1 INFORMATION COLLECTION REQUEST SUPPORTING STATEMENT

FOR State Review Framework
August 24 , 20 1 0

U.S. Environmental Protection Agency Office of Compliance2 TABLE OF CONTENTS Part A 1. ID ENTIFICATION OF THE INFORMATION COLLECTION 1(a) Title of the Information Collection 1(b) Short Characterization/Abstract 2. NEED FOR AND USE OF THE COLLECTION 2(a) Need/Authority for the Collection 2(b) Practical Utility

/Users of the Data 3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA 3(a) Nonduplication 3(b) Public Notice Required Prior to I CR Submission to OMB 3(c) Consultations 3(d) Effects of Less Frequent Data Collection 3(e) General Guidelines 3(f) Confidentiality 3(g) Sensitive Questions 4. THE RESPONDENTS AND THE INFORMATION REQUESTED 4(a) Respondents/SI C Codes 4(b) In formation Requested 5. THE INFORMATION COLLECTED: AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT 5(a) Agency

Activities 5(b) Collection Methodology and Management 5(c) Small Entity

Fle xibility 5(d) Collection Schedule 6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION 6(a) Estimating Respondent Burden 6(b) Estimating Government Burden 6(c) Bottom Line Burden and Cost Table 6(d) Reasons for Change of Burden 6(e) Burden Statement Part B This part is not applicable because no statistical methods were used in collecting this information.3

Part A 1. ID ENTIFICATION OF THE INFORMATION COLLECTION 1(a) Title of the Information Collection ICR: State Review Framework (EPA I CR Number 2185.0 4 ) OMB Control Number: N/A “State Review Framework” 1(b) Short Characterization/Abstract The State Review Framework (“Framework”) is an oversight tool designed to assess state performance in enforcement and compliance assurance. The Framework’s goal is to evaluate state performance b y examining existing data to provide a consistent level of oversight and develop a uniform mechanism by which EPA Regions, working collaboratively with their states, can ensure that state environmental agencies are c onsistently implementing the national compliance and enforcement program in order to meet agreed

- upon goals and standards. Furthermore, the Framework is designed to foster dialogue on enforcement and compliance performance between the states that will enh ance relationships and increase feedback, which will in turn lead to consistent program management and improved environmental results. Specificall y, the Framework is a structured process that provides critical information on a state’s (or Region’s, for s tates with EPA

- implemented programs) core enforcement and compliance assurance performance b y emplo ying existing data available in EPA’s existing national databases and presented in management reports for each state. No new data collection is required for the national databases. Data from national databases is complimented by data obtained through file reviews of a state environmental agency ’s compliance and enforcement files. No new data is required in th ese files; however, they are reviewed to ensure p roper and adequate documentation. The Framework process asks regions, states and local governments to examine the existing data described above in three core programs: Clean Air Act (“CAA”), Stationary Sources; Clean Water Act (“CWA”), National Pollutant Discharge Elimination System (“NPDES”); and Resource Conservation and Recovery Act (“RCRA”), Subtitle C. The Framework process looks at thirteen (13) elements. The EPA evaluates the twelve (12) primary elements, and a thirteenth optional element, using data and file review metrics that require no new reporting burden. The utility of the Framework’s metrics and the Implementation Guide are a direct result of the collaboration between states, Regions, Headquarters, and environmental leaders. These stakeholders provided extensive input and comments which helped to shape the Framework. OECA completed evaluation s of pilo t and full implementation stages of the review process , which included input from the pilot states. The results of the se evaluation s have be en used to improve the Framework and further ensure that it is narrowl y crafted and onl y collect s information that satisfies the Agency ’s needs

. The thirteen (13) elements mentioned above are: ( 1 ) Degree to which data in national system reflect regulated universes, state activities, and compliance monitoring findings; ( 2 ) Degree to4

which data reported into the national system is accuratel y entered and maintained (example, correct codes used, dates are correct, etc.). ( 3 ) Degree to which required data wa s entered into the national database in a timely manner; (4 ) Degree to which all enforcement/compliance commitments in relevant agreements (i.e., PPAs, PPGs, categorical grants, CMS plans, authorization agreements, etc.) are met and any pro ducts or project s are completed; ( 5 ) Degree to which state completed the universe of planned inspections/compliance evaluations (addressing core requirements and federal, state and regional priorities); (6) Degree to which inspection or compliance evaluation reports properl y document observations, are completed in a timely manner, and include accurate description of observations; ( 7 ) Degree to which compliance determinations are accurately made and promptly reported in the national database based upon compliance monitoring report observations and other compliance monitoring information (e.g., facility

- reported infor

mation); (8) Degree to which the state accuratel y identifies significant noncompliance/high priority violations and enters information into the national system in a timely manner; (9) Degree to which state enforcement actions include required corrective action (i.e., injunctive relief or other complying actions) that will return facilities to comp liance in a specific time frame; (10) Degree to which a state takes timely and appropriate enforcement actions in accordance with po licy relating to specific media; (11) Degree to which state documents in its files that initial penalty calculation includes both gravity and economic benefit calculations, appropriately using the BEN model or other method that produces results consistent with national policy ; (12) Degree to which differences between initial and final penalty are documented in the file along with a demonstration in the file that the final penalty was collected; and (13) (Optional) Other program activities (e.g., using outcome data, compliance assistance, self

- disclosure programs, innovative approaches, etc. ). In the interest of accuracy and efficiency , the Framework also includes a five

- step protocol for managing the process: (1) pre

- review; (2) offsite review; (3) onsite review; (4) drafting of the report; and (5) composing the final report and follow

- up. After reviewing the level of performance based on the metrics developed under the 12 required performance elements, and other information collected in the review process, EPA will determine if a state or Region meets minimum performance levels. 2. NEED FOR AND USE OF THE COLLECTION 2(a) Need/Authority for the Collection The purpose of this collection is to assess state performance in core enforcement and compliance assurance programs. The goals are to provide a consistent level of oversight and develop a uniform mechanism b y which EPA Regions, working collaborativel y with their states, can ensure that state environmental agencies are meet ing agreed

- upon goals. It is important to note that all data requested b y this collection is currently in EPA’s or the state’s databases and enforcement and compliance files. N o additional monitoring or sampling will be required b y this ICR. While the data that the Agency will collect is pre

- existing, the Agency is permitted to review the states’ Clean Air Act, Stationary Source program, the Solid Waste Disposal Act, Subtitle C program, and the Clean Water Act, National Pollutant Discharge Elimination System permit5

program to ensure minimum performance levels are met

. The Agency ’s oversight authority for the aforementioned programs are: (1) Clean Air Act, Stationary Source program: Section 114 allows collection of info rmation from states. Specificall y, the collection of the requested information is authorized by 40 CFR 70 .4(j)(1), which states that “[a] ny information obtained or used in the administration of a State program shall be available to EPA upon request without restriction and in a form specified b y the Administrator, including computer

- readable files to the extent practicable,” and 40 CFR 70.10(c)(1)(iii), which addresses EPA oversight of State and local agencies’ compliance and enforcement efforts for major s ources under Title V operating permit programs. (2) Solid Waste Disposal Act, Subtitle C program: The Act refers to activities at companies that generate hazardous waste. At §3007, the Agency is permitted to have access to and request records regarding hazardous waste generating activities. Additionally , 40 CFR 271.17(a) authorizes EPA, upon request without restriction, access to “[a]ny information obtained or used in the administration of a State program.” (3) Clean Water Act, NPDES program: The Act refers to activities involving the discharge of materials into waters of the United States. At §308, the Agency

is permitted to review records to determine compliance with effluent limitations or treatment performance standards. Further, the NPDES state program regulations provide that “[a]ny

information obtained or used in the administration of a State program shall be available to EPA upon request without restriction." 40 CFR 123.41. Also, 40 CFR 123.43 requires states to provide EPA with informati on on NPDES program implementation. The information collected through this ICR will aid the Agency in achieving EPA’s Strategic Plan goal to increase compliance and environmental stewardship. This goal was developed in response to the 1993 Government Performance and Results Ac t and is described in EPA’s 2006

- 2011 Strategic Plan, Goal 5, “Compliance and Environmental Stewardship.” 2(b) Practical Utility

/Users of the Data EPA will use the data obtained from the collection to determine if a state or Region meets minimum performance levels. Such a determination is necessary to recognize states that are performing well and to provide assistance to states that are not meeting minimum performance levels. 3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTI ON CRITERIA 3(a) Nonduplication6

The information to be obtained under this ICR has not been collected by EPA or any other federal agency

. 3(b) Public Notice Required Prior to I CR Submission On April 14 , 2010 , EPA published a pre

- IC R Federal Register Notice announcing its intent to request to renew an existing approved ICR for the State Review Framework to OMB

. Attachment A includes a copy of this Federal Register Notic e. EPA received no comments to the Federal Register Notice. 3(c) Consultations EPA consulted with several key state and media associations in the course of developing the State Review Framework. The leadership and membership of these organizations were instrumental in helping OECA develop the initial concept for the State Review Framework, in working to develop the main components and metrics , completing pilot projects and provi ding input into its evaluation. These associations are: ECOS ASIWPCA ASTSWMO STAPPA/ALAPCO The main contacts with these organizations are: Environmen tal Council of States (ECOS) Steve Thompson Executive Director Oklahoma Department of Environmental Quality 405

- 702

- 7163 President of ECOS Caroly n Hanson Deputy Executive Director ECOS 202

- 624

- 3665 Association of State and Interstate Water Pollution Con trol Administrators (ASIWPCA) Linda Eichmiller Executive Director ASIWPCA Washington, DC 202

- 756

- 06007

Association of State and Territorial Solid Waste Management Officials (ASTSWMO) Dania Rodrigu ez Deputy Executive Director ASTSWMO 202

- 624

- 5 973 Nationa l Association of Clean Air Agencies (NACAA) Misti Duvall Staff Associate 444 North Capital St NW , Suite 307 Washington, DC 20001 202

- 624

- 7864 mduvall@4cleanair.org Eddie Terrill NACAA Co

- Chair, Enforcement & Compliance Committee 405

- 702

- 4155 Eddie.terrill@deq.ok.gov Richard Stedman NACAA Co

- Chair, Enforcement & Compliance Committee 360

- 586

- 1044 rstedman@mbuapcd.org 3(d) Effects of Less Frequent Data Collection Each respondent will report only one time every

four ye ars . 3(e) General Guidelines This information collection is consistent with OMB guidelines contained in 5 CFR 1320.5(d)(2). 3(f) Confidentiality Any information submitted to the Agency for which a claim of confidentiality is made will be safeguarded according to the Agency policies set forth in Title 40, chapter 1, part 2, subpart B

- Confidentiality

of Business Information (see 40 CFR 2; 41 FR 36902 , September 1, 1976; amended b y 43 FR 40000, September 8, 1978; 43 FR 42251, September 20, 1978; 44 FR 17674, March 23, 1979). 3(g) Sensitive Questions8

The collection in this I CR does not contain any sensitive questions. 4. THE RESPONDENTS AND THE INFO RMATION REQUESTED 4(a) Respondents and SI C Codes Respondents potentially

affected by

this action are 10 EPA Regional Offices, 50 States, 4 Territories, and 40 Local Agencies. Based on our experience, we believe the true number of respondents for this ICR will primarily be 10 EPA Regional Offices, f ifty ( 5 0) states and 4 (four) territories. There are no SIC codes for the Respondents

. 4(b) In formation Requested (i ) Data items, including recordkeeping requirements The State Review Framework request s information on the contribution of state enforcement activities to federally

delegated programs. There are no recordkeeping requirements associated with this collection. The collection process will compile information on the state’s enforcement and compliance activities , including inspection coverage, enforcement timeliness and appropriateness , penalty calculations and fines collected, and data quality , accuracy and completeness

. (ii) Respondent Activities Respondent will engage in the following activities during the Framework process: 1. Pre - Review and Offsite Review Review elements and metrics Train/brief state staff & managers on review substance and process. Collect files, policies, data sets, reports , and review and correct the national data

. 2. Onsite Review Participate in kick

- off meeting. Assist/facilitate EPA review of files and data sets Participate in discussion of program with EPA 3. Report Drafting Review and comment on draft report 4. Coordination of Parts 1, 2 & 3 Coordination of review with the state agency Coordination of the review within EPA9

5. THE INFORMATION COLLECTED: AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT 5(a) Agency

Activities Agency activities associated with the State Review Framework consist of the following: (1) Review elements and metrics (2) Train/brief state staff & managers on review substance and process (3) Collect files, policies, data sets, reports , and review and correct the national data. (4) Participate in kick

- off meeting

. (5) Assist/facilitate EPA review of files and data sets (6) Participate in discussion of program with EPA (7) Review and comment on draft report (8) Coordination of review with the state agency (9) Coordination of the review within EPA 5(b) Collection Methodology and Management The Agency

will provide respondents with guidelines and training for conducting the review that will ensure a consist ent approach to the reviews . Over the course of the review process the Agency will work with the states and p rovide assistance as necessary . All of the state reports will be submitted electronically. National data used to assess state performance already resides in various EPA databases. These data are covered by other Information Collection Requests or regulatory

language. Additional data will come from the review of state inspection and enforcement files, which is the data that are to be collected based on this request. 5(c) Small Entity

Flexibility Small entities will not be affected as the collection wi ll only be completed by EPA Regions, States and territories. 5(d) Collection Schedule Each Respondent will complete the four

- step protocol for managing the process one time every four years: (1) pre

- review and offsite review , including a review and correction of the data of the national data ; (3) onsite review; (4) drafting of the report; and (5) composing the final report and follow

- up. In the initial year, twenty (20) states are scheduled to complete the review process. In the second ye ar another twenty (20) states are scheduled with the remaining ten states completing the review process in year three. 6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION 6(a) Estimating Respondent Burden and Costs10

The estimated total hour burden for response is 612 hours per respondent. This burden hour estimate translates to a cost of $ 21 ,8 52
. 38 per entity that voluntarily

completes the survey re sulting in the total of $ 1, 1 80 ,0 28
. 52
. There is no recurring respondent burden associated with this I CR. No capital or operations and maintenance costs are incurred by respondents under this ICR. The labo r costs in the following table are based on the following average labor rates:

Legal: $3 8
. 89 (State Government Lawyer) Managerial: $3 6
. 98 ( State Managers ) T echnical: $3 5
. 82 (Math and Science ) Clerical: $1 5
. 49 ( Office and Administrative Support) These rates are from the United States Department of Labor’s, Bureau of Labor Statistics, “ May 200 8 National Occupational Employ ment and W age Estimates, ” http://www.bls.gov/oes/2008/may/naics4_999200.htm http://www.bls.gov/oes/current/oes150000.htm http://www.bls.gov/OES/current/oes430000.htm

. Table 1. Respondents’ Burden and Costs

Information Collection Activity L egal $ 38.89/ hour M an.

$3 6 . 98/ hour T ech.

$3 5 . 82 / hour C ler.

$1 5 . 49/ hour Cap./

Startup cost Oper. and Maint. (O&M cost) 1. Pre - Review and Offsite Review Revie w elements and metrics and prepare data discrepancy response 6.5 5 6.17 96.92 0 $0.0 $0.0
Train/brief state staff & managers on re view substance and process. 2 23.42 31.17 0 $0.0 $0.0 Collect files, policies, data sets, reports etc. 1.67 20.83 46.58 19.83 $0.0 $0.0 2. Onsite Review Participate in kick

- of

f meeting. 2.8 3 20.17 9.33 0 $0.0 $0.0 Assist/facilitate EPA

review o f files and data sets .67 33.75 57.58 0 $0.0 $0.0 Participate in discussion of program with EPA 2 22.33 23.67 0 $0.0 $0.0 3. Report Drafting11

Information Collection Activity L egal $ 38.89/ hour M an.

$3 6 . 98/ hour T ech.

$3 5 . 82 / hour C ler.

$1 5 . 49/ hour Cap./

Startup cost Oper. and Maint. (O&M cost) Revie w and comment on draft report 1. 5 45.33 35.33 0 $0.0 $0.0
4. Coordination of Parts 1, 2 & 3 Coordination of review with the state agency 0 1 2 18.33 0 $0.0 $0.0
Coordination of the review within EPA 0 8.23 13.83 0 $0.0 $0.0
TO TAL HOURS/Respondent 1 7 .17 ($3 8
. 89 ) 242.2

($3 6
. 98 ) 332.8

($3 5
. 82 ) 19.83

($1 5
. 49 ) LABOR COST/Respondent $66 7
. 7 5 $ 8, 956
. 56 $ 11, 920
. 90 $ 307
. 17 No. of Respondents: 54 Total hours: 612 /Respondent x 54 Respondents = 3 3,048 over 3 years or 11,016 annually Total Cost: $ 2 1,8 52
. 38 /Respondent x 54 respondents = $1, 180 ,0 28
. 52 over 3 years or $ 3 93 , 342.84 annually 6(b) Estim ating Agency Burden EPA Regions I through X will participate in the State Review Framework process and the following table details the hour and cost burden per region. These rates are from the Office of Personnel Management ( OPM) “ 20 10 General Schedule” which excludes locality rates of pay

. The cost for the Regional table (Table 2) is based on the average hourly l abor rate as follows: Legal $4 5
. 99 (GS

- 14, Step 5)

Managerial $3 8
. 92 (GS

- 13, Step 5) Technical $2 8
. 88 (GS

- 12, Step 1) Clerical $1 5
. 63 (GS

- 6, Step 3) The cost for the Headquarters table (Table 3) is based on the average hourly l abor rate as follows: Legal $57.13 (GS

- 14, Step 5)

Managerial $48.3 5 (GS

- 13, Step 5)12 Technical $35.88 (GS

- 12, Step 1) Clerical $19.41 (GS

- 6, Step 3) These rates are from the Office of Personnel Management (OPM) “2010 General Schedule” and includes the locality pay ment for the Washington D.C. area. Table 2. Agency

Burden and Cost (per Region)

Information Collection Activity L egal $45.99/ hour M an.

$3 8.92 / hour T ech.

$28.88 /hour C ler.

$15.63 / hour Capit al/ Startup cost Oper. and Maint. (O&M cost) 1. Pre - Review and Offsite Review Revie w elements and metrics and prepare data discrepancy response 0 6.25 32.25 0 0 0 Train/brief state staff & managers on review substance and process. 0 11 20.25 0 0 0 Collect files, policies, data sets, reports etc. 0 4 19.25 0 0 0 2. Onsite Review Participate in kick

- of

f meeting. .75 3 9 0 0 0 Assist/facilitate on - site review of f iles and data sets 0 2 9.5 127.5 0 0 0 Participate in discussion of program with state 0 3 12 0 0 0 3. Report Drafting Revie w and comment on draft report 0 21.5 81 0 0 0 4. Coordination of Parts 1, 2 & 3
Coordination of

revie w with the state agenc y 0 2. 89 11 0 0 0 Coordination of the review within EPA 0 2.3 3 17 0 0 0 Total Agency hours 0. 75 73.47 329.25 0 0.0 0.0 Total Agency costs 34
. 49 $2, 859
. 45 $ 9, 508 .7 4 $0 0 .0 0. 0 TO TAL REGIONAL AGENCY HOURS: 403.47 (x 10 Regions = 4034.7 ) TO TAL REGIONAL AGENCY COST: $12 , 402 . 68 x 10 Regions = $ 124,026 . 8 0 )13

Table 3. Agency

Burden and Cost (Headquarters )

Information Collection Activity Legal $5 7.13 / hour Man.

$48.35 / hour Tech.

$35.88 /hour Cler.

$19.41 / hour Capital/

Start- up cost Oper.

and Maint. (O&M cost) 1. Pre - Review and Offsite Review Train/brief state and region staff & managers on review substance and process. 0 3 3 0 0 0 Collect files, policies, data sets, reports etc. 0 0 2 5 0 0 2. Onsite Review Participate in kick

- of

f meeting. 1 1 1 0 0 0 Participate in discussion of the program with the Regions 5 5 1 0 0 0 0 3. Report Drafting Revie w and comment on draft report 5 5 15 0 0 0 4. Coordination of Parts 1, 2 & 3 Coordination of the revie w within EPA 0 2 2 0 0 0 TO TAL 11 16 33 5 0 0 TO TAL COST $ 628
. 43 $ 773.6 0 $1 184
. 04 $ 9 7
. 05 0 .0 0. 0 TO TALS Hours: 65 Labor Cost: $ 2,683
. 12 6(c) Bottom Line Burden Hours and Cost Tables Table 4 . Total Estimated Respondent Burden and Cost Summary (over 3 years)

N o. of Respondents No. of

Activities Total hours Total Labor Costs Total

Capital and Start

- up costs Total

Annual O&M costs Respondent 54 9 3 3,048 $1, 180,028
. 52 $0.0 $0.014

Table 5 . Total Estimated Agency Burden and Cost Summary

No.of Activities Total h ours Total Labor Costs Total Capital and Start

- up costs Total

Annual O&M costs Regions 9 4,034.7 (for all ten regions) $ 124,026.8 0 (for all ten regions) $0.0 $0.0 Headquarters 6 65 $ 2 ,683
. 12 $0.0 $0.0 6(d) Reasons for Changes in Burden There has been no increase in the hours in the total estimated respondent burden compared with that identified in the IC R currently a pproved by

O MB. There has been an increase in the cost in the total estimated respondent burden based on rates from the Office of Personn el Management (OPM) “2010 General Schedule.” 6(e) Burden Statement The average annual respondent burden for each state is 612 hours. This estimate includes time for (1) reviewing and correcting the national data and the metrics; (2) training and bri efing state staff & managers on review substance and process; (3) collecting files, policies, data sets, reports etc.; (4) participating in kick

- off meeting s ; (5) assisting/facilitating EPA review of files and data sets; (6) participating in discussion of program with EPA; (7) reviewing and commenting on draft report; (8) coordinating of review with the state agency; and (9) coordinating of the review within EPA. There is no record keeping burden for this collection as the State Review Framework does not include record keeping requirements. 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 instr

uctions; 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 comp ly 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 valid OMB Control Number. The OMB Control Numbers for EPA’s regulations are listed at 40 CFR par t 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 I CR under15

Docket ID Number EPA

- OECA

- 2010

- 0291 , which is available for public viewing at the Enforcement and Compliance Docket and Information Center in the EPA Docket Center (EPA/DC), EPA West, Room 333 4 , 1301 Constitution Avenue, N.W., Washington, D.C. The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday , excluding legal holidays. The telephone number for the Reading Room is (202) 566

- 1744, and the telep hone number for the OECA Docket is (202) 566

- 1752 . An electronic version of the public docket is available at http://www. regulations.gov . Use http://www.regulations.gov to submit or view public comments, to access the index listing of the contents of the public docket, and to access those documents in the public docket that are available electronicall y. When in the system, select “search,” then key in the Docket ID Number identified above. You can also send comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, N.W., Washington, D.C. 20503, Attention: Desk Officer for EPA. Please include the EPA Docket ID Number EPA

- OECA

- 2010

- 0291 in any correspondence. Part B of the Supporting Statement This p art is not applicable because no statistical methods were used in collecting this information.