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Agenda
Reg Review
ICR
Information Collection List
IC Title
Status
Responses
Hours
Dollars
Document Type
Form No.
Form Name
IC 1.1 - Policies and procedures required by Rule 1001(a) - initial burden- Current SCI Entities
New
47
18142
1365350
IC 1.2 - Policies and procedures required by Rule 1001(a) - initial burden - competing consolidators
New
5
3123
211500
IC 10.2 - SCI event notice required by Rule 1002(b)(1) - Competing Consolidators
New
25
40
6905
IC 11.1 - SCI event notice required by Rule 1002(b)(2) - Current SCI Entities
New
376
9024
68150
IC 11.2 - SCI event notice required by Rule 1002(b)(2) - Competing Consolidators
New
25
600
6905
IC 12.1 - SCI event notice required by Rule 1002(b)(3) - Current SCI Entities
New
188
987
34075
IC 12.2 - SCI event notice required by Rule 1002(b)(3) - Competing Consolidators
New
10
53
2762
IC 13.1 - SCI event notice required by Rule 1002(b)(4) - Current SCI Entities
New
376
13160
68150
IC 13.2 - SCI event notice required by Rule 1002(b)(4) - Competing Consolidators
New
25
875
6905
IC 14.1 - SCI event notice required by Rule 1002(b)(5) - Current SCI Entities
New
188
6768
34075
IC 14.2 - SCI event notice required by Rule 1002(b)(5) - Competing Consolidators
New
20
800
5524
IC 15.1 - Dissemination of information required by Rule 1002(c)(1)(i) - Current SCI Entities
New
141
987
29258
IC 15.2 - Dissemination of information required by Rule 1002(c)(1)(i) - Competing Consolidators
New
15
105
3831
IC 16.1 - Dissemination of information required by Rule 1002(c)(1)(ii) - Current SCI Entities
New
423
5499
87773
IC 16.2 - Dissemination of information required by Rule 1002(c)(1)(ii) - Competing Consolidators
New
45
585
11492
IC 17.1 - Dissemination of information required by Rule 1002(c)(2) - Current SCI Entities
New
188
1880
39010
IC 17.2 - Dissemination of information required by Rule 1002(c)(2) - Competing Consolidators
New
5
50
1277
IC 18.1 - Material systems change notice required by Rule 1003(a)(1) - Current SCI Entities
New
188
23500
0
IC 18.2 - Material systems change notice required by Rule 1003(a)(1) - Competing Consolidators
New
20
2500
0
IC 19.1 - Material systems change notice required by Rule 1003(a)(2) - Current SCI Entities
New
47
705
0
IC 19.2 - Material systems change notice required by Rule 1003(a)(2) - Competing Consolidators
New
5
75
0
IC 2.1 - Policies and procedures required by Rule 1001(a) - ongoing burden - Current SCI Entities
New
47
13630
0
IC 2.2 - Policies and procedures required by Rule 1001(a) - ongoing burden - Competing Consolidator
New
5
1160
0
IC 20.1 - SCI review required by Rule 1003(b)(1) and (b)(2) - Current SCI Entities
New
47
48645
3525000
IC 20.2 - SCI review required by Rule 1003(b)(1) and (b)(2) - Competing Consolidators
New
5
3450
250000
IC 21.1 - SCI review required by Rule 1003(b)(3) - Current SCI Entities
New
47
1175
0
IC 21.2 - SCI review required by Rule 1003(b)(3) - Competing Consolidators
New
5
5
0
IC 22.1 - Access to EFFS - EAUF - initial burden - Competing Consolidators
New
10
1
0
IC 23.1 - Access to EFFS - EAUF - ongoing burden - Current SCI Entities
New
47
7
0
IC 23.2 - Access to EFFS - EAUF - ongoing burden - Competing Consolidators
New
5
1
0
IC 23.3 - Access to EFFS - digital ID - New SCI Entities
New
46
0
1150
IC 23.4 - Access to EFFS - digital ID - Current SCI Entities
New
94
0
2350
IC 23.5 - Access to EFFS - digital ID - Competing Consolidators
New
10
0
250
IC 24.1 - Corrective action required by Rule 1002(a) - initial burden - Current SCI Entities
New
47
1081
0
IC 24.2 - Corrective action required by Rule 1002(a) - initial burden - Competing Consolidators
New
5
513
0
IC 25.1 - Corrective action required by Rule 1002(a) - ongoing burden - Current SCI Entities
New
47
1833
0
IC 25.2 - Corrective action required by Rule 1002(a) - ongoing burden - Competing Consolidators
New
5
195
0
IC 26.1 - Identification of critical SCI systems, major SCI events, de minimis SCI events, and material systems changes - initial burden - Current SCI Entities
New
47
4183
0
IC 26.2 - Identification of critical SCI systems, major SCI events, de minimis SCI events, and material systems changes - initial burden - Competing Consolidators
New
5
1404
0
IC 27.1 - Identification of critical SCI systems, major SCI events, de minimis SCI events, and material systems changes - ongoing burden - Current SCI Entities
New
47
3784
0
IC 27.2 - Identification of critical SCI systems, major SCI events, de minimis SCI events, and material systems changes - ongoing burden Competing Considators
New
5
330
0
IC 28.1 - Recordkeeping required by Rules 1005 and 1007 - initial burden - Competing Consolidators
New
5
765
4500
IC 29.1 - Recordkeeping required by Rules 1005 and 1007 - ongoing burden - Current SCI Entities
New
12
300
0
IC 29.2 - Recordkeeping required by Rules 1005 and 1007 - ongoing burden - Competing Consolidators
New
5
125
0
IC 3.1 - Policies and procedures required by Rule 1001(b) - initial burden - Competing Consolidator
New
5
1215
121500
IC 31 - Access to EFFS - digital ID
Unchanged
108
0
2700
IC 4.1 - Policies and procedures required by Rule 1001(b) - ongoing burden - Competing Consolidators
New
5
475
0
IC 5.1 - Policies and procedures required by Rule 1001(b) - ongoing burden - New SCI Entities non-SROs
New
23
2185
0
IC 6.1 - Policies and procedures required by Rule 1001(c) - initial burden - Competing Consolidators
New
5
513
0
IC 7.1 - Policies and procedures required by Rule 1001(c) – ongoing burden - Current SCI Entities
New
47
1833
0
IC 7.2 - Policies and procedures required by Rule 1001(c) – ongoing burden - Competing Consolidators
New
5
195
0
IC 8.1 - Mandate participation in certain testing for non-plan processors required by Rule 1004 – initial burden - Current SCI Entities
New
47
4230
0
IC 8.2 - Mandate participation in certain testing for non-plan processors required by Rule 1004 – initial burden - Competing Consolidators
New
7
1980
0
IC 9.1 - Mandate participation in certain testing for non-plan processors required by Rule 1004 - ongoing burden - Current SCI Entities
New
47
7943
0
IC 9.2 - Mandate participation in certain testing for non-plan processors required by Rule 1004 - ongoing burden - Competing Consolidators
New
5
675
0
IC 9.3 - Mandate participation in certain testing for plan processors required by Rule 1004
New
2
0
108000
IC1 - Policies and procedures required by Rule 1001(a) - initial burden-- New SCI Entities
Modified
23
24150
1697400
IC10 - SCI event notice required by Rule 1002(b)(1) - New SCI Entities
Modified
184
299
33350
Form and Instruction
Form SCI
Form SCI
IC11 - SCI event notice required by Rule 1002(b)(2) - New SCI Entities
Modified
184
4416
33350
Form and Instruction
Form SCI
Form SCI
IC12 - SCI event notice required by Rule 1002(b)(3) - New SCI Entities
Modified
92
483
16675
Form and Instruction
Form SCI
Form SCI
IC13 - SCI event notice required by Rule 1002(b)(4) - New SCI Entities
Modified
184
6440
33350
Form and Instruction
Form SCI
Form SCI
IC14 - SCI event notice required by Rule 1002(b)(5) - New SCI Entities
Modified
92
3312
16675
Form and Instruction
Form SCI
Form SCI
IC15 - Dissemination of information required by Rule 1002(c)(1)(i) - New SCI Entities
Modified
69
483
14318
IC16 - Dissemination of information required by Rule 1002(c)(1)(ii) - New SCI Entities
Modified
207
2691
42953
IC17 - Dissemination of information required by Rule 1002(c)(2)
Modified
92
920
19090
IC17 - Dissemination of information required by Rule 1002(c)(2) - New Entities
New
92
920
19090
IC18 - Material systems change notice required by Rule 1003(a)(1) - New SCI Entities
Modified
92
11500
0
Form and Instruction
Form SCI
Form SCI
IC19 - Material systems change notice required by Rule 1003(a)(2) - New SCI Entities
Modified
23
345
0
Form and Instruction
Form SCI
Form SCI
IC2 - Policies and procedures required by Rule 1001(a) - ongoing burden - New SCI Entities
Modified
23
6670
0
IC20 - SCI review required by Rule 1003(b)(1) and (b)(2) - New SCI Entities
Modified
23
23805
1725000
Form and Instruction
Form SCI
Form SCI
IC21 - SCI review required by Rule 1003(b)(3) - New SCI Entities
Modified
23
575
0
Form and Instruction
Form SCI
Form SCI
IC22 - Access to EFFS - EAUF - initial burden - New SCI Entities
Modified
46
7
0
IC23 - Access to EFFS - EAUF - ongoing burden - New SCI Entities
Modified
23
3
0
IC24 - Corrective action required by Rule 1002(a) - initial burden - New SCI Entities
Modified
23
3151
0
IC25 - Corrective action required by Rule 1002(a) - ongoing burden - New SCI Entities
Modified
23
897
0
IC26 - Identification of critical SCI systems, major SCI events, de minimis SCI events, and material systems changes - initial burden - New SCI Entities
Modified
23
9223
0
IC27 - Identification of critical SCI systems, major SCI events, de minimis SCI events, and material systems changes - ongoing burden - New SCI Entities
Modified
23
1851
0
IC28 - Recordkeeping required by Rules 1005 and 1007 - initial burden - New SCI Entities
Modified
23
3910
20700
IC29 - Recordkeeping required by Rules 1005 and 1007 - ongoing burden - New SCI Entities
Modified
23
575
0
IC3 - Policies and procedures required by Rule 1001(b) - initial burden - New SCI Entities
Modified
23
6210
621000
IC30 - Mandate participation in certain testing for plan processors required by Rule 1004
Unchanged
2
0
108000
IC4 - Policies and procedures required by Rule 1001(b) - ongoing burden - SCI SROs
Modified
35
6125
0
IC5 - Policies and procedures required by Rule 1001(b) -ongoing burden - Current SCI Entities non-SROs
Modified
12
1140
0
IC6 - Policies and procedures required by Rule 1001(c) - initial burden - New SCI Entities
Modified
23
2622
0
IC7 - Policies and procedures required by Rule 1001(c) - ongoing burden - New SCI Entities
Modified
23
897
0
IC8 - Mandate participation in certain testing for non-plan processors required by Rule 1004 - initial burden - New SCI Entities
Modified
23
10350
0
IC9 - Mandate participation in certain testing for non-plan processors required by Rule 1004 - ongoing burden- New SCI Entities
Modified
23
3887
0
ICR 10.1 - SCI event notice required by Rule 1002(b)(1) - Current SCI Entities
New
376
611
68150
Total burden requested under this ICR:
5416
331757
10467493
To view an IC, click on IC Title