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SUPPORTING STATEMENT 

ENVIRONMENTAL PROTECTION AGENCY 

Standards of Performance for New Stationary Sources: 

Commercial and Industrial Solid Waste Incineration (CISWI) 

Units (40 CFR Part 60, Subpart CCCC) 

1. IDENTIFICATION OF THE INFORMATION COLLECTION

1(a) Title of the Information Collection.

“Standards of Performance for New Stationary Sources: 

Commercial and Industrial Solid Waste Incineration (CISWI) 

Units (40 CFR Part 60, Subpart CCCC).” 

1(b) Short Characterization/Abstract. 

This supporting statement addresses information 

collection activities that would be imposed by the proposed 

“Standards of Performance for New Stationary Sources: 

Commercial and Industrial Solid Waste Incineration (CISWI) 

Units,” 40 CFR Part 60, subpart CCCC. The new source 

performance standards (NSPS) fulfill the requirements of 

sections 111 and 129 of the Clean Air Act (CAA), which 

require EPA to promulgate NSPS for solid waste incineration 

units. This proposed rule will re-propose the 2000 CISWI 

NSPS currently in affect. 

The information collection activities required by the 

NSPS include: siting requirements, operator training and 

qualification requirements, testing, monitoring and 

reporting requirements, one-time and periodic reports, and 

the maintenance of records. These activities will enable 

EPA to determine initial compliance with the emission limits 

for the regulated pollutants, monitor compliance with 

operating parameters, and ensure that facilities conduct the 

proper planning and operator training. 

No new CISWI units are expected to be constructed or 

operated, so there will be no annual burden. The population 
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of CISWI units has been declining for several years. No new 

CISWI units are being constructed, even in the absence of 

regulations, because other waste disposal alternatives, such 

as landfilling, are more economical. The cost of complying 

with the proposed NSPS makes it even more likely that 

sources will select an alternative method of waste disposal 

and no new CISWI units will be constructed. 

2. NEED FOR AND USE OF THE COLLECTION

2(a) Need/Authority for the Collection.

The EPA is required under sections 111 and 129 of the 

CAA to establish standards of performance for new stationary 

sources that reflect the maximum achievable control 

technology (MACT) for achieving continuous emission 

reductions: 

CAA section 129(a)(1) states: 

Standards applicable to solid waste incinerator units 

promulgated under section 111 and this section shall 

reflect the maximum degree of reduction in emissions of 

air pollutants listed under section (a)(4) that the 

Administrator, taking into consideration the cost of 

achieving such emission reduction, and any non-air 

quality health and environmental impacts and energy 

requirements, determines is achievable for new or 

existing units in each category. 

CAA section 111(e) further states: 

After the effective date of standards of performance 

promulgated under this section, it shall be unlawful 

for any owner or operator of any new source to operate 

such source in violation of any standards of 

performance applicable to such source. 

2(b) Practical Utility Users of the Data.

Although no new CISWI units are expected, the NSPS must 

include information collection requirements necessary for 

enforcement. In the unlikely event that any new CISWI units 

are constructed, this information will be used by EPA to: 
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(1) identify new, modified, and reconstructed sources 

subject to the NSPS; (2) ensure that the NSPS are being 

properly applied; (3) ensure that the emission limits are 

being complied with; and (4) ensure, on a continuous basis, 

that the operating limits 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 NSPS. 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 incinerator and control equipment and 

whether facility personnel have met the qualification 

requirements. 

3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION 

CRITERIA

3(a) Nonduplication.

The information collected pursuant to the NSPS consists 

primarily of a siting analysis, operator training, emissions 

testing, and monitoring of operating parameters. This 

information collection amends the information collection 

requirements currently collected for CISWI units by EPA or 

any other Federal agency. 

In more than 95 percent of the cases, the enforcement 

of NSPS has been delegated to State air pollution control 

agencies. In such cases, the actual emission data reports 

required by the NSPS will be submitted to the appropriate 

State agency, and not directly to EPA. Thus, there is 

minimal possibility for the submittal of duplicate 

information to State agencies and EPA. In the few cases 
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where State agencies have not requested delegation of NSPS 

enforcement, yet still require information from the 

facility, the facility owner or operator may submit a copy 

of the State or local reports to EPA in lieu of the report 

required by the NSPS, as specified in the General Provisions 

of 40 CFR part 60. 

3(b) Public notice prior to ICR submission to OMB.

A public notice of this collection will be provided in 

the notice of proposed rulemaking for the NSPS. 

3(c) Consultations.

The public will have the opportunity to review and 

comment on the proposed NSPS and the ICR during the 

specified comment period. 

3(d) Effects of Less Frequent Data Collection.

The NSPS require initial and annual performance tests 

for nine pollutants and opacity, continuous emission 

monitoring for carbon monoxide (CO), continuous operating 

parameter monitoring, annual operator training, annual 

control device inspections, and annual reporting (semiannual 

deviation reports are required if any of the emission limits 

or operating limits are exceeded). The frequency of these 

activities was chosen by EPA as the period that will provide 

an adequate margin of assurance that affected facilities 

will not operate for extended periods in violation of the 

NSPS. 

The annual performance testing will ensure that, on an 

ongoing basis, the air pollution control device is operating 

properly and its performance has not deteriorated. The NSPS 

allows the owner or operator to skip two annual tests for a 

pollutant if all performance tests over the previous 

three years show compliance with the emission limit. 

During the initial performance test for particulate 

matter (PM), dioxins/furans, opacity, hydrochloric acid 
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(HCl), cadmium (Cd), lead (Pb), mercury (Hg), CO, nitrogen 

oxides (NOx) and sulfur dioxide (SO2), the owner or operator 

must establish maximum or minimum values for each operating 

parameter. Thereafter, the owner or operator must conduct 

annual performance tests for the nine previously listed 

pollutants and opacity, and continuously monitor CO 

emissions and the operating parameters. Some of the 

subcategories also require additional continuous emissions 

monitoring (CEMS), such as PM CEMS for energy recovery units 

above 250 MMBtu/hr, and Hg CEMS for cement kilns. 

Although continuous monitoring of operating parameters 

cannot provide a direct measurement of emissions, it is less 

expensive than (CEMS), and the information provided can be 

used to ensure that the incinerator and associated air 

pollution control equipment are operating properly. This 

information assures EPA and the public that the reductions 

envisioned by the regulations are being achieved. Less 

frequent monitoring would not ensure continuous compliance. 

The proposed NSPS include initial and annual operator 

training requirements for CISWI unit operators. (The NSPS 

requires at least one qualified operator or supervisor per 

facility.) The annual training requirements include annual 

refresher training to maintain operator qualification and an 

annual review of site-specific documentation. The way in 

which an incinerator is operated has a significant impact on 

the emissions from that incinerator. The annual operator 

training is essential to ensure that the incinerator is 

being operated properly. The NSPS contains flexibility in 

the operator training by allowing the use of State-approved 

training and qualification programs. 

Annual reporting allows the submittal of required 

information and data parameters so that any potential 

problems can be identified in a timely fashion. A 
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semiannual deviation report is required for deviations from 

the operating limits and the emission limits so that EPA can 

ensure that rapid corrective action is being taken. 

3(e) General Guidelines.

With the exception of requiring records to be 

maintained for more than 3 years, none of the guidelines in 

5 CFR 1320.5 are being exceeded. The NSPS requires all 

records to be maintained by the source for a period of 

5 years. In 40 CFR part 63, subpart A, "General Provisions 

for National Emission Standards for Hazardous Air Pollutants 

(NESHAP) for Source Categories," owners or operators of 

facilities are required to keep and maintain records for a 

period of 5 years. Records must be kept on file for use, if 

needed, by the regulating authority to ensure that the plant 

personnel are operating and maintaining control equipment 

properly. Under section 129 of the CAA, OSWI facilities are 

subject to regulation under similar maximum achievable 

control technology (MACT)-based regulations; therefore, this 

5-year record retention requirement was adopted for CISWI 

facilities. Furthermore, CAA section 129 requires all CISWI 

units to obtain title V operating permits under 40 CFR 

part 70 or 71 permit programs. The title V permit programs 

also require records to be retained for 5 years. To 

minimize the burden, the NSPS allows files to be kept in 

paper or electronic format. Files must be kept on site for 

2 years but may be kept off site for the remaining 3 years. 
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3(f) Confidentiality and Sensitive Questions.

(i) Confidentiality. All information submitted to EPA 

for which a claim of confidentiality is made will be 

safeguarded according to EPA 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 39999, September 28, 1978; 43 FR 42251, 

September 28, 1978; 44 FR 17674, March 23, 1979). 

(ii) Sensitive Questions. The ICR for the NSPS does 

not involve matters of a sensitive nature. 

4. THE RESPONDENTS AND THE INFORMATION REQUESTED

4(a) Respondents/NAICS Codes.

As stated previously in section 1(b) of this supporting 

statement, EPA does not expect any new CISWI units to be 

constructed or operated in the future; however, respondents 

(if any) would be owners or operators of CISWI units for 

which construction commences after the date of proposal 

publication in the Federal Register or for which 

reconstruction or modification commences 6 months (or later) 

after promulgation of the final NSPS. These standards 

affect any industry using a solid waste incinerator as 

defined in the regulation. This includes North American 

Industry Classification System (NAICS) Codes 325 (Chemical 

Manufacturing), 421 (Wholesale Trade, Durable Goods), 321 

(Wood Product Manufacturing), and 337 (Furniture and Related 

Product Manufacturing), among others. 

4(b) Information Requested.

(i) Data items. The recordkeeping and reporting 

requirements of the proposed NSPS are described in 

section 4(b)(iii) and include the following: 
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· pre-construction notification; 

· siting analysis; 

· waste management plan; 

· records of operator training and qualification; 

· performance test reports; 

· records of CO and operating parameter monitoring; 

· records of annual control device inspections; 

· annual compliance reports; and 

· semiannual deviation reports. 

(ii) Respondent activities. No respondent activities 

are estimated since no growth of the source category is 

expected. 

(iii) Summary of Requirements. The information 

collection activities in this ICR include the following: 

performance tests, CO emissions monitoring (for all 

subcategories), PM CEMS and Hg CEMS (for energy recovery 

units and cement kilns, respectively), operating parameter 

monitoring, bag leak detection systems (for units equipped 

with fabric filters), preparation of a siting analysis, 

preparation of a waste management plan, operator training, 

one-time and periodic reports, and the maintenance of 

records. 

Testing and Monitoring: The NSPS requires an initial 

performance test for PM, dioxins/furans, opacity, HCl, Cd, 

Pb, Hg, CO, NOx, and SO2. During the initial performance 

test, the owner or operator must establish limits for each 

operating parameter. Thereafter, the owner or operator must 

conduct annual performance tests for the nine pollutants and 

opacity, and must continuously monitor CO and the operating 

parameters. The NSPS allows the owner or operator to skip 

two annual performance tests for a pollutant if all 
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performance tests over the three previous years show 

compliance with the emission limit. 

Operating Training: To ensure the proper operation of 

the incinerator, the NSPS requires that each facility 

establish and maintain at least one qualified CISWI unit 

operator or supervisor. The operator qualification process 

includes training, an exam, and review of site-specific 

materials. The operator qualification requirements allow 

the flexibility to use State-approved training and 

qualification programs. To maintain qualification the 

operators or supervisors must attend an annual refresher 

course and review site-specific materials annually. 

Reporting: Prior to commencing construction, the owner 

or operator must submit a report that includes a statement 

of intent to construct, the anticipated date of commencement 

of construction, the siting analysis, the waste management 

plan, and the anticipated date of initial start-up. The 

siting analysis considers air pollution control alternatives 

that minimize, on a site-specific basis, potential risks to 

public health or the environment. The waste management plan 

identifies both the feasibility and the approach to separate 

certain components of solid waste from the waste stream to 

reduce the amount of toxic emissions from incinerated waste. 

Prior to initial startup, the owner or operator must 

submit a report that documents the types of wastes burned, 

the maximum design waste burning capacity, the anticipated 

maximum charge rate, and any petitions for site-specific 

operating parameters. 

Following the initial performance test, the owner or 

operator must submit a report that documents the results of 

the performance test for the nine pollutants and opacity and 

the values for the facility’s operating limits. 

An annual compliance report is required that documents 

 the values for the operating limits, performance test 
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results and any deviations from the emission limits, 

operating limits or other requirements. 

If there is a deviation from the operating limits or 

emission limits, the owner or operator must submit a 

deviation report that provides details on the deviation. 

These reports are submitted semiannually if a deviation 

occurs during the 6-month period. 

Recordkeeping: As specified in the NSPS, owners or 

operators of CISWI units are required to keep records of 

certain parameters and information for a period of 5 years. 

 Owners or operators are required to maintain records of 

the initial performance test, annual performance tests, and 

any subsequent performance tests. Owners or operators must 

also maintain records of the monitoring data for CO, PM and 

Hg (as applicable) and the operating parameters, and records 

of monitoring device calibration. 

Records must be maintained for any deviations from the 

operating limits, and days for which CEMS or operating 

parameter monitoring data were not obtained. 

Owners or operators must maintain the names of persons 

who have completed the review of site-specific information 

and who have met the operator qualification requirements. 

Records must also be maintained of all documentation for the 

siting analysis and the waste management plan. 

5. THE INFORMATION COLLECTED -- AGENCY ACTIVITIES, 

COLLECTION, METHODOLOGY, AND INFORMATION MANAGEMENT

5(a) Agency Activities.

No agency activities are expected because no 

respondents are likely. As previously explained in 

section 1(b), no new CISWI units are expected to be 

constructed during the three years after promulgation of the 

NSPS. 
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5(b) Collection Methodology and Management. 

This collection of information does not require the use 

of automated collection techniques because no respondents 

are expected. 

5(c) Small Entity Flexibility.

Because no CISWI units are expected to be affected by 

the NSPS, no small businesses or small entities will be 

affected. Therefore, the NSPS will not have a significant 

impact on small entities. 

The NSPS does not contain any provisions reserved 

exclusively for the benefit of small entities. However, the 

NSPS does contain provisions that reduce the impact on all 

regulated entities, which would include any small entities 

(in the unlikely event that any new CISWI units are built). 

The owner or operator is allowed to skip two annual 

performance tests for a pollutant if all performance tests 

over the previous three years show compliance. Deviation 

reports are required only if there is a deviation, otherwise 

reporting is annual. 

5(d) Collection Schedule.

Although no respondents are expected, typical 

information collected includes the following one-time-only 

activities: reading the NSPS, initial performance tests (PM, 

dioxins/furans, opacity, HCl, Cd, Pb, Hg, CO, NOx, and SO2), 

initial operator training and qualification, notification of 

intent to construct (includes a study addressing siting 

requirements), waste management plan, report prior to 

initial start-up, and report following initial performance 

test (includes operating parameter values). The data will 

be entered into the Aerometric Information Retrieval System 

(AIRS), operated and maintained by EPA’s Office of Air 

Quality Planning and Standards. 
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Annual performance tests are required for the nine 

pollutants and opacity. Continuous parameter monitoring and 

continuous emission monitoring of CO is required for all 

subcategories, and PM CEMS and Hg CEMS for energy recovery 

units and cement kiln subcategories. An annual operator 

training refresher course and site-specific information 

review is required. An annual control device inspection is 

required. 

An annual report is required that includes compliance 

data on the operating limits, performance test results, 

identification of deviations from emission limits, operating 

limits or other requirements. 

Additionally, if the operating limits or emission 

limits are exceeded, the owner or operator must submit a 

deviation report that provides details on the deviation. 

Information obtained from annual compliance reports will be 

published and distributed through the EPA compliance data 

system (CDS). Data obtained during periodic visits by EPA 

personnel from records maintained by the respondents will be 

tabulated and published for internal EPA use in compliance 

and enforcement programs. 

6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION

No new growth is anticipated for the CISWI source 

category. It is assumed that potential respondents would 

use alternative waste disposal options rather than replacing 

existing CISWI units. The population of CISWI units has 

been declining for several years. No new CISWI units are 

being constructed, even in the absence of regulations, 

because other waste disposal alternatives, such as 

landfilling, are more economical. Likewise, energy recovery 

units and cement kilns are expected to segregate or process 

their waste materials in such a way that they would not be 

subject to the CISWI regulations. The cost of complying 
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with the proposed NSPS makes it even more likely that 

sources will select an alternative method of waste disposal 

and no new CISWI units will be constructed. As a result, no 

respondent or agency burdens or costs have been estimated. 

We expect that there will be no annual burden. 

To comment on the need for this information, the 

accuracy of the provided burden estimates, and any suggested 

methods for minimizing respondent burden, including the use 

of automated collection techniques, EPA has established a 

public docket for this ICR under Docket ID No. OAR-2003-

0119, which is available for public viewing at the Air and 

Radiation Docket and Information Center in the EPA Docket 

Center (EPA/DC), EPA West Building, Room 3334, 1301 

Constitution Ave., NW, Washington, DC 20460. The Public 

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

through Friday, excluding legal holidays. The telephone 

number for the Reading Room is (202) 566-1744, and the 

telephone number for the Air Docket is (202) 566-1742. An 

electronic version of the public docket is available at 

www.regulations.gov or in hard copy at the EPA Docket Center 

EPA/DC, EPA West, Room 3334, 1301 Constitution Ave., NW, 

Washington, DC. 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 ICR 

number and OMB control number in any correspondence. 
PART B OF THE SUPPORTING STATEMENT 

This section is not applicable because statistical 

methods are not used in data collection associated with this 

regulation.