SUPPORTING STATEMENT

ENVIRONMENTAL PROTECTION AGENCY

NESHAP for Mercury Cell Chlor-Alkali Plants (40 CFR Part 63, Subpart IIIII) (Renewal)

1. Identification of the Information Collection

1(a) Title of the Information Collection

NESHAP for Mercury Cell Chlor-Alkali Plants (40 CFR Part 63, Subpart IIIII) (Renewal), 

EPA ICR Number 2046.08, OMB Control Number 2060-0542. 

1(b) Short Characterization/Abstract

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

Cell Chlor-Alkali Plants (40 CFR Part 63, Subpart IIIII) were proposed on July 3, 2002, 

promulgated on December 19, 2003, and amended on April 20, 2006. These regulations apply to 

existing facilities and new facilities that are part of a major source of hazardous air pollutant 

(HAP) emissions or part of an area source of HAP emissions. A major source of HAP is one that 

has the potential to emit 10 tons or more of any HAP or 25 tons or more of total HAP per year; 

an area source is one with a potential to emit less than this. New facilities include those that 

commenced construction, modification or reconstruction after the date of proposal. This 

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

In general, all NESHAP standards require initial notification reports, performance tests, 

and periodic reports by the owners/operators of the affected facilities. They are also required to 

maintain records of the occurrence and duration of any startup, shutdown, or malfunction in the 

operation of an affected facility, or any period during which the monitoring system is 

inoperative. These notifications, reports, and records are essential in determining compliance, 

and are required of all affected facilities subject to NESHAP.

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

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

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.

The “Affected Public” are owners and operators of mercury cell chlor-alkali plants. 

The “burden” to the Affected Public may be found below in Table 1: Annual Respondent Burden 

and Cost – NESHAP for Mercury Cell Chlor-Alkali Plants (40 CFR Part 63, Subpart IIIII) 

(Renewal). The “burden” to the Federal Government is attributed entirely to work performed by 

either Federal employees or government contractors, and can be found below in Table 2: 

Average Annual EPA Burden and Cost – NESHAP for Mercury Cell Chlor-Alkali Plants (40 

CFR Part 63, Subpart IIIII) (Renewal).

Based on our consultations with industry representatives, there is an average of one

affected facility at each plant site and that each plant site has only one respondent (i.e., the 
2

owner/operator of the plant site).

The chlorine production source category is divided into two subcategories: (1) mercury 

cell chlor-alkali plants; and (2) chlorine production plants that do not rely upon mercury cells for 

chlorine production (e.g., diaphragm cell chlor-alkali plants, membrane cell chlor-alkali plants). 

This Information Collection Request (ICR) only addresses the mercury cell chlor-alkali 

subcategory.

Over the next three years, approximately two respondents1 per year will be subject to 

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

standards. This estimate is based on the Agency’s November 2010 regulatory impact analysis 

(RIA) and consultation with industry experts. 

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

2(a) Need/Authority for the Collection

The EPA is charged under Section 112 of the Clean Air Act, as amended, to establish 

standards of performance for each category or subcategory of major sources and area sources of 

hazardous air pollutants. These standards are applicable to new or existing sources of hazardous 

air pollutants and shall require the maximum degree of emission reduction. In addition, section 

114(a) states that the Administrator may require any owner/operator subject to any requirement 

of this Act to: 

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

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

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

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

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

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

equipment parameters, production variables or other indirect data 

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

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

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

reasonably require.

In the Administrator's judgment, mercury emissions from mercury cell chlor-alkali plants

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

1 According to the Chlorine Institute, the two facilities are the ASHTA Chemicals facility in Ashtabula, OH, and the 

PPG Industries facility in Martinsville, WV.

 
3

health and/or welfare. Therefore, the NESHAP were promulgated for this source category at 40 

CFR Part 63, Subpart IIIII.

2(b) Practical Utility/Users of the Data

The recordkeeping and reporting requirements in these standards ensure compliance with 

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

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

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

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

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

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

determine compliance in place of a continuous emission monitor.

The notifications required in the 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 check if the pollution control devices are properly 

installed and operated and/or leaks are being detected and repaired and the standard are being 

met. The performance test may also be observed.

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

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

determinations.

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

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

IIIII.

3(a) Non-duplication

If the subject standards have not been delegated, the information is sent directly to the 

appropriate EPA regional office. Otherwise, the information is sent directly to the delegated state 

or local agency. If a state or local agency has adopted its own similar standards to implement the 

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

Administrator in lieu of the report required by the Federal standards. Therefore, duplication does 

not exist.

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

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

in the Federal Register (80 FR 32116) on date. 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 Integrated Compliance Information System (ICIS). ICIS is 

EPA’s database for the collection, maintenance, and retrieval of compliance data for industrial 

and government-owned facilities. The growth rate for the industry is based on our consultations 

with the Agency’s internal industry experts. 

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

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

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

for compliance purposes. In developing this ICR, we contacted 1) the Chlorine Institute, at (703) 

894-4140; and 2) the American Chemistry Council, at (202) 249-7000. 

It is our policy to respond after a thorough review of comments received since the last 

ICR renewal as well as those submitted in response to the first Federal Register notice. In this 

case, no comments were received.

3(d) Effects of Less Frequent Collection

Less-frequent information collection would decrease the margin of assurance that 

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

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

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

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

possibility of detecting violations would be less likely.

3(e) General Guidelines

These reporting or recordkeeping requirements do not violate any of the regulations

promulgated by OMB under 5 CFR Part 1320, Section 1320.5.

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

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

the standards. EPA believes that the five-year records retention requirement is consistent 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 EPA to establish the compliance history of a 

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

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

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

nonexistence of essential records.
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3(f) Confidentiality

Any information submitted to the Agency for which a claim of confidentiality is made 

will be safeguarded according to the Agency policies set forth in Title 40, Chapter 1, Part 2, 

Subpart B - Confidentiality of Business Information (CBI) (see 40 CFR 2; 41 FR 36902, 

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

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

3(g) Sensitive Questions

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

questions.

4. The Respondents and the Information Requested

4(a) Respondents/SIC Codes

The respondents to the recordkeeping and reporting requirements are mercury cell chloralkali plants. The United States Standard Industrial Classification (SIC) code for the respondents 

affected by the standards is SIC 2812, “Alkalis and Chlorine,” which corresponds to the North 

American Industry Classification System (NAICS) code 325180, “Other Basic Inorganic 

Chemical Manufacturing” for mercury cell chlor-alkali plants.

4(b) Information Requested

(i) Data Items

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

Mercury Cell Chlor-Alkali Plants (40 CFR Part 63, Subpart IIIII).

A source must make the following reports:

Notifications

Initial startup or conversion of minor source to major source 63.9(b)

Application of construction or reconstruction 63.9(b)

Request for extension of compliance 63.9(c)

Subject to special compliance requirements 63.9(d) 

Performance tests 63.7(b), (c), 63.9(e)

Performance evaluation of continuous monitoring systems 63.8(e), (f)

Continuous monitoring systems dates of operation 63.9(g)
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Notifications

Initial compliance 63.8252(e)

Compliance status 63.9(h)

Reports

Report of performance evaluations 63.7(g), 63.10(d)(2)

Immediate startup, shutdown and malfunction 63.8254(c)

Semiannual reports 63.8254(a), (b)

A source must keep the following records:

Recordkeeping

Notifications and reports 63.8256(a), 

63.10(b)(2)(xiv)

Maintain records of monitoring data, monitoring system calibration 

checks, occurrence and duration of periods where the monitoring 

system is malfunctioning or inoperative and system operations

63.8256(a), 

63.8256(b), 63.8258

Work practice standards 63.8256(c)

Periodic monitoring option 63.8256(d)

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.

(ii) Respondent Activities

Respondent Activities

Familiarization with the regulatory requirements.

Install, calibrate, maintain, and operate opacity and/or parameter monitors.

Perform initial performance test and repeat performance tests if necessary.
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Respondent Activities

Write the notifications and reports listed above.

Enter information required to be recorded above.

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

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

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

maintaining information.

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

providing information.

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

Transmit, or otherwise disclose the information.

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

Management

5(a) Agency Activities

EPA conducts the following activities in connection with the acquisition, analysis, 

storage, and distribution of the required information.

Agency Activities

Observe initial performance tests and repeat performance tests, if necessary.

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

reports, required to be submitted by industry.

Audit facility records.

Input, analyze, and maintain data in the Enforcement and Compliance History Online (ECHO) 

and ICIS.

5(b) Collection Methodology and Management

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

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

test reports are used by the Agency to discern a source’s initial capability to comply with the 
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emission standards. 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 reported by state and local governments in the 

ICIS Air database, which is operated and maintained by EPA's Office of Compliance. ICIS is 

EPA’s database for the collection, maintenance, and retrieval of compliance data for industrial 

and government-owned facilities. EPA uses ICIS 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.

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

years.

5(c) Small Entity Flexibility

Half of the respondents are small entities (i.e., small businesses). Information from both 

Agency consultation with industry experts and the November 2010 RIA indicate that the 

ASHTA Chemicals facility in Ashtabula, OH, qualifies as a small entity. The impact on small 

entities (i.e., small businesses) was taken into consideration during the development of the 

regulation. In the final rulemaking notice, EPA prepared a regulatory flexibility analysis (FRFA) 

which examined the impact of the final rule on small entities (68 FR 70925, December 19, 

2003).

Due to technical considerations involving the process operations and the types of control 

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

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

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

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

5(d) Collection Schedule

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

shown below in Table 1: Annual Respondent Burden and Cost – NESHAP for Mercury Cell 

Chlor-Alkali Plants (40 CFR Part 63, Subpart IIIII) (Renewal).

6. Estimating the Burden and Cost of the Collection

Table 1 documents the computation of individual burdens for the recordkeeping and 

reporting requirements applicable to the industry for the subpart included in this ICR. The 

individual burdens are expressed under standardized headings believed to be consistent with the 

concept of burden under the Paperwork Reduction Act. Where appropriate, specific tasks and 

major assumptions have been identified. Responses to this information collection are mandatory.
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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 3,760 hours (Total Labor Hours from Table 1

below). These hours are based on Agency studies and background documents from the 

development of the regulations, Agency knowledge and experience with the NESHAP program, 

the previously-approved ICR, and any comments received.

6(b) Estimating Respondent Costs

(i) Estimating Labor Costs

This ICR uses the following labor rates: 

Managerial $129.93 ($61.87+ 110%)

Technical $103.97 ($49.51 + 110%)

Clerical $51.79 ($24.66 + 110%)

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

2014, “Table 2. Civilian Workers, by occupational and industry group.” The rates are from 

column 1, “Total compensation.” The rates have been increased by 110 percent to account for 

the benefit packages available to those employed by private industry.

(ii) Estimating Capital/Startup and Operation and Maintenance Costs

The 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 continuous monitoring. The capital/startup costs are one-time costs when a 

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

ongoing costs to maintain the monitor(s) and other costs such as photocopying and postage.
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(iii) Capital/Startup vs. Operation and Maintenance (O&M) Costs

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)

Mercury 

Concentration 

CMS

$17,000 0 $0 $7,300 2 $14,600

Cell Room 

Mercury 

Monitoring 

System

$56,000 0 $0 $900 2 $1,800

Total $16,400

Note: Totals have been rounded to 3 significant figures. Figures may not add exactly due to rounding.

The total capital/startup costs for this ICR are $0. This is the total of column D in the 

above table. 

The total operation and maintenance (O&M) costs for this ICR are $16,400. This is 

the total of column G. 

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

to industry over the next three years of the ICR is estimated to be $16,400. These are 

recordkeeping costs.

6(c) Estimating Agency Burden and Cost

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

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

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

emissions, and the publication and distribution of collected information. 

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

$2,510.

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

Managerial $62.90 (GS-13, Step 5, $39.31 + 60%) 

Technical $46.67 (GS-12, Step 1, $29.17 + 60%)

Clerical $25.25 (GS-6, Step 3, $15.78 + 60%)
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These rates are from the Office of Personnel Management (OPM), 2014 General Schedule,

which excludes locality rates of pay. The rates have been increased by 60 percent to account for 

the benefit packages available to government employees. Details upon which this estimate is 

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

Cell Chlor-Alkali Plants (40 CFR Part 63, Subpart IIIII) (Renewal).

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

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

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

respondents per year will become subject to these same standards. The overall average number 

of respondents, as shown in the table below, is two per year.

The number of respondents is calculated using the following table that addresses the three 

years covered by this ICR:

Number of Respondents

Respondents That Submit Reports Respondents That Do 

Not Submit Any Reports

Year

(A)

Number of New 

Respondents 1

(B)

Number of 

Existing 

Respondents

(C)

Number of Existing

Respondents that keep 

records but do not 

submit reports

(D)

Number of 

Existing 

Respondents That 

Are Also New 

Respondents

(E)

Number of 

Respondents

(E=A+B+C-D)

1 0 2 0 0 2

2 0 2 0 0 2

3 0 2 0 0 2

Average 0 2 0 0 2

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

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

average Number of Respondents over the three year period of this ICR is 2. 

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

Notifications 0 0 0 0

Startup, shutdown, and 

malfunction

0 0 0 0

Compliance report (semiannual) 2 2 0 4

Total 4

The number of Total Annual Responses is 4.

The total annual labor costs are $378,000 (rounded). Details regarding these estimates 

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

Cell Chlor-Alkali Plants (40 CFR Part 63, Subpart IIIII) (Renewal).

6(e) Bottom Line 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 below, respectively, and summarized below.

(i) Respondent Tally

The total annual labor hours are 3,760 hours. Details regarding these estimates may be 

found below in Table 1. Annual Respondent Burden and Cost – NESHAP for Mercury Cell 

Chlor-Alkali Plants (40 CFR Part 63, Subpart IIIII) (Renewal).

We assume that burdens for managerial tasks take 5% of the time required for technical 

tasks because the typical tasks for managers are to review and approve reports. Clerical burdens 

are assumed to take 10% of the time required for technical tasks because the typical duties of 

clerical staff are to proofread the reports, make copies and maintain records.

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

information is estimated to average 940 hours per response.

The total annual capital/startup and O&M costs to the regulated entity are $16,400. The 

cost calculations are detailed in Section 6(b)(iii), Capital/Startup vs. Operation and Maintenance 

(O&M) Costs.
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(ii) The Agency Tally

The average annual Agency burden and cost over next three years is estimated to be 55

labor hours at a cost of $2,510. See below in Table 2: Average Annual EPA Burden and Cost –

NESHAP for Mercury Cell Chlor-Alkali Plants (40 CFR Part 63, Subpart IIIII) (Renewal).

We assume that burdens for managerial tasks take 5% of the time required for technical 

tasks because the typical tasks for managers are to review and approve reports. Clerical burdens 

are assumed to take 10% of the time required for technical tasks because the typical duties of 

clerical staff are to proofread the reports, make copies and maintain records.

6(f) Reasons for Change in Burden

There is a small adjustment increase in the respondent labor hours as currently identified 

in the OMB Inventory of Approved Burdens. The increase is due to a change in assumption. In 

this ICR, we assume all existing sources will take some time each year to re-familiarize 

themselves with the regulatory requirements. 

6(g) Burden Statement

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

is estimated to average 940 hours per response. Burden means the total time, effort, or financial 

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

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

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

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

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

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

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

the information.

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

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

Numbers for EPA regulations are listed at 40 CFR Part 9 and 48 CFR Chapter 15.

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

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

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

Docket ID Number EPA-HQ-OECA-2012-0691. 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 
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Compliance Docket and Information Center in the EPA Docket Center (EPA/DC), WJC West, 

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

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

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

number for the docket center is (202) 566-1752. Also, you can send comments to the Office of 

Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, 

Washington, DC 20503, Attention: Desk Officer for EPA. Please include the EPA Docket ID 

Number EPA-HQ-OECA-2012-0691 and OMB Control Number 2060-0542 in any 

correspondence. 

Part B of the Supporting Statement

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

information.
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Table 1: Annual Respondent Burden and Cost – NESHAP for Mercury Cell Chlor-Alkali Plants (40 CFR Part 63, Subpart

 IIIII) (Renewal)

Burden Item

(A) 

Technical 

personhours per 

occurrence

(B)

No. of 

occurrences 

per 

respondent 

per year

(C) 

Technical 

personhours per 

respondent 

per year

(C=AxB)

(D)

Respondents 

per year a

(E)

Technical 

hours per 

year 

(E=CxD)

(F)

Management 

hours per 

year

(F=Ex0.05)

(G)

Clerical 

hours per 

year

(G=Ex0.10)

(H)

Total cost 

per year ($) b

1. Reporting requirements

 a. Familiarize with regulatory 

requirements c 32 1 32 2 64 3.2 6.4 $7,401.31

 b. Prepare startup/shutdown/ malfunction 

plan d 32 1 32 0 0 0 0 $0 

 c. Prepare washdown plan d 16 1 16 0 0 0 0 $0 

 d. Prepare site-specific monitoring plan d 32 1 32 0 0 0 0 $0 

 e. Record date/time of washdowns e 0.1 365 36.5 2 73 3.65 7.3 $8,442.12 

 f. Measure cell room mercury vapor level 

and record data e 0.5 365 182.5 2 365 18.25 36.5 $42,210.61 

 g. Monitor vent mercury concentration 

and record CMS data, daily averages, and 

deviations e 0.5 365 182.5 2 365 18.25 36.5 $42,210.61 

 h. Perform vent mercury concentration 

CMS inspections and calibration checks and 

record results

8 2 16 2 32 1.6 3.2 $3,700.66 
16

 i. Perform twice daily inspections (for 

vessels and process equipment problems, 

hydrogen and/or mercury vapor leaks at 

decomposers and hydrogen piping up to the 

hydrogen header) and record information 

f

0.75 730 547.52 1,095 54.75 109.5 $126,631.82 

 j. Inspect cell room floors for cracks, 

spalling, or other deficiencies and record 

information 

g

2 12 242 48 2.4 4.8 $5,550.98 

 k. Inspect pillars and beams for cracks, 

spalling, and other deficiencies and record 

information

82 162 32 1.6 3.2 $3,700.66 

 l. Perform daily cell room inspections (for 

caustic leaks in caustic system equipment 

and piping, liquid mercury spills or 

accumulations on floors and surfaces, for 

liquid mercury leaks from vessels, piping, 

and equipment in liquid mercury service) 

and record information 

e

1.25 365 456.252 912.5 45.63 91.25 $105,526.52 

 m. Inspect equipment and piping in the 

hydrogen system from the header to the last 

control device for hydrogen and/or mercury 

vapor leaks and record information on these 

leaks

44 162 32 1.6 3.2 $3,700.66 

 n. Record information on handling and 

storage of mercury-containing waste 

e 0.25 365 91.25

2 182.5 9.13 18.25 $21,105.30 

 o. Record the mass of virgin mercury 

added to cells 

i 0.25

2 0.521 0.05 0.1 $115.65 

Subtotal for Reporting Requirements 3,682 $370,297 

2. Recordkeeping requirements

 a. Familiarize with regulatory 

requirements 

c See 1A

 b. Initial notifications 

d

6160000 $0 
17

 c. Notification of intent to conduct a 

performance test d 3 1 3 0 0 0 0 $0 

 d. Notification of compliance status d 16 1 16 0 0 0 0 $0 

 e. Startup, shutdown, and malfunction 16 0 0 0 0 0 0 $0 

 f. Semiannual compliance reports i 16 2 32 2 64 3.2 6.4 $7,401.31 

Subtotal for Recordkeeping 

Requirements 74 $7,401 

TOTAL ANNUAL BURDEN AND 

COST (rounded) j 3,760 $378,000 

TOTAL CAPITAL AND O&M COSTS 

(rounded) j $16,400 

GRAND TOTAL (rounded) j $394,000 

Assumptions:

a

 We have assumed that there are approximately 2 respondents subject to the rule, with no new sources expected over the next three-years of this ICR. b

 This ICR uses the following labor rates: Technical $103.97 ($49.51 + 110%); Managerial $129.93 ($61.87 + 110%); and Clerical $51.79 ($24.66 + 110%). 

These rates are from the United States Department of Labor, Bureau of Labor Statistics, June 2014, “Table 2. Civilian Workers, by occupational and industry 

group.” The rates are from column 1, “Total compensation.” The rates have been increased by 110 percent to account for the benefit packages available to those 

employed by private industry. This ICR assumes that Managerial hours are 5 percent of Technical hours, and Clerical hours are 10 percent of Technical hours. c

 We assume all respondents will have to familiarize themselves with regulatory requirements each year. d

 We assume that this is a one-time only activity for new facilities. e

 We have assume that information should be recorded 365 days per year.

f

 We have assumed that inspection should be performed two times per day for a total of 730 times per year.

g

 We have assumed that inspection should be done and recorded once per month. h

 We have assumed that it will take 0.25 hours two times per year to record information. i

 We have assumed that it will take each respondent 16 hours to two times per year to complete semiannual compliance reports.

j

 Totals have been rounded to 3 significant figures. Figures may not add exactly due to rounding.
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Table 2: Average Annual EPA Burden and Cost – NESHAP for Mercury Cell Chlor-Alkali Plants (40 CFR Part 63, Subpart

 IIIII) (Renewal)

Burden Item

(A)

Technical 

person-hours 

per 

occurrence

(B)

No. of 

occurrences 

per 

respondent 

per year

(C)

Technical 

personhours per 

respondent 

per year

(C=AxB)

(D)

Respondents 

per year a

(E) 

Technical 

hours per 

year

(E=CxD)

(F)

Management 

hours per 

year

(F=Ex0.05)

(G)

Clerical 

hours per 

year 

(G=Ex0.10)

(H)

Total 

cost per 

year ($) b

a. Review Initial Notification 4 1 4 0 0 0 0 $0 

b. Review Notification of intent to 

conduct a performance test 4 3 12 0 0 0 0 $0 

c. Observe performance tests 16 3 48 0 0 0 0 $0 

d. Review Notification of Compliance 

Status (including site-specific 

monitoring plans and operation & 

maintenance plans) c

32 1 32 0 0 0 0 $0 

e. Review performance test reports c 8 1 8 0 0 0 0 $0 

f. Review semiannual compliance 

reports d 12 2 24 2 48 2.4 4.8 $2,512.32

TOTAL ANNUAL BURDEN AND 

COST (rounded) e 55 $2,510 

Assumptions:

a

 We have assumed that there are approximately 2 respondents subject to the rule, with no new sources expected over the next three-years of this ICR. Facilities 

subject to the NESHAP rules are located in 13 States.

b

 This cost is based on the average hourly labor rate as follows: Technical $46.67 (GS-12, Step 1, $29.17 + 60%); Managerial $62.90 (GS-13, Step 5, $39.31 + 

60%); and Clerical $25.25 (GS-6, Step 3, $15.78 + 60%). This ICR assumes that Managerial hours are 5 percent of Technical hours, and Clerical hours are 10 

percent of Technical hours. These rates are from the OPM, 2014 General Schedule, which excludes locality rates of pay. The rates have been increased by 60 

percent to account for the benefit packages available to government employees.

c We assume that this is a one-time only cost. d

 We assume that it will take 12 hours two times per year to review the semiannual compliance reports.
19

e

 Totals have been rounded to 3 significant figures. Figures may not add exactly due to rounding.