Portfolio Financing Report

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SBA FORM 1031 Portfolio Financing Report	Form and Instruction	Modified	Available
3245-0078 Proposed RIN 3245-AG67.pdf	Supplementary Document	Uploaded 2017-10-23	Available
3245-0078 Proposed RIN 3245-AG67.pdf	Supplementary Document	Uploaded 2017-10-23	Available
3245-0078 OMB 83-I Supporting Statement 9-30-15.docx	Supporting Statement A	Uploaded 2015-10-07	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
35631	Portfolio Financing Report	Form and Instruction	Modified

ICR Details

OMB Control No: 3245-0078	ICR Reference No: 201510-3245-001
Status: Historical Inactive	Previous ICR Reference No: 201403-3245-001
Agency/Subagency: SBA	Agency Tracking No:
Title: Portfolio Financing Report
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 10/23/2017
	Date Received in OIRA: 10/07/2015
Terms of Clearance: SBA should consider comments received regarding the information collection instrument(s) and pending rulemaking and provide a response and any necessary adjustments in its next submission to OMB.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2017	36 Months From Approved	11/30/2017
Responses	2,120	0	2,120
Time Burden (Hours)	424	0	424
Cost Burden (Dollars)	0	0	0

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Abstract: To obtain the information needed to carry out its program evaluation and oversight responsibilities. SBA requires small business investment companies (SBIC'S) to provide information on SBA Form 1031 each time financing is extended to a small business concern. SBA uses this information to evaluate how SBIC'S fill market financing gaps and contribute to economic growth, and to monitor the regulatory compliance of individual SBIC'S.

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Authorizing Statute(s): US Code: 42 USC 3161;RRL Name of Law: Rural business concerns
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3245-AG67	Proposed rulemaking	80 FR 60077	10/05/2015

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Federal Register Notices & Comments

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
Portfolio Financing Report	SBA FORM 1031	Portfolio Financing Report

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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: This reflects increases primarily due to the addition of Parts D and E for impact and passive business financing respectively.

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Annual Cost to Federal Government: $0

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]? 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: 10/07/2015

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