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

Forms and Documents

Document Name	Status
Form 3038-0107 2019 Fintech Forward Feedback Survey Form Form	New
(2019) 30-Day FRN - 3038-0107.pdf Supplementary Document	2019-09-27
2019-60-Day FR Notice for 3038-0107.pdf Supplementary Document	2019-09-26
(2019) Supporting Statement 3038-0107 -Generic Clearance Renewal - final draft.docx Supporting Statement A	2019-09-26

IC Document Collections

IC ID	Document Title	Status
241066	2019 Fintech Forward Feedback Survey Form Form	New
230651	Investment Fraud Conversation Starter Kit Testing - Online Panel (Bulletin Board)	Removed
227010	Smart-Check Message Testing - On-line Focus Groups	Removed
227005	2017 SmartCheck Message Testing - In-Person Focus Groups	Removed

ICR Details

OMB Control No: 3038-0107	ICR Reference No: 201909-3038-003
Status: Active	Previous ICR Reference No: 201604-3038-007
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 with change	Conclusion Date: 05/19/2020
	Date Received in OIRA: 10/18/2019
Terms of Clearance: 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	05/31/2023	36 Months From Approved	05/31/2020
Responses	14,400	0	14,400
Time Burden (Hours)	28,800	0	28,800
Cost Burden (Dollars)	0	0	0

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Abstract: The Commodity Futures Trading Commission’s Office of Customer Education and Outreach (OCEO) seeks to obtain OMB approval of a generic clearance to collect qualitative and quantitative feedback. By feedback we mean information that provides useful insights on perceptions and opinions, but are not statistically significant surveys that yield results that can be generalized to the population of study. This collection of information is necessary to enable the OCEO to garner customer and stakeholder feedback in an efficient and 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 OCEO 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 OCEO and its customers and stakeholders. It will also allow feedback to contribute directly to the improvement of program management.

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Authorizing Statute(s): PL: Pub.L. 111 - 203 748 Name of Law: Dodd-Frank Act
   US Code: 7 USC 23 Name of Law: Commodity Whistleblower Incentives & Protection
   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:
	84 FR 35606	07/24/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 51147	09/27/2019
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
Investment Fraud Conversation Starter Kit Testing - Online Panel (Bulletin Board)
Smart-Check Message Testing - On-line Focus Groups
2017 SmartCheck Message Testing - In-Person Focus Groups
2019 Fintech Forward Feedback Survey Form	3038-0107	Fintech Forward 2019 Feedback Survey

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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	14,400	0	0	0	0
Annual Time Burden (Hours)	28,800	28,800	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: Increase in burden due to an increase in the number of surveys.

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Annual Cost to Federal Government: $376,582

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.     Yes

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]? 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? No

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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: 09/27/2019

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