Annual Brokering Report

Forms and Documents

Document Name	Status
9316_PublishedFR_10-13-2015.pdf Supplementary Document	2015-11-10
Brk Rep Legal Authorities (1405-0141).doc Supplementary Document	2015-11-10
Brk Rep 30-Day Supporting Statement-cleared.docx Supporting Statement A	2015-11-10

IC Document Collections

IC ID	Document Title	Status
15021	Reporting on Brokering Activities	Modified

ICR Details

OMB Control No: 1405-0141	ICR Reference No: 201511-1405-002
Status: Historical Active	Previous ICR Reference No: 201308-1405-003
Agency/Subagency: STATE/AFA	Agency Tracking No:
Title: Annual Brokering Report
Type of Information Collection: Reinstatement with change of a previously approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 01/08/2016
	Date Received in OIRA: 11/10/2015
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2019	36 Months From Approved	11/30/2015
Responses	1,057	0	1,515
Time Burden (Hours)	2,114	0	3,030
Cost Burden (Dollars)	0	0	0

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Abstract: In accordance with part 129 of the ITAR, U.S. and foreign persons required to register as a broker shall provide annually a report to DDTC enumerating and describing brokering activities by quantity, type, U.S. dollar value, purchaser/recipient, and license number for approved activities and any exemptions utilized for other covered activities.

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Authorizing Statute(s): US Code: 22 USC 2778 Name of Law: Section 38 of the Arms Export Control Act
   US Code: 22 USC 129 Name of Law: International Traffic in Arms Regulations
   EO: EO 13637 Name/Subject of EO: Administration of Reformed Export Controls
  

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:
	80 FR 31446	06/02/2015
30-day Notice:	Federal Register Citation:	Citation Date:
	80 FR 61561	10/13/2015
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
Reporting on Brokering Activities

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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	1,057	1,515	0	0	-458	0
Annual Time Burden (Hours)	2,114	3,030	0	0	-916	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: Total annual responses have been adjusted from 1,515 to 1,057. Consequently, total annual hours requested have been adjusted to 2,114. The revised respondent number is the most current figure taken directly from the DDTC database. The decrease is likely due to certain intervening regulatory changes to the broker registration requirement since the last reauthorization of this collection.

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Annual Cost to Federal Government: $43,200

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: 11/10/2015

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