CFTC SmartCheck Annual Campaign Impact Tracking Survey

Forms and Documents

Document	Type	Status	Availability
CFTC SmartCheck Annual Campaign Impact Tracking Survey Supporting Statement 09 16 16 (2).docx	Supporting Statement A	Uploaded 2016-09-16	Repair queued
60-day FRN (6-9-2016).pdf	Supplementary Document	Uploaded 2016-08-03	Repair queued

IC Document Collections

IC ID	Collection	Type	Status	Form
222844	CFTC SmartCheck Annual Campaign Impact Tracking Survey		New
222840	CFTC SmartCheck Annual Campaign Impact Tracking Survey		New

ICR Details

OMB Control No: 3038-0114	ICR Reference No: 201608-3038-003
Status: Historical Active	Previous ICR Reference No:
Agency/Subagency: CFTC	Agency Tracking No:
Title: CFTC SmartCheck Annual Campaign Impact Tracking Survey
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 without change	Conclusion Date: 09/16/2016
	Date Received in OIRA: 08/16/2016
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2019	36 Months From Approved
Responses	6,000	0	0
Time Burden (Hours)	567	0	0
Cost Burden (Dollars)	0	0	0

---

Abstract: The CFTC’s Office of Customer Education and Outreach (OCEO) develops campaigns to change customer behaviors, so that customers can better avoid fraud as defined under the Commodities Exchange Act. The OCEO intends to survey the public by identifying customers and determining if the CFTC’s SmartCheckSM campaign is helping them to identify, avoid, and report financial fraud. The OCEO will use the information collected in the survey to refine the methods used to inform the public about how to best detect and report financial fraud. This will be done by creating a final summary report that includes key findings from the survey. Findings from the summary report will be used to directionally inform the outreach efforts that the CFTC undertakes concerning helping customers avoid financial fraud.

---

Authorizing Statute(s): US Code: 7 USC 26 Name of Law: Whistleblower-Consumer Outreach
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 37188	06/09/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 53125	08/11/2016
Did the Agency receive public comments on this ICR? No

---

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

IC Title	Form No.	Form Name
CFTC SmartCheck Annual Campaign Impact Tracking Survey	CFTC Form 3038 - New
CFTC SmartCheck Annual Campaign Impact Tracking Survey	CFTC Form 3038 - New

---

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	6,000	0	0	6,000	0	0
Annual Time Burden (Hours)	567	0	0	567	0	0
Annual Cost Burden (Dollars)	0	0	0	0	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 actual number of respondents has not increased only the responses. There are two separate test groups involved -- 2000 and 4000. The 2000 respondents are from the same group of 4,000, as explained in the Supporting Statement.

---

Annual Cost to Federal Government: $50,000

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

---

Common Form ICR:  No

---

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: 08/16/2016

---