Agency Retrospective Review Plan Report—July 2014—USDA E.O 13563 - Improving Regulation and Regulatory Review Agency/Sub-agency USDA – Food Safety Food Safety & Inspection Service (FSIS) RIN/OMB Control No. 0583-AD39 Title of Initiative/Rule/ICR Electronic Import Inspection and Certification of Imported Products and Foreign Establishments Brief Description This rule will amend import inspection regulations to provide for the electronic transmittal of foreign establishment certificates and foreign inspection certificates. FSIS will also propose to amend its regulations to give importers the option of submitting electronic import inspection applications through Customs and Border Protection’s (CBP) Automated Commercial Environment (ACE), using the International Trade Data System (ITDS) PGA Message Set. Actual or Target Completion Date Final rule to publish by 9/2014. Anticipated savings in costs and /or information collection burdens The final rule, in conjunction with the Public Health Information System, will reduce the information collection burden on importers by approximately 10,000 hours. The electronic import system will also facilitate the import product foreign inspection and annual foreign establishment certifications by providing immediate and direct electronic government-to- government exchange of information; as well as exchange of information with the Customs and Border Protection system. The new business practice may be operational as early as April 2012, and the regulations will codify the changes. Progress updates and anticipated accomplishments The final rule is under development and expected to publish by September 2014. Agency/Sub-agency FSIS RIN/OMB Control No. 0583-AD41 Title of Initiative/Rule/ICR Electronic Export Application and Certification Fee Brief Description The electronic export application and certification system will be a component of the Agency's Public Health Information System (PHIS). The export component of PHIS will be available as an alternative to the paper-based application and certification process, and will have the ability to interface and facilitate exchange of data with Customs and Border Protection’s Automated Commercial Environment (ACE). Actual or Target Completion Date Final rule to publish by 5/2015. Anticipated savings in costs and /or information collection burdens The final rule is expected to reduce the information collection burden. Actual amount TBD. When an electronic government-to-government system interface or data exchange is used, fraudulent transactions’, such as false alterations and reproductions will be significantly reduced, if not eliminated. Moreover, the workload of the inspection personal is reduced through the elimination of physical handling and processing of applications and certificates, reducing a two-step process to one step. Progress updates and anticipated accomplishments The final rule is under development and expected to publish by May 2015. Agency/Sub-agency FSIS RIN/OMB Control No. 0583-AC59 Title of Initiative/Rule/ICR Prior Labeling Approval System: Generic Label Approval Brief Description This rulemaking will continue an effort initiated several years ago by amending FSIS' regulations to expand the types of labeling that are generically approved. Actual or Target Completion Date The rulemaking has been completed. Anticipated savings in costs and /or information collection burdens The final rule is expected to reduce the information collection burden hours on industry by 34,971. The proposed rule would be beneficial because it would streamline the generic labeling process, while imposing no additional cost burden on establishments. Consumers would benefit because industry would have the ability to introduce products to the marketplace more quickly. Moreover, the change would make better use of FSIS resources because it would reduce the number of labels required to be reviewed by the Agency. Progress updates and anticipated accomplishments The final rule was published on November 7, 2013. This rule is effective January 6, 2014. Agency/Sub-agency FSIS RIN/OMB Control No. 0583-AD32 Title of Initiative/Rule/ICR Modernization of Poultry Slaughter inspection Brief Description This rule will modernize young chicken and turkey slaughter inspection in the United States by focusing FSIS inspection resources on the areas of the poultry production system that pose the greatest risk to food safety. The new inspection system will shift the responsibility for detecting visible carcass defects from FSIS inspectors to plant employees. FSIS will continue to conduct an on- line carcass-by-carcass inspection, but FSIS inspectors will be located further down the production line, where they will be presented with carcasses that have fewer defects to inspect. Actual or Target Completion Date Final rule to publish by 9/2014 with an effective date 60 days after the publication date. Full implementation may take up to two years in plants that opt in. Anticipated savings in costs and /or information collection burdens The final rule will reduce costs by making better use of the Agency’s inspection resources and improving the effectiveness of inspection systems. It is also expected to reduce the risk of foodborne illness in the United States and remove unnecessary barriers to innovation. The final rule will provide the framework for action to provide public health- based inspection in all establishments that slaughter amenable poultry species. Progress updates and anticipated accomplishments The final rule was submitted to the OMB for review on July 10, 2014. Agency/Sub-agency USDA – National Resources and Environment Forest Service(FS) RIN/OMB Control No. 0596-AD01 Title of Initiative/Rule/ICR National Environmental Policy Act Efficiencies Brief Description The Forest Service is proposing to develop and provide notice and comment on the addition of new categorical exclusions (CEs) to its NEPA Regulations. These CEs, designed to expedite landscape restoration activities on National Forests, Grasslands, and Prairies, will supplement existing Agency categorical exclusions found in 36 CFR part 220.6. Actual or Target Completion Date The rulemaking has been completed. Anticipated savings in costs and /or information collection burdens Categorical exclusions will reduce cost and time commitment burden on the Agency without reducing environmental protection. Progress updates and anticipated accomplishments The final rule was published on September 12, 2013. Agency/Sub-agency USDA – Rural Development Rural Business Services (RBS) RIN/OMB Control No. 0570-AA76 0570-0050 0570-0061 0570-0059 Title of Initiative/Rule/ICR Rural Energy America Program Brief Description The rule proposes to change the RES and EEI grant application requirements to reduce burden and streamline the application process by requesting documentation for a complete application based on total project costs. Actual or Target Completion Date Final Rule to publish by 10/2014. Anticipated savings in costs and /or information collection burdens The final rule is expected to reduce the information collection burden. Notably, an estimated 20 percent reduction in the number of hours it takes to complete a technical report for those applications for projects with total project costs (TPC) of more than $80,000 to $200,000; the elimination of a technical report for those applications for projects with TPC of $80,000 or less; and a 50 percent reduction in the number of hours it takes to complete the narrative portion of an application. Progress updates and anticipated accomplishments The final rule was submitted to OMB for review on June 19, 2014, and is expected to publish by October 2014. Agency/Sub-agency RBS RIN/OMB Control No. 0570–AA85 Title of Initiative/Rule/ICR Business and Industry Loan Guaranteed Program Brief Description The proposed rule will alter the way RBS services the loan guarantees making the program operate at a lower cost. Actual or Target Completion Date Final rule to be published by 8/2015. Anticipated savings in costs and /or information collection burdens Estimated reduction in Burden up to 2,000 hours. Progress updates and anticipated accomplishments The proposed rule was submitted to OMB for review on March 26, 2014, and is expected to publish by August 2014. Agency/Sub-agency Rural Housing Service RIN/OMB Control No. 0575-AC91 Title of Initiative/Rule/ICR Community Facilities Loan and Grants Brief Description Update program operation in an effort to consolidate, streamline, and simplify existing processes. Actual or Target Completion Date Final Rule to publish in December 2015. Anticipated savings in costs and /or information collection burdens The agency is aligning its application requirements with the lending industry. As such, approximately 90 applicants each year would not be required to provide an examination opinion, which averages about $45,000 each. Hence, this change will save the public approximately $4 million a year. Progress updates and anticipated accomplishments The proposed rule is under development and is expected to publish by September 2014. Agency/Sub-agency USDA – Farm and Foreign Agricultural Services Farm Service Agency and Risk Management Agency RIN/OMB Control No. 0563-0084 Title of Initiative/Rule/ICR Acreage and Crop Reporting Streamlining Initiative Brief Description To improve and streamline the existing information collection activities currently approved by OMB by eliminating or minimizing the duplication of information collected by each of the agencies Actual or Target Completion Date Implementation is to be conducted in phases with the first phase occurring in selected counties in Kansas. Anticipated savings in costs and /or information collection burdens The final rule is expected to reduce the information collection burden. Actual amount TBD. Progress updates and anticipated accomplishments OMB cleared the information collection on March 23, 2012. For the 2014 crop year, the following USDA-wide changes have been or are in the process of being implemented: location identifiers aligned to ANSI standards; consolidation of acreage reporting dates; data governance process to maintain common data standards over time; the first phase of consolidated entity types, and the common USDA commodity table are in place; RMA is in year 4 of a 5-year phased implementation plan for AIP acreage reporting by Common Land Unit to be consistent with FSA; and the ACRSI project is on track to meet the Farm Bill requirement to demonstrate substantial progress towards the development of a streamlined acreage reporting process for producers participating in USDA programs by September 30, 2014, which includes: completion of data element profiling, implementation of a comprehensive governance process, reaching decision on the approach to uniquely identify customers across USDA, and having initiated requirements building for the approved process improvements. Still underway is work to: accomplish the Farm Bill objective to develop and implement streamlined acreage reporting processes to provide the option of electronic or conventional one-stop acreage reporting for producers participating in USDA programs by September 30, 2015; accomplish the Farm Bill objective of better data sharing capabilities between agenciesand tothe producer; to complete the consolidation ofthe remain ingentity types that require regulatory changes; to fully incorporate the common USDA commodity table into agency processesand systems; to achieve goals for acreage reporting by Common Land Unit; and to implement common production data elements and common production evidence standards. Ongoing activity involves continuous Agency requests to add/edit new crops/intendeduses to the CVT /crop table and maintenance of consolidated Acreage Reporting dates. Agency/Sub-agency USDA–Marketing and Regulatory Programs Animal Plant Health & Inspection Service (APHIS) RIN/OMB Control No. 0579-0007, 0579-0047, 0579-0070/0137, 0579-0101, 0579-0127, 0579-0137, 0579-0146, 0579-0148, 0579-0185, 0579-0189, 0579-0192, 0579-0324, 0579-0338, 0579-0367 Title of Initiative/Rule/ICR Certification, Accreditation, Registration, Permits, and other Licenses (CARPOL) Brief Description APHIS is creating a new electronic system to consolidate its certification, accreditation, permit, and license functions.The e-File application will integrate legacy systems and processes that are currently not electronic.The CARPOL system will streamline all certification, accreditation, registration, permitting, and other license processes across APHIS and will communicate with other systems. Actual or Target Completion Date The Target Completion Date of the initial process delivery date is 12/2016; however, this will be an ongoing initiative. Anticipated savings in costs and /or information collection burdens APHIS anticipates both savings in cost and information collection burdens for APHIS and the public. The affected publics would be State,Local, and Tribal Governments;Businesses and Other For- Profits (small entities included); Not-for-Profits; Farms; Individuals and Households; and Foreign Federal Governments. Progress updates and anticipated accomplishments The Assessment of business practices will be an ongoing initiative to incorporate certifications, accreditations and other license processes. The Target Completion Date for completion of the permitting phase of the Assessment of business practices is 09/30/2014. APHIS continues to do the preparatory work associated with this initiative, but does not expect to solicit proposals this fiscal year. The Target date for the contract award for the solution vendor is 09/2014. Agency USDA Sub-Agency FSIS Title Generic Label Approval Description of the Initiative This initiative would streamline the generic labeling process for meat and poultry by expanding the types of labeling that are generically approved. Hours of paperwork/reporting eliminated 34,971 Notes Cost savings of $8.7 million over 10 years Estimated effective date of the change The final rule was published on November 7, 2013. This rule is effective January 6, 2014. Agency USDA Sub-Agency FNS Title Direct Certification for School Meals Description of the Initiative Under the direct certification process, a local educational agency obtains documentation of a child’s receipt of SNAP benefits from the State or local program office. By eliminating the need for paper applications for many low- income families, direct certification helps to substantially reduce paperwork burden and simplify program access for participants. Hours of paperwork/reporting eliminated 113,000 Notes Not identified Estimated effective date of the change Already in effect. Agency USDA Sub-Agency APHIS Title Forms for Declaration Mandated by 2008 Farm Bill Description of the Initiative The Lacey Act amendments included in the 2008 Farm Bill require the declaration of imported plant and plant products. APHIS, in cooperation with other Federal entities, has implemented a number of initiatives to reduce the burden on importers. APHIS, in cooperation with other Federal entities, has been developing an electronic entry system and solicited public comment on regulatory options on several issues, including a de minimis exemption for the declaration requirement. Hours of paperwork/reporting eliminated Electronic entry system (known as Lacey Act Web Governance System or LAWGS): It is estimated that some time would be saved due to importers using templates of forms saved from previously submitted electronic entries; postage and filing fees would also be saved. De minimis exemption: The de minimis exemption would provide industry cost and time savings by eliminating the need for declarations of products with little plant material. The solicitation for comment indicated 2 percent, 5 percent, and 10 percent of volume, weight, or value. If it is assumed that at least 2 percent of all declarations currently received would not be received under de minimis, the savings would be 120,000 hours (12 million anticipated under full implementation *0.02*0.5 hours per declarations) Notes Electronic entry system: cost savings to industry estimated at $1.7 million - $5.7 million [57,600 entries (those currently received in paper format) * $30 to $100 broker's fees]. The Government will incur cost of $750,000 to develop and implement the initial working phase of the entry system. De minimis exemption: The ANPRM proposed thresholds of 2 percent, 5 percent, or 10 percent. Assuming that at least 2 percent of the number of declarations that would otherwise be filed under full implementation are exempt, the cost savings would be $7.2 million to $24 million (240,000 declarations * $30 to $100 in broker’s fees). Electronic entry system: Estimated effective date of the change Winter 2014: Completed beta test program with over a dozen industry and other stakeholder participants. June 2014: Five webinars were held to date, introducing the new system to include industry and foreign country participants. To date, almost 300 participants representing more than 80 organizations have registered for LAWGS webinars. Summer 2014: Anticipate completion of Agency- mandated certification and accreditation of the system, and agency Authority to Operate (ATO). Late summer 2014: implementation of LAWGS, pending receipt of ATO. De minimis exemption: Agency is currently drafting the rule. As rulemaking is required, the initiative could not be implemented before 2015. The de minimis exemption would not likely be implemented if the phase-in implementation did not progress, as most plant products under the current implementation schedule are comprised of all or nearly all wood. Agency USDA Sub-Agency FSA/FLP Title Streamlined Farm Loan Programs Direct Loan Making (OMB Control # 0560-0237) Description of the Initiative FSA’s Farm Loan Programs provide loans to family farmers to buy real estate and equipment, and finance agricultural production. FSA added a streamlined version of form FSA-2314 that will be used by some respondents. Repeat customers (borrowers) whose information has not changed will be able to use the new form, which will be streamlined and require less information and therefore less burden. The burden hours have decreased in some forms (FSA-2001, 2002, 2003, 2004, 2005, and 2006) due to lower number of responses by the current participants. Hours of paperwork/reporting eliminated Eliminated 17,898 responses and 6,271 annual burden hours Notes $162,607 cost savings for the respondents and $647,728, federal cost savings for processing by the Federal Government employees Estimated effective date of the change OMB approved the ICR for the change on October 22, 2013. Agency USDA Sub-Agency NRCS Title Conservation Delivery Streamlining Initiative (CDSI) – Client Gateway (CG) Description of the Initiative Although NRCS’ Conservation Delivery Streamlining Initiative (CDSI) is not an effort focused on paperwork reduction, the new processes and technologies being implemented will result in some paperwork reduction for NRCS’ clientele. Most of the efficiency gains for clients will result from the Client Gateway, which will provide an online portal that will allow customers to: - work with NRCS 24/7 at their convenience, reducing or eliminating the needs for trips to the NRCS office; - view, finalize, and electronically sign documents using remote electronic signature, eliminating the generation, processing, and management of some paper documents; and - request assistance, describe problems, obtain resource information, and check on payments in less time and with fewer steps. Other paperwork reductions will result from NRCS’ implementation of mobile planning tools and other process streamlining. Hours of paperwork/reporting eliminated When CDSI is fully implemented, NRCS estimates the Initiative has the potential to substantially reduce other (non-PRA) administrative time for clients when participating in NRCS’ conservation programs. While not within the scope of PRA, examples of such time savings include: 110,000 hours result from reduced travel time by clients to NRCS offices, or 40,000 hours result from reduced time interpreting and applying the simplified and consolidated documents (conservation plan, practice designs, etc.) being implemented through CDSI. Since the use of the Client Gateway is optional, there is an expectation that initial use will be small, with increasing participation each year thereafter. NRCS projects participation will be 10-20% in 2015, and grow to 75-100% by 2020. Notes Cost savings is not a primary objective of CDSI, so little or no initial cost savings will be realized. In the long term, there are information technology cost savings to NRCS associated with reducing: (1) the number of information technology legacy systems that must be maintained, (2) costs for data storage and management, and (3) costs of managing multiple duplicative physical document management systems. The design and development contract cost for Client Gateway Version 1 is $1.48M. NRCS anticipates significant lifecycle savings as usage by USDA’s external customers (farmers, etc.) increases and as USDA personnel are able to more quickly and efficiently process customer technical assistance requests and financial assistance applications. The Client Gateway results in a cost-savings for NRCS customers by reducing the number of trips customers must make to the NRCS office to participate in the Agency’s programs. Estimated effective date of the change The Client Gateway public facing web application is scheduled for nationwide implementation in calendar year 2014. The Client Gateway application will provide benefits for both NRCS employees and its clients. Other CDSI systems (Conservation Desktop and Mobile Planning Tool) and streamlined processes that will enhance the paperwork reduction are scheduled for implementation in late fiscal year 2015; and thereafter. USDA – Marketing and Regulatory Programs Agency USDA Sub-Agency AMS Title of Initiative Uploading Copies of Export Certificate Forms into the Automated Export System Brief Description This change would require exporters to upload copies of USDA-AMS export certificate forms into the Automated Export System that is administered by the US Census Bureau for the Export Fruit Acts: Export Grape and Plum Act (Title 7 CFR Part 35). While these changes provide no quantifiable savings, they will enable AMS to provide more effective oversight of the industry thus ensuring to all exporters that all participants are complying with the regulations. Actual or Target Completion Date 12/31/2014 Notes NOTE: Without such regulatory changes there is no way for AMS to provide compliance oversight. Progress updates and anticipated accomplishments AMS’s Rulemaking Branch is currently conducting background research on the issue, and discussing issues with industry members. Agency USDA Sub-Agency AMS Title of Initiative Revision of the Regulations for the Inspection of Eggs providing electronic submission of the Import Request, Shell Eggs Brief Description Revision of the Regulations for the Inspection of Eggs (7 CFR 57) providing electronic submission of the Import Request, Shell Eggs. The time for completion of the inspection/clearance process for release of the cargo will be reduced by approximately 48 hours. Access to the Automated Customs Environment (ACE) maintained by Customs and Border Protection will allow enhanced communication of the status of the clearance process involving the Food and Drug Administration, Food Safety and Inspection Service, Animal and Plant Health Inspection Service, and Agricultural Marketing Service, USDA. Actual or Target Completion Date 12/31/2014 Notes Assessment of information collected in the ACE system will allow enhanced use of resources for inspection and release of imported shell eggs, reduction of required inspection/testing based upon compliance data relative to the source of the eggs, and improved quality and shelf life for distribution in the domestic market. Progress updates and anticipated accomplishments The draft of the proposed rulemaking is currently under agency review. Agency USDA Sub-Agency APHIS Title of Initiative Participation in the International Trade Data System (ITDS) via the Automated Commercial Environment (ACE) Brief Description With the February 19, 2014 signing of the Executive Order on 21st Century Trade Facilitation, the President mandated all Government agencies’ implementation of the ITDS via the ACE. To remove any impediments to the full implementation of ITDS/ACE, APHIS will amend its regulations in 7 CFR chapter III and 9 CFR chapter I in instances where a specific import or export form is cited without an alternative being mentioned or where notice of arrival must be provided by mail, fax, or email with no other alternative (electronic) means offered. 7 CFR chapter III and 9 CFR chapter I includes regulations that address the importation and exportation of plants and plant products (title 7) and animals and animal products (title 9). The regulations include requirements for the submission of permit applications, health certificates, notices of arrival, and similar documents in connection with the importation or exportation of plants, animals, and plant & animal products. Actual or Target Completion Date The regulatory changes needed are very straightforward and can be accomplished through the issuance of a final rule (as these changes relate to internal agency management, there is no need to take comment from the public). APHIS’ target date for completing the final rule is September 2014. Notes While the sections of the regulations to be updated do not necessarily preclude the use of electronic means of submitting the required information, they should be amended for clarity’s sake. Progress updates and anticipated accomplishments APHIS completed its review of its regulations to identify any requirements that may be an impediment to the full implementation of ITDS/ACE in the agency’s import/export activities in May 2014. APHIS identified two import forms and four export forms for plants and plant products (title 7) for regulatory changes. APHIS identified five import forms for animals and animal products (title 9) for regulatory changes. Agency Food Safety & Inspection Service (FSIS) Sub- agency Title of Initiative Electronic Import Inspection and Certification of Imported Products and Foreign Establishments Brief Description This rule will amend import inspection regulations to provide for the electronic transmittal of foreign establishment certificates and foreign inspection certificates. FSIS will also propose to amend its regulations to give importers the option of submitting electronic import inspection applications through Customs and Border Protection’s (CBP) Automated Commercial Environment (ACE), using the International Trade Data System (ITDS) PGA Message Set. Actual or Target Completion Date Final rule to publish by 9/2014. Notes The final rule, in conjunction with the Public Health Information System, will reduce the information collection burden on importers by approximately 10,000 hours. The electronic import system will also facilitate the import product foreign inspection and annual foreign establishment certifications by providing immediate and direct electronic government-to- government exchange of information; as well as exchange of information with the Customs and Border Protection system. The new business practice may be operational as early as April 2012, and the regulations will codify the changes. Progress updates and anticipated accomplishments The final rule is under development and expected to publish by September 2014. Agency FSIS Sub- agency Title of Initiative Electronic Export Application and Certification Fee Brief Description The electronic export application and certification system will be a component of the Agency's Public Health Information System (PHIS). The export component of PHIS will be available as an alternative to the paper-based application and certification process, and will have the ability to interface and facilitate exchange of data with Customs and Border Protection’s Automated Commercial Environment (ACE). Actual or Target Completion Date Final rule to publish by 5/2015. Notes The final rule is expected to reduce the information collection burden. Actual amount TBD. When an electronic government-to- government system interface or data exchange is used, fraudulent transactions’, such as false alterations and reproductions will be significantly reduced, if not eliminated. Moreover, the workload of the inspection personal is reduced through the elimination of physical handling and processing of applications and certificates, reducing a two-step process to one step. Progress updates and anticipated accomplishments The final rule is under development and expected to publish by May 2015.