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

Forms and Documents

Document	Type	Status	Availability
Form 3038-0082 Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act	Form and Instruction	Modified	Available
(2018) Supporting Statement - 0082.doc	Supporting Statement A	Uploaded 2018-02-09	Available

IC Document Collections

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: 201802-3038-001
Status: Active	Previous ICR Reference No: 201705-3038-002
Agency/Subagency: CFTC	Agency Tracking No:
Title: Implementing the Whistleblower Provision of Section 23 of the Commodity Exchange Act
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 03/28/2018
	Date Received in OIRA: 02/09/2018
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2021	36 Months From Approved	04/30/2018
Responses	600	0	160
Time Burden (Hours)	0	0	2,000
Cost Burden (Dollars)	0	0	0

---

Abstract: Section 23 of the Commodity Exchange Act, 7 U.S.C. 26, directs that the Commission establish a fund from which to pay awards of 10 to 30 percent of sanctions collected from successful enforcement of covered judicial or administrative actions, or related actions, to individuals who provide information that leads to the successful enforcement of an action in which sanctions exceeding $1,000,000 are obtained. Section 23(c) establishes procedures for the determination or denial of an award. Rules 165.3 and 165.7 implement these statutory provisions. Rule 165.3 establishes the procedures for submitting original information, which enables the Commission to receive whistleblower tips regarding possible violations of the CEA. Ultimately, the receipt of such tips can lead to successful enforcement actions achieving total sanctions in excess of $1,000,000 or related actions. Rule 165.7 establishes the procedures for award applications and Commission award determinations. Rule 165.7 requires the whistleblower to apply for an award, and likewise enables the Commission to make a determination of the amount of an award or denial of an award based upon certain criteria.

---

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

---

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:
	82 FR 56222	11/28/2017
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 5760	02/09/2018
Did the Agency receive public comments on this ICR? Yes

---

Number of Information Collection (IC) in this ICR: 1

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

---

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	600	160	0	440	0	0
Annual Time Burden (Hours)	0	2,000	0	-2,000	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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The number of responses are expected to increase, but the expected time to complete each form has been revised down. This will result in the total burden hours for this collection decreasing overall.

---

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.     No

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.     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

---

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: 02/09/2018

---