1 **INFORMATION COLLECTION REQUEST SUPPORTING STATEMENT** 

**FOR State Review Framework** 

November 26 , 20 1 3

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

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

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

Part A 1. ID ENTIFICATION OF THE INFORMATION COLLECTION 1(a) Title of the Information Collection ICR: State Review Framework (EPA ICR Number 2185.0 5 ) OMB Control Number: 2020

- 0031 “State Review Framework” 1(b) Short Characterization/Abstract The State Review Framework (“Framework”) is an oversight tool designed to assess state performance in enforcement and compliance assurance. The Framework’s goal is to evaluate state performance b y examining existing data to provide a consistent level of oversight and develop a uniform mechanism by which EPA Regions, working collaboratively with their states, can ensure that state environmental agencies are consistently implementing the national compliance and enforcement program in order to meet agreed

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

- implemented programs) core enforcement and compliance assurance performance b y emplo ying existing data available in EPA’s existing national databases and presented in management reports for each state. No new data collection is required for the national databases. Data from national databases is complimented by data obtained through file reviews of a state environmental agency ’s compliance and enforcement files. No new data is required in th ese files; however, they are revi ewed to ensure proper and adequate documentation. The Framework process asks regions, states and local governments to examine the existing data described above in three core programs: Clean Air Act (“CAA”), Stationary Sources; Clean Water Act (“CWA”), N ational Pollutant Discharge Elimination System (“NPDES”); and Resource Conservation and Recovery Act (“RCRA”), Subtitle C . The Framewo rk process was updated and now looks at five (5 ) , rather than thirteen (13) elements. The five (5) elements are a combination of twelve of the former thirteen elements; the last optional thirteenth element was deleted. The EPA evaluates the se five (5 ) elements using data and file review metrics that require no new reporting burden. The utility of the Framework’s metrics and the Implementation Guide are a direct result of the collaboration between states, EPA Regions, and EPA Headquarters . These stakeholders provided extensive input and comments which helped to shape the Framework. OECA c ompleted evaluation s of pilo t and full implementation stages of the review process , which included input from the pilot states. The results of the se evaluation s have be en used to improve the Framework and further ensure that it is narrowl y crafted and onl y collect s information that satisfies the Agency ’s needs

.4

The current five (5) elements are 1) Data (completeness, accuracy , and timeliness of MDR entry into national data systems); 2) Inspections (coverage, report completeness and timeliness); 3) Violati ons (accuracy

of compliance and SNC/HPV determinations); 4) Enforcement (timeliness, appropriateness, return to compliance); and 5) Penalties (documentation of gravity , economic benefit, reduction in amount, and collection). In the interest of accuracy an d efficiency , the Framework also includes a five

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

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

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

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

- existing, the Agency is permitted to review the states’ Clean Air Act, Stationary Source program, the Solid Waste Disposal Act, Subtitle C program, and the Clean Water Act, National Pollutant Discharge Elimination System permit program to ensure minimum performance levels are met

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

- readable files to the extent practicable,” and 40 CFR 70.10(c)(1)(iii), which addresses EPA oversight of State and local agencies’ compliance and enforcement efforts for major sources under Title V op erating permit programs. (2) Solid Waste Disposal Act, Subtitle C program: The Act refers to activities at companies that generate hazardous waste. At §3007, the Agency is permitted to have access to and request records regarding hazardous waste generating activities. Additionally , 40 CFR 271.17(a) authorizes EPA, upon request without restriction, access to “[a]ny information obtained or used in the administration of a State program.”5

(3) Clean Water Act, NPDES program: The Act refers to activities involving the discharge of materials into waters of the United States. At §308, the Agency

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

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

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

/Users of the Data EPA will use the data obtained from the collection to determine if a state or Region meets minimum perform ance levels. Such a determination is necessary to recognize states that are performing well and to provide assistance to states that are not meeting minimum performance levels. 3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA 3(a) Nondup lication The information to be obtained under this ICR has not been collected by EPA or any other federal agency

. 3(b) Public Notice Required Prior to I CR Submission On September 10 , 2 013 , (78 FR 55252) EPA published a Federal Register Notice announcing its intent to request to renew an existing approved IC R for the State Review Framework to OMB

. EPA received no comments to the Federal Register Notice. 3(c) Consultations EPA consulted with several key state and media associations in the course of developing the State Review Framework. The leadership and membership of these organizations were instrumental in helping OECA develop the initial concept for the State Review Framework, in working to deve lop the main components and metrics , completing pilot projects and provi ding input into its evaluation. These associations are:

ECOS6

ASIWPCA ASTSWMO STAPPA/ALAPCO The main contacts with these organizations are: **Environmental Council of States (ECOS)** Caroly n Hanson Deputy Executive Director 50 F Street NW Suite 350 Washington, DC 20001 Phone: 202

- 266

- 4920 Fax: 202

- 266

- 4937

**Association of Clean Water Administrators**  **(A CWA** **)** Alexandra Dunn Executive Director and General Counsel 1221 Connecticut Avenue, NW, 2 nd Floor Washington, DC 20036 Phone:202

- 756

- 0600 Fax:202

- 756

- 0605 Sean Rolland Deputy Director Same contact information **Association of State and Territorial Solid Waste Management Officials (ASTSWMO)** Dania Rodrigu ez Deputy Executive Directo r ASTSWMO 444 North Capitol Street NW Suite 315 Washington, DC 20001 Phone: 202

- 624

- 5828 Fax. 202

- 624

- 7875 Kerry Callahan Senior Staff Association Same contact information7

**National Association of Clean Air Agencies (NACAA)** Mary Sullivan Douglas Staff Associate 444 North Capital St NW, Suite 307 Washington, DC 20001 202

- 624

- 7864 Eddie Terrill NACAA Co

- Chair, Enforcement & Compliance Committee 405

- 702

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

- Chair, Enforcement & Compliance Committee 360

- 586

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

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

- Confidentiality

of Business Information (see 40 CFR 2; 41 FR 369 02, September 1, 1976; amended b y 43 FR 40000, September 8, 1978; 43 FR 42251, September 20, 1978; 44 FR 17674, March 23, 1979). 3(g) Sensitive Questions The collection in this ICR does not contain any sensitive questions. 4. THE RESPONDENTS AND THE INFORMATION REQUESTED 4(a) Respondents and SIC Codes Respondents potentially

affected by

this action are 10 (ten) EPA Regional Offices, 50 (fifty) States, 4 (four) Territories, and 40 (forty) Lo cal Agencies . Based on our experience, we believe the true number of respondents for this ICR will primarily be 10 EPA Regional Offices, f ifty8

( 5 0) states , 4 (four) territories , and 15 (fifteen) local agencies . There are no SIC codes for the Respondents

. 4(b) In f

ormation Requested (i ) Data items, including recordkeeping requirements The State Review Framework requests information on the contribution of state enforcement activities to federally

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

. (ii) Respondent Activities Respondent will engage in the following activities during the Framework process: **1. Pre -**  **Review and Offsite Review** Review elements and metrics Train/brief state staff & managers on review substance and process. Collect files, policies, data sets, reports , and review and correct the national data. **2. Onsite Review** Participate in kick

- off meeting. Assist/facilitate EPA review of files and data sets Participate in discussion of program with EPA **3. Report Drafting** Review and comment on draft report **4. Coordination of Parts 1, 2 & 3** Coordination of review with the state agency Coordination of the review within EPA 5. THE INFORMATION COLLECTED: AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT 5(a) Agency

Activities Agency activities associated with the State Review Framework consist of the following: (1) Review elements and metrics (2) Train/brief state staff & managers on review substance and process9

(3) Collect file s, policies, data sets, reports , and review and correct the national data. (4) Participate in kick

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

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

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

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

- step protocol for managing the process one time every five ye ars: (1) pre

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

- up. Ten (10 ) states are scheduled to complete the review process each ye ar over the five ye ar term
. 6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION 6(a) Estimating Respondent Burden and Costs The estimated total hour burden for response is 521 hours per respondent. This burden hour estimate translates to a cost of $ 19,881.99 per entity that voluntarily

completes the survey re sulting in the total of $ 1, 073,627.46 over 5 ye ars . These figures reflect a decrease in the hourly burden and total cost estimate due to the implementation of program efficiencies as described in Part A above. There is no recurring respondent burden associated with this I CR. No capital or operations and maintenance costs are incurred b y respondents under this ICR. The labo r costs in the following table are based on the following mean hourly labor rates: Legal: $3 9.78 (State Government Lawyer , 23

- 1011 )10 Managerial: $3 9.54 ( State Managers , 11

- 00 00 ) Technical: $3 8.55 ( Computer and Mathematical Occupations, 15

- 0000 ) Clerical: $1 6.54 ( Office and Administrative Support , 43

- 0000 ) These rates are from the United States Department of Labor’s, Bureau of Labor Statistics, “ May 2012 National Occupational Employ ment and W age Estimates, ” http://www.bls.gov/oes/2012 /may /naics4_999200.htm http://www.bls.gov/oes/current/oes150000.htm http://www.bls.gov/OES/current/oes430000.htm Table 1. Respondents’ Burden and Costs

**Information Collecti on**  **Activity L**  **egal $**  **39.78 /**  **hour M**  **an.**

**$3 9.54**  **/ hour**  **T ech.** 

**$3 8.55**  **/ hour**  **C ler** **ical**

**$1 6.54**  **/ hour**  **Cap./**

**Start****** **up cost Oper.** 

**and Maint.**  **(O&M cost)**  **1. Pre**  **- Review**  **and Offsite**  **Review** Revie w data metrics 6.5 47.83 72.58 0 $0.0 $0.0 Train/brief state staff & managers on review substance and process. 2 17.08 23.17 0 $0.0 $0.0 Collect files, policies, data sets, reports etc. 1.67 2 3.33 4 4.25 19.83 $0.0 $0.0 **2. Onsite Review** Participate in kick

- of

f meeting. 2.8 3 2 5.33 7.33 0 $0.0 $0.0 Assist/facilitate EPA review of files and data sets .67 3 4.75 43.92 0 $0.0 $0.0 Participate in discussion of program with EPA 2 2 0.33 18 0 $0.0 $0.0 **3. Report Drafting** Revie w and comment on draft report 1. 5 37.67 25.33 0 $0.0 $0.0
**4. Coordination of Parts 1, 2 & 3**  Coordination of review with the state agency 0 15.85 1 0.33 0 $0.0 $0.0
Coordination of the review within EPA 0 6.31 8.17 0 $0.0 $0.011

**Information Collecti on**  **Activity L**  **egal $**  **39.78 /**  **hour M**  **an.**

**$3 9.54**  **/ hour**  **T ech.** 

**$3 8.55**  **/ hour**  **C ler** **ical**

**$1 6.54**  **/ hour**  **Cap./**

**Start****** **up cost Oper.** 

**and Maint.**  **(O&M cost)**  TO TAL HOURS/Respondent 1 7 .17 ($3 9.78 ) 230.50

($3 9.54 ) 253.10

($38.55 ) 19.83

($1 6.54 ) LABOR COST/Respondent $683.02 $ 9,113.97 $ 9,757.01 $ 327.99 No. of Respondents: 54 Total hours: 521 /Respondent x 54 Respondents =28,134 hours over 5 years or 5,626.80 hours annually Total Cost: $ 19,881.99 /Respondent x 54 respondents = $1, 073,627.46 over 5 years or $214,725.48 annually 6(b) Estimating Agency Burden EPA introduced program efficiencies to improve program effectiveness. As a result, hourly burden rates were reduced from the previous ICR estimate. EPA Regions I through X will participate in the State Review Framework process and the following table details the hour and cost burden per region. These rates are from the Office of Personnel Management ( OPM) “ 20 13 General Schedule” which excludes locality rates of pay . Rates h ave frozen s ince 2010 so the costs in this section have not changed. The cost for the Regional table (Table 2) is based on the average hourly l abor rate as follows: Legal $4 5

. 99 (GS

- 14, Step 5)

Managerial $3 8

. 92 (GS

- 13, Step 5) Technical $2 8

. 88 (GS

- 12, Step 1) Clerical $1 5

. 63 (GS

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

- 14, Step 5)

Managerial $48.3 5 (GS

- 13, Step 5) Technical $35.88 (GS

- 12, S tep 1) Clerical $19.41 (GS

- 6, Step 3) These rates are from the Office of Personnel Management (OPM) “2013 General Schedule” and includes the locality pay ment for the Washington D.C. area. Table 2. Agency

Burden and Cost (per Region)12

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

**$3 8.92**  **/ hour**  **T ech.** 

**$28.88 /hour**  **C ler.** 

**$15.63 /**  **hour Capit**  **al/ Start** **** **up cost**  **Oper. and**  **Maint. (O&M**  **cost) 1. Pre**  **- Review and**  **Offsite Review** Revie w data metrics 0 4. 69 2 6.44 0 0 0 Train/brief state staff & managers on review substance and process. 0 8.25 15. 19 0 0 0 Collect files, policies, data sets, reports etc. 0 3 1 4. 44 0 0 0 **2. Onsite Review** Participate in kick

- of

f meeting.

. 56 2.25 6.75 0 0 0 Assist/facilitate on - site review of f iles and data sets 0 22 .13 95. 63 0 0 0 Participate in discussion of program with state 0 2.25 9.5 0 0 0 **3. Report Drafting** Revie w and comment on draft report 0 16 .13 60.75 0 0 0 **4. Coordination of Parts 1, 2 & 3**
Coordination of

revie w with the state agency 0 2. 17 8.25 0 0 0 Coordination of the review within EPA 0 1.75 12.75 0 0 0 Total Agency hours 0. 56 6 2.60 249.70 0 0.0 0.0 Total Agency costs $ 25.75 $ 2,436.40 $ 7211.34 $0 0 .0 0. 0 TO TAL REGIONAL AGENCY HOURS: **3 13**  (x 10 Regions = **3, 100**  ) TO TAL REGIONAL AGENCY COST: **$ 9,673.49**  x 10 Regions = $ **96,734.90** ) Table 3. Agency

Burden and Cost (Headquarters )

**Information Collection Activity**  **Legal $5**  **7.13 /**  **hour Man.** 

**$48.35 /**  **hour Tech.** 

**$35.88 /hour**  **Cler.**

**$19.41 /**  **hour Capital/** 

**Start -**  **up cost**  **Oper.**

**and Maint.**  **(O&M cost)** 13

**Information Collection Activity**  **Legal $5**  **7.13 /**  **hour Man.** 

**$48.35 /**  **hour Tech.** 

**$35.88 /hour**  **Cler.**

**$19.41 /**  **hour Capital/** 

**Start -**  **up cost**  **Oper.**

**and Maint.**  **(O&M cost)**  **1. Pre -**  **Review and Offsite Review** Train/brief state and region staff & managers on review substance and process. 0 2.25 2.25 0 0 0 Collect files, policies, data sets, reports etc. 0 0 1.5 3.75 0 0 **2. Onsite Review** Participate in kick

- of

f meeting. .75 .75 .75 0 0 0 Participate in discussion of the program with the Regions 3.75 3.75 7.5 0 0 0 **3. Report Drafting** Revie w and comment on draft report 3.75 3.75 1 1.25 0 0 0 **4. Coordination of Parts 1, 2 & 3** Coordination of the revie w within EPA 0 1.5 1.5 0 0 0 TO TAL 8.25 1 2 24.75 3.75 0 0 TO TAL COST $ 471.32 $ 580.20 $ 888.03 $ 72.79 0 .0 0. 0 TO TALS Hours: 48.75 Labor Cost: $ 2,012.34 6(c) Bottom Line Burden Hours and Cost Tables Table 4 . Total Estimated Respondent Burden and Cost Summary (over 5 years)

No. of Respondents No. of

Activities Total hours Total Labor Costs Total

Capital and Start

- up costs Total

Annual O&M costs Respondent 54 9 28,134 $1, 073,627.46 $0.0 $0.0 Table 5 . Total Estimated Agency Burden and Cost Summary14 No.of Activities Total hours Total Labor Costs Total Capital and Start

- up costs Total

Annual O&M costs Regions 9 3,100 (for all ten regions) $ 96,734.90 (for all ten regions) $0.0 $0.0 Headquarters 6 48.75 $ 2 ,012.34 $0.0 $0.0 6(d) Reasons for Changes in Burden There has been a reduction in the hours in the total estimated respondent burden compared with that identified in the ICR currentl y approved by O MB due to the implemented program efficiencies

. There has also been a decrease in the cost in the total estimated respondent burden due to the reduction in hourly burden due to implemented program efficiencies a s described in Part A of the document. 6(e) Burden Statement The average annual respondent burden for each state is 521 hours . This estimate includes time for (1) reviewing and correcting the national data and the metrics; (2) training and briefing state staff & managers on review substance and process; (3) collecting files, policies, data sets, reports etc.; (4) participating in kick

- off meeting s ; (5) assisting/facilitating EPA review of files and data sets; (6) p articipating in discussion of program with EPA; (7) reviewing and commenting on draft report; (8) coordinating of review with the state agency; and (9) coordinating of the review within EPA. There is no record keeping burden for this collection as the Stat e Review Framework does not include record keeping requirements. Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency . This includes the time needed to review 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; ad just the existing ways to compl y with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or oth erwise disclose the information. An agency

may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a valid OMB Control Number. The OMB Control Numbers for EPA’s regulations are listed at 40 CFR part 9 and 48 CFR chapter 15. To comment on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including the use of automated collection techniques, EPA has established a public docket for t his ICR under Docket ID Number EPA

- OECA

- 2013

- 0291 , which is available for public viewing at the15

Enforcement and Compliance Docket and Information Center in the EPA Docket Center (EPA/DC), EPA WJC West, Room 3334 , 1301 Constitution Avenue, N.W ., Washington, D.C. The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday , excluding legal holidays. The telephone number for the Reading Room is (202) 566

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

- 1752

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

- OECA

- 2013

- 0291 in any

correspondence. **Part B of the Supporting Statement** This part is not applicable because no statistical methods were used in collecting this information.