Implementing the Whistleblower Provision of Section 23 of the Commodity Exchange Act

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form 3038-0082 Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act	Form and Instruction	Modified	Available
Form WB-APP & Instructions- Final- (2017).docx	Supplementary Document	Uploaded 2017-05-24	Available
Form TCR Fed Reg & Instructions- Final- (2017).docx	Supplementary Document	Uploaded 2017-05-24	Repair queued
Justification of Change to Appendix B of WB Forms TCR and WB-APP.docx	Justification for No Material/Nonsubstantive Change	Uploaded 2017-05-24	Repair queued
Whistleblower_PRA-Attachment 09 10 14.doc	Supplementary Document	Uploaded 2014-09-10	Available
Whistleblower_PRA-Support Statement Renewal 0082 08 06 14.doc	Supporting Statement A	Uploaded 2014-09-10	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
195631	Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act	Form and Instruction	Modified

ICR Details

OMB Control No: 3038-0082	ICR Reference No: 201705-3038-002
Status: Historical Active	Previous ICR Reference No: 201408-3038-002
Agency/Subagency: CFTC	Agency Tracking No:
Title: Implementing the Whistleblower Provision of Section 23 of the Commodity Exchange Act
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 07/25/2017
	Date Received in OIRA: 05/31/2017
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2018	04/30/2018	04/30/2018
Responses	160	0	160
Time Burden (Hours)	2,000	0	2,000
Cost Burden (Dollars)	0	0	0

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Abstract: Rules 165.3 (Procedures for Submitting Original Information), 165.4 (confidentiality), and 165.7 (Procedures for Award Applications and Commission Award Determinations) require that all individuals wishing to be eligible for an award under the Commission's whistleblower program must complete certain standard forms: Forms TCR and the WB-APP.

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Authorizing Statute(s): PL: Pub.L. 111 - 203 124 Stat. 1376 (2010) Name of Law: Dodd - Frank Act
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 124 Stat. 1376 (2010) Name of Law: Dodd - Frank Act

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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:
	79 FR 38283	07/07/2014
30-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 53697	09/10/2014
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
Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act	3038-0082, 3038-0082	TCR (Tip, Complaint or Referral) ,   WB-APP

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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	160	160	0	0	0	0
Annual Time Burden (Hours)	2,000	2,000	0	0	0	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:

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Annual Cost to Federal Government: $60

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]? 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: 05/31/2017

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