Form SD

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC 697 Form SD	Form and Instruction	Modified	Repair queued
Form SD Supporting Statement.Final.2024 (2).pdf	Supporting Statement A	Uploaded 2024-07-10	Repair queued
Form SD.30 Day Federal Register Notice.89FR53692.pdf	Supplementary Document	Uploaded 2024-07-08	Repair queued
Form SD.60 Day Federal Register Notice.89FR32499.pdf	Supplementary Document	Uploaded 2024-07-08	Missing upstream
March 22, 2023 EDGAR PIA.pdf	Supplementary Document	Uploaded 2024-07-08	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
204812	Form SD	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0697	ICR Reference No: 202407-3235-009
Status: Received in OIRA	Previous ICR Reference No: 202012-3235-013
Agency/Subagency: SEC	Agency Tracking No: CF 270-647
Title: Form SD
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 07/10/2024

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	07/31/2024
Responses	1,423	1,278
Time Burden (Hours)	455,897	458,065
Cost Burden (Dollars)	91,179,469	103,575,152

---

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

---

Authorizing Statute(s): US Code: 15 USC 78c(b), 78l, 78m, 78o, 78w(a) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78mm Name of Law: Securities Exchange Act of 1934
   PL: Pub.L. 111 - 203 1502 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 32499	04/26/2024
30-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 53692	06/27/2024
Did the Agency receive public comments on this ICR? No

---

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

table that charts list of burden

IC Title	Form No.	Form Name
Form SD	SEC 697	Form SD - Specialized Disclosure Report

---

ICR Summary of Burden

table that charts list of burden

	Total Request	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	1,423	1,278	0	0	145	0
Annual Time Burden (Hours)	455,897	458,065	0	0	-2,168	0
Annual Cost Burden (Dollars)	91,179,469	103,575,152	0	0	-12,395,683	0

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

Burden Increase Due to:

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

Burden Reduction Due to:

Short Statement: The decrease of 2,168 in burden hours and the decrease of ($12,395,683) in cost burden is due to an adjustment to a change in how Rule 13(q) filers burden hours and cost burden are calculated by the Commission. The Commission has increased the cost of outside professionals from $400 per hour to $600 per hour for purposes of the PRA analysis. We recognize that the costs of retaining outside professionals may vary depending on the nature of the professional services.

---

Annual Cost to Federal Government: $131,724,880

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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]? No

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

Is this ICR related to the Pandemic Response? No

---

Common Form ICR:  No

---

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

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

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

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

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

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

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

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

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

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

(v) Nature and extent of confidentiality; and

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

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

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

(j) It makes appropriate use of information technology.

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

Certification Date: 07/10/2024

---