1189ss28 revised

SUPPORTING STATEMENT

for

Identification, Listing and Rulemaking Petitions (Final Rule titled Hazardous and Solid Waste Management System: Disposal of Coal Combustion Residuals from Electric Utilities; Amendments to the National Minimum Criteria (Phase One))

1. IDENTIFICATION OF THE INFORMATION COLLECTION

1(a) Title of the Information Collection Request (ICR)

Identification, Listing and Rulemaking Petitions (Final Rule titled ‘Hazardous and Solid Waste Management System: Disposal of Coal Combustion Residuals from Electric Utilities; Amendments to the National Minimum Criteria (Phase One)’)

EPA ICR No. 1189.28, Office of Management and Budget (OMB) Control No. 2050-0053.

1(b) Short Characterization

This ICR amends the previously approved ICR (EPA ICR Number1189.26), OMB Control No. 2050-0053, which covers the Identification, Listing and Rulemaking Petitions under the authority of the Resource Conservation and Recovery Act of 1976 (RCRA), as amended, codified under 40 Code of Federal Regulations (CFR) parts 260 and 261. This ICR package (EPA ICR Number 1189.28) represents the new information collection requirements imposed by the Hazardous and Solid Waste Management System: Disposal of Coal Combustion Residuals from Electric Utilities; Amendments to the National Minimum Criteria (Phase One); Final Rule (referred to herein as the Phase One Final Rule).

The EPA published a final rule to regulate the disposal of coal combustion residuals (CCR) from electric utilities as solid waste under RCRA Subtitle D. See 80 Fed. Reg. 21302 (April 17, 2015). EPA established national minimum criteria for existing and new CCR landfills and CCR surface impoundments and all lateral expansions to include location restrictions, design and operating criteria, groundwater monitoring and corrective action, closure requirements and post-closure care, and recordkeeping, notification, and internet posting requirements.

The Agency is finalizing a rule that will change compliance dates associated with two 2015 rule provisions to require compliance by October 2020. Phase One Final Rule also includes a third revision that clarifies certain groundwater measures, and two provisions that establish alternative performance standards for owners and operators of CCR units located in states that have approved CCR permit programs (participating states) or are otherwise subject to oversight through a permit program administered by EPA.

In December 2016, the President signed the Water Infrastructure Improvements for the Nation (WIIN) Act, which amended RCRA Subtitle D and established new statutory provisions applicable to CCR landfills and CCR surface impoundments. In particular, the WIIN Act provides that, states may, but are not required to, develop and submit a permit (or other system of prior approval) program for CCR disposal to EPA for approval. Such a program does not have to be identical to the requirements in the CCR rule (40 CFR part 257, subpart D), but must be at least as protective as the CCR rule. EPA has developed Guidance to provide states with information needed to apply for permit program approval.

This ICR addresses the following changes in information requirements associated with the Phase One Final Rule provisions and with anticipated adoption of flexibilities under the WIIN Act by states:

Changes in compliance dates for key closure provisions

1. Phase One Final Rule Provision 1: Extension of Compliance Date for Aquifer Location Standards

2. Phase One Final Rule Provision 2: Modification of the Date by Which Unlined Surface Impoundments Must Cease Receiving Waste and Initiate Closure

Revise groundwater monitoring documentation for qualifying facilities

3. Alternative Performance Standard 1 (Proposed Rule Alternative Performance Standard 3): Suspension of Groundwater Monitoring Requirements: Suspend documentation requirements under 40 CFR 257.90 through 98 in implementing states for units demonstrating “no migration.”

Third-Party Certification: Professional Engineer Certifications

4. Alternative Performance Standard 2 (Proposed Rule Alternative Performance Standard 6): Professional Engineer Certifications: Revised costs of certification for up to 40 provisions under 40 CFR 257 for eligible units in states adopting WIIN Act flexibilities that opt to use review by engineers at state agencies, or, in appropriate circumstances, by EPA staff, in place of third-party professional engineer certifications.

The remaining provision in the rule addresses groundwater standards and makes no changes to requirements affected by the Paperwork Reduction Act.

2. NEED FOR AND USE OF THE COLLECTION

2(a) Need/Authority for the Collection

The CCR rule regulates the disposal of CCR generated by electric utilities as solid waste under RCRA Subtitle D and finalizes national minimum criteria for existing and new CCR landfills and existing and new CCR surface impoundments and all lateral expansions. These regulations are established under the authority of sections 1006(b), 1008(a), 2002(a), 3001, 4004, and 4005(a) of the Solid Waste Disposal Act of 1970, as amended by the Resource Conservation and Recovery Act of 1976 (RCRA), as amended by the Hazardous and Solid Waste Amendments of 1984 (HSWA), 42 U.S.C. §§ 6906(b), 6907(a), 6912(a), 6944 and 6945(a).

At the time the CCR regulations issued on April 17, 2015, under Subtitle D of RCRA EPA had no formal role in rule implementation nor could the agency enforce the requirements in the rule. Therefore, the regulations were “self-implementing,” that is, a facility must comply with them without any action by a regulatory agency. As a result, EPA also encouraged states to revise their Solid Waste Management Plans (SWMPs) and submit these revisions to EPA for approval. EPA explained that revised SWMPs were the best mechanisms available to show alignment between state and federal requirements, provide the public the opportunity to review and comment on states’ plans for regulating CCR landfills and surface impoundments in their state, and to demonstrate consistency with the federal requirements.

To address concerns about the absence of adequate regulatory oversight under Subtitle D, EPA also sought to enhance the protectiveness of the regulatory requirements by providing for state and public notifications of the third party certifications, as well as requiring a robust set of other information that documents the decisions made or actions taken to comply with the technical requirements of the rule.

The combined mechanisms of recordkeeping, notifications, and maintaining a publicly accessible internet site under the final rule are needed to provide interested parties with the information necessary to determine whether the owner or operator is operating in accordance with the requirements of the rule. These requirements will minimize the danger of owners or operators abusing the self-implementing system established in this rule, through increased transparency that will facilitate enforcement by states and private citizens. EPA has consolidated the recordkeeping, notification and internet posting requirements into a single section of the regulations in an effort to make the regulations easier to follow. See 40 CFR §§ 257.105, 257.106, and 257.107.

With the passage of the WIIN Act in December 2016, RCRA Subtitle D was amended to provide new statutory authority pertaining to the management of CCR in landfills and surface impoundments. The WIIN Act allows states may, but are not required to, develop and submit a CCR permit program (or other system of prior approval) to EPA for approval. Such a program does not have to be identical to the requirements in the CCR rule (40 CFR part 257, subpart D), but must be at least as protective as the CCR rule. EPA is developing a Guidance document to provide states with the information needed to apply for permit program approval.

The Phase One Final Rule, as well as implementation of flexibilities under the WIIN Act, adjusts several of the closure, monitoring, corrective action, and certification requirements of the 2015 CCR Rule. This ICR describes those changes.

2(b) Use/Users of the Data

The Phase One Final Rule adjusts certain provisions of the 2015 CCR Rule, which requires owners or operators of CCR units to document how the various provisions of the rule have been met by placing information (e.g., demonstrations, plans, records, notifications, and reports) in the operating record and providing notification of these actions to the state and/or appropriate Tribal authority. The owner or operator is also required to establish and maintain a publicly accessible internet site that posts documentation that has, in many instances, also been entered into the operating record. The owner or operator must place files documenting compliance with the location restrictions; design criteria; operating criteria; groundwater monitoring and corrective action; closure and post-closure care, into the operating record, with the specific documentation requirements found in 40 CFR 257.105. Each file must be maintained in the operating record for a period of at least five years following submittal of the file into the operating record. In certain instances, however, files must be maintained until the CCR unit completes closure.

Owners or operators are required to notify State Directors and/or the appropriate Tribal authority when specific documentation has been placed in the operating record and on the owner or operator’s publicly accessible web site. In most instances these notifications must be certified by a qualified professional engineer and, in certain instances will be accompanied with additional information and or data supporting the notification. Notification requirements have been consolidated in 40 CFR 257.106, and are required for location criteria, design criteria, operating criteria, groundwater monitoring and corrective action and closure and post-closure care.

Owners and operators are required to establish and maintain a publicly accessible internet site, titled “CCR Rule Compliance Data and Information.” Owners or operators that maintain multiple CCR units may elect to use one internet site in order to comply with these requirements, provided that the website clearly and distinctly identifies information from each of the CCR units by name and location. Internet postings are required for various elements identified in the following sections: location restrictions; design criteria; operating criteria; groundwater monitoring and corrective action; closure and post-closure care. Information posted to the internet site must be available for a period no less than five years from the initial posting date, unless otherwise noted in the rule. Posting of information must be completed no later than 30 days from submittal of the information to the operating record.

EPA believes that these requirements will enhance the protectiveness of the rule by providing for state and public notifications of the third party certifications, as well as requiring a robust set of other information that documents the decisions made or actions taken to comply with the technical requirements of the rule. Further, EPA believes that the establishment and maintenance of this information in both the operating record and on a publicly accessible internet site is appropriate so as to allow states and citizens access to all of the information necessary to show that the rule has been implemented in accordance with the regulatory requirements. EPA has consolidated the recordkeeping and notification requirements into a comprehensive listing in a single section of the regulations. See 40 CFR §§ 257.105 and 257.106, respectively. The Agency anticipates that this will facilitate compliance, and will provide other interested parties with an easy to read guide to the reporting provisions of the rule.

With the passage of the WIIN Act in December 2016, RCRA Subtitle D was amended to provide new statutory authority pertaining to the management of CCR in landfills and surface impoundments. The WIIN Act allows states to seek CCR permit program approval from EPA. This ICR covers the voluntary action that states may take to obtain CCR permit program approval and implement flexibilities under the WIIN Act. EPA is developing a Guidance document to provide states with the information needed to apply for permit program approval. If a state elects to pursue program approval, the information provided by the state will allow EPA to assess and determine whether the state submission meets the statutory requirements.

3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA

3(a) Nonduplication

None of the information required by the regulations covered in this ICR is available from any source but the respondents. None of the regulations are duplicative of any other EPA regulations.

Changes to recordkeeping requirements under the Phase One Final Rule are not duplicative with any information required by the existing Federal RCRA regulations.

3(b) Consultations

EPA had a 45-day comment period on the proposed rule and a 30 day public comment period on the recordkeeping and reporting requirements to solicit comment, and held a public meeting on April 24, 2018.

3(c) Public Notice

In compliance with the Paperwork Reduction Act of 1995, EPA opened a public comment period for the ICR when the Proposed Rule was published in the Federal Register. At the end of the comment period, EPA reviewed public comments received in response to the notice and addressed comments received in the final rule. None of the comments received affected the assumptions of methodologies used to estimate paperwork burden in this ICR.

3(d) Effects of Less Frequent Collection

EPA has carefully considered the information collection burden imposed by the 2015 CCR rule, and the adjustments in the Phase One Final Rule and flexibilities under the WIIN Act. EPA is confident that those activities required of respondents are necessary, and to the extent possible, the Agency has attempted to minimize the burden imposed.

3(e) General Guidelines

This ICR adheres to the guidelines stated in the Paperwork Reduction Act of 1995, OMB’s implementing regulations, and applicable OMB guidance. In addition, this information collection complies with EPA’s Data Standards and Information Quality Guidelines.

3(f) Confidentiality and Sensitive Questions

(i) Confidentiality

None of the information collection requirements of the 2015 CCR Rule, the WIIN Act, or the Phase One Final Rule require the disclosure of confidential business information.

(ii) Sensitive Questions

No questions of a sensitive nature are included in any of the information collection requirements covered in this ICR.

4. THE RESPONDENTS AND THE INFORMATION REQUESTED

4(a) Respondents/North American Industry Classification System (NAICS) Codes

The information collection requirements covered in this ICR may affect electric utility facilities and independent power producers that fall under the North American Industry Classification System (NAICS) code 221112.

4(b) Information Requested

The Phase One Final Rule, as well as implementation of flexibilities under the WIIN Act, adjusts several of the information requirements associated with closure, monitoring, corrective action, and certification requirements of the 2015 CCR Rule, as described below.

(i) Data Items

All affected facilities will need to become familiar with the Phase One Final Rule and relevant WIIN Act provisions (in adopting states). Qualifying facilities and units that are currently required to undertake information collection activities may see alterations in the requirements for, and timing of, some of these activities; most of these changes reduce burden. Activities potentially affected include various certification requirements, notification requirements (including public meeting requirements for minimal-volume, non-groundwater releases), and documentation requirements for various activities under 40 CFR 257.

(ii) Respondent Activities

Rule Familiarization

All sources are expected to spend time to read and understand the new requirements when the rule is promulgated.

Change in the timing of notification and closure provisions related to changes in compliance dates

Under Phase One Final Rule Provision 1 (Extension of Compliance Date for Aquifer Location Standards to October 2020) plants with units that would otherwise be required to begin closure activities in 2018 based on 40 CFR 257.60 will be able to continue to receive waste (i.e., delay closure requirements and documentation required under 40 CFR 257.102 and 257.103) until October 2020. Similarly, under Phase One Final Rule Provision 2 (Modification of the Date by Which Unlined Surface Impoundments Must Cease Receiving Waste and Initiate Closure), plants with units that would otherwise be required to begin closure activities in 2018 based on 40 CFR 257.101 will be able to continue to receive CCR (i.e., delay final closure requirements and documentation required under 40 CFR 257.102 and 257.103) until October 2020. In both cases, these changes affect only the timing of regulatory requirements, and not the requirements themselves.

Revise groundwater monitoring documentation for qualifying facilities

Under Alternative Performance Standard 1 (Proposed Rule WIIN Act Alternative Performance Standard 3), qualifying plants with units that can successfully demonstrate “no migration” in states that adopt the relevant flexibility under the WIIN Act, may not be required to undertake groundwater monitoring and the associated documentation requirements under 40 CFR 257.90 through 98.

Third-Party Certification: Professional Engineer Certifications

Under Alternative Performance Standard 2 (Proposed Rule Alternative Performance Standard 6): Professional Engineer Certifications, eligible units in states adopting WIIN Act flexibilities would be able to forego the cost of third-party certification for up to 40 provisions that require technical demonstrations made by the owners or operator under 40 CFR 257. For states that adopt this flexibility; states could use review by engineers at state agencies in place of third-party professional engineer certifications for any or all of these provisions. These changes would potentially reduce the cost of documentation under 40 CFR 257 for facilities in adopting states. The rule also provides EPA’s ORCR staff to provide the review function in lieu of a third-party professional engineer certification in situations where the state does not have an authorized permit program. EPA is not, however, required to provide this flexibility, and does not expect to provide this option to facilities except in the specific case where facilities in states without approved programs, territories, or tribal lands are seeking no migration waivers. This is likely to be fewer than eight cases in total, based on the analysis presented in the final rule Regulatory Impact Analysis. ¹

5. THE INFORMATION COLLECTED — AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT

5(a) Federal, State, and Local Government Activities

Burden to State and Local Agencies and Others

EPA anticipates that the burden on state governments and tribal authorities will decrease modestly due to the Phase One Final Rule provisions; because the modification of dates by which units must close results in fewer units requiring state review and oversight of closure-related plans and reports. EPA does not anticipate any incremental burden on states or local governments related to state adoption of WIIN Act flexibilities.

Total annual changes in burden to state governments and tribal authorities are anticipated to be a reduction in hours burden related to reporting requirements of 52.8 hours per year (158.4 hours over three years), and an associated reduction in labor-related costs of $3,405.60 per year, or $10,216.80 over three years.

Burden to the Federal Government

EPA is not expected to incur any additional burden as a result of the Phase One Final Rule.

5(b) Collection Methodology and Management

Most information can be maintained in the facility operating record or on a publicly accessible internet website rather than in submittals to EPA. For the information that is submitted (i.e., a State SWMP or a State CCR permit program application), EPA ensures the accuracy and completeness of the collected information by reviewing each submittal. EPA only reviews SWMPs or CCR permit programs submitted by States and notifies them of any action taken by the Agency.

5(c) Small Entity Flexibility

EPA determined that the 2015 CCR final rule will not have a significant economic impact on a substantial number of small entities. The Phase One Final Rule reduces the burden associated with the 2015 CCR rule, and does not increase burden on any small entities.

5(d) Collection Schedule

The information provided varies based on the provision of the 2015 CCR Rule. However, the Phase One Final Rule and flexibilities implemented under the WIIN Act reduce burden.

6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION

The unit burden applied to various respondents is based on the number of regulated units, the specific design features of those units, and occurrences such as releases and planned closures.

6(a) Respondent Burden

This section provides estimates of the respondent hourly burden associated with the information collection requirements covered in this ICR. In many cases the Phase One Final Rule reduces burden; that is, burden estimates presented here are negative. The section includes burden hours by labor type per respondent, as well as the overall burden hours for all respondents.

Respondent Burden for Rule Familiarization

EPA assumes that facility staff will require time to review the Phase One Final Rule and determine which provisions apply to the facility. The time required for this review will be limited because most of the final provisions amend current requirements as opposed to introducing completely new provisions. Many of the provisions are straightforward, such as those regarding public disclosure. Others apply only after a release or for units in particular regions or states. This analysis assumes that rule familiarization will only occur in year 1.

EPA assumes that all facilities will thoroughly read the rules, and has estimated an average labor hour burden. The total number of expected labor hours multiplied by the total number of affected facilities provides the total labor burden of becoming familiar with the rule (Exhibit 6-1).

Exhibit 6-1: Rule Familiarization (in Hours)

Activity	Number of Respondent Activities	Legal	Mgr.	Tech.	Clerical	Hours Per Activity	Total Labor Burden
Read Regulations	414	.5	2	2.5	0	5	2,070
Total Burden Hours	414	207	828	1,025	0	2070	2,070

Respondent Burden Changes: Extension of Compliance Date for Aquifer Location Standards to October 2020 (CCR Remand Rule Phase One Provision 1) and Modification of the Date by Which Unlined Surface Impoundments Must Cease Receiving Waste and Initiate Closure (Provision 2)

The CCR Remand Rule Phase One Provision 1 changes the date for the 2015 CCR Rule under 40 CFR 257.101 for plants with units that would otherwise be required to begin closure in October 2018. The rule changes the date by which plants must certify that they are not subject to location restrictions under 40 CFR 257.60 to October 2020. Similarly, plants with units subject to 40 CFR 257.60 will be allowed to receive CCR in those units until October 2020. These changes do not change any other requirements under the rule. The change in the deadlines for compliance reduces the number of facilities that must incur costs related to closure within the time period of this ICR (Exhibit 6-2). To be consistent with the Phase One Final Rule RIA, this ICR does not estimate any cost savings related to Provision 1.²

Exhibit 6-2: Phase One Final Rule Provision 2: Modification of the Date by which Unlined Surface Impoundments Must Cease Receiving Waste and Initiate Closure

(Burden in Hours)

Activity	Number of Respon. Activities	Legal	Mgr.	Tech.	Clerical	Hours Per Activity	Total Labor Burden
Modification of Date by which Unlined Surface Impoundments Must Cease Receiving Waste and Initiate Closure
Prepare written closure plan required under 40 CFR 257.102(b)	132	0.00	4.00	40.00	10.00	54.00	(7128.00)
Obtain certification required under 40 CFR 257.102(b)(4)	132	0.00	0.00	3.00	0.50	3.50	(462.00)
Obtain certification required under 40 CFR 257.102(d)(3)(iii)	132	0.00	0.00	3.00	0.50	3.50	(462.00)
Obtain certification required under 40 CFR 257.102(f)(3)	132	0.00	0.00	3.00	0.50	3.50	(462.00)
Prepare notification required under 40 CFR 257.102(g)	132	0.00	0.50	0.00	0.00	0.50	(66.00)
Prepare notification required under 40 CFR 257.102(h)	132	0.00	0.50	0.00	0.00	0.50	(66.00)
Obtain certification required under 40 CFR 257.102(h)	132	0.00	0.00	3.00	0.50	3.50	(462.00)
Prepare notification required under 40 CFR 257.102(i)	132	0.00	0.50	0.00	0.00	0.50	(66.00)
Prepare written post-closure plan, as required under 40 CFR 257.104(d)	132	0.00	4.00	40.00	10.00	54.00	(7128.00)
Obtain certification required under 40 CFR 257.104(d)(4)	132	0.00	0.00	3.00	0.50	3.50	(462.00)
Place the written closure plan, and any amendment of the plan, required under 40 CFR 257.102(b) in the facility’s operating record.	132	0.00	0.00	0.00	0.02	0.02	(2.64)
Place the certification required under 40 CFR 257.102(f)(3) in the facility’s operating record.	132	0.00	0.00	0.00	0.02	0.02	(2.64)
Place the notification required under 40 CFR 257.102(g) in the facility’s operating record.	132	0.00	0.00	0.00	0.02	0.02	(2.64)
Place the notification required under 40 CFR 257.102(h) in the facility’s operating record.	132	0.00	0.00	0.00	0.02	0.02	(2.64)
Place the notification required under 40 CFR 257.102(i) in the facility’s operating record.	132	0.00	0.00	0.00	0.02	0.02	(2.64)
Place the written post-closure plan, and any amendment of the plan, required under 40 CFR 257.104(d) in the facility’s operating record.	132	0.00	0.00	0.00	0.02	0.02	(2.64)
Provide notification of the availability of the written closure plan, and any amendment of the plan, specified under 40 CFR 257.105(i)(4)	132	0.00	0.00	0.25	0.25	0.50	(66.00)
Provide notification of intent to close a CCR unit specified under 40 CFR 257.105(i)(7)	132	0.00	0.00	0.25	0.25	0.50	(66.00)
Provide notification of completion of closure of a CCR unit specified under 40 CFR 257.105(i)(8)	132	0.00	0.00	0.25	0.25	0.50	(66.00)
Provide notification of the deed notation as required by 40 CFR 257.105(i)(9)	132	0.00	0.00	0.25	0.25	0.50	(66.00)
Provide notification of the availability of the written post-closure plan, and any amendment of the plan, specified under 40 CFR 257.105(i)(12)	132	0.00	0.00	0.25	0.25	0.50	(66.00)
Place the written closure plan, and any amendment of the plan, specified under 40 CFR 257.105(i)(4) on the owner or operator’s CCR website.	132	0.00	0.00	0.33	0.00	0.33	(43.56)
Place the notification specified under 40 CFR 257.105(i)(7) on the owner or operator’s CCR website.	132	0.00	0.00	0.33	0.00	0.33	(43.56)
Place the notification specified under 40 CFR 257.105(i)(8) on the owner or operator’s CCR website.	132	0.00	0.00	0.33	0.00	0.33	(43.56)
Place the notification required under 40 CFR 257.105(i)(9) on the owner or operator’s CCR website.	132	0.00	0.00	0.33	0.00	0.33	(43.56)
Place the written post-closure plan, and any amendment of the plan, specified under 40 CFR 257.105(i)(12) on the owner or operator’s CCR website.	132	0.00	0.00	0.33	0.00	0.33	(43.56)
Total Burden Hours							 (17,327.64) 

Respondent Burden Changes: Revise groundwater monitoring documentation for qualifying facilities (WIIN Act Alternative Performance Standard 1)

Under WIIN Act Alternative Performance Standard 3: Suspension of Groundwater Monitoring Requirements, qualifying plants with units that can successfully demonstrate “no migration” in states that adopt the relevant flexibility under the WIIN Act, may not be required to undertake groundwater monitoring and the associated documentation requirements under 40 CFR 257.90 through 98. Review of the federal requirements for “no migration” findings have determined that only 17 facilities have achieved this status in 40 years. Therefore, the burden changes anticipated within the period of this ICR are negligible, and are not separately calculated.

Respondent Burden Changes: Third-Party Certification: Professional Engineer Certifications (WIIN Act Alternative Performance Standard 2)

The 2015 CCR rule includes 40 provisions under that require technical demonstrations made by the owners or operator under 40 CFR 257. Under the WIIN Act’s Alternative Performance Standard 2: Professional Engineer Certifications, eligible units in states adopting WIIN Act flexibilities would be able to forego or reduce the cost of third-party certification for some or all of these, if states agree that review by engineers at state agencies in place of third-party professional engineer certifications would provide comparable adequacy.

Of the 40 requirements:

• Five (5) address one-time certification for units affected by location restrictions; requirements under these provisions have generally been completed according to the 2015 CCR Rule implementation schedule; (40 CFR 257.60 – 40 CFR 257.64)

• Fourteen (14) address design criteria for liners and structural integrity for existing and new units; (40 CFR 257.70, 40 CFR 257.71, 40 CFR 257.73, 40 CFR 257.74)

• Three (3) address operating criteria for air, run-on and run-off controls, and hydrologic and hydraulic capacity (40 CFR 257.80)

• Nine (9) address groundwater monitoring and corrective action at relevant units.

(40 CFR 257.91 – 40 CFR 257.98)

• Nine (9) address closure and post-closure care for all units.

(40 CFR 257.100, 40 CFR 257.102, 40 CFR 257. 103, 40 CFR 257.104)

Consistent with the RIA, this ICR does not estimate cost savings for this provision, because it is not clear whether adopting states will increase their costs, and whether adopting states will charge fees to offset any cost increases. Consistent with the RIA, therefore, this ICR effectively treats changes in practice under this provision as an economic transfer that does not have a net impact on costs for either state or regulated entities.

6(b) Estimating Respondent Costs

1. Estimating Labor Costs

Consistent with the ICR for the 2015 CCR Rule, EPA used the Bureau of Labor Statistics 2017 series on Employment cost for total compensation for civilian workers and for state and local government workers to identify wage rates for different occupation categories.³ For all rule provisions, labor hours are distributed across four general labor categories: Legal staff, Management Staff, Technical staff (including Engineers), and Clerical staff. Wage rates for each BLS Occupation Title were multiplied by a fringe benefits factor of 1.5 to create a loaded wage rate.⁴ Exhibit 6-3 presents the hourly wage rates.

Exhibit 6-3: Weighted-Average Loaded Hourly Wage Rates (2017 Dollars)

Labor Category	Respondents	State and Local Government
Legal	$150.84	$64.96
Management	$122.59	$60.98
Technical	$64.51	$36.49
Clerical	$38.34	$23.28

To estimate the labor costs for each rule provision, EPA multiplied the number of hours expected in each labor category—discussed in detail above—by that category’s BLS labor wage rate. The cost for each facility was then multiplied by the total number of affected facilities to arrive at the total cost. Exhibit 14 below presents the total burden and cost for each provision.

2. Estimating Capital and Operations and Maintenance (O&M) Costs

Capital costs usually include any produced physical good needed to provide the needed information, such as machinery, computers, and other equipment. EPA does not anticipate that respondents will incur capital costs in carrying out the information collection requirements covered in this ICR.

O&M costs are those costs associated with a paperwork requirement incurred continually over the life of the ICR. They are defined by the Paperwork Reduction Act of 1995 as “the recurring dollar amount of costs associated with O&M or purchasing services.” In the context of the 2015 CCR Rule, O&M costs include development of a number of technical reports, including engineering certification reports (valued at $370 per report) and remedy selection reports for units requiring corrective action (valued at $93,545 per report). Exhibit 6-4 summarizes the costs and cost savings associated with changes to requirements under the Phase One Final Rule. These expenses represent changes from the costs estimated under the 2015 CCR Rule.

Exhibit 6-4: Annual O&M Cost Changes Under the Phase One Final Rule (2017 Dollars)

Requirement	Affected Units	Unit Cost (Savings)	Total
Provision 2: Modification of the Date by which Unlined Surface Impoundments Must Cease Receiving Waste and Initiate Closure
Prepare written closure plan required under 40 CFR 257.102(b)	132	($13,109.00)	($1,730,388.00)
Obtain certification required under 40 CFR 257.102(b)(4)	132	($370.00)	($48,840.00)
Obtain certification required under 40 CFR 257.102(d)(3)(iii)	132	($370.00)	($48,840.00)
Obtain certification required under 40 CFR 257.102(f)(3)	132	($370.00)	($48,840.00)
Obtain certification required under 40 CFR 257.102(h)	132	$370.00	($48,840.00)
Prepare written post-closure plan, as required under 40 CFR 257.104(d)	132	($13,109.00)	($1,730,388.00)
Obtain certification required under 40 CFR 257.104(d)(4)	132	($370.00)	($48,840.00)
Provide notification of the availability of the written closure plan, and any amendment of the plan, specified under 40 CFR 257.105(i)(4)	132	($3.82)	($504.24)
Provide notification of intent to close a CCR unit specified under 40 CFR 257.105(i)(7)	132	($3.82)	($504.24)
Provide notification of completion of closure of a CCR unit specified under 40 CFR 257.105(i)(8)	132	($3.82)	($504.24)
Provide notification of the deed notation as required by 40 CFR 257.105(i)(9)	132	($3.82)	($504.24)
Provide notification of the availability of the written post-closure plan, and any amendment of the plan, specified under 40 CFR 257.105(i)(12)	132	($3.82)	($504.24)
Total Burden (Burden Reduction)	Varies		($3,707.497.20)

6(c) Estimating Agency Burden and Cost

EPA does not anticipate agency burden associated with the changes in paperwork requirements under the Phase One Final Rule or adoption of WIIN Act flexibilities by states.

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

In this section, EPA describes the respondent universe affected by the information collection requirements under the rule.

Respondent Universe

Consistent with the 2015 CCR RIA, EPA estimates that 414 coal-fired electric utility plants will be affected by the Phase One Final Rule. Exhibit 6-5 presents the number of CCR units subject to the information collection requirements under the rule.⁵

Exhibit 6-5: Respondent Universe Under the Phase One Final Rule

Category	2015	2016	2017	Average
Landfills – Existing	286	284	282	284
Landfills – New	2	3	3	3
Impoundments – Existing	633	628	613	625
Impoundments – New	0	4	18	7
Total	921	919	916	919

6(e) Bottom Line Burden Hours and Costs

Exhibit 6-6 presents the bottom line burden hours and costs. The total number of respondents includes all regulated facilities (414) or, where activities are associated with CCR units, a subset of the total number of units (919).

Exhibit 6-6: Annual Total for Labor Burden, Labor Costs, and Other Costs

Provision	Total Respondents	Total Labor Burden (Burden Reductions)	Labor Costs (Savings)	Other Costs (Savings)
Rule Familiarization	138 annualized 414 over three years	690 annualized 2,070 over three years	$66,499.44	none
Provision 2: Modification of the Date by which Unlined Surface Impoundments Must Cease Receiving Waste and Initiate Closure	132	(17,380.44) (includes 52.80 hours savings by state and tribal authorities)	($1,111,590.48) (includes $3,405.60 savings by state and tribal authorities	($3,707,497.20)
Yearly Average Phase 1 Final Rule	Varies	(16,690)	($1,045,091.04)	($3,707,497.20)
Yearly Average from 2017 ICR	Varies	354,602	$22,745,6151	$41,112,5131
Total	Varies	337,911	$21,700,524	$37,405,016

6(f) Reasons for Change in Burden

This ICR reflects a decrease to the currently approved burden hour and cost estimates based on changes to requirements under the Phase One Final Rule and state adoption of anticipated flexibilities under 2016 Water Infrastructure Investment for the Nation (WIIN) Act. These program changes will result in an annual burden decrease of 16,690 hours and $4,752,588 ($1,045,091 in labor costs and $3,707,497 in other costs). This is a deregulatory action under EO 13771.

6(g) Burden Statement

The annual reporting and recordkeeping burden for this collection of information is estimated to reduce baseline burden by 16,690 hours and $4.8 million per year, for a final estimate of 337,911 hours and $59.1 million per year. Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency. This includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for the purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. The OMB control numbers for EPA's regulations 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-OLEM-2017-0286, which is available for online viewing at www.regulations.gov, or in person viewing at the OLEM 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 OLEM Docket is (202) 566-0270. 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-OLEM-2017-0286 and OMB Control Number 2050-0053 in any correspondence.

ATTACHMENT

INFORMATION COLLECTION REQUEST 1189.26

BURDEN ESTIMATE METHODOLOGY

40 CFR Part 257 contains provisions that regulate the disposal of CCR generated by electric utilities as solid waste under RCRA Subtitle D and finalizes national minimum criteria for existing and new CCR landfills and existing and new CCR surface impoundments and all lateral expansions. This regulatory process entails some amount of burden that is shouldered by the regulated community. In accordance with the 1995 Paperwork Reduction Act (as amended), EPA must estimate respondent and Agency burden associated with all regulatory activities in 40 CFR Part 257. Once burden estimates are developed, EPA submits an Information Collection Request (ICR) to the Office of Management and Budget (OMB) for approval. This attachment provides a detailed breakdown of the burden estimates and number of entities affected that are associated with the Phase One Final Rule (the regulatory activities cited above).

EXHIBIT 9
DISPOSAL OF COAL COMBUSTION RESIDUALS FROM ELECTRIC UTILITIES
TOTAL ESTIMATED RESPONDENT HOUR AND COST BURDEN SUMMARY a
	Annual Burden Hours	Annual Labor Cost	Annual Capital/ Startup Cost	Annual O&M Cost	Total Annual Cost
Location Restrictions (Exhibit 1)	5,368.25	$360,790.84	$0.00	$114,560.00	$475,350.84
Design Criteria (Exhibit 2)	31,433.25	$1,944,719.12	$0.00	$594,142.00	$2,538,861.12
Operating Criteria (Exhibit 3)	172,864.50	$11,705,627.21	$0.00	$1,829,320.00	$13,534,947.21
Groundwater Monitoring and Corrective Action (Exhibit 4)	94,750.70	$5,853,064.46	$0.00	$30,284,066.00	$36,137,130.46
Closure and Post-Closure Care (Exhibit 5)	36,068.50	$2,180,021.73	$0.00	$8,265,790.00	$10,445,811.73
Recordkeeping, Notification, and Posting of Information to the Internet - Owners and Operators of CCR Units (Exhibit 6)	7,075.78	$403,429.25	$0.00	$24,635.18	$428,064.43
Recordkeeping, Notification, and Posting of Information to the Internet - State Government Agencies and Tribal Authorities (Exhibit 7)	515.92	$17,541.28	$0.00	$0.00	$17,541.28
Solid Waste Managemet Plans (Exhibit 8a)	680.00	$28,785.80	$0.00	$0.00	$28,785.80
State CCR Permit Program Application (Exhibit 8a)	5,845.00	$251,635.30	$0.00	$0.00	$251,635.30
Subtotal	354,602	$22,745,615	$0	$41,112,513	$63,858,128
Incremental Phase One CCR Remand Rule Total (Exhibit 10)	(16,690)	($1,045,091)	$0	($3,707,497)	($4,752,588)
Total	337,618	$21,682,737	$0	$37,237,368	$58,920,106
3-year Total	1,012,853	$65,048,212	$0	$111,712,105	$176,760,317
a Exhibit includes rounding error.

EXHIBIT 10.
DISPOSAL OF COAL COMBUSTION RESIDUALS FROM ELECTRIC UTILITIES
ESTIMATED ANNUAL RESPONDENT HOUR AND COST BURDEN - OWNERS AND OPERATORS OF CCR UNITS a
	Hours and Costs Per Respondent Per Activity								Total Hours and Costs
	Leg. $150.84/ Hour	Mgr. $122.59/ Hour	Tech. $64.51/ Hour	Cler. $38.34/ Hour	Respon. Hours/ Activity	Labor Cost/ Activity	Capital/ Startup Cost	O&M Cost	Number of Respon. Activities	Total Hours/ Year	Total Cost/ Year
INFORMATION COLLECTION ACTIVITY
Reading the Regulations
Read the regulations	0.50	2.00	2.50	0.00	5.00	$481.88	$0.00	$0.00	138	690.00	$66,499.44
SUBTOTAL									138	690.00	$66,499.44

a. Exhibit includes rounding error.

EXHIBIT 10a. Provision 2: Modification of the Date by Which Unlined Surface Impoundments Must Cease Receiving Waste and Initiate Closure
DISPOSAL OF COAL COMBUSTION RESIDUALS FROM ELECTRIC UTILITIES
ESTIMATED ANNUAL RESPONDENT HOUR AND COST BURDEN - OWNERS AND OPERATORS OF CCR UNITS a
	Hours and Costs Per Respondent Per Activity								Total Hours and Costs
	Leg. $150.84/ Hour	Mgr. $122.59/ Hour	Tech. $64.51/ Hour	Cler. $38.34/ Hour	Respon. Hours/ Activity	Labor Cost/ Activity	Capital/ Startup Cost	O&M Cost	Number of Respon. Activities	Total Hours/ Year	Total Cost/ Year
INFORMATION COLLECTION ACTIVITY
Closure and Post-Closure Care
Criteria for Conducting Closure of CCR Landfills and CCR Surface Impoundments (40 CFR 257.102)
Prepare written closure plan required under 40 CFR 257.102(b)	0.00	4.00	40.00	10.00	54.00	($3,454.16)	$0.00	($13,109.00)	132	(7128.00)	($2,186,337.12)
Obtain certification required under 40 CFR 257.102(b)(4)	0.00	0.00	3.00	0.50	3.50	($212.70)	$0.00	($370.00)	132	(462.00)	($76,916.40)
Obtain certification required under 40 CFR 257.102(d)(3)(iii)	0.00	0.00	3.00	0.50	3.50	($212.70)	$0.00	($370.00)	132	(462.00)	($76,916.40)
Obtain certification required under 40 CFR 257.102(f)(3)	0.00	0.00	3.00	0.50	3.50	($212.70)	$0.00	($370.00)	132	(462.00)	($76,916.40)
Prepare notification required under 40 CFR 257.102(g)	0.00	0.50	0.00	0.00	0.50	($61.30)	$0.00	$0.00	132	(66.00)	($8,091.60)
Prepare notification required under 40 CFR 257.102(h)	0.00	0.50	0.00	0.00	0.50	($61.30)	$0.00	$0.00	132	(66.00)	($8,091.60)
Obtain certification required under 40 CFR 257.102(h)	0.00	0.00	3.00	0.50	3.50	($212.70)	$0.00	($370.00)	132	(462.00)	($76,916.40)
Prepare notification required under 40 CFR 257.102(i)	0.00	0.50	0.00	0.00	0.50	($61.30)	$0.00	$0.00	132	(66.00)	($8,091.60)
Post-Closure Care Requirements (40 CFR 257.104)
Prepare written post-closure plan, as required under 40 CFR 257.104(d)	0.00	4.00	40.00	10.00	54.00	($3,454.16)	$0.00	($13,109.00)	132	(7128.00)	($2,186,337.12)
Obtain certification required under 40 CFR 257.104(d)(4)	0.00	0.00	3.00	0.50	3.50	($212.70)	$0.00	($370.00)	132	(462.00)	($76,916.40)
Recordkeeping, Notification, and Posting of Information to the Internet
Recordkeeping Requirements (40 CFR 257.105)
Closure and Post-Closure Care
Place the written closure plan, and any amendment of the plan, required under 40 CFR 257.102(b) in the facility’s operating record.	0.00	0.00	0.00	0.02	0.02	($0.77)	$0.00	$0.00	132	(2.64)	($101.64)
Place the certification required under 40 CFR 257.102(f)(3) in the facility’s operating record.	0.00	0.00	0.00	0.02	0.02	($0.77)	$0.00	$0.00	132	(2.64)	($101.64)
Place the notification required under 40 CFR 257.102(g) in the facility’s operating record.	0.00	0.00	0.00	0.02	0.02	($0.77)	$0.00	$0.00	132	(2.64)	($101.64)
Place the notification required under 40 CFR 257.102(h) in the facility’s operating record.	0.00	0.00	0.00	0.02	0.02	($0.77)	$0.00	$0.00	132	(2.64)	($101.64)
Place the notification required under 40 CFR 257.102(i) in the facility’s operating record.	0.00	0.00	0.00	0.02	0.02	($0.77)	$0.00	$0.00	132	(2.64)	($101.64)
Place the written post-closure plan, and any amendment of the plan, required under 40 CFR 257.104(d) in the facility’s operating record.	0.00	0.00	0.00	0.02	0.02	($0.77)	$0.00	$0.00	132	(2.64)	($101.64)
Notification Requirements (40 CFR 257.106)
Closure and Post-Closure Care
Provide notification of the availability of the written closure plan, and any amendment of the plan, specified under 40 CFR 257.105(i)(4)	0.00	0.00	0.25	0.25	0.50	($25.71)	$0.00	($3.82)	132	(66.00)	($3,897.96)
Provide notification of intent to close a CCR unit specified under 40 CFR 257.105(i)(7)	0.00	0.00	0.25	0.25	0.50	($25.71)	$0.00	($3.82)	132	(66.00)	($3,897.96)
Provide notification of completion of closure of a CCR unit specified under 40 CFR 257.105(i)(8)	0.00	0.00	0.25	0.25	0.50	($25.71)	$0.00	($3.82)	132	(66.00)	($3,897.96)
Provide notification of the deed notation as required by 40 CFR 257.105(i)(9)	0.00	0.00	0.25	0.25	0.50	($25.71)	$0.00	($3.82)	132	(66.00)	($3,897.96)
Provide notification of the availability of the written post-closure plan, and any amendment of the plan, specified under 40 CFR 257.105(i)(12)	0.00	0.00	0.25	0.25	0.50	($25.71)	$0.00	($3.82)	132	(66.00)	($3,897.96)
Publicly Accessible Internet Site Requirements (40 CFR 257.107)
Closure and Post-Closure Care
Place the written closure plan, and any amendment of the plan, specified under 40 CFR 257.105(i)(4) on the owner or operator’s CCR website.	0.00	0.00	0.33	0.00	0.33	($21.29)	$0.00	$0.00	132	(43.56)	($2,810.28)
Place the notification specified under 40 CFR 257.105(i)(7) on the owner or operator’s CCR website.	0.00	0.00	0.33	0.00	0.33	($21.29)	$0.00	$0.00	132	(43.56)	($2,810.28)
Place the notification specified under 40 CFR 257.105(i)(8) on the owner or operator’s CCR website.	0.00	0.00	0.33	0.00	0.33	($21.29)	$0.00	$0.00	132	(43.56)	($2,810.28)
Place the notification required under 40 CFR 257.105(i)(9) on the owner or operator’s CCR website.	0.00	0.00	0.33	0.00	0.33	($21.29)	$0.00	$0.00	132	(43.56)	($2,810.28)
Place the written post-closure plan, and any amendment of the plan, specified under 40 CFR 257.105(i)(12) on the owner or operator’s CCR website.	0.00	0.00	0.33	0.00	0.33	($21.29)	$0.00	$0.00	132	(43.56)	($2,810.28)
SUBTOTAL									Varies	(17,327.64)	($4,815,682.08)
ESTIMATED ANNUAL RESPONDENT HOUR AND COST BURDEN - STATE GOVERNMENT AGENCIES AND TRIBAL AUTHORITIES a
Recordkeeping, Notification, and Posting of Information to the Internet
Notification Requirements (40 CFR 257.106)
Closure and Post-Closure Care
Review notification of the availability of the written closure plan, and any amendment of the plan, specified under 40 CFR 257.105(i)(4).	0.00	0.00	0.08	0.00	0.08	($5.16)	$0.00	$0.00	132	(10.56)	($681.12)
Review notification of intent to close a CCR unit specified under 40 CFR 257.105(i)(7).	0.00	0.00	0.08	0.00	0.08	($5.16)	$0.00	$0.00	132	(10.56)	($681.12)
Review notification of completion of closure of a CCR unit specified under 40 CFR 257.105(i)(8)	0.00	0.00	0.08	0.00	0.08	($5.16)	$0.00	$0.00	132	(10.56)	($681.12)
Review notification of the deed notation as required by 40 CFR 257.105(i)(9). (40 CFR 257.106(i)(9))	0.00	0.00	0.08	0.00	0.08	($5.16)	$0.00	$0.00	132	(10.56)	($681.12)
Review notification of the availability of the written post-closure plan, and any amendment of the plan, specified under 40 CFR 257.105(i)(12).	0.00	0.00	0.08	0.00	0.08	($5.16)	$0.00	$0.00	132	(10.56)	($681.12)
SUBTOTAL									Varies	(52.80)	($3,405.60)

a. Exhibit includes rounding error.

1 The final rule Regulatory Impact Analysis, “Regulatory Impact Analysis: EPA’s 2018 RCRA Final Rule Disposal of Coal Combustion Residuals from Electric Utilities; Amendments to the National Minimum Criteria (Phase One)” can be found at http://regulations.gov under Docket ID EPA-HQ-OLEM-2017-0286.

2 As part of the development of the ICR renewal for 2018-2020, EPA will examine and implement any appropriate changes from the 2015-2017 ICR that were not reflected in the Phase I Final RIA.

3 For workers employed by the private sector (respondents), see: Bureau of Labor Statistics; "Table 4. Employment Cost Index for total compensation, for civilian workers, by occupational and industry;" Employment Cost Index, Historical Listing - Volume V, Continuous Occupational and Industry Series, September 1975 – March 2017; April 2017. Available online at: http://www.bls.gov/web/eci/ecicois.pdf, last accessed on June 30, 2017. For State and local government workers, see: Civilian Workers, All Workers, June 2011=114.8 and March 2017=129.0.Bureau of Labor Statistics, "Table 7. Employment Cost Index for total compensation, for State and local government workers, by occupational and industry," Employment Cost Index Historical Listing - Volume V, April 2017. Available online at: http://www.bls.gov/web/eci/ecicois.pdf, last accessed on June 30, 2017. State and Local Government Workers, All Workers, June 2012=118.6 and March 2017=131.7.

4 The benefits multiplier is based on an average for the sectors as estimated by BLS in its Employer Costs for Employee Compensation. BLS includes items such as sick leave and vacation as benefits.

5 The universe estimates in this ICR were obtained from the RIA developed for this rulemaking: EPA’s 2015 RCRA Final Rule Regulating Coal Combustion Residual (CCR) Landfills and Surface Impoundments at Coal-Fired Electric Utility Power Plants, Appendix M, October 2014.

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