i

SUPPORTING STATEMENT

FOR THE

PART 71 FEDERAL OPERATING

PERMIT PROGRAM

Jeff Herring

Operating Permits Group

Air Quality Policy Division

Office of Air Quality Planning and Standards

Office of Air and Radiation

United States Environmental Protection Agency

Research Triangle Park, North Carolina 27711
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SUPPORTING STATEMENT

FOR THE

PART 71 FEDERAL OPERATING

PERMIT PROGRAM

TABLE OF CONTENTS

Page

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

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

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

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

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

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

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

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

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

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

3. NON-DUPLICATION, CONSULTATIONS AND OTHER COLLECTION CRITERIA ............... 4

3(a) Non-Duplication......................................................................................................................... 4

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

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

3(d) Effects of Less Frequent Collection ........................................................................................... 5

3(e) General Guidelines..................................................................................................................... 5

3(f) Confidentiality............................................................................................................................ 6

3(g) Sensitive Questions .................................................................................................................... 6

4. THE RESPONDENTS AND THE INFORMATION REQUESTED ................................................ 6

4(a) Respondents/ Standard Industrial Classification (SIC) Codes................................................... 6

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

4(b)(i) Data items, including recordkeeping requirements ........................................................ 8

4(b)(ii) Respondent activities..................................................................................................... 8

5. THE INFORMATION COLLECTED – AGENCY ACTIVITIES, COLLECTION 

METHODOLOGY AND INFORMATION MANAGEMENT ....................................................... 10
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5(a) Agency Activities..................................................................................................................... 10

5(b) Collection Methodology and Management .............................................................................. 10

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

5(d) Collection Schedule.................................................................................................................. 11

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

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

6(b) Estimating Respondent Costs................................................................................................... 13

6(b)(i) Estimating Labor Costs............................................................................................... 13

6(b)(ii) Estimating Capital and Operating and Maintenance (O&M) Costs ........................... 14

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

6(b)(iv) Annualizing Capital Costs.......................................................................................... 15

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

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

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

6(e)(i) Respondent Tally .......................................................................................................... 24

6(e)(ii) The Agency Tally......................................................................................................... 25

6(e)(iii) Variations in the Annual Bottom Line........................................................................ 26

6(f) Reasons for Change in Burden ................................................................................................... 26

6(g) Burden Statement....................................................................................................................... 27

Attachment 1: THE STATUTORY REQUIREMENTS FOR RESPONDENT INFORMATION......... 29

Attachment 2: DECEMBER 14, 2011 FEDERAL REGISTER NOTICE ...............................................40
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LIST OF TABLES

Page

Table 1. SIC and NAICS Codes for Part 71 Sources in Indian Country (as of October 30, 2006)...........7

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

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

Table 4. Average EPA Burden by Activity for Oversight of Delegate Agencies...................................16

Table 5. Existing and Projected Part 71 Sources.....................................................................................17

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

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

Table 8. Three-Year and Annual Incremental Burden of the FAP Rule for Sources..............................20

Table 9. Three-Year and Annual Incremental Burden of the FAP Rule for Permitting Authorities (EPA 

and Delegate Agencies).............................................................................................................21

Table 10. Three-Year and Annual Incremental Burden of the FAP Rule for EPA Oversight of Delegate 

Agencies....................................................................................................................................21

Table 11. Three-Year and Annual Incremental Burden of the GHG Tailoring Rule for Sources ............23

Table 12. Three-Year and Annual Incremental Burden of the GHG Tailoring Rule for Permitting 

Authorities (EPA and Delegate Agencies)................................................................................23

Table 13. Three-Year and Annual Incremental Burden of the GHG Tailoring Rule for EPA Oversight of 

Delegate Agencies.....................................................................................................................23

Table 14. Calculation of Bottom Line Average Annual Respondent Burden Hours................................24

Table 15. Calculation of Bottom Line Average Annual Respondent Cost (2011$) .................................24

Table 16. Bottom Line Average Annual Respondent Burden and Cost (2012-2015)...............................25

Table 17. Calculation of Bottom Line Average Annual EPA Burden Hours ...........................................25

Table 18. Calculation of Bottom Line Average Annual EPA Cost (2011$).............................................26

Table 19. Burden Change from 2007 ICR to Current ICR (Hours)..........................................................27

Table 20. Burden Statement (Hours).........................................................................................................27
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1. IDENTIFICATION OF THE INFORMATION COLLECTION

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

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

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

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

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

part 71. It has been assigned EPA tracking number 1713.10 and Office of Management and Budget 

(OMB) control number 2060-0336.

1(b) Short Characterization/Abstract

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

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

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

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

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

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

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

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

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

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

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

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

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

minimum elements of state operating permit programs.

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

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

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

program in Indian country on March 22, 1999. Since many Indian tribes lack the resources and capacity

to develop operating permit programs under part 70, the EPA will administer and enforce part 71 

programs in the areas that comprise Indian country in order to protect the air quality of areas under tribal 

jurisdiction.

The EPA intends to protect tribal air quality through the development of implementation plans, permit 

programs and direct assistance to tribes in developing comprehensive and effective air quality 

management programs. The EPA will consult with tribes to identify their particular needs for air 

program development assistance and will provide ongoing assistance as necessary. There are 

approximately 130 sources in Indian country with permits at the beginning of the ICR period and we 

expect to permit an additional 6 such sources by the end of this ICR period (April 2015). This is an 

increase from the last ICR renewal, due to an increase in the estimate of the number of major sources 

expected in Indian country. 

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

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

apply to the permitting of those sources, as well. Using data from the Department of the Interior, Bureau 
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of Ocean Energy Management, the EPA estimates that there are currently six OCS sources with part 71 

permits and as many as nine additional OCS sources that may seek part 71 permits during the period of 

this ICR renewal. Our estimates of the number of OCS sources has changed through the years, but there 

has been increasing interest in developing offshore oil and gas and alternative energy resources and 

because of this better information has recently become available. Thus, this is a change from the last 

ICR update, where the EPA assumed there might be up to three OCS sources.

Deepwater Port sources (DWPA sources) are fixed or floating structures that are located beyond state

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

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

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

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

[see section 1518(a)(1) of the DWPA]. Note that the previous ICR estimated one DWPA source and 

three seeking permits for a total of four such sources. Using updated data from the U.S. Coast Guard, 

Deepwater Ports Standards Division, the EPA estimates we have issued 6 permits to such sources by the 

beginning of the ICR period and that we will issue as many as 10 additional part 71 permits to such 

sources by the end of this ICR renewal, bringing the total included in this analysis up to 16.

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

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

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

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

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

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

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

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

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

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

not include such scenarios. There are currently no NODs in place at this time, and due to the maturity of 

the part 70 programs we believe it is unlikely the EPA will take over additional part 70 permits in this 

manner during the period of this ICR.

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

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

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

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

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

currently one part 70 source that has been issued a part 71 permit for this reason, and we do not expect 

any additional part 71 sources for this reason during the period of this ICR

2. NEED FOR AND USE OF THE COLLECTION

2(a) Need/Authority for the Collection

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

application and submit it within 1 year of becoming subject (CAA section 503). The EPA must then 
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issue the permit within 18 months of receiving a complete application (CAA section 503(c)) and 

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

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

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

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

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

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

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

information which will be protected from disclosure (CAA section 503(e)), and the public shall be given 

public notice of, and an opportunity for comment on, permit actions (CAA section 502(b)(6)). A copy of 

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

2(b) Practical Utility/Users of the Data

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

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

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

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

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

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

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

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

delegate agency.

2(c) Caveats and Considerations

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

reminds the reader that there is no implied precision inherent in this style of reporting.
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3. NON-DUPLICATION, CONSULTATIONS AND OTHER COLLECTION CRITERIA

3(a) Non-Duplication

The need for the data required by the part 70 and part 71 operating permits programs has been well 

documented in prior ICRs for both programs. While much of the information requested under this ICR 

existed prior to the creation of the operating permit program, an operating permit is a compilation of 

existing requirements; the purpose being to bring all requirements applicable to a source into one 

document. The intent of this compilation is to (1) resolve any questions of applicability at the time of 

permit issuance, (2) provide certainty to sources as to their obligations and (3) provide the public access 

to a source’s obligations and compliance status. The Agency has no leeway to not require such 

previously existing information under this ICR since consolidation of the information into the operating 

permit and providing public access is the whole purpose of the statute. To the extent that similar 

information was previously collected (e.g., state permits under state implementation plans), the part 71 

program may replace those activities and avoid duplication of efforts

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

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

approve a collection of information to 3 years. On September 12, 2007, OMB approved the ICR renewal 

for part 71 (EPA tracking number 1713.06) for 36 months, through September 30, 2010. On April 22, 

2009, OMB approved a revision to the previously approved collection related to the final rule for 

Flexible Air Permits (EPA tracking number 1713.09), and as part of that approval OMB extended the 

expiration date of the ICR to April 30, 2012. This ICR is a renewal of the September 2007 ICR. 

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

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

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

December 14, 2011 (76 FR 77822), the EPA published a notice soliciting comment on an analysis of 

burden for the part 71 program for the 3-year period of this ICR renewal (i.e., May 1, 2012 to April 30, 

2015). A copy of the December 2011 notice is included in this ICR as Attachment 2. No public 

comments were received.

3(c) Consultations

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

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

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

permit renewal are reported by the Regional Offices into an EPA database every 6 months. The 3 or 

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

and the backlog of initial and renewal permits. Also, we solicited input from the National Association of 

Clean Air Agencies (NACAA) on the draft ICR in late 2011, but the organization and its members 

declined to provide input at this time.

Concerning prior consultations, prior to renewal of the title V ICRs in 2007, the EPA contacted NACAA 

(then known as the State and Territorial Air Pollution Program Administrators and the Association of 

Local Air Pollution Control Officers [STAPPA/ALAPCO]), and during a conference call the EPA 

received input on the draft ICRs that were released for public comment on February 2, 2007. Consistent 

with NACAA’s input during that consultation, changes were made to burden estimates for certain 
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activities performed by permitting authorities and the EPA for the part 70 and part 71 ICRs. Also note 

that the supporting statement for the part 70 ICR renewal provides more detail on previous consultations 

with state and local permitting authorities that provided information we have used to develop burden 

estimates for part 71 that we continue to rely on for purposes of this ICR renewal.

The 2007 ICR renewal, the EPA discussed two other EPA activities that it thought would yield

additional title V burden information. One of these activities was a nationwide, comprehensive 

evaluation of the majority of title V operating permits programs, the first round of which was completed 

September 2006, and which are on-going. The second activity was a stakeholder effort to assess all 

aspects of the title V program, led by the Clean Air Act Advisory Committee. (This effort is known as 

the Title V Task Force.) The first activity, the state program evaluations, was not specifically designed 

to provide information for purposes of estimating burdens and cost of title V programs, but it did result 

in information that generally supports the assumptions of the prior ICRs, including those based on input 

from state and local permitting authorities. This resulted in only one change to the assumptions for 

permitting authorities, which did not lead to significant changes in overall burden for permitting 

authorities. The second activity, the Title V Task Force, resulted in recommendations on ways that the 

EPA could improve the effectiveness of the title V programs, such as through rulemaking or the 

issuance of guidance, but it did not result in any information useful for estimating burdens for this ICR, 

and no guidance or rulemaking resulting from this effort are effective at this time. (For more on the 

Title V Taskforce, see http://www.epa.gov/oar/oaqps/permits/taskforce.html.)

Also, Executive Order 13563, “Improving Regulation and Regulatory Review,” (76 FR 3821, 

January 18, 2011) requires each federal agency to develop a plan to periodically review its existing 

significant regulations to determine whether they should be modified, streamlined, expanded or repealed 

so as to make the agency’s regulatory program more effective or less burdensome in achieving the 

regulatory objectives. The EPA published a plan for meeting this order in August 2011. Under the 

EPA’s plan, the title V permit program requirements are identified for early action to potentially

simplify and clarify implementation requirements for industry, the public and government agencies. 

Such regulatory review for title V is likely to include consideration of the recommendations of the 

Title V Task Force; however, at this time it is too early to speculate on the results of the EPA’s review, 

and thus, too early to take such changes into account for the purpose of this ICR renewal.

3(d) Effects of Less Frequent Collection

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

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

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

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

3(e) General Guidelines

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

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

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

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

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

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

regarding the obligations of a source and its status of compliance can be resolved through such records. 
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In addition, 28 U.S.C. 2462 specifies 5 years as the general statute of limitations for federal claims in 

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

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

3(f) Confidentiality

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

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

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

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

3(g) Sensitive Questions

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

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

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

4. THE RESPONDENTS AND THE INFORMATION REQUESTED

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

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

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

and sources required to obtain part 71 operating permits.

There is currently one delegate permitting authority, which is the Navajo Nation Environmental 

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

permitting authorities during the period covered by this ICR renewal.

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

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

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

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

been exempted from the program.

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

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

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

purposes of this ICR, the Agency identified the following existing part 71 sources: 130 in Indian 

country, 6 OCS sources, 6 DWPA sources, and 1 source due to unresolved objection of a part 70 permit. 

By the end of the period covered by this ICR, there may also be up to an additional 6 permits issued due 

to economic growth in Indian Country, up to 9 additional OCS sources and up to 10 additional DWPA 

sources subject to permitting under part 71. The EPA assumes there is one source subject to part 71 

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

objection). The Regulatory Impact Assessment (RIA) for the GHG Tailoring rule estimated there would 

be up to 552 new sources nationally due solely to emissions of GHG, and for purposes of this ICR 

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

 

1 All definitions of “major” in the Act.
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includes a total of 143 sources currently with part 71 permits and an increase of 31 new sources over the 

ICR period, for a permitted total of 174 sources by the end of the ICR period (April 2015).

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

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

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

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

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

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

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

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

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

(as of October 30, 2006)

SIC Code NAICS Code

1021 212234

1221 212111

1311 211111

1321 211112

1389 213112

2421 321

2431 32191

2436 321212

2493 321219

2819 325

2842 325612

2875 325314

2879 32532

2899 325

3341 331

3354 331316

4911 2211

4922 48621

4925 22121

4953 562

4961 22133

5171 42271

7011 7211

9711 92811

4(b) Information Requested

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

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

authorities for ICR purposes under part 70. These activities represent the Agency’s best representation 

of the burdens experienced by sources and permitting authorities for part 70 and 71 requirements.
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4(b)(i) Data items, including recordkeeping requirements

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

authorities to the EPA:

 Applications for permits, permit revisions, and permit renewals

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

 Final permits

 Annual reports of enforcement activities

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

one delegate agency (14 permits). The majority of permits will be issued, implemented, and enforced by

the EPA as permitting authority (160 permits).

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

permitting authorities:

 Applications for permits, permit revisions, and permit renewals

 Semi-annual periodic monitoring reports

 Annual compliance certification reports

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

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

the statutory requirements for reference purposes. 

4(b)(ii) Respondent activities

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

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

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

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

DELEGATE PERMITTING AUTHORITY ACTIVITIES

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

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

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

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

activities. 

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

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

requests for additional information, when necessary. 
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 Draft permit preparation, including contact with the source to clarify the specific requirements 

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

drafting permit terms and conditions to reflect existing requirements.2

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

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

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

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

permit issuance, permit renewal and significant permit modification. 

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

EPA objections (including those attributable to public petitions). 

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

accordingly, when appropriate. 

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

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

sources.

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

issuance burden). 

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

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

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

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

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

 Monitoring and compliance certification: Reviewing deviation and semiannual monitoring 

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

activities related to such reviews.

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

enforcement activities.

SOURCE-SPECIFIC ACTIVITIES

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

management and legal department involvement, responsible official certification, contractor 

services.

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

development.

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

 Public hearing participation.

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

and keeping of records, where necessary.

 

2

This involves writing permit terms that reflect the “applicable requirements” that apply to sources. 

These “applicable requirements” (e.g., NSPS and NESHAP) are not required by part 70; they are 

required by other federal rules and their burden is counted in the ICRs for those rules. Nevertheless, 

writing permit terms to reflect those requirements is a part 70 burden. Also, part 70 burden includes 

imposing additional monitoring through part 70, such as gap-filing monitoring (see 504(c) of the Act 

and 40 CFR 70.6(a)(3)(i)).
10

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

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

Includes preparing and submitting annual compliance certification.

 Permit revisions: Preparing applications for permit revisions.

 Permit renewal: Preparing permit renewal applications.

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

authority and public hearing participation.

5. THE INFORMATION COLLECTED – AGENCY ACTIVITIES, COLLECTION 

METHODOLOGY AND INFORMATION MANAGEMENT

5(a) Agency Activities

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

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

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

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

EPA OVERSIGHT ACTIVITIES

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

all applicable requirements. 

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

applicable requirements or to add periodic monitoring if needed.

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

revision including interaction related to fact finding on permit petitions.

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

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

5(b) Collection Methodology and Management

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

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

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

application (including any application for permit modification), each draft permit, and each final permit. 

When a delegate agency is the permitting authority, the delegate agency will receive copies of these 

documents.

5(c) Small Entity Flexibility

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

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

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

unnecessarily burdensome. For example, we exempted a large number of small sources in a 

December 19, 2005 final rule (70 FR 75320). The Agency has not analyzed how many of these nonmajor sources will be small businesses, but believes that a large percentage may fall under that 

definition. 
11

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

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

that there are no adverse effects to be identified vis-à-vis small entities and small businesses. While this 

ICR renewal represents an increase in burden compared to the 2007 ICR renewal, the increase is due to 

a change in the EPA’s estimate concerning the number of permits expected to be issued, which better 

reflects actual implementation experience rather than any new information collection requirements.

5(d) Collection Schedule

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

Permitting Authorities (submitted to the EPA):

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

the proposed permit or permit revision. 

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

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

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

part 71 for this submission.

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

not specify a date.

Sources (submitted to permitting authority):

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

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

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

the source.

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

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

on dates specified by the permitting authority.

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

authority.

6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION

6(a) Estimating Respondent Burden

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

sources and permitting authorities. These burden estimates are all taken from the approved ICR for the 

part 70 program. Table 2 displays the expected source burden for when either the EPA or a delegate 

agency is the permitting authority. Table 3 displays the expected burden for all of the specific tasks 

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

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

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

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

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

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

assumed sources are indifferent (from an effort perspective) between reporting to the federal 
12

government and reporting to a state permitting authority.

3 Consequently, Table 2 is the same for both 

part 70 and this ICR. 

Table 2. Average Source Burden by Activity

Activity

Burden per Source 

or Permit

Prepare Initial Permit Application 300 hrs

Draft Permit Interaction 40 hrs

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

Public Hearing Participation (2% of permits) 10 hrs

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

Prepare Monitoring Reports and Compliance Certification 80 hrs / yr

Permit Revisions

 Significant Permit Modifications (10% of Permits)

 Minor Permit Modifications (50% of Permits)

 Administrative Amendments (50 % of Permits)

80 hrs

40 hrs

8 hrs

Prepare Permit Renewal Application 200 hrs

Other Permit Renewal Activities 20 hrs

Table 3. Average Permitting Authority Burden by Activity

Activity

Part 71 Burden Per Permit 

or Program

Program Administration 3,500 hrs / PA / yr

Initial Permit Application Review 100 hrs / permit

Draft Permits Preparation 150 hrs / permit

Comment Period Notification 10 hrs / permit

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

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

Permit Issuance 8 hrs / permit

Permit Revision 

 Significant Permit Modifications (10% of permits)

 Minor Permit Modifications (50% of Permits)

 Administrative Amendments (50% of Permits)

90 hrs / permit

30 hrs / permit

5 hrs / permit

Permit Renewal 90 hrs / permit

Review Reports:

 Monitoring (2 reports / yr)

 Compliance Certification 

10 hrs / permit

5 hrs / permit

 

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

p 19.
13

6(b) Estimating Respondent Costs

6(b)(i) Estimating Labor Costs

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

values in 2011 dollars based on recent publications by the Bureau of Labor Statistics (BLS). In recent 

ICR renewals, we updated the labor rate for sources using the BLS Employment Cost Index (ECI) 

applied to the rate used in the previous renewal. However, we could no longer reproduce the 

methodology used to derive the source labor rate in the original ICR for the program, and the value used 

in the most recent renewal appeared to be unrealistically low. 

The labor rate used to calculate sources’ labor cost for this ICR renewal is $64/hr. This source labor rate 

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

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

listed above in Table 1 will be carried out by Environmental Engineering Technicians. Specifically, we 

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

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

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

$39.98 from the most recent BLS Occupational Employment Statistics, which gives wages as of May

2010.4Similarly, we obtained the May 2010 mean hourly wage for Environmental Engineering 

Technicians of $22.51.5In each case, we escalated the hourly wages to December 2011 using the BLS 

ECI for private industry workers, resulting in hourly wages of $40.98 for Environmental Engineers and 

hourly wages of $23.07 for Environmental Engineering Technicians.6 An example escalation calculation 

for Environmental Engineers is as follows:

 =  ×





$39.98 ×

114.7

111.9

= $40.98

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

sources over the 3 years of this ICR, as shown later in this document in Table 6, apportioned between 

Environmental Engineers and Environmental Engineering Technicians as discussed above. This 

 

4

Environmental Engineer hourly wages obtained from “Occupational Employment Statistics, 

Occupational Employment and Wages, May, 2010, 17-2081 Environmental Engineers,” U.S. Dept. of 

Commerce, BLS. (http://www.bls.gov/oes/current/oes172081.htm accessed March 2012)

5

Environmental Engineering Technician hourly wages obtained from “Occupational Employment 

Statistics, Occupational Employment and Wages, May, 2010, 17-3025 Environmental Engineering 

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

accessed March 2012)

6

Employment Cost Indexes for sources obtained from “Employment Cost Index Historical Listing,

Current-dollar, March 2001–December 2011 (December 2005=100), Table 2. Employment Cost Index 

for wages and salaries, by occupational group and industry (Seasonally adjusted),” U.S. Dept. of 

Commerce, BLS, pg. 21 Private Industry Workers - All Workers. 

(http://www.bls.gov/web/eci/echistrynaics.pdf accessed March 2012)
14

calculation results in a weighted average hourly wage of $35.46. Finally, to determine the total labor 

rate, we assumed an 80 percent factor to account for benefits and overhead, which we believe to be 

representative. The resultant rate was rounded to the nearest dollar, yielding $64/hr in 2011 dollars. This 

labor rate was applied to all source burden hours to calculate the sources’ labor costs.

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

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

delegate permitting authorities is $52/hr. This calculation is discussed further below in section 6(c).

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

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

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

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

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

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

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

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

one exception to this is the part 71 requirement to develop and operated gap-filling monitoring in 

certain, limited situations where the applicable requirements do not require monitoring. However, such 

gap-filling monitoring typically consists of periodically monitoring and recording operating conditions 

or other parameters that the source already monitors for operational purposes. Thus, we believe that 

capital costs are negligible for sources.

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

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

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

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

purchases to outfit a new program office. 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

computers and software, monitoring, sampling, drilling and testing equipment. As a practical matter, 
15

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

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

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

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

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

6(b)(iv) Annualizing Capital Costs

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

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

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

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

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

are zero.

6(c) Estimating Agency Burden and Cost

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

permitting authority. We estimate that the EPA will be the permitting authority for approximately 160 of 

the 174 sources projected to be subject to the part 71 program by the end of this ICR renewal period. 

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

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

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

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

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

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

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

and cost.

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

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

below in Table 4. These activities remain unchanged from the 2007 ICR renewal. While there are 

several new activities or changes in activity levels compared to the 2007 ICR renewal that are related to 

the Flexible Air Permits and GHG Tailoring rules, for the sake of clarity we discuss those later in this 

document.

The estimated EPA labor rate for this ICR is $52/hr. The rate reflects the assumption that the EPA 

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

corresponding salary is loaded with benefits at the standard rate of 60 percent.

7

This is an increase in 

loaded EPA labor rates from that used in the 2007 ICR renewal for part 71 of $46/hr (which was based 

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

 

7

Federal Labor Cost obtained from U.S. Office of Personnel Management 2012 General Schedule Table 

2012-GS. Hourly labor rate assumed is GS-12, Step 5 (Technical Labor).
16

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

Activity

Burden Per Permit 

or Program (Hours)

Review Proposed Permits*

 New Permits

 Significant Permit Modifications

 Minor Permit Modifications

20 / permit

8 / revision

1 / revision

Consultation

 New Permits (25%)

 Significant Permit Modifications (25%)

 Minor Permit Modifications (25%)

8 / permit

8 / permit

1 / permit

Program Oversight 50 / program / year

Review the Annual Enforcement Activity Reports 10 / report

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

Past experience with part 70 suggests that oversight of the delegate agency averages about 2 hours per 

source per year on an aggregate basis. In the case of this delegate agency (the NNEPA), all of the 14 

part 71 permits were previously issued by the EPA prior to the approval of the delegation agreement and 

the delegation agreement does not provide for any new permits to be issued by the NNEPA. Thus, the 

EPA believes the assumption of 2 hours per source will be appropriate due to the reduced scope of the 

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

oversee the delegate agency will be approximately 28 hours per year at a cost of $1,456 per year.

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

As mentioned earlier, there is currently one delegate permitting authority, the NNEPA. We do not 

expect any additional delegations during the period of this ICR renewal.

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

renewal. We project that by the end of the period, there will be 136 sources in Indian country (14 of 

which are administered by the NNEPA), up to 15 OCS sources, up to 16 DPWA sources, up to 1 permit 

issued because of EPA objection to a part 70 permit and up to 6 GHG Tailoring sources.

The EPA has issued 105 part 71 permits to the 143 sources that will be subject to part 71 by May 1, 

2012. Thus, at the beginning of this ICR, there will be a backlog of 38 existing sources that have not yet 

received their initial permits. (These sources have submitted their initial permit applications, so this ICR 

includes no burden for preparation of these applications.) The Agency projects that the backlogged 

permits will all be issued during the 3 years of this ICR, 12 in the first year and 13 each in years 2 and 3.

As shown in Table 5, the EPA projects that 31 new sources will become subject to EPA permitting 

during the course of this ICR (6 new Indian country sources, 9 OCS sources, 10 DWPA sources, and 

6 due to the GHG Tailoring rule). We calculate the burden for these sources to include all the activities 

associated with obtaining an initial permit.
17

Table 5. Existing and Projected Part 71 Sources

Indian 

Country 

Sources

OCS 

Sources

DWPA 

Sources

Due to 

EPA 

Objection

GHG 

Tailoring 

Sources

May 1, 2012 130 6 6 1 0

April 30, 2013 2 3 3 0 2

April 30, 2014 2 3 3 0 2

April 30, 2015 2 3 4 0 2

Total 136 15 16 1 6

Also during the period of this ICR, a number of part 71 permits will have to be renewed. (The term of a 

part 71 permit is 5 years.) The EPA estimates that there will be 15 backlogged permit renewals by 

May 1, 2012 when this ICR begins. In addition, we estimate that another 63 part 71 permits will be 

nearing expiration and have to be renewed during the period of this ICR. The Agency projects that these 

78 permit renewals will be issued in equal numbers each year (i.e., 26 renewals per year).

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

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

quantities in the “affected permits” column are from direct assessments of the 174 permits expected to 

be administered during the period covered by this ICR (143 Indian country sources, 15 OCS sources, 

16 DWPA sources, 1 due to EPA objection, and 6 due to the GHG Tailoring rule). Each activity in 

Table 6 is based on the burden estimates from Table 2. Table 6 contains the baseline analysis (i.e., does 

not account for OMB-approved changes due to the Flexible Air Permits and GHG Tailoring rules). The 

assumptions in these tables are based on the assumptions detailed in the attachments to the ICR renewal 

for the part 70 state operating permit programs.

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

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

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

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

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

the permits. We then prorate the total based on the number of permits that we project the EPA and the 

one delegate permitting authority (the NNEPA) will administer during the period of this ICR renewal. 

Specifically, we apportion the burden at a rate of just under 92 percent for the EPA (160 of the 174 total 

sources) and just over 8 percent for the delegate permitting authority (14 sources).
18

Table 6. Baseline Burden and Cost of Sources Activities

Activity

Burden per 

Permit Hours

Affected 

Permits

Total Burden 

(Hours)

Total Cost 

(2011$)

Initial Permit Application 300 31 9,300 $595,200

Draft Permit Interaction 40 69 2,760 $176,640

Gap Filling Monitoring 

Development (50% of permits)

40 35 1,400 $89,600

Public Hearing Participation 

(2% of permits)

10 1 10 $640

Operate Gap Filling Monitoring 

(50% of permits)

200 year 1 53

year 2 64

year 3 75

 

year 1 10,600

year 2 12,800

year 3 15,000

 38,400

$678,400

$819,200

$960,000

$2,457,600

Prepare Monitoring Reports and 

Compliance Certifications 

(all permits)

80 year 1 105

year 2 127

year 3 150

year 1 8,400

year 2 10,160

year 3 12,000

 30,560

$537,600

$650,240

$768,000

$1,161,280

Permit Revisions

Significant Permit Modifications 

(10% of existing permits)

Minor Permit Modifications 

(50% of existing permits)

Administrative Amendments 

(50% of existing permits)

 

Revision Subtotal

80

40

8

year 1 11

year 2 13

year 3 15

 39

year 1 53

year 2 64

year 3 75

 192

year 1 53

year 2 64

year 3 75

 192

year 1 880

year 2 1,040

year 3 1,200

 3,120

year 1 2,120

year 2 2,560

year 3 3,000

 7,680

year 1 424

year 2 512

year 3 600

 1,536

 12,336

$56,320

$66,560

$76,800

$199,680

$135,680

$163,840

$192,000

$491,520

$27,136

$32,768

$38,400

$98,304

$789,504

Renewal Permit Application 200 78 15,600 $998,400

Other Renewal Activities 20 78 1,560 $99,840

Total 3-year 111,926 $7,163,264

Annual 37,309 $2,387,755
19

Table 7. Baseline Burden and Cost of Permitting Authority Activities

Activity

Burden 

Hours per 

Permit**

Affected 

Permits or 

Programs

Total Burden 

(Hours)

Total Cost 

(2011$)*

Program Administration 3,500 per year 1 10,500 $546,000

Permit Application Review 100 31 3,100 $161,200

Draft Permit Preparation 150 69 10,350 $538,200

Comment Period Notification 10 69 690 $35,880

Public Hearing (by Hearing) 

(2% of permits)

100 1 100 $5,200

Analyzing Public Comments 

(2% of permits)

40 1 40 $2,080

Permit Issuance 8 69 552 $28,704

Permit Revisions

Significant (10% of permits) 90 39 3,510 $182,520

Minor (50% of permits) 30 192 5,760 $299,520

Administrative (50% of permits)

 

Revision Subtotal

5 192 960

10,230

$49,920

$531,960

Permit Renewals 90 78 7,020 $365,040

Review Monitoring / Compliance

Reports

Year 1 

Year 2 

Year 3

15

15

15

105

127

150

1,575

1,905

2,250

5,730

$81,900

$99,060

$117,000

$297,960

Total for all Permitting Authorities 3-year 48,312 $2,512,224

Annual 16,104 $837,408

Total for the Delegate Permitting Authority Annual 1,296 $67,378

Total for the EPA Annual 14,808 $770,030

* The wage rate applied was $52 per hour; see section 6(c) for details.

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

6(e) Bottom Line Burden Hours and Cost Tables

Since the approval of the 2007 ICR renewal, the EPA has promulgated two rules that have affected the 

burden and cost of the part 70 Operating Permits Program, the Flexible Air Permits (FAP) rule and the 

GHG Tailoring rule. The Office of Management and Budget (OMB) approved ICR change requests for 

both of these rules, EPA tracking numbers 1703.09 and 1587.11, respectively; however, this is the first 

ICR renewal that addresses the two provisions at the same time and updates them to reflect the current 

stage of implementation.
20

The FAP rule, promulgated during the term of the last ICR renewal, revised part 71 to provide for 

permits that allow for upfront approval for changes to processes, equipment, raw materials and end 

products at a facility, in such a way as to avoid formal submittal and processing of significant permit 

modifications (SPM) and minor permit modifications (MPM) during the term of the permit. The FAP 

rule did not increase the number of sources subject to title V permitting, and it only applies to a 

relatively small number of new and existing sources that would need to get a permit anyway. While 

there is typically an increased burden to put the flexible provisions in the permit, once added, they allow 

the source to avoid permit modifications on a recurring, open-ended basis, resulting in an overall 

decrease in burden over the long term.

 

The EPA estimated in the FAP rule ICR that 5 percent of the total number of existing sources subject to 

part 70 would obtain a comprehensive flexible permit (a “Tier 1” permit) and that an additional 

10 percent of all existing sources and new sources subject to part 70 would seek simpler flexible permits 

(“Tier 2” permits). The FAP rule ICR assumed all existing part 70 sources would be issued Tier 1 and 2 

permits during the period of that ICR, and that there would be no new Tier 1 permits needed after that 

period ended. Thus, for this ICR period, we assume that only new Tier 2 permits will be issued, and they

will comprise 10 percent of new permits issued during the period.

Table 8 lists the burden categories for respondent sources, the number of affected permits for each 

activity, and the expected incremental burden hours and costs for each, based on the burden estimations 

made in the previous OMB-approved ICR change worksheet for the FAP rule. The table shows 

incremental burden increases for issuing new Tier 2 permits and burden decreases for avoided permit 

modifications for all Tier 1 and 2 permits. Tables 9 and 10 present the same analysis for permitting 

authorities (both the EPA and delegate agencies) and the EPA (in our oversight role), respectively. In 

Table 9, we first calculate the total impact of the FAP rule across all permits, and then apportion that 

burden and cost between the one delegate permitting authority and the EPA as above. 

Note that our assumptions for the mix of activities expected to occur under the FAP rule have changed 

compared to the OMB-approved change worksheet due to the normal evolution of the program (i.e., by

May 2012, the beginning of this ICR renewal period, all eligible existing permits have been changed to 

add Tier 1 and 2 flexibility and only new Tier 2 permits will need to add such flexibility during the term 

of the ICR renewal). Also, the number of affected permits has changed because our assumptions 

concerning the number of existing permits over the period (discussed previously) have changed since the 

FAP rule ICR. 

Table 8. Three-Year and Annual Incremental Burden of the FAP Rule for Sources

Activity

Burden 

Hours 

per 

Permit

Affected 

Permits

Total 3-Year 

Burden

(Hours)

Total 3-Year 

Cost

(2011$)

Tier 1 – 5 MPM Avoided per year -40 9 -5,400 -$345,600

Tier 1 – 1 SPM Avoided every 5 years -80 9 -400 -$25,600

Tier 2 – New Permit 60 7 420 $26,880

Tier 2 – 1 MPM Avoided per year -40 17 -2,040 -$130,560

Total 3-year -7,420 -$474,880

Annual -2,473 -$158,293
21

Table 9. Three-Year and Annual Incremental Burden of the FAP Rule for Permitting Authorities

(EPA and Delegate Agencies)

Activity

Burden 

Hours 

per 

Permit

Affected 

Permits

Total 3-Year 

Burden

(Hours)

Total 3-Year 

Cost

(2011$)

Tier 1 – 5 MPM Avoided per year -30 9 -4,050 -$210,600

Tier 1 – 1 SPM Avoided every 5 years -90 9 -450 -$23,400

Tier 2 – New Permit 45 7 315 $16,380

Tier 2 – 1 MPM Avoided per year -30 17 -1,530 -$79,560

Total for all Permitting Authorities 3-year -5,715 -$297,180

Annual -1,905 -$99,060

Total for the Delegate Permitting Authority Annual -153 -$7,970

Total for the EPA Annual -1,752 -$91,090

Table 10. Three-Year and Annual Incremental Burden of the FAP Rule for EPA Oversight of 

Delegate Agencies

Activity

Burden 

Hours 

per 

Permit

Affected 

Permits

Total 3-Year 

Burden

(Hours)

Total 3-Year 

Cost

(2011$)

Tier 1 – 5 MPM Avoided per year -1 1 -15 -$780

Tier 1 – 1 SPM Avoided every 5 years -8 1 -8 -$416

Tier 2 – New Permit 8 0 0 $0

Tier 2 – 1 MPM Avoided per year -1 2 -6 -$312

Total 3-year -29 -$1,508

Annual -10 -$503

The GHG Tailoring rule, also promulgated during the term of the last ICR renewal, “tailors” the 

requirements of the Act to limit the number of facilities that would otherwise be required to obtain 

title V permits solely due to their emissions of Greenhouse Gases (GHGs). As a result of actions to 

regulate GHGs under other CAA programs, GHGs are now required to be addressed under the title V 

program. The GHG Tailoring rule is necessary because the statutory definitions that have been used for 

other air pollutants to determine which sources are “major sources” subject to title V permitting, if 

implemented immediately for GHGs, would bring so many sources into the programs as to overwhelm 

the capabilities of permitting authorities to issue permits. Accordingly, the EPA adopted the GHG 

Tailoring rule to phase in coverage of GHG-emitting sources under the title V program. We are 

currently in Step 2 of the implementation schedule of the GHG Tailoring rule, and the EPA assumes that 

there will be about 552 GHG sources subject to part 70 solely due to GHG emissions during the 3-year 

period of this ICR renewal, and that all of these sources will be issued single-source permits (i.e., not 
22

general permits).8For part 71, we estimate there will be up to six new sources subject solely due to 

GHG emissions.

The baseline burden associated with part 71 is shown above in Tables 6 and 7 for sources and permitting 

authorities (both the EPA and delegated agencies), respectively. The baseline burden incurred by the 

EPA in our oversight role is discussed above in section 6(c). The burden for each activity in these 

analyses is based on the assumptions of the 2007 ICR renewal. The six additional GHG sources are 

included as well. The baseline burden figures, however, do not include the incremental burden for 

addressing GHG emissions in permits that apply to both GHG and non-GHG subject sources. The 

incremental GHG burden is shown below in Tables 11, 12 and 13 for sources, permitting authorities

(both the EPA and delegate agencies) and the EPA (in our oversight role). As above, Table 12 shows the 

total permitting authority burden hours and cost for all permits, followed by the burden apportioned 

between the delegate permitting authority and the EPA. Note that the EPA assumes the burden for 

issuing new GHG permits is the same as non-GHG permits, so there is no incremental burden for new 

permit issuance included in the tables below (it is included in Tables 6 and 7 instead). 

Specifically, included in the tables below is the incremental burden for sources and permitting 

authorities alike to address GHG in all new non-GHG permits (including backlog sources), the burden of 

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

NSR program ICR), the burden of addressing GHG in all existing non-GHG permits when they undergo 

minor permit or significant modification procedures, and the burden of addressing GHG in 80 percent of 

all permit renewals. For the EPA in our oversight role, the additional incremental burden is for 

reviewing and consulting with delegate permitting authorities on minor and significant modifications 

that occur solely due to GHG.9

Table 11 lists the burden categories for respondent sources, the number of affected permits for each 

activity, and the expected incremental burden hours and costs for each, based on the burden estimations 

made in the previous OMB-approved ICR change worksheet for the GHG Tailoring rule. Compared to 

the change worksheet for this rule, these tables have been updated to reflect the number of affected 

permits and the mix of activities expected to occur due to the expected evolution of the program. 

Tables 12 and 13 present the same analysis for permitting authorities and the EPA, respectively.

 

8 A proposed rule concerning Step 3 of the GHG Tailoring rule was published on March 8, 2012 (77 FR 

14226), which would not change the applicability threshold that was promulgated for Step 2. Step 3 is 

scheduled to take effect in July of 2013.

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

EPA review and they do not involve substantive changes.
23

Table 11. Three-Year and Annual Incremental Burden of the GHG Tailoring Rule for Sources

Activity

Burden 

Hours 

per 

Permit

Affected 

Permits

Total

3-Year 

Burden 

(Hours)

Total 3-Year 

Cost

(2011$)

Prepare Application (add GHG to non-GHG permit) 34 34 1,156 $73,984

Modification due to GHG 43 30 1,290 $82,560

Modification to address GHG in non-GHG permit 4 231 924 $59136

Address GHG at Renewal 20 62 1,248 $179,872

Total 3-year 4,618 $295,552

Annual 1,539 $98,517

Table 12. Three-Year and Annual Incremental Burden of the GHG Tailoring Rule for Permitting 

Authorities (EPA and Delegate Agencies)

Activity

Burden 

Hours 

per 

Permit

Affected 

Permits

Total 

3-Year 

Burden 

(Hours)

Total 3-Year 

Cost

(2011$)

Prepare Application (add GHG to non-GHG permit) 43 34 1,462 $76,024

Modification due to GHG 40 30 1,200 $62,400

Modification to address GHG in non-GHG permit 4 231 924 $48,048

Address GHG at Renewal 9 62 562 $29,203

Total 3-year 4,148 $215,675

Annual 1,383 $71,892

Total for the Delegate Permitting Authority Annual 111 $5,784

Total for the EPA Annual 1,272 $66,107

Table 13. Three-Year and Annual Incremental Burden of the GHG Tailoring Rule for EPA

Oversight of Delegate Agencies

Activity

Burden 

Hours 

per 

Permit

Affected 

Permits

Total 3-Year 

Burden 

(Hours)

Total 3-Year 

Cost

(2011$)

Review Modification due to GHG 8 2 16 $832

Consult on Modification due to GHG 8 1 8 $416

Total 3-year 24 $1,248

Annual 8 $416
24

6(e)(i) Respondent Tally

Tables 2 and 3 above display the activities of the part 71 program carried out by sources and permitting 

authorities, respectively. Section 6(b)(i) explains the derivation of the hourly cost of labor for sources

and delegate permitting authorities. Tables 6 and 7 summarize the expected baseline burden and costs 

(in 2011 dollars) over the 3-year period of this ICR renewal for sources and permitting authorities. The 

baseline burden and costs, which are based on the methodology of the previous ICR renewal, do not 

account for changes to the approved burden from the FAP rule and the GHG Tailoring rule. The 

incremental burden and costs attributable to the FAP rule are shown in Tables 8 and 9 for sources and 

permitting authorities, respectively, and that attributable to the GHG Tailoring rule is shown in 

Tables 11 and 12. In table 14 we show the calculation of the bottom line average annual burden for 

respondents (i.e., sources and the single delegate permitting authority), and in Table 15 the calculation 

of the bottom line average annual cost, adjusted for the FAP and GHG Tailoring rules. As can be seen 

from these tables, the FAP rule and the GHG Tailoring rule resulted in nearly offsetting decreases and 

increases, respectively, in burden and cost. Overall, there is a small decrease in burden for sources and 

the delegate permitting authority.

Table 14. Calculation of Bottom Line Average Annual Respondent Burden Hours

Respondent Baseline

Flexible Air 

Permit Rule

GHG 

Tailoring Rule Total

Sources 37,309 -2,473 1,539 36,375

Delegate Permitting Authority 1,296 -153 111 1,254

Total 38,605 -2,626 1,650 37,629

Table 15. Calculation of Bottom Line Average Annual Respondent Cost (2011$)

Respondent Baseline

Flexible Air 

Permit Rule

GHG Tailoring

Rule Total

Sources $2,387,755 -$158,293 $98,517 $2,327,979

Delegate Permitting Authority $67,378 -$7,970 $5,784 $65,192

Total $2,455,133 -$166,263 $104,301 $2,393,171

Table 16 shows the bottom line average annual burden and cost for the source and delegate permitting 

authority respondents under this ICR renewal for implementation of the part 71 Operating Permit 

Program between May 2012 and April 2015. As the table shows, the Agency anticipates it will take 

somewhat over 36,000 hours per year for the 174 sources subject to part 71 permitting to perform all the 

functions required by title V. This averages out to about 209 hours per source – just over 5 weeks of a 

full time employee’s time. The cost associated with that burden is relatively small – under $14,000.

For the single delegate permitting authority (the NNEPA), Table 16 shows that we estimate that the 

burden associated with the part 71 Operating Permit Program will be well under 1,300 hours per year, or 

about 90 hours and $4,700 for each of the 14 permits administered by the agency. However, this cost 

cannot be considered an Unfunded Mandate from the federal government, because the net cost to 
25

permitting authorities for their management of an operating permit program must, by law, be passed on 

to sources in the form of permit fees of sufficient magnitude to fully offset all permit management costs. 

Therefore, the true annual cost to the delegate permitting authority under part 71 is zero, and the true 

annual cost to sources is the sum of their direct costs ($2.3 million as shown in Table 16) and the costs 

incurred by both the delegate permitting authority (about $65,000 as shown in Table 16) and the EPA in 

its role as permitting authority (about $745,000 as shown below in Table 18), or approximately

$3.1 million per year. This total averages out to about $18,000 per permit.

Table 16. Bottom Line Average Annual Respondent Burden and Cost (2012-2015)

Type of 

Respondent

Number 

of 

Affected 

Entities

Average 

Annual 

Burden 

(Hours)

Average 

Annual 

Burden per 

Respondent 

(Hours)

Average 

Annual 

Burden 

per 

Source 

(Hours)*

Average 

Annual 

Cost 

(2011$)

Average 

Annual 

Cost per 

Respondent 

(2011$)

Average 

Annual 

Cost per 

Source 

(2011$)*

Sources 174 36,375 209 209 $2,327,979 $13,379 $13,379

Delegate 

Permitting 

Authority

1 1,254 1,254 90 $65,192 $65,192 $4,657

Total 175 37,629 NA NA $2,393,171 NA NA

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

6(e)(ii) The Agency Tally

Table 3 above displays the activities undertaken by the federal government (EPA) for the part 71 

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

oversight role for delegate permitting authorities. Section 6(c) gives the derivation of hourly costs for the 

EPA. Table 7 gives the expected baseline burden and cost for the EPA as permitting authority, and 

section 6(c) discusses the baseline burden and costs for the EPA in overseeing delegate permitting 

authorities. The incremental burden and cost attributable to the FAP rule are shown in Tables 9 and 10

for the EPA’s two roles, and those attributable to the GHG Tailoring rule are shown in Tables 12 and 13.

In Tables 17 and 18 we show the calculation of the average annual burden and cost for the EPA, 

adjusted for the FAP and GHG Tailoring rules.

Table 17. Calculation of Bottom Line Average Annual EPA Burden Hours

Role Baseline

Flexible Air 

Permit Rule

GHG 

Tailoring Rule Total

Permitting Authority 14,808 -1,752 1,272 14,328

Oversight of Delegate Agencies 28 -10 8 26

Total 14,836 -1,762 1,280 14,354
26

Table 18. Calculation of Bottom Line Average Annual EPA Cost (2011$)

Role Baseline

Flexible Air 

Permit Rule

GHG Tailoring

Rule Total

Permitting Authority $770,030 -$91,090 $66,107 $745,047

Oversight of Delegate Agencies $1,456 -$503 $416 $1,369

Total $771,486 -$91,593 $66,523 $746,416

As can be seen from Tables 17 and 18, the total, bottom line burden incurred by the EPA for the part 71 

Operating Permit Program is estimated to be about 14,400 hours and $750,000 dollars per year. This 

total represents approximately 82 hours and $4,300 per source across the two roles fulfilled by the 

Agency. As a permitting authority, the EPA’s bottom line annual burden is about 14,300 per year at a 

cost of about $745,000, or an average of approximately 90 hours and $4,700 for each of the 160 sources 

to be administered by the EPA. In overseeing the delegate permitting authority, the EPA expects an 

annual burden of less than 30 hours and $1,500 per year, for an average of 2 hours and $100 for each of 

the 14 sources administered by the NNEPA.

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

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

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

permitted sources increases by about 6 to 7 percent per year.

6(f) Reasons for Change in Burden

There are several reasons for the changes in burden in this ICR renewal relative to the 2007 ICR 

renewal. The most significant reason causing an increase in burden for sources and permitting 

authorities has been updated estimates of the number of existing sources and permits due to better data. 

This data shows increased economic activity occurring in areas under EPA jurisdiction, primarily due to 

oil and gas exploration, LNG terminals and several alternative energy development projects. Also 

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

activities of sources and permitting authorities. 

Table 19 compares the respondent burden in the 2007 ICR renewal with the burden in this ICR renewal. 

The approved burden level in the previous ICR was about 27,000 hours per year for sources, while this 

ICR estimates total annual burden for sources at over 36,000 burden hours per year. This change in 

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

and permits, rather than any new federal mandates (the FAP and the GHG Tailoring rules were 

previously approved by OMB, but this is the first ICR renewal to address them simultaneously and 

update them for the current stage of implementation). In the last ICR there were 123 sources subject to 

administration by the EPA, while this one assumes there will be 174 sources, of which 14 will be subject 

to delegate agency administration and 160 subject to EPA administration. Permitting by the delegate 

permitting authority accounts for about 1,250 hours in this ICR renewal, while the previous ICR 

included no burden for this type of respondent because no delegate agencies had been approved at that 

time.
27

Table 19. Burden Change from 2007 ICR to Current ICR (Hours)

Type of Respondent

Average Annual 

Burden in 2007 ICR

Average Annual 

Burden in ICR 

Renewal Difference

Sources 27,218 36,375 9,157

Delegate Permitting Authorities 0 1,254 1,254

Total 27,218 37,629 10,411

For the EPA, the estimated burden level in the 2007 ICR renewal was about 12,400 hours per year, 

which we estimate will increase to an average of about 14,400 hours per year over the 3 years of this 

ICR renewal. As with sources, this increase is largely the result of an increase in the number of existing 

and projected new sources subject to the part 71 program, although we estimate that a small portion of 

the increase (less than 30 hours annually) will be expended in oversight of the one delegate permitting

authority. In addition, we updated the cost of labor assumed for the EPA (see section 6(c)). Based on the 

projected increases in burden hours and the dollar-per-hour rate for EPA labor, we estimate that the cost 

to the federal government of the part 71 program will increase by about $190,000 per year.

6(g) Burden Statement

Following in Table 19 is the apportioned burden for each type of respondent, i.e. sources and the single 

delegate permitting authority. This is derived from the total hourly burden for sources divided by the 

number of sources, and similarly for the delegate permitting authority. 

Table 20. Burden Statement (Hours)

Type of Respondent

Number of 

Respondents

Total Annual 

Burden

Average Annual 

Burden per 

Respondent

Average Annual 

Burden per 

Source*

Sources 174 36,375 209 209

Permitting Authorities 1 1,254 1,254 90

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

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

annual burden of 14,354 hours for the EPA, or about 82 hours per source. This per-source average 

encompasses the EPA’s role as a permitting authority (about 90 hours for each of 160 sources) and in 

providing oversight for the delegate agency (about 2 hours for each of 14 sources).

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 
28

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

OMB Control Number 2060-0336 in any correspondence.
29

ATTACHMENT 1

THE STATUTORY REQUIREMENTS FOR REPONDENT INFORMATION
30

SECTIONS 502 THROUGH 504 OF TITLE V OF THE CLEAN AIR ACT

SEC. 502. PERMIT PROGRAMS

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

each of the following:

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

determining in a timely fashion the completeness of applications.

(2) Monitoring and reporting requirements.

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

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

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

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

the reasonable costs of -

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

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

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

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

enforcement action),

(iii) emissions and ambient monitoring,

(iv) preparing generally applicable regulations, or guidance,

(v) modeling, analyses, and demonstrations, and

(vi) preparing inventories and tracking emissions.
31

(B) The total amount of fees collected by the permitting authority shall conform to the following 

requirements:

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

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

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

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

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

permit program.

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

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

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

be excluded from this reference).

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

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

regulated pollutant.

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

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

subparagraph (A).

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

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

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

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

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

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

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

ending on August 31 of each calendar year, and

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

Index for calendar year 1989 shall be used.

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

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

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

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

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

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

the permit program promulgated by the Administrator.

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

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

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

computation of interest on underpayment of Federal taxes).
32

(iii) Any fees, penalties, and interest collected under this subparagraph shall be deposited in a 

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

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

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

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

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

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

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

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

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

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

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

requirements in an applicable implementation plan;

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

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

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

violation, and provide appropriate criminal penalties; and

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

manner under this title.

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

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

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

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

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

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

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

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

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

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

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

the permitting authority on such application without additional delay.

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

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

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

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

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

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

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

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

later than 18 months after the promulgation of such standards and regulations. No such revision shall be 
33

required if the effective date of the standards or regulations is a date after the expiration of the permit 

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

this title regarding renewals.

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

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

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

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

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

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

different time frame for emergencies.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

disapproval, or finding under section 179(a).

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

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

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

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

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

paragraph (1), promulgate, administer, and enforce a program under this title for that State.
34

(e) Suspension.- The Administrator shall suspend the issuance of permits promptly upon 

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

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

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

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

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

issued by a State.

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

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

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

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

and "new sources."

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

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

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

submit an approvable permit program.

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

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

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

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

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

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

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

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

Administrator shall apply after the expiration of such interim approval.

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

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

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

promulgation.

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

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

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

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

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

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

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

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

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

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

179(a).
35

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

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

such area has been designated a nonattainment area.

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

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

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

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

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

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

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

SEC. 503. PERMIT APPLICATIONS.

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

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

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

source; or 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

establish reasonable procedures to prioritize such approval or disapproval actions in the case of 

applications for construction or modification under the applicable requirements of this Act.
36

(d) TIMELY AND COMPLETE APPLICATIONS.-Except for sources required to have a permit 

before construction or modification under the applicable requirements of this Act, if an applicant has 

submitted a timely and complete application for a permit required by this title (including renewals), but 

final action has not been taken on such application, the source's failure to have a permit shall not be a 

violation of this Act, unless the delay in final action was due to the failure of the applicant timely to 

submit information required or requested to process the application. No source required to have a permit 

under this title shall be in violation of section 502(a) before the date on which the source is required to 

submit an application under subsection (c).

(e) COPIES; AVAILABILITY.-A copy of each permit application, compliance plan (including 

the schedule of compliance), emissions or compliance monitoring report, certification, and each permit 

issued under this title, shall be available to the public. If an applicant or permittee is required to submit 

information entitled to protection from disclosure under section 114(c) of this Act, the applicant or 

permittee may submit such information separately. The requirements of section 114(c) shall apply to 

such information. The contents of a permit shall not be entitled to protection under section 114(c).

SEC. 504. PERMIT REQUIREMENTS AND CONDITIONS.

(a) CONDITIONS.-Each permit issued under this title shall include enforceable emission 

limitations and standards, a schedule of compliance, a requirement that the permittee submit to the 

permitting authority, no less often than every 6 months, the results of any required monitoring, and such 

other conditions as are necessary to assure compliance with applicable requirements of this Act, 

including the requirements of the applicable implementation plan.

(b) MONITORING AND ANALYSIS.-The Administrator may by rule prescribe procedures and 

methods for determining compliance and for monitoring and analysis of pollutants regulated under this 

Act, but continuous emissions monitoring need not be required if alternative methods are available that 

provide sufficiently reliable and timely information for determining compliance. Nothing in this 

subsection shall be construed to affect any continuous emissions monitoring requirement of title IV, or 

where required elsewhere in this Act.

(c) INSPECTION, ENTRY, MONITORING, CERTIFICATION, AND REPORTING.-Each 

permit issued under this title shall set forth inspection, entry, monitoring, compliance certification, and 

reporting requirements to assure compliance with the permit terms and conditions. Such monitoring and 

reporting requirements shall conform to any applicable regulation under subsection (b). Any report 

required to be submitted by a permit issued to a corporation under this title shall be signed by a 

responsible corporate official, who shall certify its accuracy.

§70.5(c) Standard applications form and required information. The State program under this part shall 

provide for a standard application form or forms. Information as described below for each emissions unit 

at a part 70 source shall be included in the application. The Administrator may approve as part of a State 

program a list of insignificant activities and emissions levels which need not be included in permit 

applications. However, for insignificant activities which are exempted because of size or production 
37

rate, a list of such insignificant activities must be included in the application. An application may not 

omit information needed to determine the applicability of, or to impose, any applicable requirement, or 

to evaluate the fee amount required under the schedule approved pursuant to §70.9 of this part. The 

permitting authority may use discretion in developing application forms that best meet program needs 

and administrative efficiency. The forms and attachments chosen, however, shall include the elements 

specified below:

(1) Identifying information, including company name and address (or plant name and address if 

different from the company name), owner's name and agent, and telephone number and names of plant 

site manager/contact.

(2) A description of the source's processes and products (by Standard Industrial Classification 

Code) including any associated alternative scenario identified by the source.

(3) The following emission related information:

(i) All emissions of pollutants for which the source is major, and all emissions of regulated air 

pollutants. A permit application shall describe all emissions of regulated air pollutants emitted from any

emissions unit, except where such units are exempted under this paragraph (c) of this section. The 

permitting authority shall require additional information related to the emissions of air pollutants 

sufficient to verify which requirements are applicable to the source, and other information necessary to 

collect any permit fees owed under the fee schedule approved pursuant to §70.9(b) of this part.

(ii) Identification and description of all points of emissions described in paragraph (c)(3)(i) of 

this section in sufficient detail to establish the basis for fees and applicability of requirements of the Act.

(iii) Emissions rate in tpy and in such terms as are necessary to establish compliance consistent 

with the applicable standard reference test method.

(iv) The following information to the extent it is needed to determine to regulate emissions: 

Fuels, fuel use, raw materials, production rates, and operating schedules.

(v) Identification and description of air pollution control equipment and compliance monitoring 

devices or activities.

(vi) Limitations on source operation affecting emissions or any work practice standards, where 

applicable, for all regulated pollutants at the part 70 source.

(vii) Other information required by any applicable requirement (including information related to 

stack height limitations developed pursuant to section 123 of the Act.)

(viii) Calculations on which the information on paragraphs (c)(3)(i) through (c)(3)(vii) of this 

section is based.

(4) The following air pollution control requirements:

(i) Citation and description of all applicable requirements, and

(ii) Description of or reference to any applicable test method for determining compliance with 

each applicable requirement.

(5) Other specific information that may be necessary to implement and enforce other applicable 

requirements of the Act or of this part or to determine the applicability of such requirements.

(6) An explanation of any proposed exemptions from otherwise applicable requirements.
38

(7) Additional information as determined to be necessary by the permitting authority to define 

alternative operating scenarios identified by the source pursuant to § 70.6(a)(9) of this part or to define 

permit terms and conditions implementing § 70.4(b)(12) or § 70.6(a)(10) of this part.

(8) A compliance plan for all part 70 sources that contains all the following:

(i) A description of the compliance status of the source with respect to all applicable 

requirements.

(ii) A description as follows:

(A) For applicable requirements with which the source is in compliance, a statement that the 

source will continue to comply with such requirements.

(B) For applicable requirements that will become effective during the permit term, a statement 

that the source will meet such requirements on a timely basis.

(C) For requirements for which the source is not in compliance at the time or permit issuance, a 

narrative description of how the source will achieve compliance with such requirements.

(iii) A compliance schedule as follows:

(A) For applicable requirements with which the source is in compliance, a statement that the 

source will continue to comply with such requirements.

(B) For applicable requirements that will become effective during the permit term, a statement 

that the source will meet such requirements on a timely basis. A statement that the source will meet in a 

timely manner applicable requirements that become effective during the permit term shall satisfy this 

provision, unless a more detailed schedule is expressly required by the applicable requirement.

(C) A schedule of compliance for sources that are not in compliance with all applicable 

requirements at the time of permit issuance. Such a schedule shall include a schedule of remedial 

measures, including an enforceable sequence of actions with milestones, leading to compliance with any

applicable requirements for which the source will be in noncompliance at the time of permit issuance. 

This compliance schedule shall resemble and be at least as stringent as that contained in any judicial 

consent decree or administrative order to which the source is subject. Any such schedule of compliance 

shall be supplemental to and shall not sanction noncompliance with, the applicable requirements on 

which it is based.

(iv) A schedule for submission of certified progress reports no less frequently than every 6 

months for sources required to have a schedule of compliance to remedy a violation.

(v) The compliance plan content requirements specified in this paragraph shall apply and be 

included in the acid rain portion of a compliance plan for an affected source, except as specifically 

superseded by regulations promulgated under title IV of the Act with regard to the schedule and 

method(s) the source will use to achieve compliance with the acid rain emissions limitations.

(9) Requirements for compliance certification, including the following:

(i) A certification of compliance with all applicable requirements by a responsible official 

consistent with paragraph (d) of this section and section 114(a)(3) of the Act;

(ii) A statement of methods used for determining compliance, including a description of 

monitoring, record keeping, and reporting requirements and test methods;
39

(iii) A schedule for submission of compliance certifications during the permit term, to be 

submitted no less frequently than annually, or more frequently if specified by the underlying applicable 

requirement or by the permitting authority; and

(iv) A statement indicating the source's compliance status with any applicable enhanced 

monitoring and compliance certification requirements of the Act.

(10) The use of nationally-standardized forms for acid rain portions of permit applications and 

compliance plans, as required by regulations promulgated under title IV of the Act.

(d) Any application form, report, or compliance certification submitted pursuant to these 

regulations shall contain certification by a responsible official of truth, accuracy, and completeness. This 

certification and any other certification required under this part shall state that, based on information and 

belief formed after reasonable inquiry, the statements and information in the document are true, 

accurate, and complete.
40

ATTACHMENT 2

DECEMBER 14, 2011 FEDERAL REGISTER NOTICE

76 FR 77820
41

77820 Federal Register / Vol. 76, No. 240 / Wednesday, December 14, 2011 / Notices

ENVIRONMENTAL PROTECTION AGENCY

[EPA–HQ–OAR–2004–0015 and EPA–HQ–OAR–2004–0016; FRL–9506–5]

Agency Information Collection Activities; Proposed Collections; Comment Request; State 

Operating Permit Program (Renewal) and Federal Operating Permit Program (Renewal)

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

SUMMARY: In compliance with the Paperwork Reduction Act (PRA) (44 U.S.C. 3501 et seq.), this 

document announces that the EPA is planning to submit a request to renew two existing approved 

Information Collection Requests (ICR) to the Office of Management and Budget (OMB). The two ICRs 

are scheduled to expire on April 30, 2012. Before submitting the two ICRs to OMB for review and 

approval, the EPA is soliciting comments on specific aspects of the proposed information collections as 

described below.

DATES: Comments must be submitted on or before February 13, 2012.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA–HQ–OAR–2004–0015 (for 

the part 70 state program) or Docket ID No. EPA–HQ–OAR–2004–0016 (for the part 71 Federal 

program), by one of the following methods:

• http://www.regulations.gov: Follow the on-line instructions for submitting comments.

• Email: a-and-r-docket@epa.gov.

• Fax: (202) 566–9744.

• Mail: U.S. Environmental Protection Agency, Air and Radiation Docket and Information 

Center, Mailcode: 2822T, 1200 Pennsylvania Ave. NW., Washington, DC 20460. Attention: Docket ID 

No. EPA–HQ–OAR–2004–0015 (for Part 70) or Docket ID No. EPA–HQ–OAR–2004–0016 (for 

Part 71). Please include a total of two copies.

• Hand Delivery: EPA Docket Center, Public Reading Room, EPA West, Room 3334, 1301 

Constitution Ave. NW., Washington, DC 20460. Such deliveries are only accepted during the Docket’s 

normal hours of operation, and special arrangements should be made for deliveries of boxed 

information.

Instructions: Direct your comments to Docket ID No. EPA–HQ–OAR–2004–0015 for the ICR 

renewal for the part 70 state permitting program or EPA–HQ–OAR–2004–0016 for the ICR renewal for 

the part 71 Federal (EPA) permitting program. The EPA’s policy is that all comments received will be 

included in the public docket without change and may be made available online at 

http://www.regulations.gov, including any personal information provided, unless the comment includes 

information claimed to be Confidential Business Information (CBI) or other information whose 

disclosure is restricted by statute. Do not submit information that you consider to be CBI or otherwise 

protected through http://www.regulations.gov or email. The http://www.regulations.gov Web site is an 

‘‘anonymous access’’ system, which means the EPA will not know your identity or contact information 

unless you provide it in the body of your comment. If you send an email comment directly to the EPA 

without going through http://www.regulations.gov, your email address will be automatically captured 

and included as part of the comment that is placed in the public docket and made available on the 

Internet. If you submit an electronic comment, the EPA recommends that you include your name and 

other contact information in the body of your comment and with any disk or CD–ROM you submit. If 

the EPA cannot read your comment due to technical difficulties and cannot contact you for clarification, 

the EPA may not be able to consider your comment. Electronic files should avoid the use of special 

characters, any form of encryption and be free of any defects or viruses. For additional information 

about the EPA’s public docket, visit the EPA Docket Center homepage at 

http://www.epa.gov/epahome/dockets.htm.
42

FOR FURTHER INFORMATION CONTACT: Mr. Jeff Herring, Air Quality Policy Division, Office 

of Air Quality Planning and Standards (C504–05), Environmental Protection Agency, Research Triangle 

Park, North Carolina 27711; telephone number: (919) 541–3195; fax number: (919) 541–5509; email 

address: herring.jeff@epa.gov.

SUPPLEMENTARY INFORMATION:

How can I access the docket and/or submit comments?

The EPA has established a public docket for the Part 70 ICR renewal under Docket ID No. EPA–HQ–

OAR–2004–0015 and a public docket for the Part 71 ICR renewal under Docket ID No. EPA–HQ–

OAR–2004–0016, which are available for online viewing at http://www.regulations.gov, or in person 

viewing at the Air and Radiation Docket in the EPA Docket Center (EPA/DC), EPA West, Room 3334, 

1301 Constitution Ave., NW., Washington, DC The EPA/DC 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 

Public Reading Room is (202) 566–1744. Use http://www.regulations.gov to obtain a copy of the draft 

collection of information, submit or view public comments, access the index listing of the contents of 

the docket and access those documents in the public docket that are available electronically. Once in the 

system, select ‘‘search,’’ then key in the docket ID number identified in this document.

What information is the EPA particularly interested in?

Pursuant to section 3506(c)(2)(A) of the PRA, the EPA specifically solicits comments and information 

to enable it to:

(i) Evaluate whether the proposed collection of information is necessary for the proper 

performance of the functions of the agency, including whether the information will have practical utility;

(ii) Evaluate the accuracy of the agency’s estimate of the burden of the proposed collection of 

information, including the validity of the methodology and assumptions used; 

(iii) Enhance the quality, utility and clarity of the information to be collected; and 

(iv) Minimize the burden of the collection of information on those who are to respond, including 

through the use of appropriate automated electronic, mechanical or other technological collection 

techniques or other forms of information technology, e.g., permitting electronic submission of 

responses. In particular, the EPA is requesting comments from very small businesses (those that employ

less than 25) on examples of specific additional efforts that the EPA could make to reduce the 

paperwork burden for very small businesses affected by this collection.

What should I consider when I prepare my comments for the EPA? 

You may find the following suggestions helpful for preparing your comments:

1. Explain your views as clearly as possible and provide specific examples.

2. Describe any assumptions that you used.

3. Provide copies of any technical information and/or data you used that support your views.

4. If you estimate potential burden or costs, explain how you arrived at the estimate that you 

provide.

5. Offer alternative ways to improve the collection activity.

6. Make sure to submit your comments by the deadline identified under DATES.

7. To ensure proper receipt by the EPA, be sure to identify the docket ID number assigned to this 

action in the subject line on the first page of your response. You may also provide the name, date, and 

Federal Register citation.
43

What information collection activity does this apply to?

Affected entities: Entities potentially affected by this action are those which must apply for and 

obtain an operating permit under title V of the Clean Air Act (Act). These, in general, include sources 

which are defined as ‘‘major’’ under any title of the Act.

Title: Part 70 State Operating Permit Program (Renewal) and Part 71 Federal Operating Permit 

Program (Renewal).

ICR number: For the Part 70 regulations, EPA ICR No. 1587.12 and OMB Control No. 2060–

0243. For the Part 71 regulations, EPA ICR No. 1713.10 and OMB Control No. 2060–0336.

ICR status: The two ICRs are both scheduled to expire on April 30, 2012. 

Abstract: Title V of the Act requires states to develop and implement a program for issuing 

operating permits to all sources that fall under any Act definition of ‘‘major’’ and certain other nonmajor sources that are subject to federal air quality regulations. The Act further requires the EPA to 

develop regulations that establish the minimum requirements for those state operating permits programs, 

to oversee implementation of the state programs, and to operate a federal operating permits program in 

areas not subject to an approved state program. An agency may not conduct or sponsor, and a

person is not required to respond to, a collection of information request unless it displays a currently 

valid OMB control number. The OMB control numbers for the EPA’s regulations in 40 CFR are listed 

in 40 CFR part 9 and 48 CFR chapter 15. The EPA regulations setting forth requirements for the state 

operating permit program are at 40 CFR part 70 and the EPA regulations setting forth the requirements 

for the federal (EPA) operating permit program are at 40 CFR part 71. The part 70 program is designed 

to be implemented primarily by state and local permitting authorities in all areas where they have 

jurisdiction. The part 71 program is designed to be implemented primarily by the EPA in all areas where 

state and local agencies do not have jurisdiction, such as Indian Country and offshore beyond states’ 

seaward boundaries. 

In order to receive an operating permit for a major or other source subject to either of the 

permitting programs, the applicant must conduct the necessary research, perform the appropriate 

analyses and prepare the permit application with documentation to demonstrate that their project meets 

all applicable statutory and regulatory requirements. Specific activities and requirements are listed and 

described in the Supporting Statements for the two ICRs. 

State and local agencies under part 70 and the EPA (or a delegate agency) under part 71 review 

permit applications, provide for public review of proposed permits, issue permits based on consideration 

of all technical factors and public input, and review information submittals required of sources during 

the term of the permit. Also, under part 70, the EPA reviews certain actions of the state and local 

agencies and provides oversight of the programs to ensure that they are being adequately implemented 

and enforced. Under part 71, the EPA reviews certain actions and performs oversight for any delegate 

agency, consistent with the terms of a delegation agreement. Consequently, information prepared and 

submitted by sources is essential for sources to receive permits, and for Federal, state, and local 

permitting agencies to adequately review the permit applications and thereby properly administer and 

manage the program.

Since the previous renewal of this ICR, the EPA has promulgated two changes to the part 70 and 

71 regulations: the Flexible Air Permits rule and the Greenhouse Gas (GHG) Tailoring rule. The first 

rule provides a mechanism for sources to establish provisions in their operating permits that result in 

fewer permit revisions necessary during the term of the permit. The second rule establishes levels where 

GHG emissions trigger permitting requirements. The information collection requirements for these 

regulatory revisions were approved by OMB after the approval of the 2007 ICR renewal and those 

approved changes are included and updated in these ICR renewals. Also, the previous part 71 ICR 

renewal identifed the EPA as the sole permitting authority, while this part 71 renewal identifies the EPA 

and one delegate agency, the Navajo Nation, as permitting authorities (the EPA continues to serve as a 
44

permitting authority in all areas, while the delegate agency serves as a permitting authority in a limited 

portion of Indian country). 

Information that is collected is handled according to the EPA’s policies set forth in title 40, 

chapter 1, part 2, subpart B—Confidentiality of Business Information (see 40 CFR part 2). See also 

section 114(c) of the Act.

Burden Statement: 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. The annual public reporting and recordkeeping burden for the 

collection of information under parts 70 and part 71 is broken down as follows:

Type of permit action Part 70 Part 71

Permitting Authority:

Number of Sources.............................................................................................

Burden Hours per Response:

Sources...............................................................................................................

Permitting Authority.........................................................................................

Total Annual Burden Hours:

Sources...............................................................................................................

Permitting Authority.........................................................................................

15,940

250

84

3,977,118

1,334,766

174

215

94

37,413

1,318a

Any minor discrepencies are due to rounding.

a Only delegate agency burden is shown for part 71.

Respondents/Affected Entities: Industrial plants (sources); state, local, and tribal permitting 

authorities. 

Estimated Number of Respondents: For part 70, there are 15,940 sources and 112 state and local 

permitting authorities. For part 71, there are 174 industry sources and 1 tribal delegate permitting 

authority (the EPA serves as a permitting authority but is not a respondent).

Estimated Total Annual Burden: For part 70, the total annual burden for sources and state and 

local permitting authorities is 5,311,884 hours and the total annual cost is $226,736,622. For part 71, the 

total annual burden for sources and the one delegate agency (tribal) is 38,731 hours and the total annual 

cost is $1,865,183.

Are there changes in the estimates from the last approval? 

Since the last renewal of the part 70 ICR (in 2007), there is a decrease of 214 thousand hours (or 

about a 4 percent decrease) of annual respondent burden. This change is primarily due to an updated 

estimate of the number of permits expected compared to the last ICR renewal. To a lesser extent, this 

decrease is due to reduced permit renewal activity related to implementation of the Flexible Permits rule. 

Although the GHG Tailoring rule increased the number of source respondents by 552, the increase in 

burden was more than offset by the decrease in burden from the updated estimate of the number of 

permits and the decreased burden from the implementation of the Flexible Air Permits rule. Also, the 

annual per respondent burden has changed very little since the last part 70 ICR renewal (248 hours 

previously compared to the new estimate of 250 hours or about a 1 percent increase).
45

Since the last renewal of the part 71 ICR (in 2007), there is an increase of 10 thousand hours of 

total annual respondent burden (about a 36 percent increase). This is primarily due to an updated 

estimate of the number of permits expected (123 permits in the prior renewal versus 174 permits in this 

renewal or a 42 percent increase), which is due to increased energy development (oil and gas exploration 

and alternative energy development) in offshore areas under the EPA jurisdiction. In the current part 71 

renewal, the Flexible Air Permits rule and the GHG Tailoring rule result in nearly offseting decreases 

and increases in burden. Also, even though the total annual burden has increased compared to the prior 

ICR renewal, the annual per source burden has decreased by about 3 percent.

What is the next step in the process for this ICR?

The EPA will consider the comments received and amend the ICR as appropriate. The final ICR 

package will then be submitted to OMB for review and approval pursuant to 5 CFR 1320.12. At that 

time, the EPA will issue another Federal Register notice pursuant to 5 CFR 1320.5(a)(1)(iv) to 

announce the submission of the ICRs to OMB and the opportunity to submit additional comments to 

OMB. If you have any questions about this ICR or the approval process, please contact the technical 

person listed under FOR FURTHER INFORMATION CONTACT.

Dated: December 8, 2011.

Mary E. Henigin,

Acting Office Director, Office of Air Quality Planning and Standards.

[FR Doc. 2011–32062 Filed 12–13–11; 8:45 am]

BILLING CODE 6560–50–P