i

THE INFORMATION COLLECTION REQUEST (ICR)

SUPPORTING STATEMENT

Establishing No-discharge Zones (NDZs)

under Clean Water Act §312 (Renewal)

EPA ICR Number 1791.07, OMB Control Number 2040-0187

Prepared by

Environmental Protection Agency

Oceans and Coastal Protection Division

Washington, D.C.

Published December 2015

Prepared by Oceans and Coastal Protection Division of the Office of Wetlands, Oceans, 

and Watersheds
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TABLE OF CONTENTS

Part A Introduction .................................................................................................................1

Organization of Information Collection Request Statement ................................................... 2

Approach Taken in this Information Collection Request Statement....................................... 2

CHAPTER I

Chapter I: Supporting Statement for the Establishment of No-discharge Zones for 

Discharges Incidental to the Normal Operation of Armed Forces Vessels under CWA 

Section 312(n)...................................................................................................................... 4

SECTION 1: Identification of the Information Collection ...................................................... 4

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

1(b): Short Characterization/Abstract ................................................................................. 4

SECTION 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............................................................................. 6

SECTION 3: Non-duplication, Public Notice, Consultations, and Other Collection Criteria . 7

3(a): Non-duplication .......................................................................................................... 7

3(b): Public Notice Required Prior to ICR Submission to OMB ......................................... 7

3(c): Consultations ............................................................................................................ 8

3(d): Effects of Less Frequent Collection ........................................................................... 8

3(e): General Guidelines .................................................................................................... 8

3(f): Confidentiality.............................................................................................................. 8

3(g): Sensitive Questions.................................................................................................... 9

SECTION 4: The Respondents and the Information Requested ......................................... 6
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4(a): Respondents/SIC Codes........................................................................................... 9

4(b): Information Requested ............................................................................................... 9

SECTION 5: The Information Collected–Agency Activities, Collection Methodology, and 

Information Management...................................................................................................... 11

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

5(b): Collection Methodology and Management.................................................................13

5(c): Small Entity Flexibility ...............................................................................................14

5(d): Collection Schedule ..................................................................................................14

SECTION 6: Estimating the Burden and Costs of the Collection.......................................15

6(a): Estimating Respondent Burden.................................................................................15

6(b): Estimating Respondent Costs ...................................................................................16

6(c): Estimating Agency (EPA) Burden and Cost .............................................................17

6(d): Bottom Line Burden Hours and Cost Tables ............................................................19

6(e): Burden Statement .....................................................................................................19

CHAPTER II

Chapter II: Supporting Statement for the Establishment of No-discharge Zones for Vessel 

Sewage under CWA Section 312(f)(3) and 312(f)(4)(A) and (B) ....................................21

SECTION 1: Identification of the Information Collection .....................................................21

1(a): Title of the Information Collection..............................................................................21

1(b): Short Characterization/Abstract ................................................................................21

SECTION 2: Need for and Use of the Collection .............................................................22

2(a): Need/Authority for the Collection ............................................................................22

2(b): Practical Utility/Users of the Data...........................................................................24
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SECTION 3: Non-duplication, Public Notice, Consultations, and Other Collection Criteria25

3(a): Non-duplication ........................................................................................................26

3(b): Public Notice Required Prior to ICR Submission to OMB .......................................27

3(c): Consultations (Not applicable) .................................................................................27

3(d): Effects of Less Frequent Collection .........................................................................28

3(e): General Guidelines ..................................................................................................28

3(f): Confidentiality............................................................................................................28

3(g): Sensitive Questions..................................................................................................28

SECTION 4: The Respondents and the Information Requested .......................................28

4(a): Respondents/SIC Codes.........................................................................................28

4(b): Information Requested .............................................................................................29

SECTION 5: The Information Collected–Agency Activities, Collection Methodology, and 

Information Management.....................................................................................................32

5(a): Agency Activities......................................................................................................32

5(b): Collection Methodology and Management................................................................34

5(c): Small Entity Flexibility ..............................................................................................34

5(d): Collection Schedule .................................................................................................34

SECTION 6: Estimating the Burden and Costs of the Collection......................................35

6(a): Estimating Respondent Burden................................................................................35

6(b): Estimating Respondent Costs ..................................................................................37

6(c): Estimating Agency (EPA) Burden and Cost ............................................................40

6(d): Bottom Line Burden Hours and Cost Tables ...........................................................43

6(e): Burden Statement ....................................................................................................43
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APPENDIX

TABLES—Attached excel file

Table 1: Establishment of No-discharge Zone by State Prohibition, Respondent (State 

Agency) Burden Hours and Costs [40 CFR § 1700.9]

Table 2: Establishment of No-discharge Zone by EPA Prohibition, Respondent (State 

Agency) Burden Hours and Costs [40 CFR § 1700.10]

Table 3: Petition for Review, Respondent (State Agency) Burden Hours and Costs [40 

CFR § 1700.12]

Table 4: Establishment of No-discharge Zone by State Prohibition, Agency (EPA) Burden 

Hours and Costs [40 CFR § 1700.9]

Table 5: Establishment of No-discharge Zone by EPA Prohibition, Agency (EPA) Burden 

Hours and Costs [40 CFR § 1700.10]

Table 6: Petition for Review, Agency (EPA) Burden Hours and Costs [40 CFR §

1700.12]

Table 7: Total Estimated Respondent (State Agency) Burden and Cost Summary

Table 8: Total Estimated Agency (EPA) Burden and Cost Summary

Table 9: State No-discharge Zone Applications under 40 CFR 140.4(a)

Table 10: No-discharge Zone Application Review by EPA under 40 CFR 140.4(a)
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Table 11: State No-discharge Zone Applications under 40 CFR 140.4(b)

Table 12: No-discharge Zone Application Review by EPA under 40 CFR 140.4(b)

Table 13: State No-discharge Zone Applications under 40 CFR 140.4(c)

Table 14: No-discharge Zone Application Review by EPA under 40 CFR 140.4(c)

Table 15: Total Estimated Respondent (State Agency) Burden and Cost Summary for 

Establishing NDZs for Vessel Sewage

Table 16: Total Estimated Agency (EPA) Burden and Cost Summary for Establishing 

NDZs for Vessel Sewage

ATTACHMENTS

Attachment A: Summary Table for Information Collection under CWA Section 312
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ESTABLISHING NO-DISCHARGE ZONES (NDZs) UNDER CLEAN WATER ACT 

SECTION 312 (Renewal)

ICR # 1791.07

OMB Control # 2040-0187 

PART A

Introduction

This document responds to the requirements of the Paperwork Reduction Act. The 

purposes of the Paperwork Reduction Act of 1980 (P. L. 96-511) and implementing 

regulations (44 U.S.C. Chapter 35) are to: 1) minimize the Federal paperwork burden for 

small businesses, state and local governments, and other individuals; 2) minimize the 

Federal government's cost of collecting, maintaining, using, and disseminating information; 

and 3) maximize the usefulness of information collected by Federal agencies. 

This application is made by the Oceans and Coastal Protection Division in the Office of 

Water, U.S. Environmental Protection Agency (EPA). As will be demonstrated in this 

application, the proposed information collection activities are accomplished by the least

burdensome and costly means; are not duplicated by other sources; and are pivotal to 

EPA's responsibilities in the establishment of no-discharge zones (NDZs) for treated or 

untreated vessel sewage discharges and for discharges incidental to the normal operation 

of vessels of the Armed Forces under Clean Water Act (CWA) section 312.
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Organization of Information Collection Request Statement

This document follows the format for Information Collection Requests (ICR) outlined in the 

Information Collection Review Handbook (Office of Management and Budget, 1989) and 

the Instructions for Standard Form 83 (revised version dated September 1983). No 

exceptions to this format are taken. Those topics identified in the Information Collection 

Review Handbook, which are not relevant to this application, are noted and the basis for 

this determination stated. 

Approach Taken in this Information Collection Request

This ICR analysis addresses activity associated with two activities, described separately in 

Chapters 1 and 2. Chapter 1 discusses information collection needs that result from NDZs 

that prohibit the discharges (other than sewage) incidental to the normal operation of 

vessels of the Armed Forces. Chapter 2 discusses information collection needs that result 

from NDZs that prohibit sewage discharges from vessels.

Some of the information collection and record keeping requirements under this program are 

"borderline" relative to the requirements to prepare and submit an ICR as defined in the 

Information Collection Review Handbook. However, a conservative approach (i.e., 

overstate potential burden and costs) has been taken throughout this analysis, and all 

information collection and record keeping requirements associated with establishing NDZs 

have been described, regardless of the magnitude of the burden. 

This ICR was developed based on program office knowledge of the process, a review of 

selected NDZ applications similar to those being called for under this ICR, a review of 
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EPA's guidance on establishing NDZs under §312 of the Clean Water Act, a review of the 

literature on vessel discharge, and interviews with Federal and local officials working on 

vessel discharge issues.
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Chapter I. Supporting Statement for the Establishment of Nodischarge Zones for Discharges Incidental to the Normal Operation of a 

vessel of the Armed Forces under CWA Section 312(n) (Renewal).

SECTION 1: Identification of the Information Collection

1(a): Title of the Information Collection

Establishing No-Discharge Zones Under Clean Water Act §312 (Renewal)

1(b): Short Characterization/Abstract

Section 312(n) of the Clean Water Act (“Uniform National Discharge Standards for Vessels 

of the Armed Forces” or “UNDS”) calls for the promulgation of standards and regulations 

for the control of discharges (other than sewage) incidental to the normal operation of 

vessels of the Armed Forces. Once such regulations have been promulgated, states and 

their political subdivisions will be pre-empted from adopting or enforcing any of their own 

statutes or regulations regarding these discharges. However, no-discharge zones 

(“NDZs”) may be established by either state prohibition or EPA prohibition following the 

procedures published in 40 CFR Part 1700. The purpose of this chapter of the ICR is to 

discuss the information that will be required from a state if it decides to establish an NDZ 

by state prohibition or apply for an NDZ by EPA prohibition, for discharges (other than 

sewage) incidental to the normal operation of Armed Forces vessels.
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UNDS also provides that the Governor of any state may petition EPA and the Secretary of 

Defense to review any determination or standard promulgated under UNDS if there is 

significant new information that could reasonably result in a change to the determination or 

standard. This chapter of the ICR also discusses the information that will be required from 

a state if it decides to submit such a petition.

SECTION 2: Need for and Use of the Collection

2(a): Need/Authority for the Collection1) NDZ by State Prohibition: In order for a state 

to prohibit a discharge incidental to the normal operation of vessels of the Armed Forces , 

EPA must make the following determinations: I) that adequate facilities for the safe and 

sanitary removal of the discharge are reasonably available for the waters to which the 

prohibition would apply; and ii) that the prohibition will not have the effect of discriminating 

against a vessel of the Armed Forces by reason of the ownership or operation by the 

Federal Government, or the military function, of the vessel (see CWA section 

312(n)(7)(A), 33 USC 1322(n)(7)(A)). The state must provide EPA enough information 

to be able to make those determinations. The specific information being requested is 

listed in 40 CFR 1700.9(a). 

2) NDZ by EPA Prohibition: In order for EPA to prohibit a discharge incidental to the 

normal operation of an Armed Forces vessel (upon application of a state), EPA must 

make the following determinations: I) that the protection and enhancement of the quality of 

the specified waters require a prohibition of the discharge; ii) that adequate facilities for 

the safe and sanitary removal of the discharge are reasonably available for the waters to 
6

which the prohibition would apply; and iii) that the prohibition will not have the effect of 

discriminating against a vessel of the Armed Forces by reason of the ownership or 

operation by the Federal Government, or the military function, of the vessel (see CWA 

section 312(n)(7)(B), 33 USC 1322(n)(7)(B)). The state must provide EPA enough 

information to be able to make those determinations. The specific information being 

requested is listed in proposed 40 CFR 1700.10(a).

3) Petition for review: A state may request that EPA and the Secretary of Defense 

review i) a determination of whether an UNDS discharge will require a control, or ii) a 

standard of performance for a control on an UNDS discharge, by submitting a petition 

which discusses significant new scientific and technical information that could reasonably 

result in a change to the determination or standard (see CWA section 312(n)(5)(D), 33 

USC 1322(n)(5)(D)). The state must provide EPA this information and a discussion of 

how the information is relevant to one or more of the seven factors which EPA and the 

Secretary of Defense are required to consider in making these determinations and 

standards (see CWA section 312(n)(2)(B), 33 USC 1322(n)(2)(B)). These 

requirements are listed in proposed 40 CFR 1700.12 (see Attachment B).

2(b): Practical Utility/Users of the Data

1) NDZ by State Prohibition: The information requested from the state will be used by 

EPA to make the determinations it is required to make by law in order for a state 

prohibition to go into effect.

2) NDZ by EPA Prohibition: The information requested from the state will be used by 
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EPA to make the determinations it is required to make by law in order to establish an 

NDZ.

3) Petition for review: The information requested from the state will be used by EPA and 

the Secretary of Defense in order to review any determinations and standards promulgated 

under UNDS. 

SECTION 3: Non-duplication, Public Notice, Consultations, and Other Collection Criteria

3(a): Non-duplication

1) NDZ by State Prohibition: EPA is responsible for two determinations necessary for an 

NDZ by state prohibition to be effective under CWA section 312(n)(7)(A). There is no 

duplication of effort in the NDZ application process.

2) NDZ by EPA Prohibition: EPA is responsible for the approval of an NDZ by EPA 

prohibition under CWA section 312(n)(7)(B). There is no duplication of effort in the NDZ 

application process.

3) Petition for review: EPA and the Secretary of Defense are responsible for reviewing 

determinations and standards upon petition by a state. There is no duplication of effort in 

the petition for review process.

3(b): Public Notice Required Prior to ICR Submission to OMB

The announcement of this ICR was made in the Federal Register on 08/19/2015, 80 FR

50276 under EPA-HQ-OW-2008-0150. It was titled “Agency Information Collection 
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Activities; Proposed Collection; Comment Request; Establishing No-Discharge Zones Under 

Clean Water Act Section 312 (Renewal); EPA ICR No. 1791.07; OMB Control No. 2040-

0187.” EPA received no comments on this notice.

3(c): Consultations 

Three representatives of state environmental offices were contacted by EPA in December

of 2015 and asked to provide comments on EPA’s burden estimate (see section 6(e)): 

Todd Callaghan (Massachusetts Office of Coastal Zone Management, 617-626-1233);

Renan Jauregui (California State Water Resources Control Board - Division of Water 

Quality, 916-341-5505); and Jeff Myers (Director of the New York Bureau of Water 

Assessment and Management 518- 402-8179). The three respondents had no comment 

on 312(n) NDZs.

 

3(d): Effects of Less Frequent Collection

The information collection requirements related to the NDZ application process described in 

this chapter of the ICR are submitted on a one-time basis. Reductions below this level 

are not feasible.

3(e): General Guidelines

The information collection activities discussed in this chapter of the ICR are fully consistent 

with all guidelines in 5 CFR 1320.5(d)(2).

3(f): Confidentiality

The information collection activities discussed in this chapter of the ICR do not require the 
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submission of any confidential information.

3(g): Sensitive Questions

The information collection activities discussed in this chapter of the ICR do not require the 

submission of any sensitive information.

SECTION 4: The Respondents and the Information Requested

4(a): Respondents/SIC Codes

State governments (SIC code 9511, NAICS code 924110) are the only respondents to the 

data collection activities described in this chapter of the ICR.

4(b): Information Requested

No-discharge Zone (NDZ) by State Prohibition under Section 1700.9

(I) Data Items

• Identification of discharge

• Definition of waters in the proposed NDZ

• Determination of necessity for greater environmental protection

• Description of discharge removal facilities

• Information on regulation of this discharge from non-Armed Forces vessels

(ii) Respondent Activities

For the establishment of an NDZ by State Prohibition, a state must: 

• Submit to EPA a certification that it has determined that the protection and 
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enhancement of the quality of the proposed waters require greater environmental 

protection, and 

• Submit to EPA a request with enough information for EPA to determine that: (1) 

adequate facilities for the safe and sanitary removal of the discharge are 

reasonably available for the waters to which the prohibition would apply; and (2) 

the prohibition will not have the effect of discriminating against vessels of the 

Armed Forces by reason of the ownership or operation by the Federal 

Government, or the military function, of the vessel.

No-discharge Zone (NDZ) by EPA Prohibition under Section 1700.10

(I) Data Items

• Identification of discharge

• Definition of waters in proposed NDZ

• Technical analysis showing why protection requires a prohibition of the discharge

• Description of discharge removal facilities

• Information on regulation of this discharge from non-Armed Forces vessels

(ii) Respondent Activities

For the establishment of an NDZ by EPA Prohibition, a state must:

• Submit an application to EPA with enough information for EPA to determine that: 

(1) the protection and enhancement of the quality of the proposed waters require 

a prohibition of the discharge; 

(2) adequate facilities for the safe and sanitary removal of the discharge are 

reasonably available for the waters to which the prohibition would apply; and 
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(3) the prohibition will not have the effect of discriminating against 

vessels of the Armed Forces by reason of the ownership or operation by the 

Federal Government, or the military function, of the vessel.

Petition for Review under Sections 1700.11 - 1700.13

(I) Data Items

• Identification of discharge or standard

• Scientific and technical information on which petition is based

• An explanation of why the state believes that consideration of the information 

provided should result in a change to the determination or standard on a 

nationwide basis, and an explanation of how the technical information provided is 

relevant to one or more of the seven factors considered in making the original 

determination or standard as required by the statute (CWA 312(n)(2)(B))

(ii) Respondent Activities

If a state believes there is significant new information that could reasonably result in a 

change to a determination of whether a particular discharge will require a marine pollution 

control device, or to a Federal standard of performance for a Marine Pollution Control 

Device, it may submit a petition requesting that the Secretary of Defense and EPA review 

the determination or standard.

SECTION 5: The Information Collected -- Agency Activities, Collection Methodology and 

Information Management
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5(a): Agency Activities

No-discharge Zone (NDZ) by State Prohibition under Section 1700.9

Agency activities associated with a request by a state to establish an NDZ by state 

Prohibition consist of the following:

• Clarify any questions from state applicants

• Review the information in the request and determine whether: 

(1) adequate facilities for the safe and sanitary removal of the discharge are 

reasonably available for the waters to which the prohibition would apply; and 

(2) the prohibition will not have the effect of discriminating against vessels of 

the Armed Forces by reason of the ownership or operation by the Federal 

Government, or the military function, of the vessel

• Notify the state in writing of the above determinations

• Copy, store, file and maintain the state’s request and EPA’s response letter

No-discharge Zone (NDZ) by EPA Prohibition under Section 1700.10

Agency activities associated with an application from a state to establish an NDZ by EPA 

Prohibition consist of the following:

• Clarify any questions from state applicants

• Review the information in the application and determine whether:

(1) the protection and enhancement of the quality of the proposed waters require 

a prohibition of the discharge; 

(2) adequate facilities for the safe and sanitary removal of the discharge are 

reasonably available for the waters to which the prohibition would apply; and 

(3) the prohibition will have the effect of discriminating against Armed Forces 
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vessels by reason of the ownership or operation by the Federal Government, 

or the military function, of the vessel.

• Notify the state in writing whether the application for the NDZ was approved

• If the application is approved, publish notice of proposed rulemaking in the 

Federal Register, receive and review public comments, then issue a final 

determination taking into account any comments submitted

• Copy, store, file and maintain the state’s request and EPA’s response letter

Petition for Review under Sections 1700.11 - 1700.13

Agency activities (in conjunction with the Secretary of Defense) associated with an 

application from a state to review a determination or standard consist of the following:

• Clarify any questions from state applicants

• Review petition and decide whether the requested change will be made within 

two years after receiving the complete petition

• If the change requested in the petition is approved, publish notice of proposed 

rulemaking in the Federal Register, receive and review public comments, then 

issue a final determination taking into account any comments submitted

• If the change requested in the petition is not approved, notify the state of the 

reasons in writing

• Copy, store, file and maintain the state’s request and EPA’s response letter

5(b): Collection Methodology and Management

The information described in this chapter of the ICR will be given to EPA by states in the 

form of a request letter, application, or petition. EPA will ensure the accuracy and 
14

completeness of this information by reviewing each submittal. This information will be 

made available to the public when necessary for rulemaking through the Federal Register.

5(c): Small Entity Flexibility

The only possible respondents to the activities described in this chapter of the ICR are 

states. Therefore, there are no small entities affected.

5(d): Collection Schedule:

No-discharge Zone (NDZ) by State Prohibition under Section 1700.9

EPA expects very few requests for NDZs by state prohibition because the discharges from 

vessels of the Armed Forces which will be regulated by this rulemaking are not currently 

regulated by most states. This is not a reporting requirement, nor are there any deadlines 

associated with these requests. If a state determines that it would like to establish an

NDZ by state prohibition, it is required by statute to secure two determinations by EPA, 

and this chapter of the ICR specifies the information EPA requires in order to make those 

determinations. EPA is estimating 1 request in the 3 years covered in this ICR.

No-discharge Zone (NDZ) by EPA Prohibition under Section 1700.10

EPA expects very few applications for NDZs by EPA prohibition because the discharges 

from vessels of the Armed Forces which will be regulated by this rulemaking are not 

currently regulated by most states and because this process is more complex than 

establishing an NDZ by state prohibition. This is not a reporting requirement, nor are 

there any deadlines associated with these requests. If a state determines that it would like 

EPA to establish an NDZ by EPA prohibition, EPA is required by statute to make three 
15

determinations before doing so, and this chapter of the ICR specifies the information EPA 

requires in order to make those determinations. EPA is estimating one application in the 3 

years covered by this ICR.

Petition for Review under Sections 1700.11 - 1700.13

EPA expects few petitions for review of determinations of whether a discharge incidental to 

the normal operation of an Armed Forces vessel requires control, or of standards of 

performance for Marine Pollution Control Devices. Such petitions may only be used by a 

state if there is significant new information, not considered previously, that could 

reasonably result in a change to a particular determination or standard. This is not a 

reporting requirement, nor are there any deadlines associated with these petitions. This 

chapter of the ICR specifies the information EPA requires in order to consider such a 

petition. EPA is estimating one petition per year.

SECTION 6: Estimating the Burden and Cost of the Collection

Burden and cost estimates are in Tables 1 to 8, in the Appendix. The text in this section 

explains how these estimates were derived.

6(a): Estimating Respondent Burden

Respondent labor burden hours listed in Tables 1 to 3 are primarily based on data and 

assumptions presented in EPA’s 2005 ICR analysis for Clean Water Act section 312 

mandates. Where necessary, the level-of-effort determinations in the 2008 ICR were 

adjusted to correspond to the specific new information collection requirements resulting 

from the requirements of §§ 1700.9, 1700.10, and 1700.12. All of the level-of-effort 
16

estimates presented in Tables 1 to 3 have been reviewed for accuracy and reasonableness 

by EPA.

6(b): Estimating Respondent Costs

(I) Estimating Labor Costs

All labor cost-rate data used in Tables 1 to 3 were obtained from the U.S. Bureau of 

Labor Statistics (BLS) Compensation Cost Trends webpage published for June of 2015

(http://www.bls.gov/ncs/ect/ ) estimating the salaries for state and local 

government employees.

Table 4 of the BLS report (http://www.bls.gov/news.release/ecec.t04.htm June, 2015) 

contains employee compensation data for state and local government employers. The 

labor rates for respondent management, technical, and clerical personnel in Tables 1 to 3 

of the ICR were obtained from the “State and local government workers Occupational 

group” category.

BLS Report (Table 4) State and Local 

Government Workers Job Classification 

Titles

ICR Respondent 

Job 

Classification 

Titles Used in 

ICR Tables 1-3

Corresponding 

Labor 

Compensation 

(hourly rate) 

from BLS 

Report

Management, professional, and related Management $ 53.49 

Professional and related Technical $ 52.51 

Office and administrative support Administrative $ 30.78 

The above labor rate data are “fully burdened” and include wages/salaries and benefits. 
17

The BLS report provides a breakdown of benefit costs, which includes paid leave, 

supplemental pay, insurance, retirement, and legally required benefit. Only fully burdened 

BLS labor cost data (i.e., total compensation) are used in the analysis described in this 

chapter of the ICR.

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

There are no predicted respondent capital or start-up costs associated with the activities 

described in this chapter of the ICR.

Non labor O&M includes only costs for photocopying, postage, telephone charges, and 

similar expenses. Item 1b of ICR Tables 1 to 3, Clarify Questions with EPA, is assumed 

to be exclusively telephone and facsimile machine expenses. Other O&M expenses listed 

in Tables 1 to 3 (i.e., under Items 3, 5, and 6) are predominantly photocopy, postage, 

and related paperwork distribution expenses.

6(c): Estimating Agency (EPA) Burden and Cost

EPA labor burden hours listed in Tables 4 to 6 are primarily based on data and 

assumptions presented in EPA’s 2008 ICR analysis for Clean Water Act section 312 

mandates [specifically, information collection effort under for CWA sections 312(f)(3), 

(f)(4)(A) and (f)(4)(B)]. Where necessary, the level-of-effort determinations in the 2008 

ICR were adjusted to correspond to the specific new information collection requirements 

resulting from the requirements of §§1700.9, 1700.10, and 1700.12. All of the level-ofeffort estimations presented in Tables 4 to 6 have been reviewed for accuracy and 

reasonableness by EPA.
18

Agency labor costs data associated with this chapter of the ICR were obtained using pay 

scale rates for GS-9, GS-12, and GS-14 employees. The 2015General Schedule Locality 

Pay Tables can be found at https://www.opm.gov/policy-data-oversight/payleave/salaries-wages/salary-tables/15Tables/html/DCB.aspx . The salary scales 

contained in the table were effective January 2015.

Step 1 of the GS salaries was used in this chapter of the ICR analysis. The annual GS 

salary rates were converted to hourly rates according to instructions in Section 6(c) of the 

EPA ICR Handbook (12/96 version). Total salaries were divided by 2,080, which 

represent the average number of hours work in a calendar year, and then multiplied by a 

factor of 1.6. The multiplier represents the benefits multiplication factor. The result is the 

true hourly cost to the federal government to employ a federal worker for one hour. These 

calculated hourly rates are used in Tables 4 to 6 of the ICR.

ICR Agency Job Classification Title Used in 

ICR Tables 4-6

2015 Annual GS 

Salary (Step 1)

Work 

Hours Per 

Year Factor

Benefits 

Factor

Calculated 

Hourly Rate 

Used in Tables 

4-6

Management

GS-14, 

$107,325 ÷ 2,080 × 1.6

$ 

82.56 

Technical GS-12, $76,378 ÷ 2,080 × 1.6

$ 

58.75 

Administrative GS-9, $52,668 ÷ 2,080 × 1.6

$ 

40.51 
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6(d): Bottom Line Burden Hours and Cost Tables

Total estimated burdens associated with the requirements under §§ 1700.9, §1700.10, and 

§1700.12 to the State Agency respondents and to EPA are summarized in Tables 7 and 

8, respectively. The data contained in both of these tables are transcribed from Tables 1 

to 6. 

Bottom line Respondent (State Agency) Estimated Burden and Cost Summary for 312(n) (from 

table 7)

Number of 

Respondents 

Per Year

Number of 

Activities

Per Year

Total 

Hours Per 

Year

Total Labor 

Cost Per 

Year ($)

Total Cost 

Per Year ($)

Total Annual 

O&M Costs ($)

TOTAL 0.99 0.99 138.5 $6,874.94 $7023.44 $148.50

Bottom line EPA Estimated Burden and Cost Summary for 312(n) (from table 8)

Number of 

Respondents 

Per Year

Number of 

Activities

Per Year

Total 

Hours Per 

Year

Total Labor 

Cost Per 

Year ($)

Total Cost 

Per Year ($)

Total Annual 

O&M Costs ($)

TOTAL 0.99 0.99 30.855 $1,879.89 $1,939.29 $59.40

6(e): Burden Statement

The annual public reporting and recordkeeping burden for this collection of information is 

estimated to average 138 hours per response (138 hours/1.) (From Table 7, rounded 

off.) The combined annual public reporting and recordkeeping burden for this entire 

Information Collection Request is estimated to average 155 hours per response (1083/7).

(From Table 17, rounded off.) 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, 
20

acquire, install, and utilize technology and systems for the purposes of collecting, 

validating, and verifying information, processing and maintaining information, and disclosing 

and providing information; adjust the existing ways to comply with any previously applicable 

instructions and requirements; train personnel to be able to respond to a collection of 

information; search data sources; complete and review the collection of information; and 

transmit or otherwise disclose the information. An agency may not conduct or sponsor, 

and a person is not required to respond to, a collection of information unless it displays a 

currently valid OMB control number. The OMB control numbers for EPA's regulations are 

listed in 40 CFR part 9 and 48 CFR chapter 15. 

To comment on the Agency's need for this information, the accuracy of the provided 

burden estimates, and any suggested methods for minimizing respondent burden, including 

the use of automated collection techniques, EPA has established a public docket for this 

ICR under Docket ID No. EPA-HQ-OW-2008-0150,, which is available for online viewing 

at www.regulations.gov, or in person viewing at the Water Docket in the EPA Docket 

Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., NW, Washington, DC. 

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

Monday through Friday, excluding legal holidays. The telephone number for the Reading 

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

2426. An electronic version of the public docket is available at www.regulations.gov. This 

site can be used to submit or view public comments, access the index listing of the 

contents of the public docket, and to access those documents in the public docket that are 

available electronically. When in the system, select “search,” then key in the Docket ID 

Number identified above. Also, you can send comments to the Office of Information and 
21

Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, 

D.C. 20503, Attention: Desk Officer for EPA. Please include the EPA Docket ID EPAHQ-OW-2008-0150, and OMB control number 2040-0187 in any correspondence. 

Chapter II. Supporting Statement for the Establishment of No-discharge 

Zones for Vessel Sewage under CWA Sections 312(f)(3) and 312(f)(4)(A) 

and 312(f)(4)(B)

SECTION 1: Identification of the Information Collection

1(a): Title of the Information Collection

Establishing No-Discharge Zones Under Clean Water Act §312 (Renewal)

1(b): Short Characterization/Abstract

EPA requires the collection of information by states interested in designating state waters 

under the Clean Water Act §312(f) as areas prohibiting the discharge of treated or 

untreated sewage from vessels. The CWA mandates under §312 (f)(3) and (f)(4)(A) 

and (f)(4)(B), that EPA review state requests for prohibiting the discharge of vessel 

sewage into waters identified by the state. Under §312(f)(3), EPA makes a determination 

based on the state application whether there are adequate, safe, and reasonably available 

pump-out facilities for such waters to which such a prohibition would apply. Under 

§312(f)(4)(A), a state can petition EPA to designate, by regulation, its waters as an NDZ 

for vessel sewage if the protection of the waters require a complete prohibition of the 

discharge of vessel sewage. Finally, under §312(f)(4)(B), upon application by a state, 

EPA may, by regulation, establish a drinking water intake zone in any waters within that 

state and prohibit the discharge of sewage from vessels within that zone. For EPA to 

make the approvals and designations related to establishing No-discharge Zones (NDZs), 
22

states are required under the regulations to provide information relevant to this decisionmaking process thus triggering the requirement for EPA to have an ICR in compliance with 

the Paperwork Reduction Act. 

SECTION 2: Need for and Use of the Collection

This section describes the statutory and regulatory authorities associated with this 

information collection. It also summarizes the use of the information designating NDZs.

2(a): Need/Authority for the Collection

The need for EPA to obtain information to establish NDZs stems from statutory authority 

and subsequent regulations. The establishment of NDZs provide state and local 

governments with a tool to protect waters from treated or untreated vessel sewage 

discharges, which is one of many types of water pollution. A summary of the statutory 

authority and subsequent regulations, follows. A copy of the relevant sections of the 

statute is included in Attachment C and the relevant sections of the implementing 

regulations are included in Attachment D.

1) Statutory Authority: Section 312(f) (33 U.S.C. 1322) of the Clean Water Act (CWA) 

provides states with the opportunity to apply to EPA for a complete prohibition of vessel 

sewage (treated and untreated) in all or some of a state's waters. The area designated 

as no discharge, if approved by EPA, is called an NDZ. EPA has delegated its authority 

to establish NDZs under §§312(f)(3), (f)(4)(A), and (f)(4)(B) to EPA Regional 

Administrators (Administrator). There are three parts of CWA §312 that are related to the 

establishment of NDZs. They are:

§312(f)(3). After the effective date of the initial standards and regulations 

promulgated under this section, if any State determines that the protection 

and enhancement of the quality of some or all of the waters within such

States require greater environmental protection, such State may completely 

prohibit the discharge from all vessels of any sewage, whether treated or 
23

not, into such waters, except that no such prohibition shall apply until the 

Administrator determines that adequate facilities for the safe and sanitary 

removal and treatment of sewage from all vessels are reasonably available 

for such water to which such prohibition would apply. Upon application of 

the State, the Administrator shall make such determination within 90 days of 

the date of such application.

§312(f)(4)(A). If the Administrator determines upon application by a State 

that the protection and enhancement of the quality of specified waters within 

such State require such a prohibition, the Administrator shall by regulation 

completely prohibit the discharge from a vessel of any sewage (whether 

treated or not) into such waters.

§312(f)(4)(B). Upon application by a State, the Administrator shall, by 

regulation, establish a drinking water intake zone in any waters within such 

State and prohibit the discharge of sewage from vessels within that zone.

Most states which have designated and gained approval of NDZs have done so under 

§312(f)(3). This method requires the state to demonstrate a need for the discharge 

prohibition and the existence of adequate sanitary waste reception facilities (i.e., pump-out 

facilities). The relevant regulations promulgated under CWA §312 are described in the 

following section.

2) Regulatory Authority: CWA §312(b) authorizes the EPA to develop regulations on the 

standard of performance for marine sanitation devices (MSDs) (see 40 CFR Part 140.3). 

The standard only applies to vessels equipped with installed toilets. In most cases, the 

statute and regulations require the use of marine sanitation device meeting specified 
24

effluent levels. 

As provided for in CWA §312, the EPA regulations also provide states with the opportunity 

to apply for a no-discharge zone, or a complete prohibition of vessel sewage (treated and 

untreated) in all or some of a state's waters. The regulations are found at 40 CFR 140.4.

Under 40 CFR 140.4(a), the Administrator must reviews state applications for prohibiting 

the discharge of vessel sewage into waters identified by the state and determines from the 

state application whether there are adequate, safe and reasonably available pump-out 

facilities for such waters to which such a prohibition would apply [§312(f)(3)].

Under 40 CFR 140.4(b), states may make a written application to EPA to designate an 

NDZ by regulation where protection and enhancement of the specified waters is desired

[§312(f)(4)(A)]. 

Under 40 CFR 140.4(c), states may make written application to EPA to designate an NDZ 

in waters which are used for drinking purposes [§312(f)(4)(B)]. 

2(b): Practical Utility/Users of the Data

The state environmental agency uses the information collected under this chapter of the 

ICR to prepare the application to be submitted to the EPA Regional Administrator. An 

NDZ application is submitted by a state environmental agency to the EPA Regional 

Administrator. Depending on the type of NDZ sought by the state, EPA uses the 

information to assist the state NDZ designation. EPA Headquarters and EPA Regional 
25

Offices use the information collected under this ICR to carry out their responsibilities under 

the CWA with respect to reviewing applications for proposed NDZs and granting approval 

of qualifying NDZs. 

(1) NDZ Designation under 312(f)(3) and 40 CFR 140(a): The information requested 

from the state will be used by EPA to make the determination of the availability of pumpout facilities in the area supporting a state’s potential NDZ for vessel sewage designation.

(2) NDZ Designation under 312(f)(4)(A) and 40 CFR 140(b): The information requested 

by EPA from the state will be used by EPA to designate the particular waters as an NDZ 

for vessel sewage. This type of designation is sought when the state believes and EPA 

concludes that the waters require additional protection.

(3) NDZ Designation under 312(f)(4)(B) and 40 CFR 140(c): The information requested 

by EPA from the state will be used by EPA to designate the particular waters as an NDZ 

for vessel sewage because the waters will be used for drinking purposes.

SECTION 3: Non-duplication, Public Notice, Consultations, and Other Collection Criteria

This section describes EPA’s efforts to ensure that the information collected for the 

establishment of NDZs is not duplicative, appropriate consultations have occurred, the 

public has had an opportunity to comment on the proposed requirements, and other 

collection criteria.
26

3(a): Non-duplication

No similar information is currently available in the form required for EPA to make a 

decision on designating waters as NDZs. Each application for an NDZ by definition needs 

to be site-specific. 

NDZ Designation under 40 CFR 140.4(a)

If a state applies for an NDZ under 40 CFR 140.4(a), EPA is responsible for determining 

if there are adequate pump-out facilities. Upon a favorable determination by EPA, the 

state can designate its waters as an NDZ. There is no duplication of effort in the NDZ 

application process.

NDZ Designation under 40 CFR 140.4(b)

If a state applies to EPA for the designation of its waters as an NDZ under 40 CFR 

140.4(b) because protection and enhancement of the waters is desired, EPA can 

designate the waters as an NDZ by regulation. There is no duplication of effort in the 

NDZ application process.

3) NDZ Designation under 40 CFR 140.4(c)

If a state applies to EPA for the designation of its waters as an NDZ under 40 CFR 

140.4(c) because of the waters use as a drinking water intake zone, EPA can designate 

the waters as an NDZ by regulation. 

There is no duplication of effort in the NDZ application process. The application can be 

prepared using existing sources of data. EPA has developed a guidance document to 
27

help states prepare their NDZ for vessel sewage applications, and it includes suggestions 

on where to find the information required. The document is titled “Protecting Coastal 

Waters from Vessel and Marina Discharges: A Guide for State and Local Officials” (EPA 

842-B-94-004). Only when secondary sources of information have been exhausted will 

primary data collection be required.

3(b): Public Notice Required Prior to ICR Submission to OMB

The announcement of this ICR was made in the Federal Register on 08/19/2015, 80 FR

50276 under EPA-HQ-OW-2008-0150. It was titled “Agency Information Collection 

Activities; Proposed Collection; Comment Request; Establishing No-Discharge Zones Under 

Clean Water Act Section 312 (Renewal); EPA ICR No. 1791.07; OMB Control No. 2040-

0187.” EPA received no comments on this notice.

3(c): Consultations

Three representatives of state environmental offices were contacted by EPA in December

of 2015 and asked to provide comments on EPA’s burden estimate (see section 6(e)): 

Todd Callaghan (Massachusetts Office of Coastal Zone Management, 617-626-1233); 

Renan Jauregui (California State Water Resources Control Board - Division of Water 

Quality, 916-341-5505); and Jeff Myers (Director of the New York Bureau of Water 

Assessment and Management 518- 402-8179). Two commenters felt the estimates were 

reasonable. The other felt the estimates were too low and provided specific markups to 

the estimates. EPA made changes in this assessment to reflect these comments. 
28

3(d): Effects of Less Frequent Collection

The information collection requirements related to the NDZ application process are 

submitted on a one-time basis. Reductions below this level are not feasible.

3(e): General Guidelines

The information collection activities discussed in this chapter of the ICR are fully consistent 

with all guidelines in 5 CFR 1320.5(d)(2).

3(f): Confidentiality

The information collection activities discussed in this chapter of the ICR do not require the 

submission of any confidential information.

3(g): Sensitive Questions

The information collection activities discussed in this chapter of the ICR do not require the 

submission of any sensitive information.

SECTION 4: The Respondents and the Information Requested

This section provides a description of the information collection requirements affiliated with 

the NDZ for vessel sewage application process. Although the three types of NDZ 

applications under 40 CFR 140.4 (a-c) have different information collection requirements, 

the application development and submittal process is similar. 

4(a): Respondents/SIC Codes

Under Section 312(f)(3) and (f)(4)(A) and (B) of the CWA, states have the authority to 
29

designate an NDZ for vessel sewage with EPA’s concurrence or have EPA designate 

portions of their waters as an NDZ for vessel sewage. State Governments (SIC 9511, 

NAICS code 924110) are the only respondents to the data collection activities described in 

this chapter of the ICR.

4(b): Information Requested

NDZ Designation under 40 CFR 140.4(a)

(I) Data Items

There are seven application and information requirements listed in 40 CFR §140.4(a). 

The information required includes:

1. A certification that the protection and enhancement of the waters described 

in the petition require greater environmental protection than the applicable 

Federal standard;

2. A map showing the location of commercial and recreational pump-out 

facilities;

3. A description of the location of pump-out facilities within waters 

designated for no discharge;

4. The general schedule of operating hours of the pump-out facilities;

5. The draft requirements on vessels that may be excluded because of 

insufficient water depth adjacent to the facility;

6. Information indicating that treatment of wastes from such pump-out 

facilities is in conformance with Federal law; and

7. Information on vessel population and vessel usage of the subject 

waters.

Respondent Activities

1. An NDZ application under 40 CFR 140.4(a) is prepared by the state 
30

environmental agency.

2. The state environmental agency, in turn, submits the application to the EPA 

Regional office. EPA makes the determination of available pump-out

facilities.

3. Upon a finding of adequate or inadequate pump-out facilities availability, 

EPA issues a Notice of Determination stating such.

4. A state then may designate the particular waters as an NDZ depending on 

EPA’s finding.

NDZ Designation under 40 CFR 140.4 (b)

If a state applies to EPA for the designation of its waters as an NDZ under 40 CFR 

140.4(b) because the protection or enhancement of the specified waters is desired, EPA 

can designate the waters as an NDZ by regulation.

(I) Data Items

The regulations at 40 CFR 140.4(b) require the following information to be submitted for 

the establishment of an NDZ for waters of particular environmental importance:

1. Specification of the waters or portions thereof for which a complete 

prohibition is desired;

2. Identification of water recreational areas, and/or;

3. Identification of aquatic sanctuaries, and/or;

4. Identification of identifiable fish-spawning and nursery areas, and/or;

5. Identification of areas of intensive boating activities; and

6. A map of the waters to be designated as an NDZ.
31

(ii) Respondent Activities

1. An application submitted under 40 CFR 140.4(b) is prepared by the state 

environmental agency. 

2. The state environmental agency, in turn, submits the application to EPA for 

designation of an NDZ.

3. The application development process includes five types of information 

collection activities.

4. EPA, after evaluation of the application, can designate by regulation an NDZ 

for the particular waters.

5. EPA can modify the size of the NDZ at its discretion.

NDZ Designation under 40 CFR 140.4(c)

If a state applies to EPA for the designation of its waters as an NDZ under 40 CFR 

140.4(c) because of the waters use as a drinking water intake zone, EPA can designate 

the waters as an NDZ by regulation.

(I) Data Items

According to 40 CFR 140.4(c), to establish an NDZ under these provisions, the following 

information is required in the application:

1. Specification and description of the location of the drinking water supply 

intake(s) and the community served by the intakes;

2. Specification and description of the waters for which a complete prohibition is 

desired;
32

3. A map of the waters to be designated as a drinking water intake zone; and

4. A statement justifying the size of the requested drinking water intake zone.

(ii) Respondent Activities

1. An application submitted under 40 CFR 140.4(c) is prepared by the state 

environmental agency.

2. The state environmental agency, in turn, submits the application to the EPA 

Regional office for approval of an NDZ designation.

3. The application development process includes four types of information 

collection activities.

4. EPA, after evaluation of the application, can designate by regulation an NDZ 

for the particular waters. 

5. EPA can modify the size of the NDZ at its own discretion.

SECTION 5: The Information Collected–Agency Activities, Collection Methodology, and 

Information Management

This section describes Agency activities involved in implementing the process for the NDZ 

for vessel sewage designations.

5(a): Agency Activities

NDZ Designation under 40 CFR 140.4(a)

Agency activities associated with a request by a state to establish an NDZ for vessel 

sewage under 40 CFR 140.4(a) consists of the following:

1. Clarify any questions from state applicants;

2. Review the information in the request and determine whether: adequate 
33

facilities for the safe and sanitary removal of the discharges are reasonably 

available for the waters to which the prohibition would apply;

3. Notify the state in writing of the above determinations; and

4. Copy, store, file, and maintain the state’s request and EPA’s response letter.

NDZ Designation under 40 CFR 140.4 (b)

Agency activities associated with a request by a state to establish an NDZ for vessel 

sewage under 40 CFR 140.4 (b) consists of the following:

1. Clarify any questions from state applicants;

2. Review the information in the request and determine whether: the water for 

which the prohibition would apply are of environmental importance;

3. Notify the state in writing of the above determinations;

4. If the Administrator makes a finding that the waters listed in the application 

require prohibition, publish notice of such findings together with a notice of 

proposed rulemaking;

5. Copy, store, file, and maintain the state’s request and EPA’s response letter.

NDZ Designation under 40 CFR 140.4(c) 

Agency activities associated with a request by a state to establish an NDZ for vessel 

sewage under 40 CFR 140.4(c) consist of the following:

1. Clarify any questions from state applicants;

2. Review the information in the request and determine whether: the water for 

which the prohibition would apply are suitable for drinking purposes;

3. Notify the state in writing of the above determinations;

4. If the Administrator makes a finding that the waters listed in the application 
34

require prohibition, publish notice of such findings together with a notice of 

proposed rulemaking;

5. Copy, store, file, and maintain the state’s request and EPA’s response letter.

5(b): Collection Methodology and Management

The information collection associated with this chapter of the ICR will be given to EPA by 

states in the form of a request letter and/or application. EPA will ensure the accuracy 

and completeness of this information by reviewing each submittal. This information will be 

made available to the public for rulemaking through the Federal Register.

5(c): Small Entity Flexibility

The only respondents to the activities described in this chapter of the ICR are states. 

Therefore, there are no small entities affected.

5(d): Collection Schedule

NDZ Designation under 40 CFR 140.4(a)

There are eighty-five NDZs designated under this provision. NDZ designations under this 

provision have been established significantly more frequently than under the other two 

provisions. EPA has to determine if there are adequate pump-out facilities available. The 

designation does not require any additional information collection other than the one-time 

application. 

NDZ Designation under 40 CFR 140.4(b)

There are three NDZs designated under this provision. A state applies for the NDZ and 

EPA determines if such an NDZ is warranted based on the environmental importance of 

the waters. Upon a favorable determination, EPA establishes the NDZ by regulation. The 

designation does not require any additional information collection other than the one-time 
35

application. 

NDZ Designation under 40 CFR 140.4(c)

There is one NDZ designated under this provision. A state applies for the NDZ and EPA 

determines if the waters are for drinking purposes and the size of the NDZ. Upon a 

favorable determination, EPA establishes the NDZ by regulation. NDZs established under 

this provision (like those established under the other provisions) do not require any 

additional information collection other than the one-time application.

SECTION 6: Estimating the Burden and Cost of the Collection

Burden and Costs associated with the information collection activities described in this 

chapter are in Tables 9-16 of the Appendix. The text below explains how the burden and 

costs estimates were derived.

6(a): Estimating Respondent burden 

Respondent labor burden hours listed in Tables 9, 11, and 13 were based on EPA’s 

experience in assisting states in establishing NDZs for vessel sewage in their waters. 

These burden hours were also derived using information collection activities gathered for 

previous ICRs that have similar information collection activities. The level-of-effort 

estimates presented for these tables were reviewed by EPA’s staff and managers, all of 

whom have experience in assessing information collection work similar to that described in 

this chapter of the ICR. 
36

Burden hours by task for each of the three application types were estimated based on the 

amount of time needed to complete the "model" application in the guidance document, 

and estimates of the time needed to complete the previously submitted applications 

reviewed as part of the development of the ICR. Each application is assumed to be 

reviewed twice by the state government and by EPA. In other words, EPA is assumed to 

request additional information or to deny the application, thus triggering a second round of 

review. This is a conservative estimate and likely overstates the associated costs.

Listed below are some of the major activities associated with the designation of NDZ for 

vessel sewage described in this chapter of the ICR for which burden hours have been 

categorized:

· The application preparation process includes the following type of personnel by 

stage of the process

1. Read regulation and review guidance document: management and technical

2. Information gathering: technical

3. Preparing application: management, technical, and clerical

· The application review process includes management and technical personnel.

· Information storage involves clerical time for state personnel.

NDZ Designation under 40 CFR 140.4(a)

Applications are submitted to EPA by states. Based on EPA forecasts, five applications 

per year were assumed. The average application was assumed to be about 15 pages in 

length. This is based on the average number of pages in previously submitted 

applications and assumes some optional information is provided in the application.
37

NDZ Designation under 40 CFR 140.4(b)

Applications are submitted to EPA by states. Based on past experience, EPA estimates 

that one application will be received every three years. The average application was 

assumed to be about 50 pages in length. This is based on the number of pages in a 

previously submitted application which provides the information required for this type of 

NDZ application.

NDZ Designation under 40 CFR 140.4(c)

Applications are also submitted to EPA by states. EPA estimates that there will be one 

application each year. The application was assumed to be about 15 pages in length. 

This is based on the type of information requested and examples of this information 

included in previously submitted NDZ applications.

6(b): Estimating Respondent Costs

(I) Estimating Labor Costs

All labor cost-rate data used in Tables 9, 11, and 13 were obtained from the U.S. Bureau 

of Labor Statistics (BLS) Compensation Cost Trends homepage 

(http://www.bls.gov/ncs/ect/). The BLS homepage has a variety of links to publications 

and reports related to labor costs by category. The BLS report used in this ICR was titled 

Employer Costs for Employee Compensation, available on-line at: 

http://www.bls.gov/news.release/ecec.htm

Table 4 of the BLS report (http://www.bls.gov/news.release/ecec.t04.htm June 2015) 
38

contains employee compensation data for state and local government employers. The 

labor rates for respondent management, technical, and clerical personnel in Tables 9, 11, 

and 13 of the ICR were obtained from the “State and local government workers, by 

occupational group” category.
39

BLS Report (Table 4) State and Local 

Government Workers Job Classification 

Titles

ICR Respondent 

Job 

Classification 

Titles Used in 

ICR Tables 1-3

Corresponding 

Labor 

Compensation 

(hourly rate) 

from BLS 

Report

Management, professional, and related Management $ 53.49 

Professional and related Technical $ 52.51 

Office and administrative support Administrative $ 30.78 

The above labor rate data are “fully burdened” and include wages/salaries and benefits. 

The BLS report provides a breakdown of benefit costs, which includes paid leave, 

supplemental pay, insurance, retirement, and legally required benefits. Only fully burdened 

BLS labor cost data (i.e., total compensation) are used in the analysis described in this 

chapter of the ICR.

The unit costs were multiplied by the appropriate units of activity (e.g., burden hours) to 

estimate costs per application for states seeking an NDZ for vessel sewage. Annualized 

costs were based on the number of applications expected per year. 

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

There are no predicted respondent capital or start-up costs associated with the activities 

described in this chapter of the ICR.

Non labor O&M includes only costs for photocopying, postage, telephone charges, and 

similar expenses. Item 1b of ICR Tables 9, 11, and 13, Clarify Questions with EPA, is 
40

assumed to be exclusively telephone and facsimile machine expenses. Other O&M 

expenses listed in Tables 9, 11, and 13 are predominantly photocopy, postage, and related 

paperwork distribution expenses.

6(c): Estimating Agency (EPA) Burden and Cost

Agency Burden

EPA labor burden hours listed in Tables 10, 12, and 14 are primarily based on EPA’s 

experience in dealing with states in establishing NDZs for vessel sewage. Also data from 

the 2003 ICR addressing NDZs for vessel sewage were evaluated. Where necessary, the 

level-of-effort determinations and cost estimates in the 2003 ICR were adjusted to 

correspond to the new cost information. All of the level-of-effort estimations presented in 

Tables 10, 12 and 14 have been reviewed for accuracy and reasonableness by EPA staff 

and managers, all of whom have had considerable project-management experience doing 

information-collection work similar to that required by 40 CFR 140.4 (a-c).

Listed below are some of the major activities associated with the designation of NDZ for 

vessel sewage described in this chapter of the ICR for which burden hours have been 

categorized:

· Questions from the applicant's technical personnel are answered by EPA technical 

personnel.

· The application review process includes management and technical personnel.

· The Federal Register Notice process includes the following type of personnel:

management, technical, and clerical.

· Information storage involves clerical time
41

The estimation of EPA’s burden hours depends on the type of NDZ for vessel sewage that 

the state is seeking.

NDZ Designation under 40 CFR 140.4(a)

EPA reviews application by states focusing on the availability of pump-out facilities. Based 

on EPA forecasts, five applications per year were assumed. The average application was 

assumed to be about 15 pages in length. EPA discloses its determination in the Federal 

Register by Notice of Determination.

NDZ Designation under 40 CFR 140.4(b)

EPA reviews application from states focusing on the preservation of environmentally 

important habitats. Based on past experience, EPA estimates that one application will be 

received every three years. The average application was assumed to be about 50 pages 

in length. EPA discloses its determination in the Federal Register either by rule or by 

Notice of Determination.

NDZ Designation under 40 CFR 140.4(c)

EPA reviews application from states focusing on the use of the waters for drinking 

purposes. EPA estimates that there will be one application each year. The application 

was assumed to be about 15 pages in length. EPA discloses its determination in the 

Federal Register either by rule or by Notice of Determination.
42

Agency Costs

Agency labor costs data associated with this chapter of the ICR were obtained using pay 

scale rates for GS-9, GS-12, and GS-14 employees. The 2015 General Schedule 

Locality Pay Tables can be found at https://www.opm.gov/policy-data-oversight/payleave/salaries-wages/salary-tables/15Tables/html/DCB.aspx . The salary scales 

contained in the table were effective January 2015. Step 1 of the GS salaries was used 

in this chapter of the ICR analysis. The annual GS salary rates were converted to hourly 

rates according to instructions in Section 6(c) if the EPA ICR Handbook (12/96 version). 

Total salaries were divided by 2,080, which represent the average number of hours work 

in a calendar year, and then multiplied by a factor of 1.6. The multiplier represents the 

benefits multiplication factor. The result is the true hourly cost to the Federal government 

to employ a Federal worker for one hour. These calculated hourly rates are used in 

Tables 10, 12, and 14 of the ICR.

ICR Agency Job Classification Title Used in 

ICR Tables 4-6

2015 Annual GS 

Salary (Step 1)

Work 

Hours Per 

Year Factor

Benefits 

Factor

Calculated 

Hourly Rate 

Used in Tables 

4-6

Management

GS-14, 

$107,325 ÷ 2,080 × 1.6

$ 

82.56 

Technical GS-12, $76,378 ÷ 2,080 × 1.6

$ 

58.75 

Administrative GS-9, $52,668 ÷ 2,080 × 1.6

$ 

40.51 

The unit costs were multiplied by the appropriate units of activity (e.g., burden hours) to 

estimate costs per application for EPA. Annualized costs were based on the number of 

applications expected per year. 
43

6(d): Bottom Line Burden Hours and Cost Tables

Total estimated burdens of associated with 40 CFR 140.4(a-c) to the State Agency 

respondents and to EPA are summarized in Tables 15 and 16, respectively. 

Estimated Respondent (State Agency) Burden and Cost Summary for Establishing NDZs for Vessel 

Sewage under CWA 312(f) (from table 15)

Number of 

Respondents

Number of 

Activities

Per Year

Total Number 

of Hours Per 

Year

Total Annual 

O&M Costs 

($)

Total Labor 

Cost Per 

Year ($)

Total Cost 

Per Year 

($)

5.66 5.66 944.83 $849.00 $47,065.13 $47,914.13

Estimated Agency (EPA) Burden and Cost Summary for Establishing NDZs for Vessel Sewage under 

CWA 312(f) (from table 16)

Number of 

Respondents

Number of 

Activities

Per Year

Total Number 

of Hours Per 

Year

Total Annual 

O&M Costs 

($)

Total Labor 

Cost Per 

Year ($)

Total Cost

Per Year 

($)

5.66 5.66 187.70 $339.60 $11,425.27 $11,764.87

6(e): Burden Statement

The annual public reporting and recordkeeping burden for this collection of information is 

estimated to average 158 hours per response (945 hours/6). (From Table 15, rounded 
44

off.) The combined annual public reporting and recordkeeping burden for this entire 

Information Collection Request is estimated to average 155 hours per response (1,083 

hours/7). (From Table 17, rounded off.) Burden means the total time, effort, or financial 

resources expended by persons to generate, maintain, retain, or disclose or provide 

information to or for a federal agency. This includes the time needed to review 

instructions; develop, acquire, install, and utilize technology and systems for the purposes 

of collecting, validating, and verifying information, processing and maintaining information, 

and disclosing and providing information; adjust the existing ways to comply with any 

previously applicable instructions and requirements; train personnel to be able to respond 

to a collection of information; search data sources; complete and review the collection of 

information; and transmit or otherwise disclose the information. An agency may not 

conduct or sponsor, and a person is not required to respond to, a collection of information 

unless it displays a currently valid OMB control number. The OMB control numbers for 

EPA's regulations are listed in 40 CFR part 9 and 48 CFR chapter 15. 

To comment on the Agency's need for this information, the accuracy of the provided 

burden estimates, and any suggested methods for minimizing respondent burden, including 

the use of automated collection techniques, EPA has established a public docket for this 

ICR under Docket ID No. EPA-HQ-OW-2008-0150,, which is available for online viewing 

at www.regulations.gov, or in person viewing at the Water Docket in the EPA Docket 

Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., NW, Washington, DC. 

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

Monday through Friday, excluding legal holidays. The telephone number for the Reading 

Room is (202) 566-1744, and the telephone number for the Water Docket is (202) 566-
45

2426. An electronic version of the public docket is available at www.regulations.gov. This 

site can be used to submit or view public comments, access the index listing of the 

contents of the public docket, and to access those documents in the public docket that are 

available electronically. When in the system, select “search,” then key in the Docket ID 

Number identified above. Also, you can send comments to the Office of Information and 

Regulatory Affairs, Office of Management and Budget at oira_submission@omb.eop.gov,

Attention: Desk Officer for EPA. Please include the EPA Docket ID EPA-HQ-OW-2008-

0150, and OMB control number 2040-0187 in any correspondence. 
46

APPENDIX

See the accompanying Excel workbook with the referenced tables.
47

Attachment A

Summary Tables for Information Collection under CWA Section 312

Table 17: Total CWA Section 312 Estimated Respondent (State Agency) Burden and Cost Summary

* This data is taken from Tables 7 and 15 of this ICR

Number of 

Respondents 

Per Year

Number of 

Activities Per 

Year

Total Number 

of Hours Per 

Year

Total Annual 

O&M Costs ($)

Total Labor 

Cost Per Year 

($)

Total Cost Per 

Year ($)

Armed Forces 

Vessels; Table 

7 0.99 0.99 138.5175 148.5 6,874.94 

 

7,023.44 

Vessel Sewage; 

Table 15 5.66 5.66 944.83 

 

849.00 47,065.13 

 

47,914.13 

Total 6.65 6.65 1,083.34 

 

997.50 53,940.08 

 

54,937.58 
48

Table18: Total CWA 

Section 312 Estimated 

Agency (EPA) Burden and 

Cost Summary

* This data is taken from 

Tables 8 and 16 of this ICR

Number of 

Respondents 

Per Year

Number of 

Activities Per 

Year

Total Number of 

Hours Per Year

Total Annual 

O&M Costs ($)

Total Labor Cost 

Per Year ($)

Total Cost Per 

Year ($)

Armed Forces 

Vessels; Table 8 0.99 0.99 30.855 59.40 1,879.89 

 

1,939.29 

Vessel Sewage; 

Table 16 5.66 5.66 187.70 

 

339.60 11,425.27 

 

11,764.87 

Total 6.65 6.65 218.55 399 13,305.16 

 

13,704.16