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  
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