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Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
3245-0416
ICR Reference No:
202106-3245-003
Status:
Historical Active
Previous ICR Reference No:
202012-3245-001
Agency/Subagency:
SBA
Agency Tracking No:
Title:
Paycheck Protection Program Affiliation Worksheet
Type of Information Collection:
Revision of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Emergency
Approval Requested By:
07/05/2021
OIRA Conclusion Action:
Approved with change
Conclusion Date:
07/15/2021
Retrieve Notice of Action (NOA)
Date Received in OIRA:
06/28/2021
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
01/31/2022
6 Months From Approved
07/31/2021
Responses
37,500
0
16,500
Time Burden (Hours)
37,500
0
16,500
Cost Burden (Dollars)
949,500
0
445,500
Abstract:
During SBA’s review of loans made under the Paycheck Protection Program, SBA will collect information from those Borrowers that have known Affiliates or believed to have Affiliates as defined in 13 CFR 121.301(f). SBA will use the information to review the borrowers' eligibility certifications and compliance with SBA's size and affiliation requirements.
Emergency Justfication:
June 24, 2021 Susan Minson SBA Desk Officer Office of Management and Budget Dear Ms. Minson: Pursuant to the Office of Management and Budget (OMB) procedures established at 5 CFR 1320, SBA requests that OMB review of revisions to the collection of information titled, Paycheck Protection Program Affiliation Worksheet, OMB Control No. 3245-0416, be processed in accordance with section 1320.13, Emergency Processing. These revisions are necessary to incorporate statutory amendments made by the Economic Aid Act and the American Rescue Plan Act and include adding two additional affiliation waivers to the table in Part B, Section I for eligible news organizations and internet-only publishing organizations and adding a note to that section stating that the same affiliation waivers apply to First Draw and Second Draw PPP loans. SBA also added language to Section II stating that only the employee-based size standard is applicable to Second Draw PPP loans, and added a note setting forth the applicable size standards for Second Draw PPP Loans. SBA revised the note explaining the size standards applicable to First Draw PPP loans. SBA added language to notes 9 through 12, which explain the bases of affiliation, to provide guidance to assist nonprofit organizations in applying the affiliation rules. SBA has determined that the revisions are necessary prior to the expiration of time periods established under Part 1320 to complete the OMB review process. SBA is in the process of conducting loan reviews; this updated information is essential to the SBA’s ability to evaluate the eligibility of Borrowers with affiliates, as defined in SBA’s regulations at 13 CFR 121.301(f). The purpose of this Affiliation Worksheet is to collect information from a borrower that answered “YES” to Question 3 on its Paycheck Protection Program (PPP) Loan Application or a borrower for which information available to the Small Business Administration (SBA) indicates that the borrower may have affiliates. SBA requires this additional information regarding the size of the borrower and its affiliates to evaluate the borrower’s certification on its PPP Loan Application that it was eligible to receive a PPP loan under the SBA’s rules in effect at the time the application was submitted. In light of the ongoing need to conduct loan reviews of PPP loans, approval of this revised information collection without having to go through the standard Paperwork Reduction Act review procedures will help to ensure that Borrowers have the updated guidance to assist them in applying the affiliation rules. The new information will also enhance the integrity of the PPP and improve SBA’s oversight and monitoring responsibilities. Sincerely, Jihoon Kim Director, Office of Financial Program Operations
Authorizing Statute(s):
None
Citations for New Statutory Requirements:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
Not associated with rulemaking
Federal Register Notices & Comments
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
1
IC Title
Form No.
Form Name
Paycheck Protection Program_Affiliation Worksheet
SBA Form 3511
PPP Affiliation Worksheet
ICR Summary of Burden
Total Approved
Previously Approved
Change Due to New Statute
Change Due to Agency Discretion
Change Due to Adjustment in Estimate
Change Due to Potential Violation of the PRA
Annual Number of Responses
37,500
16,500
0
21,000
0
0
Annual Time Burden (Hours)
37,500
16,500
0
21,000
0
0
Annual Cost Burden (Dollars)
949,500
445,500
0
504,000
0
0
Burden increases because of Program Change due to Agency Discretion:
Yes
Burden Increase Due to:
Miscellaneous Actions
Burden decreases because of Program Change due to Agency Discretion:
No
Burden Reduction Due to:
Short Statement:
The total burden hours have increased. This is because SBA received additional program authority to make new PPP loans after the information collection was approved in December 2020 and SBA has guaranteed approximately 6 million additional PPP loans since that date.
Annual Cost to Federal Government:
$422,000
Does this IC contain surveys, censuses, or employ statistical methods?
No
Does this ICR request any personally identifiable information (see
OMB Circular No. A-130
for an explanation of this term)? Please consult with your agency's privacy program when making this determination.
No
Does this ICR include a form that requires a Privacy Act Statement (see
5 U.S.C. §552a(e)(3)
)? Please consult with your agency's privacy program when making this determination.
Yes
Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]?
Yes
Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?
No
Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)?
No
Is this ICR related to the Pandemic Response?
No
Agency Contact:
Adrienne Grierson 202 205-6573 adrienne.grierson@sba.gov
Common Form ICR:
No
On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
(a) It is necessary for the proper performance of agency functions;
(b) It avoids unnecessary duplication;
(c) It reduces burden on small entities;
(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;
(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
(f) It indicates the retention periods for recordkeeping requirements;
(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:
(i) Why the information is being collected;
(ii) Use of information;
(iii) Burden estimate;
(iv) Nature of response (voluntary, required for a benefit, or mandatory);
(v) Nature and extent of confidentiality; and
(vi) Need to display currently valid OMB control number;
(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.
(i) It uses effective and efficient statistical survey methodology (if applicable); and
(j) It makes appropriate use of information technology.
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
Certification Date:
06/28/2021