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SUPPORTING STATEMENT 

ENVIRONMENTAL PROTECTION AGENCY 

Federal Plan Requirements for Greenhouse Gas Emissions from Electric Utility 

Generating Units Constructed on or Before January 8, 2014; Model Trading Rules; 

Amendments to Framework Regulations 

July 2015

Part A of the Supporting Statement 

1. Identification of the Information Collection 

1(a) Title and Number of the Information Collection 

“Federal Plan Requirements for Greenhouse Gas Emissions from Electric Utility 

Generating Units Constructed on or Before January 8, 2014.” A new information collection 

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

number is 2526.01 and OMB Control Number is 2060-New. This ICR was developed for the 3-

year period following publication of the final rule. 

1(b) Short Characterization/Abstract 

Pursuant to Clean Air Act (CAA) section 111(d), the United States Environmental 

Protection Agency (EPA) is proposing a federal plan to implement the greenhouse gas (GHG) 

emission guidelines (EGs) for affected fossil fuel-fired electric utility generating units (EGUs) 

operating in states that do not have approved state plans. The EPA is co-proposing rate-based 

and mass-based approaches to a federal plan to implement the Clean Power Plan EGs. While 

establishing emission standards for affected EGUs that would be directly enforceable against the 

owners and operators of the source, both proposed approaches would grant EGUs substantial 

flexibility in meeting their compliance obligations and serve as model trading rules that states 

may adopt or tailor in designing their own plans. 

The federal plan is an important measure to ensure that congressionally mandated 

emission standards under the authority of the CAA are implemented. The proposed federal plan 

is related to, but separate from, the final EGs. The final EGs proposed in June 2014 and finalized 

in August 2015 establish the best system of emission reduction (BSER) for applicable fossil fuelfired EGUs and provide guidance and criteria for the development of approvable state plans. The 

purpose of the proposed federal plan is to establish requirements directly applicable to a state’s 

affected EGUs that meet the BSER in order to achieve reductions in carbon dioxide (CO2) 

emissions in the case where a state or other jurisdiction does not submit an approvable plan. 

These CO2 reductions laid out in the final EGs will be equivalent, whether implemented through 

a state plan or a federal plan. 

The EPA is also proposing certain enhancements to the process and timing for state 

submittals and EPA action in the section 111(d) framework regulations of 40 CFR 60 Subpart B 

(these proposals are not a part of the federal plan or model trading rules). These changes would 

be applicable under the Clean Power Plan and other CAA section 111(d) rules. These changes 

clarify the availability of certain procedural mechanisms similar to those available under section 

110 (such as calls for plan revisions and the availability of “conditional approvals,” etc.). They 
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also extend the deadlines for EPA action, in part to conform with the timelines in the EGs. These 

changes do not alter the timelines for state action under the EGs and do not alter the submission 

requirements established in the EGs. 

Potential respondents to this ICR are the owners or operators or existing fossil fuel-fired 

EGUs that were in operation or had commenced construction on or before January 8, 2014. This 

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

beyond the information those affected EGUs would already be subject to under the authorities of 

CAA parts 75 (Continuous Emission Monitoring) and 98 (Mandatory Greenhouse Gas 

Reporting). During the first three years after final rule promulgation, the only respondent activity 

required by the proposal is to read and understand the rule. The Office of Management and 

Budget (OMB) has previously approved the information collection requirements contained in the 

existing 40 CFR parts 75 and 98 regulations under the provisions of the Paperwork Reduction 

Act, 44 U.S.C. 3501 et seq. and has assigned OMB control numbers 2060-0626 and 2060-0629, 

respectively. There are no new information collection costs for these affected sources during the 

first three years, as the information required for these sources by the guidelines is already 

collected and reported by other regulatory programs during this period. 

This proposed rule does not directly impose specific requirements on state and U.S. 

territory governments or on tribal governments that have affected EGUs located in their areas. 

However, the proposed rule could result in burden for an implementation agency associated with 

these entities in the event that it seeks and is given delegated authority to enforce the rulemaking. 

Although granting delegated authority to an implementation agency is possible, the agency does 

not have any information that could be used to develop a cost estimate for the potential burden to 

state, territory, and tribal implementation agencies over the 3-year period associated with this 

ICR. We will reevaluate the burden on these entities based on the public comments and data 

received in response to the proposed action. 

2. Need for and Use of the Collection 

2(a) Need/Authority for the Collection 

 Section 111(d)(2) of the CAA, 42 U.S.C. 7411(d)(2) provides the EPA the same authority 

to prescribe a plan for a state in cases where the state fails to submit a satisfactory plan as the 

agency would have under CAA section 110(c) in the case of failure to submit an implementation 

plan. In addition, the EPA has authority under CAA section 111(d)(1) to prescribe regulations 

that establish procedures similar to CAA section 110 with respect to the submission of state 

plans, and the EPA also has general rulemaking authority as necessary to implement the CAA 

under section 301. 

2(b) Use/Users of the Data 

Data will not be collected from respondents during the course of 3-year period associated 

with this ICR. 

3. Nonduplication, Consultations, and Other Collection Criteria 

3(a) Nonduplication 

As previously stated, this action imposes no new information collection burden on 

affected sources (EGUs) during the first 3 years after final rule promulgation, beyond reading 

and understanding the rule. There are no new information collection costs; the information 
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required by these guidelines is already collected and reported by EGUs subject to 40 CFR parts 

75 and 98. Therefore, no duplication exists for the affected industry. 

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

This section is not applicable because this is a rule-related ICR. 

3(c) Consultations 

The EPA has maintained ongoing engagement with stakeholders on the scope of this 

rulemaking. There has been considerable outreach on the proposed Clean Power Plan to all 

stakeholders, including 11 listening sessions (one held in each region and one held at 

headquarters in Washington D.C.); four two-day public hearings and ongoing interaction with 

states, utilities, labor unions, nongovernmental organizations, consumer groups, industry and the 

general public. The EPA convened a Small Business Advocacy Review (SBAR) Panel to obtain 

advice and recommendations from small entity representatives that potentially would be subject 

to the rule's requirements. The SBAR Panel evaluated the assembled materials and small-entity 

comments on issues related to elements of an initial regulatory flexibility analysis (IRFA). 

The EPA has conducted consultation with tribes on the Clean Power Plan and the 

Supplemental Proposal for the Clean Power Plan and will offer all tribes consultation on this 

action. Additionally, the EPA engaged in meaningful dialogue with tribal stakeholders to obtain 

their feedback in the pre-proposal stages of this the rulemaking. 

3(d) Effects of Less Frequent Collection 

This section is not applicable because there is no burden on respondents for the 3-year 

ICR period. 

3(e) General Guidelines 

None of the guidelines in 5 CFR 1320.5 are being exceeded. 

3(f) Confidentiality 

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

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

B–Confidentiality of Business Information (see 40 CFR 2; 41 FR 36902, September 1, 1976; 

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

17674, March 23, 1979). 

3(g) Sensitive Questions 

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

nature. 

4. The Respondents and the Information Requested 

4(a) Respondents/NAICS Codes 

Potential respondents to this ICR are the owners or operators or existing fossil fuel-fired 

EGUs that were in operation or had commenced construction on or before January 8, 2014. 

There are an estimated 3,064 affected EGUs located at 1,028 facilities within the 48 contiguous 

states and tribal lands. 
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4(b) Information Requested 

(i) Data Items, Including Recordkeeping Requirements 

There are no new information collection costs for the affected industry beyond reading 

and understanding the rule because the information required by the EGs is already collected and 

reported by other regulatory programs (40 CFR parts 75 and 98). 

(ii) Respondent Activities 

The respondent activities required over the 3-year period are limited to reading and 

understanding the proposed rule requirements (see Exhibit 1).

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

Information Management (covering the first 3 years following final rule promulgation) 

5(a) Agency Activities 

The agency, specifically the EPA Headquarters and the EPA Regions, will not incur 

burden during the 3-year period associated with this ICR. 

5(b) Collection Methodology and Management 

This section does not apply because the agency does not have any information collection 

activities under the 3-year period of this ICR. 

5(c) Small Entity Flexibility 

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

(municipal and rural electric cooperatives). Pursuant to section 603 of the RFA, the EPA 

prepared an initial regulatory flexibility analysis (IRFA) that examined the impact of the 

proposed rule on small entities along with regulatory alternatives that could minimize that 

impact. As required by section 609(b) of the RFA, the EPA also convened a Small Business 

Advocacy Review (SBAR) Panel to obtain advice and recommendations from small entity 

representatives that potentially would be subject to the rule's requirements. The SBAR Panel 

evaluated the assembled materials and small-entity comments on issues related to elements of an 

IRFA. 

The EPA also considered whether the changes that we are proposing to the framework 

regulations in Subpart B of Part 60 of the CAA regulations would have any impacts on small 

entities. Since these changes only modify and enhance the procedures that the Administrator will 

follow in processing state plans and promulgating a federal plan, and do not alter the rules or 

requirements that states or regulated entities must follow, the agency does not believe that there 

will be economic impacts on small entities from this portion of the proposal. 

5(d) Collection Schedule 

This section does not apply because the agency does not have any information collection 

activities under the 3-year period of this ICR.

6. Estimating the Burden and Cost of the Collection 

6(a) Estimating Respondent Burden 

Exhibit 1 documents the individual burdens for the reporting requirements applicable to 

affected EGUs for the first three years. The average annual burden over the 3-year period of this 
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ICR from reading and understanding the rule requirements is estimated to be 17,150 hours per 

year. These hours are based on agency studies and background documents from the development 

of the EGs and the agency’s knowledge and experience with other regulations. 

6(b) Estimating Respondent Costs 

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

labor costs, operation and maintenance (O&M) costs, and annualized capital costs. Labor costs 

and O&M costs are the only respondent costs associated with this ICR. 

(i) Estimating Labor Costs 

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

requirements are estimated to be $1,762,214 (detailed in Exhibit 1). Labor rates and associated 

costs are based on Bureau of Labor Statistics (BLS) data. Technical, managerial, and clerical 

average hourly rates for private industry workers were based on the Bureau of Labor Statistics, 

May 2014 National Occupational Employment and Wage Estimates for the United States. The 

state government labor rates from BLS were multiplied by an overhead multiplier of 110 percent 

to estimate loaded labor rates of $87.17 per hour for technical, $118.34 per hour for managerial, 

and $34.84 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 annualized O&M costs associated with this ICR. 

 6(c) Estimating Agency Burden and Cost 

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

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

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

respondents are required under section 111 of the CAA, no operational costs will be incurred by 

the federal government. Publication and distribution of the information are part of the 

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

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

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

ICR. 

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

There are an estimated 1,028 facilities that are currently operating affected EGUs. 

Consequently, the average number of respondents during the 3-year period of this ICR is 1,028 

respondents/3 years = 343 respondents per year. 

The total annual burden attributable to this ICR is limited to reading and understanding 

the requirements of the proposed rule. The total labor burden over the 3-year ICR period is 

estimated to be 51,450 person-hours for affected facilities. The total labor costs over the 3-year 

ICR period are estimated to be $5.3 million. 
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6(e) Bottom Line Burden Hours and Cost Tables 

The bottom line labor hours and costs for respondents are shown in Exhibit 1. 

6(f) Reasons for Change in Burden 

This section does not apply because this is a new ICR. 

6(g) Burden Statement 

The average annual respondent burden for the proposed federal plan and enhancements to 

40 CFR 60 Subpart B is estimated to be 17,133 hours. 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. 

PART B 

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

associated with these guidelines. 
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ATTACHMENTS 

Exhibit 1. Respondent Burden and Cost of Reporting and Recordkeeping Requirements, Federal 

Plan Requirements for Greenhouse Gas Emissions from Electric Utility Generating Units 

Constructed on or Before January 8, 2014; Model Trading Rules; Amendments to Framework 

Regulations
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Exhibit 1. Respondent Burden and Cost of Reporting and Recordkeeping Requirements, Federal Plan Requirements for G

from Electric Utility Generating Units Constructed on or Before January 8, 2014; Model Trading Rules; Amendments to F

Burden Item 

(A) 

Respondent 

Hours per 

Occurrence 

(B) 

Number of 

Occurrences Per 

Respondent Per 

Year 

(C) 

Hours per 

Respondent 

Per Year 

(A x B) 

(D) 

Number of 

Respondents 

Per Yeara

(E) 

Total 

Hours/ 

Year 

(C x D) 

(F) 

Technical 

Hours per 

Year @ 

$87.17 

(E x 0.79) 

(G) 

Manageme

nt Hours 

per Year @ 

$118.34 

(E x 0.09) 

1. REPORTING REQUIREMENTS A. Read and Understand Rule Requirements d 50 1 50 343 17,150 8,575 8,575 B. Required Activities C. Create Information Incl. in 1B D. Gather Information Incl. in 1B E. Report Preparation AVERAGE ANNUAL LABOR BURDEN AND COST e 17,150 8,575 8,575 AVERAGE ANNUALIZED COSTS (O&M) Recordkeeping/reporting supplies 

a The number of respondents per year is the 1,028 affected units averaged over the 3-year ICR period (1,028/3=343). 

b This ICR uses mean hourly wage for the following labor categories from the United States Department of Labor, Bureau of Labor Statistics, May 2014, “N

and Wage Estimates United States”: General and Operations Managers for Managerial labor, Environmental Engineers for Technical labor, and Secretari

Except Legal, Medical, and Executive for Clerical labor. The rates have been increased by 110 percent to account for the benefit packages available to th

c Includes only responses that are submitted as reports. No reporting is expected during the term of this ICR. d Assumes one-time burden of 50 hours (based on an average reading rate of 100 words/minute) to read and understand rule requirements, divided equally a

staff. 

e Assumes minimal new burden on affected EGUs beyond what those affected EGUs would already be subject to under the authorities of CAA parts 75 and 
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Respondent Labor Rates (2014)

Labor Category Unloadeda

Overhead 

Multiplier 

 (110%) Loaded 

Technical 41.51 2.1 87.17

Managerial 56.35 2.1 118.34

Clerical 16.59 2.1 34.84

a Unloaded labor rates from U.S. Department of Labor, Bureau of Labor Statistics, May 2014, 

“National Occupational Employment and Wage Estimates United States” 

http://www.bls.gov/oes/2014/may/oes_nat.htm