[Federal Register Volume 81, Number 16 (Tuesday, January 26, 2016)]
[Notices]
[Pages 4360-4361]
[FR Doc No: 2016-01475]

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DEPARTMENT OF TRANSPORTATION

[Docket No. FRA 2016-0002-N-2]

Federal Railroad Administration

Proposed Agency Information Collection Activities; Comment
Request

AGENCY: Federal Railroad Administration, DOT.

ACTION: Notice.

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SUMMARY: In accordance with the Paperwork Reduction Act of 1995 (PRA)
and its implementing regulations, FRA is seeking an extension of the
following currently approved information collection. On December 28,
2015, FRA published a Notice in the Federal Register stating that FRA
was submitting an Information Collection Request (ICR) to the Office of
Management and Budget (OMB) for new Form FRA F 6180.164, Positive Train
Control Implementation Plan (PTCIP) Template, under the PRA Emergency
Processing procedures. See 80 FR 80876. On January 6, 2016, OMB granted
FRA's request for Emergency Processing approval for a period of 180
days. FRA now seeks a Regular clearance (extension of the current
approval from 180 days to three years) to continue this effort to
assist railroads in submitting revised PTCIPs to FRA as Congress
mandated under amendments to 49 U.S.C. 20157. Before submitting the ICR
requirements for OMB clearance, FRA is soliciting public comment on
specific aspects of the ICR, as identified below.

DATES: Comments must be received no later than March 28, 2016.

ADDRESSES: Submit written comments on any or all of the following
proposed activities by mail to either: Mr. Robert Brogan, Information
Collection Clearance Officer, Office of Safety, Planning and Evaluation
Division, RRS-21, Federal Railroad Administration, 1200 New Jersey Ave.
SE., Mail Stop 17, Washington, DC 20590, or Ms. Kimberly Toone,
Information Collection Clearance Officer, Office of Information
Technology, RAD-20, Federal Railroad Administration, 1200 New Jersey
Ave. SE., Mail Stop 35, Washington, DC 20590. Commenters requesting FRA
to acknowledge receipt of their respective comments must include a
self-addressed stamped postcard stating, ``Comments on OMB control
number 2130-0553.'' Alternatively, comments may be transmitted via
facsimile to<PHONE_NUMBER> or<PHONE_NUMBER>, or via email to Mr.
Brogan at<EMAIL_ADDRESS>or to Ms. Toone at<EMAIL_ADDRESS>

Please refer to the assigned OMB control number in any correspondence
submitted. FRA will summarize comments received in response to this
notice in a subsequent notice and include them in its information
collection submission to OMB for approval.

FOR FURTHER INFORMATION CONTACT: Mr. Robert Brogan, Information
Collection Clearance Officer, Office of Planning and Evaluation
Division, RRS-21, Federal Railroad Administration, 1200 New Jersey Ave.
SE., Mail Stop 17, Washington, DC 20590 (telephone:<PHONE_NUMBER>) or
Ms. Kimberly Toone, Information Collection Clearance Officer, Office of
Information Technology, RAD-20, Federal Railroad Administration, 1200
New Jersey Ave. SE., Mail Stop 35, Washington, DC 20590 (telephone:
(202) 493-6132). (These telephone numbers are not toll-free.)

SUPPLEMENTARY INFORMATION: The PRA, Public Law 104-13, sec. 2, 109
Stat. 163 (1995) (codified as revised at 44 U.S.C. 3501-3520), and its
implementing regulations, 5 CFR part 1320, require federal agencies to
provide 60-days' notice to the public for comment on information
collection activities before seeking approval for reinstatement or
renewal by OMB. 44 U.S.C. 3506(c)(2)(A); 5 CFR 1320.8(d)(1),
1320.10(e)(1), 1320.12(a). Specifically, FRA invites interested
respondents to comment on the following summary of proposed information
collection activities regarding: (1) Whether the information collection
activities are necessary for FRA to properly execute its functions,
including whether the information will have practical utility; (2) the
accuracy of FRA's estimates of the burden of the information collection
activities, including the validity of the methodology and assumptions
used to determine the estimates; (3) ways for FRA to enhance the
quality, utility, and clarity of the information being collected; and
(4) ways for FRA to minimize the burden of information collection
activities on the public by automated, electronic, mechanical, or other
technological collection techniques or other forms of information
technology (e.g., permitting electronic submission of responses). See
44 U.S.C. 3506(c)(2)(A)(i)-(iv); 5 CFR 1320.8(d)(1)(i)-(iv). FRA
believes that soliciting public comment will promote its efforts to
reduce the administrative and paperwork burdens associated with this
voluntary collection of information. In summary, FRA believes that
comments received will advance three objectives: (1) Reduce reporting
burdens; (2) ensure that FRA organizes information collection
requirements in a ``user-friendly'' format to improve the use of such
information; and (3) accurately assess the resources expended to
retrieve and produce the information requested. See 44 U.S.C. 3501.
    Below is a brief summary of the currently approved information
collection activity FRA will submit for clearance by OMB as required
under the PRA:
    Title: Positive Train Control.
    OMB Control Number: 2130-0553.
    Abstract: The recently enacted Positive Train Control Enforcement
and Implementation (PTCEI) Act of 2015 and the Fixing America's Surface
Transportation (FAST) Act (collectively, the ``Acts'') amend certain
portions of 49 U.S.C. 20157 relating to positive train control (PTC)
system implementation. See Public Law 114-73, 129 Stat. 568, 576-82
(Oct. 29, 2015); Public Law 114-94, sec. 11315(d), 129 Stat. 1312, 1675
(Dec. 4, 2015). Most notably, the provisions within these Acts extend
the implementation deadline originally established by the Rail Safety
Improvement Act of 2008 (RSIA) and require covered railroads and
entities to each submit a revised PTC Implementation Plan (PTCIP) with
additional information to meet its new deadline.
    FRA is proposing to provide a PTCIP template to assist each
railroad with complying with the new law's requirement to submit a
revised PTCIP to FRA. More specifically, each railroad may voluntarily
opt to use FRA's proposed template to concisely organize and present
certain quantitative (i.e., measurable) data about its PTC
implementation efforts and its projected timeframe for completing PTC
implementation. Although some of this information may have been
provided by each railroad in the past, the Acts now require submission
of specific measurable data as part of each railroad's revised PTCIP.
The quantitative information includes:
     The calendar year(s) when wireless spectrum required for
PTC operation will be acquired and available for use;
     The total amount of PTC hardware the railroad must install
(broken down by each major hardware category);
     The total amount of PTC hardware the railroad will install
by the end of each calendar year (broken down by each major hardware
category);
     The total number of employees the railroad must train; and
     The total number of employees that will receive training
by the end of each calendar year.
    FRA believes that providing an optional template will serve as
guidance to railroads by reducing confusion about the necessary level
of detail required for the quantitative requirements. Furthermore, the
optional template will help to expedite submitting this information to
FRA and FRA's review for statutory and regulatory compliance,
particularly for those railroads that may not have been tracking these
details previously. FRA has provided the template on its Web site for
use by all interested parties at https://www.fra.dot.gov/eLib/Details/L17235.
    Affected Public: Businesses.
    Frequency of Submission: On occasion.
    Respondent Universe: Approximately 38 railroads.
    Reporting Burden:

----------------------------------------------------------------------------------------------------------------
                                                                                Average time
          PTCIP template             Respondent universe      Total annual        per response     Total annual
                                                                responses           (hours)        burden hours
----------------------------------------------------------------------------------------------------------------
Form FRA F 6180.164...............  38 Railroads........  38 Forms............              50            1,900
----------------------------------------------------------------------------------------------------------------

    Form Number(s): FRA F 6180.164.
    Total Estimated Responses: 38.
    Total Estimated Annual Burden: 1,900 hours.
    Status: Regular Review.
    Under 44 U.S.C. 3507(a) and 5 CFR 1320.5(b), 1320.8(b)(3)(vi), FRA
informs all interested parties that it may not conduct or sponsor, and
a respondent is not required to respond to, a collection of information
unless it displays a currently valid OMB control number.

    Authority: 44 U.S.C. 3501-3520.

    Issued in Washington, DC, on January 20, 2016.
Corey Hill,
Acting Executive Director.
[FR Doc. 2016-01475 Filed 1-25-16; 8:45 am]
BILLING CODE 4910-06-P


[Federal Register Volume 80, Number 20 (Friday, January 30, 2015)]
[Notices]
[Page 5195]
[FR Doc No: 2015-01759]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Public Notice for Waiver of Aeronautical Land-Use Assurance

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of intent of waiver with respect to land; Gaylord
Regional Airport; Gaylord, Michigan.

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SUMMARY: The Federal Aviation Administration (FAA) is considering a
proposal to change a portion of airport land from aeronautical use to
non-aeronautical use and to authorize the sale of airport property
located at Gaylord Regional Airport, Gaylord, Michigan. The proposal
consists of 12.38 acres of airport property for which the current use
and present condition is the Libke Field recreational facility.

DATES: Comments must be received on or before March 2, 2015.

ADDRESSES: Documents are available for review by appointment at the FAA
Detroit Airports District Office, 11677 South Wayne Road, Suite 107,
Romulus, Michigan 48174 or at Gaylord Regional Airport, Gaylord,
Michigan. Written comments on the Sponsor's request must be delivered
or mailed to: Diane Morse, Program Manager, Detroit Airports District
Office, Federal Aviation Administration, 11677 South Wayne Road, Suite
107, Romulus, Michigan 48174. Telephone Number:<PHONE_NUMBER>/FAX
Number:<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Diane Morse, Program Manager, Detroit
Airports District Office, Federal Aviation Administration, 11677 South
Wayne Road, Suite 107, Romulus, Michigan 48174. Telephone Number: (734)
229-2929/FAX Number:<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: In accordance with section 47107(h) of title
49, United States Code, this notice is required to be published in the
Federal Register 30 days before modifying the land-use assurance that
requires the property to be used for an aeronautical purpose.
    Parcel 21 (0.83 acres) was acquired by Gaylord Regional Airport
through the Airports Improvement Program dated January 6, 1992. Parcel
8 (11.55 acres) was purchased from the State of Michigan, Department of
Conservation without federal funds on July 11, 1966. The Otsego County
Board of Commissioners intends to purchase the property, at fair market
value, for continued use as Libke Field recreational facility. The
aforementioned land is not needed for aeronautical use, as shown on the
Airport Layout Plan. There are no impacts to the airport by allowing
the airport to dispose of the property. This notice announces that the
FAA is considering the release of the subject airport property at
Gaylord Regional Airport, from all federal land covenants. Approval
does not constitute a commitment by the FAA to financially assist in
the disposal of the subject airport property nor a determination that
all measures covered by the program are eligible for grant-in-aid
funding from the FAA. The disposition of proceeds from the sale of the
airport property will be in accordance with FAA's Policy and Procedures
Concerning the Use of Airport Revenue, published in the Federal
Register on February 16, 1999 (64 FR 7696).
    Following is a legal description of the property situated in the
State of Michigan, County of Otsego, A combined parcel of land situated
in the Township of Bagley, County of Otsego, State of Michigan, being
part of the Northeast \1/4\ of the Northeast \1/4\ of Section 7, Town
30 North, Range 3 West, described as:
    Commencing at the Northeast corner of said Section 7; thence North
88[deg]42'30'' West, along the North line of said section, 146.04 feet
to the Point of Beginning; thence South 00[deg]33'57'' West 477.76
feet; thence North 88[deg]58'17'' West 1119.09 feet; thence North
00[deg]14'04'' West 483.03 feet to the North line of said section;
thence South 88[deg]42'30'' East, along said section line, 1125.89 feet
to the Point of Beginning. Sold parcel contains 12.38 acres of land,
more or less, and is subject to the right of way of Van Tyle Road over
the northerly 33 feet thereof.

    Issued in Detroit, Michigan, on January 12, 2015.
John L. Mayfield, Jr.,
Manager, Detroit Airports District Office, FAA, Great Lakes Region.
[FR Doc. 2015-01759 Filed 1-29-15; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 81, Number 126 (Thursday, June 30, 2016)]
[Rules and Regulations]
[Pages 42510-42512]
[FR Doc No: 2016-15501]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2016-0526]

Safety Zones; Recurring Events in Captain of the Port Boston Zone

AGENCY: Coast Guard, DHS.

ACTION: Notice of enforcement of regulation.

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SUMMARY: The Coast Guard will enforce safety zones in the Captain of
the Port Boston Zone on the specified dates and times listed below.
This action is necessary to ensure the protection of the maritime
public and event participants from the hazards associated with these
annual recurring events. Under the provisions of our regulations, no
person or vessel, except for the safety vessels assisting with the
event may enter the safety zones unless given permission from the COTP
or the designated on-scene representative. The Coast Guard may be
assisted by other Federal, State, or local law enforcement agencies in
enforcing this regulation.

DATES: The regulations in 33 CFR 165.118 will be enforced for the
safety zones identified in the SUPPLEMENTARY INFORMATION section below
for the dates and times specified.

FOR FURTHER INFORMATION CONTACT: If you have questions about this
notice of enforcement, call or email Mr. Mark Cutter, Coast Guard
Sector Boston Waterways Management Division, telephone<PHONE_NUMBER>,
email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The Coast Guard will enforce the safety
zones listed in 33 CFR 165.118 on the specified dates and times as
indicated in Table 1 below. This regulation was published in the
Federal Register on November 8, 2013 (78 FR 67028).

                                 Table 1
------------------------------------------------------------------------

------------------------------------------------------------------------
7.1 City of Lynn 4th of July              Event Type: Firework
 Celebration Fireworks.                   Display.
                                          Sponsor: City of Lynn.
                                          Date: July 3, 2016.
                                          Time: 7:00 p.m. to
                                          10:00 p.m.
                                          Location: All waters
                                          of Nahant Bay, within a 350-
                                          yard radius of the fireworks
                                          barge located at position
                                          42[deg]27.51' N.,
                                          070[deg]55.52' W. (NAD 83).
7.2 Gloucester July 4th Celebration       Event Type: Fireworks
 Fireworks.                               Display.
                                          Sponsor: The
                                          Gloucester Fund.
                                          Date: July 3, 2016.
                                          Time: 8:00 p.m. to
                                          11:00 p.m.

                                          Location: All waters
                                          of Gloucester Harbor, Stage
                                          Fort Park, within a 350-yard
                                          radius of the fireworks launch
                                          site on the beach located at
                                          position 42[deg]36.3' N.,
                                          070[deg]40.5' W. (NAD 83).
7.3 Manchester by the Sea Fireworks....   Event Type: Fireworks
                                          Display.
                                          Sponsor: Manchester
                                          Parks and Recreation
                                          Department.
                                          Date: July 4, 2016.
                                          Time: 9:00 p.m. to
                                          10:00 p.m.
                                          Location: All waters
                                          of Manchester Bay within a 350-
                                          yard radius of the fireworks
                                          launch site barge located at
                                          position 42[deg]34.14' N.,
                                          070[deg]45.53' W. (NAD 83).
7.4 Weymouth 4th of July Celebration      Event Type: Fireworks
 Fireworks.                               Display.
                                          Sponsor: Town of
                                          Weymouth 4th of July
                                          Committee.
                                          Date: July 3, 2016.
                                          Time: 8:30 p.m. to
                                          11:30 p.m.
                                          Location: All waters
                                          of Weymouth Fore River, within
                                          a 350-yard radius of the
                                          fireworks launch site located
                                          at position 42[deg]15.5' N.,
                                          070[deg]56.1' W. (NAD 83).
7.5 Beverly 4th of July Celebration       Event Type: Fireworks
 Fireworks.                               Display.
                                          Sponsor: Beverly
                                          Harbormaster.
                                          Date: July 4, 2016.
                                          Time: 9:00 p.m. to
                                          11:00 p.m.
                                          Location: All waters
                                          of Beverly Harbor within a 350-
                                          yard radius of the fireworks
                                          launch barge located at
                                          position 42[deg]33.46' N.,
                                          070[deg]48.28' W. (NAD 83).
7.6 4th of July Celebration Fireworks..   Event Type: Fireworks
                                          Display.
                                          Sponsor: Prides
                                          Crossing 4th of July
                                          Committee.
                                          Date: July 4, 2016.
                                          Time: 9:00 p.m. to
                                          11:00 p.m.
                                          Location: All waters
                                          of Manchester Bay within a 350-
                                          yard radius of the fireworks
                                          launch site near West Beach
                                          located at position
                                          42[deg]33.46' N.,
                                          070[deg]48.28' W. (NAD 83).
7.7 Boston Pops Fireworks..............   Event Type: Fireworks
                                          Display.
                                          Sponsor: Boston 4
                                          Celebrations.
                                          Date: July 4, 2016.
                                          Time: 8:30 p.m. to
                                          11:00 p.m.
                                          Location: All waters
                                          of the Charles River within a
                                          350-yard radius of the
                                          fireworks barges located in
                                          the vicinity of position
                                          42[deg]21.24' N.,
                                          071[deg]04.60' W. (NAD 83).
7.8 City of Salem Fireworks............   Event Type: Fireworks
                                          Display.
                                          Sponsor: City of
                                          Salem.
                                          Date: July 4, 2016.
                                          Time: 9:15 p.m. to
                                          10:15 p.m.
                                          Location: All waters
                                          of Salem Harbor, within a 350-
                                          yard radius of the fireworks
                                          launch site located on Derby
                                          Wharf at position
                                          42[deg]31.15' N.,
                                          070[deg]53.13' W. (NAD 83).
7.9 Marblehead 4th of July Fireworks...   Event Type: Fireworks
                                          Display.
                                          Sponsor: Town of
                                          Marblehead.
                                          Date: July 4, 2016.
                                          Time: 9:30 p.m. to
                                          10:00 p.m.
                                          Location: All waters
                                          of Marblehead Harbor within a
                                          350-yard radius of the
                                          fireworks launch site located
                                          at position 42[deg]30.34' N.,
                                          070[deg]50.13' W. (NAD 83).
7.10 Plymouth 4th of July Fireworks....   Event Type: Fireworks
                                          Display.
                                          Sponsor: July 4
                                          Plymouth, Inc.
                                          Date: July 4, 2016.
                                          Time: 9:00 p.m. to
                                          10:00 p.m.
                                          Location: All waters
                                          of Plymouth Harbor within a
                                          350-yard radius of the
                                          fireworks launch site located
                                          at position 42[deg]57.3' N.,
                                          070[deg]38.3' W. (NAD 83).
7.11 Town of Nahant Fireworks..........   Event Type: Fireworks
                                          Display.
                                          Sponsor: Town of
                                          Nahant.
                                          Date: July 4, 2016.
                                          Time: 9:00 p.m. to
                                          11:00 p.m.
                                          Location: All waters
                                          of Nahant Harbor within a 350-
                                          yard radius of the fireworks
                                          launch site on Bailey's Hill
                                          Park located at position
                                          42[deg]25.1' N., 070[deg]55.8'
                                          W. (NAD 83).
7.13 Yankee Homecoming Fireworks.......   Event Type: Fireworks
                                          Display.
                                          Sponsor: Yankee
                                          Homecoming.
                                          Date: August 6, 2016.
                                          Time: 9:00 p.m. to
                                          10:00 p.m.
                                          Location: All waters
                                          of the Merrimack River, within
                                          a 350-yard radius of the
                                          fireworks launch site located
                                          at position 42[deg]48.97' N.,
                                          070[deg]52.68' W. (NAD 83).
7.14 Hingham 4th of July Fireworks.....   Event Type: Fireworks
                                          Display.

                                          Sponsor: Hingham Lions
                                          Club.
                                          Date: July 2, 2016.
                                          Time: 9:00 p.m. to
                                          11:00 p.m.
                                          Location: All waters
                                          within a 350-yard radius of
                                          the beach on Button Island
                                          located at position
                                          42[deg]15.07' N.,
                                          070[deg]53.03' W. (NAD 83).
7.17 Salisbury 4th of July Fireworks...   Event Type: Fireworks
                                          Display.
                                          Sponsor: Salisbury
                                          Chamber of Commerce.
                                          Date: July 4, 2016.
                                          Time: 9:00 p.m. to
                                          11:00 p.m.
                                          Location: All waters
                                          of the Atlantic Ocean near
                                          Salisbury Beach within a 350-
                                          yard radius of the fireworks
                                          launch site located at
                                          position 42[deg]50.6' N.,
                                          070[deg]48.4' W. (NAD 83).
7.19 Swim Across America Boston........   Event Type: Swim.
                                          Sponsor: Swim Across
                                          America.
                                          Date: July 8, 2016.
                                          Time: 6:00 a.m. to
                                          4:00 p.m.
                                          Location: All waters
                                          of Boston Harbor between Rowes
                                          Warf and Little Brewster
                                          Island within the following
                                          points (NAD 83):
                                          42[deg]21.4' N., 071[deg]03.0'
                                          W.
                                          42[deg]21.5' N., 071[deg]02.9'
                                          W.
                                          42[deg]19.8' N., 070[deg]53.6'
                                          W.
                                          42[deg]19.6' N., 070[deg]53.4'
                                          W.
------------------------------------------------------------------------

    This notice of enforcement is issued under authority of 33 CFR
165.118 and 5 U.S.C. 552 (a). In addition to this notice of enforement
in the Federal Register, the Coast Guard will provide notification of
these enforcement periods via the Local Notice to Mariners and
Broadcast Notice to Mariners.

    Dated: June 23, 2016.
C.C. Gelzer,
Captain, U.S. Coast Guard, Captain of the Port Boston.
[FR Doc. 2016-15501 Filed 6-29-16; 8:45 am]
 BILLING CODE 9110-04-P


SUPPORTING STATEMENT INFORMATION COLLECTION REQUEST FOR INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY PART A ii TABLE OF CONTENTS Section Page 1. IDENTIFICATION OF THE INFORMATION COLLECTION . . . . . . . . . . . . . . . . . . . . 1 1( a). Title of the Information Collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1( b). Short Characterization/ Abstract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 2. NEED FOR AND USE OF THE COLLECTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 2( a). Need/ Authority for the Collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 2( b). Practical Utility/ Uses of the Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA . 3 3( a). Nonduplication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 3( b). Public Notice Required Prior to ICR Submission to OMB . . . . . . . . . . . . . . . . . . . . 3 3( c). Consultations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 3( d). Effects of Less Frequent Collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 3( e). General Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 3( f). Confidentiality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 3( g). Sensitive Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 4. THE RESPONDENTS AND THE INFORMATION COLLECTED . . . . . . . . . . . . . . . . 7 4( a). Respondents/ SIC Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 4( b). Information Requested . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 i. Data Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 ii. Respondent Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 5. THE INFORMATION COLLECTED  AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT . . . . . . . . . . . . . . . 8 5( a). Agency Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 5( b). Collection Methodology and Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 5( c). Small Entity Flexibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 5( d). Collection Schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION . . . . . . . . . . . . . . 10 6( a). Estimating Respondent Burden . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 6( b). Estimating Respondent Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 i. Estimating Labor Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 ii. Estimating Capital and Operation and Maintenance Costs . . . . . . . . . . . . . . 12 iii. Capital/ Start up vs. Operating and Maintenance ( O& M) Costs . . . . . . . . . . 12 iv. Annualizing Capital Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 6( c). Estimating Agency Burden and Cost . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 6( d). Estimating the Respondent Universe and Total Burden and Cost . . . . . . . . . . . . . . 15 iii TABLE OF CONTENTS ( Cont'd)

Section Page 6( e). Bottom Line Burden Hours and Cost Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 i. Respondent Tally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 ii. Agency Tally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 6( f). Burden Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 APPENDIX A. Institutional Controls Tracking Systems and Costs Survey Questionnaire APPENDIX B. First Federal Register Notice APPENDIX C. Response to Comments 1 1. IDENTIFICATION OF THE INFORMATION COLLECTION 1( a). Title of the Information Collection Institutional Controls Tracking Systems and Costs Survey 1( b). Short Characterization/ Abstract The U. S. Environmental Protection Agency (" EPA"), Office of Emergency and Remedial Response (" OERR") is seeking clearance from the Office of Management and Budget (" OMB") to gather information about the characteristics of information systems currently used by state, tribal, and local governments to track the implementation, monitoring, and enforcement of institutional controls at sites, facilities, and properties under their jurisdiction. OERR proposes to use survey questionnaires to gather information about types of institutional controls tracking systems currently in use; their purpose, scope, and structure; the kinds of data they track; their data entry, quality assurance, administration, and access features; data querying capabilities; compatibility with a future EPA system; development, population, and operating costs; and lessons learned from developing, implementing, and operating them.

OERR does not intend to use the information resulting from this survey to generalize about an overall population. Survey responses are intended to provide OERR with a detailed overview of state, tribal, and local governments' current practices and procedures for tracking institutional controls and to enable OERR to evaluate the strengths and weaknesses of different tracking systems.

Included in this information collection request (" ICR") are proposed survey questions submitted for OMB approval. EPA estimates that 52 states, 10 tribes, and no more than 200 local agencies ( planning, zoning, and real estate recording offices) will be surveyed.

In addition to the survey, this ICR includes requests for clarification, follow up questions, follow up calls to unresponsive respondents, and agency visits. Clarifications and follow up questions will be necessary if EPA requires more information to understand a tracking system. Up to 50 agencies may be asked to provide additional information. EPA proposes to visit no more than 20 agencies to evaluate their institutional controls tracking systems.

2. NEED FOR AND USE OF THE COLLECTION 2( a). Need/ Authority for the Collection OERR is currently researching the development of a system for tracking institutional controls at Fund and enforcement lead Superfund sites. Institutional controls are non engineered remedial measures such as administrative and/ or legal controls that minimize the potential for exposure to contamination by limiting land or resource use. Institutional controls are employed at sites where remedies leave contaminant residuals on site that do not allow for unlimited use and unrestricted exposure. Institutional controls can reduce the potential for unacceptable exposure to residual contamination and can also be used to protect the integrity of an engineered remedy. 1 The NCP, 40 CFR 300.430( a)( 1)( iii), provides that EPA " expects to use institutional controls such as water use and deed restrictions to supplement engineering controls as appropriate . . ."

2 Use of institutional controls at Superfund sites is authorized by the National Oil and Hazardous Substances Pollution Contingency Plan (" NCP"), 40 CFR Part 300. EPA has issued guidance on the use of institutional controls in conjunction with other cleanup remedies1, including:

° Policy on Management of Post Removal Site Control, OSWER Directive No. 9360.2 02, December 3, 1990.

° Use of Institutional Controls at Superfund Sites, Memorandum, July 27, 1992.

° Land Use in the CERCLA Remedy Selection Process, OSWER Directive No. 9355.7 04, May 25, 1995.

° Institutional Controls: A Reference Manual, U. S. EPA Workgroup on Institutional Controls, March 1998. [ DRAFT]

° Interim Final Guidance Institutional Controls and Transfer of Real Property under CERCLA Section 120( h)( 3)( A), ( B), or ( C), Memorandum, January 6, 2000.

° Institutional Controls: A Site Manager's Guide to Identifying, Evaluating and Selecting Institutional Controls at Superfund and RCRA Corrective Action Cleanups, OSWER Directive No. 9355.0 74FS P, September 2000.

The resulting increase in use of institutional controls has prompted concerns about their long term reliability. EPA believes that developing an ability to track the implementation, monitoring, and enforcement of institutional controls is essential to ensure their reliability and acceptability and critical to fulfill EPA's core mission of protecting human health and the environment.

2( b). Practical Utility/ Uses of the Data The survey questionnaire is designed to gather information about the purpose and scope of the respondent's tracking system, its structure and operations, user access and information sharing practices, costs, and lessons learned from using it. OERR believes that information gathered through the survey will help it design a Superfund institutional controls tracking system that incorporates the most appropriate features of other systems and as much existing institutional controls data as possible. The proposed information collection is the first phase of a design process that includes: 1) defining and organizing data elements, 2) developing data collection points, 3) designing the user interface, 4) developing data entry and access procedures, and 5) developing and piloting a process for estimating data availability and the cost and time required for data acquisition. OERR believes that survey responses will provide useful background information for each phase of the design effort. OERR expects that the public will eventually have access to the tracking database via EPA's website. 3 3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA 3( a). Nonduplication The Institutional Controls Tracking Systems and Costs Survey is an exploratory and descriptive survey designed to gather information about respondents' current practices and procedures for tracking information about institutional controls used in their jurisdictions. The survey requests information only about the respondent's " in house" activities. Therefore responses provided in one survey questionnaire should not duplicate responses provided in any other. This information collection is a one time effort. The information sought does not duplicate information collected through any other EPA survey or reported to EPA pursuant to statute. Moreover, there is no central repository of or reference work containing information about state, tribal, or local governments' institutional controls tracking systems and costs.

3( b). Public Notice Required Prior to ICR Submission to OMB EPA has complied with the public notice requirement set forth in 5 CFR 1320.8( d)( 1) by publishing a notice in the Federal Register on October 2, 2001 ( 66 FR 50182). This notice opened a 60 day public comment period.

The Federal Register notice is included as Appendix B. Comments received and the response to these comments are included as Appendix C.

EPA received 19 official comments on the proposed information collection. Official comments were received from:

Department of Energy: Office of Environmental Policy and Guidance, John Bascietto, 1000 Independence Avenue, SW, Washington, DC 20585, ( 202) 586 7917; dated November 30, 2001.

Tennessee Department of Environment and Conservation, DOE Oversight Division, John A Owsley ( Director), 761 Emory Valley Road, Oak Ridge, TN 37830 7072, ( 865) 481 0995; dated December 19, 2001.

Association for State and Territorial Solid Waste Management Officials's ( ASTSWMO) State Superfund Focus Group, Gary Behrns, 444 North Capitol Street, NW Suite 315, Washington, DC 20001, ( 573) 751 4187; dated December 3, 2001.

ESTM, Inc., Craig S. J. Johns, 980 9th Street, Suite 2200, Sacramento, CA 95814, ( 916) 498 3326; dated December 4, 2001.

Maine Department of Environmental Protection, Division of Remediation, Denise Messier, 17 State House Station, Augusta, ME 04333, ( 207) 287 4851. 4 3( c). Consultations This ICR is based on consultations with the following:

Federal Contacts Michael E. Bellot Office of Emergency and Remedial Response bellot. michael@ epa. gov Stephen Hess Office of General Counsel/ EPA Institutional Controls Workgroup hess. stephen@ epa. gov Terry Roundtree Environmental Protection Agency Region 5 roundtree. terry@ epa. gov Maryane Tremaine Environmental Protection Agency Region 7 tremaine. maryane@ epa. gov Tom Kremer Environmental Protection Agency Region 9 kremer. tom@ epa. gov Harry Dutcher Department of Army, Army Environmental Center harry. dutcher@ aec. apgea. army. mil Richard Engel Naval Facilities Engineering, Real Estate Base Closure Division engelra@ navfac. navy. mil Letitia ( Tish) O'Conor Department of Energy, Office of Long Term Stewardship, Regulatory and Institutional Controls letitia. oconor@ em. doe. gov State Contacts Ben Macintosh CALSITES Help Desk Department of Toxic Substances Control CAL EPA ben. macintosh@ dtsc. ca. gov 5 Robert O'Hara Site Remediation Program Unit Remedial Project Management Section Division of Remediation Management Bureau of Land Illinois EPA robert. ohara@ epa. state. il. us Mark Wight Division of Legal Counsel Illinois EPA mark. wight@ epa. state. il. us Art O'Connell Chief, Site Assessment/ State Superfund Division Environmental Restoration and Redevelopment Program Maryland Department of the Environment aoconnell@ mde. state. md. us Patrick Lannon Site Remediation Section Minnesota Pollution Control Agency patrick. lannon@ pca. state. mn. us Hannah Martin Superfund Program Missouri Department of Natural Resources nrmarth@ mail. dnr. state. mo. us John Defina Site Remediation Program New Jersey Department of Environmental Protection jdefina@ dep. state. nj. us Harold Sandbeck Division of Environmental Response and Remediation Utah Department of Environmental Quality hsandb@ deq. state. ut. us Trish Akana Toxics Cleanup Program Washington Department of Ecology taka461@ ecy. wa. gov Jane Lemcke Remediation and Redevelopment Program 6 Wisconsin Department of Natural Resources lemckj@ dnr. state. wi. us Local Contacts Ignacio Dayrit Emeryville, California idayrit@ ci. emeryville. ca. us Donald Gardner Office of Transportation Portland, Oregon don. gardner@ trans. ci. portland. or. us Estevan Lopez Local Government Land Use Planning Department Santa Fe County, New Mexico elopez@ co. santa fe. nm. us William McLay Local Government Land Use Planning Department Montgomery County, Pennsylvania bmclay@ mail. montcopa. org Vaughn Umphrey Local Government Land Use Planning Department Grand Rapids, Michigan vumphrey@ ci. grand rapids. mi. us Land Use Planning Association Contacts Sanjay Jerr America Planning Association sjerr@ planning. org Joseph Schilling Director, Community and Economic Development International City/ County Management Association jschilling@ icma. org 3( d). Effects of Less Frequent Collection Not applicable. 7 3( e). General Guidelines This proposed ICR complies with OMB general guidelines for the collection of information and contains no provision with any characteristic listed in 5 CFR 1320.5( d)( 2).

3( f). Confidentiality Not applicable.

3( g). Sensitive Questions Not applicable.

4. THE RESPONDENTS AND THE INFORMATION COLLECTED 4( a). Respondents/ SIC Codes Respondents to the Institutional Controls Tracking Systems and Costs Survey will include state, tribal, or local government agencies or organizations that maintain tracking systems, databases, or other information systems that collect or track information pertaining to the selection, planning, design, implementation, oversight, monitoring, or enforcement of institutional controls at sites, facilities, or properties under their jurisdiction. OERR will identify respondents with the help of its State, Tribal, and Site Identification Center, membership data provided by the International City/ County Management Association, 777 North Capitol Street, N. W., Suite 500, Washington, DC 20002 4201, and consultations with state, tribal, and agency officials identified in the course of institutional controls meetings, conferences, symposia, and workshops. Respondents will fall into one or more of the following professional categories and SIC codes:

SIC Code Professional Category 9111 City and town managers' offices 9111 County supervisors' and executives' offices 9121 City and town councils 9121 County commissioners 9431 Environmental health programs government 9511 Environmental protection agencies government 9511 Environmental quality and control agencies government 9511 Pollution control agencies government 9511 Waste management program administration government 9511 Water control and quality agencies government 9532 Community development agencies government 9532 Redevelopment land agencies government 9532 Urban planning commissions government 9532 Urban renewal agencies government. 8 4( b). Information Requested i. Data Elements The Institutional Controls Tracking Systems and Costs Survey will be sent to state, tribal, and local government entities that are likely to exercise responsibility for institutional controls.

The survey will request the following information from respondents:

° General system and respondent information; ° Purpose and scope of the respondent's tracking system, i. e., the types of sites and institutional controls tracked; ° Structure and operations of the respondent's tracking system, including database software, programming language, types of information tracked, number of data elements, data entry and quality assurance procedures, and data reporting and querying capabilities; ° User access and information sharing, including restrictions on data availability; ° Lessons learned; ° Costs of discharging the respondent's responsibilities for institutional controls, including staff, capital costs, training, and other direct costs, and subsidies, contributions, and other cost sharing arrangements.

ii. Respondent Activities A copy of the survey is attached to this proposed ICR as Appendix A. Respondents will have to engage in the following activities to complete the survey questionnaire:

° Review introduction and instructions, ° Review operations and gather information, ° Complete and return questionnaire, ° Respond to EPA follow up requests.

These activities will be the same whether the respondent uses the hard copy or electronic questionnaire format.

5. THE INFORMATION COLLECTED  AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT 5( a). Agency Activities Agency activities associated with the Institutional Controls Tracking Systems and Costs Survey include the following:

° Develop survey questionnaire; ° Administer the questionnaire including identifying respondents, putting the questionnaire 9 in electronic form, and reproducing, mailing, and transmitting the questionnaire; ° Review survey questionnaire responses including reviewing responses for completeness and evaluating them for appropriate follow up; ° Perform follow up activities; ° Analyze responses ° Prepare findings.

5( b). Collection Methodology and Management Section 4( b)( ii), " Respondent Activities," describes the information collection methodology employed for this survey. EPA plans to distribute the Institutional Controls Tracking Systems and Costs Survey questionnaire in hard copy and electronic formats. Respondents will be able to respond in either format. The full survey questionnaire asks up to approximately 65 questions and employs standard professional terminology. EPA designed the questionnaire to collect only data about information systems that track institutional controls, and respondents are asked to provide data only if they have such a tracking system. Respondents are not asked to collect or generate new data. If a question cannot be answered using available data or best professional judgment, respondents are asked to indicate this fact by responding " other." EPA will review the questionnaires as they are returned and follow them up as needed to obtain missing or incomplete data and to clarify or supplement responses.

Question format varies according to the type of data sought in each section of the questionnaire. Most questions ask the respondent for a yes or no or narrative response or to check boxes and identify additional options. In these cases, the respondent only needs to check off the appropriate response. The questionnaire was designed in this way to reduce the burden on respondents. A few questions relating to costs involve filling in blanks and estimating hours based on average salaries and percentages of time spent on specified activities. The questionnaire has been peer reviewed by OERR personnel and management. All of the questions in the survey have therefore gone through multiple iterations, ensuring that the survey offers a complete range of questions that will elicit the information needed and that the questions do not collect redundant information. EPA is not planning to pretest or pilot test the questionnaire as EPA believes that public comments will reveal any deficiencies in the questionnaire design. OERR will reduce potential burden at the tribal and local levels by conducting pre screening to focus data collection on larger and more sophisticated tribal and local entities that are most likely to operate institutional controls tracking systems. The pre screening will be conducted through telephone interviews and other information sources.

Survey results and data will be stored in OERR offices and will be made available to the general public upon request. OERR staff will also make survey result summaries available to other EPA program offices, Federal agencies, or Congress upon request.

5( c). Small Entity Flexibility Not applicable. 10 5( d). Collection Schedule Information collection will begin upon approval of this proposed ICR and assignment of an OMB control number to the survey instrument. The approximate collection schedule is as follows:

Activity Schedule Distribute questionnaires Within two weeks of OMB approval of ICR Review survey responses Begin within two weeks of survey distribution Conduct follow up activities Begin within 30 days of survey distribution Review survey responses Complete within 100 days of survey distribution Conduct follow up activities Complete within 120 days of survey distribution Analyze responses Within 80 days of receipt of all survey responses Prepare findings Within 100 days of receipt of all survey responses.

6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION 6( a). Estimating Respondent Burden Burden hour estimates are based on experience with similar surveys administered to comparable groups of survey respondents. Although the survey is voluntary and many respondents will not have institutional controls tracking systems, EPA has assumed a 100 percent response rate in developing the respondent burden estimate. As the estimated burden is light and the ability to track institutional controls is a matter of vital interest to state, tribal, and local entities, EPA expects that respondents will take advantage of the opportunity to engage in a dialogue with EPA, share their experience, and influence the development of EPA's institutional controls tracking system.

After receiving the survey questionnaire from EPA, the responsible official would review the instructions, determine whether his/ her agency tracks or maintains a database containing information about institutional controls, and, if so, decide whether to respond to the survey. A professional technical and a clerical staff person would review the agency's operations to gather information about its institutional controls responsibilities, tracking activities, and costs. The technical professional would review this information and provide the results to the responsible official. The official or technical professional would then complete the questionnaire and return it to EPA. Exhibit 6 1 provides information on respondent burden by information collection activity and labor category. 11 Exhibit 6 1 Hours Per Respondent by Collection Activity and Labor Category Institutional Controls Tracking Systems and Costs Survey Information Collection Activity Labor Hours Admin. Technical Clerical Review introduction and instructions 0.50 0.50 1.00 Review operations/ gather information 2.25 2.25 4.50 Complete and return questionnaire 1.00 1.00 Respond to EPA follow up requests 0.75 1.75 1.00 3.50 TOTAL 10.00 6( b). Estimating Respondent Costs i. Estimating Labor Costs This is a non rule related ICR. Accordingly, hourly labor rate estimates are based on Table 4 (" Employer cost per hour worked for employee compensation and costs as a percent of total compensation: State and local government, by occupational and industry group") of the Bureau of Labo r St a t is t ic s ' " Emp lo ye r Co s t s fo r Emp lo yee Compens a t io n" ( ftp:// ftp. bls. gov/ pub/ special. requests/ ocwc/ ect/ ececrlse. pdf). We used the March 2001 version of the report, which is the most recent available, incorporating increases in compensation costs for civilian workers for the first quarter of 2001 as set forth in the Bureau's " Employment Cost Index" ( http:// www. bls. gov/ news. release/ pdf/ eci. pdf). The following labor rates were used for this ICR: ° Executive, administrative, and managerial (" Admin.")  $ 37.42/ hour, ° Professional technical (" Technical")  $ 25.32/ hour, ° Administrative support, including clerical (" Clerical")  $ 19.27/ hour.

These rates were multiplied by the burden hours that appear in Exhibit 6 1 to determine labor costs per respondent. Exhibit 6 2 provides labor costs per respondent by information collection activity and labor category.

Exhibit 6 2 Labor Costs Per Respondent by Collection Activity and Labor Category Institutional Controls Tracking Systems and Costs Survey Information Collection Activity Labor Costs Admin. Technical Clerical Review introduction and instructions $ 18.71 $ 12.66 $ 0.00 $ 31.37 Review operations/ gather information $ 0.00 $ 56.97 $ 43.36 $ 100.33 Complete and return questionnaire $ 0.00 $ 25.32 $ 0.00 $ 25.32 Respond to EPA follow up requests $ 28.07 $ 44.31 $ 19.27 $ 91.65 TOTAL $ 248.67 12 ii. Estimating Capital and Operation and Maintenance Costs Activities supported by this ICR do not involve the purchase of monitoring or reporting equipment.

iii. Capital/ Start up vs. Operating and Maintenance ( O& M) Costs Activities supported by this ICR do not involve the purchase of monitoring or reporting equipment.

iv. Annualizing Capital Costs Not applicable.

6( c). Estimating Agency Burden and Cost EPA developed separate burden and cost estimates for EPA personnel and government contractors to reflect the fact that the government information collection and analysis activities described by this ICR will be implemented by a government contractor under EPA's supervision. Accordingly, both labor hours and labor costs are broken out into EPA and contractor categories.

Hourly labor rates for government employees are based on the hourly wage rates set forth in the Office of Personnel Management's 2001 General Schedule, Locality Rates of Pay for Washington Baltimore, DC MD VA WV ( http:// www. opm. gov/ oca/ 01tables/ GShrly/ html/ washingt. htm). These rates were multiplied by the standard benefits factor of 1.6 to reflect non wage benefits and arrive at the true cost of government labor. The following labor rates were used for this ICR:

° GS 14/ 01 Manager (" Admin.")  $ 57.26/ hour, ° GS 13/ 01 Technical Staff (" Technical")  $ 48.46/ hour, ° GS 05/ 01 Clerical Staff (" Clerical")  $ 18.54/ hour.

Hourly labor rates for contractor employees are based on Table 10 (" Private industry, by occupational and industry group") of the Bureau of Labor Statistics' " Employer Costs for Employee Compensation" ( ftp:// ftp. bls. gov/ pub/ special. requests/ ocwc/ ect/ ececrlse. pdf). We used the March 2001 version of the report, which is the most recent available, incorporating increases in compensation costs for civilian workers for the first quarter of 2001 as set forth in the Bureau's " Employment Cost Index" ( http:// www. bls. gov/ news. release/ pdf/ eci. pdf). The following labor rates were used for this ICR:

° Executive, administrative, and managerial (" Manager")  $ 40.86/ hour, ° Professional technical (" Analyst")  $ 27.20/ hour, ° Administrative support, including clerical ( Research Asst./" RA")  $ 17.27/ hour.

Exhibit 6 3 and Exhibit 6.4 provide information on government burden and labor costs, respectively, by information collection activity and labor category. The information provided in these exhibits is divided into separate EPA and contractor sections. The labor cost estimates were developed by multiplying the hourly labor rates described above by the government burden information in Exhibit 6 3. 13 Exhibit 6 3 Government Burden by Collection Activity and Labor Category Institutional Controls Tracking Systems and Costs Survey Information Collection Activity Agency Total Agency Hours Contractor Total Contractor Hours Hours Per Activity Hours Per Activity Admin. Technical Clerical Manager Analyst RA Develop survey questionnaire 35 35 0 70 150 30 50 230 Administer survey questionnaire 5 0 0 5 10 10 40 60 Review questionnaire responses 5 5 0 10 10 40 40 90 Perform follow up activities 40 40 0 80 10 40 80 130 Analyze responses 5 10 0 15 60 160 40 260 Prepare findings 10 20 0 30 200 200 80 480 TOTAL 210 1250 14 Exhibit 6 4 Government Labor Costs by Collection Activity and Labor Category Institutional Controls Tracking Systems and Costs Survey Information Collection Activity Agency Total Agency Costs Contractor Total Contractor Costs Cost Per Activity Cost Per Activity Admin. Technical Clerical Manager Analyst RA Develop survey questionnaire $ 2004 $ 1,696 $ 0 $ 3,700 $ 6,129 $ 816 $ 864 $ 7,809 Administer survey questionnaire $ 286 $ 0 $ 0 $ 286 $ 409 $ 272 $ 691 $ 1,372 Review questionnaire responses $ 286 $ 242 $ 0 $ 528 $ 409 $ 1,088 $ 691 $ 2,188 Perform follow up activities $ 2,290 $ 1,938 $ 0 $ 4,228 $ 409 $ 1,088 $ 1,382 $ 2,879 Analyze responses $ 286 $ 485 $ 0 $ 771 $ 2,452 $ 4,352 $ 691 $ 7,495 Prepare findings $ 573 $ 969 $ 0 $ 1,542 $ 8,172 $ 5,440 $ 1,382 $ 14,994 TOTAL $ 11,055 $ 36,737 15 6( d). Estimating the Respondent Universe and Total Burden and Cost The estimated size of the respondent universe is 262 parties. The objective of the survey is 262 completed surveys.

Based on information provided in Exhibit 6 1, total respondent burden for the survey is estimated as follows:

10 hours/ survey x 262 surveys = 2,620 hours Based on information provided in Exhibit 6 2, total respondent costs for the survey are estimated as follows:

$ 248.67/ survey x 262 surveys = $ 65,151.54 6( e). Bottom Line Burden Hours and Cost Tables i. Respondent Tally Exhibit 6 5 provides bottom line burden hours and costs for the respondents.

Exhibit 6 5 Bottom Line Estimate: Respondents Category Respondents Per Respondent Unit Total Hours 262 10.00 Hours 2,620 Costs 262 $ 248.67 Dollars $ 65,152 ii. Agency Tally Exhibit 6 6 provides bottom line burden hours and costs for the Agency. Note that Agency burden and hours and Contractor burden and hours from Exhibits 6 3 and 6 4 have been summed together to arrive at combined estimates for Agency burden and costs.

Exhibit 6 6 Bottom Line Estimate: Agency Category Hours Costs Agency 210 $ 11,055 Contractor 1,250 $ 36,737 TOTAL 1460 $ 47,792 16 6( f). Burden Statement The respondent burden for this collection of information is estimated to be 10 hours per response, including time required to review instructions, review operations, gather information, complete and return the questionnaire, and respond to follow up questions.

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

Send comments on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including through the use of automated collection techniques to the Director, Collection Strategies Division, U. S. Environmental Protection Agency ( 2822), 1200 Pennsylvania Ave., NW, Washington, D. C. 20460; and to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, D. C. 20503, Attention: Desk Officer for EPA. Include the EPA ICR number and OMB control number in any correspondence. APPENDIX A Institutional Controls Tracking Systems and Costs Survey Questionnaire i INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY INTRODUCTION This survey is being conducted by the U. S. Environmental Protection Agency, Office of Emergency and Remedial Response ( OERR), to assist it in determining how to track the use of institutional controls at sites on the Superfund program's National Priorities List. Institutional controls are non engineered site measures such as administrative or legal controls that minimize the potential for exposure to contamination by limiting land or resource use. Institutional controls exclude physical controls such as fences or signs. Institutional controls are employed at sites where remedies leave contaminant residuals on site that do not allow for unlimited use and unrestricted exposure. Institutional controls reduce the potential for unacceptable exposure to residual contamination and can also be used to protect the integrity of a remedy. Proper implementation, monitoring, and enforcement of institutional controls at these sites is critical to EPA's core mission of protecting human health and the environment. EPA is actively seeking input from agencies with experience in the development, implementation, and management of institutional controls tracking systems.

You have been chosen to receive this questionnaire because your agency may have responsibilities for implementing, monitoring, and/ or enforcing institutional controls on contaminated sites. Your agency was selected by EPA through a screening process that included telephone calls, interviews, and general knowledge of the types of agencies that may have institutional control responsibilities.

INSTRUCTIONS The questions below are intended to elicit information from state, tribal, and local environmental and planning authorities about how institutional controls established under federal, state, or local authority, or by private parties, are tracked by existing non federal databases and information systems. The questions are not limited to institutional controls established under the Superfund program. EPA is concerned only about current activities and practices and has designed the questionnaire to be completed using available information. If you cannot answer a question using the available response options, specify " other" in your reply and provide a brief explanation in the space provided. If your agency does not currently have any responsibilities for implementing, monitoring, and/ or enforcing institutional controls, you may indicate that fact by writing so across the top of the questionnaire, and signing, dating, and returning it to the address provided. EPA is requesting assistance in developing an institutional controls database and all responses are entirely voluntary.

Please provide complete and thorough answers to each question that pertains to your institutional controls tracking or information system or institutional controls responsibilities. If necessary, use additional sheets, indicating clearly which questions they supplement. You may be contacted in the future by an EPA representative for follow up information. The official in charge of responding to the survey should sign, date, and return it along with any additional sheets to: ii Burden Statement Chapter 6 of the Supporting Statement of the Information Collection Request for Institutional Controls Tracking Systems and Costs Survey provides an estimate on the burden and cost of the collection. The respondent burden for this collection of information is estimated to be 10 hours per response, including time required to review instructions, review operations, gather information, complete and submit the questionnaire, and respond to follow up questions. Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency. This includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for the purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. The OMB control numbers for EPA's regulations are listed in 40 CFR Part 9 and 48 CFR Chapter 15.

Send comments on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including through the use of automated collection techniques to the Director, Collection Strategies Division, U. S. Environmental Protection Agency ( 2822), 1200 Pennsylvania Ave., NW, Washington, D. C. 20460; and to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, D. C. 20503, Attention: Desk Officer for EPA. Include the EPA ICR number and OMB control number in any correspondence. MICHAEL E. BELLOT MAIL CODE 5202G US EPA HEADQUARTERS ARIEL RIOS BUILDING 1200 PENNSYLVANIA AVE., NW WASHINGTON, D. C. 20460.

The public reporting burden for this collection of information is estimated to be 10 hours per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.

If you have questions or need help completing this questionnaire, please telephone Michael E. Bellot at ( 703) 603 8905 or e mail him at bellot. michael@ epa. gov. EPA requests that you complete and return the questionnaire within 60 days of receipt.

Thank you for taking the time to respond to this survey. iii 1 CONTACT INFORMATION PLEASE IDENTIFY THE OFFICIAL IN CHARGE OF RESPONDING TO THE SURVEY QUESTIONS BELOW.

NAME ( PLEASE PRINT) TELEPHONE NUMBER SIGNATURE FAX NUMBER TITLE E MAIL ADDRESS DATE AGENCY/ ORGANIZATION INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers SECTION 1. BASIC INFORMATION 1.1 Do you maintain a database or information system that records and/ or tracks the use of institutional controls ( ICs)?

Yes

No ( GO TO QUESTION 6.1)

1.2 If yes to question 1.1, what is the name of the database or information system? INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 2 1.3 If yes to question 1.1, which division of your agency/ organization is responsible for the database or information system?

1.4 Who is the point of contact for the database or information system? Name: ________________________________

Title:________________________________

Telephone No.: _ _ _  _ _ _  _ _ _ _

( Ext._____)

E mail Address: __________________________

1.5 May EPA Headquarters contact him or her directly to learn more about your database or information system?

Yes

No 1.6 Is your database or information system accessible via the Internet?

Yes

No ( GO TO QUESTION 2.1)

1.7 If yes to question 1.6, what is the URL?

SECTION 2. PURPOSE AND SCOPE 2.1 What purposes does your database or information system serve? CHECK ALL THAT APPLY.

Monitoring Implementation of ICs

Evaluating Effectiveness of ICs

Tracking Cost of Maintaining ICs

Monitoring ICs for Enforcement Purposes

Tracking Enforcement Activity

Informing the Public About ICs

Facilitating Site Reuse or Redevelopment

Other ( SPECIFY) _______________________________ INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 3 2.2 At what types of sites does your database or information system track the use of ICs? CHECK ALL THAT APPLY. Regulatory Program

Base Realignment and Closure ( BRAC)

RCRA

Superfund ( CERCLA)

Underground Storage Tanks ( USTs)

Voluntary Cleanup Sites/ Brownfields

State Regulatory Program ( SPECIFY)

_________________________________

Tribal Regulatory Program ( SPECIFY)

_________________________________

Local Regulatory Program ( SPECIFY)

_________________________________

Other ( SPECIFY)

_________________________________

Site Ownership

Federal Facility ( SPECIFY AGENCY) _________________________________

Formerly Used Defense Sites ( FUDS)

Local Government Owned

Privately Owned

State Government Owned

Tribal Sites

Other ( SPECIFY)

_________________________________

2.3 Does your database or information system track only ICs for which you have enforcement responsibility or does it track other ICs as well?

Limited to Enforcement Responsibility

Not limited to Enforcement Responsibility 2.4 If your answer to 2.3 depends on differing circumstances, please explain what they are and how they affect whether you track an IC. INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 4 2.5 Does your database or information system track ICs according to the media ( e. g., soil, water) they affect?

Yes

No ( GO TO QUESTION 3.1)

2.6 If yes to question 2.5, what are the media tracked by your database or information system? CHECK ALL THAT APPLY.

Air

Debris

Groundwater

Leachate

Liquid Waste

Residuals

Sediment

Sludge

Soil

Subsurface Soil

Surface Soil

Solid Waste

Surface Water

Other ( SPECIFY) _______________________________ INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 5 SECTION 3. SYSTEM STRUCTURE AND OPERATIONS 3.1 What database software does your database or information system use to store data? CHECK ALL THAT APPLY.

DB2

Dbase

FileMaker

Foxpro

Informix

Lotus Notes

Microsoft Access

Microsoft Excel

Microsoft SQL Server

Oracle

Paradox

Sybase

Other ( SPECIFY) _______________________________

3.2 Do you use a separate application to access your data?

Yes

No ( GO TO QUESTION 3.4)

3.3 If yes to question 3.2, what programming language is the application written in? CHECK ALL THAT APPLY.

C++

Dbase

Delphi ( Visual Pascal)

Foxpro

HTML

Javascript

Lotus Notes

Microsoft Access

Paradox

Pascal

Powerbuilder

SQL

Visual Basic

XML

Other ( SPECIFY) _______________________________ INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 6 3.4 What information specific to ICs does your database or information system track? CHECK ALL THAT APPLY. Site Characteristics

Changes in Land Ownership

Cleanup Action Type ( e. g., removal, remedial)

Future Land Use/ Changes in Land Use

Geographic Location

Landowner

Legal Description of the Land

Maps

Physical Boundaries of Affected Resources ( e. g., ground water plumes, areas of contaminated soil)

Residual Contamination

Responsible Party

Other ( SPECIFY)

_________________________________

IC Characteristics

General Type ( e. g., proprietary control, government control, information device, enforceable agreement)

Specific Type ( e. g., easement, covenant, ordinance, permit)

Objective or Performance Goal

Affected Area( s) of Site

Operable Unit( s) Affected

Activities or Uses Restricted ( e. g., excavation restriction, prohibition on installation of drinking water wells)

Media Restricted

Duration ( e. g., < 10 years)

Other ( SPECIFY) _________________________________ Continued... INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 7 3.4 What information specific to ICs does your database or information system track? ( Cont'd) CHECK ALL THAT APPLY. Selection/ Implementation

Responsible Party

Start Date

Completion Date

Termination Date

Revisions to Documents Selecting ICs ( e. g., Records of Decision, Consent Decrees, Administrative Orders)

Property Rights Conveyed

Other ( SPECIFY) _________________________________

Monitoring

Responsible Party

Frequency

Dates

Type ( e. g., site inspection, media sampling, reporting, certifications)

Media Affected

Findings

Violations

Submission of Required Reports

Property Transfers

Other ( SPECIFY) _________________________________

Continued... INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 8 3.4 What information specific to ICs does your database or information system track? ( Cont'd) Enforcement

Legal Authority

Responsible/ Authorized Party

Notices of Violation

Remedy ( e. g., fine, penalty, corrective action)

Status of Remedy ( e. g., proposed, pending, completed)

Other ( SPECIFY) _________________________________

Costs

Implementation

Monitoring

Enforcement

Savings Attributable to IC Use

Other ( SPECIFY) _________________________________

3.5 How many IC data elements does your database or information system track?

1 and  10

> 10 and  25

> 25 and  50

> 50 and  75

> 75 and  100

> 100 and  150

> 150 and  200

> 200 and  250

> 250 and  300

> 300 and  400

> 400 and  500

> 500 INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 9 3.6 How do you initially receive information on the existence of ICs? CHECK ALL THAT APPLY.

Notified by Local Government Office

Notified by State Government Office

Notified by Party Responsible for IC Implementation

Notified by Party Responsible for IC Monitoring

Notified by Party Responsible for IC Enforcement

Review of Local Government Controls ( e. g., ordinances) for Revisions

Review of State Government Controls ( e. g., ground water management zones) for Revisions

Title Searches at County Recorder of Deeds Office

Other ( SPECIFY) _________________________________ INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 10 3.7 How is information received to populate your database or information system for new ICs? CHECK ALL THAT APPLY.

Obtained from Party Responsible for IC Implementation

Obtained from Party Responsible for IC Monitoring

Obtained from Party Responsible for IC Enforcement

Obtained Through Review of Local Government Controls ( e. g., ordinances) for Revisions

Obtained Through Review of State Government Controls ( e. g., ground water management zones) for Revisions

Obtained Through Title Searches at County Recorder of Deeds Office

Provided by Local Government Office

Provided by State Government Office

Provided by Party Responsible for IC Implementation

Provided by Party Responsible for IC Monitoring

Provided by Party Responsible for IC Enforcement

Other ( SPECIFY) _________________________________

3.8 Is your database or information system updated when IC conditions change?

Yes

No ( GO TO QUESTION 3.10) INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 11 3.9 If yes to question 3.8, how is information received to update your database or information system when IC conditions change? CHECK ALL THAT APPLY.

Obtained from Party Responsible for IC Implementation

Obtained from Party Responsible for IC Monitoring

Obtained from Party Responsible for IC Enforcement

Obtained Through Review of Local Government Controls ( e. g., ordinances) for Revisions

Obtained Through Review of State Government Controls ( e. g., ground water management zones) for Revisions

Obtained Through Title Searches at County Recorder of Deeds Office

Provided by Local Government Office

Provided by State Government Office

Provided by Party Responsible for IC Implementation

Provided by Party Responsible for IC Monitoring

Provided by Party Responsible for IC Enforcement

Other ( SPECIFY) _________________________________

3.10 Do you have a quality assurance procedure to validate information about ICs before it is entered into your database or information system?

Yes

No ( GO TO QUESTION 3.13) INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 12 3.11 If yes to question 3.10, what is the quality assurance process? CHECK ALL THAT APPLY.

Require Accuracy Sign off as Part of Data Submission

Technical Reviewer Verification

Verify Against List of Legitimate Responses

Verify Against Secondary Source of Information ( e. g., report, database)

Other ( SPECIFY) _________________________________

3.12 If yes to question 3.10, what are the costs of the quality assurance process?

3.13 Who is responsible for data entry?

3.14 How frequently is new data entered into your database or information system?

Daily

Weekly

Monthly

Quarterly

Biannually

Annually

Other ( SPECIFY) _________________________________ INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 13 3.15 How soon after entry into the database or information system is new data accessible to users?

Immediately

Within One Day

Within One Week

Within One Month

Within Three Months

Within Six Months

Within One Year

Other ( SPECIFY) _________________________________

3.16 Do you have a quality assurance procedure for data entry?

Yes

No ( GO TO QUESTION 3.19)

3.17 If yes to question 3.16, what is the quality assurance process? CHECK ALL THAT APPLY.

Generate Reports to Compare Entered Values to Original Data

Generate Summary Report of Entered Information

On screen Review of Input Data

Spot Check Quality Assurance

Technical Reviewer Verification

Verify Against List of Legitimate Responses

Other ( SPECIFY) _________________________________

3.18 If yes to question 3.16, who is responsible for quality assurance?

3.19 Does your database or information system generate standard reports?

Yes

No ( GO TO QUESTION 3.22) INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 14 3.20 If yes to question 3.19, what standard reports does your database or information system generate? CHECK ALL THAT APPLY.

Breached ICs

Cost of ICs

Duration of ICs

Enforcement Requirements

Implementation Status of ICs

List of Media Impacted by ICs

List of Sites With ICs

List of Types of ICs

Monitoring Findings

Monitoring Requirements

Sites With Changes in Ownership

Other ( SPECIFY) _________________________________

3.21 If yes to question 3.19, are you willing to make copies of the standard reports generated by your database or information system available to EPA Headquarters?

Yes

No 3.22 Does your database or information system permit ad hoc queries of all data elements?

Yes

No ( EXPLAIN WHY IT DOESN'T) _____________________________________

_____________________________________

_______________________________

3.23 Does your database or information system have a GIS component?

Yes ( DESCRIBE)

No _____________________________________

_____________________________________

_______________________________ INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 15 SECTION 4. USER ACCESS AND INFORMATION SHARING 4.1 Who are the users of your database or information system? CHECK ALL THAT APPLY.

Site Managers

Local Government

Zoning Officers

State Government

Health Officers

The Public

Parties Responsible for IC Implementation

Parties Responsible for IC Monitoring

Parties Responsible for IC Enforcement

County Recorder of Deeds Office

Federal Agencies

Other ( SPECIFY) _________________________________

4.2 Does the public have access to your system?

Yes

No ( GO TO QUESTION 4.4)

4.3 How does the public access your system? CHECK ALL THAT APPLY.

Internet

Telephone

Public Library

Mail

Office Visit

Other ( SPECIFY) _________________________________

4.4 Is data availability limited depending on who is accessing the system?

Yes

No ( GO TO QUESTION 4.6)

4.5 If yes to question 4.4, describe how and to whom availability of data in your database or information system is limited. INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 16 4.6 Have you identified any limitations with your database or information system?

Yes

No ( GO TO QUESTION 4.9)

4.7 If yes to question 4.6, what are the limitations? CHECK ALL THAT APPLY.

Access Limitations ( e. g., difficult to access information, system only accessible from certain computers)

Data Availability ( e. g., difficult to gather IC information)

Data Quality ( e. g., difficult to keep information current)

Difficult to Use ( e. g., not intuitive, requires expertise to use.)

Limited Usefulness ( e. g., system does not contain necessary information, desired reports are not available through system)

Performance Limitations ( e. g., system is too slow, cannot hold much data)

Timing Limitations ( e. g., data not available in a timely manner, information not available for data entry in a timely matter)

Other ( SPECIFY) _________________________________

4.8 If yes to question 4.6, describe how the limitations could be or have been addressed.

4.9 Would you recommend your system to other agencies that do not have an ICs database or information system?

Yes

No ( EXPLAIN WHY) _____________________________________

_____________________________________

_______________________________ INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 17 4.10 Would you be willing to exchange data or system design information with other agencies to coordinate access to information about ICs?

Yes

No ( EXPLAIN WHY) _____________________________________

_____________________________________

_______________________________

SECTION 5. LESSONS LEARNED 5.1 Is there any crucial information related to ICs that your database or information system does not track?

Yes ( SPECIFY)

No _____________________________________

_____________________________________

_______________________________

5.2 What kinds of information about ICs have proved to be most valuable to your program?

5.3 What kinds of information about ICs have proved to be least valuable to your program?

5.4 What advice can you give to other agencies/ organizations that intend to track the use of ICs?

5.5 Would you be willing to participate in a broader, standardized ICs tracking effort sponsored by U. S. EPA?

Yes ( SPECIFY)

No _____________________________________

_____________________________________

_______________________________ INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 18 5.6 What are the particular needs or issues associated with tracking ICs for your agency/ organization?

5.7 Do you have any additional comments?

SECTION 6. RESPONSIBILITIES AND COSTS 6.1 What kinds of ICs does your agency/ organization have any responsibility for selecting, planning, designing, implementing, overseeing, monitoring, and/ or enforcing? CHECK ALL THAT APPLY. Enforceable Agreements

Administrative Consent Orders

Consent Decrees

Contracts

Unilateral Administrative Orders

Other ( SPECIFY)

_________________________________

Governmental Controls

Administrative Permit Programs

Alteration

Building

Demolition

Development

Excavation

Ground Water Management

Well Drilling

Other ( SPECIFY)

___________________________ Continued... INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 19 SECTION 6. RESPONSIBILITIES AND COSTS 6.1 What kinds of ICs does your agency/ organization have any responsibility for selecting, planning, designing, implementing, overseeing, monitoring, and/ or enforcing? ( Cont'd) CHECK ALL THAT APPLY. Governmental Controls ( Cont'd)

Base Use Plans

Local Ordinances

State Legislation

Subdivision Regulations

Zoning Ordinances

Zoning Amendments

Zoning Variances

Overlay Zoning

Other Zoning Restrictions ( SPECIFY) _________________________________

Ground Water Protection Zone

Other ( SPECIFY) _________________________________

Informational Devices

Advisories

Drinking Water

Fishing

Food

Health

Swimming

Other ( SPECIFY) _____________________________

Announcements

Radio

Television

Other ( SPECIFY) _____________________________

Listings

Local Hazardous Waste Registry

Military Hazardous Waste Registry

State Hazardous Waste Registry

Other ( SPECIFY) _____________________________

Continued... INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 20 6.1 What kinds of ICs does your agency/ organization have any responsibility for selecting, planning, designing, implementing, overseeing, monitoring, and/ or enforcing? ( Cont'd) CHECK ALL THAT APPLY. Informational Devices ( Cont'd)

Notices

Deed Notices

Notices to State Regulators Before Changes in Land Ownership

Notices to State Regulators Before Changes in Land Use

Other ( SPECIFY) _____________________________

One Call Systems

Local

State

Other ( SPECIFY) _____________________________

Publications

Federal Register

Newspaper

State Register

Other ( SPECIFY) _____________________________

Public Education

( SPECIFY) _____________________________

Proprietary Controls

Easements

Affirmative

Appurtenant

Conservation

In Gross

Negative

Equitable Servitudes

Restrictive Covenants

Reversionary Interests

Deed Restriction of Unspecified Type

Other ( SPECIFY) ________________________________

Other

Other ( SPECIFY) ________________________________ INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Questions Answers 21 6.2 Estimate the full time equivalent ( FTE) personnel required by your agency/ organization for IC selection, planning, design, implementation, oversight, monitoring, and/ or enforcement.

6.3 Estimate the annual personnel costs incurred by your agency/ organization for IC selection, planning, design, implementation, oversight, monitoring, and/ or enforcement.

6.4 Does your agency/ organization track personnel costs by staff position and percent of time spent on IC related tasks?

Yes

No 6.5 Who is the point of contact for personnel cost information? Name: ________________________________

Title:________________________________

Telephone No.: _ _ _  _ _ _  _ _ _ _

( Ext._____)

E mail Address: __________________________

6.6 May EPA Headquarters contact him or her directly to learn more about your personnel costs?

Yes

No INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY 22 6.7 Estimate the annual personnel costs incurred by your agency/ organization for IC selection, planning, design, implementation, oversight, monitoring, and/ or enforcement. Total Approximate IC Annual Personnel Costs = Number of Staff x Annual Compensation x Percentage of Time Spent on IC Related Tasks. Annual Compensation includes salaries, benefits, and other costs of employing staff.

Staff Position Number of Staff Annual Compensation Percentage of Time Spent on IC Related Tasks Total Approximate IC Annual Personnel Costs Planner Engineer Administrative Supervisor Project Manager Attorney Budget Officer Community Facilitator/ Meeting Planner Support Staff/ Record Keeping Data Collection and Entry Data Analysis Geocoding/ Digital Mapping Programming Computer System Maintenance Website Maintenance Inspectors Geologists Hydrologists Public Health Laboratory Contractor Support Other ( SPECIFY)

Other ( SPECIFY)

Other ( SPECIFY) INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY Staff Position Number of Staff Annual Compensation Percentage of Time Spent on IC Related Tasks Total Approximate IC Annual Personnel Costs 23 Totals Questions Answers 6.8 Estimate the annual capital costs incurred by your agency/ organization for IC selection, planning, design, implementation, oversight, monitoring, and/ or enforcement.

6.9 Estimate the annual operating costs incurred by your agency/ organization for IC selection, planning, design, implementation, oversight, monitoring, and/ or enforcement.

6.10 Does your agency/ organization track capital and operating costs by component and percent of cost spent on IC related tasks?

Yes

No 6.11 Who is the point of contact for capital and operating cost information? Name: ________________________________

Title:________________________________

Telephone No.: _ _ _  _ _ _  _ _ _ _

( Ext._____)

E mail Address: __________________________

6.12 May EPA Headquarters contact him or her directly to learn more about your capital and operating costs?

Yes

No INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY 24 6.13 Estimate the direct annual capital and operating costs your agency incurs for IC selection, planning, design, implementation, oversight, monitoring, and/ or enforcement. Total Approximate IC Annual Capital and Operating Costs = ( Annual Capital Cost + Annual Operating Cost) x Percentage of Cost Spent on IC Related Tasks.

Component Annual Capital Cost Annual Operating Cost Percentage of Cost Spent on ICRelated Tasks Total Approximate IC Annual Capital & Operating Costs Computers:

Hardware Software Web Access Data Purchase Outsourced Staff Data Management/ Storage Other ( SPECIFY)

Other ( SPECIFY)

Other Direct Costs:

Acquisition of Real Property Interests Surveys Investigations Inspection Monitoring Issuing Notices Mapping Global Positioning System Scanning Laboratory Costs Travel Meeting Facilities Vehicle ( fuel, maintenance, mileage)

Continued... INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY 6.13 Estimate the direct annual capital and operating costs your agency incurs for IC selection, planning, design, implementation, oversight, monitoring, and/ or enforcement. Total Approximate IC Annual Capital and Operating Costs = ( Annual Capital Cost + Annual Operating Cost) x Percentage of Cost Spent on IC Related Tasks.

Component Annual Capital Cost Annual Operating Cost Percentage of Cost Spent on ICRelated Tasks Total Approximate IC Annual Capital & Operating Costs 25 Other Direct Costs: ( Cont'd)

Supplies/ Services ( fuel, phone)

Office Supplies Equipment Other ( SPECIFY)

Other ( SPECIFY)

Other ( SPECIFY)

Other ( SPECIFY)

Training and Outreach for:

Community Government Staff Government Officials Emergency Medical Technicians Enforcement/ Monitoring Staff In House Computer Staff Real Estate, Legal, Construction, Utility Groups Other ( SPECIFY)

Other ( SPECIFY)

Other ( SPECIFY) 26 INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY 6.14 If the costs your agency/ organization incurs selecting,

planning, designing, implementing, overseeing,

monitoring, and/ or enforcing ICs are offset through subsidy or direct contribution, indicate the entity that offsets your costs and the mechanism used to do so and estimate the percentage contribution of the offsets to the total cost of ICs. LOCAL GOVT. STATE GOVT. TRIBAL GOVT. FEDERAL RESPONSIBLE PARTIES NONE OTHER ( SPECIFY) OTHER ( SPECIFY)

EXAMPLE ROW 3% 5% 0% 8% 2% 2% 0% 0%

COOPERATIVE AGREEMENTS INTERAGENCY AGREEMENTS STATE SUPERFUND CONTRACTS CONSENT DECREES ADMINISTRATIVE CONSENT ORDERS UNILATERAL ADMINISTRATIVE ORDERS CASH OUT SETTLEMENT OPTIONS PROSPECTIVE PURCHASER AGREEMENTS SUPPLEMENTARY ENVIRONMENTAL PROJECTS COST SHARING ARRANGEMENTS ( SPECIFY)

IN KIND CONTRIBUTIONS TAX BASED BONDS TRUST FUNDS Continued... INSTITUTIONAL CONTROLS TRACKING SYSTEMS AND COSTS SURVEY ( CONT'D) EPA ICR No: 2043.01 OMB Control No: 2050 XXXX Expiration Date: MM/ DD/ YYYY 6.14 If the costs your agency/ organization incurs selecting,

planning, designing, implementing, overseeing,

monitoring, and/ or enforcing ICs are offset through subsidy or direct contribution, indicate the entity that offsets your costs and the mechanism used to do so and estimate the percentage contribution of the offsets to the total cost of ICs. LOCAL GOVT. STATE GOVT. TRIBAL GOVT. FEDERAL RESPONSIBLE PARTIES NONE OTHER ( SPECIFY) OTHER ( SPECIFY)

27 GRANTS ( SPECIFY)

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OTHER ( SPECIFY)