SUPPORTING
STATEMENT
INFORMATION
COLLECTION
REQUEST
FOR
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
PART
A
ii
TABLE
OF
CONTENTS
Section
Page
1.
IDENTIFICATION
OF
THE
INFORMATION
COLLECTION
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1
1(
a).
Title
of
the
Information
Collection
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1
1(
b).
Short
Characterization/
Abstract
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1
2.
NEED
FOR
AND
USE
OF
THE
COLLECTION
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1
2(
a).
Need/
Authority
for
the
Collection
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1
2(
b).
Practical
Utility/
Uses
of
the
Data
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2
3.
NONDUPLICATION,
CONSULTATIONS,
AND
OTHER
COLLECTION
CRITERIA
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3
3(
a).
Nonduplication
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3
3(
b).
Public
Notice
Required
Prior
to
ICR
Submission
to
OMB
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3
3(
c).
Consultations
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4
3(
d).
Effects
of
Less
Frequent
Collection
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6
3(
e).
General
Guidelines
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7
3(
f).
Confidentiality
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7
3(
g).
Sensitive
Questions
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7
4.
THE
RESPONDENTS
AND
THE
INFORMATION
COLLECTED
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7
4(
a).
Respondents/
SIC
Codes
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7
4(
b).
Information
Requested
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8
i.
Data
Elements
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8
ii.
Respondent
Activities
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8
5.
THE
INFORMATION
COLLECTED
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AGENCY
ACTIVITIES,
COLLECTION
METHODOLOGY,
AND
INFORMATION
MANAGEMENT
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8
5(
a).
Agency
Activities
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8
5(
b).
Collection
Methodology
and
Management
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9
5(
c).
Small
Entity
Flexibility
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9
5(
d).
Collection
Schedule
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10
6.
ESTIMATING
THE
BURDEN
AND
COST
OF
THE
COLLECTION
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10
6(
a).
Estimating
Respondent
Burden
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10
6(
b).
Estimating
Respondent
Costs
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11
i.
Estimating
Labor
Costs
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11
ii.
Estimating
Capital
and
Operation
and
Maintenance
Costs
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12
iii.
Capital/
Start­
up
vs.
Operating
and
Maintenance
(
O&
M)
Costs
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12
iv.
Annualizing
Capital
Costs
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12
6(
c).
Estimating
Agency
Burden
and
Cost
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12
6(
d).
Estimating
the
Respondent
Universe
and
Total
Burden
and
Cost
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15
iii
TABLE
OF
CONTENTS
(
Cont'd)

Section
Page
6(
e).
Bottom
Line
Burden
Hours
and
Cost
Tables
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15
i.
Respondent
Tally
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15
ii.
Agency
Tally
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15
6(
f).
Burden
Statement
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16
APPENDIX
A.
Institutional
Controls
Tracking
Systems
and
Costs
Survey
Questionnaire
APPENDIX
B.
First
Federal
Register
Notice
APPENDIX
C.
Response
to
Comments
1
1.
IDENTIFICATION
OF
THE
INFORMATION
COLLECTION
1(
a).
Title
of
the
Information
Collection
Institutional
Controls
Tracking
Systems
and
Costs
Survey
1(
b).
Short
Characterization/
Abstract
The
U.
S.
Environmental
Protection
Agency
("
EPA"),
Office
of
Emergency
and
Remedial
Response
("
OERR")
is
seeking
clearance
from
the
Office
of
Management
and
Budget
("
OMB")
to
gather
information
about
the
characteristics
of
information
systems
currently
used
by
state,
tribal,
and
local
governments
to
track
the
implementation,
monitoring,
and
enforcement
of
institutional
controls
at
sites,
facilities,
and
properties
under
their
jurisdiction.
OERR
proposes
to
use
survey
questionnaires
to
gather
information
about
types
of
institutional
controls
tracking
systems
currently
in
use;
their
purpose,
scope,
and
structure;
the
kinds
of
data
they
track;
their
data
entry,
quality
assurance,
administration,
and
access
features;
data
querying
capabilities;
compatibility
with
a
future
EPA
system;
development,
population,
and
operating
costs;
and
lessons
learned
from
developing,
implementing,
and
operating
them.

OERR
does
not
intend
to
use
the
information
resulting
from
this
survey
to
generalize
about
an
overall
population.
Survey
responses
are
intended
to
provide
OERR
with
a
detailed
overview
of
state,
tribal,
and
local
governments'
current
practices
and
procedures
for
tracking
institutional
controls
and
to
enable
OERR
to
evaluate
the
strengths
and
weaknesses
of
different
tracking
systems.

Included
in
this
information
collection
request
("
ICR")
are
proposed
survey
questions
submitted
for
OMB
approval.
EPA
estimates
that
52
states,
10
tribes,
and
no
more
than
200
local
agencies
(
planning,
zoning,
and
real
estate
recording
offices)
will
be
surveyed.

In
addition
to
the
survey,
this
ICR
includes
requests
for
clarification,
follow­
up
questions,
follow­
up
calls
to
unresponsive
respondents,
and
agency
visits.
Clarifications
and
follow­
up
questions
will
be
necessary
if
EPA
requires
more
information
to
understand
a
tracking
system.
Up
to
50
agencies
may
be
asked
to
provide
additional
information.
EPA
proposes
to
visit
no
more
than
20
agencies
to
evaluate
their
institutional
controls
tracking
systems.

2.
NEED
FOR
AND
USE
OF
THE
COLLECTION
2(
a).
Need/
Authority
for
the
Collection
OERR
is
currently
researching
the
development
of
a
system
for
tracking
institutional
controls
at
Fund­
and
enforcement­
lead
Superfund
sites.
Institutional
controls
are
non­
engineered
remedial
measures
such
as
administrative
and/
or
legal
controls
that
minimize
the
potential
for
exposure
to
contamination
by
limiting
land
or
resource
use.
Institutional
controls
are
employed
at
sites
where
remedies
leave
contaminant
residuals
on
site
that
do
not
allow
for
unlimited
use
and
unrestricted
exposure.
Institutional
controls
can
reduce
the
potential
for
unacceptable
exposure
to
residual
contamination
and
can
also
be
used
to
protect
the
integrity
of
an
engineered
remedy.
1
The
NCP,
40
CFR
300.430(
a)(
1)(
iii),
provides
that
EPA
"
expects
to
use
institutional
controls
such
as
water
use
and
deed
restrictions
to
supplement
engineering
controls
as
appropriate
.
.
."

2
Use
of
institutional
controls
at
Superfund
sites
is
authorized
by
the
National
Oil
and
Hazardous
Substances
Pollution
Contingency
Plan
("
NCP"),
40
CFR
Part
300.
EPA
has
issued
guidance
on
the
use
of
institutional
controls
in
conjunction
with
other
cleanup
remedies1,
including:

°
Policy
on
Management
of
Post­
Removal
Site
Control,
OSWER
Directive
No.
9360.2­
02,
December
3,
1990.

°
Use
of
Institutional
Controls
at
Superfund
Sites,
Memorandum,
July
27,
1992.

°
Land
Use
in
the
CERCLA
Remedy
Selection
Process,
OSWER
Directive
No.
9355.7­
04,
May
25,
1995.

°
Institutional
Controls:
A
Reference
Manual,
U.
S.
EPA
Workgroup
on
Institutional
Controls,
March
1998.
[
DRAFT]

°
Interim
Final
Guidance
Institutional
Controls
and
Transfer
of
Real
Property
under
CERCLA
Section
120(
h)(
3)(
A),
(
B),
or
(
C),
Memorandum,
January
6,
2000.

°
Institutional
Controls:
A
Site
Manager's
Guide
to
Identifying,
Evaluating
and
Selecting
Institutional
Controls
at
Superfund
and
RCRA
Corrective
Action
Cleanups,
OSWER
Directive
No.
9355.0­
74FS­
P,
September
2000.

The
resulting
increase
in
use
of
institutional
controls
has
prompted
concerns
about
their
long­
term
reliability.
EPA
believes
that
developing
an
ability
to
track
the
implementation,
monitoring,
and
enforcement
of
institutional
controls
is
essential
to
ensure
their
reliability
and
acceptability
and
critical
to
fulfill
EPA's
core
mission
of
protecting
human
health
and
the
environment.

2(
b).
Practical
Utility/
Uses
of
the
Data
The
survey
questionnaire
is
designed
to
gather
information
about
the
purpose
and
scope
of
the
respondent's
tracking
system,
its
structure
and
operations,
user
access
and
information
sharing
practices,
costs,
and
lessons
learned
from
using
it.
OERR
believes
that
information
gathered
through
the
survey
will
help
it
design
a
Superfund
institutional
controls
tracking
system
that
incorporates
the
most
appropriate
features
of
other
systems
and
as
much
existing
institutional
controls
data
as
possible.
The
proposed
information
collection
is
the
first
phase
of
a
design
process
that
includes:
1)
defining
and
organizing
data
elements,
2)
developing
data
collection
points,
3)
designing
the
user
interface,
4)
developing
data
entry
and
access
procedures,
and
5)
developing
and
piloting
a
process
for
estimating
data
availability
and
the
cost
and
time
required
for
data
acquisition.
OERR
believes
that
survey
responses
will
provide
useful
background
information
for
each
phase
of
the
design
effort.
OERR
expects
that
the
public
will
eventually
have
access
to
the
tracking
database
via
EPA's
website.
3
3.
NONDUPLICATION,
CONSULTATIONS,
AND
OTHER
COLLECTION
CRITERIA
3(
a).
Nonduplication
The
Institutional
Controls
Tracking
Systems
and
Costs
Survey
is
an
exploratory
and
descriptive
survey
designed
to
gather
information
about
respondents'
current
practices
and
procedures
for
tracking
information
about
institutional
controls
used
in
their
jurisdictions.
The
survey
requests
information
only
about
the
respondent's
"
in­
house"
activities.
Therefore
responses
provided
in
one
survey
questionnaire
should
not
duplicate
responses
provided
in
any
other.
This
information
collection
is
a
one­
time
effort.
The
information
sought
does
not
duplicate
information
collected
through
any
other
EPA
survey
or
reported
to
EPA
pursuant
to
statute.
Moreover,
there
is
no
central
repository
of
or
reference
work
containing
information
about
state,
tribal,
or
local
governments'
institutional
controls
tracking
systems
and
costs.

3(
b).
Public
Notice
Required
Prior
to
ICR
Submission
to
OMB
EPA
has
complied
with
the
public
notice
requirement
set
forth
in
5
CFR
1320.8(
d)(
1)
by
publishing
a
notice
in
the
Federal
Register
on
October
2,
2001
(
66
FR
50182).
This
notice
opened
a
60­
day
public
comment
period.

The
Federal
Register
notice
is
included
as
Appendix
B.
Comments
received
and
the
response
to
these
comments
are
included
as
Appendix
C.

EPA
received
19
official
comments
on
the
proposed
information
collection.
Official
comments
were
received
from:

Department
of
Energy:
Office
of
Environmental
Policy
and
Guidance,
John
Bascietto,
1000
Independence
Avenue,
SW,
Washington,
DC
20585,
(
202)
586­
7917;
dated
November
30,
2001.

Tennessee
Department
of
Environment
and
Conservation,
DOE
Oversight
Division,
John
A
Owsley
(
Director),
761
Emory
Valley
Road,
Oak
Ridge,
TN
37830­
7072,
(
865)
481­
0995;
dated
December
19,
2001.

Association
for
State
and
Territorial
Solid
Waste
Management
Officials's
(
ASTSWMO)
State
Superfund
Focus
Group,
Gary
Behrns,
444
North
Capitol
Street,
NW
Suite
315,
Washington,
DC
20001,
(
573)
751­
4187;
dated
December
3,
2001.

ESTM,
Inc.,
Craig
S.
J.
Johns,
980
9th
Street,
Suite
2200,
Sacramento,
CA
95814,
(
916)
498­
3326;
dated
December
4,
2001.

Maine
Department
of
Environmental
Protection,
Division
of
Remediation,
Denise
Messier,
17
State
House
Station,
Augusta,
ME
04333,
(
207)
287­
4851.
4
3(
c).
Consultations
This
ICR
is
based
on
consultations
with
the
following:

Federal
Contacts
Michael
E.
Bellot
Office
of
Emergency
and
Remedial
Response
bellot.
michael@
epa.
gov
Stephen
Hess
Office
of
General
Counsel/
EPA
Institutional
Controls
Workgroup
hess.
stephen@
epa.
gov
Terry
Roundtree
Environmental
Protection
Agency
Region
5
roundtree.
terry@
epa.
gov
Maryane
Tremaine
Environmental
Protection
Agency
Region
7
tremaine.
maryane@
epa.
gov
Tom
Kremer
Environmental
Protection
Agency
Region
9
kremer.
tom@
epa.
gov
Harry
Dutcher
Department
of
Army,
Army
Environmental
Center
harry.
dutcher@
aec.
apgea.
army.
mil
Richard
Engel
Naval
Facilities
Engineering,
Real
Estate
Base
Closure
Division
engelra@
navfac.
navy.
mil
Letitia
(
Tish)
O'Conor
Department
of
Energy,
Office
of
Long
Term
Stewardship,
Regulatory
and
Institutional
Controls
letitia.
oconor@
em.
doe.
gov
State
Contacts
Ben
Macintosh
CALSITES
Help
Desk
Department
of
Toxic
Substances
Control
CAL
EPA
ben.
macintosh@
dtsc.
ca.
gov
5
Robert
O'Hara
Site
Remediation
Program
Unit
Remedial
Project
Management
Section
Division
of
Remediation
Management
Bureau
of
Land
Illinois
EPA
robert.
ohara@
epa.
state.
il.
us
Mark
Wight
Division
of
Legal
Counsel
Illinois
EPA
mark.
wight@
epa.
state.
il.
us
Art
O'Connell
Chief,
Site
Assessment/
State
Superfund
Division
Environmental
Restoration
and
Redevelopment
Program
Maryland
Department
of
the
Environment
aoconnell@
mde.
state.
md.
us
Patrick
Lannon
Site
Remediation
Section
Minnesota
Pollution
Control
Agency
patrick.
lannon@
pca.
state.
mn.
us
Hannah
Martin
Superfund
Program
Missouri
Department
of
Natural
Resources
nrmarth@
mail.
dnr.
state.
mo.
us
John
Defina
Site
Remediation
Program
New
Jersey
Department
of
Environmental
Protection
jdefina@
dep.
state.
nj.
us
Harold
Sandbeck
Division
of
Environmental
Response
and
Remediation
Utah
Department
of
Environmental
Quality
hsandb@
deq.
state.
ut.
us
Trish
Akana
Toxics
Cleanup
Program
Washington
Department
of
Ecology
taka461@
ecy.
wa.
gov
Jane
Lemcke
Remediation
and
Redevelopment
Program
6
Wisconsin
Department
of
Natural
Resources
lemckj@
dnr.
state.
wi.
us
Local
Contacts
Ignacio
Dayrit
Emeryville,
California
idayrit@
ci.
emeryville.
ca.
us
Donald
Gardner
Office
of
Transportation
Portland,
Oregon
don.
gardner@
trans.
ci.
portland.
or.
us
Estevan
Lopez
Local
Government
Land
Use
Planning
Department
Santa
Fe
County,
New
Mexico
elopez@
co.
santa­
fe.
nm.
us
William
McLay
Local
Government
Land
Use
Planning
Department
Montgomery
County,
Pennsylvania
bmclay@
mail.
montcopa.
org
Vaughn
Umphrey
Local
Government
Land
Use
Planning
Department
Grand
Rapids,
Michigan
vumphrey@
ci.
grand­
rapids.
mi.
us
Land
Use
Planning
Association
Contacts
Sanjay
Jerr
America
Planning
Association
sjerr@
planning.
org
Joseph
Schilling
Director,
Community
and
Economic
Development
International
City/
County
Management
Association
jschilling@
icma.
org
3(
d).
Effects
of
Less
Frequent
Collection
Not
applicable.
7
3(
e).
General
Guidelines
This
proposed
ICR
complies
with
OMB
general
guidelines
for
the
collection
of
information
and
contains
no
provision
with
any
characteristic
listed
in
5
CFR
1320.5(
d)(
2).

3(
f).
Confidentiality
Not
applicable.

3(
g).
Sensitive
Questions
Not
applicable.

4.
THE
RESPONDENTS
AND
THE
INFORMATION
COLLECTED
4(
a).
Respondents/
SIC
Codes
Respondents
to
the
Institutional
Controls
Tracking
Systems
and
Costs
Survey
will
include
state,
tribal,
or
local
government
agencies
or
organizations
that
maintain
tracking
systems,
databases,
or
other
information
systems
that
collect
or
track
information
pertaining
to
the
selection,
planning,
design,
implementation,
oversight,
monitoring,
or
enforcement
of
institutional
controls
at
sites,
facilities,
or
properties
under
their
jurisdiction.
OERR
will
identify
respondents
with
the
help
of
its
State,
Tribal,
and
Site
Identification
Center,
membership
data
provided
by
the
International
City/
County
Management
Association,
777
North
Capitol
Street,
N.
W.,
Suite
500,
Washington,
DC
20002­
4201,
and
consultations
with
state,
tribal,
and
agency
officials
identified
in
the
course
of
institutional
controls
meetings,
conferences,
symposia,
and
workshops.
Respondents
will
fall
into
one
or
more
of
the
following
professional
categories
and
SIC
codes:

SIC
Code
Professional
Category
9111
City
and
town
managers'
offices
9111
County
supervisors'
and
executives'
offices
9121
City
and
town
councils
9121
County
commissioners
9431
Environmental
health
programs­
government
9511
Environmental
protection
agencies­
government
9511
Environmental
quality
and
control
agencies­
government
9511
Pollution
control
agencies­
government
9511
Waste
management
program
administration­
government
9511
Water
control
and
quality
agencies­
government
9532
Community
development
agencies­
government
9532
Redevelopment
land
agencies­
government
9532
Urban
planning
commissions­
government
9532
Urban
renewal
agencies­
government.
8
4(
b).
Information
Requested
i.
Data
Elements
The
Institutional
Controls
Tracking
Systems
and
Costs
Survey
will
be
sent
to
state,
tribal,
and
local
government
entities
that
are
likely
to
exercise
responsibility
for
institutional
controls.

The
survey
will
request
the
following
information
from
respondents:

°
General
system
and
respondent
information;
°
Purpose
and
scope
of
the
respondent's
tracking
system,
i.
e.,
the
types
of
sites
and
institutional
controls
tracked;
°
Structure
and
operations
of
the
respondent's
tracking
system,
including
database
software,
programming
language,
types
of
information
tracked,
number
of
data
elements,
data
entry
and
quality
assurance
procedures,
and
data
reporting
and
querying
capabilities;
°
User
access
and
information
sharing,
including
restrictions
on
data
availability;
°
Lessons
learned;
°
Costs
of
discharging
the
respondent's
responsibilities
for
institutional
controls,
including
staff,
capital
costs,
training,
and
other
direct
costs,
and
subsidies,
contributions,
and
other
cost­
sharing
arrangements.

ii.
Respondent
Activities
A
copy
of
the
survey
is
attached
to
this
proposed
ICR
as
Appendix
A.
Respondents
will
have
to
engage
in
the
following
activities
to
complete
the
survey
questionnaire:

°
Review
introduction
and
instructions,
°
Review
operations
and
gather
information,
°
Complete
and
return
questionnaire,
°
Respond
to
EPA
follow­
up
requests.

These
activities
will
be
the
same
whether
the
respondent
uses
the
hard
copy
or
electronic
questionnaire
format.

5.
THE
INFORMATION
COLLECTED
­­
AGENCY
ACTIVITIES,
COLLECTION
METHODOLOGY,
AND
INFORMATION
MANAGEMENT
5(
a).
Agency
Activities
Agency
activities
associated
with
the
Institutional
Controls
Tracking
Systems
and
Costs
Survey
include
the
following:

°
Develop
survey
questionnaire;
°
Administer
the
questionnaire
including
identifying
respondents,
putting
the
questionnaire
9
in
electronic
form,
and
reproducing,
mailing,
and
transmitting
the
questionnaire;
°
Review
survey
questionnaire
responses
including
reviewing
responses
for
completeness
and
evaluating
them
for
appropriate
follow­
up;
°
Perform
follow­
up
activities;
°
Analyze
responses
°
Prepare
findings.

5(
b).
Collection
Methodology
and
Management
Section
4(
b)(
ii),
"
Respondent
Activities,"
describes
the
information
collection
methodology
employed
for
this
survey.
EPA
plans
to
distribute
the
Institutional
Controls
Tracking
Systems
and
Costs
Survey
questionnaire
in
hard
copy
and
electronic
formats.
Respondents
will
be
able
to
respond
in
either
format.
The
full
survey
questionnaire
asks
up
to
approximately
65
questions
and
employs
standard
professional
terminology.
EPA
designed
the
questionnaire
to
collect
only
data
about
information
systems
that
track
institutional
controls,
and
respondents
are
asked
to
provide
data
only
if
they
have
such
a
tracking
system.
Respondents
are
not
asked
to
collect
or
generate
new
data.
If
a
question
cannot
be
answered
using
available
data
or
best
professional
judgment,
respondents
are
asked
to
indicate
this
fact
by
responding
"
other."
EPA
will
review
the
questionnaires
as
they
are
returned
and
follow
them
up
as
needed
to
obtain
missing
or
incomplete
data
and
to
clarify
or
supplement
responses.

Question
format
varies
according
to
the
type
of
data
sought
in
each
section
of
the
questionnaire.
Most
questions
ask
the
respondent
for
a
yes­
or­
no
or
narrative
response
or
to
check
boxes
and
identify
additional
options.
In
these
cases,
the
respondent
only
needs
to
check
off
the
appropriate
response.
The
questionnaire
was
designed
in
this
way
to
reduce
the
burden
on
respondents.
A
few
questions
relating
to
costs
involve
filling
in
blanks
and
estimating
hours
based
on
average
salaries
and
percentages
of
time
spent
on
specified
activities.
The
questionnaire
has
been
peer­
reviewed
by
OERR
personnel
and
management.
All
of
the
questions
in
the
survey
have
therefore
gone
through
multiple
iterations,
ensuring
that
the
survey
offers
a
complete
range
of
questions
that
will
elicit
the
information
needed
and
that
the
questions
do
not
collect
redundant
information.
EPA
is
not
planning
to
pretest
or
pilot
test
the
questionnaire
as
EPA
believes
that
public
comments
will
reveal
any
deficiencies
in
the
questionnaire
design.
OERR
will
reduce
potential
burden
at
the
tribal
and
local
levels
by
conducting
pre­
screening
to
focus
data
collection
on
larger
and
more
sophisticated
tribal
and
local
entities
that
are
most
likely
to
operate
institutional
controls
tracking
systems.
The
pre­
screening
will
be
conducted
through
telephone
interviews
and
other
information
sources.

Survey
results
and
data
will
be
stored
in
OERR
offices
and
will
be
made
available
to
the
general
public
upon
request.
OERR
staff
will
also
make
survey
result
summaries
available
to
other
EPA
program
offices,
Federal
agencies,
or
Congress
upon
request.

5(
c).
Small
Entity
Flexibility
Not
applicable.
10
5(
d).
Collection
Schedule
Information
collection
will
begin
upon
approval
of
this
proposed
ICR
and
assignment
of
an
OMB
control
number
to
the
survey
instrument.
The
approximate
collection
schedule
is
as
follows:

Activity
Schedule
Distribute
questionnaires
Within
two
weeks
of
OMB
approval
of
ICR
Review
survey
responses
Begin
within
two
weeks
of
survey
distribution
Conduct
follow­
up
activities
Begin
within
30
days
of
survey
distribution
Review
survey
responses
Complete
within
100
days
of
survey
distribution
Conduct
follow­
up
activities
Complete
within
120
days
of
survey
distribution
Analyze
responses
Within
80
days
of
receipt
of
all
survey
responses
Prepare
findings
Within
100
days
of
receipt
of
all
survey
responses.

6.
ESTIMATING
THE
BURDEN
AND
COST
OF
THE
COLLECTION
6(
a).
Estimating
Respondent
Burden
Burden
hour
estimates
are
based
on
experience
with
similar
surveys
administered
to
comparable
groups
of
survey
respondents.
Although
the
survey
is
voluntary
and
many
respondents
will
not
have
institutional
controls
tracking
systems,
EPA
has
assumed
a
100
percent
response
rate
in
developing
the
respondent
burden
estimate.
As
the
estimated
burden
is
light
and
the
ability
to
track
institutional
controls
is
a
matter
of
vital
interest
to
state,
tribal,
and
local
entities,
EPA
expects
that
respondents
will
take
advantage
of
the
opportunity
to
engage
in
a
dialogue
with
EPA,
share
their
experience,
and
influence
the
development
of
EPA's
institutional
controls
tracking
system.

After
receiving
the
survey
questionnaire
from
EPA,
the
responsible
official
would
review
the
instructions,
determine
whether
his/
her
agency
tracks
or
maintains
a
database
containing
information
about
institutional
controls,
and,
if
so,
decide
whether
to
respond
to
the
survey.
A
professional
technical
and
a
clerical
staff
person
would
review
the
agency's
operations
to
gather
information
about
its
institutional
controls
responsibilities,
tracking
activities,
and
costs.
The
technical
professional
would
review
this
information
and
provide
the
results
to
the
responsible
official.
The
official
or
technical
professional
would
then
complete
the
questionnaire
and
return
it
to
EPA.
Exhibit
6­
1
provides
information
on
respondent
burden
by
information
collection
activity
and
labor
category.
11
Exhibit
6­
1
Hours
Per
Respondent
by
Collection
Activity
and
Labor
Category
Institutional
Controls
Tracking
Systems
and
Costs
Survey
Information
Collection
Activity
Labor
Hours
Admin.
Technical
Clerical
Review
introduction
and
instructions
0.50
0.50
1.00
Review
operations/
gather
information
2.25
2.25
4.50
Complete
and
return
questionnaire
1.00
1.00
Respond
to
EPA
follow­
up
requests
0.75
1.75
1.00
3.50
TOTAL
10.00
6(
b).
Estimating
Respondent
Costs
i.
Estimating
Labor
Costs
This
is
a
non­
rule­
related
ICR.
Accordingly,
hourly
labor
rate
estimates
are
based
on
Table
4
("
Employer
cost
per
hour
worked
for
employee
compensation
and
costs
as
a
percent
of
total
compensation:
State
and
local
government,
by
occupational
and
industry
group")
of
the
Bureau
of
Labo
r
St
a
t
is
t
ic
s
'
"
Emp
lo
ye
r
Co
s
t
s
fo
r
Emp
lo
yee
Compens
a
t
io
n"
(
ftp://
ftp.
bls.
gov/
pub/
special.
requests/
ocwc/
ect/
ececrlse.
pdf).
We
used
the
March
2001
version
of
the
report,
which
is
the
most
recent
available,
incorporating
increases
in
compensation
costs
for
civilian
workers
for
the
first
quarter
of
2001
as
set
forth
in
the
Bureau's
"
Employment
Cost
Index"
(
http://
www.
bls.
gov/
news.
release/
pdf/
eci.
pdf).
The
following
labor
rates
were
used
for
this
ICR:
°
Executive,
administrative,
and
managerial
("
Admin.")
­
$
37.42/
hour,
°
Professional
technical
("
Technical")
­
$
25.32/
hour,
°
Administrative
support,
including
clerical
("
Clerical")
­
$
19.27/
hour.

These
rates
were
multiplied
by
the
burden
hours
that
appear
in
Exhibit
6­
1
to
determine
labor
costs
per
respondent.
Exhibit
6­
2
provides
labor
costs
per
respondent
by
information
collection
activity
and
labor
category.

Exhibit
6­
2
Labor
Costs
Per
Respondent
by
Collection
Activity
and
Labor
Category
Institutional
Controls
Tracking
Systems
and
Costs
Survey
Information
Collection
Activity
Labor
Costs
Admin.
Technical
Clerical
Review
introduction
and
instructions
$
18.71
$
12.66
$
0.00
$
31.37
Review
operations/
gather
information
$
0.00
$
56.97
$
43.36
$
100.33
Complete
and
return
questionnaire
$
0.00
$
25.32
$
0.00
$
25.32
Respond
to
EPA
follow­
up
requests
$
28.07
$
44.31
$
19.27
$
91.65
TOTAL
$
248.67
12
ii.
Estimating
Capital
and
Operation
and
Maintenance
Costs
Activities
supported
by
this
ICR
do
not
involve
the
purchase
of
monitoring
or
reporting
equipment.

iii.
Capital/
Start­
up
vs.
Operating
and
Maintenance
(
O&
M)
Costs
Activities
supported
by
this
ICR
do
not
involve
the
purchase
of
monitoring
or
reporting
equipment.

iv.
Annualizing
Capital
Costs
Not
applicable.

6(
c).
Estimating
Agency
Burden
and
Cost
EPA
developed
separate
burden
and
cost
estimates
for
EPA
personnel
and
government
contractors
to
reflect
the
fact
that
the
government
information
collection
and
analysis
activities
described
by
this
ICR
will
be
implemented
by
a
government
contractor
under
EPA's
supervision.
Accordingly,
both
labor
hours
and
labor
costs
are
broken
out
into
EPA
and
contractor
categories.

Hourly
labor
rates
for
government
employees
are
based
on
the
hourly
wage
rates
set
forth
in
the
Office
of
Personnel
Management's
2001
General
Schedule,
Locality
Rates
of
Pay
for
Washington­
Baltimore,
DC­
MD­
VA­
WV
(
http://
www.
opm.
gov/
oca/
01tables/
GShrly/
html/
washingt.
htm).
These
rates
were
multiplied
by
the
standard
benefits
factor
of
1.6
to
reflect
non­
wage
benefits
and
arrive
at
the
true
cost
of
government
labor.
The
following
labor
rates
were
used
for
this
ICR:

°
GS­
14/
01
Manager
("
Admin.")
­
$
57.26/
hour,
°
GS­
13/
01
Technical
Staff
("
Technical")
­
$
48.46/
hour,
°
GS­
05/
01
Clerical
Staff
("
Clerical")
­
$
18.54/
hour.

Hourly
labor
rates
for
contractor
employees
are
based
on
Table
10
("
Private
industry,
by
occupational
and
industry
group")
of
the
Bureau
of
Labor
Statistics'
"
Employer
Costs
for
Employee
Compensation"
(
ftp://
ftp.
bls.
gov/
pub/
special.
requests/
ocwc/
ect/
ececrlse.
pdf).
We
used
the
March
2001
version
of
the
report,
which
is
the
most
recent
available,
incorporating
increases
in
compensation
costs
for
civilian
workers
for
the
first
quarter
of
2001
as
set
forth
in
the
Bureau's
"
Employment
Cost
Index"
(
http://
www.
bls.
gov/
news.
release/
pdf/
eci.
pdf).
The
following
labor
rates
were
used
for
this
ICR:

°
Executive,
administrative,
and
managerial
("
Manager")
­
$
40.86/
hour,
°
Professional
technical
("
Analyst")
­
$
27.20/
hour,
°
Administrative
support,
including
clerical
(
Research
Asst./"
RA")
­
$
17.27/
hour.

Exhibit
6­
3
and
Exhibit
6.4
provide
information
on
government
burden
and
labor
costs,
respectively,
by
information
collection
activity
and
labor
category.
The
information
provided
in
these
exhibits
is
divided
into
separate
EPA
and
contractor
sections.
The
labor
cost
estimates
were
developed
by
multiplying
the
hourly
labor
rates
described
above
by
the
government
burden
information
in
Exhibit
6­
3.
13
Exhibit
6­
3
Government
Burden
by
Collection
Activity
and
Labor
Category
Institutional
Controls
Tracking
Systems
and
Costs
Survey
Information
Collection
Activity
Agency
Total
Agency
Hours
Contractor
Total
Contractor
Hours
Hours
Per
Activity
Hours
Per
Activity
Admin.
Technical
Clerical
Manager
Analyst
RA
Develop
survey
questionnaire
35
35
0
70
150
30
50
230
Administer
survey
questionnaire
5
0
0
5
10
10
40
60
Review
questionnaire
responses
5
5
0
10
10
40
40
90
Perform
follow­
up
activities
40
40
0
80
10
40
80
130
Analyze
responses
5
10
0
15
60
160
40
260
Prepare
findings
10
20
0
30
200
200
80
480
TOTAL
210
1250
14
Exhibit
6­
4
Government
Labor
Costs
by
Collection
Activity
and
Labor
Category
Institutional
Controls
Tracking
Systems
and
Costs
Survey
Information
Collection
Activity
Agency
Total
Agency
Costs
Contractor
Total
Contractor
Costs
Cost
Per
Activity
Cost
Per
Activity
Admin.
Technical
Clerical
Manager
Analyst
RA
Develop
survey
questionnaire
$
2004
$
1,696
$
0
$
3,700
$
6,129
$
816
$
864
$
7,809
Administer
survey
questionnaire
$
286
$
0
$
0
$
286
$
409
$
272
$
691
$
1,372
Review
questionnaire
responses
$
286
$
242
$
0
$
528
$
409
$
1,088
$
691
$
2,188
Perform
follow­
up
activities
$
2,290
$
1,938
$
0
$
4,228
$
409
$
1,088
$
1,382
$
2,879
Analyze
responses
$
286
$
485
$
0
$
771
$
2,452
$
4,352
$
691
$
7,495
Prepare
findings
$
573
$
969
$
0
$
1,542
$
8,172
$
5,440
$
1,382
$
14,994
TOTAL
$
11,055
$
36,737
15
6(
d).
Estimating
the
Respondent
Universe
and
Total
Burden
and
Cost
The
estimated
size
of
the
respondent
universe
is
262
parties.
The
objective
of
the
survey
is
262
completed
surveys.

Based
on
information
provided
in
Exhibit
6­
1,
total
respondent
burden
for
the
survey
is
estimated
as
follows:

10
hours/
survey
x
262
surveys
=
2,620
hours
Based
on
information
provided
in
Exhibit
6­
2,
total
respondent
costs
for
the
survey
are
estimated
as
follows:

$
248.67/
survey
x
262
surveys
=
$
65,151.54
6(
e).
Bottom
Line
Burden
Hours
and
Cost
Tables
i.
Respondent
Tally
Exhibit
6­
5
provides
bottom­
line
burden
hours
and
costs
for
the
respondents.

Exhibit
6­
5
Bottom­
Line
Estimate:
Respondents
Category
Respondents
Per
Respondent
Unit
Total
Hours
262
10.00
Hours
2,620
Costs
262
$
248.67
Dollars
$
65,152
ii.
Agency
Tally
Exhibit
6­
6
provides
bottom­
line
burden
hours
and
costs
for
the
Agency.
Note
that
Agency
burden
and
hours
and
Contractor
burden
and
hours
from
Exhibits
6­
3
and
6­
4
have
been
summed
together
to
arrive
at
combined
estimates
for
Agency
burden
and
costs.

Exhibit
6­
6
Bottom­
Line
Estimate:
Agency
Category
Hours
Costs
Agency
210
$
11,055
Contractor
1,250
$
36,737
TOTAL
1460
$
47,792
16
6(
f).
Burden
Statement
The
respondent
burden
for
this
collection
of
information
is
estimated
to
be
10
hours
per
response,
including
time
required
to
review
instructions,
review
operations,
gather
information,
complete
and
return
the
questionnaire,
and
respond
to
follow­
up
questions.

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.

Send
comments
on
the
Agency's
need
for
this
information,
the
accuracy
of
the
provided
burden
estimates,
and
any
suggested
methods
for
minimizing
respondent
burden,
including
through
the
use
of
automated
collection
techniques
to
the
Director,
Collection
Strategies
Division,
U.
S.
Environmental
Protection
Agency
(
2822),
1200
Pennsylvania
Ave.,
NW,
Washington,
D.
C.
20460;
and
to
the
Office
of
Information
and
Regulatory
Affairs,
Office
of
Management
and
Budget,
725
17th
Street,
NW,
Washington,
D.
C.
20503,
Attention:
Desk
Officer
for
EPA.
Include
the
EPA
ICR
number
and
OMB
control
number
in
any
correspondence.
APPENDIX
A
Institutional
Controls
Tracking
Systems
and
Costs
Survey
Questionnaire
i
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
INTRODUCTION
This
survey
is
being
conducted
by
the
U.
S.
Environmental
Protection
Agency,
Office
of
Emergency
and
Remedial
Response
(
OERR),
to
assist
it
in
determining
how
to
track
the
use
of
institutional
controls
at
sites
on
the
Superfund
program's
National
Priorities
List.
Institutional
controls
are
non­
engineered
site
measures
such
as
administrative
or
legal
controls
that
minimize
the
potential
for
exposure
to
contamination
by
limiting
land
or
resource
use.
Institutional
controls
exclude
physical
controls
such
as
fences
or
signs.
Institutional
controls
are
employed
at
sites
where
remedies
leave
contaminant
residuals
on
site
that
do
not
allow
for
unlimited
use
and
unrestricted
exposure.
Institutional
controls
reduce
the
potential
for
unacceptable
exposure
to
residual
contamination
and
can
also
be
used
to
protect
the
integrity
of
a
remedy.
Proper
implementation,
monitoring,
and
enforcement
of
institutional
controls
at
these
sites
is
critical
to
EPA's
core
mission
of
protecting
human
health
and
the
environment.
EPA
is
actively
seeking
input
from
agencies
with
experience
in
the
development,
implementation,
and
management
of
institutional
controls
tracking
systems.

You
have
been
chosen
to
receive
this
questionnaire
because
your
agency
may
have
responsibilities
for
implementing,
monitoring,
and/
or
enforcing
institutional
controls
on
contaminated
sites.
Your
agency
was
selected
by
EPA
through
a
screening
process
that
included
telephone
calls,
interviews,
and
general
knowledge
of
the
types
of
agencies
that
may
have
institutional
control
responsibilities.

INSTRUCTIONS
The
questions
below
are
intended
to
elicit
information
from
state,
tribal,
and
local
environmental
and
planning
authorities
about
how
institutional
controls
established
under
federal,
state,
or
local
authority,
or
by
private
parties,
are
tracked
by
existing
non­
federal
databases
and
information
systems.
The
questions
are
not
limited
to
institutional
controls
established
under
the
Superfund
program.
EPA
is
concerned
only
about
current
activities
and
practices
and
has
designed
the
questionnaire
to
be
completed
using
available
information.
If
you
cannot
answer
a
question
using
the
available
response
options,
specify
"
other"
in
your
reply
and
provide
a
brief
explanation
in
the
space
provided.
If
your
agency
does
not
currently
have
any
responsibilities
for
implementing,
monitoring,
and/
or
enforcing
institutional
controls,
you
may
indicate
that
fact
by
writing
so
across
the
top
of
the
questionnaire,
and
signing,
dating,
and
returning
it
to
the
address
provided.
EPA
is
requesting
assistance
in
developing
an
institutional
controls
database
and
all
responses
are
entirely
voluntary.

Please
provide
complete
and
thorough
answers
to
each
question
that
pertains
to
your
institutional
controls
tracking
or
information
system
or
institutional
controls
responsibilities.
If
necessary,
use
additional
sheets,
indicating
clearly
which
questions
they
supplement.
You
may
be
contacted
in
the
future
by
an
EPA
representative
for
follow­
up
information.
The
official
in
charge
of
responding
to
the
survey
should
sign,
date,
and
return
it
along
with
any
additional
sheets
to:
ii
Burden
Statement
Chapter
6
of
the
Supporting
Statement
of
the
Information
Collection
Request
for
Institutional
Controls
Tracking
Systems
and
Costs
Survey
provides
an
estimate
on
the
burden
and
cost
of
the
collection.
The
respondent
burden
for
this
collection
of
information
is
estimated
to
be
10
hours
per
response,
including
time
required
to
review
instructions,
review
operations,
gather
information,
complete
and
submit
the
questionnaire,
and
respond
to
follow­
up
questions.
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.

Send
comments
on
the
Agency's
need
for
this
information,
the
accuracy
of
the
provided
burden
estimates,
and
any
suggested
methods
for
minimizing
respondent
burden,
including
through
the
use
of
automated
collection
techniques
to
the
Director,
Collection
Strategies
Division,
U.
S.
Environmental
Protection
Agency
(
2822),
1200
Pennsylvania
Ave.,
NW,
Washington,
D.
C.
20460;
and
to
the
Office
of
Information
and
Regulatory
Affairs,
Office
of
Management
and
Budget,
725
17th
Street,
NW,
Washington,
D.
C.
20503,
Attention:
Desk
Officer
for
EPA.
Include
the
EPA
ICR
number
and
OMB
control
number
in
any
correspondence.
MICHAEL
E.
BELLOT
MAIL
CODE
5202G
US
EPA
HEADQUARTERS
ARIEL
RIOS
BUILDING
1200
PENNSYLVANIA
AVE.,
NW
WASHINGTON,
D.
C.
20460.

The
public
reporting
burden
for
this
collection
of
information
is
estimated
to
be
10
hours
per
response,
including
time
for
reviewing
instructions,
searching
existing
data
sources,
gathering
and
maintaining
the
data
needed,
and
completing
and
reviewing
the
collection
of
information.

If
you
have
questions
or
need
help
completing
this
questionnaire,
please
telephone
Michael
E.
Bellot
at
(
703)
603­
8905
or
e­
mail
him
at
bellot.
michael@
epa.
gov.
EPA
requests
that
you
complete
and
return
the
questionnaire
within
60
days
of
receipt.

Thank
you
for
taking
the
time
to
respond
to
this
survey.
iii
1
CONTACT
INFORMATION
PLEASE
IDENTIFY
THE
OFFICIAL
IN
CHARGE
OF
RESPONDING
TO
THE
SURVEY
QUESTIONS
BELOW.

NAME
(
PLEASE
PRINT)
TELEPHONE
NUMBER
SIGNATURE
FAX
NUMBER
TITLE
E­
MAIL
ADDRESS
DATE
AGENCY/
ORGANIZATION
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
SECTION
1.
BASIC
INFORMATION
1.1
Do
you
maintain
a
database
or
information
system
that
records
and/
or
tracks
the
use
of
institutional
controls
(
ICs)?

Yes

No
(
GO
TO
QUESTION
6.1)

1.2
If
yes
to
question
1.1,
what
is
the
name
of
the
database
or
information
system?
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
2
1.3
If
yes
to
question
1.1,
which
division
of
your
agency/
organization
is
responsible
for
the
database
or
information
system?

1.4
Who
is
the
point
of
contact
for
the
database
or
information
system?
Name:
________________________________

Title:________________________________

Telephone
No.:
_
_
_
­
_
_
_
­
_
_
_
_

(
Ext._____)

E­
mail
Address:
__________________________

1.5
May
EPA
Headquarters
contact
him
or
her
directly
to
learn
more
about
your
database
or
information
system?

Yes

No
1.6
Is
your
database
or
information
system
accessible
via
the
Internet?

Yes

No
(
GO
TO
QUESTION
2.1)

1.7
If
yes
to
question
1.6,
what
is
the
URL?

SECTION
2.
PURPOSE
AND
SCOPE
2.1
What
purposes
does
your
database
or
information
system
serve?
CHECK
ALL
THAT
APPLY.


Monitoring
Implementation
of
ICs

Evaluating
Effectiveness
of
ICs

Tracking
Cost
of
Maintaining
ICs

Monitoring
ICs
for
Enforcement
Purposes

Tracking
Enforcement
Activity

Informing
the
Public
About
ICs

Facilitating
Site
Reuse
or
Redevelopment

Other
(
SPECIFY)
_______________________________
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
3
2.2
At
what
types
of
sites
does
your
database
or
information
system
track
the
use
of
ICs?
CHECK
ALL
THAT
APPLY.
Regulatory
Program

Base
Realignment
and
Closure
(
BRAC)


RCRA

Superfund
(
CERCLA)


Underground
Storage
Tanks
(
USTs)


Voluntary
Cleanup
Sites/
Brownfields

State
Regulatory
Program
(
SPECIFY)

_________________________________


Tribal
Regulatory
Program
(
SPECIFY)

_________________________________


Local
Regulatory
Program
(
SPECIFY)

_________________________________


Other
(
SPECIFY)

_________________________________

Site
Ownership

Federal
Facility
(
SPECIFY
AGENCY)
_________________________________


Formerly
Used
Defense
Sites
(
FUDS)


Local
Government
Owned

Privately
Owned

State
Government
Owned

Tribal
Sites

Other
(
SPECIFY)

_________________________________

2.3
Does
your
database
or
information
system
track
only
ICs
for
which
you
have
enforcement
responsibility
or
does
it
track
other
ICs
as
well?

Limited
to
Enforcement
Responsibility

Not
limited
to
Enforcement
Responsibility
2.4
If
your
answer
to
2.3
depends
on
differing
circumstances,
please
explain
what
they
are
and
how
they
affect
whether
you
track
an
IC.
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
4
2.5
Does
your
database
or
information
system
track
ICs
according
to
the
media
(
e.
g.,
soil,
water)
they
affect?

Yes

No
(
GO
TO
QUESTION
3.1)

2.6
If
yes
to
question
2.5,
what
are
the
media
tracked
by
your
database
or
information
system?
CHECK
ALL
THAT
APPLY.


Air

Debris

Groundwater

Leachate

Liquid
Waste

Residuals

Sediment

Sludge

Soil

Subsurface
Soil

Surface
Soil

Solid
Waste

Surface
Water

Other
(
SPECIFY)
_______________________________
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
5
SECTION
3.
SYSTEM
STRUCTURE
AND
OPERATIONS
3.1
What
database
software
does
your
database
or
information
system
use
to
store
data?
CHECK
ALL
THAT
APPLY.


DB2

Dbase

FileMaker

Foxpro

Informix

Lotus
Notes

Microsoft
Access

Microsoft
Excel

Microsoft
SQL
Server

Oracle

Paradox

Sybase

Other
(
SPECIFY)
_______________________________

3.2
Do
you
use
a
separate
application
to
access
your
data?

Yes

No
(
GO
TO
QUESTION
3.4)

3.3
If
yes
to
question
3.2,
what
programming
language
is
the
application
written
in?
CHECK
ALL
THAT
APPLY.


C++


Dbase

Delphi
(
Visual
Pascal)


Foxpro

HTML

Javascript

Lotus
Notes

Microsoft
Access

Paradox

Pascal

Powerbuilder

SQL

Visual
Basic

XML

Other
(
SPECIFY)
_______________________________
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
6
3.4
What
information
specific
to
ICs
does
your
database
or
information
system
track?
CHECK
ALL
THAT
APPLY.
Site
Characteristics

Changes
in
Land
Ownership

Cleanup
Action
Type
(
e.
g.,
removal,
remedial)


Future
Land
Use/
Changes
in
Land
Use

Geographic
Location

Landowner

Legal
Description
of
the
Land

Maps

Physical
Boundaries
of
Affected
Resources
(
e.
g.,
ground
water
plumes,
areas
of
contaminated
soil)


Residual
Contamination

Responsible
Party

Other
(
SPECIFY)

_________________________________

IC
Characteristics

General
Type
(
e.
g.,
proprietary
control,
government
control,
information
device,
enforceable
agreement)


Specific
Type
(
e.
g.,
easement,
covenant,
ordinance,
permit)


Objective
or
Performance
Goal

Affected
Area(
s)
of
Site

Operable
Unit(
s)
Affected

Activities
or
Uses
Restricted
(
e.
g.,
excavation
restriction,
prohibition
on
installation
of
drinking
water
wells)


Media
Restricted

Duration
(
e.
g.,
<
10
years)


Other
(
SPECIFY)
_________________________________
Continued...
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
7
3.4
What
information
specific
to
ICs
does
your
database
or
information
system
track?
(
Cont'd)
CHECK
ALL
THAT
APPLY.
Selection/
Implementation

Responsible
Party

Start
Date

Completion
Date

Termination
Date

Revisions
to
Documents
Selecting
ICs
(
e.
g.,
Records
of
Decision,
Consent
Decrees,
Administrative
Orders)


Property
Rights
Conveyed

Other
(
SPECIFY)
_________________________________

Monitoring

Responsible
Party

Frequency

Dates

Type
(
e.
g.,
site
inspection,
media
sampling,
reporting,
certifications)


Media
Affected

Findings

Violations

Submission
of
Required
Reports

Property
Transfers

Other
(
SPECIFY)
_________________________________

Continued...
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
8
3.4
What
information
specific
to
ICs
does
your
database
or
information
system
track?
(
Cont'd)
Enforcement

Legal
Authority

Responsible/
Authorized
Party

Notices
of
Violation

Remedy
(
e.
g.,
fine,
penalty,
corrective
action)


Status
of
Remedy
(
e.
g.,
proposed,
pending,
completed)


Other
(
SPECIFY)
_________________________________

Costs

Implementation

Monitoring

Enforcement

Savings
Attributable
to
IC
Use

Other
(
SPECIFY)
_________________________________

3.5
How
many
IC
data
elements
does
your
database
or
information
system
track?


1
and

10

>
10
and

25

>
25
and

50

>
50
and

75

>
75
and

100

>
100
and

150

>
150
and

200

>
200
and

250

>
250
and

300

>
300
and

400

>
400
and

500

>
500
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
9
3.6
How
do
you
initially
receive
information
on
the
existence
of
ICs?
CHECK
ALL
THAT
APPLY.


Notified
by
Local
Government
Office

Notified
by
State
Government
Office

Notified
by
Party
Responsible
for
IC
Implementation

Notified
by
Party
Responsible
for
IC
Monitoring

Notified
by
Party
Responsible
for
IC
Enforcement

Review
of
Local
Government
Controls
(
e.
g.,
ordinances)
for
Revisions

Review
of
State
Government
Controls
(
e.
g.,
ground
water
management
zones)
for
Revisions

Title
Searches
at
County
Recorder
of
Deeds
Office

Other
(
SPECIFY)
_________________________________
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
10
3.7
How
is
information
received
to
populate
your
database
or
information
system
for
new
ICs?
CHECK
ALL
THAT
APPLY.


Obtained
from
Party
Responsible
for
IC
Implementation

Obtained
from
Party
Responsible
for
IC
Monitoring

Obtained
from
Party
Responsible
for
IC
Enforcement

Obtained
Through
Review
of
Local
Government
Controls
(
e.
g.,
ordinances)
for
Revisions

Obtained
Through
Review
of
State
Government
Controls
(
e.
g.,
ground
water
management
zones)
for
Revisions

Obtained
Through
Title
Searches
at
County
Recorder
of
Deeds
Office

Provided
by
Local
Government
Office

Provided
by
State
Government
Office

Provided
by
Party
Responsible
for
IC
Implementation

Provided
by
Party
Responsible
for
IC
Monitoring

Provided
by
Party
Responsible
for
IC
Enforcement

Other
(
SPECIFY)
_________________________________

3.8
Is
your
database
or
information
system
updated
when
IC
conditions
change?

Yes

No
(
GO
TO
QUESTION
3.10)
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
11
3.9
If
yes
to
question
3.8,
how
is
information
received
to
update
your
database
or
information
system
when
IC
conditions
change?
CHECK
ALL
THAT
APPLY.


Obtained
from
Party
Responsible
for
IC
Implementation

Obtained
from
Party
Responsible
for
IC
Monitoring

Obtained
from
Party
Responsible
for
IC
Enforcement

Obtained
Through
Review
of
Local
Government
Controls
(
e.
g.,
ordinances)
for
Revisions

Obtained
Through
Review
of
State
Government
Controls
(
e.
g.,
ground
water
management
zones)
for
Revisions

Obtained
Through
Title
Searches
at
County
Recorder
of
Deeds
Office

Provided
by
Local
Government
Office

Provided
by
State
Government
Office

Provided
by
Party
Responsible
for
IC
Implementation

Provided
by
Party
Responsible
for
IC
Monitoring

Provided
by
Party
Responsible
for
IC
Enforcement

Other
(
SPECIFY)
_________________________________

3.10
Do
you
have
a
quality
assurance
procedure
to
validate
information
about
ICs
before
it
is
entered
into
your
database
or
information
system?

Yes

No
(
GO
TO
QUESTION
3.13)
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
12
3.11
If
yes
to
question
3.10,
what
is
the
quality
assurance
process?
CHECK
ALL
THAT
APPLY.


Require
Accuracy
Sign­
off
as
Part
of
Data
Submission

Technical
Reviewer
Verification

Verify
Against
List
of
Legitimate
Responses

Verify
Against
Secondary
Source
of
Information
(
e.
g.,
report,
database)


Other
(
SPECIFY)
_________________________________

3.12
If
yes
to
question
3.10,
what
are
the
costs
of
the
quality
assurance
process?

3.13
Who
is
responsible
for
data
entry?

3.14
How
frequently
is
new
data
entered
into
your
database
or
information
system?

Daily

Weekly

Monthly

Quarterly

Biannually

Annually

Other
(
SPECIFY)
_________________________________
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
13
3.15
How
soon
after
entry
into
the
database
or
information
system
is
new
data
accessible
to
users?

Immediately

Within
One
Day

Within
One
Week

Within
One
Month

Within
Three
Months

Within
Six
Months

Within
One
Year

Other
(
SPECIFY)
_________________________________

3.16
Do
you
have
a
quality
assurance
procedure
for
data
entry?

Yes

No
(
GO
TO
QUESTION
3.19)

3.17
If
yes
to
question
3.16,
what
is
the
quality
assurance
process?
CHECK
ALL
THAT
APPLY.


Generate
Reports
to
Compare
Entered
Values
to
Original
Data

Generate
Summary
Report
of
Entered
Information

On­
screen
Review
of
Input
Data

Spot
Check
Quality
Assurance

Technical
Reviewer
Verification

Verify
Against
List
of
Legitimate
Responses

Other
(
SPECIFY)
_________________________________

3.18
If
yes
to
question
3.16,
who
is
responsible
for
quality
assurance?

3.19
Does
your
database
or
information
system
generate
standard
reports?

Yes

No
(
GO
TO
QUESTION
3.22)
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
14
3.20
If
yes
to
question
3.19,
what
standard
reports
does
your
database
or
information
system
generate?
CHECK
ALL
THAT
APPLY.


Breached
ICs

Cost
of
ICs

Duration
of
ICs

Enforcement
Requirements

Implementation
Status
of
ICs

List
of
Media
Impacted
by
ICs

List
of
Sites
With
ICs

List
of
Types
of
ICs

Monitoring
Findings

Monitoring
Requirements

Sites
With
Changes
in
Ownership

Other
(
SPECIFY)
_________________________________

3.21
If
yes
to
question
3.19,
are
you
willing
to
make
copies
of
the
standard
reports
generated
by
your
database
or
information
system
available
to
EPA
Headquarters?

Yes

No
3.22
Does
your
database
or
information
system
permit
ad
hoc
queries
of
all
data
elements?

Yes

No
(
EXPLAIN
WHY
IT
DOESN'T)
_____________________________________

_____________________________________

_______________________________

3.23
Does
your
database
or
information
system
have
a
GIS
component?

Yes
(
DESCRIBE)

No
_____________________________________

_____________________________________

_______________________________
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
15
SECTION
4.
USER
ACCESS
AND
INFORMATION
SHARING
4.1
Who
are
the
users
of
your
database
or
information
system?
CHECK
ALL
THAT
APPLY.


Site
Managers

Local
Government

Zoning
Officers

State
Government

Health
Officers

The
Public

Parties
Responsible
for
IC
Implementation

Parties
Responsible
for
IC
Monitoring

Parties
Responsible
for
IC
Enforcement

County
Recorder
of
Deeds
Office

Federal
Agencies

Other
(
SPECIFY)
_________________________________

4.2
Does
the
public
have
access
to
your
system?

Yes

No
(
GO
TO
QUESTION
4.4)

4.3
How
does
the
public
access
your
system?
CHECK
ALL
THAT
APPLY.


Internet

Telephone

Public
Library

Mail

Office
Visit

Other
(
SPECIFY)
_________________________________

4.4
Is
data
availability
limited
depending
on
who
is
accessing
the
system?

Yes

No
(
GO
TO
QUESTION
4.6)

4.5
If
yes
to
question
4.4,
describe
how
and
to
whom
availability
of
data
in
your
database
or
information
system
is
limited.
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
16
4.6
Have
you
identified
any
limitations
with
your
database
or
information
system?

Yes

No
(
GO
TO
QUESTION
4.9)

4.7
If
yes
to
question
4.6,
what
are
the
limitations?
CHECK
ALL
THAT
APPLY.


Access
Limitations
(
e.
g.,
difficult
to
access
information,
system
only
accessible
from
certain
computers)


Data
Availability
(
e.
g.,
difficult
to
gather
IC
information)


Data
Quality
(
e.
g.,
difficult
to
keep
information
current)


Difficult
to
Use
(
e.
g.,
not
intuitive,
requires
expertise
to
use.)


Limited
Usefulness
(
e.
g.,
system
does
not
contain
necessary
information,
desired
reports
are
not
available
through
system)


Performance
Limitations
(
e.
g.,
system
is
too
slow,
cannot
hold
much
data)


Timing
Limitations
(
e.
g.,
data
not
available
in
a
timely
manner,
information
not
available
for
data
entry
in
a
timely
matter)


Other
(
SPECIFY)
_________________________________

4.8
If
yes
to
question
4.6,
describe
how
the
limitations
could
be
or
have
been
addressed.

4.9
Would
you
recommend
your
system
to
other
agencies
that
do
not
have
an
ICs
database
or
information
system?

Yes

No
(
EXPLAIN
WHY)
_____________________________________

_____________________________________

_______________________________
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
17
4.10
Would
you
be
willing
to
exchange
data
or
system
design
information
with
other
agencies
to
coordinate
access
to
information
about
ICs?

Yes

No
(
EXPLAIN
WHY)
_____________________________________

_____________________________________

_______________________________

SECTION
5.
LESSONS
LEARNED
5.1
Is
there
any
crucial
information
related
to
ICs
that
your
database
or
information
system
does
not
track?

Yes
(
SPECIFY)

No
_____________________________________

_____________________________________

_______________________________

5.2
What
kinds
of
information
about
ICs
have
proved
to
be
most
valuable
to
your
program?

5.3
What
kinds
of
information
about
ICs
have
proved
to
be
least
valuable
to
your
program?

5.4
What
advice
can
you
give
to
other
agencies/
organizations
that
intend
to
track
the
use
of
ICs?

5.5
Would
you
be
willing
to
participate
in
a
broader,
standardized
ICs
tracking
effort
sponsored
by
U.
S.
EPA?

Yes
(
SPECIFY)

No
_____________________________________

_____________________________________

_______________________________
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
18
5.6
What
are
the
particular
needs
or
issues
associated
with
tracking
ICs
for
your
agency/
organization?

5.7
Do
you
have
any
additional
comments?

SECTION
6.
RESPONSIBILITIES
AND
COSTS
6.1
What
kinds
of
ICs
does
your
agency/
organization
have
any
responsibility
for
selecting,
planning,
designing,
implementing,
overseeing,
monitoring,
and/
or
enforcing?
CHECK
ALL
THAT
APPLY.
Enforceable
Agreements

Administrative
Consent
Orders

Consent
Decrees

Contracts

Unilateral
Administrative
Orders

Other
(
SPECIFY)

_________________________________

Governmental
Controls

Administrative
Permit
Programs

Alteration

Building

Demolition

Development

Excavation

Ground
Water
Management

Well
Drilling

Other
(
SPECIFY)

___________________________
Continued...
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
19
SECTION
6.
RESPONSIBILITIES
AND
COSTS
6.1
What
kinds
of
ICs
does
your
agency/
organization
have
any
responsibility
for
selecting,
planning,
designing,
implementing,
overseeing,
monitoring,
and/
or
enforcing?
(
Cont'd)
CHECK
ALL
THAT
APPLY.
Governmental
Controls
(
Cont'd)


Base
Use
Plans

Local
Ordinances

State
Legislation

Subdivision
Regulations

Zoning
Ordinances

Zoning
Amendments

Zoning
Variances

Overlay
Zoning

Other
Zoning
Restrictions
(
SPECIFY)
_________________________________


Ground
Water
Protection
Zone

Other
(
SPECIFY)
_________________________________

Informational
Devices

Advisories

Drinking
Water

Fishing

Food

Health

Swimming

Other
(
SPECIFY)
_____________________________


Announcements

Radio

Television

Other
(
SPECIFY)
_____________________________


Listings

Local
Hazardous
Waste
Registry

Military
Hazardous
Waste
Registry

State
Hazardous
Waste
Registry

Other
(
SPECIFY)
_____________________________

Continued...
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
20
6.1
What
kinds
of
ICs
does
your
agency/
organization
have
any
responsibility
for
selecting,
planning,
designing,
implementing,
overseeing,
monitoring,
and/
or
enforcing?
(
Cont'd)
CHECK
ALL
THAT
APPLY.
Informational
Devices
(
Cont'd)


Notices

Deed
Notices

Notices
to
State
Regulators
Before
Changes
in
Land
Ownership

Notices
to
State
Regulators
Before
Changes
in
Land
Use

Other
(
SPECIFY)
_____________________________


One
Call
Systems

Local

State

Other
(
SPECIFY)
_____________________________


Publications

Federal
Register

Newspaper

State
Register

Other
(
SPECIFY)
_____________________________


Public
Education

(
SPECIFY)
_____________________________

Proprietary
Controls

Easements

Affirmative

Appurtenant

Conservation

In
Gross

Negative

Equitable
Servitudes

Restrictive
Covenants

Reversionary
Interests

Deed
Restriction
of
Unspecified
Type

Other
(
SPECIFY)
________________________________

Other

Other
(
SPECIFY)
________________________________
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Questions
Answers
21
6.2
Estimate
the
full
time
equivalent
(
FTE)
personnel
required
by
your
agency/
organization
for
IC
selection,
planning,
design,
implementation,
oversight,
monitoring,
and/
or
enforcement.

6.3
Estimate
the
annual
personnel
costs
incurred
by
your
agency/
organization
for
IC
selection,
planning,
design,
implementation,
oversight,
monitoring,
and/
or
enforcement.

6.4
Does
your
agency/
organization
track
personnel
costs
by
staff
position
and
percent
of
time
spent
on
IC­
related
tasks?

Yes

No
6.5
Who
is
the
point
of
contact
for
personnel
cost
information?
Name:
________________________________

Title:________________________________

Telephone
No.:
_
_
_
­
_
_
_
­
_
_
_
_

(
Ext._____)

E­
mail
Address:
__________________________

6.6
May
EPA
Headquarters
contact
him
or
her
directly
to
learn
more
about
your
personnel
costs?

Yes

No
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
22
6.7
Estimate
the
annual
personnel
costs
incurred
by
your
agency/
organization
for
IC
selection,
planning,
design,
implementation,
oversight,
monitoring,
and/
or
enforcement.
Total
Approximate
IC
Annual
Personnel
Costs
=
Number
of
Staff
x
Annual
Compensation
x
Percentage
of
Time
Spent
on
IC­
Related
Tasks.
Annual
Compensation
includes
salaries,
benefits,
and
other
costs
of
employing
staff.

Staff
Position
Number
of
Staff
Annual
Compensation
Percentage
of
Time
Spent
on
IC­
Related
Tasks
Total
Approximate
IC
Annual
Personnel
Costs
Planner
Engineer
Administrative
Supervisor
Project
Manager
Attorney
Budget
Officer
Community
Facilitator/
Meeting
Planner
Support
Staff/
Record
Keeping
Data
Collection
and
Entry
Data
Analysis
Geocoding/
Digital
Mapping
Programming
Computer
System
Maintenance
Website
Maintenance
Inspectors
Geologists
Hydrologists
Public
Health
Laboratory
Contractor
Support
Other
(
SPECIFY)

Other
(
SPECIFY)

Other
(
SPECIFY)
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
Staff
Position
Number
of
Staff
Annual
Compensation
Percentage
of
Time
Spent
on
IC­
Related
Tasks
Total
Approximate
IC
Annual
Personnel
Costs
23
Totals
Questions
Answers
6.8
Estimate
the
annual
capital
costs
incurred
by
your
agency/
organization
for
IC
selection,
planning,
design,
implementation,
oversight,
monitoring,
and/
or
enforcement.

6.9
Estimate
the
annual
operating
costs
incurred
by
your
agency/
organization
for
IC
selection,
planning,
design,
implementation,
oversight,
monitoring,
and/
or
enforcement.

6.10
Does
your
agency/
organization
track
capital
and
operating
costs
by
component
and
percent
of
cost
spent
on
IC­
related
tasks?

Yes

No
6.11
Who
is
the
point
of
contact
for
capital
and
operating
cost
information?
Name:
________________________________

Title:________________________________

Telephone
No.:
_
_
_
­
_
_
_
­
_
_
_
_

(
Ext._____)

E­
mail
Address:
__________________________

6.12
May
EPA
Headquarters
contact
him
or
her
directly
to
learn
more
about
your
capital
and
operating
costs?

Yes

No
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
24
6.13
Estimate
the
direct
annual
capital
and
operating
costs
your
agency
incurs
for
IC
selection,
planning,
design,
implementation,
oversight,
monitoring,
and/
or
enforcement.
Total
Approximate
IC
Annual
Capital
and
Operating
Costs
=
(
Annual
Capital
Cost
+
Annual
Operating
Cost)
x
Percentage
of
Cost
Spent
on
IC­
Related
Tasks.

Component
Annual
Capital
Cost
Annual
Operating
Cost
Percentage
of
Cost
Spent
on
ICRelated
Tasks
Total
Approximate
IC
Annual
Capital
&
Operating
Costs
Computers:

Hardware
Software
Web
Access
Data
Purchase
Outsourced
Staff
Data
Management/
Storage
Other
(
SPECIFY)

Other
(
SPECIFY)

Other
Direct
Costs:

Acquisition
of
Real
Property
Interests
Surveys
Investigations
Inspection
Monitoring
Issuing
Notices
Mapping
Global
Positioning
System
Scanning
Laboratory
Costs
Travel
Meeting
Facilities
Vehicle
(
fuel,
maintenance,
mileage)

Continued...
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
6.13
Estimate
the
direct
annual
capital
and
operating
costs
your
agency
incurs
for
IC
selection,
planning,
design,
implementation,
oversight,
monitoring,
and/
or
enforcement.
Total
Approximate
IC
Annual
Capital
and
Operating
Costs
=
(
Annual
Capital
Cost
+
Annual
Operating
Cost)
x
Percentage
of
Cost
Spent
on
IC­
Related
Tasks.

Component
Annual
Capital
Cost
Annual
Operating
Cost
Percentage
of
Cost
Spent
on
ICRelated
Tasks
Total
Approximate
IC
Annual
Capital
&
Operating
Costs
25
Other
Direct
Costs:
(
Cont'd)

Supplies/
Services
(
fuel,
phone)

Office
Supplies
Equipment
Other
(
SPECIFY)

Other
(
SPECIFY)

Other
(
SPECIFY)

Other
(
SPECIFY)

Training
and
Outreach
for:

Community
Government
Staff
Government
Officials
Emergency
Medical
Technicians
Enforcement/
Monitoring
Staff
In­
House
Computer
Staff
Real
Estate,
Legal,
Construction,
Utility
Groups
Other
(
SPECIFY)

Other
(
SPECIFY)

Other
(
SPECIFY)
26
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
6.14
If
the
costs
your
agency/
organization
incurs
selecting,

planning,
designing,
implementing,
overseeing,

monitoring,
and/
or
enforcing
ICs
are
offset
through
subsidy
or
direct
contribution,
indicate
the
entity
that
offsets
your
costs
and
the
mechanism
used
to
do
so
and
estimate
the
percentage
contribution
of
the
offsets
to
the
total
cost
of
ICs.
LOCAL
GOVT.
STATE
GOVT.
TRIBAL
GOVT.
FEDERAL
RESPONSIBLE
PARTIES
NONE
OTHER
(
SPECIFY)
OTHER
(
SPECIFY)

EXAMPLE
ROW
3%
5%
0%
8%
2%
2%
0%
0%

COOPERATIVE
AGREEMENTS
INTERAGENCY
AGREEMENTS
STATE
SUPERFUND
CONTRACTS
CONSENT
DECREES
ADMINISTRATIVE
CONSENT
ORDERS
UNILATERAL
ADMINISTRATIVE
ORDERS
CASH­
OUT
SETTLEMENT
OPTIONS
PROSPECTIVE
PURCHASER
AGREEMENTS
SUPPLEMENTARY
ENVIRONMENTAL
PROJECTS
COST­
SHARING
ARRANGEMENTS
(
SPECIFY)

IN­
KIND
CONTRIBUTIONS
TAX­
BASED
BONDS
TRUST
FUNDS
Continued...
INSTITUTIONAL
CONTROLS
TRACKING
SYSTEMS
AND
COSTS
SURVEY
(
CONT'D)
EPA
ICR
No:
2043.01
OMB
Control
No:
2050­
XXXX
Expiration
Date:
MM/
DD/
YYYY
6.14
If
the
costs
your
agency/
organization
incurs
selecting,

planning,
designing,
implementing,
overseeing,

monitoring,
and/
or
enforcing
ICs
are
offset
through
subsidy
or
direct
contribution,
indicate
the
entity
that
offsets
your
costs
and
the
mechanism
used
to
do
so
and
estimate
the
percentage
contribution
of
the
offsets
to
the
total
cost
of
ICs.
LOCAL
GOVT.
STATE
GOVT.
TRIBAL
GOVT.
FEDERAL
RESPONSIBLE
PARTIES
NONE
OTHER
(
SPECIFY)
OTHER
(
SPECIFY)

27
GRANTS
(
SPECIFY)

DONATIONS
USER
FEES
(
SPECIFY)

OTHER
FEES
(
SPECIFY)

REDUCED
FEES
FOR
SERVICES
TAXES
(
SPECIFY)

PERMITS
(
SPECIFY)

LICENSES
(
SPECIFY)

DIRECT
CHARGES
(
SPECIFY)

OTHER
ASSESSMENTS
(
SPECIFY)

OTHER
(
SPECIFY)
