NOTE:  This draft supporting statement for the First Federal Register Notice (August 2018) uses the estimates for the current approved Information Collection (EPA ICR Number 1791.07).  EPA will revise the estimates prior to OMB submission with the Second Federal Register Notice. The public will have a second opportunity to comment at that time.
	
	
                   THE INFORMATION COLLECTION REQUEST (ICR)
                             SUPPORTING STATEMENT
                                       
                    Establishing No-discharge Zones (NDZs)
                     under Clean Water Act §312 (Renewal)
             EPA ICR Number 1791.07, OMB Control Number 2040-0187
                                       
                                       
                                  Prepared by
                                       
                        Environmental Protection Agency
                    Oceans and Coastal Protection Division
                               Washington, D.C.
                                       
                           Published September 2018
                                       
Prepared by Oceans Wetlands and Communities Division of the Office of Wetlands, Oceans, and Watersheds
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
	TABLE OF CONTENTS

Part A Introduction	1
Organization of Information Collection Request Statement	2
Approach Taken in this Information Collection Request Statement	2

CHAPTER I
Chapter I:  Supporting Statement for the Establishment of No-discharge Zones for Discharges Incidental to the Normal Operation of Armed Forces Vessels under CWA Section 312(n)	4

SECTION 1:  Identification of the Information Collection	4
1(a):  Title of the Information Collection	4
1(b):  Short Characterization/Abstract	4

SECTION 2:  Need for and Use of the Collection	5
2(a):  Need/Authority for the Collection	5
2(b):  Practical Utility/Users of the Data	6

SECTION 3:  Non-duplication, Public Notice, Consultations, and Other Collection Criteria	7
3(a):  Non-duplication	7
3(b):  Public Notice Required Prior to ICR Submission to OMB	7
3(c):  Consultations 	8
3(d):  Effects of Less Frequent Collection	8
3(e):  General Guidelines	8
3(f):  Confidentiality	8
3(g):  Sensitive Questions	9

SECTION 4:  The Respondents and the Information Requested	6
4(a):  Respondents/SIC Codes	9
4(b):  Information Requested	9

SECTION 5:  The Information Collected - Agency Activities, Collection Methodology, and Information Management	11
5(a):  Agency Activities	11
5(b):  Collection Methodology and Management	13
5(c):  Small Entity Flexibility	14
5(d):  Collection Schedule	14

SECTION 6:  Estimating the Burden and Costs of the Collection	15
6(a):  Estimating Respondent Burden	15
6(b):  Estimating Respondent Costs	16
6(c):  Estimating Agency (EPA) Burden and Cost	17
6(d):  Bottom Line Burden Hours and Cost Tables	19
6(e):  Burden Statement	19


CHAPTER II
Chapter II:  Supporting Statement for the Establishment of No-discharge Zones for Vessel Sewage under CWA Section 312(f)(3) and 312(f)(4)(A) and (B)	21

SECTION 1:  Identification of the Information Collection	21
1(a):  Title of the Information Collection	21
1(b):  Short Characterization/Abstract	21

SECTION 2:  Need for and Use of the Collection	22
2(a):  Need/Authority for the Collection	22
2(b):  Practical Utility/Users of the Data	24

SECTION 3:  Non-duplication, Public Notice, Consultations, and Other Collection Criteria	25
3(a):  Non-duplication	26
3(b):  Public Notice Required Prior to ICR Submission to OMB	27
3(c):  Consultations (Not applicable)	27
3(d):  Effects of Less Frequent Collection	28
3(e):  General Guidelines	28
3(f):  Confidentiality	28
3(g):  Sensitive Questions	28

SECTION 4:  The Respondents and the Information Requested	28
4(a):  Respondents/SIC Codes	28
4(b):  Information Requested	29

SECTION 5:  The Information Collected - Agency Activities, Collection Methodology, and Information Management	32
5(a):  Agency Activities	32
5(b):  Collection Methodology and Management	34
5(c):  Small Entity Flexibility	34
5(d):  Collection Schedule	34

SECTION 6:  Estimating the Burden and Costs of the Collection	35
6(a):  Estimating Respondent Burden	35
6(b):  Estimating Respondent Costs	37
6(c):  Estimating Agency (EPA) Burden and Cost	40
6(d):  Bottom Line Burden Hours and Cost Tables	43
6(e):  Burden Statement	43



APPENDIX
TABLES -- Attached excel file

Table 1:  Establishment of No-discharge Zone by State Prohibition, Respondent (State Agency) Burden Hours and Costs [40 CFR § 1700.9]

Table 2:  Establishment of No-discharge Zone by EPA Prohibition, Respondent (State Agency) Burden Hours and Costs [40 CFR § 1700.10]

Table 3:  Petition for Review, Respondent (State Agency) Burden Hours and Costs [40 CFR § 1700.12]

Table 4:  Establishment of No-discharge Zone by State Prohibition, Agency (EPA) Burden Hours and Costs [40 CFR § 1700.9]

Table 5:  Establishment of No-discharge Zone by EPA Prohibition, Agency (EPA) Burden Hours and Costs [40 CFR § 1700.10]

Table 6:  Petition for Review, Agency (EPA) Burden Hours and Costs [40 CFR § 1700.12]

Table 7:  Total Estimated Respondent (State Agency) Burden and Cost Summary

Table 8:  Total Estimated Agency (EPA) Burden and Cost Summary

Table 9:  State No-discharge Zone Applications under 40 CFR 140.4(a)

Table 10:  No-discharge Zone Application Review by EPA under 40 CFR 140.4(a)

Table 11:  State No-discharge Zone Applications under 40 CFR 140.4(b)

Table 12:  No-discharge Zone Application Review by EPA under 40 CFR 140.4(b)

Table 13:  State No-discharge Zone Applications under 40 CFR 140.4(c)

Table 14:  No-discharge Zone Application Review by EPA under 40 CFR 140.4(c)

Table 15:  Total Estimated Respondent (State Agency) Burden and Cost Summary for Establishing NDZs for Vessel Sewage

Table 16:  Total Estimated Agency (EPA) Burden and Cost Summary for Establishing NDZs for Vessel Sewage


ATTACHMENTS

Attachment A:  Summary Table for Information Collection under CWA Section 312

ESTABLISHING NO-DISCHARGE ZONES (NDZs) UNDER CLEAN WATER ACT SECTION 312 (Renewal)

ICR # 1791.07	
OMB Control # 2040-0187 

PART A
Introduction
This document responds to the requirements of the Paperwork Reduction Act.  The purposes of the Paperwork Reduction Act of 1980 (P. L. 96-511) and implementing regulations (44 U.S.C. Chapter 35) are to:  1) minimize the Federal paperwork burden for small businesses, state and local governments, and other individuals; 2) minimize the Federal government's cost of collecting, maintaining, using, and disseminating information; and 3) maximize the usefulness of information collected by Federal agencies.  

This application is made by the Oceans and Coastal Protection 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 EPA's responsibilities in the establishment of no-discharge zones (NDZs) for treated or untreated vessel sewage discharges and for discharges incidental to the normal operation of vessels of the Armed Forces under Clean Water Act (CWA) section 312.


Organization of Information Collection Request Statement
This document follows the format for Information Collection Requests (ICR) outlined in the Information Collection Review Handbook (Office of Management and Budget, 1989) and the Instructions for Standard Form 83 (revised version dated September 1983).  No exceptions to this format are taken.  Those topics identified in the Information Collection Review Handbook, which are not relevant to this application, are noted and the basis for this determination stated.  

Approach Taken in this Information Collection Request
This ICR analysis addresses activity associated with two activities, described separately in Chapters 1 and 2.  Chapter 1 discusses information collection needs that result from NDZs that prohibit the discharges (other than sewage) incidental to the normal operation of vessels of the Armed Forces. Chapter 2 discusses information collection needs that result from NDZs that prohibit sewage discharges from vessels.

Some of the information collection and record keeping requirements under this program are "borderline" relative to the requirements to prepare and submit an ICR as defined in the Information Collection Review Handbook.  However, a conservative approach (i.e., overstate potential burden and costs) has been taken throughout this analysis, and all information collection and record keeping requirements associated with establishing NDZs have been described, regardless of the magnitude of the burden.  

This ICR was developed based on program office knowledge of the process, a review of selected NDZ applications similar to those being called for under this ICR, a review of EPA's guidance on establishing NDZs under §312 of the Clean Water Act, a review of the literature on vessel discharge, and interviews with Federal and local officials working on vessel discharge issues.


Chapter I.	Supporting Statement for the Establishment of No-
discharge Zones for Discharges Incidental to the Normal Operation of a vessel of the Armed Forces under CWA Section 312(n) (Renewal).

SECTION 1:  Identification of the Information Collection

1(a):  Title of the Information Collection
Establishing No-Discharge Zones Under Clean Water Act §312 (Renewal)

1(b):  Short Characterization/Abstract
Section 312(n) of the Clean Water Act ("Uniform National Discharge Standards for Vessels of the Armed Forces" or "UNDS") calls for the promulgation of standards and regulations for the control of discharges (other than sewage) incidental to the normal operation of vessels of the Armed Forces.  Once such regulations have been promulgated, states and their political subdivisions will be pre-empted from adopting or enforcing any of their own statutes or regulations regarding these discharges.  However, no-discharge zones ("NDZs") may be established by either state prohibition or EPA prohibition following the procedures published in 40 CFR Part 1700.  The purpose of this chapter of the ICR is to discuss the information that will be required from a state if it decides to establish an NDZ by state prohibition or apply for an NDZ by EPA prohibition, for discharges (other than sewage) incidental to the normal operation of Armed Forces vessels.

UNDS also provides that the Governor of any state may petition EPA and the Secretary of Defense to review any determination or standard promulgated under UNDS if there is significant new information that could reasonably result in a change to the determination or standard.  This chapter of the ICR also discusses the information that will be required from a state if it decides to submit such a petition.
        
SECTION 2:  Need for and Use of the Collection

2(a):  Need/Authority for the Collection1)  NDZ by State Prohibition:  In order for a state to prohibit a discharge incidental to the normal operation of vessels of the Armed Forces , EPA must make the following determinations: I) that adequate facilities for the safe and sanitary removal of the discharge are reasonably available for the waters to which the prohibition would apply; and ii) that the prohibition will not have the effect of discriminating against a vessel of the Armed Forces by reason of the ownership or operation by the Federal Government, or the military function, of the vessel (see CWA section 312(n)(7)(A), 33 USC 1322(n)(7)(A)).  The state must provide EPA enough information to be able to make those determinations.  The specific information being requested is listed in 40 CFR 1700.9(a). 

2)  NDZ by EPA Prohibition:  In order for EPA to prohibit a discharge incidental to the normal operation of an Armed Forces vessel (upon application of a state), EPA must make the following determinations: I) that the protection and enhancement of the quality of the specified waters require a prohibition of the discharge; ii) that adequate facilities for the safe and sanitary removal of the discharge are reasonably available for the waters to which the prohibition would apply; and iii) that the prohibition will not have the effect of discriminating against a vessel of the Armed Forces by reason of the ownership or operation by the Federal Government, or the military function, of the vessel (see CWA section 312(n)(7)(B), 33 USC 1322(n)(7)(B)).  The state must provide EPA enough information to be able to make those determinations.  The specific information being requested is listed in proposed 40 CFR 1700.10(a).

3)  Petition for review:  A state may request that EPA and the Secretary of Defense review i) a determination of whether an UNDS discharge will require a control, or ii) a standard of performance for a control on an UNDS discharge, by submitting a petition which discusses significant new scientific and technical information that could reasonably result in a change to the determination or standard (see CWA section 312(n)(5)(D), 33 USC 1322(n)(5)(D)).  The state must provide EPA this information and a discussion of how the information is relevant to one or more of the seven factors which EPA and the Secretary of Defense are required to consider in making these determinations and standards (see CWA section 312(n)(2)(B), 33 USC 1322(n)(2)(B)).  These requirements are listed in proposed 40 CFR 1700.12 (see Attachment B).


2(b):  Practical Utility/Users of the Data
1)  NDZ by State Prohibition:  The information requested from the state will be used by EPA to make the determinations it is required to make by law in order for a state prohibition to go into effect.
2)  NDZ by EPA Prohibition:  The information requested from the state will be used by EPA to make the determinations it is required to make by law in order to establish an NDZ.
3)  Petition for review:  The information requested from the state will be used by EPA and the Secretary of Defense in order to review any determinations and standards promulgated under UNDS. 

SECTION 3:  Non-duplication, Public Notice, Consultations, and Other Collection Criteria

3(a):  Non-duplication
1)  NDZ by State Prohibition: EPA is responsible for two determinations necessary for an NDZ by state prohibition to be effective under CWA section 312(n)(7)(A).  There is no duplication of effort in the NDZ application process.

2)  NDZ by EPA Prohibition: EPA is responsible for the approval of an NDZ by EPA prohibition under CWA section 312(n)(7)(B).  There is no duplication of effort in the NDZ application process.

3)  Petition for review:  EPA and the Secretary of Defense are responsible for reviewing determinations and standards upon petition by a state.  There is no duplication of effort in the petition for review process.

3(b):  Public Notice Required Prior to ICR Submission to OMB
The announcement of this ICR was made in the Federal Register on 08/19/2015, 80 FR 50276 under EPA-HQ-OW-2008-0150.  It was titled "Agency Information Collection Activities; Proposed Collection; Comment Request; Establishing No-Discharge Zones Under Clean Water Act Section 312 (Renewal); EPA ICR No. 1791.07; OMB Control No. 2040-0187."  EPA received no comments on this notice.

3(c):  Consultations 
Three representatives of state environmental offices were contacted by EPA in December of 2015 and asked to provide comments on EPA's burden estimate (see section 6(e)): Todd Callaghan (Massachusetts Office of Coastal Zone Management, 617-626-1233); Renan Jauregui (California State Water Resources Control Board - Division of Water Quality, 916-341-5505); and Jeff Myers (Director of the New York Bureau of Water Assessment and Management 518- 402-8179).   The three respondents had no comment on 312(n) NDZs.
  
3(d):  Effects of Less Frequent Collection
The information collection requirements related to the NDZ application process described in this chapter of the 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 chapter of the ICR are fully consistent with all guidelines in 5 CFR 1320.5(d)(2).

3(f):  Confidentiality
The information collection activities discussed in this chapter of the ICR do not require the submission of any confidential information.

3(g):  Sensitive Questions
The information collection activities discussed in this chapter of the 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 chapter of the ICR.

4(b):  Information Requested
No-discharge Zone (NDZ) by State Prohibition under Section 1700.9
(I)  Data Items
      ::  Identification of discharge
      ::  Definition of waters in the proposed NDZ
      ::  Determination of necessity for greater environmental protection
      ::  Description of discharge removal facilities
      ::  Information on regulation of this discharge from non-Armed Forces vessels

(ii)  Respondent Activities
For the establishment of an NDZ by State Prohibition, a state must: 
      :: Submit to EPA a certification that it has determined that the protection and enhancement of the quality of the proposed waters require greater environmental protection, and 
      ::  Submit to EPA a request with enough information for EPA to determine that: (1) adequate facilities for the safe and sanitary removal of the discharge are reasonably available for the waters to which the prohibition would apply; and (2) the prohibition will not have the effect of discriminating against vessels of the Armed Forces by reason of the ownership or operation by the Federal Government, or the military function, of the vessel.

No-discharge Zone (NDZ) by EPA Prohibition under Section 1700.10
(I)  Data Items
      ::  Identification of discharge
      ::  Definition of waters in proposed NDZ
      ::  Technical analysis showing why protection requires a prohibition of the discharge
      ::  Description of discharge removal facilities
      ::  Information on regulation of this discharge from non-Armed Forces vessels

(ii)  Respondent Activities
For the establishment of an NDZ by EPA Prohibition, a state must:
      ::  Submit an application to EPA with enough information for EPA to determine that: 
        (1) 	the protection and enhancement of the quality of the proposed waters require a prohibition of the discharge; 
        (2) 	adequate facilities for the safe and sanitary removal of the discharge are reasonably available for the waters to which the prohibition would apply; and (3) 	the prohibition will not have the effect of discriminating against vessels of the Armed Forces by reason of the ownership or operation by the Federal Government, or the military function, of the vessel.

Petition for Review under Sections 1700.11 - 1700.13
(I)  Data Items
      ::  Identification of discharge or standard
      ::  Scientific and technical information on which petition is based
      ::  An explanation of why the state believes that consideration of the information provided should result in a change to the determination or standard on a nationwide basis, and an explanation of how the technical information provided is relevant to one or more of the seven factors considered in making the original determination or standard as required by the statute (CWA 312(n)(2)(B))

(ii)  Respondent Activities
If a state believes there is significant new information that could reasonably result in a change to a determination of whether a particular discharge will require a marine pollution control device, or to a Federal standard of performance for a Marine Pollution Control Device, it may submit a petition requesting that the Secretary of Defense and EPA review the determination or standard.

SECTION 5:  The Information Collected -- Agency Activities, Collection Methodology and Information Management

5(a):  Agency Activities
No-discharge Zone (NDZ) by State Prohibition under Section 1700.9
Agency activities associated with a request by a state to establish an NDZ by state Prohibition consist of the following:
      ::  Clarify any questions from state applicants
      ::  Review the information in the request and determine whether: 
        (1) 	adequate facilities for the safe and sanitary removal of the discharge are reasonably available for the waters to which the prohibition would apply; and 
        (2)   the prohibition will not have the effect of discriminating against vessels of the Armed Forces by reason of the ownership or operation by the Federal Government, or the military function, of the vessel
      ::  Notify the state in writing of the above determinations
      ::  Copy, store, file and maintain the state's request and EPA's response letter
      
No-discharge Zone (NDZ) by EPA Prohibition under Section 1700.10
Agency activities associated with an application from a state to establish an NDZ by EPA Prohibition consist of the following:
      ::  Clarify any questions from state applicants
      ::  Review the information in the application and determine whether: 
the protection and enhancement of the quality of the proposed waters require a prohibition of the discharge; 
adequate facilities for the safe and sanitary removal of the discharge are reasonably available for the waters to which the prohibition would apply; and 
the prohibition will have the effect of discriminating against Armed Forces vessels by reason of the ownership or operation by the Federal Government, or the military function, of the vessel.
      ::  Notify the state in writing whether the application for the NDZ was approved
      ::  If the application is approved, publish notice of proposed rulemaking in the Federal Register, receive and review public comments, then issue a final determination taking into account any comments submitted
      ::  Copy, store, file and maintain the state's request and EPA's response letter

Petition for Review under Sections 1700.11 - 1700.13
Agency activities (in conjunction with the Secretary of Defense) associated with an application from a state to review a determination or standard consist of the following:
      ::  Clarify any questions from state applicants
      ::  Review petition and decide whether the requested change will be made within two years after receiving the complete petition
      ::  If the change requested in the petition is approved, publish notice of proposed rulemaking in the Federal Register, receive and review public comments, then issue a final determination taking into account any comments submitted
      ::  If the change requested in the petition is not approved, notify the state of the reasons in writing
      ::  Copy, store, file and maintain the state's request and EPA's response letter

5(b):  Collection Methodology and Management
The information described in this chapter of the 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 when necessary for rulemaking through the Federal Register.

5(c):  Small Entity Flexibility
The only possible respondents to the activities described in this chapter of the ICR are states.  Therefore, there are no small entities affected.

5(d):  Collection Schedule:
No-discharge Zone (NDZ) by State Prohibition under Section 1700.9
EPA expects very few requests for NDZs by state prohibition because the discharges from vessels of the Armed Forces which will be regulated by this rulemaking are not currently regulated by most states.  This is not a reporting requirement, nor are there any deadlines associated with these requests.  If a state determines that it would like to establish an NDZ by state prohibition, it is required by statute to secure two determinations by EPA, and this chapter of the ICR specifies the information EPA requires in order to make those determinations.  EPA is estimating 1 request in the 3 years covered in this ICR.

No-discharge Zone (NDZ) by EPA Prohibition under Section 1700.10
EPA expects very few applications for NDZs by EPA prohibition because the discharges from vessels of the Armed Forces which will be regulated by this rulemaking are not currently regulated by most states and because this process is more complex than establishing an NDZ by state prohibition.  This is not a reporting requirement, nor are there any deadlines associated with these requests.  If a state determines that it would like EPA to establish an NDZ by EPA prohibition, EPA is required by statute to make three determinations before doing so, and this chapter of the ICR specifies the information EPA requires in order to make those determinations.  EPA is estimating one application in the 3 years covered by this ICR.

Petition for Review under Sections 1700.11 - 1700.13
EPA expects few petitions for review of determinations of whether a discharge incidental to the normal operation of an Armed Forces vessel requires control, or of standards of performance for Marine Pollution Control Devices.  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 chapter of the ICR specifies the information EPA requires in order to consider such a petition.  EPA is estimating one petition per year.

SECTION 6:  Estimating the Burden and Cost of the Collection
Burden and cost estimates are in Tables 1 to 8, 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 3 are primarily based on data and assumptions presented in EPA's 2005 ICR analysis for Clean Water Act section 312 mandates.  Where necessary, the level-of-effort determinations in the 2008 ICR were adjusted to correspond to the specific new information collection requirements resulting from the requirements of §§ 1700.9, 1700.10, and 1700.12.  All of the level-of-effort estimates presented in Tables 1 to 3 have been reviewed for accuracy and reasonableness by EPA.

6(b): Estimating Respondent Costs
(I) Estimating Labor Costs
All labor cost-rate data used in Tables 1 to 3 were obtained from the U.S. Bureau of Labor Statistics (BLS) Compensation Cost Trends webpage published for June of 2015 (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, 2015) contains employee compensation data for state and local government employers.  The labor rates for respondent management, technical, and clerical personnel in Tables 1 to 3 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
 $         53.49 
Professional and related
Technical
 $         52.51 
Office and administrative support
Administrative
 $         30.78 




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 chapter of the ICR.

Non labor O&M includes only costs for photocopying, postage, telephone charges, and similar expenses.  Item 1b of ICR Tables 1 to 3, Clarify Questions with EPA, is assumed to be exclusively telephone and facsimile machine expenses.  Other O&M expenses listed in Tables 1 to 3 (i.e., under Items 3, 5, and 6) are predominantly photocopy, postage, and related paperwork distribution expenses.

6(c): Estimating Agency (EPA) Burden and Cost
EPA labor burden hours listed in Tables 4 to 6 are primarily based on data and assumptions presented in EPA's 2008 ICR analysis for Clean Water Act section 312 mandates [specifically, information collection effort under for CWA sections 312(f)(3), (f)(4)(A) and (f)(4)(B)].  Where necessary, the level-of-effort determinations in the 2008 ICR were adjusted to correspond to the specific new information collection requirements resulting from the requirements of §§1700.9, 1700.10, and 1700.12.  All of the level-of-effort estimations presented in Tables 4 to 6 have been reviewed for accuracy and reasonableness by EPA.

Agency labor costs data associated with this chapter of the ICR were obtained using pay scale rates for GS-9, GS-12, and GS-14 employees.  The 2015General Schedule Locality Pay Tables can be found at https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/15Tables/html/DCB.aspx .  The salary scales contained in the table were effective January 2015.

Step 1 of the GS salaries was used in this chapter of 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 (12/96 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 4 to 6 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
Management
GS-14, $107,325
/ 2,080
x 1.6
 $                   82.56 
Technical
GS-12, $76,378
/ 2,080
x 1.6
 $                   58.75 
Administrative
GS-9, $52,668
/ 2,080
x 1.6
 $                   40.51 



6(d):  Bottom Line Burden Hours and Cost Tables
Total estimated burdens associated with the requirements under §§ 1700.9, §1700.10, and §1700.12 to the State Agency respondents and to EPA are summarized in Tables 7 and 8, respectively.  The data contained in both of these tables are transcribed from Tables 1 to 6.  

Bottom line Respondent (State Agency) Estimated Burden and Cost Summary for 312(n) (from table 7)




                        Number of Respondents Per Year

                             Number of Activities
                                   Per Year

                             Total Hours Per Year

                         Total Labor Cost Per Year ($)

                            Total Cost Per Year ($)

                        Total Annual O&M Costs ($)
                                       


TOTAL

                                       
                                     0.99
                                     0.99
                                     138.5
                                       
                                   $6,874.94
                                       

                                   $7023.44
                                       
                                    $148.50

Bottom line EPA Estimated Burden and Cost Summary for 312(n) (from table 8)




                        Number of Respondents Per Year

                             Number of Activities
                                   Per Year

                             Total Hours Per Year

                         Total Labor Cost Per Year ($)

                            Total Cost Per Year ($)

                        Total Annual O&M Costs ($)
                                       


TOTAL

                                     0.99
                                     0.99
                                    30.855
                                       
                                   $1,879.89
                                   $1,939.29
                                    $59.40










6(e):  Burden Statement
The annual public reporting and recordkeeping burden for this collection of information is estimated to average 138 hours per response (138 hours/1.) (From Table 7, rounded off.) The combined annual public reporting and recordkeeping burden for this entire Information Collection Request is estimated to average 155 hours per response (1083/7). (From Table 17, rounded off.)  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 No. EPA-HQ-OW-2008-0150,, 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) 566-2426.  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 EPA-HQ-OW-2008-0150, and OMB control number 2040-0187 in any correspondence.  

Chapter II.  Supporting Statement for the Establishment of No-discharge Zones for Vessel Sewage under CWA Sections 312(f)(3) and 312(f)(4)(A) and 312(f)(4)(B)

SECTION 1:  Identification of the Information Collection

1(a):  Title of the Information Collection
Establishing No-Discharge Zones Under Clean Water Act §312 (Renewal)

1(b):  	Short Characterization/Abstract
EPA requires the collection of information by states interested in designating state waters under the Clean Water Act §312(f) as areas prohibiting the discharge of treated or untreated sewage from vessels.  The CWA mandates under §312 (f)(3) and (f)(4)(A) and (f)(4)(B), that EPA review state requests for prohibiting the discharge of vessel sewage into waters identified by the state.  Under §312(f)(3), EPA makes a determination based on the state application whether there are adequate, safe, and reasonably available pump-out facilities for such waters to which such a prohibition would apply.  Under §312(f)(4)(A), a state can petition EPA to designate, by regulation, its waters as an NDZ for vessel sewage if the protection of the waters require a complete prohibition of the discharge of vessel sewage.   Finally, under §312(f)(4)(B), upon application by a state, EPA may, by regulation, establish a drinking water intake zone in any waters within that state and prohibit the discharge of sewage from vessels within that zone.  For EPA to make the approvals and designations related to establishing No-discharge Zones (NDZs), states are required under the regulations 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. 

SECTION 2:  Need for and Use of the Collection
This section describes the statutory and regulatory authorities associated with this information collection.  It also summarizes the use of the information designating NDZs.

2(a): Need/Authority for the Collection
The need for EPA to obtain information to establish NDZs stems from statutory authority and subsequent regulations.  The establishment of NDZs provide state and local governments with a tool to protect waters from treated or untreated vessel sewage discharges, which is one of many types of water pollution.  A summary of the statutory authority and subsequent regulations, follows.  A copy of the relevant sections of the statute is included in Attachment C and the relevant sections of the implementing regulations are included in Attachment D.

1)  Statutory Authority:  Section 312(f) (33 U.S.C. 1322) of the Clean Water Act (CWA) provides states with the opportunity to apply to EPA for a complete prohibition of vessel sewage (treated and untreated) in all or some of a state's waters.  The area designated as no discharge, if approved by EPA, is called an NDZ.  EPA has delegated its authority to establish NDZs under §§312(f)(3), (f)(4)(A), and (f)(4)(B) to EPA Regional Administrators (Administrator).  There are three parts of CWA §312 that are related to the establishment of NDZs.  They are:

      §312(f)(3).  After the effective date of the initial standards and regulations promulgated under this section, if any State determines that the protection and enhancement of the quality of some or all of the waters within such States require greater environmental protection, such State may completely prohibit the discharge from all vessels of any sewage, whether treated or not, into such waters, except that no such prohibition shall apply until the Administrator determines that adequate facilities for the safe and sanitary removal and treatment of sewage from all vessels are reasonably available for such water to which such prohibition would apply.  Upon application of the State, the Administrator shall make such determination within 90 days of the date of such application.

      §312(f)(4)(A).  If the Administrator determines upon application by a State that the protection and enhancement of the quality of specified waters within such State require such a prohibition, the Administrator shall by regulation completely prohibit the discharge from a vessel of any sewage (whether treated or not) into such waters.

      §312(f)(4)(B).  Upon application by a State, the Administrator shall, by regulation, establish a drinking water intake zone in any waters within such State and prohibit the discharge of sewage from vessels within that zone.

Most states which have designated and gained approval of NDZs have done so under §312(f)(3).  This method requires the state to demonstrate a need for the discharge prohibition and the existence of adequate sanitary waste reception facilities (i.e., pump-out facilities).  The relevant regulations promulgated under CWA §312 are described in the following section.
                                    
2)  Regulatory Authority:  CWA §312(b) authorizes the EPA to develop regulations on the standard of performance for marine sanitation devices (MSDs) (see 40 CFR Part 140.3).  The standard only applies to vessels equipped with installed toilets.  In most cases, the statute and regulations require the use of marine sanitation device meeting specified effluent levels.  

As provided for in CWA §312, the EPA regulations also provide states with the opportunity to apply for a no-discharge zone, or a complete prohibition of vessel sewage (treated and untreated) in all or some of a state's waters.  The regulations are found at 40 CFR 140.4.

Under 40 CFR 140.4(a), the Administrator must reviews state applications for prohibiting the discharge of vessel sewage into waters identified by the state and determines from the state application whether there are adequate, safe and reasonably available pump-out facilities for such waters to which such a prohibition would apply [§312(f)(3)].

Under 40 CFR 140.4(b), states may make a written application to EPA to designate an NDZ by regulation where protection and enhancement of the specified waters is desired [§312(f)(4)(A)]. 

Under 40 CFR 140.4(c), states may make written application to EPA to designate an NDZ in waters which are used for drinking purposes [§312(f)(4)(B)]. 

2(b):  Practical Utility/Users of the Data
The state environmental agency uses the information collected under this chapter of the ICR to prepare the application to be submitted to the EPA Regional Administrator.  An NDZ application is submitted by a state environmental agency to the EPA Regional Administrator.  Depending on the type of NDZ sought by the state, EPA uses the information to assist the state NDZ designation.  EPA Headquarters and EPA Regional Offices use the information collected under this ICR to carry out their responsibilities under the CWA with respect to reviewing applications for proposed NDZs and granting approval of qualifying NDZs. 

(1) NDZ Designation under 312(f)(3) and 40 CFR 140(a):  The information requested from the state will be used by EPA to make the determination of the availability of pump-out facilities in the area supporting a state's potential NDZ for vessel sewage designation.

(2) NDZ Designation under 312(f)(4)(A) and 40 CFR 140(b):  The information requested by EPA from the state will be used by EPA to designate the particular waters as an NDZ for vessel sewage.  This type of designation is sought when the state believes and EPA concludes that the waters require additional protection. 

(3) NDZ Designation under 312(f)(4)(B) and 40 CFR 140(c):  The information requested by EPA from the state will be used by EPA to designate the particular waters as an NDZ for vessel sewage because the waters will be used for drinking purposes.

SECTION 3: Non-duplication, Public Notice, Consultations, and Other Collection Criteria
This section describes EPA's efforts to ensure that the information collected for the establishment of NDZs is not duplicative, appropriate consultations have occurred, the public has had an opportunity to comment on the proposed requirements, and other collection criteria.


3(a):  Non-duplication
No similar information is currently available in the form required for EPA to make a decision on designating waters as NDZs.  Each application for an NDZ by definition needs to be site-specific.  

NDZ Designation under 40 CFR 140.4(a)
If a state applies for an NDZ under 40 CFR 140.4(a), EPA is responsible for determining if there are adequate pump-out facilities.  Upon a favorable determination by EPA, the state can designate its waters as an NDZ.  There is no duplication of effort in the NDZ application process.

NDZ Designation under 40 CFR 140.4(b)
If a state applies to EPA for the designation of its waters as an NDZ under 40 CFR 140.4(b) because protection and enhancement of the waters is desired, EPA can designate the waters as an NDZ by regulation.  There is no duplication of effort in the NDZ application process.

3) NDZ Designation under 40 CFR 140.4(c)
If a state applies to EPA for the designation of its waters as an NDZ under 40 CFR 140.4(c) because of the waters use as a drinking water intake zone, EPA can designate the waters as an NDZ by regulation.  

There is no duplication of effort in the NDZ application process.  The application can be prepared using existing sources of data.  EPA has developed a guidance document to help states prepare their NDZ for vessel sewage applications, and it includes suggestions on where to find the information required.  The document is titled "Protecting Coastal Waters from Vessel and Marina Discharges:  A Guide for State and Local Officials" (EPA 842-B-94-004).  Only when secondary sources of information have been exhausted will primary data collection be required.

3(b): Public Notice Required Prior to ICR Submission to OMB
The announcement of this ICR was made in the Federal Register on 08/19/2015, 80 FR 50276 under EPA-HQ-OW-2008-0150.  It was titled "Agency Information Collection Activities; Proposed Collection; Comment Request; Establishing No-Discharge Zones Under Clean Water Act Section 312 (Renewal); EPA ICR No. 1791.07; OMB Control No. 2040-0187."  EPA received no comments on this notice.

3(c): Consultations
Three representatives of state environmental offices were contacted by EPA in December of 2015 and asked to provide comments on EPA's burden estimate (see section 6(e)): Todd Callaghan (Massachusetts Office of Coastal Zone Management, 617-626-1233); Renan Jauregui (California State Water Resources Control Board - Division of Water Quality, 916-341-5505); and Jeff Myers (Director of the New York Bureau of Water Assessment and Management 518- 402-8179).   Two commenters felt the estimates were reasonable.  The other felt the estimates were too low and provided specific markups to the estimates.  EPA made changes in this assessment to reflect these comments. 


3(d): Effects of Less Frequent Collection
The information collection requirements related to the NDZ application process 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 chapter of the ICR are fully consistent with all guidelines in 5 CFR 1320.5(d)(2).

3(f):  Confidentiality
The information collection activities discussed in this chapter of the ICR do not require the submission of any confidential information.

3(g):  Sensitive Questions
The information collection activities discussed in this chapter of the ICR do not require the submission of any sensitive information.

SECTION 4:  The Respondents and the Information Requested
This section provides a description of the information collection requirements affiliated with the NDZ for vessel sewage application process.  Although the three types of NDZ applications under 40 CFR 140.4 (a-c) have different information collection requirements, the application development and submittal process is similar. 

4(a):  Respondents/SIC Codes
Under Section 312(f)(3) and (f)(4)(A) and (B) of the CWA, states have the authority to designate an NDZ for vessel sewage with EPA's concurrence or have EPA designate portions of their waters as an NDZ for vessel sewage.  State Governments (SIC 9511, NAICS code 924110) are the only respondents to the data collection activities described in this chapter of the ICR.

4(b):  Information Requested
NDZ Designation under 40 CFR 140.4(a)
(I)  Data Items
There are seven application and information requirements listed in 40 CFR §140.4(a).  The information required includes:
       	A certification that the protection and enhancement of the waters described in the petition require greater environmental protection than the applicable Federal standard;
            2.	A map showing the location of commercial and recreational pump-out facilities;
            3.	A description of the location of pump-out facilities within waters designated for no discharge;
            4.	The general schedule of operating hours of the pump-out facilities;
            5.	The draft requirements on vessels that may be excluded because of insufficient water depth adjacent to the facility;
            6.	Information indicating that treatment of wastes from such pump-out facilities is in conformance with Federal law; and
            7.	Information on vessel population and vessel usage of the subject waters.

   Respondent Activities
	1.	An NDZ application under 40 CFR 140.4(a) is prepared by the state environmental agency.
 The state environmental agency, in turn, submits the application to the EPA Regional office. EPA makes the determination of available pump-out facilities.
 Upon a finding of adequate or inadequate pump-out facilities availability, EPA issues a Notice of Determination stating such.
 A state then may designate the particular waters as an NDZ depending on EPA's finding.

NDZ Designation under 40 CFR 140.4 (b)
If a state applies to EPA for the designation of its waters as an NDZ under 40 CFR 140.4(b) because the protection or enhancement of the specified waters is desired, EPA can designate the waters as an NDZ by regulation.

(I)  Data Items
The regulations at 40 CFR 140.4(b) require the following information to be submitted for the establishment of an NDZ for waters of particular environmental importance:
      1.	Specification of the waters or portions thereof for which a complete prohibition is desired;
      2.	Identification of water recreational areas, and/or;
      3.	Identification of aquatic sanctuaries, and/or;
      4.	Identification of identifiable fish-spawning and nursery areas, and/or;
      5.	Identification of areas of intensive boating activities; and
             A map of the waters to be designated as an NDZ.
      
(ii)  Respondent Activities
 An application submitted under 40 CFR 140.4(b) is prepared by the state environmental agency.  
 The state environmental agency, in turn, submits the application to EPA for designation of an NDZ.
 The application development process includes five types of information collection activities.
 EPA, after evaluation of the application, can designate by regulation an NDZ for the particular waters.
 EPA can modify the size of the NDZ at its discretion.

NDZ Designation under 40 CFR 140.4(c) 
If a state applies to EPA for the designation of its waters as an NDZ under 40 CFR 140.4(c) because of the waters use as a drinking water intake zone, EPA can designate the waters as an NDZ by regulation.

(I)  Data Items
According to 40 CFR 140.4(c), to establish an NDZ under these provisions, the following information is required in the application:
      1.	Specification and description of the location of the drinking water supply intake(s) and the community served by the intakes;
      2.	Specification and description of the waters for which a complete prohibition is desired;
      3.	A map of the waters to be designated as a drinking water intake zone; and
      4.	A statement justifying the size of the requested drinking water intake zone.

(ii)  Respondent Activities
       An application submitted under 40 CFR 140.4(c) is prepared by the state environmental agency.
       The state environmental agency, in turn, submits the application to the EPA Regional office for approval of an NDZ designation.
       The application development process includes four types of information collection activities.
       EPA, after evaluation of the application, can designate by regulation an NDZ for the particular waters. 
       EPA can modify the size of the NDZ at its own discretion.

SECTION 5:  The Information Collected - Agency Activities, Collection Methodology, and Information Management

This section describes Agency activities involved in implementing the process for the NDZ for vessel sewage designations.

5(a):  Agency Activities
NDZ Designation under 40 CFR 140.4(a)
Agency activities associated with a request by a state to establish an NDZ for vessel sewage under 40 CFR 140.4(a) consists of the following:
 Clarify any questions from state applicants;
 Review the information in the request and determine whether:  adequate facilities for the safe and sanitary removal of the discharges are reasonably available for the waters to which the prohibition would apply;
 Notify the state in writing of the above determinations; and
 Copy, store, file, and maintain the state's request and EPA's response letter.

NDZ Designation under 40 CFR 140.4 (b)
Agency activities associated with a request by a state to establish an NDZ for vessel sewage under 40 CFR 140.4 (b) consists of the following:

            Clarify any questions from state applicants;
      2.	Review the information in the request and determine whether: the water for which the prohibition would apply are of environmental importance;
      3.	Notify the state in writing of the above determinations;
      4.	If the Administrator makes a finding that the waters listed in the application require prohibition, publish notice of such findings together with a notice of proposed rulemaking;
      5.	Copy, store, file, and maintain the state's request and EPA's response letter.

NDZ Designation under 40 CFR 140.4(c)  
Agency activities associated with a request by a state to establish an NDZ for vessel sewage under 40 CFR 140.4(c) consist of the following:
      1.		Clarify any questions from state applicants;
      2.	Review the information in the request and determine whether: the water for which the prohibition would apply are suitable for drinking purposes;
      3.		Notify the state in writing of the above determinations;
      4.	If the Administrator makes a finding that the waters listed in the application require prohibition, publish notice of such findings together with a notice of proposed rulemaking;
      5.	Copy, store, file, and maintain the state's request and EPA's response letter.
      
5(b):  Collection Methodology and Management
The information collection associated with this chapter of the ICR will be given to EPA by states in the form of a request letter and/or application.  EPA will ensure the accuracy and completeness of this information by reviewing each submittal.  This information will be made available to the public for rulemaking through the Federal Register.

5(c):  Small Entity Flexibility
The only respondents to the activities described in this chapter of the ICR are states.  Therefore, there are no small entities affected.

5(d):  Collection Schedule
NDZ Designation under 40 CFR 140.4(a)
There are eighty-five NDZs designated under this provision.  NDZ designations under this provision have been established significantly more frequently than under the other two provisions.  EPA has to determine if there are adequate pump-out facilities available.  The designation does not require any additional information collection other than the one-time application.  

NDZ Designation under 40 CFR 140.4(b)
There are three NDZs designated under this provision.  A state applies for the NDZ and EPA determines if such an NDZ is warranted based on the environmental importance of the waters.  Upon a favorable determination, EPA establishes the NDZ by regulation.  The designation does not require any additional information collection other than the one-time application. 

NDZ Designation under 40 CFR 140.4(c)
There is one NDZ designated under this provision.  A state applies for the NDZ and EPA determines if the waters are for drinking purposes and the size of the NDZ.  Upon a favorable determination, EPA establishes the NDZ by regulation.  NDZs established under this provision (like those established under the other provisions) do not require any additional information collection other than the one-time application.

SECTION 6:  Estimating the Burden and Cost of the Collection

Burden and Costs associated with the information collection activities described in this chapter are in Tables 9-16 of the Appendix.  The text below explains how the burden and costs estimates were derived.

6(a):  Estimating Respondent burden  
Respondent labor burden hours listed in Tables 9, 11, and 13 were based on EPA's experience in assisting states in establishing NDZs for vessel sewage in their waters.  These burden hours were also derived using information collection activities gathered for previous ICRs that have similar information collection activities.  The level-of-effort estimates presented for these tables were reviewed by 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.  

Burden hours by task for each of the three application types were estimated based on the amount of time needed to complete the "model" application in the guidance document, and estimates of the time needed to complete the previously submitted applications reviewed as part of the development of the ICR.  Each application is assumed to be reviewed twice by the state government and by EPA.  In other words, EPA is assumed to request additional information or to deny the application, thus triggering a second round of review.  This is a conservative estimate and likely overstates the associated costs.

Listed below are some of the major activities associated with the designation of NDZ for vessel sewage described in this chapter of the ICR for which burden hours have been categorized:
 The application preparation process includes the following type of personnel by stage of the process
Read regulation and review guidance document:  management and technical
Information gathering:  technical
Preparing application:  management, technical, and clerical
 The application review process includes management and technical personnel.
 Information storage involves clerical time for state personnel.

NDZ Designation under 40 CFR 140.4(a)
Applications are submitted to EPA by states.  Based on EPA forecasts, five applications per year were assumed.  The average application was assumed to be about 15 pages in length.  This is based on the average number of pages in previously submitted applications and assumes some optional information is provided in the application.

NDZ Designation under 40 CFR 140.4(b)
Applications are submitted to EPA by states.  Based on past experience, EPA estimates that one application will be received every three years.  The average application was assumed to be about 50 pages in length.  This is based on the number of pages in a previously submitted application which provides the information required for this type of NDZ application.

NDZ Designation under 40 CFR 140.4(c)
Applications are also submitted to EPA by states.  EPA estimates that there will be one application each year.  The application was assumed to be about 15 pages in length.  This is based on the type of information requested and examples of this information included in previously submitted NDZ applications.
      
6(b):  Estimating Respondent Costs
(I) Estimating Labor Costs
All labor cost-rate data used in Tables 9, 11, and 13 were obtained from the U.S. Bureau of Labor Statistics (BLS) Compensation Cost Trends homepage (http://www.bls.gov/ncs/ect/).  The BLS homepage has a variety of links to publications and reports related to labor costs by category.  The BLS report used in this ICR was titled Employer Costs for Employee Compensation, available on-line at:  http://www.bls.gov/news.release/ecec.htm 

Table 4 of the BLS report (http://www.bls.gov/news.release/ecec.t04.htm   June 2015) contains employee compensation data for state and local government employers.  The labor rates for respondent management, technical, and clerical personnel in Tables 9, 11, and 13 of the ICR were obtained from the "State and local government workers, by 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
 $         53.49 
Professional and related
Technical
 $         52.51 
Office and administrative support
Administrative
 $         30.78 

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 benefits.  Only fully burdened BLS labor cost data (i.e., total compensation) are used in the analysis described in this chapter of the ICR.

The unit costs were multiplied by the appropriate units of activity (e.g., burden hours) to estimate costs per application for states seeking an NDZ for vessel sewage.  Annualized costs were based on the number of applications expected per year.  

(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 chapter of the ICR.

Non labor O&M includes only costs for photocopying, postage, telephone charges, and similar expenses.  Item 1b of ICR Tables 9, 11, and 13, Clarify Questions with EPA, is assumed to be exclusively telephone and facsimile machine expenses.  Other O&M expenses listed in Tables 9, 11, and 13 are predominantly photocopy, postage, and related paperwork distribution expenses.

6(c):  Estimating Agency (EPA) Burden and Cost
Agency Burden
EPA labor burden hours listed in Tables 10, 12, and 14 are primarily based on EPA's experience in dealing with states in establishing NDZs for vessel sewage.  Also data from the 2003 ICR addressing NDZs for vessel sewage were evaluated.  Where necessary, the level-of-effort determinations and cost estimates in the 2003 ICR were adjusted to correspond to the new cost information.  All of the level-of-effort estimations presented in Tables 10, 12 and 14 have been reviewed for accuracy and reasonableness by EPA staff and managers, all of whom have had considerable project-management experience doing information-collection work similar to that required by 40 CFR 140.4 (a-c).

Listed below are some of the major activities associated with the designation of NDZ for vessel sewage described in this chapter of the ICR for which burden hours have been categorized:
 Questions from the applicant's technical personnel are answered by EPA technical personnel.
 The application review process includes management and technical personnel.
 The Federal Register Notice process includes the following type of personnel:
      management, technical, and clerical.
 Information storage involves clerical time

The estimation of EPA's burden hours depends on the type of NDZ for vessel sewage that the state is seeking.

NDZ Designation under 40 CFR 140.4(a)
EPA reviews application by states focusing on the availability of pump-out facilities.  Based on EPA forecasts, five applications per year were assumed.  The average application was assumed to be about 15 pages in length.  EPA discloses its determination in the Federal Register by Notice of Determination.

NDZ Designation under 40 CFR 140.4(b)
EPA reviews application from states focusing on the preservation of environmentally important habitats.  Based on past experience, EPA estimates that one application will be received every three years.  The average application was assumed to be about 50 pages in length.  EPA discloses its determination in the Federal Register either by rule or by Notice of Determination.

NDZ Designation under 40 CFR 140.4(c)
EPA reviews application from states focusing on the use of the waters for drinking purposes.  EPA estimates that there will be one application each year.  The application was assumed to be about 15 pages in length.  EPA discloses its determination in the Federal Register either by rule or by Notice of Determination.


Agency Costs
Agency labor costs data associated with this chapter of the 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/salaries-wages/salary-tables/15Tables/html/DCB.aspx .  The salary scales contained in the table were effective January 2015.  Step 1 of the GS salaries was used in this chapter of the ICR analysis.  The annual GS salary rates were converted to hourly rates according to instructions in Section 6(c) if the EPA ICR Handbook (12/96 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 10, 12, and 14 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
Management
GS-14, $107,325
/ 2,080
x 1.6
 $                   82.56 
Technical
GS-12, $76,378
/ 2,080
x 1.6
 $                   58.75 
Administrative
GS-9, $52,668
/ 2,080
x 1.6
 $                   40.51 





The unit costs were multiplied by the appropriate units of activity (e.g., burden hours) to estimate costs per application for EPA.  Annualized costs were based on the number of applications expected per year.  	

6(d):  Bottom Line Burden Hours and Cost Tables
Total estimated burdens of associated with 40 CFR 140.4(a-c) to the State Agency respondents and to EPA are summarized in Tables 15 and 16, respectively.  

Estimated Respondent (State Agency) Burden and Cost Summary for Establishing NDZs for Vessel Sewage under CWA 312(f) (from table 15)

                                       
                             Number of Respondents
                                       
                             Number of Activities
                                   Per Year
                                       
                        Total Number of Hours Per Year
                                       
                        Total Annual O&M Costs ($)
                                       
                         Total Labor Cost Per Year ($)
                                       
                            Total Cost Per Year ($)
                                     5.66
                                     5.66
                                    944.83
                                    $849.00
                                  $47,065.13
                                       
                                  $47,914.13
                                       


Estimated Agency (EPA) Burden and Cost Summary for Establishing NDZs for Vessel Sewage under CWA 312(f) (from table 16)

                                       
                             Number of Respondents
                                       
                             Number of Activities
                                   Per Year
                                       
                        Total Number of Hours Per Year
                                       
                        Total Annual O&M Costs ($)
                                       
                         Total Labor Cost Per Year ($)
                                       
                                  Total Cost
                                 Per Year ($)
                                     5.66
                                     5.66
                                    187.70
                                    $339.60
                                  $11,425.27
                                  $11,764.87

6(e):  Burden Statement
The annual public reporting and recordkeeping burden for this collection of information is estimated to average 158 hours per response (945 hours/6). (From Table 15, rounded off.) The combined annual public reporting and recordkeeping burden for this entire Information Collection Request is estimated to average 155 hours per response (1,083 hours/7). (From Table 17, rounded off.) 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 No. EPA-HQ-OW-2008-0150,, 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) 566-2426.  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 at oira_submission@omb.eop.gov, Attention: Desk Officer for EPA.  Please include the EPA Docket ID  EPA-HQ-OW-2008-0150, and OMB control number 2040-0187 in any correspondence. 

                                      APPENDIX
See the accompanying Excel workbook with the referenced tables.






































































































	
Attachment A
	
	Summary Tables for Information Collection under CWA Section 312		

Table 17: 	Total CWA Section 312 Estimated Respondent (State Agency) Burden and Cost Summary


*  This data is taken from Tables 7 and 15 of this ICR




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

Armed Forces Vessels; Table 7
                                                                           0.99
                                                                           0.99
                                                                       138.5175
                                                                          148.5
         6,874.94 
                7,023.44 

Vessel Sewage; Table 15
                                                                           5.66
                                                                           5.66
           944.83 
                    849.00 
       47,065.13 
              47,914.13 

Total
                                                                           6.65
                                                                           6.65
        1,083.34 
                    997.50 
      53,940.08 
              54,937.58 
































Table18:	Total CWA Section 312 Estimated Agency (EPA) Burden and Cost Summary

*  This data is taken from Tables 8 and 16 of this ICR






 
Number of Respondents Per Year
Number of Activities Per Year
Total Number of Hours Per Year
Total Annual O&M Costs ($)
Total Labor Cost Per Year ($)
Total Cost Per Year ($)
Armed Forces Vessels; Table 8
                                                                           0.99
                                                                           0.99
                                                                         30.855
                                                                          59.40
         1,879.89 
                1,939.29 
Vessel Sewage; Table 16
                                                                           5.66
                                                                           5.66
           187.70 
                    339.60 
       11,425.27 
              11,764.87 
Total
                                                                           6.65
                                                                           6.65
                                                                         218.55
                                                                            399
      13,305.16 
              13,704.16 























