Reparations Complaint, CFTC Form 30

Forms and Documents

Document Name	Status
(2021) 30-day notice 3038-0115.pdf Supplementary Document	2021-07-14
(2021) 60-Day FR Notice -3038-0115.pdf Supplementary Document	2021-07-14
CFTC-Form 30.pdf Supplementary Document	2021-07-14
(2021) Supporting Statement - 3038-0115-07-08-2021 clean draft.docx Supporting Statement A	2021-07-14

IC Document Collections

IC ID	Document Title	Status
229056	Reparations Complaint, CFTC Form 30	Modified

ICR Details

OMB Control No: 3038-0115	ICR Reference No: 202107-3038-001
Status: Received in OIRA	Previous ICR Reference No: 202103-3038-007
Agency/Subagency: CFTC	Agency Tracking No:
Title: Reparations Complaint, CFTC Form 30
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 07/14/2021

	Requested	Previously Approved
Expiration Date	36 Months From Approved	11/30/2021
Responses	24	15
Time Burden (Hours)	36	23
Cost Burden (Dollars)	0	0

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Abstract: Pursuant to Section 14 of the Commodity Exchange Act, members of the public may apply to the Commission to seek damages against Commission registrants for alleged violations of the Act and/or Commission regulations. The legislative intent of this reparations program was to provide a low-cost, speedy, and effective forum for the resolution of customer complaints and to sanction individuals and firms found to have violated the Act and/or any regulations. In 1984, the Commission promulgated Part 12 of the Commission regulations to administer Section 14. Rule 12.13 provides the standards and procedures for filing a reparations complaint. Specifically, subparagraph (b) describes the form and content requirements of a complaint. CFTC Form 30, created in or about 1984, mirrors the requirements set forth in subparagraph (b). The form was created to assist customers--who are typically pro se and non-lawyers--and also to provide proper notice to respondents of the charges against them. In November 2017, the Commission requested, and was granted, an OMB number to this PRA collection based on Form 30. This request represents both a renewal and revision of the current collection.

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Authorizing Statute(s): US Code: 7 USC 18 Name of Law: CEA
  

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:
	86 FR 25845	05/11/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 37135	07/14/2021
Did the Agency receive public comments on this ICR? No

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

IC Title	Form No.	Form Name
Reparations Complaint, CFTC Form 30

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ICR Summary of Burden

	Total Request	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	24	15	0	9	0	0
Annual Time Burden (Hours)	36	23	0	13	0	0
Annual Cost Burden (Dollars)	0	0	0	0	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: Going forward, the Commission estimates the number of potential complainants may increase to 24 once online submission of Form 30 becomes a facilitating factor. The time burden would remain the same at 1.5 hrs. per form, but the increase in potential complainants would increase the total annual time burden.

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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.     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? No

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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: 07/14/2021

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