Brokering Prior Approval (License)

OMB Control No: 1405-0142	ICR Reference No: 201902-1405-001
Status: Active	Previous ICR Reference No: 201705-1405-005
Agency/Subagency: STATE/AFA	Agency Tracking No:
Title: Brokering Prior Approval (License)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 04/22/2019
Retrieve Notice of Action (NOA)	Date Received in OIRA: 02/12/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2022	36 Months From Approved	04/30/2019
Responses	170	0	100
Time Burden (Hours)	340	0	200
Cost Burden (Dollars)	0	0	0

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Abstract: U.S. persons and foreign persons within U.S. jurisdiction must receive United States Government approval prior to engaging in arms brokering activity. Section 129.7 of the International Traffic in Arms Regulations articulates that requirement, and what information is to be provided to the Department of State.

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Authorizing Statute(s): US Code: 22 USC 129 Name of Law: International Traffic in Arms Regulations    EO: EO 13637 Name/Subject of EO: Administration of Reformed Export Controls    US Code: 22 USC 278 Name of Law: Section 38(b)(1)(A)(ii)(III) of the Arms Export Control Act

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:
	83 FR 52298	10/16/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 3529	02/12/2019
Did the Agency receive public comments on this ICR? Yes

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

IC Title Form No. Form Name Brokering Prior Approval (License) DS-4294 Brokering License Requirements

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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	170	100	0	0	70	0
Annual Time Burden (Hours)	340	200	0	0	140	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: The number of respondents has been adjusted from 100 to 170, the most recent estimate. Total annual responses have been adjusted from 100 to 170 due to an increase in the number of Brokering Licenses requested from Industry. Consequently, total annual hours requested have been adjusted to 340.

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Annual Cost to Federal Government: $23,200

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.     No

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.     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: Andrea Battista 202 663-3136

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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: 02/12/2019

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