Ombudsman Matter Management System (OMMS) Submission Form

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form OMMS OMMS Submisssion Form	Form and Instruction	Unchanged	Available
Form OMMS Form OMMS Form	Form	Unchanged	Repair queued
Form OMMS Form Ombudsman Matter Management System (OMMS)	Form	Unchanged	Repair queued
Emergency Request Memo Dec 6 2022 OMMS SIGNED dlb.pdf	Supplementary Document	Uploaded 2022-12-08	Available
Emergency Request Memo Dec 6 2022 OMMS SIGNED dlb.pdf	Supplementary Document	Uploaded 2022-12-08	Repair queued
2019.08.21 OMMS Supporting Statement.pdf	Supporting Statement A	Uploaded 2019-08-21	Available
2019.08.21 OMMS Supporting Statement.pdf	Supporting Statement A	Uploaded 2019-08-21	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
222733	Ombudsman Matter Management System (OMMS)	Form and Instruction	Unchanged	OMMS Submisssion Form
222733	Ombudsman Matter Management System (OMMS)	Form	Unchanged	OMMS Form
222733	Ombudsman Matter Management System (OMMS)	Form	Unchanged

ICR Details

OMB Control No: 3235-0748	ICR Reference No: 202212-3235-005
Status: Historical Active	Previous ICR Reference No: 201906-3235-003
Agency/Subagency: SEC	Agency Tracking No: OIA-270-797
Title: Ombudsman Matter Management System (OMMS) Submission Form
Type of Information Collection: Reinstatement without change of a previously approved collection	Common Form ICR:  No
Type of Review Request: Emergency	Approval Requested By: 12/09/2022
OIRA Conclusion Action: Approved without change	Conclusion Date: 12/09/2022
Retrieve Notice of Action (NOA)	Date Received in OIRA: 12/08/2022
Terms of Clearance: In response to the emergency request memorandum submitted by the SEC on 12/9/2022, OIRA is approving the Commission's request for emergency consideration of OMB control # 3235-0748 for a period of six months. As a result of agency staff turnover, normal clearance procedures, including standard notice and comment periods, were not taken with respect to this ICR extension prior to expiration of the OMB control number. Prior to the expiration of this package in six months, SEC shall undertake standard notice and comment procedures and describe in its next ICR submission all comments received and the extent to which commenters' recommendations were adopted.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2023	6 Months From Approved
Responses	800	0	0
Time Burden (Hours)	400	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: The Securities and Exchange Commission (“Commission”) is developing the Ombudsman Matter Management System (“OMMS”), an electronic data collection system for the receipt, collection and analysis of inquiries, complaints, and recommendations from retail investors directed to the SEC Ombudsman and the Office of the Investor Advocate. Section 919D of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Section 919D”), as codified under Section 4(g) of the Securities Exchange Act of 1934, requires the SEC Ombudsman to (i) act as a liaison between the Commission and any retail investor in resolving problems that retail investors may have with the Commission or with self-regulatory organizations (“SROs”); (ii) review and make recommendations regarding policies and procedures to encourage persons to present questions to the Investor Advocate regarding compliance with the securities laws; and (iii) establish safeguards to maintain the confidentiality of communications between the persons described in clause (ii) and the Ombudsman. In addition, Section 919D requires the Ombudsman to submit a semi-annual report to the Investor Advocate describing the activities and evaluating the effectiveness of the Ombudsman during the preceding year. Currently, the Ombudsman uses a manual system to input investor inquiries and concerns, track staff responses, and analyze data and trends. OMMS is designed to automate the information collection and management process, centralize records and related information in a single system, and increase the efficiency with which the staff can access and use that information. OMMS uses a web-based form (the “OMMS Form”) to guide the user through a series of basic questions, pre-populated lists, and fillable input fields specifically tailored to elicit information concerning matters within the scope of the Ombudsman’s function. In addition, the OMMS Form requests detailed contact information to enhance efficient communication with users and provides an electronic attachment feature for users to upload and submit related documents for staff review.

Emergency Justfication: Due to the Fact that the ICR Extension for this one was assigned to an employee that Retired, it was never processed and expired on 10/31/2022. We are Seeking an Emergency Reinstatement of it. The CIO Emergency Re-Instatement Signed MEMO is attached to this Submission. Thanks... - John Pezzullo.

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Authorizing Statute(s): PL: Pub.L. 11 - 203 919D Name of Law: -Frank Wall Street Reform and Consumer Protection Act of 2010
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 919D Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

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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

Did the Agency receive public comments on this ICR? No

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

table that charts list of burden

IC Title	Form No.	Form Name
Ombudsman Matter Management System (OMMS)	OMMS, OMMS Form	OMMS Form ,   OMMS Submisssion Form

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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	800	0	0	0	0	800
Annual Time Burden (Hours)	400	0	0	0	0	400
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:

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Annual Cost to Federal Government: $133,333

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]? Yes

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: 12/08/2022

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