Reporting on Brokering Activities

OMB Control No: 1405-0141	ICR Reference No: 201103-1405-001
Status: Historical Active	Previous ICR Reference No: 201001-1405-001
Agency/Subagency: STATE/AFA	Agency Tracking No:
Title: Reporting on Brokering Activities
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 05/12/2011
Retrieve Notice of Action (NOA)	Date Received in OIRA: 03/03/2011
Terms of Clearance: OMB intends to grant approvals in one-year increments only until the Dept. of State completes its planned revision of ITAR sec. 129 and the form is made available for submission to State in a web-based, electronic format. The date should appear on the relevant page of the new web-based electronic form when available.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2012	36 Months From Approved	05/31/2011
Responses	1,515	0	600
Time Burden (Hours)	3,030	0	1,200
Cost Burden (Dollars)	0	0	0

---

Abstract: Any person who is an arms broker operating within U.S. jurisdiction must provide an annual report to PM/DDTC, Department of State, describing his or her brokering activities.

---

Authorizing Statute(s): None

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:
	75 FR 237	12/10/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 42	03/03/2011
Did the Agency receive public comments on this ICR? No

---

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

IC Title Form No. Form Name Reporting on Brokering Activities DS4142 DS-4142 Annual Brokering Report (22 CFR 129)

---

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	1,515	600	0	915	0	0
Annual Time Burden (Hours)	3,030	1,200	0	1,830	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: The Department anticipates amending the regulations pertaining to brokering in 2011, which will further provide that all registered brokers must submit an annual brokering report regardless of brokering activity

---

Annual Cost to Federal Government: $126,000

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

Agency Contact: Nicholas Memos 2026332804 [email protected]

---

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: 03/03/2011

---