Document ID: SEC-2016-1296-0001
Agency: sec
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals: Ombudsman Matter Management System
Posted Date: 2016-07-26T04:00Z

[Federal Register Volume 81, Number 143 (Tuesday, July 26, 2016)]
[Notices]
[Pages 48878-48879]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-17636]

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SECURITIES AND EXCHANGE COMMISSION

Submission for OMB Review; Comment Request

Upon Written Request Copies Available From: Securities and Exchange 
Commission, Office of FOIA Services, 100 F Street NE., Washington, DC 
20549-2736.

Ombudsman Matter Management System, OMB Control No. 3235-XXXX, SEC 
File No. 270-797.

    Notice is hereby given that, pursuant to the Paperwork Reduction 
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange 
Commission (``Commission'' or ``SEC'') has submitted this new request 
for the new collection of information to the Office of Management and 
Budget for approval.
    Members of the public who contact the Ombudsman for assistance 
currently do so by traditional mail, electronic mail, telephone, and 
facsimile. To make

[[Page 48879]]

it easier for retail investors and others to contact the Ombudsman 
electronically, the Commission is developing the Ombudsman Matter 
Management System (``OMMS''), a new, 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, and invites comment on OMMS. 
Through OMMS, members of the public may request assistance from the 
Ombudsman and staff using a web-based form (the ``OMMS Form'') tailored 
to gather information about matters within the scope of the Ombudsman's 
function and streamline the inquiry and response process.
    The OMMS Form will facilitate communication with the Ombudsman via 
an electronic series of basic questions with user-friendly response 
features such as radio buttons, drop-down menu responses, pop-up 
explanation bubbles, Web page links, fillable narrative text fields, 
and document upload options. In addition, the OMMS Form incorporates 
functionality that, depending upon certain responses, pre-populates 
specific fields, and prompts the user to provide additional 
information. By eliciting specific information from the user, the OMMS 
Form will facilitate communication between the user and the Ombudsman, 
reduce response and resolution times, and maximize Ombudsman staff 
resources available for recording, processing, and responding to 
matters. The requested information collection is voluntary and will not 
change the contact methods currently available.
    The Commission expects that OMMS will be operative and the OMMS 
Form publicly available through the Commission's Web site, https://www.sec.gov. The Commission estimates that the total reporting burden 
for using the OMMS Form will be 250 hours. The calculation of this 
estimate depends on how many members of the public use the form each 
year and the estimated time it takes to complete the forms: 500 
respondents x 30 minutes = 250 burden hours. The estimates of average 
burden hours are made solely for the purposes of the Paperwork 
Reduction Act and are not derived from a comprehensive or even 
representative survey or study of the cost of Commission rules and 
forms. The total estimated one-time cost to the federal government of 
creating OMMS and the OMMS Form is $400,000.
    An agency may not conduct or sponsor a collection of information 
unless it displays a currently valid control number. No person shall be 
subject to any penalty for failing to comply with a collection of 
information subject to the PRA that does not display a valid Office of 
Management and Budget control number.
    Written comments are invited on all aspects of this proposed 
information collection request, in particular: (a) Whether this 
collection of information is necessary for the proper performance of 
the functions of the agency, including whether the information will 
have practical utility; (b) the accuracy of the agency's estimate of 
the burden imposed by the collection of information; (c) ways to 
enhance the quality, utility, and clarity of the information collected; 
and (d) ways to minimize the burden of the collection of information on 
respondents, including through the use of automated collection 
techniques or other forms of information technology.
    Background documentation for this information collection may be 
viewed at the following Web site, www.reginfo.gov. Comments should be 
directed to: (i) Desk Officer for the Securities and Exchange 
Commission, Office of Information and Regulatory Affairs, Office of 
Management and Budget, Room 10102, New Executive Office Building, 
Washington, DC 20503, or by sending an email to 
Shagufta_Ahmed@omb.eop.gov; and (ii) Pamela Dyson, Director/Chief 
Information Officer, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon, 100 F Street NE., Washington, DC 20549; or send an email 
to: PRA_Mailbox@sec.gov. Comments must be submitted within 30 days of 
this notice.

    Dated: July 21, 2016.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-17636 Filed 7-25-16; 8:45 am]
 BILLING CODE 8011-01-P