United States Environmental Protection Agency 

Office of Air and Radiation

Office of Air Quality Planning and Standards

DRAFT SUPPORTING 

STATEMENT FOR THE 

PART 71

FEDERAL OPERATING 

PERMIT PROGRAM

prepared by

Jeff Herring, Environmental Scientist

Air Quality Policy Division

Operating Permits Group

6

EPA

December 2011

EPA # 1713.10
E-1

Title V of the Clean Air Act requires each State to develop and submit to 

EPA for approval an operating permit program that meets the 

requirements of title V. Where a State fails to submit an approvable 

program, title V requires EPA to implement a program instead. [See

§ 502(d).] Moreover, EPA must implement a program in any area where a 

State, local or tribal program is not effective, including in Indian country, 

certain areas offshore where the Outer Continental Shelf Lands Act (OCS) 

and Deepwater Port Act (DWPA) applies, and in any location with an 

approved part 70 program, where EPA has made a finding that the 

program is deficient and EPA takes over permitting responsibilities. Also, 

EPA issues individual title V permits in situations where there is an 

approved part 70 program, but EPA has objected to the issuance of a 

particular permit, and the State has failed to resolve the objection. For any

existing rule, § 3507(g) of the Paperwork Reduction Act limits how long a 

Director may approve a collection of information to 3 years. 

On September 12, 2007, OMB approved the ICR renewal for part 71 

(OMB number 2060-0336, EPA tracking # 1713.06) for 36 months (it was 

scheduled to expire on September 30, 2010). On April 22, 2009, OMB 

approved a revision to the previously approved collection related to the 

final rule for Flexible Air Permits (EPA tracking # 1713.09) and as part of 

this approval OMB extended the expiration date of the ICR to April 30, 

2012. This ICR is a renewal of the September 2007 ICR.

Table E-1 displays the expected annual burden and the expected change in 

annual burden for sources, permitting authorities, and the Federal 

government for implementation of the part 71 Operating Permits Program 

under Title V of the Clean Air Act between May 2012 and April 2015. 

This ICR represents an overall increase in expected burden of over 38

percent for respondents (sources) and 32 percent for permitting authorities 

compared to that reported in the 2007 ICR. 

Executive Summary
E-2

TABLE E-1

BURDEN CHANGE FROM 2007 ICR TO CURRENT ICR (in hours)

Average Annual Burden

in 2007 ICR Renewal

Average Annual Burden

in Current ICR Renewal Difference

Sources 27,218 37,413 10,195

PA (Tribe) N/A 1,318 N/A

Federal (PA) 12,372 15,066 4,011

Federal (Oversight) N/A 24 N/A

TOTAL 39,591 53,820 14,229

In 2007 ICR renewal (EPA tracking # 1703.06), the Agency estimated the 

annualized burden to part 71 sources at 27 thousand hours. The current 

ICR estimates the annualized burden to sources at about 37 thousand 

hours, primarily due to an increase in the number of sources subject to 

permitting. The 2007 renewal included 123 sources, while this update 

expects 174 sources, including Indian country sources, OCS sources1, 

DWPA sources,2sources subject to permitting due to the GHG Tailoring 

rule, and any part 70 sources with unresolved EPA objections. Thus, there 

is an increase in respondent (source) burden in this renewal compared to 

the 2007 renewal due to changes in our estimate of the number of 

permitted sources. This increase is due to increased economic activity,

which the existing regulations are designed to accommodate, rather than 

due to any changes in information collection requirements. This increased 

estimate better reflects the actual numbers of sources and activities under 

part 71 during the period. There were no changes necessary to the part 71 

forms to accommodate the two previous rule changes and the part 71 

forms are not being changed as part of this renewal.

 

1 Certain oil and natural gas exploration and development sources, such as drill ships and 

drilling platforms, and alternative energy projects (e.g., wind and wave energy projects) 

located offshore under the Outer Continental Shelf Lands Act, 43 U.S.C. § 1331 et seq.; 

43 U.S.C § 1501 et seq.

2 Certain oil and liquefied natural gas (LNG) terminals or ports located offshore under the 

Deepwater Port Act, 33 U.S.C. § 1501 et seq.

CONCLUSION: This ICR represents an INCREASE IN BURDEN FOR 

SOURCES, relative to the prior ICR.
E-3

Although Tribes had authority to seek delegation of part 71 permitting at 

the time of the last ICR renewal, none had done so, so that renewal 

identified EPA as the only permitting authority. This ICR identifies EPA 

and one delegate agency, the Navaho Nation, as permitting authorities

because, since the last ICR renewal, EPA entered into a delegation 

agreement with the Navaho Nation for them to assume responsibility for 

14 existing part 71 sources located within the exterior boundaries of their 

delegated program area in Indian country -- EPA will continue to act as 

the permitting authority for the remaining 160 part 71 sources included in 

this renewal. Also related to the delegation agreement with the Navaho 

Nation, EPA will perform some program oversight activities (similar to 

the oversight EPA performs for states with approved part 70 programs), 

which will be tracked separately in this ICR. It is possible that additional 

Indian tribes may seek delegation for part 71 in the future but it is unlikely

that any new delegation agreements would be approved and effective 

before this new renewal ICR is scheduled to expire.

In the 2007 renewal, EPA estimated its annualized burden at 12 thousand 

hours, while this update predicts about 15 thousand hours annually, 

divided between EPA and the delegate agency. This increase in permitting 

authority burden is due to the same reasons as sources: an increase in the 

number of sources expected to be permitted, which is primarily due to an 

increase in the estimate of the number of offshore oil and gas exploration 

sources and alternate energy projects (under OCS rules) and offshore 

liquefied natural gas (LNG) terminals (under DWPA rules). This translates 

into an increase in permitting authority burden of about 32 percent 

compared to the 2007 ICR renewal.
E-4

Since the 2007 renewal, EPA promulgated two new regulatory revisions 

that apply to both part 70 and part 71: the Flexible Air Permits Rule3and 

the GHG Tailoring rule4. OMB has previously approved ICR changes 

related to these rules under EPA tracking numbers 1587.10, 1703.095and 

EPA tracking # 1587.11

6

and these changes are updated as part of this 

analysis. The first rule resulted in a net reduction in burden for a large 

number of existing sources, while the second resulted in an increase in 

burden for a modest number of newly subject sources and small increases 

in burden for a large number of existing sources. In this analysis these two 

rule changes have resulted in nearly offsetting decreases and increases in 

burden compared to the baseline analysis (the term baseline analysis used 

here refers to the analysis performed for the 2007 ICR renewal, which did 

not account for the Flexible Air Permits and GHG Tailoring rules). For 

this ICR renewal, we first calculate burden by updating the analysis 

performed for the 2007 ICR renewal, then we account for the recently 

OMB-approved changes related to the Flexible Permits and Tailoring rules

just prior to calculating the bottom line burden and costs for this renewal 

ICR. In the way, it is easier for the reader to see the relative changes in 

burden from the 2007 baseline and changes attributable to the two recent 

rule revisions.

 

3 Operating Permit Programs, Flexible Air Permits Rule, Final Rule (74 FR 51418, 

October 6, 2009).

4

Prevention of Significant Deterioration and Title V Greenhouse Gas Tailoring Rule, 

Final Rule (75 FR 31514, June 3, 2010). 

5

Information Collection Request for Changes to the Part 70 Operating Permit 

Regulations, the Part 71 Operating Permits Regulations, and the Parts 51 and 52 

Prevention of Significant Deterioration Regulation and Non-Attainment New Sources 

Review Regulations for Flexible Air Permits, November 2008 (EPA tracking numbers 

1587.10 and 1703.09).

6

Information Collection Request for State Operating Permit Regulations (40 CFR part 

70) Change Justification, EPA tracking # 1587.11.
Table of Contents

Executive Summary..........................................E-1

1. Identification of the Information Collection...............1

2. Need and Use of the Collection...............................5

3. Non-Duplication, Consultation, and Other 

Collection Criteria..............................................7

4. The Respondents and the Information Requested......11

5. The Information Collected - Collection Methodology 

and Information Management...............................15

6. Estimating the Burden and Cost of the Collection......17

Attachment 1 

The Statutory Requirements for Respondent 

Information ......................................................................31

Attachment 2 

February 9, 2007 Federal Register Notice................43
Draft Supporting Statement For the Part 71 Federal Operating Permit Program

Page 1

December 2011

This analysis is titled: “Draft Supporting Statement for the Part 71 Federal 

Operating Permit Program” It fulfills the Agency's requirements under the 

Paperwork Reduction Act (PRA) to determine, report, and periodically

update the regulatory burden associated 

with the Federal Operating Permits 

Program, codified in title 40 of the Code 

of Federal Regulations (40 CFR) 

part 71. It has been assigned EPA 

tracking number ICR # 1713.10 and 

OMB tracking number 2060-0336.

The part 71 program is a Federal operating permit program implemented 

by 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 OCS and DWPA regulations apply, where there is a deficient 

State or local (part 70) permit program, and where 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 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 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 EPA to 

promulgate regulations setting forth provisions under which State, local, 

or tribal agencies will develop operating permit programs and submit them 

to EPA for approval. Pursuant to this section, EPA promulgated 40 CFR 

part 70 on July 21, 1992 (57 FR 32250) which specifies the minimum 

elements of State operating permit programs.

1 Identification of the Information Collection

1.1 Title

1.2 Description

EPA TRACKING 

NUMBER:

1713.10

OMB TRACKING 

NUMBER:

2060-0336
Draft Supporting Statement For the Part 71 Federal Operating Permit Program

Page 2

December 2011

Pursuant to regulations promulgated by EPA on February 19, 1999 (64 FR 

8,247) EPA has authority to establish part 71 programs within Indian 

country, and EPA began administering the program in Indian country on 

March 22, 1999. Since many Indian tribes lack the resources and capacity

to develop operating permit programs under part 70, EPA will administer 

and enforce part 71 programs in the areas that comprise Indian country in 

order to protect the air quality of areas under tribal jurisdiction.

The EPA intends to protect tribal air quality through the development of 

implementation plans, permits programs and direct assistance to tribes in 

developing comprehensive and effective air quality management 

programs. The EPA will consult with tribes to identify their particular 

needs for air program development assistance and will provide ongoing 

assistance as necessary. There are approximately 130 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 this ICR period (April 

2015). This is an increase from the last ICR renewal, due to an increase in 

the estimate of the number of major sources expected in Indian country. 

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. Using data from the Department of 

the Interior, Bureau of Ocean Energy Management, EPA estimates that 

there are currently 6 OCS sources with part 71 permits and as many as 9 

additional OCS sources that may seek part 71 permits during the period of 

this ICR renewal. Our estimates of the number of OCS sources has 

changed through the years but there has been increasing interest in 

developing offshore oil and gas and alternative energy resources and 

because of this better information has recently become available. Thus, 

this is a change from the last ICR update, where EPA assumed there might 

be up to 3 OCS sources.

Deepwater Port sources (DWPA sources) are fixed or floating structures 

that are located beyond State seaward boundaries, intended for the 

1.2.1 Federal 

Program Where 

There Is No 

State, Local or 

Tribal Program
Draft Supporting Statement For the Part 71 Federal Operating Permit Program

Page 3

December 2011

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,” EPA must issue the title V 

permit for them [see § §1518(a)(1) of the DWPA]. Note that the previous 

ICR estimated 1 DPA source and 3 seeking permits for a total of 4 such 

sources. Using updated data from the U.S. Coast Guard, Deepwater Ports 

Standards Division, EPA estimates we have issued 6 permits to such 

sources by the beginning of the ICR period and that we will issue as many

as 10 additional part 71 permits to such sources by the end of this ICR 

renewal, bringing the total included in this analysis up to 16.

Section 502(i)(4) of the Act requires EPA to promulgate, administer, and 

enforce a title V program if EPA makes a determination that a State or 

local permitting authority is not adequately administering or enforcing 

their EPA-approved title V permitting program. This requirement is 

implemented through regulations promulgated by EPA on July 1, 1996 (61 

FR 34,202), specifically by §§ 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 EPA 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 EPA, and thus this ICR renewal does not include 

such scenarios. There are currently no NODs in place at this time and due 

to the maturity of the part 70 programs we believe it is unlikely EPA will 

take over all additional part 70 permits in this manner during the period of 

this ICR.

Section 505(c) of the Clean Air Act provides that if a permitting authority 

fails to submit a permit to EPA that satisfies an EPA objection, then the 

EPA shall issue a permit that meets the requirements of the Act. The 

1.2.2 Federal 

Program as a 

Backstop for 

Deficient State 

Programs

1.2.3 Federal 

Program for 

Deficient State 

Permits
Draft Supporting Statement For the Part 71 Federal Operating Permit Program

Page 4

December 2011

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 EPA shall issue a part 71 permit instead. There is currently 1 

part 70 source that has been issued a part 71 permit for this reason and we 

do not expect any additional part 71 sources for this reason during the 

period of this ICR.
Draft Supporting Statement For the Part 71 Federal Operating Permit Program

Page 5

December 2011

When 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 (section 503). EPA must then issue the permit within 

18 months of receiving a complete application (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 (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 (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 (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 (section 503(e)), and the public shall be given public notice of, 

and an opportunity for comment on, permit actions (section 502(b)(6)). A 

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

For EPA to carry out its required oversight function of reviewing proposed 

permits and permit revisions and assuring adequate implementation of the 

program, it must have available to it information on permit applications 

and issuance, permit revisions and renewals, and source data reports. The 

burden estimates included in this ICR provides emissions, source, and 

control information for the title V program.

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 Paperwork Reduction Act 

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 

2 Need and Use of the Collection

2.1 Need / Authority 

for the 

Collection

2.2 Practical Utility / 

Users of the 

Data

2.3 Caveats and 

Considerations
Draft Supporting Statement For the Part 71 Federal Operating Permit Program

Page 6

December 2011

the level of burden or cost that will occur during the three 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 three 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.
Draft Supporting Statement For the Part 71 Federal Operating Permit Program

Page 7

December 2011

The need for the data required by the part 70 and part 71 operating permits 

programs 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 permits 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 cannot ignore its requirement for 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 previously 

collected (e.g., State permits under State plans), the program may replace 

those activities and avoid duplication of efforts.

For any existing rule, § 3507(g) of the PRA limits the length of time for 

which the Director may approve a collection of information to 3 years.

On September 12, 2007, OMB approved the ICR renewal for part 71 

(OMB number 2060-0336, EPA tracking # 1713.06) for 36 months (it was 

scheduled to expire on September 30, 2010). On April 22, 2009, OMB 

approved a revision to the previously approved collection related to the 

final rule for Flexible Air Permits (EPA tracking # 1713.09) and as part of 

that approval OMB extended the expiration date of the ICR to April 30, 

2012. This ICR is a renewal of the September 2007 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 EPA to solicit comment on each proposed 

information collection, including the renewal or modification of any

existing ICR. On February 9, 2007 (72 FR 6233) EPA published a notice 

soliciting comment on an analysis of burden for the part 71 program for 

the 3-year period of this ICR (i.e., July 1, 2007 to June 30, 2010). A copy 

3 Non-Duplication, Consultation, and Other Collection Criteria

3.1 Non-Duplication

3.2 Public Notice 

Requirements
Draft Supporting Statement For the Part 71 Federal Operating Permit Program

Page 8

December 2011

of the February 2007 notice is included in this ICR as Attachment 2. No 

public comments were received.

The current ICR was prepared using data on the numbers of sources and 

permits that are updated on a semiannual by basis by each of EPA’s ten 

Regional Offices. It is these EPA Regional Offices where the part 71 

permitting activities are carried out by EPA. The actual rates of permit 

issuance and permit renewal are reported by the Regional Offices into an 

EPA database every six months. The 3 or 4 years of data in this database 

was reviewed for purposes of estimating existing sources and permits and 

the backlog of initial and renewal permits.

The previous ICR discussed three consultative activities that we believed 

would provide additional details on the burden associated with this 

program. They include a series of title V program evaluations, a request of 

the State and Territorial Air Pollution Program Administrators/Association 

of Local Air Pollution Control Officials (STAPPA/ALAPCO) permitting 

authorities (now called the National Association of Clean Air Agencies or 

NACAA) to provide their experiences on title V burden, and an external 

taskforce on title V. 

The first activity is a series of comprehensive permit program evaluations 

for most of the nation’s 112 title V operating permitting programs. These 

evaluations, now completed, did not result in quantitative data that would 

cause us to make any major changes to the burden and cost assumptions 

we have used in the past for these ICRs, but they did result in information 

generally consistent with past responses to surveys we have received from 

State and local agencies and that are consistent with the assumptions we 

make in this ICR. However, the information resulted in a minor change in 

assumptions we incorporated into the 2007 ICR and we include these 

assumption in this ICR renewal. 

The second activity was a request to review EPA’s burden hour 

assumptions by members of NACAA’s subcommittee on permitting.

During a conference call with them, EPA received input on the draft ICR 

3.3 Consultations
Draft Supporting Statement For the Part 71 Federal Operating Permit Program

Page 9

December 2011

renewal for part 70 released for public comment. Consistent with 

NACAA’s input during that consultation, changes were made to burden 

estimates for certain activities performed by EPA when it is the permitting 

authority under title V. Also, consistent with NACAA’s concerns, changes 

were made to the 2007 ICR and these changes are also carried forward in 

this ICR renewal.

The third activity falls under the purview of the Clean Air Act Advisory

Committee. A taskforce (known as title V taskforce) was convened to hear 

testimony from industry, State government and environmentalists on the 

performance of title V programs and to identify elements of the programs 

that are working well or poorly. The taskforce effort resulted in a list of 

recommendations to EPA on changes to policy and rulemakings to make 

the permit programs more effective; they did not result in any quantitative 

data on burden and cost of permitting, thus, this effort did not result in any 

data useful for purposes of this ICR. (See 

http://www.epa.gov/oar/oaqps/permits/taskforce.html)

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 section 503(b)(1) 

and (2), respectively, of the Act. EPA has no leeway to require less 

frequent reporting.

The CAA 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.

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 

3.4 Effects of Less 

Frequent 

Collection

3.5 General 

Guidelines

3.6 Confidentiality
Draft Supporting Statement For the Part 71 Federal Operating Permit Program

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December 2011

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

directly to EPA. Such information will be stored in EPA’s Confidential 

Business Information office.
Draft Supporting Statement For the Part 71 Federal Operating Permit Program

Page 11

December 2011

Respondents to this information collection come from sources located

where EPA is the permitting authority [e.g., in Indian country, offshore 

(OCS and Deepwater Ports sources), and where there are unresolved EPA 

objections to part 70 permits]. For the purposes of this ICR, the Agency

identified the following existing part 71 sources: 130 in Indian country, 6 

OCS sources, 6 DWPA sources, and 1 source due to unresolved objection

of a part 70 permit. There may also be by the end of the period covered by

this ICR up to an additional 6 permits issued due to economic growth in 

Indian Country, up to 9 additional OCS sources and up to 10 additional 

DWPA sources subject to permitting under part 71. EPA assumes there is 

one source subject to part 71 because of an EPA objection to part 70 

permits (assuming the State will not adequately resolve the objection). The 

Regulatory Impact Assessment (RIA) for the GHG Tailoring rule 

estimated there would be up to 552 new sources nationally due solely to 

emissions of GHG, and for purposes of this ICR renewal, we estimate 

there will be up to 6 new GHG sources subject to part 71. Thus, this 

analysis includes a total of 143 sources currently with part 71 permits and 

an increase of 31 new sources over the ICR period for a permitted total of 

174 sources by the end of the ICR period (April 2015).

For this update, 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 EPA’s satisfaction and no 

part 71 permits were issued in response to such programs deficiencies in 

the interim. Also, at this time 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.

4 The Respondents and the Information Requested

4.1 Respondents
Draft Supporting Statement For the Part 71 Federal Operating Permit Program

Page 12

December 2011

SIC and NAICS Codes for Part 71 Sources in Indian Country

(as of 10/30/06)

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

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 70. These activities represent the 

Agency’s best representation of the burdens experienced by sources and 

permitting authorities for part 70 and 71 requirements.

4.2 Information 

Requested
Draft Supporting Statement For the Part 71 Federal Operating Permit Program

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December 2011

Under Operating Permits rules, the following data items must be 

submitted by permitting authorities to the EPA:

1. Applications for permits, permit revisions, and permit renewals

2. Draft / proposed permits, permit revisions, or permit renewals

3. Final permits

4. Annual reports of enforcement activities

5. Semi-annual reports on compliance monitoring

For this analysis, the submittals above are only necessary for the small 

fraction of permit handled by the one delegate agency (14 permits). The 

majority of permits will be issued, implemented, and enforced by the EPA 

as permitting authority (160 permits).

Under Operating Permit rules, the following data items must be 

submitted by sources to permitting authorities:

1. Applications for permits, permit revisions, and permit renewals

2. Semi-annual periodic monitoring reports

3. Annual compliance certification reports

When the Agency 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 these 

statutory requirements for reference purposes. 

4.2.1 Required Data 

Items
Draft Supporting Statement for the Part 71 Federal Operating Permit Program

Page 14

December 2011

5.1 Collection Methodology and Management

For the part 71 program, when EPA is the permitting authority, 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 

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. When a delegate agency is the permitting 

authority, the delegate agency will receive copies of these documents.

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 to most non-major source 

categories (up to 50,000 small sources) for which compliance with title V 

will be impracticable, infeasible, or unnecessarily burdensome. (For 

example, see a recent final rule, 70 FR 75320, December 19, 2005, which 

exempted a large number of small sources.) 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, 

because this ICR represents a increase of burden due to a change in EPA 

estimate concerning the number of permits expected to be issued, which 

better reflects actual implementation experience, rather than any new 

information collection requirements, thus there are no adverse effects to be 

identified vis a vis small entities and small businesses.

Items identified in section 4.2.1 are listed below with their schedule for 

submission.

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 

5 The Information Collected – Collection Methodology and Information 

Management

5.1 Collection 

Methodology 

and 

Management

5.2 Small Entity

Flexibility

5.3 Collection 

Schedule
Draft Supporting Statement for the Part 71 Federal Operating Permit Program

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December 2011

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 periodic 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
Draft Supporting Statement for the Part 71 Federal Operating Permit Program

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December 2011

Table 1 lists all of the affected sources subject to permitting by EPA 

included in this analysis and the date they begin being subject to 

permitting by EPA.

TABLE 1

IMPLEMENTATION SCHEDULE FOR SOURCES PERMITTED BY EPA

Indian 

Country

Sources

OCS

Sources

DWPA

Sources

Due to 

EPA

Objection

GHG 

Tailoring

Sources

May 1, 2012 130 6 6 1 0

April 30, 2013 2 3 3 0 2

April 30, 2014 2 3 3 0 2

April 30, 2015 2 3 4 0 2

Total 136 15 16 1 6

During three years of this ICR, the Agency will manage 136 sources in 

Indian country, up to 15 OCS sources, up to 16 Deepwater Port sources, up 

to 1 permit issued because of EPA objection to a part 70 permit and up to 6 

GHG Tailoring sources.

The EPA has issued 105 part 71 permits to the 143 sources that will be 

subject to EPA permitting by May 1, 2012. Thus, at the beginning of this 

ICR, there will be a backlog of 38 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 of these 

applications.) The Agency projects that the backlogged permits will all be 

issued during the 3 years of this ICR, 12 in the first year and 13 each in 

years 2 and 3.

As shown in Table 1, EPA projects that 31 new sources will become 

subject to EPA permitting during the course of this ICR (6 new Indian 

country sources, 9 OCS sources, 10 DWPA sources, and 6 due to the GHG 

Tailoring rule). We calculate the burden for these sources to include all the 

activities associated with obtaining an initial permit.

6 Estimating the Burden and Cost of the Collection

6.1 Estimating the 

Number of 

Respondents

There are 174 affected 

sources in this ICR:

136 Sources in Indian 

Country

15 Offshore Sources 

under the OCS

16 Offshore Sources 

under the DWPA

1 Source due to EPA

Objections to Part 70 

Permits

6 Sources due to the 

GHG Tailoring Rule
Draft Supporting Statement for the Part 71 Federal Operating Permit Program

Page 17

December 2011

Also during the period of this ICR, a number of part 71 permits will have to 

be renewed. (The term of a part 71 permit is 5 years.) The EPA estimates 

that there will be 15 backlogged permit renewals by May 1, 2012 when this 

ICR begins. In addition, we estimate that another 63 part 71 permits will be 

nearing expiration and have to be renewed during the period of this ICR. 

The Agency projects that these 78 permit renewals will be issued in equal 

numbers each year (i.e., 26 renewals per year).

Description of Part 71 Permitting Activities

The following describes the information collection activities required of 

sources, permitting authorities (whether EPA or a delegate agency) and 

EPA when overseeing a delegate agency. In all cases, the activities listed 

for source-level activities match those for sources under the part 70 

operating permits programs and the activities for the permitting authority

(Whether EPA or a delegate agency) match those for State and local 

permitting authorities under the part 70 program.

PERMITTING AUTHORITY ACTIVITIES

1. 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. 

2. 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. 

3. 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. 

4. 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 
Draft Supporting Statement for the Part 71 Federal Operating Permit Program

Page 18

December 2011

modification). Affected State notification is also required for minor 

permit modification. 

SOURCE-SPECIFIC ACTIVITIES

1. Permit application preparation, including internal meetings, 

permitting authority discussions, management and legal department 

involvement, responsible official certification, contractor services

2. Draft permit development: Interaction with the permitting 

authority on draft permit development

3. Gap-filling development: Development of periodic monitoring gapfilling, if applicable

4. Public hearing participation

5. Operate gap-filling periodic monitoring: Operation of monitoring 

equipment and the taking and keeping of records, where necessary

6. 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

7. Permit revisions: Preparing applications for permit revisions

8. Permit renewal: Preparing permit renewal applications

9. Other activities associated with permit renewal, including 

discussions with permitting authority and public hearing 

participation

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, program evaluation, development of formal EPA 
Draft Supporting Statement for the Part 71 Federal Operating Permit Program

Page 19

December 2011

responses to public petitions, and review changes to delegated 

programs.

The following tables show the burden estimates for each activity described 

above. These burden estimates are all taken from the approved ICR for the 

part 70 program. Table 2 displays the expected source burden for when 

either EPA or a delegate agency is the permitting authority. Burden means 

the total time, effort, and financial resources expended by persons to 

generate, maintain, retain, disclose, or provide information to or for a 

Federal agency. This includes the time needed to review instructions; 

develop, acquire, install, and utilize technology and systems for the purposes 

of collecting, validating, and 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.

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 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.

7 Consequently, Table 2 is the same for both part 70 and this ICR.

 

7 May, 1995, United States Environmental Protection Agency, Part 71 Information Collection Request, p 19.

6.2 Estimating 

Burden
Draft Supporting Statement for the Part 71 Federal Operating Permit Program

Page 20

December 2011

TABLE 2

SOURCE BURDEN BY ACTIVITY

ACTIVITY

BURDEN PER SOURCE 

OR PERMIT

Prepare Initial Permit Application 300 hrs

Draft Permit Interaction 40 hrs

Gap-filling Monitoring Development (50% of permits) 40 hrs 

Public Hearing Participation (2% of permits) 10 hrs 

Operate Gap-filling Periodic Monitoring (50% of permits) 200 hrs / yr

Prepare Monitoring Reports and Compliance Certification 80 hrs / yr

Permit Revisions

 Significant Permit Modifications (10% of Permits)

 Minor Permit Modifications (50% of Permits)

 Administrative Amendments (50 % of Permits)

80 hrs

40 hrs

8 hrs

Prepare Permit Renewal Application 200 hrs

Other Permit Renewal Activities 20 hrs

Table 3 displays the expected burden for all of the specific tasks necessary

for any permitting authority (EPA or delegate agency) and table 4 for EPA 

oversight of delegate programs. 
Draft Supporting Statement for the Part 71 Federal Operating Permit Program

Page 21

December 2011

TABLE 3

PERMITTING AUTHORITY BURDEN BY ACTIVITY

ACTIVITY

PART 71 BURDEN PER PERMIT OR 

PROGRAM

Program Administration 3,500 hrs / PA / yr

Initial Permit Application Review 100 hrs / permit

Draft Permits Preparation 150 hrs / permit

Comment Period Notification 10 hrs / permit

Hold Public Hearings (2% of permits) 100 hrs / hearing

Analyze Public Comments (2% of permits) 40 hrs / permit

Permit Issuance 8 hrs / permit

Permit Revision 

 Significant Permit Modification

 Minor Permit Modification

 Administrative Amendment

90 hrs / permit

30 hrs / permit

5 hrs / permit

Permit Renewal 90 hrs / permit

Review Reports:

 Monitoring (2 reports / yr)

 Compliance Certification 

10 hrs / permit

5 hrs / permit 

TABLE 4

EPA ACTIVITIES (OVERSIGHT OF DELEGATE AGENCY)

ACTIVITIES BURDEN HOURS PER PERMIT / 

PROGRAM

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

6.3 Estimating Wages
Draft Supporting Statement for the Part 71 Federal Operating Permit Program

Page 22

December 2011

Historically, the Agency had assumed 70% of all source burden categories 

would be performed in-house, with the remaining 30% delegated to 

contractors.8 However, this renewal incorporates the previous ICR reassessment of that assumption, which is based on allocation of contractor 

support for only the initial permit application task. This analysis assumes 

one-third of the source's initial permit application preparation would be 

performed by contracted labor. The remainder of the source's tasks would be 

done entirely in-house. 

In the 2000 ICR renewal, EPA determined source wage rates based on data 

from the 1997 Statistical Abstract of the United States, adjusted to 1999 

dollars using the Employment Cost Index (ECI). The Agency estimated the 

total hourly cost of in-house labor using the wage rates for technical support 

staff (at full time), administrative staff (at one-eleventh time), and 

administrative support staff (at one-eighth time), adding in the costs for 

benefits, sick leave/vacation, and general overhead. The resulting hourly 

cost was $32 per hour for in-house labor. In the 2004 ICR renewal, EPA 

calculated an updated hourly cost for in-house labor using the same 

methodology. At that time, the hourly cost was $34 per hour.

For the 2007 ICR renewal, the Agency was unable to duplicate the 

methodology used in 2000 and 2004 because the Bureau of the Census has 

changed the data reported in the Statistical Abstract of the United States. 

Instead, EPA updated the hourly cost for in-house labor by adjusting the 

2004 value (in 2003 dollars) to 2006 dollars using the ECI for white-collar 

workers in private industry. Then in the change justification for the GHG 

Tailoring rule, we adjusted the wage rates based on an index for December 

2007 relative to December 2006 for private industry workers, management, 

professional, and related workers, as contained in the U.S. Department of 

Labor, Bureau of Labor Statistics, Employment Cost Index Historical 

Listing: Current Dollar March 2001-March 2009. This calculation resulted 

in an hourly cost of $39 for in-house labor for sources as detailed below in 

Table 5.

 

8 United States Environmental Protection Agency, Regulatory Impact Analysis and 

Regulatory Flexibility Act Screening for Operating Permits Regulations, EPA-450/2-91-

011, June 1992, pp. 16-17.

6.3 Estimating Costs

6.3.1 Estimating 

Source Costs
Draft Supporting Statement for the Part 71 Federal Operating Permit Program

Page 23

December 2011

TABLE 5

DETERMINATION OF SOURCE IN-HOUSE and Contractor BURDEN COSTS 

Cost2007 Cost2006 ECI 2007 factor  *

 

* 0.03179

103.8

107.1 103.8

2007 $37.83/ *



ECI factor  hour

In-hour Cost2007 = $37.83 /hour x 1.032 = $39.03/hour

Contractor Cost 2007 = $143/hour x 1.032 = $147.58/hour

 

.

For contracted labor, operating permit management and reporting require 

the same skills employed by the EPA's consultants. For the 2000 ICR, as an 

estimation of a source's consulting costs, the Agency averaged the fully

loaded cost of three environmental contractors at the PL 2 (secretarial 

support), PL 3 (technical), and PL 4 (administration) levels, applying the 

methodology employed below in Table 6 for establishing a Federal and PA 

FTE wage rate. he fully loaded hourly cost calculated at that time for 

Industry-hired consultants is $268 (1999 dollars). Therefore, the hourly rate 

for preparing the initial permit application was set at $111 for the 2000 ICR 

(1/3 of $268 plus 2/3 of $32). All other source tasks were estimated using 

the in-house hourly cost of $32 per hour. 

Because of the confidential nature of the values used to estimate contractor

hourly costs, the exact methodology was not documented in the 2000 ICR. 

As a result, for the 2004 ICR renewal EPA used the ECI to update the 

hourly cost for preparing initial permit applications, calculating a value of 

$131 per hour. For the 2007 ICR renewal, EPA used the same approach. 

The Agency used the methodology detailed above in Table 5, except that we 

started with the value in 1999 dollars ($111 per hour) and used the ECI for 

1999 (146.9) in place of the ECI for 2003. This resulted in an hourly cost for 

preparing an initial permit application of $143. All other source tasks are 

estimated at the in-house hourly cost of $38 per hour, as discussed above. In

December 2010 for purposes of calculating the wage rates for purposes of 

the ICR change justification for the GHG tailoring rule, EPA calculated the 
Draft Supporting Statement for the Part 71 Federal Operating Permit Program

Page 24

December 2011

wage rates for in-house and contractor wages as shown in Table 5, which 

resulted in an in-house wage rate of $39/hour and a contractor rate of 

$148/hour. We use these wage rate assumptions in this analysis.

Historically, the Agency applied a $34 per hour rate for Federal and State 

full time employee (FTE) wage rates. During the development of the ICR 

for the part 71 Federal Operating Permit Regulations, the Agency was 

instructed by the Office of General Council (OGC) to compute more 

accurate estimations of these hourly costs. To determine the appropriate 

hourly wage to apply for each respondent burden estimation, OGC 

instructed the Agency to assume the appropriate FTE rate to apply would be 

a GS-11 Step 3, fully loaded to account for overhead, benefits, and all other 

appropriate costs. To fully incorporate the cost of that FTE's support staff 

and managerial costs, the Agency also assumed one-eleventh of a manager's 

time (at a GS-13, Step 3 level), and one-eighth of a secretary's time (at a 

GS-6, Step 6 level). Applying the same process for this ICR renewal, the 

Agency has determined the appropriate cost of Federal and delegate 

permitting authority burden at $46 per hour. Table 6 displays the calculation 

of this rate.

TABLE 6

DETERMINATION OF FEDERAL AND PERMITTING AUTHORITY BURDEN COSTS

Annual Salary of Permit Staff, GS 11 Step 3 (FY 07 Schedule)* $50,106.00

Annual Cost of Supervisory Staff, GS 13 Step 3 (FY 076 Schedule )* $71,415.00

 Factor (1/11) 0.09

 $6,427.35

Annual Cost of Admin. Support Staff, GS 6 Step 6 (FY 06 Schedule)* $33,322.00

 Factor (1/8) 0.13

 $4,331.86

Annual Applicable Salary of Permit Staff $60,865.21

Benefits (at 16%) $9,738.43

 

Sick Leave/Vacation (at 10%) $6,086.52

General Overhead $18,511.67

Total Cost Per FTE $95,301.83

Total Hourly Cost (Total Per FTE divided by 2,080 hours per year) $45.77

* http://www.opm.gov/oca/06tables/html/gs.asp, January 4, 2007

6.3.2 Estimating PA

and Agency

Costs
Draft Supporting Statement for the Part 71 Federal Operating Permit Program

Page 25

December 2011

Table 7 lists the burden categories, expected number of occurrences for 

each, and the associated burden and costs for sources when EPA or a 

delegate agency is the permitting authority. The quantities in the “affected 

permits” column are from direct assessments of the 174 permits expected to 

be administered during the period covered by this ICR (143 Indian country 

sources, 15 OCS sources, 16 DWPA sources, 1 due to EPA objection, and 6 

due to the GHG Tailoring rule). Each activity in Table 7 is based on the 

burden estimates from Table 2. Tables 7 and 8 contain the baseline analysis 

(does not account for OMB-approved changes due to the Flexible Air 

Permits and GHG Tailoring rules). The assumptions in these tables are 

based on the assumptions detailed in the attachments to the ICR renewal for 

the part 70 state operating permit programs.

6.4 Estimating Costs for Permitting Authorities

6.4.1 Estimating 

Source Costs
Draft Supporting Statement for the Part 71 Federal Operating Permit Program

Page 26

December 2011

TABLE 7

3-YEAR BURDEN AND COST OF SOURCES

ACTIVITY

BURDEN 

PER 

PERMIT 

(HOURS)

RATE 

PER 

HOUR

AFFECTED 

PERMITS

TOTAL

THREE-YEAR

BURDEN (HOURS)

TOTAL 

THREE-YEAR 

COSTS ($2007)

Initial Permit Application 300 $148 31 9,300 1,329,900

Draft Permit Interaction 40 $39 69 2,760 104,880

Gap Filling Monitoring 

Development (50% of permits)

40 $39 35 

1,380

52,440

Public Hearing Participation (2% 

of permits)

10 $39 1 14 524

Operate Gap Filling Monitoring 

(50% of permits)

200 $39 year 1 53

year 2 64

year 3 75

 

year 1 10,600

year 2 12,800

year 3 15,000

 38,400

402,800

486,400

570,000

1,459,200

Prepare Monitoring Reports and 

Compliance Certifications (all 

permits)

80 $39 year 1 105

year 2 127

year 3 150

year 1 8,400

year 2 10,160

year 3 12,000

 30,560

319,200

386,080

456,000

1,161,280

Permit Revisions

Significant Permit Mods 

(10% of existing permits)

Minor Permit Mods (50% of 

existing permits)

Admin Amendments (50% of 

existing permits)

 

Revision Subtotal

80

40

8

$39

year 1 11

year 2 13

year 3 15

 39

year 1 53

year 2 64

year 3 75

 192

year 1 53

year 2 64

year 3 75

 192

year 1 880

year 2 1,040

year 3 1,200

 3,120

year 1 2,120

year 2 2,560

year 3 3,000

 7,680

year 1 424

year 2 512

year 3 600

 1,536

 9,184

33,440

39,520

45,600

118,560

80,560

97,280

114,000

291,840

16,112

19,456

22,800

58,368

Renewal Permit Application 200 $39 78 15,600 592,800

Other Renewal Activities 20 $39 78 1,560 59,280

TOTALS 111,910 5,229,072

 

Table 8 lists the burden categories for permitting authorities (EPA and 

delegate agency), the expected number of permits involved, and the 

expected cost for each category, based on the burden estimations from Table 

3. Since the burden per activity assumptions and wage rates are the same for 

EPA and delegate agencies we will show all sources in this table and later 

we will pro rate the total to show the burden for each permitting authority.

6.4.2 Estimating 

Permitting 

Agency Costs
Draft Supporting Statement for the Part 71 Federal Operating Permit Program

Page 27

December 2011

TABLE 8

3-YEAR BURDEN AND COST OF PERMITTING AUTHORITIES

ACTIVITY Burden Hours 

per Permit**

Affected Permits or 

Programs

Total 3-Year 

Burden (Hours)

Total 3-Year 

Cost ($2007)*

Program Administration 3,500 per year 1 10,500 $483,000

Permit Application Review 100 31 3,100 $142,600

Draft Permit Preparation 150 69 10,350 $476,100

Comment Period Notification 10 69 690 $31,740

Public Hearing (by Hearing) (2% 

of permits)

100 1 100 $4,600

Analyzing Public Comments (2% 

of permits)

40 1 40 $1,840

Permit Issuance 8 69 552 $25,392

Permit Revisions

 Significant (10% of permits) 90 39 3,510 $161,460

 Minor (50% of permits)

 

30 192 5,760 $264,960

 Administrative (50% f permits)

 

 Revision Subtotal

5 192 960

10,230

$44,160

$470,580

Permit Renewals 90 78 7,020 $322,920

Review Monitoring / Compliance 

Reports

Year 1 

 Year 2 

Year 3

15

15

15

105

127

150

1,575

1,905

2,250

5,730

$72,450

$87,630

$103,500

$263,580

Totals 48,312 $2,222,352

* The wage rate applied was $46 per hour, see Section 6.3.2 Estimating PA and Agency Costs for details.

** Units are per permit except program administration (per PA) and public hearings (per hearing)

Concerning EPA oversight of the delegate agency, past experience with part 

70 suggests that this function averages about 2 hours per source per year on 

an aggregate basis. In the case of this delegate agency, all of these permits 

were previously issued by EPA prior to the approval of the delegation 

agreement and the delegation agreement does not provide for any new 

permits to be issued by the Nation. Thus EPA believes the assumption of 2 

hours per source will be appropriate due to the reduced scope of the 

programs and the small number of permits involved. As a result, EPA’s 

baseline estimate of the burden to oversee the delegate agency will be 

approximately 84 hours for 3 years or 28 hours per year and the costs about 

$3.9 thousand and $1.3 thousand, respectively.
Draft Supporting Statement for the Part 71 Federal Operating Permit Program

Page 28

December 2011

6.4.3 Accounting for OMB-Approved ICR Changes since the Last Renewal

Since the approval of the 2007 ICR renewal, EPA has promulgated several 

rules which have affected the burden and cost of title V permitting, the 

Flexible Air Permits and the GHG Tailoring rule. The Office of 

Management and Budget (OMB) has approved ICR change requests for 

both of these rules, EPA tracking numbers 1703.09 and 1587.11, 

respectively; however, this is the first ICR renewal that will addresses the

two regulatory changes at the same time and update them for their current 

stage of implementation.

The Flexible Air Permits (FAP) rule, promulgated during the term of the last 

ICR renewal, revised part 70 to provide for permits that for allow for 

upfront approval for changes in order to avoid formal submittal and 

processing of significant permit modifications (SPM) and minor permit 

modifications (MPM) during the term of the permit. The FAP rule did not 

increase the number of sources subject to title V permitting and it only

applies to a relatively small number of new and existing sources that would 

need to get a permit anyway. While there is typically an increased burden to 

put the flexible provisions in the permit, once added, they allows the source 

to avoid permit modifications (MPM) on a recurring, open-ended basis, 

resulting in an overall decrease in burden over the long term.

 

Tables 7 and 8 show the baseline burden of issuing and implementing FAP 

permits, while tables 9-11 show the incremental burden compared to the 

baseline attributable to these permits. There are burden increases for issuing 

new Tier 2 permits and burden decreases for avoided modifications for all 

Tier 1 and 2 permits expected by the end of the ICR period. The burden for 

EPA oversight is related to reviewing and consulting with the delegate 

agency on modifications that occur solely due to GHG (usually related to 

combustion sources).

The EPA estimated in the FAP ICR that 5 percent of the total number of 

existing sources would obtain a comprehensive flexible permit (a “Tier 1” 

permit) and that an additional 10 percent of all existing sources and new 

sources would seek simpler flexible permits (“Tier 2” permits). The FAP 

ICR assumed all existing sources would be issued Tier 1 and 2 permits 

during the period of that ICR, and that there would be no new Tier 1 permits 
Draft Supporting Statement for the Part 71 Federal Operating Permit Program

Page 29

December 2011

needed after that period ended. Thus, for this ICR period, we estimate that 

only new Tier 2 permits will be issued.

Table 9, 10, and 11 lists the burden categories, the number of estimated 

occurrences, and the expected costs, based on the burden estimations made 

in the previous OMB-approved ICR change worksheet for the Flexible Air 

Permits rule. Our assumptions for the mix of activities expected to occur 

under this rule has changed compared to the change worksheet due to the 

normal evolution of the program. Also, the number of affected permits has 

changed because of different estimates of the number of existing part 71 

permits over the period. 

TABLE 9

3-YEAR INCREMENTAL BURDEN AND COST OF THE FAP RULE FOR SOURCE ACTIVITIES

ACTIVITY Burden 

Hours per 

permit

Rate per 

hour

Affected 

permits

Total Burden

(Hours)

TOTAL COST (2007)

Tier 1 – 5 MPM Avoided 

per year

-40 $39 5 -3,150 -$122,850

Tier 1 - 1 SPM Avoided 

every 5 years

-80 $39 5 -240 -$9,360

Tier 2 – New Permit 60 $148 7 420 $62,160

Tier 2 – 1 MPM Avoided 

per year

-40 $39 11 -1,320 -$51,480

TOTAL -4,290 -$121,530

TABLE 10

3-YEAR INCREMENTAL BURDEN AND COST OF THE FAP RULE FOR PERMITTING AUTHORITY ACTIVITIES

ACTIVITY Burden 

Hours per 

permit

Rate per 

hour

Affected 

permits

Total Burden

(Hours)

TOTAL COST (2007)

Tier 1 – 5 MPM Avoided 

per year

-30 $46 5 -2,363 -$108,675

Tier 1 - 1 SPM Avoided 

every 5 years

-90 $46 5 -270 -$12,420

Tier 2 – New FAP Permit 

issued

45 $46 7 315 $14,490

Tier 2 – 1 MPM Avoided 

per year

-30 $46 11 -990 -$45,540

TOTAL -3,308 -$152,145
Draft Supporting Statement for the Part 71 Federal Operating Permit Program

Page 30

December 2011

TABLE 11

3-YEAR INCREMENTAL BURDEN AND COST OF THE FAP RULE FOR EPA OVERSIGHT ACTIVITIES

The GHG Tailoring Rule, also promulgated during the term of the last ICR, 

“tailors” the requirements of the Clean Air Act to limit the number of 

facilities that would otherwise be required to obtain title V permits solely

due to their emissions of Greenhouse Gases (GHG). Prior to the Tailoring 

Rule there were no requirements for sources to consider GHG emissions in 

their title V permit applications or permits and there were no applicable 

requirements related to GHG to put into title V permits. We are currently in 

Step 2 of the implementation schedule of the Tailoring Rule and EPA 

assumes that there are about 552 GHG sources subject to Title V during this 

step and that all of these sources will be issued single source permits (nongeneral permits). For part 71, we estimate there will be up to 6 new sources 

subject solely due to GHG emissions.

The baseline burden of permitting GHG sources is shown in tables 7, 8 and 

9, while tables 12-14 show the incremental burden compared to the baseline 

for addressing GHG emissions in permits. The incremental GHG burden is 

shown in Tables 12, 13 and 14 below. Note that EPA assumes the burden 

for issuing new GHG permits is the same as non-GHG permits, so there is 

no incremental burden for new permit issuance included in the tables below. 

Specifically, included in the tables below is the incremental burden for 

sources and permitting authorities alike to address GHG in all new nonGHG permits (including backlog sources), the burden of permit 

modifications solely related to GHG (based on the number of NSR actions 

ACTIVITY Burden 

Hours per 

permit

Rate per 

hour

Affected 

permits

Total Burden

(Hours)

TOTAL COST (2007)

Tier 1 – 5 MPM Avoided 

per year

-1 $46 1 -21 -$966

Tier 1 - 1 SPM Avoided 

every 5 years

-8 $46 1 -8 -$368

Tier 2 – New Permit 8 $46 0 0 $0

Tier 2 – 1 MPM Avoided 

per year

-1 $46 3 -8 -$386

TOTAL -37 -$1,720
Draft Supporting Statement for the Part 71 Federal Operating Permit Program

Page 31

December 2011

involving GHG included the NSR ICR), the burden of addressing GHG in 

all existing non-GHG permits when they undergo minor permit or 

significant modification procedures, and the burden of addressing GHG in 

80 percent of all permit renewals. For EPA, the additional incremental 

burden is for reviewing and consulting with delegate agency authorities on 

minor and significant modifications that occur solely due to GHG.9

 

Tables 13, 14 and 15 lists the burden categories, the number of estimated 

occurrences for each item, and the expected costs for each, based on the 

burden estimations made in the previous OMB-approved ICR change 

worksheet for the GHG Tailoring rule. Compared to the change worksheet 

for this rule, these tables have be updated to reflect new estimates of 

existing permits and the mix of activities expected to occur due to the 

expected evolution of the program.

TABLE 12

3-YEAR INCREMENTAL BURDEN AND COST OF THE GHG TAILORING RULE FOR SOURCE 

ACTIVITIES

ACTIVITY Burden 

Hours per 

permit

Rate per 

hour

Affected 

permits

Total 

Burden

(Hours)

TOTAL COST 

(2007)

Prepare Application (add 

GHG to non-GHG permit)

34 $148 34 1,156 $171,088

Modification due to GHG 43 $39 30 1,290 $50,310

Modification to address 

GHG to non-GHG permit

4 $39 231 924 $36,036

Address GHG at Renewal 20 $39 62 1,248 $48,672

TOTAL 4,618 $306,106

TABLE 13

3-YEAR INCREMENTAL BURDEN AND COST OF THE GHG TAILORING RULE FOR PERMITTING 

AUTHORITY ACTIVITIES

ACTIVITY Burden 

Hours per 

permit

Rate per 

hour

Affected 

permits

Total 

Burden

(Hours)

TOTAL COST 

(2007)

Prepare Application (add 

GHG to non-GHG permit)

43 $46 34 1,462 $67,252

Modification due to GHG 40 $46 30 1,200 $55,200

Modification to address 

GHG in non-GHG permit

4 $46 231 924 $42,504

Address GHG at Renewal 9 $46 62 562 $25,834

TOTAL 305,937 $190,790

 

9 Note we did not include administrative permit modifications because there is no 

requirement for EPA review for these and they do not involve substantive changes.
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TABLE 14

3-YEAR INCREMENTAL BURDEN AND COST OF THE GHG TAILORING RULE FOR EPA OVERSIGHT 

ACTIVITIES

ACTIVITY Burden 

Hours per 

permit

Rate per 

hour

Affected 

permits

Total 

Burden

(Hours)

TOTAL COST 

(2007)

Review Modification due to 

GHG

8 $46 2 16 $736

Consult on Modification 

due to GHG

8 $46 1 8 $368

TOTAL 24 $1,104

There are no expected capital or O&M costs for this ICR. Moreover, the 

regulations do not mandate the purchase of any capital equipment, nor do 

they require any O&M procedures. Although EPA does not have separate 

estimates for capital and O&M costs, we believe past input from State 

permitting authorities on the burdens of part 70 programs may have 

considered such costs within their estimates for the burden of program 

activities (e.g., the costs of obtaining computers to aid in program 

administration).

Table 15 shows the calculation of the bottom line burden for the 3-year 

period and table 16 shows the bottom line cost for the 3-year period, 

accounting for OMB-approved changes related to the Flexible Air Permits 

and GHG tailoring Rules (these changes were previously approved by OMB 

subsequent to the 2007 ICR renewal). Table 17 shows the overall bottom 

line burden and cost for this renewal ICR (incorporating the totals from 

tables 15 and 16). Note that we separated the burden and cost for EPA and 

the delegate agency as permitting authorities in these tables based on the 

prorated share of permit each administers. 

TABLE 15

CALCULATION OF BOTTOM LINE TOTAL (3-YEAR) BURDEN (HOURS)

Respondent Baseline Flexible Air Permit GHG Tailoring TOTAL

6.4.5 Capital and O&M 

Costs

6.4.6 Bottom Line Burden Hours and Cost
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December 2011

Sources 111,910 -4,290 4,618 112,238

PA (Tribe) 3,887 -265 332 3,954

Federal (PA) 44,425 -3,043 3,816 45,198

Federal (Oversight) 84 -37- 24 71

TOTAL 160,306 -7,635 8,790 161,461

TABLE 16

CALCULATION OF BOTTOM LINE TOTAL (3-YEAR) COST ($2007)

TABLE 17

BOTTOM LINE BURDEN AND COST (2012-2015)

Number 

of 

Affected 

Entities

Total ICR 

(3-Year) 

Burden 

Hour

Average 

Annual 

Burden Per 

Respondent

Average 

Annual 

Burden 

Per 

Source

Total ICR 

(3-Year) 

Cost 

Average 

Annual Cost 

Per 

Respondent 

Average 

Annual 

Cost Per 

Source

Sources 174 112,238 215 215 $5,413,648 $10,372 $10,372

PA (Tribe) 1 3,954 3,954 94 $181,901 $181,901 $4,331

Federal (PA) 1 45,198 45,198 94 $2,079,095 $2,079,095 $4,331

Federal

(Oversight)

1 71 24 2 $3,248 $3,248 $77

Total 161,461 NA NA $7,677,892 NA NA

On average, the Agency estimates the 3-year cost to sources under part 71 

(174 sources) at about $5.4 million with burden hours totaling 112 thousand 

(37 thousand hours per year), or about 215 hours per year per source over 

the three years of the ICR.

The burden EPA expects to incur in its role as permitting authority under 

title V is estimated over the 3-year period covered by this ICR at about 

45 thousand hours, or around 94 hours per source per year. The burden the 

one delegate permitting authority expects to incur is about 4 thousand hours 

or 94 hours per source. The 2007 ICR had no burden hours identified for 

Respondent Baseline Flexible Air Permit GHG Tailoring TOTAL

Sources $5,229,072 -$121,530 $306,106 $5,413,648

PA (Tribe) $178,810 --$12,172 $15,263 $181,901

Federal (PA) 2,043,542 -$139,973 $175,526 2,079,095

Federal (Oversight) $3,864 -$1,720 $1,104 $3,248

TOTAL $7,455,288 -$275,395 $498,000 $7,677,893
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delegate agencies because there were no delegate agencies approved at that 

time. Also, the last ICR renewal identified no burden hours for EPA 

oversight because there were no delegate agencies for EPA to oversee.

Also, the Flexible Air Permit rule and the GHG Tailoring rule resulted in 

nearly offsetting decreases and increases, respectively, in burden and cost. 

Overall, there is a slight increase in burden for sources and permitting 

authorities (EPA and delegate agency) due to the GHG tailoring rule and a 

slight decrease for EPA in its role of overseeing the delegate agency due to 

the Flexible Air Permits Rule. 

There are several reasons for the changes in burden in this ICR renewal 

relative to the 2007 ICR renewal. The most significant reason causing an 

increase in burden for sources and permitting authorities has been updated 

estimates of the number of existing sources and permits due to better data. 

This data shows increased economic activity occurring in areas under EPA 

jurisdiction, primarily due to oil and gas exploration, LNG terminals and 

several alternative energy development projects. Also affecting the burden 

estimates, but to a lesser extent, was an increase in wage rates applied to the 

activities of sources and permitting authorities. 

Table 18 compares the burden in the previous ICR with the burden in this 

ICR. The approved burden level in the previous ICR was 27 thousand hours 

per year for sources and 12 thousand burden hours per year for Federal 

permitting, for a total of 40 thousand hours. This ICR estimates total annual 

burden at 54 thousand hours with sources accounting for 37 thousand 

burden hours per year. Permitting by the delegate agency accounts for about 

1.3 thousand hours and permitting by EPA accounts for about 15 thousand 

hours. Also, federal oversight of the one delegate agency accounts for about 

.024 thousand hours. The change in burden from the previous ICR is 

primarily due to updated estimates of the number of sources and permits, 

rather than any new Federal mandates (the FAP and the GHG Tailoring rule 

were previously approved by OMB but this is the first ICR renewal to 

address them at the same time and update them for the current stage of 

implementation).
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TABLE 18

BURDEN CHANGE (HOURS) FROM 2007 ICR TO CURRENT ICR

Average Annual 

Burden

in 2007 ICR Renewal

Average Annual 

Burden

in ICR Renewal Difference

Sources 27,218 37,413 10,195

PA (Tribe) N/A 1,318 N/A

Federal (PA) 12,373 15,066 2,693

Federal (oversight) N/A 24 N/A

TOTAL 39,591 53,820 14,229

During the 3-year period of this ICR there will be an increase in the source 

burden compared to the previous ICR, primarily due to an increase in 

economic activity in offshore areas, which the existing regulations and 

approved ICR are designed to accommodate. These changes are not due to 

any EPA actions to revise regulations or policy that have not been 

previously approved by OMB. In the last ICR there were 123 sources 

subject to administration by EPA, while this one assumes there will be 174

sources, of which 16 will be subject to delegate agency administration and 

160 subject to EPA administration.

Due to the large number of respondents, the variation in the circumstances 

for each respondent, and the varied nature of the activities of the program, it 

is impractical to attempt to delineate burden by respondent and activity. 

Following is the apportioned burden for each respondent, derived from the 

total permitting authority (i.e., EPA) hourly burden divided by the number 

of permitting authorities (i.e., 1), and similarly for sources.

TABLE 19

BURDEN STATEMENT

Number of

Respondents

Total Annual Burden 

(hours)

Average Annual Burden 

per Respondent

(hours)

Sources 174 37,413 215

PA (Tribe) 1 1,318 94

Federal (PA) 1 15,066 94

Federal (Oversight) 1 24 2

6.6 Burden 

Statement
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Send 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 through the use of automated collection

techniques to:

Director, Collection Strategies Division

Office of Environmental Information 2822,

Environmental Protection Agency

1200 Pennsylvania Ave. NW, Washington, DC 20460

and to:

The Office of Information and Regulatory Affairs

Office of Management and Budget

725 17th Street, NW, Washington, DC 20503

Attention: Desk Officer for EPA. 

Include the EPA ICR number (1713.10) and OMB control number (2060-

0336) in any correspondence.
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December 2011

ATTACHMENT 1

THE STATUTORY REQUIREMENTS FOR RESPONDENT INFORMATION

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.
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(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.

(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 
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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).

(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;
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(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 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 
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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).
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(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).

(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 
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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.

(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.
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(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 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 
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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.

(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.
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(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;

(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
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(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

February 9, 2007 FEDERAL REGISTER NOTICE

72 FR 6233

To be added after new notice available