Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery

Forms and Documents

Document Name	Status
Form 3038-0107 Fast Track Clearance Request - FinTech Forward 2019 Feedback Survey Form and Instruction	New
Att_Generic.docx Supplementary Document	2013-07-16
Generic Clearance Renewal Supporting Statement-OCEO 042616 Final.docx Supporting Statement A	2016-04-28

IC Document Collections

IC ID	Document Title	Status
238077	Fast Track Clearance Request - FinTech Forward 2019 Feedback Survey Form and Instruction	New
230651	Investment Fraud Conversation Starter Kit Testing - Online Panel (Bulletin Board)	New
227010	Smart-Check Message Testing - On-line Focus Groups	New
227005	2017 SmartCheck Message Testing - In-Person Focus Groups	New

ICR Details

OMB Control No: 3038-0107	ICR Reference No: 201604-3038-007
Status: Historical Active	Previous ICR Reference No: 201305-3038-001
Agency/Subagency: CFTC	Agency Tracking No:
Title: Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 11/08/2016
	Date Received in OIRA: 05/10/2016
Terms of Clearance: OMB approves this collection for a period of three years. To request approval of information collections under this generic approval, the agency must do the following: 1) Unless an agency is using multiple modes of collection (e.g., paper forms and electronic submissions), provide a Generic Clearance Submission Template for each Instrument; 2) If the agency is using multiple modes of collection (e.g., paper forms and electronic submissions), the same Generic Clearance Submission Template may be used for both instruments; 3) each Generic Clearance Submission Template must be uploaded as a Supplementary document using a naming convention that allows the public to identify the associated instrument; 4) submit no more than five Generic Submission Templates with each request.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2019	36 Months From Approved	11/30/2016
Responses	14,400	0	2,400
Time Burden (Hours)	28,800	0	4,800
Cost Burden (Dollars)	0	0	0

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Abstract: This collection of information is necessary to enable the Office of Consumer Outreach ("OCO") to garner customer and stakeholder feedback in an efficient, timely manner, in accordance with our commitment to improving service delivery. The information collected from our customers and stakeholders will help ensure that users have an effective, efficient, and satisfying experience with OCO programs. This feedback will provide insights into customer or stakeholder perceptions, experiences and expectations, provide an early warning of issues with service, or focus attention on areas where communication, training or changes in operations might improve delivery of products or services. These collections will allow for ongoing, collaborative and actionable communications between the OCO and its customers and stakeholders. It will also allow feedback to contribute directly to the improvement of program management. The OCO will undertake a variety of service delivery-focused activities over the next few years which include customer outreach and information-sharing with stakeholders that are responsive to stakeholders’ needs and sensitive to changes in the consumer market. The proposed information collection activity will use similar methods for information collection or otherwise share common elements, and provide a means to gather customer and stakeholder feedback in an efficient, timely manner. The solicitation of information on delivery of customer services will address such areas as appropriate messages, effective message delivery methods, effective programming, programming needs, and customer beliefs, psychographics and social norms that will assist the agency in developing outreach and communications plans.

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Authorizing Statute(s): US Code: 7 USC 23 Name of Law: Commodity Whistleblower Incentives & Protection
   PL: Pub.L. 111 - 203 748 Name of Law: Dodd-Frank Act
   US Code: 7 USC 2, 5, 12a(5), 26 Name of Law: CEA
  

Citations for New Statutory Requirements: US Code: 7 USC 23 Name of Law: Commodity Whistleblower Incentives & Protection

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 11520	03/04/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 28830	05/10/2016
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 4

IC Title	Form No.	Form Name
Investment Fraud Conversation Starter Kit Testing - Online Panel (Bulletin Board)
Fast Track Clearance Request - FinTech Forward 2019 Feedback Survey	3038-0107	FinTech Forward 2019 Feedback Survey
Smart-Check Message Testing - On-line Focus Groups
2017 SmartCheck Message Testing - In-Person Focus Groups

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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	14,400	2,400	0	12,000	0	0
Annual Time Burden (Hours)	28,800	4,800	0	24,000	0	0
Annual Cost Burden (Dollars)	0	0	0	0	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: Increase in burden due to an increase in the number of surveys.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Yes

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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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: 05/10/2016

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