Document ID: EPA-HQ-OW-2003-0064-0016
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2007-07-17T04:00Z

SEQ CHAPTER \h \r 1 

*** DRAFT ***

Information Collection Request:

Questionnaire for Nominees for the Annual National Clean Water Act
Recognition Awards 

EPA ICR # 1287.09

OMB Control No. 2040-0101

July  2007

Prepared for

U.S. Environmental Protection Agency

Office of Wastewater Management

1200 Pennsylvania Avenue, N.W.

Washington, DC 20460

Prepared by

Tetra Tech, Inc.

10306 Eaton Place, Suite 340

Fairfax, VA 22030

EPA Contract Number EP-C-05-046

EPA Work Assignment Number 1-43



CONTENTS

  TOC \o "1-3" \h \z \u    HYPERLINK \l "_Toc159912755"  Section 1:
Identification of the Information Collection	  PAGEREF _Toc159912755 \h 
1  

  HYPERLINK \l "_Toc159912756"  1(a) Title of the Information Collection
  PAGEREF _Toc159912756 \h  1  

  HYPERLINK \l "_Toc159912757"  1(b) Short Characterization/Abstract	 
PAGEREF _Toc159912757 \h  1  

  HYPERLINK \l "_Toc159912758"  Section 2: Need for and Use of the
Collection	  PAGEREF _Toc159912758 \h  2  

  HYPERLINK \l "_Toc159912759"  2(a) Need/Authority for the Collection	 
PAGEREF _Toc159912759 \h  2  

  HYPERLINK \l "_Toc159912760"  2(b) Practical Utility/Users of the Data
  PAGEREF _Toc159912760 \h  2  

  HYPERLINK \l "_Toc159912761"  Section 3: Non-duplication,
Consultations, and Other Collection Criteria	  PAGEREF _Toc159912761 \h 
2  

  HYPERLINK \l "_Toc159912762"  3(a) Non-duplication	  PAGEREF
_Toc159912762 \h  2  

  HYPERLINK \l "_Toc159912763"  3(b) Public Notice Required Prior to ICR
Submission to OMB	  PAGEREF _Toc159912763 \h  2  

  HYPERLINK \l "_Toc159912764"  3(c) Consultations	  PAGEREF
_Toc159912764 \h  2  

  HYPERLINK \l "_Toc159912765"  3(d) Effects of Less Frequent Collection
  PAGEREF _Toc159912765 \h  3  

  HYPERLINK \l "_Toc159912766"  3(e) General Guidelines	  PAGEREF
_Toc159912766 \h  3  

  HYPERLINK \l "_Toc159912767"  3(f) Confidentiality	  PAGEREF
_Toc159912767 \h  3  

  HYPERLINK \l "_Toc159912768"  3(g) Sensitive Questions	  PAGEREF
_Toc159912768 \h  3  

  HYPERLINK \l "_Toc159912769"  Section 4: The Respondents and the
Information Requested	  PAGEREF _Toc159912769 \h  3  

  HYPERLINK \l "_Toc159912770"  4(a) Respondents/SIC Codes	  PAGEREF
_Toc159912770 \h  3  

  HYPERLINK \l "_Toc159912771"  4(b) Information Requested	  PAGEREF
_Toc159912771 \h  4  

  HYPERLINK \l "_Toc159912772"  i) Data items, including record keeping
requirements	  PAGEREF _Toc159912772 \h  4  

  HYPERLINK \l "_Toc159912773"  ii) Respondent Activities	  PAGEREF
_Toc159912773 \h  4  

  HYPERLINK \l "_Toc159912774"  Section 5: The Information
Collected-Agency Activities, Collection Methodology, and Information
Management	  PAGEREF _Toc159912774 \h  4  

  HYPERLINK \l "_Toc159912775"  5(a) Agency Activities	  PAGEREF
_Toc159912775 \h  4  

  HYPERLINK \l "_Toc159912776"  5(b) Collection Methodology and
Management	  PAGEREF _Toc159912776 \h  4  

  HYPERLINK \l "_Toc159912777"  5(c) Small Entity Flexibility	  PAGEREF
_Toc159912777 \h  4  

  HYPERLINK \l "_Toc159912778"  5(d) Collection Schedule	  PAGEREF
_Toc159912778 \h  5  

  HYPERLINK \l "_Toc159912779"  Section 6: Estimating the Burden and
Cost of the Collection	  PAGEREF _Toc159912779 \h  5  

  HYPERLINK \l "_Toc159912780"  6(f) Reasons for change in burden	 
PAGEREF _Toc159912780 \h  7  

  HYPERLINK \l "_Toc159912781"  6(g) Burden Statement	  PAGEREF
_Toc159912781 \h  7  

 Appendices

Tables

  TOC \h \z \t "Table Title,1"    HYPERLINK \l "_Toc159913337"  Table 1.
Collection Burden for 200 Respondents	  PAGEREF _Toc159913337 \h  5  

  HYPERLINK \l "_Toc159913338"  Table 2. Estimated Review Burden of
States per Response	  PAGEREF _Toc159913338 \h  6  

  HYPERLINK \l "_Toc159913339"  Table 3. Summary of Federal Salaries	 
PAGEREF _Toc159913339 \h  6  

  HYPERLINK \l "_Toc159913340"  Table 4. Summary of Federal Travel to
National Awards Conference	  PAGEREF _Toc159913340 \h  7  

  HYPERLINK \l "_Toc159913341"  Table 5. Federal Recognition Awards Cost
Summary	  PAGEREF _Toc159913341 \h  7  

  HYPERLINK \l "_Toc159913342"  Table 6. Aggregate Burden for
Respondents and States Activities	  PAGEREF _Toc159913342 \h  7  

 Section 1: Identification of the Information Collection

1(a) Title of the Information Collection

Questionnaire for Nominees for the Annual National Clean Water Act
Recognition Awards. EPA ICR No. 1287.09, OMB Control No. 2040-0101

1(b) Short Characterization/Abstract

This questionnaire is developed to collect information for the
Environmental Protection Agency's (EPA) National Clean Water Act
Recognition Awards Program, formerly the National Wastewater Management
Excellence Awards Program. 

In 1985, EPA established the Operations and Maintenance (O&M) awards
program to provide a positive incentive for compliance with the National
Pollutant Discharge Elimination System (NPDES). Because of the successes
of the O&M Awards program, in 1988, EPA established the Beneficial
Biosolids Use awards (formerly Sludge awards). In 1989, the Pretreatment
awards were added. In 1990, EPA established the Combined Sewer Overflow
(CSO) and Storm Water (SW) Management awards programs. The questionnaire
provides the mechanism for the applicant to demonstrate outstanding and
innovative wastewater management practices. The Pretreatment awards
program is covered by ICR (OMB Control No. 2040-0009, EPA ICR No.
0002.12), approved through September 30, 2007. A framework to implement
the awards recognition program is at 40 CFR part 105. A copy is attached
in Appendix A.

The respondent will read the instructions for completing the
questionnaire. The respondent will use existing files, planning and
progress reports, and institutional memory to complete the
questionnaire. Based on the instructions provided with the
questionnaire, the respondent will compile the requested information.
The requested design and operating information should be readily
available from wastewater treatment facility or pollution abatement
program operating records. The data collection will include flow,
permit, operating and environmental data.

The information collection will be used by the respective awards program
in the Office of Water, Office of Wastewater Management to evaluate and
determine which pollution abatement achievements should be recognized.
Based on the collection, national panels will evaluate the nominee's
efforts and recommend finalists. As currently structured, the O&M awards
program has nine sub-categories to recognize municipal achievements
based on plant flows and treatment level. The Biosolids awards program
has four sub-categories which recognize municipal biosolids operations,
technology and research achievements, and public acceptance. The CSO
awards program has one sub-category which recognizes municipal programs,
and the SW awards program has two sub-categories which recognize
municipal and industrial programs. Regions and States may also have
recognition awards programs and are included in these estimates.
National second place category winners may also be recognized.
Additionally, nominated activities may sometimes receive an honorable
mention or special award. The national Clean Water Act Recognition
Awards are presented annually at an EPA ceremony.

Total estimated burden for this collection is 2,030 hours and $86,917.
The cost to the Federal government is $138,058 per year.

Section 2: Need for and Use of the Collection

2(a) Need/Authority for the Collection

Section 501(e) of the CWA, as amended (copy attached in Appendix B)
authorizes a program to recognize municipalities and industries that
demonstrate outstanding technological achievements, innovative
processes, devices or other outstanding methods in their waste treatment
and pollution abatement programs. Recognition is made through EPA's
National Clean Water Act awards program. The program also heightens
public awareness of the contributions wastewater treatment facilities
and programs make to clean water, and encourages public support for
effective operations and maintenance. The design, operating, and
environmental compliance information of the wastewater treatment
facility or pollution abatement programs is needed to complete the
questionnaire.

2(b) Practical Utility/Users of the Data

Information collected will be used to be considered by EPA for the
National Clean Water Act Recognition Awards.

Section 3: Non-duplication, Consultations, and Other Collection Criteria

3(a) Non-duplication

The design, operating, and environmental compliance information needed
to complete the questionnaire is not immediately available in the
database or files of a State or Federal office. If such data is
available, it may exist in an outdated report or database which cannot
be timely or readily cross-referenced to the requested data. Outstanding
and innovative program accomplishments must be provided from the
wastewater management facilities and programs as it is not available
from any other source. 

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

A Federal Register notice announcing the Agency's intent to seek the
renewal of this ICR and the 60-day public comment opportunity,
requesting comments on the request and the contents of the ICR was
issued on July 3, 2007 (FRL-8334-6). 

3(c) Consultations

The program is in its twenty-first year of making awards. EPA strives to
minimize the burden on all respondents, especially small
communities/businesses. Each year comments are provided by the award
recipients, selection panel, and State and Regional EPA personnel. EPA
asks the Regional and State personnel to assist the respondents where
necessary in completing the questionnaire. Regions also ensure that the
nominees' environmental compliance records are reviewed and approved
before they complete the questionnaire. 

EPA managers solicit feedback on its questionnaire from non-Federal
panelists and from past municipal winners in a very informal manner. EPA
managers also receive indirect comments from Regional EPA employees, who
also are in contact with municipal and industrial entities and State
officials. Positive and negative feedback are both evaluated. Feedback
from the State’s facility operators is that the national application
form for awards is complex and is a significant burden for the plant
staff. In order to improve participation, some Regions use a short form
to get the facilities into the award process for local, State and
Regional competition. Once the facilities have been selected for
nomination to the national competition, they complete the questionnaire
to compete for the national award. The questionnaire is revised if the
burden on the respondent is determined to unnecessarily outweigh the
information being requested to evaluate achievement. 

3(d) Effects of Less Frequent Collection

If the collection is conducted on a less frequent basis, the merits and
goals of the program would be seriously impacted. Recognition awards are
held annually. The information collection schedule is contained in the
respondent's questionnaire instructions. The questionnaire and
instructions for the awards program are distributed by mail, email and
are available through the internet by December/January of each year. The
completed questionnaire is received by Headquarters in May/June, and the
panel reviews the questionnaires in June/July.

3(e) General Guidelines

This information collection request is consistent with guidelines
contained in 5 CFR 1320.5(d)(2). 

3(f) Confidentiality

No confidential information is involved for this collection activity.

3(g) Sensitive Questions

The questionnaire does not request any information that would be of a
sensitive nature. 

Section 4: The Respondents and the Information Requested

4(a) Respondents/SIC and NAICS Codes 

The Standard Industrial Classification (SIC) and North American Industry
Classification System (NAICS) codes for the respondents affected by this
information collection activity are as follows:

SIC: 4952; NAICS: 22132 - Sewerage Systems 

SIC: 4953; NAICS: 56292, 562211-262213, 562219 - Refuse Systems

SIC: 8221; NAICS: 61131 - Colleges, Universities, Professional Schools

SIC: 8711; NAICS: 54133 - Engineering Services

SIC: 8734; NAICS: 54138 - Testing Laboratories 

SIC: 9511; NAICS: 92411 - Air and Water Resource and Solid Waste
Management 

	(Administration of Environmental Quality)

4(b) Information Requested

i) Data items, including record keeping requirements

The requested design and operating information should be readily
available from facility operating records. The information collection
will include flow, permit, operating, and environmental compliance data.

ii) Respondent Activities

To be considered for National Clean Water Act Recognition Awards, the
respondent will voluntarily complete the questionnaire and provide
design, operating and environmental information about their facility or
program. The respondents will read the instructions for completing the
questionnaire. The respondent will use existing files when possible,
planning and progress reports, and institutional memory to complete the
questionnaire. A copy of the current questionnaires is attached in
Appendix C.

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

5(a) Agency Activities

The completed questionnaire is reviewed by State/Regional officials, as
appropriate, prior to forwarding them to Headquarters. Not all States
have awards programs. Participation for the Regional awards may vary
each year for each award program category. After the questionnaires are
received at Headquarters, they are provided to the respective review
panels consisting of representatives from EPA's Headquarters and
regions, state water pollution control agencies or affiliated
associations for consideration of a national award. The panels make
recommendations to EPA.  All nominees complete a series of compliance
screenings. National nominees are invited to an EPA awards ceremony for
presentation of an engraved plaque in recognition of their outstanding
and innovative technological achievements. First place winners also
receive plant flags.

EPA Headquarters releases the names of the municipalities and industries
to be recognized, and summaries of awards justifications may be
published in reports, news articles, journals, and Federal Register
Notices.

5(b) Collection Methodology and Management

The regions may use email and computer disks as much as possible to
transmit completed questionnaires and other information to Headquarters.
All nominees are screened for environmental compliance by the State and
EPA. Data quality information will be retrieved from the Agency's Permit
Compliance System (PCS)—in the process of being replaced by the
Integrated Compliance Information System (ICIS)—and other
environmental reports, and professional knowledge of the facility or
program.

5(c) Small Entity Flexibility

This information collection activity does not concern a rulemaking. A
framework to implement the awards recognition program is at 40 CFR, part
105. EPA strives to minimize the burden on all respondents, especially
small communities/businesses. EPA Regions and States ensure that
Regional personnel review the nominee's environmental compliance records
before the nominee is asked to complete the questionnaire. Depending on
the respective program, Regions and States may be available to assist
respondents to answer the questionnaire to compete for the national
award. The questionnaire is shortened or revised if the burden on the
respondent appears to unnecessarily outweigh the information requested. 

5(d) Collection Schedule

The information collection schedule is contained in the respondents'
questionnaire. The respective awards program manager sends out the
questionnaire and instructions in December/January of each year. The
completed questionnaire is received by Headquarters in May/June, and the
panel reviews the questionnaire in June/July. Recognition awards are
held annually in October at an EPA awards ceremony. 

Section 6: Estimating the Burden and Cost of the Collection

The total number of applicant respondents is estimated to be 145,
including 100 for the O&M program, 25 for the Biosolids program, 10 for
the CSO program, and 10 for the SW program. The responses are collected
once annually. The respondents reporting burden of 8 person hours per
response is estimated to be 1160 hours and a cost of $49,458. The
States' review burden of 6 person hours per response is 870 hours and a
cost of $37,459.  Although not all states are expected to participate in
the award programs, all are eligible to participate. Total estimated
burden for this collection is 2,030 hours and $86,917. The cost to the
Federal government is $138,058 per year. An explanation follows:

6(a) Estimating Applicants Respondents Burden and Cost

Table 1 presents the burden and cost to applicants respondents. A labor
rate of $50.17 hour was used for managers, $43.85 for staff, and $21.50
for administrative support. These rates are based on the mean hourly
cost of employment for all occupations, including benefits.  These
hourly rates were based on the average hourly wage for civilian workers
as determined by the U.S. Department of Labor. 

Table 1. Burden and Cost for Applicants Respondents

Activity	No. of Respondents	No. Person Hours	Total Burden	Cost per Hour
Total Annual Labor Cost

Manager reads instructions and search existing data sources	145	2	290
$50.17	$14,549

Staff gathers information and complete the questionnaire	145	5	725
$43.85	$31,791

Administrative support prepares forms	145	1	145	$21.50	$3,118

TOTAL

8	1160	---	$49,458

6(b) Estimating State Respondents Burden and Cost

Table 2 presents the burden and cost to state respondents. A labor rate
of $46.66 hour was used for managers, $46.67 for staff, and $25.85 for
administrative support. These rates are based on the mean hourly cost of
employment for all occupations, including benefits. These hourly rates
were based on the average hourly wage for state and local government
workers as determined by the U.S. Department of Labor.

Table 2. Burden and Cost for State Respondents

Activity	No. of Responses	No. Person Hours	Total Burden	Cost per Hour
Total Annual Labor Cost

Management review	145	1	145	$46.66	$6,766

Staff review/verify data and make nominations for awards	145	4	580
$46.47	$26,953

Administrative Support	145	1	145	$25.80	$3,741

TOTAL

6	870

$37,459

6(c) Estimating Agency Burden and Cost

For tables 3 and 4, the hourly labor rates for the federal government
are based on the hourly rates by grade and step, from the US Office of
Personnel Management, assuming overhead costs of 50 percent.
(http://www.opm.gov/oca/07tables/html/gs_h.asp)

Table 3. Summary of Costs to EPA Headquarters

Activity 	Person Hours	Estimated Cost per Hour	Total Annual Cost

Branch Chiefs (Average hourly rate of GS-15, Step 10 plus 50% overhead
burden)	8	$86.96	$696

Awards Program Managers (Average hourly rate of GS-13, Step 5 plus 50%
overhead burden)	192	$54.56	$10,476

TOTAL	200	-	$11,171

Branch Chiefs: 2 person hours x 4 categories = 8 person hours.

Awards Program Managers: 48 person hours (6/ 8hr days) x 4 categories =
192 person hours 

Table 4. Summary of Costs to EPA Regions

Activity 	Person Hours	Estimated Cost per Hour	Total Annual Cost

Awards Program Managers (Average hourly rate of GS-13, Step 5 plus 50%
overhead burden)	1,920	$54.56	$104,755

Administrative Support and Typing (Average hourly rate of GS-8, Step 5
plus 50% overhead burden	80	$28.64	$2,291

TOTAL	2,000	-	$107,046

Awards Program Managers: 48 person hours (6/ 8hr days) x 10 Regions x 4
categories = 1920 person hours

Administrative Support and Typing: 2 person hours x 10 regions x 4
categories = 80 person hours.

Table 5. Summary of Federal Travel to National Awards Conference

Activity	No of Travelers	Estimated Cost per Traveler	Total Annual Cost

EPA Awards Presenters	2	$1,000	$2,000

O&M Awards	1	$1,000	$1,000

Biosolids Awards	1	$1,000	$1,000

Storm Water Awards	1	$1,000	$1,000

Combined Sewer Overflow Awards	1	$1,000	$1,000

TOTAL

	$6,000

Table 6. Federal Recognition Awards Cost Summary 

Activity (Includes Pretreatment)	No. of Items 	Cost per Item	Total
Annual Cost

Regional O&M Award Plaques (2 per region)	20	$45	$900

National awards plaques 	42	$45	$1,890

National awards certificates	42	$25	$1,050

National first place awards flags	20	$500	$10,000

TOTAL

	$13,840

6(d) Estimating the Respondents Universe and Total Burden and Cost

The total number of respondents is estimated to be 145, including 100
for the O&M program, 25 for the Biosolids program, 10 for the CSO
program, and 10 for the SW program. The responses are collected once
annually. The respondents reporting burden of 8 person hours per
response is estimated to be 1160 hours and a cost of $49,458. The
States' review burden of 6 person hours per response is 870 hours and a
cost of $37,459. Although not all states are expected to participate in
the award programs, all are eligible to participate. Total estimated
burden for this collection is 2,030 hours and $86,917.

6(f) Bottom Line Burden Hours and Cost Estimates

Table 7. Aggregate Burden for Respondents and States Activities

Entity	Respondents	Total Burden (Hours)

Applicants Respondents	145	1,160

States Respondents	50	870

Total Respondents	195	2,030

6(f) Reasons for change in burden

Information collection activity for the National Clean Water Act
Recognition Awards Program currently has OMB approval for 2,030 burden
hours for 145 respondents. The respondent's cost in the previous ICR was
estimated to be $66,265. We predict no change in the estimated burden
for the next three years. Cost will change to $86,917 due to changes in
labor rates. 

6(g) Burden Statement

The public reporting burden for respondents is estimated to average 8
hours per response per year. For State respondents, the reporting burden
is estimated to average 6 hours per response per year. Burden means the
total time, effort, or financial resources expended by persons to
generate, maintain, retain, or disclose or provide information to or for
a Federal agency. This includes the time needed to review instructions;
develop, acquire, install, and utilize technology and systems for the
purposes of collecting, validating, and verifying information,
processing and maintaining information, and disclosing and providing
information; adjust the existing ways to comply with any previously
applicable instructions and requirements; train personnel to be able to
respond to a collection of information; search data sources; complete
and review the collection of information; and transmit or otherwise
disclose the information. An agency may not conduct or sponsor, and a
person is not required to respond to, a collection of information unless
it displays a currently valid OMB control number. The OMB control
numbers for EPA's regulations are listed in 40 CFR Part 9 and 48 CFR
Chapter 15. 

To comment on the Agency's need for this information, the accuracy of
the provided burden estimates, and any suggested methods for minimizing
respondent burden, including the use of automated collection techniques,
EPA has established a public docket for this ICR under Docket ID No.
EPA-HQ-OW-2003-0064, which is available for public viewing at the Water
Docket in 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 Water Docket is (202)
566-2426.  An electronic version of the public docket is available
through the Federal Docket Management System (FDMS) at
http://www.regulations.gov/.  Use FDMS 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 system, key in the docket ID number
identified above.  Also, you can send comments to the Office of
Information and Regulatory Affairs, Office of Management and Budget, 725
17th Street, NW, Washington, DC 20503, Attention: Desk Office for EPA. 
Please include the EPA Docket ID No. EPA-HQ-OW-2003-0064 and OMB control
number 2040-0101 in any correspondence.

 From U.S. Department of Labor, Bureau of Labor Statistics, Employer
Costs for Employee Compensation, Table 2, “Employer costs per hour
worked for employee compensation and costs as a percent of total
compensation: Civilian workers, by occupational and industry group,
September 2006.”: Management, business, and financial: $50.17,
Professional and related: $43.85, Office and administrative support:
$21.50 (http://stats.bls.gov/news.release/ecec.t02.htm

 From U.S. Department of Labor, Bureau of Labor Statistics, Employer
Costs for Employee Compensation, Table 4, “Employer costs per hour
worked for employee compensation and costs as a percent of total
compensation: State and local government workers, by occupational and
industry group, September 2006.”: Management, professional, and
related: $46.66, Professional and related: $46.47, Office and
administrative support: $25.80
(http://stats.bls.gov/news.release/ecec.t04.htm)

EPA ICR No. 1287.08, OMB No. 2040-0101

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