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SUPPORTING STATEMENT

ENVIRONMENTAL PROTECTION AGENCY

NSPS for Greenhouse Gas Emissions for New Electric Utility Generating Units

(40 CFR part 60, subpart TTTT) 

Part A of the Supporting Statement

1. Identification of the Information Collection

(a) Title and Number of the Information Collection

“New Source Performance Standards (NSPS) for Greenhouse Gas Emissions for New 

Electric Utility Generating Units (40 CFR part 60, subpart TTTT).” The EPA ICR tracking 

number is 2465.01; the OMB Control Number is 2060-NEW.

(b) Short Characterization

Pursuant to CAA section 111, the United States (U.S.) Environmental Protection Agency

(EPA) is proposing new source performance standards (NSPS) for emissions of CO2 for new 

affected fossil fuel-fired EGUs. For purposes of this rule, fossil fuel-fired EGUs include fossil 

fuel-fired boilers, IGCC units and stationary combined cycle turbine units that generate 

electricity for sale and are larger than 25 megawatts (MW). The EPA is proposing these 

requirements because CO2 is a greenhouse gas (GHG) and fossil fuel-fired power plants are the 

country’s largest stationary source emitters of GHGs. The EPA in 2009 found that by causing or 

contributing to climate change, GHGs endanger both the public health and the public welfare of

current and future generations.

The proposed standards would establish standards of performance for carbon dioxide 

(CO2) emissions from electric utility generating units (EGUs) currently in the 40 CFR part 60, 

Da and KKKK source categories under a new subpart TTTT. Subpart Da currently regulates 

utility boilers, and subpart KKKK currently regulates stationary combined cycle units (stationary

turbine combustion systems where heat from the turbine exhaust gases is recovered by a heat 

recovery steam generating unit) and integrated gasification combined cycle (IGCC) units.

The proposed requirements for new sources would require new fossil fuel-fired EGUs 

greater than 25 megawatt electric (MWe) to meet an output-based standard of 1,000 pounds of 

CO2 per megawatt-hour (lb CO2/MWh), based on the performance of widely used natural gas 

combined cycle (NGCC) technology. Reflecting the economics of the energy sector, NGCC is 

likely to be the predominant choice for new fossil fuel-fired generation even absent this rule. 

New coal-fired units could meet the standard either by employing carbon capture and storage 

(CCS)1of approximately 50% of the CO2 in the exhaust gas at startup, or through later 

application of more effective CCS to meet the standard on average over a 30-year period. The 

30-year averaging option could also provide flexibility for owners and operators of coal units 

implementing CCS at the outset of the unit’s operation that were designed and operated to emit 

 

1 Carbon capture and storage or CCS means the use of a technology for separating and capturing 

CO2 from the flue gas or syngas stream with subsequent compression and transportation to a 

suitable location for long term storage and monitoring.
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at less than 1,000 lb CO2/MWh to address startup concerns or short term interruptions in their 

ability to sequester captured CO2.

The EPA is not proposing standards of performance for existing EGUs whose CO2

emissions increase as a result of installation of pollution controls for conventional pollutants

(modified EGUs), for reconstructed EGUs, or for proposed EGUs, which are referred to here as 

transitional sources, that have acquired a complete preconstruction permit by the time of this 

proposal and that commence construction within 12 months of this proposal. As a result, those 

sources would not be subject to the standards of performance proposed in this rule. At a future 

date, the EPA intends to promulgate emission guidelines for states to develop plans reducing 

CO2 emissions from existing fossil fuel-fired EGUs.

In general, all CAA section 111 standards require notifications, reports, and records that 

are essential in determining compliance, and are required of all sources subject to the standards.

This proposed action would impose minimal new information collection burden on affected 

sources beyond what those sources would already be subject to under the authorities of CAA 

parts 75 and 98. OMB has previously approved the information collection requirements 

contained in the existing part 75 and 98 regulations (40 CFR part 75 and 40 CFR part 98) under 

the provisions of the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. and has assigned OMB 

control numbers 2060-0626 and 2060-0629, respectively. Apart from certain reporting costs 

based on requirements in the NSPS General Provisions (40 CFR part 60, subpart A), which are 

mandatory for all owners/operators subject to CAA section 111 national emission standards, 

there are no new information collection costs, as the information required by this proposed rule is 

already collected and reported by other regulatory programs.

Potential respondents are owners and operators of new fossil fuel-fired EGUs greater than 

25 MWe. The proposed rule would regulate emissions of CO2 and would require that CO2 mass 

rate CEMS and the associated automatic data acquisition and handling system be installed and 

operated. The initial performance test would consist of collection of hourly CO2 average 

concentration, mass flow rate recorded with the certified CO2 concentration and flow rate CEMS 

and the corresponding electrical power generation data for all of the hours of operation for the 

first calendar year beginning on the first day of the first month following completion of the 

CEMS installation and certification. Compliance with the applicable average CO2 mass 

emissions rate (lb/MWh) would be calculated as a 12-month rolling average, updated monthly, 

using the reported hourly CO2 average concentration and flow rate values from the certified 

CEMS data collected for the previous month’s process operating days along with generation data 

tracked by the facility for the unit. In this rulemaking, the EPA proposes that the owner or 

operator of a new unit would be required to comply with the notification and recordkeeping 

requirements in the section 111 regulatory general provisions, 40 CFR part 60, subpart A, and 

would need to report results of performance testing and excess emissions; as well as record and 

maintain hourly average CO2 emissions concentration, hourly average flow rate, and hourly

useful electrical generation. As part of an Agency-wide effort to facilitate reporting of 

environmental data and reports, the proposal would require that owners and operators subject to 

this regulation must electronically submit excess emissions, continuous monitoring systems 

performance and-or summary reports. 

Any owner or operator subject to the provisions of this proposed subpart would be 

required to keep each record for 5 years except those records required to demonstrate compliance 
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with the emissions limits in section 60.5520(b) of the proposed standards. Each record must be 

kept on site for at least 2 years and may be kept off site for the remaining years. The EPA 

proposes that records of the reports that have been submitted to EPA’s WebFIRE 

database (excess emissions, continuous monitoring systems performance and-or summary

reports) would not need to be maintained. 

The EPA believes that electric power companies will choose to build new EGUs that 

comply with the regulatory requirements of this proposal because of existing and expected 

market conditions. The EPA does not project any new coal-fired EGUs that commence 

construction after this proposal to commence operation over the 3-year period covered by this 

ICR. We estimate that 17 new affected NGCC units would commence operation during that time 

period. As a result of this proposal, those units would be required to prepare a summary report, 

which includes reporting of excess emissions and downtime, every 6 months.

2. Need for and Use of the Collection

(a) Need/Authority for the Collection

The EPA is charged under section 111 of the CAA to establish standards of performance 

for new stationary sources that reflect:

. . . application of the best system of emission reduction which 

(taking into account the cost of achieving such reduction and any 

non-air quality health and environmental impact and energy

requirements) the Administrator determines has been adequately 

demonstrated. Section 111(a)(l).

The EPA 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 eight 

years.

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

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.

As previously stated, the EPA in 2009 found that by causing or contributing to climate 

change, GHGs endanger both the public health and the public welfare of current and future 

generations. Fossil fuel-fired power plants are the country’s largest stationary source 
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emitters of GHGs. Therefore, NSPS for emissions of CO2 are being proposed for this category

of sources at 40 CFR part 60, subpart TTTT.

Certain records and reports are necessary for the Administrator to: 1) identify new

EGUs subject to the standards, 2) ensure that the NSPS is being properly applied; 3) 

identify those facilities that should be inspected; 4) identify those facilities that may 

benefit from compliance assistance activities; and 5) ensure that process and 

emissions control/monitoring equipment are being properly operated and maintained 

on a continuous basis.

(b) Use/Users of the Data

The required information would be used by agency enforcement personnel to ensure that 

the emission limitations are being achieved. Based on review of the recorded information at the 

site and the reported information, the EPA can identify facilities that may not be in compliance 

and decide which plants, records, or processes should be inspected.

3. Nonduplication, Consultations, and Other Collection Criteria

(a) Nonduplication

As previously stated, this proposed action would impose minimal new information 

collection burden on affected sources beyond what those sources would already be subject to 

under the authorities of CAA parts 75 and 98. Apart from certain reporting requirements which 

are mandatory for all owners/operators subject to CAA section 111 national emission standards, 

there are no new information collection costs, as the information required by this proposed rule is 

already collected and reported by other regulatory programs. The proposed rule would require 

that affected owners or operators follow the applicable reporting requirements and submit reports 

as required by the other regulatory programs. The additional reporting requirements proposed 

(the excess emissions and continuous monitoring systems performance reports and-or summary

reports) are not currently required from owners or operators of EGUs that would be regulated 

under proposed 40 CFR part 60, subpart TTTT. Therefore, no duplication exists. 

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

EPA will provide public notice by means of a Federal Register Notice of Proposed 

Rulemaking. 

(c) Consultations

The EPA has been engaged in extensive interactions with many different stakeholders on 

the subjects of climate change, source contributions, and potential emission reduction 

opportunities. These stakeholders have included industries, environmental organizations, and 

many regional, State, and local air quality management agencies that have been actively engaged 

in efforts to address GHG emissions over a period of several years. In addition to these 

conversations, as part of developing this proposed rule, the EPA held four listening sessions in 

February and March 2011 to obtain additional information and input from key stakeholders and 

the public. Each of the sessions had a particular target audience: the electric power industry, 

environmental and environmental justice organizations, States and Tribes, and coalition groups. 

Each session lasted two hours and featured a facilitated round table discussion among 
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stakeholder representatives who were identified and selected for their expertise in the CAA 

standard-setting process. The EPA accepted comments from the public at the end of each session 

and via the electronic docket system. Comments submitted via the electronic docket system are 

available at www.regulations.gov (docket number EPA-HQ-OAR-2011-0090).

The EPA’s consultation activities with governmental entities and tribal leaders as 

described below regarded planned actions for new and existing sources, but only new sources 

would be affected by this proposed action.

In light of the interest in this proposed rule among governmental entities, the EPA 

initiated consultations with governmental entities. The EPA invited the following 10 national 

organizations representing state and local elected officials to a meeting held on April 12, 2011, in 

Washington DC: 1) National Governors Association; 2) National Conference of State 

Legislatures, 3) Council of State Governments, 4) National League of Cities, 5) U.S. Conference 

of Mayors, 6) National Association of Counties, 7) International City/County Management 

Association, 8) National Association of Towns and Townships, 9) County Executives of 

America, and 10) Environmental Council of States. These 10 organizations representing elected 

state and local officials have been identified by the EPA as the “Big 10” organizations 

appropriate to contact for purpose of consultation with elected officials. The purposes of the 

consultation were to provide general background on the proposal, answer questions, and solicit 

input from state/local governments.

Because the EPA is aware of Tribal interest in this proposed rule, the EPA offered 

consultation with tribal officials early in the process of developing this proposed regulation to 

permit them to have meaningful and timely input into its development. Consultation letters were 

sent to 584 tribal leaders. The letters provided information regarding the EPA’s development of 

NSPS and emission guidelines for EGUs and offered consultation. A consultation/outreach 

meeting was held on May 23, 2011, with the Forest County Potawatomi Community, the Fond 

du Lac Band of Lake Superior Chippewa Reservation, and the Leech Lake Band of Ojibwe. 

Other tribes participated in the call for information gathering purposes. In this meeting, the EPA 

provided background information on the GHG emission standards to be developed and a 

summary of issues being explored by the Agency. In addition, tribes participated in the listening

session on February 17, 2011 with the state agencies, as well as in a separate session with tribes 

on April 20, 2011.

The EPA will also hold additional meetings with tribal environmental staff to inform 

them of the content of this proposal as well as provide additional consultation with tribal elected 

officials where it is appropriate.

(d) Effects of Less Frequent Collection

If the relevant information were collected less frequently, the EPA would not be 

reasonably assured that a plant is in compliance with the standards.

(e) General Guidelines

None of the guidelines in 5 CFR 1320.5 are being exceeded.
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(f) Confidentiality

All information submitted to the agency for which a claim of confidentiality is made will 

be safeguarded according to the agency policies set forth in Title 40, Chapter 1, part 2, subpart 

B–Confidentiality of Business Information (see 40 CFR 2; 41 FR 36902, September 01, 1976; 

amended by 43 FR 39999, September 28, 1978; 43 FR 42251, September 28, 1978; 44 FR 

17674, March 23, 1979).

(g) Sensitive Questions

This section is not applicable because this ICR does not involve matters of a sensitive 

nature.

4. The Respondents and the Information Requested

(a) Respondents/NAICS Codes

Respondents are owners or operators of new fossil fuel-fired EGUs. It is estimated that 

17 new EGUs would commence operation during the 3-year period of this ICR. All respondents 

would be subject to the monitoring, recordkeeping, and reporting requirements. The applicable 

NAICS codes are 221112, Fossil fuel electric power generating units (covers owners/operators of 

industry or federal, state or local government establishments), and 921150, Fossil fuel electric 

power generating units in Indian Country.

(b) Information Requested

(i) Data Items, Including Recordkeeping Requirements. 

Apart from certain reporting costs based on requirements in the NSPS General Provisions 

(40 CFR part 60, subpart A), which are mandatory for all owners/operators subject to CAA 

section 111 national emission standards, there are no new information collection costs, as the 

information required by this proposed rule is already collected and reported by other regulatory

programs (CAA parts 75 and 98). The EPA does not project any new coal-fired EGUs that 

commence construction after this proposal to commence operation over the 3-year period 

covered by this ICR. We estimate that 17 new affected NGCC units would commence operation 

during that time period. As a result of this proposal, those units would be required to prepare a 

summary report, which includes reporting of excess emissions and downtime, every 6 months.

The EPA is including in this ICR, an estimate of the burden associated with performing 

an affirmative defense. The EPA is providing this as an illustrative example of the potential 

additional administrative burden a source may incur to assert in an Affirmative Defense in 

response to an action to enforce the standards set forth in the applicable subpart. 

This illustrative estimate is not considered a duplicate estimate of cost under the General 

Duty to Minimize Emissions clause under 63.6(e)(1)(i), which states: “At all times, the owner 

and operator must operate and maintain any affected source, including associated air pollution 

control equipment and monitoring equipment, in a manner consistent with safety and good air 

pollution control practices for minimizing emissions. Determining whether such operation and 

maintenance procedures are being used will be based on information available to the 

Administrator which may include, but is not limited to, monitoring results, review of operation 
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and maintenance procedures, review of operation and maintenance records, and inspection of the 

source.” 

To provide the public with an estimate of the relative magnitude of the burden associated 

with an assertion of the affirmative defense position adopted by a source, the EPA provides an 

administrative adjustment to this ICR that estimates the costs of the notification, recordkeeping 

and reporting requirements associated with the assertion of the affirmative defense. The EPA’s 

estimate for the required notification, reports and records, including the root cause analysis, 

associated with a single incident totals approximately $3,141 and is based on the time and effort 

required of a source to review relevant data, interview plant employees, and document the events 

surrounding a malfunction that has caused an exceedance of an emission limit. The estimate also 

includes time to produce and retain the records and reports for submission to the EPA. The EPA 

provides this illustrative estimate of this burden because these costs are only incurred if there has 

been a violation and a source chooses to take advantage of the affirmative defense. 

Of the number of excess emission events reported by source operators, only a small 

number would be expected to result from a malfunction, and only a subset of excess emissions 

caused by malfunctions would result in the source choosing to assert the affirmative defense. 

Thus we believe the number of instances in which source operators might be expected to avail 

themselves of the affirmative defense will be extremely small. In fact, we estimate that there 

would be no such occurrences for new EGUs subject to this proposed rule over the 3-year period 

covered by this ICR. We expect to gather information on such events in the future and will revise 

this estimate as better information becomes available.

(ii) Respondent Activities.

The respondent activities that would be required by the proposed NSPS are introduced in 

section 6(a).

While multiple coal-fired EGUs have recently commenced operation and several are 

presently under construction, no new coal-fired power plants have commenced construction in 

either 2009 or 2010. In addition, forecasts of new generation capacity from both the Energy

Information Administration and the Edison Electric Institute do not project any new coal-fired 

power plants will be constructed in the short term. Thus, the EPA does not project any new coalfired EGUs that commence construction after this proposal to commence operation over the 3-

year period covered by this ICR. Because of fuel supply availability and cost considerations, we 

also do not project that any new oil-fired electric utility steam generating units will be built 

during the 3-year ICR period. We estimate that 17 new affected NGCC units would commence 

operation during that time period.

(iii) Electronic Reporting. 

The proposal would require that owners and operators subject to this regulation must 

electronically submit excess emissions, continuous monitoring systems performance and-or 

summary reports. Owners and operators would need to submit these reports to the EPA’s 

WebFIRE by using the Compliance and Emissions Data Reporting Interface (CEDRI) that is 

accessed in the Central Data Exchange (CDX). The CDX is the EPA’s portal for submitting and 

managing electronic environmental data and reports and is accessed at www.epa.gov/cdx. The 

CDX is needed to meet the EPA standards for electronic reporting set by the Cross-Media 

Electronic Reporting Rule. For more information, please see http://www.epa.gov/cromerr/.
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5. The Information Collected: Agency Activities, Collection Methodology, and 

Information Management

(a) Agency Activities

There would be no EPA burden associated with the reporting requirements of the 

proposed standards. As a result of this proposal, the 17 new affected NGCC units that we 

estimate will commence operation during the 3-year period of the ICR would be required to 

electronically submit a summary report, which includes reporting of excess emissions and 

downtime, every 6 months. The fees for upkeep of this electronic database are already funded 

through other rules. Thus, there would be no burden to the agency associated with these 

reporting requirements.

(b) Collection Methodology and Management

Following notification of startup, the reviewing authority might inspect the source to 

determine whether the CO2 CEMS and the associated automatic data acquisition and handling 

system 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 used 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.

The information obtained is then entered into the AIRS Facility Subsystem (AFS) which 

is operated and maintained by the EPA’s Office of Compliance. AFS is the EPA’s database for 

the collection, maintenance, and retrieval of compliance and annual emission inventory data for 

over 125,000 industrial and government owned facilities. The EPA uses the AFS for tracking air 

pollution compliance and enforcement by local and state regulatory agencies, EPA regional 

offices and EPA headquarters. The EPA and its delegated Authorities can edit, store, retrieve, 

and analyze the data.

Any owner or operator subject to the provisions of this proposed subpart would be 

required to keep each record for 5 years following the date of each occurrence, measurement, 

maintenance, corrective action, report, or record except those records required to demonstrate 

compliance with the emissions limits in section 60.5520(b) of the proposed standards. Records 

required to demonstrate compliance with the emissions limits in section 60.5520(b) must be kept 

for at least 40 years following the date of initial startup of the affected EGU. Each record must 

be kept on site for at least 2 years after the date of each occurrence, measurement, maintenance, 

corrective action, report, or record. The records may be kept off site for the remaining years. 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. EPA regional office. The EPA 

proposes that records of the reports that have been submitted to EPA’s WebFIRE 

database as required in proposed section 60.5555(a)(1) (excess emissions, continuous 

monitoring systems performance and-or summary reports) would not need to be maintained.

(c) Small Entity Flexibility

The EPA is aware that there is substantial interest in this rule among small entities 

(municipal and rural electric cooperatives). In light of this interest, the EPA determined to seek 

early input from representatives of small entities while formulating the provisions of this 
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proposed regulation. This process has enabled the EPA to hear directly from these 

representatives, at a very preliminary stage, about how it should approach the complex question 

of how to apply section 111 of the CAA to the regulation of GHGs from these sources. The 

EPA’s outreach regarded planned actions for new and existing sources, but only new sources 

would be affected by this proposed action.

The EPA conducted an initial outreach meeting with small entity representatives on April 

6, 2011. The purpose of the meeting was to provide an overview of recent EPA proposals 

impacting the power sector. Specifically, overviews of the Transport Rule, the Mercury and Air 

Toxics Standards, and the Clean Water Act 316(b) Rule proposals were presented.

The EPA conducted outreach with representatives from 20 various small entities that 

potentially would be affected by this rule. The representatives included small entity

municipalities, cooperatives, and private investors. We distributed outreach materials to the small 

entity representatives; these materials included background, an overview of affected sources and 

GHG emissions from the power sector, an overview of CAA section 111, an assessment of CO2

emissions control technologies, potential impacts on small entities, and a summary of the 

listening sessions. We met with eight of the small entity representatives, as well as three 

participants from organizations representing power producers, on June 17, 2011, to discuss the 

outreach materials, potential requirements of the rule, and regulatory areas where the EPA has 

discretion and could potentially provide flexibility.

A second outreach meeting was conducted on July 13, 2011. We met with nine of the 

small entity representatives, as well as three participants from organizations representing power 

producers. During the second outreach meeting, various small entity representatives and 

participants from organizations representing power producers presented information regarding 

issues of concern with respect to development of standards for GHG emissions. Several small 

entity representatives provided written comments in response to discussions at the meetings and 

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

(d) Collection Schedule

Each information collection activity within this request (Summary Report including 

excess emissions and downtime reporting) occurs on a semi-annual basis.

6. Estimating the Burden and Cost of the Collection

Exhibit 1a, Exhibit 1b, and Exhibit 1c document the computation of individual burdens 

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

each of the first 3 years. Table 1 contains a summary of the respondent burden hours and costs 

detailed in Exhibit 1a, Exhibit 1b, and Exhibit 1c.

Table 1. Summary of Respondent Burden

Year Total Annual Labor Burden (hours) Total Annual Labor Costs ($)

1 264 10,380

2 363 14,272

3 561 22,057
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Total 1188 46,709

3-Year Average 396 15,570

The individual burdens are expressed under standardized headings believed to be 

consistent with the concept of burden under the Paperwork Reduction Act. Where appropriate, 

specific tasks and major assumptions have been identified; responses to this information 

collection are mandatory.

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

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

(a) Estimating Respondent Burden

The average annual burden to industry over the 3-year period of this ICR from these 

reporting requirements is estimated to be 396 hours per year (detailed in Exhibit 1a, Exhibit 1b, 

and Exhibit 1c). These hours are based on agency studies and background documents from the 

development of the regulation, agency knowledge, and experience with the NSPS program.

(b) Estimating Respondent Costs

Respondent costs are typically divided into three categories. These categories include 

labor costs, operations and maintenance costs, and annualized capital costs. Labor costs are the 

only respondent costs associated with this ICR. 

(i) Estimating Labor Costs

The average annual labor costs to industry over the 3-year period of this ICR from these 

reporting requirements is estimated to be $15,570 per year (detailed in Exhibit 1a, Exhibit 1b, 

and Exhibit 1c). Labor rates and associated costs are based on Bureau of Labor Statistics (BLS) 

data. Technical, management, and clerical average hourly rates for private industry workers were 

based on the Bureau of Labor Statistics, Occupational Employment Statistics, 2010 National 

Industry-Specific Occupational Employment and Wage Estimates. The approximate labor rates 

are $39.37 per hour for technical, $61.75 per hour for managerial, and $22.15 per hour for 

clerical. 

(ii) Estimating Annualized Capital Costs

There are no annualized capital costs associated with this ICR.

(iii) Estimating Operations and Maintenance (O&M) Costs

There are no annual operation and maintenance costs associated with this ICR.

(iv) Affirmative Defense/Root Cause Analysis/Malfunction Costs. 

The EPA’s estimate for an affirmative defense and root cause analysis in Table 2 is based 

on general experience to calculate the time and effort required of a source to review relevant 

data, interview plant employees, and reconstruct the events prior to a malfunction in order to 

determine primary and contributing causes. The level of effort also includes time to produce and 

retain the report in document form so that the source will have it available should EPA or state 

enforcement agencies ever request to review it. For this ICR, the EPA is estimating that there 

will no instances of affirmative defense over the 3-year ICR period.
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The labor rates used for these costs are from the United States Department of Labor, 

Bureau of Labor Statistics, September 2009, 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.

Table 2. Burden Associated with Performing an Affirmative Defense

Personnel 

Number of 

Personnel 

Time 

Requirement 

(hours)

Total 

Hours

Hourly Rate 

($/hr) Total

Technical Personnel 3 6 18 97.59 $ 1,757

Managerial Personnel 2 6 12 114.77 $ 1,377

Total 5 30 $ 3,134

(c) Estimating Agency Burden and Cost

Because the information collection requirements were developed as an incidental part of 

standards development, no costs can be attributed to the development of the information 

collection requirements. Because reporting and recordkeeping requirements on the part of the

respondents are required under the part 60 General Provisions, no operational costs will be 

incurred by the Federal Government. Publication and distribution of the information are part of 

the Compliance Data System, with the result that no Federal costs can be directly attributed to 

the ICR. Examination of records to be maintained by the respondents will occur incidentally as 

part of the periodic inspection of sources that is part of EPA's overall compliance and 

enforcement program, and, therefore, is not attributable to the ICR. The only costs that the 

Federal government could incur are user costs associated with the analysis of the reported 

information. The Federal government would not incur those costs as a result of these proposed 

standards.

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

The EPA estimates that 17 new EGUs will become subject to the proposed regulation

over the 3-year period of the ICR.

The total annual number of responses for the new monitoring, recordkeeping, and 

reporting requirements in proposed subpart TTTT over the 3-year ICR period is estimated to be 

72. The average number of annual responses over the 3-year ICR period is 24 per year.

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

is estimated to average 16.5 hours per response. The total annual labor burden over the 3-year 

ICR period is estimated to be 1,188 person hours. The average annual labor burden for the rule is 

estimated to be 396 person hours per year.

The total annual labor costs over the 3-year ICR period are estimated at $46,709. The 

average annual labor costs to industry over the 3-year period of this ICR are estimated to be

$15,570 per year.
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(e) Bottom Line Burden Hours and Cost Tables

There are no annualized capital costs or O&M costs associated with this ICR. The bottom 

line labor hours and costs burden for each year of the 3-year ICR period appear in Exhibit 1a, 

Exhibit 1b, and Exhibit 1c.

(f) Reasons for Change in Burden.

The increase in burden is due to this being a new ICR associated with a new subpart for 

new source performance standards (NSPS) for emissions of CO2 for new affected fossil fuelfired EGUs

The EPA also provides an estimate of the costs of the notification, recordkeeping and 

reporting requirements associated with the assertion of the affirmative defense. The EPA’s 

estimate for the required notification, reports and records, including the root cause analysis, 

associated with a single incident totals approximately $3,141 and is based on the time and effort 

required of a source to review relevant data, interview plant employees, and document the events 

surrounding a malfunction that has caused an exceedance of an emission limit. The estimate also 

includes time to produce and retain the records and reports for submission to the EPA. For this

ICR, the EPA is estimating that there will no instances of affirmative defense over the 3-year 

ICR period. The EPA is using this estimate of no events in 3 years, because of the number of 

excess emission events reported by source operators, only a small number would be expected to 

result from a malfunction, and only a subset of excess emissions caused by malfunctions would 

result in the source choosing to assert the affirmative defense. We estimate that 17 new affected 

NGCC units would commence operation during the 3-year ICR period and believe that there 

would be no instances in which source operators might be expected to avail themselves of the 

affirmative defense.

(g) Burden Statement

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

is estimated to average 17 hours per response. Burden means the total time, effort, or financial 

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

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

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

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

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

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

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

the information.

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

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

control numbers for EPA’s regulations in 40 CFR part 60 are listed in 40 CFR part 9.

To comment on the agency's need for this information, the accuracy of the provided 

burden estimates, and any suggested methods for minimizing respondent burden, including the 

use of automated collection techniques, the EPA has established a public docket for this ICR 

under Docket ID Number EPA-HQ-OAR-2011-0660, 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 
13

Avenue, NW, Washington, D.C. The EPA Docket Center Public Reading Room is open from 

8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number 

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

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

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

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

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

the Docket ID Number identified above. Also, you can send comments to the Office of 

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

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

Number EPA-HQ-OAR-2011-0660 and OMB Control Number 2060-NEW in any

correspondence.

PART B

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

associated with the final amendments.
14

ATTACHMENTS

Exhibit 1a. Year 1 Respondent Burden of Reporting and Recordkeeping Requirements, NSPS for

GHG Emissions for EGUs (40 CFR part 60, subpart TTTT)

Exhibit 1b. Year 2 Respondent Burden of Reporting and Recordkeeping Requirements, NSPS for

GHG Emissions for EGUs (40 CFR part 60, subpart TTTT)

Exhibit 1c. Year 3 Respondent Burden of Reporting and Recordkeeping Requirements, NSPS for

GHG Emissions for EGUs (40 CFR part 60, subpart TTTT)
15

Exhibit 1a. Year 1 Respondent Burden of Reporting and Recordkeeping Requirements, NSPS for GHG Emissions for EGUs

(40 CFR part 60, subpart TTTT)

Year 1 (A)

Hours per 

Occurrence

(B) 

Occurrences/ 

Respondent/Year

(C)

Hours/ 

Respondent/ 

Year (A x B)

(D) 

Respondents/ 

Year

(E) 

Technical 

Hours/Year

(C x D x .79)

(F)

Managerial 

Hours/Year

(C x D x .09)

(G)

Clerical 

Hours/Year

(C x D x .12)

(H)

Cost/ Year

REPORT REQUIREMENTS

 Prepare/Submit Summary Report 16.5 2 33 8

 

208

 

24

 

32 $10,380

 Includes reporting of excess emissions & downtime

AFFIRMATIVE DEFENSE 30 0 0 0 0 0 0 0

TOTAL ANNUAL LABOR BURDEN AND COST 2 8

 

208

 

24

 

32 $10,380

 

264 Hours
16

Exhibit 1b. Year 2 Respondent Burden of Reporting and Recordkeeping Requirements, NSPS for GHG Emissions for EGUs 

(40 CFR part 60, subpart TTTT)

Year 1 (A)

Hours per 

Occurrence

(B) 

Occurrences/ 

Respondent/Year

(C)

Hours/ 

Respondent/ 

Year (A x B)

(D) 

Respondents/ 

Year

(E) 

Technical 

Hours/Year

(C x D x .79)

(F)

Managerial 

Hours/Year

(C x D x .09)

(G)

Clerical 

Hours/Year

(C x D x .12)

(H)

Cost/ Year

REPORT REQUIREMENTS

 Prepare/Submit Summary Report 16.5 2 33 11

 

287

 

33

 

43 $14,272

 Includes reporting of excess emissions & downtime

AFFIRMATIVE DEFENSE 30 0 0 0 0 0 0 0

TOTAL ANNUAL LABOR BURDEN AND COST 2 11

 

287

 

33

 

43 $14,272

 

363 Hours
17

Exhibit 1c. Year 3 Respondent Burden of Reporting and Recordkeeping Requirements, NSPS for GHG Emissions for EGUs

(40 CFR part 60, subpart TTTT)

Year 1 (A)

Hours per 

Occurrence

(B) 

Occurrences/ 

Respondent/Year

(C)

Hours/ 

Respondent/ 

Year (A x B)

(D) 

Respondents/ 

Year

(E) 

Technical 

Hours/Year

(C x D x .79)

(F)

Managerial 

Hours/Year

(C x D x .09)

(G)

Clerical 

Hours/Year

(C x D x .12)

(H)

Cost/ Year

REPORT REQUIREMENTS

 Prepare/Submit Summary Report 16.5 2 33 17

 

443

 

51

 

67 $10,380

 Includes reporting of excess emissions & downtime

AFFIRMATIVE DEFENSE 30 0 0 0 0 0 0 0

TOTAL ANNUAL LABOR BURDEN AND COST 2 8

 

443

 

51

 

67 $22,057

 

561 Hours