1 

SUPPORTING STATEMENT 

ENVIRONMENTAL PROTECTION AGENCY

NESHAP for Industrial, Commercial, and Institutional Boilers and Process Heaters at 

Major Sources of HAP 

1. Identification of the Information Collection 

1(a) Title of the Information Collection 

NESHAP for Industrial, Commercial, and Institutional Boilers and Process Heaters at Major 

Sources of HAP (40 CFR part 63, Subpart DDDDD) 

1(b) Short Characterization/Abstract

This supporting statement addresses information collection activities that will be imposed 

by the (NESHAP for Industrial, Commercial, and Institutional Boilers and Process Heaters at 

Major Sources of HAP, 40 CFR part 63 subpart DDDDD (ICI Boiler and Process Heater 

NESHAP). On September 13, 2004, under authority of section 112 of the Clean Air Act, EPA 

promulgated national emission standards for hazardous air pollutants for new and existing 

industrial/commercial/institutional boilers and process heaters. On June 19, 2007, the United 

States Court of Appeals for the District of Columbia Circuit vacated and remanded the national 

emission standards for hazardous air pollutants for industrial/commercial/institutional boilers and 

process heaters. This ICR documents the recordkeeping and reporting requirements associated 

with EPA’s proposed rule in response to the court’s vacatur and remand. 

The information collection activities in this information collection request (ICR) include 

initial and annual stack tests, fuel analyses, operating parameter monitoring, one-time and periodic 

reports, and maintenance of records. Varying levels of requirements apply to each subcategory. 

The ICI Boiler and Process Heater NESHAP contains six subcategories for existing boilers and 

in-direct fired process heaters: units designed to burn coal, units designed to burn biomass, units 

designed to burn liquid, units designed to burn natural gas/refinery gas, units design to burn other 

process gases. These same six categories apply to new boilers and in-direct fired process heaters. 

The information collection activities will enable EPA to determine initial and continuous 

compliance with emission standards for regulated pollutants, and ensure that facilities conduct 

proper planning, operation, and unit maintenance. 

Records and reports required by the NESHAP for industrial, commercial, and institutional 

boilers and process heaters at major sources of HAP are necessary to enable EPA to identify 

sources subject to the standards and to ensure that the standards are being achieved. Records and 

reports must be maintained at the facility and/or submitted to EPA. All reports are sent to the 

delegated state or local authority. In the event that there is no such delegated authority, the 

reports are sent directly to the United States Environmental Protection Agency (EPA) regional 

office. 
2 

Approximately 13,555 existing units at 1,608 facilities and 46 new units at 16 facilities 

would be subject to the regulation over the next three years. The cost of this Information 

Collection Request (ICR) will be $263 million (rounded). 

The burden to the “Affected Public” for each boiler subcategory may be found in Tables 

1.A-12.C in Attachment A. The burden to the “Federal Government” is attributed entirely to 

work performed by federal employees or government contractors; this burden may be found in 

Tables 13.A-13.C of Attachment B. 

2. Need for and Use of the Collection

2(a) Need/Authority for the Collection 

The EPA is charged under Section 112 of the Clean Air Act, as amended, to establish 

standards of performance for each category or subcategory of major sources and area sources of 

hazardous air pollutants. These standards are applicable to new or existing sources of hazardous 

air pollutants and shall require the maximum degree of emission reduction. In addition, section 

114(a) states that the Administrator may require any owner/operator subject to any requirement 

of this Act to: 

(A) Establish and maintain such records; (B) make such reports; 

(C) install, use, and maintain such monitoring equipment, and use 

such audit procedures, or methods; (D) sample such emissions (in 

accordance with such procedures or methods, at such locations, at 

such intervals, during such periods, and in such manner as the 

Administrator shall prescribe); (E) keep records on control 

equipment parameters, production variables or other indirect data 

when direct monitoring of emissions is impractical; (F) submit 

compliance certifications in accordance with Section 114(a)(3); and 

(G) provide such other information as the Administrator may 

reasonably require. 

In the Administrator's judgment, pollutant emissions from industrial, commercial, and 

institutional boilers and process heaters cause or contribute to air pollution that may reasonably be 

anticipated to endanger public health or welfare. Therefore, the NESHAP are proposed for this 

source category at 40 CFR part 63, subpart DDDDD. 

2(b) Practical Utility/Users of the Data

The information will be used by EPA to: (1) Identify new, modified, reconstructed and 

existing sources subject to the ICI Boiler and Process Heater NESHAP; (2) ensure that the ICI 

Boiler and Process Heater NESHAP is being properly applied; (3) ensure that the ICI Boiler and 
3 

Process Heater NESHAP is being complied with; (4) ensure, on a continuous basis, that the 

operating parameters established during the initial performance test are not exceeded. 

In addition, records and reports are necessary to enable EPA to identify facilities that may 

not be in compliance with the Boilers NESHAP. Based on reported information, EPA will decide 

which facilities should be inspected and what records or units should be inspected at the facilities. 

 The records that facilities maintain will indicate to EPA whether facility personnel are properly 

operating and maintaining the boiler or process heater and control equipment. 

3. Nonduplication, Consultations, and Other Collection Criteria 

The requested recordkeeping and reporting will be required under (40 CFR part 63, 

subpart DDDDD).

3(a) Nonduplication

If the subject standards have not been delegated, the information is sent directly to the 

appropriate EPA regional office. Otherwise, the information is sent directly to the delegated state 

or local agency. If a state or local agency has adopted its own similar standards to implement the 

Federal standards, a copy of the report submitted to the state or local agency can be sent to the 

Administrator in lieu of the report required by the Federal standards. Therefore, no duplication 

exists. 

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

A public notice of this collection was provided in the notice of proposed rulemaking for 

the Boilers NESHAP (xx FR xxxxx, Date). 

3(c) Consultations

In July 2008, the EPA issued a survey, entitled “Information Collection Effort for 

Facilities with Combustion Units (ICR No. 2286.01).” This ICR was distributed to 3,396 facilities 

with boilers and process heaters firing any fuel type and other combustion units firing non-fossil 

solids. In May 2009, the EPA issued a follow-up ICR (ICR No 2286.03) requesting a subset of 

these facilities to conduct stack testing to fill data gaps. Throughout each of these two ICRs, the 

Agency received comments on the estimated costs to conduct stack testing and fuel analysis, and 

the types of pollutants to request testing from. These comments have been incorporated into the 

estimates for the ICR on the proposed ICI Boiler and Process Heater NESHAP. 

In January 2009, the EPA convened a panel, in compliance with the Small Business 

Regulatory Fairness Act (SBREFA) to request input about the proposed ICI Boiler and Process 

Heater NESHAP and the Area Source Boiler NESHAP. During this SBREFA panel EPA 

received comments from panel members on the cost estimates for work practice standards being 
4 

proposed in the rulemaking. The comments on the cost to conduct energy audits at industrial 

facilities have been incorporated into the cost estimates contained in this ICR. 

The public will also be provided the opportunity to review and comment on the burden 

estimated in this Information Collection Request during the comment period for the proposed 

rulemaking. 

3(d) Effects of Less Frequent Collection

For sources with applicable emission limits, the Boilers NESHAP provides the option of 

demonstrating compliance through initial and periodic fuel analysis (for sources that burn fuels 

with pollutant contents lower than the emission limits) or through initial and annual stack testing. 

If a source can demonstrate that the fuel(s) burned in the boiler or process heater has a pollutant 

content that is less than the applicable emission limit, then the Boilers NESHAP requires that the 

source conduct initial fuel analyses, periodic fuel analysis, and initial and semiannual reporting. 

Sources that demonstrate compliance through performance testing must continuously monitor 

operating parameters and conduct periodic fuel analyses, and complete initial and semiannual 

reporting. The EPA chose the frequency of these activities to provide an adequate margin of 

assurance that affected facilities will not operate for extended periods in violation of the 

regulations. 

The annual performance testing, where applicable, will ensure, on an ongoing basis, that 

the air pollution control device is operating properly and its performance has not deteriorated. 

During the initial stack tests (for particulate matter, mercury, hydrogen chloride, carbon 

monoxide, and dioxins and furans), the owner or operator must establish maximum or minimum 

values for each applicable operating parameter. Thereafter, the owner or operator must, in some 

cases, conduct annual stack tests for particulate matter, mercury, hydrogen chloride, carbon 

monoxide, and dioxins and furans and must always continuously monitor the operating 

parameters. The activities associated with setting these site-specific operating limits include 

monitoring of the parameters during the performance test, reviewing and averaging the 

monitoring data, and, if necessary, calculating average values for fuel pollutant content. 

Although continuous monitoring of operating parameters cannot provide a direct 

measurement of emissions, it is less expensive than continuous emission monitoring systems 

(CEMS) and the collected information can ensure that the boiler or process heater and associated 

air pollution control equipment are operated properly. For larger boilers, those greater than 100 

mmBtu/hr, continuous CO CEMS are more cost effective and are required to be installed under 

the proposed rule. Similarly, for larger boilers greater than 250 mmBtu/hr, PM CEMS are 

required. This information assures EPA and the public that the reductions envisioned by the 

Boilers NESHAP are being achieved. Less frequent monitoring would not ensure continuous 

compliance. 

The semiannual reporting requirement allows the submittal of required information and 

data on established operating parameters so that any potential problems can be identified in a 

timely fashion. 

Existing small (less than 10 mmBtu/hr) boilers firing solid, liquid or gaseous fuels, and 

new small boilers firing natural gas or refinery gas demonstrate compliance with the rule by 
5 

conducting a biennial tune-up. Since this frequency is less than the semi-annual compliance report 

frequency typically required from sources in this source category, a biennial compliance report is . 

These tune-up reports can be requested by the Administrator upon request but are not required to 

be submitted. 

3(e) General Guidelines

These reporting or recordkeeping requirements do not violate any of the regulations 

promulgated by OMB under 5 CFR part 1320, section 1320.5. 

The Boilers NESHAP requires all records to be maintained at the source for a period of 

five years. In 40 CFR part 63, subpart A, “General Provisions for National Emission Standards 

for Hazardous Air Pollutants for Source Categories,” owners or operators of facilities are 

required to keep and maintain records for a period of five years. These records must be kept on 

file for use, if needed, by the regulating authority to ensure that the plant personnel are operating 

and maintaining the unit and the control equipment properly. The title V permit programs also 

require records to be retained for five years. These records must be kept on file for use, if 

needed, by the regulating authority to ensure that the plant personnel are operating and 

maintaining the unit and the control equipment properly. 

3(f) Confidentiality

Any information submitted to the Agency for which a claim of confidentiality is made will 

be safeguarded according to the Agency policies set forth in Title 40, chapter 1, part 2, subpart B 

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

amended by 43 FR 40000, September 8, 1978; 43 FR 42251, September 20, 1978; 44 FR 17674, 

March 23, 1979). 

3(g) Sensitive Questions

The reporting or recordkeeping requirements in the standard do not include sensitive 

questions. 

4. The Respondents and the Information Requested 

4(a) Respondents/NAICS Codes

The respondents to the recordkeeping and reporting requirements are owners or operators 

of new or existing industrial, commercial, or institutional boilers and process heaters. The Boilers 

Major Source NESHAP affects any industry, state, local, or tribal government, or any institution 

(e.g., university) using a boiler as defined in the regulation. This includes, but is not limited to, 

the following North American Industry Classification System (NAICS) codes listed in Table 1 

below. 
6 

Table 1: NAICS Categories for Various Affected Sources 

NAICS Codes NAICS Codes 

211 Extractors of crude petroleum 

or natural gas. 

321 Wood product manufacturing.

322 Pulp and paper mills. 

325 Chemical manufacturers. 

324 Petroleum refineries and 

manufacturers of coal 

products. 

316/326/339 Manufacturers of rubber and 

miscellaneous plastic 

products. 

331 Steel works, blast furnaces. 

332 Electroplating, plating, 

polishing, anodizing, and 

coloring. 

336 Manufacturers of motor 

vehicle parts and accessories. 

221 Electric, gas, and sanitary 

services. 

622 Health services. 

611 Educational services 

Based on the distribution of major source facilities with affected boilers or process heaters 

reported in the 2008 survey entitled “Information Collection Effort for Facilities with Combustion 

Units.(ICR No. 2286.01),” there are 1,608 existing facilities with affected boilers or process heaters. 

Of these, 94 percent are located in the private sector and the remaining 6 percent are located in the 

public sector. The agency is projecting 16 new facilities with 46 affected boilers and process heaters. 

The EPA is estimating that all new facilities will be in the private sector. Considering new and existing 

sources together, 95 percent of facilities are estimated to be in the private sector. 

4(b) Information Requested
7 

(i) Data Items

In this ICR, all the data that is recorded or reported will be required by (40 CFR part 63, 

Subpart DDDDD). 

In Attachment B, tables 1.A-C, 2.A-C, 3.A-C, 4.A-C, 5.A-C, 6.A-C, 7.A-C, 8.A-C, 9.AC, 10.A-C, 11.A-C, and 12.A-C present a summary of the testing, monitoring, recordkeeping and 

reporting requirements of the ICI Boiler and Process Heater NESHAP. 

 

(ii) Respondent Activities 

The respondent activities proposed by the ICI Boiler and Process Heater NESHAP are 

provided under the first column of tables 1.A-12.C. All respondent burden items are included in 

tables 1.A-12.C. 

(iii) Summary of Requirements 

The information collection activities in this ICR include initial and annual stack tests, fuel 

analyses, operating parameter monitoring, continuous emission monitoring for CO and PM at 

large units, certified energy audits, annual or biennial tune-ups (depending on the size of the 

combustion equipment), preparation of a startup, shutdown, malfunction plan (SSMP), 

preparation of a site-specific monitoring plan and a site-specific fuel monitoring plan, one-time 

and periodic reports, and the maintenance of records. 

For sources that can demonstrate compliance through fuel analysis, the regulation requires 

an initial fuel analysis and periodic fuel analyses every five years. Sources must conduct 

additional fuel analyses if they burn a new type of fuel. An initial performance test must be 

completed for particulate matter or total selected metals, mercury, hydrogen chloride, carbon 

monoxide, and dioxin and furans for affected sources with applicable emission limits. During the 

initial performance test, the owner or operator must establish maximum or minimum values for 

each operating parameter. Thereafter, the owner or operator must, in some cases, conduct annual 

stack tests for particulate matter or total selected metals, mercury, hydrogen chloride, carbon 

monoxide, and dioxin and furans and must continuously monitor the operating parameters. 

Following the initial performance test, the owner or operator must submit a report that 

documents the performance test results and the values for their required operating parameters. 

All existing units will be required to conduct and an initial certified energy audit by 

qualified personnel which includes a visual inspection of the boiler system, establishing operating 

characteristics, identifying major energy consuming systems and energy savings potential, 

reviewing available engineering plans, and listing major energy conservation measures. An initial 

report should be submitted to the Agency for each energy audit. 
8 

All existing small units and all units firing natural gas or refinery gas can demonstrate 

compliance by conducting a tune-up of the boiler. Small units are requested to conduct a tune-up 

biennially and large gas units will conduct a tune-up annually. 

For all units other than small boilers and process heaters and units firing natural gas a 

semiannual report is required that documents the values for the operating parameters; any 

deviation; the results of any annual stack tests; the results of any fuel analysis and emissions 

calculations; fuel usage, and if no deviation occurred, a statement that no deviations occurred. 

As specified in the ICI Boiler and Process Heater NESHAP, owners or operators of 

boilers and process heaters must keep records of certain parameters and information for a period 

of five years. Owners or operators must maintain records of the initial performance test, annual 

stack tests, fuel analyses, and any subsequent stack tests or fuel analyses. Owners or operators 

must also maintain records of the monitoring data for the operating parameters and daily fuel 

usage. 

Owners or operators must also maintain records for boiler or process heater malfunctions 

and any deviations from the operating parameters. Records must also be maintained of all 

monitoring device calibration data. 

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

Information Management 

5(a) Agency Activities 

A list of agency activities is provided in section 6(c) and in tables 13A-C (see Attachment B). 

5(b) Collection Methodology and Management

Data obtained during periodic visits by EPA personnel, from records maintained by the 

respondents, and from information provided in semiannual reports will be tabulated and published 

for internal EPA use in compliance and enforcement programs. The ICI Boiler and Process 

Heater NESHAP allows records to be retained in hardcopy or electronic format to allow 

flexibility and minimize burden. 

Information contained in the reports is entered into the AFS which is operated and 

maintained by EPA's Office of Compliance. AFS is EPA=s database for the collection, 

maintenance, and retrieval of compliance data for approximately 125,000 industrial and 

government-owned facilities. EPA uses the AFS for tracking air pollution compliance and 

enforcement by local and state regulatory agencies, EPA regional offices and EPA headquarters. 

EPA and its delegated Authorities can edit, store, retrieve and analyze the data. 

 The records required by this regulation must be retained by the owner/operator for five 
9 

years. 

5(c) Small Entity Flexibility

The EPA expects that the ICI Boilers and Process Heater NESHAP will have a substantial 

impact on a significant number of small entities. In developing the regulation, small entity is 

defined as: (1) A small business according to Small Business Administration size standards by the 

North American Industry Classification System (NAICS) category of the owning entity. The 

range of small business size standards for the 44 affected 3-digit NAICS industries ranges from 

500 to 1,000 employees, except for petroleum refining and electric utilities. In these latter two 

industries, the size standard is 1,500 employees and a mass throughput of 75,000 barrels/day or 

less or 4 million kilowatt-hours of production or less, respectively; (2) a small governmental 

jurisdiction that is a government of a city, county, town, school district or special district with a 

population of less than 50,000; and (3) a small organization that is any not-for-profit enterprise 

that is independently owned and operated and is not dominant in its field. 

Based on responses to the 2008 survey “Information Collection Effort for Facilities with 

Combustion Units (ICR No. 2286.01),” the EPA has determined that 145 of the 1,608 facilities 

with existing boilers or process heaters, or 9 percent of the total, affected by the regulation may 

be small entities. 

The Boilers NESHAP does not contain any provisions reserved exclusively for the benefit 

of small entities. However, the regulation does contain several provisions that reduce the impact 

on all regulated entities, which include small entities. For instance, operating parameter 

monitoring is required instead of continuous emissions monitoring systems (CEMS) for units less 

than 100 mmBtu/hr, the rule provides an option to demonstrate compliance with fuel analysis in 

lieu of stack testing for boilers combusting fuels with mercury and chlorine contents less than their 

associated emission limit. In addition, providing a work practice standard for small boilers and 

process heaters firing all fuel types and for boilers of all sizes firing natural gas and refinery gas, 

the EPA has substantially reduced the burden of the rulemaking, including reducing the burden on 

small entities. For example, 30 of the 145 small entities have only small boilers and process 

heaters installed at the facilities. The option to demonstrate compliance using an annual or biennial 

tune-up is a substantial savings compared with the requiring stack testing and add-on air pollution 

control devices. 

5(d) Collection Schedule

Information collected includes the following one-time-only activities: reading the 

regulation, initial performance tests (for particulate matter, mercury, hydrogen chloride, carbon 

monoxide, and dioxins and furans for units with applicable emission limits), initial fuel analyses 

(for mercury and chlorine for units demonstrating compliance using fuel analysis), setting of 

operating parameter values, report prior to initial startup, report following initial stack tests 

(includes operating parameter values), development of a SSMP, conducting an energy audit, and 

development of a site-specific monitoring plan and fuel analysis plan. Since compliance is not 
10 

required until year 3 for existing facilities, EPA assumes that half of the existing facilities will 

conduct initial performance tests and related activities in year 2 and the other half will conduct 

such activities in year 3. 

Year 1 for new and existing sources includes the one-time activity of reading the 

regulation and submitting the initial notification that the source is subject to the regulation. The 

burden associated with this activity is estimated on a facility basis. The database developed from 

the 2008 survey “Information Collection Effort for Facilities with Combustion Units (ICR No. 

2286.01),” indicates that each affected facility has on average eight boilers or process heaters. 

This is a conservative estimate of recordkeeping and reporting burden, as EPA knows that some 

of the affected facilities have more than eight sources and will be able to benefit from consolidated 

reporting. New major sources would also submit the following one-time only notifications: intent 

to construct, start of construction date, anticipated start-up date, and actual start-up date. These 

notifications generally would be submitted within 60 days of the activity. 

In year 1, new facilities will begin training their personnel regarding the use of monitoring 

equipment and the startup, shutdown, and malfunction plan. Half of the existing facilities will 

train personnel in year 2 and the other half will train personnel in year 3. 

Also in year 1, new sources will begin activities to comply with the subpart such as 

conducting performance tests, conducting tune-ups, setting operating limits, developing a sitespecific monitoring plan and fuel analysis plan, installing and operating applicable monitoring 

equipment, and submitting the notification of compliance status. 

In year 2, the new sources from year 1 will conduct annual performance tests, or tune-ups, 

if applicable, and submit semiannual compliance reports and the new sources in year 2 will 

conduct initial performance tests and other initial compliance activities and will also submit all 

initial notifications. Also in year 2, half of the existing large affected sources will conduct initial 

performance tests, fuel analyses, certified energy audits, related activities, and submit initial 

notifications of compliance status. Half of the existing small affected sources will conduct 

certified energy audits and biennial tune-ups. 

In year 3, the new sources from year 1 and from year 2 and half of the existing sources 

that began complying with the subpart in year 2 will conduct annual performance tests, if 

applicable, and will submit semiannual compliance reports. The new sources from year 3 will 

conduct performance tests, and fuel analyses. Also in year 3, the other half of existing affected 

sources for which testing is required will conduct performance tests, fuel analyses, and certified 

energy audits. The half of the existing small sources that began complying with the subpart in 

year 2 will conduct biennial tune-ups and the remaining half will conduct initial biennial tune-ups 

and certified energy audits. Finally, in year 3 all facilities with affected boilers or process heaters 

will submitting the notification of compliance status and those required to submit semi-annual 

compliance reports will begin submitting these in year 3. 
11 

In year 1, new sources will begin keeping records of data such as operating limits, start-up 

shutdown and malfunctions, tune-up procedures, monitoring device calibrations, stack test results, 

submitted reports, and fuel usage. In year 2, the new sources from years 1 and 2 will keep 

records of such data. In year 3, all new and existing affected facilities will keep records of such 

data. 

6. Estimating the Burden and Cost of the Collection 

Tables 1.A-12.C documents the computation of individual burdens for the recordkeeping 

and reporting requirements applicable to the industry for each year for the subpart included in this 

ICR. The individual burdens are expressed under standardized headings believed to be consistent 

with the concept of burden under the Paperwork Reduction Act. Where appropriate, specific 

tasks and major assumptions have been identified. Responses to this information collection are 

mandatory. 

The 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. 

6(a) Estimating Respondent Burden

The average annual burden to industry over the next three years from these recordkeeping 

and reporting requirements is estimated to be $87.6 million. The average annual recordkeeping 

hours shown in Tables 1.A-12.C is 51,449. The average annual reporting requirement hours 

shown in Tables 1.A-12.A is 157,393. These hours are based on Agency studies and background 

documents from the development of the regulation, Agency knowledge and experience with the 

NESHAP program, and any comments received. 

6(b) Estimating Respondent Costs 

(i) Estimating Labor Costs 

 

This ICR uses the following labor rates: 

Managerial $114.49 ($54.52 + 110%) 

Technical $98.20 ($46.76 + 110%) 

Clerical $48.53 ($23.11 + 110%) 

These rates are from the United States Department of Labor, Bureau of Labor Statistics, 

September 2009, ATable 2. Civilian Workers, by occupational and industry group.@ The rates are 

from column 1, ATotal compensation.@ The rates have been increased by 110 percent to account 

for the benefit packages available to those employed by private industry. 

(ii) Estimating Capital/Startup and Operation and Maintenance Costs
12 

The type of industry costs associated with the information collection activities in the 

subject standard(s) are both labor costs which are addressed elsewhere in this ICR and the costs 

associated with continuous monitoring, hiring third party contractors to perform stack tests, 

energy audits, and/or boiler tune-ups. The capital/startup costs are one time costs when a facility 

becomes subject to the regulation. The annual operation and maintenance costs are the ongoing 

costs to maintain the monitor(s) conduct subsequent testing or tune-ups, and other costs such as 

photocopying and postage. 

(iii) Capital/Startup vs. Operation and Maintenance (O&M) Costs

Costs associated with O&M include the annual operation and maintenance costs 

associated with the continuous parameter monitoring equipment, initial and annual stack and 

performance testing and/or fuel analysis, and certified energy audits and/or annual/biennial tuneups. Below is the estimated total annualized capital and startup costs and O&M costs for the 

affected units for the first 3 years after promulgation. 

Capital/Startup vs. Operation and Maintenance (O&M) Costs 

(A) 

Boiler Type 

(B) 

Number of 

Respondents 

(facilities) 

(C) 

Total Annualized 

Capital and 

O&M over 3 

years

(D) 

Total Capital/Startup 

Cost over 3 years 

(E) 

Average Annual O&M 

and Annualized Capital 

Costs per year 

Existing Large Solid 

Units 

117 $119,858,394 $200,039,600 $39,952,798 

New Large Solid Units 0 $0 $0 $0 

Existing Small Solid 

Units 

2 $56,168 $0 $18,723 

New Small Solid Units 0 $0 $0 $0 

Existing Large Liquid 

Units 

69 $25,864,352 $20,584,000 $8,621,451 

New Large Liquid 

Units 

5 $1,172,700 $1,549,400 $390,900 

Existing Small Liquid 

Units 

29 $1,024,014 $0 $341,338 

New Small Liquid 

Units 

2 $279,800 $99,600 $93,267 

Existing Large Gaseous 544 $29,957,827 $7,762,300 $9,985,942 
13 

Units 

New Large Gaseous 

Units 

5 $271,100 $260,500 $90,367 

Existing Small Gaseous 

Units 

848 $24,936,647 $0 $8,312,216 

New Small Gaseous 

Units 

4 $138,136 $0 $46,045 

Total 1625 $203,559,137 $230,295,400 $67,853,046 

 

The total capital/startup costs for this ICR are $230 million. This is the total of column D 

in the above table. This reflects the initial costs to purchase monitoring equipment. 

The total operation and maintenance (O&M) costs for this ICR are $204 million. This is 

the total of column C This reflects the costs to operate the monitoring equipment, and fees paid to 

third parties to conduct initial and annual stack testing, annual tune-ups, and one-time energy 

audits. 

 The average annual cost for capital/startup and operation and maintenance costs to 

industry over the next three years of the ICR is estimated to be $67.9 million as shown in column 

E. These are recordkeeping costs. 

6(c) Estimating Agency Burden and Cost

The only costs to the Agency are those costs associated with analysis of the reported 

information. EPA's overall compliance and enforcement program includes activities such as the 

examination of records maintained by the respondents, periodic inspection of sources of 

emissions, and the publication and distribution of collected information. 

The average annual Agency cost during the three years of the ICR is estimated to be 

$4,922,029. 

This cost is based on the average hourly labor rate as follows: 

Managerial $62.27 (GS-13, Step 5, $38.92 + 60%) 

Technical $46.21 (GS-12, Step 1, $28.88 + 60%) 

Clerical $25.01 (GS-6, Step 3, $15.63 + 60%) 

These rates are from the Office of Personnel Management (OPM), 2010 General Schedule, which 

excludes locality rates of pay. The rates have been increased by 60 percent to account for the 

benefit packages available to government employees. 
14 

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

The total number of respondents is referred to as the respondent universe. The 

respondent universe for this ICR is based on the EPA’s population database of industrial, 

commercial, and institutional boilers and process heaters. Industry burden is calculated based on 

13,555 existing units in the database, however, many units have minimal reporting requirements 

(i.e., initial reporting requirement) and many other units have no requirements under the Boilers 

NESHAP. Approximately 46 new units will be constructed or reconstructed each year, but many 

of those sources will have minimal or no requirements. All facilities that have an applicable 

emission limit or work practice standard under the regulation must prepare a startup, shutdown, 

malfunction plan and keep records of startup, shutdown, and malfunction events. Units that 

demonstrate continuous compliance through continuous parameter monitoring must establish a 

site-specific monitoring plan. A table showing the estimated number of sources for each category 

is shown below.

Table 2 Number of Responses for New and Existing Units 

(A) (B) (C) (D)* 

Boiler Type 

Number of 

Respondents 

(facilities) 

Total Number Responses 

for 3-year Period 

Average Annual 

Number of Responses 

Existing 

Large Solid 

Units 

117 585 195 

New Large 

Solid Units 

0 0 0 

Existing 

Small Solid 

Units 

2 5 2 

New Small 

Solid Units 

0 0 0 

Existing 

Large Liquid 

Units 

69 345 115 

New Large 

Liquid Units 

5 32 11 

Existing 

Small Liquid 

Units 

29 73 24 

New Small 

Liquid Units 

2 16 5 

Existing 544 2,199 733 
15 

15 

Large 

Gaseous 

Units 

New Large 

Gaseous 

Units 

5 40 13 

Existing 

Small 

Gaseous 

Units 

848 2,120 707 

New Small 

Gaseous 

Units 

4 14 5 

* Some responses are one-time only requirements and do not occur each year. Initial one-time requirements are included 

in the annual average for this initial 3-year ICR period. 

6(e) Bottom Line Burden Hours and Cost Tables

The detailed bottom line burden hours and cost calculations for the respondents and the 

Agency are shown in Tables 1.A-12.C and 13.A-13.C in Appendix A and B respectively, and 

summarized below. 

(i) Respondent Tally

The total annual labor hours are 208,832. Details regarding these estimates may be found 

in tables 1.A-12.C in Appendix A. Furthermore, the annual public reporting and recordkeeping 

burden for this collection of information is estimated to average 115 hours per response. 

The total annual capital/startup and O&M costs to the regulated entity are $67.9 million. 

The cost calculations are detailed in Section 6(b)(iii), Capital/Startup vs. Operation and 

Maintenance (O&M) Costs. 

(ii) The Agency Tally

The average annual Agency burden and cost over next three years is estimated to be 93,648 labor 

hours at a cost of $4.9 million. See tables 13.A-C in Appendix B. 

6(f) Reasons for Change in Burden

Since this rule was vacated by the courts in 2007, this ICR treats these burden estimates as new 

burdens and the burden is not compared to previous burden estimates made for the vacated rule. 

6(g) Burden Statement
16 

16 

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

estimated to be 115 hours per response. Burden means the total time, effort, or financial resources 

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

Federal agency. This includes the time needed to review instructions; develop, acquire, install, 

and utilize technology and systems for the purposes of collecting, validating, and verifying 

information, processing and maintaining information, and disclosing and providing information; 

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

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

and review the collection of information; and transmit or otherwise disclose the information. 

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

collection of information unless it displays a valid OMB Control Number. The OMB Control 

Numbers for EPA regulations are listed at 40 CFR part 9 and 48 CFR chapter 15. 

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

burden estimates, and any suggested methods for minimizing respondent burden, including the use 

of automated collection techniques, EPA has established a public docket for this ICR under 

Docket ID Number EPA-HQ-OAR-2002-0058. An electronic version of the public docket is 

available at http://www.regulations.gov/ which may be used to obtain a copy of the draft 

collection of information, submit or view public comments, access the index listing of the contents 

of the docket, and to access those documents in the public docket that are available electronically. 

When in the system, select “search,” then key in the docket ID number identified in this 

document. The documents are also available for public viewing at the Enforcement and 

Compliance Docket and Information Center in the EPA Docket Center (EPA/DC), EPA West, 

Room 3334, 1301 Constitution Ave., 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 docket center is (202) 566-1927. 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 the EPA Docket ID 

Number EPA-HQ-OAR-2002-0058 in any correspondence. 

Part B of the Supporting Statement 

This part is not applicable because no statistical methods were used in collecting this information.