Quantitative Messaging Research

Forms and Documents

Document Name	Status
CFTC Quantitative Survey-Investment Fraud Survey Screener_110113.docx Supplementary Document	2013-11-01
CFTC_Msg_Quant_Support_Statement_1-23-14 - PART B.docx Supporting Statement B	2014-01-23
CFTC Quantitative Main Survey Final for OMB_110113.docx Supplementary Document	2013-11-01
CFTC_Msg_Quant_Support_Statement_1-23-14 - PART A.docx Supporting Statement A	2014-01-23

IC Document Collections

IC ID	Document Title	Status
209018	Quantitative Messaging Research Other-Screener Survey	New
208971	Quantitative Messaging Research Other-Main Survey	New

ICR Details

OMB Control No: 3038-0108	ICR Reference No: 201310-3038-001
Status: Historical Active	Previous ICR Reference No:
Agency/Subagency: CFTC	Agency Tracking No:
Title: Quantitative Messaging Research
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 01/23/2014
	Date Received in OIRA: 10/28/2013
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2017	36 Months From Approved
Responses	3,300	0	0
Time Burden (Hours)	330	0	0
Cost Burden (Dollars)	31,800	0	0

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Abstract: The need for this information stems from the lack of messaging research among this specific target group (pre-retirement, upper-income, upper-educated, investment active), on this specific topic. The research will determine appropriate messages, effective message delivery, and current consumer beliefs among this target group to help inform agency outreach.

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Authorizing Statute(s): US Code: 7 USC 2, 5, 12a(5), 26 Name of Law: Commodity Exchange Act
   PL: Pub.L. 111 - 203 747-748 Name of Law: Dodd-Frank Wall Street Reform & Consumer Protection Act
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 747-748 Name of Law: Dodd-Frank Wall Street Reform

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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 52166	08/22/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 64202	10/28/2013
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

IC Title	Form No.	Form Name
Quantitative Messaging Research
Quantitative Messaging Research

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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	3,300	0	0	3,300	0	0
Annual Time Burden (Hours)	330	0	0	330	0	0
Annual Cost Burden (Dollars)	31,800	0	0	31,800	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

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

Burden Reduction Due to:

Short Statement: Burden change is due to statutory requirements.

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Annual Cost to Federal Government: $49,442

Does this IC contain surveys, censuses, or employ statistical methods? Yes Part B of Supporting Statement

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: 10/28/2013

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