Form SD

Forms and Documents

Document Name	Status
Form SEC XXXX Form SD Form and Instruction	Modified
Form SD Supporting Statement.Final2016.pdf Supporting Statement A	2016-04-29
secsorn6.pdf Supplementary Document	2016-04-06
EDGAR PIA_Redacted.pdf Supplementary Document	2016-04-06

IC Document Collections

IC ID	Document Title	Status
204812	Form SD Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0697	ICR Reference No: 201604-3235-003
Status: Historical Active	Previous ICR Reference No: 201303-3235-010
Agency/Subagency: SEC	Agency Tracking No: CF 270-647
Title: Form SD
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/16/2016
	Date Received in OIRA: 05/03/2016
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2019	36 Months From Approved	06/30/2016
Responses	864	0	7,095
Time Burden (Hours)	311,437	0	2,557,437
Cost Burden (Dollars)	41,523,840	0	1,280,341,567

---

Abstract: Form SD is filed by resource extraction issuers to provide disclosures regarding the source and chain of custody of conflict minerals in their products.

---

Authorizing Statute(s): US Code: 15 USC 78mm Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78c(b), 78l, 78m, 78o, 78w(a) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 1502 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

---

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:
	81 FR 10305	02/29/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 26597	05/03/2016
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
Form SD	SEC XXXX	Form SD

---

ICR Summary of Burden

	Total Approved	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	864	7,095	0	0	-6,231	0
Annual Time Burden (Hours)	311,437	2,557,437	0	0	-2,246,000	0
Annual Cost Burden (Dollars)	41,523,840	1,280,341,567	0	0	-1,238,817,727	0

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: The decrease in the burden hours of 2,246,000 and the decrease in the cost burden of ($1,238,817,727) are due to an adjustment. The decrease in burden hours and cost burden reflects a decrease in the number of respondents filing Form SD with the Commission due to fewer than expected filings under Rule 13p-1 and due to the Commission’s rules under Section 1504 of the Dodd-Frank Act, which also required filings using Form SD, being vacated in 2013.

---

Annual Cost to Federal Government: $50,000

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? 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]? Yes

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

---

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: 05/03/2016

---