Information Collection Request (ICR) Tracker

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The CFTC requests approval of its request to extend OMB approval of the information collection requirements associated with the Commission's rules under Part 162 - Protection of Consumer Information under the Fair Credit Reporting Act ("FCRA"). Title X of the Dodd-Frank Act, which is titled the Consumer Financial Protection Act of 2010 (“CFP Act”), amends a number of federal consumer protection laws enacted prior to the Dodd-Frank Act including, in relevant part, the FCRA and the Fair and Accurate Credit Transactions Act of 2003 (“FACT Act”). Specifically, Section 1088 of the CFP Act sets out certain amendments to the FCRA and the FACT Act directing the Commission to promulgate regulations that are intended to provide privacy protections to certain consumer information held by an entity that is subject to the jurisdiction of the Commission. Section 1088 amends section 214(b) of the FACT Act—which added section 624 to the FCRA in 2003—and directs the Commission to implement the provisions of section 624 of the FCRA with respect to persons that are subject to the Commission’s enforcement jurisdiction. Section 624 of the FCRA gives a consumer the right to block affiliates of an entity subject to the Commission’s jurisdiction from using certain information obtained from such entity to make solicitations to that consumer (hereinafter referred to as the “affiliate marketing rules”). Under the affiliate marketing rules, the entities covered by the regulations are expected to prepare and provide clear, conspicuous and concise opt-out notices to any consumers with whom such entities have a pre-existing business relationship. A covered entity only has to provide an opt-out notice to the extent that an affiliate of the covered entity plans to make a solicitation to any of the covered entity’s consumers. A covered entity is required to send opt-out notices at the maximum of once every five years. Section 1088 of the CFP Act also amends section 628 of the FCRA and mandates that the Commission implement regulations requiring persons subject to the Commission’s jurisdiction who possess or maintain consumer report information in connection with their business activities to properly dispose of that information (hereinafter referred to as the “disposal rules”). Under the disposal rules, the entities covered by the regulations are expected to develop and implement a written disposal plan with respect to any consumer information within such entities’ possession. The regulations provide that a covered entity develop a written disposal plan that is tailored to the size and complexity of such entity’s business. The purpose of the written disposal plan is to establish a formal plan for the disposal of nonpublic, consumer information, which otherwise could be illegally confiscated and used by unauthorized third parties. Under the rules, a covered entity is required to develop a written disposal plan only once, but may subsequently amend such plan from time to time. In addition, Section 1088 of the CFP Act amended the FCRA by adding the CFTC and the Securities and Exchange Commission (“SEC,” together with the CFTC, the “Commissions”) to the list of federal agencies required to jointly prescribe and enforce identity theft red flags rules and guidelines and card issuer rules. Under the identity theft rules, entities covered by the regulation are required to develop and implement reasonable policies and procedures to identify, detect, and respond to relevant red flags for identity theft that are appropriate to the size and complexity of such entity’s business and, in the case of entities that issue credit or debit cards, to assess the validity of, and communicate with cardholders regarding address changes. They are also required to provide for the continued administration of identity theft policies and procedures.

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The CFTC requests approval for the extension of the information collections associated with Commission Rule 21.02 (17 CFR 21.02), relating to Market Surveys. Under Commission Rule 21.02, upon call by the Commission, information related to futures or options positions held or introduced by futures commission merchants, members of contract markets, introducing brokers, and foreign brokers and, for options positions, must be furnished by each reporting market. This rule is designed to assist the Commission in prevention of market manipulation and is promulgated pursuant to the Commission’s rulemaking authority contained in section 8a of the Commodity Exchange Act, 7 U.S.C. 12 a (2010). The information is used primarily by Surveillance and Market Analysts in order to fulfill their market surveillance function. Additionally, the data is used to provide a basis for reports to Congress as well as supporting various research projects and reports from Commission economists and analysts.

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The CFTC requests approval of its request to extend the information collections associated with the agency's rules governing Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements. These collections of information implement section 4s(e) of the Commodity Exchange Act ("CEA"), which mandates that the Commission adopt rules establishing margin requirements for uncleared swaps of swap dealers ("SDs") and major swap participants ("MSPs") that do not have a Prudential Regulator (collectively, "Covered Swap Entities" or "CSEs"), and section 2(i) of the CEA, which provides the Commission with express authority over swaps activities in cross-border transactions when certain conditions are met. The Commission uses the information collected to determine whether the foreign jurisdiction's margin rules for uncleared swaps are comparable to the Commission's corresponding margin requirements. Covered Swap Entities or CSEs that are eligible for substituted compliance under the Proposed Rule, as well as foreign regulatory agencies that have direct supervisory authority to administer the foreign jurisdiction's margin requirements for uncleared swaps in the requested foreign jurisdiction, may make a request for a comparability determination. Also, two information collections included in the final rule require CSEs to have policies and procedures ensuring that they are in compliance with all of the requirements of the special provisions for non-netting jurisdictions and non-segregation provisions, respectively, and to maintain books and records properly documenting that all of the requirements of the special provisions for non-netting jurisdictions and non-segregation jurisdictions, respectively, are satisfied. These two collections are necessary as a means for the Commission to be able to determine that CSEs relying on the non-netting jurisdictions and non-segregation provisions are entitled to do so and are complying with the special provisions’ requirements.

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The SF-424 Research and Related 4040-0001 group of ICs serve as grant application forms utilized by all federal research agencies.

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Federal Register Notices

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The Federal Credit Union Act (at 12 U.S.C. 1761b(2)) requires that the boards of federal credit unions (FCU) arrange for adequate fidelity coverage for officers and employees having custody of or responsibility for handling funds. The regulation contains a number of reporting requirements where a credit union seeks to exercise flexibility under the regulations. These requirements enable NCUA to monitor the FCU’s financial condition for safety and soundness purposes and helps to assure that FCUs are properly and adequately protected against potential losses due to insider abuse such as fraud and embezzlement.

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The CBP Form 5125 is used for the withdrawal and lading of bonded merchandise (especially alcoholic beverages) for use on board fishing vessels and foreign or domestic vessels involved in international trade. The form also certifies the use: total consumption or partial consumption with secure storage for use on next voyage.

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ICE collects this information to provide for the posting, maintenance, cancellation, and breach of an immigration surety bond, and for associated financial management activities, including collection of unpaid monies, reimbursement of the bond principal, and the calculation, payment, and reporting of interest. The proposed revisions to the bond form are to clarify the phone number as home or cell and to add an email address field.

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This information requirement is needed to determine the eligibility and leadership potential of respondents applying to represent the United States Naval Academy as volunteer Blue and Gold Officers. Respondents accepted as Blue and Gold Officers work directly for the Candidate Guidance Officer at the USNA Office of Admissions guiding current and future U.S. Naval Academy candidates through the admissions process Prior military service, current and past military performance, and prior affiliation with the Naval Academy has been found to be an excellent predictor of success as a Blue and Gold Officer. Without this information, the ability for the United States Naval Academy to recruit qualified Blue and Gold Officers would be impacted and would negatively affect the Naval Academy’s ability to recruit qualified candidates.

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The Nuclear Regulatory Commission (NRC) regulations in part 150 of title 10 of the Code of Federal Regulations (10 CFR), provide certain exemptions to persons in Agreement States from the licensing requirements contained in Chapters 6, 7, and 8 of the Atomic Energy Act of 1954, as amended, and certain regulations of the Commission. The regulations in 10 CFR part 150 also define the Commission’s continued regulatory authority over Agreement State activities which include byproduct, source, and special nuclear material reporting requirements related to reciprocity and enforcement. 10 CFR part 150 requires telephonic notification to the NRC when an Agreement State licensee identifies attempted theft or diversion of special nuclear material, byproduct material, and tritium. This notification must be followed by a written report either 15 or 60 days after the initial report, depending on the materials involved. If additional information is available after submission of the written report, an additional report is submitted. These reports are used to inform the Commission, staff, and other Federal agencies when special nuclear material, byproduct material, or tritium is lost or stolen.

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NRC Form 664 is used by NRC general licensees to make reports regarding certain generally licensed devices subject to annual registration. The registration program allows NRC to better track general licensees, so that they can be contacted or inspected as necessary, and to make sure that generally licensed devices can be identified even if lost or damaged. Also, the registration program ensures that general licensees are aware of and understand the requirements for the possession, use, and disposal of devices containing byproduct material. Greater awareness helps to ensure that general licensees will comply with the regulatory requirements for proper handling and disposal of generally licensed devices and would reduce the potential for incidents that could result in unnecessary radiation exposure to the public and contamination of property.

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Rule 18a-4 establishes customer protection and segregation requirements for all firms required to register with the SEC under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 as security-based swap dealers and major security-based swap participants. Customer protection and segregation standards ensure that firms do not misappropriate customer assets for their own or other unauthorized uses.

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In accordance with section 862 of the National Defense Authorization Act of 2008 (Pub. L. 110-181) contractors performing private security functions are required to establish a process under which contractors are required to report certain security incidents. These contractors must ensure that their personnel performing private security functions comply, reporting incidents in which a weapon is discharged, personnel are attacked or killed, or property is destroyed, or active, lethal countermeasures are employed.

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The information collection requirement is necessary to ensure that applicants for TRICARE-Provider Status meet the conditions for authorization as a TRICARE Corporate Services Provider. The collected nformation will be used by TRICARE contractors to process claims and verify authorization status.

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States use the Multiple Worksite Report to collect employment and wages data from non-Federal businesses engaged in multiple operations within a State and subject to State Unemployment Insurance laws. The Report of Federal Employment and Wages is designed for Federal establishments covered under the Unemployment Compensation for Federal Employees program. These data are used for sampling, benchmarking, and economic analysis.

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Enrollment data is an important source of information which allows the Indian Affairs and other Federal agencies to equitably distribute resources because it is a quantifiable representation of a Tribe’s population. Different population sizes generally require different levels of services and resources. BIA must collect this information to ensure effective, accurate, and timely distribution of assistance to respond to funds specifically appropriated for Indian Country, where applicable. This data will assist Federal agencies in developing distribution formulas for funds under annual appropriations, Inflation Reduction Act of 2022 (P. L. 117-169), or Infrastructure Investment and Jobs Act (P.L. 117-58).

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The National Tracing Center Trace Request/Solicitud de Rastreo del Centro Nacional de Rastreo—ATF Form 3312.1/3312.1S is used by Federal, State, local, and certain foreign law enforcement officials to request information that Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF) uses to trace firearms used or suspected to have been used in crimes.

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The information collected on the Application and Permit for Importation of Firearms, Ammunition and Defense Articles—ATF Form 6—Part II (5330.3B) is used to determine if the article(s) described in the application qualifies for importation by the importer, and also serves as authorization for the importer.

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Banks and insurance companies may establish prototype individual retirement arrangement account trusts or annuity contracts. Employers may establish individual retirement account trusts for the use of their employees. To ensure that these trusts or annuity contracts meet the requirements under Internal Revenue Code (IRC) section 408(a), 408(b), or 408(c), these persons may request an approval letter from Internal Revenue Service (IRS). Sponsoring organizations, employers, or employee associations, use Form 5306 to request a ruling. The data supplied on Form 5306 is used to determine if the individual retirement account trust or annuity contract meets the requirements of section code 408, so the Internal Revenue Service may issue an approval letter.

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This document contains previously approved final regulations replacing the existing regulation that establishes the procedures to be followed by IRS officers and employees upon receipt of a request or demand for disclosure of IRS records or information. The purpose of the final regulations is to provide specific instructions and to clarify the circumstances under which more specific procedures take precedence. The final regulations extend the application of the regulation to former IRS officers and employees as well as to persons who are or were under contract to the IRS. The final regulations affect current and former IRS officers, employees and contractors, and persons who make requests or demands for disclosure.