SUPPORTING STATEMENT

ENVIRONMENTAL PROTECTION AGENCY

NESHAP for Petroleum Refineries (40 CFR part 63, subpart CC) (Renewal)

1. Identification of the Information Collection

1(a) Title of the Information Collection

NESHAP for Petroleum Refineries (40 CFR part 63, subpart CC) (Renewal), EPA ICR Number 1692.06, OMB Control Number 

2060-0340 

1(b) Short Characterization/Abstract

The National Emission Standards for Hazardous Air Pollutants (NESHAP) for Petroleum Refineries, published at 40 CFR part 

63, subpart CC, were proposed on July 15, 1994, and promulgated on August 18, 1995. These regulations apply to the following

existing and new petroleum refining process units and emission points located at refineries that are major sources of hazardous air 

pollutants (HAP) emissions, including: miscellaneous process vents, storage vessels, wastewater streams and treatment operations, 

equipment leaks, gasoline loading racks, and marine vessel loading operations. These regulations also apply to storage vessels and 

equipment leaks associated with bulk gasoline terminals or pipeline breakout stations that are related to an affected petroleum refinery. 

New facilities include those that commenced construction or reconstruction after the date of proposal. This information is being 

collected to assure compliance with 40 CFR part 63, subpart CC.

In general, all NESHAP standards require initial notifications, performance tests, and periodic reports. Owners or operators are 

also required to maintain records of the occurrence and duration of any startup, shutdown, or malfunction in the operation of an 

affected facility, or any period during which the monitoring system is inoperative. These notifications, reports, and records are 

essential in determining compliance, and are required of all sources subject to NESHAP.

Any owner or operator subject to the provisions of this part shall maintain a file of these measurements and retain the file for at 

least five years following the date of such measurements, maintenance reports, and records. 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. Once received by the authority, reports are reviewed and the data is entered, 

analyzed, and maintained in the Online Tracking Information System (OTIS). Information from these reports can be use by any
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regions, states, agencies and offices with access to OTIS and may be use in determining where inspections and enforcement actions 

may be necessary.

Approximately 134 sources are currently subject to the regulation, and it is estimated that no additional sources per year will 

become subject to the regulation in the next three years. Although no additional sources are expected to become subject to the 

regulation, some sources will construct new affected facilities or will reconstruct currently affected facilities in order to increase their 

refining capacities. It is assumed that, on average, a refinery will reconstruct 10 percent of the existing storage vessels, process units 

subject to equipment leak provisions, and process vents. The annual labor burden cost in this Information Collection Request (ICR) is 

$37,026,877 which is based on a labor burden of 411,889 hours. There are no capital/startup or operation and maintenance costs 

associated with this rule. 

The Office of Management and Budget (OMB) approved the currently active ICR without any “Terms of Clearance.”

The 134 major source facilities in the United States, which are respondents to this ICR, are publicly owned and operated by

petroleum refinery plants. None of the facilities are owned by either state, local and tribal agencies or the Federal government. The 

burden to respondents is calculated in Table 1: Annual Respondent Burden and Cost, NESHAP for Petroleum Refineries (40 CFR part 

63, subpart CC), attached. Since this regulation only affects the refinery industry, the burden to the “Federal Government” burden is 

attributed entirely to work performed by Federal employees or government contractor. This burden is calculated in Table 2: Annual 

Burden and Cost to the Federal Government: NESHAP for Petroleum Refineries (40 CFR part 63, subpart CC), attached. 

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 or 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 
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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, HAP emissions from petroleum refineries cause or contribute to air pollution that may

reasonably be anticipated to endanger public health or welfare. Therefore, the NESHAP were promulgated for this source category at 

40 CFR part 63, subpart CC.

2(b) Practical Utility/Users of the Data

The control of emissions of HAP from petroleum refineries requires not only the installation of properly designed equipment, 

but also the operation and maintenance of that equipment. Emissions of HAP from petroleum refineries are the result of the operation 

of the affected facilities. The subject standards are achieved by the capture of HAP emissions using control devices and the reduction 

of emissions through leak detection and repair procedures. Depending on the emission point being controlled, affected sources may

use flares, carbon adsorbers, combustion devices (including incinerators, boilers and process heaters), or other control devices that 

meet minimum control requirements. The notifications required in the applicable regulations are used to inform the Agency or

delegated authority when a source becomes subject to the requirements of the regulations. The reviewing authority may then inspect 

the source to check if the pollution control devices are properly installed and operated, leaks are being detected and repaired, and the 

regulations are being met. Performance test reports are needed as these are the Agency's record of a source's initial capability to 

comply with the emission standards, and serve as a record of the operating conditions under which compliance was achieved. In 

general, control devices other than flares must achieve HAP reductions of at least 95 percent by weight. Flares must be operated with 

no visible emissions and a flame must be present at all times. The semiannual reports are used for problem identification, as a check 

on source operation and maintenance, and for compliance determinations. The information generated by the monitoring, 

recordkeeping and reporting requirements described in this ICR is used by the Agency to ensure that sources affected by the NESHAP 

continue to operate the control equipment in compliance with the regulation. Adequate monitoring, recordkeeping, and reporting are 

necessary to ensure compliance with the applicable regulations, as required by the Clean Air Act. The information collected from 

recordkeeping and reporting requirements is also used for targeting inspections and is of sufficient quality to be used as evidence in 
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court.

3. Nonduplication, Consultations, and Other Collection Criteria

The requested recordkeeping and reporting are required under 40 CFR part 63, subpart CC.

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.

Some of the petroleum refinery plants subject to NESHAP subpart CC will also be subject to requirements under the following 

regulations: New Source Performance Standards (NSPS) subparts J, K, Ka, Kb, VV, and QQQ, NESHAP (part 61) subpart FF, and 

NESHAP (part 63) subparts G, H, J, R, and Y. The burden requested in this NESHAP does not duplicate any of the industry burden 

accounted for under those regulations. Efforts were made before and after promulgation to streamline overlapping recordkeeping and 

reporting requirements of other rules affecting this industry. The applicability section of this NESHAP delineates requirements where 

there are overlapping rules.

This NESHAP does not require additional recordkeeping or reporting for marine vessel tank loading and unloading operations, 

bulk gasoline loading racks, and wastewater sources, provided that they are not included in emissions averaging. These sources would 

only be affected by those records and reports required already by other rules. Therefore, the recordkeeping and reporting cost for these 

sources was not included in the burden estimate for this rule.

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

An announcement of a public comment period for the renewal of this ICR was published in the Federal Register (72 FR 10735) 

on March 9, 2007. No comments were received on the burden published in the Federal Register.
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3(c) Consultations

The assumptions made in the development of this ICR, including the estimate on the number of petroleum refineries subject to 

the standard, were reviewed and updated, if needed, by the Agency in consultation with David Friedman of the National Petrochemical 

and Refiners Association (NPRA), who consulted with some its committee members. In addition, we consulted the Agency’s internal 

data sources including our own industry experts and OTIS, which is the EPA database for the collection, maintenance, and retrieval of 

all compliance data. The information in OTIS is reported by industry, in compliance with the recordkeeping and reporting provisions 

in the standard. OTIS is operated and maintained by the Office of Compliance at EPA. We have estimated that there are 

approximately 134 existing respondents subject to the standard and that no new sources will become subject to the standard over the 

three-year period covered by this ICR.

The Agency also has the policy to respond after a thorough review of comments received from the public since the last ICR 

renewal as well as those submitted in response to the First Federal Register Notice. In this case, no comments were received. 

3(d) Effects of Less Frequent Collection

Less frequent information collection would decrease the margin of assurance that facilities are continuing to meet the 

standards. Requirements for information gathering and recordkeeping are useful techniques to ensure that good operation and 

maintenance practices are applied and emission limitations are met. If the information required by these standards was collected less 

frequently, the likelihood of detecting poor operation and maintenance of control equipment and noncompliance would decrease.

3(e) General Guidelines

None of these reporting or recordkeeping requirements violate any of the regulations established by OMB at 5 CFR 1320.5.

These standards require respondents to maintain all records, including reports and notifications, for at least five years. This is 

consistent with the General Provisions as applied to the standards. EPA believes that the five-year records retention requirement is 

consistent the Part 70 permit program and the five-year statute of limitations on which the permit program is based. Also, the retention

of records for five years would allow EPA to establish the compliance history of a source and any pattern of compliance for purposes 

of determining the appropriate level of enforcement action. Historically, EPA has found that the most flagrant violators frequently
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have violations extending beyond the five years. EPA would be prevented from pursuing the worst violators due to the destruction or 

nonexistence of records if records were retained for less than five years.

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

None of the reporting or recordkeeping requirements contain sensitive questions.

4. The Respondents and the Information Requested

4(a) Respondents/SIC Codes

The respondents to the recordkeeping and reporting requirements are petroleum refineries that are major sources of HAP 

emissions. The United States Standard Industrial Classification (SIC) code for the respondents affected by the standards is SIC 2911, 

which corresponds to the North American Industry Classification System (NAICS) 324110 for petroleum refineries.

4(b) Information Requested

(i) Data Items

All data in this ICR that are recorded and/or reported are required by 40 CFR part 63, subpart CC - National Emission 

Standards for Hazardous Air Pollutants for Petroleum Refineries.

A source must make the following reports:
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Notification Reports

Notification of compliance, status report, periodic report for emissions 

averaging (optional) 63.653(a) & (c)

Notification of intent to construct/reconstruct. 63.9(b)(4), 

63.654(d)(2)

Notification of date of construction/reconstruction. 63.9(b)(4), 

63.654(d)(2)

Notification of date of actual startup. 63.9(b)(4), 

63.654(d)(2)

Application for approval of construction/reconstruction.

63.5(d), 63.9(b)(5), 

63.566(b), 

63.640(k)(2)(i), 

63.654(c), 

63.654(h)(6)

Notification of intent to construct/reconstruct a control device. 63.5(b)(6), 63.5(d)(1)

Notification of compliance status.

63.182(c), 

63.428(c)(2), 

63.640(k)(2)(ii), 

63.654(b), 63.654(d), 

63.654(f), 

63.654(h)(6)

Notification of performance test and site-specific test plan.

63.567(d), (f), 

63.642(d)(2), 

63.654(c),

Results of performance test. 63.567(d), 63.654(c), 

63.654(d)
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Notification Reports

Request for extension of compliance. 63.9(c)

Notification of special compliance requirements. 63.9(d)

Engineering report of vapor collection system for marine tank vessel 

loading operations. 63.567(f), 63.654(c)

Notifications for wastewater streams. 61.357, 63.654(a)

Notifications of inspections of storage vessels. 63.654(h)(2)

Notification of determination of applicability to flexible process units. 63.654(h)(6)(i)

Notification of determination of applicability to variable storage 

vessels. 63.654(h)(6)(ii)

Notification of determination of applicability to variable distillation 

units. 63.654(h)(6)(iii)

Reports

Submission of implementation plan for approval (optional) 63.652(b), 

63.653(c) & (d)

Periodic report for emissions averaging (optional) 63.652(l)

Reports for wastewater streams. 61.357, 63.654(a)

Reports for gasoline loading racks.

63.428(b), (c), 

(g)(1), and (h)(1) 

through (h)(3), 

63.654(b)
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Reports

Annual reports of excess emissions and continuous monitoring system 

performance, or summary report, for marine tank vessel loading 

operations.

63.567(e), 

63.654(c)

Reports for equipment leaks. 60.487 or 63.182, 

63.654(d)

Semiannual (“Periodic”) and immediate reports, including startup, 

shutdown, and malfunction reports.

63.10(d)(5), 

63.654(g), 

63.654(h)(1)

A source must keep the following records:

Recordkeeping

Records for implementation plan (optional) 63.653(a), (b), & (d)

Records for wastewater streams. 61.356, 63.654(a)

Records for gasoline loading racks. 63.428(c), 63.654(b)

Records for vapor collection system for marine tank vessel loading 

operations. 63.567(g), 63.654(c)

Records of vapor tightness for marine tank vessel loading operations. 63.567(h), 63.654(c)

Records of current vapor tightness test results for marine tank vessel 

loading operations. 63.567(i), 63.654(c)

Records for equipment leaks. 60.486 or 63.181, 

63.654(d)

Records for storage vessels. 63.123, 63.654(i)(1)

Records of performance test results and test reports. 63.654(i)(2)
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Recordkeeping

Records for monitoring of miscellaneous process vents. 63.654(i)(3)

Records of miscellaneous notifications and reports. 63.654(i)(4)

Records of startup, shutdown, and malfunction of processes. 63.10(b)(2)(i)

Records of malfunction of control equipment. 63.10(b)(2)(ii)

Records of corrective actions taken during periods of startup, 

shutdown, and malfunction. 63.10(b)(2)(iv)

Records to demonstrate conformance with startup, shutdown, and 

malfunction plan. 63.10(b)(2)(v)

Records of calibration checks, adjustments and maintenance on CMS. 63.10(b)(x), (xi)

Electronic Reporting

The majority of the recordkeeping requirements associated with this rule are related to visual inspections of affected facilities. 

Personnel at the affected source must perform these inspections and note the nature of the corrective actions taken. Because of the 

human labor involved with these requirements, there are few recordkeeping requirements that could be easily automated. As a result, 

automated recordkeeping appears to be rare among respondents. Some regulatory agencies are setting up electronic reporting systems 

to allow sources to report electronically which is reducing the reporting burden. However, electronic reporting systems are still not 

widely used by the regulatory agencies. It is believed that electronic reporting is not common among respondents, per discussions with 

the industry association.

(ii) Respondent Activities

Respondent Activities

Read instructions.
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Respondent Activities

Install, calibrate, maintain, and operate continuous temperature monitors or other monitoring 

devices for HAP control devices.

Perform initial performance test and repeat performance tests if necessary.

Write the notifications and reports listed above.

Enter information required to be recorded above.

Submit the required reports developing, acquiring, installing, and utilizing technology and 

systems for the purpose of collecting, validating, and verifying information.

Develop, acquire, install, and utilize technology and systems for the purpose of processing and 

maintaining information.

Develop, acquire, install, and utilize technology and systems for the purpose of 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.

Transmit, or otherwise disclose the information.

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

5(a) Agency Activities

EPA conducts the following activities in connection with the acquisition, analysis, storage, and distribution of the required

information.

Agency Activities
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Agency Activities

Observe initial performance tests and observe repeat performance tests if necessary.

Review notifications and reports, including performance test reports, and excess emissions 

reports, required to be submitted by industry.

Audit facility records.

Input, analyze, and maintain data in the Online Tracking Information System (OTIS).

5(b) Collection Methodology and Management

Following notification of startup, the reviewing authority may inspect the source to ensure that the pollution control devices are 

properly installed and operated, that leaks are being detected and repaired, and that the regulations are being met. Performance test 

reports are needed as these are the Agency's record of a source's initial capability to comply with the emission standards, and serve as a 

record of the operating conditions under which compliance was achieved. In general, control devices other than flares must achieve 

HAP reductions of at least 95 percent by weight. Flares must be operated with no visible emissions and a flame must be present at all 

times. Data and records maintained by the respondents are tabulated and published for use in compliance and enforcement programs. 

The semiannual reports are used for problem identification, as a check on source operation and maintenance, and for compliance 

determinations.

Information contained in the reports is entered into the OTIS, which is operated and maintained by EPA's Office of 

Compliance. OTIS is EPA’s database for the collection, maintenance, and retrieval of compliance data for approximately 125,000 

industrial and government-owned facilities. The EPA uses the OTIS for tracking air pollution compliance and enforcement by local 

and state regulatory agencies, EPA regional offices and EPA headquarters. The 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 or operator for five years.

5(c) Small Entity Flexibility
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A majority of the affected facilities are large entities (e.g., large businesses). However, the impact on small businesses was 

taken into consideration during the development of the regulation. Due to technical considerations involving the process operations 

and the types of control equipment employed, the recordkeeping and reporting requirements are the same for both small and large 

entities. The Agency considers these requirements the minimum needed to ensure compliance and, therefore, cannot reduce them 

further for small entities. To the extent that larger businesses can use economies of scale to reduce their burden, the overall burden 

will be reduced.

5(d) Collection Schedule

The specific frequency for each information collection activity within this request is shown in Table 1: Annual Respondent 

Burden and Cost: NESHAP for Petroleum Refineries (40 CFR part 63, subpart CC).

6. Estimating the Burden and Cost of the Collection

Table 1 documents the computation of individual burdens for the recordkeeping and reporting requirements applicable to the 

industry 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, we have identified the specific tasks 

and major assumptions in the burden calculations. Responses to this information collection are mandatory.

In the burden estimate for this ICR, we have continued to assume that none of the refineries subject to NESHAP subpart CC 

will use emissions averaging. Consequently, no hours are included in the estimated burden for recordkeeping and reporting activities 

associated with emissions averaging. In addition, we did not include burden for marine vessel tank loading and unloading operations, 

bulk gasoline loading racks, and wastewater sources since these sources would only be affected by those records and reports required 

already by other rules, as discussed in Section 3(a). This NESHAP does not have any additional recordkeeping or reporting 

requirements for these sources, provided that they are not included in emissions averaging.

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
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The average annual burden to industry over the next three years from these recordkeeping and reporting requirements is 

estimated to be 411,889 hours. These hours are based on Agency studies and background documents from the development of the 

regulation, Agency knowledge and experience with the NESHAP program, the previously approved ICR, and any comments received.

6(b) Estimating Respondent Costs

(i) Estimating Labor Costs

This ICR uses the following labor rates: 

Managerial $107.63 ($51.25 + 110%) 

Technical $93.41 ($44.48 + 110%)

Clerical $45.87 ($21.84 + 110%)

These rates are from the United States Department of Labor, Bureau of Labor Statistics, March 2007, Table 1. Private Industry, 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 only costs to the regulated industry resulting from information collection activities required by the subject standard are 

labor costs. There are no capital/startup or operation and maintenance costs.

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

The NESHAP subpart CC incorporates requirements for parametric monitoring of control devices that are included in other 

rules to which petroleum refineries are already subject. No additional new monitoring equipment is required in order to comply with 

the recordkeeping and reporting requirements of this NESHAP. Therefore, we have determined that there are no annualized 
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capital/startup costs and operation and maintenance costs associated with this rule. 

6(c) Estimating Agency Burden and Cost

The only costs to the Agency are those labor 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 $133,040. This cost is based on the 

average hourly labor rate as follows:

Managerial $58.18 (GS-13, Step 5, $36.36 + 60%)

Technical $43.17 (GS-12, Step 1, $26.98+ 60%) 

Clerical $23.36 (GS-6, Step 3, $14.60 + 60%)

These rates are from the Office of Personnel Management (OPM) 2007 “General Schedule “which excludes locality rates of pay. 

Details upon which this estimate is based appear in Table 2: Annual Burden and Cost to the Federal/State Government: NESHAP for 

Petroleum Refineries (40 CFR part 63, subpart CC), attached.

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

Based on our research for this ICR, approximately 134 existing sources are currently subject to the standard. It is estimated 

that no additional sources per year will become subject to the standard in the next three years. Although no additional sources are 

expected to become subject to the regulation, some sources will construct new affected facilities or will reconstruct currently affected 

facilities in order to increase their refining capacities. It is assumed that, on average, a refinery will reconstruct 10 percent of the 

existing storage vessels, process units subject to equipment leak provisions, and process vents.
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The number of respondents is calculated using the following table, which addresses the three years covered by this ICR.

Number of Respondents

Respondents That Submit Reports Respondents That Do 

Not Submit Any Reports

Year

(A)

Number of New 

Respondents 

(B)

Number of 

Existing 

Respondents

(C)

Number of Existing 

Respondents That 

Keep Records But Do 

Not Submit Reports

(D)

Number of Existing 

Respondents That 

Are Also New 

Respondents 1

(E)

Number of 

Respondents

(E=A+B+C-D)

1 13.4 134 0 13.4 134

2 13.4 134 0 13.4 134

3 13.4 134 0 13.4 134

Average 13.4 134 0 13.4 134

1

New respondents include sources with constructed and reconstructed affected facilities. In this standard, existing respondents submit initial 

notifications.

To avoid double-counting respondents column D is subtracted. As shown above, the average Number of Respondents over the 

three-year period of this ICR is 134. 

The total number of annual responses per year is calculated using the following table. Note that this table does not account for 

responses that are required by other regulations to which petroleum refineries are already subject (i.e., requirements that are not 

attributable to the petroleum refineries NESHAP):
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Total Annual Responses

(A)

Information Collection Activity

(B)

Number of 

Respondents

(C)

Number 

of 

Responses

(D)

Number of Existing 

Respondents That 

Keep Records But 

Do Not Submit 

Reports

(E)

Total Annual Responses 

E=(BxC)+D

Initial Notifications: 

Notification of reconstruction 

process vents 134 0.4 0 53.6

Notification of compliance 

status - storage vessel 134 0.9 0 120.6

Notification of compliance 

status - equipment leaks 134 1.1 0 147.4

Notification of compliance 

status - process vents 134 0.9 0 120.6

Notification of performance 

test - process vent control 

device

134 0.4 0 53.6

Notification of storage vessel 

inspection 134 0.9 0 120.6

Periodic Reports:

Review of startup, shutdown, 

malfunction reports 134 0 0 0.0

Semiannual parameter 

exceedance reports 134 2 0 268
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Total Annual Responses

(A)

Information Collection Activity

(B)

Number of 

Respondents

(C)

Number 

of 

Responses

(D)

Number of Existing 

Respondents That 

Keep Records But 

Do Not Submit 

Reports

(E)

Total Annual Responses 

E=(BxC)+D

Annual tank inspection failure 

reports 134 1 0 134

Semiannual 

compliance/LDAR reports 134 2 0 268

TOTAL 1,286.4

The number of Total Annual Responses is 1,286 (rounded), as calculated in the table above.

6(e) Bottom Line Burden Hours 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 and 2, 

respectively, and summarized below. 

(i) Respondent Tally

The total annual labor costs are $37,026,877 (rounded). Details regarding these estimates may be found in Table 1: Annual 

Respondent Burden and Cost, NESHAP for Petroleum Refineries (40 CFR part 63, subpart CC), attached. Furthermore, the annual 

public reporting and recordkeeping burden for this collection of information is estimated to average 320 (rounded) hours per response.

There are no annual capital/startup costs and O&M costs to the regulated entity associated with this rule. The cost calculations 

are detailed in Section 6(b)(iii), Capital/Startup vs. Operation and Maintenance (O&M) Costs.

(ii) The Agency Tally
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The average annual Agency burden and cost over next three years is estimated to be 5,640 labor hours at a cost of $237,444 

(rounded). See Table 2: Annual Burden and Cost to the Federal Government: NESHAP for Petroleum Refineries (40 CFR part 63, 

subpart CC), attached.

6(f) Reasons for Change in Burden

The increase of 1,835 hours in labor burden to industry compared to the most recently approved ICR is due to various revisions 

and refinements to the calculation of burden hours for ongoing recordkeeping and reporting as applied to the existing respondents. 

The revisions and refinements made to the calculation of burden hours also caused an increased in labor burden cost to the 

regulatory agencies when compared to the figures in the most recently approved ICR. 

6(g) Burden Statement

The annual public reporting and recordkeeping burden for this collection of information is estimated to average 320 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’s 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-OECA-2007-0126. An electronic version of the public docket is available at 
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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 Avenue, NW, Washington, DC. The EPA Docket Center Public Reading 

Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number for the Reading 

Room is (202) 566-1744, and the telephone number for the 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-OECA-2007- 0126 and OMB Control Number 

2060-0340 in any correspondence. 

Part B of the Supporting Statement

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

Table 1. Annual Respondent Burden and cost: NESHAP for Petroleum Refineries (40 CFR part 63, subpart CC) 

Burden item

(A)

Personhours per 

occurrence

(B)

No. of 

occurrences 

per 

respondent 

per year

(C)

Personhours per 

responden

t per year

(C=AxB)

(D)

Respondent 

per year a

(E)

Technical 

personhours per 

year

(E=CxD)

(F)

Manageme

nt personhours per 

year

(Ex0.05)

(G)

Clerical 

personhours 

per year

(Ex0.1)

(H)

Cost,$ b

1. Applications N/A

2. Survey and Studies N/A

3. Acquisition, Installation, and

 Utilization of Technology and

 Systems 

N/A

4. Reporting Requirements
21

Burden item

(A)

Personhours per 

occurrence

(B)

No. of 

occurrences 

per 

respondent 

per year

(C)

Personhours per 

responden

t per year

(C=AxB)

(D)

Respondent 

per year a

(E)

Technical 

personhours per 

year

(E=CxD)

(F)

Manageme

nt personhours per 

year

(Ex0.05)

(G)

Clerical 

personhours 

per year

(Ex0.1)

(H)

Cost,$ b

A. Read instructions and planning 

 

c & d

 

 Initial: 

 i. General/applicability 20 1 20 13.4 268.0 13.4 26.8 27,705.44

 ii. Storage vessels 20 1 20 13.4 268.0 13.4 26.8 27,705.44

 iii. Process units –LDAR 20 1 20 13.4 268.0 13.4 26.8 27,705.44

 iv. Process vents 20 1 20 13.4 268.0 13.4 26.8 27,705.44

 

 Periodic:

 i. General/applicability 4 2 8 134 1,072.0 53.6 107.2 110,821.75

 ii. Storage vessels 1 2 2 134 268.0 13.4 26.8 27,705.44

 iii. Process units –LDAR 2 2 4 134 536.0 26.8 53.6 55,410.88

 iv. Process vents 2 2 4 134 536.0 26.8 53.6 55,410.88

B. Required activities c & d 

 

 Initial:

 i. General: applicability 10 1 10 134 1,340.0 67.0 134.0 138,527.19

 ii. Storage vessels 88 0.9 792 134 10,612.8 530.6 1,061.3 1,097,131.96

 iii. Process units –LDAR 8 1.1 88 134 1,174.2 59.0 29.5 121,907.32

 iv. Process vents - initial 

 performance test 11 0.2 22 134 294.8 14.7 129.5 30,472.59

 v. Process vents -repeat 

 

 performance test 

 

 

11 0.1 11 134 147.0 7.4 14.7 15,202.02
22

Burden item

(A)

Personhours per 

occurrence

(B)

No. of 

occurrences 

per 

respondent 

per year

(C)

Personhours per 

responden

t per year

(C=AxB)

(D)

Respondent 

per year a

(E)

Technical 

personhours per 

year

(E=CxD)

(F)

Manageme

nt personhours per 

year

(Ex0.05)

(G)

Clerical 

personhours 

per year

(Ex0.1)

(H)

Cost,$ b

Periodic

 i. General/applicability 3 2 6 134 804 40.2 80.4 83,116.31

 ii. Storage vessels 4 9 36 134 4,824.0 241.2 482.4 498,697.88

 iii. Process units –LDAR 1 11 134 134 1,476 73.7 147.4 152,398.08

 iv. Process vents 2 24 48 134 6,432.0 321.6 643.2 664,930.51

C. Create information See 4B

D. Gather existing information See 4B

E. Write report c

Startup, shutdown and 

malfunction plan 40 1 40 0 0.0 0.0 0.0 0.00

Notification of compliance status 

 

 i. Storage vessels 1 0.9 0.9 134 120.6 6.0 12.1 12,466.05

 ii. Process units –LDAR 4 1.1 4.4 134 589.6 29.5 59.0 60,955.95

 iii. Process vents 1 0.9 0.9 134 120.6 6.0 12.1 12,466.05

Notification of storage vessel 

inspection 1 0.9 0.9 134 120.6 6.0 12.1 12,466.05

Notification of reconstructionprocess vent control device 4 0.4 1.6 134 214.4 10.72 21.44 22,160.36

Notification of performance test cSee 4B

Startup, shutdown and 

malfunction reports c NA
23

Burden item

(A)

Personhours per 

occurrence

(B)

No. of 

occurrences 

per 

respondent 

per year

(C)

Personhours per 

responden

t per year

(C=AxB)

(D)

Respondent 

per year a

(E)

Technical 

personhours per 

year

(E=CxD)

(F)

Manageme

nt personhours per 

year

(Ex0.05)

(G)

Clerical 

personhours 

per year

(Ex0.1)

(H)

Cost,$ b

Semiannual compliance 

reports: e, f 

 i. General 18 2 36 134 4,824.0 241.2 482.4 498,697.88 

 

 ii. Storage vessels 1 18 18 134 2,412.0 120.6 241.2 249,348.94

 iii. Storage vessels seal gap 

 

 failure

3 2 6 134 804.0 40.2 80.4 83,116.31

 iv. Process units –LDAR 3 22 66 134 8,844.0 442.2 884.4 914,279.45

 v. Process vents 1.5 4 6 134 804.0 40.2 80.4 83,116.31

5. Recordkeeping Requirements

A. Read instructions See 4A

B. Plan activities cSee 4A

C. Implement activities cSee 4B

D. Develop record system g N A

 Initial:

 i. Storage vessels 2 0.9 1.8 134 241.2 12.1 24.1 24,938.28

 ii. Process units –LDAR 75 1.1 82.5 134 11,055.0 552.8 1,105.5 1,142,854.70

 iii. Process vents 2 0.9 1.8 134 241.2 12.1 24.1 24,938.28

 Periodic

 i. Storage vessels 2 18 36 134 4,824.0 241.2 482.4 498,697.88

 ii. Process units –LDAR 75 11 825 134 110,550.0 5,527.5 11,055.0 11,428,493.18

 iii. Process vents 2 9 18 134 2,412.0 120.6 241.2 249,348.94
24

Burden item

(A)

Personhours per 

occurrence

(B)

No. of 

occurrences 

per 

respondent 

per year

(C)

Personhours per 

responden

t per year

(C=AxB)

(D)

Respondent 

per year a

(E)

Technical 

personhours per 

year

(E=CxD)

(F)

Manageme

nt personhours per 

year

(Ex0.05)

(G)

Clerical 

personhours 

per year

(Ex0.1)

(H)

Cost,$ b

E. Time to enter information and 

transmit it g

 Initial:

 i. Storage vessels 6 0.9 3.6 134 482.4 24.12 48.24 49,869.79

 ii. Process units –LDAR 99 1.1 108. 134 14,592.6 729.63 1,459.3 1,508,562.93

 iii. Process vents 12 0.2 24 134 321.6 16.1 32.2 33,250.51

 Periodic

 i. Storage vessels 3.5 18 63.0 134 8,442.0 422.0 844.2 872,710.53

 ii. Process units –LDAR 99 11 1,089 134 145,926.0 7,296.3 14,592.6 15,085,610.99

 iii. Process vents 15 4 60.0 134 8,040 402.0 804.0 831,163.14

F. Time to train personnel h

 Initial:

 i. Storage vessels 1 0.9 0.9 134 120.6 6.0 12.1 12,466.05

 ii. Process units –LDAR 1 1.1 1.1 134 147.0 7.4 14.7 15,202.02

 iii. Process vents 1 0.4 0.4 134 53.6 2.7 5.4 5,545.08

 Periodic

 i. Storage vessels NA

 ii. Process units –LDAR 0.5 11 5.5 134 737 36.9 73.7 76,195.34

 iii. Process vents 1 4 4 134 536 26.8 53.6 55,410.88

Subtotal Labor Burden

358,164.6 17,908.2 35,816.5 $37,026,877.44

TOTAL LABOR BURDEN AND 

COST (Rounded) 411,889 $37,026,877
25

Assumptions:

a

 We have estimated that of the 145 existing petroleum refineries in the U.S., of which 134 refineries would be considered respondents subject to this rule. 

Although we assumed that there will be no new refineries subject to the rule, we estimate that all existing refineries would have to reconstruct 10 percent of 

existing affected facility each year to accommodate increased in refinery production. We have assumed that a refinery would have the following affected 

facilities: 9 storage vessels, 11 process units which are subject to leak detection and repair (LDAR) provisions, and 9 process vents. 

b This ICR uses the following labor rates: $107.63 per hour for Executive, Administrative, and Managerial labor; $93.41per hour for Technical labor, and $45.87 

per hour for Clerical labor. These rates are from the United States Department of Labor, Bureau of Labor Statistics, March 2007, 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

c

 We have assumed that the initial notifications and periodic reporting required by this rule for existing sources are already accounted for in existing NSPS and 

NESHAP regulations for equipment leaks, wastewater and storage tanks. However, this ICR addresses the additional burden for industry associated with 

addressing the rule requirements in the compliance report for all 134 respondents. Startup, shutdown and malfunction reports are included with the semiannual 

reports.

d

 We have assumed that all existing respondents over 3-year term of ICR have complied with the rule initial monitoring, recordkeeping and reporting 

requirements on their existing units including: initial notifications; the design analysis and establishing operating parameters for storage vessels, LDAR initial 

requirements, and initial performance test for process vents routed to a control device (4 of 9 process vents); and development of startup and malfunction plan and 

record system addressing each unit. However, respondents would have to comply with initial rule requirements for reconstructed units which are estimated to be 

10 percent of all units (i.e., 0.9 storage vessels, 1.1 process units and 0.4 process vent control devices). 

e

 The rule requires that sources meet specific periodic requirements including: monitoring of storage vessels annually, LDAR monitoring of process units daily, 

and monthly monitoring of process vents, recording of process parameters and monitoring results, and submittal of periodic semiannual compliance reports 

addressing each affected facility and of performance test results. The startup, shutdown and malfunction reports are included in the next periodic report. 

f

 Notifications related to construction/reconstruction and periodic reporting of existing sources are accounted for in existing NSPS and NESHAP regulations for 

equipment leaks, wastewater and storage tank. 

g

 We have assumed that sources have already the record system in place to monitor each existing operations, however, it will incurred in some burden for 

reconstructed affected facilities.

h

 We have include the associated with sources recording data and transmitting it to develop initial and semiannual reports. We have assumed that it takes 

respondents approximate one 3.5 hours (2 hrs of total is to transmit data) at each of the 9 storage vessels, 77 hours for equipment leaks (LDAR, 75 of total is to 

transmit data) at each of the 11 units, and 15 hours (based on the assumption that it takes 5 minutes at 350 days a year per control device to record data) for 

process vents at each of the 2 control devices to record and transmit data periodically. 

i

 We have assumed that existing sources would be providing an initial training to employees associated with new affected facilities, and that there will be periodic 

refresher training. 

N/A Not applicable. 
26

Table 2. Annual Burden and Cost to the Federal/State Government: NESHAP for Petroleum Refineries (40 CFR part 63, 

subpart CC) 

Activity

(A)

Hours per 

occurrence

(B)

Occurrences 

per plant per 

year

(C)

Hours 

per plant 

per year

(AxB)

(D)

Plants 

per 

year a

(E)

Technical 

person-hours 

per year

(E=CxD)

(F)

Management 

person-hours 

per year

(Ex0.05)

(G)

Clerical 

person-hours 

per year

(Ex0.1)

(H)

Cost, $ b

1. Initial Notifications: c 

- Notification of reconstruction-process

 vents d 

1 0.4 0.4 134 53.6 2.7 5.4 2.597.14

 - Notification of compliance status -

 storage vessel e 1 0.9 0.9 134 120.6 6.0 12.0 5,835.70

 - Notification of compliance status - 

 equipment leaks e

1 1.1 1.1 134 147.4 7.4 14.8 7,139.52

 - Notification of compliance status-

 process vents e 1 0.9 0.9 134 120.6 6.0 12.0 5,835.70

 - Notification of performance test-

 process vent control device e 1 0.4 0.4 134 53.6 2.7 5.4 2,597.14

 - Notification of storage vessel 

 inspection  

1 0.9 0.9 134 120.6 6.0 12.0 5,835.70

2. Periodic Reports: f

 - Review of startup, shutdown, 

 malfunction reports N/A

 - Semiannual parameter exceedance 

 reports 4 2 8 134 1,072.0 53.6 107.2 51,900.88

 - Annual tank inspection failure 

reports 4 1 4 134 536.0 26.8 53.6 25,950.44

 - Semiannual compliance/LDAR 

reports 10 2 20 134 2,680 134.0 268.0 29,752.20

Subtotal 4,904.4 245.20 490.4 237,444.43

TOTAL 5,640 237,444
27

Assumptions:

a

 We have assumed that there are 134 existing petroleum refineries which are respondents over the 3-year term of the ICR. We have further assumed that a 

refinery have the following affected facilities: 9 storage vessels, 11 process units which are subject to leak detection and repair (LDAR) provisions, and 9 process 

vents for which it would be required to do monitoring, recordkeeping and reporting. 

b

 This cost is based on the following labor rates: Managerial rate of $58.18 (GS-13, Step 5, $36.36 + 60%), Technical rate of $43.17 (GS-12, Step 1, $26.98 + 

60%), and Clerical rate of $23.36 (GS-6, Step 3, $14.60 + 60%). These rates are from the Office of Personnel Management (OPM) A2007 General Schedule@

which excludes locality rates of pay. 

c We have assumed that all existing respondents over 3-year term of ICR have complied with the rule initial monitoring, recordkeeping and reporting 

requirements on their existing units including: initial notifications; the design analysis and establishing operating parameters for storage vessels, LDAR initial 

requirements, and initial performance test for process vents routed to a control device (4 of 9 process vents); and development of record system. However, we 

have assumed that 10 percent of respondents(13.4) would have to comply with initial rule requirements for reconstructed units. 

d

 The notification of reconstruction is only required for process vents controls. We have assumed 2 two process vent controls per respondent, and that 10 

percent of process vent will be reconstructed and tested. Further, we assumed two notifications per test.

e The notification of compliance status would include performance test results, as required by the general provisions.

f The rule requires that sources semiannual compliance reports addressing each affected facility subject to the rule. The startup, shutdown and malfunction 

reports are to be submitted with the next semiannual reports

N/A Not applicable.