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SUPPORTING STATEMENT

NATIONAL EMISSION STANDARDS FOR HAZARDOUS AIR POLLUTANTS 

EMISSIONS: PESTICIDE ACTIVE INGREDIENT PRODUCTION

PART A

1.0 Identification of the Information Collection

(a) Title and Number of the Information Collection.

This information collection request (ICR) is entitled “Amendments to Requirements for 

Sources regulated by the National Emission Standards for Hazardous Air Pollutants for Pesticide 

Active Ingredient Production.” The EPA tracking number is 1807.07. The Office of Management 

and Budget (OMB) number is 2060-0370.

(b) Short Characterization.

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

Active Ingredient Production were promulgated on June 23, 1999 at 40 CFR 63 Subpart MMM 

(64 FR 33550). This standard applies to all owners and operators of new and existing facilities 

engaged in the production of pesticide active ingredients that emit hazardous air pollutants 

(HAP). 

Owners or operators of a pesticide active ingredient production facility to which this 

regulation applies, must choose one of the compliance options described in the rule or install and 

monitor a specific control system that reduces HAP emissions to the compliance level. The 

respondents are subject to sections of subpart A of 40 CFR part 63 relating to NESHAP. These 

requirements include: those associated with the applicability determination; the notification that 

the facility is subject to the rule; the notification of testing (control device performance test and 

continuous monitoring system (CMS) performance evaluation); the results of performance 

testing and CMS performance evaluations; startup, shutdown, and malfunction report; 

semiannual or quarterly summary reports and/or excess emissions and CMS performance reports. 

In addition to the requirements of subpart A, many respondents are required to submit a pre 

compliance plan and leak detention and repair (LDAR) reports; and plants that wish to 

implement emissions averaging provisions must submit an emission averaging plan. 
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Respondents electing to comply with the emission limit or emission reduction 

requirements for process vents, storage tanks, or wastewater must record the values of equipment 

operating parameters as specified in Section 63.1367 of the rule. Owners or operators are 

required to install, operate, and maintain a continuous monitoring system. 

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

measurements, and retain the file for at least three 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 United States Environmental Protection Agency regional office.

Owners or operators of pesticide active ingredient (PAI) production facilities subject to 

the rule must maintain a copy of all monitored equipment operating parameter values that 

demonstrate compliance with the standards. Those records must be maintained for a minimum of 

five years. 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 United States Environmental 

Protection Agency (EPA) regional office. The information is used to determine whether or not 

all sources subject to the NESHAP are achieving the standards.

This ICR includes information collection requirements in the final rulemaking that amend 

title 40, chapter I, part 63 of the Code of Federal Regulations (CFR) Subpart MMM NESHAP 

for Pesticide Active Ingredient Production. The final amendments prohibit the discharge to the 

atmosphere from any pressure relief device (PRD) on any equipment in HAP service within the 

process units for the PAI source category. To ensure compliance with this requirement, facility 

owners or operators are required to monitor each PRD in a way that would be able to identify 

and record the time and duration of each pressure release and notify operators that a pressure 

release is occurring. Information related to these new provisions is required to be submitted in 

the semi-annual reports required by the existing Pesticide Active Ingredient NESHAP. The final 

amendments also add provisions for facility owners or operators to use if they wish to assert an 

affirmative defense to avoid civil penalties for exceedances of the applicable standards that are 

caused by a malfunction. If these provisions are used, the owner or operator is required to meet 

certain criteria during the malfunction, notify the Administrator of malfunctions that may cause 
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an exceedance of the emissions standards, and submit a report for the malfunction to the 

Administrator, to include a root cause analysis of the malfunction, within certain timeframes.

There are 18 existing facilities subject to the major source provisions specified under 

subpart MMM. No new major sources are projected during the 3-year period of this ICR.

The 18 pesticide active ingredient production facilities in the United States are all 

privately owned and operated by for-profit businesses. You can find the burden to the “Affected 

Public” listed below in Table 1: Annual Respondent Burden and Cost - NESHAP for Pesticide 

Active Ingredient Production (40 CFR part 63, subpart MMM). The Federal government burden 

does not include work performed by Federal employees. The burden refers only to work 

performed by contractors, which could be found listed below in Table 2: Average Annual EPA 

Burden - NESHAP for Pesticide Active Ingredient Production (40 CFR part 63, subpart MMM). 

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

without any “Terms of Clearance.”

2. Need For and Use of the Collection

(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 (HAP). These standards are applicable to new or existing sources of 

HAP 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 
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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 Pesticide Active Ingredient 

production cause or contribute to air pollution that may reasonably be anticipated to endanger 

public health or welfare. Therefore, the NESHAP was promulgated for this source category at 40 

CFR part 63, subpart MMM.

(b) Use/Users of the Data.

The recordkeeping and reporting requirements in the standard ensure compliance with the 

applicable regulations in accordance with the Clean Air Act. The collected information is also 

used for targeting inspections and as evidence in legal proceedings.

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

capability to comply with the emission 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 information collection specified in this ICR will also be used by the delegated 

authority to determine if a source meets the criteria for affirmative defense. If a source meets the 

affirmative defense criteria, they may be excused from civil penalties for exceedances of an 

emission limit.

3. Nonduplication, Consultations, and Other Collection Criteria
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(a) Nonduplication.

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 their own similar standards to implement 

the Federal standards, a copy of the report submitted to the state or local agency can be sent to 

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

duplication exists.

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

This ICR is related to amendments to the Pesticide Active Ingredient NESHAP. 

Comments were solicited on the proposal package and the proposed ICR. No comments were 

received.

(c) Consultations. 

Upon review of the standard, information available and the data, the Agency has 

determined the recordkeeping and reporting requirements in the “Active” ICR is fully supported 

and necessary to fulfill the requirements of the Clean Air Act (CAA). It has been determined that 

no further consultations with industry are necessary to calculate the burden associated with the 

amendments to the Pesticide Active Ingredient NESHAP. 

(d) Effects of Less Frequent Collection.

Less frequent information collection would decrease the margin of assurance that 

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

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

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

collected less frequently, the proper operation and maintenance of control equipment and the 

possibility of detecting violations would be less likely.
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(e) General Guidelines.

None of these reporting or recordkeeping requirements violate any of the regulations 

established by OMB at 5 CFR part 1320, section 1320.5. These standards require the respondents 

to maintain all records, including reports and notifications for at least five years. This is 

consistent with the General Provisions as applied to the standards. The EPA believes that the 

five-year records retention requirement is consistent with the Part 70 permit program and the 

five-year statute of limitations on which the permit program is based. The retention of records for 

five years allows the EPA to establish the compliance history of a source, any pattern of noncompliance and to determine the appropriate level of enforcement action. The EPA has found 

that the most flagrant violators have violations extending beyond the five years. In addition, the 

EPA would be prevented from pursuing the violators due to the destruction or nonexistence of 

essential records.

(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 MMM are owners or operators of any existing or 

new Pesticide Active Ingredient manufacturing facility that is a major source of HAP emissions, 

including any facilities who may wish to make use of the new affirmative defense provisions to 

avoid civil penalties resulting from the exceedance of an emission limit. The source category and 

affected sources regulated by the Pesticide Active Ingredient NESHAP are classified under the 
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North American Industrial Classification System (NAICS) code 325320, for Pesticide and Other 

Agricultural Chemical Manufacturing.

The Pesticide Active Ingredient source category is estimated to consist of 18 existing 

facilities nationwide, all of which are major sources and would be subject to the major source 

provisions specified under the Pesticide Active Ingredient NESHAP. All 18 existing facilities

could make use of the new affirmative defense provisions added to the rule. No new major 

sources are projected during the 3-year period of this ICR. 

(b) Information Requested.

(i) Data Items, Including Recordkeeping Requirements. In this ICR, all the data 

recorded or reported is required by National Emission Standards for Hazardous Air Pollutants for 

Pesticide Active Ingredient Production (40 CFR Part 63, Subpart MMM).

A source must make the following reports:

Notification Reports

Request for approval to use alternative monitoring parameters 63.8(f), 63.1366(b)(4), 

and 63.1368(e)(1)

Periodic reports of excess emissions and noncompliance 63.10(e)(3), 63.1368(g)

Notification of process change 63.1368(h)

Reports

Equipment leaks reports 63.1363(h), 63.1368(j)

Emissions averaging reports 63.1368(k)

Heat exchange systems 63.1368(l)

PRD requirements in periodic reports 63.1363(h)(4)

Reports and notifications of malfunctions that result in an 

exceedance of the standard for the purpose of affirmative defense §63.1360(k)

A source must keep the following records:
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Recordkeeping

Control device operating parameters to monitor and record

63.1366(b)(1), 

63.1367(b)(1), and 

63.1367(b)(5)

Monitoring and records for process vent annual emission limits 

standard

63.10(c), 63.1366(b)(5), 

63.1367(a)(4), 

63.1367(b)(3)

Monitoring and records for process vent annual emission limits 

standard

63.1366(c), 

63.1367(b)(4)

Monitor and records for equipment leaks 63.1366(d), 63.1367(c)

Monitoring and records for heat exchanger systems 63.1362(f), 63.1366(e), 

and 63.1367(e)

Monitoring and records for pollution prevention 63.1366(f), 

63.1367(b)(2)

Monitoring and records for emission averaging 63.1366(g), 63.1367(d)

Records for process operating parameters 63.1367(b)(6), 

63.1367(b)(7)

Records for vapor collection systems and closed-vent systems 63.1367(f)

Electronic Reporting

Some of the respondents are using monitoring equipment that automatically records 

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

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

a plant site.

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

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

used. At this time, it is estimated that approximately 20 percent of the respondents use electronic 

reporting.

(ii) Respondent Activities. 

Respondent Activities

Read instructions
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Perform initial performance test and repeat performance tests if necessary.

Write the notifications and reports listed in Table 1

Enter information required to be recorded in Table 1.

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

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

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

processing and maintaining information.

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

disclosing and providing information.

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

requirements.

Transmit, or otherwise disclose the information.

(iii) Summary of the final amendments. The final amendments to the Pesticide Active 

Ingredient NESHAP require that facilities report any pressure device releases with the next 

periodic report required by the existing Pesticide Active Ingredient NESHAP. Facility owners or 

operators are required to monitor each PRD in organic HAP service that releases to the 

atmosphere to identify and record the time and duration of each pressure release. For affirmative 

defense, the primary data item required is a written report which proves that all the criteria for 

asserting an affirmative defense have been met. The owner or operator may submit this report 

(which is to include a root cause analysis of the reported violation) in the first periodic 

compliance report, deviation report or excess emissions report otherwise required after the initial 

occurrence of the exceedance of the relevant standard. However, if such report is due less than 

45 days after the exceedance, the affirmative defense report may be included in the next such 

required report.

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

estimate of the burden associated with performing an affirmative defense. The 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. 

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 
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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, the 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. The EPA’s 

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

associated with a single incident totals approximately $2,375 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 the EPA. The 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 (2) 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
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(a) Agency Activities.

The EPA conducts one or more of the activities provided in Table 2 (attached) in 

connection with the acquisition, analysis, storage, and distribution of the required information. 

These tables are introduced in Section 6(c) of this ICR.

(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. The semiannual 

reports are used for problem identification, as a check on source operation and maintenance, and 

for compliance determinations. The required report for facilities who wish to avail themselves of 

the affirmative defense will be used by the delegated authority to determine if a source meets the 

criteria for affirmative defense. If a source meets the criteria for affirmative defense, they may be 

excused from civil penalties for exceedances of an emission limit.

The EPA is the permitting authority until the state agency is delegated authority to 

implement the rule. Therefore, information contained in the reports submitted to the Regional 

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

maintained by the EPA’s Office of Compliance. The AFS is the 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 AFS 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.

(c) Small Entity Flexibility.

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

the impact on the one small entity (i.e., small business) in this source category was taken into 

consideration during development of the amendments. Due to the type of monitoring equipment 

to be used, the recordkeeping and reporting requirements are the same for both small and large 

entities. The Agency considers these requirements the minimum needed to ensure compliance 

and, therefore, cannot reduce them further for small entities. 

(d) Collection Schedule.
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The specific frequency for each information collection activity within this request is 

shown in Table 1: Annual Respondent Burden for NESHAP for Pesticide Active Ingredient 

Production (40 CFR part 63, subpart MMM).

6. Estimating the Burden and Cost of the Collection

(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 12,088 (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 

approved ICR, and any comments received. No burden estimates are provided for new sources 

because no new facilities are expected to become affected sources during the 3-year period of 

this ICR.

(b) Estimating Respondent Costs.

The estimates of total technical-hours per year per source and the number of activities per 

respondent per year for the new PRD requirements are listed in Table 1 and are based upon 

experience with similar information collection requirements in the Polyvinyl Chloride and 

Copolymers Production NESHAP (Subpart HHHHHHH).

The EPA’s estimate for an affirmative defense and root cause analysis is based on 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 the EPA or state enforcement agencies ever 

request to review it. The estimates of total technical-hours per year per source for asserting an 

affirmative defense are listed in Table 1 and are based upon experience with similar information 

collection requirements in the Sewage Sludge Incineration Units NESHAP (Subpart MMMM).

(i) Estimating Labor Costs. 

The ICR uses the following labor rates:

Technical $54.66 ($26.03 + 110%)

Managerial $115.96 ($55.22 + 110%)
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Clerical $38.14 ($18.16 + 110%)

Labor rates and associated costs are based on data from the United States Department of 

Labor, Bureau of Labor Statistics (BLS) from May 2012. Wages for technical labor are from the 

category “chemical plant and system operators”; wages for management labor are from the 

category “general and operations managers”; and wages for clerical labor are from the category 

“secretaries and administrative assistants”. These rates represent salaries plus fringe benefits. 

The wages provided above were increased by a rate of 110 percent to account for overhead.

(ii) Estimating Capital and Operations and Maintenance (O&M) 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 

monitoring. As part of the final amendments to the Pesticide Active Ingredient NESHAP, facility 

owners or operators are required to monitor each PRD to identify and record the time and 

duration of each pressure release. For purposes of estimating the costs of this requirement, we 

assumed that operators would install electronic indicators on each PRD in organic HAP service 

that vents to the atmosphere to identify and record the time and duration of each pressure release. 

The cost of each such monitoring system is expected to be $81,913, and the total cost for these 

capital expenditures for all 18 facilities in the Pesticide Active Ingredient source category is 

estimated to be $1,474,434. 

Annualized costs are calculated by multiplying the capital recovery factor by the capital 

cost. The capital recovery factor is 0.142 based on an interest rate of 7 percent and an assumed 

equipment life of 10 years. The total annualized capital cost is $209,376. 

The annual operation and maintenance costs are the ongoing costs to maintain the 

monitor and other costs such as photocopying and postage. The annual O&M costs are estimated 

to be $1,325 per source. Inflating this number from 2007 dollars to 2012 dollars gives $1,474 per 

source. The total annual O&M cost for all 18 facilities in the Pesticide Active Ingredient source 

category is expected to be $26,532.

The total annual cost (non-salary), including the annualized capital for the monitoring 

equipment and the annual O&M costs, is estimated to be $235,908.

(c) Estimating Agency Burden and Cost.
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The only costs to the Agency are those costs associated with analysis of the reported 

information. The EPA 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 $11,940. 

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

Technical $55.45 (GS-12, Step 1, $34.66 x 1.6)

Managerial $74.73 (GS-13, Step 5, $46.70 x 1.6) 

Clerical $30.01 (GS-6, Step 3, $18.76 x 1.6)

Agency labor rates are from the Office of Personnel Management (OPM) 2013 General 

Schedule Salary Table 2013-GS, which excludes locality rates of pay. Labor rates are inflated 

20% to reflect average locality pay increase from base rates. Details upon which this estimate is 

based appear in Table 2: Average Annual EPA Burden, NESHAP for Pesticide Active Ingredient 

Production (40 CFR part 63, subpart MMM), below.

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

There are approximately 18 existing facilities subject to the major source provisions 

specified under subpart MMM. No new major sources are projected during the 3-year period of 

this ICR. While all 18 of the existing facilities could make use of the new affirmative defense 

provisions added to the rule, the EPA estimates only two total instances of the use of these 

provisions over the three year ICR period. Consequently, the average annual number of Pesticide 

Active Ingredient manufacturing facility respondents during the 3-year period of this ICR is 2.

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

Notification of process changes 2 1 N/A 2

Quarterly reporting 2 4 N/A 8

Semiannual reporting 18 2 N/A 36
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Leak detection and repair report 18 2 N/A 36

Emissions averaging plan 2 1 N/A 2

Affirmative defense 0.7 1 N/A 0.7

Total 84.7

The number of Total Annual Responses is 84.7.

The total annual labor costs are $676,082. Details regarding these estimates may be found 

in Table 1: Annual Respondent Burden and Cost – NESHAP for Pesticide Active Ingredient 

Production (40 CFR part 63, subpart MMM), below. 

(e) Bottom Line Burden Hours and Cost Tables

The detailed bottom line burden cost calculations for the respondents and the Agency are 

shown in Tables 1 and 2 respectively, and summarized below.

(i) Respondent tally. The total annual labor costs are $676,082. Details regarding these 

estimates may be found in Table 1. Annual Respondent burden and Cost: NESHAP for Pesticide 

Active Ingredient Production (40 CFR part 63, subpart MMM), below. Furthermore, the annual 

public reporting and recordkeeping burden for this collection of information is estimated to 

average 143 hours per response. 

The total annual capital/startup and O&M costs to the regulated entity are $235,908. The 

cost calculations are detailed in Section 6(b)(ii).

(ii) The Agency tally. The average annual Agency burden and cost over the next three 

years is estimated to be 221 labor hours at a cost of $11,940. See Table 2. Average Annual EPA 

Burden and Cost: NESHAP for Pesticide Active Ingredient Production (40 CFR part 63, subpart 

MMM), below. 

(iii) Variations in the annual bottom line. This section does not apply since no significant 

variation is anticipated.

(f) Reasons for Change in Burden.

The increase in burden from the most recently approved ICR is due to adjustment in both 

the types of information which must be collected and the number of sources submitting the 

required information. Specifically, burden items related to start-up, shutdown, and malfunction 

reports are eliminated under the amendments, but there are additional reporting requirements for 
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PRD and affirmative defense (optional), and this ICR includes costs related to recordkeeping of 

continuous monitoring data. The previous (active) ICR also calculated burden based on 15 

existing sources, whereas this ICR calculates burden based on 18 existing sources. 

The EPA provides an adjustment to this ICR that estimates the costs of the notification, 

recordkeeping and reporting requirements associated with the assertion of the affirmative 

defense. The EPA’s estimate for the required notification, reports and records, including the root 

cause analysis, associated with a single incident totals approximately $2,375 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 the EPA. For the purpose of estimating the annual burden, the EPA is attributing a 

total of 2 instances of affirmative defense over a three year period across all sources in the 

category. The EPA is using this frequency of 2 events in three years because, 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. 

(g) Burden Statement

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

is estimated to average 143 hours per response. Burden means the total time, effort, or financial 

resources expended by persons to generate, maintain, retain, or disclose or provide information 

to or for a Federal agency. This includes the time needed to review instructions; develop, 

acquire, install, and utilize technology and systems for the purposes of collecting, validating, and 

verifying information, processing and maintaining information, and disclosing and providing 

information; adjust the existing ways to comply with any previously applicable instructions and 

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

sources; complete and review the collection of information; and transmit or otherwise disclose 

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

collection of information unless it displays a currently valid OMB control number. The OMB 

control numbers for the 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 any suggestions for minimizing respondent burden, including through the 

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

under Docket ID No. EPA-HQ-OAR-2011-0435, 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 3334, 1301 

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

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

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

is (202) 566-1742. 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 one of 

the Docket ID Numbers 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-2011-0435) in any correspondence.

PART B

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

associated with the rule.
18

Table 1 - Annual Respondent Burden and Cost - NESHAP for Pesticide Active Ingredient Production (40 CFR part 63, subpart MMM)

Burden Item

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

Person- Annual 

occurrences 

per 

respondent

Person-hours Respondents Technical Management Clerical Cost, $

hours per per respondent per year person-hours person-hours person-hours (a)

occurrence per year per year per year per year

(C=AxB) (E=CxD) (Ex0.05) (Ex0.1)

1. Applications N/A

2. Survey and Studies N/A

3. Reporting Requirements

a. Read Instructions N/A

b. Required Activities N/A

Performance evaluation test (certification of CMS) N/A

c. Create Information N/A

d. Gather Existing Information N/A

e. Write Report

Notification of Construction/Reconstruction N/A

Notification of process changes (b) 8 1 8 2 16 0.8 1.6 $1,028

Notification of anticipated startup N/A

Notification of actual startup N/A

Notification of applicability of the standard N/A

-Existing source N/A

-New Source N/A

Pre-compliance plan N/A

Notification of initial performance test N/A

Notification of initial CMS performance evaluation N/A

-With performance test N/A

-Without performance test N/A

f. Write Periodic Report

-Quarterly reporting (c) 24 4 96 2 192 10 19 $12,341

-Semiannual reporting (d) 8 2 16 18 288 14 29 $18,511

-PRD reporting (with semiannual) 5.5 2 11 18 198 10 20 $12,726

-LDAR reporting 94 2 188 18 3,384 169 338 $217,506

-Emissions averaging plan (e) 40 1 40 2 80 4 8 $5,142

g. Affirmative Defense (f) 30 0.67 12 8 0 $1,584

4. Recordkeeping Requirements

-Records of startup, shutdown and malfunction N/A

-Record continuously monitored parameters (g) 1 320 320 18 5,760 288 576 $370,222
19

Burden Item

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

Person- Annual 

occurrences 

per 

respondent

Person-hours Respondents Technical Management Clerical Cost, $

hours per per respondent per year person-hours person-hours person-hours (a)

occurrence per year per year per year per year

(C=AxB) (E=CxD) (Ex0.05) (Ex0.1)

-Enter/verify information for semiannual report (h) 16 2 32 18 576 29 58 $37,022

h. Calibration of CMS N/A

i. Time to train personnel N/A

j. Time for audits N/A

Subtotal Labor Burden and Cost 10,506 533 1,049 $676,082

TOTAL LABOR BURDEN AND COST 12,088

(a) Costs are based on the following hourly rates: technical at $54.66, management at $115.96, and clerical at $38.14.

(b) Assume 10% of facilities will implement process changes.

(c) Assume 10% facilities will have exceedances and periods of noncompliance.

(d) Assume 90% of facilities will have no exceedances.

(e) Assume 90% of facilities will comply with emissions averaging requirements.

(f) Assume 2 affirmative defense reports for entire industry during the 3-yr ICR period. Formulas are not followed for person-hours per year.

(g) Assume it will take one hour to record continuously monitored parameters.
20

Table 2. Average Annual EPA Burden - NESHAP for Pesticide Active Ingredient Production (40 CFR part 63, subpart MMM)

Burden Item

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

EPA Person 

hours per 

occurrence

No. of 

occurrences 

per plant per 

year

EPA Person 

hours per 

plant per 

year 

(C=AxB)

Plants per 

year

Technical 

hours per 

year 

(E=CxD)

Management 

hours per 

year (Ex0.05)

Clerical 

hours per 

year

Total cost per 

year

(Ex0.1)

@ $55.45 @ $74.73 @ $30.01

Initial performance test

Repeat performance test N/A

Report review N/A

Notification of applicability N/A

Notification of construction/reconstruction N/A

Notification of anticipated startup N/A

Notification of actual startup N/A

Notification of process changes 8 1 8 2 16 0.8 1.6 $995

Notification of pre-compliance report N/A

Notification of performance test N/A

Notification of CMS performance evaluation N/A

Review of notification of compliance status N/A

-With performance test N/A

-Without performance test N/A

Review of emissions averaging plan 20 1 20 2 40 2 4 $2,487

Review of semiannual reports 2 2 4 18 72 4 7 $4,477

Review of quarterly reports 8 4 32 2 64 3.2 6.4 $3,980

Review of NESHAP waiver application N/A

Subtotal Labor Burden and Cost 192 10 19 $11,940

TOTAL LABOR BURDEN AND COST 221

Table 3. Cost Estimate for Affirmative Defense/Root Cause Analysis

RCFA Personnel Number of Personnel Time Requirement (hours) Total Hours Hourly Rate ($/hr) Total

Technical Personnel 3 6 18 54.66 983.93 

Managerial Personnel 2 6 12 115.96 1,391.54 

Total 5 30 2,375.48 

May 2012 National Occupational Employment and Wage Estimates United States - Production Occupations. http://www.bls.gov/oes/current/oes_nat.htm#51-

0000.