INFORMATION COLLECTION REQUEST:

NPDES STORM WATER PROGRAM PHASE II October 2, 2002 Prepared for U. S. Environmental Protection Agency Office of Wastewater Management 1200 Pennsylvania Avenue, N. W. Washington, DC 20460 Prepared by Tetra Tech, Inc. 10306 Eaton Place, Suite 340 Fairfax, VA 22030 EPA Contract Number 68 C 99 253 EPA Work Assignment Number 2 15 Tetra Tech Project Number Q800 15 01 TABLE OF CONTENTS 1 IDENTIFICATION OF THE INFORMATION COLLECTION ........................................................ 1 1( a) TITLE OF THE INFORMATION COLLECTION ................................................................. 1 1( b) SHORT CHARACTERIZATION/ ABSTRACT ...................................................................... 1 2 NEED FOR AND USE OF THE COLLECTION .............................................................................. 3 2( a) NEED AND AUTHORITY FOR THE COLLECTION .......................................................... 3 2( b) PRACTICAL UTILITY AND USES OF THE INFORMATION ............................................ 4 3 NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA .................. 6 3( a) NONDUPLICATION ............................................................................................................. 6 3( b) PUBLIC NOTICE REQUIRED PRIOR TO ICR SUBMISSION TO OMB ............................ 6 3( c) CONSULTATIONS ............................................................................................................... 6 3( d) EFFECTS OF LESS FREQUENT COLLECTION ................................................................. 7 3( e) GENERAL GUIDELINES ..................................................................................................... 7 3( f) CONFIDENTIALITY ............................................................................................................. 7 3( g) SENSITIVE QUESTIONS ..................................................................................................... 7 4 THE RESPONDENTS AND THE INFORMATION REQUESTED ................................................. 8 4( a) RESPONDENTS/ SIC CODES ............................................................................................... 8 Small MS4s .......................................................................................................................... 8 Small Construction Sites ......................................................................................................... 8 Industrial Facilities with No Exposure ........................................................................................ 9 4( b) INFORMATION REQUESTED ........................................................................................... 10 Data Items, Including Record Keeping Requirements ................................................................... 10 Respondent Activities ........................................................................................................... 17 5 THE INFORMATION COLLECTED: AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT ....................................................................................... 20 5( a) AGENCY ACTIVITIES ....................................................................................................... 20 5( b) COLLECTION METHODOLOGY AND MANAGEMENT ................................................ 20 5( c) SMALL ENTITIY FLEXIBILITY ....................................................................................... 20 Small MS4 Program ............................................................................................................. 21 Construction Program ........................................................................................................... 21 Industrial No Exposure ......................................................................................................... 21 5( d) COLLECTION SCHEDULE ................................................................................................ 22 Small MS4 Program ............................................................................................................. 22 Construction Program ........................................................................................................... 22 Industrial No Exposure ......................................................................................................... 22 6 ESTIMATING THE BURDEN AND COST OF THE COLLECTION ........................................... 23 6( a) ESTIMATING RESPONDENT BURDEN ........................................................................... 23 Burden on Small MS4 Respondents ......................................................................................... 23 Burden on Construction Respondents ....................................................................................... 23 Burden on Industrial No Exposure Respondents .......................................................................... 24 Burden on NPDES Authorized States ....................................................................................... 24 6( b) ESTIMATING RESPONDENT COSTS .............................................................................. 26 Costs to Small MS4 Respondents ............................................................................................ 26 Costs to Construction Respondents .......................................................................................... 27 Costs to Industrial No Exposure Respondents ............................................................................. 27 Costs to NPDES Authorized States .......................................................................................... 28 6( c) ESTIMATING AGENCY BURDEN AND COST ................................................................ 29 Burden on the Agency .......................................................................................................... 29 Agency Costs ...................................................................................................................... 29 6( d) ESTIMATING THE RESPONDENT UNIVERSE AND TOTAL BURDEN AND COSTS . 30 Universe of Small MS4 Respondents ........................................................................................ 30 Universe of Construction Respondents ...................................................................................... 30 Universe of Industrial No Exposure Respondents ........................................................................ 30 Estimating the NPDES Authorized State Universe ...................................................................... 31 Total Burden and Costs ......................................................................................................... 31 6( e) BOTTOM LINE BURDEN HOURS AND COST ................................................................ 33 Respondent Tally ................................................................................................................. 33 Agency Tally ...................................................................................................................... 34 Total Tally ......................................................................................................................... 34 6( f) REASON FOR CHANGE IN BURDEN .............................................................................. 34 6( g) BURDEN STATEMENT ...................................................................................................... 35 LIST OF EXHIBITS Exhibit 1. Burden on Each Small MS4 Respondent ........................................................................................................... 23 Exhibit 2. Burden on Each Construction Respondent ......................................................................................................... 24 Exhibit 3. Burden on Each Industrial No Exposure Respondent ......................................................................................... 24 Exhibit 4. Burden on NPDES Authorized States for Administration of the Small MS4 Program ........................................ 25 Exhibit 5. Burden on NPDES Authorized States for Administration of the Small Construction Program ........................... 25 Exhibit 6. Burden on NPDES Authorized States for Processing and Review of Industrial No Exposure Forms ................... 26 Exhibit 7. Annual Costs to Each MS4 Respondent ............................................................................................................. 27 Exhibit 8. Costs to Construction Respondents .................................................................................................................... 27 Exhibit 9. Costs to Industrial No Exposure Respondents .................................................................................................... 28 Exhibit 10. Costs to NPDES Authorized States .................................................................................................................. 29 Exhibit 11. Agency Costs .................................................................................................................................................. 30 Exhibit 12. Number of Respondents ................................................................................................................................... 31 Exhibit 13. Number of Respondents in the NPDES Authorized State Universe .................................................................. 31 Exhibit 14. Total Respondent Burden and Cost Estimates .................................................................................................. 32 Exhibit 15. Total NPDES Authorized State Burden and Costs ........................................................................................... 33 Exhibit 16. Annual Estimated Respondent Burden and Cost Summary .............................................................................. 33 Exhibit 17. Total Agency Burden and Costs ...................................................................................................................... 34 Exhibit 18. Change in Annual Burden and Costs ............................................................................................................... 35 Exhibit 19. Burden Statement for Each Respondent ........................................................................................................... 36 Storm Water Phase II ICR October 2, 2002 Page 1 1 IDENTIFICATION OF THE INFORMATION COLLECTION 1( a) TITLE OF THE INFORMATION COLLECTION Title: NPDES Storm Water Program Phase II EPA ICR No. 1820.03 OMB Control No. 2040 0211 1( b) SHORT CHARACTERIZATION/ ABSTRACT EPA's National Pollutant Discharge Elimination System ( NPDES) Permitting Program, as authorized by the Clean Water Act ( CWA), establishes regulations for the discharge of pollutants to waters of the United States, including discharges of storm water. The first phase of the regulatory development effort applied to eleven categories of storm water discharges associated with industrial activity and to discharges from municipal separate storm sewer systems located in municipalities with a population of 100,000 or more. These are known as " Phase I" sources. The Phase I permitting regulations were promulgated on November 16, 1990 ( 55 FR 47990).

This Information Collection Request ( ICR) addresses Phase II of the NPDES storm water program. Under the Phase II rule, EPA regulates storm water discharges from construction sites with activities disturbing equal to or greater than one acre and less than five acres of land, and municipal separate storm sewer systems ( MS4s) located in Bureau of the Censusdesignated " urbanized areas" that are not previously regulated as a medium or large MS4. Additional construction sites and small MS4s may be designated by the NPDES permitting authority. NPDES permits provide the mechanism for establishing appropriate controls on these Phase II sources. The Phase II rule also includes a provision that allows industrial facilities regulated under Phase I of the NPDES storm water program to obtain an exclusion from NPDES permitting requirements if they can certify to a condition of " no exposure" on their site.

Permits were not required for small construction sites and regulated small MS4s during the first three years of the program. The data collection effort during this first three year period has been limited to the submittal and review of no exposure certifications and some preliminary Agency work in developing specific program elements ( e. g., developing designation criteria for permitting certain small MS4s located outside of urbanized areas). Permit applications for small construction sites and small MS4s are due by March 10, 2003.

After permits for small MS4s and small construction sites are issued, NPDES permitting authorities, including the Water Permits Division of the EPA Office of Wastewater Management, intend to use the data contained in storm water permit applications, construction waiver certifications, storm water pollution prevention plans ( SWPPPs), no exposure certifications, and reports to set appropriate permit conditions, track discharges covered by storm water permits, and assess permit compliance. Other organizations, including EPA's Office of Enforcement and Compliance ( OECA) and environmental groups, will most likely use the same collected information to assess the regulated community's level of compliance and to measure the overall effectiveness of the NPDES storm water program. Storm Water Phase II ICR October 2, 2002 Page 2 It is expected that respondents will submit information in hard copy form. The information from them will be entered into a computer database and the original document will be filed. The information will be submitted by the respondents directly to each NPDESauthorized State or Territory, or to EPA in areas where EPA is the NPDES permitting authority. Plans are underway to allow electronic submission of much of the required information but these options are not included in the ICR. At the time those options become available, EPA will update this information collection to reflect a revised burden estimate.

The calculations performed for this ICR cover the burden and costs for the Agency ( EPA), NPDES authorized States, and three types of respondents, including regulated small MS4s, small construction sites, and industrial " no exposure" facilities. This ICR estimates a burden of 3,661,312 hours annually for 327,118 respondents, excluding state respondents. Burden for the state respondents is 216,885 hours annually. Agency burden is 36,424 hours at a cost of $ 1,133,903. Storm Water Phase II ICR October 2, 2002 Page 3 2 NEED FOR AND USE OF THE COLLECTION 2( a) NEED AND AUTHORITY FOR THE COLLECTION The purpose of the Clean Water Act ( CWA) is to restore and maintain the chemical, physical, and biological integrity of the Nation's waters. To meet that end, the CWA establishes the NPDES program to regulate the discharge of any pollutant or combination of pollutants from point sources into waters of the United States.

EPA and NPDES permitting authorities plan to issue permits to discharge storm water under Phase II of the NPDES storm water program and need the information collection in order to:

  Ensure coverage of small regulated MS4s and small construction sites, primarily under NPDES general permits,

  Identify facilities that wish to forego NPDES storm water permit coverage by certifying that a condition of no exposure exists on their site,

  Identify the need to issue an individual permit in cases where a general permit will not adequately meet the objectives of the CWA,

  Provide a data source with which future NPDES storm water general permits will be developed with appropriate requirements and permit conditions that meet the objectives of the CWA,

  Identify proper Best Management Practices in small MS4s,

  Determine compliance with general permits and no exposure requirements,

  Compile statistics on national permit issuance, backlog, and compliance rates,

  Evaluate nationwide or area wide water quality,

  Ensure consistency in storm water permitting,

  Prioritize permit issuance activities,

  Develop appropriate policy and budgets,

  Perform cost benefit analyses,

  Respond to complaints from the public of possible non compliance with permit conditions or no exposure certifications, and   Respond to Congressional and public inquiries.

CWA Section 402( a), as amended, authorizes the EPA Administrator to issue permits for the discharge of pollutants if those discharges meet all applicable requirements of CWA Storm Water Phase II ICR October 2, 2002 Page 4 Sections 301, 302, 306, 307, 308, and 403, or any conditions the Administrator determines are necessary to carry out the provisions and objectives of the CWA. The authorization to issue permits for storm water discharges in particular is provided at Section 402( p). NPDES storm water regulations are found in 40 CFR § 122.26.

CWA Section 308 authorizes the Administrator to require the owner or operator of any point source to maintain records, submit reports, conduct monitoring and/ or sampling, and provide any other information reasonably necessary to carry out the objectives of the Act. Under this authority, the Agency not only requires the submittal of basic permit information or applications, but also occasionally requests information that supplements such information. EPA calls this information request a Section 308 Request, or a request for supplemental information.

2( b) PRACTICAL UTILITY AND USES OF THE INFORMATION Information will be collected from three types of respondents: small MS4s, small construction sites, and industrial no exposure facilities. All entities covered under the Phase II rule are required to submit some information. This information will vary in its detail and scope based on the type of respondent. EPA expects that the majority of small MS4s and small construction sites will use Notice of Intent ( NOI) and Notice of Termination ( NOT) forms appropriate for the type of permit they are seeking as a means to provide basic information. Industrial facilities seeking the no exposure exclusion from permitting will use the No Exposure Certification Form ( NPDES Form 3510 11)

EPA and NPDES authorized States will use basic information ( i. e., name, location, contact person, address, phone number) collected from regulated small MS4s to uniquely identify each applicant seeking permit coverage and to establish a contact person. More detailed information collected will be used for identifying Best Management Practices ( BMPs) used within MS4s, evaluating the effectiveness of BMPs, determining compliance with the terms of the permit, identifying where problems associated with attaining the Maximum Extent Practicable ( MEP) standard exist, and recommending adjustment to such problems and/ or BMPs as necessary. In addition, this information can be used further at the time of permit renewal to ensure that appropriate measures are taken by the operator to revise its storm water control program as needed. Operators of small MS4s will also be required to provide annual reports that include a self assessment of progress toward measurable goals that were established as permit conditions.

Like the information collected from small MS4s, EPA and NPDES authorized States will use basic information ( i. e., name, location, contact person, address, phone number) collected from small construction sites to uniquely identify each applicant seeking permit coverage and to establish a contact person. Operators of small construction sites will also have to provide information that can be used by the NPDES permitting authority to track the site's compliance with permit requirements. The NOI will request an estimate of the likelihood of discharge from the construction site and requires an indication of whether there are any endangered or threatened species or designated critical habitat in the project area, as required by the Endangered Species Act ( ESA). EPA and other NPDES permitting authorities will use the Storm Water Phase II ICR October 2, 2002 Page 5 Notice of Termination ( NOT) to end permit coverage for the construction site which submits the NOT, assuming that all construction activity has ended or the operator has changed.

NPDES permitting authorities will use information collected from operators of Phase I industrial facilities to uniquely identify each operator and to ensure that a condition of no exposure indeed exists.

Ultimately, it is expected that EPA use information collected under Phase II of the storm water program in conjunction with data that has been and continues to be collected under Phase I, allowing for more comprehensive and holistic management of pollutant sources.

All information submitted to EPA on construction NOIs and NOTs will be entered into an EPA controlled database known as the NOI Database, which is housed at the NOI Processing Center. The NOI Database provides EPA with an inventory of storm water permit holders and industries applying for the no exposure exclusion. EPA Headquarters can use the information contained in the NOI Database to develop reports on permit issuance, backlog, and compliance rates. EPA also expects to use the information to respond to public and Congressional inquiries, develop and guide its policies, formulate its budgets, and manage its programs to ensure national consistency in permitting. NPDES authorized States are expected to use the information submitted to them in similar ways to manage their individual programs. Storm Water Phase II ICR October 2, 2002 Page 6 3 NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA 3( a) NONDUPLICATION EPA has examined all other reporting requirements contained in the CWA and 40 CFR Parts 122, 123, 124, 125, 403, 501, and 503. The Agency also has consulted the following sources of information to determine if similar or duplicate information is available elsewhere:

  The EPA Information Systems Inventory,

  The EPA Inventory of Information Collection Requests, and   The Federal Information Locator System.

Examination of these databases revealed no duplicate requirements. EPA has concluded that no government information collection activity duplicates the information requested by the Phase II rule and therefore has no other way to obtain the information addressed in this ICR.

3( b) PUBLIC NOTICE REQUIRED PRIOR TO ICR SUBMISSION TO OMB The ICR was published in the Federal Register on July 16, 2002 ( 67 FR 46662). The notice included a request for comments on the content and impact on the regulated community. EPA received no comments on the ICR.

3( c) CONSULTATIONS EPA finalized the requirements addressed in this ICR after receiving comments from the public and the regulated community during rulemaking. The Agency actively sought comment and input as it developed the regulations and allowed 90 days for comments to be submitted on the original ICR, which was published on July 19, 1999. EPA chartered a Federal Advisory Committee under the Federal Advisory Committee Act ( FACA) that included a Storm Water Phase II Subcommittee to provide direction, input, and comment throughout the development of the Phase II regulations. The Subcommittee consisted of a variety of interested stakeholders including industry and trade organizations, environmental groups, environmental justice representatives, and municipal, State, and public works associations. Storm Water Phase II ICR October 2, 2002 Page 7 3( d) EFFECTS OF LESS FREQUENT COLLECTION The CWA prohibits NPDES permits from having terms longer than five years. It is a statutory requirement that permitted entities reapply for coverage under NPDES storm water permits before their existing permits expire, generally once every five years. Similarly, industrial activities claiming no exposure must notify their permitting authority at least once every five years.

The Phase II rule requires operators of regulated small MS4s to submit reports to the NPDES permitting authority on an annual basis during the first term, and in permit years two and four in subsequent permit terms. These reports must include information on the status of the operator's chosen storm water management activities and practices ( and may include monitoring data) which will provide the NPDES permitting authority with information to adequately assess the effectiveness of the small MS4 program. These periodic reports are essential to provide the appropriate feedback on the MS4' s implemented and planned pollutant controls for its program and to ensure that the MS4 is in compliance with the conditions of its permit. Once the information gathered and reports submitted during the first permit term have adequately characterized the discharges and the controls used to reduce the addition of pollutants to discharges, the need to submit information regarding the performance of the small MS4 program decreases. This is reflected by the requirement that, instead of annual reports, the operator of a regulated small MS4 must submit a report at the end of years two and four of subsequent permit terms.

3( e) GENERAL GUIDELINES This information collection complies with Paperwork Reduction Act guidelines 5 CFR § 1320.5 ( d)( 2). Requests for supplemental information for the purposes of emergency response or enforcement activities are exempt from the Paperwork Reduction Act requirements.

3( f) CONFIDENTIALITY Although highly unlikely, this information collection may contain confidential business information. If this is the case, the respondent may request that such information be treated as confidential. All confidential data will be handled in accordance with 40 CFR § 122.7, 40 CFR Part 2, and EPA's Security Manual Part III, Chapter 9, dated August 9, 1976. However, CWA § 308( b) specifically states that effluent data may not be treated as confidential.

3( g) SENSITIVE QUESTIONS This information collection does not include sensitive questions. Storm Water Phase II ICR October 2, 2002 1 The full definition of an MS4 may be found at 40 CFR § 122.26( b)( 8) Page 8 4 THE RESPONDENTS AND THE INFORMATION REQUESTED This chapter discusses the information requested from regulated small MS4s, small construction sites, and Phase I industrial facilities with no exposure.

4( a) RESPONDENTS/ SIC CODES Small MS4s An MS4 is any publicly owned conveyance or system of conveyances ( including roads with drainage systems, municipal streets, gutters, and ditches) that is/ are designed or used for collecting or conveying storm water. 1 A small MS4 is any MS4 not already covered by Phase I of the NPDES storm water program as a medium or large MS4. A Phase II regulated small MS4 is any small MS4 that is:

  Located in a Bureau of the Census designated urbanized area,

  Located in an area that meets the criteria for designation by the NPDES permitting authority ( the designation criteria must be applied to those governmental entities located outside of an urbanized area with a population of at least 10,000 and a population density of at least 1,000 persons per square mile), or   Found by the NPDES permitting authority to be contributing substantially to the storm water pollutant loadings of a physically interconnected regulated MS4.

Small Construction Sites The construction activities subject to Phase II permit coverage include clearing, grading, and excavation activities that result in a disturbance of equal to or greater than 1 acre and less than 5 acres of total land area. Activities that disturb less than one acre are not required to submit a permit application unless they are part of a larger common plan of development or sale resulting in a planned disturbance of 1 acre or more, or are designated by the NPDES permitting authority to be permitted due to the potential to contribute to water quality impairment.

Relevant SIC codes may include the following:

  1522: General Contractors  Residential Buildings, Other than Single Family   1531: Operative Builders   1541: General Contractors  Industrial Buildings and Warehouses   1542: General Contractors  Nonresidential Buildings, Other Than Industrial Buildings and Warehouses Storm Water Phase II ICR October 2, 2002 Page 9   1611: Highway and Street Construction, Except Elevated Highways   1622: Bridge, Tunnel, and Elevated Highway Construction   1623: Water, Sewer, Pipeline, and Communications and Power Line   1629: Heavy Construction, Not Elsewhere Classified   1794: Excavation Work Industrial Facilities with No Exposure With the Phase II rule came a change in the scope of facilities that could be excluded from permit requirements under a provision of " no exposure". Formerly, only light industrial facilities in category ( xi) of the definition of storm water associated with industrial activity were able to forego permit coverage, and then only if a condition of no exposure existed. Phase II added a new section at 40 CFR § 122.26( g) called the Conditional Exclusion for No Exposure of Industrial Activities and Materials to Storm Water. This new no exposure provision applies to all classes of industrial activities discharging storm water that are defined at 40 CFR § § 122.26( b)( 14)( i)( xi), except for construction activity defined at 40 CFR § 122.26( b)( 14)( x) or industrial sources individually designated by the NPDES permitting authority. It excludes them from the requirement to seek coverage under an NPDES storm water permit if they can certify that they have no exposure of industrial activities, materials, or product handling equipment to storm water.

The affected categories include:

  Category ( i): Facilities subject to storm water effluent limitations guidelines, new source performance standards, or toxic pollutants effluent standards under 40 CFR, Subchapter N,

  Category ( ii): SIC codes 24 ( except 2434), 26 ( except 265 and 267), 28 ( except 283and 285), 29, 311, 32 ( except 323), 33, 3441, and 373,

  Category ( iii): SIC codes 10, 11, 12, 13, and 14,

  Category ( iv): Hazardous waste treatment, storage, or disposal facilities, including those that are operating under interim status or a permit under Subtitle C of RCRA,

  Category ( v): Landfills, land application sites, and open dumps that receive or have received any industrial wastes including those that are subject to regulation under Subtitle D of RCRA,

  Category ( vi): SIC codes 5015 and 5093,

  Category ( vii): Steam electric power generating facilities, including coal handling sites, Storm Water Phase II ICR October 2, 2002 Page 10   Category ( viii): Transportation facilities classified as SIC codes 40, 41, 42 ( except 4221 45), 43, 44, 45, and 5171 which have vehicle maintenance shops, equipment cleaning operations, or airport de icing operations,

  Category ( ix): Treatment works treating domestic sewage or any other sewage sludge or wastewater treatment device or system, and   Category ( xi): SIC codes 20, 21, 22, 23, 2434, 25, 265, 267, 27, 283, 285, 30, 31 ( except 311), 323, 34 ( except 3441), 35, 36, 37 ( except 373), 38, 39, 4221, 4222, and 4225.

4( b) INFORMATION REQUESTED This section presents the data items, including record keeping requirements, and required respondent activities involved in preparing and submitting those data items.

Data Items, Including Record Keeping Requirements Small MS4s A waiver from the permitting requirements may be available for certain regulated small MS4s as determined by the NPDES permitting authority. EPA expects that all waiver determinations will be made by the NPDES permitting authorities prior to issuance of the small MS4 general permit, thus negating the need to submit a waiver request. Therefore, this ICR does not include any costs associated with a waiver request.

Operators of small MS4s that are to be covered under a Phase II municipal storm water permit must prepare and submit a permit application or NOI, perform record keeping, and prepare and submit annual reports.

EPA provides three options that an operator can follow to apply for Phase II permit coverage: ( 1) complete and file an NOI under a general permit; ( 2) complete and file an individual application for an individual permit; or ( 3) apply to be a co permittee under an existing Phase I MS4 individual permit through a modification of the permit. EPA expects few of the small MS4 respondents to submit an individual permit application or seek a modification of an existing Phase I permit, due in part to the fact that the burden hours and costs associated with a general permit typically are less than the burden and costs associated with these other two options. This ICR does, however, contemplate a small number of small MS4s submitting individual permit applications, although the burden associated with the individual or general permit are considered to be the same. In fact, the Phase II rule includes simplified individual permit application requirements that are consistent with those for the general permit NOI.

Notice of Intent ( NOI) or Individual Permit Application Permit coverage, and submittal of an NOI if the general permit option is chosen or a permit application if the individual permit option is chosen, is required under 40 CFR § 122.33( a). The information requested on the NOI or application must include, at a minimum, the following elements: Storm Water Phase II ICR October 2, 2002 Page 11   Name of the small MS4 and the name, address, and phone number of a contact person at the MS4,

  A list of the BMPs that are to be implemented for each of the six required minimum control measures,

  A schedule detailing when the BMPs are to be implemented and completed, or an indication of the frequency of the actions to be undertaken,

  The measurable goals to be achieved for each of the required six minimum control measures, and   A certification that the information provided is true and complete.

Annual Reports Under 40 CFR § 122.34( g)( 3), the Phase II rule requires operators of regulated small MS4s to prepare and submit annual reports to the NPDES permitting authority during the first fiveyear permit term. EPA intends the report to be either a narrative document, typically no longer than two pages, or an annual report form to be provided by the permitting authorities. The rule requires the following information to be submitted:

  Status of compliance with permit conditions, including identified BMPs and progress toward achievement of measurable goals for each minimum measure,

  Any information collected and analyzed, including monitoring data,

  A summary of activities to be undertaken in next reporting cycle, and   Any change in identified measurable goals that apply to program elements.

Record Keeping Under 40 CFR § 122.34( g)( 2), the Phase II rule requires records related to the permit application and any supporting documentation for the annual reports to be filed and kept for at least three years.

Small Construction Sites Waiver Certification The Phase II rule allows for a waiver to be provided to any operator of a construction site covered by Phase II that can certify to at least one of the two waiver conditions. To obtain a waiver, a written certification by the operator must be provided to the NPDES permitting authority. The waiver conditions are:

  Low rainfall potential. The value of the rainfall erosivity factor (" R" in the Revised Universal Soil Loss Equation) must be less than 5 during the period of construction activity, or   A determination that storm water controls are not needed based on an EPAapproved " total maximum daily load" ( TMDL) that addresses the pollutants Storm Water Phase II ICR October 2, 2002 2 U. S. Environmental Protection Agency, Office of Wastewater Management, Information Collection Request for the Revisions to the National Pollutant Discharge Elimination System Permit Regulation: Storm Water Discharges ( Washington, D. C.: U. S. Environmental Protection Agency, 1990). Page 12 of concern or, if a TMDL has not been developed or approved, an equivalent analysis that determines sources and allocations for the pollutants of concern.

The information requested on the Waiver Certification form includes, at a minimum, the following elements:

  Name and address of the small construction site operator, and   R factor calculation, including the final calculated R factor for the site, and   a signed certification statement.

Notice of Intent ( NOI) The rule requires operators covered under Phase II of the storm water program to complete an NOI or an individual application and develop and implement a storm water pollution prevention plan that includes proper erosion and sediment controls.

Storm water discharges associated with construction activity exist in vast numbers. EPA has recognized that the burden to issue individual permits to each discharger would be prohibitive. EPA expects to use, and encourage the use of, a general permit option and standardized application forms for construction activities regulated under Phase II. EPA expects that all operators of Phase II construction sites will submit a Notice of Intent ( NOI) for coverage under a general permit, similar to the NOI required for the Phase I construction permit.

Although the rule allows the option of submitting individual applications instead of an NOI, EPA does not anticipate any operator will choose this option. Because EPA expects no respondents for this activity, the burden and costs associated with the preparation and submittal of an individual application are not necessary for this ICR. However, the information required for an individual application, Forms 1 and 2F, was estimated in the ICR that was developed to assess the information collection burden of the storm water regulations as promulgated in 1990.2 Federal regulations require, at a minimum, that applicants provide the following information in their NOI:

  The legal name and address of the owner or operator,

  The facility name and address,

  The type of facility or discharges, and   The name of the receiving water( s).

When NPDES permitting authorities issue general permits, they may require additional information to be submitted with the NOI that is deemed necessary to ensure that facilities Storm Water Phase II ICR October 2, 2002 3 The 1999 ICR is published at 62 FR 29826. Page 13 covered under the permits comply with the objectives and provisions of the CWA. However, NPDES permitting authorities typically use general permits to minimize the burden associated with reviewing application information. Consequently, applicants are usually required to provide simple, easily obtainable data in their NOIs.

EPA has issued an NOI that applies to both Phase I and Phase II of the construction storm water program. Entities within the construction industry and their industry organizations are familiar with the idea of an NOI as a means of seeking coverage under Phase I of the storm water program. This approach therefore avoids requiring affected entities to learn a new application method or form. The most recent ICR detailing the burden and costs associated with the Phase I NOI for construction activity was prepared in 19993.

The following information is requested in the NOI for Storm Water Discharges Associated with Construction Activity Under an NPDES General Permit ( OMB Form No. 2040 0188):

  Name, address, and phone number of the construction site operator,

  County in which the construction site is located,

  Ownership class of the construction site ( i. e., Federal, State, public, or private),

  Name and location of the construction site,

  Whether the facility is located on Indian Lands,

  Latitude and longitude of the construction site,

  Whether a SWPPP has been developed,

  Address of the location of the SWPPP,

  Estimated construction start date and completion date,

  Estimated land area to be disturbed,

  An estimate of the likelihood of a discharge, and   Whether any endangered or threatened species are in proximity to storm water discharges or best management practices ( BMPs) to be constructed for the discharges.

NOT Upon completion of construction and final stabilization of the disturbed area, the operator of the permitted construction site is required to submit an NOT to the NPDES permitting authority. Similar to an NOI, the NOT is an existing form that is already being used by the operators of Phase I construction sites. The following information is required to be provided on the NOT: Storm Water Phase II ICR October 2, 2002 Page 14   NPDES storm water permit number,

  Whether the person filing the form is no longer the operator of the construction site, or whether the discharge is being terminated,

  Name, address, and phone number of the site operator,

  Name and address of the site,

  The latitude and longitude of the construction site, or quarter, section, township, and range if latitude and longitude is not available,

  A certification that either the storm water discharge has been eliminated, or that the person filing the NOT is no longer the operator of the construction site.

Storm Water Pollution Prevention Plan ( SWPPP) As a Phase I NPDES construction permit condition, EPA requires operators of construction sites regulated under Phase II to develop a SWPPP, the main components of which are required under 40 CFR § 122.26( c)( 1)( ii). A SWPPP is typically kept on site and not submitted. The development of a SWPPP is unique to each construction site even though they are based on common required elements. The SWPPP must include:

  A site plan, including proper erosion and sediment controls and storm water management,

  A pollution prevention site map, and   An inspection and maintenance plan.

Record Keeping The rule requires that the SWPPP and copies of the NOI ( or other permit application) or waiver certification be kept on site. The SWPPP also requires the construction site owner or operator to keep records of bi weekly inspections of their BMPs used for erosion and sediment control. The operator must also keep a copy of the NOT and supporting documentation on file for a period of three years.

Industrial Facilities with No Exposure No Exposure Certification To obtain the no exposure exclusion from permitting, the Phase II rule requires operators of industrial facilities identified in the categories under 40 CFR § 122.26( b)( 14) to submit to the NPDES permitting authority a written certification that a condition of no exposure exists. The Phase II rule includes a form for this purpose entitled No Exposure Certification for Exclusion from NPDES Storm Water Permitting, which is included in this ICR as Appendix E.

The following information, requested in the No Exposure Certification for Exclusion from NPDES Storm Water Permitting form ( Appendix E), is required to be submitted in the certification: Storm Water Phase II ICR October 2, 2002 Page 15   Name, address, phone number of facility operator   Name and address of facility   Whether the facility is located on Indian lands or is a Federal Facility   The latitude and longitude location of the facility   The total size of the site associated with industrial activity   Whether the facility or site was previously covered by a NPDES permit and, if so, the permit number   The primary and secondary SIC codes for the facility   Whether any formerly exposed, pervious area has been paved or roofed over and, if so, how much   Whether any of the following materials or activities are exposed to precipitation, now or in the foreseeable future:

o Using, storing or cleaning industrial machinery or equipment, and areas where residuals from using, storing or cleaning industrial machinery or equipment remain and are exposed to storm water o Materials or residuals on the ground or in storm water inlets from spills/ leaks o Materials or products from past industrial activity o Material handling equipment ( except adequately maintained vehicles)

o Materials or products during loading/ unloading or transporting activities o Materials or products stored outdoors ( except final products intended for outside use [ e. g., new cars] where exposure to storm water does not result in the discharge of pollutants)

o Materials contained in open, deteriorated or leaking storage drums, barrels, tanks, and similar containers o Materials or products handled/ stored on roads or railways owned or maintained by the discharger o Waste materials ( except waste in covered, non leaking containers [ e. g., dumpsters])

o Application or disposal of process wastewater ( unless otherwise permitted) Storm Water Phase II ICR October 2, 2002 Page 16 o Particulate matter or visible deposits of residuals from roof stacks and/ or vents not otherwise regulated ( i. e., under an air quality control permit) and in quantities detectable in the storm water outflow.

The certification must be re submitted once every five years. If conditions change during the five year period such that exposure exists, the operator must obtain an NPDES permit immediately.

Under the original Phase I no exposure provision, the operators of category ( xi) facilities with no exposure were not required to notify, or certify to, the NPDES permitting authority that no exposure conditions existed. They simply did not submit a permit application. Storm Water Phase II ICR October 2, 2002 Page 17 Respondent Activities Small MS4s Respondent activities can vary substantially depending on the characteristics of the regulated small MS4 respondent and the area being served. However, the common activities for each of the data items listed are explained in this section.

Notice of Intent ( NOI) or Individual Permit Application Any particular regulated small MS4 respondent preparing and submitting an NOI or individual permit application may engage in the following types of activities:

  Preparing basic information. This can include reading instructions and regulations for application requirements, consulting technical, legal, and political staff, reviewing guidance materials, gathering general information, typing or completing forms, and mailing completed forms to the NPDES permitting authority.

  Gathering detailed information. Detailed information gathered may include topographic maps, data on effluent characteristics, financial estimates ( i. e., available funds and staff resources), engineering data, data on effective erosion and sediment and storm water management BMPs, data on local development patterns, information on storm water management programs and related activities being performed by another entity, or any information required by the NPDES permitting authorities to be submitted.

  Maintaining records. All NPDES permit applicants must keep records of the data used to complete their applications for at least three years. Applicants may need to develop a record keeping system, enter data, train personnel, and file information.

Annual Reports Any particular regulated small MS4 respondent preparing and submitting an annual report may engage in the following types of activities:

  Preparing basic information. This can include reading instructions and regulations for report requirements, consulting technical, legal, and political staff, reviewing guidance materials, gathering general information, typing or completing forms or generating reports, and mailing completed forms or reports to the NPDES permitting authority.

  Gathering detailed information. Detailed information gathered may include progress reports from those persons/ governmental departments responsible for implementing the chosen BMPs, financial estimates, monitoring data, visual inspection data, compliance/ enforcement data, public opinion and awareness surveys, or any information required by the NPDES permitting authorities to be submitted with the annual reports.

  Maintaining records. All NPDES permit applicants must keep records of the data used to complete their annual reports for at least three years. Applicants Storm Water Phase II ICR October 2, 2002 Page 18 may need to develop a record keeping system, enter data, train personnel, and file information.

Small Construction Sites Respondent activities can vary substantially, depending on the type of construction and the characteristics of the construction site. However, the common activities for each of the data items listed are explained in this section.

Waiver Certification Any particular construction respondent preparing and submitting a waiver certification may engage in the following types of activities:

  Preparing basic information. This can include reading instructions and regulations for waiver requirements, consulting technical and legal staff, reviewing guidance materials, gathering general information, typing or completing forms, and mailing completed forms and/ or letters to the NPDES permitting authority.

  Maintaining records. All NPDES permit applicants must keep records of the data used to complete their certification form/ letter for at least three years. Respondents may need to develop a record keeping system, enter data, train personnel, and file information.

Notice of Intent ( NOI) Any particular construction respondent preparing and submitting an NOI may engage in the following types of activities:

  Preparing basic information. This can include reading instructions and regulations for application requirements, consulting technical and legal staff, reviewing guidance materials, gathering general information, typing or completing forms, and mailing completed forms to the NPDES permitting authority.

  Maintaining records. All NPDES permit applicants must keep records of the data used to complete their applications for at least three years. Applicants may need to develop a record keeping system, enter data, train personnel, and file information.

SWPPP Any particular construction respondent developing a SWPPP may engage in the following types of activities:

  Preparing basic information. This can include reading instructions and regulations for SWPPP requirements, consulting technical staff, reviewing guidance materials, gathering general site information ( e. g., area, slope, soils, runoff coefficient), and developing a plan for SWPPP preparation.

  Gathering detailed information. Detailed information gathered may include a pollution prevention site map, topographic maps, water flow process line Storm Water Phase II ICR October 2, 2002 Page 19 drawings, data on production levels, data on effluent characteristics, financial estimates, engineering data, data on effective erosion and sediment and storm water management BMPs, or other information required by NPDES permitting authorities to be included in a SWPPP.

  Maintaining records. All NPDES permit applicants must keep records for at least three years. This includes generating records of bi weekly inspections of the site for proper implementation and maintenance of BMs. Also, SWPPPs must be maintained on site for the duration of the permit. Respondents may need to develop a record keeping system, enter data, train personnel, and file information.

NOT Any particular construction respondent preparing and submitting an NOT may engage in the following types of activities:

  Preparing basic information. This can include reading instructions and regulations for report requirements, consulting technical staff, gathering general information, typing or completing forms, and mailing completed forms to the NPDES permitting authority.

  Maintaining records. All NPDES permit applicants must keep records of the data used to complete their NOTs for at least three years.

Industrial Facilities with No Exposure The only respondent activity will be completion and submittal of the no exposure certification. The level of effort involved in this activity may vary substantially, depending on the size and number of activities occurring at an industrial site. However, any particular industrial no exposure respondent may be expected to engage in the following types of activities:

  Preparing basic information. This can include reading instructions and regulations for no exposure requirements, consulting technical and legal staff, reviewing guidance materials, gathering general information, typing or completing forms, and mailing completed forms to the NPDES permitting authority and the operator of the MS4 that the industrial site discharges into.

  Gathering detailed information. Detailed information gathered may include visual inspection information, an inventory of site activities and materials, or any information required by NPDES permitting authorities to be submitted with the no exposure certification.

  Maintaining records. All NPDES permit applicants must keep records of the data used to complete their certifications for at least three years. Applicants may need to develop a record keeping system, enter data, train personnel, and file information. Storm Water Phase II ICR October 2, 2002 Page 20 5 THE INFORMATION COLLECTED: AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT 5( a) AGENCY ACTIVITIES The Agency's activities as the NPDES permitting authority for six States and all U. S. Territories except the Virgin Islands are exactly the same as the activities of the 44 NPDES authorized States and the Virgin Islands and consist of the following:

  Processing and reviewing small MS4 NOIs and annual reports,

  Processing and reviewing construction permit waiver certifications, NOIs, and NOTs, and   Processing and reviewing industrial no exposure certifications.

5( b) COLLECTION METHODOLOGY AND MANAGEMENT In collecting and analyzing the information associated with this ICR, EPA will use paper based forms, personal computers, and a database to ultimately store the information. EPA will ensure accuracy and completeness of the information by reviewing each submittal. Any form that is considered inaccurate or incomplete will not be accepted and will be returned to the sender with a letter requesting the missing and/ or inaccurate information.

In the future, EPA plans to analyze the use of Internet based forms to facilitate the transfer of information such as NOIs, NOTs, annual reports, and waiver requests between the regulated community and EPA to see if there are any potential reductions in burden or costs. The main roadblock in allowing submittals via the Internet is the need for a signed certification on each form. EPA has proposed a regulation to allow electronic reporting that will include these documents. Upon promulgation, that rule will address changes in burden and costs associated with electronic submission of the data described herein.

5( c) SMALL ENTITIY FLEXIBILITY Phase II of the storm water program is subject to the requirements of the Regulatory Flexibility Act of 1980 ( RFA) as amended by the Small Business Regulatory Enforcement Fairness Act of 1996 ( SBREFA). For the SBREFA analysis, EPA used the definitions of small businesses, municipalities, and not for profit organizations established by the Small Business Administration ( SBA) and the RFA. The SBA defines small businesses based on Standard Industrial Classification ( SIC) and size standards expressed either in number of employees or annual receipts in millions of dollars ( 13 CFR § 121.20). To evaluate the economic impact on small entities involved in the construction activity affected by the rule, EPA looked at the number of building contractors considered to be small businesses. For this SIC ( SIC 15XX), the size standard is up to $ 17 million in annual revenues. As part of rulemaking, EPA estimated Storm Water Phase II ICR October 2, 2002 Page 21 that approximately 187,610 small construction businesses met this definition, out of a total of 189,453 covered by the rule.

The RFA defines small governmental jurisdictions and organizations ( U. S. EPA, 1992). A small government is the government of a city, county, town, school district, or special district or tribal jurisdiction with a population of fewer than 50,000. EPA identified 4,746 small governments that meet this definition and are covered by the rule. A small organization is any not for profit enterprise that is independently owned and operated, and is not dominant in its field. EPA did not identify any not for profit organizations that would be affected by the rule.

Over the last few years, EPA has reduced reporting burdens on entities of all sizes. Applicants for storm water permits, for instance, do not need to submit any sampling data. The Agency specifically developed the general permit procedures to greatly reduce burden hours and costs associated with the individual application process.

Small MS4 Program EPA believes that the application requirements in the Phase II rule provide the minimum information required to adequately assess the current and future impacts of the small MS4 discharges upon waters of the United States. The NOI and individual permit application requirements for regulated small MS4s represent substantially reduced application requirements from those of the Phase I storm water regulation for medium and large MS4s.

Construction Program The construction NOI, which EPA expects will be by far the most widely used form of application for construction sources, requests minimal information required to characterize the facility and the construction activity; the estimated time to complete is 3.7 hours. NOIs are submitted infrequently, typically once for each construction activity; twice if the construction activity continues beyond the expiration date of the general permit. The rule allows the NPDES permitting authority the discretion not to require submittal of NOIs under their general permit for Phase II construction sources. Even through they have this option, EPA expects that all NPDES permitting authorities will require NOIs ( or something similar) for tracking purposes.

Industrial No Exposure In general, the no exposure provision of the Phase II rule allows regulatory relief for small industrial entities with no exposure. For a few small entities, defined later in this ICR, the information collection burden will increase slightly by an estimated 45 minutes due to the need to submit a waiver certification. Storm Water Phase II ICR October 2, 2002 Page 22 5( d) COLLECTION SCHEDULE Small MS4 Program NOI and Individual Permit Application Federal regulations specify that permits be issued for a maximum five year term. Therefore permittees must reapply for permits at least every five years, although the regulations grant permit writers the authority to impose more frequent reissuance. When calculating burden, this ICR assumes that all permit applicants follow this schedule.

Annual Reports The operators of regulated small MS4s must submit reports annually during the first permit term, which will be a five year term in most cases.

Construction Program Waiver Certification The waiver certification is to be submitted prior to the start of construction activity.

NOI Federal regulations require that general permits be issued for a maximum five year term. Therefore permittees must reapply for permits at least every five years, although the regulations grant permit writers the authority to impose more frequent reissuance. All small construction sites that wish to be covered under a general permit must apply for the general permit that is available at the time. When calculating burden, this ICR assumes that all permit applicants follow this schedule.

SWPPP The SWPPP is typically not collected from construction operators unless the permitting authority finds it necessary to review it for compliance assurance purposes.

NOT An NOT is submitted once for a construction site when coverage under the permit is no longer necessary.

Industrial No Exposure No Exposure Certification Similar to an NOI, a no exposure certification must be submitted to the NPDES permitting authority at least once every five years. Storm Water Phase II ICR October 2, 2002 Page 23 6 ESTIMATING THE BURDEN AND COST OF THE COLLECTION 6( a) ESTIMATING RESPONDENT BURDEN This section presents estimated respondent burden for each information request under the Phase II rule. The respondents include regulated small MS4s, small construction sites, and Phase I industrial facilities with a condition of no exposure. The 44 NPDES authorized States are also included as respondents in this section.

Burden on Small MS4 Respondents The respondent activities for operators of regulated small MS4s include the submittal of an NOI or individual permit application, record keeping, and the preparation and submittal of annual reports. Total burden estimates for regulated small MS4s come directly from Economic Analysis of the Final Phase II Storm water Rule, EPA 833 R 99 007, October 1999 ( hereinafter " Economic Analysis"), and are presented here in Exhibit 1. Annual burden is estimated by dividing the total burden incurred over a five year permit term by five. The MS4 NOI/ permit application burden estimates provided in the following exhibits are presented as " NOI" estimates but do include those MS4s that opt to use the individual permit application option available in 40 CFR § 122.33( b)( 2).

Exhibit 1. Burden on Each Small MS4 Respondent Informa tion Colle ction Activity Five  Ye a r MS4 Burde n ( hours) Annua l MS4 Burde n ( hours)

NOI preparation & submittal 30 6.0 Record keeping 14 2.8 A nnual report preparation & subm ittal 240 48.0 Tota l 284 56.8 Burden on Construction Respondents The respondent activities for construction sources include the preparation and submittal of a waiver certification or the preparation and submittal of an NOI, the development of a SWPPP, record keeping, and the preparation and submittal of an NOT. All burden estimates for small construction respondents come directly from the Economic Analysis and are presented in Exhibit 2. Although construction activities may be covered by an NPDES permit for five years or longer, based on data from EPA's NOI Processing Center, the mean and median duration of permit coverage is approximately one year. As such, burden estimates for each construction permittee are based on operation for one year. Estimates are based on the steps necessary to determine eligibility under the Phase II rule's construction waiver provision and the permit application, record keeping, SWPPP requirements, and NOT for Phase I construction activities.

The estimated burden of 22.7 hours for development of the SWPPP represents the median value of the low ( 10.6 hours) and high ( 34.7 hours) burden estimates determined in the Economic Analysis for the Phase II rule. Storm Water Phase II ICR October 2, 2002 Page 24 Exhibit 2. Burden on Each Construction Respondent Informa tion Colle ction Activity Estima ted Annual Burden on Each Construction Re spondent ( hours)

Waiver certification preparation & submittal 1.0 Tota l 1.0 NOI preparation & submittal 3.7 Development of SWPPP 22.7 Record keeping 1.0 NOT preparation & submittal 0.5 Tota l 27.9 Construc tion W aivers Construc tion P ermits Burden on Industrial No Exposure Respondents The single respondent activity for operators of industrial facilities certifying to a condition of no exposure is the preparation and submittal of a no exposure certification. Burden estimates for industrial no exposure respondents are from the Economic Analysis and are presented in Exhibit 3. No exposure certifications are for five years, and as such, each respondent will incur one fifth of the full burden of this activity each year.

Exhibit 3. Burden on Each Industrial No Exposure Respondent Inform a tion Colle ction Activity Five  Ye a r Burde n ( hours) Annua l Burde n ( hours)

No E x pos ure Cert ific ation 0.75 0.15 Tota l 0.75 0.15 Burden on NPDES Authorized States The burden incurred in managing and implementing the Phase II rule is the same on a per state basis for the Agency and the NPDES authorized States. Burden and costs associated with administration of the Phase II storm water program will impact the Agency for the six states and territories where it is the NPDES permitting authority, and each NPDES authorized State will incur burden and costs for its Phase II program.

The six activities that NPDES authorized States must perform fall into three general areas: ( 1) administration of the small MS4 program, ( 2) administration of the small construction program, and ( 3) processing and review of industrial no exposure forms.

Administration of the Small MS4 Program The activities required for administration of the small MS4 program include the processing and review of NOIs and individual permit applications and annual reports. All burden estimates for administration of the small MS4 program come from the Economic Analysis and are presented in Exhibit 4. Storm Water Phase II ICR October 2, 2002 Page 25 EPA expects that NPDES authorized States will develop and implement a simple database or spreadsheet system to track MS4 applications. It is assumed that this type of system does not currently exist and therefore the creation and operation of such a system is reflected in the burden estimates.

Exhibit 4. Burden on NPDES Authorized States for Administration of the Small MS4 Program Informa tion Colle ction Activity Tota l P e rmitting Authority Burde n Per MS4 Responde nt Pe r 5 Ye a r P e rm it Te rm ( hours) Annua l Pe rmitting Authority Burde n Pe r MS4 Re sponde nt ( hours)

NOI proc essing & review 4.0 0.8 Report proces sing & review 8.0 1.6 Tota l 12.0 2.4 Administration of the Small Construction Program The activities required for administration of the small construction program include the processing and review of waiver certification forms, NOIs, and NOTs. Burden estimates for administration of the small MS4 program come from the Economic Analysis and are presented in Exhibit 5. They were based on the conditions of the waivers and the level of review necessary and on consultations with NPDES permitting authorities knowledgeable of the similar information requests in the NOIs and NOTs for Phase I construction sources.

EPA intends to use a modified version of the Phase I construction general permit NOI for use at Phase II small construction sites. This will greatly reduce the burden required to develop new forms and new databases to record information and track applicants.

Exhibit 5. Burden on NPDES Authorized States for Administration of the Small Construction Program Inform a tion Colle ction Activity Pe rmitting Authority Burde n Pe r Construction Responde nt ( hours)

Construc tion W aivers Waiver certification proc essing & review 1.0 Tota l 1.0 Construc tion P ermits NOI process ing & review 1.0 NOT process ing 0.5 Tota l 1.5 Process and Review of Industrial No Exposure Forms The activities required for processing and review of industrial no exposure forms include review of the form for completeness and applicability and entry of the information into a database or tracking system. A burden estimate for the processing and review of industrial no exposure forms comes from the Economic Analysis and is presented in Exhibit 6.

The NPDES permitting authorities will have to develop and implement a database system to track no exposure certifications because this type of system does not currently exist, Storm Water Phase II ICR October 2, 2002 4 U. S. Department of Labor, Employment Cost Indexes and Levels 1975 95, Bulletin 2466 ( Washington, D. C.: 1995) page 17. Page 26 although the database currently in use to track NOIs could be adopted for this purpose. The creation and operation of such a system is reflected in the burden estimate.

Exhibit 6. Burden on NPDES Authorized States for Processing and Review of Industrial No Exposure Forms Informa tion Colle ction Activity Permitting Authority Burde n Pe r Industria l Re spondent ( hours) Annua l Pe rmitting Authority Burde n P e r Industria l Re sponde nt ( hours)

No Exposure certification processing & review 1.0 0.2 Tota l 1.0 0.2 6( b) ESTIMATING RESPONDENT COSTS Because EPA has determined that there are no capital or operation and maintenance costs associated with any of the respondent activities, this ICR only includes labor costs in its estimates. The Phase II rule does not require construction site operators or small MS4 operators to expend funds for capital assets, nor does it mandate that owners or operators of industrial facilities construct structures to ensure that no exposure conditions exist. Respondents are not required to pay for capital equipment or operations and maintenance to respond to the additional information requests.

All hourly wage costs are derived from the 1999 Phase II Storm Water ICR, which reports hourly wages in 1998 dollars. For this ICR, the Employment Cost Index ( ECI) was used to calculate the 2001 rate. For example, for state and local employees, the ECI was 139.5 in December 1998 and was 154.8 in December 2001. Dividing the two ( 154.8/ 139.5) creates a multiplication factor of 1.109677, which is multiplied by the 1998 hourly rate to arrive at the 2001 hourly rate. The multiplication factors differ for private sector employees and civilian government employees.

Costs to Small MS4 Respondents The average hourly labor rate for regulated small MS4s was based on 1995 U. S. Department of Labor wage rates and adjusted to a 2001 rate using the 1995 and 2001 ECI. 4 The mean hourly wage rate for municipal employees including overhead is $ 30.18. This labor rate was used for all regulated small MS4 respondent activities defined in this ICR.

The costs for each of the information collection activities are established by multiplying the burden incurred over the term of this ICR by the hourly labor rate. The results are presented below in Exhibit 7.

Exhibit 7. Annual Costs to Each MS4 Respondent Storm Water Phase II ICR October 2, 2002 5 U. S. Department of Labor, Bureau of Labor Statistics, Pay in the United States and Regions ( Washington, D. C.: 1993). 6 R. S. Means, Building Construction Cost Data 1997. 7 Labor rates are inflated from 1998 dollars as reported in the 1999 ICR using the Employment Cost Index for private industry employees as reported by Bureau of Labor Statistics. Page 27 Informa tion Colle ction Activity Annua l Burden for Ea ch MS4 Re sponde nt ( hours) La bor Ra te ($ pe r hour) Ave rage Annua l Cost to Each MS4 Re sponde nt ($)

NOI preparation & submittal 6.0 $ 30.18 $ 181.10 Record keeping 2.8 $ 30.18 $ 84.51 Annual report preparation & subm ittal 48.0 $ 30.18 $ 1,448.79 Annua l Tota l 56.8  $ 1,714.41 Costs to Construction Respondents Fully loaded hourly wage rates for the construction industry are $ 38.47 for engineering assistant, $ 37.76 for drafter, and $ 25.04 for clerical support. These rates are in 2001 dollars and are derived from the U. S. Department of Labor statistics. 5 It is assumed that an engineering assistant and drafter would both work on the SWPPP, resulting in an average hourly rate of $ 38.12. It is also assumed that an engineering assistant would perform all work on the NOI and NOT. Clerical support is assumed for all record keeping activities. 6 The administrative costs for each of the information collection activities were calculated by multiplying the estimated burden by the appropriate hourly labor rate. The results are presented below in Exhibit 8. Costs for activities associated with construction waivers are presented separately from costs for construction permits due to the fact that no single respondent would engage in both types of activities and therefore would not incur both costs.

Exhibit 8. Costs to Construction Respondents Informa tion Colle ction Activity Annua l Burden for Each Construction Re sponde nt ( hours) Labor Ra te ($ pe r hour) Ave rage Annua l Cost to Ea ch Construction Re sponde nt ($)

Waiver c ertification preparation & submittal 1.0 $ 38.47 $ 38.47 Annua l Tota l 1.0  $ 38.47 NOI preparation & subm ittal 3.7 $ 38.47 $ 142.35 Developm ent of SWPPP 22.7 $ 38.12 $ 865.32 Record k eeping 1.0 $ 25.04 $ 25.04 NOT preparation & subm ittal 0.5 $ 38.47 $ 19.24 Annua l Tota l 27.9  $ 1,051.95 Cons truction W aivers Cons truction Permits Costs to Industrial No Exposure Respondents The average hourly wage for private sector industrial employees is estimated to be $ 49.91 in 2001 dollars. 7 This figure is based on the average hourly compensation for all employees in the manufacturing sector ( SIC codes 20 through 39) and includes 50 percent for Storm Water Phase II ICR October 2, 2002 8 U. S. Department of Labor page 17. 9 Adjusted to 1998 dollars using the employment cost index for State and local government wages and salaries as reported by the Bureau of Labor Statistics. Page 28 overhead, 67 percent for fringe benefits, and 15 percent for inflation, and is based on information used in the Economic Analysis.

EPA calculated the administrative costs for each of the information collection activities by multiplying the estimated burden by the hourly labor rate. The results are presented below in Exhibit 9.

Exhibit 9. Costs to Industrial No Exposure Respondents Informa tion Colle ction Activity Annua l Burden for Ea ch Industria l Re sponde nt ( hours) La bor Ra te ($ pe r hour) Ave rage Annua l Cost to Ea ch Industria l Re sponde nt ($)

No E xposure Certific ation 0.15 $ 49.91 $ 7.49 Annua l Tota l 0.15 $ 7.49 Costs to NPDES Authorized States The hourly labor rate for NPDES authorized States was based on the average hourly wage for State employees as determined by the U. S. Department of Labor. 8 The mean hourly wage rate is $ 29.86 ( including 50% for overhead expenditures) in 2001 dollars. 9 This hourly rate was used for all activities performed by NPDES authorized States in this ICR.

EPA calculated the administrative costs for each of the information collection activities by multiplying the estimated burden by the hourly labor rate. The results are presented below in Exhibit 10. Storm Water Phase II ICR October 2, 2002 10 U. S. Department of Labor page 17. 11 Adjusted to 1998 dollars using the employment cost index for State and local governments wages and salaries as reported by the Bureau of Labor Statistics. Page 29 Exhibit 10. Costs to NPDES Authorized States Informa tion Colle ction Activity Annual S ta te Burden Pe r Re spondent ( hours) State Labor Cost ($/ hr) Average Annua l Sta te Cost Pe r Re spondent ($)

NOI proces sing & review 0.8 $ 29.86 $ 23.89 Report proc ess ing & review 1.6 $ 29.86 $ 47.78 Tota l Per MS4 Respondent 2.4  $ 71.67 Waiver certification processing & review 1.0 $ 29.86 $ 29.86 Tota l Per Construction W a ive r Respondent 1.0  $ 29.86 NOI proces sing & review 1.0 $ 29.86 $ 29.86 NOT proces sing 0.5 $ 29.86 $ 14.93 Tota l Per Construction Pe rmit Respondent 1.5  $ 44.79 No exposure c ertification process ing & review 0.2 $ 29.86 $ 5.97 Tota l P er Industria l Respondent 0.2  $ 5.97 Small MS4 P rogram Cons truction P rogram Indus trial No E xpos ure 6( c) ESTIMATING AGENCY BURDEN AND COST In this section, EPA presents the estimated burden and costs for the Agency to implement and administer the Phase II rule.

Burden on the Agency The Agency burden incurred in managing and implementing the Phase II rule as an NPDES permitting authority is exactly the same as the burden for NPDES authorized States. See " Burden on NPDES Authorized States in Section 6( a) above.

Agency Costs The hourly labor rate for the Federal government was based on the average hourly wage Federal employees as determined by the U. S. Department of Labor. 10 The mean hourly wage rate is $ 31.82 ( including 50% for overhead expenditures) in 2001 dollars. 11 This hourly rate was used for all activities performed by the Agency in this ICR.

EPA calculated the administrative costs for each of the information collection activities by multiplying the estimated burden by the hourly labor rate. The results are presented below in Exhibit 10.

Exhibit 11. Agency Costs Storm Water Phase II ICR October 2, 2002 12 138,325 ( year 2003) + 140,124 ( year 2004) + 141,945 ( year 2005) = 420,394 total construction starts. 420,394 * 0.85 ( percent not eligible for waiver) = 357,335 construction respondents not eligible for a waiver. Page 30 Informa tion Collection Activity Annua l Agency Burden Pe r Re spondent ( hours) Agency La bor Cost ($/ hr) Ave rage Annua l Cost Pe r Responde nt ($)

NOI process ing & review 0.8 $ 31.82 $ 25.46 Report processing & review 1.6 $ 31.82 $ 50.92 Tota l Pe r MS4 Re spondent 2.4  $ 76.37 Waiver certification proc essing & review 1.0 $ 31.82 $ 31.82 Tota l Pe r Construction W a ive r Responde nt 1.0  $ 31.82 NOI process ing & review 1.0 $ 31.82 $ 31.82 NOT proc ess ing 0.5 $ 31.82 $ 15.91 Tota l Pe r Construction Pe rmit Responde nt 1.5  $ 47.73 No expos ure certification proc essing & review 0.2 $ 31.82 $ 6.36 Tota l Pe r Industria l Re spondent 0.2  $ 6.36 Small MS4 P rogram Construc tion P rogram Industrial No Exposure 6( d) ESTIMATING THE RESPONDENT UNIVERSE AND TOTAL BURDEN AND COSTS The number of respondents in the regulated community for each activity is referred to as the respondent universe and is discussed in the subsections below. Exhibit 12 presents a summary of the number of respondents for each activity.

Universe of Small MS4 Respondents Based on 1990 Bureau of the Census data, EPA estimates that 5,102 small MS4s will be covered by the rule during the three year duration of this ICR.

Universe of Construction Respondents EPA's estimate of the number of construction sources eligible for coverage under the Phase II rule is based on averaged annual construction starts for the years of 2003, 2004, and 2005, which are expected to be the first three years of permit issuance. To calculate potential construction starts for these years, the 1994 base year estimate of 123,145 Phase II construction starts was increased by 1.3% annually according to a methodology described in section 4.2.2 of the Economic Analysis. The total number of starts for these three years was reduced by 15 percent according to EPA's estimate of the number of construction starts that should be eligible for a waiver under the rule, thus resulting in a total of 357,335, or 119,112 per year. 12 These construction respondents are expected to perform all of the activities defined in this ICR, except for preparation and submittal of a waiver certification in lieu of an NOI. Subtracting 357,335 from the 420,394 total construction starts gives us an estimate of 63,059 construction sources that will qualify for a permit waiver during the three year duration of the ICR, or 21,020 per year.

Universe of Industrial No Exposure Respondents Storm Water Phase II ICR October 2, 2002 13 The breakdown of the number of regulated small MS4s that exist in either authorized or non authorized States and Territories was based on 1990 Bureau of the Census data. Unlike the construction and industrial universes, using a ratio was not necessary due to the existence of complete data for each State and Territory. Page 31 There are an estimated 181,885 industrial respondents that are expected to be eligible for the no exposure provision over the course of the five year permit and, therefore, are expected to complete the no exposure certification form.

Exhibit 12. Number of Respondents Informa tion Colle ction Activity Numbe r of Annua l Re spondents Sma ll MS4 P rogram NOI preparation & submittal 5,102 Record keeping 5,102 Annual report preparation & submittal 5,102 Construction P rogram Waiver certification preparation & submittal 21,020 NOI preparation & submittal 119,112 Development of SWPPP 119,112 Record keeping 119,112 NOT preparation & submittal 119,112 No Exposure P rogram No E xpos ure Certific ation 181,885 Estimating the NPDES Authorized State Universe The universe of the NPDES authorized States consists of 44 States and one territory. The remaining six States and two most populated Territories are under the NPDES authority of the Agency. This ratio of authorized States and Territories to the total ( 45/ 53) is used to determine the respondents per year for the NPDES authorized States and Territories. The estimated NPDES authorized State universe is presented in Exhibit 13.

Exhibit 13. Number of Respondents in the NPDES Authorized State Universe13 Informa tion Colle ction Activity Numbe r of Annua l Re spondents NOI process ing & review 4,772 Report processing & review 4,772 Waiver certification proc essing & review 17,847 NOI process ing & review 101,133 NOT process ing 101,133 No Expos ure certification processing & review 154,431 Construc tion P rogram Industrial No Exposure Small MS4 P rogram Total Burden and Costs Exhibit 14 presents the estimated annual average burden and costs for the small MS4s, small construction activities, and industrial no exposure respondents. Exhibit 15 presents the estimated annual average burden and costs for NPDES authorized States. Total burden and Storm Water Phase II ICR October 2, 2002 Page 32 costs are calculated by multiplying the cost associated with each activity by the number of estimated respondents.

Exhibit 14. Total Respondent Burden and Cost Estimates Informa tion Collection Activity Annua l Numbe r of Re spondents Annua l Burden Hours Pe r Re spondent Ave rage Annua l Burden ( hours) Respondent Labor Cost ($/ hr) Average Annua l Cost ($)

NOI preparation & submittal 5,102 6.0 30,612.0 $ 30.18 $ 923,969 Record k eeping 5,102 2.8 14,285.6 $ 30.18 $ 431,185 Report prep. & subm ittal 5,102 48.0 244,896.0 $ 30.18 $ 7,391,751 Subtota l  56.8 289,793.6  $ 8,746,906 Cons truction W aivers Waiver cert. prep. & submittal 21,020 1.0 21,019.7 $ 38.47 $ 808,688 Subtota l  1.0 21,019.7  $ 808,688 Cons truction Permits NOI preparation & submittal 119,112 3.7 440,713.2 $ 38.47 $ 16,955,526 Development of SWPPP 119,112 22.7 2,703,834.8 $ 38.12 $ 103,070,184 Record k eeping 119,112 1.0 119,111.7 $ 25.04 $ 2,982,225 NOT preparation & submittal 119,112 0.5 59,555.8 $ 38.47 $ 2,291,287 Subtota l  27.9 3,323,215.5  $ 125,299,222 No E xposure Certification 181,885 0.15 27,282.8 $ 49.91 $ 1,361,564 Subtota l  0.15 27,282.8  $ 1,361,564 Tota l   3,661,311.5  $ 136,216,380 Regula ted Sma ll MS4s Construction Source s Industrial No Exposure Fa cilitie s Storm Water Phase II ICR October 2, 2002 Page 33 Exhibit 15. Total NPDES Authorized State Burden and Costs Informa tion Colle ction Activity Annua l Number of Respondents Annual Pe rmitting Authority Burde n P er Re spondent ( hours) Ave rage Annua l Burde n ( hours) P e rmitting Authority Labor Cost ($/ hr) Ave rage Annual Cost ($)

NOI proces sing & review 4,772 0.8 3,818 $ 29.86 $ 113,999 Report proc ess ing & review 4,772 1.6 7,635 $ 29.86 $ 227,998 Waiver certification proces sing & review 17,847 1.0 17,847 $ 29.86 $ 532,933 NOI proces sing & review 101,133 1.0 101,133 $ 29.86 $ 3,019,961 NOT proces sing 101,133 0.5 50,566 $ 29.86 $ 1,509,981 No exposure c ertification process ing & review 154,431 0.2 30,886 $ 29.86 $ 922,304 Tota l   211,885  $ 6,327,176 Indus trial No E xpos ure Small MS4 P rogram Cons truction P rogram 6( e) BOTTOM LINE BURDEN HOURS AND COST The bottom line burden hours and cost are the sum of all the hours and costs incurred for all activities by the Phase II respondents, NPDES authorized States, and the Agency.

Respondent Tally This ICR calculated burden and cost for four types of respondents: 1) small MS4s, 2) small construction sites, 3) industrial " no exposure" facilities, and 4) NPDES authorized States. The combined bottom line totals for the four respondent types are 327,163 respondents performing 15 information collection activities resulting in 3,873,196 average annual burden hours at an average annual cost of $ 142,543,556. The respondent tally is presented in Exhibit 16.

Exhibit 16. Annual Estimated Respondent Burden and Cost Summary Informa tion Colle ction Activity Tota l Numbe r of Respondents Number of Activitie s Ave rage Annua l Burden ( hours) Average Annua l Cost ($)

Regulated Small MS4s 5,102 3 289,794 $ 8,746,906 Construc tion Sourc es ( waiver) 21,020 1 21,020 $ 808,688 Construc tion Sourc es ( permitted) 119,112 4 3,323,216 $ 125,299,222 Industrial No E x pos ure Fac ilities 181,885 1 27,283 $ 1,361,564 Subtota l 327,118 9 3,661,312 $ 136,216,380 NPDES Authorized S tates 45 6 211,885 $ 6,327,176 Subtota l 45 6 211,885 $ 6,327,176 TOTAL 327,163 15 3,873,196 $ 142,543,556 NPDES Authorize d S ta tes Re spondents Storm Water Phase II ICR October 2, 2002 Page 34 Agency Tally Agency activities associated with information collection burden and costs are similar to those for the NPDES authorized States. The difference between the two is that the Agency has authorized 45 States and Territories to implement the NPDES storm water program and as such, Agency burden is only included for eight remaining States and Territories ( as described in 6( d)).

The Agency's total burden and costs is presented in Exhibit 17. Bottom line annual burden is 36,424 hours at an average annual cost of $ 1,133,904.

Exhibit 17. Total Agency Burden and Costs Informa tion Colle ction Activity Annua l Number of Respondents Total Agency Burde n P er Re spondent ( hours) Ave rage Annua l Burde n ( hours) Age ncy Labor Cost ($/ hr) Ave rage Annual Cost ($)

NOI proces sing & review 330 0.8 264 $ 31.82 $ 8,401 Report proc ess ing & review 330 1.6 528 $ 31.82 $ 16,802 Waiver certification proces sing & review 3,173 1.0 3,173 $ 31.82 $ 100,965 NOI proces sing & review 17,979 1.0 17,979 $ 31.82 $ 572,137 NOT proces sing 17,979 0.5 8,990 $ 31.82 $ 286,069 No exposure c ertification process ing & review 27,454 0.2 5,491 $ 31.82 $ 174,732 Tota l   36,424  $ 1,133,904 Indus trial No E xpos ure Cons truction P rogram Small MS4 P rogram Total Tally The sum of respondent, NPDES authorized State, and Agency bottom line totals are 3,909,620 burden hours per year at a cost of $ 143,677,460 per year.

6( f) REASON FOR CHANGES IN BURDEN This ICR represents a dramatic increase in overall burden due to the fact that many of the Phase II rule requirements did not become effective until three years after promulgation ( i. e., after the initial three year ICR period).

Exhibit 18 presents the change in respondent and Agency burden for each information collection activity discussed in this ICR. Storm Water Phase II ICR October 2, 2002 Page 35 Previous ICR Current ICR Regulated Small MS4s 0 289,794 289,794 Construction Sources ( waiver) 0 21,020 21,020 Construction Sources ( permitted) 0 3,323,216 3,323,216 Industrial No Exposure Facilities 36,377 27,283  9,094 Subtotal 36,377 3,661,312 3,624,935 NPDES Authorized States 19,992 211,885 191,893 Subtotal 19,992 211,885 191,893 Agency ( EPA) 4,087 36,424 32,337 Annual Subtotal 4,087 36,424 32,337 ANNUAL TOTAL 60,456 3,909,620 3,849,164 Respondents NPDES Authorized States Agency ( EPA) Reported Annual Burden ( hours) Change Respondent Exhibit 18. Change in Annual Burden and Costs 6( g) BURDEN STATEMENT Exhibit 19 presents the average annual burden for collecting information required by the rule. For NPDES authorized States, the burden is estimated for each State by dividing the total burden for administering the program in all 44 NPDES authorized States and one Territory by 45 to derive an average burden per State or Territory. Thus, average annual burden is estimated at 56.80 hours at each regulated small MS4, 0.33 hours at each small construction site seeking a permit waiver, 9.30 hours for each small construction site seeking a permit, 0.25 hours per industrial no exposure facility, 4,708 hours per NPDES authorized State or Territory, and 36,424 total hours for the Agency. These burden estimates include the time required to review the instructions, search existing data sources, gather and maintain ( usually in electronic databases) all necessary data, and complete and review the information required to be collected. Storm Water Phase II ICR October 2, 2002 Page 36 Exhibit 19. Burden Statement for Each Respondent Re sponde nt Annua l Burden Pe r Re sponde nt ( hours)

Regulated Small MS4s 56.80 Cons truction Sources ( waiver) 1.00 Cons truction Sources ( permitted) 27.90 Industrial No E x pos ure Facilities 0.15 NPDES Authorized S tates 4,709 Agency ( EPA) 36,424 Burden means the 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 valid OMB control number. The OMB control numbers for EPA's regulations are listed in 40 CFR Part 9 and 48 CFR Chapter 15.

Send comments on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including through the use of automated collection techniques to the Director, Office of Environmental Information, Collection Strategies Division, U. S. Environmental Protection Agency ( 2822T), Ariel Rios Building, 1200 Pennsylvania Ave., N. W., Washington, D. C. 20460; and to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, DC 20503, Attention: Desk Officer to EPA. Include the EPA ICR number and OMB control number in any correspondence.