1

SUPPORTING STATEMENT

NATIONAL EMISSION STANDARDS FOR HAZARDOUS AIR POLLUTANTS: 

SECONDARY ALUMINUM PRODUCTION

PART A

1.0 Identification of the Information Collection

(a) Title and Number of the Information Collection.

“National Emission Standards for Secondary Aluminum Production.” This is a new information 

collection request (ICR), and the EPA tracking number is XXXX.XX.

(b) Short Characterization.

This ICR covers information collection requirements in the proposed amendments to the 

Secondary Aluminum NESHAP (40 CFR part 63, subpart RRR).

The potential respondents are owners or operators of any existing, new, or reconstructed

secondary aluminum production plant. Per the applicability section of subpart RRR, the following 

affected sources at a secondary aluminum production plant are covered: aluminum scrap shredders; 

thermal chip dryers; scrap dryers/delacquering kilns/decoating kilns; group 2 furnaces; sweat furnaces;

dross-only furnaces; rotary dross coolers; and secondary aluminum processing units, which includes 

group 1 furnaces and in-line fluxers. The secondary aluminum industry consists of approximately 161 

secondary aluminum production facilities, of which the EPA estimates 53 to be major sources of HAP.

The proposed amendments would correct and clarify various rule requirements and provisions. 

Specifically, the proposed amendments would add work practice standards for periods of startup and 

shutdown for selected affected sources; add a definition of affirmative defense; add a requirement to 

report performance testing through the Electronic Reporting Tool (ERT); add provisions allowing 

owners and operators to change furnaces designations; add requirements to test uncontrolled furnaces; 

add requirements to test for hydrogen fluoride in addition to hydrogen chloride in furnaces where 

fluorine-containing fluxes are used; add operating requirements such as monitoring of lime injection 

rates; and make corrections and clarifications to the applicability, definitions, operating, monitoring, and 

performance testing requirements. The information collection requirements associated with the proposed 

amendments to the NESHAP are listed in Attachment 1.

2. Need For and Use of the Collection

(a) Need/Authority for the Collection.

Section 112 of the Clean Air Act (CAA) requires the EPA to establish NESHAP for both major 

and area sources of HAP that are listed for regulation under CAA section 112(c). 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 
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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 does not emit and does not have the potential to emit more than 10 tpy

of any single HAP or more than 25 tpy of any combination of HAP). Both major and area sources are 

subject to subpart RRR. For major sources, these technology-based standards must reflect the maximum 

degree of emission reductions of HAP achievable (after considering cost, energy requirements, and nonair quality health and environmental impacts) and are commonly referred to as maximum achievable 

control technology (MACT) standards. Section 112(d)(6) requires the EPA to review these technologybased 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 the 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,” the 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, the EPA may adopt standards equal to existing MACT standards, if the EPA 

determines that the existing standards are sufficiently protective. The 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 Clean Air Act (42 U.S.C. 7414) and set 

out in the part 63 NESHAP General Provisions. The recordkeeping and reporting requirements for 

operating permits (i.e., 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.

(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 
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facilities, records or processes may need inspection.

3. Nonduplication, Consultations and Other Collection Criteria

(a) Nonduplication.

A computer search of the EPA’s ongoing 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 proposed amendments were developed in consultation with individual secondary aluminum

production companies and trade associations. 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.

Charles Johnson, Jr. The Aluminum Association, Inc. 703-358-2981

Mike Palazzolo Alcoa, Inc. 412-553-4832

Gary Barnett Aleris International, Inc. 216-910-3697

Steve Royer Logan Aluminum, Inc. 270-755-6390

(d) Effects of Less Frequent Collection.

If the relevant information was collected less frequently, the delegated permitting authority (state 

or the 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.

(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 BConfidentiality 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.
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Potential respondents under subpart RRR are owners or operators of any existing or new facility

engaged in Secondary Aluminum Productions operations. Secondary Aluminum Production facilities are 

primarily classified under NAICS code 331314, Secondary Aluminum Production. There are an 

estimated 161 facilities that would be subject to the proposed amendments to the NESHAP.

(b) Information Requested.

(i) Data Items, Including Recordkeeping Requirements. Attachment 1, Information 

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

Secondary Aluminum Production source category.

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

amendments to the Secondary Aluminum Production NESHAP are identified in Table 3 and are 

introduced in section 6(a).

(iii) Summary of Requirements. The EPA is including in Table 2 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 an Affirmative Defense in 

response to an action to enforce the standards set forth in subpart RRR.

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

Minimize Emissions clause under 40 CFR 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, 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 $3,142 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 
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because these costs are only incurred if there has been a violation and a source chooses to take advantage 

of the affirmative defense.

In this source category, we estimate that one facility per year will have a control device 

malfunction that would cause an exceedence of an emission limit and for which the facility would 

choose to assert the use of the affirmative defense provisions. Thus for this source category, the EPA is 

assigning annual burden of $3,142 associated with affirmative defense.

TABLE 2. COST ESTIMATE FOR ROOT CAUSE ANALYSIS

Personnel Number of 

Personnel

Time Requirement 

(hours) Total Hours Hourly Rate ($/hr) Total

Technical Personnel 3 6 18 98.20 $ 1,768

Managerial Personnel 2 6 12 114.49 $ 1,374

Total 5 30 $ 3,142

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

Management

(a) Agency Activities.

The Agency activities associated with the proposed amendments to the Secondary Aluminum 

Production NESHAP are provided in Table 4 and are introduced in section 6(c).

(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 EPA is the permitting 

authority until the state or local 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 the EPA’s Office of 

Compliance. 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 compliance data.

(c) Small Entity Flexibility.

The Small Business Administration defines a small entity engaging in Secondary Aluminum 

Production as a firm having no more than 750 employees. Of the 31 entities affected by this proposed 

rule, ten of them are small. Of these ten, only one is estimated to experience a positive cost as a result of 
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the rule, and that one small entity will have an impact that is an annualized cost of less than 0.01 percent 

of its sales. After considering the economic impacts of these proposed changes on small entities, this 

action will not have a significant economic impact on a substantial number of small entities. To reduce 

impacts, we are proposing new provisions that would increase the industry’s flexibility as to how they

operate group 1 furnaces. In addition, we are correcting certain provisions of the rule as well as 

proposing revisions to help clarify the rule’s intent. 

(d) Collection Schedule.

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

Table 3 for the Secondary Aluminum Production source category.

6. Estimating the Burden and Cost of the Collection

(a) Estimating Respondent Burden.

The annual burden estimates for the proposed amendments to the Secondary Aluminum 

Production NESHAP are shown in Table 3. These numbers were derived from estimates based on the 

EPA’s experience with other standards. No burden estimates are provided for new sources because no 

new facilities are expected to become affected sources during the three-year implementation period of 

this ICR. Because all the proposed amendments to this rule become effective upon promulgation of the 

final rule, the burden estimates provided are for annual costs for each year following promulgation.

(b) Estimating Respondent Costs.

(i) Estimating Labor Costs. Table 3 presents estimated costs for the required data collection 

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

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

from the United States Department of Labor, Bureau of Labor Statistics, September 2011, “Table 2. 

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

www.bls.gov/news.release/ecec.t02.htm. Wages for occupational groups are used as the basis for the 

labor rates with a total compensation of $47.21 per hour for technical, $57.82 per hour for managerial 

and $23.72 per hour for clerical. 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 $99.14, management at 

$121.42 and clerical at $49.81.

(ii) Estimating Capital and Operations and Maintenance (O&M) Costs. Capital costs are 

estimated at $226,000 per facility at an estimated 27 facilities that would need to install temporary hoods 

and conduct testing on uncontrolled group 1 furnaces. These facilities would also incur O&M costs of 
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$24,000/yr per facility as a result of the proposed requirement to test uncontrolled group 1 furnaces 

every 5 years. As a result of the proposed requirement to measure HF emissions, 20 affected facilities 

would incur annual cost of $14,000. The proposed amendments would also allow owners/operators to 

switch furnace designations, which would result in annual O&M costs for testing of $500,000/yr or, for 

an estimated 50 furnaces, a cost of $10,000 per furnace, or $14,706/yr per facility at 34 facilities. 

(iii) Annualizing Capital Costs. Annualized capital costs are approximately $575,700 or 

$21,300/facility.

(iv) Affirmative Defense/Root Cause Analysis/Malfunction Costs. The EPA’s estimate for a 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 the EPA or state 

enforcement agencies ever request to review it.

(c) Estimating Agency Burden and Cost.

Because the information collection requirements were developed as an incidental part of 

standards development, no costs can be attributed to the development of the information collection 

requirements. Because reporting and recordkeeping requirements on the part of the respondents are 

required under the operating permits rules in 40 CFR part 70 or part 71 and the part 63 NESHAP 

General Provisions, no operational costs will be incurred by the Federal Government. Publication and 

distribution of the information are part of the Compliance Data System, with the result that no Federal 

costs can be directly attributed to the ICR. Examination of records to be maintained by the respondents 

will occur incidentally as part of the periodic inspection of sources that is part of the EPA’s overall 

compliance and enforcement program, and, therefore, is not attributable to the ICR. The only costs that 

the Federal government will incur are user costs associated with the analysis of the reported information, 

as presented in Table 4.

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

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

available on the OPM website, http://www.opm.gov/oca/11tables/pdf/gs_h.pdf. The government 

employee labor rates are $15.63/hour for clerical (GS-6, Step 3), $28.88 for technical (GS-12, Step 1) 

and $38.92/hr for management (GS-13, Step 5). These rates were increased by 60 percent to include 

fringe benefits and overhead. The fully-burdened wage rates used to represent Agency labor costs are:

clerical at $25.01/hour, technical at $46.21/hour and management at $62.27/hour.
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(d) Estimating the Respondent Universe and Total Burden and Costs.

There are an estimated 161 existing facilities that are currently subject to the Secondary

Aluminum Production NESHAP. No new major sources are expected the year following promulgation 

of these amendments. Consequently, the number of secondary aluminum respondents in the year 

following promulgation is 161 respondents per year.

For the proposed amendments to the Secondary Aluminum Production NESHAP, the 

components of the total annual burden attributable to this ICR include reading the amendments to the 

NESHAP; monthly verification of lime injection rates; analysis of performance test samples for HF; 

construction of temporary hooding and performing emissions tests on uncontrolled group 1 furnaces; and 

when a furnace designation is being changed, the requisite reporting and emissions testing to 

demonstrate compliance. All other recordkeeping and reporting activities are already accounted for in 

the ICR for the NESHAP.

(e) Bottom Line Burden Hours and Cost Tables.

(i) Respondent tally. The bottom line respondent burden hours and costs presented in Table 3 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 proposed amendments to subpart RRR for the 161existing facilities that are

subject to the Secondary Aluminum Production NESHAP is 1,725 person-hours, with an annual average 

cost of $165,521. The estimated annual operations and maintenance costs (O&M) as a result of these 

amendments is $643,600. Estimated annualized capital costs to the industry for the proposed 

amendments are $575,500, for a total estimated annualized costs (annualized capital and O&M) of 

$1,219,300.

(ii) The Agency tally. The average annual Federal Government cost is $12,231 for 271 hours for 

the proposed amendments to subpart RRR. The bottom line Agency burden hours and costs presented in 

Table 4 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. This section does not apply since no significant 

variation is anticipated.

(f) Reasons for Change in Burden.

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, 
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associated with a single incident totals approximately $3,142 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.

(g) Burden Statement

The average annual respondent burden for the proposed amendments to the Secondary

Aluminum Production NESHAP is estimated at 11 person-hours.

Burden means the total time, effort or financial resources expended by persons to generate, 

maintain, retain or disclose or provide information to or for a Federal agency. This includes the time 

needed to review instructions; develop, acquire, install and utilize technology and systems for the 

purposes of collecting, validating and verifying information, processing and maintaining information, 

and disclosing and providing information; adjust the existing ways to comply with any previously

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

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

otherwise disclose the information.

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

information unless it displays a currently valid OMB control number. The OMB control numbers for 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-2010-0544 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 
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Officer for EPA. Please include the relevant Docket ID Number (EPA-HQ-OAR-2011-0797) in any

correspondence.
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PART B

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

associated with the proposed rule.
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TABLE 3. ANNUAL RESPONDENT BURDEN AND COST - AMENDMENTS TO PRIMARY ALUMINUM NESHAPa

Burden item

(A)

Person-hours

per 

occurrence

(B)

No. of 

occurrences 

per

respondent

(C)

Person-hours 

per 

respondent 

(C=A*B)

(D)

Respondents 

per year

(E)

Technical 

person-hours 

per year 

(E=C*D)

(F)

Management 

person-hours 

per year

(E*0.05)

(G)

Clerical 

person-hours 

per year 

(E*0.1)

(H)

Costa, $

1. Applications N/A

2. Surveys and Studies N/A

3. Acquisition, Installation, and Utilization of 

Technology and Systems N/A

4. Reporting Requirements

A. Read instructionsb

4 1 4 161 644 32.2 64.4 $70, 964

B. Required activities

C. Create information N/A

D. Gather existing information N/A

E. Write report (changing furnace designation)c

2 1 2 50 100 5 10 $11,019

F. Affirmative defense reporting/root cause 

analysisd 6 1 1

18 12 $3,142

5. Recordkeeping Requirements

A. Read instructions See 4A

B. Plan activities N/A

C. Implement activities

Verify lime injection rate 0.1 36 3.6 161 579.6 28.98 57.96 $63,867

Changing furnace designation 2 1 2 50 100 5 10 $11,019

D. Develop record system N/A

E. Time to enter information See 4C

F. Time to train personnel N/A

G. Time to adjust existing ways to comply with 

previously applicable requirements N/A

H. Time to transmit or disclose information 1 1 1 50 50 2.5 5 $5,510

I. Time for audits N/A

TOTAL ANNUAL LABOR BURDEN AND COST 

(SALARY) 1503.6 73.68 147.36 $165,521

ANNUAL COSTS (O&M)

 Performance testing uncontrolled furnacese

$129,600

 HF testingf

$14,000

 Changing furnace designation, testingc

$500,000

ANNUALIZED CAPITAL COSTSg

$575,700

TOTAL ANNUALIZED COSTS (annualized capital 

cost and annual O&M costs) $1,219,300

N/A = not applicable.
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a This ICR uses the following labor rates: $121.42 for managerial labor, $99.14 for technical labor, and $49.81 for clerical labor. These rates are based on the U.S. Department of Labor, 

Bureau of Labor Statistics, Occupational Employment and Wages, September, 2011.

b There are an estimated 161 existing facilities; no new facilities are expected.

c

 An estimated 50 facilities would change furnace designations once per year. Testing for furnace changing is estimated at a cost of $10,000 per facility.

d

 See Section 4(b)(iii) above for breakdown of affirmative defense burden.

e

107 uncontrolled furnaces at 27 facilities would construct temporary hoods and conduct performance test every 5 years. 

f

 An estimated 20 facilities would be required to test HF with a total cost of $14,000.

g

27 facilities would be required to construct temporary hoods for testing at $226,000/ facility, annualized at 7% for 20 years.
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TABLE 4. ANNUAL BURDEN AND COST TO THE AGENCY - AMENDMENTS TO PRIMARY ALUMINUM NESHAP

Burden item

(A)

Person-hours 

per occurrence

(B)

Occurrences 

per respondent

(C)

EPA personhours/year 

(C=A*B)

(D)

Facilities 

per year

(E)

Technical personhours/year 

(E=C*D)

(F)

Management

person-hours/year 

(F=0.05*E)

(G)

Clerical personhours/year 

(G=0.1*E)

(H)

Costa, $

Report Review:

Review performance test reports and 

reports from facilities changing furnace 

designationb

4 1 4 59 236 11.8 23.6 $12,231

TOTAL BURDEN AND COST $12,231

a This ICR uses the following average hourly labor rates: $62.27 for managerial (GS-13, Step 5), $46.21 (GS-12, Step 1) for technical, and $25.01 (GS-6, Step 3) for clerical. These rates 

are from the Office of Personnel Management (OPM) 2011 General Schedule, which excludes locality rates of pay.

b Assumes Agency will review all of the annual reports - including the 4 HF tests/yr, 5 tests/yr for uncontrolled furnaces and 50 reports/yr for changing furnace designations.
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ATTACHMENT 1. INFORMATION REQUIREMENTS - AMENDMENTS TO PRIMARY ALUMINUM NESHAP

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

Lime injection rate verification §63.1510(i)(4) §63.1510(i)(4)

Measurements of HF in addition to HCl §63.1503, 63.1505, 

63.1511(c)(9), 63.1513

§63.1503, 63.1505, 

63.1511(c)(9), 63.1513

Uncontrolled furnaces that do not comply with 

ACGIH hooding guidelines §63.1512(e)(4) §63.1512(e)(4)

Changing furnace designations §63.1514 §63.1514