Supporting Statement for an Information Collection Request (ICR) 
Under the Paperwork Reduction Act (PRA)
EXECUTIVE SUMMARY
 Identification of the Information Collection  -  Title and Numbers
	Title: Notification of Chemical Exports - TSCA Section 12(b)
	EPA ICR No.: 0795.17
	OMB Control No.: 2070-0030
	Docket ID No.: EPA-HQ-OPPT-2015-0435
 Abstract
Section 12(b) of the Toxic Substances Control Act (TSCA) states, in part, that any person who exports or intends to export to a foreign country a chemical substance or mixture for which submission of information is required under TSCA section 4 or 5(b), or for which a rule, action or order has been proposed or promulgated under TSCA section 5, 6, or 7, shall notify the EPA Administrator of such export or intent to export. The Administrator in turn will notify the government of the importing country of the notice and of EPA's regulatory action with respect to the substance.
In several regulations implementing section 12(b), EPA described the notification requirements applicable to persons exporting chemicals, including frequency of notification, covered chemicals, and content of the notification. (45 FR 82844, December 16, 1980; 58 FR 40242, July 27, 1993; 71 FR 66234, Nov. 14, 2006). These rules are codified at 40 CFR Part 707, Subpart D.
This information request is therefore considered mandatory when TSCA section 12(b) export notification requirements are prompted. The export notice must include five easily ascertainable items: the name and address of the exporter, the name of the chemical, the country of import, the date of export or intended export, and the section of TSCA under which EPA has taken action (section 4, 5, 6 or 7). There are currently over 1,000 substances or categories of substances that have been regulated or proposed to be regulated under the applicable sections of TSCA.
In an effort to reduce the information collection burden for TSCA section 12(b) export notification, EPA's Office of Pollution Prevention and Toxics (OPPT) makes available to the public on its website a list of chemical substances subject to TSCA section 12(b) export notification requirements (see "Chemicals Subject to TSCA Section 12(b) Export Notification Requirements" at: http://www.epa.gov/tsca-import-export-requirements). In addition, OPPT also makes available a comprehensive listing of the "sunset" dates for chemicals subject to TSCA section 4 actions (i.e., the dates on which the TSCA section 4 testing, reimbursement, and reporting requirements and/or TSCA section 4-triggered TSCA section 12(b) export notification requirements have terminated ("sunset") or have been calculated to sunset) (see "Sunset Dates of Chemicals Subject to Final TSCA Section 4 and Related 12(b) Actions" at: https://www.epa.gov/assessing-and-managing-chemicals-under-tsca/sunset-dates-chemicals-subject-final-tsca-section-4-test). Also, to improve chemical safety and provide more streamlined access to information on chemicals, EPA continues to expand its internet accessible database, ChemView, which greatly improves access to health and safety data on chemicals regulated under TSCA. Among other things, ChemView includes the list of chemicals subject to TSCA section 12(b) export notification requirements. The 12(b) list in ChemView is routinely updated as new actions require additions to the list and as chemicals are removed from the list when the regulatory action that triggered the section 12(b) requirement expires (sunsets). 
EPA believes that the 12(b) list and sunset table serve as useful tools to assist industry in complying with TSCA and have resulted in an overall reduction of the information collection burden.
 Summary Total Burden and Costs

Total Number of Respondents
Number of Responses 
Annual Burden Hours 
Annual Costs 
Respondent
198
4,743
2,932
$230,017 includes $13,793.30 in non-labor costs
Agency 


843
$74,195

Supporting Statement
   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.
 This information collection is necessary to implement statutory requirements of export notification pursuant to section 12(b) of TSCA and is consistent with the requirements of 5 CFR 1320.6.
TSCA section 12(b) requires exporters to submit a notice to EPA for each country to which a chemical subject to TSCA section 12(b) requirements is exported. Specifically, TSCA section 12(b) states, in part, that any person who exports or intends to export to a foreign country a chemical substance or mixture for which submission of information is required under TSCA section 4 or 5(b), or for which a rule, action or order has been proposed or promulgated under TSCA section 5, 6, or 7, shall notify the EPA Administrator of such export or intent to export. The Administrator in turn will notify the government of the importing country of the notice and of EPA's regulatory action with respect to the substance. See Attachment 1 for exact language of TSCA section 12(b), 15 U.S.C. 2611(b).
Regulations implementing the statutory mandate in TSCA section 12(b) appear in 40 CFR Part 707, Subpart D, and include the following additional provisions: 
 No notice of export will be required for articles, except polychlorinated biphenyl (PCB) articles, unless the Agency so requires in the context of individual TSCA section 5, 6, or 7 actions.
 Any person who exports or intends to export PCBs or PCB articles, for any purpose other than disposal, shall notify EPA of such intent or exportation under TSCA section 12(b). PCBs and PCB articles are defined at 40 CFR 761.3.
 Any person who would be prohibited by a TSCA section 5 or 6 regulation from exporting a chemical substance or mixture, but who is granted an exemption by EPA to export that chemical substance or mixture, shall notify EPA under TSCA section 12(b) of such intent to export or exportation.
 An exporter will be subject to possible enforcement action (including penalties) for not complying with the applicable provisions of TSCA section 12(b).

 The full text of 40 CFR part 707 is provided in Attachment 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
As required by TSCA section 12(b), the Administrator will use the information collected under this ICR to furnish the required notice to the government of the importing country. The importing country typically uses the information provided to ensure that chemicals imported into their country comply with their applicable laws and regulations.
   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.
 TSCA section 12(b) export notifications are received by EPA's Information Management Division (IMD) in OPPT. IMD notifies appropriate foreign governments of the export of the specific TSCA-regulated chemicals to their country in accordance with the requirement in TSCA section 12(b) and the regulations at 40 CFR part 707, Subpart D.
This ICR renewal introduces EPA's optional electronic information reporting system designed to be a user-friendly interface for parties engaged in reporting under TSCA section 12(b). The modernization of the TSCA section 12(b) export notification process enables electronic reporting for TSCA section 12(b) for both incoming and outgoing information, which greatly reduces the burden on industry to submit the paper section 12(b) notifications and on OPPT in the processing of paper submissions.  
Prior to this renewal, section 12(b) export notifications could only be submitted to the Agency in hardcopy, by mail or in person, requiring the Agency to manually scan and process submissions. The modernization of the section 12(b) export notification process will allow the option for users to prepare and submit their notifications to the Agency electronically using a web-based application. To file electronically, submitters must use the EPA provided application. To access the application, users must register with EPA's Central Data Exchange (CDX). CDX is the Agency's portal for submitting information to EPA in a secure manner. When registering, a user will need to ensure they are registering for the Chemical Safety and Pesticide Programs (CSPP) data flow which will provide them access to the Chemical Information Submission System (CISS) where the TSCA section 12(b) can be accessed. (Note: Users who have previously registered with CDX are able to add "Submission for Chemical Safety and Pesticide Program (CSPP)" to their current registration.) This reporting tool is compatible with Windows, Mac, Linux, and UNIX based computers, and uses "Extensible Markup Language" (XML) specifications for efficient data transmission across the Internet. 
   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.
 The exporter submits one notice to EPA. There is no duplication of this mandate or collection activity, and there are no viable alternate sources for the Agency to obtain the information necessary to satisfy the statutory mandate.
 
 The Agency carefully considered alternatives to imposing a notification requirement on the chemical exporters, but no viable alternate sources were identified that would accomplish what the statute requires or provide the required information as specified in the statute. Prior to promulgating the TSCA section 12(b) rule, EPA considered the possibility of using export data gathered by the U.S. Census Bureau in lieu of imposing notification requirements in a TSCA section 12(b) rule. However, several problems with the Census export data continue to make such an approach impractical. These problems include, among others, the fact that Census data are often not chemical-specific; Census exempts certain shipments and exporters that are not exempt from TSCA section 12(b) notifications; and Census data would not be available for up to eight weeks following export, a delay that would prevent EPA from providing an importing government the timely notice required by TSCA section 12(b).
 In addition, the Agency's activities are not duplicative of any other agency's actions. Importing countries do not receive such notifications from any other sources.
   If the collection of information impacts small businesses or other small entities, describe the methods used to minimize burden.
TSCA section 12(b) does not exempt small businesses. However, most reporting has been by large companies which do most of the exporting. The burden on any exporter is relatively minimal, estimated at 12.41 hours with an associated cost of approximately $939 for firms that submit electronically and 18.91 hours with an associated cost of approximately $1,543 for those who submit paper reports. .
   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.
 In general, there are basically two collection schedules related to the TSCA section 12(b) export notification requirements, i.e., a one-time collection and an annual collection. On an annual basis, excluding TSCA section 4 chemicals, and certain TSCA section 5 chemicals, an exporter must submit only one TSCA section 12(b) notice for each country to which a chemical subject to TSCA section 12(b) is exported. For TSCA section 4 chemicals, and certain TSCA section 5 chemicals, an exporter must only submit one TSCA section 12(b) notice for the first export or intended export of a subject chemical to a particular country.
 The collection methodology is event-based, i.e., the exporter's decision to export a chemical subject to TSCA section 12(b). With the exception of TSCA section 4 chemicals, and certain TSCA section 5 chemicals, an exporter must submit, on an annual basis, one TSCA section 12(b) notice for each country to which a chemical subject to TSCA section 12(b) is exported. For TSCA section 4 chemicals, and certain TSCA section 5 chemicals, an exporter must only submit a TSCA section 12(b) notice for the first export or intended export to a particular country. The TSCA section 12(b) notice may be submitted to EPA within seven days after the exporter accepts a definite contractual obligation or no later than the date of export.  
 If the collection of information was conducted less frequently, the statutory requirements would not be met.
   Explain any special circumstances that require the 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 secrets, 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.  
Not applicable. 
   Not applicable. If applicable, provide a copy and identify the date 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 in response to the comments. Specifically address comments received on cost and hour burden. 
    Describe efforts to consult with persons outside EPA 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.
Additionally, under 5 CFR 1320.8(d)(1), OMB requires agencies to consult with potential ICR respondents and data users about specific aspects of ICRs before submitting an ICR to OMB for review and approval (85 FR 61746). In accordance with this regulation, EPA submitted questions to several interested parties via e-mail Attachment 3. The individual entities contacted were: 

 American Chemistry Council Inc.
 Society of Chemical Manufacturers and Affiliates (SOCMA)
 Household and Commercial Products Association  
 American Petroleum Institute
 Environmental Law Center, Vermont Law School
 Plastics Industry Association  
 Environmental Defense Fund
 Environmental Working Group
 Natural Resources Defense Council
EPA received one response to its solicitation for consultations from the American Petroleum Institute (API), consisting of a copy of the comments provided in response to the public solicitation for comment mentioned previously. Comments from API requested that the Agency reconsider the TSCA Section 12(b) export notification requirement, because it is outdated and the information regarding exports to and from countries is available on the Internet or through EPA databases. API also noted that the regulations are burdensome on businesses because the exporter must develop and maintain compliance systems to track exports, continually track TSCA section 4, 5, 6 and 7 actions that trigger 12(b) requirements, determine whether chemical exports are subject to those actions and 12(b) requirements, determine if annual or one-time notification is required, and submit notifications to EPA within seven days of forming the intent to export or on the date of export. The commenter suggested that if export notifications continue there should be an annual submission deadline or allow for 30 days after the export, and that the Agency should instead rely on export information from the Chemical Data Reporting rule instead of requiring export notifications. 
In response to API's comment regarding the maintaining compliance systems, EPA has made efforts to assist the regulated community. EPA maintains a list of chemical substances and mixtures subject to applicable TSCA triggering actions and updates it regularly to aid exporters in making relevant compliance determinations. Furthermore, as indicated by the commenter, EPA has reduced the frequency of submitting notices for each exporter since the TSCA section 12(b) regulations were first promulgated in 1980. For example, the current regulations require a notice only for the first export or intended export by an exporter to a particular country for some underlying actions and for the first export or intended export by an exporter to a particular country in a calendar year for other triggering actions. Under this ICR renewal, EPA is also requesting OMB approval to make available the option of submitting export notices electronically in lieu of paper-based submissions, further reducing exporters' and EPA's burden hours associated with TSCA section 12(b) requirements, as indicated in the ICR supporting statement. 
A copy of EPA's consultation to the above potential respondents and the response received are in Attachment 3 and are available in the docket. The comment is in Attachment 5 and the EPA responses are in Attachment 4.
   Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.
Not applicable. 
   Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy. If the collection requires a systems of records notice (SORN) or privacy impact assessment (PIA), those should be cited and described here.
 The exporter may claim all or part of a TSCA section 12(b) export notice confidential. The Frank R. Lautenberg Chemical Safety for the 21st Century Act amended section 14 of TSCA and requires the exporter to substantiate and certify claims of confidentiality unless the information claimed confidential is exempt from the substantiation requirements under TSCA section 14(c). A sample TSCA section 12(b) substantiation template is available at https://www.epa.gov/tsca-cbi/what-include-cbi-substantiations#substantiationtemplates. 
 EPA will disclose information that is covered by a claim of confidentiality only to the extent permitted by, and in accordance with, the procedures in TSCA and 40 CFR part 2. Information submitted under specific reporting requirements of TSCA, or in support of TSCA, is subject to the provisions of section 14 of TSCA and to EPA's Regulations on the Confidentiality of Business Information (see 40 CFR part 2). Failure to follow these procedures fully at the time of document submission to EPA is interpreted by the Agency as a waiver of confidentiality claims. Submitters may claim confidentiality for proprietary information. However, notwithstanding any claim of confidentiality, the foreign government of the importing country will be notified of the export of the substance(s) in question.
   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.
No information of a sensitive or private nature is requested in conjunction with these information collection activities, and these information collection activities comply with the provisions of the Privacy Act of 1974 and OMB Circular A-108.
   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. 
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 under `Annual Cost to Federal Government'.  
 Respondents to this collection are exporters of chemical substances, which are mostly chemical companies classified under NAICS Codes 325 and 324. Exporters are required to include the following information in their export notification: 
 the name and address of the exporter; 
 the name of the chemical; 
 the country of import; 
 the date of export or intended export; and
 the TSCA section 4, 5, 6 or 7 action that triggers the notice.
      
 In providing the required TSCA section 12(b) export notification, the respondent (exporter) is likely to engage in the following activities:
 Compile and maintain a list of chemical products manufactured by the company that are also subject to a TSCA section 4, 5, 6 or 7 action (e.g., compare the list of their chemicals to be exported with EPA's list of TSCA section 12(b) chemicals subject to export notification);
 Check this list against outgoing orders to determine if a product/chemical on the list is expected to be exported to a customer outside of the U.S.;
 If it is, identify whether a TSCA section 12(b) notice is required (e.g., is it the first shipment to that country this year); and
 If product/chemical is on the list and a TSCA section 12(b) notice is required, complete the required export notice and forward it to EPA by U.S. Mail or EPA's CDX system within the required time period.
The burden to exporters of this information collection activity comprises the time required to perform the steps outlined in this section of this document.
A notice is a package received by the EPA by one firm. EPA will be implementing e-reporting for submission of notices, for companies that wish to report electronically instead of paper reporting. A firm may submit more than one notice per year. Each notice may contain several chemicals and/or countries. A notice subsequently becomes a letter of notification that EPA issues to a foreign government.
Ever since a change in reporting requirements published on November 14, 2006, there is a one-time notification requirement for exporters of chemicals. In addition, the change required the Agency to notify foreign governments once after it receives the first export notification from an exporter. The shift to one-time-only export notification in the amendments affected almost all notifications received under TSCA section 5 (US EPA, 2006). Note that EPA also promulgated de minimis concentration levels below which notification will not be required for the export of any chemical for which export notification under TSCA section 12(b) is otherwise required.
For the purposes of this ICR, based on best available information, and given no known factors to change industry burden and cost, EPA assumes that the level of reporting will be consistent with that of the last ICR period.  EPA estimates that there will be no changes to industry that would result in a change in reporting or burden. EPA estimated that 198 firms will respond per year. As firms are given the opportunity to submit reports electronically rather than by paper, EPA has estimated that 63% of reports will be submitted electronically. This expectation is based on the trend witnessed for TSCA section 8(e) electronic submissions in which firms can submit by paper or electronically. Table 1 presents the unit burden by activity for paper-based reporting and e-reporting. The activities involved and calculation details are listed below. EPA estimates the total annual burden at approximately 2,932 hours. 
Compile List.  Since this information collection activity has been in place for 20 years, most exporters will have already developed a list of their products subject to TSCA section 12(b) reporting.  Exporters need only check for new regulations promulgated, and any new products exported by the firm. EPA estimates that exporters will carry out this activity only once per year. Updating the list is estimated to take an average of one hour of technical time (which may also include some proportion of legal time). This could vary depending on the number of products from two hours per year up to two hours per month of technical time (which may also include some proportion of legal time). This will vary depending on the number of products exported by the firm and the number of their products subject to TSCA section 12(b). EPA estimates unit burden for compiling the list estimated at an average of 9.3 hours of technical time per firm per year.  
 Write or Revise Letter.  Firms that export chemicals subject to TSCA section 12(b) reporting must prepare an export notice to send to EPA. EPA estimates that exporters will carry out this activity once per year. EPA expects that the time needed for initial preparation of the export notice probably varies depending on whether the firm has prior experience with this program, but this step is estimated to take an average of one hour of technical time (which may also include some proportion of legal time) per year for each firm subject to TSCA section 12(b) reporting. 
 CBI Substantiation. Firms are required to provide CBI substantiation for any claims of data confidentiality. When estimating this burden, EPA accounts for the burden associated with the substantiation of ChemID and non-ChemID claims. CBI substantiation for ChemID elements involves providing answers to questions concerning reasons that CBI status of chemical substance is to be maintained. CBI substantiation for ChemID claim is estimated to take 1.15 hours per report, including both technical and managerial time (EPA, 2017; EPA, 2019). A firm will claim CBI for ChemID elements when submitting a chemical that is not included in the 12(b) list. Approximately one percent of submissions include chemicals that are not listed, and as a result, include ChemID claims. Therefore, when estimating the burden per firm associated with ChemID claims, the burden of 1.15 hours is scaled by one percent. Firms are required to provide CBI substantiation for non-ChemID data elements, which is estimated to take 0.96 hours per report, including both technical and managerial time (EPA, 2017). Based on the previous ICR period, approximately eight percent of submissions claimed CBI for non-ChemID elements. Therefore, when estimating the burden per firm associated with non-ChemID claims, the burden of 0.96 hours is scaled by eight percent. Taking into account the expectation that each firm will submit 24 reports per year, the total burden associated with CBI substantiation is estimated to be 2.11 hours per year per firm. 
 Check Orders and Send Notices.  The firms that export chemicals subject to TSCA section 12(b) reporting must check outgoing shipments against the list of their products described above. A form letter notifying EPA is either printed out or electronically prepared detailing where the shipment is going for a TSCA section 12(b) chemical if it is the first shipment of the year to the importing country. This process is estimated to take an estimated zero hours for the 63% of submissions received electronically, as opposed to the 6.5 hours of clerical time per firm for the remaining 37% of submissions by paper. EPA estimates each firm will submit approximately 24 reports per year. Therefore, the Agency expects to receive a total of 4,743 notices per year. 
 Table 1 provides the estimated unit burden per activity for both paper-based reporting and e-reporting.
TABLE 1: UNIT BURDEN PER ACTIVITY
                                   Activity
                         Paper-based Reporting (hours)
                              E-reporting (hours)
                                       
                                   Technical
                                  Managerial
                                   Clerical
                                   Technical
                                  Managerial
                                   Clerical
Compile list
                                      9.3
                                       0
                                       0
                                      9.3
                                       0
                                       0
Write letter
                                       1
                                       0
                                       0
                                       1
                                       0
                                       0
Check order and send notice
                                       0
                                       0
                                      6.5
                                       0
                                       0
                                       0

Table 2 presents the average burden per firm associated with CBI substantiation.	Firms are required to provide CBI substantiation for any claims of data confidentiality. The burden associated with CBI substantiation is compromised of the time required to substantiate ChemID and non-ChemID claims. This estimate takes into account the expectation that each firm will submit 24 reports per year. It also accounts for the expectation that approximately one percent of reports will include ChemID claims and that approximately eight percent of reports will include non-ChemID claims.	                 
TABLE 2: AVERAGE BURDEN PER FIRM FOR CBI SUBSTANTIATION
                                   Activity
                           Burden per Claim (hours)
                        Average Burden per Firm (hours)
                                       
                                   Technical
                                  Managerial
                                   Clerical
                             Total Burden (hours)
                                   Technical
                                  Managerial
                                   Clerical
                               Total Burden[a] 
                      Average Burden per Firm[b] (hours)
CBI Substantiation (ChemID)
                                     0.77
                                     0.38
                                     0.00
                                     1.15
                                     18.48
                                     9.12
                                     0.00
                                     27.60
                                     0.27
CBI Substantiation (Non-ChemID)
                                     0.64
                                     0.32
                                     0.00
                                     0.96
                                     15.36
                                     7.68
                                     0.00
                                     23.04
                                     1.84
Average Burden per Firm

                                  2.11 hours
a Total burden per firm is based on a firm submitting 24 reports and each report including the respective type of CBI claim.
b The average burden per firm for CBI substantiation takes into account the expectation that firms will submit 24 reports on average. 
Based on the expectation that approximately one percent of reports will include ChemID claims eight percent of reports will include non-ChemID claims. 

Table 3 presents the total burden per firm for both the electronic and paper submission cases. Firms who submit reports electronically are expected to incur a total burden of 12.41 hours. Firms who submit paper reports are expected to incur a total burden of 18.91 hours. Based on the expectation that 63 percent of firms will submit reports electronically, the average burden per firm is estimated at approximately 14.82 hours.
TABLE 3: TOTAL BURDEN PER FIRM BY SUBMISSION TYPE
Submission Type
                                Number of Firms
                                Burden (hours)

                                       
                                 Compile List
                                 Write Letter
                          Check order and send notice
                              CBI Substantiation
                             Total Burden per Firm
E-reporting
                                      125
                                      9.3
                                       1
                                       0
                                     2.11
                                  12.41 hours
Paper Submission
                                      73
                                      9.3
                                       1
                                      6.5
                                     2.11
                                  18.91 hours

The annual aggregate burden when taking into account the expectation that 125 firms will report electronically and 73 firms will submit paper reports is calculated by:
Annual Aggregate  Burden=  125 firms x 12.41 hours+73 firms x 18.91 hours=2,931.68 hours 
The annual aggregate burden is estimated to be approximately 2,932 hours.	
The costs to exporters are based on the time needed to complete the tasks listed in this section, the hourly cost of labor at appropriate levels (labor rates), the number of firms affected, and/or the number of notices generated. There are also costs for mailing. Respondent costs include labor and non-labor costs. Loaded labor rates, including fringe costs, are provided in Table 4. For non-labor (mailing) costs, the postal rate total $15.85 per notice sent to EPA (U.S. domestic mail rate USPS 2018):
 $12.60 for registered mail
 $2.75 for a return receipt 
 $0.50 postage
      
Table 4 presents the loaded industry wage rates used to estimate the aggregate annual costs presented in Table 5. Based on the expectation that 63% of firms will submit reports electronically, the annual aggregate cost is estimated to be approximately $230,017.
TABLE 4: INDUSTRY WAGE RATES (2018$)
                                Labor Category
                                 Data Series 
                                     Date
                                     Wage
                                Fringe Benefit
                               Fringes as % Wage
                               Over-head % wage 
                           Fringe + Overhead Factor 
                             Hourly Loaded Wages 



                                      (a)
                                      (b)
                                 (c) =(b)/(a)
                                      (d)
                                 (e)=(c)+(d)+1
                                 (f)=(a)x(e)
Managerial
BLS ECEC, Private Manufacturing industries, "Mgt, Business, and Financial"
                                    Dec-18
                                    $48.73 
                                    $23.08 
                                      47%
                                      17%
                                     1.64
                                    $80.09 
Professional / Technical
BLS ECEC, Private Manufacturing industries, "Professional and related"
                                    Dec-18
                                    $44.35 
                                    $24.43 
                                      55%
                                      17%
                                     1.72
                                    $75.32 
Clerical
BLS ECEC, Private Manufacturing industries, "Office and Administrative Support"
                                    Dec-18
                                    $20.77 
                                    $10.20 
                                      49%
                                      17%
                                     1.66
                                    $34.50 
    
TABLE 5: Estimated Aggregate Annual Burden Hours and Costs
                                   Activity
                             Number of respondents
                                 Burden Hours
                                     Costs
Paper-based Reporting
Compile list
                                      73
                                   679 hours
                                    $51,135
Write letter
                                      73
                                   73 hours
                                    $5,498
Check order and send notice
                                      73
                                   475 hours
                                    $44,139
CBI Substantiation
                                      73
                                   154 hours
                                    $11,898
Total Paper Based Reporting
                                      73
                                  1,380 hours
                                   $112,670
E-reporting
Compile list
                                      125
                                  1,163 hours
                                    $87,560
Write letter
                                      125
                                   125 hours
                                    $9,415
Check order and send notice
                                      125
                                    0 hours
                                      $0
CBI Substantiation
                                      125
                                   264 hours
                                    $20,373
Total Paper Based Reporting
                                      125
                                  1,551 hours
                                   $117,347
Total 
                                      198
                                     2,932
                                   $230,017
Note: Values may not sum due to rounding. Total burden and cost are calculated with unrounded numbers and then rounded to the nearest hour and dollar, respectively, for presentation purposes.
   Provide an estimate for the total annual cost burden to respondents or recordkeepers resulting from the collection of information. (Do not include the cost of any hour burden already reflected on the burden worksheet).
 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 collections 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.
There are no O&M costs associated with the collection. 
   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 (such as equipment, overhead, printing, and support staff), and any other expense that would not have been incurred without this collection of information. Agencies may also aggregate cost estimates from Items 12, 13, and 14 in a single table.
Agency unit costs are based on past TSCA section 12(b) analyses and on contacts with the OPPT's Environmental Assistance Division (EAD), which administered the 12(b) export notification process before IMD. EPA's cost estimates are based on past experience with these activities. The Agency cost can be divided into four parts: (1) receiving and processing incoming notices, (2) preparing and mailing notifications to importing countries, (3) responding to requests for information and clarification from firms and importing countries, and (4) reviewing CBI claim substantiation. The allocation of burden hours and costs among these four parts is not exact, but the analysis below is reasonably accurate in terms of the overall burden estimate and the approximate allocation of that burden among these tasks. EPA presents activity descriptions followed by a summary of Agency costs in Table 6. The total annual Agency cost estimated at $74,195.
TABLE 6: AGENCY WAGE RATE (2018$)
Labor Category
Data Source for Wage Information
Wage ($/hour)
Fringe Benefit
Fringes as % wage
Overhead as % wage
Fringe + Overhead Factor
Loaded Wage ($/hr)


(a)
(b)
(c) = (b) / (a)
(d)
(e) = (c) + (d) + 1
(f) = (a) * (e)
EPA staff
Annual federal staff cost: OPM Washington-Baltimore-Northern Virginia, DC-MD-PA-VA-WV area, GS-13 Step 5 pay rates 1
$53.85
Included in 60% overhead
N/A
60% 2
1.6
$86.16








1 Source: U.S. Office of Personnel Management. (2019). Salary Table 2019-DCB. Retrieved June 20, 2019 from Pay & Leave: Salaries & Wages: https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/19Tables/html/DCB_h.aspx.
2The 60 percent fringes-and-overhead rate is from an EPA guide, Instructions for Preparing ICRs (U.S. EPA, 2009).

Task 1: Receiving and processing incoming notices.  In the first task, notices are received from firms that intend to export a product covered by this rule, the forms are checked for completeness, and the submissions are logged into a document control system.  Based on conversations with the workers responsible for this task, about 100 notices can be processed per hour.  EPA projects that an average of 4,743 notices (as estimated in section 6(a)) will be received per year over the period covered by this ICR, requiring 47.43 hours of support per year.
Task 2: Preparing and mailing notifications to importing countries.  In the second task, workers prepare letters of notification which are subsequently reviewed and sent out to importing countries.  Not all notifications submitted require that a notice be sent out. This work averages approximately 30 minutes per notice. Based on updated information, EPA estimates an average of 91 notification letters mailed each year. This yields a burden of 45.5 hours per year. 
Task 3: Responding to requests for information and clarification from firms and importing countries.  The burden described above covers the routine tasks of handling both incoming notices and outgoing notifications. The totals above also include a certain amount of time spent responding to routine requests for information, since data are not available to separate this out from the other tasks.  Based on updated information, the work of responding to non-routine requests for information and clarification from industry and importing countries, and handling other tasks associated with the TSCA section 12(b) program can be expected to require about 560 hours per year.  
Task 4: Review of CBI Claim Substantiation. In the fourth task, any submissions that claim CBI must be reviewed. Electronic submissions are completed by filling out a form. Review of the form for a non-ChemID claim requires 0.25 hours per report. Paper submissions are sent to the Agency as a letter. As submission via letter can contain additional information that must be reviewed, the review of a paper-based submission with a non-ChemID claim requires 0.75 hours per report.  It is expected to take 1.25 hours per report to review CBI claim substantiation that includes a ChemID claim. The estimated Agency burden to review CBI claim substantiation takes into account the expectation that each firm will submit 24 reports per year and that approximately one percent of submissions will include ChemID claims and approximately eight percent of reports submitted will include non-ChemID claims.
TABLE 7: AGENCY CBI SUBSTANTIATION REVIEW BURDEN PER REPORT
Type of Claim
Agency Burden per Report

Paper-based Reporting (hours)
E-reporting (hours)
ChemID 
1.25
1.25
Non-ChemID
0.75
0.25

Table 7 displays the Agency burden associated with reviewing ChemID and non-ChemID claims in both the paper-based and reporting cases, which are used to calculate the average burden per report. The Agency burden associated with reviewing CBI claim substantiation for a paper-based report is estimated by:
						        ChemID	        Non-ChemID
						         Element		Element
Review ofCBI Substantiation Burden=0.01  x  1.25 + 0.08  x 0.75=0.07 hours.
per paper-based report
The Agency burden associated with reviewing CBI claim substantiation for an electronically submitted report is estimated by:
					       	        ChemID	        Non-ChemID
						         Element		Element
Review ofCBI Substantiation Burden =0.01  x  1.25 + 0.08  x 0.25=0.03 hours.
            per electronically submitted report 
Therefore, given an expected e-reporting rate of 63 percent, the average Agency burden per report associated with reviewing CBI claim substantiation is estimated by: 				                  
 						Paper-based	               Electronic
 			 			Submissions	             Submissions
Review ofCBI Substantiation Burden=   0.37 0.07       +        0.630.03    =0.04 hours.     (per report) 

TABLE 8: AGENCY ACTIVITIES, ANNUAL BURDEN AND COST (2018$)
Agency Activity
Unit Burden
Count
Burden Hours
Cost




Labor
Non-labor
Receiving and Processing Incoming Notices 
0.01 hour per notice processing rate
4,743
47.43
$4,087
-
Mailing Notifications to Importing Countries
0.50 hour per letter mailed
91
45.5
$3,920
-

$17.50 Mailing cost per notification1
91
N/A
-
$1,593
Responding to Requests for Information and Clarification from Firms
N/A
560 hours of staff time per year
560.0
$48,250
-
Review of CBI Claim Substantiation
0.04 hour per notice reviewing rate
4,743
190
$16,346
-
Total Burden and Cost                                                                                       
843 hours
$74,195
Values may not sum due to rounding.
[1]Mailing cost estimate includes:  $14.20 (average of $12.40 and $16.00) for registered mail, $2.75 for a return receipt and $0.55 for postage (U.S. Postal Service (2018)).

   Explain the reasons for any program changes or adjustments reported in hour or cost burden.
This ICR renewal's estimate reflects a decrease of 1,100 hours from 4,032 to 2,932 hours. This is a net change with a large decrease in burden due to e-reporting and a small increase in burden due to a greater number of submissions (decrease in number of firms responding, but increase in number of reports per firm), CBI substantiation, and an administrative adjustment (+7 hours). Based on 63 percent of exporters reporting electronically, there is a decrease in burden of approximately 813 hours relative to the case in which all submissions were paper-based.
   For collections whose results will be published, outline the 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.
Not applicable. 
   If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons why display would be inappropriate.
Not applicable. 
   Explain each exception to the certification statement identified in "Certification for Paperwork Reduction Act Submissions."
EPA does not request an exception to the certification of this information collection.
Supplemental Information
 The annual public burden for this collection of information, which is approved under OMB Control No. 2070-0030, is estimated to have a per-response burden of 0.62 hours per notice, and an average per-respondent burden of 14.82 hours per firm (at 24 notices per firm). 
 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; 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 Number EPA-HQ-OPPT-2015-0435, which is available for online viewing at www.regulations.gov, or in person viewing at the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Avenue, NW, Washington, D.C.  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.  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.  Also, you can send comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, D.C. 20503, Attention: Desk Officer for EPA.  Please include the EPA Docket ID Number EPA-HQ-OPPT-2015-0435 and OMB Control Number 2070-0030 in any correspondence.
List of Attachments
The attachments listed below can be found in the docket for this ICR or by using the hyperlink that is provided in the list below. The docket for this ICR is accessible electronically through http://www.regulations.gov using Docket ID Number: EPA-HQ-OPPT-2015-0345.
Ref.
Title 
1.
Statutory Authority
2.
Implementing Regulation
3. 
PRA Consultation Document 
4.
EPA Response to Public Comment 
5.
Public Comment 
6. 
Electronic Reporting Guide  -  Draft of OPPT TSCA Section 12(b) Export Notification Applications User Guide  -  Primary Authorized Official 

References 
Rice, C. (2002). Wage Rates for Economic Analysis of the Toxic Release Inventory
      Program. Washington, D.C.: U.S. EPA, Office of Pollution Prevention and Toxics, Economics and Policy Analysis Branch.

U.S. Bureau of Labor Statistics (2019). Employer Costs for Employee Compensation (ECEC) Supplemental Tables: December 2006 to March 2019, US Bureau of Labor Statistics, September 17, 2019. 

U.S EPA. (2006). Final Economic Analysis of the Amendments to TSCA Section 12(b)
      Export Notification Requirements. Washington, D.C.: Office of Pollution Prevention and Toxics, Economics and Policy Analysis Branch.

U.S. EPA, (2009). ICR Handbook EPA's Guide to Writing Information Collection Requests under the Paperwork Reduction Act of 1995. Revised 10/2009 Washington, D.C.: U.S. EPA, Office of Environmental Information.

U.S. EPA. (2017). Burden and Cost Report for the Final Rule: TSCA Inventory
      Notification Requirements. Docket Number EPA-HQ-OPPT-2016-0426 (August 11, 2017).

U.S. EPA. (2019). Economic Analysis for the Proposed Rule: Procedures for Review of
      CBI Claims for the Identity of Chemicals on the TSCA Inventory (April 2, 2019).

U.S. Office of Personnel Management. (2018). Salary Table 2018- DCB, Washington-Baltimore-Northern Virginia, DC-MD-PA-VA-WV. Retrieved September 18, 2019 from Pay & Leave: Salaries & Wages: https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/pdf/2018/DCB.pdf. 

U.S. Postal Service (2018). Price List. Notice 123. Retrieved September 17, 2019	from:https://pe.usps.com/Archive/PDF/DMMArchive20181105/Notice123.pdf.

