View Information Collection Request (ICR) Package
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COMMENT
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OMB Control No:
3245-0109
ICR Reference No:
202604-3245-001
Status:
Received in OIRA
Previous ICR Reference No:
202206-3245-006
Agency/Subagency:
SBA
Agency Tracking No:
Title:
Request for Information Concerning Portfolio Financing
Type of Information Collection:
Reinstatement without change of a previously approved collection
Common Form ICR:
No
Type of Review Request:
Regular
Date Submitted to OIRA:
04/07/2026
Requested
Previously Approved
Expiration Date
36 Months From Approved
Responses
2,685
0
Time Burden (Hours)
3,356
0
Cost Burden (Dollars)
260,928
0
Abstract:
SBA Form 857 is used by an SBIC examiner as part of an examination of an SBIC. In advance of the scheduled on-site part of the exam, the SBA examiner mails the form directly to a sample of portfolio concerns (usually 5 to 10 small businesses) that received financing by the SBIC being examined
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:
90 FR 26897
06/24/2025
30-day Notice:
Federal Register Citation:
Citation Date:
91 FR 16275
04/01/2026
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
Request for Information Concerning Portfolio Financing
SBA Form 857
REQUEST FOR INFORMATION CONCERNING PORTFOLIO FINANCING BY SMALL BUSINESS INVESTMENT COMPANIES (SBICs)
ICR Summary of Burden
Total Request
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
2,685
0
0
0
435
2,250
Annual Time Burden (Hours)
3,356
0
0
0
544
2,812
Annual Cost Burden (Dollars)
260,928
0
0
0
103,428
157,500
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:
Burden hours corrected to reflect 2685 responses, at 1.25 hrs per response, for total 3356 hrs.
Annual Cost to Federal Government:
$222,687
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?
No
Agency Contact:
Michael Donadieu 202 205-7281 michael.donadieu@sba.gov
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:
04/07/2026
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