SS part A

Supporting Statement A for Paperwork Reduction Act Submissions
OMB Control Number 1028-0062
Industrial Minerals Surveys (38 forms—see Enclosure 1)
Expiration Date: April 30, 2007
Terms of Clearance: None
Specific Instructions
A. Justification
1. Explain the circumstances that make the collection of information necessary. Identify any
legal or administrative requirements that necessitate the collection. Attach a copy of the
appropriate section of each statute and regulation mandating or authorizing the collection of
information.
The U.S. Department of the Interior (DOI) has policy responsibility for the Nation’s mineral
resources and their derived industries. The National Mining and Minerals Policy Act of 1970
(Public Law 91-631), the National Materials and Minerals Policy, Research and Development
Act of 1980 (Public Law 96-479) and the Defense Production Act make it incumbent upon the
Secretary of the Interior to be informed about and to inform the Congress of important
developments, including crises, in the minerals industries. DOI responsibilities regarding mineral
resources are discharged through a staff of scientists, including geologists, chemists, and
physicists; engineers; economists; and mineral commodity specialists. Many of the
responsibilities are assigned to the U.S. Geological Survey (USGS).
Two fundamental activities⎯mining and agriculture⎯form the basis of the Nation’s wealth
because they furnish all the raw materials and most of the energy that are used in all other
industries. Additionally, the mining industry supplies the fertilizers, pesticides, and soil
conditioners that significantly enhance the performance of the agricultural sector. For those raw
materials not produced domestically, supplies must be imported. This adversely affects the trade
balance and, for some materials, puts U.S. industries at risk of supply disruptions because of
international political developments. Imports may also compete with domestic production, thus
jeopardizing U.S. jobs. Accordingly, the Government requires accurate, timely data on raw
materials production and related industries to formulate policies that ensure national security and
economic well-being. The USGS canvass forms are the fundamental means by which data on
minerals, mining, and related materials production are obtained.
Industrial minerals are used ubiquitously and are significant and essential minerals in the
construction, agricultural, glass, ceramic, and chemical industries. They include iodine in many
chemicals, catalysts, animal feed additives, and pharmaceuticals; graphite in steel manufacturing,
lubricants and refractories; and talc in ceramics, fillers in paint, plastic and rubber, and paper
coatings. These minerals are widely used in virtually every sector of the U.S. economy, and
some are also of considerable domestic and international interest as investments.

2. Indicate how, by whom, and for what purpose the information is to be used. Except for a
new collection, indicate the actual use the agency has made of the information received from the
current collection. [Be specific. If this collection is a form or a questionnaire, every question
needs to be justified.]
The data obtained from these canvasses are used by Government agencies, educational
institutions, research organizations, consulting firms, industry, and the public. They provide the
Government with essential data for use in legislative decisions, research programs, economic
studies, analyses, land use, and environmental impact studies. These data are also used to
respond to nationwide and international requests for minerals information. With these canvass
forms, the USGS collects and analyzes data on production, consumption, stocks, and value of
industrial minerals—a number of which have traditionally been considered to be strategic and
critical.
Each company reports commodity data consistent with industry standards and as mutually
agreed upon by the company and the USGS commodity specialists. Based on these submissions,
the USGS routinely supplies information, analyses, and data for decision-making purposes to the
Congress and various presidential councils and commissions. The National Security Council, in
particular, has frequently used USGS data in relation to materials mobilization studies and
specific presidential projects, such as sustainability analyses.
Information gathered from these canvasses is used by the Secretary of the Interior in his annual
report to the Congress on the state of domestic mining and mineral industries as required by the
National Materials and Minerals Policy, Research and Development Act of 1980. Two of the
basic provisions of the Act are “the availability of materials is essential for national security,
economic well-being, and industrial production” and the “extraction, production, processing,
use, recycling, and disposal of materials are closely linked with natural concerns for energy and
the environment.” The data also provide ways of identifying industry trends; making supply and
demand analyses on varying time cycles; assembling meaningful findings, such as industry
vitality; drawing conclusions; and formulating appropriate recommendations for the Government
on such matters as stockpiling, tariffs, research and development, and production incentives.
The availability, production, supply, and value of some of the minerals are highly volatile and
must be analyzed more often than on an annual basis.
These canvasses cover production and consumption in all the nonfuel industrial minerals
industries. The data collected are used to conduct domestic supply and demand analyses. The
USGS then issues, as promptly as possible, various publications that provide essential
information while protecting trade secrets and privileged or proprietary commercial or financial
information. These data form a substantial part of the USGS’s Automated Minerals Information
System (AMIS).
Furthermore, the Strategic and Critical Materials Stock Piling Act (50 U.S.C. 98 et seq.) requires
the Secretary to collect data on strategic and critical materials to assist in determining stockpile
goals. The Secretary assigned this responsibility for data collection to the U.S. Bureau of Mines
(USBM) and transferred the responsibility to the USGS after the USBM was abolished.
The U.S. Department of Commerce (DOC) uses USGS data in studies of minerals mobilization,

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to recommend trade policy and to resolve trade disputes under the International Trade
Administration, to assist in export development, to develop materials research, and to develop
worldwide mineral production and trade data.
The U.S. Department of State (DOS) uses USGS data to support international commodity
negotiations, to analyze relations with foreign mineral producers, and to recommend tariffs and
quotas and as a worldwide mineral database.
The U.S. Agency for International Development uses USGS data to assist in determining which
minerals are of interest to the United States for development in developing nations.
The Federal Trade Commission (FTC) and the U.S. International Trade Commission (ITC) use
USGS data in studies of antitrust activities, dumping, and false advertising or misrepresentation
of mineral goods or commodities.
The U.S. Department of Defense (DOD) uses USGS data to determine research on materials and
minerals within research laboratories of the Army, Navy, and the Air Force; sea lanes that must
be protected; Defense Production Act Title III projects; National Defense Stockpile (NDS) goals
and specifications; details of procurement, storage, and disposal; and suppliers of mineral
commodities.
The National Science Foundation, the National Academy of Sciences, the National Academy of
Engineering, and the National Research Council use USGS data to ensure maximum benefits
from all mineral research.
The U.S. Department of Transportation, the Interstate Commerce Commission, and the U.S.
Army Corps of Engineers use USGS data to determine national and State transportation
requirements for the minerals industry.
In addition to the use of USGS data by the majority of Federal Government departments, reports
and information are in demand by many types of organizations, including the following:
•
•
•
•
•
•
•
•
•
•

Participating companies
Electric utilities
Export associations
State governments
Industrial marketing groups
Financial institutions
International industry associations
Domestic trade associations
Industrial and agricultural sectors
The general public, especially academic, consulting, and legal organizations.

Certain commodities are canvassed semiannually, quarterly, and monthly to furnish information
and data for reports and indexes that are prepared more frequently than on a yearly basis.
3. Describe whether, and to what extent, the collection of information involves the use of
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automated, electronic, mechanical, or other technological collection techniques or other
forms of information technology, e.g., permitting electronic submission of responses, and the
basis for the decision for adopting this means of collection. Also describe any consideration
of using information technology to reduce burden [and specifically how this collection meets
GPEA requirements.].
The USGS has been proactive in automating forms. More than half of the forms in this
collection are now electronically available and the plan is to have electronic versions of all
remaining forms by October 2007.
In addition to producing electronic versions of paper forms, the conversion process will
encompass mappings of thousands of fields to the mainframe AMIS database. Extensive crosschecks on data will be automated, replacing manual processes. The electronic forms conversion
effort exceeds the Government Paperwork Elimination Act (GPEA) requirements by establishing
intelligent links between the input on the electronic forms and the database rather than simply
transforming physical forms to electronic versions of the same.
In 2006, more than 37% of total responses from the seven information collections originated
from the top two forms (9-4007-A, 9-4008-A). About 50% of total responses originated from
the top eight forms within these seven information collections. Priority for conversion will be
given to canvasses that have the largest numbers of responses, and therefore, the most total
burden hours. Other factors, such as response rate, however also will be considered.
Paper-based forms will remain an option for submission of responses because not all industry
respondents are able to or wish to transmit their data to the USGS by electronic means.
Within this information collection, the conversion schedule makes available an electronic option
to 100% of estimated responses by October 2007. Based on initial prototypes and knowledge of
the industries, 30% of the above universe is expected to respond electronically.
Since some Industrial Minerals Surveys canvass forms will be completed before others, everyone
on each mailing list will be notified of the Web option as each form comes on-line. At that time,
a special mail-out will contain instructions on how to register for the Web option. Periodic
reminders will be sent; for example, once each quarter for monthlies.
Enclosure 2 is a sample template letter already mailed out for several canvass forms which
notified companies about the Web option. Immediate on-line registration is now available where
new respondents and new users are granted immediate access. For security purposes, users who
register on-line cannot access past submissions unless they specifically request the ability to
retrieve historical data. Enclosure 2 also includes printouts of the online screens where
registration information is gathered for operations and users.
4. Describe efforts to identify duplication. Show specifically why any similar information
already available cannot be used or modified for use for the purposes described in Item 2
above.
If data are available from other Federal or State agencies, trade associations, or other public

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sources, then USGS canvasses are not conducted. The USGS continuously reviews data
collection practices with other agencies, including the DOC and the U.S. Department of Labor
(DOL), and the ITC, as well as with industry associations such as the Gypsum Association.
Where data are available from other sources, these data are used. Alternate data sources are not
available for the commodities that are canvassed.
5. If the collection of information impacts small businesses or other small entities (Item 5 of
OMB Form 83-I), describe any methods used to minimize burden.
These canvass forms are designed to minimize the burden to all respondents. Because only
essential data are requested and in a format common to the reporting industry, the burden is kept
to the minimum for large and small businesses. When applicable, small businesses often
respond with fewer data entries than the larger organizations.
6. Describe the consequence to Federal program or policy activities if the collection is not
conducted or is conducted less frequently, as well as any technical or legal obstacles to
reducing burden.
The USGS provides information necessary for sound Federal, State, and industry
decisionmaking. If data are not made available as soon as possible after collection or if
canvasses are conducted less frequently, then monitoring of stockpile materials for national
defense would be impeded by the gap in statistics. The level of domestic and foreign
productivity and economic fluctuation would be much less apparent or missed, and that data
simply would not be timely enough to be reliable for decisions that affect minerals vulnerability,
potential environmental impacts, current trends, and future needs. These decisions, in turn, have
an effect on such things as taxes, royalty payments, tariffs, land use, environmental regulations,
water use, and transportation.
Collection of monthly, quarterly, semiannual, and annual data allows economic analysis that can
capture variations—a longer time interval could not. Collection of these data on a biennial basis
would not be practical because the industry respondents do not normally have the data in
convenient format except on a monthly, quarterly, semiannual, or annual basis. A 2-year
canvass, for example, would require the respondents to alter their spreadsheets or manually add 2
years of data. This would increase their reporting burden. Also, multiyear data are less
meaningful and less convenient for analysis by industry and Government agencies.
Sectors of the public that use the data collected by the USGS include, but are not limited to, the
concrete, construction, metals, ceramics, refractories, electric utilities, electronic engineering,
chemical, coal, paper, rubber, plastics and agricultural industries. The USGS customer base
(recipients of these data) is well over 35,000 and increases considerably each year.
The DOC, the National Institute of Standards and Technology, the DOD, the DOS, the World
Bank, the Federal Reserve Board, the ITC, the FTC, the Federal Highway Administration, and
most of our sister agencies within the DOI are only some of the agencies that rely on these data.
The data collected are used to determine the economic health of the Nation, factored into the

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gross domestic product, and used in forecasts and trends in the building and construction
industries, which are closely linked to the issue of rebuilding the infrastructure of the country.
Our customers include banks, brokerage houses, other financial institutions, mineral
management companies, independent consultants, and many others who need this information to
be able to make informed business decisions. This information is not available from any
other source.
7. Explain any special circumstances that would cause an information collection to be
conducted in a manner:
*
*
*
*
*
*
*

*

requiring respondents to report information to the agency more often than quarterly;
requiring respondents to prepare a written response to a collection of information in
fewer than 30 days after receipt of it;
requiring respondents to submit more than an original and two copies of any document;
requiring respondents to retain records, other than health, medical, government contract,
grant-in-aid, or tax records, for more than three years;
in connection with a statistical survey, that is not designed to produce valid and reliable
results that can be generalized to the universe of study;
requiring the use of a statistical data classification that has not been reviewed and
approved by OMB;
that includes a pledge of confidentiality that is not supported by authority established in
statute or regulation, that is not supported by disclosure and data security policies that are
consistent with the pledge, or which unnecessarily impedes sharing of data with other
agencies for compatible confidential use; or
requiring respondents to submit proprietary trade secret, or other confidential information
unless the agency can demonstrate that it has instituted procedures to protect the
information's confidentiality to the extent permitted by law.

Users of the published data based on these canvasses may track trends on a monthly basis
because of the highly volatile market or seasonal production patterns for the materials covered
by these canvasses. Trends may be detected earlier if the data are available monthly rather than
at less frequent intervals, such as quarterly, semiannually, or annually. The data collected by the
monthly canvasses are absolutely necessary if the USGS is to meet current, reliable information
demands of industry and Government mineral analysts who prepare monthly and bimonthly
indexes and commodity reports to meet the market analysis needs of the industry. Additionally,
the data are necessary if the USGS is to meet the requirements of Public Law 91-631 for the
minerals that have erratic supply, demand, value, availability, or seasonal production patterns.
Under the terms of the disclosure agreement, companies can and usually do specify that the data
they supply be shared only in aggregated form. These terms ensure that the USGS will continue
to receive proprietary data in confidence.
The canvass form is designed to ensure that respondents are not required to maintain or provide
data in a format other than that in which the data are customarily maintained. The respondents
are routinely asked to comment on the design of the form and to make recommendations that

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help maintain consistency with industry’s methods of accounting.
The justification and reasons for collecting monthly data will vary for each commodity and are
given for the following commodities:
•

Phosphate Rock

•

Sulfur

Phosphate Rock.—The principal phosphate rock mining districts are located in Florida, Idaho,
and North Carolina. Phosphatic fertilizers derived from phosphate rock are essential to the
productivity of the U.S. agricultural industry. The monthly canvass provides data on which
market trends and shipments can be revealed, does not duplicate data obtained from semiannual
surveys, and furnishes trade data on exports not available from any other source.
The strategic value of phosphate rock is not apparent until it is understood that without it, the
agricultural industry’s productivity would dramatically decline. Routine requests for monthly
data are made by the Federal Reserve Bank, the International Monetary Fund, Tampa Electric
Company, and several commercial banks before the Phosphate Rock monthly Mineral Industry
Survey is published. Additionally, the U.S. Army Corps of Engineers and the Port Authorities of
Tampa, Florida, and Moorehead City, North Carolina, request monthly data to assist them in
ongoing shipping channel projects. The USGS supplies the demand for monthly data for both
Government and private sectors.
Sulfur.—Sulfur is considered to be a strategic material. To keep the Federal Government
apprised of the changing conditions in the industry, the cooperation of producers and consumers
is vital. The monthly Industrial Minerals Surveys aid in ensuring the continued cooperation of
the domestic sulfur industry. There is no trade association that collects and distributes sulfur
data. If an association did collect data, then that information would not necessarily be available
to interested Federal parties. The monthly canvass is considered to be highly useful because it
provides timely, accurate data that can be used to forecast trends.
Although sulfur is a primary element in the production of a host of compounds used in the
production of materials vital to the U.S. economy and our way of life, its role is not well
recognized because it is but one of many components needed to produce finished products.
Sulfur or one of its intermediate products is consumed by a wide variety of basic industries. The
importance of sulfur to the U.S. economy and the domestic chemical industry cannot be
overstated. It is used by the chemical industry for the production of many organic and inorganic
chemicals, man-made fibers, and refrigerants. The petroleum industry consumes sulfur for rust
or scale removal and to process chemicals. Sulfur is used to process pulp into paper. By far, the
largest single use of sulfur in the United States is digestion of phosphate rock with sulfuric acid
to produce a water-soluble phosphate rock nutrient. The agricultural industry uses sulfur in the
manufacture of fertilizers, pesticides, and fumigants, and in sulfur emulsions for soil
applications.
If a company receives a monthly canvass, then it does not receive an annual canvass of the same
type for these commodities. Most canvasses that are conducted annually are done so for two
reasons. Generally, an annual canvass is conducted because of the small size of the companies
involved and the desire to limit their reporting burden. Although the number of small companies
canvassed annually is large, the aggregate data collected from them is small, thus permitting
monthly estimates based on the previous year’s data without significant impact on the overall
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accuracy of monthly production or consumption. Another reason for instituting an annual
reporting basis relates to the willingness or capability of a company to complete a monthly
canvass. On a few occasions, exceptions have been made to allow a company to report annually
on a temporary basis; this has been most common during poor economic times.
8. If applicable, provide a copy and identify the date and page number of publication in the
Federal Register of the agency's notice, required by 5 CFR 1320.8(d), soliciting comments on
the information collection prior to submission to OMB. Summarize public comments
received in response to that notice [and in response to the PRA statement associated with the
collection over the past three years] and describe actions taken by the agency in response to
these comments. Specifically address comments received on cost and hour burden.
Describe efforts to consult with persons outside the agency to obtain their views on the
availability of data, frequency of collection, the clarity of instructions and recordkeeping,
disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or
reported. [Please list the names, titles, addresses, and phone numbers of persons contacted.]
Consultation with representatives of those from whom information is to be obtained or those
who must compile records should occur at least once every 3 years — even if the collection
of information activity is the same as in prior periods. There may be circumstances that may
preclude consultation in a specific situation. These circumstances should be explained.
A copy of the notice that was published in the Federal Register (71 FR 51208) on August 29,
2006. No public comments were received in response to the notice.
Mineral commodity specialists contact and are routinely contacted by Federal and State
agencies, members of Congress, trade associations, the financial community, private companies,
universities, and private citizens that request general and specific data and information.
Typically, persons outside the USGS submit and USGS mineral commodity specialists and
statistical assistants respond in a timely manner to several thousand e-mail and telephone
inquiries each month. By such discussions and interactions, views are exchanged on the
availability of data, frequency of collection, clarity of instructions and recordkeeping, disclosure,
reporting format, data elements to be recorded, disclosed, or reported, burden estimates and other
aspects of this information collection. Although no significant changes to the collection
instruments were made, these views help the USGS to continuously improve its data and
publications.
Examples of industry contacts between 2004 and 2007 that show responsiveness to customers’
suggestions about the canvasses, and identify persons who were consulted on the burden
estimates and other aspects of this Information Collection include the following:
A. Relevant USGS forms within this Information Collection:
•

9-4007-A—Annual—Stone – Crushed and Broken

•

9-4008-A—Annual—Construction Sand and Gravel – Sold or Used

Summary—The USGS has offered on-line forms to crushed stone and construction sand and
gravel (aggregates) companies as a means of lessening the response burden. Less than 10%
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of aggregates companies prefer on-line forms to other means of response. Several
companies, such as Vulcan (see contact), send spreadsheets instead of USGS forms. The
USGS then inputs the data from the spreadsheets into USGS forms for entry into the AMIS.
Contact:
Vulcan Materials Company
Chief Economist—Thomas I. Nelson
Date of contact: January 2007
Conveniences to respondent:
o Submits production data on consolidated spreadsheet
o No changes to USGS forms or AMIS
o Significant time savings (hours or days)
B. Relevant USGS form within this Information Collection:
•

9-4041-A—Annual—Portland and Masonry Cement

Summary—Several years ago, this form had a stated estimated burden of 1 hour. Upon
receiving several complaints from respondents, the burden estimate was raised to 5 hours.
Since that change, no complaints have been received. The USGS cement specialist
frequently discusses many facets of data collection, data accuracy, and market trends with
cement industry representatives, including the major cement industry association. OMB may
verify USGS attention to respondents’ interests by calling the Portland Cement Association.
Contact:
Portland Cement Association (PCA)
Manager of Economic Research—David Czechowski
City, State: Skokie, IL
Date of contact: January 2007
Conveniences to respondent:
o Accurate burden time reflected on USGS form
o No further changes to USGS form or AMIS
o No significant burden time savings but significant added respondent convenience
from expansion of data time series displayed in reports as a result of discussions
with the PCA contact
C. Relevant USGS form within this Information Collection:
•

9-4017-A—Annual—Ball Clay and Kaolin

Summary—A ball clay respondent contacted the USGS by e-mail stating that since 2 days
would be required to provide the data requested in the data collection instrument, a response
would not be submitted. After discussing the concern with the USGS clay specialist, the
respondent discovered that the requested data already existed in his company’s database. A

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programmer retrieved and downloaded this data in about 30 minutes. In comparison, the
USGS estimates a 90-minute average burden time per response for this form.
Contact:
Old Hickory Clay Company
Mr. Larry Kirk
Year of contact: 2006
Conveniences to respondent:
o The USGS demonstrated its flexibility in its data collection format and ability to
use data formats most convenient for companies to provide
o No change to USGS form or AMIS
o Company time saved by the clay specialist calling the contact to arrange for the
company to provide the data in an efficient manner
On the basis of such feedback, information-use patterns are established by commodity. Once
patterns are determined, canvass forms are revised to collect data and to meet the information
needs. As information request patterns change, the data collected and reported are modified.
9. Explain any decision to provide any payment or gift to respondents, other than remuneration
of contractors or grantees.
No payments or gifts are made to respondents.
10. Describe any assurance of confidentiality provided to respondents and the basis for the
assurance in statute, regulation, or agency policy.
Public Law 96-479, Section 5(3) (f), ensures the confidentiality of all data reported by persons or
firms engaged in any phase of mineral or mineral-material production or large-scale
consumption. The disclosure of data shall be in aggregated form so as not to reveal data from a
single person or firm.
To implement Section 5(3) (f), the USGS withholds all data reported as “Company Proprietary
Data,” and data are disclosed only in the aggregate. Additionally, tests are performed on
aggregated data to ensure confidentiality. USGS policy states that absent specific company
permission, aggregated data can be reported only if it represents three or more companies and if
no one company accounts for more than 75% of the total or if no two companies account for
more than 90% of the total. Proprietary data may only be disclosed to Congress or to Federal
defense agencies upon official request for appropriate purposes and in some instances to a State
government under a cooperative agreement. A disclosure statement and query are printed on
each canvass form.
11. Provide additional justification for any questions of a sensitive nature, such as sexual
behavior and attitudes, religious beliefs, and other matters that are commonly considered
private. This justification should include the reasons why the agency considers the questions
necessary, the specific uses to be made of the information, the explanation to be given to
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persons from whom the information is requested, and any steps to be taken to obtain their
consent.
Sensitive data are not sought.
12. Provide estimates of the hour burden of the collection of information. The statement should:
*

*
*

Indicate the number of respondents, frequency of response, annual hour burden, and an
explanation of how the burden was estimated. Unless directed to do so, agencies should
not conduct special surveys to obtain information on which to base hour burden
estimates. Consultation with a sample (fewer than 10) of potential respondents is
desirable. If the hour burden on respondents is expected to vary widely because of
differences in activity, size, or complexity, show the range of estimated hour burden, and
explain the reasons for the variance. Generally, estimates should not include burden
hours for customary and usual business practices.
If this request for approval covers more than one form, provide separate hour burden
estimates for each form and aggregate the hour burdens in Item 13 of OMB Form 83-I.
Provide estimates of annualized cost to respondents for the hour burdens for collections
of information, identifying and using appropriate wage rate categories. The cost of
contracting out or paying outside parties for information collection activities should not
be included here. Instead, this cost should be included in Item 14.

Variations can be expected in the reporting burden for completion of these forms because of the
differences in operation size and accounting systems. The data sought are those routinely
maintained in the course of business. For some companies with more than one plant, the
submission takes the form of a consolidated report covering all company operations. This
greatly reduces the reporting burden.
Public reporting burden for this collection of information includes the time for reviewing
instructions, searching data sources, gathering and maintaining the data needed, and completing
and reviewing the collection of information. Approximately 13,696 respondents report details of
their consumption monthly, quarterly, semiannually, and annually. For the 16,161 associated
responses, completion time averages 15 minutes to 5 hours per form. Requested are 11,716 total
annual hours burden for reporting and recordkeeping (see Enclosure 1).
The annualized cost to respondents for the hour burden for this collection of information is
estimated to be $351,480 on the basis of an average labor cost of $30 per hour and 11,716 total
annual hours requested (see Enclosure 1).
13. Provide an estimate of the total annual [non-hour] cost burden to respondents or record
keepers resulting from the collection of information. (Do not include the cost of any hour
burden shown in Items 12 and 14).
* The cost estimate should be split into two components: (a) a total capital and start-up cost
component (annualized over its expected useful life) and (b) a total operation and
maintenance and purchase of services component. The estimates should take into
account costs associated with generating, maintaining, and disclosing or providing the
information [including filing fees paid]. Include descriptions of methods used to estimate
major cost factors including system and technology acquisition, expected useful life of
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*

*

capital equipment, the discount rate(s), and the time period over which costs will be
incurred. Capital and start-up costs include, among other items, preparations for
collecting information such as purchasing computers and software; monitoring, sampling,
drilling and testing equipment; and record storage facilities.
If cost estimates are expected to vary widely, agencies should present ranges of cost
burdens and explain the reasons for the variance. The cost of purchasing or contracting
out information collection services should be a part of this cost burden estimate. In
developing cost burden estimates, agencies may consult with a sample of respondents
(fewer than 10), utilize the 60-day pre-OMB submission public comment process and use
existing economic or regulatory impact analysis associated with the rulemaking
containing the information collection, as appropriate.
Generally, estimates should not include purchases of equipment or services, or portions
thereof, made: (1) prior to October 1, 1995, (2) to achieve regulatory compliance with
requirements not associated with the information collection, (3) for reasons other than to
provide information or keep records for the government, or (4) as part of customary and
usual business or private practices.

This supporting statement covers voluntary canvass forms pertaining to a set of industries that
are widely diverse in size and mode of operation. The cost and time required to make a detailed
canvass-by-canvass estimate for this section would be very high, and, in light of the following
factors, would not be worthwhile. A negligible non-hour cost burden exists.
a) These are long-established canvasses. Because the requested data are normally
maintained in the course of routine operations, no respondents are believed to have
purchased equipment or services specifically to answer these canvasses.
b) The data requested are of the sort kept by companies for their own purposes; the USGS
does not ask for data that would not normally be at hand. Providing selected data to the
USGS is incidental to business operations.
c) Only the largest companies might need to purchase office equipment or hire services
specifically for the purpose of answering Federal Government questionnaires. In those
cases, the demand for data records needed by the USGS would be dwarfed by the volume
of records needed by other Government agencies; for example, the Environmental
Protection Agency, the Internal Revenue Service, and the DOL.
14. Provide estimates of annualized cost to the Federal government. Also, provide a description
of the method used to estimate cost, which should include quantification of hours, operational
expenses (such as equipment, overhead, printing, and support staff), and any other expense that
would not have been incurred without this collection of information. Agencies also may
aggregate cost estimates from Items 12, 13, and 14 in a single table.
Annualized cost to the Federal Government is estimated at $1,115,000 based on estimated costs
for the following expenses:
•
•

Printing of canvass forms
Mailing lists compilation and maintenance

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•
•
•
•

Mailing operation
Editing, coding, tabulation
ADP processing
Electronic publication of results

15. Explain the reasons for any program changes or adjustments.
The USGS requests 11,716 burden hours for this information collection, which is a decrease of
1,066 hours: -1,039 hours because of agency adjustments and -27 hours as a program change.
We have deleted three forms that are no longer used (9-4003-A, 9-4034-Q, and 9-4039-A). We
have reported the 27 hours and 54 responses associated with these forms as a program change.
We have increased our burden hour estimate for USGS Form 9-4008-A, which, because of a
booming economy and growing population, has experienced a significant increase in
respondents. For some forms, the decrease in U.S. mining has led to a corresponding decrease in
the number of respondents as operations have closed. For other forms, company consolidation
of reports has saved reporting time with the number of reporting sites remaining unchanged. In
addition, we have corrected our burden estimates for USGS Forms 9-4007-A and 9-4008-A by
deleting Federal Government respondents, which were included in our previous estimate.
16. For collections of information whose results will be published, outline plans for tabulation
and publication. Address any complex analytical techniques that will be used. Provide the
time schedule for the entire project, including beginning and ending dates of the collection of
information, completion of report, publication dates, and other actions.
The AMIS mainframe program and off-the-shelf software packages are used to compile and
tabulate the data and to prepare tables for publication.
National, State, and regional tabulations are prepared and published annually in table format
from data collected by these canvasses. Preliminary estimates are prepared and published in the
Mineral Commodity Summaries, which is the earliest Government publication to furnish
estimates covering the previous year’s nonfuel mineral industry. Data are also published in the
monthly and annual issues of the Mineral Industry Surveys series and the Annual Reports from
the Minerals Yearbook and other USGS publications.
Tables present various aspects of commodities, such as consumption and production of products
together with industry stocks. Economic changes are incorporated and industry trends and
activities are studied. Statistical data are processed and analyzed by the Data Collection and
Coordination Section, which also establishes timing for all key steps in the work.
Tabulation and publication of data are governed by the USGS standard for “Handling
Proprietary Survey Data.” Data are available via the Internet and in print for select publications
in the USGS minerals information series.
Monthly, quarterly, and semiannual tables are generally published within 50 workdays from the
end of the reporting month. Annual data are generally published within 9 months from the end
of the reporting year. This publication schedule maintains a very high percentage of responses.
13

17. If seeking approval to not display the expiration date for OMB approval of the information
collection, explain the reasons that display would be inappropriate.
We will display the OMB control number and expiration date.
18. Explain each exception to the certification statement, "Certification for Paperwork Reduction
Act Submissions".
There are no exceptions to the certification statement.

14

Enclosure 1 to Supporting Statement
A

CONSOLIDATED BURDEN TABLE – 1028-0062
FORM NO.

NO. OF
RESPONDENTS

NO. OF
RESPONSES

COMPLETION
TIME PER
RESPONSE

TOTAL
ANNUAL
BURDEN HRS

9-4001-A
9-4002-A
9-4004-A
9-4005-A
9-4006-A
9-4007-A
9-4008-A
9-4009-A
9-4010-A
9-4011-A
9-4012-A
9-4013-A
9-4014-A
9-4015-A
9-4016-A
9-4017-A
9-4018-A
9-4019-A
9-4020-A
9-4021-A
9-4022-A
9-4023-A
9-4024-A
9-4025-A
9-4026-A
9-4027-A
9-4028-A
9-4029-M
9-4030-M
9-4031-S
9-4032-A
9-4033-Q
9-4035-S
9-4036-A
9-4037-MA
9-4039-M
9-4041-A
9-4112-A
Totals

101
11
17
19
109
2,877
8,313
225
134
32
28
69
23
335
39
47
17
10
20
28
114
28
10
62
69
152
321
113
12
24
17
14
12
13
20
82
153
26
13,696

101
11
17
19
109
2,877
8,313
225
134
32
28
69
23
335
39
47
17
10
20
28
114
28
10
62
69
152
321
1,356
144
48
17
56
24
13
130
984
153
26
16,161

1.5 hours
30 minutes
1 hour
30 minutes
30 minutes
30 minutes
45 minutes
45 minutes
1.5 hours
30 minutes
1.5 hours
30 minutes
30 minutes
1.5 hours
1.5 hours
1.5 hours
45 minutes
45 minutes
30 minutes
30 minutes
15 minutes
15 minutes
20 minutes
1 hour
30 minutes
2 hours
15 minutes
30 minutes
15 minutes
45 minutes
30 minutes
15 minutes
1 hour
15 minutes
30 minutes
30 minutes
5 hours
15 minutes

152
6
17
10
55
1,439
6,235
169
201
16
42
35
12
503
59
71
13
8
10
14
29
7
3
62
35
304
80
678
36
36
9
14
24
3
65
492
765
7
11,716

15

$ VALUE OF
BURDEN
HOURS

4,560
180
510
300
1,650
43,170
187,050
5,070
6,030
480
1,260
1,050
360
15,090
1,770
2,130
390
240
300
420
870
210
90
1,860
1,050
9,120
2,400
20,340
1,080
1,080
270
420
720
90
1,950
14,760
22,950
210
$351,480