1 SUPPORTING STATEMENT

ENVIRONMENTAL PROTECTION AGENCY

Carbon Pollution Emission Guidelines for Existing S tationary Sources: Electric Utility Generating Units (40 CFR Part 60, Subpart UUUU)

May 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: Electric Utility Generating Units (40 CFR Part 60, Subpart UUUU).” T he subpart proposes state-specific ratebased goals for emissions of greenhouse gases, spec ifically carbon dioxide (CO 2 ), from existing electric utility generating units (EGUs) burning fo ssil fuels, as well as emission guidelines for states to use in developing state plans to attain t he state-specific goals. A new information collection request (ICR) has been prepared in suppo rt of the guidelines being proposed. The EPA ICR tracking number is 2503.01. This ICR was develo ped for the three year period following publication of the final rule.

1(b) Short Characterization/Abstract

Pursuant to Clean Air Act (CAA) section 111(d), the United States Environmental Protection Agency (EPA) is proposing state-specific rate-based goals for CO 2 emissions from existing fossil fuel-fired EGUs and guidelines for states to use in developing plans to attain these goals. For purposes of these guidelines, fossil fue l-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 construct ion on or before January 8, 2014.

The EPA is proposing these guidelines because CO 2 is a greenhouse gas (GHG), and fossil fuel-fired power plants are the country’s la rgest stationary source emitters of GHGs. The EPA in 2009 found that by causing or contributing t o climate change, GHGs endanger both the public health and the public welfare of current and future generations.

This proposed action requires those states with one or more EGUs covered under this subpart to develop plans to implement the emission guidelines and submit the plans to EPA for approval. If an approvable state plan is not submi tted by January 8, 2014, EPA will develop a federal plan according to 40 CFR 60.27 to implement the emission guidelines in those states. Owners and operators of EGUs not covered by an appr oved state plan must comply with the federal plan. The federal plan is an interim action and will be automatically withdrawn when the state plan is approved. Those states that have no E GUs for which construction commenced on or before January 8, 2014 would submit a negative decl aration letter in place of the state plan.

The emission guidelines include required components of the state plan, provisions for working with other states to develop a combined pla n, timing requirements for submitting the2

state plan, state goals for CO 2 emission performance, compliance schedules, and af fected sources (EGUs). Under the timing requirements provisions in the proposed guidelines, states are given the option to submit their plans by the June 30, 20 16 deadline or request a 1-year extension for an individual state plan or a 2-year extension for a combined multi-state plan.

This proposed action imposes no new information col lection burden on affected sources (EGUs) during the first 3 years after final rule promulgat ion 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 informatio n collection requirements contained in the existing 40 CFR parts 75 and 98 regulations under t he provisions of the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. and has assigned OMB co ntrol numbers 2060-0626 and 2060-0629, respectively. There are no new information collection costs for t hese affected sources during the first 3 years, as the information required for thes e sources by the proposed guidelines is already collected and reported by other regulatory programs during this period.

The only respondents expected to incur new informat ion collection burden are those

states with one or more EGUs covered under this sub part. Of the 50 states plus the District of Columbia, two (Vermont and the District of Columbia ) have no EGUs covered under this subpart and are expected to submit negative declara tions. Additionally, there are five territories (Puerto Rico, Guam, the Virgin Islands, American Sa moa, and the Northern Mariana Islands)

that are not included because there is insufficient information at the present time to set goals for these areas. One regional carbon management program , the Regional Greenhouse Gas Initiative (RGGI), is expected to submit a multi-state plan fo r the eight member states in that region that have EGUs covered under this subpart. Without infor mation to the contrary, one multi-state and 41 stand-alone state plans are assumed to be submit ted 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 ex isting source for any air pollutant (i) for which air quality cri teria have not been issued...but (ii) to which a standard of performanc e 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 state plans t o include monitoring, recordkeeping, and reporting provisions consistent with the emissi on guidelines. In addition, section 114(a) states that the Administrator may require any owner or operator subject to any requirement of

this Act to:3 (A) Establish and maintain such records; (B) make s uch reports; (C) install, use, and maintain such monitoring equi pment, 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 ma nner 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 sectio n 114(a)(3); and (G) provide such other information as the Administr ator 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 th e 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 emissions of CO 2 are being proposed for existing sources in this category at 40 CFR part 60, subpart UUUU. The emission guidelines are being proposed for states to use in developing state plan s to attain state-specific goals.

2(b) Use/Users of the Data

The data collected from respondents (states) includ e state plans for those states covered under the emission guidelines. These data provide t he foundation for identifying states’ emission performance levels and demonstrating how they will be achieved; identifying emission standards and compliance requirements for each affected entit y; and specifying program implementation milestones. These emission performance levels, stan dards, compliance requirements, and milestones will be developed during the course of t his ICR period.

3. Nonduplication, Consultations, and Other Collect ion Criteria

3(a) Nonduplication
As previously stated, this proposed action would im pose 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 unde r 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 oth er regulatory programs. Therefore, no duplication exists for the affected industry.

If a state plan is disapproved, the state can respo nd to EPA’s concerns and submit a revised plan. If an approvable state plan is not su bmitted, EPA will adopt and implement a federal plan that applies to existing sources in th e state. Consequently, the information would be submitted to the appropriate EPA Regional office, u ntil such time as the state is delegated this authority. Therefore, no duplication exists for sta tes.

3(b) Public Notice Required Prior to ICR Submission to OMB
This section is not applicable because this is a ru le-related ICR.4

3(c) Consultations

The proposed rule was developed after extensive and vigorous outreach to stakeholders and the general public. To carry out this stakehold er outreach, the EPA embarked on an unprecedented, pre-proposal outreach effort to part ies 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 al l perspectives.

The EPA began the outreach efforts with a webinar a nd associated teleconferences to establish a common understanding of the basic requi rements and process of CAA section 111(d). The August 27, 2013 overview presentation was offer ed 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 36 0 people from across the country participated in the August webinar presentation--pr imarily from state environmental and energy

offices.

The overview presentation was also posted on the EP A website. The EPA followed up on the presentation by offering four national teleconf erence calls with representatives from states, tribes, industry, environmental justice organizatio ns, community organizations and environmental representatives. The teleconferences offered a venue for stakeholders to ask questions of the EPA about the overview presentatio n 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 proce ss.

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 e mail 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, and technical information about this rulemaking eff ort, 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 guidel ines.

The Agency has encouraged, organized, and participa ted in hundreds of meetings about CAA section 111(d) and reducing carbon pollution fr om existing power plants. Attendees at these various meetings have included states and tri bes, members of the public, and representatives from multiple industries, labor lea ders, environmental groups and other nongovernmental organizations. The direct engagement h as brought together a variety of states and stakeholders to discuss a wide range of issues rela ted to the electricity sector and the development of emission guidelines under CAA sectio n 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 o f 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 out reach meetings were designed to solicit policy ideas, concerns and technical information from stak eholders about using CAA section 111(d).

Since fall 2013, the Agency provided multiple oppor tunities for the states to inform this proposal. In addition, the EPA organized, encourage d and attended meetings to discuss multi-5

state planning efforts. Because of the interconnect edness of the power sector, and the fact that electricity generated at power plants crosses state lines, states may benefit from working together to address the requirements of this rulemaking impl ementation. The meetings provided state leaders, including governors, environmental commiss ioners, energy officers, public utility commissioners, and air directors, opportunities to engage with the EPA officials.

Agency officials listened to ideas, concerns and de tails 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 overarchin g 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.

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 l ocated in Indian country but is not aware of any power plants owned or operated by tribal entiti es.

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 tr ibal 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 584 tribal lea ders. The letters provided information regarding the EPA’s development of emission guideli nes for existing power plants and offered consultation. None have requested consultation. Tri bes were invited to participate in the national informational webinar held August 27, 2013. In addi tion, a consultation/outreach meeting was held on September 9, 2013, with tribal representati ves from some of the 584 tribes. The EPA representatives also met with tribal environmental staff with the National Tribal Air Association, by teleconference, on December 19, 2013. In those t eleconferences, the EPA provided background information on the GHG emission guidelin es to be developed and a summary of issues being explored by the Agency.

In addition, the EPA held a series of listening ses sions prior to development of this proposed action. Tribes participated in a session o n September 9, 2013 with the state agencies, as well as in a separate session for tribes on Septemb er 26, 2013.

This outreach process has produced a wealth of info rmation. The EPA has taken information from these meetings and used it to info rm this 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 dialog with sta tes and stakeholders will continue even after the rule is finalized. The EPA recognizes the impor tance of working with all stakeholders, and in particular with the states, to ensure a clear and c ommon understanding of the role the states will play in addressing carbon pollution from power plan ts.

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 sta tes will be submitted after the 3-year ICR period.6

3(e) General Guidelines
None of the guidelines in 5 CFR 1320.5 are being ex ceeded.

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 C FR 2; 41 FR 36902, September 1, 1976; amended by 43 FR 39999, September 28, 1978; 43 FR 4 2251, September 28, 1978; 44 FR 17674, March 23, 1979).

3(g) Sensitive Questions
This section is not applicable because this ICR doe s not involve matters of a sensitive

nature.

4. The Respondents and the Information Requested

4(a) Respondents/NAICS Codes

The respondents expected to incur new information c ollection burden under subpart

UUUU are those states with one or more EGUs covered under this subpart. An estimated 41 individual and 1 multi-state plans are expected to be submitted by June 30, 2016. Negative declarations are expected from 1 state (Vermont) an d the District of Columbia. The applicable North American Industry Classification System (NAIC S) code for state governments is 999200, “State Government, excluding schools and hospitals. ”

4(b) Information Requested

(i) Data Items, Including Recordkeeping Requirement s

There are no new information collection costs for t he affected industry, as the information required by this proposed rule is alrea dy collected and reported by other regulatory programs (40 CFR parts 75 and 98). The only new inf ormation collection costs are for those

states with one or more EGUs covered under this sub part.

State respondents must make the following reports:

Requirement Guidelines Citation by Section

State plan to implement and enforce emission guidel ines 60.5710 and 60.23(a)

Negative declaration letter documenting there are n o affected EGUs in the state that are covered under the emission guide lines 60.5710

Request for extension to deadline for submitting st ate plan (as part of state plan submittal) 60.5760(a)

State annual report documenting progress towards me eting annual emission performance goal 60.5815

Notification of public hearing on state plan 60.23( d)7 Requirement Guidelines Citation by Section

Certification that public hearing on state plan con ducted according to subpart B state procedures 60.23(f)

State respondents must also keep the following reco rds:

Requirement Guidelines Citation by Section

Records of hourly values for each affected source t o support the calculation of the annual emission performance goal 60.5810(c)

Records of public hearing conducted on state plan 6 0.23(e)

(ii) Respondent Activities

The respondent activities that would be required by the proposed emission guidelines are

described in the tables and footnotes in Exhibits 1 a and 1b at the end of this document. Exhibits 1a and 1b include the respondent activities associa ted with developing and implementing individual state plans and multi-state plans. Exhib it 1a accounts for 23 states already having active energy efficiency programs in place for achi eving their emission performance goals, whereas Exhibit 1b does not account for existing en ergy efficiency programs. The recordkeeping and reporting activities associated with documentin g state progress towards the annual emission performance goal would occur after the 3-year perio d of this ICR and, therefore, are not included

in these tables.

(iii) Summary of Requirements

The proposal would require states covered under the emission guidelines to prepare and submit state plans to implement the guidelines and conduct public hearings on the state plans as necessary, according to the procedures in 40 CFR pa rt 60, subpart B.

5. The Information Collected: Agency Activities, Co llection Methodology, and Information Management (covering the first 3 years following final rule promulgation)

5(a) Agency Activities
The Agency, specifically EPA Headquarters and EPA R egions, will incur burden associated with the reporting requirements for stat es, including: (1) providing support and outreach to states regarding the implementation of the emission guidelines and preparation of state plans, (2) reviewing and approving state plan s, (3) reviewing negative declarations from states with no EGUs covered under the emission guid elines, (4) reviewing and approving 1-year extension requests from states submitting individua l state plans, (5) reviewing and approving 2-year extension requests from regional programs su bmitting multi-state plans, (6) reviewing notifications from states regarding public hearings on state plans, and (7) reviewing certifications from states that the public hearings were conducted according to 40 CFR part 60, subpart B state procedures.8

5(b) Collection Methodology and Management
The state plans prepared by states will set forth t he specifics regarding the actual collection methodology and management. The plans mu st include the following elements:

• Identification of affected entities, including an i nventory of CO 2 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 plan approach and the geographic s cope of a plan (state or multistate), including, if relevant, identification of m ulti-state plan participants and geographic boundaries related to plan elements.

• Identification of the state emission performance le vel for affected entities that will be achieved through implementation of the plan.

• A demonstration that the plan is projected to achie ve each of the state’s emission performance levels for affected entities.

• Identification of emission standards for each affec ted entity, compliance periods for each emission standard, and demonstration that the emission standards are, when taken together, sufficiently protective to meet the state emission performance level.

• A demonstration that each emission standard is quan tifiable, non-duplicative, permanent, verifiable, and enforceable with respect to an affected entity.

• If the state plan does not require achievement of t he full level of required emission performance, and the identified interim increments of performance, through emission limits on EGUs, the plan must specify (1) program i mplementation milestones and milestone dates appropriate to the requirements, pr ograms, and measures included in the plan; and (2) corrective measures that will be implemented if a comparison of actual emission performance of affected entities sh ows that actual emission performance is greater than 10 percent in excess to projected plan performance, and a process and schedule for implementing such correcti ve measures.

• Identification of applicable monitoring, reporting, and recordkeeping requirements for each affected entity.

• Description of the process, contents, and schedule for annual state reporting to the EPA about plan implementation and progress.

• Certification that the hearing on the state plan wa s held, a list of witnesses and their organizational affiliations, if any, appearing at t he hearing, and a brief written summary of each presentation or written submission.

• Supporting material, including (1) materials demons trating the state’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 t he projected mass-based emission performance goal, if applicable; and (4) materials necessary to support evaluation of the plan by EPA.

5(c) Small Entity Flexibility

The EPA is aware that there is substantial interest in the proposed rule 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 proposed rule, th e EPA considered the input provided over the9

course of the stakeholder outreach. In addition, th e 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 proposed standards, the outreach regarded planned actions for new and existing sources. The EPA conducted outreach with representa tives from 20 various small entities that potentially would be affected by the planned action s. The representatives included small entity municipalities, cooperatives, and private investors . We distributed outreach materials to the small entity representatives; these materials included ba ckground, an overview of affected sources and GHG emissions from the power sector, an overview of CAA section 111, an assessment of CO 2 emission control technologies, potential impacts on small entities, and a summary of the listening sessions. We met with eight of the small entity rep resentatives, 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 re gulatory 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 part icipants from organizations representing power producers. During the second outreach meeting, vari ous small entity representatives and participants from organizations representing power producers presented information regarding issues of concern with respect to development of th e planned rules for GHG emissions. Several small entity representatives provided written comme nts in response to discussions at the meetings and the questions posed to the small entit y representatives by the Agency.

5(d) Collection Schedule
The specific frequency for each information collect ion activity within this request is shown in Exhibits 1a and 1b for the first 3 years f ollowing promulgation of the emission guidelines.

6. Estimating the Burden and Cost of the Collection

Exhibits 1a and 1b document the lower and upper bou nds, respectively, of individual burdens for the reporting requirements applicable t o the states for the first 3 years. The lower bounds account for 23 states already having active energy efficiency programs in place for achieving their emission performance goals, while t he upper bounds do not account for existing energy efficiency programs. By accounting for state s’ existing programs, the burden estimates in

Exhibit 1a are lower than those in Exhibit 1b. Tabl e 1 below presents the range of the respondent burden hours and costs (detailed in Exhibit 1c).

Table 1. Range 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 0.949 – 1.90 million $67.1 – $134 mill ion Average Annual 316,000 – 633,000 $22.4 – $44.8 mill ion Average Annual per Respondent 24,400 – 50,000 $1.73 – $3.54 million10

The individual burdens are expressed under standard ized headings believed to be consistent with the concept of burden under the Pap erwork Reduction Act. Where appropriate, specific tasks and major assumptions have been iden tified; 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 curr ently valid OMB Control Number.

6(a) Estimating Respondent Burden

The average annual burden to states over the 3-year period of this ICR from these reporting requirements is estimated to range from a pproximately 316,000 to 633,000 hours per year (detailed in Exhibit 1c). These hours are base d on Agency studies and background documents from the development of the regulation, A gency knowledge and experience with part 60 and other regulations, and the previously approv ed ICR for the subpart TTTT proposal.

6(b) Estimating Respondent Costs

Respondent costs are typically divided into three c ategories. 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 associa ted with this ICR.

(i) Estimating Labor Costs
The average annual labor costs to states over the 3 -year period of this ICR from these reporting requirements are estimated to range from approximately $22.4 to $44.8 million per year (detailed in Exhibit 1c). Labor rates and asso ciated costs are based on Bureau of Labor Statistics (BLS) data. Technical, managerial, and c lerical average hourly rates for state government workers were based on the Bureau of Labo r Statistics, Occupational Employment Statistics, May 2013 National Industry-Specific Occ upational Employment and Wage Estimates for state government (NAICS code 999200). The state government 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 wi th this ICR.

(iii) Estimating Operations and Maintenance (O&M) C osts

The annual O&M costs associated with this ICR are t he costs associated with the paperwork requirements incurred continuously over t he life of the ICR (e.g., storing hard copy records, electronic data storage, and miscellaneous annual supplies) (see Exhibits 1a and 1b). The average annual O&M costs associated with this I CR are approximately $60,500 (detailed in Exhibit 1c).

6(c) Estimating Agency Burden and Cost

Because the information collection requirements wer e developed as an incidental part of standards development, no costs can be attributed t o the development of the information collection requirements. Because reporting and reco rdkeeping requirements on the part of the respondents are required under section 111 of the C AA, no operational costs will be incurred by the federal government. Publication and distributio n of the information are part of the11

Compliance Data System, with the result that no fed eral costs can be directly attributed to the ICR. Examination of records to be maintained by the respondents will occur incidentally as part of EPA’s overall compliance and enforcement program , and, therefore, is not attributable to the ICR. The only costs to the federal government, spec ifically EPA Headquarters and EPA Regions,

under this ICR are those costs associated with the support and outreach to states; the review of state plans, negative declarations, extension reque sts for state plan submittals, and public hearing notifications/certifications; and miscellaneous adm inistrative 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 summa ry of the 3-year total and average annual Agency burden hours and costs (detailed in Exhibit 2b).

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 160,000 $8.87 million
Average Annual 53,300 $2.96 million

Technical, managerial, and clerical average hourly rates for EPA Headquarters staff and EPA Regional staff were selected from the U.S. Offi ce of Personnel Management Salary Table 2012-GS (accessed at http://www.opm.gov/oca/12table s/pdf/gs_h.pdf). These rates were increased by 60 percent to include fringe benefits and overhead. For EPA Headquarters staff, the loaded labor rates are $62.27 per hour for technica l (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 EPA Regional staff, the loaded labor rates are $52.37 per hour f or 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, photocopie s, and postage) incurred during the first 3 years after promulgation.

6(d) Estimating the Respondent Universe and Total Burden and Costs.
Fifty states and the District of Columbia will be s ubject to the requirements of the proposed emission guidelines. Two (Vermont and the District of Columbia) have no EGUs covered under this subpart, thus are expected to su bmit negative declarations. There are 41 states which have EGUs covered under this subpart. These states are expected to submit individual state plans. One regional carbon management program (RGGI) is expected to submit a multistate plan for the eight member states in that regi on that have EGUs covered under this subpart.

The total number of responses for the monitoring, r ecordkeeping, and reporting guidelines in proposed subpart UUUU over the 3-year ICR period is estimated to be 44. The average number of annual responses over the 3-year ICR period is 15 per year. The total labor burden over the 3-year ICR period is estimated to r ange from approximately 0.949 to 1.90 million person hours. The total labor costs over th e 3-year ICR period are estimated to range from approximately $67.1 to $134 million.12

6(e) Bottom Line Burden Hours and Cost Tables

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

and Exhibit 2a for EPA. The labor hours and costs a re summarized in Exhibit 1c for respondents

and Exhibit 2b for EPA.

6(f) Reasons for Change in Burden

The increase in burden is due to this being a new I CR associated with a new subpart.

6(g) Burden Statement

The annual public reporting and recordkeeping burde n (as listed in Section 5(b) above)

for this collection of information is estimated to range from approximately 21,600 to 43,200 hours per response. Burden means the total time, ef fort, 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 ins tructions; develop, acquire, install, and utilize technology and systems for the purposes of collecti ng, validating, and verifying information, processing and maintaining information, and disclos ing and providing information; adjust the existing ways to comply with any previously applica ble 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 curr ently valid OMB control number. The OMB control numbers for EPA’s regulations in 40 CFR par t 60 are listed in 40 CFR part 9.

To comment on the Agency’s need for this informatio n, the accuracy of the provided burden estimates, and any suggested methods for min imizing 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 Ai r and Radiation Docket and Information Center in the EPA Docket Center (EPA/DC), EPA West, Room B102, 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, excl uding legal holidays. The telephone number for the Reading Room is (202) 566-1744, and the tel ephone number for the Air and Radiation Docket and Information Center is (202) 566-1742. An electronic version of the public docket is available at www.regulations.gov. This site can be used to submit or view public comments, access the index listing of the contents of the pub lic docket, and to access those documents in the public docket that are available electronically. Wh en in the system, select “search,” then key in the Docket ID Number identified above. Also, you ca n send comments to the Office of Information and Regulatory Affairs, Office of Manag ement 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.13 ATTACHMENTS

Exhibit 1a. Lower Bound Respondent Burden and Cost of Reporting and Recordkeeping Requirements, Emission Guidelines for GHG Emissions for EGUs (40 CFR part 60, subpart UUUU)

Exhibit 1b. Upper Bound Respondent Burden and Cost of Reporting and Recordkeeping Requirements, Emission Guidelines for GHG Emissions for EGUs (40 CFR part 60, subpart UUUU)

Exhibit 1c. Summary of Respondent Burden and Cost o f Reporting and Recordkeeping Requirements, Emission Guidelines for GHG Emissions for EGUs (40 CFR part 60, subpart UUUU)

Exhibit 2a. Burden and Cost to the Agency, Emission Guidelines for GHG Emissions for EGUs (40 CFR part 60, subpart UUUU)

Exhibit 2b. Summary of Agency Burden and Cost, Emis sion Guidelines for GHG Emissions for EGUs (40 CFR part 60, subpart UUUU)14Exhibit 1a. Lower Bound Respondent Burden and Costof Reporting and Recordkeeping Requirements, Emission Guidelines for GHGEmissions for EGUs (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)TotalHours/Year(C x D)(F)TechnicalHours/Year(E x 0.79)(G)ManagerialHours/Year(E x 0.09)(H)ClericalHours/Year(E x 0.12)(I)Cost/Year1. REPORTING REQUIREMENTSA. Read and Understand Rule Requirementsa40 1 40 17 680 537 61 82 $48,129B. Required ActivitiesDevelop/implement state planIndividual state planb,c7,280 1 7,280 41 298,480 235,799 26,863 35,818 $21,125,686Multi-state pland,e17,056 1 17,056 1 17,056 13,474 1,535 2,047 $1,207,182C. Create InformationIncl. in 1BD. Gather InformationIncl. in 1BE. Report PreparationState planIncl. in 1BNegative declarationf1 1 1.0 0.7 0.7 0.5 0.1 0.1 $47AVERAGE ANNUAL LABOR BURDEN ANDCOST316,217 249,811 28,460 37,946 $22,381,044AVERAGE ANNUALIZED COSTS (O&M)Recordkeeping/reporting supplies $60,515aAssumes one-time burden of 40 hours to read and understand rule requirements; respondents include all50 states plus the District of Columbia, averagedover the 3-year ICR period (51/3=17).bAssumes 3.5 FTEs per state per year for team leadership, political outreach, general coordination ofplans, energy and policy analysis, coordination between energy office and air office, modeling, anddata analysis.cRespondents include those 41 states expected to submit an individual state plan.dAssumes 1 FTE per year for multi-state plan staffproviding team leadership, political outreach, outreach to participating states, modeling, and data analysis, and 0.9 FTE for each participating state inthe region.eRespondent is the regional carbon management program (RGGI) expected to submit a multi-state plan forits 8 member states with EGUs.fRespondents include those 2 states expected to submit a one-time negative declaration, averaged overthe 3-year ICR period (2/3=0.7).Nationwide State AssumptionsBreakdown of StatesNo.NotesTotal no. respondents 51 50 states + DCNo. expected to submit negative declaration 2 VT +DCNo. expected to submit individual state plan 41No. expected to submit multi-state plan 1Regional GreenhouseGas Initiative (RGGI)No. states included in multi-state plan 8Includes the 8 states inRGGI with EGUsRecordkeeping/Reporting Supplies (Annual O&M Costs)aSupply ItemPrice/ItemNo./Resp.No. Resp.TotalFile cabinet to store hard copy records $235 1 49$11,515Electronic data storage device $500 1 49 $24,500Miscellaneous annual supplies $500 1 49 $24,500Average Annual Cost $60,515aCosts based on estimates initially prepared for 40CFR part 60, subpart TTTT.Respondent Labor RatesLabor CategoryRespondent Labor Rates (May 2013)UnloadedaOverhead Multiplier (110%)LoadedTechnical $35.26 2.1 $74.05Managerial $42.70 2.1 $89.67Clerical $16.71 2.1 $35.09aUnloaded labor rates from U.S. Department of Labor, Bureau of Labor Statistics,Occupational Employment Statistics, May 2013 National Industry-Specific OccupationalEmployment and Wage Estimates, NAICS 999200 - StateGovernment, excluding schools andhospitals (OES Designation) <http://www.bls.gov/oes/2013/may/naics4_999200.htm>15Exhibit 1b. Upper Bound Respondent Burden and Costof Reporting and Recordkeeping Requirements, Emission Guidelines for GHGEmissions for EGUs (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)TotalHours/Year(C x D)(F)TechnicalHours/Year(E x 0.79)(G)ManagerialHours/Year(E x 0.09)(H)ClericalHours/Year(E x 0.12)(I)Cost/Year1. REPORTING REQUIREMENTSA. Read and Understand Rule Requirementsa40 1 40 17 680 537 61 82 $48,129B. Required ActivitiesDevelop/implement state planIndividual state planb,c14,560 1 14,560 41 596,960 471,598 53,726 71,635 $42,251,372Multi-state pland,e35,360 1 35,360 1 35,360 27,934 3,182 4,243 $2,502,695C. Create InformationIncl. in 1BD. Gather InformationIncl. in 1BE. Report PreparationState planIncl. in 1BNegative declarationf1 1 1.0 0.7 0.7 0.5 0.1 0.1 $47AVERAGE ANNUAL LABOR BURDEN ANDCOST633,001 500,071 56,970 75,960 $44,802,243AVERAGE ANNUALIZED COSTS (O&M)Recordkeeping/reporting supplies$60,515aAssumes one-time burden of 40 hours to read and understand rule requirements; respondents include all50 states plus the District of Columbia, averagedover the 3-year ICR period (51/3=17).bAssumes 7 FTEs per state per year for team leadership, political outreach, general coordination of plans, energy and policy analysis, coordination between energy office and air office, modeling, anddata analysis.cRespondents include those 41 states expected to submit an individual state plan.dAssumes 1 FTE per year for multi-state plan staffproviding team leadership, political outreach, outreach to participating states, modeling, and data analysis, and 2 FTEs for each participating state inthe region.eRespondent is the regional carbon management program (RGGI) expected to submit a multi-state plan forits 8 member states with EGUs.fRespondents include those 2 states expected to submit a one-time negative declaration, averaged overthe 3-year ICR period (2/3=0.7).Nationwide State AssumptionsBreakdown of StatesNo.NotesTotal no. respondents 51 50 states + DCNo. expected to submit negative declaration 2 VT +DCNo. expected to submit individual state plan 41No. expected to submit multi-state plan 1Regional GreenhouseGas Initiative (RGGI)No. states included in multi-state plan 8Includes the 8 states inRGGI with EGUsRecordkeeping/Reporting Supplies (Annual O&M Costs)aSupply ItemPrice/ItemNo./Resp.No. Resp.TotalFile cabinet to store hard copy records $235 1 49$11,515Electronic data storage device $500 1 49 $24,500Miscellaneous annual supplies $500 1 49 $24,500Average Annual Cost $60,515aCosts based on estimates initially prepared for 40CFR part 60, subpart TTTT.Respondent Labor RatesLabor CategoryRespondent Labor Rates (May 2013)UnloadedaOverhead Multiplier (110%)LoadedTechnical $35.26 2.1 $74.05Managerial $42.70 2.1 $89.67Clerical $16.71 2.1 $35.09aUnloaded labor rates from U.S. Department of Labor, Bureau of Labor Statistics,Occupational Employment Statistics, May 2013 National Industry-Specific OccupationalEmployment and Wage Estimates, NAICS 999200 - StateGovernment, excluding schools andhospitals (OES Designation) <http://www.bls.gov/oes/2013/may/naics4_999200.htm>16Exhibit 1c. Summary of Respondent Burden and Cost of Reporting and Recordkeeping Requirements, Emission Guidelines for GHGEmissions for EGUs (40 CFR part 60, subpart UUUU)Summary of Respondent Burden and CostTotalsAnnual LaborBurden (Hours)AnnualLabor CostsAnnualizedCapital CostsAnnualO&M CostsAnnualized CostsLower Bound Estimates3-Year Total 948,650 $67,143,132 $0 $181,545 $181,545Average Annual 316,217 $22,381,044 $0 $60,515 $60,515Average Annual perRespondenta24,377 $1,725,345 $0 $1,235 $1,235Upper Bound Estimates3-Year Total 1,899,002 $134,406,728 $0 $181,545 $181,545Average Annual 633,001 $44,802,243 $0 $60,515 $60,515Average Annual perRespondentb49,961 $3,536,118 $0 $1,235 $1,235aEqual 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 forall burden items.bEqual to average annual estimate for each burden item in Exhibit 1b divided by the number of respondents in Exhibit 1b for that burden item, summed forall burden items.Summary of ResponsesInformation CollectionActivityOccurrenceperRespondentRespondentsTotalResponsesAverageAnnualLower Bound EstimatesREPORT REQUIREMENTSIndividual state plan 1 41 41Multi-state plan 1 1 1Negative declaration 1 2 23-Year Total Responses 44Average Annual Number of Responses =15Average Annual Responses per Respondent =0.3Average Annual Hours per Response =21,560Upper Bound EstimatesREPORT REQUIREMENTSIndividual state plan 1 41 41Multi-state plan 1 1 1Negative declaration 1 2 23-Year Total Responses 44Average Annual Number of Responses =15Average Annual Responses per Respondent =0.3Average Annual Hours per Response =43,15917Exhibit 2a. Burden and Cost to the Agency, EmissionGuidelines for GHG Emissions for EGUs (40 CFR part60, subpart UUUU)Activity(A)Hours/Occurrence(B)Occurrences/Facility/Year(C)Hours/Facility/Year(A x B)(D)Facilities/Year(E)EPA TotalHours/Year(C x D)(F)EPA TechnicalHours/ Year(E x 0.79)(G)EPAManagerialHours/Year(E x 0.09)(H)EPAClericalHours/ Year(E x 0.12)(I)Cost, $1. STATE SUPPORT/OUTREACHEPA Headquartersa,b414 1 414 42 17,368 13,721 1,563 2,084 $1,064,984EPA Regionsb,c452 1 452 42 18,980 14,994 1,708 2,278 $1,000,3132. STATE REPORT REVIEWdReview negative declarationse1 1 1.0 0.7 0.7 0.5 0.1 0.1 $35Coordination with states on submitting individualstate plansf160 1 160 14 2,187 1,727 197 262 $115,245Coordination with states on submitting multi-state plang320 1 320 0.3 107 84 10 13 $5,622Review notifications of public hearings on stateplansh2 1 2.0 16 33 26 2.9 3.9 $1,722Review certifications that public hearings on state plansconducted according to subpart B state proceduresh2 1 2.0 16 33 26 2.9 3.9 $1,722Review/approve state plansb,i1,040 1 1,040 14 14,560 11,502 1,310 1,747 $767,363AVERAGE ANNUAL LABOR BURDEN AND COST 53,26742,081 4,794 6,392 $2,957,005AVERAGE ANNUAL OTHER DIRECT COSTSMiscellaneous cost (e.g., telephone, photocopies,postage) $1,000TOTAL AVERAGE ANNUAL COST (Average Annual Labor Cost + Average Annual Other Direct Costs) $2,958,005aAssumes 8.35 FTEs per year to oversee the entire program and help with outreach/state/enforceabilityquestions and regional assistance, divided by the total number of respondents.bIncludes those 41 states expected to develop individual state plans and 1 multi-state carbon management program expected to develop a multi-state plan for 8 states, for a total of 42.cAssumes 36.5 hours per week of outreach per EPA Region, divided by the total number of respondents.dOne-time activities, averaged over the 3-year ICRperiod.eIncludes those 2 states expected to submit a negative declaration, averaged over the 3-year ICR period (2/3=0.7).fAssumes 4 weeks to coordinate with states to advise on their development of individual state plans; respondents include these 41 states, averaged over the 3-year ICR period (41/3=14).gAssumes 8 weeks to coordinate with RGGI representatives to advise on their development of a multi-state plan; respondent includes RGGI, averaged over the 3-year ICR period (1/3=0.3).hIncludes all 49 states for which a state plan wasdeveloped (including individual RGGI states), averaged over the 3-year ICR period (49/3=16).iAssumes 6 full months for EPA Regions to review each state plan, with some coordination with EPA Headquarters; respondents for this one-time activity averaged over the 3-year period (42/3=14).EPA Staff Labor RatesLabor CategoryLabor Rates (2012)UnloadedaOverhead Multiplier (60%)LoadedEPA HeadquartersTechnical (Grade 13, Step 5) $38.92 1.6 $62.27Managerial (Grade 15, Step 5) $54.10 1.6 $86.56Clerical (Grade 9, Step 5) $22.57 1.6 $36.11EPA RegionsTechnical (Grade 12, Step 5) $32.73 1.6 $52.37Managerial (Grade 15, Step 5) $54.10 1.6 $86.56Clerical (Grade 7, Step 5) $18.45 1.6 $29.52aUnloaded labor rates from U.S. Office of PersonnelManagement < http://www.opm.gov/oca/12tables/pdf/gs_h.pdf>Other Direct CostsExpense ItemCostaMiscellaneous cost (e.g., telephone, photocopies, postage) $1,000aCost based on estimate initially prepared for 40 CFR part 60, subpart TTTT.18Exhibit 2b. Summary of Agency Burden and Cost,Emission Guidelines for GHG Emissions for EGUs(40 CFR part 60, subpart UUUU)TotalsAnnual LaborBurden (Hours)Annual Costs3-Year Total 159,802 $8,874,014Average Annual 53,267 $2,958,005Average Annual Agency Hour Burden per Response = 3,632Average Annual Agency Cost Burden per Response = $201,682