Notice of Change of Officials and Senior Executive Officers

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form 4063 Notice of Change in Official or Senior Executive Officer	Form and Instruction	Modified	Available
Form 4062a Individual Application for Approval of Official or Senior Executive Officer	Form and Instruction	Modified	Available
FINAL_3133-0121_Supporting_Statement_092818.docx	Supporting Statement A	Uploaded 2018-09-28	Available
12CFR701-14_(1-1-18 ED).pdf	Supplementary Document	Uploaded 2018-09-04	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
32746	Form 4063 - Notice of Change In Official or Senior Executive Officer; Waiver to Notice	Form and Instruction	Modified	Notice of Change in Official or Senior Executive Officer
217777	Printing and mailing activities		Removed
217776	Information collection to file a reconsideration or appeal		Removed
217775	Information collection to provide additional information		Removed
217772	Form 4063a - Individual Application for Approval of Official or Senior Executive Officer	Form and Instruction	Modified	Individual Application for Approval of Official or Senior Executive Officer

ICR Details

OMB Control No: 3133-0121	ICR Reference No: 201804-3133-001
Status: Historical Active	Previous ICR Reference No: 201505-3133-004
Agency/Subagency: NCUA	Agency Tracking No: E&I
Title: Notice of Change of Officials and Senior Executive Officers
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: 11/19/2018
Retrieve Notice of Action (NOA)	Date Received in OIRA: 09/28/2018
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2021	36 Months From Approved	11/30/2018
Responses	483	0	2,034
Time Burden (Hours)	884	0	1,907
Cost Burden (Dollars)	0	0	34,948

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Abstract: In order to comply with statutory requirements, the agency must obtain sufficient information from new officials or senior executive officers of troubled or newly chartered credit unions to determine their fitness for the position. This is established by the Financial Institutions Reform, Recovery, and Enforcement Act of 1989 (FIRREA), Pub.L. 101-73. The forms provide a standardize format to collect the information needed.

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Authorizing Statute(s): PL: Pub.L. 101 - 73 914 Name of Law: Financial Institution Reform, Recovery, and Enforcement Act
  

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:
	83 FR 35028	07/24/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 49131	09/28/2018
Did the Agency receive public comments on this ICR? No

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

table that charts list of burden

IC Title	Form No.	Form Name
Form 4063 - Notice of Change In Official or Senior Executive Officer; Waiver to Notice	4063	Notice of Change in Official or Senior Executive Officer
Form 4063a - Individual Application for Approval of Official or Senior Executive Officer	4062a	Individual Application for Approval of Official or Senior Executive Officer
Information collection to file a reconsideration or appeal
Information collection to provide additional information
Printing and mailing activities

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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	483	2,034	0	-42	-1,509	0
Annual Time Burden (Hours)	884	1,907	0	-84	-939	0
Annual Cost Burden (Dollars)	0	34,948	0	-2,651	-32,297	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: Changing Regulations

Short Statement: There is a total reduction of 1,023 burden hours due to (1) the decrease in the number of newly chartered and troubled credit unions, an adjustment of -939 burden hours; (2) the NCUA appeals process has been consolidated under subpart B of part 746 and assigned OMB control number 3133-0198; a program change of -84 burden hours.

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Annual Cost to Federal Government: $117,510

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.     Yes

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.     Yes

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: 09/28/2018

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