SUPPORTING STATEMENT

Stormwater Management Including Discharges from Newly Developed and
Redeveloped Sites

U.S. Environmental Protection Agency

Office of Water

Office of Science and Technology

 October 26, 2009

CONTENTS

Page

  TOC \o "1-4" \h \z \u    HYPERLINK \l "_Toc243712057"  Part A of the
Supporting Statement	  PAGEREF _Toc243712057 \h  2  

  HYPERLINK \l "_Toc243712058"  1.	Identification of the Information
Collection	  PAGEREF _Toc243712058 \h  2  

  HYPERLINK \l "_Toc243712059"  a.	Title of the Information Collection	 
PAGEREF _Toc243712059 \h  2  

  HYPERLINK \l "_Toc243712060"  b.	Short Characterization/Abstract	 
PAGEREF _Toc243712060 \h  2  

  HYPERLINK \l "_Toc243712061"  2.	Need for and Use of the Collection	 
PAGEREF _Toc243712061 \h  3  

  HYPERLINK \l "_Toc243712062"  a.	Need/Authority for the Collection	 
PAGEREF _Toc243712062 \h  3  

  HYPERLINK \l "_Toc243712063"  b.	Practical Utility/Users of the Data	 
PAGEREF _Toc243712063 \h  3  

  HYPERLINK \l "_Toc243712064"  i.	General Use of the Data	  PAGEREF
_Toc243712064 \h  3  

  HYPERLINK \l "_Toc243712065"  ii.	Detailed Technical Analyses
Supported by the Data from the Questionnaires	  PAGEREF _Toc243712065 \h
 4  

  HYPERLINK \l "_Toc243712066"  iii.	Detailed Economic Analyses
Supported by the Questionnaire Data	  PAGEREF _Toc243712066 \h  6  

  HYPERLINK \l "_Toc243712067"  3.	Non-Duplication, Consultations, and
Other Collection Criteria	  PAGEREF _Toc243712067 \h  9  

  HYPERLINK \l "_Toc243712068"  a.	Non-Duplication	  PAGEREF
_Toc243712068 \h  9  

  HYPERLINK \l "_Toc243712069"  b.	Public Notice Required Prior to ICR
Submission to OMB	  PAGEREF _Toc243712069 \h  10  

  HYPERLINK \l "_Toc243712070"  c.	Consultations	  PAGEREF _Toc243712070
\h  10  

  HYPERLINK \l "_Toc243712071"  d.	Effects of Less Frequent Collection	 
PAGEREF _Toc243712071 \h  10  

  HYPERLINK \l "_Toc243712072"  e.	General Guidelines	  PAGEREF
_Toc243712072 \h  10  

  HYPERLINK \l "_Toc243712073"  f.	Confidentiality	  PAGEREF
_Toc243712073 \h  11  

  HYPERLINK \l "_Toc243712074"  g.	Sensitive Questions	  PAGEREF
_Toc243712074 \h  11  

  HYPERLINK \l "_Toc243712075"  4.	The Respondents and the Information
Requested	  PAGEREF _Toc243712075 \h  11  

  HYPERLINK \l "_Toc243712076"  a.	Respondent NAICS Codes	  PAGEREF
_Toc243712076 \h  11  

  HYPERLINK \l "_Toc243712077"  b.	Information Requested	  PAGEREF
_Toc243712077 \h  11  

  HYPERLINK \l "_Toc243712078"  i.	Data Items, Including Record Keeping
Requirements	  PAGEREF _Toc243712078 \h  11  

  HYPERLINK \l "_Toc243712079"  ii.	Respondent Activities	  PAGEREF
_Toc243712079 \h  23  

  HYPERLINK \l "_Toc243712080"  5.	The Information Collected: 
Agency/Contractor Activities, Collection Methodology, and Information	 
PAGEREF _Toc243712080 \h  24  

  HYPERLINK \l "_Toc243712081"  a.	Agency/Contractor Activities	 
PAGEREF _Toc243712081 \h  24  

  HYPERLINK \l "_Toc243712082"  b.	Collection Methodology and Management
  PAGEREF _Toc243712082 \h  25  

  HYPERLINK \l "_Toc243712083"  c.	Small Entity Flexibility	  PAGEREF
_Toc243712083 \h  25  

  HYPERLINK \l "_Toc243712084"  d.	Collection Schedule	  PAGEREF
_Toc243712084 \h  26  

  HYPERLINK \l "_Toc243712085"  6.	Estimating the Burden and Cost of the
Collection	  PAGEREF _Toc243712085 \h  26  

  HYPERLINK \l "_Toc243712086"  a.	Estimating Respondent Burden	 
PAGEREF _Toc243712086 \h  26  

  HYPERLINK \l "_Toc243712523"  b.	Estimating Respondent Costs	  PAGEREF
_Toc243712523 \h  31  

  HYPERLINK \l "_Toc243712524"  i.	Estimating Labor Costs	  PAGEREF
_Toc243712524 \h  31  

  HYPERLINK \l "_Toc243712525"  ii.	Estimating Capital and Operations
and Maintenance (O&M) Costs	  PAGEREF _Toc243712525 \h  33  

  HYPERLINK \l "_Toc243712526"  c.	Estimating Agency and Contractor
Burden and Costs	  PAGEREF _Toc243712526 \h  33  

  HYPERLINK \l "_Toc243712527"  d.	Estimating the Respondent Universe
and Total Burden Costs	  PAGEREF _Toc243712527 \h  33  

  HYPERLINK \l "_Toc243712528"  e.	Bottom-Line Burden Hours and Cost
Tables	  PAGEREF _Toc243712528 \h  33  

  HYPERLINK \l "_Toc243712529"  f.	Reasons for Change in Burden	 
PAGEREF _Toc243712529 \h  33  

 

Part A of the Supporting Statement

Identification of the Information Collection

Title of the Information Collection

	Stormwater Management Including Discharges from Newly Developed and
Redeveloped Sites 

Short Characterization/Abstract

	EPA is proposing to collect information from owners, operators,
developers, and contractors of newly and redeveloped sites; owners or
operators of municipal separate storm sewer systems (MS4s); and states
and U.S. territories.  This proposed Information Collection Request
(ICR) will collect data to inform decisions regarding how the nation’s
stormwater regulations should be strengthened, including additional
provisions for stormwater discharges from newly developed and
redeveloped sites. The data collected through this ICR will provide EPA
with information to characterize the current level of stormwater
controls and best management practices (BMPs) at newly developed and
redeveloped sites; state and local stormwater requirements and the areas
covered by these requirements; the current burden and expenditures by
states and MS4s associated with existing requirements; and technical,
financial, and environmental data needed to quantify the incremental
pollutant removals, compliance costs, and impacts for various regulatory
options that EPA might consider to address stormwater discharges from
newly and redeveloped sites.

There are three questionnaire instruments in this data collection: one
specific to the construction industry, one directed to owners and
operators of MS4s, and one directed to states and U.S. territories.  

The Industry Questionnaire requests information on the following
primarily as they relate to stormwater management of discharges from
newly and redeveloped sites:  

General identification information;

Type/identification of construction projects;

Soil type applicable to the construction site;

Land cover areas both pre- and post-construction;

Stormwater management and controls and associated costs; 

Stormwater permit and management requirements; 

Information on design credits or incentives associated with implementing
retention practices;

Firm level financial information;

Establishment level financial information; and

Project level financial information. 

The MS4 Questionnaire requests information on:

Current stormwater management requirements of the jurisdiction;

Local ordinances that would prevent implementation of retention
practices;

Retention practices required in the jurisdiction;

Incentives for implementing retention practices;

Annual costs for maintenance and operation of stormwater management
practices; and

Annual stormwater operating budget for the entire jurisdiction.

The State Questionnaire requests information on:

Current state stormwater management requirements; 

Characterization of each state’s industrial stormwater program;

Scope of municipal stormwater program; and

Information on stormwater inspection and enforcement activities.

EPA plans to distribute the Industry Questionnaires by mail to a
statistical sample of owners, operators, developers, and contractors to
help the Agency compile a national assessment of the types of
construction projects being conducted, the types of long term stormwater
BMPs being installed, and their associated costs. EPA would also use the
information to estimate the financial impact of any regulation on these
entities.  EPA would distribute the MS4 Questionnaire to a statistical
sample of MS4 owners and operators and the State Questionnaire to a
census of states and U.S. territories to help the Agency compile
national assessments of existing stormwater management standards and
determine the possible need for additional regulations.  EPA estimates
that the total respondent burden and costs associated with this ICR is
108,675 hours and $4,070,282.

Need for and Use of the Collection

Need/Authority for the Collection

	EPA’s Office of Water is planning to propose a regulation to
strengthen the stormwater program, including the establishment of
provisions to control stormwater discharges From Newly Developed and
Redeveloped Sites under the authority of section 402(p) of the Clean
Water Act (Federal Water Pollution Control Act, 22 U.S.C. Section 1318).
 The information needed to support a proposed rulemaking is being
collected through questionnaires, distributed under the authority of
section 308 of the Clean Water Act.   

Practical Utility/Users of the Data

General Use of the Data

The purpose of this request is to obtain information to support
revisions to the stormwater regulations and to propose regulation of
stormwater discharges from newly developed and redeveloped sites.  These
discharges can negatively impact receiving streams because of hydrologic
impacts and pollutants discharged to the receiving surface water. This
data collection effort includes questionnaire instruments to collect
information pertaining to stormwater management and discharges from
newly and redeveloped sites, including information on specific
construction projects (e.g. location, land cover, etc.), stormwater
management, controls and costs; industry financial information; current
stormwater local and state permit requirements; budgets for implementing
and enforcing retention practices; and baseline information on the
current level of implementation of a state stormwater permit program,
including industrial permits.

EPA would use the technical and cost data collected in the Industry
Questionnaire to estimate the current usage, availability, and cost of
retention practices and controls for stormwater discharges. In addition,
EPA would use the project level data to develop a national distribution
of projects based on critical characteristics (e.g. size, value,
previous land use). Together, this information will be used to assess
the costs and benefits associated with various regulatory options for
regulating stormwater management. Finally, EPA would use the financial
information collected on the firm, establishment, and project level to
characterize the economic status of the construction industry that could
be subject to new stormwater management requirements and estimate the
impact of compliance costs on the property developers and owners.

The second questionnaire would collect information from MS4s on existing
stormwater requirements and practices, local ordinances, MS4 stormwater
management practices, and annual costs incurred by MS4s for maintaining
and enforcing stormwater management practices.

The third questionnaire would get information from the states on the
current level and scope of the state stormwater programs, the frequency
of inspections and resulting enforcement actions, their annual
stormwater budget and the level of design standard/performance standard
currently in place for stormwater discharges. 

EPA would use data from all three of the questionnaires to develop
additional requirements. Specifically, the information collected in the
questionnaires would allow EPA to:

Properly characterize and classify the industry;

Determine current state and local stormwwater requirements and what
stormwater management and control practices are currently in place at
newly and redeveloped sites;

Identify needed changes to the stormwater regulations to create a more
effective program 	for protecting the environment from the harmful
effects of stormwater; 

Identify retention practices, pollution prevention techniques, and
treatment technologies based on factors such as technology efficiency,
availability, and total cost to the industry;

Evaluate loadings and costs associated with controlling stormwater
discharges from newly developed and redeveloped sites;  and 

Evaluate environmental and economic impacts associated with potential
regulatory changes, including provisions controlling stormwater
discharges from newly developed and redeveloped sites.

Detailed Technical Analyses Supported by the Data from the
Questionnaires  

To support potential changes to the stormwater regulations, EPA would
collect information pertaining to stormwater conveyance and treatment
practices. The Industry Questionnaire would identify the respondent and
collect technical and financial information from owners, developers, and
contractors. EPA would analyze the collected information to develop an
industry profile of the current stormwater management practices in the
United States. The State and MS4 Questionnaires would collect baseline
information about annual budgets for stormwater associated activities,
stormwater standards currently in place, incentives for implementing
retention practices into site plans and information on inspection and
enforcement activities.  EPA would use this analysis, along with
financial information to estimate the economic impacts of implementing
stormwater practices and technologies on both the entities responsible
for implementing these technologies and those responsible for
maintaining the technology and enforcing the standards. 

EPA would select appropriate regulatory options to control pollutant
discharges associated with stormwater management based on the results of
those analyses and data from other EPA collection efforts. 

EPA engineers, statisticians, economists, biologists, and contractors
would perform detailed analyses of the data collected through the
questionnaires. The EPA team would also collect information from
additional sources, such as National Oceanic and Atmospheric
Administration (NOAA) precipitation data. The technical data would
include basic construction site information (e.g. acreage, geographic
location), stormwater conveyance and treatment information, and detailed
stormwater treatment system cost data. Specific analyses using the
technical data are described below.

Profile of Long Term Stormwater Management Practices 

EPA would use the data collected through the questionnaires to develop a
national profile of existing local and state stormwater requirements,
stormwater discharges, in-place stormwater management and control
practices; and to evaluate the current prevalence of implementing
retention practices at newly and redeveloped sites.  

Technical Feasibility Analysis

The feasibility assessment of these control options would be based upon
the effectiveness of the control options at reducing overall stormwater
volumes, stormwater velocities, and specific pollutants in the effluent
and the demonstration and availability of the management, pollution
prevention, and control technologies.

Pollutant Loadings and Removals

Pollutant loadings and removals are calculated to evaluate current
stormwater discharges, the effectiveness of regulatory control options,
pollutant reductions after incorporation of regulatory control options,
and the relation between costs and associated reductions of regulatory
options. EPA would use technical data collected from the questionnaires,
vendor-provided performance data, and the National Stormwater BMP
Database as its data sources for calculating pollutant loadings. 

Assessment of Technology Costs

EPA staff and contractors would estimate the costs of various stormwater
management, pollution prevention, and control options for the regulatory
requirements. The costs of the control options or practices would
include the following items: capital costs for engineering design
(including overhead), equipment and installation, and annual operating
and maintenance (O&M) costs for the option. 

EPA would use data collected through the questionnaires to estimate the
direct costs of stormwater management, pollution prevention, and control
options selected for any regulatory requirements. These data include
information to allow for estimation of stormwater flow rates, data
related to stormwater collection and treatment/control technologies,
retention practices, and pollution prevention/management practices. 

EPA would estimate the difference in investment costs, and operating and
maintenance costs for the construction contractor or land developer to
comply with the regulatory options considered in addition to any
associated costs to those responsible for maintaining the technology and
enforcing the requirements. These compliance costs would be used to
determine the potential economic impacts on the industry. In addition,
these compliance costs would be weighed against the estimated reduction
benefits resulting from each regulatory option. To estimate compliance
costs, EPA would need to consider the pollutant reductions resulting
from implementation of each option. This information would be used to
determine whether construction contractors and developers need to
improve their stormwater collection and control technology (e.g., by
installing new units or entire systems) and whether those responsible
for maintaining such technologies would need to modify their operating
practices to comply with the discharge requirements for a particular
regulatory option.

Environmental Assessment and Economic Benefits Analysis

EPA would perform an environmental assessment to evaluate impacts from
discharges associated with stormwater management on ecosystems and human
health. Following an assessment of the current environmental impacts,
EPA would estimate the potential change in environmental impact
(including non-water quality impacts) associated with different control
options for discharges from newly developed and redeveloped sites. EPA
would use this information to help characterize the economic benefits
associated with the different control options.

Detailed Economic Analyses Supported by the Questionnaire Data

EPA economists and contractors will use information collected in the
questionnaires to estimate the potential economic impacts of the
proposed rule on affected entities. 

To analyze the costs and impact of the proposed rule, EPA would use the
questionnaire information to (1) characterize quantitatively the
financial condition of the economic entities expected to be subject to
the regulation, (2) characterize quantitatively the profile of
construction and development activities undertaken by those entities,
(3) to undertake analyses of installation and maintenance costs and the
economic impacts based on that information; and (4) to characterize
quantitatively the additional costs and/or burden to states and MS4s in
maintaining and enforcing stormwater controls, BMPs, and retention
practices.

Developing the Analysis Baseline

EPA would develop the industry baseline for the establishments and firms
within the construction and development industry that are expected to be
affected by this regulation. The industry encompasses businesses
operating in a range of construction industry segments. The
questionnaire would determine those industry segments that are likely to
perform activities within the scope of the regulation and that are the
focus of this regulatory analysis. EPA would also determine the quantity
and character of acreage and project development associated with those
businesses. The development of an industry baseline, with respect to
both establishment financial condition and the profile of projects
performed, will support the analysis of the costs and impact of the
proposed rule.  EPA will also use the survey data to develop the current
regulatory baseline at the state-level and at the level of MS4s. The
baseline will characterize the extent and distribution of current
stormwater regulatory requirements. The baseline will also, to the
extent possible, address state and local regulations that are not
directly related to stormwater but that can affect the viability of some
stormwater controls

Economic Impact Analyses

EPA would use a variety of analytic methods to assess key mechanisms
through which the proposed rule may affect in-scope construction and
development business entities as well as their market consumers (e.g.,
home buyers). Analyses that may be undertaken in this effort are
summarized below:

  REF _Ref182030637 \h  \* MERGEFORMAT  Analysis of Project-Level Costs
and Economic Impacts . Compliance costs and economic impacts will be
initially assessed on the basis of model construction and development
projects. The purpose of the model project analyses would be two-fold: 

To assess the potential impact of compliance activity at the
project-level for the establishment (e.g., change in profitability) and
the consumer (changes in sale or rental prices). Additionally some
property owners may incur rule related operations & maintenance costs
for the duration of ownership.

To develop an estimate of an incremental compliance cost multiplier,
which would be used in subsequent analyses to account for overhead,
debt, and equity cost considerations that affect per-acre compliance
cost, but that are not expected to be accounted for in the
engineering-level estimate of per-acre cost.

  REF _Ref182030717 \h  \* MERGEFORMAT  Analysis of Establishment- and
Industry-Level Economic Impacts . The project level analyses will
support assessment of the cost and economic impact of proposed
regulatory requirements on construction and development industry
establishments, and the potential aggregate industry-level effects.
Industry-level effects will be assessed in terms not only of total cost
to the industry, but also other key impact metrics, including
cost-to-revenue ratios, potential instances of financial stress, and
potential closures. This analysis would be performed for the entire set
of in-scope entities, and separately for small entities in order to
satisfy the Regulatory Flexibility Act (RFA, 5 U.S.C. et seq., Public
Law 96-354), amended by the 1996 Small Business Regulatory Enforcement
Fairness Act (SBREFA), which requires EPA to consider the economic
impact that a new rule will have on small entities.

  REF _Ref179179381 \h  \* MERGEFORMAT  Analysis of Single-Family
Housing Affordability Impacts . In addition to assessing the effect of a
regulation on construction and development industry establishments and
the industry, the impact analysis will also assess potential effects on
housing affordability. This analysis would be performed at a regional
level (potentially states or metropolitan statistical areas), with
economic effects assessed in terms of the expected change in price for
various priced new single-family homes and cost for potential operation
and maintenance requirements for permanent stormwater control
structures. An assessment of the affect of these costs on the purchasing
decision of prospective home buyers would also be performed.

  REF _Ref197240069 \h  \* MERGEFORMAT  Analysis of Social Cost . An
assessment of partial equilibrium market effects in the construction and
development industry building sectors would be used to adjust the
initial industry-level analysis estimate of the resource cost of the
proposed rule to account for changes in the quantity of industry output.
The analysis would also estimate the overall deadweight welfare loss to
society. The quantity-effect-adjusted resource cost of compliance and
the total dead weight loss would comprise two components of the total
social cost of the proposed rule. The analysis would also estimate
administrative costs to governments, which is an additional component of
total social cost.

  REF _Ref197399820 \h  \* MERGEFORMAT  Analysis of Economy-Wide
Economic Effects . An input-output multiplier analysis would be
performed that considers total economy effects – in terms of output
and employment – by estimating the total change in demand for
society’s resources arising from (1) compliance outlays, (2) the
change in industry output, and (3) administrative costs to governments.
The analysis would also estimate the net change in demand for
society’s resources. 

  REF _Ref197399823 \h  \* MERGEFORMAT  Future Projections of Compliance
Cost and Acreage . Because a stormwater management regulation would be
expected to affect newly constructed projects indefinitely into the
future, this analysis would estimate affected project activity over time
and the incremental effect of regulatory requirements and cost into the
future. The resulting projection would provide a comprehensive
assessment of the total, long-term cost and economic consequences of a
long term stormwater management regulation. Consideration will be given
to the effect of potential perpetual operation and maintenance
requirements if structural stormwater management technologies are
implemented to comply with new regulations. 

Regulatory Flexibility Act (RFA) and the Unfunded Mandates Reform Act
(UMRA). In accordance with requirements of the RFA and UMRA, EPA will
estimate the potential effects of proposed regulations on Federal, State
and Local government entities and specifically small businesses and
small governments. Informative data will be supplied by the surveys
including the existing frameworks for implementing stormwater
regulations (e.g.: by general permits or individual permits) and the
existing level of administrative activities and existing tools for such
activities (e.g.: databases for tracking permits and inspections).

Non-Duplication, Consultations, and Other Collection Criteria

Non-Duplication

To ensure non-duplication of data collection, EPA reviewed data
previously collected during development of Effluent Limitations,
Guidelines, and Standards (ELGs) for the Construction and Development
Industry to determine its potential use for this regulatory effort.

For information on construction project type and project size, EPA has
used CGP Notice of Intent (NOI) records in the past. However, while some
information for potential in-scope projects can be obtained from the NOI
database, the dataset has certain limitations including coverage, detail
and currency. The NOI database includes data on only 24 states and
cannot provide the information needed to conduct a national assessment.
In addition, the information included in this source is not sufficiently
detailed in terms of project technical characteristics and contains
little or no economic/financial information to meet the needs of the
technical, economic, and environmental impact analyses. Moreover, the
dataset is not consistently current. EPA intends therefore to collect
information on current projects and project size from the questionnaire
respondents so that a more accurate national picture can be developed. 

For information on the control of construction site stormwater, EPA
previously collected data by reviewing state construction general
permits (CGPs), websites, summary references, state regulations, and
erosion and sediment control design and guidance manuals. These sources
provide a summary of criteria and standards for construction site
stormwater erosion and sediment control that are implemented by states,
but do not summarize stormwater control that are implemented after
completion of active construction activities, which are the focus of
this data collection activity. EPA intends to collect information on
stormwater controls and to assess retention practices currently used in
the industry. 

For information on land use, EPA has used the National Land Cover
Database (NLCD), which provides a national source of data on land cover
change. This database provides a 30-meter resolution land cover data
layer over the conterminous United States (CONUS) from Landstat Tematic
Mapper satellite imagery. NLCD data are publicly available for the years
1992 and 2001 and the land cover change map and all documentation
pertaining to it are considered provisional until a formal accuracy
assessment can be conducted. Classifications from the NLCD dataset
include: open water, urban, barren, forest, grassland/shrub,
agriculture, and wetlands Ice/Snow. EPA intends to collect pre- and
post-construction land cover data as part of their data collection
questionnaire as a means to assess potential changes in stormwater flow
following land development. These data are not currently available from
NLCD due to the level of detail required for post-construction land
cover categories (e.g., rooftops, parking lots, street/road, lawn, farm,
forest, other vegetation).

For information on soil type, EPA has used the State Soil Geographic
Database (STATSGO) which provides a national map of soil types across
the U.S. STATSGO was designed primarily for regional, multi-county,
river basin, State, and multi-state resource planning, management and
monitoring and the data are not detailed enough to make interpretations
at a county level. As part of the questionnaire, EPA will request
information on the predominant soil type for each project identified and
reported. EPA needs to collect this information at the project level
since STATSGO will not provide location specific soil conditions to
allow for the most accurate analysis. 

For precipitation data, EPA will use publicly available data published
by the National Oceanic and Atmospheric Administration (NOAA). These
data are available from national weather stations throughout the U.S.
and will provide sufficient estimates of annual rainfall by location
(city, county, state). 

For purposes of the current stormwater data collection and analysis, EPA
will also require information on precipitation, BMPs and retention
practices applicable to the control of discharges from newly developed
and redeveloped sites, and the performance of BMP and retention
practices. To assess the performance of these practices, in part, EPA
will use data from vendors and the National Stormwater BMP Database,
developed by the American Society of Civil Engineers (ASCE).

The financial data requested in the Industry Questionnaire is not
expected to be available through other sources. While some general
business information are available from business registries such as Dunn
& Bradstreet (D&B), these data are limited and will likely not provide
sufficient understanding of the business operations of the industry to
complete a comprehensive economic impact analysis. In addition, some of
the financial information requested may be claimed as CBI and therefore
not available outside of a survey.

Public Notice Required Prior to ICR Submission to OMB

Announcements of a public comment period for this ICR will be made at
the time of the publication of this request in the Federal Register.

Consultations

EPA has not conducted consultations pertaining to this ICR at this time.
 EPA anticipates conducting consultations with applicable residential
and commercial builder trade associations, MS4 owners and operators,
states and territories, environmental groups, and other interested
parties prior to using these questionnaires to collect data.

Effects of Less Frequent Collection

The Industry, State and MS4 Questionnaires are a one time only data
collection activity for the respondents.

General Guidelines

The proposed data collection activities would be conducted in accordance
with the Paperwork Reduction Act guidelines in 5 CRA 1320.6 and EPA’s
Quality Assurance Guidance. Information to be disseminated would comply
with EPA’s Information Quality Guidelines which were developed for
implementing OMB’s Guidelines for Ensuring and Maximizing the Quality,
Objectivity, Utility, and Integrity of the Information Disseminated by
Federal Agencies.

Confidentiality

The questionnaires will inform respondents of their right to claim
information confidential in accordance with 40 CFR part 2, subpart B,
Section 2.203. Because MS4s and states are public entities, most, if not
all, of the information collected in the MS4 and State Questionnaires is
expected to be non-confidential in nature. The Industry Questionnaire
may contain questions subject to confidentiality claims. The
questionnaires addressed by this ICR will provide instructions on the
Confidential Business Information (CBI) procedures for making these
claims. EPA does not expect stormwater management practices or project
related conditions (such as project size, predominant soil type and land
cover use) to be claimed as CBI.  However, financial data requested
through the questionnaire may be subject to a CBI claim.

Sensitive Questions

No sensitive questions pertaining to private or personal information,
such as sexual behavior or religious beliefs, would be asked in the
questionnaire.

The Respondents and the Information Requested

Respondent NAICS Codes

The target population for the Industry Questionnaire is all construction
and development establishments in the United States. For the selection
of establishments by construction type, EPA is focusing on the following
eight North American Industry Classification System (NAICS) codes:

236115:  New Single-Family Housing Construction (except operative
builders);

236116:  New Multifamily Housing Construction (except operative
builders);

236117:  New Housing Operative Builders;

236210:  Industrial Building Construction;

236220:  Commercial and Institutional Building Construction;

237210:  Land Subdivision;

237310:  Highway, Street and Bridge Construction; and

237990:  Other Heavy and Civil Engineering Construction.

The primary focus of the MS4 Questionnaire is owners and operators of
Municipal Separate Storm Sewer Systems (MS4), including both those
regulated under NPDES Phase I and Phase II regulations and those not
regulated.  The goal for the State Questionnaire is to get a census of
all states and territories to respond to the questionnaire.

Information Requested

Data Items, Including Record Keeping Requirements

EPA has developed three questionnaire instruments for this data
collection effort. These include the Industry, MS4, and State
Questionnaires. The Industry Questionnaire will provide information to
evaluate the potential outcome of developing controls for discharges
from newly developed and redeveloped sites.  Respondents would be asked
to complete a questionnaire to be solicited by mail. MS4s will be asked
to provide information that will be used to evaluate existing stormwater
mitigation and pollution prevention requirements, local ordinances,
municipal retention practices, and annual costs incurred by MS4s for
maintaining and enforcing stormwater mitigation practices. The MS4
questionnaire will also help assess the capacity of MS4s with separate
stormwater sewers to implement any proposed regulatory measures. The
State Questionnaire will provide information on the respondent’s
stormwater budget, scope of the state’s current municipal stormwater
program, and baseline information on the state’s stormwater permitting
program, including information on industrial stormwater permits.  MS4
and state respondents would be sent a weblink, via e-mail, to an
electronic questionnaire.  Descriptions of the data items in these
questionnaires are provided below:

INDUSTRY QUESTIONNAIRE

section A: GEneral information

Part A requests general information about the respondent. 

Questions A1 to A2 collect information that identifies the establishment
name and address, and the primary contact to verify or clarify the
technical questionnaire information. 

Question A3 requests the states in which the establishment operates. The
state in which the contractor is a legal entity may be different than
the state or states that in which it operates. This information will
help characterize construction activity geographically. 

Question A4 asks whether the establishment completed at least one
project in FY 2005-2009 for which it was the owner, developer, or
contractor that was not a pipeline or other utility related activity.
This question will determine whether the respondent is in-scope with
respect to the data collection and must complete the remainder of the
questionnaire. If the respondent answers No to this question, then they
are done and can sign and return the question. 

Section B: FIRM indentification and FINANCIAL INFORMATION

Financial information will support the assignment of respondent
establishments into business categories and will allow for an economic
analysis of long term stormwater management actions. These model
establishment categories will likely be defined along a number of
characteristics including business size and scale of activity, operating
structure, their role in projects, and types of construction projects
undertaken.

EPA is requesting financial information at the firm- or
establishment-level for a five year time period, covering fiscal years
FY 2005 through FY 2009.  EPA selected a five-year period, as opposed to
the more commonly used three-year period, because this industry is
currently in an economic downturn which began in late 2006.  By
collecting information for five years, EPA analyses and characterization
will be more robust and representative of various economic conditions
within the industry.

	Question B1 asks whether the establishment is owned by another firm. If
it is, then the respondent will be asked to identify the contact
information of the ultimate parent firm in question B2.  These questions
will help EPA define firm/establishment relationships.

Question B3 identifies the type of business organization.  EPA would use
question 3 to identify the tax status of the business for use in the
economic/financial analysis. 

Question B4 requests the state in which the establishment is organized
as a legal entity. EPA would use this information to establish which
state commerce regulations apply to the establishment for use in the
economic/financial analysis. 

Question B5 asks the firm to identify the start date of its most recent
fiscal year. This will be used to assign firm and establishment
financial information to specific calendar years of business activity
and to identify general business conditions prevailing during a given
fiscal year.

Question B6 asks the firm to indicate the months for which it has
information for fiscal years 2005-2009. Financial information is
requested for five years with the goal of obtaining information for
years that precede and incorporate the current downturn in the
construction industry which started late 2006.

Question B7 asks for information from the firm’s balance sheet on
assets, liabilities, and net worth. This information will be used in the
economic/financial analysis to establish the firm’s baseline financial
performance and condition and to estimate certain financial information
required in the analysis, including, in particular, cost of capital. 

Question B8 asks for information from the firm’s income statement on
revenue and expenses. This information will be used in the
economic/financial analysis to characterize the firm’s operating
economic structure and baseline financial performance and condition.

Question B9 asks for information from the firm’s cash flow statement.
This information will be used in the economic/financial analysis to
characterize the firm’s baseline financial operations, including, in
particular, the use of funds from internal operations and externally
provided capital in funding the firm’s investments in projects and
other capital replacement and expansion activities.

Questions B7-B9 requests financial information readily available from
the firm’s balance sheet, income statement and cash flow statement to
minimize time burden. EPA designed the format of the data requested so
that it corresponds to charts of accounts and reporting structures that
are conventionally used in the industries that are expected to respond.

	Questions B10, B11, and B12 ask for breakouts of revenue by
construction and development roles (e.g. owner/developer, general or
lead contractor, subcontractor), construction activity (new development,
redevelopment, or other) and construction industry sector (e.g.
residential, commercial, industrial, etc.), respectively.

	Question B13 requests the firm’s total employment. This information
will support characterization of the business operations of the firm and
the industry, in aggregate. 

Question B14 requests the contact information for the person responsible
for completing Section B. This question will allow EPA to clarify the
information provided in Section B.

section C: Project LEVEL INFORMATION

	Questions C1 and C2 request information on the number of projects
on-going on the last day of FY2009 and the number of projects the
establishment competed during FY2005 through FY 2009.  These questions
will be used to help characterize the industry and determine whether the
questionnaire includes information on a subset of the establishment’s
projects.

	Question C3 asks if the establishment served as the owner/general
contractor for any of the projects provided as responses to questions C1
and C2. If not, the establishment will not complete the remainder of
Section C, but rather is required to complete Section D.  Based on the
distribution of establishments by NAICS codes as presented in the 2002
U.S. Economic Census, EPA estimates that approximately 25 percent of
respondents would be required to complete the remainder of Section C
while 75% would be required to complete Section D. If the respondent
answers yes, then it is required to complete the remaining technical and
financial questions in Section C for up to ten projects completed during
FY2009.  EPA is requesting information for a maximum of ten projects of
various sizes to characterize current projects and their post
construction stormwater related practices and controls and associated
costs.  While information is requested on a maximum of ten projects per
establishment, EPA expects that the majority of respondents will not
have completed 10 eligible projects in Fiscal Year FY 2009.  

	General and Technical Project Level Information

Questions C4, C5, C6, and C7 identify the project for which information
will be provided including the project location, timeframe, and NPDES
NOI permit information specific to the project. These questions will
help EPA identify instances in which information may be received for the
same project from multiple sources.

Question C8 asks the duration of each phase of the construction project.
This information will be used in the economic impact analysis.

Question C9 requests project type and size. EPA would use this question
to help develop profiles for each type of construction project listed.
EPA will be identifying trends in long term stormwater management
practices, BMPs, and LID practices currently in place for each sector of
the construction industry. These categorizations will be used to predict
which sectors would be most affected economically by regulatory
requirements. 

Questions C10 and C11 ask for pre- and post-construction land cover
areas (for both impervious and pervious site components). Questions C12
and C13 request information on the soil type and percolation rate for
the project site. This information, along with precipitation data from
the National Oceanic and Atmospheric Administration (NOAA) will help EPA
estimate the volume of stormwater runoff generated as a result of the
new construction project in comparison to the volume of stormwater
runoff that was generated prior to the new construction project.

Question C14 asks if the project is within the boundaries of an MS4 and
Question C15 asks if the project site is connected to a MS4.  These
questions will help determine whether the project site would be subject
to a MS4s’s stormwater management requirements.  

Question C16 requests information on which long term stormwater
performance standards and/or design criteria were applicable to the
project. Questions C17 to C20 request information on retention practices
considered and/or implemented for the project along with challenges and
policies that impacted their use for the project. The information in
questions C16-C20 will be used along with the MS4s questionnaire data to
characterize current regulation and state of retention practices in the
industry nationally and the driving forces and impediments to their
usage.

Question C21 requests alternative land use if stormwater controls had
not been implemented at the site. This question helps to inform the
industry profile.

Question C22 requests stormwater control system-level information. Where
a “system” is the entire drainage area for a construction project
(e.g. “Building 9 Drainage”) where runoff may be treated by one or
more stormwater mitigation units. For example, one construction site
(the system) may consist of a detention pond unit, several green roof
units, curbs and gutters, and storm sewers. Question C21 asks for the
total watershed area, stormwater design specifications (2 year, 5 year,
number of inches, etc.) and the technology design capacity (stormwater
flow) for the system. The information collected in question C22 will be
used to identify trends in stormwater management practices among sectors
of the construction industry (i.e. residential vs. commercial).

Question C23 -24 request information on whether or not certain
technologies are included in the project’s stormwater control system
and their associated costs, as applicable.  This information will allow
EPA to assess the current usage of various stormwater management control
technologies and their associated costs.

Question C25 requests detailed technical information for each component
of the project’s stormwater management and control system.  These
components include conveyance, storage (ponds) and structural quality
control technologies. For each technology, EPA requests the capital and
annual maintenance costs, if available. EPA would use this information
to estimate capital and operating and maintenance costs associated with
each of these technologies.  Ultimately, EPA will use this cost
information to assess the economic impacts of any potential regulation
incorporating these technologies.

Question C25 also asks respondents to identify which detailed costs are
included in the capital and maintenance costs. Below is a listing of
detailed capital costs common to structural technologies:

Engineering and Overhead Costs;

Site Clearing and Excavation Costs;

Land Costs or Value;

Structural Control Costs;

Structural Control Devices Costs;

Vegetation and Landscaping Costs;

Device Cost; 

Device Installation Costs, and

Other Capital Costs.

Below is a list of detailed maintenance costs common to structural
technologies:

Average Annual Revegetation/Maintenance Costs;

Average Annual Sediment Removal Costs;

Average Annual Media Replacement Costs;

Irrigation (green roofs); and

Other Average Annual Costs.

Identifying which costs contribute to the total capital and annual costs
will help EPA identify and reconcile cost differences for the same
technology, such as when land costs for ponds differ geographically. A
detailed cost checkbox will allow EPA to analyze which factors influence
capital and annual costs the most.

In addition to capital and maintenance costs, the tables in question C24
request design basis and technical specifications for each technology.
Table 1 shows the types of information requested for each technology and
their expected utilities.

Table 1. Technical Specifications for Structural Stormwater Control
Technologies



Technology	Specification(s)	Expected Utility of Information

All a	Capacity	Relate performance (capacity) and capital/maintenance
costs for each unit. Relate LID and stormwater volume-reducing BMPs as
well as system performance (see discussion above).

	Drainage area



Design Storm information

	All a	Operation and maintenance Activities	Attribute O&M costs to
activities to better understand current industry practices and to
reconcile differences in O&M costs.

Ponds and Basins	Volume (or surcharge volume) of pond/basin	Need volume
of pond to relate size needs to detention time and rainfall amount 

Curb and Gutter, Storm Sewers	Capacity	Relate the length of curb
collecting stormwater and the capacity of the curb and gutter/storm
sewer. Identify whether stormwater is sent to treatment system (and thus
contributes to the inflow a POTW must treat) or collected in separate
sewer for impact analysis. Identify features such as shape and height,
which can reduce runoff peak flow.

	Linear feet



Other design features (curb cuts, height)



Connects to (combined sewer, separate sewer, etc)

	Catch basin, tree box filter, infiltration basin/trench, dry well,
underground detention	Infiltrating surface area	Relate the amount of
surface area capturing stormwater and volume capacity. Relate capacity
and capital/maintenance costs for each unit. Relate LID and stormwater
volume-reducing BMPs as well as system performance (see discussion
above).

	Infiltration capacity



Connects to (combined sewer, separate sewer, etc)

	Bioretention, rain gardens	Size of underdrain, if used: size of gravel
layer and perforated piping	Relate the size of underdrain, ponding area
and organic content of soil to the unit performance. Evaluate the LID
with other BMPs in costs/effectiveness analysis. 

	Types of vegetation



Total storage capacity of bioretention



Percent of native soil and soil amendments added

	Permeable pavement	Permeable Pavement Surface Area	Determine
applicability: some types of permeable pavement are not appropriate for
parking lots, for example. Also determine how types of permeable
pavement (strength, infiltration rate, etc.) affect costs for different
applications.

	Maximum Absorption



Permeability



Infiltration rate



Size of Underdrain, if used: size of gravel layer and perforated piping



Type

	Green Roof	Roof's Surface Area	Determine the area of green roof
capturing precipitation, how green roof was implemented, green roof
applicability, and effectiveness.

	Percent of Roof Vegetated



Type  (extensive, intensive, or semi-intensive)



Depth of soil



Depth of media



Roof storage capacity (total volume)

	Swale, constructed wetland, 	Dimensions or volume	Determine the land
required and effectiveness per surface area. 

	Type of vegetation

	

For each technology, EPA asks for the drainage area, design storm, and
design capacity for the stormwater treatment units within the system.
EPA requests this information for both systems and units to understand
unit costs and volume-reduction of treatment units (such as LID
practices). This will determine how individual technologies affect the
overall cost and stormwater mitigation capacity of the system. For
example, rain garden units will reduce the volume of stormwater treated
by a detention basin. Although the percent removal of pollutants
achieved by the detention basin stays the same, the pond can be smaller,
and the total pollutant load transferred to the receiving body of water
will be reduced. In this case, the installation of rain gardens may be
attractive for aesthetic purposes, but also save the contractor money in
the long term due to the decreased stormwater flow to the basin and
lower operation and maintenance costs associated with sediment removal.
In order to estimate economic impacts of mandating BMPs, EPA must
consider the costs of individual units and their collective effects on
the overall system performance, as illustrated in the example above. 

Question C26 requests the contact information for the person responsible
for completing questions C1-C25. This will allow EPA to clarify the
information provided in these questions as necessary.

	Project Level Financial Information

Question C27 asks for the establishment’s percent share ownership of
the project.  Question 28 and 29 asks the respondent information about
their relationship to the owner of the project.  EPA would use this
information to inform its industry profile and economic impact analysis.

Question C30 asks for financial information related to each phase of the
project: land acquisition and project design/planning, land development,
project construction, and project sale or other completion disposition.
EPA will use this information to assess how specific phases of
construction projects would be affected by the rule and to understand
how the cost of BMPs compares to other construction project costs.

Question C31 asks the respondent to provide information on the financial
structure and terms of each phase of the project (land acquisition, land
development, and construction). The interest rate and information on
equity financing will be factored into EPA’s economic analysis if EPA
determines that implementation of BMPs will incur capital costs which
will necessitate further financial planning.

Question C32 asks for the final value of the project which will be
factored into EPA’s economic impact analysis and used in the
construction industry profile.

Question C33 asks the respondent information on the ownership of the
project after construction activities are completed. 

The preceding questions C27-C33 are all needed to define baseline
project conditions, independent of potential long term stormwater
management regulatory requirements, and are critical to the assessment
of how long term stormwater management requirements would affect project
financial performance, and, in turn, potentially affect the financial
viability of the industry businesses and the customers of those
businesses.

Question C34 requests the contact information for the person responsible
for completing questions C27-C33. This will allow EPA to clarify the
information provided in these questions as necessary.

SECTION D: PROJECT-LEVEL INFORMATION FOR NON-OWNERS/General contractors

Respondents that only completed projects in FY2009 for which they were
not the general contractor or owner must complete Section D. Based on
the distribution of establishments by NAICS codes as presented in the
2002 U.S. Economic Census, EPA estimates that approximately 75 percent
of respondents are expected to be required to answer these questions.
These questions will help determine the establishment for whom contract
builder services were provided, their role, contact information for the
project owner (if needed), the services provided by the contract
builder, the revenue for contract building services, duration of the
contract building services, and the completion year of those services.
These questions will be used in the economic impact analysis to
establish the role of contract builders in construction projects and to
understand the value of services provided by the contract builder. This
information will help determine the potential effect of long term
stormwater management requirements on the contract builder’s business.

MS4 QUESTIONNAIRE

SECTION A:	TECHNICAL INFORMATION

Questions A1 to A24 in general regard MS4 types and configurations, how
they are regulated, and what their programs include.  This information
is required in order to assess the areas and populations served by MS4s,
what the effects of potential regulatory changes might be on MS4s
(especially as to how this may alter their future planning in terms of
projected infrastructure needs), how they might be required to respond
to a new regulation (e.g., what types of steps would they likely have to
take to comply), and how stormwater flow is currently managed.

Specifically: 

Questions A2-A6 are intended to collect data about type, size, area
covered, and population served by MS4s, to provide baseline information.

Questions A7-A9 request estimates about whether a MS4’s capacity may
be overstretched and what size rain events can typically be managed with
their current setup.  These data will help determine whether use of
green infrastructure and other alternate stormflow management methods
may help avert the need for upgrades to ‘typical’ stormwater control
measures, thus potentially saving costs and resources in some arenas.

Questions A10-A11 ask about discharges directly to surface waters rather
than to the MS4 for an estimate of how prevalent this is within MS4
physical boundaries.

Questions A12-A13 concern impervious areas within MS4s.  EPA would use
this information to get baseline information about ranges and
distributions for these major runoff-producing surfaces among MS4s.

Questions A14-A20 are about design, maintenance, inspection, and
training for discharge requirements within MS4s.  This can be used to
get baseline information about how prevalent these requirements are,
what they entail, and how they are managed within MS4s.

Questions A21-A25 refer to monitoring practices within MS4s and the
results of that monitoring (if applicable).  This can be used to help
verify cause-and-effect between certain practices and their effects on
water quality.

Questions A26 to A30 in general deal with how much and what types of
development are occurring (and have recently occurred) within the MS4. 
These questions will also provide information on the sizes of projects
and how/if they were reviewed/approved.

Specifically: 

Questions A27-A28 refer to redevelopment site plan review and will
provide baseline information (if MS4 distinguishes between new and
re-development).

Questions A29-A30 refer to new development site plan review and will
provide baseline information.

Questions A31 to A40 in general are designed to gather information on
performance standards and design criteria.  These questions ask about
standards for new development and redevelopment in MS4s; specifically,
what (if any) performance and/or design standards are required, for what
types of development (commercial, industrial, residential,
institutional), and whether they differ between new- and re-development.
 This information can provide crucial insight into the relative burden
that might be placed upon an MS4 – where many green infrastructure
compatible standards are already in place and being utilized, the burden
of complying with a new regulation should be less.

Specifically: 

Questions A33-A36 deal with redevelopment (assuming MS4 distinguishes
between standards for new- and re-development).  This will be used to
establish baseline information about standards among MS4s and for
distribution analysis of practices.

Questions A37-A40 regard new development and will be used to establish
baseline information about standards among MS4s and for distribution
analysis of practices.

Questions A41 to A43 ask about retrofit plans and implementation.  Data
will be used to determine how prevalent this is and to establish
baseline information.

Questions A44 to A47 in general enquire about current green
infrastructure (GI) practices within MS4s.  This information can be used
to evaluate how prevalent these practices are, which are most commonly
used and where, and how and to whom they are applied.  Information as to
what is not suitable (and where) will also be obtained.

Specifically: 

Question A44 asks what (if any) retention practices are required;
Question A45 asks what practices have been implemented; Questions
A46-A47 ask which are used in municipal work projects and the driver for
their implementation.  This information will indicate how prevalent
these practices are, to assess how readily MS4s may be able to implement
such practices in the future.

Questions A48-A49 ask whether there are any obstacles or
contraindications for the use of retention practices within a
jurisdiction, to establish what factors may prevent the implementation
of retention practices and how prevalent these barriers are.

Questions A50-A54 concern incentives that may be provided to encourage
retention practices and green infrastructure for new development,
redevelopment, and retrofitting.  These data will help in analyzing
which (if any) incentives have been effective for encouraging green
infrastructure practices and provide baseline information about which
incentives are most common.

Questions A55-A57 inquire about public- vs. private-owned stormwater
control practices; relative prevalence of each, and authority for
inspecting/maintaining when on private property.  This information can
give insight into how much individual property owners may be required to
oversee in terms of stormwater management, and where much of this burden
will be placed. 

Question A58 asks whether they have compared the costs of traditional
stormwater practices against the costs of alternative stormwater
practices for any municipal projects.  The data will help in determining
the extent to which such cost comparisons are being conducted on a
site-specific basis and the possible availability of those comparisons.

Question A59 gives the MS4 the opportunity to provide any further
technical information.

 

SECTION B:	FINANCIAL INFORMATION

Questions B1 to B14.  This information is essential to determining what
(if any) additional financial burden is likely to be placed upon an MS4
as a result of this proposed new regulation; also, what proportion of
their total annual budget is assigned specifically to stormwater-related
issues and how that might change.

Specifically: 

Questions B1-B3 attempt to differentiate between the total operating
budget and the portion which is specifically designated for stormwater. 
However, it is essential that the components that constitute
“stormwater budget” within a jurisdiction be elucidated so that
direct cost comparisons can be made; these questions attempt to
explicitly identify those components.

Questions B4-B6 ask about dedicated funding for personnel, funding
sources, and projected budgets for stormwater.  This will provide
baseline financial information.

Questions B7-B10 are about permit fees (including sources) and how much
they cover stormwater expenses – will be used for analysis and
baseline information.

Questions B11-B12 regard budgeting for stream restoration and will
provide baseline information.

Question B13 asks about specific practices and whether there is
available financial information (for both installation and maintenance),
that will be used to determine relative costs of different stormwater
management techniques.

Question B-14 gives the MS4 the opportunity to provide any further
financial information. 

STATE QUESTIONNAIRE

section A: General information

Question A1 collects identification information including the name,
title, address, and phone number of the primary contact at the state to
verify or clarify the responses as necessary. 

Questions A-2 to A-5 request the state to provide their current
expenditure on their stormwater program and estimate next year’s
budget. The state is requested to itemize how it divides the stormwater
budget in both dollars and full time equivalents (FTEs) between the
major activities of its program (permitting, inspections, etc). EPA
would use this information for economic/financial analysis to
characterize the state’s baseline financial operations, including, in
particular, how those funds are distributed to different stormwater
tasks.

Question A-6 requests the state to identify if it contributes to the
stormwater budget of MS4s. EPA would use this information for
economic/financial analysis.

Question A-7 gives the state the opportunity to provide any further
information on its stormwater budget. 

section b: mUNICIPAL STORMWATER PROGRAM information

Questions B-1 to B-9 request information on the scope of the municipal
stormwater program, including the number of Phase I MS4s and Phase II
MS4s permittees, the type of permittees (cities, counties, DOTs, etc),
how the MS4s are permitted and the mechanism to do so (e.g., individual
or general permit), and who is responsible for such implementation.
These questions will be used to provide EPA with an updated
characterization of each state’s municipal stormwater program.

Question B-10 requests information about whether or not the state
requires the Phase I MS4 to implement the six minimum measures as
described in the Phase II regulations. Question B-11 requests
information about whether or not the state requires Phase II MS4s to
implement an industrial program similar to that required for Phase I
MS4s.  EPA will use this information to determine how widely Phase I and
Phase II regulations have been implemented for all MS4s. 

Questions B-12 and B-13 request information on the number of audits
and/or inspections and enforcement actions for MS4s that the state has
performed over the last five years. EPA would use this updated
information regarding the state’s level of oversight on the municipal
stormwater program to have a better understanding of the capacity of the
state to implement potential changes in the stormwater management
regulation.

Questions B-15 to B-18 request information on the type of stormwater
performance standards and/or design criteria for newly developed and
redeveloped sites that the state may have enacted and the regulatory
drivers for instituting those standards.  Information is also requested
on the regulatory mechanism for implementing those standards and whether
or not the standards are addressed in their state stormwater manual. EPA
would use this information to establish a baseline for current
regulatory requirements, mechanisms, and drivers. 

Question B-19 concerns incentives that may be provided to encourage
retention practices and green infrastructure for new development and
redevelopment.  This data will help in analyzing which (if any)
incentives have been effective for encouraging green infrastructure
practices and provide baseline information about which incentives are
most common.

Question B-20 requests information on whether the state has retrofits
requirements for stormwater discharges from existing development. EPA
would use this information to identify states which are currently
implementing post construction stormwater performance/design standards
for different types of development.

Question B-21 and B-22 request information about stormwater mitigation
programs, including payment in lieu and off-site mitigation to identify
which states are currently implementing these practices.  

Question B-23 gives the state the opportunity to comment on ways to
incorporate sources of stormwater discharge that are currently in
unregulated areas. EPA will use this information in consideration of
practical solutions to updates of the stormwater regulation.

Question B-24 gives the state the opportunity to provide any further
information about its municipal stormwater regulations and/or permits.

section C: Industrial STORMWATER PROGRAM information

Questions C-1 and C-2 request information the number of permittees in
the state’s industrial stormwater program and how many of those
facilities are located within MS4 boundaries. These questions will be
used to provide EPA with an updated characterization of each state’s
industrial stormwater program.

Questions C-3 through C-4 request information on the number of
inspections and enforcements of industrial facilities performed by the
state. EPA would use this updated information regarding the state’s
level of oversight on the industrial stormwater program to have a better
understanding of the capacity of the state to implement potential
changes in the stormwater management regulation.

Question C-5 gives the state the opportunity to provide any further
information about its industrial stormwater regulations and/or permits.

section D: Construction STORMWATER PROGRAM information

Questions D-1 and D-2 request information on the size criteria for
obtaining a state construction permit for stormwater and the number of
permittees in the state’s program for the last five years. 

Question D-3 request information about any post construction
requirements in the state’s construction general stormwater permit. 
These questions will be used to provide EPA with an updated
characterization of each state’s construction stormwater program.

Questions D-4 and D-5 seek to determine if the state reviews
construction site stormwater pollution prevention plans (SWPPPs) and if
it issues construction guidance manuals for stormwater. In addition,
Questions D-6 and D-7 request information on the number of inspections
and enforcements of construction sites performed by the state. EPA would
use this updated information regarding the state’s level of oversight
on the construction stormwater program to have a better understanding of
the capacity of the state to implement potential changes in the
stormwater management regulation

Question D-8 gives the state the opportunity to provide any further
information about its construction stormwater regulations and/or
permits.

Respondent Activities

All questionnaire respondents must read the transmittal letter with
attachments citing authority of section 308 of the Clean Water Act, and
confidentiality and handling instructions of any responses asserting a
CBI claim. Respondents will also need to read the Introduction, General
Instructions, Definition of Key Terms, and Certification Statement
sections in the beginning of the questionnaire. The Introduction section
provides the purpose and use of the questionnaire, questionnaire
outline, e-mail/help line information, and information on how to return
the completed questionnaire. The General Instructions section will give
the respondent guidance on completing the responses and including
attachments, if needed. The Definition of Key Terms provides respondents
with all pertinent definitions and acronyms to understand and complete
the questionnaire sections.

Each respondent will need to read and understand the questionnaire, plan
response activities, gather information, compile and review information,
and complete the questionnaire form. The respondent would also be
required to maintain a copy and retain the completed questionnaire form
for up to one year, in the event that EPA has to contact the respondent
for clarification of any response.

Industry Questionnaire

Part A of the questionnaire requires the respondent to determine whether
they are within the scope of the information collection. If yes, then
Parts B, C, and D of the questionnaire require the respondent to report
establishment or firm-level financial data, as appropriate, and
project-level technical and financial data. Establishment-level
financial data should be available from the Establishment’s balance
sheet, income statement, and cash flow statement and for respondents
with Firm-level ownership, from the Firm’s balance sheet, income
statement, and cash flow statement.  Section C and D require respondents
to report on project-specific technical and cost-related and financial
data.

MS4 Questionnaire

Respondents to the MS4 Questionnaire will be required to report on
stormwater related requirements, ordinances, and practices applicable to
their jurisdiction and to provide annual operating budget and permit fee
information.

States Questionnaire

Respondents to the State Questionnaire will be required to report on
state stormwater related requirements, permitting activities, inspection
and enforcement actions, and to provide annual operating budget
information.

The Information Collected:  Agency/Contractor Activities, Collection
Methodology, and Information

Agency/Contractor Activities

The Agency and/or its support contractors will conduct the following
activities to administer the questionnaires:

Development of three questionnaires;

Development of the sample frames;

Development of a sample designs;

Development of Federal Register Notices (FRNs);

Consultation with respondent trade associations, industry
representatives, MS4s, states, environmental groups, and other
stakeholders on the questionnaires;

Review of questionnaire comments provided by trade associations,
industry representatives, MS4s, states, EPA work group, OMB,
environmental groups, and other stakeholders;

Development of the ICR;

Performing the sample draws;

Development of a mailing list database and mailing labels;

Development of a tracking system for questionnaire mail out/e-mail
sending, receipt, and return activities;

Mail-out of the industrial questionnaire;

E-mail sending of the MS4 and State Questionnaires;

Development and maintenance of a web-site and help line support option
for respondents who require assistance in completing their
questionnaire, which may include responding to questions via e-mail or
call backs and documentation of the contacts;

Development of the databases for questionnaire responses;

Receipt and review of questionnaire responses;

Data entry and verification for the Industry Questionnaire responses and
file uploading and verification for the MS4 and State Questionnaire
responses;

Summarization and analysis of questionnaire responses for a profile of
affected entities; and

Performance of statistical summaries and technical and economic
analyses.

EPA will ultimately use the questionnaire results as part of its effort
to develop stormwater management requirements including standards for
stormwater discharges from newly developed and redeveloped sites.

Collection Methodology and Management

Each commercial or residential construction contractor or owner selected
to receive the Industry Questionnaire would receive its own
questionnaire via Federal Express or comparable carrier to ensure a
point of contact signs for and receives the questionnaire package. The
respondent would be given the option of completing a paper questionnaire
or electronically using standard software.   Each respondent would be
allowed 60 days to return the completed questionnaire through a carrier
of their choice. 

Each selected MS4 and U.S. state or territory would receive an
electronic questionnaire or a link to a questionnaire to be completed
and sent via e-mail to EPA. EPA will incorporate an electronic method to
determine questionnaire receipt.

EPA will provide an e-mail address to so that respondents can request
assistance in completing the technical and/or financial/economic
sections of the questionnaires. Responses to questions will be
documented and, as requested by a respondent, EPA or its representatives
will provide assistance by phone.

Each questionnaire respondent will be assigned a unique identification
number for ease of tracking. The identification number will be used to
track the mailing or e-mailing date of the questionnaire, questionnaire
receipt date by the respondent, follow-up correspondence and telephone
calls, and EPA’s receipt of the completed questionnaires. The
identification number will also be used as a respondent code for file
upload in the questionnaire databases.

Upon receipt of completed questionnaires, EPA and its contractors will
review the questionnaire responses for completeness and CBI claims. All
questionnaires will also be reviewed for consistency and reasonableness
and follow up calls will be conducted as needed to clarify
inconsistencies found in the responses. Reviewed questionnaire files
will then be uploaded into questionnaire databases. The databases
developed using the questionnaire responses will be used by EPA to
perform data analysis for the purpose of developing discharge standards.

Small Entity Flexibility

The target population for the Industry Questionnaire is all construction
and development establishments that owned, operated, developed, and/or
served as a contract builder for at least one completed project during
their 2009 Fiscal Year. The target population for the MS4 questionnaire
is, at a minimum, all MS4 communities potentially regulated under NPDES
Phase I and Phase II regulations.  EPA expects the majority of both of
these populations to be small entities. 

 Because this regulation could potentially affect these small entities,
EPA needs to collect information to adequately assess any impacts to
them. As explained in more detail is Section 6a below, EPA has designed
all of the questionnaires to include burden-reducing features.  In
addition, for the Industry Questionnaire, EPA projects the burden will
be less for small entities because they will likely have completed fewer
projects within FY2009 as compared to large entities and would therefore
be required to provide much less detailed technical and financial
information on a project level.    

Collection Schedule

The schedule for distribution, response receipt, and data collection
activities for the questionnaires has not yet been established but will
include the following activities:

Activity	Estimate of Schedule

Questionnaire and ICR Supporting Statement Development Ends	October 15,
2009

Publication of first Federal Register Notice (FRN)	November 1, 2009

Consultations and review/revision 	November  2, 2010- March 15, 2009

End of First FRN 60-day public comment period	January 1, 2010

Publication of 2nd FRN/Beginning of OMB Review	April 1, 2010

End of Second FRN 30-day public comment period	May 1, 2010

End of OMB Review 	June 1, 2010

Mailout of the questionnaires	June 2010

Receipt of questionnaire responses	August 2010

Complete questionnaire follow-up	November 2010 



Estimating the Burden and Cost of the Collection

Estimating Respondent Burden

The Agency designed all of the questionnaires to include burden-reducing
formatting features. These features include:

Questions on related topics grouped together;

Skip patterns where possible so that respondents are directed to skip
over questions for information that does not apply to their situation;
and

Financial questions designed to solicit information that would be
available on an establishment’s and firm’s balance sheet, income
statement, and cash flow statement.

The Agency will also have an internet e-mail address where respondents
may request assistance. 

(a) 	Industry Questionnaire

EPA estimates it would take an average of 57 hours for each in-scope
Industry Questionnaire recipient to complete and review its responses.
This estimate is based on an assumption that:

Twenty-five percent of the establishments will report data for ten
construction projects;

Twenty-five percent of the establishments will report data for five
construction projects; and

Fifty percent of the establishments will report data for one
construction project 

Additionally, EPA assumes that and that on average each project will
involve three stormwater management/control practices.

(b) MS4 Questionnaire

For the MS4 Questionnaire, EPA estimates that it would take an average
of 50 hours to complete and review the questionnaire.

(c)	States Questionnaire

 For the State Questionnaire, EPA estimates that it would take an
average of 30 hours to complete and review the questionnaire.

EPA would distribute the questionnaires to 1,000 industrial entities,
1,000 MS4s, and 60 state/territory contacts. Because the recipients are
legally obligated to complete the questionnaire under the authority of
Clean Water Act Section 308, EPA expects at least a 90 percent response
rate.  For purposes of the burden estimate, EPA has assumed 100%
response to develop a conservative estimate.  EPA estimates that the
total burden for the recipients of the Industry Questionnaire, MS4
Questionnaire, and State Questionnaire would be 56,875 hours, 50,000
hours, and 1,800 hours, respectively. 

Table 2 presents the average hourly burden by labor category associated
with all respondent activities necessary to complete the questionnaires
and the total burden by labor category based on the categories of
respondents.  Table 3 presents the total respondent burden estimated for
the questionnaire effort.

Table 2. Estimated Respondent Burden to Complete the Questionnaires
(Hours)



Respondent Activity	Hours by Job Category

	Technical/ Environmental Engineer	Clerical Support	Project  Manager
Financial Manager	Legal	Total Burden per Activity 

(Hours)

Industry Questionnaire

	Read Instructions	0.5	0	0.75	0.5	0	1.75

General Info Section A	0	0	1.25	0	0	1.25

Firm Financial Section B	0	1	2	4.5	0.5	8

Project Specific Technical Questions (Per Project) Section C	1.75	0.75
0.5	0	0	3

Total Technology Specific Questions (Per Technology) Section C	1	0	0.5	0
0	1.5

Total for Project Financial Section C	0	0.5	8	7.5	0.5	16.5

Total for Project Financial Section D	0	0.5	3	6.5	0.5	10.5

Average Total for Industry Questionnaire*	20.69	4.69	16.75	11.75	1.0
54.88

State Questionnaire (per respondent)

	Read Instructions	0	0	0.5	0	0	0.5

General Information Section A	0	0	2	0	0	2

Municipal Stormwater Program Section B	5	4	2	0	0	11

Industrial Stormwater Program Section C	4	2	0	0	0	6

Construction Stormwater Program Section D	4	2	0	0	0	6

Complete questions and review	2	0	1.5	0	0	3.5

Total for State Questionnaire	15	8	6	0	0	29

MS4 Questionnaire (per respondent)







Read instructions	0	0	0.5	0.5	0	1

Technical Information Section A	24	8	4	0	0	36

Financial Information Section B	0	1	0	3	0	4

Contact Information Section C	0	0	0.25	0	0	0.25

Complete questions and review	4	0	1.25	0.5	1	6.75

Total for MS4 Questionnaire	28	9	6	4	1	48

Follow-up for Industry  Respondents	0	0	1	1	0	2

Follow-up for State Respondents	0	0	1	0	0	1

Follow-up for MS4 Respondents	0	0	1	1	0	2

	Total Burden (Hours)

Average Total Industry Respondent* 	20.69	4.69	17.75	12.75	1	56.88

Total State Respondent	15	8	7	0	0	30

Total MS4 Respondent	28	9	7	5	1	50



*Note:  For Industry Questionnaire the respondent activity columns
appropriately do not sum to the average total.  This is because the
burden for each respondent activity for the industry questionnaire
varies.  The total average burden assumes: 

1) That 25% of the projects are completed by the owner/developer and 75%
of the projects are completed by the lead contractor/contract builder;

2) That 25% of the respondents will respond for 10 projects, 25% of the
respondents will respond for 5 projects, and 50% of the respondents will
respond for 1 project; and

3) That each project will include information on three technologies.   

Table 3. Total Respondent Burden in Hours

Respondent Category	Burden per Respondent

(Hours)	Number of Respondents	Total Burden

(Hours)

Industry Respondents 



	All Respondents (Total)	56.88	1,000	56,875

State Respondents



	All Respondents (Total)	30	60	1,800

Municipal Respondents 



	All Respondents (Total)	50	1,000	50,000

TOTAL for ALL QUESTIONNAIRES

2,060	108,675



Estimating Respondent Costs

Estimating Labor Costs

The direct cost to each respondent to complete the questionnaire equals
the time required to read and understand the questionnaire, gather the
information, compile and review the information, and complete the
questionnaire form. EPA anticipates that the industry respondents will
submit their questionnaires by mail, therefore material costs for each
industry respondent would include photocopying and postage. EPA
anticipates that the state and MS4 respondents will submit their
questionnaires electronically and therefore material costs would not be
required for those respondents.  Labor costs would compose the majority
of the financial burden imposed on the industry, MS4s, and states.

The Agency estimated respondent labor costs using average hourly wages
derived from Bureau of Labor Statistics (BLS) Occupational Employment
Statistics (May 2008) to develop labor category rates in $/hour to use
with the hour burden estimates. For industry labor rates, EPA used
median hourly earnings representative of Engineering Services. For the
MS4 and state labor rates, EPA used median hourly earnings
representative of local government.

Table 4 presents the average labor cost burden by job category and the
total labor cost burden per questionnaire for the industry in-scope,
industry out-of-scope, state, and MS4 respondents. Table 5 presents the
total respondent labor cost burden estimated for the entire
questionnaire effort.

Table 4. Estimated Per Questionnaire Respondent Burden (Dollars)

	Costs by Job Category

	Technical/ Environmental

Engineer	Clerical Support	Construction Manager	Financial Manager	Legal
Total Burden (Dollars)

Industry Respondent  	$738	$61	$974	$600	$61	$2,434

State Respondent	$468	$111	$337	$0	$0	$916

MS4 Respondent	$874	$124	$337	$189	$40	$1,564

TOTAL 	2,080	$296	$1,648	$789	$101	$4,914



Table 5. Total Respondent Burden in Labor Costs

Respondent Category	Burden per Respondent

($)	Number of Respondents	Total Labor Burden

($)

Industry Respondents

All Respondents  	$2,434	1,000	$2,433,828

State Respondents

All Respondents	$916	60	$54,955

MS4 Respondents

All Respondents 	$1,564	1,000	$1,564,350

TOTAL for ALL RESPONDENTS

2,060	$4,053,133

			Note:  Total Burden ($) calculated using un-rounded burden per
respondent amount.

			Estimating Capital and Operations and Maintenance (O&M) Costs

Because EPA would not require questionnaire respondents to purchase any
goods, including equipment or machinery, to respond to the
questionnaire, the Agency does not expect capital costs to result from
the administration of this data collection request. Operation and
maintenance costs for the Industry Questionnaire would only include
photocopying and postage. EPA assumed a photocopying rate of $0.10 per
page for an estimated 75 pages per questionnaire for a total photocopy
cost of $7,500 EPA is also assuming that the respondents will return the
completed questionnaire file via Federal Express or a comparable
delivery carrier that requires a signature to acknowledge receipt. EPA
estimates the Federal Express Saver rate at $9.65 for a 1-lb package per
respondent for a total mailing cost of $9,650. 

Since the MS4 and State Questionnaire will be submitted electronically
there would be no O&M costs associated with that questionnaire.

Estimating Agency and Contractor Burden and Costs

Table 6 presents an estimate of the burden and labor costs EPA and its
support contractors would incur to administer the questionnaires. The
table identifies the collection administration tasks to be performed by
Agency employees and contractors, with the associated hours required for
each grouping of related tasks. EPA determined contractor labor costs by
multiplying contractor burden figures by an average hourly labor rate of
$80/hour.  EPA determined Agency labor costs by multiplying Agency
burden figures by an average hourly labor rate of $40.44/hour.  Table 7
presents the estimated Agency total costs including labor and O&M. Total
Agency costs (including contractor and O&M costs) are estimated at
$948,386.

Estimating the Respondent Universe and Total Burden Costs

EPA estimates a total burden of 108,675 hours and a total labor and O&M
cost of $4,070,282 for all respondents. See Tables 3 and 5.

Bottom-Line Burden Hours and Cost Tables

With 1,000 Industry Questionnaires, 60 State Questionnaires and 1,000
MS4 questionnaires and questionnaire follow-up information requests to
clarify questionnaire responses, EPA estimates that the total burden is
108,675 hours and $4,070,282 for the respondent community and 12,593
hours and $948,386 for the Agency. See Tables 3, 5, 6, and 7.

Reasons for Change in Burden

Not applicable. This is a new collection. 

Table 6. Estimated Agency and Contractor Burden and Labor Costs

Activity	Burden (Hours)	Labor Cost ($)

	Agency	Contractor	Total Hours	Agency

($40.44/hr)	Contractor

($80/hr)	Total Cost

Develop the questionnaire instruments; Provide the draft questionnaire
instruments to industry for review; 

Meet with trade association representatives;

Publish notice of anticipated ICR in Federal Register;

Respond to all comments received;

Revise Questionnaire instruments based on reviewer’s comments.	340
1,820	2,160	13,750	145,600	159,350

Design sampling approach;

Develop a mailing list database;

Develop a system to track mailing/e-mailing and receipt activities;

Mail questionnaire files.	210	1,183	1,393	8,492	94,640	103,132

Develop and maintain e-mail helpline	170	555	725	6,875	44,400	51,275

Maintain response tracking system;

Implement appropriate procedures for handling CBI responses;

Review responses and collect missing data; 

Engineering and economic followup to clarify responses to
questionnaires. 	1,000	6,619	7,619	40,440	529,520	569,960

Develop questionnaire database 

Upload and verify data	60	635	695	2,426	50,800	53,226

Total*	1,780	10,813	12,593	$71,983	$865,053	$937,036

* Activity amounts are estimates using rounded values, total amounts
were calculated using un-rounded values. 

Table 7. Estimated Agency Total Cost (Labor and O&M)

	Agency	Contractor	Total Agency and Contractor Cost

Labor Costs	$71,983	$865,053	$937,036

O&M Costs	$1,000	$10,350	$11,350

Total Labor and O&M Costs	$72,983	$875,403	$948,386



Burden Statement

EPA estimates it would take 57 hours and $2,434 for each Industrial
Questionnaire respondent, 30 hours and $916 for each State Questionnaire
respondent, and 50 hours and $1,564 for each MS4 Questionnaire
respondents to complete and review their responses to the
questionnaires. This estimate is based on U.S. Department of Labor,
Bureau of Labor Statistics’ Occupational Labor data from May 2008 for
the likely range of personnel involved in responding.

EPA estimates that the total respondent burden for the three
questionnaires would be approximately 108,675 hours, or $4.07 million
dollars. EPA estimates that there would be no start up or capital cost
associated with the questionnaires described above.

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-2009-0817, which is available for public viewing at the EPA
Docket Center Public Reading Room in the EPA Docket Center (EPA/DC), EPA
West, Room Number 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 Public Reading Room is (202) 566-1744, and the telephone
number for the Water Docket is (202) 566-2426. You can also contact the
Water Docket via e-mail at   HYPERLINK "mailto:OW-Docket@epa.gov" 
OW-Docket@epa.gov . An electronic version of the public docket is
available through the Federal Docket Management System (FDMS) accessed
from   HYPERLINK "http://www.regulations.gov"  www.regulations.gov . Use
FDMS 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. Once in the system,
select “search” then key in the docket ID number identified above.
Also, you can send comments by mail to Water Docket, U.S. Environmental
Protection Agency, Mail code: 4203M, 1200 Pennsylvania Ave., NW,
Washington, DC 20460 or hand delivery to Water Docket, EPA Docket
Center, EPA West Building Room 3334, 1301 Constitution Ave., NW,
Washington, DC. Please include the EPA Docket ID No. and OMB control
number in any correspondence. 

 EPA is not collecting data on erosion control activities or stormwater
management activities during the active construction phase through this
questionnaire.  

CONTENTS (Continued)

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