Component 1 Instructions Form Approved 03/28/2011 

OMB Control No. 2060-0657 

Approval Expires 03/31/2014 

1 

Petroleum Refinery 

Emissions Information Collection 

General Instructions for Component 1 

Please provide the information requested in Components 1 for the facility listed in the Section 

114 letter you received in the mail. If you received one Section 114 letter for multiple facilities, 

you must create a separate survey response for each facility.1

 Component 1 of the ICR is 

provided in electronic format (i.e., Refinery ICR Component 1 Reporting Tool), and can be 

downloaded from the ICR website (https://refineryicr.rti.org). 

Use the 2010 calendar year as the base year for all survey responses (e.g., 2010 emissions 

inventory, 2010 throughput, 2010 equipment configurations) unless another year is specified in 

the instructions (e.g., for existing emissions test data). 

The following sections (Component 1) are to be completed by all facilities and returned to the 

address noted below by May 31, 2011: 

• Part I – General Facility Information: Provide information on the petroleum 

refinery at the facility level. 

• Part II – Process and Emissions Information: Provide detailed information on the 

process units and other emissions sources at the petroleum refinery. 

• Part III – Non-Routine Emissions: Provide information on non-routine emissions 

events during 2010 where the emissions exceeded normal emissions, normal 

controls were bypassed, or the effectiveness of the normal controls was reduced. 

• Part IV – Cost Data (Optional): Provide the age and cost to install and operate 

control equipment at the petroleum refinery. 

• Part V – Emissions Monitoring and Source Test Data: Provide results of all 

existing emissions data from tests or monitoring conducted on any of the 

processes or emission points included in Part II, Sections 2 through 16. 

Additional instructions for Part IV and V of Component 1 are provided in the following sections. 

 

1

 For purposes of this information request, “facility” is defined as any stationary source or group of stationary 

sources located on one or more contiguous or adjacent properties in actual physical contact or separated solely by a 

public roadway or other public right-of-way and under common ownership or common control. 
Component 1 Instructions Form Approved 03/28/2011 

OMB Control No. 2060-0657 

Approval Expires 03/31/2014 

2 

Instructions for Part IV – Cost Data (Optional) 

Cost data for air pollution control devices (APCD), process changes, equipment 

changes/upgrades, and management or work practices implemented within the last 5 years are 

optionally requested. While you are not required to complete this part, EPA highly recommends 

that you provide available cost data so that we can more accurately determine the compliance 

costs of control alternatives that may be assessed during the review of the refinery emission 

standards. 

For any APCD, process changes, equipment changes/upgrades, and management or work 

practices implemented within the last 5 years for which you have readily available cost 

information, please provide those costs as described in this part. Include only process changes, 

equipment changes/upgrades, and management or work practices implemented to reduce 

emissions. Do not include projects needed to meet environmentally driven product 

specifications (e.g., low sulfur diesel projects, ethanol blending projects, and gasoline 

reformulation projects to remove MTBE). If you wish to provide more detail than requested in 

Table 2 (e.g., you wish to itemize total capital costs), you may provide your information in a 

separate spreadsheet. If you know an approximate cost for a control technique but do not have 

the level of detail requested in the tables, please provide the approximate cost and your best 

estimate of which of the components in the appropriate table were factored into that approximate 

cost (in lieu of completing the applicable table for that control technique). 

If any of the data requested in this part is considered CBI, follow the instructions in the section 

“Submitting CBI” under the heading “How to Submit Your Survey Response” in the general 

instructions for this ICR on the ICR website home page (https://refineryicr.rti.org). 

1. Please complete the Cost Data for APCD table in the Refinery ICR Component 1 

Reporting Tool for any new APCD installed in the last 5 years on any of the process units 

or other emissions sources described in Part II for which you have readily available 

information. The EPA is particularly interested in costs of the following APCD: 

• Electrostatic precipitators 

• Wet scrubbers 

• Baghouses 

• SCR/SNCR for NOX control 

• Steam strippers 

• Carbon adsorbers 

• Thermal/catalytic oxidizers 

• Flares 
Component 1 Instructions Form Approved 03/28/2011 

OMB Control No. 2060-0657 

Approval Expires 03/31/2014 

3 

2. Please complete Cost Data for Process and Equipment Changes table in the Refinery ICR 

Component 1 Reporting Tool for any process changes or equipment changes/upgrades 

performed in the last 5 years to any of the process units or other emissions sources 

described in Part II for which you have readily available information. The EPA is 

particularly interested in costs of the following process changes or equipment 

changes/upgrades: 

• Installation of low/ultra-low NOX burners 

• Installation of air preheat for process heaters/boilers 

• Catalyst additives for SOX control from FCCU 

• Combustion promoters or catalyst additives for NOX control from FCCU 

• Amine treatment systems 

• Floating roofs, rim seals, and fittings seals on storage vessels 

• Installation of geodesic dome for external floating roof tank 

• Installation of guidepole sleeves/wipers or other tank fitting gaskets 

3. Please provide any readily available costs for other techniques used at your refinery to 

reduce emissions of any pollutant. EPA is particularly interested in techniques that are 

not already included in Federal regulations. Provide as much detail in your cost estimate 

as possible (e.g., unit ID for the unit from which emissions are reduced, amount of time 

needed to complete the technique (labor costs), cost of any equipment needed on a 

temporary basis, cost of any monitoring devices needed to indicate when action is needed 

or to measure progress). Types of techniques that EPA is particularly interested in 

include: 

• Use of a portable or temporary control device (e.g., for degassing of storage 

tanks) 

• Monitoring devices (e.g., monitors that record the duration and quantity of 

compounds released from a PRD) 

• Pollution prevention techniques 

• Energy management programs identified in Part II, Section 1 

• Other management practices or work practices that you identified in Part II 
Component 1 Instructions Form Approved 03/28/2011 

OMB Control No. 2060-0657 

Approval Expires 03/31/2014 

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Instructions for Part V – Emissions Monitoring and Source Test Data 

In this section, emissions test data are requested. Please satisfy this request as completely as 

possible from existing information. No additional monitoring or emission testing is required by 

your company to respond to the data request in this section. Five types of existing emissions 

data are requested: 1) source test data, 2) qualified CEMS data, 3) qualified CMS data, 4) 

biological treatment units data, and 5) ambient or remote sensing data. The emissions test data 

collected will provide valuable information on current emissions levels and will allow EPA to 

consider variability in emissions from refinery to refinery (and over time for a given emission 

unit and pollutant) in reviewing and setting emission standards. When submitting test data, EPA 

is requesting full test reports with field and lab data sheets and example calculations, not just 

summary reports. 

If any of the data requested in this part is considered CBI, follow the instructions in the section 

“Submitting CBI” under the heading “How to Submit Your Survey Response” in the instructions 

for this ICR on the ICR website home page (https://refineryicr.rti.org). 

1. Source Tests: Provide any existing emissions test reports from emissions tests conducted 

on any of the processes or emission points included in Part II, Sections 5 through 16 and 

for boilers included in Table 1-2 (of Part II) on or after January 1, 2005. Electronic (pdf) 

or hard copies are acceptable. Include the summary portion of the report and any 

appendices showing run-by-run test parameters, method detection limits, laboratory data, 

production data, example calculations, etc. If you have multiple tests for one pollutant 

from one process unit, submit only the most recent test for that pollutant and process unit. 

(We are only requesting the most recent test per unit for one pollutant, but you may 

submit more than one test, particularly if additional tests reflect the effect of different 

operating conditions or equipment configurations.) 

In addition, complete the source test log shown below for each source test you submit. 

(Electronic copies of this table can be downloaded from the ICR website 

(https://refineryicr.rti.org).) Note that the information requested in the summary table 

includes: 

(A) test number (use any unique identifier you choose for each test) 

(B) APCD type (if not clear from the test report), 

(C) a description of how the configuration of the emission unit, combustion controls, 

collection system, or APCD has changed since the test was conducted, if 

applicable, 

(D) any notes specific to that emissions test (optional), and 

(E) how often you are required to test the emission unit (optional). 
Component 1 Instructions Form Approved 03/28/2011 

OMB Control No. 2060-0657 

Approval Expires 03/31/2014 

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2. Qualified CEMS Data: Provide qualified CEMS data for PM, CO, NOX, SO2, and THC 

CEMS on any of the processes or emission points included in Part II, Sections 5 through 

16 and for boilers included in Table 1-2 (of Part II). Report daily averages for each day 

in 2010 using the Microsoft® Excel CEMS Daily Template available on the ICR website 

(https://refineryicr.rti.org). A separate Excel CEMS Daily Template should be completed 

for each pollutant and type of unit. 

Qualified CEMS data include: data from a PM CEMS that meets Performance 

Specification 11 or 15; data from a CO CEMS that meets Performance Specification 4; 

data from a SO2 and/or NOX CEMS that meets Performance Specification 2; data from a 

THC CEMS that meets Performance Specification 8A; or data from any CEMS meeting 

the accuracy and ongoing QA/QC requirements of 40 CFR part 60, Appendix F. Use 

only qualified CEMS data and determine the daily averages using by averaging the 

hourly CEMS values for each hour for which qualified CEMS data are available. If there 

are no qualified CEMS data for any hour in a given day, report “ND” (no data) for that 

daily average. 

In addition, complete the log shown below for each set of CEMS data you submit. 

(Electronic copies of this table can be downloaded from the ICR website 

(https://refineryicr.rti.org).) Note that the information requested in the summary table 

includes: 

(A) ID number for the set of CEMS data (use a unique identifier for each set of data; 

each identifier should include the pollutant monitored) and 

(B) APCD type. 

You may complete other fields in the log if you wish to provide additional data. 

3. Qualified CMS Data: Provide qualified CMS data for H2S, reduced sulfur, total reduced 

sulfur, hydrocarbon, and Btu CMS on fuel gas or flare gas lines. Only CMS data listed in 

the previous sentence are requested; no other type of CMS data are requested. Report 

daily averages for each day in 2010 using the Microsoft® Excel CMS Daily Template 

available on the ICR website (https://refineryicr.rti.org). A separate Excel CMS Daily 

Template should be completed for each pollutant and type of unit. 

Qualified CMS data include: data from a H2S CMS that meets Performance 

Specification 7; data from a reduced sulfur or total reduced sulfur CMS that meets 

Performance Specification 7; data from a hydrocarbon or Btu CMS (gas composition 

monitor) that meets Performance Specification 5; data from any CMS meeting the 

accuracy and ongoing QA/QC requirements of 40 CFR part 60, Appendix F; or data from 

any CMS for that has been calibrated per the manufacturer’s specifications within the 

past 12 months and is operated and maintained (including on-going QA/QC 

requirements) according to the manufacturer’s specifications. Use only qualified CMS 

data and determine the daily averages using by averaging the hourly CMS values for each 
Component 1 Instructions Form Approved 03/28/2011 

OMB Control No. 2060-0657 

Approval Expires 03/31/2014 

6 

hour for which qualified CMS data are available. If there are no qualified CMS data for 

any hour in a given day, report “ND” (no data) for that daily average. 

In addition, complete the log shown below for each set of CMS data you submit. 

(Electronic copies of this table can be downloaded from the ICR website 

(https://refineryicr.rti.org).) Note that the information requested in the summary table 

includes: 

(A) ID number for the set of CMS data (use a unique identifier for each set of data; 

each identifier should include the parameter monitored) and 

(B) APCD type. 

You may complete other fields in the log if you wish to provide additional data. 

4. Biological treatment unit: If you performed a biodegradation rate test or a complete 

mixing test on a biological treatment unit on or after January 1, 2000, provide a complete 

copy of the test report. (See the guidance provided on the ICR website 

(https://refineryicr.rti.org) for more information about biodegradation rate tests and 

complete mixing tests.) 

5. Ambient and remote sensing: If you conducted ambient air monitoring or conducted a 

DIAL, SOF, or similar test at or around your facility on or after January 1, 2000, provide 

a complete copy of the test report for these studies. 

6. Equipment leak correlations: If you developed site-specific correlations for equipment 

leaks at your facility and you use those correlations to estimate emissions from 

equipment leaks, provide a complete copy of the report or other documentation 

describing the testing and development of the correlations.