1

Supporting Statement for a Request for OMB Review under

the Paperwork Reduction Act

1 IDENTIFICATION OF THE INFORMATION COLLECTION

1(a) Title and Number of the Information Collection

Title: Notification of Chemical Exports - TSCA Section 12(b)

EPA ICR No.: 0795.14 OMB Control No.: 2070-0030

1(b) Short Characterization

Section 12(b) of the Toxic Substances Control Act (TSCA) states, in part, that any person 

who exports or intends to export to a foreign country a chemical substance or mixture for which 

submission of data is required under TSCA section 4 or 5(b), or for which a rule, action or order 

has been proposed or promulgated under TSCA section 5, 6, or 7, shall notify the EPA 

Administrator of such export or intent to export. The Administrator in turn will notify the 

government of the importing country the notice and of EPA’s regulatory action with respect to 

the substance.

On December 16, 1980, EPA promulgated a rule implementing TSCA section 12(b) (45 

FR 82844). This final rule requires exporters to submit an annual notice for each country to 

which a chemical subject to TSCA section 12(b) requirements is exported. EPA amended the 

regulations in July 1993 and November 2006 to reduce the overall burden of the statutory

mandate on exporters (58 FR 40242, July 27, 1993; 71 FR 66324, Nov. 14, 2006). Among other 

things, the amendments reduced the notification requirements for exporters of chemicals subject 

to certain actions under TSCA sections 4 and 5 from an annual notification to a one-time 

notification for the first export to a particular country. Exports of chemicals subject to TSCA 

sections 5(f), 6, and 7 actions still require submission of annual export notifications to EPA, 

however. The 2006 amendments also set de minimus concentration levels below which 

notification would not be required and clarified that a single export notification may refer to 

more than one section of TSCA where the exported chemical is the subject of multiple TSCA 

actions. These rules are codified at 40 CFR Part 707, Subpart D.

The export notice must include five easily ascertainable items: the name and address of 

the exporter, the name of the chemical, the country of import, the date of export or intended 

export, and the section of TSCA under which EPA has taken action (section 4, 5, 6 or 7). There 

are currently over 1,000 substances or categories of substances that have been regulated or 

proposed to be regulated under the applicable sections of TSCA.

In an effort to further reduce the information collection burden for TSCA section 12(b) 

export notification, EPA's Office of Pollution Prevention and Toxics (OPPT) developed and 

made available to the public on its website in 2001 a list of chemical substances subject to TSCA 

section 12(b) export notification requirements (see “Current List of Chemical Substances Subject 
2

to TSCA Section12(b) Export Notification Requirements” at: http://www.epa.gov/oppt/importexport/pubs/12_b_listFinal_08-21-2012.pdf). In addition, OPPT made available in 2001 a 

comprehensive listing of the “sunset” dates for chemical substances subject to TSCA section 4 

actions (i.e., the dates on which the TSCA section 4 testing, reimbursement, and reporting 

requirements and/or TSCA section 4-triggered TSCA section 12(b) export notification 

requirements have terminated (“sunset”) or have been calculated to sunset) (see “Sunset 

Date/Status of TSCA Section 4 Testing, Reimbursement, and Reporting Requirements and 

TSCA Section 4-Triggered TSCA Section 12(b) Export Notification Requirements” at: 

http://www.epa.gov/opptintr/chemtest/pubs/sunsettable.html). EPA believes that these lists, long 

recommended by industry, serve as useful tools to assist industry in complying with TSCA and 

have resulted in an overall reduction of the information collection burden.

Finally, this paragraph identifies EPA actions that are anticipated to occur during the 

collection period that could affect the information requirements and burden. During the 

collection period covered by this ICR renewal, a number of actions under TSCA sections 4, 5, 

and 6 are anticipated that will trigger export notification under TSCA section 12(b). Of course, 

should any of these anticipated actions impact this ICR, EPA will follow appropriate procedures 

to amend this ICR, as appropriate.

2 NEED FOR AND USE OF THE COLLECTION

2(a) Need/Authority for the Collection

TSCA section 12(b) requires exporters to submit a notice for each country to which a 

chemical subject to TSCA section 12(b) requirements is exported. Specifically, TSCA section 

12(b) states, in part, that any person who exports or intends to export to a foreign country a 

chemical substance or mixture for which submission of data is required under TSCA section 4 or 

5(b), or for which a rule, action or order has been proposed or promulgated under TSCA section 

5, 6, or 7, shall notify the EPA Administrator of such export or intent to export. The 

Administrator in turn will notify the government of the importing country of the notice and of 

EPA’s regulatory action with respect to the substance. See Attachment 1 for exact language of 

TSCA section 12(b), 15 U.S.C. 2611(b).

Regulations implementing the statutory mandate in TSCA section 12(b) appear in 40 

CFR Part 707, Subpart D, and include the following additional provisions: 

(a) No notice of export will be required for articles, except PCB articles, unless the Agency

so requires in the context of individual TSCA section 5, 6, or 7 actions.

(b) Any person who exports or intends to export polychlorinated biphenyls (PCBs) or PCB 

articles, for any purpose other than disposal, shall notify EPA of such intent or 

exportation under TSCA section 12(b). PCBs and PCB articles have the definitions 

published in 40 CFR 761.3.
3

(c) Any person who would be prohibited by a TSCA section 5 or 6 regulation from exporting 

a chemical substance or mixture, but who is granted an exemption by EPA to export that 

chemical substance or mixture, shall notify EPA under TSCA section 12(b) of such intent 

to export or exportation.

(d) An exporter will be subject to possible enforcement action (including penalties) for not 

complying with the applicable provisions of TSCA section 12(b).

The full text of 40 CFR part 707 is provided in Attachment 2.

2(b) Use/Users of the Data

As required by TSCA section 12(b), the Administrator will use the information collected 

under this ICR to furnish the required notice to the government of the importing country. The 

importing country typically uses the information provided to ensure that chemicals imported into 

their country comply with their laws and regulations.

3 NON-DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION 

CRITERIA

3(a) Non-Duplication

The exporter submits one notice to EPA. There is no duplication of this mandate or 

collection activity, and there are no viable alternate sources for the Agency to obtain the 

information necessary to satisfy the statutory mandate.

The Agency carefully considered alternatives to imposing a notification requirement on 

the chemical exporters, but no viable alternate sources were identified that would accomplish 

what the statue requires or provide the required information as specified in the statute. Prior to 

promulgating the TSCA section 12(b) rule, EPA considered the possibility of using export data 

gathered by the Bureau of the Census in lieu of imposing notification requirements in a TSCA 

section 12(b) rule. However, several problems with the Census data continue to make such an 

approach impractical. These problems include, among others, the fact that Census data are often 

not chemical-specific; Census exempts certain shipments and exporters that are not exempt from 

TSCA section 12(b) notifications; and Census data would not be available for up to eight weeks 

following export, a delay that would prevent EPA from providing an importing government the 

timely notice required by TSCA section 12(b).

In addition, the Agency’s activities are not duplicative of any other agency’s actions. 

Importing countries do not receive such notifications from any other sources.

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

In proposing to renew this ICR, EPA provided a 60-day public notice and comment 

period that ended on July 6, 2012 (77 FR 26750, May 7, 2012). EPA received one comment, 
4

from the American Petroleum Institute (API). EPA has addressed API’s comment in a 

memorandum that is attached to this ICR as Attachment 3.

3(c) Consultations

Prior to proposing the original 1980 guidance for the submission of TSCA section 12(b) 

notices, EPA held informal meetings with the Manufacturing Chemists Association (now the 

American Chemistry Council), and with representatives of the Swedish, Canadian and British 

governments. Comments were also received from exporters, environmental groups and foreign 

governments during the public comment period for the proposal. Prior to issuance of the final 

amendments to the export notification requirements in 1993, EPA also met with stakeholders to 

discuss TSCA section 12(b) requirements and the possible need for some changes to the 1980 

rule. EPA also received and considered comments from exporters, environmental groups and 

foreign governments during the public comment period for the proposed amendments. Finally, 

EPA considered comments received on an amendment to the TSCA section 12(b) export 

notification requirements proposed in 2006.

Additionally, under 5 CFR 1320.8(d)(1), OMB requires agencies to consult with 

potential ICR respondents and data users about specific aspects of ICRs before submitting an 

ICR to OMB for review and approval. In accordance with this regulation, EPA submitted 

questions to nine parties via e-mail. The individuals and/or organizations contacted were:

Dan Newton, Manager

Government Relations

Society of Chemical Manufacturers & Affiliates (SOCMA)

1850 M Street NW, Suite 700

Washington, DC 20036

Tel.: 202-721-4158

Fax: 202-296-8548

Email: newtond@socma.com

Terry L. Medley, J.D., Global Director

Corporate Regulatory Affairs

DuPont Environment and Sustainable Growth Center

Wilmington, DE 19898

Tel.: 302-773-3191

Fax: 302-774-1361

Email: Terry.L.Medley@USA.dupont.com

Sylvia Palmer, Director, Regulatory and Technical Affairs

American Chemistry Council

700 2nd Street, NE

Washington, D.C. 20002

Tel.: 202-249-7000 (main)

Fax: 202-249-6100 (main)

Email: Sylvia_palmer@americanchemistry.com
5

Ernie Rosenberg, President and CEO

American Cleaning Institute

1331 L Street, N.W., Suite 650

Washington, D.C. 20005

Tel.: 202-662-2505

Fax: 202-347-4110

E-mail: erosenberg@cleaninginstitute.org

Douglas Fratz, Vice President

Scientific and Technical Affairs

Consumer Specialty Products Association

900 17th Street, NW, Suite 300

Washington, D.C. 20006

Tel.: 202-833-7304

E-mail: dfratz@cspa.org

Howard Feldman, Director

Regulatory and Scientific Affairs

American Petroleum Institute

1220 L Street, NW

Washington, DC 20005-4070

Tel.: 202-682-8000 (main)

Email: feldman@api.org

William McLin, President and CEO

Asthma & Allergy Foundation of America

8201 Corporate Drive, Suite 1000

Landover, MD 20785

Tel.: 202-466-7643, ext. 273

Email: bill@aafa.org

Nsedu Witherspoon, Executive Director

Children's Environmental Health Network

110 Maryland Avenue, NE, Suite 505

Washington, DC 20002

Tel.: 202-543-4033 (main)

Email: nobot@cehn.org

Ken Cook, President

Environmental Working Group

1436 U St., N.W., Suite 100

Washington, D.C. 20009

Phone: 202-667-6982

E-mail: ken@ewg.org
6

EPA did not receive any direct responses to its solicitation for consultations. The 

American Petroleum Institute, however, did submit a comment to the docket during the public 

comment period described in the preceding section. A copy of EPA’s consultation e-mail to the 

above nine potential respondents is included in Attachment 4.

3(d) Effects of Less Frequent Collection

In 1993 and 2006, EPA amended the regulations to reduce the notification requirement 

for exporters of chemicals subject to actions under TSCA sections 4 and 5 from an annual 

notification to a one-time notification for the first export to a particular country. (58 FR 40242, 

July 27, 1993; 71 FR 66324, Nov. 14, 2006.) If the collection of information was conducted less 

frequently, the regulatory requirements would not be met.

3(e) General Guidelines

This information collection is necessary to implement statutory requirements of section 

12(b) of TSCA and is consistent with the requirements of 5 CFR 1320.6.

3(f) Confidentiality

The respondent may claim all or part of a notice confidential. EPA will disclose 

information that is covered by a claim of confidentiality only to the extent permitted by, and in 

accordance with, the procedures in TSCA and 40 CFR part 2. In 2010, EPA initiated a broad 

effort to increase transparency and provide more valuable information to the public by

identifying data collections under TSCA where information may have been claimed and treated 

as confidential in the past but is not in fact entitled to confidentiality under TSCA. (75 FR 3462, 

Jan. 21, 2010; 75 FR 29754, May 27, 2010.) Information submitted under specific reporting 

requirements of TSCA, or in support of TSCA, is subject to the provisions of section 14 of 

TSCA and to EPA's Regulations on the Confidentiality of Business Information (see 40 CFR 

part 2). Failure to follow these procedures fully at the time of document submission to EPA is 

interpreted by the Agency as a waiver of confidentiality claims. Submitters may claim 

confidentiality for proprietary information, but should submit a detailed written explanation to 

substantiate all confidential business information (CBI) claims. Detailed written responses to 14

specific substantiation questions should be provided to substantiate confidentiality claim(s). 

Responses should be as specific as possible, with examples as appropriate, and should provide 

substantiation arguments for all types of information (e.g., sales, production/ importation 

volumes, chemical identity, company identity) claimed as confidential. However, 

notwithstanding any claim of confidentiality, the foreign government of the importing country 

will be notified of the export of the substance(s) in question.

3(g) Sensitive Questions

This section is not applicable. The information requested is not sensitive in nature.
7

4 THE INFORMATION COLLECTED--AGENCY ACTIVITIES, COLLECTION 

METHODOLOGY, AND INFORMATION MANAGEMENT

4(a) Agency Activities

The activities routinely conducted by EPA related to the receipt and processing of TSCA 

section 12(b) export notices include the following:

o review export notices for compliance;

o respond to follow-up inquiries from foreign governments;

o consult with companies on complying with the TSCA section 12(b) rule;

o act as liaison between foreign governments and companies to seek additional 

information on exports;

o log in notices for tracking/reporting;

o prepare letters with supporting documents to foreign governments.

4(b) Collection Methodology and Management

The collection methodology is event-based, i.e., the respondent’s decision to export a 

chemical subject to TSCA section 12(b). With the exception of TSCA section 4 chemicals, an 

exporter must submit, on an annual basis, one TSCA section 12(b) notice for each country to 

which a chemical subject to TSCA section 12(b) is exported. For TSCA section 4 chemicals, an 

exporter must only submit a TSCA section 12(b) notice for the first export or intended export to 

a particular country. The TSCA section 12(b) notice must be postmarked within seven days after 

the respondent accepts a definite contractual obligation or no later than the date of export. 

TSCA section 12(b) export notifications are received by EPA’s Information Management

Division (IMD) in OPPT. IMD notifies appropriate foreign governments of the export of the 

specific TSCA-regulated chemicals to their country in accordance with the mandate in TSCA 

section 12(b) and the regulations at 40 CFR part 707, Subpart D.

The following is a brief overview of the Agency’s handling and tracking process for these 

notices:

1) All incoming notices are received in OPPT’s Confidential Business Information Center 

(CBIC), which is managed by OPPT’s Information Management Division (IMD).

2) The CBIC sends the information to appropriate IMD staff to determine if the information 

is Confidential Business Information (CBI) or not. IMD then sends the information with 

the CBI determination back to the CBIC.

3) The CBIC sends all notifications (CBI or non-CBI) to TAIS for processing.

4) The contractor-run TSCA Assistance and Information Service (TAIS) records the 

company and chemical information, enters it into the database, and prepares the 

notification letter and explanatory materials (e.g., Federal Register notice, TSCA section 
8

5(e) consent order). For CBI packages, TAIS sends the CBI packages back to the CBIC 

and the CBIC then sends the notification and explanatory information to the 

embassy/foreign authority of the country to which the subject chemical is being exported. 

For non-CBI packages, TAIS sends the notification and explanatory information to the 

embassy/foreign authority.

5) If the receiving country requests further information, the request comes directly to IMD. 

IMD sends the request to TAIS. TAIS obtains and/or generates the needed information, 

and sends the package back to IMD for formal signature and transmittal to the requesting 

country’s embassy or authority.

The Export Notification Tracking System (ENTS), which is maintained by TAIS, 

currently houses approximately 162,000 records, dating back to 1989. The ENTS database is 

modified daily with new, incoming records of chemical exports to foreign countries. Updates 

also incorporate regulatory changes affecting the chemicals that are subject to EPA’s TSCA 

section 12(b) export notification rule at 40 CFR 707.

EPA is continuing to explore the feasibility of developing and implementing an optional 

electronic data reporting system for the ease of respondents, which could result in a significant 

burden reduction. The projected reporting system is designed to be a user-friendly interface for 

parties engaged in reporting under TSCA sections 4, 5, 8, and 12(b). Thus, the submission of 

information to EPA will be less expensive, faster, and more efficient once this technology is 

fully applied.

4(c) Small Entity Flexibility

TSCA section 12(b) does not exempt small businesses. However, most reporting has 

been by large companies, because they do most of the exporting. In any case, the burden on any 

exporter is minimal, because it should take no more than one-half hour to prepare a TSCA 

section 12(b) notice and mailing costs are minimal.

4(d) Collection Schedule

In general, there are basically two collection schedules related to the TSCA section 12(b) 

export notification requirements, i.e., a one-time collection and an annual collection. On an 

annual basis, excluding TSCA section 4 chemicals, an exporter must submit only one TSCA 

section 12(b) notice for each country to which a chemical subject to TSCA section 12(b) is 

exported. For TSCA section 4 chemicals, an exporter must only submit one TSCA section 12(b) 

notice for the first export or intended export to a particular country.

If the collection of information was conducted less frequently, the statutory requirements 

would not be met.
9

5 THE RESPONDENTS AND THE INFORMATION REQUESTED

5(a) Respondents/NAICS Codes

Respondents to this collection are exporters of chemical substances, which are mostly

chemicals companies classified under NAICS Codes 325 and 32411.

5(b) Information Requested

(i) Data Items

Respondents are required to include the following information in their export 

notification: 

 the name and address of the exporter; 

 the name of the chemical; 

 the country of import; 

 the date of export or intended export; and

 the TSCA section 4, 5, 6 or 7 action that triggers the notice.

(ii) Respondent Activities

In providing the required TSCA section 12(b) export notification, the respondent 

(exporter) is likely to engage in the following activities:

 Compile and maintain a list of chemical products manufactured by the company that are 

also subject to a TSCA section 4, 5, 6 or 7 action (e.g., compare list of their chemicals 

with EPA’s list of TSCA section 12(b) chemicals);

 Check this list against outgoing orders to determine if a product/chemical on the list is 

expected to be exported to a customer outside of the U.S.;

 If it is, identify whether a TSCA section 12(b) notice is required (e.g., is it the first 

shipment to that country this year?); and

 If product/chemical is on the list and a TSCA section 12(b) notice is required, complete 

the required export notice and forward it to EPA within the required time period.

6 ESTIMATING THE BURDEN AND COST OF THE COLLECTION

The purpose of this analysis is to determine the incremental cost to industry and to the 

EPA associated with export reports that are submitted to the Agency under the TSCA section 

12(b) reporting requirements.

6(a) Estimating the Respondent Burden

The burden to respondents of this information collection activity comprises the time 

required to perform the steps outlined in section 3 of this document.
10

For the purpose of this section, a notification is a package received by the EPA by one 

company. One company may submit more than one notification per year. Each notification may

contain several chemicals and/or countries. 

Ever since a change in reporting requirements published on November 14, 2006, there is 

a one-time notification requirement for exporters of chemical substances or mixtures. In addition, 

the change required the Agency to notify foreign governments once after it receives the first 

export notification from an exporter. The shift to one-time-only export notification in the 

amendments will affect almost all notifications received under TSCA section 5 (EPAB 2006). 

EPA also promulgated de minimis concentration levels below which notification will not be 

required for the export of any chemical for which export notification under TSCA section 12(b) 

is otherwise required.

For the purposes of this ICR, the EPA used the average number of submitters and 

notifications from FY 2009, 2010, and 2011 as estimates for the number of submitters and 

notifications for FY 2012-2014. 

Compile List. Since this information collection activity has been in place for twenty

years, most respondents will have already developed a list of their products subject to TSCA 

section 12(b) reporting. Respondents need only check for new regulations promulgated and any 

new products exported by the company. Updating the list is estimated to take an average of one 

hour of technical time (which may also include some proportion of legal time). This could vary

depending on the number of products from two hours per year up to two hours per month of 

technical time (which may also include some proportion of legal time). This will vary depending 

on the number of products exported by the company and the number of their products subject to 

TSCA section 12(b).

The number of submitters per year who report under TSCA section 12(b) has varied over 

time, rising from around 160 in 1991 to over 460 in 2000, and declining since. EPA estimates 

that there will be a decrease in the number of submitters to around 240 in the near-future years 

(average of FY 2009, 2010, and 2011). This is a decrease from the previous ICR estimate of 300 

submitters. Of these 240 submitters, EPA estimates that 160 companies are near the lower 

estimate of 2 hours per year, and 80 companies are near the upper estimate of 24 hours per year. 

EPA conservatively retains the estimate that 80 exporters are near the upper estimate of 24 hours 

per year, as it is likely that lower-volume submitters will be the ones exempted by these 

amendments because they will be filing notices under TSCA section 12(b) for the first time. The 

previous ICR estimated 200 firms near the two-hour estimate. Compiling the list for all 

respondents is estimated to take 2,240 hours (2 hours x 160 firms plus 24 hours x 80 firms), or an 

average of 9.3 hours per firm per year. 

Write or Revise Letter. Companies that export chemicals subject to TSCA section 12(b) 

reporting must prepare an export notification to send to EPA. Time for initial preparation of the 

export notice probably varies depending on whether the company has prior experience with this 

program, but this step is estimated to take an average of one hour of technical time (which may

also include some proportion of legal time) per year for each company subject to TSCA section 
11

12(b) reporting. EPA estimates a total of 240 hours (1 hour x 240 firms) per year in letter 

writing or revising.

Check Orders and Send Notices. The 240 companies that export chemicals subject to 

TSCA section 12(b) reporting must check outgoing shipments against the list of their products 

described above. A form letter notifying EPA is printed out detailing where the shipment is 

going for a TSCA section 12(b) chemical if it is the first shipment to the importing country. This 

whole process is estimated to take an average one half hour of clerical time per notice.

The annual number of submitted notices has varied substantially over time, but without 

any obvious trend. The number has been consistently in the range of 3,000 to 12,000 

submissions, with a peak of over 11,600 in 2000, and with more recent years being slightly

lower. EPA therefore estimates that the number of notices in near-future years will average 

about 3,090 (average of FY 2009, 2010 and 2011). This is a decrease from the previous ICR 

estimate of 3,500 notices. For 240 firms, that indicates an average of roughly 13 notices per year 

per firm. Total time for this task will be 1,545 hours (3,090 x 0.5 hours each).

TABLE 1: ANNUAL AVERAGE BURDEN PER RESPONDENT FACILITY

BURDEN HOURS

ACTIVITY TECHNICAL CLERICAL TOTAL

Compile list 9.3 - 9.3

Write letter 1 - 1

Check order and send notice - 6.5 6.5

Total 10.3 6.5 16.8

TABLE 2: ANNUAL AGGREGATE BURDEN

BURDEN HOURS

ACTIVITY TECHNICAL CLERICAL TOTAL

Compile list 2,240 - 2,240

Write letter 240 - 240

Check order and send notice - 1,545 1,545

Total 2,480 1,545 4,025

Average burden hours per notice 0.80 0.5 1.30

It is estimated that the annual number of notices to be submitted for FY 2012-2014 will 

be 3,090. Estimating that the number of respondents will be 240, the average number of notices 
12

submitted per respondent will be roughly 13. The previous ICR estimated 12 notices per 

respondent (3,500/300).

6(b) Estimating the Respondent Cost

The costs to respondents is based on the time needed to complete the tasks listed in 

section 3, the hourly cost of labor at appropriate levels (labor rates), the number of facilities 

affected, and the number of reports generated. There are also costs for mailing. There are no 

specific capital or overhead costs associated directly with this information collection activity.

Loaded labor rates, including fringe costs, are $69.14 for management time, $61.71 for 

technical time, and $28.98 for clerical time. These labor rates are higher than previous estimates 

used and result from increased wages indicated in the BLS data.1

Companies will also incur a cost of $15.35 per export notice to send the letter to EPA via 

registered mail ($10.95 for registered mail, $3.95 for a return receipt, and $0.45 postage). 

Aggregate annual costs for mailing will be $47,432 ($15.35 x 3,090).

TABLE 3: ANNUAL COST PER RESPONDENT FACILITY (WITH 13 NOTICES)

ANNUAL COST

ACTIVITY TECHNICAL CLERICAL TOTAL

Compile list $573.90 - $573.90

Write letter $61.71 - $61.71

Check order and send notice - $188.37 $188.37

Mailing cost - - $199.55

Total $635.61 $188.37 $1,023.53

 

1 Labor rates are published December 2010 data from BLS for all manufacturing industries. The 

estimates include fringe benefits and 17% overhead.
13

TABLE 4: ANNUAL AGGREGATE RESPONDENT COST

ANNUAL COST

ACTIVITY TECHNICAL

$61.71/hr

CLERICAL

$28.98/hr

TOTAL

Compile list $138,230 - $138,230

Write letter $14,810 - $14,810

Check order and send notice - $44,774 $44,774

Mailing cost - - $47,432

Total $153,040 $44,774 $245,246

6(c) Estimating Agency Burden and Cost

Agency unit costs are based on past TSCA section 12(b) analyses, including the previous 

ICR, and on contacts with the Environmental Assistance Division (EAD), which administered 

the 12b notification process before IMD. EPA’s cost estimates are based on past experience with 

these activities. The Agency cost can be divided into three parts: receiving and processing 

incoming notices, preparing and mailing notifications to importing countries, and responding to 

requests for information and clarification from companies and importing countries. The 

allocation of burden hours and costs among these three parts is not exact, but the analysis below 

is reasonably accurate in terms of the overall burden estimate and the approximate allocation of 

that burden among these tasks.

In the first task, notices are received from firms that intend to export a product covered 

by this rule, the forms are checked for completeness, and the submissions are logged into a 

document control system. Based on conversations with the workers responsible for this task, 

about ten notifications can be processed per hour. EPA projects that an average of 3,090 

notifications will be received per year over the period covered by this ICR, requiring 

approximately 309 hours of support. This work is currently done by technical EPA staff with a 

fully-loaded labor rate of $77.62 per hour (December 2010) and thus is projected to cost $23,985 

per year over the period of this ICR.

In the second task, workers prepare letters of notice which are subsequently reviewed and 

sent out to importing countries. Not all notifications submitted require that a notice be sent out. 

This work averages approximately 30 minutes per notice. EPA estimates that the reduction in 

notices sent to foreign governments will be proportional to the reduction in notifications received 

under that section. EPA projects an average of 22 notification letters mailed each year (average 

of FY 2009, 2010, and 2011 notification letters mailed). This yields a burden of approximately

11 hours annually. This work is currently done by technical EPA staff with a fully-loaded labor 

rate of $77.62 per hour and thus is projected to cost $854 yearly.
14

The cost of mailing a notification can vary from $15.35 to $31.85, depending on whether 

it is sent to an embassy in the US or to an overseas destination and assuming the notice is 

registered with a return receipt ($10.95 for registered mail, $3.95 for a return receipt, and $0.45 -

$16.95 (international) postage). The average mailing cost of $23.60 and a total annual mailing 

cost of $519 ($23.60*22).

The burden described above covers the routine tasks of handing both incoming notices 

and outgoing notifications. The totals above also include a certain amount of time spent 

responding to routine requests for information, since data are not available to separate this out 

from the other tasks. Based on conversations with EAD staff, the work of responding to nonroutine requests for information and clarification from industry and importing countries, assisting 

the contractor staff in handling non-routine issues, and handling other tasks associated with the 

TSCA section 12(b) program can be expected to require about 20% of the time of a GS-13 Step 5 

EPA employee, or roughly 400 hours per year. Following the 2010 federal employee wage scale 

and assuming an additional 60% to cover fringe benefits, that represents an annual cost of 

approximately $31,048 ($77.62*400) (OPM, 2010).

TABLE 5: ESTIMATED BURDEN AND COSTS FOR THE FEDERAL GOVERNMENT

BURDEN COST

Processing of notices from companies 309 hours $23,985

Processing of notifications to importing countries 11 hours $854

EPA staff time, responding to information requests, etc. 400 hours $31,048

Mailing cost of notifications $519

Total 720 hours 

(0.35 FTEs)

$56,406

6(d) Bottom Line Burden Hours and Cost Tables

Respondent Burden and Costs

Total respondent annual burden hours = 4,025 hours

Total respondent annual costs = $245,246

Agency Burden and Costs

Agency burden hours: 0.35 FTEs = 720 hours

Agency annual costs = $56,406

6(e) Reasons for Change in Burden 

There is a decrease of 825 hours (from 4,850 hours to 4,025 hours) in the total estimated 

respondent burden compared with that identified in the information collection most recently 
15

approved by OMB. This decrease represents the net effect of a decrease in the estimated number 

of notices sent to EPA and a decrease in the number of firms sending notices, based on EPA’s 

recent experience with TSCA section 12(b) notices. 

On November 14, 2006, EPA made amendments to the Toxic Substances Control Act 

section 12(b) export notification rule at Subpart D of 40 CFR Part 707. There was a change to 

the reporting requirements. The first amendment changed the annual notification requirement for 

exporters of chemicals for which certain actions have been taken under TSCA. Previously, the 

TSCA section 12(b) rule required exporters to notify EPA of the first export or intended export 

to a particular country in a calendar year for chemical substances subject certain actions under 

TSCA sections 5, 6, or 7. For chemicals subject to a final TSCA section 4 action, exporters were 

required to submit an export notification only for the first export or intended export to a 

particular country. The amendments changed the annual notification requirement to a one-time 

export notification requirement per each destination country for each exporter of a chemical 

substance subject to TSCA sections 5(a)(2), 5(b), 5(e)(1), and 5(e)(2). For exports of chemical 

substances subject to TSCA sections 5(f), 6 or 7 actions, however, the exporter will continue to 

submit an annual notification for each chemical exported to each country of destination. EPA is 

also establishing de minimis concentration levels below which notification will not be required 

for the export of any chemical that is the subject of an action under TSCA sections 4, 5, 6, or 7 of 

TSCA. For these reasons, the number of submitters, number of notifications and notification 

letters decreased since the last ICR.

With these changes in reporting requirements, the costs are predicted to change as a result 

of the number of notifications and submitters declining. According to a prior analysis on the 

2006 amendments to TSCA section 12(b), it was estimated that the reduction in the number of 

notifications and submitters due to TSCA section 5 reporting would be 50% in each year after 

the amendments go into effect (EPAB 2006). Based on average numbers of TSCA section 12(b) 

notifications from 1996-2004, TSCA section 5 notifications comprised approximately 25% of the 

total notifications (EPAB 2006). Therefore, the reduction in TSCA section 5 notifications should 

be about 13% of the total TSCA section 12(b) notifications. In addition, due to the de minimis

exemption EPA conservatively estimates a 20% reduction for all TSCA sections (EPAB 2006). 

Prior to the TSCA section 12(b) amendments, the 2006 data showed about 5,100 

notifications and 330 submitters. After applying the reductions outlined in the TSCA section 

12(b) economic analysis (EPAB 2006), a 50% reduction in section 5 notifications and a 20% 

total reduction in notifications due to the de minimis exemption, the estimated number of 

notifications were 3,550 and 230 submitters. The predictions from this ICR, which were 

generated from the averages of FY 2009, 2010 and 2011 data, were 3,090 notifications and 240 

submitters. 

6(f) Burden Statement

The annual public burden for this collection of information, which is approved under 

OMB Control No. 2070-0030, is estimated to be 1.3 hours per response. Burden is defined in 5 

CFR 1320.3(b). 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 
16

OMB control number for this information collection appears above. In addition, the OMB 

control numbers for EPA’s regulation, after initial display in the final rule, are listed in 40 CFR 

part 9.

The Agency has established a public docket for this ICR under Docket ID No. EPA-HQOPPT-2012-0258, which is available for online viewing at www.regulations.gov, or in person 

viewing at 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 Pollution Prevention and 

Toxics Docket is (202) 566-0280. You may submit comments regarding 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.

Submit your comments referencing Docket ID No. EPA-HQ-OPPT-2012-0258 and OMB 

Control No. 2070-0030, to (1) EPA online using www.regulations.gov (our preferred method), or 

by mail to: Document Control Office (DCO), Office of Pollution Prevention and Toxics (OPPT), 

Environmental Protection Agency, Mail Code: 7407T, 1200 Pennsylvania Ave., NW, 

Washington, D.C. 20460, and (2) OMB by mail to: Office of Information and Regulatory

Affairs, Office of Management and Budget (OMB), Attention: Desk Officer for EPA, 725 17th 

Street, NW, Washington, DC 20503.

Sources

40 CFR Parts 707 and 799. Federal Register: November 14, 2006. Volume 71, Number 219 

Rules and Regulations 66234-66245. January 2009 <wais.access.gpo.gov>.

“Employer Costs for Employee Compensation Supplementary Tables: December 2007.” US 

Bureau of Labor Statistics. January 2009.

“Final Economic Analysis of the Amendments to TSCA Section 12(b) Export Notification 

Requirements.” Economic and Policy Analysis Branch. August 2006. 

“Office of Personnel Management, Salary Table 2007-DCB, Washington-Baltimore-Northern 

Virginia, DC-MD-PA-VA-WV.” January 2009 

<http://www.opm.gov/oca/07tables/html/dcb.asp>.