Brokering Prior Approval (License)

Forms and Documents

Document Name	Status
Form DS-4294 Brokering Prior Approval (License) Form and Instruction	Modified
Justification.docx Justification for No Material/Nonsubstantive Change	2017-05-31
9316_PublishedFR_10-13-2015.pdf Supplementary Document	2015-11-10
Brk Prior App Legal Authorities (1405-0142).doc Supplementary Document	2015-11-10
Brk Prior App 30-Day Supporting Statement (1405-0142)-cleared.doc Supporting Statement A	2015-11-10

IC Document Collections

IC ID	Document Title	Status
15023	Brokering Prior Approval (License) Form and Instruction	Modified

ICR Details

OMB Control No: 1405-0142	ICR Reference No: 201705-1405-005
Status: Historical Active	Previous ICR Reference No: 201511-1405-003
Agency/Subagency: STATE/AFA	Agency Tracking No:
Title: Brokering Prior Approval (License)
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/05/2017
	Date Received in OIRA: 05/31/2017
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2019	01/31/2019	01/31/2019
Responses	100	0	100
Time Burden (Hours)	200	0	200
Cost Burden (Dollars)	0	0	0

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Abstract: U.S. persons and foreign persons within U.S. jurisdiction must receive United States Government approval prior to engaging in arms brokering activity. Section 129.7 of the International Traffic in Arms Regulations articulates that requirement, and what information is to be provided to the Department of State.

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Authorizing Statute(s): US Code: 22 USC 129 Name of Law: International Traffic in Arms Regulations
   EO: EO 13637 Name/Subject of EO: Administration of Reformed Export Controls
   US Code: 22 USC 278 Name of Law: Section 38(b)(1)(A)(ii)(III) of the Arms Export Control Act
  

Citations for New Statutory Requirements: None

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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:
	80 FR 31446	06/02/2015
30-day Notice:	Federal Register Citation:	Citation Date:
	80 FR 61561	10/13/2015
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Brokering Prior Approval (License)	DS-4294	Brokering License Requirements

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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	100	100	0	0	0	0
Annual Time Burden (Hours)	200	200	0	0	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Total annual responses have been adjusted from 150 to 100. Consequently, total annual hours requested have been adjusted to 200. The revised respondent number is estimated based on the overall decline in registered brokers since the implementation of regulatory changes in October 2013.

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Annual Cost to Federal Government: $28,800

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]? No

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: 05/31/2017

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