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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 (Boiler MACT/Boilers 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. On June 4, 2010 EPA issued a proposal in response to the vacatur and in March 

2011 EPA promulgated the rule in response to the vacatur. Also in March 2011, EPA issued a 

voluntary reconsideration of the final rule and this ICR documents the recordkeeping and 

reporting requirements associated with EPA’s proposed reconsideration for the Boiler MACT.

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 Boiler MACT contains nineteen subcategories for existing boilers and indirect fired process heaters: Pulverized coal/solid fossil fuel units; Stokers designed to burn 

coal/solid fossil fuel; Fluidized bed units designed to burn coal/solid fossil fuel; Stokers/sloped 

grate/other units designed to burn kiln dried biomass/bio-based solids; Stokers/sloped grate/other 

units designed to burn wet biomass/bio-based solids; Fluidized bed units designed to burn 

biomass/bio-based solids; Suspension burners designed to burn biomass/bio-based solids; Dutch 

ovens/pile burners designed to burn biomass/bio-based solids; Fuel Cells designed to burn 

biomass/bio-based solids; Hybrid suspension/grate burners designed to burn wet biomass/biobased solids; Units designed to burn solid fuel; Units designed to burn liquid fuel; Units designed 

to burn heavy liquid fuel; Units designed to burn light liquid fuel; Units designed to burn liquid 

fuel in non-continental States or territories; Units designed to burn natural gas, refinery gas or 

other gas 1 fuels; Units designed to burn gas 2 (other) gases; Metal process furnaces; and 

Limited-use boilers and process heaters. These same 19 subcategories apply to new boilers and 

in-direct fired process heaters. The information collection activities will enable EPA to 
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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.

Approximately 14,111 existing units at 1,704 facilities and 1,844 new units at 231

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

Information Collection Request (ICR) will be $291 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 
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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 Boiler MACT; (2) ensure that the Boiler MACT is being properly 

applied; (3) ensure that the Boiler MACT 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 Boiler MACT. 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 2011 reconsideration of the Boilers NESHAP.

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

Regulatory Fairness Act (SBREFA) to request input about the proposed 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 

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 was also provided the opportunity to review and comment on the burden 

estimated in this Information Collection Request during the comment period for the June 4, 2010 

proposal (75 FR 32006). As part of this reconsideration, we have reviewed these comments and 

have revised our inventory of affected units in response to comments received, which has in turn 

increased the number of facilities estimated to have a burden related to this rulemaking. Further, 

in response to public comments and petitions for reconsideration, we have also adopted several 

changes to the compliance requirements in the proposed reconsideration notice to minimize the 

burden on affected entities. Significant items that have reduced the burden on affected entities 

include:

 Removal of dioxin/furan emission limits and associated stack testing. Instead, each

boiler and process heater is now required to conduct a tune-up work practice. 

 For the other gaseous fuel specification analysis, H2S analysis is no longer required 

and only Hg must be tested. Further, we have provided additional allowances on the 

fuel specification to exempt units firing gaseous streams subject to other NESHAP 

standards from the specification requirements in an effort to reduce duplication.

 Continuous monitoring of PM emissions for large units has been modified from a 

continuous emissions monitoring system (CEMS) to a continuous parametric 

monitoring system (CPMS). Further, these CPMS are now only required for a subset 

of boilers with an average annual heat input rate of greater than 250 mmBtu/hr from 

solid fossil fuel and/or residual oil. 

 For solid fuel units an alternative compliance option of meeting a total selected 

metals (TSM8) limit instead of a PM limit is provided to increase regulatory

flexibility and reduce the burden. 

 Also to increase regulatory flexibility, we have proposed long-term CO CEMS based 

emission limits. Because it is unknown at this time how many units will opt to 

comply with the CEMS-based emission limits vs. the annual stack-test based 

emission limits, the burden associated with this CO CEMS compliance alternative is 

not discussed or estimated in this ICR.

 For very small (less than 5 mmBtu/hr) gaseous and light liquid units, we have 

reduced the tune-up frequency in order to reduce the overall long term burden of this 

rule. Since this initial ICR captures the burden associated with the initial tune-up, the 

benefits of the reduced frequency is not estimated in this initial ICR.

 For the burden to the agency, two additional line items were added to more 

appropriately account for the costs; the activity of reviewing and approving both a 

monitoring plan and fuel monitoring plan.
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The preamble and proposed reconsideration notice discuss the significant changes made 

since the March 2011 promulgated rule. 

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 (or total selected metals), mercury, 

hydrogen chloride, and carbon monoxide), 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 (or total selected metals), 

mercury, hydrogen chloride, and carbon monoxide 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 CEMS and the collected information can ensure that the 

boiler or process heater and associated air pollution control equipment are operated properly. 

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. In addition to demonstrating compliance with these emission limits, all large boilers 

and process heaters must conduct annual tune-ups as a work practice for controlling dioxin/furan 

emissions. They must report the findings of the tune-up in the semi-annual compliance report 

covering the period when the tune-up was conducted. 

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.

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

fuels and all limited use (operates less than 876 hr/yr) boilers demonstrate compliance with the 

rule by conducting a biennial tune-up. Certain small units firing gaseous or light liquid fuels that 

have a design capacity of less than 5 mmBtu/hr are subject to tune-ups on a 5-year frequency. 
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Since these frequencies are less than the semi-annual compliance report frequency typically 

required from sources in this source category, a biennial or five-year compliance report is 

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

required to be submitted.

New and existing large Gas 1 boilers demonstrate compliance by conducting an annual 

tune-up. These boilers are thus required to submit annual compliance reports. Units firing 

gaseous fuels other than natural gas and refinery gas or other MACT regulated gas streams must 

demonstrate that those fuels meet the specification for Hg contained in the proposal in order to 

qualify under the Gas 1 subcategory. If the content of these constituents are not going to exceed 

the specifications, these units may conduct an initial testing and include a statement that the gas 

will not exceed the specification in the initial Notification of Compliance Status. If the gaseous 

fuel constituents will vary, the unit is required to conduct monthly testing and maintain records 

to demonstrate that the gaseous fuels meet the specifications. Monthly testing and recordkeeping 

at units with variable gas quality ensures continuous compliance.

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). In response to public comments with respect to concerns of confidential 

information contained in the energy assessment report, EPA has modified the requirements to 

submit the entire results in order to protect potential confidential business information. Instead a 

signed certification that the energy assessment was completed is to be included in the 

Notification of Compliance Status.

3(g) Sensitive Questions

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

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),” along with additional information submitted there are 1,704

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 
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231 new facilities with 1,844 affected boilers and process heaters. For the purpose of this ICR, the 

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

sources together, 94 percent of facilities are estimated to be in the private sector.

4(b) Information Requested

(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 Boiler MACT.

(ii) Respondent Activities

The respondent activities proposed by Boiler MACT 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 O2 monitoring for all large units, CPMS at 

units with an average annual heat input rate greater than 250 mmBtu/hr from solid fossil fuel or 

residual oil, certified energy audits, annual, biennial, or every five-year tune-ups (depending on 

the size of the combustion equipment) and a site-specific 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 monthly fuel analyses. Sources must conduct additional fuel 

analyses if they burn a new type of fuel. For sources that are demonstrating that their gaseous

fuels other than natural gas, refinery gas, and MACT-regulated gases meet the specification for 

Hg contained in the rule, they must conduct either an initial or monthly fuel analysis to remain in 

the gas 1 subcategory. If the content of these constituents are not going to exceed the 

specifications, these units may conduct an initial testing and include a statement that the gas will 

not exceed the specification in the initial Notification of Compliance Status. If the gaseous fuel 

constituents will vary, the unit is required to conduct monthly testing and maintain records to 

demonstrate that the gaseous fuels meet the specifications. 

An initial performance test must be completed for particulate matter (or total selected 

metals), mercury, hydrogen chloride, and carbon monoxide 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, and carbon monoxide and must continuously monitor the operating 
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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 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. A signed 

certification that an audit has been completed should be submitted to the Agency for each energy

audit.

All new and existing large units must perform annual tune-ups. This is a work practice

for dioxin/furan emissions to ensure proper boiler operation.

All new and existing small and limited use units, and all large units firing natural gas,

refinery gas, or other gas 1 fuels meeting the fuel spec can demonstrate compliance by

conducting a tune-up of the boiler. Small and limited use units are requested to conduct a tuneup biennially, large natural gas, refinery gas, or other gas 1 units will conduct a tune-up annually, 

and very small units firing gaseous fuels or light liquids are requested to conduct a tune-up every

five years. Any large natural gas, refinery gas, or other gas 1 unit will also submit a notification 

of alternative fuel use if the unit fires alternative fuels during periods of gas curtailment or gas 

supply emergencies. 

For all units other than small and limited use 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 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 periods of boiler or process heater 

startup, shutdown, and malfunction (SSM) and any deviations from the operating parameters. 

Records must also be maintained of all monitoring device calibration data. For startup and 

shutdown (SS) periods, as part of the work practice it is necessary to train all personnel in startup 

and shutdown procedures, including maintenance and cleaning, safety, control device startup, 

and procedures to minimize emissions. This training is included in line item 4.E of the burden 

tables. Although this training line item broadly covers training on the rule recordkeeping and 

reporting requirements, it is expected to be sufficient to cover training necessary for SS 

recordkeeping training. Many sites are already expected to undergo SS training for health and 

safety reasons. 
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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 Boiler MACT 

allows records to be retained in hardcopy or electronic format to allow flexibility and minimize 

burden.

Most emissions and monitoring information in the reports are reported in an electronic 

format using the Electronic Reporting Tool (ERT). The data will be extracted from the ERT files 

and can be viewed through EPA’s Central Data Exchange. Other 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

years.

5(c) Small Entity Flexibility

The EPA expects that the 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 45 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)” as well as follow-up information submitted to the docket, the 

EPA has determined that 151 of the 1,704 facilities with existing boilers or process heaters, or 9

percent of the total, affected by the regulation may be small entities. 
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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 CEMS. The rule provides an option to demonstrate compliance 

with fuel analysis in lieu of stack testing for boilers combusting fuels with mercury, TSM8, or

chlorine contents less than their associated emission limit. In addition, providing a work practice 

standard for small and limited use boilers and process heaters firing all fuel types and for boilers 

of all sizes firing natural gas, refinery gas, or other gas 1 fuels, the EPA has substantially reduced 

the burden of the rulemaking, including reducing the burden on small entities. For example, 35

of the 151 small entities have only small or limited use boilers and process heaters installed at 

the facilities. The option to demonstrate compliance using an annual, biennial, or every five-year

tune-up is a substantial savings compared with the requiring stack testing, parameter monitoring,

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 (or TSM8), mercury, hydrogen 

chloride, and carbon monoxide for units with applicable emission limits), initial fuel analyses

(for mercury, TSM8, 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), conducting an energy audit, and development of a 

site-specific monitoring plan and fuel analysis plan. Since compliance is not 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),”and subsequent public comments to adjust the inventory 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 and shutdown procedures. 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 site-
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specific 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, tune-ups, 

and submit semiannual compliance reports and the new sources in year 2 will conduct initial 

performance tests, tune-ups, 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, tune-ups, related activities, and submit 

initial notifications of compliance status. Half of the existing small and limited use affected 

sources will conduct certified energy audits and 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, annual tune-ups, and will submit semiannual compliance reports. The new sources 

from year 3 will conduct performance tests, tune-ups, 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, tune-ups, and certified energy audits. The remaining half of existing small and limited 

use sources will conduct initial tune-ups and certified energy audits. Finally, in year 3 all 

facilities with affected boilers or process heaters will submit the notification of compliance status 

and those required to submit semi-annual compliance reports will begin submitting these in year 

3.

In year 1, new sources will begin keeping records of data such as operating limits, startup 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 document 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 $97.1 million. The average annual recordkeeping 

hours shown in Tables 1.A-12.C is 82,000. The average annual reporting requirement hours 

shown in Tables 1.A-12.A is 245,000. These hours are based on Agency studies and background 
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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%)

To be consistent with previous estimates of burden for this rulemaking, these rates are from the 

United States Department of Labor, Bureau of Labor Statistics, September 2009, “Table 2. 

Civilian Workers, by occupational and industry group.” The rates are from column 1, ”Total

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

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 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 are 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
14

Existing Large Solid 

Units 131 $97,104,012 $92,478,324 $32,368,004

New Large Solid Units 10 $10,094,916 $6,015,594 $3,364,972

Existing Small and 

Limited Use Solid Units 5 $171,668 $0 $57,223

New Small Solid Units 1 $17,824 $0 $5,941

Existing Large Liquid 

Units 71 $23,343,893 $27,305,301 $7,781,298

New Large Liquid Units 0 $0 $0 $0

Existing Small and 

Limited Use Liquid Units 43 $1,484,008 $0 $494,669

New Small Liquid Units 0 $0 $0 $0

Existing Large Gaseous 

Units 549 $32,519,633 $478,101 $10,839,878

New Large Gaseous 

Units 98 $4,516,625 $0 $1,505,542

Existing Small and 

Limited Use Gaseous 

Units

905 $26,484,361 $0 $8,828,120

New Small Gaseous 

Units 122 $2,896,400 $0 $965,467

Total 1,935 $198,633,340 $126,277,320 $66,211,113

The total capital/startup costs for this ICR are $126 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 $199 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, 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 $66 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 
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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 $5.3

million.

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.

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 

14,111 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 1,844 new units will be constructed or reconstructed, but many of 

those sources are projected to be gas-fired and will have minimal or no requirements. 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)

Boiler Type

(B)

Number of 

Respondents 

(facilities)

(C)

Total Number 

Responses for 3-

year Period

(D)

Average Annual Number 

of Responses

Existing Large Solid 

Units 131 655 218

New Large Solid 

Units 10 62 21

Existing Small Solid 

Units 5 18 6

New Small Solid 

Units 1 4 1

Existing Large Liquid 

Units 71 355 118

New Large Liquid 

Units 0 0 0
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(A)

Boiler Type

(B)

Number of 

Respondents 

(facilities)

(C)

Total Number 

Responses for 3-

year Period

(D)

Average Annual Number 

of Responses

Existing Small Liquid 

Units 43 151 50

New Small Liquid 

Units 0 0 0

Existing Large 

Gaseous Units 549 3,001 1000

New Large Gaseous 

Units 98 396 132

Existing Small 

Gaseous Units 905 3,168 1056

New Small Gaseous 

Units 122 328 109

* 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 327,000. 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 120 hours per response.

The total annual capital/startup and O&M costs to the regulated entity are $66 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 101,400

labor hours at a cost of $5.3 million. See tables 13.A-C in Appendix B.

6(f) Reasons for Change in Burden

The decrease in burden from the ICR associated with the March 2011 promulgation and 
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this proposed reconsideration ICR is due to changes in the proposed reporting and recordkeeping 

requirements, despite an increase in the boiler population. There were increases of 271 existing 

boilers and 1,205 additional new boilers as a result of new data added from public comments and 

revised projections of biomass and natural gas fuel consumption in the industrial and commercial 

sectors. However, in this proposed reconsideration, emission limits for dioxins/furans are

removed, which were the most expensive component of the stack test. In lieu of a numerical limit 

for dioxins/furans, the cost and burden for an annual tune-up work practice for all boilers greater 

than10 mmBtu/hr was added. Further, rule changes for PM CPMS requirements which now 

apply to only a subset of very large units that are firing solid fossil and residual fuel oil resulted 

in a smaller number of PM CPMS expected to be installed. Additionally, based on a revised 

dataset, the subcategories have been adjusted and the MACT floor limits have been edited since 

the March 2011 promulgation. These edits have reduced the number of expected control devices

needed to meet the limits and their associated monitoring burden. Further, the inclusion of an 

alternative TSM8 emission limit affected the number of units required to install PM/TSM8 

controls and associated parameter monitoring. 

6(g) Burden Statement

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

is estimated to be 120 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, 
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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.