Change Requests

Key Information

Previous ICR	201908-1513-001

Federal Register Notices

Authorizing Statutes

Abstract

The U.S. Food and Drug Administration (FDA) has determined that sulfating agents are human allergens that can have serious health implications for persons who are allergic to sulfites, particularly asthmatics, and, as a result, FDA regulations require food labels to declare the presence of sulfites if there are 10 parts per million (ppm) or more of a sulfating agent in a finished food product. Under the Federal Alcohol Administration Act (FAA Act) at 27 U.S.C. 205(e), the Secretary of the Treasury is authorized to issue regulations requiring alcohol beverage labels to provide “adequate information” to consumers regarding the identity and quality of such products. Under that FAA Act authority and consistent with FDA’s food labeling requirements, the Alcohol and Tobacco Tax and Trade Bureau (TTB) alcohol beverage labeling regulations in 27 CFR part 4 (wine), part 5 (distilled spirits), and part 7 (beer) require a declaration of sulfites on the labels of alcohol beverages released from domestic bottling premises or customs custody when sulfites are present in such products at levels of 10 or more ppm. This label disclosure is necessary to protect sulfite-sensitive consumers from products that potentially could be harmful to them.

Key Information

Previous ICR	201908-1513-002

Federal Register Notices

Authorizing Statutes

Abstract

The Internal Revenue Code (IRC) at 26 U.S.C. 5178 and 5180 authorizes the Secretary of the Treasury to issue regulations regarding the location, construction, and arrangement of distilled spirits plants (DSPs), the identification of DSP structures, equipment, pipes, and tanks, and the posting of an exterior sign at their place of business. The IRC at 26 U.S.C. 5206 also requires DSP proprietors to mark containers of distilled spirits, subject to regulations prescribed by the Secretary. The Alcohol and Tobacco Tax and Trade Bureau (TTB) regulations concerning the identification of DSP plants, equipment, structures, and bulk containers are contained in 27 CFR part 19. Those regulations describe the exterior identification sign required at DSPs and the identification signs or marks on DSP structures, cookers, fermenters, stills, tanks, and other major equipment. The regulations also require tank cars and tank trucks used by DSPs as bulk conveyances for distilled spirits to be permanently and legibly marked with identifying information and capacity. The information set forth under this information collection is necessary to protect the revenue and facilitate inspections, as TTB uses the required signs and marks to identify the location, use, and capacity of a DSP’s structures, equipment, and conveyances.

Key Information

Previous ICR	201908-1513-003

Federal Register Notices

Authorizing Statutes

Abstract

The Internal Revenue Code (IRC) at 26 U.S.C. 5712 and 5713 requires that importers and manufacturers of tobacco products or processed tobacco and export warehouse proprietors apply for and obtain a permit before engaging in such operations, or at such other times, as the Secretary of the Treasury prescribes by regulation. In addition, 26 U.S.C. 5712 sets forth circumstances under which a permit application may be denied, such as if the applicant, including any corporate officer, director, or major stockholder, is ineligible to obtain a permit by reason of business experience, financial standing, or certain criminal convictions. Under those IRC authorities, the Alcohol and Tobacco Tax and Trade Bureau (TTB) regulations in 27 CFR parts 40, 41, and 44 require tobacco industry members to submit applications using the prescribed TTB forms for new permits or, under certain circumstances, amended permits. Respondents use the mandated application forms and any required supporting documents to identify themselves and their business, along with its location, organization, financing, and major investors. Once TTB issues a permit, the permittee must retain a copy of their application package for as long as they continue in business, available for TTB inspection upon request. This information collection request is necessary to protect the revenue by ensuring that only persons eligible under the relevent provisions of the IRC are provided a permit to engage in tobacco-related businesses.

Key Information

Previous ICR	201908-1513-004

Federal Register Notices

Authorizing Statutes

Abstract

The Federal Alcohol Administration Act (FAA Act) at 27 U.S.C. 205 generally prohibits alcohol beverage producers, importers, or wholesalers from offering inducements to alcohol retailers—giving things of value or conducting certain types of advertisements, promotions, or sponsorships—unless such an action is specifically exempted by regulation. Under that FAA Act authority, the Alcohol and Tobacco Tax and Trade Bureau (TTB) regulations in 27 CFR Part 6, “Tied-House,” describe exceptions to the general FAA Act prohibition on offering inducements to retailers and also describe things that are considered to be “things of value” for purposes of determining whether an inducement has been offered. Among other provisions, those regulations require alcohol beverage industry members to keep records concerning things of value furnished to retailers, identifying the item and the retailer receiving it, along with the industry member's cost and any charges to the retailer for the item. Industry members may use usual and customary business records to satisfy that recordkeeping requirement, and such records must be retained for 3 years, available for TTB inspection. In addition, TTB regulations in 27 CFR parts 6, 8, and 10 provide that TTB may require, as part of a trade practice investigation, a letterhead report from an alcohol industry member regarding any advertisements, promotions, sponsorships, or other activities conducted by, on behalf of, or benefiting the industry member. TTB uses the collected information to detect and prevent unfair trade practices as defined by the FAA Act, and ensure compliance with that Act’s trade practice exceptions and limitations.

Key Information

Previous ICR	201908-1513-005

Federal Register Notices

Authorizing Statutes

Abstract

In general, the Internal Revenue Code (IRC) at 26 U.S.C. 5001 imposes Federal excise tax on each proof gallon of distilled spirits produced in or imported into the United States. However, under the IRC at 26 U.S.C. 5111–5114, persons using distilled spirits to produce certain nonbeverage products (medicines, medicinal preparations, food products, flavors, flavoring extracts, or perfume) may claim drawback (refund) of all but $1.00 per proof gallon of the excise tax paid on the distilled spirits used to make such products, subject to regulations issued by the Secretary “to secure the Treasury against frauds.” Under those IRC authorities, the Alcohol and Tobacco Tax and Trade Bureau (TTB) regulations in 27 CFR part 17 require manufacturers to submit certain applications and notices to TTB regarding their use of distilled spirits in the production of nonbeverage products eligible for drawback. The required applications, which require TTB approval, cover nonbeverage activities that present significant jeopardy to the revenue, while the required notices, which do not require TTB approval, cover activities that present less jeopardy to the revenue. The collected information is necessary to protect the revenue as allows TTB to verify that nonbeverage product drawback claimants are in fact eligible for such refunds under the IRC, and it ensures that such respondents are in compliance with the IRC statutory and TTB regulatory provisions governing nonbeverage product activities.

Key Information

Previous ICR	201908-1513-008

Federal Register Notices

Authorizing Statutes

Abstract

The Internal Revenue Code, at 26 U.S.C. 5101 and 5179, authorizes the Secretary of the Treasury (the Secretary) to issue regulations requiring manufacturers of stills to submit notices regarding the manufacture and set up of stills, and it requires all persons to register any stills in their possession with the Secretary and provide information as to the location, type, capacity, ownership, and the purpose for which the stills will be used. Under those authorities, the TTB regulations in 27 CFR part 29 require manufacturers and vendors of stills and distilling apparatus to provide certain notices and keep certain records regarding the manufacture and setup of such equipment. In addition, those regulations require owners of still and distilling apparatus to register such equipment with TTB and provide certain notices regarding changes in the ownership, location, or disposal of such registered equipment. TTB uses the collected information to ensure that the relevant provisions of the IRC are appropriately applied and to protect the revenue as distilled spirits are generally subject to Federal excise tax under the IRC.

Key Information

Previous ICR	201904-1513-012

Federal Register Notices

Authorizing Statutes

Abstract

The Internal Revenue Code (IRC) at 26 U.S.C. 5207 requires distilled spirits plant (DSP) proprietors to maintain records and submit reports of their production, storage, denaturation, and processing activities as required under regulations prescribed by the Secretary of the Treasury. Under that IRC authority, the Alcohol and Tobacco Tax and Trade Bureau (TTB) regulations in 27 CFR part 19 require DSP proprietors to keep certain records regarding their storage and warehousing operations. Those regulations also require DSP proprietors to report a summary of those operations, based on the required records, to TTB on a monthly basis using form TTB F 5110.11. Also, under the IRC at 26 U.S.C. 5005(c), a DSP proprietor is liable for the Federal excise tax on all distilled spirits stored on their plant’s premises. As such, the required storage records and reports are necessary to protect the revenue and ensure compliance with the relevant Federal laws and regulations.

Key Information

Previous ICR	201908-1513-011

Federal Register Notices

Authorizing Statutes

Abstract

In general, chapter 52 of the Internal Revenue Code (IRC, 26 U.S.C. chapter 52) imposes a Federal excise tax on all tobacco products and cigarette papers and tubes manufactured in, or imported into, the United States, while exempting such articles removed for export, as well as all processed tobacco, from that tax. Export warehouses receive and store such non-taxpaid articles until they are removed without payment of tax for export to a foreign country, Puerto Rico, or the U.S. Virgin Islands, or for consumption beyond the internal revenue laws of the United States. In addition, section 5721 of the IRC requires export warehouse proprietors to take an inventory of all tobacco products, cigarette papers and tubes, and processed tobacco on hand at the commencement of business, the conclusion of business, and at other times as the Secretary of the Treasury shall prescribe by regulation. Under that IRC authority, the TTB regulations in 27 CFR part 44 require all export warehouse proprietors to take and report an inventory on TTB F 5220.3 at the opening and closing of their business, when certain changes in control of the business occur, and when required to by the appropriate TTB officer. As authorized by section 5741 of the IRC, the TTB regulations in part 44 also require export warehouse proprietors to retain record copies their inventory reports for 3 years following the close of the calendar year in which the inventory was taken, available for inspection by any appropriate TTB officer upon request. TTB uses the collected information to protect the revenue. Because export warehouse proprietors hold untaxed tobacco products and cigarette papers and tubes until such articles are exported without payment of tax, transferred in bond to another export warehouse, or returned to the manufacturer, TTB uses these inventories to establish a contingent Federal excise tax liability on such articles. These inventories also aid TTB in detecting diversion of untaxed articles into the taxable domestic market. In addition, inventories of processed tobacco, which is not subject to tax, help TTB detect and prevent diversion of materials used for making tobacco products to unauthorized manufacturers who would not be accountable to TTB.

Key Information

Previous ICR	201904-1513-014

Federal Register Notices

Authorizing Statutes

Abstract

In general, under chapter 52 of the Internal Revenue Code (IRC), tobacco products and cigarette papers and tubes manufactured in, or imported into, the United States are subject to Federal excise tax while tobacco products and cigarette papers and tubes removed for export, and all processed tobacco, are not subject to that tax. Additionally, the IRC at 26 U.S.C. 5722 requires export warehouse proprietors to provide reports regarding such articles, in such form, at such times, and for such periods as the Secretary prescribes by regulation. Under the authority of section 5722, the Alcohol and Tobacco Tax and Trade Bureau (TTB) regulations in 27 CFR part 44 require export warehouse proprietors to file a monthly operations report using form TTB F 5220.4, Report—Proprietor of Export Warehouse, listing the amount of tobacco products, cigarette papers and tubes, and processed tobacco received, removed, lost, or unaccounted for during a given month. The collected information is necessary to protect the revenue as it allows TTB to detect diversion of those untaxed articles to taxable uses, and to verify compliance with Federal laws and regulations related to the removal and export of such articles.

Key Information

Previous ICR	201904-1513-017

Federal Register Notices

Authorizing Statutes

Abstract

In general, under the Internal Revenue Code (IRC) at 26 U.S.C. 5214, distilled spirits used in the manufacture of nonbeverage articles are not subject to Federal excise tax, and, under the IRC at 26 U.S.C. 5273, persons who intend to produce such articles using specially denatured distilled spirits (SDS) must obtain prior approval of their formulas and manufacturing processes. For medicinal preparations and flavoring extracts intended for internal human use, that section also prohibits SDS from remaining in the finished articles. Therefore, the Alcohol and Tobacco Tax and Trade Bureau (TTB) regulations in 27 CFR part 20 require persons to file formula and process approval requests for articles made with SDS using TTB F 5150.19. To protect the revenue and ensure compliance with the IRC and TTB regulations, TTB personnel examine the collected information to verify that the described articles are nonbeverage products made in compliance with 26 U.S.C. 5273. TTB field personnel also may compare manufacturing records to approved formulas to verify that such articles are being made in accordance with their approved formulas and processes.

Key Information

Previous ICR	201905-1545-027

Federal Register Notices

Authorizing Statutes

Abstract

The New Markets Tax Credit Program, enacted by Congress as part of the Community Renewal Tax Relief Act of 2000, is incorporated as section 45D of the Internal Revenue Code. This Code section permits individual and corporate taxpayers to receive a credit against federal income taxes for making Qualified Equity Investments in qualified community development entities. Form 8874 is used to claim the new markets credit for qualified equity investments made in qualified community development entities (CDEs). This credit is part of the general business credit.

Key Information

Previous ICR	201905-1545-020

Federal Register Notices

Authorizing Statutes

Abstract

Form 706-GS(T) is used by a trustee to figure and report the tax due from certain trust terminations that are subject to the generation-skipping transfer (GST) tax.

Key Information

Previous ICR	201906-1545-016

Federal Register Notices

Authorizing Statutes

Abstract

The revenue procedure provides a safe harbor for reverse like-kind exchanges under which a transaction using a "qualified exchange accommodation arrangement" will qualify for non-recognition treatment under Sec. 1031 of the Internal Revenue Code.

Key Information

Previous ICR	201906-3235-011

Federal Register Notices

Authorizing Statutes

Abstract

Rule 302 provides that, as a condition of operating as a broker- dealer, alternative trading systems must keep certain records regarding subscribers to their system, daily trading summaries and time-sequenced records of order information in the alternative trading systems.

Key Information

Previous ICR	201906-3235-005

Federal Register Notices

Authorizing Statutes

Abstract

This disclosure requirement obligates each national securities exchange and national securities association to make available to quotation vendors for dissemination to the public the best bid, best offer, and aggregate quotation size for each “subject security,” as defined under the Rule. Rule 602 of Regulation NMS contains two related collections of information. The first collection of information is found in Rule 602(a). This disclosure requirement obligates each national securities exchange and national securities association to make available to quotation vendors for dissemination to the public the best bid, best offer, and aggregate quotation size for each “subject security,” as defined under the Rule. The second collection of information is found in Rule 602(b). This disclosure requirement obligates exchange members and over-the-counter (“OTC”) market makers that are a “responsible broker or dealer,” as defined under the Rule, to communicate to an exchange or association their best bids, best offers, and quotation sizes for subject securities.

Key Information

Previous ICR	201902-0920-020

Federal Register Notices

Authorizing Statutes

Abstract

The Laboratory Response Network is an integrated national and international network of laboratories that can respond to suspected acts of biological, chemical, or radiological terrorism and other public health emergencies. Member laboratories submit information regarding the testing capabilities of the laboratory; report all biological and chemical testing results; and participate in Proficiency Testing Challenges or Validation. The goal of the study is to identify gaps in preparedness for biological threats and emerging infectious diseases. The data will be used to develop strategies, policies, and operating procedures for responding to biological threat emergencies. The LRN website, Results Messenger data exchange application, and Special Data Calls Questionnaires are methods used to collect data from member laboratories. There is a reduction in Burden Hours from the previously approved collection due to a decrease in participating laboratories.

Key Information

Previous ICR	201908-0960-006

Federal Register Notices

Authorizing Statutes

Abstract

Prior to the personal conference, SSA provides the opportunity for the individual to review the information in their file that we used to make the overpayment and waiver determinations. SSA technicians send respondents a notice informing them of their overpayment and their ability to request review of their information via a personal conference. In addition, the notice explains that the respondent can provide additional documents to support their claim for waiver of their overpayment. SSA employees conduct the personal conferences mentioned above as one-time face-to-face, telephone, or video conference interviews. At the time of the conference, overpaid individuals may provide documents to support their contention they: • are without fault in causing the overpayment, • believe the overpayment is unfair, or • do not have the ability to repay the debt. Respondents may submit a personal statement, provide new or updated information, or present any previously submitted documentation or forms related to their case during their conference. For instance, they may present the SSA 795, Statement of Claimant or Other Person (OMB #0960-0045); or the SSA-632, Request for Waiver of Overpayment Recovery (OMB #0960-0037). If respondents decide not to attend the personal conference, SSA makes a final waiver decision based on available information. SSA does not track the percentage of individuals who attend their conference via a face-to-face meeting, telephone, or video conference. The respondents are beneficiaries or SSI recipients, for whom SSA denied their initial request for a waiver of recovery of an overpayment, thus requiring a personal conference with them when SSA cannot approve the waiver.

Key Information

Previous ICR	202006-1557-003

Federal Register Notices

Authorizing Statutes

Abstract

Section 619 of the Dodd-Frank Act added a new section 13 to the Bank Holding Company (BHC) Act (BHC Act) (codified at 12 U.S.C. 1851) that generally prohibits any banking entity from engaging in proprietary trading or from acquiring or retaining an ownership interest in, sponsoring, or having certain relationships with a hedge fund or private equity fund, subject to certain exemptions. The OCC’s version of the rule is codified at 12 CFR part 44. The reporting, recordkeeping, and disclosure requirements associated with the rule permit banking entities and the OCC to enforce compliance with section 13 of the BHC Act and the rule and to identify, monitor, and limit risks of activities permitted under section 13.

Key Information

Federal Register Notices

Authorizing Statutes

Abstract

The current authorization for the Regional Educational Laboratories (REL) program is under the Education Sciences Reform Act of 2002, Part D, Section 174, (20 U.S.C. 9564), administered by the Department of Education, Institute of Education Sciences (IES), National Center for Education Evaluation and Regional Assistance (NCEE). The goal of the REL program is to partner with educators and policymakers to conduct work that is change-oriented and supports meaningful local, regional, or state decisions about education policies, programs, and practices to improve outcomes for students. School readiness, particularly language and literacy readiness, in South Carolina (SC) remains a high-leverage need. This need is reflected in the state’s Kindergarten Readiness Assessment (KRA). The KRA measures four domains of learning and development, including language and literacy. Demonstrating readiness occurs when students show the foundational skills and behaviors that prepare them for instruction based on kindergarten standards. In 2020/21 Modified KRA scores in SC revealed that only 27 percent of incoming kindergartners demonstrated readiness (South Carolina Education Oversight Committee, 2021). Achievement gaps were also observed, with 17 percent of African American kindergarteners and 13 percent of Hispanic kindergarteners meeting the demonstrating readiness mark, compared to 35 percent of White students. There is a clear need to improve equity in learning opportunities and in school readiness outcomes among SC children. Members of the SC research partnership have identified teacher professional development (PD) in language and literacy as a critical component to improving the quality of early learning and are specifically interested in understanding the effectiveness of and the facilitators and barriers to implementation of the Professional Learning Community: Emergent Literacy (PLC-EL; Kosanovich et al., 2020). The purpose of this study is to understand the impact of the PLC-EL program on preschool teachers’ knowledge, practice, and student achievement in print knowledge, phonological awareness, oral language, and vocabulary. In addition, this study will identify factors that influence program effectiveness and the facilitators and barriers of effective implementation that inform scale-up initiatives across the state. This study will using a randomized controlled trial design to help ensure that–all else equal–this study will yield the strongest, most reliable evidence possible on which to base policy and practice. The study sample will include approximately 100 preschool centers across SC, 2,940 students, 226 preschool teachers, 25 PLC-EL Facilitators, center leaders, and a subset of district and state education leaders. The study findings will help the Office of Early Learning & Literacy (OELL) at SCDE meet its goals of improving equitable access to high-quality PD for educators and equitable access to high-quality instruction for students by training facilitators to implement the PLC-EL in a large sample of preschool centers in four separate regions of the state. In addition, the study findings will provide the OELL at SCDE with actionable information about facilitators and barriers to implementation that can be used to inform scale-up initiatives across the state.

Key Information

Previous ICR	202111-2577-001

Federal Register Notices

Authorizing Statutes

Abstract

Pursuant to the 1996 MTW Statute and 2016 MTW Expansion Statute (Section 239 of the Fiscal Year 2016 Appropriations Act, P.L. 114-113), Appendix I of the MTW Operations Notice provides waivers of certain provisions of the 1937 Act as well as the implementing requirements and regulations. The MTW HAP Rider is being added to the Housing Assistance Payments Contract for the Section 8-Tenant Based Assistance Housing Choice Voucher Program and the Section 8 Project-Based Voucher Program to ensure that any particular provisions of the HAP Contract differ from or conflict with the MTW activities included in the PHA’s approved MTW Supplement to its PHA Plan, that the provisions of the MTW Operations Notice and the approved MTW Supplement to the PHA Plan will supersede any conflicting or differing HAP Contract language. The MTW HAP Rider will have no significant impact on information collection burden.

Key Information

Previous ICR	202002-3038-001

Federal Register Notices

Authorizing Statutes

Abstract

The CFTC requests the extension without change of the OMB clearance for the information collections associated with Part 160 of the Commission's regulations (Privacy of Consumer Financial Information). The passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Public Law 111-203, 124 Stat. 1376 (2010), broadened the Commission's regulatory authority under the Gramm-Leach-Bliley Act ("GLB Act") to cover two new entities: Swap Dealers and Major Swap Participants, in addition to Futures Commission Merchants, Commodity Trading Advisors, Commodity Pool Operators, and Introducing Brokers, Specifically, amendments to the GLB Act found in section 1093 of the Dodd-Frank Act, reaffirmed the Commission's authority to promulgate regulations to require entities that are subject to the Commission's jurisdiction to provide certain privacy protections for consumer financial information. These regulations were later extended to Retail Foreign Exchange Dealers. Section 124 of the Commodity Futures Modernization Act of 2000 (“CFMA”) amended the Commodity Exchange Act (the “Act”) and added a new Section 5g to the Act to (i) add that futures commission merchants, commodity trading advisors, commodity pool operators, and introducing brokers that are subject to CFTC jurisdiction with respect to any financial activity shall be treated as a financial institution for purposes of Title V, Subtitle A of the Gramm-Leach-Bliley Act (“GLB Act”), (ii) treat the Commission as a Federal functional regulator for purposes of applying the provisions of the GLB Act, and (iii) direct the Commission to prescribe regulations under Title V of the GLB Act. The Commission adopted regulations for these entities under part 160 and later extended them to retail foreign exchange dealers, swap dealers, and major swap participants. Part 160 requires those subject to the regulations, among other things, to provide privacy and opt out notices to customers and to adopt appropriate policies and procedures to safeguard customer records and information.

Key Information

Previous ICR	201909-0518-001

Federal Register Notices

Authorizing Statutes

Abstract

The collection is used to evaluate user satisfaction with the content and usefulness of Web-based delivery methods.

Key Information

Previous ICR	201909-3235-010

Federal Register Notices

Authorizing Statutes

Abstract

Rule 15Fi-2 prescribes documentation standards for the timely and accurate acknowledgment and verification of SBS transactions by SBS Entities. The rule contains seven paragraphs: (a) the trade acknowledgment obligations of specific SBS Entities; (b) the prescribed time frames under which a trade acknowledgment must be provided; (c) the form and content requirements of the trade acknowledgment; (d) SBS Entities’ verification obligations; (e) a limited exception from the requirement to provide a clearing agency a trade acknowledgment in a clearing transaction; (f) a limited exception from the requirement to provide a trade acknowledgment for certain transactions executed on a security-based swap execution facility or a national securities exchange or accepted for clearing by a clearing agency; and (g) a limited exemption from the requirements of Exchange Act Rule 10b-10 for a broker-dealer acting as principal for its own account in a security-based swap transaction.

Key Information

Previous ICR	201906-3235-014

Federal Register Notices

Authorizing Statutes

Abstract

Rule 6a-4 directs certain futures markets that wish to trade security futures products to register with the Commission on Form 1-N. The rule is designed to provide the Commission with information that would help enable it to ensure that the activities of these Security Futures Product Exchanges were consistent with the Exchange Act.

Key Information

Previous ICR	201905-3235-030

Federal Register Notices

Authorizing Statutes

Abstract

The Dodd-Frank Act amends the Exchange Act to require the Commission to adopt rules providing for, among other things (i) the reporting of security-based swaps (“SBSs”) to a registered security-based swap data repository (“SDR”) or to the Commission; and (ii) real-time public dissemination of SBS transaction, volume, and pricing information. Pursuant to Sections 763 and 766 of Title VII of the Dodd-Frank Act, the Commission is adopting Regulation SBSR to fulfill these requirements.