SUPPORTING STATEMENT

ENVIRONMENTAL PROTECTION AGENCY

NESHAP for Petroleum Refineries (40 CFR Part 63, Subpart CC) (Renewal)

1. Identification of the Information Collection

1(a) Title of the Information Collection

NESHAP for Petroleum Refineries (40 CFR Part 63, Subpart CC) (Renewal),

EPA ICR Numbers 1692.07, OMB Control Number 2060-0340 

1(b) Short Characterization/Abstract

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

Refineries (40 CFR part 63, subpart CC) were proposed on July 15, 1994, promulgated on 

August 18, 1995, and most recently amended on October 28, 2009. These regulations apply to 

the following existing and new petroleum refining process units and emission points located at 

refineries that are major sources of hazardous air pollutants (HAP) emissions, including: 

miscellaneous process vents, storage vessels, wastewater streams, equipment leaks, gasoline 

loading racks, and marine vessel loading operations. Provisions was also added for the control 

of HAP emissions from heat exchange systems, which include closed-loop recirculation systems 

with cooling towers and once-through cooling water systems. These regulations also apply to

storage vessels and equipment leaks associated with bulk gasoline terminals or pipeline breakout 

stations that are related to an affected petroleum refinery. New facilities include those that 

commenced construction or reconstruction after the date of proposal. This information is being 

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

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

periodic reports. Owners or operators are also required to maintain records of the occurrence and 

duration of any startup, shutdown, or malfunction in the operation of an affected facility, or any 

period during which the monitoring system is inoperative. These notifications, reports, and 

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

NESHAP.

Any owner or operator subject to the provisions of this part shall maintain a file of these 

measurements and retain the file for at least five years following the date of such measurements, 

maintenance reports, and records. All reports are sent to the delegated state or local authority. 

In the event that there is no such delegated authority, the reports are sent directly to the U. S.

Environmental Protection Agency (EPA) regional office.

Approximately 153 sources are currently subject to the regulation, and it is estimated that 

one additional source will become subject to the regulation in the next three years. It is assumed 

that, on average, a refinery will reconstruct 10 percent of the existing storage vessels, process 

units subject to equipment leak provisions, and process vents.
2

This ICR is being combined with ICR number 2334.02, OMB control number 2060-

0340, and the renewal ICR.

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

without any “Terms of Clearance.”

There are approximately 153 petroleum refineries in the United States, which are owned 

and operated by the petroleum refinery industry. None of the facilities in the United States are 

owned by state, local, tribal or the Federal government; all are privately, owned for-profit 

businesses. The burden to the “Affected Public” is listed below in Table 1: Annual Respondent

Burden and Cost - NESHAP for Petroleum Refineries (40 CFR Part 63, Subpart CC) (Renewal). 

The Federal government burden associated with the review of reports submitted by the 

respondent as shown below in Table 2: Average Annual EPA Burden and Cost - NESHAP for 

Petroleum Refineries (40 CFR Part 63, Subpart CC) (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 or operator subject to any

requirement of this Act to: 

(A) Establish and maintain such records; (B) make such reports; 

(C) install, use, and maintain such monitoring equipment, and use 

such audit procedures, or methods; (D) sample such emissions (in 

accordance with such procedures or methods, at such locations, at

such intervals, during such periods, and in such manner as the 

Administrator shall prescribe); (E) keep records on control 

equipment parameters, production variables or other indirect data 

when direct monitoring of emissions is impractical; (F) submit 

compliance certifications in accordance with Section 114(a)(3); 

and (G) provide such other information as the Administrator may

reasonably require.

In the Administrator's judgment, HAP emissions from petroleum refineries cause or 

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

welfare. Therefore, the NESHAP were promulgated for this source category at 40 CFR part 63, 

subpart CC.
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2(b) Practical Utility/Users of the Data

The recordkeeping and reporting requirements in the standard ensure compliance with 

the applicable regulations, which were promulgated in accordance with the Clean Air Act. In 

addition, the collected information is 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 standard. Continuous emission monitors are used to 

ensure compliance with the standard at all times. During the performance tests, 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 standard 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 ensure that the pollution control devices are properly 

installed and operated, that leaks are being detected and repaired, and that the standards are being 

met. The performance test may also be observed.

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

identify problems at the facility, to verify operation/maintenance procedures and compliance.

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

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

CC.

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 is

sent to the Administrator in lieu of the report required by the Federal standards. Therefore, no 

duplication exists.

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

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

in the Federal Register (76 FR 26900) on May 9, 2011. No comments were received on the 

burden published in the Federal Register.
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3(c) Consultations

The Agency has consulted industry experts and internal data sources to project the 

number of affected facilities and industry growth over the next three years. The primary source 

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

provisions in the standard is the OTIS, which is operated and maintained by EPA’s Office of 

Compliance. OTIS is EPA’s database for the collection, maintenance, and retrieval of all 

compliance data. We estimate that there are approximately 153 existing respondents subject to 

the standard and that one new source will become subject to the standard over the three-year 

period covered by this ICR.

Industry trade association and other interested parties was provided an opportunity to 

comment on the burden associated with the standard as it was being developed and the standard 

has been previously reviewed to determine the minimum information needed for compliance 

purposes. For this renewal, we consulted with the following representatives: 

Contact Organization Phone

David Friedman National Petrochemical & 

Refiners Association

(202) 457-0480

Steve Hagle Texas Commission on 

Environmental Quality

(512) 239-3900

It is our policy to respond after a thorough review of comments received from the public 

since the last ICR renewal as well as those submitted in response to the first Federal Register

notice. In this case, no comments were received. 

3(d) Effects of Less Frequent Collection

Less frequent information collection would decrease the margin of assurance that 

facilities are continuing to meet the standards. Requirements for information gathering and 

recordkeeping are useful techniques to ensure that good operation and maintenance practices are 

applied and emission limitations met. If the information required by these standards were

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 

established by OMB at 5 CFR 1320.5.

These standards require respondents to maintain all records, including reports and 

notifications, for at least five years. This is consistent with the General Provisions as applied to 

the standards. EPA believes that the five-year records retention requirement is consistent the 
5

Part 70 permit program and the five-year statute of limitations on which the permit program is 

based. In addition, the retention of records for five years would allow EPA to establish the 

compliance history of a source and any pattern of compliance for purposes of determining the 

appropriate level of enforcement action. EPA has found that the most flagrant violators 

frequently have violations extending beyond the five 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 contain sensitive 

questions.

4. The Respondents and the Information Requested

4(a) Respondents/SIC Codes

The respondents to the recordkeeping and reporting requirements are petroleum refineries 

that are major sources of HAP emissions. The United States Standard Industrial Classification 

(SIC) code for the respondents affected by the standards is SIC 2911, which corresponds to the 

North American Industry Classification System (NAICS) 324110 for petroleum refineries.

4(b) Information Requested

(i) Data Items

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

Petroleum Refineries (40 CFR Part 63, Subpart CC) (Renewal).

A source must make the following reports:

Notification 

Notification of compliance, status report, periodic report for emissions 

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

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

63.654(d)(2)
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Notification 

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

63.654(d)(2)

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

63.654(d)(2)

Application for approval of construction/reconstruction

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

63.566(b), 

63.640(k)(2)(i), 

63.654(c), 

63.654(h)(6)

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

Notification of compliance status

63.182(c), 

63.428(c)(2), 

63.640(k)(2)(ii), 

63.654(b), 63.654(d), 

63.654(f), 

63.654(h)(6)

63.655(f)(1)(vi)

Notification of performance test and site-specific test plan

63.567(d), (f), 

63.642(d)(2), 

63.654(c),

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

63.654(d)

Request for extension of compliance 63.9(c)

Notification of special compliance requirements 63.9(d)

Engineering report of vapor collection system for marine tank vessel 

loading operations 63.567(f), 63.654(c)

Notifications for wastewater streams 61.357, 63.654(a)

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

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

Notification of determination of applicability to variable storage 

vessel

63.654(h)(6)(ii)

Notification of determination of applicability to variable distillation 

units 63.654(h)(6)(iii)
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Reports

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

63.653(c) & (d)

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

Reports for wastewater streams 61.357, 63.654(a)

Reports for gasoline loading racks

63.428(b), (c), 

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

through (h)(3), 

63.654(b)

Annual reports of excess emissions and continuous monitoring system 

performance, or summary report, for marine tank vessel loading 

operations

63.567(e), 

63.654(c)

Reports for equipment leaks 60.487 or 63.182, 

63.654(d)

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

shutdown, and malfunction reports

63.10(d)(5), 

63.654(g), 

63.654(h)(1),

63.655(g)(9)

A source must keep the following records:

Recordkeeping

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

Records for wastewater streams 61.356, 63.654(a)

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

Records for vapor collection system for marine tank vessel loading 

operations 63.567(g), 63.654(c)

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

Records of current vapor tightness test results for marine tank vessel 

loading operations 63.567(i), 63.654(c)

Records for equipment leaks 60.486 or 63.181, 

63.654(d)

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

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

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

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

Records of heat exchange system sampling results, leak detection, and 

repair 63.655(i)(4)

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

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

Records of corrective actions taken during periods of startup shutdown, 

and malfunction 63.10(b)(2)(iv)

Records to demonstrate conformance with startup, shutdown, and 

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

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

Electronic Reporting

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 not 

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

electronic reporting.

(ii) Respondent Activities

Respondent Activities

Read instructions.

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

devices for HAP control devices.

Perform initial performance test and repeat performance tests if necessary.

Write the notifications and reports listed above.

Enter information required to be recorded above.

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

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

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

maintaining information.
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Respondent Activities

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

providing information.

Adjust the existing ways to comply with any previously applicable instructions and 

requirements.

Train personnel to be able to respond to a collection of information.

Transmit, or otherwise disclose the information.

Currently, sources are using monitoring equipment that provides 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.

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 observe repeat performance tests if necessary.

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

reports, required to be submitted by industry.

Audit facility records.

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

5(b) Collection Methodology and Management

Following notification of startup, the reviewing authority could inspect the source to 

determine whether the pollution control devices are properly installed and operational. 

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

with the emission standard, and to 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. The semiannual reports are used for problem 

identification, as a check on source operation and maintenance, and for compliance determinations.

Information contained in the reports is entered into the OTIS, which is operated and 
10

maintained by EPA's Office of Compliance. OTIS is EPA’s database for the collection, 

maintenance, and retrieval of compliance data for approximately 125,000 industrial and 

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

enforcement by local and state regulatory agencies, EPA regional offices and EPA headquarters. 

The EPA and its delegated Authorities can edit, store, retrieve and analyze the data.

The records required by this regulation must be retained by the owner or operator for five 

years.

5(c) Small Entity Flexibility

A majority of the affected facilities are large entities (e.g., large businesses). However, 

the impact on small businesses was taken into consideration during the development of the 

regulation. Due to technical considerations, involving the process operations and the types of 

control equipment employed, the recordkeeping and reporting requirements are the same for both 

small and large entities. The Agency considers the requirements the minimum needed to ensure 

compliance and, therefore, cannot reduce them further for small entities. To the extent that 

larger businesses can use economies of scale to reduce their burden, the overall burden will be

reduced.

5(d) Collection Schedule

The specific frequency for each information collection activity within this request is 

shown below in Table 1: Annual Respondent Burden and Cost - NESHAP for Petroleum 

Refineries (40 CFR Part 63, Subpart CC) (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, we have identified 

the specific tasks and major assumptions in the burden calculations. 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 511,064 (Total Labor Hours from Table 1). 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
11

approved ICR, and any comments received.

6(b) Estimating Respondent Costs

(i) Estimating Labor Costs

This ICR uses the following labor rates: 

Managerial $161.11 ($76.72 + 110%) 

Technical $126.27 ($60.13 + 110%)

Installation, maintenance, and repair $59.03 ($28.11 + 110%)

Plant operator $52.44 ($24.97 + 110%)

Clerical $43.81 ($20.86 + 110%)

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

2010, ”NAICS 324100 - Petroleum and Coal Products Manufacturing.” 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 type of industry costs associated with the information collection activities in the 

subject standard are both labor costs, which are addressed elsewhere in this ICR, and the costs 

associated with purchasing equipment. The leak detection and repair program for heat exchange 

systems will require the purchase and installation of an air stripping column apparatus for sample 

collection and an FID analyzer to determine the concentration of air stripped compounds 

although samples may also be collected in canisters for shipment to analytical laboratories. 

The air-stripping column is portable and may be used for multiple heat exchange systems. 

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

The NESHAP subpart CC, as amended in October 2009, incorporates requirements for 

parametric monitoring of control devices that are included in other rules to which petroleum 

refineries are already subject. The only new equipment required in order complying with the 

recordkeeping and reporting requirements of this NESHAP is for heat exchange systems and 

comprises an air-stripping column for sample collection, associated equipment, and an FID 

analyzer. However, it is estimated that approximately 9 percent of refineries will already have 

this equipment. For the other 91 percent of facilities, the capital cost for the purchase and 

installation of this equipment is approximately $116,870. O&M costs are based on one mid-point 

calibration every month for 180 heat exchange systems per year. 
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Capital/Startup vs. Operation and Maintenance (O&M) Costs

(A)

Continuous 

Monitoring 

Device

(B)

Capital/Startup 

Cost for One 

Respondent

(C)

Number of 

New

Respondents

(D)

Total 

Capital/Startup 

Cost, (B X C)

(E)

Annual O&M 

Costs for One 

Respondent

(F)

Number of 

Respondents 

with O&M

(G)

Total O&M,

(E X F)

Air stripping 

column and 

FID analyzer

$116,870 139.5a$16,303,365 NA NA $61,711

a Assumes 91% of 153 existing respondents need to purchase and install equipment. Additionally one new 

respondent will be subject to the standard in the next three years. Therefore, the total number of respondents is 153 x 

91% + 1/3 = 139.5 

The total capital/startup costs for this ICR are $16,303,365. This is the total of column D 

in the above table. In addition, the annualized capital/startup to the industry over the next three 

years of the ICR is estimated to be $2,321,640 using capital discount rate of 7 percent over 10 

years. 

The total operation and maintenance (O&M) costs for this ICR are $61,711/yr. This is 

the total of column G. 

The average annual cost for capital/startup and operation and maintenance costs to the 

industry over the next three years of the ICR is estimated to be $2,383,351. These are 

recordkeeping costs. 

6(c) Estimating Agency Burden and Cost

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

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

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

of emissions, and the publication and distribution of collected information. 

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

$322,542. This cost is based on the average hourly labor rate as follows:

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) 2011 “General Schedule”,

which excludes locality rates of pay. Details upon which this estimate is based appear below in 

Table 2: Average Annual EPA Burden and Cost - NESHAP for Petroleum Refineries (40 CFR 
13

Part 63, Subpart CC) (Renewal).

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

Based on our research for this ICR, approximately 153 existing sources are currently 

subject to the standard. It is estimated that one additional source will become subject to the 

standard in the next three years. It is assumed that, on average, a refinery will reconstruct 10 

percent of the existing storage vessels, process units subject to equipment leak provisions, and 

process vents.

The number of respondents is calculated using the following table, which addresses the 

three years covered by this ICR.

Number of Respondents

Respondents That Submit Reports Respondents That Do 

Not Submit Any Reports

Year

(A)

Number of New 

Respondents1

(B)

Number of 

Existing 

Respondents

(C)

Number of Existing 

Respondents That 

Keep Records But Do 

Not Submit Reports

(D)

Number of 

Existing 

Respondents That 

Are Also New

Respondents 1

(E)

Number of 

Respondents

(E=A+B+C-D)

1 15.3 153 0 15.3 153

2 15.3 153 0 15.3 153

3 16.3 153 0 15.3 154

Average 15.6 153 0 15.3 153.3

1

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

existing respondents submit initial notifications. It is assumed that, on average, a refinery will reconstruct 10 percent 

of the existing storage vessels, process units subject to equipment leak provisions, and process vents. It is estimated 

that one additional source will become subject to the regulation in the next three years. 

To avoid double-counting respondents column D is subtracted. As shown above, the 

average Number of Respondents over the three-year period of this ICR is 153.3. 

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

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
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Total Annual Responses

(A)

Information Collection Activity

(B)

Number of 

Respondents

(C)

Number 

of 

Responses

(D)

Number of 

Existing 

Respondents That 

Keep Records But 

Do Not Submit 

Reports

(E)

Total Annual Responses 

E=(BxC)+D

Initial Notifications: 

Notification of reconstruction 

process vents 153.3 0.4 0 61.3

Notification of compliance 

status - storage vessel 153.3 0.9 0 138.0

Notification of compliance 

status - equipment leaks 153.3 1.1 0 168.6

Notification of compliance 

status - process vents 153.3 0.9 0 138.0

Notification of compliance 

status - heat exchange systems 153.3 1 0 153.3

Notification of performance 

test - process vent control 

device

153.3 0.4 0 61.3

Notification of storage vessel 

inspection 153.3 0.9 0 138.0

Periodic Reports:

Review of startup, shutdown, 

malfunction reports 153.3 0 0 0.0

Semiannual parameter 

exceedance reports 153.3 2 0 306.6

Annual tank inspection failure 

reports 153.3 1 0 153.3

Semiannual 

compliance/LDAR reports 153.3 2 0 306.6

TOTAL 1,625

The number of Total Annual Responses is 1,625 rounded. 

The total annual labor costs are $60,288,291. Details regarding these estimates can be 

found below in Table 1: Annual Respondent Burden and Cost- NESHAP for Petroleum 

Refineries (40 CFR Part 63, Subpart CC) (Renewal). 

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

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

Agency are shown below in Tables 1 and 2, respectively, and summarized below. 
15

(i) Respondent Tally

The total annual labor hours are 511,064. Details regarding these estimates may be 

found below in Table 1: Annual Respondent Burden and Cost - NESHAP for Petroleum 

Refineries (40 CFR Part 63, Subpart CC) (Renewal). 

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

information is estimated to average 315 hours per response.

The total annual capital/startup and O&M costs to the regulated entity are $2,383,351. 

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

7,158 labor hours at a cost of $322,542. See below Table 2: Average Annual EPA Burden and 

Cost - NESHAP for Petroleum Refineries (40 CFR Part 63, Subpart CC) (Renewal).

6(f) Reasons for Change in Burden

The increase in labor burden and cost to industry compared to the most recently approved 

ICR is due to several considerations. First, burden from the recent ICR amendments, including 

the monthly sampling program and reporting and recordkeeping requirements for heat exchange 

systems, were incorporated into the overall estimate for this renewal ICR. This resulted in an 

increase in labor hours, as well as capital/startup costs and operation and maintenance (O&M) 

costs. Second, labor rates were updated to be consistent with the most recent available data from 

the Bureau of Labor Statistics.

There is also an increase in burden hours and costs to the Agency. Similarly, this is due 

to a program change, as well as the most updated labor rates. 

The combining of the previous ICR with EPA ICR number 2334.02, has attributed also to 

the increase in burden hours and costs.

6(g) Burden Statement

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

is estimated to average 315 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; to 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; to adjust the existing ways to comply with any previously applicable instructions 
16

and requirements; to train personnel to be able to respond to a collection of information; to 

search data sources; to complete and review the collection of information; and to transmit or 

otherwise disclose the information.

An agency may not conduct or sponsor, and a person is not required to respond to, a 

collection of information unless it displays a valid OMB Control Number. The OMB Control 

Numbers for EPA’s regulations are listed at 40 CFR part 9 and 48 CFR chapter 15.

To comment on the Agency's need for this information, the accuracy of the provided 

burden estimates, and any suggested methods for minimizing respondent burden, including the 

use of automated collection techniques, EPA has established a public docket for this ICR under 

Docket ID Number EPA-HQ-OECA-2011-0234. 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), EPA West, 

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

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

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

number for the docket center is (202) 566-1752. 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-2011- 0234 and OMB Control Number 2060-0340 in any

correspondence. 

Part B of the Supporting Statement

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

information.
Table 1. Annual Respondent Burden and Cost - NESHAP for Petroleum Refineries (40 CFR Part 63, Subpart CC) (Renewal)

Burden item

(A)

Personhours 

per 

occurrence

(B)

No. of 

occurrences 

per

respondent 

per year

(C)

Personhours per 

respondent 

per year

(A x B)

(D)

Respondent 

per year a

(E)

Technical 

personhours per 

year 

(C x D)

(F)

Installation, 

maintenance

and repair

personhours per 

year

(C x D)

(G)

Plant 

operator

personhours 

per year

(C x D)

(H)

Management 

person-hours 

per year

(E x 0.05)

(I)

Clerical 

personhours 

per year

(E x 0.1)

(J)

Cost,$ b

1. Applications N/A

2. Survey and Studies N/A

3. Acquisition, Installation, and

 Utilization of Technology and

 Systems c 

Technical 32 1 32 153.3 4,905.6 $619,444.83

Management 2 1 2 153.3 306.6 $49,396.94

4. Reporting Requirements

A. Read instructions and 

planning c, d

Initial: 

i. General/applicability 20 1 20 15.3 306 15.3 30.6 $42,445.02 

ii. Storage vessels 20 1 20 15.3 306 15.3 30.6 $42,445.02 

iii. Process units – LDAR 20 1 20 15.3 306 15.3 30.6 $42,445.02 

iv. Process vents 20 1 20 15.3 306 15.3 30.6 $42,445.02 

Periodic:

i. General/applicability 4 2 8 153.3 1,226.4 61.32 122.64 $170,112.96 

ii. Storage vessels 1 2 2 153.3 306.6 15.33 30.66 $42,528.24 

iii. Process units – LDAR 2 2 4 153.3 613.2 30.66 61.32 $85,056.48 

iv. Process vents 2 2 4 153.3 613.2 30.66 61.32 $85,056.48 

v. Heat exchange systems 2 1 2 153.3 306.6 15.33 30.66 $42,528.24 

B. Required activities c, d 

Initial:

i. General: applicability 10 1 10 153.3 1,533 76.65 153.3 $212,641.20 

ii. Storage vessels 88 0.9 79.2 153.3 12,141.36 607.07 1,214.14 $1,684,118.33 
18

18

Burden item

(A)

Personhours 

per 

occurrence

(B)

No. of 

occurrences 

per

respondent 

per year

(C)

Personhours per 

respondent 

per year

(A x B)

(D)

Respondent 

per year a

(E)

Technical 

personhours per 

year 

(C x D)

(F)

Installation, 

maintenance

and repair

personhours per 

year

(C x D)

(G)

Plant 

operator

personhours 

per year

(C x D)

(H)

Management 

person-hours 

per year

(E x 0.05)

(I)

Clerical 

personhours 

per year

(E x 0.1)

(J)

Cost,$ b

iii. Process units - LDAR 8 1.1 8.8 153.3 1,349.04 67.45 134.9 $187,124.26 

iv. Process vents - initial 

performance test 11 0.2 2.2 153.3 337.26 16.86 33.73

$46,781.06 

v. Process vents - repeat 

performance test 11 0.1 11 153.3 168.63 8.43 16.86

$23,390.53 

Periodic:

i. General/applicability 3 2 6 153.3 919.8 45.99 91.98 $127,584.72 

ii. Storage vessels 4 9 36 153.3 5,518.8 275.94 551.88 $765,508.33 

iii. Process units - LDAR 1 11 134 153.3 1,686.3 84.32 168.63 $233,905.32 

iv. Process vents 2 24 48 153.3 7,358.4 367.92 735.84 $1,020,677.78 

v. Heat exchange systems -

sampling analysis e

Technical 3.18 12 38.16 153.3 5,849.93 $738,687.96

Plant operator 9.53 12 114.36 153.3 17,531.39 $919,293.39

vi. Heat exchange systems -

triggered monitoring of 

leak f

Technical 1 2 2 153.3 306.6 $38,715.30

Plant operator 3 2 6 153.3 919.8 $48,231.55

vii. Heat exchange systems

- leak repair g 40 0.15 40 153.3 919.8 $54,296.71

C. Create information See 4B

D. Gather existing information See 4B

E. Write report c

Startup, shutdown and 

malfunction plan 40 1 40 0 0 0 0 $0

Notification of compliance 

status 

i. Storage vessels 1 0.9 0.9 153.3 137.97 6.9 13.8 $19,137.71

ii. Process units - LDAR 4 1.1 4.4 153.3 674.52 33.73 67.45 $93,562.13

iii. Process vents 1 0.9 0.9 153.3 137.97 6.9 13.8 $19,137.71
19

19

Burden item

(A)

Personhours 

per 

occurrence

(B)

No. of 

occurrences 

per

respondent 

per year

(C)

Personhours per 

respondent 

per year

(A x B)

(D)

Respondent 

per year a

(E)

Technical 

personhours per 

year 

(C x D)

(F)

Installation, 

maintenance

and repair

personhours per 

year

(C x D)

(G)

Plant 

operator

personhours 

per year

(C x D)

(H)

Management 

person-hours 

per year

(E x 0.05)

(I)

Clerical 

personhours 

per year

(E x 0.1)

(J)

Cost,$ b

iv. Heat exchange systems h1 1 1 153.3 153.3 7.67 15.33 $21,264.12

Notification of storage vessel 

inspection 1 0.9 0.9 153.3 137.97 6.9 13.8 $19,137.71

Notification of reconstructionprocess vent control device 4 0.4 1.6 153.3 245.28 12.26 24.53 $34,022.59

Notification of performance 

test c See 4B

Startup, shutdown and 

malfunction reports c NA

Semiannual compliance 

reports: i, j 

i. General 18 2 36 153.3 5,518.8 275.94 551.88 $765,508.33

ii. Storage vessels 1 18 18 153.3 2,759.4 137.97 275.94 $382,754.17

iii. Storage vessels seal gap 

failure 3 2 6 153.3

919.8 45.99 91.98 $127,584.72

iv. Process units - LDAR 3 22 66 153.3 10,117.8 505.89 1,011.78 $1,403,431.94

v. Process vents 1.5 4 6 153.3 919.8 45.99 91.98 $127,584.72

vi. Heat exchange systems k2 2 4 153.3 613.2 30.66 61.32 $85,056.48

Reporting Subtotal 97,022.9 $9,794,201

5. Recordkeeping Requirements

A. Read instructions See 4A

B. Plan activities c

See 4A

C. Implement activities c

See 4B

D. Develop record system l

N A

 Initial:

i. Storage vessels 2 0.9 1.8 153.3 275.94 13.80 27.59 $38,275.42
20

20

Burden item

(A)

Personhours 

per 

occurrence

(B)

No. of 

occurrences 

per

respondent 

per year

(C)

Personhours per 

respondent 

per year

(A x B)

(D)

Respondent 

per year a

(E)

Technical 

personhours per 

year 

(C x D)

(F)

Installation, 

maintenance

and repair

personhours per 

year

(C x D)

(G)

Plant 

operator

personhours 

per year

(C x D)

(H)

Management 

person-hours 

per year

(E x 0.05)

(I)

Clerical 

personhours 

per year

(E x 0.1)

(J)

Cost,$ b

ii. Process units – LDAR 75 1.1 82.5 153.3 12,647.25 632.36 1,264.73 $1,754,289.93

iii. Process vents 2 0.9 1.8 153.3 275.94 13.8 27.59 $38,275.42

 Periodic:

i. Storage vessels 2 18 36 153.3 5,518.8 275.94 551.88 $765,508.33

ii. Process units - LDAR 75 11 825 153.3 126,472.5 6,323.63 12,647.25 $17,542,899.30

iii. Process vents 2 9 18 153.3 2,759.4 137.97 275.94 $382,754.17

iv. Heat exchange systems m

 Technical 1 12 12 153.3 1,839.6 $232,291.81

 Plant Operator 1 12 12 153.3 1,839.6 $96,463.11

E. Time to enter information 

and transmit it n

 Initial:

i. Storage vessels 6 0.9 5.4 153.3 827.82 41.39 82.78 $114,826.25

ii. Process units - LDAR 99 1.1 108.9 153.3 16,694.37 834.72 1,669.44 $2,315,662.71

iii. Process vents 12 0.2 2.4 153.3 367.92 18.4 36.79 $51,033.89

iv. Heat exchange systems 1 2 2 153.3 306.6 15.33 30.66 $42,528.24

 Periodic:

i. Storage vessels 3.5 18 63.0 153.3 9,657.9 482.9 965.79 $1,339,639.58

ii. Process units – LDAR 99 11 1,089 153.3 166,943.7 8,347.19 16,694.37 $23,156,627.07

iii. Process vents 15 4 60.0 153.3 9,198 459.9 919.8 $1,275,847.22

F. Time to train personnel o

 Initial:

i. Storage vessels 1 0.9 0.9 153.3 137.97 6.9 13.8 $19,137.71

ii. Process units - LDAR 1 1.1 1.1 153.3 168.63 8.43 16.86 $23,390.53

iii. Process vents 1 0.4 0.4 153.3 61.32 3.07 6.13 $8,505.65

iv. Heat exchange systems p20 1 20 153.3 3,066 153.3 306.6 $425,282.41

 Periodic:

i. Storage vessels NA

ii. Process units - LDAR 0.5 11 5.5 153.3 843.15 42.16 84.32 $116,952.66

iii. Process vents 1 4 4 153.3 613.2 30.66 61.32 $85,056.48

Recordkeeping Subtotal 414,041.1 $49,825,248
21

21

Burden item

(A)

Personhours 

per 

occurrence

(B)

No. of 

occurrences 

per

respondent 

per year

(C)

Personhours per 

respondent 

per year

(A x B)

(D)

Respondent 

per year a

(E)

Technical 

personhours per 

year 

(C x D)

(F)

Installation, 

maintenance

and repair

personhours per 

year

(C x D)

(G)

Plant 

operator

personhours 

per year

(C x D)

(H)

Management 

person-hours 

per year

(E x 0.05)

(I)

Clerical 

personhours 

per year

(E x 0.1)

(J)

Cost,$ b

TOTAL LABOR BURDEN AND 

COST (Rounded)

511,064 $60,288,291

Annualized cost of capital q

$2,321,640

Operation and maintenance 

(O&M) r$61,711

TOTAL ANNUAL COST

(Labor, Annualized Capital, O&M) $62,671,642

Assumptions:

a

 There are 153 existing petroleum refineries in the U.S., and one new refinery is expected during the next 3 years, yielding an annual average of 153.3 respondents over the next 

three years. We estimate that all existing refineries would have to reconstruct 10 percent of existing affected facility each year to accommodate increased in refinery production. 

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

9 process vents for which it would be required to do monitoring, recordkeeping and reporting, and 3 heat exchange systems which are subject to a monthly sampling program and a 

recordkeeping and reporting requirements to ensure compliance with the program. 

b This ICR uses the following labor rates: $161.11 per hour for executive, administrative, and managerial labor; $43.81 per hour for clerical labor; $126.27 per hour for technical 

labor; $59.03 per hour for installation, maintenance, and repair; and $52.44 per hour for plant operators. These rates are from the United States Department of Labor, Bureau of 

Labor Statistics, May 2010, ”NAICS 324100 - Petroleum and Coal Products Manufacturing.” The rates have been increased by 110 percent to account for the benefit packages 

available to those employed by private industry

c

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

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

the compliance report for all respondents. Startup, shutdown and malfunction reports are included with the semiannual reports.

d

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

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

test for process vents routed to a control device (4 of 9 process vents); and development of startup and malfunction plan and record system addressing each unit. However, 

respondents would have to comply with initial rule requirements for reconstructed units which are estimated to be 10 percent of all units (i.e., 0.9 storage vessels, 1.1 process units 

and 0.4 process vent control devices). 

e

 EPA estimates that 486 of 540 heat exchange systems at 153 existing refineries will need to implement the new heat exchange system monitoring requirements and one new

refinery with an estimated 4 heat exchange systems will become subject to the Subpart CC rule during the 3-year clearance period of this ICR. Therefore, the annual average

number of heat exchange systems per refinery is 3.18 (486 + 4 = 490 heat exchange systems/154 refineries). Labor and costs based on estimates from EPA MACT floor cost

analysis. Labor costs for setup of portable air stripping column and sampling/analysis for one heat exchange system based on 1 labor hour for engineer and 3 labor hours for

operator. Assume 3.18 towers per refinery and event occurs 12 times per year.

f

 Labor costs for additional sampling and analysis triggered by leak based on 1 hour for engineer and 3 labor hours for an operator for 1 event per year for 2 heat exchangers per 

refinery.
22

22

g

 Repair costs based on 40 labor hours for 1 repair event per year for 15 percent of heat exchangers.

h

 Assume each existing refinery must submit notification of compliance status for heat exchange systems. 

i

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

monitoring of process vents, recording of process parameters and monitoring results, and submittal of periodic semiannual compliance reports addressing each affected facility and 

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

j

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

wastewater and storage tank. 

k Assume 2 hours per occurrence at 2 times per year.

l

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

facilities.

m

 Assume 24 labor hours per month per refinery for recordkeeping requirements.

n

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

approximate one 3.5 hours (2 hrs of total is to transmit data) at each of the 9 storage vessels, 77 hours for equipment leaks (LDAR, 75 of total is to transmit data) at each of the 11 

units, and 15 hours (based on the assumption that it takes 5 minutes at 350 days a year per control device to record data) for process vents at each of the 2 control devices to record 

and transmit data periodically. 

o

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

periodic refresher training. 

p

 Assume training of 2 labor hours per year for 10 operators per facility.

q

 Based on a total capital investment of $16.3 million and a capital recovery factor of 0.1424 (10-year life at 7 percent annual interest).

r

 Operation and maintenance costs based on one mid-point calibration of sampling equipment prior to each sampling event (12 times/yr) at 0.25 hr by one engineer ($114.28/yr)

for annual average of 180 heat exchange systems (540 heat exchange systems/3 = 180).

N/A Not applicable. 
23

23

Table 2. Average Annual EPA Burden and Cost -NESHAP for Petroleum Refineries (40 CFR Part 63, Subpart CC) 

(Renewal)

Activity

(A)

Hours per 

occurrence

(B)

Occurrences 

per plant per 

year

(C)

Hours 

per plant 

per year

(A x B)

(D)

Plants 

per 

year a

(E)

Technical 

person-hours 

per year

(E = C x D)

(F)

Management 

person-hours 

per year

(F = E x 0.05)

(G)

Clerical 

person-hours 

per year

(G = E x 0.1)

(H)

Cost, $ b

1. Initial Notifications:

c

- Notification of reconstruction-process

 vents

d

 

1 0.4 0.4 153.3 61.32 3.07 6.13 3,177.75

 - Notification of compliance status -

 storage vessel 

e 1 0.9 0.9 153.3 137.97 6.90 13.80 7,149.94

 - Notification of compliance status - 

equipment leaks 

e 1 1.1 1.1 153.3 168.63 8.43 16.86 8,738.81

 - Notification of compliance status-

 process vents 

e 1 0.9 0.9 153.3 137.97 6.90 13.80 7,149.94

 - Notification of compliance status-

 heat exchange systems

e 2 1 2 153.3 306.60 15.33 30.66 15,888.75

 - Notification of performance test-

 process vent control device 

e 1 0.4 0.4 153.3 61.32 3.07 6.13 3,177.75

 - Notification of storage vessel 

 inspection  

1 0.9 0.9 153.3 137.97 6.90 13.80 7,149.94

2. Periodic Reports: 

f

 - Review of startup, shutdown, 

 malfunction reports N/A

 - Semiannual parameter exceedance 

 reports 4 2 8 153.3 1,226.40 61.32 122.64 63,554.99

 - Annual tank inspection failure 

reports 4 1 4 153.3 613.20 30.66 61.32 31,777.50

 - Semiannual compliance/LDAR 

reports 10 2 20 153.3 3,066.00 153.30 306.60 158,887.48

 - Semiannual compliance/heat 

exchange systems 1 2 2 153.3 306.60 15.33 30.66 15,888.75

Subtotal 6,223.98 311.20 622.40 322,541.58
24

24

TOTAL 7,158 $322,542

Assumptions:

a

We have assumed that there are 153 existing petroleum refineries plus one new refinery which are respondents over the 3-year term of the ICR, yielding an 

average of 153.3 respondents per year. We have further assumed that a refinery has the following affected facilities: 9 storage vessels; 11 process units which are 

subject to leak detection and repair (LDAR) provisions; 9 process vents for which it would be required to do monitoring, recordkeeping and reporting; and 3 heat 

exchange systems which are subject to a monthly sampling program for VOC leak detection and repair, as well as recordkeeping and reporting requirements to 

ensure compliance with the program. 

b

 This cost is based on the following labor rates: Managerial rate of $62.27 (GS-13, Step 5, $38.92 + 60%), Technical rate of $46.21 (GS-12, Step 1, $28.88 + 

60%), and Clerical rate of $25.01 (GS-6, Step 3, $15.63 + 60%). These rates are from the Office of Personnel Management (OPM) A2011 General Schedule@, 

which excludes locality rates of pay. 

c

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

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

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

have assumed that 10 percent of respondents (15.3) would have to comply with initial rule requirements for reconstructed units. 

d

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

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

e

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

f

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

reports are to be submitted with the next semiannual reports

N/A Not applicable