Information Collection Request

Supporting Statement for the

8-hour Ozone National Ambient Air Quality Standard 

Implementation Rule (Renewal)

EPA ICR # 2236.04

Prepared by:

Office of Air Quality Planning and Standards 

Office of Air and Radiation

U.S. Environmental Protection Agency

Research Triangle Park, North Carolina 27711

July 16, 2013

EPA Information Collection Request for the

1997 8-hour Ozone National Ambient Air Quality Standard 

Implementation Rule
Table of Contents

1. Identification of the Renewal Information Collection Request.........page 1

2. Need for and Use of the Collection..........................................page 3

3. Non-Duplication, Consultation, and other Collection Criteria......... page 4

4. Respondents and the Information Requested..............................page 8

5. Information Collected—Agency Activities, Collection Methodology and Information 

Management....................................................................page 12

6. Estimating the Burden and Cost of the Collection........................page 14
1

1. Identification of the Information Collection Request

1(a) Title of the Information Collection

The title of the Information Collection Request is 8-hour Ozone National Ambient Air 

Quality Standard Implementation Rule (Renewal), Environmental Protection Agency (EPA) 

number 2236.04, Office of Management and Budget (OMB) number 2060-0594.

1(b) Abstract/Executive Summary

The Paperwork Reduction Act requires the information found in this Information 

Collection Request (ICR) number 2236.04, to assess the burden (in hours and dollars) of the 

renewal of the 1997 8-hour Ozone National Ambient Air Quality Standard (NAAQS)

Implementation Rule as well as the periodic reporting and record keeping necessary to 

maintain the rule. The rule was proposed June 2, 2003 (68 FR 32802) and promulgated in 

two Phases: Phase 1 published April 30, 2004 (69 FR 23951) and Phase 2 published 

November 29, 2005 (70 FR 71612). The preamble to the proposed and final regulation 

addressed the administrative burden in general terms. The preamble to the final Phase 2 rule 

stated that an ICR would be prepared (70 FR at 71692). In 2007, certain limited portions of 

the Phase 1 rule were vacated by the U.S. Court of Appeals for the District of Columbia 

Circuit. The EPA addressed a portion of the vacature by assigning areas originally designated 

under subpart 1, part D, title I of the CAA to be subject to subpart 2. The former subpart 1

areas with non-attainment designation status were assigned to subpart 2 Marginal or

Moderate classifications. The subpart 2 classifications were published in the EPA’s Final 

Rule to Implement the 1997 8-Hour Ozone NAAQS: Classification of Areas That Were 

Initially Classified Under Subpart 1; Revision of the Anti-Backsliding Provisions To Address 

1-Hour Contingency Measure Requirements; Deletion of Obsolete 1-Hour Ozone Standard 

Provision. See 77 FR 28423, May 14, 2012.

1

The time period covered in this ICR is a three year period from August 1, 2013 through 

July 31, 2016. The milestones include the attainment demonstration, Reasonable Further 

Progress (RFP) State Implementation Plan (SIP) submission, and the Reasonable Available 

Control Technology (RACT) SIP submission. However, not all of the milestones and 

associated burden and administrative cost estimates apply to the remaining attainment areas 

for the 1997 8-hour Ozone NAAQS. There are thirty-eight non-attainment areas within 

sixteen states and the District of Columbia.

Thirty-two of the thirty-eight non-attainment areas have no additional burden as they

either have completed their SIP requirements or the SIP requirements have been suspended. 

The following paragraphs explain the status of certain affected non-attainment areas and 

either the estimated burdens for certain non-attainment areas.

 Status of ozone non-attainment areas anticipated to have no additional burden. 

The EPA recognizes that there are certain categories of ozone non-attainment areas 

 

1 Correction notice published July 25, 2012 (77 FR 43521).
2

that will have no additional burden in this ICR. These areas include ones that have 

met their 1997 ozone NAAQS SIP requirements either through a Determination of 

Attainment or through SIP requirements that have been suspended by a Clean Data 

Determination issued by the EPA.

 Status of ozone non-attainment areas initially designated under subpart 1 and 

that have been redesignated as Moderate under subpart 2 in the 2010 

redesignation action that are estimated to have no additional burden. The EPA’s 

final rule of May 14, 2012, (77 FR 28423), mentioned above, designated 16 nonattainment areas under subpart 2. Nine of the former subpart 1 areas were classified 

as Marginal non-attainment areas. These nine Marginal areas have either met the 

NAAQS standard or have their SIP requirements suspended. There are seven former 

subpart 1 areas classified as Moderate that require the state to prepare and submit to 

the EPA an attainment demonstration, RFP, and RACT SIP submissions between the 

calendar years of 2013 to 2016. The EPA has determined that three of the seven nonattainment areas would have no additional new burden. These three areas ozone nonattainment areas, the Pittsburgh area, PA, the Buffalo area, NY and the Jamestown

area, NY are all within the OTR. Because of OTR requirements, these states have 

already submitted state-wide RACT SIP requirements. These three areas also have 

EPA-approved Clean Data Determinations that suspend the attainment 

demonstration and RFP planning requirement resulting in no additional estimated 

burden. 

 Status of ozone non-attainment areas anticipated to have additional burden. 

The EPA has determined that ozone non-attainment areas that were initially 

designated under subpart 1 and that have been redesignated under subpart 2

with a Moderate classification in the 2012 redesignation action will have an 

increase in burden. As stated in the previous item, there are seven 8-hour ozone 

non-attainment areas that would normally have to prepare and submit to the EPA an 

attainment demonstration and RFP planning requirement resulting in no additional 

burden of which three have no additional burden. The remaining four non-attainment 

areas have completed a majority of the SIP requirements but due to the subpart 2 

reclassification, the areas must address additional SIP requirements such as RACT 

SIPs. This requirement to submit RACT SIPs represents an increased burden 

estimated to be about 2,500 hours, approximately half of the required 5,000 hours

the EPA has estimated for areas submitting complete Moderate SIP requirements. 

The four impacted ozone nonattainment areas are in California and are as follows:

o Calaveras County (formerly part of Central Mountain Counties)

o Kern County (Eastern Kern)

o Mariposa County (formerly part of Southern Mountain Counties)

o Western Nevada County

 Areas that may be anticipated to or have missed their attainment date. There are 

two areas that are anticipated to miss their June 15, 2013 Serious classification 

attainment date. The EPA believes it is essential to estimate the burden these two 

areas may encounter. Typically, the EPA has provided an estimated 20,000 burden 
3

hours for Serious areas to develop the complete necessary Serious area SIP 

submissions. However, in this case, the EPA must recognize that a majority of the 

burden is reduced since the areas have completed a majority of the required SIP 

submissions. Accordingly, the EPA has reduced the burden for each of these areas to 

5,000 hours as deemed necessary to complete their SIP revisions to their attainment 

demonstrations. The two areas are:

o Baltimore Area, Maryland

o Dallas-Fort Worth Area, Texas

The EPA has estimated that in total six non-attainment areas will have additional burden 

in fulfilling their obligations during the time period covered by this ICR renewal. The EPA

anticipates additional administrative burden for state governments and the EPA of 20,000

hours and 1,100 hours, respectively. Fifty percent of the hours are expended in the 1st year 

with the remainder evenly divided between the 2nd and 3rd years of the ICR period. Tribes are 

not required to conduct attainment demonstrations or submit RFP or RACT SIPs.

The present value of the total additional costs for state governments, the respondents, is

estimated at $1.4 million for the 3 year period. On an equivalent annual basis that is 

$434,000 per year during the 3 year period of the ICR.

The present value of the EPA’s administrative cost burden is estimated at $156,466

dollars. This is equivalent to an equal annual stream of costs of $52,155 per year during the 

three year period.

2. Need For and Use of the Collection

2(a) Need/Authority for the Collection

Part D of Title I of the Clean Air Act sets forth the plan (implementation) requirements 

for areas designated non-attainment with a promulgated National Ambient Air Quality

Standard. When the Clean Air Act amendments of 1990 were enacted, the subpart 2 

provisions were specific to designated non-attainment areas for the 1-hour ozone NAAQS, 

but that standard was revised in 1997. 

As a result of litigation and subsequent court decisions, the implementation rule for the 

1997 8-hour ozone NAAQS was issued in two phases: Phase 1 was published April 30, 2004 

and Phase 2 was published November 29, 2005. When the review and comment periods on 

the draft and final federal implementation rules closed, the affected parties could begin to 

assess the milestones and begin the planning process. In 2007 Phase I was vacated and all 

areas designated under “subpart 1” areas were redesignated in 2009 as either subpart 2 

Marginal or subpart 2 Moderate areas.

This ICR is the second 3-year renewal of the original ICR developed in response to the 

implementation framework to fulfill requirements of the Paperwork Reduction Act.
4

2(b) User/Users of the Data2

The data collected from respondents include attainment demonstrations, RFP SIP 

submissions, and RACT SIP submissions. The attainment demonstrations indicate the

emission reductions that are necessary to attain and maintain the 1997 ozone NAAQS. The 

RFP SIP describes how the RFP obligation will be met by the affected non-attainment areas 

as emission reductions are phased in over time. The RACT SIP provides an assessment of 

present controls on affected sources of emissions to see if they meet RACT requirements and 

identifies where additional measures and emission reduction requirements are required. The 

RACT and RFP requirements together can be used to satisfy the emission reduction 

requirements to attain and maintain the 1997 ozone NAAQS. 

The states use the attainment demonstrations, RFP SIP submissions, and RACT SIP 

submissions to inform their citizenry, including potentially regulated entities regarding the 

progress achieved in implementing the NAAQS. They also use this information and analysis 

to fulfill federal obligations under Title I, subpart D of the Clean Air Act and Phase 1 and 

Phase 2 of the 1997 8-hour Ozone Implementation Rule.

The potentially regulated entities use this information in assessing future emission 

reduction requirements.

The regional and headquarters offices of the EPA use the information as part of their 

review of attainment demonstration, RFP SIP, and RACT SIP adequacy. Emission reducing 

regulations developed by the states and approved by the EPA are federally enforceable.

3. Non-Duplication, Consultation, and Other Collection Criteria

3(a) Non-Duplication

There are 3 parts to the information collection for this ICR: the attainment demonstration, 

the RFP SIP submission, and the RACT SIP submission.

Attainment Demonstration. The attainment demonstration requirement appears as 40 

CFR 51.908 which implements Clean Air Act subsections 172(c)(1), 182(b)(1)(A), and 

182(c)(2)(B). The attainment demonstration for the 8-hour Ozone NAAQS is unique and 

does not duplicate other implementation plan requirements. However, the states are 

encouraged to build upon related implementation planning processes they used for the 1-hour 

Ozone NAAQS, regional haze rule, and/or PM2.5 NAAQS. Taking such steps, where 

appropriate, may reduce the incremental administrative burden and enable identification of 

control strategies that achieve requisite multi-pollutant environmental progress at a lower 

cost.

 

2 Attainment demonstrations as well as RFP and RACT SIP submissions are viewed as analytical products to some; 

but are regulations to others. In the context of the Paperwork Reduction Act, the attainment demonstration and RFP 

and RACT SIP submissions are considered data.
5

RFP SIP Submission. This unique requirement is described in 40 CFR 51.910. Although 

the RFP submission does not duplicate other plan requirements, the RFP submission may

complement them. For example, the emission reductions associated with the RFP SIP may be 

sufficient to bring the area into attainment.

The states are encouraged to build upon related analyses for federal emission reducing 

rules as well as salient PM NAAQS and regional haze implementation requirements where 

appropriate. Taking such steps may reduce the incremental administrative burden. For 

example, the temporal and spatial nature of emission reductions associated with the federal 

rules may be sufficient to meet the RFP requirements. Hence, the need to identify additional 

emission reductions to meet RFP requirements may be mitigated in some instances.

In addition, states are encouraged, where appropriate, to take into account similar 

analyses and planning efforts to meet certain PM NAAQS and regional haze implementation 

requirements. Such actions may result in RFP plans which achieve requisite multi-pollutant 

environmental progress at a lower cost.

RACT SIP Submission. This unique requirement is described in 40 CFR 51.912 which 

implements CAA subsections 172(c)(1) 182(b)(2),(c),(d), and (e). But, it is related to the Best 

Available Retrofit Technology (BART) requirement for the regional haze rule and RACT 

requirements for the PM2.5 NAAQS implementation rule. The states are encouraged to take 

into account these related requirements and analyses where appropriate. Taking such steps 

can reduce administrative burden and foster achievement of multi-pollutant environmental 

progress at a lower cost.

There are other activities covered by existing ICRs which complement the activities 

required for the attainment demonstration, RFP SIP submission, and RACT SIP submission. 

One example is the Consolidated Emissions Reporting Rule. Salient ICRs and their titles are 

identified below. 

 Requirements for Preparation, Adoption, and Submittal of Implementation Plans

o 51.121-51.122 NOx SIP Call 2060-0445

o 51.160-51.166 New Source Review 2060-0003

o 51.321-51.323 Air Quality Data Reporting 2060-0088

o 51.353-51.354 Inspection/Maintenance 2060-0252

o 51.365-51.366 Inspection/Maintenance 2060-0252

 Approval and Promulgation of Implementation Plans

o 52.21 Prevention of Significant Deterioration 2060-0003

 Ambient Air Monitoring Reference and Equivalent Methods

o 53.4 2080-0005

o 53.9(f),(h),(i) 2080-0005

o 53.14 2080-0005

o 53.15 2080-0005

o 53.16(a)-(d),(f) 2080-0005

 Outer Continental Shelf Air Regulations

o 55.4-55.8 2060-0249
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o 55.11-55.14 2060-0249

 Ambient Air Quality Surveillance

o 58.11-58.14 2060-0084

o 58.20-58.23 2060-0084

o 58.25-58.28 2060-0084

o 58.30-58.31 2060-0084

o 58.33 2060-0084

o 58.35 2060-0084

o 58.40-58.41 2060-0084

o 58.43 2060-0084

o 58.45 2060-0084

o 58.50 2060-0084

 Determining Conformity of Federal Actions to State or Federal Implementation Plans

o 91.150-93.160 2060-0279

3(b) Public Notice Required Prior to ICR Submission to the Office of 

Management and Budget (OMB)

On April 8, 2010, the EPA published a notice announcing its intention to submit this ICR 

to the Office of Management and Budget and the availability of the draft supporting 

statement. In that announcement, the EPA sought public comments. At the end of the 30-day

comment period, the EPA had received no public comments.

3(c) Consultation and Comment

The preamble for the final 1997 8-hour ozone NAAQS Phase 2 implementation rule 

stated that an ICR would be prepared. The EPA published a Federal Register notice on 

November 15, 2006 (Volume 71, Number 220 Page 66515) that solicited comment on the 

Agency Information Collection Activities: Proposed Collection; Comment Request; 8-Hour 

Ozone National Ambient Air Quality Standard Implementation Rule; EPA ICR No. 2236.02, 

OMB Control No. 2060–0594. At this time, a second 3-year renewal of the ICR is required.

To renew the information collection activities, the EPA published a Federal Register 

notice on [INSERT DATE OF FR PUBLICATION (FR VOLUME, NUMBER AND FR 

PAGE NUMBER) that solicited comment on the Agency Information Collection Activities, 

Renewal, Comment Request; 1997 8-Hour Ozone NAAQS Rule, EPA ICR 2236.04, OMB 

Control no. 2060-0594. The comment period closed on [INSERT DATE] with the EPA 

receiving no comments. 

3(d) Effects of Collection

The collections under 40 CFR 51.908, 51.910, and 51.912 are necessary to provide 

assurances that identified level of emission reductions are adequate to ensure timely

attainment and maintenance of the 1997 Ozone NAAQS while adhering to the mandatory

measures and requirements for subpart 2 non-attainment areas, as well as former subpart 1 

areas.
7

3(e) General Guidelines

This ICR adheres to the guidelines stated in the 1995 Paperwork Reduction Act, the 

OMB’s implementing regulations, the EPA’s Information Collection Request Handbook, and 

other applicable OMB guidance. The final 8-hour Ozone NAAQS implementation rule does 

not require:

 reporting more than once a year;

 respondents to participate in a statistical survey;

 responses to Agency inquiries in less than 30 days;

 respondents to receive remuneration for preparation of reports; 

 records to be kept more than 3 years,3and, 

 manual methods of reporting.4

3(f) Confidentiality

The information is requested from the states. To fulfill the attainment demonstration, RFP 

SIP submission, and RACT SIP submission requirements, the states will use emissions levels 

and control efficiency data provided by certain facilities in the private and public sector. This 

information is available from a variety of sources. It is the assimilation and analysis of that 

data that is required in the attainment demonstration, RFP SIP submittal, and the RACT SIP 

submittal.

There are 2 non-attainment areas that must revise their attainment demonstrations and 4

areas that must prepare and submit RACT SIP revisions. The remaining non-attainment areas 

have met or suspended their SIP requirements before the time period covered by this ICR 

begins and will thus only need to prepare recordkeeping reports. States should already have 

information from emission sources, as facilities should have provided this information to 

meet 1997 8-hour ozone SIP requirements and previous 1-hour SIP requirements, operating 

permits, and/or emissions reporting requirements. Such information does not generally reveal 

the details of production processes. But, to the extent it may, the affected facilities are 

protected. Specifically, the completion of the emissions and control efficiency information 

that is confidential, proprietary, and trade secret is protected from disclosure under the 

requirements of subsections 503(e) and 114 (c) of the Clean Air Act.

3(g) Sensitive Information

The requested attainment demonstration, RFP SIP submission, and RACT SIP

submission do not include questions whose answers would require sensitive information.

4.0 Respondents and the Information Requested

 

3 However, the states may choose to retain the information for more than 3 years.

4 However, the states must still submit their attainment demonstration, RFP SIP, and RACT SIP.
8

4(a) Respondents and the Non-Attainment areas

Table 1 lists 38 non-attainment areas in total as of July 22, 2013. Table 2 lists the 

numbers of non-attainment areas within each state and regional office. Table 3 indicates the 

six non-attainment areas contained within three states and regional offices affected by the 

attainment demonstration, RFP SIP, and RACT SIP submission. Local, state, and federal 

agencies are part of the North American Industrial Classification System code number 

924110.5

There are other entities that may be indirectly affected, as they may comment on the draft 

submissions before they are forwarded to the EPA’s Regional Offices. These include 

potentially regulated entities, representatives of special interest groups, and individuals. 

Consideration of the burden on these entities is beyond the scope of the Paperwork Reduction 

Act. 

 

5

http://www.census.gov/naics Code number 924110 includes “administration of air & water resources & solid 

waste management programs
9

Table 1. Classifications of 8-Hour Ozone Non-attainment Areas As of July 22, 2013 

(see http://www.epa.gov/air/oaqps/greenbk/gnc.html) 

n = area has whole or part county or counties in a previous 1-hr Ozone nonattainment area (as of 

June 15, 2005) no longer subject to the 1-hour standard

m = area has whole or part county or counties in a previous 1-hr Ozone maintenance area (as of 

June 15, 2005) no longer subject to the 1-hour standard

* = area has whole or part county or counties in a CO, PM-10, or PM-2.5 nonattainment or 

maintenance area or previous 1-hr Ozone nonattainment or maintenance area (as of June 15, 2005) 

Category/Classification (Attainment Date)

----------------------------------------------------------

EXTREME (June 2031) 

 Los Angeles-South Coast Air Basin Area, CA [n*]

 San Joaquin Valley Area, CA [n*]

SEVERE 17 (June 2021) 

SEVERE 15 (June 2019)

 Houston-Galveston-Brazoria Area, TX [n*]

 Los Angeles and San Bernardino Cos (W Mojave Desert) Area, CA [n*]

 Riverside County (Coachella Valley) Area, CA [n*]

 Sacramento Metro Area, CA [n*]

SERIOUS (June 2013) 

 Baltimore Area, MD [n*]

 Dallas-Fort Worth Area, TX [n*]

 Ventura County (part) Area, CA [n*]

MODERATE (June 2010) 

 Amador and Calaveras Counties (Central Mountain Counties) Area, CA [n*]

 Atlanta, GA [n*]

 Boston-Lawrence-Worcester (E. MA) [n*]

 Buffalo-Niagara Falls Area, NY [n*]

 Charlotte-Gastonia-Rock Hill, NC-SC (NC portion) [n*]

 Greater Connecticut, CT [n*]

 Imperial County, CA [n*]

 Jamestown Area, NY [n*]

 Jefferson County, NY [n*]

 Kern County (Eastern Kern) Area, CA [m*]

 Mariposa and Tuolumne Cos (Southern Mountain Counties) Area, CA

 Nevada County (Western part) Area, CA

 New York-N. New Jersey-Long Island Area, CT-NJ-NY [n*]

 Philadelphia-Wilmington-Atlantic City Area, DE-MD-NJ-PA [n*]

 Pittsburgh-Beaver Valley Area, PA [m*]

 Poughkeepsie Area, NY [n*]

 Providence (All RI), RI [n*]

 Sheboygan, WI [m*]

 Springfield (W. Mass) Area, MA [n*]

 St. Louis Area, IL-MO [m*]

 Washington Area, DC-MD-VA [n*]

MARGINAL (June 2007)

 Albany-Schenectady-Troy, NY

 Chico Area, CA [n*]

 Denver-Boulder-Greeley-Ft. Collins-Love. Area, CO
10

 Essex County (Whitefact Mtn.) Area, NY [n*]

 Phoenix-Mesa Area, AZ [m*]

 Rochester, NY [m*]

 San Francisco Bay Area, CA [n*]

 Sutter County (part) (Sutter Buttes) Area, CA [n*] 

As indicated in Table 3, the non-attainment area segments are in three states. 

Furthermore, these non-attainment areas are contained within respective EPA Regions, namely, 

Region 3, 6, and 9, without encroaching into other Regions. This would not increase the 

administrative burden of the RACT SIP submission. 

The numbers of non-attainment areas or parts of areas in each state and the associated 

EPA Regional Office are presented in Table 2. There are 34 non-attainment areas that overlap 

into more than one state which, if counted individually, would result in 41 total areas identified 

by the state where located. These were derived from the July 22, 2013 information at: 

http://www.epa.gov/air/oaqps/greenbk/gncs.html. 
11

Table 2. The Numbers of Non-Attainment Areas or Parts of Areas in Each State

Area and State No. of 

Areas or 

Parts of 

Areas

EPA 

Region

No. of 

subpart 2 

Marginal 

Areas

No. of 

subpart 2 

Moderate 

Areas 

No. of 

subpart 2 

Serious 

Areas 

No. of 

subpart 2 

Severe-15 

Areas 

No. of 

subpart 2 

Extreme 

Areas

Arizona 1 9 1 0 0 0 0

California 14 9 3 5 2 2 2

Colorado 1 8 1 0 0 0 0

Connecticut 2 1 0 2 0 0 0

Delaware 1 3 0 1 0 0 0

District of 

Columbia

1 3 0 1 0 0 0

Georgia 1 4 0 1 0 0 0

Maryland 3 3 0 2 1 0 0

Massachusetts 2 1 0 2 0 0 0

Missouri 1 7 0 1 0 0 0

New Jersey 2 2 0 2 0 0 0

New York 5 2 1 4 0 0 0

North Carolina 1 4 0 1 0 0 0

Pennsylvania 2 4 0 2 0 0 0

Texas 2 6 0 0 1 1 0

Virginia 1 3 0 1 0 0 0

Wisconsin 1 7 0 1 0 0 0

Total 41 6 26 4 3 2

4(b) Information Requested

The information requested under this ICR is prescribed by 40 CFR 51.908 (attainment 

demonstration), 51.910 (RFP SIP Submission), and 51.912 (RACT SIP Submission). The 

implementation framework set forth in the regulation does not adopt a “one-size-fits all” 

approach to meeting the attainment demonstration or RFP and RACT SIP submissions. This 

additional flexibility enables the states to customize, to the extent allowed by the Clean Air Act, 

their approach to attaining and maintaining the 8-hour Ozone NAAQS.

Data Items. The emissions and control efficiency data required for the attainment 

demonstration, RFP SIP submission, and RACT SIP submission should have been collected as a 

result of reporting activities required by other OMB approved ICRs. For example, see the ICR 

associated with the Consolidated Emissions Reporting Rule: 

http://www.epa.gov/ttn/chief/cerr/index.html. In addition, air pollutant concentration data is 

covered already by ICR 0940-22, OMB Control Number 2060-0084; the New Source Review 

provisions are covered by ICR 1230.23, OMB Control Number 2060-003; and the Reformulated 

Gasoline Requirements are covered ICR 1951.24, OMB Control Number 2060-0277.

There may be other data that the states use. For example, states may identify economic 

and population growth rates, federal rules that reduce future emissions of ozone precursors, and 

meteorological data. These data are presently available.

Respondents’ Activities. The states have compiled data, set forth the methodology, 

conducted analyses, developed initial drafts, held hearings, adopted rules, regulations, and 
12

programs, had discussions with the EPA’s staff as appropriate, refined the draft demonstration 

and RFP and RACT SIP submissions as appropriate, adopted the SIP, and forwarded that SIP to 

the EPA. These submitted data and activities have informed EPA’s designations for this renewal 

ICR.

EPA’s Activities. The EPA staff in the regional offices may facilitate timely receipt of 

the attainment demonstration, RFP SIP submission, and RACT submission by reviewing 

materials and answering questions from the states regarding: requirements, potential data 

sources, analysis tools, the draft attainment demonstration and other submissions. The EPA 

Regional Offices will evaluate the SIP submissions and take rulemaking actions to approve or 

disapprove the SIP revisions. 

The EPA headquarters staff will facilitate information flow amongst the regions and 

states to foster timely attainment of acceptable demonstrations and SIP submissions.

Reporting Protocols. The dates for the submissions are set forth in the final 

implementation rule (40 CFR 51.508, 51.910, and 51.912).

5.0 Information Collected—Agency Activities, Collection Methodology, 

and Information Management

5(a) States, EPA Regional Offices, and EPA Headquarters Offices

States: The states agencies’ activities include6:

 Forecast baseline emissions, develop and evaluate emission reduction strategies where 

warranted, conduct air quality modeling to verify maintenance and attainment of the 8-

hour Ozone NAAQS.

 Calculate the emission reductions necessary to fulfill RFP requirement, determine 

creditable emission reductions, where necessary determine additional emission reductions 

and compliance timing to meet RFP requirement. Draft findings, hold state hearings, 

make revisions as warranted. Submit RFP SIP to the appropriate EPA Regional office. 

Have discussions with the EPA.

 Identify RACT applicable sources and their control measures under baseline and 

attainment conditions; and evaluate alternatives. Draft findings, hold state hearings, make 

revisions as warranted. Submit RACT SIP to the EPA Regional Office. Have discussions 

with the EPA.

EPA Regional Offices. The regional office activities include:

 Answering inquiries put forth by the states.

 Reviewing data, analysis, and findings of attainment demonstration, RFP SIP and RACT 

SIP.

 Rulemaking actions approving or disapproving the SIP submissions.

 

6

 In some instances, there are local air pollution control districts within the states. These local agencies work in 

partnership with the states to facilitate accomplishment of the activities noted below. 
13

EPA Headquarters. The EPA headquarters office activities include:

 Facilitating information flow and problem solving amongst the regions regarding 

demonstrations and submittals from the states.

 Answering questions regarding application and interpretation of salient rule provisions.

5(b) Collection Methodology and Management

The attainment demonstration and the RFP and RACT SIP submittals will set forth the 

data sources and analytical methods, as well as the emission reduction and air quality

improvement verification procedures.

5(c) Small Entity Flexibility

For an approved ICR, the EPA must demonstrate that it has taken all practical steps to 

develop separate and simplified requirements for small businesses and other small entities. See 5 

CFR 1320.6(h). The 8-hour Ozone NAAQS implementation regulation does not provide a direct 

administrative burden on small entities.

5(d) Collection Schedule

During the period from August 1, 2013 through July 31, 2016, there are three sets of 

scheduled deliverables: attainment demonstration; RFP SIP submission; and RACT SIP 

submission.

Attainment Demonstration. If the EPA takes an action to reclassify areas that might not 

attain by their Serious area attainment date, the demonstration submission date for the areas will 

be specified in the EPA action. At the time of this ICR, EPA assumes the submission due date 

would be prior to July 31, 2016. 

The attainment demonstration submission due date was June 13, 2013 for former subpart 

1 re-designated as subpart 2 Moderate areas. Currently, all the former subpart 1 re-designated as 

subpart Moderate areas are meeting the 1997 ozone NAAQS with a Clean Data Determination 

resulting in the attainment planning SIP not being required at this time.

RFP SIP Submission. If the EPA takes an action to reclassify areas that might not attain 

by their Serious area attainment date, the RFP date for the areas will be specified in the EPA 

action. At the time of this ICR, the EPA assumes the submission due date would be prior to July

31, 2016. The RFP SIP submission due date was June 13, 2013 for former subpart 1 redesignated as subpart 2 Moderate areas. Currently, all the former subpart 1 re-designated as 

subpart 2 Moderate areas are meeting the 1997 ozone NAAQS with a Clean Data Determination 

resulting in the RFP planning SIP not being required at this time.

RACT SIP Submission. The RACT SIP submission due date was June 13, 2013 for 

former subpart 1 re-designated as subpart 2 Moderate areas.
14

6. Estimating the Burden and Cost of the Collection

This section provides information on the cost and hours associated with the information 

collection for both the respondents (the affected states) and the EPA (regional and headquarters 

offices). Hours and costs are presented for the activities associated with each collection item for 

a non-attainment area (or segment) in a given state, as well as the equivalent annual and present 

value numbers.

6(a) Estimating Respondent Burden

The estimated respondent burden is that associated with the activities which result in the 

attainment demonstration, RFP SIP submission, and RACT SIP submission. The estimated 

burden is incremental to that required by other EPA environmental reporting obligations. The 

incremental burden for some areas may be less than for others. There are several reasons for this 

disparity.

 The severity of the non-attainment problem varies among the designated areas.

 Certain areas or parts of areas may already have developed and implemented RACT 

requirements.

 Some areas may have future predicted 8-hour ozone design values which demonstrate 

attainment in expeditious and practicable fashion, within 5 years of designation, under 

baseline conditions.

 Some areas may fulfill the RFP requirement as a result of creditable emission reductions 

resulting from federal rules that reduce ozone precursor emissions.

Non-attainment Areas. The subpart 1 non-attainment areas definition was vacated in 

2007 after the publication of the 8-hour ozone NAAQS. Reclassifications of these areas were 

promulgated and published in the Federal Register on May 14, 2012 (77 FR 28423). As of this 

ICR, two of the former subpart 1 areas have redesignated to maintenance.

There are currently 34 subpart 2 areas which includes the former subpart 1 areas.

As a starting point for developing burden estimates, the EPA looked at the total hours 

expended in related EPA level of effort work assignments, exclusive of the air quality modeling. 

The total was about 300 hours in level of technical effort for areas that plan to redesignate before 

the 2010 redesignations, 500 hours in technical effort for former subpart 1 areas where the SIPs 

must be corrected for new classification,

7

300 hours for SIP corrections after 1-year attainment 

date extensions have been granted, and 1000 hours for SIP corrections by Moderate or above 

non-attaining areas and areas whose original designation had been escalated. The potential scope 

of that effort was geographically broad including all non-attainment areas outside AZ, CA, and 

NV. Examples of the specific scope of the effort included:

 Design of lower cost control strategies

 

7 EPA Contract No. 68-D-00-283; Work Assignments 3-53 and 4-66.
15

 Examination of alternative emission reduction targets and geographic areas (e.g., staying 

in state but going up to 100km for VOC emissions reductions and up to 200km for NOx 

emission reductions for some non-attainment areas)

 Assessment of RFP requirements for certain non-attainment areas

 Assessment of RACT if there was not a previous requirement

 Differences in cost, emission reductions, economic, and energy impacts looking at 

alternative frameworks for Phases 1 and 2 of the Implementation Rule.

Most of these areas have met previous RACT requirements. Also, many of these areas 

had RFP plans in place for the 1-hour Ozone NAAQS. Furthermore, for some of these areas, the 

RFP requirement is met or reduced because of creditable emission reductions resulting from 

federal rules reducing emissions of volatile organic compounds (VOCs) and/or nitrogen oxides 

(NOx). These activities are related to but do not precisely mimic the incremental activities 

undertaken by a state to fulfill the attainment demonstration including the reasonably available 

control measure analysis as well as the RACT SIP, and RFP SIP submissions for a given nonattainment area.

Most of this estimated burden would be incurred in the first year. This is because of the 

overlap of emission reductions associated with the attainment demonstration, RACT 

requirements and the RFP requirements. For example, emission reductions resulting from RACT 

may be creditable toward attainment and RFP. Furthermore, for areas which are projected to 

meet the standard by 2010, that demonstration fulfills the RACT and RFP requirements. The 

presumed allocation of total incremental burden across time is 50% in year 1, 25% in year 2, and 

25% in year 3. The estimated incremental burden for the non-attainment areas is presented in 

Table 3.

Table 3. Estimated Incremental Burden for the States Attainment Demonstration, RACT SIP Submission, 

and RFP SIP Submission.

State

EPA 

Region

No. of Areas 

or Parts of 

Areas

Additional 

Hours Year 1

Additional 

Hours Year 2

Additional

Hours Year 3

Arizona 9 1 0 0 0

California 9 14 5,000 2,500 2,500

Colorado 8 1 0 0 0

Connecticut 1 2 0 0 0

Delaware 3 1 0 0 0

District of 

Columbia

3 1 0 0 0

Georgia 4 1 0 0 0

Maryland 3 3 2,500 1,250 1,250

Massachusetts 1 2 0 0 0

Missouri 7 1 0 0 0

New Jersey 2 2 0 0 0

New York 2 5 0 0 0

North Carolina 4 1 0 0 0

Pennsylvania 3 2 0 0 0

Texas 6 2 2,500 1,250 1,250
16

Virginia 3 1 0 0 0

Wisconsin 5 1 0 0 0

Total N/A 41 10,000 5,000 5,000

6(b) Estimating Respondent Cost

Labor costs are estimated for state governments using the total of projected additional 

hours for the former subpart 1 and subpart 2 areas. These estimates do not reflect staff 

experience and economies of scale. The hourly rates are the result of estimated directed and 

indirect cost per employee. The main source of the information is 

http://www.opm.gov/oca/payrates/index.htm

The estimated weighted direct salary cost per employee is $41.20 per hour. This results 

from a summation of the professional, managerial, and support staff components.

 Hourly equivalent 2009 Salary of Permanent Professional Staff at GS 11, Step 3 is $33.34.

This is the average of hourly equivalent rates for the San Francisco, CA and Washington, 

D.C. areas.

 To account for permanent managerial staff, 1/11 or 9% of the hourly rate for GS 13, Step 

3 is added to the professional staff hourly rates. The average hourly equivalent rate for 

GS-13 using rates for San Francisco, CA and Washington, D.C. is $47.51. Nine percent of 

that is $4.32.

 To account for permanent support staff at GS-6, Step 6, 1/8 or 16% of the hourly rate is 

added to the professional staff hourly rates. The average hourly equivalent rate for GS-6, 

Step 6 using rates for San Francisco, CA and Washington, D.C. is $22.17. Sixteen percent 

of that is $3.55. 

The estimated hourly indirect cost per employee is $23.90. This amount is the sum of the 

following:

 Benefits at 16% of the weighted direct hourly equivalent salary cost per employee or 

$6.59.

 Sick and annual leave at 10% of the weighted direct hourly equivalent salary cost per 

employee or $4.12.

 General overhead at 32% of the weighed direct hourly equivalent salary cost per 

employee or $13.18.

The estimated total weighted direct and indirect hourly equivalent salary cost per 

employee is $65.10. The estimated total incremental respondent burden for the attainment 

demonstration, RACT SIP submittal, and RFP SIP submittal is provided in Table 4.
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Table 4. Estimated Total Incremental Cost and Hour Burden for the States (Respondents) to Fulfill 

the Attainment Demonstration, RACT SIP Submittal, and RFP SIP Submittal Requirements.

Areas Additional Cost 

for Year 1

Additional Cost 

for Year 2

Additional Cost 

for Year 3

Burden for the 3-year 

ICR period

Total $651,000 $325,500 $325,500 20,000 hours

6(c) Estimating EPA Burden and Cost

The estimated EPA burden is derived from the estimates for the respondents. Draft 

estimates were developed by the headquarters staff with review by regional office staff and 

subsequent refinement of the Agency burden and cost estimates.

The respondent burden was summed by the EPA regional offices and a percentage was 

applied to the yearly burden estimate to reflect the actions taken on the part of the regional 

offices. Once yearly burdens were estimated for the Agency’s Regional Offices, a percentage of 

those amounts are specified to derive estimates for the Agency’s Headquarters Office Burdens.

Discussions were held with Regional Office and Headquarters staff regarding the percentages 

and resulting burden estimates.

EPA Regional Office Burden. Table 5 summarizes total incremental respondent burden 

by Regional Office and provides estimates of total incremental the EPA Regional Office burden. 

The summary of total incremental respondent burden comes from Tables 3 and 4. The EPA 

Regional Office burden is presumed to be 10% of the estimated total incremental burden for 

respondent by the EPA Regional Office. The total incremental burden allocation for the EPA 

Regional Offices in Table 5 is 50% in year 1, 25% in year 2, and 25% in year 3.

In discussions with EPA Regional Office staff, they indicated that the total incremental 

burden estimates were ballpark. However, some regional office staff felt that a more reasonable 

allocation of total incremental EPA Regional Office burden would be 37.5% in year 1, 37.5% in 

year 2, and 25% in year 3. If that allocation were used, the corresponding EPA Regional Office 

burden estimates in years 1, 2, and 3 would be 750; 750; and, 500 respectively.
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Table 5. Estimated EPA Regional Office Burden Derived by Taking 10% of Regional Respondent Burden 

Total for Years 1, 2, and 3

EPA 

Regional 

Office

Year 1 

Respondents’ 

Burden

Year 1 EPA 

Reg. Office 

Burden

Year 2 EPA 

Reg. Office 

Burden

Year 3 EPA 

Reg Office 

Burden

1 0 0 0 0

2 0 0 0 0

3 5,000 250 125 125

4 0 30 0 0

5 0 0 7.5 7.5

6 5,000 250 125 125

7 0 0 0 0

8 0 0 0 0

9 10,000 500 250 250

10 0 0 0 0

Total 20,000 1,000 500 500

EPA Headquarters Burden. The Regional Office burden estimates for years 1, 2, and 3 

are multiplied by 10% to arrive at an estimate for Headquarters burden for the same 3 years.

Resulting hours for years 1, 2, and 3 are 100, 50, and 50, respectively.

Total Incremental Burden for the EPA. The regional and headquarters office burden 

estimate for year 1 is 1,100 hours. The estimates for years 2 and 3 are 550 hours each year.

Total Cost for the EPA. Using the weighted direct and indirect salary equivalent hour 

rate derived in section 6(b), the total incremental burden hours are multiplied by that rate. The 

result is the total cost estimate for the EPA; see Table 6.

Table 6. Total Cost Estimate for the EPA

Entity Year 1 Year 2 Year 3

Regional Office $65,100 $32,550 $32,550

Headquarters Office $6,510 $3,255 $3,255

Total EPA Cost $ 71,610 $ 35,805 $35,805

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

Title I of the Clean Air Act of 1990 provided a classification system for 1-hour Ozone 

NAAQS non-attainment areas along with prescribed programs and measures for those areas. In 

essence, there was no incremental administrative burden associated with the implementation of 

the 1-hour standard associated with discretionary action on the part of the EPA. However, with 

the promulgation of the 1997 8-hour Ozone NAAQS, the non-attainment designations, and the 

finalization of Phases 1 and 2 of the Ozone Implementation rule, the Office of Management and 

Budget believed there were there were additional administrative burdens by the EPA. This ICR 

attempts to develop estimates of the incremental burden resulting from the transition from a 1-

hour to an 8-hour form of the standard.
19

The major set of respondents is the states, as they have over 90% of the estimated 

additional burden. There is also burden imposed on the Regional and Headquarters Offices of the 

EPA. Because of the overlap in work for the attainment demonstration, RACT SIP submittal, and 

RFP SIP submittal, most of the cost will be incurred in year 1 of the 3 year period covered by

this ICR. In the EPA’s roles as facilitator, compiler, reviewer, and preparer, the estimated burden 

for the EPA is also expected to be greater in the 1st year than in the 2nd or 3rd years. 

The total incremental respondent universe burden and cost estimates are presented in 

Table 7.

Table 7. Total Incremental Respondent & EPA Universe Burden and Cost Estimates 

Entity Average Yearly Burden 3-Year Burden Hours Present Value of Costs for 3-Year Burden

States 6,667 20,000 $1.42 million

EPA 733 1,100 $ 0.16 million

Total 7,400 21,100 $1.58 million

*The estimates are in current year (2012) dollars. Costs for years 2 and 3 are calculated using the equation Present 

Value = Future Value/ (1 + interest rate)t ,where “t” is the number of years hence (i.e., 0 for year 1, 1 for year 2, 2 

for year 3). The adjusted values for years 1, 2, and 3 are then summed.

6(e) Reason for No Change in Burden

The 2010 ICR Renewal currently approved by OMB (EPA ICR #2236.03) estimated that 

there were 39 respondents or affected entities, namely, state and local governments. The total 

number of estimated annual burden was 6,667 hours. The estimated total annual costs was 

$434,000. There is neither an increase nor a decrease in burden compared with that identified in 

the 2010 ICR renewal due to the following factors:

 The number of non-attainment areas has decreased as areas have come into compliance with 

the standards

 The number of non-attainment areas with SIP revisions required has decreased as areas have 

either submitted the requirements or the planning requirements have been suspended with a 

Clean Data Determination.

 The additional burden associated with the remaining non-attainment areas is less because of 

the work they have done previously to comply with the standards.

 The EPA’s final rule of May 14, 2012 (77 FR 28423) assigning former subpart 1 ozone nonattainment areas re-designations under subpart 2, resulted in non-attainment areas with 

additional burden for completing SIP revisions.

 The additional annual burden and the annual costs proposed in this ICR Renewal equal the 

burden and cost estimated in the previously OMB-approved 2010 EPA ICR #2236.03.

The estimates have been calculated using 2012 dollars and some assumptions regarding 

overhead, O&M costs, and capital costs have been adjusted to meet current guidelines and 

common procedures for preparing ICRs.
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6(f) Burden Statement

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

is estimated to average 1,111 hours for this reporting period. This estimate is derived by taking 

6,667 hours, the average yearly burden for the states identified in Table 7, and dividing by 6, the 

number of affected areas located in Maryland, Texas and California. Burden means the total 

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

provide information or for a Federal agency other than the EPA to do so. This estimate includes 

the time and burden needed to conduct the tasks associated with 3 milestones covered during this 

ICR reporting period. Those milestones are the RACT SIP submittal, RFP SIP submittal, and the 

attainment demonstration. In meeting these milestones, such incremental efforts may include 

reviewing instructions as well as verifying, processing, maintaining, and disclosing information. 

Such efforts may require incremental development, acquisition, installation, and/or utilization of 

technological systems for several purposes. These purposes include collecting, verifying, 

validating, processing, maintaining and disclosing information associated with the 3 milestones. 

The incremental efforts may result from adjusting the ways to comply with the previously

applicable instructions associated with the 1-hour Ozone National Ambient Air Quality Standard. 

Consequently, in meeting the 3 milestones, there could be some incremental burden associated 

with learning/training, searching data sources, and transmitting the deliverables.

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. 

When this ICR is approved by OMB, the EPA will publish a technical amendment to 40 CFR 

part 9 in the Federal Register to display the OMB control number for the approved information 

collection requirements contained in the final implementation rule. However, as stated in the 

November 29, 2005 Federal Register Notice for the 8-hour Ozone Implementation Rule on page 

71,693, “... the failure to have an approved ICR for this rule does not affect the statutory

obligation for the States to submit SIPs as required under part D of the CAA.”

The EPA established a docket for the 8-hour Ozone National Ambient Air Quality

Standard Implementation Rule under Docket ID No. EPA-HQ-OAR-2003-0079, which is 

available for online viewing at: http://www.regulations.gov. Although listed in the index, some 

information such as Confidential Business Information is not publicly available. Other 

information such as copyrighted materials are not placed on the internet, but are available in hard 

copy form at the EPA Docket Center (Air Docket), EPA/DC, EPA West, Room B102, 1301 

Constitution Ave., NW., Washington, DC. The 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. The telephone number for the Office of Air and 

Radiation Docket and Information Center is (202) 566-1742.

PART B

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

associated with the proposed rule.