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U.S. Department of Energy				ORDER
	  Washington, D.C.				DOE O 200.2

							Approved: 10-11-06

SUBJECT: INFORMATION COLLECTION MANAGEMENT PROGRAM

1.	OBJECTIVE. To set forth Department of Energy (DOE) requirements 
	and responsibilities for implementing the information collection
	management provisions of the Paperwork Reduction Act (PRA)
	of 1995 and the Office of Management and Budget’s (OMB’s)
	implementing regulation Controlling Paperwork Burdens on the
	Public, as contained in Title 5 Code of Federal Regulations
	(CFR), Part 1320.
	
2.	CANCELLATION. None.
	
3.	APPLICABILITY. 

	a.	DOE Elements. Except for the exclusions in paragraph 
		3c, this Order applies to Departmental elements.  (Go to
		http://www.directives.doe.gov/pdfs/reftools/org-
		list.pdf for the most current listing of Departmental
		elements.  This list automatically includes
		Departmental elements created after the Order is
		issued.)
		
		The Administrator of the National Nuclear Security
		Administration (NNSA) will assure that NNSA employees
		and contractors comply with their respective
		responsibilities under this directive.  Nothing in this
		Order will be construed to interfere with the NNSA
		Administrator’s authority under section 3212(d) of
		Public Law. (P.L.) 106-65, National Nuclear Security
		Administration Act (Title 32), to establish
		Administration-specific policies, unless disapproved by
		the Secretary.
		
	b.	DOE Contractors. This Order does not apply to contractors.

	c.	Exclusions. This Order does not apply to collections of 
		information that are made during the conduct of intelligence 
		activities as defined in section 3.4(e) of Executive Order No.
		12333, issued December 4, 1981, or successor orders, or
		during the conduct of cryptologic activities that are
		communications security activities.
		
4.	REQUIREMENTS. obtain approval from OMB before undertaking 
	a collection of information directed to 10 or more persons 
	(includingoperations of Government-owned, contractor-operated
	facilities).  Under the PRA, OMB approval for each
	information collection instrument can last a maximum of 
	3 years.  The following requirements must be met by each
	Departmental element to ensure implementation of an
	information collection program that meets the objectives of
	this Order.  See Attachment 1 for a definition and examples
	of information collection.
	
	a.	Obtain OMB approval before collecting information as defined
		in 5 CFR 1320.
		
	b.	Ensure that the information collected is the minimum amount
		necessary for the proper performance of DOE and its missions,
		does not duplicate information available elsewhere 
		unnecessarily, and maximizes the usefulness of information.
		
	c.	Minimize the burden of the collection of information on
		those who are to respond, including through the use of
		appropriate automated, electronic, mechanical, or other
		technological collection techniques or other forms of information
		technology (e.g., permitting electronic submission of responses).

	d.	Evaluate information collection activities on an ongoing
		basis, at a minimum annually, to determine where the number of
		respondents/responses and burden hours can be reduced or
		eliminated (e.g., by collecting information less frequently,
		consolidating report instruments, or eliminating the collection
		in its entirety).

	e.	Coordinate with the Office of the Chief Information Officer
		(OCIO) to develop and submit input for DOE’s comprehensive 
		report in response to OMB’s Annual Data Call for the Information
		Collection Budget (ICB).

5.	RESPONSIBILITIES.

	a.	DOE Chief Information Officer, through the Departmental
		Records Officer.

		(1)	Develops and administers DOE policies and directives 
			related to the requirements of the Information 
			Collection Management Program.
			
		(2)	Provides overall leadership and management of the 
			DOE Information Collection Management Program  
			as required by Federal laws, Executive orders, regulations,  
			DOE directives, and Departmentally-established 
			or -accepted standards.
		
		(3)	Provides consultative services concerning the 
			management  and implementation of the Information 
			Collection  Management Program, as needed, 
			including assistance  to process unplanned and  
			emergency information collection requests.

		(4)	Serves as the DOE liaison with DOE elements, OMB, 
			other Federal agencies, and the public sector for issues 
			concerning day-to-day communications and operations 
			related to the information collection management program.

		(5)	Serves as the DOE Paperwork Reduction Act Clearance 
			Officer, and coordinates, reviews, and finalizes input 
			from DOE elements to prepare the annual information 
			collection budget submission to OMB and other special 
			initiatives as determined by OMB.

	b.	Administrator, Energy Information Administration.

		(1)	Manage and implement an information collection 
			management program for energy and statistical information 
			collections.
			
		(2)	Provide to the (OCIO) on an annual basis input in accordance
			with OMB’s Information Collection Budget Bulletin.

	c.	Heads of DOE Elements.

		(1)	Establish, implement, and sustain information collection
			management programs within their respective organizations to
			ensure that all information collections subject to Paperwork
			Reduction Act requirements are formally submitted to OCIO for
			review and are approved by OMB before initiating the collection
			instrument, record keeping requirement, and/or third-party
			disclosure of information in accordance with the requirements of
			all Federal laws and regulations, DOE directives, and accepted
			external standards and authoritative issuances.
			
		(2)	Provide resources to support information collection
			management programs within their respective organizations, and
			appoint senior-level Information Collection Clearance Managers
			(ICCMs) having policy oversight and signature authority for
			Headquarters and program field site information collections under
			their cognizance.  The ICCM will approve information collection
			requests before they are submitted to OCIO for review and formal
			submission to OMB and will serve as the program liaison with the
			DOE Paperwork Reduction Act Clearance Officer.
		
		(3)	Provide names and contact information for the designated
			ICCMs to the DOE Paperwork Reduction Act Clearance Officer.
		
		(4)	Maintain documentation of actions related to information
			collection management activities in accordance with Federal laws,
			regulations, and DOE directives governing recordkeeping
			requirements.

	d.	Information Collection Clearance Managers. ICCMs are responsible 
		for the following program activities supporting the DOE Information 
		Collection Management Program.
		
		(1)	Coordinate information collection management programs within
			their respective organizations to ensure compliance with this
			Order.
			
		(2)	Conduct only information collections that have been reviewed
			by OCIO and approved by OMB.  Typically, based on empirical data,
			the OCIO review will require approximately two weeks.
			
		(3)	Identify, review, and submit to OCIO information collections
			sponsored by their respective organizations.  Reviews conducted
			by ICCM’s must meet the requirements of 5 CFR 1320.
			
		(4)	Ensure that information collection requests to be submitted
			to OCIO (for formal submission to OMB) include:
		
			(a)	a completed OMB 83-I, Paperwork Reduction Act Submission,
				signed by ICCM (in block 19) to certify that the information
				collections covered by this request comply with 5 CFR 1320;
				
			(b)	an OMB 83-I Supporting Statement;
				
			(c)	the instruments used to collect information and any
				associated manuals, guides, letters, or instructions sent to or
				used by the public;

			(d)	the published Federal Register Notices, any public comments
				received, and DOE’s response to the comments; and

			(e)	copies of the relevant statutes and regulations.
	
		(5)	Approve information collection requests before they are
			submitted to OCIO for review and formal submission to OMB.
			
		(6)	Serve as the program liaison with the DOE Paperwork
			Reduction Act Clearance Officer.
		
		(7)	Assess information collection management activities and
			methods to streamline or reduce information collection burden
			hours.
		
		(8)	Create, maintain, and preserve information collection
			management and information collection budget records in
			accordance with DOE Records Schedules.

		(9)	Provide input to the DOE Paperwork Reduction Act Clearance
			Officer concerning initiatives to reduce or streamline
			information collection activities as required for the annual
			information collection budget submission to OMB.

	e.	Office of General Counsel.

		(1)	Notify the DOE Paperwork Reduction Act Clearance Officer
			concerning proposed and revised rulemakings to ensure PRA
			requirements are being met.			
		
		(2)	Coordinate and approve the DOE Federal Register Notices and
			reviews all notices for legal requirements before publication in
			the Federal Register.
			
6.	DEFINITIONS. See Attachment 1.  Also, reference the Paperwork Reduction Act
	of 1995 and Title 5, Code of Federal Regulations, Part 1320.
	
7.	REFERENCES. The references listed below provide additional clarifications
	and/or requirements for the DOE Information Collection
	Management Program.
	
	a.	Controlling Paperwork Burdens on the Public (Title 5 CFR,
		Part 1320).
		
	b.	P.L. 104-106, Information Technology Management Reform Act
		of 1996, Division E).

	c.	Nara-approved DOE administrative, programmatic, and site-
		specific records disposition schedules.
		
	d.	P.L. 106-65, National Nuclear Security Administration Act
		(Title 32), as amended.

	e.	P.L. 104-13, Paperwork Reduction Act (44 U.S.C. Chapter 35).

	f.	P.L. 93-579, Privacy Act (5 U.S.C. 552a).

	g.	Records management section of the DOE Chief Information
		Officer Web site
		(http://cio.doe.gov/RBManagement/Records/records.html).

8.	CONTACT. Questions concerning this Order should be addressed to the
	Office of the Chief Information Officer, Records Management
	Division, at 301-903-8673.
	
BY ORDER OF THE SECRETARY OF ENERGY:

				CLAY SELL
				Deputy Secretary
	

		DEFINITIONS
						  
Collection of Information.  The PRA defines the collection of
information as the obtaining, causing to be obtained, soliciting,
or requiring the disclosure to third parties or the public, of
facts or opinions by or for an agency, regardless of form or
format, calling for either; (1)  answers to identical questions
posed to, or identical reporting or recordkeeping requirements
imposed on, ten or more persons, other than agencies,
instrumentalities (part of the Federal Government created by
Congress through legislation), or employees of the United States;
or (2)  answers to questions posed to agencies, instrumentalities
(part of the Federal Government created by Congress through
legislation), or employees of the United States which are to be
used for general statistical purposes.

Title 5 CFR 1320.3, further defines collection of information, as
obtaining, causing to be obtained, soliciting or requiring a
disclosure to an agency, third parties or the public information
described above, in any format. Typical information includes
financial loan applications, job applications, questionnaires,
compliance reports, and business records, which are not required
under a Federal procurement contract.  Information pursuant to
Federal procurement contracts are generally required and
submitted on forms that have been approved by OMB.  The Federal
Acquisition Regulations (FAR) requiring information under the PRA
are listed in FAR 1.106.

Except as provided in §1320.4, collection of information means
the obtaining, causing to be obtained, soliciting, or requiring
the disclosure to an agency, third parties or the public of
information by or for an agency by means of identical questions
posed to, or identical reporting, recordkeeping, or disclosure
requirements imposed on, ten or more persons, whether such
collection of information is mandatory, voluntary, or required to
obtain or retain a benefit. Collection of information includes
any requirement or request for persons to obtain, maintain,
retain, report, or publicly disclose information. As used in this
Part, collection of information refers to the act of collecting
or disclosing information, to the information to be collected or
disclosed, to a plan and/or an instrument calling for the
collection or disclosure of information, or any of these, as
appropriate.

A collection of information may be in any form or format,
including the use of report forms; application forms; schedules;
questionnaires; surveys; reporting or recordkeeping requirements;
contracts; agreements; policy statements; plans; rules or
regulations; planning requirements; circulars; directives;
instructions; bulletins; requests for proposal or other
procurement requirements; interview guides; oral communications;
posting, notification, labeling, or similar disclosure
requirements; telegraphic or telephonic requests; automated,
electronic, mechanical, or other technological collection
techniques; standard questionnaires used to monitor compliance
with agency requirements; or any other techniques or
technological methods used to monitor compliance with agency
requirements. A collection of information either implicitly or
explicitly may include related collection of information
requirements.

Requirements by an agency for 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 disclosure requirements constitute the
collection of information whenever the same requirement to obtain
or compile information would be a collection of information if
the information were directly provided to the agency. The public
disclosure of information the Federal government originally
supplied to the recipient for the purpose of disclosure to the
public is not included within this definition.

DOE Paperwork Reduction Act Clearance Officer.  The authorized
representative responsible for certifying compliance with
requirements of 5 CFR 1320 and any other applicable information
policy directives.  The DOE Paperwork Reduction Act Clearance
Officer is also the liaison between the Office of Management and
Budget and Departmental elements.

Information Collection Clearance Managers.  Persons responsible
for reviewing, analyzing, and clearing information collections
for their respective operating units before submitting them to
the DOE Paperwork Reduction Act Clearance Officer.

Normal Business Record Exclusion.  The time, effort, and
financial resources necessary to comply with a collection of
information that would be incurred by persons in the normal
course of their activities (e.g., in compiling and maintaining
business records) will be excluded from the burden if the agency
demonstrates that the reporting, recordkeeping, or disclosure
activities needed to comply are usual and customary.

OMB-83-I, Paperwork Reduction Act Submission.  Office of
Management and Budget (OMB) form used (1) to request OMB review
of a regulation under Executive Order 12291 and (2) to request
OMB approval of collections of information, recordkeeping
requirements, and third-party disclosures under the Paperwork
Reduction Act and 5 CFR 1320.  (DOE O 200.2 covers only requests
for OMB approval of collections of information, recordkeeping
requirements, and third-party disclosures.)

Person.  Means an individual, partnership, association,
corporation (including operations of government-owned contractor-
operated facilities), business trust, or legal representative, an
organized group of individuals, a State, territorial, tribal, or
local government or branch thereof, or a political subdivision of
a State, territory, tribal, or local government.

Ten or more persons refers to the persons to whom a collection of
information is addressed by the agency within any 12-month
period, and to any independent entities to which the initial
addressee may reasonably be expected to transmit the collection
of information during that period, including independent State,
territorial, tribal or local entities and separately incorporated
subsidiaries or affiliates. For the purposes of this definition
of ten or more persons, persons does not include employees of the
respondent acting within the scope of their employment,
contractors engaged by a respondent for the purpose of complying
with the collection of information, or current employees of the
Federal government (including military reservists and members of
the National Guard while on active duty) when acting within the
scope of their employment, but it does include retired and other
former Federal employees.  Any collection of information
addressed to all or a substantial majority of an industry is
presumed to involve ten or more persons.