Document ID: EPA-HQ-OAR-2004-0093-0008
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2010-11-29T05:00Z

SUPPORTING STATEMENT FOR STANDARD FORM 83-1

REPORTING AND RECORDKEEPING REQUIREMENTS

FOR THE COLLECTION REQUEST

FOR THE CLEAN AIR ACT TRIBAL AUTHORITY 

TABLE  OF CONTENTS

1.  Identification of the Information Collection

1(a)	Title of Information Collection

1(b) 	Short Characterization/Abstract

2.  Need for and use of the Collection

2(a) 	Need/Authority for the Collection

2(b) 	Practical Utility Users of the Data

3.  Non duplication, Consultations, and Other Collection Criteria

3(a) 	Non-duplication

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

3(c) 	Consultations

3(d) 	Effects of Less Frequent Collection

3(e) 	General Guidelines

3(f) 	Confidentiality

3(g)	Sensitive Questions				

4.  The Respondents and the Information Requested

4(a)	Respondents/SIC Codes

4(b)	Information Requested

Data items, including record keeping requirements

Respondent Activities

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

5(a) 	Agency Activities

5(b)	Collection Methodology and Information Management

5(c)	Small Entity Flexibility

5(d)	Collection Schedule

6.  Estimating The Burden and Cost of the Collaboration

6(a)	Estimating Respondent Burden

6(b)	Estimating Respondent Costs

Estimating Labor Costs

Estimating Capital and Operation and Maintenance Costs

Capital/Start-up Operating and Maintenance (O&M) Costs

Annualizing Capital Costs

6(c)	Estimating the Agency Burden

6(d)	Estimating the Respondent Universe and Total Burden and Costs

6(e)	Bottom Line Burden Hours and Cost Tables

Respondent Talley

The Agency Talley

Variations in the Annual Bottom Line

6(f)	Reasons for Change in Burden

6(g)	Burden Statement

SUPPORTING STATEMENT FOR STANDARD FORM 83-1

REPORTING AND RECORDKEEPING REQUIREMENTS

FOR THE COLLECTION REQUEST

FOR THE CLEAN AIR ACT TRIBAL AUTHORITY

PART A OF THE SUPPORTING STATEMENT

IDENTIFICATION OF THE INFORMATION COLLECTION

1(a)  Title of Information Collection

		

Reporting and Recordkeeping Requirements for Clean Air Act Tribal
Authority (40 CFR part 35, subpart B; parts 9, 49, 50 and 81).  This
Information Collection Request (ICR) Number is 1676.06.   The OMB
control number is 2060-0306.  This is a renewal ICR is for implementing
Section 301(d) of the Clean Air Act.

1(b)  Short Characterization/Abstract

	The purpose of this ICR is to estimate the burden associated with the
regulation governing the treatment of Indian tribes in the same manner
as states as authorized in Section 301 (d) of the Clean Air Act.  The
reporting burden is a one-time application for authorization to adopt
Clean Air Act programs through regional program offices.	

This Information Collection Request (ICR) seeks authorization for tribes
to demonstrate their eligibility to be treated in the same manner as
states under the Clean Air Act (CAA) and to submit applications to
implement a CAA program.  This ICR extends the collection period of
information for determining eligibility, which expires May 31, 2011. 
The ICR also is revising the estimates of burden costs for tribes in
completing a CAA application.

	The program regulation provides for Indian tribes, if they so choose,
to assume responsibility for the development and implementation of CAA
programs.  The regulation, Indian Tribes: Air Quality Planning and
Management (Tribal Authority Rule [TAR] 40 CFR parts 9, 35, 49, 50 and
81), sets forth how tribes may seek authority to implement their own air
quality planning and management programs.  The rule establishes: 1)
which CAA provisions Indian tribes may seek authority to implement, 2)
what requirements the tribes must meet when seeking such authorization,
and 3) what Federal financial assistance may be available to help tribes
establish and manage their air quality programs. The TAR provides tribes
the authority to administer air quality programs over all air resources,
including non-Indian owned fee lands, within the exterior boundaries of
a reservation and other areas over which the tribe can demonstrate
jurisdiction. An Indian tribe that takes responsibility for a CAA
program would essentially be treated in the same way a state would be
treated for that program.

	The TAR adopts EPA’s “streamlined” eligibility review and
approval process for tribes to implement CAA programs.  The ICR was
prepared according to the guidance contained in the Office of
Information Collection (OIC) December 1996 ICR Handbook.  This handbook
is the Agency’s most current guidance document for preparing an ICR
and follows the provisions of the Paperwork Reduction Act (4 U.S.C.
section 1320) and the Office of Management and Budget (OMB) guidelines.

	

NEED FOR AND USE OF THE COLLECTION

2(a)  Need/Authority for the Collection

Implementation of regulations includes a collection of information by
EPA from Indian tribes for purposes of determining if a tribe is
qualified for delegation of the CAA Program. Section 114 of the CAA is
the authority for the collection of information.

Section 301(d) of the Clean Air Act (CAA) directs the Administrator of
the Environmental Protection Agency (EPA) to promulgate regulations
specifying those provisions of the Act which are appropriate for
treating tribes in the same manner as states.  The regulations, which
were approved in 1998, give tribes the opportunity, if they choose, to
carry out virtually all Clean Air Act (CAA) programs.  The rule
authorizes eligible tribes to implement CAA programs over all air
resources within the exterior boundaries of their reservations,
including non-Indian owned fee lands, or other areas within the
tribes’ jurisdiction.  This ICR requests clearance for tribes to apply
for authority to administer CAA programs.

2(b)  Practical Utility Users of the Data

	EPA uses the submitted information to determine if the tribe meets the
statutory criteria under CAA Section 301 (d) and is qualified for
program delegation.

NON-DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA

3(a)  Non-duplication

To avoid requiring submission of duplicate information, EPA will accept

information previously submitted by an Indian tribe (i.e., information
included in an application for treatment in the same manner as a State
under another Act).

		

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

			

In compliance with the Paperwork Reduction Act, EPA solicited comments
for a 60-day period prior to submission of the ICR to OMB.  Comments
were requested by January 30, 2011 via a Federal Register
EPA-HQ-OAR-2004-0093.  

3(c) Consultations

	An EPA workgroup drafted the proposed regulation following consultation
with various tribal representatives and extensive internal review.  In
developing this regulation EPA consulted with tribal representatives at
the National Tribal Conference on Environmental Management in Cherokee,
N.C. in May 1992 and at three “outreach meetings” in Chicago, Denver
and San Francisco in November 1992.  A final set of outreach meetings
was held with tribal representatives and with members of the State and
Territorial Air Pollution Administrators and the Association of Local
Air Pollution Control Officials (STAPPA/ALAPCO, now renamed National
Association of Clean Air Agencies or NACAA) in September 1993. 
Suggestions and comments articulated during these exchanges, most
supporting the delegation of the CAA authority to tribes, were
incorporated as appropriate into the proposed rule. The proposed rule
was published on August 25, 1994 and solicited additional comments from
the general public. These comments were addressed in the final rule
promulgated in 1998.  

          Prior to this renewal, each Regional EPA Office was contacted
and asked to provide estimates to support the action.  The Regional
Offices confirmed the estimated average burden of nine actions per year
for each of the next three years.  Members of the public were also
consulted during this renewal and asked to comment.  Three respondents,
representing the public, tribes and tribal organizations responded and
had no comments.  These respondents were Ryan Callison of Gore Oklahoma,
Brandy Toft of Bemidji Minnesota, and Mehrdad Khatibi, Assistant
Director of the Institute for Tribal Environmental Professionals at
Northern Arizona University in Flagstaff Arizona.  This consultation
indicates that tribes and the public continue to be comfortable with the
process as it is being conducted and have a good understanding of the
requirements.  

3(d)  Effects of Less Frequent Collection

	Applications by Indian tribes for eligibility in air quality programs
are a one-time collection of information per respondent.

3(e)  General Guidelines

No paperwork reduction guidelines contained in 5 CFR 1320.5 are exceeded
by this information collection.

3(f)  Confidentiality

Any information submitted to the Agency for which a claim of
confidentiality is made will be safeguarded according to the Agency
policies set forth in Title 40, Chapter 1, part 2, subpart B -
Confidentiality of Business Information (see 40 CFR 2; 41 FR 36902,
September 1, 1976; amended by 43 FR 40000, September 8, 1978; 43 FR
42251, September 20, 1978; 44 FR 17674, March 23, 1979).  

	3(g)  Sensitive Questions

	

	There are no sensitive questions.

			

THE RESPONDENTS AND THE INFORMATION REQUESTED

4(a)  Respondents/SIC Codes

Indian Tribes would be the sole respondents to this ICR. EPA estimates
that 27 of the 570 tribes -- over the three year clearance period --
will apply for eligibility for CAA programs. Based on a survey of
regional offices and basic knowledge of tribes, EPA assumes that 9
tribes will submit applications in Year 1, 9 in Year 2, and 9 in year 3.
The assumption is based on projections provided by each Regional Office.
 The TAR was promulgated in 1998, and tribes are just now building air
quality programs.  Therefore, EPA expects the number of applications to
remain relatively constant in the out years as additional tribes build
capacity. However, since tribes have the option of applying for CAA
programs, and it is ultimately up to the EPA to implement the Act where
there is a gap, more or less tribes may be interested in seeking
eligibility. If more tribes express an interest during the public
comment period, EPA will revise this ICR and the estimated burden
accordingly.

4(b)  Information Requested.

Data items, including record keeping requirements

Recommend tribe maintain a copy of all documents produced on file in the
tribal government offices.  No data is collected as part of this action.

Respondent Activities

	To be eligible for delegation of CAA programs, an Indian tribe must
submit documentation showing they meet the following criteria: 1) be
recognized by the Federal government (CAA section 302(r);  2) have an
existing governing body which carries out governmental duties (such as
tax and police functions);  3) show that the management and protection
of air resources applies within the exterior boundaries of the
reservation or other areas within the tribe’s jurisdiction, and 4) be
reasonably expected to be capable of implementing all applicable
regulations.  Meeting the definition of “Federally recognized tribe”
(Section 302(r)) can be achieved in two ways: 1) approval by the
Secretary of Interior (or in the process of doing so) as documented in
the Federal Register notices periodically published by the Secretary; or
2) previous EPA approval for implementation of another program under
another environmental statute. Previous eligibility determination under
another EPA program (such as the CWA, SDWA, or other CAA program)
satisfies the governing body requirement as well.  If an initial
declaration has not yet been approved, this can be shown by
demonstrating that the tribe is performing governmental functions to
promote the public health, safety and welfare of the population,
including such things as levying taxes, acquiring land by exercising the
power of eminent domain, and police powers.

	As for the third criterion, demonstration of appropriate jurisdiction,
identifying tribal jurisdictions clearly and with precision, can be done
with the use of maps and a legal description of the area; if the tribe
is asserting jurisdiction over off-reservation lands, it must
demonstrate the legal and factual basis for its jurisdiction consistent
with applicable principles of Indian law.

	In evaluating a tribal demonstration of program implementation
capability, EPA considers their management and technical skills by
reviewing the following factors: 1) tribe’s previous management
experience, 2) existing environmental or public health programs
administered, 3) mechanism(s) in place for carrying out the executive,
legislative and judicial functions of the tribal government, 4) the
relationship between regulated entities and regulating administrative
agency, and 5) the technical and administrative capabilities of the
staff. Tribes with limited management and technical skills can also
submit a plan detailing steps for acquiring those skills.			

THE INFORMATION COLLECTED—AGENCY ACTIVITIES, COLLECTIONS METHODOLOGY
AND INFORMATION MANAGEMENT

5(a)  Agency Activities

EPA will review the applications to determine if they meet the
eligibility criteria.

5(b)  Collection Methodology and Management

	The collection methodology for this ICR maintains that a tribal
application for implementation of a CAA program is a one-time submission
that does not lend itself to electronic formatting. For example, tribal
boundary information would be difficult to translate electronically.
These applications will be reviewed and retained by the regional program
offices.

5(c)  Small Entity Flexibility

Information collection requirements covered in this ICR will not affect
small businesses. All respondents are Indian tribes.

5(d)  Collection Schedule

Tribes can apply on a voluntary basis for eligibility under the CAA
Tribal Authority Rule.  Therefore, a collection schedule is not
applicable.

ESTIMATING THE BURDEN AND COST OF THE COLLECTION

This section provides information on the cost and burden associated with
the information collection for both the respondents and the Agency.  I
present these cost and burden estimates as individual costs per
respondent, and as an aggregate cost for the entire respondent universe
and the Agency on an annual basis and over the entire period covered by
the ICR.

6(a) Estimating Respondent Burden

The annual burden to the respondent Indian tribes is a function of the
requirements of the eligibility application and average time required
for tribes to complete each information item. The average burden per
respondent varies, depending on whether the tribe has received approval
under another environmental program, i.e., Clean Water Act, Safe
Drinking Water Act.  The annual burden per tribe is estimated at 40
hours at a cost of $2,362.00. The estimated annual burden is 320 hours
at a cost of $26,096.00.  See Exhibit I.

Exhibit 1

Annual Respondent Burden and Costs

Activity	(A)Tech

hrs.

($59.05 hr.)	(B)Burden

hrs.	(C)Collection

Cost	(D)* Annual

collection

	Annual

Burden

(hrs)

(B)*(D)	Total

Annual

Cost

(C)*(D)

Collecting

Compiling

Reporting

Total	13

11

16

40	13

11

16

40	$767.65

$649.55

$944.80

$2362.00	N/A

N/A

N/A

8*	N/A

N/A

N/A

320	

$18,896.00

* Annual collection is the average number of collections per year. For
the three-year period, EPA expects a total of 25 respondents.  25
respondents / 3 years = 8 collections annually.

The annualized responses per year over the three-year period: 25/3=8.

The annualized burden hours over the three year period: 960/3=320.

6(b)  Estimating Respondent Costs

The cost imposed on the tribes as respondents includes the burden placed
on collecting, compiling, and reporting the information and the wages of
the typical tribal worker performing these activities.  The cost is
associated with salaries and overhead for tribal employees will probably
vary significantly.  The average respondent per hour labor cost is
$59.05 ($28.12*110%) for an Environmental Scientist. The rates include a
factor of 110%, added to each labor rate per Office of Management and
Budget (OMB) policy.  The labor rates are based on hourly wages for the
appropriate government (tribal) employees as determined by using the
Bureau of Labor and Statistics (BLS) employment cost trends tables for
government (tribal) workers, May 2009.  A 110% factor was added to the
original rates per OMB policy.  The cost per respondent is estimated to
be $2,362.00; the total annual respondent cost is $56,688.00.  The total
cost for the three-year collection period is $18,896.00.

 Estimating Labor Costs

This rule incorporates the Agency’s streamlined process for treating
tribes in manner similar to the States. Since tribes are not required to
participate in this program, the number of applications will vary
depending upon air quality conditions, presence of major sources of air
pollution on reservations, and the tribes’ interest in and capacity to
carry out CAA programs. For the purposes of estimating the total burden
associated with the regulation, EPA has derived the following estimates:

The estimated number of respondent tribes applying for CAA programs over
the next three years is 25.  The annual average is 8 (25 respondents
divided by 3 years).

EPA estimates 40 hours per respondent for an annual burden of 360 hours.

The average respondent labor cost is $59.05 per hour for
Professional/Technical.  A factor of 110% was added to each labor cost
category per Office of Management and Budget policy.

The annual per respondent cost is $2,362.00.  The annual total cost is
estimated to be $18,896.00 per year for a total of $56,688.00 over the
three-year collection period.

Estimating Capital and Operations and Maintenance Costs	

There are no capital and operations and maintenance costs since the
information collection only requires an application for eligibility to
be filed so as to participate in a program. No capital investments are
required to develop the application and no operations and maintenance
costs are encountered.

  Capital/Start-up Operating and Maintenance (O&M) Costs

  Annualizing Capital Costs					

6(c) Estimating Agency Burden and Costs

The burden and cost imposed on the Federal government is a function of
1) the average number of responses to each information collection and
reporting requirements, for this EPA expects 8; and 2) the time required
for the Federal government to review and process that information, and
EPA estimates it will take an average of 40 hours per respondent.  EPA
expects to review, on an annual basis, 8 responses at 40 hours per
response for an annual burden of 320 hours. EPA’s review of the 25
tribal applications -- over the three-year clearance period -- is 1,000
hours.  The review time will be considerably less if the Indian tribe
has already established eligibility with another EPA program, but it
also may be higher.  Each individual respondent has separate and unique
circumstances that affect the amount of time required of the EPA to
process an application.  Therefore, additional time may be required, but
the EPA estimates that it takes on average, 40 hours per respondent to
review, publish, consult, and finalize a single request.

	Annual Burden: 8 responses *40 hrs./response= 320 hrs.

	Total Burden: 25 responses * 40 hrs./response = 1000 hrs.

	The cost imposed on the Federal government for review of the
information requirements is the burden of reviewing information
(described above) and the wages of the typical Federal worker performing
these activities.  The cost associated with salaries and overhead for
Federal employees will probably vary significantly.  As preciously
mentioned, it is difficult to predict the number of hours EPA will spend
on any given respondent. On average it will take 40 hours.

	This ICR uses estimates from the hourly rate for federal workers as per
the Office of Personnel Management’s (OMB) rate for General Service
(GS) federal employees, May, 2010.  The average rate for a GS-10,
$30.88, plus a factor of 160% to include employee benefits as per OMB
policy, amounts to $80.29 per hour labor cost.  The annual Agency cost
is $22,481.20.  The total Agency cost over the three-year collection
period is estimated to be $70,253.75.  See Exhibit 2.

Exhibit 2

Annual Agency Burden and Costs

Activity	(A)GS-10

hrs.

($80.29 hr.)	(B)Burden

hrs.	(C)Collection

Cost	(D)*

Annual

Collection	Annual

Burden (hrs)

(B)*(D)	Annual

Cost

(C)*(D)

Collecting

Compiling

Comments

Total	9

9

17

35	9

9

17

35	$722.61

$722.61

$1,364.93

$2,810.15	N/A

N/A

N/A

8*	

280	

$22,481.20

* Annual collection is the average number of collections per year. For
the three-year period, EPA expects a total of 25 respondents. 25
respondents / 3 years = 8 collections annually.

The annualized responses per year over the three year period: 25/3=8.

The annualized burden hours over the three year period is 840/3=280.

6(d)  Estimating the Respondent Universe and Total Burden and Costs

The annual burden for the respondents is 320 hours.  The annual cost for
the respondents is $26.096.00.  The total burden and cost for the
respondents is, 1,080 hours at a cost of $78.288.00 for the three-year
collection period.  The annual burden for the Agency is 280 hours.  The
annual cost for the Agency is $22,481.20.

The total burden and cost for the Agency is 875 hours at a cost of
$70,253.75.for the three-year collection period.

6(e)  Bottom Line Burden Hours and Cost Tables

The bottom line burden hours and cost tables for respondents are the
summaries of all the hours and costs incurred for all activities

 Respondent Tally

The bottom line Respondent Tally is presented in Exhibit 1

The Agency Tally

The bottom line Agency Tally is presented in Exhibit 2

Variations in the Annual Bottom Line

The burden and cost estimates are not expected to vary from year to year
over the collection period for this ICR.  That is, the bottom line
tallies presented in Exhibit 1 and 2 are not expected to change over the
course of the next 3 years.

6(f)  Reasons for Change in Burden

The 293 Burden Hours approved by OMB for the active ICR (Total Hours
Requested), used the first year of the ICR’s three year period, since
it reflected the highest estimated number of responses. For this ICR, an
annualized average of the ICR’s three year periods were used
(420+300+360)/3=360 hours. The total burden hours have been updated to
reflect new estimates that are based on the number of applications the
EPA received under the previous ICR and what EPA estimates it will
receive in the upcoming years. There is no difference between the active
ICR and this ICR based on our estimates of equal numbers of responses.

	The estimates were revised in part because the respondents that have
already received eligibility will not apply again in this period.
However, they may apply for additional programs and in this case EPA
believes it will take less time to process. EPA estimates that it takes
a respondent an average of 40 hours to process a single request.
Additionally, several respondents that were originally expected to
request eligibility have done so.

	Tribes are not required to seek this eligibility and therefore it is
possible that the actual number of respondents will differ from the
estimates. These numbers represent EPA estimates based on discussion
with regional offices and expectations of the capacity of tribes to
actively seek eligibility.

6(g)  Burden Statement

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

	To comment on the Agency's need for this information, the accuracy of
the provided burden estimates, and any suggested methods for minimizing
respondent burden, including the use of automated collection techniques,
EPA has established a public docket for this ICR under Docket ID Number
OAR-2004-0093, which is available for online viewing at  HYPERLINK
"http://www.regulations.gov/" www.regulations.gov , or in person viewing
at the Air and Radiation Docket and Information Center  in the EPA
Docket Center (EPA/DC), EPA West, Room B102, 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 Clean Air Act Tribal Authority is (202)
566-1742.  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 OAR-2004-0093
or R###-XXX-200X-XXXX and OMB Control Number 2060-0306  in any
correspondence.

	

Part B of the Supporting Statement

	This part is not applicable because no statistical methods were used in
collecting this information.

DRAFT