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SUPPORTING STATEMENT
Part 46 – TRAINING, TRAINING PLANS, AND RECORDS; Sections 46.3, 46.5, 46.6, 46.7, 46.8, 46.9, and
46.11.
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.
Section 103(h) of the Federal Mine Safety and Health Act of 1977 (Mine Act), 30 U.S.C. § 813, authorizes
MSHA to collect information necessary to carryout its duty in protecting the safety and health of miners.
This rule enforces MSHA’s existing health and safety training requirements in 30 CFR part 46 for shell
dredging, sand, gravel, surface stone, surface clay, colloidal phosphate, or surface limestone mines.
MSHA’s objective in these requirements is to ensure that all miners receive the required training, which
would result in a decrease in accidents, injuries, and fatalities. This rule enforces training requirements at
approximately 12,559 surface nonmetal mines and contractors employing 106,733 miners. Before the
part 46 training rule became final in 1999 (64 FR 53080, September 30, 1999), many mines and contractors
already had put into place training plans and conducted training that satisfied the requirements of the
part 46 rule. Therefore, this information collection package concerns the burden hours and related costs
for part 46 training requirements at approximately 6,325 mines and contractors employing 38,304 miners
that were not in compliance at the time of the part 46 rulemaking.
Section 46.3 Training plans. Paragraph (a) of § 46.3 requires operators to develop and implement a
written training plan approved by MSHA that contains effective programs for training new miners and
newly hired experienced miners, training miners for new tasks, annual refresher training, and sitespecific hazard training.
Paragraph (b) requires the following information, at a minimum, to be included in a training plan:
(1) The company name, mine name, and MSHA mine identification number or independent
contractor identification number;
(2) The name and position of the person designated by the operator who is responsible for the
health and safety training at the mine. This person may be the production operator or
independent contractor;
(3) A general description of the teaching methods and the course materials that are to be used in
providing the training, including the subject areas to be covered and the approximate time to be
spent on each subject area;
(4) A list of the persons who will provide the training, and the subject areas in which each person
is competent to instruct; and
(5) The evaluation procedures used to determine the effectiveness of training.
Paragraph (c) requires a training plan that does not include the minimum information specified in
paragraph (b) to be submitted to and approved by MSHA.
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Paragraph (d) requires operators to provide miners’ representatives with a copy of the training plan. At
mines where no miners’ representative has been designated, a copy of the plan must be posted at the
mine or a copy must be provided to each miner.
Paragraph (e) provides that within 2 weeks following receipt or posting of the training plan, miners or
their representatives may submit written comments on the plan to operators, or to the Regional Manager,
as appropriate.
Paragraph (g) requires that the miners’ representative be provided with a copy of the approved training
plan within 1 week after approval. At mines where no miners’ representative has been designated, a
copy of the approved plan must be posted at the mine or a copy must be provided to each miner.
Paragraph (h) allows operators, miners, and miners’ representatives to appeal a decision of the Regional
Manager in writing to the Director for Educational Policy and Development. The Director would issue a
decision on the appeal within 30 days after receipt of the appeal.
Paragraph (i) requires operators to make available at the mine site a copy of the current training plan for
inspection by MSHA and for examination by miners and their representatives. If the training plan is not
maintained at the mine site, mine operators must have the capability to provide the plan within 1 day
upon request by MSHA, miners, or their representatives.
Section 46.5 New miner training. Paragraph (a) of § 46.5 requires operators to provide each new miner
with no less than 24 hours of training. Miners who have not received the full 24 hours of new miner
training must work where an experienced miner can observe that the new miner is working in a safe and
healthful manner.
Section 46.6 Newly hired experienced miner training. Paragraph (a) of § 46.6 requires operators to
provide each newly hired experienced miner with certain specified training before beginning work.
Section 46.7 New task training. Paragraph (a) of § 46.7 requires that before a miner performs a task for
which he or she has no experience, the operator must train the miner in the safety and health aspects, and
safe work procedures specific to that task. Paragraph (b) requires that if changes have occurred in a
miner’s regularly assigned task, the operator must provide the miner with training that addresses the
changes.
Section 46.8 Annual refresher training. Paragraph (a) of § 46.8 requires that the operator provide each
miner with no less than 8 hours of refresher training, at least every 12 months.
Section 46.9 Records of training. Paragraph (a) of § 46.9 requires operators to record and certify on
MSHA Form 5000-23, or on a form that contains the required information, that each miner has completed
the training required under part 46.
Section 46.11 Site-specific hazard awareness training. Paragraph (a) of § 46.11 requires operators to
provide site-specific hazard training to any person who is exposed to mine hazards. This training is
provided to any person who is not a miner, including: scientific workers; delivery workers and
customers; occasional, short-term maintenance or service workers who do not work at the mine site on a
continuing basis, or manufacturers’ representatives; and outside vendors, visitors, office or staff
personnel. The training is also provided to miners, such as drillers or blasters, who move from one mine
to another mine while remaining employed by the same production-operator or independent contractor.
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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.
The records allow operators to show that miners have received the required training. MSHA inspectors
use the records to determine that training required by the regulations has been provided.
3. Describe whether, and to what extent, the collection of information involves the use of 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.
The training plans required by § 46.3 may include narratives, descriptions, lists and tables. The plans can
be prepared using personal computers and word processing programs and submitted via e-mail or
facsimile, and may be followed by a signed hard copy.
MSHA has developed and implemented an electronic on-line system (the MSHA Training Plan Advisor)
for operators to prepare and submit training plans through the Internet. This system has been available
for part 46 mining operations since September 2000. This is an optional method for the mining industry
to prepare and file required training plans. The design of this system increases the likelihood that the
plan will be complete, along with the potential to decrease the paperwork burden. This system is
maintained on Department of Labor servers, and is accessed through MSHA's Homepage at
http://www.msha.gov, “Online Tools”, then “Online Filing/Forms Homepage” or at “More
Information” then “Part 46 Training”.
Paragraph (a) of § 46.9 allows mine operators to record and certify training on MSHA Form 5000-23, or on
a form that contains the required information. Form 5000-23 is the mandatory approved form under
OMB collection 1219-0009, Certificate of Training (30 CFR §§ 48.9 and 48.29). The burden for recording
training under part 46, whether on Form 5000-23 or a separate form, is shown here and kept separate
from the requirement under part 48 and 1219-0009.
The Form 5000-23 is accessible for downloading on the MSHA Homepage:
http://www.msha.gov/forms/elawsforms/7000-52.htm .
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.
No similar or duplicate information exists.
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.
This information does not have a significant impact on small businesses or other small entities.
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.
MSHA believes that these information collection requirements are the minimum necessary to ensure that
miners receive the required training. Reduction in these requirements may result in miners being
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subjected to unsafe and unhealthful conditions in the mine and, thus, jeopardizing their lives.
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.

Although there is no explicit requirement that a mine operator retain records for more than 3 years, the
operator must maintain a current, approved training plan during the entire time the mine is in operation.
This collection of information is otherwise consistent with the guidelines in 5 CFR § 1320.5.
8. If applicable, provide a copy and identify the data 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 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.
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.
MSHA published a 60-day preclearance Federal Register notice on October 23, 2008 (Volume 73, Number
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206, Pages 63209-63211), soliciting public comments regarding the extension of this information
collection. No comments were received.
9. Explain any decision to provide any payment or gift to respondents, other than remuneration of
contractors or grantees.
MSHA does not provide payments or gifts to respondents.
10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance
in statute, regulation, or agency policy.
The records are covered by a Privacy Act notice published in the Federal Register. Training plans are
part of MSHA’s two Management Information Systems: (1) Labor/MSHA-3, Metal and Nonmetal Mine
Safety and Health Management Information System, and (2) Labor/MSHA-18, Coal Mine Safety and
Health Management Information System. Computerized and manual records are indexed by mine
identification number. Computer safeguards are as described in the National Bureau of Standards
Booklet, “Computer Security Guidelines for Implementing the Privacy Act of 1974.” Manual records are
stored in locked files and are accessible only to authorized personnel during working hours.
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 persons from whom the information
is requested, and any steps to be taken to obtain their consent.
There are no questions of a sensitive nature.
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.

Although there are about 12,559 mines and contractors covered by this rule, many were in compliance
prior to promulgation of the final rule and, therefore, do not incur a burden. As a result, the calculations
below apply to a percentage of the total entities. MSHA estimates that 6,325 mines and contractors are
affected by this information collection package. Also, in the following calculations, the numbers are
based on estimates from MSHA technical personnel who manage the Agency’s training program
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requirements. In question 12, mines refer to mine operators and contractors, unless otherwise indicated.
Section 46.3(a) – develop training plans
Paragraph (a) of § 46.3 requires mine operators to develop and implement a training plan that contains
effective programs. MSHA estimates that, of the 6,325 affected mines covered by this information
collection package, 30% (or 1,898 mines) will develop or revise training plans annually. Of these 1,898
mines there are: 1,368 plans for mines employing 1 to 5 miners, 464 plans for mines employing 6 to 19
miners, and 66 plans for mines employing 20 or more miners. Of the number of training plans in each
mine size category that will be developed or revised, we estimate that 50% will be done electronically
(on-line plans).
MSHA estimates that a supervisor, earning $60.03 per hour, takes 2 hours to develop or revise a plan for
mines employing fewer than 20 persons, and 4 hours for mines employing 20 or more persons. MSHA
further estimates that the time to develop or revise a plan will be reduced by 50% if done electronically.
Annual burden hours
Mines (1-5) (684 plans x 2 hours) + (684 electronic plans x 1 hour ) =
Mines (6-19) (232 plans x 2 hours) + (232 electronic plans x 1 hour ) =
Mines (>20) (33 plans x 4 hours) + ( 33 electronic plans x 2 hours) =

Annual burden costs
Mines (1-5) 2,052 hours x $60.03 =
Mines (6-19) 696 hours x $60.03 =
Mines (>20) 198 hours x $60.03 =

2,052 hours
696 hours
198 hours
2,946 hours

$123,182
$ 41,781
$ 11,886
$176,849

46.3(c) – send plans to MSHA and notify miners or miners’ representative
Paragraph (c) requires a plan that does not include the minimum information specified in paragraph (b)
to be submitted to MSHA for approval. On average, 282 mines submitted plans to MSHA annually.
Approximately half of these (142) submitted plans by mail, while the remaining half submitted plans
electronically, which does not incur additional burden hours or costs. Of the 142 mines that submitted
plans by mail, 99 mines employ 1 to 5 miners; 36 mines employ 6 to 19 miners; and 7 mines employ 20 or
more miners. MSHA estimates that a clerical worker, earning $24.52 per hour, takes about 0.2 hour to
copy and mail a training plan to the Agency and to notify miners or miners’ representative.
Annual burden hours
Mines (1-5) 99 plans x 0.2 hour =
Mines (6-19) 36 plans x 0.2 hour =
Mines (>20) 7 plans x 0.2 hour =

20 hours
7 hours
1 hour
28 hours

Annual burden costs
Mines (1-5) 20 hours x $24.52 =
Mines (6-19) 7 hours x $24.52 =
Mines (>20) 1 hour x $24.52 =

$490
$172
$ 25
$687

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46.3(d) - provide training plan to miners’ representative or post plan
Paragraph (d) requires operators to provide miners' representatives with a copy of the training plan. At
mines where no miners' representative has been designated, a copy of the plan must be posted at the
mine or a copy must be provided to each miner. The mines affected by this provision in each size
category are: 1,329 mines that employ 1 to 5 miners; 474 mines that employ 6 to 19 miners; and 95 mines
that employ 20 or more miners. MSHA estimates that a clerical worker, earning $24.52 per hour, takes
0.1 hour to photocopy the plan and either deliver or post the plan.
Annual burden hours
Mines (1-5) 1,329 plans x 0.1 hour =
Mines (6-19) 474 plans x 0.1 hour =
95 plans x 0.1 hour =
Mines (>20)

133 hours
47 hours
10 hours
190 hours

Annual burden costs
Mines (1-5) 133 hours x $24.52 =
Mines (6-19) 47 hours x $24.52 =
Mines (>20) 10 hours x $24.52 =

$3,261
$1,152
$ 245
$4,658

46.3(e) - miners or their representatives submission of written comments on training plan
This burden is not borne by the mine operator, but by miners or miners’ representatives. Paragraph (e)
provides that within 2 weeks following receipt or posting of the training plan, miners or their
representatives may submit written comments on the plan to mine operators, or to the Regional Manager,
as appropriate.
Over the last 3 years, MSHA has not received any written comments. In order to recognize that this may
occur in the future, MSHA estimates that it could receive one written comment for each size category.
MSHA estimates that a miner or miners' representatives, earning $25.46 per hour, would take 2 hours per
affected mine to prepare written comments.
Annual burden hours
Mines (1-5) (1 mine x 2 hours) =
Mines (6-19) (1 mine x 2 hours) =
Mines (>20) (1 mine x 2 hours) =

2 hours
2 hours
2 hours
6 hours

Annual burden costs
Mines (1-5) 2 hours x $25.46 =
Mines (6-19) 2 hours x $25.46 =
Mines (>20) 2 hours x $25.46 =

$ 51
$ 51
$ 51
$153

46.3(g) - provide miners or representative with copy of approved training plan or post plan
This provision requires the mine operator to provide the miners’ representative, if any, with a copy of the
approved training plan within 1 week of approval. At mines where no miners’ representative has been
designated, the operator must post a copy of the plan at the mine site or provide a copy to each miner.
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The mines affected by this provision in each size category are: 1,329 mines that employ 1 to 5 miners; 474
mines that employ 6 to 19 miners; and 95 mines that employ 20 or more miners. On average, a clerical
worker, earning $24.52 per hour, is estimated to take 0.1 hour to photocopy and either post or deliver the
approved training plan.
Annual burden hours
Mines (1-5) 1,329 mines x 0.1 hour =
Mines (6-19) 474 mines x 0.1 hour =
95 mines x 0.1 hour =
Mines (>20)

133 hours
47 hours
10 hours
190 hours

Annual burden costs
Mines (1-5) 133 hours x $24.52 =
Mines (6-19) 47 hours x $24.52 =
Mines (>20) 10 hours x $24.52 =

$3,261
$1,152
$ 245
$4,658

46.3(h) – write an appeal
Paragraph (h) allows mine operators, contractors, miners, and miners' representatives to appeal a
decision of the Regional Manager in writing to MSHA’s Director for Educational Policy and
Development. The Director would issue a decision on the appeal within 30 days after receipt of the
appeal.
Over the last 3 years, MSHA has not received any appeals. In order to recognize that this may occur in
the future, MSHA estimates that it could receive one appeal for each size category. MSHA estimates that
a mine supervisor, earning $60.03 per hour, would take 4 hours to write the appeal.
Annual burden hours
Mines (1-5) 1 appeal x 4 hours =
Mines (6-19) 1 appeal x 4 hours =
Mines (>20) 1 appeal x 4 hours =

4 hours
4 hours
4 hours
12 hours

Annual burden costs
Mines (1-5) 4 hours x $60.03 =
Mines (6-19) 4 hours x $60.03 =
Mines (>20) 4 hours x $60.03 =

$240
$240
$240
$720

46.3(i) – make plans available for inspection
Paragraph (i) requires mine operators and contractors to make available at the mine site a copy of the
current training plan for inspection by MSHA and for examination by miners and their representatives. If
the training plan is not maintained at the mine site, operators must have the capability to provide the
plan within one business day upon request to MSHA, miners, or their representatives.
The mines affected by this provision in each size category are: 1,329 mines that employ 1 to 5 miners; 474
mines that employ 6 to 19 miners; and 95 mines that employ 20 or more miners. MSHA estimates that a
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clerical worker, earning $24.52 per hour, would take 0.1 hour to retrieve, photocopy, and file the training
plan.
Annual burden hours
Mines (1-5) 1,329 mines x 0.1 hour =
Mines (6-19) 474 mines x 0.1 hour =
95 mines x 0.1 hour =
Mines (>20)

133 hours
47 hours
10 hours
190 hours

Annual burden costs
Mines (1-5) 133 hours x $24.52 =
Mines (6-19) 47 hours x $24.52 =
Mines (>20) 10 hours x $24.52 =

$3,261
$1,152
$ 245
$4,658

Section 46.5(a) New miner training - prepare for training
Paragraph (a) of § 46.5 requires mine operators to provide each new miner with no less than 24 hours of
training. Miners who have not received the full 24 hours of new miner training must work where an
experienced miner can observe that the new miner is working in a safe and healthful manner.
The mines affected by this provision in each size category are: 797 mines that employ 1 to 5 miners; 285
mines that employ 6 to 19 miners; and 57 mines that employ 20 or more miners. MSHA estimates that for
each mine, a mine supervisor, earning $60.03 per hour, would take 6 hours annually to prepare for the
new miner training.
Annual burden hours
Mines (1-5) 797 mines x 6 hours =
Mines (6-19) 285 mines x 6 hours =
Mines (>20) 57 mines x 6 hours =

4,782 hours
1,710 hours
342 hours
6,834 hours

Annual burden costs
Mines (1-5) 4,782 hours x $60.03 =
Mines (6-19) 1,710 hours x $60.03 =
Mines (>20) 342 hours x $60.03 =

$287,063
$102,651
$ 20,530
$410,244

46.5(a) New miner training - mine supervisor giving training
Every new miner must receive 24 hours of new miner training. However, new miners are permitted to
substitute equivalent training received by other federal or state agencies to meet part 46 requirements,
where appropriate. On average, we estimate that 4 hours has been credited toward the part 46 new
miner training requirement.
MSHA estimates, for each size category, that the average number of training sessions the mine supervisor
would provide annually per mine is: 1 session for mines that employ 1 to 5 miners; 1 session for mines
that employ 6 to 19 miners; and 3 sessions for mines that employ 20 or more miners. The mines affected,
in each size category, are: 797 mines that employ 1 to 5 miners; 285 mines that employ 6 to 19 miners; and
57 mines that employ 20 or more miners.
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Annual burden hours
Mines (1-5) 797 mines x 1 session x 20 hours =
Mines (6-19) 285 mines x 1 session x 20 hours =
Mines (>20) 57 mines x 3 sessions x 20 hours =

15,940 hours
5,700 hours
3,420 hours
25,060 hours

Annual burden costs
Mines (1-5) 15,940 hours x $60.03 =
Mines (6-19) 5,700 hours x $60.03 =
Mines ( >20) 3,420 hours x $60.03 =

$ 956,878
$ 342,171
$ 205,303
$1,504,352

New miner training - offsite training
Additionally, the Agency estimates that part of new miner training would be provided off-site by a third
party. Operators would pay the third party for providing this part of the new miner training; thus mine
operators would incur burden costs but no burden hours. See question 13 for these costs.
Section 46.6(a) Newly hired experienced miner training - prepare for training
Paragraph (a) of § 46.6 requires operators to provide each newly hired experienced miner with certain
specified training before the miner begins work. The mines affected by this provision in each size
category are: 2,479 mines that employ 1 to 5 miners; 886 mines that employ 6 to 19 miners; and 177 mines
that employ 20 or more miners. MSHA estimates that it takes a mine supervisor, earning $60.03 per hour,
1 hour annually to prepare for the experienced miner training.
Annual burden hours
Mines (1-5) 2,479 mines x 1 hour =
Mines (6-19) 886 mines x 1 hour =
Mines (>20) 177 mines x 1 hour =

2,479 hours
886 hours
177 hours
3,542 hours

Annual burden costs
Mines (1-5) 2,479 hours x $60.03 =
Mines (6-19) 886 hours x $60.03 =
Mines (>20) 177 hours x $60.03 =

$148,814
$ 53,187
$ 10,625
$212,626

46.6(a) Newly hired experienced miner training - mine supervisor giving training
MSHA estimates, for each size category, that the average number of training sessions the mine supervisor
would provide annually per mine is: 1 session for mines that employ 1 to 5 miners; 2 sessions for mines
that employ 6 to 19 miners; and 4 sessions for mines that employ 20 or more miners. The mines affected
by this provision in each size category are: 2,479 mines that employ 1 to 5 miners; 886 mines that employ
6 to 19 miners; and 177 mines that employ 20 or more miners. On average, each training session is
estimated to last 4 hours.
Annual burden hours
Mines (1-5) 2,479 mines x 1 session x 4 hours =

9,916 hours

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Mines (6-19)
Mines (>20)

886 mines x 2 sessions x 4 hours =
177 mines x 4 sessions x 4 hours =

7,088 hours
2,832 hours
19,836 hours

Annual burden costs
Mines (1-5) 9,916 hours x $60.03 =
Mines (6-19) 7,088 hours x $60.03 =

$ 595,257
$ 425,493

Mines (>20) 2,832 hours x $60.03 =

$ 170,005
$1,190,755

Section 46.7(a) New task training - prepare for training
Section 46.7(a) requires that before performing a new task for which the miner has no experience, the
operator must train the miner in the safety and health aspects and safe work procedures specific to that
task. The mines affected by this provision in each size category are: 4,206 mines that employ 1 to 5
miners; 1,502 mines that employ 6 to 19 miners; and 301 mines that employ 20 or more miners. MSHA
estimates that for each mine, a mine supervisor, earning $60.03 per hour, would take 0.25 hour annually
to prepare for the task training.
Annual burden hours
Mines (1-5) 4,206 mines x 0.25 hour =
Mines (6-19) 1,502 mines x 0.25 hour =
Mines (>20) 301 mines x 0.25 hour =

1,052 hours
376 hours
75 hours
1,503 hours

Annual burden costs
Mines (1-5) 1,052 hours x $60.03 =
Mines (6-19) 376 hours x $60.03 =
75 hours x $60.03 =
Mines (>20)

$63,152
$22,571
$ 4,502
$90,225

46.7(a) New task training - mine supervisor giving training
For each size category, the average number of training sessions that the mine supervisor will give
annually per mine is: 5 sessions for mines that employ 1 to 5 miners; 10 sessions for mines that employ 6
to 19 miners; and 20 sessions for mines that employ 20 or more miners. On average, each training session
is estimated to last 0.5 hour. The mines affected by this provision in each size category are: 4,206 mines
that employ 1 to 5 miners; 1,502 mines that employ 6 to 19 miners; and 301 mines that employ 20 or more
miners.
Annual burden hours
Mines (1-5) 4,206 mines x 5 sessions x 0.5 hour =
Mines (6-19) 1,502 mines x 10 sessions x 0.5 hour =
Mines (>20) 301 mines x 20 sessions x 0.5 hour =

10,515 hours
7,510 hours
3,010 hours
21,035 hours

Annual burden costs
Mines (1-5) 10,515 hours x $60.03 =
Mines (6-19) 7,510 hours x $60.03 =
Mines (>20) 3,010 hours x $60.03 =

$ 631,215
$ 450,825
$ 180,690

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1219-0131
$1,262,730
Section 46.7(b) Regularly-assigned task training - prepare for training
Section 46.7(b) requires that if changes have occurred in a miner’s regularly assigned task, the operator
must provide the miner with training that addresses the changes. The mines affected by this provision in
each size category are: 4,206 mines that employ 1 to 5 miners; 1,502 mines that employ 6 to 19 miners; and
301 mines that employ 20 or more miners. For each mine, a mine supervisor, earning $60.03 per hour,
would take 0.1 hour annually to prepare for this task training.
Annual burden hours
Mines (1-5) 4,206 mines x 0.1 hour =
Mines (6-19) 1,502 mines x 0.1 hour =
Mines (>20) 301 mines x 0.1 hour =

421 hours
150 hours
30 hours
601 hours

Annual burden costs
Mines (1-5) 421 hours x $60.03 =
Mines (6-19) 150 hours x $60.03 =
Mines (>20) 30 hours x $60.03 =

$25,273
$ 9,005
$ 1,801
$36,079

46.7(b) Regularly-assigned task training - mine supervisor giving training
For each size category, the average number of training sessions that the mine supervisor will give
annually per mine are: 5 sessions for mines that employ 1 to 5 miners; 10 sessions for mines that employ 6
to 19 miners; and 20 sessions for mines that employ 20 or more miners. On average, each training session
is estimated to last 0.25 hour. The mines affected by this provision in each size category are: 4,206 mines
that employ 1 to 5 miners; 1,502 mines that employ 6 to 19 miners; and 301 mines that employ 20 or more
miners.
Annual burden hours
Mines (1-5) 4,206 mines x 5 sessions x 0.25 hour =
Mines (6-19) 1,502 mines x 10 sessions x 0.25 hour =
Mines (>20) 301 mines x 20 sessions x 0.25 hour =

Annual burden costs
Mines (1-5) 5,258 hours x $60.03 =
Mines (6-19) 3,755 hours x $60.03 =
Mines (>20) 1,505 hours x $60.03 =

5,258 hours
3,755 hours
1,505 hours
10,518 hours

$315,638
$225,413
$ 90,345
$631,396

Section 46.8(a) Annual refresher training - prepare for training
Paragraph (a) of § 46.8 requires that the operator provide each miner with no less than 8 hours of
refresher training, at least every 12 months. The mines affected by this provision in each size category
are: 4,562 mines that employ 1 to 5 miners; 1,544 mines that employ 6 to 19 miners; and 219 mines that
employ 20 or more miners. MSHA estimates that for each mine, a mine supervisor, earning $60.03 per
hour, would take 3 hours to prepare for the refresher training.
January 2009

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1219-0131

Annual burden hours
Mines (1-5) 4,562 mines x 3 hours =
Mines (6-19) 1,544 mines x 3 hours =
Mines (>20) 219 mines x 3 hours =

13,686 hours
4,632 hours
657 hours
18,975 hours

Annual burden costs
Mines (1-5) 13,686 hours x $60.03 =
Mines (6-19) 4,632 hours x $60.03 =
Mines (>20) 657 hours x $60.03 =

$ 821,571
$ 278,059
$ 39,440
$1,139,070

46.8(a) Annual refresher training - mine supervisor giving training
MSHA estimates, for each size category, that the average number of training sessions the mine supervisor
would provide annually per mine is: 1 session for mines that employ 1 to 5 miners; 1 session for mines
that employ 6 to 19 miners; and 2 sessions for mines that employ 20 or more miners. On average, each
training session is estimated to last 8 hours. The mines affected by this provision in each size category
are: 4,562 mines that employ 1 to 5 miners; 1,544 mines that employ 6 to 19 miners; and 219 mines that
employ 20 or more miners.
Annual burden hours
Mines (1-5) 4,562 mines x 1 session x 8 hours =
Mines (6-19) 1,544 mines x 1 session x 8 hours =
Mines (>20) 219 mines x 2 sessions x 8 hours =

36,496 hours
12,352 hours
3,504 hours
52,352 hours

Annual burden costs
Mines (1-5) 36,496 hours x $60.03 =
Mines (6-19) 12,352 hours x $60.03 =
Mines (>20) 3,504 hours x $60.03 =

$2,190,855
$ 741,491
$ 210,345
$3,142,691

Section 46.11 Site-specific hazard awareness training – miner giving training
Paragraph (a) of §46.11 requires operators to provide site-specific hazard training to specified persons
who are exposed to mine hazards. The training for any person who is not a miner includes: scientific
workers; delivery workers and customers; occasional, short-term maintenance or service workers who do
not work at the mine site on a continuing basis, or manufacturers’ representatives; and outside vendors,
visitors, office or staff personnel. This training is also for miners, such as drillers or blasters, who move
from one mine to another mine while remaining employed by the same production-operator or
independent contractor. There is little or no preparation for this type of training because the miner giving
the training is only explaining or showing potential mine hazards to the person(s) being trained.
MSHA estimates, for each size category, that the average number of training sessions the miner would
provide annually per mine are: 50 sessions for mines that employ 1 to 5 miners; 100 sessions for mines
that employ 6 to 19 miners; and 200 sessions for mines that employ 20 or more miners. On average,
MSHA estimates that annually a miner, earning $25.46 per hour, takes 0.15 hour per worker to provide
hazard training. The mines affected by this provision in each size category are: 4,562 mines that employ
January 2009

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1219-0131
1 to 5 miners; 1,544 mines that employ 6 to 19 miners; and 219 mines that employ 20 or more miners.
Annual burden hours
Mines (1-5) 4,562 mines x 50 sessions x 0.15 hour =
Mines (6-19) 1,544 mines x 100 sessions x 0.15 hour =
Mines (>20) 219 mines x 200 sessions x 0.15 hour =

Annual burden costs
Mines (1-5) 34,215 hours x $25.46 =
Mines (6-19) 23,160 hours x $25.46 =
Mines (>20) 6,570 hours x $25.46 =

34,215 hours
23,160 hours
6,570 hours
63,945 hours

$ 871,114
$ 589,654
$ 167,272
$1,628,040

Section 46.9 Records of training
Section 46.9 requires operators, upon completion of each training program, to record and certify on
MSHA Form 5000-23, (Form 5000-23 is the mandatory approved form under OMB collection 1219-0009,
Certificate of Training (30 CFR §§ 48.9 and 48.29), or on a form that contains the required information,
that the miner has completed the training. For all records required to be kept in §§ 46.5, 46.6, 46.7, 46.8,
and 46.11, MSHA estimates that, for each mine, a mine supervisor, earning $60.03 per hour, takes 0.08
hour to record and certify training records for each session. In addition, it is estimated to take a clerical
worker, earning $24.52 per hour, 0.05 hour to copy and distribute the certificates.
The numbers in the calculations below come from the number of mines and sessions in each of the
sections for training (§§ 46.5, 46.6, 46.7, 46.8, and 46.11) specified above in question 12.
Annual burden hours
Mines (1-5)
[(797 mines x 1 session for §46.5) + (2,479 mines x 1 session for §46.6)
+ (4,206 mines x 5 sessions for §46.7(a)) + (4,206 mines x 5 sessions for §46.7(b))
+ (4,562 mines x 1 session for §46.8) + (4,562 mines x 50 sessions for §46.11)]
x 0.08 hour of supervisor time =

22,240 hours

[(797 mines x 1 session for §46.5) + (2,479 mines x 1 session for §46.6)
+ (4,206 mines x 5 sessions for §46.7(a)) + (4,206 mines x 5 sessions for §46.7(b))
+ (4,562 mines x 1 session for §46.8) + (4,562 mines x 50 sessions for §46.11)]
x 0.05 hour of clerical time =

13,900 hours

Mines (6-19)
[(285 mines x 1 session for §46.5) + (886 mines x 2 sessions for §46.6)
+ (1,502 mines x 10 sessions for §46.7(a)) + (1,502 mines x 10 sessions for §46.7(b))
+ (1,544 mines x 1 session for §46.8) + (1,544 mines x 100 sessions for §46.11)]
x 0.08 hour of supervisor time =

15,043 hours

[(285 mines x 1 session for §46.5) + (886 mines x 2 sessions for §46.6)
+ (1,502 mines x 10 sessions for §46.7(a)) + (1,502 mines x 10 sessions for §46.7(b))
+ (1,544 mines x 1 session for §46.8) + (1,544 mines x 100 sessions for §46.11)]
x 0.05 hour of clerical time =

9,402 hours

January 2009

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1219-0131

Mines (20 or more)
[(57 mines x 3 sessions for §46.5) + (177 mines x 4 sessions for §46.6)
+ (301 mines x 20 sessions for §46.7(a)) + (301 mines x 20 sessions for §46.7(b))
+ (219 mines x 2 sessions for §46.8) + (219 mines x 200 sessions for §46.11)]
x 0.08 hour of supervisor time =

4,573 hours

[(57 mines x 3 sessions for §46.5) + (177 mines x 4 sessions for §46.6)
+ (301 mines x 20 sessions for §46.7(a)) + (301 mines x 20 sessions for §46.7(b))
+ (219 mines x 2 sessions for §46.8) + (219 mines x 200 sessions for §46.11)]
x 0.05 hour of clerical workers’ time =

2,858 hours

Total §46.9 Burden Hours

68,016 hours

Annual burden Costs
Mines (1-5) 22,240 hours x $60.03 (superv) =
Mines (1-5) 13,900 hours x $24.52 (clerical) =

$1, 335,067
$ 340,828

Mines (6-19) 15,043 hours x $60.03 (superv) =
Mines (6-19) 9,402 hours x $24.52 (clerical) =

$
$

903,031
230,537

4,573 hours x $60.03 (superv) =
2,858 hours x $24.52 (clerical) =

$
$

274,517
70,078

Mines (>20)
Mines (>20)

Total §46.9 Burden Costs

$3,154,058

Summary of Question 12
Section

Annual
Responses

Annual
Burden Hours

Annual Burden
Costs

46.3(a)

1,898

2,946

$176,849

46.3(c)

282

28

$687

46.3(d)

1,898

190

$4,658

46.3(e)

3

6

$153

46.3(g)

1,898

190

$4,658

46.3(h)

3

12

$720

46.3(i)

1,898

190

$4,658

46.5(a) prepare

1,139

6,834

$410,244

46.5(a) train

1,253

25,060

$1,504,352

46.6(a) prepare

3,542

3,542

$212,626

46.6(a) train

4,959

19,836

$1,190,755

46.7(a) prepare

6,009

1,503

$90,225

January 2009

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1219-0131
46.7(a) train

42,070

21,035

$1,262,730

6,009

601

$36,079

42,070

10,518

$631,396

46.8(a) prepare

6,325

18,975

$1,139,070

46.8(a) train

6,544

52,352

$3,142,691

46.11(a) train

426,300

63,945

$1,628,040

46.9 records

523,196

68,016

$3,154,058

1,077,296

295,779

$14,594,649

46.7(b) prepare
46.7(b) train

Total

13. Provide an estimate of the total annual cost burden to respondents or recordkeepers 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. Include descriptions of methods used to estimate major cost factors
including system and technology acquisition, expected useful life of 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.

Capital and Start-up Costs:

N/A

Operating and Maintenance Costs:
Section 46.3(c) – provide training plan to MSHA
A plan that does not include the minimum information specified in § 46.3(b) must be submitted to and
approved by MSHA. The plan must be sent to MSHA. Approximately, half of the 282 plans are
submitted by mail. MSHA estimates that the mines affected in each size category are: 99 mines that
January 2009

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1219-0131
employ 1 to 5 miners; 36 mines that employ 6 to 19 persons; and 7 mines that employ 20 or more miners.
MSHA estimates that a plan is 6 pages, copy costs are $0.15 per page, and postage is $1.00.
Annual Costs
Mines (1-5) 99 training plans x ((6 pgs. x $0.15) + $1.00) =
Mines (6-19) 36 training plans x ((6 pgs. x $0.15) + $1.00) =
Mines (>20) 7 training plans x ((6 pgs. x $0.15) + $1.00) =

$ 188
$ 68
$ 13
$ 269

46.3(d) – provide training plans to miners’ representative or post plan
The operator must provide the miners’ representative with a copy of the training plan. At mines where
no miners’ representative has been designated, a copy of the plan must be posted at the mine or a copy
must be provided to each miner. The mines affected by this provision are: 1,329 mines that employ 1 to 5
miners; 474 mines that employ 6 to 19 miners; and 95 mines that employ 20 or more miners. A plan is
estimated to have 6 pages and copy costs are $0.15 per page.
Annual Costs
Mines (1-5) 1,329 training plans x (6 pgs. x $0.15) =
Mines (6-19) 474 training plans x (6 pgs. x $0.15) =
95 training plans x (6 pgs. x $0.15) =
Mines (>20)

$1,196
$ 427
$ 86
$1,709

46.3(e) – miners or their representatives submission of written comments on plans
Within 2 weeks following the receipt or posting of the training plan, miners or their representatives may
submit written comments on the plan to the operator, or to MSHA, and they may also ask that the plan be
reviewed. Over the last 3 years, MSHA has not received any written comments. In order to recognize
that this may occur in the future, MSHA estimates that it could receive one written comment for each size
category. Postage costs to deliver written comments are estimated at $1.00.
Annual Costs
Mines (1-5) 1 mine x $1.00 =
Mines (6-19) 1 mine x $1.00 =
Mines (>20) 1 mine x $1.00 =

$1
$1
$1
$3

46.3(g) – provide miners or representative with copy of approved training plan or post plan
This provision requires the operator to provide the miners’ representative, if any, with a copy of the
approved training plan within 1 week of approval. At mines where no miners’ representative has been
designated, the operator must post a copy of the plan at the mine site or provide a copy to each miner
within 1 week of approval. MSHA estimates that the affected mines are: 1,329 mines that employ 1 to 5
miners; 474 mines that employ 6 to 19 miners; and 95 mines that employ 20 or more miners. On average,
a plan is estimated to be 6 pages, copying costs are $0.15 per page, and postage is $1.00.
Annual Costs
Mines (1-5) 1,329 mines x ((6 pgs. x $0.15) + $1.00) =
Mines (6-19) 474 mines x ((6 pgs. x $0.15) + $1.00) =
95 mines x ((6 pgs. x $0.15) + $1.00) =
Mines (>20)
January 2009

17

$2,525
$ 901
$ 181

1219-0131
$3,607
46.3(h) – write an appeal
An operator may appeal an MSHA decision concerning an approved training plan. Over the last 3 years,
MSHA has not received any appeals. In order to recognize that this may occur in the future, MSHA
estimates that it could receive one appeal for each size category. The costs for postage to mail the written
appeal are estimated to be $1.00.
Annual Costs
Mines (1-5) 1 mine x $1.00 =
Mines (6-19) 1 mine x $1.00 =
Mines (>20) 1 mine x $1.00 =

$1
$1
$1
$3

46.3(i) – make available training plan for inspection
The operator must make available a copy of the current training plan for inspection by MSHA and for
examination by miners and their representatives. The mines affected by this provision for each mine size
category are: 1,329 mines that employ 1 to 5 miners; 474 mines that employ 6 to 19 miners; and 95 mines
that employ 20 or more persons. The copying costs are $0.15 per page and 6 pages are copied.
Annual Costs
Mines (1-5) 1,329 mines x (6 pgs. x $0.15) =
Mines (6-19) 474 mines x (6 pgs. x $0.15) =
95 mines x (6 pgs. x $0.15) =
Mines (>20)

$1,196
$ 427
$ 86
$1,709

Section 46.5 New miner training
Part of new miner training for miners with no experience will be provided off the mine site by a third
party. The operator will pay the third party for providing this part of the new miner training.
The number of miners receiving off-site training in each category are: 1,867 miners in mines that employ
1 to 5 miners; 667 miners in mines that employ 6 to 19 miners; and 133 miners in mines that employ 20 or
more miners. MSHA estimates a $50 training fee per miner.
Annual Costs for Third Party to Conduct New Miner Training
Mines (1-5) 1,867 miners x $50 =
Mines (6-19) 667 miners x $50 =
Mines (>20) 133 miners x $50 =

$ 93,350
$ 33,350
$ 6,650
$133,350

In addition, each miner will incur approximately $35 for transportation to off site training, $35 per diem
for food, and 5% of the miners receiving off site training are estimated to require one night of lodging at
$70 per night.
Annual Costs for Expenses Related to Third Party New Miner Training
Mines (1-5) (1,867 x (35 + 35)) + ((1,867 x .05) x 70) =
$137,225
Mines (6-19) ( 667 x (35 + 35)) + (( 667 x .05) x 70) =
$ 49,025
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1219-0131
Mines (>20) ( 133 x (35 + 35)) + (( 133 x .05) x 70) =

$ 9,776
$196,026

Total for §46.5

$329,376

Section 46.9 Recordkeeping
Under each training provision (30 CFR §§ 46.5, 46.6, 46.7, 46.8, and 46.11), a clerical person makes 2 copies
for each training record. Copies are $0.15 per page and the record is one page. The number of records
affected by each mine size are listed below.
Annual Costs
Mines (1-5)
[(797 mines x 1 session for §46.5) + (2,479 mines x 1 session for §46.6)
+ (4,206 mines x 5 sessions for §46.7(a)) + (4,206 mines x 5 sessions for §46.7(b))
+ (4,562 mines x 1 session for §46.8) + (4,562 mines x 50 sessions for §46.11)]
x $0.15 x 1 page x 2 copies =
$ 83,399
Mines (6-19)
[(285 mines x 1 session for §46.5) + (886 mines x 2 sessions for §46.6)
+ (1,502 mines x 10 sessions for §46.7(a)) + (1,502 mines x 10 sessions for §46.7(b))
+ (1,544 mines x 1 session for §46.8) + (1,544 mines x 100 sessions for §46.11)]
x $0.15 x 1 page x 2 copies =
$ 56,412
Mines (>20)
[(57 mines x 3 sessions for §46.5) + (177 mines x 4 sessions for §46.6)
+ (301 mines x 20 sessions for §46.7(a)) + (301 mines x 20 sessions for §46.7(b))
+ (219 mines x 2 sessions for §46.8) + (219 mines x 200 sessions for §46.11)]
x $0.15 x 1 page x 2 copies =
$ 17,147
Total of §46.9

$156,958
Summary of Question 13
Section

Annual Burden Costs
$269
$1,709
$3
$3,607
$3
$1,709
$329,376
$156,958

46.3(c)
46.3(d)
46.3(e)
46.3(g)
46.3(h)
46.3(i)
46.5
46.9
Total Cost

$493,634

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
January 2009

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1219-0131
(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.
MSHA training specialists review and approve any training plans submitted under the part 46 rule. On
average, 282 plans were submitted annually. Of these, 197 plans were submitted from operations
employing 1 to 5 miners, 71 from operations employing 6 to 19 miners, and 14 from operations
employing 20 or more miners. Also, MSHA estimates that a training specialist averages 2 hours to review
plans submitted by operations employing 1 to 5 miners, 2 hours for operations employing 6 to 19 miners,
and 4 hours for operations employing 20 or more miners. For 2008, the average grade and salary of a
training specialist is GS 12/5, at $65,405 per annum or $31.34 per hour.
Mines (1-5):
Mines (6-19):
Mines (>20):

197 plans x 2 hours x $31.34 =
71 plans x 2 hours x $31.34 =
14 plans x 4 hours x $31.34 =

$12,348
$ 4,450
$ 1,755
$18,553

Additionally, MSHA inspectors spend time at the mine site checking training records and plans. Of the
number of affected mines: 4,428 operations employ 1 to 5 miners; 1,581 operations employ 6 to 19 miners;
and 316 operations employ 20 or more miners. On average, MSHA estimates that the time an inspector
spends annually to review part 46 training records and plans per mine visit is 15 minutes (0.25 hour) at
operations employing 1 to 5 miners, 30 minutes (0.5 hour) at operations employing 6 to 19 miners, and 1
hour at operations employing 20 or more miners. For 2008, the average grade and salary of an inspector
is GS 12/1, at $57,709 per annum or $27.65 per hour.
Mines (1-5):
Mines (6-19):
Mines (>20):

4,428 mines x 0.25 hour x $27.65 =
1,581 mines x 0.5 hour x $27.65 =
316 mines x 1
hour x $27.65 =

$30,609
$21,857
$ 8,737
$61,203

Total Cost to the Federal Government

$79,756

15. Explain the reasons for any program changes or adjustments reporting in Items 13 or 14 of the
OMB Form 83-I.
The number of mines and contractors affected by this information collection decreased, thereby
decreasing the overall burden reflected in the following summary:
Respondents: The number of respondents decreased slightly by 19 (6,325 from 6,344).
Responses: The number of responses decreased by 20,498 (1,077,296 from 1,097,794). The reason for both
these decreases is probably due to the slow-down in the economy, which resulted in reduced mining
activity.
Hours: The number of hours decreased by 3,640 (295,779 from 299,419). Because of the reason stated
above, there are fewer mines developing or revising training plans and sending them to MSHA, and
hiring new miners and conducting new miner training.
Costs: The cost decreased by $3,161 ($493,634 from $496,795). This slight decrease is from fewer mines
developing or revising training plans, and fewer new miners.
January 2009

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1219-0131

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.
MSHA does not intend to publish the results of this information collection.
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.
MSHA has no forms associated with this collection of information on which to display an expiration date.
18. Explain each exception to the certification statement identified in Item 19, "Certification for
Paperwork Reduction Act Submission," of OMB 83-I.
There are no certification exceptions identified with this information collection.

B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
The agency should be prepared to justify its decision not to use statistical methods in any case where
such methods might reduce burden or improve accuracy of results. When Item 17 on the Form OMB
83-I is checked “Yes”, the following documentation should be included in the Supporting Statement
to the extent that it applies to the methods proposed:
1. Describe (including a numerical estimate) the potential respondent universe and any sampling or
other respondent selection method to be used. Data on the number of entities (e.g., establishments,
State and local government units, households, or persons) in the universe covered by the collection
and in the corresponding sample are to be provided in tabular form for the universe as a whole and
for each of the strata in the proposed sample. Indicate expected response rates for the collection as a
whole. If the collection had been conducted previously, include the actual response rate achieved
during the last collection.
2. Describe the procedures for the collection of information including:
•

Statistical methodology for stratification and sample selection,

•

Estimation procedure,

•

Degree of accuracy needed for the purpose described in the justification,

•

Unusual problems requiring specialized sampling procedures, and

•

Any use of periodic (less frequent than annual) data collection cycles to reduce
burden.

3. Describe methods to maximize response rates and to deal with issues of non-response. The
accuracy and reliability of information collected must be shown to be adequate for intended uses. For
collections based on sampling, a special justification must be provided for any collection that will not
yield “reliable” data that can be generalized to the universe studied.
January 2009

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1219-0131

4. Describe any tests of procedures or methods to be undertaken. Testing is encouraged as an
effective means of refining collections of information to minimize burden and improve utility. Tests
must be approved if they call for answers to identical questions from 10 or more respondents. A
proposed test or set of tests may be submitted for approval separately or in combination with the main
collection of information.
5. Provide the name and telephone number of individuals consulted on statistical aspects of the
design and the name of the agency unit, contractor(s), grantee(s), or other persons(s) who will actually
collect and/or analyze the information for the agency.
The collection of this information does not employ statistical methods.

January 2009

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