SUPPORTING STATEMENT

ENVIRONMENTAL PROTECTION AGENCY

NSPS for Coal Preparation and Processing Plants (40 CFR Part 60, Subpart Y) (Renewal)

1. Identification of the Information Collection

1(a) Title of the Information Collection

NSPS for Coal Preparation and Processing Plants (40 CFR Part 60, Subpart Y) (Renewal), 

EPA ICR Number 1062.13, OMB Control Number 2060-0122. 

1(b) Short Characterization/Abstract

The New Source Performance Standards (NSPS) for Coal Preparation and Processing 

Plants were proposed on October 24, 1974, promulgated on January 15, 1976, and amended on 

October 8, 2009. These regulations apply to existing and new facilities that perform coal 

preparation and processing activities. The 2009 final rule amendment includes revisions to the 

emission limits for particulate matter (PM) and opacity standards for thermal dryers, pneumatic 

coal cleaning equipment, and coal handling equipment (coal processing and conveying 

equipment, coal storage systems, and coal transfer and loading systems) located at coal 

preparation and processing plants that commence construction, modification, or reconstruction 

after April 28, 2008. The amendment also establishes a sulfur dioxide (SO2) emission limit and 

a combined nitrogen oxide (NOx) and carbon monoxide (CO) emissions limit for thermal dryers, 

and establishes work practice standards to control fugitive coal dust emissions from open storage 

piles located at coal preparation and processing plants that commence construction, modification, 

or reconstruction after May 27, 2009. This information is being collected to assure compliance 

with 40 CFR part 60, subpart Y.

In general, all NSPS standards require initial notifications, performance tests, and 

periodic reports by the owners/operators of the affected facilities. They are also required to 

maintain records of the occurrence and duration of any startup, shutdown, or malfunction in 

the operation of an affected facility, or any period during which the monitoring system is 

inoperative. These notifications, reports, and records are essential in determining compliance, 

and are required of all affected facilities subject to NSPS. 

Any owner/operator subject to the provisions of this part shall maintain a file of these 

measurements, and retain the file for at least two years following the date of such measurements, 

maintenance reports, and records. All reports are sent to the delegated state or local authority. 

In the event that there is no such delegated authority, the reports are sent directly to the U. S.

Environmental Protection Agency (EPA) regional office.

Over the next three years, an average of 1,037 respondents per year will be subject to the 

standard, with an additional 5 respondents per year will become subject to the standard. 

The Office of Management and Budget (OMB) approved the currently active ICR 

without any “Terms of Clearance.”
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The “Affected Public” is owners or operators of coal preparation and processing plants. 

The burden to the “Affected Public” may be found below in Table 1: Annual Respondent Burden 

and Cost – NSPS for Coal Preparation and Processing Plants (40 CFR Part 60, Subpart Y) 

(Renewal). The burden to the “Federal Government” is attributed entirely to work performed by 

either Federal employees or government contractors; this burden is found below in Table 2: 

Average Annual EPA Burden and Cost – NSPS for Coal Preparation and Processing Plants (40 

CFR Part 60, Subpart Y) (Renewal).

2. Need for and Use of the Collection

2(a) Need/Authority for the Collection

The EPA is charged under Section 111 of the Clean Air Act (CAA), as amended, 

to establish standards of performance for new stationary sources that reflect: 

. . . application of the best technological system of continuous 

emissions reduction which (taking into consideration the cost of 

achieving such emissions reduction, or any non-air quality health 

and environmental impact and energy requirements) the 

Administrator determines has been adequately demonstrated. 

Section 111(a)(l).

The Agency refers to this charge as selecting the best demonstrated technology (BDT). Section 

111 also requires that the Administrator review and, if appropriate, revise such standards every

four years.

In addition, section 114(a) states that the Administrator may require any owner/operator 

subject to any requirement of this Act to: 

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

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

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

accordance with such procedures or methods, at such locations, 

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

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

equipment parameters, production variables or other indirect data 

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

compliance certifications in accordance with Section 114(a)(3); 

and (G) provide such other information as the Administrator may

reasonably require.

In the Administrator's judgment, PM, SO2, NOx, and CO emissions from coal preparation 

and processing plants cause or contribute to air pollution that may reasonably be anticipated to 

endanger public health or welfare. Therefore, the NSPS were promulgated for this source 
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category at 40 CFR part 60, subpart Y.

2(b) Practical Utility/Users of the Data

The recordkeeping and reporting requirements in the standard ensure compliance with 

the applicable regulations which where promulgated in accordance with the Clean Air Act. The 

collected information is also used for targeting inspections and as evidence in legal proceedings.

Performance tests are required in order to determine an affected facility’s initial 

capability to comply with the emission standard. Continuous emission monitors are used to 

ensure compliance with the standard at all times. During the performance test a record of the 

operating parameters under which compliance was achieved may be recorded and used to 

determine compliance in place of a continuous emission monitor. 

The notifications required in the standard are used to inform the Agency or its 

delegated authorities when a source becomes subject to the requirements of the regulations. 

The reviewing authority may then inspect the source to check if the pollution control devices are 

properly installed and operated and/or leaks are being detected and repaired and the standards are 

being met. The performance test may also be observed.

The required semiannual reports are used to determine periods of excess emissions, 

identify problems at the facility, verify operation/maintenance procedures and for compliance 

determinations.

3. Non-duplication, Consultations, and Other Collection Criteria

The requested recordkeeping and reporting are required under 40 CFR part 60, subpart Y.

3(a) Non-duplication

If the subject standards have not been delegated, the information is sent directly to the 

appropriate EPA regional office. Otherwise, the information is sent directly to the delegated 

state or local agency. If a state or local agency has adopted its own similar standards to 

implement the Federal standards, a copy of the report submitted to the state or local agency can 

be sent to the Administrator in lieu of the report required by the Federal standards. Therefore, 

duplication does not exist.

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

An announcement of a public comment period for the renewal of this ICR was published 

in the Federal Register (77 FR 47631) on August 9, 2012. No comments were received on the 

burden published in the Federal Register.
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3(c) Consultations

The Agency has consulted industry experts and internal data sources to project the 

number of affected facilities and industry growth over the next three years. The primary source 

of information as reported by industry, in compliance with the recordkeeping and reporting 

provisions in the standard, is the Online Tracking Information System (OTIS) which is operated 

and maintained by EPA's Office of Compliance. OTIS is EPA’s database for the collection, 

maintenance, and retrieval of all compliance data. The growth rate for the industry is based on 

our consultations with the Agency’s internal industry experts. 

Industry trade associations and other interested parties were provided an opportunity to 

comment on the burden associated with the standard as it was being developed and the standards

have previously been reviewed to determine the minimum information needed for compliance 

purposes. During the development of the current ICR, we contacted: 1) the American Public 

Power Association (APPA), at (202) 467-2900; 2) the National Mining Association (NMA), at 

(202) 463-2600; and 3) the American Petroleum Institute (API), at (202) 682-8000.

It is our policy to respond after a thorough review of comments received since the last 

ICR renewal as well as those submitted in response to the first Federal Register notice. In this 

case, no comments were received. 

3(d) Effects of Less Frequent Collection

Less frequent information collection would decrease the margin of assurance that 

facilities are continuing to meet the standards. Requirements for information gathering and 

recordkeeping are useful techniques to ensure that good operation and maintenance practices 

are applied and emission limitations are met. If the information required by these standards 

was collected less frequently, the proper operation and maintenance of control equipment and 

the possibility of detecting violations would be less likely.

3(e) General Guidelines

These reporting or recordkeeping requirements do not violate any of the regulations 

promulgated by OMB under 5 CFR part 1320, section 1320.5.

These standards require the respondents to maintain all records, including reports and 

notifications for at least five years. This is consistent with the General Provisions as applied to 

the standards. EPA believes that the five-year records retention requirement is consistent the 

Part 70 permit program and the five-year statute of limitations on which the permit program is 

based. The retention of records for five years allows EPA to establish the compliance history of 

a source, any pattern of non-compliance and to determine the appropriate level of enforcement 

action. EPA has found that the most flagrant violators have violations extending beyond five 

years. In addition, EPA would be prevented from pursuing the violators due to the destruction or 

nonexistence of essential records.
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3(f) Confidentiality

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

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

subpart B - Confidentiality of Business Information (CBI) (see 40 CFR 2; 41 FR 36902, 

September 1, 1976; amended by 43 FR 40000, September 8, 1978; 43 FR 42251, September 20, 

1978; 44 FR 17674, March 23, 1979).

3(g) Sensitive Questions

The reporting or recordkeeping requirements in the standard do not include sensitive 

questions.

4. The Respondents and the Information Requested

4(a) Respondents/SIC Codes

The respondents to the recordkeeping and reporting requirements are owners and 

operators of coal preparation and processing plants. The United States Standard Industrial 

Classification (SIC) codes for the respondents affected by the standards and the corresponding 

North American Industry Classification System (NAICS) codes are listed below for this source 

category.

Standard (40 CFR Part 60, Subpart Y) SIC Codes NAICS Codes

Bituminous Coal and Lignite Surface Mining 1221 212111

Bituminous Coal Underground Mining 1222 212112

Fossil Fuel Electric Power Generation 4911, 4931, 4939 221112

American Indian and Alaska Native Tribal Governments 8641 921150

Anthracite Mining 1231 212113

Support Activities for Coal Mining 1241 213113

Paper (except Newsprint) Mills 2611, 2621 322121

Petrochemical Manufacturing 2865, 2869 325110

All Other Petroleum and Coal Products Manufacturing 2999, 3312 324199

Cement Manufacturing 3241 327310

Iron and Steel Mills 3312 331111

4(b) Information Requested

(i) Data Items

In this ICR, all the data that is recorded or reported is required by the NSPS for Coal 

Preparation and Processing Plants (40 CFR Part 60, Subpart Y). 
6

A source must make the following reports:

Notifications

Notification and application of construction or modification. 60.7(a)

Notification of anticipated date of initial startup. 60.7(a)

Notification of actual startup. 60.7(a)

Notification of physical or operational change which may increase the 

emission rate.

60.7(a)

Notification of performance test. 60.8

Reports

Initial performance test results 60.258(c)

Repeat performance test results 60.258(d)

Semiannual excess emission reports 60.7(c), 60.258(b)

A source must keep the following records:

Recordkeeping

Startups, shutdowns, malfunctions, periods where the continuous 

monitoring system is inoperative

60.7(b)

Maintain a written or electronic logbook 60.258(a)

Records are required to be retained for two (2) years 60.7(f)

Records of ongoing monitoring 60.7(f)

Fugitive Coal Dust Emissions Control Plan 60.254(c)

Bag Leak Detection System Site-Specific Plan 60.256(c)

Electronic Reporting

Some of the respondents are using monitoring equipment that automatically records 

parameter data. Although personnel at the affected facility must still evaluate the data, internal 

automation has significantly reduced the burden associated with monitoring and recordkeeping at 

a plant site. 

Also, regulatory agencies in cooperation with the respondents continue to create reporting 

systems to transmit data electronically. However, electronic reporting systems are still not 

widely used. At this time, it is estimated that approximately 10 percent of the respondents use 

electronic reporting.
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(ii) Respondent Activities

Respondent Activities

Read instructions.

Perform initial performance test using EPA Method 5, 9, and 22, and repeat performance tests 

if necessary.

Write the notifications and reports listed above.

Enter information required to be recorded above.

Submit the required reports developing, acquiring, installing, and utilizing technology and 

systems for the purpose of collecting, validating, and verifying information.

Develop, acquire, install, and utilize technology and systems for the purpose of processing and 

maintaining information.

Develop, acquire, install, and utilize technology and systems for the purpose of 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.

Transmit, or otherwise disclose the information.

Currently sources are using monitoring and reporting equipment that provide parameter 

data in an automated way e.g., continuous parameter monitoring system. Although personnel at 

the source still need to evaluate the data, this type of monitoring equipment has significantly

reduced the burden associated with monitoring and recordkeeping. 

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

Information Management

5(a) Agency Activities

EPA conducts the following activities in connection with the acquisition, analysis, 

storage, and distribution of the required information.

Agency Activities

Observe initial performance tests and repeat performance tests if necessary.

Review notifications and reports, including performance test reports, and excess emissions 

reports, required to be submitted by industry.

Audit facility records.

Input, analyze, and maintain data in the Online Tracking Information System (OTIS). 
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5(b) Collection Methodology and Management

Following notification of startup, the reviewing authority could inspect the source 

to determine whether the pollution control devices are properly installed and operated. 

Performance test reports are used by the Agency to discern a source’s initial capability to comply 

with the emission standard. Data and records maintained by the respondents are tabulated and 

published for use in compliance and enforcement programs. The semiannual reports are used 

for problem identification, as a check on source operation and maintenance, and for compliance 

determinations.

Information contained in the reports is entered into OTIS which is operated and 

maintained by EPA's Office of Compliance. OTIS is EPA’s database for the collection, 

maintenance, and retrieval of compliance data for approximately 125,000 industrial and 

government-owned facilities. EPA uses the OTIS for tracking air pollution compliance and 

enforcement by local and state regulatory agencies, EPA regional offices and EPA headquarters. 

EPA and its delegated Authorities can edit, store, retrieve and analyze the data.

The records required by this regulation must be retained by the owner/operator for two

years.

5(c) Small Entity Flexibility

There are no small entities (i.e., small businesses) affected by this regulation. However, 

it is not clear if any future facilities subject to the NSPS would be owned by small entities. Due 

to technical considerations involving the process operations and the types of control equipment 

employed, the recordkeeping and reporting requirements are the same for both small and large 

entities. The Agency considers these to be the minimum requirements needed to ensure 

compliance and, therefore, cannot reduce them further for small entities. To the extent that 

larger businesses can use economies of scale to reduce their burden, the overall burden will 

be reduced.

5(d) Collection Schedule

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

shown in below Table 1: Annual Respondent Burden and Cost – NSPS for Coal Preparation 

and Processing Plants (40 CFR Part 60, Subpart Y) (Renewal).

6. Estimating the Burden and Cost of the Collection

Table 1 documents the computation of individual burdens for the recordkeeping and 

reporting requirements applicable to the industry for the subpart included in this ICR. The 

individual burdens are expressed under standardized headings believed to be consistent with the 

concept of burden under the Paperwork Reduction Act. Wherever appropriate, specific tasks and 

major assumptions have been identified. Responses to this information collection are mandatory.
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The Agency may not conduct or sponsor, and a person is not required to respond to, a 

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

6(a) Estimating Respondent Burden

The average annual burden to industry over the next three years from these recordkeeping and reporting requirements is estimated to be 41,998 (Total Labor Hours from Table 1). 

These hours are based on Agency studies and background documents from the development of 

the regulation, Agency knowledge and experience with the NSPS program, the previously

approved ICR, and any comments received.

6(b) Estimating Respondent Costs

(i) Estimating Labor Costs

This ICR uses the following labor rates: 

Managerial $121.44 ($57.83+ 110%) 

Technical $100.23 ($47.73 + 110%)

Clerical $50.51 ($24.05 + 110%)

These rates are from the United States Department of Labor, Bureau of Labor Statistics, March 

2012, “Table 2. Civilian Workers, by occupational and industry group.” The rates are from 

column 1, “Total compensation.” The rates have been increased by 110 percent to account for 

the benefit packages available to those employed by private industry.

(ii) Estimating Capital/Startup and Operation and Maintenance Costs

The type of industry costs associated with the information collection activities in the 

subject standard are both labor costs which are addressed elsewhere in this ICR and the costs 

associated with continuous monitoring. The capital/startup costs are one-time costs when a 

facility becomes subject to the regulation. The annual operation and maintenance costs are the 

ongoing costs to maintain the monitors and other costs such as photocopying and postage.

(iii) Capital/Startup vs. Operation and Maintenance (O&M) Costs

Capital/Startup vs. Operation and Maintenance (O&M) Costs

(A)

Continuous 

Monitoring 

Device

(B)

Capital/Startup 

Cost for One 

Respondent

(C)

Number of 

New

Respondents1

(D)

Total 

Capital/Startup 

Cost, (B X C)

(E)

Annual O&M 

Costs for One 

Respondent

(F)

Number of 

Respondents 

with O&M

(G)

Total O&M,

(E X F)

Bag leak 

detection 

systems 2

$48,180 5 $240,900 NA NA NA

Method 5 $7,000 5 $35,000 NA NA NA
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Capital/Startup vs. Operation and Maintenance (O&M) Costs

test 3

Method 9 

test 3 $1,300 5 $6,500 NA NA NA

Purchase 

supplies 4 NA NA NA $2,735 24 $65,640

TOTAL $282,400 $65,640

1 EPA assumes that all new coal preparation and process plants consist of coal processing and conveying equipment, coal storage

systems, coal transfer and loading systems, and open storage piles. The estimates are based on conservative control 

implementation assumption that all affected respondents will choose to use enclosures vented to fabric filters to comply with the 

rule. In actuality many respondents are expected to choose alternative controls allowed under the rule, such as fogging systems, 

wet suppression, and passive enclosure containment system (PECS) that do not require Method 5 performance testing. 

2The capital cost associated with procurement and installation of bag leak detection systems for the fabric filters was annualized 

assuming a 7 percent interest rate and 10-year life (i.e., capital recovery factor of 0.1424). 

3 Both Method 5 and Method 9 testing are usually conducted by a contractor such that the cost of the emissions testing. 

4The annual costs associated with the purchase of monitoring, recordkeeping, and reporting supplies is estimated to be $38,290 

for 14 facilities ($38,290/14 = $2,735 per facility). These costs are assumed to only apply to facilities subject to the final rule 

amendment (i.e. facilities constructed, reconstructed, or modified after April 28, 2008). 

The total capital/startup costs for this ICR are $282,400. This is the total of column D in 

the above table. 

The total operation and maintenance (O&M) costs for this ICR are $65,640. This is the 

total of column G. 

The average annual cost for capital/startup and operation and maintenance costs 

to industry over the next three years of the ICR is estimated to be $348,040. These are 

recordkeeping costs.

6(c) Estimating Agency Burden and Cost

The only costs to the Agency are those costs associated with analysis of the reported 

information. EPA's overall compliance and enforcement program includes activities such as 

the examination of records maintained by the respondents, periodic inspection of sources of 

emissions, and the publication and distribution of collected information. 

The average annual Agency cost during the three years of the ICR is estimated to be 

$450,215. 

This cost is based on the average hourly labor rate as follows:

Managerial $62.27 (GS-13, Step 5, $38.92 + 60%) 

Technical $46.21 (GS-12, Step 1, $28.88 + 60%)

Clerical $25.01 (GS-6, Step 3, $15.63 + 60%)

These rates are from the Office of Personnel Management (OPM), 2012 General Schedule,

which excludes locality, rates of pay. The rates have been increased by 60 percent to account for 

the benefit packages available to government employees. Details upon which this estimate is 
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based appear below in Table 2: Average Annual EPA Burden and Cost – NSPS for Coal 

Preparation and Processing Plants (40 CFR Part 60, Subpart Y) (Renewal).

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

Based on our research for this ICR, on average over the next three years, approximately

1,032 existing respondents will be subject to the standard. It is estimated that an additional 5

respondents per year will become subject. The overall average number of respondents, as shown 

in the table below is 1,037 per year. 

The number of respondents is calculated using the following table that addresses the three 

years covered by this ICR. 

Number of Respondents

Year (A)

Number of New 

Respondents 1

(B)

Number of 

Existing 

Respondents

(C)

Number of Existing 

Respondents that keep 

records but do not 

submit reports

(D)

Number of 

Existing 

Respondents That 

Are Also New

Respondents

(E)

Number of 

Respondents

(E=A+B+C-D)

1 5 1,027 0 0 1,032

2 5 1,032 0 0 1,037

3 5 1,037 0 0 1,042

Average 5 1,032 0 0 1,037

1

New respondent include sources with constructed, reconstructed and modified affected facilities. This ICR assumes an industry 

growth rate of 14 new sources over a three-year period, or 4.7 (rounded to 5) sources per year.

Column D is subtracted to avoid double-counting respondents. As shown above, the 

average Number of Respondents over the three year period of this ICR is 1,037. 

The total number of annual responses per year is calculated using the following table: 

Total Annual Responses

(A)

Information Collection Activity

(B)

Number of 

Respondents1

(C)

Number 

of 

Responses

(D)

Number of Existing 

Respondents That 

Keep Records But Do 

Not Submit Reports

(E)

Total 

Annual 

Responses

E=(BxC)+D

Notification of construction/reconstruction 

commencement 5 1 0 5

Notification of actual startup 5 1 0 5

Notification of initial performance tests except 

coal dump trucks 5 8 0 40

Notification of initial performance test for coal 

truck dumps 0.7 1 0 0.7

Notification of repeat performance test except 

coal truck dumps 5 0.5 0 2.5

Notification of repeat performance test for coal 

truck dumps 0.7 3 0 2.1
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Total Annual Responses

Notification of physical or operational change 5 1 0 5

Performance test reports except coal truck dumps 5 8.5 0 42.5

Performance test reports for coal truck dumps 0.7 4 0 2.8

Semiannual Excess Emissions Report 1,037 2 0 2,074

Total 2,179.6

 1 This ICR assumes an industry growth rate of 5 new sources per year. Additionally, the ICR assumes that two of the new

 sources over a three-year period (2 sources/3 = 0.7 source/year) will have the type of coal truck dump affected facilities

 subject to the 2009 rule amendment. 

The number of Total Annual Responses is 2,180 (rounded).

The total annual labor costs are $4,066,701. Details regarding these estimates may be 

found below in Table 1: Annual Respondent Burden and Cost – NSPS for Coal Preparation and 

Processing Plants (40 CFR Part 60, Subpart Y) (Renewal).

6(e) Bottom Line Burden Hours and Cost Tables

The detailed bottom line burden hours and cost calculations for the respondents and 

the Agency are shown in Tables 1 and 2, respectively, and summarized below. 

(i) Respondent Tally

The total annual labor hours are 41,998 at a cost of $4,066,701. Details regarding these 

estimates may be found below in Table 1: Annual Respondent Burden and Cost – NSPS for Coal 

Preparation and Processing Plants (40 CFR Part 60, Subpart Y) (Renewal). 

Furthermore, the annual public reporting and recordkeeping burden for this collection of 

information is estimated to average 19 hours per response.

The total annual capital/startup and O&M costs to the regulated entity are $348,040. 

The cost calculations are detailed in Section 6(b)(iii), Capital/Startup vs. Operation and 

Maintenance (O&M) Costs.

(ii) The Agency Tally

The average annual Agency burden and cost over next three years is estimated to be 

9,991 labor hours at a cost of $450,215. See below Table 2: Average Annual EPA Burden and 

Cost – NSPS for Coal Preparation and Processing Plants (40 CFR Part 60, Subpart Y) 

(Renewal).

6(f) Reasons for Change in Burden

There is an adjustment increase in the total estimated burden as currently identified in 

the OMB Inventory of Approved Burdens. This increase is not due to any program changes. 

The change in the burden and cost estimates occurred because the most recent ICR reflects 
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burdens associated with the final rule amendment, which only applies to sources constructed, 

reconstructed, or modified on or after April 28, 2008 (i.e. new sources). This ICR estimates the 

burdens for both existing sources subject to the standard and new sources covered under the rule 

amendment. Additionally, this ICR uses updated labor rates to calculate all burden costs. This 

results in an increase in labor hours and costs for both the respondents and the Agency. 

There is an adjustment decrease in capital/startup costs in this ICR as compared to the 

previous ICR. The decrease occurred because the previous ICR assumes all new sources were 

constructed during Year 1 of the three-year period, and that all capital/startup costs for new 

sources were incurred that year. This ICR assumes a constant growth rate in the respondent 

universe over the three-year period and calculates the average capital/startup costs per year. 

Additionally, there is an increase in the total O&M costs. The increase is due to a

growth in the respondent universe subject to on-going O&M costs since the last ICR. 

6(g) Burden Statement

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

is estimated to average 19 hours per response. Burden means the total time, effort, or financial 

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

to or for a Federal agency. This includes the time needed to review instructions; develop, 

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

verifying information, processing and maintaining information, and disclosing and providing 

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

requirements; train personnel to be able to respond to a collection of information; search data 

sources; complete and review the collection of information; and transmit or otherwise disclose 

the information.

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

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

Numbers for EPA regulations are listed at 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, EPA has established a public docket for this ICR under 

Docket ID Number EPA-HQ-OECA-2012-0498. An electronic version of the public docket is 

available at http://www.regulations.gov/ which may be used 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 to access those documents in the public docket that are available 

electronically. When in the system, select “search,” then key in the docket ID number identified 

in this document. The documents are also available for public viewing at the Enforcement and 

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

Room 3334, 1301 Constitution Ave., NW, Washington, DC. 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 
14

number for the docket center is (202) 566-1752. Also, you can send comments to the Office of 

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

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

Number EPA-HQ-OECA-2012-0498 and OMB Control Number 2060-0122 in any

correspondence.

Part B of the Supporting Statement

This part is not applicable because no statistical methods were used in collecting this 

information.
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Table 1: Annual Respondent Burden and Cost – NSPS for Coal Preparation and Processing Plants (40 CFR Part 60, Subpart

Y) (Renewal)

Burden Item

(A)

Hours per 

Occurrence

(B)

Occurrence 

per 

Respondent 

per Year

(C)

Hours per 

Respondent 

per Year

(A x B)

(D)

Respondents 

per Year a

(E)

Technical 

Hours per 

Year

(C x D)

(F)

Managerial 

Hours per 

Year

(E x 0.05)

(G)

Clerical 

Hours 

per Year

(E x 0.1)

(H)

Cost per 

Year b

1. Applications N/A

2. Survey and studies N/A

3. Report Requirements

A. Read Instructions 2 1 2 5 10 0.5 1 $1,113.53

B. Required Activities

a. Initial Performance Tests

Supervise Method 5 stack test performed by 

contractor service 8 1 8 5 40 2 4 $4,454.12

Supervise Method 9 opacity test performed by 

contractor service (except coal truck dumps) 2 1 2 5 10 0.5 1 $1,113.53

Supervise quarterly Method 9 opacity test 

performed by contractor service c4 1 4 0.7 2.8 0.14 0.28 $311.79

b. Repeat Performance Tests

Supervise Method 5 stack test performed by 

contractor service 8 0 0 5 0 0 0 $0

Supervise Method 9 opacity test performed by 

contractor service (except coal truck dumps) 2 0.5 1 5 5 0.25 0.5 $556.77

Supervise quarterly Method 9 opacity test

performed by contractor service c4 3 12 0.7 8.4 0.42 0.84 $935.37

c. Compliance Monitoring and Inspection

Daily plant walkthrough visual observation of

affected facilities for visible emissions 1 350 350 12 4,200 210 420 $467,682.60

 Monthly visual inspection of control equipment

 used for affected facilities subject to opacity

 standards 1 36 36 12 432 21.6 43.2 $48,104.50

Coal handling affected facilities using fabric filter -

inspect bag leak detectors (BLD) d0.25 175 43.75 24 1,050 52.5 105 $116,920.65
16

Burden Item

(A)

Hours per 

Occurrence

(B)

Occurrence 

per 

Respondent 

per Year

(C)

Hours per 

Respondent 

per Year

(A x B)

(D)

Respondents 

per Year a

(E)

Technical 

Hours per 

Year

(C x D)

(F)

Managerial 

Hours per 

Year

(E x 0.05)

(G)

Clerical 

Hours 

per Year

(E x 0.1)

(H)

Cost per 

Year b

d. Site-specific Emission Control Plans

Prepare "Fugitive Emission Control Plan" 40 1 40 5 200 10 20 $22,270.60

Prepare "BLD Monitoring Plan" 40 1 40 5 200 10 20 $22,270.60

e. Site-specific Emission Controls Operation Logbook

Prepare logbook 8 1 8 5 40 2 4 $4,454.12

Record required emission control equipment

Operating and maintenance data 0.5 350 175 5 875 43.75 87.5 $97,433.88

C. Create Information See 3B

D. Gather Existing Information See 3E

E. Write Report

a. Notifications

Notification of construction/reconstruction 

commencement 2 1 2 5 10 0.5 1 $1,113.53

Notification of actual startup 2 1 2 5 10 0.5 1 $1,113.53

Notification of initial performance tests except coal 

dump trucks 2 8 16 5 80 4 8 $8,908.24

Notification of initial performance test for coal

truck dumps c

2 1 2 0.7 1.4 0.07 0.14 $155.89

Notification of repeat performance test except coal

truck dumps 1 0.5 0.5 5 2.5 0.13 0.25 $278.38

Notification of repeat performance test for coal

truck dumps c

1 3 3 0.7 2.1 0.11 0.21 $233.84

Notification of physical or operational change 2 1 2 5 10 0.5 1 $1,113.53

b. Reports

 Performance test reports except coal truck dumps

 (review and transmit report prepared by test

 contractor) 4 8.5 34 5 170 8.5 17 $18,930.01

Performance test reports for coal truck dumps

(review and transmit report prepared by test

contractor) c2 4 8 0.7 5.6 0.28 0.56 $623.58

Semiannual excess emissions report e8 2 16 1,037 16,592 829.6 1,659.2 $1,847,568.98
17

Burden Item

(A)

Hours per 

Occurrence

(B)

Occurrence 

per 

Respondent 

per Year

(C)

Hours per 

Respondent 

per Year

(A x B)

(D)

Respondents 

per Year a

(E)

Technical 

Hours per 

Year

(C x D)

(F)

Managerial 

Hours per 

Year

(E x 0.05)

(G)

Clerical 

Hours 

per Year

(E x 0.1)

(H)

Cost per 

Year b

Subtotal for Reporting Requirements 27,550 $2,667,661.55

4. RECORDKEEPING REQUIREMENTS

A. Read Instructions See 3A

B. Plan Activities See 3B

C. Implement Activities See 3B

D. Record Data See 3B

E. Time to Transmit or Disclose Information

Electronically transmit data f1 12 12 1,037 12,444 622 1,244 $1,385,676.73

F. Time to Train Personnel

Plant personnel walkthrough observation procedure g8 3 24 5 120 6 12 $13,362.36

G. Time for Audits N/A

Subtotal for Recordkeeping Requirements 14,448 $1,399,039.09

Total Annual Labor Burden and Costs (rounded) 41,998 $4,066,701

Assumptions:

a We have assumed that the average number of sources that will be subject to the standard will be 1,037. There will be five additional new source per year that will become subject 

to the rule over the three-year period of this ICR

 b This ICR uses the following labor rates: $121.44 per hour for Executive, Administrative, and Managerial labor; $100.23 per hour for Technical labor, and $50.51

per hour for Clerical labor. These rates are from the United States Department of Labor, Bureau of Labor Statistics, March 2012 ”Table 2. Civilian Workers, by occupational and 

industry group.” The rates are from column 1,”Total compensation.” The rates have been increased by 110 percent to account for the benefit packages available to those employed 

by private industry.

c

 This ICR assumes that 2 of the 14 new sources over a 3-year period (2 sources/3 = 0.7 source/year) will have the type of coal truck dump affected facilities 

subject to the 2009 rule amendment. 

d These requirements only apply to sources subject to the 2009 final rule amendment, i.e. sources constructed, reconstructed, or modified after April 28, 2008. 

EPA assumes that on average over the period covered under this ICR, there are 24 sources subject to the final rule amendment. EPA also assumes that 50 percent 

of sources elect to perform daily walkthrough visual emission observations for compliance monitoring, and 50 percent of sources elect to perform repeat Method 9 

opacity testing for compliance monitoring. 

e

 All new and existing sources are subject to semiannual reporting.

f

 We have assumed that each respondent will take one hour once per month to transmit electronic data.

g

 We have assumed that each new respondent will take eight hours three time per year to observe procedures.
18

Table 2: Average Annual EPA Burden and Cost – NSPS for Coal Preparation and Processing Plants (40 CFR Part 60, Subpart

Y) (Renewal)

Burden Item

(A)

EPA Hours 

per 

Occurrence

(B)

Occurrence 

per Plant 

per Year

(C)

EPA 

Hours per 

Plant per 

Year

(A x B)

(D)

Plants per 

Year a

(E)

Technical 

Hours per 

Year

(C x D)

(F)

Managerial 

Hours per 

Year

(E x 0.05)

(G)

Clerical 

Hours per 

Year

(E x 0.1)

(H)

Cost per 

Year b

Notification Review

Construction/reconstruction commencement 

Notifications 1 1 1 5 5 0.25 0.5 $259.12

Actual startup notifications 1 1 1 5 5 0.25 0.5 $259.12

Performance test notifications 1 9 9 5 45 2.25 4.5 $2,295.97

Physical or Operational Change 1 1 1 5 5 0.25 0.5 $259.12

Site-Specific Emission Control Plan Review

Review site-specific "Fugitive Emission Control Plan" 8 1 8 5 40 2 4 $2,072.98

Review site-specific "Bag Leak Detection Monitoring 

Plan" 8 1 8 5 40 2 4 $2,072.98

Compliance Demonstration Reports Review

Review performance test reports 4 9 36 5 180 9 18 $9,328.41

Review semi-annual excess emissions reports c4 2 8 1,037 8,296 414.8 829.6 $429,936.05

Coal Preparation Plant Site Visits

Observe Method 5 Performance Test 24 1 24 1 24 1.2 2.4 $1,243.79

Observe Method 9 Performance Test 24 1 24 2 48 2.4 4.8 $2,487.58

Total Annual Labor Burden and Costs (rounded) 9,991 $450,215

Assumptions: 

a We have assumed that the average number of sources that will be subject to the standard will be 1,037. There will be five additional new source per year that will become subject 

to the rule over the three-year period of this ICR.

b

 This ICR uses the following labor rates: Managerial $62.27 (GS-13, Step 5, $38.92 + 60%); Technical $46.21 (GS-12, Step 1, $28.88 + 60%); and Clerical 

$25.01 (GS-6, Step 3, $15.63 + 60%). These rates are from the Office of Personnel Management (OPM), 2012 General Schedule, which excludes locality, rates of 

pay. The rates have been increased by 60 percent to account for the benefit packages available to government employees.

c

 We have assumed that all sources are subject to semiannual excess emissions reporting.