Information Collection Request (ICR) Supporting Statement for Clean Water State Revolving Fund Program
	OMB NO.2040-0118, EPA ICR NO. 1391.10

Terms of Clearance for Current ICR:

This information collection is approved for one year. In its subsequent renewal submission, EPA shall submit an updated supporting statement that includes (a) an updated description of the program and the information needed from respondents; (b) updated burden and cost estimates associated with the information; (c) a description of the method by which the information should be submitted to EPA; (d) a new FR citation soliciting comments and a summary of public comments received in response to the citation; and (e) a summary of consultation with representatives outside of EPA to obtain views on availability of data, frequency of collection, clarity of instructions, and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported. In addition, EPA shall, to the extent possible, include in its request all forms and instructions related to the information covered by the supporting statement.

The supporting statement has been updated to reflect the Terms of Clearance.

A.  Justification

1.1 Short Characterization/Abstract

The Clean Water State Revolving Funds (CWSRF) were established by the 1987 amendments to the Clean Water Act (CWA) as a financial assistance program for a wide range of wastewater infrastructure and other water quality projects. The 1987 amendments added Title VI to the CWA, enabling EPA to provide grants to all 50 states and Puerto Rico to capitalize CWSRFs. The CWSRFs can provide loans and other forms of assistance for a wide array of projects, including construction of wastewater treatments facilities, green infrastructure projects, agricultural best management practices, and activities that improve water quality. Eligible borrowers of CWSRF funding range from municipalities to nonprofit organizations and other private entities. Recently, Title VI of the CWA was amended in 2014 by the Water Resources Reform and Development Act. Additional information about the CWSRFs is available at http://www.epa.gov/cwsrf/learn-about-clean-water-state-revolving-fund-cwsrf.

This ICR renews the Office of Management and Budget (OMB) Number 2040-0118 CWSRF ICR and provides updated estimates of the reporting burden associated with the information collection activities. The updated estimates are based on EPA's most recent public consultation and capture the estimated impact of the WRRDA amendments.

The individual information collections covered under this ICR are briefly described as follows:

      Capitalization Grant Agreement/Intended Use Plan
      The Capitalization Grant Agreement is the principal instrument by which a CWSRF commits to manage its revolving fund program in conformity with the requirements of the Clean Water Act. The grant agreement contains or incorporates by reference the intended use plan, application materials, required certifications, and other documentation required by EPA. The intended use plan describes how a CWSRF program intends to use its funds for the upcoming year to meet the objectives of the Clean Water Act (CWA).

      Annual Report
      The annual report indicates how the CWSRF has met its goals and objectives of the previous state fiscal year as stated in the grant agreement and, more specifically, in the intended use plan. The report provides information on loan recipients, loan amounts, loan terms, project categories of eligible costs, and similar data on other forms of assistance.

      Annual Audit
      The CWA requires a CWSRF to undergo an annual audit. Though an audit conducted under the Single Audit Act meets this requirement, EPA still recommends that a CWSRF also undergo a separate independent audit as a best management practice. The audit must contain an opinion on the financial condition of the CWSRF program, a report on its internal controls, and a report on compliance with applicable laws and the CWA.

      Clean Water National Information Management System (CWNIMS) and CWSRF Benefits Reporting (CBR)
      To meet the CWA objective of "promoting the efficient use of fund resources," states must enter financial data, including project disbursements, into the CWNIMS database on an annual basis. This publicly available information is used by the EPA to assess compliance with the CWSRFs' mandate to use all funds in an "expeditious and timely" manner and achieve the objectives of the CWA. Project level data is collected on a quarterly basis using the CBR System to record projected environmental results from CWSRF projects.

      Public Awareness Policy
      Per EPA Grants Policy Issuance (GPI) 14-02: Enhancing Public Awareness of EPA Assistance Agreements, CWSRF borrowers must publicize the EPA's involvement in project funding only up to the funding amount in each year's capitalization grant. The CWSRFs have various options to meet this requirement.

With the exception of the public awareness policy, the respondents for the information collection activities are the state environmental departments, and/or finance agencies responsible for operating the CWSRFs. The public awareness policy directly impacts CWSRFs borrowers that are designated as recipients of federal funds. The burden associated with the public awareness policy may have an impact on small entities. However, this impact is mitigated by the fact that the CWSRFs have flexibility in determining which borrowers must comply with this requirement.

This renewal adds two information collections activities not included in the previous version of the ICR. Specifically, the renewal includes the additional burden associated with the EPA requirement that the CWSRFs submit data into the CWNIMS and CBR databases on a recurring basis. The renewal also reflects the additional burden related to the recently released public awareness policy, directing CWSRF borrowers that receive federal funds to publicize EPA's role in funding the projects.

Though these information collection activities add additional burden, the total estimated reporting burden under this renewal is significantly lower compared to the previously approved ICR. The estimate of the annual burden has been decreased by 748,471 hours while the total annual cost burden has been decreased by $17,744,006. This significant revision is due to the removal of the burden associated with CWSRF applications and ongoing ARRA reporting.

1.2 Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection.

Title VI of the CWA provides the statutory basis for having a CWSRF prepare and submit a capitalization grant agreement, intended use plan, annual report, and annual audit. EPA also requires that the CWSRFs periodically enter program and project level information into CWNIMS and CBR databases. These databases provide EPA with the information needed to effectively evaluate the performance of the CWSRFs and to ensure compliance with statutory and other federal requirements.

Prior to awarding a capitalization grant, EPA must have sufficient assurances that a CWSRF will be managed in compliance with the CWA. To ensure that EPA receives these assurances, the CWA provides specific instructions to the state for developing and submitting the capitalization grant agreement. The contents of the capitalization grant agreement are governed by Section 602, which lists the assurances and certifications a CWSRF must provide to EPA. As part of the capitalization grant agreement, a state must submit an intended use plan that is developed in accordance with Section 606(c). In addition to mandating the minimum level of information that must be included in the intended use plan, Section 606(c) also requires that a CWSRF provide an opportunity for public comment before the plan can be submitted to EPA for review. The intended use plan must also reflect how a CWSRF will comply with other federal requirements. These federal requirements are usually included in annual appropriation acts. Two major requirements that have accompanied recent annual appropriations involve the use of additional subsidization and the funding of the projects that promote such activities as green infrastructure and water and energy efficiency improvements.

To help ensure that there is sufficient oversight of the CWSRFs, the CWA also requires that a CWSRF annually submit a report to EPA and undergo an audit. Under section 606(d), a CWSRF is required to develop and submit an annual report describing how it has met the goals and objectives included in the previous year's intended use plan. The annual report must also include detailed information on the financial assistance provided through the CWSRF program over the past year, including identification of the loan recipients, assistance amounts and terms, and other related information. Section 606(b) requires each CWSRF to have an annual audit that is conducted in accordance with the auditing procedures of the General Accounting Office to ensure the proper usage of all CWSRF funds.

In addition to these statutory requirements, EPA will continue to direct the CWSRFs to submit program and project level information through the CWNIMS and CBR databases on a periodic basis. The information collected through these databases is critical to EPA's oversight responsibilities in ensuring the timely and expeditious use of CWSRF funds and the long-term financial sustainability of the CWSRFs. The information collected through CBR database also serves another important role by establishing a stronger link between CWSRF financed projects and the projected environmental benefits as required by EPA Order 5700.7, Environmental Results Under Assistance Agreements.

The CWSRFs are asked to submit program level financial data annually through CWNIMS, including loan amounts, disbursements, repayments, and other critical information. The data collected supports section 606(e) of the CWA, requiring EPA to conduct annual oversight reviews of the CWSRFs. The CWNIMS database complements the annual report and audit by providing a current snapshot of financial activity and the extent of which the CWSRFs funds have been committed and disbursed for projects. The CWNIMS database also provides an overview of the types of projects and the recipients receiving CWSRF funding. This comprehensive overview on program activity allows EPA to discuss the future direction of the CWSRFs and head off potential concerns before they become major problems.

The CWNIMS database is also instrumental in allowing EPA to document the progress of the CWSRFs in addressing the nation's water quality needs to the public and Congress. Information provided by this database is an essential part of EPA's testimony before the Congressional appropriations and authorizing committees that oversee environmental infrastructure programs.  The data collected by this system is made available to the public and greatly supports outreach efforts by EPA and several key state and trade organizations (e.g., Council of Infrastructure Financing Authorities, Association of Clean Water Administrators, National Utility Contractors Association, and Water and Wastewater Equipment Manufacturers Association).

The CBR database was originally developed to assist states in complying with EPA Order 5700.7, Environmental Results Under Assistance Agreements, which became effective on January 1 2005. The Order aimed at addressing environmental results under EPA assistance agreements, including grants and cooperative agreements, and to establish a stronger linkage between EPA financed projects and the goals of the Agency's Strategic Plan.  The CWSRFs had the option of meeting the EPA Order by entering project level data into CBR and producing report-outs that could then be included in their annual report. The CWSRFs that chose not to use CBR were required to work with EPA to show appropriate outputs and outcomes that can be tied back to the Strategic Plan.

Since 2010, Congress has included several major provisions in the annual appropriations that affected the CWSRFs. One of the provisions included the Green Project Reserve requirement that directed a portion of the federal funding be used to fund projects that addressed green infrastructure, water efficiency improvements, energy efficiency improvements, or environmentally innovative activities. Another provision directed that a portion of federal funding be used to provide additional subsidization in the form of principal forgiveness, negative interest loans, or direct grants.  Accompanying these provisions was conference language that directed EPA to not only track how additional subsidies are used, but also by what types of communities. These provisions have been carried over into subsequent appropriations.

The CBR database was determined to be the best option for collecting and tracking this information. As a result, data entry into CBR database stopped being optional in 2010. The CWSRFs are required to enter project level information into the CBR database on a quarterly basis. This frequency of collection is to ensure that EPA can provide a timely response to congressional inquiries with the most up-to-date data. In response to constant inquiries regarding the status of meeting the annual GPR requirements, EPA also uses the CBR database to track funding under the GPR requirement. The CWSRFs are also still expected to complete the data fields established in 2005, tracking general project information and projected environmental results.

The recently released EPA Grants Policy Issuance (GPI) 14-02: Enhancing Public Awareness of EPA Assistance Agreements requires CWSRF borrowers designated as recipients of federal funds to publicize the EPA's involvement in the funding of the project. The purpose of this policy is to enhance public awareness of EPA assistance agreements nationwide and communicate the positive impact and benefits of EPA funding around the country. This requirement went into effect in FY 2015 and applies to all future federal capitalization grant awards.

 2. Indicate how, by whom, and for what purpose the information is to be used. Except for a new collection, indicate the actual use the agency has made of the information received from the collection.

The information collection activities serve several important functions. Foremost, they are the means by which EPA can assess whether the CWSRFs are being properly managed. They factor heavily in EPA's determination of whether a CWSRF should be awarded a capitalization grant. The capitalization grant agreement/intended use plan not only provides detailed information on how a CWSRF will operate its program in the upcoming year, it is instrumental in legally binding a CWSRF to fulfilling its responsibilities under the CWA. Working in concert with the capitalization grant agreement/intended use plan are the annual report and audit, which provide EPA with documentation that a CWSRF is actually operating in compliance with the CWA and thus sufficiently meeting the assurances provided through the capitalization grant agreement/intended use plan. While the CWNIMS and CBR databases support program oversight, they also have an important role when it comes to public outreach and responding to stakeholder inquiries in a prompt and effective manner. The purpose of the new public awareness policy is to better inform the public of the role EPA has in supporting CWSRF funded projects that yield numerous economic and environmental benefits.

With the exception of the public awareness policy, the respondents for the information collection activities are the state environmental departments, and/or finance agencies responsible for operating the CWSRFs. The public awareness policy directly impacts CWSRFs borrowers that are designated as recipients of federal funds. The burden associated with the public awareness policy may have an impact on small entities. However, this impact is mitigated by the fact that the CWSRFs have flexibility in determining which recipients must comply with this requirement.

Capitalization Grant Agreement / Intended Use Plan

The capitalization grant agreement is the principal instrument by which a CWSRF commits to manage its program in conformance with the requirements of the CWA as a prerequisite of receiving a capitalization grant award. The capitalization grant agreement contains, or incorporates by reference, the following: the grant application form (EPA Standard Form (SF) No. 424/OMB No. 2020-0020), intended use plan, attorney general certification, and other documentation required by EPA. This material is submitted to EPA through the www.grants.gov  website.

A critical component of the capitalization grant agreement is the intended use plan. This document not only covers what a CWSRF plans to accomplish for the upcoming year, it also provides EPA with detailed information on how a CWSRF will meet the assurances included as part of the capitalization grant agreement. At a minimum, the IUP must include the following:

 Short-term and long-term goals.
 "Sources and Uses" table that documents the amount of funding that is expected to be available in the upcoming year from capitalization grant awards, state contributions, loan repayments, earnings, and other non-federal sources. This table also shows how this funding will be used for eligible projects and administrative expenses. The maximum amount that can be used to cover administration is set by section 603(d)(7).
 Documentation for how the CWSRF plans to provide the required 20% state match.
 Documentation on whether fees will be charged, the basis for the fees, and the planned uses of fee revenue.
 A schedule/estimate for when it will enter into binding commitments on projects to ensure that it meets the requirement that a CWSRF enters into binding commitments equal to the federal grant payment and accompanying 20% state match within one year of receipt of a grant payment. The intended use plan must also document the procedure by which grant funds will be drawn from the federal treasury into the CWSRF.
 A summary of the CWSRF's financial plan, including loan interest rate(s); information on how the interest rate, loan term and additional subsidies are established for the types of assistance the state will offer; and how it will maintain the long term health of the Fund. To the extent known, it should also include the state's plans on leveraging and the level of bond issuance.
 Documentation on the state's compliance with the following requirements:
 The CWSRF will conduct environmental reviews according to its own established State Environmental Review Process.
 The CWSRF will expend all funds in a timely and expeditious manner.
 The new capitalization grant agreement requirements added by WRRDA involving cost and effectiveness analysis and procurement of architectural and engineering services. This also includes fiscal sustainability planning by CWSRF assistance recipients required under section 603(d)(1)(e) of the CWA.
 Documentation for how the state will ensure compliance with the Single Audit Act, the Federal Funding Accountability and Transparency Act, and federal crosscutters.
 Documentation on whether funds will be transferred between the CWSRF and DWSRF in accordance with section 302 of the Safe Drinking Water Act and/or that the state reserves the right to transfer funds in the future.
 A list of projects the CWSRF plans to fund. This list should include the following
 Documentation that any project meeting the definition of a publicly owned treatment work was ranked based on the state's project priority setting system.
 Project description sufficiently detailed to determine project eligibility.
 Type and amount of financial assistance.
 NPDES permit number (if applicable).
 A description of how the CWSRF plans to meet the Green Project Reserve requirement included in recent annual appropriations. To the extent possible, this description should include a list of the projects that will be used to meet this target.
 A description of how the CWSRF plans to provide additional subsidization. To the extent possible, this description should include a list of the projects that will be used to meet the minimum required amount set by recent annual appropriations and under what conditions it is eligible under the CWA.

A CWSRF is required by the CWA to make the intended use plan available for public comment and review. EPA is also provided an electronic copy for review. Once a CWSRF makes any necessary revisions based on these comments, the CWSRF submits the final intended use plan through grants.gov as part of the capitalization grant agreement package.

Recently, EPA provided the CWSRFs with an example intended use plan to provide additional guidance on what should be included in this document. The purpose of the example intended use plan was to reduce the reporting burden by limiting the amount of interactions between a CWSRF and EPA.

Annual Report:

As required by the CWA, an annual report must be submitted to EPA covering program activities for the past year. A copy of the report is provided in an electronic format (e.g., MS Word or Adobe) to the EPA regional office within 90 days of the end of the CWSRF's fiscal year. The report must illustrate the progress a CWSRF has made towards meeting the goals and objectives of the previous fiscal year's IUP and capitalization grant agreement. Similarly, the report must document a CWSRF's compliance with the assurances included as part of the intended use plan.

The report must also provide detailed information on actual assistance provided, including: loan recipients; loan amounts; loan terms; project categories of eligible cost; and similar details on other forms of assistance. This information must note whether a project is being counted towards the Green Project Reserve requirement. Additionally, a CWSRF must include whether a project received additional subsidization and supporting rationale for why it was eligible to receive such assistance.

A CWSRF must also submit detailed financial statements as part of the annual report that provide a snapshot of its financial stability. If an annual audit has not yet been completed, the annual report should include draft financial statements and footnotes that are in accordance with generally accepted accounting principles (GAAP) to present fairly the financial condition and results of operation. Preferably, a CWSRF would include the financial statements resulting from the annual audit.

The report is one of the principal instruments by which a CWSRF demonstrates to EPA that it has abided by the assurances and terms set forth in the capitalization grant agreement. Any major discrepancies between the annual report and capitalization grant/intended use plan must be addressed to the satisfaction of EPA. The regional annual review of a CWSRF is usually where such concerns are identified and raised, though EPA may contact a CWSRF prior to the annual review if such action is deemed warranted.

Annual Audit:

Section 606(b) requires that a CWSRF undergo an independent annual audit consistent with the auditing procedures of the General Accounting Office, including chapter 75 of title 31, United States Code. Though an audit conducted under the Single Audit Act meets this requirement, it is strongly encouraged that a CWSRF still proceed with an independent annual audit. The rationale being that an independent audit looking only at a CWSRF provides a much more detailed and effective review as opposed to the Single Audit that groups a CWSRF with many other programs disbursing federal funds.

A CWSRF usually relies on the services of a professional auditing firm to conduct the independent audit. The audit includes testing of accounting records and other procedures the auditor considers necessary to express an opinion that the financial statements are fairly presented, in all material respects. Audits also include tests of documentary evidence supporting the transactions recorded in the accounts. The product of an audit generally includes issuing the following reports:

 Financial statements with an opinion (or disclaimer of opinion) as to whether the CWSRF financial statements are presented fairly in accordance with GAAP. As a minimum, financial statements should include a statement of net position or balance sheet, statement of revenues and expenses and changes in net position, a statement of cash flows, and notes to the financial statements.
 A report on internal controls related to the CWSRF financial statements. The report should describe the scope of testing of internal controls and the results of the tests.
 A report on compliance that includes an opinion as to whether the state has complied in all material respects with laws, regulations, and the provisions of the CWSRF capitalization grants.

Once completed, an electronic copy of the annual audit is provided to EPA. Of critical importance is whether the audit includes any findings or recommendations that either relay concerns that the financial statements may not accurately reflect the financial condition of the fund or that a CWSRF is not in compliance with one or more federal or state requirements. Working with EPA, a CWSRF must take steps to address these recommendations.

Clean Water National Information Management System (CWNIMS) and CWSRF Benefits Reporting (CBR)

The CWNIMS and CBR databases are designed to support EPA oversight responsibilities and public outreach efforts. Both databases are hosted on EPA servers located at the National Computer Center and can be accessed at the following web address: https://owsrf.epa.gov/. The CWSRFs use this website to establish an account and submit data in the NIMS and CBR databases. The NIMS database provides an annual snapshot of program level activity. By contrast, the CBR database collects project level and projected environmental benefits information quarterly.

During the summer of each year, the CWSRFs complete the CWNIMS data entry for the reporting period of July 1 to June 30. Once the CWSRFs have completed the data entry, EPA, with the assistance of a contractor, conducts a quality review. During the quality review, there is follow-up with the CWSRFs to address any questions or concerns regarding the most recent entries. Though a copy of the glossary that defines each data field is included with the supporting statement, a summary of what must be reported into CWNIMS is provided below:

 Federal and state contributions
 Total assistance provided
 Assistance by population served
 Assistance by needs category
 Leveraging activity (making additional funding available for projects by issuing bonds)
 Loan repayments
 Investment earnings

The data collected through the CWNIMS database is used to generate a variety of state and national reports that cover various aspects of the CWSRF activity. These reports contain detailed information on CWSRF activity as it relates to funding levels and the types of projects being funded. These reports also provide detailed information on CWSRF financial performance, including metrics that track the rate of which loans are made and funds are being disbursed for projects. They also track the extent of which the funds are growing as a result of loan and investment earnings. These reports are reviewed by EPA to identify possible issues that are brought to the attention of a CWSRF. This is usually included as part of the annual review; however, an issue may be raised sooner if the situation warrants it.. The CWNIMS reports are publicly available and can be accessed at http://www.epa.gov/cwsrf/clean-water-state-revolving-fund-cwsrf-national-information-management-system-reports.

The CWSRFs are required to enter project level information into the CBR database no less than on a quarterly basis. Unlike the CWNIMS data, the information captured by the CBR database focuses on loan project level details. More importantly, the CBR database also captures the projected environmental benefits associated with the CWSRF funded projects. This database also collects data associated with Federal Funding Accountability and Transparency Act (FFATA). The FFATA data fields are optional. Once these data fields are completed, a CWSRF can produce an excel-based report that can then be uploaded into fsrs.gov website. Though a copy of the help file that defines each data field is included with this ICR, a summary of what must be reported into the CBR database is provided below.

Loan Information:
 Borrower
 Assistance Type
 Agreement History
 Additional Subsidy
 Population Served
 Green Project Reserve
 Needs Categories
 % Funded by CWSRF
 CWSRF Total from all Projects $
 Interest Rate
 Repayment Period
 Tracking #
 Other #
 Incremental Funding
 Loan funds one or more NPS Projects
 Assign Assistance to Federal Grant(s): (Additional Subsidization, Green Project Reserve, and FFATA).

Project Information:
 CW Needs Survey Number
 Project Description
 Wastewater Volume
 Discharge Affected
 Permit Information
 Affected Waterbodies
 Project Location
 Project Improvement/Maintenance of Water Quality
 Contribution to Protection or Restoration of the Waterbody and Other Uses

The CBR and CWNIMS data is also crucial to EPA's ability to respond to inquiries from Congress, OMB, GAO, and other stakeholders. Data from the CBR database has been used to provide Congress with periodic updates on the use of additional subsidization and other trends such as assistance to small communities and the degree by which the CWSRFs are complying with the GPR requirement. For example, CBR data was one of the primary sources of data used to prepare the following report to Congress: Utilization of Additional Subsidization Authority in the Clean Water and Drinking Water State Revolving Fund Programs. Information from CBR and CWNIMS is also used in pulling together material needed for the president's budget, including the congressional justification, program factsheets, congressional testimony, and other budget related material. Finally, information from CWNIMS and CBR is pivotal in EPA's ability to produce informational material that highlights the national trends in CWSRF environmental and financial performance. This material includes the environmental benefits reports, national financial reports, and assorted array of factsheets. These documents are made publicly available through EPA's website at http://www.epa.gov/cwsrf/clean-water-state-revolving-fund-cwsrf-results.

Public Awareness Policy

Per EPA Grants Policy Issuance (GPI) 14-02: Enhancing Public Awareness of EPA Assistance Agreements, borrowers receiving CWSRF funds must publicize EPA's involvement in project funding. EPA has issued guidance to assist the CWSRFs and borrowers in meeting this requirement.

This policy only applies to funding up to the amount of each year's capitalization grant and states may choose the systems to which this requirement applies. It is at the discretion of the state SRF program to select projects most able to efficiently and effectively comply in a way that meets the intention to enhance public awareness without significant financial hardship to the state or its borrowers.

Local respondents have various options to meet this requirement and are encouraged to choose the method most cost-effective and accessible to a broad audience. After consulting with EPA and CWSRF staff throughout the country, the following compliance options were developed:
i.	Standard signage
ii.	Posters or wall signage in a public building or location
iii.	Newspaper or periodical advertisement for project construction, groundbreaking ceremony, or operation of the new or improved facility
iv.	Online signage placed on community website or social media outlet
v.	Press release

The following information must be included:
::	Name of facility, project and community
::	State SRF administering the program
::	Project is wholly or partially funded with EPA funding
::	Brief description of project
::	Brief description of the water quality benefits the project will achieve

3. Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collections techniques or other forms of information technology, e.g. permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also describe any consideration of using information technology to reduce burden.

The CWNIMS and CBR databases are hosted at EPA's National Computer Center and can be accessed online. Once a CWSRF successfully creates an account, it has full access to submit and review data via the online interface.

The CWSRF capitalization grant application along with accompanying material (e.g., intended use plan, attorney general certification) is submitted online through www.grants.gov.

 4. Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purpose(s) described in item 2 above.

Duplication of effort is not expected. The information collected through the intended use plan, annual report, and independent audit is specific to the requirements of the CWA. They are derived from CWSRF specific sources that are not duplicated elsewhere and are designed to capture different aspects of CWSRF activity. The intended use plan provides EPA with a detailed roadmap of how a CWSRF plans to proceed for the upcoming year, while the annual report covers a CWSRF's actually activity. The annual audit provides an independent review of the financial status and management of a CWSRF conducted by certified auditors.

The information collected through CWNIMS and CBR databases is also derived from CWSRF specific sources that are not duplicated elsewhere. Much of the overlap between the information reported in CBR and the annual report is by design. One of the CBR database's primary functions is to provide the CWSRF a convenient means to meet EPA Order 5700.7, Environmental Results Under Assistance Agreement. The CBR database allowed a CWSRF to document its compliance with this order in its latest annual report by taking the project level information reported and producing summary statements that could be appended to the document. Though the annual report includes information related to additional subsidization and the GPR, the CWSRFs are asked to enter this information into the CBR database quarterly so that EPA can effectively respond to ongoing congressional inquiries with more recent data.

When CBR data entry became required for all CWSRF assistance in 2010, there was concern of overlap with the program level information already being captured through the NIMS database. Specifically, project information related to the type of assistance provided, needs and population categories, and construction start and initiation of operation data. This overlap has been addressed by developing a feature that allows CWSRFs to automatically populate overlapping CWNIMS data elements with aggregated CBR data.

The information made available because of the public awareness policy is project specific and no duplication is expected.

5. If the collection of information impacts small businesses or other small entities, describe the methods used to minimize burden.

The respondents for almost all the information collection activities are the State Department of Health, Environmental Department, and/or Finance Agencies responsible for operating the CWSRFs. The only information collection activity that could impact small entities is the public awareness policy. However, this is not expected to occur since it only applies to a portion of the funding provided annually and a CWSRF has full flexibility in determining which borrowers must comply. Further, the five compliance options allow borrowers to select the least burdensome method for complying with the public awareness policy. As a result, many borrowers are expected to choose the online signage option. It is estimated that only borrowers that are already required by state law to provide promotional material such as signs, posters, and newspapers advertisements will choose the other options provided under the policy.

6. Describe the consequences to federal program or policy activities if the collection is not conducted or is conducted less frequently, as well, as any technical or legal obstacles to reducing burden.

The capitalization grant agreement/intended use plan and annual report are required by the CWA and represent critical components by which EPA awards capitalizations grants to the CWSRFs. The capitalization grant agreement/intended use plan is the principal means by which a CWSRF commits to managing its program in conformance to the requirements of the CWA. The annual report and audit provides official documentation that a CWSRF has met this commitment.

The information collected through the CWNIMS and CBR databases is relied upon by the CWSRFs for key planning decisions and is used by EPA for essential program oversight and corrective measures. This information is also critical for effectively responding to ongoing OMB and congressional requests. Typically these requests revolve around wanting a status update regarding the performance of the CWSRFs. However, EPA is sometimes requested to go beyond this and produce analyses related to national needs and budgetary impacts.

7. Explain any special circumstances that would cause an information collection to be conducted in a manner:

 requiring respondents to report information to the agency more often than quarterly;
 requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it;
 requiring respondents to submit more than an original and two copies of any document;
 requiring respondents to retain records, other than health, medical, government contract, grant-in-aid, or tax records for more than 3 years;
 in connection with a statistical survey, that is not designed to produce valid and reliable results that can be generalized to the universe of study;
 requiring the use of a statistical data classification that has not been reviewed and approved by OMB;
 that includes a pledge of confidentiality that is not supported by authority established in statue or regulation, that is not supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of data with other agencies for compatible confidential use; or
 requiring respondents to submit proprietary trade secret, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information's confidentiality to the extent permitted by law.

There are no special circumstances. The collection of information is conducted in a manner consistent with the guidelines in 5 CFR 1320.6.

8. If applicable, identify the date and page number of publication in the federal register of the agency's notice, required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB.  Summarize public comments received in response to that notice and describe actions taken by the agency in response to these comments. Specifically address comments received on cost and hour burden.

  " On DATE OF PUBLICATION (Month, day, and year), Vol. No. _____, pages __________ to __________, the agency published the notice of information collection and request for comments in the Federal Register.

EPA also reached out to the following four states: California, Illinois, Georgia, and New Mexico. These states were specifically selected by EPA to help account for the fact that CWSRFs differ in size, sophistication, and geographic location. As part of the consultation, these states were asked to provide feedback on the proposed burden (hours and cost) associated with information collection activities. This feedback was used to develop the revised reporting burden estimates.

In addition, these states were also asked a series of questions to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported. The states indicated that information being request by EPA was easily available. For the most part, they also indicated the information being asked for was appropriate for the stated purposes of the information collection activities and that the process for providing the data to EPA was easy and straightforward. One state did indicate that since each project is unique, it is occasionally difficult to match up the list of benefits in the CBR database with the category of project being funded. Another state noted the overlap between the CBR and CWNIMS databases. EPA has addressed this overlap by including a feature that allows CWSRFs to automatically import CBR project level information into the NIMS database. Another state expressed its appreciation of this feature.

9.  Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.

No payment or gifts are provided to respondents.

10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy.

No confidential information is collected.

11.  Provide additional justification for any questions of a sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private.  This justification should include the reasons why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to persons from whom the information is requested, and any steps to be taken to obtain their consent.

Questions of a sensitive nature are not found in this information collection.

12. Provide estimates of the hour burden of the collection of information.

As part of the consultation process, EPA reached out to the following four states: California, Illinois, Georgia, and New Mexico. These states were selected to ensure that EPA received feedback from a cross-section of the various CWSRFs that accounted for difference in size, sophistication, and geographic location. These states were asked to provide feedback on the proposed burden (hours and cost) associated with information collection activities.

The average of these responses was used to develop the burden estimates for the following information collection activities:  capitalization grant agreement/intended use plan, annual report, annual audit, and CBR and CWNIMS database reporting. Except for the annual audit, the respondents are the 51 State Department of Health, Environmental Department, and/or Finance Agencies responsible for operating the CWSRFs. Only 47 CWSRFs elect to undergo an independent audit. The remaining four CWSRFs instead rely only on the audit conducted under the Single Audit Act.

It is estimated that approximately 393 CWSRF borrowers annually will be affected by the public awareness policy. Historical CWNIMS data was used to estimate the approximate number of loans that will be made in subsequent years. The CWNIMS data was also used to determine the subset of these loans subject to the public awareness policy. This was accomplished by calculating the percentage of expected federal funding to total project funding and applying this percentage to the estimated number of loans.

The CWSRF salary cost of $55.09 per hour and the hourly rate of $37.02 estimates were developed by an EPA contractor and are based on prevailing wage rates for state staff and water system operators respectively.

Activity
                             No. of
Responses/Year
                                     Hours
                                 Per Response
                            Total Hours
Per Year
                                      Cost
                                   Per Hour
                             Total Cost
Per Year
Capitalization Grant Agreement/
Intended Use Plan
                                      51
                                      200
                                    10,200
                                    $55.09
                                   $561,918
Annual Report
                                      51
                                      110
                                     5,610
                                    $55.09
                                   $309,055
Annual Audit
                                      47
                                      770
                                    36,190
                                    $55.09
                                  $1,993,707
CBR & NIMS Reporting
                                      51
                                      90
                                     4,590
                                    $55.09
                                   $252,863
Public Awareness Policy
                                      393
                                       2
                                      786
                                    $37.02
                                   $29,098

Average Annual # of Hours:
                                    57,376
Average Annual Cost:
                                  $3,146,641

Total # of Hours (2016 to 2018):
                                    172,128
Total Cost (2016 to 2018):
                                $9,439,922.46

13.	 Provide an estimate of the total annual cost burden to respondents or record keepers resulting from the collection of information. (do not include the cost of any hour burden shown in items 12 and 14).

The only non-labor O & M costs are those associated with an independent annual audit. The CWSRF usually contract the services of an auditing firm to conduct these audits, and the estimated average cost is approximately $62,300. The total average annual cost for the 47 CWSRFs that elect to undergo an independent audit is estimated to be $2,928,100

14.  Provide estimates of annualized cost to the federal government.  Also, provide a description of the method used to estimate cost, which should include quantification of hours, operation expenses (such as equipment, overhead, printing, and support staff), and any other expense that would not have been incurred without this collection of information.  Agencies also may aggregate cost estimates from items 12, 13, and 14 in a single table.

Estimation of the direct cost to EPA's oversight of the CWSRFs covers review and analysis of the capitalization grant/intended use plan, annual report, audit, and CWNIMS/CBR data. The estimates reflect EPA's workload over the 3-year period covered by this information collection. The estimate of EPA costs is based on average hourly expenditures, including regional and headquarters personnel compensation and benefits.

The estimated average hourly cost of $53.60 for EPA Headquarters and Regional personnel is based on the General Schedule (GS) 12, Step 05 level. The hourly estimates were calculated by dividing the annual compensation of $69,686 from the 2015 GS pay schedule, by 2,080 hours in the federal work year. The hourly rates were then multiplied by the standard government benefits multiplication factor of 1.6.

In addition to these costs, EPA also expends $180,000 a year for contractor support for the CWNIMS and CBR databases. This support includes assisting the CWSRFs with data entry and EPA with data review. The contractor also provides support by addressing any technical issues that prevent the CWSRFs from effectively entering data into these databases.

Activity*
                          Average Annual
Labor Hours
                                      Cost
                                   Per Hour
                          Average Annual
Labor Cost
                        Average Annual
O & M Cost
                             Total Cost
Per Year
Capitalization Grant Agreement/
Intended Use Plan
                                     2,525
                                    $53.60
                                   $135,340
                                    $0.00
                                   $135,340
Annual Report
                                     1,495
                                    $53.60
                                    $80,132
                                    $0.00
                                   $80,132
Annual Audit
                                      940
                                    $53.60
                                    $50,384
                                    $0.00
                                   $50,384
CBR & NIMS Reporting
                                     3,876
                                    $53.60
                                   $207,754
                                   $180,000
                                   $387,754

* The number of respondents is the 51 CWSRFs, with the exception of the Annual Audit (47 respondents). There is no federal burden associated with the public awareness policy.

Average Annual # of Hours:
                                     8,836
Average Annual Cost:
                                   $653,610

Total # of Hours (2016 to 2018):
                                    26,508
Total Cost (2016 to 2018):
                                $1,960,828.80

15. Explain the reason for any program changes or adjustments in burden estimates from the previous approved ICR.

The respondent average annual burden decreased by 748,471 hours which represents a 93% decrease. The total average annual cost burden decreased by $17,744,006 (or 74%). The table below presents a summary of the adjustments in burden estimates from the previously approved ICR. These adjustments are due to several changes:

 The burden previously associated with developing and reviewing CWSRF applications is not included in this renewal and reduces the estimated annual burden by 402,900 hours ($11,684,100). It was determined that this burden should not be included as part of the burden estimate. The reason is that the CWSRFs have complete flexibility in developing applications for CWSRF funding and are solely responsible for determining what information is collected from the borrowers. As a result, a borrower application will vary widely depending on the informational needs and requirements of a CWSRF. EPA does not collect or review these applications. Nor does EPA provide guidance or direction with respect to application content or submittal process.
 The estimated burden of 364,442 hours ($10,902,487) previously associated with ARRA reporting has also been excluded. All ARRA funds have been fully loaned out and disbursed. No additional reporting associated with ARRA will occur.
 As a result of the latest consultation, the estimated hour burden for the annual audit was revised upward to more fully capture the activities associated with this information collection activity. These activities include making the relevant material and documentation available to the auditors while also addressing questions and providing clarification as needed. The revised cost estimate also reflects the $2,928,100 in O&M costs that were not reflected in the previous version of the ICR.
 The supporting statement has been updated to reflect the estimated reporting burden of 4,590 hours ($252,863) associated with CBR and NIMS databases. This burden should have been included in the previous burden estimate.
 It is estimated that the recently released public awareness policy will increase the reporting burden on CWSRF borrower by 786 hours ($29,098).
 The burden estimates for the capitalization grant agreement and intended use plan were revised downward based on responses provided during the consultation process. This consultation took into account the new WRRDA amendments.

Activity
                                    Reason*
                                Previous
Burden
                                  New
Burden)
                                   Difference
Capitalization Grant Agreement/
Intended Use Plan (Hours)
                                       A
                                    20,400
                                    10,200
                                   (10,200)
Capitalization Grant Agreement/
Intended Use Plan (Cost)
                                       A
                                   $652,800
                                   $561,918
                                   ($90,882)
Annual Report (Hours)
                                       A
                                    14,025
                                     5,610
                                    (8,415)
Annual Report (Cost)
                                       A
                                   $448,800
                                   $309,055
                                  ($139,745)
Annual Audit (Hours)
                                       A
                                     4,080
                                    36,190
                                    32,110
Annual Audit (Cost)**
                                       A
                                   $130,560
                                  $4,921,807
                                  $4,791,247
CBR & NIMS Reporting (Hours)
                                       A
                                       0
                                     4,590
                                    4,590
CBR & NIMS Reporting (Cost)
                                       A
                                      $0
                                   $252,863
                                   $252,863
Public Awareness Policy (Hours)
                                      PC
                                       0
                                      786
                                     786
Public Awareness Policy (Cost)
                                      PC
                                      $0
                                    $29,098
                                   $29,098
CWSRF Applications (Hours)
                                       A
                                    402,900
                                       0
                                   (402,900)
CWSRF Applications (Cost)
                                       A
                                  $11,684,100
                                      $0
                                 ($11,684,100)
ARRA Reporting (Hours)
                                       A
                                    364,442
                                       0
                                   (364,442)
ARRA Reporting (Costs)
                                       A
                                  $10,902,487
                                      $0
                                 ($10,902,487)
Total (Hours)

                                    805,847
                                    57,376
                                   (748,471)
Total (Cost)

                                  $23,818,747
                                  $6,074,741
                                 ($17,744,006)
*A = Adjustment; PC = Program Change

** Includes the average annual O & M cost of $2,928,100 associated with the hiring a firm to conduct the audit

16. For collections of information whose results will be published, outline plans for tabulation, and publication.  Address any complex analytical techniques that will be used.  Provide the time schedule for the entire project, including beginning and ending dates of the collection of information, completion of report, publication dates, and other actions.

Annual state and national reports reflecting the latest CWNIMS data are posted in the early part of every calendar year on EPA's website. Reports showing the loans reported in the CBR database are also posted online on a quarterly basis.  These reports are made publicly available at http://www.epa.gov/cwsrf/clean-water-state-revolving-fund-cwsrf-results.

17. If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons that display would be inappropriate.

The agency plans to display the expiration date for OMB approval of the information collection on all instruments.

18. Explain each exception to the certification statement identified in item 19, "Certification for Paperwork Reduction Act Submissions," in ROCIS.

The agency is able to certify compliance with all provisions under Item 19 of OMB Form 83-I.

B. Statistical Methods (used for collection of information employing statistical methods)

Statistical methods are not used with this collection.


[Federal Register Volume 81, Number 112 (Friday, June 10, 2016)]
[Rules and Regulations]
[Pages 37514-37517]
[FR Doc No: 2016-13781]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket Number USCG-2015-0330]
RIN 1625-AA87

Security Zone; Military Ocean Terminal Concord (MOTCO); Concord,
California

AGENCY: Coast Guard, DHS.

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: The Coast Guard is revising the existing conditional security
zone regulation currently in place in the navigable waters of Suisun
Bay, California, near Concord, California around each of the three
piers at the Military Ocean Terminal Concord (MOTCO), California
(formerly United States Naval Weapons Center Concord, California). This
action is intended to clarify responsibilities and authorities for
enforcement of the security zone.

DATES: This rule is effective from July 11, 2016.

ADDRESSES: To view documents mentioned in this preamble as being
available in the docket, go to http://www.regulations.gov, type USCG-
2015-0330 in the ``SEARCH'' box and click ``SEARCH.'' Click on Open
Docket Folder on the line associated with this rule.

FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
call or email Lieutenant Marcia Medina, Sector San Francisco, U.S.
Coast Guard; telephone<PHONE_NUMBER>, email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. Table of Abbreviations

CFR Code of Federal Regulations
COTP Captain of the Port San Francisco
DHS Department of Homeland Security
E.O. Executive Order
FR Federal Register
MOTCO Military Ocean Terminal Concord
NPRM Notice of Proposed Rulemaking
Pub. L. Public Law
Sec.  Section
U.S.C. United States Code

II. Background Information and Regulatory History

    On August 27, 1996, the Department of the Army, Corps of Engineers
published a final rule in the Federal Register (61 FR 43969)
establishing a restricted area \1\ around the MOTCO

piers (33 CFR 334.1110). Although the restricted area prohibits public
access to the piers at all times, it lacks a conditional boundary
extension to be enforced during the presence of munitions laden vessels
and/or military onload/offload activities. Prior to January 24, 2005,
the Coast Guard would address this lack of a conditional boundary by
publishing a temporary security zone of sufficient size in the area for
each operation at MOTCO (see e.g., 68 FR 33382).
---------------------------------------------------------------------------

    \1\ A ``restricted area'' is defined in Sec.  334.2 as a defined
water area for the purpose of prohibiting or limiting public access
to the area that generally provides security for Government property
and/or protection to the public from the risks of damage or injury
arising from the Government's use of that area.
---------------------------------------------------------------------------

    On January 24, 2005, to address this issue on a more permanent
basis, the Coast Guard published a final rule in the Federal Register
(70 FR 3299) establishing a conditional 500-yard security zone around
MOTCO's piers to be enforced during military onload/offload operations
(33 CFR 165.1199). The security zone provides necessary security for
military operations by providing a standoff distance for blast and
collision, a surveillance and detection perimeter, and a margin of
response time for security personnel.
    On July 1, 2015, the Coast Guard published a NPRM (80 FR 48787),
with proposed changes to clarify responsibilities and authorities for
enforcement of the security zone. There we stated why we issued the
NPRM, and invited comments on our proposed regulatory action related to
this security zone. During the comment period that ended on September
14, 2015, we received 0 comments.

III. Legal Authority and Need for Rule

    The legal basis for this rule is 33 U.S.C. 1231; 50 U.S.C. 191; 33
CFR 1.05-1, 6.04-1, 6.04-6, and 160.5; Department of Homeland Security
Delegation No. 0170.1, which collectively authorize the Coast Guard to
establish security zones. This authority is separate from the
Department of the Army, Corps of Engineers authority to provide
appropriate security in defense of their waterfront facilities and for
vessels moored thereto in accordance with the restricted area in 33 CFR
334.1110.
    The purpose of this rulemaking is to advance the Coast Guard's
efforts to thwart potential terrorist activity through security
measures on U.S. ports and waterways.

IV. Discussion of Comments, Changes, and the Rule

    The current regulation at Sec.  165.1199 contains several items
that are the subject of the revisions in this FR. The revisions to
Sec.  165.1199 will clarify the regulations in a concise,
understandable format.
    First, the Coast Guard revises Sec.  165.1199(c) by clarifying the
Coast Guard's enforcement role during active loading operations, and
the ability of the COTP to designate other representatives as having
authority to enforce the security zone. The Coast Guard proposes to
replace the existing term ``patrol personnel,'' in favor of a more
appropriate term, ``designated representative,'' which includes
federal, state and local officials designated by the COTP. This
revision clarifies that the COTP may designate law enforcement
officials other than Coast Guard personnel to patrol and enforce the
security zone.
    The Coast Guard also revises the security zone so that it is
enforceable at any time a vessel loaded with munitions is present at a
pier (in addition to during military onload/offload operations).
Without this revision, the existing security zone is enforceable during
military onload or offload operations only.
    Additionally, the Coast Guard proposes to remove the existing
provision regarding ``Local Notice to Mariners'' as a means of
notifying the public that the security zone will be enforced. The
security concern related to providing advance notification of the
presence of an explosive load at a military base outweighs the benefit
of advance notice of the security zone. Instead, the Coast Guard would
notify the public of security zone enforcement (and suspensions of
enforcement) via Broadcast Notice to Mariners and/or actual notice on-
scene during military onloads or offloads. This revision would better
align the notification method of this security zone with the
notification method for the existing safety zone in the area (see Sec.
165.1198).
    No changes in the regulatory text of the rule in the NPRM.

V. Regulatory Analyses

    We developed this rule after considering numerous statutes and
executive orders related to rulemaking. Below we summarize our analyses
based on a number of these statutes or executive orders.

A. Regulatory Planning and Review

    E.O.s 12866 and 13563 direct agencies to assess the costs and
benefits of available regulatory alternatives and, if regulation is
necessary, to select regulatory approaches that maximize net benefits.
E.O. 13563 emphasizes the importance of quantifying both costs and
benefits, of reducing costs, of harmonizing rules, and of promoting
flexibility. This rule has not been designated a ``significant
regulatory action,'' under E.O. 12866. Accordingly, it has not been
reviewed by the Office of Management and Budget.
    Security zone enforcement would be limited in duration, and limited
to a narrowly tailored geographic area. In addition, although this rule
would restrict access to the waters encompassed by the security zone,
the effect of this rule would not be significant because the local
waterway users will be notified via Broadcast Notice to Mariners and/or
actual notice on-scene during military onloads or offloads. The
entities most likely to be affected are waterfront facilities,
commercial vessels, and pleasure craft engaged in recreational
activities.

B. Impact on Small Entities

    The Regulatory Flexibility Act of 1980, 5 U.S.C. 601-612, as
amended, requires Federal agencies to consider the potential impact of
regulations on small entities during rulemaking. The term ``small
entities'' comprises small businesses, not-for-profit organizations
that are independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of less than
50,000. The Coast Guard received 0 comments from the Small Business
Administration on this rulemaking. The Coast Guard certifies under 5
U.S.C. 605(b) that this rule will not have a significant economic
impact on a substantial number of small entities.
    This rule may affect owners and operators of waterfront facilities,
commercial vessels, and pleasure craft engaged in recreational
activities and sightseeing. The security zone would not have a
significant economic impact on a substantial number of small entities
for the following reasons. The security zone would be activated, and
thus subject to patrol and enforcement, for a limited duration. When
the security zone is activated, vessel traffic would be directed to
pass safety around the security zone. The maritime public would be
advised when transiting near the activated zone.
    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we want to assist small
entities in understanding this rule. If the rule would affect your
small business, organization, or governmental jurisdiction and you have
questions concerning its provisions or options for compliance, please
contact the person listed in the FOR FURTHER INFORMATION CONTACT
section.

    Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the Small Business and Agriculture Regulatory
Enforcement Ombudsman and the Regional Small Business Regulatory
Fairness Boards. The Ombudsman evaluates these actions annually and
rates each agency's responsiveness to small business. If you wish to
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247). The Coast Guard will not retaliate against small
entities that question or complain about this rule or any policy or
action of the Coast Guard.

C. Collection of Information

    This rule will not call for a new collection of information under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).

D. Federalism and Indian Tribal Governments

    A rule has implications for federalism under E.O. 13132,
Federalism, if it has a substantial direct effect on the States, on the
relationship between the national government and the States, or on the
distribution of power and responsibilities among the various levels of
government. We have analyzed this rule under that Order and have
determined that it is consistent with the fundamental federalism
principles and preemption requirements described in E.O. 13132.
    Also, this rule does not have tribal implications under E.O. 13175,
Consultation and Coordination with Indian Tribal Governments, because
it does not have a substantial direct effect on one or more Indian
tribes, on the relationship between the Federal Government and Indian
tribes, or on the distribution of power and responsibilities between
the Federal Government and Indian tribes. If you believe this rule has
implications for federalism or Indian tribes, please contact the person
listed in the FOR FURTHER INFORMATION CONTACT section above.

E. Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any one year. Though this rule will not result in
such an expenditure, we do discuss the effects of this rule elsewhere
in this preamble.

F. Environment

    We have analyzed this rule under Department of Homeland Security
Management Directive 023-01 and Commandant Instruction M16475.lD, which
guide the Coast Guard in complying with the National Environmental
Policy Act of 1969 (42 U.S.C. 4321-4370f), and have determined that
this action is one of a category of actions that do not individually or
cumulatively have a significant effect on the human environment. This
rule involves a security zone of limited size and duration. This rule
is categorically excluded from further review under paragraph 34(g) of
Figure 2-1 of the Commandant Instruction. An environmental analysis
checklist supporting this determination and a Categorical Exclusion
Determination are available in the docket where indicated under
ADDRESSES. We seek any comments or information that may lead to the
discovery of a significant environmental impact from this rule.

G. Protest Activities

    The Coast Guard respects the First Amendment rights of protesters.
Protesters are asked to contact the person listed in the FOR FURTHER
INFORMATION CONTACT section to coordinate protest activities so that
your message can be received without jeopardizing the safety or
security of people, places or vessels.

List of Subjects in 33 CFR Part 165

    Harbors, Marine safety, Navigation (water), Reporting and
recordkeeping requirements, Security measures, Waterways.

    For the reasons discussed in the preamble, the Coast Guard amends
33 CFR part 165 as follows:

PART 165--REGULATED NAVIGATION AREAS AND LIMITED ACCESS AREAS

0
1. The authority citation for part 165 continues to read as follows:

    Authority:  33 U.S.C. 1231; 50 U.S.C. 191; 33 CFR 1.05-1, 6.04-
1, 6.04-6, and 160.5; Department of Homeland Security Delegation No.
0170.1.

0
2. Revise Sec.  165.1199 to read as follows:

Sec.  165.1199  Security Zones; Military Ocean Terminal Concord
(MOTCO), Concord, California.

    (a) Location. The security zone(s) reside(s) within the navigable
waters of Suisun Bay, California, extending from the surface to the sea
floor, within 500 yards of the three Military Ocean Terminal Concord
(MOTCO) piers in Concord, California.
    (b) Definitions. As used in this section, ``designated
representative'' means any Coast Guard commissioned, warrant, or petty
officer or any Federal, state, or local law enforcement officer who has
been designated by the Captain of the Port San Francisco (COTP) to act
on the COTP's behalf. The COTP's representative may be on a Coast Guard
vessel, a Coast Guard Auxiliary vessel, a Federal, state, or local law
enforcement vessel, or a location on shore.
    (c) Regulations. (1) The security zone(s) described in paragraph
(a) of this section will be in force during active military onloading
and/or offloading operations and at any time a vessel loaded with
munitions is present at a pier.
    (2) When one or more piers are involved in onload or offload
operations at the same time, there will be a 500-yard security zone for
each involved pier.
    (3) Under the general regulations in subpart D of this part, entry
into, transiting or anchoring within the security zone(s) described in
paragraph (a) of this section is prohibited during times of enforcement
unless authorized by the COTP or a designated representative.
    (4) Vessel operators desiring to enter or operate within the
security zone(s) during times of enforcement must contact the COTP or a
designated representative on VHF-16 or through the 24-hour Command
Center at telephone<PHONE_NUMBER> to obtain permission to do so.
Vessel operators given permission to enter or operate in the security
zone(s) must comply with all directions given to them by the COTP or a
designated representative.
    (5) Upon being hailed by the COTP or designated representative by
siren, radio, flashing light, or other means, the operator of a vessel
approaching the security zone(s) must proceed as directed to avoid
entering the security zone(s).
    (d) Notice of enforcement or suspension of enforcement of security
zone(s). During periods that one or more security zones are enforced,
the COTP or a designated representative will issue a Broadcast Notice
to Mariners and/or notify mariners via actual notice on-scene. In
addition, COTP maintains a telephone line that is maintained 24 hours a
day, 7 days a week. The public can contact COTP at<PHONE_NUMBER> to
obtain information concerning enforcement of this section. When the

security zones are no longer needed, the COTP or designated
representative will cease enforcement of the security zones. Upon
suspension of enforcement, all persons and vessels are granted general
permissions to enter, move within, and exit the security zones, but
should remain cognizant of the applicable restricted area designated in
33 CFR 334.1110.

    Dated: May 20, 2016.
Gregory G. Stump,
Captain, U.S. Coast Guard, Captain of the Port San Francisco.
[FR Doc. 2016-13781 Filed 6-9-16; 8:45 am]
 BILLING CODE 9110-04-P