SBIC Management Assessment Questionnaire & License Application; Exhibits to SBIC License App./Mgmt. Assessment Questionnaire

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
SBIC Application Regs 9-24-13.pdf	Supplementary Document	Uploaded 2013-09-25	Available
SBIC Application Supporting Statement 9-24-13.docx	Supporting Statement A	Uploaded 2013-09-25	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
35613	SBIC Management Assessment Questionnaire & License Application; Exhibits to SBIC License App./Mgmt. Assessement Questionnaire	Instruction	Modified

ICR Details

OMB Control No: 3245-0062	ICR Reference No: 201309-3245-001
Status: Historical Active	Previous ICR Reference No: 201008-3245-001
Agency/Subagency: SBA	Agency Tracking No:
Title: SBIC Management Assessment Questionnaire & License Application; Exhibits to SBIC License App./Mgmt. Assessment Questionnaire
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: 12/16/2013
	Date Received in OIRA: 09/25/2013
Terms of Clearance: Prior to re-submitting this collection for renewal in three-years, the Small Business Administration should review the collection and consider possible ways to reduce burdens. SBA could consider such things as making all forms available as “fillable/fileable” (online submissions), accepting electronic signatures, and simplification.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2016	36 Months From Approved	12/31/2013
Responses	390	0	425
Time Burden (Hours)	7,370	0	7,167
Cost Burden (Dollars)	2,454,706	0	2,675,000

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Abstract: SBA Forms 2181, 2182 and 2183 provide SBA with the necessary information to make decisions regarding the approval or denial of an applicant for a small business investment company (SBIC) license. SBA uses this information to assess an applicant's ability to successfully operate an SBIC within the scope of the Small Business Investment Act of 1958, as amended.

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Authorizing Statute(s): None

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:
	78 FR 15402	03/15/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 55769	09/11/2013
Did the Agency receive public comments on this ICR? No

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

table that charts list of burden

IC Title	Form No.	Form Name
SBIC Management Assessment Questionnaire & License Application; Exhibits to SBIC License App./Mgmt. Assessement Questionnaire	SBA FORM 2182, SBA FORM 2182 EXHIBIT D , SBA FORM 2182 EXHIBT E1, SBA FORM 2182 , SBA FORM 2181, SBA FORM 2181 , SBA FORM 2183, SBA FORM 2183 EXHIBT T	SBIC PROGRAM APPLICANT NARRATIVE ,   EXCEL SUPPLEMENT ,   Principal Exhibits ,   SBIC PROGRAM EXHIBIT D ,   EXHIBT E1 ,   EXHIBTS 2 ,   LICENSING APPLICATION EXHIBTS;FUND EXHIBTS ,   EXHIBT T - SBIC DIRECTORY PROFILE

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ICR Summary of Burden

table that charts list 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	390	425	0	-35	0	0
Annual Time Burden (Hours)	7,370	7,167	0	203	0	0
Annual Cost Burden (Dollars)	2,454,706	2,675,000	0	-220,294	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: The increase is due in part to the number of License Applications SBA expects to receive.

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Annual Cost to Federal Government: $3,690,000

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: 09/25/2013

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