i

SUPPORTING STATEMENT

For Renewal of Information Collection Requirements under the

Paperwork Reduction Act, 44 U.S.C. 3501 et seq.

40 CFR Part 6:

Procedures for Implementing the National Environmental Policy Act and 

Assessing the Environmental Effects Abroad of EPA Actions

Table of Contents

1. IDENTIFICATION OF THE INFORMATION COLLECTION....................................................................4

1(a) Title of the Information Collection .........................................................................................................4

1(b) Abstract.....................................................................................................................................................4

2. NEED FOR AND USE OF THE COLLECTION..............................................................................................5

2(a) Need/Authority for the Collection...........................................................................................................5

2(b) Practical Utility/Users of the Data ..........................................................................................................5

3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA............................5

3(a) Nonduplication .........................................................................................................................................5

(b) Public Notice Requirement Regarding ICR Submission to OMB........................................................6

3(c) Consultations ............................................................................................................................................6

3(d) Effects of Less Frequent Collection ........................................................................................................6

3(e) General Guidelines...................................................................................................................................6

3(f) Confidentiality ..........................................................................................................................................6

3(g) Sensitive Questions...................................................................................................................................6

4. THE RESPONDENTS AND THE INFORMATION REQUESTED ..............................................................7

4(a) Respondents..............................................................................................................................................7

4(b) Information Requested ............................................................................................................................8

5. THE INFORMATION COLLECTED -- AGENCY ACTIVITIES, COLLECTION METHODOLOGY, 

AND INFORMATION MANAGEMENT.................................................................................................................11

5(a) Agency Activities....................................................................................................................................11

5(b) Collection Methodology and Management...........................................................................................11

5(c) Small Entity Flexibility ..........................................................................................................................11

5(d) Collection Schedule ................................................................................................................................13

6. ESTIMATING THE BURDEN OF THE COLLECTION .............................................................................13

6(a) Estimated Respondent Burden..............................................................................................................13

6(b) Estimated Respondent Costs.................................................................................................................14

6(c) Estimated Agency Burden and Cost.....................................................................................................20

6(d) Estimated Respondent Universe and Total Burden and Costs...........................................................26

6(e) Bottom Line Burden Hours and Costs Tables.....................................................................................26

6(c) Estimated Annual and 3-Year Aggregate Burden............................... Error! Bookmark not defined.

6(f) Reasons for Change in Burden..............................................................................................................27

6(g) Burden Statement...................................................................................................................................28

Part B of the Statistical Survey – Statistical Survey ....................................................36
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Attachments

Attachment 1: Exemptions from NEPA for Certain EPA Actions and EPA’s Voluntary NEPA Policy and 

Procedures

Attachment 2: Estimates of Hours and Contractor Costs for Applicants and EPA
iii

List of Acronyms

CE Categorical Exclusion

CEQ Regulations Council on Environmental Quality’s Regulations, 40 CFR 1500 – 1508

EA Environmental assessment

EID Environmental information document

EIS Environmental Impact Statement

EPA Environmental Protection Agency

FONSI Finding of no significant impact

FMSD Facilities Management and Services Division

ICR Information collection request

MPRSA Marine Protection, Research and Sanctuaries Act, 33 U.S.C. 1401 et seq.

NEPA National Environmental Policy Act of 1969, 42 U.S.C. 4321 – 4347

NPDES National Pollutant Discharge Elimination System

OMB Office of Management and Budget

PRF Paperwork Reduction Act, 44 U.S.C. 3501 et seq.

RFA Regulatory Flexibility Act, 5 U.S.C. 601 et seq.

ROD Record of Decision

SBREFA Small Business Regulatory Enforcement Fairness Act of 1996

STAG State and Tribal Assistance Grants
4

SUPPORTING STATEMENT

For Renewal of Information Collection Requirements under the

Paperwork Reduction Act, 44 U.S.C. 3501 et seq.

40 CFR Part 6:

Procedures for Implementing the National Environmental Policy Act and

Assessing the Environmental Effects Abroad of EPA Actions

1. IDENTIFICATION OF THE INFORMATION COLLECTION

1(a) Title of the Information Collection: "Procedures for Implementing the National 

Environmental Policy Act and Assessing the Environmental Effects Abroad of EPA Actions” – i.e., 40 

CFR Part 6

1(b) Abstract:

The National Environmental Policy Act of 1969 (NEPA), 42 U.S.C. 4321-4347 establishes a 

national policy for the environment. The Council on Environmental Quality (CEQ) oversees the 

NEPA implementation. CEQ’s Regulations (CEQ Regulations) at 40 CFR parts 1500 through 1508 set

the standard for NEPA compliance. They also require agencies to establish their own NEPA 

implementing procedures. EPA’s procedures for implementing NEPA are found in 40 CFR Part 6. 

Through this part, EPA adopted the CEQ Regulations and supplemented those regulations for actions 

proposed by EPA that are subject to NEPA requirements. EPA actions subject to NEPA include the 

award of wastewater treatment construction grants under Title II of the Clean Water Act, EPA’s 

issuance of new source National Pollutant Discharge Elimination System (NPDES) permits under 

section 402 of the Clean Water Act, certain research and development projects, development and 

issuance of regulations, EPA actions involving renovations or new construction of facilities, and 

certain grants awarded for projects authorized by Congress through the Agency’s annual 

Appropriations Act.

Compliance of EPA’s actions subject to 40 CFR Part 6 is the responsibility of EPA's 

Responsible Officials. For applicant-proposed actions, certain procedures apply to applicants (that is 

grantees and permit applicants) who must submit environmental information to EPA as part of the 

environmental review process. The EPA Responsible Official is responsible for the environmental 

review process, including any categorical exclusion (CE) determination1or the scope, accuracy, and 

contents of a final environmental assessment (EA) or environmental impact statement (EIS) and any 

supporting documents. The applicant contributes by submitting environmental information to EPA as 

part of the environmental review process.

For actions subject to NEPA, the Responsible Official may determine that the proposed action 

does not individually or cumulatively have a significant effect on the human environment and may, 

therefore, be categorically excluded from further NEPA review. If the proposed action is not 

categorically excluded, the Responsible Official may prepare an EA in order to determine whether to 

prepare an EIS or a finding of no significant impact (FONSI). If necessary, the Responsible Official 

must prepare an EIS if the proposed action will have a significant effect on the human environment. 

For applicant-proposed actions, the applicant may submit information to the Responsible Official 

regarding the applicability of a categorical exclusion and request a determination by the Responsible 

Official. If the applicant-proposed action is not eligible for a categorical exclusion, the Responsible 

Official may gather information and prepare the NEPA documents without assistance from the 

applicant, or have the applicant prepare an environmental information document (EID) or a draft EA 

 

1 Certain actions eligible for a categorical exclusion may require the Responsible Official to document 

the determination that a categorical exclusion applies. See 40CFR Part 6.204 for documentable and 

non-documentable categorical exclusions.
5

and supporting documents, or implement a third-party contract agreement with the applicant.

40 CFR Part 6 also includes EPA’s procedures, “Assessing the Environmental Effects Abroad 

of EPA Actions,” that implement Executive Order 12114, “Environmental Effects Abroad of Major 

Federal Actions" (see 46 FR 3364). EPA’s Executive Order 12114 procedures further the purpose of 

NEPA and provide that EPA may be guided by its NEPA procedures to the extent they are applicable.2 

Therefore, when EPA conducts an environmental assessment pursuant to its Executive Order 12114 

procedures, the Agency generally follows its NEPA procedures. Compliance with the procedures is 

the responsibility of EPA’s Responsible Officials and for applicant-proposed actions, applicants may 

be required to provide environmental information to EPA as part of the environmental review process. 

For this Information Collection Request (ICR), applicant-proposed projects subject to either NEPA or 

Executive Order 12114 (and that are not addressed in other EPA programs’ ICRs) are addressed 

through the NEPA process.

2. NEED FOR AND USE OF THE COLLECTION

2(a) Need/Authority for the Collection: The CEQ Regulations (40 CFR 1505.1) require 

federal agencies to adopt and, as needed, revise their own implementing procedures to supplement the 

CEQ Regulations. The purpose of 40 CFR Part 6 is to satisfy the procedural requirements of the CEQ 

Regulations for NEPA for applicable EPA actions. Additionally, 40 CFR Part 6 includes EPA's 

environment review procedures implementing Executive Order 12114. EPA is collecting information 

from certain applicants as part of the process of complying with either NEPA or Executive Order 

12114 per 40 CFR Part 6.

2(b) Practical Utility/Users of the Data: EPA’s NEPA regulations apply to the actions 

of EPA that are subject to NEPA in order to ensure that environmental information is available to the 

Agency's decision-makers and the public before decisions are made and before actions are taken. This 

includes actions such as wastewater treatment construction grants under Title II of the Clean Water 

Act, EPA’s issuance of new source National Pollutant Discharge Elimination System (NPDES) 

permits, certain research and development projects, EPA actions involving renovations at or new

construction of EPA facilities, and certain grants awarded for special projects authorized by Congress 

through the Agency’s annual Appropriations Act. EPA actions subject to NEPA that are based on 

applicant proposals may include any of these except EPA actions for construction of special purpose 

facilities or facility renovations of EPA facilities. The Part 6 regulations also include EPA’s 

procedures implementing Executive Order 12114. These procedures ensure that environmental 

information is available to the Agency’s decision-makers and other appropriate Federal agencies and 

officials for actions subject to Executive Order 12114.

3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA

3(a) Nonduplication: For both the NEPA and Executive Order 12114 implementing 

procedures, the information submitted by an applicant does not duplicate information otherwise 

submitted to the government. For an EPA action subject to NEPA that is based on an applicant 

proposal, the applicant (e.g., grantee or permit applicant) would submit information used by the 

Responsible Official during the environmental review process. This one-time submission is specific to 

the applicant's proposed action in order to provide project-specific information necessary for the 

 

1The courts have determined, and CEQ has issued guidelines, that NEPA does not apply to 

Federal agency actions significantly affecting the environment of the global commons or the 

environment of a foreign nation not participating with the United States and not otherwise involved in 

the action. The Executive Order is “... solely for the purpose of establishing internal procedures for 

Federal agencies to consider the significant effects of their actions on the environment outside the 

[U.S.], its territories and possessions ...” [Executive 0rder 12114, Section 3-1]
6

Responsible Official’s environmental review of the proposed action.

3(b) Public Notice Requirement Regarding ICR Submission to OMB: The Office of 

Federal Activities published a Notice in the Federal Register on this ICR renewal requesting public 

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 established a public docket for this ICR renewal, under Docket ID number 

EPA-HQ-OECA-2005-0062. EPA requested that any comments related to the ICR renewal be 

submitted to EPA and OMB. EPA's docket is available for public viewing at the EPA Docket Center 

(EPA/DC), EPA West, Room 3334, 1301 Constitution Avenue NW, Washington, D.C. The EPA 

Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, 

excluding legal holidays. The telephone number for the Reading Room is (202) 566-1744, and the 

telephone number for the Enforcement and Compliance Docket and Information Center is (202) 566-

1752. An electronic version of the public docket is available at http://www.regulations.gov. The 

public may use the public docket to obtain a copy of the ICR including the Supporting Statement, 

review public comments, access the index listing of the contents of the public docket, and to access 

those documents in the public docket that are available electronically.

3(c) Consultations:

EPA’s NEPA Practitioners: EPA actions subject to NEPA or Executive Order 12114 that are based on 

applicant proposals are one-time only and involve various government jurisdictions and businesses 

rather than repeated requests for information from specific government jurisdictions and businesses. 

EPA relied on information available from its NEPA practitioners and their experience working with 

grantees and permit applicants to prepare the burden estimates in this ICR. These are the same EPA 

practitioners that conduct the assessments of applicant-proposed actions subject to NEPA or Executive 

Order 12114 as further discussed in Section 4(a) of this Supporting Statement. As provided for in 

Executive Order 12114, EPA’s NEPA procedures may be used for assessing these projects. EPA has, 

however, requested public comment on this ICR as discussed in Section 3(b), above.

Council on Environmental Quality (CEQ): 40 CFR Part 6 was developed in consultation with CEQ 

(see 40 CFR 1507.3(a)).

3(d) Effects of Less Frequent Collection: Under 40 CFR Part 6, respondents submit 

project-specific information only for EPA actions subject to NEPA or Executive Order 12114 that are 

based on applicant proposals (as further discussed in Section 4(a)). Such actions are generally onetime requests from EPA for environmental information from applicants requesting grant assistance for 

specific projects subject to NEPA or for new source NPDES permits to be issued by EPA. There are 

no ongoing or periodic reporting or recordkeeping requirements.

3(e) General Guidelines: The information submitted by applicants would be consistent 

with the guidelines of the Office of Management and Budget (OMB) in 5 CFR 1320.6. For an 

applicant-proposed action, the applicant (e.g., grantee or permit applicant) submits information to 

EPA's Responsible Official as part of the environmental review process. This is a one-time submission 

specific to the applicant's proposed action in order to provide project-specific information necessary 

for the environmental review of the proposed action. The Responsible Official, however, may ask the 

applicant to provide additional information if the Responsible Official needs it to prepare the EA or 

EIS. There are no schedule requirements or requirements on the number of copies of the 

documentation to be submitted or requirements for ongoing reporting or recordkeeping or to conduct 

statistical surveys.

3(f) Confidentiality: 40 CFR Part 6 does not require applicants to submit confidential, 

proprietary or trade secret information.

3(g) Sensitive Questions: 40 CFR Part 6 does not require applicant response to sensitive 
7

questions (e.g., questions concerning sexual behavior or attitudes, religious beliefs, or other matters 

usually considered private).

4. THE RESPONDENTS AND THE INFORMATION REQUESTED

4(a) Respondents: Those subject to 40 CFR Part 6 include EPA officials who must 

comply with NEPA or Executive Order 12114, and certain grant or permit applicants who must submit 

environmental information documentation to EPA for their projects. For purposes of delineating the 

information collection requirements under the Paperwork Reduction Act, 44 U.S.C. 3501 et seq., 

"applicants" (e.g., grantees or permit applicants) are the respondents (e.g., the persons who must 

generate, maintain, or provide information to or for a Federal agency).

EPA actions generally subject to NEPA include: wastewater treatment construction grants, 

issuance of new source NPDES permits by EPA, certain research and development grants, EPA actions 

for construction of special purpose facilities or facility renovations of EPA facilities, and certain grants 

awarded for projects authorized by Congress through the Agency’s annual Appropriations Act. EPA 

actions subject to NEPA that are based on applicant proposals may include any of these except EPA 

actions for construction of special purpose facilities or facility renovations of EPA facilities. The EPA 

Responsible Official is responsible for the environmental review process, including any categorical 

exclusion determination or the scope, accuracy, and contents of a final EA or EIS and any supporting 

documents. The applicant may contribute by submitting environmental information to EPA as part of 

the environmental review process.

EPA actions typically subject to Executive Order 12114 include major EPA actions which 

affect the environment of a foreign nation or the global commons and may include: major research or 

demonstration projects, ocean dumping activities carried out under section 102 of the Marine 

Protection, Research, and Sanctuaries Act (MPRSA) (33U.S.C. 1401 et seq.), major permitting or 

licensing of facilities by EPA,3 Wastewater Treatment Construction Grant Program under section 201 

of the Clean Water Act when activities addressed in the facility plan would have environmental effects 

abroad, and other EPA activities as determined by EPA.

Wastewater Treatment Construction Grants Program facilities or new source NPDES permits 

to be issued by EPA for facilities in the U.S. bordering Mexico or Canada are subject to EPA’s NEPA 

implementing procedures. If these facilities could have significant environmental effects abroad, 

generally they would also be subject to EPA’s procedures implementing Executive Order 12114. In 

addition, EPA has determined that certain grants awarded for special projects authorized by Congress 

through the Agency’s annual Appropriations Act are subject to NEPA. STAG special projects in the 

U.S. bordering Mexico or Canada and that could have significant environmental effects abroad 

generally would also be subject to EPA’s procedures implementing Executive Order 12114.

Further, certain actions subject to EPA’s Executive Order 12114 implementing procedures are 

not subject to EPA’s NEPA implementing procedures. As with EPA’s current Part 6 regulations, 

EPA’s Executive Order 12114 implementing procedures (with only minor, technical amendments) 

provide that: (a) for ocean dumping activities, the information submitted under 40 CFR part 221 is 

sufficient to satisfy the environmental assessment requirements; and (b) for permits issued under 

section 3005 of the Resource Conservation and Recovery Act, section 402 of the Clean Water Act, and 

section 165 of the Clean Air Act, the information submitted by applicants for such permits or 

approvals under the applicable consolidated permit regulations (40 CFR parts 122 and 124) and 

 

3This may include such actions as EPA-issued permits for hazardous waste treatment, storage, 

or disposal facility under section 3005 of the Resource Conservation and Recovery Act (42 U.S.C. 

6925), NPDES permits under section 402 of the Clean Water Act (33 U.S.C. 1342), and prevention of 

significant deterioration approvals under Part C of the Clean Air Act (42 U.S.C. 7470 et seq.).
8

Prevention of Significant Deterioration regulations (40 CFR part 52) satisfy the environmental 

document requirements of Executive Order 12114.

In summary, the applicant burden for any applicant-proposed actions, including permitting or 

licensing, under these authorities is already addressed under EPA’s ICRs for these programs and is not 

further addressed in this ICR. However, the applicant burden for any EPA action subject to NEPA 

and/or Executive Order 12114 that is based on an applicant proposal, including Wastewater Treatment 

Construction Grants Program facilities, STAG actions subject to NEPA and new source NPDES 

permits issued by EPA, is addressed in this ICR. EPA’s Executive Order 12114 implementing 

procedures further the purpose of NEPA and provide that EPA may be guided by the CEQ Regulations 

to the extent they are applicable. Therefore, when EPA conducts an environmental assessment 

pursuant to its Executive Order 12114 procedures, the Agency generally follows the CEQ Regulations 

and the procedures in EPA’s NEPA implementing regulations. For these reasons, for applicantproposed actions subject to either NEPA or Executive Order 12114 (and that are not addressed in other 

EPA programs’ ICRs), the remainder of this ICR Supporting Statement will evaluate the respondent 

burden only with regard to EPA’s NEPA implementing procedures.

For purposes of this ICR, EPA considers the model respondents to be two types of applicants:

 Grant applicants applying to EPA for funding of special projects identified in the STAG 

account authorized by Congress through the Agency’s annual Appropriations Act. These 

applicants are generally governmental jurisdictions.4

 Permit applicants applying to EPA for issuance of new source NPDES permits under §402 

CWA5. Because of the large number of facilities requiring permits, EPA issues general

permits for certain discharges. A general permit is an NPDES permit that covers multiple 

facilities that have similar discharges and are located in a specific geographic area. A general 

permit applies the same or similar conditions to all dischargers covered under the general 

permit. Using a general permit to cover numerous facilities reduces paperwork for permitting 

authorities and permittees, and ensures consistency of permit conditions for similar facilities.

4(b) Information Requested: For EPA actions subject to NEPA, the Responsible 

Official may determine that the proposed action does not individually or cumulatively have a 

significant effect on the human environment and may, therefore, be categorically excluded from further 

NEPA review. If the proposed action is not categorically excluded, the Responsible Official may 

prepare an EA in order to determine whether to prepare an EIS or a FONSI. The Responsible Official 

prepares an EIS if the proposed action will have a significant effect on the human environment. For 

EPA actions subject to NEPA that are based on applicant proposals, the Responsible Official may 

gather the information and prepare the NEPA documents without environmental information submitted 

 

4Approximately 75% of EPA’s grants are under the STAG appropriations account. Certain 

line items in the STAG appropriations account are not subject to NEPA (see Attachment 1). Grantee 

actions subject to NEPA are predominately under the STAG appropriations account (including 

consideration of the Wastewater Treatment Construction Grants Program and other actions subject to 

NEPA, including those under the Agency’s Environmental Programs and Management (EPM) 

account).

5 EPA issues new source NPDES permits in areas where EPA is the NPDES permitting 

authority, which includes four states (Idaho, Massachusetts, New Hampshire, and New Mexico), 

Washington, D.C., all U.S. territories except the Virgin Islands, most Indian Country lands, federal 

facilities in four additional states (Colorado, Delaware, Vermont, and Washington), and a few

additional areas as specified on the Specific State Program Status page at 

http://cfpub.epa.gov/npdes/statestats.cfm?program_id=45&view=specific. All other states have the 

authority to issue general permits. 
9

by the applicant, or have the applicant prepare an EID, or a draft EA and supporting documents, or 

implement a third-party agreement with the applicant.6

The level of NEPA documentation and the project-specific information the Responsible 

Official needs for decision-making is determined by the potential for environmental impact of the 

action, or the facility to be permitted or the project to be funded by the action rather than the dollar 

amount of the project or whether the applicant is a grantee or permit applicant.7 Table 1 summarizes 

the information to be submitted by an applicant for a categorical exclusion (CE) determination, an EA 

and FONSI, and an EIS and Record of Decision (ROD). There are no schedule requirements or 

requirements on the number of copies of the information document to be submitted or requirements for 

ongoing reporting or recordkeeping.

 

6

If an EA or EIS is to be prepared for an action subject to NEPA, the Responsible Official and 

the applicant may enter into an agreement whereby the applicant engages and pays for the services of a 

third-party contractor to prepare an EA or EIS and any supporting documents. The Responsible 

Official has sole authority for approval and modification of the statements, analyses, and conclusions 

of the EA or EIS and any supporting documents. Because EISs are generally more complex than EAs 

in terms of the issues to be addressed and the associated analyses, it has generally been EPA’s 

experience that grantees and permit applicants will enter into third-party agreements with EPA for 

preparation of the EIS and supporting documents. 

7

For example, a grantee action for renovation of an existing wastewater treatment or drinking 

water supply system may be categorically excluded. An EA may be required for a grantee action to 

construct a new sewage treatment system in a small governmental jurisdiction; or to assess a new 

source NPDES permit for a discharge from a confined animal feedlot operation for chickens, cattle, 

hogs or pigs. An EIS may be required for a grantee action to construct a new sewage treatment plant 

with potential for significant impacts to wetlands, or cultural or archaeological features; or to assess a 

new source NPDES permit for discharges from an oil and gas extraction facility, or mining operation, 

or a confined animal feedlot operation with potential for significant impacts to wetlands, or cultural or 

archaeological features, or threatened or endangered species.
10

Table 1. Summary of Information Submitted by Applicants for CEs, EAs/FONSIs, and EISs/RODs

Categorical Exclusion (CE) means a category of actions which do not individually or cumulatively have a 

significant effect on the human environment and have been found by EPA to have no such effect. To find that a 

proposed action is categorically excluded, the Responsible Official needs to determine that the proposed action fits 

within a categorical exclusion that is listed in the regulations, and the proposed action does not involve any 

extraordinary circumstances as listed in the regulations. “Extraordinary circumstances” mean those circumstances 

in which a normally excluded action may have a significant environmental effect. Based on review of information 

in the applicant’s application and other available information, the Responsible Official notifies the applicant if the 

action is categorically excluded, or if EPA needs additional information to support the application of a categorical 

exclusion.

Information Submitted by Applicant: The applicant may provide statements or documents to the Responsible 

Official to verify that the proposed action would not involve any of the listed extraordinary circumstances.

 For example, the applicant might submit information to support a categorical exclusion determination for 

an action that meets the criteria for “Actions in unsewered communities relating to the use of proposed 

wastewater on-site technologies where such technologies replace existing systems.” If the project area is 

known to be near a property with nationally significant historic value, the applicant would likely enclose a 

letter from the State Historic Preservation Officer that confirms the proposed project will not have a 

significant environmental effect on the historic property. The applicant letter may also verify there are no 

wetlands in the project area.

Environmental Assessments (EAs) need to include sufficient information and analysis for the Responsible Official 

to determine whether to prepare an EIS or to issue a FONSI.

Information Submitted by Applicant: The applicant submits an EID of sufficient scope to enable the Responsible 

Official to prepare an EA, and then determine whether to issue a FONSI or prepare an EIS. At the discretion of the 

Responsible Official, the applicant may prepare a draft EA and supporting documents in lieu of an EID.

 An EID for an EA, or a draft EA and supporting documents, generally will: (1) include brief discussions 

of the need for the proposed action; the alternatives, including the no action alternative; description of the 

affected environment; and the environmental impacts of the proposed action and alternatives; (2) include 

a listing or summarize any coordination or consultation undertaken with any federal agency, state or local 

government, or federally-recognized Indian tribe, including compliance with applicable laws and 

executive orders; (3) identify and describe any mitigation measures that must be considered, including any 

mitigation measures that must be adopted to ensure the action will not have significant impacts; and (4) 

incorporate documents by reference.

Environmental Impact Statements (EISs) are generally prepared for major actions that may significantly affect the 

quality of the human environment, or when an EA indicates that significant impacts may occur that cannot be 

reduced or eliminated by changes to or mitigation of the proposed action. A Record of Decision (ROD) documents 

the decision of the Responsible Official.

Information Submitted by Applicant: The applicant submits an EID of sufficient scope to enable the Responsible 

Official to prepare an EIS and ROD. In lieu of submitting documentation, the Responsible Official and the 

applicant may enter into a third-party contract agreement. The information needed for an EIS parallels the 

information needed for an EA with a focus on assessment of significant environmental issues and alternatives.

 An EID for an EIS generally will: (1) provide EPA with information the Agency will use to prepare an 

EIS; (2) analyze all reasonable alternatives and the no action alternative; (3) describe the potentially 

affected environment including, as appropriate, the size and location of new and existing facilities, land 

requirements, operation and maintenance requirements, auxiliary structures such as pipelines or 

transmission lines, and construction schedules; (4) summarize any coordination or consultation 

undertaken with any federal agency, state or local government, or federally-recognized Indian tribe, 

including compliance with applicable laws and executive orders; (5) the draft EIS must summarize any 

public meetings during the scoping process, and the final EIS must summarize the public participation 

process held after publication of the draft EIS; (6) the draft EIS must consider substantive comments 

received during the scoping process, and the final EIS must summarize all comments on the draft EIS and 

respond to any substantive comments and explain any changes to a revised draft EIS or the final EIS and 

the reasons for the changes; and (7) include the names and qualifications of the persons primarily 

responsible for preparing the EIS including significant background papers.
11

5. THE INFORMATION COLLECTED -- AGENCY ACTIVITIES, COLLECTION 

METHODOLOGY, AND INFORMATION MANAGEMENT

5(a) Agency Activities: Compliance with the regulations is the responsibility of EPA's 

Responsible Officials. For applicant-proposed actions, grantees or permit applicants must submit 

environmental information to EPA as part of the environmental review process unless the Responsible 

Official decides to prepare the NEPA documents without assistance from the applicant. As noted in 

Table 1 above, the Responsible Official may determine that the action is categorically excluded, or 

prepare an EA in order to determine whether to prepare an EIS or issue a FONSI, or prepare an EIS 

and ROD.

5(b) Collection Methodology and Management: Whether the NEPA documents are 

based on environmental information developed by the Responsible Official or submitted by the 

applicant, the NEPA review and resulting documents generally rely on the use of existing data and 

information, including data and information from other federal agencies, state or local governments, or 

federally-recognized Indian tribes with jurisdiction by law or special expertise.

Whether the NEPA documents are prepared by the Responsible Official or based on 

environmental information submitted by the applicant, the quality of the information provided by an 

applicant must be sufficient to enable the Responsible Official to make a decision. This is 

accomplished under EPA’s NEPA implementing procedures through: (1) early coordination and 

cooperation with federal agencies, state and local governments, and federally-recognized Indian tribes 

with jurisdiction by law or special expertise (see final rule § 6.202); and (2) the public participation 

process associated with actions other than those categorically excluded8(see final rule § 6.203).9 

When the environmental information is provided by the applicant, the Responsible Official is 

responsible for the statements, analyses, and conclusions of the EA or EIS and any supporting 

documents.

The information compiled is a one-time submission in narrative text format (see final rule §§ 

6.205 and 6.207) rather than computerized compilations of data and information. There are no forms, 

checklists, or ongoing reporting, recordkeeping or file-maintenance requirements for applicants (see 

Subpart C). EPA maintains file records for each action.

5(c) Small Entity Flexibility:

10

 The 1995 Paperwork Reduction Act (PRA) incorporated 

the Regulatory Flexibility Act (RFA) into it. The RFA requires EPA to prepare a regulatory flexibility 

analysis for any rule that has a "significant economic impact on a substantial number of small entities." 

As part of the certification requirement, the EPA must show that the collection:

"reduces to the extent practicable and appropriate the burden on persons who shall provide 

information to or for the agency, including with respect to small entities, as defined in the 

Regulatory Flexibility Act (5 U.S.C. 601(6)), the use of such techniques as:

 

8The Responsible Official must make a copy of the determination document, if required, 

available to the public upon request..

9EPA’s Peer Review Guidelines recognize the public review process for NEPA documents. 

Also, EPA’s Quality System may apply to certain information gathering activities undertaken directly 

by EPA.

10Information, including quoted material, taken from: "ICR Handbook, EPA's Guide to 

Writing Information Collection Requests Under the Paperwork Reduction Act of 1995, U.S. 

Environmental Protection Agency, Office of Environmental Information Collection Strategies Division 

Division, revised October 2009.
12

"(1) establishing differing compliance or reporting requirements or timetables that 

take into account the resources available to those who are to respond;

"(2) the clarification, consolidation, or simplification of compliance and reporting 

requirements; or

"(3) an exemption from coverage of the collection of information, or any part 

thereof”

The requirements of the Small Business Regulatory Enforcement Fairness Act (SBREFA) of 

1996 must also be considered.

The information collected under this ICR is one-time only for applicant-proposed actions; 

e.g., actions proposed by grantees seeking funding assistance from EPA or for an NPDES permit 

application initiated by the permit applicant. In either case, EPA assumes the action will directly 

benefit the applicant (such as a grantee seeking grant funding for renovation of a community drinking 

water system, or a permit applicant seeking a new source NPDES permit from EPA to further the 

applicant’s business interests). Nonetheless, if the applicant cannot afford to provide the required 

environmental information to EPA, then EPA would undertake the environmental review without input 

from the applicant.11 Further, grantees may be grant-eligible for certain costs associated with 

providing environmental information to EPA.12 Permit applicants are not eligible for EPA financial 

assistance.

EPA has reduced the burden on small entities (including businesses and government 

jurisdictions) through the following provisions in EPA’s NEPA implementing procedures:

 Section 6.300: An EID is not required when the action is categorically excluded, or the 

applicant will prepare a draft EA and supporting documents. The Responsible Official may 

prepare the NEPA documents without environmental information submitted by the applicant.

 Section 6.302:

o The Responsible Official may prepare generic guidance for categories of actions 

involving a large number of applicants; and must ensure early involvement of 

applicants, consult with the applicant and provide guidance describing the scope and 

level of environmental information required, and provide guidance on a project-byproject basis to any applicant seeking assistance.

o The Responsible Official must consider the extent to which the applicant is capable 

of providing the required information, may not require the applicant to gather data or 

perform analyses that unnecessarily duplicate either existing data or the results of 

existing analyses available to EPA, and must limit the request for environmental 

information to that necessary for the environmental review.

 Section 6.303: An applicant may enter into a third-party agreement with EPA. (For grantees, 

certain third-party contractor costs may be eligible for cost reimbursement; see footnote 12. 

However, new source NPDES permit applicants are not eligible for EPA financial assistance.)

 

11Applicants would normally be requested to demonstrate financial hardship, including 

inability to provide the requested environmental information. If so demonstrated, then EPA would 

undertake the environmental review necessary for the grant or permit action.

12Under appropriate grant conditions, grantees generally may use EPA financial assistance to 

prepare an EID but not to prepare a draft EA and supporting documents. Third-party contract costs for 

an EID may also be grant-eligible. For grantee contractor costs to be reimbursable, grantees must meet 

certain contractor requirements, including procurement criteria.
13

5(d) Collection Schedule: Information must be submitted by an applicant only for EPA 

actions subject to NEPA that are based on applicant proposals unless EPA will prepare the NEPA 

documents without environmental information submitted by the applicant. The information to be 

submitted is required only when an applicant applies for a grant for an action subject to NEPA or a 

new source NPDES permit to be issued by EPA, a one-time application process. The Responsible 

Official, however, may ask the applicant to provide additional information if the Responsible Official 

needs it to prepare the EA or EIS. There are no schedules in the regulations for this collection process.

6. ESTIMATING THE BURDEN OF THE COLLECTION

The content of the environmental information submitted by an applicant for a draft EA and 

supporting documents and an EID for a draft EA and supporting documents is similar. There may be a 

financial difference for grantees in that EPA financial assistance generally may be used to prepare an 

EID but not to prepare a draft EA and supporting documents (see footnote 12). New source NPDES 

permit applicants are not eligible for EPA financial assistance. The applicant may also enter into a 

third-party agreement whereby the applicant engages and pays for the services of a contractor to 

prepare the draft EA and supporting documents. EPA’s experience with applicants has generally been 

that they contract directly for preparation of an EID or a draft EA and supporting documents.13 

Therefore, for purposes of estimating the maximum burden, the calculations will be based on 

preparation of a draft EA by a contractor whose services will be paid for by the applicant. 

The content of the environmental information submitted by an applicant for a draft EIS and 

supporting documents and an EID for a draft EIS and supporting documents is similar. For grantees, 

third-party contractor costs may be eligible for cost reimbursement (see footnote 12). New source 

NPDES permit applicants are not eligible for EPA financial assistance. Although an applicant may 

contract for preparation of an EID for a draft EIS, because EISs are generally more complex than EAs 

in terms of the issues to be addressed and the associated analyses, it has generally been EPA’s 

experience that applicants will enter into a third-party agreement with EPA for preparation of the EIS 

and supporting documents. Therefore, for purposes of estimating the maximum burden for this ICR, 

EPA assumes the applicant will enter into a third-party agreement for the environmental review 

process and preparation of the documents for the project.14

6(a) Estimated Respondent Burden: For an EPA action subject to NEPA that is based 

on an applicant proposal, the applicant would generally submit information to the EPA Responsible 

Official as part of the environmental review process as delineated in Section 4(b), Table 1. As noted 

above, EPA assumes the applicant will use a contractor to compile and prepare the environmental 

information to be submitted to the Responsible Official. For the applicant, the burden15 includes the 

 

13It has been EPA’s experience that applicants often use in-house engineering contractors for 

preparing CE- and EA-related environmental documents usually without seeking cost reimbursement.

14EPA believes the calculations for this ICR are representative of most projects. EPA’s 

experience with a limited number of EISs has included one-time costs ranging from nominal for 

information submitted by letter to supplement an existing oil and gas extraction EIS to over a million 

dollars for new EISs for a mining project and an oil and gas extraction project with multiple complex 

issues. 

15For purposes of this ICR: 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 
14

time and costs needed to:

1. Procure contractor services.

2. Review instructions (such as the regulations and any program-specific guidelines the 

Responsible Official may also provide) and/or meet with the Responsible Official.

3. Research data sources.

4. Complete and review the collection of environmental information.

5. Transmit the information to the Responsible Official.

6. Meet with the Responsible Official on the need for any revisions to the environmental 

information, and prepare and submit any necessary revisions to the information.

The applicant would not be required to develop, acquire, install, or 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; or train personnel to be able to respond 

to a collection of information; nor would there be requirements for ongoing reporting or 

recordkeeping.

In summary, EPA assumes an applicant would expend time and incur contractor costs to 

submit: (1) information to support application of a categorical exclusion with environmental 

information prepared directly by the applicant’s contractor, or (2) a draft EA and supporting 

documents prepared directly by the applicant’s contractor, or (3) a draft and final EIS and supporting 

documents prepared by the applicant’s contractor under a third-party agreement with EPA.

Respondents include grant applicants applying to EPA for funding of special projects 

identified in the STAG account authorized by Congress through the Agency’s annual Appropriations 

Act. These applicants are generally governmental jurisdictions. Until recently, such grants authorized 

by Congress, and subsequently awarded by EPA, had generally been increasing annually. However, 

for the 3-year period 2007 through 2010,

16 the number of grants awarded stabilized at about 300 

annually. Therefore, EPA anticipates that approximately 900 STAG grants will be awarded during the 

3-year life of this ICR, with approximately 300 awarded annually. EPA estimated that about 60% of 

the STAG projects were documented with a CE, and about 40% with an EA/FONSI although EPA 

anticipates that the STAG projects documented with a CE may increase 10% to 15%. Thus, based on 

experience, EPA anticipates there will be approximately 300 grantee projects annually with about 75% 

of these projects documented with a CE, and about 25% with an EA/FONSI. In addition, EPA 

estimates that one project (less than one percent of the total annual grantee projects) will have an 

EIS/ROD completed during the 3-year period of this ICR. EPA estimated contractor costs and hours, 

and hours for grantees and EPA for CE, EA/FONSI and EIS/ROD documentation are summarized in 

Table 2 (also see Section 6(b) for further information on estimates for EPA’s burden).

6(b) Estimated Respondent Costs:

Table 2. Summary of Estimated Contractor Costs and Hours for Grantees and EPA

CE Documents Project

Current 3-Yr ICR Period

EA/FONSI Documents Project

Current 3-Year ICR Period

EIS/ROD Documents Project

Current 3-Yr 

ICR Period

 

able to respond to a collection of information; research data sources; complete and review the 

collection of information; and transmit or otherwise disclose the information.

16 Due to a lack of a congressional passed budget, the number of grants awarded could only be 

calculated through 2010.
15

Grantee $3,000

 5 hrs

$3,000*

5 hrs

$19,000

60 hrs

$19,000*

60 hrs

$372,000

440 hrs

$372,000*

440 hrs

*Contractor: $75/hour(a)

$75/hr x 40 hrs = $3,000

*Contractor: $95/hour

$95/hr x 200 hrs = $19,000

*Contractor: $155/hour

$155/hr x 2400 hrs = $372,000

EPA

$0 $0 $5,000 for

25% of projects

$5,000 for 25%

of projects $0 $0

40 hrs

75%

40 hrs

75%

120 hrs

25%

120 hrs

25%

530 hrs

1 per 3-yrs

530 hrs

1 per 3-yrs

a Contractor cost/hour assumed to include consolidated wages for all personnel working on the project, 

project expenses, overhead and profit.

Respondents also include permit applicants applying to EPA for issuance of new source 

NPDES permits under §402 CWA. EPA issues new source NPDES permits only in states and U.S. 

territories that have not assumed authority for this program (see Section (4(a)). Because most states 

have assumed the NPDES program, few new source NPDES permits are issued by EPA. Regions 4, 6 

and 10 currently handle the majority of these projects. As presented in Section 4(a) of this Supporting 

Statement, most projects involve oil and gas extraction in off-shore waters areas, hardrock mining, 

concentrated animal feeding operations (CAFOs), dairy farming, and seafood processing. None of 

these projects have been documented with a CE and, during the 3-year life of this ICR, EPA does not 

anticipate any projects will be documented initially with a CE. Further, for the 3-year life of this ICR, 

EPA estimates that annually about 11 projects will be documented with EAs/FONSIs. In addition, 

EPA estimates one project will have an EIS/ROD completed annually. EPA estimated contractor costs 

and hours, and hours for permit applicants and EPA for EA/FONSI and EIS/ROD documentation are 

summarized in Table 3 (also see Section 6(b) for further information on estimates for EPA’s burden).

Table 3. Summary of Estimated Contractor Costs and Hours for Permit Applicants and EPA

CE Documents Project

Current 3-Yr ICR 

Prd

EA/FONSI Documents Project

Current 3-Year ICR 

Period

EIS/ROD Documents Project

Current 3-Yr 

ICR Period

Permit 

Applicant

None None

$62,000

60 hrs

$62,000*

60 hrs

$372,000*

440 hrs

$372,000*

440 hrs

* Contractor: $155/houra

$155/hr x 400 hrs = $62,000

*Contractor: $155/hour

$155/hr x 2400 hrs = $372,000

EPA

None None

$5,000 for 50% 

of projects $5,000 for 50% 

of projects $0 $0

120 hrs

11 projects

120 hrs

11 projects

5300 hrs

1 per year

530 hrs

1 per year

a Contractor cost/hour assumed to include consolidated wages for all personnel working on the project, 

project expenses, overhead and profit.
16

EPA does not anticipate any applicant capital or start up costs.17 Operating and maintenance 

(O&M) costs are the recurring dollar amount of cost associated with O&M or purchasing services. 

EPA assumes the O&M costs associated with the paperwork requirements for respondents would be 

costs for photocopying and mailing the compiled environmental information for a CE, EA or EIS. For 

a CE, EPA assumes up to 20 pages may be copied at 15¢ per page, or $3.00. For maximum cost 

estimate purposes, EPA assumes the documentation is mailed (using U.S. Postal Service priority mail 

service) at a cost of $20.00, for a total cost of $23.00 per CE. For an EA, EPA assumes 100 pages will 

be submitted at a cost of $15.00 for copying and $20.00 for priority mail for a total cost of $35.00 per 

EA. For an EIS, EPA assumes 800 pages will be submitted (4 x 200 pages per EIS - preliminary draft 

EIS, draft EIS, preliminary final EIS, final EIS) at a cost of $120.00 for copying and $80.00 for 

priority mail (4 x $20 per document) for a total cost of $200.00 per EIS. Alternatively, the compiled 

information for a CE, EA or EIS may be submitted to EPA electronically, saving respondents the 

O&M costs associated with the paperwork requirements for photocopying and mailing.

Based on the above assumptions and estimates for grantees and permit applicants, Tables 4 

and 5 list the estimated one-time, annual and three-year contractor hours and costs, and hours, direct 

labor and O&M costs for grantees and permit applicants (three years represents the approval period for 

this ICR). The direct labor rate, including benefits, for state and local government (management and 

professional) applicants is assumed to be $51; loaded at 25% for other non-benefits overhead, this rate 

is $64. The direct labor rate for federally-recognized Indian tribe applicants is assumed to be the same 

as for state and local government applicants. Grantee applicants are assumed to be state and local 

governments and federally-recognized Indian tribes. The direct labor rate, including benefits, for 

civilian worker (professional) applicants is assumed to be $51; loaded at 50% for other non-benefits 

overhead and including profit, this rate is about $77. Permit applicants are assumed to be civilian 

worker applicants. (Labor rates, including benefits, from the Bureau of Labor Statistics, “Employer 

Costs for Employee Compensation – December 2012,” http://www.bls.gov/news.release/ecec.nr0.htm )

 

17One-time capital/start-up costs usually include any produced physical good needed to 

provide the necessary information. Start-up capital must be purchased for the specific purpose of 

satisfying EPA's reporting or recordkeeping requirements. Capital goods include computers, 

machinery, or equipment. Start-up capital costs are usually incurred at the beginning of an information 

collection period and are usually incurred only once.
17

Table 4. One-Time, Annual and 3-Year Total Estimated Costs and Hours for Grant Applicants

Respondent CE Projects EA/FONSI Projects EIS/ROD Projects Totals

GranteeAnnual:

Number of 

Projects

Contractor 

Hours

Contractor 

Costs

Grantee

Hours

Grantee 

Labor Costs

O&M

Totals on 

One-Time 

Proj. Basis

75% x 300 proj = 225 proj

225 proj x 40 hrs/proj = 

9,000 hours

225 proj x $3,000/proj = 

$675,000

225 proj x 5 hrs/proj =

1,125 hours

1,125 hours x $64/hour =

$72,000

225 proj x $23/proj =

$5,175

40 + 5 = 45 hours/project

$3,000 + ($64 x 5) + $23 = 

$3,343/project

25% x 300 proj = 75 proj

75 proj x 200 hrs/proj =

15,000 hours

75 proj x $19,000/proj = 

$1,425,000

75 proj x 60 hrs/proj =

4,500 hours

4,500 hours x $64/hour =

$288,000

75 proj x $35/proj =

$2,625

200 + 60 = 260 hours/proj

$18,000 + ($64 x 60) + 

$35= $21,875/project

(None annually, one on a 3-

year basis)

(None annually, one on a 3-

year basis)

(None annually, one on a 3-

year basis)

(None annually, one on a 3-

year basis)

(None annually, one on a 3-

year basis)

(None annually, one on a 3-

year basis)

(None annually, one on a 3-

year basis)

GranteeAnnual:

300 projects

24,000 hours

$2,100,000

5,625 hours

$360,000

$7,800

Grantee3-Yr Total:

Number of 

Projects

Contractor 

Hours

Contractor 

Costs

Grantee 

Hours

Grantee 

Labor Costs

O&M

Totals on 

One-Time 

Proj. Basis

3 yrs x 225 proj = 675 proj

3 yrs x 9,000 hours =

27,000 hours

3 yrs x $675,000/yr =

$2,025,000

3 yrs x 1,125 hours =

3,375 hours

3 yrs x $72,000/yr =

$216,000

3 yrs x $5,175/yr = $15,525

3 yrs x 75 proj = 225 proj

3 yrs x 15,000 hours =

45,000 hours

3 yrs x $1,425,000/yr =

$4,275,000

3 yrs x 4,500 hours =

13,500 hours

3 yrs x $288,000/yr =

$864,000

3 yrs x $2,625/yr = $7,875

1 project on a 3-year basis

1 proj x 2,400 hours/proj =

2,400 hours

1 proj x $372,000/proj =

$372,000

1 proj x 440 hours/proj =

440 hours

440 hrs x $64/hour =

$28,160

1 proj x $200/proj = $200

2,400 + 440 = 2,840 hours

$372,000 + ($64 x 440) + 

$200 = $400,360

Grantee3-Yr Total:

901 projects

74,400 hours

$6,672,000

17,315 hours

$1,108,160

$ 23,600
18

Table 5. One-Time, Annual and 3-Year Total Estimated Costs and Hours for Permit Applicants

Respondent CE Projects EA/FONSI Projects EIS/ROD Projects Totals

PermiteeAnnual:

Number of 

Projects

Contractor 

Hours

Contractor 

Costs

Permitee 

Hours

Permitee 

Labor Costs

O&M

Totals on 

One-Time 

Proj. Basis

None

None

None

None

None

None

(None)

11 projects/year

11 proj x 400 hrs/proj =

4,400 hours

11 proj x $62,000/proj = 

$682,000

11 proj x 60 hrs/proj =

660 hours

660 hours x $77/hour = 

$50,820

11 proj x $35/proj = $385

400 + 60 = 460 hours

$62,000 + ($77 x 60) + $35

= $66,655

1 project/year

1 proj x 2,400 hrs/proj =

2,400 hours

1proj x $372,000/proj = 

$372,000

1 proj x 440 hrs/proj =

440 hours

440 hours x $77/hour =

$33,880

1 proj x $200/proj = $200

2,400 + 440 = 2,840 hours

$372,000 + ($77 x 440) + 

$200 = $406,080

PermiteeAnnual:

12 projects

6,800 hours

$1,054,000

1,100 hours

$84,700

$ 585

Permitee3-Yr Total:

Number of 

Projects

Contractor 

Hours

Contractor 

Costs

Permitee 

Hours

Permitee 

Labor Costs

O&M

None

None

None

None

None

None

3 yrs x 11 proj/yr = 33 proj

3 yrs x 4,400 hours =

13,200 hours

3 yrs x $682,000/yr =

$2,046,000

3 yrs x 660 hours =

1,980 hours

3 yrs x $50,820 =

$152,460

3 yrs x $385/yr = $1,155

3 yrs x 1 proj/yr = 3 proj

3 yrs x 2,400 hours =

7,200 hours

3 yrs x $372,000/yr = 

$1,116,000

3 yrs x 440 hrs/yr =

1,320 hours

3 yrs x $33,880 =

$101,640

3 yrs x $200/yr = $600

Permitee3-Yr Total:

36 projects

20,400 hours

$3,162,000

3,300 hours

$254,100

$ 1,755

As discussed in Section 5, the information collected under this ICR is one-time only for 

applicant-proposed actions. Grantees or permit applicants must submit environmental information to 

EPA as part of the environmental review process unless the Responsible Official decides to prepare the 

NEPA documents without assistance from the applicant. If the applicant cannot afford to provide the 

required environmental information to EPA, then EPA would undertake the environmental review 

without input from the applicant (see footnote 11). Further, grantees may be grant-eligible for certain 

costs associated with providing environmental information to EPA (see footnote 12); permit applicants 

are not eligible for EPA financial assistance. Table 6 summarizes the one-time total estimated 

applicant costs, including contractor hours and costs, applicant hours and direct labor costs, and O&M 

for documentation to support a CE, or an EA/FONSI, or an EIS/ROD. Based on EPA experience, 

under 40 CFR Part 6, EPA anticipates that for grantees there will be approximately 300 projects with 

about 75% of the projects documented with a CE, and about 25% with an EA/FONSI. In addition, 

EPA estimates that one project (less than one percent of the total annual grantee projects) will have an 

EIS/ROD completed during the 3-year life of this ICR. For permit applicants, EPA assumes there will 
19

be approximately 12 projects annually with about 11 of the projects documented with an EA/FONSI. 

In addition, EPA estimates one project will have an EIS/ROD completed annually. None will be 

documented initially with a CE.

Table 6. Summary of Estimated One-Time Total Costs and Hours for Applicants

Respondent One-Time Total Costs and Hours

CE EA/FONSI EIS/ROD

Grant Applicant

 Contractor Hrs/Cost

 Direct Hrs/Labor Cost

 O&M

Total

Hours Cost Hours Cost Hours Cost

40 $3,000 200 $19,000 2,400 $372,000

5 320 60 3,840 440 28,160

 $23 $35 $200

45 $3,343 260 $22,875 2,840 $400,360

 ONE PER 3-YEARS

Permit Applicants

 Contractor Hrs/Cost

 Direct Hrs/Labor Cost

 O&M

Total

Hours Cost Hours Cost Hours Cost

None None 400 $62,000 2,400 $372,000

None None 60 4,620 440 33,880

None None $ 35 $ 200

None None 460 $66,655 2,840 $406,080

The information collected under this ICR is one-time only for EPA actions subject to NEPA 

that are based on applicant proposals (see Section 5). For purposes of this ICR, Table 7 summarizes 

the estimated total annual and 3-year applicant costs, including contractor hours and costs, applicant 

hours and direct labor costs, and O&M for the three-year period of this ICR. Based on EPA’s 

experience, EPA anticipates there will be approximately 300 grantee projects annually with about 75% 

of these projects documented with a CE, and about 25% with an EA/FONSI. In addition, EPA 

estimates that one project (less than one percent of the total annual grantee projects) will have an 

EIS/ROD completed during the 3-year life of this ICR. For permit applicants, EPA assumes there will 

be approximately 12 projects annually with about 11 of the projects documented with an EA/FONSI. 

In addition, EPA estimates one project will have an EIS/ROD completed annually. None will be 

documented initially with a CE.

Table 7. Summary of Total Estimated Annual and 3-Year Costs and Hours for Applicants

Respondent Annual 3-Year Life of ICR

Grant Applicant

 Contractor Hrs/Cost

 Direct Hrs/Labor Cost

 O&M

 Number of Projects

 Sub-Totals

 Hours Cost

 24,000 $2,100,000

 5,625 360,000

 $7,800

300

300 29,625 $2,467,800

 Hours Cost

 74,400 $6,672,000

 17,315 1,108,160

 $ 23,600

901

901 91,715 $7,803,760

Permit Applicant

 Contractor Hrs/Cost

 Direct Hrs/Labor Cost

 O&M

 Number of Projects

 Sub-Totals

 Hours Cost

 6,800 $1,054,000

 1,100 84,700

 $ 585

12

12 7,900 $1,139,285

Hours Cost

 20,400 $3,162,000

 3,300 254,100

 $ 1,755

36

36 23,700 $3,417,855

Totals 312 37,525 $3,607,085 937 115,415 $11,221,615
20

6(c) Estimated Agency Burden and Cost:

18

 For EPA actions subject to NEPA that are 

based on applicant proposals, EPA may: (1) prepare the NEPA documents without assistance from the 

applicant, with or without using EPA contractor support; or (2) prepare the NEPA documents based on 

information submitted by the applicant (and any other supplemental information) with or without using 

EPA contractor support. If an EPA contractor is used, the contractor is generally tasked with technical 

assistance for reviewing any applicant-submitted information, gathering any other necessary 

information, and preparing the EA or EIS and supporting documents for EPA’s Responsible Official. 

EPA generally does not use its contractors on projects documented with a CE or for which EPA and 

the applicant enter into a third-party agreement.

 For CEs, EPA estimates it prepares CE documentation without assistance from the applicant 

for five STAG projects per year based on the information in a grantee’s grant application and 

supplemental information gathered directly by EPA using about 50 hours per project. For 

CE-documented projects based on grantee-submitted information, EPA uses an estimated 40

hours. 

 For EAs, EPA estimates contractor costs for technical assistance with reviewing an 

applicant’s draft EA and supporting documents and subsequent preparation of the EA at 

$5,000, with EPA using an estimated 120 hours. EPA estimates use of a contractor on about 

25% of the grantee projects and 50% of the permit applicant projects. 

 Most applicant EISs are prepared under a third-party agreement with EPA directly reviewing 

the third-party contractor-prepared EIS and supporting documents using an estimated 530

hours per project. EPA has also, and will likely continue to prepare EISs for new source 

NPDES permit projects in conjunction with other federal agencies. In these cases, EPA is 

usually a Cooperating Agency and either adopts or supplements and reissues the lead 

agency’s EIS. EPA may also supplement and reissue one of its own EISs for a project. EPA 

generally uses a contractor in these cases with contractor costs ranging widely with an 

average of $50,000 per project. For purposes of this ICR and based on EPA’s experience 

with adoption or supplementation of another EIS, EPA estimates that for direct preparation of 

one such EIS/ROD annually, EPA’s contractor costs are estimated to be $50,000 with EPA 

using an estimated 530 hours. 

Estimated contractor costs and hours for EPA for applicant-proposed projects are compiled on 

a document-type basis with the burden assumed to be the same for environmental information 

submitted by either a grantee or permit applicant. The following lists EPA’s tasks generally associated 

with preparation of NEPA documents based on environmental information submitted by an applicant 

and the estimated hours for these tasks:

1. Consult with the applicant as early as possible in the planning process to provide guidance 

with respect to the appropriate level and scope of information that EPA may require; for CEs, 

EPA estimates 10 hours, for EAs 20 hours, and for EISs 60 hours.

2. Review and independently evaluate the applicant-submitted and other project-related 

documents, including the grant or permit application and any appropriate public comments, 

and provide comments or guidance to the applicant about any additional information needed. 

For purposes of this ICR, these cost and hour estimates include using EPA contractor 

technical assistance during the review process for EAs. For CEs, EPA estimates 5 hours, for 

EAs 40 hours, and for EISs 180 hours.

3. Meet with the applicant on the need for any revisions to the environmental information and 

supporting documents, and review any revised documentation; for CEs, EPA estimates 5 

 

18EPA actions for construction of special purpose facilities or facility renovations of EPA 

facilities are actions undertaken directly by EPA and do not involve applicants. Therefore, EPA’s 

burden (contractor costs and hours) for these actions is not included in this ICR Supporting Statement.
21

hours, for EAs 10 hours, and for EISs 50 hours.

4. Consult with the applicant, when appropriate, on a third-party agreement. EPA assumes this 

will generally be done only for an EIS and estimates 40 hours for this task.

5. Complete the required environmental review and NEPA documentation before rendering a 

final decision regarding the applicant’s proposed action; for CEs, EPA estimates 15 hours, for 

EAs 40 hours, and for EISs 180 hours.

6. Maintain files; for CEs, EPA estimates 5 hours, for EAs 10 hours, and for EISs 20 hours.

On occasion, EPA may prepare the NEPA documentation without assistance from the 

applicant for an applicant’s project, using an EPA contractor for technical assistance with preparation 

of EAs/FONSIs and EISs/RODs. EPA tasks, and the estimated hours for these tasks, generally include 

the following:

1. Issue a Statement of Work for the project; for CEs EPA estimates 0 hours, for EAs 30 hours, 

and for EISs 60 hours.

2. For EPA’s direct consultations for CEs, and for coordination with the contractor and/or for 

direct consultations during EA or EIS preparation, on issues related to consulting with federal 

agencies, states or federally-recognized Indian tribes regarding extraordinary circumstances 

and/or potential impacts; for CEs EPA estimates 23 hours, for EAs 40 hours, and for EISs 100 

hours.

3. Review the contractor-prepared documents; for CEs EPA estimates 0 hours, for EAs 50 hours, 

and for EISs 180 hours.

4. Complete the required NEPA review and documents; for CEs EPA estimates 25 hours, for 

EAs 40 hours, and for EISs 200 hours.

5. Maintain files; for CEs EPA estimates 2 hours, for EAs 10 hours, and for EISs 30 hours.

There are no one-time capital/start-up costs for EPA, and the O&M hours for maintaining 

files are included in the EPA hours estimate.

For EPA actions subject to NEPA that are based on applicant proposals with applicants 

submitting environmental information, EPA’s annual and three-year estimated contractor costs and 

hours are summarized in Table 8 for grantee projects and Table 9 for permit applicant projects. Table 

10 summarizes EPA’s annual and three-year estimated contractor costs and hours for preparation of 

CE, EA and EIS documentation by EPA without assistance from the applicant and with EIS 

preparation based on adoption of another federal agency’s EIS or supplementation of another EIS. For 

purposes of this Supporting Statement, EPA assumes its contractor rate is $75/hour for CE’s, $95/hour 

for EA/FONSI’s and $155/hour for EIS’s which includes consolidated wages for all personnel working 

on a project, project expenses and profit. EPA’s hourly salary rate of about $65 is based on the pay for 

a GS-12, step 10, with 70% overhead, including benefits, O&M and other overhead expenses; see 

federal wages at: http://www.opm.gov. For this Supporting Statement, O&M is listed as a zero line 

item in the tables for ease of comparison to the applicant tables; specific O&M expenses are not 

included as these are included in EPA’s overhead.
22

Table 8. Grantee Projects - Annual and 3-Year Estimated Costs and Hours Per Document Type for 

EPA

Respondent CE Projects EA/FONSI Projects EIS/ROD Projects Totals

Grantees -

Annual

Number of 

Projects

Contractor 

Hours

Contractor Costs

EPA Hours

EPA Direct 

Labor Costs

O&M

Totals on OneTime Project 

Basis

225 projects

0

$0

225 proj x 40 hrs/proj = 

9,000 hours

9,000 hrs x $65/hr = 

$585,000

$0

0hrs + 40hrs = 40 hrs

$0 + (40hrs x $65/hr) + 

$0 = $2,600

75 projects

25% x 75 proj x 70 hrs/proj = 

1,313 hours

25% x 75 proj x $5,000/proj = 

$93,750

75 proj x 120 hrs/proj = 9,000

hours

9,000 hrs x $65/hr =

$585,000

$0

70hrs + 120hrs = 190 hours

$5,000 + (120hrs x $65/hr) + $0 = 

$12,800

(None annually, one on 

a 3-year basis)

(None annually, one on 

a 3-year basis)

(None annually, one on 

a 3-year basis)

(None annually, one on 

a 3-year basis)

(None annually, one on 

a 3-year basis)

(None annually, one on 

a 3-year basis

300 projects

1,313 hours

$93,750

18,000 hours

$1,170,000

$0

Grantees -

3-Yr Total:

Number of 

Projects

Contractor 

Hours

Contractor Costs

EPA Hours

EPA Direct 

Labor Costs

O&M

Totals on OneTime Project 

Basis

3 yrs x 225 proj/yr = 675

proj

3 yrs x 0 hours/yr =

0

3 yrs x $0 =$0

3 yrs x 9,000 hrs/yr =

27,000 hours

3 yrs x $585,000/yr = 

$1,755,000

3 yrs x $0/yr = $0

3 yrs x 75 proj/yr = 

225 projects

3 yrs x 1,313 hours/yr =

3,939 hours

3 yrs x $93,750/yr = $281,250

3 yrs x 9,000 hrs/yr =

27,000 hours

3 yrs x $585,000/yr =

$1,755,000

3 yrs x $0/yr = $0

1 project on a 3-yr 

basis

1 proj x 0 hrs/yr =

0 hours

1 proj x $0 = $0

1 proj x 530 hours = 

530 hours

530 hrs x $65/hr = 

$34,450

$0

0 + 530hrs = 530hrs

$0 + $34,450 + $0 = 

$34,450

901 projects

3,939 hours

$218,250

54,530 hours

$3,544,450

$0

a

Project assumed to be under third-party contract with no technical support by EPA’s contractor.
23

Table 9. Permit Applicant Projects - Annual and 3-Year Estimated Costs and Hours Per Document 

Type for EPA

Respondent CE Projects EA/FONSI Projects EIS/ROD Projects Totals

Permitees -

Annual

No. Projects

Contractor 

Hours

Contractor 

Costs

EPA Hours

EPA Direct 

Labor Costs

O&M

Totals on OneTime Project 

Basis

None

None

None

None

None

None

(None)

11 projects/year

50% x 11 proj x 135 hr/proj = 

743 hours

50% x 11 proj x $10,000/proj = 

$55,000

11 proj x 120 hrs/pr= 1,320 hrs

1,320 hrs x $65/hr = $85,800

$0

135 hrs + 120 hrs = 255 hours

$10,000 + (120 hr x $65/hr) + $0 = 

$17,800

1 project/year

1 proj x 0 hr/proj = 0 hours

1 proj x $0/proj = $0

1 proj x 530hrs/proj = 530 hours

530 hrs x $65/hr = $34,450

$0

0 hrs + 530 hrs = 530 hours

$0 + $34,450 + $0 =

$34,450

12 projects

743 hours

$55,000

1,850 hours

$120,250

$0

PERMITEES -

3-Yr Total:

No. Projects

Contractor 

Hours

Contractor 

Costs

EPA Hours

EPA Direct 

Labor Costs

O&M

None

None

None

None

None

None

3 yrs x 11 proj/yr = 33 projects

3 yrs 743 hrs/yr = 2,229 hours

3 yrs x $55,000/yr = $165,000

3 yrs x 1320 hrs/yr = 3,960 hrs

3 yrs x $85,800/yr = $257,400

3 yrs x $0/yr = 0

3 yrs x 1 proj/yr = 3 proj

3 yrs x 0 hrs/yr = 0 hours

3 yrs x $0/yr = $0

3 yrs x 530 hrs/yr = 1,590 hrs

3 yrs x $34,450/yr = $103,350

3 yrs x $0/yr = $0

36 projects

2,229 hours

$165,000

5,550 hours

$360,750

$0

a

Project assumed to be under third-party contract with no technical support by EPA’s contractor.
24

Table 10. Annual and 3-Year Estimated Costs and Hours by Document Type for Direct Preparation of 

Documents by EPA for Applicant Projects

Respondent CE Projects EA/FONSI Projects EIS/ROD Projects Totals

Annually

No. Projects -

Grantees only

Contractor 

Hours

Contractor Costs

EPA Hours

EPA Direct 

Labor Costs

O&M

Totals on OneTime Project 

Basis

5 projects

0

$0

5 proj x 50 hrs/proj = 

250 hrs

250 hrs x $65/hr = 

$16,250

$0

0 + 50hrs = 50 hrs

$0 + (50hr x $65/hr) + 

$0 = $3,250

(None annually, one on a 3-

year basis)

(None annually, one on a 3-

year basis)

(None annually, one on a 3-

year basis)

(None annually, one on a 3-

year basis)

(None annually, one on a 3-

year basis)

(None annually, one on a 3-

year basis)

(None annually, one on a 3-year 

basis)

(None annually, one on a 3-year 

basis)

(None annually, one on a 3-year 

basis)

(None annually, one on a 3-year 

basis)

(None annually, one on a 3-year 

basis)

(None annually, one on a 3-year 

basis

5 projects

0

$0

250 hours

$16,250

$0

3-Yr Total

No. Projects

Grantees and 

Permitees

Contractor 

Hours

Contractor Costs

EPA Hours

EPA Direct 

Labor Costs

O&M

Totals on OneTime Project 

Basis

3 yrs x 5 proj = 

15 proj

3 yrs x 0 hrs/yr = 

0 hours

3 yrs x $0/yr = $0

3 yrs x 250 hrs/yr = 

750 hours

3 yrs x $16,250/yr = 

$48,750

3 yrs x $0/yr = $0

1 proj/3-yrs = 1 project

1 proj x 670 hours/proj = 

670 hours

1 proj x $62,000/proj = 

$62,000

1 proj x 120 hrs/yr = 

120 hours

120 hrs x $65/hr =

$7,800

$0

670hr + 120hr = 790 hrs

$62,000 + $7,800 + $0 = 

$69,800

1 proj/3-yrs = 1 project

1 proj x 670 hours/proj = 670 

hours

1 proj x $50,000/proj = $50,000 

(adopt/supplement)

1 proj x 530 hrs/proj = 

530 hrs

530 hours x $65/hr =

$34,450

$0

670hrs + 530hrs = 1,200 hrs

$50,000 + $34,450 + $0 = 

$84,450

17 projects

1,340

$112,000

1,400 hours

$91,000

$0

As discussed in Section 5, the information collected under this ICR is one-time only for EPA 

actions subject to NEPA that are based on applicant proposals. Grantees or permit applicants submit 

environmental information to EPA as part of the environmental review process unless the Responsible 

Official decides to prepare the NEPA documents without assistance from the applicant. Table 11 

summarizes the one-time total estimated EPA costs, including contractor hours and costs and EPA 

hours and direct labor costs for preparation of a CE, or an EA/FONSI, or an EIS/ROD. For this 

Supporting Statement, O&M is listed as a zero line item in the table for ease of comparison to the 

applicant tables; specific O&M expenses are not included as these are included in EPA’s overhead. 

Based on EPA’s experience,EPA anticipates that for grantees there will be approximately 300 projects 

with about 75% of the projects documented with a CE, and about 25% with an EA/FONSI. In 

addition, EPA estimates one project (less than one percent of the total annual grantee projects) will 
25

have an EIS/ROD completed during the 3-year life of this ICR. For permit applicants, EPA assumes 

there will be approximately 12 projects annually with about 11 of the projects documented with an 

EA/FONSI. In addition, EPA estimates one project will have an EIS/ROD completed annually. None 

will be documented initially with a CE.

Table 11. Summary of Estimated One-Time Total Costs and Hours for EPA

Respondent One-Time Total Costs and Hours

CE EA/FONSI EIS/ROD

Grant Applicant Projects

 Contractor Hrs/Cost

 Direct Hrs/Labor Cost

 O&M

Total

Hours Cost Hours Cost Hours Cost

 0 $ 0 70 $ 5,000 0 $ 0

40 2,600 120 7,800 530 34,450

 $ 0 $ 0 $ 0

40 $2,600 190 $12,800 530 $34,450

Permit Applicant Projects

 Contractor Hrs/Cost

 Direct Hrs/Labor Cost

 O&M

Total

Hours Cost Hours Cost Hours Cost

None None 135 $10,000 0 $ 0

None None 120 7,800 530 34,450

None None $ 0 $ 0

None None 255 $17,800 530 $34,450

Prepared Directly by EPA

 Contractor Hrs/Cost

 Direct Hrs/Labor Cost

 O&M

Total

Hours Cost Hours Cost Hours Cost

 0 $ 0 670 $62,000 670 $50,000

50 3,250 120 7,800 530 34,450

 $ 0 $ 0 $ 0

50 $3,250 790 $69,800 1,200 $84,450

The information collected under this ICR is one-time only for EPA actions subject to NEPA 

that are based on applicant proposals (see Section 5). For purposes of this ICR, Table 12 summarizes 

the total annual and 3-year estimated EPA costs, including contractor hours and costs and EPA hours 

and direct labor costs for the three-year period of this ICR. For this Supporting Statement, O&M is 

listed as a zero line item in the table for ease of comparison to the applicant tables; specific O&M 

expenses are not included as these are included in EPA’s overhead. Based on EPA’s experience, EPA 

anticipates there will be approximately 300 grantee projects annually with about 75% of these projects 

documented with a CE, and about 25% with an EA/FONSI. In addition, EPA estimates that one 

project (less than one percent of the total annual grantee projects) will have an EIS/ROD completed 

during the 3-year life of this ICR. For permit applicants, EPA assumes there will be approximately 12 

projects annually with about 11 of the projects documented with an EA/FONSI. In addition, EPA 

estimates one project will have an EIS/ROD completed annually. None will be documented initially 

with a CE.

Table 12. Summary of Total Annual and 3-Year Estimated Costs and Hours for EPA for ApplicantProposed Projects

Respondent Annual 3-Year

Grant Applicant Projects

 Contractor Hrs/Cost

 Direct Hrs/Labor Cost

 O&M

 Number of Projects

 Sub-Totals

 Hours Cost

 1,313 $ 93,750

 18,000 1,170,000

 $ 0

300

300 19,313 $1,263,750

 Hours Cost

 3,939 $ 218,250

 54,530 3,544,450

 $ 0

901

901 58,469 $3,762,700
26

Permit Applicant Projects

 Contractor Hrs/Cost

 Direct Hrs/Labor Cost

 O&M

 Number of Projects

 Sub-Totals

 Hours Cost

 743 $ 55,000

 1,850 120,250

 $ 0

 12

 12 2,593 $175,250

 Hours Cost

 2,229 $165,000

 5,550 360,750

 $ 0

 36

 36 7,779 $525,750

Prepared Directly by EPA

 Contractor Hrs/Cost

 Direct Hrs/Labor Cost

 O&M

 Number of Projects

 Sub-Totals

 Hours Cost

 0 $ 0

 250 16,250

 $ 0

 5

 5 250 $ 16,250

 Hours Cost

 1,340 $ 112,000

 1,400 91,000

 $ 0

 17

 17 2,740 $ 203,000

Totals 317 22,156 $1,455,250 954 68,988 $4,491,450

6(d) Estimated Respondent Universe and Total Burden and Costs:

As discussed in Sections 5, 6(a) and 6(b), the information collected under this ICR is one-time only for 

EPA actions subject to NEPA that are based on applicant proposals. Grantees or permit applicants 

must submit environmental information to EPA as part of the environmental review process unless the 

Responsible Official decides to prepare the NEPA documents without assistance from the applicant. If 

the applicant cannot afford to provide the required environmental information to EPA, then EPA 

would undertake the environmental review without input from the applicant (see footnote 11). Further, 

grantees may be grant-eligible for certain costs associated with providing environmental information to 

EPA (see footnote 12); permit applicants are not eligible for EPA financial assistance. Table 13 

summarizes the aggregate one-time total estimated applicant and EPA costs, including contractor hours 

and costs, direct labor hours and costs, and O&M for documentation to support a CE, or an 

EA/FONSI, or an EIS/ROD. For any specific project, only one of these levels of documentation is 

generally prepared. Based on experience, EPA anticipates that for grantees there will be 

approximately 300 projects with about 75% documented with a CE, and about 25% with an 

EA/FONSI. In addition, EPA estimates that one project (less than one percent of the total annual 

grantee projects) will have an EIS/ROD completed during the 3-year life of this ICR. For permit 

applicants, EPA assumes there will be approximately 12 projects annually with about 11 of the projects 

documented with an EA/FONSI. In addition, EPA estimates one project will have an EIS/ROD 

completed annually. None will be documented initially with a CE.

Table 13. Summary of Aggregate One-Time Estimated Costs and Hours for Applicants and EPA

One-Time Total Costs and Hours

CE EA/FONSI EIS/ROD

Hours Cost Hours Cost Hours Cost

Grant Applicants

Permit Applicants

EPA

 Grant Applicant Projects

 Permit Applicant Projects

 Prepared Directly by EPA

45 $3,343 260 $22,875 2,840 $400,360

 One per 3-years

None None 460 $66,655 2,840 $406,080

 One annually

40 $2,600 190 $12,800 530 $ 34,450

 One per 3-years

None None 255 $17,800 530 $ 34,450

 One annually

50 $3,250 790 $69,800 1,200 $ 84,450

Totals 135 $9,193 1,955 $189,930 7,940 $959,790

 “Third-Year” calculation represents

 maximum hours/costs in a year

6(e) Bottom Line Burden Hours and Costs Tables:

The information collected under this ICR is one-time only on a per-project basis for EPA 
27

actions subject to NEPA that are based on applicant proposals. Grantees or permit applicants submit 

environmental information to EPA as part of the environmental review process unless the Responsible 

Official decides to prepare the NEPA documents without assistance from the applicant. The NEPA 

review for a project may result in a CE, or an EA/FONSI, or an EIS/ROD. For any specific project, 

only one of these levels of documentation is generally prepared. Based on EPA’s experience, under 

the final rule, EPA anticipates there will be approximately 300 grantee projects annually with about 

75% of these projects documented with a CE, and about 25% with an EA/FONSI. In addition, EPA 

estimates that one project (less than one percent of the total annual grantee projects) will have an 

EIS/ROD completed during the 3-year life of this ICR. For permit applicants, EPA assumes there will 

be approximately 12 projects annually with about 11 of the projects documented with an EA/FONSI. 

In addition, EPA estimates one project will have an EIS/ROD completed annually. None will be 

documented initially with a CE. Table 14 summarizes the aggregate total annual and 3-year estimated 

applicant and EPA hours and costs, including contractor hours and costs, direct labor hours and costs, 

and O&M for documentation to support a CE, or an EA/FONSI, or an EIS/ROD.

Table 14. Summary of Aggregate Total Annual and 3-Year Estimated Costs and Hours for Applicants 

and EPA

Respondents and EPA Annual

Projects Hours

Cost

3-Year

Projects Hours

Costs

Respondents

 Grant Applicants

 Permit Applicants

Sub-Totals

300 29,625 $2,467,800

12 7,900 1,139,285

312 37,525 $3,607,085

901 91,715 $7,803,760

36 23,700 3,417,855

937 115,415 $11,221,615

EPA

 Grant Applicant Projects

 Permit Applicant Projects

 Prepared Directly by EPA

Sub-Totals

300 19,313 $1,263,750

12 2,593 175,250

 5 250 16,250

317 22,156 $1,455,250

901 58,469 $ 3,762,700

 36 7,779 525,750

 17 2,740 203,000

954 68,988 $ 4,491,450

Totals 629 59,682 $5,062,335 1,891 184,403 $15,713,065

6(f) Reasons for Change in Burden::

Currently 

Approved 

Hours

Requested 

Hours

Change Currently 

Approved 

Costsa

Requested 

Costs

Change

Grant 

ApplicantsCE

10,125 10,125 0 $3,825.00 $5,175 +$1,350

Grant 

ApplicantsEA

19,500 19,500 0 $3,000.00 $2,625.00 -$375

Grant 

ApplicantsEISb

947 947 0 $93.34 $66.67-$26.67

Permit 

ApplicantsEA

5,060 5,060 0 $440.00 $385.00 -$55

Permit 

ApplicantsEIS

2,840 2,840 0 $280.00 $200.00 -$80

Total 38,472 38,472 0 $7,638.34 $8,451.67 +$813.33

a

The costs only include O&M.

bApproximately 1 EIS is completed every three years; for this table, the cost and hour estimates have been 

annualized.
28

Under the current ICR, EPA estimated that approximately 75% of the annual 300 grant 

projects would be documented with a CE, and 25% with an EA. Under the renewal ICR, we expect

this trend will continue with the majority of grants being documented with a CE. Annually, the burden 

would approximately be only to O&M costs for CE documentation and have been adjusted in the 

renewal ICR for inflationary changes. However, the compiled information for a CE may be submitted 

to EPA electronically, saving respondents the O&M costs associated with the paperwork requirements 

for photocopying and mailing..

6(g) Burden Statement : EPA is collecting information from certain applicants as part 

of the process of complying with either NEPA or Executive Order 12114. EPA’s procedures further 

the purpose of NEPA and provide that EPA may be guided by these procedures to the extent they are 

applicable. Therefore, when EPA conducts an environmental assessment pursuant to its Executive 

Order 12114 procedures, the Agency generally follows its NEPA procedures. For this ICR, applicantproposed projects subject to either NEPA or Executive Order 12114 (and that are not addressed in 

other EPA programs’ ICRs), are addressed through the NEPA assessment process.

Those subject to 40 CFR Part 6 include EPA officials who must comply with NEPA and 

certain grant and permit applicants who must submit environmental information to EPA for their 

proposed projects. The EPA Responsible Official is responsible for the environmental review process, 

including any categorical exclusion determination or the scope, accuracy, and contents of an EA or EIS 

and any supporting documents. The applicant contributes by submitting environmental information to 

EPA as part of the environmental review process. The information collected from grant or permit 

applicants is one-time only on a per-project basis for EPA actions subject to NEPA that are based on 

applicant proposals. Grantees (primarily grants for special projects identified in EPA’s annual 

Appropriations Act) or permit applicants (for new source NPDES permits issued by EPA) are required 

to provide environmental information to EPA as part of the environmental review process unless the 

EPA Responsible Official decides to prepare the NEPA documents without assistance from the 

applicant. If the applicant cannot afford to provide the required environmental information to EPA, 

then EPA would undertake the environmental review without input from the applicant. Further, certain 

grantees may be grant-eligible for certain costs associated with providing environmental information to 

EPA; permit applicants are not eligible for EPA financial assistance.

The NEPA review for a project may result in a categorical exclusion (CE), or an EA 

documented with a FONSI, or an EIS documented with a record of decision (EIS/ROD). (EPA 

assumes a project may be documented with a CE only for grantee-proposed projects. EPA does not 

anticipate that an initial new source NPDES permit application would be documented with a CE.) For 

any specific project, only one of these levels of documentation is generally prepared. Applicants may 

submit an environmental information document (EID) to EPA as part of the environmental review

process. Alternately, an applicant may submit a draft EA or a draft EIS and supporting documents. 

Applicants may prepare and submit the information directly, or may enter a third-party contract 

agreement with EPA for preparation of an EA or EIS and supporting documentation. For purposes of 

determining the maximum costs to applicants for this ICR, EPA assumed that grant and permit 

applicants would expend time and contractor costs to submit: (1) information to support application of 

a CE with environmental information prepared directly by the applicant’s contractor; or (2) a draft EA 

and supporting documents prepared directly by the applicant’s contractor; or (3) a draft and final EIS 

and supporting documents prepared by the applicant’s contractor under a third-party contract 

agreement with EPA.

Based on experience, EPA anticipates there will be approximately 300 grantee projects 

annually with about 75% of these projects documented with a CE, and about 25% with an EA/FONSI. 

In addition, EPA estimates that one project (less than one percent of the total annual grantee projects) 

will have an EIS/ROD completed during the 3-year period of this ICR. For permit applicants, EPA 

assumes there will be approximately 12 projects annually with about 11 of the projects documented 

with an EA/FONSI. In addition, EPA estimates one project will have an EIS/ROD completed 
29

annually. None will be documented initially with a CE. EPA estimated the one-time costs for 

applicants to prepare the environmental documentation by including contractor hours and costs, direct 

labor hours and costs, and O&M for documentation submitted to EPA to support a CE determination, 

or an EA/FONSI, or an EIS/ROD. For a grantee, EPA estimates an applicant’s one-time costs for 

submitting environmental information will be: 45 hours and $3,343 for CE documentation, or 260 

hours and $21,875 for EA/FONSI documentation, or 2,840 hours and $400,360 for EIS/ROD 

documentation. For a permit applicant, EPA estimates an applicant’s one-time costs for submitting 

environmental information will be: 460 hours and $66,655 for EA/FONSI documentation, or 2,840 

hours and $406,080 for EIS/ROD documentation. These figures may vary depending on the 

complexity of issues associated with the project and the availability of relevant information, 

particularly for EISs. (For example, EPA’s experience with a limited number of EISs has included 

one-time costs ranging from nominal for information submitted by letter to supplement an existing oil 

and gas extraction EIS to over a million dollars for new EISs for a mining project and an oil and gas 

extraction project with multiple complex issues.) EPA believes the calculations for this ICR are 

representative of most projects.

Burden Statement: The total annual public reporting and recordkeeping burden for this 

collection of information is estimated at 38,472 hours and $3,607,085 for contractor hours and costs, 

direct labor hours and costs, and O&M costs. This burden reflects an annual one-time submission of 

documentation for an anticipated 312 applicant-proposed projects that may be documented with a CE, 

or an EA/FONSI, or an EIS/ROD. Under the ICR renewal, EPA assumes there will be approximately 

300 grantee projects annually with about 75% of these projects documented with a CE, and about 25% 

with an EA/FONSI. In addition, EPA estimates that one project will have an EIS/ROD completed 

during the 3-year period of this ICR. For permit applicants, EPA assumes there will be approximately 

12 projects annually with about 11 documented with an EA/FONSI. In addition, EPA estimates one 

project will have an EIS/ROD completed annually. None will be documented initially with a CE. 

Over the 3-year period of this ICR, EPA anticipates 937 applicant-proposed projects with a 3-year total 

burden estimate of 115,415 hours and $11,221,615. 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; research 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.

EPA has established a public docket for this ICR under Docket ID Number EPA-HQ-OECA2005-0062, which is available for online viewing at www.regulations.gov, or in person viewing at EPA 

Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Avenue NW, Washington, D.C.. 

The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through 

Friday, excluding legal holidays. The telephone number for the Reading Room is (202) 566-1744, and 

the telephone number for the Enforcement and Compliance Docket and Information Center is (202) 

566-1752. An electronic version of the public docket is available at www.regulations.gov. This site

can be used to view public comments, access the index listing of the contents of the public docket, and 

to access those documents in the public docket that are available electronically. When in the system, 

select “search,” then key in the Docket ID Number identified above. 
30

PART B OF THE SUPPORTING STATEMENT

STATISTICAL SURVEY

This collection of information does not use or is otherwise based on a statistical survey.
31

ATTACHMENT 1 TO THE SUPPORTING STATEMENT

Exemptions from NEPA for Certain EPA Actions and

EPA’s Voluntary NEPA Policy and Procedures

Exemptions from NEPA for Certain EPA Actions

Certain EPA actions are exempt from the procedural requirements of NEPA, including the 

CEQ Regulations. Congress has provided specific statutory exemptions for certain EPA actions taken 

under the Clean Water Act (CWA) and all EPA actions taken under the Clean Air Act (CAA). 

Specifically, under CWA Section 511(c)(1), EPA is exempt from preparing EISs for all actions taken 

under the CWA except for issuance of NPDES permits under CWA Section 402 for “new sources” as 

defined in Section 306, and for Federal financial assistance provided for assisting construction of 

publicly owned treatment works under CWA Section 201 (33 U.S.C. 1371(c)). Under the Energy 

Supply and Environmental Coordination Act of 1974 (15 U.S.C. 793(c)(1)), all actions taken under the 

CAA are deemed not to be major federal actions significantly affecting the environment.

Further, the courts have exempted certain EPA actions from the procedural requirements of 

NEPA through the functional equivalence doctrine. Under the functional equivalence doctrine, courts 

have found EPA to be exempt from the procedural requirements of NEPA for certain actions under the 

Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA); the Resource Conservation and 

Recovery Act (RCRA), the Toxic Substances Control Act (TSCA), the Safe Drinking Water Act 

(SDWA), and the Marine Protection, Research, and Sanctuaries Act (MPRSA). The courts reasoned 

that EPA actions under these statutes are functionally equivalent to the analysis required under NEPA 

because they are undertaken with full consideration of environmental impacts and opportunities for 

public involvement. See, e.g., EDF v. EPA, 489 F.2d 1247 (D.C. Cir. 1973) (FIFRA); State of 

Alabama v. EPA, 911 F. 2d 499 (11th Cir. 1990) (RCRA); Warren County v. North Carolina, 528 F. 

Supp. 276 (E.D. N.C. 1981) (TSCA); Western Nebraska Resources Council v. US EPA, 943 F.2d 867 

(8th Cir. 1991) (SDWA); Maryland v. Train, 415 F. Supp. 116 (D. Md. 1976) (MPRSA).

Agency actions exempt from the requirements of NEPA remain exempt under this final rule. 

If a question arises regarding the applicability of the NEPA requirements to certain actions, the 

Responsible Official should consult with the NEPA Official and the Office of General Counsel.

EPA's Voluntary NEPA Policy and Procedures

In 1974, EPA Administrator Russell Train determined that the Agency could voluntarily 

prepare EISs for certain regulatory activities that were exempt from NEPA. In 1998, Administrator 

Carol Browner amended this policy to permit the preparation of non-EIS NEPA documents for certain 

EPA regulatory actions. The Agency’s current "Notice of Policy and Procedures for Voluntary 

Preparation of National Environmental Policy Act (NEPA) Documents" (see 63 FR 58045) sets out the 

policy and procedures EPA uses when preparing environmental review documents under the Voluntary 

NEPA Policy. This final rule does not make any changes to the voluntary NEPA policy and 

procedures. However, the final rule can serve as a framework for the preparation of voluntary NEPA 

documents.
32

ATTACHMENT 2 TO THE SUPPORTING STATEMENT

List of Tables

Table 1-1. Summary of STAG Awards by Region for the 5-Year 

Period 2006 Through 2010

Table 1-2. Estimated Hours for Applicants and EPA for Preparation 

of NEPA Documentation

Table 1-1. Summary of STAG Awards by Region for the 5-Year Period 2006 Through 2010

Region

Year 1 2 3 4 5 6 7 8 9 10 HQ Total

2006 48 26 61 108 104 49 23 46 75 50 6 596

2007 44 6 35 84 58 20 15 9 29 10 1 311

2008 10 3 34 29 27 3 11 11 10 12 1 151

2009 30 16 36 61 37 8 10 17 18 12 2 247

2010 30 22 30 69 54 33 38 21 48 21 25 391

Table 1-2. Estimated Hours for Applicants and EPA for Preparation of NEPA Documentation

CE Documents Project EA/FONSI Documents Project EIS/ROD Documents Project

Applicants assume 5 hours 120 hrs for EPA/2 = 60 

hours

Same as EPA = 

530hour

s

EPA Applicant submits info: 40 

hours

Direct preparation: 50 

hours

Applicant submits info: 120 hours

Direct preparation: 170 hours

Applicant submits info:530 hours

Direct preparation:570 hours