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SUPPORTING STATEMENT FOR STANDARD FORM 83-1

REPORTING AND RECORDKEEPING REQUIREMENTS

FOR THE COLLECTION REQUEST

FOR THE CLEAN AIR ACT TRIBAL AUTHORITY

TABLE OF CONTENTS

1. Identification of the Information Collection

1(a) Title of 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. Non duplication, Consultations, and Other Collection Criteria

3(a) Non-duplication

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

3(c) Consultations

3(d) Effects of Less Frequent Collection

3(e) General Guidelines

3(f) Confidentiality

3(g) Sensitive Questions

4. The Respondents and the Information Requested

4(a) Respondents/SIC Codes

4(b) Information Requested

(i) Data items, including record keeping requirements

(ii) Respondent Activities

5. The Information Collected-Agency Activities, Collection Methodology, and 

Information Management

5(a) Agency Activities

5(b) Collection Methodology and Information Management

5(c) Small Entity Flexibility

5(d) Collection Schedule
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6. Estimating The Burden and Cost of the Collaboration

6(a) Estimating Respondent Burden

6(b) Estimating Respondent Costs

(i) Estimating Labor Costs

(ii) Estimating Capital and Operation and Maintenance Costs

(iii) Capital/Start-up Operating and Maintenance (O&M) Costs

(iv) Annualizing Capital Costs

6(c) Estimating the Agency Burden

6(d) Estimating the Respondent Universe and Total Burden and Costs

6(e) Bottom Line Burden Hours and Cost Tables

(i) Respondent Talley

(ii) The Agency Talley

(iii) Variations in the Annual Bottom Line

6(f) Reasons for Change in Burden

6(g) Burden Statement
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SUPPORTING STATEMENT FOR STANDARD FORM 83-1

REPORTING AND RECORDKEEPING REQUIREMENTS

FOR THE COLLECTION REQUEST

FOR THE CLEAN AIR ACT TRIBAL AUTHORITY

PART A OF THE SUPPORTING STATEMENT

1. IDENTIFICATION OF THE INFORMATION COLLECTION

1(a) Title of Information Collection

Reporting and Recordkeeping Requirements for Clean Air Act Tribal Authority (40 

CFR part 35, subpart B; parts 9, 49, 50 and 81). This Information Collection Request (ICR) 

Number is 1676.06. The OMB control number is 2060-0306. This is a renewal ICR is for 

implementing Section 301(d) of the Clean Air Act.

1(b) Short Characterization/Abstract

The purpose of this ICR is to estimate the burden associated with the regulation 

governing the treatment of Indian tribes in the same manner as states as authorized in Section 

301 (d) of the Clean Air Act. The reporting burden is a one-time application for authorization 

to adopt Clean Air Act programs through regional program offices.

This Information Collection Request (ICR) seeks authorization for tribes to demonstrate 

their eligibility to be treated in the same manner as states under the Clean Air Act (CAA) and to 

submit applications to implement a CAA program. This ICR extends the collection period of 

information for determining eligibility, which expires May 31, 2011. The ICR also is revising 

the estimates of burden costs for tribes in completing a CAA application.

The program regulation provides for Indian tribes, if they so choose, to assume 

responsibility for the development and implementation of CAA programs. The regulation, 

Indian Tribes: Air Quality Planning and Management (Tribal Authority Rule [TAR] 40 CFR 

parts 9, 35, 49, 50 and 81), sets forth how tribes may seek authority to implement their own air 

quality planning and management programs. The rule establishes: 1) which CAA provisions 

Indian tribes may seek authority to implement, 2) what requirements the tribes must meet when 

seeking such authorization, and 3) what Federal financial assistance may be available to help 

tribes establish and manage their air quality programs. The TAR provides tribes the authority to 

administer air quality programs over all air resources, including non-Indian owned fee lands, 

within the exterior boundaries of a reservation and other areas over which the tribe can 

demonstrate jurisdiction. An Indian tribe that takes responsibility for a CAA program would 

essentially be treated in the same way a state would be treated for that program.

The TAR adopts EPA’s “streamlined” eligibility review and approval process for tribes 

to implement CAA programs. The ICR was prepared according to the guidance contained in 

the Office of Information Collection (OIC) December 1996 ICR Handbook. This handbook is 

the Agency’s most current guidance document for preparing an ICR and follows the provisions 
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of the Paperwork Reduction Act (4 U.S.C. section 1320) and the Office of Management and 

Budget (OMB) guidelines.

2. NEED FOR AND USE OF THE COLLECTION

2(a) Need/Authority for the Collection

Implementation of regulations includes a collection of information by EPA from Indian 

tribes for purposes of determining if a tribe is qualified for delegation of the CAA Program. 

Section 114 of the CAA is the authority for the collection of information.

Section 301(d) of the Clean Air Act (CAA) directs the Administrator of the 

Environmental Protection Agency (EPA) to promulgate regulations specifying those provisions 

of the Act which are appropriate for treating tribes in the same manner as states. The 

regulations, which were approved in 1998, give tribes the opportunity, if they choose, to carry

out virtually all Clean Air Act (CAA) programs. The rule authorizes eligible tribes to 

implement CAA programs over all air resources within the exterior boundaries of their 

reservations, including non-Indian owned fee lands, or other areas within the tribes’ jurisdiction. 

This ICR requests clearance for tribes to apply for authority to administer CAA programs.

2(b) Practical Utility Users of the Data

EPA uses the submitted information to determine if the tribe meets the statutory criteria 

under CAA Section 301 (d) and is qualified for program delegation.

3. NON-DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA

3(a) Non-duplication

To avoid requiring submission of duplicate information, EPA will accept

information previously submitted by an Indian tribe (i.e., information included in an application 

for treatment in the same manner as a State under another Act).

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

In compliance with the Paperwork Reduction Act, EPA solicited comments for a 60-day

period prior to submission of the ICR to OMB. Comments were requested by January 30, 2011

via a Federal Register EPA-HQ-OAR-2004-0093. 

3(c) Consultations

An EPA workgroup drafted the proposed regulation following consultation with various 

tribal representatives and extensive internal review. In developing this regulation EPA 
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consulted with tribal representatives at the National Tribal Conference on Environmental 

Management in Cherokee, N.C. in May 1992 and at three “outreach meetings” in Chicago, 

Denver and San Francisco in November 1992. A final set of outreach meetings was held with 

tribal representatives and with members of the State and Territorial Air Pollution Administrators 

and the Association of Local Air Pollution Control Officials (STAPPA/ALAPCO, now renamed 

National Association of Clean Air Agencies or NACAA) in September 1993. Suggestions and 

comments articulated during these exchanges, most supporting the delegation of the CAA 

authority to tribes, were incorporated as appropriate into the proposed rule. The proposed rule 

was published on August 25, 1994 and solicited additional comments from the general public. 

These comments were addressed in the final rule promulgated in 1998. 

 Prior to this renewal, each Regional EPA Office was contacted and asked to provide 

estimates to support the action. The Regional Offices confirmed the estimated average burden 

of nine actions per year for each of the next three years. Members of the public were also 

consulted during this renewal and asked to comment. Three respondents, representing the 

public, tribes and tribal organizations responded and had no comments. These respondents 

were Ryan Callison of Gore Oklahoma, Brandy Toft of Bemidji Minnesota, and Mehrdad 

Khatibi, Assistant Director of the Institute for Tribal Environmental Professionals at Northern 

Arizona University in Flagstaff Arizona. This consultation indicates that tribes and the public

continue to be comfortable with the process as it is being conducted and have a good 

understanding of the requirements. 

3(d) Effects of Less Frequent Collection

Applications by Indian tribes for eligibility in air quality programs are a one-time 

collection of information per respondent.

3(e) General Guidelines

No paperwork reduction guidelines contained in 5 CFR 1320.5 are exceeded by this 

information collection.

3(f) Confidentiality

Any information submitted to the Agency for which a claim of confidentiality is made 

will be safeguarded according to the Agency policies set forth in Title 40, Chapter 1, part 2, 

subpart B - Confidentiality of Business Information (see 40 CFR 2; 41 FR 36902, September 1, 

1976; amended by 43 FR 40000, September 8, 1978; 43 FR 42251, September 20, 1978; 44 FR

17674, March 23, 1979). 

3(g) Sensitive Questions

There are no sensitive questions.
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4. THE RESPONDENTS AND THE INFORMATION REQUESTED

4(a) Respondents/SIC Codes

Indian Tribes would be the sole respondents to this ICR. EPA estimates that 27 of the 

570 tribes -- over the three year clearance period -- will apply for eligibility for CAA programs. 

Based on a survey of regional offices and basic knowledge of tribes, EPA assumes that 9 tribes 

will submit applications in Year 1, 9 in Year 2, and 9 in year 3. The assumption is based on 

projections provided by each Regional Office. The TAR was promulgated in 1998, and tribes 

are just now building air quality programs. Therefore, EPA expects the number of applications 

to remain relatively constant in the out years as additional tribes build capacity. However, since 

tribes have the option of applying for CAA programs, and it is ultimately up to the EPA to 

implement the Act where there is a gap, more or less tribes may be interested in seeking 

eligibility. If more tribes express an interest during the public comment period, EPA will revise 

this ICR and the estimated burden accordingly.

4(b) Information Requested.

(i) Data items, including record keeping requirements

Recommend tribe maintain a copy of all documents produced on file in 

the tribal government offices. No data is collected as part of this action.

(ii) Respondent Activities

To be eligible for delegation of CAA programs, an Indian tribe must submit 

documentation showing they meet the following criteria: 1) be recognized by the Federal 

government (CAA section 302(r); 2) have an existing governing body which carries out 

governmental duties (such as tax and police functions); 3) show that the management and 

protection of air resources applies within the exterior boundaries of the reservation or other 

areas within the tribe’s jurisdiction, and 4) be reasonably expected to be capable of 

implementing all applicable regulations. Meeting the definition of “Federally recognized tribe” 

(Section 302(r)) can be achieved in two ways: 1) approval by the Secretary of Interior (or in the 

process of doing so) as documented in the Federal Register notices periodically published by the 

Secretary; or 2) previous EPA approval for implementation of another program under another 

environmental statute. Previous eligibility determination under another EPA program (such as 

the CWA, SDWA, or other CAA program) satisfies the governing body requirement as well. If 

an initial declaration has not yet been approved, this can be shown by demonstrating that the 

tribe is performing governmental functions to promote the public health, safety and welfare of 

the population, including such things as levying taxes, acquiring land by exercising the power of 

eminent domain, and police powers.

As for the third criterion, demonstration of appropriate jurisdiction, identifying tribal 

jurisdictions clearly and with precision, can be done with the use of maps and a legal 

description of the area; if the tribe is asserting jurisdiction over off-reservation lands, it must 

demonstrate the legal and factual basis for its jurisdiction consistent with applicable principles 

of Indian law.
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In evaluating a tribal demonstration of program implementation capability, EPA 

considers their management and technical skills by reviewing the following factors: 1) tribe’s 

previous management experience, 2) existing environmental or public health programs 

administered, 3) mechanism(s) in place for carrying out the executive, legislative and judicial 

functions of the tribal government, 4) the relationship between regulated entities and regulating 

administrative agency, and 5) the technical and administrative capabilities of the staff. Tribes 

with limited management and technical skills can also submit a plan detailing steps for 

acquiring those skills.

5. THE INFORMATION COLLECTED—AGENCY ACTIVITIES, COLLECTIONS 

METHODOLOGY AND INFORMATION MANAGEMENT

5(a) Agency Activities

EPA will review the applications to determine if they meet the eligibility criteria.

5(b) Collection Methodology and Management

The collection methodology for this ICR maintains that a tribal application for 

implementation of a CAA program is a one-time submission that does not lend itself to 

electronic formatting. For example, tribal boundary information would be difficult to translate 

electronically. These applications will be reviewed and retained by the regional program offices.

5(c) Small Entity Flexibility

Information collection requirements covered in this ICR will not affect small businesses. 

All respondents are Indian tribes.

5(d) Collection Schedule

Tribes can apply on a voluntary basis for eligibility under the CAA Tribal Authority

Rule. Therefore, a collection schedule is not applicable.

6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION

This section provides information on the cost and burden associated with the 

information collection for both the respondents and the Agency. I present these cost and burden 

estimates as individual costs per respondent, and as an aggregate cost for the entire respondent 

universe and the Agency on an annual basis and over the entire period covered by the ICR.

6(a) Estimating Respondent Burden

The annual burden to the respondent Indian tribes is a function of the requirements of 

the eligibility application and average time required for tribes to complete each information 
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item. The average burden per respondent varies, depending on whether the tribe has received 

approval under another environmental program, i.e., Clean Water Act, Safe Drinking Water 

Act. The annual burden per tribe is estimated at 40 hours at a cost of $2,362.00. The estimated 

annual burden is 320 hours at a cost of $26,096.00. See Exhibit I.

Exhibit 1

Annual Respondent Burden and Costs

Activity (A)Tech

hrs.

($59.05

hr.)

(B)Burden

hrs.

(C)Collecti

on

Cost

(D)* 

Annual

collection

Annual

Burden

(hrs)

(B)*(D)

Total

Annual

Cost

(C)*(D)

Collecting

Compiling

Reporting

Total

13

11

16

40

13

11

16

40

$767.65

$649.55

$944.80

$2362.00

N/A

N/A

N/A

8*

N/A

N/A

N/A

320 $18,896.00

* Annual collection is the average number of collections per year. For the three-year period, 

EPA expects a total of 25 respondents. 25 respondents / 3 years = 8 collections annually.

The annualized responses per year over the three-year period: 25/3=8.

The annualized burden hours over the three year period: 960/3=320.

6(b) Estimating Respondent Costs

The cost imposed on the tribes as respondents includes the burden placed on collecting, 

compiling, and reporting the information and the wages of the typical tribal worker performing 

these activities. The cost is associated with salaries and overhead for tribal employees will 

probably vary significantly. The average respondent per hour labor cost is $59.05

($28.12*110%) for an Environmental Scientist. The rates include a factor of 110%, added to 

each labor rate per Office of Management and Budget (OMB) policy. The labor rates are based 

on hourly wages for the appropriate government (tribal) employees as determined by using the 

Bureau of Labor and Statistics (BLS) employment cost trends tables for government (tribal)

workers, May 2009. A 110% factor was added to the original rates per OMB policy. The cost 

per respondent is estimated to be $2,362.00; the total annual respondent cost is $56,688.00. The 

total cost for the three-year collection period is $18,896.00.

(i) Estimating Labor Costs

This rule incorporates the Agency’s streamlined process for treating tribes in 

manner similar to the States. Since tribes are not required to participate in this program, 

the number of applications will vary depending upon air quality conditions, presence of 

major sources of air pollution on reservations, and the tribes’ interest in and capacity to 
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carry out CAA programs. For the purposes of estimating the total burden associated with 

the regulation, EPA has derived the following estimates:

 The estimated number of respondent tribes applying for CAA programs 

over the next three years is 25. The annual average is 8 (25 respondents divided 

by 3 years).

 EPA estimates 40 hours per respondent for an annual burden of 360 

hours.

 The average respondent labor cost is $59.05 per hour for 

Professional/Technical. A factor of 110% was added to each labor cost category

per Office of Management and Budget policy.

 The annual per respondent cost is $2,362.00. The annual total cost is 

estimated to be $18,896.00 per year for a total of $56,688.00 over the three-year 

collection period.

(ii) Estimating Capital and Operations and Maintenance Costs

There are no capital and operations and maintenance costs since the information 

collection only requires an application for eligibility to be filed so as to participate in a 

program. No capital investments are required to develop the application and no 

operations and maintenance costs are encountered.

(iii) Capital/Start-up Operating and Maintenance (O&M) Costs

(iv) Annualizing Capital Costs

6(c) Estimating Agency Burden and Costs

The burden and cost imposed on the Federal government is a function of 1) the average 

number of responses to each information collection and reporting requirements, for this EPA 

expects 8; and 2) the time required for the Federal government to review and process that 

information, and EPA estimates it will take an average of 40 hours per respondent. EPA 

expects to review, on an annual basis, 8 responses at 40 hours per response for an annual burden 

of 320 hours. EPA’s review of the 25 tribal applications -- over the three-year clearance period -

- is 1,000 hours. The review time will be considerably less if the Indian tribe has already 

established eligibility with another EPA program, but it also may be higher. Each individual 

respondent has separate and unique circumstances that affect the amount of time required of the 

EPA to process an application. Therefore, additional time may be required, but the EPA 

estimates that it takes on average, 40 hours per respondent to review, publish, consult, and 

finalize a single request.

Annual Burden: 8 responses *40 hrs./response= 320 hrs.
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Total Burden: 25 responses * 40 hrs./response = 1000 hrs.

The cost imposed on the Federal government for review of the information requirements 

is the burden of reviewing information (described above) and the wages of the typical Federal 

worker performing these activities. The cost associated with salaries and overhead for Federal 

employees will probably vary significantly. As preciously mentioned, it is difficult to predict 

the number of hours EPA will spend on any given respondent. On average it will take 40 hours.

This ICR uses estimates from the hourly rate for federal workers as per the Office of 

Personnel Management’s (OMB) rate for General Service (GS) federal employees, May, 2010. 

The average rate for a GS-10, $30.88, plus a factor of 160% to include employee benefits as per 

OMB policy, amounts to $80.29 per hour labor cost. The annual Agency cost is $22,481.20. 

The total Agency cost over the three-year collection period is estimated to be $70,253.75. See 

Exhibit 2.

Exhibit 2

Annual Agency Burden and Costs

Activity (A)GS-10

hrs.

($80.29

hr.)

(B)Burden

hrs.

(C)Collecti

on

Cost

(D)*

Annual

Collection

Annual

Burden 

(hrs)

(B)*(D)

Annual

Cost

(C)*(D)

Collecting

Compiling

Comments

Total

9

9

17

35

9

9

17

35

$722.61

$722.61

$1,364.93

$2,810.15

N/A

N/A

N/A

8* 280 $22,481.20

* Annual collection is the average number of collections per year. For the three-year period, 

EPA expects a total of 25 respondents. 25 respondents / 3 years = 8 collections annually.

The annualized responses per year over the three year period: 25/3=8.

The annualized burden hours over the three year period is 840/3=280.

6(d) Estimating the Respondent Universe and Total Burden and Costs

The annual burden for the respondents is 320 hours. The annual cost for the respondents 

is $26.096.00. The total burden and cost for the respondents is, 1,080 hours at a cost of 

$78.288.00 for the three-year collection period. The annual burden for the Agency is 280 hours. 

The annual cost for the Agency is $22,481.20.

The total burden and cost for the Agency is 875 hours at a cost of $70,253.75.for the three-year 

collection period.

6(e) Bottom Line Burden Hours and Cost Tables
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The bottom line burden hours and cost tables for respondents are the summaries of all 

the hours and costs incurred for all activities

(i) Respondent Tally

The bottom line Respondent Tally is presented in Exhibit 1

(ii) The Agency Tally

The bottom line Agency Tally is presented in Exhibit 2

(iii) Variations in the Annual Bottom Line

The burden and cost estimates are not expected to vary from year to year over 

the collection period for this ICR. That is, the bottom line tallies presented in Exhibit 1 

and 2 are not expected to change over the course of the next 3 years.

6(f) Reasons for Change in Burden

The 293 Burden Hours approved by OMB for the active ICR (Total Hours Requested), 

used the first year of the ICR’s three year period, since it reflected the highest estimated number 

of responses. For this ICR, an annualized average of the ICR’s three year periods were used 

(420+300+360)/3=360 hours. The total burden hours have been updated to reflect new estimates 

that are based on the number of applications the EPA received under the previous ICR and what 

EPA estimates it will receive in the upcoming years. There is no difference between the active 

ICR and this ICR based on our estimates of equal numbers of responses.

The estimates were revised in part because the respondents that have already received 

eligibility will not apply again in this period. However, they may apply for additional programs 

and in this case EPA believes it will take less time to process. EPA estimates that it takes a 

respondent an average of 40 hours to process a single request. Additionally, several respondents 

that were originally expected to request eligibility have done so.

Tribes are not required to seek this eligibility and therefore it is possible that the actual 

number of respondents will differ from the estimates. These numbers represent EPA estimates 

based on discussion with regional offices and expectations of the capacity of tribes to actively 

seek eligibility.

6(g) Burden Statement

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

is estimated to average 40 hours per response. 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 
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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 Number OAR-2004-0093, which is available for online viewing at 

www.regulations.gov, or in person viewing at the Air and Radiation Docket and Information 

Center in the EPA Docket Center (EPA/DC), EPA West, Room B102, 1301 Constitution 

Avenue, NW, Washington, D.C. The EPA Docket Center Public Reading Room is open from 

8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone 

number for the Reading Room is (202) 566-1744, and the telephone number for the Clean Air 

Act Tribal Authority is (202) 566-1742. 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, 725 17th Street, NW, Washington, 

D.C. 20503, Attention: Desk Officer for EPA. Please include the EPA Docket ID Number 

OAR-2004-0093 or R###-XXX-200X-XXXX and OMB Control Number 2060-0306 in any 

correspondence.

Part B of the Supporting Statement

This part is not applicable because no statistical methods were used in collecting this 

information.