Document ID: EPA-HQ-RCRA-2011-1014-0007
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2012-03-15T04:00Z

SUPPORTING STATEMENT FOR 
               EPA INFORMATION COLLECTION REQUEST NUMBER 2455.01
             "REVISION TO THE EXPORT PROVISIONS OF THE CATHODE 
                    RAY TUBE (CRT) RULE - PROPOSED RULE"
                                       
                                 FEBRUARY 2012

                               TABLE OF CONTENTS
                                       

1.	IDENTIFICATION OF THE INFORMATION COLLECTION	4
1(a)	Title and Number of the Information Collection	4
1(b)	Short Characterization	4

2.	NEED FOR AND USE OF THE COLLECTION	5
2(a)	Need and Authority for the Collection	5
2(b)	Practical Utility and Users of the Data	5

3.	NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION 
      CRITERIA	6
3(a)	Nonduplication	6
3(b)	Public Notice	6
3(c)	Consultations	6
3(d)	Effects of Less Frequent Collection	6
3(e)	General Guidelines	7
3(f)	Confidentiality	7
3(g)	Sensitive Questions	7

4.	THE RESPONDENTS AND THE INFORMATION REQUESTED	7
4(a)	Respondents and SIC/NAICS Codes	7
4(b)	Information Requested	10

5.	THE INFORMATION COLLECTED -- AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT	12
5(a)	Agency Activities	12
5(b)	Collection Methodology and Management	13
5(c)	Small Entity Flexibility	13
5(d)	Collection Schedule	13

6.	ESTIMATING THE HOUR AND COST BURDEN OF THE COLLECTION	14
6(a)	Estimating Respondent Burden Hours	14
6(b)	Estimating Respondent Costs	14
6(c)	Estimating Agency Burden and Costs	15
6(d)	Estimating the Respondent Universe and Total Burden and Costs	16
6(e)	Bottom Line Burden Hours and Costs	18
6(f)	Reasons for Change In Burden	18
6(g)	Burden Statement	18

                                   EXHIBITS
                                       
Estimated Respondent Burden and Cost for Reading the Rule.........................................20

Costs for New Annual Reporting by Exporters of CRTs for Recycling...............................21

Costs for Meeting Proposed Reuse & Recycling Notification Changes..............................22
(Asking for minor additional information)

1.	IDENTIFICATION OF THE INFORMATION COLLECTION	

      1(a)	Title and Number of the Information Collection	

      This Information Collection Request (ICR) is entitled "Revision to the Export Provisions of the Cathode Ray Tube (CRT) Rule  -  Proposed Rule," EPA ICR Number 2455.01.  

      1(b)	Short Characterization	

      The U.S. Environmental Protection Agency (EPA) promulgated the CRT rule on July 28, 2006 (71 FR 42928).  In that rule, EPA amended its regulations under the Resource Conservation and Recovery Act (RCRA) to streamline the management requirements for used CRTs in an effort to encourage recycling and reuse of these materials rather than landfilling or possible incineration. The CRT rule also contained requirements for used CRTs exported for reuse or recycling.  Exporters of used CRTs for recycling must notify EPA of an intended shipment before the shipment occurs. Notifications may cover exports extending over a 12-month or shorter period. The notification must include several items of information.  When EPA receives this information, it notifies the receiving country.  When the receiving country consents in writing to receive the CRTs, EPA forwards an Acknowledgement of Consent (AOC) to the exporter.  The exporter may not ship the CRTs until he receives the AOC.  With respect to CRTs that are exported for reuse, the CRT rule requires exporters to submit a one-time notification to EPA with contact information and a statement that they are exporting the CRTs for reuse.  They must keep copies of normal business records demonstrating that each shipment will be reused.  (See 40 CFR 261.39 and 261.41 for existing notification and recordkeeping requirements about used CRTs exported for reuse or recycling.  The burden associated with these requirements is approved under EPA ICR Number 1189.24, and the OMB control number for this ICR is 2050-0053.)

      EPA is proposing to revise the export provisions of the CRT rule.  The purpose of these proposed revisions is to address certain implementation concerns with the current export provisions of the CRT rule.  EPA is proposing a definition of "CRT exporter" that includes any intermediaries arranging for the export.  Because CRTs are sometimes exported to more than one recycler in the receiving country, EPA is also proposing to require that the exporter state the name and address of the recycler or recyclers and the estimated quantity of CRTs to be sent to each facility, as well as the names of any alternate recyclers.
      
      In addition, EPA is proposing to expand the current reuse notice and model the notice on that required for CRTs exported for recycling.  Instead of a one-time notice, EPA is proposing to require that reuse notices be submitted to cover a twelve month or shorter period.  EPA is also proposing to add additional items of information to the notice, including contact information about the exporter and the destination facility, the frequency or rate at which the CRTs would be exported, the quantity of CRTs, transport information, and a description of the manner in which the CRTs will be reused in the receiving country.  Furthermore, EPA is proposing to require that the exporter sign a certification that the CRTs are fully functioning or capable of being functional after refurbishment.  EPA believes that the proposed expanded notice will help the Agency determine whether the exported CRTs have been handled as products that are actually reused in the receiving country.
      
       Finally, EPA is proposing to add a requirement that exporters of CRTs for recycling submit an annual report documenting the actual numbers of CRTs exported during the previous calendar year.  This number may differ from the estimate submitted in the original notice.  This information will help ensure that the shipments occurred under the terms approved by the receiving country, and would enable EPA to provide receiving countries with information that may help them to determine the quantity of CRTs that were received in a particular country for recycling.   

      In Sections 1 through 5 of this ICR, EPA presents a comprehensive description of the new information collection requirements in the proposed rule to revise the export provisions of the CRT rule.  In Section 6, EPA estimates the total annual hour and cost burden to respondents and the Agency associated with these new information collection requirements.  

      In the following paragraphs, EPA briefly describes the new information collection requirements covered in this ICR.

2.	NEED FOR AND USE OF THE COLLECTION	

      2(a)	Need and Authority for the Collection	

      EPA is proposing the information collection under the authority of Sections 2002(a), 3001, 3002, 3004, and 3006 of RCRA, as amended.  The proposed rule revises the notification that must be submitted to EPA when CRTs are exported for reuse or recycling and adds a requirement that exporters of CRTs for recycling submit an annual report documenting the actual numbers of CRTs exported during the previous calendar year.  EPA believes the information collection requirements covered in this ICR are needed to ensure that CRTs exported for reuse or recycling are managed in compliance with the regulations.  

      2(b)	Practical Utility and Users of the Data	

      Since promulgation of the CRT rule in 2006, it has become apparent that some CRTs ostensibly exported for reuse are actually disassembled and recycled when they reach the receiving country, sometimes under unsafe conditions.  EPA will use the collected information to ensure exported CRTs have been handled as products that are actually reused in the receiving country.  In addition, the collected information would enable EPA to provide receiving countries with information that may help them to determine the quantity of CRTs that were received in a particular country for recycling.

3.	NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA		

      3(a)	Nonduplication	

      None of the information required by the proposed rule would duplicate information required by existing RCRA regulations.  

      3(b)	Public Notice	

      In compliance with the Paperwork Reduction Act of 1995, EPA has issued a public notice in the Federal Register.  The public comment period for this ICR is combined with the proposed rule, and it will run for 60 days.  To assist the public in commenting on the proposal, EPA raised a few issues in the preamble to the proposed rule and asked for the public to comment on them.  At the end of the comment period, EPA will review public comments received in response to the notice and will address comments received, as appropriate.

      3(c)	Consultations	

      The proposed revisions to the export provisions of the CRT rule were recommended by the Interagency Task Force on Electronics Stewardship (the "Task Force") in its report titled National Strategy for Electronics Stewardship (July 20, 2011).  Several federal agencies participated in drafting the recommendations of the National Strategy for Electronics Stewardship, including the General Services Administration, Office of the US Trade Representative, and the Departments of Commerce, Defense, and Energy.  On behalf of the Task Force, EPA solicited public comment from stakeholders through a Federal Register notice.  Also on behalf of the Task Force, the Council on Environmental Quality held three stakeholder listening sessions in March 2011 with state and local government agencies, non-governmental organizations, and industry, respectively. Comments provided through both of these methods were evaluated by the Task Force and considered in developing the National Strategy on Electronics Stewardship.  

      3(d)	Effects of Less Frequent Collection	

      EPA has carefully considered the information collection burden imposed upon the regulated community by the proposed rule.  EPA is confident that those activities required of respondents are necessary, and to the extent possible, the Agency has attempted to minimize the burden imposed.  EPA believes strongly that, if the minimum information collection requirements of the proposed rule are not met, neither the respondents (e.g., exporters) nor EPA can ensure that CRTs exported for reuse or recycling are managed in compliance with the regulations.  In addition, EPA would be unable to provide receiving countries the information that they would need to help ensure that CRTs are properly managed.

      3(e)	General Guidelines	

      This ICR adheres to the guidelines stated in the Paperwork Reduction Act of 1995, OMB's implementing regulations, EPA's ICR Handbook, and other applicable OMB guidance.

      3(f)	Confidentiality	

      Section 3007(b) of RCRA; 40 CFR part 2, subpart B; and 40 CFR 260.2 contain provisions for confidentiality.  If a business asserts a claim of confidentiality covering any of the information collection requirements covered in this ICR, EPA must and will treat the information in accordance with the regulations cited above.  EPA also will assure that this information collection complies with the Privacy Act of 1974 and OMB Circular 108.

      3(g)	Sensitive Questions	

      No questions of a sensitive nature are included in any of the information collection requirements.
      	
	THE RESPONDENTS AND THE INFORMATION REQUESTED		

      4(a)	Respondents and SIC/NAICS Codes	
                                                                        
      The following is a list of Standard Industrial Classification (SIC) codes and corresponding North American Industry Classification System (NAICS) codes associated with industries most likely affected by the information collection requirements included in the existing CRT rule.  The respondents for the proposed information collection requirements covered in this ICR are exporters of CRTs from these industries.  The Agency estimates that a total of approximately 12 entities exported CRTs for recycling during 2011 (i.e., per EPA data on the number of approved exporters and the number of export notices that were submitted during 2011).  However, far more entities are on record as being exporters of CRTs for purposes of reuse.   Based on the number of CRT Reuse Notifications submitted during 2011, there exists approximately 126 such entities in the U.S. (i.e., according to data from Sept. 14[th], 2011 published on EPA's CRT informational website at [ http://www.epa.gov/epawaste/hazard/international/crts/recycling.htm ]).
      

                                      Industry

                                   SIC Code

                                  NAICS Code

AGRICULTURE

Agricultural crop production

                                      01

                                      111

Agricultural livestock production

                                      02

                                      112

Agricultural services

                                      07

                            115, 311, 541, 561, 812

Forestry

                                      08

                                 111, 113, 115

Fishing, hunting, trapping

                                      09

                                 111, 112, 114

MINING

Metal mining

                                      10

                                   212, 213

Coal mining

                                      12

                                   212, 213

Oil & gas extraction

                                      13

                                   211, 213

Non-metallic minerals, except fuels

                                      14

                                   212, 213

CONSTRUCTION

General contractors

                                      15

                                    233-235

Heavy construction

                                      16

                                    233-235

Special trade contractors

                                      17

                                    233-235

MANUFACTURING 

Food & kindred products

                                      20

                                 111, 311, 312

Tobacco products

                                      21

                                      312

Textile mill products

                                      22

                                    313-315

Apparel & other textile products

                                      23

                               313-315, 336, 339

Lumber & wood products

                                      24

                                 113, 321, 333

Furniture & fixtures

                                      25

                                 336, 337, 339

Paper & allied products

                                      26

                                   322, 326

Printing & publishing

                                      27

                                 323, 511, 512

Chemicals & allied products

                                      28

                              211, 311, 325, 331

Petroleum and coal products

                                      29

                                      324

Rubber & miscellaneous plastics products

                                      30

                            316, 325, 326, 337, 339

Leather & leather products

                                      31

                                 315, 316, 321

Stone, clay, and glass products

                                      32

                                   212, 327

Primary metal industries

                                      33

                                      331

Fabricated metal products

                                      34

                                 332, 337, 339

Industrial machinery & equipment

                                      35

                                 331-335, 339

Electronic & other electronic equipment

                                      36

                                 332-336, 512

Transportation equipment

                                      37

                         332, 333, 336, 488, 541, 811

Instrument & related products

                                      38

                            322, 325, 333, 334, 339

Miscellaneous manufacturing

                                      39

                              325, 336, 339, 488

TRANSPORTATION

Local & inter-urban passenger transit

                                      41

                                   485, 487

Trucking & warehousing

                                      42

                            493, 484, 488, 492, 531

U.S. postal service

                                      43

                                      491

Water transportation

                                      44

                              483, 487, 488, 532

Transportation by air

                                      45

                            481, 488, 492, 561, 621

Pipelines, except natural gases

                                      46

                                      486

Transportation services

                                      47

                              488, 532, 561, 722

Communication

                                      48

                                      513

Electronic, gas, & sanitary services

                                      49

                                221,  488, 562

WHOLESALE TRADE

Wholesale trade-durable goods

                                      50

                            421, 441-444, 446, 453

Wholesale trade-nondurable goods

                                      51

                         312, 313, 422, 444, 451, 454

Bldg. materials & garden supplies

                                      52

                                   444, 453

RETAIL TRADE		

General merchandise store

                                      53

                                      452

Food stores

                                      54

                              311, 445, 447, 722

Auto dealers & service station

                                      55

                                 441, 447, 452

Apparel & accessory stores

                                      56

                                   315, 448

Furniture & home furnishing stores

                                      57

                                 337, 442, 451

Eating & drinking places

                                      58

                                      722

Miscellaneous retail

                                      59

               339, 443, 445, 446, 448, 451, 453, 454, 522, 722

FINANCE, INSURANCE, AND REAL ESTATE

Depository institution

                                      60

                                   521, 522

Nondepository institution

                                      61

                                   522, 523

Security & commodity brokers

                                      62

                            523, 525, 533, 551, 813

Insurance carriers

                                      63

                                    523-525

Insurance agents, brokers, & services

                                      64

                                    523-525

Real estate

                                      65

                              233, 531, 711, 812

Holding & other investment offices

                                      67

                            523, 525, 533, 551, 813

SERVICES

Hotels & other lodging places

                                      70

                                      721

Personal services

                                      72

                         512, 532, 561, 611, 811, 812

Business services

                                      73

234, 313, 314, 323, 325, 334, 421, 443, 491, 511, 512, 514, 522, 532, 541, 561, 562, 711, 811, 812

Auto repair, services, & parking

                                      75

                            326, 488, 532, 811, 812

Misc. repair services

                                      76

             115, 235, 335, 442, 443, 451, 488, 561, 562, 711, 811

Motion picture

                                      78

                    334, 421, 512, 514, 532, 541, 561, 711

Amusement & recreation services

                                      79

                       487, 532, 561, 611, 711, 712, 713

Health services

                                      80

                                 339, 541, 621

Legal services

                                      81

                                      541

Educational services

                                      82

                                   514, 611

Social services

                                      83

                              623, 624, 813, 922

Museums, botanical, zoological gardens

                                      84

                                      712

Membership organization

                                      86

                                 561, 813, 912

Engineering & management service

                                      87

                            233, 234, 541, 561, 611

Private household services

                                      88

                                      81

Services

                                      89

                                 512, 541, 711
      
      
      4(b)	Information Requested	

 (1)	Revised Export Notification for Used CRTs Destined for Recycling

      Under existing 40 CFR 261.39(a)(5), exporters of used, broken CRTs must provide written notification to EPA of an intended export before the CRTs are scheduled to leave the U.S.  The existing notice (40 CFR 261.39(a)(5)(F)) requires the exporter to state the name and address of the recycler and any alternate recycler.  Because CRTs are sometimes exported to more than one recycler in the receiving country, EPA is proposing to replace this language with a requirement that the exporter state the name and address of the recycler or recyclers and the estimated quantity of CRTs to be sent to each facility, as well as the names of any alternate recyclers.  
      
(2)	Annual Report for CRTs Exported for Recycling 	
      
      Under new 40 CFR 261.39(a)(5)(x), exporters must file with EPA no later than March 1 of each year, a report summarizing the quantities (in kilograms), frequency of shipment, and ultimate destination(s) of all CRTs exported during the previous calendar year. Such reports must also include the following:

   * The name, EPA ID number (if applicable), and mailing and site address of the exporter;
   * The calendar year covered by the report;
   * A certification signed by the exporter which states:
"I certify under penalty of law that I have personally examined and am familiar with the information submitted in this and all attached documents, and that based on my inquiry of those individuals immediately responsible for obtaining the information, I believe that the submitted information is true, accurate, and complete. I am aware that there are significant penalties for submitting false information including the possibility of fine and imprisonment."

(3)	Revised Export Notification for Used CRTs Destined for Reuse
 
      Under existing 40 CFR 261.41, exporters of used, intact CRTs for reuse must submit a one-time notification with minimal information to EPA.  To require exporters to submit more complete information about the purported reuse of the exported CRTs over a specific period of time, EPA is proposing to add items to the reuse notification that are modeled on those required in the notification for CRTs exported for recycling.  This notification may cover export activities extending over a twelve (12) month or lesser period.  The notification must be in writing, signed by the exporter, and include the following information:
      
    * Name, mailing address, telephone number and EPA ID number (if applicable) of the exporter of the CRTs.
    * The estimated frequency or rate at which the CRTs are to be exported and the period of time over which they are to be exported.
 
    * The estimated total quantity of CRTs specified in kilograms. 
 
    * All points of entry to and departure from each transit country through which the CRTs will pass, a description of the approximate length of time the CRTs will remain in such country and the nature of their handling while there. 
 
    * A description of the means by which each shipment of the CRTs will be transported (e.g., mode of transportation vehicle (air, highway, rail, water, etc.), type(s) of container (drums, boxes, tanks, etc.)).
 
    * The name and address of the ultimate destination facility or facilities and the estimated quantity of CRTs to be sent to each facility, as well as the name of any alternate destination facility or facilities.
  
    * A description of the manner in which the CRTs will be reused (including reuse after refurbishment) in the foreign country that will be receiving the CRTs.
 
    * A certification signed by the exporter which states: 
 
   "I certify under penalty of law that the CRTs described in this notice are fully functioning or capable of being functional after refurbishment. I am aware that there are significant penalties for submitting false information including the possibility of fine and imprisonment.
   I certify under penalty of law that I have personally examined and am familiar with the information submitted in this and all attached documents, and that based on my inquiry of those individuals immediately responsible for obtaining the information, I believe that the submitted information is true, accurate, and complete. I am aware that there are significant penalties for submitting false information including the possibility of fine and imprisonment."
       
5.	THE INFORMATION COLLECTED -- AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT	

      The following section discusses how EPA or the implementing agency will collect and manage the information received from respondents.  This section also includes a discussion of how EPA has taken steps to ensure that the information collections are not overly burdensome on small entities.

      5(a)	Agency Activities	

(1)	Export Notification for Used CRTs Destined for Recycling
  
      Per the existing CRT rule, Agency activities associated with the conditional exclusion for used CRTs exported for recycling will continue as described below.  There will be only minor additional information received under the proposed revised export notification for the Agency to review and process.

             Receive and review notification submitted by an exporter of used CRTs to determine whether or not the notification is complete.  A notification is complete when EPA determines that it satisfies the requirements of 40 CFR 261.39(a)(5)(i).

             Solicit, from exporter, additional information requested by the receiving country.

             Provide, in conjunction with the Department of State, the complete notification to the receiving country.

             Forward the receiving/transit country's written consent to the receipt of the used CRTs to the exporter.

             Prepare and send written notification to the exporter if the receiving/transit country objects to the receipt of the used CRTs or withdraws a prior consent. 

             Keep copies of notifications, consents, and other related documents.

(2)	Annual Report for CRTs Exported for Recycling

	Agency activities associated with the new requirement for submission of an annual report for exporters of CRTs sent for recycling include the following:

             Receive and record the report.

(3)	Export Notification for Used CRTs Destined for Reuse

       Per the existing CRT rule, Agency activities associated with the conditional exclusion for used CRTs exported for reuse will continue as described below.  There will be   additional information received under the proposed revised export notification, similar to the information contained in the notice for CRTs exported for recycling, for the Agency to review and process (see Exhibit 3).

             Receive and process notification submitted by exporter of used CRTs.

             Keep copy of notification.

      5(b)	Collection Methodology and Management		

      In collecting and analyzing the information submitted under 40 CFR 261.39(a)(5) and 261.41, EPA will use equipment such as personal computers and applicable database software, where appropriate.  EPA will ensure the accuracy and completeness of the collected information by reviewing each submittal.
      
      5(c)	Small Entity Flexibility	

      In establishing the existing conditional exclusion for used CRTs, EPA considered the reporting and recordkeeping burden for small businesses.  The conditional exclusion was a regulatory relief initiative that reduced hour and cost burden for generators and subsequent handlers of excluded CRTs, particularly small entities.  These reductions in hour and cost burden under the existing exclusion will not be significantly impacted as result of the newly proposed information requirements.
      
      5(d)	Collection Schedule	
      
(1)	Export Notification for Used CRTs Destined for Recycling

      Exporters of used CRTs destined for recycling must provide written notification to EPA of an intended export before the CRTs are scheduled to leave the U.S.  A complete notification must be submitted 60 days before the initial shipment is intended to be shipped off site.  This notification may cover export activities extending over a 12-month or lesser period.  In addition, upon request by EPA, exporters must furnish to EPA any additional information that a receiving country requests in order to respond to a notification.

(2)	Annual Report for CRTs Exported for Recycling

	Exporters must file with EPA no later than March 1 of each year, a report summarizing the quantities (in kilograms), frequency of shipment, and ultimate destination(s) of all CRTs exported during the previous calendar year.

(3)	Export Notification for Used CRTs Destined for Reuse

      Exporters of used CRTs destined for reuse must send a notification to EPA.  This notification may cover export activities extending over a 12-month or lesser period.  In addition, they must keep, at the facility, copies of normal business records (e.g., contracts) demonstrating that each shipment of exported CRTs will be reused. 

6.	ESTIMATING THE HOUR AND COST BURDEN OF THE COLLECTION	

      6(a)	Estimating Respondent Burden Hours	

      In Exhibits 1, 2 and 3, EPA estimates the respondent burden hours associated with the new information collection requirements in the proposed rule.  Exhibit 1 includes estimates of burden hours (total and by labor type) per entity (exporter or respondent) for reading the rule.  EPA estimates 3.5 hours per respondent for reading the rule and a universe of 138 respondents.  This would result in a total of 483 hours for all of the respondents reading the rule.  For a one-time activity like reading the rule, EPA annualizes the burden hours over a three year effective life of the ICR.  This is done by dividing the number of respondents by three (138/3 = 46) and then calculating the total hours (46 x 3.5 = 161 hours).  Exhibit 2 includes estimates of burden hours (total and by labor type) per respondent for the new annual reporting by exporters of CRTs for recycling.  EPA estimates 3.4 hours per large exporter and 2.1 hours per small exporter.  EPA also estimates 12 exporters of CRTs for recycling, and assumes that one-half (6) of the exporters are large exporters and one-half (6) are small exporters.  This would result in a total of 33 hours for the new annual reporting by all 12 exporters.  Exhibit 3 includes estimates of burden hours (total and by labor type) per notice prepared and submitted by a respondent under the modified reuse and recycling notification requirements.  EPA estimates 0.15 hour per modified notice and a total of 233 to 435 reuse and recycling notices submitted by respondents each year.  This would result in a total of 35 hours to 65 hours for preparation and submission of the modified reuse and recycling notices by respondents.  Therefore, based on the above burden hour calculations, EPA estimates that the total annual respondent burden for the new information collection requirements in the proposed rule ranges from 229 to 259 hours.
      
       6(b)	Estimating Respondent Costs

       EPA estimates that the total annual respondent cost for the new information collection requirements in the proposed rule to be $17,591 to $19,714.  The total annual cost includes the cost for reading the rule, cost for new annual reporting by exporters of CRTs for recycling, and the cost for preparation and submission of the revised reuse and recycling notices by respondents.  EPA's estimates for costs to be incurred by respondents for the new information collection requirements in the proposed rule are included in Exhibits 1, 2 and 3. 
       
       Labor Costs 

       For purposes of this analysis, EPA estimates an average hourly respondent labor cost of $107.06 for managerial staff, $70.08 for technical staff, and $36.60 for clerical staff.  These labor rates were originally obtained by relying on prior EPA Cost Assessments and then updated to 2011 using Employment Cost Indices developed by the U.S. Bureau of Labor Statistics.  (See "Economic Impacts Assessment for Proposed Revisions to the Export Provisions of the Cathode Ray Tube (CRT) Rule," which is available in the public docket identified under Section 6(g)).
       
       Annual Capital and Operation & Maintenance Costs

       Capital costs usually include any produced physical good needed to provide the needed information, such as machinery, computers, and other equipment.  EPA does not anticipate that respondents will incur capital costs in carrying out the information collection requirements in the proposed rule.

       O&M costs are those costs associated with paperwork requirements incurred continually over the life of the ICR.  They are defined by the EPA as "the recurring dollar amount of costs associated with O&M or purchasing services."  Minimal O&M costs were assumed to be associated with the preparation and submission of new Annual Reports and Notification requirements in the proposed rule.  These costs are for mailing, copying, faxing, and for making telephone calls.

       6(c)	Estimating Agency Burden and Costs

       In Exhibits 2 and 3, EPA provides estimates of the Agency hour and cost burden associated with the new information collection requirements covered in this ICR.  EPA estimates an average hourly labor cost of $74.67 for managerial staff (GS-14, Step 1), $63.20 for technical staff (GS-13, Step 1), and $36.64 for clerical staff (GS-9, Step 1).  To derive these hourly estimates, EPA referred to the General Schedule (GS) Salary Table 2011.  This publication summarizes the unloaded (base) hourly rate for various labor categories in the Federal Government.  EPA then applied the standard government overhead factor of 1.6 to the unloaded rate to derive these loaded hourly rates.  (See "Economic Impacts Assessment for Proposed Revisions to the Export Provisions of the Cathode Ray Tube (CRT) Rule," which is available in the public docket identified under Section 6(g)).
       
       Receive and Record Annual Reports Submitted by Exporters of CRTs for Recycling
       
EPA estimates that it will receive 12 annual reports per year.  EPA estimates that it will incur $24.64 to receive and record each annual report (see Exhibit 2).  Thus, EPA estimates that the Agency will experience an annual cost of $295.68 (i.e., 12 annual reports/year x $24.64/report) to meet this requirement of the proposed rule. 

       Receive and Process Revised Reuse and Recycling Notifications 
       
EPA estimates that it will incur an additional cost of $10.51 per notice to receive and process these notices (see Exhibit 3).  Thus, EPA estimates that the Agency will experience a total incremental

annual cost in the range of $2,449 to $4,572 (i.e., 233 to 435 notices per year x $10.51 per notice) under the proposed rule. 
       
       6(d)	Estimating the Respondent Universe and Total Burden and Costs
	
The Agency estimates that a total of approximately 12 entities exported CRTs for recycling during 2011 (i.e., per EPA data on the number of approved exporters and the number of export notices that were submitted during 2011).  However, far more entities are on record as being exporters of CRTs for purposes of reuse.  Based on the number of CRT Reuse Notifications submitted during 2011, there exists approximately 126 such entities in the U.S. (i.e., according to data from Sept. 14[th], 2011 published on EPA's CRT informational website at 
[ http://www.epa.gov/epawaste/hazard/international/crts/recycling.htm ]).  Therefore, as shown 
below in Table 1, EPA estimates that 138 entities will be subject to the new information collection requirements covered in this ICR.
	
                                    TABLE 1
                                       
                   NUMBER OF EXPORTER ENTITIES (RESPONDENTS)
                   POTENTIALLY AFFECTED BY THE PROPOSED RULE
                                       
                                Type of Entity
                              Number of Entities
Exporter of CRTs for Recycling
                                      12
Exporter of CRTs for Reuse
                                      126
                                    Total 
                                      138

                                       
	Respondent Burden and Cost

      In the following paragraphs, EPA discusses the assumptions used in developing the respondent burden estimates associated with the new information collection requirements covered in Exhibits 1, 2, and 3 of this ICR.  
      
       Reading the Regulations

EPA estimates that 138 U.S. exporters will need to read the rule in order to understand and comply with the new requirements.  For purposes of this analysis, we assumed that the hours required for reading/reviewing this new rule would be similar to the hours used in EPA's assessment of the impacts associated with reading/reviewing the 2009 Final Rule governing the Exporting of Spent Lead-Acid Batteries (SLAB).  In Exhibit 1, EPA estimates 3.5 hours per respondent for reading the rule for the 138 respondents.  This would result in a total of 483 hours for all of the respondents reading the rule.  As noted in Section 6(a), for a one-time activity like reading the rule, EPA annualizes the burden hours over a three year effective life of the ICR.  This is done by dividing the number of respondents by three (138/3 = 46) and then calculating the total hours (46 x 3.5 = 161 hours).

       New Annual Reporting by Exporters of CRTs for Recycling	

As noted above in Section 6(d), EPA estimated that approximately 12 U.S. exporters of CRTs sent for recycling will be required to prepare and submit an annual report in accordance with this provision of the proposed rule.  Furthermore, this new annual report for these exporters has been fashioned after other existing annual reporting requirements recently codified in the 2009 Final Rule governing the Exporting of Spent Lead-Acid Batteries (SLAB) from the U.S.  Therefore, EPA used the cost estimates for annual reporting already available in the May 2009 Cost Assessment prepared for the "SLAB Rule", as the best and most recent relevant reference (see Footnote 1 in "Economic Impacts Assessment for Proposed Revisions to the Export Provisions of the Cathode Ray Tube (CRT) Rule," which is available in the public docket identified under Section 6(g)).  Based on these figures, EPA estimates that the cost for a CRT exporter to prepare and submit an annual report ranges from $156.07 to $203.36, depending upon whether the size of the exporter is large vs. small.  For purposes of analysis, EPA assumed a 50/50 distribution of these exporters (e.g. with half considered large and half considered small).  Thus, EPA estimated that the total cost of the annual reporting requirement for exporting CRTs for recycling is $2,158.32 (i.e., $203.36/annual report x 6 Large Recycling Exporters, plus $156.07/annual report x 6 Small Recycling Exporters).  (See Exhibit 2). 

      Revisions to Reuse and Recycling Notifications (Asking for additional Information)

Under the current CRT Rule, exporters already must submit notifications to EPA indicating their intent to export CRTs.  The proposed CRT Rule revisions call for very minor additional reporting elements to the current CRT rule requirements.  To calculate the notification-related cost impacts, EPA started by relying on the original burden hour estimates associated with the current notification requirements.  EPA then adjusted these burden hour estimates to reflect our best estimate of the potential burden associated with the proposed changes in the notification requirements.  Our best estimate is that these burden estimates would not exceed 10% of the burden attributable to the current notification requirements.  Then EPA utilized the adjusted burden estimates and labor rates in combination with the projected quantity of CRT Notices to derive costs associated with the relevant proposed changes to the CRT notification process. 
Based on the calculations above, EPA estimated that CRT exporters will submit between 233 and 435 notices each year.  We estimated that each notice will cost an additional $10.26 (see Exhibit 3).  In total, EPA estimates that the additional costs to exporters will be in the range of $2,386 to $4,453 (i.e., 233 to 435 notices per year x $10.26 per notice) under the proposed rule. 

	Total Respondent Burden and Cost

       In Exhibits 1, 2, and 3, EPA presents a summary of the total annual respondent burden and costs associated with the new information collection requirements in the proposed rule.  The specific information collection activities of the new paperwork requirements are described throughout this ICR.

       6(e)	Bottom Line Burden Hours and Costs
       
       Respondent Tally

       In Exhibits 1, 2 and 3, EPA presents the total annual respondent burdens and costs associated with the new information collection requirements in the proposed rule.  As described specifically in Section 6(d) above, there are 138 respondents (12 U.S. exporters of CRTs sent for recycling and 126 U.S. exporters of CRTs sent for reuse) that will be subject to the new information collection requirements covered in this ICR.  Based on the information in Exhibits 1, 2, and 3, the total annual respondent burden for the new paperwork requirements will range from 229 to 259 hours, and the total annual respondent cost for the new paperwork requirements will be approximately $17,600 to $19,700

       6(f)	Reasons for Change in Burden 

       EPA is proposing to revise certain export provisions of the CRT final rule published on July 28, 2006 (71 FR 42928) to ensure that CRTs are managed in compliance with the regulations.
These revisions will require exporters of CRTs to provide some additional information to EPA (see Section 6(d)). 

       6(g)	Burden Statement

       The estimated annual burden for this collection of information ranges from 0.15 to 3.5 hours per response for the 138 respondents.  Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency.  This includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for the purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information.  An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.  The OMB control numbers for EPA's regulations are listed in 40 CFR part 9 and 48 CFR chapter 15.

       To comment on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including the use of automated collection techniques, EPA has established a public docket for this ICR under Docket ID Number EPA-HQ-RCRA-2011-1014, which is available for online viewing at www.regulations.gov, or in person viewing at the RCRA Docket in the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Avenue, NW, Washington, D.C.  The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays.  The telephone number for the Reading Room is (202) 566-1744, and the telephone number for the RCRA Docket is (202) 566-0270.  An electronic version of the public docket is available at www.regulations.gov.  This site can be used to submit or view public comments, access the index listing of the contents of the public docket, and to access those documents in the public docket that are available electronically.  When in the system, select "search," then key in the Docket ID Number identified above.  Also, you can send comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, D.C. 20503, Attention: Desk Officer for EPA.  Please include the EPA Docket ID Number EPA-HQ-RCRA-2011-1014 and OMB Control Number 2050-NEW in any correspondence.

                                   Exhibit 1
           Estimated Respondent Burden and Cost for Reading the Rule

                                       
                                Cost per Entity
                             Cost of All Entities
                                   Activity
                          Managerial Staff Hours [a]
                           Technical Staff Hours [a]
                           Clerical Staff Hours [a]
                                     Hours
                               Labor   Cost [b]
                              Materials Cost [c]
                             Total Cost per Entity
                            Number of Entities [d]
                                  Total Cost 
Reading the Regulations 
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
U.S. Exporters
                                     1.00
                                     2.50
                                     0.00
                                     3.50
                                    $282.26
                                     $0.00
                                    $282.26
                                      138
                                       
                                    $38,952
                                                                               
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
[NOTES:] 
[a]   Based on hourly burden estimates discussed in Section 3.3 of EIA (*).     
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
[b]   Based on hourly labor rates discussed in Section 3.2 of EIA.

                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               

                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
[c]   Based on materials costs discussed in Section 3.4 of EIA.

                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
[d]   Based on universe assumptions discussed in Section 3.1 of EIA.

(*) "Economic Impacts Assessment for Proposed Revisions to the Export Provisions of the Cathode Ray Tube (CRT) Rule."

                                                                               
                                                                               
                                                                               
                                                                               
                                                                               

                                       
                                   Exhibit 2
       Costs for New Annual Reporting by Exporters of CRTs for Recycling
                                       
                                       
                                Cost per Entity
                             Cost for all Entities
                                   Activity
                          Managerial Staff Hours [a]
                           Technical Staff Hours [a]
                           Clerical Staff Hours [a] 
                                 Total Hours 
                             Total Labor Cost [b]
                               Material Cost [c]
                                Total      Cost
                             Number of Entities d
                                  Total Cost 
Annual Report
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
Large U.S. Exporters
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
Research specific export information
                                     0.00
                                     1.00
                                     1.00
                                     2.00
                                    $106.68
                                     $0.00
                                    $106.68
                                       6
                                    $640.08
Prepare and submit report
                                     0.10
                                     1.00
                                     0.30
                                     1.40
                                    $91.77
                                     $5.20
                                    $96.97
                                       6
                                    $581.82
                                                                      Subtotal:
                                       
                                       
                                       
                                       
                                    $198.45
                                     $5.20
                                    $203.65
                                       
                                       
 6
                                   $1,221.90
Small U.S. Exporters
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
Research specific export information
                                     0.00
                                     0.50
                                     0.50
                                     1.00
                                    $70.08
                                     $0.00
                                    $70.08
                                       6
                                    $420.48
Prepare and submit report
                                     0.10
                                     0.50
                                     0.50
                                     1.10
                                    $80.79
                                     $5.20
                                    $85.99
                                       6
                                    $515.94
                                                                      Subtotal:
                                       
                                       
                                       
                                       
                                    $150.87
                                     $5.20
                                    $156.07
                                       6
                                    $936.42
                                                           Total for Exporters:
                                       
                                       
                                       
                                       

                                       
                                   $2,158.32
EPA
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
Receive and record report
                                     0.00
                                     0.10
                                     0.50
                                     0.60
                                    $24.64
                                     $0.00
                                    $24.64
                                      12
                                    $295.68
                                                                 Total for EPA:
                                     0.00
                                     0.10
                                     0.50
                                     0.60
                                    $24.64
                                     $0.00
                                    $24.64
                                      12
                                    $295.68
                                    TOTAL:
                        (for both Exporters & EPA)
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                    $2,454
[NOTES:]
[a]   Based on hourly burden estimates discussed in Section 3.3 of EIA (*).  
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
[b]   Based on hourly labor rates discussed in Section 3.2 of EIA.
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
[c]   Based on material costs discussed in Section 3.4 of EIA.

                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
[d]   Based on universe assumptions discussed in Section 3.1 of EIA, which reveal a total of approximately 12 CRT Recycling Exporters in the U.S.  And, we assume there is a 50/50 Percent Ratio regarding the total number of Large vs. Small U.S. CRT Exporters, such that there are 6 of each type in the above calculations.
(*) See Exhibit 1.
                                       

                                   Exhibit 3
     Costs for Meeting Proposed Reuse & Recycling Notification Changes
                   (Asking for minor additional information)
                                       
                                Cost per Notice
                                       
                              Cost of All Notices
                                   Activity
                           Manager Staff  Hours [a]
                           Technical Staff Hours [a]
                          Clerical    Staff Hours [a]
                     Total Hours [b] (10% of Orig. Hours)
                      Total         Labor       Cost [c]
                           Total Material Costs [d]
                          Total       Cost per Notice
                         Number       of Entities [e]
                        Estimated Number of Notices [f]
                                  Total Cost 

                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
U.S. Exporters
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
Prepare& submit notification Subtotal for Exporters:  
                                     0.00
                                     1.50
                                     0.00
                                     0.15
                                    $10.51
                                     $0.00
                                    $10.51
                                      138
                                 233  to  435
                              $2,449  to  $4,572
                                                                               
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
EPA
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
Receive and process notification
                                     0.00
                                     1.00
                                     0.00
                                     0.10
                                     $6.32
                                     $0.00
                                     $6.32
                                      138
                                 233  to  435
                              $1,473  to  $2,749
Prepare and transmit confirmation of receipt to U.S. exporter
                                     0.00
                                     0.00
                                     0.25
                                     0.025
                                     $0.92
                                     $0.00
                                     $0.92
                                      138
                                 233  to  435
                                $213  to  $398
Forward notification to the competent authorities of the countries of import and transit 
                                     0.00
                                     0.00
                                     0.16
                                     0.016
                                     $0.59
                                     $0.00
                                     $0.59
                                      138
                                 233  to  435
                                $137  to  $255
Receive and process Acknowledgement of Receipt from the competent authority of the country of import
                                     0.00
                                     0.00
                                     0.25
                                     0.025
                                     $0.92
                                     $0.00
                                     $0.92
                                      138
                                 233  to  435
                                $213  to  $398
Receive and process consent/objection from the competent authorities of the countries of import and transit 
                                     0.00
                                     0.00
                                     0.16
                                     0.016
                                     $0.59
                                     $0.00
                                     $0.59
                                      138
                                 233  to  435
                                $137  to  $255
Forward written Acknowledgement of Consent or objection to U.S. exporter 
                                     0.00
                                     0.00
                                     0.25
                                     0.025
                                     $0.92
                                     $0.00
                                     $0.92
                                      138
                                 233  to  435
                                $213  to  $398
                                                              Subtotal for EPA:
                                     0.00
                                     1.00
                                     1.07
                                     0.207
                                    $10.26
                                     $0.00
                                    $10.26
                                      138
                                 233  to  435
                              $2,386  to  $4,453
                                                                               
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                            Total for both Exporters & EPA 
                                     0.00
                                     2.50
                                     1.07
                                     0.357
                                    $20.77
                                     $0.00
                                    $20.77
                                      138
                                 233  to  435
                              $4,835  to  $9,025
Notes:
[a]   Staff  level hourly burden estimates are discussed in Section 3.3 of EIA (*). 
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
[b]   Total final hourly burden estimates are conservatively assumed to only involve an additional burden equal to 10% of the overall burden from 
the notification requirements under the current CRT Rule.  
[c]   Based on hourly labor rates discussed in Section 3.2 of EIA.
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
d    Since entities are already required to submit Recycling and Reuse Notices, the effected entities face no additional costs associated with mailings, 
copies, facsimiles, etc. due to the newly proposed modifications to the existing notices.
[e]  The projections for the total number of entities potentially impacted by the rule are discussed in Section 3.1 of EIA.

[f]   The projections for the total number of notifications that may be submitted annually is discussed in Section 3.5 of EIA.
(*) See Exhibit 1.