Information Collection Request

Supporting Statement for the

8-hour Ozone National Ambient Air Quality Standard 

Implementation Rule (Renewal)

EPA ICR # 2236.03

Prepared by:

Office of Air Quality Planning and Standards 

Office of Air and Radiation

U.S. Environmental Protection Agency

Research Triangle Park, North Carolina 27711

EPA Information Collection Request for the

8-hour Ozone National Ambient Air Quality Standard 

Implementation Rule
Table of Contents

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

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

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

4. Respondents and the Information Requested..............................page 7

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

Management....................................................................page 11

6. Estimating the Burden and Cost of the Collection........................page 12
1

1. Identification of the Information Collection Request

1(a) Title of the Information Collection

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

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

number 2236.03, Office of Management and Budget (OMB) number 2060-0594.

1(b) Abstract/Executive Summary

The Paperwork Reduction Act requires the information found in this Information 

Collection Request (ICR) number 2236.03, to assess the burden (in hours and dollars) of the 

renewal of the 8-hour Ozone National Ambient Air Quality Standard Implementation 

(NAAQS) Rule as well as the periodic reporting and record keeping necessary to maintain 

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

Phase 1 published April 30, 2004 (69 FR 23951) and Phase 2 published November 29, 2005 

(70 FR 71612). In 2007 Phase 1 was vacated and all designated areas subject to subpart 1, 

part D, title I of the CAA were then made subject to subpart 2. Redesignations of these 

Former Subpart 1 areas to Subpart 2 Marginal or Moderate classifications were proposed in 

2009 (74 FR 2936).

The time period covered in this ICR is a three year period from August 1, 2010 through 

July 31, 2013. The milestones include the attainment demonstration, Reasonable Further 

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

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

associated burden and administrative cost estimates apply to areas with design values in 

excess of the 8-hour Ozone NAAQS.1 

 Subpart 2 and former Subpart 1 non-attainment areas able to designate in 2010. 

These areas have to prepare an attainment demonstration. 

 

1

Section 51.905(c) and (d), (published in the phase 1 8-hour ozone implementation rule (69 FR at 23998, April 

30, 2004)) set forth requirements for anti-backsliding purposes for areas designated attainment for the 8-hour 

standard. These provisions require these areas to submit a 10-year maintenance plan under section 110(a)(1) of 

the Clean Air Act (CAA or Act) if they also were a non-attainment area, or an attainment/unclassifiable area 

with a section 175A maintenance plan, under the 1-hour ozone standard. For purposes of this ICR, 8-hour 

attainment areas that were designated nonattainment for the 1-hour standard immediately prior to 8-hour 

designation are presumed to have the same burden that they would have if we did not revoke the 1-hour 

standard and the area attained the standard and developed a 10 year maintenance plan for redesignation to 

attainment of the 1-hour standard. In addition, 8-hour attainment areas that had section 175A maintenance 

plans under the 1-hour standard immediately prior to 8-hour designation are presumed to have the same burden 

they would have if we did not revoke the 1-hour standard and the area had to develop its second 10-year 

maintenance plan under section 175A of the Act. In either case, there would also be a public hearing on the 

projections. We did not prepare an ICR for the section 51.905(c) and (d) section 110(a)(1) maintenance plan 

requirement. This requirement was issued under the Phase 1 final 8-hour Ozone NAAQS implementation rule. 

The preamble to that rule states that the preparation of an ICR is not warranted. 
2

 Subpart 2 and former Subpart 1 areas with projected attainment after 6-15-09. 

These 8-hour non-attainment areas would have to prepare an RFP SIP submission and 

an RACT SIP submission.

The incremental administrative burden for the areas and activities covered by this ICR is 

mitigated by 3 factors.

1. Some states may use some parts of EPA analyses conducted as part of the Clean 

Air Interstate Rule (CAIR) and 8-hour Ozone NAAQS Implementation Rule. 

Included in these analyses were emissions projections and air quality modeling 

design value predictions and interpolations for 2007, 2009, 2010, etc. 

2. Promulgated federal rules which reduce future emissions of ozone precursors. As 

a consequence:

i. Some designated non-attainment areas are projected to attain and maintain 

the 8-hour Ozone NAAQS without additional state emission reducing 

regulations or programs.

ii. Some designated non-attainment areas do not design and adopt additional 

state rules to fulfill RFP requirements set forth by the 8-hour Ozone 

NAAQS Implementation rule. The emission reductions associated with 

federal emission reducing rules are creditable toward RFP requirements. 

3. Experience with the 1-hour O3 NAAQS. Twenty-one of the original 26 subpart 2 

moderate and above 8-hour non-attainment areas were also moderate or above for 

the previous 1-hour Ozone NAAQS. Hence, there is familiarity with SIP 

activities for an Ozone NAAQS. Furthermore, many of these areas completed 

attainment demonstrations and fulfilled RFP and some RACT obligations for the 

1-hour Ozone NAAQS. 

The Agency anticipates additional administrative burden for state governments and the 

Agency of 20,000 hours and 2,200 hours, respectively. Fifty percent of the hours are 

expended in the 1st year with the remainder evenly divided between the 2nd and 3rd years of 

the ICR period. Tribes are not required to conduct attainment demonstrations or submit RFP 

or RACT SIPs. 

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

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

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

The present value of the Agency administrative cost burden is estimated at $156,466

dollars. This is equivalent to an equal annual stream of costs of $47,740 per year during the 

three year period.
3

2. Need For and Use of the Collection

2(a) Need/Authority for the Collection

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

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

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

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

but that standard was revised in 1997. As a result of litigation and subsequent court 

decisions, an implementation framework was developed for the 8-hour Ozone NAAQS, 

promulgated in 1997. 

The 8-hour Ozone NAAQS Implementation Rule was issued in two phases: Phase 1 was 

published April 30, 2004 and Phase 2 was published November 29, 2005. When the review 

and comment periods on the draft and final federal implementation rules closed, the affected 

parties could begin to assess the milestones and begin the planning process. In 2007 Phase I 

was vacated and all areas designated as “Subpart 1” areas were redesignated in 2009 as either 

Subpart 2 Marginal or Subpart 2 Moderate areas.

2(b) User/Users of the Data2

The data collected from respondents include attainment demonstrations, RFP SIP 

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

emission reductions are necessary to attain and maintain the 8-hour Ozone NAAQS. The 

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

as emission reductions are phased in over time. The RACT SIP identifies the assessment of 

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

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

RACT requirements can be used to meet RFP requirements. And, the RACT and RFP 

requirements can be used to satisfy the emission reduction requirements to attain and 

maintain the 8-hour Ozone NAAQS. The similarities between the RACT and RFP 

requirements may be reflected in the attainment demonstration.

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

submissions to inform their citizenry, including potentially regulated entities. They also use 

this information and analysis to fulfill federal obligations under Title I, Subpart D of the 

Clean Air Act and the 8-hour Ozone Implementation Rule. 

The potentially regulated entities use this information in assessing future emission 

reduction requirements.

 

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

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

and RACT SIP submissions are considered data.
4

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

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

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

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

3(a) Non-Duplication

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

the RFP SIP submission, and the RACT SIP submission.

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

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

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

identified below. 

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

o 51.121-51.122 NOx SIP Call....................................2060-0445

o 51.160-51.166 New Source Review..................................2060-0003

o 51.321-51.323 Air Quality Data Reporting....................2060-0088

o 51.353-51.354 Inspection/Maintenance........................2060-0252

o 51.365-51.366 Inspection/Maintenance........................2060-0252

 Approval and Promulgation of Implementation Plans

o 52.21 Prevention of Significant Deterioration..................2060-0003

 Ambient Air Monitoring Reference and Equivalent Methods

o 53.4 ..................................................................2080-0005

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

o 53.14..................................................................2080-0005

o 53.15 .................................................................2080-0005

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

 Outer Continental Shelf Air Regulations

o 55.4-55.8 ............................................................2060-0249

o 55.11-55.14 .........................................................2060-0249

 Ambient Air Quality Surveillance

o 58.11-58.14 .........................................................2060-0084

o 58.20-58.23 .........................................................2060-0084

o 58.25-58.28 .........................................................2060-0084

o 58.30-58.31 .........................................................2060-0084

o 58.33 .................................................................2060-0084

o 58.35 .................................................................2060-0084

o 58.40-58.41 ..........................................................2060-0084

o 58.43 .................................................................2060-0084

o 58.45 .................................................................2060-0084

o 58.50 .................................................................2060-0084

 Determining Conformity of Federal Actions to State or Federal Implementation Plans
5

o 91.150-93.160 ......................................................2060-0279

Attainment Demonstration. The attainment demonstration requirement appears as 40 

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

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

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

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

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

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

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

cost.

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

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

submission may complement them. For example, the emission reductions associated with the 

RFP SIP may also demonstrate attainment. 

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

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

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

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

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

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

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

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

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

environmental progress at a lower cost. 

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

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

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

RACT requirements for the PM NAAQS implementation rule. The states are encouraged to 

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

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

environmental progress at a lower cost.

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

Management and Budget (OMB)

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

the Office of Management and Budget and the availability of the draft supporting statement. 

In that announcement, EPA sought public comments. At the end of the 60-day comment 

period, EPA has received no public comments.
6

3(c) Consultations

EPA contacted the following respondents to directly solicit comments on EPA’s 

proposed ICR renewal: Mr. John Gowins, Kentucky Department of Environmental 

Protection, Division of Air Quality; Ms. Laura Booth, North Carolina Department of the 

Environment and Natural Resources, Air Quality Division and Mr. James Capp, Georgia 

Department of Natural Resources, Environmental Protection Division, Air Protection Branch. 

No comments were received.

3(d) Effects of Less Frequent Collection

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

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

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

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

areas.

3(e) General Guidelines

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

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

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

not require:

 reporting more than once a year;

 respondents to participate in a statistical survey; 

 responses to Agency inquiries in less than 30 days;

 respondents to receive remuneration for preparation of reports; 

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

 manual methods of reporting.4

3(f) Confidentiality

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

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

levels and control efficiency data provided by certain facilities in the private and public 

sector. This information is available from a variety of sources. It is the assimilation and 

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

the RACT SIP submittal.

There are 19 non-attainment areas that must prepare an attainment demonstration as well 

as submit an RFP and RACT SIP and 17 non-attainment areas that will re-designate before 

the time period covered by this ICR begins and will thus only need to prepare recordkeeping 

reports. States should already have information from emission sources, as facilities should 

 

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

4 However, the states must still submit their attainment demonstration, RFP SIP, and RACT SIP.
7

have provided this information to meet 1-hour SIP requirements, operating permits, and/or 

emissions reporting requirements. Such information does not generally reveal the details of 

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

Specifically, the completion of the emissions and control efficiency information that is 

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

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

3(g) Sensitive Information

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

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

4.0 The Respondents and the Information Requested

4(a) Respondents and the Non-Attainment areas

Table 1 lists the states and regional offices affected by the attainment demonstration, RFP 

SIP submission, and RACT SIP submission for the 36 non-attainment areas. Local, state, 

and federal agencies are part of the North American Industrial Classification System code 

number 924110.5

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

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

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

of the burden on these entities is beyond the scope of the Paperwork Reduction Act. 

 

5

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

waste management programs
8

Table 1. Classifications of 8-Hour Ozone Non-attainment Areas As of February 02, 2010 

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

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

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

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

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

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

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

The 1-hour ozone standard, as well as designations and classifications for all 1-hour ozone 

nonattainment and maintenance areas, have been revoked except for the Greensboro, NC, 

Nashville, TN, and Denver, CO maintenance areas. See details here.

Category/Classification (Attainment Date)

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

SEVERE 17 (June 2021) 

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

SEVERE 15 (June 2019)

 Houston-Galveston-Brazoria Area, TX

SERIOUS (June 2013) 

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

 Sacramento Metro Area, CA [n*]

 San Joaquin Valley Area, CA [n*]

 Ventura County (part) Area, CA

MODERATE (June 2010) 

 Atlanta Area, GA

 Baltimore Area, MD [n*]

 Baton Rouge Area, LA [n*]

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

 Charlotte-Gastonia-Rock Hill Area, NC-SC [m*]

 Dallas-Fort Worth Area, TX [n*]

 Greater Connecticut Area, CT [n*]

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

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

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

 Poughkeepsie Area, NY [n*]

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

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

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

MARGINAL (June 2007)

 San Francisco Bay Area, CA [n*]

FORMER SUBPART 1 (June 2009) 

 Allegan County Area, MI [m*]

 Amador and Calaveras Counties (Central Mountain Counties) Area, CA

 Buffalo-Niagara Falls Area, NY [n*]

 Chico Area, CA [n*]

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

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

 Jamestown Area, NY

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

 Las Vegas Area, NV [*]

 Mariposa and Tuolumne Cos (Southern Mountain Counties) Area, CA
9

 Nevada County (Western part) Area, CA

 Phoenix-Mesa Area, AZ [m*]

 Pittsburgh-Beaver Valley Area, PA [m*]

 San Diego Area, CA [m*]

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

As indicated in Table 1, some areas have non-attainment area segments in more than 

one state. Furthermore, sometimes these multi-state areas span more than 1 EPA Region. For 

example, the Philadelphia-Wilmington-Atlantic City non-attainment area encompasses part of 

Pennsylvania, Maryland, Delaware and New Jersey. Pennsylvania, Maryland and Delaware are 

in EPA Region 3 jurisdiction, while New Jersey is in EPA Region 2 jurisdiction. This could 

increase the administrative burden of the attainment demonstration, RFP SIP submission, and 

RACT SIP submission.

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

EPA Regional Office are presented in Table 2. There are 36 non-attainment areas resulting in 39

total areas that are affected by proposed designations. These were derived from the January 16, 

2009 information at: http://www.epa.gov/air/oaqps/greenbk/gncs.html. The numbers of areas 

predicted to be in attainment were derived by looking at air quality model simulation results. 

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

State or 

District

No. of 

Areas or 

Parts of 

Areas

EPA 

Region

No. of 

Subpart 

1 Areas 

No. of 

Subpart 2 

Moderate 

Areas 

No. of 

Subpart 2 

Serious 

Areas 

No. of 

Subpart 2 

Severe-15 

Areas 

No. of 

Subpart 2 

Severe-17 

Areas 

Arizona 1 9 1 0 0 0 0

California 13 9 7 1 4 0 1

Colorado 1 8 1 0 0 0 0

Connecticut 2 1 0 2 0 0 0

Delaware 1 3 0 1 0 0 0

District of 

Columbia

1 3 0 1 0 0 0

Georgia 1 4 0 1 0 0 0

Illinois 1 5 0 1 0 0 0

Louisiana 1 6 0 1 0 0 0

Maryland 3 3 0 3 0 0 0

Massachusetts 1 1 0 1 0 0 0

Michigan 1 5 1 0 0 0 0

Missouri 1 7 0 1 0 0 0

Nevada 1 9 1 0 0 0 0

New Jersey 2 2 0 2 0 0 0

New York 1 2 0 1 0 0 0

North 

Carolina

1 4 0 1 0 0 0

Pennsylvania 2 4 1 1 0 0 0

South 

Carolina

1 4 0 1 0 0 0

Texas 2 6 0 1 0 1 0

Virginia 1 3 0 1 0 0 0

Total 39 12 21 4 1 1
10

4(b) Information Requested

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

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

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

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

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

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

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

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

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

associated with the Consolidated Emissions Reporting Rule: 

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

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

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

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

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

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

meteorological data. These data are presently available. 

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

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

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

RFP and RACT SIP submissions as appropriate, adopted the SIP, and forwarded to EPA. These 

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

Agency Activities. EPA staff in the regional offices may facilitate timely receipt of the 

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

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

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

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

the SIP revisions. 

EPA headquarters staff will facilitate information flow amongst the regions and states to 

foster timely attainment of acceptable demonstrations and SIP submissions.

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

implementation rule (40 CFR 51.508, 51.910, and 51.912).
11

5.0 The Information Collected—Agency Activities, Collection 

Methodology, and Information Management

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

States: The states agencies’ activities include6:

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

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

hour Ozone NAAQS

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

creditable emission reductions, where necessary determine additional emission reductions 

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

make revisions as warranted. Submit RFP SIP to EPA Regional office. Have discussions 

with EPA.

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

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

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

discussions with EPA.

EPA Regional Offices. The regional office activities include:

 Answering inquiries put forth by the states.

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

SIP.

 Rulemaking actions approving or disapproving the SIP submissions

EPA Headquarters. The EPA headquarters office activities include:

 Facilitating information flow and problem solving amongst the regions regarding 

demonstrations and submittals from the states

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

5(b) Collection Methodology and Management

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

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

improvement verification procedures. 

5(c) Small Entity Flexibility

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

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

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

administrative burden on small entities. 

 

6

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

partnership with the states to facilitate accomplishment of the activities noted below. 
12

5(d) Collection Schedule

During the period from August 1, 2010 through July 31, 2013, there are three sets of 

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

submission.

Attainment Demonstration. The demonstration submission date is June 15, 2010 for 

Subpart 2 designated non-attainment areas which are classified as moderate and above and for 

Former Subpart 1 areas that have been redesignated as either marginal and had not yet attained 

by the June 15, 2007 deadline, or as moderate.

RFP SIP Submission. The RFP SIP submission date is June 15, 2013 for former 

Subpart 1 re-designated as moderate. However, Subpart 1 areas that demonstrate attainment as 

expeditiously as practicable but no more than 5 years following designation meet RFP. Subpart 

2 designated non-attainment areas which are classified as moderate or above, have June 15, 2013

as their RFP SIP submission date.

RACT SIP Submission. For Former Subpart 1 designated non-attainment areas which 

demonstrate attainment as expeditiously as practicable, but no later than 5 years following 

designation, RACT is met. For Former Subpart 1 areas having an attainment date of more than 5 

years, the RACT SIP submission date is June 15, 2010. For Subpart 2 designated non-attainment 

areas which are classified as moderate or above, the RACT SIP submission date is September 15, 

2010.

6. Estimating the Burden of the Collection

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

collection for both the respondents (the affected states) and the Agency (regional and 

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

collection item for a non-attainment area (or segment) in a given state, as well as the equivalent 

annual and present value numbers.

6(a) Estimating Respondent Burden

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

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

The estimated burden is incremental to that required by other EPA environmental 

reporting obligations. The incremental burden for some areas may be less than for others. 

There are several reasons for this disparity. 

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

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

requirements.
13

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

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

baseline conditions.

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

resulting from federal rules that reduce ozone precursor emissions.

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

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

proposed and published in the Federal Register on January 16, 2009 (74 FR 2936). As of this 

ICR, six of the former Subpart 1 areas have submitted redesignation requests and two areas have 

published clean data sets and are in attainment.

There are 36 Subpart 2 and Former Subpart 1 areas. As a starting point for developing 

burden estimates, the Agency looked at the total hours expended in related EPA level of effort 

work assignments, exclusive of the air quality modeling. The total was about 300 hours in level 

of technical effort for areas that plan to redesignate before the 2010 redesignations, 500 hours in 

technical effort for Former Subpart 1 areas where the SIPs must be corrected for new 

classification,

7

300 hours for SIP corrections after 1-year attainment date extensions have been 

granted, and 1000 hours for SIP corrections by moderate or above non-attaining areas and areas 

whose original designation had been escalated. The potential scope of that effort was 

geographically broad including all non-attainment areas outside AZ, CA, and NV. Examples of 

the specific scope of the effort included:

 Design of lower cost control strategies

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

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

emission reductions for some non-attainment areas)

 Assessment of RFP requirements for certain non-attainment areas

 Assessment of RACT if there was not a previous requirement

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

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

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

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

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

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

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

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

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

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

overlap of emission reductions associated with the attainment demonstration, RACT 

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

 

7 EPA Contract No. 68-D-00-283; Work Assignments 3-53 and 4-66.
14

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

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

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

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

Table 3.

Seventeen of these areas intend to redesignate before the 2010 designations are final, and 

thus an estimated amount of incremental burden for these areas is 300 hours per state. Eight 

areas must correct their SIPs after a new classification was granted and 500 hours per state has 

been allocated per state. Four areas must correct their SIPs after a one-year attainment date 

extension has been given, and an estimated burden of 300 hours per state has been allocated to 

these areas as well. Finally, seven areas are required to correct their SIPS for moderate areas that 

have since been redesignated at a higher nonattainment level (such as serious, severe-15, etc.).

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

and RFP SIP Submission.

State

EPA 

Region

No. of Areas 

or Parts of 

Areas

Additional

Hours Year 1

Additional 

Hours Year 2

Additional

Hours Year 3

Arizona 9 1 150 75 75

California 9 13 4,550 2,275 2,275

Colorado 8 1 150 75 75

Connecticut 1 2 300 150 150

Delaware 3 1 150 75 75

District of 

Columbia

3 1 150 75 75

Georgia 4 1 500 250 250

Illinois 5 1 150 75 75

Louisiana 6 1 150 75 75

Maryland 3 3 450 225 225

Massachusetts 1 1 300 150 150

Michigan 5 1 150 75 75

Missouri 7 1 150 75 75

Nevada 9 1 250 125 125

New Jersey 2 2 300 150 150

New York 2 1 750 375 375

North Carolina 4 1 150 75 75

Pennsylvania 3 2 300 150 150

South Carolina 4 1 150 75 75

Texas 6 2 650 325 325

Virginia 3 1 150 75 75

Total N/A 39 10,000 5,000 5,000

6(b) Estimating Respondent Cost

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

hours for the Former Subpart 1 and Subpart 2 areas. These estimates do not reflect staff 

experience and economies of scale. The hourly rates are the result of estimated directed and 
15

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

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

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

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

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

$33.34. This is the average of hourly equivalent rates for the San Francisco, CA and 

Washington, D.C. areas.

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

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

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

of that is $4.32.

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

added to the professional staff hourly rates. The average hourly equivalent rate for GS6, Step 6 using rates for San Francisco, CA and Washington, D.C. is $22.17. Sixteen 

percent of that is $3.55. 

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

following:

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

$6.59.

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

employee or $4.12.

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

employee or $13.18.

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

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

demonstration, RACT SIP submittal, and RFP SIP submittal is provided in Table 4.

Table 4. Estimated Total Incremental Cost and Hour Burden for the States (Respondents) to Fulfill the 

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

Areas Additional Cost 

for Year 1

Additional Cost 

for Year 2

Additional Cost 

for Year 3

Burden for the 3 

year ICR period

Former Subpart 

1 areas

$198,555 $99,277 $ 99,277 6,100 hours

Subpart 2 areas $452,445 $226,223 $226,223 13,900 hours

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

6(c) Estimating Agency Burden and Cost

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

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

subsequent refinement of the Agency burden and cost estimates.
16

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

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

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

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

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

and resulting burden estimates.

Agency Regional Office Burden. Table 5 summarizes total incremental respondent 

burden by Regional Office and provides estimates of total incremental Agency Regional Office 

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

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

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

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

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

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

reasonable allocation of total incremental Agency Regional Office burden would be 37.5% in 

year 1, 37.5% in year 2, and 25% in year 3. If that allocation were used, the corresponding 

Agency Regional Office burden estimates in years 1, 2, and 3 would be 750; 750; and, 500

respectively.

Table 5. Estimated Agency Regional Office Burden Derived by Taking 10% of Regional Respondent Burden 

Total for Years 1, 2, and 3

EPA 

Regional 

Office

Year 1 

Respondents’ 

Burden

Year 1 Agency 

Reg. Office 

Burden

Year 2 Agency 

Reg. Office 

Burden

Year 3 Agency 

Reg Office 

Burden

1 1,200 60 30 30

2 2,100 105 52.5 52.5

3 2,400 120 60 60

4 1,600 80 40 40

5 600 30 15 15

6 1,600 80 40 40

7 300 15 7.5 7.5

8 300 15 7.5 7.5

9 9,900 495 247.5 247.5

Total 20,000 1,000 500 500

Agency Headquarters Burden. The Regional Office burden estimates for years 1, 2, 

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

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

Total Incremental Burden for the Agency. The regional and headquarters office 

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

year.
17

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

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

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

Table 6. Total Cost Estimate for the Agency

Entity Year 1 Year 2 Year 3

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

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

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

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

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

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

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

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

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

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

Budget believed there were there were additional administrative burdens by the Agency. This 

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

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

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

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

the Agency. Because of the overlap in work for the attainment demonstration, RACT SIP 

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

covered by this ICR. In the Agency’s roles as facilitator, compiler, reviewer, and preparer, the 

estimated burden for the Agency is also expected to be greater in the 1st year than in the 2nd or 3rd

years. 

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

Table 7. 

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

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

States 6,667 20,000 $1.4 million

Agency 733 2,200 $ 0.16 million

Total 7,400 22,200 $1.6 million

*The estimates are in current year (2009) dollars. Costs for years 2 and 3 are calculated using the equation Present 

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

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

6(e) Reason for Change in Burden

We are requesting a decrease in burden of 278,666 hours due to the following factors:
18

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

the standards

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

they have done previously to comply with the standards.

The estimates have been calculated using 2009 dollars and some assumptions regarding 

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

common procedures for preparing ICRs.

6(f) Burden Statement

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

is estimated to average 171 hours per response. Burden means the total time, effort, or financial 

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

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

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

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

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

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

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

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

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

However, as stated in the November 29, 2005 Federal Register Notice for the 8-hour Ozone 

Implementation Rule on page 71,693, “... the failure to have an approved ICR for this rule does 

not affect the statutory obligation for the States to submit SIPs as required under part D of the 

CAA.” The 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-2003-0079, which is available for online viewing at 

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, 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 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-2003-0079 and 

OMB Control Number 2060-0594 in any correspondence.
19

PART B

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

associated with the proposed rule.