SUPPORTING STATEMENT

FOR THE

PART 71 FEDERAL OPERATING

PERMIT PROGRAM (RENEWAL)

EPA Tracking # 1713.11

OMB Control # 2060-0336

Joanna Gmyr

Operating Permits Group

Air Quality Policy Division

Office of Air Quality Planning and Standards

Office of Air and Radiation

United States Environmental Protection Agency

Research Triangle Park, North Carolina 27711

Draft 

January 26, 2015
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ii

SUPPORTING STATEMENT

FOR THE

PART 71 FEDERAL OPERATING

PERMIT PROGRAM

TABLE OF CONTENTS

Page

1. IDENTIFICATION OF THE INFORMATION COLLECTION....................................................... 1

1(a) Title of the Information Collection Request (ICR) .................................................................... 1

1(b) Short Characterization/Abstract ................................................................................................. 1

1(b)(i) Federal program where there is no state, local or tribal program................................. 1

1(b)(ii) Federal program as a backstop for deficient state programs......................................... 2

1(b)(iii) Federal program for deficient state programs............................................................... 2

2. NEED FOR AND USE OF THE COLLECTION .............................................................................. 2

2(a) Need/Authority for the Collection.............................................................................................. 2

2(b) Practical Utility/Users of the Data.............................................................................................. 3

2(c) Caveats and Considerations........................................................................................................ 3

3. NON-DUPLICATION, CONSULTATIONS AND OTHER COLLECTION CRITERIA ............... 3

3(a) Non-Duplication......................................................................................................................... 3

3(b) Public Notice Required Prior to ICR Submission to OMB........................................................ 4

3(c) Consultations.............................................................................................................................. 4

3(d) Effects of Less Frequent Collection ........................................................................................... 4

3(e) General Guidelines..................................................................................................................... 4

3(f) Confidentiality............................................................................................................................ 5

3(g) Sensitive Questions .................................................................................................................... 5

4. THE RESPONDENTS AND THE INFORMATION REQUESTED ................................................ 5

4(a) Respondents/ Standard Industrial Classification (SIC) Codes................................................... 5

4(b) Information Requested ............................................................................................................... 7

4(b)(i) Data items, including recordkeeping requirements ........................................................ 7

4(b)(ii) Respondent activities..................................................................................................... 7
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5. THE INFORMATION COLLECTED – AGENCY ACTIVITIES, COLLECTION 

METHODOLOGY AND INFORMATION MANAGEMENT ......................................................... 9

5(a) Agency Activities....................................................................................................................... 9

5(b) Collection Methodology and Management ................................................................................ 9

5(c) Small Entity Flexibility ............................................................................................................ 10

5(d) Collection Schedule.................................................................................................................. 10

6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION .......................................... 11

6(a) Estimating Respondent Burden ................................................................................................ 11

6(b) Estimating Respondent Costs................................................................................................... 12

6(b)(i) Estimating Labor Costs............................................................................................... 12

6(b)(ii) Estimating Capital and Operating and Maintenance (O&M) Costs ........................... 13

6(b)(iii) Capital/Start-up vs. O&M Costs................................................................................. 14

6(b)(iv) Annualizing Capital Costs.......................................................................................... 14

6(c) Estimating Agency Burden and Cost ....................................................................................... 15

6(d) Estimating the Respondent Universe and Total Burden and Costs.......................................... 16

6(e) Bottom Line Burden Hours and Cost Tables ........................................................................... 19

6(e)(i) Respondent Tally .......................................................................................................... 19

6(e)(ii) The Agency Tally......................................................................................................... 20

6(e)(iii) Variations in the Annual Bottom Line........................................................................ 21

6(f) Reasons for Change in Burden ................................................................................................... 21

6(g) Burden Statement....................................................................................................................... 22

Attachment 1: THE STATUTORY REQUIREMENTS FOR RESPONDENT INFORMATION......... 23

Attachment 2: ADJUSTMENTS TO BASELINE BURDEN TO ACCOUNT FOR GHG TAILORING 

RULE BURDEN............................................................................................................... 34
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LIST OF TABLES

Page

Table 1. SIC and NAICS Codes for Part 71 Sources in Indian Country (as of October 30, 2006)...........6

Table 2. Average Source Burden by Activity .........................................................................................12

Table 3. Average Permitting Authority Burden by Activity ...................................................................12

Table 4. Average EPA Burden by Activity for Oversight of Delegate Agencies...................................15

Table 5. Identification of Affected Entities and Permit Issuance Schedule ............................................17

Table 6. Baseline Burden and Cost of Source Activities ........................................................................18

Table 7. Baseline Burden and Cost of Permitting Authority Activities..................................................19

Table 8. Bottom Line Average Annual Respondent Burden (Hours) .....................................................20

Table 9. Bottom Line Average Annual Respondent Cost (2014$) ........................................................20

Table 10. Bottom Line Average Annual EPA Burden and Cost ...............................................................20

Table 11. Burden Change from 2012 ICR to Current ICR (Hours)..........................................................21

Table 12. Burden Statement (Hours).........................................................................................................22
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1. IDENTIFICATION OF THE INFORMATION COLLECTION

1(a) Title of the Information Collection Request (ICR)

This analysis is titled: “Supporting Statement for the Part 71 Federal Operating Permit Program.” It 

fulfills the U.S. Environmental Protection Agency’s (EPA’s) requirements under the Paperwork 

Reduction Act (PRA) to determine, report and periodically update the regulatory burden associated with 

the Federal Operating Permit Program, codified in title 40 of the Code of Federal Regulations (40 CFR) 

part 71. It has been assigned EPA tracking number 1713.11 and Office of Management and Budget 

(OMB) control number 2060-0336.

1(b) Short Characterization/Abstract

The part 71 program is a federal operating permit program implemented by the EPA (or a delegate 

agency) for sources located in areas where there is no state, local or tribal program, such as in Indian 

country; offshore areas where the Outer Continental Shelf (OCS) and Deep Water Ports Act (DWPA)

regulations apply; where there is a deficient state or local (part 70) permit program; and where the EPA

has objected to a particular part 70 permit and taken over permitting because the state failed to 

adequately resolve the objection. Title V of the Clean Air Act (CAA or “the Act”) imposes on state or 

local permitting authorities (agencies), the duty to develop, administer and enforce operating permit 

programs which comply with title V and requires the EPA to administer and enforce a permit program 

when state, local or tribal agencies do not establish such a program, or where they establish such a 

program but they fail to perform their duties consistent with title V. Section 502(b) of the Act requires 

the EPA to promulgate regulations setting forth provisions under which state, local or tribal agencies 

will develop operating permit programs and submit them to the EPA for approval. Pursuant to this 

section, the EPA promulgated 40 CFR part 70 on July 21, 1992 (57 FR 32250) which specifies the 

minimum elements of state operating permit programs.

1(b)(i) Federal program where there is no state, local or tribal program

Pursuant to regulations promulgated by the EPA on February 19, 1999 (64 FR 8247), the EPA has 

authority to establish part 71 programs within Indian country, and the EPA began administering the 

program in Indian country on March 22, 1999. 

There are approximately 84 sources in Indian country with permits at the beginning of the ICR period 

and we expect to permit an additional 6 such sources by the end of the analysis period (through June 

2018). This is a decrease in the number of sources expected to be permitted overall compared to the last 

ICR renewal, due to changes in estimates of the number of permits expected to be issued in Indian 

Country and in the OCS, rather than due to any changes in paperwork burdens (explained further 

below). 

The EPA is the permitting authority for sources located beyond 25 miles (40 km) of the states’ seaward 

boundaries under the Outer Continental Shelf Lands Act (OCS sources), and the provisions of part 71 

apply to the permitting of those sources, as well. The EPA estimates there are currently zero OCS 

sources with part 71 permits and as many as three additional OCS sources that may seek part 71 permits 

during the period of this ICR renewal. Through the years, we have only seen a small number of such 

sources receive part 71 permits; thus, we believe our estimate of three additional OCS sources during the 

period of the ICR is likely an overestimate of the activity we will experience.
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Deepwater Port sources (DWPA sources) are fixed or floating structures that are located beyond state

seaward boundaries, intended for the transportation, storage and handling of oil or natural gas (offshore 

LNG terminals) and alternative energy projects. An offshore source may be either an OCS or a DWPA 

source – it may not be both. Because DWPA sources are required to be treated as if they are located in 

an “area of exclusive federal jurisdiction within a State,” the EPA must issue the title V permit for them 

[see section 1518(a)(1) of the DWPA]. Currently there are no DWPA sources permitted under part 71. 

We are aware of several sources that are seeking DWPA permits; thus, we estimate that three such 

sources will receive such permits during the period of the ICR and we believe that this will be an 

overestimate of the permitting of such sources.

1(b)(ii)Federal program as a backstop for deficient state programs 

Section 502(i)(4) of the Act requires the EPA to promulgate, administer and enforce a title V program if 

the EPA makes a determination that a state or local permitting authority is not adequately administering 

or enforcing its EPA-approved title V permitting program. This requirement is implemented through 

regulations promulgated by the EPA on July 1, 1996 (61 FR 34202), specifically 40 CFR 71.4(c) and 

71.10(b)(1). The process described in these regulations can take up to 2 years after a formal finding by

the EPA is published in the Federal Register that the state part 70 program is deficient in its 

implementation or enforcement (this notice is called a “notice of deficiency” or “NOD”).

For the 3-year period covered by this ICR, it is unlikely that any state or local permitting program under 

part 70 will be replaced by a part 71 program administered by the EPA, and thus this ICR renewal does 

not include such scenarios. There are currently no NODs in place at this time and we do not expect to 

take over any state or local programs during the time period of this ICR.

1(b)(iii) Federal program for deficient state programs 

Section 505(c) of the Act provides that if a permitting authority fails to submit a permit to the EPA that 

satisfies an EPA objection, then the EPA shall issue a permit that meets the requirements of the Act. The 

part 71 rules implement this provision by providing that if the state or local permitting authority fails to 

satisfy an EPA objection to a part 70 permit, then the EPA shall issue a part 71 permit instead. There is 

currently one part 70 source that has been issued a part 71 permit for this reason. We estimate that one 

additional part 70 source will be issued a part 71 permit for this reason during the period of this ICR.

2. NEED FOR AND USE OF THE COLLECTION

2(a) Need/Authority for the Collection

When the EPA is the permitting authority under title V, a source subject to the program must prepare an 

application and submit it within 1 year of becoming subject (CAA section 503). The EPA must then 

issue the permit within 18 months of receiving a complete application (CAA section 503(c)) and 

thereafter administer (including revising, reopening and enforcing the permit terms, as needed) and 

renew such permits at no more than 5-year intervals (CAA section 502(b)(5)). Sources must periodically

(no less often than annually) certify that they are in compliance with applicable requirements and 

promptly report deviations from permit requirements to the permitting authority (CAA 

section 503(b)(2)), and permits are required to set forth requirements for sources to conduct monitoring 

and reporting to assure compliance with permit terms and conditions (CAA section 504(b)). The permit 

and all information submitted by a source shall be available for public review except for confidential 

information which will be protected from disclosure (CAA section 503(e)), and the public shall be given 
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public notice of, and an opportunity for comment on, permit actions (CAA section 502(b)(6)). A copy of 

sections 502 through 504 of title V of the Act are in Attachment 1.

2(b) Practical Utility/Users of the Data

For the EPA to carry out its requirement under the Act to issue part 71 permits in areas where there is no 

approved part 70 program or where a state will not resolve an EPA objection to a part 70 permit, the 

EPA must receive and review permit applications, issue initial and renewal permits, issue permit 

revisions and receive and review compliance and monitoring reports submitted by sources. For the EPA 

to carry out its required oversight functions, where the EPA has delegated its authority to issue part 71 

permits to a state or tribe (delegate agency), the EPA must review proposed permits of all types 

developed by the delegate agency, review certain information submitted by the source to the delegate 

agency, and require the submittal of certain information concerning program implementation from the 

delegate agency.

2(c) Caveats and Considerations

The information included in this ICR is based upon the best data available to the Agency at this time. 

However, inconsistencies in permitting authority reporting techniques, incomplete data sets, and 

sampling limitations imposed upon the Agency by the PRA necessitated a certain amount of 

extrapolation and “best-guess” estimations by permitting authority and Agency experts. Consequently, 

the reader should not consider the conclusions to be an exact representation of the level of burden or cost 

that will occur during the 3 years of this ICR. Instead, this ICR should be considered a directionally 

correct assessment of the impact the Federal Operating Permit Program will have over the next 3 years.

Throughout this ICR, the reader will observe estimated values that show accuracy to the single hour or 

dollar. However, reporting values at the single unit level can be misleading. In most situations, the 

proper way to present estimated data would be to determine an appropriate level of precision and 

truncate values accordingly, usually in terms of thousands or millions of units. For instance, a 

spreadsheet generated estimation of $5,456,295 could be presented in the text as $5.5 (millions) or 

$5,456 (thousands). One problem with such an approach is the loss of data richness when the report 

contains a mixture of very large and very small numbers. Such was the case with this ICR, where source 

values are consistently in the millions and federal values in the tens of thousands. Consequently, to 

avoid the loss of information through rounding, this ICR reports all values at the single unit level and 

reminds the reader that there is no implied precision inherent in this style of reporting.

3. NON-DUPLICATION, CONSULTATIONS AND OTHER COLLECTION CRITERIA

3(a) Non-Duplication

The need for the data required by the part 71 operating permits program has been well documented in

prior ICRs for both programs. While much of the information requested under this ICR existed prior to 

the creation of the operating permit program, an operating permit is a compilation of existing 

requirements; the purpose being to bring all requirements applicable to a source into one document. The 

intent of this compilation is to (1) resolve any questions of applicability at the time of permit issuance, 

(2) provide certainty to sources as to their obligations and (3) provide the public access to a source’s 

obligations and compliance status. The Agency has no leeway to not require such previously existing 

information under this ICR since consolidation of the information into the operating permit and 

providing public access is the whole purpose of the statute. To the extent that similar information was 
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previously collected (e.g., state permits under state implementation plans), the part 71 program may

replace those activities and avoid duplication of efforts

3(b) Public Notice Required Prior to ICR Submission to OMB

For any existing rule, section 3507(g) of the PRA limits the length of time for which the Director may 

approve a collection of information to 3 years. On June 30, 2012, OMB approved the ICR renewal for 

part 71 (EPA tracking number 1713.10) for 36 months, through June 30, 2015. Thus, this ICR is a 

renewal of the June 2012 ICR. 

Except for information collection in notices of proposed rules or those exempted under the emergency

processing provisions of 44 U.S.C. § 3507(j), the PRA requires the EPA to solicit comment on each 

proposed information collection, including the renewal or modification of any existing ICR.

3(c) Consultations

The current ICR was prepared using data on the numbers of sources and permits that are updated on a 

semi-annual by basis by each of the EPA’s 10 Regional Offices. It is these EPA Regional Offices where 

the part 71 permitting activities are carried out by the EPA. The actual rates of permit issuance and 

permit renewal are reported by the Regional Offices into an EPA database every 6 months. Seven years 

of data in this database was reviewed for purposes of estimating existing sources and permits and the 

backlog of initial and renewal permits. Also, the prior supporting statement for this ICR included useful 

information concerning many other consultations we have conducted over the years on the burden and 

costs of the part 71 program for sources and permitting agencies. 

3(d) Effects of Less Frequent Collection

In general, collection of the information included in this ICR occurs once per activity (e.g., permit 

application or permit issuance). Periodic activities include a semi-annual compliance monitoring data 

report and an annual compliance certification from each source required by CAA sections 503(b)(1) and 

(2), respectively. The EPA has no leeway to require less frequent reporting.

3(e) General Guidelines

The OMB’s general guidelines for information collections must be adhered to by all federal agencies for 

approval of any rulemaking's collection methodology. The recordkeeping and reporting requirements 

contained in the part 71 operating permits regulations do not exceed any of the OMB guidelines contained in 5 CFR 1320.5, except for the guideline which limits retention of records by respondents to 

3 years. Part 71 requires retention of all monitoring data and support information and all permit 

applications, proposed permits and final permit records for a period of 5 years. These records are 

necessary to fulfill the intent of title V to assure compliance with applicable requirements. Questions 

regarding the obligations of a source and its status of compliance can be resolved through such records. 

In addition, 28 U.S.C. 2462 specifies 5 years as the general statute of limitations for federal claims in 

response to violations by regulated entities. The decision in U.S. v. Conoco, Inc., No. 83-1916-E (W.D. 

Okla., January 23, 1984) found that the 5-year general statute of limitations applies to the Act.
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3(f) Confidentiality

All information related to the permitting of sources under this program and related to compliance 

monitoring is required by section 503(e) of the Act to be subject to public review at all times. 

Information entitled to protection under 114(c) of the Act may be required to be submitted directly to the 

EPA. Such information will be stored in the EPA’s Confidential Business Information office.

3(g) Sensitive Questions

The consideration of sensitive questions (i.e., sexual, religious, personal or other private matters) is not 

applicable to the part Federal Operating Permit Program. The information gathered for purposes of 

establishing a part 71 permit for a source do not include personal data on any owner or operator.

4. THE RESPONDENTS AND THE INFORMATION REQUESTED

4(a) Respondents/ Standard Industrial Classification (SIC) Codes

Respondents to this information collection come from two groups: permitting authorities that have been 

delegated authority to implement the part 71 program by the EPA (i.e., delegate permitting authorities) 

and sources required to obtain part 71 operating permits.

There is currently one delegate permitting authority under part 71, which is the Navajo Nation 

Environmental Protection Agency (NNEPA). We do not anticipate any additional agencies becoming 

delegate permitting authorities during the period covered by this ICR renewal.

Under title V, all major stationary sources must obtain an operating permit.1Some non-major sources 

may also be subject to the program if they are subject to a federal standard such as a New Source 

Performance Standard (NSPS) pursuant to section 111 of the Act or a National Emissions Standard for 

Hazardous Air Pollutants (NESHAP) pursuant to section 112 of the Act. Some of these sources have 

been exempted from the program.

Source respondents to this information collection are those sources subject to title V permitting that are

located where the EPA or a delegate agency is the permitting authority (e.g., in Indian country, offshore 

[OCS and DWPA sources], and where there are unresolved EPA objections to part 70 permits). For the 

purposes of this ICR, the Agency identified the following existing source population subject to part 71: 

84 in Indian country, zero OCS sources, zero DWPA sources, and 1 source due to unresolved objection 

of a part 70 permit. By the end of the period covered by this ICR, there may also be up to an additional 6 

permits issued in Indian Country, up to 3 additional OCS sources and up to 3 additional DWPA sources 

subject to permitting under part 71. The EPA anticipates one additional source subject to part 71 because 

of an EPA objection to part 70 permits (assuming the state will not adequately resolve the objection). 

Thus, this analysis includes a total of 85 sources currently with part 71 permits and an increase of 13 

new sources over the ICR period, for a permitted total of 98 sources by the end of the ICR period (we 

assume it will end on June 30, 2018). Also, note that one reason the number of permits subject to part 71 

has reduced since the previous (2012) ICR update due to the approval of the Southern Ute Indian Tribe 

(SUIT) as a part 70 permitting authority. By the end of period covered by this ICR renewal, we estimate 

the SUIT will be the permitting agency for up to 36 permits under part 70 that were previously part 71 

 

1 All definitions of “major” in the Act.
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permits. This transition of permits from part 71 to part 70 has occurred since the previous ICR renewal 

and will continue for some period into the future.

For this update, the EPA is not assuming that we will take over any entire state permitting programs due 

to findings of program deficiencies. All NODs for state programs have been resolved to the EPA’s 

satisfaction and no part 71 permits were issued in response to such programs deficiencies in the interim. 

Also, at this time the EPA has no active NODs and we believe it unlikely that we will be issuing any 

permits for this reason during the period covered by this ICR renewal.

The SIC codes and North American Industrial Classification System (NAICS) codes for the part 71 

sources located in Indian country are listed below in Table 1. This list was compiled for the 2007 ICR 

renewal, but we believe that it remains representative of the types of sources with part 71 permits.

Table 1. SIC and NAICS Codes for Part 71 Sources in Indian Country

(as of October 30, 2006)

SIC Code NAICS Code

1021 212234

1221 212111

1311 211111

1321 211112

1389 213112

2421 321

2431 32191

2436 321212

2493 321219

2819 325

2842 325612

2875 325314

2879 32532

2899 325

3341 331

3354 331316

4911 2211

4922 48621

4925 22121

4953 562

4961 22133

5171 42271

7011 7211

9711 92811
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4(b) Information Requested

All activities associated with EPA issuance of operating permits are information collection activities and 

are reflected in this ICR. The following are lists of the data items submitted by sources and permitting 

authorities for ICR purposes under part 71. These activities represent the Agency’s best representation 

of the burdens experienced by sources and permitting authorities for part 71 requirements.

4(b)(i) Data items, including recordkeeping requirements

Under Operating Permits rules, the following data items must be submitted by delegate permitting 

authorities to the EPA:

 Applications for permits, permit revisions, and permit renewals

 Draft / proposed permits, permit revisions, or permit renewals

 Final permits

 Annual reports of enforcement activities

For this analysis, the submittals above are only necessary for the small fraction of permit handled by the 

NNEPA, the delegate agency (15 permits). The majority of permits will be issued, implemented, and 

enforced by the EPA as permitting authority (83 permits).

Under Operating Permit rules, the following data items must be submitted by sources to 

permitting authorities:

 Applications for permits, permit revisions, and permit renewals

 Semi-annual periodic monitoring reports

 Annual compliance certification reports

When the EPA is the permitting authority, sources submit these data directly to the EPA. When there is 

a delegate agency, these data will be submitted directly to the delegate agency. Attachment 1 includes 

the statutory requirements for reference purposes. 

4(b)(ii) Respondent activities

The following describes the information collection activities required of delegate permitting authorities 

and sources. In all cases, the activities for the delegate permitting authority match those for state and 

local permitting authorities under the part 70 operating permits program and the activities listed for 

source-level activities match those for sources under the part 70 programs.
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DELEGATE PERMITTING AUTHORITY ACTIVITIES

 Program administration: Responding to inquiries about the program, developing internal and 

external program guidance, developing rules, forms, and other mechanisms to implement the 

program, planning, attending program training, permit fee collection, providing source training, 

attending meetings and conferences, providing public education, and other program related 

activities. 

 Permit application review, including discussions with a source concerning the completeness of 

the permit application, review of applications for completeness and technical approach, and 

requests for additional information, when necessary. 

 Draft permit preparation, including contact with the source to clarify the specific requirements 

that apply, drafting the “statement of basis,” drafting gap-filing monitoring, when necessary, and 

drafting permit terms and conditions to reflect existing requirements.2

 Comment period notification: Providing notice to the public, and affected states of the 

comment period on a draft permit (for initial permit issuance, permit renewal and significant 

permit modification). Affected state notification is also required for minor permit modification.

 Public hearing administration: Administering a public hearing, when appropriate, for initial 

permit issuance, permit renewal and significant permit modification. 

 Interaction with the EPA on a proposed permit, including negotiations, re-drafting and formal 

EPA objections (including those attributable to public petitions). 

 Response to public comments: Analyzing public comments and revising the draft permit 

accordingly, when appropriate. 

 Permit issuance: Formalizing permits, placing copies of final permits on public websites, 

entering information into the EPA’s permit website (Air Facility System) and providing copies to 

sources.

 General permits administration (Burden for issuing general permits included with other permit 

issuance burden). 

 Permit revision: Modifying permits to reflect changes at the source otherwise prohibited by the 

permit, including public participation and affected state review, when needed. 

 Permit renewal: Updating the permit to reflect changes at the source not captured through 

permit revision (includes reviewing application, drafting changes, public notice, public hearings 

(when needed), responding to public comments (when needed) and permit issuance). 

 Monitoring and compliance certification: Reviewing deviation and semiannual monitoring 

reports and annual compliance certification reports required by part 70, and any enforcement 

activities related to such reviews.

 Annual reporting: Preparing and submitting to the EPA annually a report of the state's 

enforcement activities.

 

2 This involves writing permit terms that reflect the “applicable requirements” that apply to sources.
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SOURCE-SPECIFIC ACTIVITIES

 Permit application preparation, including internal meetings, permitting authority discussions, 

management and legal department involvement, responsible official certification, contractor 

services.

 Draft permit development: Interaction with the permitting authority on draft permit 

development.

 Gap-filling development: Development of periodic monitoring gap-filling, if applicable.

 Public hearing participation.

 Operate gap-filling periodic monitoring: Operation of monitoring equipment and the taking 

and keeping of records, where necessary.

 Monitoring reports: Preparing semi-annual monitoring data reports, including data analysis, 

responsible official certification, and report submission (annual burden for both reports). 

Includes preparing and submitting annual compliance certification.

 Permit revisions: Preparing applications for permit revisions.

 Permit renewal: Preparing permit renewal applications.

 Other activities associated with permit renewal, including discussions with permitting 

authority and public hearing participation.

5. THE INFORMATION COLLECTED – AGENCY ACTIVITIES, COLLECTION 

METHODOLOGY AND INFORMATION MANAGEMENT

5(a) Agency Activities

In its role as the permitting authority for most of the sources subject to the part 71 program, the EPA 

carries out the same activities listed above for delegate permitting authorities, with the exception of 

those activities that involve interaction between the delegate permitting authorities and the EPA. When 

overseeing a delegate agency, the EPA carries out the activities listed below.

EPA OVERSIGHT ACTIVITIES

 Review proposed permits and permit revisions to determine if they provide for compliance with 

all applicable requirements. 

 Review monitoring provisions of proposed permits or permit revisions to see if they contain 

applicable requirements or to add periodic monitoring if needed.

 Consult with the delegate agency on any problems detected in the proposed permit or permit 

revision including interaction related to fact finding on permit petitions.

 Other Program Oversight: review annual reports of enforcement activities, develop formal 

EPA responses to public petitions, and review changes to delegated programs.

5(b) Collection Methodology and Management

For the part 71 program, when the EPA is the permitting authority, the EPA will receive data from 

sources in much the same manner as that established for sources reporting to state and local agencies 

under part 70. Thus, when the EPA is the permitting authority, we will retain copies of each permit 

application (including any application for permit modification), each draft permit, and each final permit. 
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When a delegate agency is the permitting authority, the delegate agency will receive copies of these 

documents.

5(c) Small Entity Flexibility

Title V provides few ways to mitigate the effects of operating permit regulations on small entities. 

Under section 502(a) of the Act, the Agency has exempted or deferred applicability of title V for those 

non-major source categories for which compliance with title V will be impractical, infeasible or 

unnecessarily burdensome. The Agency has not analyzed how many of these non-major sources will be 

small businesses, but believes that a large percentage may fall under that definition. 

In accordance with the analytical requirements established under the Regulatory Flexibility Act (RFA) 

and the Small Business Regulatory Enforcement Fairness Act (SBREFA), the Agency has determined 

that there are no adverse effects to be identified with regard to small entities and small businesses. This 

ICR renewal represents a decrease in burden compared to the 2012 ICR renewal, due to the transition of 

a significant number of sources to the part 70 program implemented by the SUIT under part 70 and due 

to certain overestimates of expected source population made in the previous analysis, rather than due to 

any new information collection requirements.

5(d) Collection Schedule

Items identified in section 4(b)(i) are listed below with their schedule for submission.

Permitting Authorities (submitted to the EPA):

 Application for permits, permit revision and permit renewal should be submitted to the EPA with 

the proposed permit or permit revision. 

 Draft/proposed permits, permit revisions or permit renewals should be submitted when the state 

wants to commence the EPA review period of the proposed permit or permit revision.

 The final permit should be submitted to the EPA soon after it is issued, but there is no deadline in 

part 71 for this submission.

 The annual report of enforcement activities is submitted to the EPA annually, but part 71 does 

not specify a date.

Sources (submitted to permitting authority):

 New permit applications are due within 1 year after a source becomes subject to the program.

 Permit revision applications are submitted by a source when it wishes to make a change to its 

permit. There is no schedule for these submissions in that they are triggered by modifications by

the source.

 Permit renewal applications are due at least 6 months prior to expiration of the permit.

 Semi-annual monitoring reports are due to be submitted to the permitting authority twice a year 

on dates specified by the permitting authority.

 Annual compliance certification reports are due annually on a date specified by the permitting 

authority.
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6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION

6(a) Estimating Respondent Burden

The following tables show the burden estimates for each activity described above in section 4(b)(ii) for 

sources and permitting authorities. These burden estimates are primarily based on the approved ICR for 

the part 70 program and have been updated to incorporate the assumptions we made in the previous 

ICRs for part 70 and 71 concerning the impacts of the Flexible Air Permits Rule (FAP)3and the GHG 

Tailoring rule4,5. In the previous ICRs, we showed the effects of the two regulations separately from the 

so-called “baseline” impacts that would have occurred without the two rules. In this ICR, for the sake of 

simplicity, we have incorporated the FAP and the GHG Tailoring rule assumptions into a single set of 

assumption, as shown in tables 2, 3, 5 and 6. Note that we have included a table as Attachment 2 that 

provides a detailed explanation of the revisions we have made to create a single, consolidated set of 

assumptions for the part 71 program going forward. Also note that in section 6(d), concerning the 

respondent universe, we discuss the effects of the June 2, 2014, Supreme Court decision, Utility Air 

Regulatory Group v. EPA, impacting the GHG Tailoring rule, on our estimates of the respondent 

universe.

Table 2 displays the expected source burden for when either the EPA or a delegate agency is the 

permitting authority. Table 3 displays the expected burden for all of the specific tasks necessary for any

permitting authority (i.e., a delegate agency or the EPA).

The Agency derived its estimates in Tables 2 and 3 from previous consultations with fewer than nine 

respondents from the regulated community on the burdens and costs of the permit programs; data 

collected by the EPA from permitting authorities on the numbers of permits issued, renewed and 

modified in the course of program administration; and based on our analysis of data submitted within the 

context of state and local permitting program evaluations. In the initial ICR for part 71, the Agency

assumed sources are indifferent (from an effort perspective) between reporting to the federal 

government and reporting to a state permitting authority.

6

 

3

74 FR 51418, October 6, 2009.

4

75 FR 31514, June 3, 2010 and 77 FR 41051, July 12, 2012.

5

The Office of Management and Budget (OMB) approved ICR change requests for both of these rules, 

EPA tracking numbers 1703.09 and 1587.11, respectively, prior to the approval of the 2012 ICR 

updates for parts 70 and 71. In general, the FAP rule allowed for upfront approval for certain permit 

changes, in order to avoid significant permit modifications (SPM) and minor permit modifications 

(MPM) processing, while the GHG Tailoring rule, as originally promulgated, “tailored” the 

requirements of the Act to require certain GHG sources, for the first time, to obtain permits based on 

GHG emissions and required GHGs to be treated the same as other pollutants once a permit has been 

issued.

6 May, 1995, United States Environmental Protection Agency, Part 71 Information Collection Request, 

p 19.
DRAFT

12

Table 2. Average Source Burden by Activity

Activity

Burden per 

Source or Permit

Initial Permit Application 330

Draft Permit Interaction 50

Gap Filling Monitoring Development 44

Public Hearing Participation 11

Operate Gap Filling Monitoring 200

Prep Monitoring/Compliance Reports & Compliance Certifications 80

Significant Permit Revisions (10% of permits) 84

Minor Permit Revisions (50% of permits) 44

Administrative Amendments (50% of permits) 8

Permit Renewal Application 220

Other Permit Renewal Activities 22

Table 3. Average Permitting Authority Burden by Activity

Activity

Part 71 Burden 

Per Permit or 

Program

Program Administration 3500

Permit Application Review 110

Draft Permit Preparation 165

Comment Period Notification 11

Public Hearing (2% of permits) 110

Analyze Public Comments (2% of permits) 44

Permit Issuance 9

Significant Permit Revisions (10% of permits) 94

Minor Permit Revisions (50% of permits) 34

Administrative Amendments (50% of permits) 5

Permit Renewals 97

Review Monitoring/Compliance Reports 15

EPA Oversight of NNEPA Permits 2.5

6(b) Estimating Respondent Costs

6(b)(i) Estimating Labor Costs

In order to improve the accuracy of burden estimates, this ICR renewal updates the source labor rates to 

values in 2014 dollars based on recent publications by the Bureau of Labor Statistics (BLS). 
DRAFT

13

The labor rate used to calculate sources’ labor cost for this ICR renewal is $66/hr. This source labor rate 

was calculated on the assumption that, while most of the labor for sources will be performed by 

Environmental Engineers, approximately 50 percent of the labor hours expended for two of the activities 

listed above in Table 2 will be carried out by Environmental Engineering Technicians. Specifically, we 

assumed that Environmental Engineering Technicians will expend half of the labor hours to “Operate 

Gap-filling Monitoring” and “Prepare Monitoring Reports and Compliance Certification.” 

To derive this composite labor rate, we obtained the mean hourly wage for Environmental Engineers of 

$41.12 from the most recent BLS Occupational Employment Statistics, which gives wages as of May

2013.

7

Similarly, we obtained the May 2013 mean hourly wage for Environmental Engineering 

Technicians of $23.64.

8

In each case, we escalated the hourly wages to September 2014 using the BLS 

ECI for private industry workers, resulting in hourly wages of $42.06 for Environmental Engineers and 

hourly wages of $24.18 for Environmental Engineering Technicians.9 An example escalation calculation 

for Environmental Engineers is as follows:

  =  ×

 

 

  = $41.12 ×

118.40

121.1

= $42.06

We then calculated a weighted average hourly wage for sources using the total hours projected for 

sources over the 3 years of this ICR apportioned between Environmental Engineers and Environmental 

Engineering Technicians as discussed above. This calculation results in a weighted average hourly wage 

of $36.80. Finally, to determine the total labor rate, we assumed an 80 percent factor to account for 

benefits and overhead, which we believe to be representative. The resultant rate was rounded to the 

nearest dollar, yielding $66/hr in 2014 dollars. This labor rate was applied to all source burden hours to 

calculate the sources’ labor costs.

For delegate permitting authorities, we have maintained the practice in recent ICR renewals of using the 

same labor rate calculated for the EPA based on federal wage tables. The resulting labor rate for 

delegate permitting authorities is $53/hr. This calculation is discussed further below in section 6(c).

6(b)(ii)Estimating Capital and Operating and Maintenance (O&M) Costs

 

7

Environmental Engineer hourly wages obtained from “Occupational Employment Statistics, 

Occupational Employment and Wages, May, 2013, 17-2081 Environmental Engineers,” U.S. Dept. of 

Commerce, BLS. (http://www.bls.gov/oes/current/oes172081.htm accessed October 14, 2014)

8

Environmental Engineering Technician hourly wages obtained from “Occupational Employment 

Statistics, Occupational Employment and Wages, May, 2013, 17-3025 Environmental Engineering 

Technicians,” U.S. Dept. of Commerce, BLS. (http://www.bls.gov/oes/current/oes173025.htm

accessed October 14, 2014).

9

Employment Cost Indexes for sources obtained from “Employment Cost Index – September 2014, 

Table 2 and September 2013, Table 2. Employment Cost Index for wages and salaries, by 

occupational group and industry (Seasonally adjusted),” U.S. Dept. of Commerce, BLS, Private 

Industry Workers - All Workers. (http://www.bls.gov/news.release/archives/eci_11192013.pdf and 

http://www.bls.gov/news.release/archives/eci_10312014.pdf both accessed October 2014) 
DRAFT

14

The EPA believes that sources will incur little or no capital cost to comply with part 71 requirements. 

Even if a part 71 permit applicant is a brand new company and the prospective source is a “greenfield” 

source (the EPA estimates less than 1 percent of sources fit that description) most, and perhaps all, of the 

equipment needed to prepare permit applications (for example, the computers and basic software) will 

be part of the source’s business operation inventory. Monitoring can require capital expenditures for 

new sources or new operations at existing sources, but these expenditures generally are accounted for in 

the ICRs for the applicable requirements under which they are required (e.g., NSPS or NESHAP). The 

one exception to this is the part 71 requirement to develop and operate gap-filling monitoring to assure 

compliance with applicable requirements in certain, limited situations where the applicable requirements 

themselves do not require adequate monitoring. However, such gap-filling monitoring typically consists 

of periodically monitoring and recording operating conditions or other parameters that the source 

already monitors for operational purposes. Thus, we believe that capital costs are negligible for sources.

Delegate permitting authorities similarly incur negligible capital costs. As with sources, we believe that 

most, and perhaps all, of the computers and other office equipment needed to administer the part 71

program will be part of the permitting authority’s office inventory. In any case, the one existing delegate 

permitting authority operates a mature part 70 programs, so there is no need for initial equipment 

purchases to outfit a new program office. 

Since the purchase of capital equipment is believed to be an insignificant factor under part 71, the EPA 

assumes the operation, maintenance or services for same are negligible. Further, once a permit is issued, 

there is minimal O&M cost associated with it. It remains unaltered unless it must be revised, and such 

revisions are accounted for as burden hours in section 6(a) above. As noted previously, part 71 requires 

sources to submit deviation reports, semi-annual reports of monitoring and annual compliance 

certification reports, but these reports generally are coordinated with similar reports that are required 

under the source’s applicable requirements. The O&M costs (e.g., photocopying and postage) for the 

reports required under the applicable requirements are included in the ICRs for those rules, and we 

believe that it would constitute double counting to include such costs here as well. In addition, electronic 

reporting by sources is increasingly prevalent, with no associated O&M costs. Accordingly, we include 

no O&M costs in this ICR for sources. For parallel reasons, we believe that O&M costs for delegate 

permitting authorities will be minimal, and none are included in this ICR.

6(b)(iii) Capital/Start-up vs. O&M Costs

Capital/start-up and O&M costs are non-labor related costs. One-time capital/start-up costs are incurred 

with the purchase of durable goods needed to provide information. According to the PRA, capital/startup cost should include, among other items, preparations for collecting information such as purchasing 

computers and software, monitoring, sampling, drilling and testing equipment. As a practical matter, 

most these costs are not typical of the costs associated with preparing a part 71 permit application. As 

discussed in the previous section, we believe that the gap-filling monitoring required of some sources 

under part 71 will not involve capital spending. For the same reason, the O&M costs associated with 

start-up capital equipment are zero for this ICR. In addition, we believe that overlapping reporting 

accounted for in other ICRs and electronic reporting result in zero O&M costs for this ICR.

6(b)(iv) Annualizing Capital Costs

Typically, annualized capital cost would be derived from a discounted net present value of the stream of 

capital costs that would occur over the life of the permit, or the ICR, whichever is shorter. However, in 

the case of the part 71 Operating Permit Program, there are only labor costs for preparing and processing
DRAFT

15

permit applications, conducting gap-filling monitoring, and preparing and reviewing reports. Labor costs 

are expensed when incurred and not amortized. Therefore, the annualized capital costs for this program 

are zero.

6(c) Estimating Agency Burden and Cost

The bulk of the EPA’s burden and cost under the part 71 program comes from our role as the primary 

permitting authority. We estimate that the EPA will be the permitting authority for approximately 83 of 

the 98 sources projected to be subject to the part 71 program by the end of this ICR renewal period. 

Because we cannot predict the precise division of activities between the EPA and the delegate 

permitting authorities (e.g., the exact mix of sources needing permit revisions [i.e., significant and minor 

permit modifications and administrative amendments], sources needing permit renewals or permits 

requiring public hearings), we continue the practice from previous ICRs of calculating the total burden 

for permitting authorities (based on addressing all part 71 sources) and then apportioning that burden 

between the EPA and the delegate permitting authorities based on the projected number of sources 

covered by each. This calculation is detailed below in section 6(d) where we address respondent burden 

and cost.

The EPA also incurs burden and cost for oversight of delegate permitting authorities. The estimated 

burden associated with the each of the activities listed above in section 5(a) for the EPA is presented 

below in Table 4.

The estimated EPA labor rate for this ICR is $53/hr. The rate reflects the assumption that the EPA 

personnel overseeing the part 71 Operating Permit Program are classified as Grade 12, Step 5. 10 The 

corresponding salary is loaded with benefits at the standard rate of 60 percent. This is an increase in 

loaded EPA labor rates from that used in the 2012 ICR renewal for part 71 of $52/hr (which was based 

on a combination of assumptions concerning various staff, management and support staff time).

Table 4. Average EPA Burden by Activity for Oversight of Delegate Agencies

Activity

Burden Per Permit 

or Program (Hours)

Review Proposed Permits*

 New Permits

 Significant Permit Modifications

 Minor Permit Modifications

20 / permit

8 / revision

1 / revision

Consultation

 New Permits (25%)

 Significant Permit Modifications (25%)

 Minor Permit Modifications (25%)

8 / permit

8 / permit

1 / permit

Program Oversight 50 / program / year

Review the Annual Enforcement Activity Reports 10 / report

 * Includes the burden for review of periodic monitoring, when required

 

10 Federal Labor Cost obtained from U.S. Office of Personnel Management 2014 General Schedule 

Table 2014-GS. Hourly labor rate assumed is GS-12, Step 5 (Technical Labor).
DRAFT

16

Past experience with part 70 (adjusted for incremental GHG Tailoring Rule burdens) suggests that 

oversight of the delegate agency averages about 2.5 hours per source per year on an aggregate basis (see 

Table 3). In the case of this delegate agency (the NNEPA), all of the 15 part 71 permits they will 

implement as a delegate agency were previously issued by the EPA and the delegation agreement does 

not provide for any new permits to be issued by the NNEPA. Thus, the EPA believes the assumption of 

2.5 hours per source for EPA oversight will be appropriate due to the reduced scope of the program and 

the small number of permits involved. As a result, the estimated EPA baseline burden to oversee the 

delegate agency will be approximately 38 hours per year at a cost of $1,988 per year.

6(d) Estimating the Respondent Universe and Total Burden and Costs

As mentioned earlier, there is currently one delegate permitting authority under part 71, the NNEPA. We 

do not expect any additional delegations during the period of this ICR renewal.

We project that by the end of the period, there will be 90 sources in Indian country (15 of which are 

administered by the NNEPA), up to 3 OCS sources, up to 3 DPWA sources, and up to 2 permits issued 

because of EPA objection to a part 70 permit.

Table 5 shows the number of existing and projected source respondents during the 3 years of this ICR 

renewal. The EPA has issued 69 part 71 permits to the 85 sources that will be subject to part 71 by June 

30, 2015. Thus, at the beginning of this ICR period, there will be a backlog of 16 existing sources that 

have not yet received their initial permits (these sources have submitted their initial permit applications, 

so this ICR includes no burden for preparation for application process). The Agency projects that the 

backlogged permits will all be issued during the 3 years of this ICR, 6 in the first year and 5 each in 

years 2 and 3. We estimate that a total of 29 additional permits (13 new sources and 16 backlogged 

permits) will be issued for a total of 98 permits to be effective by the end of the analysis period. We 

calculate the burden for the new sources to include all the activities associated with obtaining an initial 

permit.

On June 23, 2014, the U.S. Supreme Court issued a decision, Utility Air Regulatory Group v. EPA, 

which impacted the EPA’s permitting program for sources emitting GHGs, as described in the GHG 

Tailoring Rule. In relevantsummary, the Court held that EPA may not treat GHGs as an air pollutant for 

purposes of determining whether a source is a major source for PSD or the title V permitting program. 

This means that GHG emissions may not independently trigger permitting requirements under title V; 

thus, we will no longer track the number of permits that will be required to get a part 71 permit solely

due to GHG emissions, and this ICR renewal reflects that outcome. This decision will potentially reduce 

the number of sources subject to part 71 and it may theoretically lead to rescission of any part 71 permits 

that may have been issued due solely to GHGs. At this time, we do not have information indicating there 

are part 71 permits that are affected by the Supreme Court’s decision. As a result, we do not have 

information indicating that part 71 permits may be subject to rescission for that reason or how such a 

process would occur; thus, we assume that no such rescissions will occur during the period of the ICR, 

which will potentially overestimate burden.
DRAFT

17

During the period of this ICR, a number of previously-issued part 71 permits will have to be renewed 

(the term of a part 71 permit is 5 years). We estimate that 42 part 71 permits will be nearing expiration 

and have to be renewed and that 24 backlogged renewals will also need to be issued. The Agency

projects that these 66 permit renewals will be issued in equal numbers each year (i.e., 22 renewals per 

year).

Table 6 lists the burden categories, expected number of occurrences for each, and the associated burden 

and costs for all part 71 sources when the EPA or a delegate agency is the permitting authority. The 

quantities in the “Number of Affected Permits” column are from direct assessments of the 98 permits 

expected to be issued and effective by the end of the period covered by this ICR. The burden and cost 

estimates in Table 6 are based on the assumptions in Tables 2 and 5, and reflects certain burden and 

activity assumptions that have been revised since the last ICR update. The prior analysis included OMBapproved FAP and GHG Tailoring Rule changes in separate tables, but for the sake of simplicity going 

forward, we have incorporated the different sets of assumptions into a single set of in Tables 6 and 7; the 

revised assumptions are detailed in Attachment 2.

Table 7 lists the burden categories for permitting authorities (the EPA and delegate agencies), the 

expected number of permits involved, and the expected burden and cost for each category (based on the 

assumptions of Table 3 and 5). Since the burden per activity assumptions and wage rates are the same 

for the EPA and delegate agencies and we cannot predict the precise division of activities between the 

EPA and the delegate permitting authorities, we calculate the total for all permitting authority activities 

across all the permits. For the purposes of the bottom line analyses of tables 8 through 12, we prorate the 

total permitting authority burden between the EPA and the one delegate agency (the NNEPA) on the 

basis of the number of permits that we project each will administer during the period of the ICR 

renewal. Specifically, we apportion EPA burden at a rate of about 85 percent (83 of the 98 total sources) 

and about 15 percent (15 sources) for the delegate agency. 

Table 5. Identification of Affected Entities and Permit Issuance Schedule

Interval

Source 

Population

New 

Sources

Permitting 

Backlog

Additional 

Permits Issued

Total Permits

Issued

Start of Yr 1: 85 16 0 69

End of Yr 1: 90 6 11 80

End of Yr 2: 94 5 9 89

End of Yr 3: 98 5 9 98

3 YR totals = 29

0

5

4

4

13
DRAFT

18

Table 6. Burden and Cost of Source Activities

Sources Hourly Labor Rate = $66.00

Activity

Burden per 

Permit 

(Hours)

Number of

Affected Permits

over 3 Year ICR

Total 

3-Year Burden 

(Hours)

Total 

3-Year Cost

(2014 $)

Initial Permit Application 330 13 4,290 $283,140

Draft Permit Interaction 50 29 1,450 $95,700

Gap Filling Monitoring Development 44 15 660 $43,560

Public Hearing Participation 11 1 11 $726

Yr 1: 35 7,000 $462,000

200 Yr 2: 40 8,000 $528,000

Yr 3: 45 9,000 $594,000

Yr 1: 69 5,520 $364,320

80 Yr 2: 80 6,400 $422,400

Yr 3: 89 7,120 $469,920

Revisions/Modifications:

Yr 1: 7 588 $38,808

84 Yr 2: 8 672 $44,352

Yr 3: 9 756 $49,896

Yr 1: 32 1,408 $92,928

44 Yr 2: 36 1,584 $104,544

Yr 3: 41 1,804 $119,064

Yr 1: 35 280 $18,480

8 Yr 2: 40 320 $21,120

Yr 3: 45 360 $23,760

Revision Subtotals = 7,772 $512,952

Permit Renewal Application 220 66 14,520 $958,320

Other Permit Renewal Activities 22 66 1,452 $95,832

Total Burden and Cost for All Sources Over 3 Yrs = 73,195 $4,830,870

Operate Gap Filling Monitoring

Prep Monitoring/Compliance Reports & 

Compliance Certifications

Minor Permit Revisions (50% of permits)

Significant Permit Revisions (10% of permits)

Administrative Amendments (50% of permits)
DRAFT

19

6(e) Bottom Line Burden Hours and Cost Tables

The burden and costs associated with part 71 are shown above in Tables 6 and 7 for sources and 

permitting authorities (both the EPA and delegated agency), respectively. The burden and costs incurred 

by the EPA in its oversight role is discussed above in section 6(c). 

6(e)(i) Respondent Tally

Tables 8 and 9 show the bottom line average annual burden and cost for the respondents (sources and 

the delegate permitting authority) under this ICR renewal for implementation of the part 71 Operating 

Permit Program between July 1, 2015 and June 39, 2018.

As table 8 shows, the Agency anticipates it will take approximately 24,000 hours per year for the 98

sources subject to part 71 permitting to perform all the functions required by title V. This averages out to 

about 249 hours per source – just over 6 weeks of a full time employee’s time. Table 9 shows the cost 

associated with that burden to be relatively small – approximately $16,400.

For the single delegate permitting authority (the NNEPA), Tables 8 and 9 show that we estimate the 

burden associated with the part 71 Operating Permit Program will be approximately 1,700 hours per 

year, or about 116 hours and $6,100 for each of the 15 permits administered by the delegate agency. 

However, this cost cannot be considered an Unfunded Mandate from the federal government, because 

the net cost to permitting authorities for their management of an operating permit program must, by law, 

be passed on to sources in the form of permit fees of sufficient magnitude to fully offset all permit 

Table 7. Burden and Cost of Permitting Authority Activities

Permitting Authority Hourly Labor Rate = $53.00

 Activity

Burden per 

Permit 

(Hours)

Number of 

Affected Permits

over 3 Year ICR

Total 

3-Year Burden 

(Hours)

Total 

3-Year Cost

(2014 $)

Program Administration 3500 1 10,500 $556,500

Permit Application Review 110 13 1,430 $75,790

Draft Permit Preparation 165 29 4,785 $253,605

Comment Period Notification 11 29 319 $16,907

Public Hearing (2% of permits) 110 1 110 $5,830

Analyze Public Comments (2% of permits) 44 1 44 $2,332

Permit Issuance 9 29 261 $13,833

Significant Permit Revisions (10% of permits) 94 24 2,256 $119,568

Minor Permit Revisions (50% of permits) 34 109 3,706 $196,418

Administrative Amendments (50% of permits) 5 120 600 $31,800

Revision Subtotals = 6,562 $347,786

Permit Renewals 97 66 6,402 $339,306

Yr 1: 69 1,035 $54,855

Yr 2: 80 1,200 $63,600

Yr 3: 89 1,335 $70,755

Total Burden and Cost for All Permit Authorities Over 3 Yrs = 33,983 $1,801,099

Review Monitoring/Compliance Reports 15
DRAFT

20

management costs. Therefore, the true annual cost to the delegate permitting authority under part 71 is 

zero, and the true annual cost to sources is the sum of their direct costs – Table 9 shows these annual 

costs to be about $1.6 million for sources and about $92,000 for the delegate agency for a total annual 

cost to respondents of about $1.7 million.

Table 9. Bottom Line Average Annual Respondent Cost (2014$)

Respondent

Number of 

Affected 

Entities

Average 

Annual Cost

Average 

Annual Cost 

per 

Respondent

Average 

Annual Cost 

per Source

(2014$) (2014$) (2014$)

Sources 98 $1,610,290 $16,432 $16,432

Delegate Permitting Authority 1 $91,893 $91,893 $6,126

Totals = 99 $1,702,183 NA NA

6(e)(ii) The Agency Tally

Table 3 displays the activities undertaken by the federal government (EPA) for the part 71 program in its 

role as permitting authority, and Table 4 shows the activities undertaken by the EPA in its oversight role 

for delegate permitting authorities. Section 6(c) gives the derivation of hourly costs for the EPA. Table 7 

gives the expected burden and cost for the EPA as permitting authority, and section 6(c) discusses the 

baseline burden and costs for the EPA in overseeing delegate permitting authorities. Table 10 shows the 

annual cost to EPA in its role as permitting authority to be approximately $500,000 and the annual cost 

of EPA oversight of the delegate agency to be about $2,000. 

Table 8. Bottom Line Average Annual Respondent Burden (Hours)

Respondent

Average Annual 

Burden 

Average Annual 

Burden per 

Respondent

Average

Annual Burden 

per Source

(hours) (hours) (hours)

Sources 98 24,398 249 249

Delegate Permitting Authority 1 1,734 1,734 116

Totals = 99 26,132 NA NA

Number of 

Affected 

Entities
DRAFT

21

As can be seen from Table 10, the total, burden incurred by the EPA for the part 71 Operating Permit

Program is estimated to be about 9,600 hours and $500,000 per year, or an average of approximately 

116 hours and $6,100 for each of the 83 sources to be administered by the EPA. In overseeing the 

delegate permitting authority, the EPA expects an annual burden of less than 40 hours and $2,000 per 

year, for an average of 3 hours and about $130 for each of the 15 sources administered by the NNEPA.

6(e)(iii) Variations in the Annual Bottom Line

The annual burden is not expected to change significantly from year to year over the 3 years covered by

this ICR renewal. However, the burden is expected to increase incrementally each year as the number of 

new sources subject to permitting increases by about 3 sources per year or about 3 percent per year.

6(f) Reasons for Change in Burden

Table 11 compares the respondent burden in the 2012 ICR renewal with the burden in this ICR renewal. 

The approved burden level in the previous ICR for source respondents was about 36,000 hours per year, 

while this ICR estimates total annual source burden at over 24,000 burden hours per year. This change 

in burden from the previous ICR renewal is primarily due to updated estimates of the number of sources 

and permits subject to the part 71 programs, rather than any new federal mandates (i.e., changes in 

paperwork requirements for respondents). There are several reasons for the changes in estimates in this 

ICR renewal compared to the previous ICR renewal. First, there has been a reduction in the number of 

sources subject to permitting due to the approval of the Southern Ute Indian Tribe’s part 70 program, 

which has resulted in the transition of about 36 permits from the part 71 program (implemented by EPA)

to a part 70 program (implemented by the SUIT). Second, the previous analysis overestimated the 

number of new sources that would get permit during the term of the ICR – The previous analysis 

assumed 174 permits at the end of the analysis (June 30, 2015), while the current analysis estimates a 

total of 85 existing permits at the beginning of the analysis (June 30, 2015). 

Table 11 also shows the annual respondent burden for the delegate permitting agency, the NNEPA, of 

about 1,700 hours, while the previous analysis showed about 13,000 hours annually. Again, this change 

in burden from the previous ICR renewal is primarily due to updated estimates of the number of sources 

subject to permitting, rather than any new federal mandates. Specifically, the change in burden is 

primarily due to the way we have apportioned the permitting authority burden between the EPA and the 

delegate agency, rather than changes in Federal mandates. In the previous analysis, there were 14 

permits under the delegate agency, representing only about 8% of the total permitting authority burden 

(14 delegate permits versus 174 total permits), while in this analysis, we assume 15 permits will be 

under the delegate agency, accounting for about 15% of the apportioned burden (15 delegate permits

versus 98 total permits). 

Table 10. Bottom Line Average Annual EPA Burden and Cost

AGENCY BURDEN AGENCY COST

EPA Role

Number of 

Sources

Annual 

EPA Burden

Average Annual 

Burden per 

Source

Average

Annual 

EPA Cost

Average

Annual Cost

per Source

(hours) (hours) (2014$) (2014$)

Permitting Authority 83 9,594 116 $508,474 $6,126

Oversight of Delegate Agencies 15 38 3 $1,988 $133

Total = 98 9,632 NA $510,462 NA
DRAFT

22

6(g) Burden Statement

Table 12 shows the total annual average burden, the annual burden per respondent, and annual burden 

per sources for each type of respondent, i.e. sources and the single delegate permitting authority.

For the federal government, the EPA is the only affected entity covered by this ICR. We project an 

annual burden of about 9,600 hours or about 116 hours per source in our role as permitting authority and 

about 3 hours per source in our role of oversight of the delegate agency.

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 the EPA's regulations are listed in 40 CFR part 9 and 48 CFR chapter 15. 

To comment on the Agency's need for this information, the accuracy of the provided burden estimates, 

and any suggested methods for minimizing respondent burden, including the use of automated collection 

techniques, the EPA has established a public docket for this ICR under Docket ID Number EPA-HQOAR-2004-0016, which is available for online viewing at www.regulations.gov, or in-person viewing at 

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

Room 3334, 1301 Constitution Avenue, NW, Washington, D.C. The EPA Docket Center Public 

Table 11. Burden Change from 2012 ICR to Current ICR (hours)

Type of Respondent

Average

Annual Burden 

in 2012 ICR

Average Annual 

Burden in ICR 

Renewal Difference % Change

(hours) (hours) (hours) (hours)

Sources 36,375 24,398 -11,977 -33%

Delegate Permitting Authority 1,254 1,734 480 38%

Total = 37,629 26,132 -11,497 NA

Table 12. Burden Statement (hours)

Type of Respondent Number of 

Respondents

Total Annual 

Burden (Hours)

Annual Burden 

per Respondent

(Hours)

Annual Burden 

per Source*

(Hours)

Sources 98 24,398 249 249

Delegate Permitting Authority 1 1,734 1,734 116

* Per-source figures for the delegate permitting authority are based on the 14 sources administered by the NNEPA.
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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, 

access the index listing of the contents of the public docket, and access those documents in the public 

docket that are available electronically. When in the system, select “search,” then key in the Docket ID 

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

Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, D.C. 20503, Attention: 

Desk Officer for EPA. Please include the EPA Docket ID Number EPA-HQ-OAR-2004-0016 and 

OMB Control Number 2060-0336 in any correspondence.

ATTACHMENT 1

THE STATUTORY REQUIREMENTS FOR REPONDENT INFORMATION
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SECTIONS 502 THROUGH 504 OF TITLE V OF THE CLEAN AIR ACT

SEC. 502. PERMIT PROGRAMS

(a) Violations.- After the effective date of any permit program approved or promulgated under 

this title, it shall be unlawful for any person to violate any requirement of a permit issued under this title, 

or to operate an affected source (as provided in title IV), a major source, any other source (including an 

area source) subject to standards or regulations under section 111 or 112, any other source required to 

have a permit under parts C or D of title I, or any other stationary source in a category designated (in 

whole or in part) by regulations promulgated by the Administrator (after notice and public comment) 

which shall include a finding setting forth the basis for such designation, except in compliance with a 

permit issued by a permitting authority under this title. (Nothing in this subsection shall be construed to 

alter the applicable requirements of this Act that a permit be obtained before construction or 

modification.) The Administrator may, in the Administrator's discretion and consistent with the 

applicable provisions of this Act, promulgate regulations to exempt one or more source categories (in 

whole or in part) from the requirements of this subsection if the Administrator finds that compliance 

with such requirements is impracticable, infeasible, or unnecessarily burdensome on such categories, 

except that the Administrator may not exempt any major source from such requirements.

(b) Regulations.- The Administrator shall promulgate within 12 months after the date of the 

enactment of the Clean Air Act Amendments of 1990 regulations establishing the minimum elements of 

a permit program to be administered by any air pollution control agency. These elements shall include 

each of the following:

(1) Requirements for permit applications, including a standard application form and criteria for 

determining in a timely fashion the completeness of applications.

(2) Monitoring and reporting requirements.

(3)(A) A requirement under State or local law or interstate compact that the owner or operator of 

all sources subject to the requirement to obtain a permit under this title pay an annual fee, or the 

equivalent over some other period, sufficient to cover all reasonable (direct and indirect) costs required 

to develop and administer the permit program requirements of this title, including section 507, including 

the reasonable costs of -

(i) reviewing and acting upon any application for such a permit,

(ii) if the owner or operator receives a permit for such source, whether before or after the date 

of the enactment of the Clean Air Act Amendments of 1990, implementing and enforcing the terms and 

conditions of any such permit (not including any court costs or other costs associated with any 

enforcement action),

(iii) emissions and ambient monitoring,

(iv) preparing generally applicable regulations, or guidance,

(v) modeling, analyses, and demonstrations, and

(vi) preparing inventories and tracking emissions.
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(B) The total amount of fees collected by the permitting authority shall conform to the following 

requirements:

(i) The Administrator shall not approve a program as meeting the requirements of this 

paragraph unless the State demonstrates that, except as otherwise provided in subparagraphs (ii) 

through (v) of this subparagraph, the program will result in the collection, in the aggregate, from all 

sources subject to subparagraph (A), of an amount not less than $25 per ton of each regulated pollutant, 

or such other amount as the Administrator may determine adequately reflects the reasonable costs of the 

permit program.

(ii) As used in this subparagraph, the term "regulated pollutant" shall mean (I) a volatile organic 

compound; (II) each pollutant regulated under section 111 or 112; and (III) each pollutant for which a 

national primary ambient air quality standard has been promulgated (except that carbon monoxide shall 

be excluded from this reference).

(iii) In determining the amount under clause (i), the permitting authority is not required to 

include any amount of regulated pollutant emitted by any source in excess of 4,000 tons per year of that 

regulated pollutant.

(iv) The requirements of clause (i) shall not apply if the permitting authority demonstrates that 

collecting an amount less than the amount specified under clause (i) will meet the requirements of 

subparagraph (A).

(v) The fee calculated under clause (i) shall be increased (consistent with the need to cover the 

reasonable costs authorized by subparagraph (A)) in each year beginning after the year of the enactment 

of the Clean Air Act Amendments of 1990 by the percentage, if any, by which the Consumer Price 

Index for the most recent calendar year ending before the beginning of such year exceeds the Consumer 

Price Index for the calendar year 1989. For purposes of this clause - 

(I) the Consumer Price Index for any calendar year is the average of the Consumer Price Index 

for all-urban consumers published by the Department of Labor, as of the close of the 12-month period 

ending on August 31 of each calendar year, and

(II) the revision of the Consumer Price Index which is most consistent with the Consumer Price 

Index for calendar year 1989 shall be used.

(C)(i) If the Administrator determines, under subsection (d), that the fee provisions of the 

operating permit program do not meet the requirements of this paragraph, or if the Administrator makes 

a determination, under subsection (i), that the permitting authority is not adequately administering or 

enforcing an approved fee program, the Administrator may, in addition to taking any other action 

authorized under this title, collect reasonable fees from the sources identified under subparagraph (A). 

Such fees shall be designed solely to cover the Administrator's costs of administering the provisions of 

the permit program promulgated by the Administrator.

(ii) Any source that fails to pay fees lawfully imposed by the Administrator under this 

subparagraph shall pay a penalty of 50 percent of the fee amount, plus interest on the fee amount 

computed in accordance with section 6621(a)(2) of the Internal Revenue Code of 1986 (relating to 

computation of interest on underpayment of Federal taxes).
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(iii) Any fees, penalties, and interest collected under this subparagraph shall be deposited in a 

special fund in the United States Treasury for licensing and other services, which thereafter shall be 

available for appropriation, to remain available until expended, subject to appropriation, to carry out the 

Agency's activities for which the fees were collected. Any fee required to be collected by a State, local, 

or interstate agency under this subsection shall be utilized solely to cover all reasonable (direct and 

indirect) costs required to support the permit program as set forth in subparagraph (A).

(4) Requirements for adequate personnel and funding to administer the program.

(5) A requirement that the permitting authority have adequate authority to:

(A) issue permits and assure compliance by all sources required to have a permit under this title 

with each applicable standard, regulation or requirement under this Act;

(B) issue permits for a fixed term, not to exceed 5 years;

(C) assure that upon issuance or renewal permits incorporate emission limitations and other 

requirements in an applicable implementation plan;

(D) terminate, modify, or revoke and reissue permits for cause;

(E) enforce permits, permit fee requirements, and the requirement to obtain a permit, including 

authority to recover civil penalties in a maximum amount of not less than $10,000 per day for each 

violation, and provide appropriate criminal penalties; and

(F) assure that no permit will be issued if the Administrator objects to its issuance in a timely 

manner under this title.

(6) Adequate, streamlined, and reasonable procedures for expeditiously determining when 

applications are complete, for processing such applications, for public notice, including offering an 

opportunity for public comment and a hearing, and for expeditious review of permit actions, including 

applications, renewals, or revisions, and including an opportunity for judicial review in State court of 

the final permit action by the applicant, any person who participated in the public comment process, and 

any other person who could obtain judicial review of that action under applicable law.

(7) To ensure against unreasonable delay by the permitting authority, adequate authority and 

procedures to provide that a failure of such permitting authority to act on a permit application or permit 

renewal application (in accordance with the time periods specified in section 503 or, as appropriate, title 

IV) shall be treated as a final permit action solely for purposes of obtaining judicial review in State 

court of an action brought by any person referred to in paragraph (6) to require that action be taken by

the permitting authority on such application without additional delay.

(8) Authority, and reasonable procedures consistent with the need for expeditious action by the 

permitting authority on permit applications and related matters, to make available to the public any

permit application, compliance plan, permit, and monitoring or compliance report under section 503(e), 

subject to the provisions of section 114(c) of this Act.

(9) A requirement that the permitting authority, in the case of permits with a term of 3 or more 

years for major sources, shall require revisions to the permit to incorporate applicable standards and 

regulations promulgated under this Act after the issuance of such permit. Such revisions shall occur as 

expeditiously as practicable and consistent with the procedures established under paragraph (6) but not 

later than 18 months after the promulgation of such standards and regulations. No such revision shall be 
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required if the effective date of the standards or regulations is a date after the expiration of the permit 

term. Such permit revision shall be treated as a permit renewal if it complies with the requirements of 

this title regarding renewals.

(10) Provisions to allow changes within a permitted facility (or one operating pursuant to section 

503(d)) without requiring a permit revision, if the changes are not modifications under any provision of 

title I and the changes do not exceed the emissions allowable under the permit (whether expressed 

therein as a rate of emissions or in terms of total emissions: Provided, That the facility provides the 

Administrator and the permitting authority with written notification in advance of the proposed changes 

which shall be a minimum of 7 days, unless the permitting authority provides in its regulations a 

different time frame for emergencies.

(c) Single Permit.- A single permit may be issued for a facility with multiple sources. 

(d) Submission and Approval.- (1) Not later than 3 years after the date of the enactment of the 

Clean Air Act Amendments of 1990, the Governor of each State shall develop and submit to the 

Administrator a permit program under State or local law or under an interstate compact meeting the 

requirements of this title. In addition, the Governor shall submit a legal opinion from the attorney

general (or the attorney for those State air pollution control agencies that have independent legal 

counsel), or from the chief legal officer of an interstate agency, that the laws of the State, locality, or the 

interstate compact provide adequate authority to carry out the program. Not later than 1 year after 

receiving a program, and after notice and opportunity for public comment, the Administrator shall 

approve or disapprove such program, in whole or in part. The Administrator may approve a program to 

the extent that the program meets the requirements of this Act, including the regulations issued under 

subsection (b). If the program is disapproved, in whole or in part, the Administrator shall notify the 

Governor of any revisions or modifications necessary to obtain approval. The Governor shall revise and 

resubmit the program for review under this section within 180 days after receiving notification.

(2)(A) If the Governor does not submit a program as required under paragraph (1) or if the 

Administrator disapproves a program submitted by the Governor under paragraph (1), in whole or in 

part, the Administrator may, prior to the expiration of the 18-month period referred to in subparagraph 

(B), in the Administrator's discretion, apply any of the sanctions specified in section 179(b).

(B) If the Governor does not submit a program as required under paragraph (1), or if the 

Administrator disapproves any such program submitted by the Governor under paragraph (1), in whole 

or in part, 18 months after the date required for such submittal or the date of such disapproval, as the 

case may be, the Administrator shall apply sanctions under section 179(b) in the same manner and 

subject to the same deadlines and other conditions as are applicable in the case of a determination, 

disapproval, or finding under section 179(a).

(C) The sanctions under section 179(b)(2) shall not apply pursuant to this paragraph in any area 

unless the failure to submit or the disapproval referred to in subparagraph (A) or (B) relates to an air 

pollutant for which such area has been designated a nonattainment area (as defined in part D of title I).

(3) If a program meeting the requirements of this title has not been approved in whole for any

State, the Administrator shall, 2 years after the date required for submission of such a program under 

paragraph (1), promulgate, administer, and enforce a program under this title for that State.
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(e) Suspension.- The Administrator shall suspend the issuance of permits promptly upon 

publication of notice of approval of a permit program under this section, but may, in such notice, retain 

jurisdiction over permits that have been federally issued, but for which the administrative or judicial 

review process is not complete. The Administrator shall continue to administer and enforce federally

issued permits under this title until they are replaced by a permit issued by a permitting program. 

Nothing in this subsection should be construed to limit the Administrator's ability to enforce permits 

issued by a State.

(f) Prohibition.- No partial permit program shall be approved unless, at a minimum, it applies, 

and ensures compliance with, this title and each of the following:

(1) All requirements established under title IV applicable to "affected sources."

(2) All requirements established under section 112 applicable to "major sources", "area sources," 

and "new sources."

(3) All requirements of title I (other than section 112) applicable to sources required to have a 

permit under this title. Approval of a partial program shall not relieve the State of its obligation to 

submit a complete program, nor from the application of any sanctions under this Act for failure to 

submit an approvable permit program.

(g) Interim Approval.- If a program (including a partial permit program) submitted under this 

title substantially meets the requirements of this title, but is not fully approvable, the Administrator may

by rule grant the program interim approval. In the notice of final rulemaking, the Administrator shall 

specify the changes that must be made before the program can receive full approval. An interim 

approval under this subsection shall expire on a date set by the Administrator not later than 2 years after 

such approval, and may not be renewed. For the period of any such interim approval, the provisions of 

subsection (d)(2), and the obligation of the Administrator to promulgate a program under this title for 

the State pursuant to subsection (d)(3), shall be suspended. Such provisions and such obligation of the 

Administrator shall apply after the expiration of such interim approval.

(h) Effective Date.- The effective date of a permit program, or partial or interim program, 

approved under this title, shall be the effective date of approval by the Administrator. The effective date 

of a permit program, or partial permit program, promulgated by the Administrator shall be the date of 

promulgation.

(i) Administration and Enforcement.- (1) Whenever the Administrator makes a determination 

that a permitting authority is not adequately administering and enforcing a program, or portion thereof, 

in accordance with the requirements of this title, the Administrator shall provide notice to the State and 

may, prior to the expiration of the 18-month period referred to in paragraph (2), in the Administrator's 

discretion, apply any of the sanctions specified in section 179(b).

(2) Whenever the Administrator makes a determination that a permitting authority is not 

adequately administering and enforcing a program, or portion thereof, in accordance with the 

requirements of this title, 18 months after the date of the notice under paragraph (1), the Administrator 

shall apply the sanctions under section 179(b) in the same manner and subject to the same deadlines and 

other conditions as are applicable in the case of a determination, disapproval, or finding under section 

179(a).
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(3) The sanctions under section 179(b)(2) shall not apply pursuant to this subsection in any area 

unless the failure to adequately enforce and administer the program relates to an air pollutant for which 

such area has been designated a nonattainment area.

(4) Whenever the Administrator has made a finding under paragraph (1) with respect to any 

State, unless the State has corrected such deficiency within 18 months after the date of such finding, the 

Administrator shall, 2 years after the date of such finding, promulgate, administer, and enforce a 

program under this title for that State. Nothing in this paragraph shall be construed to affect the validity

of a program which has been approved under this title or the authority of any permitting authority acting 

under such program until such time as such program is promulgated by the Administrator under this 

paragraph. [42 U.S.C. 7661a]

SEC. 503. PERMIT APPLICATIONS.

(a) APPLICABLE DATE.-Any source specified in section 502(a) shall become subject to a 

permit program, and required to have a permit, on the later of the following dates-

(1) the effective date of a permit program or partial or interim permit program applicable to the 

source; or 

(2) the date such source becomes subject to section 502(a).

(b) COMPLIANCE PLAN.-(1) The regulations required by section 502(b) shall include a 

requirement that the applicant submit with the permit application a compliance plan describing 

how the source will comply with all applicable requirements under this Act. The compliance 

plan shall include a schedule of compliance, and a schedule under which the permittee will 

submit progress reports to the permitting authority no less frequently than every 6 months.

(2) The regulations shall further require the permittee to periodically (but no less frequently than 

annually) certify that the facility is in compliance with any applicable requirements of the permit, and to 

promptly report any deviations from permit requirements to the permitting authority.

(c) DEADLINE.-Any person required to have a permit shall, not later than 12 months after the 

date on which the source becomes subject to a permit program approved or promulgated under this title, 

or such earlier date as the permitting authority may establish, submit to the permitting authority a 

compliance plan and an application for a permit signed by a responsible official, who shall certify the 

accuracy of the information submitted. The permitting authority shall approve or disapprove a 

completed application (consistent with the procedures established under this title for consideration of 

such applications), and shall issue or deny the permit, within 18 months after the date of receipt thereof, 

except that the permitting authority shall establish a phased schedule for acting on permit applications 

submitted within the first full year after the effective date of a permit program (or a partial or interim 

program). Any such schedule shall assure that at least one-third of such permits will be acted on by such 

authority annually over a period of not to exceed 3 years after such effective date. Such authority shall 

establish reasonable procedures to prioritize such approval or disapproval actions in the case of 

applications for construction or modification under the applicable requirements of this Act.
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(d) TIMELY AND COMPLETE APPLICATIONS.-Except for sources required to have a permit

before construction or modification under the applicable requirements of this Act, if an applicant has 

submitted a timely and complete application for a permit required by this title (including renewals), but 

final action has not been taken on such application, the source's failure to have a permit shall not be a 

violation of this Act, unless the delay in final action was due to the failure of the applicant timely to 

submit information required or requested to process the application. No source required to have a permit 

under this title shall be in violation of section 502(a) before the date on which the source is required to 

submit an application under subsection (c).

(e) COPIES; AVAILABILITY.-A copy of each permit application, compliance plan (including 

the schedule of compliance), emissions or compliance monitoring report, certification, and each permit 

issued under this title, shall be available to the public. If an applicant or permittee is required to submit 

information entitled to protection from disclosure under section 114(c) of this Act, the applicant or 

permittee may submit such information separately. The requirements of section 114(c) shall apply to 

such information. The contents of a permit shall not be entitled to protection under section 114(c).

SEC. 504. PERMIT REQUIREMENTS AND CONDITIONS.

(a) CONDITIONS.-Each permit issued under this title shall include enforceable emission 

limitations and standards, a schedule of compliance, a requirement that the permittee submit to the 

permitting authority, no less often than every 6 months, the results of any required monitoring, and such 

other conditions as are necessary to assure compliance with applicable requirements of this Act, 

including the requirements of the applicable implementation plan.

(b) MONITORING AND ANALYSIS.-The Administrator may by rule prescribe procedures and 

methods for determining compliance and for monitoring and analysis of pollutants regulated under this 

Act, but continuous emissions monitoring need not be required if alternative methods are available that 

provide sufficiently reliable and timely information for determining compliance. Nothing in this 

subsection shall be construed to affect any continuous emissions monitoring requirement of title IV, or 

where required elsewhere in this Act.

(c) INSPECTION, ENTRY, MONITORING, CERTIFICATION, AND REPORTING.-Each 

permit issued under this title shall set forth inspection, entry, monitoring, compliance certification, and 

reporting requirements to assure compliance with the permit terms and conditions. Such monitoring and 

reporting requirements shall conform to any applicable regulation under subsection (b). Any report 

required to be submitted by a permit issued to a corporation under this title shall be signed by a 

responsible corporate official, who shall certify its accuracy.

§70.5(c) Standard applications form and required information. The State program under this part shall 

provide for a standard application form or forms. Information as described below for each emissions unit 

at a part 70 source shall be included in the application. The Administrator may approve as part of a State 

program a list of insignificant activities and emissions levels which need not be included in permit 

applications. However, for insignificant activities which are exempted because of size or production 
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31

rate, a list of such insignificant activities must be included in the application. An application may not 

omit information needed to determine the applicability of, or to impose, any applicable requirement, or 

to evaluate the fee amount required under the schedule approved pursuant to §70.9 of this part. The 

permitting authority may use discretion in developing application forms that best meet program needs 

and administrative efficiency. The forms and attachments chosen, however, shall include the elements 

specified below:

(1) Identifying information, including company name and address (or plant name and address if 

different from the company name), owner's name and agent, and telephone number and names of plant 

site manager/contact.

(2) A description of the source's processes and products (by Standard Industrial Classification 

Code) including any associated alternative scenario identified by the source.

(3) The following emission related information:

(i) All emissions of pollutants for which the source is major, and all emissions of regulated air 

pollutants. A permit application shall describe all emissions of regulated air pollutants emitted from any

emissions unit, except where such units are exempted under this paragraph (c) of this section. The 

permitting authority shall require additional information related to the emissions of air pollutants 

sufficient to verify which requirements are applicable to the source, and other information necessary to 

collect any permit fees owed under the fee schedule approved pursuant to §70.9(b) of this part.

(ii) Identification and description of all points of emissions described in paragraph (c)(3)(i) of 

this section in sufficient detail to establish the basis for fees and applicability of requirements of the Act.

(iii) Emissions rate in tpy and in such terms as are necessary to establish compliance consistent 

with the applicable standard reference test method.

(iv) The following information to the extent it is needed to determine to regulate emissions: 

Fuels, fuel use, raw materials, production rates, and operating schedules.

(v) Identification and description of air pollution control equipment and compliance monitoring 

devices or activities.

(vi) Limitations on source operation affecting emissions or any work practice standards, where 

applicable, for all regulated pollutants at the part 70 source.

(vii) Other information required by any applicable requirement (including information related to 

stack height limitations developed pursuant to section 123 of the Act.)

(viii) Calculations on which the information on paragraphs (c)(3)(i) through (c)(3)(vii) of this 

section is based.

(4) The following air pollution control requirements:

(i) Citation and description of all applicable requirements, and

(ii) Description of or reference to any applicable test method for determining compliance with 

each applicable requirement.

(5) Other specific information that may be necessary to implement and enforce other applicable 

requirements of the Act or of this part or to determine the applicability of such requirements.

(6) An explanation of any proposed exemptions from otherwise applicable requirements.
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32

(7) Additional information as determined to be necessary by the permitting authority to define 

alternative operating scenarios identified by the source pursuant to § 70.6(a)(9) of this part or to define 

permit terms and conditions implementing § 70.4(b)(12) or § 70.6(a)(10) of this part.

(8) A compliance plan for all part 70 sources that contains all the following:

(i) A description of the compliance status of the source with respect to all applicable 

requirements.

(ii) A description as follows:

(A) For applicable requirements with which the source is in compliance, a statement that the 

source will continue to comply with such requirements.

(B) For applicable requirements that will become effective during the permit term, a statement 

that the source will meet such requirements on a timely basis.

(C) For requirements for which the source is not in compliance at the time or permit issuance, a 

narrative description of how the source will achieve compliance with such requirements.

(iii) A compliance schedule as follows:

(A) For applicable requirements with which the source is in compliance, a statement that the 

source will continue to comply with such requirements.

(B) For applicable requirements that will become effective during the permit term, a statement 

that the source will meet such requirements on a timely basis. A statement that the source will meet in a 

timely manner applicable requirements that become effective during the permit term shall satisfy this 

provision, unless a more detailed schedule is expressly required by the applicable requirement.

(C) A schedule of compliance for sources that are not in compliance with all applicable 

requirements at the time of permit issuance. Such a schedule shall include a schedule of remedial 

measures, including an enforceable sequence of actions with milestones, leading to compliance with any

applicable requirements for which the source will be in noncompliance at the time of permit issuance. 

This compliance schedule shall resemble and be at least as stringent as that contained in any judicial 

consent decree or administrative order to which the source is subject. Any such schedule of compliance 

shall be supplemental to and shall not sanction noncompliance with, the applicable requirements on 

which it is based.

(iv) A schedule for submission of certified progress reports no less frequently than every 6 

months for sources required to have a schedule of compliance to remedy a violation.

(v) The compliance plan content requirements specified in this paragraph shall apply and be 

included in the acid rain portion of a compliance plan for an affected source, except as specifically 

superseded by regulations promulgated under title IV of the Act with regard to the schedule and 

method(s) the source will use to achieve compliance with the acid rain emissions limitations.

(9) Requirements for compliance certification, including the following:

(i) A certification of compliance with all applicable requirements by a responsible official 

consistent with paragraph (d) of this section and section 114(a)(3) of the Act;

(ii) A statement of methods used for determining compliance, including a description of 

monitoring, record keeping, and reporting requirements and test methods;
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33

(iii) A schedule for submission of compliance certifications during the permit term, to be 

submitted no less frequently than annually, or more frequently if specified by the underlying applicable 

requirement or by the permitting authority; and

(iv) A statement indicating the source's compliance status with any applicable enhanced 

monitoring and compliance certification requirements of the Act.

(10) The use of nationally-standardized forms for acid rain portions of permit applications and 

compliance plans, as required by regulations promulgated under title IV of the Act.

(d) Any application form, report, or compliance certification submitted pursuant to these 

regulations shall contain certification by a responsible official of truth, accuracy, and completeness. This 

certification and any other certification required under this part shall state that, based on information and 

belief formed after reasonable inquiry, the statements and information in the document are true, 

accurate, and complete.
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ATTACHMENT 2

ADJUSTMENTS TO BASELINE BURDEN TO ACCOUNT FOR 

GHG TAILORING RULE AND FAP RULE BURDEN
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Adjustments to Baseline Burden to Account for GHG Tailoring Rule Burden

GHG Activity Assumptions Adjustment

Source: 

Application – Add 

GHG to non-GHG 

source

Assume this only applies to PSD 

“anyway” sources under Tailoring Rule 

(TR). Assume all new sources are anyway 

sources. TR ICR assumes incremental 

burden above baseline burden of 10%.

Increase hours/activity burden 

assumption for each initial application 

and initial permit issuance activity by 

10% (e.g., “public hearing” changes from 

10 hours to 11 hours).

This effects the following activities: 

 Draft Permit Interaction

 Periodic monitoring development

 Public hearing 

Permitting Authority: 

Application – Add 

GHG to non-GHG 

source

Assume this only applies to PSD 

“anyway” sources under Tailoring Rule 

(TR). Assume all new sources are anyway 

sources. TR ICR assumes incremental 

burden above baseline of 10%.

Increase hours/activities burden 

assumption for each initial application 

and initial permit issuance activity by 

10% (e.g., “public hearing” changes from 

100 hours to 110 hours).This effects the 

following activities: 

 Application review, 

 Drafting permit, 

 Public & affctd state notice, Public 

hearing, 

 Finalize draft w/ public com &

Issuance, notific., web, 

Source:

Modification – Due 

to GHG

Tailoring Rule Assumes about 6% of 

permits every year (18% every 3 years) 

will need additional mods related to 

GHGs. Assume all are significant mods. 

The baseline assumption is that 10 % of 

existing permits each year undergo a 

significant mod. 

Increase the number of significant mods 

each year by an additional 6%. Result is 

that 16% of existing permits at the 

beginning of each ICR year undergo a 

significant mod.

This affects “Revisions, significant - 3 yr.” 

Permitting Authority: 

Modification – Due 

to GHG

Tailoring Rule Assumes about 6% of 

permits every year (18% every 3 years) 

will need additional mods related to 

GHGs. Assume all are significant mods. 

The baseline assumption is that 10 % of 

existing permits each year undergo a 

significant mod. 

Increase the number of significant mods 

each year by an additional 6%. Result is 

that 16% of existing permits at the 

beginning of each ICR year undergo a 

significant mod.

This affects “Revisions, significant - 3 yr.”

Source:

Modification – Add 

GHG to non-GHG 

permit.

The burden of all significant and minor 

permit mods increases due to considering 

GHGs. The TR ICR assumes the burden of 

all mods increases by 4 hours.

Increase the burden/hour assumption for 

significant and minor permit mods by 4 

hours (e.g., “permit revisions, minor” 

increases from 40 hours to 44 hours).

Permitting Authority:

Modification – Add 

GHG to non-GHG 

permit.

The burden of all significant and minor 

permit mods increases due to considering 

GHGs. The TR ICR assumes the burden of 

all mods increases by 4 hours.

Increase the burden/hour assumption for 

significant and minor permit mods by 4 

hours (e.g., “permit revisions, minor” 

increases from 30 hours to 34 hours).

Source: 

Add GHG at 

Renewal

The TR ICR assumes 80% of renewals 

(for combustion sources) will experience a 

10% incremental burden.

Increase the burden/hour assumption for 

“permit renewal applications” and 

“Other permit renewal activities” by 

10% (e.g., “Permit renewal applic.” 

changes from 200 hours to 220 hours).
DRAFT

36

Adjustments to Baseline Burden to Account for GHG Tailoring Rule Burden

GHG Activity Assumptions Adjustment

Permitting Authority 

Add GHG at 

Renewal

The TR ICR assumes 80% of renewals 

(for combustion sources) will experience a 

10% incremental burden.

Increase the burden/hour assumption for 

“Renewing permits” by 8% (e.g., 

“Renewing Permits” changes from 90 hours 

to 97 hours).

EPA Oversight of 

Mods due to GHG: 

 Review Mod Due 

to GHG

 Consult on Mod 

Due to GHG

EPA Oversight of such mods occurs for 

permits delegated to the Navaho Nation. 

EPA reviews all such mods and consults 

on 25% of them. EPA assumes 6% of 

existing permits per year (18% over 3 

years) on the Navaho Reservation will be 

revised for this reason as significant mods. 

Assume EPA oversight = 

 Baseline EPA oversight 

 + review all mods due to GHG 

 + consult in 1/4 of mods due to 

GHG.

Annually:

= (# of Nav. permits * 2 hr/yr * 3 yrs) 

+ (6% of Nav. permits * 8 hr/yr * 3 yrs) 

+ 1⁄4 (6% of Nav. permits * 8 hr/yr * 3 yrs) 

Every 3 years:

= # of Nav. permits * 6 hrs

+ 18% of Nav. permits * 8 hrs

+4.5% of Nav. Permits * 8 hrs

Simplify (3 yr):

= # of Nav. permits * 6 hrs

+22.5% of Nav permits * 8 hrs
DRAFT

37

Adjustments to Baseline Burden to Account for FAP Rule Burden

Note that the part 71 ICR assumes the typical single source permit experiences 1 minor permit 

modification every 2 years and 1 significant modification every 10 years, so using the assumptions of 

the FAP ICR for avoided burden would lead to a reduction of almost all permit modification burden for 

all permitted sources in the part 71 ICR, which is not consistent with agency experience. This would 

occur because the FAP ICR focused on a highly complex subset of sources, which are not representative 

of the typical part 71 sources; thus, the part 71 ICR does not have the data richness to accurately

incorporate these burden reductions and would tend to significantly overestimate the burden reductions. 

Consequently, for the purposes of this analysis, we will assume that sources with either Tier 1 or Tier 2 

mechanisms in their part 71 permits will have no permit modification burden during the ICR period, 

which will result in more modest burden reductions, which we believe are more representative of the 

overall effect of the FAP rule on the permitting program.

Adjustments to Baseline Burden to Account for FAP Rule Burden

GHG Activity Assumptions Adjustment

Source and Permitting 

Authority:

Tier 1 – 5 MPM 

avoided per year

FAP ICR assumes 5% of sources 

will get a Tier 1 permit, which will 

result in 5 MPM avoided per year.

Reduce the number of MPMs that occur by 

10%. We assume 10% rather than 5% because 

Tier 2 FAPs reduce MPM burden for 10% of 

sources, as shown below, and because we assume 

each source with a FAP will have no MPM 

burden each year.

Sources and Permitting 

Authority:

Tier 1 – 1 SPM avoided 

per year

FAP ICR assumes 5% of sources 

will get a Tier 1 permit, which will 

result in 1 SPM avoided every 5 

years.

Reduce the number of SPMs that occur each 

year by 5%

Source:

Tier 2 – New Sources

FAP ICR assumes 10% of new 

permits will incorporate Tier 2 

provisions, resulting in 60 hours 

more burden to issue the permit.

10% of new permits will have added burden of 60 

hours to put FAP into their application. Thus, 

assume each new application have 6 hours of 

added burden for sources. Revise “Draft 

Permit Interaction” because this activity applies 

to all new permits (new sources plus backlogged 

permit applications). 

Permitting authority:

Tier 2 – New Sources

FAP ICR assumes 10% of new 

permits will incorporate Tier 2 

provisions, resulting in 45 hours 

more burden to issue the permit.

10% of new permits will have added burden of 45 

hours for PAs for FAP review. Thus, assume 

each new permit will have 4.5 hours of added 

burden for PAs. Revise “Draft Permit 

Preparation” because this activity applies to all 

new permits (new sources plus backlogged permit 

applications).

Sources and Permitting 

authority:

Tier 2 – 1 MPM 

avoided per year

FAP ICR assumes 10% of sources 

will get a Tier 2 permit, which will 

result in 1 MPM avoided per year.

Reduce the number of MPMs that occur by 

10%.