Information Collection for Self-Certification to the EU-U.S. and Swiss-U.S. Privacy Shield Framework

Forms and Documents

Document Name	Status
supporting stmt._PS self-cert & qnrs._05-04-20.docx Supporting Statement A	2020-05-05
abstract_non-material change_OMB 0625-0276 _03-23-2017.docx Justification for No Material/Nonsubstantive Change	2017-03-27

IC Document Collections

IC ID	Document Title	Status
241551	Compliance Review Questionnaire Other-Questionnaire	New
241550	Annual Questionnaire for Organizations that Indicated upon Withdrawal that They Would Retain Personal Data Received under the Privacy Shield Other-Questionnaire	New
241548	Withdrawal Questionnaire Other-Questionnaire	New
241547	Failure to Recertify Questionnaire Other-Questionnaire	New
222570	Information Collection for Self-Certification to the EU_U.S. and Swis-U.S. Privacy Shield Framework Other-Questionnaire	Modified

ICR Details

OMB Control No: 0625-0276	ICR Reference No: 202003-0625-001
Status: Historical Active	Previous ICR Reference No: 201703-0625-002
Agency/Subagency: DOC/ITA	Agency Tracking No: 0625-0276
Title: Information Collection for Self-Certification to the EU-U.S. and Swiss-U.S. Privacy Shield Framework
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 05/08/2020
	Date Received in OIRA: 03/19/2020
Terms of Clearance: Agency updated the supporting statement to include additional information.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2023	36 Months From Approved	05/31/2020
Responses	5,651	0	3,000
Time Burden (Hours)	3,735	0	1,900
Cost Burden (Dollars)	6,923,250	0	2,953,860

---

Abstract: The Department of Commerce (DOC), as represented by the International Trade Administration (ITA), requests approval of non-material changes to the previously approved information collection concerning the EU-U.S. Privacy Shield Framework (OMB Control No. 0625-0276). These changes would clarify that the information collection instruments (i.e., the self-certification form, as well as questionnaires) may be used to collect information in connection with the analogous Swiss-U.S. Privacy Shield Framework in addition to the EU-U.S. Privacy Shield Framework.

---

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:
	84 FR 70942	12/26/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 14184	03/11/2020
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 5

IC Title	Form No.	Form Name
Failure to Recertify Questionnaire
Withdrawal Questionnaire
Annual Questionnaire for Organizations that Indicated upon Withdrawal that They Would Retain Personal Data Received under the Privacy Shield
Compliance Review Questionnaire
Information Collection for Self-Certification to the EU_U.S. and Swis-U.S. Privacy Shield Framework

---

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	5,651	3,000	0	2,651	0	0
Annual Time Burden (Hours)	3,735	1,900	0	1,835	0	0
Annual Cost Burden (Dollars)	6,923,250	2,953,860	0	3,969,390	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 adjusted figures and by extension the estimates provided in the answers to Questions 12, 13, and 14 reflect the number of “responses” (i.e., the self-certification form-based initial self-certification and re-certification applications, and the four different types of questionnaires) received, reviewed, and processed in the preceding twelve-month period. The adjusted figures and by extension the estimates provided in the answer to Question 14 also reflects the average federal government “response times” associated with the reviewing and processing of the questionnaires in the preceding twelve-month period.

---

Annual Cost to Federal Government: $582,668

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: 03/19/2020

---