INFORMATION COLLECTION REQUEST

SUPPORTING STATEMENT

EPA ICR No. 2411.01

OMB Control Number 2060-NEW

NEW SOURCE PERFORMANCE STANDARDS (NSPS) AND NATIONAL EMISSION 

STANDARDS FOR HAZARDOUS AIR POLLUTANTS (NESHAP FOR PETROLEUM 

REFINERY SECTOR) RESIDUAL RISK AND TECHNOLOGY REVIEW (RTR)

Sector Policies and Programs Division

U.S. Environmental Protection Agency

Research Triangle Park, North Carolina 27711

January 14, 2010
Part A of the Supporting Statement

1. Identification of the Information Collection

(a) Title of the Information Collection

“New Source Performance Standards (NSPS) and National Emission Standards for 

Hazardous Air Pollutants (NESHAP) for Petroleum Refinery Sector Residual Risk and 

Technology Review (RTR).” This is a new information collection request (EPA ICR Number 

2411.01 and OMB Control Number 2060-NEW).

(b) Short Characterization

This information collection is being conducted by EPA’s Office of Air and Radiation

(OAR) to assist the EPA Administrator, as required by sections 111(b), 112(d), and 112(f)(6) of 

the Clean Air Act (CAA), as amended, to reevaluate emission standards for this source category. 

The information will also be used to develop greenhouse gas regulations for petroleum refinery

sources under CAA sections 111(b) and 111(d). The non-confidential information from this 

information collection request (ICR) would also be made available to the public.

This is a one-time information collection. Currently, information necessary to identify

petroleum refineries is available from the Department of Energy’s (DOE) Energy Information 

Administration’s (EIA) Refinery Capacity Report, the Oil and Gas Journal, and EPA’s National 

Emissions Inventory. However, these sources of information do not contain all of the details 

(unit-specific operating capacity, emission source design, emissions collection and control 

systems, regulatory alternatives used, and emissions test data) necessary to completely

characterize petroleum refinery affected sources for purposes of NSPS and NESHAP regulatory

analyses. Although some of the needed information may be included in title V or State air 

emissions permits, many permits do not contain all of the detail needed and are not readily 

available from any single source. Furthermore, there are no readily available sources for 

previously conducted emissions test results (since the mid-1990s) that will provide data for 

emissions of the variety of pollutants under consideration.

EPA is soliciting this information with a survey, under the authority of CAA section 114, 

from all potentially affected units. The Agency intends to administer the survey in electronic

format. The survey will be sent to all petroleum refineries in the EIA 2009 Refinery Capacity

Report. The information collection will contain four components: (i) a questionnaire to be 
completed by all petroleum refineries; (ii) an emissions inventory to be developed by all 

petroleum refineries; (iii) distillation feed sampling and analysis to be conducted by all 

petroleum refineries; and (iv) emissions testing to be completed in accordance with an EPAapproved protocol for 96 petroleum refinery emissions sources at 81 different refineries. 

Component 1 (the questionnaire) will require the owner/operator of each petroleum refinery to 

complete a survey about their facility and process information, submit cost data, and provide 

copies of recent emissions test reports and CEMS/CMS data. Emissions sources to be tested 

according to Component 4 were selected to ensure that representative data are collected for 

emissions sources/pollutants for which EPA has little to no existing information or for which 

additional information is needed in order to reevaluate emission standards for this source 

category. The proposed list of the 96 petroleum refinery emissions sources selected for 

emissions testing is available in Part B of this document as well as the docket for this ICR 

(Docket ID No. EPA-HQ-OAR-2010-0682).

The Agency estimates the total cost to industry of the electronic information collection 

(gathering, entering, and performing quality assurance/quality control (QA/QC) checks of data 

submitted in response to the survey for 152 respondents and emissions testing for 81 

respondents) will be 69,000 hours and $31 million, which includes $912 in operation and 

maintenance (O&M) costs for postage for mailing hard copy test reports and confidential survey

responses to EPA. The average burden per respondent is 456 hours and $203,000.

The owner/operator of each petroleum refinery will be required to enter all data through 

the website data collection tool, enter these data using proper unit terminology, and to QA/QC

the data entered into the website. The owner/operator of each petroleum refinery will be 

required to keep records: i) documenting that distillation feed samples were obtained in 

accordance with an approved sampling protocol; ii) establishing proper chain of custody for each 

distillation feed sample; iii) describing the QA/QC procedures followed in preparing each 

distillation feed sample for analysis and performing the required analysis; and iv) setting forth 

the results of the analyses performed on each distillation feed sample. The owner/operator of 

each petroleum refinery emissions source required to conduct emissions testing will be required 

to keep records: i) documenting that each emissions test was conducted in accordance with an 

approved testing protocol; and ii) setting forth the results of each emissions test. 
All records required under the proposed information collection must be retained for 

3 years.

2. Need for and Use of the Collection

(a) Need/Authority for the Collection

Petroleum refineries are facilities engaged in refining and producing products made from 

crude oil or unfinished petroleum derivatives. This category includes petroleum refinery-specific 

process units, such as fluid catalytic cracking units and catalytic reforming units, as well as units 

and processes found at other manufacturing facilities, such as storage vessels and wastewater 

treatment plants. The federal emission standards that are the primary subject of this information 

collection include: 

-- National Emission Standards for Hazardous Air Pollutants from Petroleum 

Refineries (40 CFR part 63, subpart CC), and

-- National Emission Standards for Hazardous Air Pollutants for Petroleum Refineries: 

Catalytic Cracking Units, Catalytic Reforming Units, and Sulfur Recovery Units

(40 CFR part 63, subpart UUU).

-- Standards of Performance for Petroleum Refineries (40 CFR part 60, subpart J), 

-- Standards of Performance for Petroleum Refineries for Which Construction, 

Reconstruction, or Modification Commenced After May 14, 2007 (40 CFR part 60, 

subpart Ja), 

The NESHAP subpart CC (Refinery MACT 1) regulates hazardous air pollutant (HAP)

emissions from miscellaneous process vents, storage vessels, wastewater, equipment leaks, 

gasoline loading racks, marine tank vessel loading, and heat exchange systems at petroleum 

refineries. The NESHAP subpart UUU (Refinery MACT 2) regulates HAP from sulfur recovery

units and from catalyst regeneration in catalytic cracking units and catalytic reforming units. 

The NSPS subparts J and Ja regulate criteria pollutant emissions, including particulate matter 

(PM), sulfur dioxide (SO2), nitrogen oxides (NOX), and carbon monoxide (CO), from fluid 

catalytic cracking unit catalyst regenerators, fuel gas combustion devices, and sulfur recovery

plants. The NSPS subpart Ja also regulates criteria pollutant emissions from fluid coking units 

and delayed coking units. Standards for greenhouse gases (GHG) will also be developed as part 

of the NSPS. 

Section 112(f)(2) of the CAA directs EPA to conduct risk assessments on each source 

category subject to maximum achievable control technology (MACT) standards and determine if 

additional standards are needed to reduce residual risks. The CAA section 112(f)(2) residual risk 
review is to be done once, within 8 years of promulgation of the MACT standard. 

Section 112(d)(6) of the CAA requires EPA to review and revise the MACT standards, as 

necessary, taking into account developments in practices, processes, and control technologies. 

The CAA section 112(d)(6) technology review is to be done every 8 years. Refinery MACT 1 

was promulgated in 1995 and is due for review under CAA sections 112(f)(2) and 112(d)(6). 

Likewise, Refinery MACT 2 was promulgated in 2002 and is also due for review. Section 

111(b)(1)(B) of the CAA mandates that EPA review and, if appropriate, revise existing NSPS 

every 8 years. The NSPS for petroleum refineries (40 CFR part 60, subpart J) were promulgated 

in 1974, amended in 1976, and reviewed in 2008; as part of the 2008 review, EPA promulgated 

amendments to the existing standards of performance and developed separate standards of 

performance for new process units (40 CFR part 60, subpart Ja). However, the Agency received 

and granted a number of petitions for reconsideration related to those standards. In addition, the 

Agency entered into a settlement agreement with the States of New York, California, 

Connecticut, Delaware, Maine, New Hampshire, New Mexico, Oregon, Rhode Island, Vermont, 

and Washington, the Commonwealth of Massachusetts, the District of Columbia, and the City of 

New York (collectively “State Petitioners”) and the Natural Resources Defense Council 

(NRDC), Sierra Club, and Environmental Integrity Project (EIP) (collectively “Environmental 

Petitioners”). As part of that settlement, the Agency agreed to develop standards for GHG under 

CAA sections 111(b) and 111(d).

The data used as the basis for the originally promulgated Refinery MACT 1 are over 

15 years old, and the data used as the basis for the originally promulgated Refinery MACT 2 are 

over 10 years old. In addition, while efforts were made during the recent NSPS review process 

to update the NSPS data set developed in 1978, some data for some types of processes and 

technologies remains unavailable. The Agency is aware that significant changes have been made 

in the intervening years in the number of affected facilities, in industry ownership practices, and 

in emissions collection and control configurations. The Agency has not previously collected data 

for the purposes of developing regulations for GHG. In light of the statutory requirements for 

reviewing and developing emission standards under CAA sections 111(b), 111(d), 112(f)(2), and 

112(d)(6), EPA has concluded that obtaining updated information will be crucial to informing its 

decisions on the NSPS review and the NESHAP risk and technology review (RTR) for 

petroleum refineries.
The Agency has already begun assembling data for a preliminary residual risk assessment 

for the petroleum refinery NESHAP. A data set derived from the EPA’s 2005 National Scale Air 

Toxics Assessment (NATA) National Emissions Inventory (NEI) and supplemented with data 

supplied by about 20 individual refineries were used for a previous residual risk assessment for 

Refinery MACT 1. However, there remain a number of petroleum refineries for which 

substantial updates of emissions release points and emissions estimates are important in order for 

EPA to accurately consider residual risk for the petroleum refinery NESHAP. In addition, there 

are some petroleum refineries for which no Refinery MACT 1 and/or Refinery MACT 2 data are 

currently available in the NEI.

Preliminary risk analysis results for the petroleum refinery sector (based on the 2005

NATA NEI data sets) indicate that some refineries are projected to present risk above the 

thresholds for further consideration under the residual risk process. However, inconsistency in 

reporting methodologies makes it difficult to draw proper conclusions when different emissions 

estimates and performance levels are identified. Additional refinery-specific information would 

allow EPA to better characterize emissions sources, to refine the risk analysis, and to address any 

residual risk to ensure the public is protected with an ample margin of safety. An update of the 

2005 NATA NEI data sets and more specific information needed for rulemaking regulatory

analyses would be derived from the ICR. Information collected directly from petroleum 

refineries will have the greatest practical utility for purposes of performing the NSPS review and 

RTR, as information from the affected industry will contain the most up-to-date, accurate, and 

reliable equipment and operational data for each refinery. The Agency is also providing a 

protocol document to provide guidance to the industry when estimating emissions that are not 

directly monitored. This will ensure that the data collected are consistent and will allow direct 

comparisons and minimize uncertainty caused by different estimation techniques. The ICR will 

request that new information be supplied for a 2010 base year, and therefore, will not suffer from 

the considerable “lag time” that can be associated with different inventory and permit review 

cycles (e.g., where the currently available inventory does not yet reflect recent changes in control 

devices).1

 

1 There is a “lag time” associated with compiling large State or national emission inventories. For example, an 

updated version of the NEI database is compiled every three years, but the information contained in the NEI may be 

based on prior years if states do not submit current data. There can also be a “lag time” associated with posting of 

recent permits to State websites (particularly if permits are only posted every 5 years as they are reviewed). 
CAA section 114(a) states that the Administrator may require any owner or operator 

subject to any requirement of the 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.

(b) Use/Users of the Data

As mentioned previously, the data used for the originally promulgated NSPS and 

NESHAP are outdated and do not reflect the significant changes in emissions collection and 

control configurations that have occurred since promulgation of the standards. The MACT 

standards contain a number of compliance alternatives that allow for a variety of control devices 

and process changes to be used to meet the emission standards. At present, EPA does not have a 

full database reflecting the post-MACT configurations of petroleum refinery emission units and 

air pollution control systems and techniques. It is essential for EPA to have updated information 

to use in the regulatory analyses required under CAA sections 112(d) and 112(f)(2). In addition, 

this updated information will be used to complete the final steps in the NSPS review required 

under CAA section 111(b) and to develop GHG standards under CAA sections 111(b) and 

111(d). By conducting all of the CAA-required reviews (i.e., conducting the subpart CC and 

UUU RTR reviews and completing the subpart J NSPS review) at the same time as the 

development of standards for GHG, EPA can make use of a single collection of information to 

consider control strategies that are the most effective for both HAP, which are regulated under 

section 112, criteria air pollutants (such as PM, SO2, and NOX), which are regulated under 

section 111, and GHG. The data would also allow EPA to evaluate compliance options for 

startup and shutdown periods and to consider ways to consolidate monitoring, reporting, and 

recordkeeping requirements among the different rules under review. The data may also help 

EPA conduct reviews of other rules specific to petroleum refineries, including Standards of

Performance for Equipment Leaks of VOC in Petroleum Refineries (40 CFR part 60, subpart 

GGG), Standards of Performance for VOC Emissions from Petroleum Refinery Wastewater
Systems (40 CFR part 60, subpart QQQ), and National Emission Standard for Benzene Waste 

Operations (40 CFR part 61, subpart FF).

The data collected will be used to update and augment facility and emissions source 

information already available to the Agency, develop new estimates of the population of affected 

units, and identify the control measures and alternative emission limits being used for 

compliance with the existing rules that are under review. This information, along with existing 

emission limits, will be used to establish the baseline emissions and control levels for purposes 

of the regulatory reviews. The emissions test data (test reports, continuous emissions monitoring 

systems (CEMS) data, and continuous monitoring systems (CMS) data) collected will be used to 

assess the effectiveness of existing control measures, examine variability in emissions, evaluate 

the stringency of existing emission limits, identify the most effective control measures 

considered for purposes of reducing residual risk, and provide a basis for estimating nationwide 

emissions from emissions sources for which EPA has little information. Emissions data will also 

be used, along with process and emission unit details, to consider options for best demonstrated 

technology (BDT) under the NSPS review, to consider subcategories for further regulation, and 

to estimate the environmental and cost impacts associated with any regulatory options 

considered. 

In addition to informing the CAA-required NSPS and RTR regulatory analyses for the 

petroleum refinery sector, it is EPA’s intent to include the information supplied through this 

information collection in future versions of the NEI and its successor, the Emissions Inventory

System (EIS). Including this information in the NEI is one method of making the data available 

to the States and the public. More information about the NEI can be found at 

http://www.epa.gov/air/data/neidb.html.

The non-confidential information collected through this ICR would also be available to 

the public, including petroleum refinery industry trade groups that may find the information 

useful for their ongoing data gathering, analyses, and publications. In addition, such trade 

groups may wish to use the data collected to review and verify EPA’s regulatory conclusions. 

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

(a) Non-duplication 

The Agency recognizes that some of the information requested in the information 

collection effort may already be included in the submittals made by individual companies, 
pursuant to State and national emissions inventories, operating permits applications, initial 

notification forms, and compliance reports. However, the complete extent of the data fields 

requested under this survey is not available in any consistent or usable format. Additionally, 

these sources do not provide detailed emissions test data. As mentioned previously, there is a lag 

time associated with State and national emissions inventories, and permit review cycles. There is 

also a lag time associated with obtaining emissions test reports from State agencies (i.e., agencies 

may be reluctant to release emissions test results they have not yet processed). The Agency’s 

proposed information collection seeks up-to-date operational and control technique data for the 

2010 operating year, and thus avoids the effects of any such lag time on data availability. 

Although some State permits are provided to the public as searchable portable document format 

files (pdfs), many States do not provide electronic versions of their issued title V permits. Even 

when the permit is available, the unit-specific operating data are often not contained within the 

permit. Some of the initial notifications, compliance reports, and emissions test reports

submitted are available in hard-copy only, whereas only the facility-level information (facility

name, location, contact) is available in an electronic format. Such variation in the level of detail 

of permits, notifications, and reports means that it would be extremely time-consuming for EPA

to extract the level of process detail needed for regulatory analyses from existing documents 

(assuming that these documents were readily available to EPA), and that significant data gaps 

would remain even after data from existing documents were compiled.

To summarize, the information requested relevant to the current (post-MACT) emissions 

source operation, regulatory alternatives, emissions data, and the effectiveness of various control 

systems at removing HAP is not readily available from other sources. In the absence of an 

industry data collection, EPA would be forced to try to obtain permits, compliance reports, and 

emissions test reports from States; extract information from these reports (which vary in detail

and method of reporting); and then attempt to fill data gaps where information is not available 

from the reports obtained. This process of acquiring and extracting data from existing reports 

would require more time than an industry data collection, and ultimately would be expected to 

yield incomplete and inconsistent information. The robust and uniform information being 

collected directly from petroleum refineries would provide the most timely and complete data set 

with the greatest practical utility for purposes of performing the NSPS review, RTR, and GHG 
standards development that are due to be completed under CAA sections 111(b), 111(d), 112(d), 

and (f)(2).

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

This ICR is being submitted to the Office of Management and Budget (OMB) as required 

by the Paperwork Reduction Act of 1995 (PRA) and the subsequent rule issued by the OMB on 

August 29, 1995 (60 FR 44978). The Agency previously submitted the draft ICR for public 

review, and the ICR being submitted to the OMB includes revisions to address the public 

comments received during that review period.

(c) Consultations

Initial feedback was received from the affected industry regarding the procedures for 

developing their RTR emissions inventory, and their comments have been considered. In 

addition, as noted previously, the public was given an opportunity to provide detailed comments

on the draft ICR, and EPA has considered and addressed those comments.

(d) Effects of Less Frequent Collection

This ICR will require the owner/operator of each petroleum refinery to provide a full 

emissions inventory to be used for regulatory purposes under CAA sections 111 and 112. In 

addition, refineries will be asked to complete an electronic survey of general facility information

(production processes and capacities), equipment details, permit limits, emission control 

measures, and emissions test data (for previously conducted tests). Some refineries will be asked 

to complete emissions testing on a specific emissions source. The Agency expects the 

information requested in this survey to be a one-time effort.

(e) General Guidelines

This ICR will adhere to the guidelines for Federal data requestors, as provided at 

5 CFR 1320.6.

(f) Confidentiality

Respondents will be required to respond under the authority of CAA section 114. If a 

respondent believes that disclosure of certain information requested would compromise a trade 

secret, it should be clearly identified as such and will be treated as confidential until and unless it 

is determined in accordance with established EPA procedure as set forth in 40 CFR Part 2 not to 

be entitled to confidential treatment. All information submitted to the Agency for which a claim 
of confidentiality is made will be safeguarded according to the Agency policies set forth in 

40 CFR Part 2, Subpart B, entitled “Confidentiality of Business Information.” Any information 

subsequently determined to constitute a trade secret will be protected under 18 U.S.C. 1905. If 

no claim of confidentiality accompanies the information when it is received by EPA, it may be 

made available to the public without further notice (40 CFR 2.203). Because CAA 

section 114(c) exempts emissions data from claims of confidentiality, the emissions data 

provided may be made available to the public. Therefore, emissions data should not be marked 

confidential. A definition of what EPA considers emissions data is provided in 40 CFR 

2.301(a)(2)(i).

(g) Sensitive questions

This section is not applicable because this ICR will not involve matters of a sensitive 

nature.

4. The Respondents and the Information Requested

(a) Respondents/NAICS Codes.

Respondents affected by this action are owners/operators of petroleum refineries, all of 

which are expected to have the potential to be subject to one of the regulatory standards being 

reviewed or developed by EPA. Based on the Energy Information Administration’s Refinery 

Capacity Report 2009, there are 152 operable petroleum refineries in the United States (U.S.) 

and the U.S. territories. Petroleum refineries are located in 35 States, as well as Puerto Rico and 

the U.S. Virgin Islands. The North American Industry Classification System (NAICS) code for 

respondents affected by the information collection is 32411.

(b) Information Collected 

(i) Data Items. The proposed data-gathering effort has four components: i) a 

questionnaire to be completed by all 152 petroleum refineries; (ii) an emissions inventory to be 

developed by all petroleum refineries; (iii) distillation feed sampling and analysis to be 

conducted by all petroleum refineries; and (iv) emissions testing to be completed in accordance 

with an EPA-approved protocol for 96 selected emissions sources. The following paragraphs 

provide additional details about the components of the survey and the testing requirements 

contained in those components.
Component 1 will require the owner/operator of each petroleum refinery to complete a

survey about their facility and process information, submit cost data, and provide copies of 

recent emissions test reports and CEMS/CMS data. The survey will be administered 

electronically; a hard copy is provided in Docket ID No. EPA-HQ-OAR-2010-0682 at this time 

solely for the purposes of soliciting comments. Some questions about particular emissions 

sources will not be applicable to petroleum refineries that do not have those types of sources. 

The survey will require each facility to provide information to EPA by May 31, 2011.

Component 2 will require the owner/operator of each petroleum refinery to develop and 

provide a facility-wide emissions inventory in accordance with the Emission Estimation Protocol 

for Petroleum Refineries (Refinery Emissions Protocol), which is available in the Docket ID No.

EPA-HQ-OAR-2010-0682. The information will be collected electronically; a hard copy is 

provided in the docket at this time solely for the purposes of soliciting comments. Each facility

will be required to provide information to EPA by June 30, 2011.

Component 3 will require the owner/operator of each petroleum refinery to conduct 

distillation feed sampling and analysis three times, each time approximately 30 days from the 

last. The results of these analyses will be collected electronically; a hard copy of the instructions 

and response template is provided in Docket ID No. EPA-HQ-OAR-2010-0682 at this time 

solely for the purposes of soliciting comments. Each facility will be required to provide 

information to EPA by August 31, 2011.

Component 4 provides instructions and guidance for emissions testing for those 

petroleum refinery emissions sources that are selected to complete emissions testing. This 

testing will be done on one occasion. The results of each series of tests and analyses will be 

required to be reported to EPA by using a specified standardized electronic format by August 31, 

2011. Specified QA/QC procedures will be required for each part of the emissions data 

collection effort. For this effort, EPA believes it is highly advisable for each emissions source

subject to emissions testing under Component 4 of the ICR to devise a quality assurance test plan 

that is specific to each facility. Such a plan could include the project elements as enumerated in 

chapter 3 of the EPA quality assurance document. The existence of such a plan would provide a 

means to verify that the quality assurance protocols as contained in the various test methods are 

met. Note, however, that these quality assurance test plans will not be reviewed or approved by 

EPA.
Although a large amount of information is needed for regulatory reviews under sections 

111 and 112 of the CAA, EPA has designed the information collection in a way to minimize the 

burden associated with supplying and processing this information. The survey will collect 

information to supply multiple regulatory actions in order to minimize the burden associated 

with multiple collections. A table containing only the relevant and current source classification 

codes (SCC) will be provided to ensure that valid codes are used and to reduce respondent time 

associated with locating codes on the NEI website. The electronic survey files will be provided 

to refineries through a website, and respondents can use that same website to upload their nonconfidential survey responses. The electronic format will allow EPA to import the responses 

into database software, eliminating the time required for EPA to key-enter data. The burden 

associated with collection of emissions test data has been reduced in several ways: 

(1) Respondents are required to submit existing emissions test reports in order for EPA 

(or EPA contractor personnel) familiar with extracting test data from test reports to 

enter the data in a manner that ensures consistent and reliable treatment of the data 

(e.g., with respect to data averaging and non-detects).

(2) Respondents may provide electronic or hard copy versions of existing emissions test 

reports, whichever they find to be less burdensome.

(3) Not all refineries will be required to conduct new emissions testing, and EPA has

spread the required testing over as many refineries as possible to minimize the 

burden to any one refinery.

Finally, EPA has minimized the collection of control measure cost information by

focusing the collection of cost information on air pollution controls and process changes of 

particular interest for purposes of the NSPS review or RTR. The Agency expects cost 

information obtained from the industry to be some of the most reliable and valid information 

available since the cost data would be specific to petroleum refinery applications. In addition, 

collection of cost information from the industry (as opposed to a separate collection from other 

sources such as vendors) would accelerate EPA’s ability to analyze the cost impacts of 

regulatory options.

(ii) Respondent Activities. The activities a respondent must undertake to fulfill the 

requirements of the information collection are presented in Attachment 1. These include: i) read 

instructions; ii) provide information on each affected source through electronic survey; iii) 

submit hard or electronic copies of previous emissions test reports and available CEMS or CMS 

data; and iv) conduct distillation feed sampling and analysis. If one of the refinery’s emissions 
sources was selected for emissions testing, the respondent must additionally: i) review the 

emissions testing plan and procure a testing contractor; ii) monitor/supervise emissions testing; 

iii) review emissions sampling data for accuracy and completeness; and iv) submit emissions 

sampling data and test reports.

5. The Information Collected – Agency Activities, Collection Methodology, and 

Information Management

(a) Agency Activities

A list of activities required of the Agency is provided in Attachment 2. These include: i) 

develop electronic questionnaire and packages for mailout; ii) determine which emissions 

sources will be required to complete emissions testing; iii) develop and deploy a website for data 

entry from facilities; iv) answer respondent questions; v) review and analyze responses and 

emissions data; vi) analyze requests for confidentiality; vii) review emissions test data for 

accuracy and completeness; and viii) analyze emissions test data.

(b) Collection Methodology and Management

In collecting and analyzing the information associated with this ICR, EPA will use 

personal computers and applicable spreadsheet and database software. To better facilitate 

uniformity in the format of the requested data, and, thus, increase the ease of database entry, 

standardized survey questions and electronic forms will be distributed to respondents. The 

Agency will ensure the accuracy and completeness of the collected information by reviewing 

each submittal. The Agency may place follow-up calls to refineries should questions remain 

after reviewing all materials submitted. Following QA/QC of each submittal, the information 

from each refinery will be uploaded into a database for further analysis. Survey responses 

claimed as confidential business information (CBI) will be housed in a separate database from 

the non-CBI survey responses. In addition, a copy of the emissions inventories submitted will be 

routed for inclusion in EPA’s residual risk input database, and it is EPA’s intent for this 

information to be included in future versions of the NEI and its successor, the EIS. Existing 

emissions test report data will be entered into a database by EPA (or EPA contractor personnel) 

familiar with extracting test data from test reports. In addition, CEMS data would be uploaded in 

a database for analysis of emissions variability. Petroleum refineries asked to complete 

emissions testing will be instructed to provide their results through the Electronic Reporting Tool 
(ERT), and EPA will review those responses. The resulting databases will be checked for 

QA/QC prior to and as part of regulatory analyses.

(c) Small Entity Flexibility

The Agency expects that a small percentage of the respondents may be small entities. 

These small entities are likely to have simpler refining operations and fewer petroleum refining 

processes, so they would likely have fewer portions of the survey to complete. The Agency also 

plans to use an electronic format of the questionnaire in order to reduce the burden and improve 

the data accuracy from all respondents, including small entities. In addition, the survey will 

contain a question to determine the small entity status of a facility. This question will help to 

identify, quantify, and consider ways to minimize the burden on small entities during the 

NESHAP and NSPS review and rulemaking processes.

(d) Collection Schedule

The Agency anticipates issuing the CAA section 114 letters in the first quarter of 2011. 

These CAA section 114 letters would require the owner/operator of each petroleum refinery to 

complete the petroleum refinery sector survey (including submitting cost data and providing 

copies of recent emissions test reports and CEMS/CMS data) within 90 days of receipt of the 

survey. The CAA section 114 letters would require the owner/operator of each petroleum 

refinery to provide an updated emissions inventory within 120 days of receipt of the survey. The 

CAA section 114 letters would require the owner/operator of each petroleum refinery to conduct 

distillation feed sampling and analysis within 6 months of receipt of the survey. The Agency

will compile and analyze survey response data. 

The owner/operator of each of the refinery emissions sources selected to conduct 

emissions testing will, in the same letter, be required to: i) submit to EPA a schedule for 

completing the required emissions testing, along with any request to use a test method not 

supplied in the EPA-approved protocol; ii) commence emissions testing by the date specified in 

the EPA-approved facility-specific schedule; and iii) complete emissions testing within 6 months 

of receipt of the CAA section 114 letter. The Agency will compile and analyze emissions testing

data upon receipt.
6. Estimating the Burden and Cost of the Collection

(a) Estimating Respondent Burden and Costs

Attachment 1 presents estimated costs for the required data collection activities. Labor 

rates and associated costs are based on Bureau of Labor Statistics (BLS) data. Technical, 

management, and clerical average hourly rates for private industry workers were taken from the 

United States Department of Labor, Bureau of Labor Statistics, September 2010, “Table 2. 

Civilian Workers, by occupational and industry group,” available at 

http://www.bls.gov/news.release/ecec.t02.htm. Total compensation for three occupational 

groups are used as the basis for the labor rates as shown below:

Labor type Occupational group

Total compensation

($ per hour worked)

Technical Professional and related 46.82

Managerial Management, business, and financial 55.46

Clerical Office and administrative support 23.41

These rates represent salaries plus fringe benefits but do not include the cost of overhead. An 

overhead rate of 110 percent is used to account for these costs. The fully-burdened hourly wage 

rates used to represent respondent labor costs are: technical at $98.32, management at $116.47, 

and clerical at $49.16. These estimates represent the one-time burden that will be incurred by the 

respondents.

(b) Estimating Agency Burden and Costs

The costs the Federal Government would incur are presented in Attachment 2. The 

Agency labor rates are from the Office of Personnel Management (OPM) 2011 General Schedule 

which excludes locality rates of pay. These rates can be obtained from Salary Table 2011-GS,

available on the OPM website at http://www.opm.gov/oca/11tables/html/gs_h.asp. The

government employee labor rates used in this analysis are shown below:

Labor type Grade Step

Hourly rate

($ per hour worked)

Technical 13 1 34.34

Managerial 15 1 47.74

Clerical 7 1 16.28
These rates were increased by 60 percent to include fringe benefits and overhead. The fullyburdened wage rates used to represent Agency labor costs are: clerical at $26.05, technical at 

$54.94, and managerial at $76.38.

(c) Estimating the Respondent Universe and Total Burden and Costs

The potential respondent universe consists of an estimated 152 petroleum refineries. All

152 of these refineries will be required to complete the first three components of the ICR (i.e., 

the survey, submittal of existing test reports, emissions inventory, and distillation feed sampling). 

The fourth component (i.e., the required emissions testing) will have 81 respondents.

(d) Bottom Line Burden Hours and Costs Tables

(i) Respondent tally. The bottom line industry burden hours and costs, presented in 

Attachment 1, are calculated by summing the person-hours column and by summing the cost 

column. The total burden and cost to the industry for 152 respondents is 69,000 hours and 

$31 million. No capital or annualized costs are applicable because this is a one-time submittal. 

The O&M costs of $912 are estimated for postage to mail hard copy test reports and confidential

survey responses to EPA.

(ii) Agency tally. The bottom line Agency burden and cost, presented in 

Attachment 2 is calculated in the same manner as the industry burden and cost. The estimated 

burden and cost for 152 respondents is 21,600 hours and $1.2 million, which includes $3,500 in 

O&M costs to send certified CAA section 114 letters to all respondents with electronic return 

receipt, printing costs for the CAA section 114 letters and enclosures, costs to maintain a website 

to provide electronic copies of the questionnaire, and computer storage of data received.

(iii) The complex collection. This ICR is a simple collection; therefore, this section 

does not apply.

(iv) Variations in the annual bottom line. This section does not apply as this is a onetime collection.

(e) Reasons for Change in Burden

This is the initial estimation of burden for this information collection; therefore, this 

section does not apply. 
(f) Burden Statement

The total cost burden for the petroleum refineries data gathering effort is estimated to be 

69,000 hours and $31 million (456 hours and $203,000 per respondent for 152 respondents). 

The O&M costs of $912 ($6 per respondent) are estimated for postage to mail hard copy test 

reports and confidential survey responses to EPA. 

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 currently valid OMB control number. The OMB control numbers for EPA’s 

regulations are listed in 40 CFR part 9 and 48 CFR chapter 15.

To comment on EPA’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 docket for this ICR under Docket ID No.

EPA-HQ-OAR-2010-0682, which is available for online viewing at www.regulations.gov, or in 

hard copy at EPA Docket, EPA/DC, EPA West, Room 3334, 1301 Constitution Ave., NW, 

Washington, DC. The EPA/DC Public Reading Room is open from 8:30 a.m. to 4:30 p.m., 

Monday through Friday, excluding legal holidays. The telephone number for the Reading Room 

is 202-566-1744, and the telephone number for the Air and Radiation Docket Center is 

202-566-1742.

An electronic version of the public docket is available at www.regulations.gov. This site 

can be used to submit or view public comments, access the index listing of the contents of the 

public 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 above. 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 Office for EPA. Please include EPA Docket ID No. EPA-HQ-OAR-2010-0682

and OMB Control Number 2060-NEW in any correspondence.
List of Attachments

1. Industry Burden and Costs for Responding to the Questionnaire

2. Agency Burden and Costs
1-1

Attachment 1. Industry Burden and Costs for Responding to the Questionnaire

Respondent Activity (A) Hours 

per 

Occurrence

(B) 

Occurrences/ 

Respondent/

Year

(C) Hours/ 

Respondent/ 

Year (A x B)

(D) 

Respondents/ 

Year1

(E) 

Technical 

Hours/Year 

(C x D)

(F) 

Managerial 

Hours/Year 

(E x 0.05)

(G) Clerical 

Hours/Year 

(E x 0.10) (H) Cost/ Year

1. APPLICATIONS (Not Applicable)

2. SURVEY AND STUDIES (Not Applicable)

3. ACQUISITION, INSTALLATION, AND UTILIZATION OF TECHNOLOGY 

AND SYSTEMS (Not Applicable)

4. REPORT REQUIREMENTS

A. Read Instructions 12 1 12 152 1,824 91 182 $198,925

B. Required Activities

a. Component 1: Complete and submit survey

Part I: General Facility Information 6 1 6 152 912 46 91 $99,462

Part II: Process and Emissions Information

Section 1. Energy Management 3 1 3 152 456 23 46 $49,731

Section 2. Process Heater Data 4 1 4 152 608 30 61 $66,308

Section 3. Equipment Leaks 5 1 5 152 760 38 76 $82,885

Section 4. Storage Tanks 5 1 5 152 760 38 76 $82,885

Section 5. Catalytic Cracking Unit 3 1 3 101 303 15 30 $33,045

Section 6. Fluid Coking Unit 3 1 3 5 15 1 2 $1,636

Section 7. Delayed Coking Unit 3 1 3 58 174 9 17 $18,976

Section 8. Catalytic Reforming Unit 3 1 3 116 348 17 35 $37,953

Section 9. Sulfur Recovery Unit 3 1 3 111 333 17 33 $36,317

Section 10. Hydrogen Plant Vent 3 1 3 54 162 8 16 $17,668

Section 11. Other Atmospheric Vents 4 1 4 152 608 30 61 $66,308

Section 12. Flares 4 1 4 152 608 30 61 $66,308

Section 13. Fuel Gas Systems 3 1 3 152 456 23 46 $49,731

Section 14. Cooling Water Systems 3 1 3 152 456 23 46 $49,731

Section 15. Wastewater Collection and Treatment 5 1 5 152 760 38 76 $82,885

Section 16. Loading Operations 3 1 3 152 456 23 46 $49,731

Section 17. Solid Waste Management 3 1 3 50 150 8 15 $16,359

Part III: National Response Center Notifications 2 1 2 152 304 15 30 $33,154

Part IV: Complete and submit cost forms220 1 20 114 2,280 114 228 $248,656

Part V: Emissions Monitoring and Source Test Data

Gather/scan/copy existing test reports3,4 1.5 2 3 60.8 182 9 18 $19,892

Fill out Source Test Summary Table (Attachment 1)

3

1 2 2 60.8 122 6 12 $13,262

Submit existing reports3,5 1 2 2 60.8 122 6 12 $13,262

Fill out CEMS data (Attachment 2)

6

2 9 18 136.8 2,462 123 246 $268,548

Subtotal for Component 1 $1,703,618

b. Component 2: Emissions Inventory Data (Part VI) 200 1 200 152 30,400 1,520 3,040 $3,315,409

Subtotal for Component 2 $3,315,409

c. Component 3: Distillation Feed Analysis (Part VII)74 152 $9,728,000

Subtotal for Component 3 $9,728,409
1-2

Respondent Activity (A) Hours 

per 

Occurrence

(B) 

Occurrences/ 

Respondent/

Year

(C) Hours/ 

Respondent/ 

Year (A x B)

(D) 

Respondents/ 

Year1

(E) 

Technical 

Hours/Year 

(C x D)

(F) 

Managerial 

Hours/Year 

(E x 0.05)

(G) Clerical 

Hours/Year 

(E x 0.10) (H) Cost/ Year

d. Component 4: Emissions Testing and Analysis (Part VIII)

8

Read Test Plan provided by EPA for testing 0.7 1 0.7 81 57 3 6 $6,184

Procure contractor to perform testing 20 1 20 237 4,740 237 474 $516,942

Plant personnel for testing oversight 16 2 32 237 7,584 379 758 $827,107

Review the test report data 5 1 5 237 1,185 59 119 $129,236

Submit stack test results through the ERT 2 1 2 237 474 24 47 $51,694

QA/QC entered data on website 1 1 1 237 237 12 24 $25,847

Emissions tests

Organic compounds (group “a” stack tests for CRU) 12 $1,560,000

Organic compounds (group “a” stack tests for other units) 45 $4,626,000

Dioxin/furan HAP (group “b” stack tests) 39 $1,482,000

Acid gases and reduced sulfur (group “c” stack tests) 8 $363,200

Mercury and metallic HAP (including Cr+6 and ammonia) (group “d” stack tests 

for FCCU, FCU) 13 $1,376,440

Mercury and metallic HAP (group “d” stack tests for other cracking, other 

coking, and reforming units) 26 $2,076,880

Acid gases (group “e” stack tests) 31 $880,400

Reduced sulfur (group “f” stack tests) 12 $388,800

NOX and SO2 (group “e” stack tests) 12 $374,400

Organic compounds, reduced sulfur, and other parameters in refinery fuel gas 21 $777,000

Analysis via Texas El Paso stripping columns 12 $372,000

Wastewater treatment systems 6 $342,000

Subtotal for Component 4 $16,176,130

C. Create Information (Included in 4B)

D. Gather Existing Information (Included in 4B)

E. Write Report (Not Applicable)

5. RECORDKEEPING REQUIREMENTS (Included in 4B)

TOTAL ANNUAL LABOR BURDEN AND COST

60,298 3,015 6,030 $30,923,157

total hours = 69,342 avg. hr/ 

refinery = 456 avg. cost/ respondent = $203,442

ANNUAL CAPITAL COSTS (Not Applicable) $ -

ANNUALIZED CAPITAL COSTS (Not Applicable) $ -

TOTAL ANNUAL COSTS (O&M)9$912

TOTAL ANNUALIZED COSTS (Annualized capital + O&M costs) $912

TOTAL LABOR AND O&M COSTS $30,924,069

1 The number of respondents per year is based on the counts listed in Part B, Section 1 - Respondent Universe. 

2 Assumes that 75% of refineries will provide cost information.

3

It is estimated that 40% of refineries will submit two previous reports.

4

It is estimated that it would take 1.5 hours to locate and scan or copy each test report.
1-3

5 Existing reports include source tests, qualified CEMS data, biological treatment units data, and ambient or remote sensing data.

6 Assumes 90% of refineries will fill out nine CEMS/CMS forms.

7 Average number of samples per refinery assuming that 50 refineries will have two distillation columns from which they must sample and test three times (for a total of six samples) and the other 102 refineries will have one 

distillation column from which they must sample and test sample three times ((102×3 + 50×6) / 152 refineries = 4 tests per refinery).

8

Some units will be tested for more than one group of pollutants. Number of respondents based on 237 groups of tests on 96 total emissions sources at 81 different refineries.

9

Postage Costs for mailing survey responses to EPA are estimated at $6 for Federal Express letter size envelope flat rate (1 per respondent).
2-4

Attachment 2. Agency Burden and Costs

Agency Activity

(A) EPA 

Hours/ 

Occurrenc

e

(B)

Occurrences/ 

Respondent/Yea

r

(C) EPA 

Hours/Responden

t/ Year (A x B)

(D) 

Respondents/Yea

r

1

(E) EPA 

Technica

l Hours/ 

Year (C 

x D)

(F) EPA 

Manageria

l 

Hours/Yea

r 

(E x 0.05)

(G) EPA 

Clerical 

Hours/Yea

r (E x 0.10)

(H) Cost, 

$

Develop/revise 

questionnaire 

spreadsheets and 

instructions2400 1 400 1 400 20 40 $24,547

Develop survey website 10 1 10 1 10 1 1 $614

Mail out questionnaire31 1 1 152 152 8 15 $9,328

Answer respondent 

questions via phone, 

email, and/or frequently 

asked questions posted 

on website41 1 1 38 38 2 4 $2,332

Handle and review 

responses for 

confidentiality51 1 1 152 152 8 15 $9,328

Review and analyze 

responses (including 

follow-up)

Survey 12 1 12 152 1,824 91 182 $111,935

CEMS/CMS data68 9 72 136.8 9,850 492 985 $604,450

Cost data78 1 8 114 912 46 91 $55,968

Emissions inventory 

data 20 1 20 152 3,040 152 304 $186,559

Review/analyze/inp

ut existing 

emissions test data87 2 14 60.8 851 43 85 $52,236

Review/analyze 

electronically submitted 

emissions test data98 2.5 19.8 81 1,600 80 160 $98,173

Total Annual Hours 18,829 941 1,883

$1,155,47

0

21,653 hours

Expenses (O&M)11

Printing letter and 

enclosures $532

Postage $912

Computer storage of 

data & website usage $2,042

Total Expenses $3,486

TOTAL ANNUAL 

LABOR BURDEN 

AND COST

$1,158,95

7

1 The number of respondents per year is based on the refinery counts listed in Part B, Section 1 - Respondent Universe. 

2

Includes determining which emissions sources will be required to complete emissions testing.

3 Mailout package includes section 114 letter with standard enclosures and hard copy of survey instructions. Assumes EPA will mail one 

questionnaire per facility.

4 Assumes that 25% of the facilities will have questions.

5 Assumes that all facilities will have confidential data.

7 Assumes 90% of refineries will populate nine CEMS spreadsheet forms with CEMS and/or CMS data.

8 Assumes that 75% of refineries will provide cost information. 

9 Assumes that 40% of refineries will submit two previous reports. 

10 Based on 237 total groups of tests on 96 total emissions sources at 81 different refineries (237 tests/96 emissions sources = 2.5 tests per 

emissions source, 81 refineries).
2-5

11 Copy costs are estimated for 70 pages at $0.05/page. Postage Costs are estimated at $6 for Federal Express letter size envelope flat rate. Data 

storage estimated at $21/GB/mo, assuming 25 MB per response. Website cost estimated at $85/mo for 6 months.