EPA

United States Environmental Protection Agency

 Office of Air and Radiation

Office of Air Quality Planning and Standards

____________________________________________________________________________________

April 2007

INFORMATION 

COLLECTION REQUEST

FOR STATE

OPERATING PERMIT 

REGULATIONS (40 CFR 

PART 70)

prepared by

Jeff Herring, Environmental Scientist

Air Quality Policy Division

Operating Permits Group

EPA #1587.07
E-1

The approved burden level in the previous ICR was 4.0 million hours per 

year for sources, 1.1 million burden hours per year for permitting authorities 

(PAs), and 28 thousand hours for the Federal government; for a total of 5.1

million hours each year. The current ICR predicts 4.2 million, 1.3 million, 

and 33 thousand hours, respectively, for each respondent group, for a total 

of 5.6 million hours. Overall, this is an expected increase in burden of 

420 thousand hours. This increase in burden reflects an increase in the 

number of sources that will have their existing permits renewed and a more 

accurate estimate of the number of general versus single-source permits

effective during the period covered by the ICR renewal. For sources, this is 

an increase in burden of 197 thousand hours, primarily due to increased 

activities related to operating gap-filling monitoring, preparing monitoring 

and annual compliance certification reports, and preparing renewal 

applications, despite the offset from the concomitant burden reduction due 

to the majority of sources having completed their initial permit applications.

The Agency predicts States and other PAs will incur a burden increase of 

about 219 thousand hours per year and the Federal government will incur an 

increase of 5 thousand hours per year. 

TABLE E-1

BURDEN CHANGE FROM NOVEMBER 2004 ICR TO CURRENT ICR

Average Annual 

Burden in November

2004 ICR

Average Annual 

Burden in ICR 

Renewal

Difference

Sources

PAs

Federal

3,978,858

1,130,690

28,294

4,176,069

1,349,570

33,389

197,211

218,880

5,095

Total 5,137,842 5,559,028 421,186

Table E-1 displays the expected annual burden and the expected change in 

annual burden for sources, PAs, and the Federal government for 

implementation of the title V Operating Permits Program between July 2007 

and June 2010. Of the 5.6 million hours the Agency anticipates it will take 

to perform all the functions required each year, about 3/4 of the burden 

applies to sources. However, the magnitude of the total expected burden 

can be misleading, due to the number of permitted sources. For the 16,818 

sources included in this analysis, the average expected burden is relatively 

small – just over 6 weeks of a full-time employee's time.

Executive Summary
E-2

Permitting authorities incur about 24 percent of the burden of part 70 

management, with the total burden spread between a significantly smaller

number of entities compared to sources. On average, the Agency estimates 

the burden associated with the title V Operating Permits Program will be 

about 12,000 hours per year per PA. Each PA can expect to expend an 

average of 80 hours of effort per source each year, at a cost of about $3,600

per permit. However, PA burden cannot be considered an Unfunded 

Mandate because the net cost to PAs for their management of an operating 

permits program must, by law, be passed on to the PA's sources through the 

permit fee. The cost of permits to sources must be of sufficient magnitude 

to fully offset all permit management costs. Hence, the true annual cost to 

permitting authorities under title V is zero, and the true annual cost to 

sources is $221.0 million, approximately $13,100 per source per year. The

increase in burden for PAs in this ICR renewal is due to changes in levels of 

program activities that have occurred as a result of evolution of the program 

(e.g., an increase in permit renewal activity during the period) and to 

changes in burden estimates for PAs.

The burden and cost increase for Federal activities results primarily from a 

change in the burden estimate, specifically to add an annual burden for EPA 

oversight of each State and local program to reflect increased activity

related to EPA response to public petitions asking EPA to object to specific 

State permits. This additional burden more than offsets the expected 

decrease in the level of EPA effort related to issuance of initial permits.

In accordance with the analytical requirements established under the 

Regulatory Flexibility Act (RFA) and the Small Business Regulatory

Enforcement Fairness Act (SBREFA), the Agency has determined that there 

are no adverse effects to be identified vis-à-vis small entities and small 

businesses. Note that EPA has not made any changes in regulatory

requirements or policy that would impose any new information collection 

requirements for small business, however this ICR renewal does show a 

small increase in burden and costs due to several variations in assumptions 

from the last ICR, including an expected increase in the number of sources 

subject to permit renewal requirements, a more accurate estimate of the 

percentage of sources that have obtained less-burdensome general permits, 

and inflation adjustments for wage rates. 
Table of Contents

Executive Summary...................................................................E-1

1. Identification of the Information Collection............................1

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

3. Non-Duplication, Consultation, and Other 

Collection Criteria...........................................................5

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

5. The Information Collected – Collection Methodology

and Information Management..........................................12

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

Attachment 1

Assumptions for Part 70 ICR Renewal.............................................29

Attachment 2

Worksheets for Burden Estimates..................................................35

Attachment 3

Title V of the Clean Air Act, the Statutory Requirements

For the Respondent Information.....................................................44

Attachment 4

Analysis of Part 70 State Program Evaluations For ICR Renewal 

Purposes (1587.07).....................................................................55

Attachment 5

February 9, 2007 Federal Register Notice (72 FR 6233)....................61
1

This analysis is titled: "State Operating Permit Regulations (40 CFR part 

70)." It fulfills the Agency's requirements under the Paperwork Reduction 

Act (PRA) to determine, report, and periodically update the regulatory

burden associated with the Operating Permits Program, codified in section 

40 of the Code of Federal Regulations (40 CFR) part 70. This report has 

been assigned EPA tracking number ICR # 1587.07. The OMB tracking 

number for this ICR is 2060-0243. 

Title V of the Clean Air Act requires States to develop and implement a 

program for issuing operating permits to all sources that fall under any Act 

definition of major and certain other non-major sources that are subject to 

Federal air quality regulations. The Act further requires EPA to develop 

regulations that establish the minimum requirements for those State 

operating permits programs and to oversee their implementation. The EPA 

regulations setting forth requirements for the operating permits programs 

were codified at 40 CFR part 70 on July 21, 1992. 

The activities that will occur during the period of this ICR include: 

• permitting authorities issuing the remaining initial permits; 

• sources submitting semi-annual monitoring and annual compliance 

certification reports; 

• permitting authorities reviewing those reports; 

• sources submitting applications for permit revisions; 

• permitting authorities processing permit revisions; 

• sources applying for permit renewal; 

• permitting authorities renewing permits; 

• newly subject sources submitting permit applications; and 

• permitting authorities issuing new initial permits. 

All of these data are made available for public review and comment. The 

activities to carry out these tasks are considered mandatory and necessary

for implementation of title V and the proper operation of the operating 

permits program. The information will also be available for public 

inspection at any time in the offices of the permitting authorities. 

The Agency anticipates annualized direct costs of the part 70 permit 

program for the three years of the ICR to subject sources to be 

approximately $480.8 million. These represent the direct administrative 

costs for 16,818 sources, or approximately $9,500 per source per year 

1 Identification of the Information Collection

1.2 Description
2

(248 hours per source per year). The Agency estimates the cost of the 

part 70 permit program for the three years of the ICR to permitting 

authorities to be approximately $182.2 million ($3,600 and 80 hours per 

source per year) while Federal costs for the three years of the ICR will be 

approximately $4.5 million (2 hours and $89 per source per year).
3

In implementing title V of the Act and EPA's part 70 operating permit

regulations, State and local permitting authorities must develop programs 

and submit them to EPA for approval (section 502(d)). Sources subject to 

the program must prepare operating permit applications and submit them to 

the permitting authority within 1 year after approval of the program by EPA 

(section 503). Permitting authorities will then issue permits (section 503(c)) 

and thereafter enforce, revise, and renew those permits at no more than 5-

year intervals (section 502(b)(5)). Permit applications and proposed permits 

will be provided to, and are subject to review by, EPA (section 505(a)). The 

permit and all information submitted by a source shall be available for 

public review except for confidential information which will be protected 

from disclosure (section 503(e)) and the public shall be given public notice 

of, and an opportunity for comment on, permit actions (section 502(b)(6)).

Sources will submit monitoring reports semi-annually and compliance 

certification reports annually, to the permitting authorities (section 

503(b)(2)). The EPA has the responsibility to oversee implementation of 

the program (section 502(c)). A copy of sections 502 through 504 of title V 

of the Act are in Attachment 3.

The burden estimates included in this ICR include the total burden of 

implementing the part 70 operating permits program. For the 3-year period 

covered by this ICR, all State programs (including those portions of States 

for which an operating permits program is being implemented by a local 

agency) have been submitted to EPA and have been granted full approval. 

All permit applications have been submitted to State or local permitting 

authorities except for sources that will be newly subject to the program. 

To carry out the remaining activities of the program (listed above in section 

1.2), permitting authorities must obtain the required information from 

sources subject to the program and they must then carry out their functions 

(e.g., permit issuance, renewal, and revision and report review) based on the 

information. 

The information included in this ICR is based upon the best data sources 

available to the Agency at this time. However, inconsistencies in PA 

reporting techniques, incomplete data sets, and sampling limitations 

imposed upon the Agency by the Paperwork Reduction Act necessitated a 

certain amount of extrapolation and "best-guess" estimations by permitting 

authority and Agency experts. Consequently, the reader should not consider 

2 Need and Use of the Collection

2.1 Need/Authority

For the 

Collection

2.2 Practical 

Utility/Users of 

the Data

2.3 Caveats and 

Considerations
4

the conclusions to be an exact representation of the level of burden or cost 

that will occur during the three years of this ICR. Instead, this ICR should 

be considered a directionally-correct assessment of the impact the Operating 

Permits Program will have over the next three years. 

Throughout this ICR, the reader will observe estimated values that show 

accuracy to the single hour or dollar. Because this ICR estimates the 

expected impact of the Operating Permits Program, reporting values at the 

single unit level may be misleading. In most situations, the proper way to 

present estimated data would be to determine an appropriate level of 

precision and truncate values accordingly, usually in terms of thousands or 

millions of units. For instance, a spreadsheet generated estimation of 

$5,456,295 would be presented in the text as $5.5 (millions) or $5,456 

(thousands). One problem with such an approach is the loss of data richness 

when the report contains a mixture of very large and very small numbers. 

Such was the case with this ICR, where source values are consistently in the 

millions and Federal values in the tens of thousands. Consequently, to avoid 

the loss of information through rounding, this ICR reports all values at the 

single unit level and reminds the reader that there is no implied precision 

inherent in this style of reporting.
5

While much of the information requested under this ICR existed prior to the 

creation of the operating permits program, an operating permit is a 

compilation of existing requirements; the purpose being to bring all 

requirements applicable to a source into one document. The intent of this 

compilation is to (1) resolve any questions of applicability at the time of 

permit issuance, (2) provide certainty to sources as to their obligations, and 

(3) provide the public access to a source's obligations and compliance status. 

The Agency has no leeway to not require such previously existing 

information under this ICR since consolidation of the information into the 

operating permit and providing public access is the whole purpose of the 

statute. To the extent that similar information was previously collected 

(e.g., State permits under State implementation plans), the part 70 program 

may replace those activities thus avoiding duplication of efforts. 

For any existing rule, § 3507(g) of the PRA limits the length of time for 

which the Director may approve a collection of information to 3 years. The 

last ICR renewal (EPA tracking number 1587.06) was granted on 

November 1, 2004 for the period ending March 31, 2007. An emergency

extension was granted by OMB on March 13, 2007 that extended the 

expiration date to June 30, 2007

Except for information collection in notices of proposed rules or those 

exempted under the emergency processing provisions of 44 U.S.C. § 

3507(j), the PRA requires EPA to solicit comment on each proposed 

information collection, including the renewal or modification of any existing 

ICR. On February 9, 2007 (72 FR 6233), the Agency published a notice 

soliciting comment on an analysis of burden for the part 70 program for the 

3-year period of this ICR (i.e., July 1, 2007 to June 30, 2010). A copy of the 

February 2007 notice is attached as Attachment 5. The EPA received no 

public comments.

In updating this ICR, EPA relied on the latest information on the number of 

sources subject to the program and the number of permits issued which is 

provided to EPA’s regional offices, quarterly, by permitting authorities 

within their jurisdictions. Also, EPA contacted the State and Territorial Air 

Pollution Program Administrators and the Association of Local Air 

Pollution Control Officers (STAPPA/ALAPCO), now known as the 

National Association of Clean Air Agencies (NACAA), and during a 

3 Non-Duplication, Consultation, and Other Collection Criteria

3.1 Non-Duplication

3.2 Public Notice

Requirements

3.3 Consultations
6

conference call with them EPA received input on the draft ICR renewal for 

part 70 that was released for public comment on February 2, 2007.. 

Consistent with NACAA’s input during that consultation, changes have 

been made to burden estimates for certain activities performed by permitting 

authorities and EPA. This is described more fully in section 6.2. Also, 

consistent with NACAA’s concerns, in section 4.2.2, we are providing more 

detailed descriptions of permitting authority activities.

The burden estimates for specific activities for this ICR renewal continues to 

rely on consultations conducted for the previous ICRs, as shown below.

Permitting authorities contacted by EPA:

• Tom Micai, New Jersey DEP, 609-292-0834 

• Lisa McClung, West Virginia DEP, 304-558-0885 

• Wayne Anderson, Mississippi DEQ, 601-961-5153 

• Rick McVaigh, San Joaquin UAPCD, 209-497-2000 

Geri O. Sullivan of STAPPA/ALAPCO (now NACAA) contacted the 

following members and provided their responses to EPA: 

• Jim Ross, Illinois EPA, 217-782-4651 

• Brian Fitzgerald, Vermont ANR, 802-241-3848 

• Phil Davis, Alabama DEM, 334-271-7875 

• Curt Marshall, Regional Air Pollution Control Agency (Dayton, 

OH), 937-225-4435 

• Renee Bashel, Wisconsin DNR, 608-266-7718 

In the last ICR renewal, EPA discussed two other EPA activities that it 

thought would yield additional title V burden information for this renewal. 

One of these activities was a nationwide, comprehensive evaluation of the 

majority of title V operating permits programs, which was completed 

September 2006. The second activity is a stakeholder effort to assess all 

aspects of the title V program, currently lead by the Clean Air Act Advisory

Committee. (This effort is known as the Title V Task Force.) The first 

activity, the State program evaluations, was not specifically designed to 

provide information for purposes of estimating burdens and cost of title V 

programs but it did result in information that generally supports the 

assumptions of the prior ICR, including those based on input from State and 

local permitting authorities. There is only one assumption for permitting 

authorities that has changed in response to these evaluations, that is the 
7

frequency that public comments results in changes to draft permits (see 

Table 8, section 6.3.2), which did not lead to significant changes in overall 

burden for permitting authorities. (See analysis of State program

evaluations included as Attachment 4). The second activity, the Title V 

Task Force, resulted in recommendations on ways that EPA could improve 

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

issuance of guidance, but it did not result in any information useful for 

estimating burdens for this ICR, and no guidance or rulemaking resulting 

from this effort are effective at this time. (For more on the Title V 

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

In general, the information collections included in this ICR are one-time 

submittals per activity (e.g., permit application, permit issuance, and permit 

revision). Exceptions are deviation reports that must be submitted 

"promptly" and the semi-annual monitoring data report and the annual 

compliance certification. These reports are required by section 503(b)(1) 

and (2), respectively, of the Act and EPA has no leeway to require less 

frequent reporting. 

Part 70 requires retention of all monitoring data and support information and 

all permit applications, proposed permits, and final permit records for a 

period of 5 years. These records are necessary to fulfill the intent of title V 

to assure compliance with applicable requirements. Questions regarding the 

obligations of a source and its status of compliance can be resolved through 

such records.

All information, other than confidential business information, relating to the 

permitting of sources under this program and related to compliance 

monitoring are required by section 503(e) of the Act to be subject to public 

review at all times. Section 70.4(b)(3)(viii) requires the permitting authority

to make available to the public any permitting information except that 

entitled to protection from disclosure under section 114(c) of the Act. 

Protected information may be required to be submitted directly to EPA. 

Such information will be stored in EPA's Confidential Business Information 

office. 

3.4 Effects of Less

Frequent 

Collection

3.5 General 

Guidelines

3.6 Confidentiality
8

Respondents to this information collection come from two groups: 

permitting authorities (PAs) and sources required to obtain an operating 

permit. 

All States are required by title V to develop a part 70 operating permits 

program. In many instances, local agencies administer a program in their 

jurisdiction in lieu of the State and are thereby subject to the same program 

requirements as States. In total, there are 112 State, territorial, and local 

agencies administering operating permits programs. 

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

Some non-major sources may also be subject to the program if they are 

subject to a Federal standard such as a New Source Performance Standard 

(including standards for hazardous air pollutants). Some of these sources 

have been exempted from the program or the applicability of the program 

requirements are deferred until some future date. Information provided to 

the EPA by permitting authorities indicate that 16,643 sources are now 

subject to the program, representing more than 500 SIC codes. Additional 

information (including SIC codes) for major sources subject to title V may

be found by accessing the following web page:

http://www.epa.gov/compliance/resources/publications/data/systems/air/afs

majorsources.pdf 

All activities associated with the operating permits program are considered 

information collection activities and are reflected in the ICR for part 70. 

Following are lists of the operating permits program data items submitted by 

sources and permitting authorities and program activities performed by 

permitting authorities and sources. Note that the descriptions for permitting 

authority activities below have been revised since the last ICR update to 

include more detailed descriptions, as request by NACCA (these changes 

are not due to any new EPA mandates). 

Permitting Authorities (submitted to EPA)

• Applications for initial permits, permit revisions, and permit 

renewals

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

 

1 All definitions of “major” in the Act.

4 The Respondents and the Information Requested

4.1 Respondents

4.2 Information 

Requested

4.2.1 Data Items 

Submitted 

Including 

Recordkeeping 

Requirements
9

• Final permit 

• Annual report of enforcement activities 

Sources (submitted to permitting authority) 

• Application for initial permits, permit revisions, and permit renewals

• Deviation reports that must be filed "promptly"

• Semi-annual monitoring report 

• Annual compliance certification report 

PERMITTING AUTHORITY ACTIVITIES

• Program administration: Responding to inquiries about the 

program, developing internal and external program guidance, 

developing rules, forms, and other mechanisms to implement the 

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

providing source training, attending EPA meetings and conferences, 

providing public education, and other program related activities.

• Permit application review, including discussions with a source 

concerning the completeness of the permit application, review of 

applications for completeness and technical approach, and requests 

for additional information, when necessary.

• Draft permit preparation, including contact with the source to 

clarify the specific requirements that apply, drafting the “statement 

of basis,” drafting gap-filling monitoring, when necessary, and 

drafting permit terms and conditions to reflect existing 

requirements.

2

• Comment period notification: Providing notice to the public, EPA, 

and affected States of the comment period on a draft permit (for 

initial permit issuance, permit renewal and significant permit 

modification). Affected State notification is also required for minor 

permit modification.

 

2

This involves writing permit terms that reflect the “applicable 

requirements” that apply to sources. These “applicable requirements” (e.g.,

MACT and CAM) are not required by part 70; they are required by other 

Federal rules and their burdens are counted in the ICRs for those rules. 

Nevertheless, writing permit terms to reflect those requirements are part 70 

burdens. Also, part 70 burdens include imposing additional monitoring

through part 70, such as gap-filing monitoring (as clarified in a December 

15, 2006 interpretive rule, 71 FR 75422).

4.2.2 Respondent 

Activities
10

• Public hearing administration: Administering a public hearing, 

when appropriate, for initial permit issuance, permit renewal, and 

significant permit modification.

• Interaction with EPA on a proposed permit, including negotiations, 

re-drafting, and formal EPA objections (including those attributable 

to public petitions).

• Response to public comments: Analyzing public comments and 

revising the draft permit accordingly, when appropriate.

• Permit issuance: Formalizing permits, placing copies of final 

permits on public websites, entering information into EPA’s permit 

website (Air Facility System), and providing copies to sources.

• General permits administration (Burden for issuing general 

permits included with other permit issuance burden).

• Permit revision: Modifying permits to reflect changes at the source 

otherwise prohibited by the permit, including public participation 

and affected State review, when needed. 

• Permit renewal: Updating the permit to reflect changes at the 

source, not captured through permit revision (includes reviewing 

application, drafting changes, public notice, public hearings (when 

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

issuance).

• Monitoring and compliance certification: Reviewing deviation 

and semiannual monitoring reports and annual compliance 

certification reports required by part 70, and any enforcement 

activities related to such reviews.

• Annual reporting: Preparing and submitting to EPA annually a 

report of the State's enforcement activities.

SOURCE ACTIVITIES

• Permit application preparation, including internal meetings, 

permitting authority discussions, management and legal department 

involvement, responsible official certification, contractor services.

• Draft permit development: Interaction with the permitting 

authority on draft permit development.

• Gap-filling development: Development of “periodic” monitoring or 

reporting, where necessary.

• Public hearing participation

• Operate gap-filling periodic monitoring: Operation of monitoring 

equipment and the taking and keeping of records, where necessary.
11

• Monitoring reports: Preparing deviation and semi-annual 

monitoring data reports and annual compliance certifications, 

including data analysis, responsible official certification, and report 

submission.

• Permit revisions: Preparing applications for revisions.

• Permit renewal: Preparing permit renewal applications.

• Other activities associated with permit renewal, including 

discussions with permitting authority and public hearing 

participation.

EPA ACTIVITIES

• Review proposed permits and permit revisions to determine if they

provide for compliance with all applicable requirements.

• Review monitoring provisions of proposed permits or permit 

revisions to see if they contain applicable requirements or to add 

periodic monitoring if needed.

• Consult with the permitting authority on any problems detected in 

the proposed permit or permit revision including interaction related 

to fact finding on permit petitions.

• Program oversight including review of program changes, review 

annual reports of enforcement activities, program evaluation, issuing 

notices of deficiency, development of formal EPA responses to 

public petitions, and applying sanctions to States, as appropriate.
12

The Agency will receive proposed permits or permit revisions in hard copy

or electronically, depending on permitting authority capability. Each EPA 

Regional Office has determined with their permitting authorities the most 

efficient system to exchange information. Each Regional Office maintains 

files of permit information only to the extent that the office determines the 

need for file retention. This will vary depending on factors such as the 

source (e.g., large, complicated sources vs. small), the type of permit 

(general vs. full), the number of actions occurring at a source, or the record 

of the source with respect to compliance. There is no need for EPA to 

maintain complete files of permit actions for public access since these are 

maintained by permitting authorities. 

Title V provides few ways to mitigate the effects of operating permit 

regulations on small entities. Under section 502(a) of the Act, the Agency

has exempted or deferred applicability of title V for those non-major source 

categories for which compliance with title V will be impractical, infeasible, 

or unnecessarily burdensome. (For example, see a recent final rule, 70 FR 

75320, December 19, 2005, which exempted a large number of small 

sources). The Agency has not analyzed how many of these non-major 

sources will be small businesses, but believes that a large percentage may

fall under that definition. 

For industries with a large number of identical sources (e.g., bulk gasoline 

distribution terminals and gravel mining operations), general permits may be 

used to meet the requirements of title V (instead of a source-specific 

permit). General permits can reduce the burden of the program on small 

businesses. 

In accordance with the analytical requirements established under the 

Regulatory Flexibility Act (RFA) and the Small Business Regulatory

Enforcement Fairness Act (SBREFA), the Agency has determined that, 

because this ICR does not significantly increase burden relative to its 

predecessor, there are no adverse effects to be identified vis-à-vis small

entities and small businesses. 

Items identified in section 4.2.1 are listed below with their schedule for 

submission. 

5 The Information Collected – Collection Methodology and Information Management

5.1 Collection 

Methodology and 

Management

5.2 Small Entity 

Flexibility

5.3 Collection 

Schedule
13

Permitting Authorities (submitted to EPA):

• Application for permits, permit revision, and permit renewal should 

be submitted to EPA with the proposed permit or permit revision.

• Draft/proposed permits, permit revisions, or permit renewals should 

be submitted when the State wants to commence the EPA review 

period of the proposed permit or permit revision.

• The final permit should be submitted to EPA soon after it is issued, 

but there is no deadline in part 70 for this submission.

• The annual report of enforcement activities is submitted to EPA 

annually, but part 70 does not specify a date.

• Responding to program evaluation questionnaires.

Sources (submitted to permitting authority): 

• New permit applications are due within 1 year after a source 

becomes subject to the program.

• Permit revision applications are submitted by a source when it 

wishes to make a change to its permit. There is no schedule for these 

submissions in that they are at the discretion of the source.

• Permit renewal applications are due at least 6 months prior to 

expiration of the permit.

• The semi-annual periodic monitoring report is due to be submitted to 

the permitting authority twice a year on dates specified by the 

permitting authority.

• The annual compliance certification report is due annually on a date 

specified by the permitting authority.

• Deviation reports (frequency is defined by permitting authority but at 

least every six months).
14

Historically, the Agency has identified 116 permitting authorities for title V 

purposes. This number includes several governmental agencies that do not 

manage operating permits programs. In actuality, there are 112 permitting 

authorities acting within the United States. Forty-nine States operate as 

permitting authorities, with California employing 34 local air quality 

management organizations in lieu of a statewide permitting authority. 

Puerto Rico, the Virgin Islands, and Washington D.C. all have operating 

permits programs, and there are 26 county or regional permitting authorities 

within States that operate in a manner similar to that of California. 

As of September 2006, the Agency identified 16,643 sources subject to 

permitting under 40 CFR part 70, 16,441 of which have already received 

permits, representing a backlog of 202 sources. We consider sources who 

have not yet received initial permits to be in the backlog if the deadline for 

the permitting authority to act on the application has passed and a permit has 

not been issued. Also, between September 2006 and June 2007, EPA 

estimates that 25 new sources will become subject to permitting, and that an 

additional 54 permits will be issued (i.e., comprised of 25 new sources and

29 backlogged sources). Thus, at the beginning of the period covered by

this analysis, EPA estimates there will be a source population of 16,668 

sources, 16,495 issued permits, and a backlog of 173 permits. In addition, 

during the three years of this ICR we assume that the backlog of initial 

permits will be reduced in equal amount each year, eliminating the backlog 

by the end of the period of analysis. Also, 150 sources will become newly 

subject to permitting during the period of the analysis as a normal 

consequence of economic growth. Table 1 summarizes the number of 

permitting authorities and the number of permits to be issued during the 

period of this ICR renewal.

In the original 1992 RIA and ICR for the Operating Permits Regulations, the 

Agency anticipated 34,324 sources would be required to obtain operating 

permits. Since that time, the Agency has offered additional regulatory relief 

to sources by providing a vehicle through which sources defined as major 

based upon their potential to emit can, by contractually limiting operations, 

reduce their potential to emit to under the major source threshold (generally 

100 tons per year of a criteria pollutant, 25 tons of a mixture of HAPs, or 10 

tons of a single HAP). The success of this "synthetic minor" program can 

readily be seen by the significant drop (over 16,000 sources) in the number 

of affected major sources.

6 Estimating the Burden and Cost of the Collection

6.1 Estimating the 

Number of 

Respondents
15

TABLE 1

IDENTIFICATION OF AFFECTED ENTITIES AND PERMIT ISSUANCE SCHEDULE

PERMITTING AUTHORITIES SOURCES

State Permitting Authorities 

 PLUS: California Local Authorities 

 PLUS: Territories and Possessions 

 PLUS: District of Columbia 

 PLUS: Other Local PAs 

Total Permitting Authorities 

 49

 34

 2

 1

 26

112

Total Population of Part 70 Sources as of September 2006 

Less: Sources Permitted Before September 2006 

Less: Sources Permitted September 2006 through June 2007 

Total Sources Expected to Be Permitted through June 2007 

Plus: Newly Subjected Sources through June 2007 

Sources remaining to Be Permitted as of July 2007

 

Percent of Sources Expected to Be Covered by General Permits 

Existing Sources Expected to Be Covered 

Less: Sources Covered through June 2007 

Existing Sources Issued General Permits During this ICR 

Plus New Subject Sources During ICR Period (3 years)

Total Permits to be Issued in Year 1

Less: New Sources Covered by General Permits

Single-source Permits to be Issued in Year 1

 

Total Permits to be Issued in Year 2

Less: New Sources Covered by General Permits

Single-source Permits to be Issued in Year 2

 

Total Permits to be Issued in Year 2

Less: New Sources Covered by General Permits 

Single-source Permits to Be Issued in Year 3

 

Total (single) Permits Expected to Be Issued During This ICR

 

16,441 

54 

16,495 

25 

 

 

 

 

 

16,643 

 

 

 

 

173

 

16% 

2,667 

2,667 

0 

150

108

0

108

 

108

0

108

 

107

0 

107

 

323

Another example of regulatory relief incorporated into the operating permits 

program is the general permit, which allows large numbers of homogenous 

major sources of pollution to receive the same permit. This program has 

been successful in allowing approximately 16% (more than 2,600 part 70 

sources) of all part 70 sources a cost-effective alternative to single-source 

permitting. Note that in prior analyses we estimated that 20% of sources 

would get general permits, but data EPA has collected recently from 

permitting authorities supports revising this estimate downward to 16% for 

purposes of the current analysis. The EPA estimates that by July 2007 

(when the period of this ICR begins), the total population of part 70 sources 

will have grown to 16,668 and that 16% of these sources (2,667 sources) 

will have received general permits. Because general permits are typically

relatively easy to issue, the Agency assumes that all existing sources eligible 

for general permits will have received them by June 2007 and that none of 

the 173 backlogged sources will be issued general permits during the three 

years of this ICR. We further assume that none of the estimated 150 newly 

subject sources will receive general permits during the period of this ICR.
16

Data collected by EPA suggests a renewal backlog of 8,552 permits as of 

September 2006. These permits will need to be renewed during the 3-year 

ICR period in order to eliminate the backlog. Additional permits will 

become subject to renewal during the ICR period because their initial or 

previous renewal permits are expiring. Thus, the total amount of permits 

projected to be renewed during the ICR period is 11,668. EPA assumes that 

the total number of permits to be renewed in each year of the ICR will be 

1/3 of the backlog plus whatever permits would normally come up for 

review because their permits are at the end of their 5-year term, or 4,414 the 

first year, 3,710 the second year, and 3,544 the third year. This analysis also 

assumes that 84% of renewal permits will be issued as single-source permits 

and 16% as general permits, consistent with EPA’s revised assumption. 

Also, EPA notes that the assumption of 8,552 permits in the renewal 

backlog is likely overestimated. We are in the process of implementing a 

new tracking system that should provide better estimates of this variable, but 

this system is not fully operational at this time.

Burden means the total time, effort, or financial resources expended by 

persons to generate, maintain, retain, or disclose or provide information to 

or for a Federal agency. This includes the time needed to review 

instructions; develop, acquire, install, and utilize technology and systems for 

the purposes of collecting, validating, and verifying information, processing 

and maintaining information, and disclosing and providing information; 

adjust the existing ways to comply with any previously applicable 

instructions and requirements; train personnel to be able to respond to a 

collection of information; search data sources; complete and review the 

collection of information; and transmit or otherwise disclose the 

information. The Agency derived its estimates in Tables 2 and 3 from 

previous consultations with fewer than nine respondents from the regulated 

community on the burdens and costs of the permit programs, data collected 

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

renewed, and modified in the course of program administration, and based 

on our analysis of data submitted within the context of State and local

permitting program evaluations. For table 3, permitting authority burden by

activity, we have made several changes since the last ICR renewal, 

including revising the burden for permit renewals and significant 

modifications from 60 hours per activity to 90 hours per activity for both, 

and changing minor permit modification from 20 hours per activity to 30 

hours per activity. These changes were made pursuant to consultation with 

NACCA to more accurately reflect the burdens of public notification, public 

comment, public hearing, and affected State review for these activities. The 

6.2 Estimating 

Burden
17

specific tasks included in each activity are in Section 4.2.2, above, and the 

worksheets in Attachment 2 of this ICR. 

Table 4 includes Federal burden estimates for each of the EPA activities 

discussed above in section 4.2.2. A change to this table since the last ICR 

renewal (also based on NACCA input), is the addition of a separate entry for 

EPA program oversight (e.g., formal EPA response to public petitions), as 

described in section 4.2.2, because of increased EPA efforts in this area in 

recent years. Other activities in the table remain unchanged from the last 

ICR renewal.

TABLE 2

AVERAGE SOURCE BURDEN BY ACTIVITY

ACTIVITY BURDEN PER SOURCE OR PERMIT (Hours)

Prepare Application 300

Draft Permits Interaction 40

Gap-filling Monitoring Development 40

Public Hearing Participation 10

Operate Gap-filling Periodic Monitoring 200

Prepare Monitoring Reports 80

Permits Revisions

 Significant Permit Modifications(10% of Permits)

 Minor Permit Modifications (50% of Permits)

 Administrative Amendments (50% of Permits)

80

40

8

Re-application of General Permit 2

Permit Renewal 200

Other Activities 20
18

TABLE 3

PERMITTING AUTHORITY BURDEN BY ACTIVITY

ACTIVITY BURDEN PER PERMIT OR PROGRAM (Hours)

Program Administration 3,500 / PA

Permit Application Review 100 / permit

Draft Permits Preparation 150 / permit

Comment Period Notification 10 / permit

Hold Public Hearings 100 / hearing

Interaction with EPA 20 / permit

Analyze Public Comments 40 / permit

Permits Issuance 8 / permit

General Permits 80 / PA

Permit Revision

 Significant Permit Modification

 Minor Permit Modification

 Administrative Amendment

90/ permit

30 / permit

5 / permit

Permits Renewal 90 / permit

Renew General Permits 10 / permit 

Review Monitoring and Compliance Certification 

Reports

5 / report / permit

Annual Enforcement Activity Reporting 40 / PA

TABLE 4

EPA ACTIVITIES

ACTIVITIES BURDEN HOURS PER PERMIT / PROGRAM

Review Proposed Permits*

 New Permits

 Significant Permit Modifications

 Minor Permit Modifications

20 / permit

8 / revision

1 / revision

Consultation

 New Permits (25%)

 Significant Permit Modifications (25%)

 Minor Permit Modifications (25%)

8 / permit

8 / permit

1 / permit

Program Oversight 50 / program / year

Review the Annual Enforcement Activity Reports 10 / report

* Includes the burden for review of periodic monitoring
19

Historically, the Agency had assumed 70% of all source burden categories 

would be performed in-house, with the remaining 30% delegated to 

contractors.3 However, this renewal incorporates the previous ICR 

reassessment of that assumption, which is based on allocation of contractor 

support for only the initial permit application task. This analysis assumes 

one-third of the source's initial permit application preparation would be 

performed by contracted labor. The remainder of the source's tasks would 

be done entirely in-house. 

In the 2000 ICR renewal, EPA determined source wage rates based on data 

from the 1997 Statistical Abstract of the United States, adjusted to 1999 

dollars using the Employment Cost Index (ECI). The Agency estimated the 

total hourly cost of in-house labor using the wage rates for technical support 

staff (at full time), administrative staff (at one-eleventh time), and 

administrative support staff (at one-eighth time), adding in the costs for 

benefits, sick leave/vacation, and general overhead. The resulting hourly 

cost was $32 per hour for in-house labor. In the 2004 ICR renewal, EPA 

calculated an updated hourly cost for in-house labor using the same 

methodology. At that time, the hourly cost was $34 per hour.

For this ICR renewal, the Agency was unable to duplicate the methodology 

used in 2000 and 2004 because the Bureau of the Census has changed the 

data reported in the Statistical Abstract of the United States. Instead, EPA 

updated the hourly cost for in-house labor by adjusting the 2004 value (in 

2003 dollars) to 2006 dollars using the ECI for white-collar workers in

private industry. This calculation resulted in an hourly cost of $38 for inhouse labor as detailed below in Table 5.

 

3 United States Environmental Protection Agency, Regulatory Impact 

Analysis and Regulatory Flexibility Act Screening for Operating Permits 

Regulations, EPA-450/2-91- 011, June 1992, pp. 16-17.

6.3 Estimating Costs

6.3.1 Estimating 

Source Costs
20

TABLE 5

DETERMINATION OF SOURCE IN-HOUSE BURDEN COSTS 

ECI factor ECI

ECI Cost Cost 2006

2003

2005

2006 2003

* *



















 *1.029

172.0

183.8

 $34.40 / hour *

  $37.83/ hour

ECI2003 and ECI2005 from U.S. Census Bureau, Statistical Abstract of the United States, 2007, Table 632, Private 

industry workers, white-collar occupations. Available at 

www.census.gov/compendia/statab/labor_force_employment_earnings/compensation_wages_and_earnings/

ECI2006factor from U.S. Department of Labor, Bureau of Labor Statistics at www.bls.gov/new.release/eci.t05.htm. Index 

for September 2006 relative to December 2005 for private industry workers, white-collar occupations excluding sales.

For contracted labor, operating permit management and reporting require 

the same skills employed by the EPA's consultants. For the 2000 ICR, as an 

estimation of a source's consulting costs, the Agency averaged the fully

loaded cost of three environmental contractors at the PL 2 (secretarial 

support), PL 3 (technical), and PL 4 (administration) levels, applying the

methodology employed below in Table 6 for establishing a Federal and PA 

FTE wage rate. The fully loaded hourly cost calculated at that time for 

Industry-hired consultants is $268 (1999 dollars). Therefore, the hourly rate 

for preparing the initial permit application was set at $111 for the 2000 ICR 

(1/3 of $268 plus 2/3 of $32). All other source tasks were estimated using 

the in-house hourly cost of $32 per hour. 

Because of the confidential nature of the values used to estimate contractor 

hourly costs, the exact methodology was not documented in the 2000 ICR. 

As a result, for the 2004 ICR renewal EPA used the ECI to update the 

hourly cost for preparing initial permit applications, calculating a value of 

$131 per hour. For the current ICR renewal, EPA has used the same 

approach. The Agency used the methodology detailed above in Table 5, 

except that we started with the value in 1999 dollars ($111 per hour) and 

used the ECI for 1999 (146.9) in place of the ECI for 2003. This resulted in 

an hourly cost for preparing an initial permit application of $143. All other 

source tasks are estimated at the in-house hourly cost of $38 per hour, as 

discussed above.

Historically, the Agency applied a $34 per hour rate for Federal and State 

full time employee (FTE) wage rates. During the development of the ICR 

for the part 71 Federal Operating Permit Regulations, the Agency was 

instructed by the Office of General Council (OGC) to compute more 

accurate estimations of these hourly costs. To determine the appropriate 

6.3.2 Estimating PA 

and Agency Costs
21

hourly wage to apply to the burden estimation for each respondent, OGC 

instructed the Agency to assume the appropriate FTE rate to apply would be 

a GS-11 Step 3, fully loaded to account for overhead, benefits, and all other 

appropriate costs. To fully incorporate the cost of that FTE's support staff 

and managerial costs, the Agency also assumed one-eleventh of a manager's 

time (at a GS-13, Step 3 level), and one-eighth of a secretary's time (at a 

GS-6, Step 6 level). Applying the same process for this ICR renewal, the 

Agency has determined the appropriate cost of Federal and permitting 

authority burden at $45 per hour. Table 6 displays the calculation of this 

rate. 

TABLE 6

DETERMINATION OF FEDERAL AND PERMITTING AUTHORITY BURDEN COSTS

Annual Salary of Permit Staff, GS 11 Step 3 (FY 06 Schedule)* $49,269.00

Annual Cost of Supervisory Staff, GS 13 Step 3 (FY 06 Schedule )* $70,220.00

 Factor (1/11) 0.09

 $6,319.80

Annual Cost of Admin. Support Staff, GS 6 Step 6 (FY 06 Schedule)* $32,765.00

 Factor (1/8) 0.13

 $4,259.45

Annual Applicable Salary of Permit Staff $59,848.25

Benefits (at 16%) $9,575.72

 

Sick Leave/Vacation (at 10%) $5,984.83

General Overhead $18,511.67

Total Cost Per FTE $93,920.47

Total Hourly Cost (Total Per FTE divided by 2,080 hours per year) $45.15

* http://www.opm.gov/oca/06tables/html/gs.asp, January 4, 2007

Table 7 lists the burden categories for respondent sources, the number of 

estimated occurrences for each item, and the expected cost for each, based 

on the burden estimations from Table 2. 

Table 8 lists the burden categories for respondent permitting authorities, the 

expected number of permits or programs involved, and the expected cost for 

each, based on the burden estimations from Table 3. 

Table 9 lists the burden categories for Federal (EPA) activities, the number 

of estimated permits or programs involved, and the expected cost for each, 

based on the burden estimations from Table 4. 
22

TABLE 7

THE BURDEN AND COST OF SOURCE ACTIVITIES FOR THE 3-YEAR ICR PERIOD

ACTIVITY BURDEN HOURS 

PER PERMIT

RATE PER HOUR AFFECTED 

PERMITS

TOTAL 

BURDEN 

(HOURS)

TOTAL COST 

($2006)

Prepare Application 300 $143 150 45,000 $6,435,000

Draft Permit 40 $38 323 12,920 $490,960

Gap Filling Monitoring 

Development 40 $38 162 6,480 $246,240

Public Hearing Participation 10 $38 6 60 $2,280

Operate Gap Filling Monitoring

 Year 1

 Year 2

 Year 3

200 $38

8,248

8,302

8,356

1,649,600

1,660,400

1,671,200

4,981,200

 $62,684,800

 $63,095,200

 $63,505,600

$189,285,600

Prepare Monitoring Reports

 Year 1

 Year 2

 Year 3

80 $38

16,495

16,603

16,711

1,319,600

1,328,240

1,336,880

3,984,720

 $50,144,800

 $50,473,120

 $50,801,440

$151,419,360

Permit Revisions

 Significant Permit Modification

 Year 1

 Year 2

 Year 3

 Minor Permit Modifications

 Year 1 

 Year 2

 Year 3

 Administrative Amendments

 Year 1

 Year 2

 Year 3

80

40

8

$38

1,383

1,394

1,404

4,181

 6,914

 6,968

 7,022

20,904

 6,914

 6,968

 7,022

20,904

110,640

111,520

112,320

334,480

276,560

278,720

280,880

836,160

 55,312

 55,744

 56,176

167,232

 $4,204,320

 $4,237,760

 $4,268,160

$12,710,240

$10,509,280

$10,591,360

$10,673,440

$31,774,080

$2,101,856

$2,118,272

$2,134,688

$6,354,816

General Permit Renewal 2 $38 1,867 3,734 $141,892

Permit Renewal 200 $38 9,801 1,960,200 $74,487,600

Other Activities 20 $38 9,801 196,020 $7,448,760

Totals 12,528,206 $480,796,828
23

TABLE 8

THE BURDEN AND COST OF PERMITTING AUTHORITY ACTIVITIES FOR THE 3-YEAR ICR PERIOD

ACTIVITY Burden Hours 

per Permit

Affected Permits or 

Programs

Total Burden (Hours) Total Cost 

($2006)

Program Administration 3,500 112 programs 1,176,000 $52,920,000

Permit Application Review 100 150 15,000 $675,000

Draft Permit Preparation 150 323 48,450 $2,180,250

Comment Period Notification 10 323 3,230 $145,350

Public Hearing 100 6 600 $27,000

Interaction with EPA 20 323 6,460 $290,700

Analyzing Public Comments 40 6 240 $10,800

Permit Issuance 8 323 2,584 $116,280

General Permits Administration 80 112 programs 26,880 $1,209,600

Permit Revisions

 Significant Year 1

 Year 2

 Year 3

90

1,383

1,394

1,404

4,181

124,470 

125,460

126,360

376,290 $16,933,050

 Minor Year 1

 Year 2

 Year 3

30 6,914

 6,968

 7,022

20,904

207,420

209,040

210,660

627,120 $28,220,400

 Administrative Year 1

 Year 2

Year 3

5 6,914

 6,968

 7,022

20,904

 34,570

34,840

 35,110

104,520

1,107,930

$4,703,400

$49,856,850

Permit Renewals 90 9,801 882,090 $39,694,050

Review General Permits 10 1,867 18,670 $840,150

Review Monitoring and Compliance 

Certification Reports

 Year 1

 Year 2

 Year 3

15

15

15

16,495

16,603

16,711

247,425

249,045

250,665

747,135

$11,134,125

$11,207,025

$11,279,925

$33,621,075

Annual Enforcement Activity Reporting 40 112 programs 13,440 $604,800

Totals 4,048,709 $182,191,905
24

TABLE 9

THE BURDEN AND COST OF EPA ACTIVITIES FOR THE 3-YEAR ICR PERIOD

ACTIVITY Burden Hours Affected Permits or 

Programs 

Total Burden (Hours) Total Cost 

($2006)

Review Permits and Revisions

 New Permits

 Renewals

 Significant Permit Revisions Year 1

 Year 2

Year 3

 Minor Permit Revisions Year 1

 Year 2

Year 3

20

20

8

1

81

490

1,383

1,394

1,404

4,181

 6,914

 6,968

 7,022

20,904

1,620

9,800

11,064

11,152

11,232

33,448

 6,914

 6,968

7,022

20,904

$72,900

$441,000

 $497,880

 $501,840

 $505,440

$1,505,160

$311,130

$313,560

$315,990

$940,680

Consult with PA

 New Permits

 Significant Permit Revisions Year 1

 Year 2

Year 3

 Minor Permit Revisions Year 1

 Year 2

 Year 3

8

8

1

81

 346

 348

 351

1,045

1,729

1,742

1,755

5,226

648

2,768

2,784

2,808

8,360

1,729

1,742

1,755

5,226

$29,160

$124,560

$125,280

$126,360

$376,200

$77,805

 $78,390

 $78,975

$235,170

Program Oversight 50 112 programs 16,800 $756,000

Review the Annual Report 10 112 3,360 $151,200

Totals 100,166 $4,507,470

Tables 2, 3, and 4 display the activities of the part 70 program for sources, 

permitting authorities, and Federal government (EPA), respectively. Table

5 explains the derivation of the hourly cost of in-house labor for sources, 

and Table 6 gives the derivation of hourly costs for permitting authorities 

and EPA. Tables 7, 8, and 9 display the total burden and costs associated 

with each of these categories. Table 10 below summarizes the costs for all 

three types of affected entities in 2006 dollars. 

6.3.3 Bottom Line 

Burden Hours 

and Costs
25

TABLE 10

BOTTOM LINE BURDEN AND COST (2007-2010)

Number of 

Affected 

Entities

Total ICR (3-

Year) Burden 

Hour

Average Annual 

Burden Per 

Respondent

Average Annual 

Burden Per 

Source

Total ICR (3-

Year) Cost 

($2006)

Average Annual 

Cost Per 

Respondent 

($2006)

Average 

Annual Cost 

Per Source

Sources 16,818 12,528,206 248 248 $480,796,828 $9,529 $9,529

PAs 112 4,048,709 12,050 80 $182,191,905 $452,238 $3,611

Federal 1 100,166 33,389 2 $4,507,470 $1,502,490 $89

Total 16,677,081 NA NA $667,496,203 NA NA

Table 10 displays the expected burden and cost for sources, permitting 

authorities, and the Federal government for implementation of the title V 

Operating Permits Program between July 2007 and June 2010. Of the 16.7

million hours the Agency anticipates it will take to perform all the functions 

required by title V, about 3/4 of the burden applies to sources. However, the 

magnitude of the total expected burden can be misleading, due to the 

number of permitted sources. For the 16,818 sources included in this 

analysis, the average expected burden is relatively small – just over 6 weeks 

of a full time employee's time. Likewise, the cost associated with that 

burden is also small - about $9,500.

Permitting authorities incur about 24 percent of the burden in Table 10, with 

the total burden spread between a significantly smaller number of entities 

than for sources. On average, the Agency estimates the PA burden 

associated with the title V Operating Permits Program will be about 

12,000 hours per year. However, for some permitting authorities with 

relatively fewer sources (Connecticut, Wyoming, etc.), this average burden 

will exceed their actual burden; and, for permitting authorities with more 

than the average number of sources (Louisiana, Texas, etc.), the average 

burden will be too low. A better measure of the effect of title V regulations 

on permitting authorities would be to divide the total estimated hours by the 

number of operating permits. On average, each PA can expect to spend 

about 80 hours per year managing and overseeing each permit in its

jurisdiction, at a cost of approximately $3,600 per permit. However, this 

cost cannot be considered an Unfunded Mandate from the Federal 

government, because the net cost to permitting authorities for their 

management of an operating permits program must, by law, be passed on to 

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

permit management costs. Therefore, the true annual cost to permitting 
26

authorities under title V is zero, and the true annual cost to sources is $221

million, or approximately $13,100 per permit. 

The part 70 program has been evolving since its inception, beginning with 

promulgation of the part 70 regulations in 1992. Consequently, the activities 

associated with implementing the part 70 program have changed since the 

previous ICR. State and local permitting authorities first developed their 

programs and submitted them to EPA for approval. This activity occurred 

over several years during which approved programs were beginning to be 

implemented by first having sources submit permit applications. As the later 

program submissions were being approved, some agencies were in the early 

stages of issuing permits. As of the beginning of this ICR, all programs are 

approved and essentially all permit applications have been submitted to the 

permitting authorities. 

With the experience gained through program implementation, EPA and 

permitting authorities have a better sense of the activities associated with the 

program and the burden of those activities. The activities in this ICR have 

been developed based on this knowledge. The burden (in hours) in this ICR 

can be accurately compared to the approved burden levels in its predecessor 

on an activity-by-activity basis, since these burdens are independent of 

changes in the wage rates used to compute the costs for each activity.

The approved burden level in the previous ICR was 4.0 million hours per 

year for sources, 1.1 million burden hours per year for permitting 

authorities, and 28 thousand hours for Federal oversight; for a total of 

5.1 million hours. Table 11 compares the burden in the previous ICR with 

the burden in this ICR. The change in burden is an increase from the 

previous ICR due primarily to changes in levels of program activities that 

have occurred as a result of evolution of the program and secondarily due to 

changes in burden estimates for permitting authorities and EPA. These 

changes would be considered "adjustments." 

For permitting authorities, there is a slight overall increase in burden during 

the 3-year period of this ICR. The burden for program development and 

review of initial permit applications for existing sources has ended because 

these activities have largely been completed. However, these reductions are 

more than offset by activities that will increase, such as preparation of 

renewal permits (including responding to objections), processing of permit 

revisions, and review of semi-annual monitoring and annual compliance 

reports. 

6.4 Changes in the 

Burden
27

TABLE 11

BURDEN CHANGE FROM NOVEMBER 2004 ICR TO CURRENT ICR

Average Annual 

Burden in November 

2004 ICR

Average Annual 

Burden in ICR 

Renewal

Difference

Sources 3,978,858 4,176,069 197,211

PAs 1,130,690 1,349,570 218,880

Federal 28,294 33,389 5,095

TOTAL 5,137,842 5,559,028 421,186

The primary reason hourly burden has increased for sources during this ICR 

period is because, as initial permits are approaching expiration, sources will 

be preparing applications for renewal permits. In addition, in this analysis, 

we are using a lower, more accurate estimate of the number of general 

versus single-source permits (16% as compared to 20% assumed for past 

ICRs). In addition, an increase in the overall number of sources with 

permits results in a corresponding increase in monitoring activities, in 

permit revisions, and in preparing and submitting semi-annual monitoring 

reports and the annual compliance certification report.

As previously noted, it is impractical to attempt to delineate burden by

respondent and activity due to the large number of respondents, the variation 

in the circumstances for each respondent, and the varied nature of the 

activities of the program. Following in Table 12 is the apportioned burden 

for each type of respondent. This is derived from the total permitting 

authority hourly burden divided by the number of permitting authorities, and 

similarly for sources. 

TABLE 12

BURDEN STATEMENT

Number of 

Respondents

Total Annual 

Burden

Average Annual 

Burden per 

Respondent

Average Annual 

Burden per 

Source

Source 16,818 4,176,069 248 248

PAs 112 1,349,570 12,050 80

Federal 1 33,389 33.389 2

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 

6.5 Burden 

Statement
28

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 are listed in 40 CFR part 9 and 48 CFR chapter 15. 

To comment on the Agency's need for this information, the accuracy

of the provided burden estimates, and any suggested methods for 

minimizing respondent burden, including the use of automated collection 

techniques, EPA has established a public docket for this ICR under Docket 

ID Number EPA-HQ-OAR-2004-0015, which is available for online 

viewing at www.regulations.gov, or in person viewing at the Air and 

Radiation Docket and Information Center in the EPA Docket Center 

(EPA/DC), EPA West, Room 3334, 1301 Constitution Avenue, NW, 

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

from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal 

holidays. The telephone number for the Reading Room is (202) 566-1744, 

and the telephone number for the Air and Radiation Docket and Information 

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

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

public comments, access the index listing of the contents of the public 

docket, and 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-2004-

0015and OMB Control Number 2060-0243 in any correspondence.

 
29

ATTACHMENT 1

ASSUMPTIONS FOR PART 70 ICR RENEWAL
30

ASSUMPTIONS

TIME PERIOD OF ICR

The time period covered by this ICR is July 1, 2007 to June 30, 2010

SOURCE POPULATION

1. Total population of title V sources as of September 2006 = 16,643

o An additional 25 sources will be added to the program by

July 2007.

o Source populations at the beginning of ICR will be 16,643 + 

25 = 16,668

o This ICR projects that 50 additional sources will become 

subject to title V each year increasing the population as 

follows:

2. Source population at the end of June 2008 = 16,668 + 50 = 16,718

3. Source population at the end of June 2009 = 16,718 + 50 = 16,768

4. Source population at the end of June 2010 = 16,768 + 50 = 16,818

INITIAL PERMIT ISSUANCE BACKLOG

5. The total backlog of existing sources that had not received their initial 

permits was 202 sources as of September 2006 (16,643 minus 16,441 

permits issued).

6. Assume that all backlogged initial permits will be issued between 

September 2006 and June 2010.

o Between September 2006 and July 2007 (when this ICR 

begins), an estimated 29 backlogged initial permits will be 

issued.

o Thus, over the period of this ICR, 173 backlogged permits 

will remain to be issued.

o Assume that 58 backlogged permits will be issued during the 

first year of the ICR, 58 in the second year, and 57 in the 

third year.

GENERAL PERMITS

7. Assume by July 2007, 16% of all sources (2,667) will be covered by 

general permits. This is because general permits are usually the first to be 

issued and, therefore, it is appropriate to assume that all existing sources 

eligible for general permits would be covered by the beginning of the ICR 

period.

8. Assume that none of the backlogged permits or permits for newly subject

sources issued during the period of this ICR will be general permits.
31

9. Assume 16% of all expired permits (11,668) will be renewed as general 

permits (1,867)

NEW SOURCES

EPA estimates there will be approximately 50 new major sources 

nationwide applying for a title V permit each year during the term of this 

ICR (150 total for the 3 years of this ICR). For this ICR, it is assumed these 

permits will be issued equally during the three years of this ICR (i.e., 50 

permits per year).

SINGLE-SOURCE, INITIAL PERMITS ISSUANCE RATE 

ACCOUNTING FOR GENERAL PERMITS AND NEW SOURCES

10. Single-source permits (i.e., not general permits) which will be subject to 

the full permit issuance process

o 173 existing (i.e., backlogged) sources will be issued 

single-source permits during the period of the ICR 

(58 in year 1, 58 in year 2, and 57 in year 3)

o 150 single-source permits issued to new sources in 

years 1, 2, & 3 of the ICR (50 per year)

11. Summary of single-source initial permit issuance by year

o Year 1 - 108 permits

o Year 2 - 108 permits

o Year 3 - 107 permits

PERMIT REVISION RATES

12. Sources covered by general permits will not apply for permit revisions

13. 16,441 sources were covered by permits as of September 2006

14. An additional 54 sources will be issued permits between September 

2006 and July 2007

15. 2,667 sources or 16% of the source population will be covered under 

general permits by July 2007 (i.e., all backlogged existing sources will need 

single-source permits)

16. Number of single-source permits issued by the beginning of this ICR 

(i.e., July 2007) for which permit revisions may be made during year 1 of 

this ICR:

o 16,495 permits were issued by July 2007

o 2,667 sources are covered by general permits by July 2007

o 16,495 – 2,667 = 13,828 single-source permits issued by July

2007

17. Single-source permits issued as of beginning of year 2 (i.e., through June

2008) of this ICR (for which permit revision may be made during year 2) is 
32

108 issued during year 1 plus the 13,828 already issued = 13,936 singlesource permits

18. Single-source permits issued as of beginning of year 3 (i.e., through June

2009) of this ICR (for which permit revision may be made during year 3) is 

108 issued during year 2 plus the 13,936 already issued = 14,044 singlesource permits 

19. Summary:

o Permits for which revisions may be made during year 1 –

13,828

o Permits for which revisions will be made during year 2 –

13,936

o Permits for which revisions will be made during year 3 -

14,044

PERMIT RENEWAL

20. Data indicate that there was a permit renewal backlog of 8,552 permits 

as of September 2006.

21. Assume that these backlogged renewals will be issued during the period 

of this ICR (2,851 in year 1, 2,851 in year 2, and 2,850 in year 3).

22. An additional 1,563 permits will become due for renewal during year 1 

of this ICR. Thus, a total of 4,414 permits will be renewed during the first 

ICR year (1,563 newly due plus 2,581 backlogged renewals). Assume 16%

or 706 (0.16 * 4,414) sources covered by general permits, leaving 3,708

single-source permit renewals during year 1 of this ICR.

23. An additional 859 sources will be newly up for renewal between July

2008 and June 2009. With 2,851 backlogged sources, there will be a total of 

3,710 renewals in year 2. Assume 16% or 594 are sources covered by 

general permits, leaving 3,116 single-source permit renewals during year 2 

of this ICR.

24. An additional 694 sources will be newly up for renewal between July

2009 and June 2010. With 2,850 backlogged sources, there will be a total of 

3,544 renewals in year 3. Assume 16% or 567 are sources covered by 

general permits, leaving 2,977 single-source permit renewals during year 3 

of this ICR.

25. Summary:

o 4,414 + 3,710 + 3,544 = 11,668 total sources covered by 

renewal permits of which 0.16*11,668 = 1,867 are general 

permits

o 11,668 - 1,867 = 9,801 single-source permits which will have 

to be renewed during this ICR period (3,708 in year 1, 3,116

in year 2, and 2,977 in year 3)
33

SOURCES REPORTING MONITORING AND COMPLIANCE 

STATUS

All sources with issued permits (including those covered by general 

permits) will report monitoring data semi-annually and compliance 

certifications annually. Sources with issued permits are as follows:

26. 16,495 sources will be covered by issued permits at the beginning of this 

ICR and will be submitting reports during year 1 of this ICR.

27. 108 additional sources will be covered by permits issued in year 1. 108

+ 16,495 sources already covered by permits = 16,603 sources that will be 

covered by permits by the beginning of year 2 and will be submitting reports 

during year 2.

28. 108 additional sources will be covered by permits issued in year 2. 108

+ 16,603 sources already covered by permits = 16,711sources that will be 

covered by permits by the beginning of year 3 and will be submitting reports 

during year 3.

SYNTHETIC MINOR PERMITS

All synthetic minor permits had been issued prior to July 2007 so no 

burden is included during the term of this ICR.

PERMIT APPLICATIONS

During the period of this ICR, it is assumed 150 new sources will 

submit applications for initial title V permits.

SUMMARY OF TABLE OF ASSUMPTIONS

ITEM NUMBER COMMENTS 

Number of sources 

subject to part 70

16,668 At the beginning of this 

ICR (July 2007)

Number of sources 

already issued permits at 

the beginning of this ICR

16,495 (13,828 singlesource)2,667 sources covered by 

general permits

Number of backlogged 

permits for existing 

sources

173 Single-source permits to 

be issued for all; 1/3 per 

year
34

ITEM NUMBER COMMENTS 

Number of sources which 

will become subject to 

part 70 during this ICR

150 50 each year 

Sources issued permits in 

year 1 of this ICR

108 (all single-source) Single-source permits for 

58 existing sources and 

50 new sources

Sources issued permits in 

year 2 of this ICR

108 (all single-source) Single-source permits for 

58 existing sources and 

50 new sources

Sources issued permits in 

year 3 of this ICR

107 (all single-source) Single-source permits for 

57 existing sources and 

50 new sources

Total issued permits 

during this ICR

323 (all single-source) 108 single-source permits 

in year 1, 108 singlesource permits in year 2, 

107 single-source permits 

in year 3

Total issued permits ICR 

Years:

N/A All are single-source

permits

o Year 1 13,828 Single-source permits 

issued at beginning of ICR

o Year 2 13,936 13,828 already issued plus 

108 single-source permits 

issued in year 1

o Year 3 14,044 13,936 already issued plus 

108 single-source permits 

issued in year 2

Permits subject to 

renewal:

N/A 11,668 total including 

8,552 sources in backlog

o Year 1 4,414 3,708 single & 706

general

o Year 2 3,710 3,116 single & 594

general

o Year 3 3,544 2,977 single & 567

general

Applications for initial 

permits submitted during 

this ICR

150 150 new sources 
35

ITEM NUMBER COMMENTS 

Sources submitting semiannual monitoring and 

annual compliance 

certification reports

N/A From all sources, 

including those covered 

under general permits

o Year 1 16,495

o Year 2 16,603

o Year 3 16,711

General Permits Subject 

to Renewal 

1,867 16% of all (11,688)

general permits
36

ATTACHMENT 2

WORKSHEETS FOR BURDEN ESTIMATES
37

WORKSHEETS

The EPA contacted respondents from the regulated community and EPA Regional 

Offices to obtain information to be used as the basis for calculating burden hour estimates 

for implementing the part 70 regulations. The respondents are listed in section 3.3. 

Tables 1, 2, and 3 below are the worksheets used for calculating burden estimates.

TABLE 1

PERMITTING AUTHORITY ACTIVITIES

ACTIVITY BURDEN PER 

INDIVIDUAL 

PERMIT OR 

PROGRAM 

COMMENTS* TOTAL 

PROGRAM 

BURDEN FOR 3 

YEARS 

Program administration: 

Responding to inquiries 

about the program, 

developing internal and 

external program guidance, 

planning, attending program 

training, permit fee 

collection, providing source 

training, attending EPA 

meetings and conferences, 

providing public education, 

and other program related 

activities.

3,500 hrs. per 

agency

112 agencies 392,000 hrs. per 

year 1,176,000 for 

3 years of ICR

Reviewing a permit 

application, including 

discussions with a source 

concerning the permit 

application.

100 hrs./permit Assume 150 

new sources 

will submit 

permit 

applications 

nationwide

15,000 for 3 years 

of ICR

Preparing a draft permit, 

including contact with the 

source.

150 hrs./permit 323 permits 

issued during 

3-year ICR 

time period

48,450 for 3 years 

of ICR

Providing notice to the 

public, EPA, and affected 

States of the comment 

period on a draft permit.

10 hrs./permit 323 draft 

permits during 

ICR time 

period

3,230 for 3 years 

of ICR
38

ACTIVITY BURDEN PER 

INDIVIDUAL 

PERMIT OR 

PROGRAM 

COMMENTS* TOTAL 

PROGRAM 

BURDEN FOR 3 

YEARS 

Holding a public hearing on a 

permit.

100 hrs./hearing Assume a 

hearing for 1 in 

50 of the 323

new singlesource permits 

(i.e., 6

hearings)

600 for 3 years of 

ICR

Interaction with EPA on a 

proposed permit, including 

negotiations, re-drafting, and 

formal EPA objections 

(including those attributable 

to public petitions).

20 hrs./permit 323 proposed 

permits during 

ICR time 

period

6,460 for 3 years 

of ICR

Analyzing public comments 

and revising the permit 

accordingly

40 hrs./permit Assume 

comments on 1 

in 50 permits

(i.e., 6 permits)

240 for 3 years of 

ICR

Issuing the permit, including 

web activities and source 

notification.

8 hrs./permit 323 new 

permits issued 

during ICR 

time period

2,584 for 3 years 

of ICR

Administering general 

permits (Burden for issuing 

general permits included with 

other permit issuance 

burden)

80 hrs. per agency 

per year

112 agencies 8,960 hrs. per 

year 26,880 for 3 

years of ICR

Revising a permit. N/A Number of 

issued singlesource permits: 

year 1-13,828; 

year 2 -13,936; 

year 3 -14,044

N/A

• Significant (1 out of every 

10 issued permits per year)

90 hrs. each Significant 

permit 

modifications: 

1,383 - yr 1; 

1,394 - yr 2; 

1,404 - yr 3

Hours: 

124,470 - yr 1 

125,460 - yr 2 

126,360 - yr 3 

376,290 for 3 

years of ICR
39

ACTIVITY BURDEN PER 

INDIVIDUAL 

PERMIT OR 

PROGRAM 

COMMENTS* TOTAL 

PROGRAM 

BURDEN FOR 3 

YEARS 

• Minor (1 out of every 2 

issued permits per year)

30 hrs. each Minor permit 

modifications: 

6,914 - yr 1; 

6,968 - yr 2; 

7,022 - yr 3

Hours: 207,420 -

yr 1, 209,040 - yr 

2, 210,660 - yr 3, 

627,120 for 3 

years of ICR

• Administrative (1 out of 

every 2 issued permits per 

year)

5 hrs. each Administrative 

amendments: 

6,914 - yr 1; 

6,968 - yr 2; 

7,022 - yr 3

Hours: 34,570 - yr 

1, 34,840 - yr 2, 

35,110 - yr 3, 

104,520 for 3 

years of ICR

Renewing a single-source

permit (reviewing application, 

drafting any changes, public 

notice, issuance).

90 hrs./permit 

renewal

9,801 renewals 

during ICR 

term

882,090 for 3 

years of ICR

Renewing a general permit 10 hrs./general 

permit renewal

1,867 general 

permit 

renewals

18,670 for 3 years 

of ICR

Reviewing two semiannual 

monitoring reports, and the 

annual compliance 

certification.

15 hrs./permit (5 

hrs. each)

All permits: 

year 1 -

16,495; year 2 

- 16,603; year 

3 – 16,711

Hours: 247,425 -

yr. 1, 249,045 - yr. 

2, 250,665 - yr. 3, 

747,135 for 3 

years of ICR

Preparing and submitting to 

EPA annually a report of the 

State’s enforcement 

activities.

40 hrs./agency 112 agencies 4,480 hrs. per 

year, 13,440 for 3 

years of ICR

*See the Assumptions in Attachment 1 for the derivation of some of these numbers.

TOTAL BURDEN HOURS FOR PERMITTING AUTHORITIES:

4,048,709 hours for 3 years/3 = 1,349,570 hours per year
40

TABLE 2

SOURCE ACTIVITIES

ACTIVITY BURDEN PER 

SOURCE 

COMMENTS* TOTAL PROGRAM 

BURDEN FOR 3 

YEARS 

Preparing a permit 

application, including 

internal meetings, 

permitting authority 

discussions, 

management and legal 

department 

management and legal 

department 

certification, contractor 

services.

300 hrs. Assume 150 

permit applications 

during 3 years of 

ICR

45,000 for 3 years of 

ICR

Interaction with the 

permitting authority on 

draft permit 

development.

40 hrs. Assume 323 new

single-source 

permits issued 

during 3 years of 

ICR

12,920 for 3 years of 

ICR

Development of 

periodic monitoring 

gap-filling. 

40 hrs. per source Assume gap-filling 

for 50% of 323 

single-source 

permits issued 

during 3 years of 

ICR (i.e., 162) 

6,480 for 3 years of 

ICR 

Public hearing 

participation

10 hrs. (1 in 50 

single-source

permits get 

hearing)

323 single-source 

permits during ICR 

period, 1 in 50 = 6

sources

60 for 3 years of ICR

Operation of gap-filling 

periodic monitoring 

(annual burden to 

operate monitors, keep 

records, etc.).

200 hrs. per year Assume gap-filling 

for 50% of all 

permits: 

8,248 - yr. 1 

8,302 - yr. 2 

8,356 - yr. 3

Hours: 1,649,600 -

yr. 1, 1,660,400 - yr. 

2, 1,671,200 - yr 3, 

4,981,200 for 3 years 

of ICR
41

ACTIVITY BURDEN PER 

SOURCE 

COMMENTS* TOTAL PROGRAM 

BURDEN FOR 3 

YEARS 

Preparing semi-annual 

monitoring data 

reports, including data 

analysis, responsible 

official certification, 

and report submission 

(annual burden for 

both reports). Include 

preparing and 

submitting annual 

compliance 

certification. 

80 hrs. per year All issued permits: 

16,495 - yr. 1 

16,603 - yr. 2 

16,711 - yr. 3

Hours: 1,319.600 -

yr. 1, 1,328,240 - yr. 

2, 1,336,880 - yr. 3, 

3,984,720 for 3 years 

of ICR

Preparing application for permit revisions

• Significant permit 

modifications (1 out of 

every 10 single-source 

permits per year)

80 hrs. each Significant permit 

revisions: 

1,383 - yr 1 

1,394 - yr 2 

1,404 - yr 3

Hours: 110,640 - yr. 

1, 111,520 - yr. 2, 

112,320 - yr. 3, 

334,480 for 3 years 

of ICR

• Minor permit 

modifications (1 out of 

every 2 single-source 

permits per year)

40 hrs. each Minor permit 

modifications: 

6,914 - yr. 1 

6,968 - yr. 2 

7,022 - yr. 3

Hours: 276,560 - yr. 

1, 278,720 - yr. 2, 

280,880 - yr. 3, 

836,160 for 3 years 

of ICR

• Administrative 

amendments (1 out of 

every 2 single-source 

permits per year)

8 hrs. each Administrative 

amendments: 

6,914 - yr. 1 

6,968 - yr. 2 

7,022 - yr. 3

Hours: 55,312 - yr. 1, 

55,744 - yr. 2, 

56,176 - yr. 3, 

167,232 for 3 years 

of ICR

Preparing an 

application for singlesource permit renewal

200 hrs. 9,801 renewals 

during ICR term

1,960,200 for 3 years 

of ICR

Re-applying for 

coverage under a 

general permit

2 hrs. 1,867 sources 3,734 for 3 years of 

ICR
42

ACTIVITY BURDEN PER 

SOURCE 

COMMENTS* TOTAL PROGRAM 

BURDEN FOR 3 

YEARS 

Other activities 

associated with permit 

renewal, including 

discussions with 

permitting authority 

and public hearing 

participation.

20 hrs. 9,801 renewals 

during ICR term

196,020 for 3 years 

of ICR

*See the Assumptions in Attachment 1 for the derivation of some of these numbers.

TOTAL BURDEN HOURS FOR SOURCES:

12,528,206 hours for 3 years/3 = 4,176,069 hours per year

PROGRAM TOTAL

4,048,709 hours (permitting authorities) + 12,528,206 hours (sources) = 16,576,915 total 

hours for 3 years

16,576,915 total hours/3 = 5,525,638 hours per year for permitting authorities and sources 

to implement the part 70 program.

 
43

TABLE 3

EPA ACTIVITIES

ACTIVITY BURDEN PER 

INDIVIDUAL 

PERMIT OR 

PROGRAM 

COMMENTS TOTAL 

PROGRAM 

BURDEN FOR 3 

YEARS 

Review proposed 

permits and permit 

revisions to 

determine if they 

provide for 

compliance with all 

applicable 

requirements.

N/A N/A N/A

• New permits 20 hrs. per new 

permit

Review 25% of 323

permits issued

during ICR term 

(81 permits)

1,620 for 3 years 

of ICR

• Significant permit 

revision

8 hrs. per revision Review all 

Revisions: 

1,383 - yr. 1 

1,394 - yr. 2 

1,404 - yr. 3

Hours: 11,064 - yr. 

1, 11,152 - yr. 2, 

11,232 - yr. 3, 

33,448 for 3 years 

of ICR

• Minor permit 

revision

1 hr. per revision Review all. 

Revisions: 

6,914 - yr. 1 

6,968 - yr. 2 

7,022 - yr. 3

Hours: 6,914 - yr. 

1, 6,968 - yr. 2, 

7,022 - yr. 3, 

20,904 for 3 years 

of ICR

Review periodic 

monitoring 

provisions of 

proposed permits or 

permit revisions to 

see if they are 

adequate to 

demonstrate 

compliance with 

applicable 

requirements.

N/A Burden included 

above in review of 

permits and 

revisions.

N/A
44

ACTIVITY BURDEN PER 

INDIVIDUAL 

PERMIT OR 

PROGRAM 

COMMENTS TOTAL 

PROGRAM 

BURDEN FOR 3 

YEARS 

Consult with the 

permitting authority 

on any problems 

detected in the 

proposed permit or 

permit revision.

N/A N/A N/A

• New permits 8 hrs. per new 

permit

Consult on 25%. 

323 permits issued 

during ICR term 

(81)

648 hours of ICR

• Significant permit 

modifications

8 hrs. per revision Consult on 25%. 

Sig. mods: 

1,383 - yr. 1(346) 

1,394 - yr. 2 (348) 

1,404 - yr. 3 (351)

Hours: 2,768 - yr. 

1, 2,784 - yr. 2, 

2,808 - yr. 3, 

8,360 for 3 years 

of ICR

• Minor permit 

modifications

1 hr. per revision Consult on 25%. 

Minor mods: 

6,914 - yr. 1(1,729) 

6,968 - yr. 2(1,742) 

7,022 - yr. 3 (1755)

Hours: 1,729 - yr. 

1, 1,742 - yr. 2, 

1,755 - yr. 3, 

5,226 for 3 years 

of ICR

Program oversight 50 hrs. per 

program per year

112 agencies Hours: 5,600 per 

year, 16,800 for 3 

years of ICR

Review the annual 

report of 

enforcement 

activities.

10 hrs. per report 112 agencies 3,360 for 3 years 

of ICR

TOTAL FOR EPA: 100,166 hours for 3 years/3 = 33,389 hours per year
45

ATTACHMENT 3

TITLE V OF THE CLEAN AIR ACT, THE STATUTORY REQUIREMENTS FOR 

THE RESPONDENT INFORMATION
46

SEC. 502. PERMIT PROGRAMS

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

promulgated under this title, it shall be unlawful for any person to violate any requirement 

of a permit issued under this title, or to operate an affected source (as provided in title IV), 

a major source, any other source (including an area source) subject to standards or 

regulations under section 111 or 112, any other source required to have a permit under 

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

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

comment) which shall include a finding setting forth the basis for such designation, except 

in compliance with a permit issued by a permitting authority under this title. (Nothing in 

this subsection shall be construed to alter the applicable requirements of this Act that a 

permit be obtained before construction or modification.) The Administrator may, in the 

Administrator's discretion and consistent with the applicable provisions of this Act, 

promulgate regulations to exempt one or more source categories (in whole or in part) from 

the requirements of this subsection if the Administrator finds that compliance with such 

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

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

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

date of the enactment of the Clean Air Act Amendments of 1990 regulations establishing 

the minimum elements of a permit program to be administered by any air pollution 

control agency. These elements shall include each of the following:

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

and criteria for determining in a timely fashion the completeness of applications.

(2) Monitoring and reporting requirements.

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

or operator of all sources subject to the requirement to obtain a permit under this title pay 

an annual fee, or the equivalent over some other period, sufficient to cover all reasonable 

(direct and indirect) costs required to develop and administer the permit program 

requirements of this title, including section 507, including the reasonable costs of -

(i) reviewing and acting upon any application for such a permit,

(ii) if the owner or operator receives a permit for such source, whether before or 

after the date of the enactment of the Clean Air Act Amendments of 1990, implementing 

and enforcing the terms and conditions of any such permit (not including any court costs 

or other costs associated with any enforcement action),

(iii) emissions and ambient monitoring,

(iv) preparing generally applicable regulations, or guidance,

(v) modeling, analyses, and demonstrations, and

(vi) preparing inventories and tracking emissions.

(B) The total amount of fees collected by the permitting authority shall conform to 

the following requirements:

(i) The Administrator shall not approve a program as meeting the requirements of 

this paragraph unless the State demonstrates that, except as otherwise provided in 

subparagraphs (ii) through (v) of this subparagraph, the program will result in the

collection, in the aggregate, from all sources subject to subparagraph (A), of an amount 
47

not less than $25 per ton of each regulated pollutant, or such other amount as the 

Administrator may determine adequately reflects the reasonable costs of the permit 

program.

(ii) As used in this subparagraph, the term "regulated pollutant" shall mean (I) a 

volatile organic compound; (II) each pollutant regulated under section 111 or 112; and 

(III) each pollutant for which a national primary ambient air quality standard has been 

promulgated (except that carbon monoxide shall be excluded from this reference).

(iii) In determining the amount under clause (i), the permitting authority is not 

required to include any amount of regulated pollutant emitted by any source in excess of 

4,000 tons per year of that regulated pollutant.

(iv) The requirements of clause (i) shall not apply if the permitting authority 

demonstrates that collecting an amount less than the amount specified under clause (i) will 

meet the requirements of subparagraph (A).

(v) The fee calculated under clause (i) shall be increased (consistent with the need 

to cover the reasonable costs authorized by subparagraph (A)) in each year beginning after 

the year of the enactment of the Clean Air Act Amendments of 1990 by the percentage, if 

any, by which the Consumer Price Index for the most recent calendar year ending before 

the beginning of such year exceeds the Consumer Price Index for the calendar year 1989. 

For purposes of this clause - 

(I) the Consumer Price Index for any calendar year is the average of the Consumer 

Price Index for all-urban consumers published by the Department of Labor, as of the 

close of the 12-month period ending on August 31 of each calendar year, and

(II) the revision of the Consumer Price Index which is most consistent with the 

Consumer Price Index for calendar year 1989 shall be used.

(C)(i) If the Administrator determines, under subsection (d), that the fee 

provisions of the operating permit program do not meet the requirements of this 

paragraph, or if the Administrator makes a determination, under subsection (i), that the 

permitting authority is not adequately administering or enforcing an approved fee 

program, the Administrator may, in addition to taking any other action authorized under 

this title, collect reasonable fees from the sources identified under subparagraph (A). Such 

fees shall be designed solely to cover the Administrator's costs of administering the 

provisions of the permit program promulgated by the Administrator.

(ii) Any source that fails to pay fees lawfully imposed by the Administrator under 

this subparagraph shall pay a penalty of 50 percent of the fee amount, plus interest on the 

fee amount computed in accordance with section 6621(a)(2) of the Internal Revenue Code 

of 1986 (relating to computation of interest on underpayment of Federal taxes).

(iii) Any fees, penalties, and interest collected under this subparagraph shall be 

deposited in a special fund in the United States Treasury for licensing and other services, 

which thereafter shall be available for appropriation, to remain available until expended, 

subject to appropriation, to carry out the Agency's activities for which the fees were 

collected. Any fee required to be collected by a State, local, or interstate agency under this 

subsection shall be utilized solely to cover all reasonable (direct and indirect) costs 

required to support the permit program as set forth in subparagraph (A).

(4) Requirements for adequate personnel and funding to administer the program.

(5) A requirement that the permitting authority have adequate authority to:
48

(A) issue permits and assure compliance by all sources required to have a permit 

under this title with each applicable standard, regulation or requirement under this Act;

(B) issue permits for a fixed term, not to exceed 5 years;

(C) assure that upon issuance or renewal permits incorporate emission limitations 

and other requirements in an applicable implementation plan;

(D) terminate, modify, or revoke and reissue permits for cause;

(E) enforce permits, permit fee requirements, and the requirement to obtain a 

permit, including authority to recover civil penalties in a maximum amount of not less 

than $10,000 per day for each violation, and provide appropriate criminal penalties; and

(F) assure that no permit will be issued if the Administrator objects to its issuance 

in a timely manner under this title.

(6) Adequate, streamlined, and reasonable procedures for expeditiously

determining when applications are complete, for processing such applications, for public 

notice, including offering an opportunity for public comment and a hearing, and for 

expeditious review of permit actions, including applications, renewals, or revisions, and 

including an opportunity for judicial review in State court of the final permit action by the 

applicant, any person who participated in the public comment process, and any other 

person who could obtain judicial review of that action under applicable law.

(7) To ensure against unreasonable delay by the permitting authority, adequate 

authority and procedures to provide that a failure of such permitting authority to act on a 

permit application or permit renewal application (in accordance with the time periods 

specified in section 503 or, as appropriate, title IV) shall be treated as a final permit action 

solely for purposes of obtaining judicial review in State court of an action brought by any

person referred to in paragraph (6) to require that action be taken by the permitting 

authority on such application without additional delay.

(8) Authority, and reasonable procedures consistent with the need for expeditious 

action by the permitting authority on permit applications and related matters, to make 

available to the public any permit application, compliance plan, permit, and monitoring or 

compliance report under section 503(e), subject to the provisions of section 114(c) of this 

Act.

(9) A requirement that the permitting authority, in the case of permits with a term 

of 3 or more years for major sources, shall require revisions to the permit to incorporate 

applicable standards and regulations promulgated under this Act after the issuance of such 

permit. Such revisions shall occur as expeditiously as practicable and consistent with the 

procedures established under paragraph (6) but not later than 18 months after the 

promulgation of such standards and regulations. No such revision shall be required if the 

effective date of the standards or regulations is a date after the expiration of the permit 

term. Such permit revision shall be treated as a permit renewal if it complies with the 

requirements of this title regarding renewals.

(10) Provisions to allow changes within a permitted facility (or one operating 

pursuant to section 503(d)) without requiring a permit revision, if the changes are not 

modifications under any provision of title I and the changes do not exceed the emissions 

allowable under the permit (whether expressed therein as a rate of emissions or in terms of 

total emissions: Provided, That the facility provides the Administrator and the permitting 

authority with written notification in advance of the proposed changes which shall be a 
49

minimum of 7 days, unless the permitting authority provides in its regulations a different 

time frame for emergencies.

(c) Single Permit.- A single permit may be issued for a facility with multiple 

sources. 

(d) Submission and Approval.- (1) Not later than 3 years after the date of the 

enactment of the Clean Air Act Amendments of 1990, the Governor of each State shall 

develop and submit to the Administrator a permit program under State or local law or 

under an interstate compact meeting the requirements of this title. In addition, the 

Governor shall submit a legal opinion from the attorney general (or the attorney for those 

State air pollution control agencies that have independent legal counsel), or from the chief 

legal officer of an interstate agency, that the laws of the State, locality, or the interstate 

compact provide adequate authority to carry out the program. Not later than 1 year after 

receiving a program, and after notice and opportunity for public comment, the 

Administrator shall approve or disapprove such program, in whole or in part. The 

Administrator may approve a program to the extent that the program meets the 

requirements of this Act, including the regulations issued under subsection (b). If the 

program is disapproved, in whole or in part, the Administrator shall notify the Governor of 

any revisions or modifications necessary to obtain approval. The Governor shall revise 

and resubmit the program for review under this section within 180 days after receiving 

notification.

(2)(A) If the Governor does not submit a program as required under paragraph (1) 

or if the Administrator disapproves a program submitted by the Governor under paragraph 

(1), in whole or in part, the Administrator may, prior to the expiration of the 18-month 

period referred to in subparagraph (B), in the Administrator's discretion, apply any of the 

sanctions specified in section 179(b).

(B) If the Governor does not submit a program as required under paragraph (1), or 

if the Administrator disapproves any such program submitted by the Governor under 

paragraph (1), in whole or in part, 18 months after the date required for such submittal or 

the date of such disapproval, as the case may be, the Administrator shall apply sanctions 

under section 179(b) in the same manner and subject to the same deadlines and other 

conditions as are applicable in the case of a determination, disapproval, or finding under 

section 179(a).

(C) The sanctions under section 179(b)(2) shall not apply pursuant to this 

paragraph in any area unless the failure to submit or the disapproval referred to in 

subparagraph (A) or (B) relates to an air pollutant for which such area has been designated 

a nonattainment area (as defined in part D of title I).

(3) If a program meeting the requirements of this title has not been approved in 

whole for any State, the Administrator shall, 2 years after the date required for submission 

of such a program under paragraph (1), promulgate, administer, and enforce a program 

under this title for that State.

(e) Suspension.- The Administrator shall suspend the issuance of permits 

promptly upon publication of notice of approval of a permit program under this section, 

but may, in such notice, retain jurisdiction over permits that have been federally issued, 

but for which the administrative or judicial review process is not complete. The 

Administrator shall continue to administer and enforce federally issued permits under this 
50

title until they are replaced by a permit issued by a permitting program. Nothing in this 

subsection should be construed to limit the Administrator's ability to enforce permits 

issued by a State.

(f) Prohibition.- No partial permit program shall be approved unless, at a 

minimum, it applies, and ensures compliance with, this title and each of the following:

(1) All requirements established under title IV applicable to "affected sources."

(2) All requirements established under section 112 applicable to "major sources", 

"area sources," and "new sources."

(3) All requirements of title I (other than section 112) applicable to sources 

required to have a permit under this title. Approval of a partial program shall not relieve 

the State of its obligation to submit a complete program, nor from the application of any 

sanctions under this Act for failure to submit an approvable permit program.

(g) Interim Approval.- If a program (including a partial permit program) 

submitted under this title substantially meets the requirements of this title, but is not fully 

approvable, the Administrator may by rule grant the program interim approval. In the 

notice of final rulemaking, the Administrator shall specify the changes that must be made 

before the program can receive full approval. An interim approval under this subsection 

shall expire on a date set by the Administrator not later than 2 years after such approval, 

and may not be renewed. For the period of any such interim approval, the provisions of 

subsection (d)(2), and the obligation of the Administrator to promulgate a program under 

this title for the State pursuant to subsection (d)(3), shall be suspended. Such provisions 

and such obligation of the Administrator shall apply after the expiration of such interim 

approval.

(h) Effective Date.- The effective date of a permit program, or partial or interim 

program, approved under this title, shall be the effective date of approval by the 

Administrator. The effective date of a permit program, or partial permit program, 

promulgated by the Administrator shall be the date of promulgation.

(i) Administration and Enforcement.- (1) Whenever the Administrator makes a 

determination that a permitting authority is not adequately administering and enforcing a 

program, or portion thereof, in accordance with the requirements of this title, the 

Administrator shall provide notice to the State and may, prior to the expiration of the 18-

month period referred to in paragraph (2), in the Administrator's discretion, apply any of 

the sanctions specified in section 179(b).

(2) Whenever the Administrator makes a determination that a permitting authority

is not adequately administering and enforcing a program, or portion thereof, in 

accordance with the requirements of this title, 18 months after the date of the notice under 

paragraph (1), the Administrator shall apply the sanctions under section 179(b) in the 

same manner and subject to the same deadlines and other conditions as are applicable in 

the case of a determination, disapproval, or finding under section 179(a).

(3) The sanctions under section 179(b)(2) shall not apply pursuant to this 

subsection in any area unless the failure to adequately enforce and administer the program 

relates to an air pollutant for which such area has been designated a nonattainment area.

(4) Whenever the Administrator has made a finding under paragraph (1) with 

respect to any State, unless the State has corrected such deficiency within 18 months after 

the date of such finding, the Administrator shall, 2 years after the date of such finding, 
51

promulgate, administer, and enforce a program under this title for that State. Nothing in 

this paragraph shall be construed to affect the validity of a program which has been 

approved under this title or the authority of any permitting authority acting under such 

program until such time as such program is promulgated by the Administrator under this 

paragraph. [42 U.S.C. 7661a]

SEC. 503. PERMIT APPLICATIONS.

(a) APPLICABLE DATE.-Any source specified in section 502(a) shall become 

subject to a permit program, and required to have a permit, on the later of the following 

dates-

(1) The effective date of a permit program or partial or interim permit program 

applicable to the source; or 

(2) The date such source becomes subject to section 502(a).

(b) COMPLIANCE PLAN.-(1) The regulations required by section 502(b) shall 

include a requirement that the applicant submit with the permit application a 

compliance plan describing how the source will comply with all applicable 

requirements under this Act. The compliance plan shall include a schedule of 

compliance, and a schedule under which the permittee will submit progress reports 

to the permitting authority no less frequently than every 6 months.

(2) The regulations shall further require the permittee to periodically (but no less 

frequently than annually) certify that the facility is in compliance with any applicable 

requirements of the permit, and to promptly report any deviations from permit 

requirements to the permitting authority.

(c) DEADLINE.-Any person required to have a permit shall, not later than 12 

months after the date on which the source becomes subject to a permit program approved 

or promulgated under this title, or such earlier date as the permitting authority may

establish, submit to the permitting authority a compliance plan and an application for a 

permit signed by a responsible official, who shall certify the accuracy of the information 

submitted. The permitting authority shall approve or disapprove a completed application 

(consistent with the procedures established under this title for consideration of such 

applications), and shall issue or deny the permit, within 18 months after the date of receipt 

thereof, except that the permitting authority shall establish a phased schedule for acting on 

permit applications submitted within the first full year after the effective date of a permit 

program (or a partial or interim program). Any such schedule shall assure that at least onethird of such permits will be acted on by such authority annually over a period of not to 

exceed 3 years after such effective date. Such authority shall establish reasonable 

procedures to prioritize such approval or disapproval actions in the case of applications for 

construction or modification under the applicable requirements of this Act.

(d) TIMELY AND COMPLETE APPLICATIONS.-Except for sources required to 

have a permit before construction or modification under the applicable requirements of 

this Act, if an applicant has submitted a timely and complete application for a permit 

required by this title (including renewals), but final action has not been taken on such 

application, the source's failure to have a permit shall not be a violation of this Act, unless 

the delay in final action was due to the failure of the applicant timely to submit 
52

information required or requested to process the application. No source required to have a 

permit under this title shall be in violation of section 502(a) before the date on which the 

source is required to submit an application under subsection (c).

(e) COPIES; AVAILABILITY.-A copy of each permit application, compliance 

plan (including the schedule of compliance), emissions or compliance monitoring report, 

certification, and each permit issued under this title, shall be available to the public. If an 

applicant or permittee is required to submit information entitled to protection from 

disclosure under section 114(c) of this Act, the applicant or permittee may submit such 

information separately. The requirements of section 114(c) shall apply to such 

information. The contents of a permit shall not be entitled to protection under section 

114(c).

SEC. 504. PERMIT REQUIREMENTS AND CONDITIONS.

(a) CONDITIONS.-Each permit issued under this title shall include enforceable 

emission limitations and standards, a schedule of compliance, a requirement that the 

permittee submit to the permitting authority, no less often than every 6 months, the results 

of any required monitoring, and such other conditions as are necessary to assure 

compliance with applicable requirements of this Act, including the requirements of the 

applicable implementation plan.

(b) MONITORING AND ANALYSIS.-The Administrator may by rule prescribe 

procedures and methods for determining compliance and for monitoring and analysis of 

pollutants regulated under this Act, but continuous emissions monitoring need not be 

required if alternative methods are available that provide sufficiently reliable and timely 

information for determining compliance. Nothing in this subsection shall be construed to 

affect any continuous emissions monitoring requirement of title IV, or where required 

elsewhere in this Act.

(c) INSPECTION, ENTRY, MONITORING, CERTIFICATION, AND 

REPORTING.-Each permit issued under this title shall set forth inspection, entry, 

monitoring, compliance certification, and reporting requirements to assure compliance 

with the permit terms and conditions. Such monitoring and reporting requirements shall 

conform to any applicable regulation under subsection (b). Any report required to be 

submitted by a permit issued to a corporation under this title shall be signed by a

responsible corporate official, who shall certify its accuracy.

§70.5(c) Standard applications form and required information. The State program under 

this part shall provide for a standard application form or forms. Information as described 

below for each emissions unit at a part 70 source shall be included in the application. The 

Administrator may approve as part of a State program a list of insignificant activities and 

emissions levels which need not be included in permit applications. However, for 

insignificant activities which are exempted because of size or production rate, a list of 

such insignificant activities must be included in the application. An application may not 

omit information needed to determine the applicability of, or to impose, any applicable 

requirement, or to evaluate the fee amount required under the schedule approved pursuant 

to §70.9 of this part. The permitting authority may use discretion in developing application 
53

forms that best meet program needs and administrative efficiency. The forms and 

attachments chosen, however, shall include the elements specified below:

(1) Identifying information, including company name and address (or plant name 

and address if different from the company name), owner's name and agent, and telephone 

number and names of plant site manager/contact.

(2) A description of the source's processes and products (by Standard Industrial 

Classification Code) including any associated alternative scenario identified by the source.

(3) The following emission related information:

(i) All emissions of pollutants for which the source is major, and all emissions of 

regulated air pollutants. A permit application shall describe all emissions of regulated air 

pollutants emitted from any emissions unit, except where such units are exempted under 

this paragraph (c) of this section. The permitting authority shall require additional 

information related to the emissions of air pollutants sufficient to verify which 

requirements are applicable to the source, and other information necessary to collect any 

permit fees owed under the fee schedule approved pursuant to §70.9(b) of this part.

(ii) Identification and description of all points of emissions described in paragraph 

(c)(3)(i) of this section in sufficient detail to establish the basis for fees and applicability 

of requirements of the Act.

(iii) Emissions rate in tpy and in such terms as are necessary to establish 

compliance consistent with the applicable standard reference test method.

(iv) The following information to the extent it is needed to determine to regulate

emissions: Fuels, fuel use, raw materials, production rates, and operating schedules.

(v) Identification and description of air pollution control equipment and 

compliance monitoring devices or activities.

(vi) Limitations on source operation affecting emissions or any work practice 

standards, where applicable, for all regulated pollutants at the part 70 source.

(vii) Other information required by any applicable requirement (including 

information related to stack height limitations developed pursuant to section 123 of the 

Act.)

(viii) Calculations on which the information on paragraphs (c)(3)(i) through 

(c)(3)(vii) of this section is based.

(4) The following air pollution control requirements:

(i) Citation and description of all applicable requirements, and

(ii) Description of or reference to any applicable test method for determining 

compliance with each applicable requirement.

(5) Other specific information that may be necessary to implement and enforce 

other applicable requirements of the Act or of this part or to determine the applicability of 

such requirements.

(6) An explanation of any proposed exemptions from otherwise applicable 

requirements.

(7) Additional information as determined to be necessary by the permitting 

authority to define alternative operating scenarios identified by the source pursuant to § 

70.6(a)(9) of this part or to define permit terms and conditions implementing § 70.4(b)(12) 

or § 70.6(a)(10) of this part.

(8) A compliance plan for all part 70 sources that contains all the following:
54

(i) A description of the compliance status of the source with respect to all 

applicable requirements.

(ii) A description as follows:

(A) For applicable requirements with which the source is in compliance, a 

statement that the source will continue to comply with such requirements.

(B) For applicable requirements that will become effective during the permit term, 

a statement that the source will meet such requirements on a timely basis.

(C) For requirements for which the source is not in compliance at the time or 

permit issuance, a narrative description of how the source will achieve compliance with 

such requirements.

(iii) A compliance schedule as follows:

(A) For applicable requirements with which the source is in compliance, a 

statement that the source will continue to comply with such requirements.

(B) For applicable requirements that will become effective during the permit term, 

a statement that the source will meet such requirements on a timely basis. A statement that 

the source will meet in a timely manner applicable requirements that become effective 

during the permit term shall satisfy this provision, unless a more detailed schedule is 

expressly required by the applicable requirement.

(C) A schedule of compliance for sources that are not in compliance with all 

applicable requirements at the time of permit issuance. Such a schedule shall include a 

schedule of remedial measures, including an enforceable sequence of actions with 

milestones, leading to compliance with any applicable requirements for which the source 

will be in noncompliance at the time of permit issuance. This compliance schedule shall 

resemble and be at least as stringent as that contained in any judicial consent decree or 

administrative order to which the source is subject. Any such schedule of compliance shall 

be supplemental to and shall not sanction noncompliance with, the applicable 

requirements on which it is based.

(iv) A schedule for submission of certified progress reports no less frequently than 

every 6 months for sources required to have a schedule of compliance to remedy a

violation.

(v) The compliance plan content requirements specified in this paragraph shall 

apply and be included in the acid rain portion of a compliance plan for an affected source, 

except as specifically superseded by regulations promulgated under title IV of the Act 

with regard to the schedule and method(s) the source will use to achieve compliance with 

the acid rain emissions limitations.

(9) Requirements for compliance certification, including the following:

(i) A certification of compliance with all applicable requirements by a responsible 

official consistent with paragraph (d) of this section and section 114(a)(3) of the Act;

(ii) A statement of methods used for determining compliance, including a 

description of monitoring, record keeping, and reporting requirements and test methods;

(iii) A schedule for submission of compliance certifications during the permit 

term, to be submitted no less frequently than annually, or more frequently if specified by

the underlying applicable requirement or by the permitting authority; and

(iv) A statement indicating the source's compliance status with any applicable 

enhanced monitoring and compliance certification requirements of the Act.
55

(10) The use of nationally-standardized forms for acid rain portions of permit 

applications and compliance plans, as required by regulations promulgated under title IV 

of the Act.

(d) Any application form, report, or compliance certification submitted pursuant to 

these regulations shall contain certification by a responsible official of truth, accuracy, and 

completeness. This certification and any other certification required under this part shall 

state that, based on information and belief formed after reasonable inquiry, the statements 

and information in the document are true, accurate, and complete.
56

ATTACHMENT 4

ANALYSIS OF PART 70 STATE PROGRAM EVALUATIONS FOR ICR 

RENEWAL PURPOSES (1587.07)
57

Background

 Representative sample of State Evaluations selected (below) for review.

 List of State/local agencies reviewed is similar to list of States that initially

responded to surveys for earlier ICRs.

o Previous ICR estimates based on responses from: New Jersey, West 

Virginia, Mississippi, San Joaquin, Illinois, Vermont, Alabama, Dayton 

Ohio, Wisconsin.

o Audit analysis based on same list, except for Dayton, Ohio and San 

Joaquin, where audits are not available for review.

o State of Ohio was substituted for Dayton, Ohio because Dayton is a field

office of the Ohio program, not a separate program.

 State program evaluations not designed primarily for ICR purposes – designed for 

programs oversight purposes instead – thus, results only partially appropriate for 

ICR purposes. 

 State evaluations reports did not typically address totals burdens hours or costs for 

individual activities, sources or States, nor did they address average burden hours 

or average costs per permit, per source, or per permitting authority.

 Data for ICR renewal also provided by EPA’s internal TOPS part 70 tracking 

system – a system where EPA Regional offices provide tracking data on a 6-

month basis for each approved part 70 program (some 3-month data also available 

for historical purposes).

o TOPS data not summarized below, but independently included in 

assumptions included in ICR (i.e., source universe subject to permitting, 

number of initial permits issued, number of renewal permits issued, 

Number of significant modification issued, number of general permits (also 

interpreted as number of sources subject to general permitting).

 Since the last ICR renewal (30 months ago), the Title V Taskforce under the Clean 

Act Advisory Committee has undertaken a review of the title V program (this was 

mentioned briefly in the current ICR, section 3,3). This effort resulted in a list of 

recommendations for changes to policy and rulemakings to make the programs 

amore effective, but no data useful for ICR renewal purposes was generated. 

 For the record, the previous ICR assumed the following:

o General permits are 1/5 of the total.

o Public notification occurs for every draft permit.

o Public comments cause draft permits to be revised 10% of the time.

o Public hearings are held for 2% of permits. 

o Gap-filling monitoring (or recordkeeping which serves the same purpose) 

is required in 1⁄2 of permits, including general permits.

o Significant permit revisions occur in 1/10 of issued single permits (does not 

include general permits) on an annual basis (30% over 3 years) 

o Minor permit modifications occur in 1⁄2 of single permits each year (150% 

of permits over 3 years)
58

o Administrative amendments occurs in 1⁄2 of single permits each year (150% 

of permits over 3 years)

o Permit renewals occur roughly at the same rate as the initial permits expire 

and that any backlog of renewals is reduced over the 3-year period of the 

ICR.

o Applying for a permit renewal is about 1/2 the burden of applying for an 

initial permit, while for States, permit renewals are about 1/3 the burden of 

initial permits.

o 100% of compliance reports reviewed by States.

Note that all of these State programs have been effective, with at least interim approval,

which allowed them to begin issuing permits, for over 10 years at present.

Results of Evaluations

 No major changes to assumptions for ICR renewal supported by this review –

information within evaluation reports generally consistent with past EPA 

assumptions.

 The State evaluations generally lack quantitative data, but they provide general 

support that the assumptions of the ICR are a directionally correct assessment of 

the frequency that certain activities occur.

 One minor change is in the number of sources that are expected to get regulatory

relief through the use of general permits. The evaluations are not convincing on 

this point but tracking data shows that 16% of permits are general permits.

 Another minor change is in the percentage of public comments that lead to changes 

to the draft permits. The evaluations suggests that such changes are rare, 

consistent with the frequency that public hearings occur, since the standard for 

changing the permit and for holding a public hearing are similar. Thus, we are 

changing the frequency for finalizing drafts permit with public comment to 2% 

from 10% within the burden estimates for permitting authorities.

State Summaries

New Jersey (410 Permits)

1. No General permits

2. “Perform Gap-filling exercise on every permit” (didn’t answer question directly)

3. Public comments on less than 2% of draft permits, all changed in response

4. Public hearing requested occasionally, public attendance low

5. Significant modifications: 1-2% (TOPS shows 46 over life of program)

6. Minor Modifications: 90% (TOPS only addresses significant modifications)

7. Admin Amendments: 10%

8. Review 100% of compliance reports

9. Renewals easier to process because applications focus on changes at sources since 

permit issued. Renewals not a high priority at this time
59

West Virginia (171 Permits)

1. 1 general permit (certain units at natural gas compressor facilities), 26 sources 

fully implemented (13% of sources)

2. “Some sort” of gap-filling recordkeeping or monitoring in “most, if not all 

permits.” (Didn’t say how many units in these permits had such M&R). 

Experience is causing NSR permits to be written better, so that less gap-filing will 

be necessary in title V permits in future

3. Public comments are “rare,” or“0 to 3%,” and change due to comments occur 

similarly

4. No Public hearings have ever been held

5. 191 modifications to date (over life of program)

6. Significant Modifications: 11% (TOPS shows 0 over life of program)

7. Minor Modifications: 30.9%

8. Admin Amendments: 46.1%

9. Renewals easier to process, but we have only processed a few (Did not elaborate 

further)

10. Review 100% of compliance reports

Mississippi (317 Permits)

1. No general permits. Will consider general permits for MACT area sources not 

exempted from Title V

2. Said in “some cases” gap-filling has lead to new control devices. Also, did not 

specify how often gap-filling recordkeeping or monitoring added other than to say

that they did so when the underlying standards are inadequate

3. Has not received many public comments, most on high profile sources on Gulf 

Coast. Also said comments during public comment period are “rare”

4. Did not specify that any public hearings have occurred

5. 384 revisions during life of program

6. Significant Modifications: 85 out of 384 or 22% (TOPS says 138)

7. Minor Modifications: 24 out of 384 or 6%

8. Admin Amendments: 33 out of 384 or 9% also they said 502(B)(10) changes were 

242 out of 384 or 63% (these are similar in burden to admin. amendments because 

no public process required)

9. Renewals not easier to-date, but streamlined renewal applications coming, so may

be easier in future

10. Review 100% of compliance reports

Alabama (251 Permits)

1. No general permits issued

2. Periodic monitoring added for “most units subject to a regulation that do not 

contain underlying monitoring requirements” 

3. Public comments: Said they have not received many and that most were not 

relevant to title V
60

4. Did not state that any hearings had ever been held, only stated that they have

procedures in place to hold hearings

5. TOPS says 54 significant revisions to date (no response to these questions in audit)

6. Renewals easier than initial issuance because of staff experience

7. Review 100% of compliance reports

Vermont (20 permits)

1. No general permits

2. They said they have added monitoring when necessary, but not how often

3. Public comments very few, perhaps 5% (1 comment)

4. State has had 1 public hearing

5. Significant Modifications: 55.3% (TOPS says 6 over life of program)

6. Minor Modifications: 20%

7. Admin Amendments: 26.7%

8. Renewals easier to process, application much better, review focuses on changes 

and CAM

9. Review 100% of compliance reports

Wisconsin (148 Permits)

1. General permits for non-metallic minerals processing plants, small heating units, 

hospital sterilizers, and printing presses; about 5% of sources

2. They say they have added monitoring but not how often

3. Public comments on 10% of permits, 5% change due to comment

4. Did not say how often public hearings held

5. Significant Modifications: 80% (TOPS says 136 life of program)

6. Minor Modifications: 5%

7. Admin Amendments: 15%

8. Just plainly said easier to renew

9. Review 100% of compliance reports

Illinois (728 Permits)

1. No general permits

2. No universal approach as to when gap-filing added. Much recordkeeping added 

but monitoring only typically for utility sources; monitoring may be added for 

other source categories based on case-by-case determination

3. Public comments on 5-7% of draft permits; most result in changes to the permit to 

some extent

4. Did not specify has often public hearings have occurred. EPA notes that State’s 

website for public hearing did not contain any public hearing records for title V 

permits within the last 6 months

5. Significant Modifications: 15% (TOPS says 41)

6. Minor Modifications: 40%

7. Admin Amendments: 45%
61

8. Renewals easier because most requirements already established in permits, 

requirements do not typically need to change, and renewal application much more 

complete than applications for initial permits

9. Review 100% of compliance reports

Ohio (755 Permits)

1. No general permits

2. “Gap-filling as appropriate based on regulations and DAPC Engineering Guide 

#65”. Also said “routinely” added to permits 

3. Public comments on less than 5% of draft permits; changes due to comments less 

than 1%

4. 8 public hearings have occurred during life of program

5. Significant Modifications: 10% (TOPS says 18)

6. Minor Modifications: 4%

7. Admin Amendments: 86%

8. Very much easier because just updating what already done

9. Review 100% of compliance reports
62

ATTACHMENT 5

FEBRUARY 9, 2007 FEDERAL REGISTER NOTICE (72 FR 6233)
63

ENVIRONMENTAL PROTECTION AGENCY

[EPA–HQ–OAR–2004–0015 and EPA–HQ–OAR–2004–0016; FRL–8277–3]

Agency Information Collection Activities; Proposed Collections; Comment Request; Part 70 Operating Permit 

Regulations, EPA ICR No. 1587.07, OMB Control No. 2060–0243; Part 71 Federal Operating Permit 

Regulations, EPA ICR No. 1713.06, OMB Control No. 2060–0336

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

SUMMARY: In compliance with the Paperwork Reduction Act (PRA) (44 U.S.C. 3501 et seq.), this document announces 

that EPA is planning to submit a request to renew two existing approved Information Collection Requests (ICRs) to the 

Office of Management and Budget (OMB). These ICRs are scheduled to expire on March 31, 2007. Before submitting 

these ICRs to OMB for review and approval, EPA is soliciting comments on specific aspects of the proposed 

information collection as described below.

DATES: Comments must be submitted on or before April 10, 2007.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA–HQ–

OAR–2004–0015 (part 70 ICR) or EPA–HQ–OAR–2004–0016 (part 71 ICR), by one of the following methods:

http://www.regulations.gov: Follow the on-line instructions for submitting comments.

Fax: (202) 566–7944.

Mail: U.S. Environmental Protection Agency, EPA Docket Center (EPA/DC), Air and Radiation Docket Information 

Center, 1200 Pennsylvania Avenue, NW., Mail Code 2822T, Washington, DC 20460.

Hand Delivery: EPA Docket Center, EPA West, Room 3334, 1301 Constitution Avenue, NW., Washington, DC 

20004. Such deliveries are accepted only during the Docket’s normal hours of operation—8:30 a.m. to 4:30 p.m., 

Monday through Friday. Special arrangements should be made for deliveries of boxed information.

Instructions: Direct your comments to Docket ID No. EPA–HQ–OAR–2004–0015 or EPA–HQ–OAR–2004–0016.

EPA’s policy is that all comments received will be included in the public docket without change and may be made 

available online at http://www.regulations.gov including any personal information provided, unless the comment 

includes information claimed to be Confidential Business Information (CBI) or other information whose disclosure is 

restricted by statute. Do not submit information that you consider to be CBI or otherwise to be protected through 

www.regulations.gov or e-mail. The www.regulations.gov Web site is an ‘‘anonymous access’’ system, which means we 

will not know your identity or contact information unless you provide it in the body of your comment. If you send an email comment directly to us without going through www.regulations.gov, your email address will be automatically 

captured and included as part of the comment that is placed in the public docket and made available on the Internet. If 

you submit an electronic comment, we recommend that you include your name and other contact information in the 

body of your comment and with any disk or CD–ROM you submit. If EPA cannot read your comment due to technical 

difficulties and cannot contact you for clarification, we may not be able to consider your comment. Electronic files 

should avoid the use of special characters or any form of encryption and be free of any defects or viruses. For additional 

information about the EPA public docket visit the EPA Docket Center homepage at

http://www.epa.gov/epahome/dockets.htm.

FOR FURTHER INFORMATION CONTACT: Jeff Herring, Office of Air Quality Planning and Standards, Air Quality Policy

Division (C504–05), U.S. Environmental Protection Agency, Research Triangle

Park, NC 27711; telephone number: (919) 541–3195; fax number: (919) 541–5509; e-mail address: 

herring.jeff@epa.gov.

SUPPLEMENTARY INFORMATION:

How Can I Access the Docket and/or Submit Comments?

The EPA has established public dockets for these ICRs under Docket ID Nos. EPA–HQ–OAR–2004–0015 (part 70

ICR) and EPA–HQ–OAR–2004–0016 (part 71 ICR) which are available for online viewing at 

http://www.regulations.gov, or in person viewing at the Air and Radiation Docket in the EPA Docket Center (EPA/DC), 

EPA West, Room 3334, 1301 Constitution Avenue, NW., Washington, DC 20004. The EPA/DC Public Reading Room 

is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number for the 

reading room is (202) 566–1744, and the telephone number for the Air and Radiation Docket is (202) 566–1742. Use 

www.regulations.gov to obtain a copy of the draft collections 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. Once in the system, select ‘‘search,’’ then key in the docket ID numbers identified in this document.

What Information Particularly Interests EPA?
64

Pursuant to section 3506(c)(2)(A) of the PRA, EPA specifically solicits comments and information to enable it to:

(i) Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of 

the Agency, including whether the information will have practical utility;

(ii) evaluate the accuracy of the Agency’s estimate of the burden of the proposed collection of information, including the 

validity of the methodology and assumptions used;

(iii) enhance the quality, utility, and clarity of the information to be collected; and

(iv) minimize the burden of the collection of information on those who are to respond, including through the use of 

appropriate automated electronic, mechanical, or other technological collection techniques or other forms of information 

technology, e.g., permitting electronic submission of responses. In particular, EPA is requesting comments from very 

small businesses (those that employ less than 25) on examples of specific additional efforts that EPA could make to 

reduce the paperwork burden for very small businesses affected by this collection.

What Should I Consider When I Prepare My Comments for EPA?

You may find the following suggestions helpful for preparing your comments:

1. Explain your views as clearly as possible and provide specific examples.

2. Describe any assumptions that you used.

3. Provide copies of any technical information and/or data you used that support your views.

4. If you estimate potential burden or costs, explain how you arrived at the estimate that you provide.

5. Offer alternative ways to improve the collection activity.

6. Make sure to submit your comments by the deadline identified under DATES.

7. To ensure proper receipt by EPA, be sure to identify the docket ID numbers assigned to these actions in the subject 

line on the first page of your response. You may also provide the name, date, and Federal Register citation.

To What Information Collection Activity or ICR Does This Apply?

Docket ID Nos. EPA–HQ–OAR–2004–0015 (part 70 ICR) and EPA–HQ–OAR–2004–0016 (part 71 ICR).

Affected entities: Entities potentially affected by this action are those which must apply for and obtain an operating 

permit under title V of the Clean Air Act (Act). These, in general, include sources which are defined as ‘‘major’’ under 

any title of the Act.

Titles: Part 70 Operating Permit Regulations; Part 71 Federal Operating Permit Regulations.

ICR numbers: For the part 70 regulations, EPA ICR No. 1587.07 and OMB Control No. 2060–0243. For the part 71 

regulations, EPA ICR No. 1713.05 and OMB Control No. 2060–0336.

ICR status: These ICRs are currently scheduled to expire on March 31, 2007. 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 title 40 of the CFR, after appearing in the Federal 

Register when approved, are listed in 40 CFR part 9, are displayed either by publication in the Federal Register or by 

other appropriate means, such as on the related collection instrument or form, if applicable. The display of OMB control 

numbers in certain EPA regulations is consolidated in 40 CFR part 9.

Abstract: Title V of the Act requires States to develop and implement a program for issuing operating permits to all 

sources that fall under any Act definition of ‘‘major’’ and certain other non-major sources that are subject to Federal air 

quality regulations. The Act further requires EPA to develop regulations that establish the minimum requirements for 

those State operating permits programs, to oversee implementation of the State programs, and to operate a Federal 

operating permits program in areas not subject to an approved State program. The EPA regulations setting forth 

requirements for the State operating permits programs are at part 70, title 40, chapter I of the Code of Federal 

Regulations. These are referred to as the ‘‘Part 70 Operating Permit Regulations,’’ which are the subject of one of the 

ICRs addressed in this notice. The EPA regulations for the Federal operating permits program are at part 71, title 40, 

chapter I of the Code of Federal Regulations. These are referred to as the ‘‘Part 71 Federal Operating Permit 

Regulations,’’ which are the subject of the second ICR addressed in this notice. The part 71 program is being 

implemented for sources located in Indian country, Outer Continental Shelf sources, and in areas that do not have part 70 

programs. In implementing title V of the Act and EPA’s part 70 operating permits regulations, State and local 

permitting agencies must develop programs and submit them to EPA for approval (section 502(d)), and sources subject 

to the program must develop operating permit applications and submit them to the permitting authority within 1 year

after program approval (section 503). Permitting authorities will then issue permits (section 503(c)) and thereafter 

enforce, revise, and renew those permits at no more than 5–year intervals (section 502(d)). Permit applications and 

proposed permits will be provided to, and are subject to review by, EPA (section 505(a)). All information submitted by a 

source and the issued permit shall also be available for public review except for confidential information which will be 

protected from disclosure (section 503(e)). Sources will semi-annually submit compliance monitoring reports to the 

permitting authorities (section 504(a)). The EPA has the responsibility to oversee implementation of the program and to 

administer a Federal operating permits program in the event a program is not approved for a State (section 502(d)(3)) or 

if EPA determines the permitting authority is not adequately administering its approved program (section 502(i)(4)). The 

activities to carry out these tasks are considered mandatory and necessary for implementation of title V and the proper 

operation of the operating permits program. This notice provides updated burden estimates from previously approved 

ICRs. Burden Statement: The annual public reporting and recordkeeping burden for the part 70 collection of information 
65

is estimated to average 248 hours per permitted source, and the annual burden for permitting authorities to administer a 

part 70 program is estimated to average 10,179 hours. The annual public reporting and recordkeeping burden for the part 

71 collection of information is estimated to average 221 hours per permitted source.

Are There Changes in the Estimates From the Last Approval?

There is an increase of 206 thousand hours in the part 70 total estimated respondent annual burden compared with that 

identified in the ICR currently approved by OMB. This increase in part 70 burden for sources and permitting authorities 

is an adjustment due to changes in burden estimates, primarily an increase in permit renewal activities. These changes in 

burden are not program changes, as no federal mandates, including the part 70 and part 71 regulations, have changed in 

any way that would affect these ICRs since the last ICR updates. For the part 71 program, there is a decrease of 22 

thousand hours in the total estimated annual burden compared with that identified in the ICR currently approved by 

OMB. This burden reduction is also an adjustment, due to changes in assumptions, primarily due to a reduction in 

expected EPA oversight activities for delegated part 71 programs.

What Is the Next Step in the Process for This ICR?

The EPA will consider the comments received and amend the ICRs as appropriate. The final ICR packages will then be 

submitted to OMB for review and approval pursuant to 5 CFR 1320.12. At that time, EPA will issue another Federal 

Register notice pursuant to 5 CFR 1320.5(a)(1)(iv) to announce the submission of the ICRs to OMB and the opportunity 

to submit additional comments to OMB. If you have any questions about these ICRs or the approval process, please 

contact the technical person listed under FOR FURTHER INFORMATION CONTACT.

Dated: January 31, 2007.

Jenny Noonan Edmonds,

Acting Director, Office of Air Quality Planning and Standards.

[FR Doc. E7–2180 Filed 2–8–07; 8:45 am]

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