1

SUPPORTING STATEMENT

NATIONAL EMISSION STANDARDS FOR SECONDARY LEAD SMELTING

PART A

1. IDENTIFICATION OF THE INFORMATION COLLECTION

(a) Title and Number of the Information Collection.

“National Emission Standards for Hazardous Air Pollutants (NESHAP) for Secondary

Lead Smelting (40 CFR part 63, subpart X)” 

(b) Short Characterization.

This ICR is prepared for a U.S. Environmental Protection Agency (EPA) rulemaking 

developed under authority of section 112 of the Clean Air Act (CAA). The rulemaking amends 

Title 40, chapter I, part 63, subpart X, National Emission Standards for Hazardous Air Pollutants 

(NESHAP) for Secondary Lead Smelting, of the Code of Federal Regulations (CFR). The 

previous NESHAP was proposed on June 23, 1995, and promulgated on June 13, 1997. The 

revised NESHAP was proposed on May 19, 2011. The potential respondents are owners or 

operators of any existing or new affected source with secondary lead smelting operations. There 

are 16 facilities subject to the NESHAP. The NESHAP is applicable to the following processes 

at a secondary lead smelter: blast, reverberatory, rotary, and electric smelting furnaces; refining 

kettles; agglomerating furnaces; dryers; process fugitive sources; and fugitive dust sources. The 

affected sources are those that meet the criteria established in §63.541 of the Secondary Lead 

Smelting NESHAP.

The amendments reduce the emissions limits for lead. Specifically, sources are required 

to maintain the concentration of lead compounds in any process vent gas at or below 1.0 

milligrams of lead per dry standard cubic meter (mg/dscm) (0.00043 grains of lead per dry

standard cubic foot (gr/dscf)), and they also are required to maintain the flow-weighted average 

concentration of lead compounds in vent gases from a secondary lead facility at or below 0.20 

mg/dscm (0.000087 gr/dscf). The amendments also establish emissions limits for total 

hydrocarbons (THC) and dioxins and furans (D/F) from furnace sources.

The final amendments include an emission limit for THC of 12 parts per million volume

(expressed as propane) corrected to 4 percent carbon dioxide (CO2) for new and existing 

reverberatory furnaces not collocated with a blast furnace and reverberatory furnaces mixed with 

electric furnaces. 
2

With regard to D/F, we are revising the previous NESHAP to include the following 

emissions limits for dioxins and furans: 

 For reverberatory furnaces not collocated with blast furnaces, and for reverberatory

furnaces where the exhaust gases are mixed with electric furnaces, a limit of 0.20 

nanograms per dry standard cubic meter (ng/dscm) at 7 percent oxygen (O2) 

expressed on a toxic equivalency (TEQ) basis and 0.1 ng/dscm at 7 percent O2

expressed on a TEQ basis for existing and new affected sources, respectively.

 For blast furnaces, a limit of 170 ng/dscm at 7 percent O2 expressed on a TEQ basis

and 10 ng/dscm at 7 percent O2 expressed on a TEQ basisfor existing and new 

sources, respectively. 

 For collocated blast and reverberatory furnaces, a limit of 0.5 ng/dscm at 7 percent O2

expressed on a TEQ basis for both new and existing sources.

To control fugitive lead emissions, we are finalizing amendments that require each 

facility to totally enclose all sources of fugitive emissions (e.g., storage piles, material handling, 

battery breaking, dryers, and casting kettles) and operate the total enclosures under negative 

pressure in addition to requiring facilities to implement comprehensive work practices designed 

to prevent the formation of fugitive dust. The work practices include pavement cleaning, 

vehicle washing, cleaning of all affected areas after accidental releases, inspection of the battery

storage areas for broken batteries, performance of maintenance activities in a manner that 

minimizes fugitive lead dust emissions, and transport of lead bearing dust in closed systems. 

The requirements for full enclosure are new provisions under the final amendments. 

The amendments to the rule eliminate the startup, shutdown, and malfunction (SSM)

exemption, remove the SSM plan requirement, add provisions to provide an affirmative defense 

against civil penalties for exceedances of emission standards caused by malfunctions, add a 

requirement for electronic submittal of performance test data, and correct editorial errors. 

Recordkeeping for stack testing will be the same with the exception of records of the 

additional testing requirements for THC and D/F.

The final amendments for control of fugitive emissions that include work practices and 

enclosure standards have a compliance date of 2 years from the promulgation date which will 

allow the facility to construct any enclosures necessary to meet the new and revised 

requirements. The compliance date for the amendments for the revised stack lead emission limit 

and new THC and D/F emissions limits is 2 years from the date of promulgation. The 

compliance date for the revised SSM requirements is the date of promulgation. The final

amendments require stack testing for D/F every 5 years.
3

The information collection requirements associated with the final amendments to the 

NESHAP are listed in Attachment 2.

2. Need For and Use of the Collection

(a) Need/Authority for the Collection.

Section 112 of the (CAA) requires EPA to establish NESHAP for both major and area 

sources of hazardous air pollutants (HAP) that are listed for regulation under section 112(c) of 

the CAA. A major source is a stationary source that emits or has the potential to emit more than 

10 tons per year (tpy) of any single HAP or more than 25 tpy of any combination of HAP. An 

area source is a stationary source that is not a major source (i.e., an area source that does not emit 

and does not have the potential to emit more than 10 tpy of any single HAP and more than 25 tpy 

of any combination of HAP). For major sources, these technology-based standards must reflect 

the maximum degree of emission reductions of HAP achievable (after considering cost, energy

requirements, and non-air quality health and environmental impacts) and are commonly referred 

to as maximum achievable control technology (MACT) standards. Section 112(d)(6) of the 

CAA requires EPA to review these technology-based standards and to revise them “as necessary 

(taking into account developments in practices, processes, and control technologies)” no less 

frequently than every 8 years. In addition, section 112(f) of the CAA requires EPA to determine 

for source categories subject to certain CAA section 112(d) standards whether the emissions 

limitations provide an ample margin of safety to protect public health. For MACT standards for 

HAP “classified as a known, probable, or possible human carcinogen" that "do not reduce 

lifetime excess cancer risks to the individual most exposed to emissions from a source in the 

category or subcategory to less than 1-in-1 million,” EPA must promulgate residual risk 

standards for the source category (or subcategory) as necessary to provide an ample margin of 

safety to protect public health. In doing so, EPA may adopt standards equal to existing MACT 

standards, if EPA determines that the existing standards are sufficiently protective. EPA must 

also adopt more stringent standards, if necessary, to prevent an adverse environmental effect, but 

must consider cost, energy, safety, and other relevant factors in doing so. 

Certain records and reports are necessary for the Administrator to confirm the compliance 

status of sources subject to NESHAP, identify any new or reconstructed sources subject to the 

standards, and confirm that the standards are being achieved on a continuous basis. These 

recordkeeping and reporting requirements are specifically authorized by section 114 of the CAA

(42 U.S.C. 7414) and set out in the part 63 NESHAP General Provisions. The recordkeeping and 

reporting requirements for title V permits are contained in 40 CFR 70.6 and 40 CFR 71.6. Under 

parts 63 and 70 or 71, the owner or operator must keep each record for 5 years following the date 

of each occurrence, measurement, maintenance, corrective action, report, or record. 
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(b) Use/Users of the Data.

The information will be used by the delegated authority (State agency, or Regional 

Administrator if there is no delegated State agency) to ensure that the standards and other 

requirements are being achieved. Based on review of the recorded information at the site and the 

reported information, the delegated permitting authority can identify facilities that may not be in 

compliance and decide which facilities, records, or processes may need inspection. 

3. Nonduplication, Consultations, and Other Collection Criteria

(a) Nonduplication.

A computer search of EPA’s ongoing information collection requests (ICRs) revealed no 

duplication of information-gathering efforts. 

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

This section is not applicable because this is a rule-related ICR.

(c) Consultations.

The amendments were developed in consultation with the Association of Battery

Recyclers (ABR) and various companies (including the Revere Smelting and Refining (RSR) 

Corporation and Exide Technologies, who own 9 of the 16 facilities and Johnson Controls, Inc., 

who is in the process of constructing a new secondary lead smelting facility). The non-EPA 

persons consulted on the information collection activities are identified in Table 1.

TABLE 1. PERSONS CONSULTED ON THE INFORMATION COLLECTION 

ACTIVITIES

Contact Organization Telephone No.

Russell Kemp Environ Corp. 678-388-1654

Robert Steinwurtzel Baker and Hostetler 202-861-1708

Steve Arnold The Doe Run Company 573-626-3495

Mark Cummings Exide Technologies 678-566-9280

Mike Butkantz RSR Corp 626-937-3245

Keith McCoy Johnson Controls, Inc. 202-406-4068

(d) Effects of Less Frequent Collection.

If the relevant information was collected less frequently, the delegated permitting 

authority (State or EPA) will not be reasonably assured that a facility is in compliance with the 

standards.

(e) General Guidelines. 

None of the guidelines in 5 CFR 1320.6 are being exceeded.
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(f) Confidentiality.

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 Title 40, Chapter 1, Part 2, Subpart 

B--Confidentiality of Business Information (see 40 CFR 2; 41 FR 36902, September 1, 1976; 

amended by 43 FR 39999, September 28, 1978; 43 FR 42251, September 28, 1978; 44 FR 

17674, March 23, 1979).

(g) Sensitive Questions. 

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

nature.

4. The Respondents and the Information Requested

(a) Respondents/NAICS Codes.

Potential respondents under subpart X are owners or operators of any existing or new 

facility engaged in secondary lead smelting. Secondary lead smelting facilities are primarily

classified under NAICS codes 331492, Secondary Lead Smelting and Refining. 

There are 16 facilities that will be subject to the final amendments to the NESHAP. One 

new secondary lead smelting facility is under construction at this time. No additional facilities 

are expected during the 3-year period of this ICR.

(b) Information Requested.

(i) Data Items, Including Recordkeeping Requirements. Attachment 2, Information 

Requirements, summarizes the data items, including recordkeeping and reporting requirements, 

for the Secondary Lead Smelting source category. The amendments to the NESHAP require that 

any performance tests performed after December 31, 2011 be submitted electronically to EPA’s 

Central Data Exchange by using the Electronic Reporting Tool (ERT) for test methods that are 

compatible with ERT. This new requirement to submit the data to the ERT is in addition to the 

other existing submission requirements for this data.

(ii) Respondent Activities. The respondent activities that will be required by the final

amendments to the Secondary Lead Smelting NESHAP are identified in Tables 1-3 of 

Attachment 1 and are introduced in section 6(a).

EPA is including an estimate of the burden associated with performing an affirmative 

defense. EPA is providing this as an illustrative example of the potential additional 

administrative burden a source may incur to assert in an affirmative defense in response to an 

action to enforce the standards set forth in the applicable subpart. 
6

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

Duty to Minimize Emissions clause under 63.6(e)(1)(i), which states: “At all times, the owner 

and operator must operate and maintain any affected source, including associated air pollution 

control equipment and monitoring equipment, in a manner consistent with safety and good air 

pollution control practices for minimizing emissions. Determining whether such operation and 

maintenance procedures are being used will be based on information available to the 

Administrator which may include, but is not limited to, monitoring results, review of operation 

and maintenance procedures, review of operation and maintenance records, and inspection of the 

source.” 

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

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

administrative adjustment to this ICR that estimates the costs of the notification, recordkeeping 

and reporting requirements associated with the assertion of the affirmative defense. EPA’s 

estimate for the required notification, reports and records, including the root cause analysis, 

associated with a single incident totals approximately $3,141 and is based on the time and effort 

required of a source to review relevant data, interview plant employees, and document the events 

surrounding a malfunction that has caused an exceedance of an emission limit. The estimate also 

includes time to produce and retain the records and reports for submission to EPA. EPA 

provides this illustrative estimate of this burden because these costs are only incurred if there has 

been a violation and a source chooses to take advantage of the affirmative defense. 

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

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

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

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

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

more than 2 or 3 such occurrences for all sources within a given category over the 3-year period 

covered by this ICR. For the purpose of this estimate, we are adding two instances of affirmative 

defense. We expect to gather information on such events in the future and will revise this 

estimate as better information becomes available. 

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

Information Management

(a) Agency Activities.

The Agency activities associated with the final amendments to the Secondary Lead 

Smelting NESHAP are provided in Tables 5-7 of Attachment 1 and are introduced in section 

6(c).
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(b) Collection Methodology and Management.

Data and records maintained by the respondents are tabulated and published for use in 

compliance and enforcement programs of the delegated permitting authority. EPA is the 

permitting authority until the State agency is delegated authority to implement the final 

amendments to the rule. Therefore, information contained in any report submitted to the 

Regional Administrator will be entered into the Air Facility System (AFS), which is operated 

and maintained by EPA’s Office of Compliance. AFS is EPA’s database for the collection, 

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

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

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

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

(c) Small Entity Flexibility.

The Small Business Administration defines a small entity engaging in secondary lead 

smelting operations as a firm having no more than 700 employees. 13 of the 16 facilities subject 

to the final amendments for the Secondary Lead Smelting source category do not meet the 

definition of a small entity. Three facilities are owned by small entities. Gopher Resources 

owns two facilities, and The Battery Recycling Company owns one facility. Based on the 

definition, however, we estimate that the economic impacts to these entities will not be 

significant. One Gopher Resources facility is already relatively well controlled and therefore 

will not need to spend a significant amount of capital on new control devices. The second 

Gopher Resources facility is currently undergoing an expansion that includes upgrades to their 

control devices and total enclosures and will therefore also not need to spend a significant 

amount of capital on new control devices. The third facility owned by The Battery Recycling 

Company will require some facility upgrades. However, the estimated construction and operating 

costs for these upgrades have not been determined to be significant based on guidelines 

developed for the analysis. Therefore, we have determined that these amendments will not 

impose a significant impact on a substantial number of small entities. 

(d) Collection Schedule.

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

shown in Tables 1-3 of Attachment 1 for the Secondary Lead Smelting category.

6. Estimating the Burden and Cost of the Collection

(a) Estimating Respondent Burden.

The annual burden estimates for the final amendments to the Secondary Lead Smelting 

NESHAP are shown in Tables 1-3 of Attachment 1. These numbers were derived from estimates 
8

based on EPA’s experience with other standards. Burden estimates for the one new source are 

included in the estimate. 

(b) Estimating Respondent Costs.

(i) Estimating Labor Costs. 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 associated with Nonferrous Metal Production and Processing were 

taken from the United States Department of Labor, Bureau of Labor Statistics, Occupational 

Employment Statistics available at http://bls.gov/oes/current/naics4_331400.htm#43-0000. 

Wages for technical labor are based on "Environmental Engineer," with a total compensation of 

$38.10/hour. Wages for management labor are taken from "Engineering Managers," with a total 

compensation of $50.65/hour. Wages for clerical labor are based on "Secretaries, Except Legal, 

Medical, and Executive," with a total compensation of $15.98/hour. These rates represent 

salaries plus fringe benefits and 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 $80.01/hour, management at $106.37/hour, and 

clerical at $33.56/hour.

(ii) Estimating Capital and Operations and Maintenance (O&M) Costs. The capital 

costs associated with the NESHAP including monitoring system initial costs; one-time costs 

when a facility becomes subject to the regulation. The annual operation and maintenance costs 

are the ongoing costs to maintain the monitors and conducting stack testing. 

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

capital and O&M costs for the affected units for the first 3 years after promulgation are provided. 

For the 16 facilities, the total capital costs are $106,000. The total annualized capital and O&M 

costs are $1.33 million for an average of $440,000 per year. 

(iv) Affirmative Defense, Root Cause Analysis, and Malfunction Costs. EPA’s estimate 

for an affirmative defense and root cause analysis is based on general experience to calculate the 

time and effort required of a source to review relevant data, interview plant employees, and 

reconstruct the events prior to a malfunction in order to determine primary and contributing 

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

so that the source will have it available should EPA or state enforcement agencies ever request to 

review it. 

(c) Estimating Agency Burden and Cost.

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

information. EPA’s overall compliance and enforcement program includes activities such as the 
9

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

emission, and the publication and distribution of collected information.

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

$52,000.

The Agency labor rates are from the Office of Personnel Management (OPM) 2010 

General Schedule, which excludes locality rates of pay. These rates can be obtained from Salary

Table 2010-GS available on the OPM website, http://www.opm.gov/oca/10tables/pdf/gs_h.pdf. 

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 were increased by 60 percent to include fringe benefits and overhead. 

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

There are 16 facilities that are subject to the revised Secondary Lead Smelting NESHAP. 

One new source is expected to begin operation in the first year of the 3-year compliance period.

Over the 3-year period, it is estimated that these 16 facilities will have 114 responses for an 

average of 38 per year. 

(e) Bottom Line Burden Hours and Cost Tables.

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

Tables 1-3 of Attachment 1 are calculated by adding person-hours per year down each column 

for technical, managerial, and clerical staff, and by adding down the cost column. The average 

annual burden for the recordkeeping and reporting requirements in the final amendments to 

subpart X for the 16 facilities that are subject to the Secondary Lead Smelting NESHAP is 

$790,000. This includes 4,500 annual labor hours. 

(ii) The Agency tally. The average annual Federal Government cost is $52,000 for 1,150 

hours for the final amendments to subpart X. The bottom line Agency burden hours and costs 

presented in Tables 5-7 of Attachment 1 are calculated by adding person-hours per year down 

each column for technical, managerial, and clerical staff, and by adding down the cost column. 

(iii) Variations in the annual bottom line. The total respondent costs for years 1, 2, and 3 

are $1.17 million, 0.75 million, and $0.45 million, respectively. The corresponding total 

respondent hours for years 1, 2, and 3 are 5,600, 4,100, and 3,800, respectively. 

(f) Reasons for Change in Burden.

This section does not apply because this is a new ICR.
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(g) Burden Statement

The average annual respondent burden for the final amendments to the Secondary Lead 

Smelting NESHAP is estimated at 100 hours per facility.

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 Office of Management and Budget 

(OMB) control number. The OMB control numbers for EPA’s regulations in 40 CFR part 63 are 

listed in 40 CFR part 9.

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

burden estimates, and for any suggestions for minimizing respondent burden, including through 

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

under Docket ID No. EPA-HQ-OAR-2011-0344, which is available for online viewing at 

http://www.regulations.gov, or in person viewing at the Air and Radiation Docket and 

Information Center in the EPA Docket Center (EPA/DC), EPA West, Room B-102, 1301 

Constitution Ave., NW, Washington, DC. The EPA Docket Center Public Reading Room is 

open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The 

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

Air Docket is (202) 566-1927. An electronic version of the public docket is available at 

http://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 Officer for EPA. Please include the relevant Docket ID Number 

(EPA-HQ-OAR-2011-0344) in any correspondence.
11

PART B

This section is not applicable because statistical methods are not used in data collection 

associated with the final rule.
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ATTACHMENT 1

Burden Estimate Tables 1 – 8

Tables 1 – 3: Annual Respondent Burden and Cost of Recordkeeping and Reporting 

Requirements for the Secondary Lead Smelters NESHAP - Years 1 – 3

Table 4: Summary of Annual Respondent Burden and Cost of Recordkeeping and 

Reporting Requirements for the Secondary Lead Smelters NESHAP

Tables 5 – 7: Annual Designated Administrator Burden and Cost of Recordkeeping and 

Reporting Requirements for the Secondary Lead Smelters NESHAP - Years 1 - 3 

Table 8: Summary of Annual Designated Administrator Burden and Cost of 

Recordkeeping and Reporting Requirements for the Secondary Lead Smelters 

NESHAP
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Table 1 - Annual Respondent Burden and Cost of Recordkeeping and Reporting Requirements for the 

Secondary Lead Smelters NESHAP - Year 1

Burden Item

(A)

Respondent 

Hours per 

Occurrence 

(Technical 

hours)

(B) 

Stack 

Testing 

Cost Per 

Occurrenc

e

(C) 

Other NonLabor 

Costs Per 

Occurrenc

e

(D) 

Number of 

Occurrence

s Per 

Respondent 

Per Year

(E)

Technical 

Hours per 

Responden

t Per Year

(A X D)

(F)

Number of 

Respondent

s Per Year

(G) 

Technica

l Hours 

per Year 

(E X F)

(H) 

Clerical 

Hours 

per 

Year

(G X 

0.1)

(I)

Managemen

t Hours per 

Year

(G X .05)

(J)

Total 

Labor 

Costs Per 

Year

(K)

Total NonLabor Costs 

Per Year 

[(B+C)xDxF]

(L)

Total 

Number 

of 

Response

s per Year

(D X F)

Footnotes

1. 

Applications NA

2. Surveys and 

Studies NA

3. Reporting 

Requirements

A. Read Rule 20 $0 $0 1 20 16 320 32 16 $28,379 $0 0

B. Required 

Activities

1. THC testing 10 $4,700 $0 1 10 34 340 34 17 $30,153 $159,800 0

2. 

Dioxin/Furan 

testing 10 $19,300 $0 1 10 23 230 23 12 $20,397 $443,900 0

3. Lead testing 10 $10,000 $0 1 10 0 0 0 0 $0 $0 0

4. Differential 

pressure 

monitor 2 $0 $2,300 1 2 46 92 9 5 $8,159 $105,800 0

5. Differential 

pressure 

monitor 

(annual O&M) 2 $0 $230 1 2 46 92 9 5 $8,159 $10,580 0

6. Inspection 

and repair 

enclosure 24 $0 $0 1 24 16 384 38 19 $34,055 $0 0

7. Inspect 

battery 

storage areas 24 $0 $0 1 24 16 384 38 19 $34,055 $0 0

C. Create 

Information Inc. in 3B

D. Gather 

Information Inc. in 3E

E. Report 

Preparation

1. Annual 

report 10 $0 $0 1 10 16 160 16 8 $14,189 $0 16
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Table 1 - Annual Respondent Burden and Cost of Recordkeeping and Reporting Requirements for the 

Secondary Lead Smelters NESHAP - Year 1

Burden Item

(A)

Respondent 

Hours per 

Occurrence 

(Technical 

hours)

(B) 

Stack 

Testing 

Cost Per 

Occurrenc

e

(C) 

Other NonLabor 

Costs Per 

Occurrenc

e

(D) 

Number of 

Occurrence

s Per 

Respondent 

Per Year

(E)

Technical 

Hours per 

Responden

t Per Year

(A X D)

(F)

Number of 

Respondent

s Per Year

(G) 

Technica

l Hours 

per Year 

(E X F)

(H) 

Clerical 

Hours 

per 

Year

(G X 

0.1)

(I)

Managemen

t Hours per 

Year

(G X .05)

(J)

Total 

Labor 

Costs Per 

Year

(K)

Total NonLabor Costs 

Per Year 

[(B+C)xDxF]

(L)

Total 

Number 

of 

Response

s per Year

(D X F)

Footnotes

2. Differential 

pressure 

monitoring 

report 10 $0 $0 1 10 16 160 16 8 $14,189 $0 16

3. Develop 

SOP for work 

practices 40 $0 $0 1 40 16 640 64 32 $56,758 $0 16

4. Affirmative 

defense 30 $0 $0 1 30 1 30 3 2 $3,141 $0 1

Reporting 

Subtotal 2802 280 140 $251,634 $720,080 48

4. 

Recordkeeping 

Requirements

A. Read 

Instructions Inc. in 3A

B. Implements 

Activities NA

C. Develop 

Record System NA

D. Record 

information

1. Records of 

fugitives 1 $0 $0 12 14 16 224 22 11 $19,865 $0 0

2. Records of 

flow weighted 

average for 

lead standard 1 $0 $0 1 1 16 16 2 1 $1,419 $0 0

3. Records of 

continuous 

pressure 

monitors 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

4. Records of 

power outages 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

5. Records of 

facility 

enclosure 

inspections 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0
15

Table 1 - Annual Respondent Burden and Cost of Recordkeeping and Reporting Requirements for the 

Secondary Lead Smelters NESHAP - Year 1

Burden Item

(A)

Respondent 

Hours per 

Occurrence 

(Technical 

hours)

(B) 

Stack 

Testing 

Cost Per 

Occurrenc

e

(C) 

Other NonLabor 

Costs Per 

Occurrenc

e

(D) 

Number of 

Occurrence

s Per 

Respondent 

Per Year

(E)

Technical 

Hours per 

Responden

t Per Year

(A X D)

(F)

Number of 

Respondent

s Per Year

(G) 

Technica

l Hours 

per Year 

(E X F)

(H) 

Clerical 

Hours 

per 

Year

(G X 

0.1)

(I)

Managemen

t Hours per 

Year

(G X .05)

(J)

Total 

Labor 

Costs Per 

Year

(K)

Total NonLabor Costs 

Per Year 

[(B+C)xDxF]

(L)

Total 

Number 

of 

Response

s per Year

(D X F)

Footnotes

6. Records of 

startup and 

shutdown 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

7. Records of 

malfunctions 2 $0 $0 6 12 16 192 19 10 $17,027 $0 0

8. Records of 

actions taken 

during 

malfunctions 1 $0 $0 6 6 16 96 10 5 $8,514 $0 0

9. Records for 

BLDS 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

10. Records of 

furnace 

inspection 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

11. Records of 

recovery of 

plastic battery 

casing material 1 $0 $0 6 6 16 96 10 5 $8,514 $0 0

E. Personnel 

Training 20 $0 $0 1 20 16 320 32 16 $28,379 $0 0

F. Time for 

Audits NA

Recordkeeping 

Subtotal 2096 210 105 $185,880 $0 0

TOTAL 4898 490 245 $437,514 $720,080 48

Summary of Respondent Burden

Total 

Hours Labor NonLabor Total

5,633 $437,514 $720,08

0

$1,157,59

4

Initial Capital and Startup $105,80

0

Annualized Capital/Start-up 

and O & M

$720,08

0
16

Table 2 - Annual Respondent Burden and Cost of Recordkeeping and Reporting Requirements for the Secondary 

Lead Smelters NESHAP - Year 2

Burden Item

(A)

Respondent 

Hours per 

Occurrence 

(Technical 

hours)

(B) 

Stack 

Testing 

Cost Per 

Occurrence

(C) 

Other NonLabor 

Costs Per 

Occurrence

(D) 

Number of 

Occurrences 

Per 

Respondent 

Per Year

(E)

Technical 

Hours per 

Respondent 

Per Year

(A X D)

(F)

Number of 

Respondents 

Per Year

(G) 

Technical 

Hours 

per Year 

(E X F)

(H) 

Clerical 

Hours 

per 

Year

(G X 

0.1)

(I)

Management 

Hours per 

Year

(G X .05)

(J)

Total 

Labor 

Costs Per 

Year

(K)

Total NonLabor Costs 

Per Year 

[(B+C)xDxF]

(L)

Total 

Number 

of 

Responses 

per Year

(D X F)

Footnotes

1. Applications NA

2. Surveys and 

Studies NA

3. Reporting 

Requirements

A. Read Rule 20 $0 $0 1 20 0 0 0 0 $0 $0 0

B. Required Activities

1. THC testing 10 $4,700 $0 1 10 34 340 34 17 $30,153 $159,800 0

2. Dioxin/Furan 

testing 10 $19,300 $0 1 10 0 0 0 0 $0 $0 0

3. Lead testing 10 $10,000 $0 1 10 26 260 26 13 $23,058 $260,000 0

4. Differential 

pressure monitor 2 $0 $2,300 1 2 0 0 0 0 $0 $0 0

5. Differential 

pressure monitor 

(annual O&M) 2 $0 $230 1 2 46 92 9 5 $8,159 $10,580 0

6. Inspection and 

repair enclosure 20 $0 $0 1 24 16 384 38 19 $34,055 $0 0

7. Inspect battery 

storage areas 20 $0 $0 1 24 16 384 38 19 $34,055 $0 0

C. Create 

Information Inc. in 3B

D. Gather 

Information Inc. in 3E

E. Report 

Preparation

1. Annual report 10 $0 $0 1 10 16 160 16 8 $14,189 $0 16

2. Differential 

pressure monitoring 

report 10 $0 $0 1 10 16 160 16 8 $14,189 $0 16

3. Develop SOP for 

work practices 40 $0 $0 1 40 0 0 0 0 $0 $0 0

4. Affirmative 

defense 30 $0 $0 1 30 1 30 3 2 $3,141 $0 1

Reporting Subtotal 1810 181 91 $160,999 $430,380 33
17

Table 2 - Annual Respondent Burden and Cost of Recordkeeping and Reporting Requirements for the Secondary 

Lead Smelters NESHAP - Year 2

Burden Item

(A)

Respondent 

Hours per 

Occurrence 

(Technical 

hours)

(B) 

Stack 

Testing 

Cost Per 

Occurrence

(C) 

Other NonLabor 

Costs Per 

Occurrence

(D) 

Number of 

Occurrences 

Per 

Respondent 

Per Year

(E)

Technical 

Hours per 

Respondent 

Per Year

(A X D)

(F)

Number of 

Respondents 

Per Year

(G) 

Technical 

Hours 

per Year 

(E X F)

(H) 

Clerical 

Hours 

per 

Year

(G X 

0.1)

(I)

Management 

Hours per 

Year

(G X .05)

(J)

Total 

Labor 

Costs Per 

Year

(K)

Total NonLabor Costs 

Per Year 

[(B+C)xDxF]

(L)

Total 

Number 

of 

Responses 

per Year

(D X F)

Footnotes

4. Recordkeeping 

Requirements

A. Read Instructions Inc. in 3A

B. Implements 

Activities NA

C. Develop Record 

System NA

D. Record 

information

1. Records of 

fugitives 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

2. Records of flow 

weighted average for 

lead standard 1 $0 $0 1 1 16 16 2 1 $1,419 $0 0

3. Records of 

continuous pressure 

monitors 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

4. Records of power 

outages 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

5. Records of facility 

enclosure inspections 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

6. Records of startup 

and shutdown 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

7. Records of 

malfunctions 2 $0 $0 6 12 16 192 19 10 $17,027 $0 0

8. Records of actions 

taken during 

malfunctions 1 $0 $0 6 6 16 96 10 5 $8,514 $0 0

9. Records for BLDS 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

10. Records of 

furnace inspection 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

11. Records of 

recovery of plastic 

battery casing 

material 1 $0 $0 6 6 16 96 10 5 $8,514 $0 0

E. Personnel Training 8 $0 $0 1 8 0 0 0 0 $0 $0 0
18

Table 2 - Annual Respondent Burden and Cost of Recordkeeping and Reporting Requirements for the Secondary 

Lead Smelters NESHAP - Year 2

Burden Item

(A)

Respondent 

Hours per 

Occurrence 

(Technical 

hours)

(B) 

Stack 

Testing 

Cost Per 

Occurrence

(C) 

Other NonLabor 

Costs Per 

Occurrence

(D) 

Number of 

Occurrences 

Per 

Respondent 

Per Year

(E)

Technical 

Hours per 

Respondent 

Per Year

(A X D)

(F)

Number of 

Respondents 

Per Year

(G) 

Technical 

Hours 

per Year 

(E X F)

(H) 

Clerical 

Hours 

per 

Year

(G X 

0.1)

(I)

Management 

Hours per 

Year

(G X .05)

(J)

Total 

Labor 

Costs Per 

Year

(K)

Total NonLabor Costs 

Per Year 

[(B+C)xDxF]

(L)

Total 

Number 

of 

Responses 

per Year

(D X F)

Footnotes

F. Time for Audits NA

Recordkeeping 

Subtotal 1744 174 87 $154,663 $0 0

TOTAL 3554 355 178 $315,662 $430,380 33

Total 

Hours Labor NonLabor Total

Summary of Respondent Burden 4,087 $315,662 $430,380 $746,042

Initial Capital and Startup $0

Annualized Capital/Start-up and O & 

M

$430,380
19

Table 3 - Annual Respondent Burden and Cost of Recordkeeping and Reporting Requirements for the Secondary Lead 

Smelters NESHAP - Year 3

Burden Item

(A)

Respondent 

Hours per 

Occurrence 

(Technical 

hours)

(B) 

Stack 

Testing 

Cost 

Per 

Occurre

nce

(C) 

Other 

NonLabor 

Costs 

Per 

Occurre

nce

(D) 

Number 

of 

Occurre

nces Per 

Respond

ent Per 

Year

(E)

Technic

al Hours 

per 

Respon

dent Per 

Year

(A X D)

(F)

Number 

of 

Respond

ents Per 

Year

(G) 

Techni

cal 

Hours 

per 

Year 

(E X F)

(H) 

Clerical 

Hours 

per Year

(G X 0.1)

(I)

Managem

ent Hours 

per Year

(G X .05)

(J)

Total Labor 

Costs Per 

Year

(K)

Total 

NonLabor 

Costs Per 

Year 

[(B+C)xD

xF]

(L)

Total 

Numb

er of 

Respo

nses 

per 

Year

(D X F)

Footnotes

1. Applications NA

2. Surveys and Studies NA

3. Reporting Requirements

A. Read Rule 20 $0 $0 1 20 0 0 0 0 $0 $0 0

B. Required Activities

1. THC testing 10 $4,700 $0 1 10 34 340 34 17 $30,153 $159,800 0

2. Dioxin/Furan testing 10 $19,300 $0 1 10 0 0 0 0 $0 $0 0

3. Lead testing 10 $10,000 $0 1 10 0 0 0 0 $0 $0 0

4. Differential pressure monitor 2 $0 $2,300 1 2 0 0 0 0 $0 $0 0

5. Differential pressure monitor 

(annual O&M) 2 $0 $230 1 2 46 92 9 5 $8,159 $10,580 0

6. Inspection and repair enclosure 20 $0 $0 1 24 16 384 38 19 $34,055 $0 0

7. Inspect battery storage areas 20 $0 $0 1 24 16 384 38 19 $34,055 $0 0

8. HEPA filter monitor

Initial capital 2 $0 $32,759 1 2 0 0 0 0 $0 $0 0

Annual (O&M) 2 $0 $4,665 1 2 0 0 0 0 $0 $0 0

C. Create Information Inc. in 3B

D. Gather Information Inc. in 3E

E. Report Preparation

1. Annual report 10 $0 $0 1 10 16 160 16 8 $14,189 $0 16

2. Differential pressure monitoring 

report 10 $0 $0 1 10 16 160 16 8 $14,189 $0 16

3. Develop SOP for work practices 40 $0 $0 1 40 0 0 0 0 $0 $0 0

4. Affirmative defense 30 $0 $0 1 30 1 30 3 2 $3,141 $0 1

Reporting Subtotal 1550 155 78 $137,941 $170,380 33

4. Recordkeeping Requirements

A. Read Instructions Inc. in 3A

B. Implements Activities NA
20

Table 3 - Annual Respondent Burden and Cost of Recordkeeping and Reporting Requirements for the Secondary Lead 

Smelters NESHAP - Year 3

Burden Item

(A)

Respondent 

Hours per 

Occurrence 

(Technical 

hours)

(B) 

Stack 

Testing 

Cost 

Per 

Occurre

nce

(C) 

Other 

NonLabor 

Costs 

Per 

Occurre

nce

(D) 

Number 

of 

Occurre

nces Per 

Respond

ent Per 

Year

(E)

Technic

al Hours 

per 

Respon

dent Per 

Year

(A X D)

(F)

Number 

of 

Respond

ents Per 

Year

(G) 

Techni

cal 

Hours 

per 

Year 

(E X F)

(H) 

Clerical 

Hours 

per Year

(G X 0.1)

(I)

Managem

ent Hours 

per Year

(G X .05)

(J)

Total Labor 

Costs Per 

Year

(K)

Total 

NonLabor 

Costs Per 

Year 

[(B+C)xD

xF]

(L)

Total 

Numb

er of 

Respo

nses 

per 

Year

(D X F)

Footnotes

C. Develop Record System NA

D. Record information

1. Records of fugitives 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

2. Records of flow weighted 

average for lead standard 1 $0 $0 1 1 16 16 2 1 $1,419 $0 0

3. Records of continuous pressure 

monitors 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

4. Records of power outages 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

5. Records of facility enclosure 

inspections 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

6. Records of startup and shutdown 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

7. Records of malfunctions 2 $0 $0 6 12 16 192 19 10 $17,027 $0 0

8. Records of actions taken during 

malfunctions 1 $0 $0 6 6 16 96 10 5 $8,514 $0 0

9. Records for BLDS 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

10. Records of furnace inspection 1 $0 $0 12 12 16 192 19 10 $17,027 $0 0

11. Records of recovery of plastic 

battery casing material 1 $0 $0 6 6 16 96 10 5 $8,514 $0 0

E. Personnel Training 8 $0 $0 1 8 0 0 0 0 $0 $0 0

F. Time for Audits NA

Recordkeeping Subtotal 1744 174 87 $154,663 $0 0

TOTAL 3294 329 165 $292,604 $170,380 33

Total 

Hours Labor Non-Labor Total

Summary of Respondent Burden 3,788 $292,604 $170,380 $462,98

4

Initial Capital and Startup $0

Annualized Capital/Start-up and O & 

M

$170,380
21

Table 4 - Summary of Annual Respondent Burden and Cost of Recordkeeping and Reporting Requirements for 

the Secondary Lead Smelters NESHAP

Year

Technical 

Hours

Clerical 

Hours

Management 

Hours

Total 

Labor 

Hours Labor Costs

Non-Labor 

(Annualized 

Capital/Startup and 

O&M) Costs Total Costs

1 4,898 490 245 5,633 $437,514 $720,080 $1,157,594

2 3,554 355 178 4,087 $315,662 $430,380 $746,042

3 3,294 329 165 3,788 $292,604 $170,380 $462,984

Total 11,746 1,175 587 13,508 $1,045,780 $1,320,840 $2,366,620

Average 3,915 392 196 4,503 $348,593 $440,280 $788,873
22

Table 5 - Annual Designated Administrator Burden and Cost of Recordkeeping and Reporting Requirements for the 

Secondary Lead Smelters NESHAP - Year 1 

(A) (B) (C) (D) (E) (F)

Footnotes

Burden Item

Number of 

Occurrences 

Per Year

EPA Hours 

Per 

Occurrence

Tech 

Hours Per 

Year 

(C=AxB)

Management 

Hours Per Year 

(D=Cx0.05)

Clerical 

Hours 

Per Year 

(E=Cx0.1)

EPA

Cost 

Per 

Year 

(a,b)

1. Applications not applicable

2. Read and Understand Rule Requirements 20 40 800 40 80 $41,458 a

3. Required Activities

A. Observe stack tests 7 48 336 17 34 $17,412 b

B. Excess emissions -- Enforcement Activities 3 24 72 4 7 $3,731 c

C. Create Information not applicable

D. Gather Information not applicable

E. Report Reviews

1. Review work practice SOP 16 10 160 8 16 $8,292 

2. Review different presure monitoring report 16 3 48 2 5 $2,487 

3. Review annual compliance report 16 10 160 8 16 $8,292 d

F. Prepare annual summary report 1 64 64 3 6 $3,317 e

TOTAL

1640 82 164 $84,989 

FOOTNOTES

a Number of occurences is the number of states where affected sources will exist and each EPA Region (10 states + 10 EPA regions = 20 respondents).

b Assumes EPA personnel attend 20 percent of the stack tests.

c Assume 10 percent of the facilities will exceed emissions.

d Only hours to review new requirements.

e Using four hours per state to write annual summary report.
23

Table 6 - Annual Designated Administrator Burden and Cost of Recordkeeping and Reporting Requirements for the 

Secondary Lead Smelters NESHAP - Year 1 

(A) (B) (C) (D) (E) (F)

Footnotes

Burden Item

Number of 

Occurrences 

Per Year

EPA Hours 

Per 

Occurrence

Tech 

Hours Per 

Year 

(C=AxB)

Management 

Hours Per Year 

(D=Cx0.05)

Clerical 

Hours 

Per Year 

(E=Cx0.1)

EPA

Cost 

Per 

Year 

(a,b)

1. Applications not applicable

2. Read and Understand Rule Requirements 0 40 0 0 0 $0 a

3. Required Activities

A. Observe stack tests 7 48 336 17 34 $17,412 b

B. Excess emissions -- Enforcement Activities 3 24 72 4 7 $3,731 c

C. Create Information not applicable

D. Gather Information not applicable

E. Report Reviews

1. Review work practice SOP 0 10 0 0 0 $0 

2. Review different presure monitoring report 16 3 48 2 5 $2,487 

3. Review annual compliance report 16 10 160 8 16 $8,292 d

F. Prepare annual summary report 1 64 64 3 6 $3,317 e

TOTAL

680 34 68 $35,239 

FOOTNOTES

a Number of occurences is the number of states where affected sources will exist and each EPA Region (10 states + 10 EPA regions = 20 respondents).

b Assumes EPA personnel attend 20 percent of the stack tests.

c Assume 10 percent of the facilities will exceed emissions.

d Only hours to review new requirements.

e Using four hours per state to write annual summary report.
24

Table 7 - Annual Designated Administrator Burden and Cost of Recordkeeping and Reporting Requirements for the 

Secondary Lead Smelters NESHAP - Year 1 

(A) (B) (C) (D) (E) (F)

Footnotes

Burden Item

Number of 

Occurrences 

Per Year

EPA Hours 

Per 

Occurrence

Tech 

Hours Per 

Year 

(C=AxB)

Management 

Hours Per Year 

(D=Cx0.05)

Clerical 

Hours 

Per Year 

(E=Cx0.1)

EPA

Cost 

Per 

Year 

(a,b)

1. Applications not applicable

2. Read and Understand Rule Requirements 0 40 0 0 0 $0 a

3. Required Activities

A. Observe stack tests 7 48 336 17 34 $17,412 b

B. Excess emissions -- Enforcement Activities 3 24 72 4 7 $3,731 c

C. Create Information not applicable

D. Gather Information not applicable

E. Report Reviews

1. Review work practice SOP 0 10 0 0 0 $0 

2. Review different presure monitoring report 16 3 48 2 5 $2,487 

3. Review annual compliance report 16 10 160 8 16 $8,292 d

F. Prepare annual summary report 1 64 64 3 6 $3,317 e

TOTAL

680 34 68 $35,239 

FOOTNOTES

a Number of occurences is the number of states where affected sources will exist and each EPA Region (10 states + 10 EPA regions = 20 respondents).

b Assumes EPA personnel attend 20 percent of the stack tests.

c Assume 10 percent of the facilities will exceed emissions.

d Only hours to review new requirements.

e Using four hours per state to write annual summary report.
25

Table 8 - Summary of Annual Designated Administrator Burden and Cost of Recordkeeping and Reporting 

Requirements for the Secondary Lead Smelters NESHAP 

Year

Technical 

Hours Management Hours Clerical Hours Total Hours Labor Costs

Non-Labor 

Costs Total Costs

1 1,640 82 164 1,886 $84,989 $0 $84,989

2 680 34 68 782 $35,239 $0 $35,239

3 680 34 68 782 $35,239 $0 $35,239

Total 3,000 150 300 3,450 $155,467 $0 $155,467

Average 1,000 50 100 1,150 $51,822 $0 $51,822
26

ATTACHMENT 2. INFORMATION REQUIREMENTS----AMENDMENTS TO SECONDARY LEAD SMELTING

NESHAP

Requirement Citation for existing sources Citation for new sources General Provisions citation

Emission limits for vents §63.543 §63.543

Standards for Fugitive Emissions §63.545 §63.545

Monitoring §63.548 §63.548 N/A

Notifications §63.549 §63.549 63.9

Recordkeeping and reporting 

requirements

§63.550 §63.550

Reports of malfunctions that result in 

an exceedances of the standard for the 

purpose of affirmative defense

§63.552 §63.552

Records §63.541 §63.541 63.10

Reports §63.541 §63.541 63.10