Non-Substantive Change Request Justification

March 11, 2020

Page 1 of 12

Request for a Non-Substantive Change
to an Existing Approved Information Collection
(EPA ICR No. 1446.13; OMB Control No. 2070-0112)

TABLE OF CONTENTS
I. Introduction .............................................................................................................................. 1
Why is EPA Requesting a Non-Substantive Change? ................................................................. 1
II. Background .............................................................................................................................. 2
Overview of the Guidance and the Guidance-Related ICR ........................................................ 2
Did OMB Review the Guidance Under Executive Order (EO) 12866? ..................................... 2
III. Description of Non-Substantive Changes............................................................................. 3
What Information Collection Request (ICR) is EPA changing? ................................................. 3
What is the current status of this ICR? ....................................................................................... 3
What are the changes that EPA is making to this ICR? ............................................................. 3
Adjustments – Burden Increases ......................................................................................... 4
Program Changes – Burden Increases ................................................................................ 6
Program Changes – Burden Decreases ............................................................................... 8
Bottom Line Changes in Burden ......................................................................................... 9

I. Introduction
Why is EPA Requesting a Non-Substantive Change?
This non-substantive change request reallocates individual paperwork activities, or information
collections (ICs), from a guidance-related ICR to an existing approved ICR. This change request
also effectuates the burden changes described in the guidance-related ICR and summarized
herein. The changes described in this request are non-substantive because OMB has already
approved them in the guidance-related ICR package under OMB Control No. 2070-0211. As
explained in guidance-related ICR, the incremental changes to the baseline paperwork activities
and their related burden, as well as the analysis of the program change burden, are related to
EPA’s regulations pertaining to the disposal of polychlorinated biphenyls (PCBs). The guidancerelated ICR also points out the burden associated with EPA’s PCB regulations are primarily
presented in a separate ICR package approved under OMB Control No. 2070-0112. Additionally,
the guidance-related ICR qualitatively discussed changes that would decrease the burden
associated with ICR package approved under OMB Control No. 2070-0112. Given the closely
related nature of the guidance-related ICR and the overall PCB ICR, EPA is seeking to
consolidate the burden from the guidance-related ICR into the ICR package approved under
OMB Control No. 2070-0112.

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II. Background
Overview of the Guidance and the Guidance-Related ICR
On October 4, 2019, EPA published a guidance entitled, “Guidance for Applicants Requesting to
Treat/Dispose of PCBs Using Incineration or an Alternative Method (New)” . The guidance
consolidated and updated two previously existing guidance documents pertaining to the approval
process for methods of disposing of PCBs. Under the Toxic Substances Control Act (TSCA),
persons disposing of regulated PCBs are required to use approved methods and, in some cases,
obtain an approval. Two of the approved methods to dispose of PCB wastes are incinerators and
high efficiency boilers that comply with requirements in §§761.70 or 761.71, respectively.
§761.70(d) discusses the approval process where an application and a demonstration test are
required prior to destroying PCBs in an incinerator. Under §761.60(e), facilities may request
approval of a method alternative to incinerators or high efficiency boilers if the method can
achieve a level of performance equivalent to an incinerator approved under §761.70. As such, the
approval process for §761.60(e) is generally similar to the discussion presented in §761.70(d).
Guidance documents were developed in 1986 for persons applying to EPA for approval to
dispose of PCBs using incineration (§761.70) or a method alternative to incineration
(§761.60(e)). The guidances were split into two documents (thermal and non-thermal) and they
present and discuss the format, content, and suggested level of detail for approval applications,
test plans, and test reports. These guidance documents have been updated and combined into a
single document under the most recent guidance.
OMB approved the guidance-related ICR on October 1, 2019 under OMB Control No. 20700211. The guidance-related ICR addresses the paperwork activities associated with the amended
reporting and recordkeeping requirements and the incremental program change burdens,
specifically:



Reading the guidance,
Utilizing tables from the guidance when submitting an application.

The guidance-related ICR also qualitatively discusses that the simplified and improved guidance
and tables will ultimately reduce burden for parties submitting PCB-disposal applications by
streamlining the application and approval process. However, the guidance-related ICR did not
quantify those changes, because they would have created a net negative burden, which could not
have existed in a stand-alone ICR.
Did OMB Review the Guidance Under Executive Order (EO) 12866?
No. The guidance was not a significant regulatory action under the EO. However, EPA did
submit the guidance-related ICR to OMB for review as required under the Paperwork Reduction
Act and OMB’s implementing regulations at 5 CFR 1320.11. OMB approved the guidancerelated ICR package on October 1, 2019.

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III. Description of Non-Substantive Changes
What Information Collection Request (ICR) is EPA changing?
ICR Title:

PCBs, Consolidated Reporting and Recordkeeping Requirements

ICR Numbers:

EPA ICR No. 1446.12; OMB Control No. 2070-0112

What is the current status of this ICR?
This ICR is currently approved through November 30, 2022. The ICR currently identifies the
information collections (ICs), responses per IC, and burden subtotal per IC shown in Table 1.
The total annual burden approved for this ICR is 681,373 hours, with an estimated 87,190
respondents per year.
What are the changes that EPA is making to this ICR?
EPA is making two distinct changes to the ICR. First, EPA is adjusting the baseline unit burden
for submitting PCB disposal applications. EPA is updating and clarifying the number of parties
that will apply for a disposal permit and also correcting a transcription error. Second, EPA is
transferring certain information collection activities and related burden recently approved under
OMB Control No. 2070-0211 (identified in Table 2 of this request) to this ICR (i.e., OMB
Control No. 2070-0112). Additionally, due to the simplifying nature of the guidance document,
EPA expects that the amount of time required for a party to complete an application will
decrease. Therefore, EPA is decreasing the burden alloted to creating and submitting a PCB
disposal application

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Table 1. Currently Approved ICs under EPA ICR No. 1446.12
Subparts

Total # of
Respondents

Total Hours
Per Year

Total Hours Per
Respondent[a]

Total Cost Per
Year

Total Cost Per
Hour[b]

Reporting
Subpart B

30

30

1

$913

$30

Subpart D

312

141,591

353

$3,624,106

$3

Subpart E

3

61

20

$4,357

$71

Subpart G

100

17

0.167

$1,299

$78

Subpart J

124

7,316

59

$554,652

$76

Subpart K

300

450

1.5

$29,100

$65

Subpart T

5

80

16

$5,059

$63

Subtotal
Reporting

874

122,545

$4,219,486

$34

Third-Party Reporting
Subpart B

20

3

0.17

$262

$87

Subpart D

23,147

2,663

0.12

$204,275

$77

Subpart G

402

232

0.58

$12,536

$54

Subpart J

72

36

0.50

$1,598

$44

3,695

924

0.25

$70,205

$75

27,336

3,858

$288,876

$75

Subpart K
Subtotal ThirdParty Reporting

Recordkeeping
Subpart B

16,200

2,125

0.13

$157,469

$74

Subpart D

30,633

74,327

2.43

$3,146,541

$42

Subpart E

81

972

12

$76,140

$78

Subpart G

215

1,638

7.62

$111,388

$68

Subpart J

11,846

475,862

40

$22,371,774

$47

Subpart T

5

80

16

$2,444

$30

Subtotal
Recordkeeping

58,980

555,004

$25,865,756

$48

Totals

87,190

681,407

$30,374,118

Adjustments – Burden Increases
Baseline Correction
EPA is correcting an apparent transcription error related to ICR No. 1446.12. Although the
supporting statement for that ICR outlines various burden activities that total to 681,407 hours of
burden per year, the approved burden on the November 20, 2019 Notice of Office of

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Management and Budget Action is 681,373 hours. 1 The represents a difference of 34 hours. The
supporting statement’s estimate of 681,407 hours was correct and the approved estimated of
681,373 hours as presented on the action notice appears to be a simple typographical error as no
changes to the supporting statement were made during OMB’s review. EPA seeks to add the 34
hours to the total approved burden.
Changes to the Baseline Unit Burden
EPA is updating the burden associated with applying for approval to operate a PCB disposal
facility and updating and clarifying the number of facilities it expects to submit such applications
each year.
Currently, the ICR approved under OMB Control No. 2070-0112 estimates that there are 15
relevant applications per year. This is broken down into 5 new applications for incinerator and
non-thermal facilities (2,000 hrs to prepare), 3 applications for incinerator modifications and 2
modification applications for non-thermal facilities (700 hrs to prepare), and 5 renewal requests
for all technologies, without modifications (8 hours to prepare). This results in a weighted
average of approximately 900 hours per application. The breakdown of respondents in the
existing ICR is presented in Table 2.
Table 2. Existing Burden for PCB Disposal Permit Applications under the ICR with OMB
Control No. 2070-0112
Type of
Application
New
Modifications

Renewals

Types of
Respondents
Incinerators,
Non-Thermal
Facilities
Incinerators,
Non-Thermal
Facilities
Incinerators,
Non-Thermal
Facilities,
Landfills

Total
*Weighted average

Respondents

Responses
per
respondent

Annual No.
of
Responses

Hours per
Response

Total
Hours

5

1

5

2,000

10,000

5

1

5

700

3,500

5

1

5

8

40

15

N/A

15

903*

13,540

In issuing this update, EPA seeks to recalibrate the way the applications are grouped and the
amount of burden associated with these activities. There will still be 5 new applications, none of
which are assumed to be for landfills, which agrees with the currently approved PCB Mega ICR.
The updated ICR will group renewal and modification applications together. EPA expects 3
renewal or modification applications for landfills. EPA expects that there will be 7 non-landfill
renewal or modification applications. This results in an adjusted baseline application burden of
approximately 995 hours per application (weighted average), or 14,924 hours per year. EPA’s

1

https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=201811-2070-002

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updated estimate reflects an annual burden increase of 1,384 hours. This adjustment is outlined
in Table 3.
Table 3. Updated Burden for PCB Disposal Permit Applications under the ICR with OMB
Control No. 2070-0112 After Baseline Adjustments

Type of
Application

Types of
Respondents

Respondents

Responses per
respondent

Annual No.
of Responses

Hours per
Response

Total
Hours

5

1

5

2,000

10,000

New

Incinerators,
Non-Thermal
Facilities

Modification
& Renewals

Incinerators,
Non-Thermal
Facilities

7

1

7

700

4,900

3

1

3

8

24

15

N/A

15

995*

14,924

Modification
& Renewals
Landfills
Total
*Weighted average

Program Changes – Burden Increases
Amended Policy on Renewal Applications Inadvertently Omitted from Guidance-Related ICR
Recent EPA policy, presented in the 2019 Guidance for Applicants Requesting To Treat/Dispose
of PCBs Using Incineration or an Alternative Method, recommends that EPA Regions uniformly
require a full, updated application and re-demonstration of the technology from facilities looking
to renew their permits. While the previous estimate of 8 hours to complete a renewal application
reflected a more perfunctory renewal process that was previously used in some Regions, EPA
formalized the best practice of requiring a full, updated renewal application in the 2019
Guidance to improve Regional consistency. EPA estimates the completion of a full, updated
renewal application under the 2019 policy guidance would be 700 hours per response. EPA
inadvertently omitted this burden analysis from the ICR recently approved under OMB Control
No. 2070-0211. This program change increase results in an application burden of approximately
1,133 hours per application (weighted average), or 17,000 hours per year, as shown in Table 4.
EPA’s updated estimate reflects an annual program change burden increase of 2,076 hours. As
explained elsewhere in this request, other aspects of the 2019 policy guidance offset the burden
increase associated with requiring full, updated applications from facilities looking to renew their
permits.

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Table 4. Updated Burden for PCB Disposal Permit Applications under the ICR with OMB
Control No. 2070-0112 After Applying Program Change Increase for Amended Policy on
Renewal Applications Inadvertently Omitted from Guidance-Related ICR

Type of
Application

Types of
Respondents

Respondents

Responses per
respondent

Annual No.
of Responses

Hours per
Response

Total
Hours

5

1

5

2,000

10,000

New

Incinerators,
Non-Thermal
Facilities

Modification
& Renewals

Incinerators,
Non-Thermal
Facilities

7

1

7

700

4,900

3

1

3

700

2,100

15

N/A

15

1,133*

17,000

Modification
& Renewals
Landfills
Total
*Weighted average

Transfer of Application Guidance Activities and Burden from Guidance-Related ICR
The guidance-related ICR estimates that it will take 27.5 hours of a technician’s time to read the
guidance and become familiarized with the application process for the disposal of PCBs. The
guidance also provides a number of helpful tables that can be utilized by parties submitting an
application. The ICR estimates that filling out the tables in the guidance will take an additional
12.5 hours of a technician’s time. Finally, the guidance-related ICR estimated that 8 parties
would be impacted by the burden. However, EPA has adjusted its estimate of the number of
responses up from 8 in the guidance-related ICR to 12 to conform with the baseline adjustments
identified in this request for no material/non-substantive change (i.e., 5 respondents/responses for
new incinerator, non-thermal facility applications and 7 respondents/responses for modification
& renewal applications). The cumulative 40 hours of burden per respondent is to be added to the
existing burden associated with submitting a disposal permit application for incinerators or nonthermal facilities, which exists in the ICR approved under OMB Control No. 2070-0112. The
additional guidance-related burden is presented in Table 5.

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Table 5. New, Guidance-Related IC and Burden Approved under OMB Control No. 20700211
New IC from GuidanceRelated ICR
Reading Guidance
Filling out Tables in
Guidance
Total

No. of
Respondents

Annual
Responses Per
Respondent

Annual
No. of
Responses

Burden
Per
Response

Annual
Burden

12

1

12

27.5

330

12

1

12

12.5

150

12

1

12

40

480

Program Changes – Burden Decreases
Burden Reduction Resulting from Use of New Application Guidance
Due to the simplifying nature of the application guidance document and the tables it provides,
EPA estimates that the required time to complete and submit an application will be reduced by
40 percent. For example, the currently approved ICR (2070-0112) estimates that it takes 2,000
hours to submit a new application. EPA is updating the burden estimate to show that it will only
take 1,240 hours (60% of 2,000 hours (1,200) plus the 40 additional hours to read the guidance
and fill out the tables using the guidance. The additional 40 hours per respondent is applied to all
non-landfill applications. Although The final burden after all baseline and adjustments and
program changes is presented in Table 6.
Table 6. Final Burden for PCB Disposal Permit Applications under the ICR with OMB
Control No. 2070-0112

Type of
Application

Types of
Respondents Respondents
Incinerators,
NonThermal
New
Facilities
5
Incinerators,
NonModification Thermal
& Renewals Facilities
7
Modification
& Renewals Landfills
Total

3
15

Responses
per
respondent

Annual
Hours
No. of
per
Responses Response

Total
Hours

1

5

1,240

6,200

1

7

460

3,220

1
N/A

3
15

700
768

2,100
11,520

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Bottom Line Changes in Burden
As a result of refined baseline estimates (adjustments), including addressing the existing
transcription error, and burden reductions associated with the use of the new guidance addressing
requesting to treat/dispose of PCBs using incineration or an alternative method, there is an
annual net burden reduction of 1,986 hours.
Table 7. Activity Burden Changes for PCB Disposal Permit Applications under the ICR
with OMB Control No. 2070-0112
Description of Changes
Hours
Reference
Activity Baseline:
13,540
Table 2
Baseline Adjustment (revised application type groupings and
+1,384
Table 3
estimated responses)
Baseline Adjustment (correction of typographical error)
+34
N/A
Program Change Increase (uniform requirement for full, updated
+2,076
Table 4
renewal applications for landfills)
Program Change Increase (read new guidance and fill out tables
+480
Table 5
presented in new guidance)
- 5 new applications from Incinerators, Non-Thermal Facilities
- 7 renewal/modification applications from Incinerators, Non-Thermal Facilities

+330
+150

Program Change Decrease (adoption of new Applicants Guide)

-5,960

Net Burden Change:
Revised Activity Estimate

-1,986
11,554

- 5 new applications from Incinerators, Non-Thermal Facilities
- 7 renewal/modification applications from Incinerators, Non-Thermal Facilities

-4,000
-1,960

Table 6

The adjustments to Agency estimates as well as program changes resulting from the guidance
combine for a net burden reduction of 1,986 hours under OMB Control No. 2070-0112. This
represents a total burden reduction of approximately .3 percent over the currently approved ICR.
Tables 7 and 8 present the currently approved and updated sections of the relevant tables from
the ICR with OMB Control No. 2070-0112.

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Table 8. Annual Respondent Hourly Burden and Cost Estimate – Reporting (Table 6-5 in ICR with OMB Control No. 2070-0112)
Ref #

Regulatory Citation

Information
Collection
Activity

Mgr.
@
$77.86
/Hour

Hours and Costs Per Respondent
Cler.
Tech. @
Hours/
Labor
@
$78.33
$37.76
Resp./
Cost/Resp.
/Hour

/Hour

Year (a)

Year (b)

Total Hours and Costs

Total

Total

Total

# of

Hours/

Cost/

Resp.

Year (c)

Year (d, e)

8

761.60(e), (i)(2);
.70(a),(b),(d)(2);
.75(b)(7),(b)(8)(ii),(c)

Submit
disposal
permit
applications

-

825

75

900

$67,454

15

13,500

$394,606

Updated 8

761.60(e), (i)(2);
.70(a),(b),(d)(2);
.75(b)(7),(b)(8)(ii),(c)

Submit
disposal
permit
applications

-

707

61

768

$57,683

15

11,520

$337,444

Original

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Table 9. Reporting Burden Under TSCA 6(e) (Table 6-2 in ICR with OMB Control No. 2070-0112)
Ref. #

Original

Regulatory
Section(s)

8 §§761.60(e)
and (i)(2);
.70(a), (b), and
(d); .75(b) (7),
(b)(8)(ii), and
(c)

Collection Requirement

Submit permit application and, when
applicable, a demo plan for obtaining
approval to operate a PCB disposal
facility (i.e., alternative method of
disposal, incinerator, chemical waste
landfill). Submit requests for approval
of R&D for PCB disposal for persons
not following self-implementing
requirements.

Time Estimate

Total #
Respondents
per Year

Comments

15 applications per year, as follows: 5 new applications for
incinerator and non-thermal (alternate and landfill)
facilities (2,000 hrs to prepare); 3 applications for
incinerator modifications and 2 modification applications
for non-thermal (alternate and landfill) facilities (700 hrs to
prepare); 5 renewal requests for all technologies, without
modifications (8 hours to prepare).Number of applicants is
based on the number of applications submitted to the
Regions and EPA Headquarters during FY2017, the most
recent year of full disposal statistics available).
Revised weighted average burden remains the same, about
900 hours per submission, , based on a slightly higher
numbers for new applications, but a reduced effort due to a
new guidance for permit applicants which clarifies and
streamlines the application process. [(2,000 x 5) + (700 x
5) + (8 x 5)]/15.

Updated

8 §§761.60(e)
and (i)(2);
.70(a), (b), and
(d); .75(b) (7),
(b)(8)(ii), and
(c)

Submit permit application and, when
applicable, a demo plan for obtaining
approval to operate a PCB disposal
facility (i.e., alternative method of
disposal, incinerator, chemical waste
landfill). Submit requests for approval
of R&D for PCB disposal for persons
not following self-implementing
requirements.

15 applications per year, as follows: 5 new applications for
incinerator and non-thermal facilities (1,240 hrs to
prepare); 3 landfill renewal/modification applications (700
hrs to prepare); 7 non-landfill renewal/modification
applications (460 hrs to prepare). Number of applicants is
based on the number of applications submitted to the
Regions and EPA Headquarters during FY2017, the most
recent year of full disposal statistics available).
Revised weighted average burden is 768 hrs. [(1,240 x 5) +
(700 x 3) + (460 x 7)]/15.

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Ref. #

Original

Page 12 of 12

Regulatory
Section(s)

Collection Requirement

Total #
Respondents
per Year

Time Estimate

Comments

26

§§761.70(a)(8), Obtain approval of alternate measures
(9); and (d)(5)
when regulatory requirements cannot
be met for operating a PCB
incinerator.*

1,910 hours

0

No respondents
anticipated. It was
assumed that if a
facility does not meet
the performance
criteria, it will not
accept PCB waste.

Updated 26

§§761.70(a)(8), Obtain approval of alternate measures
(9); and (d)(5)
when regulatory requirements cannot
be met for operating a PCB
incinerator.*

1,146 hours

0

No respondents
anticipated. It was
assumed that if a
facility does not meet
the performance
criteria, it will not
accept PCB waste.

*EPA does not anticipate that any parties will seek to obtain approval of alternate measures when regulatory requirements cannot be met for
operating a PCB incinerator. However, the burden estimate is being updated from 1,910 to 1,146 to account for the efficiencies provided by the
guidance. In the event that such approvals wind up being sought in the future, this burden estimate can be used.