and how they are to be developed;
(3) Provide for the clearance of interagency reportinq
consistent with the policy and regulations herein; and
(4) Report to the Director, Office of Management and
Budget, the following information on interagency reporting by
September l of each year:
(a) The dollar cost contained in the GSA central
clearance inventory of interagency reporting requirements for the
past fiscal year for each department and agency;
(b) The dollar cost of all interagency reporting
requirements submitted for clearance, and the dollar cost of
those approved, during the past fiscal year for each department
and agency; and
(c) An assessment of the effectiveness of GSA in-
teragency reporting central clearance efforts.
C. Deparnts and awes. Each department and agency
will:
(1) Establish procedures for the management of its pub-
lic, interagency, and internal reporting consistent with the pol-
icies and regulations herein and related procedures issued by GSA
in the Federal Property Management Regulations;
(2) Develop cost estimates for reporting requirements it
initiates consistent with the applicable criteria established by
OMB and GSA;
(3) Obtain clearance of its public reporting and record-
keeping requirements through OMB as provided herein; obtain
clearance of its interagency reporting requirements through GSA
as provided herein and in the Federal Property Management Regula-
tions; and provide for clearance of its internal reporting re-
quirements as specified in the Federal Property Management Regu-
lations; and
(4)
Report to the Director, Office of Management
and
budget,
on
the management of its public, interagency,
and
internal
relevant
reporting by September 1 of each year, under
provisions in OMB Circular No. A-44, Revised.
the
(No. A-40)
Approved For Release 2004/03/11 : CIA-RDP80M00165A002100060014-1
 Ask
Approved For Release 2004/03/11: CIA-RDP8 0165A0021000600i4-1
7. Clearance of reporting requirements.
a. Public reporting and recordkee ang. Attachment A pro-
vides t heprocedures for O review nd clearance of plans and
report forms used by Federal agencies in the collection of infor-
mation unuer the Federal Reports Act.
b. Interagency __r_e_.~po__r~__~tti g. Attachment B provides standards
for the teve opmen~ procedures for the clearance of inter-
agency reporting requirements to be issued in the Federal Prop-
erty Management Regulations by the General Services Administra-
tion in accordance with the Federal Records Act.
c. Ir.ternal reporting. Each department and agency will de-
velop cT arance -procedures for significant internal reporting
requirements. These procedures will:
(1) Provide for approval, modification, or disapproval
of such requirements based on an objective cost effectiveness
evaluation; and
(2) Be subject to periodic review by GSA which- will
evaluate the department or agency's technical effectiveness and
compliance with applicable policy and regulations.
d. Exemptions. The following Federal reporting requirements
are exempted from the clearance provisions of this Circular.
Reporting requirements that may be developed by a department or
agency in order to respond to an exempted requirement are subject
to the clearance provisions of this Circular.
(1) Public re ortin . Exempted public reporting re-
quirements are specified ie- in Attachment A.
(2) Interagency and internal reporting. Exempted inter-
agency and internal report ni g requirements are:
(a) Legislative branch requirements contained in
statutes or Congressional committee requests;
(b) Judicial branch requirements contained in court
orders or other judicial determinations;
(c) Presidential requirements contained in Presi-
dential directives;
(d) OMB budgetary, program review and coordination,
and legislative clearance requirements; and
(No. A-40)
Approved For Release 2004/03/11 : CIA-RDP80M00165AO02100060014-1
 Approved For Relea 2004/03/11 : CIA-RDP80M00165A002-WO060014-1
(e)?? One-time. nonrecurring requirements waived by
appropriate interagency or internal clearance authority.
8. Inquiries.- General inquiries about this Circular should be
address_ _to the Assistant Director for Management and organiza-
tion, office of Management and Budget, Washington, D.C. 20503.
Specific inquiries concerning public reporting requirements
should be addressed to the Clearance officer, Statistical Policy
Division, Office, of Management and Budget.
DIRECTOR
Attachment.
(No. A-40)
Approved For Release 2004/03/11 : CIA-RDP80M00165A002100060014-1
 Approved For Rele 2004/03/11: CIA-RDP80MOO165AO02060060014-1
ATTACHMENT A
Circular No. A-i40
Revised
Clearance of Public Reporting and Recordkeeping
Requirements Under the Federal Reports Act
1. The following definitions for public reporting are to be used
for the purpose of this Circular.
a. "Federal a enc ." An executive department, commission,
independent estabTis ent, corporation owned or controlled by the
United States, board, bureau, division, service, office, author-
ity, or administration in the executive branch of the Government.
Exceptions: the Government of the District of Columbia or of any
territory or possession of the United States, or any subdivision
of such a Government; the General Accounting office; the Internal
Revenue Service, the Comptroller of the Currency, the Bureau of
the Public Debt, the Bureau of Accounts, the Bureau of Alcohol,
Tobacco, and Firearms, and the Division of Foreign Funds Control
of the Treasury Department; and any Federal bank supervisory
agency to the extent that such agency obtains reports and
information from banks as provided or authorized by law and in
the proper performance of its supervisory capacity.
b. "Information." Facts obtained or solicited by the use of
written reorrms, application forms, schedules, question-
naires, or other similar methods calling either for answers trn
identical questions from 10 or more persons other than agencies,
instrumentalities, or employees of the United States or for an-
swers to questions from agencies, instrumentalities, or employees
of the United States which are to be used for statistical compi-
lations of general public interest (E14 U.S.C. 3502).
c. "Person." An individual, partnership, association, corp-
oration, Business trust, or legal representative, an organized
group of persons, a State or territorial Government or branch, or
a political subdivision. In determining whether information is
being collected from 10 or more persons, when the primary or
principal respondents must obtain from others the same
information that is requested of them (e.g., prime contractors
obtaining information from their subcontractors), the secondary
respondents are also included.
d. "Plan." Any specific requirement or guide for the
reporting of information or the establishment or maintenance of
records (including management systems and systems of classifi-
cation) which are to be used or be available for use in the col-
lection of information; any such requirement or instruct1-)r
(No. A-40)
Approved For Release 2004/03/11 : CIA-RDP80M00165AO02100060014-1
 Approved For Release 2004/03/11: CIA-RDP80165A002100060014-1
affecting the content, preparation, return, or use of a plan or
report form; or any contract or agreement which will result in
the collection of information on identical items from 10 or more
respondents.
e. "Report form." AnV application or other administrative
form, quest onna re, schedule, interview guide, telegraphic re-
quest, or other similar device for the collection of information.
f. A plan or report form is deemed to be "used" by a Federal
agency if:
(1) The agency itself uses the plan or form to collect
data, upon identical items, from 10 or more persons, or
(2) The agency sponsors the employment of the plan or
form by others.
g. "S onsor." A Federal agency is considered to "sponsor"
the collection of information under the following circumstances,
subject to the qualifications and explanations indicated herein:
(1) Collection a contractor. A plan or report form
used by a contractor to a Fe7eralagency is deemed to be spon-
sored by the agency which awards the contract, except when the
data collection is neither required by nor impl ec by the terms
of the contract and no representation of Federal sponsorship or
association is made to the respondents.
(2) Collection by recipient of a %Eant. A plan or
report form used a recipient of -a .Federal grant is not deemed
to be sponsored by an agency, except when:
(a) The recipient of a grant represents to respon-
dents that the information is being collected for or in associa-
tion with a Federal agency (However, this exception is not
intended to preclude mention of Federal'support in response to an
inquiry, or acknowledgement of assistance from a Federal grant in
any publication of the data.); or
(b) The recipient of a grant uses the plan or re-
port form to collect information that the agency has requested
for the planning, operation, or evaluation of its program; or
(c) The terms and conditions of the grant provide
for approval by the agency of the survey design, questionnaire
content, or data collection procedures; or
(No. A-40)
Approved For Release 2004/03/11 : CIA-RDP80M00165AO02100060014-1
 Approved For Relea'2004/03/11 : CIA-RDP80M00165A000060014-1
(d) The terms and conditions of the grant provide
for either submission to the agency of the data for individual
respondents or the preparation and 3ubmiasion of special tabula-
tions requested by the agency.
(3) Other tyres of sponsorship. When a person or organ-
ization is requested y a!e era agency to collect specific in-
formation to be made available to the agency, the plan or_report
form or the part thereof used to collect this information must be
regarded as sponsored, even though no contract or grant is in-
volved. When a plan or report form is promulgated by a Federal
agency as a standard for use by State or local governmental
agencies, such a plan or report form is deemed to be sponsored,
even though it is not used for reporting to the Federal agency.
In the case of doubt as to whether a plan or report form is spon-
sored, inquiry should be made of the office of Management and
Budget.
2. Clearance requirements.
a. General requirements of clearance. No plan or report
form (whether repetitive or sing e-time) is to be used or pre-
scribed by a Federal agency in the collection or recording of in-
formation from 10 or more persons without first obtaining clear-
ance from the Office of Management and Budget which will be indi-
cated by inscribing thereon the OMB approval number or notation.
Reimbursement of contractors or other persons supplying informa-
tion does not constitute a basis for exemption from any clearance
requirement.
b. Resoonsibillity of agency sponsoring collection of infor-
mation. Whenever a FeWeraa agency sponsors t e use of a p an or
re po t form by contractors, grantees, or other sponsored col-
lectors of information, it will be that agency's responsibility:
(1) To inform the sponsored collector of information of
the requirements of this Attachment;
(2) To insure that the submittal required by paragraph
3a of this Attachment is made; and
(3) To insure that the plan or report form is not used
without prior clearance.
c. Termination of clearance and use. No plan or report form
subject to paragraphs t Tls ATTac ment is to be used after
its expiration date without resubmittal to the office of Manage-
ment and Budget and prior clearance. Moreover, clearance of any
(No. A-40)
Approved For Release 2004/03/11 : CIA-RDP80M00165A002100060014-1
 Approved For Release 2004/03/11 : CIA-RDP80165A002100060014-1
plan or report form subject to paragraph 2a may be withdrawn by
the Office of Management and Budget# in which event the use of
the plan or report form will be discontinued.
3. Request for clearance for new plans and report forms.
a. Agency plans and report forms. Requests for clearance
?hall bee made ~y submitting tangy Form 83, "Clearance Request
and Notice of Action," prepared in accordance with, and
accompanied by additional materials described in Standard Form
$.3a, "Instructions for Requesting OMB approval under the Federal
leports Act," (Standard Forms 83 and 83a may be secured from the
redexal Supply Service, General Services Administration.)
Requests for clearance should be made in time to allow for
adequate review and the adoption of any necessary alteration'
(including coordination or integration with other plans and
report forms) without delaying the operating program to which the
plan or report form relates.
b. Standard and optional forms. Standard and optional forms
which require Office of Management and Budget approval under 44
U.Q.C. 35.19 (i.e., public use forms or those which are the basis
for gtatis?-ical compilations of general public interest) should
he submitted to the National Archives and Records Service of the
General. Services Administration, with copies of both Standard
Form 152, "Request for Clearance and Procurement--Standard and
Optional Forms," and Standard Form 83 (only items 6, 14, 15, and
16 need] he completed on Standard Form 83). The National Archives
ant. Records Service will review the proposed forms and will also
transmit copies to the Office of Management and Budget.
?.. Intera enc reports. Interagency report forms and re-
quirements which require fice of Management and Budget approval
under 44 U.S.C. 3502 (i.e., because the information to be
coliect:ed is to be used for statistical compilations of general
public interest) should be submitted to the National Archives and
Recor s Service of the General Services Administration with
copies of Standard Form 360, "Request for Clearance of an
Interagency Reporting Requirement." The National Archives and
Records Service will review the proposed forms and requirements
and will also transmit copies to the Office of Management and
Budget. (Effective July 1, 1973. See Attachment B.)
4. Consideration of utility and burden. To minimize the re-
porting burden on re spnants andtoto improve governmental eff i-
cienry, each Federal agency will consider and determine, in con-
nection with each plan or report form submitted, whether the pros
POBed elan or report form exceeds the limits of reasonable need
(No. A-40)
Approved For Release 2004/03/11 : CIA-RDP80M00165AO02100060014-1
 Approved For Relea2004/03/11 : CIA-RDP80M00165A000060014-1
or practical utility, either with respect to number of respon-
dents, frequency of collection,' or number and difficulty of th+'
items, and whether all of the items of information to be tur-
nished or recorded are essential to the central purpose of such
plan or report form. Special consideration will bg given to the
burden on individuals,.. small businesses, and other organizations
with limited clerical, financial management, and statistical
staffs. Dollar costs associated with the development and.
processing of a public reporting requirement will be treated as
an internal reporting cost of the requiring agency.
5. Request for clearance for revised bans, and report forms.
Before a materia revas on or c ange is mRsde in an approve 3-pan
or report or in the use thereof, further clearance must be ob-
tained from the Office of Management and Budget in the manner
prescribed in the relevant subparagraph of paragraph 3. A
material revision or change in a plan or report form or the use
thereof, necessitating further clearance, will include (a) any
modification in the kind or amount of information sought, (b) any
change in the type of respondents or the survey coverage, (c) any
change in the timing or frequency of reporting, (d) any other
change in the sample design or collection method, or (e) a change
in the purpose for which the data are collected.
6. Re uest for extension of clearance. if use of a plan or re-
port o beyonued exp~.at:on date is desired, without
material revision or change, the request for an extension of ap-
proval will be made on Standard Form 83 or by such other means as
may be prescribed.
7. Exemptions. The following types of forms and reporting
requirements are exempted from the requirement of approval under
44 U.S.C. 3509:
a. Affidavits, oaths, certifications, notices of change of
address, and forms used for acknowledgment or receipt of articles
or services which require no information other than that neces-
sary to describe the article or service and identify the person
or persons making the acknowledgment or receipt.
b. Forms calling for technical information incident to the
design, production, or operation of contract items, such as
engineering drawings, specifications and standards, parts break-
down lists, catalog items identifications, or descriptions of
physical qualities and characteristics. ("Technical information"
does not include financial, administrative, cost and pricing,
management and management planning data, or other information in-
cidental to contract administration.)
(No. A-40)
Approved For Release 2004/03/11 : CIA-RDP80M00165A002100060014-1
 Approved For Release 2004/03/11 : CIA-RDP80M00165A00210006001,4-1
c. Collection of informa?ion for identification or
classification in connection with laboratory research, and
clinical investigations.
ci. Tests or examination given individuals for the purpose of
determining knowledge, abilities, or aptitudes of the Person
tested, and the collection of information for identification or
classification in connection with such tests.
C. Requests for information in. connection with a particular
proceeding which arise out of judicial and quasi-judicial
actions, such as proceedings before hearing examiners or
administrative law judges. -
f. Those specifically exempted by the Office of Management
and Budget because they do not call for information or
substantial volume or importance.
8. Deviation from terms of clearance. No... deviation is to he
made in the use of any P a or report form from the terms and
conditions on which clearance has been granted.
9. Notice of discontinuance. Whenever the use of a plan or re-
port form for which c earance has been given is to he
discontinued, except by expir_ztion of a time limit fixed by the
office of 14anagement and Budget, the Clearance Officer,
Stati$;tical Policy Division, Office of Management and Budget, i
to be notified by the responsible agency at least 30 days in
advance.
10. Reports. Each Federal agency.will provide the Clearance Of-
ficer such information concerning the status and use of its re-
port forms as may he requested.
11. Exercise of authority.
a. Determination of scope. The determination of the Direc-
tor as to whether any plan, report form, activity, or other mat-
ter is within the scope of the Act or this Circular will he
controlling.
h. toaivers. Any provision of this Circular may be waived in
writing amyhte Director.
C. Delegation of Director's authorit . The authority con-
ferred bye 'TeUera Reps Act ontie Director may be exer-
cised by his designee to the extent necessary or appropriate for
(No. A-U0)
Approved For Release 2004/03/11 : CIA-RDP80M00165A002100060014-1
 ~.` Approved For Releas'2004/03/11 : CIA-RDP80M00165AO02'0060014-1
the performance of any function or duty prescribed by this
12. Relation to existing authority. This Attachment will not be
deeme to limit or preclude exercise of the authority vested in
the office of Management and Budget by Executive Orders- 8248,
10033, 10253, or otherwise, to plan and promote the improvement,
development, and coordination of Federal and other statistical
services.
(No. A-40)
Approved For Release 2004/03/11 : CIA-RDP80M00165AO02100060014-1
 Approved For Release 2Q04/03/11: CIA-RDP80M00l65A0021 0060014-1
I I N%01 AT'
11UMENT B
Gird.clar No. A-40
Revised
Standards for Interagency Reporting Under the Federal Records Act
The General Services Administration shall issue by July It 1973
procedures for clearance: of interagency reporting re i cements in
the Federal Property Management Regulations (P ) These
procedures shall be consistent with the following standards:
1. Clearance. Subject to exemptions and waivers specified in
thisrcu ar, GSA shall approve, modify, or dt.sapprove inter-
agency reporting requirements based on an objective cost effec-
tiveness evaluation. Such action shall be completed
expeditiously, commensurate with the adequacy of the information
supporting the request and the urgency of the need..
2. Waivers. Submission of complete cost.effectiveness justifi-
cation for reporting requirements may be waived when in the
judgement of GSA it would be in the interest of the Government to .
do so. GSA shall normally respond to a request for waiver within
.five working days of receipt.
3. Existing reports. GSA shall approve, modify, or disapprove
by my 1.1 l interagency reporting requirements in exis-
tence on July 1, 1973. This review procedure shall be conducted
in accordance with clearance schedules established by GSA.
4. Interagency public reports. The following interagency re-
port nnggrequirements s a e cleared by both GSA and OMB. Such
requirements shall be submitted to GSA with copies of Standard
Form 360. After completion of its review, GSA will forward
clearance requests to O; for requirements that:
a. Form the basis for statistics of general public interest
(See Attachment A.) ; or
b. Necessitate collection of information from the public by
responding agencies. (The agency sponsoring the interagency
report will also clear'with OMB any forms needed to collect data
from the public.)
5. Standard documentation. A standard documentation system
shal escri. aecl which includes the rrocedures for requestinrr
1137
clearances or waivers, and a standard method of clearance or
waiver identification and expiration date assignment.
(NoL.. A-40)
Approved For Release 2004/03/11 : CIA-RDP'80M00165A002100060014-1
 Approved For Release 2004/03/11 : CIA-RDP80M00165AO0210006001=4-1
6. Sam lid. GSA shall determine what sampling of potential re-
gpon ng agencies is necessary to provide an adequate appraisal
of the workload and cost of a proposed reporting requirement.
Such sampling will ordinarily be conducted by the agency initiat-
ing the request for clearance.
7. Inventory. A central inventory shall be maintained by the
GSA cif a requirements that have obtained clearance approval. -
8. Appeals. The head of any responding department or agency may
question a requirem ent at any time prior to or after clearaance.
Such questions shall be resolved through agreement between the
requiring and responding agencies, or by resolution by Gi 3 after
recommendation by GSA.
9. GSA assistance. Departments and agencies shall request as-
sistance rom`t o in defining and assessing reporting needs asso-r
ciated with the initiation of new programs and major policy
changes. Such requests shall be made at the earliest practical
opportunity in the planning for new programs and major policy
changes.
(No. A-40)
Approved For Release 2004/03/11 CIA-RDP80M00165AO02100060014-1
 UNCLASSIFiI -~'~71NF;CrENTIAI SECPIT
Approved FczrR&ease 2004103111 CfA - tJP'80MOU965A(112100060014-1
EXECUTIVE SECRETARIAT
Routing Slip
DDI
DDA
DDO
SUSPENSE
iV, ed For .Haase 20
-CIA-RDP88,
v "p014-1