Document ID: EPA-HQ-OPPT-2008-0906-0002
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2009-03-06T05:00Z

SEQ CHAPTER \h \r 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.:  0795.13	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 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.  To reduce the notification
burden on industry and EPA and to facilitate foreign governments’
review of export notifications, EPA issued a final rule on July 27, 1993
(58 FR 40238) that amended the December 16, 1980, rule.  The amended
rule allows exporters of chemicals subject to TSCA section 4 test rules
to submit a one-time notice to EPA for the export of a TSCA section 4
chemical to each particular country, instead of providing annual
notification.  This final rule did not change the export notification
requirements for chemical substances that are subject to sections 5, 6
and 7 of TSCA.  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, 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 to TSCA
Section12(b) Export Notification Requirements” at:     HYPERLINK
"http://www.epa.gov/opptintr/chemtest/main12b.htm" 
http://www.epa.gov/opptintr/chemtest/main12b.htm ).  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:  
  HYPERLINK "http://www.epa.gov/opptintr/chemtest/sunset.htm" 
http://www.epa.gov/opptintr/chemtest/sunset.htm ).  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 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: 

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.

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.

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.

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 no 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 alternate sources were
identified.  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

	  SEQ CHAPTER \h \r 1 Prior to submission to OMB, this ICR will be made
available to the public for comment through a Federal Register notice. 
The public will have 60 days to provide comments.  Any comments received
will be given consideration when completing the supporting statement
that is submitted to OMB.

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.

	  SEQ CHAPTER \h \r 1 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 original or renewal ICR to OMB for
review and approval.  In accordance with this regulation, EPA will
pursue additional consultations with interested parties during the
development of the renewal of this collection.

	3(d)	Effects of Less Frequent Collection

	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.  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.

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
Environmental Assistance Division (EAD) in OPPT.  The contractor-run
TSCA Assistance and Information Service (TAIS – also known as the TSCA
Hotline), processes all of the TSCA section 12(b) export notifications
and prepares the letters and related materials used to notify
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:



All incoming notices are received in OPPT’s Confidential Business
Information Center (CBIC), which is managed by OPPT’s Information
Management Division (IMD).

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.



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

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 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.

If the receiving country requests further information, the request comes
directly to EAD.  EAD sends the request to TAIS.  TAIS obtains and/or
generates the needed information, and sends the package back to EAD 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.

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.

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. The average number of chemicals per notification is
about 3. 

	

In the past, most companies complied by compiling a list of products
exported by the company that are subject to TSCA section 12(b)
reporting.  Each outgoing order was checked to see if the chemical or
product is on the list and, depending on the chemical, whether it was
the first shipment to the importing country or the first shipment of the
calendar year to that country. However, 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 requires 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 2007 and 2008 as estimates for the
number of submitters and notifications for 2009-2011, since they are the
years which reflect the current changes. The majority of the decline in
submitters and notifications is assumed to have been realized in these
years.

	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 300 in the near-future years
(average of FY 2007 and 2008).  This is a decrease from the previous ICR
estimate of 350 submitters.  Of these 300 submitters, we estimate that
200 companies are near the lower estimate of 2 hours per year, and 100
companies are near the upper estimate of 24 hours per year. EPA
conservatively retains the estimate that 100 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 250 firms near the 2-hour estimate.  Compiling
the list for all respondents is estimated to take 2,800 hours (2 hours x
200 firms plus 24 hours x 100 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 12(b) reporting.  We
estimate a total of 300 hours (1 hour x 300 firms) per year in letter
writing or revising.

	Check Orders and Send Notices.  The 300 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 4,000 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 3,500 (average of FY 2007 and 2008).  This is a decrease from the
previous ICR estimate of 8,600 notices.  For 300 firms, that indicates
an average of roughly 12 notices per year per firm.  Total time for this
task will be 1,750 hours (3,500 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	6

Total	10.3	6	16.3



TABLE 2: ANNUAL AGGREGATE BURDEN

	BURDEN HOURS

ACTIVITY	TECHNICAL	CLERICAL	TOTAL

Compile list	2,800	-	2,800

Write letter	   300	-	   300

Check order and send notice	-	1,750	1,750

Total	3,100	1,750	4,850

Average burden hours per notice	0.89	0.5	1.39

	It is estimated that the annual number of notices to be submitted for
2009-2011 will be 3,500.  Estimating that the number of respondents will
be 300, the average number of notices submitted per respondent will be
roughly 12.  The previous ICR estimated 25 notices per respondent
(8,600/350).

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 $69.21 for management
time, $55.42 for technical time, and $27.59 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 $12.62 per export notice to send
the letter to EPA via registered mail ($10 for registered mail, $2.20
for a return receipt, and $0.42 postage).  Aggregate annual costs for
mailing will be $44,170 ($12.62 x 3,500).



TABLE 3: ANNUAL COST PER RESPONDENT FACILITY (WITH 12 NOTICES)

	ANNUAL COST

ACTIVITY	TECHNICAL	CLERICAL	TOTAL

Compile list	$515.41	-	$515.41

Write letter	$55.42	-	$55.42

Check order and send notice	-	$165.54	$165.54

Mailing cost	-	-	$151.44

Total	$570.83	$165.54	$887.81

TABLE 4: ANNUAL AGGREGATE RESPONDENT COST

	ANNUAL COST

ACTIVITY	TECHNICAL

$55.42/hr	CLERICAL

$27.59/hr	TOTAL	PRESENT VALUE*

Compile list	$155,176	-	$155,176	$435,737

Write letter	$16,626	-	$16,626	$46,686

Check order and send notice	-	$48,283	$48,283	$135,580

Mailing cost	-	-	$44,170	$124,030

Total	$171,802	$48,283	$264,255	$742,033

* Present value for 3 years at a 7% discount rate.

	6(c)	Federal Government Burden and Cost

	Agency unit costs are based on past TSCA section 12(b) analyses,
including the previous ICR, and on recent contacts with the
Environmental Assistance Division (EAD).  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 3,500 notifications will be received per year over
the period covered by this ICR, requiring approximately 350 hours of
support.  This work was previously done by contractor staff but is
currently done by technical EPA staff with a fully-loaded labor rate of
$55.42 per hour and thus is projected to cost $19,397 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 a total of 54 notification letters mailed each year (FY 2007
notification letters mailed, which reflects the amendments).  This
yields a burden of approximately 27 hours annually.  This work was
previously done by contractor staff but is currently done by technical
EPA staff with a fully-loaded labor rate of $55.42 per hour and thus is
projected to cost $1,496 yearly.

	The cost of mailing a notification can vary from $4.80 to $22.00,
depending on whether it is sent to an embassy in the US or to an
overseas destination and depending on whether the notice is registered. 
Mailing cost was estimated in 1998 to average approximately $4.50 per
notification, but postal rates have subsequently increased.  Assuming a
generous 50% increase in postal rates for the last ICR, the projected
average mailing cost was $6.75. A 50% increase was applied to the
current ICR, projecting the average mailing cost of $13.50 and a total
annual mailing cost of $729 ($13.50*54).

	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 non-routine 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 2007 federal employee wage scale, and assuming an
additional 60% to cover fringe benefits, that represents an annual cost
of approximately $28,800 ($72*400) (OPM 2007).



TABLE 5: ESTIMATED COSTS FOR THE FEDERAL GOVERNMENT

	ANNUAL COST	PRESENT VALUE *

Processing of notices from companies	$19,397	$54,467

Processing of notifications to importing countries	$1,496	$4,201

EPA staff time, responding to information requests, etc.	$28,800	$80,871

Mailing cost of notifications	$729	$2,047

Total	$50,422	$141,586

* Present value calculated for 3 years at a 7% discount rate.

	6(d)	Total Burden and Costs to Industry

	The total estimated industry burden associated with this collection, as
noted in Table 2, is estimated to be 4,850 hours annually.  The
associated cost, as noted in Table 4, is estimated to be $264,255
annually.

	6(e)	Bottom Line Burden Hours and Cost Tables

	(i) 	Respondent Tally

		Annual Respondent Burden: 4,850 hours.

		Annual Respondent Costs: $264,255.

	(ii) 	The Agency Tally

		Annual Agency Costs: $50,422.

	6(f)	Reasons for Change in Burden 

	There is a decrease of 2,700 hours (from 7,550 hours to 4,850 hours) in
the total estimated respondent burden compared with that identified in
the information collection most recently 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.  SEQ CHAPTER \h \r 1   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 section 5, 6, or 7.    SEQ CHAPTER \h \r 1
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 section 5(a)(2), 5(b), 5(e)(1), and 5(e)(2). 
For exports of chemical substances subject to 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.  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 TSCA 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 2007 and 2008 data,
were 3,500 notifications and 300 submitters. Therefore, there may be
further reductions in the number of submitters in the future.

	6(g)	Burden Statement

	The annual public burden for this collection of information, which is
approved under OMB Control No. 2070-0030, is estimated to be 1.39 hours
per response.  According to the Paperwork Reduction Act, “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.  For this collection it 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 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.

	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-OPPT-2008-0906, which is available for public viewing at the EPA
Docket Center (EPA/DC), EPA West, Room B102, 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.  An electronic version of the public docket is available at
http://www.regulations.gov.  Use regulations.gov 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.  Once in the web site, click the Advanced
Search link at the top of the page and select Docket Search from the
drop-down menu.  At the Advanced Search page, select Environmental
Protection Agency in the Agency field; in the Docket ID field key in the
docket ID number identified above; scroll to the bottom of the page to
click on Submit.  At the Docket Search Results page click on the Docket
ID to display all of the documents found within this docket ID number. 
Also, you can send comments to the Office of Information and Regulatory
Affairs, Office of Management and Budget, 725 17th Street, NW,
Washington, DC 20503, Attention: Desk Office for EPA.  Please include
the EPA Docket ID No. Docket ID No. EPA-HQ-OPPT-2008-0906 and OMB
Control No. 2070-0030 in any correspondence.

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

  SEQ CHAPTER \h \r 1 

ATTACHMENT 1

Toxic Substances Control Act, Section 12(b)

15 U.S.C. 2611(b)

Sec. 2611. - Exports

   *   *   *

(b) Notice 

If any person exports or intends to export to a foreign country a
chemical substance or mixture for which the submission of data is
required under section 2603 or 2604(b) of this title, such person shall
notify the Administrator of such exportation or intent to export and the
Administrator shall furnish to the government of such country notice of
the availability of the data submitted to the Administrator under such
section for such substance or mixture. 

If any person exports or intends to export to a foreign country a
chemical substance or mixture for which an order has been issued under
section 2604 of this title or a rule has been proposed or promulgated
under section 2604 or 2605 of this title, or with respect to which an
action is pending, or relief has been granted under section 2604 or 2606
of this title, such person shall notify the Administrator of such
exportation or intent to export and the Administrator shall furnish to
the government of such country notice of such rule, order, action, or
relief



ATTACHMENT 2

Chemical Imports and Exports

40 CFR 707, Subpart D

Code of Federal Regulations - 40 CFR part 707 (As of July 1, 2000)

TITLE 40--PROTECTION OF ENVIRONMENT

CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)

PART 707 - CHEMICAL IMPORTS AND EXPORTS

§  707.20  Chemical substances import policy. 

(a) Scope. (1) This statement addresses the policy of the Environmental
Protection Agency (EPA) on importation of chemical substances, mixtures,
and articles under section 13 of the Toxic Substances Control Act (TSCA;
15 U.S.C. 2601 et seq.). In particular, it addresses aspects of the
regulation promulgated by the United States Customs Service (Customs),
Department of the Treasury (19 CFR 12.118 through 12.127, and 127.28
[amended]) to implement section 13 of TSCA, 15 U.S.C. 2612. Section 13
requires the Secretary of the Treasury to refuse entry into the Customs
territory of the United States of a chemical substance, mixture, or
article if it does not comply with rules in effect under TSCA, or if it
is offered for entry in violation of TSCA or rules or orders under TSCA.

(2) In addition to this statement of policy, EPA will continue, as
necessary, to address problems associated with imports in rulemaking and
other actions under individual sections of TSCA, i.e., sections 4, 5, 6,
7, 8, and 12. Sections 5, 6, and 7 apply directly to imports subject to
the section 13 requirements. Section 12 may apply to export of a
shipment that is refused entry under section 13. Importers may have
obligations under sections 4 and 8; section 4 and 8 requirements for
importers would not apply to individual chemical shipments and thus are
not included under section 13 requirements. Interested persons should
refer to the records of these individual rulemaking actions for specific
information and guidance. 

(b) Objectives. (1) TSCA is intended to be comprehensive, and assure
protection of health and the

environment from unreasonable risks associated with chemicals whether
the chemicals are imported or produced domestically. This intent is
manifested by the inclusion of importation in the Act's definition of
the term "manufacture": "[M]anufacture means to import *    *    *,
produce, or manufacture" (15 U.S.C. 2602(7)). Thus, importers are
responsible for insuring that chemical importation complies with TSCA
just as domestic manufacturers are responsible for insuring that
chemical manufacture complies with TSCA. 

(2)(i) The section 13 rule requires importers to sign the following
statement for each import of chemical substances subject to TSCA: "I
certify that all chemical substances in this shipment comply with all
applicable rules or orders under TSCA and that I am not offering a
chemical substance for entry in violation of TSCA or any applicable rule
or order under TSCA." The certification will document that, in
accordance with TSCA, the importer has taken the necessary steps to
insure compliance. 

(ii) The section 13 rule requires importers of chemicals not subject to
TSCA (e.g., pesticides) to certify that compliance with TSCA is not
required. Importers must certify this by signing the statement: "I
certify that all chemicals in this shipment are not subject to TSCA."
This is appropriate when a chemical import is not clearly identified as
a pesticide or other chemical not subject to TSCA. 

(3) The United States is involved in a major effort toward international
harmonization in the control of chemicals. At such time as international
agreement is reached on this issue, EPA would be prepared to modify its
policy if necessary. EPA believes that its international harmonization
efforts in the control of chemicals will protect health and the
environment while fulfilling its obligations under the Trade Agreements
Act of 1979. 

(c) The section 13 rule -- (1) General certification. (i) The rule
promulgated under section 13 of TSCA by Customs, in consultation with
EPA, implements the requirement of section 13 that chemical substances,
mixtures, or articles not in compliance with TSCA, or whose importation
is not in compliance with TSCA, shall be denied entry into the customs
territory of the United States. The rule requires that importers certify
by a statement, on the entry document or invoice, that any shipment of a
chemical substance subject to TSCA, imported in bulk or as part of a
mixture, complies with TSCA, and that it is not offered for entry in
violation of TSCA or any rule or order under TSCA, or that the chemicals
imported are not subject to TSCA. 

(ii) The certification applies to TSCA sections 5, 6, and 7. 

(iii) EPA expects that this certification will be based upon actual
knowledge of the importer in most cases. However, EPA realizes that
sometimes importers may not have actual knowledge of the chemical
composition of imported mixtures. In these cases, the importer should
attempt to discover the chemical constituents of the shipment by
contacting another party to the transaction (e.g., his principal or the
foreign manufacturer). This person may be able to identify the
components of the mixture, or at least state that the substances comply
with TSCA. The greater the effort an importer makes to learn the
identities of the imported substances and their compliance with TSCA,
the smaller his chance of committing a violation by importing a
noncomplying shipment. If a shipment is ultimately determined to have
violated TSCA, the good faith efforts of the importer to verify
compliance, as evidenced by documents contained in his files, may
obviate or mitigate the assessment of a civil penalty under section 16
of TSCA. 

(2) EPA enforcement. (i) EPA and Customs will monitor chemical imports
to determine if shipments and their import comply with the certification
requirements and the substantive mandates of TSCA. Customs will refuse
entry to any shipment until such time as the certification is properly
submitted. Customs will also detain a shipment if there are reasonable
grounds to believe that such shipment or its import violates TSCA or
regulations or orders thereunder. A violative shipment must either be
brought into compliance, exported, destroyed, or voluntarily abandoned
within the time periods prescribed in 19 CFR 12.124 of the section 13
rule. 

(ii) When EPA determines that a shipment should be detained, EPA will
identify the reasons for the detention and the necessary actions for an
importer to bring the shipment into compliance with TSCA. If EPA has
given this information to Customs before the district director issues
the detention notice, the information will become part of the detention
notice. The importer should contact one of the following EPA regional
offices for guidance as to the proper procedures to correct any
deficiencies in the shipment. 

Region I - John F. Kennedy Federal Building, Boston, MA 02203
(617-223-0586) 

Region II - 26 Federal Plaza, New York, NY 10278 (201-321-6669) 

Region III - Curtis Building, 6th and Walnut Streets, Philadelphia, PA
19106 (215-597-7668) 

Region IV - 345 Courtland Street, NE., Atlanta, GA 30365 (404-881-3864) 

Region V - 77 West Jackson Boulevard, Chicago, IL 60604 (312-353-2291) 

Region VI - 1201 Elm Street, Dallas, TX 75270 (214-767-2734) 

Region VII - 324 East 11th Street, Kansas City, MO 64106 (816-374-3036) 

Region VIII - 1860 Lincoln Street, Denver, CO 80295 (303-837-3926) 

Region IX - 215 Fremont Street, San Francisco, CA 94105 (415-974-8119) 

Region X - 1200 Sixth Avenue, Seattle, WA 98101 (206-442-2871) 

(iii) If Customs detains or refuses entry of a shipment (other than for
failure to make the general certification) and the importer takes
measures necessary to bring the shipment into conformity with the
requirements of TSCA, EPA officials will reassess the shipment to
determine its current compliance status. When a shipment is no longer in
violation, EPA will notify the district director and the importer. The
district director will then release the shipment. This notice will also
serve as a determination to permit entry under 19 CFR 12.123(c) if a
shipment is brought into compliance before the 19 CFR 12.123(c)
decision-making process has been completed. If compliance is achieved
after a 19 CFR 12.123(c) determination (adverse to the importer) has
been made, the EPA notice to the district director will serve as a
reversal of the decision to refuse entry. 

(3) EPA assistance. Assistance in determining whether a chemical
shipment is in compliance with TSCA can be obtained from the Director,
Environmental Assistance Division (7408), Office of Pollution Prevention
and Toxics, U.S. Environmental Protection Agency, Room E-543B, 1200
Pennsylvania Ave., NW., Washington, DC 20460, Telephone: (202) 554-1404,
TDD: (202) 544-0551. 

[48 FR 55464, Dec. 13, 1983, as amended at 60 FR 34463, July 3, 1995; 62
FR 1834, Jan. 14, 1997] 

§  707.60  Applicability and compliance. 

(a) Section 12(b) of the Toxic Substances Control Act requires any
person who exports or intends to export a chemical substance or mixture
to notify the Environmental Protection Agency of such exportation to a
particular country if any of the following actions have been taken under
the Act with respect to that chemical substance or mixture: 

(1) Data are required under section 4 or 5(b), 

(2) An order has been issued under section 5, 

(3) A rule has been proposed or promulgated under section 5 or 6, or 

(4) An action is pending, or relief has been granted under section 5 or
7. 

(b) No notice of export will be required for articles, except PCB
articles, unless the Agency so requires in the context of individual
section 5, 6, or 7 actions. 

(c) 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 section 12(b). PCBs
and PCB articles have the definitions published in § 761.3 of this
title respectively. 

(d) Any person who would be prohibited by a 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 section 12(b) of such intent to export or exportation. 

(e) Failure to comply with section 12(b) as set forth in these rules
will be considered a violation of section 15(3) of the Toxic Substances
Control Act, and will subject the exporter to the penalty, enforcement,
and seizure provisions of sections 16 and 17 of the Toxic Substances
Control Act. 

§  707.63  Definitions. 

The definitions set forth in the Toxic Substances Control Act, section
3, apply for this part. In addition, the following abbreviations and
definitions are provided for purposes of this rule: 

(a) EPA means the Environmental Protection Agency. 

(b) Exporter means the person who, as the principal party in interest in
the export transaction, has the power and responsibility for determining
and controlling the sending of the chemical substance or mixture to a
destination out of the customs territory of the United States. 

(c) Regulated chemical means any chemical substance or mixture for which
export notice is required under § 707.60. 

(d) TSCA means the Toxic Substances Control Act. 

§  707.65  Submission to agency. 

(a) Exporters must notify EPA of their export or intended export of each
regulated chemical in accordance with the following: 

(1) The notice must be in writing; 

(2)(i) The notice must be for the first export or intended export to a
particular country in a calendar year when data are required under
section 5(b), an order has been issued under section 5, a rule has been
proposed or promulgated under section 5 or 6, or an action is pending or
relief has been granted under section 5 or 7. 

(ii) The notice must be for the first export or intended export to a
particular country when data are required under section 4. 

(3) The notice must be postmarked within seven days of forming the
intent to export or on the date of export, whichever is earlier. A
notice of intent to export must be based on a definite contractual
obligation, or an equivalent intra-company agreement, to export the
regulated chemical. 

(b) If the EPA action that prompts the notice is a proposed rule, the
requirement to submit export notices to EPA shall begin thirty days
after publication of the action in the Federal Register. 

(c) Notices shall be marked "Section 12(b) Notice" and sent to the
Document Control Office (7407), Office of Pollution Prevention and
Toxics, U.S. Environmental Protection Agency, Room G-099, 1200
Pennsylvania Ave., NW., Washington, DC 20460. 

[45 FR 82850, Dec. 16, 1980, as amended at 53 FR 12522, Apr. 15, 1988;
58 FR 40242, July 27, 1993; 60 FR 34463, July 3, 1995]

§  707.67  Contents of notice. 

The notice to EPA shall include: 

(a) The name of the regulated chemical as it appears in the section 4,
5, 6, or 7 action. If a category is regulated, the name of the
individual regulated chemical within that category, as well as the
category, must be given. The name shall be that which appears in Volume
I of the EPA Chemical Substance Inventory, or its supplements, if the
chemical appears there. 

(b) The name and address of the exporter. 

(c) The country (countries) of import. 

(d) The date(s) of export or intended export. 

(e) The section (4, 5, 6, or 7) of TSCA under which EPA has taken
action. 

§  707.70  EPA notice to foreign governments. 

(a)(1) Notice by EPA to the importing country shall be sent no later
than 5 working days after receipt by the TSCA Document Processing Center
of the first annual notification for each regulated chemical when data
are required under section 5(b), an order has been issued under section
5, a rule has been proposed or promulgated under section 5 or 6, or an
action is pending or relief has been granted under section 5 or 7. 

(2) Notice by EPA to the importing country shall be sent no later than 5
working days after receipt by the TSCA Document Processing Center of the
first notification for each regulated chemical when data are required
under section 4. 

(b) Notices shall: 

(1) Identify the regulated chemical. 

(2) Summarize the regulatory action taken, or indicate the availability
of data under section 4 or 5(b) of TSCA. 

(3) Identify an EPA official to contact for further information. 

(4) Include a copy of the pertinent Federal Register notice. 

(c) Notices shall be sent to the country's ambassador in Washington, DC,
or other official designated by the foreign government, and to the
United States Department of State. 

[45 FR 82850, Dec. 16, 1980, as amended at 58 FR 40242, July 27, 1993]

§  707.72  Termination of reporting requirements. 

(a) The reporting requirements of subpart D of this part are terminated
for certain specific chemical substances and mixtures as set forth in
this paragraph. 

(1) When data required under part 766 of this chapter have been
submitted to EPA for a specific chemical substance produced by a
specific process, and the data show no positive test result as defined
in § 766.3 of this chapter, reporting is no longer required by persons
who export or intend to export that substance produced by that process. 

(2) [Reserved] 

(b) [Reserved] 

[52 FR 21437, June 5, 1987]

§  707.75  Confidentiality. 

(a) A person may assert a claim of confidentiality for any information
which is submitted to EPA in a notice. 

(b) Any claim of confidentiality must accompany the information at the
time it is submitted to EPA. In the notice, the submitter must clearly
identify the information that is claimed confidential by marking the
specific information on each page with a label such as "confidential
business information", "proprietary", or "trade secret". 

(c) Notwithstanding any claim of confidentiality, information outlined
in § 707.70 will be included in the EPA notice to the foreign
government. With this exception, EPA will disclose information that is
covered by a claim of confidentiality asserted in accordance with this
section only to the extent permitted by, and in accordance with, the
procedures set forth in TSCA and part 2 of this chapter. 

(d) If a person does not assert a claim of confidentiality for
information at the time a notice is submitted to EPA, the Agency may
make the information public, including placement in a public file,
without further notice to the person.

	1	Labor rates are published December 2007 data from BLS for all
manufacturing industries.  The estimates include fringe benefits and 17%
overhead.

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