Steps in the ICR Process Fact Sheet.docx

The Information Collection Request (ICR) Submission and Approval Process As mandated by the Paperwork Reduction Act (PRA)[footnoteRef:2], all ED offices must complete an ICR and receive approval from the Office of Management and Budget (OMB) to collect data from ten or more persons through identical questions or identical reporting, recordkeeping, or disclosure requirements within the same 12-month period. ICR submission forms and the Guide to the ICR Process can be found on ConnectED under Resources > : Information Collection. [2: Paperwork Reduction Act of 1995, Public Law 104–13, Chapter 35 of title 44, United States Code]

The ICR process takes up to nine months from beginning to end:Information Collection Request (ICR) is initiated ~60 days before the ICR begins ~90 days before the ICR begins ~180 days before the ICR begins

Before collection begins Statue, regulation or Executive Order creates the need for an ICR

The 150+ day clearance process begins

OMB evaluates ICR and issues a Notice of Action (NOA) Program office develops package SCC validates ICR; 30-day public comment period initiated SCC Portfolio Manager evaluates collection request during 60-day public comment period

The typical “regular” ICR submission and approval process includes the following:

· ICR developer drafts and compiles the required forms, Supporting Statement(s) and the instruments with the PRA burden statement for the complete ICR and submission. Note: for high-priority items[footnoteRef:3], please notify the Strategic Collections and Clearance (SCC) team of the pending ICR and the associated timeline as soon as possible. [3: High Priority items include White House or Secretary of Education driven or Pandemic ICRs]

· The POC obtains internal comments from ED stakeholders[footnoteRef:4] to consider in development and for the final ICR. [4: POCs may consult with the SCC regarding requests for internal comments]

· The ICR developer sends the ICR via ICRAS to the POC’s Information Clearance Coordinator (ICC), who officially submits the ICR to the SCC team.

· The POC includes a signed certification form. All ICRs must include a certification form signed by the POC official (e.g. Assistant Secretary or designee) indicating that the ICR is complete, meets all PRA requirements, and is ready for public view.

Internal ICR Review Process The POC obtains internal reviews from key stakeholders (e.g. Office of Program Evaluation and Policy Development (OPEPD), the Office of General Counsel (OGC) and Budget Service) and any other relevant offices:

· The POC collaborates with the SCC at the developmental stage to avoid delays.

· The POC follows their internal process for office approval for ICR and certification sign-off.

· Once the ICR is officially submitted to SCC via ICRAS, the SCC forwards the finalized ICR internally to OPEPD offices (OCDO, GPO, OET), Budget Service, and OGC if applicable, for review and comment at the same time of first public comment period notice. ICRs related to discretionary grants or emergency ICRs are shared with internal offices prior to the official SCC submittal and immediately upon SCC submittal, as necessary.

· The POC addresses internal comments as necessary.

The POC may consult the SCC for assistance with internal reviews prior to the official ICR submittal.

· The SCC initially performs a quick cursory review of the ICR to verify its completeness and to initiate the 60-day comment period notice.

· The SCC submits the 60-day comment period notice to the Office of the Federal Register for publication which takes approximately 4 days to publish.

· The SCC reviews ICR during the 60-day comment period.

· The SCC forwards any internal and public comments or questions to the ICC and ICR developer.

· The SCC provides the ICC and ICR developer with SCC comments after a thorough review of the ICR prior to the close of the 60-day comment period.

· The POC addresses all ED comments on the ICR if applicable.

· The POC responds to 60-day public comments and provides SCC with a Response Summary document to be included with the ICR if applicable.

· The POC provides SCC with finalized revisions of the ICR as necessary.

· The SCC submits the 30-day comment period notice to the Office of the Federal Register for publication which takes approximately 4 days to publish.

· OMB reviews the ICR after the 30-day comment period has expired. OMB has an additional 30 days for review.

· The POC responds to 30-day public comments and submits their response to SCC to include with OMB record prior to OMB’s approval of the ICR.

· OMB provides comments/passback to ED, which can revise the ICR.

· OMB issues a Notice of Action (NOA) approving the ICR with a valid OMB control number and expiration date.

· OMB provides Terms of Clearance within NOA if applicable.

· The SCC disseminates NOA to POC.

· The POC reads the NOA thoroughly for accuracy. If there are any discrepancies or disagreement with OMB’s “Terms of Clearance,” then the POC should contact the SCC immediately. Any issues should be addressed and resolved within two weeks of the conclusion date on the NOA.

· The POC addresses the Terms of Clearance” by the next ICR renewal or by OMB’s specified deadline.

· The POC updates the instrument(s) with the OMB control number and expiration date.

· The POC can begin collection of the data.

OPEPD/OCDO/SCC Rev. Mar 2021 2