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Supporting Statement

OMB Clearance for Information Requests

 Under CERCLA §123 (Reimbursement to Local Governments)

EPA ICR No. 1425.10, OMB No. 2050-0077

Title: “Application for Reimbursement to Local Governments for Emergency Response to 

Hazardous Substance Releases Under CERCLA section 123 (Renewal)”

A. Justification

l. Need for the Information Collection

Section 123 of the Comprehensive Environmental Response, Compensation and Liability

Act (CERCLA), as amended by the Superfund Amendments and Reauthorization Act of 1986, 

requires the Environmental Protection Agency (EPA) to promulgate rules by which any general 

purpose unit of local government may apply to EPA for reimbursement for costs incurred in 

carrying out temporary emergency measures necessary to prevent or mitigate injury to human 

health or the environment associated with the release or threatened release of any hazardous 

substance or pollutant or contaminant. The Statute limits the maximum award for a single 

response to $25,000. The Local Governments Reimbursement (LGR) Program is a voluntary

program aimed at alleviating burden incurred by general purpose units of local government from 

carrying out temporary emergency measures in response to the release of hazardous substances.

The Agency requires applicants for reimbursement to submit an application package that 

demonstrates consistency with program eligibility criteria and certifies compliance with the 

reimbursement requirements. This information collection is necessary to ensure proper use of 

the Superfund and appropriate distribution of reimbursement awards among applicants. EPA will 

receive and closely evaluate reimbursement requests in accordance with the promulgated final 

rule (63 FR 8283; Vol. 63 No. 32) to ensure that the most deserving cases receive awards.

2. Description and Practical Utility of the Information Collection Activity

Applicants must complete and submit to EPA an application package supplied by the 

Agency. The application package confirms that the costs were incurred for temporary

emergency measures necessary to protect human health and the environment. The application 

submitted by the local government or agency requesting reimbursement will be reviewed by 

EPA to ensure compliance with all statutory and program requirements.

EPA has decided to use a standard application form because it reduces confusion about 

what information is to be supplied, helps ensure that all applicants are evaluated on the basis of 

comparable information, and enables reviewers to check applications for completeness and 

consistency quickly. The form requests five basic pieces of information: (1) identification of the 
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local government requesting reimbursement; (2) information about the incident; (3) information 

about the response, including the specific temporary emergency measures for which 

reimbursement is being sought; (4) cost data; and (5) certifications and signature of the highest 

ranking official or authorized representative of the local government. Detailed instructions for

completing the form and example will be included in the application package provided by EPA 

to potential requesters.

Section 1 of the application identifies the general purpose unit seeking reimbursement 

and the means of contacting the applicant. This information is necessary to facilitate the 

exchange of information between the applicant and the Agency. Section 2 of the application 

describes the incident, specifically including information on the date and time of occurrence or 

discovery; location of the incident; source or cause of the release; identity of the hazardous 

substances released; and the associated threats to human health and the environment. Space is 

also provided for additional information pertinent to the incident. EPA requires detailed 

information on the nature of the incident to ensure that hazardous substances covered under 

CERCLA were involved and warranted temporary emergency measures.

Section 3 of the application describes the response, specifically information on the date 

and time of response initiation; date of response completion; response participants; response 

activities; and the temporary emergency measures for which reimbursement is sought. Space is 

also provided for additional information pertinent to the response. Information in this section is 

crucial for EPA's determination of whether the response was appropriate and necessary to 

prevent or mitigate injury to human health or the environment. The information in this section 

will confirm whether the response was not inconsistent with CERCLA and the NCP and meets 

the eligibility criteria for reimbursement established by 40 CFR 310.

Section 4 of the application contains information on the costs which were directly related 

to the response effort and for which reimbursement is being sought. In addition to the total 

reimbursement amount requested, a cost breakdown is provided. This section also requires 

inclusion of all supporting documentation (e.g., invoices, sales receipts, rental agreements). Cost 

information is necessary to determine the amount of the potential reimbursement. A cost 

breakdown allows the Agency to determine which costs are eligible for reimbursement.

The regulation requires that applicants certify that they first sought reimbursement from other 

sources before seeking reimbursement through the local governments reimbursement program. 

Section 4 of the application also requests applicants to certify their attempts to recover costs 

from other sources, including responsible parties, local government insurance funds, or the State.

The information contained in the revised application is the minimum required by EPA to 

make prudent reimbursement decisions. The application form has been refined to further 

decrease the burden on applicants while at the same time ensuring that program requirements are 

satisfied. The requested information demonstrates the consistency of the response for which 

reimbursement is being requested with the statutory requirements of §123 of CERCLA and the 

regulatory requirements of the NCP.
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Applicants receiving reimbursement from the Superfund are required to maintain all cost 

documentation and any other records relating to the reimbursement request, and to provide EPA 

with access to such records. If, after three years from the date of reimbursement, EPA has not 

initiated a cost recovery action, the applicant may dispose of the records. The applicant, 

however, must notify EPA and allow EPA the opportunity to take possession of the records 

before they are destroyed.

3. Use of Improved Information Technology to minimize Burden

Because reimbursement is sought after the completion of response activities, and 

response activities vary greatly depending on the nature and size of the incident, collection of the 

necessary information is best accomplished through a written application form. A written 

application allows for individual review of each request and consideration of any extenuating 

circumstances described in the application. The Agency realizes that some of the most deserving 

applicants may be small or poor communities that do not have the administrative resources to 

prepare a complex or burdensome application. Since the intent of the reimbursement to local 

governments rule is to assist those localities that have incurred the most severe financial burden 

from responding to a hazardous substance emergency, EPA has attempted to minimize applicant 

burden as much as possible in order to encourage Applications from potentially deserving 

communities.

The level of sophistication of local governments who apply to this program will vary

greatly depending on their available resources. For those applicants who have access to the 

computer technology, EPA has developed an electronic application form and provides other 

information and assistance electronically.

The Agency has taken the following steps to minimize applicant burden:

• Allowed response notification through existing channels instead of mandating a 

response notification exclusively for reimbursement;

• Limited application submittal to one agency or unit of local government per 

response;

• Developed and revised a standard application form that is brief and 

straightforward;

• Allowed the local government one year (this may be waived if the applicant is 

pursuing cost recovery) from completion of the response during which to prepare 

and file an application;
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• Established a toll-free telephone line for local governments to request applications 

and obtain guidance and assistance on the local governments reimbursement 

program;

• Developed an electronic application software package that is available for

Windows-based computer operating systems; and

• Developing a World Wide Web internet site that local governments can download 

applications, can obtain instruction and guidance on the application process, and 

can obtain information on this and related programs.

4. Non-Duplication

During development of the local governments reimbursement rule, EPA conducted 

research into other EPA programs and Federal agency programs to determine if any other 

agency/department or EPA program office had information pertinent to the local-governments 

reimbursement program. Within EPA, the following programs were investigated: the Asbestos 

in Schools Hazard Abatement Program; Pesticides Indemnification Program; Municipal Water 

Treatment Works Construction Grants Program. Other Federal agencies investigated include: 

Federal Emergency Management Agency; Department of Transportation (State Highway Aid 

Program); Department of Agriculture (Casual Firefighter Program); Department of Education 

(Impact Aid/Disaster Aid Program); Department of State (Protection of Foreign Missions and 

Officials Program); Department of Health and Human Services; Department of Housing and 

Urban Development. The New York State Spill Fund, New Jersey State Spill Fund, and the 

California Emergency Response Fund also were researched. Pursuant to this research, EPA 

concluded that the information required of reimbursement applicants is specific and unique to the 

reimbursement program and is not duplicated by any other Federal agency/department or EPA 

program office.

The reimbursement program encourages potential applicants to notify EPA of the 

response. It is possible that the responsible party will notify the NRC of the spill. Although this 

has the potential to represent duplication of information, such notification may not include all of 

the information required for reimbursement purposes.

5. Minimizing Burden for Small Business

While small businesses are not eligible for reimbursement under this program, the limited 

size of the maximum potential award and portion of the Superfund allocated to the program 

indicate that the reimbursement program will be most beneficial to small entities to whom a loss 

of $25,000 or less constitutes a serious financial burden. EPA has developed the reimbursement 

program according to this principle of alleviating financial burden. The steps EPA has taken to 

minimize burden for small entities are the same as those discussed under section 3, Use of 

Improved Information Technology to Minimize Burden.
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6. Consideration of Less Frequent Collection

Although submitting an application is necessary to receive reimbursement, applying for 

reimbursement is entirely voluntary on the part of the applicant. The application process 

involves only one collection of information from applicants. If an incomplete application is 

submitted, applicants are encouraged to supply the additional information necessary within 90 

days to complete the application. Given that the reimbursement application process involves 

only one collection of information, it would not be feasible to collect information less frequently.

7. Special Circumstances

Prior to this revision, the local governments reimbursement program regulation required 

applicants to retain records for ten years after having received a monetary award from EPA. 

Under the revised regulation, applicants are required to retain records for three years after 

receiving an award, thus eliminating any special circumstances associated with the regulation.

8. Payments and Gifts

The local government reimbursement regulation will not provide any payment or gifts to 

respondents except in the form of reimbursement grants for eligible applicants as authorized 

under statute.

9. Confidentiality

The local government reimbursement regulation does not require any confidential 

information.

10. Sensitive Questions

The local governments reimbursement regulation does not request any information of a 

sensitive nature.

11. Estimation of the Hourly Burden of the Collection

a. Estimation of Hourly Burden for Respondents (Table 1 below)

The entire potential universe of respondents is estimated to be approximately 30,000, or 

the number of professional and volunteer fire departments as counted by the National Fire 

Protection Association. This counting method is based on the logic that the vast majority of 

responses to hazardous substance emergencies involve fire departments. 

Requests for reimbursement consist of a completed application form and supporting 

documentation that verifies costs were incurred for the particular response and are eligible for 
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reimbursement. The actual preparation of the application package and the filing and maintaining 

of records are the only sources of burden on applicants seeking reimbursement.

EPA conducted a test of the original application form and instructions with eight Agency

and contractor staff and recorded the time required to perform each step involved in preparing an 

application. Testers read the preamble and reimbursement rule, a fact sheet on a fictitious 

response, supporting documentation (such as sales receipts, rental agreements, etc.) and 

completed the actual form requesting reimbursement for the fictitious response. 

EPA has revised the reimbursement regulation (40 CFR part 310) and application form to 

simplify the application process and reduce the burden on the applicant. The requirement to 

notify EPA or the NRC has been eliminated. The amount of information needed to document the 

response and costs involved and the time required to fill out the application form have been 

significantly reduced. As a result, the hourly burden on the applicant to complete the application 

was reduced in 1998. The original estimates for the breakdown of the average hours needed to 

complete the application have been adjusted to reflect these changes. 

As of 2014, EPA has received and reviewed over 2000 applications from respondents 

over the 24 year period in which the program has been fully operative. 

b. Estimation of Burden for the Agency (see Table 2)

The activities included in this estimate are reviewing applications for compliance with the 

regulation, contacting applicants to revise or add to applications, performing training and 

outreach on the program, maintaining all applications, and developing and maintaining electronic 

systems associated with the program.

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. 

12. Estimated Total Annual Cost Burden to Responders

Table 1

Estimated Burden on Applicants Seeking Reimbursement

for Temporary Emergency Measures
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Under §123 of SARA

______________________________________________________________________________

Average Hours 

Burden Item per Application

Read Instructionsa1

Gather Informationb3

Compile Informationc3

Complete Applicationd1

File and Maintain Informatione ___1___

Total Estimated Burden Hours Per Application 9

Total Estimated Number of Applications Submitted by

All Applicants per Year x_30

f

__

Total Estimated Annual Burden Hours 270

Total Estimated Cost Burden to Respondersg$ 4,995

a. Time to read or hear instructions. This includes the time which will be needed by

applicants to familiarize themselves with the requirements for requesting 

reimbursement and the instructions for completing the application form.

b. Time to gather information. This includes the time necessary to collect various 

reports from files and extract pertinent information and find additional reference 

materials and information.

c. Time to compile information. This includes the time necessary to assemble 

information specific to the response for which reimbursement is being sought. 

This may include interviewing first responders and ascertaining the number of 

work-hours involved in the response.

d Time to complete application. This includes the time required to enter the 

pertinent information on the application form in accordance with the line-by-line 

instructions.

e. Time to file and maintain information. This includes the time needed for 

preparing file folders, indexes, and filing.

f. Approximately 30 applications are received each year.
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g. Estimated hourly rate is $18.50. This estimate takes into consideration that the 

application may be prepared by a secretary, Fire Chief, County Clerk, Health 

Professional, or other administrative staff.

13. Estimated Cost to the Federal Government

$ 143,490 (See Table 2)

Table 2

Object Class FTE ($000)

Headquarters budgeted staff and funds1

Personnel compensation and benefits21.5 124,774

Overhead (15% of FTE)3 -- 18,716

Total 1.5 143,490

1. Source: FY 2014 Budget data (EPA Office of Emergency Response Management)

2. PC&B Cost/FTE 2014 = $83,183 HQ

3. Includes travel, rent, contract services (maintenance), and supplies and materials.

Using the data from Table 2, the calculation for the cost per burden hour to respondents 

becomes:

Average FTE cost + 10% overhead = Cost per burden hour. 

Number of burden hours in one FTE

$ + $ = $ (cost/burden hour)

 20881

1. The standard number of hours in an FTE 2014. 

14. Reasons for Change in Burden

There is a decrease of 270 hours in the total estimated respondent burden compared with the ICR 

currently approved by OMB. This decrease is due to the number of respondents reducing from 

60 to 30. 
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15. Capital Start Up Costs

There are no start-up costs. This is not an annual reporting burden, but rather a one-time 

application, using data already existing.

B. Collection of Information Employing Statistical Methods

This information collection does not use statistical methods or techniques

C. Public Notice Required Prior to ICR Submission to OMB

 The Federal Register Notice required under 5 CFR 1320.8(d), soliciting comments on this 

collection of information was published on August 4, 2014 79 FR 45189 and the comment period 

closed on September 4, 2014. No comments were received.

______________________________________________________________________________

Burden Statement

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

collection of information is estimated to average 9 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 

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 EPA-HQ-SFUND-2014-0549, which is available for online viewing at 

www.regulations.gov, or in person viewing at the superfund docket in the EPA Docket Center 

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

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

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

1744, and the telephone number for the superfund docket is (202) 566-0276. An electronic 
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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 EPA-HQ-SFUND-2014-0549 and OMB Control Number 

2050-0077 in any correspondence.