Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form Form FTS SEC Filer Technical Support Help Desk Survey Questions	Form	Unchanged	Available
Supporting Statement for 2018 Renewal of Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery OMB No. 3235-0731.pdf	Supporting Statement A	Uploaded 2019-03-01	Available
2015-07-17 fast-track-PRA-submission-short-form request OMWI Post Event.docx	Supplementary Document	Uploaded 2018-06-05	Available
EDGAR OSI Focus Template - Gen Clearance PRA.docx	Supplementary Document	Uploaded 2018-06-05	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
252273	US Securities and Exchange Commission Public Perception Survey	Other-Survey	New
251051	SEC OPA Public Perception Survey – Additional Question	Other-Survey	New
251048	Africa Institute Survey (pre-event)	Other-Survey	New
250995	SEC/OIEA Post Event Survey	Other-User Survey	New
250994	EDGAR Website Update	Other-Survey	New
249956	OPA Public Perception Survey	Other-Survey	New
247462	SBF Polling Questions	Other-Polling Questions	New
247127	SEC Eventbrite Registration Questionnaire	Other-Registration	New
246276	Emerging Manager Series Registration	Other-Eventbrite Survey Registration	New
245225	OASB Capital Call Eventbrite Registration	Other-Registration	New
241692	EDGAR Feedback Flier	Other-Survey	New
241501	Eventbrite Survey Registration	Other-Survey	New
239371	EDGAR OSI Focus Template	Other-	New
231586	EDGAR User Outreach	Other-Feedback Questions	New
221776	SEC Filer Technical Support Help Desk Survey Questions	Form	Unchanged	SEC Filer Technical Support Help Desk Survey Questions
219469	SEC Filing Fee Branch Registrant Survey	Other-Feedback Survey	Unchanged
219049	OFM Conference Feedback Survey	Other-Survey	Unchanged
219048	OMWI Post Event Survey	Other-Survey	Unchanged

ICR Details

OMB Control No: 3235-0731	ICR Reference No: 201802-3235-003
Status: Historical Active	Previous ICR Reference No: 201507-3235-014
Agency/Subagency: SEC	Agency Tracking No: GC-270-789
Title: Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 03/13/2019
Retrieve Notice of Action (NOA)	Date Received in OIRA: 11/16/2018
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2022	36 Months From Approved	03/31/2019
Responses	20,000	0	20,000
Time Burden (Hours)	3,500	0	3,500
Cost Burden (Dollars)	0	0	0

---

Abstract: This collection of information is necessary to enable the Agency to garner customer and stakeholder feedback in an efficient, timely manner, in accordance with our commitment to improving service delivery. The information collected from our customers and stakeholders will help ensure that users have an effective, efficient, and satisfying experience with the Agency's programs. This feedback will provide insights into customer or stakeholder perceptions, experiences and expectations, provide an early warning of issues with service, or focus attention on areas where communication, training or changes in operations might improve delivery of products or services. These collections will allow for ongoing, collaborative and actionable communications between the Agency and its customers and stakeholders. It will also allow feedback to contribute directly to the improvement of program management.

---

Authorizing Statute(s): None

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:
	83 FR 27042	06/11/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 27042	08/24/2018
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 18

table that charts list of burden

IC Title	Form No.	Form Name
Africa Institute Survey (pre-event)
EDGAR Feedback Flier
EDGAR OSI Focus Template
EDGAR User Outreach
EDGAR Website Update
Emerging Manager Series Registration
Eventbrite Survey Registration
OASB Capital Call Eventbrite Registration
OFM Conference Feedback Survey
OMWI Post Event Survey
OPA Public Perception Survey
SBF Polling Questions
SEC Eventbrite Registration Questionnaire
SEC Filer Technical Support Help Desk Survey Questions	Form FTS	SEC Filer Technical Support Help Desk Survey Questions
SEC Filing Fee Branch Registrant Survey
SEC OPA Public Perception Survey – Additional Question
SEC/OIEA Post Event Survey
US Securities and Exchange Commission Public Perception Survey

---

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	20,000	20,000	0	0	0	0
Annual Time Burden (Hours)	3,500	3,500	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: This is a new generic information collection request.

---

Annual Cost to Federal Government: $150,000

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]? 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: 11/16/2018

---