2605ss01

THE INFORMATION COLLECTION REQUEST (ICR)
SUPPORTING STATEMENT
State Petitions for No-Discharge Zones (NDZs), Emergency Orders, Review of National
Standards of Performance, and Enhanced Great Lakes System Requirements
under Clean Water Act Section 312(p)
EPA ICR Number 2605.01, OMB Control Number 2040-NEW

Prepared by
Environmental Protection Agency
Oceans, Wetlands and Communities Division
of the Office of Wetlands, Oceans, and Watersheds
Washington, D.C.

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TABLE OF CONTENTS
Part A Introduction .................................................................................................................1
Organization of Information Collection Request Supporting Statement ..................................1
Approach Taken in this Information Collection Request Supporting Statement..................... 2
SECTION 1: Identification of the Information Collection ...................................................... 3
1(a): Title of the Information Collection ............................................................................... 3
1(b): Short Characterization/Abstract ................................................................................. 3
SECTION 2: Need for and Use of the Collection ............................................................... 3
2(a): Need/Authority for the Collection .............................................................................. 3
2(b): Practical Utility/Users of the Data ............................................................................. 5
SECTION 3: Non-duplication, Public Notice, Consultations, and Other Collection Criteria . 5
3(a): Non-duplication .......................................................................................................... 5
3(b): Public Notice Required Prior to ICR Submission to OMB ......................................... 5
3(c): Consultations ............................................................................................................ 6
3(d): Effects of Less Frequent Collection ........................................................................... 6
3(e): General Guidelines .................................................................................................... 6
3(f):

Confidentiality ............................................................................................................ 6

3(g): Sensitive Questions.................................................................................................... 6
SECTION 4: The Respondents and the Information Requested ......................................... 6
4(a): Respondents/SIC Codes ........................................................................................... 6
4(b): Information Requested ............................................................................................... 7
SECTION 5: The Information Collected–Agency Activities, Collection Methodology, and
Information Management ....................................................................................................... 8
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5(a): Agency Activities ........................................................................................................ 8
5(b): Collection Methodology and Management................................................................ 10
5(c): Small Entity Flexibility .............................................................................................. 10
5(d): Collection Schedule ................................................................................................. 10
SECTION 6: Estimating the Burden and Costs of the Collection ....................................... 11
6(a): Estimating Respondent Burden ................................................................................. 11
6(b): Estimating Respondent Costs ...................................................................................12
6(c): Estimating Agency (EPA) Burden and Cost .............................................................13
6(d): Bottom Line Burden Hours and Cost Tables ............................................................14
6(e): Burden Statement .....................................................................................................14
APPENDIX
TABLES— Document
Table 7: Total Estimated Respondent (State Agency) Burden and Cost Summary
Table 8: Total Estimated Agency (EPA) Burden and Cost Summary
TABLES— Supplementary Excel file
Table 1: Petition to Establish NDZ, Respondent (State Agency) Burden Hours and Costs
Table 2: Petition for Review, Respondent (State Agency) Burden Hours and Costs
Table 3: Petition for Emergency Order, Respondent (State Agency) Burden Hours and
Costs
Table 4: Petition to Establish Enhanced Great Lakes System Requirements, Respondent
(State Agency) Burden Hours and Costs
Table 5: Petition to Establish NDZ, Agency (EPA) Burden Hours and Costs
Table 6: Petition for Review, Agency (EPA) Burden Hours and Costs
Table 7: Petition for Emergency Order, Agency (EPA) Burden Hours and Costs
Table 8: Petition to Establish Enhanced Great Lakes System Requirements, Agency
(EPA) Burden Hour and Costs
Table 9: Total Estimated Respondent (State Agency) Burden and Cost Summary
Table 10: Total Estimated Agency (EPA) Burden and Cost Summary
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State Petitions for No-Discharge Zones (NDZs), Emergency Orders, Review of National
Standards of Performance, and Enhanced Great Lakes System Requirements under
Clean Water Act Section 312(p)
EPA ICR # 2605.01 / OMB Control # 2040-NEW
Introduction
This application is made by the Oceans, Wetlands, and Communities Division in the Office
of Water, U.S. Environmental Protection Agency (EPA). As will be demonstrated in this
application, the proposed information collection activities are accomplished by the least
burdensome and costly means; are not duplicated by other sources; and are pivotal to the
EPA's responsibilities under Clean Water Act (CWA) section 312(p). The Vessel Incidental
Discharge Act (VIDA) amended Section 312 of the CWA to add a new section, section
312(p), titled “Uniform National Standards for Discharges Incidental to Normal Operation of
Vessels.” Under CWA section 312(p)(4), EPA is directed to establish national standards of
performance for discharges incidental to the normal operation of certain commercial
vessels -- commercial vessels greater than 79 feet in length; other non-recreational, nonArmed Forces vessels, such as research and emergency rescue vessels; and ballast water
only from small vessels (vessels less than 79 feet in length) and fishing vessels of all
sizes -- hereafter collectively referred to as “commercial vessels.” The activities covered by
this ICR include petitions from states, as provided for in 312(p), for the establishment of
no-discharge zones (NDZs), issuance of emergency orders, review of standards of
performance, and establishment of enhanced Great Lakes system requirements.
Approach Taken in this Information Collection Request Supporting Statement
This ICR analysis addresses actions associated with four activities – 1) state petitions to
establish NDZs (CWA section 312(p)(10)(D)), 2) state petitions to review national
standards of performance (CWA section 312(p)(7)(A)(ii)), 3) state petitions for
emergency orders (CWA section 312(p)(7)(A)(i)), and 4) state petitions to establish
enhanced Great Lakes system requirements (CWA section 312(p)(10)(B)), each of which
is described in forthcoming sections. This ICR discusses information collection needs that
4

result from each of these four state activities and was developed based on program office
knowledge of similar state petitions under other subsections of CWA section 312 for
sewage discharges and incidental discharges from vessels of the Armed Forces as
represented in EPA ICR Number 1791.08, OMB Control Number 2040-0187.

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SECTION 1: Identification of the Information Collection
1(a): Title of the Information Collection
State Petitions for No-Discharge Zones (NDZs), Emergency Orders, Review of National
Standards of Performance, and Enhanced Great Lakes System Requirements under Clean
Water Act Section 312(p)
1(b): Short Characterization/Abstract
Section 312(p) of the Clean Water Act calls for EPA to promulgate national standards of
performance for the control of discharges incidental to the normal operation of certain
commercial vessels. This ICR is associated with the proposed issuance of such standards
but focuses on the information collection activities of that rule, those being procedures for
states to petition EPA for more stringent standards. Once EPA regulations have been
promulgated, CWA section 312(p)(5) specifies that the U.S. Coast Guard (USCG) is to
develop implementing regulations to ensure, monitor, and enforce compliance with the EPA
standards. The USCG regulations are to be completed within two years of EPA
promulgation of the national standards of performance. Information collection activities
associated with those USCG regulations will be included as part of the USCG regulatory
process. At such time, states and their political subdivisions will be pre-empted from
adopting or enforcing any of their own statutes or regulations regarding these discharges.
Under CWA sections 312(p)(7) and 312(p)(10), however, there are four mechanisms by
which states may petition EPA for more stringent discharge standards. For one, states
may petition EPA to establish NDZs for one or more discharges. NDZs are areas in which
the specified discharge(s), whether treated or not, may not be discharged. Second, states
may petition EPA and the USCG to review any standard of performance, regulation, or
policy promulgated under CWA section 312(p) if there is new information that could
reasonably result in a change to the standard, regulation, or policy. This information
collection is limited to those petitions submitted to EPA for the review of any EPA
standards of performance, regulation, or policy; petitions submitted to the USCG for a
review of any USCG standards of performance, regulation, or policy will be considered as
part of the USCG information collection activities described above. Third, states may
petition EPA or the USCG for EPA to issue an order for the use of an emergency best
management practice (“emergency order”) in instances where there is a risk related to
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either aquatic nuisance species or water quality violations. Lastly, Great Lakes states may
jointly submit a petition to EPA endorsing a proposed standard of performance or other
requirement with respect to any incidental discharge to apply within the Great Lakes
System.
For EPA to effectively evaluate and respond to these petitions, the proposed rule would
require states to provide information relevant to this decision-making process thus
triggering the requirement for EPA to have an ICR in compliance with the Paperwork
Reduction Act. However, the regulatory petition procedures described herein do not apply
until after the USCG regulations are effective. As such, EPA does not anticipate an
information collection burden on states until such time as those USCG regulations are
finalized and effective, which are specified to be completed within two years of EPA’s
promulgation of national standards of performance. After that two-year timeframe, EPA is
estimating one application for each of the first three different state petition activities –
NDZs, review of standards, and emergency orders -- in the third year of this three-year
ICR cycle. The EPA is estimating zero applications for enhanced Great Lakes system
requirements during this ICR cycle.
SECTION 2: Need for and Use of the Collection
2(a): Need/Authority for the Collection

1) Petition to establish an NDZ: In order for EPA to prohibit any discharge incidental to
the normal operation of a vessel covered under the Vessel Incidental Discharge National
Standards of Performance regulations (upon application by a state), EPA must make the
following determinations: I) prohibition of the discharge would protect and enhance the
quality of the specified waters within the State; 2) adequate facilities for the safe and

sanitary removal and treatment of the discharge are reasonably available for the water and
all vessels to which the prohibition would apply; and 3) the discharge can be safely
collected and stored until a vessel reaches a discharge facility or other location. For
applications related to ballast water in a port (or in any other location where cargo,
passengers, or fuel are loaded and unloaded), in determining whether adequate facilities
are available, EPA must consider water depth, dock size, pumpout facility capacity and
flow rate, availability of year-round operations, proximity to navigation routes, and the ratio
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of pumpout facilities to the population and discharge capacity of commercial vessels
operating in those waters. The EPA must also ensure that the prohibition of discharges of
ballast water will not unreasonably interfere with the safe loading and unloading of cargo,
passengers, or fuel. (see CWA section 312(p)(10)(D)). The state must provide EPA
relevant information, described in Section 4, to be able to make those determinations.

2) Petition for review of any standard, regulation, or policy: A state may request that
EPA and the USCG review any national standard of performance, regulation, or policy by
submitting a petition which discusses significant new scientific and technical information
that could reasonably result in a change to the standard, regulation, or policy, or any
determination on which the standard of performance, regulation, or policy was based (see
CWA section 312(p)(7)(A)(ii)). This information collection focuses just on those petitions
requesting review of EPA standards of performance, regulation, or policy. Petitions
submitted for a review of USCG standards of performance, regulation, or policy will be
included as part of the USCG rulemaking described in 1(b). The information provided by
the state, described in Section 4, will assist EPA in the Agency’s review process.

3) Petition for emergency order: States may petition EPA and the USCG for EPA to issue
an emergency order for any region or category of vessels in cases for which EPA
determines that such a best management practice is 1) necessary to reduce reasonably
foreseeable risk of introduction or establishment of an aquatic nuisance species; or 2) will
mitigate adverse effects of a discharge that contributes to a violation of a water quality
requirement under Clean Water Act section 303. (see CWA section 312(p)(7)(A)(i)). The
information requirements for EPA to make a determination on the state’s petition are
described in Section 4.

4) Petition to establish an enhanced Great Lakes system requirement: Great Lakes states
may jointly submit to EPA and the USCG a petition endorsing a proposed standard of
performance or other requirement with respect to any discharge that is subject to
regulation under CWA section 312(p) to apply within the Great Lakes system. The
standard of performance or other requirement endorsed in the petition must be at least as
stringent as a comparable standard of performance or other requirement in the Vessel
8

Incidental Discharge National Standards of Performance final rule; in accordance with
maritime safety; and in accordance with applicable maritime and navigation laws and
regulations. (see CWA section 312(p)(10)(B)). The requirements for such a petition are
described in Section 4 of this ICR.
2(b): Practical Utility/Users of the Data
The information requested from the state will be used by EPA to make the determinations
necessary to establish an NDZ, review standards, issue an emergency order, or establish
enhanced Great Lakes system requirements.
SECTION 3: Non-duplication, Public Notice, Consultations, and Other Collection Criteria
This section describes the EPA’s efforts to ensure that the information collected for state
petitions is not duplicative and that appropriate outreach has occurred.
3(a): Non-duplication

1) Petition to establish an NDZ: EPA, in concurrence with the USCG, is responsible for
the approval of an NDZ. There is no duplication of effort in the petition for establishment of
an NDZ process.

2) Petition for review: A state may submit a petition for review to either EPA or the
USCG. The EPA is responsible for issuing a determination on any petition submitted
requesting review of any EPA standard of performance, regulation, or policy. The USCG
is responsible for issuing a determination on any petition submitted requesting review of
any USCG standard of performance, regulation, or policy. There is no duplication of effort
in the petition for review process.
3) Petition for emergency order: EPA, in concurrence with the USCG, is responsible for
issuing emergency orders when either EPA or the USCG is petitioned by a state. There is
no duplication of effort in the petition for emergency order process.

4) Petition to establish enhanced Great Lakes system requirements: EPA, in concurrence
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with USCG, is responsible for approving or disapproving the petition. There is no
duplication of effort in the petition to establish enhanced Great Lakes system requirements
process.
3(b): Public Notice Required Prior to ICR Submission to OMB
EPA has published the Notice of Proposed Rulemaking (NPRM), titled “Vessel Incidental
Discharge National Standards of Performance,” in the Federal Register. EPA encourages
all interested parties to review and provide feedback on all elements of the NPRM,
including the information collection items discussed in this ICR. Supporting materials
related to this ICR have been placed in the public docket, EPA-HQ-OW-2020-0440, for
the rulemaking.
3(c): Consultations
The estimates used in this ICR were derived from the existing Clean Water Act section
312 ICR (EPA ICR Number 1791.08, OMB Control Number 2040-0187), since the
information collection activities are similar to those already undertaken related to CWA
section 312 authorities for vessel sewage discharges and discharges incidental to the
normal operation of vessels of the Armed Forces. During the development of that ICR,
three representatives of state environmental offices were contacted by EPA in December of
2018 and asked to provide comments on EPA’s burden estimate: Todd Callaghan
(Massachusetts Office of Coastal Zone Management, 617-626-1233); Renan Jauregui
(California State Water Resources Control Board - Division of Water Quality, 916-3415505); and Jason Fagel (Research Scientist, Division of Water, NY State Department of
Environmental Conservation 518- 402-8156). The three respondents indicated that EPA’s
burden estimates in that ICR were reasonable.
During development of the Vessel Incidental Discharge National Standards of Performance
proposed rule, EPA and the USCG engaged in a number of public outreach activities,
including hosting several webinars and a two-day in-person listening session where the
Agencies accepted public comment. The Agencies also conducted both state and tribal
consultations.
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3(d): Effects of Less Frequent Collection
The information collection requirements related to the four state petition activities described
in this ICR are submitted on a one-time basis. Reductions below this level are not
feasible.
3(e): General Guidelines
The information collection activities discussed in this ICR are fully consistent with all
guidelines in 5 CFR 1320.5(d)(2).
3(f): Confidentiality
The information collection activities discussed in this ICR do not require the submission of
any confidential information.
3(g): Sensitive Questions
The information collection activities discussed in this ICR do not require the submission of
any sensitive information.
SECTION 4: The Respondents and the Information Requested
4(a): Respondents/SIC Codes
State governments (SIC code 9511, NAICS code 924110) are the only respondents to the
data collection activities described in this ICR.
4(b): Information Requested

Petition to establish an NDZ (CWA section 31 2(p)(1 0)(D))
(I) Data Items

In the Vessel Incidental Discharge National Standards of Performance proposed rule, EPA
proposes that a state petition for such a prohibition must include:
•

A signature by the Governor;

•

A certification that the protection and enhancement of the waters for which the state
is seeking a prohibition require greater environmental protection than the applicable
national standard of performance provides;
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•

A detailed analysis of how the requested prohibition for each individual discharge
requested will protect the waters for which the state is seeking a prohibition;

•

A table identifying types and number of vessels operating in the waterbody and a
table identifying the types and number of vessels that will be the subject of the
prohibition;

•

A map detailing the location, operating hours, draught requirements, and service
capabilities of commercial and recreational pump-out facilities (both mobile and
stationary) available to receive each individual discharge in the waters for which the
state is seeking a prohibition;

•

A table identifying the location and geographic area of each proposed NDZ; and

•

A detailed analysis of how the vessels subject to the prohibition may be impacted
with regards to collection capability, storage capability, need for retrofitting, travel
time to facility, and safety concerns.

(ii) Respondent Activities
An application is prepared by the state then submitted to EPA by the Governor. EPA then
will review the state application, make a determination with concurrence from the USCG,
submit a Notice of Proposed Rulemaking to the Federal Register for public comment, and
promulgate a final regulation, as appropriate.

Petition for review or emergency order (CWA section 31 2(p)(7)(A)(i))
(I) Data Items

In the Vessel Incidental Discharge National Standards of Performance proposed rule, EPA
proposes to require that a petition by a Governor for EPA to review a standard, regulation,
or policy or issue an emergency order include:
• A signature by the Governor (or a designee);
• Identification of the purpose of the petition (request for emergency order or to
review of any standard of performance, regulation, or policy);
• A description of applicable scientific or technical information that forms the basis
of the petition; and
• The direct and indirect benefits if the requested petition were to be granted by
EPA.
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(ii) Respondent Activities
The state will submit the petition to EPA who shall grant or deny the petition and shall
issue the relevant emergency order or submit a Notice of Proposed Rulemaking to the
Federal Register for comment for a change in any standard of performance, regulation, or
policy.

Petition to establish an enhanced Great Lakes system requirement (CWA section
31 2(p)(1 0)(B))

(I) Data Items
The petition must provide an explanation regarding why the applicable standard of
performance or other requirement is at least as stringent as a comparable standard of
performance or other requirement in the Vessel Incidental Discharge National Standards of
Performance final rule; in accordance with maritime safety; and in accordance with
applicable maritime and navigation laws and regulations.
.

(ii) Respondent Activities
To initiate the process to petition EPA to establish an enhanced Great Lakes system
requirement, the Governor of any Great Lakes state may submit a petition to the other
Great Lakes states, as well as the Executive Director of the Great Lakes Commission and
the Director of EPA’s Great Lakes National Program Office, seeking endorsement for the
enhanced standard. After involving the Great Lakes Commission, the requisite number of
Governors may jointly submit an endorsement of the proposal to EPA and the USCG. For
proposals imposing any additional equipment requirements on a vessel, all eight Great
Lakes Governors, for the States of Illinois, Indiana, Michigan, Minnesota, New York, Ohio,
Pennsylvania, and Wisconsin, must endorse the proposal. No fewer than five Governors
must endorse proposals without additional equipment requirements. EPA shall then
approve or disapprove of the proposal.
SECTION 5: The Information Collected – Agency Activities, Collection Methodology and
Information Management
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5(a): Agency Activities

Petition to establish an NDZ (CWA section 31 2(p)(1 0)(D))
Agency activities associated with a request by a state to establish an NDZ consist of the
following:
• Clarify any questions from state applicants;
• Review the information in the request and determine whether:
(1) Prohibition of the discharge would protect and enhance the quality of the
specified waters within the State;
2) Adequate facilities for the safe and sanitary removal and treatment of the
discharge are reasonably available for the water and all vessels to which the
prohibition would apply, including special considerations for applications
related to ballast water in a port (or in any other location where cargo,
passengers, or fuel are loaded and unloaded);
3) The discharge can be safely collected and stored until a vessel reaches a
discharge facility or other location;
• Make a determination with concurrence from the USCG;
• Submit a Notice of Proposed Rulemaking to the Federal Register;
• Receive and review public comments;
• Submit a Notice of Final Rulemaking to the Federal Register with the final
determination, taking into account any comments submitted; and
• Copy, store, file, and maintain the state’s request and records related to EPA’s
regulation.

Petition for review (CWA section 31 2(p)(7)(A)(ii))
Agency activities associated with an application from a state to review a standard,
regulation, or policy consist of the following:
• Clarify any questions from state applicant;
• Review petition and decide whether to grant or deny not later than one year after
the petition was submitted;
• If the petition is granted, submit a Notice of Proposed Rulemaking to the Federal
Register to make the necessary revisions, receive and review public comments,
then submit a Notice of Final Rulemaking to the Federal Register with the final
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determination, taking into account any comments submitted;
• If the petition is denied, submit a Notice to the Federal Register with a detailed
explanation of the scientific, technical, or operational factors that form the basis
for the denial; and
• Copy, store, file, and maintain the state’s request and materials related to EPA’s
response

Petition for emergency order (CWA section 31 2(p)(7)(A)(i))
Agency activities associated with an application from a state to issue an emergency order
consist of the following:
• Clarify any questions from state applicant;
• Review petition and decide whether to grant or deny not later than 180 days
after the petition was submitted;
• If the petition is granted, immediately issue the relevant order;
• If the petition is denied, submit a Notice of to the Federal Register with a
detailed explanation of the scientific, technical, or operational factors that form
the basis for the denial; and
• Copy, store, file, and maintain the state’s request and materials related to EPA’s
response.

Petition to establish an enhanced Great Lakes system requirement (CWA section
31 2(p)(1 0)(B))

Agency activities associated with a request by Great Lakes states to establish an
enhanced requirement consist of the following:
• Clarify any questions from the Great Lakes states;
• Submit a notice to the Federal Register providing an opportunity for public
comment;
• Review the proposal to determine if it is at least as stringent as the comparable
CWA section 312(p) standard;
• Consult the USCG, the Governors of Great Lakes states, and representatives
from the Federal and provincial governments of Canada;
• In concurrence with the USCG, determine whether to approve or disapprove the
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proposal not later than 180 days after the petition was submitted;
• If the petition is approved, submit a Notice of Determination to the Governor of
each Great Lakes state and to the Federal Register, and establish by regulation
the proposed standard of performance or requirement for the Great Lakes;
• If the petition is disapproved, submit a Notice of Determination to the Federal
Register that describes the reasons why the standard of performance or
requirement is less stringent or inconsistent with applicable maritime and
navigational laws and provide any recommendations for modification of the
proposal; and
• Copy, store, file, and maintain the petition and materials related to EPA’s
response.
5(b): Collection Methodology and Management
The information described in this ICR will be given to EPA by states in the form of a
request letter, application, or petition. EPA will ensure the accuracy and completeness of
this information by reviewing each submittal. This information will be made available to the
public through the Federal Register.
5(c): Small Entity Flexibility
The only possible respondents to the activities described in this ICR are states. Therefore,
no small entities are affected.
5(d): Collection Schedule:

Petition to Establish an NDZ (CWA section 31 2(p)(1 0)(D))
This is not a reporting requirement, nor are there any deadlines associated with these
requests. As such, EPA expects that, following promulgation of the USCG implementing
regulations, required by CWA section 312(p) within two years of EPA promulgation of
national standards of performance, the Agency will receive one application in the third year
of the three-year ICR cycle. For illustrative purposes during the proposed rulemaking, the
Agency is using this estimate of one application.
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Petition for Review (CWA section 31 2(p)(7)(A)(ii))
The EPA expects few petitions for review of standards, regulations, or policy. Such
petitions may only be used by a state if there is significant new information, not considered
previously, that could reasonably result in a change to a particular determination or
standard. This is not a reporting requirement, nor are there any deadlines associated with
these petitions. This ICR specifies the information EPA requires in order to consider such
a petition. The EPA is estimating one petition in the third year of the three-year ICR cycle.

Petition for Emergency Order (CWA section 31 2(p)(7)(A)(i))
The EPA expects few petitions for emergency orders. Such petitions may only be used by
a state in two specific circumstances as described in section 2(a). This is not a reporting
requirement, nor are there any deadlines associated with these petitions. This ICR
specifies the information EPA requires in order to consider such a petition. The EPA is
estimating one petition in the third year of the three-year ICR cycle.

Petition to Establish Enhanced Great Lakes System Requirements (CWA section
31 2(p)(1 0)(B))

The EPA expects few petitions for enhanced Great Lakes system requirements. For
proposals that would impose any additional equipment requirement on a vessel, the
Governors of all Great Lakes states must endorse the proposal. If the proposal does not
impose any additional equipment requirements, not fewer than five Governors must
endorse. This is not a reporting requirement, nor are there any deadlines associated with
these petitions. This ICR specifies the information EPA requires in order to consider such
a petition. The EPA is estimating zero petitions in the three-year ICR cycle.
SECTION 6: Estimating the Burden and Cost of the Collection
Burden and cost estimates are in Tables 1 to 10, in the Appendix. The text in this section
explains how these estimates were derived.
6(a): Estimating Respondent Burden
Respondent labor burden hours listed in Tables 1 to 4 are primarily based on data and
assumptions presented in EPA’s existing ICR for Clean Water Act section 312. The level17

of-effort estimates presented for these tables were reviewed by the EPA’s staff and
managers, all of whom have experience in assessing information collection work similar to
that described in this chapter of the ICR.
6(b): Estimating Respondent Costs

(i) Estimating Labor Costs

All labor cost-rate data used in Tables 1 to 4 were obtained from the U.S. Bureau of
Labor Statistics (BLS) Compensation Cost Trends webpage published for June of 2018
(http://www.bls.gov/ncs/ect/) estimating the salaries for state and local government
employees.
Table 4 of the BLS report (http://www.bls.gov/news.release/ecec.t04.htm June, 2018,
last modified in September 2018) contains employee compensation data for state and local
government employers. The labor rates for respondent management, technical, and clerical
personnel in Tables 1 to 4 of the ICR were obtained from the “State and local government
workers Occupational group” category.
BLS Report (Table 4) State and Local
Government Workers Job Classification
Titles

ICR Respondent Job
Classification Titles Used
in ICR Tables 1-3

Corresponding Labor
Compensation (hourly
rate) from BLS Report

Management, professional, and related

Management

$

59.23

Professional and related

Technical

$

57.57

Office and administrative support

Administrative

$

34.46

The above labor rate data are “fully burdened” and include wages/salaries and benefits.
The BLS report provides a breakdown of benefit costs, which includes paid leave,
supplemental pay, insurance, retirement, and legally required benefit. Only fully burdened
BLS labor cost data (i.e., total compensation) are used in the analysis described in this
chapter of the ICR.

(ii) Estimating Capital and Operations and Maintenance (O&M) Costs
There are no predicted respondent capital or start-up costs associated with the activities
described in this ICR.
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Non labor O&M includes only costs for photocopying, postage, telephone charges, and
similar expenses. Item 1b of ICR Tables 1 to 4, Clarify Questions with EPA, is assumed
to be exclusively telephone and facsimile machine expenses. Other O&M expenses listed
in Tables 1 to 4 are predominantly photocopy, postage, and related paperwork distribution
expenses.
6(c): Estimating Agency (EPA) Burden and Cost
EPA labor burden hours listed in Tables 5 to 8 are informed by the data and assumptions
presented in EPA’s most recent ICR analysis for Clean Water Act section 312 mandates
[specifically, information collection effort under for CWA sections 312(f) and 312(n)].
Where necessary, the level-of-effort determinations were adjusted to correspond to the
specific new information collection requirements resulting from the requirements of section
312(p). All of the level-of-effort estimations presented in Tables 5 to 8 have been
reviewed for accuracy and reasonableness by EPA.
Agency labor costs data associated with this ICR were obtained using pay scale rates for
GS-9, GS-12, and GS-14 employees. The 2015 General Schedule Locality Pay Tables
can be found at https://www.opm.gov/policy-data-oversight/pay-leave/salarieswages/salary-tables/18Tables/html/DCB.aspx. The salary scales contained in the table
were effective January 2018.
Step 1 of the GS salaries are used in the ICR analysis. The annual GS salary rates were
converted to hourly rates according to instructions in Section 6(c) of the EPA ICR

Handbook (10/2009 version). Total salaries were divided by 2,080, which represent the
average number of hours work in a calendar year, and then multiplied by a factor of 1.6.
The multiplier represents the benefits multiplication factor. The result is the true hourly cost
to the federal government to employ a federal worker for one hour. These calculated
hourly rates are used in Tables 5 to 8 of the ICR.
ICR Agency Job Classification
Title Used in ICR Tables 4-6

2015 Annual GS
Salary (Step 1)

Work Hours Per
Year Factor

Benefits
Factor

Calculated Hourly Rate
Used in Tables 4-6

19

Management

GS-14, $114,590

÷ 2,080

× 1.6

$

88.15

Technical
Administrative

GS-12, $81,548
GS-9, $56,233

÷ 2,080
÷ 2,080

× 1.6
× 1.6

$
$

62.73
43.26

6(d): Bottom Line Burden Hours and Cost Tables
Total estimated burdens associated with the requirements for State Agency respondents
and to EPA are summarized in Tables 9 and 10, respectively. The data contained in both
of these tables are transcribed from Tables 1 to 8.
Bottom line Respondent (State Agency) Estimated Burden and Cost Summary (from table 9)

TOTAL

Number of
Respondents
Per Year

Number of
Activities
Per Year

Total
Hours Per
Year

Total Labor
Cost Per
Year ($)

Total Annual
O&M Costs ($)

Total Cost
Per Year ($)

1.00

1.00

81.98

4,412.28

149.50

4,561.78

Bottom line EPA Estimated Burden and Cost Summary (from table 10)

TOTAL

Number of
Respondents
Per Year

Number of
Activities
Per Year

Total
Hours Per
Year

Total Labor
Cost Per
Year ($)

Total Annual
O&M Costs ($)

Total Cost
Per Year ($)

1.00

1.00

40.86

2,673.89

59.80

2,733.69

6(e): Burden Statement
The annual public reporting and recordkeeping burden for this collection of information is
estimated to average 82 hours per response (81.98 hours/1.00 rounded; from Table 9).
Burden means the total time, effort, or financial resources expended by persons to
generate, maintain, retain, or disclose or provide information to or for a Federal agency.
This includes the time needed to review instructions; develop, acquire, install, and utilize
technology and systems for the purposes of collecting, validating, and verifying information,
processing and maintaining information, and disclosing and providing information; adjust
the existing ways to comply with any previously applicable instructions and requirements;
train personnel to be able to respond to a collection of information; search data sources;
20

complete and review the collection of information; and transmit or otherwise disclose the
information. An agency may not conduct or sponsor, and a person is not required to
respond to, a collection of information unless it displays a currently valid OMB control
number. The OMB control numbers for EPA's regulations are listed in 40 CFR part 9 and
48 CFR chapter 15.
To comment on the Agency's need for this information, the accuracy of the provided
burden estimates, and any suggested methods for minimizing respondent burden, including
the use of automated collection techniques, EPA has established a public docket for this
ICR under Docket ID No. EPA-HQ-OW-2020-0440, which is available for online viewing
at www.regulations.gov, or in person viewing at the Water Docket in the EPA Docket
Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., NW, Washington, DC.
The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m.,
Monday through Friday, excluding legal holidays. The telephone number for the Reading
Room is (202) 566-1744, and the telephone number for the Water Docket is (202) 5662426. An electronic version of the public docket is available at www.regulations.gov. This
site can be used to submit or view public comments, access the index listing of the
contents of the public docket, and to access those documents in the public docket that are
available electronically. When in the system, select “search,” then key in the Docket ID
Number identified above.
Comments and recommendations for the proposed information collection can also be sent
to OMB using https://www.reginfo.gov/public/do/PRAMain. Find this particular
information collection by selecting "Currently under 30-day Review - Open for Public
Comments" or by using the search function. Since OMB is required to make a decision
concerning the ICR between 30 and 60 days after receipt, OMB must receive comments
no later than November 25, 2020. EPA will respond to any ICR-related comments in the
final rule.

21

APPENDIX
See the accompanying Excel workbook with the referenced tables.

22

Attachment A
Summary Tables for Information Collection under CWA Section 312(p)
Table 9. Total Estimated Respondent (State Agency) Burden and Cost Summary
Total
Total
Total
Number of Number of Number of Total Labor Annual
Annual Total Cost
Respondents Activities Hours Per Cost Per
Per Year
Capital
O&M
Year ($)
Per Year
Per Year
($)
Year
Costs ($) Costs ($)
Petition to Establish NDZ
Petition for Review
Petition for Emergency Order
Petition to Establish Enhanced Great Lakes
System Requirements
TOTAL

0.33
0.33
0.33

0.33

51.15
15.42
15.42

2,783.52
814.38
814.38

0.00
0.00
0.00

49.50
50.00
50.00

2,833.02

0.33
0.33

0.00
1.00

0.00
1.00

0.00
81.98

0.00
4,412.28

0.00
0.00

0.00
149.50

0.00
4,561.78

864.38
864.38

Table 10. Total Estimated Agency (EPA) Burden and Cost Summary

Total
Total
Total
Number of Number of Number of Total Labor Annual
Annual Total Cost
Respondents Activities Hours Per Cost Per
Per Year
Capital
O&M
Per Year
Year ($)
Per Year
($)
Year
Costs ($) Costs ($)

Petition to Establish NDZ
Petition for Review
Petition for Emergency Order
Petition to Establish Enhanced Great Lakes
System Requirements
TOTAL

0.33
0.33
0.33

0.33

0.33
0.33

14.03
13.92
12.92

911.53
912.54
849.81

0.00
0.00
0.00

19.80
20.00
20.00

932.54
869.81

0.00
1.00

0.00
1.00

0.00
40.86

0.00
2,673.89

0.00
0.00

0.00
59.80

2,733.69

931.33

0.00

23