CFTC SmartCheck Annual Campaign Impact Tracking Survey

Forms and Documents

Document Name	Status
Form 3038-0114 CFTC SmartCheck Annual Campaign Impact Tracking Survey Form and Instruction	Modified
Form 3038-0114 CFTC SmartCheck Annual Campaign Impact Tracking Survey Form and Instruction	Modified
3038-0114 Non-substantive changes 10 20 16.docx Justification for No Material/Nonsubstantive Change	2016-10-20
0114- SmartCheck Tracking Survey Questionnaire_OCEO_Revised.docx Supporting Statement A	2016-10-20
60-day FRN (6-9-2016).pdf Supplementary Document	2016-08-03

IC Document Collections

IC ID	Document Title	Status
222844	CFTC SmartCheck Annual Campaign Impact Tracking Survey Form and Instruction	Modified
222840	CFTC SmartCheck Annual Campaign Impact Tracking Survey Form and Instruction	Modified

ICR Details

OMB Control No: 3038-0114	ICR Reference No: 201610-3038-003
Status: Historical Active	Previous ICR Reference No: 201608-3038-003
Agency/Subagency: CFTC	Agency Tracking No:
Title: CFTC SmartCheck Annual Campaign Impact Tracking Survey
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 10/27/2016
	Date Received in OIRA: 10/20/2016
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2019	09/30/2019	09/30/2019
Responses	6,000	0	6,000
Time Burden (Hours)	567	0	567
Cost Burden (Dollars)	0	0	0

---

Abstract: The CFTC’s Office of Customer Education and Outreach (OCEO) develops campaigns to change customer behaviors, so that customers can better avoid fraud as defined under the Commodities Exchange Act. The OCEO intends to survey the public by identifying customers and determining if the CFTC’s SmartCheckSM campaign is helping them to identify, avoid, and report financial fraud. The OCEO will use the information collected in the survey to refine the methods used to inform the public about how to best detect and report financial fraud. This will be done by creating a final summary report that includes key findings from the survey. Findings from the summary report will be used to directionally inform the outreach efforts that the CFTC undertakes concerning helping customers avoid financial fraud.

---

Authorizing Statute(s): US Code: 7 USC 26 Name of Law: Whistleblower-Consumer Outreach
  

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:
	81 FR 37188	06/09/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 53125	08/11/2016
Did the Agency receive public comments on this ICR? No

---

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

IC Title	Form No.	Form Name
CFTC SmartCheck Annual Campaign Impact Tracking Survey	3038-0114	SmartCheck Tracking Survey Questionnaire
CFTC SmartCheck Annual Campaign Impact Tracking Survey	3038-0114	SmartCheck Tracking Survey Questionaire

---

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	6,000	6,000	0	0	0	0
Annual Time Burden (Hours)	567	567	0	0	0	0
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:

---

Annual Cost to Federal Government: $50,000

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? 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: 10/20/2016

---