*             For each hazardous secondary materials management unit, a certification under section 261.143(h)(4) that all hazardous secondary materials have been removed from the unit and the unit has been decontaminated in accordance with the specifications in the approved plan. The certification must be signed by the owner or operator and by a qualified Professional Engineer.

            *             Documentation under section 261.143(h)(4) supporting the Professional Engineer's certification.

      (ii)	Respondent activities

            *             The owner/operator must perform the following activities:
         oo             Prepare and submit a plan to EPA for removing all hazardous secondary material residues.
         oo             Modify the plan or prepare a new one and submit it to EPA if a detailed written statement of reasons for EPA refusal is received.
         oo             Prepare and submit the certification to EPA by registered mail for each hazardous secondary materials management unit.
         oo             Furnish other documentation to EPA if requested supporting the Professional Engineer's certification.

      Coverage for Sudden and Non-Sudden Accidental Occurrences

      40 CFR 261.147(a) provides that an owner or operator of a hazardous secondary material reclamation facility or an intermediate facility subject to financial assurance requirements under section 261.4(a)(24)(vi)(F), or a group of such facilities, must demonstrate financial responsibility for bodily injury and property damage to third parties caused by sudden accidental occurrences arising from operations of the facility or group of facilities.  Section 261.147(b) provides that an owner or operator of a hazardous secondary material reclamation facility or intermediate facility with land-based units, as defined in section 260.10, which are used to manage hazardous secondary materials excluded under section 261.4(a)(24), or a group of such facilities, must demonstrate financial responsibility for bodily injury and property damage to third parties caused by nonsudden accidental occurrences arising from operations of the facility or group of facilities.  The owner or operator must have and maintain liability coverage for sudden and nonsudden accidental occurrences in the amounts specified in the regulations.  This liability coverage may be demonstrated as specified in section 261.147(a)(1), (2), (3), (4), (5), or (6) for sudden accidental occurrences and section 261.147(b)(1), (2), (3), (4), (5), or (6) for nonsudden accidental occurrences.

      (1)	Liability Insurance

      40 CFR 261.147(a)(1) and (b)(1) provides that an owner or operator may demonstrate the required liability coverage by having liability insurance for sudden and nonsudden accidental occurrences, as specified in section 261.147(a)(1) and (b)(1), respectively.  Section 261.147(a)(1)(i) and (b)(1)(i) require that each insurance policy must be amended by attachment of the Hazardous Secondary Material Facility Liability Endorsement, or evidenced by a Certificate of Liability Insurance.  The wording of the endorsement must be identical to the wording specified in section 261.151(h).  The wording of the certificate of insurance must be identical to the wording specified in section 261.151(i).  The owner or operator must submit a signed duplicate original of the endorsement or the certificate of insurance to the Regional Administrator, or Regional Administrators if the facilities are located in more than one Region.  If requested by a Regional Administrator, the owner or operator must provide a signed duplicate original of the insurance policy.  Section 261.147(a)(1)(ii) and (b)(1)(ii) provide that each insurance policy must be issued by an insurer which, at a minimum, is licensed to transact the business of insurance, or eligible to provide insurance as an excess or surplus lines insurer, in one or more States.

	(i)	Data items

            *             An insurance policy that is amended by attachment of the Hazardous Secondary Material Facility Liability Endorsement, or evidenced by a Certificate of Liability Insurance.  The wording of the endorsement must be identical to the wording specified in section 261.151(h).  The wording of the certificate of insurance must be identical to the wording specified in section 261.151(i).

            *             A signed duplicate original of the insurance policy.

      (ii)	Respondent activities

            *             The owner/operator must perform the following activities:
            -	Prepare and submit an insurance policy that is attached to a signed duplicate original of the endorsement or the certificate of insurance to the Regional Administrator, or Regional Administrators if the facilities are located in more than one Region.
            -	Provide a signed duplicate original of the insurance policy, if requested by a Regional Administrator.

            *             The owner/operator and insurer must comply with the terms of the endorsement or certificate, as applicable.

      (2)	Financial Test or Guarantee

      40 CFR 261.147(a)(2) and (b)(2) provide that an owner or operator may meet the requirements of this section by passing a financial test or using the guarantee for liability coverage as specified in section 261.147(f) and (g).

      Section 261.147(f)(1) provides that an owner or operator may satisfy the requirements of this section by demonstrating that he passes a financial test as specified in this paragraph. To pass this test the owner or operator must meet the criteria of paragraph (f)(1)(i) or (ii) of this section.  Section 261.147(f)(2) defines phrases used in the regulations.  Section 261.147(f)(3) provides that, to demonstrate that he meets this test, the owner or operator must submit the specified items to the Regional Administrator.  Section 261.147(f)(4) provides that the owner or operator may obtain a one-time extension of the time allowed for submission of the documents specified in paragraph (f)(3) of this section if the fiscal year of the owner or operator ends during the 90 days prior to the effective date of these regulations and if the year-end financial statements for that fiscal year will be audited by an independent certified public accountant. The extension will end no later than 90 days after the end of the owner's or operator's fiscal year. To obtain the extension, the owner's or operator's chief financial officer must send, by the effective date of these regulations, a letter to the Regional Administrator of each Region in which the owner's or operator's facilities to be covered by the financial test are located.  Section 261.147(f)(5) provides that, after the initial submission of items specified in paragraph (f)(3) of this section, the owner or operator must send updated information to the Regional Administrator within 90 days after the close of each succeeding fiscal year. This information must consist of all three items specified in paragraph (f)(3) of this section.  Section 261.147(f)(6) provides that, if the owner or operator no longer meets the requirements of paragraph (f)(1) of this section, he must obtain insurance, a letter of credit, a surety bond, a trust fund, or a guarantee for the entire amount of required liability coverage as specified in this section.  Evidence of liability coverage must be submitted to the Regional Administrator within 90 days after the end of the fiscal year for which the year-end financial data show that the owner or operator no longer meets the test requirements.  Section 261.147(f)(7) provides that the Regional Administrator may disallow use of this test on the basis of qualifications in the opinion expressed by the independent certified public accountant in his report on examination of the owner's or operator's financial statements (see paragraph (f)(3)(ii) of this section). An adverse opinion or a disclaimer of opinion will be cause for disallowance. The Regional Administrator will evaluate other qualifications on an individual basis. The owner or operator must provide evidence of insurance for the entire amount of required liability coverage as specified in this section within 30 days after notification of disallowance.

      Section 261.147(g)(1) provides that, subject to paragraph (g)(2) of this section, an owner or operator may meet the requirements of this section by obtaining a written guarantee, hereinafter referred to as "guarantee." The guarantor must be the direct or higher-tier parent corporation of the owner or operator, a firm whose parent corporation is also the parent corporation of the owner or operator, or a firm with a "substantial business relationship" with the owner or operator. The guarantor must meet the requirements for owners or operators in paragraphs (f)(1) through (f)(6) of this section. The wording of the guarantee must be identical to the wording specified in section 261.151(g)(2). A certified copy of the guarantee must accompany the items sent to the Regional Administrator as specified in paragraph (f)(3) of this section. One of these items must be the letter from the guarantor's chief financial officer.  Section 261.147(g)(2)(i) provides that, in the case of corporations incorporated in the United States, a guarantee may be used to satisfy the requirements of this section only if the Attorneys General or Insurance Commissioners of (A) the State in which the guarantor is incorporated, and (B) each State in which a facility covered by the guarantee is located have submitted a written statement to EPA that a guarantee executed as described in this section and section 264.151(g)(2) is a legally valid and enforceable obligation in that State.  Section 261.147(g)(2)(ii) provides that, in the case of corporations incorporated outside the United States, a guarantee may be used to satisfy the requirements of this section only if (A) the non-U.S. corporation has identified a registered agent for service of process in each State in which a facility covered by the guarantee is located and in the State in which it has its principal place of business, and if (B) the Attorney General or Insurance Commissioner of each State in which a facility covered by the guarantee is located and the State in which the guarantor corporation has its principal place of business, has submitted a written statement to EPA that a guarantee executed as described in this section and section 261.151(h)(2) is a legally valid and enforceable obligation in that State.

	(i)	Data items

            *             Information required under section 261.147(f)(3):
            -	A letter signed by the owner's or operator's chief financial officer and worded as specified in section 261.151(f). If an owner or operator is using the financial test to demonstrate both assurance as specified by section 261.143(e), and liability coverage, he must submit the letter specified in section 261.151(f) to cover both forms of financial responsibility; a separate letter as specified in section 261.151(e) is not required.
            -	A copy of the independent certified public accountant's report on examination of the owner's or operator's financial statements for the latest completed fiscal year.
            -	A special report from the owner's or operator's independent certified public accountant to the owner or operator, if the chief financial officer's letter providing evidence of financial assurance includes financial data showing that the owner or operator satisfies paragraph (f)(1)(i) of this section that are different from the data in the audited financial statements referred to in paragraph (f)(3)(ii) of this section or any other audited financial statement or data filed with the SEC.  The special report shall be based upon an agreed upon procedures engagement in accordance with professional auditing standards and shall describe the procedures performed in comparing the data in the chief financial officer's letter derived from the independently audited, year-end financial statements for the latest fiscal year with the amounts in such financial statements, the findings of the comparison, and the reasons for any difference.

            *             A letter under section 261.147(f)(4) from the chief financial officer that must:
            -	Request the extension;
            -	Certify that he has grounds to believe that the owner or operator meets the criteria of the financial test;
            -	Specify for each facility to be covered by the test the EPA Identification Number, name, address, the amount of liability coverage and, when applicable, current closure and post-closure cost estimates to be covered by the test;
            -	Specify the date ending the owner's or operator's last complete fiscal year before the effective date of these regulations;
            -	Specify the date, no later than 90 days after the end of such fiscal year, when he will submit the documents specified in paragraph (f)(3) of this section; and
            -	Certify that the year-end financial statements of the owner or operator for such fiscal year will be audited by an independent certified public accountant.

            *             Annually updated information as required under section 261.147(f)(5), after the initial submission of these items.

            *             Evidence of liability coverage under section 261.147(f)(6) if alternate financial assurance is obtained.

            *             Evidence of insurance for the entire amount of required liability coverage as specified in this section within 30 days after notification of disallowance, as required under section 261.147(f)(7).

            *             A guarantee whose wording is identical to the wording specified in section 261.151(g)(2).  A certified copy of the guarantee must accompany the items sent to the Regional Administrator as specified in paragraph (f)(3) of this section.

            *             A letter under section 261.147(g)(1) from the guarantor's chief financial officer. If the guarantor's parent corporation is also the parent corporation of the owner or operator, this letter must describe the value received in consideration of the guarantee. If the guarantor is a firm with a "substantial business relationship" with the owner or operator, this letter must describe this "substantial business relationship" and the value received in consideration of the guarantee.

            *             Identification of a registered agent for service of process in each State in which a facility covered by the guarantee is located and in the State in which it has its principal place of business, for corporations incorporated outside of the U.S., as required under section 261.147(g)(2)(ii).

      (ii)	Respondent activities

            *             The owner/operator must perform the following activities:
         oo             Prepare and submit to EPA a signed letter, copy of the independent certified public accountant's report on examination of the owner's or operator's financial statements, a special report from the owner's or operator's independent certified public accountant if applicable, and a guarantee if applicable.
            oo             Prepare and submit the information required under section 261.147(g)(2)(ii), if applicable.
            -	To obtain an extension of the time allowed for submission of the documents specified in section 261.147(f)(3), prepare and send a letter to the Regional Administrator of each Region in which the owner's or operator's facilities to be covered by the financial test are located.
            - 	Prepare and submit updated information to EPA under section 261.147(f)(5), at the close of each fiscal year, as specified.
            -	Obtain alternate financial assurance if necessary and submit evidence of alternate financial assurance to EPA.
            oo             Obtain alternate financial assurance and submit evidence of insurance for the entire amount of required liability coverage as specified in this section within 30 days after notification of disallowance by EPA, if applicable.
            -	Comply with the terms in the letter from the chief financial officer and, if applicable, guarantee.

      (3) 	Letter of Credit

      40 CFR 261.147(a)(3) and (b)(3) provide that an owner or operator may meet the requirements of this section by obtaining a letter of credit for liability coverage as specified in section 261.147(h).

      Section 261.147(h)(1) provides that an owner or operator may satisfy the requirements of this section by obtaining an irrevocable standby letter of credit that conforms to the requirements of this paragraph and submitting a copy of the letter of credit to the Regional Administrator.  Section 261.147(h)(2) provides that the financial institution issuing the letter of credit must be an entity that has the authority to issue letters of credit and whose letter of credit operations are regulated and examined by a Federal or State agency.  Section 261.147(h)(3) provides that the wording of the letter of credit must be identical to the wording specified in section 261.151(j). Section 261.147(h)(4) provides that an owner or operator who uses a letter of credit to satisfy the requirements of this section may also establish a standby trust fund. Under the terms of such a letter of credit, all amounts paid pursuant to a draft by the trustee of the standby trust will be deposited by the issuing institution into the standby trust in accordance with instructions from the trustee. The trustee of the standby trust fund must be an entity which has the authority to act as a trustee and whose trust operations are regulated and examined by a Federal or State agency.  Section 261.147(h)(5) provides that the wording of the standby trust fund must be identical to the wording specified in section 261.151(m).  [Note:  This supporting statement addresses the data items and respondent activities associated with the standby trust fund under "Trust Fund."]

	(i)	Data items

            *             Irrevocable standby letter of credit whose wording is identical to the wording specified in section 261.151(j).

      (ii)	Respondent activities

            *             The owner/operator must prepare and submit a copy of the letter of credit to EPA.

            *             The owner/operator and issuing institution must comply with the terms of the letter of credit.

      (4)	Surety Bond for Liability Coverage

      40 CFR 261.147(a)(4) and (b)(4) provide that an owner or operator may meet the requirements of this section by obtaining a surety bond for liability coverage as specified in section 261.147(i).

      Section 261.147(i)(1) provides that an owner or operator may satisfy the requirements of this section by obtaining a surety bond that conforms to the requirements of this paragraph and submitting a copy of the bond to the Regional Administrator.  Section 261.147(i)(2) provides that the surety company issuing the bond must be among those listed as acceptable sureties on Federal bonds in the most recent Circular 570 of the U.S. Department of the Treasury.  Section 261.147(i)(3) provides that the wording of the surety bond must be identical to the wording specified in section 261.151(k).  Section 261.147(i)(4) provides that a surety bond may be used to satisfy the requirements of this section only if the Attorneys General or Insurance Commissioners of (i) the State in which the surety is incorporated, and (ii) each State in which a facility covered by the surety bond is located have submitted a written statement to EPA that a surety bond executed as described in this section and section 261.151(k) is a legally valid and enforceable obligation in that State.

	(i)	Data items

            *             A surety bond whose wording is identical to the wording specified in section 261.151(k).

      (ii)	Respondent activities

            *             The owner/operator must prepare and submit a copy of the surety bond to EPA.

            *             The owner/operator and surety company must comply with the terms of the surety bond.

      (5)	Trust Fund

      40 CFR 261.147(a)(5) and (b)(5) provide that an owner or operator may meet the requirements of this section by obtaining a trust fund for liability coverage as specified in section 261.147(j).

      Section 261.147(j)(1) provides that an owner or operator may satisfy the requirements of this section by establishing a trust fund that conforms to the requirements of this paragraph and submitting an originally signed duplicate of the trust agreement to the Regional Administrator.  Section 261.147(j)(2) provides that the trustee must be an entity which has the authority to act as a trustee and whose trust operations are regulated and examined by a Federal or State agency.  Section 261.147(j)(3) provides that the trust fund for liability coverage must be funded for the full amount of the liability coverage to be provided by the trust fund before it may be relied upon to satisfy the requirements of this section. If at any time after the trust fund is created the amount of funds in the trust fund is reduced below the full amount of the liability coverage to be provided, the owner or operator, by the anniversary date of the establishment of the Fund, must either add sufficient funds to the trust fund to cause its value to equal the full amount of liability coverage to be provided, or obtain other financial assurance as specified in this section to cover the difference. For purposes of this paragraph, "the full amount of the liability coverage to be provided" means the amount of coverage for sudden and/or nonsudden occurrences required to be provided by the owner or operator by this section, less the amount of financial assurance for liability coverage that is being provided by other financial assurance mechanisms being used to demonstrate financial assurance by the owner or operator.  Section 261.147(j)(4) provides that the wording of the trust fund must be identical to the wording specified in section 261.151(l).

	(i)	Data items

            *             An originally signed duplicate of a trust agreement whose wording is identical to the wording specified in section 261.151(l).

      (ii)	Respondent activities

            *             The owner/operator must perform the following activities:
            -	Prepare and submit a copy of the trust agreement to EPA.
            -	Obtain alternate financial assurance, if necessary.

            *             The grantor (owner/operator) and trustee must comply with the terms of the trust agreement.

      (6)	Combination of Financial Mechanisms

      40 CFR 261.147(a)(6) and (b)(6) provide that an owner or operator may demonstrate the required liability coverage through the use of combinations of insurance, financial test, guarantee, letter of credit, surety bond, and trust fund, except that the owner or operator may not combine a financial test covering part of the liability coverage requirement with a guarantee unless the financial statement of the owner or operator is not consolidated with the financial statement of the guarantor.  The amounts of coverage demonstrated must total at least the minimum amounts required by this section.  If the owner or operator demonstrates the required coverage through the use of a combination of financial assurances under this paragraph, the owner or operator shall specify at least one such assurance as ``primary'' coverage and shall specify other assurance as ``excess'' coverage.

      (i)	Data items

            *             Specification of at least one assurance as ``primary'' coverage and specification of other assurance as ``excess'' coverage.

      (ii)	Respondent activities

            *             The owner/operator must specify at least one assurance as ``primary'' coverage and shall specify other assurance as ``excess'' coverage" if applicable.

	Notification to EPA under 40 CFR 261.147(a)(7) and (b)(7)

      40 CFR 261.147(a)(7) and (b)(7) provide that an owner or operator shall notify the Regional Administrator in writing within 30 days whenever: a claim results in a reduction in the amount of financial assurance for liability coverage provided by a financial instrument as specified (261.147(a)(7)(i) and (b)(7)(i)); or a Certification of Valid Claim for bodily injury or property damages caused by a sudden or non-sudden accidental occurrence arising from the operation of a hazardous secondary material reclamation facility or intermediate facility is entered between the owner or operator and third-party claimant for liability coverage as specified (261.147(a)(7)(ii) and (b)(7)(ii)); or a final court order establishing a judgment for bodily injury or property damage caused by a sudden or non-sudden accidental occurrence arising from the operation of a hazardous secondary material reclamation facility or intermediate facility is issued against the owner or operator or an instrument that is providing financial assurance for liability coverage as specified (261.147(a)(7)(iii) and (b)(7)(iii)).

      (i)	Data items

            *             A written notification to EPA in accordance with section 261.147(a)(7) and (b)(7).

      (ii)	Respondent activities

            *             The owner/operator must prepare and submit a written notification to EPA in accordance with section 261.147(a)(7) or (b)(7), if applicable.
.
      Request for Variance

      40 CFR 261.147(c) provides that, if an owner or operator can demonstrate to the satisfaction of the Regional Administrator that the levels of financial responsibility required by paragraph (a) or (b) of this section are not consistent with the degree and duration of risk associated with treatment and/or storage at the facility or group of facilities, the owner or operator may obtain a variance from the Regional Administrator.  The request for a variance must be submitted in writing to the Regional Administrator.  If granted, the variance will take the form of an adjusted level of required liability coverage, such level to be based on the Regional Administrator's assessment of the degree and duration of risk associated with the ownership or operation of the facility or group of facilities.  The Regional Administrator may require an owner or operator who requests a variance to provide such technical and engineering information as is deemed necessary by the Regional Administrator to determine a level of financial responsibility other than that required by paragraph (a) or (b) of this section.

      (i)	Data items

            *             A written request for a variance, including such technical and engineering information as is deemed necessary by the Regional Administrator to determine a level of financial responsibility other than that required by paragraph (a) or (b) of this section.

      (ii)	Respondent activities

            *             The owner/operator may prepare and submit a written request for a variance.

      Adjustments by the Regional Administrator

      40 CFR 261.147(d) provides that, if the Regional Administrator determines that the levels of financial responsibility required by paragraph (a) or (b) of this section are not consistent with the degree and duration of risk associated with treatment and/or storage at the facility or group of facilities, the Regional Administrator may adjust the level of financial responsibility required under paragraph (a) or (b) of this section as may be necessary to protect human health and the environment.  This adjusted level will be based on the Regional Administrator's assessment of the degree and duration of risk associated with the ownership or operation of the facility or group of facilities.  In addition, if the Regional Administrator determines that there is a significant risk to human health and the environment from nonsudden accidental occurrences resulting from the operations of a facility that is not a surface impoundment, pile, or land treatment facility, he may require that an owner or operator of the facility comply with paragraph (b) of this section.  An owner or operator must furnish to the Regional Administrator, within a reasonable time, any information which the Regional Administrator requests to determine whether cause exists for such adjustments of level or type of coverage.

      (i)	Data items

            *             Any information which the Regional Administrator requests to determine whether cause exists for adjustments of level or type of coverage.

      (ii)	Respondent activities

            *             The owner/operator must furnish to the Regional Administrator, within a reasonable time, any information which the Regional Administrator requests to determine whether cause exists for adjustments of level or type of coverage.

      Incapacity of Owners or Operators, Guarantors, or Financial Institutions

      40 CFR 261.148(a) provides that an owner or operator must notify the Regional Administrator by certified mail of the commencement of a voluntary or involuntary proceeding under Title 11 (Bankruptcy), U.S. Code, naming the owner or operator as debtor, within 10 days after commencement of the proceeding. A guarantor of a corporate guarantee as specified in section 261.143(e) must make such a notification if he is named as debtor, as required under the terms of the corporate guarantee.  Section 261.148(b) provides that an owner or operator who fulfills the requirements of section 261.143 or section 261.147 by obtaining a trust fund, surety bond, letter of credit, or insurance policy will be deemed to be without the required financial assurance or liability coverage in the event of bankruptcy of the trustee or issuing institution, or a suspension or revocation of the authority of the trustee institution to act as trustee or of the institution issuing the surety bond, letter of credit, or insurance policy to issue such instruments. The owner or operator must establish other financial assurance or liability coverage within 60 days after such an event.

      (i)	Data items

            *             Notification to the Regional Administrator by certified mail of the commencement of a voluntary or involuntary proceeding under Title 11 (Bankruptcy), U.S. Code.

      (ii)	Respondent activities

            *             The owner/operator must perform the following activities:
            -	Notify the Regional Administrator by certified mail of the commencement of a voluntary or involuntary proceeding under Title 11 (Bankruptcy), U.S. Code, if applicable.
            -	Obtain other financial assurance of liability coverage.

      Use of State-Required Mechanisms

      40 CFR 261.149(a) provides that, for a reclamation or intermediate facility located in a State where EPA is administering the requirements of Subpart H but where the State has regulations that include requirements for financial assurance of closure or liability coverage, an owner or operator may use State-required financial mechanisms to meet the requirements of section 261.143 or section 261.147 if the Regional Administrator determines that the State mechanisms are at least equivalent to the financial mechanisms specified in Subpart H. The Regional Administrator will evaluate the equivalency of the mechanisms principally in terms of (1) certainty of the availability of funds for the required closure activities or liability coverage and (2) the amount of funds that will be made available. The Regional Administrator may also consider other factors as he deems appropriate. The owner or operator must submit to the Regional Administrator evidence of the establishment of the mechanism together with a letter requesting that the State-required mechanism be considered acceptable for meeting the requirements of Subpart H. The submission must include the information specified in section 261.149(a).  The Regional Administrator may require the owner or operator to submit additional information as is deemed necessary to make this determination. Pending this determination, the owner or operator will be deemed to be in compliance with the requirements of section 261.143 or section 261.147, as applicable.

      Section 261.149(b) provides that, if a State-required mechanism is found acceptable as specified in paragraph (a) of this section except for the amount of funds available, the owner or operator may satisfy the requirements of Subpart H by increasing the funds available through the State-required mechanism or using additional financial mechanisms as specified in Subpart H. The amount of funds available through the State and Federal mechanisms must at least equal the amount required by Subpart H.

      (i)	Data items

            *             Evidence of the establishment of the State mechanism together with a letter requesting that the State-required mechanism be considered acceptable for meeting the requirements of Subpart H. The submission must include the following information: The facility's EPA Identification Number (if available), name, and address, and the amount of funds for closure or liability coverage assured by the mechanism.

            *             Additional information as is deemed necessary by EPA to make this determination.

      (ii)	Respondent activities

            *             The owner or operator must perform the following activities:
            -	Submit to the Regional Administrator evidence of the establishment of the mechanism together with a letter requesting that the State-required mechanism be considered acceptable for meeting the requirements of Subpart H.
         oo             Submit additional information to EPA as is deemed necessary to make this determination.
         oo             Obtain additional financial assurance if necessary.

      State Assumption of Responsibility

      40 CFR 261.150(a) provides that, if a State either assumes legal responsibility for an owner's or operator's compliance with the closure or liability requirements of this part or assures that funds will be available from State sources to cover those requirements, the owner or operator will be in compliance with the requirements of section 261.143 or section 261.147 if the Regional Administrator determines that the State's assumption of responsibility is at least equivalent to the financial mechanisms specified in Subpart H. The Regional Administrator will evaluate the equivalency of State guarantees principally in terms of (1) certainty of the availability of funds for the required closure activities or liability coverage and (2) the amount of funds that will be made available. The Regional Administrator may also consider other factors as he deems appropriate. The owner or operator must submit to the Regional Administrator a letter from the State describing the nature of the State's assumption of responsibility together with a letter from the owner or operator requesting that the State's assumption of responsibility be considered acceptable for meeting the requirements of Subpart H. The letter from the State must include, or have attached to it, the information specified at section 261.150(a).  The Regional Administrator may require the owner or operator to submit additional information as is deemed necessary to make this determination. Pending this determination, the owner or operator will be deemed to be in compliance with the requirements of section 265.143 or section 265.147, as applicable.  Section 261.150(b) provides that, if a State's assumption of responsibility is found acceptable as specified in paragraph (a) of this section except for the amount of funds available, the owner or operator may satisfy the requirements of Subpart H by use of both the State's assurance and additional financial mechanisms as specified in Subpart H. The amount of funds available through the State and Federal mechanisms must at least equal the amount required by Subpart H.

      (i)	Data items

            *             A letter from the State describing the nature of the State's assumption of responsibility together with a letter from the owner or operator requesting that the State's assumption of responsibility be considered acceptable for meeting the requirements of Subpart H. The letter from the State must include, or have attached to it, the following information: The facility's EPA Identification Number (if available), name, and address, and the amount of funds for closure or liability coverage that are guaranteed by the State.

            *             Additional information as is deemed necessary by EPA to make its determination.

      (ii)	Respondent activities

            *             The owner or operator must perform the following activities:
            -	Submit to the Regional Administrator a letter from the State describing the nature of the State's assumption of responsibility together with a letter from the owner or operator requesting that the State's assumption of responsibility be considered acceptable for meeting the requirements of Subpart H.
         oo             Submit additional information as is deemed necessary by EPA to make its determination
         oo             Obtain additional financial assurance if necessary.

5.	THE INFORMATION COLLECTED:  AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT
      5(a)	Agency Activities

CERTIFICATIONS FOR HAZARDOUS SECONDARY MATERIAL GENERATED AND RECLAIMED UNDER THE CONTROL OF THE GENERATOR

      * There is no Agency activity.

NON-WASTE DETERMINATIONS

      Application for Non-Waste Determination

*       Evaluate and either approve or deny the application.

      Re-Application for Non-Waste Determination

      * Evaluate and either approve or deny the re-application.

 NOTIFICATION

      * Receive, review, and file the notifications.

EXCLUSIONS FROM THE DEFINITION OF SOLID WASTE

	Exclusion at 40 CFR 261.2(a)(2)(ii)

      * Refer to "Notification" for Agency activities.

      Exclusion at 40 CFR 261.4(a)(23)

      * Refer to "Notification" for Agency activities.

      Exclusion at 40 CFR 261.4(a)(24)

      * Request documentation and certification of reasonable efforts, if applicable.

      Export Requirements at 40 CFR 261.4(a)(25)

      * Receive, review, file, and transmit notifications as necessary.

      * Receive, file, and transmit any additional information which a receiving country requests in order to respond to a notification, as requested by EPA.

      * Transmit information to the generator in connection with its notification to export (e.g., Acknowledgement of Consent), as applicable.

      * Receive, review, and file annual report.

FINANCIAL REQUIREMENTS FOR MANAGEMENT OF EXCLUDED HAZARDOUS SECONDARY MATERIALS

	Cost Estimate

            *             There is no Agency activity.

      Financial Assurance Condition

      (1)	Trust Fund

            *             Receive and evaluate originally signed duplicate of the trust agreement and formal certification of acknowledgement.

            *             Receive and evaluate other financial assurance, if provided.

            *             Receive, review, and respond to request for release of the amount in excess of the current cost estimate.

            *             Receive, review, and respond to request for release of the amount in excess of current cost estimate covered by trust fund.

            *             Instruct the trustee to release to the owner/operator such funds as EPA specifies in writing.

            *             Take other action as needed.

       (2)	Surety Bond Guaranteeing Payment into a Trust Fund

            *             Receive and evaluate surety bond.

            *             Receive, review, and file evidence of the increase in the penal sum or other financial assurance to cover the increase.

            *             Receive and evaluate alternate financial assurance if required because of cancellation of the bond.

            *             Receive, review, and file notice of cancellation from surety company.

            *             Take other action as needed.

      (3)	Letter of Credit

            *             Receive and evaluate letter of credit and letter referring to the letter of credit.

            *             Receive, review, and file evidence of an increase in the credit or other financial assurance as specified to cover the increase.

            *             Receive and evaluate alternate financial assurance if required because of termination of credit.

            *             Receive, review, and file a notice of a decision not to extend the expiration date of the credit from the issuing institution.

            *             Take other action as needed.

      (4)	Insurance

            *       Receive and evaluate certificate of insurance.

            *       Receive, review, and approve reimbursements for expenditures, if applicable.

            *       Receive, review, and file evidence of an increase in the policy or approve other financial assurance as specified to cover the increase.

            *       Receive and evaluate alternate financial assurance if required because of cancellation, termination, or failure to renew the insurance.

            *       Receive, review, and file notice of cancellation.

            *             Take other action as needed.

      (5)	Financial Test and Corporate Guarantee

            *             Receive and evaluate a signed letter and accompanying material.

            *             Receive, review, and approve an extension of the time allowed for submission of the documents specified in section 261.143(e)(3).

            *             Receive, review, and file updated information at the close of each fiscal year, as specified.

            *             Receive, review, and file a notice of intent to establish alternate financial assurance.

            *             Request, receive, review, and file reports of financial condition, if applicable.

            *             Receive and evaluate alternate financial assurance, if required.

            *             Prepare and transmit notice of disallowance.

            *             Take other action as needed.

      Use of Financial Mechanisms for Multiple Facilities

            *             Receive, review, and file evidence of financial assurance that must include specified information.

      Removal and Decontamination Plan and Release from Financial Assurance Obligations

            *             Receive plan, issue public notice and, if applicable, hold a hearing.

            *             Review, modify, and approve/disapprove plan.

            *             Issue written statement for refusal, if applicable.

            *             Review, modify, and approve resubmittal of plan in response to detailed written statement of reasons for EPA refusal.

            *             Receive and review certification for each hazardous secondary materials management unit.

            *             Request and review other documentation if needed to support the Professional Engineer's certification.

            *             Notify owner/operator of release from financial assurance obligations, or reasons why it believes hazardous secondary materials have not been removed from the unit.

      Coverage for Sudden and Non-Sudden Accidental Occurrences

      (1)	Liability Insurance

                        *             Receive and evaluate insurance policy as specified.

                        *             Request and review signed duplicate original of the insurance policy, if applicable.

            *             Take other action as needed (e.g., notifying an owner/operator that he is no longer required to maintain liability coverage, if a certification of closure completion has been received).

      (2)	Financial Test or Guarantee

            *             Receive and evaluate a signed letter and accompanying material.

            *             Receive, review, and approve an extension, if applicable.

            *             Receive, review, and file updated information at the close of each fiscal year, as specified.

            *             Receive and evaluate alternate financial assurance, if necessary.

            *             Issue notice of disallowance and receive and evaluate alternate financial assurance, if applicable.

            *             Take other action as needed.

      (3) 	Letter of Credit

            *             Receive and evaluate a copy of the letter of credit.

            *             Take other action as needed.

      (4)	Surety Bond for Liability Coverage

            *             Receive and evaluate a copy of the surety bond.

            *             Take other action as needed.

      (5)	Trust Fund

            *             Receive and evaluate trust agreement.

            *             Receive and evaluate alternate financial assurance, if necessary.

            *             Take other action as needed.

      (6)	Combination of Financial Mechanisms

                  *             Receive, review, and file specification of at least one assurance as ``primary'' coverage and specification of other assurance as ``excess'' coverage, if applicable.

	Notification to EPA under 40 CFR 261.147(a)(7) and (b)(7)

            *             Receive, review, and file a written notification in accordance with section 261.147(a)(7) or (b)(7), if applicable.
.
      Request for Variance

            *             Receive, process, and approve written request for a variance.

            *             Request and review any technical or engineering documentation necessary to establish level of financial responsibility.

            *             Hold a public hearing, if necessary.

      Adjustments by the Regional Administrator

                  *             Request information deemed necessary to assess the need for adjustments to an owner/operator's level of financial responsibility as specified.

            *             Hold a public hearing, if necessary, and process the adjustment.

      Incapacity of Owners or Operators, Guarantors, or Financial Institutions

            *             Receive, review, and file notification of commencement of a voluntary or involuntary proceeding under Title 11 (Bankruptcy), U.S. Code, if applicable.

            *             Receive and evaluate other financial assurance of liability coverage.

      Use of State-Required Mechanisms

*       Receive and evaluate evidence of the establishment of the mechanism together with a letter requesting that the State-required mechanism be considered acceptable for meeting the requirements of Subpart H.

*       Request and review additional information as is deemed necessary to make this determination.

*       Notify owner/operator of EPA's decision.

*       Receive and evaluate additional financial assurance, if necessary.

      State Assumption of Responsibility

            *       Receive and evaluate a letter from the State and accompanying information requesting that the State's assumption of responsibility be considered acceptable for meeting the requirements of Subpart H.

            *       Receive and review additional information as is deemed necessary by EPA to make its determination.

            *       Notify owner/operator of EPA's decision.

            *       Receive and evaluate additional financial assurance, if necessary.
     5(b)	Collection Methodology and Management

In collecting and analyzing the information associated with this ICR, EPA and authorized States may use a telephone system, personal computers, and applicable database software.  They will ensure the accuracy and completeness of collected information by reviewing the submittals.  They will keep records of this information in file cabinets and/or computer systems.
     5(c)	Small Entity Flexibility

The exclusions in this ICR are voluntary and deregulatory.  As such, there is no adverse burden impact to large or small entities.
	5(d)	Collection Schedule

CERTIFICATIONS FOR HAZARDOUS SECONDARY MATERIAL GENERATED AND RECLAIMED UNDER THE CONTROL OF THE GENERATOR

      * The one-time certification under 40 CFR 260.10 must be prepared by the generator for the material to be excluded.

NON-WASTE DETERMINATIONS

	Application for Non-Waste Determination

      * There is no schedule for collecting applications.

      Re-Application for Non-Waste Determination

      * The applicant must re-apply for non-waste determinations, in the event of a change in circumstances that affects how a hazardous secondary material meets the relevant criteria contained in section 260.34 upon which a non-waste determination has been based.

NOTIFICATION

      * A claimant must prepare and submit a notification to EPA prior to operating under the exclusion(s).

      * A claimant must update and submit notification to EPA by March 1 of each even numbered year thereafter.

      * A claimant that submitted a notification but then subsequently stops managing hazardous secondary materials in accordance with the exclusion(s) must submit notification to EPA within 30 days.

EXCLUSIONS FROM THE DEFINITION OF SOLID WASTE

	Exclusions at 40 CFR 261.2(a)(2)(ii) and 261.4(a)(23)

      * Refer to "Certifications for Hazardous Secondary Material Generated and Reclaimed under the Control of the Generator" and "Notification" for collection schedules under these exclusions.

      Exclusion at 40 CFR 261.4(a)(24)

      * A generator must conduct reasonable efforts and prepare the certification statement for any intermediate facilities and reclaimers as specified prior to arranging for transport of the materials.

      * A generator must repeat the reasonable efforts at least every three years.

      * Generators that send their hazardous secondary material to an intermediate facility where the management of the hazardous secondary material is not addressed under a Part B permit or interim-status standards must make contractual arrangements to ensure the facility sends the material to the reclamation facility identified by the generator prior to the shipment.

      * A generator must maintain for a minimum of three years documentation and certification that reasonable efforts were made as specified.

      * A generator must make documentation and certification available upon request by a regulatory authority within 72 hours, or within a longer period of time as specified by the regulatory authority.

      * A generator must maintain for no less than three years records of all off-site shipments of excluded hazardous secondary materials.

      * A generator must maintain for no less than three years confirmations of receipt from the intermediate and reclamation facilities.

      * An intermediate or reclamation facility must maintain for no less than three years records of each shipment received.

      * An intermediate or reclamation facility must send confirmations of receipt of shipment to the generator.

      Export Requirements at 40 CFR 261.4(a)(25)

      * A generator must submit a complete notification at least sixty days before the initial shipment is intended to be shipped offsite.  This notification may cover export activities extending over a twelve month or lesser period.

      * A generator must submit a renotification when specified conditions on the notification change as applicable.

      * A generator must re-notify EPA if a shipment cannot be delivered for any reason to the reclaimer, intermediate facility or the alternate reclaimer or alternate intermediate facility.

      * A generator must keep copies of notifications and Acknowledgments of Consent to Export for a period of three years following receipt of the Acknowledgment.

      * A generator must prepare and submit annual report no later than March 1 of each year.

FINANCIAL REQUIREMENTS FOR MANAGEMENT OF EXCLUDED HAZARDOUS SECONDARY MATERIALS

	Cost Estimate

            *             An owner/operator must adjust the cost estimate for inflation within 60 days prior to the anniversary date of the establishment of the financial instrument(s) used to comply with section 261.143.  For owners or operators using the financial test or corporate guarantee, the cost estimate must be updated for inflation within 30 days after the close of the firm's fiscal year and before submission of updated information to the Regional Administrator as specified in section 261.143(e)(3).

            *             An owner/operator must revise the cost estimate no later than 30 days after a change in a facility's operating plan or design that would increase the costs of conducting the activities described in section 261.142(a) or no later that 60 days after an unexpected event which increases the cost of conducting the activities described in section 261.142(a).

            *             An owner/operator must retain the cost estimate on site during the operating life of the facility.

      Financial Assurance Condition

            *             An owner/operator of a hazardous secondary material reclamation facility or an intermediate facility must establish financial assurance as a condition of the exclusion under section 261.4(a)(24) and (25).

      (1)	Trust Fund

         * An owner/operator may establish a trust fund as a condition of the exclusions under section 261.4(a)(24) and (25).

            *             An owner/operator must update Schedule A of the trust agreement within 60 days after a change in the amount of the current cost estimate covered by the agreement.

            *             An owner/operator must, whenever the current cost estimate changes, compare the new estimate with the trustee's most recent annual valuation of the trust fund.  If the value of the fund is less than the amount of the new estimate, it must, within 60 days after the change in the cost estimate, either make a deposit or obtain other financial assurance to cover the difference, as specified.

       (2)	Surety Bond Guaranteeing Payment into a Trust Fund

         * An owner/operator may establish a surety bond as a condition of the exclusions under section 261.4(a)(24) and (25).

*       An owner/operator must provide alternate financial assurance as specified, and obtain the Regional Administrator's written approval of the assurance provided, within 90 days after receipt by both the owner or operator and the Regional Administrator of a notice of cancellation of the bond from the surety.

*       Whenever the current cost estimate increases to an amount greater than the penal sum, the owner or operator, within 60 days after the increase, must either cause the penal sum to be increased to an amount at least equal to the current cost estimate and submit evidence of such increase to the Regional Administrator, or obtain other financial assurance as specified to cover the increase.

*       Whenever the current cost estimate decreases, the penal sum may be reduced to the amount of the current cost estimate following written approval by the Regional Administrator.

*       Under the terms of the bond, the surety may cancel the bond by sending notice of cancellation by certified mail to the owner or operator and to the Regional Administrator.  Cancellation may not occur, however, during the 120 days beginning on the date of receipt of the notice of cancellation by both the owner or operator and the Regional Administrator, as evidenced by the return receipts.

*       An owner/operator must obtain alternate financial assurance within 90 days of receipt of notice of cancellation of bond.

      (3)	Letter of Credit

*       An owner/operator may establish a letter of credit as a condition of the exclusions under section 261.4(a)(24) and (25).

*       The letter of credit must provide that the expiration date will be automatically extended for a period of at least 1 year unless, at least 120 days before the current expiration date, the issuing institution notifies both the owner or operator and the Regional Administrator by certified mail of a decision not to extend the expiration date.

*       Whenever the current cost estimate increases to an amount greater than the amount of the credit, the owner or operator, within 60 days after the increase, must either cause the amount of the credit to be increased so that it at least equals the current cost estimate and submit evidence of such increase to the Regional Administrator, or obtain other financial assurance as specified to cover the increase.

*       Whenever the current cost estimate decreases, the amount of the credit may be reduced to the amount of the current cost estimate following written approval by the Regional Administrator.

*       If the owner or operator does not establish alternate financial assurance as specified and obtain written approval of such alternate assurance from the Regional Administrator within 90 days after receipt by both the owner or operator and the Regional Administrator of a notice from the issuing institution that it has decided not to extend the letter of credit beyond the current expiration date, the owner or operator will lose the conditional exclusion, and the Regional Administrator will draw on the letter of credit.  The Regional Administrator may delay the drawing if the issuing institution grants an extension of the term of the credit.  During the last 30 days of any such extension the owner or operator will lose the conditional exclusion and the Regional Administrator will draw on the letter of credit if the owner or operator has failed to provide alternate financial assurance as specified and obtain written approval of such assurance from the Regional Administrator.

      (4)	Insurance

*       An owner/operator may establish insurance as a condition of the exclusions under section 261.4(a)(24) and (25).

*       After beginning partial or final closure under 40 CFR Parts 264 or 265, as applicable, an owner or operator or any other authorized person may request reimbursements for closure expenditures by submitting itemized bills to the Regional Administrator.

      *       Cancellation, termination, or failure to renew the insurance policy may not occur, however, during the 120 days beginning with the date of receipt of the notice by both the Regional Administrator and the owner or operator, as evidenced by the return receipts.

      *       Whenever the current cost estimate increases to an amount greater than the face amount of the policy, the owner or operator, within 60 days after the increase, must either cause the face amount to be increased to an amount at least equal to the current cost estimate and submit evidence of such increase to the Regional Administrator, or obtain other financial assurance as specified to cover the increase.

      *       Whenever the current cost estimate decreases, the face amount may be reduced to the amount of the current cost estimate following written approval by the Regional Administrator.

      (5)	Financial Test and Corporate Guarantee

*       An owner/operator may establish a financial test or guarantee as a condition of the exclusions under section 261.4(a)(24) and (25).

*       To obtain an extension under section 261.143(e)(4), the owner's or operator's chief financial officer must send, by the effective date of these regulations, a letter to the Regional Administrator of each Region in which the owner's or operator's facilities to be covered by the financial test are located.

*       After the initial submission of items specified in section 261.143(e)(3), the owner or operator must send updated information to the Regional Administrator within 90 days after the close of each succeeding fiscal year.

*       If the owner or operator no longer meets the requirements of section 261.143(e)(1), he must send notice to the Regional Administrator of intent to establish alternate financial assurance. The notice must be sent by certified mail within 90 days after the end of the fiscal year for which the year-end financial data show that the owner or operator no longer meets the requirements. The owner or operator must provide the alternate financial assurance within 120 days after the end of such fiscal year.

*       The Regional Administrator may, based on a reasonable belief that the owner or operator may no longer meet the applicable requirements, require reports of financial condition at any time from the owner or operator in addition to those specified in section 261.143(e)(3). If the Regional Administrator finds, on the basis of such reports or other information, that the owner or operator no longer meets the requirements of 261.143(e)(1), the owner or operator must provide alternate financial assurance as specified within 30 days after notification of such a finding.

*       If the Regional Administrator disallows use of the tests as specified, the owner or operator must provide alternate financial assurance as specified within 30 days after notification of the disallowance.

*       If the Regional Administrator determines that the hazardous secondary materials at the owner or operator's facility covered by the guarantee do not meet the conditions of the exclusion, the guarantor must establish a trust fund as specified, unless it disposes of any hazardous secondary material as hazardous waste and closes the facility as specified.

*       Cancellation of the guarantee may not occur during the 120 days beginning on the date of receipt of the notice of cancellation by both the owner or operator and the Regional Administrator, as evidenced by the return receipts.

*       If the owner or operator fails to provide alternate financial assurance as specified and obtain EPA approval within 90 days after receipt by both the owner or operator and the Regional Administrator of a notice of cancellation of the corporate guarantee from the guarantor, the guarantor will provide such alternate financial assurance in the name of the owner or operator.

      Use of Financial Mechanisms for Multiple Facilities

*       An owner/operator may establish financial mechanisms for multiple facilities as a condition of the exclusions under section 261.4(a)(24) and (25).  The owner/operator must submit the evidence of financial assurance for each facility as specified.

      Removal and Decontamination Plan and Release from Financial Assurance Obligations

*       An owner or operator of a reclamation facility or an intermediate facility who wishes to be released from his financial assurance obligations must submit a plan for removing all hazardous secondary material residues to the Regional Administrator at least 180 days prior to the date on which he expects to cease to operate under the exclusion.

*       The Regional Administrator will provide the owner or operator and the public, through a newspaper notice, the opportunity to submit written comments on the plan and request modifications to the plan no later than 30 days from the date of the notice.

*       If the Regional Administrator does not approve the plan, he shall provide the owner or operator with a detailed written statement of reasons for the refusal and the owner or operator must modify the plan or submit a new plan for approval within 30 days after receiving such written statement.

*       Within 60 days of completion of the activities as specified for each hazardous secondary materials management unit, the owner or operator must submit to the Regional Administrator, by registered mail, a certification that all hazardous secondary materials have been removed from the unit and the unit has been decontaminated in accordance with the specifications in the approved plan.

*       Documentation supporting the Professional Engineer's certification must be furnished to the Regional Administrator, upon request, until he releases the owner or operator from the financial assurance requirements for section 261.4(a)(24)(vi)(F).

      Coverage for Sudden and Non-Sudden Accidental Occurrences

*       An owner or operator of a hazardous secondary material reclamation facility or an intermediate facility must demonstrate financial assurance for sudden and nonsudden accidental occurrences as a condition of the exclusion under section 261.4(a)(24) and (25).

      (1)	Liability Insurance

*       An owner/operator may establish liability insurance as a condition of the exclusions under section 261.4(a)(24) and (25) for sudden and/or nonsudden accidental occurrences.

*       If requested by a Regional Administrator, the owner or operator must provide a signed duplicate original of the insurance policy.

      (2)	Financial Test or Guarantee

      *       An owner/operator may establish a financial test or guarantee as a condition of the exclusions under section 261.4(a)(24) and (25) for sudden and/or nonsudden accidental occurrences.

*       The owner or operator may obtain a one-time extension of the time allowed for submission of the documents as specified if the fiscal year of the owner or operator ends during the 90 days prior to the effective date of these regulations and if the year-end financial statements for that fiscal year will be audited by an independent certified public accountant. To obtain the extension, the owner's or operator's chief financial officer must send, by the effective date of these regulations, a letter to the Regional Administrator of each Region in which the owner's or operator's facilities to be covered by the financial test are located.

*       After the initial submission of items specified in section 261.147(f)(3), the owner or operator must send updated information to the Regional Administrator within 90 days after the close of each succeeding fiscal year.

*       If the owner or operator no longer meets the requirements of section 261.147(f)(1), he must obtain insurance, a letter of credit, a surety bond, a trust fund, or a guarantee for the entire amount of required liability coverage as specified. Evidence of liability coverage must be submitted to the Regional Administrator within 90 days after the end of the fiscal year for which the year-end financial data show that the owner or operator no longer meets the test requirements.

*       The owner or operator must provide evidence of insurance for the entire amount of required liability coverage, as specified, within 30 days after notification of disallowance from EPA.

      (3) 	Letter of Credit

      * An owner/operator may establish a letter of credit as a condition of the exclusions under section 261.4(a)(24) and (25) for sudden and/or nonsudden accidental occurrences.

      (4)	Surety Bond for Liability Coverage

      *       An owner/operator may establish a surety bond as a condition of the exclusions under section 261.4(a)(24) and (25) for sudden and/or nonsudden accidental occurrences.

      (5)	Trust Fund

      *       An owner/operator may establish a trust fund as a condition of the exclusions under section 261.4(a)(24) and (25) for sudden and/or nonsudden accidental occurrences.

      *       If at any time after the trust fund is created the amount of funds in the trust fund is reduced below the full amount of the liability coverage to be provided, the owner or operator, by the anniversary date of the establishment of the fund, must either add sufficient funds to the trust fund to cause its value to equal the full amount of liability coverage to be provided, or obtain other financial assurance as specified to cover the difference.

      (6)	Combination of Financial Mechanisms

      *       An owner/operator may establish multiple financial assurance mechanisms, as a condition of the exclusions under section 261.4(a)(24) and (25) for sudden and/or nonsudden accidental occurrences.  The owner/operator must specify at least one such assurance as "primary" coverage and specify other assurance as "excess" coverage.

	Notification to EPA under 40 CFR 261.147(a)(7) and (b)(7)

      *       An owner or operator shall notify the Regional Administrator in writing within 30 days whenever:  (i) A claim results in a reduction in the amount of financial assurance for liability coverage provided by a financial instrument as specified; or a Certification of Valid Claim for bodily injury or property damages caused by a sudden or non-sudden accidental occurrence arising from the operation of a hazardous secondary material reclamation facility or intermediate facility is entered between the owner or operator and third-party claimant for liability coverage as specified; or a final court order establishing a judgment for bodily injury or property damage caused by a sudden or non-sudden accidental occurrence arising from the operation of a hazardous secondary material reclamation facility or intermediate facility is issued against the owner or operator or an instrument that is providing financial assurance for liability coverage as specified.

      Request for Variance

      * There is no schedule for collecting applications for variance.  An owner/operator may be required to submit technical and engineering information to EPA if deemed necessary to establish the level of financial responsibility.

      Adjustments by the Regional Administrator

            *             The owner/operator must furnish to the Regional Administrator, within a reasonable time, any information which the Regional Administrator requests to determine whether cause exists for adjustments of level or type of coverage.

      Incapacity of Owners or Operators, Guarantors, or Financial Institutions

      *       An owner or operator must notify the Regional Administrator by certified mail of the commencement of a voluntary or involuntary proceeding under Title 11 (Bankruptcy), U.S. Code, naming the owner or operator as debtor, within 10 days after commencement of the proceeding.

      *       An owner or operator who fulfills the requirements of section 261.143 or 261.147 by obtaining a trust fund, surety bond, letter of credit, or insurance policy will be deemed to be without the required financial assurance or liability coverage in the event of bankruptcy of the trustee or issuing institution, or a suspension or revocation of the authority of the trustee institution to act as trustee or of the institution issuing the surety bond, letter of credit, or insurance policy to issue such instruments. The owner or operator must establish other financial assurance or liability coverage within 60 days after such an event.

      Use of State-Required Mechanisms

      *       An owner/operator may establish State-required mechanisms as a condition of the exclusions under section 261.4(a)(24) and (25), as specified, provided that he submits specified information to EPA.

      *       The Regional Administrator may require the owner or operator to submit additional information as is deemed necessary to make this determination.

      State Assumption of Responsibility

*       A State may assume legal responsibility for an owner's or operator's compliance with the closure or liability requirements or assure that funds will be available from State sources to cover those requirements, as specified, so long as specified information is submitted to EPA.

      *       The Regional Administrator may require the owner or operator to submit additional information as is deemed necessary to make this determination.
6.	ESTIMATING THE HOUR AND COST BURDEN OF THE COLLECTION
      6(a)	Estimating Respondent Burden Hours

      Exhibit 1 provides estimates of the respondent hourly burden associated with the rule's paperwork requirements.  Exhibit 1 includes burden hours (total and by labor type) per respondent, as well as the overall burden hours for all respondents.
      6(b)	Estimating Respondent Costs

      Exhibit 1 provides estimates of the annual respondent costs associated with the rule's paperwork requirements.  These costs are based on the cost of labor, capital, and operation and maintenance (O&M).

      (1)	Labor Costs

	For the private sector, EPA estimates an average hourly respondent labor cost (including fringe and overhead) of $122.72 for legal staff, $72.54 for managerial staff, $54.04 for technical staff, and $32.51 for clerical staff.

	For State agencies, EPA estimates an average hourly respondent labor cost (including fringe and overhead) of $57.54 for legal staff, $54.02 for managerial staff, $32.32 for technical staff, and $20.62 for clerical staff.

	These respondent labor costs were obtained from EPA ICR Number 0976.15.

      (2)	Capital Costs

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

      (3)	Operation & Maintenance (O&M) Costs

      O&M costs are those costs associated with a paperwork requirement incurred continually over the life of the ICR.  They are defined by the Paperwork Reduction Act of 1995 as the recurring dollar amount of costs associated with O&M or purchasing services." This ICR includes O&M costs for postage (i.e., $0.42 for regular mail, $2.81 for certified mail, and $8.50 for registered mail).  The ICR includes $22 for respondents in preparing their petition (e.g., copying and communications) under Part 260.  The ICR includes $600 for a respondent to purchase a roundtrip airline ticket to send an employee to perform an audit under section 261.4(a)(24)(v)(B).  It includes $3,000 for a respondent to purchase an audit report of a facility under section 261.4(a)(24)(v)(B).
      Total Annual O&M costs are $556,562.
      6(c)	Estimating Agency Hour and Cost Burden

      	EPA estimates the Agency hour and cost burden associated with the information collection requirements covered in this ICR.  EPA estimates an average hourly labor cost of $86.56 for legal staff (GS15, Step 5), $76.38 for managerial staff (GS-15, Step 1), $54.94 for technical staff (GS-13, Step 1), and $23.44 for clerical staff (GS-06, Step 1).  To derive these hourly estimates, EPA referred to the General Schedule (GS) Salary Table 2011.  This publication summarizes the unloaded (base) hourly rate for various labor categories in the Federal Government.  EPA then applied the standard government overhead factor of 1.6 to the unloaded rate to derive loaded hourly rates. Hour and cost burden to regulators is estimated in Exhibit 2.
      6(d)	Estimating the Annual Respondent Universe and Total Hour and Cost Burden

      In this section, EPA first describes the estimated respondent universe under the rule.  EPA then estimates the annual burden to respondents under the rule's paperwork requirements.  Finally, EPA estimates the burden impacts to respondents under the existing RCRA paperwork requirements in handling excluded materials.

      (1)	Respondent Universe

      EPA obtained most of the respondent universe estimates for this ICR from EPA's Regulatory Impact Analysis (RIA) for the final rule.  Respondent universe numbers have not been changed for this renewal because the agency is currently revising the final rule.  When the revisions are finalized in December, 2012, the universe numbers will be updated for this ICR.

                            Annual Number of Respondents

Type of Respondent
                         Annual Number of Respondents
Petitioners under 260.34
                                       7
Generators
  Generators, tolling contractors and toll manufacturers under 261.2(a)(2)(ii) and 261.4(a)(23)
                                      290
  Generators under 261.4(a)(24)
                                     4,448
   Total generators
                                     4,738
Reclamation facilities under 261.4(a)(24)
                                      159
Intermediate facilities under 261.4(a)(24)
                                      240
Exporters under 261.4(a)(25)
                                      36

      (2)	Annual Respondent Burden

CERTIFICATIONS FOR HAZARDOUS SECONDARY MATERIAL GENERATED AND RECLAIMED UNDER THE CONTROL OF THE GENERATOR (EXHIBIT 1)

      EPA estimates that 184 generators and tolling contractors must prepare a certification under section 260.10 for hazardous secondary materials that are generated and reclaimed under the control of the generator.  This includes 88 generators that reclaim offsite within the same company and 96 tolling contractors that reclaim under a tolling arrangement.   Because each site will perform this activity once during the three-year life of this ICR, EPA has annualized the number of sites by dividing them by three, to estimate that 61 will prepare the certification annually (i.e., 184 sites/3 years = 61).  This is reflected in Exhibit 1.

NON-WASTE DETERMINATIONS (EXHIBIT 1)

      Application for Non-Waste Determination

	EPA estimates that seven applicants will submit a petition to EPA under section 260.34 each year.  This is reflected in Exhibit 1.

      Re-Application for Non-Waste Determination

      EPA estimates that no petitioners will submit a re-application to EPA under section 260.34 during the three-year life of this ICR.  This is reflected in Exhibit 1.

NOTIFICATION (EXHIBIT 1)

      EPA estimates that 5,137 entities will notify EPA under section 260.42 prior to operating under the exclusion and be required to complete the information laid out at section 260.42(a).  This includes 4,738 hazardous secondary materials generators, tolling contractors and toll manufacturers; 240 intermediate facilities; and 159 reclaimers.  Because each of these entities will perform this activity once during the three-year life of this ICR, EPA has annualized the number of entities by dividing them by three, to estimate that 1,712 will prepare and submit the notification annually.

      Entities must re-notify EPA by March 1 of each even numbered year thereafter.  Note that the existing regulations already require the submittal of the notification by March 1 of each even numbered year by large quantity generators (40 CFR Part 262) and treatment, storage and disposal facilities (40 CFR Part 264 and 265).  Hence, this ICR estimates burden for small quantity generators (SQGs) only.  Specifically, EPA estimates that 1,385 SQGs will operate under the exclusions.  For purposes of this ICR, EPA estimates that one-third will notify EPA in the first year of this ICR (462) and another one-third will notify in the second year (462).  EPA estimates that these 924 SQGs must re-notify in the third year.  Because each of these entities will perform this re-notification activity once during the three-year life of this ICR, EPA has annualized the number of entities by dividing them by three (i.e., 308 SQGs annually).

      EPA estimates that, each year, five percent of entities (86) will re-notify because they stopped operating under the exclusion.

      These assumptions are reflected in Exhibit 1.

EXCLUSIONS FROM THE DEFINITION OF SOLID WASTE (EXHIBIT 1)

      Exclusions at 40 CFR 261.2(a)(2)(ii) and 261.4(a)(23)

      Refer to "Certifications for Hazardous Secondary Material Generated and Reclaimed under the Control of the Generator" and "Notification" for the respondent burden estimated under these exclusions.

      Exclusion at 40 CFR 261.4(a)(24)

	Generators

	EPA estimates that 4,448 generators will ship to reclaimers under the exclusion at section 261.4(a)(24).  Through the industry consultations described in Section 3(c), EPA estimates that 40 percent of generators make reasonable efforts to evaluate a prospective intermediate and/or reclamation facility as a customary industry practice.  Industry representatives indicated such generators may send their own employees or contract with a vendor to audit the facility and/or review available company information.

	The reasonable efforts condition applies when hazardous secondary materials are transferred to intermediate facilities and reclamation facilities where the management of the hazardous secondary materials is not addressed under a RCRA Part B permit or interim status standards.  If the permit or interim status standards address the management of the hazardous secondary materials, the rule does not require generators to conduct reasonable efforts, i.e., because EPA believes that a Part B permit or interim status standards provide assurance to generators that the facility has a measure of financial stability and that the hazardous secondary materials will be managed in a protective manner.

      Given the above, EPA estimates that 60 percent of the 4,448 generators (2,669) do not conduct reasonable efforts as a standard business practice (i.e., 4,448 x 60% = 2,669).  Of these, EPA estimates that 50 percent will send their excluded materials to an intermediate and/or reclamation facility whose permit or interim-status standards do not address the management of the excluded materials.  Hence, EPA estimates that 1,335 generators will make reasonable efforts (i.e., 2,669 x 50% = 1,335).

      Because these reasonable efforts must be conducted once during the three-year life of this ICR, EPA annualized the number of generators over three years, to estimate that 445 will make these efforts each year (i.e., 1,335/3 = 445).  Further, EPA estimates that one-third (i.e., 148) will send an employee to conduct an audit and another one-third will buy an audit report from a vendor.  EPA estimates that the remaining one-third will find alternate methods to get the information, such as from a trade association.  These 445 generators must keep records that reasonable efforts were made, including a certification.

	Generators that send their excluded materials to an intermediate facility where the management of the hazardous secondary material is not addressed under a Part B permit or interim-status standards must make contractual arrangements to ensure the facility sends the material to the reclamation facility identified by the generator.  EPA believes this is a standard business practice already taken by generators and therefore has not burdened them in this ICR for this activity.

      EPA estimates that 50 percent of generators will send their excluded materials to an intermediate and/or reclamation facility whose permit or interim-status standards do not address the management of the excluded materials, and will need to conduct reasonable efforts (i.e., 4,448 x 50% = 2,224). These generators may be asked to submit documentation, including a certification, of their reasonable efforts to regulatory authorities.  EPA has used its best judgment to estimate that 30 percent will be asked to mail documentation and certification on their reasonable efforts to regulatory authorities each year (i.e., 2,224 x 30% = 667).

      Generators under the exclusion must maintain records of all off-site shipments of excluded hazardous secondary materials as required by section 261.4(a)(24)(v)(D), and confirmation of receipt from the intermediate and reclamation facilities as required by section 261.4(a)(24)(v)(E).  Based on data in the RIA, EPA estimates that 50,555 shipments of excluded materials will be made each year under the exclusion.

      Note that the recordkeeping required at section 261.4(a)(24)(v)(D) is already required by the Department of Transportation (DOT) for hazardous materials, or otherwise undertaken as a customary industry practice.  For example, the DOT regulations require shippers to prepare, transmit, and maintain shipping papers for their hazardous materials shipments.  Therefore, EPA does not expect generators to incur incremental burden for this requirement.

	Industry representatives indicated that, upon receipt of a shipping paper under the exclusion, the intermediate or reclamation facility will mail a copy to the generator as confirmation of receipt.  Shipping papers are often multi-part forms to make this easy to do.  EPA estimates that generators will receive and keep confirmations for 50,555 shipments of excluded materials each year.

      These assumptions are reflected in Exhibit 1.

      Intermediate and Reclamation Facilities

      EPA estimates that 50,555 shipments of excluded materials will be received by intermediate or reclamation facilities each year under the exclusion.  Facilities must keep records of, and transmit confirmations of receipt for, each of these shipments.  EPA expects that the facilities will automate the process of preparing confirmations of receipt (e.g., computer-generated labels, etc.) and see minimal burden for sending a confirmation to the generator.  These assumptions are reflected in Exhibit 1.

      Export Requirements at 40 CFR 261.4(a)(25)

      EPA estimates that 36 generators will export excluded material under section 261.4(a)(25) each year.  This is reflected in Exhibit 1.

FINANCIAL REQUIREMENTS FOR MANAGEMENT OF EXCLUDED HAZARDOUS SECONDARY MATERIALS (EXHIBIT 1)

      EPA estimates that 240 intermediate facilities and 159 reclamation facilities (399 in total) will claim an exclusion under section 261.4(a)(24) and therefore be subject to the financial assurance requirements.

	Cost Estimate

      Each facility must prepare a cost estimate under section 261.142.  Because this is a one-time activity, EPA has annualized the number of facilities by dividing them by three, to estimate that 133 will prepare a cost estimate annually during the three-year life of this ICR.  In addition, each facility must update the cost estimate annually, revise it as required, and maintain records of the most up-to-date version (399).  These assumptions are reflected in Exhibit 1.

      Financial Assurance Condition

      Each facility must establish financial assurance as required under section 261.143.  Facilities must establish coverage by using one or more of the following: trust fund, surety bond guaranteeing payment into a trust fund, letter of credit, insurance, and financial test or guarantee.

      (1)	Trust Fund

      EPA estimates that 20 percent of the facilities will establish a trust fund (399 x 20% = 80).  These facilities must submit the required information to establish the instrument.  Because this is a one-time activity, EPA has annualized the number of facilities over the three-year life of this ICR, to estimate that 27 will submit the information annually.

      Facilities must compare their trust funds to their cost estimate whenever the estimate changes, to ensure an appropriate level of assurance.  EPA estimates that facilities will perform the comparison annually (i.e., after the cost estimate is updated for inflation).  EPA estimates that 10 percent of the facilities using this instrument will submit other paperwork as specified each year (e.g., written request for release of the amount in excess of the current cost estimate).

      Both the facilities and their trustees must comply with the terms of the trust agreement each year (e.g., transmittal of information specified in the agreement).

      These assumptions are reflected in Exhibit 1.

       (2)	Surety Bond Guaranteeing Payment into a Trust Fund

      EPA estimates that 20 percent of the facilities will establish a surety bond (399 x 20% = 80).  These facilities must submit the required information to establish the instrument.  Because this is a one-time activity, EPA has annualized the number of facilities over the three-year life of this ICR, to estimate that 27 will submit the information annually.  EPA estimates that 10 percent of the facilities using this instrument will submit other paperwork as specified each year (e.g., evidence of increase in penal sum).

      Both the facilities and surety companies must comply with the terms of the bond each year.

      These assumptions are reflected in Exhibit 1.

      (3)	Letter of Credit

      EPA estimates that 20 percent of the facilities will establish a letter of credit (399 x 20% = 80).  These facilities must submit the required information to establish the instrument.  Because this is a one-time activity, EPA has annualized the number of facilities over the three-year life of this ICR, to estimate that 27 will submit the information annually.  EPA estimates that 10 percent of the facilities using this instrument will submit other paperwork as specified each year (e.g., evidence of increase in credit).

      Both the facilities and issuing institutions must comply with the terms of the letter of credit each year.

      These assumptions are reflected in Exhibit 1.

      (4)	Insurance

      EPA estimates that 20 percent of the facilities will establish insurance (399 x 20% = 80).  These facilities must submit the required information to establish the instrument.  Because this is a one-time activity, EPA has annualized the number of facilities over the three-year life of this ICR, to estimate that 27 will submit the information annually.  EPA estimates that 10 percent of the facilities using this instrument will submit other paperwork as specified each year (e.g., evidence of increase in the policy).

      Both the facilities and insurer must comply with the terms of the insurance each year.

      These assumptions are reflected in Exhibit 1.

      (5)	Financial Test or Guarantee

      EPA estimates that 20 percent of the facilities will establish the financial test or guarantee (399 x 20% = 80).  These facilities must submit the required information to establish the instruments.  Because this is a one-time activity, EPA has annualized the number of facilities over the three-year life of this ICR, to estimate that 27 will submit the information annually.

      Facilities must submit annual updates of their originally submitted information.  In addition, facilities must comply with the terms of the letter from the chief financial officer and, if applicable, guarantee, each year.

      These assumptions are reflected in Exhibit 1.

      Use of Financial Mechanisms for Multiple Facilities

      EPA estimates that ten percent of facilities will submit information under section 261.143(g) to establish financial mechanisms for multiple facilities.  Because this is a one-time activity, EPA has annualized the number of facilities over the three-year life of this ICR, to estimate that 13 will submit the information annually (i.e., 399/3 = 133 x 10% = 13).  This is reflected in Exhibit 1.

      Removal and Decontamination Plan and Release from Financial Assurance Obligations

      Because the exclusions are newly established, EPA estimates that no facilities will seek release from their financial assurance obligations during the three-year life of this ICR.  This is reflected in Exhibit 1.

      Coverage for Sudden and Nonsudden Accidental Occurrences

      Each facility must obtain liability coverage for sudden accidental occurrences under section 261.147(a) and, if applicable, nonsudden accidental occurrences under section 261.147(b).  Facilities must establish coverage using one or more of the following: liability insurance, financial test or guarantee, letter of credit, surety bond, or trust fund.

      (1)	Liability Insurance

      EPA estimates that 20 percent of the facilities will establish liability insurance for sudden accidental occurrences and, if applicable, nonsudden accidental occurrences (399 x 20% = 80).  These facilities must submit the required information to establish the instruments.  Because this is a one-time activity, EPA has annualized the number of facilities over the three-year life of this ICR, to estimate that 27 will submit the information annually.  EPA estimates that 10 percent of the facilities using this instrument will submit a signed duplicate original of the insurance policy.

      Both the facilities and insurer must comply with the terms of the insurance each year.

      These assumptions are reflected in Exhibit 1.

      (2)	Financial Test or Guarantee

      EPA estimates that 20 percent of the facilities will establish the financial test or guarantee for sudden accidental occurrences and, if applicable, nonsudden accidental occurrences (399 x 20% = 80).  These facilities must submit the required information to establish the instruments.  Because this is a one-time activity, EPA has annualized the number of facilities over the three-year life of this ICR, to estimate that 27 will submit the information annually.

      Facilities must submit annual updates of their originally submitted information.  In addition, facilities must comply with the terms of the letter from the chief financial officer and, if applicable, guarantee, each year.

      These assumptions are reflected in Exhibit 1.

      (3)	Letter of Credit

      EPA estimates that 20 percent of the facilities will establish a letter of credit for sudden accidental occurrences and, if applicable, nonsudden accidental occurrences (399 x 20% = 80).  These facilities must submit the required information to establish the instrument.  Because this is a one-time activity, EPA has annualized the number of facilities over the three-year life of this ICR, to estimate that 27 will submit the information annually.

      Both the facilities and issuing institutions must comply with the terms of the letter of credit each year.

      These assumptions are reflected in Exhibit 1.

      (4)	Surety Bond Guaranteeing Payment into a Trust Fund

      EPA estimates that 20 percent of the facilities will establish a surety bond for sudden accidental occurrences and, if applicable, nonsudden accidental occurrences (399 x 20% = 80).  These facilities must submit the required information to establish the instrument.  Because this is a one-time activity, EPA has annualized the number of facilities over the three-year life of this ICR, to estimate that 27 will submit the information annually.

      Both the facilities and surety companies must comply with the terms of the bond each year.

      These assumptions are reflected in Exhibit 1.

      (5)	Trust Fund

      EPA estimates that 20 percent of the facilities will establish a trust fund for sudden accidental occurrences and, if applicable, nonsudden accidental occurrences (399 x 20% = 80).  These facilities must submit the required information to establish the instrument.  Because this is a one-time activity, EPA has annualized the number of facilities over the three-year life of this ICR, to estimate that 27 will submit the information annually.

      Both the facilities and their trustees must comply with the terms of the trust agreement each year.

      These assumptions are reflected in Exhibit 1.

      Combination of Financial Mechanisms

      EPA estimates that ten percent of facilities will submit information under section 261.147(a)(6) and (b)(6) to use a combination of financial mechanisms for sudden accidental occurrences and, if applicable, nonsudden accidental occurrences.  Because this is a one-time activity, EPA has annualized the number of facilities over the three-year life of this ICR, to estimate that 13 will submit the information annually (i.e., 399/3 = 133 x 10% = 13).  This is reflected in Exhibit 1.

      Notification to EPA under 40 CFR 261.147(a)(7) and (b)(7)

      EPA estimates that, each year, a very small number of facilities will need to submit a notification.  EPA estimates that 0.5 percent of facilities (2) will submit a notification to EPA each year (i.e., 0.5% x 399 = 2).  This is reflected in Exhibit 1.

      Request for Variance

      EPA does not expect any facilities to submit a variance request during the three-year life of this ICR.  This is reflected in Exhibit 1.

      Adjustments by the Regional Administrator

      EPA does not expect EPA to make adjustments to the financial assurance levels of any facilities during the three-year life of this ICR.  This is reflected in Exhibit 1.

      Incapacity of Owners or Operators, Guarantors, or Financial Institutions

      EPA does not expect any facilities to notify EPA of bankruptcy proceedings under Title 11 during the three-year life of this ICR.  This is reflected in Exhibit 1.

      Use of State-Required Mechanisms

      EPA does not expect any facilities to use State-required mechanisms to satisfy the financial assurance requirements during the three-year life of this ICR.  This is reflected in Exhibit 1.

      State Assumption of Responsibility

      EPA does not expect any States to assume responsibility for an owner/operator's compliance or assure that funds will be available from State sources to cover the requirements during the three-year life of this ICR.  This is reflected in Exhibit 1.

      (3)	Annual Respondent Hour and Cost Impacts under Existing Paperwork Requirements

      Generators, transporters, intermediate facilities, and reclaimers of excluded material are not subject to existing RCRA information collection requirements in handling the material.  As a result, these entities will see some burden impacts under the existing paperwork requirements.

      6(e)	Bottom Line Hour and Cost Burden

      (1)	Respondent Tally

	EPA estimates the total annual burden to respondents under the new paperwork requirements to be 20,403 hours and $1,559,149.

      Note:  The burden estimates in Exhibits 1 and 2 are based on an assumption that all States will adopt this rule.  EPA notes, however, that authorized States are not required to adopt the rule.  Because of this, some States may not adopt it and others may adopt only parts of it.  This could reduce the burden savings expected under the rule.

      (2)	Agency Tally

	As shown in Exhibit 2, EPA estimates the total annual burden to the government under the new paperwork requirements to be 3,597 hours and $191,096.
      6(f)	Reasons for Change In Burden

      There is no change in burden for this renewal.  As mentioned earlier, the final rule is being revised, finalization is scheduled for December, 2012, and the burden estimates will be revised at that time.
      6(g)	Public Burden Statement

      The average annual public reporting burden under the petition procedures at 40 CFR 260.34 is estimated to be 146 hours per applicant.  This includes time to prepare and submit the petition.  There is no recordkeeping burden.

      The average annual public reporting burden under the exclusions at 40 CFR 261.2(a)(2)(ii) and 261.4(a)(23) is estimated to be ten minutes for a hazardous secondary material generator, toll manufacturer, or tolling contractor.  This includes time to notify EPA under section 260.42.  The average annual recordkeeping burden is estimated to be less than five minutes.  This includes time to prepare a certification under section 260.10.

      The average annual public reporting burden under the exclusion at 40 CFR 261.4(a)(24) is estimated to be about ten minutes for a hazardous secondary material generator.  This includes time to notify EPA under section 260.42 and submit documentation of reasonable efforts, if requested.  The average annual recordkeeping burden is estimated to be about one hour and 30 minutes.  This includes time to make reasonable efforts to evaluate the intermediate and reclamation facilities and to keep records of these efforts as well as confirmations of receipt of excluded materials sent from the intermediate and reclamation facilities.

      The average annual public reporting burden under the exclusion at 40 CFR 261.4(a)(24) is estimated to be about nine hours and 30 minutes for a hazardous secondary material intermediate or reclamation facility.  This includes time to notify EPA under section 260.42, send confirmations of receipt of shipments to the hazardous secondary material generator, and submit the necessary paperwork for financial assurance under Subpart H of Part 261.  The average annual recordkeeping burden is estimated to be about 18 hours and 15 minutes.  This includes time to keep records of offsite shipments of excluded materials and to prepare/update the cost estimate under Subpart H.

       The average annual public reporting burden under the export conditions at 40 CFR 261.4(a)(25) is estimated to be four hours per exporter.  This includes time to submit to EPA a notification of intent to export, additional information if requested, and an annual report.  The average annual recordkeeping burden is estimated to be less than five minutes.  This includes time to keep records of notices and Acknowledgments of Consent.
      The annual public reporting and recordkeeping burden for this collection of information is estimated to average .13 hours per response.

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

      To comment on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including the use of automated collection techniques, EPA has established a public docket for this ICR under Docket ID Number EPA-HQ-RCRA-2011-0923, which is available for online viewing at www.regulations.gov, or in person viewing at the Resource Conservation and Recovery Act (RCRA) Docket in the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Avenue, NW, Washington, D.C.  The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays.  The telephone number for the Reading Room is<PHONE_NUMBER>, and the telephone number for the Resource Conservation and Recovery Act (RCRA) Docket is<PHONE_NUMBER>.  An electronic version of the public docket is available at http://www.regulations.gov.  This site can be used to submit or view public comments, access the index listing of the contents of the public docket, and to access those documents in the public docket that are available electronically.  When in the system, select "search," then key in the Docket ID Number identified above.  Also, you can send comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, D.C. 20503, Attention: Desk Officer for EPA.  Please include the EPA Docket ID Number EPA-HQ-RCRA-2011-0923, and OMB Control Number 2050-0202 in any correspondence.