Portfolio Financing Report

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form 1031 Form 1031 Version 4.0	Form	Modified	Available
PRA SBA Form 1031 Non-Substantive Changes Memo to OMB v2 to V3 (06.27.2025).docx	Justification for No Material/Nonsubstantive Change	Uploaded 2025-06-30	Available
3245-0078 1031 Supporting Statement (6.20.23) OMB Submission 7-20-2023.docx	Supporting Statement A	Uploaded 2023-07-20	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
35631	Portfolio Financing Report	Form	Modified	Form 1031 Version 4.0
35631	Portfolio Financing Report	Instruction	Modified

ICR Details

OMB Control No: 3245-0078	ICR Reference No: 202611-3245-001
Status: Received in OIRA	Previous ICR Reference No: 202506-3245-004
Agency/Subagency: SBA	Agency Tracking No:
Title: Portfolio Financing Report
Type of Information Collection: Reinstatement with change of a previously approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 11/03/2026

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved
Responses	1,492	0
Time Burden (Hours)	1,492	0
Cost Burden (Dollars)	104,201	0

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Abstract: The information in SBA Forms 1031 is collected for each financing that an Small Business Investment Company (SBIC) provides to a small business concern. SBA Form 1031 is SBA's primary source of information for compiling statistics on the SBIC program as a provider of capital to small businesses.

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Authorizing Statute(s): None

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:
	91 FR 46223	07/22/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 69296	11/03/2026
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
Portfolio Financing Report	1031	Form 1031 Version 4.0

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ICR Summary of Burden

table that charts list 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	1,492	0	0	-1,263	0	2,755
Annual Time Burden (Hours)	1,492	0	0	-1,263	0	2,755
Annual Cost Burden (Dollars)	104,201	0	0	-27,956	0	132,157

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: Miscellaneous Actions

Short Statement: The increase in the annual hour burden estimate reflects the anticipated number of respondents based upon the current size of the SBIC program and the total number of SBIC financings over the past 12 months. There is no change in the estimated hour burden per response.

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Annual Cost to Federal Government: $9,561

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: 11/03/2026

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