Form 40-F

Forms and Documents

Document Name	Status
Form SEC 2285 Form 40-F Form and Instruction	Modified
Supporting Statement. Mine Safety Disclosure. 1-26-2012.pdf Supporting Statement A	2012-01-27

IC Document Collections

IC ID	Document Title	Status
34962	Form 40-F Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0381	ICR Reference No: 201201-3235-007
Status: Historical Active	Previous ICR Reference No: 201106-3235-001
Agency/Subagency: SEC	Agency Tracking No: CF 270-335
Title: Form 40-F
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 04/25/2012
	Date Received in OIRA: 01/30/2012
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2015	36 Months From Approved	07/31/2014
Responses	205	0	205
Time Burden (Hours)	22,034	0	21,884
Cost Burden (Dollars)	26,440,500	0	26,260,500

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Abstract: Form 40-F may be used by certain Canadian issuers to satisfy their annual reporting obligations pursuant to the Securities Exchange Act of 1934.

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Authorizing Statute(s): US Code: 15 USC 78l, 78m, 78o, 78w Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 77g, 77j, 77s(a) Name of Law: Securities Act of 1933
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 1503 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AK83	Final or interim final rulemaking	76 FR 81762	12/28/2011

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Form 40-F	SEC 2285	Form 40-F

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	205	205	0	0	0	0
Annual Time Burden (Hours)	22,034	21,884	150	0	0	0
Annual Cost Burden (Dollars)	26,440,500	26,260,500	180,000	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The changes in burden of Form 40-F relate to new disclosure requirements about mine safety matters. These disclosure requirements implement Section 1503 of the Dodd-Frank Act, which requires disclosure of specified mine safety and health violations, orders and citations and related matters in periodic reports. The change in burden for Form 40-F corresponds to the new disclosure requirements. We estimate the new rules will result in an increase of 150 annual burden hours and an increase in the cost burden of $180,000 for services of outside professionals.

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Annual Cost to Federal Government: $25,000

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

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Yes

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

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 01/30/2012

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