
[Federal Register Volume 81, Number 100 (Tuesday, May 24, 2016)]
[Notices]
[Pages 32819-32820]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-12116]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; 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'') is soliciting comments on the 
collection of information summarized below. The Commission plans to 
submit this 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 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

[[Page 32820]]

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 per submission = 250 burden hours. The estimates of average 
burden hours are made solely for the purposes of the Paperwork 
Reduction Act. 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 
users, including through the use of automated collection techniques or 
other forms of information technology.
    Consideration will be given to comments and suggestions submitted 
in writing within 60 days of this publication. Please direct your 
written comments to 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.

    Dated: May 18, 2016.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-12116 Filed 5-23-16; 8:45 am]
BILLING CODE 8011-01-P


