SUPPORTING STATEMENT – INFORMATION COLLECTION REQUEST (ICR)

Federal Implementation Plans to Reduce Interstate Transport of 

Fine Particulate Matter and Ozone (Renewal)

1.0 Identification of the Information Collection

1.1 Title of the Information Collection

Federal Implementation Plans to Reduce Interstate Transport of Fine Particulate Matter 

and Ozone, EPA ICR Number 2391.03, OMB Control Number 2060-0667.

1.2 Short Characterization/Abstract

The United States Environmental Protection Agency (EPA) is renewing an information 

collection request for the Federal Implementation Plans to Reduce Interstate Transport of Fine 

Particulate Matter and Ozone (Transport Rule) to allow for future implementation of the rule. 

The Transport Rule was published in the Federal Register on August 8, 2011 (76 FR 48208)1and 

compliance obligations were originally scheduled to commence on January 1, 2012. However, 

the U.S. Court of Appeals for the District of Columbia Circuit (D.C. Circuit) stayed the rule prior 

to implementation and subsequently issued an opinion vacating the rule. On April 29, 2014, the

U.S. Supreme Court reversed the D.C. Circuit opinion vacating the Transport Rule. On June 26, 

2014, the U.S. Department of Justice filed a motion on EPA’s behalf at the D.C. Circuit seeking 

to have the stay lifted and to allow compliance obligations under the rule to commence as of 

January 1, 2015. The D.C. Circuit has not yet ruled on that motion. 

Once implemented, the Transport Rule’s requirements would incorporate and supersede 

the existing requirements under the Clean Air Interstate Rule (CAIR). CAIR’s requirements, in 

turn, incorporated certain requirements under the NOX SIP Call. The Transport Rule includes 

new reporting requirements and, like CAIR and the NOX SIP Call, combines these requirements 

with existing requirements from the Acid Rain Program (ARP) under Title IV of the Clean Air 

Act (CAA) Amendments of 1990. Each of these existing requirements has an approved ICR in 

place. The current ICRs are: CAIR (EPA ICR Number 2152.05/OMB Control Number 2060-

0570), NOX SIP Call (EPA ICR Number 1857.06/OMB Control Number 2060-0445) and ARP

(EPA ICR Number 1633.16/OMB Control Number 2060-0258).

This supporting statement and ICR are being submitted to account for the incremental 

burden associated with the Transport Rule (TR), once it is implemented and supersedes CAIR. 

As such, this supporting statement references the burden analysis included in EPA ICR Numbers

2152.04, 1857.05, and 1633.15, and estimates the change in burden resulting from the TR

beyond the scope of the existing ICR for the ARP. The burden included in this ICR includes (1) 

for units not subject to the ARP, start-up and capital costs, to the extent those costs were not 

already incurred under CAIR, and ongoing annualized capital costs originally incurred under 

CAIR, and (2) for all TR-affected units, operating and maintenance costs incremental to any 

ARP-related operation and maintenance costs, including any incremental operating and 

 

1 A supplemental rule extending the Transport Rule’s ozone-season NOX requirements to sources in five additional 

states was published in the Federal Register on December 27, 2011 (76 FR 80760).
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maintenance costs previously incurred under CAIR. Under the TR, the burden and costs 

accounted for under the CAIR ICR (EPA ICR Number 2152.04) would no longer occur as part 

of CAIR implementation. Instead, all such ongoing burdens and costs would be accounted for 

under this ICR as part of TR implementation.

EPA has published a Notice of Proposed Rulemaking in the Federal Register that details

the additions and changes to reporting requirements associated with the TR. Taken together, the 

existing emission reporting requirements under the ARP and CAIR cover many of the same 

sources and have similar or identical emission reporting requirements as the TR. The 

incremental burden imposed by the TR in general is described below.

First, sources located in Kansas, Minnesota, Nebraska, and Oklahoma, which were not 

affected under CAIR, will now be affected under the TR. Specifically, sources in Kansas, 

Minnesota and Nebraska will be subject to TR NOX and SO2 mass emissions annual reporting

requirements, and sources in Oklahoma will be subject to TR NOX mass emissions ozone season 

reporting requirements. Non-ARP sources in these states will need to install and operate CEMS 

(or an approved alternative) and meet 40 CFR part 75 requirements for NOX and/or SO2, as 

applicable. ARP sources in these states will need to make a one-time upgrade to their data 

handling and acquisition system (DAHS) software.

Second, sources located in Georgia and Texas will now be required to report NOX mass 

emissions during the five-month ozone season, in addition to being required to report NOx and 

SO2 mass emissions for the full year as currently required under CAIR. This change will require 

some sources to modify their DAHS software.

Third, sources located in Florida, Louisiana, and Mississippi, which under CAIR were 

required to report NOX and SO2 mass emissions annually, will now only be required to report 

NOX mass emissions for the TR ozone season. (ARP-affected sources in these states will still be 

required to report SO2 mass emissions and NOX emission rate under that program.) This change 

is a reduction in reporting requirements, but sources may need to modify their DAHS software.

Fourth, sources located in Connecticut, Delaware, Massachusetts, and the District of 

Columbia, which were affected under CAIR, are not affected under the TR. (ARP-affected 

sources in these states will still be required to report SO2 mass emissions and NOX emission rate 

under that program.) This change is a reduction in reporting requirements for these sources. 

Sources located in Alabama, Illinois, Indiana, Iowa, Kentucky, Maryland, Michigan, 

Missouri, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, 

Tennessee, Virginia, West Virginia, and Wisconsin will continue to monitor and report NOX and 

SO2 mass emissions on a year-round basis (as well as NOX mass emissions on an ozone-season 

basis) under the TR as currently required under CAIR. Sources located in Arkansas will, under 

the TR, continue to report NOX mass emissions for the ozone season only as currently required 

under CAIR.

To meet the TR emissions monitoring, recordkeeping and reporting requirements, 

affected units are required to: (1) submit a monitoring plan and certification reports for each 
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monitoring system, (2) record hourly emissions data, and (3) submit reports of their emissions 

and operating data to EPA. All sources affected by the TR will be required to monitor and report 

NOX and/or SO2 emissions in accordance with 40 CFR part 75. Sources with monitors already 

certified under 40 CFR part 75 may be exempt from initial certification requirements.

Like the ARP, the NOX SIP Call, and CAIR, the TR employs emission trading programs 

as a mechanism to reduce the overall costs of reducing emissions. In addition to the emission 

monitoring, recordkeeping, and reporting requirements just described, trading programs require 

other tasks that involve an information collection burden for sources, EPA, and permitting 

authorities. These tasks include: (1) transferring and tracking allowances; (2) permitting; and (3) 

determining annual year end compliance. Emission allowance market participants using the 

CAMD Business System (CBS) to transfer allowances are required either to complete and 

submit an allowance transfer form for each allowance transfer or to perform the transfer on-line. 

CBS users that are not covered sources, such as allowance brokers, fuel suppliers, and 

environmental groups, are also required to file a onetime account information application to 

establish accounts in CBS. 

The TR regulates sources directly through Federal Implementation Plans (FIPs) and does 

not impose any reporting obligations on non-industry entities. States have the option to replace 

the FIPs in whole or in part by submitting revisions to their State Implementation Plans (SIPs).

2.0 Need for and Use of the Collection

2.1 Need/Authority for the Collection

Emissions data are of vital importance to the EPA for fulfilling a host of monitoring, 

standard-setting, rulemaking, reviewing, and reporting duties. Section 110(a)(2)(D) of the CAA, 

often referred to as the “good neighbor” provision of the Act, requires states to prohibit certain 

emissions because of their impact on air quality in downwind states. Specifically, it requires all 

states, within 3 years of promulgation of new or revised NAAQS, to submit state implementation 

plans (SIPs) that prohibit certain emissions of air pollutants because of the impact they would 

have on air quality in other states. The Transport Rule addresses the requirement in section 

110(a)(2)(D)(i)(I) regarding the prohibition of emissions within a state that will significantly 

contribute to nonattainment or interfere with maintenance of NAAQS in any other state. EPA 

issued two previous rules interpreting and clarifying the requirements of section 

110(a)(2)(D)(i)(I). The NOX SIP Call, promulgated in 1998, was largely upheld by the U.S. 

Court of Appeals for the D.C. Circuit in Michigan v. EPA, 213 F.3d 663 (D.C. Cir. 2001). 

CAIR, promulgated in 2005, was remanded by the D.C. Circuit in North Carolina v. EPA, 531 

F.3d 896 (D.C. Cir.), modified on rehearing, 550 F.3d. 1176 (D.C. Cir. 2008). 

Section 301(a)(1) of the CAA also gives the EPA Administrator general authority to 

prescribe such regulations as are necessary to carry out her functions under the Act, 42 U.S.C. § 

7601(a)(1). Pursuant to this section, EPA has the authority to clarify the applicability of CAA 

requirements. In this action, among other things, EPA is clarifying the applicability of section 

110(a)(2)(D)(i)(I) by identifying NOX and SO2 emissions that must be prohibited with respect to 

the PM2.5 NAAQS promulgated in 1997 and 2006 and the 8-hour ozone NAAQS promulgated in 
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1997. In addition, section 110(k)(1)(A) calls for the Administrator to establish criteria for 

determining whether SIP submissions are complete, 42 U.S.C. sec. 7410(k)(1)(A). Among other 

things, this action helps to clarify what SIP submissions must contain to address the requirements 

of section 110(a)(2)(D)(i).

Section 110(c)(1) of the Act also requires EPA to act in certain circumstances where state 

SIP deficiencies exist. Specifically, section 110(c)(1) requires the Administrator to promulgate a 

federal implementation plan (FIP) at any time within two years after the Administrator either (1) 

finds that a state has failed to make a required SIP submission; (2) finds that a SIP submission is 

incomplete; or (3) disapproves a SIP submission. The Administrator must promulgate a FIP in 

the above-described scenarios unless the state corrects the deficiency and the Administrator 

approves the SIP revision before the Administrator promulgates the relevant FIP. 42 U.S.C. sec. 

7410(c)(1).

2.2 Practical Utility/Users of the Data

Emissions data and related information on stationary point and nonpoint sources, as well 

as nonroad mobile and onroad mobile sources, are routinely used by OAP, OAQPS, and the EPA

Regional Offices in carrying out a variety of activities. These activities support regulatory

functions as well as functions that are more programmatic in nature such as trend analyses. Such

projects include:

● Evaluation of existing control strategies, such as the Transport Rule, for states and larger

areas;

● Evaluation of proposed control strategies for states and larger areas, including

applications of regional scale models;

● Development of national control strategies and preparation of Regulatory Impact

Analyses (RIAs);

● Preparation and publication of national summaries of emissions, including trend analyses;

● Development and maintenance of a database to assist in the identification of important 

source categories for future regulation; and

● Preparation of the stationary source portion of a report to Congress on SO2 emissions. 

This report is required by Section 406 of the CAA and is due on a five-year cycle that

began on January 1, 1995. The report must contain an inventory of national annual SO2

emissions from industrial sources (as defined in Title IV of the CAA).

EPA's Office of Research and Development (ORD) uses emission source data in

determining priorities for control technology research and as a key data component in the

application of regional scale models. The EPA's Regional Offices use emission and other source

parameters to support source inspections and in the analyses of the impact of new or modified
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sources within an area. EPA's Emission Factor and Inventory Group (EFIG) uses the data to

assess and analyze trends in criteria pollutant emissions over time.

In addition to supporting projects and initiatives internal to EPA, both the Office of Air 

Quality Planning and Standards (OAQPS) and the Regional Offices respond to numerous 

requests for reports on emissions from sources. Most requests come from contractors and

consultants involved in special studies; a smaller number come from the press, universities, and

others involved in research.

The collection of emissions data specific to nonattainment areas for certain criteria air

pollutants is necessary to comply with requirements specified in Title I of the CAA. States with

nonattainment areas rely on current emissions information from point, nonpoint, and mobile 

sources to revise their SIPs and to plan for emission reductions mandated by the CAA. In 

addition, a state-wide inventory compiled at least every three years for all point, nonpoint, and 

mobile sources is considered to be a key tool to assist states in meeting CAA requirements that 

address emissions tracking, compliance issues, and mid-course adjustments. State-wide 

emission inventories can be used by states affected by pollution transport from upwind areas to 

develop more efficient control strategies to meet NAAQS. State-wide emission inventories that 

were developed by EPA (the National Emissions Inventory, or NEI) are being used by the 

Regional Planning Organizations (RPOs) as the starting point for the development of state-wide 

emission inventories used in the regional haze program to define control strategies.

Accurate data from emissions monitoring under 40 CFR part 75 is indispensable to 

successful implementation of the trading programs for two reasons:

● Accurate emissions data is integral in EPA and state assessment of the impact of the 

trading programs in reducing NOX and SO2 emissions, and therefore in assisting states in 

meeting the ozone and fine particulate matter NAAQS. By reducing levels of NOX and 

SO2 emissions, the trading programs reduce the adverse effects of the transport of ozone, 

ozone precursors, and fine particles from upwind states.

● EPA enforces the program (in part) by comparing emissions data measured, recorded, 

and reported under 40 CFR part 75 from affected sources with the number of allowances 

held in the respective compliance accounts of such affected sources.

Information collected on allowance transfers in the CAMD Business System (CBS) is 

used by EPA to track allowances for the purpose of determining compliance with the NOX and 

SO2 trading programs. Information on allowance transfers is also used by participants in the 

allowance market and the public to evaluate the activities of affected sources, and by EPA for 

program evaluation.

Permit applications, including proposed compliance plans, are used by states and EPA to 

issue operating permits. A permit application is legally binding on the owners, operators, and 

designated representative of a source until the permit is issued. Affected sources rely on the 

permit for information regarding the applicable requirements with which they must comply. 
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Because permit applications and permits are public documents, they may be used by the public to 

examine activities undertaken by affected sources.

Together, the emissions data, CBS, and operating permits help to provide the 

accountability to allow the NOX and SO2 trading programs to function without more stringent 

command and control approaches.

3.0 Nonduplication, Consultations, and Other Collection Criteria

3.1 Nonduplication

Reporting requirements for affected sources for the TR NOX and SO2 trading programs

are integrated with existing reporting formats under 40 CFR part 75. These reporting formats are 

currently used by ARP-affected units under Title IV of the Act, as well as by CAIR-affected

units. Thus, for units subject to ARP or TR quarterly reporting requirements, or both, only one 

submission will need to be made on a quarterly basis. (CAIR trading program reporting will be 

superseded by TR reporting.)

Permitting requirements for TR-affected sources are integrated with other source 

permitting requirements under Title V.

3.2 Public Notice 

EPA previously provided public notice of the proposed ICR in the Federal Register on 

February 6, 2014 (79 FR 7179). EPA received no comments during the comment period 

announced in that notice. Docket ID No. EPA-HQ-OAR-2009-0491 is available for online 

viewing at www.regulations.gov or in-person viewing at the Air and Radiation Docket in the 

EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., NW, 

Washington, D.C.

3.3 Consultations

During the development of CAIR, discussions were held with the National Association of 

Clean Air Agencies (NACAA) to clarify EPA's logic in developing the emissions reporting 

requirements contained within the rule and to answer questions. Information arising from those 

discussions, as well as the decision handed down in the North Carolina v. EPA court case related 

to CAIR (531 F.3d at 908), was taken into consideration when developing the TR emission 

reporting requirements.

The requirements for the TR have been developed using the methodology found in 

existing trading programs, consultations with interested parties, and reflections on the decision 

handed down in the North Carolina court case (531 F.3d at 908). EPA modified the cap-andtrade strategy previously used in the ARP, the Ozone Transport Commission's NOX Budget 

Program, the NOX SIP Call, and CAIR in order to address the D.C. Circuit’s concerns related to 

"emissions from sources that contribute significantly and interfere with maintenance" in another 

state. North Carolina (531 F.3d at 908). This resulted in the development of an unlimited 
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intrastate and limited interstate trading program based on state-specific budgets rather than 

regional caps.

EPA held two workshops with states that participated in the NOX SIP Call or OTC 

programs to discuss lessons learned in those programs when formulating the emission trading 

requirements of CAIR. Additionally, EPA has had frequent interaction with affected sources and 

states in the course of implementing the ARP, NOX SIP Call, and CAIR trading programs. In 

2009, EPA held a series of conference calls and meetings with stakeholders to identify potential 

options for addressing the North Carolina v. EPA court decision. EPA received comments 

following the workshops and through other interactions and considered and incorporated those 

comments into the TR and this ICR.

Finally, as part of updating the ICR for the ARP monitoring requirements (40 CFR part 

75), EPA contacted various affected parties to gather information on CEM capital costs, CEM 

operation and maintenance costs, fuel meter capital costs, and CEM/fuel meter testing costs. 

That information has been used in this ICR, as appropriate.

3.4 Effects of Less Frequent Collection

Submittal of allowance trading and emissions information on an annual basis (and/or on 

an ozone-season basis, as applicable) provides the data necessary to determine whether state 

budgets have been exceeded. If this information collection were not carried out annually for

sources subject to the TR, EPA would not be able to verify that emission reductions necessary to 

meet each state's NOX and SO2 emission budgets were being achieved. Because the NOX and 

SO2 budgets prescribed have been deemed essential in order to aid downwind states in attaining 

the NAAQS in a timely manner, data collected less frequently would be of little or no use.

Quarterly collection of emissions data allows for frequent checking of data for errors and

provides rapid feedback to industry of needed adjustments to data collection systems, thereby

promoting more accurate and reliable emissions data. Also, existing federal and state emission

monitoring programs often require quarterly reporting, or in some cases, monthly. Less frequent

collection, such as semi-annually or annually, would increase the amount of preparation and

review time at the end of the reporting period both for regulated sources and for EPA, and would 

slow down the process of compliance determination.

3.5 General Guidelines

This ICR does not violate any of OMB's guidelines for information collections.

3.6 Confidentiality

Any data that is submitted to EPA under this rule will be considered in the public domain 

and cannot be treated as confidential.

As required by Section 114 of the CAA, estimates or measurements of emissions must be 

treated as non-confidential. Under Agency procedures, data items relating to the computation of 
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emissions may be identified as sensitive by a state and are then treated as "state-sensitive" by

EPA. The potentially state-sensitive items include the following: Process rate, boiler design 

capacity, emission estimation codes, percent space heat, operating rate, and maximum operation 

rate/hour. Where federal and state requirements are inconsistent, the appropriate EPA Regional 

Office should be consulted.

3.7 Sensitive Questions

This information collection does not ask any questions concerning sexual behavior or

attitudes, religious beliefs, or other matters usually considered private.

4.0 The Respondents and the Information Requested

4.1 Respondents/Standard Industrial Classification (SIC) Codes

This ICR estimates a burden for affected industry sources to monitor NOX and SO2 mass

emissions and demonstrate compliance with NOX and SO2 control measures. Sources report data 

directly to EPA as required to meet the monitoring and reporting requirements of 40 CFR part 

75. This rule affects large electric utility sources which are generally classified as either SIC 

4911 - Electric Services, or 4931 - Electric and Other Services Combined [NAICS 221112 

Electric Power Distribution].

As noted above, the TR regulates sources directly through FIPs and does not impose any

reporting obligations on non-industry entities. However, states have the option to replace the 

FIPs in whole or in part by submitting revisions to their SIPs, including limited SIP revisions that 

would change only how TR emission allowances are allocated among the state’s affected 

sources. This ICR estimates a burden for each of the 28 states with TR-affected sources to

submit SIP revisions for that purpose.

4.2 Information Requested

The ARP and NOX SIP Call established the basic emission reporting requirements under 

40 CFR part 75. CAIR modified these requirements and the TR would continue to implement 

the changes included in the CAIR requirements. Only the incremental changes to the ARP and 

NOX SIP Call reporting requirements that would change reporting burden are discussed here.

This section describes the data items requested from affected sources for the collections

described in this ICR. This section also defines the activities in which respondents must engage 

to assemble, submit, or store these data items.

(i) Data Items, Including Recordkeeping Requirements

(a) Allowance Tracking

There are several data items required for allowance tracking activities. For each affected

source, the designated representative must submit a certificate of representation. Under 40 CFR 

§§ 97.416, 97.516, 97.616, and 97.716, a complete certificate of representation includes:
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● Identification of the source and unit;

● Dates on which the unit commenced commercial operation;

● Name and contact information for the TR designated representative and alternate (if 

applicable);

● A list of the owners and operators of each unit; and

● A certification statement and signature of the TR designated representative and alternate

(if applicable).

Certification applications are to be kept for a period of five years pursuant to the general

requirements imposed for Title V permitted facilities.

Sources and other trading program participants must also submit allowance transfer, 

allowance deduction, and compliance assurance information, as necessary.

(b) Permitting

The basic requirement for permitting is an application for a permit revision to a source's

operating permit issued under Title V of the Act. Although there is some possibility that a nonTitle V source could be affected under the TR, all TR-affected sources are assumed to be Title V 

sources for purposes of this ICR. It is assumed the permit revision application and all other 

monitoring, reporting, or recordkeeping requirements associated with Title V permitting are part 

of the baseline Title V requirements. Title V permit applications must be kept for five years 

pursuant to Title V recordkeeping requirements.

(c) Monitoring and Reporting

TR-affected sources are required to monitor NOX and/or SO2 mass emissions and record 

and report emissions data using the requirements of 40 CFR part 75. The emissions monitoring 

requirements specify that affected sources must (1) submit a monitoring plan for each affected 

unit at a source, (2) submit data for certification of each monitor, (3) record hourly operational, 

pollutant monitor, and flow monitor data for each affected unit, and (4) submit quarterly reports 

of their emissions data to EPA.

Respondents are required under 40 CFR 75.64 to submit the quarterly NOX and SO2 mass

emissions data via direct electronic submission to EPA. Such data must include a certification 

statement by the designated representative of the facility attesting to the accuracy, truthfulness, 

and completeness of the submission. Generally, all monitoring records are required to be kept 

for three years.
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(ii) Respondent Activities

The primary tasks that will be performed by respondents to meet the emissions 

monitoring requirements are: (1) completing and submitting appropriate monitoring plan forms 

for each affected source and each affected unit at a source; (2) conducting tests to certify

monitors and submitting test results to EPA; (3) recording hourly emissions data (this activity is 

generally performed electronically); (4) performing operation and maintenance activities

associated with monitoring, including quality assurance activities; (5) assuring data quality,

preparing quarterly reports of emissions data, and submitting these reports to EPA; and (6)

responding to error messages generated by such submissions. In addition, respondents will have 

to purchase the necessary monitoring hardware and electronic data reporting software (or

software upgrades).

For respondents that are also subject to the ARP, most of the burden associated with these 

activities is included in the ARP ICR.

5.0 The Information Collected – Agency Activities, Collection Methods, 

and Information Management

5.1 Agency Activities

The EPA activities associated with the TR include:

● Receiving, reviewing, and storing emission inventory data submitted by each source;

● Processing and updating data submitted by sources, including performing quality

assurance of data, and coordination of efforts to resolve errors and anomalies; and

● Fulfilling information requests.

Other EPA activities related to the TR include (1) allocation of allowances to affected 

units, (2) maintenance and administration of the NOX allowances, (3) reviewing and processing 

certificates of representation, (4) reviewing permit applications, (4) reviewing monitoring plans 

and certification applications, (5) processing, reviewing, and evaluating reports of quarterly 

emissions data from affected units, (6) calculating/reviewing annual emissions from affected 

sources, and aggregating such annual emissions for compliance assurance purposes, and (7) 

reviewing total annual emissions data submitted to track each state's progress toward meeting its 

budgets and creating a summary report of emissions. EPA uses a computer system to track and 

maintain monitoring and emissions information, and will also answer respondent questions and 

conduct audits of data submissions.
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5.2 Collection Methodology and Management

To ensure consistency region wide and to expedite data entry, EPA requires that standard

formats used for reporting under 40 CFR part 75 be used to submit the information collected for 

the TR.

Several computer systems and associated databases have been developed to (1) track

allowance activity, (2) record quarterly emissions monitoring data, and (3) calculate the number 

of allowances to be deducted each year. These systems and databases are designed to provide 

easy access to information for use by the Agency, states, regulated community, and general 

public.

The EPA has also established a Clean Air Markets website, which includes detailed

information collected from emissions reports. Those without access to the internet may use the 

Clean Air Markets Hotline to request information, including summary reports. The Agency will 

rely on these electronic means to disseminate information about the TR as the program is 

implemented.

5.3 Small Entity Flexibility

The TR applies to fossil fuel-fired units (stationary boilers and combustion turbines) that 

serve an electrical generator with nameplate capacity greater than 25 MWe. Some cogeneration 

units and solid waste incinerators are exempt from the TR if they meet certain criteria.

The low mass emissions provisions under 40 CFR 75.19 provide for optional reduced

monitoring, quality assurance, and reporting requirements for certain units that combust natural 

gas and/or fuel oil. Such units must emit no more than 100 tons of NOX annually, 50 tons of 

NOX during the ozone season (May 1 – September 30), and 25 tons of SO2 annually, and 

calculate no more than these same amounts based on specified procedures for calculating and 

reporting emissions. Units that qualify are exempted from certain requirements to install and 

operate monitoring equipment, conduct fuel sampling, and perform quality assurance or quality 

control tests. Moreover, emissions reporting requirements are significantly simplified for these 

units.

Gas- or oil-fired units that do not qualify for the low mass emissions unit provisions

under 40 CFR part 75 may still meet criteria that allows for the use of alternative methods to 

measure emissions. As discussed in the Regulatory Impact Analysis of the final ARP regulations

(October 19, 1992), smaller utilities are more likely to be dependent on these oil- and gas-fired 

units, especially very small utilities.

5.4 Collection Schedule

Collection frequency under the TR is on a quarterly basis. All affected industry sources 

will use the Emission Collection and Monitoring Plan System (ECMPS) to submit monitoring 

plan, quality assurance, certification test, and emissions data to EPA quarterly. In addition, the 
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TR requires the collection of allowance trading information as transfers are submitted, as well as 

information regarding other "event" submissions made on a one-time or annual basis. 

6.0 Estimating the Burden and Cost of the Collection

6.1 Estimating Respondent Burden

This section estimates the paperwork burden and cost of submitting permit applications,

certificates of representation, and allowance tracking and transfer materials; year-end compliance 

activities, submittal of monitoring plans, obtaining certification of each monitoring system, 

conducting monitor quality assurance activities, and recording and reporting data from CEM 

systems (or approved alternatives).

To estimate the burden and/or cost of each requirement, EPA utilized prior estimates of 

the costs of activities, estimates provided by affected utilities in comments to the Agency, and/or

estimates based on the Agency's experience in implementing existing trading programs.

The TR generally requires all affected sources to monitor their NOX emission rate, SO2

emission rate, and heat input in order to determine NOX mass emissions and SO2 mass emissions

(except that the TR does not require SO2 monitoring for sources subject to only the TR NOX

ozone program). Coal-fired units use NOX, SO2, and flow CEMS to meet those requirements. 

Oil and gas units have alternatives. For SO2, these units can use fuel sampling and analysis (or 

an SO2 default factor for pipeline natural gas) combined with a fuel flow meter. In addition, 

peaking units that burn natural gas and/or fuel oil may use an alternative method for calculating 

NOX emission rates. EPA will also allow certain low mass emissions units to use assumed 

emissions factors together with operational data to calculate emissions.

For purposes of this ICR, burdens and costs are calculated only in terms of incremental 

impacts for units subject to the ARP. Units subject to the ARP already have much of the 

monitoring and reporting capability required under the TR, and the associated burdens and costs 

are entirely or largely accounted for under the ARP ICR. Non-ARP units subject to CAIR 

similarly already have all or much of the monitoring and reporting capability required under the 

TR, but their burden and costs have been accounted for under the CAIR ICR and the ongoing 

burden, including annualized capital costs originally incurred under CAIR, will be accounted for 

under this ICR once the TR supersedes CAIR. Thus, it should be noted that the labor hours and 

cost estimates per unit identified in this document represent the weighted average burden and 

cost for all units and do not represent the actual burden and cost for a particular unit. See the 

following table for a graphical reference of state reporting classifications related to CAIR, the 

NOX SIP Call, and the TR.
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Table 6-1: 

State Reporting Classifications for the CAIR and the TR

State

CAIR 

Ozone

CAIR 

Annual

(NOX & SO2) TR Ozone

TR Annual

(NOX & SO2)

States with No Change in Classification from CAIR to TR

Alabama X X X X

Arkansas X X

Illinois X X X X

Indiana X X X X

Iowa X X X X

Kentucky X X X X

Maryland X X X X

Michigan X X X X

Missouri X X X X

New Jersey X X X X

New York X X X X

North Carolina X X X X

Ohio X X X X

Pennsylvania X X X X

South Carolina X X X X

Tennessee X X X X

Virginia X X X X

West Virginia X X X X

Wisconsin X X X X

CAIR Annual-Only States Becoming TR Annual/Ozone States

Georgia X X X

Texas X X X
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14

Table 6-1: 

State Reporting Classifications for the CAIR and the TR (cont.)

State

CAIR 

Ozone

CAIR 

Annual

(NOX & SO2) TR Ozone

TR Annual

(NOX & SO2)

CAIR Annual/Ozone States Becoming TR Ozone-Only States

Florida X X X

Louisiana X X X

Mississippi X X X

CAIR Non-Covered States Becoming TR Covered States

Kansas1 X

Minnesota X

Nebraska X

Oklahoma X

CAIR Covered States Becoming TR Non-Covered States

Connecticut X

Delaware X X

District of Columbia X X

Massachusetts X

1 Kansas is subject to the TR annual programs only. However, in 2011 EPA proposed a SIP call for Kansas to address 

transport obligations under the 1997 ozone NAAQS. 76 FR 763 (Jan. 6, 2011). If that SIP call were finalized as proposed, it is 

possible that Kansas’s obligations could be met by including Kansas sources in the TR ozone-season program. To avoid the need 

for an ICR revision in that event, this ICR encompasses the small incremental burden that would arise under that contingency. 

The following discussion highlights some of the basic differences for the categories of 

units. Included in this discussion is the consideration of monitoring and reporting that is done by

many of these sources under the ARP and CAIR Programs.

Existing units in states whose TR program coverage is the same as their CAIR program 

coverage – i.e., the 18 states subject to both the annual and ozone-season programs under both 

CAIR and the TR, and Arkansas, which is subject to only the ozone-season program under both 

rules – will have no incremental burden with regard to monitoring and reporting. These units are 

already monitoring and reporting both NOX and SO2 mass emissions on a year-round basis 

(except for Arkansas units, which under both CAIR and the TR are only required to report NOX

mass emissions for the ozone season) and will not incur additional burdens (or capital, operating,

and maintenance costs) as a result of the TR since they have already installed and are operating 

CEMS (or approved alternatives) and meet 40 CFR part 75 requirements for NOX and/or SO2, as 

appropriate. For ARP-affected units in these states, the burden and costs associated with the 

required ongoing monitoring are accounted for in the ARP ICR. This ICR incorporates the 
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15

burden and costs associated with ongoing monitoring at non-ARP units in these states, including 

annualized capital costs incurred under CAIR that would continue to be borne under the TR.

Existing units in states covered by CAIR but whose TR program coverage differs from 

their CAIR program coverage – i.e., Georgia and Texas, which are covered by only the CAIR 

annual programs but are covered by both the TR annual and ozone-season programs, and Florida, 

Louisiana, and Mississippi, which are covered by both the CAIR annual and ozone-season 

programs but are covered by only the TR ozone-season program – will also have a very small 

incremental burden with regard to monitoring and reporting. These units are already monitoring 

and reporting both NOX and SO2 mass emissions on a year-round basis and have already 

installed and are operating CEMS (or an approved alternative) and meet 40 CFR part 75

requirements for both NOX and SO2. Their only additional burden resulting from the TR will 

consist of minor one-time DAHS software upgrades to change what information that is already

being monitored and recorded will be reported to EPA. For ARP-affected units in these states, 

the burden and costs associated with the required ongoing monitoring are accounted for in the 

ARP ICR. This ICR incorporates the burden and costs associated with ongoing monitoring at 

non-ARP units in these states, including annualized capital costs incurred under CAIR that 

would continue to be borne under the TR. 

In states covered by the TR but not covered by CAIR – i.e., Kansas, Minnesota, and 

Nebraska, which are covered by the TR annual programs, and Oklahoma, which is covered by 

the TR ozone-season program – the TR will result in very minor incremental burdens for ARPaffected units, but more substantial burdens for non-ARP units. ARP-affected units in these 

states are already monitoring and reporting SO2 mass emissions and NOX emission rates on a

year round basis and in accordance with 40 CFR part 75. Monitoring of SO2 mass emissions 

requires heat input measurement that can be used with the NOX emission rate information to 

calculate NOX mass emissions. Therefore, these sources would need to make minor one-time 

DAHS software upgrades in order to compute and report NOX mass emissions under the TR, 

either on an annual or ozone-season basis as appropriate, but would not likely need to purchase 

additional monitoring equipment. The burden and costs associated with the required ongoing 

monitoring for these ARP-affected units are accounted for in the ARP ICR. 

The non-ARP-affected existing units in states covered by the TR but not covered by 

CAIR were not previously required to monitor under 40 CFR part 75 under either the ARP or 

CAIR (or the NOX SIP Call), although some units may have had similar monitoring requirements 

under other regulatory programs. Under the TR, these units will be required to monitor and 

report both NOX and SO2 mass emissions on a year-round basis, in the case of Kansas, 

Minnesota, and Nebraska, or to monitor and report NOX mass emissions on an ozone-season 

basis, in the case of Oklahoma. The units will have to install and operate CEMS (or an approved 

alternative) and meet 40 CFR part 75 requirements for NOX and/or SO2, as appropriate. The 

monitoring burden depends in part on the type of fuel combusted and the amount of time the unit 

is operated. Therefore, the costs will vary depending on what monitoring alternative is 

appropriate for the unit and what monitoring requirements apply to the unit under other 

regulatory programs. This ICR includes estimated burden and costs for these newly affected 

non-ARP sources in TR states.
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New units covered by the TR will in most cases also be covered by the ARP. The TR 

creates no material incremental burden or costs for these units, and their burden and costs (both 

capital/startup and ongoing) are accounted for in the ARP ICR. This ICR includes monitoring 

and reporting burden and costs for an estimated number of new TR units not covered by the 

ARP.

Sources will be subject to TR NOX and SO2 monitoring and reporting requirements 

starting once the TR supersedes CAIR. Table 6-5 shows the burden associated with monitoring 

NOX and SO2 under the TR at various types of sources.

The primary tasks under the TR with information collection-related burden and costs are 

(1) permitting, (2) monitoring, recording, and reporting emissions data, and (3) allowance trading 

activities.

(i) Respondent Permitting Activities

Under the TR, the designated representative for each affected source must submit a 

certificate of representation to EPA. Since most existing TR-affected sources are already subject 

to the ARP and/or CAIR, the Agency believes that the DRs for most TR-affected sources will 

only need to revise their certificates of representation, and that such revisions are routine. The 

Agency therefore estimates that, on a per unit basis, about one half hour of managerial time and 

one half hour of technical time will be required to revise the certificate of representation.

Some sources will also be required to construct additional facilities, and therefore will 

need to complete a permit to construct application. Based on the existing CAIR ICR, the Agency

estimates that this task will take 20 hours of managerial and 20 hours of technician time, per 

permit.

(ii) Agency Permitting Activities

Agency permitting activities (including activities of permitting authorities) include

receiving and processing certificates of representation, permit applications, and retired unit 

exemptions. The Agency estimates that these activities will require 2,926 hours per year (see 

Table 6-6).

The ICR also includes a one-time allocation of burden for staff at permitting authorities 

to read the requirements of the TR.

(iii) Respondent Monitoring Activities

For monitoring, the burdens differ greatly based on the amount and type of monitoring 

the unit is already subject to and the particular subtask of monitoring being conducted. The 

specific elements of this burden are described below.

Start-up Activities
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A large part of start-up activities, involving both capital expenditures and labor costs, 

concerns the acquisition, installation, and testing of monitoring equipment, as follows:

1) For all units in states whose TR program coverage is the same as their CAIR program 

coverage, the TR imposes no start-up burdens beyond existing programs. 

2) For all units in states covered by both the TR and CAIR, but with a change in program 

coverage (Florida, Georgia, Louisiana, Mississippi, and Texas), and for ARP-affected 

units in states covered by the TR but not by CAIR (Kansas, Minnesota, Nebraska, and 

Oklahoma), the owner or operator will incur some small amount of burden and costs 

associated with DAHS upgrades for changing what information that is already monitored 

and recorded is reported to EPA.

3) For non-ARP units in states covered by the TR annual programs and not by CAIR 

(Kansas, Minnesota, and Nebraska), the burdens and costs reflect purchase and 

certification of NOX and SO2 monitoring systems.

4) For non-ARP units in states covered by the TR ozone-season program and not by CAIR 

(Oklahoma), the burdens and costs reflect purchase and certification of NOX monitoring 

systems.

Note that where the start-up burdens were already incurred as a result of CAIR, this ICR 

reflects minimal burden hours or non-capital costs, but continues to account for annualized 

capital costs incremental to burdens accounted for in the ARP ICR. 

Regulatory Review

The ICR includes an allocation of time for the managerial and technical staff to review

the TR regulatory requirements as well as the XML formats and instructions associated with 

electronic emissions data submissions. The units not in the ARP or CAIR programs will have a 

burden similar to that estimated for ARP units in the ARP ICR -- 16 hours of managerial time 

and 16 hours of technician time in year one of the program and four hours each for managerial

and technician time, per year, after year one. The burden estimates for all units previously

included in the ARP or CAIR is reduced because of the similar requirements involved in these 

trading programs. The estimates for these units are ten hours of managerial time and ten hours of

technician time in year one and one hour each per year after year one.

Response to Error Messages

The Agency provides feedback for errors that are found in monitoring plans or other 

reports. The Agency estimates that for each unit not previously included in the ARP, an owner 

or operator will spend approximately four hours of managerial time and eight hours of technician 

time responding to these error messages each year. (The time for the other sources is accounted 

for in other ICRs.)
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DAHS Debugging

Based on experience with the ARP and CAIR Programs, some effort will be involved to 

fix problems with the DAHS software used to report in the 40 CFR part 75 formats. This burden 

is assumed to fall primarily on units that have not previously been affected under the ARP or

CAIR. Consistent with the existing ARP ICR, the Agency estimates that about 14 managerial 

and 80 technician hours will be spent on this task in the first year of implementation, and then 

one managerial and four technician hours will be required in the second and subsequent years of 

implementation. Units that are subject to the ARP, and/or were previously subject to CAIR, are 

expected to incur the "subsequent years" burden.

Monitoring Plans

The regulations require submittal of monitoring plans. Because most of the monitoring 

plan elements are now part of the reporting format, the effort involved in developing and 

maintaining the plans are incorporated into the overall reporting burden estimate.

Monitor Certification/Recertification

Initial certification burdens and costs for new monitoring equipment are addressed above 

under start-up activities since these costs are often part of the overall purchase expense for the 

equipment. For some non-ARP-affected units, however, there will be burdens associated with 

certifying existing monitors used under other programs, as well as burdens for recertification to 

the extent a change in a monitoring system requires recertification. Based on the current CAIR 

ICR, EPA estimates that approximately ten percent of all units will have to recertify each year 

following the year in which the initial certification occurs. The ICR incorporates a labor burden 

estimate generally consistent with existing Agency models for the labor burdens associated with 

certification. However, note that the ICR reduces the labor hours for this activity to avoid double 

counting hours that are already accounted for in the quality assurance activity area (see the

following subsection). The double counting would occur because a portion of the labor incurred

for the certification or recertification event replaces the labor burden that is generally allocated to

the annual relative accuracy test audit (RATA) in the year in which the certification event occurs.

Quality Assurance

Quality assurance (QA) activities and other routine maintenance for monitoring systems 

is the largest burden item under the TR. These requirements generally include daily, quarterly,

and annual QA requirements, depending on the monitoring approach being used. For reporting 

units that use a CEMS, the Agency has assumed a per unit labor burden based on a variety of 

sources, including the existing ARP ICR, information provided by ARP and CAIR sources, a 

CEM cost model developed by EPA, and comments submitted in response to the section 110 SIP 

Call for ozone transport. For units that rely on alternative methodologies, reduced labor burden

estimates apply because the quality assurance activities for the excepted methods are less than

for a CEMS. Consistent with the existing ARP and CAIR ICRs, the labor burden is expected to 

be almost entirely technician labor.
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Quarterly Reports

Tasks performed by utilities in preparing quarterly reports include: (1) assuring the 

quality of the data, (2) preparing the quarterly report, (3) revising the monitoring plan, if 

necessary, (4) preparation of hard copy documentation accompanying the quarterly reports, and 

(5) managerial review. The existing Acid Rain ICR was used as the basis for these estimates.

Fuel Sampling

To calculate heat input where the source is using the fuel flow meter option for an oil or 

gas-fired unit, the source must obtain gross calorific value data from sampling in accordance 

with Appendix D of 40 CFR part 75. For purposes of this ICR, it is assumed that the GCV data 

would be collected as part of standard business operating procedures to assure compliance with 

contractual specifications. Thus no additional fuel sampling burdens or costs should be incurred.

(iv) Agency Monitoring Activities

Agency activities related to the monitoring and reporting of emissions data include 

processing, reviewing, and evaluating reports of quarterly emissions data from affected units. 

The Agency estimates that these activities will require 4,500 hours per year (see Table 6-10).

(v) Respondent Allowance Transaction Activities

The Agency anticipates the average number of additional allowance transactions will be 

approximately 7,500 per year beginning in sometime after 2014. This estimate is based on 

transaction data associated with the current CAIR trading programs. A portion of all sources will 

likely conduct transactions in each year solely as a result of this program. The Agency believes 

that each transaction will involve about one hour each of managerial and technician time.

(vi) Agency Allowance Transaction Activities

Agency activities related to allowance transactions include allocating allowances to 

existing and new units, reviewing allowance transfer information, recording transfers, notifying 

transfer participants, entering deduction data and deducting allowances, and ensuring compliance 

assurance provisions are met. In the event that compliance assurance provisions are not met it is 

estimated that the burden for each state exceeding compliance assurance levels would be 160 

hours, however the agency assumes that zero states would exceed the limit during the 2014 and 

beyond time period. The Agency estimates that these activities will require 290 hours per year

(see Tables 6-8 and 6-9).

(vii) State SIP Allowance Allocation Activities

The FIPs promulgated by EPA specify default allocations of TR emission allowances for 

each TR trading program among each state’s affected sources. States that wish to revise these 

default allocations may do so by submitting limited SIP revisions for that purpose. The Agency

has conservatively assumed that all states with TR-affected sources will choose to submit such 
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revisions, and that the activities to prepare the submissions will require 100 hours per year (see 

Table 6-4).

6.2 Estimating Respondent Costs

Table 6-4 presents state and local respondent annualized hours and costs for each 

information collection activity. To estimate annualized hours and costs for one-time activities,

the burden estimate is divided by three to estimate the burden over a three-year period. Table 

6-5 summarizes the annual industry respondent costs. The following discussion describes how 

the costs were derived.

(i) Estimating Labor Costs

For this ICR, the labor rate used for technical staff at state agencies is $42.95 per hour, 

and the labor rate for managerial employees at state agencies is $52.01. These labor rates 

include benefits and overhead, and are derived from data shown on the Bureau of Labor 

Statistics website at http://stats.bls.gov/news.release/ecec.toc.htm. Wage and salary rates are 

shown at the link “Table 3: State and local government, by major occupation and industry group 

(December 2013)." The wage and salary rates from this table account for benefits provided to 

workers. When considering both technical and managerial hours, labor costs for state and 

territorial agencies are estimated to be $54,000 per year per respondent, and labor costs for local 

agencies are estimated to be $35,000 per year per respondent for the emissions reporting 

requirements.

In estimating labor costs for industry, EPA used the following amounts: $95.10 per hour 

for managers and $67.38 per hour for technicians. These rates were used in the existing ARP

ICR (EPA ICR Number 1633.16) and are the consistent with the Current Employment Cost 

Index year 2014.

Federal Agency labor rates were assumed to be $77.27 per hour. This labor rate was 

derived from the federal government's 2014 U.S. Office of Personnel Management General 

Schedule "Salary Table 2014-GS"(http:/www.opm.gov/policy-data-oversight/pay-leave/salarieswages/salary-tables/pdf/2014/GS.pdf) using the factors in Table 6-2 below.
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Table 6-2: 

Determination of Federal Wage Rates

Labor Category Factors Total

Annual Salary of Technical Staff, GS 13 Step 8 $89,282

Annual Cost of Supervisory Staff, GS 15, Step 8 $124,102

Factor (1/11) 0.09

$11,169

Benefits 1.6

Total Cost per FTE $160,722

Total Hourly Cost (total per FTE dividend divided by 2,080 hours per 

year) $77.27

(ii) Estimating Capital and Operations and Maintenance Costs

Capital/start-up costs include the cost of installing required CEMS or alternatives. 

Operation and maintenance costs (exclusive of labor costs) reflect ongoing costs to a unit and 

include both contractor costs for the required recertification, diagnostic, and quality assurance 

(QA) testing, and other direct maintenance-related expenses (e.g., spare parts and calibration 

gases). These cost estimates have been derived from EPA CEM cost models, existing ICRs, 

Agency staff experience under the ARP, CAIR, and NOX SIP Call programs, and supplemental 

estimates provided by affected utilities and others related to the various cost items.

All units in states covered by both the TR and CAIR to the same extent are not expected 

to incur any non-labor costs associated with this program. All units in states covered by both the 

TR and CAIR, but to different extents, and ARP-affected units in states covered by the TR but 

not by CAIR, are expected to incur a $4,000 non-labor startup cost for a DAHS upgrade. This 

cost estimate is based on the existing CAIR ICR. Non-ARP units in states covered by the TR but 

not by CAIR are expected require some combination of NOX diluent, SO2, and/or flow CEMS. 

The estimated costs for these units range from $15,000 to $192,000. Cost variance is due to the 

monitoring methodology used and what monitoring equipment may already be in place at the

unit.

Note that testing contractor costs for certification, recertification and annual relative 

accuracy test audits (RATAs) are presented as other direct costs and are not converted to 

equivalent source labor hours. This approach is consistent with the common business practice of

obtaining outside contractors to conduct certification/recertification tests and annual RATAs. 

For initial certification, the certification test costs are commonly bundled with equipment 

purchase contracts, according to information provided by a range of CEMS equipment vendors. 

For RATAs that are conducted either as part of the annual quality assurance requirements or as 

part of recertification, industry contacts have indicated that RATA testing is usually performed 

under a fixed price contract basis, except for travel costs that may be billed on an hourly basis 

beyond the basic contract cost.
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The Agency also notes that this ICR does not include a cost for the purchase of 

monitoring equipment for all affected units. Many sources covered by the TR are already 

required to have CEMS under other regulatory programs. Therefore, to the extent that no new 

equipment is needed by these sources, capital costs are not included because those costs were 

included in the ICRs of those other programs. Thus, the capital and other costs included in Table 

6-5 represent weighted average costs for each respondent, not the total individual cost for any 

particular respondent.

EPA has concluded that the Capital and Operations and Maintenance Costs estimated for 

the Agency under the ARP ICR are sufficient to accommodate the modest changes in reporting 

burden for the TR. Therefore, no further estimate of Capital and Operations and Maintenance 

Costs for the Agency were made for this ICR.

(iii) Capital/Start-up vs. Operating and Maintenance (O & M) Costs

Capital costs for emissions trading reflect one-time costs for purchase of equipment 

which will be used over a period of years. Conversely, operating and maintenance costs are 

those costs which are incurred on an annual or other scheduled basis. For instance, costs 

associated with quality assurance activities, such as spare parts or contractor costs for work, will 

be incurred on an annual basis.

(iv) Annualizing Capital Costs

The relevant capital costs for this ICR were annualized at a rate of seven percent, (i.e., the 

annualized capital cost was calculated assuming money to purchase the capital equipment was 

borrowed at a seven percent annual interest rate). The cost of the loan was amortized over the 

life of the loan to repay the borrowed amount plus interest. The result is the annualized capital 

cost reported.) The annualized cost of the necessary capital purchases varies from $600 to 

$29,572 per year per unit, depending on the type of monitoring methodology. Table 6-5 contains 

a breakdown of annual costs by monitoring methodology.

6.3 Estimating the Respondent Universe and Total Burden and Costs

State and local permitting authorities will incur a burden associated with review 

of TR-related permit submissions, which is included in Table 6-6. The total number of 

permitting authorities (including authorities for areas not covered by the TR) is estimated to be

50 states and the District of Columbia, four territories and 49 local agencies, totaling 104 

authorities. Table 6-4 details state, territory, and local agency one-time burdens associated with 

reading the rule upon publication. Additionally this ICR contains burdens to allow for States to 

allocate allowances as part of the SIP process. While state allocation of allowances is optional 

under the TR, for conservative estimation purposes this ICR estimates that all 28 states with 

sources covered by the TR will incur an annual burden of 100 hours to allocate allowances at the 

state level. This burden is also included in Table 6-4.
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The number of industry respondents varies depending on the activity in question. 

Activities such as Title V permit application submission or allowance transfers can involve 

nearly two thousand sources. The number of units which will be required to install a particular 

type of monitoring equipment is fewer since many already have the necessary monitoring 

equipment, especially if they are ARP units or are in CAIR states. Table 6-5 gives estimates of 

annual industry burdens beginning in once compliance obligations under the TR commence. 

These burdens include monitoring, reporting, and other activities involved in participating in an 

emissions trading program. The total number of respondents is estimated to be 1,201 facilities. 

Tables 6-6 through 6-10 give estimates of Agency and permitting authority burdens associated 

with permitting and managing the emissions trading programs.

6.4 Bottom Line Burden Hours and Cost Table

Table 6-3 summarizes the bottom line burden and costs for state, industry, and Agency

respondents.

Table 6-3:

Total Estimated Burden and Cost Summary

Number of 

Respondents

Total Hours Per Year

(All Respondents)

Total Costs Per Year

(All Respondents)

State and Local 104 2,869 $129,826

Industry Respondents 1,201 185,132 $26,589,016

Agency 1 7,716 $596,215

6.5 Reasons for Change in Burden

The largest burden associated with this rule is the cost of monitoring, certifying, quality 

assuring, and reporting emissions data from the large electric generating units regulated under

the TR. This burden is tempered, however, by the integration of these monitoring and reporting

requirements with those already required under the ARP and (prior to TR implementation) under 

CAIR. Otherwise, the burden and costs reported under this ICR would be significantly higher 

and the number of sources reported under this ICR would be greater. Differences between this 

renewal and the previous ICR are due to revised current year labor costs, and the inclusion of 

100 hours annually per state (28 states) to allocate allowances as part of the SIP process, which 

was inadvertently omitted from the original rule ICR Supporting Statement.

6.6 Burden Statement

The annual public reporting and recordkeeping burden for this collection of information 

is estimated to average 11 hours per response. Burden means the total time, effort, or financial 

resources expended by persons to generate, maintain, retain, 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 
Transport Rule ICR

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verifying information; processing, maintaining, disclosing, and providing information; adjusting

the existing ways to comply with any previously applicable instructions and requirements; 

training personnel to be able to respond to a collection of information; searching data sources; 

completing and reviewing the collection of information; and transmitting or otherwise disclosing 

the information. An agency may not conduct or sponsor, and a person is not required to respond 

to, a collection of information unless it displays a currently valid OMB control number. The 

OMB control numbers for EPA's regulations are listed in 40 CFR Part 9 and 48 CFR Chapter 15.

To facilitate comment on the Agency's need for this information, the accuracy of the 

provided burden estimates, and any suggested methods for minimizing respondent burden, 

including the use of automated collection techniques, EPA has established a public docket for 

this ICR under Docket ID No. EPA-HQ-OAR-2009-0491, which is available for public viewing 

at the Air and Radiation Docket and Information Center in the EPA Docket Center (EPA/DC), 

EPA West, Room 3334, 1301 Constitution Ave., NW, Washington, DC. The EPA Docket 

Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, 

excluding legal holidays. The telephone number for the Reading Room is (202) 566-1744, and 

the telephone number for the Air and Radiation Docket and Information Center is (202) 566-

1742. An electronic version of the public docket is available at www.regulations.gov. This site 

can be used to submit or view public comments, to access the index listing of the contents of the 

public docket, and to access those documents in the public docket that are available 

electronically. When in the system, select “search,” then key in the Docket ID Number 

identified above. Also, you can send comments to the Office of Information and Regulatory

Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, DC 20503, 

Attention: Desk Officer for EPA. Please include EPA Docket ID No. EPA-HQ-OAR-2009-0491

and OMB Control Number 2060-0667 in any correspondence.

Table 6-4:

Annual State and Local Burden and Cost by Activity

Hours and Costs Total Hours and Costs

Activity

Mgr. 

$52.01/Hr1

Tech. 

$42.95/Hr1

Respondent 

Hours/Yr

Labor 

Cost/Yr

Number of 

Respondents

Total 

Hours/Yr2

Total 

Cost/Yr3

One-time (Annualized)

Read the reporting 

requirements of the 

rule 0.33 0.33 0.66 $31 104 69 $3,224

Annual

State SIP allowance 

allocation 25 75 100 $4,522 28 2,800 $126,602

Total 104 2,869 $129,826
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1

See Section 6.2 (i) for labor and overhead rates.

2 Hours per year are rounded to the nearest hour.

3 Costs per year are rounded to the nearest dollar.
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Table 6-5:

Annual Industry Respondent Burden and Cost by Activity

Respondent

Labor 

Cost/Year

Annual Capital

Manager 

$95.10

Per Hour 

(2013)

Technical 

$67.38

Per Hour 

(2013)

Respondent 

Hours/Year

Startup 

Costs

O&M 

Cost

Number of 

Respondents

Total 

Hours/Year

Total 

Cost/Year

Permit to Construct (units) 20 20 40 $3,250 8 320 $26,000

Certificate of 

Representation 0.50 0.50 1 $81 1201 1,201 $97,281

Startup/Capital Items

Kansas, Minnesota, Nebraska, Oklahoma (Previously Not Affected)

a. DAHS modification 

(facilities) 2 4 6 $460 $1,333 35 210 $62,745

b. Solid Fuel: SO2, NOX, 

and Flow CEMS (units) 34 23 57 $4,783 $29,752 7 399 $241,746

c. Gas-Oil: NOX CEMS 

and Appendix D fuel 

monitoring (units) 64 10 74 $6,760 $19,200 17 1,258 $441,323

d. Gas-Oil Peaking Units: 

Appendix D fuel 

sampling, Appendix E, 

or LME methods (units) 20 10 30 $2,576 $2,304 29 870 $141,514

(cont.)
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Table 6-5:

Annual Industry Respondent Burden and Cost by Activity (cont.)

Respondent

Labor 

Cost/Year

Annual Capital

Manager 

$95.10

Per Hour 

(2013)

Technical 

$67.38

Per Hour 

(2013)

Respondent

Hours/Year

Startup 

Costs

O&M 

Cost

Number of 

Respondents

Total 

Hours/Year

Total 

Cost/Year

Startup/Capital Items (cont.)

Georgia and Texas (Ozone Status Changes, Annual Status Remains)

a. DAHS modification 

(facilities) 2 4 6 $460 $600 161 966 $170,615

b. Solid Fuel: SO2, NOX, 

and Flow CEMS (units) 0 0 0 $0 $29,752 1 0 $29,752

c. Gas-Oil: NOX CEMS 

and Appendix D fuel 

monitoring (units) 0 0 0 $0 $19,200 38 0 $729,600

d. Gas-Oil Peaking Units: 

Appendix D fuel 

sampling, Appendix E, 

or LME methods (units) 0 0 0 $0 $2,304 39 0 $89,856

(cont.)
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Table 6-5:

Annual Industry Respondent Burden and Cost by Activity (cont.)

Respondent

Labor 

Cost/Year

Annual Capital

Manager 

$95.10

Per Hour 

(2013)

Technical 

$67.38

Per Hour 

(2013)

Respondent 

Hours/Year

Startup 

Costs

O&M 

Cost

Number of 

Respondents

Total 

Hours/Year

Total 

Cost/Year

Startup/Capital Items (cont.)

Mississippi, Florida, and Louisiana (Now Ozone Season Only)

a. DAHS modification 

(facilities) 2 4 6 $460 $600 27 162 $28,612

b. Solid Fuel: NOX and 

Flow CEMS (units) 0 0 0 $0 $22,500 6 0 $135,000

c. Gas-Oil: NOX CEMS 

and Appendix D fuel 

monitoring (units) 0 0 0 $0 $19,200 6 0 $115,200

d. Gas-Oil Peaking Units: 

Appendix D fuel 

sampling, Appendix E, 

or LME methods (units) 0 0 0 $0 $2,304 62 0 $142,848

States with No Change in Classification

a. Solid Fuel: SO2, NOX, 

and Flow CEMS (units) 0 0 0 $0 $29,752 64 0 $1,904,128

b. Gas-Oil: NOX CEMS 

and Appendix D fuel 

monitoring (units) 0 0 0 $0 $19,200 67 0 $1,286,400

c. Gas-Oil Peaking Units: 

Appendix D fuel 

sampling, Appendix E, 

or LME methods (units) 0 0 0 $0 $2,304 533 0 $1,228,032

(cont.)
Transport Rule ICR

July 2, 2014

29

Table 6-5:

Annual Industry Respondent Burden and Cost by Activity (cont.)

Respondent

Labor 

Cost/Year

Annual Capital

Manager 

$95.10

Per Hour 

(2013)

Technical 

$67.38

Per Hour 

(2013)

Respondent 

Hours/Year

Startup 

Costs

O&M 

Cost

Number of 

Respondents

Total 

Hours/Year

Total 

Cost/Year

Review Instructions and Requirements

States with No Change in

Classification 4 4 8 $650 261 2,088 $169,629

States in which Ozone 

Season Status Changes, 

Annual Status Remains

– Georgia, Texas 4 4 8 $650 161 1,288 $104,637

States now Ozone Season 

Only - Mississippi, 

Florida, Louisiana 4 4 8 $650 27 216 $17,548

States Not Previously 

Covered - Kansas, 

Minnesota, Nebraska, 

Oklahoma 8 8 16 $1,300 35 560 $45,494

(cont.)
Transport Rule ICR

July 2, 2014

30

Table 6-5:

Annual Industry Respondent Burden and Cost by Activity (cont.)

Respondent

Labor 

Cost/Year

Annual Capital

Manager 

$95.10

Per Hour 

(2013)

Technical 

$67.38

Per Hour 

(2013)

Respondent 

Hours/Year

Startup 

Costs

O&M 

Cost

Number of 

Respondents

Total 

Hours/Year

Total 

Cost/Year

Respond to EPA Generated Error Messages

States with No Change in

 Classification 6 18 24 $1,783 261 6,264 $465,478

States in which Ozone 

Season Status Changes, 

Annual Status Remains

– Georgia, Texas 6 18 24 $1,783 161 3,864 $287,134

States now Ozone Season 

Only – Mississippi, 

Florida, Louisiana 6 18 24 $1,783 27 648 $48,153

States Not Previously

Covered - Kansas, 

 Minnesota, Nebraska, 

 Oklahoma 6 18 24 $1,783 35 840 $62,420

Debug Computer Software

States with No Change

 in Classification 1 4 5 $365 261 1,305 $95,166

States in which Ozone

Season Status Changes, 

Annual Status Remains 

– Georgia, Texas 6 18 24 $1,783 161 3,864 $287,134

(cont.)
Transport Rule ICR

July 2, 2014

31

Table 6-5:

Annual Industry Respondent Burden and Cost by Activity (cont.)

Respondent

Labor 

Cost/Year

Annual Capital

Manager 

$95.10

Per Hour

(2013)

Technical 

$67.38

Per Hour 

(2013)

Respondent 

Hours/Year

Startup 

Costs

O&M 

Cost

Number of 

Respondents

Total 

Hours/Year

Total 

Cost/Year

Debug Computer Software (cont.)

States now Ozone Season 

Only - Mississippi, 

Florida, Louisiana 1 4 5 $365 27 135 $9,845

States Not Previously 

Covered - Kansas, 

Minnesota, Nebraska, 

Oklahoma 16 88 104 $7,451 35 3,640 $260,786

Certify Monitors

Kansas, Minnesota, Nebraska, Oklahoma (Previously Not Affected)

a. Solid Fuel: SO2, NOX, 

and Flow CEMS (units) 15 48 63 $4,661 $2,800 1 63 $7,461

b. Gas-Oil: NOX CEMS 

and Appendix D fuel 

monitoring (units) 10 32 42 $3,107 $2,800 1 42 $5,907

c. Gas-Oil Peaking Units: 

Appendix D fuel 

sampling, Appendix E, 

or LME methods (units) 8 24 32 $2,378 $10,000 5 160 $61,890

(cont.)
Transport Rule ICR

July 2, 2014

32

Table 6-5:

Annual Industry Respondent Burden and Cost by Activity (cont.)

Respondent

Labor 

Cost/Year

Annual Capital

Manager 

$95.10

Per Hour 

(2013)

Technical 

$67.38

Per Hour 

(2013)

Respondent 

Hours/Year

Startup 

Costs

O&M 

Cost

Number of 

Respondents

Total 

Hours/Year

Total 

Cost/Year

Certify Monitors (cont.)

Georgia and Texas (Ozone Status Changes, Annual Status Remains)

a. Solid Fuel: SO2, NOX, 

and Flow CEMS (units) 15 48 63 $4,661 $2,800 1 63 $7,461

b. Gas-Oil: NOX CEMS 

and Appendix D fuel 

monitoring (units) 10 32 42 $3,107 $2,800 4 168 $23,629

c. Gas-Oil Peaking Units: 

Appendix D fuel 

sampling, Appendix E, 

or LME methods (units) 8 24 32 $2,378 $10,000 4 128 $49,512

Mississippi, Florida, and Louisiana (Now Ozone Season Only)

a. Solid Fuel: NOX and 

Flow CEMS (units) 15 48 63 $4,661 $2,800 1 63 $7,461

a. Gas-Oil: NOX CEMS 

and Appendix D fuel 

monitoring (units) 10 32 42 $3,107 $2,800 1 42 $5,907

b. Gas-Oil Peaking Units: 

Appendix D fuel 

sampling, Appendix E, 

or LME methods (units) 8 24 32 $2,378 $10,000 6 192 $74,268

(cont.)
Transport Rule ICR

July 2, 2014

33

Table 6-5:

Annual Industry Respondent Burden and Cost by Activity (cont.)

Respondent

Labor 

Cost/Year

Annual Capital

Manager 

$95.10

Per Hour 

(2013)

Technical 

$67.38

Per Hour 

(2013)

Respondent 

Hours/Year

Startup 

Costs

O&M 

Cost

Number of 

Respondents

Total 

Hours/Year

Total 

Cost/Year

Certify Monitors (cont.)

States With No Change in Classification 

a. Solid Fuel: SO2, NOX, 

and Flow CEMS (units) 15 48 63 $4,661 $2,800 6 378 $44,764

b. Gas-Oil: NOX CEMS 

and Appendix D fuel 

monitoring (units) 10 32 42 $3,107 $2,800 7 294 $41,350

c. Gas-Oil Peaking Units: 

Appendix D fuel 

sampling, Appendix E, 

or LME methods (units) 8 24 32 $2,378 $10,000 50 1,600 $618,896

Perform QA Testing and Maintenance

Kansas, Minnesota, Nebraska, Oklahoma (Previously Not Affected)

a. Solid Fuel: SO2, NOX, 

and Flow CEMS (units) 50 600 650 $45,183 $31,949 7 4,550 $539,924

b. Gas-Oil: NOX CEMS 

and Appendix D fuel 

monitoring (units) 20 375 395 $27,170 $17,818 17 6,715 $764,788

c. Gas-Oil Peaking Units: 

Appendix D fuel 

sampling, Appendix E, 

or LME methods (units) 5 30 35 $2,497 $1,843 29 1,015 $125,857

(cont.)
Transport Rule ICR

July 2, 2014

34

Table 6-5:

Annual Industry Respondent Burden and Cost by Activity (cont.)

Respondent

Labor 

Cost/Year

Annual Capital

Manager 

$95.10

Per Hour 

(2013)

Technical 

$67.38

Per Hour 

(2013)

Respondent 

Hours/Year

Startup 

Costs

O&M 

Cost

Number of 

Respondents

Total 

Hours/Year

Total 

Cost/Year

Perform QA Testing and Maintenance (cont.)

Georgia and Texas (Ozone Season Status Changes, Annual Status Remains)

a. Solid Fuel: SO2, NOX, 

and Flow CEMS (units) 40 400 440 $30,756 $31,949 1 440 $62,705

b. Gas-Oil: NOX CEMS 

and Appendix D fuel 

monitoring (units) 20 375 395 $27,170 $17,818 38 15,010 $1,709,525

c. Gas-Oil Peaking Units: 

Appendix D fuel 

sampling, Appendix E, 

or LME methods (units) 5 30 35 $2,497 $1,843 39 1,365 $169,256

Mississippi, Florida and Louisiana (Now Ozone Season Only)

a. Solid Fuel: NOX and 

Flow CEMS (units) 40 400 440 $30,756 $31,949 6 2,640 $376,230

b. Gas-Oil: NOX CEMS 

and Appendix D fuel 

monitoring (units) 20 375 395 $27,170 $17,818 6 2,370 $269,925

c. Gas-Oil Peaking Units: 

Appendix D fuel 

sampling, Appendix E, 

or LME methods (units) 5 30 35 $2,497 $2,209 62 2,170 $291,766

(cont.)
Transport Rule ICR

July 2, 2014

35

Table 6-5:

Annual Industry Respondent Burden and Cost by Activity (cont.)

Respondent

Labor 

Cost/Year

Annual Capital

Manager 

$95.10

Per Hour 

(2013)

Technical 

$67.38

Per Hour 

(2013)

Respondent 

Hours/Year

Startup 

Costs

O&M 

Cost

Number of 

Respondents

Total 

Hours/Year

Total 

Cost/Year

Perform QA Testing and Maintenance (cont.)

States With No Change in Classification 

a. Solid Fuel: SO2, NOX, 

and Flow CEMS (units) 40 400 440 $30,756 $31,949 64 28,160 $4,013,120

b. Gas-Oil: NOX CEMS 

and Appendix D fuel 

monitoring (units) 20 375 395 $27,170 $17,818 67 26,465 $3,014,463

c. Gas-Oil Peaking Units: 

Appendix D fuel 

sampling, Appendix E, 

or LME methods (units) 5 30 35 $2,497 $1,843 533 18,655 $2,313,167

Assure Data Quality, Prepare Reports, Submit Reports

States with No Change

 in Classification 16 42 58 $4,352 261 15,138 $1,135,757

States in which Ozone

Season Status Changes, 

Annual Status Remains

– Georgia, Texas 16 42 58 $4,352 161 9,338 $700,601

(cont.)
Transport Rule ICR

July 2, 2014

36

Table 6-5:

Annual Industry Respondent Burden and Cost by Activity (cont.)

Respondent

Labor

Cost/Year

Annual Capital

Manager 

$95.10

Per Hour 

(2013)

Technical 

$67.38

Per Hour 

(2013)

Respondent 

Hours/Year

Startup 

Costs

O&M 

Cost

Number of 

Respondents

Total 

Hours/Year

Total 

Cost/Year

Perform QA Testing and Maintenance (cont.)

States now Ozone Season 

Only - Mississippi, 

Florida, Louisiana 8 21 29 $2,176 27 783 $58,746

States Not Previously

Covered - Kansas,

 Minnesota, Nebraska,

 Oklahoma 16 42 58 $4,352 35 2,030 $152,305

Other Trading Program Activities

Allowance Transfers 1 1 2 $162 7500 15,000 $1,218,600

Compliance Assurance 

Activites1. .5 1 1.5 $112 0 0 0

TOTAL 185,132 $26,589,016

1. Assumes that no States will exceed their limits for the years covered by this ICR so, overall there would be zero 

burden for these provisions to industry.
Transport Rule ICR

July 2, 2014

37

Table 6-6:

Agency Burden – Permitting 

Information Collection 

Activity

Burden Hours per 

Occurrence

Cost per 

Source1

Total Burden 

(Hours) Total Cost

EPA reviews certificates of 

representation and records 

information.20.5 $38.64 600 $46,632

Review permit application, and 

issue draft, proposed, and final 

permit.3

Permitting Authority action. 8 $618.16 2,000 $154,540

EPA review. 1 $77.27 240 $18,545

Receive and process retired unit 

exemptions.

4

Permitting Authority action. 2 $154.54 66 $5,100

EPA review. 0.3 $23.18 20 $1,545

TOTAL 2,926 $226,092

1. 2014 dollars.

2. Assumes 1201 sources submit a certificate of representation.

3. Assumes 240 sources (approximately 20% of all affected sources) will submit a permit application each year.

4. Assumes 33 retired unit exemptions are submitted each year.

Table 6-7:

Agency Burden – Emissions Reporting

Information 

Collection Activity

Quarterly 

Burden Hours 

per Report

Quarterly Cost 

per Report1

Number 

of

Reports2

Total Burden 

per Year 

(Hours)

Total 

Cost

Process, review, and 

evaluate quarterly report 

and issue feedback letter. 1 $77.27 4,500 4,500 $347,715

1. Based on an average total compensation rate of $77.27 per hour.

2. Assumes 1125 TR only emissions data reports are submitted each quarter.
Transport Rule ICR

July 2, 2014

38

Table 6-8:

Agency Burden - Allowance Allocations

Information Collection Activity Total Burden (Hours) Total Cost

Initial and annual allocation of allowances to 

existing and new units. 200 $15,454

Table 6-9:

Agency Burden – Allowance Transfer & Deduction Burden

Information Collection 

Activity

Burden Hours 

per Occurrence

Cost per 

Occurrence1

Total Burden2

(Hours) Total Cost

Review allowance transfer 

information, record transfer, and 

notify transfer participants. 1 $77.27 40 $3,091

Enter deduction data and deduct 

allowances. 0.5 $38.64 50 $3,864

Compliance Assurance Provisions31 $77.27 40 $3,091

TOTAL 90 $6,954

1. 2014 dollars.

2. Assumes 20 transfers and 100 optional deduction forms are submitted annually.

3. Assumes zero states would exceed the limit during the ICR time frame.

Table 6-10:

Agency Burden – Aggregate

Information Collection Activity Total Burden (Hours) Total Cost1

Annual allocation of allowances to existing and new units. 200 $15,454

Allowance transfers and deductions. 90 $6,954

Permits.

Permitting Authority. 2,066 $159,640

EPA. 860 $66,452

Emissions reporting. 4,500 $347,715

TOTAL 7,716 $596,215

1. 2014 dollars.