SUPPORTING STATEMENT

ENVIRONMENTAL PROTECTION AGENCY

NESHAP for Marine Tank Vessel Loading Operations (40 CFR Part 63, Subpart Y) 

(Renewal)

1. Identification of the Information Collection

1(a) Title of the Information Collection

NESHAP for Marine Tank Vessel Loading Operations (40 CFR Part 63, Subpart Y) 

(Renewal), EPA ICR Number 1679.09, OMB Control Number 2060-0289.

1(b) Short Characterization/Abstract

The National Emission Standards for Hazardous Air Pollutants (NESHAP) for Marine 

Tank Vessel Loading Operations (40 CFR Part 63, Subpart Y) were proposed on May 13, 1994, 

promulgated on September 19, 1995, and amended on April 21, 2011. This NESHAP regulation

establishes Maximum Achievable Control Technology (MACT) standards to existing facilities 

and new facilities that load marine tank vessels with petroleum or gasoline. These facilities have 

aggregate actual hazardous air pollutants (HAP) emissions of 10 tons or more of each individual 

HAP, or 25 tons or more of all HAP combined. This NESHAP regulation also established 

reasonably-available control technology (RACT) standards to such facilities with an annual 

throughput of 10 million or more barrels of gasoline or 200 million or more barrels of crude oil. 

This information is being collected to assure compliance with 40 CFR Part 63, Subpart Y.

The NESHAP Subpart Y regulation was amended to include emission standards for two 

marine tank vessel loading operation (MTVLO) subcategories not included in the original rule. 

These subcategories are facilities with MTVLO that emit less than 10 tons per year of each 

individual HAP and less than 25 tons per year of all HAP combined, and that are located at 

major sources of HAP loading more than 1 million barrels per year of gasoline, and facilities 

located more than 0.5 miles from shore. The amendment also eliminated the startup, shutdown, 

and malfunction (SSM) exemption, added provisions to provide an affirmative defense against 

civil penalties for exceedances of emission standards caused by malfunctions, and added a 

provision to require electronic submittal of performance test results. This ICR has been updated 

to reflect the additional industry burden associated with the amended standards.

In general, all NESHAP standards require initial notifications, performance tests, and 

periodic reports by the owners/operators of the affected facilities. They 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 affected facilities subject to NESHAP.

Any owner/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 
2

the event that there is no such delegated authority, the reports are sent directly to the United 

States Environmental Protection Agency (EPA) regional office.

Over the next three years, an average of 804 respondents per year will be subject to the 

standards, and no additional respondents per year will become subject to these same standards. 

Of the 804 existing sources, 38 are currently subject to the NESHAP Subpart Y emissions 

standards requirements. The remaining 766 sources are not subject to the emissions standards,

but have some recordkeeping requirements.

The Office of Management and Budget (OMB) approved the currently active ICR 

without any “Terms of Clearance.”

All of the marine tank vessel loading plants in the United States are owned and operated 

by the marine tank vessel loading industry (i.e., the “Affected Public”). None of the facilities in 

the United States are owned by state, local, tribal, or the Federal government. They are all 

owned and operated by privately-owned, for-profit businesses. The “burden” to the “Affected 

Public” may be found below in Table 1: Annual Respondent Burden and Cost – NESHAP for 

Marine Tank Vessel Loading Operations (40 CFR Part 63, Subpart Y) (Renewal). The “burden”

to the Federal Government is attributed entirely to work performed by either Federal employees

or government contractors, and may be found below in Table 2: Average Annual EPA Burden 

and Cost – NESHAP for Marine Tank Vessel Loading Operations (40 CFR Part 63, Subpart Y) 

(Renewal). 

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.
3

In the Administrator's judgment, HAP and VOC emissions from MTVLO cause or 

contribute to air pollution that may reasonably be anticipated to endanger either public health 

and/or public welfare. Therefore, the NESHAP were promulgated for this source category at 

40 CFR Part 63, Subpart Y.

2(b) Practical Utility/Users of the Data

The recordkeeping and reporting requirements in the standard ensure compliance with 

the applicable regulations which where promulgated in accordance with the Clean Air Act. The 

collected information is also used for targeting inspections and as evidence in legal proceedings.

Performance tests are required in order to determine an affected facility’s initial 

capability to comply with the emission standards. Continuous emission monitors are used to 

ensure compliance with the standards at all times. During the performance test, a record of the 

operating parameters under which compliance was achieved may be recorded and used to 

determine compliance in place of a continuous emission monitor.

The notifications required in the standards 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 pollution control devices are properly installed 

and operated, leaks are being detected and repaired, and that the standards are being met. The 

performance test may also be observed.

The required annual reports are used to determine periods of excess emissions, identify

problems at the facility, verify operation/maintenance procedures and for compliance 

determinations.

3. Non-duplication, Consultations, and Other Collection Criteria

The requested recordkeeping and reporting are required under 40 CFR Part 63, Subpart 

Y.

3(a) Non-duplication

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, 

duplication does not exist.

3(b) Public Notice Required Prior to ICR Submission to OMB
4

An announcement of a public comment period for the renewal of this ICR was published 

in the Federal Register (78 FR 35023) on June 11, 2013. No comments were received on the 

burden published in the Federal Register.

3(c) Consultations

The Agency’s industry experts have been consulted, and the Agency’s internal data 

sources and projections of industry growth over the next three years have been considered. The 

primary source of information as reported by industry, in compliance with the recordkeeping and 

reporting provisions in the standard, is the Online Tracking Information System (OTIS), which is 

operated and maintained by EPA's Office of Compliance. OTIS is EPA’s database for the 

collection, maintenance, and retrieval of all compliance data. The growth rate for the industry is 

based on our consultations with the Agency’s internal industry experts. 

Industry trade associations and other interested parties were provided an opportunity to 

comment on the burden associated with the standards as they were being developed, and the 

standards have been reviewed previously to determine the minimum information needed for 

compliance purposes. In developing this ICR, we contacted; 1) the American Petroleum 

Institute, at (202) 682-8000; and 2) the American Chemistry Council at (202) 249-7000.

It is our policy to respond after a thorough review of comments received 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 proper operation and maintenance of control equipment and 

the possibility of detecting violations would be less likely.

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.

These standards require the 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. The retention of records for five years allows EPA to establish the compliance history of 

a source, any pattern of non-compliance, and to determine the appropriate level of enforcement 

action. EPA has found that the most flagrant violators have violations extending beyond five 
5

years. In addition, EPA would be prevented from pursuing the violators due to the destruction or 

nonexistence of essential records.

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 (CBI) (see 40 CFR 2; 41 FR 36902, 

September 1, 1976; amended by 43 FR 40000, September 8, 1978; 43 FR 42251, September 20, 

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

3(g) Sensitive Questions

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

questions.

4. The Respondents and the Information Requested

4(a) Respondents/SIC Codes

The respondents to the recordkeeping and reporting requirements are marine tank vessel 

loading operations at marine terminals. The North American Industry Classification System 

(NAICS) codes and associated United States Standard Industrial Classification (SIC) codes for 

respondents affected by the standard are listed below.

40 CFR Part 63, Subpart Y SIC Codes NAICS Codes

Marine Cargo Handling 4491 488320

Part and Harbor Operations 4491 488310

Support Activities for water 

Transportation

44 4883

 

4(b) Information Requested

(i) Data Items

In this ICR, all the data that is recorded or reported is required by the NESHAP for 

Marine Tank Vessel Loading Operations (40 CFR Part 63, Subpart Y).
6

A source must make the following notifications/reports:

Notifications/Reports

Notification of performance test 63.7(b), 63.9(e), 63.567(a)

Notification of the date the continuous monitoring system 

(CMS) performance evaluation is scheduled to begin.

63.8(e)(2), 63.9(g)(1), 

63.567(a)

Notification of compliance status 63.9(h), 63.567(a)

Notifications of adjustments to time periods or deadlines for 

submittal and review of required communications. 63.9(i), 63.567(a)

Notification of changes in information provided to the 

Administrator. 63.9(j), 63.567(a)

Initial notifications, applications for approval of 

construction or reconstruction.

63.5, 63.566, 63.567(a), and 

(b)(1-5)

Notification of intent to construct/reconstruct 63.5, 63.9(b)(4), 63.567(a), and 

(b)(4)(i)

Notification of the date when construction/reconstruction 

was commenced. 63.567(a), and (b)(4)(ii)

Notification of the anticipated date of startup of the source. 63.567(b)(4)(iii)

Notification of the actual date of startup of the source. 63.567(a) and (b)(4)(iv)

Additional initial notifications for MACT sources. 63.567(b)(5)

Request for extension of compliance. 63.6(i)(4)(i)(B), (i)(5-6), and 

63.567(c)

Report of performance (opacity) testing of flares. 63.567(d), 63.565(e), 63.11

Annual summary reports of excess emissions and 

continuous monitoring system performance reports 

(semiannual, if there are excess emissions).

63.10(c)(5), 63.10(c)(8), 

63.10(c)(10-13), 63.563(b), 

63.567(a) and (e)

Engineering report for vapor collection systems. 63.567(f)

Annual report of source’s HAP control efficiency including 

identification of each pollutant monitored.

63.10(e)(3)(vi), 63.565(l), 

63.567(a) and (j)(3)

Reporting results of performance tests/evaluations. 63.7, 63.8(e), 63.9(h), 63.10(d), 

63.10(e)(1), 63.567(a)

Progress reports related to an extension of compliance. 63.6(i), 63.10(d)(4), 63.567(a)

For the purposes of affirmative defense, notification and 

report of exceedances caused by malfunctions

63.562(e)(7)
7

A source must keep the following records:

Recordkeeping 

Records of all excess emissions and monitoring system 

performance reports. 63.567(e)(4)

Records of engineering reports describing vent system or 

vapor collection system. 63.567(f)

Records of all periods when flow bypassing the control device 

is indicated.

63.563(a)(1), 63.564(b), 

63.567(g)(1)

Records of changes in position and maintenance of car-sealed 

valves. 63.564(b)(3), 63.567(g)(2)

Records of vapor tightness documentation. 63.563(a)(4), 63.567(h)

Documentation of vapor tightness test results for marine tank 

vessels.

63.563(a)(4), 63.565(c)(1-

2), 63.567(i)

Retain records of the current, written operation and 

maintenance plan for the life of the source. If plan is revised, 

retain records of the previous (i.e., superseded) operation and 

maintenance plan for at least 5 years after the revision.

63.562(e)(5)

Records of measurements and calculations used to identify

exempted commodities. 63.560(d), 63.567(j)(1)

Records of emissions estimation calculations. 63.565(l), 63.567(j)(2)

Records of emissions estimates and actual throughput for 

owners and operators of marine tank vessel loading operations.

63.560(a)(3), 63.565(l), 

63.567(j)(4)

Records of leak detection and repair of vapor collection 

systems and control devices. 63.563(c), 63.567(k)

Records of the occurrence and duration of each malfunction of 

the control equipment. 63.10(b)(2)(ii), 63.567(a)

Records of all maintenance performed on the air pollution 

control equipment. 63.10(b)(2)(iii), 63.567(a)

Records of periods during which a CMS is malfunctioning. 63.10(b)(2)(vi), 63.567(a)

Records of all measurements, results from performance tests, 

CMS calibration checks, adjustments made to CMS, emission 

levels, information demonstrating whether a source is meeting 

the requirements for a waiver, and supporting documentation 

for initial notifications and notification of compliance status.

63.10(b)(2)(vii-xiv), 

63.567(a)

Records of all CMS measurements. 63.10(c)(1), 63.567(a)

Records of all CMS malfunctions or exceedances 63.10(c)(8) and (c)(10-13), 

63.567(a)
8

Electronic Reporting

Some of the respondents are using monitoring equipment that automatically records 

parameter data. Although personnel at the affected facility must still evaluate the data, internal 

automation has significantly reduced the burden associated with monitoring and recordkeeping at 

a plant site. 

Also, regulatory agencies in cooperation with the respondents continue to create reporting 

systems to transmit data electronically. However, electronic reporting systems are still not 

widely used. At this time, it is estimated that approximately 10 percent of the respondents use 

electronic reporting.

The amendments to the NESHAP Subpart Y require that any performance tests 

performed after December 31, 2011 be submitted electronically to EPA’s Central Data Exchange 

by using the Electronic Reporting Tool (ERT) for test methods that are compatible with ERT. 

This new requirement to submit the data to the ERT is in addition to the other existing 

submission requirements for this data.

(ii) Respondent Activities

Respondent Activities

Read instructions.

Install, calibrate, maintain, and operate CMS for opacity, temperature change and VOC 

emissions temperature change, and VOC emissions for control devices listed in 40 CFR 

63.564(a) through (j).

Perform initial performance test, using the procedures listed in 40 CFR section 63.7 according 

to the applicability in Table 1 of section 63.560, the procedures listed in section 63.564, and 

the test methods listed in section 63.565, and repeating performance test as 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.
9

Respondent Activities

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.

Currently sources are using monitoring and reporting equipment that provide parameter 

data in an automated way e.g., continuous parameter monitoring system. Although personnel at 

the source still need to evaluate the data, this type of monitoring equipment has significantly

reduced the burden associated with monitoring and recordkeeping. 

EPA is including in Table 3 (located at the end of this supporting statement) an estimate 

of the burden associated with performing an affirmative defense. EPA is providing this as an 

illustrative example of the potential additional administrative burden a source may incur to assert 

an affirmative defense in response to an action to enforce the standards set forth in the applicable 

subpart.

This illustrative estimate is not considered a duplicate estimate of cost under the General 

Duty to Minimize Emissions clause under 63.6(e)(1)(i), which states:

At all times, the owner and operator must operate and maintain any 

affected source, including associated air pollution control 

equipment and monitoring equipment, in a manner consistent with 

safety and good air pollution control practices for minimizing 

emissions. Determining whether such operation and maintenance 

procedures are being used will be based on information available 

to the Administrator which may include, but is not limited to, 

monitoring results, review of operation and maintenance 

procedures, review of operation and maintenance records, and 

inspection of the source.

To provide the public with an estimate of the relative magnitude of the burden associated 

with an assertion of the affirmative defense position adopted by a source, EPA estimates the 

costs of the notification, recordkeeping and reporting requirements associated with the assertion 

of the affirmative defense in this ICR. EPA’s estimate for the required notification, reports and 

records, including the root cause analysis, associated with a single incident totals approximately

$3,298 and is based on the time and effort required of a source to review relevant data, interview 

plant employees, and document the events surrounding a malfunction that has caused an 

exceedance of an emission limit. The estimate also includes time to produce and retain the 

records and reports for submission to EPA. EPA provides this illustrative estimate of this burden 
10

because these costs are only incurred if there has been a violation and a source chooses to take 

advantage of the affirmative defense. 

Of the number of excess emission events reported by source operators, only a small 

number would be expected to result from a malfunction, and only a subset of excess emissions 

caused by malfunctions would result in the source choosing to assert the affirmative defense. 

Thus we believe the number of instances in which source operators might be expected to avail 

themselves of the affirmative defense will be extremely small. For this reason, we estimate no 

more than two to three such occurrences for all sources within a given category over the threeyear period covered by this ICR. For the purpose of this estimate, we are adding two instances 

of affirmative defense. We expect to gather information on such events in the future and will 

revise this estimate as better information becomes available.

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

Observe initial performance tests and 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 could inspect the source 

to determine whether the pollution control devices are properly installed and operated. 

Performance test reports are used by the Agency to discern a source’s initial capability to 

comply with the emission standards, and note the operating conditions under which compliance 

was achieved. Data and records maintained by the respondents are tabulated and published for 

use in compliance and enforcement programs. 

Information contained in the reports is entered into 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. EPA uses the OTIS for tracking air pollution compliance and 
11

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

All of the current respondents are large entities (i.e., large businesses). However, the 

impact on small entities (i.e., 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 to be the minimum 

requirements 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 below in Table 1: Annual Respondent Burden and Cost – NESHAP for Marine Tank 

Vessel Loading Operations (40 CFR Part 63, Subpart Y) (Renewal).

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, 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 9,892 hours (Total Labor Hours from Table 1

below). 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.
12

6(b) Estimating Respondent Costs

(i) Estimating Labor Costs

This ICR uses the following labor rates: 

Managerial $123.04 ($58.59+ 110%) 

Technical $101.22 ($48.20 + 110%)

Clerical $51.18 ($24.37 + 110%)

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

2013, “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 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 only type of industry costs associated with the information collection activity in 

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

(iv) Affirmative Defense, Root Cause Analysis, and Malfunction Costs

EPA’s estimate for an affirmative defense and root cause analysis is based on general 

experience to calculate the time and effort required of a source to review relevant data, interview 

plant employees, and reconstruct the events prior to a malfunction in order to determine primary

and contributing causes. The level of effort also includes time to produce and retain the report in 

document form so that the source will have it available should EPA or state enforcement 

agencies ever request to review it.

6(c) Estimating Agency Burden and Cost

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

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

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

emissions, and the publication and distribution of collected information. 

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

$31,509. 

This cost is based on the average hourly labor rate as follows:
13

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), 2013 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. Details upon which this estimate is 

based appear below in Table 2: Average Annual EPA Burden and Cost – NESHAP for Marine 

Tank Vessel Loading Operations (40 CFR Part 63, Subpart Y) (Renewal).

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

Based on our research for this ICR, on average over the next three years, approximately

804 respondents will be subject to these standards. It is estimated that no additional respondents 

per year will become subject. The overall average number of respondents, as shown in the table 

below, is 804 per year.

The number of respondents is calculated using the following table that 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 1

(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

(E)

Number of 

Respondents

(E=A+B+C-D)

1 0 38 766 0 804

2 0 38 766 0 804

3 0 38 766 0 804

Average 804

1

New respondents include sources with constructed, reconstructed and modified affected facilities.

Column D is subtracted to avoid double-counting respondents. As shown above, the 

average Number of Respondents over the three year period of this ICR is 804. 

The total number of annual responses per year is calculated using the following table:
14

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

Notification of 

construction/reconstruction 0 1 0 0

Notification of anticipated 

startup 0 1 0 0

Notification of actual startup 0 1 0 0

Initial notification of 

applicability 0 1 0 0

Waiver application 0 1 0 0

Alternative test 

method/monitoring 

application

0 1 0 0

Site-specific test plan 0 1 0 0

Notification of initial 

compliance test date 0 1 0 0

Notification of compliance 

status 0 1 0 0

Notification of changes in 

information provided to 

Administrator

0 1 0 0

Request for extension of 

compliance 0 1 0 0

Extension of compliance 

progress reports 0 1 0 0

Report of performance 

test/evaluation results 0 1 0 0

Annual excess emissions and 

monitoring exceedances 

and/or summary report(s)

38 1 0 38

Report of HAP control 

efficiency 38 1 0 38

Retain records of emissions 

estimates and actual 

throughput

0 1 766 766

Affirmative defense 0.67 1 0 0.67

Total (after rounding) 843

The number of Total Annual Responses is 843.

The total annual labor costs are $967,810. Details regarding these estimates may be 

found below in Table 1: Annual Respondent Burden and Cost – NESHAP for Marine Tank 

Vessel Loading Operations (40 CFR Part 63, Subpart Y) (Renewal).

6(e) Bottom Line Burden Hours and Cost Tables
15

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

Agency are shown in Tables 1 and 2 (below), respectively, and summarized below. 

(i) Respondent Tally

The total annual labor hours are 9,892 hours. Details regarding these estimates may be 

found below in Table 1: Annual Respondent Burden and Cost – NESHAP for Marine Tank 

Vessel Loading Operations (40 CFR Part 63, Subpart Y) (Renewal). 

Furthermore, the annual public reporting and recordkeeping burden for this collection of 

information is estimated to average 12 hours per response.

There are no total annual capital/startup and O&M costs to the regulated entity. 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 699 

labor hours at a cost of $31,509. See below Table 2: Average Annual EPA Burden and Cost –

NESHAP for Marine Tank Vessel Loading Operations (40 CFR Part 63, Subpart Y) (Renewal).

6(f) Reasons for Change in Burden

There is an increase in the total estimated respondent labor burden and cost as currently

identified in the OMB Inventory of Approved Burdens. The labor burden increase is the direct 

result of adding affirmative defense to this ICR renewal. The increase in cost burden, however, is 

due primarily to the use of updated labor rates. This ICR references labor rates from the Bureau 

of Labor Statistics to calculate the respondent cost burden.

6(g) Burden Statement

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

is estimated to average 12 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 
16

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-OECA-2013-0324. 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), WJC West, 

Room 3334, 1301 Constitution Ave., NW, Washington, DC. The EPA Docket Center Public 

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

holidays. The telephone number for the Reading Room is (202) 566-1744, and the telephone 

number for the docket center is (202) 566-1752. 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-2013-0324 and OMB Control Number 2060-0289 in any

correspondence. 

Part B of the Supporting Statement

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

information.
17

Table 1: Annual Respondent Burden and Cost – NESHAP for Marine Tank Vessel Loading Operations (40 CFR Part 63, 

Subpart Y) (Renewal)

Burden Item

A B C D E F G H

Technical 

person-hours 

per occurrence

No. of 

occurrences

per respondent 

per year

Technical 

person-hours 

per respondent 

per year (AxB)

Respondents 

per year a

Technical 

hours 

per year 

(CxD)

Management 

hours 

per year 

(Ex0.05)

Clerical 

hours 

per year 

(Ex0.10)

Total cost 

per year 

($) b

1. Applications N/A

2. Survey and studies N/A

3. Reporting requirements

A. Read instructions c1 1 1 38 38 1.9 3.8 4,274.61

B. Required activities

Performance test c, d 280 1 280 0 0 0 0 0.00

Repeat performance test d, e 280 1 280 0 0 0 0 0.00

Annual leak check f16 1 16 38 608 30.4 60.8 68,393.71

Annual vapor tightness 

check g, h, i

8 1 8 450 3,600 180 360 404,962.74

C. Create information See 3B

D. Gather existing information See 3E

E. Write report

Notification of construction/

reconstruction

2 1 2 0 0 0 0 0

Notification of anticipated

startup

2 1 2 0 0 0 0 0

Notification of actual startup 2 1 2 0 0 0 0 0

Initial notification of

applicability

4 1 4 0 0 0 0 0

Waiver application j2 1 2 0 0 0 0 0

Alternative test method/

monitoring application k

1 1 1 0 0 0 0 0

Site-specific test plan See 3B

Notification of initial 

compliance test date

2 1 2 0 0 0 0 0
18

Burden Item

A B C D E F G H

Technical 

person-hours 

per occurrence

No. of 

occurrences

per respondent 

per year

Technical 

person-hours 

per respondent 

per year (AxB)

Respondents 

per year a

Technical 

hours 

per year 

(CxD)

Management 

hours 

per year 

(Ex0.05)

Clerical 

hours 

per year 

(Ex0.10)

Total cost 

per year 

($) b

Notification of compliance status See 3B

Notification of changes in

information provided to

Administrator

1 1 1 0 0 0 0 0

Request for extension of

compliance

1 1 1 0 0 0 0 0

Extension of compliance

progress reports

1 1 1 0 0 0 0 0

Report of performance

test/evaluation results

1 1 1 0 0 0 0 0

Annual excess emissions and

monitoring exceedances and/or

summary report(s) l

32 1 32 38 1,216 60.8 121.6 136,787.41

Report of HAP control

efficiency m

8 1 8 38 304 15.2 30.4 34,196.85

Affirmative defense n30 1 30 0.67 12 8 0 2,198.95

Reporting Subtotal 6,651 650,814

4. Recordkeeping requirements

A. Read instructions 1 1 1 38 38 1.9 3.8 4,274.61

B. Plan activities N/A

C. Implement activities 16 1 16 0 0 0 0 0

D. Develop record system 16 1 16 0 0 0 0 0

E. Time to enter information o1 52 52 38 1,976 98.8 197.6 222,279.55

F. Time to train personnel N/A

G. Time to transmit or disclose 

information

1 1 1 38 38 1.9 3.8 4,274.61

H. Retain records of emissions 

estimates and actual throughput 

(facilities with HAP emissions 

less than 10 and 20 tons) p

1 1 1 766 766 38.3 76.6 86,167.07
19

Burden Item

A B C D E F G H

Technical 

person-hours 

per occurrence

No. of 

occurrences

per respondent 

per year

Technical 

person-hours 

per respondent 

per year (AxB)

Respondents 

per year a

Technical 

hours 

per year 

(CxD)

Management 

hours 

per year 

(Ex0.05)

Clerical 

hours 

per year 

(Ex0.10)

Total cost 

per year 

($) b

I. Time for audits N/A

Recordkeeping Subtotal 3,241 316,996

TOTAL ANNUAL BURDEN AND COST (ROUNDED) 9,892 967,810

N/A - Not Applicable

Assumptions:

a. We have assumed the average number of existing sources subject to the rule over the three-year period of this ICR will be 804. Of the 804 existing sources, 38 

are currently subject to the emissions standard. The remaining 766 sources are not subject to the emissions standards but are subject to some recordkeeping 

requirements.

b. This ICR uses the following labor rates: $101.22 for technical, $123.04 for managerial, and $51.18 for clerical labor. These rates are from the United States 

Department of Labor, Bureau of Labor Statistics, March 2013, “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.

c. We have assumed this is a one-time-only cost.

d. We have assumed it will take each respondent 280 hours to complete the performance test.

e. We have assumed 15 percent of respondents will repeat performance test due to failure.

f. We have assumed it will take each respondent 16 hours once per year to complete annual leak checks.

g. We have assumed that this burden applies to marine vessels owners, and not to the affected sources.

h. We have assumed it will take each respondent eight hours once per year to complete annual vapor tightness check.

i. This number is based on factors calculated for the original ICR in 1995. This ICR uses fleet factor and affected facility throughout and then divides it in half. 

We have assumed that half of the facilities load at negative pressure.

j. We have assumed five percent of respondents will request a waiver.

k. We have assumed one percent of respondents will request either alternative test or monitoring methods.

l. We have assumed it will take each respondent 32 hours once per year to complete the ongoing compliance status report.

m. We have assumed it will take each respondent 8 hours once per year to complete the HAP control efficiency report.

n. We have assumed there will be two affirmative defense reports for the entire industry over the three-year ICR period. We have assumed each affirmative 

defense will require 18 technical hours, 12 managerial hours, 0 clerical hours.

o. We have assumed it will take each respondent 1 hour to enter information 52 times per year.

p. Semiannual reports are required when there are excess emissions. We have assumed there will be no excess emissions; therefore, each respondent will submit 

one excess emissions and monitoring exceedances and/or summary report(s) once per year.
20

Table 2: Average Annual EPA Burden and Cost – NESHAP for Marine Tank Vessel Loading Operations (40 CFR Part 63, 

Subpart Y) (Renewal)

Burden Item

A B C D E F G H

Technical 

personhours per 

occurrence

No. of 

occurrences 

per 

respondent 

per year

Technical 

person-hours 

per respondent 

per year 

(AxB)

Respondents 

per year a

Technical 

hours per 

year 

(CxD)

Management 

hours per 

year 

(Ex0.05)

Clerical

hours 

per year 

(Ex0.10)

Total cost 

per year 

($) b

Initial performance test 40 1 40 0 0 0 0 0

Repeat performance test 40 1 40 0 0 0 0 0

Report Review

Notification of 

construction/reconstruction c

2 1 2 0 0 0 0 0

Notification of anticipated startup c2 1 2 0 0 0 0 0

Notification of actual startup c2 1 2 0 0 0 0 0

Initial notification of applicability 

report

2 1 2 0 0 0 0 0

Waiver application c, d 2 1 2 0 0 0 0 0

Review alternative test 

method/monitoring application c, e

1 1 1 0 0 0 0 0

Notification of initial compliance test 

date c

2 1 2 0 0 0 0 0

Notification of compliance status f2 1 2 0 0 0 0 0

Review of annual excess emissions and 

monitoring exceedances and/or summary 

report(s) g

8 1 8 38 304 15.2 30.4 15,754.65

Report of HAP control efficiency h8 1 8 38 304 15.2 30.4 15,754.65

TOTAL ANNUAL BURDEN AND 

COST (ROUNDED)

699 31,509

Assumptions:

a. We have assumed the average number of existing sources subject to the rule over the three-year period of this ICR will be 804. Of the 804 existing sources, 38 

are currently subject to the emissions standard. The remaining 766 sources are not subject to the emissions standards but are subject to some recordkeeping 

requirements.
21

b. This ICR uses the following labor rates: $46.21 for technical, $62.27 for managerial, and $25.01 for clerical labor. These rates are from the Office of Personnel 

Management (OPM) 2013 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.

c. We have assumed this is a one-time-only cost.

d. We have assumed 5 percent of respondents will request a waiver.

e. We have assumed 1 percent of respondents will request alternative test or monitoring methods.

f. We have assumed 2 hours will be required to review the compliance status report.

g. Semiannual reports are required when there are excess emissions. We have assumed there will be no excess emissions; therefore, each respondent will submit 

one excess emissions and monitoring exceedances and/or summary report(s) once per year.

h. We have assumed eight hours will be required to review the HAP control efficiency report.

Table 3: Single Affirmative Defense Burden Estimate

Personnel Number of 

Personnel

Time 

Requirement 

(hours)

Total 

Hours

Hourly Rate 

($/hr) Total

Technical 

Personnel 3 6 18 101.22 $ 1,822

Managerial 

Personnel 2 6 12 123.04 $ 1,476

Total 5 30 $3,298