[Federal Register Volume 77, Number 64 (Tuesday, April 3, 2012)]
[Rules and Regulations]
[Pages 19937-19943]
[FR Doc No: 2012-7791]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

46 CFR Part 160

[Docket No. USCG-2011-0076]
RIN 1625-AB60

Inflatable Personal Flotation Devices

AGENCY: Coast Guard, DHS.

ACTION: Final rule.

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SUMMARY: The Coast Guard is harmonizing structural and performance
standards for inflatable recreational personal flotation devices (PFDs)
with current voluntary industry consensus standards. The Coast Guard is
also slightly modifying regulatory text in anticipation of a future
rulemaking addressing the population for which inflatable recreational
PFDs are approved, but is not changing the current affected population.

DATES: This rule is effective May 3, 2012. The Director of the Federal
Register has approved the incorporation by reference of certain
publications listed in this rule as of May 3, 2012.

ADDRESSES: Comments and material received from the public, as well as
documents mentioned in this preamble as being available in the docket,
are part of docket USCG-2011-0076 and are available for inspection or
copying at the Docket Management Facility (M-30), U.S. Department of
Transportation, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE., Washington, DC 20590, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays. You may also find this
docket on the Internet by going to http://www.regulations.gov,
inserting USCG-2011-0076 in the ``Keyword'' box, and then clicking
``Search.''
    Viewing incorporation by reference material. You may inspect the
material incorporated by reference at Lifesaving and Fire Safety
Division (CG-5214), U.S. Coast Guard Headquarters, 2100 Second Street
SW., Stop 7126, Washington, DC 20593-7126 between 9 a.m. and 3 p.m.,
Monday through Friday, except Federal holidays. The telephone number is
202-372-1394. Copies of the material are available as indicated in the
``Incorporation by Reference'' section of this preamble.

FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
call or email Ms. Brandi Baldwin, Lifesaving and Fire Safety Division
(CG-5214), U.S. Coast Guard, telephone<PHONE_NUMBER>, email
<EMAIL_ADDRESS>If you have questions on viewing or
submitting material to the docket, call Renee V. Wright, Program
Manager, Docket Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Table of Contents for Preamble

I. Abbreviations
II. Regulatory History
III. Basis and Purpose
IV. Discussion of Comments and Changes
V. Incorporation by Reference
VI. Regulatory Analyses
    A. Regulatory Planning and Review
    B. Small Entities
    C. Assistance for Small Entities
    D. Collection of Information
    E. Federalism
    F. Unfunded Mandates Reform Act
    G. Taking of Private Property
    H. Civil Justice Reform
    I. Protection of Children
    J. Indian Tribal Governments
    K. Energy Effects
    L. Technical Standards
    M. 2010 Coast Guard Authorization Act Sec. 608 (46 U.S.C.
2118(a))
    N. Environment

I. Abbreviations

ANSI American National Standards Institute
CFR Code of Federal Regulations
CGMIX Coast Guard Marine Information Exchange
DHS Department of Homeland Security
NEPA National Environmental Policy Act of 1969
NPRM Notice of proposed rulemaking
NTTAA National Technology Transfer and Advancement Act
OMB Office of Management and Budget
PFD Personal flotation device
STP Standards Technical Panel
UL Underwriters Laboratories
USCG United States Coast Guard

II. Regulatory History

    On March 30, 2011, the Coast Guard published a direct final rule
entitled ``Inflatable Personal Flotation Devices'' in the Federal
Register. 76 FR 17561. We received three submissions in response to the
direct final rule: one supportive of the rulemaking generally, one
which raised questions about a revision to one of the standards
incorporated by reference, and one adverse comment related to the
deletion of the words ``approved for use by adults only'' from the
regulations. Because we received an adverse comment, on September 13,
2011, the Coast Guard withdrew the direct final rule in a notice of
withdrawal. 76 FR 56294. On September 29, 2011, the Coast Guard issued
a notice of proposed rulemaking (NPRM) proposing the same content as
the direct final rule, with one change to update a version of an
industry standard proposed for incorporation by reference. 76 FR 60405.
The NPRM also summarized and sought comment on the comments received in
response to the direct final rule.

III. Basis and Purpose

    The Coast Guard is charged with establishing minimum safety
standards, and procedures and tests required to measure conformance
with those standards, for recreational vessels and associated
equipment. See 46 U.S.C. 4302, and Homeland Security Delegation No.
0170.1, section II, paragraph (92)(b). Under this authority, in 1995,
the Coast Guard promulgated regulations establishing structural and
performance standards for inflatable recreational PFDs, and procedures
and tests necessary for Coast Guard approval of PFDs meeting those
standards. See 46 CFR part 160, subpart 160.076 (Inflatable
Recreational Personal Flotation Devices); 60 FR 32836 (June 23, 1995).
Subpart 160.076 incorporates by reference three Underwriters
Laboratories (UL) Standards: UL 1180, ``Fully Inflatable Recreational
Personal Flotation Devices'' (First Edition); UL 1191, ``Components for
Personal Flotation Devices'' (Second Edition); and UL 1123, ``Marine
Buoyant Devices'' (Fifth Edition). 46 CFR 160.076-11.
    The editions of these UL Standards currently incorporated by
reference into subpart 160.076 were current when the Coast Guard
promulgated subpart 160.076 in 1995. However, UL has since published
newer editions of these standards that the Coast Guard considers to
contain technological and safety developments since 1995 that are
important to codify in subpart 160.076. In this rule, the Coast Guard
is updating the editions of the UL Standards incorporated by reference
in subpart 160.076.
    In this final rule, the Coast Guard is also facilitating and
encouraging the continuation of the industry consensus standards
development process by signaling that the Coast Guard will consider, as
part of a possible future rulemaking, the appropriateness of inflatable
PFDs for wearers under 16 years of age and any new industry consensus
standard addressing inflatable PFDs for wearers under 16 years of age.
This rulemaking, however, does not constitute approval of the use of
inflatable PFDs for users under 16 years of age or a proposal for such
approval, nor does it resolve any technical issues regarding use of
inflatable PFDs by persons under 16 years of age.

IV. Discussion of Comments and Changes

    The Coast Guard is revising 46 CFR part 160, subpart 160.076 to
update the editions of the UL Standards incorporated by reference and
to make necessary conforming changes resulting from incorporating the
updated standards. The conforming changes include removing test
methods, acceptance criteria, and other standards currently contained
in subpart 160.076 that are made redundant by the newer editions of the
UL Standards. The Coast Guard is also making minor, non-substantive
editorial revisions to regulatory text in subpart 160.076. A complete
discussion of these changes is available in the NPRM, published
September 29, 2011. 76 FR 60405.
    In response to the direct final rule, which included the same
content as proposed in the NPRM, the Coast Guard received three
submissions: one supportive of the rulemaking generally, one that
raised questions about a revision to one of the standards incorporated
by reference, and one adverse comment related to the deletion of the
words ``approved for use by adults only'' from the regulations. The
commenter who expressed support cited the removal of barriers to the
development of innovative inflatable PFDs as leading to an expected
improvement in the quality and variety of inflatable lifejackets
available to the public. The Coast Guard appreciates the support.
    The comment raising questions about a revision to one of the
standards was resolved by a subsequent revision to UL 1191 following
publication of the direct final rule which addressed that commenter's
concern. In the NPRM, the Coast Guard proposed incorporating by
reference the revised UL 1191.
    The adverse comment expressed concern that deleting the words
``approved for use by adults only'' would create a perception that
inflatable PFDs for youth would be available on the date the rule went
into effect, would facilitate teens using existing inflatable PFDs, and
would enable marketing of existing inflatable PFDs to youth.
    The Coast Guard does not agree. This rulemaking does not affect the
population for which inflatable PFDs are approved, and thus does not
affect the availability, use, or marketing of existing PFDs to or by
the youth population, or sizing requirements. As stated in the direct
final rule, inflatable PFDs will not be approved for persons under 16
years of age until such time as the Coast Guard identifies, and
incorporates by reference into Coast Guard regulations through a
possible future rulemaking, a suitable industry standard that addresses
the needs of younger wearers.
    Since there is no prohibition on manufacturing or marketing any
inflatable PFD that is not approved by the Coast Guard (provided that
it is not marked as Coast Guard-approved), this final rule has no
effect on what PFDs are available or to whom they are marketed.
Moreover, as noted in the direct final rule and in the NPRM, the
removal of the words ``approved for adults only'' has no substantive
effect on Coast Guard approval of inflatable PFDs. UL Standard 1180
limits the approval of inflatable PFDs to persons of at least 16 years
of age, and thus this final rule, which incorporates by reference a
newer version of UL Standard 1180 (the Fourth Edition), continues to
set the age limit for approved users of inflatable PFDs at 16 years of
age. By removing the words ``approved for use by adults only,'' this
final rule eliminates a regulatory redundancy specifying that
inflatable PFDs approved by the Coast Guard are for use by adults only;
after all, the

minimum age for use at 16 years of age is already specified in the
standard incorporated by reference. Additionally, included within UL
1180 (both the currently-incorporated First Edition and the Fourth
Edition incorporated by this final rule) is the marking and labeling
required for all Coast Guard-approved inflatable PFDs. Specifically,
both editions of UL 1180 require a marking stating that the device is
``USCG [a]pproved for use only on recreational boats by persons at
least 16 years of age.'' As this marking appears on all currently
approved inflatable PFDs, it is not reasonable to believe that these
devices would be marketed to persons under 16 years of age.
    The adverse comment also expressed concern that this rulemaking is
premature in light of work that still needs to be done to evaluate
sizing requirements for infant or child PFDs. While the Coast Guard
agrees that there is benefit to conducting additional research into the
anatomical requirements for children and infants, this rulemaking is
not premature because it does not make any changes based on current
research. As noted in the direct final rule and the NPRM, this
rulemaking does not resolve technical issues regarding use of
inflatable PFDs by persons under 16 years of age. In fact, this final
rule removes a perceived regulatory barrier to completing the necessary
research and taking the steps to develop appropriate design,
construction and testing standards for inflatable PFDs for persons
under 16 years of age. The UL Standards Technical Panel (STP) views the
words ``approved for use by adults only'' as prohibiting the
development of a standard regarding use of inflatable PFDs by persons
under 16 years of age. By removing these words, the Coast Guard is
signaling that we will consider, as part of a possible future
rulemaking, the appropriateness of inflatable PFDs for persons under 16
years of age, and any new industry consensus standard addressing such
inflatable PFDs. The Coast Guard recognizes that there are technical
issues still to be resolved regarding use of inflatable PFDs by persons
under 16 years of age, and this rulemaking demonstrates the Coast
Guard's commitment to supporting industry and the STP in pursuing
resolution of those issues.
    In the NPRM, the Coast Guard sought comment on the comments to the
direct final rule, as well as comments on the rule in general. In
response to the NPRM, the Coast Guard received 181 submissions.
    The majority of commenters misinterpreted this rulemaking as either
proposing the approval or use of inflatable PFDs for persons under 16
years of age, or proposing PFD use requirements, generally. As
described above, this rulemaking makes no substantive change to the
current age or weight requirements for Coast Guard approval of
inflatable PFDs or the population for which they are approved.
Additionally, this rulemaking does not address any requirements for PFD
use or wear. As such, the majority of comments are outside the scope of
this rulemaking. If the Coast Guard identifies a suitable standard for
the approval of inflatable PFDs for persons under 16 years of age, and
initiates a separate rulemaking, the Coast Guard will consider the
comments addressing use of inflatable PFDs submitted to this
rulemaking's docket as part of that separate, future rulemaking.
    Other commenters provided suggestions for revising PFD requirements
generally, or revising carriage requirements, or expressed other
concerns relating to PFDs generally. These comments also are beyond the
scope of this rulemaking since this rulemaking only addresses Coast
Guard approval of inflatable PFDs for persons 16 years of age and
older.
    The comments addressing the substance of this rule were generally
supportive. Several of these commenters also provided direct responses
to the adverse comment. The Coast Guard appreciates this support and
agrees with the responses to the adverse comment for the same reasons
the Coast Guard disagrees with the substance of the adverse comment, as
discussed above.
    One commenter suggested that the regulatory text should be revised
to limit the use of inflatable PFDs to users ages 13 and up rather than
leave the establishment of a lower age limit to the standards
development organization. The Coast Guard does not agree. The Coast
Guard is in fact establishing a lower age limit--which is 16 years of
age--consistent with the current age limit. The Coast Guard is
establishing this age limit not through specific regulatory text, but
by incorporating by reference UL 1180 (Fourth Edition), which retains
the age limit of 16 years of age in the currently-incorporated UL 1180
(First Edition).
    Several commenters noted that the UL STP has already set the
appropriate performance criteria to ensure that inflatable PFDs are
safe, and other commenters indicated potential confusion over the role
of the STP in developing industry consensus standards and the Coast
Guard's role in incorporating those standards into its regulations. The
Coast Guard agrees that the STP, of which the Coast Guard is a member,
is the appropriate consensus body to develop these standards, and the
Coast Guard supports its work. The Coast Guard clarifies that the STP,
an independent, consensus industry group, is the forum for developing
the appropriate standards for the design, construction, and testing of
inflatable PFDs, and the Coast Guard encourages all interested parties
to participate in the standards development process via the STP. Once
the STP has developed and adopted any new standard, the Coast Guard
will consider whether it is appropriate to incorporate the standard
into Coast Guard rules. If so, the Coast Guard will initiate a
rulemaking to solicit public input on its determination.
    Some commenters encouraged the Coast Guard to set a new limit of 13
years of age to guide or limit the STP's work in developing a new
industry consensus standard. This rulemaking does not address use of
inflatable PFDs by persons under 16 years of age, and the Coast Guard
does not agree that it should guide or limit the work of the STP, which
is an independent, consensus industry group. The Coast Guard is only
one of over 20 members of this group that is designed to have a
balanced membership. The STP should develop and adopt a standard that
the STP membership considers to meet the goals of the STP, and the
Coast Guard will separately decide whether to incorporate the STP-
adopted standard into Coast Guard regulations. In the event that the
STP develops a standard which does not achieve all of the criteria that
the Coast Guard determines--on its own or based on public comment
during the rulemaking--are necessary to ensure the safety of these
devices, the Coast Guard may impose additional restrictions via
regulations to ensure public safety. Additionally, any restrictions on
the STP's work, such as an age limit, could ultimately become or lead
to a barrier to innovation.
    Several commenters expressed concerns regarding development of
consensus standards without sufficient research. The Coast Guard
acknowledges these concerns but notes that development of consensus
standards regarding inflatable PFDs is done by the STP. The Coast Guard
considers the appropriateness of standards for incorporation into Coast
Guard regulations, which could include consideration of the basis for
the standard. As stated previously, although one of the purposes of
this rulemaking is to allow for continued discussion of the technical
matters relative to

development of a standard regarding use of inflatable PFDs for persons
under 16 years of age, this rulemaking does not have any substantive
effect on the requirements for Coast Guard approval of inflatable PFDs.
    One commenter referred to Coast Guard approval as a ``seal of
safety.'' The Coast Guard points out that this is not an accurate
statement. Coast Guard approval does not indicate or affect which PFDs
may be manufactured and sold to the public. Coast Guard approval of any
lifesaving or marine equipment, including PFDs, is available only for,
and applicable only to, that equipment required by U.S. or
international regulations to be carried or installed onboard vessels.
46 CFR 2.75-1. Coast Guard approval simply indicates that the specified
equipment satisfies U.S. carriage requirements, and does not in any way
confer an endorsement of the product. Likewise, the absence of Coast
Guard approval on a product does not imply that the product is unsafe;
it only indicates that product has not been demonstrated to satisfy the
relevant standards for approval. This final rule with updated standards
does not affect inflatable PFDs previously approved by Coast Guard.
    One commenter supported the use of additional laboratories in the
testing of PFDs for approval. The Coast Guard clarifies that this
rulemaking does not affect the requirements for recognition of
independent labs in accordance with 46 CFR 159.010, but rather
identifies a more suitable means for providing the public with the list
of labs recognized for this purpose. Prior to the availability of a
web-based searchable list of labs, such as that contained on the Coast
Guard Marine Information Exchange (CGMIX) Web site, all recognized
laboratories were listed directly in the regulatory text, and a
rulemaking was required to update the list when the information
changed. By replacing the list in the regulations with a reference to
CGMIX, the public has access to the complete list, in real time,
without the Coast Guard having to initiate a rulemaking to update the
list. This approach is consistent with the other subparts in subchapter
Q that address Coast Guard approval of marine equipment. See, e.g., 45
CFR subparts 160.115, 160.132, 160.133, and 160.135.
    One commenter indicated concern about the availability of technical
specifications and standards being incorporated by reference. The Coast
Guard notes that the direct final rule and NPRM provided a summary of
the changes between the editions of the UL Standards currently
contained in 46 CFR part 160, subpart 160.076 and the newer editions
being incorporated by reference, in order to provide notice of the
changes in technical specifications in Coast Guard regulations. The
Coast Guard also notes that the direct final rule and the NPRM
specified that the UL standards incorporated by reference in this rule
are available from UL and provided necessary contact information.
    One commenter pointed out typos in the NPRM preamble where 160.076
was mistakenly referred to as 160.067. The Coast Guard appreciates the
input and confirms that those references apply to subpart 160.076.
    In response to these comments, the Coast Guard made only non-
substantive changes to format and to fix any typographical errors in
the rule.

V. Incorporation by Reference

    The Director of the Federal Register has approved the material in
46 CFR 160.076-11 for incorporation by reference under 5 U.S.C. 552 and
1 CFR part 51. You may inspect this material at U.S. Coast Guard
Headquarters where indicated under ADDRESSES. Copies of the material
are available from the sources listed in paragraph (b) of Sec.
160.076-11.

VI. Regulatory Analyses

    We developed this rule after considering numerous statutes and
executive orders related to rulemaking. Below we summarize our analyses
based on 14 of these statutes or executive orders.

A. Regulatory Planning and Review

    Executive Orders 12866 (``Regulatory Planning and Review'') and
13563 (``Improving Regulation and Regulatory Review'') direct agencies
to assess the costs and benefits of available regulatory alternatives
and, if regulation is necessary, to select regulatory approaches that
maximize net benefits (including potential economic, environmental,
public health and safety effects, distributive impacts, and equity).
Executive Order 13563 emphasizes the importance of quantifying both
costs and benefits, of reducing costs, of harmonizing rules, and of
promoting flexibility. This final rule has not been designated a
``significant regulatory action'' under section 3(f) of Executive Order
12866. Accordingly, the final rule has not been reviewed by the Office
of Management and Budget.
    We received no comments that would alter our assessment of impacts
in the NPRM. We have found no additional data or information that would
change our assessment of the impacts in the NPRM. We have adopted the
analysis in the NPRM for this rule as final. A summary of the analysis
follows:
    The Coast Guard does not expect this rule to result in additional
costs to industry, as manufacturers of Coast Guard-approved inflatable
PFDs already follow the editions of the UL Standards being incorporated
by reference into 46 CFR part 160, subpart 160.076 by this rule. The
Coast Guard requires approval tests to be performed by an independent
laboratory recognized by the Coast Guard under 46 CFR part 159, subpart
159.010. Currently, UL is the only recognized independent laboratory
for inflatable PFDs, and UL requires manufacturers to conform to its
most current standards, which are the editions being incorporated by
reference into subpart 160.076. Additionally, UL offers a certification
for those recreational inflatable PFDs that conform to UL's most
current standards. The UL certification provides a product liability
benefit to manufacturers, and obtaining the UL certification has become
an industry custom for manufacturers of commercially-sold recreational
inflatable PFDs.
    As described above, industry is currently following the editions of
the UL Standards incorporated by reference into subpart 160.076 in this
rule, and PFD manufacturers will adhere to these standards regardless
of whether this rule is promulgated. Therefore, this modification to 46
CFR part 160, subpart 160.076 is not expected to impose a burden on
industry.
    In addition, the Coast Guard does not expect that removing the
language ``approved for use by adults only'' in 46 CFR 160.076-1 will
have a substantive impact because the standards approved by this
rulemaking retain with the current age and weight limitations. As
discussed above in the ``Discussion of the Rule'' section in this
preamble, the age and weight limitations found in editions of the UL
Standards long incorporated in subpart 160.076 are retained in the
newer editions of the UL Standards incorporated by reference into
subpart 160.076. The remaining changes to subpart 160.076 are minor
editorial updates. For additional details, please see the ``Discussion
of the Rule'' section in the NPRM, published September 29, 2011. 76 FR
60405.
    The primary benefit of this rule is the increase in regulatory
efficiencies in the maritime community by harmonizing Coast Guard
regulations in 46 CFR part 160, subpart 160.076 with current voluntary
industry consensus standards. This rule will result in greater
consistency between Coast Guard regulations and consensus standards and
will reduce burdens on

manufacturers who currently have to maintain multiple editions of the
UL Standards to comply with Coast Guard regulations, to use UL as an
independent laboratory to perform required tests, and to obtain the UL
certification. This rule will also result in better compliance with the
National Technology Transfer and Advancement Act (NTTAA), which directs
agencies to use voluntary consensus standards in their regulatory
activities.
    Because the rule harmonizes subpart 160.076 with existing UL
Standards, ambiguity associated with inflatable PFD standards will be
reduced. Harmonization of these standards is important to fulfill the
Coast Guard's mission of establishing minimum safety standards, and
procedures and tests required to measure conformance with those
standards, for recreational vessels and associated equipment.

B. Small Entities

    Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have
considered whether this rule would have a significant economic impact
on a substantial number of small entities. The term ``small entities''
comprises small businesses, not-for-profit organizations that are
independently owned and operated and are not dominant in their fields,
and governmental jurisdictions with populations of less than 50,000
people.
    In the NPRM, we certified under 5 U.S.C. 605(b) that the proposed
rule would not have a significant economic impact on a substantial
number of small entities. We received no public comments that would
alter our certification in the NPRM. We have found no additional data
or information that would change our findings in the NPRM.
    The Coast Guard estimates that this rule will not have an impact on
small entities. As described in the ``Regulatory Planning and Review''
subsection, we do not expect this rule to result in additional costs to
industry. However, this rule will improve efficiency by providing
consistency between Coast Guard regulations and UL Standards.
Therefore, the Coast Guard certifies under 5 U.S.C. 605(b) that this
final rule will not have a significant economic impact on a substantial
number of small entities.

C. Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we offered to assist small
entities in understanding the rule so that they could better evaluate
its effects on them and participate in the rulemaking process. The
Coast Guard will not retaliate against small entities that question or
complain about this rule or any policy action of the Coast Guard.
    Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the Small Business and Agriculture Regulatory
Enforcement Ombudsman and the Regional Small Business Regulatory
Fairness Boards. The Ombudsman evaluates these actions annually and
rates each agency's responsiveness to small business. If you wish to
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247).

D. Collection of Information

    This rule calls for no new collection of information under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).

E. Federalism

    A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on the States, on the
relationship between the national government and the States, or on the
distribution of power and responsibilities among the various levels of
government. We have analyzed this rule under that Order and have
determined that it does not have implications for federalism.

F. Unfunded Mandates Reform Act

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

G. Taking of Private Property

    This rule will not cause a taking of private property or otherwise
have taking implications under Executive Order 12630, Governmental
Actions and Interference with Constitutionally Protected Property
Rights.

H. Civil Justice Reform

    This rule meets the applicable standards in sections 3(a) and
3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize
litigation, eliminate ambiguity, and reduce burden.

I. Protection of Children

    We have analyzed this rule under Executive Order 13045, Protection
of Children from Environmental Health Risks and Safety Risks. This rule
is not an economically significant rule and will not create an
environmental risk to health or risk to safety that may
disproportionately affect children.

J. Indian Tribal Governments

    This rule does not have tribal implications under Executive Order
13175, Consultation and Coordination with Indian Tribal Governments,
because it does not have a substantial direct effect on one or more
Indian tribes, on the relationship between the Federal Government and
Indian tribes, or on the distribution of power and responsibilities
between the Federal Government and Indian tribes.

K. Energy Effects

    We have analyzed this rule under Executive Order 13211, Actions
Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use. We have determined that it is not a ``significant
energy action'' under that order because it is not a ``significant
regulatory action'' under Executive Order 12866 and is not likely to
have a significant adverse effect on the supply, distribution, or use
of energy. The Administrator of the Office of Information and
Regulatory Affairs has not designated it as a significant energy
action. Therefore, it does not require a Statement of Energy Effects
under Executive Order 13211.

L. Technical Standards

    The NTTAA (15 U.S.C. 272 note) directs agencies to use voluntary
consensus standards in their regulatory activities unless the agency
provides Congress, through the Office of Management and Budget, with an
explanation of why using these standards would be inconsistent with
applicable law or otherwise impractical. Voluntary consensus standards
are technical standards (e.g., specifications of materials,
performance, design, or operation; test methods; sampling procedures;
and related management systems practices) that are developed or adopted
by voluntary consensus standards bodies.
    This rule uses the following voluntary consensus standards: UL
1123, ``UL Standard for Safety for Marine Buoyant Devices''; UL 1180,
``UL Standard for Safety for Fully Inflatable Recreational Personal
Flotation Devices''; and UL 1191, ``UL Standard for Safety for
Components for Personal Flotation Devices.'' The section that
references

these standards and the locations where these standards are available
are listed in 46 CFR 160.076-11.

M. 2010 Coast Guard Authorization Act Sec. 608 (46 U.S.C. 2118(a))

    Section 608 of the Coast Guard Authorization Act of 2010 (Pub. L.
111-281) adds new section 2118 to 46 U.S.C. Subtitle II (Vessels and
Seamen), Chapter 21 (General). New section 2118(a) sets forth
requirements for standards established for approved equipment required
on vessels subject to 46 U.S.C. Subtitle II (Vessels and Seamen), Part
B (Inspection and Regulation of Vessels). Those standards must be ``(1)
based on performance using the best available technology that is
economically achievable; and (2) operationally practical.'' See 46
U.S.C. 2118(a). This rule addresses inflatable recreational PFDs for
Coast Guard approval that are required on vessels subject to 46 U.S.C.
Subtitle II, Part B, and the Coast Guard has ensured that this rule
satisfies the requirements of 46 U.S.C. 2118(a), as necessary.

N. Environment

    We have analyzed this rule under Department of Homeland Security
Management Directive 023-01 and Commandant Instruction M16475.lD, which
guide the Coast Guard in complying with the National Environmental
Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and have concluded
that this action is one of a category of actions that does not
individually or cumulatively have a significant effect on the human
environment. This rule is categorically excluded, under section 6(a) of
the ``Appendix to National Environmental Policy Act: Coast Guard
Procedures for Categorical Exclusions, Notice of Final Agency Policy''
(67 FR 48243, July 23, 2002). This rule involves inflatable PFD
standards and falls under regulations concerning safety equipment. An
environmental analysis checklist and a categorical exclusion
determination are available in the docket where indicated under
ADDRESSES.

List of Subjects in 46 CFR Part 160

    Marine safety, Incorporation by reference, Reporting and
recordkeeping requirements.

    For the reasons discussed in the preamble, the Coast Guard amends
46 CFR part 160 as follows:

PART 160--LIFESAVING EQUIPMENT

0
1. The authority citation for part 160 is revised to read as follows:

    Authority:  46 U.S.C. 2103, 3306, 3703 and 4302; E.O. 12234; 45
FR 58801; 3 CFR, 1980 Comp., p. 277; 49 CFR 1.46; and Department of
Homeland Security Delegation No. 0170.1.

0
2. Revise Sec.  160.076-1(b) to read as follows:

Sec.  160.076-1  Scope.

* * * * *
    (b) Inflatable PFDs approved under this subpart rely entirely upon
inflation for buoyancy.

Sec.  160.076-7  [Amended]

0
3. Amend Sec.  160.076-7(b) by adding the words ``(incorporated by
reference, see Sec.  160.076-11)'' after the words ``UL 1180''.

Sec.  160.076-9  [Amended]

0
4. Amend Sec.  160.076-9(b) by adding the words ``(incorporated by
reference, see Sec.  160.076-11)'' after the words ``UL 1180''.

0
5. Amend Sec.  160.076-11 as follows:
0
a. In paragraph (a), after the words ``one listed in'', remove the
words ``paragraph (b) of''; and
0
b. Revise paragraph (b) to read as follows:

Sec.  160.076-11  Incorporation by reference.

* * * * *
    (b) Underwriters Laboratories (UL) Underwriters Laboratories, Inc.,
333 Pfingsten Road, Northbrook, IL 60062-2096 (Phone<PHONE_NUMBER>;
Facsimile:<PHONE_NUMBER>; Web site: www.ul.com).
    (1) UL 1123, UL Standard for Safety for Marine Buoyant Devices,
Seventh Edition including revisions through February 14, 2011, (dated
October 1, 2008), (``UL 1123''), incorporation by reference approved
for Sec.  160.076-35.
    (2) UL 1180, UL Standard for Safety for Fully Inflatable
Recreational Personal Flotation Devices, Second Edition including
revisions through December 3, 2010, (dated February 13, 2009), (``UL
1180''), incorporation by reference approved for Sec. Sec.  160.076-7;
160.076-9; 160.076-21; 160.076-23; 160.076-25; 160.076-31; 160.076-37;
and 160.076-39.
    (3) UL 1191, UL Standard for Safety for Components for Personal
Flotation Devices, Fourth Edition including revisions through August
24, 2011, (dated December 12, 2008), (``UL 1191''), incorporation by
reference approved for Sec. Sec.  160.076-21; 160.076-25; 160.076-29;
and 160.076-31.

0
6. Revise Sec.  160.076-19 to read as follows:

Sec.  160.076-19  Recognized laboratories.

    The approval and production oversight functions that this subpart
requires to be conducted by a recognized laboratory must be conducted
by an independent laboratory recognized by the Coast Guard under
subpart 159.010 of part 159 of this chapter to perform such functions.
A list of recognized independent laboratories is available from the
Commandant and online at http://cgmix.uscg.mil.

0
7. Revise Sec.  160.076-21 to read as follows:

Sec.  160.076-21  Component materials.

    Each component material used in the manufacture of an inflatable
PFD must--
    (a) Meet the applicable requirements of subpart 164.019 of this
chapter, UL 1191 and UL 1180 (incorporated by reference, see Sec.
160.076-11), and this section; and
    (b) Be of good quality and suitable for the purpose intended.

Sec.  160.076-23  [Amended]

0
8. Amend Sec.  160.076-23(a)(1) by adding the words ``(incorporated by
reference, see Sec.  160.076-11)'' after the words ``UL 1180''.

0
9. Amend Sec.  160.076-25 as follows:
0
a. In paragraph (a), after the words ``UL 1180'', add the words
``(incorporated by reference, see Sec.  160.076-11)'';
0
b. Remove and reserve paragraph (c); and
0
c. Revise paragraph (d) to read as follows:

Sec.  160.076-25  Approval testing.

* * * * *
    (d) Each PFD design must be visually examined for compliance with
the construction and performance requirements of Sec. Sec.  160.076-21
and 160.076-23 and UL 1180 and UL 1191 (incorporated by reference, see
Sec.  160.076-11).
* * * * *

0
10. Amend Sec.  160.076-29 as follows:
0
a. In paragraph (d), remove the words ``in accordance with UL 1180'';
and
0
b. Revise paragraph (e)(4)(i) to read as follows:

Sec.  160.076-29  Production oversight.

* * * * *
    (e) * * *
    (4) * * *
    (i) Samples must be selected from each lot of incoming material.
Unless otherwise specified, Table 29.1 of UL 1191 (incorporated by
reference, see Sec.  160.076-11) prescribes the number of samples to
select.
* * * * *

Sec.  160.076-31  [Amended]

0
11. Amend Sec.  160.076-31 as follows:

0
a. In paragraph (c)(1), remove the words ``The average and individual
results of testing the minimum number of samples prescribed by Sec.
160.076-25(d)(2)'' and add, in their place, the words ``The materials
in each inflatable chamber''; and remove the words ``Sec.  160.076-
21(b) and (c)'' and add, in their place, the words ``Table 29.1 of UL
1191 (incorporated by reference, see Sec.  160.076-11)'';
0
b. In paragraph (c)(2), remove the words ``Sec.  160.076-21(d)(2)(iv).
The results for each inflation chamber must be at least 90% of the
results obtained in approval testing'' and add, in their place, the
words ``Table 29.1 of UL 1191'';
0
c. In paragraph (c)(3), after the words ``UL 1180'', add the words
``(incorporated by reference, see Sec.  160.076-11)'', and remove the
number ``7.15'', and add, in its place, the number ``41'';
0
d. In paragraph (c)(4), after the words ``UL 1180 section'', remove the
number ``7.16'', and add, in its place, the number ``42'';
0
e. In paragraph (c)(5), after the words ``UL 1180 section'', remove the
words ``7.2.2-7.2.10, except 7.2.5'' and add, in their place, the
number ``29''; and
0
f. In paragraph (c)(6), after the words ``UL 1180 section'', remove the
words ``7.4.1 and .2'' and add, in their place, the number ``31''.

Sec.  160.076-35  [Amended]

0
12. Amend Sec.  160.076-35 by adding the words ``(incorporated by
reference, see Sec.  160.076-11)'' after the words ``UL 1123''.

Sec.  160.076-37  [Amended]

0
13. Amend Sec.  160.076-37(b) by removing the words ``section 11 of''
after the words ``specified in'' and by adding the words
``(incorporated by reference, see Sec.  160.076-11)'' after the words
``UL 1180''.

Sec.  160.076-39  [Amended]

0
14. Amend Sec.  160.076-39 as follows:
0
a. In paragraph (a), remove the words ``section 10'' and add, in their
place, the words ``(incorporated by reference, see Sec.  160.076-11)'';
and
0
b. Remove paragraph (e).

    Dated: March 22, 2012.
J.G. Lantz,
Director of Commercial Regulations and Standards, U.S. Coast Guard.
[FR Doc. 2012-7791 Filed 4-2-12; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 76, Number 51 (Wednesday, March 16, 2011)]
[Notices]
[Pages 14440-14441]
[FR Doc No: 2011-6074]

=======================================================================
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SECURITIES AND EXCHANGE COMMISSION

Proposed Collection; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC
20549-0213.
Extension:
    Form 40-F; OMB Control No. 3235-0381; SEC File No. 270-335.

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') is soliciting comments

on the collection of information summarized below. The Commission plans
to submit this existing collection of information to the Office of
Management and Budget for extension and approval.
    Form 40-F (17 CFR 249.240f) is used by certain Canadian issuers to
register a class of securities under to Section 12 of the Securities
Exchange Act of 1934 (``Exchange Act'') (15 U.S.C. 78l) or as an annual
report pursuant to Section 13(a) or 15(d) of the Exchange Act (15
U.S.C. 78m(a) or 78o(d)). The information required in the Form 40-F is
used by investors in making investment decisions with respect to the
securities of such Canadian companies. We estimate that Form 40-F takes
approximately 427 hours per response and is filed by approximately 205
respondents. We estimate that 25% of the 427 hours per response (106.75
hours) is prepared by the issuer for a total reporting burden of 21,884
(106.75 hours per response x 205 responses).
    Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information will
have practical utility; (b) the accuracy of the agency's estimate of
the burden imposed by the collection of information; (c) ways to
enhance the quality, utility, and clarity of the information collected;
and (d) ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection
techniques or other forms of information technology. Consideration will
be given to comments and suggestions submitted in writing within 60
days of this publication.
    Please direct your written comments to Thomas Bayer, Chief
Information Officer, Securities and Exchange Commission, C/O Remi
Pavlik-Simon, 6432 General Green Way, Alexandria, Virginia 22312; or
send an e-mail to<EMAIL_ADDRESS>
    Dated: March 10, 2011.
Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011-6074 Filed 3-15-11; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 81, Number 162 (Monday, August 22, 2016)]
[Proposed Rules]
[Pages 56574-56575]
[FR Doc No: 2016-19910]

=======================================================================
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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

49 CFR Part 269

[Docket No. FRA-2016-0023, Notice No. 3]
RIN 2130-AC60

Competitive Passenger Rail Service Pilot Program

AGENCY: Federal Railroad Administration (FRA), U.S. Department of
Transportation (DOT).

ACTION: Proposed rule; notice of public hearing and extension of
comment period.

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

SUMMARY: On June 22, 2016, FRA published a Notice of Proposed
Rulemaking (NPRM) that would implement a pilot program for competitive
selection of eligible petitioners in lieu of Amtrak to operate not more
than three long-distance routes operated by Amtrak. FRA is announcing a
public hearing to provide interested persons an opportunity to provide
oral comments on the proposal. FRA is also announcing an extension of
the comment period for this proceeding to allow time for interested
parties to submit written comments in response to views or information
provided at the public hearing.

DATES: A public hearing will be held on September 7, 2016, at 1:45 p.m.
in Washington, DC. The comment period for the NPRM published on June
22, 2016, (81 FR 40624) is open through August 22, 2016. Comments in
response to views or information provided at the public hearing must be
received by October 7, 2016.

ADDRESSES: Public Hearing. The public hearing will be held at the U.S.
Department of Transportation, 1200 New Jersey Avenue SE., Conference
Center Room 7, Washington, DC 20590.
    Comments. You may submit comments identified by Docket Number FRA-
2016-0023 by any of the following methods:
     Online: Comments should be filed at the Federal
eRulemaking Portal, http://www.regulations.gov. Follow the online
instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: Docket Management Facility, U.S. Department of
Transportation, 1200 New Jersey Avenue SE., W12-140, Washington, DC
20590.
     Hand Delivery: 1200 New Jersey Avenue SE., Room W12-140,
Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal Holidays.
    Instructions: All submissions must include the agency name, docket
name, and docket number or Regulatory Identification Number (RIN) for
this rulemaking (RIN 2130-AC60). FRA will post all comments received
without change to http://www.regulations.gov, including any personal
information provided. Please see the Privacy Act heading in the
``Supplementary Information'' section of this document for Privacy Act
information about any submitted petitions, comments, or materials.
    Docket: For access to the docket to read background documents or
comments received, go to http://www.regulations.gov at any time or to
the U.S. Department of Transportation, Docket Operations, M-30, West
Building, Ground Floor, Room W12-140, 1200 New Jersey Avenue SE.,
Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal Holidays.

FOR FURTHER INFORMATION CONTACT: Brandon White, Office of Railroad
Policy and Development, Federal Railroad Administration, 1200 New
Jersey Avenue SE., Washington, DC 20590,<PHONE_NUMBER>,
<EMAIL_ADDRESS>or Zeb Schorr, Office of Chief Counsel, Federal
Railroad Administration, 1200 New Jersey Avenue SE., Washington, DC
20590,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: Interested parties are invited to present
oral statements and to offer information and views at the hearing. The
hearing will be informal and will be conducted by a representative FRA
designates under FRA's Rules of Practice (49 CFR 211.25). The hearing
will be a non-adversarial proceeding. Therefore, there will be no cross
examination of persons presenting statements or offering evidence. An
FRA representative will make an opening statement outlining the scope
of the hearing. After all initial statements are completed those
persons wishing to make a brief rebuttal will be given the opportunity
to do so in the same order the initial statements were made. FRA will
announce additional procedures necessary to conduct the hearing, at the
hearing. The purpose of this hearing is to receive oral comments in
response to an NPRM for a competitive passenger rail service pilot
program. FRA will add a transcript of the discussions to the public
docket in this proceeding.
    Public Participation Procedures. Any person wishing to make a
statement at the hearing should notify Mr. White by telephone, email,
or in writing, at least 5 working days before the date of the hearing
and submit three copies of the

oral statement he or she intends to make at the proceeding. The
notification should identify the party the person represents, the
particular subject(s) the person plans to address, and the time
requested. The notification should also provide the participant's
mailing address and other contact information. FRA reserves the right
to limit participation in the hearing of persons who fail to provide
such notification. FRA also reserves the right to limit the duration of
presentations if necessary to afford all persons with the opportunity
to speak. For information on facilities or services for persons with
disabilities, or to request special assistance at the hearing, contact
FRA Program Analyst, Mr. Kenton Kilgore, by telephone, email, or in
writing, at least at least 5 working days before the date of the
hearing. Mr. Kilgore can be reached at Federal Railroad Administration,
Office of Railroad Safety, Mail Stop 25, 1200 New Jersey Avenue SE.,
Washington, DC 20590;<PHONE_NUMBER>; or<EMAIL_ADDRESS>    Extension of Comment Period. The comment period for the NPRM is
currently open through August 22, 2016. To accommodate the public
hearing and afford interested parties the opportunity to submit
comments in response to views or information provided at the public
hearing, FRA will extend the comment period. FRA must receive comments
in response to views or information provided at the public hearing by
October 7, 2016.

Privacy Act

    Anyone can search the electronic form of any written communications
and comments received into any of our dockets by the name of the
individual submitting the comment (or signing the document, if
submitted on behalf of an association, business, labor union, etc.).
See http://www.regulations.gov/#!privacyNotice for the privacy notice
of www.regulations.gov. Interested parties may also review DOT's
complete Privacy Act Statement in the Federal Register published on
April 11, 2000 (65 FR 19477). Under 5 U.S.C. 553(c), DOT solicits
comments from the public to better inform its rulemaking process. DOT
posts these comments, without edit, including any personal information
the commenter provides, to www.regulations.gov, as described in the
system of records notice (DOT/ALL-14 FDMS), which can be reviewed at
www.dot.gov/privacy.

    Issued in Washington, DC, on August 16, 2016.
Jamie Rennert,
Office Director, Office of Program Delivery.
[FR Doc. 2016-19910 Filed 8-19-16; 8:45 am]
 BILLING CODE 4910-06-P


[Federal Register Volume 88, Number 112 (Monday, June 12, 2023)]
[Rules and Regulations]
[Pages 37994-38000]
[FR Doc No: 2023-12494]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 122 and 123

[EPA-HQ-OW-2022-0834; FRL-10123-06-OW]
RIN 2040-AG27

NPDES Small MS4 Urbanized Area Clarification

AGENCY: Environmental Protection Agency (EPA).

ACTION: Final rule.

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

SUMMARY: The U.S. Environmental Protection Agency (EPA) is finalizing
clarifications to its National Pollutant Discharge Elimination System
(NPDES) Stormwater Phase II regulations due to recent changes made by
the Census Bureau. The changes to EPA's regulations are limited to
clarifying that the designation criteria for small municipal separate
storm sewer systems (MS4s), which have been used since the promulgation
of the regulations in 1999, will remain the same. These clarifications
are necessary due to the Census Bureau's recent decision to discontinue
its practice of publishing the location of ``urbanized areas'' along
with the 2020 Census and future censuses. The clarifications in this
final rule replace the term ``urbanized area'' in the Phase II
regulations with the phrase ``urban areas with a population of at least
50,000,'' which is the Census

Bureau's longstanding definition of the term urbanized areas. This
change allows NPDES permitting authorities to use 2020 Census and
future Census data in a manner that is consistent with existing
longstanding regulatory practice.

DATES: This final rule is effective on July 12, 2023.

ADDRESSES: EPA has established a docket for this action under Docket ID
No. EPA-HQ-OW-2022-0834. All documents in the docket are listed on the
http://www.regulations.gov website. Although listed in the index, some
information is not publicly available, e.g., CBI or other information
whose disclosure is restricted by statute. Certain other material, such
as copyrighted material, is not placed on the internet and will be
publicly available only in hard copy form. Publicly available docket
materials are available electronically through http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Heather Huddle, Water Permits Division
(MC4203), Environmental Protection Agency, 1200 Pennsylvania Ave. NW,
Washington, DC 20004; telephone number:<PHONE_NUMBER>; email address:
[email protected].

SUPPLEMENTARY INFORMATION: This action is limited to clarifying that
EPA is retaining the existing threshold for automatic designation of
small MS4s for regulation under the Phase II stormwater permitting
regulations. The threshold for automatic designation was used following
the 2000 and 2010 Censuses and is based on the MS4 being in an
urbanized area of 50,000 or more people. This final rule maintains the
threshold for automatic designations of small MS4s and ensures that the
designation of new MS4s will continue as originally required under the
Phase II regulations.
    EPA's action finalizes changes that were proposed on December 2,
2022 (87 FR 74066) in tandem with the publication of a direct final
rule (87 FR 73965, December 2, 2022), both of which included the same
regulatory changes. EPA withdrew the direct final rule (88 FR 10851,
February 22, 2023) after receiving an adverse comment.

Table of Contents

I. General Information
    A. Does this action apply to me?
    B. What action is EPA taking?
    C. What is the agency's authority for taking this action?
    D. Background
II. Rationale and Summary of the Rule
    A. Why a Change to the Phase II Regulations Is Appropriate
    B. Rationale for Clarification to Phase II Regulations
    C. Summary of Changes to Phase II Regulations
    D. Costs of This Action
    E. Implementation and Technical Assistance
III. Statutory and Executive Orders Reviews
    A. Executive Order 12866: Regulatory Planning and Review and
Executive Order 14094: Modernizing Regulatory Review
    B. Paperwork Reduction Act (PRA)
    C. Regulatory Flexibility Act (RFA)
    D. Unfunded Mandates Reform Act (UMRA)
    E. Executive Order 13132: Federalism
    F. Executive Order 13175: Consultation and Coordination With
Indian Tribal Governments
    G. Executive Order 13045: Protection of Children From
Environmental Health Risks and Safety Risks
    H. Executive Order 13211: Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution or Use
    I. National Technology Transfer and Advancement Act (NTTAA)
    J. Executive Order 12898: Federal Actions To Address
Environmental Justice in Minority Populations and Low-Income
Populations
    K. Congressional Review Act (CRA)

I. General Information

A. Does this action apply to me?

    Entities regulated by this action include:

------------------------------------------------------------------------
                                                         North American
                                                            industry
           Category              Examples of regulated   classification
                                       entities          system (NAICS)
                                                              code
------------------------------------------------------------------------
Federal and state government..  EPA or state NPDES                924110
                                 stormwater permitting
                                 authorities.
Local governments.............  Operators of small                924110
                                 municipal separate
                                 storm sewer systems.
State government..............  State departments of              926120
                                 transportation.
Military......................  Federal military bases            928110
Public academic institutions..  Publicly-administered             611310
                                 colleges,
                                 universities, and
                                 professional schools.
------------------------------------------------------------------------

    This table is not intended to be exhaustive, but rather provides a
guide for readers regarding entities likely to be regulated by this
action. This table includes the types of entities that EPA is now aware
could potentially be regulated by this action. Other types of entities
not included could also be regulated. To determine whether your entity
is regulated by this action, you should carefully examine the
applicability criteria found in 40 CFR 122.28, 122.32, and 122.35, and
the discussion in the preamble. If you have questions regarding the
applicability of this action to a particular entity, consult the person
listed in the FOR FURTHER INFORMATION CONTACT section.

B. What action is EPA taking?

    EPA is clarifying its NPDES Phase II regulations due to recent
changes made by the Census Bureau. The changes to EPA's regulations are
limited to clarifying that the designation criteria for small MS4s,
which have been used since the promulgation of the regulations in 1999,
will remain the same. The clarification replaces the term previously
used by the Census Bureau, ``urbanized area,'' with the phrase ``urban
areas with a population of at least 50,000,'' which is the Census
Bureau's longstanding criteria for defining urbanized areas.

C. What is the Agency's authority for taking this action?

    The authority for this rulemaking is the Federal Water Pollution
Control Act, 33 U.S.C. 1251 et seq., including sections 402 and 501.

D. Background

1. Statutory and Regulatory Overview
    Stormwater discharges are subject to regulation under section
402(p) of the Clean Water Act (CWA). Under this provision, Congress
required the following stormwater discharges initially to be subject to
NPDES permitting requirements: stormwater discharges for which NPDES
permits were issued prior to February 4, 1987; discharges ``associated
with industrial activity;'' discharges from MS4s serving

populations of 100,000 or more; and any stormwater discharge determined
by EPA or a state to ``contribute[ ] to a violation of a water quality
standard or [to be] a significant contributor of pollutants to waters
of the United States.'' Congress further directed EPA to study other
stormwater discharges and determine which discharges needed additional
controls.
    EPA developed the stormwater regulations under section 402(p) of
the CWA in two phases, as directed by the statute. In the first phase,
under section 402(p)(4) of the CWA, EPA promulgated regulations
establishing application and other NPDES permit requirements for
stormwater discharges from medium (serving populations of 100,000 and
up to 250,000) and large (serving populations of 250,000 or more) MS4s,
and stormwater discharges associated with industrial activity. EPA
published the final Phase I rule on November 16, 1990. 55 FR 47990. The
Phase I rule, among other things, defined ``municipal separate storm
sewer'' as publicly-owned conveyances or systems of conveyances that
discharge to waters of the United States and are designed or used for
collecting or conveying stormwater, are not combined sewers, and are
not part of a publicly-owned treatment works. 40 CFR 122.26(b)(8).
    In the second phase, sections 402(p)(5) and (6) of the CWA required
EPA to conduct a study to identify other stormwater discharges that
needed further controls ``to protect water quality,'' report to
Congress on the results of the study, and designate for regulation
additional categories of stormwater discharges not regulated in Phase I
in consultation with state and local officials. EPA promulgated the
Phase II rule on December 8, 1999, designating discharges from certain
small MS4s and from small construction sites (disturbing equal to or
greater than one acre and less than five acres) and requiring NPDES
permits for these discharges. 64 FR 68722 (December 8, 1999). A
regulated small MS4 is generally defined as any MS4 that is not already
covered by the Phase I program and is located within the ``urbanized
area'' boundary as determined by the latest U.S. Decennial Census. 40
CFR 122.32(a)(1) (``you are regulated if you operate a small MS4,
including but not limited to systems operated by Federal, State,
Tribal, and local governments, including State departments of
transportation; and . . . [y]our small MS4 is located in an urbanized
area as determined by the latest Decennial Census by the Bureau of the
Census.'').
    Separate storm sewer systems such as those serving military bases,
universities, large hospitals or prison complexes, and highways are
also included in the definition of ``small MS4.'' 40 CFR 122.26(b)(16).
In addition, the Phase II rule includes authority for EPA (or states
authorized to administer the NPDES program) to require NPDES permits
for currently unregulated stormwater discharges through a designation
process. 40 CFR 122.26(a)(9)(i)(C) and (D). Other small MS4s located
outside of an urbanized area may be designated as a regulated small MS4
if the NPDES permitting authority determines that its discharges cause,
or have the potential to cause, an adverse impact on water quality. 40
CFR 122.32(a)(2), 123.35(b)(3).
2. History of Using Urbanized Area Population Threshold for Small MS4
Designations
    Beginning with the 1950 Census, the Census Bureau defined
``urbanized area'' as ``one or more cities of 50,000 or more and all
the nearby closely settled suburban territory, or urban fringes.'' \1\
This definition was in effect when EPA promulgated the Phase II Rule in
1999, and for the two censuses (2000 and 2010 Census) that have been
published since then.\2\ The Census Bureau's use of this population
threshold is significant for the Phase II permit program because where
an MS4 is located within an area identified in the latest decennial
Census as having a minimum population of 50,000 or more people (i.e.,
in an ``urbanized area''), the MS4 is automatically designated as
regulated under the Phase II regulations.
---------------------------------------------------------------------------

    \1\ 1950 Census of Population--Preliminary Counts, Population of
Urbanized Areas: April 1, 1950, U.S. Department of Commerce, Bureau
of the Census. Series PC-3 No. 9. February 1, 1951. See https://www2.census.gov/library/publications/decennial/1950/pc-03/pc-3-09.pdf.
    \2\ Urbanized areas have been defined by the Census Bureau as
``urban areas that contain 50,000 or more people. . .''. See 76 FR
53030, 53039 (August 24, 2011); and 67 FR 11663, 116667 (March 15,
2002).
---------------------------------------------------------------------------

    The Phase II regulations have referred to the term ``urbanized
area'' since the small MS4 program's inception and this term has always
been used synonymously with the 50,000 population threshold. When EPA
initially promulgated the Phase II regulations, EPA explained that it
was adopting the Census Bureau's definition of ``urbanized area'' as
one of the designation criteria for small MS4s and provided a
definition of ``urbanized area'' that was identical to the Census
Bureau's definition. EPA stated in the preamble to the Phase II rule
that ``[u]nder the Bureau of the Census definition of `urbanized area,'
adopted by EPA for the purposes of this final rule, `an urbanized area
(UA) comprises a place and the adjacent densely settled surrounding
territory that together have a minimum population of 50,000 people.' ''
64 FR 68722, 68751 (December 8, 1999).
    EPA acknowledged that the Census Bureau could in the future change
the criteria by which it defines ``urbanized area,'' which would then
in turn affect the way in which new small MS4s would be automatically
designated. It is for this reason that EPA explained in the Phase II
rule preamble that new MS4 designations ``will be governed by the
Bureau of the Census' definition of an urbanized area in effect for
that year.'' 64 FR 68722, 68751 (December 8, 1999). However, the Census
Bureau has not changed the 50,000 population threshold since they
adopted it 70 years ago. From the small MS4 permit program's inception
in 1999, therefore, EPA and state permitting authorities have always
relied on the 50,000 population threshold to automatically designate
and regulate MS4s. It is only now with the 2020 Census that the Census
Bureau has announced its decision to no longer separately identify
``urbanized areas.'' 87 FR 16706, 16707 (March 24, 2022).

II. Rationale and Summary of the Rule

A. Why a Change to the Phase II Regulations Is Appropriate

    The original Phase II regulatory text did not explicitly instruct
EPA how to treat the designation of MS4s in the event that the Census
Bureau's decennial censuses determines that it will no longer
separately identify ``urbanized areas.'' For the 1999 Phase II rule,
EPA always intended the universe of regulated small MS4s to grow in a
manner commensurate with the growth of ``urbanized areas'' as
identified by the latest decennial census. However, while the Phase II
rule preamble explained that additional MS4s would be designated in
accordance with the latest census definition of ``urbanized area,'' it
did not provide instruction on what to do if a decennial census no
longer identifies the location of such urbanized areas.\3\

EPA is taking this action to address the Census Bureau's changes and
clarify for permitting authorities and the public that the scope of
which small MS4s are regulated will not change, and that EPA will rely
on what that term has always meant rather than having the regulations
reference an out-of-date term.
---------------------------------------------------------------------------

    \3\ EPA stated in the Phase II rule preamble that: ``Additional
designations based on subsequent census years will be governed by
the Bureau of the Census' definition of an urbanized area in effect
for that year. Based on historical trends, EPA expects that any area
determined by the Bureau of the Census to be included within an
urbanized area as of the 1990 Census will not later be excluded from
the urbanized area as of the 2000 Census. However, it is important
to note that even if this situation were to occur, for example, due
to a possible change in the Bureau of the Census' urbanized area
definition, a small MS4 that is automatically designated into the
NPDES program for storm water under an urbanized area calculation
for any given Census year will remain regulated regardless of the
results of subsequent urbanized area calculations.'' 64 FR 68751
(December 8, 1999).
---------------------------------------------------------------------------

B. Rationale for Clarification to Phase II Regulations

    The most straightforward way for EPA to clarify its regulations in
a manner that maintains program continuity and consistency is to
replace the reference to ``urbanized area'' in the Phase II regulations
with text that replicates the 50,000 population threshold on which the
Census Bureau and NPDES authorities have historically relied. As
discussed in section II.D.2 of this preamble, from the inception of the
small MS4 permitting program, the 50,000 population threshold has been
used synonymously with the term ``urbanized area'' by both the Census
Bureau and NPDES permitting authorities. Replacing the term ``urbanized
area'' with text that incorporates this same 50,000 population
threshold means that the existing method for designating small MS4s
following the latest decennial census will be identical to how it has
always been implemented. This change ensures that there is no
disruption in the designation of additional MS4s and that the program
will be implemented in a historically consistent manner.
    Substituting the obsolete references to ``urbanized areas'' with
the 50,000 population threshold also ensures that new Census 2020
mapping data and subsequent census mapping data can be used seamlessly
to identify newly regulated MS4s. Prior to the recent Census Bureau
changes, the location of any ``urbanized areas'' would have been
automatically identified with any decennial census. Moving forward,
however, each decennial census will be limited to identifying ``urban
areas'' without identifying ``urbanized areas'' within those areas.
Even though ``urbanized area'' locations will no longer be provided as
part of the 2020 Census and future censuses, the Census Bureau will
continue to provide population data for each identified urban area.\4\
The Census Bureau published these data to its website in January 2023
at https://www.census.gov/programs-surveys/geography/guidance/geo-areas/urban-rural.html. These population data will enable EPA and state
permitting authorities to identify which urban areas have populations
of 50,000 or more people and, therefore, to provide the necessary
information to designate new MS4s.
---------------------------------------------------------------------------

    \4\ In its 2020 Urban Areas Frequent Asked Questions, the Census
Bureau provided the following answer in response to the question
``Is it true that the Census Bureau is no longer defining urbanized
areas?'': ``No. The Census Bureau will no longer identify an
individual urban area as either an urbanized area or an urban
cluster. We will refer to all areas as ``urban areas'' regardless of
population size. We will publish population and housing counts for
each urban area when we announce results of the 2020 Census urban
area delineation. Data users and program will be able to use those
counts and subsequent American Community Survey estimates to
categorize urban areas according to population size.'' (emphasis
added) See https://www2.census.gov/geo/pdfs/reference/ua/2020_Urban_Areas_FAQs.pdf.
---------------------------------------------------------------------------

C. Summary of Changes to Phase II Regulations

    The changes to the Phase II regulations are limited to replacing
the existing references to ``urbanized area'' as a criterion for
designating small MS4s for regulation with text that incorporates the
underlying population threshold associated with that term, or more
specifically ``urban areas with a population of 50,000 or more
people.'' This change is made in the following specific sections:
     40 CFR 122.28(a)(1)(vi): This provision describes the
requirement that general permits can only be used to provide coverage
to discharges in a specific geographic area. The final rule replaces
the original reference to ``urbanized areas'' in one of the examples of
geographic or political boundary areas that meet this requirement with
the described 50,000 population threshold.
     40 CFR 122.32(a)(1): This original provision specified
that small MS4s located in ``urbanized areas'' are regulated as small
MS4s. The reference to ``urbanized areas'' is replaced by the described
50,000 population threshold.
     40 CFR 122.32(d): The original provision indicated that
small MS4s regulated under 40 CFR 122.32(a)(1) for ``urbanized areas''
may be eligible for an NPDES waiver if they meet the applicable
criteria. The reference to ``urbanized areas'' is substituted with a
reference to the revised text in 40 CFR 122.32(a)(1).
     40 CFR 122.33(b)(3): The original provision referenced the
ability of regulated small MS4s located in the same ``urbanized area''
as a medium or large MS4 to be included as a limited co-permittee in
the same NPDES permit as the medium or large MS4. The reference to
``urbanized area'' is modified to read ``urban area'' instead.
     40 CFR 123.35(b)(1)(ii): The original provision included a
reference to an ``urbanized area'' in the context of regulatory
guidance on criteria that state permitting authorities may use to
designate other small MS4s for regulation, including ``contiguity to an
urbanized area.'' The reference to ``urbanized area'' is replaced by
the described 50,000 population threshold.
     40 CFR 123.35(b)(2): The original provision included a
reference to an ``urbanized area'' in the context of applying state
permitting authority criteria for designating additional small MS4s for
regulation, including MS4s located outside of an ``urbanized area''
serving a jurisdiction with a population density of at least 1,000
people per square mile and a population of at least 10,000. The
reference to ``urbanized area'' is replaced by the described 50,000
population threshold.
     40 CFR 123.35(d)(1): The original provision indicated that
small MS4s regulated under 40 CFR 122.32(a)(1) for ``urbanized areas''
may be eligible for an NPDES waiver if they meet the applicable
criteria. The reference to ``urbanized areas'' is substituted with the
described 50,000 population threshold.

D. Costs of This Action

    The regulatory clarifications in this rule ensure that the
population basis for regulating small MS4s remains the same. As a
result, these clarifications do not result in increased costs to small
MS4 permittees or to state and EPA permitting programs, nor do the rule
changes result in regulating additional MS4s beyond what was required
by the 1999 Phase II regulations.

E. Implementation and Technical Assistance

    EPA will be providing technical assistance to permitting
authorities in several ways to help with the implementation of the MS4
program following publication of the new census data. The following is
a summary of EPA's ongoing technical assistance activities:
     Publish new MS4 mapping information: EPA will work with
permitting authorities on new MS4 mapping information. Using the now
published 2020 Census urban area information, EPA will identify which
urban areas have a population of 50,000 or more people. EPA will also
use the 2020 Census data to identify where urban areas with a
population of 50,000 or more people are located in the United States
and where these areas are located

with respect to municipal boundaries. EPA will share this information
with permitting authorities to enable them to determine which
jurisdictions are likely operating MS4s within urban areas that meet
the 50,000 population threshold. EPA will provide mapping information
that compares the 2010 Census and 2020 Census locations of these urban
areas. Permitting authorities will be able to use this information to
pinpoint the location of newly designated MS4s and compare how the
urban area boundaries have changed for existing MS4s since the 2010
Census.
     Provide permitting authorities with a preliminary list of
newly designated MS4s: To assist NPDES permitting authorities, EPA is
using the mapping information described under the previous bullet point
to preliminarily identify newly designated MS4s that are located within
urban areas with a population of 50,000 or more people. EPA provided a
similar list of newly designated MS4s following the 2010 Census.
Permitting authorities are then free to evaluate the MS4s identified on
this list to determine if the information is accurate and whether any
changes are needed. Permitting authorities may also need to assess any
requests for permitting waivers submitted by newly designated MS4s that
have been notified of their designation by the permitting authority.
     Provide guidance materials for permitting authorities: EPA
is providing additional guidance related to the process of permitting
newly designated MS4s that NPDES authorities may choose to use. EPA
provided similar guidance following the publication of the 2010 Census,
which included tips on the suggested steps to follow from initial
contact with the new MS4 operators to including them in the applicable
NPDES permit. After the 2010 Census, EPA also provided a letter
template that permitting authorities could use to inform new MS4
operators of their designation and what to expect from the permitting
process moving forward. The Agency is updating these materials for the
2020 Census and will explore what additional technical assistance may
be needed.
     Rescind interim guidance: In 2022, EPA published on its
website Interim Guidance on Census Elimination of ``Urbanized Areas''
(see https://www.epa.gov/npdes/interim-guidance-census-elimination-urbanized-area-definition). The guidance was intended to provide
interim recommendations to permitting authorities regarding the
implementation of their small MS4 permitting programs following the
finalization of the Census Bureau's designation criteria changes while
EPA evaluated how best to clarify its regulations. With the publication
of this final rule, the interim guidance is no longer necessary and has
been rescinded.

III. Statutory and Executive Orders Reviews

    Additional information about these statutes and Executive Orders
can be found at https://www.epa.gov/laws-regulations/laws-and-executive-orders.

A. Executive Order 12866: Regulatory Planning and Review and Executive
Order 14094: Modernizing Regulatory Review

    This action is not a significant regulatory action as defined in
Executive Order 12866, as amended by Executive Order 14094, and was
therefore not subject to a requirement for Executive Order 12866
review.

B. Paperwork Reduction Act (PRA)

    This action does not impose an information collection burden under
the PRA. OMB has previously approved the information collection
activities contained in the existing regulations and has assigned OMB
control number 2040-0004. This rule contains no new requirements for
reporting and recordkeeping.

C. Regulatory Flexibility Act (RFA)

    I certify that this action will not have a significant economic
impact on a substantial number of small entities under the RFA. In
making this determination, EPA concludes that the impact of concern for
this rule is any significant adverse economic impact on small entities
and that the Agency is certifying that this rule will not have a
significant economic impact on a substantial number of small entities
because the rule has no net burden on the small entities subject to the
rule. EPA limits this rule to substituting the use of the term
``urbanized area'' with the underlying population criteria that has
been used synonymously with this term since the 1999 promulgation of
the regulations in four subsections of the Phase II regulations. See
discussion in sections II.B and C of this preamble. Although making
this clarification is important to ensure program continuity and
consistency, EPA views this change as akin to a clerical correction to
remove an obsolete term and ensure that program applicability remains
unchanged. EPA has therefore concluded that this action will have no
net regulatory burden for all directly regulated small entities.

D. Unfunded Mandates Reform Act (UMRA)

    This action does not contain any unfunded mandate as described in
UMRA, 2 U.S.C. 1531-1538, and does not significantly or uniquely affect
small governments. The action imposes no enforceable duty on any state,
local or tribal governments, or the private sector.

E. Executive Order 13132: Federalism

    This action does not have federalism implications. It will not have
substantial direct effects on the states, on the relationship between
the national government and the states, or on the distribution of power
and responsibilities among the various levels of government.

F. Executive Order 13175: Consultation and Coordination With Indian
Tribal Governments

    This action does not have tribal implications as specified in
Executive Order 13175. It will not have substantial direct effects on
tribal governments, on the relationship between the Federal government
and Indian tribes, or on the distribution of power and responsibilities
between the Federal government and Indian tribes, as specified in
Executive Order 13175. Thus, Executive Order 13175 does not apply to
this action.

G. Executive Order 13045: Protection of Children From Environmental
Health Risks and Safety Risks

    EPA interprets Executive Order 13045 as applying only to those
regulatory actions that concern environmental health or safety risks
that EPA has reason to believe may disproportionately affect children,
per the definition of ``covered regulatory action'' in section 2-202 of
the Executive Order. This action is not subject to Executive Order
13045 because it does not concern an environmental health risk or
safety risk.

H. Executive Order 13211: Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution or Use

    This action is not subject to Executive Order 13211, because it is
not a significant regulatory action under Executive Order 12866.

I. National Technology Transfer and Advancement Act (NTTAA)

    This rule does not involve technical standards.

J. Executive Order 12898: Federal Actions To Address Environmental
Justice in Minority Populations and Low-Income Populations

    Executive Order 12898 (59 FR 7629, February 16, 1994) directs
Federal agencies, to the greatest extent practicable and permitted by
law, to make environmental justice part of their mission by identifying
and addressing, as appropriate, disproportionately high and adverse
human health or environmental effects of their programs, policies, and
activities on minority populations (people of color and/or indigenous
peoples) and low-income populations.
    EPA believes that the human health and environmental conditions
that exist prior to this action do not result in disproportionate and
adverse effects on people of color, low-income populations, and/or
indigenous peoples. This action makes a technical clarification to a
previously promulgated regulatory action and will not change the human
health and environmental conditions that currently exist with the
implementation of the Phase II regulations.
    EPA believes that this action is not likely to result in new
disproportionate and adverse effects on people of color, low-income
populations and/or indigenous peoples. This regulatory action is a
technical clarification to a previously promulgated regulatory action
and does not have any disproportionate and adverse impact on people of
color, low-income populations, and/or indigenous peoples.

K. Congressional Review Act (CRA)

    This action is subject to the CRA, and EPA will submit a rule
report to each House of the Congress and to the Comptroller General of
the United States. This action is not a ``major rule'' as defined by 5
U.S.C. 804(2).

List of Subjects

40 CFR Part 122

    Environmental protection, Stormwater, Water pollution.

40 CFR Part 123

    Environmental protection, Stormwater, Water pollution.

Michael S. Regan,
Administrator.

    For the reasons stated in the preamble, EPA amends 40 CFR parts 122
and 123 as set forth below:

PART 122--EPA ADMINISTERED PERMIT PROGRAMS: THE NATIONAL POLLUTANT
DISCHARGE ELIMINATION SYSTEM

0
1. The authority citation for part 122 continues to read as follows:

    Authority: The Clean Water Act, 33 U.S.C. 1251 et seq.

0
2. Amend Sec.  122.28 by revising paragraph (a)(1)(vi) to read as
follows:

Sec.  122.28  General permits (applicable to State NPDES programs, see
Sec.  123.25).

    (a) * * *
    (1) * * *
    (vi) Urban areas with a population of 50,000 or more people as
determined by the latest Decennial Census by the Bureau of the Census;
or
* * * * *

0
3. Amend Sec.  122.32 by revising paragraphs (a)(1) and (d)
introductory text to read as follows:

Sec.  122.32  As an operator of a small MS4, am I regulated under the
NPDES storm water program?

    (a) * * *
    (1) Your small MS4 is located in an urban area with a population of
50,000 or more people as determined by the latest Decennial Census by
the Bureau of the Census. (If your small MS4 is not located entirely
within an urban area with a population of 50,000 or more people, only
the portion that is within this urban area is regulated); or
* * * * *
    (d) The NPDES permitting authority may waive permit coverage if
your MS4 serves a population of less than 1,000 within the urban area
identified in paragraph (a)(1) of this section and you meet the
following criteria:
* * * * *

0
4. Amend Sec.  122.33 by revising paragraph (b)(3) to read as follows:

Sec.  122.33  Requirements for obtaining permit coverage for regulated
small MS4s.

* * * * *
    (b) * * *
    (3) Co-permittee alternative. If the regulated small MS4 is in the
same urban area as a medium or large MS4 with an NPDES storm water
permit and that other MS4 is willing to have the small MS4 operator
participate in its storm water program, the parties may jointly seek a
modification of the other MS4 permit to include the small MS4 operator
as a limited co-permittee. As a limited co-permittee, the small MS4
operator will be responsible for compliance with the permit's
conditions applicable to its jurisdiction. If the small MS4 operator
chooses this option it must comply with the permit application
requirements of Sec.  122.26, rather than the requirements of paragraph
(b)(2)(i) of this section. The small MS4 operator does not need to
comply with the specific application requirements of Sec.
122.26(d)(1)(iii) and (iv) and (d)(2)(iii) (discharge
characterization). The small MS4 operator may satisfy the requirements
in Sec.  122.26(d)(1)(v) and (d)(2)(iv) (identification of a management
program) by referring to the other MS4's storm water management
program.
* * * * *

PART 123--STATE PROGRAM REQUIREMENTS

0
5. The authority citation for part 123 continues to read as follows:

    Authority: Clean Water Act, 33 U.S.C. 1251 et seq.

0
6. Amend Sec.  123.35 by revising paragraphs (b)(1)(ii), (b)(2), and
(d)(1) introductory text to read as follows:

Sec.  123.35  As the NPDES Permitting Authority for regulated small
MS4s, what is my role?

* * * * *
    (b) * * *
    (1) * * *
    (ii) Guidance: For determining other significant water quality
impacts, EPA recommends a balanced consideration of the following
designation criteria on a watershed or other local basis: discharge to
sensitive waters, high growth or growth potential, high population
density, contiguity to an urban area with a population of 50,000 people
or more as determined by the latest Decennial Census by the Bureau of
the Census, significant contributor of pollutants to waters of the
United States, and ineffective protection of water quality by other
programs;
    (2) Apply such criteria, at a minimum, to any small MS4 located
outside of an urban area with a population of 50,000 people or more as
determined by the latest Decennial Census by the Bureau of the Census
serving a jurisdiction with a population density of at least 1,000
people per square mile and a population of at least 10,000;
* * * * *

    (d) * * *
    (1) You may waive permit coverage for each small MS4s in
jurisdictions with a population under 1,000 within the urban area with
a population of 50,000 people or more as determined by the latest
Decennial Census by the Bureau of the Census where all the following
criteria have been met:
* * * * *
[FR Doc. 2023-12494 Filed 6-9-23; 8:45 am]
BILLING CODE 6560-50-P


PAPERWORK REDUCTION ACT SUBMISSION Please read the instructions before completing this form. For additional forms or assistance in completing this form, contact your agency's Paperwork Clearance Officer. Send two copies of this form, the collection instrument to be reviewed, the Supporting Statement and any additional documentation to: Office of Information and Regulatory Affairs, Office of Management and Budget, Docket Library, Room 10102, 725 17th Street NW Washington, DC 20503.

1. Agency/ Subagency originating request EPA/ Office of Water/ Office of Wastewater Management 2. OMB control number b. G None a_ 2040 0110 3. Type of information collection ( check one) a. G New collection b. G Revision of a currently approved collection c.

Extension of a currently approved collection d. G Reinstatement, without change, of a previously approved collection for which approval has expired e. G Reinstatement, with change, of a previously approved collection for which approval has expired f. G Existing collection in use without an OMB control number 4. Type of review requested ( check one) a.

Regular b. G Emergency  Approval requested by: / / c. G Delegated 5. Small entities Will this information collection have a significant economic impact on a substantial number of small entities? G Yes

No For b f, note item A2 of Supporting Statement Instructions 6. Requested expiration date a.

Three years from approval date b. G Other Specify: / /___

7. Title NPDES Compliance Assessment/ Certification Information ( Renewal)

8. Agency form number( s) ( If applicable) ICR#: 1427.07 9. Keywords Water Pollution Control, Reporting and Recordkeeping Requirements, compliance, assessment, certification, exemption 10. Abstract This ICR calculates the burden and costs associated with the data requirements necessary for a permitting authority to determine whether an NPDES, sewage sludge, or new storm water permittees are in compliance with the conditions of the permit. It also calculates the burden associated with certification requirements for twelve point source categories.

11. Affected public ( Mark primary with " P" and all others that apply with " X") a. X Individuals or households d. Farms b. X Business or other for profit e. P Federal Government c. X Not for profit institutions f. X State, Local or Tribal Government Primary affected public: e. Federal Government 12. Obligation to respond ( Mark primary with " P" and all others that apply with " X") a. G Voluntary b. G Required to obtain or retain benefits c. P Mandatory Primary obligation to respond: c. Mandatory 13. Annual reporting and recordkeeping hour burden a. Number of respondents 416,964 b. Total annual responses 446,224 1. Percentage of these responses collected electronically 0 % c. Total hours requested 1,809,580 d. Current OMB inventory 1,375,412 e. Difference 434,168 f. Explanation of difference 1. Program Change 0 2. Adjustment 434,168 14. Annual reporting and recordkeeping cost burden ( in thousands of dollars) a. Total annualized capital/ startup costs $ 0 b. Total annual costs ( O& M) $ 0 c. Total annualized cost requested $ 0 d. Current OMB inventory $ 0 e. Difference $ 0 f. Explanation of difference 1. Program change $ 0 2. Adjustment $ 0 15. Purpose of information collection ( Mark Primary With " P" and all others that apply with " X") a.  Application for benefits e.  Program planning or management b.  Program evaluation f.  Research c.  General purpose statistics g. P Regulatory or compliance d.  Audit 16. Frequency of recordkeeping or reporting ( check all that apply) a. Q Recordkeeping b. Q Third party disclosure c.

Reporting 1. Q On occasion 2. Q Weekly 3. Q Monthly 4. Q Quarterly 5. Q Semi annually 6. Q Annually 7. Q Biannually 8.

Other ( describe) Variable as needed.

17. Statistical methods Does this information collection employ statistical methods?

Q Yes

No 18. Agency contact ( person who can best answer questions regarding the content of this submission) Name: Jack Faulk Phone: 202 564 0768 OMB 83 I 10/ 95 19. Certification for Paperwork Reduction Act Submissions On behalf of this Federal agency, 1 certify that the collection of information encompassed by this request complies with' 5 CFR 1320.9.

NOTE: The text of 5 CFR 1320.9, and the related provisions of 5 CFR 1320.8( b)( 3), appear at the end of the instructions. The certification is to be made with reference to those regulatory provisions as set forth in the instructions.

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

( a) It is necessary for the proper performance of agency functions;

( b) It avoids unnecessary duplication;

( c) It reduces burden on small entities;

( d) It uses plain, coherent, and unambiguous terminology that is understandable to respondents;

( e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

( f) It indicates the retention periods for recordkeeping requirements;

( g) It informs respondents of the information called for under 5 CFR 1320.8( b)( 3): ( i) Why the information is being collected' ( ii) Use of information; ( iii) Burden estimate; ( iv) Nature of response ( voluntary, required for a benefit, or mandatory); ( v) Nature and extent of confidentiality; and ( vi) Need to display currently valid OMB control number;

( h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected ( see note in Item 19 of the instructions);

( i) It uses effective and efficient statistical survey methodology; and ( j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item below and explain the reason in Item 18 of the Supporting Statement.

Signature of Program Official James A. Hanlon, Director Office of Wastewater Management Date Signature of Senior Official or designee Oscar Morales, Director Collection Strategies Division Office of Environmental Information Date OMB 83 I 10/ 95