Change Request Memo Exhibit A to Registration Statement

U.S. Department of Justice
National Security Division
Counterintelligence & Export Control Section
Foreign Agents Registration Act (FARA) Unit

Washington, D.C. 20530

MEMORANDUM TO:

Joseph B. Nye
Policy Analyst & Desk Officer
Office of Information & Regulatory Affairs
Office of Management and Budget

THROUGH:

Melody Braswell
Department Clearance Officer - Paperwork Reduction Act (PRA)
Policy & Planning Staff / Office of the Chief Information Officer
Justice Management Division

FROM:

Brandon L. Van Grack
Deputy Chief for FARA
Counterintelligence & Export Control Section
National Security Division (NSD)
Timothy J. Pugh
Supervisory Program Manager &
NSD PRA Coordinator
FARA Unit
Counterintelligence & Export Control Section
National Security Division (NSD)

SUBJECT:

Justification for No Material or Non-Substantive Revision
“Change Request” to an Existing and Currently-Approved
Information Collection Request (ICR), DOJ Form NSD-3 /
OMB Control No. 1124-0006 /
Exhibit A to Registration Statement of Foreign Agents
(Expires May 31, 2020)

DATE:

June 17, 2019

Introduction – Why is DOJ-NSD requesting a Non-Substantive Change?

NSD is changing its FARA eFile information collection, from the current *.pdf paper-based
fillable form to a web-form processed digitized form. The web-form will improve information
quality, standardize fields, and minimize user error, while reducing respondent burden. Other
improvements include additional capabilities to capture certain datasets offered for public user
customization and manipulation on the FARA public webpage, https://www.justice.gov/nsd-fara.

The changes described in this request are non-substantive. OMB previously approved the current
version of the form in May 2017 for an additional three years until May 31, 2020 as a normal 3year extension under OMB Control No. 1124-0004. As directed by the OIRA Desk Officer
assigned to DOJ PRA submissions, a new paragraph description was added to each of the
following documents:
•
•
•

Justification/Supporting Statement – April 13, 2017
60-Day (Vol. 82, No. 23, pages 9395-9396) February 6, 2017 Federal Register notice (FRN)
30-Day (Vol. 82, No. 68, page 17449-17450) April 11, 2017 Federal Register notice (FRN).

The FRNs were published on February 6, 2017 and April 11, 2017, respectively, in order to
effectively alert the public of this adjusted future non-substantive webform process for
registering FARA submissions, and to encourage public feedback during the 90-Day comment
period. The following narrative was a part of the FRN:
Registrants/foreign agents and the general public are alerted that in the future, the
National Security Division will complete its ongoing multi-year design review,
testing, and requirements enhancement efforts to offer a web form version of form
NSD-1. NSD continues to make progress in enhancing the functionality of FARA
eFile. Personnel are in the process of developing and testing new web form versions
of its current fillable FARA registration forms with the intent of providing greater
standardization, improved intuitive features, and less burdensome requirements that
will benefit registrants and foreign agents who are required to register under FARA.
New capabilities are expected to improve online search capabilities. NSD is
confident that the new features will offer an enhanced system, promoting greater
transparency.
Another reason why the changes described in this request are “non-substantive” is because they
nicely synchronize with OMB’s guidance strongly encouraging – with reasonable flexibility agencies to develop and provide more, “interactive, web-based, or similar applications to help
facilitate (public) responses.” 1
One public comment was received on April 7, 2017 from Daniel Schuman, Policy Director of
Demand Progress, a public interest civil society group primarily focused on encouraging
governmental transparency initiatives. He was the single point person representing numerous
other civil society groups and speaking on their behalf. The groups decided that instead of filing
separate responses, that one overall response with all groups as signatories, would help impress
on the Department of Justice a unified position that would provide more clarity of viewpoint. See
document URL here:
https://s3.amazonaws.com/demandprogress/reports/2017-04 07_Civil_Society_Comments_on_FARA.pdf

Shelanski, Howard; Administrator, Office of Information and Regulatory Affairs (OMB-OIRA), Memorandum for
the Heads of Executive Departments and Agencies and Independent Regulatory Agencies, July 22, 2016,
Flexibilities under the Paperwork Reduction Act for Compliance with Information Collection Requirements, “NonSubstantive Changes” segment, see pp. 4-5.
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This document was uploaded into ROCIS and is also available to the general public on OMB’s
public REGINFO.gov website. The NSD PRA Coordinator reached out to Mr. Schuman to
explain NSD’s plans for FARA eFile enhancement. This eFile enhancement is now being
realized with this and five other related FARA change requests being submitted for OMB
approvals now (June 13, 2019).
Background – Historical Overview of DOJ-NSD’s FARA registration ICRs & eFile Registration

On April 15 2011, the Department of Justice’s National Security Division (NSD) began an
operational roll-out of its newly-developed and OMB-approved FARA eFile online registration
and payment system. This multi-faceted system was a milestone development that moved away
from a traditional paper-based form(s) and check/cash payment procedure via the US Mail and
similar couriers. FARA eFile greatly enhanced the ability of foreign agents to register with
NSD’s FARA Unit of the National Security Division.
This enhancement allowed for ease of registration using: (1) *.pdf fillable forms, (2) online eFile
screens, (3) payment options through the Department of Treasury’s Pay.gov service, (4) and setup of online FARA eFile registration accounts. Together, these features improved the overall
registration process so that users could better meet their obligations under the Foreign Agents
Registration Act of 1938, as amended (FARA or the Act). See 22 U.S.C. § 611 et seq.
In 2007, Congress passed “ethics reform” legislation known as the Honest Leadership and Open
Government Act of 2007 (HLOGA). Section 212 of HLOGA amended Sections 612 and 616 of
FARA to require:
•

An online searchable and sortable database of FARA registration statements and
supplements to promote further transparency for the public. NSD had already completed
this development and started to offer these online tools for access to FARA’s public
disclosure filings at the fara.gov public website in May 2007.

•

Registration in an electronic form. FARA eFIle was launched in 2011.

FARA requires registrants to disclose information using the following six (6) registration forms
(ICRs).
Table 1 - All FARA Six (6) ICRs
ICR / Registration Form

Form Identifier

OMB Control No.

Registration Statement
Supplemental Statement
Exhibit A
Exhibit B
Amendment
Short Form

Form NSD-1
Form NSD-2
Form NSD-3
Form NSD-4
Form NSD-5
Form NSD-6

1124-0001
1124-0002
1124-0006
1124-0004
1124-0003
1124-0005

Exhibit C

N/A (No Form Required)

N/A

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Exhibit D
Informational Materials

N/A (No Form Required)
N/A (No Form Required)

N/A
N/A

These forms are approved every three (3) years as “extensions to currently-approved information
collections” pursuant to the requirements under the Paperwork Reduction Act, as overseen by
OMB’s Office of Information and Regulatory Affairs (OIRA). These six ICRs as described
above, work in conjunction with the various eFile screens that are also incorporated into ROCIS
and approved by OIRA. These *.pdf registration forms (ICRs) were re-approved in 2011, 2014
and 2017, and expire on May 30, 2020.
The Department and NSD continually upgrade and enhance FARA’s eFile system, registration
forms, and FARA public website containing online research tools and other useful researching
features located at the following URL: https://www.justice.gov/nsd-fara . Consistent with this
strategy and commitment are the longstanding public positions for exploring ever more ways to
improve and expand on transparency initiatives by continually increasing releases of FARA
information and datasets.
Since 2010, NSD’s extensive participation and commitment to the goals and strategies found in
the White House’s Open Government Initiatives (OGI) and the corresponding DOJ Open
Government Plans, Assessments, and Progress Reports, have been part of the public record. NSD
has continued its improvements to FARA’s systems and development of newer features that are
also encouraged by OMB and DOJ’s Justice Management Division (JMD).
The most recent DOJ Open Government Plan 4.0 was published in September 2016. On pp.
17-18 of this report (pp. 20-21 of the *.pdf) you find the following description:
National Security Division / Foreign Agents Registration Act
The National Security Division continues to make progress in enhancing the functionality of
FARA eFile. Personnel are developing and testing improved web form versions of its
current fillable forms with the intent of providing greater standardization, improved intuitive
features, and less burdensome requirements that will benefit registrants who are required to
register under FARA. New capabilities are expected to improve online search capabilities.
NSD is confident that the new features will offer an enhanced system promoting greater
transparency.

In August 2014, the Department’s Progress Report 3.0 provided the following information on the
FARA system:
Foreign Agents Registration Act (FARA): FARA Staff met with the Software
Engineering Section (SWE) to discuss the approach and level of effort surrounding
the various enhancement requirements for www.FARA.gov . During this discussion,
it was decided to approach this project using the Agile Methodology commonly
referred to as SCRUM. SWE, FARA, and other relevant stakeholders will partner to
create a healthy backlog of enhancement requirements. Upon validation and
approval of these requirements, the project team will begin prioritizing and
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developing individual enhancement features. Given the nature of Agile SCRUM,
features can be released as they are developed, tested, and approved. This approach
provides continuous improvements on the features, allows the project team, owner,
and system users to see changes as they occur, and adapts well to overall changes in
the process.
To date, the NSD IT project team and FARA Unit staff have conducted over 58 individual Agile
SCRUM development requirements sessions, or sprints (so far). It is anticipated that all
development, feedback, and testing of the new web-form versions of the registration ICR/forms,
screens, and upgraded systems, will be completed as a stable test system in 2019.
The FARA Unit has now uploaded finalized:
• Non-substantive or No Material Change Request documents for the six (6) ICRs;
• Webform version of the completed-specific FARA ICR as a *.pdf;
• Upgraded web-form eFile screens as one *.pdf document;
• DOJ-OPCL & OMB Privacy Assessment template document that went into effect after
OMB approved NSD’s current six ICR 3-year extensions in May 2017.
NSD is expected to begin to rollout these features to all FARA “new registrants” in July 2019.
Within six months after this initial release, NSD will receive all registration materials (new &
existing) through the newly enhanced FARA eFile.
Description of Non-Substantive Changes

What Information Collection Request is DOJ-NSD changing?
ICR Title: Exhibit A to Registration Statement of Foreign Agents
ICR Numbers: (DOJ) ICR (form) NSD-3; OMB Control No. 1124-0006
What is the current status of this ICR?
This ICR is currently approved through May 31, 2020. This ICR currently identifies the
information collections (IC), number of annual responses to the IC, time burden per response,
and annual burden for all responses.
Title

Table 2 – Current *.PDF version Registration Statement ICR

Exhibit A to Registration
Statement of Foreign Agents
/
form NSD-3 & OMB
Control No. 1124-0006

Annual Responses

Time (Hours) per Response

Annual Hours

57

29 minutes (.49 hours)

27.93 hours

(as of May 2017)

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What are the changes that DOJ-NSD is making to this ICR?
DOJ-NSD is making several non-substantive changes to this ICR. In offering a web-form
replacement version to completing the ICR instead of the current *.pdf, registrants (respondent
users) will benefit from a more intelligent process:
1. All typed in data will be captured and stored in the present web-form into a backend
repository database, allowing for fields such as registrant name, registrant address,
registrant number, registrant business address, to pre-populate on future registration
statements by the same registrant.
2. The web-form version of the ICR will incorporate an auto-check feature for users to
confirm data entry in order to ensure completion of required fields. This will reduce the
need for amending the filings due to user error saving time and reducing burden.
3. A new spreadsheet tool will store certain data into a standardized, machine-readable
table, allowing for additional internal searchable features to be provided to the general
public.
Table 3 - New Web-form Registration Statement ICR and Burden & Overall Program
Change Conclusions that meet FARA eFile Enhanced Procedures
New
Web-form
ICR

Annual
Responses

Time (Hours)
per Response

*.PDF Form v.
Web-form Burden
Hour Contrast
per Response

Annual Hours

*.PDF v. Web-form Burden
Hour Contrast
Annual Hours

Exhibit A to
Registration
Statement of
Foreign
Agents /
Form NSD-3
& OMB
Control No.
1124-0006

296

.22 hours
(13 minutes)

.49 hours *.pdf form

65.12 hours

Overall improved burden
reductions:

(projected
increase in
registrations
from 2017
to 2019

versus
.22 hours web-form
(reduced burden per
respondent due to
improved e-File webform features)

27.93 Annual Hours *.pdf
form
versus
65.12 Annual Hours web-form
(projected increase in
registrations from 2017 to
2019)

The Department of Justice’s National Security Division (NSD) respectfully requests OMB-OIRA
to issue a Notice of Action for Approval of this No Material & Non-Substantive Enhancement
Change Request to an Existing / Currently-Approved Information Collection (ICR) identified as
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DOJ Form NSD-3 / OMB Control No. 1124-0006 / Exhibit A to Registration Statement of
Foreign Principals that Expires on May 31, 2020.
The enhanced web-form version for this ICR and FARA eFile system New Registrant Module
Strategy will launch in July 2019. Within six months after the initial release, all registrants (new
& existing) will use the newly enhanced FARA eFile.
NSD will work with JMD-OCIO to have this ICR, Form NSD-3 & OMB Control No. 11240006, Exhibit A to Registration Statement of Foreign Agents, re-approved for another 3-year
scheduled extension under the normal PRA approvals process to include issuing 60-Day & 30Day Federal Register notices (FRNs) in early 2020, ultimately approved on or around June 1,
2020, with an expected expiration date of June 30, 2023.

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