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SUPPORTING STATEMENT 

ENVIRONMENTAL PROTECTION AGENCY 

Carbon Pollution Emission Guidelines for Existing Stationary Sources: EGUs in Indian 

Country and U.S. Territories; Multi-jurisdictional Partnerships; Supplemental Proposal

 (40 CFR Part 60, Subpart UUUU) 

October 2014

Part A of the Supporting Statement 

1. Identification of the Information Collection 

1(a) Title and Number of the Information Collection 

“Carbon Pollution Emission Guidelines for Existing Stationary Sources: EGUs in Indian Country 

and U.S. Territories; Multi-jurisdictional Partnerships; Supplemental Proposal (40 CFR Part 60, 

Subpart UUUU).” A new information collection request (ICR) has been prepared in support of 

the supplemental proposal of emission guidelines for existing electric utility generating units 

(EGUs) in Indian country and in United States (U.S.) territories. The U.S. Environmental 

Protection Agency (EPA) ICR tracking number is 2503.02. This ICR was developed for the 3-

year period following publication of the final rule. These proposed emission guidelines will be 

included in new subpart UUUU, which also will include the emission guidelines for existing 

EGUs proposed on June 18, 2014, and for which burden was previously estimated (ICR tracking 

number 2503.01). 

1(b) Short Characterization/Abstract 

Pursuant to Clean Air Act (CAA) section 111(d), the EPA is proposing rate-based goals 

for territories and areas of Indian country regarding emissions of carbon dioxide (CO2) from 

existing EGUs burning fossil fuels, as well as emission guidelines for developing plans to attain 

these goals. For purposes of these guidelines, fossil fuel-fired EGUs include fossil fuel-fired 

steam generating units, integrated gasification combined cycle (IGCC) units, and stationary 

combustion turbines that generate electricity for sale and are larger than 25 megawatts (MW). 

Existing sources include those EGUs that commenced construction on or before January 8, 2014. 

The EPA proposed guidelines for states in June 2014 and is issuing this supplemental 

proposal for territories and areas of Indian country because CO2 is a greenhouse gas (GHG), and 

fossil fuel-fired power plants are the country’s largest stationary source emitters of GHGs. The 

EPA in 2009 found that by causing or contributing to climate change, GHGs endanger both the 

public health and the public welfare of current and future generations. 

This supplemental proposal requires those territories with one or more EGUs covered 

under this subpart to develop jurisdictional plans to implement the emission guidelines and 

submit the plans to the EPA for approval. For areas of Indian country with affected sources, if it 

determines that a plan is necessary or appropriate, the EPA has the responsibility to establish a 

plan, unless a tribe on whose lands an affected source is located seeks and obtains authority from 

the EPA to establish a plan itself. If an approvable jurisdictional plan is not submitted by June 

30, 2016, the EPA will develop a federal plan according to 40 CFR 60.27 to implement the 

emission guidelines in those territories and areas of Indian country. Owners and operators of 
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EGUs not covered by an approved jurisdictional plan must comply with the federal plan. The 

federal plan is an interim action and will be automatically withdrawn when the jurisdictional plan 

is approved for the territory or tribe. Those territories that have no EGUs for which construction 

commenced on or before January 8, 2014 would submit a negative declaration letter in place of 

the jurisdictional plan. Areas of Indian country with no EGUs covered under this subpart would 

not be required to submit a negative declaration. 

The emission guidelines include required components of the plan, provisions for working 

with other jurisdictions to develop a combined plan, timing requirements for submitting the plan, 

annual goals for CO2 emission performance, compliance schedules, and description of affected 

sources (EGUs). Under the timing requirements provisions in the supplemental proposal, 

territories and tribes (if they seek and obtain the authority to do a plan) are given the option to 

submit their plans by the June 30, 2016 deadline or request a 1-year extension for an individual 

plan or a 2-year extension for a combined multi-jurisdictional plan. 

This supplemental proposal imposes no new information collection burden on affected 

sources (EGUs) during the first 3 years after final rule promulgation beyond what those sources 

would already be subject to under the authorities of 40 CFR parts 75 and 98. The Office of 

Management and Budget (OMB) has previously approved the information collection 

requirements contained in the existing 40 CFR parts 75 and 98 regulations under the provisions 

of the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. and has assigned OMB control numbers 

2060-0626 and 2060-0629, respectively. There are no new information collection costs for these 

affected sources during the first 3 years, as the information required for these sources by the 

emission guidelines in the supplemental proposal is already collected and reported by other 

regulatory programs during this period.

The only respondents that would be expected to incur new information collection burden 

under the subpart UUUU supplemental proposal are those territories and areas of Indian country 

with one or more EGUs covered under this subpart. Three of the five territories (American 

Samoa, Northern Mariana Islands, and U.S. Virgin Islands) have no EGUs covered under this 

subpart and are expected to submit negative declarations. Because tribes are not required to 

develop a plan and the EPA doesn’t know whether any of the affected tribes will seek authority 

to do so, we are not estimating any new information collection burden for the three tribes with 

EGUs in their areas of Indian country (Fort Mojave, Navajo Nation, and Ute). Without 

information to the contrary, plans from two territories (Guam and Puerto Rico) with EGUs 

covered under this subpart are assumed to be submitted by June 30, 2016. 

2. Need for and Use of the Collection 

2(a) Need/Authority for the Collection 

The EPA is charged under section 111(d) of the CAA to establish guidelines for existing 

stationary sources. Section 111(d)(1) states: 

The Administrator shall prescribe regulations which shall establish 

a procedure similar to that provided by section 110 under which 

each State shall submit to the Administrator a plan which 

(A) establishes standards of performance for any existing source 
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for any air pollutant (i) for which air quality criteria have not been 

issued...but (ii) to which a standard of performance under this 

section would apply if such existing source were a new source, and 

(B) provides for the implementation and enforcement of such 

standards of performance. 

 Subpart B of 40 CFR part 60 requires the plans to include monitoring, recordkeeping, and 

reporting provisions consistent with the emission guidelines. In addition, section 114(a) states 

that the Administrator may require any owner or operator subject to any requirement of this Act 

to: 

(A) Establish and maintain such records; (B) make such reports; 

(C) install, use, and maintain such monitoring equipment, and use 

such audit procedures, or methods; (D) sample such emissions (in 

accordance with such procedures or methods, at such locations, at 

such intervals, during such periods, and in such manner as the 

Administrator shall prescribe); (E) keep records on control 

equipment parameters, production variables or other indirect data 

when direct monitoring of emissions is impractical; (F) submit 

compliance certifications in accordance with section 114(a)(3); and 

(G) provide such other information as the Administrator may 

reasonably require. 

As previously stated, the EPA in 2009 found that by causing or contributing to climate 

change, GHGs endanger both the public health and the public welfare of current and future 

generations. Fossil fuel-fired power plants are the country’s largest stationary source emitters of 

GHGs. Therefore, emission guidelines for states concerning emissions of CO2 from existing 

sources in this category were proposed in June 2014 at 40 CFR part 60, subpart UUUU. The 

supplemental proposal provides guidelines for territories and areas of Indian country to address 

emissions of CO2 from existing sources. The proposed guidelines provide guidance for 

developing plans to attain the CO2 emission performance goals. As noted previously, two 

affected territories (Guam and Puerto Rico) are expected to develop and submit their own plans, 

while the three affected tribes (Fort Mojave, Navajo Nation, and Ute) are expected to rely on the 

federal plan or develop their own plan. 

2(b) Use/Users of the Data 

The data collected from respondents include the jurisdictional plans for those respondents 

(territories) expected to be developed in response to the emission guidelines in the supplemental 

proposal. The data from the territories provide the foundation for identifying the territories’ 

emission performance levels and demonstrating how they will be achieved; identifying emission 

standards and compliance requirements for each affected entity; and specifying program 

implementation milestones. These emission performance levels, standards, compliance 

requirements, and milestones will be developed during the course of this ICR period. 
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3. Nonduplication, Consultations, and Other Collection Criteria 

3(a) Nonduplication 

As previously stated, the supplemental proposal would impose no new information 

collection burden on affected sources (EGUs) during the first 3 years after final rule 

promulgation, beyond what those sources would already be subject to under the authorities of 

40 CFR parts 75 and 98. There are no new information collection costs; the information required 

by these proposed guidelines is already collected and reported by other regulatory programs. 

Therefore, no duplication exists for the affected industry. 

If a plan is disapproved, the respondent (territory) can respond to the EPA’s concerns and 

submit a revised plan. If an approvable plan is not submitted, the EPA will adopt and implement 

a federal plan that applies to existing sources in the territory. Consequently, the information 

would be submitted to the appropriate EPA Regional office, until such time as the territory is 

delegated this authority. Therefore, no duplication exists for territories. 

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

This section is not applicable because this is a rule-related ICR. 

3(c) Consultations 

The June 2014 proposed rule and the supplemental proposal were developed after 

extensive and vigorous outreach to stakeholders and the general public. To carry out this 

stakeholder outreach, the EPA embarked on an unprecedented, pre-proposal outreach effort to 

parties with an interest in reducing carbon pollution from existing power plants. From consumer 

groups to states to power plants to technology innovators, the EPA sought input from all 

perspectives. 

The EPA began the outreach efforts with a webinar and associated teleconferences to 

establish a common understanding of the basic requirements and process of CAA section 111(d). 

The August 27, 2013 overview presentation was offered as a webinar for state and tribal 

officials, “Building a Common Understanding: Clean Air Act and Upcoming Carbon Pollution 

Guidelines for Existing Power Plants.” More than 360 people from across the country 

participated in the August webinar presentation--primarily from state environmental and energy 

offices. 

The overview presentation was also posted on the EPA website. The EPA followed up on 

the presentation by offering four national teleconference calls with representatives from states, 

tribes, industry, environmental justice organizations, community organizations and 

environmental representatives. The teleconferences offered a venue for stakeholders to ask 

questions of the EPA about the overview presentation and for the EPA to gather initial reactions 

from stakeholders. Stakeholders and members of the public continued to view and refer to the 

overview presentation throughout the outreach process. 

The Agency also provided mechanisms for anyone from the public to provide input 

during the pre-proposal development of this action. The EPA set up two user-friendly options to 

accept input during the pre-proposal period–a new email account: 

carbonpollutioninput@epa.gov; and a web-based form: http://www2.epa.gov/carbon-pollutionstandards/forms/carbon-pollution-standards-contact-us. These links, along with policy, program, 
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and technical information about this rulemaking effort, are available on the EPA’s website at: 

http://www2.epa.gov/carbon-pollution-standards. The EPA has received more than 2,000 emails 

offering input into the development of these guidelines. 

The Agency has encouraged, organized, and participated in hundreds of meetings about 

CAA section 111(d) and reducing carbon pollution from existing power plants. Attendees at 

these various meetings have included states and tribes, members of the public, and 

representatives from multiple industries, labor leaders, environmental groups and other nongovernmental organizations. The direct engagement has brought together a variety of states and 

stakeholders to discuss a wide range of issues related to the electricity sector and the 

development of emission guidelines under CAA section 111(d). The meetings occurred in 

Washington, DC, and at locations across the country. The meetings were attended by the EPA 

Regional Administrators, managers and staff and who will play key roles in developing and 

implementing the rule. 

Part of this effort included the Agency’s holding of 11 public listening sessions: one 

national listening session in Washington, DC and 10 listening sessions in locations in the EPA 

Regional offices across the country. All of the outreach meetings were designed to solicit policy 

ideas, concerns and technical information from stakeholders about using CAA section 111(d). 

Since fall 2013, the Agency provided multiple opportunities for states to inform this 

proposal. The meetings provided state leaders, including governors, environmental 

commissioners, energy officers, public utility commissioners, and air directors, opportunities to 

engage with the EPA officials. 

Agency officials listened to ideas, concerns and details from states, including from states 

with a wide range of experience in reducing carbon pollution from power plants. The Agency has 

collected policy papers from states with overarching energy goals and technical details on the 

states’ electricity sector. The Agency has engaged, and will continue to engage, with all of the 

50 states throughout the rulemaking process. 

The EPA also engaged in outreach to U.S. territories. Prior to the June 2014 proposal, 

Agency officials held meetings with the Governor of Puerto Rico, the Governor of the U.S. 

Virgin Islands, the Puerto Rico Environmental Quality Board, and U.S. Virgin Islands 

Department of Planning and Natural Resources. The EPA met with stakeholders from Puerto 

Rico on July 22 and 23, 2014. The EPA met with stakeholders from Guam on September 8, 

2014. 

While tribes are not required to, but may, develop or adopt Clean Air programs, the EPA 

conducted significant outreach to tribes in the pre-proposal period. The EPA is aware of three 

coal-fired power plants and one natural gas plant located in Indian country but is not aware of 

any power plants owned or operated by tribal entities. 

Tribes were invited to participate in the national informational webinar held August 27, 

2013. In addition, a consultation/outreach meeting was held on September 9, 2013, with tribal 

representatives from some of the 566 tribes. The EPA representatives also met with tribal 

environmental staff with the National Tribal Air Association, by teleconference, on July 25, 

2013, December 19, 2013, June 26, 2014, and August 4, 2014. In those teleconferences, the EPA 

provided background information on the GHG emission guidelines to be developed and a 

summary of issues being explored by the Agency. In addition, the EPA held a series of listening 
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sessions prior to development of the June 2014 proposed rule and the supplemental proposal. 

Tribes participated in a session on September 9, 2013 with the state agencies, as well as in a 

separate session for tribes on September 26, 2013. 

The EPA conducted outreach to tribal environmental staff and offered consultation with 

tribal officials in developing this action. Because the EPA is aware of tribal interest in this 

proposed rule, the EPA offered consultation with tribal officials early in the process of 

developing the proposed regulation to permit tribes to have meaningful and timely input into its 

development. The EPA sent consultation letters to 566 leaders of federally recognized tribes. The 

letters provided information regarding the EPA’s development of emission guidelines for 

existing power plants and offered consultation. The EPA held a consultation with the Ute Tribe, 

Crow Tribe, and Mandan, Hidatsa and Arikara (MHA) Nation on July 18, 2014. On August 22, 

2014, the EPA held a consultation with the Fort Mojave Tribe. On September 15, 2014, the EPA 

held a consultation with the Navajo Nation. 

This outreach process has produced a wealth of information. The EPA has taken 

information from these meetings and used it to inform the June 2014 proposed rule and the 

supplemental proposal. The pre-proposal outreach efforts far exceeded what is required of the 

Agency in the normal course of a rulemaking process, and the EPA expects that a dialogue with 

stakeholders will continue even after the rule is finalized. The EPA recognizes the importance of 

working with all stakeholders, and in particular with the states, tribes and territories, to ensure a 

clear and common understanding of the role they will play in addressing carbon pollution from 

power plants. 

3(d) Effects of Less Frequent Collection 

This section is not applicable because respondents for this 3-year ICR period do not 

include EGU facilities, and annual reports from territories will be submitted after the 3-year ICR 

period. 

3(e) General Guidelines 

None of the guidelines in 5 CFR 1320.5 are being exceeded. 

3(f) Confidentiality 

All information submitted to the Agency for which a claim of confidentiality is made will 

be safeguarded according to the Agency policies set forth in Title 40, Chapter 1, part 2, subpart 

B–Confidentiality of Business Information (see 40 CFR 2; 41 FR 36902, September 1, 1976; 

amended by 43 FR 39999, September 28, 1978; 43 FR 42251, September 28, 1978; 44 FR 

17674, March 23, 1979). 

3(g) Sensitive Questions 

This section is not applicable because this ICR does not involve matters of a sensitive 

nature. 
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4. The Respondents and the Information Requested 

4(a) Respondents/NAICS Codes 

The only respondents that would be expected to incur new information collection burden 

under the subpart UUUU supplemental proposal are those territories and tribal lands with one or 

more EGUs covered under this subpart. As noted previously, an estimated two plans from the 

territories of Guam and Puerto Rico are expected to be submitted by June 30, 2016. Negative 

declarations are expected from the remaining three territories (American Samoa, Northern 

Mariana Islands, and U.S. Virgin Islands). Tribes with one or more EGUs covered under this 

subpart (Fort Mojave, Navajo Nation, and Ute) may rely on a federal plan or seek the authority 

to develop their own plan. The most applicable North American Industry Classification System 

(NAICS) code is 999200, “State Government, excluding schools and hospitals.” 

4(b) Information Requested 

(i) Data Items, Including Recordkeeping Requirements 

There are no new information collection costs for the affected industry, as the 

information required by this proposed rule is already collected and reported by other regulatory 

programs (40 CFR parts 75 and 98). The only new information collection costs are for those 

territories with one or more EGUs covered under this subpart. 

Respondents must make the following reports: 

Requirement 

Guidelines Citation 

by Section 

Plan to implement and enforce the emission guidelines in the 

supplemental proposal 

60.5710 and 60.23(a) 

Negative declaration letter documenting that there are no affected EGUs 

in the territory that are covered under the emission guidelines in the 

supplemental proposal 

60.5710 

Request for an extension to the deadline for submitting a plan (as part of 

plan submittal) 

60.5760(a) 

Annual report documenting progress towards meeting the annual 

emission performance goal 

60.5815 

Notification of a public hearing on the plan 60.23(d) 

Certification that the public hearing on the plan was conducted 

according to subpart B procedures 

60.23(f) 

Respondents must also keep the following records: 

Requirement 

Guidelines Citation 

by Section 

Records of hourly values for each affected source to support the 

calculation of the annual emission performance goal 

60.5810(c) 
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Requirement 

Guidelines Citation 

by Section 

Records of the public hearing conducted on the plan 60.23(e) 

(ii) Respondent Activities 

The respondent activities that would be required by the emission guidelines in the 

supplemental proposal are described in the table and footnotes in Exhibit 1a at the end of this 

document. Exhibit 1a includes the respondent activities associated with developing and 

implementing the plans. The recordkeeping and reporting activities associated with documenting 

progress towards attaining the annual emission performance goal would occur after the 3-year 

period of this ICR and, therefore, is not included in this table.

(iii) Summary of Requirements 

The proposal would require territories covered under the emission guidelines in the 

supplemental proposal to prepare and submit plans to implement the guidelines and conduct 

public hearings on the plans as necessary, according to the procedures in 40 CFR part 60, subpart 

B. 

5. The Information Collected: Agency Activities, Collection Methodology, and 

Information Management (covering the first 3 years following final rule promulgation) 

5(a) Agency Activities 

The Agency, specifically the EPA Headquarters and the EPA Regions, will incur burden 

associated with the reporting requirements for territories, including: (1) providing support and 

outreach to territories regarding the implementation of the emission guidelines in the 

supplemental proposal and preparation of the plans, (2) reviewing and approving the plans, 

(3) reviewing negative declarations from territories with no EGUs covered under the emission 

guidelines in the supplemental proposal, (4) reviewing and approving 1-year extension requests 

from territories submitting individual plans, (5) reviewing and approving 2-year extension 

requests from programs submitting multi-jurisdictional plans, (6) reviewing notifications from 

territories regarding public hearings on the plans, and (7) reviewing certifications from territories 

that the public hearings were conducted according to 40 CFR part 60, subpart B procedures. 

5(b) Collection Methodology and Management 

The plans expected to be prepared by territories will set forth the specifics regarding the 

actual collection methodology and management. The plans must include the following elements: 

 Identification of affected entities, including an inventory of CO2 emissions from 

affected EGUs during the most recent calendar year prior to the submission of the 

plan for which data is available. 

 A description of the plan approach and the geographic scope of the plan, including, if 

relevant, identification of multi-jurisdictional plan participants and geographic 

boundaries related to plan elements. 

 Identification of the territory’s emission performance level for affected entities that 

will be achieved through implementation of the plan. 
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 A demonstration that the plan is projected to achieve each of the territory’s emission 

performance levels for affected entities. 

 Identification of emission standards for each affected entity, compliance periods for 

each emission standard, and demonstration that the emission standards are, when 

taken together, sufficiently protective to meet the territory’s emission performance 

level. 

 A demonstration that each emission standard is quantifiable, non-duplicative, 

permanent, verifiable, and enforceable with respect to an affected entity. 

 If the plan does not require achievement of the full level of required emission 

performance, and the identified interim increments of performance, through emission 

limits on EGUs, the plan must specify (1) program implementation milestones and 

milestone dates appropriate to the requirements, programs, and measures included in 

the plan; and (2) corrective measures that will be implemented if a comparison of 

actual emission performance of affected entities shows that actual emission 

performance is greater than 10 percent in excess to projected plan performance, and a 

process and schedule for implementing such corrective measures. 

 Identification of applicable monitoring, reporting, and recordkeeping requirements for 

each affected entity. 

 Description of the process, contents, and schedule for annual reporting to the EPA 

about plan implementation and progress. 

 Certification that the hearing on the plan was held, a list of witnesses and their 

organizational affiliations, if any, appearing at the hearing, and a brief written 

summary of each presentation or written submission. 

 Supporting material, including (1) materials demonstrating the territory’s legal 

authority to carry out each component of its plan, including emission standards; 

(2) materials supporting the projected emission performance level that will be 

achieved by affected entities under the plan; (3) materials supporting the projected 

mass-based emission performance goal, if applicable; and (4) materials necessary to 

support evaluation of the plan by the EPA. 

5(c) Small Entity Flexibility 

The EPA is aware that there is substantial interest in the June 2014 proposed rule and 

supplemental proposal among small entities (municipal and rural electric cooperatives). The EPA 

has conducted an unprecedented amount of stakeholder outreach on setting emission guidelines 

for existing EGUs. While formulating the provisions of the June 2014 proposed rule and 

supplemental proposal, the EPA considered the input provided over the course of the stakeholder 

outreach. As part of that outreach, Agency officials participated in many meetings with 

individual utilities, as well as meetings with electric utility associations. Specifically, the EPA 

Administrator, Gina McCarthy, participated in separate meetings with both the National Rural 

Electric Cooperative Association (NRECA) and the American Public Power Association 

(APPA). The meetings brought together leaders of the rural cooperatives and public power 

utilities from across the country. The Administrator discussed and exchanged information on the 

unique challenges, in particular the financial structure, of NRECA and APPA member utilities. 

In addition, the EPA conducted outreach to representatives of small entities while 

formulating the provisions of the proposed standards for new sources in the electric utility 

industry (40 CFR part 60, subpart TTTT). Although only new EGUs would be affected by those 
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proposed standards, the outreach regarded planned actions for new and existing sources. The 

EPA conducted outreach with representatives from 20 various small entities that potentially 

would be affected by the planned actions. The representatives included small entity 

municipalities, cooperatives, and private investors. We distributed outreach materials to the small 

entity representatives; these materials included background, an overview of affected sources and 

GHG emissions from the power sector, an overview of CAA section 111, an assessment of CO2

emission control technologies, potential impacts on small entities, and a summary of the listening 

sessions. We met with eight of the small entity representatives, as well as three participants from 

organizations representing power producers, on June 17, 2011, to discuss the outreach materials, 

potential requirements of the planned rules, and regulatory areas where the EPA has discretion 

and could potentially provide flexibility. 

A second outreach meeting was conducted on July 13, 2011. We met with nine of the 

small entity representatives, as well as three participants from organizations representing power 

producers. During the second outreach meeting, various small entity representatives and 

participants from organizations representing power producers presented information regarding 

issues of concern with respect to development of the planned rules for GHG emissions. 

5(d) Collection Schedule 

The specific frequency for each information collection activity within this request is 

shown in Exhibits 1a and 1b for the first 3 years following promulgation of the emission 

guidelines.

6. Estimating the Burden and Cost of the Collection 

Exhibit 1a documents the individual burdens for the reporting requirements for the first 

3 years. Table 1 below presents the respondent burden hours and costs (detailed in Exhibit 1b). 

Table 1. Summary of Respondent Burden and Costs 

(3-year period following final rule publication) 

Year Total Annual Labor Burden (hours) Total Annual Labor Costs ($) 

3-Year Total 87,600 $6.20 million 

Average Annual 29,200 $2.07 million 

Average Annual per 

Respondent 14,600 $1.03 million 

The individual burdens are expressed under standardized headings believed to be 

consistent with the concept of burden under the Paperwork Reduction Act. Where appropriate, 

specific tasks and major assumptions have been identified; responses to this information 

collection are mandatory. 

The agency may not conduct or sponsor, and a person is not required to respond to, a 

collection of information unless it displays a currently valid OMB Control Number. 

6(a) Estimating Respondent Burden 

The average annual burden over the 3-year period of this ICR from these reporting 

requirements is estimated to be approximately 29,200 hours per year (detailed in Exhibit 1b). 
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These hours are based on Agency studies and background documents from the development of 

the regulation, Agency knowledge and experience with part 60 and other regulations, including 

the ICR for the 40 CFR part 60, subpart TTTT proposal. 

6(b) Estimating Respondent Costs 

Respondent costs are typically divided into three categories. These categories include 

labor costs, operation and maintenance (O&M) costs, and annualized capital costs. Labor costs 

and O&M costs are the only respondent costs associated with this ICR. 

(i) Estimating Labor Costs 

The average annual labor costs to territories over the 3-year period of this ICR from these 

reporting requirements are estimated to be approximately $2.07 million per year (detailed in 

Exhibit 1b). Labor rates and associated costs are based on Bureau of Labor Statistics (BLS) data. 

Technical, managerial, and clerical average hourly rates for territorial government workers were 

based on the Bureau of Labor Statistics, Occupational Employment Statistics, May 2013 

National Industry-Specific Occupational Employment and Wage Estimates for state government 

(NAICS code 999200). The labor rates from BLS were multiplied by an overhead multiplier of 

110 percent to estimate loaded labor rates of $74.05 per hour for technical, $89.67 per hour for 

managerial, and $35.09 per hour for clerical. 

 (ii) Estimating Annualized Capital Costs 

There are no annualized capital costs associated with this ICR. 

(iii) Estimating Operation and Maintenance (O&M) Costs 

The annual O&M costs associated with this ICR are the costs associated with the 

paperwork requirements incurred continuously over the life of the ICR (e.g., storing hard copy 

records, electronic data storage, and miscellaneous annual supplies) (see Exhibit 1a). The 

average annual O&M costs associated with this ICR are approximately $2,470 (detailed in 

Exhibit 1b).

 6(c) Estimating Agency Burden and Cost 

Because the information collection requirements were developed as an incidental part of 

standards development, no costs can be attributed to the development of the information 

collection requirements. Because reporting and recordkeeping requirements on the part of the 

respondents are required under section 111 of the CAA, no operational costs will be incurred by 

the federal government. Publication and distribution of the information are part of the 

Compliance Data System, with the result that no federal costs can be directly attributed to the 

ICR. Examination of records to be maintained by the respondents will occur incidentally as part 

of the EPA’s overall compliance and enforcement program, and, therefore, is not attributable to 

the ICR. The only costs to the federal government, specifically the EPA Headquarters and the 

EPA Regions, under this ICR are those costs associated with the support and outreach to 

territories; the review of the plans, negative declarations, extension requests for plan submittals, 

and public hearing notifications/certifications; and miscellaneous administrative charges. Exhibit 

2a presents the average annual Agency burden and cost estimates for the first 3 years after 

promulgation of the emission guidelines. Table 2 below contains a summary of the 3-year total 

and average annual Agency burden hours and costs (detailed in Exhibit 2b). The Agency burden 
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and cost estimates presented in these tables include only the portion related to the guidelines for 

territories. 

Table 2. Summary of Agency Burden and Costs 

(3-year period following final rule publication) 

Year Total Annual Labor Burden (hours) Total Annual Labor Costs ($) 

3-Year Total 7,600 $422,000 

Average Annual 2,530 $141,000 

Technical, managerial, and clerical average hourly rates for the EPA Headquarters staff 

and the EPA Regional staff were selected from the U.S. Office of Personnel Management Salary 

Table 2012-GS (accessed at http://www.opm.gov/oca/12tables/pdf/gs_h.pdf). These rates were 

increased by 60 percent to include fringe benefits and overhead. For the EPA Headquarters staff, 

the loaded labor rates are $62.27 per hour for technical (GS-13, Step 5), $86.56 per hour for 

managerial (GS-15, Step 5), and $36.11 per hour for clerical (GS-9, Step 5). For the EPA 

Regional staff, the loaded labor rates are $52.37 per hour for technical (GS-12, Step 5), $86.56 

per hour for managerial (GS-15, Step 5), and $29.52 per hour for clerical (GS-7, Step 5). 

The Agency cost estimates also include annual costs of $1,000 for miscellaneous 

administrative charges (e.g., telephone, photocopies, and postage) incurred during each of the 

first 3 years after promulgation. 

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

Two territories (Guam and Puerto Rico) and three areas of Indian country (Fort Mojave, 

Navajo Nation, and Ute) will be subject to the requirements of the proposed emission guidelines. 

The two territories are expected to submit their own plans, while the three tribes are expected to 

rely on the federal plan or seek the authority to develop a plan themselves. Three territories 

(American Samoa, Northern Mariana Islands, and U.S. Virgin Islands) have no EGUs covered 

under this subpart and, thus, are expected to submit negative declarations. 

The total number of responses for the monitoring, recordkeeping, and reporting 

guidelines in the supplemental proposal is estimated to be 5 over the 3-year ICR period. The 

average number of annual responses over the 3-year ICR period is 1.67 per year. The total labor 

burden over the 3-year ICR period is estimated to be approximately 87,600 person hours. The 

total labor costs over the 3-year ICR period are estimated to be approximately $6.20 million. 

6(e) Bottom Line Burden Hours and Cost Tables 

The bottom line labor hours and costs are shown in Exhibit 1a for respondents and 

Exhibit 2a for the EPA. The labor hours and costs are summarized in Exhibit 1b for respondents 

and Exhibit 2b for the EPA. 

6(f) Reasons for Change in Burden 

The increase in burden is due to this being a new ICR associated with the supplemental 

proposal for a new subpart. 

6(g) Burden Statement 
13 

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

is estimated to be approximately 17,500 hours per response. Burden means the total time, effort, 

or financial resources expended by persons to generate, maintain, retain, or disclose or provide 

information to or for a federal agency. This includes the time needed to review instructions; 

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

validating, and verifying information, processing and maintaining information, and disclosing 

and providing information; adjust the existing ways to comply with any previously applicable 

instructions and requirements; train personnel to be able to respond to a collection of 

information; search data sources; complete and review the collection of information; and 

transmit or otherwise disclose the information. 

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

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

control numbers for the EPA’s regulations in 40 CFR part 60 are listed in 40 CFR part 9. 

To comment on the Agency’s need for this information, the accuracy of the provided 

burden estimates, and any suggested methods for minimizing respondent burden, including the 

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

under Docket ID Number EPA-HQ-OAR-2013-0602, which is available for online viewing at 

www.regulations.gov, or in person viewing at the EPA Docket Center, WJC West Building, 

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

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

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

number for the EPA Docket Center is (202) 566-1742. An electronic version of the public docket 

is available at www.regulations.gov. This site can be used to submit or view public comments, 

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

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

the Docket ID Number identified above. Also, you can send comments to the Office of 

Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, 

Washington, D.C. 20503, Attention: Desk Officer for EPA. Please include the EPA Docket ID 

Number EPA-HQ-OAR-2013-0602 in any correspondence. 

PART B 

This section is not applicable because statistical methods are not used in data collection 

associated with these guidelines. 
14 

ATTACHMENTS 

Exhibit 1a. Respondent Burden and Cost of Reporting and Recordkeeping Requirements, Carbon 

Pollution Emission Guidelines for Existing Stationary Sources: Electric Utility Generation Units; 

Supplemental Proposal (40 CFR Part 60, Subpart UUUU) 

Exhibit 1b. Summary of Respondent Burden and Cost of Reporting and Recordkeeping 

Requirements, Carbon Pollution Emission Guidelines for Existing Stationary Sources: Electric 

Utility Generation units; Supplemental Proposal (40 CFR Part 60, Subpart UUUU) 

Exhibit 2a. Burden and Cost to the Agency, Carbon Pollution Emission Guidelines for Existing 

Stationary Sources: Electric Utility Generating Units; Supplemental Proposal (40 CFR Part 60, 

Subpart UUUU) 

Exhibit 2b. Summary of Agency Burden and Cost, Carbon Pollution Emission Guidelines for 

Existing Stationary Sources: Electric Utility Generating Units; Supplemental Proposal (40 CFR 

Part 60, Subpart UUUU)
15 

Exhibit 1a. Respondent Burden and Cost of Reporting and Recordkeeping Requirements, Carbon Pollution Emission Guide

Stationary Sources: Electric Utility Generation Units; Supplemental Proposal (40 CFR Part 60, Subpart UUUU) 

Burden Item 

(A) 

Hours/ 

Occurrence 

(B) 

Occurrences/ 

Respondent/ 

Year 

(C) 

Hours/ 

Respondent

/ Year 

(A x B) 

(D) 

Respondents/Year 

(E) 

Total 

Hours/ 

Year 

(C x D) 

(F) 

Technical 

Hours/Year

(E x 0.79) 

(G) 

Managerial 

Hours/Year

(E x 0.09) 

1. REPORTING REQUIREMENTS 

A. Read and Understand Rule Requirements a 40 1 40 1.7 67 53 6.0 B. Required Activities 

 Develop/implement plan b,c 14,560 1 14,560 2 29,120 23,005 2,621 

C. Create Information Incl. in 1B D. Gather Information Incl. in 1B E. Report Preparation 

 Submit plan Incl. in 1B  Submit negative declaration d 1 1 1 1 1.0 0.79 0.09 AVERAGE ANNUAL LABOR BURDEN AND COST 29,188 23,058 2,627 AVERAGE ANNUALIZED COSTS (O&M)  Recordkeeping/reporting supplies 

a Assumes one-time burden of 40 hours to read and understand rule requirements; respondents include all five territories, averaged over the 3-year ICR period (5/3=1.7). b Assumes 7 FTEs per territory per year for team leadership, political outreach, general coordination of plans, energy and policy analysis, coordination between energy o

and data analysis (7x8x5x52=14,560 hours) . 

c Respondents include the two territories expected to develop/implement a plan. d Respondents include the three territories expected to submit a one-time negative declaration, averaged over the 3-year ICR period (3/3=1). 

Nationwide Respondent Assumptions 

Breakdown of Respondents No. Notes 

Total no. respondents 5 All 5 territories No. expected to submit plan a 2 2 territories No. expected to submit negative declaration 3 3 territories 

a Tribes expected to rely on federal plan. 

Respondent Labor Rates 

Labor Category Respondent Labor Rates (May 2013) Unloadeda Overhead Multiplier (110%) Loaded 

Technical $35.26 2.1 $74.05 Managerial $42.70 2.1 $89.67 Clerical $16.71 2.1 $35.09 

a Unloaded labor rates from U.S. Department of Labor, Bureau of Labor Statistics, 

Occupational Employment Statistics, May 2013 National Industry-Specific Occupational Employment and Wage Estimates, NAICS 999200 - State Government, excluding schools and hospitals (OES Designation) http://www.bls.gov/oes/2013/may/naics4_999200.htm

Recordkeeping/Reporting Supplies (Annual O&M Costs) a

Supply Item Price/Item N

File cabinet to store hard copy records $235 Electronic data storage device $500 Miscellaneous annual supplies $500 

Average Annual Cost 

a Costs based on estimates initially prepared for 40 CFR part 6
16 

Exhibit 1b. Summary of Respondent Burden and Cost of Reporting and Recordkeeping Requirements, Carbon Pollution Em

Existing Stationary Sources: Electric Utility Generation units; Supplemental Proposal (40 CFR Part 60, Subpart UUUU) 

Summary of Respondent Burden and Cost 

Totals Annual Labor Burden (Hours) Annual Labor Costs Annualized Capital Costs Annual O&M Costs Annualized Costs 

3-Year Total 87,563 $6,197,495 $0 $7,410 $7,410 

Average Annual 29,188 $2,065,832 $0 $2,470 $2,470 

Average Annual per 

Respondent a 14,601 $1,033,423 $0 $1,235 $1,235 

a Equal to average annual estimate for each burden item in Exhibit 1a divided by the number of respondents in Exhibit 1a for that burden item, 

summed for all burden items. Summary of Responses 

 Information Collection Activity 

Occurrence 

per 

Respondent 

Respondents Total Responses Average Annual 

REPORT REQUIREMENTS  Submit plan 1 2 2  Submit negative declaration 1 3 3 3-Year Total Responses 5 

Average Annual Number of Responses = 1.67 

Average Annual Responses per Respondent = 0.33 

Average Annual Hours per Response = 17,513 
17 

Exhibit 2a. Burden and Cost to the Agency, Carbon Pollution Emission Guidelines for Existing Stationary Sources: Electri

Units; Supplemental Proposal (40 CFR Part 60, Subpart UUUU) 

Activity 

(A) 

Hours/

Occurrence 

(B) 

Occurrences/

Facility/ 

Year 

(C) 

Hours/ 

Facility/ 

Year 

(A x B) 

(D) 

Facilities/ 

Year 

(E) 

EPA Total 

Hours/ 

Year 

 (C x D) 

(F) 

EPA 

Technical 

Hours/ Year 

 (E x 0.79) 

(G) 

EPA 

Managerial 

Hours/Year 

 (E x 0.09) 

1. SUPPORT/OUTREACH  EPA Headquarters a,b 414 1 414 2 827 653 74  EPA Regions b,c 452 1 452 2 904 714 81 2. REPORT REVIEW d Review negative declarations e 1 1 1 1 1.0 0.79 0.09  Coordination with territories on submitting plans f,g 160 1 160 0.7 107 84 10  Review notifications of public hearings on plans g 2 1 2 0.7 1.3 1.05 0.12  Review certifications that public hearings on plans  conducted according to subpart B procedures g 2 1 2 0.7 1.3 1.05 0.12  Review/approve plans g,h 1,040 1 1,040 0.7 693 548 62 AVERAGE ANNUAL LABOR BURDEN AND COST 2,535 2,002 228 AVERAGE ANNUAL OTHER DIRECT COSTS  Miscellaneous cost (e.g., telephone, photocopies, postage) 

TOTAL AVERAGE ANNUAL COST (Average Annual Labor Cost + Average Annual Oth

a Assumes 414 hours of EPA Headquarters burden per territory to oversee the program and help with outreach/territory/enforceability questions and regional assistance, b

estimate calculated for the June 2014 proposal. 

b Includes the two territories expected to develop/implement plans. c Assumes 452 hours of EPA Regional outreach per territory, based on the Agency burden estimate calculated for the June 2014 proposal. d One-time activities, averaged over the 3-year ICR period. e Includes the three territories expected to submit a negative declaration, averaged over the 3-year ICR period (3/3=1). f Assumes 4 weeks to coordinate with territories to advise on their submittal of plans (8x5x4=160 hours). g Includes the two territories expected to submit a plan, averaged over the 3-year ICR period (2/3=0.7). h Assumes 6 full months for the EPA Regions to review each plan, with some coordination with EPA Headquarters (8x5x26=1,040 hours). 

EPA Staff Labor Rates 

Labor Category Labor Rates (2012) Unloadeda Overhead Multiplier (60%) Loaded 

EPA Headquarters Technical (Grade 13, Step 5) $38.92 1.6 $62.27 Managerial (Grade 15, Step 5) $54.10 1.6 $86.56 Clerical (Grade 9, Step 5) $22.57 1.6 $36.11 EPA Regions Technical (Grade 12, Step 5) $32.73 1.6 $52.37 Managerial (Grade 15, Step 5) $54.10 1.6 $86.56 Clerical (Grade 7, Step 5) $18.45 1.6 $29.52 

a Unloaded labor rates from U.S. Office of Personnel Management < http://www.opm.gov/oca/12tables/pdf/gs_h.pdf> 

Other Direct Costs 

Expense Item Cost a
18 

Miscellaneous cost (e.g., telephone, photocopies, postage) $1,000 

a Cost based on estimate initially prepared for 40 CFR part 60, subpart TTTT.
19 

Exhibit 2b. Summary of Agency Burden and Cost, Carbon Pollution Emission Guidelines for Existing Stationary Sources: Electric Utility Generating Units; Supplemental Proposal (40 CFR Part 60, Subpart UUUU) 

Totals 

Annual 

Labor 

Burden 

(Hours) 

Annual 

Labor 

Costs 

Annual 

Other 

Direct 

Costs 

Total 

Annual 

Costs 

3-Year Total 7,604 $422,111 $3,000 $425,111 

Average Annual 2,535 $140,704 $1,000 $141,704 

Average Annual Agency Hour Burden per Response = 2,535 Average Annual Agency Cost Burden per Response = $141,704