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SUPPORTING STATEMENT 

ENVIRONMENTAL PROTECTION AGENCY 

Carbon Pollution Emission Guidelines for Existing Stationary 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).” The subpart proposes state-specific ratebased goals for emissions of greenhouse gases, specifically carbon dioxide (CO2), from existing 

electric utility generating units (EGUs) burning fossil fuels, as well as emission guidelines for 

states to use in developing state plans to attain the state-specific goals. A new information 

collection request (ICR) has been prepared in support of the guidelines being proposed. The EPA 

ICR tracking number is 2503.01. This ICR was developed 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 CO2 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 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 is proposing these guidelines 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 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 submitted 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 approved 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 EGUs for which construction commenced on or 

before January 8, 2014 would submit a negative declaration 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 plan, timing requirements for submitting the 
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state plan, state goals for CO2 emission performance, compliance schedules, and affected sources 

(EGUs). Under the timing requirements provisions in the proposed guidelines, states are given 

the option to submit their plans by the June 30, 2016 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 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 proposed guidelines is already 

collected and reported by other regulatory programs during this period.

The only respondents expected to incur new information collection burden are those 

states with one or more EGUs covered under this subpart. 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 declarations. Additionally, there are five territories 

(Puerto Rico, Guam, the Virgin Islands, American Samoa, 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 for the eight member states in that region that 

have EGUs covered under this subpart. Without information to the contrary, one multi-state and 

41 stand-alone state plans 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 

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 state 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: 
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(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 emissions of CO2 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 plans to attain state-specific goals. 

2(b) Use/Users of the Data 

The data collected from respondents (states) include state plans for those states covered 

under the emission guidelines. These data provide the foundation for identifying states’ 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. 

3. Nonduplication, Consultations, and Other Collection Criteria 

3(a) Nonduplication 

As previously stated, this proposed action 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 state plan is disapproved, the state can respond to EPA’s concerns and submit a 

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

federal plan that applies to existing sources in the state. Consequently, the information would be 

submitted to the appropriate EPA Regional office, until such time as the state is delegated this 

authority. Therefore, no duplication exists for states. 

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

This section is not applicable because this is a rule-related ICR. 
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3(c) Consultations 

The proposed rule was 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, 

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 the states to inform this 

proposal. In addition, the EPA organized, encouraged and attended meetings to discuss multi-
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state planning efforts. Because of the interconnectedness 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 implementation. 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. 

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. 

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 584 tribal leaders. The letters provided information 

regarding the EPA’s development of emission guidelines for existing power plants and offered 

consultation. None have requested consultation. 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 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 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 sessions prior to development of this 

proposed action. 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. 

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

information from these meetings and used it to inform 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 states and 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, to ensure a clear and common understanding of the role the states 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 states will be submitted after the 3-year ICR 

period. 
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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. 

4. The Respondents and the Information Requested 

4(a) Respondents/NAICS Codes 

The respondents expected to incur new information collection 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) and the District of Columbia. The applicable 

North American Industry Classification System (NAICS) code for state governments 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 

states with one or more EGUs covered under this subpart. 

State respondents must make the following reports: 

Requirement 

Guidelines Citation 

by Section 

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

Negative declaration letter documenting there are no affected EGUs in 

the state that are covered under the emission guidelines 

60.5710 

Request for extension to deadline for submitting state plan (as part of 

state plan submittal) 

60.5760(a) 

State annual report documenting progress towards meeting annual 

emission performance goal 

60.5815 

Notification of public hearing on state plan 60.23(d) 
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Requirement 

Guidelines Citation 

by Section 

Certification that public hearing on state plan conducted according to 

subpart B state procedures 

60.23(f) 

State 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) 

Records of public hearing conducted on state plan 60.23(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 1a and 1b at the end of this document. Exhibits 

1a and 1b include the respondent activities associated with developing and implementing 

individual state plans and multi-state plans. Exhibit 1a accounts for 23 states already having 

active energy efficiency programs in place for achieving their emission performance goals, 

whereas Exhibit 1b does not account for existing energy efficiency programs. The recordkeeping 

and reporting activities associated with documenting state progress towards the annual emission 

performance goal would occur after the 3-year period 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 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 EPA Headquarters and EPA Regions, will incur burden 

associated with the reporting requirements for states, 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 plans, (3) reviewing negative declarations from 

states with no EGUs covered under the emission guidelines, (4) reviewing and approving 1-year 

extension requests from states submitting individual state plans, (5) reviewing and approving 

2-year extension requests from regional programs submitting 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. 
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5(b) Collection Methodology and Management 

The state plans prepared by states 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 plan approach and the geographic scope of a plan (state or multistate), including, if relevant, identification of multi-state plan participants and 

geographic boundaries related to plan elements. 

• Identification of the state emission performance level for affected entities that will be 

achieved through implementation of the plan. 

• A demonstration that the plan is projected to achieve each of the state’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 state 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 state 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 state reporting to the 

EPA about plan implementation and progress. 

• Certification that the hearing on the state 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 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 the 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, the EPA considered the input provided over the 
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course of the stakeholder outreach. 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 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. Several 

small entity representatives provided written comments in response to discussions at the 

meetings and the questions posed to the small entity representatives by the Agency. 

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

Exhibits 1a and 1b document the lower and upper bounds, respectively, of individual 

burdens for the reporting requirements applicable to 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 the upper bounds do not account for existing 

energy efficiency programs. By accounting for states’ existing programs, the burden estimates in 

Exhibit 1a are lower than those in Exhibit 1b. Table 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 million 

Average Annual 316,000 – 633,000 $22.4 – $44.8 million 

Average Annual per 

Respondent 24,400 – 50,000 $1.73 – $3.54 million 
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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 to states over the 3-year period of this ICR from these 

reporting requirements is estimated to range from approximately 316,000 to 633,000 hours per 

year (detailed in Exhibit 1c). 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, and the previously approved ICR for the 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 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 associated costs are based on Bureau of Labor 

Statistics (BLS) data. Technical, managerial, and clerical average hourly rates for state 

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 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 with this ICR. 

(iii) Estimating Operations 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 Exhibits 1a and 1b). 

The average annual O&M costs associated with this ICR are approximately $60,500 (detailed in 

Exhibit 1c).

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

ICR. The only costs to the federal government, specifically 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 requests for state 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). 

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. 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 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 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 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 subject 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 submit 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 region that have EGUs covered under this subpart. 

The total number of responses for the monitoring, recordkeeping, 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 range from approximately 0.949 to 1.90 

million person hours. The total labor costs over the 3-year ICR period are estimated to range 

from approximately $67.1 to $134 million. 
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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 are 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 ICR associated with a new subpart. 

6(g) Burden Statement 

The annual public reporting and recordkeeping burden (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, 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 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 Air 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, excluding legal holidays. The telephone number 

for the Reading Room is (202) 566-1744, and the telephone number for the Air and Radiation 

Docket and Information Center is (202) 566-1742. An electronic version of the public docket is 

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

access the index listing of the contents of the public docket, and 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. 
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 of 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, Emission Guidelines for GHG Emissions for 

EGUs (40 CFR part 60, subpart UUUU)
14 

Exhibit 1a. Lower Bound Respondent Burden and Cost of Reporting and Recordkeeping Requirements, Emission Emissions 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) 

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 17 680 537 61 B. Required Activities 

Develop/implement state plan  Individual state plan b,c 7,280 1 7,280 41 298,480 235,799 26,863  Multi-state plan d,e 17,056 1 17,056 1 17,056 13,474 1,535 

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

State plan Incl. in 1B Negative declaration f 1 1 1.0 0.7 0.7 0.5 0.1 

AVERAGE ANNUAL LABOR BURDEN AND COST 316,217 249,811 28,460 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 50 states plus the District of Columbia, averaged over the 3-yeab Assumes 3.5 FTEs per state per year for team leadership, political outreach, general coordination of plans, energy and policy analysis, coordination between energy offi

data analysis. 

c Respondents include those 41 states expected to submit an individual state plan. d Assumes 1 FTE per year for multi-state plan staff providing team leadership, political outreach, outreach to participating states, modeling, and data analysis, and 0.9 FT

the region. 

e Respondent is the regional carbon management program (RGGI) expected to submit a multi-state plan for its 8 member states with EGUs. f Respondents include those 2 states expected to submit a one-time negative declaration, averaged over the 3-year ICR period (2/3=0.7). 

Nationwide State Assumptions 

Breakdown of States No. Notes 

Total no. respondents 51 50 states + DC No. expected to submit negative declaration 2 VT + DC No. expected to submit individual state plan 41 No. expected to submit multi-state plan 1 Regional Greenhouse Gas Initiative (RGGI) No. states included in multi-state plan 8 Includes the 8 states in RGGI with EGUs 

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

Supply Item Price/Item No./Resp. No. Resp. Total 

File cabinet to store hard copy records $235 1 49 $11,515 Electronic data storage device $500 1 49 $24,500 Miscellaneous annual supplies $500 1 49 $24,500 

Average Annual Cost $60,515 

a Costs based on estimates initially prepared for 40 CFR part 60, subpart TTTT. 

Respondent Labor Rates 

Labor Category Respondent Labor Rate

Unloadeda Overhead Multipl

Technical $35.26 2.1 Managerial $42.70 2.1 Clerical $16.71 2.1 

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

Occupational Employment Statistics, May 2013 National InduEmployment and Wage Estimates, NAICS 999200 - State Govhospitals (OES Designation) <http://www.bls.gov/oes/2013/m
15 

Exhibit 1b. Upper Bound Respondent Burden and Cost of Reporting and Recordkeeping Requirements, Emission 

Emissions 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) 

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 17 680 537 61 B. Required Activities 

Develop/implement state plan  Individual state plan b,c 14,560 1 14,560 41 596,960 471,598 53,726  Multi-state plan d,e 35,360 1 35,360 1 35,360 27,934 3,182 

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

State plan Incl. in 1B Negative declaration f 1 1 1.0 0.7 0.7 0.5 0.1 

AVERAGE ANNUAL LABOR BURDEN AND COST 633,001 500,071 56,970 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 50 states plus the District of Columbia, averaged over the 3-yeab Assumes 7 FTEs per state per year for team leadership, political outreach, general coordination of plans, energy and policy analysis, coordination between energy office 

data analysis. 

c Respondents include those 41 states expected to submit an individual state plan. d Assumes 1 FTE per year for multi-state plan staff providing team leadership, political outreach, outreach to participating states, modeling, and data analysis, and 2 FTE

the region. 

e Respondent is the regional carbon management program (RGGI) expected to submit a multi-state plan for its 8 member states with EGUs. f Respondents include those 2 states expected to submit a one-time negative declaration, averaged over the 3-year ICR period (2/3=0.7). 

Nationwide State Assumptions 

Breakdown of States No. Notes 

Total no. respondents 51 50 states + DC No. expected to submit negative declaration 2 VT + DC No. expected to submit individual state plan 41 No. expected to submit multi-state plan 1 Regional Greenhouse Gas Initiative (RGGI) No. states included in multi-state plan 8 Includes the 8 states in RGGI with EGUs 

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

Supply Item Price/Item No./Resp. No. Resp. Total 

File cabinet to store hard copy records $235 1 49 $11,515 Electronic data storage device $500 1 49 $24,500 Miscellaneous annual supplies $500 1 49 $24,500 

Average Annual Cost $60,515 

a Costs based on estimates initially prepared for 40 CFR part 60, subpart TTTT. 

Respondent Labor Rates 

Labor Category Respondent Labor Rate

Unloadeda Overhead Multipl

Technical $35.26 2.1 Managerial $42.70 2.1 Clerical $16.71 2.1 

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

Occupational Employment Statistics, May 2013 National InduEmployment and Wage Estimates, NAICS 999200 - State Govhospitals (OES Designation) <http://www.bls.gov/oes/2013/m
16 

Exhibit 1c. Summary of Respondent Burden and Cost of Reporting and Recordkeeping Requirements, Emission 

Emissions for EGUs (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 

Lower Bound Estimates 

3-Year Total 948,650 $67,143,132 $0 $181,545 $181,545 

Average Annual 316,217 $22,381,044 $0 $60,515 $60,515 

Average Annual per 

Respondent a 24,377 $1,725,345 $0 $1,235 $1,235 

Upper Bound Estimates 

3-Year Total 1,899,002 $134,406,728 $0 $181,545 $181,545 

Average Annual 633,001 $44,802,243 $0 $60,515 $60,515 

Average Annual per 

Respondent b 49,961 $3,536,118 $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 iteb Equal 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 for all burden ite

Summary of Responses 

 Information Collection Activity 

Occurrence 

per 

Respondent 

Respondents Total Responses Average Annual 

Lower Bound Estimates 

 REPORT REQUIREMENTS  Individual state plan 1 41 41  Multi-state plan 1 1 1  Negative declaration 1 2 2 3-Year Total Responses 44 

Average Annual Number of Responses = 15 

Average Annual Responses per Respondent = 0.3 

Average Annual Hours per Response = 21,560 

Upper Bound Estimates 

 REPORT REQUIREMENTS  Individual state plan 1 41 41  Multi-state plan 1 1 1  Negative declaration 1 2 2 3-Year Total Responses 44 

Average Annual Number of Responses = 15 

Average Annual Responses per Respondent = 0.3 

Average Annual Hours per Response = 43,159 
17 

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

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. STATE SUPPORT/OUTREACH  EPA Headquarters a,b 414 1 414 42 17,368 13,721 1,563  EPA Regions b,c 452 1 452 42 18,980 14,994 1,708 2. STATE REPORT REVIEW d Review negative declarations e 1 1 1.0 0.7 0.7 0.5 0.1  Coordination with states on submitting individual state plans f 160 1 160 14 2,187 1,727 197  Coordination with states on submitting multi-state plan g 320 1 320 0.3 107 84 10  Review notifications of public hearings on state plans h 2 1 2.0 16 33 26 2.9  Review certifications that public hearings on state plans  conducted according to subpart B state procedures h 2 1 2.0 16 33 26 2.9  Review/approve state plans b,i 1,040 1 1,040 14 14,560 11,502 1,310 AVERAGE ANNUAL LABOR BURDEN AND COST 53,267 42,081 4,794 AVERAGE ANNUAL OTHER DIRECT COSTS  Miscellaneous cost (e.g., telephone, photocopies, postage) 

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

a Assumes 8.35 FTEs per year to oversee the entire program and help with outreach/state/enforceability questions and regional assistance, divided by the total number of b Includes 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 c Assumes 36.5 hours per week of outreach per EPA Region, divided by the total number of respondents. d One-time activities, averaged over the 3-year ICR period. e Includes those 2 states expected to submit a negative declaration, averaged over the 3-year ICR period (2/3=0.7). f Assumes 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 pg Assumes 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 ICh Includes all 49 states for which a state plan was developed (including individual RGGI states), averaged over the 3-year ICR period (49/3=16). i Assumes 6 full months for EPA Regions to review each state plan, with some coordination with EPA Headquarters; respondents for this one-time activity averaged ove

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

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

a Cost based on estimate initially prepared for 40 CFR part 60, subpart TTTT.
18 

Exhibit 2b. Summary of Agency Burden and Cost, Emission Guidelines for GHG Emissions for EGUs (40 CFR part 60, subpart UUUU) 

Totals Annual Labor Burden (Hours) Annual Costs 

3-Year Total 159,802 $8,874,014 

Average Annual 53,267 $2,958,005 

Average Annual Agency Hour Burden per Response = 3,632 Average Annual Agency Cost Burden per Response = $201,682