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SUPPORTING STATEMENT – INFORMATION COLLECTION REQUEST (ICR)

Cross-State Air Pollution Rule Update for the 2008 Ozone National Ambient Air Quality 

Standards (Proposed Rule)

1.0 Identification of the Information Collection

1.1 Title of the Information Collection

Cross-State Air Pollution Rule Update for the 2008 Ozone National Ambient Air Quality 

Standards, ICR Number 2391.04, OMB Control Number 2060-0667.

1.2 Short Characterization/Abstract

The United States Environmental Protection Agency (EPA) is proposing to revise certain 

provisions of the Cross-State Air Pollution Rule (CSAPR). The proposed revisions would alter 

the universe of electricity generating units (EGUs) covered by the CSAPR NOX Ozone Season 

Trading Program but would not alter any reporting requirements faced by an individual unit

covered by the program. This information collection request (ICR) addresses changes in 

information collection under CSAPR associated with the proposed changes in the universe of 

units subject to the CSAPR NOX Ozone Season Trading Program.

EPA issued CSAPR1in July 2011 to address Clean Air Act (CAA) requirements 

concerning interstate transport of air pollution with respect to the 1997 ozone national ambient

air quality standards (NAAQS) and the 1997 and 2006 fine particulate matter NAAQS. As 

amended in later rulemakings, CSAPR requires 28 states to limit their state-wide emissions of 

nitrogen oxides (NOX) and/or sulfur dioxide (SO2) beginning in 2015, and in some cases to limit 

emissions further beginning in 2017, in order to reduce or eliminate the states’ unlawful 

contributions to ozone and fine particulate matter pollution in other states. The emissions 

limitations are defined in terms of maximum state-wide “budgets” for emissions of ozone 

season2 NOX, annual NOX, and/or annual SO2 by each state’s EGUs. As the mechanism for 

achieving compliance with the emissions limitations, CSAPR requires the affected units in each 

affected state to participate in one or more emissions trading programs. Under each trading 

program, an affected unit is required to report its emissions and to surrender emission allowances 

sufficient to cover those emissions, and the total quantities of allowances issued to the affected 

units in each state are limited to the amounts in the state-wide emissions budgets. 

Implementation of CSAPR began in January 2015 following the U.S. Supreme Court’s 

reversal of a 2012 decision by the U.S. Court of Appeals for the District of Columbia Circuit 

(D.C. Circuit) vacating the rule.

3

 In July 2015, the D.C. Circuit issued a second decision on 

CSAPR largely upholding the rule against remaining challenges but remanding certain state 

budgets to EPA for reconsideration, including 11 states’ NOX Ozone Season trading budgets for 

 

1 Federal Implementation Plans; Interstate Transport of Fine Particulate Matter and Ozone and 

Correction of SIP Approvals, 76 FR 48208 (August 8, 2011).

2 For purposes of CSAPR, the “ozone season” includes the months of May through September.

3 EPA v. EME Homer City Generation, L.P., 134 S. Ct. 1584 (2014), rev’g EME Homer City 

Generation, L.P. v. EPA, 696 F.3d 7 (D.C. Cir. 2012).
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2017 and subsequent years.

4

 At the time of the D.C. Circuit’s second CSAPR decision, EPA had 

already commenced analysis of states’ potential obligations related to interstate transport under 

the 2008 ozone NAAQS. This proposed rulemaking would both respond to the D.C. Circuit’s 

remand of NOX Ozone Season trading budgets established with respect to the 1997 ozone season 

NAAQS for certain states and also address obligations with respect to the 2008 ozone NAAQS

for a larger group of states. Specifically, the proposal would establish new or revised NOX

Ozone Season trading budgets for 23 states determined to have obligations related to interstate 

transport under the 2008 ozone NAAQS and eliminate budgets for two states subject to the 

remand and determined not to have such obligations. Units in states with new or revised budgets 

(as well as units in one other state with an existing budget that was not remanded) would be 

required to participate in the CSAPR NOX Ozone Season Trading Program, while units in states 

whose budgets are eliminated would no longer be required to participate in the program.5 (EPA 

notes that in the final rule, the specific states for which budgets are added or eliminated, and 

therefore the specific units that would be added to or removed from the universe of units 

participating in the CSAPR NOX Ozone Season Trading Program, may change.)

All of the units that would be added to or removed from the universe of units subject to 

the information collection requirements of the CSAPR NOX Ozone Season Trading Program 

under this proposed rule are already subject either to those requirements or to overlapping

information collection requirements under the CSAPR NOX Annual Trading Program (or both). 

Most of these units also are already subject to related information collection requirements under 

the Acid Rain Program (ARP) established under Title IV of the 1990 CAA Amendments. Both 

CSAPR and the ARP have existing approved ICRs: EPA ICR Number 2391.03/OMB Control 

Number 2060-0667 (CSAPR), and EPA ICR Number 1633.16/OMB Control Number 2060-0258

(ARP). EPA has coordinated the information collection requirements under the ARP and 

CSAPR, and the information collection burden and costs covered under the CSAPR ICR are 

estimated as incremental to the information collection burden and costs under the ARP ICR. The 

net reductions in information collection burden and costs under this rule are estimated as 

incremental to the information collection burden and costs under the CSAPR ICR. Most of the 

information used to estimate burden and costs in this ICR was developed for the existing CSAPR 

and ARP ICRs. EPA intends to incorporate the changes in information collection burden and 

costs quantified in this ICR into the next renewal of the CSAPR ICR.

EPA has published a Notice of Proposed Rulemaking in the Federal Register that details

all proposed changes resulting from the rule, including the proposed changes in the set of units 

that would face emission reduction requirements in order to address interstate transport 

obligations related to ozone. As relevant here, the proposed rule would establish new obligations 

to address interstate ozone transport for Kansas and would discontinue obligations to address 

interstate ozone transport for Florida and South Carolina, in all cases starting in 2017. 

Consequently, Kansas units would become subject to the information collection requirements of 

the CSAPR NOX Ozone Season Trading Program starting in 2017, while Florida and South 

Carolina units would cease to be subject to those requirements in 2017. Information collection 

 

4 EME Homer City Generation, L.P. v. EPA, 795 F.3d 118 (D.C. Cir. 2015).

5 The proposed rule would not amend the information collection requirements applicable to any 

unit participating in the CSAPR NOX Ozone Season Trading Program. The proposed rule would 

amend certain other provisions of the program.
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requirements for units in other states affected by the proposed rule would not change because 

those units are already and would remain subject to the information collection requirements of 

the CSAPR NOX Ozone Season Trading Program, and the proposal does not alter the 

information collection requirements for any individual affected unit subject to the program. This 

ICR therefore focuses exclusively on changes in information collection burden and costs for 

units in Kansas, Florida, and South Carolina, which are summarized below.

With respect to affected units in Kansas and South Carolina that under this proposed rule 

would begin or end participation in the CSAPR NOX Ozone Season Trading Program, 

respectively, all of these units also already are and would remain covered by the CSAPR NOX

Annual Trading Program. The information collection requirements under the CSAPR NOX

Ozone Season Trading Program are almost entirely a subset of the information collection 

requirements under the CSAPR NOX Annual Trading Program, with the only exceptions being 

requirements to compute and report a small number of additional subtotals from the same hourly 

data. The modest one-time actions necessary for a unit that already reports annual data to add or 

remove computation and reporting of the additional subtotals are encompassed within the scope 

of the information collection burden and costs already covered under the existing CSAPR ICR. 

EPA therefore considers this proposed rule to entail no change in information collection burden 

or costs for these units.

With respect to affected units in Florida that under this proposed rule would end 

participation in the CSAPR NOX Ozone Season Trading Program, these units would no longer be 

required to report NOX mass emissions under any CSAPR program but a majority would 

continue to be subject to the ARP. EPA estimates that ARP-affected Florida units would 

experience no change in information collection burden and costs as a result of this rule because 

information collection activities essentially the same as those formerly required under CSAPR 

would still be required to fulfill ARP-related monitoring and reporting obligations. However, the 

subset of affected Florida units not subject to the ARP would experience a reduction in 

information collection burden and costs. These units would no longer be subject to monitoring 

and reporting requirements under 40 CFR part 75 for either CSAPR or the ARP and would 

therefore be able to discontinue monitoring and recording of hourly NOX emissions and heat 

input data, including maintenance and quality assurance activities for the required monitoring 

equipment (to the extent the activities are not required to meet other obligations).

6 The 

magnitude of the reductions in information collection burden and costs for a non-ARP-affected 

Florida unit resulting from this rule would vary depending on which of the monitoring 

methodologies available under 40 CFR part 75 the unit currently employs.

As noted above, the reductions in information collection burden and costs under this 

proposed rule are estimated as incremental to the information burden and costs under the existing 

CSAPR ICR. To provide context, this ICR describes the full set of information collection 

activities covered under the existing CSAPR ICR, noting instances where burden and costs 

would change as a result of this proposed rule. Most of these activities relate to monitoring, 

recordkeeping, and reporting of hourly emissions. CSAPR-affected units are required to: (1) 

submit a monitoring plan and certification reports for each monitoring system, (2) monitor and 

 

6 Because Florida was not covered by the NOX SIP Call, Florida EGUs have never been subject 

to part 75 monitoring and reporting obligations arising from any SIP submitted under that rule. 

See 40 CFR 51.121.
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record hourly emissions and operations data, and (3) submit quarterly reports of their emissions 

and operating data to EPA. All sources affected by CSAPR are required to monitor and report 

NOX and/or SO2 emissions in accordance with 40 CFR part 75. Sources with monitors already 

certified under 40 CFR part 75 may be exempt from initial certification requirements.

Like the ARP, CSAPR employs emission trading programs as a mechanism to reduce the 

overall costs of reducing emissions. In addition to the emission monitoring, recordkeeping, and 

reporting requirements just described, trading programs require other tasks that involve an 

information collection burden for permitting authorities, sources, and EPA. These tasks include: 

(1) permitting and other certification, (2) transfer and tracking of allowances; and (3) 

determination of annual year-end compliance. Emission allowance market participants using the 

CAMD Business System (CBS) to transfer allowances are required either to complete and 

submit an allowance transfer form for each allowance transfer or to perform the transfer on-line. 

CBS users that are not covered sources, such as allowance brokers, fuel suppliers, and 

environmental groups, are also required to file a onetime account information application to 

establish accounts in CBS. 

CSAPR regulates sources directly through federal implementation plans (FIPs) and does 

not impose any reporting obligations on non-industry entities. States have the option to replace 

provisions of the CSAPR trading programs applicable to the units in their states in whole or in 

part by submitting revisions to their state implementation plans (SIPs).

2.0 Need for and Use of the Collection

2.1 Need/Authority for the Collection

Emissions data in general are of vital importance to EPA for fulfilling a host of 

monitoring, standard-setting, rulemaking, reviewing, and reporting duties. CSAPR and its 

associated emissions data and other information collection requirements have been promulgated 

to implement CAA section 110(a)(2)(D), 42 U.S.C. 7410(a)(2)(D), often referred to as the Act’s 

“good neighbor” provision, which requires states to prohibit certain emissions because of their 

impact on air quality outside their borders. As relevant here, the provision requires all states, 

within three years of promulgation of a new or revised NAAQS, to submit SIPs that prohibit 

certain emissions of air pollutants because of the impact they would have on air quality in other 

states. As described above, CSAPR as originally promulgated addressed certain states’ good 

neighbor obligations with respect to the 1997 ozone NAAQS and the 1997 and 2006 fine 

particulate matter NAAQS, and this proposed rule addresses certain states’ good neighbor 

obligations with respect to the 2008 ozone NAAQS. Prior to CSAPR, EPA issued two other 

rules also implementing the good neighbor provision: the 1998 NOX SIP Call and the 2005 Clean 

Air Interstate Rule (CAIR), which superseded the NOX SIP Call. CAIR was remanded by the

D.C. Circuit and has now been replaced by CSAPR. 

CAA section 110(c)(1), 42 U.S.C. 7410(c)(1), requires EPA to act in certain 

circumstances where SIP deficiencies exist. Specifically, section 110(c)(1) requires the 

Administrator to promulgate a FIP at any time within two years after the Administrator either (1) 

finds that a state has failed to make a required SIP submission; (2) finds that a SIP submission is 

incomplete; or (3) disapproves a SIP submission. The Administrator must promulgate a FIP in 

the above-described scenarios unless the state corrects the deficiency and the Administrator 
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approves the SIP revision before the Administrator promulgates the relevant FIP. In this action, 

among other things, EPA is promulgating FIPs for states where SIP deficiencies exist with 

respect to states’ good neighbor obligations under the 2008 ozone NAAQS, and through those 

FIPs is requiring sources in the covered states to participate in the CSAPR NOX Ozone Season 

Trading Program as a mechanism to address the states’ good neighbor obligations.

CAA section 301(a)(1), 42 U.S.C. 7601(a)(1), gives the EPA Administrator general 

authority to prescribe such regulations as are necessary to carry out her functions under the Act. 

Pursuant to this section, EPA has the authority to include provisions in the CSAPR trading 

program regulations that are necessary to ensure that the programs are able to accomplish their 

authorized objectives, including information collection requirements.

2.2 Practical Utility/Users of the Data

Permit applications are used by states and EPA to issue operating and construction 

permits. A permit application is legally binding on the owners, operators, and designated 

representative of a source until the permit is issued. Affected sources rely on the permit for 

information regarding the applicable requirements with which they must comply. Because 

permit applications and permits are public documents, they may be used by the public to 

examine activities undertaken by affected sources.

Certificates of representation are used by EPA to ensure that emissions- and allowancerelated submissions by sources are authorized and to facilitate enforcement of program 

requirements.

Accurate emissions data obtained through monitoring and reporting under 40 CFR part 

75 are indispensable to successful fulfillment of states’ obligations under the CAA’s good 

neighbor provision as implemented through the CSAPR trading programs, for two reasons:

● Accurate emissions data are essential to enable EPA and states to assess the impact of the 

trading programs in reducing NOX and SO2 emissions, and therefore to assist states in 

meeting the ozone and fine particulate matter NAAQS. By reducing levels of NOX and 

SO2 emissions, the CSAPR trading programs reduce the adverse effects of the transport 

of ozone, ozone precursors, and fine particles from upwind states.

● EPA enforces the CSAPR trading programs (in part) by comparing emissions data 

measured, recorded, and reported under 40 CFR part 75 by affected sources with the 

numbers of allowances held in the respective compliance accounts of such affected 

sources.

In addition to the uses described above under CSAPR, emissions data and related 

information for units, along with emissions data and related information for other types of 

sources, are routinely used by EPA’s Office of Atmospheric Programs (OAP), Office of Air 

Quality Programs and Standards (OAQPS), and regional offices in carrying out a variety of 

activities. These activities support regulatory functions as well as functions that are more 

programmatic in nature such as trend analyses. Such projects include:

● Evaluation of existing control strategies, such as CSAPR, for states and larger areas;

● Evaluation of proposed control strategies for states and larger areas, including

applications of regional scale models;
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● Development of national control strategies and preparation of regulatory impact analyses 

(RIAs);

● Preparation and publication of national summaries of emissions, including trend analyses;

● Development and maintenance of a database to assist in the identification of important 

source categories for future regulation; and

● Preparation of the stationary source portion of a report to Congress on SO2 emissions. 

This report is required by section 406 of the 1990 CAA Amendments, 104 Stat. 2632, and 

is due on a five-year cycle that began on January 1, 1995. The report must contain an 

inventory of national annual SO2 emissions from industrial sources (as defined in CAA 

section 402, 42 U.S.C. 7651a).

EPA's Office of Research and Development (ORD) uses emissions data in determining 

priorities for control technology research and as a key data component in the application of 

regional scale models. EPA's regional offices use emissions data and other source parameters to 

support source inspections and in the analyses of the impact of new or modified sources within 

an area. EPA's Emission Inventory and Analysis group uses emissions data to assess and 

analyze trends in criteria pollutant emissions over time.

In addition to supporting projects and initiatives internal to EPA, OAP, OAQPS, and the

regional offices respond to numerous requests for reports on emissions from sources. Most 

requests come from contractors and consultants involved in special studies; a smaller number 

come from the press, universities, and others involved in research.

The collection of emissions data specific to nonattainment areas for certain criteria air

pollutants is necessary to comply with requirements specified in Title I of the CAA. States with

nonattainment areas rely on current emissions information from point, nonpoint, and mobile 

sources to revise their SIPs and to plan for emission reductions mandated by the CAA. In 

addition, a state-wide inventory compiled at least every three years for all point, nonpoint, and 

mobile sources is considered to be a key tool to assist states in meeting CAA requirements that 

address emissions tracking, compliance issues, and mid-course adjustments. State-wide 

emission inventories can be used by states affected by pollution transport from upwind areas to 

develop more efficient control strategies to meet NAAQS. State-wide emission inventories that 

were developed by EPA (the National Emissions Inventory, or NEI) are being used by the 

Regional Planning Organizations (RPOs) as the starting point for the development of state-wide 

emission inventories used in the regional haze program to define control strategies.

Information collected on allowance transfers in the CAMD Business System (CBS) is 

used by EPA to track allowances for the purpose of determining compliance with the NOX and 

SO2 trading programs. Information on allowance transfers is also used by participants in the 

allowance market and the public to evaluate the activities of affected sources, and by EPA for 

program evaluation. 

Together, the permit applications, certificates of representation, emissions data, and 

allowance transfer information help to provide the accountability to allow the NOX and SO2

trading programs to function without more stringent command and control approaches.
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3.0 Nonduplication, Consultations, and Other Collection Criteria

3.1 Nonduplication

Monitoring requirements, quality assurance activities, and data reporting requirements for 

units affected under the CSAPR NOX and SO2 trading programs are set forth in 40 CFR part 75

and are integrated with the analogous requirements under 40 CFR part 75 for units affected 

under the ARP. In most cases, units subject to both the ARP and one or more of the CSAPR

trading programs can comply with both programs using the same equipment subject to the same 

certification and quality assurance requirements. A single consolidated part 75 monitoring plan 

is required for each unit. Further, where applicable, a single consolidated quarterly electronic 

report of hourly emissions and heat input data is required. 

CSAPR imposes no independent permitting requirements. Operating permit 

requirements for CSAPR-affected sources are integrated with other source operating permit 

requirements under Title V, and any construction permit requirements arise under construction 

permitting programs.

3.2 Public Notice 

The preamble to the proposed rule was provided to the public with notice of and the 

opportunity to comment on this ICR.

3.3 Consultations

EPA has extensive experience with permitting requirements, emission reporting 

requirements, and administration of an allowance transfer and tracking system from 

implementation of the ARP, NOX SIP Call, CAIR, and CSAPR trading programs. This 

experience includes frequent interaction with affected sources and states. EPA has reflected 

lessons learned from program implementation and interactions with sources and states to refine 

the information collection requirements of each successive trading program, including the

CSAPR trading programs. 

EPA has also engaged in more structured consultation efforts. For example, during the 

development of CAIR, discussions were held with the National Association of Clean Air 

Agencies (NACAA) to clarify EPA's logic in developing the emissions reporting requirements

contained within that rule. Likewise, in 2009, EPA held a series of workshops with stakeholders 

to identify potential options for addressing the D.C. Circuit’s decision on CAIR.7 EPA 

considered comments received during and following the workshops when developing CSAPR

and its emission reporting requirements.

As part of updating the ARP ICR, EPA has contacted various affected parties to gather 

information on continuous emission monitoring system (CEMS) capital costs, CEMS operation 

and maintenance costs, fuel flowmeter capital costs, and CEMS/fuel flowmeter testing costs. 

That information has been used in the existing CSAPR ICR and in this ICR, as appropriate.

 

7 North Carolina v. EPA, 531 F.3d 896 (D.C. Cir), modified on reh’g, 550 F.3d 1176 (D.C. Cir. 

2008).
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Finally, as part of developing this ICR, EPA contacted vendors of data acquisition and 

handling systems (DAHS) used by units to collect and report emissions data under 40 CFR part 

75. The vendors confirmed that a unit already reporting hourly NOX emissions and heat input 

data for compliance with an annual program can activate or deactivate the capability to compute 

and report additional subtotals of that hourly data for compliance with an ozone season program 

with a minimal update to the DAHS inputs, and that for the estimated 95% of units with DAHS 

software maintenance contracts, the update would entail zero incremental cost.

3.4 Effects of Less Frequent Collection

Submittal of emissions and allowance transfer information on an annual basis (and/or on 

an ozone-season basis, as applicable) provides the data necessary to determine whether state 

budgets have been exceeded. If this information collection were not carried out at least as 

frequently as annually, EPA would not be able to verify that emission reductions necessary to 

meet each state's NOX and SO2 emission budgets were being achieved. Because the NOX and 

SO2 budgets prescribed have been deemed essential in order to aid downwind states in attaining 

the NAAQS in a timely manner, data collected less frequently would be of little or no use.

Quarterly collection of emissions data allows for frequent checking of reported data for 

errors and provides rapid feedback to industry of needed adjustments to data collection systems, 

thereby promoting more accurate and reliable emissions data. Also, existing federal and state

emission monitoring programs often require quarterly, or in some cases, monthly reporting. 

Collection less frequently than quarterly would increase the amount of preparation and review 

time at the end of the reporting period both for regulated sources and for EPA, and would slow 

down the process of compliance determination.

3.5 General Guidelines

This ICR does not violate any of OMB's guidelines for information collections.

3.6 Confidentiality

As required by CAA section 114, estimates or measurements of emissions submitted to 

EPA under the CSAPR trading programs and this proposed rule must be treated as nonconfidential. Under Agency procedures, certain data items relating to the computation of 

emissions may be identified as sensitive by a state and are then treated as "state-sensitive" by 

EPA. The potentially state-sensitive items include the following: process rate, boiler design 

capacity, emission estimation codes, percent space heat, operating rate, and maximum operation 

rate/hour. Where federal and state requirements are inconsistent, the appropriate EPA regional 

office should be consulted.
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3.7 Sensitive Questions

This information collection does not ask any questions concerning sexual behavior or

attitudes, religious beliefs, or other matters usually considered private.

4.0 The Respondents and the Information Requested

4.1 Respondents/NAICS Codes

CSAPR generally applies to stationary fossil fuel-fired boilers and combustion turbines 

serving at any time on or after January 1, 2005 a generator with nameplate capacity greater than 

25 megawatts producing electricity for sale. Under the North American Industry Classification 

System (NAICS), entities meeting these criteria are generally classified as code 221112, fossil 

fuel electric power generation, but some units classified under other NAICS codes may also meet 

these criteria. Cogeneration units and solid waste incineration units otherwise meeting these 

criteria may qualify for an exemption from CSAPR if they meet certain additional criteria. 

As noted above, CSAPR regulates sources directly through FIPs and does not impose any 

reporting obligations on non-industry entities. However, states have options to replace the 

CSAPR trading program provisions applicable to their sources in whole or in part by submitting 

SIP revisions, including limited SIP revisions that would change only how CSAPR emission 

allowances are allocated among the state’s affected sources. The CSAPR ICR estimates a 

burden for all states with CSAPR-affected sources to submit limited SIP revisions for that 

purpose. This proposed rule would reduce the number of states with such SIP revision options 

by only one state. This proposed rule also does not change any information collection 

requirements for any individual unit subject to a CSAPR trading program, and an estimate of 

burden for state and local permitting agencies to review the information collection requirements 

of CSAPR is already reflected in the CSAPR ICR. EPA believes this proposed rule creates no 

material change in information collection burden and costs for state and local permitting 

authorities relative to the burden and costs for these entities reflected in the existing CSAPR ICR 

and therefore does not consider these entities to be respondents for purposes of this ICR.

4.2 Information Requested

CSAPR requires units to monitor and report emissions and heat input data under 40 CFR 

part 75. Most of the emission reporting requirements under 40 CFR part 75 were established 

under the ARP and as subsequently modified are generally covered under the current ARP ICR 

for units subject to that program. The NOX SIP Call established additional obligations related to 

reporting of NOX mass emissions which were incorporated first into CAIR and then into 

CSAPR. As subsequently modified, these requirements are covered under the current CSAPR 

ICR. With respect to units not subject to the ARP, the CSAPR ICR also covers requirements 

that for ARP-affected units are covered by the ARP ICR. 

This section generally describes the data items requested from affected sources for the 

collections covered under the CSAPR ICR and defines the activities in which respondents must 

engage to assemble, submit, or store these data items. EPA notes that this proposed rule does not 
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change any of the information requested from any individual unit subject to any of the CSAPR 

trading programs, but would change the universe of units subject to these requirements.

(i) Data Items, Including Recordkeeping Requirements

(a) Permitting and Other Certification

CSAPR establishes no independent permitting requirements. A CSAPR-affected unit 

must revise its operating permit issued under Title V of the Act to incorporate CSAPR-related 

applicable requirements in accordance with the provisions of Title V. Title V permit 

applications must be kept for five years pursuant to Title V recordkeeping requirements. 

A unit that needs to add emissions monitoring equipment because of CSAPR’s 

monitoring and reporting requirements (and not because of any other monitoring and reporting 

requirements) may need to obtain a construction permit to install the required equipment. 

For each affected source and each affected unit at the source, the designated 

representative must submit a certificate of representation. Under 40 CFR §§ 97.416, 97.516, 

97.616, and 97.716, a complete certificate of representation includes:

● Identification of the source and unit;

● Dates on which the unit commenced commercial operation;

● Name and contact information for the CSAPR designated representative and alternate (if 

applicable);

● A list of the owners and operators of each unit; and

● A certification statement and signature of the CSAPR designated representative and 

alternate (if applicable).

Certification applications are to be kept for a period of five years pursuant to the general 

requirements imposed for Title V permitted sources.

(b) Monitoring and Reporting

CSAPR-affected sources are required to monitor, record, and report NOX and/or SO2

mass emissions data and heat input data following the requirements of 40 CFR part 75. The 

emissions monitoring requirements specify that affected sources must (1) submit a monitoring 

plan for each affected unit at a source, (2) submit data for certification of each monitor, (3) 

record hourly operational, pollutant monitor, and/or flow monitor data for each affected unit

(with specific requirements dependent on the particular monitoring methodology used), and (4) 

submit quarterly reports of emissions data and heat input data to EPA.

Respondents are required under 40 CFR 75.64 to submit the quarterly NOX and SO2 mass 

emissions data via direct electronic submission to EPA. Such data must include a certification 

statement by the source’s designated representative attesting to the accuracy, truthfulness, and 

completeness of the submission. Generally, all monitoring records are required to be kept for 

three years.

(c) Allowance Transfer

Sources and other trading program participants must submit allowance transfer, 

allowance deduction, and compliance assurance information, as necessary.
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(ii) Respondent Activities

With respect to permitting and other certification, industry respondents must include 

CSAPR-related applicable requirements in a Title V operating permit revision application. 

Although there is some possibility that a non-Title V source could be affected under CSAPR, all 

CSAPR-affected sources are assumed to be Title V sources for purposes of this ICR. It is 

assumed the permit revision application and all other monitoring, reporting, or recordkeeping 

requirements associated with Title V permitting are part of baseline Title V requirements. 

Respondents may also be required to submit construction permit applications if new emissions 

monitoring equipment is required and installation of the equipment requires a construction 

permit. Finally, respondents must submit an initial certificate of representation for each source 

with affected units and must submit a new certificate of representation whenever the designated 

representative changes.

The primary tasks that must be performed by industry respondents to meet CSAPR’s 

emissions monitoring and reporting requirements are: (1) completing and updating monitoring 

plans for each affected source and each affected unit at a source; (2) conducting tests to certify

monitors and submitting test results to EPA; (3) recording hourly emissions data (this activity is 

generally performed electronically); (4) performing operation and maintenance activities

associated with monitoring, including quality assurance activities; (5) assuring data quality,

preparing quarterly reports of emissions data, and submitting these reports to EPA; and (6)

responding to error messages generated by such submissions. In addition, respondents will have 

to purchase the necessary monitoring hardware and electronic data reporting software (or

software upgrades). For respondents that are also subject to the ARP, most of the burden 

associated with these activities is included in the ARP ICR.

Industry respondent tasks to meet CSAPR’s allowance transfer and tracking requirements 

include periodic submission of allowance transfer, allowance deduction, and compliance 

assurance information. State respondents that elect to provide allowance allocations must 

prepare and submit those allocations to EPA.

5.0 The Information Collected – Agency Activities, Collection Methods, 

and Information Management

5.1 Agency Activities

EPA activities associated with CSAPR information collection requirements include:

● Reviewing permit applications;

● Reviewing and processing certificates of representation;

● Reviewing monitoring plans and monitoring system certification applications; 

● Receiving, reviewing, and storing the emissions and heat input data submitted by each 

affected source;

● Processing and updating the data submitted by sources, including performing quality

assurance of data and coordinating efforts to resolve errors and anomalies; 

● Maintaining and administering the allowance transfer and tracking system;
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● Allocating allowances to affected units and recording allocations; 

● Calculating and reviewing annual emissions from affected sources, and aggregating such 

annual emissions for compliance assurance purposes,

● Reviewing total annual emissions data submitted to track each state's progress toward 

meeting its budgets and creating a summary report of emissions; and

● Fulfilling information requests.

5.2 Collection Methodology and Management

To ensure consistency and to expedite data entry, EPA requires that standard data formats 

under 40 CFR part 75 be used to submit the information collected for CSAPR.

Several computer systems and associated databases have been developed to (1) record 

quarterly emissions monitoring data, (2) track allowance transfer activity, and (3) calculate the 

number of allowances to be deducted each year. These systems and databases are designed to 

provide easy access to information for use by the Agency, states, regulated community, and 

general public. For example, EPA also uses these systems to help answer respondent questions 

and to conduct audits of data submissions.

EPA has also established a Clean Air Markets website that includes detailed information 

collected from emissions reports. Those without access to the internet may use the Clean Air 

Markets Hotline to request information, including summary reports. 

5.3 Small Entity Flexibility

CSAPR allows use of the range of emissions monitoring and reporting options provided 

under 40 CFR part 75. Units combusting coal generally must use CEMS for NOX, SO2, and heat 

input that include equipment to continuously monitor flue gas flow and flue gas concentrations 

of NOX, SO2, and either oxygen (O2) or carbon dioxide (CO2). Under options described in 

appendix D to part 75, units combusting exclusively natural gas and fuel oil may monitor fuel 

flow instead of flue gas flow and (where SO2 reporting is required) may perform fuel sulfur 

sampling instead of continuous SO2 concentration monitoring. In addition, under options 

described in appendix E to part 75, natural gas- and oil-fired units that qualify as peaking units 

may perform periodic NOX emission rate testing instead of continuous NOX and O2 or CO2

concentration monitoring. 

Further, many natural gas- and oil-fired peaking units qualify as low mass emissions

(LME) units under 40 CFR 75.19. To qualify as an LME unit, a unit must emit no more than 50 

tons of NOX during the May-September ozone season, 100 tons of NOX annually, and 25 tons of 

SO2 annually, and must annually calculate no more than these amounts based on specified 

procedures for calculating and reporting emissions. LME units are exempted from certain 

requirements to install and operate monitoring equipment, conduct fuel sampling, and perform 

quality assurance or quality control tests. Moreover, emissions reporting requirements are 

significantly simplified for these units.
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As discussed in the Regulatory Impact Analysis for the final ARP regulations (October 

19, 1992), smaller utilities are more likely to be dependent on natural gas- and oil-fired units, 

especially very small utilities.

5.4 Collection Schedule

Collection frequency under CSAPR is quarterly. All affected units must use the 

Emission Collection and Monitoring Plan System (ECMPS) to submit monitoring plan, quality 

assurance, certification test, and emissions data to EPA quarterly. In addition, CSAPR requires 

the collection of allowance tracking information as transfers are submitted, as well as 

information regarding other "event" submissions made on a one-time or annual basis. 

6.0 Estimating the Burden and Cost of the Collection

6.1 Estimating Respondent Burden

This section discusses EPA’s estimates of the paperwork burden and cost associated with 

the categories of activities described above: permitting and other certification; emissions 

monitoring, recordkeeping, and reporting; and allowance transfer activities. To estimate the 

burden and/or cost of each requirement, EPA has utilized prior estimates of the costs of 

activities, estimates provided by affected utilities in comments to the Agency, and/or estimates 

based on the Agency's experience in implementing existing trading programs.

(i) Respondent Permitting and Other Certification Activities

Some existing sources affected by CSAPR may have been required to construct and 

therefore obtain construction permits for additional equipment that was not required for ARP 

compliance. In the existing CSAPR ICR, the Agency estimates that applying for a construction 

permit takes 20 hours of managerial and 20 hours of technician time, per permit. With respect to 

this proposed rule, all existing sources whose coverage under the CSAPR NOX Ozone Season 

Trading Program changes would have already been subject to at least one CSAPR NOX trading 

program and would have already been required to construct whatever new equipment was

necessary, with the consequence that this proposed rule would cause no changes in the number of 

required construction permits. EPA assumes that new CSAPR-affected sources generally would 

also be affected under the ARP and that any burden associated with construction permits 

required by those sources would therefore be encompassed within the information collection 

burden and costs under the existing ARP ICR.

Under CSAPR, the designated representative for each affected source must submit a 

certificate of representation to EPA. Because most existing CSAPR-affected sources are already 

subject to the ARP, the Agency believes that the DRs for most CSAPR-affected sources only 

need to revise their existing certificates of representation, and that such revisions are routine. In 

the existing CSAPR ICR, the Agency therefore estimates that, on a per unit basis, about one half 

hour of managerial time and one half hour of technical time will be required to revise the 

certificate of representation. For purposes of this proposed rule, EPA estimates that changes in 

certificates of representation for affected units that are becoming subject to one more or one 

fewer CSAPR trading program are encompassed within the scope of the information collection 

burden and costs under the existing CSAPR ICR. 
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(ii) Agency and State Activities Relating to Permitting and Other Certification.

Agency permitting activities (including activities of permitting authorities) include 

receiving and processing certificates of representation, permit applications, and retired unit 

exemptions. In the existing CSAPR ICR, the Agency estimates that these activities will require 

2,926 hours per year. EPA estimates that the proposed rule will not cause any material change in 

these activities.

The existing CSAPR ICR also includes a one-time allocation of burden for staff at 

permitting authorities to read the requirements of CSAPR related to information collection. 

Because this proposed rule does not change the requirements of CSAPR related to information 

collection but only changes the universe of units covered by one of CSAPR’s trading program, 

and because no new permitting authorities would need to undertake activities related to 

CSAPR’s information collection requirements as a result of this proposed rule, EPA has not 

included any burden for this item in this ICR.

(iii) Industry Respondent Monitoring Activities

The great majority of information collection burden and costs under CSAPR relate to 

emissions monitoring and reporting activities. CSAPR generally requires all affected sources to 

monitor their NOX emission rate, SO2 emission rate, and heat input in order to determine NOX

mass emissions and SO2 mass emissions (except that CSAPR does not require SO2 monitoring 

for sources subject to only the CSAPR NOX Ozone Season Trading Program). Coal-fired units 

use NOX, SO2, and flue gas flow CEMS to meet those requirements. As noted in section 5.3 

above, natural gas- and oil-fired units have alternatives. To monitor SO2 emission rate and heat 

input data, these units may perform fuel sampling and analysis (or use an SO2 default factor for 

pipeline natural gas) combined with use of a fuel flowmeter. In addition, natural gas- and oilfired peaking units may perform periodic NOX emission rate testing combined with use of a fuel 

flowmeter to monitor NOX emission rate data. Certain additional data must also be monitored 

for quality assurance purposes. Certain units with low mass emissions may use assumed 

emissions factors together with operational data to calculate emissions.

CSAPR information collection burden and costs are calculated as incremental to the 

information collection burden and costs under the ARP ICR. CSAPR-affected units subject to 

the ARP already have all or, in a few cases, most of the monitoring and reporting capability 

required under CSAPR (or, in the case of CSAPR-affected new units, are required to obtain that 

capability for ARP compliance), and the associated burden and costs are accounted for under the 

ARP ICR. In general, for ARP-affected units, the principal additional information collection 

burden and costs required by CSAPR and therefore covered under the CSAPR ICR are those 

associated with (1) modifying certificates of representation, and (2) performing CSAPR 

allowance transfer activities. 

For CSAPR-affected units not subject to the ARP, CSAPR-related information collection 

burden and costs include the full burden and costs associated with reporting hourly NOX mass 

emissions, SO2 mass emissions (for units in states covered by CSAPR’s SO2 trading programs), 

and heat input data, as well as the burden and costs associated with modifying certificates of 

representation and performing CSAPR allowance transfer activities. Most non-ARP units 

subject to CSAPR established their required monitoring and reporting capability under CAIR, 

and their ongoing burden and costs under CSAPR, including annualized capital costs originally 

incurred under CAIR, are now accounted for under the CSAPR ICR. As noted earlier in this 
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section and in section 5.3 above, CSAPR provides a variety of monitoring options for affected 

units. Most CSAPR-affected units not subject to the ARP are combustion turbines that 

commenced commercial operation before November 15, 1990. These units generally qualify to 

use one of the alternative monitoring options available to natural gas- or oil-fired peaking units 

under 40 CFR part 75. However, the set of CSAPR-affected units not subject to the ARP also 

includes certain units qualifying for a cogeneration exemption under the ARP but not under 

CSAPR, some of which combust coal and therefore must use NOX, SO2 (for units in states 

covered by CSAPR’s SO2 programs), and flue gas flow CEMS to meet CSAPR’s monitoring and 

reporting requirements. 

Affected units in the following states are subject to the CSAPR NOX Annual Trading 

Program and one of CSAPR’s two annual SO2 trading programs: Alabama, Georgia, Illinois, 

Indiana, Iowa, Kansas, Kentucky, Maryland, Michigan, Minnesota, Missouri, Nebraska, New 

Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, 

Virginia, West Virginia, and Wisconsin.8 This proposed rule would not alter the states whose 

units are subject to these programs.

Affected units in the following states are currently subject to the CSAPR NOX Ozone 

Season Trading Program: Alabama, Arkansas, Florida, Georgia, Illinois, Indiana, Iowa, 

Kentucky, Louisiana, Maryland, Michigan, Mississippi, Missouri, New Jersey, New York, North 

Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, West 

Virginia, and Wisconsin.9 This proposed rule would alter coverage status under the CSAPR 

NOX Ozone Season Trading Program for affected units in three states beginning in 2017. 

Specifically, the rule would add coverage for affected units in Kansas and end coverage for

affected units in South Carolina and Florida. 

The following discussion highlights the estimated effects of the proposed rule on 

information collection burden for affected units in Kansas, South Carolina, and Florida

incremental to the burden covered under the existing CSAPR ICR. 

EPA estimates that affected units in Kansas would experience no change in information 

collection burden as a result of this proposed rule. The information collection requirements 

under the CSAPR NOX Ozone Season Trading Program are almost entirely a subset of the 

information collection requirements under the CSAPR NOX Annual Trading Program, with the 

only exceptions being requirements to compute and report a small number of additional subtotals 

from the hourly data that must already be collected and reported under the annual program. The 

capability to perform these computations and report the results is already part of standard DAHS 

programming requirements, so initiation of computation and reporting requires only a simple 

programming command to activate the built-in capability. EPA has confirmed with DAHS 

vendors that approximately 95 percent of affected units have DAHS maintenance contracts under 

which activation would entail zero incremental cost, and EPA estimates that activation costs for 

 

8 The D.C. Circuit has remanded to EPA for reconsideration the CSAPR SO2 Group 2 trading 

budgets for 2017 and subsequent years for Alabama, Georgia, South Carolina, and Texas. EME 

Homer City Generation, L.P. v. EPA, 795 F.3d 118 (D.C. Cir. 2015). 

9 The D.C. Circuit has remanded to EPA for reconsideration the CSAPR NOX Ozone Season 

trading budgets for 2017 and subsequent years for Florida, Maryland, New Jersey, New York, 

North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia, and West Virginia. Id.
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remaining units would be encompassed within the scope of DAHS maintenance costs covered 

under the existing CSAPR ICR. The only other monitoring-related change for an affected unit

would be a one-time revision to the unit’s monitoring plan. EPA estimates that zero incremental 

burden would be incurred to revise the monitoring plan to indicate that the unit is subject to 

ozone season reporting requirements as part of a routine periodic monitoring plan update.

EPA estimates that affected units in South Carolina would likewise experience no change 

in information collection burden as a result of this proposed rule for the same reasons discussed 

above with respect to affected units in Kansas. In order to avoid automatic error messages 

generated by submission of their electronic quarterly reports to EPA, affected units in South 

Carolina would need to deactivate computation and reporting of the additional subtotals required 

to be reported by units subject to the ozone season program. Deactivation would be covered 

under the DAHS maintenance contracts that approximately 95 percent of affected sources have, 

and EPA estimates that deactivation costs for remaining units would be encompassed within the 

scope of DAHS maintenance costs covered under the existing CSAPR ICR. EPA estimates that 

zero incremental burden would be incurred to revise an affected unit’s monitoring plan to 

indicate that the unit is no longer subject to ozone season reporting requirements as part of a 

routine periodic monitoring plan update.

Florida units also subject to the ARP would no longer be required to report hourly NOX

mass emissions data to EPA under any CSAPR trading program. However, under the ARP these 

units would continue to report hourly NOX emission rate, SO2 mass emissions, and heat input 

data, and their monitoring requirements, including their options as to the equipment used and the 

quality assurance activities performed, would not change. For this reason, EPA estimates that 

these units would experience no material change in information collection burden. Similar to a 

unit in South Carolina, in order to avoid automatic error messages generated by submission of 

electronic quarterly reports to EPA, a Florida unit subject to the ARP would need to deactivate 

certain computation and reporting capability built into the unit’s DAHS. Deactivation would be 

covered under DAHS maintenance contracts for approximately 95 percent of affected units, and 

EPA estimates that deactivation costs for remaining units would be encompassed within the 

scope of DAHS maintenance costs covered under the existing CSAPR ICR. EPA estimates that 

zero incremental burden would be incurred to revise an affected unit’s monitoring plan to 

indicate that the unit is no longer subject to CSAPR NOX Ozone Season reporting requirements 

as part of a routine periodic monitoring plan update.

Florida units not subject to the ARP would no longer be required to monitor or report 

NOX mass emissions or heat input data to EPA. These units would experience a decrease in 

information collection burden, with the magnitude of the burden varying depending on which 

monitoring option available under 40 CFR part 75 the unit currently employs. Units currently 

using continuous flue gas flow and NOX concentration monitoring would be able to discontinue 

equipment maintenance and quality assurance activities associated with both of these activities

(unless required to meet obligations not arising under CSAPR or the ARP) and would experience 

the largest reduction in burden. Units currently using appendix D methodologies that involve 

fuel flow monitoring instead of flue gas flow monitoring and using appendix E methodologies 

that involve periodic NOX emission rate testing instead of continuous NOX and O2 or CO2

concentration monitoring would experience smaller reductions in burden. Units currently using 

the LME monitoring methodology would experience the smallest reductions in burden. This 

ICR reflects the reduction in ongoing operation and maintenance costs associated with these 
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reductions in burden, but does not reflect any reduction in annualized capital costs related to 

investments that are assumed to have already taken place.

New units covered by CSAPR are in most cases also covered by the ARP. CSAPR

creates no material incremental monitoring-related burden or costs for these units, and their 

monitoring-related burden and costs (both capital/startup and ongoing) are accounted for in the 

ARP ICR. The existing CSAPR ICR includes monitoring and reporting burden and costs for an 

estimated number of new CSAPR units not covered by the ARP. The proposed rule only reduces 

the number of states in which new units could be subject to CSAPR by one state and hence is not 

expected to materially change the number of new CSAPR units not covered by the ARP. EPA 

therefore estimates zero incremental information collection burden and costs for new units as a 

result of this rule.

The specific elements of monitoring-related burden under the existing CSAPR ICR are 

described below. For each element, EPA indicates whether the burden associated with that 

element is expected to change for any units as a result of this rule. In this ICR, estimates of 

information collection burden and costs are quantified only for the two elements of respondent 

monitoring and reporting activities that EPA estimates will change as a result of this rule: (1) 

quality assurance (QA) activities and maintenance, and (2) quarterly reporting activities. As 

discussed above, EPA estimates that the only units that would experience a change in 

information collection burden and costs associated with these activities as a result of this 

proposed rule are non-ARP-affected units in Florida. EPA notes that monitoring burdens in 

general can differ significantly based on the particular monitoring methodology employed. The 

cost estimates EPA has used in this ICR therefore distinguish between units based on their 

current monitoring methodologies.

Review of Regulatory Requirements

The existing CSAPR ICR includes an allocation of time for respondents’ managerial and 

technical staff to review the CSAPR regulatory requirements as well as the XML formats and 

instructions associated with electronic emissions data submissions. Because this proposed rule 

makes no change in the information collection requirements applicable to any individual unit, 

EPA considers the costs for respondents to review information collection requirements to be 

covered under the existing CSAPR ICR. This ICR therefore reflects no burden or costs for this 

activity.

Start-up Activities

In general, start-up activities when a unit first becomes subject to particular emissions 

monitoring and reporting obligations encompass the acquisition, installation, and testing of 

necessary monitoring equipment, including both capital expenditures and labor costs. For most 

CSAPR-affected units, no such activities would have been required under CSAPR because the 

necessary monitoring equipment was already in place for ARP compliance. In the cases of units 

affected by CSAPR but not the ARP, annualized capital costs for startup activities are reflected 

in the existing CSAPR ICR. Because these annualized costs reflect recovery of sunk costs that 

are not affected by the program coverage changes in this proposed rule, no change in burden or 

costs for startup activities is reflected in this ICR. 
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Monitor Certification/Recertification

Initial certification burdens and costs for new monitoring equipment are generally 

encompassed within startup activities. However, monitoring systems occasionally require 

recertification because of changes in equipment. In the existing CSAPR ICR, EPA assumes that 

approximately ten percent of all units will have to recertify each year following the year in which 

the initial certification occurs. EPA estimates that there would be no change in this burden as a 

result of this proposed rule.

DAHS Debugging

The existing CSAPR ICR includes an estimated ongoing burden for affected units to 

debug the DAHS software used to report in the 40 CFR part 75 formats consisting of one 

managerial and four technician hours per year. EPA estimates that any change in responding to 

error messages as a result of this proposed rule would be minimal and is encompassed within the 

burden and costs covered by the existing CSAPR ICR.

Quality Assurance

Quality assurance (QA) activities and other routine maintenance for monitoring systems 

represent the largest burden item under CSAPR. These requirements generally include daily, 

quarterly, and annual QA requirements, depending on the 40 CFR part 75 monitoring approach 

being used. In the case of ARP-affected units, the burden and costs associated with these 

activities are covered by the ARP ICR, while for non-ARP-affected units the burden and costs 

are covered by the existing CSAPR ICR. Under this proposed rule, non-ARP-affected units in 

Florida would no longer be subject to part 75 monitoring and reporting requirements under either 

the ARP or any CSAPR trading program. These units would therefore experience a reduction in 

burden and costs associated with QA activities for their current monitoring systems. This 

reduction is covered by this ICR.

For units that use a CEMS, the Agency has assumed a per unit labor burden based on a 

variety of sources, including the existing ARP and CSAPR ICRs, information provided by ARP

and CSAPR sources, a CEM cost model developed by EPA, and comments submitted in 

response to the NOX SIP Call. For units that rely on the methodologies under appendices D 

and/or E of part 75 or the LME methodology under §75.19, reduced labor burden estimates apply 

because the quality assurance activities for those methodologies are less than for a CEMS. 

Under both the existing ARP ICR and the existing CSAPR ICR, the labor burden is expected to 

be almost entirely technician labor, and the same assumption is reflected in this ICR as well.

Quarterly Reports

Tasks performed by utilities in preparing quarterly reports include: (1) assuring the 

quality of the data, (2) preparing the quarterly report, (3) revising the monitoring plan, if 

necessary, (4) preparing hard copy documentation accompanying the quarterly reports, and (5) 

managerial review. In the case of ARP-affected units, the burden and costs associated with these 

activities are covered by the ARP ICR, while for non-ARP-affected units the burden and costs 

are covered by the existing CSAPR ICR. Under this proposed rule, non-ARP-affected units in 

Florida would no longer be subject to part 75 monitoring and reporting requirements under either 

the ARP or any CSAPR trading program. These units would therefore experience a reduction in 

burden and costs associated with quarterly reporting activities. This reduction is covered by this 

ICR, using the costs in the existing CSAPR ICR as the basis for the estimates.
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Responding to Error Messages

The Agency provides feedback for errors that are found in monitoring plans or other 

reports. For the existing CSAPR ICR, EPA assumes that each respondent not subject to the ARP 

experiences a burden for responding to these error messages estimated as four hours of 

managerial time and eight hours of technician time each year. (The burden for ARP-affected 

sources is accounted for in the ARP ICR.) EPA estimates that any change in responding to error 

messages as a result of this proposed rule would be minimal and is encompassed within the 

burden and costs covered by the existing CSAPR ICR. 

(iv) Agency Monitoring Activities

Agency activities related to the monitoring and reporting of emissions data include 

processing, reviewing, and evaluating reports of quarterly emissions data from affected units. In 

the existing CSAPR ICR, the Agency estimates that these activities will require 4,500 hours per 

year. EPA estimates that this proposed rule will not result in any material change to this burden.

(v) Industry Respondent Allowance Transfer Activities

In the existing CSAPR ICR, the Agency estimates that the average annual number of 

CSAPR allowance transactions will be approximately 7,500 per year. This estimate is based on 

transaction data associated with the CAIR trading programs. The Agency believes that each 

transaction will involve about one hour each of managerial and technician time. EPA estimates 

that this proposed rule will not result in any material change to this burden.

(vi) Agency Allowance Transfer Activities

Agency activities related to allowance transactions include allocating allowances to 

existing and new units, reviewing allowance transfer information, recording transfers, notifying 

transfer participants, entering deduction data and deducting allowances, and ensuring compliance 

assurance provisions are met. In the event that compliance assurance provisions are not met it is 

estimated that the burden for each state exceeding compliance assurance levels would be 160 

hours, however, the agency assumes that the compliance assurance provisions will be met in all 

states in all years. In the existing CSAPR ICR, EPA estimates that allowance transaction 

activities require 290 hours per year. EPA estimates that this proposed rule will not result in any 

material change to this burden.

(vii) State Allowance Transfer Activities

The FIPs promulgated by EPA specify default allocations of CSAPR emission 

allowances for each CSAPR trading program among each state’s affected sources. States that 

wish to revise these default allocations may do so by submitting limited SIP revisions for that 

purpose. In the existing CSAPR ICR, EPA has conservatively assumed that all states with 

CSAPR-affected sources will choose to submit such revisions, and that the activities to prepare 

the submissions will require 100 hours per year. EPA estimates that this proposed rule will not 

result in any material change to this burden.

6.2 Estimating Respondent Costs

Table 6-1 summarizes the annual industry respondent costs. It should be noted that the 

labor hours and cost estimates per unit identified in this document represent averages for all units 
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subject to changed information collection requirements and do not represent the actual burden 

and cost for any particular unit. The following discussion describes how the costs were derived.

(i) Estimating Labor Costs

For this ICR, EPA has estimated labor costs for industry respondents based on cost rates 

of $95.10/hour for managers and $67.38/hour for technicians. These rates are consistent with the 

Current Employment Cost Index for 2013 and were also used in the existing CSAPR ICR.

This ICR does not require estimates of labor costs for federal, state, or local entities 

because EPA estimates that the changes in burden under this proposed rule affect only industry 

respondents. 

(ii) Estimating Capital and Operation and Maintenance Costs

In general, capital/start-up costs for a CSAPR-affected unit include the cost of installing 

required CEMS or alternatives. Operation and maintenance costs (exclusive of labor costs) 

reflect ongoing costs to a unit and include both contractor costs for the required recertification, 

diagnostic, and quality assurance (QA) testing, and other direct maintenance-related expenses 

(e.g., spare parts and calibration gases). For the existing CSAPR ICR, EPA has derived cost

estimates for these items from EPA CEM cost models; ICRs for the ARP, the NOX SIP Call, and 

CAIR; Agency staff experience under the ARP, NOX SIP Call, CAIR, and CSAPR programs;

and supplemental estimates provided by affected utilities and others related to the various cost 

items. For purposes of the ICR under this proposed rule, EPA has relied on the cost estimates for 

the existing CSAPR ICR.

As discussed above, EPA estimates that the only types of costs for which respondents 

would experience a change under this proposed rule are annually recurring costs related to QA 

activities and maintenance and quarterly reporting of emissions and other data. QA and 

maintenance costs vary depending on whether the unit employs CEMS or follows one of the 

other monitoring methodologies available under 40 CFR part 75. The costs shown for units 

employing particular monitoring methodologies in Table 6-1 represent estimated average costs 

for units using that methodology, and the total costs per respondent represent weighted average 

costs for all respondents, not the costs for any individual respondent.

EPA has concluded that the capital and operations and maintenance costs estimated for 

the Agency under the ARP ICR are sufficient to accommodate the modest changes in reporting 

burden for the Agency under CSAPR. Therefore, no further estimate of capital and operations 

and maintenance costs for the Agency is reflected either in the CSAPR ICR or in the ICR for this 

proposed rule.

(iii) Capital/Start-up vs. Operation and Maintenance Costs

All cost estimates presented in this ICR are for annually recurring operation and 

maintenance costs. EPA assumes that no existing CSAPR-affected units would incur or avoid 

capital expenditures or other startup costs as a result of this proposed rule because the relevant 

capital expenditures and startup costs have already been incurred. Units whose information 

collection requirements change as a result of this proposed rule would continue to bear the 

annualized capital costs for expenditures they have already made, as estimated under the existing 

CSAPR ICR. EPA also assumes for purposes of this ICR that any new CSAPR-affected units 

would be also be subject to the ARP, and that capital costs and startup costs for these units are 

covered under the existing ARP ICR.
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(iv) Annualizing Capital Costs

As discussed above, the information collection costs covered under this ICR do not 

include any annualized capital costs.

6.3 Estimating the Respondent Universe and Total Burden and Costs

In the existing CSAPR ICR, the total number of industry respondents is estimated to be 

1,201 sources. For purposes of this proposed rule, the total number of industry respondents is

the subset of those sources that would either gain or lose information collection requirements 

under the CSAPR NOX Ozone Season Trading Program. EPA estimates that the set of industry 

respondents for this proposed rule comprises 116 sources in Florida, Kansas, and South Carolina

with units that currently are affected under CSAPR. EPA estimates that 443 units at these 

sources would gain or lose information collection requirements under this proposed rule. 

As discussed above, EPA estimates that all CSAPR-affected units in Kansas and South 

Carolina and CSAPR-affected units in Florida that are also affected under the ARP would 

experience no change in information collection burden or costs as a result of this proposed rule

despite the change in information collection requirements. EPA estimates that the CSAPRaffected units in Florida that are not affected under the ARP would experience a reduction in 

information collection burden and costs as a result of this rule, with the magnitude of the 

reduction varying based on the monitoring methodology employed at each individual unit. EPA 

estimates that there are 113 units in Florida that currently are affected under CSAPR but are not 

affected under the ARP.

Table 6-1 contains estimates of the reductions in annual information collection burden

and costs to the 113 Florida units that would experience a change in information collection 

burden and costs under this rule, expressed as incremental to the information collection burden 

and costs under the existing CSAPR ICR. As discussed above, while the overall set of activities 

producing an information collection burden and costs for a unit subject to CSAPR includes

permitting and other certification, emissions monitoring and reporting, and allowance transfer 

activities, EPA estimates that the only activities for which burden and costs would materially 

change under this rule are the activities related to emissions monitoring and reporting. 

The existing CSAPR ICR reflects a burden for 104 state and local permitting authorities 

associated with reading CSAPR’s information collection requirements, reviewing CSAPRrelated permit submissions, and performing optional allocations of allowances. As discussed 

above, EPA estimates that this proposed rule would not cause any material change to the 

information collection burden and costs encompassed in the existing CSAPR ICR for either the 

Agency or for any state and local permitting authority. 

6.4 Bottom Line Burden Hours and Cost

EPA estimates that this proposed rule would alter information collection requirements for 

116 industry respondents in Florida, Kansas, and South Carolina either by causing the CSAPR 

NOX Ozone Season Trading Program to apply to a unit not currently subject to the program or by 

ending applicability for a unit currently subject to the program. EPA estimates that the 

aggregated change in information collection burden resulting from these changes would be a 
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burden reduction of 14,064 hours, or an average burden reduction of 121 hours per respondent. 

EPA estimates that the aggregated change in information collection costs would be a cost 

reduction of $1,472,047, or an average cost reduction of $12,690 per respondent. 

6.5 Reasons for Change in Burden

The reason for the decrease in burden estimated in this ICR is that the proposed rule 

would decrease the universe of respondents subject to information collection requirements under 

the existing CSAPR ICR and would not impose any new substantive information collection 

requirements on any respondents. 

6.6 Burden Statement

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

information is estimated to be an average reduction of 121 hours per response from the burden 

for approved existing collections of information. Burden means the total time, effort, or 

financial resources expended by persons to generate, maintain, retain, 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, maintaining, disclosing, and providing 

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

and requirements; training personnel to be able to respond to a collection of information; 

searching data sources; completing and reviewing the collection of information; and transmitting

or otherwise disclosing 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 facilitate 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 No. EPA-HQ-OAR-2015-0500, which is available for public viewing 

at the Air and Radiation Docket and Information Center in the EPA Docket Center (EPA/DC), 

WJC West, Room 3334, 1301 Constitution Avenue NW, Washington, DC. The EPA Docket

Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, 

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

the telephone 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, to 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, DC 20503, 

Attention: Desk Officer for EPA. Please include EPA Docket ID No. EPA-HQ-OAR-2015-0500 

and OMB Control Number 2060-NEW in any correspondence.
ICR for the Cross-State Air Pollution Rule Update for the 2008 Ozone NAAQS

November 17, 2015

23

Table 6-1:

Annual Industry Respondent Burden and Cost by Activity

Manager 

$95.10

Per Hour 

(2013)

Technical 

$67.38

Per Hour 

(2013)

Respondent 

Hours/Year

Respondent

Labor 

Cost/Year

Annual 

Capital 

Cost

O&M 

Cost

Number of 

Respondents

(Units)

Total 

Hours/Year

Total 

Cost/Year

Perform QA Testing and Maintenance

Florida units no longer affected under either CSAPR or ARP

a. Solid fuel-fired

units: NOX CEMS 

and flue gas flow 

CEMS (40) (400) (440) ($30,756) ($31,949) 7 (3,080) ($438,935)

b. Gas/oil-fired units: 

NOX CEMS and 

Appendix D fuel 

flow monitoring (20) (375) (395) ($27,170) ($17,818) 2 (790) ($89,976)

c. Gas/oil-fired peaking 

units: Appendix D 

fuel flow monitoring

and Appendix E

NOX rate testing, or 

§75.19 LME 

methods (5) (30) (35) ($2,497) ($1,843) 104 (3,640) ($451,360)

Assure Data Quality, Prepare Reports, Submit Reports

All Florida units no 

longer affected under 

either CSAPR or ARP (16) (42) (58) ($4,352) 113 (6,554) ($491,776)

TOTAL (14,064) ($1,472,047)