CFR 2021 Title40 Vol2

Title 40
Protection of Environment
Parts 50 to 51
Revised as of July 1, 2021
Containing a codification of documents

of general applicability and future effect
As of July 1, 2021
Published by the Office of the Federal Register

National Archives and Records Administration
as a Special Edition of the Federal Register
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Table of Contents
Page
Explanation ................................................................................................ v
Title 40:
Chapter I—Environmental Protection Agency (Continued) ............ 3
Finding Aids:
Table of CFR Titles and Chapters ....................................................... 685
Alphabetical List of Agencies Appearing in the CFR ......................... 705
List of CFR Sections Affected ............................................................. 715
iii
Cite this Code: CFR
To cite the regulations in

this volume use title,
part and section num-
ber. Thus, 40 CFR 50.1
refers to title 40, part
50, section 1.
iv
Explanation
The Code of Federal Regulations is a codification of the general and permanent
rules published in the Federal Register by the Executive departments and agen-
cies of the Federal Government. The Code is divided into 50 titles which represent
broad areas subject to Federal regulation. Each title is divided into chapters
which usually bear the name of the issuing agency. Each chapter is further sub-
divided into parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year and issued
on a quarterly basis approximately as follows:
Title 1 through Title 16..............................................................as of January 1
Title 17 through Title 27 .................................................................as of April 1
Title 28 through Title 41 ..................................................................as of July 1
Title 42 through Title 50 .............................................................as of October 1
The appropriate revision date is printed on the cover of each volume.
LEGAL STATUS
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U.S.C. 1507). The Code of Federal Regulations is prima facie evidence of the text
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1963, 1964-1972, 1973-1985, and 1986-2000.
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(c) The incorporating document is drafted and submitted for publication in
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vi
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OLIVER A. POTTS,
Director,
Office of the Federal Register
July 1, 2021
vii
THIS TITLE
Title 40—PROTECTION OF ENVIRONMENT is composed of thirty-seven volumes.

The parts in these volumes are arranged in the following order: Parts 1–49, parts
50–51, part 52 (52.01–52.1018), part 52 (52.1019–52.2019), part 52 (52.2020–end of part
52), parts 53–59, part 60 (60.1–60.499), part 60 (60.500–end of part 60, sections), part
60 (Appendices), parts 61–62, part 63 (63.1–63.599), part 63 (63.600–63.1199), part 63
(63.1200–63.1439), part 63 (63.1440–63.6175), part 63 (63.6580–63.8830), part 63 (63.8980–
end of part 63), parts 64–71, parts 72–79, part 80, part 81, parts 82–86, parts 87–
95, parts 96–99, parts 100–135, parts 136–149, parts 150–189, parts 190–259, parts 260–
265, parts 266–299, parts 300–399, parts 400–424, parts 425–699, parts 700–722, parts
723–789, parts 790–999, parts 1000–1059, and part 1060 to end. The contents of these
volumes represent all current regulations codified under this title of the CFR
as of July 1, 2021.
Chapter I—Environmental Protection Agency appears in all thirty-seven vol-

umes. OMB control numbers for title 40 appear in § 9.1 of this chapter.
Chapters IV–IX—Regulations issued by the Environmental Protection Agency

and Department of Justice, Council on Environmental Quality, Chemical Safety
and Hazard Investigation Board, Environmental Protection Agency and Depart-
ment of Defense; Uniform National Discharge Standards for Vessels of the Armed
Forces, Gulf Coast Ecosystem Restoration Council, and the Federal Permitting
Improvement Steering Council appear in volume thirty seven.
For this volume, Michele Bugenhagen was Chief Editor. The Code of Federal
Regulations publication program is under the direction of John Hyrum Martinez,
assisted by Stephen J. Frattini.
ix
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Title 40—Protection of
Environment
(This book contains parts 50 to 51)
Part
CHAPTER I—Environmental Protection Agency (Continued) 50
CHAPTER I—ENVIRONMENTAL PROTECTION
AGENCY (CONTINUED)
SUBCHAPTER C—AIR PROGRAMS
Part Page
50 National primary and secondary ambient air qual-
ity standards ........................................................ 5
51 Requirements for preparation, adoption, and sub-
mittal of implementation plans ........................... 169
SUBCHAPTER C—AIR PROGRAMS
IN THE ATMOSPHERE (NON-DISPERSIVE IN-

PART 50—NATIONAL PRIMARY AND FRARED PHOTOMETRY)
SECONDARY AMBIENT AIR APPENDIX D TO PART 50—REFERENCE MEAS-
QUALITY STANDARDS UREMENT PRINCIPLE AND CALIBRATION
PROCEDURE FOR THE MEASUREMENT OF
Sec. OZONE IN THE ATMOSPHERE
50.1 Definitions. (CHEMILUMINESCENCE METHOD)
50.2 Scope. APPENDIX E TO PART 50 [RESERVED]
50.3 Reference conditions. APPENDIX F TO PART 50—MEASUREMENT PRIN-
50.4 National primary ambient air quality CIPLE AND CALIBRATION PROCEDURE FOR
standards for sulfur oxides (sulfur diox- THE MEASUREMENT OF NITROGEN DIOXIDE
ide). IN THE ATMOSPHERE (GAS PHASE
50.5 National secondary ambient air quality CHEMILUMINESCENCE)
standard for sulfur oxides (sulfur diox- APPENDIX G TO PART 50—REFERENCE METHOD
ide). FOR THE DETERMINATION OF LEAD IN
50.6 National primary and secondary ambi- TOTAL SUSPENDED PARTICULATE MATTER
ent air quality standards for PM10. APPENDIX H TO PART 50—INTERPRETATION OF
50.7 National primary and secondary ambi- THE 1-HOUR PRIMARY AND SECONDARY NA-
ent air quality standards for PM2.5. TIONAL AMBIENT AIR QUALITY STANDARDS
50.8 National primary ambient air quality FOR OZONE
standards for carbon monoxide. APPENDIX I TO PART 50—INTERPRETATION OF
50.9 National 1-hour primary and secondary THE 8-HOUR PRIMARY AND SECONDARY NA-
ambient air quality standards for ozone. TIONAL AMBIENT AIR QUALITY STANDARDS
50.10 National 8-hour primary and sec- FOR OZONE
ondary ambient air quality standards for APPENDIX J TO PART 50—REFERENCE METHOD
ozone. FOR THE DETERMINATION OF PARTICULATE
50.11 National primary and secondary ambi- MATTER AS PM10 IN THE ATMOSPHERE
ent air quality standards for oxides of ni- APPENDIX K TO PART 50—INTERPRETATION OF
trogen (with nitrogen dioxide as the indi- THE NATIONAL AMBIENT AIR QUALITY
cator). STANDARDS FOR PARTICULATE MATTER
50.12 National primary and secondary ambi- APPENDIX L TO PART 50—REFERENCE METHOD
ent air quality standards for lead. FOR THE DETERMINATION OF FINE PARTIC-
50.13 National primary and secondary ambi- ULATE MATTER AS PM2.5 IN THE ATMOS-
ent air quality standards for PM2.5. PHERE
50.14 Treatment of air quality monitoring APPENDIX M TO PART 50 [RESERVED]
data influenced by exceptional events. APPENDIX N TO PART 50—INTERPRETATION OF
50.15 National primary and secondary ambi- THE NATIONAL AMBIENT AIR QUALITY
ent air quality standards for ozone. STANDARDS FOR PM2.5
50.16 National primary and secondary ambi- APPENDIX O TO PART 50—REFERENCE METHOD
ent air quality standards for lead. FOR THE DETERMINATION OF COARSE PAR-
50.17 National primary ambient air quality TICULATE MATTER AS PM10–2.5 IN THE AT-
standards for sulfur oxides (sulfur diox- MOSPHERE
ide). APPENDIX P TO PART 50—INTERPRETATION OF
50.18 National primary ambient air quality THE PRIMARY AND SECONDARY NATIONAL
standards for PM2.5. AMBIENT AIR QUALITY STANDARDS FOR
50.19 National primary and secondary ambi- OZONE
ent air quality standards for ozone. APPENDIX Q TO PART 50—REFERENCE METHOD
APPENDIX A–1 TO PART 50—REFERENCE MEAS- FOR THE DETERMINATION OF LEAD IN PAR-
UREMENT PRINCIPLE AND CALIBRATION TICULATE MATTER AS PM10 COLLECTED
PROCEDURE FOR THE MEASUREMENT OF FROM AMBIENT AIR
SULFUR DIOXIDE IN THE ATMOSPHERE (UL- APPENDIX R TO PART 50—INTERPRETATION OF
TRAVIOLET FLUORESCENCE METHOD) THE NATIONAL AMBIENT AIR QUALITY
APPENDIX A–2 TO PART 50—REFERENCE METH- STANDARDS FOR LEAD
OD FOR THE DETERMINATION OF SULFUR APPENDIX S TO PART 50—INTERPRETATION OF
DIOXIDE IN THE ATMOSPHERE THE PRIMARY NATIONAL AMBIENT AIR
(PARAROSANILINE METHOD) QUALITY STANDARDS FOR OXIDES OF NI-
APPENDIX B TO PART 50—REFERENCE METHOD TROGEN (NITROGEN DIOXIDE)
FOR THE DETERMINATION OF SUSPENDED APPENDIX T TO PART 50—INTERPRETATION OF
PARTICULATE MATTER IN THE ATMOS- THE PRIMARY NATIONAL AMBIENT AIR
PHERE (HIGH-VOLUME METHOD) QUALITY STANDARDS FOR OXIDES OF SUL-
APPENDIX C TO PART 50—MEASUREMENT PRIN- FUR (SULFUR DIOXIDE)
CIPLE AND CALIBRATION PROCEDURE FOR APPENDIX U TO PART 50—INTERPRETATION OF
THE MEASUREMENT OF CARBON MONOXIDE THE PRIMARY AND SECONDARY NATIONAL
§ 50.1 40 CFR Ch. I (7–1–21 Edition)
AMBIENT AIR QUALITY STANDARDS FOR lable or preventable, is an event(s)
OZONE caused by human activity that is un-
AUTHORITY: 42 U.S.C. 7401, et seq. likely to recur at a particular location
SOURCE: 36 FR 22384, Nov. 25, 1971, unless or a natural event(s), and is determined
otherwise noted. by the Administrator in accordance
with 40 CFR 50.14 to be an exceptional
§ 50.1 Definitions. event. It does not include air pollution
(a) As used in this part, all terms not relating to source noncompliance.
defined herein shall have the meaning Stagnation of air masses and meteoro-
given them by the Act. logical inversions do not directly cause
(b) Act means the Clean Air Act, as pollutant emissions and are not excep-
amended (42 U.S.C. 1857–18571, as tional events. Meteorological events
amended by Pub. L. 91–604). involving high temperatures or lack of
(c) Agency means the Environmental precipitation (i.e., severe, extreme or
Protection Agency. exceptional drought) also do not di-
(d) Administrator means the Adminis- rectly cause pollutant emissions and
trator of the Environmental Protection are not considered exceptional events.
Agency. However, conditions involving high
(e) Ambient air means that portion of temperatures or lack of precipitation
the atmosphere, external to buildings, may promote occurrences of particular
to which the general public has access. types of exceptional events, such as
(f) Reference method means a method wildfires or high wind events, which do
of sampling and analyzing the ambient directly cause emissions.
air for an air pollutant that is specified (k) Natural event means an event and
as a reference method in an appendix its resulting emissions, which may
to this part, or a method that has been recur at the same location, in which
designated as a reference method in ac- human activity plays little or no direct
cordance with part 53 of this chapter; it causal role. For purposes of the defini-
does not include a method for which a tion of a natural event, anthropogenic
reference method designation has been sources that are reasonably controlled
cancelled in accordance with § 53.11 or shall be considered to not play a direct
§ 53.16 of this chapter. role in causing emissions.
(g) Equivalent method means a method (l) Exceedance with respect to a na-
of sampling and analyzing the ambient tional ambient air quality standard
air for an air pollutant that has been means one occurrence of a measured or
designated as an equivalent method in modeled concentration that exceeds
accordance with part 53 of this chapter; the specified concentration level of
it does not include a method for which such standard for the averaging period
an equivalent method designation has specified by the standard.
been cancelled in accordance with (m) Prescribed fire is any fire inten-
§ 53.11 or § 53.16 of this chapter. tionally ignited by management ac-
(h) Traceable means that a local tions in accordance with applicable
standard has been compared and cer- laws, policies, and regulations to meet
tified either directly or via not more specific land or resource management
than one intermediate standard, to a objectives.
primary standard such as a National (n) Wildfire is any fire started by an
Bureau of Standards Standard Ref- unplanned ignition caused by light-
erence Material (NBS SRM), or a ning; volcanoes; other acts of nature;
USEPA/NBS-approved Certified Ref- unauthorized activity; or accidental,
erence Material (CRM). human-caused actions, or a prescribed
(i) Indian country is as defined in 18 fire that has developed into a wildfire.
U.S.C. 1151. A wildfire that predominantly occurs
(j) Exceptional event means an on wildland is a natural event.
event(s) and its resulting emissions (o) Wildland means an area in which
that affect air quality in such a way human activity and development are
that there exists a clear causal rela- essentially non-existent, except for
tionship between the specific event(s) roads, railroads, power lines, and simi-
and the monitored exceedance(s) or lar transportation facilities. Struc-
violation(s), is not reasonably control- tures, if any, are widely scattered.
Environmental Protection Agency § 50.4
(p) High wind dust event is an event any portion thereof which are more
that includes the high-speed wind and stringent than the national standards.
the dust that the wind entrains and [36 FR 22384, Nov. 25, 1971, as amended at 63
transports to a monitoring site. FR 7274, Feb. 12, 1998]
(q) High wind threshold is the min-
imum wind speed capable of causing § 50.3 Reference conditions.
particulate matter emissions from nat- All measurements of air quality that
ural undisturbed lands in the area af- are expressed as mass per unit volume
fected by a high wind dust event. (e.g., micrograms per cubic meter)
(r) Federal land manager means, con- other than for particulate matter
sistent with the definition in 40 CFR (PM2.5) standards contained in §§ 50.7,
51.301, the Secretary of the department 50.13, and 50.18, and lead standards con-
with authority over the Federal Class I tained in § 50.16 shall be corrected to a
area (or the Secretary’s designee) or, reference temperature of 25 (deg) C and
with respect to Roosevelt-Campobello a reference pressure of 760 millimeters
International Park, the Chairman of of mercury (1,013.2 millibars). Measure-
the Roosevelt-Campobello Inter- ments of PM2.5 for purposes of compari-
national Park Commission. son to the standards contained in
§§ 50.7, 50.13, and 50.18, and of lead for
[36 FR 22384, Nov. 25, 1971, as amended at 41
FR 11253, Mar. 17, 1976; 48 FR 2529, Jan. 20,
purposes of comparison to the stand-
1983; 63 FR 7274, Feb. 12, 1998; 72 FR 13580, ards contained in § 50.16 shall be re-
Mar. 22, 2007; 81 FR 68276, Oct. 3, 2016] ported based on actual ambient air vol-
ume measured at the actual ambient
§ 50.2 Scope. temperature and pressure at the moni-
toring site during the measurement pe-
(a) National primary and secondary
riod.
ambient air quality standards under
section 109 of the Act are set forth in [78 FR 3277, Jan. 15, 2013]
this part.
(b) National primary ambient air § 50.4 National primary ambient air
quality standards for sulfur oxides
quality standards define levels of air (sulfur dioxide).
quality which the Administrator
judges are necessary, with an adequate (a) The level of the annual standard
margin of safety, to protect the public is 0.030 parts per million (ppm), not to
health. National secondary ambient air be exceeded in a calendar year. The an-
quality standards define levels of air nual arithmetic mean shall be rounded
to three decimal places (fractional
quality which the Administrator
parts equal to or greater than 0.0005
judges necessary to protect the public
ppm shall be rounded up).
welfare from any known or anticipated
(b) The level of the 24-hour standard
adverse effects of a pollutant. Such
is 0.14 parts per million (ppm), not to
standards are subject to revision, and
be exceeded more than once per cal-
additional primary and secondary
endar year. The 24-hour averages shall
standards may be promulgated as the be determined from successive non-
Administrator deems necessary to pro- overlapping 24-hour blocks starting at
tect the public health and welfare. midnight each calendar day and shall
(c) The promulgation of national pri- be rounded to two decimal places (frac-
mary and secondary ambient air qual- tional parts equal to or greater than
ity standards shall not be considered in 0.005 ppm shall be rounded up).
any manner to allow significant dete- (c) Sulfur oxides shall be measured in
rioration of existing air quality in any the ambient air as sulfur dioxide by the
portion of any State or Indian country. reference method described in appendix
(d) The proposal, promulgation, or re- A to this part or by an equivalent
vision of national primary and sec- method designated in accordance with
ondary ambient air quality standards part 53 of this chapter.
shall not prohibit any State or Indian (d) To demonstrate attainment, the
country from establishing ambient air annual arithmetic mean and the sec-
quality standards for that State or ond-highest 24-hour averages must be
area under a tribal CAA program or based upon hourly data that are at
§ 50.5 40 CFR Ch. I (7–1–21 Edition)
least 75 percent complete in each cal- equal to or greater than 0.05 ppm shall
endar quarter. A 24-hour block average be rounded up).
shall be considered valid if at least 75 (b) Sulfur oxides shall be measured in
percent of the hourly averages for the the ambient air as sulfur dioxide by the
24-hour period are available. In the reference method described in appendix
event that only 18, 19, 20, 21, 22, or 23 A of this part or by an equivalent
hourly averages are available, the 24- method designated in accordance with
hour block average shall be computed part 53 of this chapter.
as the sum of the available hourly (c) To demonstrate attainment, the
averages using 18, 19, etc. as the divi- second-highest 3-hour average must be
sor. If fewer than 18 hourly averages based upon hourly data that are at
are available, but the 24-hour average least 75 percent complete in each cal-
would exceed the level of the standard endar quarter. A 3-hour block average
when zeros are substituted for the shall be considered valid only if all
missing values, subject to the rounding three hourly averages for the 3-hour
rule of paragraph (b) of this section, period are available. If only one or two
then this shall be considered a valid 24- hourly averages are available, but the
hour average. In this case, the 24-hour 3-hour average would exceed the level
block average shall be computed as the of the standard when zeros are sub-
sum of the available hourly averages stituted for the missing values, subject
divided by 24. to the rounding rule of paragraph (a) of
(e) The standards set forth in this this section, then this shall be consid-
section will remain applicable to all ered a valid 3-hour average. In all
areas notwithstanding the promulga- cases, the 3-hour block average shall be
tion of SO2 national ambient air qual- computed as the sum of the hourly
ity standards (NAAQS) in § 50.17. The averages divided by 3.
SO2 NAAQS set forth in this section [61 FR 25580, May 22, 1996]
will no longer apply to an area one
year after the effective date of the des- § 50.6 National primary and secondary
ignation of that area, pursuant to sec- ambient air quality standards for
tion 107 of the Clean Air Act, for the PM10.
SO2 NAAQS set forth in § 50.17; except (a) The level of the national primary
that for areas designated nonattain- and secondary 24-hour ambient air
ment for the SO2 NAAQS set forth in quality standards for particulate mat-
this section as of the effective date of ter is 150 micrograms per cubic meter
§ 50.17, and areas not meeting the re- (μg/m3), 24-hour average concentration.
quirements of a SIP call with respect The standards are attained when the
to requirements for the SO2 NAAQS set expected number of days per calendar
forth in this section, the SO2 NAAQS year with a 24-hour average concentra-
set forth in this section will apply tion above 150 μg/m3, as determined in
until that area submits, pursuant to accordance with appendix K to this
section 191 of the Clean Air Act, and part, is equal to or less than one.
EPA approves, an implementation plan (b) [Reserved]
providing for attainment of the SO2 (c) For the purpose of determining
NAAQS set forth in § 50.17. attainment of the primary and sec-
[61 FR 25579, May 22, 1996, as amended at 75
ondary standards, particulate matter
FR 35592, June 22, 2010] shall be measured in the ambient air as
PM10 (particles with an aerodynamic
§ 50.5 National secondary ambient air diameter less than or equal to a nomi-
quality standard for sulfur oxides nal 10 micrometers) by:
(sulfur dioxide). (1) A reference method based on ap-
(a) The level of the 3-hour standard is pendix J and designated in accordance
0.5 parts per million (ppm), not to be with part 53 of this chapter, or
exceeded more than once per calendar (2) An equivalent method designated
year. The 3-hour averages shall be de- in accordance with part 53 of this chap-
termined from successive nonoverlap- ter.
ping 3-hour blocks starting at midnight [52 FR 24663, July 1, 1987, as amended at 62
each calendar day and shall be rounded FR 38711, July 18, 1997; 65 FR 80779, Dec. 22,
to 1 decimal place (fractional parts 2000; 71 FR 61224, Oct. 17, 2006]
§ 50.7 National primary and secondary (c) An 8-hour average shall be consid-
ambient air quality standards for ered valid if at least 75 percent of the
PM2.5. hourly average for the 8-hour period
(a) The national primary and sec- are available. In the event that only
ondary ambient air quality standards six (or seven) hourly averages are
for particulate matter are 15.0 available, the 8-hour average shall be
micrograms per cubic meter (μg/m3) an- computed on the basis of the hours
nual arithmetic mean concentration, available using six (or seven) as the di-
and 65 μg/m3 24-hour average concentra- visor.
tion measured in the ambient air as (d) When summarizing data for
PM2.5 (particles with an aerodynamic comparision with the standards, aver-
diameter less than or equal to a nomi- ages shall be stated to one decimal
nal 2.5 micrometers) by either: place. Comparison of the data with the
(1) A reference method based on ap- levels of the standards in parts per mil-
pendix L of this part and designated in lion shall be made in terms of integers
accordance with part 53 of this chapter; with fractional parts of 0.5 or greater
or rounding up.
(2) An equivalent method designated [50 FR 37501, Sept. 13, 1985]
in accordance with part 53 of this chap-
ter. § 50.9 National 1-hour primary and
(b) The annual primary and sec- secondary ambient air quality
ondary PM2.5 standards are met when standards for ozone.
the annual arithmetic mean concentra- (a) The level of the national 1-hour
tion, as determined in accordance with primary and secondary ambient air
appendix N of this part, is less than or quality standards for ozone measured
equal to 15.0 micrograms per cubic by a reference method based on appen-
meter. dix D to this part and designated in ac-
(c) The 24-hour primary and sec- cordance with part 53 of this chapter, is
ondary PM2.5 standards are met when 0.12 parts per million (235 μg/m3). The
the 98th percentile 24-hour concentra- standard is attained when the expected
tion, as determined in accordance with number of days per calendar year with
appendix N of this part, is less than or maximum hourly average concentra-
equal to 65 micrograms per cubic tions above 0.12 parts per million (235
meter. μg/m3) is equal to or less than 1, as de-
[62 FR 38711, July 18, 1997, as amended at 69 termined by appendix H to this part.
FR 45595, July 30, 2004] (b) The 1-hour standards set forth in
this section will remain applicable to
§ 50.8 National primary ambient air all areas notwithstanding the promul-
quality standards for carbon mon- gation of 8-hour ozone standards under
oxide. § 50.10. The 1-hour NAAQS set forth in
(a) The national primary ambient air paragraph (a) of this section will no
quality standards for carbon monoxide longer apply to an area one year after
are: the effective date of the designation of
(1) 9 parts per million (10 milligrams that area for the 8-hour ozone NAAQS
per cubic meter) for an 8-hour average pursuant to section 107 of the Clean Air
concentration not to be exceeded more Act. Area designations and classifica-
than once per year and tions with respect to the 1-hour stand-
(2) 35 parts per million (40 milligrams ards are codified in 40 CFR part 81.
per cubic meter) for a 1-hour average [62 FR 38894, July 18, 1997, as amended at 65
concentration not to be exceeded more FR 45200, July 20, 2000; 68 FR 38163, June 26,
than once per year. 2003, 69 FR 23996, Apr. 30, 2004; 77 FR 28441,
(b) The levels of carbon monoxide in May 14, 2012]
the ambient air shall be measured by:
(1) A reference method based on ap- § 50.10 National 8-hour primary and
pendix C and designated in accordance secondary ambient air quality
with part 53 of this chapter, or standards for ozone.
(2) An equivalent method designated (a) The level of the national 8-hour
in accordance with part 53 of this chap- primary and secondary ambient air
ter. quality standards for ozone, measured
§ 50.11 40 CFR Ch. I (7–1–21 Edition)
by a reference method based on appen- meter), annual arithmetic mean con-

dix D to this part and designated in ac- centration.
cordance with part 53 of this chapter, is (d) The levels of the standards shall
0.08 parts per million (ppm), daily max- be measured by:
imum 8-hour average. (1) A reference method based on ap-
(b) The 8-hour primary and secondary pendix F to this part; or
ozone ambient air quality standards (2) By a Federal equivalent method
are met at an ambient air quality mon- (FEM) designated in accordance with
itoring site when the average of the an- part 53 of this chapter.
nual fourth-highest daily maximum 8- (e) The annual primary standard is
hour average ozone concentration is met when the annual average con-
less than or equal to 0.08 ppm, as deter- centration in a calendar year is less
mined in accordance with appendix I to than or equal to 53 ppb, as determined
this part. in accordance with appendix S of this
(c) Until the effective date of the part for the annual standard.
final Implementation of the 2008 Na- (f) The 1-hour primary standard is
tional Ambient Air Quality Standards met when the three-year average of the
for Ozone: State Implementation Plan annual 98th percentile of the daily
Requirements Rule (final SIP Require- maximum 1-hour average concentra-
ments Rule) to be codified at 40 CFR tion is less than or equal to 100 ppb, as
51.1100 et seq., the 1997 ozone NAAQS set determined in accordance with appen-
forth in this section will continue in ef- dix S of this part for the 1-hour stand-
fect, notwithstanding the promulga- ard.
tion of the 2008 ozone NAAQS under (g) The secondary standard is at-
§ 50.15. The 1997 ozone NAAQS set forth tained when the annual arithmetic
in this section will no longer apply mean concentration in a calendar year
upon the effective date of the final SIP is less than or equal to 0.053 ppm,
Requirements Rule. For purposes of rounded to three decimal places (frac-
the anti-backsliding requirements of tional parts equal to or greater than
§ 51.1105, § 51.165 and Appendix S to part 0.0005 ppm must be rounded up). To
51, the area designations and classifica- demonstrate attainment, an annual
tions with respect to the revoked 1997 mean must be based upon hourly data
ozone NAAQS are codified in 40 CFR that are at least 75 percent complete or
part 81. upon data derived from manual meth-
ods that are at least 75 percent com-
[62 FR 38894, July 18, 1997, as amended at 77 plete for the scheduled sampling days
FR 30170, May 21, 2012; 80 FR 12312, Mar. 6,
in each calendar quarter.
2015]
[75 FR 6531, Feb. 9, 2010]
§ 50.11 National primary and sec-
ondary ambient air quality stand- § 50.12 National primary and sec-
ards for oxides of nitrogen (with ni- ondary ambient air quality stand-
trogen dioxide as the indicator). ards for lead.
(a) The level of the national primary (a) National primary and secondary
annual ambient air quality standard ambient air quality standards for lead
for oxides of nitrogen is 53 parts per and its compounds, measured as ele-
billion (ppb, which is 1 part in mental lead by a reference method
1,000,000,000), annual average con- based on appendix G to this part, or by
centration, measured in the ambient an equivalent method, are: 1.5
air as nitrogen dioxide. micrograms per cubic meter, maximum
(b) The level of the national primary arithmetic mean averaged over a cal-
1-hour ambient air quality standard for endar quarter.
oxides of nitrogen is 100 ppb, 1-hour av- (b) The standards set forth in this
erage concentration, measured in the section will remain applicable to all
ambient air as nitrogen dioxide. areas notwithstanding the promulga-
(c) The level of the national section of lead national ambient air qual-
ondary ambient air quality standard ity standards (NAAQS) in § 50.16. The
for nitrogen dioxide is 0.053 parts per lead NAAQS set forth in this section
million (100 micrograms per cubic will no longer apply to an area one
10
year after the effective date of the des- promulgation of the 2012 primary an-
ignation of that area, pursuant to sec- nual PM2.5 NAAQS under § 50.18. The
tion 107 of the Clean Air Act, for the 1997 primary annual PM2.5 NAAQS set
lead NAAQS set forth in § 50.16; except forth in this section will no longer
that for areas designated nonattain- apply upon the effective date of the
ment for the lead NAAQS set forth in final Fine Particulate Matter National
this section as of the effective date of Ambient Air Quality Standards: State
§ 50.16, the lead NAAQS set forth in this Implementation Plan Requirements
section will apply until that area sub- rule; except that for areas designated
mits, pursuant to section 191 of the nonattainment for the 1997 annual
Clean Air Act, and EPA approves, an PM2.5 NAAQS set forth in this section
implementation plan providing for at- as of the effective date of the final Fine
tainment and/or maintenance of the Particulate Matter National Ambient
lead NAAQS set forth in § 50.16. Air Quality Standards: State Imple-
(Secs. 109, 301(a) Clean Air Act as amended mentation Plan Requirements rule, the
(42 U.S.C. 7409, 7601(a))) requirements applicable to the 1997 pri-
[43 FR 46258, Oct. 5, 1978, as amended at 73 FR mary annual PM2.5 NAAQS set forth in
67051, Nov. 12, 2008] this section will apply until the effec-
tive date of an area’s redesignation to
§ 50.13 National primary and sec- attainment for the 1997 annual PM2.5
ondary ambient air quality stand- NAAQS pursuant to the requirements
ards for PM2.5. of section 107 of the Clean Air Act. The
(a) The national primary and sec- 1997 secondary annual PM2.5 NAAQS
ondary ambient air quality standards and the 1997 24-hour PM2.5 NAAQS shall
for particulate matter are 15.0 remain in effect. The area designations
micrograms per cubic meter (μg/m3) an- and classifications with respect to the
nual arithmetic mean concentration, 1997 annual and 24-hour PM2.5 NAAQS
and 35 μg/m3 24-hour average concentra- remain codified in 40 CFR part 81 in
tion measured in the ambient air as order to provide information on where
PM2.5 (particles with an aerodynamic the 1997 primary annual PM2.5 NAAQS
diameter less than or equal to a nomi- has been revoked and to facilitate the
nal 2.5 micrometers) by either: implementation of the 1997 secondary
(1) A reference method based on ap- annual PM2.5 NAAQS and the 1997 24-
pendix L of this part and designated in hour PM2.5 NAAQS.
accordance with part 53 of this chapter;
or [71 FR 61224, Oct. 17, 2006, as amended at 81
(2) An equivalent method designated FR 58149, Aug. 24, 2016]
in accordance with part 53 of this chap-
§ 50.14 Treatment of air quality moni-
ter. toring data influenced by excep-
(b) The annual primary and sectional events.
ondary PM2.5 standards are met when
the annual arithmetic mean concentra- (a) Requirements—(1) Scope. (i) This
tion, as determined in accordance with section applies to the treatment of
appendix N of this part, is less than or data showing exceedances or violations
equal to 15.0 μg/m3. of any national ambient air quality
(c) The 24-hour primary and sec- standard for purposes of the following
ondary PM2.5 standards are met when types of regulatory determinations by
the 98th percentile 24-hour concentra- the Administrator:
tion, as determined in accordance with (A) An action to designate an area,
appendix N of this part, is less than or pursuant to Clean Air Act section
equal to 35 μg/m3. 107(d)(1), or redesignate an area, pursu-
(d) Until the effective date of the ant to Clean Air Act section 107(d)(3),
final Fine Particulate Matter National for a particular national ambient air
Ambient Air Quality Standards: State quality standard;
Implementation Plan Requirements (B) The assignment or re-assignment
rule to be codified at 40 CFR 51.1000 of a classification category to a non-
through 51.1016, the 1997 annual PM2.5 attainment area where such classifica-
NAAQS set forth in this section will tion is based on a comparison of pollut-
continue in effect, notwithstanding the ant design values, calculated according
11
§ 50.14 40 CFR Ch. I (7–1–21 Edition)
to the specific data handling proce- ments applying to the federal land
dures in 40 CFR part 50 for each na- manager or other federal agency.
tional ambient air quality standard, to (C) Provided all provisions in this
the level of the relevant national ambi- section are met, the Administrator
ent air quality standard; shall allow a State to submit dem-
(C) A determination regarding wheth- onstrations for any regulatory monitor
er a nonattainment area has attained within its jurisdictional bounds, in-
the level of the appropriate national cluding those operated by federal land
ambient air quality standard by its managers, other federal agencies and
specified deadline; delegated local agencies.
(D) A determination that an area has (D) Where multiple agencies within a
data for the specific NAAQS, which state submit demonstrations for events
qualify the area for an attainment date that meet the requirements of the Ex-
extension under the CAA provisions for ceptional Events Rule, a State sub-
the applicable pollutant; mittal shall have primacy for any regu-
(E) A determination under Clean Air latory monitor within its jurisdictional
Act section 110(k)(5), if based on an bounds.
area violating a national ambient air (2) A demonstration to justify data
quality standard, that the state imple- exclusion may include any reliable and
mentation plan is inadequate under the accurate data, but must specifically
address the elements in paragraphs
requirements of Clean Air Act section
(c)(3)(iv) and (v) of this section.
110; and
(b) Determinations by the Adminis-
(F) Other actions on a case-by-case
trator—(1) Generally. The Administrator
basis as determined by the Adminis-
shall exclude data from use in deter-
trator.
minations of exceedances and viola-
(ii) A State, federal land manager or tions identified in paragraph (a)(1)(i) of
other federal agency may request the this section where a State dem-
Administrator to exclude data showing onstrates to the Administrator’s satis-
exceedances or violations of any na- faction that an exceptional event
tional ambient air quality standard caused a specific air pollution con-
that are directly due to an exceptional centration at a particular air quality
event from use in determinations iden- monitoring location and otherwise sat-
tified in paragraph (a)(1)(i) of this sec- isfies the requirements of this section.
tion by demonstrating to the Adminis- (2) Fireworks displays. The Adminis-
trator’s satisfaction that such event trator shall exclude data from use in
caused a specific air pollution con- determinations of exceedances and vio-
centration at a particular air quality lations where a State demonstrates to
monitoring location. the Administrator’s satisfaction that
(A) For a federal land manager or emissions from fireworks displays
other federal agency to be eligible to caused a specific air pollution con-
initiate such a request for data exclu- centration in excess of one or more na-
sion, the federal land manager or other tional ambient air quality standards at
federal agency must: a particular air quality monitoring lo-
(1) Either operate a regulatory mon- cation and otherwise satisfies the re-
itor that has been affected by an excep- quirements of this section. Such data
tional event or manage land on which will be treated in the same manner as
an exceptional event occurred that in- exceptional events under this rule, pro-
fluenced a monitored concentration at vided a State demonstrates that such
a regulatory monitor; and use of fireworks is significantly inte-
(2) Initiate such a request only after gral to traditional national, ethnic, or
the State in which the affected mon- other cultural events including, but
itor is located concurs with the federal not limited to, July Fourth celebra-
land manager’s or other federal agen- tions that satisfy the requirements of
cy’s submittal. this section.
(B) With regard to such a request, all (3) Prescribed fires. (i) The Adminis-
provisions in this section that are ex- trator shall exclude data from use in
pressed as requirements applying to a determinations of exceedances and vio-
State shall, except as noted, be require- lations, where a State demonstrates to
12
the Administrator’s satisfaction that manage air quality impacts during the
emissions from prescribed fires caused conduct of prescribed fires on wildland.
a specific air pollution concentration Such discussions must include out-
in excess of one or more national ambi- reach and education regarding general
ent air quality standards at a par- expectations for the selection and ap-
ticular air quality monitoring location plication of appropriate basic smoke
and otherwise satisfies the require- management practices and goals for
ments of this section. advancing strategies and increasing
(ii) In addressing the requirements adoption and communication of the
set forth in paragraph (c)(3)(iv)(D) of benefits of appropriate basic smoke
this section regarding the not reason- management practices;
ably controllable or preventable cri- (2) The State, federal land managers
terion: and burn managers shall have an ini-
(A) With respect to the requirement tial implementation period, defined as
that a prescribed fire be not reasonably being 2 years from September 30, 2016,
controllable, the State must either cer- to implement the collaboration and
tify to the Administrator that it has outreach effort identified in paragraph
adopted and is implementing a smoke (b)(3)(ii)(B)(1) of this section; and
management program or the State (3) Except as provided in paragraph
must demonstrate that the burn man- (b)(3)(ii)(B)(2) of this section, the Ad-
ager employed appropriate basic smoke ministrator shall not place a concur-
management practices identified in rence flag in the appropriate field for
Table 1 to § 50.14. Where a burn man-
the data record in the AQS database, as
ager employs appropriate basic smoke
specified in paragraph (c)(2)(ii) of this
management practices, the State may
section, if the data are associated with
rely on a statement or other docu-
a prescribed fire on wildland unless the
mentation provided by the burn man-
requirements of paragraph
ager that he or she employed those
(b)(3)(ii)(B)(1) of this section have been
practices. If an exceedance or violation
met and associated documentation ac-
of a NAAQS occurs when a prescribed
companies any applicable exceptional
fire is employing an appropriate basic
events demonstration. The Adminis-
smoke management practices ap-
trator may nonconcur or defer action
proach, the State and the burn man-
ager must undertake a review of the on such a demonstration.
subject fire, including a review of the (C) With respect to the requirement
basic smoke management practices ap- that a prescribed fire be not reasonably
plied during the subject fire to ensure preventable, the State may rely upon
the protection of air quality and public and reference a multi-year land or re-
health and progress towards restoring source management plan for a wildland
and/or maintaining a sustainable and area with a stated objective to estab-
resilient wildland ecosystem. If the lish, restore and/or maintain a sustain-
prescribed fire becomes the subject of able and resilient wildland ecosystem
an exceptional events demonstration, and/or to preserve endangered or
documentation of the post-burn review threatened species through a program
must accompany the demonstration. of prescribed fire provided that the Ad-
(B) If the State anticipates satisfying ministrator determines that there is no
the requirements of paragraph compelling evidence to the contrary in
(c)(3)(iv)(D) of this section by employ- the record and the use of prescribed
ing the appropriate basic smoke man- fire in the area has not exceeded the
agement practices identified in Table 1 frequency indicated in that plan.
to § 50.14, then: (iii) Provided the Administrator de-
(1) The State, federal land managers, termines that there is no compelling
and other entities as appropriate, must evidence to the contrary in the record,
periodically collaborate with burn in addressing the requirements set
managers operating within the juris- forth in paragraph (c)(3)(iv)(E) of this
diction of the State to discuss and doc- section regarding the human activity
ument the process by which air agen- unlikely to recur at a particular loca-
cies and land managers will work to- tion criterion for demonstrations in-
gether to protect public health and volving prescribed fires on wildland,
13
§ 50.14 40 CFR Ch. I (7–1–21 Edition)
the State must describe the actual fre- tained in a multi-year land or resource
quency with which a burn was con- management plan with a stated objec-
ducted, but may rely upon and ref- tive to establish, restore and/or main-
erence an assessment of the natural tain a sustainable and resilient
fire return interval or the prescribed wildland ecosystem and/or to preserve
fire frequency needed to establish, re- endangered or threatened species
store and/or maintain a sustainable through a program of prescribed fire.
and resilient wildland ecosystem con-
TABLE 1 TO § 50.14—SUMMARY OF BASIC SMOKE MANAGEMENT PRACTICES, BENEFIT ACHIEVED
WITH THE BSMP, AND WHEN IT IS APPLIEDa
When the BSMP is ap-
Basic Smoke Management Practice b Benefit achieved with the BSMP plied—before/during/after
the burn
Evaluate Smoke Dispersion Condi- Minimize smoke impacts ...................................................... Before, During, After.
tions.
Monitor Effects on Air Quality ............ Be aware of where the smoke is going and degree it im- Before, During, After.
pacts air quality.
Record-Keeping/Maintain a Burn/ Retain information about the weather, burn and smoke. If Before, During, After.
Smoke Journal. air quality problems occur, documentation helps analyze
and address air regulatory issues..
Communication—Public Notification .. Notify neighbors and those potentially impacted by smoke, Before, During.
especially sensitive receptors.
Consider Emission Reduction Tech- Reducing emissions through mechanisms such as reduc- Before, During, After.
niques. ing fuel loading can reduce downwind impacts.
Share the Airshed—Coordination of Coordinate multiple burns in the area to manage exposure Before, During, After.
Area Burning. of the public to smoke.
a The EPA believes that elements of these BSMP could also be practical and beneficial to apply to wildfires for areas likely to
experience recurring wildfires.
b The listing of BSMP in this table is not intended to be all-inclusive. Not all BSMP are appropriate for all burns. Goals for ap-
plicability should retain flexibility to allow for onsite variation and site-specific conditions that can be variable on the day of the
burn. Burn managers can consider other appropriate BSMP as they become available due to technological advancement or pro-
grammatic refinement.
(4) Wildfires. The Administrator shall national ambient air quality standards
exclude data from use in determina- at a particular air quality monitoring
tions of exceedances and violations location and otherwise satisfies the re-
where a State demonstrates to the Ad- quirements of this section provided
ministrator’s satisfaction that emis- that such emissions are from high wind
sions from wildfires caused a specific dust events.
air pollution concentration in excess of (ii) The Administrator will consider
one or more national ambient air qual- high wind dust events to be natural
ity standard at a particular air quality events in cases where windblown dust
monitoring location and otherwise satis entirely from natural undisturbed
isfies the requirements of this section. lands in the area or where all anthro-
Provided the Administrator determines pogenic sources are reasonably con-
that there is no compelling evidence to trolled as determined in accordance
the contrary in the record, the Admin-
with paragraph (b)(8) of this section.
istrator will determine every wildfire
(iii) The Administrator will accept a
occurring predominantly on wildland
to have met the requirements identi- high wind threshold of a sustained
fied in paragraph (c)(3)(iv)(D) of this wind of 25 mph for areas in the States
section regarding the not reasonably of Arizona, California, Colorado, Kan-
controllable or preventable criterion. sas, Nebraska, Nevada, New Mexico,
(5) High wind dust events. (i) The Ad- North Dakota, Oklahoma, South Da-
ministrator shall exclude data from use kota, Texas, Utah, and Wyoming pro-
in determinations of exceedances and vided this value is not contradicted by
violations, where a State demonstrates evidence in the record at the time the
to the Administrator’s satisfaction State submits a demonstration. In lieu
that emissions from a high wind dust of this threshold, States can identify
event caused a specific air pollution
concentration in excess of one or more
14
and use an Administrator-approved al- (7) Determinations with respect to event

ternate area-specific high wind thresh- aggregation, multiple national ambient air
old that is more representative of local quality standards for the same pollutant,
or regional conditions, if appropriate. and exclusion of 24-hour values for partic-
(iv) In addressing the requirements ulate matter.
set forth in paragraph (c)(3)(iv)(D) of (i) Where a State demonstrates to the
this section regarding the not reason- Administrator’s satisfaction that for
ably preventable criterion, the State national ambient air quality standards
shall not be required to provide a case- with averaging or cumulative periods
specific justification for a high wind less than or equal to 24 hours the ag-
dust event. gregate effect of events occurring on
(v) With respect to the not reason- the same day has caused an exceedance
ably controllable criterion of para- or violation, the Administrator shall
graph (c)(3)(iv)(D) of this section, dust determine such collective data to sat-
controls on an anthropogenic source isfy the requirements in paragraph
shall be considered reasonable in any (c)(3)(iv)(B) of this section regarding
case in which the controls render the the clear causal relationship criterion.
anthropogenic source as resistant to Where a State demonstrates to the Ad-
high winds as natural undisturbed ministrator’s satisfaction that for na-
lands in the area affected by the high tional ambient air quality standards
wind dust event. The Administrator with averaging or cumulative periods
may determine lesser controls reason- longer than 24 hours the aggregate ef-
able on a case-by-case basis. fect of events occurring on different
(vi) For large-scale and high-energy days has caused an exceedance or viola-
high wind dust events, the Adminis- tion, the Administrator shall deter-
trator will generally consider a dem- mine such collective data to satisfy the
onstration documenting the nature and requirements in paragraph (c)(3)(iv)(B)
extent of the event to be sufficient of this section regarding the clear
with respect to the not reasonably con- causal relationship criterion.
trollable criterion of paragraph (ii) The Administrator shall accept as
(c)(3)(iv)(D) of this section provided the part of a demonstration for the clear
State provides evidence showing that causal relationship in paragraph
the event satisfies the following: (c)(3)(iv)(B) of this section with respect
(A) The event is associated with a to a 24-hour NAAQS, a State’s compari-
dust storm and is the focus of a Dust son of a 24-hour concentration of any
Storm Warning. national ambient air quality standard
(B) The event has sustained winds pollutant to the level of a national am-
that are greater than or equal to 40 bient air quality standard for the same
miles per hour. pollutant with a longer averaging pe-
(C) The event has reduced visibility riod. The Administrator shall also ac-
equal to or less than 0.5 miles. cept as part of a demonstration for the
(6) Stratospheric Intrusions. Where a clear causal relationship in paragraph
State demonstrates to the Administra- (c)(3)(iv)(B) of this section with respect
tor’s satisfaction that emissions from to a NAAQS with a longer averaging
stratospheric intrusions caused a spe- period, a State’s comparison of a 24-
cific air pollution concentration in ex- hour concentration of any national am-
cess of one or more national ambient bient air quality standard pollutant to
air quality standard at a particular air the level of the national ambient air
quality monitoring location and other- quality standard for the same pollut-
wise satisfies the requirements of this ant with a longer averaging period,
section, the Administrator will deter- without the State having to dem-
mine stratospheric intrusions to have onstrate that the event caused the an-
met the requirements identified in nual average concentration of the pol-
paragraph (c)(3)(iv)(D) of this section lutant to exceed the level of the
regarding the not reasonably control- NAAQS with the longer averaging pe-
lable or preventable criterion and shall riod.
exclude data from use in determina- (iii) Where a State operates a contin-
tions of exceedances and violations. uous analyzer that has been designated
15
§ 50.14 40 CFR Ch. I (7–1–21 Edition)
as a Federal Equivalent Method mon- Air Act for the state implementation
itor as defined in 40 CFR 50.1(g) that plan, tribal implementation plan, or
complies with the monitoring require- federal implementation plan to be rea-
ments of 40 CFR part 58, Appendix C, sonable controls with respect to all an-
and the State believes that collected thropogenic sources that have or may
data have been influenced by an event, have contributed to the monitored ex-
in following the process outlined in ceedance or violation.
paragraph (c)(2) of this section, the (vi) Where a State, tribal or federal
State shall create an initial event de- air agency is obligated to revise its
scription and flag the associated event- state implementation plan, tribal im-
influenced data that have been sub- plementation plan, or federal imple-
mitted to the AQS database for the af- mentation plan, the deference to en-
fected monitor. Where a State dem- forceable control measures identified
onstrates to the Administrator’s satis- in paragraph (b)(8)(v) of this section
faction that such data satisfy the re- shall remain only until the due date of
quirements in paragraph (c)(3)(iv)(B) of the required state implementation
this section regarding the clear causal plan, tribal implementation plan, or
relationship criterion and otherwise federal implementation plan revisions.
satisfy the requirements of this sec- However, where an air agency is obli-
tion, the Administrator shall agree to gated to revise the enforceable control
exclude all data within the affected measures identified in paragraph
calendar day(s). (b)(8)(v) of this section in its imple-
(8) Determinations with respect to the mentation plan as a result of an action
not reasonably controllable or preventable pursuant to Clean Air Act section
criterion. (i) The not reasonably con- 110(k)(5), the deference, if any, to those
trollable or preventable criterion has enforceable control measures shall be
two prongs that the State must dem- determined on a case-by-case basis.
onstrate: prevention and control. (vii) The Administrator shall not re-
(ii) The Administrator shall deter- quire a State to provide case-specific
mine that an event is not reasonably justification to support the not reason-
preventable if the State shows that ably controllable or preventable cri-
reasonable measures to prevent the terion for emissions-generating activ-
event were applied at the time of the ity that occurs outside of the State’s
event. jurisdictional boundaries within which
(iii) The Administrator shall deter- the concentration at issue was mon-
mine that an event is not reasonably itored. In the case of a tribe treated as
controllable if the State shows that a state under 40 CFR 49.2 with respect
reasonable measures to control the im- to exceptional events requirements,
pact of the event on air quality were the tribe’s jurisdictional boundaries for
applied at the time of the event. purposes of requiring or directly imple-
(iv) The Administrator shall assess menting emission controls apply. In
the reasonableness of available con- the case of a federal land manager or
trols for anthropogenic sources based other federal agency submitting a dem-
on information available as of the date onstration under the requirements of
of the event. this section, the jurisdictional bound-
(v) Except where a State, tribal or aries that apply are those of the State
federal air agency is obligated to revise or the tribe depending on which has ju-
its state implementation plan, tribal risdiction over the area where the
implementation plan, or federal imple- event has occurred.
mentation plan, the Administrator (viii) In addition to the provisions
shall consider enforceable control that apply to specific event types iden-
measures implemented in accordance tified in paragraphs (b)(3)(ii) and
with a state implementation plan, trib- (b)(5)(i) through (iii) of this section in
al implementation plan, or federal im- addressing the requirements set forth
plementation plan, approved by the in paragraph (c)(3)(iv)(D) of this sec-
EPA within 5 years of the date of the tion regarding the not reasonably con-
event, that address the event-related trollable or preventable criterion, the
pollutant and all sources necessary to State must include the following com-
fulfill the requirements of the Clean ponents:
16
(A) Identification of the natural and an event occurs or is reasonably antici-

anthropogenic sources of emissions pated to occur which may result in the
causing and contributing to the mon- exceedance of an applicable air quality
itored exceedance or violation, includ- standard.
ing the contribution from local (ii) [Reserved]
sources. (2) Initial notification of potential ex-
(B) Identification of the relevant ceptional event. (i) A State shall notify
state implementation plan, tribal im- the Administrator of its intent to re-
plementation plan, or federal imple- quest exclusion of one or more meas-
mentation plan or other enforceable ured exceedances of an applicable na-
control measures in place for the tional ambient air quality standard as
sources identified in paragraph being due to an exceptional event by
(b)(8)(vii)(A) of this section and the im- creating an initial event description
plementation status of these controls. and flagging the associated data that
(C) Evidence of effective implementa- have been submitted to the AQS data-
tion and enforcement of the measures base and by engaging in the Initial No-
identified in paragraph (b)(8)(vii)(B) of tification of Potential Exceptional
this section. Event process as follows:
(D) The provisions in this paragraph (A) The State and the appropriate
shall not apply if the provisions in EPA Regional office shall engage in
paragraph (b)(4), (b)(5)(vi), or (b)(6) of regular communications to identify
this section apply. those data that have been potentially
(9) Mitigation plans. (i) Except as pro- influenced by an exceptional event, to
vided for in paragraph (b)(9)(ii) of this determine whether the identified data
section, where a State is subject to the may affect a regulatory determination
requirements of 40 CFR 51.930(b), the and to discuss whether the State
Administrator shall not place a concur- should develop and submit an excep-
rence flag in the appropriate field for tional events demonstration according
the data record in the AQS database, as to the requirements in this section;
specified in paragraph (c)(2)(ii) of this (B) For data that may affect an an-
section, if the data are of the type and ticipated regulatory determination or
pollutant that are the focus of the where circumstances otherwise compel
mitigation plan until the State fulfills the Administrator to prioritize the re-
its obligations under the requirements sulting demonstration, the Adminis-
of 40 CFR 51.930(b). The Administrator trator shall respond to a State’s Initial
may nonconcur or defer action on such Notification of Potential Exceptional
a demonstration. Event with a due date for demonstra-
(ii) The prohibition on placing a con- tion submittal that considers the na-
currence flag in the appropriate field ture of the event and the anticipated
for the data record in the AQS data- timing of the associated regulatory de-
base by the Administrator stated in cision;
paragraph (b)(9(i) of this section does (C) The Administrator may waive the
not apply to data that are included in Initial Notification of Potential Excep-
an exceptional events demonstration tional Event process on a case-by-case
that is: basis.
(A) submitted in accordance with (ii) The data shall not be excluded
paragraph (c)(3) of this section that is from determinations with respect to
also of the type and pollutant that is exceedances or violations of the na-
the focus of the mitigation plan, and tional ambient air quality standards
(B) submitted within the 2-year pe- unless and until, following the State’s
riod allowed for mitigation plan devel- submittal of its demonstration pursu-
opment as specified in 40 CFR ant to paragraph (c)(3) of this section
51.930(b)(3). and the Administrator’s review, the
(c) Schedules and procedures—(1) Pub- Administrator notifies the State of its
lic notification. (i) In accordance with concurrence by placing a concurrence
the mitigation requirement at 40 CFR flag in the appropriate field for the
51.930(a)(1), all States and, where appli- data record in the AQS database.
cable, their political subdivisions must (iii) [Reserved]
notify the public promptly whenever (iv) [Reserved]
17
§ 50.14 40 CFR Ch. I (7–1–21 Edition)
(v) [Reserved] may influence the initial designation

(vi) Table 2 to § 50.14 identifies the of areas for any new or revised national
submission process for data that will or ambient air quality standard.
TABLE 2 TO § 50.14—SCHEDULE FOR INITIAL NOTIFICATION AND DEMONSTRATION SUBMISSION FOR
DATA INFLUENCED BY EXCEPTIONAL EVENTS FOR USE IN INITIAL AREA DESIGNATIONS
Exceptional events/Regulatory action Condition Exceptional events deadline schedule d
(A) Initial Notification deadline for data years If state and tribal initial designa- then the Initial Notification deadline will be
1, 2 and 3.a. tion recommendations for a the July 1 prior to the recommendation
new/revised national ambient deadline.
air quality standard are due
August through January,
(B) Initial Notification deadline for data years If state and tribal recommenda- then the Initial Notification deadline will be
1, 2 and 3.a. tions for a new/revised national the January 1 prior to the recommenda-
ambient air quality standard tion deadline.
are due February through July,
(C) Exceptional events demonstration sub- None ............................................ no later than the later of November 29, 2016
mittal deadline for data years 1, 2 and 3 a. or the date that state and tribal rec-
ommendations are due to the Adminis-
trator.
(D) Initial Notification and exceptional events None ............................................ by the last day of the month that is 1 year
demonstration submittal deadline for data and 7 months after promulgation of a
year 4 b and, where applicable, data year new/revised national ambient air quality
5.c. standard, unless either paragraph (E) or
paragraph (F) applies.
(E) Initial Notification and exceptional events If the Administrator follows a 3- the deadline is 2 years and 7 months after
demonstration submittal deadline for data year designation schedule. promulgation of a new/revised national
year 4 b and, where applicable, data year ambient air quality standard.
5.c.
(F) Initial Notification and exceptional events If the Administrator notifies the the deadline is 5 months prior to the date
demonstration submittal deadline for data state/tribe that it intends to specified for final designations decisions
year 4 b and, where applicable, data year complete the initial area des- in such Administrator notification.
5.c. ignations process according to
a schedule between 2 and 3
years,.
a Where data years 1, 2, and 3 are those years expected to be considered in state and tribal recommendations.
b Where data year 4 is the additional year of data that the Administrator may consider when making final area designations for
a new/revised national ambient air quality standard under the standard designations schedule.
c Where data year 5 is the additional year of data that the Administrator may consider when making final area designations for
a new/revised national ambient air quality standard under an extended designations schedule.
d The date by which air agencies must certify their ambient air quality monitoring data in AQS is annually on May 1 of the year
following the year of data collection as specified in 40 CFR 58.15(a)(2). In some cases, however, air agencies may choose to
certify a prior year’s data in advance of May 1 of the following year, particularly if the Administrator has indicated intent to pro-
mulgate final designations in the first 8 months of the calendar year. Exceptional events demonstration deadlines for ‘‘early cer-
tified’’ data will follow the deadlines for ‘‘year 4’’ and ‘‘year 5’’ data.
(3) Submission of demonstrations. (i) led to the exceedance or violation at

Except as provided under paragraph the affected monitor(s);
(c)(2)(vi) of this section, a State that (B) A demonstration that the event
has flagged data as being due to an ex- affected air quality in such a way that
ceptional event and is requesting ex- there exists a clear causal relationship
clusion of the affected measurement between the specific event and the
data shall, after notice and oppor- monitored exceedance or violation;
tunity for public comment, submit a (C) Analyses comparing the claimed
demonstration to justify data exclu- event-influenced concentration(s) to
sion to the Administrator according to
concentrations at the same monitoring
the schedule established under para-
site at other times to support the re-
graph (c)(2)(i)(B).
quirement at paragraph (c)(3)(iv)(B) of
(ii) [Reserved]
this section. The Administrator shall
(iii) [Reserved]
not require a State to prove a specific
(iv) The demonstration to justify
percentile point in the distribution of
data exclusion must include:
data;
(A) A narrative conceptual model
that describes the event(s) causing the (D) A demonstration that the event
exceedance or violation and a discus- was both not reasonably controllable
sion of how emissions from the event(s) and not reasonably preventable; and
18
(E) A demonstration that the event to this part and designated in accord-
was a human activity that is unlikely ance with part 53 of this chapter or an
to recur at a particular location or was equivalent method designated in ac-
a natural event. cordance with part 53 of this chapter.
(v) With the submission of the dem- (b) The 8-hour primary and secondary
onstration containing the elements in O3 ambient air quality standards are
paragraph (c)(3)(iv) of this section, the met at an ambient air quality moni-
State must: toring site when the 3-year average of
(A) Document that the State fol- the annual fourth-highest daily max-
lowed the public comment process and imum 8-hour average O3 concentration
that the comment period was open for is less than or equal to 0.075 ppm, as de-
a minimum of 30 days, which could be termined in accordance with appendix
concurrent with the beginning of the P to this part.
Administrator’s initial review period of [73 FR 16511, Mar. 27, 2008]
the associated demonstration provided
the State can meet all requirements in § 50.16 National primary and sec-
this paragraph; ondary ambient air quality stand-
(B) Submit the public comments it ards for lead.
received along with its demonstration (a) The national primary and sec-
to the Administrator; and ondary ambient air quality standards
(C) Address in the submission to the for lead (Pb) and its compounds are 0.15
Administrator those comments dis- micrograms per cubic meter, arith-
puting or contradicting factual evi- metic mean concentration over a 3-
dence provided in the demonstration. month period, measured in the ambient
(vi) Where the State has submitted a air as Pb either by:
demonstration according to the re- (1) A reference method based on ap-
quirements of this section after Sep- pendix G of this part and designated in
tember 30, 2016 and the Administrator accordance with part 53 of this chapter
has reviewed such demonstration and or;
requested additional evidence to sup- (2) An equivalent method designated
port one of the elements in paragraph in accordance with part 53 of this chap-
(c)(3)(iv) of this section, the State shall ter.
have 12 months from the date of the (b) The national primary and sec-
Administrator’s request to submit such ondary ambient air quality standards
evidence. At the conclusion of this for Pb are met when the maximum
time, if the State has not submitted arithmetic 3-month mean concentra-
the requested additional evidence, the tion for a 3-year period, as determined
Administrator will notify the State in in accordance with appendix R of this
writing that it considers the dem- part, is less than or equal to 0.15
onstration to be inactive and will not micrograms per cubic meter.
pursue additional review of the dem-
[73 FR 67052, Nov. 12, 2008]
onstration. After a 12-month period of
inactivity by the State, if a State de- § 50.17 National primary ambient air
sires to pursue the inactive demonstra- quality standards for sulfur oxides
tion, it must reinitiate its request to (sulfur dioxide).
exclude associated data by following (a) The level of the national primary
the process beginning with paragraph 1-hour annual ambient air quality
(c)(2)(i) of this section. standard for oxides of sulfur is 75 parts
[81 FR 68277, Oct. 3, 2016] per billion (ppb, which is 1 part in
1,000,000,000), measured in the ambient
§ 50.15 National primary and sec- air as sulfur dioxide (SO2).
ondary ambient air quality stand- (b) The 1-hour primary standard is
ards for ozone. met at an ambient air quality moni-
(a) The level of the national 8-hour toring site when the three-year average
primary and secondary ambient air of the annual (99th percentile) of the
quality standards for ozone (O3) is 0.075 daily maximum 1-hour average con-
parts per million (ppm), daily max- centrations is less than or equal to 75
imum 8-hour average, measured by a ppb, as determined in accordance with
reference method based on appendix D appendix T of this part.
19
§ 50.18 40 CFR Ch. I (7–1–21 Edition)
(c) The level of the standard shall be accordance with appendix U to this
measured by a reference method based part.
on appendix A or A–1 of this part, or by (c) The level of the national sec-
a Federal Equivalent Method (FEM) ondary ambient air quality standard
designated in accordance with part 53 for O3 is 0.070 ppm, daily maximum 8-
of this chapter. hour average, measured by a reference
[75 FR 35592, June 22, 2010] method based on appendix D to this
part and designated in accordance with
§ 50.18 National primary ambient air part 53 of this chapter or an equivalent
quality standards for PM2.5. method designated in accordance with
(a) The national primary ambient air part 53 of this chapter.
quality standards for PM2.5 are 12.0 (d) The 8-hour secondary O3 ambient
micrograms per cubic meter (μg/m3) an- air quality standard is met at an ambi-
nual arithmetic mean concentration ent air quality monitoring site when
and 35 μg/m3 24-hour average concentra- the 3-year average of the annual
tion measured in the ambient air as fourth-highest daily maximum 8-hour
PM2.5 (particles with an aerodynamic average O3 concentration is less than
diameter less than or equal to a nomi- or equal to 0.070 ppm, as determined in
nal 2.5 micrometers) by either: accordance with appendix U to this
(1) A reference method based on ap- part.
pendix L to this part and designated in [80 FR 65452, Oct. 26, 2015]
accordance with part 53 of this chapter;
or APPENDIX A–1 TO PART 50—REFERENCE
(2) An equivalent method designated MEASUREMENT PRINCIPLE AND CALI-
in accordance with part 53 of this chap- BRATION PROCEDURE FOR THE MEAS-
ter. UREMENT OF SULFUR DIOXIDE IN THE
(b) The primary annual PM2.5 stand- ATMOSPHERE (ULTRAVIOLET FLUO-
ard is met when the annual arithmetic RESCENCE METHOD)
mean concentration, as determined in
accordance with appendix N of this 1.0 APPLICABILITY
part, is less than or equal to 12.0 μg/m3. 1.1 This ultraviolet fluorescence (UVF)
(c) The primary 24-hour PM2.5 stand- method provides a measurement of the con-
ard is met when the 98th percentile 24- centration of sulfur dioxide (SO2) in ambient
hour concentration, as determined in air for determining compliance with the na-
accordance with appendix N of this tional primary and secondary ambient air
part, is less than or equal to 35 μg/m3. quality standards for sulfur oxides (sulfur di-
oxide) as specified in § 50.4, § 50.5, and § 50.17
[78 FR 3277, Jan. 15, 2013] of this chapter. The method is applicable to
the measurement of ambient SO2 concentra-
§ 50.19 National primary and sections using continuous (real-time) sampling.
ondary ambient air quality stand- Additional quality assurance procedures and
ards for ozone. guidance are provided in part 58, appendix A,
(a) The level of the national 8-hour of this chapter and in Reference 3.
primary ambient air quality standard 2.0 PRINCIPLE
for ozone (O3) is 0.070 parts per million
(ppm), daily maximum 8-hour average, 2.1 This reference method is based on auto-
mated measurement of the intensity of the
measured by a reference method based
characteristic fluorescence released by SO2
on appendix D to this part and des- in an ambient air sample contained in a
ignated in accordance with part 53 of measurement cell of an analyzer when the
this chapter or an equivalent method air sample is irradiated by ultraviolet (UV)
designated in accordance with part 53 light passed through the cell. The fluores-
of this chapter. cent light released by the SO2 is also in the
(b) The 8-hour primary O3 ambient ultraviolet region, but at longer wavelengths
air quality standard is met at an ambi- than the excitation light. Typically, opti-
mum instrumental measurement of SO2 con-
ent air quality monitoring site when
centrations is obtained with an excitation
the 3-year average of the annual wavelength in a band between approximately
fourth-highest daily maximum 8-hour 190 to 230 nm, and measurement of the SO2
average O3 concentration is less than fluorescence in a broad band around 320 nm,
or equal to 0.070 ppm, as determined in but these wavelengths are not necessarily
20
Environmental Protection Agency Pt. 50, App. A–1
constraints of this reference method. Gen- 4.0 CALIBRATION PROCEDURE
erally, the measurement system (analyzer) Atmospheres containing accurately known
also requires means to reduce the effects of concentrations of sulfur dioxide are prepared
aromatic hydrocarbon species, and possibly using a compressed gas transfer standard di-
other compounds, in the air sample to con- luted with accurately metered clean air flow
trol measurement interferences from these rates.
compounds, which may be present in the am- 4.1 Apparatus: Figure 2 shows a typical ge-
bient air. References 1 and 2 describe UVF neric system suitable for diluting a SO2 gas
method. cylinder concentration standard with clean
2.2 The measurement system is calibrated air through a mixing chamber to produce the
by referencing the instrumental fluorescence desired calibration concentration standards.
measurements to SO2 standard concentra- A valve may be used to conveniently divert
tions traceable to a National Institute of the SO2 from the sampling manifold to pro-
Standards and Technology (NIST) primary vide clean zero air at the output manifold for
standard for SO2 (see Calibration Procedure zero adjustment. The system may be made
below). up using common laboratory components, or
2.3 An analyzer implementing this meas- it may be a commercially manufactured sys-
urement principle is shown schematically in tem. In either case, the principle compo-
nents are as follows:
Figure 1. Designs should include a measure-
4.1.1 SO2 standard gas flow control and
ment cell, a UV light source of appropriate
measurement devices (or a combined device)
wavelength, a UV detector system with ap-
capable of regulating and maintaining the
propriate wave length sensitivity, a pump standard gas flow rate constant to within ±2
and flow control system for sampling the percent and measuring the gas flow rate ac-
ambient air and moving it into the measure- curate to within ±2, properly calibrated to a
ment cell, sample air conditioning compo- NIST-traceable standard.
nents as necessary to minimize measurement 4.1.2 Dilution air flow control and measure-
interferences, suitable control and measurement devices (or a combined device) capable
ment processing capability, and other appa- of regulating and maintaining the air flow
ratus as may be necessary. The analyzer rate constant to within ±2 percent and meas-
must be designed to provide accurate, re- uring the air flow rate accurate to within ±2,
peatable, and continuous measurements of properly calibrated to a NIST-traceable
SO2 concentrations in ambient air, with standard.
measurement performance as specified in 4.1.3 Mixing chamber, of an inert material
Subpart B of Part 53 of this chapter. such as glass and of proper design to provide
2.4 Sampling considerations: The use of a thorough mixing of pollutant gas and diluent
particle filter on the sample inlet line of a air streams.
UVF SO2 analyzer is required to prevent in- 4.1.4 Sampling manifold, constructed of
terference, malfunction, or damage due to glass, polytetrafluoroethylene (PTFE Tef-
particles in the sampled air. lon TM), or other suitably inert material and
of sufficient diameter to insure a minimum
3.0 INTERFERENCES pressure drop at the analyzer connection,
with a vent designed to insure a minimum
3.1 The effects of the principal potential over-pressure (relative to ambient air pres-
interferences may need to be mitigated to sure) at the analyzer connection and to pre-
meet the interference equivalent require- vent ambient air from entering the manifold.
ments of part 53 of this chapter. Aromatic 4.1.5 Standard gas pressure regulator, of
hydrocarbons such as xylene and naph- clean stainless steel with a stainless steel di-
thalene can fluoresce and act as strong posi- aphragm, suitable for use with a high pres-
tive interferences. These gases can be re- sure SO2 gas cylinder.
moved by using a permeation type scrubber
(hydrocarbon ‘‘kicker’’). Nitrogen oxide (NO) 4.1.6 Reagents
in high concentrations can also fluoresce and 4.1.6.1 SO2 gas concentration transfer
cause positive interference. Optical filtering standard having a certified SO2 concentra-
can be employed to improve the rejection of tion of not less than 10 ppm, in N2, traceable
interference from high NO. Ozone can absorb to a NIST Standard Reference Material
UV light given off by the SO2 molecule and (SRM).
cause a measurement offset. This effect can 4.1.6.2 Clean zero air, free of contaminants
be reduced by minimizing the measurement that could cause a detectable response or a
path length between the area where SO2 fluo- change in sensitivity of the analyzer. Since
rescence occurs and the photomultiplier tube ultraviolet fluorescence analyzers may be
detector (e.g., <5 cm). A hydrocarbon scrub- sensitive to aromatic hydrocarbons and O2-
ber, optical filter and appropriate distancing to-N2 ratios, it is important that the clean
of the measurement path length may be re- zero air contains less than 0.1 ppm aromatic
quired method components to reduce inter- hydrocarbons and O2 and N2 percentages ap-
ference. proximately the same as in ambient air. A
21
Pt. 50, App. A–1 40 CFR Ch. I (7–1–21 Edition)
procedure for generating zero air is given in 4.2.2 Purge the SO2 standard gas lines and
reference 1. pressure regulator to remove any residual
air.
4.2 Procedure 4.2.3 Ensure that there are no leaks in the
system and that the flow measuring devices
4.2.1 Obtain a suitable calibration appa-
are properly and accurately calibrated under
ratus, such as the one shown schematically
the conditions of use against a reliable vol-
in Figure 1, and verify that all materials in ume or flow rate standard such as a soap-
contact with the pollutant are of glass, Tef- bubble meter or a wet-test meter traceable
lon TM, or other suitably inert material and to a NIST standard. All volumetric flow
completely clean. rates should be corrected to the same ref-
erence temperature and pressure by using
the formula below:
298.15 Pm
Fc = Fm
760 (Tm + 273.15 )
Where: sponse is obtained, then make the proper

Fc = corrected flow rate (L/min at 25 °C and zero adjustment.
760 mm Hg), 4.2.5 Adjust the airflow to provide an SO2
Fm = measured flow rate, (at temperature, Tm concentration of approximately 80 percent of
and pressure, Pm), the upper measurement range limit of the
Pm = measured pressure in mm Hg, (abso- SO2 instrument and verify that the total air
lute), and flow of the calibration system exceeds the
Tm = measured temperature in degrees Cel- demand of all analyzers sampling from the
sius. output manifold (with the excess vented).
4.2.4 Allow the SO2 analyzer under calibra- 4.2.6 Calculate the actual SO2 calibration
tion to sample zero air until a stable re- concentration standard as:
Fp
[ SO2 ] = C
Ft
Where: or X-axis). Compute the linear regression

C = the concentration of the SO2 gas stand- slope and intercept and plot the regression
ard line to verify that no point deviates from
Fp = the flow rate of SO2 gas standard this line by more than 2 percent of the max-
Ft = the total air flow rate of pollutant and imum concentration tested.
diluent gases NOTE: Additional information on calibra-
tion and pollutant standards is provided in
4.2.7 When the analyzer response has sta-
bilized, adjust the SO2 span control to obtain Section 12 of Reference 3.
the desired response equivalent to the cal-
5.0 FREQUENCY OF CALIBRATION
culated standard concentration. If substan-
tial adjustment of the span control is need- The frequency of calibration, as well as the
ed, it may be necessary to re-check the zero number of points necessary to establish the
and span adjustments by repeating steps 4.2.4 calibration curve and the frequency of other
through 4.2.7 until no further adjustments performance checking will vary by analyzer;
are needed. however, the minimum frequency, accept-
4.2.8 Adjust the flow rate(s) to provide sev- ance criteria, and subsequent actions are
eral other SO2 calibration concentrations specified in Reference 3, Appendix D: Meas-
over the analyzer’s measurement range. At urement Quality Objectives and Validation
least five different concentrations evenly Template for SO2 (page 9 of 30). The user’s
spaced throughout the analyzer’s range are
quality control program should provide
ER22JN10.001</MATH>
suggested.
guidelines for initial establishment of these
4.2.9 Plot the analyzer response (vertical or
Y-axis) versus SO2 concentration (horizontal variables and for subsequent alteration as
22
ER22JN10.000</MATH>
operational experience is accumulated. Man- Based on a Fluorescence Method’’, Jour-
ufacturers of analyzers should include in nal of the Air Control Pollution Association,
their instruction/operation manuals infor- vol. 23, p. 514–516 (1973).
mation and guidance as to these variables 2. F. P. Schwarz, H. Okabe, and J. K. Whit-
and on other matters of operation, calibra- taker, ‘‘Fluorescence Detection of Sulfur
tion, routine maintenance, and quality con- Dioxide in Air at the Parts per Billion
trol. Level,’’ Analytical Chemistry, vol. 46, pp.
1024–1028 (1974).
6.0 REFERENCES FOR SO2 METHOD
3. QA Handbook for Air Pollution Measurement
1. H. Okabe, P. L. Splitstone, and J. J. Ball, Systems—Volume II. Ambient Air Quality
‘‘Ambient and Source SO2 Detector Monitoring Programs. U.S.
23
ER22JN10.002</GPH>
[75 FR 35593, June 22, 2010] TCM solution to form a stable

monochlorosulfonatomercurate(3) complex.
APPENDIX A–2 TO PART 50—REFERENCE Once formed, this complex resists air oxida-
METHOD FOR THE DETERMINATION OF tion(4, 5) and is stable in the presence of
SULFUR DIOXIDE IN THE ATMOS- strong oxidants such as ozone and oxides of
PHERE (PARAROSANILINE METHOD) nitrogen. During subsequent analysis, the
complex is reacted with acid-bleached
1.0 Applicability. pararosaniline dye and formaldehyde to form
1.1 This method provides a measurement of an intensely colored pararosaniline methyl
the concentration of sulfur dioxide (SO2) in sulfonic acid.
ambient air for determining compliance with (6) The optical density of this species is de-
the primary and secondary national ambient termined spectrophotometrically at 548 nm
air quality standards for sulfur oxides (sulfur and is directly related to the amount of SO2
dioxide) as specified in § 50.4 and § 50.5 of this collected. The total volume of air sampled,
chapter. The method is applicable to the corrected to EPA reference conditions (25 °C,
measurement of ambient SO2 concentrations 760 mm Hg [101 kPa]), is determined from the
using sampling periods ranging from 30 min- measured flow rate and the sampling time.
utes to 24 hours. Additional quality assur-
The concentration of SO2 in the ambient air
ance procedures and guidance are provided in
is computed and expressed in micrograms per
part 58, appendixes A and B, of this chapter
and in references 1 and 2. standard cubic meter (μg/std m3).
2.0 Principle. 3.0 Range.
2.1 A measured volume of air is bubbled 3.1 The lower limit of detection of SO2 in 10
through a solution of 0.04 M potassium mL of TCM is 0.75 μg (based on collaborative
tetrachloromercurate (TCM). The SO2
present in the air stream reacts with the
24
ER22JN10.003</GPH>
test results).(7) This represents a concentra- 6.0 Stability.
tion of 25 μg SO2/m3 (0.01 ppm) in an air sam- 6.1 By sampling in a controlled tempera-
ple of 30 standard liters (short-term sam- ture environment of 15° ±10 °C, greater than
pling) and a concentration of 13 μg SO2/m3 98.9 percent of the SO2–TCM complex is re-
(0.005 ppm) in an air sample of 288 standard tained at the completion of sampling. (15) If
liters (long-term sampling). Concentrations kept at 5 °C following the completion of sam-
less than 25 μg SO2/m3 can be measured by pling, the collected sample has been found to
sampling larger volumes of ambient air; be stable for up to 30 days. (10) The presence
however, the collection efficiency falls off of EDTA enhances the stability of SO2 in the
rapidly at low concentrations.(8, 9) Beer’s TCM solution and the rate of decay is inde-
law is adhered to up to 34 μg of SO2 in 25 mL pendent of the concentration of SO2. (16)
of final solution. This upper limit of the 7.0 Apparatus.
analysis range represents a concentration of 7.1 Sampling.
1,130 μg SO2/m3 (0.43 ppm) in an air sample of 7.1.1 Sample probe: A sample probe meeting
30 standard liters and a concentration of 590 the requirements of section 7 of 40 CFR part
μg SO2/m3 (0.23 ppm) in an air sample of 288 58, appendix E (Teflon ® or glass with resi-
standard liters. Higher concentrations can be dence time less than 20 sec.) is used to trans-
measured by collecting a smaller volume of port ambient air to the sampling train loca-
air, by increasing the volume of absorbing tion. The end of the probe should be designed
solution, or by diluting a suitable portion of or oriented to preclude the sampling of pre-
the collected sample with absorbing solution cipitation, large particles, etc. A suitable
prior to analysis. probe can be constructed from Teflon ® tub-
4.0 Interferences. ing connected to an inverted funnel.
4.1 The effects of the principal potential 7.1.2 Absorber—short-term sampling: An all
interferences have been minimized or elimi- glass midget impinger having a solution ca-
nated in the following manner: Nitrogen ox- pacity of 30 mL and a stem clearance of 4 ±1
ides by the addition of sulfamic acid,(10, 11) mm from the bottom of the vessel is used for
sampling periods of 30 minutes and 1 hour (or
heavy metals by the addition of ethylene-
any period considerably less than 24 hours).
diamine tetracetic acid disodium salt
Such an impinger is shown in Figure 1. These
(EDTA) and phosphoric acid,(10, 12) and
impingers are commercially available from
ozone by time delay.(10) Up to 60 μg Fe (III),
distributors such as Ace Glass, Incorporated.
22 μg V (V), 10 μg Cu (II), 10 μg Mn (II), and
7.1.3 Absorber—24-hour sampling: A poly-
10 μg Cr (III) in 10 mL absorbing reagent can
propylene tube 32 mm in diameter and 164
be tolerated in the procedure.(10) No signifi-
mm long (available from Bel Art Products,
cant interference has been encountered with
Pequammock, NJ) is used as the absorber.
2.3 μg NH3.(13) The cap of the absorber must be a poly-
5.0 Precision and Accuracy. propylene cap with two ports (rubber stop-
5.1 The precision of the analysis is 4.6 per- pers are unacceptable because the absorbing
cent (at the 95 percent confidence level) reagent can react with the stopper to yield
based on the analysis of standard sulfite erroneously high SO2 concentrations). A
samples.(10) glass impinger stem, 6 mm in diameter and
5.2 Collaborative test results (14) based on 158 mm long, is inserted into one port of the
the analysis of synthetic test atmospheres absorber cap. The tip of the stem is tapered
(SO2 in scrubbed air) using the 24-hour sam- to a small diameter orifice (0.4 ±0.1 mm) such
pling procedure and the sulfite-TCM calibra- that a No. 79 jeweler’s drill bit will pass
tion procedure show that: through the opening but a No. 78 drill bit
• The replication error varies linearly with will not. Clearance from the bottom of the
concentration from ±2.5 μg/m3 at con- absorber to the tip of the stem must be 6 ±2
centrations of 100 μg/m3 to ±7 μg/m3 at con- mm. Glass stems can be fabricated by any
centrations of 400 μg/m3. reputable glass blower or can be obtained
• The day-to-day variability within an indi- from a scientific supply firm. Upon receipt,
vidual laboratory (repeatability) varies the orifice test should be performed to verify
linearly with concentration from ±18.1 μg/ the orifice size. The 50 mL volume level
m3 at levels of 100 μg/m3 to ±50.9 μg/m3 at should be permanently marked on the ab-
levels of 400 μg/m3. sorber. The assembled absorber is shown in
• The day-to-day variability between two or Figure 2.
more laboratories (reproducibility) varies 7.1.4 Moisture trap: A moisture trap con-
linearly with concentration from ±36.9 μg/ structed of a glass trap as shown in Figure 1
m3 at levels of 100 μg/m3 to ±103.5 μ g/m3 at or a polypropylene tube as shown in Figure
levels of 400 μg/m3. 2 is placed between the absorber tube and
• The method has a concentration-dependent flow control device to prevent entrained liq-
bias, which becomes significant at the 95 uid from reaching the flow control device.
percent confidence level at the high con- The tube is packed with indicating silica gel
centration level. Observed values tend to as shown in Figure 2. Glass wool may be sub-
be lower than the expected SO2 concentra- stituted for silica gel when collecting short-
tion level. term samples (1 hour or less) as shown in
25
Figure 1, or for long term (24 hour) samples during use. Heat-shrink material as shown in
if flow changes are not routinely encoun- Figure 2 can be used to retain the cap seals
tered. if there is any chance of the caps coming
7.1.5 Cap seals: The absorber and moisture loose during sampling, shipment, or storage.
trap caps must seal securely to prevent leaks
26
50-702.eps</GPH>
27
50-703.eps</GPH>
7.1.6 Flow control device: A calibrated ro- meter is also recommended to determine the
tameter and needle valve combination capa- duration of the sampling period.
ble of maintaining and measuring air flow to 7.2 Shipping.
within ±2 percent is suitable for short-term 7.2.1 Shipping container: A shipping con-
sampling but may not be used for long-term tainer that can maintain a temperature of 5°
sampling. A critical orifice can be used for ±5 °C is used for transporting the sample
regulating flow rate for both long-term and from the collection site to the analytical
short-term sampling. A 22-gauge hypodermic laboratory. Ice coolers or refrigerated ship-
needle 25 mm long may be used as a critical ping containers have been found to be satis-
orifice to yield a flow rate of approximately factory. The use of eutectic cold packs in-
1 L/min for a 30-minute sampling period. stead of ice will give a more stable tempera-
When sampling for 1 hour, a 23-gauge hypo- ture control. Such equipment is available
dermic needle 16 mm in length will provide a from Cole-Parmer Company, 7425 North Oak
flow rate of approximately 0.5 L/min. Flow Park Avenue, Chicago, IL 60648.
control for a 24-hour sample may be provided
7.3 Analysis.
by a 27-gauge hypodermic needle critical ori-
fice that is 9.5 mm in length. The flow rate 7.3.1 Spectrophotometer: A spectrophotom-
should be in the range of 0.18 to 0.22 L/min. eter suitable for measurement of
7.1.7 Flow measurement device: Device cali- absorbances at 548 nm with an effective spec-
brated as specified in 9.4.1 and used to meas- tral bandwidth of less than 15 nm is required
ure sample flow rate at the monitoring site. for analysis. If the spectrophotometer reads
7.1.8 Membrane particle filter: A membrane out in transmittance, convert to absorbance
filter of 0.8 to 2 μm porosity is used to pro- as follows:
tect the flow controller from particles dur-
ing long-term sampling. This item is op- A = log10 (1/T ) (1)
tional for short-term sampling. where:
7.1.9 Vacuum pump: A vacuum pump
equipped with a vacuum gauge and capable A = absorbance, and
of maintaining at least 70 kPa (0.7 atm) vac- T = transmittance (0<≥T<1).
uum differential across the flow control de- A standard wavelength filter traceable to
vice at the specified flow rate is required for the National Bureau of Standards is used to
sampling. verify the wavelength calibration according
7.1.10 Temperature control device: The tem- to the procedure enclosed with the filter.
perature of the absorbing solution during The wavelength calibration must be verified
sampling must be maintained at 15° ±10 °C. upon initial receipt of the instrument and
As soon as possible following sampling and after each 160 hours of normal use or every 6
until analysis, the temperature of the col- months, whichever occurs first.
lected sample must be maintained at 5° ±5 °C.
7.3.2 Spectrophotometer cells: A set of 1-cm
Where an extended period of time may elapse
path length cells suitable for use in the visi-
before the collected sample can be moved to
ble region is used during analysis. If the cells
the lower storage temperature, a collection
are unmatched, a matching correction factor
temperature near the lower limit of the 15
must be determined according to Section
±10 °C range should be used to minimize
10.1.
losses during this period. Thermoelectric
coolers specifically designed for this tem- 7.3.3 Temperature control device: The color
perature control are available commercially development step during analysis must be
and normally operate in the range of 5° to 15 conducted in an environment that is in the
°C. Small refrigerators can be modified to range of 20° to 30 °C and controlled to ±1 °C.
provide the required temperature control; Both calibration and sample analysis must
however, inlet lines must be insulated from be performed under identical conditions
the lower temperatures to prevent condensa- (within 1 °C). Adequate temperature control
tion when sampling under humid conditions. may be obtained by means of constant tem-
A small heating pad may be necessary when perature baths, water baths with manual
sampling at low temperatures (<7 °C) to pre- temperature control, or temperature con-
vent the absorbing solution from freez- trolled rooms.
ing.(17) 7.3.4 Glassware: Class A volumetric glass-
7.1.11 Sampling train container: The absorb- ware of various capacities is required for pre-
ing solution must be shielded from light dur- paring and standardizing reagents and stand-
ing and after sampling. Most commercially ards and for dispensing solutions during
available sampler trains are enclosed in a analysis. These included pipets, volumetric
light-proof box. flasks, and burets.
7.1.12 Timer: A timer is recommended to 7.3.5 TCM waste receptacle: A glass waste re-
initiate and to stop sampling for the 24-hour ceptacle is required for the storage of spent
period. The timer is not a required piece of TCM solution. This vessel should be
equipment; however, without the timer a stoppered and stored in a hood at all times.
technician would be required to start and 8.0 Reagents.
stop the sampling manually. An elapsed time 8.1 Sampling.
28
EC08NO91.000</MATH>
8.1.1 Distilled water: Purity of distilled 8.2.7 Potassium iodate solution: Accurately
water must be verified by the following pro- weigh to the nearest 0.1 mg, 1.5 g (record
cedure:(18) weight) of primary standard grade potassium
• Place 0.20 mL of potassium permanganate iodate that has been previously dried at 180
solution (0.316 g/L), 500 mL of distilled °C for at least 3 hours and cooled in a
water, and 1mL of concentrated sulfuric dessicator. Dissolve, then dilute to volume in
acid in a chemically resistant glass bottle, a 500-mL volumetric flask with distilled
stopper the bottle, and allow to stand. water.
• If the permanganate color (pink) does not 8.2.8 Stock sodium thiosulfate solution (0.1 N):
disappear completely after a period of 1 Prepare a stock solution by dissolving 25 g
hour at room temperature, the water is sodium thiosulfate (Na2 S2 O3 ÷ 5H2 O) in 1,000
suitable for use. mL freshly boiled, cooled, distilled water and
• If the permanganate color does disappear, adding 0.1 g sodium carbonate to the solu-
the water can be purified by redistilling tion. Allow the solution to stand at least 1
with one crystal each of barium hydroxide day before standardizing. To standardize, ac-
and potassium permanganate in an all curately pipet 50 mL of potassium iodate so-
glass still. lution (Section 8.2.7) into a 500-mL iodine
8.1.2 Absorbing reagent (0.04 M potassium flask and add 2.0 g of potassium iodide and 10
tetrachloromercurate [TCM]): Dissolve 10.86 mL of 1 N HCl. Stopper the flask and allow
g mercuric chloride, 0.066 g EDTA, and 6.0 g to stand for 5 minutes. Titrate the solution
potassium chloride in distilled water and di- with stock sodium thiosulfate solution (Sec-
lute to volume with distilled water in a 1,000- tion 8.2.8) to a pale yellow color. Add 5 mL of
mL volumetric flask. (Caution: Mercuric starch solution (Section 8.2.5) and titrate
chloride is highly poisonous. If spilled on until the blue color just disappears. Cal-
skin, flush with water immediately.) The pH culate the normality (Ns) of the stock so-
of this reagent should be between 3.0 and 5.0 dium thiosulfate solution as follows:
(10) Check the pH of the absorbing solution
W
by using pH indicating paper or a pH meter.
If the pH of the solution is not between 3.0
NS = × 2.80 (2)
and 5.0, dispose of the solution according to M
one of the disposal techniques described in where:
Section 13.0. The absorbing reagent is nor- M = volume of thiosulfate required in mL,
mally stable for 6 months. If a precipitate and
forms, dispose of the reagent according to W = weight of potassium iodate in g (re-
one of the procedures described in Section corded weight in Section 8.2.7).
13.0.
8.2 Analysis. 10 3 (conversion of g to mg) × 0.1(fraction iodate used )
2.80 =
8.2.1 Sulfamic acid (0.6%): Dissolve 0.6 g sul- 35.67 (equivalent weight of potassium iodate)
famic acid in 100 mL distilled water. Perpare 8.2.9 Working sodium thiosulfate titrant (0.01
fresh daily. N): Accurately pipet 100 mL of stock sodium
8.2.2 Formaldehyde (0.2%): Dilute 5 mL thiosulfate solution (Section 8.2.8) into a
formaldehyde solution (36 to 38 percent) to 1,000-mL volumetric flask and dilute to vol-
1,000 mL with distilled water. Prepare fresh ume with freshly boiled, cooled, distilled
daily. water. Calculate the normality of the work-
8.2.3 Stock iodine solution (0.1 N): Place 12.7 ing sodium thiosulfate titrant (NT) as fol-
g resublimed iodine in a 250-mL beaker and lows:
add 40 g potassium iodide and 25 mL water.
Stir until dissolved, transfer to a 1,000 mL
volumetric flask and dilute to volume with
N T = N S × 0.100 (3)
distilled water. 8.2.10 Standardized sulfite solution for the
8.2.4 Iodine solution (0.01 N): Prepare ap- preparation of working sulfite-TCM solution:
proximately 0.01 N iodine solution by dilut- Dissolve 0.30 g sodium metabisulfite (Na2 S2
ing 50 mL of stock iodine solution (Section O5) or 0.40 g sodium sulfite (Na2 SO3) in 500
8.2.3) to 500 mL with distilled water. mL of recently boiled, cooled, distilled
8.2.5 Starch indicator solution: Triturate 0.4 water. (Sulfite solution is unstable; it is
g soluble starch and 0.002 g mercuric iodide therefore important to use water of the high-
(preservative) with enough distilled water to est purity to minimize this instability.) This
EC08NO91.003</MATH>
form a paste. Add the paste slowly to 200 mL solution contains the equivalent of 320 to 400
of boiling distilled water and continue boil- μg SO2/mL. The actual concentration of the
ing until clear. Cool and transfer the solu- solution is determined by adding excess io-
tion to a glass stopperd bottle. dine and back-titrating with standard so-
8.2.6 1 N hydrochloric acid: Slowly and while dium thiosulfate solution. To back-titrate,
stirring, add 86 mL of concentrated hydro- pipet 50 mL of the 0.01 N iodine solution
EC08NO91.002</MATH>
chloric acid to 500 mL of distilled water. (Section 8.2.4) into each of two 500-mL iodine
Allow to cool and dilute to 1,000 mL with dis- flasks (A and B). To flask A (blank) add 25
tilled water. mL distilled water, and to flask B (sample)
29
EC08NO91.001</MATH>
pipet 25 mL sulfite solution. Stopper the tinue the titration until the blue color just
flasks and allow to stand for 5 minutes. Pre- disappears.
pare the working sulfite-TCM solution (Sec- 8.2.11 Working sulfite-TCM solution: Accu-
tion 8.2.11) immediately prior to adding the rately pipet 5 mL of the standard sulfite so-
iodine solution to the flasks. Using a buret lution (Section 8.2.10) into a 250-mL volu-
containing standardized 0.01 N thiosulfate metric flask and dilute to volume with 0.04
titrant (Section 8.2.9), titrate the solution in M TCM. Calculate the concentration of sul-
each flask to a pale yellow color. Then add 5 fur dioxide in the working solution as fol-
mL starch solution (Section 8.2.5) and con- lows:
( A − B)( N T )(32,000)
C TCM / SO 2 (μg SO 2 /mL ) = × 0.02 ( 4)
25
where: percent potassium iodide (KI) solution in a

A = volume of thiosulfate titrant required 50-mL separatory funnel and shake thor-
for the blank, mL; oughly. If a yellow color appears in the alco-
B = volume of thiosulfate titrant required hol phase, redistill the 1-butanol from silver
for the sample, mL; oxide and collect the middle fraction or pur-
NT = normality of the thiosulfate titrant, chase a new supply of 1-butanol.
from equation (3); 2. Weigh 100 mg of pararosaniline hydro-
32,000 = milliequivalent weight of SO2, μg; chloride dye (PRA) in a small beaker. Add 50
25 = volume of standard sulfite solution, mL; mL of the equilibrated acid (drain in acid
and from the bottom of the separatory funnel in
0.02 = dilution factor. 1.) to the beaker and let stand for several
This solution is stable for 30 days if kept at minutes. Discard the remaining acid phase in
5 °C. (16) If not kept at 5 °C, prepare fresh the separatory funnel.
daily. 3. To a 125-mL separatory funnel, add 50
8.2.12 Purified pararosaniline (PRA) stock so- mL of the equilibrated 1-butanol (draw the 1-
lution (0.2% nominal): butanol from the top of the separatory fun-
8.2.12.1 Dye specifications— nel in 1.). Transfer the acid solution (from 2.)
• The dye must have a maximum absorbance containing the dye to the funnel and shake
at a wavelength of 540 nm when assayed in carefully to extract. The violet impurity will
a buffered solution of 0.1 M sodium ace- transfer to the organic phase.
tate-acetic acid; 4. Transfer the lower aqueous phase into
• The absorbance of the reagent blank, another separatory funnel, add 20 mL of
which is temperature sensitive (0.015 ab- equilibrated 1-butanol, and extract again.
sorbance unit/ °C), must not exceed 0.170 at 5. Repeat the extraction procedure with
22 °C with a 1-cm optical path length when three more 10-mL portions of equilibrated 1-
the blank is prepared according to the butanol.
specified procedure; 6. After the final extraction, filter the acid
• The calibration curve (Section 10.0) must phase through a cotton plug into a 50-mL
have a slope equal to 0.030 ±0.002 absorb- volumetric flask and bring to volume with 1
ance unit/μg SO2 with a 1-cm optical path N HCl. This stock reagent will be a yellowish
length when the dye is pure and the sulfite red.
solution is properly standardized. 7. To check the purity of the PRA, perform
8.2.12.2 Preparation of stock PRA solution—A the assay and adjustment of concentration
specially purified (99 to 100 percent pure) so- (Section 8.2.12.4) and prepare a reagent blank
lution of pararosaniline, which meets the (Section 11.2); the absorbance of this reagent
above specifications, is commercially avail- blank at 540 nm should be less than 0.170 at
able in the required 0.20 percent concentra- 22 °C. If the absorbance is greater than 0.170
tion (Harleco Co.). Alternatively, the dye under these conditions, further extractions
may be purified, a stock solution prepared, should be performed.
and then assayed according to the procedure 8.2.12.4 PRA assay procedure—The con-
as described below.(10) centration of pararosaniline hydrochloride
8.2.12.3 Purification procedure for PRA— (PRA) need be assayed only once after purifi-
1. Place 100 mL each of 1-butanol and 1 N cation. It is also recommended that commer-
HCl in a large separatory funnel (250-mL) cial solutions of pararosaniline be assayed
and allow to equilibrate. Note: Certain when first purchased. The assay procedure is
batches of 1-butanol contain oxidants that as follows:(10)
create an SO2 demand. Before using, check 1. Prepare 1 M acetate-acetic acid buffer
by placing 20 mL of 1-butanol and 5 mL of 20 stock solution with a pH of 4.79 by dissolving
30
EC08NO91.004</MATH>
13.61 g of sodium acetate trihydrate in dis- justed so that linearity is maintained be-
tilled water in a 100-mL volumetric flask. tween absorbance and concentration over the
Add 5.70 mL of glacial acetic acid and dilute dynamic range. Absorbing reagent volumes
to volume with distilled water. less than 10 mL are not recommended. The
2. Pipet 1 mL of the stock PRA solution ob- collection efficiency is above 98 percent for
tained from the purification process or from the conditions described; however, the effi-
a commercial source into a 100-mL volu- ciency may be substantially lower when
metric flask and dilute to volume with dis- sampling concentrations below 25 μgSO2/
tilled water. m3.(8,9)
3. Transfer a 5–mL aliquot of the diluted 9.2 30-Minute and 1-Hour Sampling. Place 10
PRA solution from 2. into a 50–mL volu-
mL of TCM absorbing reagent in a midget
metric flask. Add 5mL of 1 M acetate-acetic
impinger and seal the impinger with a thin
acid buffer solution from 1. and dilute the
film of silicon stopcock grease (around the
mixture to volume with distilled water. Let
the mixture stand for 1 hour. ground glass joint). Insert the sealed im-
4. Measure the absorbance of the above so- pinger into the sampling train as shown in
lution at 540 nm with a spectrophotometer Figure 1, making sure that all connections
against a distilled water reference. Compute between the various components are leak
the percentage of nominal concentration of tight. Greaseless ball joint fittings, heat
PRA by shrinkable Teflon ® tubing, or Teflon ® tube
fittings may be used to attain leakfree con-
A×K ditions for portions of the sampling train
%PRA = ( 5) that come into contact with air containing
W SO2. Shield the absorbing reagent from di-
where: rect sunlight by covering the impinger with
aluminum foil or by enclosing the sampling
A = measured absorbance of the final mix- train in a light-proof box. Determine the
ture (absorbance units); flow rate according to Section 9.4.2. Collect
W = weight in grams of the PRA dye used in the sample at 1 ±0.10 L/min for 30-minute
the assay to prepare 50 mL of stock solu-
sampling or 0.500 ±0.05 L/min for 1-hour sam-
tion (for example, 0.100 g of dye was used
pling. Record the exact sampling time in
to prepare 50 mL of solution in the puri-
minutes, as the sample volume will later be
fication procedure; when obtained from
determined using the sampling flow rate and
commercial sources, use the stated con-
centration to compute W; for 98% PRA, the sampling time. Record the atmospheric
W = .098 g.); and pressure and temperature.
K = 21.3 for spectrophotometers having a 9.3 24-Hour Sampling. Place 50 mL of TCM
spectral bandwidth of less than 15 nm absorbing solution in a large absorber, close
and a path length of 1 cm. the cap, and, if needed, apply the heat shrink
material as shown in Figure 3. Verify that
8.2.13 Pararosaniline reagent: To a 250–mL
volumetric flask, add 20 mL of stock PRA so- the reagent level is at the 50 mL mark on the
lution. Add an additional 0.2 mL of stock so- absorber. Insert the sealed absorber into the
lution for each percentage that the stock as- sampling train as shown in Figure 2. At this
says below 100 percent. Then add 25 mL of 3 time verify that the absorber temperature is
M phosphoric acid and dilute to volume with controlled to 15 ±10 °C. During sampling, the
distilled water. The reagent is stable for at absorber temperature must be controlled to
least 9 months. Store away from heat and prevent decomposition of the collected com-
light. plex. From the onset of sampling until anal-
9.0 Sampling Procedure. ysis, the absorbing solution must be pro-
9.1 General Considerations. Procedures are tected from direct sunlight. Determine the
described for short-term sampling (30-minute flow rate according to Section 9.4.2. Collect
and 1-hour) and for long-term sampling (24- the sample for 24 hours from midnight to
hour). Different combinations of absorbing midnight at a flow rate of 0.200 ±0.020 L/min.
reagent volume, sampling rate, and sampling A start/stop timer is helpful for initiating
time can be selected to meet special needs. and stopping sampling and an elapsed time
For combinations other than those specifi- meter will be useful for determining the
cally described, the conditions must be ad- sampling time.
31
EC08NO91.005</MATH>
9.4 Flow Measurement. For 24-hour samples, the standard flow rate
9.4.1 Calibration: Flow measuring devices is determined at the time the absorber is
used for the on-site flow measurements replaced in the sampling train and again when
quired in 9.4.2 must be calibrated against a the absorber is removed from the train for
reliable flow or volume standard such as an shipment to the analytical laboratory with a
NBS traceable bubble flowmeter or cali- calibrated flow measuring device connected
brated wet test meter. Rotameters or crit- to the inlet of the sampling train. The flow
ical orifices used in the sampling train may rate determination must be made with all
be calibrated, if desired, as a quality control components of the sampling system in oper-
check, but such calibration shall not replace ation (e.g., the absorber temperature con-
the on-site flow measurements required by troller and any sample box heaters must also
9.4.2. In-line rotameters, if they are to be be operating). Equation 6 may be used to de-
calibrated, should be calibrated in situ, with termine the standard flow rate when a cali-
the appropriate volume of solution in the ab- brated positive displacement meter is used
sorber. as the flow measuring device. Other types of
9.4.2 Determination of flow rate at sampling calibrated flow measuring devices may also
site: For short-term samples, the standard be used to determine the flow rate at the
flow rate is determined at the sampling site sampling site provided that the user applies
at the initiation and completion of sample any appropriate corrections to devices for
collection with a calibrated flow measuring which output is dependent on temperature or
device connected to the inlet of the absorber. pressure.
32
50-708.eps</GPH>
Pb − (1 − RH)PH 2 O 298.16.
Q std = Q act × × (6)
Pstd (Tmeter + 27316
. ).
where: wet volume standards only, i.e., bubble

Qstd = flow rate at standard conditions, std L/ flowmeter or wet test meter; for dry
min (25 °C and 760 mm Hg); standards, i.e., dry test meter, PH2O = 0);
Qact = flow rate at monitoring site conditions, Pstd = standard barometric pressure, in the
L/min; same units as Pb (760 mm Hg or 101 kPa);
Pb = barometric pressure at monitoring site and
conditions, mm Hg or kPa; Tmeter = temperature of the air in the flow or
RH = fractional relative humidity of the air volume standard, °C (e.g., bubble flow-
being measured; meter).
PH2O = vapor pressure of water at the tem- If a barometer is not available, the fol-
perature of the air in the flow or volume lowing equation may be used to determine
standard, in the same units as Pb, (for the barometric pressure:
Pb = 760 −.076(H) mm Hg, or Pb = 101−.01(H)kPa (7)
where: ture is above 10 °C. Store the sample at 5° ±5

H = sampling site elevation above sea level °C until it is analyzed.
in meters. 10.0 Analytical Calibration.
10.1 Spectrophotometer Cell Matching. If un-
If the initial flow rate (Qi) differs from the matched spectrophotometer cells are used,
flow rate of the critical orifice or the flow an absorbance correction factor must be de-
rate indicated by the flowmeter in the sam- termined as follows:
pling train (Qc) by more than 5 percent as de- 1. Fill all cells with distilled water and des-
termined by equation (8), check for leaks and ignate the one that has the lowest absorb-
redetermine Qi. ance at 548 nm as the reference. (This ref-
erence cell should be marked as such and
Qi − Qc continually used for this purpose throughout
% Diff = ×100 ( 8) all future analyses.)
Qc 2. Zero the spectrophotometer with the ref-
Invalidate the sample if the difference be- erence cell.
tween the initial (Qi) and final (Qf) flow rates 3. Determine the absorbance of the remain-
is more than 5 percent as determined by ing cells (Ac) in relation to the reference cell
equation (9): and record these values for future use. Mark
all cells in a manner that adequately identi-
EC08NO91.010</MATH>
Qi − Qf fies the correction.
% Diff = ×100 ( 9) The corrected absorbance during future
analyses using each cell is determining as
Qf follows:
9.5 Sample Storage and Shipment. Remove
the impinger or absorber from the sampling A = A obs − A c (10 )
train and stopper immediately. Verify that EC08NO91.009</MATH>
where:
the temperature of the absorber is not above
25 °C. Mark the level of the solution with a A = corrected absorbance,
temporary (e.g., grease pencil) mark. If the Aobs = uncorrected absorbance, and
sample will not be analyzed within 12 hours Ac = cell correction.
of sampling, it must be stored at 5° ±5 °C 10.2 Static Calibration Procedure (Option 1).
EC08NO91.008</MATH>
until analysis. Analysis must occur within 30 Prepare a dilute working sulfite-TCM solu-
days. If the sample is transported or shipped tion by diluting 10 mL of the working sul-
for a period exceeding 12 hours, it is rec- fite-TCM solution (Section 8.2.11) to 100 mL
ommended that thermal coolers using with TCM absorbing reagent. Following the
eutectic ice packs, refrigerated shipping con- table below, accurately pipet the indicated
tainers, etc., be used for periods up to 48 volumes of the sulfite-TCM solutions into a
EC08NO91.007</MATH>
hours. (17) Measure the temperature of the series of 25-mL volumetric flasks. Add TCM
absorber solution when the shipment is re- absorbing reagent as indicated to bring the
ceived. Invalidate the sample if the tempera- volume in each flask to 10 mL.
33
EC08NO91.006</MATH>
Volume timer that has been set for 30 minutes. Bring

Volume Total μg
of sulfite- all flasks to volume with recently boiled and
Sulfite-TCM solution of TCM, SO2
TCM so- cooled distilled water and mix thoroughly.
mL (approx.*
lution
The color must be developed (during the 30-
Working ......................... 4.0 6.0 28.8 minute period) in a temperature environ-
Working ......................... 3.0 7.0 21.6 ment in the range of 20° to 30 °C, which is
Working ......................... 2.0 8.0 14.4 controlled to ±1 °C. For increased precision,
Dilute working ................ 10.0 0.0 7.2 a constant temperature bath is rec-
Dilute working ................ 5.0 5.0 3.6 ommended during the color development
0.0 10.0 0.0
step. After 30 minutes, determine the cor-
*Based on working sulfite-TCM solution concentration of 7.2 rected absorbance of each standard at 548 nm
μg SO2/mL; the actual total μg SO2 must be calculated using against a distilled water reference (Section
equation 11 below.
10.1). Denote this absorbance as (A). Distilled
To each volumetric flask, add 1 mL 0.6% water is used in the reference cell rather
sulfamic acid (Section 8.2.1), accurately than the reagant blank because of the tem-
pipet 2 mL 0.2% formaldehyde solution (Sec- perature sensitivity of the reagent blank.
tion 8.2.2), then add 5 mL pararosaniline so- Calculate the total micrograms SO2 in each
lution (Section 8.2.13). Start a laboratory solution:
μg SO 2 = VTCM / SO 2 × C TCM / SO 2 × D (11)
where: a low flow of dry carrier gas to a mixing

VTCM/SO2 = volume of sulfite-TCM solution chamber where it is diluted with SO2-free air
used, mL; to the desired concentration and supplied to
CTCM/SO2 = concentration of sulfur dioxide in a vented manifold. A typical system is shown
the working sulfite-TCM, μg SO2/mL schematically in Figure 4 and this system
(from equation 4); and and other similar systems have been de-
D = dilution factor (D = 1 for the working scribed in detail by O’Keeffe and Ortman; (19)
sulfite-TCM solution; D = 0.1 for the di- Scaringelli, Frey, and Saltzman, (20) and
luted working sulfite-TCM solution). Scaringelli, O’Keeffe, Rosenberg, and Bell.
A calibration equation is determined using (21) Permeation devices may be prepared or
the method of linear least squares (Section purchased and in both cases must be trace-
12.1). The total micrograms SO2 contained in able either to a National Bureau of Stand-
each solution is the x variable, and the cor- ards (NBS) Standard Reference Material
rected absorbance (eq. 10) associated with (SRM 1625, SRM 1626, SRM 1627) or to an
each solution is the y variable. For the cali- NBS/EPA-approved commercially available
bration to be valid, the slope must be in the Certified Reference Material (CRM). CRM’s
range of 0.030 ±0.002 absorbance unit/μg SO2, are described in Reference 22, and a list of
the intercept as determined by the least CRM sources is available from the address
squares method must be equal to or less than shown for Reference 22. A recommended pro-
0.170 absorbance unit when the color is devel- tocol for certifying a permeation device to
oped at 22 °C (add 0.015 to this 0.170 specifica- an NBS SRM or CRM is given in Section 2.0.7
tion for each °C above 22 °C) and the correla- of Reference 2. Device permeation rates of 0.2
tion coefficient must be greater than 0.998. If
to 0.4 μg/min, inert gas flows of about 50 mL/
these criteria are not met, it may be the re-
min, and dilution air flow rates from 1.1 to 15
sult of an impure dye and/or an improperly
L/min conveniently yield standard
standardized sulfite-TCM solution. A calibra-
atmospheres in the range of 25 to 600 μg SO2/
tion factor (Bs) is determined by calculating
the reciprocal of the slope and is subse- m3 (0.010 to 0.230 ppm).
quently used for calculating the sample con- 10.3.1 Calibration Option 2A (30-minute and
centration (Section 12.3). 1-hour samples): Generate a series of six
10.3 Dynamic Calibration Procedures (Option standard atmospheres of SO2 (e.g., 0, 50, 100,
2). Atmospheres containing accurately 200, 350, 500, 750 μg/m3) by adjusting the dilu-
known concentrations of sulfur dioxide are tion flow rates appropriately. The concentra-
prepared using permeation devices. In the tion of SO2 in each atmosphere is calculated
systems for generating these atmospheres, as follows:
the permeation device emits gaseous SO2 at
3
a known, low, constant rate, provided the Pr × 10
temperature of the device is held constant Ca = (12 )
ER31AU93.014</MATH>
(±0.1 °C) and the device has been accurately Qd + Qp

calibrated at the temperature of use. The
SO2 permeating from the device is carried by where:
34
EC08NO91.011</MATH>
Ca = concentration of SO2 at standard condi- Qd = flow rate of dilution air, std L/min; and
tions, μg/m3; Qp = flow rate of carrier gas across perme-
Pr = permeation rate, μg/min; ation device, std L/min.
35
50-712.eps</GPH>
Be sure that the total flow rate of the
standard exceeds the flow demand of the Vb × C s
t= (14 )
sample train, with the excess flow vented at −3
atmospheric pressure. Sample each atmos- C a × Q s × 10
phere using similar apparatus as shown in where:
Figure 1 and under the same conditions as t = sampling time, min;
field sampling (i.e., use same absorbing rea- Vb = volume of absorbing solution used for
gent volume and sample same volume of air sampling (50 mL);
at an equivalent flow rate). Due to the Cs = desired concentration of SO2 in the ab-
length of the sampling periods required, this sorbing solution, μg/mL;
method is not recommended for 24-hour sam- Ca = concentration of the standard atmos-
pling. At the completion of sampling, quan- phere calculated according to equation
titatively transfer the contents of each im- 12, μg/m3; and
pinger to one of a series of 25-mL volumetric Qs = sampling flow rate, std L/min.
flasks (if 10 mL of absorbing solution was At the completion of sampling, bring the
used) using small amounts of distilled water absorber solutions to original volume with
for rinse (<5mL). If >10 mL of absorbing solu- distilled water. Pipet a 10-mL portion from
tion was used, bring the absorber solution in each absorber into one of a series of 25-mL
each impinger to orginal volume with dis- volumetric flasks. If the color development
tilled H2 O and pipet 10-mL portions from steps are not to be started within 12 hours of
each impinger into a series of 25-mL volu- sampling, store the solutions at 5° ±5 °C. Add
metric flasks. If the color development steps the remaining reagents for color develop-
are not to be started within 12 hours of sam- ment in the same manner as in Section 10.2
pling, store the solutions at 5° ±5 °C. Cal- for static solutions. Calculate the total μg
culate the total micrograms SO2 in each so- SO2 in each standard as follows:
lution as follows: −3
C a × Q s × t × Va × 10
C a × Q s × t × Va × 10
−3 μgSO 2 = (15)
μgSO 2 = (13) Vb
Vb
where:
where: Va = volume of absorbing solution used for
Ca = concentration of SO2 in the standard at- color development (10 mL).
mosphere, μg/m3; All other parameters are defined in equation
Os = sampling flow rate, std L/min; 14.
t = sampling time, min; Calculate a calibration equation and a
Va = volume of absorbing solution used for calibration factor (Bt) according to Section
color development (10 mL); and 10.2 adhering to all the specified criteria.
Vb = volume of absorbing solution used for 11.0 Sample Preparation and Analysis.
sampling, mL. 11.1 Sample Preparation. Remove the sam-
ples from the shipping container. If the ship-
Add the remaining reagents for color de- ment period exceeded 12 hours from the com-
velopment in the same manner as in Section pletion of sampling, verify that the tempera-
10.2 for static solutions. Calculate a calibra- ture is below 10 °C. Also, compare the solu-
tion equation and a calibration factor (Bg) tion level to the temporary level mark on
according to Section 10.2, adhering to all the the absorber. If either the temperature is
specified criteria. above 10 °C or there was significant loss
10.3.2 Calibration Option 2B (24-hour sam- (more than 10 mL) of the sample during ship-
ples): Generate a standard atmosphere con- ping, make an appropriate notation in the
taining approximately 1,050 μg SO2/m3 and record and invalidate the sample. Prepare
calculate the exact concentration according the samples for analysis as follows:
to equation 12. Set up a series of six absorb- 1. For 30-minute or 1-hour samples: Quan-
ers according to Figure 2 and connect to a titatively transfer the entire 10 mL amount
common manifold for sampling the standard of absorbing solution to a 25-mL volumetric
atmosphere. Be sure that the total flow rate flask and rinse with a small amount (<5 mL)
of distilled water.
ER31AU93.017</MATH>
of the standard exceeds the flow demand at

the sample manifold, with the excess flow 2. For 24-hour samples: If the volume of the
sample is less than the original 50-mL vol-
vented at atmospheric pressure. The absorb-
ume (permanent mark on the absorber), ad-
ers are then allowed to sample the atmos-
just the volume back to the original volume
phere for varying time periods to yield solu-
with distilled water to compensate for water
tions containing 0, 0.2, 0.6, 1.0, 1.4, 1.8, and 2.2 lost to evaporation during sampling. If the
μg SO2/mL solution. The sampling times re-
ER31AU93.016</MATH>
final volume is greater than the original vol-

quired to attain these solution concentra- ume, the volume must be measured using a
tions are calculated as follows: graduated cylinder. To analyze, pipet 10 mL
36
ER31AU93.015</MATH>
of the solution into a 25-mL volumetric is used to calculate a calibration equation in
flask. the form of:
11.2 Sample Analysis. For each set of deter-
minations, prepare a reagent blank by add- y = mx + b (16 )
ing 10 mL TCM absorbing solution to a 25-
mL volumetric flask, and two control stand- where:
ards containing approximately 5 and 15 μg y = corrected absorbance,
SO2, respectively. The control standards are m = slope, absorbance unit/μg SO2,
prepared according to Section 10.2 or 10.3. x = micrograms of SO2,
The analysis is carried out as follows: b = y intercept (absorbance units).
1. Allow the sample to stand 20 minutes The slope (m), intercept (b), and correla-
after the completion of sampling to allow tion coefficient (r) are calculated as follows:
any ozone to decompose (if applicable).
2. To each 25-mL volumetric flask con- n ∑ xy − ( ∑ x)( ∑ y)
taining reagent blank, sample, or control m= (17)
standard, add 1 mL of 0.6% sulfamic acid n ∑ x 2 − ( ∑ x )2
(Section 8.2.1) and allow to react for 10 min.
3. Accurately pipet 2 mL of 0.2% formalde- ∑y − m∑x
b= (18 )
hyde solution (Section 8.2.2) and then 5 mL n
of pararosaniline solution (Section 8.2.13)
into each flask. Start a laboratory timer set
m ( ∑ xy − ∑ x ∑ y / n )
at 30 minutes. r= (19 )
4. Bring each flask to volume with recently 2 2
∑ y − (∑ y) / n
boiled and cooled distilled water and mix
thoroughly. where n is the number of calibration points.
5. During the 30 minutes, the solutions A data form (Figure 5) is supplied for eas-
must be in a temperature controlled environ- ily organizing calibration data when the
ment in the range of 20° to 30 °C maintained slope, intercept, and correlation coefficient
to ±1 °C. This temperature must also be with- are calculated by hand.
in 1 °C of that used during calibration. 12.2 Total Sample Volume. Determine the
6. After 30 minutes and before 60 minutes, sampling volume at standard conditions as
determine the corrected absorbances (equa- follows:
tion 10) of each solution at 548 nm using 1-cm
optical path length cells against a distilled Qi + Qf
Vstd = ×t ( 20 )
water reference (Section 10.1). (Distilled water
is used as a reference instead of the reagent 2
blank because of the sensitivity of the reagent where:
blank to temperature.) Vstd = sampling volume in std L,
7. Do not allow the colored solution to Qi = standard flow rate determined at the
ER31AU93.022</MATH>
stand in the cells because a film may be de- initiation of sampling in std L/min,
posited. Clean the cells with isopropyl alco- Qf = standard flow rate determined at the
hol after use. completion of sampling is std L/min, and
8. The reagent blank must be within 0.03 t = total sampling time, min.
absorbance units of the intercept of the cali-
bration equation determined in Section 10. 12.3 Sulfur Dioxide Concentration. Calculate
and report the concentration of each sample
ER31AU93.021</MATH>
11.3 Absorbance range. If the absorbance of
the sample solution ranges between 1.0 and as follows:
2.0, the sample can be diluted 1:1 with a por- 3
tion of the reagent blank and the absorbance 3 ( A − A o )( B x )(10 ) Vb
redetermined within 5 minutes. Solutions μg SO 2 /m = × ( 21)
with higher absorbances can be diluted up to Vstd Va
sixfold with the reagent blank in order to ob-
ER31AU93.020</MATH>
tain scale readings of less than 1.0 absorb- where:
ance unit. However, it is recommended that A = corrected absorbance of the sample solu-
a smaller portion (<10 mL) of the original tion, from equation (10);
sample be reanalyzed (if possible) if the sam- Ao = corrected absorbance of the reagent
ple requires a dilution greater than 1:1. blank, using equation (10);
11.4 Reagent disposal. All reagents con- BX = calibration factor equal to Bs, Bg, or Bt
ER31AU93.018</MATH> ER31AU93.019</MATH>
taining mercury compounds must be stored depending on the calibration procedure

and disposed of using one of the procedures used, the reciprocal of the slope of the
contained in Section 13. Until disposal, the calibration equation;
discarded solutions can be stored in closed Va = volume of absorber solution analyzed,
glass containers and should be left in a fume mL;
hood. Vb = total volume of solution in absorber (see
12.0 Calculations. 11.1–2), mL; and
12.1 Calibration Slope, Intercept, and Correla- Vstd = standard air volume sampled, std L
tion Coefficient. The method of least squares (from Section 12.2).
37
EC08NO91.012</MATH>
DATA FORM 5. After 24 hours, allow the solution to

[For hand calculations] stand without stirring to allow the mercury
amalgam (solid black material) to settle to
Calibra- the bottom of the waste receptacle.
Micro- Absor-
tion point grams So 6. Upon settling, decant and discard the su-
2 bance units
no.
pernatant liquid.
(x) (y) x2 xy y2 7. Quantitatively transfer the solid mate-
1 ........... .................. ................... .......... .......... ........ rial to a container and allow to dry.
2 ........... .................. ................... .......... .......... ........ 8. The solid material can be sent to a mer-
3 ........... .................. ................... .......... .......... ........ cury reclaiming plant. It must not be dis-
4 ........... .................. ................... .......... .......... ........ carded.
5 ........... .................. ................... .......... .......... ........ 13.3 Method Using Aluminum Foil Strips.
6 ........... .................. ................... .......... .......... ........ 1. Place the waste solution in an uncapped
vessel in a hood.
S x=lll S y=lll S x =lll Sxylll 2 2. For each liter of waste solution, add ap-
Sy2lll proximately 10 g of aluminum foil strips. If
n=lll (number of pairs of coordinates.) all the aluminum is consumed and no gas is
llllllllllllllllllllllll evolved, add an additional 10 g of foil. Repeat
until the foil is no longer consumed and
FIGURE 5. Data form for hand calculations.
allow the gas to evolve for 24 hours.
12.4 Control Standards. Calculate the ana- 3. Decant the supernatant liquid and dis-
lyzed micrograms of SO2 in each control card.
standard as follows: 4. Transfer the elemental mercury that has
( )
settled to the bottom of the vessel to a stor-
C q = A − A o × Bx (22) age container.
5. The mercury can be sent to a mercury
where: reclaiming plant. It must not be discarded.
Cq = analyzed μg SO2 in each control stand- 14.0 References for SO2 Method.
ard, 1. Quality Assurance Handbook for Air Pol-
A = corrected absorbance of the control lution Measurement Systems, Volume I,
standard, and Principles. EPA–600/9–76–005, U.S. Environ-
Ao = corrected absorbance of the reagent mental Protection Agency, Research Tri-
blank. angle Park, NC 27711, 1976.
2. Quality Assurance Handbook for Air Pol-
The difference between the true and ana-
lution Measurement Systems, Volume II,
lyzed values of the control standards must
Ambient Air Specific Methods. EPA–600/4–77–
not be greater than 1 μg. If the difference is
027a, U.S. Environmental Protection Agency,
greater than 1 μg, the source of the discrep-
Research Triangle Park, NC 27711, 1977.
ancy must be identified and corrected.
3. Dasqupta, P. K., and K. B. DeCesare. Sta-
12.5 Conversion of μg/m3 to ppm (v/v). If de-
bility of Sulfur Dioxide in Formaldehyde and
sired, the concentration of sulfur dioxide at
Its Anomalous Behavior in
reference conditions can be converted to ppm
Tetrachloromercurate (II). Submitted for
SO2 (v/v) as follows:
publication in Atmospheric Environment, 1982.
μg SO 2 −4
4. West, P. W., and G. C. Gaeke. Fixation of
ppm SO 2 = × 3.82 × 10 ( 23) Sulfur Dioxide as Disulfitomercurate (II) and
3 Subsequent Colorimetric Estimation. Anal.
m
Chem., 28:1816, 1956.
13.0 The TCM absorbing solution and any 5. Ephraim, F. Inorganic Chemistry. P. C.
reagents containing mercury compounds L. Thorne and E. R. Roberts, Eds., 5th Edi-
must be treated and disposed of by one of the tion, Interscience, 1948, p. 562.
methods discussed below. Both methods re- 6. Lyles, G. R., F. B. Dowling, and V. J.
move greater than 99.99 percent of the mer- Blanchard. Quantitative Determination of
cury. Formaldehyde in the Parts Per Hundred Mil-
13.1 Disposal of Mercury-Containing Solu- lion Concentration Level. J. Air. Poll. Cont.
tions. Assoc., Vol. 15(106), 1965.
13.2 Method for Forming an Amalgam. 7. McKee, H. C., R. E. Childers, and O.
1. Place the waste solution in an uncapped Saenz, Jr. Collaborative Study of Reference
vessel in a hood. Method for Determination of Sulfur Dioxide
2. For each liter of waste solution, add ap- in the Atmosphere (Pararosaniline Method).
proximately 10 g of sodium carbonate until EPA-APTD-0903, U.S. Environmental Protec-
neutralization has occurred (NaOH may have tion Agency, Research Triangle Park, NC
to be used). 27711, September 1971.
3. Following neutralization, add 10 g of 8. Urone, P., J. B. Evans, and C. M. Noyes.
granular zinc or magnesium. Tracer Techniques in Sulfur—Air Pollution
ER31AU93.023</MATH>
4. Stir the solution in a hood for 24 hours. Studies Apparatus and Studies of Sulfur Di-
Caution must be exercised as hydrogen gas is oxide Colorimetric and Conductometric
evolved by this treatment process. Methods. Anal. Chem., 37: 1104, 1965.
38
EC08NO91.070</MATH>
Environmental Protection Agency Pt. 50, App. B
9. Bostrom, C. E. The Absorption of Sulfur (MD–77), Research Triangle Park, NC 27711,
Dioxide at Low Concentrations (pphm) Stud- January 1981.
ied by an Isotopic Tracer Method. Intern. J.
[47 FR 54899, Dec. 6, 1982; 48 FR 17355, Apr. 22,
Air Water Poll., 9:333, 1965. 1983. Redesignated at 75 FR 35595, June 22,
10. Scaringelli, F. P., B. E. Saltzman, and 2010]
S. A. Frey. Spectrophotometric Determina-
tion of Atmospheric Sulfur Dioxide. Anal. APPENDIX B TO PART 50—REFERENCE
Chem., 39: 1709, 1967. METHOD FOR THE DETERMINATION OF
11. Pate, J. B., B. E. Ammons, G. A. Swan- SUSPENDED PARTICULATE MATTER IN
son, and J. P. Lodge, Jr. Nitrite Interference
THE ATMOSPHERE (HIGH-VOLUME
in Spectrophotometric Determination of At-
mospheric Sulfur Dioxide. Anal. Chem., METHOD)
37:942, 1965. 1.0 Applicability.
12. Zurlo, N., and A. M. Griffini. Measure- 1.1 This method provides a measurement of
ment of the Sulfur Dioxide Content of the the mass concentration of total suspended
Air in the Presence of Oxides of Nitrogen and particulate matter (TSP) in ambient air for
Heavy Metals. Medicina Lavoro, 53:330, 1962. determining compliance with the primary
13. Rehme, K. A., and F. P. Scaringelli. Ef- and secondary national ambient air quality
fect of Ammonia on the Spectrophotometric standards for particulate matter as specified
Determination of Atmospheric Concentra- in § 50.6 and § 50.7 of this chapter. The meas-
tions of Sulfur Dioxide. Anal. Chem., 47:2474, urement process is nondestructive, and the
1975. size of the sample collected is usually ade-
14. McCoy, R. A., D. E. Camann, and H. C. quate for subsequent chemical analysis.
McKee. Collaborative Study of Reference Quality assurance procedures and guidance
Method for Determination of Sulfur Dioxide are provided in part 58, appendixes A and B,
in the Atmosphere (Pararosaniline Method) of this chapter and in References 1 and 2.
(24-Hour Sampling). EPA–650/4–74–027, U.S. 2.0 Principle.
Environmental Protection Agency, Research 2.1 An air sampler, properly located at the
Triangle Park, NC 27711, December 1973. measurement site, draws a measured quan-
15. Fuerst, R. G. Improved Temperature tity of ambient air into a covered housing
Stability of Sulfur Dioxide Samples Col- and through a filter during a 24-hr (nominal)
lected by the Federal Reference Method. sampling period. The sampler flow rate and
EPA–600/4–78–018, U.S. Environmental Pro- the geometry of the shelter favor the collec-
tection Agency, Research Triangle Park, NC tion of particles up to 25–50 μm (aerodynamic
27711, April 1978. diameter), depending on wind speed and di-
16. Scaringelli, F. P., L. Elfers, D. Norris, rection.(3) The filters used are specified to
and S. Hochheiser. Enhanced Stability of have a minimum collection efficiency of 99
Sulfur Dioxide in Solution. Anal. Chem., percent for 0.3 μm (DOP) particles (see Sec-
42:1818, 1970. tion 7.1.4).
2.2 The filter is weighed (after moisture
17. Martin, B. E. Sulfur Dioxide Bubbler
equilibration) before and after use to deter-
Temperature Study. EPA–600/4–77–040, U.S.
mine the net weight (mass) gain. The total
Environmental Protection Agency, Research
volume of air sampled, corrected to EPA
Triangle Park, NC 27711, August 1977.
standard conditions (25 °C, 760 mm Hg [101
18. American Society for Testing and Mate-
kPa]), is determined from the measured flow
rials. ASTM Standards, Water; Atmospheric
rate and the sampling time. The concentra-
Analysis. Part 23. Philadelphia, PA, October
tion of total suspended particulate matter in
1968, p. 226.
the ambient air is computed as the mass of
19. O’Keeffe, A. E., and G. C. Ortman. Pri- collected particles divided by the volume of
mary Standards for Trace Gas Analysis. air sampled, corrected to standard condi-
Anal. Chem., 38:760, 1966. tions, and is expressed in micrograms per
20. Scaringelli, F. P., S. A. Frey, and B. E. standard cubic meter (μg/std m3). For sam-
Saltzman. Evaluation of Teflon Permeation ples collected at temperatures and pressures
Tubes for Use with Sulfur Dioxide. Amer. significantly different than standard condi-
Ind. Hygiene Assoc. J., 28:260, 1967. tions, these corrected concentrations may
21. Scaringelli, F. P., A. E. O’Keeffe, E. differ substantially from actual concentra-
Rosenberg, and J. P. Bell, Preparation of tions (micrograms per actual cubic meter),
Known Concentrations of Gases and Vapors particularly at high elevations. The actual
With Permeation Devices Calibrated Gravi- particulate matter concentration can be cal-
metrically. Anal. Chem., 42:871, 1970. culated from the corrected concentration
22. A Procedure for Establishing using the actual temperature and pressure
Traceability of Gas Mixtures to Certain Na- during the sampling period.
tional Bureau of Standards Standard Ref- 3.0 Range.
erence Materials. EPA–600/7–81–010, U.S. En- 3.1 The approximate concentration range
vironmental Protection Agency, Environ- of the method is 2 to 750 μg/std m3. The upper
mental Monitoring Systems Laboratory limit is determined by the point at which the
39
Pt. 50, App. B 40 CFR Ch. I (7–1–21 Edition)
sampler can no longer maintain the specified air flow during the sampling period,* (2)
flow rate due to the increased pressure drop using a calibrated, continuous flow rate re-
of the loaded filter. This point is affected by cording device to record the actual flow rate
particle size distribution, moisture content during the samping period and integrating
of the collected particles, and variability the flow rate over the period, or (3) any other
from filter to filter, among other things. The means that will accurately measure the
lower limit is determined by the sensitivity total air volume sampled during the sam-
of the balance (see Section 7.10) and by in- pling period. Use of a continuous flow re-
herent sources of error (see Section 6). corder is recommended, particularly if the
3.2 At wind speeds between 1.3 and 4.5 m/sec sampler is not equipped with a constant flow
(3 and 10 mph), the high-volume air sampler controller.
has been found to collect particles up to 25 to 6.3 Loss of volatiles. Volatile particles col-
50 μm, depending on wind speed and direc- lected on the filter may be lost during subse-
tion.(3) For the filter specified in Section 7.1, quent sampling or during shipment and/or
there is effectively no lower limit on the par- storage of the filter prior to the
ticle size collected. postsampling weighing.(5) Although such
4.0 Precision. losses are largely unavoidable, the filter
4.1 Based upon collaborative testing, the should be reweighed as soon after sampling
relative standard deviation (coefficient of as practical.
variation) for single analyst precision (re- 6.4 Artifact particulate matter. Artifact par-
peatability) of the method is 3.0 percent. The ticulate matter can be formed on the surface
corresponding value for interlaboratory pre- of alkaline glass fiber filters by oxidation of
cision (reproducibility) is 3.7 percent.(4) acid gases in the sample air, resulting in a
5.0 Accuracy. higher than true TSP determination.(6 7)
5.1 The absolute accuracy of the method is This effect usually occurs early in the sam-
undefined because of the complex nature of ple period and is a function of the filter pH
atmospheric particulate matter and the dif- and the presence of acid gases. It is generally
ficulty in determining the ‘‘true’’ particulate believed to account for only a small percent-
matter concentration. This method provides age of the filter weight gain, but the effect
a measure of particulate matter concentra- may become more significant where rel-
tion suitable for the purpose specified under atively small particulate weights are col-
Section 1.0, Applicability. lected.
6.0 Inherent Sources of Error. 6.5 Humidity. Glass fiber filters are com-
paratively insensitive to changes in relative
6.1 Airflow variation. The weight of mate-
humidity, but collected particulate matter
rial collected on the filter represents the (in-
can be hygroscopic.(8) The moisture condi-
tegrated) sum of the product of the instanta-
tioning procedure minimizes but may not
neous flow rate times the instantaneous par-
completely eliminate error due to moisture.
ticle concentration. Therefore, dividing this
6.6 Filter handling. Careful handling of the
weight by the average flow rate over the
filter between the presampling and
sampling period yields the true particulate
postsampling weighings is necessary to avoid
matter concentration only when the flow
errors due to loss of fibers or particles from
rate is constant over the period. The error the filter. A filter paper cartridge or cassette
resulting from a nonconstant flow rate de- used to protect the filter can minimize han-
pends on the magnitude of the instantaneous dling errors. (See Reference 2, Section 2).
changes in the flow rate and in the particu- 6.7 Nonsampled particulate matter. Particu-
late matter concentration. Normally, such late matter may be deposited on the filter by
errors are not large, but they can be greatly wind during periods when the sampler is in-
reduced by equipping the sampler with an operative. (9) It is recommended that errors
automatic flow controlling mechanism that from this source be minimized by an auto-
maintains constant flow during the sampling matic mechanical device that keeps the fil-
period. Use of a contant flow controller is ter covered during nonsampling periods, or
recommended.* by timely installation and retrieval of filters
6.2 Air volume measurement. If the flow rate to minimize the nonsampling periods prior
changes substantially or nonuniformly dur- to and following operation.
ing the sampling period, appreciable error in 6.8 Timing errors. Samplers are normally
the estimated air volume may result from controlled by clock timers set to start and
using the average of the presampling and stop the sampler at midnight. Errors in the
postsampling flow rates. Greater air volume nominal 1,440-min sampling period may re-
measurement accuracy may be achieved by sult from a power interruption during the
(1) equipping the sampler with a flow con- sampling period or from a discrepancy be-
trolling mechanism that maintains constant tween the start or stop time recorded on the
filter information record and the actual
*At elevated altitudes, the effectiveness of start or stop time of the sampler. Such dis-
automatic flow controllers may be reduced crepancies may be caused by (1) poor resolu-
because of a reduction in the maximum sam- tion of the timer set-points, (2) timer error
pler flow. due to power interruption, (3) missetting of
40
the timer, or (4) timer malfunction. In gen- d. (†) Manually adjust the flow rate to ac-
eral, digital electronic timers have much commodate variations in filter pressure drop
better set-point resolution than mechanical and site line voltage and altitude. The ad-
timers, but require a battery backup system justment may be accomplished by an auto-
to maintain continuity of operation after a matic flow controller or by a manual flow
power interruption. A continuous flow re- adjustment device. Any manual adjustment
corder or elapsed time meter provides an in- device must be designed with positive
dication of the sampler run-time, as well as detents or other means to avoid uninten-
indication of any power interruption during tional changes in the setting.
the sampling period and is therefore rec- 7.2.2 Minimum sample flow rate, heavily load-
ommended. ed filter: 1.1 m3/min (39 ft3/min).‡
6.9 Recirculation of sampler exhaust. Under 7.2.3 Maximum sample flow rate, clean filter:
stagnant wind conditions, sampler exhaust 1.7 m3/min (60 ft3/min).‡
air can be resampled. This effect does not ap- 7.2.4 Blower Motor: The motor must be ca-
pear to affect the TSP measurement sub- pable of continuous operation for 24-hr peri-
stantially, but may result in increased car- ods.
bon and copper in the collected sample. (10) 7.3 Sampler shelter.
This problem can be reduced by ducting the 7.3.1 The sampler shelter shall:
exhaust air well away, preferably downwind, a. Maintain the filter in a horizontal posi-
from the sampler. tion at least 1 m above the sampler sup-
7.0 Apparatus. porting surface so that sample air is drawn
(See References 1 and 2 for quality assur- downward through the filter.
ance information.) b. Be rectangular in shape with a gabled
roof, similar to the design shown in Figure 1.
NOTE: Samplers purchased prior to the ef- c. Cover and protect the filter and sampler
fective date of this amendment are not sub- from precipitation and other weather.
ject to specifications preceded by (†). d. Discharge exhaust air at least 40 cm
7.1 Filter. (Filters supplied by the Environ- from the sample air inlet.
mental Protection Agency can be assumed to e. Be designed to minimize the collection
meet the following criteria. Additional speci- of dust from the supporting surface by incor-
fications are required if the sample is to be porating a baffle between the exhaust outlet
analyzed chemically.) and the supporting surface.
7.1.1 Size: 20.3 ±0.2 × 25.4 ±0.2 cm (nominal 8 7.3.2 The sampler cover or roof shall over-
× 10 in). hang the sampler housing somewhat, as
7.1.2 Nominal exposed area: 406.5 cm2 (63 in2). shown in Figure 1, and shall be mounted so
7.1.3. Material: Glass fiber or other rel- as to form an air inlet gap between the cover
atively inert, nonhygroscopic material. (8) and the sampler housing walls. † This sample
7.1.4 Collection efficiency: 99 percent min- air inlet should be approximately uniform on
imum as measured by the DOP test (ASTM– all sides of the sampler. † The area of the
2986) for particles of 0.3 μm diameter. sample air inlet must be sized to provide an
7.1.5 Recommended pressure drop range: 42–54 effective particle capture air velocity of be-
mm Hg (5.6–7.2 kPa) at a flow rate of 1.5 std tween 20 and 35 cm/sec at the recommended
m3/min through the nominal exposed area. operational flow rate. The capture velocity
is the sample air flow rate divided by the
7.1.6 pH: 6 to 10. (11)
inlet area measured in a horizontal plane at
7.1.7 Integrity: 2.4 mg maximum weight
the lower edge of the cover. † Ideally, the
loss. (11)
inlet area and operational flow rate should
7.1.8 Pinholes: None. be selected to obtain a capture air velocity
7.1.9 Tear strength: 500 g minimum for 20 of 25 ±2 cm/sec.
mm wide strip cut from filter in weakest di- 7.4 Flow rate measurement devices.
mension. (See ASTM Test D828–60). 7.4.1 The sampler shall incorporate a flow
7.1.10 Brittleness: No cracks or material sep- rate measurement device capable of indi-
arations after single lengthwise crease. cating the total sampler flow rate. Two com-
7.2 Sampler. The air sampler shall provide mon types of flow indicators covered in the
means for drawing the air sample, via recalibration procedure are (1) an electronic
duced pressure, through the filter at a uni- mass flowmeter and (2) an orifice or orifices
form face velocity.
7.2.1 The sampler shall have suitable means
(†) See note at beginning of Section 7 of
to:
this appendix.
a. Hold and seal the filter to the sampler ‡ These specifications are in actual air vol-
housing. ume units; to convert to EPA standard air
b. Allow the filter to be changed conven- volume units, multiply the specifications by
iently. (Pb/Pstd)(298/T) where Pb and T are the baro-
c. Preclude leaks that would cause error in metric pressure in mm Hg (or kPa) and the
the measurement of the air volume passing temperature in K at the sampler, and Pstd is
through the filter. 760 mm Hg (or 101 kPa).
41
located in the sample air stream together without disassembly of the unit. Use of a
with a suitable pressure indicator such as a conventional, orifice-type transfer standard
manometer, or aneroid pressure gauge. A is assumed in the calibration procedure (Sec-
pressure recorder may be used with an ori- tion 9). However, the use of other types of
fice to provide a continuous record of the transfer standards meeting the above speci-
flow. Other types of flow indicators (includ- fications, such as the one shown in Figure 2c,
ing rotameters) having comparable precision may be approved; see the note following Sec-
and accuracy are also acceptable. tion 9.1.
7.4.2 † The flow rate measurement device 7.9 Filter conditioning environment
must be capable of being calibrated and read 7.9.1 Controlled temperature: between 15° and
in units corresponding to a flow rate which 30 °C with less than ±3 °C variation during
is readable to the nearest 0.02 std m3/min equilibration period.
over the range 1.0 to 1.8 std m3/min. 7.9.2 Controlled humidity: Less than 50 per-
7.5 Thermometer, to indicate the approxi- cent relative humidity, constant within ±5
mate air temperature at the flow rate meas- percent.
urement orifice, when temperature correc- 7.10 Analytical balance.
tions are used. 7.10.1 Sensitivity: 0.1 mg.
7.5.1 Range: ¥40° to + 50 °C (223–323 K). 7.10.2 Weighing chamber designed to accept
7.5.2 Resolution: 2 °C (2 K). an unfolded 20.3 × 25.4 cm (8 × 10 in) filter.
7.6 Barometer, to indicate barometric pres- 7.11 Area light source, similar to X-ray film
sure at the flow rate measurement orifice, viewer, to backlight filters for visual inspec-
when pressure corrections are used. tion.
7.6.1 Range: 500 to 800 mm Hg (66–106 kPa). 7.12 Numbering device, capable of printing
7.6.2 Resolution: ±5 mm Hg (0.67 kPa). identification numbers on the filters before
7.7 Timing/control device. they are placed in the filter conditioning en-
7.7.1 The timing device must be capable of vironment, if not numbered by the supplier.
starting and stopping the sampler to obtain 8.0 Procedure.
an elapsed run-time of 24 hr ±1 hr (1,440 ±60 (See References 1 and 2 for quality assur-
min). ance information.)
7.7.2 Accuracy of time setting: ±30 min, or 8.1 Number each filter, if not already num-
better. (See Section 6.8). bered, near its edge with a unique identifica-
7.8 Flow rate transfer standard, traceable to tion number.
a primary standard. (See Section 9.2.) 8.2 Backlight each filter and inspect for
7.8.1 Approximate range: 1.0 to 1.8 m3/min. pinholes, particles, and other imperfections;
7.8.2 Resolution: 0.02 m3/min. filters with visible imperfections must not
7.8.3 Reproducibility: ±2 percent (2 times co- be used.
efficient of variation) over normal ranges of 8.3 Equilibrate each filter in the condi-
ambient temperature and pressure for the tioning environment for at least 24-hr.
stated flow rate range. (See Reference 2, Sec- 8.4 Following equilibration, weigh each fil-
tion 2.) ter to the nearest milligram and record this
7.8.4 Maximum pressure drop at 1.7 std m3/ tare weight (Wi) with the filter identification
min; 50 cm H2 O (5 kPa). number.
7.8.5 The flow rate transfer standard must 8.5 Do not bend or fold the filter before col-
connect without leaks to the inlet of the lection of the sample.
sampler and measure the flow rate of the 8.6 Open the shelter and install a num-
total air sample. bered, preweighed filter in the sampler, fol-
7.8.6 The flow rate transfer standard must lowing the sampler manufacturer’s instruc-
include a means to vary the sampler flow tions. During inclement weather, pre-
rate over the range of 1.0 to 1.8 m3/min (35– cautions must be taken while changing fil-
64 ft3/min) by introducing various levels of ters to prevent damage to the clean filter
flow resistance between the sampler and the and loss of sample from or damage to the ex-
transfer standard inlet. posed filter. Filter cassettes that can be
7.8.7 The conventional type of flow transfer loaded and unloaded in the laboratory may
standard consists of: An orifice unit with be used to minimize this problem (See Sec-
adapter that connects to the inlet of the tion 6.6).
sampler, a manometer or other device to 8.7 Close the shelter and run the sampler
measure orifice pressure drop, a means to for at least 5 min to establish run-tempera-
vary the flow through the sampler unit, a ture conditions.
thermometer to measure the ambient tem- 8.8 Record the flow indicator reading and,
perature, and a barometer to measure ambi- if needed, the barometric pressure (P33) and
ent pressure. Two such devices are shown in the ambient temperature (T33) see NOTE fol-
Figures 2a and 2b. Figure 2a shows multiple lowing step 8.12). Stop the sampler. Deter-
fixed resistance plates, which necessitate mine the sampler flow rate (see Section 10.1);
disassembly of the unit each time the flow if it is outside the acceptable range (1.1 to 1.7
resistance is changed. A preferable design, il- m3/min [39–60 ft3/min]), use a different filter,
lustrated in Figure 2b, has a variable flow re- or adjust the sampler flow rate. Warning:
striction that can be adjusted externally Substantial flow adjustments may affect the
42
calibration of the orifice-type flow indica- 9.1 Calibration of the high volume sam-
tors and may necessitate recalibration. pler’s flow indicating or control device is
8.9 Record the sampler identification infor- necessary to establish traceability of the
mation (filter number, site location or iden- field measurement to a primary standard via
tification number, sample date, and starting a flow rate transfer standard. Figure 3a illus-
time). trates the certification of the flow rate
8.10 Set the timer to start and stop the transfer standard and Figure 3b illustrates
sampler such that the sampler runs 24-hrs, its use in calibrating a sampler flow indi-
from midnight to midnight (local time). cator. Determination of the corrected flow
8.11 As soon as practical following the sam- rate from the sampler flow indicator, illus-
pling period, run the sampler for at least 5 trated in Figure 3c, is addressed in Section
min to again establish run-temperature con- 10.1
ditions.
NOTE: The following calibration procedure
8.12 Record the flow indicator reading and,
applies to a conventional orifice-type flow
if needed, the barometric pressure (P33) and
transfer standard and an orifice-type flow in-
the ambient temperature (T33).
dicator in the sampler (the most common
NOTE: No onsite pressure or temperature types). For samplers using a pressure re-
measurements are necessary if the sampler corder having a square-root scale, 3 other ac-
flow indicator does not require pressure or ceptable calibration procedures are provided
temperature corrections (e.g., a mass flow- in Reference 12. Other types of transfer
meter) or if average barometric pressure and standards may be used if the manufacturer
seasonal average temperature for the site are or user provides an appropriately modified
incorporated into the sampler calibration calibration procedure that has been approved
(see step 9.3.9). For individual pressure and by EPA under Section 2.8 of appendix C to
temperature corrections, the ambient pres- part 58 of this chapter.
sure and temperature can be obtained by on-
site measurements or from a nearby weather 9.2 Certification of the flow rate transfer
station. Barometric pressure readings ob- standard.
tained from airports must be station pres- 9.2.1 Equipment required: Positive displace-
sure, not corrected to sea level, and may ment standard volume meter traceable to
need to be corrected for differences in ele- the National Bureau of Standards (such as a
vation between the sampler site and the air- Roots meter or equivalent), stop-watch, ma-
port. For samplers having flow recorders but nometer, thermometer, and barometer.
not constant flow controllers, the average 9.2.2 Connect the flow rate transfer stand-
temperature and pressure at the site during ard to the inlet of the standard volume
the sampling period should be estimated from meter. Connect the manometer to measure
weather bureau or other available data. the pressure at the inlet of the standard vol-
8.13 Stop the sampler and carefully remove ume meter. Connect the orifice manometer
the filter, following the sampler manufactur- to the pressure tap on the transfer standard.
er’s instructions. Touch only the outer edges Connect a high-volume air pump (such as a
of the filter. See the precautions in step 8.6. high-volume sampler blower) to the outlet
8.14 Fold the filter in half lengthwise so side of the standard volume meter. See Fig-
that only surfaces with collected particulate ure 3a.
matter are in contact and place it in the fil- 9.2.3 Check for leaks by temporarily clamp-
ter holder (glassine envelope or manila folding both manometer lines (to avoid fluid
er). loss) and blocking the orifice with a large-di-
8.15 Record the ending time or elapsed time ameter rubber stopper, wide cellophane tape,
on the filter information record, either from or other suitable means. Start the high-vol-
the stop set-point time, from an elapsed time ume air pump and note any change in the
indicator, or from a continuous flow record. standard volume meter reading. The reading
The sample period must be 1,440 ±60 min. for should remain constant. If the reading
a valid sample. changes, locate any leaks by listening for a
8.16 Record on the filter information record whistling sound and/or retightening all con-
any other factors, such as meteorological nections, making sure that all gaskets are
conditions, construction activity, fires or properly installed.
dust storms, etc., that might be pertinent to 9.2.4 After satisfactorily completing the
the measurement. If the sample is known to leak check as described above, unclamp both
be defective, void it at this time. manometer lines and zero both manometers.
8.17 Equilibrate the exposed filter in the 9.2.5 Achieve the appropriate flow rate
conditioning environment for at least 24-hrs. through the system, either by means of the
8.18 Immediately after equilibration, re- variable flow resistance in the transfer
weigh the filter to the nearest milligram and standard or by varying the voltage to the air
record the gross weight with the filter iden- pump. (Use of resistance plates as shown in
tification number. See Section 10 for TSP Figure 1a is discouraged because the above
concentration calculations. leak check must be repeated each time a new
9.0 Calibration. resistance plate is installed.) At least five
43
different but constant flow rates, evenly dis- Record Qstd to the nearest 0.01 std m3/min
tributed, with at least three in the specified in column 6 of Figure 4.
flow rate interval (1.1 to 1.7 m3/min [39–60 ft3/ 9.2.15 Repeat steps 9.2.9 through 9.2.14 for
min]), are required. at least four additional constant flow rates,
9.2.6 Measure and record the certification evenly spaced over the approximate range of
data on a form similar to the one illustrated 1.0 to 1.8 std m3/min (35–64 ft3/min).
in Figure 4 according to the following steps. 9.2.16 For each flow, compute
9.2.7 Observe the barometric pressure and
√DDH (P1/Pstd)(298/T1)
record as P1 (item 8 in Figure 4).
9.2.8 Read the ambient temperature in the (column 7a of Figure 4) and plot these value
vicinity of the standard volume meter and against Qstd as shown in Figure 3a. Be sure to
record it as T1 (item 9 in Figure 4). use consistent units (mm Hg or kPa) for bar-
9.2.9 Start the blower motor, adjust the ometric pressure. Draw the orifice transfer
flow, and allow the system to run for at least standard certification curve or calculate the
1 min for a constant motor speed to be at- linear least squares slope (m) and intercept
tained. (b) of the certification curve:
9.2.10 Observe the standard volume meter √DDH (P1/Pstd)(298/T1)
reading and simultaneously start a stop-
watch. Record the initial meter reading (Vi) = mQstd + b. See Figures 3 and 4. A certifi-
in column 1 of Figure 4. cation graph should be readable to 0.02 std
9.2.11 Maintain this constant flow rate m3/min.
until at least 3 m3 of air have passed through 9.2.17 Recalibrate the transfer standard an-
the standard volume meter. Record the nually or as required by applicable quality
standard volume meter inlet pressure ma- control procedures. (See Reference 2.)
nometer reading as DP (column 5 in Figure 9.3 Calibration of sampler flow indicator.
4), and the orifice manometer reading as DH NOTE: For samplers equipped with a flow
(column 7 in Figure 4). Be sure to indicate controlling device, the flow controller must
the correct units of measurement. be disabled to allow flow changes during
9.2.12 After at least 3 m3 of air have passed calibration of the sampler’s flow indicator,
through the system, observe the standard or the alternate calibration of the flow con-
volume meter reading while simultaneously troller given in 9.4 may be used. For sam-
stopping the stopwatch. Record the final plers using an orifice-type flow indicator
meter reading (Vf) in column 2 and the downstream of the motor, do not vary the
elapsed time (t) in column 3 of Figure 4. flow rate by adjusting the voltage or power
9.2.13 Calculate the volume measured by supplied to the sampler.
the standard volume meter at meter condi- 9.3.1 A form similar to the one illustrated
tions of temperature and pressures as Vm = in Figure 5 should be used to record the cali-
Vf¥Vi. Record in column 4 of Figure 4. bration data.
9.2.14 Correct this volume to standard vol-
9.3.2 Connect the transfer standard to the
ume (std m3) as follows:
inlet of the sampler. Connect the orifice ma-
nometer to the orifice pressure tap, as illus-
P1 − ΔP Tstd
Vstd = Vm trated in Figure 3b. Make sure there are no
leaks between the orifice unit and the sam-
Pstd T1 pler.
where: 9.3.3 Operate the sampler for at least 5
Vstd = standard volume, std m3; minutes to establish thermal equilibrium
Vm = actual volume measured by the stand- prior to the calibration.
ard volume meter; 9.3.4 Measure and record the ambient tem-
P1 = barometric pressure during calibration, perature, T2, and the barometric pressure,
mm Hg or kPa; P2, during calibration.
DP = differential pressure at inlet to volume 9.3.5 Adjust the variable resistance or, if
meter, mm Hg or kPa; applicable, insert the appropriate resistance
Pstd = 760 mm Hg or 101 kPa; plate (or no plate) to achieve the desired
Tstd = 298 K; flow rate.
T1 = ambient temperature during calibra- 9.3.6 Let the sampler run for at least 2 min
tion, K. to re-establish the run-temperature condi-
Calculate the standard flow rate (std m3/min) tions. Read and record the pressure drop
as follows: across the orifice (DH) and the sampler flow
rate indication (I) in the appropriate col-
Vstd umns of Figure 5.
Q std = 9.3.7 Calculate √DDH(P2/Pstd)(298/T2) and de-
t termine the flow rate at standard conditions
where: (Qstd) either graphically from the certifi-
EC08NO91.013</MATH>
Qstd = standard volumetric flow rate, std m3/ cation curve or by calculating Qstd from the
min least square slope and intercept of the trans-
t = elapsed time, minutes. fer standard’s transposed certification curve:
44
ER31AU93.024</MATH>
Qstd = 1/m √DH(P2/Pstd)(298/T2)¥b. Record the bration curves should be readable to 0.02 std
value of Qstd on Figure 5. m3/min.
9.3.8 Repeat steps 9.3.5, 9.3.6, and 9.3.7 for 9.3.11 For a sampler equipped with a flow
several additional flow rates distributed over controller, the flow controlling mechanism
a range that includes 1.1 to 1.7 std m3/min. should be re-enabled and set to a flow near
9.3.9 Determine the calibration curve by the lower flow limit to allow maximum con-
plotting values of the appropriate expression trol range. The sample flow rate should be
involving I, selected from table 1, against verified at this time with a clean filter in-
Qstd. The choice of expression from table 1 de- stalled. Then add two or more filters to the
pends on the flow rate measurement device sampler to see if the flow controller main-
used (see Section 7.4.1) and also on whether tains a constant flow; this is particularly im-
the calibration curve is to incorporate geo- portant at high altitudes where the range of
the flow controller may be reduced.
graphic average barometric pressure (Pa) and
9.4 Alternate calibration of flow-controlled
seasonal average temperature (Ta) for the
samplers. A flow-controlled sampler may be
site to approximate actual pressure and tem-
calibrated solely at its controlled flow rate,
perature. Where Pa and Ta can be determined
provided that previous operating history of
for a site for a seasonal period such that the
the sampler demonstrates that the flow rate
actual barometric pressure and temperature is stable and reliable. In this case, the flow
at the site do not vary by more than ±60 mm indicator may remain uncalibrated but
Hg (8 kPa) from Pa or ±15 °C from Ta, respec- should be used to indicate any relative
tively, then using Pa and Ta avoids the need change between initial and final flows, and
for subsequent pressure and temperature cal- the sampler should be recalibrated more
culation when the sampler is used. The geo- often to minimize potential loss of samples
graphic average barometric pressure (Pa) because of controller malfunction.
may be estimated from an altitude-pressure 9.4.1 Set the flow controller for a flow near
table or by making an (approximate) ele- the lower limit of the flow range to allow
vation correction of ¥26 mm Hg (¥3.46 kPa) maximum control range.
for each 305 m (1,000 ft) above sea level (760 9.4.2 Install a clean filter in the sampler
mm Hg or 101 kPa). The seasonal average and carry out steps 9.3.2, 9.3.3, 9.3.4, 9.3.6, and
temperature (Ta) may be estimated from 9.3.7.
weather station or other records. Be sure to 9.4.3 Following calibration, add one or two
use consistent units (mm Hg or kPa) for bar- additional clean filters to the sampler, re-
ometric pressure. connect the transfer standard, and operate
9.3.10 Draw the sampler calibration curve the sampler to verify that the controller
or calculate the linear least squares slope maintains the same calibrated flow rate; this
(m), intercept (b), and correlation coefficient is particularly important at high altitudes
of the calibration curve: [Expression from where the flow control range may be re-
table 1]= mQstd + b. See Figures 3 and 5. Cali- duced.
45
10.0 Calculations of TSP Concentration. the sampler calibration curve, either graphi-
10.1 Determine the average sampler flow cally or from the transposed regression equa-
rate during the sampling period according to tion:
either 10.1.1 or 10.1.2 below. Qstd =
10.1.1 For a sampler without a continuous 1/m ([Appropriate expression from table
flow recorder, determine the appropriate ex- 2]¥b)
pression to be used from table 2 cor- Similarly, determine Qstd from the final flow
responding to the one from table 1 used in reading, and calculate the average flow Qstd
step 9.3.9. Using this appropriate expression, as one-half the sum of the initial and final
determine Qstd for the initial flow rate from flow rates.
50-723.eps</GPH> 50-724.eps</GPH>
46
10.1.2 For a sampler with a continuous flow 027a, U.S. Environmental Protection Agency,
recorder, determine the average flow rate de- Research Triangle Park, NC 27711, 1977.
vice reading, I, for the period. Determine the 3. Wedding, J. B., A. R. McFarland, and J.
appropriate expression from table 2 cor- E. Cernak. Large Particle Collection Charac-
responding to the one from table 1 used in teristics of Ambient Aerosol Samplers. Envi-
step 9.3.9. Then using this expression and the ron. Sci. Technol. 11:387–390, 1977.
average flow rate reading, determine Qstd 4. McKee, H. C., et al. Collaborative Test-
from the sampler calibration curve, either
ing of Methods to Measure Air Pollutants, I.
graphically or from the transposed regres-
The High-Volume Method for Suspended Par-
sion equation:
ticulate Matter. J. Air Poll. Cont. Assoc., 22
Qstd = (342), 1972.
1/m ([Appropriate expression from table 5. Clement, R. E., and F. W. Karasek. Sam-
2]¥b) ple Composition Changes in Sampling and
If the trace shows substantial flow change Analysis of Organic Compounds in Aerosols.
during the sampling period, greater accuracy The Intern. J. Environ. Anal. Chem., 7:109,
may be achieved by dividing the sampling 1979.
period into intervals and calculating an av- 6. Lee, R. E., Jr., and J. Wagman. A Sam-
erage reading before determining Qstd.
pling Anomaly in the Determination of At-
10.2 Calculate the total air volume sampled
mospheric Sulfuric Concentration. Am. Ind.
as:
Hygiene Assoc. J., 27:266, 1966.
V ¥ Qstd × t 7. Appel, B. R., et al. Interference Effects
where: in Sampling Particulate Nitrate in Ambient
V = total air volume sampled, in standard Air. Atmospheric Environment, 13:319, 1979.
volume units, std m3/; 8. Tierney, G. P., and W. D. Conner. Hygro-
Qstd = average standard flow rate, std m3/min; scopic Effects on Weight Determinations of
t = sampling time, min. Particulates Collected on Glass-Fiber Fil-
10.3 Calculate and report the particulate ters. Am. Ind. Hygiene Assoc. J., 28:363, 1967.
matter concentration as: 9. Chahal, H. S., and D. J. Romano. High-
Volume Sampling Effect of Windborne Par-
6
( Wf − Wi ) × 10 ticulate Matter Deposited During Idle Peri-
TSP =
ods. J. Air Poll. Cont. Assoc., Vol. 26 (885),
V
1976.
where:
10. Patterson, R. K. Aerosol Contamination
TSP = mass concentration of total suspended from High-Volume Sampler Exhaust. J. Air
particulate matter, μg/std m3; Poll. Cont. Assoc., Vol. 30 (169), 1980.
Wi = initial weight of clean filter, g; 11. EPA Test Procedures for Determining
Wf = final weight of exposed filter, g; pH and Integrity of High-Volume Air Filters.
V = air volume sampled, converted to stand- QAD/M–80.01. Available from the Methods
ard conditions, std m3,
Standardization Branch, Quality Assurance
106 = conversion of g to μg.
Division, Environmental Monitoring Sys-
10.4 If desired, the actual particulate mat- tems Laboratory (MD–77), U.S. Environ-
ter concentration (see Section 2.2) can be mental Protection Agency, Research Tri-
calculated as follows: angle Park, NC 27711, 1980.
(TSP)a = TSP (P3/Pstd)(298/T3) 12. Smith, F., P. S. Wohlschlegel, R. S. C.
where: Rogers, and D. J. Mulligan. Investigation of
(TSP)a = actual concentration at field condi- Flow Rate Calibration Procedures Associ-
tions, μg/m3; ated with the High-Volume Method for De-
TSP = concentration at standard conditions, termination of Suspended Particulates.
μg/std m3; EPA–600/4–78–047, U.S. Environmental Pro-
P3 = average barometric pressure during tection Agency, Research Triangle Park, NC,
sampling period, mm Hg; June 1978.
Pstd = 760 mn Hg (or 101 kPa);
T3 = average ambient temperature during
sampling period, K.
11.0 References.
lution Measurement Systems, Volume I,
Principles. EPA–600/9–76–005, U.S. Environ-
mental Protection Agency, Research Tri-
angle Park, NC 27711, 1976.
lution Measurement Systems, Volume II,
Ambient Air Specific Methods. EPA–600/4–77–
47
ER31AU93.025</MATH>
48
50-725.eps</GPH>
49
50-726.eps</GPH>
50
50-727.eps</GPH>
51
50-728.eps</GPH>
Pt. 50, App. C 40 CFR Ch. I (7–1–21 Edition)
[47 FR 54912, Dec. 6, 1982; 48 FR 17355, Apr. 22, 1983]
APPENDIX C TO PART 50—MEASUREMENT ent air for determining compliance with the
PRINCIPLE AND CALIBRATION PROCE- primary and secondary National Ambient
DURE FOR THE MEASUREMENT OF Air Quality Standards (NAAQS) for CO as
CARBON MONOXIDE IN THE ATMOS- specified in § 50.8 of this chapter. The method
is applicable to continuous sampling and
PHERE (NON-DISPERSIVE INFRARED
measurement of ambient CO concentrations
PHOTOMETRY) suitable for determining 1-hour or longer av-
1.0 APPLICABILITY erage measurements. The method may also
provide measurements of shorter averaging
1.1 This non-dispersive infrared photom- times, subject to specific analyzer perform-
etry (NDIR) Federal Reference Method ance limitations. Additional CO monitoring
(FRM) provides measurements of the con- quality assurance procedures and guidance
centration of carbon monoxide (CO) in ambi-
52
50-729.eps</GPH>
Environmental Protection Agency Pt. 50, App. C
are provided in part 58, appendix A, of this phere. Various instrumental techniques can
chapter and in reference 1 of this appendix C. be used to effectively minimize these inter-
ferences.
2.0 MEASUREMENT PRINCIPLE
4.0 CALIBRATION PROCEDURES
2.1 Measurements of CO in ambient air are
based on automated measurement of the ab- 4.1 Principle. Either of two methods may be
sorption of infrared radiation by CO in an selected for dynamic multipoint calibration
ambient air sample drawn into an analyzer of FRM CO analyzers, using test gases of ac-
employing non-wavelength-dispersive, infra- curately known CO concentrations obtained
red photometry (NDIR method). Infrared en- from one or more compressed gas cylinders
ergy from a source in the photometer is certified as CO transfer standards:
passed through a cell containing the air sam- 4.1.1 Dilution method: A single certified
ple to be analyzed, and the quantitative ab- standard cylinder of CO is quantitatively di-
sorption of energy by CO in the sample cell luted as necessary with zero air to obtain the
is measured by a suitable detector. The pho- various calibration concentration standards
tometer is sensitized specifically to CO by needed.
employing CO gas in a filter cell in the opti- 4.1.2 Multiple-cylinder method: Multiple, in-
cal path, which, when compared to a dif- dividually certified standard cylinders of CO
ferential optical path without a CO filter are used for each of the various calibration
cell, limits the measured absorption to one concentration standards needed.
or more of the characteristic wavelengths at 4.1.3 Additional information on calibration
which CO strongly absorbs. However, to meet may be found in Section 12 of reference 1.
measurement performance requirements, 4.2 Apparatus. The major components and
various optical filters, reference cells, rotat- typical configurations of the calibration sys-
ing gas filter cells, dual-beam configura- tems for the two calibration methods are
tions, moisture traps, or other means may shown in Figures 1 and 2. Either system may
also be used to further enhance sensitivity be made up using common laboratory com-
and stability of the photometer and to mini- ponents, or it may be a commercially manu-
mize potential measurement interference factured system. In either case, the principal
from water vapor, carbon dioxide (CO2), or components are as follows:
other species. Also, various schemes may be 4.2.1 CO standard gas flow control and
used to provide a suitable zero reference for measurement devices (or a combined device)
the photometer, and optional automatic capable of regulating and maintaining the
compensation may be provided for the actual standard gas flow rate constant to within ±2
pressure and temperature of the air sample percent and measuring the gas flow rate ac-
in the measurement cell. The measured in- curate to within ±2 percent, properly cali-
frared absorption, converted to a digital brated to a NIST-traceable standard.
reading or an electrical output signal, indi- 4.2.2 For the dilution method (Figure 1), di-
cates the measured CO concentration. lution air flow control and measurement de-
2.2 The measurement system is calibrated vices (or a combined device) capable of regu-
by referencing the analyzer’s CO measure- lating and maintaining the air flow rate con-
ments to CO concentration standards trace- stant to within ±2 percent and measuring the
able to a National Institute of Standards and air flow rate accurate to within ±2 percent,
Technology (NIST) primary standard for CO, properly calibrated to a NIST-traceable
as described in the associated calibration standard.
procedure specified in section 4 of this ref- 4.2.3 Standard gas pressure regulator(s) for
erence method. the standard CO cylinder(s), suitable for use
2.3 An analyzer implementing this meas- with a high-pressure CO gas cylinder and
urement principle will be considered a ref- having a non-reactive diaphragm and inter-
erence method only if it has been designated nal parts and a suitable delivery pressure.
as a reference method in accordance with 4.2.4 Mixing chamber for the dilution meth-
part 53 of this chapter. od of an inert material and of proper design
2.4 Sampling considerations. The use of a to provide thorough mixing of CO standard
particle filter in the sample inlet line of a gas and diluent air streams.
CO FRM analyzer is optional and left to the 4.2.5 Output sampling manifold, con-
discretion of the user unless such a filter is structed of an inert material and of suffi-
specified or recommended by the analyzer cient diameter to ensure an insignificant
manufacturer in the analyzer’s associated pressure drop at the analyzer connection.
operation or instruction manual. The system must have a vent designed to en-
sure nearly atmospheric pressure at the ana-
3.0 INTERFERENCES lyzer connection port and to prevent ambi-
3.1 The NDIR measurement principle is po- ent air from entering the manifold.
tentially susceptible to interference from
4.3 Reagents
water vapor and CO2, which have some infra-
red absorption at wavelengths in common 4.3.1 CO gas concentration transfer stand-
with CO and normally exist in the atmos- ard(s) of CO in air, containing an appropriate
53
Pt. 50, App. C 40 CFR Ch. I (7–1–21 Edition)
concentration of CO suitable for the selected the one shown schematically in Figure 1.
operating range of the analyzer under cali- Generally, all calibration gases including
bration and traceable to a NIST standard zero air must be introduced into the sample
reference material (SRM). If the CO analyzer inlet of the analyzer. However, if the ana-
has significant sensitivity to CO2, the CO lyzer has special, approved zero and span in-
standard(s) should also contain 350 to 400 lets and automatic valves to specifically
ppm CO2 to replicate the typical CO2 con- allow introduction of calibration standards
centration in ambient air. However, if the at near atmospheric pressure, such inlets
zero air dilution ratio used for the dilution may be used for calibration in lieu of the
method is not less than 100:1 and the zero air sample inlet. For specific operating instruc-
contains ambient levels of CO2, then the CO tions, refer to the manufacturer’s manual.
standard may be contained in nitrogen and 4.4.2 Ensure that there are no leaks in the
need not contain CO2. calibration system and that all flowmeters
4.3.2 For the dilution method, clean zero are properly and accurately calibrated,
air, free of contaminants that could cause a under the conditions of use, if appropriate,
detectable response on or a change in sensi- against a reliable volume or flow rate stand-
tivity of the CO analyzer. The zero air should ard such as a soap-bubble meter or wet-test
contain <0.1 ppm CO. meter traceable to a NIST standard. All vol-
umetric flow rates should be corrected to the
4.4 Procedure Using the Dilution Method
same temperature and pressure such as 298.15
4.4.1 Assemble or obtain a suitable dy- K (25 °C) and 760 mm Hg (101 kPa), using a
namic dilution calibration system such as correction formula such as the following:
Where: 4.4.4 Connect the inlet of the CO analyzer

Fc = corrected flow rate (L/min at 25 °C and to the output-sampling manifold of the cali-
760 mm Hg), bration system.
4.4.5 Adjust the calibration system to de-
Fm = measured flow rate (at temperature Tm
liver zero air to the output manifold. The
and pressure Pm),
total air flow must exceed the total demand
Pm = measured pressure in mm Hg (absolute), of the analyzer(s) connected to the output
and manifold to ensure that no ambient air is
Tm = measured temperature in degrees Cel- pulled into the manifold vent. Allow the ana-
sius. lyzer to sample zero air until a stable re-
4.4.3 Select the operating range of the CO sponse is obtained. After the response has
analyzer to be calibrated. Connect the meas- stabilized, adjust the analyzer zero reading.
urement signal output of the analyzer to an 4.4.6 Adjust the zero air flow rate and the
appropriate readout instrument to allow the CO gas flow rate from the standard CO cyl-
analyzer’s measurement output to be con- inder to provide a diluted CO concentration
of approximately 80 percent of the measure-
tinuously monitored during the calibration.
ment upper range limit (URL) of the oper-
Where possible, this readout instrument
ating range of the analyzer. The total air
should be the same one used to record rou-
flow rate must exceed the total demand of
tine monitoring data, or, at least, an instru- the analyzer(s) connected to the output
ment that is as closely representative of that manifold to ensure that no ambient air is
system as feasible. pulled into the manifold vent. The exact CO
concentration is calculated from:
Where: [CO]STD = concentration of the undiluted CO

ER31AU11.002</GPH>
[CO]OUT = diluted CO concentration at the standard (ppm),

output manifold (ppm),
54
ER31AU11.001</GPH>
Environmental Protection Agency Pt. 50, App. C
FCO = flow rate of the CO standard (L/min), 4.5.2 The flowmeter need not be accurately
and calibrated, provided the flow in the output
FD = flow rate of the dilution air (L/min). manifold can be verified to exceed the ana-
Sample this CO concentration until a stable lyzer’s flow demand.
response is obtained. Adjust the analyzer 4.5.3 The various CO calibration concentra-
span control to obtain the desired analyzer tions required in Steps 4.4.5, 4.4.6, and 4.4.7
response reading equivalent to the cal- are obtained without dilution by selecting
culated standard concentration. If substan- zero air or the appropriate certified standard
tial adjustment of the analyzer span control cylinder.
is required, it may be necessary to recheck 4.6 Frequency of Calibration. The frequency
the zero and span adjustments by repeating
of calibration, as well as the number of
steps 4.4.5 and 4.4.6. Record the CO con-
points necessary to establish the calibration
centration and the analyzer’s final response.
4.4.7 Generate several additional con- curve and the frequency of other perform-
centrations (at least three evenly spaced ance checking, will vary by analyzer. How-
points across the remaining scale are sug- ever, the minimum frequency, acceptance
gested to verify linearity) by decreasing FCO criteria, and subsequent actions are specified
or increasing FD. Be sure the total flow ex- in reference 1, appendix D, ‘‘Measurement
ceeds the analyzer’s total flow demand. For Quality Objectives and Validation Template
each concentration generated, calculate the for CO’’ (page 5 of 30). The user’s quality con-
exact CO concentration using equation (2). trol program should provide guidelines for
Record the concentration and the analyzer’s initial establishment of these variables and
stable response for each concentration. Plot for subsequent alteration as operational ex-
the analyzer responses (vertical or y-axis) perience is accumulated. Manufacturers of
versus the corresponding CO concentrations CO analyzers should include in their instruc-
(horizontal or x-axis). Calculate the linear tion/operation manuals information and
regression slope and intercept of the calibra- guidance as to these variables and on other
tion curve and verify that no point deviates matters of operation, calibration, routine
from this line by more than 2 percent of the maintenance, and quality control.
highest concentration tested.
4.5 Procedure Using the Multiple-Cylinder 5.0 REFERENCE
Method. Use the procedure for the dilution
method with the following changes: 1. QA Handbook for Air Pollution Measure-
4.5.1 Use a multi-cylinder, dynamic cali- ment Systems—Volume II. Ambient Air Quality
bration system such as the typical one Monitoring Program. U.S. EPA. EPA–454/B–08–
shown in Figure 2. 003 (2008).
55
ER31AU11.003</GPH>
Pt. 50, App. D 40 CFR Ch. I (7–1–21 Edition)
[76 FR 54323, Aug. 31, 2011]
APPENDIX D TO PART 50—REFERENCE 2.2 The measurement system is calibrated

MEASUREMENT PRINCIPLE AND CALI- by referencing the instrumental
BRATION PROCEDURE FOR THE MEAS- chemiluminescence measurements to cer-
tified O3 standard concentrations generated
UREMENT OF OZONE IN THE ATMOS-
in a dynamic flow system and assayed by
PHERE (CHEMILUMINESCENCE METH- photometry to be traceable to a National In-
OD) stitute of Standards and Technology (NIST)
standard reference photometer for O3 (see
1.0 Applicability. Section 4, Calibration Procedure, below).
1.1 This chemiluminescence method pro- 2.3 An analyzer implementing this meas-
vides reference measurements of the con- urement principle is shown schematically in
centration of ozone (O3) in ambient air for Figure 1. Designs implementing this meas-
determining compliance with the national urement principle must include: an appro-
primary and secondary ambient air quality priately designed mixing and measurement
standards for O3 as specified in 40 CFR part cell; a suitable quantitative photometric
50. This automated method is applicable to measurement system with adequate sensi-
the measurement of ambient O3 concentra- tivity and wavelength specificity for O3; a
tions using continuous (real-time) sampling pump, flow control, and sample conditioning
and analysis. Additional quality assurance system for sampling the ambient air and
procedures and guidance are provided in 40 moving it into and through the measurement
CFR part 58, appendix A, and in Reference 14. cell; a sample air dryer as necessary to meet
2.0 Measurement Principle. the water vapor interference limit require-
2.1 This reference method is based on con- ment specified in subpart B of part 53 of this
tinuous automated measurement of the in- chapter; a means to supply, meter, and mix
tensity of the characteristic a constant, flowing stream of either C2H4 or
chemiluminescence released by the gas phase NO gas of fixed concentration with the sam-
reaction of O3 in sampled air with either ple air flow in the measurement cell; suit-
ethylene (C2H4) or nitric oxide (NO) gas. An able electronic control and measurement
ambient air sample stream and a specific processing capability; and other associated
flowing concentration of either C2H4 (ET–CL apparatus as may be necessary. The analyzer
method) or NO (NO–CL method) are mixed in must be designed and constructed to provide
a measurement cell, where the resulting accurate, repeatable, and continuous meas-
chemiluminescence is quantitatively measurements of O3 concentrations in ambient
ured by a sensitive photo-detector. Ref- air, with measurement performance that
erences 8–11 describe the chemiluminescence meets the requirements specified in subpart
measurement principle. B of part 53 of this chapter.
56
ER31AU11.004</GPH>
Environmental Protection Agency Pt. 50, App. D
2.4 An analyzer implementing this meas- buildup of airborne particulate matter is
urement principle and calibration procedure minimized by filter replacement and clean-
will be considered a federal reference method ing of the other inlet components.
(FRM) only if it has been designated as a ref- 4.0 Calibration Procedure.
erence method in accordance with part 53 of 4.1 Principle. The calibration procedure is
this chapter. based on the photometric assay of O3 con-
2.5 Sampling considerations. The use of a centrations in a dynamic flow system. The
particle filter on the sample inlet line of a concentration of O3 in an absorption cell is
chemiluminescence O3 FRM analyzer is re-
determined from a measurement of the
quired to prevent buildup of particulate mat-
amount of 254 nm light absorbed by the sam-
ter in the measurement cell and inlet compo-
ple. This determination requires knowledge
nents. This filter must be changed weekly
(or at least often as specified in the manufac- of (1) the absorption coefficient (a) of O3 at
turer’s operation/instruction manual), and 254 nm, (2) the optical path length (l)
the sample inlet system used with the ana- through the sample, (3) the transmittance of
lyzer must be kept clean, to avoid loss of O3 the sample at a nominal wavelength of 254
in the O3 sample air prior to the concentra- nm, and (4) the temperature (T) and pressure
tion measurement. (P) of the sample. The transmittance is de-
3.0 Interferences. fined as the ratio I/I0, where I is the intensity
3.1 Except as described in 3.2 below, the of light which passes through the cell and is
chemiluminescence measurement system is sensed by the detector when the cell con-
inherently free of significant interferences tains an O3 sample, and I0 is the intensity of
from other pollutant substances that may be light which passes through the cell and is
present in ambient air. sensed by the detector when the cell con-
3.2 A small sensitivity to variations in the tains zero air. It is assumed that all condi-
humidity of the sample air is minimized by tions of the system, except for the contents
a sample air dryer. Potential loss of O3 in the of the absorption cell, are identical during
inlet air filter and in the air sample handling measurement of I and I0. The quantities de-
components of the analyzer and associated fined above are related by the Beer-Lambert
exterior air sampling components due to absorption law,
Where: A stable O3 generator is used to produce O3

a = absorption coefficient of O3 at 254 nm = concentrations over the required calibration
308 ±4 atm¥1 cm¥1 at 0 °C and 760 concentration range. Each O3 concentration
is determined from the measurement of the
torr, 1 2 3 4 5 6 7
transmittance (I/I0) of the sample at 254 nm
c = O3 concentration in atmospheres, and
with a photometer of path length l and cal-
l = optical path length in cm. culated from the equation,
The calculated O3 concentrations must be lyzers, either directly or by means of a

corrected for O3 losses, which may occur in transfer standard certified by this procedure.
the photometer, and for the temperature and Transfer standards must meet the require-
ER26OC15.003</GPH>
pressure of the sample. ments and specifications set forth in Ref-

4.2 Applicability. This procedure is applica- erence 12.
ble to the calibration of ambient air O3 ana-
57
ER26OC15.002</GPH>
4.3 Apparatus. A complete UV calibration must have a vent designed to insure atmos-
system consists of an O3 generator, an out- pheric pressure in the manifold and to pre-
put port or manifold, a photometer, an ap- vent ambient air from entering the manifold.
propriate source of zero air, and other com- 4.3.5 Two-way valve. A manual or auto-
ponents as necessary. The configuration matic two-way valve, or other means is used
must provide a stable O3 concentration at to switch the photometer flow between zero
the system output and allow the photometer air and the O3 concentration.
to accurately assay the output concentra-
4.3.6 Temperature indicator. A device to indi-
tion to the precision specified for the pho-
cate temperature must be used that is accu-
tometer (4.3.1). Figure 2 shows a commonly
rate to ±1 °C.
used configuration and serves to illustrate
the calibration procedure, which follows. 4.3.7 Barometer or pressure indicator. A de-
Other configurations may require appro- vice to indicate barometric pressure must be
priate variations in the procedural steps. All used that is accurate to ±2 torr.
connections between components in the cali- 4.4 Reagents.
bration system downstream of the O3 gener- 4.4.1 Zero air. The zero air must be free of
ator must be of glass, Teflon, or other rel- contaminants which would cause a detect-
atively inert materials. Additional informa- able response from the O3 analyzer, and it
tion regarding the assembly of a UV photo- must be free of NO, C2H4, and other species
metric calibration apparatus is given in Ref- which react with O3. A procedure for gener-
erence 13. For certification of transfer stand- ating suitable zero air is given in Reference
ards which provide their own source of O3, 13. As shown in Figure 2, the zero air sup-
the transfer standard may replace the O3 plied to the photometer cell for the I0 ref-
generator and possibly other components erence measurement must be derived from
shown in Figure 2; see Reference 12 for guid- the same source as the zero air used for gen-
ance. eration of the O3 concentration to be assayed
4.3.1 UV photometer. The photometer con- (I measurement). When using the photometer
sists of a low-pressure mercury discharge to certify a transfer standard having its own
lamp, (optional) collimation optics, an ab-
source of O3, see Reference 12 for guidance on
sorption cell, a detector, and signal-proc-
meeting this requirement.
essing electronics, as illustrated in Figure 2.
It must be capable of measuring the trans- 4.5 Procedure.
mittance, I/I0, at a wavelength of 254 nm with 4.5.1 General operation. The calibration pho-
sufficient precision such that the standard tometer must be dedicated exclusively to use
deviation of the concentration measure- as a calibration standard. It must always be
ments does not exceed the greater of 0.005 used with clean, filtered calibration gases,
ppm or 3% of the concentration. Because the and never used for ambient air sampling. A
low-pressure mercury lamp radiates at sev- number of advantages are realized by locat-
eral wavelengths, the photometer must ining the calibration photometer in a clean
corporate suitable means to assure that no laboratory where it can be stationary, pro-
O3 is generated in the cell by the lamp, and tected from the physical shock of transpor-
that at least 99.5% of the radiation sensed by tation, operated by a responsible analyst,
the detector is 254 nm radiation. (This can be and used as a common standard for all field
readily achieved by prudent selection of op- calibrations via transfer standards.
tical filter and detector response character- 4.5.2 Preparation. Proper operation of the
istics.) The length of the light path through photometer is of critical importance to the
the absorption cell must be known with an accuracy of this procedure. Upon initial op-
accuracy of at least 99.5%. In addition, the eration of the photometer, the following
cell and associated plumbing must be de- steps must be carried out with all quan-
signed to minimize loss of O3 from contact titative results or indications recorded in a
with cell walls and gas handling components. chronological record, either in tabular form
See Reference 13 for additional information. or plotted on a graphical chart. As the per-
4.3.2 Air flow controllers. Air flow control-
formance and stability record of the photom-
lers are devices capable of regulating air
eter is established, the frequency of these
flows as necessary to meet the output sta-
steps may be reduced to be consistent with
bility and photometer precision require-
the documented stability of the photometer
ments.
4.3.3 Ozone generator. The ozone generator and the guidance provided in Reference 12.
used must be capable of generating stable 4.5.2.1 Instruction manual. Carry out all set
levels of O3 over the required concentration up and adjustment procedures or checks as
range. described in the operation or instruction
4.3.4 Output manifold. The output manifold manual associated with the photometer.
must be constructed of glass, Teflon, or 4.5.2.2 System check. Check the photometer
other relatively inert material, and should system for integrity, leaks, cleanliness,
be of sufficient diameter to insure a neg- proper flow rates, etc. Service or replace fil-
ligible pressure drop at the photometer con- ters and zero air scrubbers or other
nection and other output ports. The system consumable materials, as necessary.
58
4.5.2.3 Linearity. Verify that the photom- for the instrument, then accurately dilute
eter manufacturer has adequately estab- that concentration with zero air and re-
lished that the linearity error of the photom- assay it. Repeat at several different dilution
eter is less than 3%, or test the linearity by ratios. Compare the assay of the original
dilution as follows: Generate and assay an O3 concentration with the assay of the diluted
concentration near the upper range limit of concentration divided by the dilution ratio,
the system or appropriate calibration scale as follows
Where: versely related to the time required for

E = linearity error, percent flushing, since the photometer drift error in-
A1 = assay of the original concentration creases with time.
A2 = assay of the diluted concentration 4.5.3.3 Ensure that the flow rate into the
R = dilution ratio = flow of original con- output manifold is at least 1 liter/min great-
centration divided by the total flow er than the total flow rate required by the
photometer and any other flow demand con-
The linearity error must be less than 5%.
nected to the manifold.
Since the accuracy of the measured flow-
4.5.3.4 Ensure that the flow rate of zero air,
rates will affect the linearity error as meas-
Fz, is at least 1 liter/min greater than the
ured this way, the test is not necessarily
flow rate required by the photometer.
conclusive. Additional information on
verifying linearity is contained in Reference 4.5.3.5 With zero air flowing in the output
13. manifold, actuate the two-way valve to allow
4.5.2.4 Inter-comparison. The photometer the photometer to sample first the manifold
must be inter-compared annually, either di- zero air, then Fz. The two photometer read-
rectly or via transfer standards, with a NIST ings must be equal (I = I0).
standard reference photometer (SRP) or cali- NOTE: In some commercially available
bration photometers used by other agencies photometers, the operation of the two-way
or laboratories. valve and various other operations in section
4.5.2.5 Ozone losses. Some portion of the O3 4.5.3 may be carried out automatically by
may be lost upon contact with the photom- the photometer.
eter cell walls and gas handling components. 4.5.3.6 Adjust the O3 generator to produce
The magnitude of this loss must be deter- an O3 concentration as needed.
mined and used to correct the calculated O3 4.5.3.7 Actuate the two-way valve to allow
concentration. This loss must not exceed 5%. the photometer to sample zero air until the
Some guidelines for quantitatively deter- absorption cell is thoroughly flushed and
mining this loss are discussed in Reference record the stable measured value of Io.
13. 4.5.3.8 Actuate the two-way valve to allow
4.5.3 Assay of O3 concentrations. The oper- the photometer to sample the O3 concentra-
ator must carry out the following steps to tion until the absorption cell is thoroughly
properly assay O3 concentrations. flushed and record the stable measured value
4.5.3.1 Allow the photometer system to of I.
warm up and stabilize. 4.5.3.9 Record the temperature and pressure
4.5.3.2 Verify that the flow rate through of the sample in the photometer absorption
the photometer absorption cell, F, allows the cell. (See Reference 13 for guidance.)
cell to be flushed in a reasonably short pe- 4.5.3.10 Calculate the O3 concentration
riod of time (2 liter/min is a typical flow). from equation 4. An average of several deter-
The precision of the measurements is in- minations will provide better precision.
Where: T = sample temperature, K

[O3]OUT = O3 concentration, ppm P = sample pressure, torr
a = absorption coefficient of O3 at 254 nm = L = correction factor for O3 losses from
ER26OC15.005</GPH>
308 atm¥1 cm¥1 at 0 °C and 760 torr 4.5.2.5 = (1¥fraction of O3 lost).

l = optical path length, cm
59
ER26OC15.004</GPH>
NOTE: Some commercial photometers may centration standard until a stable response
automatically evaluate all or part of equa- is obtained.
tion 4. It is the operator’s responsibility to 4.5.5.4 Adjust the O3 analyzer’s span control
verify that all of the information required to obtain the desired response equivalent to
for equation 4 is obtained, either automati- the calculated standard concentration.
cally by the photometer or manually. For Record the O3 concentration and the cor-
‘‘automatic’’ photometers which evaluate responding analyzer response. If substantial
the first term of equation 4 based on a linear adjustment of the span control is necessary,
approximation, a manual correction may be recheck the zero and span adjustments by re-
required, particularly at higher O3 levels. peating steps 4.5.5.2 to 4.5.5.4.
See the photometer instruction manual and 4.5.5.5 Generate additional O3 concentra-
Reference 13 for guidance. tion standards (a minimum of 5 are rec-
4.5.3.11 Obtain additional O3 concentration ommended) over the calibration scale of the
standards as necessary by repeating steps O3 analyzer by adjusting the O3 source or by
4.5.3.6 to 4.5.3.10 or by Option 1. Option 1. For each O3 concentration stand-
4.5.4 Certification of transfer standards. A ard, record the O3 concentration and the cor-
transfer standard is certified by relating the responding analyzer response.
output of the transfer standard to one or 4.5.5.6 Plot the O3 analyzer responses
more O3 calibration standards as determined (vertical or Y-axis) versus the corresponding
according to section 4.5.3. The exact proce- O3 standard concentrations (horizontal or X-
dure varies depending on the nature and de- axis). Compute the linear regression slope
sign of the transfer standard. Consult Ref- and intercept and plot the regression line to
erence 12 for guidance. verify that no point deviates from this line
4.5.5 Calibration of ozone analyzers. Ozone by more than 2 percent of the maximum con-
analyzers must be calibrated as follows, centration tested.
using O3 standards obtained directly accord- 4.5.5.7 Option 1: The various O3 concentra-
ing to section 4.5.3 or by means of a certified tions required in steps 4.5.3.11 and 4.5.5.5 may
transfer standard. be obtained by dilution of the O3 concentra-
4.5.5.1 Allow sufficient time for the O3 ana- tion generated in steps 4.5.3.6 and 4.5.5.3.
lyzer and the photometer or transfer stand- With this option, accurate flow measure-
ard to warm-up and stabilize. ments are required. The dynamic calibration
4.5.5.2 Allow the O3 analyzer to sample zero system may be modified as shown in Figure
air until a stable response is obtained and 3 to allow for dilution air to be metered in
then adjust the O3 analyzer’s zero control. downstream of the O3 generator. A mixing
Offsetting the analyzer’s zero adjustment to chamber between the O3 generator and the
+5% of scale is recommended to facilitate ob- output manifold is also required. The flow
serving negative zero drift (if any). Record rate through the O3 generator (Fo) and the
the stable zero air response as ‘‘Z’’. dilution air flow rate (FD) are measured with
4.5.5.3 Generate an O3 concentration stand- a flow or volume standard that is traceable
ard of approximately 80% of the desired to a NIST flow or volume calibration stand-
upper range limit (URL) of the O3 analyzer. ard. Each O3 concentration generated by di-
Allow the O3 analyzer to sample this O3 con- lution is calculated from:
Where: Measurement Quality Objectives and Valida-

[O3]′OUT = diluted O3 concentration, ppm tion Templates. The user’s quality control
FO = flow rate through the O3 generator, program shall provide guidelines for initial
liter/min establishment of these variables and for sub-
FD = diluent air flow rate, liter/min sequent alteration as operational experience
NOTE: Additional information on calibra- is accumulated. Manufacturers of analyzers
tion and pollutant standards is provided in should include in their instruction/operation
Section 12 of Reference 14. manuals information and guidance as to
5.0 Frequency of Calibration. these variables and on other matters of oper-
5.1 The frequency of calibration, as well as ation, calibration, routine maintenance, and
the number of points necessary to establish quality control.
the calibration curve, and the frequency of 6.0 References.
other performance checking will vary by an- 1. E.C.Y. Inn and Y. Tanaka, ‘‘Absorption co-
alyzer; however, the minimum frequency, ac- efficient of Ozone in the Ultraviolet and
ceptance criteria, and subsequent actions are Visible Regions’’, J. Opt. Soc. Am., 43, 870
specified in Appendix D of Reference 14: (1953).
60
ER26OC15.006</GPH>
2. A. G. Hearn, ‘‘Absorption of Ozone in the 10. Ridley, B.A.; Grahek, F.E.; Walega, J.G.
Ultraviolet and Visible Regions of the ‘‘A small, high-sensitivity, medium-re-
Spectrum’’, Proc. Phys. Soc. (London), sponse ozone detector suitable for meas-
78, 932 (1961). urements from light aircraft.’’ J. Atmos.
3. W. B. DeMore and O. Raper, ‘‘Hartley Band Oceanic Technol., 9 (2), 142–148(1992).
Extinction Coefficients of Ozone in the 11. Boylan, P., Helmig, D., and Park, J.H.
Gas Phase and in Liquid Nitrogen, Car-
‘‘Characterization and mitigation of
bon Monoxide, and Argon’’, J. Phys.
water vapor effects in the measurement
Chem., 68, 412 (1964).
4. M. Griggs, ‘‘Absorption Coefficients of of ozone by chemiluminescence with ni-
Ozone in the Ultraviolet and Visible Re- tric oxide.’’ Atmos. Meas. Tech. 7, 1231–
gions’’, J. Chem. Phys., 49, 857 (1968). 1244 (2014).
5. K. H. Becker, U. Schurath, and H. Seitz, 12. Transfer Standards for Calibration of Am-
‘‘Ozone Olefin Reactions in the Gas bient Air Monitoring Analyzers for
Phase. 1. Rate Constants and Activation Ozone, EPA publication number EPA–454/
Energies’’, Int’l Jour. of Chem. Kinetics, B–13–004, October 2013. EPA, Office of Air
VI, 725 (1974). Quality Planning and Standards, Re-
6. M. A. A. Clyne and J. A. Coxom, ‘‘Kinetic search Triangle Park, NC 27711. [Avail-
Studies of Oxy-halogen Radical Sys- able at www.epa.gov/ttnamti1/files/ambient/
tems’’, Proc. Roy. Soc., A303, 207 (1968). qaqc/OzoneTransferStandardGuidance.pdf.]
7. J. W. Simons, R. J. Paur, H. A. Webster, 13. Technical Assistance Document for the
and E. J. Bair, ‘‘Ozone Ultraviolet Pho-
Calibration of Ambient Ozone Monitors,
tolysis. VI. The Ultraviolet Spectrum’’,
EPA publication number EPA–600/4–79–
J. Chem. Phys., 59, 1203 (1973).
8. Ollison, W.M.; Crow, W.; Spicer, C.W. 057, September, 1979. [Available at
‘‘Field testing of new-technology ambi- www.epa.gov/ttnamti1/files/ambient/criteria/
ent air ozone monitors.’’ J. Air Waste 4–79–057.pdf.]
Manage. Assoc., 63 (7), 855–863 (2013). 14. QA Handbook for Air Pollution Measure-
9. Parrish, D.D.; Fehsenfeld, F.C. ‘‘Methods ment Systems—Volume II. Ambient Air
for gas-phase measurements of ozone, Quality Monitoring Program. EPA–454/B–
ozone precursors and aerosol precur- 13–003, May 2013. [Available at http://
sors.’’ Atmos. Environ., 34 (12–14), 1921– www.epa.gov/ttnamti1/files/ambient/pm25/qa/
1957(2000). QA-Handbook-Vol-II.pdf.]
61
62
ER26OC15.007</GPH>
63
ER26OC15.008</GPH>
Pt. 50, App. F 40 CFR Ch. I (7–1–21 Edition)
[80 FR 65453, Oct. 26, 2015] converted. This latter NO measurement is

subtracted from the former measurement
APPENDIX E TO PART 50 [RESERVED] (NO + NO2) to yield the final NO2 measure-
ment. The NO and NO + NO2 measurements
APPENDIX F TO PART 50—MEASUREMENT may be made concurrently with dual sys-
PRINCIPLE AND CALIBRATION PROCE- tems, or cyclically with the same system
DURE FOR THE MEASUREMENT OF NI- provided the cycle time does not exceed 1
TROGEN DIOXIDE IN THE ATMOSPHERE minute.
(GAS PHASE CHEMILUMINESCENCE) 2. Sampling considerations.
2.1 Chemiluminescence NO/NOX/NO2 ana-
PRINCIPLE AND APPLICABILITY lyzers will respond to other nitrogen con-
1. Atmospheric concentrations of nitrogen taining compounds, such as peroxyacetyl ni-
dioxide (NO2) are measured indirectly by trate (PAN), which might be reduced to NO
photometrically measuring the light inten- in the thermal converter. (7) Atmospheric
sity, at wavelengths greater than 600 nano- concentrations of these potential inter-
meters, resulting from the ferences are generally low relative to NO2
chemiluminescent reaction of nitric oxide and valid NO2 measurements may be ob-
(NO) with ozone (O3). (1,2,3) NO2 is first quan- tained. In certain geographical areas, where
titatively reduced to NO(4,5,6) by means of a the concentration of these potential inter-
converter. NO, which commonly exists in ferences is known or suspected to be high
ambient air together with NO2, passes relative to NO2, the use of an equivalent
through the converter unchanged causing a method for the measurement of NO2 is rec-
resultant total NOX concentration equal to ommended.
NO + NO2. A sample of the input air is also 2.2 The use of integrating flasks on the
measured without having passed through the sample inlet line of chemiluminescence NO/
64
ER26OC15.009</GPH>
Environmental Protection Agency Pt. 50, App. F
NOX/NO2 analyzers is optional and left to 1.2.3 Air flowmeters. Calibrated flowmeters
couraged. The sample residence time be- capable of measuring and monitoring air
tween the sampling point and the analyzer flowrates with an accuracy of ±2% of the
should be kept to a minimum to avoid erro- measured flowrate.
neous NO2 measurements resulting from the 1.2.4 NO flowmeter. A calibrated flowmeter
reaction of ambient levels of NO and O3 in capable of measuring and monitoring NO
the sampling system. flowrates with an accuracy of ±2% of the
2.3 The use of particulate filters on the measured flowrate. (Rotameters have been
sample inlet line of chemiluminescence NO/ reported to operate unreliably when meas-
NOX/NO2 analyzers is optional and left to the uring low NO flows and are not rec-
discretion of the user or the manufacturer. ommended.)
Use of the filter should depend on the ana- 1.2.5 Pressure regulator for standard NO cyl-
lyzer’s susceptibility to interference, mal- inder. This regulator must have a nonreac-
function, or damage due to particulates. tive diaphragm and internal parts and a suit-
Users are cautioned that particulate matter able delivery pressure.
concentrated on a filter may cause erroneous 1.2.6 Ozone generator. The generator must
NO2 measurements and therefore filters be capable of generating sufficient and stable
should be changed frequently. levels of O3 for reaction with NO to generate
3. An analyzer based on this principle will NO2 concentrations in the range required.
be considered a reference method only if it Ozone generators of the electric discharge
has been designated as a reference method in type may produce NO and NO2 and are not
accordance with part 53 of this chapter. recommended.
CALIBRATION 1.2.7 Valve. A valve may be used as shown
in Figure 1 to divert the NO flow when zero
1. Alternative A—Gas phase titration (GPT) air is required at the manifold. The valve
of an NO standard with O3. should be constructed of glass, Teflon ®, or
Major equipment required: Stable O3 gener- other nonreactive material.
ator. Chemiluminescence NO/NOX/NO2 ana- 1.2.8 Reaction chamber. A chamber, con-
lyzer with strip chart recorder(s). NO constructed of glass, Teflon ®, or other nonreac-
centration standard. tive material, for the quantitative reaction
1.1 Principle. This calibration technique is of O3 with excess NO. The chamber should be
based upon the rapid gas phase reaction be- of sufficient volume (VRC) such that the resi-
tween NO and O3 to produce stoichiometric dence time (tR) meets the requirements spec-
quantities of NO2 in accordance with the fol- ified in 1.4. For practical reasons, tR should
lowing equation: (8) be less than 2 minutes.
1.2.9 Mixing chamber. A chamber con-
NO + O 3 → NO 2 + O 2 (1) structed of glass, Teflon ®, or other nonreac-
The quantitative nature of this reaction is tive material and designed to provide thor-
such that when the NO concentration is ough mixing of reaction products and diluent
known, the concentration of NO2 can be de- air. The residence time is not critical when
termined. Ozone is added to excess NO in a the dynamic parameter specification given
dynamic calibration system, and the NO in 1.4 is met.
channel of the chemiluminescence NO/NOX/ 1.2.10 Output manifold. The output manifold
NO2 analyzer is used as an indicator of should be constructed of glass, Teflon ®, or
changes in NO concentration. Upon the addi- other non-reactive material and should be of
tion of O3, the decrease in NO concentration sufficient diameter to insure an insignificant
observed on the calibrated NO channel is pressure drop at the analyzer connection.
equivalent to the concentration of NO2 pro- The system must have a vent designed to in-
duced. The amount of NO2 generated may be sure atmospheric pressure at the manifold
varied by adding variable amounts of O3 from and to prevent ambient air from entering the
a stable uncalibrated O3 generator. (9) manifold.
1.2 Apparatus. Figure 1, a schematic of a 1.3 Reagents.
typical GPT apparatus, shows the suggested 1.3.1 NO concentration standard. Gas cyl-
configuration of the components listed inder standard containing 50 to 100 ppm NO
below. All connections between components in N2 with less than 1 ppm NO2. This stand-
in the calibration system downstream from ard must be traceable to a National Bureau
the O3 generator should be of glass, Teflon ®, of Standards (NBS) NO in N2 Standard Ref-
or other non-reactive material. erence Material (SRM 1683 or SRM 1684), an
1.2.1 Air flow controllers. Devices capable of NBS NO2 Standard Reference Material (SRM
maintaining constant air flows within ±2% of 1629), or an NBS/EPA-approved commercially
the required flowrate. available Certified Reference Material
1.2.2 NO flow controller. A device capable of (CRM). CRM’s are described in Reference 14,
maintaining constant NO flows within ±2% and a list of CRM sources is available from
of the required flowrate. Component parts in the address shown for Reference 14. A rec-
contact with the NO should be of a non-reac- ommended protocol for certifying NO gas
tive material. cylinders against either an NO SRM or CRM
65
EC08NO91.075</MATH>
is given in section 2.0.7 of Reference 15. Ref-
erence 13 gives procedures for certifying an
NO gas cylinder against an NBS NO2 SRM
and for determining the amount of NO2 im-
purity in an NO cylinder.
1.3.2 Zero air. Air, free of contaminants (f) Compute tR as
which will cause a detectable response on the
NO/NOX/NO2 analyzer or which might react VRC
with either NO, O3, or NO2 in the gas phase tR = (7)
titration. A procedure for generating zero air FO + FNO
is given in reference 13.
Verify that tR <2 minutes. If not, select a re-
1.4 Dynamic parameter specification.
action chamber with a smaller VRC.
1.4.1 The O3 generator air flowrate (F0) and
(g) Compute the diluent air flowrate as
NO flowrate (FNO) (see Figure 1) must be ad-
justed such that the following relationship
holds:
FD = FT ' FO ' FNO (8)
where:
PR = [NO] RC × t R 2.75 ppm-minutes (2) FD = diluent air flowrate, scm3/min
(h) If FO turns out to be impractical for the
⎛ FNO ⎞ desired system, select a reaction chamber
[ NO] RC = [ NO]STD ⎜ ⎟ (3) having a different VRC and recompute FO and
⎝ FO + FNO ⎠ FD.
NOTE: A dynamic parameter lower than
VRC 2.75 ppm-minutes may be used if it can be de-
tR = < 2 minutes (4) termined empirically that quantitative reac-
FO + FNO tion of O3 with NO occurs. A procedure for
where: making this determination as well as a more
detailed discussion of the above require-
PR = dynamic parameter specification, deter- ments and other related considerations is
mined empirically, to insure complete given in reference 13.
reaction of the available O3, ppm-minute
1.5 Procedure.
EC08NO91.081</MATH>
[NO]RC = NO concentration in the reaction
chamber, ppm 1.5.1 Assemble a dynamic calibration sys-
tem such as the one shown in Figure 1.
R = residence time of the reactant gases in
1.5.2 Insure that all flowmeters are cali-
the reaction chamber, minute
brated under the conditions of use against a
[NO]STD = concentration of the undiluted NO
reliable standard such as a soap-bubble
standard, ppm
meter or wet-test meter. All volumetric
EC08NO91.080</MATH>
FNO = NO flowrate, scm3/min flowrates should be corrected to 25 °C and 760
FO = O3 generator air flowrate, scm3/min mm Hg. A discussion on the calibration of
VRC = volume of the reaction chamber, scm3 flowmeters is given in reference 13.
1.4.2 The flow conditions to be used in the 1.5.3 Precautions must be taken to remove
GPT system are determined by the following O2 and other contaminants from the NO pres-
procedure: sure regulator and delivery system prior to
50-754.eps</MATH>
(a) Determine FT, the total flow required at the start of calibration to avoid any conver-
the output manifold (FT = analyzer demand sion of the standard NO to NO2. Failure to do
plus 10 to 50% excess). so can cause significant errors in calibration.
(b) Establish [NO]OUT as the highest NO This problem may be minimized by (1) care-
fully evacuating the regulator, when pos-
EC08NO91.079</MATH>
concentration (ppm) which will be required
at the output manifold. [NO]OUT should be sible, after the regulator has been connected
approximately equivalent to 90% of the to the cylinder and before opening the cyl-
upper range limit (URL) of the NO2 con- inder valve; (2) thoroughly flushing the regu-
lator and delivery system with NO after
centration range to be covered.
opening the cylinder valve; (3) not removing
(c) Determine FNO as
the regulator from the cylinder between cali-
EC08NO91.078</MATH>
[ NO]OUT × FT brations unless absolutely necessary. Fur-

FNO = (5) ther discussion of these procedures is given
[ NO]STD in reference 13.
1.5.4 Select the operating range of the NO/
(d) Select a convenient or available reac- NOX/NO2 analyzer to be calibrated. In order
tion chamber volume. Initially, a trial VRC to obtain maximum precision and accuracy
EC08NO91.077</MATH>
may be selected to be in the range of ap- for NO2 calibration, all three channels of the
proximately 200 to 500 scm3. analyzer should be set to the same range. If
(e) Compute FO as operation of the NO and NOX channels on
66
EC08NO91.076</MATH>
higher ranges is desired, subsequent re- URL = nominal upper range limit of the NO
calibration of the NO and NOX channels on channel, ppm
the higher ranges is recommended. NOTE: Some analyzers may have separate
NOTE: Some analyzer designs may require span controls for NO, NOX, and NO2. Other
identical ranges for NO, NOX, and NO2 during analyzers may have separate span controls
operation of the analyzer. only for NO and NOX, while still others may
1.5.5 Connect the recorder output cable(s) have only one span control common to all
of the NO/NOX/NO2 analyzer to the input ter- three channels. When only one span control
minals of the strip chart recorder(s). All ad- is available, the span adjustment is made on
justments to the analyzer should be per- the NO channel of the analyzer.
formed based on the appropriate strip chart If substantial adjustment of the NO span
readings. References to analyzer responses in control is necessary, it may be necessary to
the procedures given below refer to recorder recheck the zero and span adjustments by re-
responses. peating steps 1.5.7 and 1.5.8.1. Record the NO
1.5.6 Determine the GPT flow conditions concentration and the analyzer’s NO re-
required to meet the dynamic parameter sponse.
specification as indicated in 1.4. 1.5.8.2 Adjustment of NOX span control. When
1.5.7 Adjust the diluent air and O3 gener- adjusting the analyzer’s NOX span control,
ator air flows to obtain the flows determined the presence of any NO2 impurity in the
in section 1.4.2. The total air flow must ex- standard NO cylinder must be taken into ac-
ceed the total demand of the analyzer(s) con- count. Procedures for determining the
nected to the output manifold to insure that amount of NO2 impurity in the standard NO
no ambient air is pulled into the manifold cylinder are given in reference 13. The exact
vent. Allow the analyzer to sample zero air NOX concentration is calculated from:
until stable NO, NOX, and NO2 responses are
obtained. After the responses have stabilized,
adjust the analyzer zero control(s). [ NO X ]OUT =
(
FNO × [ NO ]STD + [ NO 2 ]IMP ) (11)
NOTE: Some analyzers may have separate FNO + FO + FD
zero controls for NO, NOX, and NO2. Other
analyzers may have separate zero controls where:
only for NO and NOX, while still others may [NOX]OUT = diluted NOX concentration at the
have only one zero control common to all output manifold, ppm
three channels. [NO2]IMP = concentration of NO2 impurity in
Offsetting the analyzer zero adjustments the standard NO cylinder, ppm
to + 5 percent of scale is recommended to fa- Adjust the NOX span control to obtain a re-
cilitate observing negative zero drift. Record corder response as indicated below:
the stable zero air responses as ZNO, ZNOX, recorder response (% scale) =
and ZNO2.
1.5.8 Preparation of NO and NOX calibration ⎛ [ NO ] ⎞
curves. ⎜⎜
X OUT
× 100 ⎟ + Z NO (12 )
⎟
1.5.8.1 Adjustment of NO span control. Adjust ⎝ URL ⎠ X
the NO flow from the standard NO cylinder
to generate an NO concentration of approxi- NOTE: If the analyzer has only one span
mately 80 percent of the upper range limit control, the span adjustment is made on the
(URL) of the NO range. This exact NO con- NO channel and no further adjustment is
centration is calculated from: made here for NOX.
If substantial adjustment of the NOX span
FNO × [ NO ]STD control is necessary, it may be necessary to
[ NO ]OUT = (9)
recheck the zero and span adjustments by re-
FNO + FO + FD peating steps 1.5.7 and 1.5.8.2. Record the NOX
concentration and the analyzer’s NOX re- ER31AU93.047</MATH>
where:
sponse.
[NO]OUT = diluted NO concentration at the 1.5.8.3 Generate several additional con-
output manifold, ppm centrations (at least five evenly spaced
Sample this NO concentration until the NO points across the remaining scale are sug-
and NOX responses have stabilized. Adjust gested to verify linearity) by decreasing FNO
ER31AU93.046</MATH>
the NO span control to obtain a recorder re- or increasing FD. For each concentration
sponse as indicated below: generated, calculate the exact NO and NOX
recorder response (percent scale) = concentrations using equations (9) and (11)
respectively. Record the analyzer’s NO and
⎛ [ NO ] ⎞ NOX responses for each concentration. Plot
⎜⎜
OUT
× 100 ⎟ + Z NO (10 ) the analyzer responses versus the respective
ER31AU93.045</MATH>
⎟ calculated NO and NOX concentrations and

⎝ URL ⎠
draw or calculate the NO and NOX calibra-
where: tion curves. For subsequent calibrations
67
ER31AU93.044</MATH>
where linearity can be assumed, these curves centration as [NO]orig. Using the NOX calibra-
may be checked with a two-point calibration tion curve obtained in section 1.5.8, measure
consisting of a zero air point and NO and and record the NOX concentration as
NOX concentrations of approximately 80% of [NOX]orig.
the URL. 1.5.9.2 Adjust the O3 generator to generate
1.5.9 Preparation of NO2 calibration curve. sufficient O3 to produce a decrease in the NO
1.5.9.1 Assuming the NO2 zero has been concentration equivalent to approximately
properly adjusted while sampling zero air in 80% of the URL of the NO2 range. The de-
step 1.5.7, adjust FO and FD as determined in crease must not exceed 90% of the NO con-
section 1.4.2. Adjust FNO to generate an NO centration determined in step 1.5.9.1. After
concentration near 90% of the URL of the NO the analyzer responses have stabilized,
range. Sample this NO concentration until record the resultant NO and NOX concentra-
the NO and NOX responses have stabilized. tions as [NO]rem and [NOX]rem.
Using the NO calibration curve obtained in 1.5.9.3 Calculate the resulting NO2 con-
section 1.5.8, measure and record the NO concentration from:
FNO × [NO 2 ]IMP

[ NO 2 ]OUT = [ NO]orig − [ NO]rem + (13)
FNO + FO + FD
where: recheck the zero and span adjustments by re-

[NO2]OUT = diluted NO2 concentration at the peating steps 1.5.7 and 1.5.9.3. Record the NO2
output manifold, ppm concentration and the corresponding ana-
[NO]orig = original NO concentration, prior to lyzer NO2 and NOX responses.
addition of O3, ppm 1.5.9.4 Maintaining the same FNO, FO, and
[NO]rem = NO concentration remaining after FD as in section 1.5.9.1, adjust the ozone gen-
addition of O3, ppm erator to obtain several other concentrations
Adjust the NO2 span control to obtain a re- of NO2 over the NO2 range (at least five even-
corder response as indicated below: ly spaced points across the remaining scale
recorder response (% scale) = are suggested). Calculate each NO2 con-
centration using equation (13) and record the
⎛ [ NO ] ⎞ corresponding analyzer NO2 and NOX re-
2 OUT
× 100 ⎟ + Z NO
⎜⎜
(14 ) sponses. Plot the analyzer’s NO2 responses
⎟
⎝ URL ⎠ 2
versus the corresponding calculated NO2 con-
NOTE: If the analyzer has only one or two centrations and draw or calculate the NO2
span controls, the span adjustments are calibration curve.
made on the NO channel or NO and NOX 1.5.10 Determination of converter efficiency.
channels and no further adjustment is made 1.5.10.1 For each NO2 concentration gen-
here for NO2. erated during the preparation of the NO2
If substantial adjustment of the NO2 span calibration curve (see section 1.5.9) calculate
control is necessary, it may be necessary to the concentration of NO2 converted from:
[ NO 2 ]CONV = [ NO 2 ]OUT ' ([ NO X ]orig ' [ NO X ]rem ) (15)
where: ficiency curve. The slope of the curve times

[NO2]CONV = concentration of NO2 converted, 100 is the average converter efficiency, EC
ppm The average converter efficiency must be
ER31AU93.048</MATH> EC08NO91.083</MATH>
[NOX]orig = original NOX concentration prior greater than 96%; if it is less than 96%, re-
to addition of O3, ppm place or service the converter.
[NOX]rem = NOX concentration remaining 2. Alternative B—NO2 permeation device.
after addition of O3, ppm Major equipment required:
NOTE: Supplemental information on cali- Stable O3 generator.
bration and other procedures in this method Chemiluminescence NO/NOX/NO2 analyzer
are given in reference 13. with strip chart recorder(s).
Plot [NO2]CONV (y-axis) versus [NO2]OUT (x- NO concentration standard.
axis) and draw or calculate the converter ef- NO2 concentration standard.
68
EC08NO91.082</MATH>
2.1 Principle. Atmospheres containing accu- tive material and designed to provide thor-
rately known concentrations of nitrogen di- ough mixing of pollutant gas streams and
oxide are generated by means of a perme- diluent air.
ation device. (10) The permeation device 2.2.11 Output manifold. The output manifold
emits NO2 at a known constant rate provided should be constructed of glass, Teflon ®, or
the temperature of the device is held con- other non-reactive material and should be of
stant (±0.1 °C) and the device has been accu- sufficient diameter to insure an insignificant
rately calibrated at the temperature of use. pressure drop at the analyzer connection.
The NO2 emitted from the device is diluted The system must have a vent designed to in-
with zero air to produce NO2 concentrations sure atmospheric pressure at the manifold
suitable for calibration of the NO2 channel of and to prevent ambient air from entering the
the NO/NOX/NO2 analyzer. An NO concentra- manifold.
tion standard is used for calibration of the 2.3 Reagents.
NO and NOX channels of the analyzer. 2.3.1 Calibration standards. Calibration
2.2 Apparatus. A typical system suitable for standards are required for both NO and NO2.
generating the required NO and NO2 con- The reference standard for the calibration
centrations is shown in Figure 2. All connec-
may be either an NO or NO2 standard, and
tions between components downstream from
must be traceable to a National Bureau of
the permeation device should be of glass,
Standards (NBS) NO in N2 Standard Ref-
Teflon ®, or other non-reactive material.
erence Material (SRM 1683 or SRM 1684), and
2.2.1 Air flow controllers. Devices capable of
NBS NO2 Standard Reference Material (SRM
maintaining constant air flows within ±2% of
1629), or an NBS/EPA-approved commercially
the required flowrate.
available Certified Reference Material
2.2.2 NO flow controller. A device capable of
maintaining constant NO flows within ±2% (CRM). CRM’s are described in Reference 14,
of the required flowrate. Component parts in and a list of CRM sources is available from
contact with the NO must be of a non-reac- the address shown for Reference 14. Ref-
tive material. erence 15 gives recommended procedures for
2.2.3 Air flowmeters. Calibrated flowmeters certifying an NO gas cylinder against an NO
capable of measuring and monitoring air SRM or CRM and for certifying an NO2 per-
flowrates with an accuracy of ±2% of the meation device against an NO2 SRM. Ref-
measured flowrate. erence 13 contains procedures for certifying
2.2.4 NO flowmeter. A calibrated flowmeter an NO gas cylinder against an NO2 SRM and
capable of measuring and monitoring NO for certifying an NO2 permeation device
flowrates with an accuracy of ±2% of the against an NO SRM or CRM. A procedure for
measured flowrate. (Rotameters have been determining the amount of NO2 impurity in
reported to operate unreliably when meas- an NO cylinder is also contained in Ref-
uring low NO flows and are not rec- erence 13. The NO or NO2 standard selected
ommended.) as the reference standard must be used to
2.2.5 Pressure regulator for standard NO cyl- certify the other standard to ensure consist-
inder. This regulator must have a non-reac- ency between the two standards.
tive diaphragm and internal parts and a suit- 2.3.1.1 NO2 Concentration standard. A perme-
able delivery pressure. ation device suitable for generating NO2 con-
2.2.6 Drier. Scrubber to remove moisture centrations at the required flow-rates over
from the permeation device air system. The the required concentration range. If the per-
use of the drier is optional with NO2 perme- meation device is used as the reference
ation devices not sensitive to moisture. standard, it must be traceable to an SRM or
(Refer to the supplier’s instructions for use CRM as specified in 2.3.1. If an NO cylinder is
of the permeation device.) used as the reference standard, the NO2 per-
2.2.7 Constant temperature chamber. Cham- meation device must be certified against the
ber capable of housing the NO2 permeation NO standard according to the procedure
device and maintaining its temperature to given in Reference 13. The use of the perme-
within ±0.1 °C. ation device should be in strict accordance
2.2.8 Temperature measuring device. Device with the instructions supplied with the de-
capable of measuring and monitoring the vice. Additional information regarding the
temperature of the NO2 permeation device use of permeation devices is given by
with an accuracy of ±0.05 °C. Scaringelli et al. (11) and Rook et al. (12).
2.2.9 Valves. A valve may be used as shown 2.3.1.2 NO Concentration standard. Gas cyl-
in Figure 2 to divert the NO2 from the perme- inder containing 50 to 100 ppm NO in N2 with
ation device when zero air or NO is required less than 1 ppm NO2. If this cylinder is used
at the manifold. A second valve may be used as the reference standard, the cylinder must
to divert the NO flow when zero air or NO2 is be traceable to an SRM or CRM as specified
required at the manifold. in 2.3.1. If an NO2 permeation device is used
The valves should be constructed of glass, as the reference standard, the NO cylinder
Teflon ®, or other nonreactive material. must be certified against the NO2 standard
2.2.10 Mixing chamber. A chamber con- according to the procedure given in Ref-
structed of glass, Teflon ®, or other nonreac- erence 13. The cylinder should be recertified
69
on a regular basis as determined by the local 2.4.6 Connect the recorder output cable(s)
quality control program. of the NO/NOX/NO2 analyzer to the input ter-
2.3.3 Zero air. Air, free of contaminants minals of the strip chart recorder(s). All ad-
which might react with NO or NO2 or cause justments to the analyzer should be per-
a detectable response on the NO/NOX/NO2 an- formed based on the appropriate strip chart
alyzer. When using permeation devices that readings. References to analyzer responses in
are sensitive to moisture, the zero air pass- the procedures given below refer to recorder
ing across the permeation device must be dry responses.
to avoid surface reactions on the device. 2.4.7 Switch the valve to vent the flow from
(Refer to the supplier’s instructions for use the permeation device and adjust the diluent
of the permeation device.) A procedure for air flowrate, FD, to provide zero air at the
generating zero air is given in reference 13. output manifold. The total air flow must ex-
2.4 Procedure. ceed the total demand of the analyzer(s) con-
2.4.1 Assemble the calibration apparatus nected to the output manifold to insure that
such as the typical one shown in Figure 2. no ambient air is pulled into the manifold
2.4.2 Insure that all flowmeters are cali- vent. Allow the analyzer to sample zero air
brated under the conditions of use against a until stable NO, NOX, and NO2 responses are
reliable standard such as a soap bubble obtained. After the responses have stabilized,
meter or wet-test meter. All volumetric adjust the analyzer zero control(s).
flowrates should be corrected to 25 °C and 760 NOTE: Some analyzers may have separate
mm Hg. A discussion on the calibration of zero controls for NO, NOX, and NO2. Other
flowmeters is given in reference 13. analyzers may have separate zero controls
2.4.3 Install the permeation device in the only for NO and NOX, while still others may
constant temperature chamber. Provide a have only one zero common control to all
small fixed air flow (200–400 scm3/min) across three channels.
the device. The permeation device should al-
ways have a continuous air flow across it to Offsetting the analyzer zero adjustments to
prevent large buildup of NO2 in the system + 5% of scale is recommended to facilitate
and a consequent restabilization period. observing negative zero drift. Record the sta-
Record the flowrate as FP. Allow the device ble zero air responses as ZNO, ZNOX, and ZNO2.
to stabilize at the calibration temperature 2.4.8 Preparation of NO and NOX calibration
for at least 24 hours. The temperature must curves.
be adjusted and controlled to within ±0.1 °C 2.4.8.1 Adjustment of NO span control. Adjust
or less of the calibration temperature as the NO flow from the standard NO cylinder
monitored with the temperature measuring to generate an NO concentration of approxi-
device. mately 80% of the upper range limit (URL) of
2.4.4 Precautions must be taken to remove the NO range. The exact NO concentration is
O2 and other contaminants from the NO pres- calculated from:
sure regulator and delivery system prior to
the start of calibration to avoid any conver- FNO × [ NO ]STD
sion of the standard NO to NO2. Failure to do
[ NO ]OUT = (16 )
so can cause significant errors in calibration. FNO + FD
This problem may be minimized by
where:
(1) Carefully evacuating the regulator,
when possible, after the regulator has been [NO]OUT = diluted NO concentration at the
connected to the cylinder and before opening output manifold, ppm
the cylinder valve; FNO = NO flowrate, scm3/min
(2) Thoroughly flushing the regulator and [NO]STD = concentration of the undiluted NO
delivery system with NO after opening the standard, ppm
cylinder valve; FD = diluent air flowrate, scm3/min
(3) Not removing the regulator from the
Sample this NO concentration until the NO
cylinder between calibrations unless abso-
and NOX responses have stabilized. Adjust
lutely necessary. Further discussion of these
the NO span control to obtain a recorder re-
procedures is given in reference 13.
sponse as indicated below:
2.4.5 Select the operating range of the NO/
NOX NO2 analyzer to be calibrated. In order recorder response (% scale) =
to obtain maximum precision and accuracy
⎛ [ NO ] ⎞
ER31AU93.051</MATH>
for NO2 calibration, all three channels of the

analyzer should be set to the same range. If =⎜ OUT
× 100 ⎟ + Z NO (17 )
⎜ ⎟
operation of the NO and NOX channels on ⎝ URL ⎠
higher ranges is desired, subsequent re-
⎛ [ NO X ]
calibration of the NO and NOX channels on
the higher ranges is recommended. ⎞
=⎜ OUT
× 100⎟ + Z NO X (19)
ER31AU93.050</MATH>
NOTE: Some analyzer designs may require

⎝ URL ⎠
identical ranges for NO, NOX, and NO2 during
operation of the analyzer. where:
70
ER31AU93.049</MATH>
URL = nominal upper range limit of the NO may be checked with a two-point calibration
channel, ppm consisting of a zero point and NO and NOX
NOTE: Some analyzers may have separate concentrations of approximately 80 percent
span controls for NO, NOX, and NO2. Other of the URL.
analyzers may have separate span controls 2.4.9 Preparation of NO2 calibration curve.
only for NO and NOX, while still others may 2.4.9.1 Remove the NO flow. Assuming the
have only one span control common to all NO2 zero has been properly adjusted while
three channels. When only one span control sampling zero air in step 2.4.7, switch the
is available, the span adjustment is made on valve to provide NO2 at the output manifold.
the NO channel of the analyzer. 2.4.9.2 Adjust FD to generate an NO2 con-
centration of approximately 80 percent of the
If substantial adjustment of the NO span
URL of the NO2 range. The total air flow
control is necessary, it may be necessary to
must exceed the demand of the analyzer(s)
recheck the zero and span adjustments by re-
under calibration. The actual concentration
peating steps 2.4.7 and 2.4.8.1. Record the NO
of NO2 is calculated from:
concentration and the analyzer’s NO re-
sponse. R×K
2.4.8.2 Adjustment of NOX span control. When [ NO 2 ]OUT = ( 20 )
adjusting the analyzer’s NOX span control,
FP + FD
the presence of any NO2 impurity in the
standard NO cylinder must be taken into ac- where:
count. Procedures for determining the [NO2]OUT = diluted NO2 concentration at the
amount of NO2 impurity in the standard NO output manifold, ppm
cylinder are given in reference 13. The exact R = permeation rate, μg/min
NOX concentration is calculated from: K = 0.532 μl NO2/μg NO2 (at 25 °C and 760 mm
( ) (18)
Hg)
FNO × [ NO ]STD + [ NO 2 ]IMP Fp = air flowrate across permeation device,
[ NO X ]OUT = scm3/min
FNO + FD FD = diluent air flowrate, scm3/min
where: Sample this NO2 concentration until the NOX
and NO2 responses have stabilized. Adjust
[NOX]OUT = diluted NOX cencentration at the the NO2 span control to obtain a recorder re-
output manifold, ppm sponse as indicated below:
[NO2]IMP = concentration of NO2 impurity in
the standard NO cylinder, ppm recorder response (% scale)
Adjust the NOX span control to obtain a con-
venient recorder response as indicated below: ⎛ [ NO ] ⎞
=⎜ 2 OUT
× 100 ⎟ + Z NO 2 ( 21)
recorder response (% scale) ⎜ ⎟
⎝ URL ⎠
⎛ [ NO ] ⎞ NOTE: If the analyzer has only one or two
=⎜ X OUT
× 100 ⎟ + Z NO (19 ) span controls, the span adjustments are
⎜ ⎟
⎝ URL ⎠ X made on the NO channel or NO and NOX
channels and no further adjustment is made
NOTE: If the analyzer has only one span here for NO2.
control, the span adjustment is made on the If substantial adjustment of the NO2 span
NO channel and no further adjustment is control is necessary it may be necessary to
made here for NOX. recheck the zero and span adjustments by re-
If substantial adjustment of the NOX span peating steps 2.4.7 and 2.4.9.2. Record the NO2
control is necessary, it may be necessary to concentration and the analyzer’s NO2 re-
recheck the zero and span adjustments by response. Using the NOX calibration curve ob-
peating steps 2.4.7 and 2.4.8.2. Record the NOX tained in step 2.4.8, measure and record the
concentration and the analyzer’s NOX re-
ER31AU93.055</MATH>
NOX concentration as [NOX]M.
sponse. 2.4.9.3 Adjust FD to obtain several other
2.4.8.3 Generate several additional con- concentrations of NO2 over the NO2 range (at
centrations (at least five evenly spaced least five evenly spaced points across the re-
points across the remaining scale are sug- maining scale are suggested). Calculate each
gested to verify linearity) by decreasing FNO NO2 concentration using equation (20) and
or increasing FD. For each concentration record the corresponding analyzer NO2 and
ER31AU93.054</MATH>
generated, calculate the exact NO and NOX NOX responses. Plot the analyzer’s NO2 re-
concentrations using equations (16) and (18) sponses versus the corresponding calculated
respectively. Record the analyzer’s NO and NO2 concentrations and draw or calculate
NOX responses for each concentration. Plot the NO2 calibration curve.
the analyzer responses versus the respective 2.4.10 Determination of converter efficiency.
calculated NO and NOX concentrations and 2.4.10.1 Plot [NOX]M (y-axis) versus [NO2]OUT
ER31AU93.053</MATH>
draw or calculate the NO and NOX calibra- (x-axis) and draw or calculate the converter
tion curves. For subsequent calibrations efficiency curve. The slope of the curve
where linearity can be assumed, these curves times 100 is the average converter efficiency,
71
ER31AU93.052</MATH>
EC. The average converter efficiency must be cial Chemiluminescent NO-NO2 Analyzers to
greater than 96 percent; if it is less than 96 Other Nitrogen-Containing Compounds,’’ En-
percent, replace or service the converter. viron. Sci. Technol., 8, 1118 (1974).
NOTE: Supplemental information on cali- 8. K. A. Rehme, B. E. Martin, and J. A.
bration and other procedures in this method Hodgeson, Tentative Method for the Calibra-
are given in reference 13. tion of Nitric Oxide, Nitrogen Dioxide, and
3. Frequency of calibration. The frequency of Ozone Analyzers by Gas Phase Titration,’’
calibration, as well as the number of points EPA-R2-73-246, March 1974.
necessary to establish the calibration curve 9. J. A. Hodgeson, R. K. Stevens, and B. E.
and the frequency of other performance Martin, ‘‘A Stable Ozone Source Applicable
checks, will vary from one analyzer to an- as a Secondary Standard for Calibration of
other. The user’s quality control program Atmospheric Monitors,’’ ISA Transactions,
should provide guidelines for initial estab- 11, 161 (1972).
lishment of these variables and for subse- 10. A. E. O’Keeffe and G. C. Ortman, ‘‘Pri-
quent alteration as operational experience is mary Standards for Trace Gas Analysis,’’
accumulated. Manufacturers of analyzers
Anal. Chem., 38, 760 (1966).
should include in their instruction/operation
manuals information and guidance as to 11. F. P. Scaringelli, A. E. O’Keeffe, E.
these variables and on other matters of oper- Rosenberg, and J. P. Bell, ‘‘Preparation of
ation, calibration, and quality control. Known Concentrations of Gases and Vapors
with Permeation Devices Calibrated Gravi-
REFERENCES metrically,’’ Anal. Chem., 42, 871 (1970).
1. A. Fontijn, A. J. Sabadell, and R. J. 12. H. L. Rook, E. E. Hughes, R. S. Fuerst,
Ronco, ‘‘Homogeneous Chemiluminescent and J. H. Margeson, ‘‘Operation Characteris-
Measurement of Nitric Oxide with Ozone,’’ tics of NO2 Permeation Devices,’’ Presented
Anal. Chem., 42, 575 (1970). at 167th National ACS Meeting, Los Angeles,
2. D. H. Stedman, E. E. Daby, F. Stuhl, and CA, April 1974.
H. Niki, ‘‘Analysis of Ozone and Nitric Oxide 13. E. C. Ellis, ‘‘Technical Assistance Docu-
by a Chemiluminiscent Method in Labora- ment for the Chemiluminescence Measure-
tory and Atmospheric Studies of Photo- ment of Nitrogen Dioxide,’’ EPA-E600/4-75-003
chemical Smog,’’ J. Air Poll. Control Assoc., (Available in draft form from the United
22, 260 (1972). States Environmental Protection Agency,
3. B. E. Martin, J. A. Hodgeson, and R. K. Department E (MD–76), Environmental Moni-
Stevens, ‘‘Detection of Nitric Oxide toring and Support Laboratory, Research
Chemiluminescence at Atmospheric Pres- Triangle Park, NC 27711).
sure,’’ Presented at 164th National ACS 14. A Procedure for Establishing
Meeting, New York City, August 1972. Traceability of Gas Mixtures to Certain Na-
4. J. A. Hodgeson, K. A. Rehme, B. E. Mar- tional Bureau of Standards Standard Ref-
tin, and R. K. Stevens, ‘‘Measurements for erence Materials. EPA–600/7–81–010, Joint
Atmospheric Oxides of Nitrogen and Ammo-
publication by NBS and EPA. Available from
nia by Chemiluminescence,’’ Presented at
the U.S. Environmental Protection Agency,
1972 APCA Meeting, Miami, FL, June 1972.
Environmental Monitoring Systems Labora-
5. R. K. Stevens and J. A. Hodgeson, ‘‘Ap-
plications of Chemiluminescence Reactions tory (MD–77), Research Triangle Park, NC
to the Measurement of Air Pollutants,’’ 27711, May 1981.
Anal. Chem., 45, 443A (1973). 15. Quality Assurance Handbook for Air Pol-
6. L. P. Breitenbach and M. Shelef, ‘‘De- lution Measurement Systems, Volume II, Ambi-
velopment of a Method for the Analysis of ent Air Specific Methods. The U.S. Environ-
NO2 and NH3 by NO-Measuring Instruments,’’ mental Protection Agency, Environmental
J. Air Poll. Control Assoc., 23, 128 (1973). Monitoring Systems Laboratory, Research
7. A. M. Winer, J. W. Peters, J. P. Smith, Triangle Park, NC 27711. Publication No.
and J. N. Pitts, Jr., ‘‘Response of Commer- EAP–600/4–77–027a.
72
[41 FR 52688, Dec. 1, 1976, as amended at 48 FR 2529, Jan. 20, 1983]

50-761.eps</GPH> 50-762.eps</GPH>
73
Pt. 50, App. G 40 CFR Ch. I (7–1–21 Edition)
APPENDIX G TO PART 50—REFERENCE glass fiber, quartz, or PTFE ambient air fil-
METHOD FOR THE DETERMINATION OF ters with subsequent measurement of Pb by
LEAD IN TOTAL SUSPENDED PARTICU- ICP–MS. Estimates of the Method Detection
Limit (MDL) or sensitivity of the method are
LATE MATTER
provided in Tables 1, 3 and 5 and determined
1.0 Scope and Applicability using Pb-spiked filters or filter strips ana-
lyzed in accordance with the guidance pro-
Based on review of the air quality criteria vided in 40 CFR 136, Appendix B—Determina-
and national ambient air quality standard tion and procedures for the Determination of
(NAAQS) for lead (Pb) completed in 2008, the the Method Detection Limit—Revision 1.1.
EPA made revisions to the primary and sec- The analytical range of the method is 0.00024
ondary NAAQS for Pb to protect public μg/m3 to 0.60 μg/m3, and based on the low and
health and welfare. The EPA revised the high calibration curve standards and a nomi-
level from 1.5 μg/m3 to 0.15 μg/m3 while re- nal filter sample volume of 2000 m3.
taining the current indicator of Pb in total 2.2 This method includes two extraction
suspended particulate matter (Pb-TSP).
methods. In the first method, a solution of
Pb-TSP is collected for 24 hours on a TSP
HNO3 and HCl is added to the filters or filter
filter as described in Appendix B of part 50,
strips in plastic digestion tubes and the
the Reference Method for the Determination
tubes are placed in a heated ultrasonic bath
of Suspended Particulate Matter in the At-
for one hour to facilitate the extraction of
mosphere (High-Volume Method). This meth-
Pb. Following ultrasonication, the samples
od is for the analysis of Pb from TSP filters
are brought to a final volume of 40 mL (50
by Inductively Coupled Plasma Mass Spec-
mL for PTFE filters), vortex mixed or shak-
trometry (ICP–MS) using a heated ultrasonic
bath with nitric acid (HNO3) and hydro- en vigorously, and centrifuged prior to
chloric acid (HCl) or a heated block (hot aliquots being taken for ICP–MS analysis. In
block) digester with HNO3 for filter extrac- the second method, a solution of dilute HNO3
tion. is added to the filter strips in plastic diges-
This method is based on the EPA’s Office tion tubes and the tubes placed into the hot
of Solid Waste (SW–846) Method 6020A—In- block digester. The filter strip is completely
ductively Coupled Plasma Mass Spectrom- covered by the solution. The tubes are cov-
etry (U.S. EPA, 2007). Wording in certain sec- ered with polypropylene watch glasses and
tions of this method is paraphrased or taken refluxed. After reflux, the samples are di-
directly from Method 6020A. luted to a final volume of 50 mL with reagent
1.1 ICP–MS is applicable for the sub-μg/mL water and mixed before analysis.
(ppb) determination of Pb in a wide variety 2.3 Calibration standards and check stand-
of matrices. Results reported for monitoring ards are prepared to matrix match the acid
or compliance purposes are calculated in μg/ composition of the samples. ICP–MS analysis
m3 at local conditions (LC). This procedure is then performed. With this method, the
describes a method for the acid extraction of samples are first aspirated and the aerosol
Pb in particulate matter collected on glass thus created is transported by a flow of
fiber, quartz, or PTFE filters and measure- argon gas into the plasma torch. The ions
ment of the extracted Pb using ICP–MS. produced (e.g., Pb∂ 1) in the plasma are ex-
1.2 Due to variations in the isotopic abun- tracted via a differentially-pumped vacuum
dance of Pb, the value for total Pb must be interface and are separated on the basis of
based on the sum of the signal intensities for their mass-to-charge ratio. The ions are
isotopic masses, 206, 207, and 208. Most in- quantified by a channel electron multiplier
strument software packages are able to sum or a Faraday detector and the signal col-
the primary isotope signal intensities auto- lected is processed by the instrument’s soft-
matically. ware. Interferences must be assessed and cor-
1.3 ICP–MS requires the use of an internal rected for, if present.
standard. 115In (Indium), 165Ho (Holmium),
and 209Bi (Bismuth) are recommended inter- 3.0 Definitions
nal standards for the determination of Pb. Pb—Elemental or ionic lead
1.4 Use of this method is restricted to use HNO3—Nitric acid
by, or under supervision of, properly trained HCl—Hydrochloric acid
and experienced laboratory personnel. Re- ICP–MS—Inductively Coupled Plasma Mass
quirements include training and experience Spectrometer
in inorganic sample preparation, including MDL—Method detection limit
acid extraction, and also knowledge in the RSD—Relative standard deviation
recognition and in the correction of spectral, RPD—Relative percent difference
chemical and physical interference in ICP– CB—Calibration Blank
MS. CAL—Calibration Standard
ICB—Initial calibration blank
2.0 Summary of Method
CCB—Continuing calibration blank
2.1 This method describes the acid extrac- ICV—Initial calibration verification
tion of Pb in particulate matter collected on CCV—Continuing calibration verification
74
Environmental Protection Agency Pt. 50, App. G
LLCV—Lower Level Calibration tion will reduce the effects of high levels of
Verification, serves as the lower level ICV dissolved salts, but calibration standards
and lower level CCV must be prepared in the extraction medium
RB—Reagent blank and diluted accordingly.
RBS—Reagent blank spike 4.5 Memory interferences are related to
MSDS—Material Safety Data Sheet sample transport and result when there is
NIST—National Institute of Standards and carryover from one sample to the next. Sam-
Technology ple carryover can result from sample deposi-
D.I. water—Deionized water tion on the sample and skimmer cones and
SRM—NIST Standard Reference Material from incomplete rinsing of the sample solu-
CRM—Certified Reference Material tion from the plasma torch and the spray
EPA—Environmental Protection Agency chamber between samples. These memory ef-
v/v—Volume to volume ratio fects are dependent upon both the analyte
being measured and sample matrix and can
4.0 Interferences be minimized through the use of suitable
4.1 Reagents, glassware, plasticware, and rinse times.
other sample processing hardware may yield
artifacts and/or interferences to sample anal- 5.0 Health and Safety Cautions
ysis. If reagent blanks, filter blanks, or qual- 5.1 The toxicity or carcinogenicity of re-
ity control blanks yield results above the de- agents used in this method has not been
tection limit, the source of contamination fully established. Each chemical should be
must be identified. All containers and re- regarded as a potential health hazard and ex-
agents used in the processing of the samples posure to these compounds should be as low
must be checked for contamination prior to as reasonably achievable. Each laboratory is
sample extraction and analysis. Reagents responsible for maintaining a current file of
shall be diluted to match the final con- OSHA regulations regarding the safe han-
centration of the extracts and analyzed for dling of the chemicals specified in this meth-
Pb. Labware shall be rinsed with dilute acid od. A reference file of material safety data
solution and the solution analyzed. Once a sheets (MSDSs) should be available to all
reagent or labware article (such as extrac- personnel involved in the chemical analysis.
tion tubes) from a manufacturer has been Specifically, concentrated HNO3 presents
successfully screened, additional screening is various hazards and is moderately toxic and
not required unless contamination is sus- extremely irritating to skin and mucus
pected. membranes. Use this reagent in a fume hood
4.2 Isobaric elemental interferences in ICP– whenever possible and if eye or skin contact
MS are caused by isotopes of different ele- occurs, flush with large volumes of water.
ments forming atomic ions with the same Always wear safety glasses or a shield for
nominal mass-to-charge ratio (m/z) as the eye protection, protective clothing, and ob-
species of interest. There are no species serve proper mixing when working with
found in ambient air that will result in iso- these reagents.
baric interference with the three Pb isotopes 5.2 Concentrated HNO3 and HCl are mod-
(206, 207, and 208) being measured. erately toxic and extremely irritating to the
Polyatomic interferences occur when two or skin. Use these reagents in a fume hood, and
more elements combine to form an ion with if eye and skin contact occurs, flush with
the same mass-to-charge ratio as the isotope large volumes of water. Always wear safety
being measured. Pb is not subject to inter- glasses or a shield for eye protection when
ference from common polyatomic ions and working with these reagents. The component
no correction is required. of this procedure requiring the greatest care
4.3 The distribution of Pb isotopes is not is HNO3. HNO3 is a strong, corrosive, oxi-
constant. The analysis of total Pb should be dizing agent that requires protection of the
based on the summation of signal intensities eyes, skin, and clothing. Items to be worn
for the isotopic masses 206, 207, and 208. In during use of this reagent include:
most cases, the instrument software can per- 1. Safety goggles (or safety glasses with
form the summation automatically. side shields),
4.4 Physical interferences are associated 2. Acid resistant rubber gloves, and
with the sample nebulization and transport 3. A protective garment such as a labora-
processes as well as with ion-transmission ef- tory apron. HNO3 spilled on clothing will de-
ficiencies. Dissolved solids can deposit on stroy the fabric; contact with the skin un-
the nebulizer tip of a pneumatic nebulizer derneath will result in a burn.
and on the interface skimmers of the ICP– It is also essential that an eye wash foun-
MS. Nebulization and transport processes tain or eye wash bottle be available during
can be affected if a matrix component causes performance of this method. An eye wash
a change in surface tension or viscosity. bottle has a spout that covers the eye. If acid
Changes in matrix composition can cause or any other corrosive gets into the eye, the
significant signal suppression or enhance- water in this bottle is squirted onto the eye
ment. These interferences are compensated to wash out the harmful material. Eye wash-
for by use of internal standards. Sample dilu- ing should be performed with large amounts
75
of water immediately after exposure. Med- gester capable of maintaining a temperature
ical help should be sought immediately after of 95 °C, or equivalent.
washing. If either acid, but especially HNO3, 6.4 Materials and Supplies
is spilled onto the skin, wash immediately • Argon gas supply, 99.99 percent purity or
with large amounts of water. Medical atten- better. National Welders Microbulk, or
tion is not required unless the burn appears equivalent.
to be significant. Even after washing and • Plastic digestion tubes with threaded
drying, HNO3 may leave the skin slightly caps for extraction and storage, SCP Science
brown in color; this will heal and fade with DigiTUBE® Item No. 010–500–063, or equiva-
time. lent.
5.3 Pb salts and Pb solutions are toxic. • Disposable polypropylene ribbed watch
Great care must be taken to ensure that glasses (for heated block extraction), SCP
samples and standards are handled properly; Science Item No. 010–500–081, or equivalent.
wash hands thoroughly after handling. • Pipette, Rainin EDP2, 100 μL, ±1 percent
5.4 Care must be taken when using the ul- accuracy, ≤1 percent RSD (precision), with
trasonic bath and hot block digester as they disposable tips, or equivalent.
are capable of causing mild burns. Users • Pipette, Rainin EDP2, 1000 μL, ±1 percent
should refer to the safety guidance provided accuracy, ≤1 percent RSD (precision), with
by the manufacturer of their specific equip- disposable tips, or equivalent.
ment. • Pipette, Rainin EDP2, 1–10 mL, ±1 per-
5.5 Analytical plasma sources emit radio cent accuracy, ≤1 percent RSD (precision),
frequency radiation in addition to intense with disposable tips, or equivalent.
ultra violet (UV) radiation. Suitable pre- • Pipette, Thermo Lab Systems, 5 mL, ±1
cautions should be taken to protect per- percent accuracy, ≤1 percent RSD (preci-
sonnel from such hazards. The inductively sion), with disposable tips, or equivalent.
coupled plasma should only be viewed with • Plastic tweezer, VWR Catalog No. 89026–
proper eye protection from UV emissions. 420, or equivalent.
• Laboratory marker.
6.0 Equipment • Ceramic knife, Kyocera LK–25, and non-
6.1 Thermo Scientific X-Series ICP–MS or metal ruler or other suitable cutting tools
equivalent. The system must be capable of for making straight cuts for accurately
providing resolution better or equal to 1.0 measured strips.
atomic mass unit (amu) at 10 percent peak • Blank labels or labeling tape, VWR Cata-
height. The system must have a mass range log No. 36425–045, or equivalent.
from at least 7 to 240 amu that allows for the • Graduated cylinder, 1 L, VWR 89000–260,
application of the internal standard tech- or equivalent.
nique. For the measurement of Pb, an instru- • Volumetric flask, Class A, 1 L, VWR
ment with a collision or reaction cell is not Catalog No. 89025–778, or equivalent.
required. • Millipore Element deionized water sys-
tem, or equivalent, capable of generating
6.2 Ultrasonic Extraction Equipment water with a resistivity of ≥17.9 MW-cm).
6.2.1 Heated ultrasonic bath capable of • Disposable syringes, 10-mL, with 0.45 mi-
maintaining a temperature of 80 °C; VWR cron filters (must be Pb-free).
Model 750HT, 240W, or equivalent. Ultrasonic • Plastic or PTFE wash bottles.
bath must meet the following performance • Glassware, Class A—volumetric flasks,
criteria: pipettes, and graduated cylinders.
1. Cut a strip of aluminum foil almost the • Glass fiber, quartz, or PTFE filters from
width of the tank and double the depth. the same filter manufacturer and lot used for
2. Turn the ultrasonic bath on and lower sample collection for use in the determina-
the foil into the bath vertically until almost tion of the MDL and for laboratory blanks.
touching the bottom of the tank and hold for
7.0 Reagents and Standards
10 seconds.
3. Remove the foil from the tank and ob- 7.1 Reagent—or trace metals-grade chemi-
serve the distribution of perforations and cals must be used in all tests. Unless other-
small pin prick holes. The indentations wise indicated, it is intended that all re-
should be fine and evenly distributed. The agents conform to the specifications of the
even distribution of indentations indicates Committee on Analytical Reagents of the
the ultrasonic bath is acceptable for use. American Chemical Society, where such
6.2.2 Laboratory centrifuge, Beckman GS– specifications are available.
6, or equivalent. 7.2 Concentrated nitric acid, 67–70 percent,
6.2.3 Vortex mixer, VWR Signature Digital SCP Science Catalog No. 250–037–177, or
Vortex Mixer, VWR Catalog No. 14005–824, or equivalent.
equivalent. 7.3 Concentrated hydrochloric acid (for the
6.3 Hot block extraction equipment ultrasonic extraction method), 33–36 percent,
6.3.1 Hot block digester, SCP Science SCP Science Catalog No. 250–037–175, or
DigiPrep Model MS, No. 010–500–205 block di- equivalent.
76
7.4 Deionized water—All references to de- traction process to assess possible contami-
ionized water in the method refer to deion- nation; and (3) the rinse blank is run be-
ized water with a resistivity ≥17.9 MW-cm. tween samples to clean the sample introduc-
7.5 Standard stock solutions may be com- tion system. If RBs or laboratory blanks
mercially purchased for each element or as a yield results above the detection limit, the
multi-element mix. Internal standards may source of contamination must be identified.
be purchased as a mixed multi-element solu- Screening of labware and reagents is ad-
tion. The manufacturer’s expiration date and dressed in Section 4.1.
storage conditions must be adhered to. 7.7.1 The calibration blank is prepared in
7.5.1 Lead standard, 1000 μg/mL, NIST the same acid matrix as the calibration
traceable, commercially available with cer- standards and samples and contains all in-
tificate of analysis. High Purity Standards ternal standards used in the analysis.
Catalog No. 100028–1, or equivalent. 7.7.2 The RB contains all reagents used in
7.5.2 Indium (In) standard, 1000 μg/mL, the extraction and is carried through the ex-
NIST traceable, commercially available with traction procedure at the same time as the
certificate of analysis. High Purity Stand- samples.
ards Catalog No. 100024–1, or equivalent. 7.7.3 The rinse blank is a solution of 1 to 2
7.5.3 Bismuth (Bi) standard, 1000 μg/mL, percent HNO3 (v/v) in reagent grade water. A
NIST traceable, commercially available with sufficient volume should be prepared to flush
certificate of analysis. High Purity Stand- the system between all standards and sam-
ards Catalog No. 100006–1, or equivalent. ples analyzed.
7.5.4 Holmium (Ho) standard, 1000 μg/mL, 7.7.4 The EPA currently provides glass
NIST traceable, commercially available with fiber, quartz, and PTFE filters to air moni-
certificate of analysis. High Purity Stand- toring agencies as requested annually. As
ards Catalog No. 100023–1, or equivalent. part of the procurement process, these filters
7.5.5 Second source lead standard, 1000 μg/ are tested for acceptance by the EPA. The
mL, NIST traceable, commercially available current acceptance criteria for glass fiber
with certificate of analysis. Must be from a and quartz filters is 15 μg per filter or 0.0075
different vendor or lot than the standard de- μg/m3 using a nominal sample volume of 2000
scribed in 7.5.1. Inorganic Ventures Catalog m3 and 4.8 ng/cm2 or 0.0024 μg/m3 for PTFE
No. CGPB–1, or equivalent. filters using a nominal sample volume of 24
7.5.6 Standard Reference Materials, NIST m3. Acceptance test results for filters ob-
SRM 2583, 2586, 2587 or 1648, or equivalent.5 tained by the EPA are typically well below
Note: The In, Bi, and Ho internal standards the criterion specified and also below the re-
may also be purchased as 10 μg/mL stand- cently revised Pb method performance detec-
ards. Calibration standards are prepared by tion limit of 0.0075 μg/m3; therefore, blank
diluting stock standards to the appropriate subtraction should not be performed.
levels in the same acid concentrations as in 7.7.5 If filters are not provided by the EPA
the final sample volume. The typical range for sample collection and analysis, filter lot
for calibration standards is 0.001 to 2.00 μg/ blanks should be analyzed for Pb content.
mL. At a minimum, the curve must contain For large filter lots (≤500 filters), randomly
a blank and five Pb containing calibration select 20 to 30 filters from the lot and ana-
standards. The calibration standards are lyze the filter or filter strips for Pb. For
stored at ambient laboratory temperature. smaller filter lots, a lesser number of filters
Calibration standards must be prepared can be analyzed. Glass, quartz and PTFE fil-
weekly and verified against a freshly pre- ters must not have levels of Pb above the cri-
pared ICV using a NIST-traceable source dif- teria specified in section 7.7.4 and, therefore,
ferent from the calibration standards. blank correction should not be performed. If
7.6 Internal standards may be added to the acceptance testing shows levels of Pb above
test solution or by on-line addition. The the criteria in Section 7.7.4, corrective ac-
nominal concentration for an internal stand- tion must be taken to reduce the levels be-
ard is 0.010 μg/mL (10 ppb). Bismuth (Bi) or fore proceeding.
holmium (Ho) are the preferred internal 7.8 The Initial Calibration Verification
standards for Pb, but indium (In) may be (ICV), Lower Level Calibration Verification
used in the event the sample contains Bi and (LLCV), and Continuing Calibration
high recoveries are observed. Verification (CCV) solutions are prepared
7.7 Three laboratory blank solutions are from a different Pb source than the calibra-
required for analysis: (1) The calibration tion curve standards and at a concentration
blank is used in the construction of the cali- that is either at or below the midpoint on
bration curve and as a periodic check of sys- the calibration curve, but within the calibra-
tem cleanliness (ICB and CCB); (2) the rea- tion range. Both are prepared in the same
gent blank (RB) is carried through the ex- acid matrix as the calibration standards.
Note that the same solution may be used for
5 Certificates of Analysis for these SRMs both the ICV and CCV. The ICV/CCV and
can be found at: http://www.nist.gov/srm/ LLCV solutions must be prepared fresh
index.cfm. daily.
77
7.9 Tuning Solution. Prepare a tuning solu- 8.4 Any samples that exceed the highest
tion according to the instrument manufac- calibration standard must be diluted and
turer’s recommendations. This solution will rerun so that the concentration falls within
be used to verify the mass calibration and the curve. The minimum dilution will be 1 to
resolution of the instrument. 5 with matrix matched acid solution.
8.5 The internal standard response must be
8.0 Quality Control (QC) monitored during the analysis. If the inter-
nal standard response falls below 70 percent
8.1 Standard QC practices shall be em-
or rises above 120 percent of expected due to
ployed to assess the validity of the data gen-
possible matrix effects, the sample must be
erated, including: MDL, RB, duplicate sam-
diluted and reanalyzed. The minimum dilu-
ples, spiked samples, serial dilutions, ICV,
tion will be 1 to 5 with matrix matched acid
CCV, LLCV, ICB, CCB, and SRMs/CRMs.
solution. If the first dilution does not correct
8.2 MDLs must be calculated in accordance the problem, additional dilutions must be
with 40 CFR part 136, Appendix B. RBs with run until the internal standard falls within
low-level standard spikes are used to esti- the specified range.
mate the MDL. The low-level standard spike 8.6 For every batch of samples prepared,
is added to at least 7 individual filter strips there must be one duplicate and one spike
and then carried through the entire extrac- sample prepared. The spike added is to be at
tion procedure. This will result in at least 7 a level that falls within the calibration
individual samples to be used for the MDL. curve, normally the midpoint of the curve.
The recommended range for spiking the The initial plus duplicate sample must yield
strips is 1 to 5 times the estimated MDL. a relative percent difference ≤20 percent. The
8.3 For each batch of samples, one RB and spike must be within ±20 percent of the ex-
one reagent blank spike (RBS) that is spiked pected value.
at the same level as the sample spike (see 8.7 For each batch of samples, one extract
Section 8.6) must be prepared and carried must be diluted five-fold and analyzed. The
throughout the entire process. The results of corrected dilution result must be within ±10
the RB must be below 0.001 μg/mL. The re- percent of the undiluted result. The sample
covery for the RBS must be within ±20 per- chosen for the serial dilution shall have a
cent of the expected value. If the RB yields concentration at or above 10X the lowest
a result above 0.001 μg/mL, the source of con- standard in the curve to ensure the diluted
tamination must be identified and the ex- value falls within the curve. If the serial di-
traction and analysis repeated. Reagents and lution fails, chemical or physical inter-
labware must be suspected as sources of conference should be suspected.
tamination. Screening of reagents and 8.8 ICB, ICV, LLCV, CCB and CCV samples
labware is addressed in Section 4.1. are to be run as shown in the following table.
Sample Frequency Performance specification
ICB ............................. Prior to first sample ................................................. Less than 0.001 μg/mL.
ICV ............................. Prior to first sample ................................................. Within 90 to 110 percent of the expected value.
LLCV .......................... Daily, before first sample and after last sample ..... ±10 percent of the expected value.
CCB ........................... After every 10 extracted samples ........................... Less than 0.001 μg/mL.
CCV ........................... After every 10 extracted samples ........................... Within 90–110 percent of the expected value.
If any of these QC samples fails to meet must be terminated, the problem corrected,
specifications, the source of the unaccept- the instrument recalibrated, and the anal-
able performance must be determined, the ysis repeated.
problem corrected, and any samples not 8.11 Pipettes used for volumetric transfer
bracketed by passing QC samples must be re- must have the calibration checked at least
analyzed. once every 6 months and pass ±1 percent ac-
8.9 For each batch of samples, one certified
curacy and ≤1 percent RSD (precision) based
reference material (CRM) must be combined
on five replicate readings. The pipettes must
with a blank filter strip and carried through
the entire extraction procedure. The result be checked weekly for accuracy with a single
must be within ±10 percent of the expected replicate. Any pipette that does not meet ±1
value. percent accuracy on the weekly check must
8.10 For each run, a LLCV must be ana- be removed from service, repaired, and pass a
lyzed. The LLCV must be prepared at a con- full calibration check before use.
centration not more than three times the 8.12 Samples with physical deformities are
lowest calibration standard and at a con- not quantitatively analyzable. The analyst
centration not used in the calibration curve. should visually check filters prior to pro-
The LLCV is used to assess performance at ceeding with preparation for holes, tears, or
the low end of the curve. If the LLCV fails non-uniform deposit which would prevent
(±10 percent of the expected value) the run
78
representative sampling. Document any de- LLCV, CCV, CCB. Extracts are any field
formities and qualify the data with flags ap- sample or QC samples that have been carried
propriately. Care must be taken to protect through the extraction process. The CCV so-
filters from contamination. Filters must be lution is prepared from a different source
kept covered prior to sample preparation. than the calibration standards and may be
9.0 ICP MS Calibration the same as the ICV solution. The LLCV
Follow the instrument manufacturer’s in- must be within ±10 percent of expected value.
structions for the routine maintenance, The CCV value must be within ±10 percent of
cleaning, and ignition procedures for the spe- expected for the run to continue. The CCB
cific ICP–MS instrument being used. must be less than 0.001 μg/mL. If either the
9.1 Ignite the plasma and wait for at least CCV, LLCV, or CCB fails, the run must be
one half hour for the instrument to warm up terminated, the problem identified and cor-
before beginning any pre-analysis steps. rected, and the analysis re-started from the
9.2 For the Thermo X-Series with Xt last passing CCV/LLCV/CCB set.
cones, aspirate a 10 ng/mL tuning solution 9.7 A LLCV, CCV, and CCB set must be
containing In, Bi, and Ce (Cerium). Monitor run at the end of the analysis. The LLCV
the intensities of In, Bi, Ce, and CeO (Cerium must be within ±30 percent of expected value.
oxide) and adjust the instrument settings to If either the CCV, LLCV, or CCB fails, the
achieve the highest In and Bi counts while run must be terminated, the problem identi-
minimizing the CeO/Ce oxide ratio. For other fied and corrected, and the analysis re-start-
instruments, follow the manufacturer’s rec- ed from the last passing CCV/LLCV/CCB set.
ommended practice. Tune to meet the in-
strument manufacturer’s specifications. 10.0 Heated Ultrasonic Filter Strip
After tuning, place the sample aspiration Extraction
probe into a 2 percent HNO3 rinse solution All plasticware (e.g., Nalgene) and glass-
for at least 5 minutes to flush the system. ware used in the extraction procedures is
9.3 Aspirate a 5 ng/mL solution con- soaked in 1 percent HNO3 (v/v) for at least 24
taining Co, In, and Bi to perform a daily in- hours and rinsed with reagent water prior to
strument stability check. Run 10 replicates use. All mechanical pipettes used must be
of the solution. The percent RSD for the rep- calibrated to ±1 percent accuracy and ≤1 per-
licates must be less than 3 percent at all cent RSD at a minimum of once every 6
masses. If the percent RSD is greater than 3 months.
percent, the sample introduction system, 10.1 Sample Preparation—Heated Ultra-
pump tubing, and tune should be examined, sonic Bath
and the analysis repeated. Place the sample 10.1.1 Extraction solution (1.03M HNO3 +
aspiration probe into a 2 percent HNO3 rinse 2.23M HCl). Prepare by adding 500 mL of de-
solution for at least 5 minutes to flush the ionized water to a 1000 mL flask, adding 64.4
system. mL of concentrated HNO3 and 182 mL of con-
9.4 Load the calibration standards in the centrated HCl, shaking to mix, allowing so-
autosampler and analyze using the same lution to cool, diluting to volume with rea-
method parameters that will be used to ana- gent water, and inverting several times to
lyze samples. The curve must include one mix. Extraction solution must be prepared at
blank and at least 5 Pb-containing calibra- least weekly.
tion standards. The correlation coefficient 10.1.2 Use a ceramic knife and non-metal
must be at least 0.998 for the curve to be ac- ruler, or other cutting device that will not
cepted. The lowest standard must recover ±15 contaminate the filter with Pb. Cut a 3⁄4 inch
percent of the expected value and the re- × 8 inch strip from the glass fiber or quartz
maining standards must recover ±10 percent filter by cutting a strip from the edge of the
of the expected value to be accepted. filter where it has been folded along the 10
9.5 Immediately after the calibration inch side at least 1 inch from the right or
curve is completed, analyze an ICV and an left side to avoid the un-sampled area cov-
ICB. The ICV must be prepared from a dif- ered by the filter holder. The filters must be
ferent source of Pb than the calibration carefully handled to avoid dislodging depos-
standards. The ICV must recover 90–110 per- its.
cent of the expected value for the run to con- 10.1.3 Using plastic tweezers, roll the fil-
tinue. The ICB must be less than 0.001 μg/mL. ter strip up in a coil and place the rolled
If either the ICV or the ICB fails, the run strip in the bottom of a labeled 50 mL ex-
must be terminated, the problem identified traction tube. In a fume hood, add 15.00 ±0.15
and corrected, and the analysis re-started. mL of the extraction solution (see Section
9.6 A LLCV, CCV and a CCB must be run 10.1.1) using a calibrated mechanical pipette.
after the ICV and ICB. A CCV and CCB must Ensure that the extraction solution com-
be run at a frequency of not less than every pletely covers the filter strip.
10 extracted samples. A typical analytical 10.1.4 Loosely cap the 50 mL extraction
run sequence would be: Calibration blank, tube and place it upright in a plastic rack.
Calibration standards, ICV, ICB, LLCV, CCV, When all samples have been prepared, place
CCB, Extracts 1–10, CCV, CCB, Extracts 11– the racks in an uncovered heated ultrasonic
20, CCV, CCB, Extracts 21–30, CCV, CCB, water bath that has been preheated to 80 ±5
79
°C and ensure that the water level in the ul- sample to a final volume of 50.0 ±0.4 mL.
trasonic is above the level of the extraction Tightly cap the tubes, and vortex mix or
solution in the tubes but well below the level shake vigorously. Allow samples to stand for
of the extraction tube caps to avoid contami- one hour to allow complete diffusion of the
nation. Start the ultrasonic bath and allow extracted Pb. The sample is now ready for
the unit to run for 1 hour ±5 minutes at 80 ±5 analysis.
°C. Note: Although PTFE filters have only
10.1.5 Remove the rack(s) from the ultra- been extracted using the ultrasonic extrac-
sonic bath and allow the racks to cool. tion procedure in the development of this
10.1.6 Add 25.00 ±0.25 mL of D.I. water with FRM, PTFE filters are inert and have very
a calibrated mechanical pipette to bring the low Pb content. No issues are expected with
sample to a final volume of 40.0 ±0.4 mL. the extraction of PTFE filters using the
Tightly cap the tubes, and vortex mix or heated block digestion method. However,
shake vigorously. Place the extraction tubes
prior to using PTFE filters in the heated
in an appropriate holder and centrifuge for 20
block extraction method, extraction method
minutes at 2500 revolutions per minute
performance test using CRMs must be done
(RPM).
to confirm performance (see Section 8.9).
CAUTION—Make sure that the centrifuge
holder has a flat bottom to support the flat 11.0 Hot Block Filter Strip Extraction
bottomed extraction tubes.
10.1.7 Pour an aliquot of the solution into All plasticware (e.g., Nalgene) and glass-
an autosampler vial for ICP–MS analysis to ware used in the extraction procedures is
avoid the potential for contamination. Do soaked in 1 percent HNO3 for at least 24
not pipette an aliquot of solution into the hours and rinsed with reagent water prior to
autosampler vial. use. All mechanical pipettes used must be
10.1.8 Decant the extract to a clean tube, calibrated to ±1 percent accuracy and ≤1 per-
cap tightly, and store the sample extract at cent RSD at a minimum of once every 6
ambient laboratory temperature. Extracts months.
may be stored for up to 6 months from the 11.1 Sample Preparation—Hot Block Di-
date of extraction. gestion
10.2 47 mm PTFE Filter Extraction—
11.1.1 Extraction solution (1:19, v/v HNO3).
Heated Ultrasonic Bath
Prepare by adding 500 mL of D.I. water to a
10.2.1 Extraction solution (1.03M HNO3 +
1000 mL flask, adding 50 mL of concentrated
2.23M HCl). Prepare by adding 500 mL of D.I.
water to a 1000mL flask, adding 64.4 mL of HNO3, shaking to mix, allowing solution to
concentrated HNO3 and 182 mL of con- cool, diluting to volume with reagent water,
centrated HCl, shaking to mix, allowing so- and inverting several times to mix. The ex-
lution to cool, diluting to volume with rea- traction solution must be prepared at least
gent water, and inverting several times to weekly.
mix. Extraction solution must be prepared at 11.1.2 Use a ceramic knife and non-metal
least weekly. ruler, or other cutting device that will not
10.2.2 Using plastic tweezers, bend the contaminate the filter with Pb. Cut a 1-inch
PTFE filter into a U-shape and insert the fil- × 8-inch strip from the glass fiber or quartz
ter into a labeled 50 mL extraction tube with filter. Cut a strip from the edge of the filter
the particle loaded side facing the center of where it has been folded along the 10-inch
the tube. Gently push the filter to the bot- side at least 1 inch from the right or left side
tom of the extraction tube. In a fume hood, to avoid the un-sampled area covered by the
add 25.00 ±0.15 mL of the extraction solution filter holder. The filters must be carefully
(see Section 10.2.1) using a calibrated me- handled to avoid dislodging particle deposits.
chanical pipette. Ensure that the extraction 11.1.3 Using plastic tweezers, roll the fil-
solution completely covers the filter. ter strip up in a coil and place the rolled
10.2.3 Loosely cap the 50 mL extraction strip in the bottom of a labeled 50 mL ex-
tube and place it upright in a plastic rack. traction tube. In a fume hood, add 20.0 ±0.15
When all samples have been prepared, place mL of the extraction solution (see Section
the racks in an uncovered heated ultrasonic 11.1.1) using a calibrated mechanical pipette.
water bath that has been preheated to 80 ±5 Ensure that the extraction solution com-
°C and ensure that the water level in the ul- pletely covers the filter strip.
trasonic is above the level of the extraction 11.1.4 Place the extraction tube in the
solution in the tubes, but well below the heated block digester and cover with a dis-
level of the extraction tube caps to avoid posable polyethylene ribbed watch glass.
contamination. Start the ultrasonic bath Heat at 95 ±5 °C for 1 hour and ensure that
and allow the unit to run for 1 hour ±5 min- the sample does not evaporate to dryness.
utes at 80 ±5 °C. For proper heating, adjust the temperature
10.2.4 Remove the rack(s) from the ultra- control of the hot block such that an uncov-
sonic bath and allow the racks to cool. ered vessel containing 50 mL of water placed
10.2.5 Add 25.00 ±0.25 mL of D.I. water with in the center of the hot block can be main-
a calibrated mechanical pipette to bring the tained at a temperature approximately, but
80
no higher than 85C. Once the vessel is cov- Where:
ered with a ribbed watch glass, the tempera- C = Concentration, μg Pb/m3
ture of the water will increase to approxi- μg Pb/mL = Lead concentration in solution
mately 95 °C. Vf = Total extraction solution volume
11.1.5 Remove the rack(s) from the heated
A = Area correction; 3⁄4″ × 8″ strip = 5.25 in2
block digester and allow the samples to cool.
analyzed, A = 12.0 or 1″ × 8″ strip = 7 in2
11.1.6 Bring the samples to a final volume
analyzed, A = 9.0
of 50 mL with D.I. water. Tightly cap the
D = dilution factor (if required)
tubes, and vortex mix or shake vigorously
for at least 5 seconds. Set aside (with the fil- Vs = Actual volume of air sampled
ter strip in the tube) for at least 30 minutes The calculation assumes the use of a
to allow the HNO3 trapped in the filter to dif- standard 8-inch × 10-inch TSP filter which
fuse into the extraction solution. has a sampled area of 9-inch × 7-inch (63.0 in2)
11.1.7 Shake thoroughly (with the filter due to the 1⁄2-inch filter holder border around
strip in the digestion tube) and let settle for the outer edge. The 3⁄4-inch × 8-inch strip has
at least one hour. The sample is now ready a sampled area of 3⁄4-inch × 7-inch (5.25 in2).
for analysis. The 1-inch × 8-inch strip has a sampled area
of 1-inch × 7-inch (7.0 in2). If filter lot blanks
12.0 Measurement Procedure are provided for analysis, refer to Section
12.1 Follow the instrument manufactur- 7.7.5 of this method for guidance on testing.
er’s startup procedures for the ICP–MS.
14.0 Method Performance
12.2 Set instrument parameters to the ap-
propriate operating conditions as presented Information in this section is an example
in the instrument manufacturer’s operating of typical performance results achieved by
manual and allow the instrument to warm this method. Actual performance must be
up for at least 30 minutes. demonstrated by each individual laboratory
12.3 Calibrate the instrument per Section and instrument.
9.0 of this method. 14.1 Performance data have been collected
12.4 Verify the instrument is suitable for to estimate MDLs for this method. MDLs
analysis as defined in Sections 9.2 and 9.3. were determined in accordance with 40 CFR
12.5 As directed in Section 8.0 of this 136, Appendix B. MDLs were estimated for
method, analyze an ICV and ICB imme- glass fiber, quartz, and PTFE filters using
diately after the calibration curve followed seven reagent/filter blank solutions spiked
by a LLCV, then CCV and CCB. The accept- with low level Pb at three times the esti-
ance requirements for these parameters are mated MDL of 0.001 μg/mL. Tables 1, 3, and 5
presented in Section 8.8. shows the MDLs estimated using both the ul-
12.6 Analyze a CCV and a CCB after every trasonic and hot block extraction methods
10 extracted samples. for glass fiber and quartz filters and the ul-
12.7 Analyze a LLCV, CCV and CCB at the trasonic method for PTFE filters. The MDLs
end of the analysis. are well below the EPA requirement of five
12.8 A typical sample run will include percent of the current Pb NAAQS or 0.0075
field samples, field sample duplicates, spiked μg/m3. These MDLs are provided to dem-
field sample extracts, serially diluted sam- onstrate the adequacy of the method’s per-
ples, the set of QC samples listed in Section formance for Pb in TSP. Each laboratory
8.8 above, and one or more CRMs or SRMs. using this method should determine MDLs in
12.9 Any samples that exceed the highest their laboratory and verify them annually. It
standard in the calibration curve must be di- is recommended that laboratories also per-
luted and reanalyzed so that the diluted conform the optional iterative procedure in 40
centration falls within the calibration curve. CFR 136, Appendix B to verify the reason-
13.0 Results ableness of the estimated MDL and subse-
13.1 The filter results must be initially re- quent MDL determinations.
ported in μg/mL as analyzed. Any additional 14.2 Extraction method recovery tests
dilutions must be accounted for. The inter- with glass fiber and quartz filter strips, and
nal standard recoveries must be included in PTFE filters spiked with NIST SRMs were
the result calculation; this is done by the performed using the ultrasonic/HNO3 and HCl
ICP–MS software for most commercially- filter extraction methods and measurement
available instruments. Final results should of the dissolved Pb with ICP–MS. Tables 2, 4,
be reported in μg Pb/m3 to three significant and 6 show recoveries obtained with these
figures as follows: SRM. The recoveries for all SRMs were ≥90
C = ((μg Pb/mL * Vf * A)* D))/Vs percent at the 95 percent confidence level.
81
TABLE 1—METHOD DETECTION LIMITS DETERMINED BY ANALYSIS OF REAGENT/GLASS FIBER FILTER

BLANKS SPIKED WITH LOW-LEVEL PB SOLUTION
Ultrasonic Hotblock
extraction extraction
method method
μg/m3 μg/m3
n = 1 ...................................................................................................................................................... 0.0000702 0.000533

n = 2 ...................................................................................................................................................... 0.0000715 0.000482
n = 3 ...................................................................................................................................................... 0.0000611 0.000509
n = 4 ...................................................................................................................................................... 0.0000587 0.000427
n = 5 ...................................................................................................................................................... 0.0000608 0.000449
n = 6 ...................................................................................................................................................... 0.0000607 0.000539
n = 7 ...................................................................................................................................................... 0.0000616 0.000481
Average ................................................................................................................................................. 0.0000635 0.000489
Standard Deviation ................................................................................................................................ 0.0000051 0.000042
MDL** .................................................................................................................................................... 0.0000161 0.000131
* Assumes 2000 m3 of air sampled.
** MDL is 3.143 times the standard deviation of the results for seven sample replicates analyzed.
TABLE 2—RECOVERIES OF LEAD FROM NIST SRMS SPIKED ONTO GLASS FIBER FILTERS
Recovery, ICP–MS, (percent)
Extraction method NIST 1547 NIST 2583 NIST 2582
NIST 2709 soil
plant dust paint
Ultrasonic Bath ...................................................................... 100 ±4 98 ±1 103 ±8 101 ±0

Block Digestion ..................................................................... 92 ±7 98 ±3 103 ±4 94 ±4
TABLE 3—METHOD DETECTION LIMITS DETERMINED BY ANALYSIS OF REAGENT/QUARTZ FILTER

BLANKS SPIKED WITH LOW-LEVEL PB SOLUTION
Ultrasonic Hotblock
extraction extraction
method method
μg/m3* μg/m3*
n = 1 ...................................................................................................................................................... 0.000533 0.000274

n = 2 ...................................................................................................................................................... 0.000552 0.000271
n = 3 ...................................................................................................................................................... 0.000534 0.000281
n = 4 ...................................................................................................................................................... 0.000684 0.000269
n = 5 ...................................................................................................................................................... 0.000532 0.000278
n = 6 ...................................................................................................................................................... 0.000532 0.000272
n = 7 ...................................................................................................................................................... 0.000552 0.000261
Average ................................................................................................................................................. 0.000560 0.000272
Standard Deviation ................................................................................................................................ 0.000055 0.000007
MDL** .................................................................................................................................................... 0.000174 0.000021
TABLE 4—RECOVERIES OF LEAD FROM NIST SRMS SPIKED ONTO QUARTZ FIBER FILTERS
NIST 2709 soil
plant dust paint
Ultrasonic Bath ...................................................................... 101 ±6 95 ±1 91 ±5 93 ±1

Block Digestion ..................................................................... 106 ±3 104 ±3 92 ±6 95 ±2
TABLE 5—METHOD DETECTION LIMITS DETERMINED BY ANALYSIS OF REAGENT/PTFE FILTER BLANKS

SPIKED WITH LOW-LEVEL PB SOLUTION
Ultrasonic
extraction
method
μg/m3*
n = 1 .......................................................................................................................................................................... 0.001775
n = 2 .......................................................................................................................................................................... 0.001812
82
TABLE 5—METHOD DETECTION LIMITS DETERMINED BY ANALYSIS OF REAGENT/PTFE FILTER BLANKS

SPIKED WITH LOW-LEVEL PB SOLUTION—Continued
Ultrasonic
extraction
method
μg/m3*
n = 3 .......................................................................................................................................................................... 0.001773
n = 4 .......................................................................................................................................................................... 0.001792
n = 5 .......................................................................................................................................................................... 0.001712
n = 6 .......................................................................................................................................................................... 0.001767
n = 7 .......................................................................................................................................................................... 0.001778
Average ..................................................................................................................................................................... 0.001773
Standard Deviation .................................................................................................................................................... 0.000031
MDL** ........................................................................................................................................................................ 0.000097
TABLE 6—RECOVERIES OF LEAD FROM NIST SRMS SPIKED ONTO PTFE FILTERS
NIST 2709 soil
plant dust paint
Ultrasonic Bath ...................................................................... 104 ±5 93 ±1 108 ±11 96 ±3
15.0 Pollution Prevention 16.2 Waste HNO3, HCl, and solutions con-
taining these reagents and/or Pb must be
15.1 Pollution prevention encompasses
placed in labeled bottles and delivered to a
any technique that reduces or eliminates the
commercial firm that specializes in removal
quantity and/or toxicity of waste at the
of hazardous waste.
point of generation. Numerous opportunities
for pollution prevention exist in laboratory 17.0 References
operations. Whenever feasible, laboratory
personnel should use pollution prevention FACDQ (2007). Report of the Federal Advi-
techniques to address their waste genera- sory Committee on Detection and Quan-
tion. The sources of pollution generated with titation Approaches and Uses in Clean
this procedure are waste acid extracts and Water Act Programs, submitted to the
Pb-containing solutions. U.S. EPA December 2007. Available:
15.2 For information about pollution pre- http://water.epa.gov/scitech/methods/cwa/
vention that may be applicable to labora- det/upload/final-report-200712.pdf.
tories and research institutions, consult Less Rice J (2013). Results from the Development
is Better: Laboratory Chemical Management of a New Federal Reference Method
for Waste Reduction, available from the (FRM) for Lead in Total Suspended Par-
American Chemical Society’s Department of ticulate (TSP) Matter. Docket # EPA–
Government Relations and Science Policy, HQ–OAR–2012–0210.
1155 16th St. NW., Washington, DC 20036, U.S. EPA (2007). Method 6020A—Inductively
www.acs.org. Coupled Plasma Mass Spectrometry. U.S.
Environmental Protection Agency. Revi-
16.0 Waste Management sion 1, February 2007. Available: http://
16.1 Laboratory waste management prac- www.epa.gov/osw/hazard/testmethods/sw846/
tices must be conducted consistent with all pdfs/6020a.pdf.
applicable rules and regulations. Labora- U.S. EPA (2011). A Laboratory Study of Pro-
tories are urged to protect air, water, and cedures Evaluated by the Federal Advi-
land by minimizing all releases from hood sory Committee on Detection and Quan-
and bench operations, complying with the titation Approaches and Uses in Clean
letter and spirit of any sewer and discharge Water Act Programs. December 2011.
permits and regulations, and by complying Available: http://water.epa.gov/scitech/
with all solid and hazardous waste regula- methods/cwa/det/upload/faclreport
tion. For further information on waste man- l2009.pdf.
agement, consult The Waste Management
Manual for Laboratory Personnel available [78 FR 40004, July 3, 2013]
from the American Chemical Society listed
in Section 15.2 of this method.
83
Pt. 50, App. H 40 CFR Ch. I (7–1–21 Edition)
APPENDIX H TO PART 50—INTERPRETA- ticular calendar year. The purpose of these

TION OF THE 1-HOUR PRIMARY AND computations is to determine if the expected
SECONDARY NATIONAL AMBIENT AIR number of exceedances per year is less than
or equal to 1. Thus, if a site has two or more
QUALITY STANDARDS FOR OZONE
observed exceedances each year, the stand-
1. GENERAL ard is not met and it is not necessary to use
the procedures of this section to account for
This appendix explains how to determine incomplete sampling.
when the expected number of days per cal- The term ‘‘missing value’’ is used here in
endar year with maximum hourly average the general sense to describe all days that do
concentrations above 0.12 ppm (235 μg/m3) is not have an associated ozone measurement.
equal to or less than 1. An expanded discus- In some cases, a measurement might actu-
sion of these procedures and associated ex- ally have been missed but in other cases no
amples are contained in the ‘‘Guideline for measurement may have been scheduled for
Interpretation of Ozone Air Quality Stand- that day. A daily maximum ozone value is
ards.’’ For purposes of clarity in the fol- defined to be the highest hourly ozone value
lowing discussion, it is convenient to use the recorded for the day. This daily maximum
term ‘‘exceedance’’ to describe a daily max- value is considered to be valid if 75 percent of
imum hourly average ozone measurement the hours from 9:01 a.m. to 9:00 p.m. (LST)
that is greater than the level of the stand- were measured or if the highest hour is
ard. Therefore, the phrase ‘‘expected number greater than the level of the standard.
of days with maximum hourly average ozone In some areas, the seasonal pattern of
concentrations above the level of the stand- ozone is so pronounced that entire months
ard’’ may be simply stated as the ‘‘expected need not be sampled because it is extremely
number of exceedances.’’ unlikely that the standard would be exceed-
The basic principle in making this deter- ed. Any such waiver of the ozone monitoring
mination is relatively straightforward. Most requirement would be handled under provi-
of the complications that arise in deter- sions of 40 CFR, part 58. Some allowance
mining the expected number of annual should also be made for days for which valid
exceedances relate to accounting for incom- daily maximum hourly values were not ob-
plete sampling. In general, the average num- tained but which would quite likely have
ber of exceedances per calendar year must be been below the standard. Such an allowance
less than or equal to 1. In its simplest form, introduces a complication in that it becomes
the number of exceedances at a monitoring necessary to define under what conditions a
site would be recorded for each calendar year missing value may be assumed to have been
and then averaged over the past 3 calendar less than the level of the standard. The fol-
years to determine if this average is less lowing criterion may be used for ozone:
than or equal to 1.
A missing daily maximum ozone value
2. INTERPRETATION OF EXPECTED may be assumed to be less than the level of
EXCEEDANCES the standard if the valid daily maxima on
both the preceding day and the following day
The ozone standard states that the ex- do not exceed 75 percent of the level of the
pected number of exceedances per year must standard.
be less than or equal to 1. The statistical Let z denote the number of missing daily
term ‘‘expected number’’ is basically an maximum values that may be assumed to be
arithmetic average. The following example less than the standard. Then the following
explains what it would mean for an area to formula shall be used to estimate the ex-
be in compliance with this type of standard. pected number of exceedances for the year:
Suppose a monitoring station records a valid
daily maximum hourly average ozone value
for every day of the year during the past 3
years. At the end of each year, the number of (*Indicates multiplication.)
days with maximum hourly concentrations where:
above 0.12 ppm is determined and this num-
ber is averaged with the results of previous e = the estimated number of exceedances for
years. As long as this average remains ‘‘less the year,
than or equal to 1,’’ the area is in compli- N = the number of required monitoring days
ance. in the year,
n = the number of valid daily maxima,
3. ESTIMATING THE NUMBER OF EXCEEDANCES v = the number of daily values above the
FOR A YEAR level of the standard, and
In general, a valid daily maximum hourly z = the number of days assumed to be less
average value may not be available for each than the standard level.
day of the year, and it will be necessary to This estimated number of exceedances
account for these missing values when esti- shall be rounded to one decimal place (frac-
mating the number of exceedances for a par- tional parts equal to 0.05 round up).
84
EC08NO91.086</MATH>
Environmental Protection Agency Pt. 50, App. I
It should be noted that N will be the total of the hours available using 6 (or 7) as the di-
number of days in the year unless the appro- visor. (8-hour periods with three or more
priate Regional Administrator has granted a missing hours shall not be ignored if, after
waiver under the provisions of 40 CFR part substituting one-half the minimum detect-
58. able limit for the missing hourly concentra-
The above equation may be interpreted in- tions, the 8-hour average concentration is
tuitively in the following manner. The esti- greater than the level of the standard.) The
mated number of exceedances is equal to the computed 8-hour average ozone concentra-
observed number of exceedances (v) plus an tions shall be reported to three decimal
increment that accounts for incomplete sam- places (the insignificant digits to the right of
pling. There were (N-n) missing values for the third decimal place are truncated, con-
the year but a certain number of these, sistent with the data handling procedures for
namely z, were assumed to be less than the the reported data.)
standard. Therefore, (N-n-z) missing values 2.1.2 Daily maximum 8-hour average con-
are considered to include possible centrations. (a) There are 24 possible running
exceedances. The fraction of measured val- 8-hour average ozone concentrations for each
ues that are above the level of the standard calendar day during the ozone monitoring
is v/n. It is assumed that this same fraction season. (Ozone monitoring seasons vary by
applies to the (N-n-z) missing values and geographic location as designated in part 58,
that (v/n)*(N-n-z) of these values would also appendix D to this chapter.) The daily max-
have exceeded the level of the standard. imum 8-hour concentration for a given cal-
endar day is the highest of the 24 possible 8-
[44 FR 8220, Feb. 8, 1979, as amended at 62 FR hour average concentrations computed for
38895, July 18, 1997] that day. This process is repeated, yielding a
daily maximum 8-hour average ozone con-
APPENDIX I TO PART 50—INTERPRETA- centration for each calendar day with ambi-
TION OF THE 8-HOUR PRIMARY AND ent ozone monitoring data. Because the 8-
SECONDARY NATIONAL AMBIENT AIR hour averages are recorded in the start hour,
QUALITY STANDARDS FOR OZONE the daily maximum 8-hour concentrations
from two consecutive days may have some
1. General. hourly concentrations in common. Gen-
This appendix explains the data handling erally, overlapping daily maximum 8-hour
conventions and computations necessary for averages are not likely, except in those non-
determining whether the national 8-hour pri- urban monitoring locations with less pro-
mary and secondary ambient air quality nounced diurnal variation in hourly con-
standards for ozone specified in § 50.10 are centrations.
met at an ambient ozone air quality moni- (b) An ozone monitoring day shall be
toring site. Ozone is measured in the ambi- counted as a valid day if valid 8-hour aver-
ent air by a reference method based on ap- ages are available for at least 75% of possible
pendix D of this part. Data reporting, data hours in the day (i.e., at least 18 of the 24
handling, and computation procedures to be averages). In the event that less than 75% of
used in making comparisons between re- the 8-hour averages are available, a day shall
ported ozone concentrations and the level of also be counted as a valid day if the daily
the ozone standard are specified in the fol- maximum 8-hour average concentration for
lowing sections. Whether to exclude, retain, that day is greater than the level of the am-
or make adjustments to the data affected by bient standard.
stratospheric ozone intrusion or other nat- 2.2 Primary and Secondary Standard-related
ural events is subject to the approval of the Summary Statistic. The standard-related sum-
appropriate Regional Administrator. mary statistic is the annual fourth-highest
2. Primary and Secondary Ambient Air Qual- daily maximum 8-hour ozone concentration,
ity Standards for Ozone. expressed in parts per million, averaged over
2.1 Data Reporting and Handling Conven- three years. The 3-year average shall be com-
tions. puted using the three most recent, consecu-
2.1.1 Computing 8-hour averages. Hourly av- tive calendar years of monitoring data meet-
erage concentrations shall be reported in ing the data completeness requirements de-
parts per million (ppm) to the third decimal scribed in this appendix. The computed 3-
place, with additional digits to the right year average of the annual fourth-highest
being truncated. Running 8-hour averages daily maximum 8-hour average ozone con-
shall be computed from the hourly ozone centrations shall be expressed to three dec-
concentration data for each hour of the year imal places (the remaining digits to the
and the result shall be stored in the first, or right are truncated.)
start, hour of the 8-hour period. An 8-hour 2.3 Comparisons with the Primary and Sec-
average shall be considered valid if at least ondary Ozone Standards. (a) The primary and
75% of the hourly averages for the 8-hour pe- secondary ozone ambient air quality stand-
riod are available. In the event that only 6 ards are met at an ambient air quality moni-
(or 7) hourly averages are available, the 8- toring site when the 3-year average of the
hour average shall be computed on the basis annual fourth-highest daily maximum 8-hour
85
Pt. 50, App. I 40 CFR Ch. I (7–1–21 Edition)
average ozone concentration is less than or of the standard are counted for the purpose
equal to 0.08 ppm. The number of significant of meeting the data completeness require-
figures in the level of the standard dictates ment, subject to the approval of the appro-
the rounding convention for comparing the priate Regional Administrator.
computed 3-year average annual fourth-high- (c) Years with concentrations greater than
est daily maximum 8-hour average ozone the level of the standard shall not be ignored
concentration with the level of the standard. on the ground that they have less than com-
The third decimal place of the computed plete data. Thus, in computing the 3-year av-
value is rounded, with values equal to or erage fourth maximum concentration, cal-
greater than 5 rounding up. Thus, a com- endar years with less than 75% data com-
puted 3-year average ozone concentration of pleteness shall be included in the computa-
0.085 ppm is the smallest value that is great-
tion if the average annual fourth maximum
er than 0.08 ppm.
8-hour concentration is greater than the
(b) This comparison shall be based on three
level of the standard.
consecutive, complete calendar years of air
quality monitoring data. This requirement is (d) Comparisons with the primary and sec-
met for the three year period at a moni- ondary ozone standards are demonstrated by
toring site if daily maximum 8-hour average examples 1 and 2 in paragraphs (d)(1) and (d)
concentrations are available for at least 90%, (2) respectively as follows:
on average, of the days during the designated (1) As shown in example 1, the primary and
ozone monitoring season, with a minimum secondary standards are met at this moni-
data completeness in any one year of at least toring site because the 3-year average of the
75% of the designated sampling days. When annual fourth-highest daily maximum 8-hour
computing whether the minimum data com- average ozone concentrations (i.e., 0.084 ppm)
pleteness requirements have been met, mete- is less than or equal to 0.08 ppm. The data
orological or ambient data may be sufficient completeness requirement is also met be-
to demonstrate that meteorological condi- cause the average percent of days with valid
tions on missing days were not conducive to ambient monitoring data is greater than
concentrations above the level of the stand- 90%, and no single year has less than 75%
ard. Missing days assumed less than the level data completeness.
EXAMPLE 1. AMBIENT MONITORING SITE ATTAINING THE PRIMARY AND SECONDARY OZONE STANDARDS
1st Highest 2nd Highest 3rd Highest 4th Highest 5th Highest
Percent Daily Max Daily Max Daily Max Daily Max Daily Max
Year Valid Days 8-hour 8-hour 8-hour 8-hour 8-hour
Conc. (ppm) Conc. (ppm) Conc. (ppm) Conc. (ppm) Conc. (ppm)
1993 ...................................................... 100% 0.092 0.091 0.090 0.088 0.085
1994 ...................................................... 96% 0.090 0.089 0.086 0.084 0.080
1995 ...................................................... 98% 0.087 0.085 0.083 0.080 0.075
Average .................................. 98%
(2) As shown in example 2, the primary and concentration data for 1994 is used in these
secondary standards are not met at this computations, even though the data capture
monitoring site because the 3-year average is less than 75%, because the average fourth-
of the fourth-highest daily maximum 8-hour highest daily maximum 8-hour average con-
average ozone concentrations (i.e., 0.093 ppm) centration is greater than 0.08 ppm.
is greater than 0.08 ppm. Note that the ozone
EXAMPLE 2. AMBIENT MONITORING SITE FAILING TO MEET THE PRIMARY AND SECONDARY OZONE
STANDARDS
1st Highest 2nd Highest 3rd Highest 4th Highest 5th Highest
Percent Daily Max Daily Max Daily Max Daily Max Daily Max
Year Valid Days 8-hour 8-hour 8-hour 8-hour 8-hour
Conc. (ppm) Conc. (ppm) Conc. (ppm) Conc. (ppm) Conc. (ppm)
1993 ...................................................... 96% 0.105 0.103 0.103 0.102 0.102
1994 ...................................................... 74% 0.090 0.085 0.082 0.080 0.078
1995 ...................................................... 98% 0.103 0.101 0.101 0.097 0.095
Average .................................. 89%
86
Environmental Protection Agency Pt. 50, App. J
3. Design Values for Primary and Secondary times differ substantially from actual con-
Ambient Air Quality Standards for Ozone. The centrations (in micrograms per actual cubic
air quality design value at a monitoring site meter), particularly at high elevations. Al-
is defined as that concentration that when though not required, the actual PM10 con-
reduced to the level of the standard ensures centration can be calculated from the cor-
that the site meets the standard. For a con- rected concentration, using the average am-
centration-based standard, the air quality bient temperature and barometric pressure
design value is simply the standard-related during the sampling period.
test statistic. Thus, for the primary and sec- 2.3 A method based on this principle will be
ondary ozone standards, the 3-year average
considered a reference method only if (a) the
annual fourth-highest daily maximum 8-hour
associated sampler meets the requirements
average ozone concentration is also the air
specified in this appendix and the require-
quality design value for the site.
ments in part 53 of this chapter, and (b) the
[62 FR 38895, July 18, 1997] method has been designated as a reference
method in accordance with part 53 of this
APPENDIX J TO PART 50—REFERENCE chapter.
METHOD FOR THE DETERMINATION OF 3.0 Range.
PARTICULATE MATTER AS PM10 IN 3.1 The lower limit of the mass concentra-
THE ATMOSPHERE tion range is determined by the repeatability
of filter tare weights, assuming the nominal
1.0 Applicability.
air sample volume for the sampler. For sam-
1.1 This method provides for the measure-
plers having an automatic filter-changing
ment of the mass concentration of particu-
mechanism, there may be no upper limit.
late matter with an aerodynamic diameter
less than or equal to a nominal 10 microm- For samplers that do not have an automatic
eters (PM1O) in ambient air over a 24-hour filter-changing mechanism, the upper limit
period for purposes of determining attain- is determined by the filter mass loading be-
ment and maintenance of the primary and yond which the sampler no longer maintains
secondary national ambient air quality the operating flow rate within specified lim-
standards for particulate matter specified in its due to increased pressure drop across the
§ 50.6 of this chapter. The measurement proc- loaded filter. This upper limit cannot be
ess is nondestructive, and the PM10 sample specified precisely because it is a complex
can be subjected to subsequent physical or function of the ambient particle size dis-
chemical analyses. Quality assurance proce- tribution and type, humidity, filter type, and
dures and guidance are provided in part 58, perhaps other factors. Nevertheless, all sam-
appendices A and B, of this chapter and in plers should be capable of measuring 24-hour
References 1 and 2. PM10 mass concentrations of at least 300 μg/
2.0 Principle. std m3 while maintaining the operating flow
2.1 An air sampler draws ambient air at a rate within the specified limits.
constant flow rate into a specially shaped 4.0 Precision.
inlet where the suspended particulate matter 4.1 The precision of PM10 samplers must be
is inertially separated into one or more size 5 μg/m3 for PM10 concentrations below 80 μg/
fractions within the PM10 size range. Each m3 and 7 percent for PM10 concentrations
size fraction in the PM1O size range is then above 80 μg/m3, as required by part 53 of this
collected on a separate filter over the speci- chapter, which prescribes a test procedure
fied sampling period. The particle size dis- that determines the variation in the PM10
crimination characteristics (sampling effec- concentration measurements of identical
tiveness and 50 percent cutpoint) of the sam- samplers under typical sampling conditions.
pler inlet are prescribed as performance Continual assessment of precision via collo-
specifications in part 53 of this chapter.
cated samplers is required by part 58 of this
2.2 Each filter is weighed (after moisture
chapter for PM10 samplers used in certain
equilibration) before and after use to deter-
monitoring networks.
mine the net weight (mass) gain due to col-
lected PM10. The total volume of air sam- 5.0 Accuracy.
pled, corrected to EPA reference conditions 5.1 Because the size of the particles making
(25 C, 101.3 kPa), is determined from the up ambient particulate matter varies over a
measured flow rate and the sampling time. wide range and the concentration of par-
The mass concentration of PM10 in the ambi- ticles varies with particle size, it is difficult
ent air is computed as the total mass of col- to define the absolute accuracy of PM10 sam-
lected particles in the PM10 size range di- plers. Part 53 of this chapter provides a spec-
vided by the volume of air sampled, and is ification for the sampling effectiveness of
expressed in micrograms per standard cubic PM10 samplers. This specification requires
meter (μg/std m3). For PM10 samples col- that the expected mass concentration cal-
lected at temperatures and pressures signifi- culated for a candidate PM10 sampler, when
cantly different from EPA reference condi- sampling a specified particle size distribu-
tions, these corrected concentrations some- tion, be within ±10 percent of that calculated
87
Pt. 50, App. J 40 CFR Ch. I (7–1–21 Edition)
for an ideal sampler whose sampling effec- particle distribution in the atmosphere dur-
tiveness is explicitly specified. Also, the paring the sampling period. The use of a flow
ticle size for 50 percent sampling effective- control device (section 7.1.3) is required to
ness is required to be 10 ±0.5 micrometers. minimize this error.
Other specifications related to accuracy 6.6 Air Volume Determination. Errors in the
apply to flow measurement and calibration, air volume determination may result from
filter media, analytical (weighing) proce- errors in the flow rate and/or sampling time
dures, and artifact. The flow rate accuracy of measurements. The flow control device
PM10 samplers used in certain monitoring serves to minimize errors in the flow rate de-
networks is required by part 58 of this chap- termination, and an elapsed time meter (sec-
ter to be assessed periodically via flow rate tion 7.1.5) is required to minimize the error
audits. in the sampling time measurement.
6.0 Potential Sources of Error. 7.0 Apparatus.
6.1 Volatile Particles. Volatile particles col-
7.1 PM10 Sampler.
lected on filters are often lost during ship-
ment and/or storage of the filters prior to 7.1.1 The sampler shall be designed to:
the post-sampling weighing 3. Although ship- a. Draw the air sample into the sampler
ment or storage of loaded filters is some- inlet and through the particle collection fil-
times unavoidable, filters should be re- ter at a uniform face velocity.
weighed as soon as practical to minimize b. Hold and seal the filter in a horizontal
these losses. position so that sample air is drawn down-
6.2 Artifacts. Positive errors in PM10 con- ward through the filter.
centration measurements may result from c. Allow the filter to be installed and re-
retention of gaseous species on filters. 4 5 moved conveniently.
Such errors include the retention of sulfur d. Protect the filter and sampler from pre-
dioxide and nitric acid. Retention of sulfur cipitation and prevent insects and other de-
dioxide on filters, followed by oxidation to bris from being sampled.
sulfate, is referred to as artifact sulfate for- e. Minimize air leaks that would cause
mation, a phenomenon which increases with error in the measurement of the air volume
increasing filter alkalinity. 6 Little or no ar- passing through the filter.
tifact sulfate formation should occur using f. Discharge exhaust air at a sufficient dis-
filters that meet the alkalinity specification tance from the sampler inlet to minimize the
in section 7.2.4. Artifact nitrate formation, sampling of exhaust air.
resulting primarily from retention of nitric
g. Minimize the collection of dust from the
acid, occurs to varying degrees on many fil-
supporting surface.
ter types, including glass fiber, cellulose
ester, and many quartz fiber filters. 5 7 8 9 10 7.1.2 The sampler shall have a sample air
Loss of true atmospheric particulate nitrate inlet system that, when operated within a
during or following sampling may also occur specified flow rate range, provides particle
due to dissociation or chemical reaction. size discrimination characteristics meeting
This phenomenon has been observed on Tef- all of the applicable performance specifica-
lon ® filters 8 and inferred for quartz fiber fil- tions prescribed in part 53 of this chapter.
ters. 11 12 The magnitude of nitrate artifact The sampler inlet shall show no significant
errors in PM10 mass concentration measure- wind direction dependence. The latter re-
ments will vary with location and ambient quirement can generally be satisfied by an
temperature; however, for most sampling lo- inlet shape that is circularly symmetrical
cations, these errors are expected to be about a vertical axis.
small. 7.1.3 The sampler shall have a flow control
6.3 Humidity. The effects of ambient humid- device capable of maintaining the sampler’s
ity on the sample are unavoidable. The filter operating flow rate within the flow rate lim-
equilibration procedure in section 9.0 is de- its specified for the sampler inlet over nor-
signed to minimize the effects of moisture on mal variations in line voltage and filter pres-
the filter medium. sure drop.
6.4 Filter Handling. Careful handling of fil- 7.1.4 The sampler shall provide a means to
ters between presampling and postsampling measure the total flow rate during the sam-
weighings is necessary to avoid errors due to pling period. A continuous flow recorder is
damaged filters or loss of collected particles recommended but not required. The flow
from the filters. Use of a filter cartridge or measurement device shall be accurate to ±2
cassette may reduce the magnitude of these percent.
errors. Filters must also meet the integrity 7.1.5 A timing/control device capable of
specification in section 7.2.3. starting and stopping the sampler shall be
6.5 Flow Rate Variation. Variations in the used to obtain a sample collection period of
sampler’s operating flow rate may alter the 24 ±1 hr (1,440 ±60 min). An elapsed time
particle size discrimination characteristics meter, accurate to within ±15 minutes, shall
of the sampler inlet. The magnitude of this be used to measure sampling time. This
error will depend on the sensitivity of the meter is optional for samplers with contin-
inlet to variations in flow rate and on the uous flow recorders if the sampling time
88
Environmental Protection Agency Pt. 50, App. J
measurement obtained by means of the re- 7.4.1 Temperature range: 15 to 30 C.
corder meets the ±15 minute accuracy speci- 7.4.2 Temperature control: ±3 C.
fication. 7.4.3 Humidity range: 20% to 45% RH.
7.1.6 The sampler shall have an associated 7.4.4 Humidity control: ±5% RH.
operation or instruction manual as required 7.5 Analytical Balance. The analytical bal-
by part 53 of this chapter which includes de- ance must be suitable for weighing the type
tailed instructions on the calibration, oper- and size of filters required by the sampler.
ation, and maintenance of the sampler. The range and sensitivity required will de-
7.2 Filters. pend on the filter tare weights and mass
7.2.1 Filter Medium. No commercially avail- loadings. Typically, an analytical balance
able filter medium is ideal in all respects for with a sensitivity of 0.1 mg is required for
all samplers. The user’s goals in sampling de- high volume samplers (flow rates >0.5 m3/
termine the relative importance of various min). Lower volume samplers (flow rates <0.5
filter characteristics (e.g., cost, ease of han- m3/min) will require a more sensitive bal-
dling, physical and chemical characteristics, ance.
etc.) and, consequently, determine the 8.0 Calibration.
choice among acceptable filters. Further- 8.1 General Requirements.
more, certain types of filters may not be 8.1.1 Calibration of the sampler’s flow
suitable for use with some samplers, particu- measurement device is required to establish
larly under heavy loading conditions (high traceability of subsequent flow measure-
mass concentrations), because of high or ments to a primary standard. A flow rate
rapid increase in the filter flow resistance transfer standard calibrated against a pri-
that would exceed the capability of the sam- mary flow or volume standard shall be used
pler’s flow control device. However, samplers to calibrate or verify the accuracy of the
equipped with automatic filter-changing sampler’s flow measurement device.
mechanisms may allow use of these types of 8.1.2 Particle size discrimination by iner-
filters. The specifications given below are tial separation requires that specific air ve-
minimum requirements to ensure accept- locities be maintained in the sampler’s air
ability of the filter medium for measurement inlet system. Therefore, the flow rate
of PM10 mass concentrations. Other filter through the sampler’s inlet must be main-
evaluation criteria should be considered to tained throughout the sampling period with-
meet individual sampling and analysis objec- in the design flow rate range specified by the
tives. manufacturer. Design flow rates are speci-
7.2.2 Collection Efficiency. ≥99 percent, as fied as actual volumetric flow rates, meas-
measured by the DOP test (ASTM–2986) with ured at existing conditions of temperature
0.3 μm particles at the sampler’s operating and pressure (Qa). In contrast, mass con-
face velocity. centrations of PM10 are computed using flow
7.2.3 Integrity. ±5 μg/m3 (assuming sampler’s rates corrected to EPA reference conditions
nominal 24-hour air sample volume). Integ- of temperature and pressure (Qstd).
rity is measured as the PM10 concentration 8.2 Flow Rate Calibration Procedure.
equivalent corresponding to the average dif- 8.2.1 PM10 samplers employ various types
ference between the initial and the final of flow control and flow measurement de-
weights of a random sample of test filters vices. The specific procedure used for flow
that are weighed and handled under actual rate calibration or verification will vary de-
or simulated sampling conditions, but have pending on the type of flow controller and
no air sample passed through them (i.e., fil- flow indicator employed. Calibration in
ter blanks). As a minimum, the test proce- terms of actual volumetric flow rates (Qa) is
dure must include initial equilibration and generally recommended, but other measures
weighing, installation on an inoperative of flow rate (e.g., Qstd) may be used provided
sampler, removal from the sampler, and final the requirements of section 8.1 are met. The
equilibration and weighing. general procedure given here is based on ac-
7.2.4 Alkalinity. <25 microequivalents/gram tual volumetric flow units (Qa) and serves to
of filter, as measured by the procedure given illustrate the steps involved in the calibra-
in Reference 13 following at least two tion of a PM10 sampler. Consult the sampler
months storage in a clean environment (free manufacturer’s instruction manual and Ref-
from contamination by acidic gases) at room erence 2 for specific guidance on calibration.
temperature and humidity. Reference 14 provides additional information
7.3 Flow Rate Transfer Standard. The flow on the use of the commonly used measures of
rate transfer standard must be suitable for flow rate and their interrelationships.
the sampler’s operating flow rate and must 8.2.2 Calibrate the flow rate transfer stand-
be calibrated against a primary flow or vol- ard against a primary flow or volume stand-
ume standard that is traceable to the Na- ard traceable to NBS. Establish a calibration
tional Bureau of Standards (NBS). The flow relationship (e.g., an equation or family of
rate transfer standard must be capable of curves) such that traceability to the primary
measuring the sampler’s operating flow rate standard is accurate to within 2 percent over
with an accuracy of ±2 percent. the expected range of ambient conditions
7.4 Filter Conditioning Environment. (i.e., temperatures and pressures) under
89
Pt. 50, App. J 40 CFR Ch. I (7–1–21 Edition)
which the transfer standard will be used. Re- tions provided in the sampler manufacturer’s
calibrate the transfer standard periodically. instruction manual. NOTE.—No onsite tem-
8.2.3 Following the sampler manufacturer’s perature or pressure measurements are nec-
instruction manual, remove the sampler essary if the sampler’s flow indicator does
inlet and connect the flow rate transfer not require temperature or pressure correc-
standard to the sampler such that the trans- tions or if seasonal average temperature and
fer standard accurately measures the sam- average barometric pressure for the sam-
pler’s flow rate. Make sure there are no leaks pling site are incorporated into the sampler
between the transfer standard and the sam- calibration (see step 8.2.4). If individual or
pler. daily temperature and pressure corrections
8.2.4 Choose a minimum of three flow rates are required, ambient temperature and baro-
(actual m3/min), spaced over the acceptable metric pressure can be obtained by on-site
flow rate range specified for the inlet (see measurements or from a nearby weather sta-
7.1.2) that can be obtained by suitable adjust- tion. Barometric pressure readings obtained
ment of the sampler flow rate. In accordance from airports must be station pressure, not
with the sampler manufacturer’s instruction corrected to sea level, and may need to be
manual, obtain or verify the calibration re- corrected for differences in elevation be-
lationship between the flow rate (actual m3/ tween the sampling site and the airport.
min) as indicated by the transfer standard 9.7 If the flow rate is outside the accept-
and the sampler’s flow indicator response. able range specified by the manufacturer,
Record the ambient temperature and baro- check for leaks, and if necessary, adjust the
metric pressure. Temperature and pressure flow rate to the specified setpoint. Stop the
corrections to subsequent flow indicator sampler.
readings may be required for certain types of 9.8 Set the timer to start and stop the sam-
flow measurement devices. When such cor- pler at appropriate times. Set the elapsed
rections are necessary, correction on an indi- time meter to zero or record the initial
vidual or daily basis is preferable. However, meter reading.
seasonal average temperature and average
9.9 Record the sample information (site lo-
barometric pressure for the sampling site
cation or identification number, sample
may be incorporated into the sampler cali-
date, filter identification number, and sam-
bration to avoid daily corrections. Consult
pler model and serial number).
the sampler manufacturer’s instruction man-
9.10 Sample for 24 ±1 hours.
ual and Reference 2 for additional guidance.
8.2.5 Following calibration, verify that the 9.11 Determine and record the average flow
sampler is operating at its design flow rate rate (Q̄a) in actual m3/min for the sampling
(actual m3/min) with a clean filter in place. period in accordance with the instructions
8.2.6 Replace the sampler inlet. provided in the sampler manufacturer’s in-
9.0 Procedure. struction manual. Record the elapsed time
9.1 The sampler shall be operated in ac- meter final reading and, if needed, the aver-
cordance with the specific guidance provided age ambient temperature and barometric
in the sampler manufacturer’s instruction pressure for the sampling period (see note
manual and in Reference 2. The general pro- following step 9.6).
cedure given here assumes that the sampler’s 9.12 Carefully remove the filter from the
flow rate calibration is based on flow rates sampler, following the sampler manufactur-
at ambient conditions (Qa) and serves to il- er’s instruction manual. Touch only the
lustrate the steps involved in the operation outer edges of the filter.
of a PM10 sampler. 9.13 Place the filter in a protective holder
9.2 Inspect each filter for pinholes, par- or container (e.g., petri dish, glassine enve-
ticles, and other imperfections. Establish a lope, or manila folder).
filter information record and assign an iden- 9.14 Record any factors such as meteoro-
tification number to each filter. logical conditions, construction activity,
9.3 Equilibrate each filter in the condi- fires or dust storms, etc., that might be per-
tioning environment (see 7.4) for at least 24 tinent to the measurement on the filter in-
hours. formation record.
9.4 Following equilibration, weigh each fil- 9.15 Transport the exposed sample filter to
ter and record the presampling weight with the filter conditioning environment as soon
the filter identification number. as possible for equilibration and subsequent
9.5 Install a preweighed filter in the sam- weighing.
pler following the instructions provided in 9.16 Equilibrate the exposed filter in the
the sampler manufacturer’s instruction man- conditioning environment for at least 24
ual. hours under the same temperature and hu-
9.6 Turn on the sampler and allow it to es- midity conditions used for presampling filter
tablish run-temperature conditions. Record equilibration (see 9.3).
the flow indicator reading and, if needed, the 9.17 Immediately after equilibration, re-
ambient temperature and barometric pres- weigh the filter and record the postsampling
sure. Determine the sampler flow rate (ac- weight with the filter identification number.
tual m3/min) in accordance with the instruc- 10.0 Sampler Maintenance.
90
Environmental Protection Agency Pt. 50, App. K
10.1 The PM10 sampler shall be maintained Analysis of Organic Compounds in Aerosols.
in strict accordance with the maintenance Int. J. Environ. Analyt. Chem., 7:109, 1979.
procedures specified in the sampler manufac- 4. Lee, R.E., Jr., and J. Wagman. A Sam-
turer’s instruction manual. pling Anomaly in the Determination of At-
11.0 Calculations. mospheric Sulfate Concentration. Amer. Ind.
11.1 Calculate the average flow rate over Hyg. Assoc. J., 27:266, 1966.
the sampling period corrected to EPA ref- 5. Appel, B.R., S.M. Wall, Y. Tokiwa, and
erence conditions as Q̄std. When the sampler’s M. Haik. Interference Effects in Sampling
flow indicator is calibrated in actual volu- Particulate Nitrate in Ambient Air. Atmos.
metric units (Qa), Q̄std is calculated as: Environ., 13:319, 1979.
6. Coutant, R.W. Effect of Environmental
Q̄std = Q̄a × (Pav/Tav)(Tstd/Pstd)
Variables on Collection of Atmospheric Sul-
where fate. Environ. Sci. Technol., 11:873, 1977.
Q̄std = average flow rate at EPA reference 7. Spicer, C.W., and P. Schumacher. Inter-
conditions, std m3/min; ference in Sampling Atmospheric Particu-
Q̄a = average flow rate at ambient conditions, late Nitrate. Atmos. Environ., 11:873, 1977.
m3/min; 8. Appel, B.R., Y. Tokiwa, and M. Haik.
Pav = average barometric pressure during the Sampling of Nitrates in Ambient Air. Atmos.
sampling period or average barometric Environ., 15:283, 1981.
pressure for the sampling site, kPa (or 9. Spicer, C.W., and P.M. Schumacher. Par-
mm Hg); ticulate Nitrate: Laboratory and Field Stud-
Tav = average ambient temperature during ies of Major Sampling Interferences. Atmos.
the sampling period or seasonal average Environ., 13:543, 1979.
ambient temperature for the sampling 10. Appel, B.R. Letter to Larry Purdue,
site, K; U.S. EPA, Environmental Monitoring and
Tstd = standard temperature, defined as 298 K; Support Laboratory. March 18, 1982, Docket
Pstd = standard pressure, defined as 101.3 kPa No. A–82–37, II-I-1.
(or 760 mm Hg). 11. Pierson, W.R., W.W. Brachaczek, T.J.
Korniski, T.J. Truex, and J.W. Butler. Arti-
11.2 Calculate the total volume of air sam- fact Formation of Sulfate, Nitrate, and Hy-
pled as: drogen Ion on Backup Filters: Allegheny
Vstd = Q̄std × t Mountain Experiment. J. Air Pollut. Control
where Assoc., 30:30, 1980.
12. Dunwoody, C.L. Rapid Nitrate Loss
Vstd = total air sampled in standard volume
From PM10 Filters. J. Air Pollut. Control
units, std m3;
Assoc., 36:817, 1986.
t = sampling time, min.
13. Harrell, R.M. Measuring the Alkalinity
11.3 Calculate the PM10 concentration as: of Hi-Vol Air Filters. EMSL/RTP-SOP-QAD-
PM10 = (Wf¥Wi) × 106/Vstd 534, October 1985. Available from the U.S. En-
where vironmental Protection Agency, EMSL/QAD,
Research Triangle Park, NC 27711.
PM10 = mass concentration of PM10, μg/std 14. Smith, F., P.S. Wohlschlegel, R.S.C.
m3; Rogers, and D.J. Mulligan. Investigation of
Wf, Wi = final and initial weights of filter col- Flow Rate Calibration Procedures Associ-
lecting PM1O particles, g; ated With the High Volume Method for De-
106 = conversion of g to μg. termination of Suspended Particulates.
NOTE: If more than one size fraction in the EPA–600/4–78–047, U.S. Environmental Pro-
PM10 size range is collected by the sampler, tection Agency, Research Triangle Park, NC
the sum of the net weight gain by each col- 27711, 1978.
lection filter [S(Wf¥Wi)] is used to calculate
[52 FR 24664, July 1, 1987; 52 FR 29467, Aug. 7,
the PM10 mass concentration.
1987]
12.0 References.
APPENDIX K TO PART 50—INTERPRETA-
lution Measurement Systems, Volume I,
TION OF THE NATIONAL AMBIENT AIR
Principles. EPA–600/9–76–005, March 1976.
Available from CERI, ORD Publications, QUALITY STANDARDS FOR PARTICU-
U.S. Environmental Protection Agency, 26 LATE MATTER
West St. Clair Street, Cincinnati, OH 45268.
1.0 General
lution Measurement Systems, Volume II, (a) This appendix explains the computa-
Ambient Air Specific Methods. EPA–600/4–77– tions necessary for analyzing particulate
027a, May 1977. Available from CERI, ORD matter data to determine attainment of the
Publications, U.S. Environmental Protection 24-hour standards specified in 40 CFR 50.6.
Agency, 26 West St. Clair Street, Cincinnati, For the primary and secondary standards,
OH 45268. particulate matter is measured in the ambi-
3. Clement, R.E., and F.W. Karasek. Sam- ent air as PM10 (particles with an aero-
ple Composition Changes in Sampling and dynamic diameter less than or equal to a
91
Pt. 50, App. K 40 CFR Ch. I (7–1–21 Edition)
nominal 10 micrometers) by a reference 2.2 Reserved
method based on appendix J of this part and
designated in accordance with part 53 of this 2.3 Data Requirements
chapter, or by an equivalent method des- (a) 40 CFR 58.12 specifies the required min-
ignated in accordance with part 53 of this imum frequency of sampling for PM10. For
chapter. The required frequency of measure- the purposes of making comparisons with
ments is specified in part 58 of this chapter. the particulate matter standards, all data
(b) The terms used in this appendix are de- produced by State and Local Air Monitoring
fined as follows: Stations (SLAMS) and other sites submitted
Average refers to the arithmetic mean of to EPA in accordance with the part 58 re-
the estimated number of exceedances per quirements must be used, and a minimum of
year, as per Section 3.1. 75 percent of the scheduled PM10 samples per
Daily value for PM10 refers to the 24-hour quarter are required.
average concentration of PM10 calculated or (b) To demonstrate attainment of the 24-
measured from midnight to midnight (local hour standards at a monitoring site, the
time). monitor must provide sufficient data to per-
Exceedance means a daily value that is form the required calculations of sections 3.0
above the level of the 24-hour standard after and 4.0 of this appendix. The amount of data
rounding to the nearest 10 μg/m3 (i.e., values required varies with the sampling frequency,
ending in 5 or greater are to be rounded up). data capture rate and the number of years of
Expected annual value is the number ap- record. In all cases, 3 years of representative
proached when the annual values from an in- monitoring data that meet the 75 percent
creasing number of years are averaged, in criterion of the previous paragraph should be
the absence of long-term trends in emissions utilized, if available, and would suffice. More
or meteorological conditions. than 3 years may be considered, if all addi-
Year refers to a calendar year. tional representative years of data meeting
(c) Although the discussion in this appen- the 75 percent criterion are utilized. Data
dix focuses on monitored data, the same not meeting these criteria may also suffice
principles apply to modeling data, subject to to show attainment; however, such excep-
tions will have to be approved by the appro-
EPA modeling guidelines.
priate Regional Administrator in accordance
2.0 Attainment Determinations with EPA guidance.
(c) There are less stringent data require-
2.1 24-Hour Primary and Secondary Standards ments for showing that a monitor has failed
an attainment test and thus has recorded a
(a) Under 40 CFR 50.6(a) the 24-hour pri- violation of the particulate matter stand-
mary and secondary standards are attained ards. Although it is generally necessary to
when the expected number of exceedances meet the minimum 75 percent data capture
per year at each monitoring site is less than requirement per quarter to use the computa-
or equal to one. In the simplest case, the tional equations described in section 3.0 of
number of expected exceedances at a site is this appendix, this criterion does not apply
determined by recording the number of when less data is sufficient to unambig-
exceedances in each calendar year and then uously establish nonattainment. The fol-
averaging them over the past 3 calendar lowing examples illustrate how nonattain-
years. Situations in which 3 years of data are ment can be demonstrated when a site fails
not available and possible adjustments for to meet the completeness criteria. Non-
unusual events or trends are discussed in attainment of the 24-hour primary standards
sections 2.3 and 2.4 of this appendix. Further, can be established by the observed annual
when data for a year are incomplete, it is number of exceedances (e.g., four observed
necessary to compute an estimated number exceedances in a single year), or by the esti-
of exceedances for that year by adjusting the mated number of exceedances derived from
observed number of exceedances. This proce- the observed number of exceedances and the
dure, performed by calendar quarter, is de- required number of scheduled samples (e.g.,
scribed in section 3.0 of this appendix. The two observed exceedances with every other
expected number of exceedances is then esti- day sampling). In both cases, expected an-
mated by averaging the individual annual es- nual values must exceed the levels allowed
timates for the past 3 years. by the standards.
(b) The comparison with the allowable ex-
2.4 Adjustment for Exceptional Events and
pected exceedance rate of one per year is
Trends
made in terms of a number rounded to the
nearest tenth (fractional values equal to or (a) An exceptional event is an uncontrol-
greater than 0.05 are to be rounded up; e.g., lable event caused by natural sources of par-
an exceedance rate of 1.05 would be rounded ticulate matter or an event that is not ex-
to 1.1, which is the lowest rate for nonattain- pected to recur at a given location. Inclusion
ment). of such a value in the computation of
92
Environmental Protection Agency Pt. 50, App. K
exceedances or averages could result in inap-
propriate estimates of their respective ex- Equation 1
pected annual values. To reduce the effect of
unusual events, more than 3 years of rep- ⎛ Nq ⎞
eq = vq × ⎜ ⎟⎟
resentative data may be used. Alternatively, ⎜n
other techniques, such as the use of statis- ⎝ q ⎠
tical models or the use of historical data Where:
could be considered so that the event may be eq = the estimated number of exceedances for
discounted or weighted according to the calendar quarter q;
likelihood that it will recur. The use of such vq = the observed number of exceedances for
techniques is subject to the approval of the calendar quarter q;
appropriate Regional Administrator in ac- Nq = the number of days in calendar quarter
cordance with EPA guidance. q;
(b) In cases where long-term trends in nq = the number of days in calendar quarter
emissions and air quality are evident, math- q with PM10 data; and
ematical techniques should be applied to ac- q = the index for calendar quarter, q = 1, 2,
count for the trends to ensure that the ex- 3 or 4.
pected annual values are not inappropriately (b) The estimated number of exceedances
biased by unrepresentative data. In the sim- for a calendar quarter must be rounded to
plest case, if 3 years of data are available the nearest hundredth (fractional values
under stable emission conditions, this data equal to or greater than 0.005 must be round-
should be used. In the event of a trend or ed up).
shift in emission patterns, either the most (c) The estimated number of exceedances
recent representative year(s) could be used for the year, e, is the sum of the estimates
or statistical techniques or models could be for each calendar quarter.
used in conjunction with previous years of
data to adjust for trends. The use of less Equation 2
than 3 years of data, and any adjustments 4
are subject to the approval of the appro- e = ∑ eq
priate Regional Administrator in accordance
q =1
with EPA guidance.
(d) The estimated number of exceedances
3.0 Computational Equations for the 24-Hour for a single year must be rounded to one dec-
Standards imal place (fractional values equal to or
greater than 0.05 are to be rounded up). The
3.1 Estimating Exceedances for a Year expected number of exceedances is then esti-
mated by averaging the individual annual es-
(a) If PM10 sampling is scheduled less fre-
timates for the most recent 3 or more rep-
quently than every day, or if some scheduled
resentative years of data. The expected num-
samples are missed, a PM10 value will not be
ber of exceedances must be rounded to one
available for each day of the year. To ac- decimal place (fractional values equal to or
count for the possible effect of incomplete greater than 0.05 are to be rounded up).
data, an adjustment must be made to the (e) The adjustment for incomplete data
data collected at each monitoring location will not be necessary for monitoring or mod-
to estimate the number of exceedances in a eling data which constitutes a complete
calendar year. In this adjustment, the as- record, i.e., 365 days per year.
sumption is made that the fraction of miss- (f) To reduce the potential for overesti-
ing values that would have exceeded the mating the number of expected exceedances,
standard level is identical to the fraction of the correction for missing data will not be
measured values above this level. This com- required for a calendar quarter in which the
putation is to be made for all sites that are first observed exceedance has occurred if:
scheduled to monitor throughout the entire (1) There was only one exceedance in the
year and meet the minimum data require- calendar quarter;
ments of section 2.3 of this appendix. Be- (2) Everyday sampling is subsequently ini-
cause of possible seasonal imbalance, this tiated and maintained for 4 calendar quar-
adjustment shall be applied on a quarterly ters in accordance with 40 CFR 58.12; and
(3) Data capture of 75 percent is achieved
basis. The estimate of the expected number
during the required period of everyday sam-
of exceedances for the quarter is equal to the
pling. In addition, if the first exceedance is
observed number of exceedances plus an in- observed in a calendar quarter in which the
crement associated with the missing data. monitor is already sampling every day, no
The following equation must be used for adjustment for missing data will be made to
ER17OC06.001</MATH>
these computations: the first exceedance if a 75 percent data cap-

ture rate was achieved in the quarter in
which it was observed.
93
ER17OC06.000</MATH>
Pt. 50, App. L 40 CFR Ch. I (7–1–21 Edition)
Example 1
a. During a particular calendar quarter, 39
Equation 3
out of a possible 92 samples were recorded,
⎛ Nq ⎞ mq ⎛ v j ⎞
with one observed exceedance of the 24-hour
eq = ⎜
⎜m ⎟⎟ × ∑ ⎜⎜ ⎟⎟
⎠ j= l ⎝ k j ⎠
standard. Using Equation 1, the estimated
number of exceedances for the quarter is: ⎝ q
eq = 1 × 92/39 = 2.359 or 2.36. Where:
b. If the estimated exceedances for the eq = the estimated number of exceedances for
other 3 calendar quarters in the year were the quarter;
2.30, 0.0 and 0.0, then, using Equation 2, the Nq = the number of days in the quarter;
estimated number of exceedances for the mq = the number of strata with samples dur-
year is 2.36 + 2.30 + 0.0 + 0.0 which equals 4.66 ing the quarter;
or 4.7. If no exceedances were observed for vj = the number of observed exceedances in
the 2 previous years, then the expected num- stratum j; and
ber of exceedances is estimated by: (1⁄3) × (4.7 kj = the number of actual samples in stratum
+ 0 + 0) = 1.57 or 1.6. Since 1.6 exceeds the al- j.
lowable number of expected exceedances, (c) Note that if only one sample value is re-
this monitoring site would fail the attain- corded in each stratum, then Equation 3 re-
ment test. duces to Equation 1.
Example 2 Example 3
In this example, everyday sampling was A monitoring site samples according to a
initiated following the first observed exceed- systematic sampling schedule of one sample
ance as required by 40 CFR 58.12. Accord- every 6 days, for a total of 15 scheduled sam-
ingly, the first observed exceedance would ples in a quarter out of a total of 92 possible
not be adjusted for incomplete sampling. samples. During one 6-day period, potential
During the next three quarters, 1.2 episode levels of PM10 were suspected, so 5
exceedances were estimated. In this case, the additional samples were taken. One of the
estimated exceedances for the year would be regular scheduled samples was missed, so a
1.0 + 1.2 + 0.0 + 0.0 which equals 2.2. If, as be- total of 19 samples in 14 sampling strata
fore, no exceedances were observed for the were measured. The one 6-day sampling stra-
two previous years, then the estimated tum with 6 samples recorded 2 exceedances.
exceedances for the 3-year period would then The remainder of the quarter with one sam-
be (1⁄3) × (2.2 + 0.0 + 0.0) = 0.7, and the moni- ple per stratum recorded zero exceedances.
toring site would not fail the attainment Using Equation 3, the estimated number of
test. exceedances for the quarter is:
Eq = (92/14) × (2/6 + 0 + . . . + 0) = 2.19.
3.2 Adjustments for Non-Scheduled Sampling
Days [71 FR 61224, Oct. 17, 2006]
(a) If a systematic sampling schedule is APPENDIX L TO PART 50—REFERENCE

used and sampling is performed on days in METHOD FOR THE DETERMINATION OF
addition to the days specified by the system- FINE PARTICULATE MATTER AS PM2.5
atic sampling schedule, e.g., during episodes
IN THE ATMOSPHERE
of high pollution, then an adjustment must
be made in the equation for the estimation 1.0 Applicability.
of exceedances. Such an adjustment is need- 1.1 This method provides for the measure-
ed to eliminate the bias in the estimate of ment of the mass concentration of fine par-
the quarterly and annual number of ticulate matter having an aerodynamic di-
exceedances that would occur if the chance ameter less than or equal to a nominal 2.5
of an exceedance is different for scheduled micrometers (PM2.5) in ambient air over a 24-
than for non-scheduled days, as would be the hour period for purposes of determining
case with episode sampling. whether the primary and secondary national
(b) The required adjustment treats the sys- ambient air quality standards for fine partic-
tematic sampling schedule as a stratified ulate matter specified in § 50.7 and § 50.13 of
sampling plan. If the period from one sched- this part are met. The measurement process
uled sample until the day preceding the next is considered to be nondestructive, and the
scheduled sample is defined as a sampling PM2.5 sample obtained can be subjected to
stratum, then there is one stratum for each subsequent physical or chemical analyses.
scheduled sampling day. An average number Quality assessment procedures are provided
of observed exceedances is computed for each in part 58, appendix A of this chapter, and
of these sampling strata. With nonscheduled quality assurance guidance are provided in
sampling days, the estimated number of references 1, 2, and 3 in section 13.0 of this
exceedances is defined as: appendix.
94
ER17OC06.002</MATH>
Environmental Protection Agency Pt. 50, App. L
1.2 This method will be considered a ref- m3 while maintaining the operating flow rate
erence method for purposes of part 58 of this within the specified limits.
chapter only if: 3.3 Sample period. The required sample pe-
(a) The associated sampler meets the re- riod for PM2.5 concentration measurements
quirements specified in this appendix and by this method shall be 1,380 to 1500 minutes
the applicable requirements in part 53 of this (23 to 25 hours). However, when a sample pe-
chapter, and riod is less than 1,380 minutes, the measured
(b) The method and associated sampler concentration (as determined by the col-
have been designated as a reference method lected PM2.5 mass divided by the actual sam-
in accordance with part 53 of this chapter. pled air volume), multiplied by the actual
1.3 PM2.5 samplers that meet nearly all
number of minutes in the sample period and
specifications set forth in this method but
divided by 1,440, may be used as if it were a
have minor deviations and/or modifications
of the reference method sampler will be des- valid concentration measurement for the
ignated as ‘‘Class I’’ equivalent methods for specific purpose of determining a violation of
PM2.5 in accordance with part 53 of this chap- the NAAQS. This value assumes that the
ter. PM2.5 concentration is zero for the remaining
2.0 Principle. portion of the sample period and therefore
2.1 An electrically powered air sampler represents the minimum concentration that
draws ambient air at a constant volumetric could have been measured for the full 24-hour
flow rate into a specially shaped inlet and sample period. Accordingly, if the value thus
through an inertial particle size separator calculated is high enough to be an exceed-
(impactor) where the suspended particulate ance, such an exceedance would be a valid
matter in the PM2.5 size range is separated exceedance for the sample period. When re-
for collection on a polytetrafluoroethylene ported to AIRS, this data value should re-
(PTFE) filter over the specified sampling pe- ceive a special code to identify it as not to be
riod. The air sampler and other aspects of commingled with normal concentration
this reference method are specified either ex- measurements or used for other purposes.
plicitly in this appendix or generally with 4.0 Accuracy.
reference to other applicable regulations or 4.1 Because the size and volatility of the
quality assurance guidance. particles making up ambient particulate
2.2 Each filter is weighed (after moisture matter vary over a wide range and the mass
and temperature conditioning) before and concentration of particles varies with par-
after sample collection to determine the net ticle size, it is difficult to define the accu-
gain due to collected PM2.5. The total volume racy of PM2.5 measurements in an absolute
of air sampled is determined by the sampler sense. The accuracy of PM2.5 measurements
from the measured flow rate at actual ambi- is therefore defined in a relative sense, ref-
ent temperature and pressure and the sam- erenced to measurements provided by this
pling time. The mass concentration of PM2.5 reference method. Accordingly, accuracy
in the ambient air is computed as the total shall be defined as the degree of agreement
mass of collected particles in the PM2.5 size between a subject field PM2.5 sampler and a
range divided by the actual volume of air
collocated PM2.5 reference method audit
sampled, and is expressed in micrograms per
sampler operating simultaneously at the
cubic meter of air (μg/m3).
monitoring site location of the subject sam-
3.0 PM2.5 Measurement Range.
pler and includes both random (precision)
3.1 Lower concentration limit. The lower de-
and systematic (bias) errors. The require-
tection limit of the mass concentration
ments for this field sampler audit procedure
measurement range is estimated to be ap-
proximately 2 μg/m3, based on noted mass are set forth in part 58, appendix A of this
changes in field blanks in conjunction with chapter.
the 24 m3 nominal total air sample volume 4.2 Measurement system bias. Results of col-
specified for the 24-hour sample. located measurements where the duplicate
3.2 Upper concentration limit. The upper sampler is a reference method sampler are
limit of the mass concentration range is de- used to assess a portion of the measurement
termined by the filter mass loading beyond system bias according to the schedule and
which the sampler can no longer maintain procedure specified in part 58, appendix A of
the operating flow rate within specified lim- this chapter.
its due to increased pressure drop across the 4.3 Audits with reference method samplers to
loaded filter. This upper limit cannot be determine system accuracy and bias. According
specified precisely because it is a complex to the schedule and procedure specified in
function of the ambient particle size dis- part 58, appendix A of this chapter, a ref-
tribution and type, humidity, the individual erence method sampler is required to be lo-
filter used, the capacity of the sampler flow cated at each of selected PM2.5 SLAMS sites
rate control system, and perhaps other fac- as a duplicate sampler. The results from the
tors. Nevertheless, all samplers are esti- primary sampler and the duplicate reference
mated to be capable of measuring 24-hour method sampler are used to calculate accu-
PM2.5 mass concentrations of at least 200 μg/ racy of the primary sampler on a quarterly
95
basis, bias of the primary sampler on an an- 6.6 Maximum pressure drop (clean filter). 30
nual basis, and bias of a single reporting or- cm H2O column @ 16.67 L/min clean air flow.
ganization on an annual basis. Reference 2 in 6.7 Maximum moisture pickup. Not more
section 13.0 of this appendix provides addi- than 10 μg weight increase after 24-hour ex-
tional information and guidance on these posure to air of 40 percent relative humidity,
reference method audits. relative to weight after 24-hour exposure to
4.4 Flow rate accuracy and bias. Part 58, ap- air of 35 percent relative humidity.
pendix A of this chapter requires that the 6.8 Collection efficiency. Greater than 99.7
flow rate accuracy and bias of individual percent, as measured by the DOP test (ASTM
PM2.5 samplers used in SLAMS monitoring D 2986–91) with 0.3 μm particles at the sam-
networks be assessed periodically via audits pler’s operating face velocity.
of each sampler’s operational flow rate. In 6.9 Filter weight stability. Filter weight loss
addition, part 58, appendix A of this chapter shall be less than 20 μg, as measured in each
requires that flow rate bias for each ref- of the following two tests specified in sec-
erence and equivalent method operated by tions 6.9.1 and 6.9.2 of this appendix. The fol-
each reporting organization be assessed lowing conditions apply to both of these
quarterly and annually. Reference 2 in sec- tests: Filter weight loss shall be the average
tion 13.0 of this appendix provides additional difference between the initial and the final
information and guidance on flow rate accu- filter weights of a random sample of test fil-
racy audits and calculations for accuracy ters selected from each lot prior to sale. The
and bias.
number of filters tested shall be not less
5.0 Precision. A data quality objective of 10
than 0.1 percent of the filters of each manu-
percent coefficient of variation or better has
facturing lot, or 10 filters, whichever is
been established for the operational preci-
greater. The filters shall be weighed under
sion of PM2.5 monitoring data.
laboratory conditions and shall have had no
5.1 Tests to establish initial operational
air sample passed through them, i.e., filter
precision for each reference method sampler
blanks. Each test procedure must include
are specified as a part of the requirements
for designation as a reference method under initial conditioning and weighing, the test,
§ 53.58 of this chapter. and final conditioning and weighing. Condi-
5.2 Measurement System Precision. Collo- tioning and weighing shall be in accordance
cated sampler results, where the duplicate with sections 8.0 through 8.2 of this appendix
sampler is not a reference method sampler and general guidance provided in reference 2
but is a sampler of the same designated of section 13.0 of this appendix.
method as the primary sampler, are used to 6.9.1 Test for loose, surface particle contami-
assess measurement system precision ac- nation. After the initial weighing, install
cording to the schedule and procedure speci- each test filter, in turn, in a filter cassette
fied in part 58, appendix A of this chapter. (Figures L–27, L–28, and L–29 of this appen-
Part 58, appendix A of this chapter requires dix) and drop the cassette from a height of 25
that these collocated sampler measurements cm to a flat hard surface, such as a particle-
be used to calculate quarterly and annual free wood bench. Repeat two times, for a
precision estimates for each primary sam- total of three drop tests for each test filter.
pler and for each designated method em- Remove the test filter from the cassette and
ployed by each reporting organization. Ref- weigh the filter. The average change in
erence 2 in section 13.0 of this appendix pro- weight must be less than 20 μg.
vides additional information and guidance 6.9.2 Test for temperature stability. After
on this requirement. weighing each filter, place the test filters in
6.0 Filter for PM2.5 Sample Collection. Any fil- a drying oven set at 40 °C ±2 °C for not less
ter manufacturer or vendor who sells or of- than 48 hours. Remove, condition, and re-
fers to sell filters specifically identified for weigh each test filter. The average change in
use with this PM2.5 reference method shall weight must be less than 20 μg.
certify that the required number of filters 6.10 Alkalinity. Less than 25 microequiva-
from each lot of filters offered for sale as lents/gram of filter, as measured by the guid-
such have been tested as specified in this sec- ance given in reference 2 in section 13.0 of
tion 6.0 and meet all of the following design this appendix.
and performance specifications. 6.11 Supplemental requirements. Although
6.1 Size. Circular, 46.2 mm diameter ±0.25 not required for determination of PM2.5 mass
mm. concentration under this reference method,
6.2 Medium. Polytetrafluoroethylene additional specifications for the filter must
(PTFE Teflon), with integral support ring. be developed by users who intend to subject
6.3 Support ring. Polymethylpentene (PMP) PM2.5 filter samples to subsequent chemical
or equivalent inert material, 0.38 ±0.04 mm analysis. These supplemental specifications
thick, outer diameter 46.2 mm ±0.25 mm, and include background chemical contamination
width of 3.68 mm (±0.00, ¥0.51 mm). of the filter and any other filter parameters
6.4 Pore size. 2 μm as measured by ASTM F that may be required by the method of chem-
316–94. ical analysis. All such supplemental filter
6.5 Filter thickness. 30 to 50 μm. specifications must be compatible with and
96
secondary to the primary filter specifica- 7.3.1 Sample inlet assembly. The sample inlet
tions given in this section 6.0 of this appen- assembly, consisting of the inlet, downtube,
dix. and impactor shall be configured and assem-
7.0 PM2.5 Sampler. bled as indicated in Figure L–1 of this appen-
7.1 Configuration. The sampler shall consist dix and shall meet all associated require-
of a sample air inlet, downtube, particle size ments. A portion of this assembly shall also
separator (impactor), filter holder assembly, be subject to the maximum overall sampler
air pump and flow rate control system, flow leak rate specification under section 7.4.6 of
rate measurement device, ambient and filter this appendix.
temperature monitoring system, barometric 7.3.2 Inlet. The sample inlet shall be fab-
pressure measurement system, timer, out- ricated as indicated in Figures L–2 through
door environmental enclosure, and suitable L–18 of this appendix and shall meet all asso-
mechanical, electrical, or electronic control ciated requirements.
capability to meet or exceed the design and 7.3.3 Downtube. The downtube shall be fab-
functional performance as specified in this ricated as indicated in Figure L–19 of this ap-
section 7.0 of this appendix. The performance pendix and shall meet all associated require-
specifications require that the sampler: ments.
(a) Provide automatic control of sample 7.3.4 Particle size separator. The sampler
volumetric flow rate and other operational shall be configured with either one of the
parameters. two alternative particle size separators de-
(b) Monitor these operational parameters scribed in this section 7.3.4. One separator is
as well as ambient temperature and pressure. an impactor-type separator (WINS impactor)
(c) Provide this information to the sampler described in sections 7.3.4.1, 7.3.4.2, and 7.3.4.3
operator at the end of each sample period in of this appendix. The alternative separator is
digital form, as specified in table L–1 of sec- a cyclone-type separator (VSCC TM) de-
tion 7.4.19 of this appendix. scribed in section 7.3.4.4 of this appendix.
7.2 Nature of specifications. The PM2.5 sam- 7.3.4.1 The impactor (particle size sepa-
pler is specified by a combination of design rator) shall be fabricated as indicated in Fig-
and performance requirements. The sample ures L–20 through L–24 of this appendix and
inlet, downtube, particle size discriminator, shall meet all associated requirements. Fol-
filter cassette, and the internal configura- lowing the manufacture and finishing of each
tion of the filter holder assembly are speci- upper impactor housing (Figure L–21 of this
fied explicitly by design figures and associ- appendix), the dimension of the impaction
ated mechanical dimensions, tolerances, ma- jet must be verified by the manufacturer
terials, surface finishes, assembly instruc- using Class ZZ go/no-go plug gauges that are
tions, and other necessary specifications. All traceable to NIST.
other aspects of the sampler are specified by 7.3.4.2 Impactor filter specifications:
required operational function and perform- (a) Size. Circular, 35 to 37 mm diameter.
ance, and the design of these other aspects (b) Medium. Borosilicate glass fiber, with-
(including the design of the lower portion of out binder.
the filter holder assembly) is optional, sub- (c) Pore size. 1 to 1.5 micrometer, as meas-
ject to acceptable operational performance. ured by ASTM F 316–80.
Test procedures to demonstrate compliance (d) Thickness. 300 to 500 micrometers.
with both the design and performance re- 7.3.4.3 Impactor oil specifications:
quirements are set forth in subpart E of part (a) Composition. Dioctyl sebacate (DOS),
53 of this chapter. single-compound diffusion oil.
7.3 Design specifications. Except as indicated (b) Vapor pressure. Maximum 2 × 10¥8 mm
in this section 7.3 of this appendix, these Hg at 25 °C.
components must be manufactured or repro- (c) Viscosity. 36 to 40 centistokes at 25 °C.
duced exactly as specified, in an ISO 9001- (d) Density. 1.06 to 1.07 g/cm3 at 25 °C.
registered facility, with registration ini- (e) Quantity. 1 mL ±0.1 mL.
tially approved and subsequently maintained 7.3.4.4 The cyclone-type separator is iden-
during the period of manufacture. See tified as a BGI VSCC TM Very Sharp Cut Cy-
§ 53.1(t) of this chapter for the definition of clone particle size separator specified as part
an ISO-registered facility. Minor modifica- of EPA-designated equivalent method
tions or variances to one or more compo- EQPM–0202–142 (67 FR 15567, April 2, 2002) and
nents that clearly would not affect the aero- as manufactured by BGI Incorporated, 58
dynamic performance of the inlet, downtube, Guinan Street, Waltham, Massachusetts
impactor, or filter cassette will be consid- 20451.
ered for specific approval. Any such proposed 7.3.5 Filter holder assembly. The sampler
modifications shall be described and sub- shall have a sample filter holder assembly to
mitted to the EPA for specific individual ac- adapt and seal to the down tube and to hold
ceptability either as part of a reference or and seal the specified filter, under section 6.0
equivalent method application under part 53 of this appendix, in the sample air stream in
of this chapter or in writing in advance of a horizontal position below the downtube
such an intended application under part 53 of such that the sample air passes downward
this chapter. through the filter at a uniform face velocity.
97
The upper portion of this assembly shall be porting surface to prevent toppling of the
fabricated as indicated in Figures L–25 and sampler due to wind.
L–26 of this appendix and shall accept and 7.4 Performance specifications.
seal with the filter cassette, which shall be 7.4.1 Sample flow rate. Proper operation of
fabricated as indicated in Figures L–27 the impactor requires that specific air ve-
through L–29 of this appendix. locities be maintained through the device.
(a) The lower portion of the filter holder Therefore, the design sample air flow rate
assembly shall be of a design and construc- through the inlet shall be 16.67 L/min (1.000
tion that: m3/hour) measured as actual volumetric flow
(1) Mates with the upper portion of the as- rate at the temperature and pressure of the
sembly to complete the filter holder assem- sample air entering the inlet.
bly, 7.4.2 Sample air flow rate control system. The
(2) Completes both the external air seal sampler shall have a sample air flow rate
and the internal filter cassette seal such control system which shall be capable of pro-
that all seals are reliable over repeated filter viding a sample air volumetric flow rate
changings, and within the specified range, under section
(3) Facilitates repeated changing of the fil- 7.4.1 of this appendix, for the specified filter,
ter cassette by the sampler operator. under section 6.0 of this appendix, at any at-
(b) Leak-test performance requirements mospheric conditions specified, under sec-
for the filter holder assembly are included in tion 7.4.7 of this appendix, at a filter pressure
section 7.4.6 of this appendix. drop equal to that of a clean filter plus up to
(c) If additional or multiple filters are 75 cm water column (55 mm Hg), and over the
stored in the sampler as part of an auto- specified range of supply line voltage, under
matic sequential sample capability, all such section 7.4.15.1 of this appendix. This flow
filters, unless they are currently and di- control system shall allow for operator ad-
rectly installed in a sampling channel or justment of the operational flow rate of the
sampling configuration (either active or in- sampler over a range of at least ±15 percent
active), shall be covered or (preferably) of the flow rate specified in section 7.4.1 of
sealed in such a way as to: this appendix.
(1) Preclude significant exposure of the fil- 7.4.3 Sample flow rate regulation. The sample
ter to possible contamination or accumula- flow rate shall be regulated such that for the
tion of dust, insects, or other material that specified filter, under section 6.0 of this ap-
may be present in the ambient air, sampler, pendix, at any atmospheric conditions speci-
or sampler ventilation air during storage pe- fied, under section 7.4.7 of this appendix, at a
riods either before or after sampling; and filter pressure drop equal to that of a clean
(2) To minimize loss of volatile or semi- filter plus up to 75 cm water column (55 mm
volatile PM sample components during stor- Hg), and over the specified range of supply
age of the filter following the sample period. line voltage, under section 7.4.15.1 of this ap-
7.3.6 Flow rate measurement adapter. A flow pendix, the flow rate is regulated as follows:
rate measurement adapter as specified in 7.4.3.1 The volumetric flow rate, measured
Figure L–30 of this appendix shall be fur- or averaged over intervals of not more than
nished with each sampler. 5 minutes over a 24-hour period, shall not
7.3.7 Surface finish. All internal surfaces ex- vary more than ±5 percent from the specified
posed to sample air prior to the filter shall 16.67 L/min flow rate over the entire sample
be treated electrolytically in a sulfuric acid period.
bath to produce a clear, uniform anodized 7.4.3.2 The coefficient of variation (sample
surface finish of not less than 1000 mg/ft2 standard deviation divided by the mean) of
(1.08 mg/cm2) in accordance with military the flow rate, measured over a 24-hour pe-
standard specification (mil. spec.) 8625F, riod, shall not be greater than 2 percent.
Type II, Class 1 in reference 4 of section 13.0 7.4.3.3 The amplitude of short-term flow
of this appendix. This anodic surface coating rate pulsations, such as may originate from
shall not be dyed or pigmented. Following some types of vacuum pumps, shall be at-
anodization, the surfaces shall be sealed by tenuated such that they do not cause signifi-
immersion in boiling deionized water for not cant flow measurement error or affect the
less than 15 minutes. Section 53.51(d)(2) of collection of particles on the particle collec-
this chapter should also be consulted. tion filter.
7.3.8 Sampling height. The sampler shall be 7.4.4 Flow rate cut off. The sampler’s sample
equipped with legs, a stand, or other means air flow rate control system shall terminate
to maintain the sampler in a stable, upright sample collection and stop all sample flow
position and such that the center of the sam- for the remainder of the sample period in the
ple air entrance to the inlet, during sample event that the sample flow rate deviates by
collection, is maintained in a horizontal more than 10 percent from the sampler de-
plane and is 2.0 ±0.2 meters above the floor or sign flow rate specified in section 7.4.1 of this
other horizontal supporting surface. Suitable appendix for more than 60 seconds. However,
bolt holes, brackets, tie-downs, or other this sampler cut-off provision shall not apply
means should be provided to facilitate me- during periods when the sampler is inoper-
chanically securing the sample to the sup- ative due to a temporary power interruption,
98
and the elapsed time of the inoperative pe- struction Manual, under section 7.4.18 of this
riod shall not be included in the total sample appendix, and all other necessary functional
time measured and reported by the sampler, capability to permit and facilitate the sam-
under section 7.4.13 of this appendix. pler operator to conveniently carry out a
7.4.5 Flow rate measurement. leak test of the sampler at a field moni-
7.4.5.1 The sampler shall provide a means toring site without additional equipment.
to measure and indicate the instantaneous The sampler components to be subjected to
sample air flow rate, which shall be meas- this leak test include all components and
ured as volumetric flow rate at the tempera- their interconnections in which external air
ture and pressure of the sample air entering leakage would or could cause an error in the
the inlet, with an accuracy of ±2 percent. sampler’s measurement of the total volume
The measured flow rate shall be available for
of sample air that passes through the sample
display to the sampler operator at any time
filter.
in either sampling or standby modes, and the
measurement shall be updated at least every (a) The suggested technique for the oper-
30 seconds. The sampler shall also provide a ator to use for this leak test is as follows:
simple means by which the sampler operator (1) Remove the sampler inlet and installs
can manually start the sample flow tempo- the flow rate measurement adapter supplied
rarily during non-sampling modes of oper- with the sampler, under section 7.3.6 of this
ation, for the purpose of checking the sample appendix.
flow rate or the flow rate measurement sys- (2) Close the valve on the flow rate meas-
tem. urement adapter and use the sampler air
7.4.5.2 During each sample period, the sam- pump to draw a partial vacuum in the sam-
pler’s flow rate measurement system shall pler, including (at least) the impactor, filter
automatically monitor the sample volu- holder assembly (filter in place), flow meas-
metric flow rate, obtaining flow rate measurement device, and interconnections be-
urements at intervals of not greater than 30 tween these devices, of at least 55 mm Hg (75
seconds. cm water column), measured at a location
(a) Using these interval flow rate measure- downstream of the filter holder assembly.
ments, the sampler shall determine or cal- (3) Plug the flow system downstream of
culate the following flow-related parameters, these components to isolate the components
scaled in the specified engineering units:
under vacuum from the pump, such as with a
(1) The instantaneous or interval-average
built-in valve.
flow rate, in L/min.
(2) The value of the average sample flow (4) Stop the pump.
rate for the sample period, in L/min. (5) Measure the trapped vacuum in the
(3) The value of the coefficient of variation sampler with a built-in pressure measuring
(sample standard deviation divided by the device.
average) of the sample flow rate for the sam- (6) (i) Measure the vacuum in the sampler
ple period, in percent. with the built-in pressure measuring device
(4) The occurrence of any time interval again at a later time at least 10 minutes
during the sample period in which the meas- after the first pressure measurement.
ured sample flow rate exceeds a range of ±5 (ii) CAUTION: Following completion of the
percent of the average flow rate for the sam- test, the adaptor valve should be opened
ple period for more than 5 minutes, in which slowly to limit the flow rate of air into the
case a warning flag indicator shall be set. sampler. Excessive air flow rate may blow
(5) The value of the integrated total sam- oil out of the impactor.
ple volume for the sample period, in m3. (7) Upon completion of the test, open the
(b) Determination or calculation of these adaptor valve, remove the adaptor and plugs,
values shall properly exclude periods when and restore the sampler to the normal oper-
the sampler is inoperative due to temporary ating configuration.
interruption of electrical power, under sec-
(b) The associated leak test procedure
tion 7.4.13 of this appendix, or flow rate cut
shall require that for successful passage of
off, under section 7.4.4 of this appendix.
(c) These parameters shall be accessible to this test, the difference between the two
the sampler operator as specified in table L– pressure measurements shall not be greater
1 of section 7.4.19 of this appendix. In addi- than the number of mm of Hg specified for
tion, it is strongly encouraged that the flow the sampler by the manufacturer, based on
rate for each 5-minute interval during the the actual internal volume of the sampler,
sample period be available to the operator that indicates a leak of less than 80 mL/min.
following the end of the sample period. (c) Variations of the suggested technique
7.4.6 Leak test capability. or an alternative external leak test tech-
7.4.6.1 External leakage. The sampler shall nique may be required for samplers whose
include an external air leak-test capability design or configuration would make the sug-
consisting of components, accessory hard- gested technique impossible or impractical.
ware, operator interface controls, a written The specific proposed external leak test pro-
procedure in the associated Operation/In- cedure, or particularly an alternative leak
99
test technique, proposed for a particular can- practical. The specific proposed internal leak
didate sampler may be described and sub- test procedure, or particularly an alternative
mitted to the EPA for specific individual ac- internal leak test technique proposed for a
ceptability either as part of a reference or particular candidate sampler may be de-
equivalent method application under part 53 scribed and submitted to the EPA for spe-
of this chapter or in writing in advance of cific individual acceptability either as part
such an intended application under part 53 of of a reference or equivalent method applica-
this chapter. tion under part 53 of this chapter or in writ-
7.4.6.2 Internal, filter bypass leakage. The ing in advance of such intended application
sampler shall include an internal, filter by- under part 53 of this chapter.
pass leak-check capability consisting of 7.4.7 Range of operational conditions. The
components, accessory hardware, operator sampler is required to operate properly and
interface controls, a written procedure in the meet all requirements specified in this ap-
Operation/Instruction Manual, and all other pendix over the following operational ranges.
necessary functional capability to permit 7.4.7.1 Ambient temperature. ¥30 to = 45 °C
and facilitate the sampler operator to con- (Note: Although for practical reasons, the
veniently carry out a test for internal filter temperature range over which samplers are
bypass leakage in the sampler at a field required to be tested under part 53 of this
monitoring site without additional equip- chapter is ¥20 to = 40 °C, the sampler shall
ment. The purpose of the test is to determine be designed to operate properly over this
that any portion of the sample flow rate that wider temperature range.).
leaks past the sample filter without passing 7.4.7.2 Ambient relative humidity. 0 to 100
through the filter is insignificant relative to
percent.
the design flow rate for the sampler.
7.4.7.3 Barometric pressure range. 600 to 800
(a) The suggested technique for the oper-
mm Hg.
ator to use for this leak test is as follows:
(1) Carry out an external leak test as pro- 7.4.8 Ambient temperature sensor. The sam-
vided under section 7.4.6.1 of this appendix pler shall have capability to measure the
which indicates successful passage of the temperature of the ambient air surrounding
prescribed external leak test. the sampler over the range of ¥30 to = 45 °C,
(2) Install a flow-impervious membrane with a resolution of 0.1 °C and accuracy of
material in the filter cassette, either with or ±2.0 °C, referenced as described in reference 3
without a filter, as appropriate, which effec- in section 13.0 of this appendix, with and
tively prevents air flow through the filter. without maximum solar insolation.
(3) Use the sampler air pump to draw a par- 7.4.8.1 The ambient temperature sensor
tial vacuum in the sampler, downstream of shall be mounted external to the sampler en-
the filter holder assembly, of at least 55 mm closure and shall have a passive, naturally
Hg (75 cm water column). ventilated sun shield. The sensor shall be lo-
(4) Plug the flow system downstream of the cated such that the entire sun shield is at
filter holder to isolate the components under least 5 cm above the horizontal plane of the
vacuum from the pump, such as with a built- sampler case or enclosure (disregarding the
in valve. inlet and downtube) and external to the
(5) Stop the pump. vertical plane of the nearest side or protu-
(6) Measure the trapped vacuum in the berance of the sampler case or enclosure.
sampler with a built-in pressure measuring The maximum temperature measurement
device. error of the ambient temperature measure-
(7) Measure the vacuum in the sampler ment system shall be less than 1.6 °C at 1 m/
with the built-in pressure measuring device s wind speed and 1000 W/m2 solar radiation
again at a later time at least 10 minutes intensity.
after the first pressure measurement. 7.4.8.2 The ambient temperature sensor
(8) Remove the flow plug and membrane shall be of such a design and mounted in
and restore the sampler to the normal oper- such a way as to facilitate its convenient
ating configuration. dismounting and immersion in a liquid for
(b) The associated leak test procedure calibration and comparison to the filter tem-
shall require that for successful passage of perature sensor, under section 7.4.11 of this
this test, the difference between the two appendix.
pressure measurements shall not be greater 7.4.8.3 This ambient temperature measure-
than the number of mm of Hg specified for ment shall be updated at least every 30 sec-
the sampler by the manufacturer, based on onds during both sampling and standby (non-
the actual internal volume of the portion of sampling) modes of operation. A visual indi-
the sampler under vacuum, that indicates a cation of the current (most recent) value of
leak of less than 80 mL/min. the ambient temperature measurement, up-
(c) Variations of the suggested technique dated at least every 30 seconds, shall be
or an alternative internal, filter bypass leak available to the sampler operator during
test technique may be required for samplers both sampling and standby (non-sampling)
whose design or configuration would make modes of operation, as specified in table L–1
the suggested technique impossible or im- of section 7.4.19 of this appendix.
100
7.4.8.4 This ambient temperature measure- and non-sampling modes, as specified in the
ment shall be used for the purpose of moni- filter temperature measurement test de-
toring filter temperature deviation from am- scribed in part 53, subpart E of this chapter.
bient temperature, as required by section This filter temperature measurement shall
7.4.11 of this appendix, and may be used for have a resolution of 0.1 °C and accuracy of
purposes of effecting filter temperature con- ±1.0 °C, referenced as described in reference 3
trol, under section 7.4.10 of this appendix, or in section 13.0 of this appendix. This tem-
computation of volumetric flow rate, under perature sensor shall be of such a design and
sections 7.4.1 to 7.4.5 of this appendix, if ap- mounted in such a way as to facilitate its
propriate. reasonably convenient dismounting and im-
7.4.8.5 Following the end of each sample pe- mersion in a liquid for calibration and com-
riod, the sampler shall report the maximum, parison to the ambient temperature sensor
minimum, and average temperature for the under section 7.4.8 of this appendix.
sample period, as specified in table L–1 of 7.4.11.2 The filter temperature measure-
section 7.4.19 of this appendix. ment shall be updated at least every 30 sec-
7.4.9 Ambient barometric sensor. The sampler onds during both sampling and standby (non-
shall have capability to measure the baro- sampling) modes of operation. A visual indi-
metric pressure of the air surrounding the cation of the current (most recent) value of
sampler over a range of 600 to 800 mm Hg ref- the filter temperature measurement, up-
erenced as described in reference 3 in section dated at least every 30 seconds, shall be
13.0 of this appendix; also see part 53, subpart available to the sampler operator during
E of this chapter. This barometric pressure both sampling and standby (non-sampling)
measurement shall have a resolution of 5 modes of operation, as specified in table L–1
mm Hg and an accuracy of ±10 mm Hg and of section 7.4.19 of this appendix.
shall be updated at least every 30 seconds. A 7.4.11.3 For sequential samplers, the tem-
visual indication of the value of the current
perature of each filter shall be measured in-
(most recent) barometric pressure measure-
dividually unless it can be shown, as speci-
ment, updated at least every 30 seconds,
fied in the filter temperature measurement
shall be available to the sampler operator
test described in § 53.57 of this chapter, that
during both sampling and standby (non-sam-
the temperature of each filter can be rep-
pling) modes of operation, as specified in
resented by fewer temperature sensors.
table L–1 of section 7.4.19 of this appendix.
This barometric pressure measurement may 7.4.11.4 The sampler shall also provide a
be used for purposes of computation of volu- warning flag indicator following any occur-
metric flow rate, under sections 7.4.1 to 7.4.5 rence in which the filter temperature (any
of this appendix, if appropriate. Following filter temperature for sequential samplers)
the end of a sample period, the sampler shall exceeds the ambient temperature by more
report the maximum, minimum, and mean than 5 °C for more than 30 consecutive min-
barometric pressures for the sample period, utes during either the sampling or post-sam-
as specified in table L–1 of section 7.4.19 of pling periods of operation, as specified in
this appendix. table L–1 of section 7.4.19 of this appendix,
7.4.10 Filter temperature control (sampling under section 10.12 of this appendix, regard-
and post-sampling). The sampler shall provide ing sample validity when a warning flag oc-
a means to limit the temperature rise of the curs. It is further recommended (not re-
sample filter (all sample filters for sequen- quired) that the sampler be capable of re-
tial samplers), from insolation and other cording the maximum differential between
sources, to no more 5 °C above the tempera- the measured filter temperature and the am-
ture of the ambient air surrounding the sam- bient temperature and its time and date of
pler, during both sampling and post-sam- occurrence during both sampling and post-
pling periods of operation. The post-sam- sampling (non-sampling) modes of operation
pling period is the non-sampling period be- and providing for those data to be accessible
tween the end of the active sampling period to the sampler operator following the end of
and the time of retrieval of the sample filter the sample period, as suggested in table L–1
by the sampler operator. of section 7.4.19 of this appendix.
7.4.11 Filter temperature sensor(s). 7.4.12 Clock/timer system.
7.4.11.1 The sampler shall have the capa- (a) The sampler shall have a programmable
bility to monitor the temperature of the real-time clock timing/control system that:
sample filter (all sample filters for sequen- (1) Is capable of maintaining local time
tial samplers) over the range of ¥30 to = 45 and date, including year, month, day-of-
°C during both sampling and non-sampling month, hour, minute, and second to an accu-
periods. While the exact location of this tem- racy of ±1.0 minute per month.
perature sensor is not explicitly specified, (2) Provides a visual indication of the cur-
the filter temperature measurement system rent system time, including year, month,
must demonstrate agreement, within 1 °C, day-of-month, hour, and minute, updated at
with a test temperature sensor located with- least each minute, for operator verification.
in 1 cm of the center of the filter down- (3) Provides appropriate operator controls
stream of the filter during both sampling for setting the correct local time and date.
101
(4) Is capable of starting the sample collec- quencies shall not be precluded by this re-
tion period and sample air flow at a specific, quirement.
operator-settable time and date, and stop- 7.4.15.2 The design and construction of the
ping the sample air flow and terminating the sampler shall comply with all applicable Na-
sampler collection period 24 hours (1440 min- tional Electrical Code and Underwriters Lab-
utes) later, or at a specific, operator-settable oratories electrical safety requirements.
time and date. 7.4.15.3 The design of all electrical and
(b) These start and stop times shall be electronic controls shall be such as to pro-
readily settable by the sampler operator to vide reasonable resistance to interference or
within ±1.0 minute. The system shall provide malfunction from ordinary or typical levels
a visual indication of the current start and of stray electromagnetic fields (EMF) as
stop time settings, readable to ±1.0 minute, may be found at various monitoring sites
for verification by the operator, and the and from typical levels of electrical tran-
start and stop times shall also be available sients or electronic noise as may often or oc-
via the data output port, as specified in table casionally be present on various electrical
L–1 of section 7.4.19 of this appendix. Upon power lines.
execution of a programmed sample period 7.4.15.4 In the event of temporary loss of
start, the sampler shall automatically reset electrical supply power to the sampler, the
all sample period information and warning sampler shall not be required to sample or
flag indications pertaining to a previous provide other specified functions during such
sample period. Refer also to section 7.4.15.4 loss of power, except that the internal clock/
of this appendix regarding retention of cur- timer system shall maintain its local time
rent date and time and programmed start and date setting within ±1 minute per week,
and stop times during a temporary electrical and the sampler shall retain all other time
power interruption. and programmable settings and all data re-
7.4.13 Sample time determination. The sam- quired to be available to the sampler oper-
pler shall be capable of determining the ator following each sample period for at
elapsed sample collection time for each PM2.5 least 7 days without electrical supply power.
sample, accurate to within ±1.0 minute, When electrical power is absent at the oper-
measured as the time between the start of ator-set time for starting a sample period or
the sampling period, under section 7.4.12 of is interrupted during a sample period, the
this appendix and the termination of the sampler shall automatically start or resume
sample period, under section 7.4.12 of this ap- sampling when electrical power is restored,
pendix or section 7.4.4 of this appendix. This if such restoration of power occurs before the
elapsed sample time shall not include peri- operator-set stop time for the sample period.
ods when the sampler is inoperative due to a 7.4.15.5 The sampler shall have the capa-
temporary interruption of electrical power, bility to record and retain a record of the
under section 7.4.15.4 of this appendix. In the year, month, day-of-month, hour, and
event that the elapsed sample time deter- minute of the start of each power interrup-
mined for the sample period is not within the tion of more than 1 minute duration, up to 10
range specified for the required sample pe- such power interruptions per sample period.
riod in section 3.3 of this appendix, the sam- (More than 10 such power interruptions shall
pler shall set a warning flag indicator. The invalidate the sample, except where an ex-
date and time of the start of the sample pe- ceedance is measured, under section 3.3 of
riod, the value of the elapsed sample time for this appendix.) The sampler shall provide for
the sample period, and the flag indicator sta- these power interruption data to be available
tus shall be available to the sampler oper- to the sampler operator following the end of
ator following the end of the sample period, the sample period, as specified in table L–1 of
as specified in table L–1 of section 7.4.19 of section 7.4.19 of this appendix.
this appendix. 7.4.16 Control devices and operator interface.
7.4.14 Outdoor environmental enclosure. The The sampler shall have mechanical, elec-
sampler shall have an outdoor enclosure (or trical, or electronic controls, control de-
enclosures) suitable to protect the filter and vices, electrical or electronic circuits as nec-
other non-weatherproof components of the essary to provide the timing, flow rate meas-
sampler from precipitation, wind, dust, ex- urement and control, temperature control,
tremes of temperature and humidity; to help data storage and computation, operator
maintain temperature control of the filter interface, and other functions specified. Op-
(or filters, for sequential samplers); and to erator-accessible controls, data displays, and
provide reasonable security for sampler com- interface devices shall be designed to be sim-
ponents and settings. ple, straightforward, reliable, and easy to
7.4.15 Electrical power supply. learn, read, and operate under field condi-
7.4.15.1 The sampler shall be operable and tions. The sampler shall have provision for
function as specified herein when operated operator input and storage of up to 64 char-
on an electrical power supply voltage of 105 acters of numeric (or alphanumeric) data for
to 125 volts AC (RMS) at a frequency of 59 to purposes of site, sampler, and sample identi-
61 Hz. Optional operation as specified at ad- fication. This information shall be available
ditional power supply voltages and/or fre- to the sampler operator for verification and
102
change and for output via the data output requirement shall not preclude the sampler
port along with other data following the end from offering other types of output connec-
of a sample period, as specified in table L–1 tions in addition to the required RS–232C
of section 7.4.19 of this appendix. All data report.
quired to be available to the operator fol- 7.4.18 Operation/instruction manual. The
lowing a sample collection period or ob- sampler shall include an associated com-
tained during standby mode in a post-sam- prehensive operation or instruction manual,
pling period shall be retained by the sampler as required by part 53 of this chapter, which
until reset, either manually by the operator includes detailed operating instructions on
or automatically by the sampler upon initi- the setup, operation, calibration, and main-
ation of a new sample collection period.
tenance of the sampler. This manual shall
7.4.17 Data output port requirement. The
provide complete and detailed descriptions of
sampler shall have a standard RS–232C data
the operational and calibration procedures
output connection through which digital
data may be exported to an external data prescribed for field use of the sampler and all
storage or transmission device. All informa- instruments utilized as part of this reference
tion which is required to be available at the method. The manual shall include adequate
end of each sample period shall be accessible warning of potential safety hazards that may
through this data output connection. The in- result from normal use or malfunction of the
formation that shall be accessible though method and a description of necessary safety
this output port is summarized in table L–1 precautions. The manual shall also include a
of section 7.4.19 of this appendix. Since no clear description of all procedures pertaining
specific format for the output data is pro- to installation, operation, periodic and cor-
vided, the sampler manufacturer or vendor rective maintenance, and troubleshooting,
shall make available to sampler purchasers and shall include parts identification dia-
appropriate computer software capable of re- grams.
ceiving exported sampler data and correctly 7.4.19 Data reporting requirements. The var-
translating the data into a standard spread- ious information that the sampler is re-
sheet format and optionally any other for- quired to provide and how it is to be provided
mats as may be useful to sampler users. This is summarized in the following table L–1.
TABLE L–1 TO APPENDIX L OF PART 50—SUMMARY OF INFORMATION TO BE PROVIDED BY THE

SAMPLER
Appen- Availability Format
dix L
Information to be section
provided End of Visual Data Digital
ref- Anytime 1 Units
period 2 display 3 output 4 reading 5
erence
Flow rate, 30-sec- 7.4.5.1 ✓ .................... ✓ * XX.X ................... L/min

ond maximum
interval.
Flow rate, aver- 7.4.5.2 * ✓ * ✓ XX.X ................... L/min
age for the
sample period.
Flow rate, CV, for 7.4.5.2 * ✓ * ✓ XX.X ................... %
sample period.
Flow rate, 5-min. 7.4.5.2 ✓ ✓ ✓ ✓■ On/Off
average out of
spec. (FLAG 6).
Sample volume, 7.4.5.2 * ✓ ✓ ✓ XX.X ................... m3
total.
Temperature, am- 7.4.8 .... ✓ .................... ✓ .................... XX.X ................... °C
bient, 30-sec-
ond interval.
Temperature, am- 7.4.8 .... * ✓ ✓ ✓■ XX.X ................... °C
bient, min.,
max., average
for the sample
period.
Baro. pressure, 7.4.9 .... ✓ .................... ✓ .................... XXX .................... mm Hg
ambient, 30-
second interval.
Baro. pressure, 7.4.9 .... * ✓ ✓ ✓■ XXX .................... mm Hg
ambient, min.,
max., average
for the sample
period.
Filter temperature, 7.4.11 .. ✓ .................... ✓ .................... XX.X ................... °C
30-second inter-
val.
103
TABLE L–1 TO APPENDIX L OF PART 50—SUMMARY OF INFORMATION TO BE PROVIDED BY THE

SAMPLER—Continued
Appen- Availability Format
dix L
Information to be section
provided End of Visual Data Digital
ref- Anytime 1 Units
period 2 display 3 output 4 reading 5
erence
Filter temp. dif- 7.4.11 .. * ✓ ✓ ✓■ On/Off

ferential, 30-
second interval,
out of spec.
(FLAG 6).
Filter temp., max- 7.4.11 .. * * * * X.X, YY/MM/DD °C, Yr/Mon/Day
imum differen- HH.mm. Hrs. min
tial from ambi-
ent, date, time
of occurrence.
Date and Time .... 7.4.12 .. ✓ .................... ✓ .................... YY/MM/DD Yr/Mon/Day Hrs.
HH.mm. min
Sample start and 7.4.12 .. ✓ ✓ ✓ ✓ YY/MM/DD Yr/Mon/Day Hrs.
stop time set- HH.mm. min
tings.
Sample period 7.4.12 .. .................... ✓ ✓ ✓ YY/MM/DD Yr/Mon/Day Hrs.
start time. HH.mm. min
Elapsed sample 7.4.13 .. * ✓ ✓ ✓ HH.mm ............... Hrs. min
time.
Elapsed sample 7.4.13 .. .................... ✓ ✓ ✓■ On/Off
time, out of
spec. (FLAG 6).
Power interrup- 7.4.15.5 * ✓ * ✓ 1HH.mm, Hrs. min
tions ≤1 min., 2HH.mm, etc..
start time of first
10.
User-entered in- 7.4.16 .. ✓ ✓ ✓ ✓■ As entered.
formation, such
as sampler and
site identifica-
tion.
✓ Provision of this information is required.
* Provision of this information is optional. If information related to the entire sample period is optionally provided prior to the
end of the sample period, the value provided should be the value calculated for the portion of the sampler period completed up
to the time the information is provided.
■ Indicates that this information is also required to be provided to the Air Quality System (AQS) data bank; see § 58.16 of this
chapter. For ambient temperature and barometric pressure, only the average for the sample period must be reported.
1. Information is required to be available to the operator at any time the sampler is operating, whether sampling or not.
2. Information relates to the entire sampler period and must be provided following the end of the sample period until reset
manually by the operator or automatically by the sampler upon the start of a new sample period.
3. Information shall be available to the operator visually.
4. Information is to be available as digital data at the sampler’s data output port specified in section 7.4.16 of this appendix fol-
lowing the end of the sample period until reset manually by the operator or automatically by the sampler upon the start of a new
sample period.
5. Digital readings, both visual and data output, shall have not less than the number of significant digits and resolution speci-
fied.
6. Flag warnings may be displayed to the operator by a single flag indicator or each flag may be displayed individually. Only a
set (on) flag warning must be indicated; an off (unset) flag may be indicated by the absence of a flag warning. Sampler users
should refer to section 10.12 of this appendix regarding the validity of samples for which the sampler provided an associated flag
warning.
8.0 Filter Weighing. See reference 2 in sec- 8.2 Filter conditioning. All sample filters
tion 13.0 of this appendix, for additional, used shall be conditioned immediately before
more detailed guidance. both the pre- and post-sampling weighings as
8.1 Analytical balance. The analytical bal- specified below. See reference 2 in section
ance used to weigh filters must be suitable 13.0 of this appendix for additional guidance.
for weighing the type and size of filters spec- 8.2.1 Mean temperature. 20 - 23 °C.
ified, under section 6.0 of this appendix, and 8.2.2 Temperature control. ±2 °C over 24
have a readability of ±1 μg. The balance shall hours.
be calibrated as specified by the manufac- 8.2.3 Mean humidity. Generally, 30–40 per-
turer at installation and recalibrated imme- cent relative humidity; however, where it
diately prior to each weighing session. See can be shown that the mean ambient relative
reference 2 in section 13.0 of this appendix for humidity during sampling is less than 30 per-
additional guidance. cent, conditioning is permissible at a mean
104
relative humidity within ±5 relative humid- 9.0 Calibration. Reference 2 in section 13.0 of
ity percent of the mean ambient relative hu- this appendix contains additional guidance.
midity during sampling, but not less than 20 9.1 General requirements.
percent. 9.1.1 Multipoint calibration and single-
8.2.4 Humidity control. ±5 relative humidity point verification of the sampler’s flow rate
percent over 24 hours. measurement device must be performed peri-
8.2.5 Conditioning time. Not less than 24 odically to establish and maintain
hours. traceability of subsequent flow measure-
8.3 Weighing procedure. ments to a flow rate standard.
8.3.1 New filters should be placed in the 9.1.2 An authoritative flow rate standard
conditioning environment immediately upon shall be used for calibrating or verifying the
arrival and stored there until the pre-sam- sampler’s flow rate measurement device with
pling weighing. See reference 2 in section 13.0 an accuracy of ±2 percent. The flow rate
of this appendix for additional guidance. standard shall be a separate, stand-alone de-
8.3.2 The analytical balance shall be lo- vice designed to connect to the flow rate
cated in the same controlled environment in measurement adapter, Figure L–30 of this ap-
which the filters are conditioned. The filters pendix. This flow rate standard must have
shall be weighed immediately following the its own certification and be traceable to a
conditioning period without intermediate or National Institute of Standards and Tech-
nology (NIST) primary standard for volume
transient exposure to other conditions or en-
or flow rate. If adjustments to the sampler’s
vironments.
flow rate measurement system calibration
8.3.3 Filters must be conditioned at the
are to be made in conjunction with an audit
same conditions (humidity within ±5 relative
of the sampler’s flow measurement system,
humidity percent) before both the pre- and
such adjustments shall be made following
post-sampling weighings.
the audit. Reference 2 in section 13.0 of this
8.3.4 Both the pre- and post-sampling appendix contains additional guidance.
weighings should be carried out on the same 9.1.3 The sampler’s flow rate measurement
analytical balance, using an effective tech- device shall be re-calibrated after
nique to neutralize static charges on the fil- electromechanical maintenance or transport
ter, under reference 2 in section 13.0 of this of the sampler.
appendix. If possible, both weighings should 9.2 Flow rate calibration/verification proce-
be carried out by the same analyst. dure.
8.3.5 The pre-sampling (tare) weighing shall 9.2.1 PM2.5 samplers may employ various
be within 30 days of the sampling period. types of flow control and flow measurement
8.3.6 The post-sampling conditioning and devices. The specific procedure used for cali-
weighing shall be completed within 240 hours bration or verification of the flow rate meas-
(10 days) after the end of the sample period, urement device will vary depending on the
unless the filter sample is maintained at type of flow rate controller and flow rate
temperatures below the average ambient measurement employed. Calibration shall be
temperature during sampling (or 4 °C or in terms of actual ambient volumetric flow
below for average sampling temperatures rates (Qa), measured at the sampler’s inlet
less than 4 °C) during the time between re- downtube. The generic procedure given here
trieval from the sampler and the start of the serves to illustrate the general steps in-
conditioning, in which case the period shall volved in the calibration of a PM2.5 sampler.
not exceed 30 days. Reference 2 in section The sampler operation/instruction manual
13.0 of this appendix has additional guidance required under section 7.4.18 of this appendix
on transport of cooled filters. and the Quality Assurance Handbook in ref-
8.3.7 Filter blanks. erence 2 in section 13.0 of this appendix pro-
8.3.7.1 New field blank filters shall be vide more specific and detailed guidance for
weighed along with the pre-sampling (tare) calibration.
weighing of each lot of PM2.5 filters. These 9.2.2 The flow rate standard used for flow
blank filters shall be transported to the sam- rate calibration shall have its own certifi-
pling site, installed in the sampler, retrieved cation and be traceable to a NIST primary
from the sampler without sampling, and re- standard for volume or flow rate. A calibra-
weighed as a quality control check. tion relationship for the flow rate standard,
8.3.7.2 New laboratory blank filters shall be e.g., an equation, curve, or family of curves
weighed along with the pre-sampling (tare) relating actual flow rate (Qa) to the flow rate
weighing of each set of PM2.5 filters. These indicator reading, shall be established that is
laboratory blank filters should remain in the accurate to within 2 percent over the ex-
laboratory in protective containers during pected range of ambient temperatures and
the field sampling and should be reweighed pressures at which the flow rate standard
as a quality control check. may be used. The flow rate standard must be
8.3.8 Additional guidance for proper filter re-calibrated or re-verified at least annually.
weighing and related quality assurance ac- 9.2.3 The sampler flow rate measurement
tivities is provided in reference 2 in section device shall be calibrated or verified by re-
13.0 of this appendix. moving the sampler inlet and connecting the
105
flow rate standard to the sampler’s downtube eral steps involved in the PM2.5 sample col-
in accordance with the operation/instruction lection and measurement, using a PM2.5 ref-
manual, such that the flow rate standard ac- erence method sampler.
curately measures the sampler’s flow rate. 10.1 The sampler shall be set up, calibrated,
The sampler operator shall first carry out a and operated in accordance with the specific,
sampler leak check and confirm that the detailed guidance provided in the specific
sampler passes the leak test and then verify sampler’s operation or instruction manual
that no leaks exist between the flow rate and in accordance with a specific quality as-
standard and the sampler. surance program developed and established
9.2.4 The calibration relationship between by the user, based on applicable supple-
the flow rate (in actual L/min) indicated by mentary guidance provided in reference 2 in
the flow rate standard and by the sampler’s section 13.0 of this appendix.
flow rate measurement device shall be estab- 10.2 Each new sample filter shall be in-
lished or verified in accordance with the spected for correct type and size and for pin-
sampler operation/instruction manual. Tem- holes, particles, and other imperfections. Un-
perature and pressure corrections to the flow acceptable filters should be discarded. A
rate indicated by the flow rate standard may unique identification number shall be as-
be required for certain types of flow rate signed to each filter, and an information
standards. Calibration of the sampler’s flow record shall be established for each filter. If
rate measurement device shall consist of at the filter identification number is not or
least three separate flow rate measurements cannot be marked directly on the filter, al-
(multipoint calibration) evenly spaced with- ternative means, such as a number-identified
in the range of ¥10 percent to = 10 percent of storage container, must be established to
the sampler’s operational flow rate, section maintain positive filter identification.
7.4.1 of this appendix. Verification of the 10.3 Each filter shall be conditioned in the
sampler’s flow rate shall consist of one flow conditioning environment in accordance
rate measurement at the sampler’s oper- with the requirements specified in section 8.2
ational flow rate. The sampler operation/in- of this appendix.
struction manual and reference 2 in section 10.4 Following conditioning, each filter
13.0 of this appendix provide additional guid- shall be weighed in accordance with the re-
ance. quirements specified in section 8.0 of this ap-
9.2.5 If during a flow rate verification the pendix and the presampling weight recorded
reading of the sampler’s flow rate indicator with the filter identification number.
or measurement device differs by ±4 percent 10.5 A numbered and preweighed filter shall
or more from the flow rate measured by the be installed in the sampler following the in-
flow rate standard, a new multipoint calibra- structions provided in the sampler operation
tion shall be performed and the flow rate or instruction manual.
verification must then be repeated. 10.6 The sampler shall be checked and pre-
9.2.6 Following the calibration or pared for sample collection in accordance
verification, the flow rate standard shall be with instructions provided in the sampler op-
removed from the sampler and the sampler eration or instruction manual and with the
inlet shall be reinstalled. Then the sampler’s specific quality assurance program estab-
normal operating flow rate (in L/min) shall lished for the sampler by the user.
be determined with a clean filter in place. If 10.7 The sampler’s timer shall be set to
the flow rate indicated by the sampler differs start the sample collection at the beginning
by ±2 percent or more from the required sam- of the desired sample period and stop the
pler flow rate, the sampler flow rate must be sample collection 24 hours later.
adjusted to the required flow rate, under sec- 10.8 Information related to the sample col-
tion 7.4.1 of this appendix. lection (site location or identification num-
9.3 Periodic calibration or verification of ber, sample date, filter identification num-
the calibration of the sampler’s ambient ber, and sampler model and serial number)
temperature, filter temperature, and baro- shall be recorded and, if appropriate, entered
metric pressure measurement systems is also into the sampler.
required. Reference 3 of section 13.0 of this 10.9 The sampler shall be allowed to collect
appendix contains additional guidance. the PM2.5 sample during the set 24-hour time
10.0 PM2.5 Measurement Procedure. The de- period.
tailed procedure for obtaining valid PM2.5 10.10 Within 177 hours (7 days, 9 hours) of
measurements with each specific sampler the end of the sample collection period, the
designated as part of a reference method for filter, while still contained in the filter cas-
PM2.5 under part 53 of this chapter shall be sette, shall be carefully removed from the
provided in the sampler-specific operation or sampler, following the procedure provided in
instruction manual required by section 7.4.18 the sampler operation or instruction manual
of this appendix. Supplemental guidance is and the quality assurance program, and
provided in section 2.12 of the Quality Assur- placed in a protective container. The protec-
ance Handbook listed in reference 2 in sec- tive container shall contain no loose mate-
tion 13.0 of this appendix. The generic proce- rial that could be transferred to the filter.
dure given here serves to illustrate the gen- The protective container shall hold the filter
106
cassette securely such that the cover shall 11.0 Sampler Maintenance. The sampler
not come in contact with the filter’s sur- shall be maintained as described by the sam-
faces. Reference 2 in section 13.0 of this ap- pler’s manufacturer in the sampler-specific
pendix contains additional information. operation or instruction manual required
10.11 The total sample volume in actual m3 under section 7.4.18 of this appendix and in
for the sampling period and the elapsed sam- accordance with the specific quality assur-
ple time shall be obtained from the sampler ance program developed and established by
and recorded in accordance with the instruc- the user based on applicable supplementary
tions provided in the sampler operation or guidance provided in reference 2 in section
instruction manual. All sampler warning 13.0 of this appendix.
flag indications and other information re- 12.0 Calculations
quired by the local quality assurance pro- 12.1 (a) The PM2.5 concentration is cal-
gram shall also be recorded. culated as:
10.12 All factors related to the validity or PM2.5 = (Wf ¥ Wi)/Va
representativeness of the sample, such as where:
sampler tampering or malfunctions, unusual
meteorological conditions, construction ac- PM2.5 = mass concentration of PM2.5, μg/m3;
tivity, fires or dust storms, etc. shall be re- Wf, Wi = final and initial weights, respec-
corded as required by the local quality assur- tively, of the filter used to collect the
ance program. The occurrence of a flag warn- PM2.5 particle sample, μg;
ing during a sample period shall not nec- Va = total air volume sampled in actual vol-
essarily indicate an invalid sample but rath- ume units, as provided by the sampler,
er shall indicate the need for specific review m3.
of the QC data by a quality assurance officer NOTE: Total sample time must be between
to determine sample validity. 1,380 and 1,500 minutes (23 and 25 hrs) for a
10.13 After retrieval from the sampler, the fully valid PM2.5 sample; however, see also
exposed filter containing the PM2.5 sample section 3.3 of this appendix.
should be transported to the filter condi- 13.0 References.
tioning environment as soon as possible, 1. Quality Assurance Handbook for Air Pol-
ideally to arrive at the conditioning environ- lution Measurement Systems, Volume I,
ment within 24 hours for conditioning and Principles. EPA/600/R–94/038a, April 1994.
subsequent weighing. During the period be- Available from CERI, ORD Publications,
tween filter retrieval from the sampler and U.S. Environmental Protection Agency, 26
the start of the conditioning, the filter shall West Martin Luther King Drive, Cincinnati,
be maintained as cool as practical and con- Ohio 45268.
tinuously protected from exposure to tem- 2. Quality Assurance Guidance Document
peratures over 25 °C to protect the integrity 2.12. Monitoring PM2.5 in Ambient Air Using
of the sample and minimize loss of volatile Designated Reference or Class I Equivalent
components during transport and storage. Methods. U.S. EPA, National Exposure Re-
See section 8.3.6 of this appendix regarding search Laboratory. Research Triangle Park,
time limits for completing the post-sampling NC, November 1988 or later edition. Cur-
weighing. See reference 2 in section 13.0 of rently available at: http://www.epa.gov/ttn/
this appendix for additional guidance on amtic/pmqainf.html.
transporting filter samplers to the condi- 3. Quality Assurance Handbook for Air Pol-
tioning and weighing laboratory. lution Measurement Systems, Volume IV:
10.14. The exposed filter containing the Meteorological Measurements, (Revised Edi-
PM2.5 sample shall be re-conditioned in the tion) EPA/600/R–94/038d, March, 1995. Avail-
conditioning environment in accordance able from CERI, ORD Publications, U.S. En-
with the requirements specified in section 8.2 vironmental Protection Agency, 26 West
of this appendix. Martin Luther King Drive, Cincinnati, Ohio
10.15. The filter shall be reweighed imme- 45268.
diately after conditioning in accordance 4. Military standard specification (mil.
with the requirements specified in section 8.0 spec.) 8625F, Type II, Class 1 as listed in De-
of this appendix, and the postsampling partment of Defense Index of Specifications
weight shall be recorded with the filter iden- and Standards (DODISS), available from
tification number. DODSSP-Customer Service, Standardization
10.16 The PM2.5 concentration shall be cal- Documents Order Desk, 700 Robbins Avenue,
culated as specified in section 12.0 of this ap- Building 4D, Philadelphia, PA 1911–5094.
pendix. 14.0 Figures L–1 through L–30 to Appendix L.
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[62 FR 38714, July 18, 1997, as amended at 64 FR 19719, Apr. 22, 1999; 71 FR 61226, Oct. 17, 2006]
137
ER18JY97.051</GPH>
Pt. 50, App. N 40 CFR Ch. I (7–1–21 Edition)
APPENDIX M TO PART 50 [RESERVED] mary and monitors utilize the same specific
sampling and analysis method.
APPENDIX N TO PART 50—INTERPRETA- Combined site data record is the data set
TION OF THE NATIONAL AMBIENT AIR used for performing calculations in appendix
QUALITY STANDARDS FOR PM2.5 N. It represents data for the primary mon-
itors augmented with data from collocated
1.0 GENERAL monitors according to the procedure speci-
(a) This appendix explains the data han- fied in section 3.0(d) of this appendix.
dling conventions and computations nec- Creditable samples are daily values in the
essary for determining when the national combined site record that are given credit
ambient air quality standards (NAAQS) for for data completeness. The number of cred-
PM2.5 are met, specifically the primary and itable samples (cn) for a given year also gov-
secondary annual and 24-hour PM2.5 NAAQS erns which value in the sorted series of daily
specified in § 50.7, 50.13, and 50.18. PM2.5 is de- values represents the 98th percentile for that
fined, in general terms, as particles with an year. Creditable samples include daily values
aerodynamic diameter less than or equal to collected on scheduled sampling days and
a nominal 2.5 micrometers. PM2.5 mass con- valid make-up samples taken for missed or
centrations are measured in the ambient air invalidated samples on scheduled sampling
by a Federal Reference Method (FRM) based days.
on appendix L of this part, as applicable, and Daily values refer to the 24-hour average
designated in accordance with part 53 of this concentrations of PM2.5 mass measured (or
chapter; or by a Federal Equivalent Method averaged from hourly measurements in AQS)
(FEM) designated in accordance with part 53 from midnight to midnight (local standard
of this chapter; or by an Approved Regional time) from suitable monitors.
Method (ARM) designated in accordance Data substitution tests are diagnostic eval-
with part 58 of this chapter. Only those FRM, uations performed on an annual PM2.5
FEM, and ARM measurements that are de- NAAQS design value (DV) or a 24-hour PM2.5
rived in accordance with part 58 of this chap- NAAQS DV to determine if those metrics,
ter (i.e., that are deemed ‘‘suitable’’) shall be which are judged to be based on incomplete
used in comparisons with the PM2.5 NAAQS. data in accordance with 4.1(b) or 4.2(b) of this
The data handling and computation proce- appendix shall nevertheless be deemed valid
dures to be used to construct annual and 24- for NAAQS comparisons, or alternatively,
hour NAAQS metrics from reported PM2.5 shall still be considered incomplete and not
mass concentrations, and the associated invalid for NAAQS comparisons. There are two
structions for comparing these calculated data substitution tests, the ‘‘minimum quar-
metrics to the levels of the PM2.5 NAAQS, terly value’’ test and the ‘‘maximum quar-
are specified in sections 2.0, 3.0, and 4.0 of terly value’’ test. Design values (DVs) are the
this appendix. 3-year average NAAQS metrics that are com-
(b) Decisions to exclude, retain, or make pared to the NAAQS levels to determine
adjustments to the data affected by excep- when a monitoring site meets or does not
tional events, including natural events, are meet the NAAQS, calculated as shown in sec-
made according to the requirements and tion 4. There are two separate DVs specified
process deadlines specified in §§ 50.1, 50.14 and in this appendix:
51.930 of this chapter.
(1) The 3-year average of PM2.5 annual
(c) The terms used in this appendix are de-
mean mass concentrations for each eligible
fined as follows:
Annual mean refers to a weighted arith- monitoring site is referred to as the ‘‘annual
metic mean, based on quarterly means, as PM2.5 NAAQS DV’’.
defined in section 4.4 of this appendix. (2) The 3-year average of annual 98th per-
The Air Quality System (AQS) is EPA’s offi- centile 24-hour average PM2.5 mass con-
cial repository of ambient air data. centration values recorded at each eligible
Collocated monitors refers to two or more monitoring site is referred to as the ‘‘24-hour
air measurement instruments for the same (or daily) PM2.5 NAAQS DV’’.
parameter (e.g., PM2.5 mass) operated at the Eligible sites are monitoring stations that
same site location, and whose placement is meet the criteria specified in § 58.11 and
consistent with § 53.1 of this chapter. For § 58.30 of this chapter, and thus are approved
purposes of considering a combined site for comparison to the annual PM2.5 NAAQS.
record in this appendix, when two or more For the 24-hour PM2.5 NAAQS, all site loca-
monitors are operated at the same site, one tions that meet the criteria specified in
monitor is designated as the ‘‘primary’’ mon- § 58.11 are approved (i.e., eligible) for NAAQS
itor with any additional monitors designated comparisons.
as ‘‘collocated.’’ It is implicit in these appen- Extra samples are non-creditable samples.
dix procedures that the primary monitor and They are daily values that do not occur on
collocated monitor(s) are all deemed suitable scheduled sampling days and that cannot be
for the applicable NAAQS comparison; how- used as make-up samples for missed or in-
ever, it is not a requirement that the pri- validated scheduled samples. Extra samples
138
Environmental Protection Agency Pt. 50, App. N
are used in mean calculations and are in- those specific continuous FEMs/ARMs dis-
cluded in the series of all daily values sub- qualified by a particular monitoring agency
ject to selection as a 98th percentile value, network in accordance with § 58.10(b)(13) and
but are not used to determine which value in approved by the EPA Regional Adminis-
the sorted list represents the 98th percentile. trator per § 58.11(e) of this chapter.
Make-up samples are samples collected to Test design values (TDV) are numerical val-
take the place of missed or invalidated re- ues that used in the data substitution tests
quired scheduled samples. Make-up samples described in sections 4.1(c)(i), 4.1(c)(ii) and
can be made by either the primary or the 4.2(c)(i) of this appendix to determine if the
collocated monitor. Make-up samples are ei- PM2.5 NAAQS DV with incomplete data are
ther taken before the next required sampling judged to be valid for NAAQS comparisons.
day or exactly one week after the missed (or There are two TDVs: TDVmin to determine if
voided) sampling day. the NAAQS is not met and is used in the
The maximum quarterly value data substi- ‘‘minimum quarterly value’’ data substi-
tution test substitutes actual ‘‘high’’ reported tution test and TDVmax to determine if the
daily PM2.5 values from the same site (spe- NAAQS is met and is used in the ‘‘maximum
cifically, the highest reported non-excluded quarterly value’’ data substitution test.
quarterly value(s) (year non-specific) con- These TDV’s are derived by substituting his-
tained in the combined site record for the torically low or historically high daily con-
evaluated 3-year period) for missing daily centration values for missing data in an in-
values. complete year(s).
The minimum quarterly value data substi- Year refers to a calendar year.
tution test substitutes actual ‘‘low’’ reported
daily PM2.5 values from the same site (spe- 2.0 MONITORING CONSIDERATIONS
cifically, the lowest reported quarterly
(a) Section 58.30 of this chapter provides
value(s) (year non-specific) contained in the
special considerations for data comparisons
combined site record for the evaluated 3-year
to the annual PM2.5 NAAQS.
period) for missing daily values.
98th percentile is the smallest daily value (b) Monitors meeting the network tech-
out of a year of PM2.5 mass monitoring data nical requirements detailed in § 58.11 of this
below which no more than 98 percent of all chapter are suitable for comparison with the
daily values fall using the ranking and selec- NAAQS for PM2.5.
tion method specified in section 4.5(a) of this (c) Section 58.12 of this chapter specifies
appendix. the required minimum frequency of sampling
Primary monitors are suitable monitors des- for PM2.5. Exceptions to the specified sam-
ignated by a state or local agency in their pling frequencies, such as seasonal sampling,
annual network plan (and in AQS) as the de- are subject to the approval of the EPA Re-
fault data source for creating a combined gional Administrator and must be docu-
site record for purposes of NAAQS compari- mented in the state or local agency Annual
sons. If there is only one suitable monitor at Monitoring Network Plan as required in
a particular site location, then it is pre- § 58.10 of this chapter and also in AQS.
sumed to be a primary monitor. 3.0 REQUIREMENTS FOR DATA USE AND DATA
Quarter refers to a calendar quarter (e.g., REPORTING FOR COMPARISONS WITH THE
January through March). NAAQS FOR PM2.5
Quarterly data capture rate is the percent-
age of scheduled samples in a calendar quar- (a) Except as otherwise provided in this ap-
ter that have corresponding valid reported pendix, all valid FRM/FEM/ARM PM2.5 mass
sample values. Quarterly data capture rates concentration data produced by suitable
are specifically calculated as the number of monitors that are required to be submitted
creditable samples for the quarter divided by to AQS, or otherwise available to EPA,
the number of scheduled samples for the meeting the requirements of part 58 of this
quarter, the result then multiplied by 100 chapter including appendices A, C, and E
and rounded to the nearest integer. shall be used in the DV calculations. Gen-
Scheduled PM2.5 samples refers to those re- erally, EPA will only use such data if they
ported daily values which are consistent have been certified by the reporting organi-
with the required sampling frequency (per zation (as prescribed by § 58.15 of this chap-
§ 58.12 of this chapter) for the primary mon- ter); however, data not certified by the re-
itor, or those that meet the special exception porting organization can nevertheless be
noted in section 3.0(e) of this appendix. used, if the deadline for certification has
Seasonal sampling is the practice of col- passed and EPA judges the data to be com-
lecting data at a reduced frequency during a plete and accurate.
season of expected low concentrations. (b) PM2.5 mass concentration data (typi-
Suitable monitors are instruments that use cally collected hourly for continuous instru-
sampling and analysis methods approved for ments and daily for filter-based instruments)
NAAQS comparisons. For the annual and 24- shall be reported to AQS in micrograms per
hour PM2.5 NAAQS, suitable monitors in- cubic meter (μg/m3) to at least one decimal
clude all FRMs, and all FEMs/ARMs except place. If concentrations are reported to one
139
decimal place, additional digits to the right valid collocated values shall be used as the
of the tenths decimal place shall be trun- daily value. The data record resulting from
cated. If concentrations are reported to AQS this procedure is referred to as the ‘‘com-
with more than one decimal place, AQS will bined site data record.’’
truncate the value to one decimal place for (e) All daily values in a combined site data
NAAQS usage (i.e., for implementing the record are used in the calculations specified
procedures in this appendix). In situations in this appendix; however, not all daily val-
where suitable PM2.5 data are available to ues are given credit towards data complete-
EPA but not reported to AQS, the same trun- ness requirements. Only creditable samples
cation protocol shall be applied to that data. are given credit for data completeness. Cred-
In situations where PM2.5 mass data are sub- itable samples include daily values in the
mitted to AQS, or are otherwise available, combined site record that are collected on
with less precision than specified above, scheduled sampling days and valid make-up
these data shall nevertheless still be deemed samples taken for missed or invalidated sam-
appropriate for NAAQS usage. ples on scheduled sampling days. Days are
(c) Twenty-four-hour average concentra- considered scheduled according to the re-
tions will be computed in AQS from sub- quired sampling frequency of the designated
mitted hourly PM2.5 concentration data for primary monitor with one exception. The ex-
each corresponding day of the year and the ception is, if a collocated continuous FEM/
result will be stored in the first, or start, ARM monitor has a more intensive sampling
hour (i.e., midnight, hour ‘0’) of the 24-hour frequency than the primary FRM monitor,
period. A 24-hour average concentration then samples contributed to the combined
shall be considered valid if at least 75 per- site record from that continuous FEM/ARM
cent of the hourly averages (i.e., 18 hourly monitor are always considered scheduled
values) for the 24-hour period are available. and, hence, also creditable. Daily values in
In the event that less than all 24 hourly aver- the combined site data record that are re-
age concentrations are available (i.e., less ported for nonscheduled days, but that are
than 24, but at least 18), the 24-hour average not valid make-up samples are referred to as
concentration shall be computed on the basis extra samples.
of the hours available using the number of
available hours within the 24-hour period as 4.0 COMPARISONS WITH THE ANNUAL AND 24-
the divisor (e.g., 19, if 19 hourly values are HOUR PM2.5 NAAQS
available). Twenty-four-hour periods with
4.1 Annual PM2.5 NAAQS
seven or more missing hours shall also be
considered valid if, after substituting zero (a) The primary annual PM2.5 NAAQS is
for all missing hourly concentrations, the re- met when the annual PM2.5 NAAQS DV is
sulting 24-hour average daily value is greater less than or equal to 12.0 μg/m3 at each eligi-
than the level of the 24-hour PM2.5 NAAQS ble monitoring site. The secondary annual
(i.e., greater than or equal to 35.5 μg/m3). PM2.5 NAAQS is met when the annual PM2.5
Twenty-four hour average PM2.5 mass con- NAAQS DV is less than or equal to 15.0 μg/m3
centrations that are averaged in AQS from at each eligible monitoring site.
hourly values will be truncated to one dec- (b) Three years of valid annual means are
imal place, consistent with the data han- required to produce a valid annual PM2.5
dling procedure for the reported hourly (and NAAQS DV. A year meets data completeness
also 24-hour filter-based) data. requirements when quarterly data capture
(d) All calculations shown in this appendix rates for all four quarters are at least 75 per-
shall be implemented on a site-level basis. cent. However, years with at least 11 cred-
Site level concentration data shall be proc- itable samples in each quarter shall also be
essed as follows: considered valid if the resulting annual
(1) The default dataset for PM2.5 mass con- mean or resulting annual PM2.5 NAAQS DV
centrations for a site shall consist of the (rounded according to the conventions of sec-
measured concentrations recorded from the tion 4.3 of this appendix) is greater than the
designated primary monitor(s). All daily val- level of the applicable primary or secondary
ues produced by the primary monitor are annual PM2.5 NAAQS. Furthermore, where
considered part of the site record; this in- the explicit 75 percent data capture and/or 11
cludes all creditable samples and all extra sample minimum requirements are not met,
samples. the 3-year annual PM2.5 NAAQS DV shall
(2) Data for the primary monitors shall be still be considered valid if it passes at least
augmented as much as possible with data one of the two data substitution tests stipu-
from collocated monitors. If a valid daily lated below.
value is not produced by the primary mon- (c) In the case of one, two, or three years
itor for a particular day (scheduled or other- that do not meet the completeness require-
wise), but a value is available from a collo- ments of section 4.1(b) of this appendix and
cated monitor, then that collocated value thus would normally not be useable for the
shall be considered part of the combined site calculation of a valid annual PM2.5 NAAQS
data record. If more than one collocated DV, the annual PM2.5 NAAQS DV shall never-
daily value is available, the average of those theless be considered valid if one of the test
140
conditions specified in sections 4.1(c)(i) and (d) An annual PM2.5 NAAQS DV based on
4.1(c)(ii) of this appendix is met. data that do not meet the completeness cri-
(i) An annual PM2.5 NAAQS DV that is teria stated in 4(b) and also do not satisfy
above the level of the NAAQS can be vali- the test conditions specified in section 4(c),
dated if it passes the minimum quarterly may also be considered valid with the ap-
value data substitution test. This type of proval of, or at the initiative of, the EPA Ad-
data substitution is permitted only if there ministrator, who may consider factors such
are at least 30 days across the three quarters as monitoring site closures/moves, moni-
of the three years under consideration (e.g., toring diligence, the consistency and levels
collectively, quarter 1 of year 1, quarter 1 of of the daily values that are available, and
year 2 and quarter 1 of year 3) from which to nearby concentrations in determining
select the quarter-specific low value. Data whether to use such data.
substitution will be performed in all quarter (e) The equations for calculating the an-
periods that have less than 11 creditable nual PM2.5 NAAQS DVs are given in section
samples. 4.4 of this appendix.
Procedure: Identify for each deficient quar- 4.2 Twenty-four-hour PM2.5 NAAQS
ter (i.e., those with less than 11 creditable
samples) the lowest reported daily value for (a) The primary and secondary 24-hour
that quarter, looking across those three PM2.5 NAAQS are met when the 24-hour PM2.5
months of all three years under consider- NAAQS DV at each eligible monitoring site
ation. If after substituting the lowest re- is less than or equal to 35 μg/m3.
ported daily value for a quarter for (11¥ cn) (b) Three years of valid annual PM2.5 98th
daily values in the matching deficient quar- percentile mass concentrations are required
ter(s) (i.e., to bring the creditable number for to produce a valid 24-hour PM2.5 NAAQS DV.
those quarters up to 11), the procedure yields A year meets data completeness require-
a recalculated annual PM2.5 NAAQS test DV ments when quarterly data capture rates for
(TDVmin) that is greater than the level of the all four quarters are at least 75 percent.
standard, then the annual PM2.5 NAAQS DV However, years shall be considered valid,
is deemed to have passed the diagnostic test notwithstanding quarters with less than
and is valid, and the annual PM2.5 NAAQS is complete data (even quarters with less than
deemed to have been violated in that 3-year 11 creditable samples, but at least one cred-
period. itable sample must be present for the year),
if the resulting annual 98th percentile value
(ii) An annual PM2.5 NAAQS DV that is
or resulting 24-hour NAAQS DV (rounded ac-
equal to or below the level of the NAAQS can
cording to the conventions of section 4.3 of
be validated if it passes the maximum quar-
this appendix) is greater than the level of the
terly value data substitution test. This type
standard. Furthermore, where the explicit 75
of data substitution is permitted only if
percent quarterly data capture requirement
there is at least 50 percent data capture in
is not met, the 24-hour PM2.5 NAAQS DV
each quarter that is deficient of 75 percent shall still be considered valid if it passes the
data capture in each of the three years under maximum quarterly value data substitution
consideration. Data substitution will be per- test.
formed in all quarter periods that have less (c) In the case of one, two, or three years
than 75 percent data capture but at least 50 that do not meet the completeness require-
percent data capture. If any quarter has less ments of section 4.2(b) of this appendix and
than 50 percent data capture then this sub- thus would normally not be useable for the
stitution test cannot be used. calculation of a valid 24-hour PM2.5 NAAQS
Procedure: Identify for each deficient quar- DV, the 24-hour PM2.5 NAAQS DV shall nev-
ter (i.e., those with less than 75 percent but ertheless be considered valid if the test con-
at least 50 percent data capture) the highest ditions specified in section 4.2(c)(i) of this
reported daily value for that quarter, exclud- appendix are met.
ing state-flagged data affected by excep- (i) A PM2.5 24-hour mass NAAQS DV that is
tional events which have been approved for equal to or below the level of the NAAQS can
exclusion by the Administrator, looking be validated if it passes the maximum quar-
across those three quarters of all three years terly value data substitution test. This type
under consideration. If after substituting the of data substitution is permitted only if
highest reported daily PM2.5 value for a quar- there is at least 50 percent data capture in
ter for all missing daily data in the match- each quarter that is deficient of 75 percent
ing deficient quarter(s) (i.e., to make those data capture in each of the three years under
quarters 100 percent complete), the proce- consideration. Data substitution will be per-
dure yields a recalculated annual PM2.5 formed in all quarters that have less than 75
NAAQS test DV (TDVmax) that is less than or percent data capture but at least 50 percent
equal to the level of the standard, then the data capture. If any quarter has less than 50
annual PM2.5 NAAQS DV is deemed to have percent data capture then this substitution
passed the diagnostic test and is valid, and test cannot be used.
the annual PM2.5 NAAQS is deemed to have Procedure: Identify for each deficient quar-
been met in that 3-year period. ter (i.e., those with less than 75 percent but
141
at least 50 percent data capture) the highest nearby concentrations in determining
reported daily PM2.5 value for that quarter, whether to use such data.
excluding state-flagged data affected by ex- (e) The procedures and equations for calcu-
ceptional events which have been approved lating the 24-hour PM2.5 NAAQS DVs are
for exclusion by the Regional Administrator, given in section 4.5 of this appendix.
looking across those three quarters of all 4.3 Rounding Conventions. For the pur-
three years under consideration. If, after poses of comparing calculated PM2.5 NAAQS
substituting the highest reported daily max- DVs to the applicable level of the standard,
imum PM2.5 value for a quarter for all miss- it is necessary to round the final results of
ing daily data in the matching deficient the calculations described in sections 4.4 and
quarter(s) (i.e., to make those quarters 100 4.5 of this appendix. Results for all inter-
percent complete), the procedure yields a re- mediate calculations shall not be rounded.
calculated 3-year 24-hour NAAQS test DV (a) Annual PM2.5 NAAQS DVs shall be
(TDVmax) less than or equal to the level of rounded to the nearest tenth of a μg/m3 (deci-
the standard, then the 24-hour PM2.5 NAAQS mals x.x5 and greater are rounded up to the
DV is deemed to have passed the diagnostic next tenth, and any decimal lower than x.x5
test and is valid, and the 24-hour PM2.5 is rounded down to the nearest tenth).
NAAQS is deemed to have been met in that
(b) Twenty-four-hour PM2.5 NAAQS DVs
3-year period.
shall be rounded to the nearest 1 μg/m3 (deci-
(d) A 24-hour PM2.5 NAAQS DV based on
data that do not meet the completeness cri- mals 0.5 and greater are rounded up to the
teria stated in section 4(b) of this appendix nearest whole number, and any decimal
and also do not satisfy the test conditions lower than 0.5 is rounded down to the nearest
specified in section 4(c) of this appendix, whole number).
may also be considered valid with the ap-
4.4 Equations for the Annual PM2.5 NAAQS.
proval of, or at the initiative of, the EPA Ad-
ministrator, who may consider factors such (a) An annual mean value for PM2.5 is de-
as monitoring site closures/moves, moni- termined by first averaging the daily values
toring diligence, the consistency and levels of a calendar quarter using equation 1 of this
of the daily values that are available, and appendix:
Where: xi q,y = the ith value in quarter q for year y.

X̄q,y = the mean for quarter q of the year y; (b) Equation 2 of this appendix is then used
nq = the number of daily values in the quar- to calculate the site annual mean:
ter; and
Where: nQ,y = the number of quarters Q in year y

Xy = the annual mean concentration for year with at least one daily value; and
ER20MR17.000</GPH>
y (y = 1, 2, or 3); Xq,y = the mean for quarter q of year y (result

of equation 1).
142
ER15JA13.005</GPH>
(c) The annual PM2.5 NAAQS DV is cal-
culated using equation 3 of this appendix:
Where: this case, x[1] is the largest number and x[n]

X̄ = the annual PM2.5 NAAQS DV; and is the smallest value.) The 98th percentile
X̄y = the annual mean for year y (result of value is determined from this sorted series of
equation 2) daily values which is ordered from the high-
est to the lowest number. Using the left col-
(d) The annual PM2.5 NAAQS DV is rounded
umn of Table 1, determine the appropriate
according to the conventions in section 4.3 of
range for the annual creditable number of
this appendix before comparisons with the
samples for year y (cny) (e.g., for 120 cred-
levels of the primary and secondary annual
itable samples per year, the appropriate
PM2.5 NAAQS are made.
range would be 101 to 150). The corresponding
4.5 Procedures and Equations for the 24-Hour ‘‘n’’ value in the right column identifies the
PM2.5 NAAQS rank of the annual 98th percentile value in
the descending sorted list of site specific
(a) When the data for a particular site and daily values for year y (e.g., for the range of
year meet the data completeness require- 101 to 150, n would be 3). Thus, P0.98, y = the
ments in section 4.2 of this appendix, cal- nth largest value (e.g., for the range of 101 to
culation of the 98th percentile is accom- 150, the 98th percentile value would be the
plished by the steps provided in this sub- third highest value in the sorted series of
section. Table 1 of this appendix shall be daily values.
used to identify annual 98th percentile val-
ues. TABLE 1
Identification of annual 98th percentile
values using the Table 1 procedure will be The 98th percentile for year y
based on the creditable number of samples (P0.98,y), is the nth maximum
Annual number of creditable 24-hour average value for the
(as described below), rather than on the ac- samples for year y (cny) year where n is the listed num-
tual number of samples. Credit will not be ber
granted for extra (non-creditable) samples.
Extra samples, however, are candidates for 1 to 50 ................................. 1
selection as the annual 98th percentile. [The 51 to 100 ............................. 2
101 to 150 ........................... 3
creditable number of samples will determine 151 to 200 ........................... 4
how deep to go into the data distribution, 201 to 250 ........................... 5
but all samples (creditable and extra) will be 251 to 300 ........................... 6
considered when making the percentile as- 301 to 350 ........................... 7
signment.] The annual creditable number of 351 to 366 ........................... 8
samples is the sum of the four quarterly
creditable number of samples. (b) The 24-hour PM2.5 NAAQS DV is then
Procedure: Sort all the daily values from a calculated by averaging the annual 98th per-
particular site and year by descending value. centiles using equation 4 of this appendix:
(For example: (x[1], x[2], x[3], * * *, x[n]). In P0.98,y
ER15JA13.008</GPH>
143
ER15JA13.007</GPH>
Pt. 50, App. O 40 CFR Ch. I (7–1–21 Edition)
Where: all applicable requirements in part 53 of this
P̄0.98 = the 24-hour PM2.5 NAAQS DV; and chapter, and
P0.98, y = the annual 98th percentile for year (b) The method based on the specific sam-
y plers and associated operational procedures
have been designated as a reference method
(c) The 24-hour PM2.5 NAAQS DV is round- in accordance with part 53 of this chapter.
ed according to the conventions in section 1.7 PM10–2.5 methods based on samplers
4.3 of this appendix before a comparison with that meet nearly all specifications set forth
the level of the primary and secondary 24- in this method but have one or more signifi-
hour NAAQS are made. cant but minor deviations or modifications
[78 FR 3277, Jan. 15, 2013, as amended at 82 from those specifications may be designated
FR 14327, Mar. 20, 2017] as ‘‘Class I’’ equivalent methods for PM10–2.5
in accordance with part 53 of this chapter.
1.8 PM2.5 measurements obtained inci-
APPENDIX O TO PART 50—REFERENCE dental to the PM10–2.5 measurements by this
METHOD FOR THE DETERMINATION OF method shall be considered to have been ob-
COARSE PARTICULATE MATTER AS tained with a reference method for PM2.5 in
PM10–2.5 IN THE ATMOSPHERE accordance with appendix L of this part.
1.9 PM10c measurements obtained inci-
1.0 Applicability and Definition dental to the PM10–2.5 measurements by this
1.1 This method provides for the measure- method shall be considered to have been ob-
ment of the mass concentration of coarse tained with a reference method for PM10 in
particulate matter (PM10–2.5) in ambient air accordance with appendix J of this part, pro-
over a 24-hour period. In conjunction with vided that:
additional analysis, this method may be used (a) The PM10c measurements are adjusted
to EPA reference conditions (25 °C and 760
to develop speciated data.
millimeters of mercury), and
1.2 For the purpose of this method,
(b) Such PM10c measurements are appro-
PM10–2.5 is defined as particulate matter hav-
priately identified to differentiate them
ing an aerodynamic diameter in the nominal
from PM10 measurements obtained with
range of 2.5 to 10 micrometers, inclusive. other (conventional) methods for PM10 des-
1.3 For this reference method, PM10–2.5 ignated in accordance with part 53 of this
concentrations shall be measured as the chapter as reference or equivalent methods
arithmetic difference between separate but for PM10.
concurrent, collocated measurements of
PM10 and PM2.5, where the PM10 measure- 2.0 Principle
ments are obtained with a specially approved
2.1 Separate, collocated, electrically pow-
sampler, identified as a ‘‘PM10c sampler,’’
ered air samplers for PM10c and PM2.5 concur-
that meets more demanding performance re-
rently draw ambient air at identical, con-
quirements than conventional PM10 samplers
stant volumetric flow rates into specially
described in appendix J of this part. Meas-
shaped inlets and through one or more iner-
urements obtained with a PM10c sampler are
tial particle size separators where the sus-
identified as ‘‘PM10c measurements’’ to dis-
pended particulate matter in the PM10 or
tinguish them from conventional PM10 meas-
PM2.5 size range, as applicable, is separated
urements obtained with conventional PM10
for collection on a polytetrafluoroethylene
samplers. Thus, PM10–2.5 = PM10c ¥ PM2.5. (PTFE) filter over the specified sampling pe-
1.4 The PM10c and PM2.5 gravimetric meas- riod. The air samplers and other aspects of
urement processes are considered to be non- this PM10–2.5 reference method are specified
destructive, and the PM10c and PM2.5 samples either explicitly in this appendix or by ref-
obtained in the PM10–2.5 measurement process erence to other applicable regulations or
can be subjected to subsequent physical or quality assurance guidance.
chemical analyses. 2.2 Each PM10c and PM2.5 sample collec-
1.5 Quality assessment procedures are tion filter is weighed (after moisture and
provided in part 58, appendix A of this chap- temperature conditioning) before and after
ter. The quality assurance procedures and sample collection to determine the net
guidance provided in reference 1 in section 13 weight (mass) gain due to collected PM10c or
of this appendix, although written specifi- PM2.5. The total volume of air sampled by
cally for PM2.5, are generally applicable for each sampler is determined by the sampler
PM10c, and, hence, PM10–2.5 measurements from the measured flow rate at local ambi-
under this method, as well. ent temperature and pressure and the sam-
1.6 A method based on specific model pling time. The mass concentrations of both
PM10c and PM2.5 samplers will be considered PM10c and PM2.5 in the ambient air are com-
a reference method for purposes of part 58 of puted as the total mass of collected particles
this chapter only if: in the PM10 or PM2.5 size range, as appro-
(a) The PM10c and PM2.5 samplers and the priate, divided by the total volume of air
associated operational procedures meet the sampled by the respective samplers, and ex-
requirements specified in this appendix and pressed in micrograms per cubic meter (μg/
144
Environmental Protection Agency Pt. 50, App. O
m3)at local temperature and pressure condi- credible PM10–2.5 concentration standards at
tions. The mass concentration of PM10–2.5 is field monitoring sites and presenting or in-
determined as the PM10c concentration value troducing such standards reliably to sam-
less the corresponding, concurrently meas- plers or monitors to assess accuracy is still
ured PM2.5 concentration value. generally impractical. The accuracy of
2.3 Most requirements for PM10–2.5 ref- PM10–2.5 measurements is therefore defined in
erence methods are similar or identical to a relative sense as bias, referenced to meas-
the requirements for PM2.5 reference meth- urements provided by other reference meth-
ods as set forth in appendix L to this part. od samplers or based on flow rate
To insure uniformity, applicable appendix L verification audits or checks, or on other
requirements are incorporated herein by ref- performance evaluation procedures.
erence in the sections where indicated rather 4.2 Measurement system bias for moni-
than repeated in this appendix. toring data is assessed according to the pro-
cedures and schedule set forth in part 58, ap-
3.0 PM10–2.5 Measurement Range pendix A of this chapter. The goal for the
3.1 Lower concentration limit. The lower de- measurement uncertainty (as bias) for moni-
tection limit of the mass concentration toring data is defined in part 58, appendix A
measurement range is estimated to be ap- of this chapter as an upper 95 percent con-
proximately 3 μg/m3, based on the observed fidence limit for the absolute bias of 15 per-
precision of PM2.5 measurements in the na- cent. Reference 1 in section 13 of this appen-
tional PM2.5 monitoring network, the prob- dix provides additional information and
able similar level of precision for the guidance on flow rate accuracy audits and
matched PM10c measurements, and the addi- assessment of bias.
tional variability arising from the differen-
tial nature of the measurement process. This 5.0 Precision
value is provided merely as a guide to the 5.1 Tests to establish initial measurement
significance of low PM10–2.5 concentration precision for each sampler of the reference
measurements. method sampler pair are specified as a part
3.2 Upper concentration limit. The upper of the requirements for designation as a ref-
limit of the mass concentration range is de- erence method under part 53 of this chapter.
termined principally by the PM10c filter mass 5.2 Measurement system precision is as-
loading beyond which the sampler can no sessed according to the procedures and
longer maintain the operating flow rate schedule set forth in appendix A to part 58 of
within specified limits due to increased pres- this chapter. The goal for acceptable meas-
sure drop across the loaded filter. This upper urement uncertainty, as precision, of moni-
limit cannot be specified precisely because it toring data is defined in part 58, appendix A
is a complex function of the ambient particle of this chapter as an upper 95 percent con-
size distribution and type, humidity, the in- fidence limit for the coefficient of variation
dividual filter used, the capacity of the sam- (CV) of 15 percent. Reference 1 in section 13
pler flow rate control system, and perhaps of this appendix provides additional informa-
other factors. All PM10c samplers are esti- tion and guidance on this requirement.
mated to be capable of measuring 24-hour 6.0 Filters for PM10c and PM2.5 Sample Col-
mass concentrations of at least 200 μg/m3 lection. Sample collection filters for both
while maintaining the operating flow rate PM10c and PM2.5 measurements shall be iden-
within the specified limits. The upper limit tical and as specified in section 6 of appendix
for the PM10–2.5 measurement is likely to be L to this part.
somewhat lower because the PM10–2.5 con- 7.0 Sampler. The PM10–2.5 sampler shall
centration represents only a fraction of the consist of a PM10c sampler and a PM2.5 sam-
PM10 concentration. pler, as follows:
3.3 Sample period. The required sample pe- 7.1 The PM2.5 sampler shall be as specified
riod for PM10–2.5 concentration measurements in section 7 of appendix L to this part.
by this method shall be at least 1,380 min- 7.2 The PM10c sampler shall be of like
utes but not more than 1,500 minutes (23 to manufacturer, design, configuration, and
25 hours), and the start times of the PM2.5 fabrication to that of the PM2.5 sampler and
and PM10c samples are within 10 minutes and as specified in section 7 of appendix L to this
the stop times of the samples are also within part, except as follows:
10 minutes (see section 10.4 of this appendix). 7.2.1 The particle size separator specified
in section 7.3.4 of appendix L to this part
4.0 Accuracy (bias)
shall be eliminated and replaced by a
4.1 Because the size, density, and vola- downtube extension fabricated as specified in
tility of the particles making up ambient Figure O–1 of this appendix.
particulate matter vary over wide ranges 7.2.2 The sampler shall be identified as a
and the mass concentration of particles var- PM10c sampler on its identification label re-
ies with particle size, it is difficult to define quired under § 53.9(d) of this chapter.
the accuracy of PM10–2.5 measurements in an 7.2.3 The average temperature and aver-
absolute sense. Furthermore, generation of age barometric pressure measured by the
145
sampler during the sample period, as de- height by not more than 0.2 meter, if pos-
scribed in Table L–1 of appendix L to this sible, but in any case not more than 1 meter,
part, need not be reported to EPA’s AQS and the vertical axes of their inlets are sepa-
data base, as required by section 7.4.19 and rated by at least 1 meter but not more than
Table L–1 of appendix L to this part, pro- 4 meters, horizontally.
vided such measurements for the sample pe- 10.2 The measurement procedure for PM10c
riod determined by the associated PM2.5 sam- shall be as specified in section 10 of appendix
pler are reported as required. L to this part, with ‘‘PM10c’’ substituted for
7.3 In addition to the operation/instruc-
‘‘PM2.5’’ wherever it occurs in that section.
tion manual required by section 7.4.18 of ap-
pendix L to this part for each sampler, sup- 10.3 The measurement procedure for PM2.5
plemental operational instructions shall be shall be as specified in section 10 of appendix
provided for the simultaneous operation of L to this part.
the samplers as a pair to collect concurrent 10.4 For the PM10–2.5 measurement, the
PM10c and PM2.5 samples. The supplemental PM10c and PM2.5 samplers shall be pro-
instructions shall cover any special proce- grammed to operate on the same schedule
dures or guidance for installation and setup and such that the sample period start times
of the samplers for PM10–2.5 measurements, are within 5 minutes and the sample dura-
such as synchronization of the samplers’ tion times are within 5 minutes.
clocks or timers, proper programming for 10.5 Retrieval, transport, and storage of
collection of concurrent samples, and any each PM10c and PM2.5 sample pair following
other pertinent issues related to the simulta- sample collection shall be matched to the ex-
neous, coordinated operation of the two sam- tent practical such that both samples experi-
plers. ence uniform conditions.
7.4 Capability for electrical interconnec- 11.0 Sampler Maintenance. Both PM10c and
tion of the samplers to simplify sample pe-
PM2.5 samplers shall be maintained as de-
riod programming and further ensure simul-
scribed in section 11 of appendix L to this
taneous operation is encouraged but not re-
quired. Any such capability for interconnec- part.
tion shall not supplant each sampler’s capa- 12.0 Calculations
bility to operate independently, as required
by section 7 of appendix L of this part. 12.1 Both concurrent PM10c and PM2.5
measurements must be available, valid, and
8.0 Filter Weighing meet the conditions of section 10.4 of this ap-
8.1 Conditioning and weighing for both pendix to determine the PM10–2.5 mass con-
PM10c and PM2.5 sample filters shall be as centration.
specified in section 8 of appendix L to this 12.2 The PM10c mass concentration is cal-
part. See reference 1 of section 13 of this ap- culated using equation 1 of this section:
pendix for additional, more detailed guid-
ance. Equation 1
8.2 Handling, conditioning, and weighing
for both PM10c and PM2.5 sample filters shall ( Wf − Wi )
be matched such that the corresponding PM10 c =
PM10c and PM2.5 filters of each filter pair re- Va
ceive uniform treatment. The PM10c and
PM2.5 sample filters should be weighed on the Where:
same balance, preferably in the same weigh- PM10c = mass concentration of PM10c, μg/m3;
ing session and by the same analyst. Wf, Wi = final and initial masses (weights),
8.3 Due care shall be exercised to accu- respectively, of the filter used to collect
rately maintain the paired relationship of
the PM10c particle sample, μg;
each set of concurrently collected PM10c and
Va = total air volume sampled by the PM10c
PM2.5 sample filters and their net weight
gain data and to avoid misidentification or sampler in actual volume units measured
reversal of the filter samples or weight data. at local conditions of temperature and
See Reference 1 of section 13 of this appendix pressure, as provided by the sampler, m3.
for additional guidance. NOTE: Total sample time must be between
9.0 Calibration. Calibration of the flow 1,380 and 1,500 minutes (23 and 25 hrs) for a
rate, temperature measurement, and pres- fully valid PM10c sample; however, see also
sure measurement systems for both the section 3.3 of this appendix.
PM10c and PM2.5 samplers shall be as speci-
fied in section 9 of appendix L to this part. 12.3 The PM2.5 mass concentration is cal-
culated as specified in section 12 of appendix
10.0 PM10–2.5 Measurement Procedure L to this part.
12.4 The PM10¥2.5 mass concentration, in
10.1 The PM10c and PM2.5 samplers shall be
installed at the monitoring site such that μg/m3, is calculated using Equation 2 of this
their ambient air inlets differ in vertical section:
146
ER17OC06.012</MATH>
Environmental Protection Agency Pt. 50, App. O
Designated Reference or Class I Equivalent
Equation 2 Methods. Draft, November 1998 (or later
version or supplement, if available). Avail-
PM10 − 2.5 = PM10 c − PM 2.5 able at: www.epa.gov/ttn/amtic/pgqa.html.
13.0 Reference 14.0 Figures

1. Quality Assurance Guidance Document Figure O–1 is included as part of this ap-
2.12. Monitoring PM2.5 in Ambient Air Using pendix O.
147
ER17OC06.013</MATH>
148
ER17OC06.014</MATH>
Environmental Protection Agency Pt. 50, App. P
[71 FR 61230, Oct. 17, 2006] of the year and shall be stored in the first, or
start, hour of the 8-hour period. An 8-hour
APPENDIX P TO PART 50—INTERPRETA- average shall be considered valid if at least
TION OF THE PRIMARY AND SEC- 75% of the hourly averages for the 8-hour pe-
ONDARY NATIONAL AMBIENT AIR riod are available. In the event that only 6 or
QUALITY STANDARDS FOR OZONE 7 hourly averages are available, the 8-hour
average shall be computed on the basis of the
1. General hours available using 6 or 7 as the divisor. 8-
hour periods with three or more missing
(a) This appendix explains the data han-
hours shall be considered valid also, if, after
dling conventions and computations nec-
substituting one-half the minimum detect-
essary for determining whether the national
able limit for the missing hourly concentra-
8-hour primary and secondary ambient air
tions, the 8-hour average concentration is
quality standards for ozone (O3) specified in
greater than the level of the standard. The
§ 50.15 are met at an ambient O3 air quality
computed 8-hour average O3 concentrations
monitoring site. Ozone is measured in the
shall be reported to three decimal places (the
ambient air by a reference method based on
digits to the right of the third decimal place
appendix D of this part, as applicable, and
are truncated, consistent with the data han-
designated in accordance with part 53 of this
dling procedures for the reported data).
chapter, or by an equivalent method des-
Daily maximum 8-hour average concentra-
ignated in accordance with part 53 of this
tions. (a) There are 24 possible running 8-hour
chapter. Data reporting, data handling, and
average O3 concentrations for each calendar
computation procedures to be used in mak-
day during the O3 monitoring season. The
ing comparisons between reported O3 con-
daily maximum 8-hour concentration for a
centrations and the levels of the O3 stand-
given calendar day is the highest of the 24
ards are specified in the following sections.
possible 8-hour average concentrations com-
Whether to exclude, retain, or make adjust-
puted for that day. This process is repeated,
ments to the data affected by exceptional
yielding a daily maximum 8-hour average O3
events, including stratospheric O3 intrusion
concentration for each calendar day with
and other natural events, is determined by
ambient O3 monitoring data. Because the 8-
the requirements under §§ 50.1, 50.14 and
hour averages are recorded in the start hour,
51.930.
the daily maximum 8-hour concentrations
(b) The terms used in this appendix are de-
from two consecutive days may have some
fined as follows:
hourly concentrations in common. Gen-
8-hour average is the rolling average of
erally, overlapping daily maximum 8-hour
eight hourly O3 concentrations as explained
averages are not likely, except in those non-
in section 2 of this appendix.
Annual fourth-highest daily maximum refers urban monitoring locations with less pro-
to the fourth highest value measured at a nounced diurnal variation in hourly con-
monitoring site during a particular year. centrations.
Daily maximum 8-hour average concentration (b) An O3 monitoring day shall be counted
refers to the maximum calculated 8-hour av- as a valid day if valid 8-hour averages are
erage for a particular day as explained in available for at least 75% of possible hours in
section 2 of this appendix. the day (i.e., at least 18 of the 24 averages).
Design values are the metrics (i.e., statis- In the event that less than 75% of the 8-hour
tics) that are compared to the NAAQS levels averages are available, a day shall also be
to determine compliance, calculated as counted as a valid day if the daily maximum
shown in section 3 of this appendix. 8-hour average concentration for that day is
O3 monitoring season refers to the span of greater than the level of the standard.
time within a calendar year when individual 2.2 Primary and Secondary Standard-
States are required to measure ambient O3 related Summary Statistic
concentrations as listed in part 58 appendix
D to this chapter. The standard-related summary statistic is
Year refers to calendar year. the annual fourth-highest daily maximum 8-
hour O3 concentration, expressed in parts per
2. Primary and Secondary Ambient Air million, averaged over three years. The 3-
Quality Standards for Ozone year average shall be computed using the
three most recent, consecutive calendar
2.1 Data Reporting and Handling
years of monitoring data meeting the data
Conventions
completeness requirements described in this
Computing 8-hour averages. Hourly average appendix. The computed 3-year average of
concentrations shall be reported in parts per the annual fourth-highest daily maximum 8-
million (ppm) to the third decimal place, hour average O3 concentrations shall be re-
with additional digits to the right of the ported to three decimal places (the digits to
third decimal place truncated. Running 8- the right of the third decimal place are trun-
hour averages shall be computed from the cated, consistent with the data handling pro-
hourly O3 concentration data for each hour cedures for the reported data).
149
Pt. 50, App. P 40 CFR Ch. I (7–1–21 Edition)
2.3 Comparisons with the Primary and onstrate that meteorological conditions on
Secondary Ozone Standards missing days were not conducive to con-
(a) The primary and secondary O3 ambient centrations above the level of the standard.
air quality standards are met at an ambient Missing days assumed less then the level of
air quality monitoring site when the 3-year the standard are counted for the purpose of
average of the annual fourth-highest daily meeting the data completeness requirement,
maximum 8-hour average O3 concentration is subject to the approval of the appropriate
less than or equal to 0.075 ppm. Regional Administrator.
(b) This comparison shall be based on three (c) Years with concentrations greater than
consecutive, complete calendar years of air the level of the standard shall be included
quality monitoring data. This requirement is even if they have less than complete data.
met for the 3-year period at a monitoring Thus, in computing the 3-year average
site if daily maximum 8-hour average con- fourth maximum concentration, calendar
centrations are available for at least 90% of years with less than 75% data completeness
the days within the O3 monitoring season, on shall be included in the computation if the 3-
average, for the 3-year period, with a min- year average fourth-highest 8-hour con-
imum data completeness requirement in any centration is greater than the level of the
one year of at least 75% of the days within standard.
the O3 monitoring season. When computing (d) Comparisons with the primary and sec-
whether the minimum data completeness re- ondary O3 standards are demonstrated by ex-
quirements have been met, meteorological or amples 1 and 2 in paragraphs (d)(1) and (d)(2)
ambient data may be sufficient to dem- respectively as follows:
EXAMPLE 1—AMBIENT MONITORING SITE ATTAINING THE PRIMARY AND SECONDARY O3 STANDARDS
Percent valid 1st Highest 2nd Highest 3rd Highest 4th Highest 5th Highest
days (within daily max 8- daily max 8- daily max 8- daily max 8- daily max 8-
Year the required hour Conc. hour Conc. hour Conc. hour Conc. hour Conc.
monitoring (ppm) (ppm) (ppm) (ppm) (ppm)
season)
2004 .............................. 100 0.092 0.090 0.085 0.079 0.078

2005 .............................. 96 0.084 0.083 0.075 0.072 0.070
2006 .............................. 98 0.080 0.079 0.077 0.076 0.060
Average .................. 98 ........................ ........................ ........................ 0.075 ........................
(1) As shown in Example 1, this monitoring percent of days within the required moni-
site meets the primary and secondary O3 toring season with valid ambient monitoring
standards because the 3-year average of the data is greater than 90%, and no single year
annual fourth-highest daily maximum 8-hour has less than 75% data completeness. In Ex-
average O3 concentrations (i.e., 0.075666 * * * ample 1, the individual 8-hour averages used
ppm, truncated to 0.075 ppm) is less than or to determine the annual fourth maximum
equal to 0.075 ppm. The data completeness have also been truncated to the third dec-
requirement is also met because the average imal place.
EXAMPLE 2—AMBIENT MONITORING SITE FAILING TO MEET THE PRIMARY AND SECONDARY O3
STANDARDS
Percent valid 1st Highest 2nd Highest 3rd Highest 4th Highest 5th Highest
days (within daily max 8- daily max 8- daily max 8- daily max 8- daily max 8-
Year the required hour Conc. hour Conc. hour Conc. hour Conc. hour Conc.
monitoring (ppm) (ppm) (ppm) (ppm) (ppm)
season)
2004 .............................. 96 0.105 0.103 0.103 0.103 0.102

2005 .............................. 74 0.104 0.103 0.092 0.091 0.088
2006 .............................. 98 0.103 0.101 0.101 0.095 0.094
Average .................. 89 ........................ ........................ ........................ 0.096 ........................
As shown in Example 2, the primary and 0.075 ppm, even though the data capture is
secondary O3 standards are not met for this less than 75% and the average data capture
monitoring site because the 3-year average for the 3 years is less than 90% within the re-
of the fourth-highest daily maximum 8-hour quired monitoring season. In Example 2, the
average O3 concentrations (i.e., 0.096333 * * * individual 8-hour averages used to determine
ppm, truncated to 0.096 ppm) is greater than
150
Environmental Protection Agency Pt. 50, App. Q
the annual fourth maximum have also been Equivalent Methods). This FRM specifically
truncated to the third decimal place. applies to the analysis of Pb in PM10 filters
collected with the PM10c sampler. If these fil-
3. Design Values for Primary and Secondary ters are analyzed for elements other than Pb,
Ambient Air Quality Standards for Ozone then refer to the guidance provided in the
The air quality design value at a moni- EPA Inorganic Compendium Method IO–3.3
toring site is defined as that concentration (Reference 1 of section 8) for multi-element
that when reduced to the level of the stand- analysis.
ard ensures that the site meets the standard. 1.4 The PM10c air sampler draws ambient
For a concentration-based standard, the air air at a constant volumetric flow rate into a
quality design value is simply the standard- specially shaped inlet and through an iner-
related test statistic. Thus, for the primary tial particle size separator, where the sus-
and secondary standards, the 3-year average pended particulate matter in the PM10 size
annual fourth-highest daily maximum 8-hour range is separated for collection on a PTFE
average O3 concentration is also the air qual- filter over the specified sampling period. The
ity design value for the site. Pb content of the PM10 sample is analyzed by
energy-dispersive X-ray fluorescence spec-
[73 FR 16511, Mar. 27, 2008] trometry (EDXRF). Energy-dispersive X-ray
fluorescence spectrometry provides a means
APPENDIX Q TO PART 50—REFERENCE for identification of an element by measure-
METHOD FOR THE DETERMINATION OF ment of its characteristic X-ray emission en-
LEAD IN PARTICULATE MATTER AS ergy. The method allows for quantification
PM10 COLLECTED FROM AMBIENT of the element by measuring the intensity of
AIR X-rays emitted at the characteristic photon
energy and then relating this intensity to
This Federal Reference Method (FRM) the elemental concentration. The number or
draws heavily from the specific analytical intensity of X-rays produced at a given en-
protocols used by the U.S. EPA. ergy provides a measure of the amount of the
1. Applicability and Principle element present by comparisons with cali-
1.1 This method provides for the measure- bration standards. The X-rays are detected
ment of the lead (Pb) concentration in par- and the spectral signals are acquired and
ticulate matter that is 10 micrometers or processed with a personal computer. EDXRF
less (PM10) in ambient air. PM10 is collected is commonly used as a non-destructive meth-
on an acceptable (see section 6.1.2) 46.2 mm od for quantifying trace elements in PM. A
diameter polytetrafluoroethylene (PTFE) fil- detailed explanation of quantitative X-ray
ter for 24 hours using active sampling at spectrometry is described in references 2, 3
local conditions with a low-volume air sam- and 4.
pler. The low-volume sampler has an average 1.5 Quality assurance (QA) procedures for
flow rate of 16.7 liters per minute (Lpm) and the collection of monitoring data are con-
total sampled volume of 24 cubic meters (m3) tained in Part 58, appendix A.
of air. The analysis of Pb in PM10 is per- 2. PM10Pb Measurement Range and Detection
formed on each individual 24-hour sample. Limit. The values given below in section 2.1
Gravimetric mass analysis of PM10c filters is and 2.2 are typical of the method capabili-
not required for Pb analysis. For the purpose ties. Absolute values will vary for individual
of this method, PM10 is defined as particulate situations depending on the instrument, de-
matter having an aerodynamic diameter in tector age, and operating conditions used.
the nominal range of 10 micrometers (10 μm) Data are typically reported in ng/m3 for am-
or less. bient air samples; however, for this reference
1.2 For this reference method, PM10 shall method, data will be reported in μg/m3 at
be collected with the PM10c federal reference local temperature and pressure conditions.
method (FRM) sampler as described in ap- 2.1 EDXRF Pb Measurement Range. The
pendix O to Part 50 using the same sample typical ambient air measurement range is
period, measurement procedures, and re- 0.001 to 30 μg Pb/m3, assuming an upper range
quirements specified in appendix L of Part calibration standard of about 60 μg Pb per
50. The PM10c sampler is also being used for square centimeter (cm2), a filter deposit area
measurement of PM10¥2.5 mass by difference of 11.86 cm2, and an air volume of 24 m3. The
and as such, the PM10c sampler must also top range of the EDXRF instrument is much
meet all of the performance requirements greater than what is stated here. The top
specified for PM2.5 in appendix L. The con- measurement range of quantification is de-
centration of Pb in the atmosphere is deter- fined by the level of the high concentration
mined in the total volume of air sampled and calibration standard used and can be in-
expressed in micrograms per cubic meter (μg/ creased to expand the measurement range as
m3) at local temperature and pressure condi- needed.
tions. 2.2 Detection Limit (DL). A typical esti-
1.3 The FRM will serve as the basis for ap- mate of the one-sigma detection limit (DL)
proving Federal Equivalent Methods (FEMs) is about 2 ng Pb/cm2 or 0.001 μg Pb/m3, assum-
as specified in 40 CFR Part 53 (Reference and ing a filter size of 46.2 mm (filter deposit
151
Pt. 50, App. Q 40 CFR Ch. I (7–1–21 Edition)
area of 11.86 cm2) and a sample air volume of centration. This is because the Pb Lα line
24 m3. The DL is an estimate of the lowest and the As Kα lines severely overlap. The use
amount of Pb that can be reliably distin- of multiple Pb lines, including the Lβ and/or
guished from a blank filter. The one-sigma the Lγ lines for quantification must be used
detection limit for Pb is calculated as the to reduce the uncertainty in the Pb deter-
average overall uncertainty or propagated mination in the presence of As. There can be
error for Pb, determined from measurements instances when lines partially overlap the Pb
on a series of blank filters from the filter spectral lines, but with the energy resolution
lot(s) in use. Detection limits must be deter- of most detectors these overlaps are typi-
mined for each filter lot in use. If a new fil- cally de-convoluted using standard spectral
ter lot is used, then a new DL must be deter- de-convolution software provided by the in-
mined. The sources of random error which strument vendor. An EDXRF protocol for Pb
are considered are calibration uncertainty; must define which Pb lines are used for
system stability; peak and background quantification and where spectral overlaps
counting statistics; uncertainty in attenu- occur. A de-convolution protocol must be
ation corrections; and uncertainty in peak used to separate all the lines which overlap
overlap corrections, but the dominating with Pb.
source by far is peak and background count- 3.3 Particle Size Effects and Attenuation
ing statistics. At a minimum, laboratories Correction Factors. X-ray attenuation is de-
are to determine annual estimates of the DL pendent on the X-ray energy, mass sample
using the guidance provided in Reference 5. loading, composition, and particle size. In
3. Factors Affecting Bias and Precision of some cases, the excitation and fluorescent X-
Lead Determination by EDXRF rays are attenuated as they pass through the
3.1 Filter Deposit. X-ray spectra are sub- sample. In order to relate the measured in-
ject to distortion if unusually heavy deposits tensity of the X-rays to the thin-film cali-
are analyzed. This is the result of internal bration standards used, the magnitude of
absorption of both primary and secondary X- any attenuation present must be corrected
rays within the sample; however, this is not for. See references 6, 7, and 8 for more discus-
an issue for Pb due to the energetic X-rays sion on this issue. Essentially no attenu-
used to fluoresce Pb and the energetic char- ation corrections are necessary for Pb in
acteristic X-rays emitted by Pb. The opti- PM10: Both the incoming excitation X-rays
mum mass filter loading for multi-elemental used for analyzing lead and the fluoresced Pb
EDXRF analyis is about 100 μg/cm2 or 1.2 mg/ X-rays are sufficiently energetic that for
filter for a 46.2-mm filter. Too little deposit particles in this size range and for normal
material can also be problematic due to low filter loadings, the Pb X-ray yield is not sig-
counting statistics and signal noise. The par- nificantly impacted by attenuation.
ticle mass deposit should minimally be 15 μg/ 4. Precision
cm2. The maximum PM10 filter loading or 4.1 Measurement system precision is as-
upper concentration limit of mass expected sessed according to the procedures set forth
to be collected by the PM10c sampler is 200 μg/ in appendix A to part 58. Measurement meth-
m3 (Appendix O to Part 50, Section 3.2). This od precision is assessed from collocated sam-
equates to a mass loading of about 400 μg/cm2 pling and analysis. The goal for acceptable
and is the maximum expected loading for measurement uncertainty, as precision, is
PM10c filters. This maximum loading is ac- defined as an upper 90 percent confidence
ceptable for the analysis of Pb and other limit for the coefficient of variation (CV) of
high-Z elements with very energetic char- 20 percent.
acteristic X-rays. A properly collected sam- 5. Bias
ple will have a uniform deposit over the en- 5.1 Measurement system bias for moni-
tire collection area. Samples with physical toring data is assessed according to the pro-
deformities (including a visually non-uni- cedures set forth in appendix A of part 58.
form deposit area) should not be quan- The bias is assessed through an audit using
titatively analyzed. Tests on the uniformity spiked filters. The goal for measurement
of particle deposition on PM10C filters bias is defined as an upper 95 percent con-
showed that the non-uniformity of the filter fidence limit for the absolute bias of 15 per-
deposit represents a small fraction of the cent.
overall uncertainty in ambient Pb con- 6. Measurement of PTFE Filters by EDXRF
centration measurement. The analysis beam 6.1 Sampling
of the XRF analyzer does not cover the en- 6.1.1 Low-Volume PM10cSampler. The low-
tire filter collection area. The minimum al- volume PM10c sampler shall be used for PM10
lowable beam size is 10 mm. sample collection and operated in accord-
3.2 Spectral Interferences and Spectral Over- ance with the performance specifications de-
lap. Spectral interference occurs when the scribed in part 50, appendix L.
entirety of the analyte spectral lines of two 6.1.2 PTFE Filters and Filter Acceptance
species are nearly 100% overlapped. The pres- Testing. The PTFE filters used for PM10c sam-
ence of arsenic (As) is a problematic inter- ple collection shall meet the specifications
ference for EDXRF systems which use the Pb provided in part 50, appendix L. The fol-
Lα line exclusively to quantify the Pb con- lowing requirements are similar to those
152
Environmental Protection Agency Pt. 50, App. Q
currently specified for the acceptance of preparation of thin film standards is dis-
PM2.5 filters that are tested for trace ele- cussed in reference 8, and 10. The NIST SRM
ments by EDXRF. For large filter lots 2783 (Air Particulate on Filter Media) is cur-
(greater than 500 filters) randomly select 20 rently available on polycarbonate filters and
filters from a given lot. For small lots (less contains a certified concentration for Pb.
than 500 filters) a lesser number of filters Thin film standards at 15 and 50 μg/cm2 are
may be taken. Analyze each blank filter sep- commercially available from MicroMatter
arately and calculate the average lead con- Inc. (Arlington, WA).
centration in ng/cm2. Ninety percent, or 18 of 6.2.3 Filter Preparation. Filters used for
the 20 filters, must have an average lead con- sample collection are 46.2-mm PTFE filters
centration that is less than 4.8 ng Pb/cm2. with a pore size of 2 microns and filter de-
6.1.2.1 Filter Blanks. Field blank filters posit area 11.86 cm2. Cold storage is not a re-
shall be collected along with routine sam- quirement for filters analyzed for Pb; how-
ples. Field blank filters will be collected that ever, if filters scheduled for XRF analysis
are transported to the sampling site and were stored cold, they must be allowed to
placed in the sampler for the duration of reach room temperature prior to analysis.
sampling without sampling. Laboratory All filter samples received for analysis are
blank filters from each filter lot used shall checked for any holes, tears, or a non-uni-
be analyzed with each batch of routine sam- form deposit which would prevent quan-
ple filters analyzed. Laboratory blank filters titative analysis. Samples with physical de-
are used in background subtraction as dis- formities are not quantitatively analyzable.
cussed below in Section 6.2.4. The filters are carefully removed with tweez-
6.2 Analysis. The four main categories of ers from the Petri dish and securely placed
random and systematic error encountered in into the instrument-specific sampler holder
X-ray fluorescence analysis include errors for analysis. Care must be taken to protect
from sample collection, the X-ray source, the filters from contamination prior to analysis.
counting process, and inter-element effects. Filters must be kept covered when not being
These errors are addressed through the cali- analyzed. No other preparation of filter sam-
bration process and mathematical correc- ples is required.
tions in the instrument software. Spectral 6.2.4 Calibration. In general, calibration
processing methods are well established and determines each element’s sensitivity, i.e.,
most commercial analyzers have software its response in x-ray counts/sec to each μg/
that can implement the most common ap- cm2 of a standard and an interference coeffi-
proaches (references 9–11) to background sub- cient for each element that causes inter-
traction, peak overlap correction, counting ference with another one (See section 3.2
and deadtime corrections. above). The sensitivity can be determined by
6.2.1 EDXRF Analysis Instrument. An en- a linear plot of count rate versus concentra-
ergy-dispersive XRF system is used. Energy- tion (μg/cm2) in which the slope is the instru-
dispersive XRF systems are available from a ment’s sensitivity for that element. A more
number of commercial vendors. Examples in- precise way, which requires fewer standards,
clude Thermo (www.thermo.com), Spectro is to fit sensitivity versus atomic number.
(http://www.spectro.com), Xenemetrix (http:// Calibration is a complex task in the oper-
www.xenemetrix.com) and PANalytical (http:// ation of an XRF system. Two major func-
www.panalytical.com). 1 The analysis is per- tions accomplished by calibration are the
formed at room temperature in either vacu- production of reference spectra which are
um or in a helium atmosphere. The specific used for fitting and the determination of the
details of the corrections and calibration al- elemental sensitivities. Included in the ref-
gorithms are typically included in commer- erence spectra (referred to as ‘‘shapes’’) are
cial analytical instrument software routines background-subtracted peak shapes of the
for automated spectral acquisition and proc- elements to be analyzed (as well as inter-
essing and vary by manufacturer. It is im- fering elements) and spectral backgrounds.
portant for the analyst to understand the Pure element thin film standards are used
correction procedures and algorithms of the for the element peak shapes and clean filter
particular system used, to ensure that the blanks from the same lot as routine filter
necessary corrections are applied. samples are used for the background. The
6.2.2 Thin film standards. Thin film stand- analysis of Pb in PM filter deposits is based
ards are used for calibration because they on the assumption that the thickness of the
most closely resemble the layer of particles deposit is small with respect to the char-
on a filter. Thin films standards are typi- acteristic Pb X-ray transmission thickness.
cally deposited on Nuclepore substrates. The Therefore, the concentration of Pb in a sam-
ple is determined by first calibrating the
1 These are examples of available systems spectrometer with thin film standards to de-
and is not an all inclusive list. The mention termine the sensitivity factor for Pb and
of commercial products does not imply en- then analyzing the unknown samples under
dorsement by the U.S. Environmental Pro- identical excitation conditions as used to de-
tection Agency. termine the calibration. Calibration shall be
153
Pt. 50, App. Q 40 CFR Ch. I (7–1–21 Edition)
performed annually or when significant re-
pairs or changes occur (e.g., a change in CPb × A
fluorescers, X-ray tubes, or detector). Cali- M Pb =
bration establishes the elemental sensitivity VLC
factors and the magnitude of interference or
Where,
overlap coefficients. See reference 7 for more
detailed discussion of calibration and anal- MPb is the mass per unit volume for lead in
μg/m3;
ysis of shapes standards for background cor-
CPb is the mass per unit area for lead in μg/
rection, coarse particle absorption correc-
cm2 as measured by XRF;
tions, and spectral overlap. A is the filter deposit area in cm2;
6.2.4.1 Spectral Peak Fitting. The EPA uses VLC is the total volume of air sampled by the
a library of pure element peak shapes (shape PM10c sampler in actual volume units
standards) to extract the elemental back- measured at local conditions of tempera-
ground-free peak areas from an unknown ture and pressure, as provided by the
spectrum. It is also possible to fit spectra sampler in m3.
using peak stripping or analytically defined 7.2 PM10 Pb Uncertainty Calculations.
functions such as modified Gaussian func- The principal contributors to total uncer-
tions. The EPA shape standards are gen- tainty of XRF values include: field sampling;
erated from pure, mono-elemental thin film filter deposit area; XRF calibration; attenu-
standards. The shape standards are acquired ation or loss of the x-ray signals due to the
for sufficiently long times to provide a large other components of the particulate sample;
number of counts in the peaks of interest. It and determination of the Pb X-ray emission
is not necessary for the concentration of the peak area by curve fitting. See reference 12
standard to be known. A slight contaminant for a detailed discussion of how uncertainties
in the region of interest in a shape standard are similarly calculated for the PM2.5 Chem-
can have a significant and serious effect on ical Speciation program.
the ability of the least squares fitting algo- The model for calculating total uncer-
rithm to fit the shapes to the unknown spec- tainty is:
trum. It is these elemental peak shapes that δtot = (δf2 + δa2 + δc2 + δv2) 1/2
are fitted to the peaks in an unknown sam- Where,
ple during spectral processing by the ana- δf = fitting uncertainty (XRF-specific, from 2
lyzer. In addition to this library of elemental to 100 + %)
shapes there is also a background shape spec- δa = attenuation uncertainty (XRF-specific,
trum for the filter type used as discussed insignificant for Pb)
below in section 6.2.4.2 of this section. δc = calibration uncertainty (combined lab
6.2.4.2 Background Measurement and Cor- uncertainty, assumed as 5%)
rection. A background spectrum generated by δv = volume/deposition size uncertainty
the filter itself must be subtracted from the (combined field uncertainty, assumed as
X-ray spectrum prior to extracting peak 5%)
areas. Background spectra must be obtained 8. References
for each filter lot used for sample collection. 1. Inorganic Compendium Method IO–3.3;
The background shape standards which are Determination of Metals in Ambient Partic-
used for background fitting are created at ulate Matter Using X-Ray Fluorescence
the time of calibration. If a new lot of filters (XRF) Spectroscopy; U.S. Environmental
is used, new background spectra must be ob- Protection Agency, Cincinnati, OH 45268.
tained. A minimum of 20 clean blank filters EPA/625/R–96/010a. June 1999.
from each filter lot are kept in a sealed con- 2. Jenkins, R., Gould, R.W., and Gedcke, D.
tainer and are used exclusively for back- Quantitative X-ray Spectrometry: Second
ground measurement and correction. The Edition. Marcel Dekker, Inc., New York, NY.
spectra acquired on individual blank filters 1995.
3. Jenkins, R. X-Ray Fluorescence Spec-
are added together to produce a single spec-
trometry: Second Edition in Chemical Anal-
trum for each of the secondary targets or
ysis, a Series of Monographs on Analytical
fluorescers used in the analysis of lead. Indi-
Chemistry and Its Applications, Volume 152.
vidual blank filter spectra which show atypi-
Editor J.D.Winefordner; John Wiley & Sons,
cal contamination are excluded from the
Inc., New York, NY. 1999.
summed spectra. The summed spectra are 4. Dzubay, T.G. X-ray Fluorescence Anal-
fitted to the appropriate background during ysis of Environmental Samples, Ann Arbor
spectral processing. Background correction Science Publishers Inc., 1977.
is automatically included during spectral 5. Code of Federal Regulations (CFR) 40,
processing of each sample. Part 136, Appendix B; Definition and Proce-
7. Calculation. dure for the Determination of the Method
7.1 PM10 Pb concentrations. The PM10 Pb Detection Limit—Revision 1.1.
concentration in the atmosphere (μg/m3) is 6. Drane, E.A, Rickel, D.G., and Courtney,
calculated using the following equation: W.J., ‘‘Computer Code for Analysis X-Ray
154
ER12NO08.000</MATH>
Environmental Protection Agency Pt. 50, App. R
Fluorescence Spectra of Airborne Particu- FRM based on appendix Q to this part or by
late Matter,’’ in Advances in X-Ray Anal- an FEM designated in accordance with part
ysis, J.R. Rhodes, Ed., Plenum Publishing 53 of this chapter. Surrogate Pb-TSP data
Corporation, New York, NY, p. 23 (1980). (i.e., Pb-PM10 data), however, can only be
7. Analysis of Energy-Dispersive X-ray used to show that the Pb NAAQS were vio-
Spectra of Ambient Aerosols with Shapes lated (i.e., not met); they can not be used to
Optimization, Guidance Document; TR– demonstrate that the Pb NAAQS were met.
WDE–06–02; prepared under contract EP–D– Pb-PM10 data used as surrogate Pb-TSP data
05–065 for the U.S. Environmental Protection shall be processed at face value; that is,
Agency, National Exposure Research Labora- without any transformation or scaling. Data
tory. March 2006. handling and computation procedures to be
8. Billiet, J., Dams, R., and Hoste, J. (1980) used in making comparisons between re-
Multielement Thin Film Standards for XRF ported and/or surrogate Pb-TSP concentra-
Analysis, X-Ray Spectrometry, 9(4): 206–211. tions and the level of the Pb NAAQS are
9. Bonner, N.A.; Bazan, F.; and Camp, D.C. specified in the following sections.
(1973). Elemental analysis of air filter sam- (b) Whether to exclude, retain, or make ad-
ples using x-ray fluorescence. Report No. justments to the data affected by excep-
UCRL–51388. Prepared for U.S. Atomic En- tional events, including natural events, is
ergy Commission, by Univ. of Calif., Law- determined by the requirements and process
rence Livermore Laboratory, Livermore, CA. deadlines specified in §§ 50.1, 50.14, and 51.930
10. Dzubay, T.G.; Lamothe, P.J.; and of this chapter.
Yoshuda, H. (1977). Polymer films as calibra- (c) The terms used in this appendix are de-
tion standards for X-ray fluorescence anal- fined as follows:
ysis. Adv. X-Ray Anal., 20:411.
Annual monitoring network plan refers to
11. Giauque, R.D.; Garrett, R.B.; and Goda,
the plan required by section 58.10 of this
L.Y. (1977). Calibration of energy-dispersive
chapter.
X-ray spectrometers for analysis of thin en-
vironmental samples. In X-Ray Fluorescence Creditable samples are samples that are
Analysis of Environmental Samples, T.G. given credit for data completeness. They in-
Dzubay, Ed., Ann Arbor Science Publishers, clude valid samples collected on required
Ann Arbor, MI, pp. 153–181. sampling days and valid ‘‘make-up’’ samples
12. Harmonization of Interlaboratory X-ray taken for missed or invalidated samples on
Fluorescence Measurement Uncertainties, required sampling days.
Detailed Discussion Paper; August 4, 2006; Daily values for Pb refer to the 24-hour
prepared for the Office of Air Quality Plan- mean concentrations of Pb (Pb-TSP or Pb-
ning and Standards under EPA contract 68– PM10), measured from midnight to midnight
D–03–038. http://www.epa.gov/ttn/amtic/files/am- (local standard time), that are used in
bient/pm25/spec/xrfdet.pdf. NAAQS computations.
Design value is the site-level metric (i.e.,
[73 FR 67052, Nov. 12, 2008] statistic) that is compared to the NAAQS
level to determine compliance; the design
APPENDIX R TO PART 50—INTERPRETA- value for the Pb NAAQS is selected accord-
TION OF THE NATIONAL AMBIENT AIR ing to the procedures in this appendix from
QUALITY STANDARDS FOR LEAD among the valid three-month Pb-TSP and
surrogate Pb-TSP (Pb-PM10) arithmetic
1. General. mean concentration for the 38-month period
(a) This appendix explains the data han- consisting of the most recent 3-year calendar
dling conventions and computations nec- period plus two previous months (i.e., 36 3-
essary for determining when the primary and month periods) using the last month of each
secondary national ambient air quality 3-month period as the period of report.
standards (NAAQS) for lead (Pb) specified in Extra samples are non-creditable samples.
§ 50.16 are met. The NAAQS indicator for Pb They are daily values that do not occur on
is defined as: lead and its compounds, meas- scheduled sampling days and that can not be
ured as elemental lead in total suspended used as ‘‘make-up samples’’ for missed or in-
particulate (Pb-TSP), sampled and analyzed validated scheduled samples. Extra samples
by a Federal reference method (FRM) based are used in mean calculations. For purposes
on appendix G to this part or by a Federal of determining whether a sample must be
equivalent method (FEM) designated in ac- treated as a make-up sample or an extra
cordance with part 53 of this chapter. Al- sample, Pb-TSP and Pb-PM10 data collected
though Pb-TSP is the lead NAAQS indicator, before January 1, 2009 will be treated with an
surrogate Pb-TSP concentrations shall also assumed scheduled sampling frequency of
be used for NAAQS comparisons; specifi- every sixth day.
cally, valid surrogate Pb-TSP data are con- Make-up samples are samples taken to re-
centration data for lead and its compounds, place missed or invalidated required sched-
measured as elemental lead, in particles uled samples. Make-ups can be made by ei-
with an aerodynamic size of 10 microns or ther the primary or collocated (same size
less (Pb-PM10), sampled and analyzed by an fraction) instruments; to be considered a
155
Pt. 50, App. R 40 CFR Ch. I (7–1–21 Edition)
valid make-up, the sampling must be con- (a) As stipulated in section 2.10 of Appen-
ducted with equipment and procedures that dix C to 40 CFR part 58, at some mandatory
meet the requirements for scheduled sam- Pb monitoring locations, monitoring agen-
pling. Make-up samples are either taken be- cies are required to sample for Pb as Pb-TSP,
fore the next required sampling day or ex- and at other mandatory Pb monitoring sites,
actly one week after the missed (or voided) monitoring agencies are permitted to mon-
sampling day. Make-up samples can not span itor for Pb-PM10 in lieu of Pb-TSP. In either
years; that is, if a scheduled sample for De- situation, valid collocated Pb data for the
cember is missed (or voided), it can not be other parameter may be produced. Addition-
made up in January. Make-up samples, how- ally, there may be non-required monitoring
ever, may span months, for example a missed locations that also produce valid Pb-TSP
sample on January 31 may be made up on and/or valid Pb-PM10 data. Pb-TSP data and
February 1, 2, 3, 4, 5, or 7 (with an assumed Pb-PM10 data are always processed sepa-
sampling frequency of every sixth day). Sec- rately when computing monthly and 3-
tion 3(e) explains how such month-spanning month parameter means; monthly and 3-
make-up samples are to be treated for pur- month parameter means are validated ac-
poses of data completeness and mean cal- cording to the criteria stated in section 4 of
culations. Only two make-up samples are this appendix. Three-month ‘‘site’’ means,
permitted each calendar month; these are which are the final valid 3-month mean from
counted according to the month in which the which a design value is identified, are deter-
miss and not the makeup occurred. For pur- mined from the one or two available valid 3-
poses of determining whether a sample must month parameter means according to the
be treated as a make-up sample or an extra following prioritization which applies to all
sample, Pb-TSP and Pb-PM10 data collected Pb monitoring locations.
before January 1, 2009 will be treated with an (i) Whenever a valid 3-month Pb-PM10
assumed scheduled sampling frequency of mean shows a violation and either is greater
every sixth day. than a corresponding (collocated) 3-month
Monthly mean refers to an arithmetic Pb-TSP mean or there is no corresponding
mean, calculated as specified in section 6(a) valid 3-month Pb-TSP mean present, then
of this appendix. Monthly means are com- that 3-month Pb-PM10 mean will be the site-
puted at each monitoring site separately for level mean for that (site’s) 3-month period.
Pb-TSP and Pb-PM10 (i.e., by site-parameter- (ii) Otherwise (i.e., there is no valid vio-
year-month). lating 3-month Pb-PM10 that exceeds a cor-
Parameter refers either to Pb-TSP or to Pb- responding 3-month Pb-TSP mean),
PM10. (A) If a valid 3-month Pb-TSP mean exists,
Pollutant Occurrence Code (POC) refers to a then it will be the site-level mean for that
numerical code (1, 2, 3, etc.) used to distin- (site’s) 3-month period, or
guish the data from two or more monitors (B) If a valid 3-month Pb-TSP mean does
for the same parameter at a single moni- not exist, then there is no valid 3-month site
toring site. mean for that period (even if a valid non-vio-
Scheduled sampling day means a day on lating 3-month Pb-PM10 mean exists).
which sampling is scheduled based on the re- (b) As noted in section 1(a) of this appen-
quired sampling frequency for the moni- dix, FRM/FEM Pb-PM10 data will be proc-
toring site, as provided in section 58.12 of essed at face value (i.e., at reported con-
this chapter. centrations) without adjustment when com-
Three-month means are arithmetic averages puting means and making NAAQS compari-
of three consecutive monthly means. Three- sons.
month means are computed on a rolling, 3. Requirements for Data Used for Compari-
overlapping basis. Each distinct monthly sons With the Pb NAAQS and Data Reporting
mean will be included in three different 3- Considerations.
month means; for example, in a given year, (a) All valid FRM/FEM Pb-TSP data and
a November mean would be included in: (1) all valid FRM/FEM Pb-PM10 data submitted
The September-October-November 3-month to EPA’s Air Quality System (AQS), or oth-
mean, (2) the October-November-December 3- erwise available to EPA, meeting the re-
month mean, and (3) the November-Decem- quirements of part 58 of this chapter includ-
ber-January(of the following year) 3-month ing appendices A, C, and E shall be used in
mean. Three-month means are computed design value calculations. Pb-TSP and Pb-
separately for each parameter per section PM10 data representing sample collection pe-
6(a) (and are referred to as 3-month param- riods prior to January 1, 2009 (i.e., ‘‘pre-rule’’
eter means) and are validated according to data) will also be considered valid for
the criteria specified in section 4(c). The pa- NAAQS comparisons and related attainment/
rameter-specific 3-month means are then nonattainment determinations if the sam-
prioritized according to section 2(a) to deter- pling and analysis methods that were uti-
mine a single 3-month site mean. lized to collect that data were consistent
Year refers to a calendar year. with previous or newly designated FRMs or
2. Use of Pb-PM10 Data as Surrogate Pb-TSP FEMs and with either the provisions of part
Data. 58 of this chapter including appendices A, C,
156
and E that were in effect at the time of origi- filters for a month of sampling that are ana-
nal sampling or that are in effect at the time lyzed together), the composite concentration
of the attainment/nonattainment determina- will be used as the site-parameter monthly
tion, and if such data are submitted to AQS mean concentration if there are no valid
prior to September 1, 2009. daily Pb-TSP data reported for that month
(b) Pb-TSP and Pb-PM10 measurement data with a lower POC.
are reported to AQS in units of micrograms (ii) Data for the primary monitor for each
per cubic meter (μg/m3) at local conditions parameter shall be augmented as much as
(local temperature and pressure, LC) to three possible with data from collocated (same pa-
decimal places; any additional digits to the rameter) FRM/FEM monitors. If a valid 24-
right of the third decimal place are trun- hour measurement is not produced from the
cated. Pre-rule Pb-TSP and Pb-PM10 con- primary monitor for a particular day (sched-
centration data that were reported in stand- uled or otherwise), but a valid sample is gen-
ard conditions (standard temperature and erated by a collocated (same parameter)
standard pressure, STP) will not require a FRM/FEM instrument, then that collocated
conversion to local conditions but rather, value shall be considered part of the site-pa-
after truncating to three decimal places and rameter data record (i.e., that site-param-
processing as stated in this appendix, shall eter’s monthly set of daily values). If more
be compared ‘‘as is’’ to the NAAQS (i.e., the than one valid collocated FRM/FEM value is
LC to STP conversion factor will be assumed available, the mean of those valid collocated
to be one). However, if the monitoring agen- values shall be used as the daily value. Note
cy has retroactively resubmitted Pb-TSP or that this step will not be necessary for pre-
Pb-PM10 pre-rule data converted from STP to rule data given the daily identification pre-
LC based on suitable meteorological data, sumption for the primary monitor.
only the LC data will be used.
(e) All daily values in the composite site-
(c) At each monitoring location (site), Pb-
parameter record are used in monthly mean
TSP and Pb-PM10 data are to be processed
separately when selecting daily data by day calculations. However, not all daily values
(as specified in section 3(d) of this appendix), are given credit towards data completeness
when aggregating daily data by month (per requirements. Only ‘‘creditable’’ samples are
section 6(a)), and when forming 3-month given credit for data completeness. Cred-
means (per section 6(b)). However, when de- itable samples include valid samples on
riving (i.e., identifying) the design value for scheduled sampling days and valid make-up
the 38-month period, 3-month means for the samples. All other types of daily values are
two data types may be considered together; referred to as ‘‘extra’’ samples. Make-up
see sections 2(a) and 4(e) of this appendix for samples taken in the (first week of the)
details. month after the one in which the miss/void
(d) Daily values for sites will be selected occurred will be credited for data capture in
for a site on a size cut (Pb-TSP or Pb-PM10, the month of the miss/void but will be in-
i.e., ‘‘parameter’’) basis; Pb-TSP concentra- cluded in the month actually taken when
tions and Pb-PM10 concentrations shall not computing monthly means. For example, if a
be commingled in these determinations. Site make-up sample was taken in February to
level, parameter-specific daily values will be replace a missed sample scheduled for Janu-
selected as follows: ary, the make-up concentration would be in-
(i) The starting dataset for a site-param- cluded in the February monthly mean but
eter shall consist of the measured daily con- the sample credited in the January data cap-
centrations recorded from the designated ture rate.
primary FRM/FEM monitor for that param- 4. Comparisons With the Pb NAAQS.
eter. The primary monitor for each param- (a) The Pb NAAQS is met at a monitoring
eter shall be designated in the appropriate site when the identified design value is valid
state or local agency annual Monitoring Net- and less than or equal to 0.15 micrograms per
work Plan. If no primary monitor is des- cubic meter (μg/m3). A Pb design value that
ignated, the Administrator will select which meets the NAAQS (i.e., 0.15 μg/m3 or less), is
monitor to treat as primary. All daily values considered valid if it encompasses 36 con-
produced by the primary sampler are consid- secutive valid 3-month site means (specifi-
ered part of the site-parameter data record cally for a 3-year calendar period and the
(i.e., that site-parameter’s set of daily val- two previous months). For sites that begin
ues); this includes all creditable samples and monitoring Pb after this rule is effective but
all extra samples. For pre-rule Pb-TSP and before January 15, 2010 (or January 15, 2011),
Pb-PM10 data, valid data records present in a 2010–2012 (or 2011–2013) Pb design value that
AQS for the monitor with the lowest occur- meets the NAAQS will be considered valid if
ring Pollutant Occurrence Code (POC), as se- it encompasses at least 34 consecutive valid
lected on a site-parameter-daily basis, will 3-month means (specifically encompassing
constitute the site-parameter data record. only the 3-year calendar period). See 4(c) of
Where pre-rule Pb-TSP data (or subsequent this appendix for the description of a valid 3-
non-required Pb-TSP or Pb-PM10 data) are month mean and section 6(d) for the defini-
reported in ‘‘composite’’ form (i.e., multiple tion of the design value.
157
Pt. 50, App. R 40 CFR Ch. I (7–1–21 Edition)
(b) The Pb NAAQS is violated at a moni- original mean (the one with less than 75%
toring site when the identified design value data capture) reflects the true over/under
is valid and is greater than 0.15 μg/m3, no NAAQS-level status for that 3-month period;
matter whether determined from Pb-TSP or the result of one of these data substitution
Pb-PM10 data. A Pb design value greater tests (i.e., a ‘‘test mean’’, as defined in sec-
than 0.15 μg/m3 is valid no matter how many tion 4(c)(ii)(A) or 4(c)(ii)(B)) is not considered
valid 3-month means in the 3-year period it the actual 3-month parameter mean and
encompasses; that is, a violating design shall not be used in the determination of de-
value is valid even if it (i.e., the highest 3- sign values. For both types of data substi-
month mean) is the only valid 3-month mean tution, substitution is permitted only if
in the 3-year timeframe. Further, a site does there are available data points from which to
not have to monitor for three full calendar identify the high or low 3-year month-spe-
years in order to have a valid violating de- cific values, specifically if there are at least
sign value; a site could monitor just three 10 data points total from at least two of the
months and still produce a valid (violating) three (or four for November and December)
design value. possible year-months. Data substitution may
(c)(i) A 3-month parameter mean is consid- only use data of the same parameter type.
ered valid (i.e., meets data completeness re- (A) The ‘‘above NAAQS level’’ test is as
quirements) if the average of the data cap- follows: Data substitution will be done in
ture rate of the three constituent monthly each month of the 3-month period that has
means (i.e., the 3-month data capture rate) is less than 75 percent data capture; monthly
greater than or equal to 75 percent. Monthly capture rates are temporarily rounded to in-
data capture rates (expressed as a percent- tegers (zero decimals) for this evaluation. If
age) are specifically calculated as the num- by substituting the lowest reported daily
ber of creditable samples for the month (in- value for that month (year non-specific; e.g.,
cluding any make-up samples taken the sub- for January) over the 38-month design value
sequent month for missed samples in the period in question for missing scheduled data
month in question, and excluding any make- in the deficient months (substituting only
up samples taken in the month in question enough to meet the 75 percent data capture
for missed samples in the previous month) minimum), the computation yields a recal-
divided by the number of scheduled samples culated test 3-month parameter mean con-
for the month, the result then multiplied by centration above the level of the standard,
100 but not rounded. The 3-month data cap- then the 3-month period is deemed to have
ture rate is the sum of the three cor- passed the diagnostic test and the level of
responding unrounded monthly data capture the standard is deemed to have been exceed-
rates divided by three and the result rounded ed in that 3-month period. As noted in sec-
to the nearest integer (zero decimal places). tion 4(c)(ii), in such a case, the 3-month pa-
As noted in section 3(c), Pb-TSP and Pb-PM10 rameter mean of the data actually reported,
daily values are processed separately when not the recalculated (‘‘test’’) result including
calculating monthly means and data capture the low values, shall be used to determine
rates; a Pb-TSP value cannot be used as a the design value.
make-up for a missing Pb-PM10 value or vice (B) The ‘‘below NAAQS level’’ test is as fol-
versa. For purposes of assessing data cap- lows: Data substitution will be performed for
ture, Pb-TSP and Pb-PM10 data collected be- each month of the 3-month period that has
fore January 1, 2009 will be treated with an less than 75 percent but at least 50 percent
assumed scheduled sampling frequency of data capture; if any month has less than 50%
every sixth day. data capture then the 3-month mean can not
(ii) A 3-month parameter mean that does utilize this substitution test. Also, incom-
not have at least 75 percent data capture and plete 3-month Pb-PM10 means can not utilize
thus is not considered valid under 4(c)(i) this test. A 3-month Pb-TSP mean with less
shall be considered valid (and complete) if it than 75% data capture shall still be consid-
passes either of the two following ‘‘data sub- ered valid (and complete) if, by substituting
stitution’’ tests, one such test for validating the highest reported daily value, month-spe-
an above NAAQS-level (i.e., violating) 3- cific, over the 3-year design value period in
month Pb-TSP or Pb-PM10 mean (using ac- question, for all missing scheduled data in
tual ‘‘low’’ reported values from the same the deficient months (i.e., bringing the data
site at about the same time of the year (i.e., capture rate up to 100%), the computation
in the same month) looking across three or yields a recalculated 3-month parameter
four years), and the second test for vali- mean concentration equal or less than the
dating a below-NAAQS level 3-month Pb- level of the standard (0.15 μg/m3), then the 3-
TSP mean (using actual ‘‘high’’ values re- month mean is deemed to have passed the di-
ported for the same site at about the same agnostic test and the level of the standard is
time of the year (i.e., in the same month) deemed not to have been exceeded in that 3-
looking across three or four years). Note month period (for that parameter). As noted
that both tests are merely diagnostic in na- in section 4(c)(ii), in such a case, the 3-month
ture intending to confirm that there is a parameter mean of the data actually re-
very high likelihood if not certainty that the ported, not the recalculated (‘‘test’’) result
158
including the high values, shall be used to
determine the design value. Equation 1
(d) Months that do not meet the complete-
nm
ness criteria stated in 4(c)(i) or 4(c)(ii), and 1
design values that do not meet the complete-
ness criteria stated in 4(a) or 4(b), may also
X m,y,s =
nm
∑X
i=1
i,m,y,s
be considered valid (and complete) with the

approval of, or at the initiative of, the Ad- Where:
ministrator, who may consider factors such Xm,y,s = the mean for month m of the year y
as monitoring site closures/moves, moni- for sites; and
toring diligence, the consistency and levels nm = the number of daily values in the month
of the valid concentration measurements (creditable plus extra samples); and
that are available, and nearby concentra- Xi,m,y,s = the ith value in month m for year y
tions in determining whether to use such for site s.
data.
(a)(ii) The Administrator may at his dis-
(e) The site-level design value for a 38-
cretion use the following alternate approach
month period (three calendar years plus two
to calculating the monthly mean concentra-
previous months) is identified from the
tion if the number of extra sampling days
available (between one and 36) valid 3-month
during a month is greater than the number
site means. In a situation where there are
of successfully completed scheduled and
valid 3-month means for both parameters
make-up sample days in that month. In exer-
(Pb-TSP and Pb-PM10), the mean originating
cising his discretion, the Administrator will
from the reported Pb-TSP data will be the consider whether the approach specified in
one deemed the site-level monthly mean and 6(a)(i) might in the Administrator’s judg-
used in design value identifications unless ment result in an unrepresentative value for
the Pb-PM10 mean shows a violation of the the monthly mean concentration. This provi-
NAAQS and exceeds the Pb-TSP mean; see sion is to protect the integrity of the month-
section 2(a) for details. A monitoring site ly and 3-month mean concentration values in
will have only one site-level 3-month mean situations in which, by intention or other-
per 3-month period; however, the set of site- wise, extra sampling days are concentrated
level 3-month means considered for design in a period during which ambient concentra-
value identification (i.e., one to 36 site-level tions are particularly high or low. The alter-
3-month means) can be a combination of Pb- nate approach is to average all extra and
TSP and Pb-PM10 data. make-up samples (in the given month) taken
(f) The procedures for calculating monthly after each scheduled sampling day (‘‘Day X’’)
means and 3-month means, and identifying and before the next scheduled sampling day
Pb design values are given in section 6 of (e.g., ‘‘Day X + 6’’, in the case of one-in-six
this appendix. sampling) with the sample taken on Day X
5. Rounding Conventions. (assuming valid data was obtained on the
(a) Monthly means and monthly data cap- scheduled sampling day), and then averaging
ture rates are not rounded. these averages to calculate the monthly
(b) Three-month means shall be rounded to mean. This approach has the effect of giving
the nearest hundredth μg/m3 (0.xx). Decimals approximately equal weight to periods dur-
0.xx5 and greater are rounded up, and any ing a month that have equal number of days,
decimal lower than 0.xx5 is rounded down. regardless of how many samples were actu-
E.g., a 3-month mean of 0.104925 rounds to ally obtained during the periods, thus miti-
0.10 and a 3-month mean of .10500 rounds to gating the potential for the monthly mean
0.11. Three-month data capture rates, ex- to be distorted. The first day of scheduled
pressed as a percent, are round to zero dec- sampling typically will not fall on the first
imal places. day of the calendar month, and there may be
(c) Because a Pb design value is simply a make-up and/or extra samples (in that same
(highest) 3-month mean and because the calendar month) preceding the first sched-
NAAQS level is stated to two decimal places, uled day of the month. These samples will
no additional rounding beyond what is speci- not be shifted into the previous month’s
fied for 3-month means is required before a mean concentration, but rather will stay as-
design value is compared to the NAAQS. sociated with their actual calendar month as
6. Procedures and Equations for the Pb follows. Any extra and make-up samples
NAAQS. taken in a month before the first scheduled
(a)(i) A monthly mean value for Pb-TSP sampling day of the month will be associated
(or Pb-PM10) is determined by averaging the with and averaged with the last scheduled
daily values of a calendar month using equa- sampling day of that same month.
tion 1 of this appendix, unless the Adminis- (b) Three-month parameter means are de-
trator chooses to exercise his discretion to termined by averaging three consecutive
use the alternate approach described in monthly means of the same parameter using
6(a)(ii). Equation 2 of this appendix.
159
ER12NO08.001</MATH>
Pt. 50, App. S 40 CFR Ch. I (7–1–21 Edition)
Daily maximum 1-hour values for NO2 refers
Equation 2 to the maximum 1-hour NO2 concentration
values measured from midnight to midnight
nm
1 (local standard time) that are used in
X m1,m2,m3;s =
nm
∑X
i=1
m,y:z,s
NAAQS computations.
Design values are the metrics (i.e., statis-
tics) that are compared to the NAAQS levels
Where: to determine compliance, calculated as spec-
X̄m1, m2, m3; s = the 3-month parameter mean ified in section 5 of this appendix. The design
for months m1, m2, and m3 for site s; and values for the primary NAAQS are:
nm = the number of monthly means available (1) The annual mean value for a moni-
to be averaged (typically 3, sometimes 1 toring site for one year (referred to as the
or 2 if one or two months have no valid ‘‘annual primary standard design value’’).
daily values); and (2) The 3-year average of annual 98th per-
Xm, y: z, s = The mean for month m of the year centile daily maximum 1-hour values for a
y (or z) for site s. monitoring site (referred to as the ‘‘1-hour
(c) Three-month site means are determined primary standard design value’’).
from available 3-month parameter means ac- 98th percentile daily maximum 1-hour value is
cording to the hierarchy established in 2(a) the value below which nominally 98 percent
of this appendix. of all daily maximum 1-hour concentration
(d) The site-level Pb design value is the values fall, using the ranking and selection
highest valid 3-month site-level mean over method specified in section 5.2 of this appen-
the most recent 38-month period (i.e., the dix.
most recent 3-year calendar period plus two Quarter refers to a calendar quarter.
previous months). Section 4(a) of this appen- Year refers to a calendar year.
dix explains when the identified design value
is itself considered valid for purposes of de- 2. REQUIREMENTS FOR DATA USED FOR COM-
termining that the NAAQS is met or vio- PARISONS WITH THE NO2 NAAQS AND DATA
lated at a site. REPORTING CONSIDERATIONS
[73 FR 67054, Nov. 12, 2008] (a) All valid FRM/FEM NO2 hourly data re-
quired to be submitted to EPA’s Air Quality
APPENDIX S TO PART 50—INTERPRETA- System (AQS), or otherwise available to
TION OF THE PRIMARY NATIONAL AM-
EPA, meeting the requirements of part 58 of
this chapter including appendices A, C, and E
BIENT AIR QUALITY STANDARDS FOR
shall be used in design value calculations.
OXIDES OF NITROGEN (NITROGEN DI- Multi-hour average concentration values col-
OXIDE) lected by wet chemistry methods shall not
be used.
1. GENERAL
(b) When two or more NO2 monitors are op-
(a) This appendix explains the data han- erated at a site, the State may in advance
dling conventions and computations nec- designate one of them as the primary mon-
essary for determining when the primary na- itor. If the State has not made this designa-
tional ambient air quality standards for ox- tion, the Administrator will make the des-
ides of nitrogen as measured by nitrogen di- ignation, either in advance or retrospec-
oxide (‘‘NO2 NAAQS’’) specified in 50.11 are tively. Design values will be developed using
met. Nitrogen dioxide (NO2) is measured in only the data from the primary monitor, if
the ambient air by a Federal reference meth- this results in a valid design value. If data
od (FRM) based on appendix F to this part or from the primary monitor do not allow the
by a Federal equivalent method (FEM) des- development of a valid design value, data
ignated in accordance with part 53 of this solely from the other monitor(s) will be used
chapter. Data handling and computation pro- in turn to develop a valid design value, if
cedures to be used in making comparisons this results in a valid design value. If there
between reported NO2 concentrations and the are three or more monitors, the order for
levels of the NO2 NAAQS are specified in the such comparison of the other monitors will
following sections. be determined by the Administrator. The Ad-
(b) Whether to exclude, retain, or make administrator may combine data from dif-
justments to the data affected by excep- ferent monitors in different years for the
tional events, including natural events, is purpose of developing a valid 1-hour primary
determined by the requirements and process standard design value, if a valid design value
deadlines specified in 50.1, 50.14 and 51.930 of cannot be developed solely with the data
this chapter. from a single monitor. However, data from
(c) The terms used in this appendix are de- two or more monitors in the same year at
fined as follows: the same site will not be combined in an at-
Annual mean refers to the annual average tempt to meet data completeness require-
of all of the 1-hour concentration values as ments, except if one monitor has physically
defined in section 5.1 of this appendix. replaced another instrument permanently, in
160
ER12NO08.002</MATH>
Environmental Protection Agency Pt. 50, App. S
which case the two instruments will be con- procedures specified in section 5.2 is above
sidered to be the same monitor, or if the the level of the primary 1-hour standard.
State has switched the designation of the (ii)(A) A 1-hour primary standard design
primary monitor from one instrument to an- value that is below the level of the NAAQS
other during the year. can be validated if the substitution test in
(c) Hourly NO2 measurement data shall be section 3.2(c)(ii)(B) results in a ‘‘test design
reported to AQS in units of parts per billion value’’ that is below the level of the NAAQS.
(ppb), to at most one place after the decimal, The test substitutes actual ‘‘high’’ reported
with additional digits to the right being daily maximum 1-hour values from the same
truncated with no further rounding. site at about the same time of the year (spe-
cifically, in the same calendar quarter) for
3. COMPARISONS WITH THE NO2 NAAQS unknown values that were not successfully
measured. Note that the test is merely diag-
3.1 The Annual Primary NO2 NAAQS
nostic in nature, intended to confirm that
(a) The annual primary NO2 NAAQS is met there is a very high likelihood that the origi-
at a site when the valid annual primary nal design value (the one with less than 75
standard design value is less than or equal to percent data capture of hours by day and of
53 parts per billion (ppb). days by quarter) reflects the true under-
(b) An annual primary standard design NAAQS-level status for that 3-year period;
value is valid when at least 75 percent of the the result of this data substitution test (the
hours in the year are reported. ‘‘test design value’’, as defined in section
(c) An annual primary standard design 3.2(c)(ii)(B)) is not considered the actual de-
value based on data that do not meet the sign value. For this test, substitution is per-
completeness criteria stated in section 3.1(b) mitted only if there are at least 200 days
may also be considered valid with the ap- across the three matching quarters of the
proval of, or at the initiative of, the Admin- three years under consideration (which is
istrator, who may consider factors such as about 75 percent of all possible daily values
monitoring site closures/moves, monitoring in those three quarters) for which 75 percent
diligence, the consistency and levels of the of the hours in the day, including State-
valid concentration measurements that are flagged data affected by exceptional events
available, and nearby concentrations in de- which have been approved for exclusion by
termining whether to use such data. the Administrator, have reported concentra-
(d) The procedures for calculating the an- tions. However, maximum 1-hour values
nual primary standard design values are from days with less than 75 percent of the
given in section 5.1 of this appendix. hours reported shall also be considered in
identifying the high value to be used for sub-
3.2 The 1-hour Primary NO2 NAAQS stitution.
(a) The 1-hour primary NO2 NAAQS is met (B) The substitution test is as follows: Data
at a site when the valid 1-hour primary substitution will be performed in all quarter
standard design value is less than or equal to periods that have less than 75 percent data
100 parts per billion (ppb). capture but at least 50 percent data capture,
(b) An NO2 1-hour primary standard design including State-flagged data affected by ex-
value is valid if it encompasses three con- ceptional events which have been approved
secutive calendar years of complete data. A for exclusion by the Administrator; if any
year meets data completeness requirements quarter has less than 50 percent data capture
when all 4 quarters are complete. A quarter then this substitution test cannot be used.
is complete when at least 75 percent of the Identify for each quarter (e.g., January–
sampling days for each quarter have com- March) the highest reported daily maximum
plete data. A sampling day has complete 1-hour value for that quarter, excluding
data if 75 percent of the hourly concentra- State-flagged data affected by exceptional
tion values, including State-flagged data af- events which have been approved for exclu-
fected by exceptional events which have been sion by the Administrator, looking across
approved for exclusion by the Administrator, those three months of all three years under
are reported. consideration. All daily maximum 1-hour
(c) In the case of one, two, or three years values from all days in the quarter period
that do not meet the completeness require- shall be considered when identifying this
ments of section 3.2(b) of this appendix and highest value, including days with less than
thus would normally not be useable for the 75 percent data capture. If after substituting
calculation of a valid 3-year 1-hour primary the highest non-excluded reported daily
standard design value, the 3-year 1-hour pri- maximum 1-hour value for a quarter for as
mary standard design value shall neverthe- much of the missing daily data in the match-
less be considered valid if one of the fol- ing deficient quarter(s) as is needed to make
lowing conditions is true. them 100 percent complete, the procedure in
(i) At least 75 percent of the days in each section 5.2 yields a recalculated 3-year 1-hour
quarter of each of three consecutive years standard ‘‘test design value’’ below the level
have at least one reported hourly value, and of the standard, then the 1-hour primary
the design value calculated according to the standard design value is deemed to have
161
passed the diagnostic test and is valid, and not the ‘‘test design value’’, shall be used as
the level of the standard is deemed to have the valid design value.
been met in that 3-year period. As noted in (d) A 1-hour primary standard design value
section 3.2(c)(i), in such a case, the 3-year de- based on data that do not meet the com-
sign value based on the data actually re- pleteness criteria stated in 3.2(b) and also do
ported, not the ‘‘test design value’’, shall be not satisfy section 3.2(c), may also be consid-
used as the valid design value. ered valid with the approval of, or at the ini-
(iii)(A) A 1-hour primary standard design tiative of, the Administrator, who may con-
value that is above the level of the NAAQS sider factors such as monitoring site clo-
can be validated if the substitution test in sures/moves, monitoring diligence, the con-
section 3.2(c)(iii)(B) results in a ‘‘test design sistency and levels of the valid concentra-
value’’ that is above the level of the NAAQS. tion measurements that are available, and
The test substitutes actual ‘‘low’’ reported nearby concentrations in determining
daily maximum 1-hour values from the same whether to use such data.
site at about the same time of the year (spe- (e) The procedures for calculating the 1-
cifically, in the same three months of the hour primary standard design values are
calendar) for unknown values that were not given in section 5.2 of this appendix.
successfully measured. Note that the test is
merely diagnostic in nature, intended to con- 4. ROUNDING CONVENTIONS
firm that there is a very high likelihood that
the original design value (the one with less 4.1 Rounding Conventions for the Annual
than 75 percent data capture of hours by day Primary NO2 NAAQS
and of days by quarter) reflects the true (a) Hourly NO2 measurement data shall be
above-NAAQS-level status for that 3-year pe- reported to AQS in units of parts per billion
riod; the result of this data substitution test (ppb), to at most one place after the decimal,
(the ‘‘test design value’’, as defined in sec- with additional digits to the right being
tion 3.2(c)(iii)(B)) is not considered the ac- truncated with no further rounding.
tual design value. For this test, substitution (b) The annual primary standard design
is permitted only if there are a minimum value is calculated pursuant to section 5.1
number of available daily data points from
and then rounded to the nearest whole num-
which to identify the low quarter-specific
ber or 1 ppb (decimals 0.5 and greater are
daily maximum 1-hour values, specifically if
rounded up to the nearest whole number, and
there are at least 200 days across the three
any decimal lower than 0.5 is rounded down
matching quarters of the three years under
to the nearest whole number).
consideration (which is about 75 percent of
all possible daily values in those three quar- 4.2 Rounding Conventions for the 1-hour
ters) for which 75 percent of the hours in the Primary NO2 NAAQS
day have reported concentrations. Only days
with at least 75 percent of the hours reported (a) Hourly NO2 measurement data shall be
shall be considered in identifying the low reported to AQS in units of parts per billion
value to be used for substitution. (ppb), to at most one place after the decimal,
(B) The substitution test is as follows: with additional digits to the right being
Data substitution will be performed in all truncated with no further rounding.
quarter periods that have less than 75 per- (b) Daily maximum 1-hour values are not
cent data capture. Identify for each quarter rounded.
(e.g., January-March) the lowest reported (c) The 1-hour primary standard design
daily maximum 1-hour value for that quar- value is calculated pursuant to section 5.2
ter, looking across those three months of all and then rounded to the nearest whole num-
three years under consideration. All daily ber or 1 ppb (decimals 0.5 and greater are
maximum 1-hour values from all days with rounded up to the nearest whole number, and
at least 75 percent capture in the quarter pe- any decimal lower than 0.5 is rounded down
riod shall be considered when identifying to the nearest whole number).
this lowest value. If after substituting the
lowest reported daily maximum 1-hour value 5. CALCULATION PROCEDURES FOR THE
for a quarter for as much of the missing PRIMARY NO2 NAAQS
daily data in the matching deficient quar-
5.1 Procedures for the Annual Primary NO2
ter(s) as is needed to make them 75 percent
NAAQS
complete, the procedure in section 5.2 yields
a recalculated 3-year 1-hour standard ‘‘test (a) When the data for a site and year meet
design value’’ above the level of the stand- the data completeness requirements in sec-
ard, then the 1-hour primary standard design tion 3.1(b) of this appendix, or if the Admin-
value is deemed to have passed the diag- istrator exercises the discretionary author-
nostic test and is valid, and the level of the ity in section 3.1(c), the annual mean is sim-
standard is deemed to have been exceeded in ply the arithmetic average of all of the re-
that 3-year period. As noted in section ported 1-hour values.
3.2(c)(i), in such a case, the 3-year design (b) The annual primary standard design
value based on the data actually reported, value for a site is the valid annual mean
162
Environmental Protection Agency Pt. 50, App. T
rounded according to the conventions in sec- Using the left column of Table 1, determine
tion 4.1. the appropriate range (i.e., row) for the an-
nual number of days with valid data for year
5.2 Calculation Procedures for the 1-hour y (cny) as determined from step (A). The cor-
Primary NO2 NAAQS responding ‘‘n’’ value in the right column
(a) Procedure for identifying annual 98th per- identifies the rank of the annual 98th per-
centile values. When the data for a particular centile value in the descending sorted list of
site and year meet the data completeness re- daily site values for year y. Thus, P0.98, y =
quirements in section 3.2(b), or if one of the the nth largest value.
conditions of section 3.2(c) is met, or if the (b) The 1-hour primary standard design
Administrator exercises the discretionary value for a site is mean of the three annual
authority in section 3.2(d), identification of 98th percentile values, rounded according to
annual 98th percentile value is accomplished the conventions in section 4.
as follows.
(i) The annual 98th percentile value for a TABLE 1
year is the higher of the two values resulting
from the following two procedures. P0.98, y is the
Annual number nth maximum
(1) Procedure 1. of days with value of the
(A) For the year, determine the number of valid data for year, where n
days with at least 75 percent of the hourly year ‘‘y’’ (cny) is the listed
number
values reported including State-flagged data
affected by exceptional events which have 1–50 1
been approved for exclusion by the Adminis- 51–100 2
trator. 101–150 3
(B) For the year, from only the days with 151–200 4
at least 75 percent of the hourly values re- 201–250 5
251–300 6
ported, select from each day the maximum 301–350 7
hourly value excluding State-flagged data af- 351–366 8
fected by exceptional events which have been
approved for exclusion by the Administrator.
(C) Sort all these daily maximum hourly [75 FR 6532, Feb. 9, 2010]
values from a particular site and year by de-
scending value. (For example: (x[1], x[2], x[3], APPENDIX T TO PART 50—INTERPRETA-
* * *, x[n]). In this case, x[1] is the largest TION OF THE PRIMARY NATIONAL AM-
number and x[n] is the smallest value.) The BIENT AIR QUALITY STANDARDS FOR
98th percentile is determined from this sort- OXIDES OF SULFUR (SULFUR DIOX-
ed series of daily values which is ordered IDE)
from the highest to the lowest number.
Using the left column of Table 1, determine 1. GENERAL
the appropriate range (i.e., row) for the an-
nual number of days with valid data for year (a) This appendix explains the data han-
y (cny) as determined from step (A). The cor- dling conventions and computations nec-
responding ‘‘n’’ value in the right column essary for determining when the primary na-
identifies the rank of the annual 98th per- tional ambient air quality standards for Ox-
centile value in the descending sorted list of ides of Sulfur as measured by Sulfur Dioxide
daily site values for year y. Thus, P0.98, y = (‘‘SO2 NAAQS’’) specified in § 50.17 are met at
the nth largest value. an ambient air quality monitoring site. Sul-
(2) Procedure 2. fur Dioxide (SO2) is measured in the ambient
(A) For the year, determine the number of air by a Federal reference method (FRM)
days with at least one hourly value reported based on appendix A or A–1 to this part or by
including State-flagged data affected by ex- a Federal equivalent method (FEM) des-
ceptional events which have been approved ignated in accordance with part 53 of this
for exclusion by the Administrator. chapter. Data handling and computation pro-
(B) For the year, from all the days with at cedures to be used in making comparisons
least one hourly value reported, select from between reported SO2 concentrations and the
each day the maximum hourly value exclud- levels of the SO2 NAAQS are specified in the
ing State-flagged data affected by excep- following sections.
tional events which have been approved for (b) Decisions to exclude, retain, or make
exclusion by the Administrator. adjustments to the data affected by excep-
(C) Sort all these daily maximum values tional events, including natural events, are
from a particular site and year by descend- made according to the requirements and
ing value. (For example: (x[1], x[2], x[3], process deadlines specified in §§ 50.1, 50.14 and
* * *, x[n]). In this case, x[1] is the largest 51.930 of this chapter.
number and x[n] is the smallest value.) The (c) The terms used in this appendix are de-
98th percentile is determined from this sort- fined as follows:
ed series of daily values which is ordered Daily maximum 1-hour values for SO2 refers
from the highest to the lowest number. to the maximum 1-hour SO2 concentration
163
Pt. 50, App. T 40 CFR Ch. I (7–1–21 Edition)
values measured from midnight to midnight rence Code and substituting the 1-hour data
(local standard time) that are used in from a second physical monitor whenever a
NAAQS computations. valid concentration value is not obtained
Design values are the metrics (i.e., statis- from the primary monitor; if a monitoring
tics) that are compared to the NAAQS levels agency substitutes data in this manner, each
to determine compliance, calculated as spec- substituted value must be accompanied by
ified in section 5 of this appendix. The design an AQS qualifier code indicating that substi-
value for the primary 1-hour NAAQS is the 3- tution with a value from a second physical
year average of annual 99th percentile daily monitor has taken place.
maximum 1-hour values for a monitoring (c) Hourly SO2 measurement data shall be
site (referred to as the ‘‘1-hour primary reported to AQS in units of parts per billion
standard design value’’). (ppb), to at most one place after the decimal,
99th percentile daily maximum 1-hour value is with additional digits to the right being
the value below which nominally 99 percent truncated with no further rounding.
of all daily maximum 1-hour concentration
values fall, using the ranking and selection 3. COMPARISONS WITH THE 1-HOUR PRIMARY
method specified in section 5 of this appen- SO2 NAAQS
dix. (a) The 1-hour primary SO2 NAAQS is met
Pollutant Occurrence Code (POC) refers to a at an ambient air quality monitoring site
numerical code (1, 2, 3, etc.) used to distin- when the valid 1-hour primary standard de-
guish the data from two or more monitors sign value is less than or equal to 75 parts
for the same parameter at a single moni- per billion (ppb).
toring site. (b) An SO2 1-hour primary standard design
Quarter refers to a calendar quarter. value is valid if it encompasses three con-
Year refers to a calendar year. secutive calendar years of complete data. A
year meets data completeness requirements
2. REQUIREMENTS FOR DATA USED FOR COM-
when all 4 quarters are complete. A quarter
PARISONS WITH THE SO2 NAAQS AND DATA
is complete when at least 75 percent of the
REPORTING CONSIDERATIONS
sampling days for each quarter have com-
(a) All valid FRM/FEM SO2 hourly data re- plete data. A sampling day has complete
quired to be submitted to EPA’s Air Quality data if 75 percent of the hourly concentra-
System (AQS), or otherwise available to tion values, including State-flagged data af-
EPA, meeting the requirements of part 58 of fected by exceptional events which have been
this chapter including appendices A, C, and E approved for exclusion by the Administrator,
shall be used in design value calculations. are reported.
Multi-hour average concentration values col- (c) In the case of one, two, or three years
lected by wet chemistry methods shall not that do not meet the completeness require-
be used. ments of section 3(b) of this appendix and
(b) Data from two or more monitors from thus would normally not be useable for the
the same year at the same site reported to calculation of a valid 3-year 1-hour primary
EPA under distinct Pollutant Occurrence standard design value, the 3-year 1-hour pri-
Codes shall not be combined in an attempt to mary standard design value shall neverthe-
meet data completeness requirements. The less be considered valid if one of the fol-
Administrator will combine annual 99th per- lowing conditions is true.
centile daily maximum concentration values (i) At least 75 percent of the days in each
from different monitors in different years, quarter of each of three consecutive years
selected as described here, for the purpose of have at least one reported hourly value, and
developing a valid 1-hour primary standard the design value calculated according to the
design value. If more than one of the mon- procedures specified in section 5 is above the
itors meets the completeness requirement level of the primary 1-hour standard.
for all four quarters of a year, the steps spec- (ii)(A) A 1-hour primary standard design
ified in section 5(a) of this appendix shall be value that is equal to or below the level of
applied to the data from the monitor with the NAAQS can be validated if the substi-
the highest average of the four quarterly tution test in section 3(c)(ii)(B) results in a
completeness values to derive a valid annual ‘‘test design value’’ that is below the level of
99th percentile daily maximum concentra- the NAAQS. The test substitutes actual
tion. If no monitor is complete for all four ‘‘high’’ reported daily maximum 1-hour val-
quarters in a year, the steps specified in sec- ues from the same site at about the same
tion 3(c) and 5(a) of this appendix shall be ap- time of the year (specifically, in the same
plied to the data from the monitor with the calendar quarter) for unknown values that
highest average of the four quarterly com- were not successfully measured. Note that
pleteness values in an attempt to derive a the test is merely diagnostic in nature, in-
valid annual 99th percentile daily maximum tended to confirm that there is a very high
concentration. This paragraph does not pro- likelihood that the original design value (the
hibit a monitoring agency from making a one with less than 75 percent data capture of
local designation of one physical monitor as hours by day and of days by quarter) reflects
the primary monitor for a Pollutant Occur- the true under-NAAQS-level status for that
164
Environmental Protection Agency Pt. 50, App. T
3-year period; the result of this data substi- the test is merely diagnostic in nature, in-
tution test (the ‘‘test design value’’, as de- tended to confirm that there is a very high
fined in section 3(c)(ii)(B)) is not considered likelihood that the original design value (the
the actual design value. For this test, substi- one with less than 75 percent data capture of
tution is permitted only if there are at least hours by day and of days by quarter) reflects
200 days across the three matching quarters the true above-NAAQS-level status for that
of the three years under consideration 3-year period; the result of this data substi-
(which is about 75 percent of all possible tution test (the ‘‘test design value’’, as de-
daily values in those three quarters) for fined in section 3(c)(iii)(B)) is not considered
which 75 percent of the hours in the day, in- the actual design value. For this test, substi-
cluding State-flagged data affected by excep- tution is permitted only if there are a min-
tional events which have been approved for imum number of available daily data points
exclusion by the Administrator, have re- from which to identify the low quarter-spe-
ported concentrations. However, maximum cific daily maximum 1-hour values, specifi-
1-hour values from days with less than 75 cally if there are at least 200 days across the
percent of the hours reported shall also be three matching quarters of the three years
considered in identifying the high value to under consideration (which is about 75 per-
be used for substitution. cent of all possible daily values in those
(B) The substitution test is as follows: three quarters) for which 75 percent of the
Data substitution will be performed in all hours in the day have reported concentra-
quarter periods that have less than 75 per- tions. Only days with at least 75 percent of
cent data capture but at least 50 percent the hours reported shall be considered in
data capture, including State-flagged data identifying the low value to be used for sub-
affected by exceptional events which have stitution.
been approved for exclusion by the Adminis- (B) The substitution test is as follows:
trator; if any quarter has less than 50 per- Data substitution will be performed in all
cent data capture then this substitution test quarter periods that have less than 75 per-
cannot be used. Identify for each quarter cent data capture. Identify for each quarter
(e.g., January–March) the highest reported (e.g., January–March) the lowest reported
daily maximum 1-hour value for that quar- daily maximum 1-hour value for that quar-
ter, excluding State-flagged data affected by ter, looking across those three months of all
exceptional events which have been approved three years under consideration. All daily
for exclusion by the Administrator, looking maximum 1-hour values from all days with
across those three months of all three years at least 75 percent capture in the quarter pe-
under consideration. All daily maximum 1- riod shall be considered when identifying
hour values from all days in the quarter pe- this lowest value. If after substituting the
riod shall be considered when identifying lowest reported daily maximum 1-hour value
this highest value, including days with less for a quarter for as much of the missing
than 75 percent data capture. If after sub- daily data in the matching deficient quar-
stituting the highest reported daily max- ter(s) as is needed to make them 75 percent
imum 1-hour value for a quarter for as much complete, the procedure in section 5 yields a
of the missing daily data in the matching de- recalculated 3-year 1-hour standard ‘‘test de-
ficient quarter(s) as is needed to make them sign value’’ above the level of the standard,
100 percent complete, the procedure in sec- then the 1-hour primary standard design
tion 5 yields a recalculated 3-year 1-hour value is deemed to have passed the diag-
standard ‘‘test design value’’ less than or nostic test and is valid, and the level of the
equal to the level of the standard, then the standard is deemed to have been exceeded in
1-hour primary standard design value is that 3-year period. As noted in section 3(c)(i),
deemed to have passed the diagnostic test in such a case, the 3-year design value based
and is valid, and the level of the standard is on the data actually reported, not the ‘‘test
deemed to have been met in that 3-year pe- design value’’, shall be used as the valid de-
riod. As noted in section 3(c)(i), in such a sign value.
case, the 3-year design value based on the (d) A 1-hour primary standard design value
data actually reported, not the ‘‘test design based on data that do not meet the com-
value’’, shall be used as the valid design pleteness criteria stated in 3(b) and also do
value. not satisfy section 3(c), may also be consid-
(iii)(A) A 1-hour primary standard design ered valid with the approval of, or at the ini-
value that is above the level of the NAAQS tiative of, the Administrator, who may con-
can be validated if the substitution test in sider factors such as monitoring site clo-
section 3(c)(iii)(B) results in a ‘‘test design sures/moves, monitoring diligence, the con-
value’’ that is above the level of the NAAQS. sistency and levels of the valid concentra-
The test substitutes actual ‘‘low’’ reported tion measurements that are available, and
daily maximum 1-hour values from the same nearby concentrations in determining
site at about the same time of the year (spe- whether to use such data.
cifically, in the same three months of the (e) The procedures for calculating the 1-
calendar) for unknown hourly values that hour primary standard design values are
were not successfully measured. Note that given in section 5 of this appendix.
165
Pt. 50, App. U 40 CFR Ch. I (7–1–21 Edition)
4. ROUNDING CONVENTIONS FOR THE 1-HOUR (A) For the year, determine the number of
PRIMARY SO2 NAAQS days with at least one hourly value reported
including State-flagged data affected by ex-
(a) Hourly SO2 measurement data shall be
ceptional events which have been approved
reported to AQS in units of parts per billion
(ppb), to at most one place after the decimal, for exclusion by the Administrator.
with additional digits to the right being (B) For the year, from all the days with at
truncated with no further rounding. least one hourly value reported, select from
(b) Daily maximum 1-hour values and each day the maximum hourly value exclud-
therefore the annual 99th percentile of those ing State-flagged data affected by excep-
daily values are not rounded. tional events which have been approved for
(c) The 1-hour primary standard design exclusion by the Administrator.
value is calculated pursuant to section 5 and (C) Sort all these daily maximum values
then rounded to the nearest whole number or from a particular site and year by descend-
1 ppb (decimals 0.5 and greater are rounded ing value. (For example: (x[1], x[2], x[3],
up to the nearest whole number, and any * * *, x[n]). In this case, x[1] is the largest
decimal lower than 0.5 is rounded down to number and x[n] is the smallest value.) The
the nearest whole number). 99th percentile is determined from this sort-
ed series of daily values which is ordered
5. CALCULATION PROCEDURES FOR THE 1-HOUR from the highest to the lowest number.
PRIMARY SO2 NAAQS Using the left column of Table 1, determine
the appropriate range (i.e., row) for the an-
(a) Procedure for identifying annual 99th per-
nual number of days with valid data for year
centile values. When the data for a particular
y (cny). The corresponding ‘‘n’’ value in the
ambient air quality monitoring site and year
right column identifies the rank of the an-
meet the data completeness requirements in
nual 99th percentile value in the descending
section 3(b), or if one of the conditions of
sorted list of daily site values for year y.
section 3(c) is met, or if the Administrator
Thus, P0.99,y = the nth largest value.
exercises the discretionary authority in sec- (b) The 1-hour primary standard design
tion 3(d), identification of annual 99th per- value for an ambient air quality monitoring
centile value is accomplished as follows. site is mean of the three annual 99th per-
(i) The annual 99th percentile value for a
centile values, rounded according to the con-
year is the higher of the two values resulting
ventions in section 4.
from the following two procedures.
(1) Procedure 1. For the year, determine the
TABLE 1
number of days with at least 75 percent of
the hourly values reported. P0.99,y is the nth
(A) For the year, determine the number of Annual number of days with valid maximum value of the
days with at least 75 percent of the hourly data for year ‘‘y’’ (cny) year, where n is the
listed number
values reported including State-flagged data
affected by exceptional events which have 1–100 ................................................. 1
been approved for exclusion by the Adminis- 101–200 ............................................. 2
trator. 201–300 ............................................. 3
(B) For the year, from only the days with 301–366 ............................................. 4
at least 75 percent of the hourly values re-
ported, select from each day the maximum [75 FR 35595, June 23, 2010]
hourly value excluding State-flagged data af-
fected by exceptional events which have been APPENDIX U TO PART 50—INTERPRETA-
approved for exclusion by the Administrator. TION OF THE PRIMARY AND SEC-
(C) Sort all these daily maximum hourly
ONDARY NATIONAL AMBIENT AIR
values from a particular site and year by de-
scending value. (For example: (x[1], x[2], x[3], QUALITY STANDARDS FOR OZONE
* * *, x[n]). In this case, x[1] is the largest 1. GENERAL
number and x[n] is the smallest value.) The
99th percentile is determined from this sort- (a) This appendix explains the data han-
ed series of daily values which is ordered dling conventions and computations nec-
from the highest to the lowest number. essary for determining whether the primary
Using the left column of Table 1, determine and secondary national ambient air quality
the appropriate range (i.e., row) for the an- standards (NAAQS) for ozone (O3) specified in
nual number of days with valid data for year § 50.19 are met at an ambient O3 air quality
y (cny). The corresponding ‘‘n’’ value in the monitoring site. Data reporting, data han-
right column identifies the rank of the an- dling, and computation procedures to be used
nual 99th percentile value in the descending in making comparisons between reported O3
sorted list of daily site values for year y. concentrations and the levels of the O3
Thus, P0.99, y = the nth largest value. NAAQS are specified in the following sec-
(2) Procedure 2. For the year, determine the tions.
number of days with at least one hourly (b) Whether to exclude or retain the data
value reported. affected by exceptional events is determined
166
Environmental Protection Agency Pt. 50, App. U
by the requirements under §§ 50.1, 50.14 and O3 concentration is not obtained from the
51.930. primary monitor. In the event that hourly O3
(c) The terms used in this appendix are de- concentration data are available for more
fined as follows: than one secondary monitor, the hourly con-
8-hour average refers to the moving average centration values from the secondary mon-
of eight consecutive hourly O3 concentra- itors shall be averaged and substituted into
tions measured at a site, as explained in sec- the site data record.
tion 3 of this appendix. (c) In certain circumstances, including but
Annual fourth-highest daily maximum refers not limited to site closures or relocations,
to the fourth highest value measured at a data from two nearby sites may be combined
site during a year. into a single site data record for the purpose
Collocated monitors refers to the instance of of calculating a valid design value. The ap-
two or more O3 monitors operating at the propriate Regional Administrator may ap-
same physical location. prove such combinations after taking into
Daily maximum 8-hour average O3 concentra- consideration factors such as distance be-
tion refers to the maximum calculated 8-hour tween sites, spatial and temporal patterns in
average value measured at a site on a par- air quality, local emissions and meteorology,
ticular day, as explained in section 3 of this jurisdictional boundaries, and terrain fea-
appendix. tures.
Design value refers to the metric (i.e., sta-
tistic) that is used to compare ambient O3 3. DATA REPORTING AND DATA HANDLING
concentration data measured at a site to the CONVENTIONS
NAAQS in order to determine compliance, as (a) Hourly average O3 concentrations shall
explained in section 4 of this appendix. be reported in parts per million (ppm) to the
Minimum data completeness requirements third decimal place, with additional digits to
refer to the amount of data that a site is re- the right of the third decimal place trun-
quired to collect in order to make a valid de- cated. Each hour shall be identified using
termination that the site is meeting the local standard time (LST).
NAAQS. (b) Moving 8-hour averages shall be com-
Monitor refers to a physical instrument puted from the hourly O3 concentration data
used to measure ambient O3 concentrations. for each hour of the year and shall be stored
O3 monitoring season refers to the span of in the first, or start, hour of the 8-hour pe-
time within a year when individual states riod. An 8-hour average shall be considered
are required to measure ambient O3 con- valid if at least 6 of the hourly concentra-
centrations, as listed in Appendix D to part tions for the 8-hour period are available. In
58 of this chapter. the event that only 6 or 7 hourly concentra-
Site refers to an ambient O3 air quality tions are available, the 8-hour average shall
monitoring site. be computed on the basis of the hours avail-
Site data record refers to the set of hourly able, using 6 or 7, respectively, as the divi-
O3 concentration data collected at a site for sor. In addition, in the event that 5 or fewer
use in comparisons with the NAAQS. hourly concentrations are available, the 8-
Year refers to calendar year. hour average shall be considered valid if,
2. SELECTION OF DATA FOR USE IN COMPARI- after substituting zero for the missing hour-
SONS WITH THE PRIMARY AND SECONDARY
ly concentrations, the resulting 8-hour aver-
OZONE NAAQS age is greater than the level of the NAAQS,
or equivalently, if the sum of the available
(a) All valid hourly O3 concentration data hourly concentrations is greater than 0.567
collected using a federal reference method ppm. The 8-hour averages shall be reported
specified in Appendix D to this part, or an to three decimal places, with additional dig-
equivalent method designated in accordance its to the right of the third decimal place
with part 53 of this chapter, meeting all ap- truncated. Hourly O3 concentrations that
plicable requirements in part 58 of this chap- have been approved under § 50.14 as having
ter, and submitted to EPA’s Air Quality Sys- been affected by exceptional events shall be
tem (AQS) database or otherwise available to counted as missing or unavailable in the cal-
EPA, shall be used in design value calcula- culation of 8-hour averages.
tions. (c) The daily maximum 8-hour average O3
(b) All design value calculations shall be concentration for a given day is the highest
implemented on a site-level basis. If data are of the 17 consecutive 8-hour averages begin-
reported to EPA from collocated monitors, ning with the 8-hour period from 7:00 a.m. to
those data shall be combined into a single 3:00 p.m. and ending with the 8-hour period
site data record as follows: from 11:00 p.m. to 7:00 a.m. the following day
(i) The monitoring agency shall designate (i.e., the 8-hour averages for 7:00 a.m. to 11:00
one monitor as the primary monitor for the p.m.). Daily maximum 8-hour average O3
site. concentrations shall be determined for each
(ii) Hourly O3 concentration data from a day with ambient O3 monitoring data, in-
secondary monitor shall be substituted into cluding days outside the O3 monitoring sea-
the site data record whenever a valid hourly son if those data are available.
167
Pt. 50, App. U 40 CFR Ch. I (7–1–21 Edition)
(d) A daily maximum 8-hour average O3 at an ambient air quality monitoring site
concentration shall be considered valid if when the 3-year average of the annual
valid 8-hour averages are available for at fourth-highest daily maximum 8-hour aver-
least 13 of the 17 consecutive 8-hour periods age O3 concentration (i.e., the design value)
starting from 7:00 a.m. to 11:00 p.m. In addi- is less than or equal to 0.070 ppm.
tion, in the event that fewer than 13 valid 8- (b) A design value greater than the level of
hour averages are available, a daily max- the NAAQS is always considered to be valid.
imum 8-hour average O3 concentration shall A design value less than or equal to the level
also be considered valid if it is greater than of the NAAQS must meet minimum data
the level of the NAAQS. Hourly O3 con- completeness requirements in order to be
centrations that have been approved under considered valid. These requirements are
§ 50.14 as having been affected by exceptional met for a 3-year period at a site if valid daily
events shall be included when determining maximum 8-hour average O3 concentrations
whether these criteria have been met. are available for at least 90% of the days
(e) The primary and secondary O3 design within the O3 monitoring season, on average,
value statistic is the annual fourth-highest for the 3-year period, with a minimum of at
daily maximum 8-hour O3 concentration, least 75% of the days within the O3 moni-
averaged over three years, expressed in ppm. toring season in any one year.
The fourth-highest daily maximum 8-hour O3 (c) When computing whether the minimum
concentration for each year shall be deter- data completeness requirements have been
mined based only on days meeting the valid- met, meteorological or ambient data may be
ity criteria in 3(d). The 3-year average shall sufficient to demonstrate that meteorolog-
be computed using the three most recent, ical conditions on missing days were not
consecutive years of ambient O3 monitoring conducive to concentrations above the level
data. Design values shall be reported in ppm of the NAAQS. Missing days assumed less
to three decimal places, with additional dig- than the level of the NAAQS are counted for
its to the right of the third decimal place the purpose of meeting the minimum data
truncated. completeness requirements, subject to the
approval of the appropriate Regional Admin-
4. COMPARISONS WITH THE PRIMARY AND istrator.
SECONDARY OZONE NAAQS
(d) Comparisons with the primary and sec-
(a) The primary and secondary national ondary O3 NAAQS are demonstrated by ex-
ambient air quality standards for O3 are met amples 1 and 2 as follows:
EXAMPLE 1—SITE MEETING THE PRIMARY AND SECONDARY O3 NAAQS
Percent valid 1st highest 2nd highest 3rd highest 4th highest 5th highest
days within O3 daily max daily max daily max daily max daily max
Year monitoring 8-hour O3 8-hour O3 8-hour O3 8-hour O3 8-hour O3
season (Data (ppm) (ppm) (ppm) (ppm) (ppm)
completeness)
2014 .............................. 100 0.082 0.080 0.075 0.069 0.068

2015 .............................. 96 0.074 0.073 0.065 0.062 0.060
2016 .............................. 98 0.070 0.069 0.067 0.066 0.060
Average ......................... 98 ........................ ........................ ........................ 0.065
As shown in Example 1, this site meets the ments are also met (i.e., design value is con-
primary and secondary O3 NAAQS because sidered valid) because the average percent of
the 3-year average of the annual fourth-high- days within the O3 monitoring season with
est daily maximum 8-hour average O3 con- valid ambient monitoring data is greater
centrations (i.e., 0.065666 ppm, truncated to than 90%, and no single year has less than
0.065 ppm) is less than or equal to 0.070 ppm. 75% data completeness.
The minimum data completeness require-
EXAMPLE 2—SITE FAILING TO MEET THE PRIMARY AND SECONDARY O3 O3 NAAQS
Percent valid 1st highest 2nd highest 3rd highest 4th highest 5th highest
days within O3 daily max daily max daily max daily max daily max
Year monitoring 8-hour O3 8-hour O3 8-hour O3 8-hour O3 8-hour O3
season (Data (ppm) (ppm) (ppm) (ppm) (ppm)
completeness)
2014 .............................. 96 0.085 0.080 0.079 0.074 0.072

2015 .............................. 74 0.084 0.083 0.072 0.071 0.068
2016 .............................. 98 0.083 0.081 0.081 0.075 0.074
Average ......................... 89 ........................ ........................ ........................ 0.073
168
Environmental Protection Agency Pt. 51
As shown in Example 2, this site fails to Subpart G—Control Strategy
meet the primary and secondary O3 NAAQS
because the 3-year average of the annual 51.110 Attainment and maintenance of na-
fourth-highest daily maximum 8-hour aver- tional standards.
age O3 concentrations (i.e., 0.073333 ppm, 51.111 Description of control measures.
truncated to 0.073 ppm) is greater than 0.070 51.112 Demonstration of adequacy.
ppm, even though the annual data complete- 51.113 [Reserved]
ness is less than 75% in one year and the 3- 51.114 Emissions data and projections.
year average data completeness is less than 51.115 Air quality data and projections.
90% (i.e., design value would not otherwise be 51.116 Data availability.
considered valid). 51.117 Additional provisions for lead.
[80 FR 65458, Oct. 26, 2015] 51.118 Stack height provisions.
51.119 Intermittent control systems.
51.120 Requirements for State Implementa-
PART 51—REQUIREMENTS FOR tion Plan revisions relating to new
PREPARATION, ADOPTION, AND motor vehicles.
SUBMITTAL OF IMPLEMENTATION 51.121 Findings and requirements for sub-
PLANS mission of State implementation plan re-
visions relating to emissions of nitrogen
oxides.
Subpart A—Air Emissions Reporting
51.122 Emissions reporting requirements for
Requirements SIP revisions relating to budgets for NOX
GENERAL INFORMATION FOR INVENTORY emissions.
PREPARERS 51.123 Findings and requirements for sub-
mission of State implementation plan re-
Sec. visions relating to emissions of oxides of
51.1 Who is responsible for actions described nitrogen pursuant to the Clean Air Inter-
in this subpart? state Rule.
51.5 What tools are available to help pre- 51.124 Findings and requirements for sub-
pare and report emissions data? mission of State implementation plan re-
51.10 [Reserved] visions relating to emissions of sulfur di-
oxide pursuant to the Clean Air Inter-
SPECIFIC REPORTING REQUIREMENTS state Rule.
51.15 What data does my state need to re- 51.125 [Reserved]
port to EPA? 51.126 Determination of widespread use of
51.20 What are the emission thresholds that ORVR and waiver of CAA section
separate point and nonpoint sources? 182(b)(3) Stage II gasoline vapor recovery
51.25 What geographic area must my state’s requirements.
inventory cover?
51.30 When does my state report which Subpart H—Prevention of Air Pollution
emissions data to EPA? Emergency Episodes
51.35 How can my state equalize the emis-
sion inventory effort from year to year? 51.150 Classification of regions for episode
51.40 In what form and format should my plans.
state report the data to EPA? 51.151 Significant harm levels.
51.45 Where should my state report the 51.152 Contingency plans.
data? 51.153 Reevaluation of episode plans.
51.50 What definitions apply to this sub-
part? Subpart I—Review of New Sources and
APPENDIX A TO SUBPART A OF PART 51—TA- Modifications
BLES
APPENDIX B TO SUBPART A OF PART 51 [RE- 51.160 Legally enforceable procedures.
SERVED] 51.161 Public availability of information.
51.162 Identification of responsible agency.
Subparts B–E [Reserved] 51.163 Administrative procedures.
51.164 Stack height procedures.
Subpart F—Procedural Requirements 51.165 Permit requirements.
51.166 Prevention of significant deteriora-
51.100 Definitions. tion of air quality.
51.101 Stipulations.
51.102 Public hearings. Subpart J—Ambient Air Quality
51.103 Submission of plans, preliminary re- Surveillance
view of plans.
51.104 Revisions. 51.190 Ambient air quality monitoring re-
51.105 Approval of plans. quirements.
169
Pt. 51 40 CFR Ch. I (7–1–21 Edition)
Subpart K—Source Surveillance 51.322 Sources subject to emissions report-

ing.
51.210 General. 51.323 Reportable emissions data and infor-
51.211 Emission reports and recordkeeping. mation.
51.212 Testing, inspection, enforcement, and 51.324 Progress in plan enforcement.
complaints. 51.326 Reportable revisions.
51.213 Transportation control measures. 51.327 Enforcement orders and other State
51.214 Continuous emission monitoring. actions.
51.328 [Reserved]
Subpart L—Legal Authority
Subpart R—Extensions
51.230 Requirements for all plans.
51.231 Identification of legal authority. 51.341 Request for 18-month extension.
51.232 Assignment of legal authority to
local agencies. Subpart S—Inspection/Maintenance
Program Requirements
Subpart M—Intergovernmental
51.350 Applicability.
Consultation 51.351 Enhanced I/M performance standard.
AGENCY DESIGNATION 51.352 Basic I/M performance standard.
51.353 Network type and program evalua-
51.240 General plan requirements. tion.
51.241 Nonattainment areas for carbon mon- 51.354 Adequate tools and resources.
oxide and ozone. 51.355 Test frequency and convenience.
51.242 [Reserved] 51.356 Vehicle coverage.
51.357 Test procedures and standards.
Subpart N—Compliance Schedules 51.358 Test equipment.
51.359 Quality control.
51.260 Legally enforceable compliance 51.360 Waivers and compliance via diag-
schedules. nostic inspection.
51.261 Final compliance schedules. 51.361 Motorist compliance enforcement.
51.262 Extension beyond one year. 51.362 Motorist compliance enforcement
program oversight.
Subpart O—Miscellaneous Plan Content 51.363 Quality assurance.
Requirements 51.364 Enforcement against contractors,
stations and inspectors.
51.280 Resources. 51.365 Data collection.
51.281 Copies of rules and regulations. 51.366 Data analysis and reporting.
51.285 Public notification. 51.367 Inspector training and licensing or
51.286 Electronic reporting. certification.
51.368 Public information and consumer
Subpart P—Protection of Visibility protection.
51.369 Improving repair effectiveness.
51.300 Purpose and applicability. 51.370 Compliance with recall notices.
51.301 Definitions. 51.371 On-road testing.
51.302 Reasonably attributable visibility 51.372 State Implementation Plan submis-
impairment. sions.
51.303 Exemptions from control. 51.373 Implementation deadlines.
51.304 Identification of integral vistas.
APPENDIX A TO SUBPART S OF PART 51—CALI-
51.305 Monitoring for reasonably attrib-
BRATIONS, ADJUSTMENTS AND QUALITY
utable visibility impairment.
CONTROL
51.306 [Reserved] APPENDIX B TO SUBPART S OF PART 51—TEST
51.307 New source review. PROCEDURES
51.308 Regional haze program requirements. APPENDIX C TO SUBPART S OF PART 51—
51.309 Requirements related to the Grand STEADY-STATE SHORT TEST STANDARDS
Canyon Visibility Transport Commis- APPENDIX D TO SUBPART S OF PART 51—
sion. STEADY-STATE SHORT TEST EQUIPMENT
APPENDIX E TO SUBPART S OF PART 51—TRAN-
Subpart Q—Reports SIENT TEST DRIVING CYCLE
AIR QUALITY DATA REPORTING

Subpart T—Conformity to State or Federal
51.320 Annual air quality data report. Implementation Plans of Transportation
SOURCE EMISSIONS AND STATE ACTION
Plans, Programs, and Projects Devel-
REPORTING oped, Funded or Approved Under Title
23 U.S.C. or the Federal Transit Laws
51.321 Annual source emissions and State
action report. 51.390 Implementation plan revision.
170
Environmental Protection Agency Pt. 51
Subpart U—Economic Incentive Programs 51.914 What new source review requirements
apply for 8-hour ozone nonattainment
51.490 Applicability. areas?
51.491 Definitions. 51.915 What emissions inventory require-
51.492 State program election and sub- ments apply under the 8-hour NAAQS?
mittal. 51.916 What are the requirements for an
51.493 State program requirements. Ozone Transport Region under the 8-hour
51.494 Use of program revenues. NAAQS?
51.917 What is the effective date of designa-
Subpart W—Determining Conformity of tion for the Las Vegas, NV, 8-hour ozone
General Federal Actions to State or nonattainment area?
Federal Implementation Plans 51.918 Can any SIP planning requirements
be suspended in 8-hour ozone nonattain-
51.850 [Reserved] ment areas that have air quality data
51.851 State implementation plan (SIP) or that meets the NAAQS?
Tribal implementation plan (TIP) revi-
51.919 Applicability.
sion.
51.852–51.860 [Reserved]
Subpart Y—Mitigation Requirements
Subpart X—Provisions for Implementation 51.930 Mitigation of Exceptional Events.
of 8-hour Ozone National Ambient Air
Quality Standard Subpart Z—Provisions for Implementation
of PM2.5 National Ambient Air Quality
51.900 Definitions.
51.901 Applicability of part 51. Standards
51.902 Which classification and nonattain- 51.1000 Definitions.
ment area planning provisions of the
51.1001 Applicability of part 51.
CAA shall apply to areas designated non-
51.1002 Classifications and reclassifications.
attainment for the 1997 8-hour NAAQS?
51.1003 Attainment plan due dates and sub-
51.903 How do the classification and attain-
mission requirements.
ment date provisions in section 181 of
51.1004 Attainment dates.
subpart 2 of the CAA apply to areas sub-
ject to § 51.902(a)? 51.1005 Attainment date extensions.
51.904 How do the classification and attain- 51.1006 Optional PM2.5 precursor demonstra-
ment date provisions in section 172(a) of tions.
subpart 1 of the CAA apply to areas sub- 51.1007 [Reserved]
ject to § 51.902(b)? 51.1008 Emissions inventory requirements.
51.905 How do areas transition from the 1- 51.1009 Moderate area attainment plan con-
hour NAAQS to the 1997 8-hour NAAQS trol strategy requirements.
and what are the anti-backsliding provi- 51.1010 Serious area attainment plan con-
sions? trol strategy requirements.
51.906 Redesignation to nonattainment fol- 51.1011 Attainment demonstration and mod-
lowing initial designations for the 8-hour eling requirements.
NAAQS. 51.1012 Reasonable further progress (RFP)
51.907 For an area that fails to attain the 8- requirements.
hour NAAQS by its attainment date, how 51.1013 Quantitative milestone require-
does EPA interpret sections ments.
172(a)(2)(C)(ii) and 181(a)(5)(B) of the 51.1014 Contingency measures requirements.
CAA? 51.1015 Clean data requirements.
51.908 What modeling and attainment dem- 51.1016 Continued applicability of the FIP
onstration requirements apply for pur- and SIP requirements pertaining to
poses of the 8-hour ozone NAAQS? interstate transport under CAA section
51.909 [Reserved] 110(a)(2)(D)(i) and (ii) after revocation of
51.910 What requirements for reasonable the 1997 primary annual PM2.5 NAAQS.
further progress (RFP) under sections
172(c)(2) and 182 apply for areas des- Subpart AA—Provisions for Implementation
ignated nonattainment for the 8-hour of the 2008 Ozone National Ambient
ozone NAAQS? Air Quality Standards
51.911 [Reserved]
51.912 What requirements apply for reason- 51.1100 Definitions.
ably available control technology 51.1101 Applicability of part 51.
(RACT) and reasonably available control 51.1102 Classification and nonattainment
measures (RACM) under the 8-hour area planning provisions.
NAAQS? 51.1103 Application of classification and at-
51.913 How do the section 182(f) NOX exemp- tainment date provisions in CAA section
tion provisions apply for the 8-hour 181 to areas subject to § 51.1102.
NAAQS? 51.1104 [Reserved]
171
§ 51.1 40 CFR Ch. I (7–1–21 Edition)
51.1105 Transition from the 1997 ozone 51.1310 Requirements for reasonable further
NAAQS to the 2008 ozone NAAQS and progress (RFP).
anti-backsliding. 51.1311 [Reserved]
51.1106 Redesignation to nonattainment fol- 51.1312 Requirements for reasonably avail-
lowing initial designations. able control technology (RACT) and rea-
51.1107 Determining eligibility for 1-year at- sonably available control measures
tainment date extensions for the 2008 (RACM).
ozone NAAQS under CAA section 51.1313 Section 182(f) NOX exemption provi-
181(a)(5). sions.
51.1108 Modeling and attainment dem- 51.1314 New source review requirements.
onstration requirements. 51.1315 Emissions inventory requirements.
51.1109 [Reserved]. 51.1316 Requirements for an Ozone Trans-
51.1110 Requirements for reasonable further port Region.
progress (RFP). 51.1317 Fee programs for Severe and Ex-
51.1111 [Reserved]. treme nonattainment areas that fail to
51.1112 Requirements for reasonably avail- attain.
able control technology (RACT) and rea- 51.1318 Suspension of SIP planning require-
sonably available control measures ments in nonattainment areas that have
(RACM). air quality data that meet an ozone
51.1113 Section 182(f) NOX exemption provi- NAAQS.
sions. 51.1319 [Reserved]
51.1114 New source review requirements. APPENDIXES A–K TO PART 51 [RESERVED]
51.1115 Emissions inventory requirements. APPENDIX L TO PART 51—EXAMPLE REGULA-
51.1116 Requirements for an Ozone Trans- TIONS FOR PREVENTION OF AIR POLLUTION
port Region. EMERGENCY EPISODES
51.1117 Fee programs for Severe and Ex- APPENDIX M TO PART 51—RECOMMENDED TEST
treme nonattainment areas that fail to METHODS FOR STATE IMPLEMENTATION
attain. PLANS
51.1118 Suspension of SIP planning require- APPENDIXES N–O TO PART 51 [RESERVED]
ments in nonattainment areas that have APPENDIX P TO PART 51—MINIMUM EMISSION
air quality data that meet an ozone MONITORING REQUIREMENTS
NAAQS. APPENDIXES Q–R TO PART 51 [RESERVED]
51.1119 Applicability. APPENDIX S TO PART 51—EMISSION OFFSET IN-
TERPRETATIVE RULING
Subpart BB—Data Requirements for Char- APPENDIXES T–U TO PART 51 [RESERVED]
acterizing Air Quality for the Primary APPENDIX V TO PART 51—CRITERIA FOR DE-
SO2 NAAQS TERMINING THE COMPLETENESS OF PLAN
SUBMISSIONS
51.1200 Definitions. APPENDIX W TO PART 51—GUIDELINE ON AIR
51.1201 Purpose. QUALITY MODELS
51.1202 Applicability. APPENDIX X TO PART 51—EXAMPLES OF ECO-
51.1203 Air agency requirements. NOMIC INCENTIVE PROGRAMS
51.1204 Enforceable emission limits pro- APPENDIX Y TO PART 51—GUIDELINES FOR
viding for attainment. BART DETERMINATIONS UNDER THE RE-
51.1205 Ongoing data requirements. GIONAL HAZE RULE
AUTHORITY: 23 U.S.C. 101; 42 U.S.C. 7401–

Subpart CC—Provisions for Implementation 7671q.
of the 2015 Ozone National Ambient
Air Quality Standards SOURCE: 36 FR 22398, Nov. 25, 1971, unless
otherwise noted.
51.1300 Definitions.
51.1301 Applicability of this part. Subpart A—Air Emissions
51.1302 Classification and nonattainment
area planning provisions. Reporting Requirements
51.1303 Application of classification and at-
tainment date provisions in CAA section SOURCE: 73 FR 76552, Dec. 17, 2008, unless
181 to areas subject to § 51.1302. otherwise noted.
51.1304–51.1305 [Reserved]
51.1306 Redesignation to nonattainment fol- GENERAL INFORMATION FOR INVENTORY
lowing initial designations. PREPARERS
51.1307 Determining eligibility for 1-year at-
tainment date extensions for an 8-hour § 51.1 Who is responsible for actions
ozone NAAQS under CAA section described in this subpart?
181(a)(5).
51.1308 Modeling and attainment dem- States must inventory emission
onstration requirements. sources located on nontribal lands and
51.1309 [Reserved] report this information to EPA.
172
§ 51.5 What tools are available to help sion Inventory System (EIS) using the
prepare and report emissions data? data elements described in this sub-
(a) We urge your state to use esti- part.
mation procedures described in docu- (3) A state may, at its option, choose
ments from the Emission Inventory to report ozone season day emissions of
Improvement Program (EIIP), avail- NOX as required under the NOX SIP
able at the following Internet address: Call and summer day emissions of NOX
http://www.epa.gov/ttn/chief/eiip. These that may be required under the NOX
procedures are standardized and ranked SIP Call for controlled sources to the
according to relative uncertainty for EIS using the data elements described
each emission estimating technique. in this subpart.
Using this guidance will enable others (4) A state may, at its option, include
to use your state’s data and evaluate estimates of emissions for additional
its quality and consistency with other pollutants (such as hazardous air pol-
data. lutants) in its emission inventory re-
(b) Where current EIIP guidance ma- ports.
terials have been supplanted by state- (b) Sources. Emissions should be re-
of-the-art emission estimation ap- ported from the following sources in all
proaches or are not applicable to parts of the state, excluding sources lo-
sources or source categories, states are cated on tribal lands:
urged to use applicable, state-of-the- (1) Point.
art techniques for estimating emis- (2) Nonpoint. States may choose to
sions. meet the requirements for some of
their nonpoint sources by accepting
§ 51.10 [Reserved] the EPA’s estimates for the sources for
which the EPA makes calculations. In
SPECIFIC REPORTING REQUIREMENTS such instances, states are encouraged
to review and update the activity val-
§ 51.15 What data does my state need ues or other calculational inputs used
to report to EPA? by the EPA for these sources.
(a) Pollutants. Report actual emis- (3) Onroad and Nonroad mobile. (i)
sions of the following (see § 51.50 for Emissions for onroad and nonroad mo-
precise definitions as required): bile sources must be reported as inputs
(1) Required pollutants for triennial to the latest EPA-developed mobile
reports of annual (12-month) emissions emissions models, such as the Motor
for all sources and every-year reports Vehicle Emissions Simulator (MOVES)
of annual emissions from Type A for onroad sources or the NMIM for
sources: nonroad sources. States using these
(i) Sulfur dioxide (SO2). models may report, at their discretion,
(ii) Volatile organic compounds emissions values computed from these
(VOC). models in addition to the model inputs.
(iii) Nitrogen oxides (NOX). (ii) In lieu of submitting model in-
(iv) Carbon monoxide (CO). puts for onroad and nonroad mobile
(v) Lead and lead compounds. sources, California must submit emis-
(vi) Primary PM2.5. As applicable, sions values.
also report filterable and condensable (iii) In lieu of submitting any data,
components. states may accept existing EPA emis-
(vii) Primary PM10. As applicable, sion estimates.
also report filterable and condensable (4) Emissions for wild and prescribed
components. fires are not required to be reported by
(viii) Ammonia (NH3). states. If states wish to optionally re-
(2) A state may, at its option, choose port these sources, they must be re-
to report NOX and VOC summer day ported to the events data category. The
emissions (or any other emissions) as events data category is a day-specific
required under the Ozone Implementa- accounting of these large-scale but
tion Rule or report CO winter work usually short duration emissions. Sub-
weekday emissions for CO nonattain- missions must include both daily emis-
ment areas or CO attainment areas sions estimates as well as daily acres
with maintenance plans to the Emis- burned values. In lieu of submitting
173
§ 51.20 40 CFR Ch. I (7–1–21 Edition)
this information, states may accept must be separated and identified by

the EPA estimates or they may submit source classification code (SCC).
inputs (e.g., acres burned, fuel loads) Nonpoint source categories or emission
for us to use in the EPA’s estimation events reasonably estimated by the
approach. state to represent a de minimis per-
(c) Supporting information. You must centage of total county and state emis-
report the data elements in Tables 2a sions of a given pollutant may be omit-
and 2b in Appendix A of this subpart. ted.
We may ask you for other data on a
(1) The reporting of wild and pre-
voluntary basis to meet special pur-
scribed fires is encouraged but not re-
poses.
(d) Confidential data. We do not con- quired and should be done via only the
sider the data in Tables 2a and 2b in ‘‘Events’’ data category.
Appendix A of this subpart confiden- (2) Agricultural fires (also referred to
tial, but some states limit release of as crop residue burning) must be re-
these types of data. Any data that you ported to the nonpoint data category.
submit to EPA under this subpart will [73 FR 76552, Dec. 17, 2008, as amended at 80
be considered in the public domain and FR 8795, Feb. 19, 2015]
cannot be treated as confidential. If
Federal and state requirements are in- § 51.25 What geographic area must my
consistent, consult your EPA Regional state’s inventory cover?
Office for a final reconciliation.
Because of the regional nature of
[73 FR 76552, Dec. 17, 2008, as amended at 80 these pollutants, your state’s inven-
FR 8795, Feb. 19, 2015] tory must be statewide, regardless of
§ 51.20 What are the emission thresh- any area’s attainment status.
olds that separate point and
nonpoint sources? § 51.30 When does my state report
which emissions data to EPA?
(a) All anthropogenic stationary
sources must be included in your in- All states are required to report two
ventory as either point or nonpoint basic types of emission inventories to
sources. the EPA: An every-year inventory; and
(b) Sources that meet the definition a triennial inventory.
of point source in this subpart must be (a) Every-year inventory. See Tables
reported as point sources. All pollut- 2a and 2b of Appendix A of this subpart
ants specified in § 51.15(a) must be refor the specific data elements to report
ported for point sources, not just the every year.
pollutant(s) that qualify the source as (1) All states are required to report
a point source. every year the annual (12-month) emis-
(c) If your state has lower emission sions data described in § 51.15 from
reporting thresholds for point sources Type A (large) point sources, as defined
than paragraph (b) of this section, then in Table 1 of Appendix A of this sub-
you may use these in reporting your part. The first every-year cycle inven-
emissions to EPA.
tory will be for the 2009 inventory year
(d) All stationary source emissions
and must be submitted to the EPA
that are not reported as point sources
must be reported as nonpoint sources. within 12 months, i.e., by December 31,
Episodic wind-generated particulate 2010.
matter (PM) emissions from sources (2) In inventory years that fall under
that are not major sources may be ex- the triennial inventory requirements,
cluded, for example dust lifted by high the reporting required by the triennial
winds from natural or tilled soil. Emis- inventory satisfies the every-year re-
sions of nonpoint sources should be ag- porting requirements of paragraph (a)
gregated to the resolution required by of this section.
the EIS as described in the current Na- (b) Triennial inventory. See Tables 2a
tional Emission Inventory (NEI) inven- and 2b to Appendix A of subpart A for
tory year plan posted at http:// the specific data elements that must be
www.epa.gov/ttn/chief/eiinformation.html. reported for the triennial inventories.
In most cases, this is county level and
174
(1) All states are required to report state must use the same emission fac-
for every third inventory year the an- tors to calculate emissions for each
nual (12-month) emissions data as de- year of the 3-year period. If your state
scribed in § 51.15. The first triennial in- has revised emission factors during the
ventory will be for the 2011 inventory 3 years for a process that has not
and must be submitted to the EPA changed, you must compute previous
within 12 months, i.e., by December 31, years’ data using the revised factor. If
2012. Subsequent triennial inventories your state uses models to estimate
(2014, 2017, etc.) will be due 12 months emissions, you must make sure that
after the end of the inventory year, i.e., the model is the same for all 3 years.
by December 31 of the following year.
(2) [Reserved] [80 FR 8796, Feb. 19, 2015]
[80 FR 8796, Feb. 19, 2015] § 51.40 In what form and format
should my state report the data to
§ 51.35 How can my state equalize the EPA?
emission inventory effort from year
to year? You must report your emission in-
(a) Compiling a triennial inventory ventory data to us in electronic form.
means more effort every 3 years. As an We support specific electronic data re-
option, your state may ease this work- porting formats, and you are required
load spike by using the following ap- to report your data in a format con-
proach: sistent with these. The term ‘‘format’’
(1) Each year, collect and report data encompasses the definition of one or
for all Type A (large) point sources more specific data fields for each of the
(this is required for all Type A point data elements listed in Tables 2a and
sources). 2b in Appendix A of this subpart; al-
(2) Each year, collect data for one- lowed code values for certain data
third of your sources that are not Type fields; transmittal information; and
A point sources. Collect data for a dif- data table relational structure. Be-
ferent third of these sources each year cause electronic reporting technology
so that data has been collected for all may change, contact the EPA Emission
of the sources that are not Type A Inventory and Analysis Group (EIAG)
point sources by the end of each 3-year for the latest specific formats. You can
cycle. You must save 3 years of data find information on the current for-
and then report all emissions from the mats at the following Internet address:
sources that are not Type A point http://www.epa.gov/ttn/chief/eis/2011nei/
sources on the triennial inventory due xmlldataleis.pdf. You may also call
date. the air emissions contact in your EPA
(3) Each year, collect data for one- Regional Office or our Info CHIEF help
third of the nonpoint, nonroad mobile, desk at (919) 541–1000 or send email to
and onroad mobile sources. You must info.chief@epa.gov.
save 3 years of data for each such
[80 FR 8796, Feb. 19, 2015]
source and then report all of these data
on the triennial inventory due date. § 51.45 Where should my state report
(b) For the sources described in para- the data?
graph (a) of this section, your state
will have data from 3 successive years (a) Your state submits or reports
at any given time, rather than from data by providing it directly to EPA.
the single year in which it is compiled. (b) The latest information on data re-
(c) If your state chooses the method porting procedures is available at the
of inventorying one-third of your following Internet address: http://
sources that are not Type A point www.epa.gov/ttn/chief. You may also
sources and triennial inventory call our Info CHIEF help desk at (919)
nonpoint, nonroad mobile, and onroad 541–1000 or e-mail to info.chief@epa.gov.
mobile sources each year, your state
must compile each year of the 3-year § 51.50 What definitions apply to this
period identically. For example, if a subpart?
process has not changed for a source Aircraft engine type means a code de-
category or individual plant, your fining a unique combination of aircraft
175
§ 51.50 40 CFR Ch. I (7–1–21 Edition)
and engine used as an input parameter tem) that is not used in a motor vehi-
for calculating emissions from aircraft. cle or a vehicle used solely for competi-
Annual emissions means actual emis- tion, or that is not affected by sections
sions for a plant, point, or process that 111 or 202 of the CAA; and
are measured or calculated to rep- (3) A nonroad vehicle is a vehicle that
resent a calendar year. is run by a nonroad engine and that is
Control measure means a unique code not a motor vehicle or a vehicle used
for the type of control device or oper- solely for competition.
ational measure (e.g., wet scrubber, NAICS means North American Indus-
flaring, process change, ban) used to re- try Classification System code. The
duce emissions. NAICS codes are U.S. Department of
Emission calculation method means the Commerce’s codes for categorizing
code describing how the emissions for a businesses by products or services and
pollutant were calculated, e.g., by have replaced Standard Industrial
stack test, continuous emissions mon- Classification codes.
itor, EPA emission factor, etc. Nitrogen oxides (NOX) means nitrogen
Emission factor means the ratio relat- oxides (NOX) as defined in 40 CFR 60.2
ing emissions of a specific pollutant to as all oxides of nitrogen except N2O.
an activity throughput level. Nitrogen oxides should be reported on
Emission operating type means the an equivalent molecular weight basis
operational status of an emissions unit
as nitrogen dioxide (NO2).
for the time period for which emissions
Nonpoint sources collectively rep-
are being reported, i.e., Routine, Start-
resent individual sources that have not
up, Shutdown, or Upset.
Emission process identifier means a been inventoried as specific point or
unique code for the process generating mobile sources. These individual
the emissions. sources treated collectively as
Emission type means the type of emis- nonpoint sources are typically too
sions produced for onroad and nonroad small, numerous, or difficult to inven-
sources or the mode of operation for tory using the methods for the other
marine vessels. classes of sources.
Emissions year means the calendar Particulate matter (PM) is a criteria
year for which the emissions estimates air pollutant. For the purpose of this
are reported. subpart, the following definitions
Facility site identifier means the apply:
unique code for a plant or facility (1) Filterable PM2.5 or Filterable PM10:
treated as a point source, containing Particles that are directly emitted by a
one or more pollutant-emitting units. source as a solid or liquid at stack or
The EPA’s reporting format allows for release conditions and captured on the
state submittals to use either the filter of a stack test train. Filterable
state’s data system identifiers or the PM2.5 is particulate matter with an
EPA’s Emission Inventory System aerodynamic diameter equal to or less
identifiers. than 2.5 micrometers. Filterable PM10
Facility site name means the name of is particulate matter with an aero-
the facility. dynamic diameter equal to or less than
Lead (Pb) means lead as defined in 40 10 micrometers.
CFR 50.12. Emissions of Pb which occur (2) Condensable PM: Material that is
either as elemental Pb or as a chemical vapor phase at stack conditions, but
compound containing Pb should be re- which condenses and/or reacts upon
ported as the mass of the Pb atoms cooling and dilution in the ambient air
only. to form solid or liquid PM immediately
Mobile source means a motor vehicle, after discharge from the stack. Note
nonroad engine or nonroad vehicle, that all condensable PM, if present
where: from a source, is typically in the PM2.5
(1) A motor vehicle is any self-pro- size fraction and, therefore, all of it is
pelled vehicle used to carry people or a component of both primary PM2.5 and
property on a street or highway; primary PM10.
(2) A nonroad engine is an internal (3) Primary PM2.5: The sum of filter-
combustion engine (including fuel sys- able PM2.5 and condensable PM.
176
(4) Primary PM10: The sum of filter- the reporting format specified by the
able PM10 and condensable PM. EPA for each inventory year.
(5) Secondary PM: Particles that form Release point apportionment percent
or grow in mass through chemical reac- means the average percentage(s) of an
tions in the ambient air well after dilu- emissions exhaust stream directed to a
tion and condensation have occurred. given release point.
Secondary PM is usually formed at Release point exit gas flow rate means
some distance downwind from the the numeric value of the flow rate of a
source. Secondary PM should not be re- stack gas.
ported in the emission inventory and is Release point exit gas temperature
not covered by this subpart. means the numeric value of the tem-
Percent control approach capture effi- perature of an exit gas stream in de-
ciency means the percentage of an ex- grees Fahrenheit.
haust gas stream actually collected for Release point exit gas velocity means
routing to a set of control devices. the numeric value of the velocity of an
Percent control approach effectiveness exit gas stream.
means the percentage of time or activ- Release point identifier means a unique
ity throughput that a control approach code for the point where emissions
is operating as designed, including the from one or more processes release into
capture and reduction devices. This the atmosphere.
percentage accounts for the fact that
Release point stack diameter means the
controls typically are not 100 percent
inner physical diameter of a stack.
effective because of equipment down-
time, upsets and decreases in control Release point stack height means phys-
efficiencies. ical height of a stack above the sur-
Percent control approach penetration rounding terrain.
means the percentage of a nonpoint Release point type code means the code
source category activity that is cov- for physical configuration of the re-
ered by the reported control measures. lease point.
Percent control measures reduction effi- Reporting period type means the code
ciency means the net emission reduc- describing the time period covered by
tion efficiency across all emissions the emissions reported, i.e., Annual, 5-
control devices. It does not account for month ozone season, summer day, or
capture device efficiencies. winter.
Physical address means the location Source classification code (SCC) means
address (street address or other phys- a process-level code that describes the
ical location description), locality equipment and/or operation which is
name, state, and postal zip code of a fa- emitting pollutants.
cility. This is the physical location State and county FIPS code means the
where the emissions occur; not the cor- system of unique identifiers in the Fed-
porate headquarters or a mailing ad- eral Information Placement System
dress. (FIPS) used to identify states, counties
Point source means large, stationary and parishes for the entire United
(non-mobile), identifiable sources of States, Puerto Rico, and Guam.
emissions that release pollutants into Throughput means a measurable fac-
the atmosphere. A point source is a fa- tor or parameter that relates directly
cility that is a major source under 40 or indirectly to the emissions of an air
CFR part 70 for one or more of the pol- pollution source during the period for
lutants for which reporting is required which emissions are reported. Depend-
by § 51.15 (a)(1). This does not include ing on the type of source category, ac-
the emissions of hazardous air pollut- tivity information may refer to the
ants, which are not considered in deter- amount of fuel combusted, raw mate-
mining whether a source is a point rial processed, product manufactured,
source under this subpart. The min- or material handled or processed. It
imum point source reporting thresh- may also refer to population, employ-
olds are shown in Table 1 of Appendix ment, or number of units. Activity
A. throughput is typically the value that
Pollutant code means a unique code is multiplied against an emission fac-
for each reported pollutant assigned by tor to generate an emissions estimate.
177
Pt. 51, Subpt. A, App. A 40 CFR Ch. I (7–1–21 Edition)
Type A source means large point throughput or output capacity of the

sources with a potential to emit great- unit.
er than or equal to any of the thresh- Unit identifier means a unique code
olds listed in Table 1 of Appendix A of for the unit that generates emissions,
this subpart. If a source is a Type A typically a physical piece of equipment
source for any pollutant listed in Table or a closely related set of equipment.
1, then the emissions for all pollutants VOC means volatile organic com-
required by § 51.15 must be reported for pounds. The EPA’s regulatory defini-
that source. tion of VOC is in 40 CFR 51.100.
Unit design capacity means a measure [80 FR 8796, Feb. 19, 2015]
of the size of a point source, based on
the reported maximum continuous APPENDIX A TO SUBPART A OF PART 51—
TABLES
TABLE 1 TO APPENDIX A OF SUBPART A—EMISSION THRESHOLDS 1 BY POLLUTANT FOR TREATMENT
AS POINT SOURCE UNDER 40 CFR 51.30
Every-year Triennial
Pollutant Type A Type B sources NAA sources 3
sources 2
(1) SO2 ............................................ ≥2500 ≥100 ................................................ ≥100.

........................ ......................................................... PM2.5 (Serious) ≥70.
(2) VOC ........................................... ≥250 ≥100 ................................................ ≥100.
........................ within OTR 4 ≥50 ............................ within OTR ≥50.
........................ ......................................................... O3 (Serious) ≥50.
........................ ......................................................... O3 (Severe) ≥25.
........................ ......................................................... O3 (Extreme) ≥10.
........................ ......................................................... PM2.5 (Serious) ≥70.
(3) NOX ............................................ ≥2500 ≥100 ................................................ ≥100.
........................ ......................................................... O3 (Serious) ≥50.
........................ ......................................................... O3 (Severe) ≥25.
........................ ......................................................... O3 (Extreme) ≥10.
........................ ......................................................... PM2.5 (Serious) ≥70.
(4) CO .............................................. ≥2500 ≥1000 .............................................. ≥1000.
........................ ......................................................... CO (all areas) ≥100.
(5) Lead ........................................... ........................ ≥0.5 (actual) ................................... ≥0.5 (actual).
(6) Primary PM10 ............................. ≥250 ≥100 ................................................ ≥100.
........................ ......................................................... PM10 (Serious) ≥70.
(7) Primary PM2.5 ............................ ≥250 ≥100 ................................................ ≥100.
........................ ......................................................... PM2.5 (Serious) ≥70.
(8) NH3 ............................................ ≥250 ≥100 ................................................ ≥100.
........................ ......................................................... PM2.5 (Serious) ≥70.
1 Thresholds for point source determination shown in tons per year of potential to emit as defined in 40 CFR part 70, with the
exception of lead. Reported emissions should be in actual tons emitted for the required time period.
2 Type A sources are a subset of the Type B sources and are the larger emitting sources by pollutant.
3 NAA = Nonattainment Area. The point source reporting thresholds vary by attainment status for SO , VOC, NO , CO, PM ,
2 X 10
PM2.5, and NH3.
4 OTR = Ozone Transport Region (see 40 CFR 51.1300(k)).
TABLE 2a TO APPENDIX A OF SUBPART A—FA- TABLE 2a TO APPENDIX A OF SUBPART A—FA-

CILITY INVENTORY 1 DATA ELEMENTS FOR RE- CILITY INVENTORY 1 DATA ELEMENTS FOR RE-
PORTING EMISSIONS FROM POINT SOURCES, PORTING EMISSIONS FROM POINT SOURCES,
WHERE REQUIRED BY 40 CFR 51.30 WHERE REQUIRED BY 40 CFR 51.30—Con-
tinued
Data elements
Data elements
(1) Emissions Year.
(2) State and County FIPS Code or Tribal Code. (13) Release Point Stack Height and Unit of Measure.
(3) Facility Site Identifier. (14) Release Point Stack Diameter and Unit of Measure.
(4) Unit Identifier. (15) Release Point Exit Gas Temperature and Unit of Meas-
(5) Emission Process Identifier. ure.
(6) Release Point Identifier. (16) Release Point Exit Gas Velocity or Release Point Exit
(7) Facility Site Name. Gas Flow Rate and Unit of Measure.
(8) Physical Address (Location Address, Locality Name, (17) Release Point Status and Year.
State and Postal Code). (18) NAICS at facility level.
(9) Latitude and Longitude at facility level. (19) Unit Design Capacity and Unit of Measure (for some
(10) Source Classification Code. unit types).
(11) Aircraft Engine Type (where applicable). (20) Unit Type.
(12) Facility Site Status and Year. (21) Unit Status and Year.
178
TABLE 2a TO APPENDIX A OF SUBPART A—FA- TABLE 2a TO APPENDIX A OF SUBPART A—FA-

CILITY INVENTORY 1 DATA ELEMENTS FOR RE- CILITY INVENTORY 1 DATA ELEMENTS FOR RE-
PORTING EMISSIONS FROM POINT SOURCES, PORTING EMISSIONS FROM POINT SOURCES,
WHERE REQUIRED BY 40 CFR 51.30—Con- WHERE REQUIRED BY 40 CFR 51.30—Con-
tinued tinued
Data elements Data elements
(22) Release Point Apportionment Percent. (27) Percent Control Approach Effectiveness (where applica-
(23) Release Point Type. ble).
(24) Control Measure and Control Pollutant (where applica-
1 Facility Inventory data elements need only be reported
ble).
(25) Percent Control Approach Capture Efficiency (where ap- once to the EIS and then revised if needed. They do not need
plicable). to be reported for each triennial or every-year emissions
inventory.
(26) Percent Control Measures Reduction Efficiency (where
applicable).
TABLE 2b TO APPENDIX A OF SUBPART A—DATA ELEMENTS FOR REPORTING EMISSIONS FROM

POINT, NONPOINT, ONROAD MOBILE AND NONROAD MOBILE SOURCES, WHERE REQUIRED BY 40
CFR 51.30
Data elements Point Nonpoint Onroad Nonroad
(1) Emissions Year ................................................................................ Y Y Y Y

(2) FIPS code ........................................................................................ Y Y Y Y
(3) Shape Identifiers (where applicable) ............................................... .................... Y
(4) Source Classification Code ............................................................. .................... Y Y Y
(5) Emission Type (where applicable) .................................................. .................... Y Y Y
(8) Emission Factor ............................................................................... Y Y
(9) Throughput (Value, Material, Unit of Measure, and Type) ............. Y Y Y
(10) Pollutant Code ............................................................................... Y Y Y Y
(11) Annual Emissions and Unit of Measure ........................................ Y Y Y Y
(12) Reporting Period Type (Annual) .................................................... Y Y Y Y
(13) Emission Operating Type (Routine) .............................................. Y ....................
(14) Emission Calculation Method ........................................................ Y Y
(15) Control Measure and Control Pollutant (where applicable) .......... .................... Y
(16) Percent Control Measures Reduction Efficiency (where applica-
ble) ..................................................................................................... .................... Y
(17) Percent Control Approach Effectiveness (where applicable) ........ .................... Y
(18) Percent Control Approach Penetration (where applicable) ........... .................... Y .................... ....................
[73 FR 76552, Dec. 17, 2008, as amended at 80 Agency (EPA) or an authorized rep-
FR 8796, Feb. 19, 2015; 81 FR 58149, Aug. 24, resentative.
2016; 83 FR 63031, Dec. 6, 2018]
(c) Primary standard means a national
primary ambient air quality standard
Subparts B–E [Reserved] promulgated pursuant to section 109 of
the Act.
Subpart F—Procedural (d) Secondary standard means a na-
Requirements tional secondary ambient air quality
standard promulgated pursuant to sec-
AUTHORITY: 42 U.S.C. 7401, 7411, 7412, 7413, tion 109 of the Act.
7414, 7470–7479, 7501–7508, 7601, and 7602. (e) National standard means either a
primary or secondary standard.
§ 51.100 Definitions. (f) Owner or operator means any per-
As used in this part, all terms not de- son who owns, leases, operates, con-
fined herein will have the meaning trols, or supervises a facility, building,
given them in the Act: structure, or installation which di-
(a) Act means the Clean Air Act (42 rectly or indirectly result or may re-
U.S.C. 7401 et seq., as amended by Pub. sult in emissions of any air pollutant
L. 91–604, 84 Stat. 1676 Pub. L. 95–95, 91 for which a national standard is in ef-
Stat., 685 and Pub. L. 95–190, 91 Stat., fect.
1399.) (g) Local agency means any local gov-
(b) Administrator means the Adminis- ernment agency other than the State
trator of the Environmental Protection
179
§ 51.100 40 CFR Ch. I (7–1–21 Edition)
agency, which is charged with responsi- (2) Federal or State emission charges
bility for carrying out a portion of the or taxes or other economic incentives
plan. or disincentives.
(h) Regional Office means one of the (3) Closing or relocation of residen-
ten (10) EPA Regional Offices. tial, commercial, or industrial facili-
(i) State agency means the air pollu- ties.
tion control agency primarily respon- (4) Changes in schedules or methods
sible for development and implementa- of operation of commercial or indus-
tion of a plan under the Act. trial facilities or transportation sys-
(j) Plan means an implementation tems, including, but not limited to,
plan approved or promulgated under short-term changes made in accord-
section 110 of 172 of the Act. ance with standby plans.
(k) Point source means the following: (5) Periodic inspection and testing of
(1) For particulate matter, sulfur ox- motor vehicle emission control sys-
ides, carbon monoxide, volatile organic tems, at such time as the Adminis-
compounds (VOC) and nitrogen diox- trator determines that such programs
ide— are feasible and practicable.
(i) Any stationary source the actual (6) Emission control measures appli-
emissions of which are in excess of 90.7 cable to in-use motor vehicles, includ-
metric tons (100 tons) per year of the ing, but not limited to, measures such
pollutant in a region containing an as mandatory maintenance, installa-
area whose 1980 urban place population, tion of emission control devices, and
as defined by the U.S. Bureau of the conversion to gaseous fuels.
Census, was equal to or greater than 1 (7) Any transportation control meas-
million. ure including those transportation
(ii) Any stationary source the actual measures listed in section 108(f) of the
emissions of which are in excess of 22.7 Clean Air Act as amended.
metric tons (25 tons) per year of the (8) Any variation of, or alternative to
pollutant in a region containing an any measure delineated herein.
area whose 1980 urban place population, (9) Control or prohibition of a fuel or
as defined by the U.S. Bureau of the fuel additive used in motor vehicles, if
Census, was less than 1 million; or such control or prohibition is nec-
(2) For lead or lead compounds meas- essary to achieve a national primary or
ured as elemental lead, any stationary secondary air quality standard and is
source that actually emits a total of 4.5 approved by the Administrator under
metric tons (5 tons) per year or more. section 211(c)(4)(C) of the Act.
(l) Area source means any small resi- (o) Reasonably available control tech-
dential, governmental, institutional, nology (RACT) means devices, systems,
commercial, or industrial fuel combus- process modifications, or other appa-
tion operations; onsite solid waste dis- ratus or techniques that are reasonably
posal facility; motor vehicles, aircraft available taking into account:
vessels, or other transportation facili- (1) The necessity of imposing such
ties or other miscellaneous sources controls in order to attain and main-
identified through inventory tech- tain a national ambient air quality
niques similar to those described in the standard;
‘‘AEROS Manual series, Vol. II AEROS (2) The social, environmental, and
User’s Manual,’’ EPA–450/2–76–029 De- economic impact of such controls; and
cember 1976. (3) Alternative means of providing for
(m) Region means an area designated attainment and maintenance of such
as an air quality control region (AQCR) standard. (This provision defines RACT
under section 107(c) of the Act. for the purposes of § 51.341(b) only.)
(n) Control strategy means a combina- (p) Compliance schedule means the
tion of measures designated to achieve date or dates by which a source or cat-
the aggregate reduction of emissions egory of sources is required to comply
necessary for attainment and mainte- with specific emission limitations con-
nance of national standards including, tained in an implementation plan and
but not limited to, measures such as: with any increments of progress to-
(1) Emission limitations. ward such compliance.
180
(q) Increments of progress means steps difluoroethane (HFC–152a);

toward compliance which will be taken parachlorobenzotrifluoride (PCBTF);
by a specific source, including: cyclic, branched, or linear completely
(1) Date of submittal of the source’s methylated siloxanes; acetone;
final control plan to the appropriate perchloroethylene
air pollution control agency; (tetrachloroethylene); 3,3-dichloro-
(2) Date by which contracts for emis- 1,1,1,2,2-pentafluoropropane (HCFC–
sion control systems or process modi- 225ca); 1,3-dichloro-1,1,2,2,3-
fications will be awarded; or date by pentafluoropropane (HCFC–225cb);
which orders will be issued for the pur- 1,1,1,2,3,4,4,5,5,5-decafluoropentane
chase of component parts to accom- (HFC 43–10mee); difluoromethane
plish emission control or process modi- (HFC–32); ethylfluoride (HFC–161);
fication; 1,1,1,3,3,3-hexafluoropropane (HFC–
(3) Date of initiation of on-site con- 236fa); 1,1,2,2,3-pentafluoropropane
struction or installation of emission (HFC–245ca); 1,1,2,3,3-
control equipment or process change; pentafluoropropane (HFC–245ea);
(4) Date by which on-site construc- 1,1,1,2,3-pentafluoropropane (HFC–
tion or installation of emission control 245eb); 1,1,1,3,3-pentafluoropropane
equipment or process modification is (HFC–245fa); 1,1,1,2,3,3-
to be completed; and hexafluoropropane (HFC–236ea);
(5) Date by which final compliance is 1,1,1,3,3-pentafluorobutane (HFC–
to be achieved.
365mfc); chlorofluoromethane (HCFC–
(r) Transportation control measure
31); 1 chloro-1-fluoroethane (HCFC–
means any measure that is directed to-
151a); 1,2-dichloro-1,1,2-trifluoroethane
ward reducing emissions of air pollut-
(HCFC–123a); 1,1,1,2,2,3,3,4,4-nonafluoro-
ants from transportation sources. Such
4-methoxy-butane (C4F9OCH3 or HFE–
measures include, but are not limited
to, those listed in section 108(f) of the 7100); 2-(difluoromethoxymethyl)-
Clean Air Act. 1,1,1,2,3,3,3-heptafluoropropane
(s) Volatile organic compounds (VOC) ((CF3)2CFCF2OCH3); 1-ethoxy-
means any compound of carbon, ex- 1,1,2,2,3,3,4,4,4-nonafluorobutane
cluding carbon monoxide, carbon diox- (C4F9OC2H5 or HFE–7200); 2-
ide, carbonic acid, metallic carbides or (ethoxydifluoromethyl)-1,1,1,2,3,3,3-
carbonates, and ammonium carbonate, heptafluoropropane
which participates in atmospheric pho- ((CF3)2CFCF2OC2H5); methyl acetate;
tochemical reactions. 1,1,1,2,2,3,3-heptafluoro-3-methoxy-pro-
(1) This includes any such organic pane (n-C3F7OCH3, HFE–7000); 3-
compound other than the following, ethoxy- 1,1,1,2,3,4,4,5,5,6,6,6-
which have been determined to have dodecafluoro-2-(trifluoromethyl)
negligible photochemical reactivity: hexane (HFE–7500); 1,1,1,2,3,3,3-
Methane; ethane; methylene chloride heptafluoropropane (HFC 227ea); meth-
(dichloromethane); 1,1,1-trichloro- yl formate (HCOOCH3); 1,1,1,2,2,3,4,5,5,5-
ethane (methyl chloroform); 1,1,2- decafluoro-3-methoxy-4-
trichloro-1,2,2-trifluoroethane (CFC– trifluoromethyl-pentane (HFE–7300);
113); trichlorofluoromethane (CFC–11); propylene carbonate; dimethyl car-
dichlorodifluoromethane (CFC–12); bonate; trans-1,3,3,3-tetrafluoropropene;
chlorodifluoromethane (HCFC–22); HCF2OCF2H (HFE–134);
trifluoromethane (HFC–23); 1,2-dichloro HCF2OCF2OCF2H (HFE–236cal2);
1,1,2,2-tetrafluoroethane (CFC–114); HCF2OCF2CF2OCF2H (HFE–338pcc13);
chloropentafluoroethane (CFC–115); HCF2OCF2OCF2CF2OCF2H (H-Galden
1,1,1-trifluoro 2,2-dichloroethane 1040x or H-Galden ZT 130 (or 150 or
(HCFC–123); 1,1,1,2-tetrafluoroethane 180)); trans 1-chloro-3,3,3-trifluoroprop-
(HFC–134a); 1,1-dichloro 1-fluoroethane 1-ene; 2,3,3,3-tetrafluoropropene; 2-
(HCFC–141b); 1-chloro 1,1- amino-2-methyl-1-propanol; t-butyl ac-
difluoroethane (HCFC–142b); 2-chloro- etate; 1,1,2,2- Tetrafluoro -1-(2,2,2-
1,1,1,2-tetrafluoroethane (HCFC–124); trifluoroethoxy) ethane; cis-1,1,1,4,4,4-
pentafluoroethane (HFC–125); 1,1,2,2- hexafluorobut-2-ene (HFO–1336mzz-Z);
tetrafluoroethane (HFC–134); 1,1,1- and perfluorocarbon compounds which
trifluoroethane (HFC–143a); 1,1- fall into these classes:
181
§ 51.100 40 CFR Ch. I (7–1–21 Edition)
(i) Cyclic, branched, or linear, com- limit. Therefore, the compounds identi-
pletely fluorinated alkanes; fied in paragraph (s) of this section as
(ii) Cyclic, branched, or linear, com- negligibly reactive and excluded from
pletely fluorinated ethers with no EPA’s definition of VOCs are to be
unsaturations; counted towards a product’s reactivity
(iii) Cyclic, branched, or linear, com- limit for the purposes of determining
pletely fluorinated tertiary amines compliance with California’s aerosol
with no unsaturations; and coatings reactivity-based regulation.
(iv) Sulfur containing (7) For the purposes of determining
perfluorocarbons with no compliance with EPA’s aerosol coat-
unsaturations and with sulfur bonds ings reactivity based regulation (as de-
only to carbon and fluorine. scribed in 40 CFR part 59—National
(2) For purposes of determining com- Volatile Organic Compound Emission
pliance with emissions limits, VOC will Standards for Consumer and Commer-
be measured by the test methods in the cial Products) any organic compound
approved State implementation plan in the volatile portion of an aerosol
(SIP) or 40 CFR part 60, appendix A, as coating is counted towards the prod-
applicable. Where such a method also uct’s reactivity-based limit, as pro-
measures compounds with negligible vided in 40 CFR part 59, subpart E.
photochemical reactivity, these Therefore, the compounds that are
negligibility-reactive compounds may used in aerosol coating products and
be excluded as VOC if the amount of that are identified in paragraphs (s)(1)
such compounds is accurately quan- or (s)(5) of this section as excluded
tified, and such exclusion is approved from EPA’s definition of VOC are to be
by the enforcement authority. counted towards a product’s reactivity
(3) As a precondition to excluding limit for the purposes of determining
these compounds as VOC or at any compliance with EPA’s aerosol coat-
time thereafter, the enforcement au- ings reactivity-based national regula-
thority may require an owner or oper- tion, as provided in 40 CFR part 59, sub-
ator to provide monitoring or testing part E.
methods and results demonstrating, to (t)–(w) [Reserved]
the satisfaction of the enforcement au- (x) Time period means any period of
thority, the amount of negligibly-reac- time designated by hour, month, sea-
tive compounds in the source’s emis- son, calendar year, averaging time, or
sions. other suitable characteristics, for
(4) For purposes of Federal enforce- which ambient air quality is estimated.
ment for a specific source, the EPA (y) Variance means the temporary de-
shall use the test methods specified in ferral of a final compliance date for an
the applicable EPA-approved SIP, in a individual source subject to an ap-
permit issued pursuant to a program proved regulation, or a temporary
approved or promulgated under title V change to an approved regulation as it
of the Act, or under 40 CFR part 51, applies to an individual source.
subpart I or appendix S, or under 40 (z) Emission limitation and emission
CFR parts 52 or 60. The EPA shall not standard mean a requirement estab-
be bound by any State determination lished by a State, local government, or
as to appropriate methods for testing the Administrator which limits the
or monitoring negligibly-reactive com- quantity, rate, or concentration of
pounds if such determination is not re- emissions of air pollutants on a contin-
flected in any of the above provisions. uous basis, including any requirements
(5) [Reserved] which limit the level of opacity, pre-
(6) For the purposes of determining scribe equipment, set fuel specifica-
compliance with California’s aerosol tions, or prescribe operation or mainte-
coatings reactivity-based regulation, nance procedures for a source to assure
(as described in the California Code of continuous emission reduction.
Regulations, Title 17, Division 3, Chap- (aa) Capacity factor means the ratio
ter 1, Subchapter 8.5, Article 3), any or- of the average load on a machine or
ganic compound in the volatile portion equipment for the period of time con-
of an aerosol coating is counted to- sidered to the capacity rating of the
wards that product’s reactivity-based machine or equipment.
182
(bb) Excess emissions means emissions (i) The reheating of a gas stream, fol-
of an air pollutant in excess of an emis- lowing use of a pollution control sys-
sion standard. tem, for the purpose of returning the
(cc) Nitric acid plant means any facil- gas to the temperature at which it was
ity producing nitric acid 30 to 70 per- originally discharged from the facility
cent in strength by either the pressure generating the gas stream;
or atmospheric pressure process. (ii) The merging of exhaust gas
(dd) Sulfuric acid plant means any fa- streams where:
cility producing sulfuric acid by the (A) The source owner or operator
contact process by burning elemental demonstrates that the facility was
sulfur, alkylation acid, hydrogen sul- originally designed and constructed
fide, or acid sludge, but does not in-
with such merged gas streams;
clude facilities where conversion to
sulfuric acid is utilized primarily as a (B) After July 8, 1985 such merging is
means of preventing emissions to the part of a change in operation at the fa-
atmosphere of sulfur dioxide or other cility that includes the installation of
sulfur compounds. pollution controls and is accompanied
(ee) Fossil fuel-fired steam generator by a net reduction in the allowable
means a furnance or bioler used in the emissions of a pollutant. This exclu-
process of burning fossil fuel for the sion from the definition of dispersion
primary purpose of producing steam by techniques shall apply only to the emis-
heat transfer. sion limitation for the pollutant af-
(ff) Stack means any point in a source fected by such change in operation; or
designed to emit solids, liquids, or (C) Before July 8, 1985, such merging
gases into the air, including a pipe or was part of a change in operation at
duct but not including flares. the facility that included the installa-
(gg) A stack in existence means that tion of emissions control equipment or
the owner or operator had (1) begun, or was carried out for sound economic or
caused to begin, a continuous program engineering reasons. Where there was
of physical on-site construction of the an increase in the emission limitation
stack or (2) entered into binding agree- or, in the event that no emission limi-
ments or contractual obligations, tation was in existence prior to the
which could not be cancelled or modi- merging, an increase in the quantity of
fied without substantial loss to the pollutants actually emitted prior to
owner or operator, to undertake a pro- the merging, the reviewing agency
gram of construction of the stack to be shall presume that merging was signifi-
completed within a reasonable time. cantly motivated by an intent to gain
(hh)(1) Dispersion technique means emissions credit for greater dispersion.
any technique which attempts to affect Absent a demonstration by the source
the concentration of a pollutant in the owner or operator that merging was
ambient air by: not significantly motivated by such in-
(i) Using that portion of a stack tent, the reviewing agency shall deny
which exceeds good engineering prac- credit for the effects of such merging in
tice stack height: calculating the allowable emissions for
(ii) Varying the rate of emission of a the source;
pollutant according to atmospheric
(iii) Smoke management in agricul-
conditions or ambient concentrations
tural or silvicultural prescribed burn-
of that pollutant; or
(iii) Increasing final exhaust gas ing programs;
plume rise by manipulating source (iv) Episodic restrictions on residen-
process parameters, exhaust gas pa- tial woodburning and open burning; or
rameters, stack parameters, or com- (v) Techniques under
bining exhaust gases from several ex- § 51.100(hh)(1)(iii) which increase final
isting stacks into one stack; or other exhaust gas plume rise where the re-
selective handling of exhaust gas sulting allowable emissions of sulfur
streams so as to increase the exhaust dioxide from the facility do not exceed
gas plume rise. 5,000 tons per year.
(2) The preceding sentence does not (ii) Good engineering practice (GEP)
include: stack height means the greater of:
183
§ 51.100 40 CFR Ch. I (7–1–21 Edition)
(1) 65 meters, measured from the GEP stack height determined by the
ground-level elevation at the base of formulae provided in § 51.100(ii)(2)(ii) of
the stack: this part or 26 meters, whichever is
(2)(i) For stacks in existence on Jan- greater, as measured from the ground-
uary 12, 1979, and for which the owner level elevation at the base of the stack.
or operator had obtained all applicable The height of the structure or terrain
permits or approvals required under 40 feature is measured from the ground-
CFR parts 51 and 52. level elevation at the base of the stack.
Hg = 2.5H, (kk) Excessive concentration is defined
for the purpose of determining good en-
provided the owner or operator pro- gineering practice stack height under
duces evidence that this equation was § 51.100(ii)(3) and means:
actually relied on in establishing an
(1) For sources seeking credit for
emission limitation:
stack height exceeding that estab-
(ii) For all other stacks,
lished under § 51.100(ii)(2) a maximum
Hg = H + 1.5L ground-level concentration due to
where: emissions from a stack due in whole or
Hg = good engineering practice stack height, part to downwash, wakes, and eddy ef-
measured from the ground-level ele- fects produced by nearby structures or
vation at the base of the stack, nearby terrain features which individ-
H = height of nearby structure(s) measured ually is at least 40 percent in excess of
from the ground-level elevation at the the maximum concentration experi-
base of the stack.
L = lesser dimension, height or projected enced in the absence of such downwash,
width, of nearby structure(s) wakes, or eddy effects and which con-
tributes to a total concentration due to
provided that the EPA, State or local emissions from all sources that is
control agency may require the use of greater than an ambient air quality
a field study or fluid model to verify standard. For sources subject to the
GEP stack height for the source; or prevention of significant deterioration
(3) The height demonstrated by a program (40 CFR 51.166 and 52.21), an
fluid model or a field study approved excessive concentration alternatively
by the EPA State or local control
means a maximum ground-level con-
agency, which ensures that the emis-
centration due to emissions from a
sions from a stack do not result in ex-
cessive concentrations of any air pol- stack due in whole or part to
lutant as a result of atmospheric downwash, wakes, or eddy effects pro-
downwash, wakes, or eddy effects cre- duced by nearby structures or nearby
ated by the source itself, nearby struc- terrain features which individually is
tures or nearby terrain features. at least 40 percent in excess of the
(jj) Nearby as used in § 51.100(ii) of maximum concentration experienced
this part is defined for a specific struc- in the absence of such downwash,
ture or terrain feature and wakes, or eddy effects and greater than
(1) For purposes of applying the for- a prevention of significant deteriora-
mulae provided in § 51.100(ii)(2) means tion increment. The allowable emission
that distance up to five times the less- rate to be used in making demonstra-
er of the height or the width dimension tions under this part shall be pre-
of a structure, but not greater than 0.8 scribed by the new source performance
km (1⁄2 mile), and standard that is applicable to the
(2) For conducting demonstrations source category unless the owner or op-
under § 51.100(ii)(3) means not greater erator demonstrates that this emission
than 0.8 km (1⁄2 mile), except that the rate is infeasible. Where such dem-
portion of a terrain feature may be onstrations are approved by the au-
considered to be nearby which falls thority administering the State imple-
within a distance of up to 10 times the mentation plan, an alternative emis-
maximum height (Ht) of the feature, sion rate shall be established in con-
not to exceed 2 miles if such feature
sultation with the source owner or op-
achieves a height (Ht) 0.8 km from the
erator.
stack that is at least 40 percent of the
184
(2) For sources seeking credit after (pp) Particulate matter emissions means
October 11, 1983, for increases in exist- all finely divided solid or liquid mate-
ing stack heights up to the heights es- rial, other than uncombined water,
tablished under § 51.100(ii)(2), either (i) emitted to the ambient air as measured
a maximum ground-level concentration by applicable reference methods, or an
due in whole or part to downwash, equivalent or alternative method, spec-
wakes or eddy effects as provided in ified in this chapter, or by a test meth-
paragraph (kk)(1) of this section, ex- od specified in an approved State im-
cept that the emission rate specified by plementation plan.
any applicable State implementation (qq) PM10 means particulate matter
plan (or, in the absence of such a limit, with an aerodynamic diameter less
the actual emission rate) shall be used, than or equal to a nominal 10 microm-
or (ii) the actual presence of a local eters as measured by a reference meth-
nuisance caused by the existing stack, od based on appendix J of part 50 of
as determined by the authority admin- this chapter and designated in accord-
istering the State implementation ance with part 53 of this chapter or by
plan; and an equivalent method designated in ac-
cordance with part 53 of this chapter.
(3) For sources seeking credit after
(rr) PM10 emissions means finely di-
January 12, 1979 for a stack height de- vided solid or liquid material, with an
termined under § 51.100(ii)(2) where the aerodynamic diameter less than or
authority administering the State im- equal to a nominal 10 micrometers
plementation plan requires the use of a emitted to the ambient air as measured
field study or fluid model to verify by an applicable reference method, or
GEP stack height, for sources seeking an equivalent or alternative method,
stack height credit after November 9, specified in this chapter or by a test
1984 based on the aerodynamic influ- method specified in an approved State
ence of cooling towers, and for sources implementation plan.
seeking stack height credit after De- (ss) Total suspended particulate means
cember 31, 1970 based on the aero- particulate matter as measured by the
dynamic influence of structures not method described in appendix B of part
adequately represented by the equa- 50 of this chapter.
tions in § 51.100(ii)(2), a maximum
ground-level concentration due in [51 FR 40661, Nov. 7, 1986]
whole or part to downwash, wakes or EDITORIAL NOTE: For FEDERAL REGISTER ci-
eddy effects that is at least 40 percent tations affecting § 51.100, see the List of CFR
in excess of the maximum concentra- Sections Affected, which appears in the
Finding Aids section of the printed volume
tion experienced in the absence of such
and at www.govinfo.gov.
downwash, wakes, or eddy effects.
(ll)–(mm) [Reserved] § 51.101 Stipulations.
(nn) Intermittent control system Nothing in this part will be con-
(ICS) means a dispersion technique strued in any manner:
which varies the rate at which pollut- (a) To encourage a State to prepare,
ants are emitted to the atmosphere ac- adopt, or submit a plan which does not
cording to meteorological conditions provide for the protection and enhance-
and/or ambient concentrations of the ment of air quality so as to promote
pollutant, in order to prevent ground- the public health and welfare and pro-
level concentrations in excess of appli- ductive capacity.
cable ambient air quality standards. (b) To encourage a State to adopt
Such a dispersion technique is an ICS any particular control strategy with-
whether used alone, used with other out taking into consideration the cost-
dispersion techniques, or used as a sup- effectiveness of such control strategy
plement to continuous emission con- in relation to that of alternative con-
trols (i.e., used as a supplemental control strategies.
trol system). (c) To preclude a State from employ-
(oo) Particulate matter means any air- ing techniques other than those speci-
borne finely divided solid or liquid ma- fied in this part for purposes of esti-
terial with an aerodynamic diameter mating air quality or demonstrating
smaller than 100 micrometers. the adequacy of a control strategy,
185
§ 51.102 40 CFR Ch. I (7–1–21 Edition)
provided that such other techniques tice announcing the 30 day notification
are shown to be adequate and appro- period clearly states: If no request for a
priate for such purposes. public hearing is received the hearing will
(d) To encourage a State to prepare, be cancelled; identifies the method and
adopt, or submit a plan without taking time for announcing that the hearing has
into consideration the social and eco- been cancelled; and provides a contact
nomic impact of the control strategy phone number for the public to call to
set forth in such plan, including, but find out if the hearing has been cancelled.
not limited to, impact on availability These requirements apply for adoption
of fuels, energy, transportation, and and submission to EPA of:
employment. (1) Any plan or revision of it required
(e) To preclude a State from pre-
by § 51.104(a).
paring, adopting, or submitting a plan
which provides for attainment and (2) Any individual compliance sched-
maintenance of a national standard ule under (§ 51.260).
through the application of a control (3) Any revision under § 51.104(d).
strategy not specifically identified or (b) Separate hearings may be held for
described in this part. plans to implement primary and sec-
(f) To preclude a State or political ondary standards.
subdivision thereof from adopting or (c) No hearing will be required for
enforcing any emission limitations or any change to an increment of progress
other measures or combinations therein an approved individual compliance
of to attain and maintain air quality schedule unless such change is likely
better than that required by a national to cause the source to be unable to
standard. comply with the final compliance date
(g) To encourage a State to adopt a in the schedule. The requirements of
control strategy uniformly applicable §§ 51.104 and 51.105 will be applicable to
throughout a region unless there is no such schedules, however.
satisfactory alternative way of pro- (d) Any hearing required by para-
viding for attainment and maintenance graph (a) of this section will be held
of a national standard throughout such only after reasonable notice, which will
region.
be considered to include, at least 30
[61 FR 30163, June 14, 1996] days prior to the date of such hear-
ing(s):
§ 51.102 Public hearings. (1) Notice given to the public by
(a) Except as otherwise provided in prominent advertisement in the area
paragraph (c) of this section and within affected announcing the date(s),
the 30 day notification period as re- time(s), and place(s) of such hearing(s);
quired by paragraph (d) of this section, (2) Availability of each proposed plan
States must provide notice, provide the or revision for public inspection in at
opportunity to submit written com- least one location in each region to
ments and allow the public the oppor- which it will apply, and the avail-
tunity to request a public hearing. The ability of each compliance schedule for
State must hold a public hearing or
public inspection in at least one loca-
provide the public the opportunity to
tion in the region in which the affected
request a public hearing. The notice
source is located;
announcing the 30 day notification pe-
riod must include the date, place and (3) Notification to the Administrator
time of the public hearing. If the State (through the appropriate Regional Of-
provides the public the opportunity to fice);
request a public hearing and a request (4) Notification to each local air pol-
is received the State must hold the lution control agency which will be sig-
scheduled hearing or schedule a public nificantly impacted by such plan,
hearing (as required by paragraph (d) of schedule or revision;
this section). The State may cancel the (5) In the case of an interstate region,
public hearing through a method it notification to any other States in-
identifies if no request for a public cluded, in whole or in part, in the re-
hearing is received during the 30 day gions which are significantly impacted
notification period and the original no- by such plan or schedule or revision.
186
(e) The State must prepare and re- (b) Upon request by a State, the Ad-
tain, for inspection by the Adminis- ministrator will work with the State
trator upon request, a record of each to provide preliminary review of a plan
hearing. The record must contain, as a or portion thereof submitted in ad-
minimum, a list of witnesses together vance of the date such plan is due.
with the text of each presentation. Such requests must be made to the ap-
(f) The State must submit with the propriate Regional Office, and must in-
plan, revision, or schedule, a certifi- dicate changes (such as redline/
cation that the requirements in para- strikethrough) to the existing approved
graph (a) and (d) of this section were plan where applicable, and be sub-
met. Such certification will include the mitted using a format agreed upon by
date and place of any public hearing(s) the State and Regional Office. Re-
held or that no public hearing was re-
quests for preliminary review do not
quested during the 30 day notification
relieve a State of the responsibility of
period.
adopting and submitting plans in ac-
(g) Upon written application by a
cordance with prescribed due dates.
State agency (through the appropriate
Regional Office), the Administrator (c) In addition to conforming to the
may approve State procedures for pub- requirements of appendix V to this part
lic hearings. The following criteria for complete SIP submissions, the EPA
apply: requests that the state consult with
(1) Procedures approved under this the appropriate Regional Office regard-
section shall be deemed to satisfy the ing any additional guidance for submit-
requirement of this part regarding pub- ting a plan to EPA.
lic hearings. [80 FR 7340, Feb. 10, 2015]
(2) Procedures different from this
part may be approved if they— § 51.104 Revisions.
(i) Ensure public participation in
(a) States may revise the plan from
matters for which hearings are re-
time to time consistent with the re-
quired; and
quirements applicable to implementa-
(ii) Provide adequate public notifica-
tion plans under this part.
tion of the opportunity to participate.
(b) The States must submit any revi-
(3) The Administrator may impose
any conditions on approval he or she sion of any regulation or any compli-
deems necessary. ance schedule under paragraph (c) of
this section to the Administrator no
[36 FR 22938, Nov. 25, 1971, as amended at 65 later than 60 days after its adoption.
FR 8657, Feb. 22, 2000; 72 FR 38792, July 16, (c) EPA will approve revisions only
2007]
after applicable hearing requirements
§ 51.103 Submission of plans, prelimi- of § 51.102 have been satisfied.
nary review of plans. (d) In order for a variance to be con-
sidered for approval as a revision to the
(a) The State makes an official plan
submission to EPA only when the sub- State implementation plan, the State
mission conforms to the requirements must submit it in accordance with the
of appendix V to this part and the requirements of this section.
State delivers the submission to EPA [51 FR 40661, Nov. 7, 1986, as amended at 61
through one of the three following FR 16060, Apr. 11, 1996]
methods: An electronic submission
through EPA’s eSIP submission sys- § 51.105 Approval of plans.
tem; one paper submission to the ap- Revisions of a plan, or any portion
propriate Regional Office with an exact
thereof, will not be considered part of
duplicate electronic version, preferably
an applicable plan until such revisions
in a word searchable format; or three
paper submissions. Any State submis- have been approved by the Adminis-
sion under this part, whether through trator in accordance with this part.
the eSIP submission system or in paper [51 FR 40661, Nov. 7, 1986, as amended at 60
copy form, will serve as the official FR 33922, June 29, 1995]
submission.
187
§ 51.110 40 CFR Ch. I (7–1–21 Edition)
Subpart G—Control Strategy may be made on a case-by-case basis

or, where appropriate, on a generic
SOURCE: 51 FR 40665, Nov. 7, 1986, unless basis for a specific State program.
otherwise noted. Written approval of the Administrator
must be obtained for any modification
§ 51.110 Attainment and maintenance or substitution. In addition, use of a
of national standards. modified or substituted model must be
(a) Each plan providing for the at- subject to notice and opportunity for
tainment of a primary or secondary public comment under procedures set
standard must specify the projected at- forth in § 51.102.
tainment date. (b) The demonstration must include
(b)–(f) [Reserved] the following:
(g) During developing of the plan, (1) A summary of the computations,
EPA encourages States to identify al- assumptions, and judgments used to
ternative control strategies, as well as determine the degree of reduction of
the costs and benefits of each such al- emissions (or reductions in the growth
ternative for attainment or mainte- of emissions) that will result from the
nance of the national standard. implementation of the control strat-
[51 FR 40661 Nov. 7, 1986, as amended at 61 FR egy.
16060, Apr. 11, 1996; 61 FR 30163, June 14, 1996] (2) A presentation of emission levels
expected to result from implementa-
§ 51.111 Description of control meas- tion of each measure of the control
ures.
strategy.
Each plan must set forth a control (3) A presentation of the air quality
strategy which includes the following: levels expected to result from imple-
(a) A description of enforcement mentation of the overall control strat-
methods including, but not limited to: egy presented either in tabular form or
(1) Procedures for monitoring compli- as an isopleth map showing expected
ance with each of the selected control maximum pollutant concentrations.
measures,
(4) A description of the dispersion
(2) Procedures for handling viola-
models used to project air quality and
tions, and
to evaluate control strategies.
(3) A designation of agency responsi-
bility for enforcement of implementa- (5) For interstate regions, the anal-
tion. ysis from each constituent State must,
(b) [Reserved] where practicable, be based upon the
same regional emission inventory and
[51 FR 40665, Nov. 7, 1986, as amended at 60 air quality baseline.
FR 33922, June 29, 1995]
§ 51.112 Demonstration of adequacy. FR 38821, July 20, 1993; 60 FR 40468, Aug. 9,
(a) Each plan must demonstrate that 1995; 61 FR 41840, Aug. 12, 1996]
the measures, rules, and regulations
§ 51.113 [Reserved]
contained in it are adequate to provide
for the timely attainment and mainte- § 51.114 Emissions data and projec-
nance of the national standard that it tions.
implements.
(1) The adequacy of a control strat- (a) Except for lead, each plan must
egy shall be demonstrated by means of contain a detailed inventory of emis-
applicable air quality models, data sions from point and area sources. Lead
bases, and other requirements specified requirements are specified in § 51.117.
in appendix W of this part (Guideline The inventory must be based upon
on Air Quality Models). measured emissions or, where meas-
(2) Where an air quality model speci- ured emissions are not available, docu-
fied in appendix W of this part (Guide- mented emission factors.
line on Air Quality Models) is inappro- (b) Each plan must contain a sum-
priate, the model may be modified or mary of emission levels projected to re-
another model substituted. Such a sult from application of the new con-
modification or substitution of a model trol strategy.
188
(c) Each plan must identify the sented in such a manner as to show the
sources of the data used in the projec- relationship between measured or esti-
tion of emissions. mated amounts of emissions and the
amounts of such emissions allowable
§ 51.115 Air quality data and projec- under the applicable emission limita-
tions. tions or other measures.
(a) Each plan must contain a sum-
mary of data showing existing air qual- § 51.117 Additional provisions for lead.
ity. In addition to other requirements in
(b) Each plan must: §§ 51.100 through 51.116 the following re-
(1) Contain a summary of air quality quirements apply to lead. To the ex-
concentrations expected to result from tent they conflict, there requirements
application of the control strategy, and are controlling over those of the pro-
(2) Identify and describe the disper- ceeding sections.
sion model, other air quality model, or (a) Control strategy demonstration.
receptor model used. Each plan must contain a demonstra-
(c) Actual measurements of air qual- tion showing that the plan will attain
ity must be used where available if and maintain the standard in the fol-
made by methods specified in appendix lowing areas:
C to part 58 of this chapter. Estimated (1) Areas in the vicinity of the fol-
air quality using appropriate modeling lowing point sources of lead: Primary
techniques may be used to supplement lead smelters, Secondary lead smelters,
measurements. Primary copper smelters, Lead gaso-
(d) For purposes of developing a con- line additive plants, Lead-acid storage
trol strategy, background concentra- battery manufacturing plants that
tion shall be taken into consideration produce 2,000 or more batteries per day.
with respect to particulate matter. As Any other stationary source that actu-
used in this subpart, background con- ally emits 25 or more tons per year of
centration is that portion of the meas- lead or lead compounds measured as
ured ambient levels that cannot be re- elemental lead.
duced by controlling emissions from (2) Any other area that has lead air
man-made sources. concentrations in excess of the na-
(e) In developing an ozone control tional ambient air quality standard
strategy for a particular area, back- concentration for lead, measured since
ground ozone concentrations and ozone January 1, 1974.
transported into an area must be con- (b) Time period for demonstration of
sidered. States may assume that the adequacy. The demonstration of ade-
ozone standard will be attained in quacy of the control strategy required
upwind areas. under § 51.112 may cover a longer period
if allowed by the appropriate EPA Re-
§ 51.116 Data availability. gional Administrator.
(a) The State must retain all detailed (c) Special modeling provisions. (1) For
data and calculations used in the prep- urbanized areas with measured lead
aration of each plan or each plan revi- concentrations in excess of 4.0 μg/m3,
sion, and make them available for pub- quarterly mean measured since Janu-
lic inspection and submit them to the ary 1, 1974, the plan must employ the
Administrator at his request. modified rollback model for the dem-
(b) The detailed data and calcula- onstration of attainment as a min-
tions used in the preparation of plan imum, but may use an atmospheric dis-
revisions are not considered a part of persion model if desired, consistent
the plan. with requirements contained in
(c) Each plan must provide for public § 51.112(a). If a proportional model is
availability of emission data reported used, the air quality data should be the
by source owners or operators or other- same year as the emissions inventory
wise obtained by a State or local agen- required under the paragraph e.
cy. Such emission data must be cor- (2) For each point source listed in
related with applicable emission limi- § 51.117(a), that plan must employ an
tations or other measures. As used in atmospheric dispersion model for dem-
this paragraph, correlated means pre- onstration of attainment, consistent
189
§ 51.118 40 CFR Ch. I (7–1–21 Edition)
with requirements contained in (HATREMS) point source coding forms

§ 51.112(a). for all point sources and the area
(3) For each area in the vicinity of an source coding forms for all sources that
air quality monitor that has recorded are not point sources, but need not nec-
lead concentrations in excess of the essarily be in the format of those
lead national standard concentration, forms.
the plan must employ the modified [41 FR 18388, May 3, 1976, as amended at 58
rollback model as a minimum, but may FR 38822, July 20, 1993; 73 FR 67057, Nov. 12,
use an atmospheric dispersion model if 2008]
desired for the demonstration of at-
tainment, consistent with require- § 51.118 Stack height provisions.
ments contained in § 51.112(a). (a) The plan must provide that the
(d) Air quality data and projections. (1) degree of emission limitation required
Each State must submit to the appro- of any source for control of any air pol-
priate EPA Regional Office with the lutant must not be affected by so much
plan, but not part of the plan, all lead of any source’s stack height that ex-
air quality data measured since Janu- ceeds good engineering practice or by
ary 1, 1974. This requirement does not any other dispersion technique, except
apply if the data has already been sub- as provided in § 51.118(b). The plan must
mitted. provide that before a State submits to
(2) The data must be submitted in ac- EPA a new or revised emission limita-
cordance with the procedures and data tion that is based on a good engineer-
forms specified in Chapter 3.4.0 of the ing practice stack height that exceeds
‘‘AEROS User’s Manual’’ concerning the height allowed by § 51.100(ii) (1) or
storage and retrieval of aerometric (2), the State must notify the public of
data (SAROAD) except where the Re- the availabilty of the demonstration
gional Administrator waives this re- study and must provide opportunity for
quirement. a public hearing on it. This section
(3) If additional lead air quality data does not require the plan to restrict, in
are desired to determine lead air con- any manner, the actual stack height of
centrations in areas suspected of ex- any source.
ceeding the lead national ambient air (b) The provisions of § 51.118(a) shall
quality standard, the plan may include not apply to (1) stack heights in exist-
data from any previously collected fil- ence, or dispersion techniques imple-
ters from particulate matter high vol- mented on or before December 31, 1970,
ume samplers. In determining the lead except where pollutants are being
content of the filters for control strat- emitted from such stacks or using such
egy demonstration purposes, a State dispersion techniques by sources, as de-
may use, in addition to the reference fined in section 111(a)(3) of the Clean
method, X-ray fluorescence or any Air Act, which were constructed, or re-
other method approved by the Regional constructed, or for which major modi-
Administrator. fications, as defined in
(e) Emissions data. (1) The point §§ 51.165(a)(1)(v)(A), 51.166(b)(2)(i) and
source inventory on which the sum- 52.21(b)(2)(i), were carried out after De-
mary of the baseline for lead emissions cember 31, 1970; or (2) coal-fired steam
inventory is based must contain all electric generating units subject to the
sources that emit 0.5 or more tons of provisions of section 118 of the Clean
lead per year. Air Act, which commenced operation
(2) Each State must submit lead before July 1, 1957, and whose stacks
emissions data to the appropriate EPA were construced under a construction
Regional Office with the original plan. contract awarded before February 8,
The submission must be made with the 1974.
plan, but not as part of the plan, and
must include emissions data and infor- § 51.119 Intermittent control systems.
mation related to point and area (a) The use of an intermittent con-
source emissions. The emission data trol system (ICS) may be taken into
and information should include the in- account in establishing an emission
formation identified in the Hazardous limitation for a pollutant under a
and Trace Emissions System State implementation plan, provided:
190
(1) The ICS was implemented before to the data from the monitors and in-
December 31, 1970, according to the cri- strumentation.
teria specified in § 51.119(b). (ii) Requirements which specify the
(2) The extent to which the ICS is circumstances under which, the extent
taken into account is limited to reflect to which, and the procedures through
emission levels and associated ambient which, emissions shall be curtailed
pollutant concentrations that would through the activation of ICS.
result if the ICS was the same as it was (iii) Requirements for recordkeeping
before December 31, 1970, and was oper- which require the owner or operator of
ated as specified by the operating sys- the source to keep, for periods of at
tem of the ICS before December 31, least 3 years, records of measured am-
1970. bient air quality data, meteorological
(3) The plan allows the ICS to com- information acquired, and production
pensate only for emissions from a data relating to those processes af-
source for which the ICS was imple- fected by the ICS.
mented before December 31, 1970, and, (iv) Requirements for reporting
in the event the source has been modi- which require the owner or operator of
fied, only to the extent the emissions the source to notify the State and EPA
correspond to the maximum capacity within 30 days of a NAAQS violation
of the source before December 31, 1970. pertaining to the pollutant affected by
For purposes of this paragraph, a the ICS.
source for which the ICS was imple- (7) Nothing in this paragraph affects
mented is any particular structure or the applicability of any new source re-
equipment the emissions from which view requirements or new source per-
were subject to the ICS operating pro- formance standards contained in the
cedures. Clean Air Act or 40 CFR subchapter C.
(4) The plan requires the continued Nothing in this paragraph precludes a
operation of any constant pollution State from taking an ICS into account
control system which was in use before in establishing emission limitations to
December 31, 1970, or the equivalent of any extent less than permitted by this
that system. paragraph.
(5) The plan clearly defines the emis- (b) An intermittent control system
sion limits affected by the ICS and the (ICS) may be considered implemented
manner in which the ICS is taken into for a pollutant before December 31,
account in establishing those limits. 1970, if the following criteria are met:
(6) The plan contains requirements (1) The ICS must have been estab-
for the operation and maintenance of lished and operational with respect to
the qualifying ICS which, together that pollutant prior to December 31,
with the emission limitations and any 1970, and reductions in emissions of
other necessary requirements, will as- that pollutant must have occurred
sure that the national ambient air when warranted by meteorological and
quality standards and any applicable ambient monitoring data.
prevention of significant deterioration (2) The ICS must have been designed
increments will be attained and main- and operated to meet an air quality ob-
tained. These requirements shall in- jective for that pollutant such as an air
clude, but not necessarily be limited quality level or standard.
to, the following: (3) The ICS must, at a minimum,
(i) Requirements that a source owner have included the following compo-
or operator continuously operate and nents prior to December 31, 1970:
maintain the components of the ICS (i) Air quality monitors. An array of
specified at § 51.119(b)(3) (ii)–(iv) in a sampling stations whose location and
manner which assures that the ICS is type were consistent with the air qual-
at least as effective as it was before De- ity objective and operation of the sys-
cember 31, 1970. The air quality mon- tem.
itors and meteorological instrumenta- (ii) Meteorological instrumentation. A
tion specified at § 51.119(b) may be oper- meteorological data acquisition net-
ated by a local authority or other enti- work (may be limited to a single sta-
ty provided the source has ready access tion) which provided meteorological
191
§ 51.120 40 CFR Ch. I (7–1–21 Edition)
prediction capabilities sufficient to de- achieved by the Ozone Transport Com-

termine the need for, and degree of, mission low emission vehicle (OTC
emission curtailments necessary to LEV) program described in paragraph
achieve the air quality design objec- (c) of this section. This inadequacy will
tive. be deemed cured for each of the afore-
(iii) Operating system. A system of es- mentioned States (including the Dis-
tablished procedures for determining trict of Columbia) in the event that
the need for curtailments and for ac- EPA determines through rulemaking
complishing such curtailments. Docu- that a national LEV-equivalent new
mentation of this system, as required motor vehicle emission control pro-
by paragraph (n)(4), may consist of a gram is an acceptable alternative for
compendium of memoranda or com- OTC LEV and finds that such program
parable material which define the cri- is in effect. In the event no such find-
teria and procedures for curtailments ing is made, each of those States must
and which identify the type and num- adopt and submit to EPA by February
ber of personnel authorized to initiate
15, 1996 a SIP revision meeting the re-
curtailments.
quirements of paragraph (b) of this sec-
(iv) Meteorologist. A person, schooled
tion in order to cure the SIP inad-
in meteorology, capable of interpreting
data obtained from the meteorological equacy.
network and qualified to forecast me- (b) If a SIP revision is required under
teorological incidents and their effect paragraph (a) of this section, it must
on ambient air quality. Sources may contain the OTC LEV program de-
have obtained meteorological services scribed in paragraph (c) of this section
through a consultant. Services of such unless the State adopts and submits to
a consultant could include sufficient EPA, as a SIP revision, other emission-
training of source personnel for certain reduction measures sufficient to meet
operational procedures, but not for de- the requirements of paragraph (d) of
sign, of the ICS. this section. If a State adopts and sub-
(4) Documentation sufficient to sup- mits to EPA, as a SIP revision, other
port the claim that the ICS met the emission-reduction measures pursuant
criteria listed in this paragraph must to paragraph (d) of this section, then
be provided. Such documentation may for purposes of determining whether
include affidavits or other documenta- such a SIP revision is complete within
tion. the meaning of section 110(k)(1) (and
hence is eligible at least for consider-
§ 51.120 Requirements for State Imple- ation to be approved as satisfying para-
mentation Plan revisions relating to
new motor vehicles. graph (d) of this section), such a SIP
revision must contain other adopted
(a) The EPA Administrator finds that emission-reduction measures that, to-
the State Implementation Plans (SIPs) gether with the identified potentially
for the States of Connecticut, Dela- broadly practicable measures, achieve
ware, Maine, Maryland, Massachusetts, at least the minimum level of emission
New Hampshire, New Jersey, New
reductions that could potentially sat-
York, Pennsylvania, Rhode Island, and
isfy the requirements of paragraph (d)
Vermont, the portion of Virginia in-
of this section. All such measures must
cluded (as of November 15, 1990) within
the Consolidated Metropolitan Statis- be fully adopted and enforceable.
tical Area that includes the District of (c) The OTC LEV program is a pro-
Columbia, are substantially inadequate gram adopted pursuant to section 177
to comply with the requirements of of the Clean Air Act.
section 110(a)(2)(D) of the Clean Air (1) The OTC LEV program shall con-
Act, 42 U.S.C. 7410(a)(2)(D), and to miti- tain the following elements:
gate adequately the interstate pollut- (i) It shall apply to all new 1999 and
ant transport described in section 184 later model year passenger cars and
of the Clean Air Act, 42 U.S.C. 7511C, to light-duty trucks (0–5750 pounds loaded
the extent that they do not provide for vehicle weight), as defined in Title 13,
emission reductions from new motor California Code of Regulations, section
vehicles in the amount that would be 1900(b)(11) and (b)(8), respectively, that
192
are sold, imported, delivered, pur- years immediately preceding model

chased, leased, rented, acquired, re- year 1999, in a manner consistent with
ceived, or registered in any area of the California banking and discounting
State that is in the Northeast Ozone procedures.
Transport Region as of December 19, (vi) The provisions for small volume
1994. manufacturers and intermediate vol-
(ii) All vehicles to which the OTC ume manufacturers, as applied by Title
LEV program is applicable shall be re- 13, California Code of Regulations to
quired to have a certificate from the California’s LEV program, shall apply.
California Air Resources Board (CARB) Those manufacturers defined as small
affirming compliance with California volume manufacturers and inter-
standards. mediate volume manufacturers in Cali-
(iii) All vehicles to which this LEV fornia under California’s regulations
program is applicable shall be required shall be considered small volume man-
to meet the mass emission standards ufacturers and intermediate volume
for Non-Methane Organic Gases manufacturers under this program.
(NMOG), Carbon Monoxide (CO), Oxides (vii) The provisions for hybrid elec-
of Nitrogen (NOX), Formaldehyde tric vehicles (HEVs), as defined in Title
(HCHO), and particulate matter (PM) 13 California Code of Regulations, sec-
as specified in Title 13, California Code tion 1960.1, shall apply for purposes of
of Regulations, section 1960.1(f)(2) (and calculating fleet average NMOG values.
formaldehyde standards under section
(viii) The provisions for fuel-flexible
1960.1(e)(2), as applicable) or as speci-
vehicles and dual-fuel vehicles speci-
fied by California for certification as a
fied in Title 13, California Code of Reg-
TLEV (Transitional Low-Emission Ve-
ulations, section 1960.1(g)(1) footnote 4
hicle), LEV (Low-Emission Vehicle),
shall apply.
ULEV (Ultra-Low-Emission Vehicle),
(ix) The provisions for reactivity ad-
or ZEV (Zero-Emission Vehicle) under
justment factors, as defined by Title 13,
section 1960.1(g)(1) (and section
California Code of Regulations, shall
1960.1(e)(3), for formaldehyde standards,
apply.
as applicable).
(iv) All manufacturers of vehicles (x) The aforementioned State OTC
subject to the OTC LEV program shall LEV standards shall be identical to the
be required to meet the fleet average aforementioned California standards as
NMOG exhaust emission values for pro- such standards exist on December 19,
duction and delivery for sale of their 1994.
passenger cars, light-duty trucks 0–3750 (xi) All States’ OTC LEV programs
pounds loaded vehicle weight, and must contain any other provisions of
light-duty trucks 3751–5750 pounds California’s LEV program specified in
loaded vehicle weight specified in Title Title 13, California Code of Regulations
13, California Code of Regulations, sec- necessary to comply with section 177 of
tion 1960.1(g)(2) for each model year be- the Clean Air Act.
ginning in 1999. A State may determine (2) States are not required to include
not to implement the NMOG fleet aver- the mandate for production of ZEVs
age in the first model year of the pro- specified in Title 13, California Code of
gram if the State begins implementa- Regulations, section 1960.1(g)(2) foot-
tion of the program late in a calendar note 9.
year. However, all States must imple- (3) Except as specified elsewhere in
ment the NMOG fleet average in any this section, States may implement the
full model years of the LEV program. OTC LEV program in any manner con-
(v) All manufacturers shall be al- sistent with the Act that does not de-
lowed to average, bank and trade cred- crease the emissions reductions or
its in the same manner as allowed jeopardize the effectiveness of the pro-
under the program specified in Title 13, gram.
California Code of Regulations, section (d) The SIP revision that paragraph
1960.1(g)(2) footnote 7 for each model (b) of this section describes as an alter-
year beginning in 1999. States may ac- native to the OTC LEV program de-
count for credits banked by manufac- scribed in paragraph (c) of this section
turers in California or New York in must contain a set of State-adopted
193
§ 51.121 40 CFR Ch. I (7–1–21 Edition)
measures that provides at least the fol- tially inadequate to comply with the
lowing amount of emission reductions requirements of section
in time to bring serious ozone non- 110(a)(2)(D)(i)(I) of the Clean Air Act
attainment areas into attainment by (CAA), 42 U.S.C. 7410(a)(2)(D)(i)(I), be-
their 1999 attainment date: cause the SIP does not include ade-
(1) Reductions at least equal to the quate provisions to prohibit sources
difference between: and other activities from emitting ni-
(i) The nitrogen oxides (NOX) emis- trogen oxides (‘‘NOX’’) in amounts that
sion reductions from the 1990 statewide will contribute significantly to non-
emissions inventory achievable attainment in one or more other States
through implementation of all of the with respect to the 1-hour ozone na-
Clean Air Act-mandated and poten- tional ambient air quality standards
tially broadly practicable control
(NAAQS). Each of the jurisdictions
measures throughout all portions of
listed in paragraph (c) of this section
the State that are within the North-
must submit to EPA a SIP revision
east Ozone Transport Region created
under section 184(a) of the Clean Air that cures the inadequacy.
Act as of December 19, 1994; and (2) [Reserved]
(ii) A reduction in NOX emissions (3) As used in this section, these
from the 1990 statewide inventory in terms shall have the following mean-
such portions of the State of 50% or ings:
whatever greater reduction is nec- Nitrogen oxides or NOX means all ox-
essary to prevent significant contribu- ides of nitrogen except nitrous oxide
tion to nonattainment in, or inter- (N2O), reported on an equivalent molec-
ference with maintenance by, any ular weight basis as nitrogen dioxide
downwind State. (NO2).
(2) Reductions at least equal to the Ozone season means the period from
difference between: May 1 to September 30 of a year.
(i) The VOC emission reductions from Phase I SIP submission means a SIP
the 1990 statewide emissions inventory revision submitted by a State on or be-
achievable through implementation of fore October 30, 2000 in compliance with
all of the Clean Air Act-mandated and paragraph (b)(1)(ii) of this section to
potentially broadly practicable control limit projected NOX emissions during
measures in all portions of the State the ozone season from sources in the
in, or near and upwind of, any of the se- relevant portion or all of the State, as
rious or severe ozone nonattainment
applicable, to no more than the State’s
areas lying in the series of such areas
Phase I NOX ozone season budget under
running northeast from the Wash-
paragraph (e) of this section.
ington, DC, ozone nonattainment area
to and including the Portsmouth, New Phase II SIP submission means a SIP
Hampshire ozone nonattainment area; revision submitted by a State in com-
and pliance with paragraph (b)(1)(ii) of this
(ii) A reduction in VOC emissions section to limit projected NOX emis-
from the 1990 emissions inventory in sions during the ozone season from
all such areas of 50% or whatever sources in the relevant portion or all of
greater reduction is necessary to pre- the State, as applicable, to no more
vent significant contribution to non- than the State’s final NOX ozone season
attainment in, or interference with budget under paragraph (e) of this sec-
maintenance by, any downwind State. tion.
(b)(1) For each jurisdiction listed in
[60 FR 4736, Jan. 24, 1995]
paragraph (c) of this section, each SIP
§ 51.121 Findings and requirements for revision required under paragraph (a)
submission of State implementation of this section will contain adequate
plan revisions relating to emissions provisions, for purposes of complying
of nitrogen oxides. with section 110(a)(2)(D)(i)(I) of the
(a)(1) The Administrator finds that CAA, 42 U.S.C. 7410(a)(2)(D)(i)(I), only if
the State implementation plan (SIP) the SIP revision:
for each jurisdiction listed in para- (i) Contains control measures ade-
graph (c) of this section is substan- quate to prohibit emissions of NOX that
194
would otherwise be projected, in ac- (2)(i) The State-by-State amounts of

cordance with paragraph (g) of this sec- the Phase I and final NOX ozone season
tion, to cause the jurisdiction’s overall budgets, expressed in tons, are listed in
NOX emissions during the ozone season Table 1 to this paragraph (e)(2)(i):
to be in excess of the applicable NOX
ozone season budget for that jurisdic- TABLE 1 TO PARAGRAPH (e)(2)(i)—STATE NOX
tion described in paragraph (e) of this OZONE SEASON BUDGETS
section; Phase I NOX Final NOX ozone
(ii) Requires full implementation of State ozone season season budget
budget (2007 and there-
all such control measures by no later (2004–2006) after)
than May 31, 2004 for the sources cov-
ered by a Phase I SIP submission and Alabama ................ 124,795 119,827
Connecticut ............ 42,891 42,850
May 1, 2007 for the sources covered by Delaware ............... 23,522 22,862
a Phase II SIP submission; and District of Columbia 6,658 6,657
(iii) Meets the other requirements of Illinois ..................... 278,146 271,091
Indiana ................... 234,625 230,381
this section. The SIP revision’s compli- Kentucky ................ 165,075 162,519
ance with the requirement of para- Maryland ................ 82,727 81,947
graph (b)(1)(i) of this section shall be Massachusetts ....... 85,871 84,848
Michigan ................ 191,941 190,908
considered compliance with the juris- Missouri ................. .............................. 61,406
diction’s NOX ozone season budget for New Jersey ............ 95,882 96,876
purposes of this section. New York ............... 241,981 240,322
(2) [Reserved] North Carolina ....... 171,332 165,306
Ohio ....................... 252,282 249,541
(c) The following jurisdictions (here- Pennsylvania ......... 268,158 257,928
inafter referred to as ‘‘States’’) are Rhode Island ......... 9,570 9,378
subject to the requirement of this sec- South Carolina ....... 127,756 123,496
Tennessee ............. 201,163 198,286
tion: Virginia ................... 186,689 180,521
(1) Connecticut, Delaware, Illinois, West Virginia ......... 85,045 83,921
Indiana, Kentucky, Maryland, Massa-
chusetts, New Jersey, New York, North (ii) (A) For purposes of paragraph
Carolina, Ohio, Pennsylvania, Rhode (e)(2)(i) of this section, in the case of
Island, South Carolina, Tennessee, Vir- each State listed in paragraphs
ginia, West Virginia, and the District (e)(2)(ii)(B) through (E) of this section,
of Columbia. the NOX ozone season budget is defined
(2) The portions of Alabama, Michi- as the total amount of NOX emissions
gan, and Missouri within the fine grid from all sources in the specified coun-
of the OTAG modeling domain. The ties in that State, as indicated in para-
fine grid is the area encompassed by a graph (e)(2)(i) of this section with re-
box with the following geographic co- spect to the State, which the State
ordinates: Southwest Corner, 92 de- must demonstrate that it will not ex-
grees West longitude and 32 degrees ceed in the 2007 ozone season pursuant
North latitude; and Northeast Corner, to paragraph (g)(1) of this section.
69.5 degrees West longitude and 44 de- (B) In the case of Alabama, the coun-
grees North latitude. ties are: Autauga, Bibb, Blount, Cal-
(d)(1) [Reserved] houn, Chambers, Cherokee, Chilton,
(2) Each SIP submission under this Clay, Cleburne, Colbert, Coosa,
section must comply with § 51.103 (re- Cullman, Dallas, DeKalb, Elmore,
garding submission of plans). Etowah, Fayette, Franklin, Greene,
(e)(1) Except as provided in paragraph Hale, Jackson, Jefferson, Lamar, Lau-
(e)(2)(ii) of this section, the NOX ozone derdale, Lawrence, Lee, Limestone,
season budget for a State listed in Macon, Madison, Marion, Marshall,
paragraph (c) of this section is defined Morgan, Perry, Pickens, Randolph,
as the total amount of NOX emissions Russell, St. Clair, Shelby, Sumter,
from all sources in that State, as indi- Talladega, Tallapoosa, Tuscaloosa,
cated in paragraph (e)(2)(i) of this sec- Walker, and Winston.
tion with respect to that State, which (C) [Reserved]
the State must demonstrate that it (D) In the case of Michigan, the coun-
will not exceed in the 2007 ozone season ties are: Allegan, Barry, Bay, Berrien,
pursuant to paragraph (g)(1) of this sec- Branch, Calhoun, Cass, Clinton, Eaton,
tion. Genesee, Gratiot, Hillsdale, Ingham,
195
§ 51.121 40 CFR Ch. I (7–1–21 Edition)
Ionia, Isabella, Jackson, Kalamazoo, its NOX ozone season budget in the 2007
Kent, Lapeer, Lenawee, Livingston, ozone season; and
Macomb, Mecosta, Midland, Monroe, (ii) Impose enforceable mechanisms,
Montcalm, Muskegon, Newaygo, Oak- in accordance with paragraphs (b)(1)(i)
land, Oceana, Ottawa, Saginaw, St. and (ii) of this section, to assure that
Clair, St. Joseph, Sanilac, Shiawassee, collectively all such sources, including
Tuscola, Van Buren, Washtenaw, and new or modified units, will not exceed
Wayne. in the 2007 ozone season the total NOX
(E) In the case of Missouri, the coun- emissions projected for such sources by
ties are: Bollinger, Butler, Cape the State pursuant to paragraph (g) of
Girardeau, Carter, Clark, Crawford, this section.
Dent, Dunklin, Franklin, Gasconade, (3) For purposes of paragraph (f)(2) of
Iron, Jefferson, Lewis, Lincoln, Madi- this section, the term ‘‘fossil fuel-
son, Marion, Mississippi, Montgomery, fired’’ means, with regard to a NOX
New Madrid, Oregon, Pemiscot, Perry, source:
Pike, Ralls, Reynolds, Ripley, St. (i) The combustion of fossil fuel,
Charles, St. Francois, St. Louis, St. alone or in combination with any other
Louis City, Ste. Genevieve, Scott, fuel, where fossil fuel actually com-
Shannon, Stoddard, Warren, Wash- busted comprises more than 50 percent
ington, and Wayne. of the annual heat input on a Btu basis
(f) Each SIP revision must set forth during any year starting in 1995 or, if a
control measures to meet the NOX NOX source had no heat input starting
ozone season budget in accordance with in 1995, during the last year of oper-
paragraph (b)(1)(i) of this section, ation of the NOX source prior to 1995; or
which include the following: (ii) The combustion of fossil fuel,
(1) A description of enforcement alone or in combination with any other
methods including, but not limited to: fuel, where fossil fuel is projected to
(i) Procedures for monitoring compli- comprise more than 50 percent of the
ance with each of the selected control annual heat input on a Btu basis dur-
measures; ing any year; provided that the NOX
(ii) Procedures for handling viola- source shall be ‘‘fossil fuel-fired’’ as of
tions; and the date, during such year, on which
(iii) A designation of agency respon- the NOX source begins combusting fos-
sibility for enforcement of implemen- sil fuel.
tation. (g)(1) Each SIP revision must dem-
(2) Should a State elect to impose onstrate that the control measures
control measures on fossil fuel-fired contained in it are adequate to provide
NOX sources serving electric generators for the timely compliance with the
with a nameplate capacity greater State’s NOX ozone season budget dur-
than 25 MWe or boilers, combustion ing the 2007 ozone season.
turbines or combined cycle units with (2) The demonstration must include
a maximum design heat input greater the following:
than 250 mmBtu/hr as a means of meet- (i) Each revision must contain a de-
ing its NOX ozone season budget, then tailed baseline inventory of NOX mass
those measures must: emissions during the ozone season from
(i)(A) Impose a NOX mass emissions the following sources in the year 2007,
cap on each source; absent the control measures specified
(B) Impose a NOX emissions rate in the SIP submission: electric gener-
limit on each source and assume max- ating units (EGU), non-electric gener-
imum operating capacity for every ating units (non-EGU), area, nonroad
such source for purposes of estimating and highway sources. The State must
NOX mass emissions; or use the same baseline emissions inven-
(C) Impose any other regulatory re- tory that EPA used in calculating the
quirement which the State has dem- State’s NOX ozone season budget, ex-
onstrated to EPA provides equivalent cept that EPA may direct the State to
or greater assurance than options in use different baseline inventory infor-
paragraph (f)(2)(i)(A) or (B) of this sec- mation if the State fails to certify that
tion that the State will comply with it has implemented all of the control
196
measures assumed in developing the combined cycle units with a maximum

baseline inventory. design heat input greater than 250
(ii) [Reserved] mmBtu/hr, then the revision may re-
(iii) Each revision must contain a quire some or all such sources to com-
summary of NOX mass emissions dur- ply with the full set of monitoring, rec-
ing the ozone season in 2007 projected ordkeeping, and reporting provisions of
to result from implementation of each 40 CFR part 75, subpart H. A State re-
of the control measures specified in the quiring such compliance authorizes the
SIP submission and from all NOX Administrator to assist the State in
sources together following implemen- implementing the revision by carrying
tation of all such control measures, out the functions of the Administrator
compared to the baseline 2007 NOX under such part.
emissions inventory for the State de- (5) For purposes of paragraph (i)(4) of
scribed in paragraph (g)(2)(i) of this this section, the term ‘‘fossil fuel-
section. The State must provide EPA fired’’ has the meaning set forth in
with a summary of the computations, paragraph (f)(3) of this section.
assumptions, and judgments used to (j) Each revision must show that the
determine the degree of reduction in State has legal authority to carry out
projected 2007 NOX emissions that will the revision, including authority to:
be achieved from the implementation
(1) Adopt emissions standards and
of the new control measures compared
limitations and any other measures
to the baseline emissions inventory.
necessary for attainment and mainte-
(iv) Each revision must identify the
nance of the State’s NOX ozone season
sources of the data used in the projec-
budget specified in paragraph (e) of
tion of emissions.
this section;
(h) Each revision must comply with
§ 51.116 (regarding data availability). (2) Enforce applicable laws, regula-
(i) Each revision must provide for tions, and standards, and seek injunc-
monitoring the status of compliance tive relief;
with any control measures adopted to (3) Obtain information necessary to
meet the NOX ozone season budget. determine whether air pollution
Specifically, the revision must meet sources are in compliance with applica-
the following requirements: ble laws, regulations, and standards,
(1) The revision must provide for le- including authority to require record-
gally enforceable procedures for requir- keeping and to make inspections and
ing owners or operators of stationary conduct tests of air pollution sources;
sources to maintain records of and pe- (4) Require owners or operators of
riodically report to the State: stationary sources to install, maintain,
(i) Information on the amount of NOX and use emissions monitoring devices
emissions from the stationary sources; and to make periodic reports to the
and State on the nature and amounts of
(ii) Other information as may be nec- emissions from such stationary
essary to enable the State to determine sources; also authority for the State to
whether the sources are in compliance make such data available to the public
with applicable portions of the control as reported and as correlated with any
measures; applicable emissions standards or limi-
(2) The revision must comply with tations.
§ 51.212 (regarding testing, inspection, (k)(1) The provisions of law or regula-
enforcement, and complaints); tion which the State determines pro-
(3) If the revision contains any trans- vide the authorities required under this
portation control measures, then the section must be specifically identified,
revision must comply with § 51.213 (re- and copies of such laws or regulations
garding transportation control meas- must be submitted with the SIP revi-
ures); sion.
(4) If the revision contains measures (2) Legal authority adequate to fulfill
to control fossil fuel-fired NOX sources the requirements of paragraphs (j)(3)
serving electric generators with a and (4) of this section may be delegated
nameplate capacity greater than 25 to the State under section 114 of the
MWe or boilers, combustion turbines or CAA, 42 U.S.C. 7414.
197
§ 51.122 40 CFR Ch. I (7–1–21 Edition)
(l)(1) A revision may assign legal au- § 51.122 Emissions reporting require-
thority to local agencies in accordance ments for SIP revisions relating to
with § 51.232. budgets for NOX emissions.
(2) Each revision must comply with (a) As used in this section, words and
§ 51.240 (regarding general plan require- terms shall have the meanings set
ments). forth in § 51.50. In addition, the fol-
(m) Each revision must comply with lowing terms shall apply to this sec-
§ 51.280 (regarding resources). tion:
(n) For purposes of the SIP revisions (1) Ozone season emissions means
required by this section, EPA may emissions during the period from May 1
make a finding as applicable under sec- through September 30 of a year.
(2) Summer day emissions means an
tion 179(a)(1)–(4) of the CAA, 42 U.S.C.
average day’s emissions for a typical
7509(a)(1)–(4), starting the sanctions
summer work weekday. The state will
process set forth in section 179(a) of the select the particular month(s) in sum-
CAA. Any such finding will be deemed mer and the day(s) in the work week to
a finding under 40 CFR 52.31(c) and be represented.
sanctions will be imposed in accord- (b) For its transport SIP revision
ance with the order of sanctions and under § 51.121, each state must submit
the terms for such sanctions estab- to EPA NOX emissions data as de-
lished in 40 CFR 52.31. scribed in this section.
(o) Each revision must provide for (c) Each revision must provide for
State compliance with the reporting periodic reporting by the state of NOX
requirements set forth in § 51.122. emissions data to demonstrate whether
(p)–(q) [Reserved] the state’s emissions are consistent
(r)(1) Notwithstanding any provisions with the projections contained in its
of subparts A through I of 40 CFR part approved SIP submission.
96 and any State’s SIP to the contrary, (1) For the every-year reporting
with regard to any ozone season that cycle, each revision must provide for
reporting of NOX emissions data every
occurs after September 30, 2008, the Ad-
year as follows:
ministrator will not carry out any of
(i) The state must report to EPA
the functions set forth for the Adminis- emissions data from all NOX sources
trator in subparts A through I of 40 within the state for which the state
CFR part 96 or in any emissions trad- specified control measures in its SIP
ing program provisions in a State’s SIP submission under § 51.121(g), including
approved under this section. all sources for which the state has
(2) Except as provided in 40 CFR adopted measures that differ from the
52.38(b)(13)(ii), a State whose SIP is ap- measures incorporated into the base-
proved as meeting the requirements of line inventory for the year 2007 that
this section and that includes or in- the state developed in accordance with
cluded an emissions trading program § 51.121(g).The state must also report to
approved under this section must re- EPA ozone season emissions of NOX
vise the SIP to adopt control measures and summer day emissions of NOX from
that satisfy the same portion of the any point, nonpoint, onroad mobile, or
State’s NOX emissions reduction re- nonroad mobile source for which the
quirements under this section as the state specified control measures in its
State projected such emissions trading SIP submission under § 51.121(g).
program would satisfy. (ii) If sources report NOX emissions
data to EPA for a given year pursuant
[63 FR 57491, Oct. 27, 1998, as amended at 63 to the monitoring and reporting re-
FR 71225, Dec. 24, 1998; 64 FR 26305, May 14, quirements of 40 CFR part 75, then the
1999; 65 FR 11230, Mar. 2, 2000; 65 FR 56251, state need not provide an every-year
Sept. 18, 2000; 69 FR 21642, Apr. 21, 2004; 70 FR cycle report to EPA for such sources.
25317, May 12, 2005; 70 FR 51597, Aug. 31, 2005; (2) For the 3-year cycle reporting,
73 FR 21538, Apr. 22, 2008; 76 FR 48353, Aug. 8,
each plan must provide for triennial
2011; 79 FR 71671, Dec. 3, 2014; 84 FR 8442, Mar.
8, 2019; 86 FR 23164, Apr. 30, 2021]
(i.e., every third year) reporting of NOX
emissions data from all sources within
the state. The state must also report to
198
EPA ozone season emissions of NOX section must submit a SIP revision to
and summer day emissions of NOX from comply with the requirements of sec-
all point sources, nonpoint sources, tion 110(a)(2)(D)(i)(I) of the CAA, 42
onroad mobile sources, and nonroad U.S.C. 7410(a)(2)(D)(i)(I), through the
mobile sources. adoption of adequate provisions prohib-
(3) The data availability require- iting sources and other activities from
ments in § 51.116 must be followed for emitting NOX in amounts that will con-
all data submitted to meet the require- tribute significantly to nonattainment
ments of paragraphs (c)(1) and (2) of in, or interfere with maintenance by,
this section. one or more other States with respect
(d) [Reserved] to the 8-hour ozone NAAQS.
(e) Each state must submit for EPA (3) Notwithstanding the other provi-
approval an example of the calculation sions of this section, such provisions
procedure used to calculate ozone sea- are not applicable as they relate to the
son emissions along with sufficient in- State of Minnesota as of December 3,
formation to verify the calculated 2009.
value of ozone season emissions. (b) For each State identified in para-
(f) Data collection is to begin during graph (c) of this section, the SIP revi-
the ozone season 1 year prior to the sion required under paragraph (a) of
state’s NOX SIP Call compliance date. this section will contain adequate pro-
(g) The state shall report emissions visions, for purposes of complying with
as point sources according to the point section 110(a)(2)(D)(i)(I) of the CAA, 42
source emissions thresholds of the Air U.S.C. 7410(a)(2)(D)(i)(I), only if the SIP
Emissions Reporting Rule (AERR), 40 revision contains control measures
CFR part 51, subpart A. The detail of that assure compliance with the appli-
the emissions inventory shall be con- cable requirements of this section.
sistent with the data elements required
(c) In addition to being subject to the
by 40 CFR part 51, subpart A. When
requirements in paragraphs (b) and (d)
submitting a formal NOX Budget Emis-
of this section:
sions Report and associated data,
(1) Alabama, Delaware, Florida, Illi-
states shall notify the appropriate EPA
nois, Indiana, Iowa, Kentucky, Lou-
Regional Office.
isiana, Maryland, Michigan, Mis-
[73 FR 76558, Dec. 17, 2008, as amended at 80 sissippi, Missouri, New Jersey, New
FR 8796, Feb. 19, 2015; 84 FR 8443, Mar. 8, 2019] York, North Carolina, Ohio, Pennsyl-
vania, South Carolina, Tennessee, Vir-
§ 51.123 Findings and requirements for ginia, West Virginia, Wisconsin, and
submission of State implementation
plan revisions relating to emissions the District of Columbia shall be sub-
of oxides of nitrogen pursuant to ject to the requirements contained in
the Clean Air Interstate Rule. paragraphs (e) through (cc) of this sec-
tion;
(a)(1) Under section 110(a)(1) of the
CAA, 42 U.S.C. 7410(a)(1), the Adminis- (2) Georgia, Minnesota, and Texas
trator determines that each State iden- shall be subject to the requirements in
tified in paragraph (c)(1) and (2) of this paragraphs (e) through (o) and (cc) of
section must submit a SIP revision to this section; and
comply with the requirements of sec- (3) Arkansas, Connecticut, and Mas-
tion 110(a)(2)(D)(i)(I) of the CAA, 42 sachusetts shall be subject to the re-
U.S.C. 7410(a)(2)(D)(i)(I), through the quirements contained in paragraphs (q)
adoption of adequate provisions prohib- through (cc) of this section.
iting sources and other activities from (d)(1) The State’s SIP revision under
emitting NOX in amounts that will con- paragraph (a) of this section must be
tribute significantly to nonattainment submitted to EPA by no later than
in, or interfere with maintenance by, September 11, 2006.
one or more other States with respect (2) The requirements of appendix V to
to the fine particles (PM2.5) NAAQS. this part shall apply to the SIP revi-
(2)(a) Under section 110(a)(1) of the sion under paragraph (a) of this sec-
CAA, 42 U.S.C. 7410(a)(1), the Adminis- tion.
trator determines that each State iden- (3) The State shall deliver 5 copies of
tified in paragraph (c)(1) and (3) of this the SIP revision under paragraph (a) of
199
§ 51.123 40 CFR Ch. I (7–1–21 Edition)
this section to the appropriate Re- graph (e)(2) of this section plus the
gional Office, with a letter giving no- amount of the Annual Non-EGU NOX
tice of such action. Reduction Requirement under para-
(e) The State’s SIP revision shall graph (e)(1)(iii)(A) of this section for
contain control measures and dem- the appropriate period.
onstrate that they will result in com- (2) For a State that complies with
pliance with the State’s Annual EGU the requirements of paragraph (a)(1) of
NOX Budget, if applicable, and achieve this section by imposing control meas-
the State’s Annual Non-EGU NOX Re- ures on only EGUs, the amount of the
duction Requirement, if applicable, for Annual EGU NOX Budget, in tons of
the appropriate periods. The amounts NOX per year, shall be as follows, for
of the State’s Annual EGU NOX Budget the indicated State for the indicated
and Annual Non-EGU NOX Reduction period:
Requirement shall be determined as
Annual EGU
follows: Annual EGU NOX budget
NOX budget
(1)(i) The Annual EGU NOX Budget State for 2009–2014 for 2015 and
thereafter
for the State is defined as the total (tons) (tons)
amount of NOX emissions from all
EGUs in that State for a year, if the Alabama ............................ 69,020 57,517
Delaware ............................ 4,166 3,472
State meets the requirements of para- District of Columbia ........... 144 120
graph (a)(1) of this section by imposing Florida ................................ 99,445 82,871
control measures, at least in part, on Georgia .............................. 66,321 55,268
Illinois ................................. 76,230 63,525
EGUs. If the State imposes control Indiana ............................... 108,935 90,779
measures under this section on only Iowa ................................... 32,692 27,243
EGUs, the Annual EGU NOX Budget for Kentucky ............................ 83,205 69,337
Louisiana ........................... 35,512 29,593
the State shall not exceed the amount, Maryland ............................ 27,724 23,104
during the indicated periods, specified Michigan ............................ 65,304 54,420
in paragraph (e)(2) of this section. Minnesota .......................... 31,443 26,203
(ii) The Annual Non-EGU NOX Reduc- Mississippi ......................... 17,807 14,839
Missouri ............................. 59,871 49,892
tion Requirement, if applicable, is de- New Jersey ........................ 12,670 10,558
fined as the total amount of NOX emis- New York ........................... 45,617 38,014
sion reductions that the State dem- North Carolina ................... 62,183 51,819
Ohio ................................... 108,667 90,556
onstrates, in accordance with para- Pennsylvania ..................... 99,049 82,541
graph (g) of this section, it will achieve South Carolina ................... 32,662 27,219
from non-EGUs during the appropriate Tennessee ......................... 50,973 42,478
period. If the State meets the require- Texas ................................. 181,014 150,845
Virginia ............................... 36,074 30,062
ments of paragraph (a)(1) of this sec- West Virginia ..................... 74,220 61,850
tion by imposing control measures on Wisconsin .......................... 40,759 33,966
only non-EGUs, then the State’s An-
nual Non-EGU NOX Reduction Require- (3) For a State that complies with
ment shall equal or exceed, during the the requirements of paragraph (a)(1) of
appropriate periods, the amount deter- this section by imposing control meas-
mined in accordance with paragraph ures on only non-EGUs, the amount of
(e)(3) of this section. the Annual Non-EGU NOX Reduction
(iii) If a State meets the require- Requirement, in tons of NOX per year,
ments of paragraph (a)(1) of this sec- shall be determined, for the State for
tion by imposing control measures on 2009 and thereafter, by subtracting the
both EGUs and non-EGUs, then: amount of the State’s Annual EGU NOX
(A) The Annual Non-EGU NOX Reduc- Budget for the appropriate year, speci-
tion Requirement shall equal or exceed fied in paragraph (e)(2) of this section
the difference between the amount from the amount of the State’s NOX
specified in paragraph (e)(2) of this sec- baseline EGU emissions inventory pro-
tion for the appropriate period and the jected for the appropriate year, speci-
amount of the State’s Annual EGU NOX fied in Table 5 of ‘‘Regional and State
Budget specified in the SIP revision for SO2 and NOX Budgets’’, March 2005
the appropriate period; and (available at http://www.epa.gov/
(B) The Annual EGU NOX Budget cleanairinterstaterule).
shall not exceed, during the indicated (4)(i) Notwithstanding the State’s ob-
periods, the amount specified in para- ligation to comply with paragraph
200
(e)(2) or (3) of this section, the State’s operators of the source to have oc-
SIP revision may allow sources re- curred during 2007 and 2008 and not to
quired by the revision to implement be necessary to comply with any appli-
control measures to demonstrate com- cable State or federal emissions limita-
pliance using credit issued from the tion.
State’s compliance supplement pool, as (3) The emissions reductions for
set forth in paragraph (e)(4)(ii) of this which credits are issued must have
section. been quantified by the owners and op-
(ii) The State-by-State amounts of erators of the source:
the compliance supplement pool are as (i) For EGUs and for fossil-fuel-fired
follows: non-EGUs that are boilers or combus-
tion turbines with a maximum design
Compliance
State supplement heat input greater than 250 mmBut/hr,
pool using emissions data determined in ac-
Alabama ......................................................... 10,166 cordance with subpart H of part 75 of
Delaware ........................................................ 843 this chapter; and
District of Columbia ....................................... 0 (ii) For non-EGUs not described in
Florida ............................................................ 8,335
Georgia .......................................................... 12,397 paragraph (e)(4)(iii)(A)(3)(i) of this sec-
Illinois ............................................................. 11,299 tion, using emissions data determined
Indiana ........................................................... 20,155 in accordance with subpart H of part 75
Iowa ............................................................... 6,978
Kentucky ........................................................ 14,935 of this chapter or, if the State dem-
Louisiana ....................................................... 2,251 onstrates that compliance with subpart
Maryland ........................................................ 4,670 H of part 75 of this chapter is not prac-
Michigan ........................................................ 8,347
Minnesota ...................................................... 6,528 ticable, determined, to the extent prac-
Mississippi ..................................................... 3,066 ticable, with the same degree of assur-
Missouri ......................................................... 9,044 ance with which emissions data are de-
New Jersey .................................................... 660
New York ....................................................... 0
termined for sources subject to subpart
North Carolina ............................................... 0 H of part 75.
Ohio ............................................................... 25,037 (4) If the SIP revision contains ap-
Pennsylvania ................................................. 16,009
South Carolina ............................................... 2,600
proved provisions for an emissions
Tennessee ..................................................... 8,944 trading program, the owners and opera-
Texas ............................................................. 772 tors of sources that receive credit ac-
Virginia ........................................................... 5,134
West Virginia ................................................. 16,929
cording to the requirements of this
Wisconsin ...................................................... 4,898 paragraph may transfer the credit to
other sources or persons according to
(iii) The SIP revision may provide for the provisions in the emissions trading
the distribution of credits from the program.
compliance supplement pool to sources (B) The State may issue credit from
that are required to implement control the compliance supplement pool to
measures using one or both of the fol- sources that are required by the SIP
lowing two mechanisms: revision to implement NOX emission
(A) The State may issue credit from control measures and whose owners
compliance supplement pool to sources and operators demonstrate a need for
that are required by the SIP revision an extension, beyond 2009, of the dead-
to implement NOX emission control line for the source for implementing
measures and that implement NOX such emission controls.
emission reductions in 2007 and 2008 (1) The State shall complete the
that are not necessary to comply with issuance process by January 1, 2010.
any State or federal emissions limita- (2) The State shall issue credit to a
tion applicable at any time during such source only if the owners and operators
years. Such a source may be issued one of the source demonstrate that:
credit from the compliance supplement (i) For a source used to generate elec-
pool for each ton of such emission re- tricity, implementation of the SIP re-
ductions in 2007 and 2008. vision’s applicable control measures by
(1) The State shall complete the 2009 would create undue risk for the re-
issuance process by January 1, 2010. liability of the electricity supply. This
(2) The emissions reductions for demonstration must include a showing
which credits are issued must have that it would not be feasible for the
been demonstrated by the owners and owners and operators of the source to
201
§ 51.123 40 CFR Ch. I (7–1–21 Edition)
obtain a sufficient amount of elec- adopt alternative requirements that

tricity, to prevent such undue risk, ensure that the State will comply with
from other electricity generation fa- its requirements under paragraph (e) of
cilities during the installation of con- this section, as applicable, in 2009 and
trol technology at the source necessary subsequent years.
to comply with the SIP revision. (g)(1) Each SIP revision that contains
(ii) For a source not used to generate control measures covering non-EGUs
electricity, compliance with the SIP as part or all of a State’s obligation in
revision’s applicable control measures meeting its requirement under para-
by 2009 would create undue risk for the graph (a)(1) of this section must dem-
source or its associated industry to a onstrate that such control measures
degree that is comparable to the risk are adequate to provide for the timely
described in paragraph compliance with the State’s Annual
(e)(4)(iii)(B)(2)(i) of this section. Non-EGU NOX Reduction Requirement
(iii) This demonstration must include under paragraph (e) of this section and
a showing that it would not be possible are not adopted or implemented by the
for the source to comply with applica- State, as of May 12, 2005, and are not
ble control measures by obtaining suf- adopted or implemented by the Federal
ficient credits under paragraph government, as of the date of submis-
(e)(4)(iii)(A) of this section, or by ac- sion of the SIP revision by the State to
quiring sufficient credits from other EPA.
sources or persons, to prevent undue (2) The demonstration under para-
risk. graph (g)(1) of this section must in-
(f) Each SIP revision must set forth clude the following, with respect to
control measures to meet the amounts each source category of non-EGUs for
specified in paragraph (e) of this sec- which the SIP revision requires control
tion, as applicable, including the fol- measures:
lowing:
(i) A detailed historical baseline in-
(1) A description of enforcement
ventory of NOX mass emissions from
methods including, but not limited to:
the source category in a representative
(i) Procedures for monitoring compli-
ance with each of the selected control year consisting, at the State’s election,
measures; of 2002, 2003, 2004, or 2005, or an average
(ii) Procedures for handling viola- of 2 or more of those years, absent the
tions; and control measures specified in the SIP
(iii) A designation of agency respon- revision.
sibility for enforcement of implemen- (A) This inventory must represent es-
tation. timates of actual emissions based on
(2)(i) If a State elects to impose con- monitoring data in accordance with
trol measures on EGUs, then those subpart H of part 75 of this chapter, if
measures must impose an annual NOX the source category is subject to moni-
mass emissions cap on all such sources toring requirements in accordance with
in the State. subpart H of part 75 of this chapter.
(ii) If a State elects to impose con- (B) In the absence of monitoring data
trol measures on fossil fuel-fired non- in accordance with subpart H of part 75
EGUs that are boilers or combustion of this chapter, actual emissions must
turbines with a maximum design heat be quantified, to the maximum extent
input greater than 250 mmBtu/hr, then practicable, with the same degree of
those measures must impose an annual assurance with which emissions are
NOX mass emissions cap on all such quantified for sources subject to sub-
sources in the State. part H of part 75 of this chapter and
(iii) If a State elects to impose con- using source-specific or source-cat-
trol measures on non-EGUs other than egory-specific assumptions that ensure
those described in paragraph (f)(2)(ii) of a source’s or source category’s actual
this section, then those measures must emissions are not overestimated. If a
impose an annual NOX mass emissions State uses factors to estimate emis-
cap on all such sources in the State or sions, production or utilization, or ef-
the State must demonstrate why such fectiveness of controls or rules for a
emissions cap is not practicable and source category, such factors must be
202
chosen to ensure that emissions are the official planning assumptions are
not overestimated. more accurate.
(C) For measures to reduce emissions (C) These inventories must account
from motor vehicles, emission esti- for any changes in production method,
mates must be based on an emissions materials, fuels, or efficiency that are
model that has been approved by EPA expected to occur between the histor-
for use in SIP development and must ical baseline year and 2009 or 2015, as
be consistent with the planning as- appropriate.
sumptions regarding vehicle miles (iii) A projection of NOX mass emis-
traveled and other factors current at sions in 2009 and 2015 from the source
the time of the SIP development. category assuming the same projected
(D) For measures to reduce emissions changes as under paragraph (g)(2)(ii) of
from nonroad engines or vehicles, this section and resulting from imple-
emission estimates methodologies mentation of each of the control meas-
must be approved by EPA. ures specified in the SIP revision.
(ii) A detailed baseline inventory of (A) These inventories must address
NOX mass emissions from the source the possibility that the State’s new
category in the years 2009 and 2015, ab- control measures may cause produc-
sent the control measures specified in tion or utilization, and emissions, to
the SIP revision and reflecting changes shift to unregulated or less stringently
in these emissions from the historical regulated sources in the source cat-
baseline year to the years 2009 and 2015, egory in the same or another State,
based on projected changes in the pro- and these inventories must include any
duction input or output, population, such amounts of emissions that may
vehicle miles traveled, economic activ-
shift to such other sources.
ity, or other factors as applicable to
(B) The State must provide EPA with
this source category.
a summary of the computations, as-
(A) These inventories must account
sumptions, and judgments used to de-
for implementation of any control
termine the degree of reduction in pro-
measures that are otherwise required
jected 2009 and 2015 NOX emissions that
by final rules already promulgated, as
will be achieved from the implementa-
of May 12, 2005, or adopted or imple-
tion of the new control measures com-
mented by any federal agency, as of the
pared to the relevant baseline emis-
date of submission of the SIP revision
sions inventory.
by the State to EPA, and must exclude
any control measures specified in the (iv) The result of subtracting the
SIP revision to meet the NOX emissions amounts in paragraph (g)(2)(iii) of this
reduction requirements of this section. section for 2009 and 2015, respectively,
(B) Economic and population fore- from the lower of the amounts in para-
casts must be as specific as possible to graph (g)(2)(i) or (g)(2)(ii) of this sec-
the applicable industry, State, and tion for 2009 and 2015, respectively, may
county of the source or source category be credited towards the State’s Annual
and must be consistent with both na- Non-EGU NOX Reduction Requirement
tional projections and relevant official in paragraph (e)(3) of this section for
planning assumptions, including esti- the appropriate period.
mates of population and vehicle miles (v) Each SIP revision must identify
traveled developed through consulta- the sources of the data used in each es-
tion between State and local transpor- timate and each projection of emis-
tation and air quality agencies. How- sions.
ever, if these official planning assump- (h) Each SIP revision must comply
tions are inconsistent with official U.S. with § 51.116 (regarding data avail-
Census projections of population or ability).
with energy consumption projections (i) Each SIP revision must provide
contained in the U.S. Department of for monitoring the status of compli-
Energy’s most recent Annual Energy ance with any control measures adopt-
Outlook, then the SIP revision must ed to meet the State’s requirements
make adjustments to correct the in- under paragraph (e) of this section as
consistency or must demonstrate how follows:
203
§ 51.123 40 CFR Ch. I (7–1–21 Edition)
(1) The SIP revision must provide for (1) Adopt emissions standards and
legally enforceable procedures for re- limitations and any other measures
quiring owners or operators of sta- necessary for attainment and mainte-
tionary sources to maintain records of, nance of the State’s relevant Annual
and periodically report to the State: EGU NOX Budget or the Annual Non-
(i) Information on the amount of NOX EGU NOX Reduction Requirement, as
emissions from the stationary sources; applicable, under paragraph (e) of this
and section;
(ii) Other information as may be nec- (2) Enforce applicable laws, regula-
essary to enable the State to determine tions, and standards and seek injunc-
whether the sources are in compliance tive relief;
with applicable portions of the control (3) Obtain information necessary to
measures; determine whether air pollution
(2) The SIP revision must comply sources are in compliance with applica-
with § 51.212 (regarding testing, inspec- ble laws, regulations, and standards,
tion, enforcement, and complaints); including authority to require record-
(3) If the SIP revision contains any keeping and to make inspections and
transportation control measures, then conduct tests of air pollution sources;
the SIP revision must comply with and
§ 51.213 (regarding transportation con- (4)(i) Require owners or operators of
trol measures); stationary sources to install, maintain,
(4)(i) If the SIP revision contains and use emissions monitoring devices
measures to control EGUs, then the and to make periodic reports to the
SIP revision must require such sources State on the nature and amounts of
to comply with the monitoring, record- emissions from such stationary
keeping, and reporting provisions of sources; and
subpart H of part 75 of this chapter. (ii) Make the data described in para-
(ii) If the SIP revision contains meas- graph (j)(4)(i) of this section available
ures to control fossil fuel-fired non- to the public within a reasonable time
EGUs that are boilers or combustion after being reported and as correlated
turbines with a maximum design heat with any applicable emissions stand-
input greater than 250 mmBtu/hr, then ards or limitations.
the SIP revision must require such (k)(1) The provisions of law or regula-
sources to comply with the monitoring, tion that the State determines provide
recordkeeping, and reporting provi- the authorities required under this sec-
sions of subpart H of part 75 of this tion must be specifically identified,
chapter. and copies of such laws or regulations
(iii) If the SIP revision contains must be submitted with the SIP revi-
measures to control any other non- sion.
EGUs that are not described in para- (2) Legal authority adequate to fulfill
graph (i)(4)(ii) of this section, then the the requirements of paragraphs (j)(3)
SIP revision must require such sources and (4) of this section may be delegated
to comply with the monitoring, record- to the State under section 114 of the
keeping, and reporting provisions of CAA.
subpart H of part 75 of this chapter, or (l)(1) A SIP revision may assign legal
the State must demonstrate why such authority to local agencies in accord-
requirements are not practicable and ance with § 51.232.
adopt alternative requirements that (2) Each SIP revision must comply
ensure that the required emissions re- with § 51.240 (regarding general plan re-
ductions will be quantified, to the max- quirements).
imum extent practicable, with the (m) Each SIP revision must comply
same degree of assurance with which with § 51.280 (regarding resources).
emissions are quantified for sources (n) Each SIP revision must provide
subject to subpart H of part 75 of this for State compliance with the report-
chapter. ing requirements in § 51.125.
(j) Each SIP revision must show that (o)(1) Notwithstanding any other pro-
the State has legal authority to carry vision of this section, if a State adopts
out the SIP revision, including author- regulations substantively identical to
ity to: subparts AA through II of part 96 of
204
this chapter (CAIR NOX Annual Trad- subpart EE of part 96 of this chapter
ing Program), incorporates such sub- and may instead adopt any method-
parts by reference into its regulations, ology for allocating CAIR NOX allow-
or adopts regulations that differ sub- ances to individual sources, as follows:
stantively from such subparts only as (A) The State’s methodology must
set forth in paragraph (o)(2) of this sec- not allow the State to allocate CAIR
tion, then such emissions trading pro- NOX allowances for a year in excess of
gram in the State’s SIP revision is the amount in the State’s Annual EGU
automatically approved as meeting the NOX Budget for such year;
requirements of paragraph (e) of this (B) The State’s methodology must re-
section, provided that the State has quire that, for EGUs commencing oper-
the legal authority to take such action ation before January 1, 2001, the State
and to implement its responsibilities will determine, and notify the Admin-
under such regulations. Before January istrator of, each unit’s allocation of
1, 2009, a State’s regulations shall be CAIR NOX allowances by October 31,
considered to be substantively iden- 2006 for 2009, 2010, and 2011 and by Octo-
tical to subparts AA through II of part ber 31, 2008 and October 31 of each year
96 of this chapter, or differing sub- thereafter for 4th the year after the
stantively only as set forth in para- year of the notification deadline;
graph (o)(2) of this section, regardless (C) The State’s methodology must re-
of whether the State’s regulations in- quire that, for EGUs commencing oper-
clude the definition of ‘‘Biomass’’, ation on or after January 1, 2001, the
paragraph (3) of the definition of ‘‘Co- State will determine, and notify the
generation unit’’, and the second sen- Administrator of, each unit’s alloca-
tence of the definition of ‘‘Total energy tion of CAIR NOX allowances by Octo-
input’’ in § 96.102 of this chapter pro- ber 31 of the year for which the CAIR
mulgated on October 19, 2007, provided NOX allowances are allocated; and
that the State timely submits to the (D) The State’s methodology for allo-
Administrator a SIP revision that re- cating the compliance supplement pool
vises the State’s regulations to include must be substantively identical to
such provisions. Submission to the Ad- § 97.143 (except that the permitting au-
ministrator of a SIP revision that re- thority makes the allocations and the
vises the State’s regulations to include Administrator records the allocations
such provisions shall be considered made by the permitting authority) or
timely if the submission is made by otherwise in accordance with para-
January 1, 2009. graph (e)(4) of this section.
(2) If a State adopts an emissions (3) A State that adopts an emissions
trading program that differs sub- trading program in accordance with
stantively from subparts AA through II paragraph (o)(1) or (2) of this section is
of part 96 of this chapter only as fol- not required to adopt an emissions
lows, then the emissions trading pro- trading program in accordance with
gram is approved as set forth in para- paragraph (aa)(1) or (2) of this section
graph (o)(1) of this section. or § 96.124(o)(1) or (2).
(i) The State may decline to adopt (4) If a State adopts an emissions
the CAIR NOX opt-in provisions of: trading program that differs sub-
(A) Subpart II of this part and the stantively from subparts AA through
provisions applicable only to CAIR NOX HH of part 96 of this chapter, other
opt-in units in subparts AA through than as set forth in paragraph (o)(2) of
HH of this part; this section, then such emissions trad-
(B) Section 96.188(b) of this chapter ing program is not automatically ap-
and the provisions of subpart II of this proved as set forth in paragraph (o)(1)
part applicable only to CAIR NOX opt- or (2) of this section and will be re-
in units under § 96.188(b); or viewed by the Administrator for ap-
(C) Section 96.188(c) of this chapter provability in accordance with the
and the provisions of subpart II of this other provisions of this section, pro-
part applicable only to CAIR NOX opt- vided that the NOX allowances issued
in units under § 96.188(c). under such emissions trading program
(ii) The State may decline to adopt shall not, and the SIP revision shall
the allocation provisions set forth in state that such NOX allowances shall
205
§ 51.123 40 CFR Ch. I (7–1–21 Edition)
not, qualify as CAIR NOX allowances or that are substantively identical to

CAIR NOX Ozone Season allowances § 97.143 of this chapter, except that the
under any emissions trading program permitting authority makes the alloca-
approved under paragraphs (o)(1) or (2) tions and the Administrator records
or (aa)(1) or (2) of this section. the allocations made by the permitting
(p) Notwithstanding any other provi- authority;
sion of this section, a State may adopt, (ii) Provisions for allocating the
and include in a SIP revision submitted State’s compliance supplement pool
by March 31, 2007, regulations relating that are substantively identical to
to the Federal CAIR NOX Annual Trad- § 96.143 of this chapter; or
ing Program under subparts AA (iii) Other provisions for allocating
through HH of part 97 of this chapter as the State’s compliance supplement
follows: pool that are in accordance with para-
(1) The State may adopt, as CAIR graph (e)(4) of this section.
NOX allowance allocation provisions (3) The State may adopt CAIR opt-in
replacing the provisions in subpart EE unit provisions as follows:
of part 97 of this chapter: (i) Provisions for CAIR opt-in units,
(i) Allocation provisions sub- including provisions for applications
stantively identical to subpart EE of for CAIR opt-in permits, approval of
part 96 of this chapter, under which the CAIR opt-in permits, treatment of
permitting authority makes the alloca- units as CAIR opt-in units, and alloca-
tions; or tion and recordation of CAIR NOX al-
(ii) Any methodology for allocating lowances for CAIR opt-in units, that
CAIR NOX allowances to individual are substantively identical to subpart
sources under which the permitting au- II of part 96 of this chapter and the pro-
thority makes the allocations, provisions of subparts AA through HH
vided that: that are applicable to CAIR opt-in
(A) The State’s methodology must units or units for which a CAIR opt-in
not allow the permitting authority to permit application is submitted and
allocate CAIR NOX allowances for a not withdrawn and a CAIR opt-in per-
year in excess of the amount in the mit is not yet issued or denied;
State’s Annual EGU NOX budget for (ii) Provisions for CAIR opt-in units,
such year. including provisions for applications
(B) The State’s methodology must refor CAIR opt-in permits, approval of
quire that, for EGUs commencing oper- CAIR opt-in permits, treatment of
ation before January 1, 2001, the per- units as CAIR opt-in units, and alloca-
mitting authority will determine, and tion and recordation of CAIR NOX al-
notify the Administrator of, each lowances for CAIR opt-in units, that
unit’s allocation of CAIR NOX allow- are substantively identical to subpart
ances by April 30, 2007 for 2009, 2010, and II of part 96 of this chapter and the pro-
2011 and by October 31, 2008 and October visions of subparts AA through HH
31 of each year thereafter for the 4th that are applicable to CAIR opt-in
year after the year of the notification units or units for which a CAIR opt-in
deadline. permit application is submitted and
(C) The State’s methodology must re- not withdrawn and a CAIR opt-in per-
quire that, for EGUs commencing oper- mit is not yet issued or denied, except
ation on or after January 1, 2001, the that the provisions exclude § 96.188(b) of
permitting authority will determine, this chapter and the provisions of sub-
and notify the Administrator of, each part II of part 96 of this chapter that
unit’s allocation of CAIR NOX allow- apply only to units covered by
ances by October 31 of the year for § 96.188(b) of this chapter; or
which the CAIR NOX allowances are al- (iii) Provisions for applications for
located. CAIR opt-in units, including provisions
(2) The State may adopt, as compli- for CAIR opt-in permits, approval of
ance supplement pool provisions re- CAIR opt-in permits, treatment of
placing the provisions in § 97.143 of this units as CAIR opt-in units, and alloca-
chapter: tion and recordation of CAIR NOX al-
(i) Provisions for allocating the lowances for CAIR opt-in units, that
State’s compliance supplement pool are substantively identical to subpart
206
II of part 96 of this chapter and the pro- (A) The Ozone Season Non-EGU NOX
visions of subparts AA through HH Reduction Requirement shall equal or
that are applicable to CAIR opt-in exceed the difference between the
units or units for which a CAIR opt-in amount specified in paragraph (q)(2) of
permit application is submitted and this section for the appropriate period
not withdrawn and a CAIR opt-in per- and the amount of the State’s Ozone
mit is not yet issued or denied, except Season EGU NOX Budget specified in
that the provisions exclude § 96.188(c) of the SIP revision for the appropriate pe-
this chapter and the provisions of sub- riod; and
part II of part 96 of this chapter that (B) The Ozone Season EGU NOX
apply only to units covered by Budget shall not exceed, during the in-
§ 96.188(c) of this chapter. dicated periods, the amount specified
(q) The State’s SIP revision shall in paragraph (q)(2) of this section plus
contain control measures and dem- the amount of the Ozone Season Non-
onstrate that they will result in com- EGU NOX Reduction Requirement
pliance with the State’s Ozone Season under paragraph (q)(1)(iii)(A) of this
section for the appropriate period.
EGU NOX Budget, if applicable, and
(2) For a State that complies with
achieve the State’s Ozone Season Non-
the requirements of paragraph (a)(2) of
EGU NOX Reduction Requirement, if
this section by imposing control meas-
applicable, for the appropriate periods.
ures on only EGUs, the amount of the
The amounts of the State’s Ozone Sea-
Ozone Season EGU NOX Budget, in tons
son EGU NOX Budget and Ozone Season
of NOX per ozone season, shall be as fol-
Non-EGU NOX Reduction Requirement
lows, for the indicated State for the in-
shall be determined as follows:
dicated period:
(1)(i) The Ozone Season EGU NOX
Budget for the State is defined as the Ozone season Ozone season
EGU NOX
total amount of NOX emissions from all EGU NOX budget for
State budget for
EGUs in that State for an ozone sea- 2009–2014 2015 and
thereafter
son, if the State meets the require- (tons) (tons)
ments of paragraph (a)(2) of this sec-
Alabama ............................ 32,182 26,818
tion by imposing control measures, at Arkansas ............................ 11,515 9,596
least in part, on EGUs. If the State im- Connecticut ........................ 2,559 2,559
poses control measures under this sec- Delaware ............................ 2,226 1,855
District of Columbia ........... 112 94
tion on only EGUs, the Ozone Season Florida ................................ 47,912 39,926
EGU NOX Budget for the State shall Illinois ................................. 30,701 28,981
not exceed the amount, during the in- Indiana ............................... 45,952 39,273
Iowa ................................... 14,263 11,886
dicated periods, specified in paragraph Kentucky ............................ 36,045 30,587
(q)(2) of this section. Louisiana ........................... 17,085 14,238
(ii) The Ozone Season Non-EGU NOX Maryland ............................ 12,834 10,695
Massachusetts ................... 7,551 6,293
Reduction Requirement, if applicable, Michigan ............................ 28,971 24,142
is defined as the total amount of NOX Mississippi ......................... 8,714 7,262
emission reductions that the State Missouri ............................. 26,678 22,231
New Jersey ........................ 6,654 5,545
demonstrates, in accordance with para- New York ........................... 20,632 17,193
graph (s) of this section, it will achieve North Carolina ................... 28,392 23,660
from non-EGUs during the appropriate Ohio ................................... 45,664 39,945
Pennsylvania ..................... 42,171 35,143
period. If the State meets the require- South Carolina ................... 15,249 12,707
ments of paragraph (a)(2) of this sec- Tennessee ......................... 22,842 19,035
tion by imposing control measures on Virginia ............................... 15,994 13,328
West Virginia ..................... 26,859 26,525
only non-EGUs, then the State’s Ozone Wisconsin .......................... 17,987 14,989
Season Non-EGU NOX Reduction Re-
quirement shall equal or exceed, during (3) For a State that complies with
the appropriate periods, the amount the requirements of paragraph (a)(2) of
determined in accordance with para- this section by imposing control meas-
graph (q)(3) of this section. ures on only non-EGUs, the amount of
(iii) If a State meets the require- the Ozone Season Non-EGU NOX Reduc-
ments of paragraph (a)(2) of this section Requirement, in tons of NOX per
tion by imposing control measures on ozone season, shall be determined, for
both EGUs and non-EGUs, then: the State for 2009 and thereafter, by
207
§ 51.123 40 CFR Ch. I (7–1–21 Edition)
subtracting the amount of the State’s must impose an ozone season NOX mass
Ozone Season EGU NOX Budget for the emissions cap on all such sources in
appropriate year, specified in para- the State or the State must dem-
graph (q)(2) of this section, from the onstrate why such emissions cap is not
amount of the State’s NOX baseline practicable and adopt alternative re-
EGU emissions inventory projected for quirements that ensure that the State
the ozone season in the appropriate will comply with its requirements
year, specified in Table 7 of ‘‘Regional under paragraph (q) of this section, as
and State SO2 and NOX Budgets’’, applicable, in 2009 and subsequent
March 2005 (available at: http:// years.
www.epa.gov/cleanairinterstaterule). (s)(1) Each SIP revision that contains
(4) Notwithstanding the State’s obli- control measures covering non-EGUs
gation to comply with paragraph (q)(2) as part or all of a State’s obligation in
or (3) of this section, the State’s SIP meeting its requirement under para-
revision may allow sources required by graph (a)(2) of this section must dem-
the revision to implement NOX emis- onstrate that such control measures
sion control measures to demonstrate are adequate to provide for the timely
compliance using NOX SIP Call allow- compliance with the State’s Ozone Sea-
ances allocated under the NOX Budget son Non-EGU NOX Reduction Require-
Trading Program for any ozone season ment under paragraph (q) of this sec-
during 2003 through 2008 that have not tion and are not adopted or imple-
been deducted by the Administrator mented by the State, as of May 12, 2005,
under the NOX Budget Trading Pro- and are not adopted or implemented by
gram, if the SIP revision ensures that the federal government, as of the date
such allowances will not be available of submission of the SIP revision by
for such deduction under the NOX the State to EPA.
Budget Trading Program. (2) The demonstration under para-
(r) Each SIP revision must set forth graph (s)(1) of this section must include
control measures to meet the amounts the following, with respect to each
specified in paragraph (q) of this sec- source category of non-EGUs for which
tion, as applicable, including the fol- the SIP revision requires control meas-
lowing: ures:
(1) A description of enforcement (i) A detailed historical baseline in-
methods including, but not limited to: ventory of NOX mass emissions from
(i) Procedures for monitoring compli- the source category in a representative
ance with each of the selected control ozone season consisting, at the State’s
measures; election, of the ozone season in 2002,
(ii) Procedures for handling viola- 2003, 2004, or 2005, or an average of 2 or
tions; and more of those ozone seasons, absent the
(iii) A designation of agency respon- control measures specified in the SIP
sibility for enforcement of implemen- revision.
tation. (A) This inventory must represent es-
(2)(i) If a State elects to impose con- timates of actual emissions based on
trol measures on EGUs, then those monitoring data in accordance with
measures must impose an ozone season subpart H of part 75 of this chapter, if
NOX mass emissions cap on all such the source category is subject to moni-
sources in the State. toring requirements in accordance with
(ii) If a State elects to impose con- subpart H of part 75 of this chapter.
trol measures on fossil fuel-fired non- (B) In the absence of monitoring data
EGUs that are boilers or combustion in accordance with subpart H of part 75
turbines with a maximum design heat of this chapter, actual emissions must
input greater than 250 mmBtu/hr, then be quantified, to the maximum extent
those measures must impose an ozone practicable, with the same degree of
season NOX mass emissions cap on all assurance with which emissions are
such sources in the State. quantified for sources subject to sub-
(iii) If a State elects to impose con- part H of part 75 of this chapter and
trol measures on non-EGUs other than using source-specific or source-cat-
those described in paragraph (r)(2)(ii) egory-specific assumptions that ensure
of this section, then those measures a source’s or source category’s actual
208
emissions are not overestimated. If a contained in the U.S. Department of

State uses factors to estimate emis- Energy’s most recent Annual Energy
sions, production or utilization, or ef- Outlook, then the SIP revision must
fectiveness of controls or rules for a make adjustments to correct the in-
source category, such factors must be consistency or must demonstrate how
chosen to ensure that emissions are the official planning assumptions are
not overestimated. more accurate.
model that has been approved by EPA expected to occur between the histor-
for use in SIP development and must ical baseline ozone season and ozone
be consistent with the planning as- season 2009 or ozone season 2015, as ap-
sumptions regarding vehicle miles propriate.
traveled and other factors current at (iii) A projection of NOX mass emis-
the time of the SIP development. sions in ozone season 2009 and ozone
(D) For measures to reduce emissions season 2015 from the source category
from nonroad engines or vehicles, assuming the same projected changes
emission estimates methodologies as under paragraph (s)(2)(ii) of this sec-
must be approved by EPA. tion and resulting from implementa-
(ii) A detailed baseline inventory of tion of each of the control measures
NOX mass emissions from the source specified in the SIP revision.
category in ozone seasons 2009 and 2015,
(A) These inventories must address
absent the control measures specified
the possibility that the State’s new
in the SIP revision and reflecting
control measures may cause produc-
changes in these emissions from the
tion or utilization, and emissions, to
historical baseline ozone season to the
shift to unregulated or less stringently
ozone seasons 2009 and 2015, based on
regulated sources in the source cat-
projected changes in the production
egory in the same or another State,
input or output, population, vehicle
and these inventories must include any
miles traveled, economic activity, or
other factors as applicable to this such amounts of emissions that may
source category. shift to such other sources.
(A) These inventories must account (B) The State must provide EPA with
for implementation of any control a summary of the computations, as-
measures that are adopted or imple- sumptions, and judgments used to de-
mented by the State, as of May 12, 2005, termine the degree of reduction in pro-
or adopted or implemented by the fed- jected ozone season 2009 and ozone sea-
eral government, as of the date of sub- son 2015 NOX emissions that will be
mission of the SIP revision by the achieved from the implementation of
State to EPA, and must exclude any the new control measures compared to
control measures specified in the SIP the relevant baseline emissions inven-
revision to meet the NOX emissions re- tory.
duction requirements of this section. (iv) The result of subtracting the
(B) Economic and population fore- amounts in paragraph (s)(2)(iii) of this
casts must be as specific as possible to section for ozone season 2009 and ozone
the applicable industry, State, and season 2015, respectively, from the
county of the source or source category lower of the amounts in paragraph
and must be consistent with both na- (s)(2)(i) or (s)(2)(ii) of this section for
tional projections and relevant official ozone season 2009 and ozone season
planning assumptions including esti- 2015, respectively, may be credited to-
mates of population and vehicle miles wards the State’s Ozone Season Non-
traveled developed through consulta- EGU NOX Reduction Requirement in
tion between State and local transpor- paragraph (q)(3) of this section for the
tation and air quality agencies. How- appropriate period.
ever, if these official planning assump- (v) Each SIP revision must identify
tions are inconsistent with official U.S. the sources of the data used in each es-
Census projections of population or timate and each projection of emis-
with energy consumption projections sions.
209
§ 51.123 40 CFR Ch. I (7–1–21 Edition)
(t) Each SIP revision must comply imum extent practicable, with the
with § 51.116 (regarding data avail- same degree of assurance with which
ability). emissions are quantified for sources
(u) Each SIP revision must provide subject to subpart H of part 75 of this
for monitoring the status of compli- chapter.
ance with any control measures adopt- (v) Each SIP revision must show that
ed to meet the State’s requirements the State has legal authority to carry
under paragraph (q) of this section as out the SIP revision, including author-
follows: ity to:
(1) The SIP revision must provide for (1) Adopt emissions standards and
legally enforceable procedures for re- limitations and any other measures
quiring owners or operators of sta- necessary for attainment and mainte-
tionary sources to maintain records of, nance of the State’s relevant Ozone
and periodically report to the State: Season EGU NOX Budget or the Ozone
(i) Information on the amount of NOX Season Non-EGU NOX Reduction Re-
emissions from the stationary sources; quirement, as applicable, under para-
and graph (q) of this section;
(ii) Other information as may be nec- (2) Enforce applicable laws, regula-
essary to enable the State to determine tions, and standards and seek injunc-
whether the sources are in compliance tive relief;
with applicable portions of the control (3) Obtain information necessary to
measures; determine whether air pollution
(2) The SIP revision must comply sources are in compliance with applica-
with § 51.212 (regarding testing, inspec- ble laws, regulations, and standards,
tion, enforcement, and complaints); including authority to require record-
(3) If the SIP revision contains any keeping and to make inspections and
transportation control measures, then conduct tests of air pollution sources;
the SIP revision must comply with and
§ 51.213 (regarding transportation con- (4)(i) Require owners or operators of
trol measures); stationary sources to install, maintain,
(4)(i) If the SIP revision contains and use emissions monitoring devices
measures to control EGUs, then the and to make periodic reports to the
SIP revision must require such sources State on the nature and amounts of
to comply with the monitoring, record- emissions from such stationary
keeping, and reporting provisions of sources; and
subpart H of part 75 of this chapter. (ii) Make the data described in para-
(ii) If the SIP revision contains meas- graph (v)(4)(i) of this section available
ures to control fossil fuel-fired non- to the public within a reasonable time
EGUs that are boilers or combustion after being reported and as correlated
turbines with a maximum design heat with any applicable emissions stand-
input greater than 250 mmBtu/hr, then ards or limitations.
the SIP revision must require such (w)(1) The provisions of law or regu-
sources to comply with the monitoring, lation that the State determines pro-
recordkeeping, and reporting provi- vide the authorities required under this
sions of subpart H of part 75 of this section must be specifically identified,
chapter. and copies of such laws or regulations
(iii) If the SIP revision contains must be submitted with the SIP revi-
measures to control any other non- sion.
EGUs that are not described in para- (2) Legal authority adequate to fulfill
graph (u)(4)(ii) of this section, then the the requirements of paragraphs (v)(3)
SIP revision must require such sources and (4) of this section may be delegated
to comply with the monitoring, record- to the State under section 114 of the
keeping, and reporting provisions of CAA.
subpart H of part 75 of this chapter, or (x)(1) A SIP revision may assign legal
the State must demonstrate why such authority to local agencies in accord-
requirements are not practicable and ance with § 51.232.
adopt alternative requirements that (2) Each SIP revision must comply
ensure that the required emissions re- with § 51.240 (regarding general plan re-
ductions will be quantified, to the max- quirements).
210
(y) Each SIP revision must comply (ii) The State may decline to adopt
with § 51.280 (regarding resources). the CAIR NOX Ozone Season opt-in pro-
(z) Each SIP revision must provide visions of:
for State compliance with the report- (A) Subpart IIII of this part and the
ing requirements in § 51.125. provisions applicable only to CAIR NOX
(aa)(1) Notwithstanding any other Ozone Season opt-in units in subparts
provision of this section, if a State AAAA through HHHH of this part;
adopts regulations substantively iden- (B) Section 96.388(b) of this chapter
tical to subparts AAAA through IIII of and the provisions of subpart IIII of
part 96 of this chapter (CAIR Ozone this part applicable only to CAIR NOX
Season NOX Trading Program), incor- Ozone Season opt-in units under
porates such subparts by reference into § 96.388(b); or
its regulations, or adopts regulations (C) Section 96.388(c) of this chapter
that differ substantively from such and the provisions of subpart IIII of
subparts only as set forth in paragraph this part applicable only to CAIR NOX
(aa)(2) of this section, then such emis- Ozone Season opt-in units under
sions trading program in the State’s § 96.388(c).
SIP revision is automatically approved (iii) The State may decline to adopt
as meeting the requirements of para- the allocation provisions set forth in
graph (q) of this section, provided that subpart EEEE of part 96 of this chapter
the State has the legal authority to and may instead adopt any method-
take such action and to implement its ology for allocating CAIR NOX Ozone
responsibilities under such regulations. Season allowances to individual
Before January 1, 2009, a State’s regu- sources, as follows:
lations shall be considered to be sub- (A) The State may provide for
stantively identical to subparts AAAA issuance of an amount of CAIR Ozone
through IIII of part 96 of the chapter, Season NOX allowances for an ozone
or differing substantively only as set season, in addition to the amount in
forth in paragraph (o)(2) of this section, the State’s Ozone Season EGU NOX
regardless of whether the State’s regu- Budget for such ozone season, not ex-
lations include the definition of ‘‘Bio- ceeding the amount of NOX SIP Call al-
mass’’, paragraph (3) of the definition lowances allocated for the ozone season
of ‘‘Cogeneration unit’’, and the second under the NOX Budget Trading Pro-
sentence of the definition of ‘‘Total en- gram to non-EGUs that the applica-
ergy input’’ in § 96.302 of this chapter bility provisions in § 96.304 are ex-
promulgated on October 19, 2007, pro- panded to include under paragraph
vided that the State timely submits to (aa)(2)(i) of this section;
the Administrator a SIP revision that (B) The State’s methodology must
revises the State’s regulations to in- not allow the State to allocate CAIR
clude such provisions. Submission to Ozone Season NOX allowances for an
the Administrator of a SIP revision ozone season in excess of the amount in
that revises the State’s regulations to the State’s Ozone Season EGU NOX
include such provisions shall be consid- Budget for such ozone season plus any
ered timely if the submission is made additional amount of CAIR Ozone Sea-
by January 1, 2009. son NOX allowances issued under para-
(2) If a State adopts an emissions graph (aa)(2)(iii)(A) of this section for
trading program that differs sub- such ozone season;
stantively from subparts AAAA (C) The State’s methodology must re-
through IIII of part 96 of this chapter quire that, for EGUs commencing oper-
only as follows, then the emissions ation before January 1, 2001, the State
trading program is approved as set will determine, and notify the Admin-
forth in paragraph (aa)(1) of this sec- istrator of, each unit’s allocation of
tion. CAIR NOX allowances by October 31,
(i) The State may expand the appli- 2006 for the ozone seasons 2009, 2010,
cability provisions in § 96.304 to include and 2011 and by October 31, 2008 and Oc-
all non-EGUs subject to the State’s tober 31 of each year thereafter for the
emissions trading program approved ozone season in the 4th year after the
under § 51.121(p). year of the notification deadline; and
211
§ 51.123 40 CFR Ch. I (7–1–21 Edition)
(D) The State’s methodology must covered by the amount of tons specified
require that, for EGUs commencing op- in paragraph (q)(2) of this section, then
eration on or after January 1, 2001, the the State must replace the former
State will determine, and notify the amount for such ozone season by the
Administrator of, each unit’s alloca- latter amount for such ozone season in
tion of CAIR Ozone Season NOX allow- applying paragraph (q) of this section.
ances by July 31 of the calendar year of (2) Rhode Island may revise its SIP
the ozone season for which the CAIR to provide that, for each ozone season
Ozone Season NOX allowances are allo- during which Rhode Island implements
cated. control measures on EGUs and non-
(3) A State that adopts an emissions EGUs through an emissions trading
trading program in accordance with program adopted in regulations that
paragraph (aa)(1) or (2) of this section differ substantively from subparts
is not required to adopt an emissions AAAA through IIII of part 96 of this
trading program in accordance with chapter as set forth in this paragraph,
paragraph (o)(1) or (2) of this section or such EGUs and non-EGUs shall not be
§ 51.153(o)(1) or (2). subject to the requirements of the
(4) If a State adopts an emissions State’s SIP meeting the requirements
trading program that differs sub- of § 51.121.
stantively from subparts AAAA (i) Rhode Island must expand the ap-
through IIII of part 96 of this chapter, plicability provisions in § 96.304 to in-
other than as set forth in paragraph clude all non-EGUs subject to Rhode
(aa)(2) of this section, then such emis- Island’s emissions trading program ap-
sions trading program is not automati- proved under § 51.121(p).
cally approved as set forth in para-
(ii) Rhode Island may decline to
graph (aa)(1) or (2) of this section and
adopt the CAIR NOX Ozone Season opt-
will be reviewed by the Administrator
in provisions of:
for approvability in accordance with
(A) Subpart IIII of this part and the
the other provisions of this section,
provisions applicable only to CAIR NOX
provided that the NOX allowances
Ozone Season opt-in units in subparts
issued under such emissions trading
AAAA through HHHH of this part;
program shall not, and the SIP revision
shall state that such NOX allowances (B) Section 96.388(b) of this chapter
shall not, qualify as CAIR NOX allow- and the provisions of subpart IIII of
ances or CAIR Ozone Season NOX al- this part applicable only to CAIR NOX
lowances under any emissions trading Ozone Season opt-in units under
program approved under paragraphs § 96.388(b); or
(o)(1) or (2) or (aa)(1) or (2) of this sec- (C) Section 96.388(c) of this chapter
tion. and the provisions of subpart IIII of
(bb)(1)(i) The State may revise its this part applicable only to CAIR NOX
SIP to provide that, for each ozone sea- Ozone Season opt-in units under
son during which a State implements § 96.388(c).
control measures on EGUs or non- (iii) Rhode Island may adopt the allo-
EGUs through an emissions trading cation provisions set forth in subpart
program approved under paragraph EEEE of part 96 of this chapter, pro-
(aa)(1) or (2) of this section, such EGUs vided that Rhode Island must provide
and non-EGUs shall not be subject to for issuance of an amount of CAIR
the requirements of the State’s SIP Ozone Season NOX allowances for an
meeting the requirements of § 51.121, if ozone season not exceeding 936 tons for
the State meets the requirement in 2009 and thereafter;
paragraph (bb)(1)(ii) of this section. (iv) Rhode Island may adopt any
(ii) For a State under paragraph methodology for allocating CAIR NOX
(bb)(1)(i) of this section, if the State’s Ozone Season allowances to individual
amount of tons specified in paragraph sources, as follows:
(q)(2) of this section exceeds the (A) Rhode Island’s methodology must
State’s amount of NOX SIP Call allow- not allow Rhode Island to allocate
ances allocated for the ozone season in CAIR Ozone Season NOX allowances for
2009 or in any year thereafter for the an ozone season in excess of 936 tons
same types and sizes of units as those for 2009 and thereafter;
212
(B) Rhode Island’s methodology must (i) A forest-related organic resource,

require that, for EGUs commencing op- including mill residues, precommercial
eration before January 1, 2001, Rhode thinnings, slash, brush, or byproduct
Island will determine, and notify the from conversion of trees to merchant-
Administrator of, each unit’s alloca- able material; or
tion of CAIR NOX allowances by Octo- (ii) A wood material, including pal-
ber 31, 2006 for the ozone seasons 2009, lets, crates, dunnage, manufacturing
2010, and 2011 and by October 31, 2008 and construction materials (other than
and October 31 of each year thereafter pressure-treated, chemically-treated,
for the ozone season in the 4th year or painted wood products), and land-
after the year of the notification dead- scape or right-of-way tree trimmings.
line; and Boiler means an enclosed fossil- or
(C) Rhode Island’s methodology must other-fuel-fired combustion device used
require that, for EGUs commencing op- to produce heat and to transfer heat to
eration on or after January 1, 2001, recirculating water, steam, or other
Rhode Island will determine, and no- medium.
tify the Administrator of, each unit’s Bottoming-cycle cogeneration unit
allocation of CAIR Ozone Season NOX means a cogeneration unit in which the
allowances by July 31 of the calendar energy input to the unit is first used to
year of the ozone season for which the produce useful thermal energy and at
CAIR Ozone Season NOX allowances are least some of the reject heat from the
allocated. useful thermal energy application or
(3) Notwithstanding a SIP revision by process is then used for electricity pro-
a State authorized under paragraph duction.
(bb)(1) of this section or by Rhode Is- Clean Air Act or CAA means the Clean
land under paragraph (bb)(2) of this Air Act, 42 U.S.C. 7401, et seq.
section, if the State’s or Rhode Island’s Cogeneration unit means a stationary,
SIP that, without such SIP revision, fossil-fuel-fired boiler or stationary,
imposes control measures on EGUs or fossil-fuel-fired combustion turbine:
non-EGUs under § 51.121 is determined (1) Having equipment used to produce
by the Administrator to meet the re- electricity and useful thermal energy
quirements of § 51.121, such SIP shall be for industrial, commercial, heating, or
deemed to continue to meet the re- cooling purposes through the sequen-
quirements of § 51.121. tial use of energy; and
(2) Producing during the 12-month pe-
(cc) The terms used in this section
riod starting on the date the unit first
shall have the following meanings:
produces electricity and during any
Administrator means the Adminis-
calendar year after the calendar year
trator of the United States Environ-
in which the unit first produces elec-
mental Protection Agency or the Ad-
tricity—
ministrator’s duly authorized rep-
(i) For a topping-cycle cogeneration
resentative.
unit,
Allocate or allocation means, with re- (A) Useful thermal energy not less
gard to allowances, the determination than 5 percent of total energy output;
of the amount of allowances to be ini- and
tially credited to a source or other en- (B) Useful power that, when added to
tity. one-half of useful thermal energy pro-
Biomass means— duced, is not less then 42.5 percent of
(1) Any organic material grown for total energy input, if useful thermal
the purpose of being converted to en- energy produced is 15 percent or more
ergy; of total energy output, or not less than
(2) Any organic byproduct of agri- 45 percent of total energy input, if use-
culture that can be converted into en- ful thermal energy produced is less
ergy; or than 15 percent of total energy output.
(3) Any material that can be con- (ii) For a bottoming-cycle cogenera-
verted into energy and is nonmerchant- tion unit, useful power not less than 45
able for other purposes, that is seg- percent of total energy input;
regated from other nonmerchantable (3) Provided that the total energy
material, and that is; input under paragraphs (2)(i)(B) and
213
§ 51.123 40 CFR Ch. I (7–1–21 Edition)
(2)(ii) of this definition shall equal the generator with nameplate capacity of
unit’s total energy input from all fuel more than 25 MWe supplying in any
except biomass if the unit is a boiler. calendar year more than one-third of
Combustion turbine means: the unit’s potential electric output ca-
(1) An enclosed device comprising a pacity or 219,000 MWh, whichever is
compressor, a combustor, and a turbine greater, to any utility power distribu-
and in which the flue gas resulting tion system for sale.
from the combustion of fuel in the (B) If a unit qualifies as a cogenera-
combustor passes through the turbine, tion unit during the 12-month period
rotating the turbine; and starting on the date the unit first pro-
(2) If the enclosed device under para- duces electricity and meets the re-
graph (1) of this definition is combined quirements of paragraphs (2)(i)(A) of
cycle, any associated duct burner, heat this section for at least one calendar
recovery steam generator, and steam year, but subsequently no longer meets
turbine. all such requirements, the unit shall
Commence operation means to have become an electric generating unit
begun any mechanical, chemical, or starting on the earlier of January 1
electronic process, including, with re- after the first calendar year during
gard to a unit, start-up of a unit’s com- which the unit first no longer qualifies
bustion chamber. as a cogeneration unit or January 1
Electric generating unit or EGU means: after the first calendar year during
(1)(i) Except as provided in paragraph which the unit no longer meets the re-
(2) of this definition, a stationary, fos- quirements of paragraph (2)(i)(A)(2) of
sil-fuel-fired boiler or stationary, fos- this section.
sil-fuel-fired combustion turbine serv- (ii)(A) Any unit that is an electric
ing at any time, since the later of No- generating unit under paragraph (1)(i)
vember 15, 1990 or the start-up of the or (ii) of this definition commencing
unit’s combustion chamber, a gener- operation before January 1, 1985:
ator with nameplate capacity of more (1) Qualifying as a solid waste incin-
than 25 MWe producing electricity for eration unit; and
sale. (2) With an average annual fuel con-
(ii) If a stationary boiler or sta- sumption of non-fossil fuel for 1985–1987
tionary combustion turbine that, under exceeding 80 percent (on a Btu basis)
paragraph (1)(i) of this section, is not and an average annual fuel consump-
an electric generating unit begins to tion of non-fossil fuel for any 3 con-
combust fossil fuel or to serve a gener- secutive calendar years after 1990 ex-
ator with nameplate capacity of more ceeding 80 percent (on a Btu basis).
than 25 MWe producing electricity for (B) Any unit that is an electric gen-
sale, the unit shall become an electric erating unit under paragraph (1)(i) or
generating unit as provided in para- (ii) of this definition commencing oper-
graph (1)(i) of this section on the first ation on or after January 1, 1985:
date on which it both combusts fossil (1) Qualifying as a solid waste incin-
fuel and serves such generator. eration unit; and
(2) A unit that meets the require- (2) With an average annual fuel con-
ments set forth in paragraphs (2)(i)(A), sumption of non-fossil fuel for the first
(2)(ii)(A), or (2)(ii)(B) of this definition 3 calendar years of operation exceeding
paragraph shall not be an electric gen- 80 percent (on a Btu basis) and an aver-
erating unit: age annual fuel consumption of non-
(i)(A) Any unit that is an electric fossil fuel for any 3 consecutive cal-
generating unit under paragraph (1)(i) endar years after 1990 exceeding 80 per-
or (ii) of this definition: cent (on a Btu basis).
(1) Qualifying as a cogeneration unit (C) If a unit qualifies as a solid waste
during the 12-month period starting on incineration unit and meets the re-
the date the unit first produces elec- quirements of paragraph (2)(ii)(A) or
tricity and continuing to qualify as a (B) of this section for at least 3 con-
cogeneration unit; and secutive calendar years, but subse-
(2) Not serving at any time, since the quently no longer meets all such re-
later of November 15, 1990 or the start- quirements, the unit shall become an
up of the unit’s combustion chamber, a electric generating unit starting on the
214
earlier of January 1 after the first cal- NOX SIP Call allowance means a lim-
endar year during which the unit first ited authorization issued by the Ad-
no longer qualifies as a solid waste in- ministrator under the NOX Budget
cineration unit or January 1 after the Trading Program to emit up to one ton
first 3 consecutive calendar years after of nitrogen oxides during the ozone
1990 for which the unit has an average season of the specified year or any year
annual fuel consumption of fossil fuel thereafter, provided that the provision
of 20 percent or more. in § 51.121(b)(2)(ii)(E) shall not be used
Fossil fuel means natural gas, petro- in applying this definition.
leum, coal, or any form of solid, liquid, Ozone season means the period, which
or gaseous fuel derived from such ma- begins May 1 and ends September 30 of
terial. any year.
Fossil-fuel-fired means, with regard to Potential electrical output capacity
a unit, combusting any amount of fos- means 33 percent of a unit’s maximum
sil fuel in any calendar year. design heat input, divided by 3,413 Btu/
Generator means a device that pro- kWh, divided by 1,000 kWh/MWh, and
duces electricity. multiplied by 8,760 hr/yr.
Maximum design heat input means the Sequential use of energy means:
maximum amount of fuel per hour (in (1) For a topping-cycle cogeneration
Btu/hr) that a unit is capable of com- unit, the use of reject heat from elec-
busting on a steady state basis as of tricity production in a useful thermal
the initial installation of the unit as energy application or process; or
specified by the manufacturer of the (2) For a bottoming-cycle cogenera-
unit. tion unit, the use of reject heat from
NAAQS means National Ambient Air useful thermal energy application or
Quality Standard. process in electricity production.
Nameplate capacity means, starting Solid waste incineration unit means a
from the initial installation of a gener- stationary, fossil-fuel-fired boiler or
ator, the maximum electrical gener- stationary, fossil-fuel-fired combustion
ating output (in MWe) that the gener- turbine that is a ‘‘solid waste inciner-
ator is capable of producing on a ation unit’’ as defined in section
steady state basis and during contin- 129(g)(1) of the Clean Air Act.
uous operation (when not restricted by Topping-cycle cogeneration unit means
seasonal or other deratings) as of such a cogeneration unit in which the en-
installation as specified by the manu- ergy input to the unit is first used to
facturer of the generator or, starting produce useful power, including elec-
from the completion of any subsequent tricity, and at least some of the reject
physical change in the generator reheat from the electricity production is
sulting in an increase in the maximum then used to provide useful thermal en-
electrical generating output (in MWe) ergy.
that the generator is capable of pro- Total energy input means, with regard
ducing on a steady state basis and dur- to a cogeneration unit, total energy of
ing continuous operation (when not re- all forms supplied to the cogeneration
stricted by seasonal or other unit, excluding energy produced by the
deratings), such increased maximum cogeneration unit itself. Each form of
amount as of such completion as speci- energy supplied shall be measured by
fied by the person conducting the phys- the lower heating value of that form of
ical change. energy calculated as follows:
Non-EGU means a source of NOX LHV = HHV ¥ 10.55(W + 9H)
emissions that is not an EGU.
NOX Budget Trading Program means a Where:
multi-state nitrogen oxides air pollu- LHV = lower heating value of fuel in Btu/lb,
tion control and emission reduction HHV = higher heating value of fuel in Btu/lb,
program approved and administered by W = Weight % of moisture in fuel, and
H = Weight % of hydrogen in fuel.
the Administrator in accordance with
subparts A through I of this part and Total energy output means, with re-
§ 51.121, as a means of mitigating inter- gard to a cogeneration unit, the sum of
state transport of ozone and nitrogen useful power and useful thermal energy
oxides. produced by the cogeneration unit.
215
§ 51.123 40 CFR Ch. I (7–1–21 Edition)
Unit means a stationary, fossil-fuel- Ozone Season opt-in units under

fired boiler or a stationary, fossil-fuel- § 96.388(c).
fired combustion turbine. (3) New Hampshire may adopt the al-
Useful power means, with regard to a location provisions set forth in subpart
cogeneration unit, electricity or me- EEEE of part 96 of this chapter, pro-
chanical energy made available for use, vided that New Hampshire must pro-
excluding any such energy used in the vide for issuance of an amount of CAIR
power production process (which proc- Ozone Season NOX allowances for an
ess includes, but is not limited to, any ozone season not exceeding 3,000 tons
on-site processing or treatment of fuel for 2009 and thereafter;
combusted at the unit and any on-site (4) New Hampshire may adopt any
emission controls). methodology for allocating CAIR NOX
Useful thermal energy means, with re- Ozone Season allowances to individual
gard to a cogeneration unit, thermal sources, as follows:
energy that is: (i) New Hampshire’s methodology
(1) Made available to an industrial or must not allow New Hampshire to allo-
commercial process, excluding any cate CAIR Ozone Season NOX allow-
heat contained in condensate return or ances for an ozone season in excess of
makeup water; 3,000 tons for 2009 and thereafter;
(2) Used in a heating application
(ii) New Hampshire’s methodology
(e.g., space heating or domestic hot
must require that, for EGUs com-
water heating); or
mencing operation before January 1,
(3) Used in a space cooling applica-
2001, New Hampshire will determine,
tion (i.e., thermal energy used by an
absorption chiller). and notify the Administrator of, each
Utility power distribution system means unit’s allocation of CAIR NOX allow-
the portion of an electricity grid owned ances by October 31, 2006 for the ozone
or operated by a utility and dedicated seasons 2009, 2010, and 2011 and by Octo-
to delivering electricity to customers. ber 31, 2008 and October 31 of each year
(dd) New Hampshire may revise its thereafter for the ozone season in the
SIP to implements control measures on 4th year after the year of the notifica-
EGUs and non-EGUs through an emis- tion deadline; and
sions trading program adopted in regu- (iii) New Hampshire’s methodology
lations that differ substantively from must require that, for EGUs com-
subparts AAAA through IIII of part 96 mencing operation on or after January
of this chapter as set forth in this para- 1, 2001, New Hampshire will determine,
graph. and notify the Administrator of, each
(1) New Hampshire must expand the unit’s allocation of CAIR Ozone Season
applicability provisions in § 96.304 of NOX allowances by July 31 of the cal-
this chapter to include all non-EGUs endar year of the ozone season for
subject to New Hampshire’s emissions which the CAIR Ozone Season NOX al-
trading program at New Hampshire lowances are allocated.
Code of Administrative Rules, chapter (ee) Notwithstanding any other pro-
Env-A 3200 (2004). vision of this section, a State may
(2) New Hampshire may decline to adopt, and include in a SIP revision
adopt the CAIR NOX Ozone Season opt- submitted by March 31, 2007, regula-
in provisions of: tions relating to the Federal CAIR NOX
(i) Subpart IIII of this part and the Ozone Season Trading Program under
provisions applicable only to CAIR NOX subparts AAAA through HHHH of part
Ozone Season opt-in units in subparts 97 of this chapter as follows:
AAAA through HHHH of this part; (1) The State may adopt, as applica-
(ii) Section 96.388(b) of this chapter bility provisions replacing the provi-
and the provisions of subpart IIII of sions in § 97.304 of this chapter, provi-
this part applicable only to CAIR NOX sions for applicability that are sub-
Ozone Season opt-in units under stantively identical to the provisions
§ 96.388(b); or in § 96.304 of this chapter expanded to
(iii) Section 96.388(c) of this chapter include all non-EGUs subject to the
and the provisions of subpart IIII of State’s emissions trading program ap-
this part applicable only to CAIR NOX proved under § 51.121(p). Before January
216
1, 2009, a State’s applicability provi- graph (ee)(2)(ii)(A) of this section for

sions shall be considered to be sub- such ozone season.
stantively identical to § 96.304 of this (C) The State’s methodology must re-
chapter (with the expansion allowed quire that, for EGUs commencing oper-
under this paragraph) regardless of ation before January 1, 2001, the per-
whether the State’s regulations include mitting authority will determine, and
the definition of ‘‘Biomass’’, paragraph notify the Administrator of, each
(3) of the definition of ‘‘Cogeneration unit’s allocation of CAIR NOX Ozone
unit’’, and the second sentence of the Season allowances by April 30, 2007 for
definition of ‘‘Total energy input’’ in 2009, 2010, and 2011 and by October 31,
§ 97.102 of this chapter promulgated on 2008 and October 31 of each year there-
October 19, 2007, provided that the after for the 4th year after the year of
State timely submits to the Adminis- the notification deadline.
trator a SIP revision that revises the (D) The State’s methodology must
State’s regulations to include such pro- require that, for EGUs commencing op-
visions. Submission to the Adminis- eration on or after January 1, 2001, the
trator of a SIP revision that revises permitting authority will determine,
the State’s regulations to include such and notify the Administrator of, each
provisions shall be considered timely if unit’s allocation of CAIR NOX Ozone
the submission is made by January 1, Season allowances by July 31 of the
2009. year for which the CAIR NOX Ozone
(2) The State may adopt, as CAIR Season allowances are allocated.
NOX Ozone Season allowance allocation (3) The State may adopt CAIR opt-in
provisions replacing the provisions in unit provisions as follows:
subpart EEEE of part 97 of this chap- (i) Provisions for CAIR opt-in units,
ter: including provisions for applications
(i) Allocation provisions sub- for CAIR opt-in permits, approval of
stantively identical to subpart EEEE CAIR opt-in permits, treatment of
of part 96 of this chapter, under which units as CAIR opt-in units, and alloca-
the permitting authority makes the al- tion and recordation of CAIR NOX
locations; or Ozone Season allowances for CAIR opt-
(ii) Any methodology for allocating in units, that are substantively iden-
CAIR NOX Ozone Season allowances to tical to subpart IIII of part 96 of this
individual sources under which the per- chapter and the provisions of subparts
mitting authority makes the alloca- AAAA through HHHH that are applica-
tions, provided that: ble to CAIR opt-in units or units for
(A) The State may provide for which a CAIR opt-in permit application
issuance of an amount of CAIR Ozone is submitted and not withdrawn and a
Season NOX allowances for an ozone CAIR opt-in permit is not yet issued or
season, in addition to the amount in denied;
the State’s Ozone Season EGU NOX (ii) Provisions for CAIR opt-in units,
Budget for such ozone season, not ex- including provisions for applications
ceeding the portion of the State’s trad- for CAIR opt-in permits, approval of
ing program budget, under the State’s CAIR opt-in permits, treatment of
emissions trading program approved units as CAIR opt-in units, and alloca-
under § 51.121(p), attributed to the non- tion and recordation of CAIR NOX
EGUs that the applicability provisions Ozone Season allowances for CAIR opt-
in § 96.304 of this chapter are expanded in units, that are substantively iden-
to include under paragraph (ee)(1) of tical to subpart IIII of part 96 of this
this section. chapter and the provisions of subparts
(B) The State’s methodology must AAAA through HHHH that are applica-
not allow the State to allocate CAIR ble to CAIR opt-in units or units for
Ozone Season NOX allowances for an which a CAIR opt-in permit application
ozone season in excess of the amount in is submitted and not withdrawn and a
the State’s Ozone Season EGU NOX CAIR opt-in permit is not yet issued or
Budget for such ozone season plus any denied, except that the provisions ex-
additional amount of CAIR Ozone Sea- clude § 96.388(b) of this chapter and the
son NOX allowances issued under para- provisions of subpart IIII of part 96 of
217
§ 51.124 40 CFR Ch. I (7–1–21 Edition)
this chapter that apply only to units all CAIR NOX allowances allocated for
covered by § 96.388(b) of this chapter; or a control period in 2015 and any subse-
(iii) Provisions for applications for quent year, and, thereafter, no holding
CAIR opt-in units, including provisions or surrender of CAIR NOX allowances
for CAIR opt-in permits, approval of will be required with regard to emis-
CAIR opt-in permits, treatment of sions or excess emissions for such con-
units as CAIR opt-in units, and alloca- trol periods; and
tion and recordation of CAIR NOX al- (4) By March 3, 2015, the Adminis-
lowances for CAIR opt-in units, that trator will remove from the CAIR NOX
are substantively identical to subpart Ozone Season Allowance Tracking Sys-
IIII of part 96 of this chapter and the tem accounts all CAIR NOX Ozone Sea-
provisions of subparts AAAA through son allowances allocated for a control
HHHH that are applicable to CAIR opt- period in 2015 and any subsequent year,
in units or units for which a CAIR opt- and, thereafter, no holding or sur-
in permit application is submitted and render of CAIR NOX Ozone Season al-
not withdrawn and a CAIR opt-in per- lowances will be required with regard
mit is not yet issued or denied, except to emissions or excess emissions for
that the provisions exclude § 96.388(c) of such control periods.
this chapter and the provisions of sub-
part IIII of part 96 of this chapter that
FR 25301, 25370, Apr. 28, 2006; 71 FR 74793, Dec.
apply only to units covered by 13, 2006; 72 FR 59203, Oct. 19, 2007; 74 FR 56726,
§ 96.388(c) of this chapter. Nov. 3, 2009; 76 FR 48353, Aug. 8, 2011; 79 FR
(ff) Notwithstanding any provisions 71671, Dec. 3, 2014]
of paragraphs (a) through (ee) of this
section, subparts AA through II and § 51.124 Findings and requirements for
AAAA through IIII of part 96 of this submission of State implementation
chapter, subparts AA through II and plan revisions relating to emissions
AAAA through IIII of part 97 of this of sulfur dioxide pursuant to the
Clean Air Interstate Rule.
chapter, and any State’s SIP to the
contrary: (a)(1) Under section 110(a)(1) of the
(1) With regard to any control period CAA, 42 U.S.C. 7410(a)(1), the Adminis-
that begins after December 31, 2014, the trator determines that each State iden-
Administrator: tified in paragraph (c) of this section
(i) Rescinds the determination in must submit a SIP revision to comply
paragraph (a) of this section that the with the requirements of section
States identified in paragraph (c) of 110(a)(2)(D)(i)(I) of the CAA, 42 U.S.C.
this section must submit a SIP revi- 7410(a)(2)(D)(i)(I), through the adoption
sion with respect to the fine particles of adequate provisions prohibiting
(PM2.5) NAAQS and the 8-hour ozone sources and other activities from emit-
NAAQS meeting the requirements of ting SO2 in amounts that will con-
paragraphs (b) through (ee) of this sec- tribute significantly to nonattainment
tion; and in, or interfere with maintenance by,
(ii) Will not carry out any of the one or more other States with respect
functions set forth for the Adminis- to the fine particles (PM2.5) NAAQS.
trator in subparts AA through II and (2) Notwithstanding the other provi-
AAAA through IIII of part 96 of this sions of this section, such provisions
chapter, subparts AA through II and are not applicable as they relate to the
AAAA through IIII of part 97 of this State of Minnesota as of December 3,
chapter, or in any emissions trading 2009.
program provisions in a State’s SIP ap- (b) For each State identified in para-
proved under this section; graph (c) of this section, the SIP revi-
(2) The Administrator will not deduct sion required under paragraph (a) of
for excess emissions any CAIR NOX al- this section will contain adequate pro-
lowances or CAIR NOX Ozone Season visions, for purposes of complying with
allowances allocated for 2015 or any section 110(a)(2)(D)(i)(I) of the CAA, 42
year thereafter; U.S.C. 7410(a)(2)(D)(i)(I), only if the SIP
(3) By March 3, 2015, the Adminis- revision contains control measures
trator will remove from the CAIR NOX that assure compliance with the appli-
Allowance Tracking System accounts cable requirements of this section.
218
(c) The following States are subject shall not exceed the amount, during
to the requirements of this section: the indicated periods, specified in para-
Alabama, Delaware, Florida, Georgia, graph (e)(2) of this section.
Illinois, Indiana, Iowa, Kentucky, Lou- (ii) The Annual Non-EGU SO2 Reduc-
isiana, Maryland, Michigan, Min- tion Requirement, if applicable, is de-
nesota, Mississippi, Missouri, New Jer- fined as the total amount of SO2 emis-
sey, New York, North Carolina, Ohio, sion reductions that the State dem-
Pennsylvania, South Carolina, Ten- onstrates, in accordance with para-
nessee, Texas, Virginia, West Virginia, graph (g) of this section, it will achieve
Wisconsin, and the District of Colum- from non-EGUs during the appropriate
bia. period. If the State meets the require-
(d)(1) The SIP revision under para- ments of paragraph (a) of this section
graph (a) of this section must be sub- by imposing control measures on only
mitted to EPA by no later than Sep- non-EGUs, then the State’s Annual
tember 11, 2006. Non-EGU SO2 Reduction Requirement
(2) The requirements of appendix V to shall equal or exceed, during the appro-
this part shall apply to the SIP revi- priate periods, the amount determined
sion under paragraph (a) of this sec- in accordance with paragraph (e)(3) of
tion. this section.
(3) The State shall deliver 5 copies of (iii) If a State meets the require-
the SIP revision under paragraph (a) of ments of paragraph (a) of this section
this section to the appropriate Re- by imposing control measures on both
gional Office, with a letter giving no- EGUs and non-EGUs, then:
tice of such action. (A) The Annual Non-EGU SO2 Reduc-
(e) The State’s SIP revision shall tion Requirement shall equal or exceed
contain control measures and dem- the difference between the amount
onstrate that they will result in com- specified in paragraph (e)(2) of this sec-
pliance with the State’s Annual EGU tion for the appropriate period and the
SO2 Budget, if applicable, and achieve amount of the State’s Annual EGU SO2
the State’s Annual Non-EGU SO2 Re- Budget specified in the SIP revision for
duction Requirement, if applicable, for the appropriate period; and
the appropriate periods. The amounts (B) The Annual EGU SO2 Budget
of the State’s Annual EGU SO2 Budget shall not exceed, during the indicated
and Annual Non-EGU SO2 Reduction periods, the amount specified in para-
Requirement shall be determined as graph (e)(2) of this section plus the
follows: amount of the Annual Non-EGU SO2
(1)(i) The Annual EGU SO2 Budget for Reduction Requirement under para-
the State is defined as the total graph (e)(1)(iii)(A) of this section for
amount of SO2 emissions from all EGUs the appropriate period.
in that State for a year, if the State (2) For a State that complies with
meets the requirements of paragraph the requirements of paragraph (a) of
(a) of this section by imposing control this section by imposing control meas-
measures, at least in part, on EGUs. If ures on only EGUs, the amount of the
the State imposes control measures Annual EGU SO2 Budget, in tons of SO2
under this section on only EGUs, the per year, shall be as follows, for the in-
Annual EGU SO2 Budget for the State dicated State for the indicated period:
Annual EGU SO2 Annual EGU SO2
State budget for 2010–2014 budget for 2015 and
(tons) thereafter (tons)
Alabama ................................................................................................................ 157,582 110,307

Delaware ............................................................................................................... 22,411 15,687
District of Columbia ............................................................................................... 708 495
Florida .................................................................................................................... 253,450 177,415
Georgia .................................................................................................................. 213,057 149,140
Illinois ..................................................................................................................... 192,671 134,869
Indiana ................................................................................................................... 254,599 178,219
Iowa ....................................................................................................................... 64,095 44,866
Kentucky ................................................................................................................ 188,773 132,141
Louisiana ............................................................................................................... 59,948 41,963
Maryland ................................................................................................................ 70,697 49,488
Michigan ................................................................................................................ 178,605 125,024
219
§ 51.124 40 CFR Ch. I (7–1–21 Edition)
Annual EGU SO2 Annual EGU SO2

State budget for 2010–2014 budget for 2015 and
(tons) thereafter (tons)
Minnesota .............................................................................................................. 49,987 34,991

Mississippi ............................................................................................................. 33,763 23,634
Missouri ................................................................................................................. 137,214 96,050
New Jersey ............................................................................................................ 32,392 22,674
New York ............................................................................................................... 135,139 94,597
North Carolina ....................................................................................................... 137,342 96,139
Ohio ....................................................................................................................... 333,520 233,464
Pennsylvania ......................................................................................................... 275,990 193,193
South Carolina ....................................................................................................... 57,271 40,089
Tennessee ............................................................................................................. 137,216 96,051
Texas ..................................................................................................................... 320,946 224,662
Virginia ................................................................................................................... 63,478 44,435
West Virginia ......................................................................................................... 215,881 151,117
Wisconsin .............................................................................................................. 87,264 61,085
(3) For a State that complies with (iii) If a State elects to impose con-
the requirements of paragraph (a) of trol measures on non-EGUs other than
this section by imposing control meas- those described in paragraph (f)(2)(ii) of
ures on only non-EGUs, the amount of this section, then those measures must
the Annual Non-EGU SO2 Reduction impose an annual SO2 mass emissions
Requirement, in tons of SO2 per year, cap on all such sources in the State, or
shall be determined, for the State for the State must demonstrate why such
2010 and thereafter, by subtracting the emissions cap is not practicable, and
amount of the State’s Annual EGU SO2 adopt alternative requirements that
Budget for the appropriate year, speci- ensure that the State will comply with
fied in paragraph (e)(2) of this section, its requirements under paragraph (e) of
from an amount equal to 2 times the this section, as applicable, in 2010 and
State’s Annual EGU SO2 Budget for subsequent years.
2010 through 2014, specified in para- (g)(1) Each SIP revision that contains
graph (e)(2) of this section. control measures covering non-EGUs
(f) Each SIP revision must set forth as part or all of a State’s obligation in
control measures to meet the amounts meeting its requirement under para-
specified in paragraph (e) of this sec- graph (a) of this section must dem-
tion, as applicable, including the fol- onstrate that such control measures
lowing: are adequate to provide for the timely
(1) A description of enforcement compliance with the State’s Annual
methods including, but not limited to: Non-EGU SO2 Reduction Requirement
(i) Procedures for monitoring compli- under paragraph (e) of this section and
ance with each of the selected control are not adopted or implemented by the
measures; State, as of May 12, 2005, and are not
(ii) Procedures for handling viola- adopted or implemented by the federal
tions; and government, as of the date of submis-
(iii) A designation of agency respon- sion of the SIP revision by the State to
sibility for enforcement of implemen- EPA.
tation. (2) The demonstration under para-
(2)(i) If a State elects to impose con- graph (g)(1) of this section must in-
trol measures on EGUs, then those clude the following, with respect to
measures must impose an annual SO2 each source category of non-EGUs for
mass emissions cap on all such sources which the SIP revision requires control
in the State. measures:
(ii) If a State elects to impose con- (i) A detailed historical baseline in-
trol measures on fossil fuel-fired non- ventory of SO2 mass emissions from
EGUs that are boilers or combustion the source category in a representative
turbines with a maximum design heat year consisting, at the State’s election,
input greater than 250 mmBtu/hr, then of 2002, 2003, 2004, or 2005, or an average
those measures must impose an annual of 2 or more of those years, absent the
SO2 mass emissions cap on all such control measures specified in the SIP
sources in the State. revision.
220
(A) This inventory must represent es- revision to meet the SO2 emissions re-
timates of actual emissions based on duction requirements of this section.
monitoring data in accordance with (B) Economic and population fore-
part 75 of this chapter, if the source casts must be as specific as possible to
category is subject to part 75 moni- the applicable industry, State, and
toring requirements in accordance with county of the source or source category
part 75 of this chapter. and must be consistent with both na-
(B) In the absence of monitoring data tional projections and relevant official
in accordance with part 75 of this chap- planning assumptions, including esti-
ter, actual emissions must be quan- mates of population and vehicle miles
tified, to the maximum extent prac- traveled developed through consulta-
ticable, with the same degree of assur- tion between State and local transpor-
ance with which emissions are quan- tation and air quality agencies. How-
tified for sources subject to part 75 of ever, if these official planning assump-
this chapter and using source-specific tions are inconsistent with official U.S.
or source-category-specific assump- Census projections of population or
tions that ensure a source’s or source with energy consumption projections
category’s actual emissions are not contained in the U.S. Department of
overestimated. If a State uses factors Energy’s most recent Annual Energy
to estimate emissions, production or Outlook, then the SIP revision must
utilization, or effectiveness of controls make adjustments to correct the in-
or rules for a source category, such fac- consistency or must demonstrate how
tors must be chosen to ensure that the official planning assumptions are
emissions are not overestimated. more accurate.
expected to occur between the histor-
model that has been approved by EPA
ical baseline year and 2010 or 2015, as
for use in SIP development and must
appropriate.
be consistent with the planning as-
(iii) A projection of SO2 mass emis-
sumptions regarding vehicle miles
sions in 2010 and 2015 from the source
traveled and other factors current at
category assuming the same projected
the time of the SIP development.
changes as under paragraph (g)(2)(ii) of
(D) For measures to reduce emissions this section and resulting from imple-
from nonroad engines or vehicles, mentation of each of the control meas-
emission estimates methodologies ures specified in the SIP revision.
must be approved by EPA. (A) These inventories must address
(ii) A detailed baseline inventory of the possibility that the State’s new
SO2 mass emissions from the source control measures may cause produc-
category in the years 2010 and 2015, ab- tion or utilization, and emissions, to
sent the control measures specified in shift to unregulated or less stringently
the SIP revision and reflecting changes regulated sources in the source cat-
in these emissions from the historical egory in the same or another State,
baseline year to the years 2010 and 2015, and these inventories must include any
based on projected changes in the pro- such amounts of emissions that may
duction input or output, population, shift to such other sources.
vehicle miles traveled, economic activ- (B) The State must provide EPA with
ity, or other factors as applicable to a summary of the computations, as-
this source category. sumptions, and judgments used to de-
(A) These inventories must account termine the degree of reduction in pro-
for implementation of any control jected 2010 and 2015 SO2 emissions that
measures that are adopted or imple- will be achieved from the implementa-
mented by the State, as of May 12, 2005, tion of the new control measures com-
or adopted or implemented by the fed- pared to the relevant baseline emis-
eral government, as of the date of sub- sions inventory.
mission of the SIP revision by the (iv) The result of subtracting the
State to EPA, and must exclude any amounts in paragraph (g)(2)(iii) of this
control measures specified in the SIP section for 2010 and 2015, respectively,
221
§ 51.124 40 CFR Ch. I (7–1–21 Edition)
from the lower of the amounts in paragraph (i)(4)(ii) of this section, then the
graph (g)(2)(i) or (g)(2)(ii) of this sec- SIP revision must require such sources
tion for 2010 and 2015, respectively, may to comply with the monitoring, record-
be credited towards the State’s Annual keeping, and reporting provisions of
Non-EGU SO2 Reduction Requirement part 75 of this chapter, or the State
in paragraph (e)(3) of this section for must demonstrate why such require-
the appropriate period. ments are not practicable and adopt al-
(v) Each SIP revision must identify ternative requirements that ensure
the sources of the data used in each es- that the required emissions reductions
timate and each projection of emis- will be quantified, to the maximum ex-
sions. tent practicable, with the same degree
(h) Each SIP revision must comply of assurance with which emissions are
with § 51.116 (regarding data avail- quantified for sources subject to part 75
ability). of this chapter.
(i) Each SIP revision must provide (j) Each SIP revision must show that
for monitoring the status of compli- the State has legal authority to carry
ance with any control measures adopt- out the SIP revision, including author-
ed to meet the State’s requirements ity to:
under paragraph (e) of this section, as (1) Adopt emissions standards and
follows: limitations and any other measures
(1) The SIP revision must provide for necessary for attainment and mainte-
legally enforceable procedures for re- nance of the State’s relevant Annual
quiring owners or operators of sta- EGU SO2 Budget or the Annual Non-
tionary sources to maintain records of, EGU SO2 Reduction Requirement, as
and periodically report to the State: applicable, under paragraph (e) of this
(i) Information on the amount of SO2 section;
emissions from the stationary sources; (2) Enforce applicable laws, regula-
and tions, and standards and seek injunc-
(ii) Other information as may be nec- tive relief;
essary to enable the State to determine (3) Obtain information necessary to
whether the sources are in compliance determine whether air pollution
with applicable portions of the control sources are in compliance with applica-
measures; ble laws, regulations, and standards,
(2) The SIP revision must comply including authority to require record-
with § 51.212 (regarding testing, inspec- keeping and to make inspections and
tion, enforcement, and complaints); conduct tests of air pollution sources;
(3) If the SIP revision contains any and
transportation control measures, then (4)(i) Require owners or operators of
the SIP revision must comply with stationary sources to install, maintain,
§ 51.213 (regarding transportation con- and use emissions monitoring devices
trol measures); and to make periodic reports to the
(4)(i) If the SIP revision contains State on the nature and amounts of
measures to control EGUs, then the emissions from such stationary
SIP revision must require such sources sources; and
to comply with the monitoring, record- (ii) Make the data described in para-
keeping, and reporting provisions of graph (j)(4)(i) of this section available
part 75 of this chapter. to the public within a reasonable time
(ii) If the SIP revision contains meas- after being reported and as correlated
ures to control fossil fuel-fired non- with any applicable emissions stand-
EGUs that are boilers or combustion ards or limitations.
turbines with a maximum design heat (k)(1) The provisions of law or regula-
input greater than 250 mmBtu/hr, then tion that the State determines provide
the SIP revision must require such the authorities required under this sec-
sources to comply with the monitoring, tion must be specifically identified,
recordkeeping, and reporting provi- and copies of such laws or regulations
sions of part 75 of this chapter. must be submitted with the SIP revi-
(iii) If the SIP revision contains sion.
measures to control any other non- (2) Legal authority adequate to fulfill
EGUs that are not described in para- the requirements of paragraphs (j)(3)
222
and (4) of this section may be delegated gram is approved as set forth in para-
to the State under section 114 of the graph (o)(1) of this section.
CAA. (i) The State may decline to adopt
(l)(1) A SIP revision may assign legal the CAIR SO2 opt-in provisions of sub-
authority to local agencies in accord- part III of this part and the provisions
ance with § 51.232. applicable only to CAIR SO2 opt-in
(2) Each SIP revision must comply units in subparts AAA through HHH of
with § 51.240 (regarding general plan re- this part.
quirements). (ii) The State may decline to adopt
(m) Each SIP revision must comply the CAIR SO2 opt-in provisions of
with § 51.280 (regarding resources). § 96.288(b) of this chapter and the provi-
(n) Each SIP revision must provide sions of subpart III of this part applica-
for State compliance with the report- ble only to CAIR SO2 opt-in units
ing requirements in § 51.125. under § 96.288(b).
(o)(1) Notwithstanding any other pro- (iii) The State may decline to adopt
vision of this section, if a State adopts the CAIR SO2 opt-in provisions of
regulations substantively identical to § 96.288(c) of this chapter and the provi-
subparts AAA through III of part 96 of sions of subpart II of this part applica-
this chapter (CAIR SO2 Trading Pro- ble only to CAIR SO2 opt-in units
gram), incorporates such subparts by under § 96.288(c).
reference into its regulations, or (3) A State that adopts an emissions
adopts regulations that differ sub- trading program in accordance with
stantively from such subparts only as paragraph (o)(1) or (2) of this section is
set forth in paragraph (o)(2) of this sec- not required to adopt an emissions
tion, then such emissions trading pro- trading program in accordance with
gram in the State’s SIP revision is § 96.123 (o)(1) or (2) or (aa)(1) or (2) of
automatically approved as meeting the this chapter.
requirements of paragraph (e) of this (4) If a State adopts an emissions
section, provided that the State has trading program that differs sub-
the legal authority to take such action stantively from subparts AAA through
and to implement its responsibilities III of part 96 of this chapter, other than
under such regulations. Before January as set forth in paragraph (o)(2) of this
1, 2009, a State’s regulations shall be section, then such emissions trading
considered to be substantively iden- program is not automatically approved
tical to subparts AAA through III of as set forth in paragraph (o)(1) or (2) of
part 96 of the chapter, or differing sub- this section and will be reviewed by the
stantively only as set forth in para- Administrator for approvability in ac-
graph (o)(2) of this section, regardless cordance with the other provisions of
of whether the State’s regulations in- this section, provided that the SO2 al-
clude the definition of ‘‘Biomass’’, lowances issued under such emissions
paragraph (3) of the definition of ‘‘Co- trading program shall not, and the SIP
generation unit’’, and the second sen- revision shall state that such SO2 al-
tence of the definition of ‘‘Total energy lowances shall not, qualify as CAIR
input’’ in § 96.202 of this chapter pro- SO2 allowances under any emissions
mulgated on October 19, 2007, provided trading program approved under para-
that the State timely submits to the graph (o)(1) or (2) of this section.
Administrator a SIP revision that re- (p) If a State’s SIP revision does not
vises the State’s regulations to include contain an emissions trading program
such provisions. Submission to the Ad- approved under paragraph (o)(1) or (2)
ministrator of a SIP revision that re- of this section but contains control
vises the State’s regulations to include measures on EGUs as part or all of a
such provisions shall be considered State’s obligation in meeting its re-
timely if the submission is made by quirement under paragraph (a) of this
January 1, 2009. section:
(2) If a State adopts an emissions (1) The SIP revision shall provide, for
trading program that differs sub- each year that the State has such obli-
stantively from subparts AAA through gation, for the permanent retirement
III of part 96 of this chapter only as fol- of an amount of Acid Rain allowances
lows, then the emissions trading pro- allocated to sources in the State for
223
§ 51.124 40 CFR Ch. I (7–1–21 Edition)
that year and not deducted by the Ad- (2) Any organic byproduct of agri-
ministrator under the Acid Rain Pro- culture that can be converted into en-
gram and any emissions trading pro- ergy; or
gram approved under paragraph (o)(1) (3) Any material that can be con-
or (2) of this section, equal to the dif- verted into energy and is nonmerchant-
ference between— able for other purposes, that is seg-
(A) The total amount of Acid Rain al- regated from other nonmerchantable
lowances allocated under the Acid Rain material, and that is;
Program to the sources in the State for (i) A forest-related organic resource,
that year; and including mill residues, precommercial
(B) If the State’s SIP revision con- thinnings, slash, brush, or byproduct
tains only control measures on EGUs, from conversion of trees to merchant-
the State’s Annual EGU SO2 Budget for able material; or
the appropriate period as specified in (ii) A wood material, including pal-
paragraph (e)(2) of this section or, if lets, crates, dunnage, manufacturing
the State’s SIP revision contains con- and construction materials (other than
trol measures on EGUs and non-EGUs, pressure-treated, chemically-treated,
the State’s Annual EGU SO2 Budget for or painted wood products), and land-
the appropriate period as specified in scape or right-of-way tree trimmings.
the SIP revision. Boiler means an enclosed fossil- or
(2) The SIP revision providing for other-fuel-fired combustion device used
permanent retirement of Acid Rain al- to produce heat and to transfer heat to
lowances under paragraph (p)(1) of this recirculating water, steam, or other
section must ensure that such allow- medium.
ances are not available for deduction Bottoming-cycle cogeneration unit
by the Administrator under the Acid means a cogeneration unit in which the
Rain Program and any emissions trad- energy input to the unit is first used to
ing program approved under paragraph produce useful thermal energy and at
(o)(1) or (2) of this section. least some of the reject heat from the
(q) The terms used in this section useful thermal energy application or
shall have the following meanings: process is then used for electricity pro-
Acid Rain allowance means a limited duction.
authorization issued by the Adminis- Clean Air Act or CAA means the Clean
trator under the Acid Rain Program to Air Act, 42 U.S.C. 7401, et seq.
emit up to one ton of sulfur dioxide Cogeneration unit means a stationary,
during the specified year or any year fossil-fuel-fired boiler or stationary,
thereafter, except as otherwise pro- fossil-fuel-fired combustion turbine:
vided by the Administrator. (1) Having equipment used to produce
Acid Rain Program means a multi- electricity and useful thermal energy
State sulfur dioxide and nitrogen ox- for industrial, commercial, heating, or
ides air pollution control and emissions cooling purposes through the sequen-
reduction program established by the tial use of energy; and
Administrator under title IV of the (2) Producing during the 12-month pe-
CAA and parts 72 through 78 of this riod starting on the date the unit first
chapter. produces electricity and during any
Administrator means the Adminis- calendar year after the calendar year
trator of the United States Environ- in which the unit first produces elec-
mental Protection Agency or the Ad- tricity—
ministrator’s duly authorized rep- (i) For a topping-cycle cogeneration
resentative. unit,
Allocate or allocation means, with re- (A) Useful thermal energy not less
gard to allowances, the determination than 5 percent of total energy output;
of the amount of allowances to be ini- and
tially credited to a source or other en- (B) Useful power that, when added to
tity. one-half of useful thermal energy pro-
Biomass means— duced, is not less then 42.5 percent of
(1) Any organic material grown for total energy input, if useful thermal
the purpose of being converted to en- energy produced is 15 percent or more
ergy; of total energy output, or not less than
224
45 percent of total energy input, if use- (1) Qualifying as a cogeneration unit

ful thermal energy produced is less during the 12-month period starting on
than 15 percent of total energy output. the date the unit first produces elec-
(ii) For a bottoming-cycle cogenera- tricity and continuing to qualify as a
tion unit, useful power not less than 45 cogeneration unit; and
percent of total energy input; (2) Not serving at any time, since the
(3) Provided that the total energy later of November 15, 1990 or the start-
input under paragraphs (2)(i)(B) and up of the unit’s combustion chamber, a
(2)(ii) of this definition shall equal the generator with nameplate capacity of
unit’s total energy input from all fuel more than 25 MWe supplying in any
except biomass if the unit is a boiler. calendar year more than one-third of
Combustion turbine means: the unit’s potential electric output ca-
(1) An enclosed device comprising a pacity or 219,000 MWh, whichever is
compressor, a combustor, and a turbine greater, to any utility power distribu-
and in which the flue gas resulting tion system for sale.
from the combustion of fuel in the (B) If a unit qualifies as a cogenera-
combustor passes through the turbine, tion unit during the 12-month period
rotating the turbine; and starting on the date the unit first pro-
(2) If the enclosed device under para- duces electricity and meets the re-
graph (1) of this definition is combined quirements of paragraphs (2)(i)(A) of
cycle, any associated duct burner, heat this section for at least one calendar
recovery steam generator, and steam year, but subsequently no longer meets
turbine. all such requirements, the unit shall
Commence operation means to have become an electric generating unit
begun any mechanical, chemical, or starting on the earlier of January 1
electronic process, including, with re- after the first calendar year during
gard to a unit, start-up of a unit’s com- which the unit first no longer qualifies
bustion chamber. as a cogeneration unit or January 1
Electric generating unit or EGU means: after the first calendar year during
(1)(i) Except as provided in paragraph which the unit no longer meets the re-
(2) of this definition, a stationary, fos- quirements of paragraph (2)(i)(A)(2) of
sil-fuel-fired boiler or stationary, fos- this section.
sil-fuel-fired combustion turbine serv- (ii)(A) Any unit that is an electric
ing at any time, since the later of No- generating unit under paragraph (1)(i)
vember 15, 1990 or the start-up of the or (ii) of this definition commencing
unit’s combustion chamber, a gener- operation before January 1, 1985:
ator with nameplate capacity of more (1) Qualifying as a solid waste incin-
than 25 MWe producing electricity for eration unit; and
sale. (2) With an average annual fuel con-
(ii) If a stationary boiler or sta- sumption of non-fossil fuel for 1985–1987
tionary combustion turbine that, under exceeding 80 percent (on a Btu basis)
paragraph (1)(i) of this section, is not and an average annual fuel consump-
an electric generating unit begins to tion of non-fossil fuel for any 3 con-
combust fossil fuel or to serve a gener- secutive calendar years after 1990 ex-
ator with nameplate capacity of more ceeding 80 percent (on a Btu basis).
than 25 MWe producing electricity for (B) Any unit that is an electric gen-
sale, the unit shall become an electric erating unit under paragraph (1)(i) or
generating unit as provided in para- (ii) of this definition commencing oper-
graph (1)(i) of this section on the first ation on or after January 1, 1985:
date on which it both combusts fossil (1) Qualifying as a solid waste incin-
fuel and serves such generator. eration unit; and
(2) A unit that meets the require- (2) With an average annual fuel con-
ments set forth in paragraphs (2)(i)(A), sumption of non-fossil fuel for the first
(2)(ii)(A), or (2)(ii)(B) of this definition 3 calendar years of operation exceeding
paragraph shall not be an electric gen- 80 percent (on a Btu basis) and an aver-
erating unit: age annual fuel consumption of non-
(i)(A) Any unit that is an electric fossil fuel for any 3 consecutive cal-
generating unit under paragraph (1)(i) endar years after 1990 exceeding 80 per-
or (ii) of this definition: cent (on a Btu basis).
225
§ 51.124 40 CFR Ch. I (7–1–21 Edition)
(C) If a unit qualifies as a solid waste Potential electrical output capacity

incineration unit and meets the re- means 33 percent of a unit’s maximum
quirements of paragraph (2)(ii)(A) or design heat input, divided by 3,413 Btu/
(B) of this section for at least 3 con- kWh, divided by 1,000 kWh/MWh, and
secutive calendar years, but subse- multiplied by 8,760 hr/yr.
quently no longer meets all such re- Sequential use of energy means:
quirements, the unit shall become an (1) For a topping-cycle cogeneration
electric generating unit starting on the unit, the use of reject heat from elec-
earlier of January 1 after the first cal- tricity production in a useful thermal
endar year during which the unit first energy application or process; or
no longer qualifies as a solid waste in- (2) For a bottoming-cycle cogenera-
cineration unit or January 1 after the tion unit, the use of reject heat from
first 3 consecutive calendar years after useful thermal energy application or
1990 for which the unit has an average process in electricity production.
annual fuel consumption of fossil fuel Solid waste incineration unit means a
of 20 percent or more. stationary, fossil-fuel-fired boiler or
Fossil fuel means natural gas, petro- stationary, fossil-fuel-fired combustion
leum, coal, or any form of solid, liquid, turbine that is a ‘‘solid waste inciner-
or gaseous fuel derived from such ma- ation unit’’ as defined in section
terial. 129(g)(1) of the Clean Air Act.
Fossil-fuel-fired means, with regard to Topping-cycle cogeneration unit means
a unit, combusting any amount of fos- a cogeneration unit in which the en-
sil fuel in any calendar year. ergy input to the unit is first used to
Generator means a device that pro- produce useful power, including elec-
duces electricity. tricity, and at least some of the reject
Maximum design heat input means the heat from the electricity production is
maximum amount of fuel per hour (in then used to provide useful thermal en-
Btu/hr) that a unit is capable of com- ergy.
busting on a steady state basis as of Total energy input means, with regard
the initial installation of the unit as to a cogeneration unit, total energy of
specified by the manufacturer of the all forms supplied to the cogeneration
unit. unit, excluding energy produced by the
NAAQS means National Ambient Air cogeneration unit itself.
Quality Standard. Total energy output means, with re-
Nameplate capacity means, starting gard to a cogeneration unit, the sum of
from the initial installation of a gener- useful power and useful thermal energy
ator, the maximum electrical gener- produced by the cogeneration unit.
ating output (in MWe) that the gener- Each form of energy supplied shall be
measured by the lower heating value of
ator is capable of producing on a
that form of energy calculated as fol-
steady state basis and during contin-
lows:
uous operation (when not restricted by
seasonal or other deratings as of such LHV = HHV ¥ 10.55(W + 9H)
installation as specified by the manu-
Where:
facturer of the generator or, starting
from the completion of any subsequent LHV = lower heating value of fuel in Btu/lb,
physical change in the generator re- HHV = higher heating value of fuel in Btu/lb,
W = Weight % of moisture in fuel, and
sulting in an increase in the maximum
H = Weight % of hydrogen in fuel.
electrical generating output (in MWe)
that the generator is capable of pro- Unit means a stationary, fossil-fuel-
ducing on a steady state basis and dur- fired boiler or a stationary, fossil-fuel
ing continuous operation (when not re- fired combustion turbine.
stricted by seasonal or other Useful power means, with regard to a
deratings), such increased maximum cogeneration unit, electricity or me-
amount as of such completion as speci- chanical energy made available for use,
fied by the person conducting the phys- excluding any such energy used in the
ical change. power production process (which proc-
Non-EGU means a source of SO2 emis- ess includes, but is not limited to, any
sions that is not an EGU. on-site processing or treatment of fuel
226
combusted at the unit and any on-site this chapter and the provisions of sub-
emission controls). part III of part 96 of this chapter that
Useful thermal energy means, with re- apply only to units covered by
gard to a cogeneration unit, thermal § 96.288(b) of this chapter; or
energy that is: (3) Provisions for applications for
(1) Made available to an industrial or CAIR opt-in units, including provisions
commercial process, excluding any for CAIR opt-in permits, approval of
heat contained in condensate return or CAIR opt-in permits, treatment of
makeup water; units as CAIR opt-in units, and alloca-
(2) Used in a heating application tion and recordation of CAIR SO2 al-
(e.g., space heating or domestic hot lowances for CAIR opt-in units, that
water heating); or are substantively identical to subpart
(3) Used in a space cooling applica- III of part 96 of this chapter and the
tion (i.e., thermal energy used by an provisions of subparts AAA through
absorption chiller). HHH that are applicable to CAIR opt-in
Utility power distribution system means units or units for which a CAIR opt-in
the portion of an electricity grid owned permit application is submitted and
or operated by a utility and dedicated not withdrawn and a CAIR opt-in per-
to delivering electricity to customers. mit is not yet issued or denied, except
(r) Notwithstanding any other provi- that the provisions exclude § 96.288(c) of
sion of this section, a State may adopt, this chapter and the provisions of sub-
and include in a SIP revision submitted part III of part 96 of this chapter that
by March 31, 2007, regulations relating apply only to units covered by
to the Federal CAIR SO2 Trading Pro- § 96.288(c) of this chapter.
gram under subparts AAA through (s) Notwithstanding any provisions of
HHH of part 97 of this chapter as fol- paragraphs (a) through (r) of this sec-
lows. The State may adopt the fol- tion, subparts AAA through III of part
lowing CAIR opt-in unit provisions:
96 of this chapter, subparts AAA
(1) Provisions for CAIR opt-in units,
through III of part 97 of this chapter,
including provisions for applications
and any State’s SIP to the contrary:
for CAIR opt-in permits, approval of
CAIR opt-in permits, treatment of (1) With regard to any control period
units as CAIR opt-in units, and alloca- that begins after December 31, 2014, the
tion and recordation of CAIR SO2 al- Administrator:
lowances for CAIR opt-in units, that (i) Rescinds the determination in
are substantively identical to subpart paragraph (a) of this section that the
III of part 96 of this chapter and the States identified in paragraph (c) of
provisions of subparts AAA through this section must submit a SIP revi-
HHH that are applicable to CAIR opt-in sion with respect to the fine particles
units or units for which a CAIR opt-in (PM2.5) NAAQS meeting the require-
permit application is submitted and ments of paragraphs (b) through (r) of
not withdrawn and a CAIR opt-in per- this section; and
mit is not yet issued or denied; (ii) Will not carry out any of the
(2) Provisions for CAIR opt-in units, functions set forth for the Adminis-
including provisions for applications trator in subparts AAA through III of
for CAIR opt-in permits, approval of part 96 of this chapter, subparts AAA
CAIR opt-in permits, treatment of through III of part 97 of this chapter, or
units as CAIR opt-in units, and alloca- in any emissions trading program in a
tion and recordation of CAIR SO2 al- State’s SIP approved under this sec-
lowances for CAIR opt-in units, that tion; and
are substantively identical to subpart (2) The Administrator will not deduct
III of part 96 of this chapter and the for excess emissions any CAIR SO2 al-
provisions of subparts AAA through lowances allocated for 2015 or any year
HHH that are applicable to CAIR opt-in thereafter.
units or units for which a CAIR opt-in [70 FR 25328, May 12, 2005, as amended at 71
permit application is submitted and FR 25302, 25372, Apr. 28, 2006; 71 FR 74793, Dec.
not withdrawn and a CAIR opt-in per- 13, 2006; 72 FR 59204, Oct. 19, 2007; 74 FR 56726,
mit is not yet issued or denied, except Nov. 3, 2009; 76 FR 48353, Aug. 8, 2011; 79 FR
that the provisions exclude § 96.288(b) of 71671, Dec. 3, 2014]
227
§ 51.125 40 CFR Ch. I (7–1–21 Edition)
§ 51.125 [Reserved] (c) Priority IA Region means any area

which is Priority I primarily because of
§ 51.126 Determination of widespread emissions from a single point source.
use of ORVR and waiver of CAA (d) Priority II Region means any area
section 182(b)(3) Stage II gasoline which is not a Priority I region and has
vapor recovery requirements. ambient concentrations between the
(a) Pursuant to section 202(a)(6) of following:
the Clean Air Act, the Administrator (1) Sulfur Dioxides—60–100 μg/m3
has determined that, effective May 16, (0.02–0.04 ppm) annual arithmetic
2012, onboard refueling vapor recovery mean; 260–445 μg/m3 (0.10–0.17 ppm) 24-
(ORVR) systems are in widespread use hour maximum; any concentration
in the motor vehicle fleet within the above 1,300 μg/m3 (0.50 ppm) three-hour
United States. average.
(2) Particulate matter—60–95 μg/m3
(b) Effective May 16, 2012, the Admin-
annual geometric mean; 150–325 μg/m3
istrator waives the requirement of
24-hour maximum.
Clean Air Act section 182(b)(3) for (e) In the absence of adequate moni-
Stage II vapor recovery systems in toring data, appropriate models must
ozone nonattainment areas regardless be used to classify an area under para-
of classification. States must submit graph (b) of this section, consistent
and receive EPA approval of a revision with the requirements contained in
to their approved State Implementa- § 51.112(a).
tion Plans before removing Stage II re- (f) Areas which do not meet the
quirements that are contained therein. above criteria are classified Priority
[77 FR 28782, May 16, 2012] III.
Subpart H—Prevention of Air FR 38822, July 20, 1993]
Pollution Emergency Episodes § 51.151 Significant harm levels.
Each plan for a Priority I region
SOURCE: 51 FR 40668, Nov. 7, 1986, unless must include a contingency plan which
otherwise noted.
must, as a minimum, provide for tak-
§ 51.150 Classification of regions for ing action necessary to prevent ambi-
episode plans. ent pollutant concentrations at any lo-
cation in such region from reaching the
(a) This section continues the classi- following levels:
fication system for episode plans. Each
region is classified separately with re- Sulfur dioxide—2.620 μg/m3 (1.0 ppm) 24-hour
average.
spect to each of the following pollut- PM10—600 micrograms/cubic meter; 24-hour
ants: Sulfur oxides, particulate matter, average.
carbon monoxide, nitrogen dioxide, and Carbon monoxide—57.5 mg/m3 (50 ppm) 8-hour
ozone. average; 86.3 mg/m3 (75 ppm) 4-hour aver-
(b) Priority I Regions means any area age; 144 mg/m3 (125 ppm) 1-hour average.
with greater ambient concentrations Ozone—1,200 ug/m3 (0.6 ppm) 2-hour average.
Nitrogen dioxide—3.750 ug/m3 (2.0 ppm) 1-hour
than the following: average; 938 ug/m3 (0.5 ppm) 24-hour aver-
(1) Sulfur dioxide—100 μg/m3 (0.04 age.
ppm) annual arithmetic mean; 455 μg/
m3 (0.17 ppm) 24-hour maximum. FR 24713, July 1, 1987]
(2) Particulate matter—95 μg/m3 an-
nual geometric mean; 325 μg/m3 24-hour § 51.152 Contingency plans.
maximum. (a) Each contingency plan must—
(3) Carbon monoxide—55 mg/m3 (48 (1) Specify two or more stages of epi-
ppm) 1-hour maximum; 14 mg/m3 (12 sode criteria such as those set forth in
ppm) 8-hour maximum. appendix L to this part, or their equiv-
(4) Nitrogen dioxide—100 μg/m3 (0.06 alent;
ppm) annual arithmetic mean. (2) Provide for public announcement
(5) Ozone—195 μg/m3 (0.10 ppm) 1-hour whenever any episode stage has been
maximum. determined to exist; and
228
(3) Specify adequate emission control classification, appropriate changes in

actions to be taken at each episode the episode plan must be made as expe-
stage. (Examples of emission control ditiously as practicable.
actions are set forth in appendix L.) (b) [Reserved]
(b) Each contingency plan for a Pri-
ority I region must provide for the fol-
lowing:
Subpart I—Review of New Sources
(1) Prompt acquisition of forecasts of and Modifications
atmospheric stagnation conditions and
of updates of such forecasts as fre- SOURCE: 51 FR 40669, Nov. 7, 1986, unless
quently as they are issued by the Na- otherwise noted.
tional Weather Service.
(2) Inspection of sources to ascertain § 51.160 Legally enforceable proce-
compliance with applicable emission dures.
control action requirements. (a) Each plan must set forth legally
(3) Communications procedures for enforceable procedures that enable the
transmitting status reports and orders State or local agency to determine
as to emission control actions to be whether the construction or modifica-
taken during an episode stage, includ- tion of a facility, building, structure or
ing procedures for contact with public installation, or combination of these
officials, major emission sources, pub- will result in—
lic health, safety, and emergency agen-
(1) A violation of applicable portions
cies and news media.
(c) Each plan for a Priority IA and II of the control strategy; or
region must include a contingency plan (2) Interference with attainment or
that meets, as a minimum, the require- maintenance of a national standard in
ments of paragraphs (b)(1) and (b)(2) of the State in which the proposed source
this section. Areas classified Priority (or modification) is located or in a
III do not need to develop episode neighboring State.
plans. (b) Such procedures must include
(d) Notwithstanding the require- means by which the State or local
ments of paragraphs (b) and (c) of this agency responsible for final decision-
section, the Administrator may, at his making on an application for approval
discretion— to construct or modify will prevent
(1) Exempt from the requirements of such construction or modification if—
this section those portions of Priority (1) It will result in a violation of ap-
I, IA, or II regions which have been des- plicable portions of the control strat-
ignated as attainment or unclassifiable egy; or
for national primary and secondary (2) It will interfere with the attain-
standards under section 107 of the Act;
ment or maintenance of a national
or
standard.
(2) Limit the requirements pertaining
to emission control actions in Priority (c) The procedures must provide for
I regions to— the submission, by the owner or oper-
(i) Urbanized areas as identified in ator of the building, facility, structure,
the most recent United States Census, or installation to be constructed or
and modified, of such information on—
(ii) Major emitting facilities, as de- (1) The nature and amounts of emis-
fined by section 169(1) of the Act, out- sions to be emitted by it or emitted by
side the urbanized areas. associated mobile sources;
(2) The location, design, construc-
§ 51.153 Reevaluation of episode plans. tion, and operation of such facility,
(a) States should periodically re- building, structure, or installation as
evaluate priority classifications of all may be necessary to permit the State
Regions or portion of Regions within or local agency to make the determina-
their borders. The reevaluation must tion referred to in paragraph (a) of this
consider the three most recent years of section.
air quality data. If the evaluation indi-
cates a change to a higher priority
229
§ 51.161 40 CFR Ch. I (7–1–21 Edition)
(d) The procedures must provide that comment shall include, as a min-
approval of any construction or modi- imum—
fication must not affect the responsi- (1) Availability for public inspection
bility to the owner or operator to com- in at least one location in the area af-
ply with applicable portions of the con- fected of the information submitted by
trol strategy. the owner or operator and of the State
(e) The procedures must identify or local agency’s analysis of the effect
types and sizes of facilities, buildings, on air quality. This requirement may
structures, or installations which will be met by making these materials
be subject to review under this section. available at a physical location or on a
The plan must discuss the basis for de- public Web site identified by the State
termining which facilities will be sub- or local agency;
ject to review. (2) A 30-day period for submittal of
(f) The procedures must discuss the public comment; and
air quality data and the dispersion or (3) A notice by prominent advertise-
other air quality modeling used to ment in the area affected of the loca-
meet the requirements of this subpart. tion of the source information and
(1) All applications of air quality analysis specified in paragraph (b)(1) of
modeling involved in this subpart shall this section.
be based on the applicable models, data (c) Where the 30-day comment period
bases, and other requirements specified required in paragraph (b) of this sec-
in appendix W of this part (Guideline tion would conflict with existing re-
on Air Quality Models). quirements for acting on requests for
(2) Where an air quality model speci- permission to construct or modify, the
fied in appendix W of this part (Guide- State may submit for approval a com-
line on Air Quality Models) is inappro- ment period which is consistent with
priate, the model may be modified or such existing requirements.
another model substituted. Such a
(d) A copy of the notice required by
modification or substitution of a model
paragraph (b) of this section must also
may be made on a case-by-case basis
be sent to the Administrator through
or, where appropriate, on a generic
basis for a specific State program. the appropriate Regional Office, and to
Written approval of the Administrator all other State and local air pollution
must be obtained for any modification control agencies having jurisdiction in
or substitution. In addition, use of a the region in which such new or modi-
modified or substituted model must be fied installation will be located. The
subject to notice and opportunity for notice also must be sent to any other
public comment under procedures set agency in the region having responsi-
forth in § 51.102. bility for implementing the procedures
required under this subpart. For lead, a
[51 FR 40669, Nov. 7, 1986, as amended at 58 copy of the notice is required for all
FR 38822, July 20, 1993; 60 FR 40468, Aug. 9, point sources. The definition of point
1995; 61 FR 41840, Aug. 12, 1996]
for lead is given in § 51.100(k)(2).
§ 51.161 Public availability of informa- [51 FR 40669, Nov. 7, 1986, as amended at 81
tion. FR 71629, Oct. 18, 2016]
(a) The legally enforceable proce-
dures in § 51.160 must also require the § 51.162 Identification of responsible
agency.
State or local agency to provide oppor-
tunity for public comment on informa- Each plan must identify the State or
tion submitted by owners and opera- local agency which will be responsible
tors. The public information must infor meeting the requirements of this
clude the agency’s analysis of the ef- subpart in each area of the State.
fect of construction or modification on Where such responsibility rests with an
ambient air quality, including the agency other than an air pollution con-
agency’s proposed approval or dis- trol agency, such agency will consult
approval. with the appropriate State or local air
(b) For purposes of paragraph (a) of pollution control agency in carrying
this section, opportunity for public out the provisions of this subpart.
230
§ 51.163 Administrative procedures. sification Manual, 1972, as amended by

The plan must include the adminis- the 1977 Supplement (U.S. Government
trative procedures, which will be fol- Printing Office stock numbers 4101–0065
lowed in making the determination and 003–005–00176–0, respectively).
specified in paragraph (a) of § 51.160. (B) The plan may include the fol-
lowing provision: Notwithstanding the
§ 51.164 Stack height procedures. provisions of paragraph (a)(1)(ii)(A) of
Such procedures must provide that this section, building, structure, facility,
the degree of emission limitation re- or installation means, for onshore ac-
quired of any source for control of any tivities under Standard Industrial Clas-
air pollutant must not be affected by sification (SIC) Major Group 13: Oil and
so much of any source’s stack height Gas Extraction, all of the pollutant-
that exceeds good engineering practice emitting activities included in Major
or by any other dispersion technique, Group 13 that are located on one or
except as provided in § 51.118(b). Such more contiguous or adjacent prop-
procedures must provide that before a erties, and are under the control of the
State issues a permit to a source based same person (or persons under common
on a good engineering practice stack control). Pollutant emitting activities
height that exceeds the height allowed shall be considered adjacent if they are
by § 51.100(ii) (1) or (2), the State must located on the same surface site; or if
notify the public of the availability of they are located on surface sites that
the demonstration study and must pro- are located within 1⁄4 mile of one an-
vide opportunity for public hearing on other (measured from the center of the
it. This section does not require such equipment on the surface site) and
procedures to restrict in any manner they share equipment. Shared equip-
the actual stack height of any source. ment includes, but is not limited to,
produced fluids storage tanks, phase
§ 51.165 Permit requirements. separators, natural gas dehydrators or
(a) State Implementation Plan and emissions control devices. Surface site,
Tribal Implementation Plan provisions as used in this paragraph (a)(1)(ii)(B),
satisfying sections 172(c)(5) and 173 of has the same meaning as in 40 CFR
the Act shall meet the following condi- 63.761.
tions: (iii) Potential to emit means the max-
(1) All such plans shall use the spe- imum capacity of a stationary source
cific definitions. Deviations from the to emit a pollutant under its physical
following wording will be approved and operational design. Any physical
only if the State specifically dem- or operational limitation on the capac-
onstrates that the submitted definition ity of the source to emit a pollutant,
is more stringent, or at least as strin- including air pollution control equip-
gent, in all respects as the cor-
ment and restrictions on hours of oper-
responding definition below:
ation or on the type or amount of ma-
(i) Stationary source means any build-
terial combusted, stored, or processed,
ing, structure, facility, or installation
shall be treated as part of its design
which emits or may emit a regulated
NSR pollutant. only if the limitation or the effect it
(ii)(A) Building, structure, facility, or would have on emissions is federally
installation means all of the pollutant- enforceable. Secondary emissions do
emitting activities which belong to the not count in determining the potential
same industrial grouping, are located to emit of a stationary source.
on one or more contiguous or adjacent (iv)(A) Major stationary source means:
properties, and are under the control of (1) Any stationary source of air pol-
the same person (or persons under com- lutants that emits, or has the potential
mon control) except the activities of to emit, 100 tons per year or more of
any vessel. Pollutant emitting activi- any regulated NSR pollutant (as de-
ties shall be considered as part of the fined in paragraph (a)(1)(xxxvii) of this
same industrial grouping if they belong section), except that lower emissions
to the same Major Group (i.e., which thresholds shall apply in areas subject
have the same two-digit code) as de- to subpart 2, subpart 3, or subpart 4 of
scribed in the Standard Industrial Clas- part D, title I of the Act, according to
231
§ 51.165 40 CFR Ch. I (7–1–21 Edition)
paragraphs (a)(1)(iv)(A)(1)(i) through that is located in an ozone transport

(viii) of this section. region.
(i) 50 tons per year of Volatile or- (iv) 50 tons per year or more of nitro-
ganic compounds in any serious ozone gen oxides in any serious nonattain-
nonattainment area. ment area for ozone.
(ii) 50 tons per year of Volatile or- (v) 25 tons per year or more of nitro-
ganic compounds in an area within an gen oxides in any severe nonattain-
ozone transport region, except for any ment area for ozone.
severe or extreme ozone nonattainment (vi) 10 tons per year or more of nitro-
area. gen oxides in any extreme nonattain-
(iii) 25 tons per year of Volatile or- ment area for ozone; or
ganic compounds in any severe ozone (3) Any physical change that would
nonattainment area. occur at a stationary source not quali-
(iv) 10 tons per year of Volatile or- fying under paragraphs (a)(1)(iv)(A)(1)
ganic compounds in any extreme ozone or (2) of this section as a major sta-
nonattainment area. tionary source, if the change would
(v) 50 tons per year of Carbon mon- constitute a major stationary source
oxide in any serious nonattainment by itself.
area for carbon monoxide, where sta- (B) A major stationary source that is
tionary sources contribute signifi- major for volatile organic compounds
cantly to Carbon monoxide levels in shall be considered major for ozone
the area (as determined under rules (C) The fugitive emissions of a sta-
issued by the Administrator). tionary source shall not be included in
(vi) 70 tons per year of PM10 in any determining for any of the purposes of
serious nonattainment area for PM10. this paragraph whether it is a major
(vii) 70 tons per year of PM2.5 in any stationary source, unless the source be-
serious nonattainment area for PM2.5. longs to one of the following categories
(viii) 70 tons per year of any indi- of stationary sources:
vidual precursor for PM2.5 (as defined in (1) Coal cleaning plants (with ther-
paragraph (a)(1)(xxxvii) of this sec- mal dryers);
tion), in any serious nonattainment (2) Kraft pulp mills;
area for PM2.5. (3) Portland cement plants;
(2) For the purposes of applying the (4) Primary zinc smelters;
requirements of paragraph (a)(8) of this (5) Iron and steel mills;
section to stationary sources of nitro- (6) Primary aluminum ore reduction
gen oxides located in an ozone non- plants;
attainment area or in an ozone trans- (7) Primary copper smelters;
port region, any stationary source (8) Municipal incinerators capable of
which emits, or has the potential to charging more than 250 tons of refuse
emit, 100 tons per year or more of ni- per day;
trogen oxides emissions, except that (9) Hydrofluoric, sulfuric, or nitric
the emission thresholds in paragraphs acid plants;
(a)(1)(iv)(A)(2)(i) through (vi) of this (10) Petroleum refineries;
section shall apply in areas subject to (11) Lime plants;
subpart 2 of part D, title I of the Act. (12) Phosphate rock processing
(i) 100 tons per year or more of nitro- plants;
gen oxides in any ozone nonattainment (13) Coke oven batteries;
area classified as marginal or mod- (14) Sulfur recovery plants;
erate. (15) Carbon black plants (furnace
(ii) 100 tons per year or more of nitro- process);
gen oxides in any ozone nonattainment (16) Primary lead smelters;
area classified as a transitional, sub- (17) Fuel conversion plants;
marginal, or incomplete or no data (18) Sintering plants;
area, when such area is located in an (19) Secondary metal production
ozone transport region. plants;
(iii) 100 tons per year or more of ni- (20) Chemical process plants—The
trogen oxides in any area designated term chemical processing plant shall
under section 107(d) of the Act as at- not include ethanol production facili-
tainment or unclassifiable for ozone ties that produce ethanol by natural
232
fermentation included in NAICS codes (2) Use of an alternative fuel or raw

325193 or 312140; material by reason of an order under
(21) Fossil-fuel boilers (or combina- sections 2 (a) and (b) of the Energy
tion thereof) totaling more than 250 Supply and Environmental Coordina-
million British thermal units per hour tion Act of 1974 (or any superseding
heat input; legislation) or by reason of a natural
(22) Petroleum storage and transfer gas curtailment plan pursuant to the
units with a total storage capacity ex- Federal Power Act;
ceeding 300,000 barrels; (3) Use of an alternative fuel by rea-
(23) Taconite ore processing plants; son of an order or rule section 125 of
(24) Glass fiber processing plants; the Act;
(25) Charcoal production plants; (4) Use of an alternative fuel at a
(26) Fossil fuel-fired steam electric steam generating unit to the extent
plants of more than 250 million British that the fuel is generated from munic-
thermal units per hour heat input; and ipal solid waste;
(5) Use of an alternative fuel or raw
(27) Any other stationary source cat-
material by a stationary source which;
egory which, as of August 7, 1980, is
being regulated under section 111 or 112 (i) The source was capable of accom-
of the Act. modating before December 21, 1976, un-
less such change would be prohibited
(v)(A) Major modification means any
under any federally enforceable permit
physical change in or change in the
condition which was established after
method of operation of a major sta-
December 12, 1976 pursuant to 40 CFR
tionary source that would result in:
52.21 or under regulations approved
(1) A significant emissions increase pursuant to 40 CFR subpart I or § 51.166,
of a regulated NSR pollutant (as de- or
fined in paragraph (a)(1)(xxxvii) of this
(ii) The source is approved to use
section); and
under any permit issued under regula-
(2) A significant net emissions in- tions approved pursuant to this sec-
crease of that pollutant from the major tion;
stationary source.
(6) An increase in the hours of oper-
(B) Any significant emissions in- ation or in the production rate, unless
crease (as defined in paragraph such change is prohibited under any
(a)(1)(xxvii) of this section) from any federally enforceable permit condition
emissions units or net emissions in- which was established after December
crease (as defined in paragraph 21, 1976 pursuant to 40 CFR 52.21 or reg-
(a)(1)(vi) of this section) at a major sta- ulations approved pursuant to 40 CFR
tionary source that is significant for part 51 subpart I or 40 CFR 51.166.
volatile organic compounds shall be (7) Any change in ownership at a sta-
considered significant for ozone. tionary source.
(C) A physical change or change in (8) [Reserved]
the method of operation shall not in-
(9) The installation, operation, ces-
clude:
sation, or removal of a temporary
(1) Routine maintenance, repair and clean coal technology demonstration
replacement. Routine maintenance, re- project, provided that the project com-
pair and replacement shall include, but plies with:
not be limited to, any activity(s) that
(i) The State Implementation Plan
meets the requirements of the equip-
for the State in which the project is lo-
ment replacement provisions contained
cated, and
in paragraph (h) of this section;
(ii) Other requirements necessary to
NOTE TO PARAGRAPH (a)(1)(v)(C)(1): On De- attain and maintain the national ambi-
cember 24, 2003, the second sentence of this ent air quality standard during the
paragraph (a)(1)(v)(C)(1) is stayed indefi- project and after it is terminated.
nitely by court order. The stayed provisions
(D) This definition shall not apply
will become effective immediately if the
court terminates the stay. At that time, with respect to a particular regulated
EPA will publish a document in the FEDERAL NSR pollutant when the major sta-
REGISTER advising the public of the termi- tionary source is complying with the
nation of the stay. requirements under paragraph (f) of
233
§ 51.165 40 CFR Ch. I (7–1–21 Edition)
this section for a PAL for that pollut- paragraphs (a)(1)(xxxv)(A)(3) and
ant. Instead, the definition at para- (a)(1)(xxxv)(B)(4) of this section shall
graph (f)(2)(viii) of this section shall not apply.
apply. (B) An increase or decrease in actual
(E) For the purpose of applying the emissions is contemporaneous with the
requirements of (a)(8) of this section to increase from the particular change
modifications at major stationary only if it occurs before the date that
sources of nitrogen oxides located in the increase from the particular
ozone nonattainment areas or in ozone change occurs;
transport regions, whether or not sub- (C) An increase or decrease in actual
ject to subpart 2, part D, title I of the emissions is creditable only if:
Act, any significant net emissions in-
(1) It occurs within a reasonable pe-
crease of nitrogen oxides is considered
riod to be specified by the reviewing
significant for ozone.
(F) Any physical change in, or authority; and
change in the method of operation of, a (2) The reviewing authority has not
major stationary source of volatile or- relied on it in issuing a permit for the
ganic compounds that results in any source under regulations approved pur-
increase in emissions of volatile or- suant to this section, which permit is
ganic compounds from any discrete op- in effect when the increase in actual
eration, emissions unit, or other pol- emissions from the particular change
lutant emitting activity at the source occurs; and
shall be considered a significant net (3) As it pertains to an increase or de-
emissions increase and a major modi- crease in fugitive emissions (to the ex-
fication for ozone, if the major sta- tent quantifiable), it occurs at an emis-
tionary source is located in an extreme sions unit that is part of one of the
ozone nonattainment area that is sub- source categories listed in paragraph
ject to subpart 2, part D, title I of the (a)(1)(iv)(C) of this section or it occurs
Act. at an emissions unit that is located at
(G) Fugitive emissions shall not be a major stationary source that belongs
included in determining for any of the to one of the listed source categories.
purposes of this section whether a Fugitive emission increases or de-
physical change in or change in the creases are not creditable for those
method of operation of a major sta- emissions units located at a facility
tionary source is a major modification, whose primary activity is not rep-
unless the source belongs to one of the resented by one of the source cat-
source categories listed in paragraph egories listed in paragraph (a)(1)(iv)(C)
(a)(1)(iv)(C) of this section. of this section and that are not, by
(vi)(A) Net emissions increase means, themselves, part of a listed source cat-
with respect to any regulated NSR pol- egory.
lutant emitted by a major stationary (D) An increase in actual emissions is
source, the amount by which the sum creditable only to the extent that the
of the following exceeds zero: new level of actual emissions exceeds
(1) The increase in emissions from a the old level.
particular physical change or change in
(E) A decrease in actual emissions is
the method of operation at a sta-
creditable only to the extent that:
tionary source as calculated pursuant
to paragraph (a)(2)(ii) of this section; (1) The old level of actual emission or
and the old level of allowable emissions
(2) Any other increases and decreases whichever is lower, exceeds the new
in actual emissions at the major sta- level of actual emissions;
tionary source that are contempora- (2) It is enforceable as a practical
neous with the particular change and matter at and after the time that ac-
are otherwise creditable. Baseline actual construction on the particular
tual emissions for calculating in- change begins; and
creases and decreases under this para- (3) The reviewing authority has not
graph (a)(1)(vi)(A)(2) shall be deter- relied on it in issuing any permit under
mined as provided in paragraph regulations approved pursuant to 40
(a)(1)(xxxv) of this section, except that CFR part 51 subpart I or the State has
234
not relied on it in demonstrating at- stationary source of major modifica-

tainment or reasonable further tion. Secondary emissions do not in-
progress; clude any emissions which come di-
(4) It has approximately the same rectly from a mobile source such as
qualitative significance for public emissions from the tailpipe of a motor
health and welfare as that attributed vehicle, from a train, or from a vessel.
to the increase from the particular (ix) Fugitive emissions means those
change; and emissions which could not reasonably
(F) An increase that results from a pass through a stack, chimney, vent or
physical change at a source occurs other functionally equivalent opening.
when the emissions unit on which con- (x)(A) Significant means, in reference
struction occurred becomes oper- to a net emissions increase or the po-
ational and begins to emit a particular tential of a source to emit any of the
pollutant. Any replacement unit that following pollutants, a rate of emis-
requires shakedown becomes oper- sions that would equal or exceed any of
ational only after a reasonable shake- the following rates:
down period, not to exceed 180 days.
(G) Paragraph (a)(1)(xii)(B) of this POLLUTANT EMISSION RATE
section shall not apply for determining Carbon monoxide: 100 tons per year (tpy)
creditable increases and decreases or Nitrogen oxides: 40 tpy
after a change. Sulfur dioxide: 40 tpy
(vii) Emissions unit means any part of Ozone: 40 tpy of Volatile organic compounds
a stationary source that emits or or Nitrogen oxides
would have the potential to emit any Lead: 0.6 tpy
regulated NSR pollutant and includes PM10: 15 tpy
an electric steam generating unit as PM2.5: 10 tpy of direct PM2.5 emissions; 40 tpy
defined in paragraph (a)(1)(xx) of this of Sulfur dioxide emissions, 40 tpy of Nitro-
section. For purposes of this section, gen oxide emissions, or 40 tpy of VOC emis-
sions, to the extent that any such pollut-
there are two types of emissions units
ant is defined as a precursor for PM2.5 in
as described in paragraphs (a)(1)(vii)(A) paragraph (a)(1)(xxxvii) of this section.
and (B) of this section.
(A) A new emissions unit is any emis- (B) Notwithstanding the significant
sions unit which is (or will be) newly emissions rate for ozone in paragraph
constructed and which has existed for (a)(1)(x)(A) of this section, significant
less than 2 years from the date such means, in reference to an emissions in-
emissions unit first operated. crease or a net emissions increase, any
(B) An existing emissions unit is any increase in actual emissions of volatile
emissions unit that does not meet the organic compounds that would result
requirements in paragraph (a)(1)(vii)(A) from any physical change in, or change
of this section. A replacement unit, as in the method of operation of, a major
defined in paragraph (a)(1)(xxi) of this stationary source locating in a serious
section, is an existing emissions unit. or severe ozone nonattainment area
(viii) Secondary emissons means emis- that is subject to subpart 2, part D,
sions which would occur as a result of title I of the Act, if such emissions in-
the construction or operation of a crease of volatile organic compounds
major stationary source or major exceeds 25 tons per year.
modification, but do not come from the (C) For the purposes of applying the
major stationary source or major requirements of paragraph (a)(8) of this
modification itself. For the purpose of section to modifications at major sta-
this section, secondary emissions must tionary sources of nitrogen oxides lo-
be specific, well defined, quantifiable, cated in an ozone nonattainment area
and impact the same general area as or in an ozone transport region, the
the stationary source or modification significant emission rates and other re-
which causes the secondary emissions. quirements for volatile organic com-
Secondary emissions include emissions pounds in paragraphs (a)(1)(x)(A), (B),
from any offsite support facility which and (E) of this section shall apply to
would not be constructed or increase nitrogen oxides emissions.
its emissions except as a result of the (D) Notwithstanding the significant
construction of operation of the major emissions rate for carbon monoxide
235
§ 51.165 40 CFR Ch. I (7–1–21 Edition)
under paragraph (a)(1)(x)(A) of this sec- including those with a future compli-
tion, significant means, in reference to ance date.
an emissions increase or a net emis- (xii)(A) Actual emissions means the ac-
sions increase, any increase in actual tual rate of emissions of a regulated
emissions of carbon monoxide that NSR pollutant from an emissions unit,
would result from any physical change as determined in accordance with para-
in, or change in the method of oper- graphs (a)(1)(xii)(B) through (D) of this
ation of, a major stationary source in a section, except that this definition
serious nonattainment area for carbon shall not apply for calculating whether
monoxide if such increase equals or ex- a significant emissions increase has oc-
ceeds 50 tons per year, provided the Ad- curred, or for establishing a PAL under
ministrator has determined that sta- paragraph (f) of this section. Instead,
tionary sources contribute signifi- paragraphs (a)(1)(xxviii) and (xxxv) of
cantly to carbon monoxide levels in this section shall apply for those pur-
that area. poses.
(E) Notwithstanding the significant (B) In general, actual emissions as of
emissions rates for ozone under para- a particular date shall equal the aver-
graphs (a)(1)(x)(A) and (B) of this sec- age rate, in tons per year, at which the
tion, any increase in actual emissions unit actually emitted the pollutant
of volatile organic compounds from during a consecutive 24-month period
any emissions unit at a major sta- which precedes the particular date and
tionary source of volatile organic com- which is representative of normal
pounds located in an extreme ozone source operation. The reviewing au-
nonattainment area that is subject to thority shall allow the use of a dif-
subpart 2, part D, title I of the Act ferent time period upon a determina-
shall be considered a significant net tion that it is more representative of
emissions increase. normal source operation. Actual emis-
sions shall be calculated using the
(F) For the purposes of applying the
unit’s actual operating hours, produc-
requirements of paragraph (a)(13) of
tion rates, and types of materials proc-
this section to modifications at exist-
essed, stored, or combusted during the
ing major stationary sources of Ammo-
selected time period.
nia located in a PM2.5 nonattainment
(C) The reviewing authority may pre-
area, if the plan requires that the con-
sume that source-specific allowable
trol requirements of this section apply
emissions for the unit are equivalent to
to major stationary sources and major
the actual emissions of the unit.
modifications of Ammonia as a regu-
(D) For any emissions unit that has
lated NSR pollutant (as a PM2.5 pre- not begun normal operations on the
cursor), the plan shall also define ‘‘sig- particular date, actual emissions shall
nificant’’ for Ammonia for that area, equal the potential to emit of the unit
subject to the approval of the Adminis- on that date.
trator. (xiii) Lowest achievable emission rate
(xi) Allowable emissions means the (LAER) means, for any source, the
emissions rate of a stationary source more stringent rate of emissions based
calculated using the maximum rated on the following:
capacity of the source (unless the (A) The most stringent emissions
source is subject to federally enforce- limitation which is contained in the
able limits which restrict the operating implementation plan of any State for
rate, or hours of operation, or both) such class or category of stationary
and the most stringent of the fol- source, unless the owner or operator of
lowing: the proposed stationary source dem-
(A) The applicable standards set onstrates that such limitations are not
forth in 40 CFR part 60 or 61; achievable; or
(B) Any applicable State Implemen- (B) The most stringent emissions
tation Plan emissions limitation in- limitation which is achieved in prac-
cluding those with a future compliance tice by such class or category of sta-
date; or tionary sources. This limitation, when
(C) The emissions rate specified as a applied to a modification, means the
federally enforceable permit condition, lowest achievable emissions rate for
236
the new or modified emissions units and regulations which are part of the
within or stationary source. In no applicable State Implementation Plan.
event shall the application of the term (xviii) Construction means any phys-
permit a proposed new or modified sta- ical change or change in the method of
tionary source to emit any pollutant in operation (including fabrication, erec-
excess of the amount allowable under tion, installation, demolition, or modi-
an applicable new source standard of fication of an emissions unit) that
performance. would result in a change in emissions.
(xiv) Federally enforceable means all (xix) Volatile organic compounds (VOC)
limitations and conditions which are is as defined in § 51.100(s) of this part.
enforceable by the Administrator, in- (xx) Electric utility steam generating
cluding those requirements developed unit means any steam electric gener-
pursuant to 40 CFR parts 60 and 61, re- ating unit that is constructed for the
quirements within any applicable State purpose of supplying more than one-
implementation plan, any permit re- third of its potential electric output
quirements established pursuant to 40 capacity and more than 25 MW elec-
CFR 52.21 or under regulations ap- trical output to any utility power dis-
proved pursuant to 40 CFR part 51, sub- tribution system for sale. Any steam
part I, including operating permits supplied to a steam distribution sys-
issued under an EPA-approved program tem for the purpose of providing steam
that is incorporated into the State im- to a steam-electric generator that
plementation plan and expressly re- would produce electrical energy for
quires adherence to any permit issued sale is also considered in determining
under such program. the electrical energy output capacity
(xv) Begin actual construction means of the affected facility.
in general, initiation of physical on- (xxi) Replacement unit means an emis-
site construction activities on an emissions unit for which all the criteria
sions unit which are of a permanent listed in paragraphs (a)(1)(xxi)(A)
nature. Such activities include, but are through (D) of this section are met. No
not limited to, installation of building creditable emission reductions shall be
supports and foundations, laying of un- generated from shutting down the ex-
derground pipework, and construction isting emissions unit that is replaced.
of permanent storage structures. With (A) The emissions unit is a recon-
respect to a change in method of oper- structed unit within the meaning of
ating this term refers to those on-site § 60.15(b)(1) of this chapter, or the emis-
activities other than preparatory ac- sions unit completely takes the place
tivities which mark the initiation of of an existing emissions unit.
the change. (B) The emissions unit is identical to
(xvi) Commence as applied to con- or functionally equivalent to the re-
struction of a major stationary source placed emissions unit.
or major modification means that the (C) The replacement does not alter
owner or operator has all necessary the basic design parameters (as dis-
preconstruction approvals or permits cussed in paragraph (h)(2) of this sec-
and either has: tion) of the process unit.
(A) Begun, or caused to begin, a con- (D) The replaced emissions unit is
tinuous program of actual on-site con- permanently removed from the major
struction of the source, to be com- stationary source, otherwise perma-
pleted within a reasonable time; or nently disabled, or permanently barred
(B) Entered into binding agreements from operation by a permit that is en-
or contractual obligations, which can- forceable as a practical matter. If the
not be canceled or modified without replaced emissions unit is brought
substantial loss to the owner or oper- back into operation, it shall constitute
ator, to undertake a program of actual a new emissions unit.
construction of the source to be com- (xxii) Temporary clean coal technology
pleted within a reasonable time. demonstration project means a clean
(xvii) Necessary preconstruction ap- coal technology demonstration project
provals or permits means those Federal that is operated for a period of 5 years
air quality control laws and regula- or less, and which complies with the
tions and those air quality control laws State Implementation Plan for the
237
§ 51.165 40 CFR Ch. I (7–1–21 Edition)
State in which the project is located tential to emit of that regulated NSR
and other requirements necessary to pollutant and full utilization of the
attain and maintain the national ambi- unit would result in a significant emis-
ent air quality standards during the sions increase or a significant net
project and after it is terminated. emissions increase at the major sta-
(xxiii) Clean coal technology means tionary source.
any technology, including technologies (B) In determining the projected ac-
applied at the precombustion, combus- tual emissions under paragraph
tion, or post combustion stage, at a (a)(1)(xxviii)(A) of this section before
new or existing facility which will beginning actual construction, the
achieve significant reductions in air owner or operator of the major sta-
emissions of sulfur dioxide or oxides of tionary source:
nitrogen associated with the utiliza-
(1) Shall consider all relevant infor-
tion of coal in the generation of elec-
mation, including but not limited to,
tricity, or process steam which was not
in widespread use as of November 15, historical operational data, the com-
1990. pany’s own representations, the com-
(xxiv) Clean coal technology dem- pany’s expected business activity and
onstration project means a project using the company’s highest projections of
funds appropriated under the heading business activity, the company’s filings
‘‘Department of Energy-Clean Coal with the State or Federal regulatory
Technology,’’ up to a total amount of authorities, and compliance plans
$2,500,000,000 for commercial dem- under the approved plan; and
onstration of clean coal technology, or (2) Shall include fugitive emissions
similar projects funded through appro- to the extent quantifiable, and emis-
priations for the Environmental Pro- sions associated with startups, shut-
tection Agency. The Federal contribu- downs, and malfunctions; and
tion for a qualifying project shall be at (3) Shall exclude, in calculating any
least 20 percent of the total cost of the increase in emissions that results from
demonstration project. the particular project, that portion of
(xxv) [Reserved] the unit’s emissions following the
(xxvi) Pollution prevention means any project that an existing unit could
activity that through process changes, have accommodated during the con-
product reformulation or redesign, or secutive 24-month period used to estab-
substitution of less polluting raw ma- lish the baseline actual emissions
terials, eliminates or reduces the re- under paragraph (a)(1)(xxxv) of this
lease of air pollutants (including fugi- section and that are also unrelated to
tive emissions) and other pollutants to the particular project, including any
the environment prior to recycling, increased utilization due to product de-
treatment, or disposal; it does not mand growth; or,
mean recycling (other than certain
(4) In lieu of using the method set out
‘‘in-process recycling’’ practices), en-
in paragraphs (a)(1)(xxviii)(B)(1)
ergy recovery, treatment, or disposal.
through (3) of this section, may elect
(xxvii) Significant emissions increase
to use the emissions unit’s potential to
means, for a regulated NSR pollutant,
an increase in emissions that is signifi- emit, in tons per year, as defined under
cant (as defined in paragraph (a)(1)(x) paragraph (a)(1)(iii) of this section.
of this section) for that pollutant. (xxix) [Reserved]
(xxviii)(A) Projected actual emissions (xxx) Nonattainment major new source
means, the maximum annual rate, in review (NSR) program means a major
tons per year, at which an existing source preconstruction permit program
emissions unit is projected to emit a that has been approved by the Admin-
regulated NSR pollutant in any one of istrator and incorporated into the plan
the 5 years (12-month period) following to implement the requirements of this
the date the unit resumes regular oper- section, or a program that implements
ation after the project, or in any one of part 51, appendix S, Sections I through
the 10 years following that date, if the VI of this chapter. Any permit issued
project involves increasing the emis- under such a program is a major NSR
sions unit’s design capacity or its po- permit.
238
(xxxi) Continuous emissions monitoring (1) The average rate shall include fu-
system (CEMS) means all of the equip- gitive emissions to the extent quantifi-
ment that may be required to meet the able, and emissions associated with
data acquisition and availability re- startups, shutdowns, and malfunctions.
quirements of this section, to sample, (2) The average rate shall be adjusted
condition (if applicable), analyze, and downward to exclude any non-compli-
provide a record of emissions on a con- ant emissions that occurred while the
tinuous basis. source was operating above any emis-
(xxxii) Predictive emissions monitoring sion limitation that was legally en-
system (PEMS) means all of the equip- forceable during the consecutive 24-
ment necessary to monitor process and month period.
control device operational parameters (3) For a regulated NSR pollutant,
(for example, control device secondary when a project involves multiple emis-
voltages and electric currents) and sions units, only one consecutive 24-
other information (for example, gas month period must be used to deter-
flow rate, O2 or CO2 concentrations), mine the baseline actual emissions for
and calculate and record the mass the emissions units being changed. A
emissions rate (for example, lb/hr) on a different consecutive 24-month period
continuous basis. can be used for each regulated NSR
(xxxiii) Continuous parameter moni- pollutant.
toring system (CPMS) means all of the (4) The average rate shall not be
equipment necessary to meet the data based on any consecutive 24-month pe-
acquisition and availability require- riod for which there is inadequate in-
ments of this section, to monitor proc- formation for determining annual
ess and control device operational pa- emissions, in tons per year, and for ad-
rameters (for example, control device justing this amount if required by
secondary voltages and electric cur- paragraph (a)(1)(xxxv)(A)(2) of this sec-
rents) and other information (for exam- tion.
ple, gas flow rate, O2 or CO2 concentra- (B) For an existing emissions unit
tions), and to record average oper- (other than an electric utility steam
ational parameter value(s) on a contin- generating unit), baseline actual emis-
uous basis. sions means the average rate, in tons
(xxxiv) Continuous emissions rate moni- per year, at which the emissions unit
toring system (CERMS) means the total actually emitted the pollutant during
equipment required for the determina- any consecutive 24-month period se-
tion and recording of the pollutant lected by the owner or operator within
mass emissions rate (in terms of mass the 10-year period immediately pre-
per unit of time). ceding either the date the owner or op-
(xxxv) Baseline actual emissions means erator begins actual construction of
the rate of emissions, in tons per year, the project, or the date a complete per-
of a regulated NSR pollutant, as deter- mit application is received by the re-
mined in accordance with paragraphs viewing authority for a permit required
(a)(1)(xxxv)(A) through (D) of this sec- either under this section or under a
tion. plan approved by the Administrator,
(A) For any existing electric utility whichever is earlier, except that the 10-
steam generating unit, baseline actual year period shall not include any pe-
emissions means the average rate, in riod earlier than November 15, 1990.
tons per year, at which the unit actu- (1) The average rate shall include fu-
ally emitted the pollutant during any gitive emissions to the extent quantifi-
consecutive 24-month period selected able, and emissions associated with
by the owner or operator within the 5- startups, shutdowns, and malfunctions.
year period immediately preceding (2) The average rate shall be adjusted
when the owner or operator begins ac- downward to exclude any non-compli-
tual construction of the project. The ant emissions that occurred while the
reviewing authority shall allow the use source was operating above an emis-
of a different time period upon a deter- sion limitation that was legally en-
mination that it is more representative forceable during the consecutive 24-
of normal source operation. month period.
239
§ 51.165 40 CFR Ch. I (7–1–21 Edition)
(3) The average rate shall be adjusted (xxxvii) Regulated NSR pollutant, for
downward to exclude any emissions purposes of this section, means the fol-
that would have exceeded an emission lowing:
limitation with which the major sta- (A) Nitrogen oxides or any volatile
tionary source must currently comply, organic compounds;
had such major stationary source been (B) Any pollutant for which a na-
required to comply with such limita- tional ambient air quality standard has
tions during the consecutive 24-month been promulgated;
period. However, if an emission limita- (C) Any pollutant that is identified
tion is part of a maximum achievable under this paragraph (a)(1)(xxxvii)(C)
control technology standard that the as a constituent or precursor of a gen-
Administrator proposed or promul- eral pollutant listed under paragraph
gated under part 63 of this chapter, the (a)(1)(xxxvii)(A) or (B) of this section,
baseline actual emissions need only be provided that such constituent or pre-
adjusted if the State has taken credit cursor pollutant may only be regulated
for such emissions reductions in an at- under NSR as part of regulation of the
tainment demonstration or mainte- general pollutant. Precursors identi-
nance plan consistent with the require- fied by the Administrator for purposes
ments of paragraph (a)(3)(ii)(G) of this of NSR are the following:
section. (1) Volatile organic compounds and
(4) For a regulated NSR pollutant, nitrogen oxides are precursors to ozone
when a project involves multiple emis- in all ozone nonattainment areas.
sions units, only one consecutive 24- (2) Sulfur dioxide, Nitrogen oxides,
month period must be used to deter- Volatile organic compounds and Am-
mine the baseline actual emissions for monia are precursors to PM2.5 in any
the emissions units being changed. A PM2.5 nonattainment area.
different consecutive 24-month period (D) PM2.5 emissions and PM10 emis-
can be used For each regulated NSR sions shall include gaseous emissions
pollutant. from a source or activity which con-
(5) The average rate shall not be dense to form particulate matter at
based on any consecutive 24-month pe- ambient temperatures. On or after Jan-
riod for which there is inadequate in- uary 1, 2011 (or any earlier date estab-
formation for determining annual lished in the upcoming rulemaking
emissions, in tons per year, and for ad- codifying test methods), such conden-
justing this amount if required by sable particulate matter shall be ac-
paragraphs (a)(1)(xxxv)(B)(2) and (3) of counted for in applicability determina-
this section. tions and in establishing emissions
(C) For a new emissions unit, the limitations for PM2.5 and PM10 in non-
baseline actual emissions for purposes attainment major NSR permits. Com-
of determining the emissions increase pliance with emissions limitations for
that will result from the initial con- PM2.5 and PM10 issued prior to this date
struction and operation of such unit shall not be based on condensable par-
shall equal zero; and thereafter, for all ticulate matter unless required by the
other purposes, shall equal the unit’s terms and conditions of the permit or
potential to emit. the applicable implementation plan.
(D) For a PAL for a major stationary Applicability determinations made
source, the baseline actual emissions prior to this date without accounting
shall be calculated for existing electric for condensable particulate matter
utility steam generating units in ac- shall not be considered in violation of
cordance with the procedures con- this section unless the applicable im-
tained in paragraph (a)(1)(xxxv)(A) of plementation plan required conden-
this section, for other existing emis- sable particulate matter to be in-
sions units in accordance with the pro- cluded.
cedures contained in paragraph (xxxviii) Reviewing authority means
(a)(1)(xxxv)(B) of this section, and for a the State air pollution control agency,
new emissions unit in accordance with local agency, other State agency, In-
the procedures contained in paragraph dian tribe, or other agency authorized
(a)(1)(xxxv)(C) of this section. by the Administrator to carry out a
(xxxvi) [Reserved] permit program under this section and
240
§ 51.166, or the Administrator in the States, the Secretary of the depart-

case of EPA-implemented permit pro- ment with authority over such lands.
grams under § 52.21. (xliii)(A) In general, process unit
(xxxix) Project means a physical means any collection of structures and/
change in, or change in the method of or equipment that processes, assem-
operation of, an existing major sta- bles, applies, blends, or otherwise uses
tionary source. material inputs to produce or store an
(xl) Best available control technology intermediate or a completed product. A
(BACT) means an emissions limitation single stationary source may contain
(including a visible emissions standard) more than one process unit, and a proc-
based on the maximum degree of reduc- ess unit may contain more than one
tion for each regulated NSR pollutant emissions unit.
which would be emitted from any pro- (B) Pollution control equipment is
posed major stationary source or major not part of the process unit, unless it
modification which the reviewing au- serves a dual function as both process
thority, on a case-by-case basis, taking and control equipment. Administrative
into account energy, environmental, and warehousing facilities are not part
and economic impacts and other costs, of the process unit.
determines is achievable for such (C) For replacement cost purposes,
source or modification through appli- components shared between two or
cation of production processes or avail- more process units are proportionately
able methods, systems, and techniques, allocated based on capacity.
including fuel cleaning or treatment or
(D) The following list identifies the
innovative fuel combustion techniques
process units at specific categories of
for control of such pollutant. In no
stationary sources.
event shall application of best avail-
able control technology result in emis- (1) For a steam electric generating
sions of any pollutant which would ex- facility, the process unit consists of
ceed the emissions allowed by any ap- those portions of the plant that con-
plicable standard under 40 CFR part 60 tribute directly to the production of
or 61. If the reviewing authority deter- electricity. For example, at a pulver-
mines that technological or economic ized coal-fired facility, the process unit
limitations on the application of meas- would generally be the combination of
urement methodology to a particular those systems from the coal receiving
emissions unit would make the imposi- equipment through the emission stack
tion of an emissions standard infeasi- (excluding post-combustion pollution
ble, a design, equipment, work prac- controls), including the coal handling
tice, operational standard, or combina- equipment, pulverizers or coal
tion thereof, may be prescribed instead crushers, feedwater heaters, ash han-
to satisfy the requirement for the ap- dling, boiler, burners, turbine-gener-
plication of BACT. Such standard ator set, condenser, cooling tower,
shall, to the degree possible, set forth water treatment system, air
the emissions reduction achievable by preheaters, and operating control sys-
implementation of such design, equip- tems. Each separate generating unit is
ment, work practice or operation, and a separate process unit.
shall provide for compliance by means (2) For a petroleum refinery, there
which achieve equivalent results. are several categories of process units:
(xli) Prevention of Significant Deterio- those that separate and/or distill petro-
ration (PSD) permit means any permit leum feedstocks; those that change mo-
that is issued under a major source lecular structures; petroleum treating
preconstruction permit program that processes; auxiliary facilities, such as
has been approved by the Adminis- steam generators and hydrogen produc-
trator and incorporated into the plan tion units; and those that load, unload,
to implement the requirements of blend or store intermediate or com-
§ 51.166 of this chapter, or under the pleted products.
program in § 52.21 of this chapter. (3) For an incinerator, the process
(xlii) Federal Land Manager means, unit would consist of components from
with respect to any lands in the United the feed pit or refuse pit to the stack,
241
§ 51.165 40 CFR Ch. I (7–1–21 Edition)
including conveyors, combustion de- if the court terminates the stay. At that
vices, heat exchangers and steam gen- time, EPA will publish a document in the
erators, quench tanks, and fans. FEDERAL REGISTER advising the public of the
termination of the stay.
NOTE TO PARAGRAPH (a)(1)(xliii): By a court
order on December 24, 2003, this paragraph (2) Applicability procedures. (i) Each
(a)(1)(xliii) is stayed indefinitely. The stayed plan shall adopt a preconstruction re-
provisions will become effective immediately view program to satisfy the require-
if the court terminates the stay. At that ments of sections 172(c)(5) and 173 of
time, EPA will publish a document in the
FEDERAL REGISTER advising the public of the the Act for any area designated non-
termination of the stay. attainment for any national ambient
air quality standard under subpart C of
(xliv) Functionally equivalent compo-
40 CFR part 81. Such a program shall
nent means a component that serves
apply to any new major stationary
the same purpose as the replaced com-
ponent. source or major modification that is
major for the pollutant for which the
NOTE TO PARAGRAPH (a)(1)(xliv): By a court area is designated nonattainment
order on December 24, 2003, this paragraph under section 107(d)(1)(A)(i) of the Act,
(a)(1)(xliv) is stayed indefinitely. The stayed
provisions will become effective immediately if the stationary source or modifica-
if the court terminates the stay. At that tion would locate anywhere in the des-
time, EPA will publish a document in the ignated nonattainment area. Different
FEDERAL REGISTER advising the public of the pollutants, including individual precur-
termination of the stay. sors, are not summed to determine ap-
(xlv) Fixed capital cost means the cap- plicability of a major stationary source
ital needed to provide all the depre- or major modification.
ciable components. ‘‘Depreciable com- (ii) Each plan shall use the specific
ponents’’ refers to all components of provisions of paragraphs (a)(2)(ii)(A)
fixed capital cost and is calculated by through (F) of this section. Deviations
subtracting land and working capital from these provisions will be approved
from the total capital investment, as only if the State specifically dem-
defined in paragraph (a)(1)(xlvi) of this onstrates that the submitted provi-
section. sions are more stringent than or at
NOTE TO PARAGRAPH (a)(1)(xlv): By a court least as stringent in all respects as the
order on December 24, 2003, this paragraph corresponding provisions in paragraphs
(a)(1)(xlv) is stayed indefinitely. The stayed (a)(2)(ii)(A) through (F) of this section.
provisions will become effective immediately (A) Except as otherwise provided in
if the court terminates the stay. At that
time, EPA will publish a document in the paragraphs (a)(2)(iii) and (iv) of this
FEDERAL REGISTER advising the public of the section, and consistent with the defini-
termination of the stay. tion of major modification contained
in paragraph (a)(1)(v)(A) of this sec-
(xlvi) Total capital investment means
the sum of the following: All costs re- tion, a project is a major modification
quired to purchase needed process for a regulated NSR pollutant (as de-
equipment (purchased equipment fined in paragraph (a)(1)(xxxvii) of this
costs); the costs of labor and materials section) if it causes two types of emis-
for installing that equipment (direct sions increases—a significant emis-
installation costs); the costs of site sions increase (as defined in paragraph
preparation and buildings; other costs (a)(1)(xxvii) of this section), and a sig-
such as engineering, construction and nificant net emissions increase (as de-
field expenses, fees to contractors, fined in paragraphs (a)(1)(vi) and (x) of
startup and performance tests, and this section). The project is not a
contingencies (indirect installation major modification if it does not cause
costs); land for the process equipment; a significant emissions increase. If the
and working capital for the process project causes a significant emissions
equipment. increase, then the project is a major
modification only if it also results in a
NOTE TO PARAGRAPH (a)(1)(xlvi): By a court
order on December 24, 2003, this paragraph significant net emissions increase.
(a)(1)(xlvi) is stayed indefinitely. The stayed (B) The procedure for calculating (be-
provisions will become effective immediately fore beginning actual construction)
242
whether a significant emissions in- equals or exceeds the significant

crease (i.e., the first step of the proc- amount for that pollutant (as defined
ess) will occur depends upon the type of in paragraph (a)(1)(x) of this section).
emissions units being modified, accord- (G) The ‘‘sum of the difference’’ as
ing to paragraphs (a)(2)(ii)(C) through used in paragraphs (C), (D) and (F) of
(F) of this section. The procedure for this section shall include both in-
calculating (before beginning actual creases and decreases in emissions cal-
construction) whether a significant net culated in accordance with those para-
emissions increase will occur at the graphs.
major stationary source (i.e., the sec- (3)(i) Each plan shall provide that for
ond step of the process) is contained in sources and modifications subject to
the definition in paragraph (a)(1)(vi) of any preconstruction review program
this section. Regardless of any such adopted pursuant to this subsection
preconstruction projections, a major the baseline for determining credit for
modification results if the project emissions reductions is the emissions
causes a significant emissions increase limit under the applicable State Imple-
and a significant net emissions in- mentation Plan in effect at the time
crease. the application to construct is filed,
(C) Actual-to-projected-actual applica- except that the offset baseline shall be
bility test for projects that only involve the actual emissions of the source from
existing emissions units. A significant which offset credit is obtained where;
emissions increase of a regulated NSR (A) The demonstration of reasonable
pollutant is projected to occur if the further progress and attainment of am-
sum of the difference between the pro- bient air quality standards is based
jected actual emissions (as defined in upon the actual emissions of sources
paragraph (a)(1)(xxviii) of this section) located within a designated nonattain-
and the baseline actual emissions (as ment area for which the
defined in paragraphs (a)(1)(xxxv)(A) preconstruction review program was
and (B) of this section, as applicable), adopted; or
for each existing emissions unit, equals (B) The applicable State Implementa-
or exceeds the significant amount for tion Plan does not contain an emis-
that pollutant (as defined in paragraph sions limitation for that source or
(a)(1)(x) of this section). source category.
(D) Actual-to-potential test for projects (ii) The plan shall further provide
that only involve construction of a new that:
emissions unit(s). A significant emis- (A) Where the emissions limit under
sions increase of a regulated NSR pol- the applicable State Implementation
lutant is projected to occur if the sum Plan allows greater emissions than the
of the difference between the potential potential to emit of the source, emis-
to emit (as defined in paragraph sions offset credit will be allowed only
(a)(1)(iii) of this section) from each new for control below this potential;
emissions unit following completion of (B) For an existing fuel combustion
the project and the baseline actual source, credit shall be based on the al-
emissions (as defined in paragraph lowable emissions under the applicable
(a)(1)(xxxv)(C) of this section) of these State Implementation Plan for the
units before the project equals or ex- type of fuel being burned at the time
ceeds the significant amount for that the application to construct is filed. If
pollutant (as defined in paragraph the existing source commits to switch
(a)(1)(x) of this section). to a cleaner fuel at some future date,
(E) [Reserved] emissions offset credit based on the al-
(F) Hybrid test for projects that involve lowable (or actual) emissions for the
multiple types of emissions units. A sig- fuels involved is not acceptable, unless
nificant emissions increase of a regu- the permit is conditioned to require
lated NSR pollutant is projected to the use of a specified alternative con-
occur if the sum of the difference for trol measure which would achieve the
all emissions units, using the method same degree of emissions reduction
specified in paragraphs (a)(2)(ii)(C) should the source switch back to a
through (D) of this section as applica- dirtier fuel at some later date. The re-
ble with respect to each emissions unit, viewing authority should ensure that
243
§ 51.165 40 CFR Ch. I (7–1–21 Edition)
adequate long-term supplies of the new (E) All emission reductions claimed
fuel are available before granting emis- as offset credit shall be federally en-
sions offset credit for fuel switches, forceable;
(C)(1) Emissions reductions achieved (F) Procedures relating to the per-
by shutting down an existing emission missible location of offsetting emis-
unit or curtailing production or oper- sions shall be followed which are at
ating hours may be generally credited least as stringent as those set out in 40
for offsets if they meet the require- CFR part 51 appendix S section IV.D.
ments in paragraphs (a)(3)(ii)(C)(1)(i) (G) Credit for an emissions reduction
through (ii) of this section. can be claimed to the extent that the
reviewing authority has not relied on
(i) Such reductions are surplus, per-
it in issuing any permit under regula-
manent, quantifiable, and federally en-
tions approved pursuant to 40 CFR part
forceable.
51 subpart I or the State has not relied
(ii) The shutdown or curtailment oc- on it in demonstration attainment or
curred after the last day of the base reasonable further progress.
year for the SIP planning process. For (H) [Reserved]
purposes of this paragraph, a reviewing (I) [Reserved]
authority may choose to consider a (J) The total tonnage of increased
prior shutdown or curtailment to have emissions, in tons per year, resulting
occurred after the last day of the base from a major modification that must
year if the projected emissions inven- be offset in accordance with section 173
tory used to develop the attainment of the Act shall be determined by sum-
demonstration explicitly includes the ming the difference between the allow-
emissions from such previously shut- able emissions after the modification
down or curtailed emission units. How- (as defined by paragraph (a)(1)(xi) of
ever, in no event may credit be given this section) and the actual emissions
for shutdowns that occurred before Au- before the modification (as defined in
gust 7, 1977. paragraph (a)(1)(xii) of this section) for
(2) Emissions reductions achieved by each emissions unit.
shutting down an existing emissions (4) Each plan may provide that the
unit or curtailing production or oper- provisions of this paragraph do not
ating hours and that do not meet the apply to a source or modification that
requirements in paragraph would be a major stationary source or
(a)(3)(ii)(C)(1)(ii) of this section may be major modification only if fugitive
generally credited only if: emissions, to the extent quantifiable,
(i) The shutdown or curtailment oc- are considered in calculating the po-
curred on or after the date the con- tential to emit of the stationary source
or modification and the source does not
struction permit application is filed; or
belong to any of the following cat-
(ii) The applicant can establish that
egories:
the proposed new emissions unit is a (i) Coal cleaning plants (with ther-
replacement for the shutdown or cur- mal dryers);
tailed emissions unit, and the emis- (ii) Kraft pulp mills;
sions reductions achieved by the shut- (iii) Portland cement plants;
down or curtailment met the require- (iv) Primary zinc smelters;
ments of paragraph (a)(3)(ii)(C)(1)(i) of (v) Iron and steel mills;
this section. (vi) Primary aluminum ore reduction
(D) No emissions credit may be al- plants;
lowed for replacing one hydrocarbon (vii) Primary copper smelters;
compound with another of lesser reac- (viii) Municipal incinerators capable
tivity, except for those compounds list- of charging more than 250 tons of
ed in Table 1 of EPA’s ‘‘Recommended refuse per day;
Policy on Control of Volatile Organic (ix) Hydrofluoric, sulfuric, or citric
Compounds’’ (42 FR 35314, July 8, 1977; acid plants;
(This document is also available from (x) Petroleum refineries;
Mr. Ted Creekmore, Office of Air Qual- (xi) Lime plants;
ity Planning and Standards, (MD–15) (xii) Phosphate rock processing
Research Triangle Park, NC 27711.)) plants;
244
(xiii) Coke oven batteries; lowing specific provisions apply with

(xiv) Sulfur recovery plants; respect to any regulated NSR pollutant
(xv) Carbon black plants (furnace emitted from projects at existing emis-
process); sions units at a major stationary
(xvi) Primary lead smelters; source (other than projects at a source
(xvii) Fuel conversion plants; with a PAL) in circumstances where
(xviii) Sintering plants; there is a reasonable possibility, within
(xix) Secondary metal production the meaning of paragraph (a)(6)(vi) of
plants; this section, that a project that is not
(xx) Chemical process plants—The a part of a major modification may re-
term chemical processing plant shall sult in a significant emissions increase
not include ethanol production facili- of such pollutant, and the owner or op-
ties that produce ethanol by natural erator elects to use the method speci-
fermentation included in NAICS codes fied in paragraphs (a)(1)(xxviii)(B)(1)
325193 or 312140; through (3) of this section for calcu-
(xxi) Fossil-fuel boilers (or combina- lating projected actual emissions. De-
tion thereof) totaling more than 250 viations from these provisions will be
million British thermal units per hour approved only if the State specifically
heat input; demonstrates that the submitted provi-
(xxii) Petroleum storage and transfer sions are more stringent than or at
units with a total storage capacity ex- least as stringent in all respects as the
ceeding 300,000 barrels; corresponding provisions in paragraphs
(xxiii) Taconite ore processing (a)(6)(i) through (vi) of this section.
plants; (i) Before beginning actual construc-
(xxiv) Glass fiber processing plants; tion of the project, the owner or oper-
(xxv) Charcoal production plants; ator shall document and maintain a
(xxvi) Fossil fuel-fired steam electric record of the following information:
plants of more than 250 million British
(A) A description of the project;
thermal units per hour heat input;
(B) Identification of the emissions
(xxvii) Any other stationary source
unit(s) whose emissions of a regulated
category which, as of August 7, 1980, is
being regulated under section 111 or 112 NSR pollutant could be affected by the
of the Act. project; and
(5) Each plan shall include enforce- (C) A description of the applicability
able procedures to provide that: test used to determine that the project
(i) Approval to construct shall not re- is not a major modification for any
lieve any owner or operator of the re- regulated NSR pollutant, including the
sponsibility to comply fully with appli- baseline actual emissions, the pro-
cable provision of the plan and any jected actual emissions, the amount of
other requirements under local, State emissions excluded under paragraph
or Federal law. (a)(1)(xxviii)(B)(3) of this section and
(ii) At such time that a particular an explanation for why such amount
source or modification becomes a was excluded, and any netting calcula-
major stationary source or major tions, if applicable.
modification solely by virtue of a re- (ii) If the emissions unit is an exist-
laxation in any enforcement limitation ing electric utility steam generating
which was established after August 7, unit, before beginning actual construc-
1980, on the capacity of the source or tion, the owner or operator shall pro-
modification otherwise to emit a pol- vide a copy of the information set out
lutant, such as a restriction on hours in paragraph (a)(6)(i) of this section to
of operation, then the requirements of the reviewing authority. Nothing in
regulations approved pursuant to this this paragraph (a)(6)(ii) shall be con-
section shall apply to the source or strued to require the owner or operator
modification as though construction of such a unit to obtain any determina-
had not yet commenced on the source tion from the reviewing authority be-
or modification; fore beginning actual construction.
(6) Each plan shall provide that, ex- (iii) The owner or operator shall
cept as otherwise provided in para- monitor the emissions of any regulated
graph (a)(6)(vi) of this section, the fol- NSR pollutant that could increase as a
245
§ 51.165 40 CFR Ch. I (7–1–21 Edition)
result of the project and that is emit- (A) A projected actual emissions in-
ted by any emissions units identified in crease of at least 50 percent of the
paragraph (a)(6)(i)(B) of this section; amount that is a ‘‘significant emis-
and calculate and maintain a record of sions increase,’’ as defined under para-
the annual emissions, in tons per year graph (a)(1)(xxvii) of this section (with-
on a calendar year basis, for a period of out reference to the amount that is a
5 years following resumption of regular significant net emissions increase), for
operations after the change, or for a the regulated NSR pollutant; or
period of 10 years following resumption (B) A projected actual emissions in-
of regular operations after the change crease that, added to the amount of
if the project increases the design ca- emissions excluded under paragraph
pacity or potential to emit of that reg- (a)(1)(xxviii)(B)(3), sums to at least 50
ulated NSR pollutant at such emis-
percent of the amount that is a ‘‘sig-
sions unit.
nificant emissions increase,’’ as defined
(iv) If the unit is an existing electric
under paragraph (a)(1)(xxvii) of this
utility steam generating unit, the
section (without reference to the
owner or operator shall submit a report
to the reviewing authority within 60 amount that is a significant net emis-
days after the end of each year during sions increase), for the regulated NSR
which records must be generated under pollutant. For a project for which a
paragraph (a)(6)(iii) of this section set- reasonable possibility occurs only
ting out the unit’s annual emissions within the meaning of paragraph
during the year that preceded submis- (a)(6)(vi)(B) of this section, and not
sion of the report. also within the meaning of paragraph
(v) If the unit is an existing unit (a)(6)(vi)(A) of this section, then provi-
other than an electric utility steam sions (a)(6)(ii) through (v) do not apply
generating unit, the owner or operator to the project.
shall submit a report to the reviewing (7) Each plan shall provide that the
authority if the annual emissions, in owner or operator of the source shall
tons per year, from the project identi- make the information required to be
fied in paragraph (a)(6)(i) of this sec- documented and maintained pursuant
tion, exceed the baseline actual emis- to paragraph (a)(6) of this section
sions (as documented and maintained available for review upon a request for
pursuant to paragraph (a)(6)(i)(C) of inspection by the reviewing authority
this section, by a significant amount or the general public pursuant to the
(as defined in paragraph (a)(1)(x) of this requirements contained in
section) for that regulated NSR pollut- § 70.4(b)(3)(viii) of this chapter.
ant, and if such emissions differ from (8) The plan shall provide that the re-
the preconstruction projection as docu- quirements of this section applicable
mented and maintained pursuant to to major stationary sources and major
paragraph (a)(6)(i)(C) of this section.
modifications of volatile organic com-
Such report shall be submitted to the
pounds shall apply to nitrogen oxides
reviewing authority within 60 days
emissions from major stationary
after the end of such year. The report
shall contain the following: sources and major modifications of ni-
(A) The name, address and telephone trogen oxides in an ozone transport re-
number of the major stationary source; gion or in any ozone nonattainment
(B) The annual emissions as cal- area, except in ozone nonattainment
culated pursuant to paragraph areas or in portions of an ozone trans-
(a)(6)(iii) of this section; and port region where the Administrator
(C) Any other information that the has granted a NOX waiver applying the
owner or operator wishes to include in standards set forth under section 182(f)
the report (e.g., an explanation as to of the Act and the waiver continues to
why the emissions differ from the apply.
preconstruction projection). (9)(i) The plan shall require that in
(vi) A ‘‘reasonable possibility’’ under meeting the emissions offset require-
paragraph (a)(6) of this section occurs ments of paragraph (a)(3) of this sec-
when the owner or operator calculates tion, the ratio of total actual emissions
the project to result in either: reductions to the emissions increase
246
shall be at least 1:1 unless an alter- (10) The plan shall require that the
native ratio is provided for the applica- requirements of this section applicable
ble nonattainment area in paragraphs to major stationary sources and major
(a)(9)(ii) through (a)(9)(iv) of this sec- modifications of PM–10 shall also apply
tion. to major stationary sources and major
(ii) The plan shall require that in modifications of PM–10 precursors, ex-
meeting the emissions offset require- cept where the Administrator deter-
ments of paragraph (a)(3) of this sec- mines that such sources do not con-
tion for ozone nonattainment areas tribute significantly to PM–10 levels
that are subject to subpart 2, part D, that exceed the PM–10 ambient stand-
title I of the Act, the ratio of total ac- ards in the area.
tual emissions reductions of VOC to (11) Interpollutant offsetting, or
the emissions increase of VOC shall be interpollutant trading or interpre-
as follows: cursor trading or interprecursor offset
(A) In any marginal nonattainment substitution—The plan shall require
area for ozone—at least 1.1:1; that in meeting the emissions offset re-
(B) In any moderate nonattainment quirements of paragraph (a)(3) of this
area for ozone—at least 1.15:1; section, the emissions offsets obtained
(C) In any serious nonattainment shall be for the same regulated NSR
area for ozone—at least 1.2:1; pollutant unless interprecursor offset-
(D) In any severe nonattainment area ting is permitted for a particular pol-
for ozone—at least 1.3:1 (except that lutant as specified in this paragraph.
the ratio may be at least 1.2:1 if the ap- (a)(3) of this section, the emissions off-
proved plan also requires all existing sets obtained shall be for the same reg-
major sources in such nonattainment ulated NSR pollutant unless interpre-
area to use BACT for the control of cursor offsetting is permitted for a par-
VOC); and ticular pollutant as specified in this
(E) In any extreme nonattainment paragraph.
area for ozone—at least 1.5:1 (except (i) The plan may allow the offset re-
that the ratio may be at least 1.2:1 if quirement in paragraph (a)(3) of this
the approved plan also requires all ex- section for emissions of the ozone pre-
isting major sources in such nonattain- cursors NOX and VOC to be satisfied,
ment area to use BACT for the control where appropriate, by offsetting reduc-
of VOC); and tions of actual emissions of either of
(iii) Notwithstanding the require- those precursors, if all other require-
ments of paragraph (a)(9)(ii) of this sec- ments contained in this section for
tion for meeting the requirements of such offsets are also satisfied.
paragraph (a)(3) of this section, the (A) The plan shall indicate whether
ratio of total actual emissions reduc- such precursor substitutions for ozone
tions of VOC to the emissions increase precursors are to be based on an area-
of VOC shall be at least 1.15:1 for all specific default ratio (default ratio) for
areas within an ozone transport region the applicable ozone nonattainment
that is subject to subpart 2, part D, area, established in regulations as part
title I of the Act, except for serious, se- of the approved plan, or default IPT ra-
vere, and extreme ozone nonattain- tios for an applicable ozone nonattain-
ment areas that are subject to subpart ment area established in advance by an
2, part D, title I of the Act. air agency that are presumed to be ap-
(iv) The plan shall require that in propriate for each permit application
meeting the emissions offset require- in the area, absent contrary informa-
ments of paragraph (a)(3) of this section in the record of an individual per-
tion for ozone nonattainment areas mit application, or case-specific ratios
that are subject to subpart 1, part D, established for individual permits.
title I of the Act (but are not subject to (B)(1) Where a state seeks to use a de-
subpart 2, part D, title I of the Act, in- fault IPT ratio that is not part of the
cluding 8-hour ozone nonattainment approved plan, the plan shall include
areas subject to 40 CFR 51.902(b)), the the following to authorize the develop-
ratio of total actual emissions reduc- ment of a default ratio for a particular
tions of VOC to the emissions increase ozone nonattainment area, including a
of VOC shall be at least 1:1. revised default ratio resulting from the
247
§ 51.165 40 CFR Ch. I (7–1–21 Edition)
periodic review required under para- ratio established in the approved plan
graph (a)(11)(i)(B)(2) of this section: for a particular nonattainment area.
(i) A description of the model(s) that (12) The plan shall require that in
will be used to develop any default any area designated nonattainment for
ratio; the 2008 ozone NAAQS and designated
(ii) A description of the approach nonattainment for the 1997 ozone
that will be used to analyze modeling NAAQS on April 6, 2015 the require-
data, ambient monitoring data, and ments of this section applicable to
emission inventory data to determine major stationary sources and major
the sensitivity of an area to emissions modifications of ozone shall include
of ozone precursors in the formation of the anti-backsliding requirements con-
ground-level ozone; and tained at § 51.1105.
(iii) A description of the modeling (13) The plan shall require that the
demonstration that will be used to control requirements of this section
show that the default ratio provides an applicable to major stationary sources
equivalent or greater air quality ben- and major modifications of PM2.5 shall
efit with respect to ground level con- also apply to major stationary sources
centrations in the ozone nonattain- and major modifications of PM2.5 pre-
ment area than an offset of the emitted cursors in a PM2.5 nonattainment area,
precursor would achieve. except that a reviewing authority may
exempt new major stationary sources
(2) The plan shall require that for
and major modifications of a particular
any default ratio for ozone, the review-
precursor from the requirements of
ing authority shall evaluate that ratio
this section for PM2.5 if the NNSR pre-
at least every 5 years to determine
cursor demonstration submitted to and
whether current conditions support the
approved by the Administrator shows
continued use of such ratio.
that such sources do not contribute
(C) The plan shall require that, for significantly to PM2.5 levels that ex-
any case-specific permit ratio for ozone ceed the standard in the area. Any
proposed by a permit applicant to be demonstration submitted for the Ad-
used for a particular permit, the fol- ministrator’s review must meet the
lowing information shall be submitted conditions for a NNSR precursor dem-
to the reviewing authority to support onstration as set forth in § 51.1006(a)(3).
approval of the ratio: (b)(1) Each plan shall include a
(1) The description of the air quality preconstruction review permit program
model(s) used to propose a case-specific or its equivalent to satisfy the require-
ratio; and ments of section 110(a)(2)(D)(i) of the
(2) the proposed ratio for the pre- Act for any new major stationary
cursor substitution and accompanying source or major modification as de-
calculations; and fined in paragraphs (a)(1) (iv) and (v) of
(3) a modeling demonstration show- this section. Such a program shall
ing that such ratio(s) as applied to the apply to any such source or modifica-
proposed project and credit source will tion that would locate in any area des-
provide an equivalent or greater air ignated as attainment or unclassifiable
quality benefit with respect to ground for any national ambient air quality
level concentrations in the ozone non- standard pursuant to section 107 of the
attainment area than an offset of the Act, when it would cause or contribute
emitted precursor would achieve. to a violation of any national ambient
(ii) The plan may allow the offset re- air quality standard.
quirements in paragraph (a)(3) of this (2) A major source or major modifica-
section for direct PM2.5 emissions or tion will be considered to cause or con-
emissions of precursors of PM2.5 to be tribute to a violation of a national am-
satisfied by offsetting reductions in di- bient air quality standard when such
rect PM2.5 emissions or emissions of source or modification would, at a min-
any PM2.5 precursor identified under imum, exceed the following signifi-
paragraph (a)(1)(xxxvii)(C) of this sec- cance levels at any locality that does
tion if such offsets comply with the not or would not meet the applicable
interprecursor trading hierarchy and national standard:
248
Averaging time (hours)

Pollutant Annual
24 8 3 1
SO2 ..................................................... 1.0 μg/m3 5 μg/m3 25 μg/m3

PM10 ................................................... 1.0 μg/m3 5 μg/m3
PM2.5 .................................................. 0.3 μg/m3 1.2 μg/m3
NO2 .................................................... 1.0 μg/m3
CO ...................................................... 0.5 mg/m3 2 mg/m3
(3) Such a program may include a below the PAL level, meets the re-
provision which allows a proposed quirements in paragraphs (f)(1) through
major source or major modification (15) of this section, and complies with
subject to paragraph (b) of this section the PAL permit:
to reduce the impact of its emissions (A) Is not a major modification for
upon air quality by obtaining sufficient the PAL pollutant;
emission reductions to, at a minimum, (B) Does not have to be approved
compensate for its adverse ambient im- through the plan’s nonattainment
pact where the major source or major major NSR program; and
modification would otherwise cause or (C) Is not subject to the provisions in
contribute to a violation of any na- paragraph (a)(5)(ii) of this section (re-
tional ambient air quality standard. strictions on relaxing enforceable
The plan shall require that, in the ab- emission limitations that the major
sence of such emission reductions, the
stationary source used to avoid appli-
State or local agency shall deny the
cability of the nonattainment major
proposed construction.
NSR program).
(4) The requirements of paragraph (b)
of this section shall not apply to a (iv) Except as provided under para-
major stationary source or major graph (f)(1)(iii)(C) of this section, a
modification with respect to a par- major stationary source shall continue
ticular pollutant if the owner or oper- to comply with all applicable Federal
ator demonstrates that, as to that pol- or State requirements, emission limi-
lutant, the source or modification is lo- tations, and work practice require-
cated in an area designated as non- ments that were established prior to
attainment pursuant to section 107 of the effective date of the PAL.
the Act. (2) Definitions. The plan shall use the
(c)–(e) [Reserved] definitions in paragraphs (f)(2)(i)
(f) Actuals PALs. The plan shall pro- through (xi) of this section for the pur-
vide for PALs according to the provi- pose of developing and implementing
sions in paragraphs (f)(1) through (15) regulations that authorize the use of
of this section. actuals PALs consistent with para-
(1) Applicability. (i) The reviewing au- graphs (f)(1) through (15) of this sec-
thority may approve the use of an tion. When a term is not defined in
actuals PAL for any existing major these paragraphs, it shall have the
stationary source (except as provided meaning given in paragraph (a)(1) of
in paragraph (f)(1)(ii) of this section) if this section or in the Act.
the PAL meets the requirements in (i) Actuals PAL for a major stationary
paragraphs (f)(1) through (15) of this source means a PAL based on the base-
section. The term ‘‘PAL’’ shall mean line actual emissions (as defined in
‘‘actuals PAL’’ throughout paragraph paragraph (a)(1)(xxxv) of this section)
(f) of this section. of all emissions units (as defined in
(ii) The reviewing authority shall not paragraph (a)(1)(vii) of this section) at
allow an actuals PAL for VOC or NOX the source, that emit or have the po-
for any major stationary source lo- tential to emit the PAL pollutant.
cated in an extreme ozone nonattain- (ii) Allowable emissions means ‘‘allow-
ment area. able emissions’’ as defined in paragraph
(iii) Any physical change in or (a)(1)(xi) of this section, except as this
change in the method of operation of a definition is modified according to
major stationary source that main- paragraphs (f)(2)(ii)(A) through (B) of
tains its total source-wide emissions this section.
249
§ 51.165 40 CFR Ch. I (7–1–21 Edition)
(A) The allowable emissions for any and (vi) of this section (the definitions
emissions unit shall be calculated con- for major modification and net emis-
sidering any emission limitations that sions increase), any physical change in
are enforceable as a practical matter or change in the method of operation of
on the emissions unit’s potential to the PAL source that causes it to emit
emit. the PAL pollutant at a level equal to
(B) An emissions unit’s potential to or greater than the PAL.
emit shall be determined using the def- (ix) PAL permit means the major NSR
inition in paragraph (a)(1)(iii) of this permit, the minor NSR permit, or the
section, except that the words ‘‘or en- State operating permit under a pro-
forceable as a practical matter’’ should gram that is approved into the plan, or
be added after ‘‘federally enforceable.’’ the title V permit issued by the review-
(iii) Small emissions unit means an
ing authority that establishes a PAL
emissions unit that emits or has the
for a major stationary source.
potential to emit the PAL pollutant in
an amount less than the significant (x) PAL pollutant means the pollutant
level for that PAL pollutant, as defined for which a PAL is established at a
in paragraph (a)(1)(x) of this section or major stationary source.
in the Act, whichever is lower. (xi) Significant emissions unit means
(iv) Major emissions unit means: an emissions unit that emits or has the
(A) Any emissions unit that emits or potential to emit a PAL pollutant in
has the potential to emit 100 tons per an amount that is equal to or greater
year or more of the PAL pollutant in than the significant level (as defined in
an attainment area; or paragraph (a)(1)(x) of this section or in
(B) Any emissions unit that emits or the Act, whichever is lower) for that
has the potential to emit the PAL pol- PAL pollutant, but less than the
lutant in an amount that is equal to or amount that would qualify the unit as
greater than the major source thresh- a major emissions unit as defined in
old for the PAL pollutant as defined by paragraph (f)(2)(iv) of this section.
the Act for nonattainment areas. For (3) Permit application requirements. As
example, in accordance with the defini- part of a permit application requesting
tion of major stationary source in sec- a PAL, the owner or operator of a
tion 182(c) of the Act, an emissions unit major stationary source shall submit
would be a major emissions unit for the following information to the re-
VOC if the emissions unit is located in viewing authority for approval:
a serious ozone nonattainment area (i) A list of all emissions units at the
and it emits or has the potential to source designated as small, significant
emit 50 or more tons of VOC per year. or major based on their potential to
(v) Plantwide applicability limitation
emit. In addition, the owner or oper-
(PAL) means an emission limitation
ator of the source shall indicate which,
expressed in tons per year, for a pollut-
if any, Federal or State applicable re-
ant at a major stationary source, that
quirements, emission limitations or
is enforceable as a practical matter
work practices apply to each unit.
and established source-wide in accord-
ance with paragraphs (f)(1) through (ii) Calculations of the baseline ac-
(f)(15) of this section. tual emissions (with supporting docu-
(vi) PAL effective date generally mentation). Baseline actual emissions
means the date of issuance of the PAL are to include emissions associated not
permit. However, the PAL effective only with operation of the unit, but
date for an increased PAL is the date also emissions associated with startup,
any emissions unit which is part of the shutdown and malfunction.
PAL major modification becomes oper- (iii) The calculation procedures that
ational and begins to emit the PAL the major stationary source owner or
pollutant. operator proposes to use to convert the
(vii) PAL effective period means the monitoring system data to monthly
period beginning with the PAL effec- emissions and annual emissions based
tive date and ending 10 years later. on a 12-month rolling total for each
(viii) PAL major modification means, month as required by paragraph
notwithstanding paragraphs (a)(1)(v) (f)(13)(i) of this section.
250
(4) General requirements for estab- section unless the level of the PAL is
lishing PALs. (i) The plan allows the re- reduced by the amount of such emis-
viewing authority to establish a PAL sions reductions and such reductions
at a major stationary source, provided would be creditable in the absence of
that at a minimum, the requirements the PAL.
in paragraphs (f)(4)(i)(A) through (G) of (5) Public participation requirement for
this section are met. PALs. PALs for existing major sta-
(A) The PAL shall impose an annual tionary sources shall be established, re-
emission limitation in tons per year, newed, or increased through a proce-
that is enforceable as a practical mat- dure that is consistent with §§ 51.160
ter, for the entire major stationary and 51.161 of this chapter. This includes
source. For each month during the the requirement that the reviewing au-
PAL effective period after the first 12 thority provide the public with notice
months of establishing a PAL, the of the proposed approval of a PAL per-
major stationary source owner or oper- mit and at least a 30-day period for
ator shall show that the sum of the submittal of public comment. The re-
monthly emissions from each emis- viewing authority must address all ma-
sions unit under the PAL for the pre- terial comments before taking final ac-
vious 12 consecutive months is less tion on the permit.
than the PAL (a 12-month average, (6) Setting the 10-year actuals PAL
rolled monthly). For each month dur- level. (i) Except as provided in para-
ing the first 11 months from the PAL graph (f)(6)(ii) of this section, the plan
effective date, the major stationary shall provide that the actuals PAL
source owner or operator shall show level for a major stationary source
that the sum of the preceding monthly shall be established as the sum of the
emissions from the PAL effective date baseline actual emissions (as defined in
for each emissions unit under the PAL paragraph (a)(1)(xxxv) of this section)
is less than the PAL. of the PAL pollutant for each emis-
(B) The PAL shall be established in a sions unit at the source; plus an
PAL permit that meets the public par- amount equal to the applicable signifi-
ticipation requirements in paragraph cant level for the PAL pollutant under
(f)(5) of this section. paragraph (a)(1)(x) of this section or
(C) The PAL permit shall contain all under the Act, whichever is lower.
the requirements of paragraph (f)(7) of When establishing the actuals PAL
this section. level, for a PAL pollutant, only one
(D) The PAL shall include fugitive consecutive 24-month period must be
emissions, to the extent quantifiable, used to determine the baseline actual
from all emissions units that emit or emissions for all existing emissions
have the potential to emit the PAL units. However, a different consecutive
pollutant at the major stationary 24-month period may be used for each
source. different PAL pollutant. Emissions as-
(E) Each PAL shall regulate emis- sociated with units that were perma-
sions of only one pollutant. nently shut down after this 24-month
(F) Each PAL shall have a PAL effec- period must be subtracted from the
tive period of 10 years. PAL level. The reviewing authority
(G) The owner or operator of the shall specify a reduced PAL level(s) (in
major stationary source with a PAL tons/yr) in the PAL permit to become
shall comply with the monitoring, rec- effective on the future compliance
ordkeeping, and reporting require- date(s) of any applicable Federal or
ments provided in paragraphs (f)(12) State regulatory requirement(s) that
through (14) of this section for each the reviewing authority is aware of
emissions unit under the PAL through prior to issuance of the PAL permit.
the PAL effective period. For instance, if the source owner or op-
(ii) At no time (during or after the erator will be required to reduce emis-
PAL effective period) are emissions re- sions from industrial boilers in half
ductions of a PAL pollutant, which from baseline emissions of 60 ppm NOX
occur during the PAL effective period, to a new rule limit of 30 ppm, then the
creditable as decreases for purposes of permit shall contain a future effective
offsets under paragraph (a)(3)(ii) of this PAL level that is equal to the current
251
§ 51.165 40 CFR Ch. I (7–1–21 Edition)
PAL level reduced by half of the origi- (ix) A requirement to submit the re-
nal baseline emissions of such unit(s). ports required under paragraph (f)(14)
(ii) For newly constructed units of this section by the required dead-
(which do not include modifications to lines.
existing units) on which actual con- (x) Any other requirements that the
struction began after the 24-month pe- reviewing authority deems necessary
riod, in lieu of adding the baseline ac- to implement and enforce the PAL.
tual emissions as specified in para- (8) PAL effective period and reopening
graph (f)(6)(i) of this section, the emis- of the PAL permit. The plan shall re-
sions must be added to the PAL level quire the information in paragraphs
in an amount equal to the potential to (f)(8)(i) and (ii) of this section.
emit of the units. (i) PAL effective period. The reviewing
(7) Contents of the PAL permit. The authority shall specify a PAL effective
plan shall require that the PAL permit period of 10 years.
contain, at a minimum, the informa- (ii) Reopening of the PAL permit. (A)
tion in paragraphs (f)(7)(i) through (x) During the PAL effective period, the
of this section. plan shall require the reviewing au-
(i) The PAL pollutant and the appli- thority to reopen the PAL permit to:
cable source-wide emission limitation (1) Correct typographical/calculation
in tons per year. errors made in setting the PAL or re-
(ii) The PAL permit effective date flect a more accurate determination of
and the expiration date of the PAL emissions used to establish the PAL.
(PAL effective period). (2) Reduce the PAL if the owner or
(iii) Specification in the PAL permit operator of the major stationary
that if a major stationary source owner source creates creditable emissions re-
or operator applies to renew a PAL in ductions for use as offsets under para-
accordance with paragraph (f)(10) of graph (a)(3)(ii) of this section.
this section before the end of the PAL (3) Revise the PAL to reflect an in-
effective period, then the PAL shall crease in the PAL as provided under
not expire at the end of the PAL effec- paragraph (f)(11) of this section.
tive period. It shall remain in effect (B) The plan shall provide the review-
until a revised PAL permit is issued by ing authority discretion to reopen the
the reviewing authority. PAL permit for the following:
(iv) A requirement that emission cal- (1) Reduce the PAL to reflect newly
culations for compliance purposes in- applicable Federal requirements (for
clude emissions from startups, shut- example, NSPS) with compliance dates
downs and malfunctions. after the PAL effective date.
(v) A requirement that, once the PAL (2) Reduce the PAL consistent with
expires, the major stationary source is any other requirement, that is enforce-
subject to the requirements of para- able as a practical matter, and that the
graph (f)(9) of this section. State may impose on the major sta-
(vi) The calculation procedures that tionary source under the plan.
the major stationary source owner or (3) Reduce the PAL if the reviewing
operator shall use to convert the moni- authority determines that a reduction
toring system data to monthly emis- is necessary to avoid causing or con-
sions and annual emissions based on a tributing to a NAAQS or PSD incre-
12-month rolling total for each month ment violation, or to an adverse im-
as required by paragraph (f)(13)(i) of pact on an air quality related value
this section. that has been identified for a Federal
(vii) A requirement that the major Class I area by a Federal Land Manager
stationary source owner or operator and for which information is available
monitor all emissions units in accord- to the general public.
ance with the provisions under para- (C) Except for the permit reopening
graph (f)(12) of this section. in paragraph (f)(8)(ii)(A)(1) of this sec-
(viii) A requirement to retain the tion for the correction of typo-
records required under paragraph (f)(13) graphical/calculation errors that do
of this section on site. Such records not increase the PAL level, all other
may be retained in an electronic for- reopenings shall be carried out in ac-
mat. cordance with the public participation
252
requirements of paragraph (f)(5) of this multi-unit emissions cap equivalent to

section. the level of the PAL emission limita-
(9) Expiration of a PAL. Any PAL tion.
which is not renewed in accordance (iv) Any physical change or change in
with the procedures in paragraph (f)(10) the method of operation at the major
of this section shall expire at the end stationary source will be subject to the
of the PAL effective period, and the re- nonattainment major NSR require-
quirements in paragraphs (f)(9)(i) ments if such change meets the defini-
through (v) of this section shall apply. tion of major modification in para-
(i) Each emissions unit (or each graph (a)(1)(v) of this section.
group of emissions units) that existed (v) The major stationary source
under the PAL shall comply with an al- owner or operator shall continue to
lowable emission limitation under a re- comply with any State or Federal ap-
vised permit established according to plicable requirements (BACT, RACT,
the procedures in paragraphs (f)(9)(i)(A) NSPS, etc.) that may have applied ei-
through (B) of this section. ther during the PAL effective period or
(A) Within the time frame specified prior to the PAL effective period ex-
for PAL renewals in paragraph cept for those emission limitations
(f)(10)(ii) of this section, the major sta- that had been established pursuant to
tionary source shall submit a proposed paragraph (a)(5)(ii) of this section, but
allowable emission limitation for each were eliminated by the PAL in accord-
emissions unit (or each group of emis- ance with the provisions in paragraph
sions units, if such a distribution is (f)(1)(iii)(C) of this section.
more appropriate as decided by the re- (10) Renewal of a PAL. (i) The review-
viewing authority) by distributing the ing authority shall follow the proce-
PAL allowable emissions for the major dures specified in paragraph (f)(5) of
stationary source among each of the this section in approving any request
emissions units that existed under the to renew a PAL for a major stationary
PAL. If the PAL had not yet been ad- source, and shall provide both the pro-
justed for an applicable requirement posed PAL level and a written ration-
that became effective during the PAL ale for the proposed PAL level to the
effective period, as required under public for review and comment. During
paragraph (f)(10)(v) of this section, such such public review, any person may
distribution shall be made as if the propose a PAL level for the source for
PAL had been adjusted. consideration by the reviewing author-
(B) The reviewing authority shall de- ity.
cide whether and how the PAL allow- (ii) Application deadline. The plan
able emissions will be distributed and shall require that a major stationary
issue a revised permit incorporating al- source owner or operator shall submit
lowable limits for each emissions unit, a timely application to the reviewing
or each group of emissions units, as the authority to request renewal of a PAL.
reviewing authority determines is ap- A timely application is one that is sub-
propriate. mitted at least 6 months prior to, but
(ii) Each emissions unit(s) shall com- not earlier than 18 months from, the
ply with the allowable emission limita- date of permit expiration. This dead-
tion on a 12-month rolling basis. The line for application submittal is to en-
reviewing authority may approve the sure that the permit will not expire be-
use of monitoring systems (source test- fore the permit is renewed. If the owner
ing, emission factors, etc.) other than or operator of a major stationary
CEMS, CERMS, PEMS or CPMS to source submits a complete application
demonstrate compliance with the al- to renew the PAL within this time pe-
lowable emission limitation. riod, then the PAL shall continue to be
(iii) Until the reviewing authority effective until the revised permit with
issues the revised permit incorporating the renewed PAL is issued.
allowable limits for each emissions (iii) Application requirements. The ap-
unit, or each group of emissions units, plication to renew a PAL permit shall
as required under paragraph (f)(9)(i)(A) contain the information required in
of this section, the source shall con- paragraphs (f)(10)(iii)(A) through (D) of
tinue to comply with a source-wide, this section.
253
§ 51.165 40 CFR Ch. I (7–1–21 Edition)
(A) The information required in para- authority has not already adjusted for
graphs (f)(3)(i) through (iii) of this sec- such requirement, the PAL shall be ad-
tion. justed at the time of PAL permit re-
(B) A proposed PAL level. newal or title V permit renewal, which-
(C) The sum of the potential to emit ever occurs first.
of all emissions units under the PAL (11) Increasing a PAL during the PAL
(with supporting documentation). effective period. (i) The plan shall re-
(D) Any other information the owner quire that the reviewing authority may
or operator wishes the reviewing au- increase a PAL emission limitation
thority to consider in determining the only if the major stationary source
appropriate level for renewing the complies with the provisions in para-
PAL. graphs (f)(11)(i)(A) through (D) of this
(iv) PAL adjustment. In determining section.
whether and how to adjust the PAL, (A) The owner or operator of the
the reviewing authority shall consider major stationary source shall submit a
the options outlined in paragraphs complete application to request an in-
(f)(10)(iv)(A) and (B) of this section. crease in the PAL limit for a PAL
However, in no case may any such ad- major modification. Such application
justment fail to comply with paragraph shall identify the emissions unit(s)
(f)(10)(iv)(C) of this section. contributing to the increase in emis-
(A) If the emissions level calculated sions so as to cause the major sta-
in accordance with paragraph (f)(6) of tionary source’s emissions to equal or
this section is equal to or greater than exceed its PAL.
80 percent of the PAL level, the review- (B) As part of this application, the
ing authority may renew the PAL at major stationary source owner or oper-
the same level without considering the ator shall demonstrate that the sum of
factors set forth in paragraph the baseline actual emissions of the
(f)(10)(iv)(B) of this section; or small emissions units, plus the sum of
(B) The reviewing authority may set the baseline actual emissions of the
the PAL at a level that it determines significant and major emissions units
to be more representative of the assuming application of BACT equiva-
source’s baseline actual emissions, or lent controls, plus the sum of the al-
that it determines to be appropriate lowable emissions of the new or modi-
considering air quality needs, advances fied emissions unit(s) exceeds the PAL.
in control technology, anticipated eco- The level of control that would result
nomic growth in the area, desire to re- from BACT equivalent controls on each
ward or encourage the source’s vol- significant or major emissions unit
untary emissions reductions, or other shall be determined by conducting a
factors as specifically identified by the new BACT analysis at the time the ap-
reviewing authority in its written ra- plication is submitted, unless the emis-
tionale. sions unit is currently required to com-
(C) Notwithstanding paragraphs ply with a BACT or LAER requirement
(f)(10)(iv)(A) and (B) of this section, that was established within the pre-
(1) If the potential to emit of the ceding 10 years. In such a case, the as-
major stationary source is less than sumed control level for that emissions
the PAL, the reviewing authority shall unit shall be equal to the level of BACT
adjust the PAL to a level no greater or LAER with which that emissions
than the potential to emit of the unit must currently comply.
source; and (C) The owner or operator obtains a
(2) The reviewing authority shall not major NSR permit for all emissions
approve a renewed PAL level higher unit(s) identified in paragraph
than the current PAL, unless the (f)(11)(i)(A) of this section, regardless
major stationary source has complied of the magnitude of the emissions in-
with the provisions of paragraph (f)(11) crease resulting from them (that is, no
of this section (increasing a PAL). significant levels apply). These emis-
(v) If the compliance date for a State sions unit(s) shall comply with any
or Federal requirement that applies to emissions requirements resulting from
the PAL source occurs during the PAL the nonattainment major NSR pro-
effective period, and if the reviewing gram process (for example, LAER),
254
even though they have also become (ii) Minimum Performance Require-
subject to the PAL or continue to be ments for Approved Monitoring Ap-
subject to the PAL. proaches. The following are acceptable
(D) The PAL permit shall require general monitoring approaches when
that the increased PAL level shall be conducted in accordance with the min-
effective on the day any emissions unit imum requirements in paragraphs
that is part of the PAL major modifica- (f)(12)(iii) through (ix) of this section:
tion becomes operational and begins to (A) Mass balance calculations for ac-
emit the PAL pollutant. tivities using coatings or solvents;
(ii) The reviewing authority shall (B) CEMS;
calculate the new PAL as the sum of (C) CPMS or PEMS; and
the allowable emissions for each modi- (D) Emission Factors.
fied or new emissions unit, plus the (iii) Mass Balance Calculations. An
sum of the baseline actual emissions of owner or operator using mass balance
the significant and major emissions calculations to monitor PAL pollutant
units (assuming application of BACT emissions from activities using coating
equivalent controls as determined in or solvents shall meet the following re-
accordance with paragraph quirements:
(f)(11)(i)(B)), plus the sum of the base- (A) Provide a demonstrated means of
line actual emissions of the small validating the published content of the
emissions units. PAL pollutant that is contained in or
(iii) The PAL permit shall be revised created by all materials used in or at
to reflect the increased PAL level pur- the emissions unit;
suant to the public notice require- (B) Assume that the emissions unit
ments of paragraph (f)(5) of this sec- emits all of the PAL pollutant that is
tion. contained in or created by any raw ma-
(12) Monitoring requirements for terial or fuel used in or at the emis-
PALs—(i) General requirements. (A) Each sions unit, if it cannot otherwise be ac-
PAL permit must contain enforceable counted for in the process; and
requirements for the monitoring sys- (C) Where the vendor of a material or
tem that accurately determines fuel, which is used in or at the emis-
plantwide emissions of the PAL pollut- sions unit, publishes a range of pollut-
ant in terms of mass per unit of time. ant content from such material, the
Any monitoring system authorized for owner or operator must use the highest
use in the PAL permit must be based value of the range to calculate the PAL
on sound science and meet generally pollutant emissions unless the review-
acceptable scientific procedures for ing authority determines there is site-
data quality and manipulation. Addi- specific data or a site-specific moni-
tionally, the information generated by toring program to support another con-
such system must meet minimum legal tent within the range.
requirements for admissibility in a ju- (iv) CEMS. An owner or operator
dicial proceeding to enforce the PAL using CEMS to monitor PAL pollutant
permit. emissions shall meet the following re-
(B) The PAL monitoring system quirements:
must employ one or more of the four (A) CEMS must comply with applica-
general monitoring approaches meet- ble Performance Specifications found
ing the minimum requirements set in 40 CFR part 60, appendix B; and
forth in paragraphs (f)(12)(ii)(A) (B) CEMS must sample, analyze and
through (D) of this section and must be record data at least every 15 minutes
approved by the reviewing authority. while the emissions unit is operating.
(C) Notwithstanding paragraph (v) CPMS or PEMS. An owner or op-
(f)(12)(i)(B) of this section, you may erator using CPMS or PEMS to mon-
also employ an alternative monitoring itor PAL pollutant emissions shall
approach that meets paragraph meet the following requirements:
(f)(12)(i)(A) of this section if approved (A) The CPMS or the PEMS must be
by the reviewing authority. based on current site-specific data
(D) Failure to use a monitoring sys- demonstrating a correlation between
tem that meets the requirements of the monitored parameter(s) and the
this section renders the PAL invalid. PAL pollutant emissions across the
255
§ 51.165 40 CFR Ch. I (7–1–21 Edition)
range of operation of the emissions PAL pollutant emissions is a violation

unit; and of the PAL.
(B) Each CPMS or PEMS must sam- (ix) Re-validation. All data used to
ple, analyze, and record data at least establish the PAL pollutant must be
every 15 minutes, or at another less re-validated through performance test-
frequent interval approved by the re- ing or other scientifically valid means
viewing authority, while the emissions approved by the reviewing authority.
unit is operating. Such testing must occur at least once
(vi) Emission factors. An owner or every 5 years after issuance of the
operator using emission factors to PAL.
monitor PAL pollutant emissions shall (13) Recordkeeping requirements. (i)
meet the following requirements: The PAL permit shall require an owner
(A) All emission factors shall be ad- or operator to retain a copy of all
justed, if appropriate, to account for records necessary to determine compli-
the degree of uncertainty or limita- ance with any requirement of para-
tions in the factors’ development; graph (f) of this section and of the
(B) The emissions unit shall operate PAL, including a determination of each
within the designated range of use for emissions unit’s 12-month rolling total
the emission factor, if applicable; and emissions, for 5 years from the date of
(C) If technically practicable, the such record.
owner or operator of a significant emis- (ii) The PAL permit shall require an
sions unit that relies on an emission
owner or operator to retain a copy of
factor to calculate PAL pollutant
the following records for the duration
emissions shall conduct validation
of the PAL effective period plus 5
testing to determine a site-specific
emission factor within 6 months of years:
PAL permit issuance, unless the re- (A) A copy of the PAL permit appli-
viewing authority determines that cation and any applications for revi-
testing is not required. sions to the PAL; and
(vii) A source owner or operator must (B) Each annual certification of com-
record and report maximum potential pliance pursuant to title V and the
emissions without considering enforce- data relied on in certifying the compli-
able emission limitations or oper- ance.
ational restrictions for an emissions (14) Reporting and notification require-
unit during any period of time that ments. The owner or operator shall sub-
there is no monitoring data, unless an- mit semi-annual monitoring reports
other method for determining emis- and prompt deviation reports to the re-
sions during such periods is specified in viewing authority in accordance with
the PAL permit. the applicable title V operating permit
(viii) Notwithstanding the require- program. The reports shall meet the re-
ments in paragraphs (f)(12)(iii) through quirements in paragraphs (f)(14)(i)
(vii) of this section, where an owner or through (iii).
operator of an emissions unit cannot (i) Semi-Annual Report. The semi-an-
demonstrate a correlation between the nual report shall be submitted to the
monitored parameter(s) and the PAL reviewing authority within 30 days of
pollutant emissions rate at all oper- the end of each reporting period. This
ating points of the emissions unit, the
report shall contain the information
reviewing authority shall, at the time
required in paragraphs (f)(14)(i)(A)
of permit issuance:
through (G) of this section.
(A) Establish default value(s) for de-
termining compliance with the PAL (A) The identification of owner and
based on the highest potential emis- operator and the permit number.
sions reasonably estimated at such op- (B) Total annual emissions (tons/
erating point(s); or year) based on a 12-month rolling total
(B) Determine that operation of the for each month in the reporting period
emissions unit during operating condi- recorded pursuant to paragraph
tions when there is no correlation be- (f)(13)(i) of this section.
tween monitored parameter(s) and the
256
(C) All data relied upon, including, plicable title V operating permit pro-
but not limited to, any Quality Assur- gram) certifying the truth, accuracy,
ance or Quality Control data, in calcu- and completeness of the information
lating the monthly and annual PAL provided in the report.
pollutant emissions. (iii) Re-validation results. The owner
(D) A list of any emissions units or operator shall submit to the review-
modified or added to the major sta- ing authority the results of any re-vali-
tionary source during the preceding 6- dation test or method within 3 months
month period. after completion of such test or meth-
(E) The number, duration, and cause od.
of any deviations or monitoring mal- (15) Transition requirements. (i) No re-
functions (other than the time associ- viewing authority may issue a PAL
ated with zero and span calibration that does not comply with the require-
checks), and any corrective action ments in paragraphs (f)(1) through (15)
taken. of this section after the Administrator
(F) A notification of a shutdown of has approved regulations incorporating
any monitoring system, whether the these requirements into a plan.
shutdown was permanent or tem- (ii) The reviewing authority may su-
porary, the reason for the shutdown, persede any PAL which was established
the anticipated date that the moni- prior to the date of approval of the
toring system will be fully operational plan by the Administrator with a PAL
or replaced with another monitoring that complies with the requirements of
system, and whether the emissions paragraphs (f)(1) through (15) of this
unit monitored by the monitoring sys- section.
tem continued to operate, and the cal- (g) If any provision of this section, or
culation of the emissions of the pollut- the application of such provision to
ant or the number determined by any person or circumstance, is held in-
method included in the permit, as pro- valid, the remainder of this section, or
vided by paragraph (f)(12)(vii) of this the application of such provision to
section. persons or circumstances other than
(G) A signed statement by the re- those as to which it is held invalid,
sponsible official (as defined by the ap- shall not be affected thereby.
plicable title V operating permit pro- (h) Equipment replacement provision.
gram) certifying the truth, accuracy, Without regard to other consider-
and completeness of the information ations, routine maintenance, repair
provided in the report. and replacement includes, but is not
(ii) Deviation report. The major sta- limited to, the replacement of any
tionary source owner or operator shall component of a process unit with an
promptly submit reports of any devi- identical or functionally equivalent
ations or exceedance of the PAL re- component(s), and maintenance and re-
quirements, including periods where no pair activities that are part of the re-
monitoring is available. A report sub- placement activity, provided that all of
mitted pursuant to § 70.6(a)(3)(iii)(B) of the requirements in paragraphs (h)(1)
this chapter shall satisfy this reporting through (3) of this section are met.
requirement. The deviation reports (1) Capital Cost threshold for Equip-
shall be submitted within the time lim- ment Replacement. (i) For an electric util-
its prescribed by the applicable pro- ity steam generating unit, as defined in
gram implementing § 70.6(a)(3)(iii)(B) of § 51.165(a)(1)(xx), the fixed capital cost
this chapter. The reports shall contain of the replacement component(s) plus
the following information: the cost of any associated maintenance
(A) The identification of owner and and repair activities that are part of
operator and the permit number; the replacement shall not exceed 20
(B) The PAL requirement that expe- percent of the replacement value of the
rienced the deviation or that was ex- process unit, at the time the equip-
ceeded; ment is replaced. For a process unit
(C) Emissions resulting from the de- that is not an electric utility steam
viation or the exceedance; and generating unit the fixed capital cost
(D) A signed statement by the re- of the replacement component(s) plus
sponsible official (as defined by the ap- the cost of any associated maintenance
257
§ 51.165 40 CFR Ch. I (7–1–21 Edition)
and repair activities that are part of stayed indefinitely. The stayed provisions
the replacement shall not exceed 20 will become effective immediately if the
percent of the replacement value of the court terminates the stay. At that time,
EPA will publish a document in the FEDERAL
process unit, at the time the equip-
REGISTER advising the public of the termi-
ment is replaced. nation of the stay.
(ii) In determining the replacement
value of the process unit; and, except (i) Except as provided in paragraph
as otherwise allowed under paragraph (h)(2)(iii) of this section, for a process
(h)(1)(iii) of this section, the owner or unit at a steam electric generating fa-
operator shall determine the replace- cility, the owner or operator may se-
ment value of the process unit on an lect as its basic design parameters ei-
estimate of the fixed capital cost of ther maximum hourly heat input and
constructing a new process unit, or on maximum hourly fuel consumption
the current appraised value of the proc- rate or maximum hourly electric out-
ess unit. put rate and maximum steam flow
(iii) As an alternative to paragraph rate. When establishing fuel consump-
(h)(1)(ii) of this section for determining tion specifications in terms of weight
the replacement value of a process or volume, the minimum fuel quality
unit, an owner or operator may choose based on British Thermal Units con-
to use insurance value (where the intent shall be used for determining the
surance value covers only complete re- basic design parameter(s) for a coal-
placement), investment value adjusted fired electric utility steam generating
for inflation, or another accounting unit.
procedure if such procedure is based on (ii) Except as provided in paragraph
Generally Accepted Accounting Prin- (h)(2)(iii) of this section, the basic de-
ciples, provided that the owner or oper- sign parameter(s) for any process unit
ator sends a notice to the reviewing au- that is not at a steam electric gener-
thority. The first time that an owner ating facility are maximum rate of fuel
or operator submits such a notice for a or heat input, maximum rate of mate-
particular process unit, the notice may rial input, or maximum rate of product
be submitted at any time, but any sub- output. Combustion process units will
sequent notice for that process unit typically use maximum rate of fuel
may be submitted only at the begin- input. For sources having multiple end
ning of the process unit’s fiscal year. products and raw materials, the owner
Unless the owner or operator submits a or operator should consider the pri-
notice to the reviewing authority, then mary product or primary raw material
paragraph (h)(1)(ii) of this section will when selecting a basic design param-
be used to establish the replacement eter.
value of the process unit. Once the (iii) If the owner or operator believes
owner or operator submits a notice to the basic design parameter(s) in para-
use an alternative accounting proce- graphs (h)(2)(i) and (ii) of this section
dure, the owner or operator must con- is not appropriate for a specific indus-
tinue to use that procedure for the entry or type of process unit, the owner
tire fiscal year for that process unit. In or operator may propose to the review-
subsequent fiscal years, the owner or ing authority an alternative basic de-
operator must continue to use this se- sign parameter(s) for the source’s proc-
lected procedure unless and until the ess unit(s). If the reviewing authority
owner or operator sends another notice approves of the use of an alternative
to the reviewing authority selecting basic design parameter(s), the review-
another procedure consistent with this ing authority shall issue a permit that
paragraph or paragraph (h)(1)(ii) of this is legally enforceable that records such
section at the beginning of such fiscal basic design parameter(s) and requires
year. the owner or operator to comply with
(2) Basic design parameters. The re- such parameter(s).
placement does not change the basic (iv) The owner or operator shall use
design parameter(s) of the process unit credible information, such as results of
to which the activity pertains. historic maximum capability tests, de-
NOTE TO PARAGRAPH (h): By a court order sign information from the manufac-
on December 24, 2003, this paragraph (h) is turer, or engineering calculations, in
258
establishing the magnitude of the basic EFFECTIVE DATE NOTE: At 76 FR 17552, Mar.
design parameter(s) specified in para- 30, 2011, § 51.165, paragraphs (a)(1)(v)(G) and
graphs (h)(2)(i) and (ii) of this section. (v)(1)(vi)(C)(3) are stayed indefinitely.
(v) If design information is not avail- § 51.166 Prevention of significant dete-
able for a process unit, then the owner rioration of air quality.
or operator shall determine the process
(a)(1) Plan requirements. In accordance
unit’s basic design parameter(s) using
with the policy of section 101(b)(1) of
the maximum value achieved by the
the Act and the purposes of section 160
process unit in the five-year period im-
of the Act, each applicable State Im-
mediately preceding the planned activ-
plementation Plan and each applicable
ity.
Tribal Implementation Plan shall con-
(vi) Efficiency of a process unit is not tain emission limitations and such
a basic design parameter. other measures as may be necessary to
(3) The replacement activity shall prevent significant deterioration of air
not cause the process unit to exceed quality.
any emission limitation, or operational (2) Plan revisions. If a State Imple-
limitation that has the effect of con- mentation Plan revision would result
straining emissions, that applies to the in increased air quality deterioration
process unit and that is legally en- over any baseline concentration, the
forceable. plan revision shall include a dem-
(i) Public participation requirements. onstration that it will not cause or
The reviewing authority shall notify contribute to a violation of the appli-
the public of a draft permit by a meth- cable increment(s). If a plan revision
od described in either paragraph (i)(1) proposing less restrictive requirements
or (2) of this section. The selected was submitted after August 7, 1977 but
method, known as the ‘‘consistent noon or before any applicable baseline
ticing method,’’ shall comply with the date and was pending action by the Ad-
public participation procedural re- ministrator on that date, no such dem-
quirements of § 51.161 of this chapter onstration is necessary with respect to
and be used for all permits issued under the area for which a baseline date
this section and may, when appro- would be established before final action
priate, be supplemented by other notic- is taken on the plan revision. Instead,
ing methods on individual permits. the assessment described in paragraph
(1) Post the information in para- (a)(4) of this section, shall review the
graphs (i)(1)(i) through (iii) of this sec- expected impact to the applicable in-
tion, for the duration of the public crement(s).
comment period, on a public Web site (3) Required plan revision. If the State
identified by the reviewing authority. or the Administrator determines that a
(i) A notice of availability of the plan is substantially inadequate to pre-
draft permit for public comment; vent significant deterioration or that
(ii) The draft permit; and an applicable increment is being vio-
(iii) Information on how to access the lated, the plan shall be revised to cor-
administrative record for the draft per- rect the inadequacy or the violation.
mit. The plan shall be revised within 60 days
(2) Publish a notice of availability of of such a finding by a State or within
the draft permit for public comment in 60 days following notification by the
Administrator, or by such later date as
a newspaper of general circulation in
prescribed by the Administrator after
the area where the source is located.
consultation with the State.
The notice shall include information
(4) Plan assessment. The State shall
on how to access the draft permit and
review the adequacy of a plan on a
the administrative record for the draft
periodic basis and within 60 days of
permit.
such time as information becomes
[51 FR 40669, Nov. 7, 1986] available that an applicable increment
EDITORIAL NOTE: For FEDERAL REGISTER ci-
is being violated.
tations affecting § 51.165, see the List of CFR (5) Public participation. Any State ac-
Sections Affected, which appears in the tion taken under this paragraph shall
Finding Aids section of the printed volume be subject to the opportunity for public
and at www.govinfo.gov. hearing in accordance with procedures
259
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
equivalent to those established in source or major modification will meet

§ 51.102. those requirements.
(6) Amendments. (i) Any State re- (iv) Each plan shall use the specific
quired to revise its implementation provisions of paragraphs (a)(7)(iv)(a)
plan by reason of an amendment to through (f) of this section. Deviations
this section, with the exception of from these provisions will be approved
amendments to add new maximum al- only if the State specifically dem-
lowable increases or other measures onstrates that the submitted provi-
pursuant to section 166(a) of the Act, sions are more stringent than or at
shall adopt and submit such plan revi- least as stringent in all respects as the
sion to the Administrator for approval corresponding provisions in paragraphs
no later than 3 years after such amend- (a)(7)(iv)(a) through (f) of this section.
ment is published in the FEDERAL REG- (a) Except as otherwise provided in
ISTER. With regard to a revision to an paragraphs (a)(7)(v) and (vi) of this sec-
implementation plan by reason of an tion, and consistent with the definition
amendment to paragraph (c) of this of major modification contained in
section to add maximum allowable in- paragraph (b)(2) of this section, a
creases or other measures, the State project is a major modification for a
shall submit such plan revision to the regulated NSR pollutant if it causes
Administrator for approval within 21 two types of emissions increases—a sig-
months after such amendment is pub- nificant emissions increase (as defined
lished in the FEDERAL REGISTER. in paragraph (b)(39) of this section),
(ii) Any revision to an implementa- and a significant net emissions in-
tion plan that would amend the provi- crease (as defined in paragraphs (b)(3)
sions for the prevention of significant and (b)(23) of this section). The project
air quality deterioration in the plan is not a major modification if it does
shall specify when and as to what not cause a significant emissions in-
sources and modifications the revision crease. If the project causes a signifi-
is to take effect. cant emissions increase, then the
(iii) Any revision to an implementa- project is a major modification only if
tion plan that an amendment to this it also results in a significant net emis-
section required shall take effect no sions increase.
later than the date of its approval and (b) The procedure for calculating (be-
may operate prospectively. fore beginning actual construction)
(7) Applicability. Each plan shall con- whether a significant emissions in-
tain procedures that incorporate the crease (i.e., the first step of the proc-
requirements in paragraphs (a)(7)(i) ess) will occur depends upon the type of
through (vi) of this section. emissions units being modified, accord-
(i) The requirements of this section ing to paragraphs (a)(7)(iv)(c) through
apply to the construction of any new (f) of this section. The procedure for
major stationary source (as defined in calculating (before beginning actual
paragraph (b)(1) of this section) or any construction) whether a significant net
project at an existing major stationary emissions increase will occur at the
source in an area designated as attain- major stationary source (i.e., the sec-
ment or unclassifiable under sections ond step of the process) is contained in
107(d)(1)(A)(ii) or (iii) of the Act. the definition in paragraph (b)(3) of
(ii) The requirements of paragraphs this section. Regardless of any such
(j) through (r) of this section apply to preconstruction projections, a major
the construction of any new major sta- modification results if the project
tionary source or the major modifica- causes a significant emissions increase
tion of any existing major stationary and a significant net emissions in-
source, except as this section otherwise crease.
provides. (c) Actual-to-projected-actual applica-
(iii) No new major stationary source bility test for projects that only involve
or major modification to which the re- existing emissions units. A significant
quirements of paragraphs (j) through emissions increase of a regulated NSR
(r)(5) of this section apply shall begin pollutant is projected to occur if the
actual construction without a permit sum of the difference between the pro-
that states that the major stationary jected actual emissions (as defined in
260
paragraph (b)(40) of this section) and (a) Any of the following stationary
the baseline actual emissions (as de- sources of air pollutants which emits,
fined in paragraphs (b)(47)(i) and (ii) of or has the potential to emit, 100 tons
this section) for each existing emis- per year or more of any regulated NSR
sions unit, equals or exceeds the sig- pollutant: Fossil fuel-fired steam elec-
nificant amount for that pollutant (as tric plants of more than 250 million
defined in paragraph (b)(23) of this sec- British thermal units per hour heat
tion). input, coal cleaning plants (with ther-
(d) Actual-to-potential test for projects mal dryers), kraft pulp mills, portland
that only involve construction of a new cement plants, primary zinc smelters,
emissions unit(s). A significant emis- iron and steel mill plants, primary alu-
sions increase of a regulated NSR pol- minum ore reduction plants (with ther-
lutant is projected to occur if the sum mal dryers), primary copper smelters,
of the difference between the potential municipal incinerators capable of
to emit (as defined in paragraph (b)(4) charging more than 250 tons of refuse
of this section) from each new emis- per day, hydrofluoric, sulfuric, and ni-
sions unit following completion of the tric acid plants, petroleum refineries,
project and the baseline actual emis- lime plants, phosphate rock processing
sions (as defined in paragraph plants, coke oven batteries, sulfur re-
(b)(47)(iii) of this section) of these units covery plants, carbon black plants (fur-
before the project equals or exceeds the nace process), primary lead smelters,
significant amount for that pollutant fuel conversion plants, sintering
(as defined in paragraph (b)(23) of this plants, secondary metal production
section). plants, chemical process plants (which
(e) [Reserved] does not include ethanol production fa-
(f) Hybrid test for projects that involve cilities that produce ethanol by nat-
multiple types of emissions units. A sig- ural fermentation included in NAICS
nificant emissions increase of a regu- codes 325193 or 312140), fossil-fuel boil-
lated NSR pollutant is projected to ers (or combinations thereof) totaling
occur if the sum of the difference for more than 250 million British thermal
all emissions units, using the method units per hour heat input, petroleum
specified in paragraphs (a)(7)(iv)(c) storage and transfer units with a total
through (d) of this section as applicable storage capacity exceeding 300,000 bar-
with respect to each emissions unit, rels, taconite ore processing plants,
equals or exceeds the significant glass fiber processing plants, and char-
amount for that pollutant (as defined
coal production plants;
in paragraph (b)(23) of this section).
(b) Notwithstanding the stationary
(g) The ‘‘sum of the difference’’ as
source size specified in paragraph
used in paragraphs (c), (d) and (f) of
this section shall include both in- (b)(1)(i)(a) of this section, any sta-
creases and decreases in emissions cal- tionary source which emits, or has the
culated in accordance with those para- potential to emit, 250 tons per year or
graphs. more of a regulated NSR pollutant; or
(v) The plan shall require that for (c) Any physical change that would
any major stationary source for a PAL occur at a stationary source not other-
for a regulated NSR pollutant, the wise qualifying under paragraph (b)(1)
major stationary source shall comply of this section, as a major stationary
with requirements under paragraph (w) source if the change would constitute a
of this section. major stationary source by itself.
(b) Definitions. All State plans shall (ii) A major source that is major for
use the following definitions for the volatile organic compounds or NOX
purposes of this section. Deviations shall be considered major for ozone.
from the following wording will be ap- (iii) The fugitive emissions of a sta-
proved only if the State specifically tionary source shall not be included in
demonstrates that the submitted defi- determining for any of the purposes of
nition is more stringent, or at least as this section whether it is a major sta-
stringent, in all respects as the cor- tionary source, unless the source be-
responding definitions below: longs to one of the following categories
(1)(i) Major stationary source means: of stationary sources:
261
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
(a) Coal cleaning plants (with ther- increase of that pollutant from the
mal dryers); major stationary source.
(b) Kraft pulp mills; (ii) Any significant emissions in-
(c) Portland cement plants; crease (as defined at paragraph (b)(39)
(d) Primary zinc smelters; of this section) from any emissions
(e) Iron and steel mills; units or net emissions increase (as de-
(f) Primary aluminum ore reduction fined in paragraph (b)(3) of this sec-
plants; tion) at a major stationary source that
(g) Primary copper smelters; is significant for volatile organic com-
(h) Municipal incinerators capable of pounds or NOX shall be considered sig-
charging more than 250 tons of refuse nificant for ozone.
per day; (iii) A physical change or change in
(i) Hydrofluoric, sulfuric, or nitric the method of operation shall not in-
acid plants; clude:
(j) Petroleum refineries; (a) Routine maintenance, repair and
(k) Lime plants; replacement. Routine maintenance, re-
pair and replacement shall include, but
(l) Phosphate rock processing plants;
not be limited to, any activity(s) that
(m) Coke oven batteries;
meets the requirements of the equip-
(n) Sulfur recovery plants;
ment replacement provisions contained
(o) Carbon black plants (furnace in paragraph (y) of this section;
process);
(p) Primary lead smelters; NOTE TO PARAGRAPH (b)(2)(iii)(a): On De-
(q) Fuel conversion plants; cember 24, 2003, the second sentence of this
paragraph (b)(2)(iii)(a) is stayed indefinitely
(r) Sintering plants;
by court order. The stayed provisions will
(s) Secondary metal production become effective immediately if the court
plants; terminates the stay. At that time, EPA will
(t) Chemical process plants—The publish a document in the FEDERAL REG-
term chemical processing plant shall ISTER advising the public of the termination
not include ethanol production facili- of the stay.
ties that produce ethanol by natural (b) Use of an alternative fuel or raw
fermentation included in NAICS codes material by reason of any order under
325193 or 312140; section 2 (a) and (b) of the Energy Sup-
(u) Fossil-fuel boilers (or combina- ply and Environmental Coordination
tion thereof) totaling more than 250 Act of 1974 (or any superseding legisla-
million British thermal units per hour tion) or by reason of a natural gas cur-
heat input; tailment plan pursuant to the Federal
(v) Petroleum storage and transfer Power Act;
units with a total storage capacity ex- (c) Use of an alternative fuel by rea-
ceeding 300,000 barrels; son of an order or rule under section
(w) Taconite ore processing plants; 125 of the Act;
(x) Glass fiber processing plants; (d) Use of an alternative fuel at a
(y) Charcoal production plants; steam generating unit to the extent
(z) Fossil fuel-fired steam electric that the fuel is generated from munic-
plants of more that 250 million British ipal solid waste;
thermal units per hour heat input; (e) Use of an alternative fuel or raw
(aa) Any other stationary source cat- material by a stationary source which:
egory which, as of August 7, 1980, is (1) The source was capable of accom-
being regulated under section 111 or 112 modating before January 6, 1975, unless
of the Act. such change would be prohibited under
(2)(i) Major modification means any any federally enforceable permit condi-
physical change in or change in the tion which was established after Janu-
method of operation of a major sta- ary 6, 1975 pursuant to 40 CFR 52.21 or
tionary source that would result in: a under regulations approved pursuant to
significant emissions increase (as de- 40 CFR subpart I or § 51.166; or
fined in paragraph (b)(39) of this sec- (2) The source is approved to use
tion) of a regulated NSR pollutant (as under any permit issued under 40 CFR
defined in paragraph (b)(49) of this sec- 52.21 or under regulations approved
tion); and a significant net emissions pursuant to 40 CFR 51.166;
262
(f) An increase in the hours of oper- (a) The increase in emissions from a
ation or in the production rate, unless particular physical change or change in
such change would be prohibited under the method of operation at a sta-
any federally enforceable permit condi- tionary source as calculated pursuant
tion which was established after Janu- to paragraph (a)(7)(iv) of this section;
ary 6, 1975, pursuant to 40 CFR 52.21 or and
under regulations approved pursuant to (b) Any other increases and decreases
40 CFR subpart I or § 51.166. in actual emissions at the major sta-
(g) Any change in ownership at a stationary source that are contempora-
tionary source. neous with the particular change and
(h) [Reserved] are otherwise creditable. Baseline ac-
(i) The installation, operation, ces- tual emissions for calculating in-
sation, or removal of a temporary creases and decreases under this para-
clean coal technology demonstration graph (b)(3)(i)(b) shall be determined as
project, provided that the project com- provided in paragraph (b)(47), except
plies with: that paragraphs (b)(47)(i)(c) and
(1) The State implementation plan (b)(47)(ii)(d) of this section shall not
for the State in which the project is lo- apply.
cated; and (ii) An increase or decrease in actual
(2) Other requirements necessary to emissions is contemporaneous with the
attain and maintain the national ambi- increase from the particular change
ent air quality standards during the only if it occurs within a reasonable
project and after it is terminated. period (to be specified by the State) be-
(j) The installation or operation of a fore the date that the increase from
permanent clean coal technology dem- the particular change occurs.
onstration project that constitutes (iii) An increase or decrease in actual
repowering, provided that the project emissions is creditable only if:
does not result in an increase in the po- (a) It occurs within a reasonable pe-
tential to emit of any regulated pollut- riod (to be specified by the reviewing
ant emitted by the unit. This exemp- authority); and
tion shall apply on a pollutant-by-pol- (b) The reviewing authority has not
lutant basis. relied on it in issuing a permit for the
(k) The reactivation of a very clean source under regulations approved pur-
coal-fired electric utility steam gener- suant to this section, which permit is
ating unit. in effect when the increase in actual
(iv) This definition shall not apply emissions from the particular change
with respect to a particular regulated occurs; and
NSR pollutant when the major sta- (c) The increase or decrease in emis-
tionary source is complying with the sions did not occur at a Clean Unit, ex-
requirements under paragraph (w) of cept as provided in paragraphs (t)(8)
this section for a PAL for that pollut- and (u)(10) of this section.
ant. Instead, the definition at para- (d) As it pertains to an increase or
graph (w)(2)(viii) of this section shall decrease in fugitive emissions (to the
apply. extent quantifiable), it occurs at an
(v) Fugitive emissions shall not be emissions unit that is part of one of
included in determining for any of the the source categories listed in para-
purposes of this section whether a graph (b)(1)(iii) of this section or it oc-
physical change in or change in the curs at an emission unit that is located
method of operation of a major sta- at a major stationary source that be-
tionary source is a major modification, longs to one of the listed source cat-
unless the source belongs to one of the egories. Fugitive emission increases or
source categories listed in paragraph decreases are not included for those
(b)(1)(iii) of this section. emissions units located at a facility
(3)(i) Net emissions increase means, whose primary activity is not rep-
with respect to any regulated NSR pol- resented by one of the source cat-
lutant emitted by a major stationary egories listed in paragraph (b)(1)(iii) of
source, the amount by which the sum this section and that are not, by them-
of the following exceeds zero: selves, part of a listed source category.
263
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
(iv) An increase or decrease in actual (6)(i) Building, structure, facility, or in-

emissions of sulfur dioxide, particulate stallation means all of the pollutant-
matter, or nitrogen oxides that occurs emitting activities which belong to the
before the applicable minor source same industrial grouping, are located
baseline date is creditable only if it is on one or more contiguous or adjacent
required to be considered in calcu- properties, and are under the control of
lating the amount of maximum allow- the same person (or persons under com-
able increases remaining available. mon control) except the activities of
(v) An increase in actual emissions is any vessel. Pollutant-emitting activi-
creditable only to the extent that the ties shall be considered as part of the
new level of actual emissions exceeds same industrial grouping if they belong
the old level. to the same Major Group (i.e., which
(vi) A decrease in actual emissions is have the same two-digit code) as de-
creditable only to the extent that: scribed in the Standard Industrial Clas-
(a) The old level of actual emissions sification Manual, 1972, as amended by
or the old level of allowable emissions, the 1977 Supplement (U.S. Government
whichever is lower, exceeds the new Printing Office stock numbers 4101–0066
level of actual emissions; and 003–005–00176–0, respectively).
(b) It is enforceable as a practical (ii) The plan may include the fol-
matter at and after the time that ac- lowing provision: Notwithstanding the
tual construction on the particular provisions of paragraph (b)(6)(i) of this
change begins; section, building, structure, facility, or
(c) It has approximately the same installation means, for onshore activi-
qualitative significance for public ties under SIC Major Group 13: Oil and
health and welfare as that attributed Gas Extraction, all of the pollutant-
to the increase from the particular emitting activities included in Major
change; and Group 13 that are located on one or
(vii) An increase that results from a more contiguous or adjacent prop-
physical change at a source occurs erties, and are under the control of the
when the emissions unit on which con- same person (or persons under common
struction occurred becomes oper- control). Pollutant emitting activities
ational and begins to emit a particular shall be considered adjacent if they are
pollutant. Any replacement unit that located on the same surface site; or if
requires shakedown becomes oper- they are located on surface sites that
ational only after a reasonable shake- are located within 1⁄4 mile of one an-
down period, not to exceed 180 days. other (measured from the center of the
(viii) Paragraph (b)(21)(ii) of this sec- equipment on the surface site) and
tion shall not apply for determining they share equipment. Shared equip-
creditable increases and decreases. ment includes, but is not limited to,
(4) Potential to emit means the max- produced fluids storage tanks, phase
imum capacity of a stationary source separators, natural gas dehydrators or
to emit a pollutant under its physical emissions control devices. Surface site,
and operational design. Any physical as used in this paragraph (b)(6)(ii), has
or operational limitation on the capac- the same meaning as in 40 CFR 63.761.
ity of the source to emit a pollutant, (7) Emissions unit means any part of a
including air pollution control equip- stationary source that emits or would
ment and restrictions on hours of oper- have the potential to emit any regu-
ation or on the type or amount of ma- lated NSR pollutant and includes an
terial combusted, stored, or processed, electric utility steam generating unit
shall be treated as part of its design if as defined in paragraph (b)(30) of this
the limitation or the effect it would section. For purposes of this section,
have on emissions is federally enforce- there are two types of emissions units
able. Secondary emissions do not count as described in paragraphs (b)(7)(i) and
in determining the potential to emit of (ii) of this section.
a stationary source. (i) A new emissions unit is any emis-
(5) Stationary source means any build- sions unit that is (or will be) newly
ing, structure, facility, or installation constructed and that has existed for
which emits or may emit a regulated less than 2 years from the date such
NSR pollutant. emissions unit first operated.
264
(ii) An existing emissions unit is any into account energy, environmental,

emissions unit that does not meet the and economic impacts and other costs,
requirements in paragraph (b)(7)(i) of determines is achievable for such
this section. A replacement unit, as de- source or modification through appli-
fined in paragraph (b)(32) of this sec- cation of production processes or avail-
tion, is an existing emissions unit. able methods, systems, and techniques,
(8) Construction means any physical including fuel cleaning or treatment or
change or change in the method of op- innovative fuel combination tech-
eration (including fabrication, erec- niques for control of such pollutant. In
tion, installation, demolition, or modi- no event shall application of best avail-
fication of an emissions unit) that able control technology result in emis-
would result in a change in emissions. sions of any pollutant which would ex-
(9) Commence as applied to construc- ceed the emissions allowed by any ap-
tion of a major stationary source or plicable standard under 40 CFR parts 60
major modification means that the and 61. If the reviewing authority de-
owner or operator has all necessary termines that technological or eco-
preconstruction approvals or permits nomic limitations on the application of
and either has: measurement methodology to a par-
(i) Begun, or caused to begin, a con- ticular emissions unit would make the
tinuous program of actual on-site con- imposition of an emissions standard in-
struction of the source, to be com- feasible, a design, equipment, work
pleted within a reasonable time; or practice, operational standard or com-
(ii) Entered into binding agreements bination thereof, may be prescribed in-
or contractual obligations, which can- stead to satisfy the requirement for the
not be cancelled or modified without application of best available control
substantial loss to the owner or oper- technology. Such standard shall, to the
ator, to undertake a program of actual degree possible, set forth the emissions
construction of the source to be com- reduction achievable by implementa-
pleted within a reasonable time. tion of such design, equipment, work
(10) Necessary preconstruction approv- practice or operation, and shall provide
als or permits means those permits or for compliance by means which achieve
approvals required under Federal air equivalent results.
quality control laws and regulations (13)(i) Baseline concentration means
and those air quality control laws and that ambient concentration level that
regulations which are part of the appli- exists in the baseline area at the time
cable State Implementation Plan. of the applicable minor source baseline
(11) Begin actual construction means, date. A baseline concentration is deter-
in general, initiation of physical on- mined for each pollutant for which a
site construction activities on an emis- minor source baseline date is estab-
sions unit which are of a permanent lished and shall include:
nature. Such activities include, but are (a) The actual emissions, as defined
not limited to, installation of building in paragraph (b)(21) of this section, rep-
supports and foundations, laying of un- resentative of sources in existence on
derground pipework, and construction the applicable minor source baseline
of permanent storage structures. With date, except as provided in paragraph
respect to a change in method of oper- (b)(13)(ii) of this section;
ation this term refers to those on-site (b) The allowable emissions of major
activities, other than preparatory ac- stationary sources that commenced
tivities, which mark the initiation of construction before the major source
the change. baseline date, but were not in oper-
(12) Best available control technology ation by the applicable minor source
means an emissions limitation (includ- baseline date.
ing a visible emissions standard) based (ii) The following will not be included
on the maximum degree of reduction in the baseline concentration and will
for each a regulated NSR pollutant affect the applicable maximum allow-
which would be emitted from any pro- able increase(s):
posed major stationary source or major (a) Actual emissions, as defined in
modification which the reviewing au- paragraph (b)(21) of this section, from
thority, on a case-by-case basis, taking any major stationary source on which
265
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
construction commenced after the source, or the net emissions increase

major source baseline date; and from the major modification, respon-
(b) Actual emissions increases and sible for triggering that date did not
decreases, as defined in paragraph result in a significant amount of PM–10
(b)(21) of this section, at any sta- emissions.
tionary source occurring after the (15)(i) Baseline area means any intra-
minor source baseline date. state area (and every part thereof) des-
(14)(i) Major source baseline date ignated as attainment or unclassifiable
means: under section 107(d)(1)(A)(ii) or (iii) of
(a) In the case of PM10 and sulfur di- the Act in which the major source or
oxide, January 6, 1975; major modification establishing the
(b) In the case of nitrogen dioxide, minor source baseline date would con-
February 8, 1988; and struct or would have an air quality im-
(c) In the case of PM2.5, October 20, pact for the pollutant for which the
2010. baseline date is established, as follows:
(ii) Minor source baseline date means Equal to or greater than 1 μg/m3 (an-
the earliest date after the trigger date nual average) for SO2, NO2, or PM10; or
on which a major stationary source or equal or greater than 0.3 μg/m3 (annual
a major modification subject to 40 CFR average) for PM2.5.
52.21 or to regulations approved pursu- (ii) Area redesignations under section
ant to 40 CFR 51.166 submits a complete 107(d)(1)(A)(ii) or (iii) of the Act cannot
application under the relevant regula- intersect or be smaller than the area of
tions. The trigger date is: impact of any major stationary source
(a) In the case of PM10 and sulfur di- or major modification which:
oxide, August 7, 1977;
(a) Establishes a minor source base-
(b) In the case of nitrogen dioxide,
line date; or
February 8, 1988; and
(b) Is subject to 40 CFR 52.21 or under
(c) In the case of PM2.5, October 20,
regulations approved pursuant to 40
2011.
CFR 51.166, and would be constructed in
(iii) The baseline date is established
the same State as the State proposing
for each pollutant for which incre-
the redesignation.
ments or other equivalent measures
have been established if: (iii) Any baseline area established
(a) The area in which the proposed originally for the TSP increments shall
source or modification would construct remain in effect and shall apply for
is designated as attainment or purposes of determining the amount of
unclassifiable under section available PM–10 increments, except
107(d)(1)(A)(ii) or (iii) of the Act for the that such baseline area shall not re-
pollutant on the date of its complete main in effect if the permit authority
application under 40 CFR 52.21 or under rescinds the corresponding minor
regulations approved pursuant to 40 source baseline date in accordance with
CFR 51.166; and paragraph (b)(14)(iv) of this section.
(b) In the case of a major stationary (16) Allowable emissions means the
source, the pollutant would be emitted emissions rate of a stationary source
in significant amounts, or, in the case calculated using the maximum rated
of a major modification, there would be capacity of the source (unless the
a significant net emissions increase of source is subject to federally enforce-
the pollutant. able limits which restrict the operating
(iv) Any minor source baseline date rate, or hours of operation, or both)
established originally for the TSP in- and the most stringent of the fol-
crements shall remain in effect and lowing:
shall apply for purposes of determining (i) The applicable standards as set
the amount of available PM–10 incre- forth in 40 CFR parts 60 and 61;
ments, except that the reviewing au- (ii) The applicable State Implementa-
thority may rescind any such minor tion Plan emissions limitation, includ-
source baseline date where it can be ing those with a future compliance
shown, to the satisfaction of the re- date; or
viewing authority, that the emissions (iii) The emissions rate specified as a
increase from the major stationary federally enforceable permit condition.
266
(17) Federally enforceable means all section, except that this definition
limitations and conditions which are shall not apply for calculating whether
enforceable by the Administrator, in- a significant emissions increase has oc-
cluding those requirements developed curred, or for establishing a PAL under
pursuant to 40 CFR parts 60 and 61, re- paragraph (w) of this section. Instead,
quirements within any applicable State paragraphs (b)(40) and (b)(47) of this
implementation plan, any permit re- section shall apply for those purposes.
quirements established pursuant to 40 (ii) In general, actual emissions as of
CFR 52.21 or under regulations ap- a particular date shall equal the aver-
proved pursuant to 40 CFR part 51, sub- age rate, in tons per year, at which the
part I, including operating permits unit actually emitted the pollutant
issued under an EPA-approved program during a consecutive 24-month period
that is incorporated into the State im- which precedes the particular date and
plementation plan and expressly re- which is representative of normal
quires adherence to any permit issued source operation. The reviewing au-
under such program. thority shall allow the use of a dif-
(18) Secondary emissions means emis- ferent time period upon a determina-
sions which occur as a result of the tion that it is more representative of
construction or operation of a major normal source operation. Actual emis-
stationary source or major modifica- sions shall be calculated using the
tion, but do not come from the major unit’s actual operating hours, produc-
stationary source or major modification rates, and types of materials proc-
tion itself. For the purposes of this sec- essed, stored, or combusted during the
tion, secondary emissions must be spe- selected time period.
cific, well defined, quantifiable, and (iii) The reviewing authority may
impact the same general areas the sta- presume that source-specific allowable
tionary source modification which emissions for the unit are equivalent to
causes the secondary emissions. Sec- the actual emissions of the unit.
ondary emissions include emissions (iv) For any emissions unit that has
from any offsite support facility which not begun normal operations on the
would not be constructed or increase particular date, actual emissions shall
its emissions except as a result of the equal the potential to emit of the unit
construction or operation of the major on that date.
stationary source or major modifica- (22) Complete means, in reference to
tion. Secondary emissions do not in- an application for a permit, that the
clude any emissions which come di- application contains all the informa-
rectly from a mobile source, such as tion necessary for processing the appli-
emissions from the tailpipe of a motor cation. Designating an application
vehicle, from a train, or from a vessel. complete for purposes of permit proc-
(19) Innovative control technology essing does not preclude the reviewing
means any system of air pollution con- authority from requesting or accepting
trol that has not been adequately dem- any additional information.
onstrated in practice, but would have a (23)(i) Significant means, in reference
substantial likelihood of achieving to a net emissions increase or the po-
greater continuous emissions reduction tential of a source to emit any of the
than any control system in current following pollutants, a rate of emis-
practice or of achieving at least com- sions that would equal or exceed any of
parable reductions at lower cost in the following rates:
terms of energy, economics, or nonair
quality environmental impacts. POLLUTANT AND EMISSIONS RATE
(20) Fugitive emissions means those Carbon monoxide: 100 tons per year (tpy)
emissions which could not reasonably Nitrogen oxides: 40 tpy
pass through a stack, chimney, vent, or Sulfur dioxide: 40 tpy
other functionally equivalent opening. Particulate matter: 25 tpy of particulate
matter emissions. 15 tpy of PM10 emissions
(21)(i) Actual emissions means the ac-
PM2.5: 10 tpy of direct PM2.5 emissions; 40 tpy
tual rate of emissions of a regulated of sulfur dioxide emissions; 40 tpy of nitro-
NSR pollutant from an emissions unit, gen oxide emissions unless demonstrated
as determined in accordance with para- not to be a PM2.5 precursor under para-
graphs (b)(21)(ii) through (iv) of this graph (b)(49) of this section
267
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
Ozone: 40 tpy of volatile organic compounds (30) Electric utility steam generating
or nitrogen oxides unit means any steam electric gener-
Lead: 0.6 tpy ating unit that is constructed for the
Fluorides: 3 tpy
Sulfuric acid mist: 7 tpy purpose of supplying more than one-
Hydrogen sulfide (H2S): 10 tpy third of its potential electric output
Total reduced sulfur (including H2S): 10 tpy capacity and more than 25 MW elec-
Reduced sulfur compounds (including H2S): trical output to any utility power dis-
10 tpy tribution system for sale. Any steam
Municipal waste combustor organics (meas- supplied to a steam distribution sys-
ured as total tetra-through octa-
chlorinated dibenzo-p-dioxins and tem for the purpose of providing steam
dibenzofurans): 3.2 × 10– ¥6 megagrams per to a steam-electric generator that
year (3.5 × 10 tons per year)
¥6 would produce electrical energy for
Municipal waste combustor metals (meas- sale is also considered in determining
ured as particulate matter): 14 megagrams the electrical energy output capacity
per year (15 tons per year) of the affected facility.
Municipal waste combustor acid gases
(measured as sulfur dioxide and hydrogen (31) [Reserved]
chloride): 36 megagrams per year (40 tons (32) Replacement unit means an emis-
per year) sions unit for which all the criteria
Municipal solid waste landfill emissions listed in paragraphs (b)(32)(i) through
(measured as nonmethane organic com- (iv) of this section are met. No cred-
pounds): 45 megagrams per year (50 tons
itable emission reductions shall be gen-
per year)
erated from shutting down the existing
(ii) Significant means, in reference to emissions unit that is replaced.
a net emissions increase or the poten- (i) The emissions unit is a recon-
tial of a source to emit a regulated structed unit within the meaning of
NSR pollutant that paragraph (b)(23)(i) § 60.15(b)(1) of this chapter, or the emis-
of this section, does not list, any emissions unit completely takes the place
sions rate. of an existing emissions unit.
(iii) Notwithstanding paragraph (ii) The emissions unit is identical to
(b)(23)(i) of this section, significant
or functionally equivalent to the re-
means any emissions rate or any net
placed emissions unit.
emissions increase associated with a
major stationary source or major (iii) The replacement does not change
modification, which would construct the basic design parameter(s) (as dis-
within 10 kilometers of a Class I area, cussed in paragraph (y)(2) of this sec-
and have an impact on such area equal tion) of the process unit.
to or greater than 1 μg/m3 (24-hour av- (iv) The replaced emissions unit is
erage). permanently removed from the major
(24) Federal Land Manager means, stationary source, otherwise perma-
with respect to any lands in the United nently disabled, or permanently barred
States, the Secretary of the depart- from operation by a permit that is en-
ment with authority over such lands. forceable as a practical matter. If the
(25) High terrain means any area hav- replaced emissions unit is brought
ing an elevation 900 feet or more above back into operation, it shall constitute
the base of the stack of a source. a new emissions unit.
(26) Low terrain means any area other (33) Clean coal technology means any
than high terrain. technology, including technologies ap-
(27) Indian Reservation means any fed- plied at the precombustion, combus-
erally recognized reservation estab- tion, or post combustion stage, at a
lished by Treaty, Agreement, Execu- new or existing facility which will
tive Order, or Act of Congress. achieve significant reductions in air
(28) Indian Governing Body means the emissions of sulfur dioxide or oxides of
governing body of any tribe, band, or nitrogen associated with the utiliza-
group of Indians subject to the jurisdiction of coal in the generation of elec-
tion of the United States and recog- tricity, or process steam which was not
nized by the United States as pos- in widespread use as of November 15,
sessing power of self-government. 1990.
(29) Volatile organic compounds (VOC) (34) Clean coal technology demonstra-
is as defined in § 51.100(s) of this part. tion project means a project using funds
268
appropriated under the heading ‘‘De- after a period of discontinued operation

partment of Energy—Clean Coal Tech- where the unit:
nology’’, up to a total amount of (i) Has not been in operation for the
$2,500,000,000 for commercial dem- two-year period prior to the enactment
onstration of clean coal technology, or of the Clean Air Act Amendments of
similar projects funded through appro- 1990, and the emissions from such unit
priations for the Environmental Pro- continue to be carried in the permit-
tection Agency. The Federal contributing authority’s emissions inventory at
tion for a qualifying project shall be at the time of enactment;
least 20 percent of the total cost of the (ii) Was equipped prior to shutdown
demonstration project. with a continuous system of emissions
(35) Temporary clean coal technology control that achieves a removal effi-
demonstration project means a clean ciency for sulfur dioxide of no less than
coal technology demonstration project 85 percent and a removal efficiency for
that is operated for a period of 5 years particulates of no less than 98 percent;
or less, and which complies with the (iii) Is equipped with low-NOX burn-
State implementation plan for the ers prior to the time of commencement
State in which the project is located of operations following reactivation;
and other requirements necessary to and
attain and maintain the national ambi- (iv) Is otherwise in compliance with
ent air quality standards during and the requirements of the Clean Air Act.
after the project is terminated. (38) Pollution prevention means any
(36)(i) Repowering means replacement activity that through process changes,
of an existing coal-fired boiler with one product reformulation or redesign, or
of the following clean coal tech- substitution of less polluting raw ma-
nologies: atmospheric or pressurized terials, eliminates or reduces the re-
fluidized bed combustion, integrated lease of air pollutants (including fugi-
gasification combined cycle, magneto- tive emissions) and other pollutants to
hydrodynamics, direct and indirect the environment prior to recycling,
coal-fired turbines, integrated gasifi- treatment, or disposal; it does not
cation fuel cells, or as determined by mean recycling (other than certain
the Administrator, in consultation ‘‘in-process recycling’’ practices), en-
with the Secretary of Energy, a deriva- ergy recovery, treatment, or disposal.
tive of one or more of these tech- (39) Significant emissions increase
nologies, and any other technology ca- means, for a regulated NSR pollutant,
pable of controlling multiple combus- an increase in emissions that is signifi-
tion emissions simultaneously with im- cant (as defined in paragraph (b)(23) of
proved boiler or generation efficiency this section) for that pollutant.
and with significantly greater waste (40)(i) Projected actual emissions means
reduction relative to the performance the maximum annual rate, in tons per
of technology in widespread commer- year, at which an existing emissions
cial use as of November 15, 1990. unit is projected to emit a regulated
(ii) Repowering shall also include any NSR pollutant in any one of the 5 years
oil and/or gas-fired unit which has been (12-month period) following the date
awarded clean coal technology dem- the unit resumes regular operation
onstration funding as of January 1, after the project, or in any one of the
1991, by the Department of Energy. 10 years following that date, if the
(iii) The reviewing authority shall project involves increasing the emis-
give expedited consideration to permit sions unit’s design capacity or its po-
applications for any source that satis- tential to emit that regulated NSR pol-
fies the requirements of this subsection lutant, and full utilization of the unit
and is granted an extension under sec- would result in a significant emissions
tion 409 of the Clean Air Act. increase, or a significant net emissions
(37) Reactivation of a very clean coal- increase at the major stationary
fired electric utility steam generating unit source.
means any physical change or change (ii) In determining the projected ac-
in the method of operation associated tual emissions under paragraph
with the commencement of commercial (b)(40)(i) of this section (before begin-
operations by a coal-fired utility unit ning actual construction), the owner or
269
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
operator of the major stationary voltages and electric currents) and

source: other information (for example, gas
(a) Shall consider all relevant infor- flow rate, O2 or CO2 concentrations),
mation, including but not limited to, and calculate and record the mass
historical operational data, the com- emissions rate (for example, lb/hr) on a
pany’s own representations, the com- continuous basis.
pany’s expected business activity and (45) Continuous parameter monitoring
the company’s highest projections of system (CPMS) means all of the equip-
business activity, the company’s filings ment necessary to meet the data acqui-
with the State or Federal regulatory sition and availability requirements of
authorities, and compliance plans this section, to monitor process and
under the approved plan; and control device operational parameters
(b) Shall include fugitive emissions (for example, control device secondary
to the extent quantifiable, and emis- voltages and electric currents) and
sions associated with startups, shut- other information (for example, gas
downs, and malfunctions; and flow rate, O2 or CO2 concentrations),
(c) Shall exclude, in calculating any and to record average operational pa-
increase in emissions that results from rameter value(s) on a continuous basis.
the particular project, that portion of (46) Continuous emissions rate moni-
the unit’s emissions following the toring system (CERMS) means the total
project that an existing unit could equipment required for the determina-
have accommodated during the con- tion and recording of the pollutant
secutive 24-month period used to estab- mass emissions rate (in terms of mass
lish the baseline actual emissions per unit of time).
under paragraph (b)(47) of this section (47) Baseline actual emissions means
and that are also unrelated to the par- the rate of emissions, in tons per year,
ticular project, including any increased of a regulated NSR pollutant, as deter-
utilization due to product demand mined in accordance with paragraphs
growth; or, (b)(47)(i) through (iv) of this section.
(d) In lieu of using the method set (i) For any existing electric utility
out in paragraphs (b)(40)(ii)(a) through steam generating unit, baseline actual
(c) of this section, may elect to use the emissions means the average rate, in
emissions unit’s potential to emit, in tons per year, at which the unit actu-
tons per year, as defined under para- ally emitted the pollutant during any
graph (b)(4) of this section. consecutive 24-month period selected
(41) [Reserved] by the owner or operator within the 5-
(42) Prevention of Significant Deteriora- year period immediately preceding
tion Program (PSD) program means a when the owner or operator begins ac-
major source preconstruction permit tual construction of the project. The
program that has been approved by the reviewing authority shall allow the use
Administrator and incorporated into of a different time period upon a deter-
the plan to implement the require- mination that it is more representative
ments of this section, or the program of normal source operation.
in § 52.21 of this chapter. Any permit (a) The average rate shall include fu-
issued under such a program is a major gitive emissions to the extent quantifi-
NSR permit. able, and emissions associated with
(43) Continuous emissions monitoring startups, shutdowns, and malfunctions.
system (CEMS) means all of the equip- (b) The average rate shall be adjusted
ment that may be required to meet the downward to exclude any non-compli-
data acquisition and availability re- ant emissions that occurred while the
quirements of this section, to sample, source was operating above an emis-
condition (if applicable), analyze, and sion limitation that was legally en-
provide a record of emissions on a con- forceable during the consecutive 24-
tinuous basis. month period.
(44) Predictive emissions monitoring sys- (c) For a regulated NSR pollutant,
tem (PEMS) means all of the equipment when a project involves multiple emis-
necessary to monitor process and con- sions units, only one consecutive 24-
trol device operational parameters (for month period must be used to deter-
example, control device secondary mine the baseline actual emissions for
270
the emissions units being changed. A nance plan consistent with the require-
different consecutive 24-month period ments of § 51.165(a)(3)(ii)(G).
can be used For each regulated NSR (d) For a regulated NSR pollutant,
pollutant. when a project involves multiple emis-
(d) The average rate shall not be sions units, only one consecutive 24-
based on any consecutive 24-month pe- month period must be used to deter-
riod for which there is inadequate in- mine the baseline actual emissions for
formation for determining annual the emissions units being changed. A
emissions, in tons per year, and for ad- different consecutive 24-month period
justing this amount if required by can be used For each regulated NSR
paragraph (b)(47)(i)(b) of this section. pollutant.
(ii) For an existing emissions unit (e) The average rate shall not be
(other than an electric utility steam based on any consecutive 24-month pe-
generating unit), baseline actual emis- riod for which there is inadequate in-
sions means the average rate, in tons formation for determining annual
per year, at which the emissions unit emissions, in tons per year, and for ad-
actually emitted the pollutant during justing this amount if required by
any consecutive 24-month period se- paragraphs (b)(47)(ii)(b) and (c) of this
lected by the owner or operator within section.
the 10-year period immediately pre- (iii) For a new emissions unit, the
ceding either the date the owner or op- baseline actual emissions for purposes
erator begins actual construction of of determining the emissions increase
the project, or the date a complete per- that will result from the initial con-
mit application is received by the re- struction and operation of such unit
viewing authority for a permit required shall equal zero; and thereafter, for all
either under this section or under a other purposes, shall equal the unit’s
plan approved by the Administrator, potential to emit.
(iv) For a PAL for a stationary
whichever is earlier, except that the 10-
source, the baseline actual emissions
year period shall not include any pe-
shall be calculated for existing electric
riod earlier than November 15, 1990.
utility steam generating units in ac-
(a) The average rate shall include fu- cordance with the procedures con-
gitive emissions to the extent quantifi- tained in paragraph (b)(47)(i) of this
able, and emissions associated with section, for other existing emissions
startups, shutdowns, and malfunctions. units in accordance with the proce-
(b) The average rate shall be adjusted dures contained in paragraph (b)(47)(ii)
downward to exclude any non-compli- of this section, and for a new emissions
ant emissions that occurred while the unit in accordance with the procedures
source was operating above an emis- contained in paragraph (b)(47)(iii) of
sion limitation that was legally en- this section.
forceable during the consecutive 24- (48) Subject to regulation means, for
month period. any air pollutant, that the pollutant is
(c) The average rate shall be adjusted subject to either a provision in the
downward to exclude any emissions Clean Air Act, or a nationally-applica-
that would have exceeded an emission ble regulation codified by the Adminis-
limitation with which the major sta- trator in subchapter C of this chapter,
tionary source must currently comply, that requires actual control of the
had such major stationary source been quantity of emissions of that pollut-
required to comply with such limita- ant, and that such a control require-
tions during the consecutive 24-month ment has taken effect and is operative
period. However, if an emission limita- to control, limit or restrict the quan-
tion is part of a maximum achievable tity of emissions of that pollutant re-
control technology standard that the leased from the regulated activity. Ex-
Administrator proposed or promul- cept that:
gated under part 63 of this chapter, the (i) Greenhouse gases (GHGs), the air
baseline actual emissions need only be pollutant defined in § 86.1818–12(a) of
adjusted if the State has taken credit this chapter as the aggregate group of
for such emissions reductions in an at- six greenhouse gases: Carbon dioxide,
tainment demonstration or mainte- nitrous oxide, methane,
271
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
hydrofluorocarbons, perfluorocarbons, NSR pollutant that is not GHGs, and

and sulfur hexafluoride, shall not be also will emit or will have the poten-
subject to regulation except as pro- tial to emit 75,000 tpy CO2e or more; or
vided in paragraphs (b)(48)(iv) through (b) The stationary source is an exist-
(v) of this section. ing major stationary source for a regu-
(ii) For purposes of paragraphs lated NSR pollutant that is not GHGs,
(b)(48)(iii) through (v) of this section, and also will have an emissions in-
the term tpy CO2 equivalent emissions crease of a regulated NSR pollutant,
(CO2e) shall represent an amount of and an emissions increase of 75,000 tpy
GHGs emitted, and shall be computed CO2e or more; and,
as follows: (49) Regulated NSR pollutant, for pur-
(a) Multiplying the mass amount of poses of this section, means the fol-
emissions (tpy), for each of the six lowing:
greenhouse gases in the pollutant (i) Any pollutant for which a na-
GHGs, by the gas’s associated global tional ambient air quality standard has
warming potential published at Table been promulgated. This includes, but is
A–1 to subpart A of part 98 of this chap- not limited to, the following:
ter—Global Warming Potentials. For
(a) PM2.5 emissions and PM10 emis-
purposes of this paragraph (b)(48)(ii)(a),
sions shall include gaseous emissions
prior to July 21, 2014, the mass of the
from a source or activity which con-
greenhouse gas carbon dioxide shall
dense to form particulate matter at
not include carbon dioxide emissions
ambient temperatures. On or after Jan-
resulting from the combustion or de-
uary 1, 2011, such condensable particu-
composition of non-fossilized and bio-
degradable organic material origi- late matter shall be accounted for in
nating from plants, animals, or micro- applicability determinations and in es-
organisms (including products, by- tablishing emissions limitations for
products, residues and waste from agri- PM2.5 and PM10 in PSD permits. Com-
culture, forestry and related industries pliance with emissions limitations for
as well as the non-fossilized and bio- PM2.5 and PM10 issued prior to this date
degradable organic fractions of indus- shall not be based on condensable par-
trial and municipal wastes, including ticulate matter unless required by the
gases and liquids recovered from the terms and conditions of the permit or
decomposition of non-fossilized and the applicable implementation plan.
biodegradable organic material). Applicability determinations made
(b) Sum the resultant value from prior to this date without accounting
paragraph (b)(48)(ii)(a) of this section for condensable particulate matter
for each gas to compute a tpy CO2e. shall not be considered in violation of
(iii) The term emissions increase as this section unless the applicable im-
used in paragraphs (b)(48)(iv) through plementation plan required conden-
(v) of this section shall mean that both sable particulate matter to be in-
a significant emissions increase (as cal- cluded;
culated using the procedures in (b) Any pollutant identified under
(a)(7)(iv) of this section) and a signifi- this paragraph (b)(49)(i)(b) as a con-
cant net emissions increase (as defined stituent or precursor to a pollutant for
in paragraphs (b)(3) and (b)(23) of this which a national ambient air quality
section) occur. For the pollutant standard has been promulgated. Pre-
GHGs, an emissions increase shall be cursors identified by the Administrator
based on tpy CO2e, and shall be cal- for purposes of NSR are the following:
culated assuming the pollutant GHGs (1) Volatile organic compounds and
is a regulated NSR pollutant, and nitrogen oxides are precursors to ozone
‘‘significant’’ is defined as 75,000 tpy in all attainment and unclassifiable
CO2e instead of applying the value in areas.
paragraph (b)(23)(ii) of this section. (2) Sulfur dioxide is a precursor to
(iv) Beginning January 2, 2011, the PM2.5 in all attainment and
pollutant GHGs is subject to regulation unclassifiable areas.
if: (3) Nitrogen oxides are presumed to
(a) The stationary source is a new be precursors to PM2.5 in all attain-
major stationary source for a regulated ment and unclassifiable areas, unless
272
the State demonstrates to the Admin- rial inputs to produce or store an inter-
istrator’s satisfaction or EPA dem- mediate or a completed product. A sin-
onstrates that emissions of nitrogen gle stationary source may contain
oxides from sources in a specific area more than one process unit, and a proc-
are not a significant contributor to ess unit may contain more than one
that area’s ambient PM2.5 concentra- emissions unit.
tions. (ii) Pollution control equipment is
(4) Volatile organic compounds are not part of the process unit, unless it
presumed not to be precursors to PM2.5 serves a dual function as both process
in any attainment or unclassifiable and control equipment. Administrative
area, unless the State demonstrates to and warehousing facilities are not part
the Administrator’s satisfaction or of the process unit.
EPA demonstrates that emissions of (iii) For replacement cost purposes,
volatile organic compounds from components shared between two or
sources in a specific area are a signifi- more process units are proportionately
cant contributor to that area’s ambi- allocated based on capacity.
ent PM2.5 concentrations. (iv) The following list identifies the
(ii) Any pollutant that is subject to process units at specific categories of
any standard promulgated under sec- stationary sources.
tion 111 of the Act; (a) For a steam electric generating
(iii) Any Class I or II substance sub- facility, the process unit consists of
ject to a standard promulgated under those portions of the plant that con-
or established by title VI of the Act; tribute directly to the production of
(iv) Any pollutant that otherwise is electricity. For example, at a pulver-
subject to regulation under the Act as ized coal-fired facility, the process unit
defined in paragraph (b)(48) of this sec- would generally be the combination of
tion. those systems from the coal receiving
(v) Notwithstanding paragraphs equipment through the emission stack
(b)(49)(i) through (iv) of this section, (excluding post-combustion pollution
the term regulated NSR pollutant shall controls), including the coal handling
not include any or all hazardous air equipment, pulverizers or coal
pollutants either listed in section 112 of crushers, feedwater heaters, ash han-
the Act, or added to the list pursuant dling, boiler, burners, turbine-gener-
to section 112(b)(2) of the Act, and ator set, condenser, cooling tower,
which have not been delisted pursuant water treatment system, air
to section 112(b)(3) of the Act, unless preheaters, and operating control sys-
the listed hazardous air pollutant is tems. Each separate generating unit is
also regulated as a constituent or pre- a separate process unit.
cursor of a general pollutant listed (b) For a petroleum refinery, there
under section 108 of the Act. are several categories of process units:
(50) Reviewing authority means the those that separate and/or distill petro-
State air pollution control agency, leum feedstocks; those that change mo-
local agency, other State agency, In- lecular structures; petroleum treating
dian tribe, or other agency authorized processes; auxiliary facilities, such as
by the Administrator to carry out a steam generators and hydrogen produc-
permit program under § 51.165 and this tion units; and those that load, unload,
section, or the Administrator in the blend or store intermediate or com-
case of EPA-implemented permit pro- pleted products.
grams under § 52.21 of this chapter. (c) For an incinerator, the process
(51) Project means a physical change unit would consist of components from
in, or change in method of operation of, the feed pit or refuse pit to the stack,
an existing major stationary source. including conveyors, combustion de-
(52) Lowest achievable emission rate vices, heat exchangers and steam gen-
(LAER) is as defined in erators, quench tanks, and fans.
§ 51.165(a)(1)(xiii). NOTE TO PARAGRAPH (b)(53): By a court
(53)(i) In general, process unit means order on December 24, 2003, this paragraph
any collection of structures and/or (b)(53) is stayed indefinitely. The stayed pro-
equipment that processes, assembles, visions will become effective immediately if
applies, blends, or otherwise uses mate- the court terminates the stay. At that time,
273
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
EPA will publish a document in the FEDERAL (56) Total capital investment means the
REGISTER advising the public of the termi- sum of the following: all costs required
nation of the stay.
to purchase needed process equipment
(54) Functionally equivalent component (purchased equipment costs); the costs
means a component that serves the of labor and materials for installing
same purpose as the replaced compo- that equipment (direct installation
nent. costs); the costs of site preparation and
NOTE TO PARAGRAPH (b)(54): By a court buildings; other costs such as engineer-
order on December 24, 2003, this paragraph ing, construction and field expenses,
(b)(54) is stayed indefinitely. The stayed pro- fees to contractors, startup and per-
visions will become effective immediately if formance tests, and contingencies (in-
the court terminates the stay. At that time, direct installation costs); land for the
EPA will publish a document in the FEDERAL process equipment; and working cap-
REGISTER advising the public of the termi-
nation of the stay.
ital for the process equipment.
(55) Fixed capital cost means the cap- NOTE TO PARAGRAPH (b)(56): By a court
ital needed to provide all the depre- order on December 24, 2003, this paragraph
(b)(56) is stayed indefinitely. The stayed pro-
ciable components. ‘‘Depreciable com- visions will become effective immediately if
ponents’’ refers to all components of the court terminates the stay. At that time,
fixed capital cost and is calculated by EPA will publish a document in the FEDERAL
subtracting land and working capital REGISTER advising the public of the termi-
from the total capital investment, as nation of the stay.
defined in paragraph (b)(56) of this sec-
(c) Ambient air increments and other
tion.
measures. (1) The plan shall contain
NOTE TO PARAGRAPH (b)(55): By a court emission limitations and such other
order on December 24, 2003, this paragraph measures as may be necessary to as-
(b)(55) is stayed indefinitely. The stayed pro-
sure that in areas designated as Class I,
visions will become effective immediately if
the court terminates the stay. At that time, II, or III, increases in pollutant con-
EPA will publish a document in the FEDERAL centrations over the baseline con-
REGISTER advising the public of the termi- centration shall be limited to the fol-
nation of the stay. lowing:
Maximum
allowable
increase
Pollutant (micrograms
per cubic
meter)
Class I Area
PM2.5:
Annual arithmetic mean .............................................................................................................................. 1
24-hr maximum ........................................................................................................................................... 2
PM10:
24-hr maximum ........................................................................................................................................... 8
Sulfur dioxide:
24-hr maximum ........................................................................................................................................... 5
3-hr maximum ............................................................................................................................................. 25
Nitrogen dioxide:
Annual arithmetic mean .............................................................................................................................. 2.5
Class II Area
PM2.5:
24-hr maximum ........................................................................................................................................... 9
PM10:
24-hr maximum ........................................................................................................................................... 30
Sulfur dioxide:
24-hr maximum ........................................................................................................................................... 91
3-hr maximum ............................................................................................................................................. 512
Nitrogen dioxide:
274
Maximum
allowable
increase
per cubic
meter)
Class III Area
PM2.5:
24-hr maximum ........................................................................................................................................... 18
PM10:
24-hr maximum ........................................................................................................................................... 60
Sulfur dioxide:
24-hr maximum ........................................................................................................................................... 182
3-hr maximum ............................................................................................................................................. 700
Nitrogen dioxide:
For any period other than an annual shall be Class I areas and may not be
period, the applicable maximum allow- redesignated:
able increase may be exceeded during (i) International parks,
one such period per year at any one lo- (ii) National wilderness areas which
cation. exceed 5,000 acres in size,
(2) Where the State can demonstrate (iii) National memorial parks which
that it has alternative measures in its exceed 5,000 acres in size, and
plan other than maximum allowable (iv) National parks which exceed 6,000
increases as defined under paragraph acres in size.
(c)(1) of this section, that satisfy the (2) Areas which were redesignated as
requirements in sections 166(c) and Class I under regulations promulgated
166(d) of the Clean Air Act for a regu- before August 7, 1977, shall remain
lated NSR pollutant for which the Ad- Class I, but may be redesignated as
ministrator has established maximum provided in this section.
allowable increases pursuant to section (3) Any other area, unless otherwise
166(a) of the Act, the requirements for specified in the legislation creating
maximum allowable increases for that such an area, is initially designated
pollutant under paragraph (c)(1) of this Class II, but may be redesignated as
section shall not apply upon approval provided in this section.
of the plan by the Administrator. The (4) The following areas may be redes-
following regulated NSR pollutants are ignated only as Class I or II:
eligible for such treatment: (i) An area which as of August 7, 1977,
(i) Nitrogen dioxide. exceeded 10,000 acres in size and was a
(ii) PM2.5. national monument, a national primi-
(d) Ambient air ceilings. The plan shall tive area, a national preserve, a na-
provide that no concentration of a pol- tional recreational area, a national
lutant shall exceed: wild and scenic river, a national wild-
(1) The concentration permitted life refuge, a national lakeshore or sea-
under the national secondary ambient shore; and
air quality standard, or (ii) A national park or national wil-
(2) The concentration permitted derness area established after August 7,
under the national primary ambient 1977, which exceeds 10,000 acres in size.
air quality standard, whichever con- (f) Exclusions from increment consump-
centration is lowest for the pollutant tion. (1) The plan may provide that the
for a period of exposure. following concentrations shall be ex-
(e) Restrictions on area classifications. cluded in determining compliance with
The plan shall provide that— a maximum allowable increase:
(1) All of the following areas which (i) Concentrations attributable to the
were in existence on August 7, 1977, increase in emissions from stationary
275
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
sources which have converted from the gen oxides would occur. Such time is
use of petroleum products, natural gas, not to exceed 2 years in duration unless
or both by reason of an order in effect a longer time is approved by the Ad-
under section 2 (a) and (b) of the En- ministrator.
ergy Supply and Environmental Co- (ii) Specifies that the time period for
ordination Act of 1974 (or any super- excluding certain contributions in ac-
seding legislation) over the emissions cordance with paragraph (f)(4)(i) of this
from such sources before the effective section, is not renewable;
date of such an order; (iii) Allows no emissions increase
(ii) Concentrations attributable to from a stationary source which would:
the increase in emissions from sources (a) Impact a Class I area or an area
which have converted from using nat- where an applicable increment is
ural gas by reason of natural gas cur- known to be violated; or
tailment plan in effect pursuant to the
(b) Cause or contribute to the viola-
Federal Power Act over the emissions
tion of a national ambient air quality
from such sources before the effective
standard;
date of such plan;
(iv) Requires limitations to be in ef-
(iii) Concentrations of particulate
fect the end of the time period speci-
matter attributable to the increase in
fied in accordance with paragraph
emissions from construction or other
(f)(4)(i) of this section, which would en-
temporary emission-related activities
sure that the emissions levels from sta-
of new or modified sources;
tionary sources affected by the plan re-
(iv) The increase in concentrations
vision would not exceed those levels
attributable to new sources outside the
occurring from such sources before the
United States over the concentrations
plan revision was approved.
attributable to existing sources which
are included in the baseline concentra- (g) Redesignation. (1) The plan shall
tion; and provide that all areas of the State (ex-
(v) Concentrations attributable to cept as otherwise provided under para-
the temporary increase in emissions of graph (e) of this section) shall be des-
sulfur dioxide, particulate matter, or ignated either Class I, Class II, or Class
nitrogen oxides from stationary III. Any designation other than Class II
sources which are affected by plan revi- shall be subject to the redesignation
sions approved by the Administrator as procedures of this paragraph. Redesig-
meeting the criteria specified in para- nation (except as otherwise precluded
graph (f)(4) of this section. by paragraph (e) of this section) may
(2) If the plan provides that the con- be proposed by the respective States or
centrations to which paragraph (f)(1) (i) Indian Governing Bodies, as provided
or (ii) of this section, refers shall be ex- below, subject to approval by the Ad-
cluded, it shall also provide that no ex- ministrator as a revision to the appli-
clusion of such concentrations shall cable State implementation plan.
apply more than five years after the ef- (2) The plan may provide that the
fective date of the order to which para- State may submit to the Adminis-
graph (f)(1)(i) of this section, refers or trator a proposal to redesignate areas
the plan to which paragraph (f)(1)(ii) of of the State Class I or Class II: Pro-
this section, refers, whichever is appli- vided, That:
cable. If both such order and plan are (i) At least one public hearing has
applicable, no such exclusion shall been held in accordance with proce-
apply more than five years after the dures established in § 51.102.
later of such effective dates. (ii) Other States, Indian Governing
(3) [Reserved] Bodies, and Federal Land Managers
(4) For purposes of excluding con- whose lands may be affected by the
centrations pursuant to paragraph proposed redesignation were notified at
(f)(1)(v) of this section, the Adminis- least 30 days prior to the public hear-
trator may approve a plan revision ing;
that: (iii) A discussion of the reasons for
(i) Specifies the time over which the the proposed redesignation, including a
temporary emissions increase of sulfur satisfactory description and analysis of
dioxide, particulate matter, or nitro- the health, environmental, economic,
276
social, and energy effects of the pro- tion of any air pollutant which would
posed redesignation, was prepared and exceed any maximum allowable in-
made available for public inspection at crease permitted under the classifica-
least 30 days prior to the hearing and tion of any other area or any national
the notice announcing the hearing con- ambient air quality standard; and
tained appropriate notification of the (iv) Any permit application for any
availability of such discussion; major stationary source or major
(iv) Prior to the issuance of notice re- modification subject to provisions es-
specting the redesignation of an area tablished in accordance with paragraph
that includes any Federal lands, the (l) of this section which could receive a
State has provided written notice to permit only if the area in question
the appropriate Federal Land Manager were redesignated as Class III, and any
and afforded adequate opportunity (not material submitted as part of that ap-
in excess of 60 days) to confer with the plication, were available, insofar as
State respecting the redesignation and was practicable, for public inspection
to submit written comments and rec- prior to any public hearing on redesig-
ommendations. In redesignating any nation of any area as Class III.
area with respect to which any Federal (4) The plan shall provide that lands
Land Manager had submitted written within the exterior boundaries of In-
comments and recommendations, the dian Reservations may be redesignated
State shall have published a list of any only by the appropriate Indian Gov-
inconsistency between such redesigna- erning Body. The appropriate Indian
tion and such comments and rec- Governing Body may submit to the Ad-
ommendations (together with the rea- ministrator a proposal to redesignate
sons for making such redesignation areas Class I, Class II, or Class III: Pro-
against the recommendation of the vided, That:
Federal Land Manager); and
(i) The Indian Governing Body has
(v) The State has proposed the redes-
followed procedures equivalent to
ignation after consultation with the
those required of a State under para-
elected leadership of local and other
graphs (g) (2), (3)(iii), and (3)(iv) of this
substate general purpose governments
in the area covered by the proposed re- section; and
designation. (ii) Such redesignation is proposed
(3) The plan may provide that any after consultation with the State(s) in
area other than an area to which para- which the Indian Reservation is lo-
graph (e) of this section refers may be cated and which border the Indian Res-
redesignated as Class III if— ervation.
(i) The redesignation would meet the (5) The Administrator shall dis-
requirements of provisions established approve, within 90 days of submission,
in accordance with paragraph (g)(2) of a proposed redesignation of any area
this section; only if he finds, after notice and oppor-
(ii) The redesignation, except any es- tunity for public hearing, that such re-
tablished by an Indian Governing Body, designation does not meet the proce-
has been specifically approved by the dural requirements of this section or is
Governor of the State, after consulta- inconsistent with paragraph (e) of this
tion with the appropriate committees section. If any such disapproval occurs,
of the legislature, if it is in session, or the classification of the area shall be
with the leadership of the legislature, that which was in effect prior to the re-
if it is not in session (unless State law designation which was disapproved.
provides that such redesignation must (6) If the Administrator disapproves
be specifically approved by State legis- any proposed area designation, the
lation) and if general purpose units of State or Indian Governing Body, as ap-
local government representing a ma- propriate, may resubmit the proposal
jority of the residents of the area to be after correcting the deficiencies noted
redesignated enact legislation (includ- by the Administrator.
ing resolutions where appropriate) con- (h) Stack heights. The plan shall pro-
curring in the redesignation; vide, as a minimum, that the degree of
(iii) The redesignation would not emission limitation required for con-
cause, or contribute to, a concentra- trol of any air pollutant under the plan
277
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
shall not be affected in any manner (u) Fossil-fuel boilers (or combina-
by— tion thereof) totaling more than 250
(1) So much of a stack height, not in million British thermal units per hour
existence before December 31, 1970, as heat input;
exceeds good engineering practice, or (v) Petroleum storage and transfer
(2) Any other dispersion technique units with a total storage capacity ex-
not implemented before then. ceeding 300,000 barrels;
(i) Exemptions. (1) The plan may pro- (w) Taconite ore processing plants;
vide that requirements equivalent to (x) Glass fiber processing plants;
those contained in paragraphs (j) (y) Charcoal production plants;
through (r) of this section do not apply (z) Fossil fuel-fired steam electric
to a particular major stationary source plants of more than 250 million British
or major modification if: thermal units per hour heat input;
(i) The major stationary source (aa) Any other stationary source cat-
would be a nonprofit health or non- egory which, as of August 7, 1980, is
profit educational institution or a being regulated under section 111 or 112
major modification that would occur at of the Act; or
such an institution; or (iii) The source or modification is a
(ii) The source or modification would portable stationary source which has
be a major stationary source or major previously received a permit under re-
modification only if fugitive emissions, quirements equivalent to those con-
to the extent quantifiable, are consid- tained in paragraphs (j) through (r) of
ered in calculating the potential to this section, if:
emit of the stationary source or modi-
(a) The source proposes to relocate
fication and such source does not be-
and emissions of the source at the new
long to any of the following categories:
location would be temporary; and
(a) Coal cleaning plants (with ther-
(b) The emissions from the source
mal dryers);
would not exceed its allowable emis-
(b) Kraft pulp mills;
sions; and
(c) Portland cement plants;
(c) The emissions from the source
(d) Primary zinc smelters; would impact no Class I area and no
(e) Iron and steel mills; area where an applicable increment is
(f) Primary aluminum ore reduction known to be violated; and
plants; (d) Reasonable notice is given to the
(g) Primary copper smelters; reviewing authority prior to the relo-
(h) Municipal incinerators capable of cation identifying the proposed new lo-
charging more than 250 tons of refuse cation and the probable duration of op-
per day; eration at the new location. Such no-
(i) Hydrofluoric, sulfuric, or nitric tice shall be given to the reviewing au-
acid plants; thority not less than 10 days in ad-
(j) Petroleum refineries; vance of the proposed relocation unless
(k) Lime plants; a different time duration is previously
(l) Phosphate rock processing plants; approved by the reviewing authority.
(m) Coke oven batteries; (2) The plan may provide that re-
(n) Sulfur recovery plants; quirements equivalent to those con-
(o) Carbon black plants (furnace tained in paragraphs (j) through (r) of
process); this section do not apply to a major
(p) Primary lead smelters; stationary source or major modifica-
(q) Fuel conversion plants; tion with respect to a particular pol-
(r) Sintering plants; lutant if the owner or operator dem-
(s) Secondary metal production onstrates that, as to that pollutant,
plants; the source or modification is located in
(t) Chemical process plants—The an area designated as nonattainment
term chemical processing plant shall under section 107 of the Act. Non-
not include ethanol production facili- attainment designations for revoked
ties that produce ethanol by natural NAAQS, as contained in part 81 of this
fermentation included in NAICS codes chapter, shall not be viewed as current
325193 or 312140; designations under section 107 of the
278
Act for purposes of determining the ap- (f) Ozone; 1

plicability of requirements equivalent (g) Lead—0.1 μg/m3, 3-month average.
to those contained in paragraphs (j) (h) Fluorides—0.25 μg/m3, 24-hour av-
through (r) of this section to a major erage;
stationary source or major modifica- (i) Total reduced sulfur—10 μg/m3, 1-
tion after the revocation of that hour average
NAAQS is effective. (j) Hydrogen sulfide—0.2 μg/m3, 1-hour
(3) The plan may provide that re- average;
quirements equivalent to those con- (k) Reduced sulfur compounds—10 μg/
tained in paragraphs (k), (m), and (o) of m3, 1-hour average; or
this section do not apply to a proposed (ii) The concentrations of the pollut-
major stationary source or major ant in the area that the source or
modification with respect to a par- modification would affect are less than
ticular pollutant, if the allowable the concentrations listed in paragraph
emissions of that pollutant from a new (i)(5)(i) of this section; or
source, or the net emissions increase of (iii) The pollutant is not listed in
that pollutant from a modification, paragraph (i)(5)(i) of this section.
would be temporary and impact no (6) If EPA approves a plan revision
Class I area and no area where an ap- under 40 CFR 51.166 as in effect before
plicable increment is known to be vio- August 7, 1980, any subsequent revision
lated. which meets the requirements of this
(4) The plan may provide that re- section may contain transition provi-
quirements equivalent to those con- sions which parallel the transition pro-
tained in paragraphs (k), (m), and (o) of visions of 40 CFR 52.21(i)(9), (i)(10) and
this section as they relate to any max- (m)(1)(v) as in effect on that date,
imum allowable increase for a Class II which provisions relate to require-
area do not apply to a modification of ments for best available control tech-
a major stationary source that was in nology and air quality analyses. Any
existence on March 1, 1978, if the net such subsequent revision may not con-
increase in allowable emissions of each tain any transition provision which in
a regulated NSR pollutant from the the context of the revision would oper-
modification after the application of ate any less stringently than would its
best available control technology counterpart in 40 CFR 52.21.
would be less than 50 tons per year. (7) If EPA approves a plan revision
(5) The plan may provide that the re- under § 51.166 as in effect [before July
viewing authority may exempt a pro- 31, 1987], any subsequent revision which
posed major stationary source or major meets the requirements of this section
modification from the requirements of may contain transition provisions
paragraph (m) of this section, with re- which parallel the transition provi-
spect to monitoring for a particular sions of § 52.21 (i)(11), and (m)(1) (vii)
pollutant, if: and (viii) of this chapter as in effect on
(i) The emissions increase of the pol- that date, these provisions being re-
lutant from a new stationary source or lated to monitoring requirements for
the net emissions increase of the pol- particulate matter. Any such subse-
lutant from a modification would quent revision may not contain any
cause, in any area, air quality impacts transition provision which in the con-
less than the following amounts: text of the revision would operate any
(a) Carbon monoxide—575 ug/m3, 8- less stringently than would its coun-
hour average; terpart in § 52.21 of this chapter.
(b) Nitrogen dioxide—14 ug/m3, an- (8) The plan may provide that the
nual average; permitting requirements equivalent to
(c) PM2.5—0 μg/m3; those contained in paragraph (k)(1)(ii)
NOTE TO PARAGRAPH (i)(5)(i)(c): In accord-
1 No de minimis air quality level is provided
ance with Sierra Club v. EPA, 706 F.3d 428
(D.C. Cir. 2013), no exemption is available for ozone. However, any net emissions in-
with regard to PM2.5. crease of 100 tons per year or more of volatile
organic compounds or nitrogen oxides sub-
(d) PM10–10 μg/m3, 24-hour average; ject to PSD would be required to perform an
(e) Sulfur dioxide—13 ug/m3, 24-hour ambient impact analysis, including the gath-
average; ering of air quality data.
279
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
of this section do not apply to a stain paragraph (k)(1) of this section shall
tionary source or modification with re- apply with respect to the national am-
spect to any maximum allowable in- bient air quality standards for PM2.5 in
crease for nitrogen oxides if the owner effect at the time of first publication of
or operator of the source or modifica- a public notice on the preliminary de-
tion submitted an application for a per- termination.
mit under the applicable permit pro- (11) The plan may provide that the
gram approved or promulgated under requirements of paragraph (k)(1) of this
the Act before the provisions embody- section shall not apply to a permit ap-
ing the maximum allowable increase plication for a stationary source or
took effect as part of the plan and the modification with respect to the re-
permitting authority subsequently de- vised national ambient air quality
termined that the application as sub- standards for ozone published on Octo-
mitted before that date was complete. ber 26, 2015 if:
(9) The plan may provide that the (i) The reviewing authority has de-
permitting requirements equivalent to termined the permit application sub-
those contained in paragraph (k)(1)(ii) ject to this section to be complete on
of this section shall not apply to a sta- or before October 1, 2015. Instead, the
tionary source or modification with re- requirements in paragraph (k)(1) of this
spect to any maximum allowable in- section shall apply with respect to the
crease for PM–10 if (i) the owner or op- national ambient air quality standards
erator of the source or modification for ozone in effect at the time the re-
submitted an application for a permit viewing authority determined the per-
under the applicable permit program mit application to be complete; or
approved under the Act before the pro- (ii) The reviewing authority has first
visions embodying the maximum al- published before December 28, 2015 a
lowable increases for PM–10 took effect public notice of a preliminary deter-
as part of the plan, and (ii) the permit- mination or draft permit for the permit
ting authority subsequently deter- application subject to this section. In-
mined that the application as sub- stead, the requirements in paragraph
mitted before that date was complete. (k)(1) of this section shall apply with
Instead, the applicable requirements respect to the national ambient air
equivalent to paragraph (k)(1)(ii) shall quality standards for ozone in effect at
apply with respect to the maximum al- the time of first publication of a public
lowable increases for TSP as in effect notice of the preliminary determina-
on the date the application was sub- tion or draft permit.
mitted. (j) Control technology review. The plan
(10) The plan may provide that the shall provide that:
requirements of paragraph (k)(1) of this (1) A major stationary source or
section shall not apply to a stationary major modification shall meet each ap-
source or modification with respect to plicable emissions limitation under the
the national ambient air quality stand- State Implementation Plan and each
ards for PM2.5 in effect on March 18, applicable emission standards and
2013 if: standard of performance under 40 CFR
(i) The reviewing authority has de- parts 60 and 61.
termined a permit application subject (2) A new major stationary source
to this section to be complete on or be- shall apply best available control tech-
fore December 14, 2012. Instead, the re- nology for each a regulated NSR pol-
quirements in paragraph (k)(1) of this lutant that it would have the potential
section shall apply with respect to the to emit in significant amounts.
national ambient air quality standards (3) A major modification shall apply
for PM2.5 in effect at the time the re- best available control technology for
viewing authority determined the per- each a regulated NSR pollutant for
mit application to be complete; or which it would be a significant net
(ii) The reviewing authority has first emissions increase at the source. This
published before March 18, 2013 a public requirement applies to each proposed
notice of a preliminary determination emissions unit at which a net emis-
for the permit application subject to sions increase in the pollutant would
this section. Instead, the requirements occur as a result of a physical change
280
or change in the method of operation (m) Air quality analysis—(1)

in the unit. Preapplication analysis. (i) The plan
(4) For phased construction projects, shall provide that any application for a
the determination of best available permit under regulations approved pur-
control technology shall be reviewed suant to this section shall contain an
and modified as appropriate at the analysis of ambient air quality in the
least reasonable time which occurs no area that the major stationary source
later than 18 months prior to com- or major modification would affect for
mencement of construction of each each of the following pollutants:
independent phase of the project. At (a) For the source, each pollutant
such time, the owner or operator of the that it would have the potential to
applicable stationary source may be re- emit in a significant amount;
quired to demonstrate the adequacy of (b) For the modification, each pollut-
any previous determination of best ant for which it would result in a sig-
available control technology for the nificant net emissions increase.
source. (ii) The plan shall provide that, with
(k) Source impact analysis—(1) Re- respect to any such pollutant for which
quired demonstration. The plan shall no National Ambient Air Quality
provide that the owner or operator of Standard exists, the analysis shall con-
the proposed source or modification tain such air quality monitoring data
shall demonstrate that allowable emis-
as the reviewing authority determines
sion increases from the proposed source
is necessary to assess ambient air qual-
or modification, in conjunction with
ity for that pollutant in any area that
all other applicable emissions increases
the emissions of that pollutant would
or reduction (including secondary
affect.
emissions), would not cause or con-
tribute to air pollution in violation of: (iii) The plan shall provide that with
(i) Any national ambient air quality respect to any such pollutant (other
standard in any air quality control re- than nonmethane hydrocarbons) for
gion; or which such a standard does exist, the
(ii) Any applicable maximum allow- analysis shall contain continuous air
able increase over the baseline con- quality monitoring data gathered for
centration in any area. purposes of determining whether emis-
(2) [Reserved] sions of that pollutant would cause or
(l) Air quality models. The plan shall contribute to a violation of the stand-
provide for procedures which specify ard or any maxiumum allowable in-
that— crease.
(1) All applications of air quality (iv) The plan shall provide that, in
modeling involved in this subpart shall general, the continuous air monitoring
be based on the applicable models, data data that is required shall have been
bases, and other requirements specified gathered over a period of one year and
in appendix W of this part (Guideline shall represent the year preceding re-
on Air Quality Models). ceipt of the application, except that, if
(2) Where an air quality model speci- the reviewing authority determines
fied in appendix W of this part (Guide- that a complete and adequate analysis
line on Air Quality Models) is inappro- can be accomplished with monitoring
priate, the model may be modified or data gathered over a period shorter
another model substituted. Such a than one year (but not to be less than
modification or substitution of a model four months), the data that is required
may be made on a case-by-case basis shall have been gathered over at least
or, where appropriate, on a generic that shorter period.
basis for a specific State program. (v) The plan may provide that the
Written approval of the Administrator owner or operator of a proposed major
must be obtained for any modification stationary source or major modifica-
or substitution. In addition, use of a tion of volatile organic compounds who
modified or substituted model must be satisfies all conditions of 40 CFR part
subject to notice and opportunity for 51 appendix S, section IV may provide
public comment under procedures set postapproval monitoring data for ozone
forth in § 51.102. in lieu of providing preconstruction
281
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
data as required under paragraph (m)(1) and other growth which has occurred
of this section. since August 7, 1977, in the area the
(2) Post-construction monitoring. The source or modification would affect.
plan shall provide that the owner or (o) Additional impact analyses. The
operator of a major stationary source plan shall provide that—
or major modification shall, after con- (1) The owner or operator shall pro-
struction of the stationary source or vide an analysis of the impairment to
modification, conduct such ambient visibility, soils, and vegetation that
monitoring as the reviewing authority would occur as a result of the source or
determines is necessary to determine modification and general commercial,
the effect emissions from the sta- residential, industrial, and other
tionary source or modification may growth associated with the source or
have, or are having, on air quality in modification. The owner or operator
any area. need not provide an analysis of the im-
(3) Operation of monitoring stations. pact on vegetation having no signifi-
The plan shall provide that the owner cant commercial or recreational value.
or operator of a major stationary (2) The owner or operator shall pro-
source or major modification shall vide an analysis of the air quality im-
meet the requirements of appendix B to pact projected for the area as a result
part 58 of this chapter during the oper- of general commercial, residential, in-
ation of monitoring stations for pur- dustrial, and other growth associated
poses of satisfying paragraph (m) of with the source or modification.
this section. (p) Sources impacting Federal Class I
(n) Source information. (1) The plan areas—additional requirements—(1) No-
shall provide that the owner or oper- tice to EPA. The plan shall provide that
ator of a proposed source or modifica- the reviewing authority shall transmit
tion shall submit all information nec- to the Administrator a copy of each
essary to perform any analysis or make permit application relating to a major
any determination required under pro- stationary source or major modifica-
cedures established in accordance with tion and provide notice to the Adminis-
this section. trator of every action related to the
(2) The plan may provide that such consideration of such permit.
information shall include: (2) Federal Land Manager. The Fed-
(i) A description of the nature, loca- eral Land Manager and the Federal of-
tion, design capacity, and typical oper- ficial charged with direct responsi-
ating schedule of the source or modi- bility for management of Class I lands
fication, including specifications and have an affirmative responsibility to
drawings showing its design and plant protect the air quality related values
layout; (including visibility) of any such lands
(ii) A detailed schedule for construc- and to consider, in consultation with
tion of the source or modification; the Administrator, whether a proposed
(iii) A detailed description as to what source or modification would have an
system of continuous emission reduc- adverse impact on such values.
tion is planned by the source or modi- (3) Denial—impact on air quality re-
fication, emission estimates, and any lated values. The plan shall provide a
other information as necessary to de- mechanism whereby a Federal Land
termine that best available control Manager of any such lands may present
technology as applicable would be ap- to the State, after the reviewing
plied; authority’s preliminary determination
(3) The plan shall provide that upon required under procedures developed in
request of the State, the owner or oper- accordance with paragraph (r) of this
ator shall also provide information on: section, a demonstration that the
(i) The air quality impact of the emissions from the proposed source or
source or modification, including mete- modification would have an adverse
orological and topographical data nec- impact on the air quality-related val-
essary to estimate such impact; and ues (including visibility) of any Fed-
(ii) The air quality impacts and the eral mandatory Class I lands, notwith-
nature and extent of any or all general standing that the change in air quality
commercial, residential, industrial, resulting from emissions from such
282
source or modification would not cause such source or modification would

or contribute to concentrations which cause or contribute to concentrations
would exceed the maximum allowable which would exceed the maximum al-
increases for a Class I area. If the State lowable increases for a Class I area. If
concurs with such demonstration, the the Federal land manager concurs with
reviewing authority shall not issue the such demonstration and so certifies to
permit. the State, the reviewing authority
(4) Class I Variances. The plan may may: Provided, That applicable require-
provide that the owner or operator of a
ments are otherwise met, issue the per-
proposed source or modification may
mit with such emission limitations as
demonstrate to the Federal Land Man-
may be necessary to assure that emis-
ager that the emissions from such
source would have no adverse impact sions of sulfur dioxide, PM2.5, PM10, and
on the air quality related values of nitrogen oxides would not exceed the
such lands (including visibility), not- following maximum allowable in-
withstanding that the change in air creases over minor source baseline con-
quality resulting from emissions from centration for such pollutants:
Maximum
allowable
increase
per cubic
meter)
PM2.5:
24-hr maximum ........................................................................................................................................... 9
PM10:
24-hr maximum ........................................................................................................................................... 30
Sulfur dioxide:
24-hr maximum ........................................................................................................................................... 91
3-hr maximum ............................................................................................................................................. 325
Nitrogen dioxide:
(5) Sulfur dioxide variance by Governor hearing, a variance from such max-
with Federal Land Manager’s concur- imum allowable increase; and
rence. The plan may provide that— (iii) If such variance is granted, the
(i) The owner or operator of a pro- reviewing authority may issue a per-
posed source or modification which mit to such source or modification in
cannot be approved under procedures accordance with provisions developed
developed pursuant to paragraph (q)(4) pursuant to paragraph (q)(7) of this sec-
of this section may demonstrate to the tion: Provided, That the applicable re-
Governor that the source or modifica- quirements of the plan are otherwise
met.
tion cannot be constructed by reason of
(6) Variance by the Governor with the
any maximum allowable increase for
President’s concurrence. The plan may
sulfur dioxide for periods of twenty- provide that—
four hours or less applicable to any (i) The recommendations of the Gov-
Class I area and, in the case of Federal ernor and the Federal Land Manager
mandatory Class I areas, that a vari- shall be transferred to the President in
ance under this clause would not ad- any case where the Governor rec-
versely affect the air quality related ommends a variance in which the Fed-
values of the area (including visi- eral Land Manager does not concur;
bility); (ii) The President may approve the
(ii) The Governor, after consideration Governor’s recommendation if he finds
of the Federal Land Manager’s rec- that such variance is in the national
ommendation (if any) and subject to interest; and
his concurrence, may grant, after no- (iii) If such a variance is approved,
tice and an opportunity for a public the reviewing authority may issue a
283
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
permit in accordance with provisions (ii) Make available in at least one lo-
developed pursuant to the require- cation in each region in which the pro-
ments of paragraph (q)(7) of this sec- posed source would be constructed, a
tion: Provided, That the applicable re- copy of all materials the applicant sub-
quirements of the plan are otherwise mitted, a copy of the preliminary de-
met. termination, and a copy or summary of
(7) Emission limitations for Presidential other materials, if any, considered in
or gubernatorial variance. The plan shall making the preliminary determina-
provide that in the case of a permit tion. This requirement may be met by
issued under procedures developed pur- making these materials available at a
suant to paragraph (q) (5) or (6) of this physical location or on a public Web
section, the source or modification site identified by the reviewing author-
shall comply with emission limitations ity.
as may be necessary to assure that (iii) Notify the public, by advertise-
emissions of sulfur dioxide from the ment in a newspaper of general circula-
source or modification would not (dur- tion in each region in which the pro-
ing any day on which the otherwise ap- posed source would be constructed, of
plicable maximum allowable increases the application, the preliminary deter-
are exceeded) cause or contribute to mination, the degree of increment con-
concentrations which would exceed the sumption that is expected from the
following maximum allowable in- source or modification, and of the op-
creases over the baseline concentration portunity for comment at a public
and to assure that such emissions hearing as well as through written pub-
would not cause or contribute to con- lic comment. Alternatively, these noti-
centrations which exceed the otherwise fications may be made on a public Web
applicable maximum allowable in- site identified by the reviewing author-
creases for periods of exposure of 24 ity. However, the reviewing authority’s
hours or less for more than 18 days, not selected notification method (i.e., ei-
necessarily consecutive, during any an- ther newspaper or Web site), known as
nual period: the ‘‘consistent noticing method,’’
shall be used for all permits subject to
MAXIMUM ALLOWABLE INCREASE notice under this section and may,
[Micrograms per cubic meter]
when appropriate, be supplemented by
Terrain areas other noticing methods on individual
Period of exposure permits. If the reviewing authority se-
Low High
lects Web site notice as its consistent
24-hr maximum .......................................... 36 62 noticing method, the notice shall be
3-hr maximum ............................................ 130 221 available for the duration of the public
comment period and shall include the
(q) Public participation. The plan shall notice of public comment, the draft
provide that— permit, information on how to access
(1) The reviewing authority shall no- the administrative record for the draft
tify all applicants within a specified permit and how to request and/or at-
time period as to the completeness of tend a public hearing on the draft per-
the application or any deficiency in the mit.
application or information submitted. (iv) Send a copy of the notice of pub-
In the event of such a deficiency, the lic comment to the applicant, the Ad-
date of receipt of the application shall ministrator and to officials and agen-
be the date on which the reviewing au- cies having cognizance over the loca-
thority received all required information where the proposed construction
tion. would occur as follows: Any other
(2) Within one year after receipt of a State or local air pollution control
complete application, the reviewing agencies, the chief executives of the
authority shall: city and county where the source
(i) Make a preliminary determination would be located; any comprehensive
whether construction should be ap- regional land use planning agency, and
proved, approved with conditions, or any State, Federal Land Manager, or
disapproved. Indian Governing body whose lands
284
may be affected by emissions from the (6) Each plan shall provide that, ex-
source or modification. cept as otherwise provided in para-
(v) Provide opportunity for a public graph (r)(6)(vi) of this section, the fol-
hearing for interested persons to ap- lowing specific provisions apply with
pear and submit written or oral com- respect to any regulated NSR pollutant
ments on the air quality impact of the emitted from projects at existing emis-
source, alternatives to it, the control sions units at a major stationary
technology required, and other appro- source (other than projects at a source
priate considerations. with a PAL) in circumstances where
(vi) Consider all written comments there is a reasonable possibility, within
submitted within a time specified in the meaning of paragraph (r)(6)(vi) of
the notice of public comment and all this section, that a project that is not
comments received at any public hear- a part of a major modification may re-
ing in making a final decision on the sult in a significant emissions increase
approvability of the application. The of such pollutant, and the owner or op-
reviewing authority shall make all erator elects to use the method speci-
comments available for public inspec- fied in paragraphs (b)(40)(ii)(a) through
tion at the same physical location or (c) of this section for calculating pro-
on the same Web site where the review- jected actual emissions. Deviations
ing authority made available from these provisions will be approved
preconstruction information relating only if the State specifically dem-
to the proposed source or modification. onstrates that the submitted provi-
(vii) Make a final determination sions are more stringent than or at
whether construction should be ap- least as stringent in all respects as the
proved, approved with conditions, or corresponding provisions in paragraphs
disapproved. (r)(6)(i) through (vi) of this section.
(viii) Notify the applicant in writing (i) Before beginning actual construc-
of the final determination and make tion of the project, the owner or oper-
such notification available for public ator shall document and maintain a
inspection at the same location or on record of the following information:
the same Web site where the reviewing
(a) A description of the project;
authority made available
preconstruction information and public (b) Identification of the emissions
comments relating to the proposed unit(s) whose emissions of a regulated
source or modification. NSR pollutant could be affected by the
(r) Source obligation. (1) The plan shall project; and
include enforceable procedures to pro- (c) A description of the applicability
vide that approval to construct shall test used to determine that the project
not relieve any owner or operator of is not a major modification for any
the responsibility to comply fully with regulated NSR pollutant, including the
applicable provisions of the plan and baseline actual emissions, the pro-
any other requirements under local, jected actual emissions, the amount of
State or Federal law. emissions excluded under paragraph
(2) The plan shall provide that at (b)(40)(ii)(c) of this section and an ex-
such time that a particular source or planation for why such amount was ex-
modification becomes a major sta- cluded, and any netting calculations, if
tionary source or major modification applicable.
solely by virtue of a relaxation in any (ii) If the emissions unit is an exist-
enforceable limitation which was es- ing electric utility steam generating
tablished after August 7, 1980, on the unit, before beginning actual construc-
capacity of the source or modification tion, the owner or operator shall pro-
otherwise to emit a pollutant, such as vide a copy of the information set out
a restriction on hours of operation, in paragraph (r)(6)(i) of this section to
then the requirements of paragraphs (j) the reviewing authority. Nothing in
through (s) of this section shall apply this paragraph (r)(6)(ii) shall be con-
to the source or modification as though strued to require the owner or operator
construction had not yet commenced of such a unit to obtain any determina-
on the source or modification. tion from the reviewing authority be-
(3)–(5) [Reserved] fore beginning actual construction.
285
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
(iii) The owner or operator shall (vi) A ‘‘reasonable possibility’’ under

monitor the emissions of any regulated paragraph (r)(6) of this section occurs
NSR pollutant that could increase as a when the owner or operator calculates
result of the project and that is emit- the project to result in either:
ted by any emissions unit identified in (a) A projected actual emissions in-
paragraph (r)(6)(i)(b) of this section; crease of at least 50 percent of the
and calculate and maintain a record of amount that is a ‘‘significant emis-
the annual emissions, in tons per year sions increase,’’ as defined under para-
on a calendar year basis, for a period of graph (b)(39) of this section (without
5 years following resumption of regular reference to the amount that is a sig-
operations after the change, or for a nificant net emissions increase), for
period of 10 years following resumption the regulated NSR pollutant; or
of regular operations after the change (b) A projected actual emissions in-
if the project increases the design ca- crease that, added to the amount of
pacity or potential to emit of that reg- emissions excluded under paragraph
ulated NSR pollutant at such emis- (b)(40)(ii)(c), sums to at least 50 percent
sions unit. of the amount that is a ‘‘significant
(iv) If the unit is an existing electric emissions increase,’’ as defined under
utility steam generating unit, the paragraph (b)(39) of this section (with-
owner or operator shall submit a report out reference to the amount that is a
to the reviewing authority within 60 significant net emissions increase), for
days after the end of each year during the regulated NSR pollutant. For a
which records must be generated under project for which a reasonable possi-
paragraph (r)(6)(iii) of this section set- bility occurs only within the meaning
ting out the unit’s annual emissions of paragraph (r)(6)(vi)(b) of this section,
during the calendar year that preceded and not also within the meaning of
submission of the report. paragraph (a)(6)(vi)(a) of this section,
(v) If the unit is an existing unit then provisions (a)(6)(ii) through (v) do
other than an electric utility steam not apply to the project.
generating unit, the owner or operator (7) Each plan shall provide that the
shall submit a report to the reviewing owner or operator of the source shall
authority if the annual emissions, in make the information required to be
tons per year, from the project identi- documented and maintained pursuant
fied in paragraph (r)(6)(i) of this sec- to paragraph (r)(6) of this section avail-
tion, exceed the baseline actual emis- able for review upon request for inspec-
sions (as documented and maintained tion by the reviewing authority or the
pursuant to paragraph (r)(6)(i)(c) of this general public pursuant to the require-
section) by a significant amount (as de- ments contained in § 70.4(b)(3)(viii) of
fined in paragraph (b)(23) of this sec- this chapter.
tion) for that regulated NSR pollutant, (s) Innovative control technology. (1)
and if such emissions differ from the The plan may provide that an owner or
preconstruction projection as docu- operator of a proposed major sta-
mented and maintained pursuant to tionary source or major modification
paragraph (r)(6)(i)(c) of this section. may request the reviewing authority to
Such report shall be submitted to the approve a system of innovative control
reviewing authority within 60 days technology.
after the end of such year. The report (2) The plan may provide that the re-
shall contain the following: viewing authority may, with the con-
(a) The name, address and telephone sent of the Governor(s) of other af-
number of the major stationary source; fected State(s), determine that the
(b) The annual emissions as cal- source or modification may employ a
culated pursuant to paragraph (r)(6)(iii) system of innovative control tech-
of this section; and nology, if:
(c) Any other information that the (i) The proposed control system
owner or operator wishes to include in would not cause or contribute to an un-
the report (e.g., an explanation as to reasonable risk to public health, wel-
why the emissions differ from the fare, or safety in its operation or func-
preconstruction projection). tion;
286
(ii) The owner or operator agrees to thority may allow the source or modi-
achieve a level of continuous emissions fication up to an additional 3 years to
reduction equivalent to that which meet the requirement for the applica-
would have been required under para- tion of best available control tech-
graph (j)(2) of this section, by a date nology through use of a demonstrated
specified by the reviewing authority. system of control.
Such date shall not be later than 4 (t)–(v) [Reserved]
years from the time of startup or 7 (w) Actuals PALs. The plan shall pro-
years from permit issuance; vide for PALs according to the provi-
(iii) The source or modification sions in paragraphs (w)(1) through (15)
would meet the requirements equiva- of this section.
lent to those in paragraphs (j) and (k) (1) Applicability. (i) The reviewing au-
of this section, based on the emissions thority may approve the use of an
rate that the stationary source em- actuals PAL for any existing major
ploying the system of innovative con- stationary source if the PAL meets the
trol technology would be required to requirements in paragraphs (w)(1)
meet on the date specified by the re- through (15) of this section. The term
viewing authority; ‘‘PAL’’ shall mean ‘‘actuals PAL’’
(iv) The source or modification would throughout paragraph (w) of this sec-
not before the date specified by the re- tion.
viewing authority:
(ii) Any physical change in or change
(a) Cause or contribute to any viola-
in the method of operation of a major
tion of an applicable national ambient
stationary source that maintains its
air quality standard; or
total source-wide emissions below the
(b) Impact any area where an applica-
PAL level, meets the requirements in
ble increment is known to be violated;
paragraphs (w)(1) through (15) of this
(v) All other applicable requirements
section, and complies with the PAL
including those for public participation
permit:
have been met.
(vi) The provisions of paragraph (p) of (a) Is not a major modification for
this section (relating to Class I areas) the PAL pollutant;
have been satisfied with respect to all (b) Does not have to be approved
periods during the life of the source or through the plan’s major NSR pro-
modification. gram; and
(3) The plan shall provide that the re- (c) Is not subject to the provisions in
viewing authority shall withdraw any paragraph (r)(2) of this section (restric-
approval to employ a system of innova- tions on relaxing enforceable emission
tive control technology made under limitations that the major stationary
this section, if: source used to avoid applicability of
(i) The proposed system fails by the the major NSR program).
specified date to achieve the required (iii) Except as provided under para-
continuous emissions reduction rate; graph (w)(1)(ii)(c) of this section, a
or major stationary source shall continue
(ii) The proposed system fails before to comply with all applicable Federal
the specified date so as to contribute to or State requirements, emission limi-
an unreasonable risk to public health, tations, and work practice require-
welfare, or safety; or ments that were established prior to
(iii) The reviewing authority decides the effective date of the PAL.
at any time that the proposed system (2) Definitions. The plan shall use the
is unlikely to achieve the required definitions in paragraphs (w)(2)(i)
level of control or to protect the public through (xi) of this section for the pur-
health, welfare, or safety. pose of developing and implementing
(4) The plan may provide that if a regulations that authorize the use of
source or modification fails to meet actuals PALs consistent with para-
the required level of continuous emis- graphs (w)(1) through (15) of this sec-
sions reduction within the specified tion. When a term is not defined in
time period, or if the approval is with- these paragraphs, it shall have the
drawn in accordance with paragraph meaning given in paragraph (b) of this
(s)(3) of this section, the reviewing au- section or in the Act.
287
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
(i) Actuals PAL for a major stationary ance with paragraphs (w)(1) through
source means a PAL based on the base- (15) of this section.
line actual emissions (as defined in (vi) PAL effective date generally
paragraph (b)(47) of this section) of all means the date of issuance of the PAL
emissions units (as defined in para- permit. However, the PAL effective
graph (b)(7) of this section) at the date for an increased PAL is the date
source, that emit or have the potential any emissions unit that is part of the
to emit the PAL pollutant. PAL major modification becomes oper-
(ii) Allowable emissions means ‘‘allow- ational and begins to emit the PAL
able emissions’’ as defined in paragraph pollutant.
(b)(16) of this section, except as this (vii) PAL effective period means the
definition is modified according to period beginning with the PAL effec-
paragraphs (w)(2)(ii)(a) and (b) of this tive date and ending 10 years later.
section. (viii) PAL major modification means,
(a) The allowable emissions for any notwithstanding paragraphs (b)(2) and
emissions unit shall be calculated con- (b)(3) of this section (the definitions for
sidering any emission limitations that major modification and net emissions
are enforceable as a practical matter increase), any physical change in or
on the emissions unit’s potential to change in the method of operation of
emit. the PAL source that causes it to emit
the PAL pollutant at a level equal to
(b) An emissions unit’s potential to
or greater than the PAL.
emit shall be determined using the def-
(ix) PAL permit means the major NSR
inition in paragraph (b)(4) of this sec-
permit, the minor NSR permit, or the
tion, except that the words ‘‘or en-
State operating permit under a pro-
forceable as a practical matter’’ should
gram that is approved into the plan, or
be added after ‘‘federally enforceable.’’
the title V permit issued by the review-
(iii) Small emissions unit means an ing authority that establishes a PAL
emissions unit that emits or has the for a major stationary source.
potential to emit the PAL pollutant in (x) PAL pollutant means the pollutant
an amount less than the significant for which a PAL is established at a
level for that PAL pollutant, as defined major stationary source.
in paragraph (b)(23) of this section or in (xi) Significant emissions unit means
the Act, whichever is lower. an emissions unit that emits or has the
(iv) Major emissions unit means: potential to emit a PAL pollutant in
(a) Any emissions unit that emits or an amount that is equal to or greater
has the potential to emit 100 tons per than the significant level (as defined in
year or more of the PAL pollutant in paragraph (b)(23) of this section or in
an attainment area; or the Act, whichever is lower) for that
(b) Any emissions unit that emits or PAL pollutant, but less than the
has the potential to emit the PAL pol- amount that would qualify the unit as
lutant in an amount that is equal to or a major emissions unit as defined in
greater than the major source thresh- paragraph (w)(2)(iv) of this section.
old for the PAL pollutant as defined by (3) Permit application requirements. As
the Act for nonattainment areas. For part of a permit application requesting
example, in accordance with the defini- a PAL, the owner or operator of a
tion of major stationary source in sec- major stationary source shall submit
tion 182(c) of the Act, an emissions unit the following information in para-
would be a major emissions unit for graphs (w)(3)(i) through (iii) of this sec-
VOC if the emissions unit is located in tion to the reviewing authority for ap-
a serious ozone nonattainment area proval.
and it emits or has the potential to (i) A list of all emissions units at the
emit 50 or more tons of VOC per year. source designated as small, significant
(v) Plantwide applicability limitation or major based on their potential to
(PAL) means an emission limitation emit. In addition, the owner or oper-
expressed in tons per year, for a pollut- ator of the source shall indicate which,
ant at a major stationary source, that if any, Federal or State applicable re-
is enforceable as a practical matter quirements, emission limitations, or
and established source-wide in accord- work practices apply to each unit.
288
(ii) Calculations of the baseline ac- (f) Each PAL shall have a PAL effec-
tual emissions (with supporting docu- tive period of 10 years.
mentation). Baseline actual emissions (g) The owner or operator of the
are to include emissions associated not major stationary source with a PAL
only with operation of the unit, but shall comply with the monitoring, rec-
also emissions associated with startup, ordkeeping, and reporting require-
shutdown, and malfunction. ments provided in paragraphs (w)(12)
(iii) The calculation procedures that through (14) of this section for each
the major stationary source owner or emissions unit under the PAL through
operator proposes to use to convert the the PAL effective period.
monitoring system data to monthly (ii) At no time (during or after the
emissions and annual emissions based PAL effective period) are emissions re-
on a 12-month rolling total for each ductions of a PAL pollutant that occur
month as required by paragraph during the PAL effective period cred-
(w)(13)(i) of this section. itable as decreases for purposes of off-
(4) General requirements for estab- sets under § 51.165(a)(3)(ii) of this chap-
lishing PALs. (i) The plan allows the re- ter unless the level of the PAL is re-
viewing authority to establish a PAL duced by the amount of such emissions
at a major stationary source, provided reductions and such reductions would
that at a minimum, the requirements be creditable in the absence of the
in paragraphs (w)(4)(i)(a) through (g) of PAL.
this section are met. (5) Public participation requirements for
PALs. PALs for existing major sta-
(a) The PAL shall impose an annual
tionary sources shall be established, re-
emission limitation in tons per year,
newed, or increased, through a proce-
that is enforceable as a practical mat-
dure that is consistent with §§ 51.160
ter, for the entire major stationary
and 51.161 of this chapter. This includes
source. For each month during the
the requirement that the reviewing au-
PAL effective period after the first 12
thority provide the public with notice
months of establishing a PAL, the
of the proposed approval of a PAL per-
major stationary source owner or oper-
mit and at least a 30-day period for
ator shall show that the sum of the submittal of public comment. The re-
monthly emissions from each emis- viewing authority must address all ma-
sions unit under the PAL for the pre- terial comments before taking final ac-
vious 12 consecutive months is less tion on the permit.
than the PAL (a 12-month average, (6) Setting the 10-year actuals PAL
rolled monthly). For each month dur- level. (i) Except as provided in para-
ing the first 11 months from the PAL graph (w)(6)(ii) of this section, the plan
effective date, the major stationary shall provide that the actuals PAL
source owner or operator shall show level for a major stationary source
that the sum of the preceding monthly shall be established as the sum of the
emissions from the PAL effective date baseline actual emissions (as defined in
for each emissions unit under the PAL paragraph (b)(47) of this section) of the
is less than the PAL. PAL pollutant for each emissions unit
(b) The PAL shall be established in a at the source; plus an amount equal to
PAL permit that meets the public par- the applicable significant level for the
ticipation requirements in paragraph PAL pollutant under paragraph (b)(23)
(w)(5) of this section. of this section or under the Act, which-
(c) The PAL permit shall contain all ever is lower. When establishing the
the requirements of paragraph (w)(7) of actuals PAL level, for a PAL pollutant,
this section. only one consecutive 24-month period
(d) The PAL shall include fugitive must be used to determine the baseline
emissions, to the extent quantifiable, actual emissions for all existing emis-
from all emissions units that emit or sions units. However, a different con-
have the potential to emit the PAL secutive 24-month period may be used
pollutant at the major stationary for each different PAL pollutant. Emis-
source. sions associated with units that were
(e) Each PAL shall regulate emis- permanently shut down after this 24-
sions of only one pollutant. month period must be subtracted from
289
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
the PAL level. The reviewing authority toring system data to monthly emis-
shall specify a reduced PAL level(s) (in sions and annual emissions based on a
tons/yr) in the PAL permit to become 12-month rolling total for each month
effective on the future compliance as required by paragraph (w)(3)(i) of
date(s) of any applicable Federal or this section.
State regulatory requirement(s) that (vii) A requirement that the major
the reviewing authority is aware of stationary source owner or operator
prior to issuance of the PAL permit. monitor all emissions units in accord-
For instance, if the source owner or op- ance with the provisions under para-
erator will be required to reduce emis- graph (w)(13) of this section.
sions from industrial boilers in half (viii) A requirement to retain the
from baseline emissions of 60 ppm NOX records required under paragraph
to a new rule limit of 30 ppm, then the (w)(13) of this section on site. Such
permit shall contain a future effective records may be retained in an elec-
PAL level that is equal to the current tronic format.
PAL level reduced by half of the origi- (ix) A requirement to submit the re-
nal baseline emissions of such unit(s). ports required under paragraph (w)(14)
(ii) For newly constructed units of this section by the required dead-
(which do not include modifications to lines.
existing units) on which actual con- (x) Any other requirements that the
struction began after the 24-month pe- reviewing authority deems necessary
riod, in lieu of adding the baseline ac- to implement and enforce the PAL.
tual emissions as specified in para- (8) PAL effective period and reopening
graph (w)(6)(i) of this section, the emis- of the PAL permit. The plan shall re-
sions must be added to the PAL level quire the information in paragraphs
in an amount equal to the potential to (w)(8)(i) and (ii) of this section.
emit of the units. (i) PAL effective period. The reviewing
(7) Contents of the PAL permit. The authority shall specify a PAL effective
plan shall require that the PAL permit period of 10 years.
contain, at a minimum, the informa- (ii) Reopening of the PAL permit. (a)
tion in paragraphs (w)(7)(i) through (x) During the PAL effective period, the
of this section. plan shall require the reviewing au-
(i) The PAL pollutant and the appli- thority to reopen the PAL permit to:
cable source-wide emission limitation (1) Correct typographical/calculation
in tons per year. errors made in setting the PAL or re-
(ii) The PAL permit effective date flect a more accurate determination of
and the expiration date of the PAL emissions used to establish the PAL;
(PAL effective period). (2) Reduce the PAL if the owner or
(iii) Specification in the PAL permit operator of the major stationary
that if a major stationary source owner source creates creditable emissions re-
or operator applies to renew a PAL in ductions for use as offsets under
accordance with paragraph (w)(10) of § 51.165(a)(3)(ii) of this chapter; and
this section before the end of the PAL (3) Revise the PAL to reflect an in-
effective period, then the PAL shall crease in the PAL as provided under
not expire at the end of the PAL effec- paragraph (w)(11) of this section.
tive period. It shall remain in effect (b) The plan shall provide the review-
until a revised PAL permit is issued by ing authority discretion to reopen the
the reviewing authority. PAL permit for the following:
(iv) A requirement that emission cal- (1) Reduce the PAL to reflect newly
culations for compliance purposes in- applicable Federal requirements (for
clude emissions from startups, shut- example, NSPS) with compliance dates
downs and malfunctions. after the PAL effective date;
(v) A requirement that, once the PAL (2) Reduce the PAL consistent with
expires, the major stationary source is any other requirement, that is enforce-
subject to the requirements of para- able as a practical matter, and that the
graph (w)(9) of this section. State may impose on the major sta-
(vi) The calculation procedures that tionary source under the plan; and
the major stationary source owner or (3) Reduce the PAL if the reviewing
operator shall use to convert the moni- authority determines that a reduction
290
is necessary to avoid causing or con- tion on a 12-month rolling basis. The

tributing to a NAAQS or PSD incre- reviewing authority may approve the
ment violation, or to an adverse im- use of monitoring systems (source test-
pact on an AQRV that has been identi- ing,emission factors, etc.) other than
fied for a Federal Class I area by a Fed- CEMS, CERMS, PEMS or CPMS to
eral Land Manager and for which infor- demonstrate compliance with the al-
mation is available to the general pub- lowable emission limitation.
lic. (iii) Until the reviewing authority
(c) Except for the permit reopening in issues the revised permit incorporating
paragraph (w)(8)(ii)(a)(1) of this section allowable limits for each emissions
for the correction of typographical/cal- unit, or each group of emissions units,
culation errors that do not increase the as required under paragraph (w)(9)(i)(b)
PAL level, all reopenings shall be car- of this section, the source shall con-
ried out in accordance with the public tinue to comply with a source-wide,
participation requirements of para- multi-unit emissions cap equivalent to
graph (w)(5) of this section. the level of the PAL emission limita-
(9) Expiration of a PAL. Any PAL that tion.
is not renewed in accordance with the (iv) Any physical change or change in
procedures in paragraph (w)(10) of this the method of operation at the major
section shall expire at the end of the stationary source will be subject to
PAL effective period, and the require- major NSR requirements if such
ments in paragraphs (w)(9)(i) through change meets the definition of major
(v) of this section shall apply. modification in paragraph (b)(2) of this
(i) Each emissions unit (or each section.
group of emissions units) that existed
(v) The major stationary source
under the PAL shall comply with an al-
owner or operator shall continue to
lowable emission limitation under a re-
comply with any State or Federal ap-
vised permit established according to
plicable requirements (BACT, RACT,
the procedures in paragraphs
NSPS, etc.) that may have applied ei-
(w)(9)(i)(a) and (b) of this section.
ther during the PAL effective period or
(a) Within the time frame specified
for PAL renewals in paragraph prior to the PAL effective period ex-
(w)(10)(ii) of this section, the major cept for those emission limitations
stationary source shall submit a pro- that had been established pursuant to
posed allowable emission limitation for paragraph (r)(2) of this section, but
each emissions unit (or each group of were eliminated by the PAL in accord-
emissions units, if such a distribution ance with the provisions in paragraph
is more appropriate as decided by the (w)(1)(ii)(c) of this section.
reviewing authority) by distributing (10) Renewal of a PAL. (i) The review-
the PAL allowable emissions for the ing authority shall follow the proce-
major stationary source among each of dures specified in paragraph (w)(5) of
the emissions units that existed under this section in approving any request
the PAL. If the PAL had not yet been to renew a PAL for a major stationary
adjusted for an applicable requirement source, and shall provide both the pro-
that became effective during the PAL posed PAL level and a written ration-
effective period, as required under ale for the proposed PAL level to the
paragraph (w)(10)(v) of this section, public for review and comment. During
such distribution shall be made as if such public review, any person may
the PAL had been adjusted. propose a PAL level for the source for
(b) The reviewing authority shall de- consideration by the reviewing author-
cide whether and how the PAL allow- ity.
able emissions will be distributed and (ii) Application deadline. The plan
issue a revised permit incorporating al- shall require that a major stationary
lowable limits for each emissions unit, source owner or operator shall submit
or each group of emissions units, as the a timely application to the reviewing
reviewing authority determines is ap- authority to request renewal of a PAL.
propriate. A timely application is one that is sub-
(ii) Each emissions unit(s) shall committed at least 6 months prior to, but
ply with the allowable emission limita- not earlier than 18 months from, the
291
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
date of permit expiration. This dead- (1) If the potential to emit of the
line for application submittal is to en- major stationary source is less than
sure that the permit will not expire be- the PAL, the reviewing authority shall
fore the permit is renewed. If the owner adjust the PAL to a level no greater
or operator of a major stationary than the potential to emit of the
source submits a complete application source; and
to renew the PAL within this time pe- (2) The reviewing authority shall not
riod, then the PAL shall continue to be approve a renewed PAL level higher
effective until the revised permit with than the current PAL, unless the
the renewed PAL is issued. major stationary source has complied
(iii) Application requirements. The ap- with the provisions of paragraph (w)(11)
plication to renew a PAL permit shall of this section (increasing a PAL).
contain the information required in (v) If the compliance date for a State
paragraphs (w)(10)(iii) (a) through (d) of or Federal requirement that applies to
this section. the PAL source occurs during the PAL
(a) The information required in para- effective period, and if the reviewing
graphs (w)(3)(i) through (iii) of this sec- authority has not already adjusted for
tion. such requirement, the PAL shall be ad-
(b) A proposed PAL level. justed at the time of PAL permit re-
newal or title V permit renewal, which-
(c) The sum of the potential to emit
ever occurs first.
of all emissions units under the PAL
(11) Increasing a PAL during the PAL
(with supporting documentation).
effective period. (i) The plan shall re-
(d) Any other information the owner quire that the reviewing authority may
or operator wishes the reviewing au- increase a PAL emission limitation
thority to consider in determining the only if the major stationary source
appropriate level for renewing the complies with the provisions in para-
PAL. graphs (w)(11)(i) (a) through (d) of this
(iv) PAL adjustment. In determining section.
whether and how to adjust the PAL, (a) The owner or operator of the
the reviewing authority shall consider major stationary source shall submit a
the options outlined in paragraphs complete application to request an in-
(w)(10)(iv) (a) and (b) of this section. crease in the PAL limit for a PAL
However, in no case may any such ad- major modification. Such application
justment fail to comply with paragraph shall identify the emissions unit(s)
(w)(10)(iv)(c) of this section. contributing to the increase in emis-
(a) If the emissions level calculated sions so as to cause the major sta-
in accordance with paragraph (w)(6) of tionary source’s emissions to equal or
this section is equal to or greater than exceed its PAL.
80 percent of the PAL level, the review- (b) As part of this application, the
ing authority may renew the PAL at major stationary source owner or oper-
the same level without considering the ator shall demonstrate that the sum of
factors set forth in paragraph the baseline actual emissions of the
(w)(10)(iv)(b) of this section; or small emissions units, plus the sum of
(b) The reviewing authority may set the baseline actual emissions of the
the PAL at a level that it determines significant and major emissions units
to be more representative of the assuming application of BACT equiva-
source’s baseline actual emissions, or lent controls, plus the sum of the al-
that it determines to be appropriate lowable emissions of the new or modi-
considering air quality needs, advances fied emissions unit(s), exceeds the
in control technology, anticipated eco- PAL. The level of control that would
nomic growth in the area, desire to re- result from BACT equivalent controls
ward or encourage the source’s vol- on each significant or major emissions
untary emissions reductions, or other unit shall be determined by conducting
factors as specifically identified by the a new BACT analysis at the time the
reviewing authority in its written ra- application is submitted, unless the
tionale. emissions unit is currently required to
(c) Notwithstanding paragraphs comply with a BACT or LAER require-
(w)(10)(iv) (a) and (b) of this section: ment that was established within the
292
preceding 10 years. In such a case, the (b) The PAL monitoring system must
assumed control level for that emis- employ one or more of the four general
sions unit shall be equal to the level of monitoring approaches meeting the
BACT or LAER with which that emis- minimum requirements set forth in
sions unit must currently comply. paragraphs (w)(12)(ii) (a) through (d) of
(c) The owner or operator obtains a this section and must be approved by
major NSR permit for all emissions the reviewing authority.
unit(s) identified in paragraph (c) Notwithstanding paragraph
(w)(11)(i)(a) of this section, regardless (w)(12)(i)(b) of this section, you may
of the magnitude of the emissions in- also employ an alternative monitoring
crease resulting from them (that is, no approach that meets paragraph
significant levels apply). These emis- (w)(12)(i)(a) of this section if approved
sions unit(s) shall comply with any by the reviewing authority.
emissions requirements resulting from (d) Failure to use a monitoring sys-
the major NSR process (for example, tem that meets the requirements of
BACT), even though they have also be- this section renders the PAL invalid.
come subject to the PAL or continue to (ii) Minimum performance require-
be subject to the PAL. ments for approved monitoring ap-
(d) The PAL permit shall require proaches. The following are acceptable
that the increased PAL level shall be general monitoring approaches when
effective on the day any emissions unit conducted in accordance with the min-
that is part of the PAL major modifica- imum requirements in paragraphs
tion becomes operational and begins to (w)(12)(iii) through (ix) of this section:
emit the PAL pollutant. (a) Mass balance calculations for ac-
(ii) The reviewing authority shall tivities using coatings or solvents;
calculate the new PAL as the sum of (b) CEMS;
the allowable emissions for each modi- (c) CPMS or PEMS; and
fied or new emissions unit, plus the (d) Emission factors.
sum of the baseline actual emissions of (iii) Mass balance calculations. An
the significant and major emissions owner or operator using mass balance
units (assuming application of BACT calculations to monitor PAL pollutant
equivalent controls as determined in emissions from activities using coating
accordance with paragraph (w)(11)(i)(b) or solvents shall meet the following re-
of this section), plus the sum of the quirements:
baseline actual emissions of the small (a) Provide a demonstrated means of
emissions units. validating the published content of the
(iii) The PAL permit shall be revised PAL pollutant that is contained in or
to reflect the increased PAL level pur- created by all materials used in or at
suant to the public notice require- the emissions unit;
ments of paragraph (w)(5) of this sec- (b) Assume that the emissions unit
tion. emits all of the PAL pollutant that is
(12) Monitoring requirements for contained in or created by any raw ma-
PALs—(i) General requirements. (a) Each terial or fuel used in or at the emis-
PAL permit must contain enforceable sions unit, if it cannot otherwise be ac-
requirements for the monitoring sys- counted for in the process; and
tem that accurately determines (c) Where the vendor of a material or
plantwide emissions of the PAL pollut- fuel, which is used in or at the emis-
ant in terms of mass per unit of time. sions unit, publishes a range of pollut-
Any monitoring system authorized for ant content from such material, the
use in the PAL permit must be based owner or operator must use the highest
on sound science and meet generally value of the range to calculate the PAL
acceptable scientific procedures for pollutant emissions unless the review-
data quality and manipulation. Addi- ing authority determines there is site-
tionally, the information generated by specific data or a site-specific moni-
such system must meet minimum legal toring program to support another con-
requirements for admissibility in a ju- tent within the range.
dicial proceeding to enforce the PAL (iv) CEMS. An owner or operator
permit. using CEMS to monitor PAL pollutant
293
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
emissions shall meet the following re- owner or operator of an emissions unit
quirements: cannot demonstrate a correlation be-
(a) CEMS must comply with applica- tween the monitored parameter(s) and
ble Performance Specifications found the PAL pollutant emissions rate at all
in 40 CFR part 60, appendix B; and operating points of the emissions unit,
(b) CEMS must sample, analyze, and the reviewing authority shall, at the
record data at least every 15 minutes time of permit issuance:
while the emissions unit is operating. (a) Establish default value(s) for de-
(v) CPMS or PEMS. An owner or op- termining compliance with the PAL
erator using CPMS or PEMS to mon- based on the highest potential emis-
itor PAL pollutant emissions shall sions reasonably estimated at such op-
meet the following requirements: erating point(s); or
(a) The CPMS or the PEMS must be (b) Determine that operation of the
based on current site-specific data emissions unit during operating condi-
demonstrating a correlation between tions when there is no correlation be-
the monitored parameter(s) and the tween monitored parameter(s) and the
PAL pollutant emissions across the PAL pollutant emissions is a violation
range of operation of the emissions of the PAL.
unit; and (ix) Re-validation. All data used to
(b) Each CPMS or PEMS must sam- establish the PAL pollutant must be
ple, analyze, and record data at least re-validated through performance test-
every 15 minutes, or at another less ing or other scientifically valid means
frequent interval approved by the re- approved by the reviewing authority.
viewing authority, while the emissions Such testing must occur at least once
unit is operating. every 5 years after issuance of the
(vi) Emission factors. An owner or PAL.
operator using emission factors to (13) Recordkeeping requirements. (i)
monitor PAL pollutant emissions shall The PAL permit shall require an owner
meet the following requirements: or operator to retain a copy of all
(a) All emission factors shall be ad- records necessary to determine compli-
justed, if appropriate, to account for ance with any requirement of para-
the degree of uncertainty or limita- graph (w) of this section and of the
tions in the factors’ development; PAL, including a determination of each
(b) The emissions unit shall operate emissions unit’s 12-month rolling total
within the designated range of use for emissions, for 5 years from the date of
the emission factor, if applicable; and such record.
(c) If technically practicable, the (ii) The PAL permit shall require an
owner or operator of a significant emis- owner or operator to retain a copy of
sions unit that relies on an emission the following records, for the duration
factor to calculate PAL pollutant of the PAL effective period plus 5
emissions shall conduct validation years:
testing to determine a site-specific (a) A copy of the PAL permit applica-
emission factor within 6 months of tion and any applications for revisions
PAL permit issuance, unless the re- to the PAL; and
viewing authority determines that (b) Each annual certification of com-
testing is not required. pliance pursuant to title V and the
(vii) A source owner or operator must data relied on in certifying the compli-
record and report maximum potential ance.
emissions without considering enforce- (14) Reporting and notification require-
able emission limitations or oper- ments. The owner or operator shall sub-
ational restrictions for an emissions mit semi-annual monitoring reports
unit during any period of time that and prompt deviation reports to the re-
there is no monitoring data, unless an- viewing authority in accordance with
other method for determining emis- the applicable title V operating permit
sions during such periods is specified in program. The reports shall meet the re-
the PAL permit. quirements in paragraphs (w)(14)(i)
(viii) Notwithstanding the require- through (iii) of this section.
ments in paragraphs (w)(12)(iii) (i) Semi-annual report. The semi-an-
through (vii) of this section, where an nual report shall be submitted to the
294
reviewing authority within 30 days of gram implementing § 70.6(a)(3)(iii)(B) of

the end of each reporting period. This this chapter. The reports shall contain
report shall contain the information the following information:
required in paragraphs (w)(14)(i)(a) (a) The identification of owner and
through (g) of this section. operator and the permit number;
(a) The identification of owner and (b) The PAL requirement that experi-
operator and the permit number. enced the deviation or that was exceed-
(b) Total annual emissions (tons/ ed;
year) based on a 12-month rolling total (c) Emissions resulting from the devi-
for each month in the reporting period ation or the exceedance; and
recorded pursuant to paragraph (d) A signed statement by the respon-
(w)(13)(i) of this section. sible official (as defined by the applica-
(c) All data relied upon, including, ble title V operating permit program)
but not limited to, any Quality Assur- certifying the truth, accuracy, and
ance or Quality Control data, in calcu- completeness of the information pro-
lating the monthly and annual PAL vided in the report.
pollutant emissions. (iii) Re-validation results. The owner
(d) A list of any emissions units or operator shall submit to the review-
modified or added to the major sta- ing authority the results of any re-vali-
tionary source during the preceding 6- dation test or method within three
month period. months after completion of such test
(e) The number, duration, and cause or method.
of any deviations or monitoring mal- (15) Transition requirements. (i) No re-
functions (other than the time associ- viewing authority may issue a PAL
ated with zero and span calibration that does not comply with the require-
checks), and any corrective action ments in paragraphs (w)(1) through (15)
taken. of this section after the Administrator
(f) A notification of a shutdown of has approved regulations incorporating
any monitoring system, whether the these requirements into a plan.
shutdown was permanent or tem- (ii) The reviewing authority may su-
porary, the reason for the shutdown, persede any PAL which was established
the anticipated date that the moni- prior to the date of approval of the
toring system will be fully operational plan by the Administrator with a PAL
or replaced with another monitoring that complies with the requirements of
system, and whether the emissions paragraphs (w)(1) through (15) of this
unit monitored by the monitoring sys- section.
tem continued to operate, and the cal- (x) If any provision of this section, or
culation of the emissions of the pollut- the application of such provision to
ant or the number determined by any person or circumstance, is held in-
method included in the permit, as pro- valid, the remainder of this section, or
vided by paragraph (w)(12)(vii) of this the application of such provision to
section. persons or circumstances other than
(g) A signed statement by the respon- those as to which it is held invalid,
sible official (as defined by the applica- shall not be affected thereby.
ble title V operating permit program) (y) Equipment replacement provision.
certifying the truth, accuracy, and Without regard to other consider-
completeness of the information pro- ations, routine maintenance, repair
vided in the report. and replacement includes, but is not
(ii) Deviation report. The major sta- limited to, the replacement of any
tionary source owner or operator shall component of a process unit with an
promptly submit reports of any devi- identical or functionally equivalent
ations or exceedance of the PAL re- component(s), and maintenance and re-
quirements, including periods where no pair activities that are part of the re-
monitoring is available. A report sub- placement activity, provided that all of
mitted pursuant to § 70.6(a)(3)(iii)(B) of the requirements in paragraphs (y)(1)
this chapter shall satisfy this reporting through (3) of this section are met.
requirement. The deviation reports (1) Capital Cost threshold for Equip-
shall be submitted within the time lim- ment Replacement. (i) For an electric util-
its prescribed by the applicable pro- ity steam generating unit, as defined in
295
§ 51.166 40 CFR Ch. I (7–1–21 Edition)
§ 51.166(b)(30), the fixed capital cost of owner or operator sends another notice
the replacement component(s) plus the to the reviewing authority selecting
cost of any associated maintenance and another procedure consistent with this
repair activities that are part of the re- paragraph or paragraph (y)(1)(ii) of this
placement shall not exceed 20 percent section at the beginning of such fiscal
of the replacement value of the process year.
unit, at the time the equipment is re- (2) Basic design parameters. The re-
placed. For a process unit that is not placement does not change the basic
an electric utility steam generating design parameter(s) of the process unit
unit the fixed capital cost of the re- to which the activity pertains.
placement component(s) plus the cost (i) Except as provided in paragraph
of any associated maintenance and re- (y)(2)(iii) of this section, for a process
pair activities that are part of the re- unit at a steam electric generating fa-
placement shall not exceed 20 percent cility, the owner or operator may se-
of the replacement value of the process lect as its basic design parameters ei-
unit, at the time the equipment is re- ther maximum hourly heat input and
placed. maximum hourly fuel consumption
(ii) In determining the replacement rate or maximum hourly electric out-
value of the process unit; and, except put rate and maximum steam flow
as otherwise allowed under paragraph rate. When establishing fuel consump-
(y)(1)(iii) of this section, the owner or tion specifications in terms of weight
operator shall determine the replace- or volume, the minimum fuel quality
ment value of the process unit on an
based on British Thermal Units con-
estimate of the fixed capital cost of
tent shall be used for determining the
constructing a new process unit, or on
basic design parameter(s) for a coal-
the current appraised value of the proc-
fired electric utility steam generating
ess unit.
unit.
(iii) As an alternative to paragraph
(y)(1)(ii) of this section for determining (ii) Except as provided in paragraph
the replacement value of a process (y)(2)(iii) of this section, the basic de-
unit, an owner or operator may choose sign parameter(s) for any process unit
to use insurance value (where the in- that is not at a steam electric gener-
surance value covers only complete re- ating facility are maximum rate of fuel
placement), investment value adjusted or heat input, maximum rate of mate-
for inflation, or another accounting rial input, or maximum rate of product
procedure if such procedure is based on output. Combustion process units will
Generally Accepted Accounting Prin- typically use maximum rate of fuel
ciples, provided that the owner or oper- input. For sources having multiple end
ator sends a notice to the reviewing au- products and raw materials, the owner
thority. The first time that an owner or operator should consider the pri-
or operator submits such a notice for a mary product or primary raw material
particular process unit, the notice may when selecting a basic design param-
be submitted at any time, but any sub- eter.
sequent notice for that process unit (iii) If the owner or operator believes
may be submitted only at the begin- the basic design parameter(s) in para-
ning of the process unit’s fiscal year. graphs (y)(2)(i) and (ii) of this section
Unless the owner or operator submits a is not appropriate for a specific indus-
notice to the reviewing authority, then try or type of process unit, the owner
paragraph (y)(1)(ii) of this section will or operator may propose to the review-
be used to establish the replacement ing authority an alternative basic de-
value of the process unit. Once the sign parameter(s) for the source’s proc-
owner or operator submits a notice to ess unit(s). If the reviewing authority
use an alternative accounting proce- approves of the use of an alternative
dure, the owner or operator must con- basic design parameter(s), the review-
tinue to use that procedure for the en- ing authority shall issue a permit that
tire fiscal year for that process unit. In is legally enforceable that records such
subsequent fiscal years, the owner or basic design parameter(s) and requires
operator must continue to use this se- the owner or operator to comply with
lected procedure unless and until the such parameter(s).
296
(iv) The owner or operator shall use plan are located in subpart C of part 58
credible information, such as results of of this chapter.
historic maximum capability tests, de-
[44 FR 27569, May 10, 1979]
sign information from the manufac-
turer, or engineering calculations, in
establishing the magnitude of the basic Subpart K—Source Surveillance
design parameter(s) specified in para-
graphs (y)(2)(i) and (ii) of this section. SOURCE: 51 FR 40673, Nov. 7, 1986, unless
(v) If design information is not avail- otherwise noted.
able for a process unit, then the owner
or operator shall determine the process § 51.210 General.
unit’s basic design parameter(s) using Each plan must provide for moni-
the maximum value achieved by the toring the status of compliance with
process unit in the five-year period im- any rules and regulations that set forth
mediately preceding the planned activ- any portion of the control strategy.
ity. Specifically, the plan must meet the
(vi) Efficiency of a process unit is not requirements of this subpart.
a basic design parameter.
(3) The replacement activity shall § 51.211 Emission reports and record-
not cause the process unit to exceed keeping.
any emission limitation, or operational The plan must provide for legally en-
limitation that has the effect of con- forceable procedures for requiring own-
straining emissions, that applies to the ers or operators of stationary sources
process unit and that is legally en- to maintain records of and periodically
forceable. report to the State—
NOTE TO PARAGRAPH (y): By a court order (a) Information on the nature and
on December 24, 2003, this paragraph (y) is amount of emissions from the sta-
stayed indefinitely. The stayed provisions tionary sources; and
will become effective immediately if the (b) Other information as may be nec-
court terminates the stay. At that time, essary to enable the State to determine
EPA will publish a document in the FEDERAL whether the sources are in compliance
REGISTER advising the public of the termi- with applicable portions of the control
nation of the stay.
strategy.
(Secs. 101(b)(1), 110, 160–169, 171–178, and
301(a), Clean Air Act, as amended (42 U.S.C. § 51.212 Testing, inspection, enforce-
7401(b)(1), 7410, 7470–7479, 7501–7508, and ment, and complaints.
7601(a)); sec. 129(a), Clean Air Act Amend-
The plan must provide for—
ments of 1977 (Pub. L. 95–95, 91 Stat. 685 (Aug.
7, 1977))) (a) Periodic testing and inspection of
stationary sources; and
[43 FR 26382, June 19, 1978] (b) Establishment of a system for de-
EDITORIAL NOTE: For FEDERAL REGISTER ci- tecting violations of any rules and reg-
tations affecting § 51.166, see the List of CFR ulations through the enforcement of
Sections Affected, which appears in the appropriate visible emission limita-
Finding Aids section of the printed volume tions and for investigating complaints.
and at www.govinfo.gov.
(c) Enforceable test methods for each
EFFECTIVE DATE NOTE: At 76 FR 17553, Mar. emission limit specified in the plan.
30, 2011, § 51.166 paragraphs (b)(2)(v) and For the purpose of submitting compli-
(b)(3)(iii)(d) are stayed indefinitely.
ance certifications or establishing
whether or not a person has violated or
Subpart J—Ambient Air Quality is in violation of any standard in this
Surveillance part, the plan must not preclude the
use, including the exclusive use, of any
AUTHORITY: Secs. 110, 301(a), 313, 319, Clean credible evidence or information, rel-
Air Act (42 U.S.C. 7410, 7601(a), 7613, 7619). evant to whether a source would have
been in compliance with applicable re-
§ 51.190 Ambient air quality moni- quirements if the appropriate perform-
toring requirements. ance or compliance test or procedure
The requirements for monitoring am- had been performed. As an enforceable
bient air quality for purposes of the method, States may use:
297
§ 51.213 40 CFR Ch. I (7–1–21 Edition)
(1) Any of the appropriate methods in cording requirements to maintain a

appendix M to this part, Recommended file of all pertinent information for at
Test Methods for State Implementa- least two years following the date of
tion Plans; or collection of that information.
(2) An alternative method following (2) The information must include
review and approval of that method by emission measurements, continuous
the Administrator; or monitoring system performance test-
(3) Any appropriate method in appen- ing measurements, performance eval-
dix A to 40 CFR part 60. uations, calibration checks, and adjust-
[51 FR 40673, Nov. 7, 1986, as amended at 55 ments and maintenance performed on
FR 14249, Apr. 17, 1990; 62 FR 8328, Feb. 24, such monitoring systems and other re-
1997] ports and records required by appendix
P of this part.
§ 51.213 Transportation control meas- (e) The procedures must require the
ures. source owner or operator to submit in-
(a) The plan must contain procedures formation relating to emissions and op-
for obtaining and maintaining data on eration of the emission monitors to the
actual emissions reductions achieved State to the extent described in appen-
as a result of implementing transpor- dix P at least as frequently as de-
tation control measures. scribed therein.
(b) In the case of measures based on (f)(1) The procedures must provide
traffic flow changes or reductions in that sources subject to the require-
vehicle use, the data must include ob- ments of paragraph (c) of this section
served changes in vehicle miles trav- must have installed all necessary
eled and average speeds. equipment and shall have begun moni-
(c) The data must be maintained in toring and recording within 18 months
such a way as to facilitate comparison after either—
of the planned and actual efficacy of (i) The approval of a State plan re-
the transportation control measures. quiring monitoring for that source; or
[61 FR 30163, June 14, 1996] (ii) Promulgation by the Agency of
monitoring requirements for that
§ 51.214 Continuous emission moni- source.
toring. (2) The State may grant reasonable
(a) The plan must contain legally en- extensions of this period to sources
forceable procedures to— that—
(1) Require stationary sources sub- (i) Have made good faith efforts to
ject to emission standards as part of an purchases, install, and begin the moni-
applicable plan to install, calibrate, toring and recording of emission data;
maintain, and operate equipment for and
continuously monitoring and recording (ii) Have been unable to complete the
emissions; and installation within the period.
(2) Provide other information as spec-
ified in appendix P of this part.
(b) The procedures must—
Subpart L—Legal Authority
(1) Identify the types of sources, by
source category and capacity, that SOURCE: 51 FR 40673, Nov. 7, 1986, unless
must install the equipment; and otherwise noted.
(2) Identify for each source category
§ 51.230 Requirements for all plans.
the pollutants which must be mon-
itored. Each plan must show that the State
(c) The procedures must, as a min- has legal authority to carry out the
imum, require the types of sources set plan, including authority to:
forth in appendix P of this part to meet (a) Adopt emission standards and
the applicable requirements set forth limitations and any other measures
therein. necessary for attainment and mainte-
(d)(1) The procedures must contain nance of national standards.
provisions that require the owner or (b) Enforce applicable laws, regula-
operator of each source subject to con- tions, and standards, and seek injunc-
tinuous emission monitoring and re- tive relief.
298
(c) Abate pollutant emissions on an thority necessary to carry out the por-
emergency basis to prevent substantial tion of plan.
endangerment to the health of persons, (b) The State may authorize a local
i.e., authority comparable to that agency to carry out a plan, or portion
available to the Administrator under thereof, within such local agency’s ju-
section 305 of the Act. risdiction if—
(d) Prevent construction, modifica- (1) The plan demonstrates to the Ad-
tion, or operation of a facility, build- ministrator’s satisfaction that the
ing, structure, or installation, or com- local agency has the legal authority
bination thereof, which directly or in-
necessary to implement the plan or
directly results or may result in emis-
portion of it; and
sions of any air pollutant at any loca-
tion which will prevent the attainment (2) This authorization does not re-
or maintenance of a national standard. lieve the State of responsibility under
(e) Obtain information necessary to the Act for carrying out such plan, or
determine whether air pollution portion thereof.
sources are in compliance with applica-
ble laws, regulations, and standards, Subpart M—Intergovernmental
including authority to require record- Consultation
keeping and to make inspections and
conduct tests of air pollution sources.
AUTHORITY: Secs. 110, 121, 174(a), 301(a),
(f) Require owners or operators of
Clean Air Act, as amended (42 U.S.C. 7410,
stationary sources to install, maintain, 7421, 7504, and 7601(a)).
and use emission monitoring devices
and to make periodic reports to the SOURCE: 44 FR 35179, June 18, 1979, unless
State on the nature and amounts of otherwise noted.
emissions from such stationary
sources; also authority for the State to AGENCY DESIGNATION
make such data available to the public
§ 51.240 General plan requirements.
as reported and as correlated with any
applicable emission standards or limi- Each State implementation plan
tations. must identify organizations, by official
title, that will participate in devel-
§ 51.231 Identification of legal author- oping, implementing, and enforcing the
ity. plan and the responsibilities of such or-
(a) The provisions of law or regula- ganizations. The plan shall include any
tion which the State determines pro- related agreements or memoranda of
vide the authorities required under this understanding among the organiza-
section must be specifically identified, tions.
and copies of such laws or regulations
be submitted with the plan. § 51.241 Nonattainment areas for car-
(b) The plan must show that the legal bon monoxide and ozone.
authorities specified in this subpart are
(a) For each AQCR or portion of an
available to the State at the time of
AQCR in which the national primary
submission of the plan.
(c) Legal authority adequate to ful- standard for carbon monoxide or ozone
fill the requirements of § 51.230 (e) and will not be attained by July 1, 1979, the
(f) of this subpart may be delegated to Governor (or Governors for interstate
the State under section 114 of the Act. areas) shall certify, after consultation
with local officials, the organization
§ 51.232 Assignment of legal authority responsible for developing the revised
to local agencies. implementation plan or portions there-
(a) A State government agency other of for such AQCR.
than the State air pollution control (b)–(f) [Reserved]
agency may be assigned responsibility
[44 FR 35179, June 18, 1979, as amended at 48
for carrying out a portion of a plan if FR 29302, June 24, 1983; 60 FR 33922, June 29,
the plan demonstrates to the Adminis- 1995; 61 FR 16060, Apr. 11, 1996]
trator’s satisfaction that the State
governmental agency has the legal au-
299
§ 51.242 40 CFR Ch. I (7–1–21 Edition)
§ 51.242 [Reserved] and effective supervision of progress

toward timely compliance.
Subpart N—Compliance (b) [Reserved]
Schedules
Subpart O—Miscellaneous Plan
SOURCE: 51 FR 40673, Nov. 7, 1986, unless Content Requirements
otherwise noted.
AUTHORITY: Secs. 110, 301(a), 313, 319, Clean
§ 51.260 Legally enforceable compli- Air Act (42 U.S.C. 7410, 7601(a), 7613, 7619).
ance schedules.
(a) Each plan shall contain legally § 51.280 Resources.
enforceable compliance schedules set- Each plan must include a description
ting forth the dates by which all sta- of the resources available to the State
tionary and mobile sources or cat- and local agencies at the date of sub-
egories of such sources must be in commission of the plan and of any addi-
pliance with any applicable require- tional resources needed to carry out
ment of the plan. the plan during the 5-year period fol-
(b) The compliance schedules must lowing its submission. The description
contain increments of progress re- must include projections of the extent
quired by § 51.262 of this subpart. to which resources will be acquired at
1-, 3-, and 5-year intervals.
§ 51.261 Final compliance schedules.
[51 FR 40674, Nov. 7, 1986]
(a) Unless EPA grants an extension
under subpart R, compliance schedules § 51.281 Copies of rules and regula-
designed to provide for attainment of a tions.
primary standard must—
Emission limitations and other meas-
(1) Provide for compliance with the
ures necessary for attainment and
applicable plan requirements as soon as
maintenance of any national standard,
practicable; or
including any measures necessary to
(2) Provide for compliance no later
implement the requirements of subpart
than the date specified for attainment
L must be adopted as rules and regula-
of the primary standard under;
tions enforceable by the State agency.
(b) Unless EPA grants an extension
Copies of all such rules and regulations
under subpart R, compliance schedules
must be submitted with the plan. Sub-
designed to provide for attainment of a
mittal of a plan setting forth proposed
secondary standard must—
rules and regulations will not satisfy
(1) Provide for compliance with the the requirements of this section nor
applicable plan requirements in a rea- will it be considered a timely sub-
sonable time; or mittal.
(2) Provide for compliance no later
than the date specified for the attain- [51 FR 40674, Nov. 7, 1986]
ment of the secondary standard under
§ 51.110(c). § 51.285 Public notification.
By March 1, 1980, the State shall sub-
§ 51.262 Extension beyond one year. mit a plan revision that contains provi-
(a) Any compliance schedule or revisions for:
sion of it extending over a period of (a) Notifying the public on a regular
more than one year from the date of its basis of instances or areas in which any
adoption by the State agency must primary standard was exceeded during
provide for legally enforceable incre- any portion of the preceding calendar
ments of progress toward compliance year,
by each affected source or category of (b) Advising the public of the health
sources. The increments of progress hazards associated with such an ex-
must include— ceedance of a primary standard, and
(1) Each increment of progress speci- (c) Increasing public awareness of:
fied in § 51.100(q); and (1) Measures which can be taken to
(2) Additional increments of progress prevent a primary standard from being
as may be necessary to permit close exceeded, and
300
(2) Ways in which the public can par- § 51.301 Definitions.

ticipate in regulatory and other efforts
For purposes of this subpart:
to improve air quality.
Adverse impact on visibility means, for
[44 FR 27569, May 10, 1979] purposes of section 307, visibility im-
pairment which interferes with the
§ 51.286 Electronic reporting. management, protection, preservation,
States that wish to receive electronic or enjoyment of the visitor’s visual ex-
documents must revise the State Im- perience of the Federal Class I area.
plementation Plan to satisfy the re- This determination must be made on a
quirements of 40 CFR Part 3—(Elec- case-by-case basis taking into account
tronic reporting). the geographic extent, intensity, dura-
tion, frequency and time of visibility
[70 FR 59887, Oct. 13, 2005] impairments, and how these factors
correlate with (1) times of visitor use
Subpart P—Protection of Visibility of the Federal Class I area, and (2) the
frequency and timing of natural condi-
tions that reduce visibility. This term
AUTHORITY: Secs. 110, 114, 121, 160–169, 169A,
does not include effects on integral vis-
and 301 of the Clean Air Act, (42 U.S.C. 7410,
7414, 7421, 7470–7479, and 7601).
tas.
Agency means the U.S. Environ-
SOURCE: 45 FR 80089, Dec. 2, 1980, unless mental Protection Agency.
otherwise noted.
BART-eligible source means an existing
stationary facility as defined in this sec-
§ 51.300 Purpose and applicability.
tion.
(a) Purpose. The primary purposes of Baseline visibility condition means the
this subpart are to require States to average of the five annual averages of
develop programs to assure reasonable the individual values of daily visibility
progress toward meeting the national for the period 2000–2004 unique to each
goal of preventing any future, and rem- Class I area for either the most im-
edying any existing, impairment of vis- paired days or the clearest days.
ibility in mandatory Class I Federal Best Available Retrofit Technology
areas which impairment results from (BART) means an emission limitation
manmade air pollution; and to estab- based on the degree of reduction
lish necessary additional procedures achievable through the application of
for new source permit applicants, the best system of continuous emission
States and Federal Land Managers to reduction for each pollutant which is
use in conducting the visibility impact emitted by an existing stationary facil-
analysis required for new sources under ity. The emission limitation must be
§ 51.166. This subpart sets forth require- established, on a case-by-case basis,
ments addressing visibility impairment taking into consideration the tech-
in its two principal forms: ‘‘reasonably nology available, the costs of compli-
attributable’’ impairment (i.e., impair- ance, the energy and nonair quality en-
ment attributable to a single source/ vironmental impacts of compliance,
small group of sources) and regional any pollution control equipment in use
haze (i.e., widespread haze from a mul- or in existence at the source, the re-
titude of sources which impairs visi- maining useful life of the source, and
the degree of improvement in visibility
bility in every direction over a large
which may reasonably be anticipated
area).
to result from the use of such tech-
(b) Applicability The provisions of this nology.
subpart are applicable to all States as
Building, structure, or facility means
defined in section 302(d) of the Clean all of the pollutant-emitting activities
Air Act (CAA) except Guam, Puerto which belong to the same industrial
Rico, American Samoa, and the North- grouping, are located on one or more
ern Mariana Islands. contiguous or adjacent properties, and
[45 FR 80089, Dec. 2, 1980, as amended at 64 are under the control of the same per-
FR 35763, July 1, 1999; 82 FR 3122, Jan. 10, son (or persons under common control).
2017] Pollutant-emitting activities must be
301
§ 51.301 40 CFR Ch. I (7–1–21 Edition)
considered as part of the same indus- Fossil-fuel fired steam electric plants
trial grouping if they belong to the of more than 250 million British ther-
same Major Group (i.e., which have the mal units per hour heat input,
same two-digit code) as described in Coal cleaning plants (thermal dry-
the Standard Industrial Classification ers),
Manual, 1972 as amended by the 1977 Kraft pulp mills,
Supplement (U.S. Government Printing Portland cement plants,
Office stock numbers 4101–0066 and 003– Primary zinc smelters,
005–00176–0 respectively). Iron and steel mill plants,
Clearest days means the twenty per- Primary aluminum ore reduction
cent of monitored days in a calendar plants,
year with the lowest values of the Primary copper smelters,
deciview index. Municipal incinerators capable of
Current visibility condition means the charging more than 250 tons of refuse
average of the five annual averages of per day,
individual values of daily visibility for Hydrofluoric, sulfuric, and nitric acid
the most recent period for which data plants,
are available unique to each Class I Petroleum refineries,
area for either the most impaired days Lime plants,
or the clearest days. Phosphate rock processing plants,
Deciview is the unit of measurement Coke oven batteries,
on the deciview index scale for quanti- Sulfur recovery plants,
fying in a standard manner human per- Carbon black plants (furnace proc-
ceptions of visibility. ess),
Deciview index means a value for a Primary lead smelters,
day that is derived from calculated or Fuel conversion plants,
measured light extinction, such that Sintering plants,
uniform increments of the index cor- Secondary metal production facili-
respond to uniform incremental ties,
changes in perception across the entire Chemical process plants,
range of conditions, from pristine to Fossil-fuel boilers of more than 250
very obscured. The deciview index is million British thermal units per hour
calculated based on the following equa- heat input,
tion (for the purposes of calculating Petroleum storage and transfer fa-
deciview using IMPROVE data, the at- cilities with a capacity exceeding
mospheric light extinction coefficient 300,000 barrels,
must be calculated from aerosol meas- Taconite ore processing facilities,
urements and an estimate of Rayleigh Glass fiber processing plants, and
scattering): Charcoal production facilities.
Deciview index = 10 ln (bext/10 Mm¥1). Federal Class I area means any Fed-
bext = the atmospheric light extinc- eral land that is classified or reclassi-
tion coefficient, expressed in inverse fied Class I.
megameters (Mm¥1). Federal Land Manager means the Sec-
End of the applicable implementation retary of the department with author-
period means December 31 of the year ity over the Federal Class I area (or the
in which the next periodic comprehen- Secretary’s designee) or, with respect
sive implementation plan revision is to Roosevelt-Campobello International
due under § 51.308(f). Park, the Chairman of the Roosevelt-
Existing stationary facility means any Campobello International Park Com-
of the following stationary sources of mission.
air pollutants, including any recon- Federally enforceable means all limi-
structed source, which was not in oper- tations and conditions which are en-
ation prior to August 7, 1962, and was forceable by the Administrator under
in existence on August 7, 1977, and has the Clean Air Act including those re-
the potential to emit 250 tons per year quirements developed pursuant to
or more of any air pollutant. In deter- parts 60 and 61 of this title, require-
mining potential to emit, fugitive ments within any applicable State Im-
emissions, to the extent quantifiable, plementation Plan, and any permit re-
must be counted. quirements established pursuant to
302
§ 52.21 of this chapter or under regula- endar year with the lowest amounts of
tions approved pursuant to part 51, 52, visibility impairment.
or 60 of this title. Major stationary source and major
Fixed capital cost means the capital modification mean major stationary
needed to provide all of the depreciable source and major modification, respec-
components. tively, as defined in § 51.166.
Fugitive Emissions means those emis- Mandatory Class I Federal Area or
sions which could not reasonably pass Mandatory Federal Class I Area means
through a stack, chimney, vent, or any area identified in part 81, subpart
other functionally equivalent opening. D of this title.
Geographic enhancement for the pur-
Most impaired days means the twenty
pose of § 51.308 means a method, proce-
percent of monitored days in a cal-
dure, or process to allow a broad re-
gional strategy, such as an emissions endar year with the highest amounts of
trading program designed to achieve anthropogenic visibility impairment.
greater reasonable progress than BART Natural conditions reflect naturally
for regional haze, to accommodate occurring phenomena that reduce visi-
BART for reasonably attributable im- bility as measured in terms of light ex-
pairment. tinction, visual range, contrast, or col-
Implementation plan means, for the oration, and may refer to the condi-
purposes of this part, any State Imple- tions on a single day or a set of days.
mentation Plan, Federal Implementa- These phenomena include, but are not
tion Plan, or Tribal Implementation limited to, humidity, fire events, dust
Plan. storms, volcanic activity, and biogenic
Indian tribe or tribe means any Indian emissions from soils and trees. These
tribe, band, nation, or other organized phenomena may be near or far from a
group or community, including any Class I area and may be outside the
Alaska Native village, which is feder- United States.
ally recognized as eligible for the spe- Natural visibility means visibility
cial programs and services provided by (contrast, coloration, and texture) on a
the United States to Indians because of day or days that would have existed
their status as Indians. under natural conditions. Natural visi-
In existence means that the owner or bility varies with time and location, is
operator has obtained all necessary estimated or inferred rather than di-
preconstruction approvals or permits rectly measured, and may have long-
required by Federal, State, or local air term trends due to long-term trends in
pollution emissions and air quality natural conditions.
laws or regulations and either has (1)
Natural visibility condition means the
begun, or caused to begin, a continuous
average of individual values of daily
program of physical on-site construc-
natural visibility unique to each Class
tion of the facility or (2) entered into
binding agreements or contractual ob- I area for either the most impaired
ligations, which cannot be cancelled or days or the clearest days.
modified without substantial loss to Potential to emit means the maximum
the owner or operator, to undertake a capacity of a stationary source to emit
program of construction of the facility a pollutant under its physical and oper-
to be completed in a reasonable time. ational design. Any physical or oper-
In operation means engaged in activ- ational limitation on the capacity of
ity related to the primary design func- the source to emit a pollutant includ-
tion of the source. ing air pollution control equipment
Installation means an identifiable and restrictions on hours of operation
piece of process equipment. or on the type or amount of material
Integral vista means a view perceived combusted, stored, or processed, shall
from within the mandatory Class I be treated as part of its design if the
Federal area of a specific landmark or limitation or the effect it would have
panorama located outside the boundary on emissions is federally enforceable.
of the mandatory Class I Federal area. Secondary emissions do not count in
Least impaired days means the twenty determining the potential to emit of a
percent of monitored days in a cal- stationary source.
303
§ 51.302 40 CFR Ch. I (7–1–21 Edition)
Prescribed fire means any fire inten- Stationary Source means any building,
tionally ignited by management ac- structure, facility, or installation
tions in accordance with applicable which emits or may emit any air pol-
laws, policies, and regulations to meet lutant.
specific land or resource management Visibility means the degree of per-
objectives. ceived clarity when viewing objects at
Reasonably attributable means attrib- a distance. Visibility includes per-
utable by visual observation or any ceived changes in contrast, coloration,
other appropriate technique. and texture elements in a scene.
Reasonably attributable visibility im- Visibility impairment or anthropogenic
pairment means visibility impairment visibility impairment means any hu-
that is caused by the emission of air manly perceptible difference due to air
pollutants from one, or a small number pollution from anthropogenic sources
of sources. between actual visibility and natural
Reconstruction will be presumed to visibility on one or more days. Because
have taken place where the fixed cap- natural visibility can only be esti-
ital cost of the new component exceeds mated or inferred, visibility impair-
50 percent of the fixed capital cost of a ment also is estimated or inferred rath-
comparable entirely new source. Any er than directly measured.
final decision as to whether reconstruc- Visibility in any mandatory Class I Fed-
tion has occurred must be made in ac- eral area includes any integral vista as-
cordance with the provisions of § 60.15 sociated with that area.
(f) (1) through (3) of this title. Wildfire means any fire started by an
Regional haze means visibility im- unplanned ignition caused by light-
pairment that is caused by the emis- ning; volcanoes; other acts of nature;
sion of air pollutants from numerous unauthorized activity; or accidental,
anthropogenic sources located over a human-caused actions, or a prescribed
wide geographic area. Such sources in- fire that has developed into a wildfire.
clude, but are not limited to, major A wildfire that predominantly occurs
and minor stationary sources, mobile on wildland is a natural event.
sources, and area sources.
Wildland means an area in which
Secondary emissions means emissions
human activity and development is es-
which occur as a result of the construc-
sentially non-existent, except for
tion or operation of an existing sta-
roads, railroads, power lines, and simi-
tionary facility but do not come from
lar transportation facilities. Struc-
the existing stationary facility. Sec-
tures, if any, are widely scattered.
ondary emissions may include, but are
not limited to, emissions from ships or [45 FR 80089, Dec. 2, 1980, as amended at 64
trains coming to or from the existing FR 35763, 35774, July 1, 1999; 82 FR 3122, Jan.
stationary facility. 10, 2017]
Significant impairment means, for pur-
poses of § 51.303, visibility impairment § 51.302 Reasonably attributable visi-
which, in the judgment of the Adminis- bility impairment.
trator, interferes with the manage- (a) The affected Federal Land Man-
ment, protection, preservation, or en- ager may certify, at any time, that
joyment of the visitor’s visual experi- there exists reasonably attributable
ence of the mandatory Class I Federal visibility impairment in any manda-
area. This determination must be made tory Class I Federal area and identify
on a case-by-case basis taking into ac- which single source or small number of
count the geographic extent, intensity, sources is responsible for such impair-
duration, frequency and time of the ment. The affected Federal Land Man-
visibility impairment, and how these ager will provide the certification to
factors correlate with (1) times of vis- the State in which the impairment oc-
itor use of the mandatory Class I Fed- curs and the State(s) in which the
eral area, and (2) the frequency and source(s) is located. The affected Fed-
timing of natural conditions that re- eral Land Manager shall provide the
duce visibility. State(s) in which the source(s) is lo-
State means ‘‘State’’ as defined in cated an opportunity to consult on the
section 302(d) of the CAA. basis of the planned certification, in
304
person and at least 60 days prior to pro- Federal Land Manager certifies to the
viding the certification to the State(s). State(s) under paragraph (a) of this
(b) The State(s) in which the section, the State(s) shall submit a re-
source(s) is located shall revise its revision to its regional haze implementa-
gional haze implementation plan, in tion plan that includes the elements
accordance with the schedule set forth described in paragraphs (b) and (c) of
in paragraph (d) of this section, to in- this section no later than 3 years after
clude for each source or small number the date of the certification. The
of sources that the Federal Land Man- State(s) is not required at that time to
ager has identified in whole or in part also revise its reasonable progress
for reasonably attributable visibility goals to reflect any additional emis-
impairment as part of a certification sion reductions required from the
under paragraph (a) of this section: source or sources. In no case shall such
(1) A determination, based on the fac- a revision in response to a reasonably
tors set forth in § 51.308(f)(2), of the con- attributable visibility impairment cer-
trol measures, if any, that are nec- tification be due before July 31, 2021.
essary with respect to the source or
[82 FR 3123, Jan. 10, 2017]
sources in order for the plan to make
reasonable progress toward natural vis- § 51.303 Exemptions from control.
ibility conditions in the affected Class
I Federal area; (a)(1) Any existing stationary facility
(2) Emission limitations that reflect subject to the requirement under
the degree of emission reduction § 51.302(c) or § 51.308(e) to install, oper-
achievable by such control measures ate, and maintain BART may apply to
and schedules for compliance as expedi- the Administrator for an exemption
tiously as practicable; and from that requirement.
(3) Monitoring, recordkeeping, and (2) An application under this section
reporting requirements sufficient to must include all available documenta-
ensure the enforceability of the emis- tion relevant to the impact of the
sion limitations. source’s emissions on visibility in any
(c) If a source that the Federal Land mandatory Class I Federal area and a
Manager has identified as responsible demonstration by the existing sta-
in whole or in part for reasonably at- tionary facility that it does not or will
tributable visibility impairment as not, by itself or in combination with
part of a certification under paragraph other sources, emit any air pollutant
(a) of this section is a BART-eligible which may be reasonably anticipated
source, and if there is not in effect as to cause or contribute to a significant
of the date of the certification a fully impairment of visibility in any manda-
or conditionally approved implementa- tory Class I Federal area.
tion plan addressing the BART require- (b) Any fossil-fuel fired power plant
ment for that source (which existing with a total generating capacity of 750
plan may incorporate either source- megawatts or more may receive an ex-
specific emission limitations reflecting emption from BART only if the owner
the emission control performance of or operator of such power plant dem-
BART, an alternative program to ad- onstrates to the satisfaction of the Ad-
dress the BART requirement under ministrator that such power plant is
§ 51.308(e)(2) through (4), or for sources located at such a distance from all
of SO2, a program approved under para- mandatory Class I Federal areas that
graph § 51.309(d)(4)), then the State such power plant does not or will not,
shall revise its regional haze imple- by itself or in combination with other
mentation plan to meet the require- sources, emit any air pollutant which
ments of § 51.308(e) with respect to that may reasonably be anticipated to cause
source, taking into account current or contribute to significant impair-
conditions related to the factors listed ment of visibility in any such manda-
in § 51.308(e)(1)(ii)(A). This requirement tory Class I Federal area.
is in addition to the requirement of (c) Application under this § 51.303
paragraph (b) of this section. must be accompanied by a written con-
(d) For any existing reasonably at- currence from the State with regu-
tributable visibility impairment the latory authority over the source.
305
§ 51.304 40 CFR Ch. I (7–1–21 Edition)
(d) The existing stationary facility (c) The State must list in its imple-
must give prior written notice to all af- mentation plan any integral vista list-
fected Federal Land Managers of any ed in paragraph (b) of this section.
application for exemption under this [82 FR 3123, Jan. 10, 2017]
§ 51.303.
(e) The Federal Land Manager may § 51.305 Monitoring for reasonably at-
provide an initial recommendation or tributable visibility impairment.
comment on the disposition of such ap- For the purposes of addressing rea-
plication. Such recommendation, sonably attributable visibility impair-
where provided, must be part of the ex- ment, if the Administrator, Regional
emption application. This rec- Administrator, or the affected Federal
ommendation is not to be construed as Land Manager has advised a State con-
the concurrence required under para- taining a mandatory Class I Federal
graph (h) of this section. area of a need for monitoring to assess
(f) The Administrator, within 90 days reasonably attributable visibility im-
of receipt of an application for exemp- pairment at the mandatory Class I
tion from control, will provide notice Federal area in addition to the moni-
of receipt of an exemption application toring currently being conducted to
and notice of opportunity for public meet the requirements of § 51.308(d)(4),
hearing on the application. the State must include in the next im-
(g) After notice and opportunity for plementation plan revision to meet the
public hearing, the Administrator may requirement of § 51.308(f) an appropriate
grant or deny the exemption. For pur- strategy for evaluating reasonably at-
poses of judicial review, final EPA ac- tributable visibility impairment in the
tion on an application for an exemp- mandatory Class I Federal area by vis-
tion under this § 51.303 will not occur ual observation or other appropriate
until EPA approves or disapproves the monitoring techniques. Such strategy
State Implementation Plan revision. must take into account current and an-
(h) An exemption granted by the Ad- ticipated visibility monitoring re-
ministrator under this § 51.303 will be search, the availability of appropriate
effective only upon concurrence by all monitoring techniques, and such guid-
affected Federal Land Managers with ance as is provided by the Agency.
the Administrator’s determination.
[82 FR 3124, Jan. 10, 2017]
[45 FR 80089, Dec. 2, 1980, as amended at 64
FR 35774, July 1, 1999; 82 FR 3123, Jan. 10, § 51.306 [Reserved]
2017]
§ 51.307 New source review.
§ 51.304 Identification of integral vis- (a) For purposes of new source review
tas.
of any new major stationary source or
(a) Federal Land Managers were re- major modification that would be con-
quired to identify any integral vistas structed in an area that is designated
on or before December 31, 1985, accord- attainment or unclassified under sec-
ing to criteria the Federal Land Man- tion 107(d) of the CAA, the State plan
agers developed. These criteria must must, in any review under § 51.166 with
have included, but were not limited to, respect to visibility protection and
whether the integral vista was impor- analyses, provide for:
tant to the visitor’s visual experience (1) Written notification of all af-
of the mandatory Class I Federal area. fected Federal Land Managers of any
(b) The following integral vistas were proposed new major stationary source
identified by Federal Land Managers: or major modification that may affect
At Roosevelt Campobello International visibility in any Federal Class I area.
Park, from the observation point of Such notification must be made in
Roosevelt cottage and beach area, the writing and include a copy of all infor-
viewing angle from 244 to 256 degrees; mation relevant to the permit applica-
and at Roosevelt Campobello Inter- tion within 30 days of receipt of and at
national Park, from the observation least 60 days prior to public hearing by
point of Friar’s Head, the viewing the State on the application for permit
angle from 154 to 194 degrees. to construct. Such notification must
306
include an analysis of the anticipated (d) The State may require moni-
impacts on visibility in any Federal toring of visibility in any Federal Class
Class I area, I area near the proposed new sta-
(2) Where the State requires or re- tionary source or major modification
ceives advance notification (e.g. early for such purposes and by such means as
consultation with the source prior to the State deems necessary and appro-
submission of the application or notifi- priate.
cation of intent to monitor under [45 FR 80089, Dec. 2, 1980, as amended at 64
§ 51.166) of a permit application of a FR 35765, 35774, July 1, 1999; 82 FR 3124, Jan.
source that may affect visibility the 10, 2017]
State must notify all affected Federal
Land Managers within 30 days of such § 51.308 Regional haze program re-
advance notification, and quirements.
(3) Consideration of any analysis per- (a) What is the purpose of this section?
formed by the Federal Land Manager, This section establishes requirements
provided within 30 days of the notifica- for implementation plans, plan revi-
tion and analysis required by para- sions, and periodic progress reviews to
graph (a)(1) of this section, that such address regional haze.
proposed new major stationary source (b) When are the first implementation
or major modification may have an ad- plans due under the regional haze pro-
verse impact on visibility in any Fed- gram? Except as provided in § 51.309(c),
eral Class I area. Where the State finds each State identified in § 51.300(b) must
that such an analysis does not dem- submit, for the entire State, an imple-
onstrate to the satisfaction of the mentation plan for regional haze meet-
State that an adverse impact will re- ing the requirements of paragraphs (d)
sult in the Federal Class I area, the and (e) of this section no later than De-
State must, in the notice of public cember 17, 2007.
hearing, either explain its decision or (c) [Reserved]
give notice as to where the explanation (d) What are the core requirements for
can be obtained. the implementation plan for regional
haze? The State must address regional
(b) The plan shall also provide for the
haze in each mandatory Class I Federal
review of any new major stationary
area located within the State and in
source or major modification:
each mandatory Class I Federal area
(1) That may have an impact on any located outside the State which may be
integral vista of a mandatory Class I affected by emissions from within the
Federal area listed in § 51.304(b), or State. To meet the core requirements
(2) That proposes to locate in an area for regional haze for these areas, the
classified as nonattainment under sec- State must submit an implementation
tion 107(d)(1) of the Clean Air Act that plan containing the following plan ele-
may have an impact on visibility in ments and supporting documentation
any mandatory Class I Federal area. for all required analyses:
(c) Review of any major stationary (1) Reasonable progress goals. For each
source or major modification under mandatory Class I Federal area located
paragraph (b) of this section, shall be within the State, the State must estab-
conducted in accordance with para- lish goals (expressed in deciviews) that
graph (a) of this section, and § 51.166(o), provide for reasonable progress towards
(p)(1) through (2), and (q). In con- achieving natural visibility conditions.
ducting such reviews the State must The reasonable progress goals must
ensure that the source’s emissions will provide for an improvement in visi-
be consistent with making reasonable bility for the most impaired days over
progress toward the national visibility the period of the implementation plan
goal referred to in § 51.300(a). The State and ensure no degradation in visibility
may take into account the costs of for the least impaired days over the
compliance, the time necessary for same period.
compliance, the energy and nonair (i) In establishing a reasonable
quality environmental impacts of com- progress goal for any mandatory Class
pliance, and the useful life of the I Federal area within the State, the
source. State must:
307
§ 51.308 40 CFR Ch. I (7–1–21 Edition)
(A) Consider the costs of compliance, with those States which may reason-
the time necessary for compliance, the ably be anticipated to cause or con-
energy and non-air quality environ- tribute to visibility impairment in the
mental impacts of compliance, and the mandatory Class I Federal area. In any
remaining useful life of any potentially situation in which the State cannot
affected sources, and include a dem- agree with another such State or group
onstration showing how these factors of States that a goal provides for rea-
were taken into consideration in se- sonable progress, the State must de-
lecting the goal. scribe in its submittal the actions
(B) Analyze and determine the rate of taken to resolve the disagreement. In
progress needed to attain natural visi- reviewing the State’s implementation
bility conditions by the year 2064. To plan submittal, the Administrator will
calculate this rate of progress, the take this information into account in
State must compare baseline visibility determining whether the State’s goal
conditions to natural visibility condi- for visibility improvement provides for
tions in the mandatory Federal Class I reasonable progress towards natural
area and determine the uniform rate of visibility conditions.
visibility improvement (measured in (v) The reasonable progress goals es-
deciviews) that would need to be main- tablished by the State are not directly
tained during each implementation pe- enforceable but will be considered by
riod in order to attain natural visi- the Administrator in evaluating the
bility conditions by 2064. In estab- adequacy of the measures in the imple-
lishing the reasonable progress goal, mentation plan to achieve the progress
the State must consider the uniform goal adopted by the State.
rate of improvement in visibility and (vi) The State may not adopt a rea-
the emission reduction measures need- sonable progress goal that represents
ed to achieve it for the period covered less visibility improvement than is ex-
by the implementation plan. pected to result from implementation
(ii) For the period of the implementa- of other requirements of the CAA dur-
tion plan, if the State establishes a ing the applicable planning period.
reasonable progress goal that provides (2) Calculations of baseline and natural
for a slower rate of improvement in visibility conditions. For each manda-
visibility than the rate that would be tory Class I Federal area located with-
needed to attain natural conditions by in the State, the State must determine
2064, the State must demonstrate, the following visibility conditions (ex-
based on the factors in paragraph pressed in deciviews):
(d)(1)(i)(A) of this section, that the rate (i) Baseline visibility conditions for
of progress for the implementation the most impaired and least impaired
plan to attain natural conditions by days. The period for establishing base-
2064 is not reasonable; and that the line visibility conditions is 2000 to 2004.
progress goal adopted by the State is Baseline visibility conditions must be
reasonable. The State must provide to calculated, using available monitoring
the public for review as part of its im- data, by establishing the average de-
plementation plan an assessment of the gree of visibility impairment for the
number of years it would take to at- most and least impaired days for each
tain natural conditions if visibility im- calendar year from 2000 to 2004. The
provement continues at the rate of baseline visibility conditions are the
progress selected by the State as rea- average of these annual values. For
sonable. mandatory Class I Federal areas with-
(iii) In determining whether the out onsite monitoring data for 2000–
State’s goal for visibility improvement 2004, the State must establish baseline
provides for reasonable progress to- values using the most representative
wards natural visibility conditions, the available monitoring data for 2000–2004,
Administrator will evaluate the dem- in consultation with the Administrator
onstrations developed by the State pur- or his or her designee;
suant to paragraphs (d)(1)(i) and (ii) For an implementation plan that
(d)(1)(ii) of this section. is submitted by 2003, the period for es-
(iv) In developing each reasonable tablishing baseline visibility condi-
progress goal, the State must consult tions for the period of the first long-
308
term strategy is the most recent 5-year pairment in any mandatory Class I
period for which visibility monitoring Federal area within the State.
data are available for the mandatory (ii) Where other States cause or con-
Class I Federal areas addressed by the tribute to impairment in a mandatory
plan. For mandatory Class I Federal Class I Federal area, the State must
areas without onsite monitoring data, demonstrate that it has included in its
the State must establish baseline val- implementation plan all measures nec-
ues using the most representative essary to obtain its share of the emis-
available monitoring data, in consulta- sion reductions needed to meet the
tion with the Administrator or his or progress goal for the area. If the State
her designee; has participated in a regional planning
(iii) Natural visibility conditions for process, the State must ensure it has
the most impaired and least impaired included all measures needed to
days. Natural visibility conditions achieve its apportionment of emission
must be calculated by estimating the reduction obligations agreed upon
degree of visibility impairment exist- through that process.
ing under natural conditions for the
(iii) The State must document the
most impaired and least impaired days,
technical basis, including modeling,
based on available monitoring informa-
monitoring and emissions information,
tion and appropriate data analysis
techniques; and on which the State is relying to deter-
mine its apportionment of emission re-
(iv) For the first implementation
plan addressing the requirements of duction obligations necessary for
paragraphs (d) and (e) of this section, achieving reasonable progress in each
the number of deciviews by which base- mandatory Class I Federal area it af-
line conditions exceed natural visi- fects. The State may meet this require-
bility conditions for the most impaired ment by relying on technical analyses
and least impaired days. developed by the regional planning or-
(3) Long-term strategy for regional ganization and approved by all State
haze. Each State listed in § 51.300(b) participants. The State must identify
must submit a long-term strategy that the baseline emissions inventory on
addresses regional haze visibility im- which its strategies are based. The
pairment for each mandatory Class I baseline emissions inventory year is
Federal area within the State and for presumed to be the most recent year of
each mandatory Class I Federal area the consolidate periodic emissions in-
located outside the State that may be ventory.
affected by emissions from the State. (iv) The State must identify all an-
The long-term strategy must include thropogenic sources of visibility im-
enforceable emissions limitations, pairment considered by the State in de-
compliance schedules, and other meas- veloping its long-term strategy. The
ures as necessary to achieve the rea- State should consider major and minor
sonable progress goals established by stationary sources, mobile sources, and
States having mandatory Class I Fed- area sources.
eral areas. In establishing its long- (v) The State must consider, at a
term strategy for regional haze, the minimum, the following factors in de-
State must meet the following require- veloping its long-term strategy:
ments: (A) Emission reductions due to ongo-
(i) Where the State has emissions ing air pollution control programs, in-
that are reasonably anticipated to concluding measures to address reasonably
tribute to visibility impairment in any attributable visibility impairment;
mandatory Class I Federal area located
(B) Measures to mitigate the impacts
in another State or States, the State
of construction activities;
must consult with the other State(s) in
order to develop coordinated emission (C) Emissions limitations and sched-
management strategies. The State ules for compliance to achieve the rea-
must consult with any other State hav- sonable progress goal;
ing emissions that are reasonably an- (D) Source retirement and replace-
ticipated to contribute to visibility im- ment schedules;
309
§ 51.308 40 CFR Ch. I (7–1–21 Edition)
(E) Smoke management techniques (v) A statewide inventory of emis-

for agricultural and forestry manage- sions of pollutants that are reasonably
ment purposes including plans as cur- anticipated to cause or contribute to
rently exist within the State for these visibility impairment in any manda-
purposes; tory Class I Federal area. The inven-
(F) Enforceability of emissions limi- tory must include emissions for a base-
tations and control measures; and line year, emissions for the most re-
(G) The anticipated net effect on visi- cent year for which data are available,
bility due to projected changes in and estimates of future projected emis-
point, area, and mobile source emissions. The State must also include a
sions over the period addressed by the commitment to update the inventory
long-term strategy. periodically.
(4) Monitoring strategy and other imple- (vi) Other elements, including report-
mentation plan requirements. The State ing, recordkeeping, and other meas-
must submit with the implementation ures, necessary to assess and report on
plan a monitoring strategy for meas- visibility.
uring, characterizing, and reporting of (e) Best Available Retrofit Technology
regional haze visibility impairment (BART) requirements for regional haze
that is representative of all mandatory visibility impairment. The State must
Class I Federal areas within the State. submit an implementation plan con-
This monitoring strategy must be co- taining emission limitations rep-
ordinated with the monitoring strategy resenting BART and schedules for com-
required in § 51.305 for reasonably at- pliance with BART for each BART-eli-
tributable visibility impairment. Com- gible source that may reasonably be
pliance with this requirement may be anticipated to cause or contribute to
met through participation in the Inter- any impairment of visibility in any
agency Monitoring of Protected Visual mandatory Class I Federal area, unless
Environments network. The implemen- the State demonstrates that an emis-
tation plan must also provide for the sions trading program or other alter-
following: native will achieve greater reasonable
(i) The establishment of any addi- progress toward natural visibility con-
tional monitoring sites or equipment ditions.
needed to assess whether reasonable (1) To address the requirements for
progress goals to address regional haze BART, the State must submit an im-
for all mandatory Class I Federal areas plementation plan containing the fol-
within the State are being achieved. lowing plan elements and include docu-
(ii) Procedures by which monitoring mentation for all required analyses:
data and other information are used in (i) A list of all BART-eligible sources
determining the contribution of emis- within the State.
sions from within the State to regional (ii) A determination of BART for
haze visibility impairment at manda- each BART-eligible source in the State
tory Class I Federal areas both within that emits any air pollutant which
and outside the State. may reasonably be anticipated to cause
(iii) For a State with no mandatory or contribute to any impairment of vis-
Class I Federal areas, procedures by ibility in any mandatory Class I Fed-
which monitoring data and other infor- eral area. All such sources are subject
mation are used in determining the to BART.
contribution of emissions from within (A) The determination of BART must
the State to regional haze visibility be based on an analysis of the best sys-
impairment at mandatory Class I Fed- tem of continuous emission control
eral areas in other States. technology available and associated
(iv) The implementation plan must emission reductions achievable for
provide for the reporting of all visi- each BART-eligible source that is sub-
bility monitoring data to the Adminis- ject to BART within the State. In this
trator at least annually for each man- analysis, the State must take into con-
datory Class I Federal area in the sideration the technology available,
State. To the extent possible, the State the costs of compliance, the energy and
should report visibility monitoring nonair quality environmental impacts
data electronically. of compliance, any pollution control
310
equipment in use at the source, the re- achieved through the installation and
maining useful life of the source, and operation of BART. For all such emis-
the degree of improvement in visibility sion trading programs or other alter-
which may reasonably be anticipated native measures, the State must sub-
to result from the use of such tech- mit an implementation plan con-
nology. taining the following plan elements
(B) The determination of BART for and include documentation for all re-
fossil-fuel fired power plants having a quired analyses:
total generating capacity greater than (i) A demonstration that the emis-
750 megawatts must be made pursuant sions trading program or other alter-
to the guidelines in appendix Y of this native measure will achieve greater
part (Guidelines for BART Determina- reasonable progress than would have
tions Under the Regional Haze Rule). resulted from the installation and op-
(C) Exception. A State is not required eration of BART at all sources subject
to make a determination of BART for to BART in the State and covered by
SO2 or for NOX if a BART-eligible the alternative program. This dem-
source has the potential to emit less onstration must be based on the fol-
than 40 tons per year of such pollut- lowing:
ant(s), or for PM10 if a BART-eligible (A) A list of all BART-eligible
source has the potential to emit less sources within the State.
than 15 tons per year of such pollutant. (B) A list of all BART-eligible
(iii) If the State determines in estab- sources and all BART source categories
lishing BART that technological or covered by the alternative program.
economic limitations on the applica- The State is not required to include
bility of measurement methodology to every BART source category or every
a particular source would make the im- BART-eligible source within a BART
position of an emission standard infea- source category in an alternative pro-
sible, it may instead prescribe a design, gram, but each BART-eligible source in
equipment, work practice, or other the State must be subject to the re-
operational standard, or combination quirements of the alternative program,
thereof, to require the application of have a federally enforceable emission
BART. Such standard, to the degree limitation determined by the State and
possible, is to set forth the emission re- approved by EPA as meeting BART in
duction to be achieved by implementa- accordance with section 302(c) or para-
tion of such design, equipment, work graph (e)(1) of this section, or other-
practice or operation, and must provide wise addressed under paragraphs (e)(1)
for compliance by means which achieve or (e)(4)of this section.
equivalent results. (C) An analysis of the best system of
(iv) A requirement that each source continuous emission control tech-
subject to BART be required to install nology available and associated emis-
and operate BART as expeditiously as sion reductions achievable for each
practicable, but in no event later than source within the State subject to
5 years after approval of the implemen- BART and covered by the alternative
tation plan revision. program. This analysis must be con-
(v) A requirement that each source ducted by making a determination of
subject to BART maintain the control BART for each source subject to BART
equipment required by this subpart and and covered by the alternative program
establish procedures to ensure such as provided for in paragraph (e)(1) of
equipment is properly operated and this section, unless the emissions trad-
maintained. ing program or other alternative meas-
(2) A State may opt to implement or ure has been designed to meet a re-
require participation in an emissions quirement other than BART (such as
trading program or other alternative the core requirement to have a long-
measure rather than to require sources term strategy to achieve the reason-
subject to BART to install, operate, able progress goals established by
and maintain BART. Such an emis- States). In this case, the State may de-
sions trading program or other alter- termine the best system of continuous
native measure must achieve greater emission control technology and asso-
reasonable progress than would be ciated emission reductions for similar
311
§ 51.308 40 CFR Ch. I (7–1–21 Edition)
types of sources within a source cat- tors of sources and other entities to
egory based on both source-specific and purchase, sell, and transfer allowances,
category-wide information, as appro- the following elements are required
priate. concerning the emissions covered by
(D) An analysis of the projected emis- the cap:
sions reductions achievable through (A) Applicability provisions defining
the trading program or other alter- the sources subject to the program.
native measure. The State must demonstrate that the
(E) A determination under paragraph applicability provisions (including the
(e)(3) of this section or otherwise based size criteria for including sources in
on the clear weight of evidence that the program) are designed to prevent
the trading program or other alter- any significant potential shifting with-
native measure achieves greater rea- in the State of production and emis-
sonable progress than would be sions from sources in the program to
achieved through the installation and sources outside the program. In the
operation of BART at the covered case of a program covering sources in
sources. multiple States, the States must dem-
(ii) [Reserved] onstrate that the applicability provi-
(iii) A requirement that all necessary sions in each State cover essentially
emission reductions take place during the same size facilities and, if source
the period of the first long-term strat- categories are specified, cover the same
egy for regional haze. To meet this resource categories and prevent any sig-
quirement, the State must provide a nificant, potential shifting within such
detailed description of the emissions States of production and emissions to
trading program or other alternative sources outside the program.
measure, including schedules for imple- (B) Allowance provisions ensuring
mentation, the emission reductions re- that the total value of allowances (in
quired by the program, all necessary tons) issued each year under the pro-
administrative and technical proce- gram will not exceed the emissions cap
dures for implementing the program, (in tons) on total annual emissions
rules for accounting and monitoring from the sources in the program.
emissions, and procedures for enforce- (C) Monitoring provisions providing
ment. for consistent and accurate measure-
(iv) A demonstration that the emis- ments of emissions from sources in the
sion reductions resulting from the program to ensure that each allowance
emissions trading program or other al- actually represents the same specified
ternative measure will be surplus to tonnage of emissions and that emis-
those reductions resulting from meas- sions are measured with similar accu-
ures adopted to meet requirements of racy at all sources in the program. The
the CAA as of the baseline date of the monitoring provisions must require
SIP. that boilers, combustion turbines, and
(v) At the State’s option, a provision cement kilns in the program allowed to
that the emissions trading program or sell or transfer allowances must com-
other alternative measure may include ply with the requirements of part 75 of
a geographic enhancement to the pro- this chapter. The monitoring provi-
gram to address the requirement under sions must require that other sources
§ 51.302(b) or (c) related to reasonably in the program allowed to sell or trans-
attributable impairment from the pol- fer allowances must provide emissions
lutants covered under the emissions information with the same precision,
trading program or other alternative reliability, accessibility, and timeli-
measure. ness as information provided under
(vi) For plans that include an emis- part 75 of this chapter.
sions trading program that establishes (D) Recordkeeping provisions that
a cap on total annual emissions of SO2 ensure the enforceability of the emis-
or NOX from sources subject to the pro- sions monitoring provisions and other
gram, requires the owners and opera- program requirements. The record-
tors of sources to hold allowances or keeping provisions must require that
authorizations to emit equal to emis- boilers, combustion turbines, and ce-
sions, and allows the owners and opera- ment kilns in the program allowed to
312
sell or transfer allowances must com- the operation of the allowance market,
ply with the recordkeeping provisions and ensure that such procedures apply
of part 75 of this chapter. The record- uniformly to all sources and other po-
keeping provisions must require that tential participants in the allowance
other sources in the program allowed market.
to sell or transfer allowances must (I) Compliance provisions prohibiting
comply with recordkeeping require- a source from emitting a total tonnage
ments that, as compared with the rec- of a pollutant that exceeds the tonnage
ordkeeping provisions under part 75 of value of its allowance holdings, includ-
this chapter, are of comparable strin- ing the methods and procedures for de-
gency and require recording of com- termining whether emissions exceed al-
parable types of information and reten- lowance holdings. Such method and
tion of the records for comparable peri- procedures shall apply consistently
ods of time. from source to source.
(E) Reporting provisions requiring (J) Penalty provisions providing for
timely reporting of monitoring data mandatory allowance deductions for
with sufficient frequency to ensure the excess emissions that apply consist-
enforceability of the emissions moni- ently from source to source. The ton-
toring provisions and other program nage value of the allowances deducted
requirements and the ability to audit shall equal at least three times the
the program. The reporting provisions tonnage of the excess emissions.
must require that boilers, combustion
(K) For a trading program that al-
turbines, and cement kilns in the pro-
lows banking of allowances, provisions
gram allowed to sell or transfer allow-
clarifying any restrictions on the use
ances must comply with the reporting
of these banked allowances.
provisions of part 75 of this chapter, ex-
cept that, if the Administrator is not (L) Program assessment provisions
the tracking system administrator for providing for periodic program evalua-
the program, emissions may be re- tion to assess whether the program is
ported to the tracking system adminis- accomplishing its goals and whether
trator, rather than to the Adminis- modifications to the program are need-
trator. The reporting provisions must ed to enhance performance of the pro-
require that other sources in the program.
gram allowed to sell or transfer allow- (3) A State which opts under 40 CFR
ances must comply with reporting re- 51.308(e)(2) to implement an emissions
quirements that, as compared with the trading program or other alternative
reporting provisions under part 75 of measure rather than to require sources
this chapter, are of comparable strin- subject to BART to install, operate,
gency and require reporting of com- and maintain BART may satisfy the
parable types of information and re- final step of the demonstration re-
quire comparable timeliness and fre- quired by that section as follows: If the
quency of reporting. distribution of emissions is not sub-
(F) Tracking system provisions stantially different than under BART,
which provide for a tracking system and the alternative measure results in
that is publicly available in a secure, greater emission reductions, then the
centralized database to track in a con- alternative measure may be deemed to
sistent manner all allowances and achieve greater reasonable progress. If
emissions in the program. the distribution of emissions is signifi-
(G) Authorized account representa- cantly different, the State must con-
tive provisions ensuring that the own- duct dispersion modeling to determine
ers and operators of a source designate differences in visibility between BART
one individual who is authorized to and the trading program for each im-
represent the owners and operators in pacted Class I area, for the worst and
all matters pertaining to the trading best 20 percent of days. The modeling
program. would demonstrate ‘‘greater reasonable
(H) Allowance transfer provisions progress’’ if both of the following two
providing procedures that allow timely criteria are met:
transfer and recording of allowances, (i) Visibility does not decline in any
minimize administrative barriers to Class I area, and
313
§ 51.308 40 CFR Ch. I (7–1–21 Edition)
(ii) There is an overall improvement mandatory Class I Federal area located

in visibility, determined by comparing within the State and in each manda-
the average differences between BART tory Class I Federal area located out-
and the alternative over all affected side the State that may be affected by
Class I areas. emissions from within the State. To
(4) A State whose sources are subject meet the core requirements for re-
to a trading program established under gional haze for these areas, the State
part 97 of this chapter in accordance must submit an implementation plan
with a federal implementation plan set containing the following plan elements
forth in § 52.38 or § 52.39 of this chapter and supporting documentation for all
or a trading program established under required analyses:
a SIP revision approved by the Admin- (1) Calculations of baseline, current,
istrator as meeting the requirements of and natural visibility conditions; progress
§ 52.38 or § 52.39 of this chapter need not to date; and the uniform rate of progress.
require BART-eligible fossil fuel-fired For each mandatory Class I Federal
steam electric plants in the State to area located within the State, the
install, operate, and maintain BART State must determine the following:
for the pollutant covered by such trad- (i) Baseline visibility conditions for the
ing program in the State. A State may most impaired and clearest days. The pe-
adopt provisions, consistent with the riod for establishing baseline visibility
requirements applicable to the State’s conditions is 2000 to 2004. The State
sources for such trading program, for a must calculate the baseline visibility
geographic enhancement to the trading conditions for the most impaired days
program to address any requirement and the clearest days using available
under § 51.302(b) or (c) related to rea- monitoring data. To determine the
sonably attributable impairment from baseline visibility condition, the State
the pollutant covered by such trading must calculate the average of the an-
program in that State. nual deciview index values for the most
(5) After a State has met the require- impaired days and for the clearest days
ments for BART or implemented an for the calendar years from 2000 to 2004.
emissions trading program or other al- The baseline visibility condition for
ternative measure that achieves more the most impaired days or the clearest
reasonable progress than the installa- days is the average of the respective
tion and operation of BART, BART-eli- annual values. For purposes of calcu-
gible sources will be subject to the relating the uniform rate of progress, the
quirements of paragraphs (d) and (f) of baseline visibility condition for the
this section, as applicable, in the same most impaired days must be associated
manner as other sources. with the last day of 2004. For manda-
(6) Any BART-eligible facility sub- tory Class I Federal areas without on-
ject to the requirement under para- site monitoring data for 2000–2004, the
graph (e) of this section to install, op- State must establish baseline values
erate, and maintain BART may apply using the most representative avail-
to the Administrator for an exemption able monitoring data for 2000–2004, in
from that requirement. An application consultation with the Administrator or
for an exemption will be subject to the his or her designee. For mandatory
requirements of § 51.303(a)(2)–(h). Class I Federal areas with incomplete
(f) Requirements for periodic com- monitoring data for 2000–2004, the State
prehensive revisions of implementation must establish baseline values using
plans for regional haze. Each State iden- the 5 complete years of monitoring
tified in § 51.300(b) must revise and sub- data closest in time to 2000–2004.
mit its regional haze implementation (ii) Natural visibility conditions for the
plan revision to EPA by July 31, 2021, most impaired and clearest days. A State
July 31, 2028, and every 10 years there- must calculate natural visibility condi-
after. The plan revision due on or be- tion by estimating the average
fore July 31, 2021, must include a com- deciview index existing under natural
mitment by the State to meet the re- conditions for the most impaired days
quirements of paragraph (g) of this sec- or the clearest days based on available
tion. In each plan revision, the State monitoring information and appro-
must address regional haze in each priate data analysis techniques; and
314
(iii) Current visibility conditions for the count for impacts from wildland pre-
most impaired and clearest days. The pe- scribed fires that were conducted with
riod for calculating current visibility the objective to establish, restore, and/
conditions is the most recent 5-year pe- or maintain sustainable and resilient
riod for which data are available. The wildland ecosystems, to reduce the risk
State must calculate the current visi- of catastrophic wildfires, and/or to pre-
bility conditions for the most impaired serve endangered or threatened species
days and the clearest days using avail- during which appropriate basic smoke
able monitoring data. To calculate management practices were applied. To
each current visibility condition, the calculate the proposed adjustment(s),
State must calculate the average of the the State must add the estimated im-
annual deciview index values for the pact(s) to the natural visibility condi-
years in the most recent 5-year period. tion and compare the baseline visi-
The current visibility condition for the bility condition for the most impaired
most impaired or the clearest days is days to the resulting sum. If the Ad-
the average of the respective annual ministrator determines that the State
values. has estimated the impact(s) from an-
(iv) Progress to date for the most im- thropogenic sources outside the United
paired and clearest days. Actual States and/or wildland prescribed fires
progress made towards the natural vis- using scientifically valid data and
ibility condition since the baseline pe- methods, the Administrator may ap-
riod, and actual progress made during prove the proposed adjustment(s) to
the previous implementation period up the uniform rate of progress.
to and including the period for calcu- (2) Long-term strategy for regional
lating current visibility conditions, for haze. Each State must submit a long-
the most impaired and for the clearest term strategy that addresses regional
days. haze visibility impairment for each
(v) Differences between current visi- mandatory Class I Federal area within
bility condition and natural visibility con- the State and for each mandatory Class
dition. The number of deciviews by I Federal area located outside the
which the current visibility condition State that may be affected by emis-
exceeds the natural visibility condi- sions from the State. The long-term
tion, for the most impaired and for the strategy must include the enforceable
clearest days. emissions limitations, compliance
(vi) Uniform rate of progress. (A) The schedules, and other measures that are
uniform rate of progress for each man- necessary to make reasonable progress,
datory Class I Federal area in the as determined pursuant to (f)(2)(i)
State. To calculate the uniform rate of through (iv). In establishing its long-
progress, the State must compare the term strategy for regional haze, the
baseline visibility condition for the State must meet the following require-
most impaired days to the natural visi- ments:
bility condition for the most impaired (i) The State must evaluate and de-
days in the mandatory Class I Federal termine the emission reduction meas-
area and determine the uniform rate of ures that are necessary to make rea-
visibility improvement (measured in sonable progress by considering the
deciviews of improvement per year) costs of compliance, the time nec-
that would need to be maintained dur- essary for compliance, the energy and
ing each implementation period in non-air quality environmental impacts
order to attain natural visibility condi- of compliance, and the remaining use-
tions by the end of 2064. ful life of any potentially affected an-
(B) As part of its implementation thropogenic source of visibility impair-
plan submission, the State may pro- ment. The State should consider evalu-
pose (1) an adjustment to the uniform ating major and minor stationary
rate of progress for a mandatory Class sources or groups of sources, mobile
I Federal area to account for impacts sources, and area sources. The State
from anthropogenic sources outside the must include in its implementation
United States and/or (2) an adjustment plan a description of the criteria it
to the uniform rate of progress for the used to determine which sources or
mandatory Class I Federal area to ac- groups of sources it evaluated and how
315
§ 51.308 40 CFR Ch. I (7–1–21 Edition)
the four factors were taken into con- affects. The State may meet this re-
sideration in selecting the measures for quirement by relying on technical
inclusion in its long-term strategy. In analyses developed by a regional plan-
considering the time necessary for ning process and approved by all State
compliance, if the State concludes that participants. The emissions informa-
a control measure cannot reasonably tion must include, but need not be lim-
be installed and become operational ited to, information on emissions in a
until after the end of the implementa- year at least as recent as the most re-
tion period, the State may not consider cent year for which the State has sub-
this fact in determining whether the mitted emission inventory information
measure is necessary to make reason- to the Administrator in compliance
able progress. with the triennial reporting require-
(ii) The State must consult with ments of subpart A of this part. How-
those States that have emissions that ever, if a State has made a submission
are reasonably anticipated to con- for a new inventory year to meet the
tribute to visibility impairment in the requirements of subpart A in the period
mandatory Class I Federal area to de- 12 months prior to submission of the
velop coordinated emission manage- SIP, the State may use the inventory
ment strategies containing the emis- year of its prior submission.
sion reductions necessary to make rea- (iv) The State must consider the fol-
sonable progress. lowing additional factors in developing
(A) The State must demonstrate that its long-term strategy:
it has included in its implementation (A) Emission reductions due to ongo-
plan all measures agreed to during ing air pollution control programs, in-
state-to-state consultations or a re- cluding measures to address reasonably
gional planning process, or measures attributable visibility impairment;
that will provide equivalent visibility (B) Measures to mitigate the impacts
improvement. of construction activities;
(B) The State must consider the (C) Source retirement and replace-
emission reduction measures identified ment schedules;
by other States for their sources as (D) Basic smoke management prac-
being necessary to make reasonable tices for prescribed fire used for agri-
progress in the mandatory Class I Fed- cultural and wildland vegetation man-
eral area. agement purposes and smoke manage-
(C) In any situation in which a State ment programs; and
cannot agree with another State on the (E) The anticipated net effect on visi-
emission reduction measures necessary bility due to projected changes in
to make reasonable progress in a man- point, area, and mobile source emis-
datory Class I Federal area, the State sions over the period addressed by the
must describe the actions taken to re- long-term strategy.
solve the disagreement. In reviewing (3) Reasonable progress goals. (i) A
the State’s implementation plan, the state in which a mandatory Class I
Administrator will take this informa- Federal area is located must establish
tion into account in determining reasonable progress goals (expressed in
whether the plan provides for reason- deciviews) that reflect the visibility
able progress at each mandatory Class conditions that are projected to be
I Federal area that is located in the achieved by the end of the applicable
State or that may be affected by emis- implementation period as a result of
sions from the State. All substantive those enforceable emissions limita-
interstate consultations must be docu- tions, compliance schedules, and other
mented. measures required under paragraph
(iii) The State must document the (f)(2) of this section that can be fully
technical basis, including modeling, implemented by the end of the applica-
monitoring, cost, engineering, and ble implementation period, as well as
emissions information, on which the the implementation of other require-
State is relying to determine the emis- ments of the CAA. The long-term strat-
sion reduction measures that are nec- egy and the reasonable progress goals
essary to make reasonable progress in must provide for an improvement in
each mandatory Class I Federal area it visibility for the most impaired days
316
since the baseline period and ensure no ures for inclusion in its long-term
degradation in visibility for the clear- strategy.
est days since the baseline period. (iii) The reasonable progress goals es-
(ii)(A) If a State in which a manda- tablished by the State are not directly
tory Class I Federal area is located es- enforceable but will be considered by
tablishes a reasonable progress goal for the Administrator in evaluating the
the most impaired days that provides adequacy of the measures in the imple-
for a slower rate of improvement in mentation plan in providing for reason-
visibility than the uniform rate of able progress towards achieving nat-
progress calculated under paragraph ural visibility conditions at that area.
(f)(1)(vi) of this section, the State must (iv) In determining whether the
demonstrate, based on the analysis re- State’s goal for visibility improvement
quired by paragraph (f)(2)(i) of this sec- provides for reasonable progress to-
tion, that there are no additional emis- wards natural visibility conditions, the
sion reduction measures for anthropo- Administrator will also evaluate the
genic sources or groups of sources in demonstrations developed by the State
the State that may reasonably be an- pursuant to paragraphs (f)(2) and
ticipated to contribute to visibility im- (f)(3)(ii)(A) of this section and the dem-
pairment in the Class I area that would onstrations provided by other States
be reasonable to include in the long- pursuant to paragraphs (f)(2) and
term strategy. The State must provide (f)(3)(ii)(B) of this section.
a robust demonstration, including doc- (4) If the Administrator, Regional
umenting the criteria used to deter- Administrator, or the affected Federal
mine which sources or groups or Land Manager has advised a State of a
sources were evaluated and how the need for additional monitoring to as-
four factors required by paragraph sess reasonably attributable visibility
(f)(2)(i) were taken into consideration impairment at the mandatory Class I
in selecting the measures for inclusion Federal area in addition to the moni-
in its long-term strategy. The State toring currently being conducted, the
must provide to the public for review State must include in the plan revision
as part of its implementation plan an an appropriate strategy for evaluating
assessment of the number of years it reasonably attributable visibility im-
would take to attain natural visibility pairment in the mandatory Class I Fed-
conditions if visibility improvement eral area by visual observation or other
were to continue at the rate of progress appropriate monitoring techniques.
selected by the State as reasonable for (5) So that the plan revision will
the implementation period. serve also as a progress report, the
(B) If a State contains sources which State must address in the plan revision
are reasonably anticipated to con- the requirements of paragraphs (g)(1)
tribute to visibility impairment in a through (5) of this section. However,
mandatory Class I Federal area in an- the period to be addressed for these ele-
other State for which a demonstration ments shall be the period since the
by the other State is required under most recent progress report.
(f)(3)(ii)(A), the State must dem- (6) Monitoring strategy and other imple-
onstrate that there are no additional mentation plan requirements. The State
emission reduction measures for an- must submit with the implementation
thropogenic sources or groups of plan a monitoring strategy for meas-
sources in the State that may reason- uring, characterizing, and reporting of
ably be anticipated to contribute to regional haze visibility impairment
visibility impairment in the Class I that is representative of all mandatory
area that would be reasonable to in- Class I Federal areas within the State.
clude in its own long-term strategy. Compliance with this requirement may
The State must provide a robust dem- be met through participation in the
onstration, including documenting the Interagency Monitoring of Protected
criteria used to determine which Visual Environments network. The im-
sources or groups or sources were eval- plementation plan must also provide
uated and how the four factors required for the following:
by paragraph (f)(2)(i) were taken into (i) The establishment of any addi-
consideration in selecting the meas- tional monitoring sites or equipment
317
§ 51.308 40 CFR Ch. I (7–1–21 Edition)
needed to assess whether reasonable revisions that comply with the proce-
progress goals to address regional haze dural requirements of § 51.102 and
for all mandatory Class I Federal areas § 51.103. Subsequent progress reports
within the State are being achieved. are due by January 31, 2025, July 31,
(ii) Procedures by which monitoring 2033, and every 10 years thereafter.
data and other information are used in Subsequent progress reports must be
determining the contribution of emis- made available for public inspection
sions from within the State to regional and comment for at least 30 days prior
haze visibility impairment at manda- to submission to EPA and all com-
tory Class I Federal areas both within ments received from the public must be
and outside the State. submitted to EPA along with the sub-
(iii) For a State with no mandatory sequent progress report, along with an
Class I Federal areas, procedures by explanation of any changes to the
which monitoring data and other infor- progress report made in response to
mation are used in determining the these comments. Periodic progress re-
contribution of emissions from within ports must contain at a minimum the
the State to regional haze visibility following elements:
impairment at mandatory Class I Fed- (1) A description of the status of im-
eral areas in other States. plementation of all measures included
(iv) The implementation plan must in the implementation plan for achiev-
provide for the reporting of all visi- ing reasonable progress goals for man-
bility monitoring data to the Adminis- datory Class I Federal areas both with-
trator at least annually for each man- in and outside the State.
datory Class I Federal area in the (2) A summary of the emissions re-
State. To the extent possible, the State ductions achieved throughout the
should report visibility monitoring State through implementation of the
data electronically. measures described in paragraph (g)(1)
(v) A statewide inventory of emis-
of this section.
sions of pollutants that are reasonably
(3) For each mandatory Class I Fed-
anticipated to cause or contribute to
eral area within the State, the State
visibility impairment in any manda-
tory Class I Federal area. The inven- must assess the following visibility
tory must include emissions for the conditions and changes, with values for
most recent year for which data are most impaired, least impaired and/or
available, and estimates of future pro- clearest days as applicable expressed in
jected emissions. The State must also terms of 5-year averages of these an-
include a commitment to update the nual values. The period for calculating
inventory periodically. current visibility conditions is the
(vi) Other elements, including report- most recent 5-year period preceding the
ing, recordkeeping, and other meas- required date of the progress report for
ures, necessary to assess and report on which data are available as of a date 6
visibility. months preceding the required date of
(g) Requirements for periodic reports de- the progress report.
scribing progress towards the reasonable (i)(A) Progress reports due before
progress goals. Each State identified in January 31, 2025. The current visibility
§ 51.300(b) must periodically submit a conditions for the most impaired and
report to the Administrator evaluating least impaired days.
progress towards the reasonable (B) Progress reports due on and after
progress goal for each mandatory Class January 31, 2025. The current visibility
I Federal area located within the State conditions for the most impaired and
and in each mandatory Class I Federal clearest days;
area located outside the State that (ii)(A) Progress reports due before
may be affected by emissions from January 31, 2025. The difference be-
within the State. The first progress re- tween current visibility conditions for
port is due 5 years from submittal of the most impaired and least impaired
the initial implementation plan ad- days and baseline visibility conditions.
dressing paragraphs (d) and (e) of this (B) Progress reports due on and after
section. The first progress reports must January 31, 2025. The difference be-
be in the form of implementation plan tween current visibility conditions for
318
the most impaired and clearest days thropogenic emissions were anticipated
and baseline visibility conditions. in that most recent plan and whether
(iii)(A) Progress reports due before they have limited or impeded progress
January 31, 2025. The change in visi- in reducing pollutant emissions and
bility impairment for the most im- improving visibility.
paired and least impaired days over the (6) An assessment of whether the cur-
period since the period addressed in the rent implementation plan elements
most recent plan required under para- and strategies are sufficient to enable
graph (f) of this section. the State, or other States with manda-
(B) Progress reports due on and after tory Class I Federal areas affected by
January 31, 2025. The change in visi- emissions from the State, to meet all
bility impairment for the most im- established reasonable progress goals
paired and clearest days over the pe- for the period covered by the most re-
riod since the period addressed in the cent plan required under paragraph (f)
most recent plan required under para- of this section.
graph (f) of this section. (7) For progress reports for the first
(4) An analysis tracking the change implementation period only, a review
over the period since the period ad- of the State’s visibility monitoring
dressed in the most recent plan re- strategy and any modifications to the
quired under paragraph (f) of this sec- strategy as necessary.
tion in emissions of pollutants contrib-
(8) For a state with a long-term
uting to visibility impairment from all
strategy that includes a smoke man-
sources and activities within the State.
agement program for prescribed fires
Emissions changes should be identified
on wildland that conducts a periodic
by type of source or activity. With re-
program assessment, a summary of the
spect to all sources and activities, the
most recent periodic assessment of the
analysis must extend at least through
smoke management program including
the most recent year for which the
conclusions if any that were reached in
state has submitted emission inventory
the assessment as to whether the pro-
information to the Administrator in
gram is meeting its goals regarding im-
compliance with the triennial report-
ing requirements of subpart A of this proving ecosystem health and reducing
part as of a date 6 months preceding the damaging effects of catastrophic
the required date of the progress re- wildfires.
port. With respect to sources that re- (h) Determination of the adequacy of
port directly to a centralized emissions existing implementation plan. At the
data system operated by the Adminis- same time the State is required to sub-
trator, the analysis must extend mit any progress report to EPA in ac-
through the most recent year for which cordance with paragraph (g) of this sec-
the Administrator has provided a tion, the State must also take one of
State-level summary of such reported the following actions based upon the
data or an internet-based tool by which information presented in the progress
the State may obtain such a summary report:
as of a date 6 months preceding the re- (1) If the State determines that the
quired date of the progress report. The existing implementation plan requires
State is not required to backcast pre- no further substantive revision at this
viously reported emissions to be con- time in order to achieve established
sistent with more recent emissions es- goals for visibility improvement and
timation procedures, and may draw at- emissions reductions, the State must
tention to actual or possible inconsist- provide to the Administrator a declara-
encies created by changes in esti- tion that revision of the existing im-
mation procedures. plementation plan is not needed at this
(5) An assessment of any significant time.
changes in anthropogenic emissions (2) If the State determines that the
within or outside the State that have implementation plan is or may be inad-
occurred since the period addressed in equate to ensure reasonable progress
the most recent plan required under due to emissions from sources in an-
paragraph (f) of this section including other State(s) which participated in a
whether or not these changes in an- regional planning process, the State
319
§ 51.309 40 CFR Ch. I (7–1–21 Edition)
must provide notification to the Ad- tunity for consultation on an imple-

ministrator and to the other State(s) mentation plan (or plan revision) or on
which participated in the regional a progress report must be provided no
planning process with the States. The less than 60 days prior to said public
State must also collaborate with the hearing or public comment oppor-
other State(s) through the regional tunity. This consultation must include
planning process for the purpose of de- the opportunity for the affected Fed-
veloping additional strategies to ad- eral Land Managers to discuss their:
dress the plan’s deficiencies. (i) Assessment of impairment of visi-
(3) Where the State determines that bility in any mandatory Class I Federal
the implementation plan is or may be area; and
inadequate to ensure reasonable (ii) Recommendations on the devel-
progress due to emissions from sources opment and implementation of strate-
in another country, the State shall gies to address visibility impairment.
provide notification, along with avail- (3) In developing any implementation
able information, to the Adminis- plan (or plan revision) or progress re-
trator. port, the State must include a descrip-
(4) Where the State determines that tion of how it addressed any comments
the implementation plan is or may be provided by the Federal Land Man-
inadequate to ensure reasonable agers.
progress due to emissions from sources (4) The plan (or plan revision) must
within the State, the State shall revise provide procedures for continuing con-
its implementation plan to address the sultation between the State and Fed-
plan’s deficiencies within one year. eral Land Manager on the implementa-
(i) What are the requirements for State tion of the visibility protection pro-
and Federal Land Manager coordination? gram required by this subpart, includ-
(1) By November 29, 1999, the State ing development and review of imple-
must identify in writing to the Federal mentation plan revisions and progress
Land Managers the title of the official reports, and on the implementation of
to which the Federal Land Manager of other programs having the potential to
any mandatory Class I Federal area contribute to impairment of visibility
can submit any recommendations on in mandatory Class I Federal areas.
the implementation of this subpart in- [64 FR 35765, July 1, 1999, as amended at 70
cluding, but not limited to: FR 39156, July 6, 2005; 71 FR 60631, Oct. 13,
(i) Identification of impairment of 2006; 77 FR 33656, June 7, 2012; 82 FR 3124,
visibility in any mandatory Class I Jan. 10, 2017]
Federal area(s); and
(ii) Identification of elements for in- § 51.309 Requirements related to the
clusion in the visibility monitoring Grand Canyon Visibility Transport
strategy required by § 51.305 and this Commission.
section. (a) What is the purpose of this sec-
(2) The State must provide the Fed- tion? This section establishes the re-
eral Land Manager with an oppor- quirements for the first regional haze
tunity for consultation, in person at a implementation plan to address re-
point early enough in the State’s pol- gional haze visibility impairment in
icy analyses of its long-term strategy the 16 Class I areas covered by the
emission reduction obligation so that Grand Canyon Visibility Transport
information and recommendations pro- Commission Report. For the period
vided by the Federal Land Manager can through 2018, certain States (defined in
meaningfully inform the State’s deci- paragraph (b) of this section as Trans-
sions on the long-term strategy. The port Region States) may choose to im-
opportunity for consultation will be plement the Commission’s rec-
deemed to have been early enough if ommendations within the framework
the consultation has taken place at of the national regional haze program
least 120 days prior to holding any pub- and applicable requirements of the Act
lic hearing or other public comment by complying with the provisions of
opportunity on an implementation this section. If a Transport Region
plan (or plan revision) for regional haze State submits an implementation plan
required by this subpart. The oppor- which is approved by EPA as meeting
320
the requirements of this section, it will (6) Continuous decline in total mobile
be deemed to comply with the require- source emissions means that the pro-
ments for reasonable progress with rejected level of emissions from mobile
spect to the 16 Class I areas for the pe- sources of each listed pollutant in 2008,
riod from approval of the plan through 2013, and 2018, are less than the pro-
2018. Any Transport Region State jected level of emissions from mobile
electing not to submit an implementa- sources of each listed pollutant for the
tion plan under this section is subject previous period (i.e., 2008 less than 2003;
to the requirements of § 51.308 in the 2013 less than 2008; and 2018 less than
same manner and to the same extent as 2013).
any State not included within the (7) Base year means the year for
Transport Region. Except as provided which data for a source included within
in paragraph (g) of this section, each the program were used by the WRAP to
Transport Region State is also subject calculate emissions as a starting point
to the requirements of § 51.308 with refor development of the milestone re-
spect to any other Federal mandatory quired by paragraph (d)(4)(i) of this sec-
Class I areas within the State or af- tion.
fected by emissions from the State. (8)–(12) [Reserved]
(b) Definitions. For the purposes of (13) Eligible renewable energy resource,
this section: for purposes of 40 CFR 51.309, means
(1) 16 Class I areas means the fol- electricity generated by non-nuclear
lowing mandatory Class I Federal areas and non-fossil low or no air emission
on the Colorado Plateau: Grand Can- technologies.
yon National Park, Sycamore Canyon (c) Implementation Plan Schedule.
Wilderness, Petrified Forest National Each Transport Region State electing
Park, Mount Baldy Wilderness, San to submit an implementation plan
Pedro Parks Wilderness, Mesa Verde under this section must submit such a
plan no later than December 17, 2007.
National Park, Weminuche Wilderness,
Indian Tribes may submit implementa-
Black Canyon of the Gunnison Wilder-
tion plans after this deadline.
ness, West Elk Wilderness, Maroon
(d) Requirements of the first implemen-
Bells Wilderness, Flat Tops Wilderness,
tation plan for States electing to adopt all
Arches National Park, Canyonlands
of the recommendations of the Commission
National Park, Capital Reef National
Report. Except as provided for in para-
Park, Bryce Canyon National Park,
graph (e) of this section, each Trans-
and Zion National Park.
port Region State must submit an im-
(2) Transport Region State means one plementation plan that meets the fol-
of the States that is included within lowing requirements:
the Transport Region addressed by the (1) Time period covered. The imple-
Grand Canyon Visibility Transport mentation plan must be effective
Commission (Arizona, California, Colo- through December 31, 2018 and continue
rado, Idaho, Nevada, New Mexico, Or- in effect until an implementation plan
egon, Utah, and Wyoming). revision is approved by EPA in accord-
(3) Commission Report means the re- ance with § 51.308(f).
port of the Grand Canyon Visibility (2) Projection of visibility improvement.
Transport Commission entitled ‘‘Rec- For each of the 16 mandatory Class I
ommendations for Improving Western areas located within the Transport Re-
Vistas,’’ dated June 10, 1996. gion State, the plan must include a
(4) Fire means wildfire, wildland fire, projection of the improvement in visi-
prescribed fire, and agricultural burn- bility conditions (expressed in
ing conducted and occurring on Fed- deciviews, and in any additional ambi-
eral, State, and private wildlands and ent visibility metrics deemed appro-
farmlands. priate by the State) expected through
(5) Milestone means the maximum the year 2018 for the most impaired and
level of annual regional SO2 emissions, least impaired days, based on the im-
in tons per year, for a given year, as- plementation of all measures as re-
sessed annually, through the year 2018, quired in the Commission report and
consistent with paragraph (d)(4) of this the provisions in this section. The pro-
section. jection must be made in consultation
321
§ 51.309 40 CFR Ch. I (7–1–21 Edition)
with other Transport Region States tains quantitative emissions mile-

with sources which may be reasonably stones for stationary source SO2 emis-
anticipated to contribute to visibility sions for each year through 2018. After
impairment in the relevant Class I the first two years of the program,
area. The projection may be based on a compliance with the annual milestones
satisfactory regional analysis. may be measured by comparing a
(3) Treatment of clean-air corridors. three-year rolling average of actual
The plan must describe and provide for emissions with a rolling average of the
implementation of comprehensive emissions milestones for the same
emission tracking strategies for clean- three years. During the first two years
air corridors to ensure that the visi- of the program, compliance with the
bility does not degrade on the least-im- milestones may be measured by a
paired days at any of the 16 Class I methodology of the States’ choosing,
areas. The strategy must include: so long as all States in the program use
(i) An identification of clean-air cor- the same methodology. Compliance
ridors. The EPA will evaluate the with the 2018 milestone shall be meas-
State’s identification of such corridors ured by comparing actual emissions
based upon the reports of the Commis- from the year 2018 with the 2018 mile-
sion’s Meteorology Subcommittee and stone. The milestones must provide for
any future updates by a successor orga- steady and continuing emissions reduc-
nization; tions through 2018 consistent with the
(ii) Within areas that are clean-air Commission’s definition of reasonable
corridors, an identification of patterns
progress, its goal of 50 to 70 percent re-
of growth or specific sites of growth
duction in SO2 emissions from 1990 ac-
that could cause, or are causing, sig-
tual emission levels by 2040, applicable
nificant emissions increases that could
requirements under the CAA, and the
have, or are having, visibility impair-
timing of implementation plan assess-
ment at one or more of the 16 Class I
ments of progress and identification of
areas.
any deficiencies which will be due in
(iii) In areas outside of clean-air cor-
the years 2013 and 2018. The milestones
ridors, an identification of significant
must be shown to provide for greater
emissions growth that could begin, or
reasonable progress than would be
is beginning, to impair the quality of
air in the corridor and thereby lead to achieved by application of BART pur-
visibility degradation for the least-im- suant to § 51.308(e)(2).
paired days in one or more of the 16 (ii) Documentation of emissions cal-
Class I areas. culation methods for SO2. The plan
(iv) If impairment of air quality in submission must include documenta-
clean air corridors is identified pursu- tion of the specific methodology used
ant to paragraphs (d)(3)(ii) and (iii) of to calculate SO2 emissions during the
this section, an analysis of the effects base year for each emitting unit in-
of increased emissions, including provi- cluded in the program. The implemen-
sions for the identification of the need tation plan must also provide for docu-
for additional emission reductions mentation of any change to the specific
measures, and implementation of the methodology used to calculate emis-
additional measures where necessary. sions at any emitting unit for any year
(v) A determination of whether other after the base year.
clean air corridors exist for any of the (iii) Monitoring, recordkeeping, and
16 Class I areas. For any such clean air reporting of SO2 emissions. The plan
corridors, an identification of the nec- submission must include provisions re-
essary measures to protect against fu- quiring the monitoring, recordkeeping,
ture degradation of air quality in any and annual reporting of actual sta-
of the 16 Class I areas. tionary source SO2 emissions within
(4) Implementation of stationary source the State. The monitoring, record-
reductions. The first implementation keeping, and reporting data must be
plan submission must include: sufficient to determine annually
(i) Provisions for stationary source whether the milestone for each year
emissions of SO2. The plan submission through 2018 is achieved. The plan sub-
must include a SO2 program that con- mission must provide for reporting of
322
these data by the State to the Admin- less stringent than the 2018 milestone,
istrator and to the regional planning unless the milestones are replaced by a
organization. The plan must provide different program approved by EPA as
for retention of records for at least 10 meeting the BART and reasonable
years from the establishment of the progress requirements established in
record. § 51.308.
(iv) Criteria and Procedures for a (B) The implementation plan must
Market Trading Program. The plan provide a framework, including finan-
must include the criteria and proce- cial penalties for excess emissions
dures for conducting an annual evalua- based on the 2018 milestone, sufficient
tion of whether the milestone is to ensure that the 2018 milestone will
achieved and, in accordance with para- be met even if the implementation of
graph (d)(4)(v) of this section, for acti- the market trading program in para-
vating a market trading program in graph (d)(4)(v) of this section has not
the event the milestone is not yet been triggered, or the source allow-
achieved. A draft of the annual report ance compliance provision of the trad-
evaluating whether the milestone for ing program is not yet in effect.
each year is achieved shall be com- (vii) Provisions for stationary source
pleted no later than 12 months from emissions of NOX and PM. The imple-
the end of each milestone year. The mentation plan must contain any nec-
plan must also provide for assessments essary long term strategies and BART
of the program in the years 2013 and requirements for stationary source PM
2018. and NOX emissions. Any such BART
(v) Market trading program. The im- provisions may be submitted pursuant
plementation plan must include re- to either § 51.308(e)(1) or ’51.308(e)(2).
quirements for a market trading pro- (5) Mobile sources. The plan submis-
gram to be implemented in the event sion must provide for:
that a milestone is not achieved. The (i) Statewide inventories of onroad
plan shall require that the market and nonroad mobile source emissions of
trading program be activated begin- VOC, NOX, SO2, PM2.5, elemental car-
ning no later than 15 months after the bon, and organic carbon for the years
end of the first year in which the mile- 2003, 2008, 2013, and 2018.
stone is not achieved. The plan shall (A) The inventories must dem-
also require that sources comply, as onstrate a continuous decline in total
soon as practicable, with the require- mobile source emissions (onroad plus
ment to hold allowances covering their nonroad; tailpipe and evaporative) of
emissions. Such market trading pro- VOC, NOX, PM2.5, elemental carbon,
gram must be sufficient to achieve the and organic carbon, evaluated sepa-
milestones in paragraph (d)(4)(i) of this rately. If the inventories show a con-
section, and must be consistent with tinuous decline in total mobile source
the elements for such programs out- emissions of each of these pollutants
lined in § 51.308(e)(2)(vi). Such a pro- over the period 2003–2018, no further ac-
gram may include a geographic en- tion is required as part of this plan to
hancement to the program to address address mobile source emissions of
the requirement under § 51.302(b) re- these pollutants. If the inventories do
lated to reasonably attributable im- not show a continuous decline in mo-
pairment from the pollutants covered bile source emissions of one or more of
under the program. these pollutants over the period 2003–
(vi) Provision for the 2018 milestone. 2018, the plan submission must provide
(A) Unless and until a revised imple- for an implementation plan revision by
mentation plan is submitted in accord- no later than December 31, 2008 con-
ance with § 51.308(f) and approved by taining any necessary long-term strat-
EPA, the implementation plan shall egies to achieve a continuous decline
prohibit emissions from covered stain total mobile source emissions of the
tionary sources in any year beginning pollutant(s), to the extent practicable,
in 2018 that exceed the year 2018 mile- considering economic and techno-
stone. In no event shall a market-based logical reasonableness and federal pre-
program approved under § 51.308(f) emption of vehicle standards and fuel
allow an emissions cap for SO2 that is standards under title II of the CAA.
323
§ 51.309 40 CFR Ch. I (7–1–21 Edition)
(B) The plan submission must also will minimize emission increases from
provide for an implementation plan re- fire to the maximum extent feasible
vision by no later than December 31, and that are established in cooperation
2008 containing any long-term strate- with States, tribes, Federal land man-
gies necessary to reduce emissions of agement agencies, and private entities.
SO2 from nonroad mobile sources, con- (7) Area sources of dust emissions from
sistent with the goal of reasonable paved and unpaved roads. The plan
progress. In assessing the need for such must include an assessment of the im-
long-term strategies, the State may pact of dust emissions from paved and
consider emissions reductions achieved unpaved roads on visibility conditions
or anticipated from any new Federal in the 16 Class I Areas. If such dust
standards for sulfur in nonroad diesel emissions are determined to be a sig-
fuel. nificant contributor to visibility im-
(ii) Interim reports to EPA and the pairment in the 16 Class I areas, the
public in years 2003, 2008, 2013, and 2018 State must implement emissions man-
on the implementation status of the re- agement strategies to address the im-
gional and local strategies rec- pact as necessary and appropriate.
ommended by the Commission Report (8) Pollution prevention. The plan
to address mobile source emissions. must provide for:
(6) Programs related to fire. The plan (i) An initial summary of all pollu-
must provide for: tion prevention programs currently in
(i) Documentation that all Federal, place, an inventory of all renewable en-
State, and private prescribed fire pro- ergy generation capacity and produc-
grams within the State evaluate and tion in use, or planned as of the year
address the degree visibility impair- 2002 (expressed in megawatts and mega-
ment from smoke in their planning and watt-hours), the total energy genera-
application. In addition the plan must tion capacity and production for the
include smoke management programs State, the percent of the total that is
that include all necessary components renewable energy, and the State’s an-
including, but not limited to, actions ticipated contribution toward the re-
to minimize emissions, evaluation of newable energy goals for 2005 and 2015,
smoke dispersion, alternatives to fire, as provided in paragraph (d)(8)(vi) of
public notification, air quality moni- this section.
toring, surveillance and enforcement, (ii) Programs to provide incentives
and program evaluation. that reward efforts that go beyond
(ii) A statewide inventory and emis- compliance and/or achieve early com-
sions tracking system (spatial and pliance with air-pollution related re-
temporal) of VOC, NOX, elemental and quirements.
organic carbon, and fine particle emis- (iii) Programs to preserve and expand
sions from fire. In reporting and track- energy conservation efforts.
ing emissions from fire from within the (iv) The identification of specific
State, States may use information areas where renewable energy has the
from regional data-gathering and potential to supply power where it is
tracking initiatives. now lacking and where renewable en-
(iii) Identification and removal wher- ergy is most cost-effective.
ever feasible of any administrative bar- (v) Projections of the short- and long-
riers to the use of alternatives to burn- term emissions reductions, visibility
ing in Federal, State, and private pre- improvements, cost savings, and sec-
scribed fire programs within the State. ondary benefits associated with the re-
(iv) Enhanced smoke management newable energy goals, energy efficiency
programs for fire that consider visi- and pollution prevention activities.
bility effects, not only health and nui- (vi) A description of the programs re-
sance objectives, and that are based on lied on to achieve the State’s contribu-
the criteria of efficiency, economics, tion toward the Commission’s goal
law, emission reduction opportunities, that renewable energy will comprise 10
land management objectives, and re- percent of the regional power needs by
duction of visibility impact. 2005 and 20 percent by 2015, and a dem-
(v) Establishment of annual emission onstration of the progress toward
goals for fire, excluding wildfire, that achievement of the renewable energy
324
goals in the years 2003, 2008, 2013, and (A) A description of the status of im-
2018. This description must include doc- plementation of all measures included
umentation of the potential for renew- in the implementation plan for achiev-
able energy resources, the percentage ing reasonable progress goals for man-
of renewable energy associated with datory Class I Federal areas both with-
new power generation projects imple- in and outside the State.
mented or planned, and the renewable (B) A summary of the emissions re-
energy generation capacity and produc- ductions achieved throughout the
tion in use and planned in the State. State through implementation of the
To the extent that it is not feasible for measures described in paragraph
a State to meet its contribution to the (d)(10)(i)(A) of this section.
regional renewable energy goals, the (C) For each mandatory Class I Fed-
State must identify in the progress re- eral area within the State, an assess-
ports the measures implemented to ment of the following: the current visi-
achieve its contribution and explain bility conditions for the most impaired
why meeting the State’s contribution and least impaired days; the difference
was not feasible. between current visibility conditions
(9) Implementation of additional rec- for the most impaired and least im-
ommendations. The plan must provide paired days and baseline visibility con-
for implementation of all other rec- ditions; the change in visibility impair-
ommendations in the Commission re- ment for the most impaired and least
port that can be practicably included impaired days over the past 5 years.
(D) An analysis tracking the change
as enforceable emission limits, sched-
over the past 5 years in emissions of
ules of compliance, or other enforce-
pollutants contributing to visibility
able measures (including economic in-
impairment from all sources and ac-
centives) to make reasonable progress
tivities within the State. Emissions
toward remedying existing and pre-
changes should be identified by type of
venting future regional haze in the 16
source or activity. The analysis must
Class I areas. The State must provide a
be based on the most recent updated
report to EPA and the public in 2003,
emissions inventory, with estimates
2008, 2013, and 2018 on the progress to-
projected forward as necessary and ap-
ward developing and implementing pol-
propriate, to account for emissions
icy or strategy options recommended changes during the applicable 5-year
in the Commission Report. period.
(10) Periodic implementation plan revi- (E) An assessment of any significant
sions and progress reports. Each Trans- changes in anthropogenic emissions
port Region State must submit to the within or outside the State that have
Administrator periodic reports in the occurred over the past 5 years that
years 2013 and as specified for subse- have limited or impeded progress in re-
quent progress reports in § 51.308(g). ducing pollutant emissions and improv-
The progress report due in 2013 must be ing visibility.
in the form of an implementation plan (F) An assessment of whether the
revision that complies with the proce- current implementation plan elements
dural requirements of §§ 51.102 and and strategies are sufficient to enable
51.103. the State, or other States with manda-
(i) The report due in 2013 will assess tory Federal Class I areas affected by
the area for reasonable progress as pro- emissions from the State, to meet all
vided in this section for mandatory established reasonable progress goals.
Class I Federal area(s) located within (G) A review of the State’s visibility
the State and for mandatory Class I monitoring strategy and any modifica-
Federal area(s) located outside the tions to the strategy as necessary.
State that may be affected by emis- (ii) At the same time the State is re-
sions from within the State. This dem- quired to submit the 5-year progress re-
onstration may be based on assess- port due in 2013 to EPA in accordance
ments conducted by the States and/or a with paragraph (d)(10)(i) of this section,
regional planning body. The progress the State must also take one of the fol-
report due in 2013 must contain at a lowing actions based upon the informa-
minimum the following elements: tion presented in the progress report:
325
§ 51.309 40 CFR Ch. I (7–1–21 Edition)
(A) If the State determines that the include emission reductions strategies
existing implementation plan requires that are based on coordinated imple-
no further substantive revision at this mentation with other States. Examples
time in order to achieve established of these strategies include economic
goals for visibility improvement and incentive programs and transboundary
emissions reductions, the State must emissions trading programs. The im-
provide to the Administrator a nega- plementation plan must include docu-
tive declaration that further revision mentation of the technical and policy
of the existing implementation plan is basis for the individual State appor-
not needed at this time. tionment (or the procedures for appor-
(B) If the State determines that the tionment throughout the trans-bound-
implementation plan is or may be inad- ary region), the contribution addressed
equate to ensure reasonable progress by the State’s plan, how it coordinates
due to emissions from sources in an- with other State plans, and compliance
other State(s) which participated in a
with any other appropriate implemen-
regional planning process, the State
tation plan approvability criteria.
must provide notification to the Ad-
States may rely on the relevant tech-
ministrator and to the other State(s)
which participated in the regional nical, policy and other analyses devel-
planning process with the States. The oped by a regional entity (such as the
State must also collaborate with the Western Regional Air Partnership) in
other State(s) through the regional providing such documentation. Con-
planning process for the purpose of de- versely, States may elect to develop
veloping additional strategies to ad- their own programs without relying on
dress the plan’s deficiencies. work products from a regional entity.
(C) Where the State determines that (12) Tribal implementation. Consistent
the implementation plan is or may be with 40 CFR Part 49, tribes within the
inadequate to ensure reasonable Transport Region may implement the
progress due to emissions from sources required visibility programs for the 16
in another country, the State shall Class I areas, in the same manner as
provide notification, along with avail- States, regardless of whether such
able information, to the Adminis- tribes have participated as members of
trator. a visibility transport commission.
(D) Where the State determines that (e) States electing not to implement the
the implementation plan is or may be commission recommendations. Any Trans-
inadequate to ensure reasonable port Region State may elect not to im-
progress due to emissions from within plement the Commission recommenda-
the State, the State shall develop additions set forth in paragraph (d) of this
tional strategies to address the plan section. Such States are required to
deficiencies and revise the implementa- comply with the timelines and require-
tion plan no later than one year from ments of § 51.308. Any Transport Region
the date that the progress report was
State electing not to implement the
due.
Commission recommendations must
(iii) The requirements of § 51.308(g)
advise the other States in the Trans-
regarding requirements for periodic re-
port Region of the nature of the pro-
ports describing progress towards the
reasonable progress goals apply to gram and the effect of the program on
States submitting plans under this sec- visibility-impairing emissions, so that
tion, with respect to subsequent other States can take this information
progress reports due after 2013. into account in developing programs
(iv) The requirements of § 51.308(h) re- under this section.
garding determinations of the ade- (f) [Reserved]
quacy of existing implementation (g) Additional Class I areas. Each
plans apply to States submitting plans Transport Region State implementing
under this section, with respect to sub- the provisions of this section as the
sequent progress reports due after 2013. basis for demonstrating reasonable
(11) State planning and interstate co- progress for mandatory Class I Federal
ordination. In complying with the re- areas other than the 16 Class I areas
quirements of this section, States may must include the following provisions
326
in its implementation plan. If a Trans- mental impacts of compliance, or the

port Region State submits an imple- remaining useful life of any existing
mentation plan which is approved by source subject to such requirements.
EPA as meeting the requirements of [64 FR 35769, July 1, 1999, as amended at 68
this section, it will be deemed to com- FR 33784, June 5, 2003; 68 FR 39846, July 3,
ply with the requirements for reason- 2003; 68 FR 61369, Oct. 28, 2003; 68 FR 71014,
able progress for the period from ap- Dec. 22, 2003; 71 FR 60632, Oct. 13, 2006; 82 FR
proval of the plan to 2018. 3128, Jan. 10, 2017]
(1) A demonstration of expected visi-
bility conditions for the most impaired Subpart Q—Reports
and least impaired days at the addi-
tional mandatory Class I Federal AUTHORITY: Secs. 110, 301(a), 313, 319, Clean
area(s) based on emissions projections Air Act (42 U.S.C. 7410, 7601(a), 7613, 7619).
from the long-term strategies in the
SOURCE: 44 FR 27569, May 10, 1979, unless
implementation plan. This demonstra- otherwise noted.
tion may be based on assessments con-
ducted by the States and/or a regional AIR QUALITY DATA REPORTING
planning body.
(2) Provisions establishing reasonable § 51.320 Annual air quality data re-
progress goals and implementing any port.
additional measures necessary to dem- The requirements for reporting air
onstrate reasonable progress for the quality data collected for purposes of
additional mandatory Federal Class I the plan are located in subpart C of
areas. These provisions must comply part 58 of this chapter.
with the provisions of § 51.308(d)(1)
through (4). SOURCE EMISSIONS AND STATE ACTION
(i) In developing long-term strategies REPORTING
pursuant to § 51.308(d)(3), the State may
build upon the strategies implemented § 51.321 Annual source emissions and
State action report.
under paragraph (d) of this section, and
take full credit for the visibility im- The State agency shall report to the
provement achieved through these Administrator (through the appro-
strategies. priate Regional Office) information as
(ii) The requirement under § 51.308(e) specified in §§ 51.322 through 51.326.
related to Best Available Retrofit [67 FR 39615, June 10, 2002]
Technology for regional haze is deemed
to be satisfied for pollutants addressed § 51.322 Sources subject to emissions
by the milestones and backstop trading reporting.
program if, in establishing the emis- The requirements for reporting emis-
sion reductions milestones under para- sions data under the plan are in sub-
graph (d)(4) of this section, it is shown part A of this part 51.
that greater reasonable progress will
[67 FR 39615, June 10, 2002]
be achieved for these additional Class I
areas than would be achieved through § 51.323 Reportable emissions data and
the application of source-specific information.
BART emission limitations under
The requirements for reportable
§ 51.308(e)(1).
emissions data and information under
(iii) The Transport Region State may
the plan are in subpart A of this part
consider whether any strategies nec-
51.
essary to achieve the reasonable
progress goals required by paragraph [67 FR 39615, June 10, 2002]
(g)(2) of this section are incompatible
with the strategies implemented under § 51.324 Progress in plan enforcement.
paragraph (d) of this section to the ex- (a) For each point source, the State
tent the State adequately dem- shall report any achievement made
onstrates that the incompatibility is during the reporting period of any in-
related to the costs of the compliance, crement of progress of compliance
the time necessary for compliance, the schedules required by:
energy and nonair quality environ- (1) The applicable plan, or
327
§ 51.326 40 CFR Ch. I (7–1–21 Edition)
(2) Any enforcement order or other ceeding those which can be achieved
State action required to be submitted through the application of reasonably
pursuant to § 51.327. available control technology.
(b) For each point source, the State (c) Any such request for extension of
shall report any enforcement action the deadline with respect to any
taken during the reporting period and State’s portion of an interstate region
not submitted under § 51.327 which re- must be submitted jointly with re-
sults in civil or criminal penalties. quests for such extensions from all
other States within the region or must
§ 51.326 Reportable revisions.
show that all such States have been no-
The State shall identify and describe tified of such request.
all substantive plan revisions during (d) Any such request must be sub-
the reporting period of the applicable mitted sufficiently early to permit de-
plan other than revisions to rules and velopment of a plan prior to the dead-
regulations or compliance schedules line in the event that such request is
submitted in accordance with § 51.6(d). denied.
Substantive revisions shall include but
are not limited to changes in stack- [51 FR 40675, Nov. 7, 1986]
test procedures for determining com-
pliance with applicable regulations, Subpart S—Inspection/Mainte-
modifications in the projected total nance Program Require-
manpower needs to carry out the ap-
proved plan, and all changes in respon-
ments
sibilities given to local agencies to
carry out various portions of the plan. SOURCE: 57 FR 52987, Nov. 5, 1992, unless
otherwise noted.
§ 51.327 Enforcement orders and other
State actions. § 51.350 Applicability.
(a) Any State enforcement order, in- Inspection/maintenance (I/M) pro-
cluding any State court order, must be grams are required in both ozone and
submitted to the Administrator within carbon monoxide (CO) nonattainment
60 days of its issuance or adoption by areas, depending upon population and
the State. nonattainment classification or design
(b) A State enforcement order or value.
other State action must be submitted (a) Nonattainment area classification
as a revision to the applicable imple- and population criteria. (1) States or
mentation plan pursuant to § 51.104 and areas within an ozone transport region
approved by the Administrator in order shall implement enhanced I/M pro-
to be considered a revision to such grams in any metropolitan statistical
plan. area (MSA), or portion of an MSA,
[36 FR 22398, Nov. 25, 1971, as amended at 51 within the State or area with a 1990
FR 40675, Nov. 7, 1986] population of 100,000 or more as defined
by the Office of Management and Budg-
§ 51.328 [Reserved] et (OMB) regardless of the area’s at-
tainment classification. In the case of
Subpart R—Extensions a multi-state MSA, enhanced I/M shall
be implemented in all ozone transport
§ 51.341 Request for 18-month exten- region portions if the sum of these por-
sion. tions has a population of 100,000 or
(a) Upon request of the State made in more, irrespective of the population of
accordance with this section, the Ad- the portion in the individual ozone
ministrator may, whenever he deter- transport region State or area.
mines necessary, extend, for a period (2) Apart from those areas described
not to exceed 18 months, the deadline in paragraph (a)(1) of this section, any
for submitting that portion of a plan area classified as serious or worse
that implements a secondary standard. ozone nonattainment, or as moderate
(b) Any such request must show that or serious CO nonattainment with a de-
attainment of the secondary standards sign value greater than 12.7 ppm, and
will require emission reductions ex- having a 1980 Bureau of Census-defined
328
(Census-defined) urbanized area popu- erate, a basic I/M program shall be im-
lation of 200,000 or more, shall imple- plemented in the 1990 Census-defined
ment enhanced I/M in the 1990 Census- urbanized area(s) with a population of
defined urbanized area. 200,000 or more. If the area is reclassi-
(3) Any area classified, as of Novem- fied to serious or worse, an enhanced I/
ber 5, 1992, as marginal ozone non- M program shall be implemented in the
attainment or moderate CO nonattain- 1990 Census-defined urbanized area, if
ment with a design value of 12.7 ppm or the 1980 Census-defined urban area pop-
less shall continue operating I/M pro- ulation is 200,000 or more.
grams that were part of an approved (9) If a moderate ozone or CO non-
State Implementation Plan (SIP) as of attainment area is reclassified to seri-
November 15, 1990, and shall update ous or worse, an enhanced I/M program
those programs as necessary to meet shall be implemented in the 1990 Cen-
the basic I/M program requirements of sus-defined urbanized area, if the 1980
this subpart. Any such area required by Census-defined population is 200,000 or
the Clean Air Act, as in effect prior to more.
November 15, 1990, as interpreted in (b) Extent of area coverage. (1) In an
EPA guidance, to have an I/M program ozone transport region, the program
shall also implement a basic I/M pro- shall cover all counties within subject
gram. Serious, severe and extreme MSAs or subject portions of MSAs, as
ozone areas and CO areas over 12.7 ppm defined by OMB in 1990, except largely
shall also continue operating existing rural counties having a population den-
I/M programs and shall upgrade such sity of less than 200 persons per square
programs, as appropriate, pursuant to mile based on the 1990 Census and
this subpart. counties with less than 1% of the popu-
(4) Any area classified as moderate lation in the MSA may be excluded
ozone nonattainment, and not required provided that at least 50% of the MSA
to implement enhanced I/M under para- population is included in the program.
graph (a)(1) of this section, shall imple- This provision does not preclude the
ment basic I/M in any 1990 Census-de- voluntary inclusion of portions of an
fined urbanized area with a population excluded county. Non-urbanized islands
of 200,000 or more. not connected to the mainland by
(5) [Reserved] roads, bridges, or tunnels may be ex-
(6) If the boundaries of a moderate cluded without regard to population.
ozone nonattainment area are changed (2) Outside of ozone transport re-
pursuant to section 107(d)(4)(A)(i)-(ii) of gions, programs shall nominally cover
the Clean Air Act, such that the area at least the entire urbanized area,
includes additional urbanized areas based on the 1990 census. Exclusion of
with a population of 200,000 or more, some urban population is allowed as
then a basic I/M program shall be im- long as an equal number of non-urban
plemented in these additional urban- residents of the MSA containing the
ized areas. subject urbanized area are included to
(7) If the boundaries of a serious or compensate for the exclusion.
worse ozone nonattainment area or of a (3) Emission reduction benefits from
moderate or serious CO nonattainment expanding coverage beyond the min-
area with a design value greater than imum required urban area boundaries
12.7 ppm are changed any time after en- can be applied toward the reasonable
actment pursuant to section further progress requirements or can
107(d)(4)(A) such that the area includes be used for offsets, provided the cov-
additional urbanized areas, then an en- ered vehicles are operated in the non-
hanced I/M program shall be imple- attainment area, but not toward the
mented in the newly included 1990 Cen- enhanced I/M performance standard re-
sus-defined urbanized areas, if the 1980 quirement.
Census-defined urban area population (4) In a multi-state urbanized area
is 200,000 or more. with a population of 200,000 or more
(8) If a marginal ozone nonattain- that is required under paragraph (a) of
ment area, not required to implement this section to implement I/M, any
enhanced I/M under paragraph (a)(1) of State with a portion of the area having
this section, is reclassified to mod- a 1990 Census-defined population of
329
§ 51.351 40 CFR Ch. I (7–1–21 Edition)
50,000 or more shall implement an I/M (b) On-road testing. The performance
program. The other coverage require- standard shall include on-road testing
ments in paragraph (b) of this section (including out-of-cycle repairs in the
shall apply in multi-state areas as well. case of confirmed failures) of at least
(5) Notwithstanding the limitation in 0.5% of the subject vehicle population,
paragraph (b)(3) of this section, in an or 20,000 vehicles whichever is less, as a
ozone transport region, States which supplement to the periodic inspection
opt for a program which meets the per- required in paragraphs (f), (g), and (h)
formance standard described in of this section. Specific requirements
§ 51.351(h) and claim in their SIP less are listed in § 51.371 of this subpart.
emission reduction credit than the (c) On-board diagnostics (OBD). For
basic performance standard for one or those areas required to implement an
more pollutants, may apply a geo- enhanced I/M program prior to the ef-
graphic bubble covering areas in the fective date of designation and classi-
State not otherwise subject to an I/M fications under the 8-hour ozone stand-
requirement to achieve emission reduc- ard, the performance standard shall in-
tions from other measures equal to or clude inspection of all model year 1996
greater than what would have been and later light-duty vehicles and light-
achieved if the low enhanced perform- duty trucks equipped with certified on-
ance standard were met in the subject board diagnostic systems, and repair of
I/M areas. Emissions reductions from malfunctions or system deterioration
non-I/M measures shall not be counted identified by or affecting OBD systems
towards the OTR low enhanced per- as specified in § 51.357, and assuming a
formance standard. start date of 2002 for such testing. For
(c) Requirements after attainment. All areas required to implement enhanced
I/M programs shall provide that the I/M as a result of designation and clas-
program will remain effective, even if sification under the 8-hour ozone
the area is redesignated to attainment standard, the performance standard de-
status or the standard is otherwise ren- fined in paragraph (i) of this section
dered no longer applicable, until the shall include inspection of all model
State submits and EPA approves a SIP year 2001 and later light-duty vehicles
revision which convincingly dem- and light-duty trucks equipped with
onstrates that the area can maintain certified on-board diagnostic systems,
the relevant standard(s) without ben- and repair of malfunctions or system
efit of the emission reductions attrib- deterioration identified by or affecting
utable to the I/M program. The State OBD systems as specified in § 51.357,
shall commit to fully implement and and assuming a start date of 4 years
enforce the program until such a dem- after the effective date of designation
onstration can be made and approved and classification under the 8-hour
by EPA. At a minimum, for the pur- ozone standard.
poses of SIP approval, legislation au- (d) Modeling requirements. Equiva-
thorizing the program shall not sunset lency of the emission levels which will
prior to the attainment deadline for be achieved by the I/M program design
the applicable National Ambient Air in the SIP to those of the model pro-
Quality Standards (NAAQS). gram described in this section shall be
demonstrated using the most current
(d) SIP requirements. The SIP shall de-
version of EPA’s mobile source emis-
scribe the applicable areas in detail
sion model, or an alternative approved
and, consistent with § 51.372 of this sub-
by the Administrator, using EPA guid-
part, shall include the legal authority
ance to aid in the estimation of input
or rules necessary to establish program
parameters. States may adopt alter-
boundaries.
native approaches that meet this per-
[57 FR 52987, Nov. 5, 1992, as amended at 60 formance standard. States may do so
FR 48034, Sept. 18, 1995; 61 FR 39036, July 25, through program design changes that
1996; 65 FR 45532, July 24, 2000] affect normal I/M input parameters to
the mobile source emission factor
§ 51.351 Enhanced I/M performance model, or through program changes
standard. (such as the accelerated retirement of
(a) [Reserved] high emitting vehicles) that reduce in-
330
use mobile source emissions. If the Ad- (6) Exhaust emission test type. Tran-
ministrator finds, under section sient mass-emission testing on 1986 and
182(b)(1)(A)(i) of the Act pertaining to later model year vehicles using the
reasonable further progress demonstra- IM240 driving cycle, two-speed testing
tions or section 182(f)(1) of the Act per- (as described in appendix B of this sub-
taining to provisions for major sta- part S) of 1981–1985 vehicles, and idle
tionary sources, that NOX emission retesting (as described in appendix B of
ductions are not beneficial in a given this subpart S) of pre-1981 vehicles is
ozone nonattainment area, then NOX assumed.
emission reductions are not required of (7) Emission standards. (i) Emission
the enhanced I/M program, but the pro- standards for 1986 through 1993 model
gram shall be designed to offset NOX year light duty vehicles, and 1994 and
increases resulting from the repair of 1995 light-duty vehicles not meeting
HC and CO failures. Tier 1 emission standards, of 0.80 gpm
(e) [Reserved] hydrocarbons (HC), 20 gpm CO, and 2.0
(f) High Enhanced Performance Stand- gpm NOX;
ard. Enhanced I/M programs shall be (ii) Emission standards for 1986
designed and implemented to meet or through 1993 light duty trucks less
exceed a minimum performance stand- than 6000 pounds gross vehicle weight
ard, which is expressed as emission lev- rating (GVWR), and 1994 and 1995
els in area-wide average grams per mile trucks not meeting Tier 1 emission
(gpm), achieved from highway mobile standards, of 1.2 gpm HC, 20 gpm CO,
sources as a result of the program. The and 3.5 gpm NOX;
emission levels achieved by the State’s (iii) Emission standards for 1986
program design shall be calculated through 1993 light duty trucks greater
using the most current version, at the than 6000 pounds GVWR, and 1994 and
1995 trucks not meeting the Tier 1
time of submittal, of the EPA mobile
emission standards, of 1.2 gpm HC, 20
source emission factor model or an al-
gpm CO, and 3.5 gpm NOX;
ternative model approved by the Ad-
(iv) Emission standards for 1994 and
ministrator, and shall meet the min-
later light duty vehicles meeting Tier 1
imum performance standard both in
emission standards of 0.70 gpm HC, 15
operation and for SIP approval. Areas
gpm CO, and 1.4 gpm NOX;
shall meet the performance standard
(v) Emission standards for 1994 and
for the pollutants which cause them to
later light duty trucks under 6000
be subject to enhanced I/M require-
pounds GVWR and meeting Tier 1 emis-
ments. In the case of ozone nonattain-
sion standards of 0.70 gpm HC, 15 gpm
ment areas subject to enhanced I/M and
CO, and 2.0 gpm NOX;
subject areas in the Ozone Transport
(vi) Emission standards for 1994 and
Region, the performance standard must
later light duty trucks greater than
be met for both oxides of nitrogen
6000 pounds GVWR and meeting Tier 1
(NOx) and volatile organic compounds
emission standards of 0.80 gpm HC, 15
(VOCs), except as provided in para-
gpm CO and 2.5 gpm NOX;
graph (d) of this section. Except as pro-
(vii) Emission standards for 1981–1985
vided in paragraphs (g) and (h) of this
model year vehicles of 1.2% CO, and 220
section, the model program elements
gpm HC for the idle, two-speed tests
for the enhanced I/M performance
and loaded steady-state tests (as de-
standard shall be as follows:
scribed in appendix B of this subpart
(1) Network type. Centralized testing. S); and
(2) Start date. For areas with existing (viii) Maximum exhaust dilution
I/M programs, 1983. For areas newly measured as no less than 6% CO plus
subject, 1995. carbon dioxide (CO2) on vehicles sub-
(3) Test frequency. Annual testing. ject to a steady-state test (as described
(4) Model year coverage. Testing of in appendix B of this subpart S); and
1968 and later vehicles. (viii) Maximum exhaust dilution
(5) Vehicle type coverage. Light duty measured as no less than 6% CO plus
vehicles, and light duty trucks, rated carbon dioxide (CO2) on vehicles sub-
up to 8,500 pounds Gross Vehicle ject to a steady-state test (as described
Weight Rating (GVWR). in appendix B of this subpart S).
331
§ 51.351 40 CFR Ch. I (7–1–21 Edition)
(8) Emission control device inspections. (4) Model year coverage. Testing of
(i) Visual inspection of the catalyst 1968 and newer vehicles.
and fuel inlet restrictor on all 1984 and (5) Vehicle type coverage. Light duty
later model year vehicles. vehicles, and light duty trucks, rated
(ii) Visual inspection of the positive up to 8,500 pounds GVWR.
crankcase ventilation valve on 1968 (6) Exhaust emission test type. Idle
through 1971 model years, inclusive, testing of all covered vehicles (as de-
and of the exhaust gas recirculation scribed in appendix B of subpart S).
valve on 1972 through 1983 model year (7) Emission standards. Those specified
vehicles, inclusive. in 40 CFR part 85, subpart W.
(9) Evaporative system function checks. (8) Emission control device inspections.
Evaporative system integrity (pres- Visual inspection of the positive crank-
sure) test on 1983 and later model year case ventilation valve on all 1968
vehicles and an evaporative system through 1971 model year vehicles, in-
transient purge test on 1986 and later clusive, and of the exhaust gas recir-
model year vehicles. culation valve on all 1972 and newer
(10) Stringency. A 20% emission test model year vehicles.
failure rate among pre-1981 model year (9) Evaporative system function checks.
vehicles. None.
(11) Waiver rate. A 3% waiver rate, as (10) Stringency. A 20% emission test
a percentage of failed vehicles. failure rate among pre-1981 model year
(12) Compliance rate. A 96% compli- vehicles.
ance rate. (11) Waiver rate. A 3% waiver rate, as
(13) Evaluation date. Enhanced I/M a percentage of failed vehicles.
program areas subject to the provisions (12) Compliance rate. A 96% compli-
of this paragraph shall be shown to ob- ance rate.
tain the same or lower emission levels (13) Evaluation date. Enhanced I/M
as the model program described in this program areas subject to the provisions
paragraph by January 1, 2002 to within of this paragraph (g) shall be shown to
±0.02 gpm. Subject programs shall dem- obtain the same or lower emission lev-
onstrate through modeling the ability els as the model program described in
to maintain this level of emission re- this paragraph by January 1, 2002 to
duction (or better) through their at- within ±0.02 gpm. Subject programs
tainment deadline for the applicable shall demonstrate through modeling
NAAQS standard(s). the ability to maintain this level of
(g) Alternate Low Enhanced I/M Per- emission reduction (or better) through
formance Standard. An enhanced I/M their attainment deadline for the ap-
area which is either not subject to or plicable NAAQS standard(s).
has an approved State Implementation (h) Ozone Transport Region Low-En-
Plan pursuant to the requirements of hanced Performance Standard. An at-
the Clean Air Act Amendments of 1990 tainment area, marginal ozone area, or
for Reasonable Further Progress in moderate ozone area with a 1980 Census
1996, and does not have a disapproved population of less than 200,000 in the
plan for Reasonable Further Progress urbanized area, in an ozone transport
for the period after 1996 or a dis- region, that is required to implement
approved plan for attainment of the air enhanced I/M under section 184(b)(1)(A)
quality standards for ozone or CO, may of the Clean Air Act, but was not pre-
select the alternate low enhanced I/M viously required to or did not in fact
performance standard described below implement basic I/M under the Clean
in lieu of the standard described in Air Act as enacted prior to 1990 and is
paragraph (f) of this section. The model not subject to the requirements for
program elements for this alternate basic I/M programs in this subpart,
low enhanced I/M performance stand- may select the performance standard
ard are: described below in lieu of the standard
(1) Network type. Centralized testing. described in paragraph (f) or (g) of this
(2) Start date. For areas with existing section as long as the difference in
I/M programs, 1983. For areas newly emission reductions between the pro-
subject, 1995. gram described in paragraph (g) and
(3) Test frequency. Annual testing. this paragraph are made up with other
332
measures, as provided in § 51.350(b)(5). emission reductions achieved by the

Offsetting measures shall not include model program defined as follows:
those otherwise required by the Clean (1) Network type. Centralized testing.
Air Act in the areas from which credit (2) Start date. 4 years after the effec-
is bubbled. The program elements for tive date of designation and classifica-
this alternate OTR enhanced I/M per- tion under the 8-hour ozone standard.
formance standard are: (3) Test frequency. Annual testing.
(1) Network type. Centralized testing. (4) Model year coverage. Testing of
(2) Start date. January 1, 1999. 1968 and newer vehicles.
(3) Test frequency. Annual testing. (5) Vehicle type coverage. Light duty
(4) Model year coverage. Testing of vehicles, and light duty trucks, rated
1968 and newer vehicles. up to 8,500 pounds GVWR.
(5) Vehicle type coverage. Light duty (6) Emission test type. Idle testing (as
vehicles, and light duty trucks, rated described in appendix B of this subpart)
up to 8,500 pounds GVWR. for 1968–2000 vehicles; onboard diag-
(6) Exhaust emission test type. Remote nostic checks on 2001 and newer vehi-
sensing measurements on 1968–1995 ve- cles.
hicles; on-board diagnostic system
(7) Emission standards. Those specified
checks on 1996 and newer vehicles.
in 40 CFR part 85, subpart W.
(7) Emission standards. For remote
sensing measurements, a carbon mon- (8) Emission control device inspections.
oxide standard of 7.5% (with at least Visual inspection of the positive crank-
two separate readings above this level case ventilation valve on all 1968
to establish a failure). through 1971 model year vehicles, in-
(8) Emission control device inspections. clusive, and of the exhaust gas recir-
Visual inspection of the catalytic con- culation valve on all 1972 and newer
verter on 1975 and newer vehicles and model year vehicles.
visual inspection of the positive crank- (9) Evaporative system function checks.
case ventilation valve on 1968–1974 ve- None, with the exception of those per-
hicles. formed by the OBD system on vehicles
(9) Waiver rate. A 3% waiver rate, as a so-equipped and only for model year
percentage of failed vehicles. 2001 and newer vehicles.
(10) Compliance rate. A 96% compli- (10) Stringency. A 20% emission test
ance rate. failure rate among pre-1981 model year
(11) Evaluation date. Enhanced I/M vehicles.
program areas subject to the provisions (11) Waiver rate. A 3% waiver rate, as
of this paragraph shall be shown to ob- a percentage of failed vehicles.
tain the same or lower VOC and NOx (12) Compliance rate. A 96% compli-
emission levels as the model program ance rate.
described in this paragraph (h) by Jan- (13) Evaluation date. Enhanced I/M
uary 1, 2002 to within ±0.02 gpm. Sub- program areas subject to the provisions
ject programs shall demonstrate of this paragraph (i) shall be shown to
through modeling the ability to main-
obtain the same or lower emission lev-
tain this level of emission reduction
els for HC and NOX as the model pro-
(or better) through their attainment
deadline for the applicable NAAQS gram described in this paragraph as-
standard(s). Equality of substituted suming an evaluation date set 6 years
emission reductions to the benefits of after the effective date of designation
the low enhanced performance stand- and classification under the 8-hour
ard must be demonstrated for the same ozone standard (rounded to the nearest
evaluation date. July) to within ±0.02 gpm. Subject pro-
(i) Enhanced performance standard for grams shall demonstrate through mod-
areas designated and classified under the eling the ability to maintain this per-
8-hour ozone standard. Areas required to cent level of emission reduction (or
implement an enhanced I/M program as
a result of being designated and classi-
fied under the 8-hour ozone standard,
must meet or exceed the HC and NOX
333
§ 51.352 40 CFR Ch. I (7–1–21 Edition)
better) through their applicable attain- each applicable milestone and attain-
ment date for the 8-hour ozone stand- ment deadline, thereafter.
ard, also rounded to the nearest July. (b) Oxides of nitrogen. Basic I/M test-
ing in ozone nonattainment areas shall
FR 59367, Nov. 9, 1993; 59 FR 32343, June 23, be designed such that no increase in
1994; 60 FR 48035, Sept. 18, 1995; 61 FR 39036, NOX emissions occurs as a result of the
July 25, 1996; 61 FR 40945, Aug. 6, 1996; 63 FR program. If the Administrator finds,
24433, May 4, 1998; 65 FR 45532, July 24, 2000; under section 182(b)(1)(A)(i) of the Act
66 FR 18176, Apr. 5, 2001; 71 FR 17710, Apr. 7, pertaining to reasonable further
2006] progress demonstrations or section
182(f)(1) of the Act pertaining to provi-
§ 51.352 Basic I/M performance stand- sions for major stationary sources,
ard.
that NOX emission reductions are not
(a) Basic I/M programs shall be de- beneficial in a given ozone nonattain-
signed and implemented to meet or ex- ment area, then the basic I/M NOX re-
ceed a minimum performance standard, quirement may be omitted. States
which is expressed as emission levels shall implement any required NOX con-
achieved from highway mobile sources trols within 12 months of implementa-
as a result of the program. The per- tion of the program deadlines required
formance standard shall be established in § 51.373 of this subpart, except that
using the following model I/M program newly implemented I/M programs shall
inputs and local characteristics, such include NOX controls from the start.
as vehicle mix and local fuel controls. (c) On-board diagnostics (OBD). For
Similarly, the emission reduction ben- those areas required to implement a
efits of the State’s program design basic I/M program prior to the effective
shall be estimated using the most cur- date of designation and classification
rent version of the EPA mobile source under the 8-hour ozone standard, the
emission model, and shall meet the performance standard shall include in-
minimum performance standard both spection of all model year 1996 and
in operation and for SIP approval. later light-duty vehicles equipped with
(1) Network type. Centralized testing. certified on-board diagnostic systems,
(2) Start date. For areas with existing and repair of malfunctions or system
I/M programs, 1983. For areas newly deterioration identified by or affecting
subject, 1994. OBD systems as specified in § 51.357,
(3) Test frequency. Annual testing. and assuming a start date of 2002 for
(4) Model year coverage. Testing of such testing. For areas required to im-
1968 and later model year vehicles. plement basic I/M as a result of des-
(5) Vehicle type coverage. Light duty ignation and classification under the 8-
vehicles. hour ozone standard, the performance
(6) Exhaust emission test type. Idle standard defined in paragraph (e) of
test. this section shall include inspection of
(7) Emission standards. No weaker all model year 2001 and later light-duty
than specified in 40 CFR part 85, sub- vehicles equipped with certified on-
part W. board diagnostic systems, and repair of
(8) Emission control device inspections. malfunctions or system deterioration
None. identified by or affecting OBD systems
(9) Stringency. A 20% emission test as specified in § 51.357, and assuming a
failure rate among pre-1981 model year start date of 4 years after the effective
vehicles. date of designation and classification
(10) Waiver rate. A 0% waiver rate. under the 8-hour ozone standard.
(11) Compliance rate. A 100% compli- (d) Modeling requirements. Equiva-
ance rate. lency of emission levels which will be
(12) Evaluation date. Basic I/M pro- achieved by the I/M program design in
grams shall be shown to obtain the the SIP to those of the model program
same or lower emission levels as the described in this section shall be dem-
model inputs by 1997 for ozone non- onstrated using the most current
attainment areas and 1996 for CO non- version of EPA’s mobile source emis-
attainment areas; and, for serious or sion model and EPA guidance on the
worse ozone nonattainment areas, on estimation of input parameters. Areas
334
required to implement basic I/M pro- nearest July) for the applicable ozone
grams shall meet the performance precursor(s).
standard for the pollutants which [57 FR 52987, Nov. 5, 1992, as amended at 61
cause them to be subject to basic re- FR 40945, Aug. 6, 1996; 63 FR 24433, May 4,
quirements. Areas subject as a result of 1998; 66 FR 18177, Apr. 5, 2001; 71 FR 17711,
ozone nonattainment shall meet the Apr. 7, 2006]
standard for VOCs and shall dem-
onstrate no NOX increase, as required § 51.353 Network type and program
evaluation.
in paragraph (b) of this section.
(e) Basic performance standard for Basic and enhanced I/M programs can
areas designated non-attainment for the be centralized, decentralized, or a hy-
8-hour ozone standard. Areas required to brid of the two at the State’s discre-
implement a basic I/M program as a re- tion, but shall be demonstrated to
sult of being designated and classified achieve the same (or better) level of
under the 8-hour ozone standard, must emission reduction as the applicable
meet or exceed the emission reductions performance standard described in ei-
achieved by the model program defined ther § 51.351 or 51.352 of this subpart.
for the applicable ozone precursor(s): For decentralized programs other than
those meeting the design characteris-
(1) Network type. Centralized testing.
tics described in paragraph (a) of this
(2) Start date. 4 years after the effec- section, the State must demonstrate
tive date of designation and classifica- that the program is achieving the level
tion under the 8-hour ozone standard. of effectiveness claimed in the plan
(3) Test frequency. Annual testing. within 12 months of the plan’s final
(4) Model year coverage. Testing of conditional approval before EPA can
1968 and newer vehicles. convert that approval to a final full ap-
(5) Vehicle type coverage. Light duty proval. The adequacy of these dem-
vehicles. onstrations will be judged by the Ad-
(6) Emission test type. Idle testing (as ministrator on a case-by-case basis
described in appendix B of this subpart) through notice-and-comment rule-
for 1968–2000 vehicles; onboard diag- making.
nostic checks on 2001 and newer vehi- (a) Presumptive equivalency. A decen-
cles. tralized network consisting of stations
(7) Emission standards. Those specified that only perform official I/M testing
in 40 CFR part 85, subpart W. (which may include safety-related in-
(8) Emission control device inspections. spections) and in which owners and em-
None. ployees of those stations, or companies
owning those stations, are contrac-
(9) Evaporative system function checks.
tually or legally barred from engaging
None, with the exception of those per-
in motor vehicle repair or service,
formed by the OBD system on vehicles
motor vehicle parts sales, and motor
so-equipped and only for model year
vehicle sale and leasing, either directly
2001 and newer vehicles.
or indirectly, and are barred from re-
(10) Stringency. A 20% emission test ferring vehicle owners to particular
failure rate among pre-1981 model year providers of motor vehicle repair serv-
vehicles. ices (except as provided in § 51.369(b)(1)
(11) Waiver rate. A 0% waiver rate, as of this subpart) shall be considered pre-
a percentage of failed vehicles. sumptively equivalent to a centralized,
(12) Compliance rate. A 100% compli- test-only system including comparable
ance rate. test elements. States may allow such
(13) Evaluation date. Basic I/M pro- stations to engage in the full range of
gram areas subject to the provisions of sales not covered by the above prohibi-
this paragraph (e) shall be shown to ob- tion, including self-serve gasoline, pre-
tain the same or lower emission levels packaged oil, or other, non-auto-
as the model program described in this motive, convenience store items. At
paragraph by an evaluation date set 6 the State’s discretion, such stations
years after the effective date of des- may also fulfill other functions typi-
ignation and classification under the 8- cally carried out by the State such as
hour ozone standard (rounded to the renewal of vehicle registration and
335
§ 51.354 40 CFR Ch. I (7–1–21 Edition)
driver’s licenses, or tax and fee collec- through (c)(4) of this section. The re-
tions. ports required under § 51.366 of this part
(b) [Reserved] shall be sufficient in these areas to sat-
(c) Program evaluation. Enhanced I/M isfy the requirements of Clean Air Act
programs shall include an ongoing for program reporting.
evaluation to quantify the emission re- (d) SIP requirements. (1) The SIP shall
duction benefits of the program, and to include a description of the network to
determine if the program is meeting be employed, the required legal author-
the requirements of the Clean Air Act ity, and, in the case of areas making
and this subpart. claims under paragraph (b) of this sec-
(1) The State shall report the results tion, the required demonstration.
of the program evaluation on a bien- (2) The SIP shall include a descrip-
nial basis, starting two years after the tion of the evaluation schedule and
initial start date of mandatory testing protocol, the sampling methodology,
as required in § 51.373 of this subpart. the data collection and analysis sys-
(2) The evaluation shall be considered tem, the resources and personnel for
in establishing actual emission reduc- evaluation, and related details of the
tions achieved from I/M for the pur- evaluation program, and the legal au-
poses of satisfying the requirements of thority enabling the evaluation pro-
sections 182(g)(1) and 182(g)(2) of the gram.
Clean Air Act, relating to reductions in [57 FR 52987, Nov. 5, 1992, as amended at 58
emissions and compliance demonstra- FR 59367, Nov. 9, 1993; 61 FR 39037, July 25,
tion. 1996; 63 FR 1368, Jan. 9, 1998; 65 FR 45532, July
(3) The evaluation program shall con- 24, 2000; 71 FR 17711, Apr. 7, 2006]
sist, at a minimum, of those items de-
scribed in paragraph (b)(1) of this sec- § 51.354 Adequate tools and resources.
tion and program evaluation data (a) Administrative resources. The pro-
using a sound evaluation methodology, gram shall maintain the administra-
as approved by EPA, and evaporative tive resources necessary to perform all
system checks, specified in § 51.357(a) of the program functions including
(9) and (10) of this subpart, for model quality assurance, data analysis and
years subject to those evaporative sys- reporting, and the holding of hearings
tem test procedures. The test data and adjudication of cases. A portion of
shall be obtained from a representa- the test fee or a separately assessed per
tive, random sample, taken at the time vehicle fee shall be collected, placed in
of initial inspection (before repair) on a a dedicated fund and retained, to be
minimum of 0.1 percent of the vehicles used to finance program oversight,
subject to inspection in a given year. management, and capital expenditures.
Such vehicles shall receive a State ad- Alternatives to this approach shall be
ministered or monitored test, as speci- acceptable if the State can dem-
fied in this paragraph (c)(3), prior to onstrate that adequate funding of the
the performance of I/M-triggered re- program can be maintained in some
pairs during the inspection cycle under other fashion (e.g., through contrac-
consideration. tual obligation along with dem-
(4) The program evaluation test data onstrated past performance). Reliance
shall be submitted to EPA and shall be on future uncommitted annual or bien-
capable of providing accurate informa- nial appropriations from the State or
tion about the overall effectiveness of local General Fund is not acceptable,
an I/M program, such evaluation to unless doing otherwise would be a vio-
begin no later than 1 year after pro- lation of the State’s constitution. This
gram start-up. section shall in no way require the es-
(5) Areas that qualify for and choose tablishment of a test fee if the State
to implement an OTR low enhanced I/M chooses to fund the program in some
program, as established in § 51.351(h), other manner.
and that claim in their SIP less emis- (b) Personnel. The program shall em-
sion reduction credit than the basic ploy sufficient personnel to effectively
performance standard for one or more carry out the duties related to the pro-
pollutants, are exempt from the re- gram, including but not limited to ad-
quirements of paragraphs (c)(1) ministrative audits, inspector audits,
336
data analysis, program oversight, pro- (b) In enhanced I/M programs, test
gram evaluation, public education and systems shall be designed in such a
assistance, and enforcement against way as to provide convenient service to
stations and inspectors as well as motorists required to get their vehicles
against motorists who are out of com- tested. The SIP shall demonstrate that
pliance with program regulations and the network of stations providing test
requirements. services is sufficient to insure short
(c) Equipment. The program shall pos- waiting times to get a test and short
sess equipment necessary to achieve driving distances. Stations shall be re-
the objectives of the program and meet quired to adhere to regular testing
program requirements, including but hours and to test any subject vehicle
not limited to a steady supply of vehi- presented for a test during its test pe-
cles for covert auditing, test equipment riod.
and facilities for program evaluation,
and computers capable of data proc- § 51.356 Vehicle coverage.
essing, analysis, and reporting. Equip-
The performance standard for en-
ment or equivalent services may be
hanced I/M programs assumes coverage
contractor supplied or owned by the
of all 1968 and later model year light
State or local authority.
duty vehicles and light duty trucks up
(d) SIP requirements. The SIP shall in-
to 8,500 pounds GVWR, and includes ve-
clude a description of the resources
hicles operating on all fuel types. The
that will be used for program oper-
standard for basic I/M programs does
ation, and discuss how the performance
not include light duty trucks. Other
standard will be met.
levels of coverage may be approved if
(1) The SIP shall include a detailed
the necessary emission reductions are
budget plan which describes the source
achieved. Vehicles registered or re-
of funds for personnel, program admin-
quired to be registered within the I/M
istration, program enforcement, pur-
program area boundaries and fleets pri-
chase of necessary equipment (such as
vehicles for undercover audits), and marily operated within the I/M pro-
any other requirements discussed gram area boundaries and belonging to
throughout, for the period prior to the the covered model years and vehicle
next biennial self-evaluation required classes comprise the subject vehicles.
in § 51.366 of this subpart. (a) Subject vehicles. (1) All vehicles of
(2) The SIP shall include a descrip- a covered model year and vehicle type
tion of personnel resources. The plan shall be tested according to the appli-
shall include the number of personnel cable test schedule, including leased
dedicated to overt and covert auditing, vehicles whose registration or titling is
data analysis, program administration, in the name of an equity owner other
enforcement, and other necessary func- than the lessee or user.
tions and the training attendant to (2) All subject fleet vehicles shall be
each function. inspected. Fleets may be officially in-
spected outside of the normal I/M pro-
§ 51.355 Test frequency and conven- gram test facilities, if such alter-
ience. natives are approved by the program
(a) The performance standards for I/ administration, but shall be subject to
M programs assume an annual test fre- the same test requirements using the
quency; other schedules may be ap- same quality control standards as non-
proved if the required emission targets fleet vehicles. If all vehicles in a par-
are achieved. The SIP shall describe ticular fleet are tested during one part
the test schedule in detail, including of the cycle, then the quality control
the test year selection scheme if test- requirements shall be met during the
ing is other than annual. The SIP shall time of testing only. Any vehicle avail-
include the legal authority necessary able for rent in the I/M area or for use
to implement and enforce the test fre- in the I/M area shall be subject. Fleet
quency requirement and explain how vehicles not being tested in normal I/M
the test frequency will be integrated test facilities in enhanced I/M pro-
with the enforcement process. grams, however, shall be inspected in
337
§ 51.357 40 CFR Ch. I (7–1–21 Edition)
independent, test-only facilities, ac- any program whose enforcement is not

cording to the requirements of through registration denial.
§ 51.353(a) of this subpart. (iii) Another method approved by the
(3) Subject vehicles which are reg- State or local I/M program adminis-
istered in the program area but are pri- trator.
marily operated in another I/M area (5) Special exemptions may be per-
shall be tested, either in the area of mitted for certain subject vehicles pro-
primary operation, or in the area of vided a demonstration is made that the
registration. Alternate schedules may performance standard will be met.
be established to permit convenient (6) States may also exempt MY 1996
testing of these vehicles (e.g., vehicles and newer OBD-equipped vehicles that
belonging to students away at college receive an OBD-I/M inspection from the
should be rescheduled for testing dur- tailpipe, purge, and fill-neck pressure
ing a visit home). I/M programs shall tests (where applicable) without any
make provisions for providing official loss of emission reduction credit.
testing to vehicles registered else- (b) SIP requirements. (1) The SIP shall
where. include a detailed description of the
(4) Vehicles which are operated on number and types of vehicles to be cov-
Federal installations located within an ered by the program, and a plan for
I/M program area shall be tested, re- how those vehicles are to be identified,
gardless of whether the vehicles are including vehicles that are routinely
registered in the State or local I/M operated in the area but may not be
area. This requirement applies to all registered in the area.
employee-owned or leased vehicles (in- (2) The SIP shall include a descrip-
cluding vehicles owned, leased, or oper- tion of any special exemptions which
ated by civilian and military personnel will be granted by the program, and an
on Federal installations) as well as estimate of the percentage and number
agency-owned or operated vehicles, ex- of subject vehicles which will be im-
cept tactical military vehicles, oper- pacted. Such exemptions shall be ac-
ated on the installation. This require- counted for in the emission reduction
ment shall not apply to visiting agen- analysis.
cy, employee, or military personnel ve- (3) The SIP shall include the legal au-
hicles as long as such visits do not ex- thority or rule necessary to implement
ceed 60 calendar days per year. In areas and enforce the vehicle coverage re-
without test fees collected in the lane, quirement.
arrangements shall be made by the in- [57 FR 52987, Nov. 5, 1992, as amended at 66
stallation with the I/M program for re- FR 18177, Apr. 5, 2001]
imbursement of the costs of tests pro-
vided for agency vehicles, at the discre- § 51.357 Test procedures and stand-
tion of the I/M agency. The installation ards.
shall provide documentation of proof of Written test procedures and pass/fail
compliance to the I/M agency. The doc- standards shall be established and fol-
umentation shall include a list of sub- lowed for each model year and vehicle
ject vehicles and shall be updated peri- type included in the program.
odically, as determined by the I/M pro- (a) Test procedure requirements. Emis-
gram administrator, but no less fre- sion tests and functional tests shall be
quently than each inspection cycle. conducted according to good engineer-
The installation shall use one of the ing practices to assure test accuracy.
following methods to establish proof of (1) Initial tests (i.e., those occurring
compliance: for the first time in a test cycle) shall
(i) Presentation of a valid certificate be performed without repair or adjust-
of compliance from the local I/M pro- ment at the inspection facility, prior
gram, from any other I/M program at to the test, except as provided in para-
least as stringent as the local program, graph (a)(10)(i) of this section.
or from any program deemed accept- (2) The vehicle owner or driver shall
able by the I/M program administrator. have access to the test area such that
(ii) Presentation of proof of vehicle observation of the entire official in-
registration within the geographic area spection process on the vehicle is per-
covered by the I/M program, except for mitted. Such access may be limited but
338
shall in no way prevent full observation shall also be retested. Evaporative
tion. system repairs shall trigger an exhaust
(3) An official test, once initiated, emissions retest (in programs which
shall be performed in its entirety re- conduct an exhaust emission test as
gardless of intermediate outcomes ex- part of the initial inspection).
cept in the case of invalid test condi- (7) Steady-state testing. Steady-state
tion, unsafe conditions, fast pass/fail tests shall be performed in accordance
algorithms, or, in the case of the on- with the procedures contained in ap-
board diagnostic (OBD) system check, pendix B to this subpart.
unset readiness codes.
(8) Emission control device inspection.
(4) Tests involving measurement
Visual emission control device checks
shall be performed with program-ap-
proved equipment that has been cali- shall be performed through direct ob-
brated according to the quality proce- servation or through indirect observa-
dures contained in appendix A to this tion using a mirror, video camera or
subpart. other visual aid. These inspections
(5) Vehicles shall be rejected from shall include a determination as to
testing if the exhaust system is miss- whether each subject device is present
ing or leaking, or if the vehicle is in an and appears to be properly connected
unsafe condition for testing. Coinci- and appears to be the correct type for
dent with mandatory OBD-I/M testing the certified vehicle configuration.
and repair of vehicles so equipped, MY (9) Evaporative system purge test proce-
1996 and newer vehicles shall be re- dure. The purge test procedure shall
jected from testing if a scan of the OBD consist of measuring the total purge
system reveals a ‘‘not ready’’ code for flow (in standard liters) occurring in
any component of the OBD system. At the vehicle’s evaporative system dur-
a state’s option it may choose altering the transient dynamometer emis-
natively to reject MY 1996–2000 vehicles sion test specified in paragraph (a)(11)
only if three or more ‘‘not ready’’ codes of this section. The purge flow meas-
are present and to reject MY 2001 and urement system shall be connected to
later model years only if two or more the purge portion of the evaporative
‘‘not ready’’ codes are present. This
system in series between the canister
provision does not release manufactur-
and the engine, preferably near the
ers from the obligations regarding
canister. The inspector shall be respon-
readiness status set forth in 40 CFR
86.094–17(e)(1): ‘‘Control of Air Pollu- sible for ensuring that all items that
tion From New Motor Vehicles and are disconnected in the conduct of the
New Motor Vehicle Engines: Regula- test procedure are properly re-con-
tions RequiringOn-Board Diagnostic nected at the conclusion of the test
Systems on 1994 and Later Model Year procedure. Alternative procedures may
Light-Duty Vehicles and Light-Duty be used if they are shown to be equiva-
Trucks.’’ Once the cause for rejection lent or better to the satisfaction of the
has been corrected, the vehicle must Administrator. Except in the case of
return for testing to continue the test- government-run test facilities claiming
ing process. Failure to return for test- sovereign immunity, any damage done
ing in a timely manner after rejection to the evaporative emission control
shall be considered non-compliance system during this test shall be re-
with the program, unless the motorist paired at the expense of the inspection
can prove that the vehicle has been facility.
sold, scrapped, or is otherwise no (10) Evaporative system integrity test
longer in operation within the program procedure. The test sequence shall con-
area. sist of the following steps:
(6) Vehicles shall be retested after re- (i) Test equipment shall be connected
pair for any portion of the inspection
to the fuel tank canister hose at the
that is failed on the previous test to
canister end. The gas cap shall be
determine if repairs were effective. To
the extent that repair to correct a pre- checked to ensure that it is properly,
vious failure could lead to failure of but not excessively tightened, and
another portion of the test, that por- shall be tightened if necessary.
339
§ 51.357 40 CFR Ch. I (7–1–21 Edition)
(ii) The system shall be pressurized may elect to phase-in OBD-I/M testing
to 14 ±0.5 inches of water without ex- for one test cycle by using the OBD-I/
ceeding 26 inches of water system pres- M check to screen clean vehicles from
sure. tailpipe testing and require repair and
(iii) Close off the pressure source, retest for only those vehicles which
seal the evaporative system and mon- proceed to fail the tailpipe test. An ad-
itor pressure decay for up to two min- ditional alternative is also available to
utes. states with regard to the deadline for
(iv) Loosen the gas cap after a max- mandatory testing, repair, and re-
imum of two minutes and monitor for testing of vehicles based upon the OBD-
a sudden pressure drop, indicating that I/M check. Under this third option, if a
the fuel tank was pressurized. state can show good cause (and the Ad-
(v) The inspector shall be responsible ministrator takes notice-and-comment
for ensuring that all items that are dis- action to approve this good cause
connected in the conduct of the test showing as a revision to the State’s
procedure are properly re-connected at Implementation Plan), up to an addi-
the conclusion of the test procedure. tional 12 months’ extensionmay be
(vi) Alternative procedures may be granted, establishing an alternative
used if they are shown to be equivalent start date for such states of no later
or better to the satisfaction of the Ad- than January 1, 2003. States choosing
ministrator. Except in the case of gov- to make this showing will also have
ernment-run test facilities claiming available to them the phase-in ap-
sovereign immunity, any damage done proach described in this section, with
to the evaporative emission control the one-cycle time limit to begin coin-
system during this test shall be re- cident with the alternative start date
paired at the expense of the inspection established by Administrator approval
facility. of the showing, but no later than Janu-
(11) Transient emission test. The tran- ary 1, 2003. The showing of good cause
sient emission test shall consist of (and its approval or disapproval) will
mass emission measurement using a be addressed on a case-by-case basis by
constant volume sampler (or an Ad- the Administrator.
ministrator-approved alternative (13) Approval of alternative tests. Al-
methodology for accounting for ex- ternative test procedures may be ap-
haust volume) while the vehicle is driv- proved if the Administrator finds that
en through a computer-monitored driv- such procedures show a reasonable cor-
ing cycle on a dynamometer. The driv- relation with the Federal Test Proce-
ing cycle shall include acceleration, de- dure and are capable of identifying
celeration, and idle operating modes as comparable emission reductions from
specified in appendix E to this subpart the I/M program as a whole, in com-
(or an approved alternative). The driv- bination with other program elements,
ing cycle may be ended earlier using as would be identified by the test(s)
approved fast pass or fast fail algo- which they are intended to replace.
rithms and multiple pass/fail algo- (b) Test standards—(1) Emissions stand-
rithms may be used during the test ards. HC, CO, and CO + CO2 (or CO2
cycle to eliminate false failures. The alone) emission standards shall be ap-
transient test procedure, including al- plicable to all vehicles subject to the
gorithms and other procedural details, program with the exception of MY 1996
shall be approved by the Administrator and newer OBD-equipped light-duty ve-
prior to use in an I/M program. hicles and light-duty trucks, which will
(12) On-board diagnostic checks. Begin- be held to the requirements of 40 CFR
ning January 1, 2002, inspection of the 85.2207, at a minimum. Repairs shall be
on-board diagnostic (OBD) system on required for failure of any standard re-
MY 1996 and newer light-duty vehicles gardless of the attainment status of
and light-duty trucks shall be con- the area. NOX emission standards shall
ducted according to the procedure de- be applied to vehicles subject to a load-
scribed in 40 CFR 85.2222, at a mined mode test in ozone nonattainment
imum. This inspection may be used in areas and in an ozone transport region,
lieu of tailpipe, purge, and fill-neck unless a waiver of NOX controls is pro-
pressure testing. Alternatively, states vided to the State under § 51.351(d).
340
(2) Visual equipment inspection stand- vehicles which proceed to fail the tail-
ards. (i) Vehicles shall fail visual in- pipe test. An additional alternative is
spections of subject emission control also available to states with regard to
devices if such devices are part of the the deadline for mandatory testing, re-
original certified configuration and are pair, and retesting of vehicles based
found to be missing, modified, discon- upon the OBD-I/M check. Under this
nected, or improperly connected. third option, if a state can show good
(ii) Vehicles shall fail visual inspec- cause (and the Administrator takes no-
tions of subject emission control de- tice-and-comment action to approve
vices if such devices are found to be in- this good cause showing), up to an ad-
correct for the certified vehicle conditional 12 months’ extension may be
figuration under inspection. granted, establishing an alternative
Aftermarket parts, as well as original start date for such states of no later
equipment manufacture parts, may be than January 1, 2003. States choosing
considered correct if they are proper to make this showing will also have
for the certified vehicle configuration. available to them the phase-in ap-
Where an EPA aftermarket approval or proach described in this section, with
self-certification program exists for a the one-cycle time limit to begin coin-
particular class of subject parts, vehi- cident with the alternative start date
cles shall fail visual equipment inspec- established by Administrator approval
tions if the part is neither original of the showing, but no later than Janu-
equipment manufacture nor from an ary 1, 2003. The showing of good cause
approved or self-certified aftermarket (and its approval or disapproval) will
manufacturer. be addressed on a case-by-case basis.
(3) Functional test standards—(i) Evap- (c) Fast test algorithms and standards.
orative system integrity test. Vehicles Special test algorithms and pass/fail
shall fail the evaporative system pres- algorithms may be employed to reduce
sure test if the system cannot main- test time when the test outcome is pre-
tain a system pressure above eight dictable with near certainty, if the Ad-
inches of water for up to two minutes ministrator approves by letter the
after being pressurized to 14 ±0.5 inches equivalency to full procedure testing.
of water or if no pressure drop is de- (d) Applicability. In general, section
tected when the gas cap is loosened as 203(a)(3)(A) of the Clean Air Act pro-
described in paragraph (a)(10)(iv) of hibits altering a vehicle’s configura-
this section. Additionally, vehicles tion such that it changes from a cer-
shall fail the evaporative test if the tified to a non-certified configuration.
canister is missing or obviously dam- In the inspection process, vehicles that
aged, if hoses are missing or obviously have been altered from their original
disconnected, or if the gas cap is miss- certified configuration are to be tested
ing. in the same manner as other subject
(ii) Evaporative canister purge test. Ve- vehicles with the exception of MY 1996
hicles with a total purge system flow and newer, OBD-equipped vehicles on
measuring less than one liter, over the which the data link connector is miss-
course of the transient test required in ing, has been tampered with or which
paragraph (a)(9) of this section, shall has been altered in such a way as to
fail the evaporative purge test. make OBD system testing impossible.
(4) On-board diagnostic test standards. Such vehicles shall be failed for the on-
Vehicles shall fail the on-board diag- board diagnostics portion of the test
nostic test if they fail to meet the re- and are expected to be repaired so that
quirements of 40 CFR 85.2207, at a min- the vehicle is testable. Failure to re-
imum. Failure of the on-board diag- turn for retesting in a timely manner
nostic test need not result in failure of after failure and repair shall be consid-
the vehicle inspection/maintenance ered non-compliance with the program,
test until January 1, 2002. Alter- unless the motorist can prove that the
natively, states may elect to phase-in vehicle has been sold, scrapped, or is
OBD-I/M testing for one test cycle by otherwise no longer in operation with-
using the OBD- I/M check to screen in the program area.
clean vehicles from tailpipe testing and (1) Vehicles with engines other than
require repair and retest for only those the engine originally installed by the
341
§ 51.358 40 CFR Ch. I (7–1–21 Edition)
manufacturer or an identical replace- compliance with program specifica-

ment of such engine shall be subject to tions.
the test procedures and standards for (1) Emission test equipment shall be
the chassis type and model year includ- capable of testing all subject vehicles
ing visual equipment inspections for and shall be updated from time to time
all parts that are part of the original to accommodate new technology vehi-
or now-applicable certified configura- cles as well as changes to the program.
tion and part of the normal inspection. In the case of OBD-based testing, the
States may choose to require vehicles equipment used to access the onboard
with such engines to be subject to the computer shall be capable of testing all
test procedures and standards for the MY 1996 and newer, OBD-equipped
engine model year if it is newer than light-duty vehicles and light-duty
the chassis model year. trucks.
(2) Vehicles that have been switched (2) At a minimum, emission test
from an engine of one fuel type to an- equipment:
other fuel type that is subject to the (i) Shall make automatic pass/fail de-
program (e.g., from a diesel engine to a cisions;
gasoline engine) shall be subject to the (ii) Shall be secured from tampering
test procedures and standards for the and/or abuse;
current fuel type, and to the require- (iii) Shall be based upon written
ments of paragraph (d)(1) of this sec- specifications; and
tion.
(iv) Shall be capable of simulta-
(3) Vehicles that are switched to a
neously sampling dual exhaust vehicles
fuel type for which there is no certified
in the case of tailpipe-based emission
configuration shall be tested according
test equipment.
to the most stringent emission stand-
(3) The vehicle owner or driver shall
ards established for that vehicle type
be provided with a record of test re-
and model year. Emission control de-
sults, including all of the items listed
vice requirements may be waived if the
in 40 CFR part 85, subpart W as being
program determines that the alter-
required on the test record (as applica-
natively fueled vehicle configuration
ble). The test report shall include:
would meet the new vehicle standards
for that model year without such de- (i) A vehicle description, including li-
vices. cense plate number, vehicle identifica-
(4) Mixing vehicle classes (e.g., light- tion number, and odometer reading;
duty with heavy-duty) and certifi- (ii) The date and time of test;
cation types (e.g., California with Fed- (iii) The name or identification num-
eral) within a single vehicle configura- ber of the individual(s) performing the
tion shall be considered tampering. tests and the location of the test sta-
(e) SIP requirements. The SIP shall in- tion and lane;
clude a description of each test proce- (iv) The type(s) of test(s) performed;
dure used. The SIP shall include the (v) The applicable test standards;
rule, ordinance or law describing and (vi) The test results, by test, and,
establishing the test procedures. where applicable, by pollutant;
(vii) A statement indicating the
FR 40945, Aug. 6, 1996; 63 FR 24433, May 4, availability of warranty coverage as re-
1998; 65 FR 45533, July 24, 2000; 66 FR 18178, quired in section 207 of the Clean Air
Apr. 5, 2001] Act;
(viii) Certification that tests were
§ 51.358 Test equipment. performed in accordance with the regu-
Computerized emission test systems lations and, in the case of decentralized
are required for performing an official programs, the signature of the indi-
emissions test on subject vehicles. vidual who performed the test; and
(a) Performance features of computer- (ix) For vehicles that fail the emis-
ized emission test systems. The emission sion test, information on the possible
test equipment shall be certified by the cause(s) of the failure.
program, and newly acquired emission (b) Functional characteristics of com-
test systems shall be subjected to ac- puterized emission test systems. The test
ceptance test procedures to ensure system is composed of motor vehicle
342
test equipment controlled by a comput- (2) Preventive maintenance on all in-

erized processor and shall make auto- spection equipment necessary to insure
matic pass/fail decisions. accurate and repeatable operation
(1) [Reserved] shall be performed on a periodic basis.
(2) Test systems in enhanced I/M pro- (3) [Reserved]
grams shall include a real-time data (b) Requirements for steady-state emis-
link to a host computer that prevents sions testing equipment. (1) Equipment
unauthorized multiple initial tests on shall be maintained according to dem-
the same vehicle in a test cycle and to onstrated good engineering practices to
insure test record accuracy. For areas assure test accuracy. The calibration
which have demonstrated the ability to and adjustment requirements in appen-
meet their other, non-I/M Clean Air dix A to this subpart shall apply to all
Act requirements without relying on steady-state test equipment. States
emission reductions from the I/M pro- may adjust calibration schedules and
gram (and which have also elected to other quality control frequencies by
employ stand-alone test equipment as using statistical process control to
part of the I/M program), such areas monitor equipment performance on an
may adopt alternative methods for pre- ongoing basis.
venting multiple initial tests, subject (2) For analyzers that use ambient
to approval by the Administrator. air as zero air, provision shall be made
(3) [Reserved] to draw the air from outside the in-
(4) On-board diagnostic test equipment spection bay or lane in which the ana-
requirements. The test equipment used lyzer is situated.
to perform on-board diagnostic inspec- (3) The analyzer housing shall be con-
tions shall function as specified in 40 structed to protect the analyzer bench
CFR 85.2231. and electrical components from ambi-
(c) SIP requirements. The SIP shall in- ent temperature and humidity fluctua-
clude written technical specifications tions that exceed the range of the ana-
for all test equipment used in the pro- lyzer’s design specifications.
gram and shall address each of the (4) Analyzers shall automatically
above requirements (as applicable). purge the analytical system after each
The specifications shall describe the test.
testing process, the necessary test (c) Requirements for transient exhaust
equipment, the required features, and
emission test equipment. Equipment shall
written acceptance testing criteria and
be maintained according to dem-
procedures.
onstrated good engineering practices to
[57 FR 52987, Nov. 5, 1992, as amended at 61 assure test accuracy. Computer control
FR 40945, Aug. 6, 1996; 65 FR 45533, July 24, of quality assurance checks and qual-
2000; 66 FR 18178, Apr. 5, 2001] ity control charts shall be used when-
ever possible. Exceptions to the proce-
§ 51.359 Quality control. dures and the frequency of the checks
Quality control measures shall insure described in appendix A of this subpart
that emission testing equipment is may be approved by the Administrator
calibrated and maintained properly, based on a demonstration of com-
and that inspection, calibration parable performance.
records, and control charts are accu- (d) Requirements for evaporative system
rately created, recorded and main- functional test equipment. Equipment
tained (where applicable). shall be maintained according to dem-
(a) General requirements. (1) The prac- onstrated good engineering practices to
tices described in this section and in assure test accuracy. Computer control
appendix A to this subpart shall be fol- of quality assurance checks and qual-
lowed for those tests (or portions of ity control charts shall be used when-
tests) which fall into the testing cat- ever possible. Exceptions to the proce-
egories identified. Alternatives or ex- dures and the frequency of the checks
ceptions to these procedures or fre- described in appendix A of this subpart
quencies may be approved by the Ad- may be approved by the Administrator
ministrator based on a demonstration based on a demonstration of com-
of comparable performance. parable performance.
343
§ 51.360 40 CFR Ch. I (7–1–21 Edition)
(e) Document security. Measures shall (2) Any available warranty coverage
be taken to maintain the security of shall be used to obtain needed repairs
all documents by which compliance before expenditures can be counted to-
with the inspection requirement is es- wards the cost limits in paragraphs
tablished including, but not limited to (a)(5) and (a)(6) of this section. The op-
inspection certificates, waiver certifi- erator of a vehicle within the statutory
cates, license plates, license tabs, and age and mileage coverage under section
stickers. This section shall in no way 207(b) of the Clean Air Act shall
require the use of paper documents but present a written denial of warranty
shall apply if they are used by the pro- coverage from the manufacturer or au-
gram for these purposes. thorized dealer for this provision to be
(1) Compliance documents shall be waived for approved tests applicable to
counterfeit resistant. Such measures as the vehicle.
the use of special fonts, water marks, (3) Waivers shall not be issued to ve-
ultra-violet inks, encoded magnetic hicles for tampering-related repairs.
strips, unique bar-coded identifiers, The cost of tampering-related repairs
and difficult to acquire materials may shall not be applicable to the minimum
be used to accomplish this require- expenditure in paragraphs (a)(5) and
ment. (a)(6) of this section. States may issue
(2) All inspection certificates, waiver exemptions for tampering-related re-
certificates, and stickers shall be pairs if it can be verified that the part
printed with a unique serial number in question or one similar to it is no
and an official program seal. longer available for sale.
(3) Measures shall be taken to ensure (4) Repairs shall be appropriate to
that compliance documents cannot be the cause of the test failure, and a vis-
stolen or removed without being dam- ual check shall be made to determine if
aged. repairs were actually made if, given
(f) SIP requirements. The SIP shall in- the nature of the repair, it can be vis-
clude a description of quality control ually confirmed. Receipts shall be sub-
and record keeping procedures. The mitted for review to further verify that
SIP shall include the procedure man- qualifying repairs were performed.
ual, rule, ordinance or law describing (5) General repairs shall be performed
and establishing the quality control by a recognized repair technician (i.e.,
procedures and requirements. one professionally engaged in vehicle
repair, employed by a going concern
[57 FR 52987, Nov. 5, 1992, as amended at 58 whose purpose is vehicle repair, or pos-
FR 59367, Nov. 9, 1993; 65 FR 45533, July 24, sessing nationally recognized certifi-
2000] cation for emission-related diagnosis
and repair) in order to qualify for a
§ 51.360 Waivers and compliance via
diagnostic inspection. waiver. I/M programs may allow the
cost of parts (not labor) utilized by
The program may allow the issuance non-technicians (e.g., owners) to apply
of a waiver, which is a form of compli- toward the waiver limit. The waiver
ance with the program requirements would apply to the cost of parts for the
that allows a motorist to comply with- repair or replacement of the following
out meeting the applicable test stand- list of emission control components:
ards, as long as the prescribed criteria oxygen sensor, catalytic converter,
described below are met. thermal reactor, EGR valve, fuel filler
(a) Waiver issuance criteria. The waiv- cap, evaporative canister, PCV valve,
er criteria shall include the following air pump, distributor, ignition wires,
at a minimum. coil, and spark plugs. The cost of any
(1) Waivers shall be issued only after hoses, gaskets, belts, clamps, brackets
a vehicle has failed a retest performed or other accessories directly associated
after all qualifying repairs have been with these components may also be ap-
completed. Qualifying repairs include plied to the waiver limit.
repairs of the emission control compo- (6) In basic programs, a minimum of
nents, listed in paragraph (a)(5) of this $75 for pre-81 vehicles and $200 for 1981
section, performed within 60 days of and newer vehicles shall be spent in
the test date. order to qualify for a waiver. These
344
model year cutoffs and the associated for a vehicle shall be tracked and re-
dollar limits shall be in full effect by ported by the program.
January 1, 1998, or coincident with pro- (b) Compliance via diagnostic inspec-
gram start-up, whichever is later. Prior tion. Vehicles subject to a transient
to January 1, 1998, States may adopt IM240 emission test at the cutpoints es-
any minimum expenditure commensu- tablished in §§ 51.351 (f)(7) and (g)(7) of
rate with the waiver rate committed to this subpart may be issued a certificate
for the purposes of modeling compli- of compliance without meeting the pre-
ance with the basic I/M performance scribed emission cutpoints, if, after
standard. failing a retest on emissions, a com-
(7) Beginning on January 1, 1998, en- plete, documented physical and func-
hanced I/M programs shall require the tional diagnosis and inspection per-
motorist to make an expenditure of at formed by the I/M agency or a con-
least $450 in repairs to qualify for a tractor to the I/M agency show that no
waiver. The I/M program shall provide additional emission-related repairs are
that the $450 minimum expenditure needed. Any such exemption policy and
shall be adjusted in January of each procedures shall be subject to approval
year by the percentage, if any, by by the Administrator.
which the Consumer Price Index for (c) Quality control of waiver issuance.
the preceding calendar year differs (1) Enhanced programs shall control
from the Consumer Price Index of 1989. waiver issuance and processing by es-
Prior to January 1, 1998, States may tablishing a system of agency-issued
adopt any minimum expenditure com- waivers. The State may delegate this
mensurate with the waiver rate com- authority to a single contractor but in-
mitted to for the purposes of modeling spectors in stations and lanes shall not
compliance with the relevant enhanced issue waivers. Basic programs may per-
I/M performance standard. mit inspector-issued waivers as long as
(i) The Consumer Price Index for any quality assurance efforts include a
calendar year is the average of the comprehensive review of waiver
Consumer Price Index for all-urban issuance.
consumers published by the Depart- (2) The program shall include meth-
ment of Labor, as of the close of the 12- ods of informing vehicle owners or les-
month period ending on August 31 of sors of potential warranty coverage,
each calendar year. A copy of the cur- and ways to obtain warranty repairs.
rent Consumer Price Index may be ob- (3) The program shall insure that re-
tained from the Emission Planning and pair receipts are authentic and cannot
Strategies Division, U.S. Environ- be revised or reused.
mental Protection Agency, 2565 Plym- (4) The program shall insure that
outh Road, Ann Arbor, Michigan 48105. waivers are only valid for one test
(ii) The revision of the Consumer cycle.
Price Index which is most consistent (5) The program shall track, manage,
with the Consumer Price Index for cal- and account for time extensions or ex-
endar year 1989 shall be used. emptions so that owners or lessors can-
(8) States may establish lower min- not receive or retain a waiver improp-
imum expenditures if a program is es- erly.
tablished to scrap vehicles that do not (d) SIP requirements. (1) The SIP shall
meet standards after the lower expe include a maximum waiver rate ex-
nditure is made. pressed as a percentage of initially
(9) A time extension, not to exceed failed vehicles. This waiver rate shall
the period of the inspection frequency, be used for estimating emission reduc-
may be granted to obtain needed re- tion benefits in the modeling analysis.
pairs on a vehicle in the case of eco- (2) The State shall take corrective
nomic hardship when waiver require- action if the waiver rate exceeds that
ments have not been met. After having committed to in the SIP or revise the
received a time extension, a vehicle SIP and the emission reductions
must fully pass the applicable test claimed.
standards before becoming eligible for (3) The SIP shall describe the waiver
another time extension. The extension criteria and procedures, including cost
345
§ 51.361 40 CFR Ch. I (7–1–21 Edition)
limits, quality assurance methods and strued to require that new vehicles
measures, and administration. shall receive emission testing prior to
(4) The SIP shall include the nec- initial retail sale. In designing its en-
essary legal authority, ordinance, or forcement program, the State shall:
rules to issue waivers, set and adjust (1) Provide an external, readily visi-
cost limits as required in paragraph ble means of determining vehicle com-
(a)(5) of this section, and carry out any pliance with the registration require-
other functions necessary to admin- ment to facilitate enforcement of the
ister the waiver system, including en- program;
forcement of the waiver provisions. (2) Adopt a schedule of testing (either
[57 FR 52987, Nov. 5, 1992, as amended at 58 annual or biennial) that clearly deter-
FR 59367, Nov. 9, 1993; 60 FR 48036, Sept. 18, mines when a vehicle shall comply
1995; 71 FR 17711, Apr. 7, 2006] prior to registration;
(3) Design a testing certification
§ 51.361 Motorist compliance enforce- mechanism (either paper-based or elec-
ment. tronic) that shall be used for registra-
Compliance shall be ensured through tion purposes and clearly indicates
the denial of motor vehicle registra- whether the certification is valid for
tion in enhanced I/M programs unless purposes of registration, including:
an exception for use of an existing al- (i) Expiration date of the certificate;
ternative is approved. An enhanced I/M (ii) Unambiguous vehicle identifica-
area may use an existing alternative if tion information; and
it demonstrates that the alternative (iii) Whether the vehicle passed or re-
has been more effective than registra- ceived a waiver;
tion denial. An enforcement mecha- (4) Routinely issue citations to mo-
nism may be considered an ‘‘existing torists with expired or missing license
alternative’’ only in States that, for plates, with either no registration or
some area in the State, had an I/M pro- an expired registration, and with no li-
gram with that mechanism in oper- cense plate decals or expired decals,
ation prior to passage of the 1990 and provide for enforcement officials
Amendments to the Act. A basic I/M other than police to issue citations
area may use an alternative enforce- (e.g., parking meter attendants) to
ment mechanism if it demonstrates parked vehicles in noncompliance;
that the alternative will be as effective (5) Structure the penalty system to
as registration denial. Two other types deter non-compliance with the reg-
of enforcement programs may qualify istration requirement through the use
for enhanced I/M programs if dem- of mandatory minimum fines (meaning
onstrated to have been more effective civil, monetary penalties, in this sub-
than enforcement of the registration part) constituting a meaningful deter-
requirement in the past: Sticker-based rent and through a requirement that
enforcement programs and computer- compliance be demonstrated before a
matching programs. States that did case can be closed;
not adopt an I/M program for any area (6) Ensure that evidence of testing is
of the State before November 15, 1990, available and checked for validity at
may not use an enforcement alter- the time of a new registration of a used
native in connection with an enhanced vehicle or registration renewal;
I/M program required to be adopted (7) Prevent owners or lessors from
after that date. avoiding testing through manipulation
(a) Registration denial. Registration of the title or registration system; title
denial enforcement is defined as reject- transfers may re-start the clock on the
ing an application for initial registra- inspection cycle only if proof of cur-
tion or reregistration of a used vehicle rent compliance is required at title
(i.e., a vehicle being registered after transfer;
the initial retail sale and associated (8) Prevent the fraudulent initial
registration) unless the vehicle has classification or reclassification of a
complied with the I/M requirement vehicle from subject to non-subject or
prior to granting the application. Pur- exempt by requiring proof of address
suant to section 207(g)(3) of the Act, changes prior to registration record
nothing in this subpart shall be con- modification, and documentation from
346
the testing program (or delegate) certi- cise definition of late registration
fying based on a physical inspection versus a non-complying vehicle shall
that the vehicle is exempt; be explained and justified in the SIP;
(9) Limit and track the use of time (iii) An alternative mechanism shall
extensions of the registration require- be considered more effective if the frac-
ment to prevent repeated extensions; tion of vehicles complying with the ex-
(10) Provide for meaningful penalties isting program, as determined accord-
for cases of registration fraud; ing to the requirements of this section,
(11) Limit and track exemptions to is greater than the fraction of vehicles
prevent abuse of the exemption policy complying with the registration re-
for vehicles claimed to be out-of-state; quirement. An alternative mechanism
and is as effective if the fraction complying
(12) Encourage enforcement of vehi- with the program is at least equal to
cle registration transfer requirements the fraction complying with the reg-
when vehicle owners move into the I/M istration requirement.
area by coordinating with local and (2) Sticker-based enforcement. In addi-
State enforcement agencies and struction to the general requirements, a
turing other activities (e.g., drivers li- sticker-based enforcement program
cense issuance) to effect registration shall demonstrate that the enforce-
transfers. ment mechanism will swiftly and effec-
(b) Alternative enforcement mecha- tively prevent operation of subject ve-
nisms—(1) General requirements. The pro- hicles that fail to comply. Such dem-
gram shall demonstrate that a non-reg- onstration shall include the following:
istration-based enforcement program is (i) An assessment of the current ex-
currently more effective than registra- tent of the following forms of non-com-
tion-denial enforcement in enhanced I/ pliance and demonstration that mecha-
M programs or, prospectively, as effec- nisms exist to keep such non-compli-
tive as registration denial in basic pro- ance within acceptable limits:
grams. The following general require- (A) Use of stolen, counterfeit, or
ments shall apply: fraudulently obtained stickers;
(i) For enhanced I/M programs, the (B) In States with safety inspections,
area in question shall have had an op- the use of ‘‘Safety Inspection Only’’
erating I/M program using the alter- stickers on vehicles that should be sub-
native mechanism prior to enactment ject to the I/M requirement as well; and
of the Clean Air Act Amendments of (C) Operation of vehicles with expired
1990. While modifications to improve stickers, including a stratification of
compliance may be made to the pro- non-compliance by length of non-
gram that was in effect at the time of compliance and model year.
enactment, the expected change in ef- (ii) The program as currently imple-
fectiveness cannot be considered in de- mented or as proposed to be improved
termining acceptability; shall also:
(ii) The State shall assess the alter- (A) Require an easily observed exter-
native program’s effectiveness, as well nal identifier such as the county name
as the current effectiveness of the reg- on the license plate, an obviously
istration system, including the fol- unique license plate tab, or other
lowing: means that shows whether or not a ve-
(A) Determine the number and per- hicle is subject to the I/M requirement;
centage of vehicles subject to the I/M (B) Require an easily observed exter-
program that were in compliance with nal identifier, such as a windshield
the program over the course of at least sticker or license plate tab that shows
one test cycle; and whether a subject vehicle is in compli-
(B) Determine the number and frac- ance with the inspection requirement;
tion of the same group of vehicles as in (C) Impose monetary fines at least as
paragraph (b)(1)(ii)(A) of this section great as the estimated cost of compli-
that were in compliance with the reg- ance with I/M requirements (e.g., test
istration requirement over the same fee plus minimum waiver expenditure)
period. Late registration shall not be for the absence of such identifiers;
considered non-compliance for the pur- (D) Require that such identifiers be
poses of this determination. The pre- of a quality that makes them difficult
347
§ 51.361 40 CFR Ch. I (7–1–21 Edition)
to counterfeit, difficult to remove (vi) Track each vehicle through the

without destroying once installed, and steps taken to ensure compliance, in-
durable enough to last until the next cluding:
inspection without fading, peeling, or (A) The compliance deadline;
other deterioration; (B) The date of initial notification;
(E) Perform surveys in a variety of (C) The dates warning letters are
locations and at different times for the sent to non-complying vehicle owners;
presence of the required identifiers
(D) The dates notices of violation or
such that at least 10% of the vehicles
other penalty notices are sent; and
or 10,000 vehicles (whichever is less) in
the subject vehicle population are sam- (E) The dates and outcomes of other
pled each year; steps in the process, including the final
(F) Track missing identifiers for all compliance date;
inspections performed at each station, (vii) Compile and report monthly
with stations being held accountable summaries including statistics on the
for all such identifiers they are issued; percentage of vehicles at each stage in
and the enforcement process; and
(G) Assess and collect significant (viii) Track the number and percent-
fines for each identifier that is unac- age of vehicles initially identified as
counted for by a station. requiring testing but which are never
(3) Computer matching. In addition to tested as a result of being junked, sold
the general requirements, computer- to a motorist in a non-I/M program
matching programs shall demonstrate area, or for some other reason.
that the enforcement mechanism will (c) SIP requirements. (1) The SIP shall
swiftly and effectively prevent oper- provide information concerning the en-
ation of subject vehicles that fail to forcement process, including:
comply. Such demonstration shall:
(i) A description of the existing com-
(i) Require an expeditious system
that results in at least 90% of the sub- pliance mechanism if it is to be used in
ject vehicles in compliance within 4 the future and the demonstration that
months of the compliance deadline; it is as effective or more effective than
(ii) Require that subject vehicles be registration-denial enforcement;
given compliance deadlines based on (ii) An identification of the agencies
the regularly scheduled test date, not responsible for performing each of the
the date of previous compliance; applicable activities in this section;
(iii) Require that motorists pay mon- (iii) A description of and accounting
etary fines at least as great as the esti- for all classes of exempt vehicles; and
mated cost of compliance with I/M re- (iv) A description of the plan for test-
quirements (e.g., test fee plus mining fleet vehicles, rental car fleets,
imum waiver expenditure) for the con- leased vehicles, and any other subject
tinued operation of a noncomplying ve- vehicles, e.g., those operated in (but
hicle beyond 4 months of the deadline; not necessarily registered in) the pro-
(iv) Require that continued non-com- gram area.
pliance will eventually result in pre- (2) The SIP shall include a deter-
venting operation of the non-com- mination of the current compliance
plying vehicle (no later than the date
rate based on a study of the system
of the next test cycle) through, at a
that includes an estimate of compli-
minimum, suspension of vehicle reg-
ance losses due to loopholes, counter-
istration and subsequent denial of re-
registration; feiting, and unregistered vehicles. Esti-
(v) Demonstrate that the computer mates of the effect of closing such
system currently in use is adequate to loopholes and otherwise improving the
store and manipulate the I/M vehicle enforcement mechanism shall be sup-
database, generate computerized no- ported with detailed analyses.
tices, and provide regular backup to (3) The SIP shall include the legal au-
said system while maintaining auxil- thority to implement and enforce the
iary storage devices to insure ongoing program.
operation of the system and prevent (4) The SIP shall include a commit-
data losses; ment to an enforcement level to be
348
used for modeling purposes and to be (9) Enforcement procedures for dis-
maintained, at a minimum, in practice. ciplining, retraining, or removing en-
forcement personnel who deviate from
FR 49682, Sept. 23, 1996] established requirements, or in the
case of non-government entities that
§ 51.362 Motorist compliance enforce- process registrations, for
ment program oversight. defranchising, revoking or otherwise
The enforcement program shall be discontinuing the activity of the entity
audited regularly and shall follow ef- issuing registrations; and
fective program management prac- (10) The prevention of fraudulent pro-
tices, including adjustments to im- curement or use of inspection docu-
prove operation when necessary. ments by controlling and tracking doc-
(a) Quality assurance and quality con- ument distribution and handling, and
trol. A quality assurance program shall making stations financially liable for
be implemented to insure effective missing or unaccounted for documents
overall performance of the enforcement by assessing monetary fines reflecting
system. Quality control procedures are the ‘‘street value’’ of these documents
required to instruct individuals in the (i.e., the test fee plus the minimum
enforcement process regarding how to waiver expenditure).
properly conduct their activities. At a (b) Information management. In estab-
minimum, the quality control and lishing an information base to be used
quality assurance program shall in- in characterizing, evaluating, and en-
clude: forcing the program, the State shall:
(1) Verification of exempt vehicle (1) Determine the subject vehicle
status by inspecting and confirming population;
such vehicles by the program or its del- (2) Permit EPA audits of the enforce-
egate; ment process;
(2) Facilitation of accurate critical (3) Assure the accuracy of registra-
test data and vehicle identifier collection and other program document files;
tion through the use of automatic data (4) Maintain and ensure the accuracy
capture systems such as bar-code scan- of the testing database through peri-
ners or optical character readers, or odic internal and/or third-party review;
through redundant data entry (where (5) Compare the testing database to
applicable); the registration database to determine
(3) Maintenance of an audit trail to program effectiveness, establish com-
allow for the assessment of enforce- pliance rates, and to trigger potential
ment effectiveness; enforcement action against non-com-
(4) Establishment of written proce- plying motorists; and
dures for personnel directly engaged in (6) Sample the fleet as a determina-
I/M enforcement activities; tion of compliance through parking lot
(5) Establishment of written proce- surveys, road-side pull-overs, or other
dures for personnel engaged in I/M doc- in-use vehicle measurements.
ument handling and processing, such as (c) SIP requirements. The SIP shall in-
registration clerks or personnel include a description of enforcement pro-
volved in sticker dispensing and waiver gram oversight and information man-
processing, as well as written proce- agement activities.
dures for the auditing of their perform-
ance; [57 FR 52987, Nov. 5, 1992, as amended at 65
(6) Follow-up validity checks on out- FR 45534, July 24, 2000]
of-area or exemption-triggering reg-
istration changes; § 51.363 Quality assurance.
(7) Analysis of registration-change An ongoing quality assurance pro-
applications to target potential viola- gram shall be implemented to discover,
tors; correct and prevent fraud, waste, and
(8) A determination of enforcement abuse and to determine whether proce-
program effectiveness through periodic dures are being followed, are adequate,
audits of test records and program whether equipment is measuring accu-
compliance documentation; rately, and whether other problems
349
§ 51.363 40 CFR Ch. I (7–1–21 Edition)
might exist which would impede pro- subsequent retesting if the vehicle is
gram performance. The quality assur- initially failed for tailpipe emissions
ance and quality control procedures (this activity may be accomplished in
shall be periodically evaluated to as- conjunction with paragraph (a)(4)(ii) of
sess their effectiveness and relevance this section but must involve each sta-
in achieving program goals. tion at least once per year);
(a) Performance audits. Performance (iv) Documentation of the audit, in-
audits shall be conducted on a regular cluding vehicle condition and prepara-
basis to determine whether inspectors tion, sufficient for building a legal case
are correctly performing all tests and and establishing a performance record;
other required functions. Performance (v) Covert vehicles covering the
audits shall be of two types: overt and range of vehicle technology groups
covert, and shall include: (e.g., carbureted and fuel-injected vehi-
(1) Performance audits based upon cles) included in the program, includ-
written procedures and results shall be ing a full range of introduced malfunc-
reported using either electronic or tions covering the emission test, the
written forms to be retained in the in- evaporative system tests, and emission
spector and station history files, with control component checks (as applica-
sufficient detail to support either an ble);
administrative or civil hearing; (vi) Sufficient numbers of covert ve-
(2) Performance audits in addition to hicles and auditors to allow for fre-
regularly programmed audits for sta- quent rotation of both to prevent de-
tions employing inspectors suspected tection by station personnel; and
of violating regulations as a result of (vii) Where applicable, access to on-
audits, data analysis, or consumer line inspection databases by State per-
complaints; sonnel to permit the creation and
(3) Overt performance audits shall be maintenance of covert vehicle records.
performed at least twice per year for
(b) Record audits. Station and inspec-
each lane or test bay and shall include:
tor records shall be reviewed or
(i) A check for the observance of ap-
screened at least monthly to assess
propriate document security;
station performance and identify prob-
(ii) A check to see that required
lems that may indicate potential fraud
record keeping practices are being fol-
or incompetence. Such review shall in-
lowed;
clude:
(iii) A check for licenses or certifi-
cates and other required display infor- (1) Automated record analysis to
mation; and identify statistical inconsistencies, un-
usual patterns, and other discrep-
(iv) Observation and written evalua-
ancies;
tion of each inspector’s ability to prop-
erly perform an inspection; (2) Visits to inspection stations to re-
(4) Covert performance audits shall view records not already covered in the
include: electronic analysis (if any); and
(i) Remote visual observation of in- (3) Comprehensive accounting for all
spector performance, which may in- official forms that can be used to dem-
clude the use of aids such as binoculars onstrate compliance with the program.
or video cameras, at least once per (c) Equipment audits. During overt
year per inspector in high-volume sta- site visits, auditors shall conduct qual-
tions (i.e., those performing more than ity control evaluations of the required
4000 tests per year); test equipment, including (where appli-
(ii) Site visits at least once per year cable):
per number of inspectors using covert (1) A gas audit using gases of known
vehicles set to fail (this requirement concentrations at least as accurate as
sets a minimum level of activity, not a those required for regular equipment
requirement that each inspector be in- quality control and comparing these
volved in a covert audit); concentrations to actual readings;
(iii) For stations that conduct both (2) A check for tampering, worn in-
testing and repairs, at least one covert strumentation, blocked filters, and
vehicle visit per station per year in- other conditions that would impede ac-
cluding the purchase of repairs and curate sampling;
350
(3) A check for critical flow in crit- strategies that would ultimately ham-
ical flow CVS units; per the enforcement process.
(4) A check of the Constant Volume
Sampler flow calibration; FR 45534, July 24, 2000]
(5) A check for the optimization of
the Flame Ionization Detection fuel-air § 51.364 Enforcement against contrac-
ratio using methane; tors, stations and inspectors.
(6) A leak check; Enforcement against licensed sta-
(7) A check to determine that station tions or contractors, and inspectors
gas bottles used for calibration pur- shall include swift, sure, effective, and
poses are properly labelled and within consistent penalties for violation of
the relevant tolerances; program requirements.
(8) Functional dynamometer checks (a) Imposition of penalties. A penalty
addressing coast-down, roll speed and schedule shall be developed that estab-
roll distance, inertia weight selection, lishes minimum penalties for viola-
and power absorption; tions of program rules and procedures.
(9) A check of the system’s ability to (1) The schedule shall categorize and
accurately detect background pollut- list violations and the minimum pen-
ant concentrations; alties to be imposed for first, second,
(10) A check of the pressure moni- and subsequent violations and for mul-
toring devices used to perform the tiple violation of different require-
evaporative canister pressure test(s); ments. In the case of contracted sys-
and tems, the State may use compensation
(11) A check of the purge flow meter- retainage in lieu of penalties.
ing system. (2) Substantial penalties or retainage
(d) Auditor training and proficiency. (1) shall be imposed on the first offense for
Auditors shall be formally trained and violations that directly affect emission
knowledgeable in: reduction benefits. At a minimum, in
(i) The use of test equipment and/or test-and-repair programs inspector and
procedures; station license suspension shall be im-
(ii) Program rules and regulations; posed for at least 6 months whenever a
(iii) The basics of air pollution con- vehicle is intentionally improperly
trol; passed for any required portion of the
(iv) Basic principles of motor vehicle test. In test-only programs, inspectors
engine repair, related to emission per- shall be removed from inspector duty
formance; for at least 6 months (or a retainage
(v) Emission control systems; penalty equivalent to the inspector’s
(vi) Evidence gathering; salary for that period shall be im-
(vii) State administrative procedures posed).
laws; (3) All findings of serious violations
(viii) Quality assurance practices; of rules or procedural requirements
and shall result in mandatory fines or
(ix) Covert audit procedures. retainage. In the case of gross neglect,
(2) Auditors shall themselves be au- a first offense shall result in a fine or
dited at least once annually. retainage of no less than $100 or 5 times
(3) The training and knowledge re- the inspection fee, whichever is great-
quirements in paragraph (d)(1) of this er, for the contractor or the licensed
section may be waived for temporary station, and the inspector if involved.
auditors engaged solely for the purpose (4) Any finding of inspector incom-
of conducting covert vehicle runs. petence shall result in mandatory
(e) SIP requirements. The SIP shall in- training before inspection privileges
clude a description of the quality as- are restored.
surance program, and written proce- (5) License or certificate suspension
dures manuals covering both overt and or revocation shall mean the individual
covert performance audits, record au- is barred from direct or indirect in-
dits, and equipment audits. This re- volvement in any inspection operation
quirement does not include materials during the term of the suspension or
or discussion of details of enforcement revocation.
351
§ 51.365 40 CFR Ch. I (7–1–21 Edition)
(b) Legal authority. (1) The quality as- ments, the resources to be allocated to
surance officer shall have the author- this function, and the source of those
ity to temporarily suspend station and funds. In States without immediate
inspector licenses or certificates (after suspension authority, the SIP shall
approval of a superior) immediately demonstrate that sufficient resources,
upon finding a violation or equipment personnel, and systems are in place to
failure that directly affects emission meet the three day case management
reduction benefits, pending a hearing requirement for violations that di-
when requested. In the case of imme- rectly affect emission reductions.
diate suspension, a hearing shall be (e) Alternative quality assurance pro-
held within fourteen calendar days of a cedures or frequencies that achieve
written request by the station licensee equivalent or better results may be ap-
or the inspector. Failure to hold a proved by the Administrator. Statis-
hearing within 14 days when requested tical process control shall be used
shall cause the suspension to lapse. In whenever possible to demonstrate the
the event that a State’s constitution efficacy of alternatives.
precludes such a temporary license sus- (f) Areas that qualify for and choose
pension, the enforcement system shall to implement an OTR low enhanced I/M
be designed with adequate resources program, as established in § 51.351(h),
and mechanisms to hold a hearing to and that claim in their SIP less emis-
suspend or revoke the station or in- sion reduction credit than the basic
spector license within three station performance standard for one or more
business days of the finding. pollutants, are not required to meet
(2) The oversight agency shall have the oversight specifications of this sec-
the authority to impose penalties tion.
against the licensed station or con- [57 FR 52987, Nov. 5, 1992, as amended at 61
tractor, as well as the inspector, even FR 39037, July 25, 1996]
if the licensee or contractor had no di-
rect knowledge of the violation but was § 51.365 Data collection.
found to be careless in oversight of in- Accurate data collection is essential
spectors or has a history of violations. to the management, evaluation, and
Contractors and licensees shall be held enforcement of an I/M program. The
fully responsible for inspector perform- program shall gather test data on indi-
ance in the course of duty. vidual vehicles, as well as quality con-
(c) Recordkeeping. The oversight trol data on test equipment (with the
agency shall maintain records of all exception of test procedures for which
warnings, civil fines, suspensions, rev- either no testing equipment is required
ocations, and violations and shall com- or those test procedures relying upon a
pile statistics on violations and pen- vehicle’s OBD system).
alties on an annual basis. (a) Test data. The goal of gathering
(d) SIP requirements. (1) The SIP shall test data is to unambiguously link spe-
include the penalty schedule and the cific test results to a specific vehicle, I/
legal authority for establishing and im- M program registrant, test site, and in-
posing penalties, civil fines, license spector, and to determine whether or
suspension, and revocations. not the correct testing parameters
(2) In the case of State constitutional were observed for the specific vehicle
impediments to immediate suspension in question. In turn, these data can be
authority, the State Attorney General used to distinguish complying and non-
shall furnish an official opinion for the complying vehicles as a result of ana-
SIP explaining the constitutional im- lyzing the data collected and com-
pediment as well as relevant case law. paring it to the registration database,
(3) The SIP shall describe the admin- to screen inspection stations and in-
istrative and judicial procedures and spectors for investigation as to possible
responsibilities relevant to the enforce- irregularities, and to help establish the
ment process, including which agen- overall effectiveness of the program.
cies, courts, and jurisdictions are in- At a minimum, the program shall col-
volved; who will prosecute and adju- lect the following with respect to each
dicate cases; and other aspects of the test conducted:
enforcement of the program require- (1) Test record number;
352
(2) Inspection station and inspector (b) Quality control data. At a min-
numbers; imum, the program shall gather and re-
(3) Test system number (where appli- port the results of the quality control
cable); checks required under § 51.359 of this
(4) Date of the test; subpart, identifying each check by sta-
(5) Emission test start time and the tion number, system number, date, and
time final emission scores are deter- start time. The data report shall also
mined; contain the concentration values of the
(6) Vehicle Identification Number; calibration gases used to perform the
(7) License plate number; gas characterization portion of the
(8) Test certificate number; quality control checks (where applica-
(9) Gross Vehicle Weight Rating ble).
(GVWR); [57 FR 52987, Nov. 5, 1992, as amended at 61
(10) Vehicle model year, make, and FR 40945, Aug. 6, 1996; 65 FR 45534, July 24,
type; 2000]
(11) Number of cylinders or engine
displacement; § 51.366 Data analysis and reporting.
(12) Transmission type; Data analysis and reporting are re-
(13) Odometer reading; quired to allow for monitoring and
(14) Category of test performed (i.e., evaluation of the program by program
initial test, first retest, or subsequent management and EPA, and shall pro-
retest); vide information regarding the types of
(15) Fuel type of the vehicle (i.e., gas, program activities performed and their
diesel, or other fuel); final outcomes, including summary
(16) Type of vehicle preconditioning statistics and effectiveness evaluations
performed (if any); of the enforcement mechanism, the
(17) Emission test sequence(s) used; quality assurance system, the quality
(18) Hydrocarbon emission scores and control program, and the testing ele-
standards for each applicable test ment. Initial submission of the fol-
mode; lowing annual reports shall commence
(19) Carbon monoxide emission scores within 18 months of initial implemen-
and standards for each applicable test tation of the program as required by
mode; § 51.373 of this subpart. The biennial re-
(20) Carbon dioxide emission scores port shall commence within 30 months
(CO + CO2) and standards for each ap- of initial implementation of the pro-
plicable test mode; gram as required by § 51.373 of this sub-
(21) Nitrogen oxides emission scores part.
and standards for each applicable test (a) Test data report. The program
mode; shall submit to EPA by July of each
(22) Results (Pass/Fail/Not Applica- year a report providing basic statistics
ble) of the applicable visual inspections on the testing program for January
for the catalytic converter, air system, through December of the previous year,
gas cap, evaporative system, positive including:
crankcase ventilation (PCV) valve, fuel (1) The number of vehicles tested by
inlet restrictor, and any other visual model year and vehicle type;
inspection for which emission reduc- (2) By model year and vehicle type,
tion credit is claimed; the number and percentage of vehicles:
(23) Results of the evaporative sys- (i) Failing initially, per test type;
tem pressure test(s) expressed as a pass (ii) Failing the first retest per test
or fail; type;
(24) Results of the evaporative sys- (iii) Passing the first retest per test
tem purge test expressed as a pass or type;
fail along with the total purge flow in (iv) Initially failed vehicles passing
liters achieved during the test (where the second or subsequent retest per
applicable); and test type;
(25) Results of the on-board diag- (v) Initially failed vehicles receiving
nostic check expressed as a pass or fail a waiver; and
along with the diagnostic trouble codes (vi) Vehicles with no known final
revealed (where applicable). outcome (regardless of reason).
353
§ 51.366 40 CFR Ch. I (7–1–21 Edition)
(vii)–(x) [Reserved] (i) Receiving overt performance au-

(xi) Passing the on-board diagnostic dits in the year;
check; (ii) Not receiving overt performance
(xii) Failing the on-board diagnostic audits in the year;
check; (iii) Receiving covert performance
(xiii) Failing the on-board diagnostic audits in the year;
check and passing the tailpipe test (if (iv) Not receiving covert performance
applicable); audits in the year; and
(xiv) Failing the on-board diagnostic (v) That have been shut down as a re-
check and failing the tailpipe test (if sult of overt performance audits;
applicable); (3) The number of covert audits:
(xv) Passing the on-board diagnostic (i) Conducted with the vehicle set to
check and failing the I/M gas cap evap- fail per test type;
orative system test (if applicable); (ii) Conducted with the vehicle set to
(xvi) Failing the on-board diagnostic fail any combination of two or more
check and passing the I/M gas cap evap- test types;
orative system test (if applicable); (iii) Resulting in a false pass per test
(xvii) Passing both the on-board diag- type;
nostic check and I/M gas cap evapo- (iv) Resulting in a false pass for any
rative system test (if applicable); combination of two or more test types;
(xviii) Failing both the on-board di- (v)–(viii) [Reserved]
agnostic check and I/M gas cap evapo-
(4) The number of inspectors and sta-
rative system test (if applicable);
tions:
(xix) MIL is commanded on and no
(i) That were suspended, fired, or oth-
codes are stored;
erwise prohibited from testing as a re-
(xx) MIL is not commanded on and
sult of covert audits;
codes are stored;
(xxi) MIL is commanded on and codes (ii) That were suspended, fired, or
are stored; otherwise prohibited from testing for
(xxii) MIL is not commanded on and other causes; and
codes are not stored; (iii) That received fines;
(xxiii) Readiness status indicates (5) The number of inspectors licensed
that the evaluation is not complete for or certified to conduct testing;
any module supported by on-board di- (6) The number of hearings:
agnostic systems; (i) Held to consider adverse actions
(3) The initial test volume by model against inspectors and stations; and
year and test station; (ii) Resulting in adverse actions
(4) The initial test failure rate by against inspectors and stations;
model year and test station; and (7) The total amount collected in
(5) The average increase or decrease fines from inspectors and stations by
in tailpipe emission levels for HC, CO, type of violation;
and NOX (if applicable) after repairs by (8) The total number of covert vehi-
model year and vehicle type for vehicles available for undercover audits
cles receiving a mass emissions test. over the year; and
(b) Quality assurance report. The pro- (9) The number of covert auditors
gram shall submit to EPA by July of available for undercover audits.
each year a report providing basic sta- (c) Quality control report. The pro-
tistics on the quality assurance program shall submit to EPA by July of
gram for January through December of each year a report providing basic sta-
the previous year, including: tistics on the quality control program
(1) The number of inspection stations for January through December of the
and lanes: previous year, including:
(i) Operating throughout the year; (1) The number of emission testing
and sites and lanes in use in the program;
(ii) Operating for only part of the (2) The number of equipment audits
year; by station and lane;
(2) The number of inspection stations (3) The number and percentage of sta-
and lanes operating throughout the tions that have failed equipment au-
year: dits; and
354
(4) Number and percentage of sta- (iii) The number of enforcement sys-
tions and lanes shut down as a result of tem audits, and the error rate found
equipment audits. during those audits.
(d) Enforcement report. (1) All vari- (4) Sticker-based enforcement sys-
eties of enforcement programs shall, at tems shall provide the following addi-
a minimum, submit to EPA by July of tional information:
each year a report providing basic sta- (i) A report on the program’s efforts
tistics on the enforcement program for to prevent, detect, and enforce against
January through December of the pre- sticker theft and counterfeiting, and
vious year, including: the frequency of this type of activity;
(i) An estimate of the number of ve- (ii) A report on the program’s efforts
hicles subject to the inspection pro- to detect and enforce against motorists
gram, including the results of an anal- falsely changing vehicle classifications
ysis of the registration data base; to circumvent program requirements,
(ii) The percentage of motorist com- and the frequency of this type of activ-
pliance based upon a comparison of the ity; and
number of valid final tests with the (iii) The number of parking lot stick-
number of subject vehicles; er audits conducted, the number of ve-
(iii) The total number of compliance hicles surveyed in each, and the non-
documents issued to inspection sta- compliance rate found during those au-
tions; dits.
(e) Additional reporting requirements.
(iv) The number of missing compli-
In addition to the annual reports in
ance documents;
paragraphs (a) through (d) of this sec-
(v) The number of time extensions tion, programs shall submit to EPA by
and other exemptions granted to mo- July of every other year, biennial re-
torists; and ports addressing:
(vi) The number of compliance sur- (1) Any changes made in program de-
veys conducted, number of vehicles sign, funding, personnel levels, proce-
surveyed in each, and the compliance dures, regulations, and legal authority,
rates found. with detailed discussion and evaluation
(2) Registration denial based enforce- of the impact on the program of all
ment programs shall provide the fol- such changes; and
lowing additional information: (2) Any weaknesses or problems iden-
(i) A report of the program’s efforts tified in the program within the two-
and actions to prevent motorists from year reporting period, what steps have
falsely registering vehicles out of the already been taken to correct those
program area or falsely changing fuel problems, the results of those steps,
type or weight class on the vehicle reg- and any future efforts planned.
istration, and the results of special (f) SIP requirements. The SIP shall de-
studies to investigate the frequency of scribe the types of data to be collected.
such activity; and
(ii) The number of registration file FR 40945, Aug. 6, 1996; 65 FR 45534, July 24,
audits, number of registrations re- 2000; 66 FR 18178, Apr. 5, 2001]
viewed, and compliance rates found in
such audits. § 51.367 Inspector training and licens-
(3) Computer-matching based en- ing or certification.
forcement programs shall provide the All inspectors shall receive formal
following additional information: training and be licensed or certified to
(i) The number and percentage of perform inspections.
subject vehicles that were tested by (a) Training. (1) Inspector training
the initial deadline, and by other mile- shall impart knowledge of the fol-
stones in the cycle; lowing:
(ii) A report on the program’s efforts (i) The air pollution problem, its
to detect and enforce against motorists causes and effects;
falsely changing vehicle classifications (ii) The purpose, function, and goal of
to circumvent program requirements, the inspection program;
and the frequency of this type of activ- (iii) Inspection regulations and pro-
ity; and cedures;
355
§ 51.368 40 CFR Ch. I (7–1–21 Edition)
(iv) Technical details of the test pro- privilege bestowed by the program con-
cedures and the rationale for their de- ditional upon adherence to program re-
sign; quirements.
(v) Emission control device function, (c) SIP requirements. The SIP shall in-
configuration, and inspection; clude a description of the training pro-
(vi) Test equipment operation, cali- gram, the written and hands-on tests,
bration, and maintenance (with the ex- and the licensing or certification proc-
ception of test procedures which either ess.
do not require the use of special equip-
ment or which rely upon a vehicle’s [57 FR 52987, Nov. 5, 1992, as amended at 65
OBD system); FR 45534, July 24, 2000]
(vii) Quality control procedures and
their purpose; § 51.368 Public information and con-
(viii) Public relations; and sumer protection.
(ix) Safety and health issues related (a) Public awareness. The SIP shall in-
to the inspection process. clude a plan for informing the public
(2) If inspector training is not admin- on an ongoing basis throughout the life
istered by the program, the responsible of the I/M program of the air quality
State agency shall monitor and evalu- problem, the requirements of Federal
ate the training program delivery. and State law, the role of motor vehi-
(3) In order to complete the training cles in the air quality problem, the
requirement, a trainee shall pass (i.e., a need for and benefits of an inspection
minimum of 80% of correct responses program, how to maintain a vehicle in
or lower if an occupational analysis a low-emission condition, how to find a
justifies it) a written test covering all
qualified repair technician, and the re-
aspects of the training. In addition, a
quirements of the I/M program. Motor-
hands-on test shall be administered in
which the trainee demonstrates with- ists that fail the I/M test in enhanced I/
out assistance the ability to conduct a M areas shall be offered a list of repair
proper inspection and to follow other facilities in the area and information
required procedures. Inability to prop- on the results of repairs performed by
erly conduct all test procedures shall repair facilities in the area, as de-
constitute failure of the test. The pro- scribed in § 51.369(b)(1) of this subpart.
gram shall take appropriate steps to Motorists that fail the I/M test shall
insure the security and integrity of the also be provided with information con-
testing process. cerning the possible cause(s) for failing
(b) Licensing and certification. (1) All the particular portions of the test that
inspectors shall be either licensed by were failed.
the program (in the case of test-and-re- (b) Consumer protection. The oversight
pair systems that do not use contracts agency shall institute procedures and
with stations) or certified by an orga- mechanisms to protect the public from
nization other than the employer (in fraud and abuse by inspectors, mechan-
test-only programs and test-and-repair ics, and others involved in the I/M pro-
programs that require station owners gram. This shall include a challenge
to enter into contracts with the State) mechanism by which a vehicle owner
in order to perform official inspections. can contest the results of an inspec-
(2) Completion of inspector training
tion. It shall include mechanisms for
and passing required tests shall be a
protecting whistle blowers and fol-
condition of licensing or certification.
lowing up on complaints by the public
(3) Inspector licenses and certificates
shall be valid for no more than 2 years, or others involved in the process. It
at which point refresher training and shall include a program to assist own-
testing shall be required prior to re- ers in obtaining warranty covered re-
newal. Alternative approaches based on pairs for eligible vehicles that fail a
more comprehensive skill examination test. The SIP shall include a detailed
and determination of inspector com- consumer protection plan.
petency may be used. [57 FR 52987, Nov. 5, 1992, as amended at 65
(4) Licenses or certificates shall not FR 45534, July 24, 2000]
be considered a legal right but rather a
356
§ 51.369 Improving repair effective- which repairs were performed, as well

ness. as any technician recommended repairs
Effective repairs are the key to that were not performed, and identi-
achieving program goals and the State fication of the facility that performed
shall take steps to ensure the capa- the repairs.
bility exists in the repair industry to (c) Repair technician training. The
repair vehicles that fail I/M tests. State shall assess the availability of
(a) Technical assistance. The oversight adequate repair technician training in
agency shall provide the repair indus- the I/M area and, if the types of train-
try with information and assistance re- ing described in paragraphs (c)(1)
lated to vehicle inspection diagnosis through (4) of this section are not cur-
and repair. rently available, shall insure that
(1) The agency shall regularly inform training is made available to all inter-
repair facilities of changes in the in- ested individuals in the community ei-
spection program, training course ther through private or public facili-
schedules, common problems being ties. This may involve working with
found with particular engine families, local community colleges or vocational
diagnostic tips and the like. schools to add curricula to existing
(2) The agency shall provide a hot programs or start new programs or it
line service to assist repair technicians might involve attracting private train-
with specific repair problems, answer ing providers to offer classes in the
technical questions that arise in the
area. The training available shall in-
repair process, and answer questions
clude:
related to the legal requirements of
State and Federal law with regard to (1) Diagnosis and repair of malfunc-
emission control device tampering, en- tions in computer controlled, close-
gine switching, or similar issues. loop vehicles;
(b) Performance monitoring. (1) In en- (2) The application of emission con-
hanced I/M program areas, the over- trol theory and diagnostic data to the
sight agency shall monitor the per- diagnosis and repair of failures on the
formance of individual motor vehicle transient emission test and the evapo-
repair facilities, and provide to the rative system functional checks (where
public at the time of initial failure, a applicable);
summary of the performance of local (3) Utilization of diagnostic informa-
repair facilities that have repaired ve- tion on systematic or repeated failures
hicles for retest. Performance moni- observed in the transient emission test
toring shall include statistics on the and the evaporative system functional
number of vehicles submitted for a checks (where applicable); and
retest after repair by the repair facil- (4) General training on the various
ity, the percentage passing on first subsystems related to engine emission
retest, the percentage requiring more control.
than one repair/retest trip before pass- (d) SIP requirements. The SIP shall in-
ing, and the percentage receiving a clude a description of the technical as-
waiver. Programs may provide motor- sistance program to be implemented, a
ists with alternative statistics that description of the procedures and cri-
convey similar information on the rel- teria to be used in meeting the per-
ative ability of repair facilities in pro- formance monitoring requirements of
viding effective and convenient repair, this section, and a description of the
in light of the age and other character- repair technician training resources
istics of vehicles presented for repair available in the community.
at each facility.
(2) Programs shall provide feedback, [57 FR 52987, Nov. 5, 1992, as amended at 65
including statistical and qualitative FR 45535, July 24, 2000]
information to individual repair facili-
ties on a regular basis (at least annu- § 51.370 Compliance with recall no-
tices.
ally) regarding their success in repair-
ing failed vehicles. States shall establish methods to en-
(3) A prerequisite for a retest shall be sure that vehicles subject to enhanced
a completed repair form that indicates I/M and that are included in either a
357
§ 51.371 40 CFR Ch. I (7–1–21 Edition)
‘‘Voluntary Emissions Recall’’ as de- (c) Reporting requirements. The State

fined at 40 CFR 85.1902(d), or in a reme- shall submit to EPA, by July of each
dial plan determination made pursuant year for the previous calendar year, an
to section 207(c) of the Act, receive the annual report providing the following
required repairs. States shall require information:
that owners of recalled vehicles have (1) The number of vehicles in the I/M
the necessary recall repairs completed, area initially listed as having unre-
either in order to complete an annual solved recalls, segregated by recall
or biennial inspection process or to ob- campaign number;
tain vehicle registration renewal. All (2) The number of recalled vehicles
recalls for which owner notification oc- brought into compliance by owners;
curs after January 1, 1995 shall be in- (3) The number of listed vehicles with
cluded in the enhanced I/M recall re- unresolved recalls that, as of the end of
quirement. the calendar year, were not yet due for
(a) General requirements. (1) The State inspection or registration;
shall have an electronic means to iden- (4) The number of recalled vehicles
tify recalled vehicles based on lists of still in non-compliance that have ei-
VINs with unresolved recalls made ther failed inspection or been denied
available by EPA, the vehicle manufac- registration on the basis of non-compli-
turers, or a third party supplier ap- ance with recall; and
proved by the Administrator. The (5) The number of recalled vehicles
State shall update its list of unresolved that are otherwise not in compliance.
recalls on a quarterly basis at a min- (d) SIP submittals. The SIP shall de-
imum. scribe the procedures used to incor-
(2) The State shall require owners or porate the vehicle lists provided in
lessees of vehicles with unresolved re- paragraph (a)(1) of this section into the
calls to show proof of compliance with inspection or registration database, the
recall notices in order to complete ei- quality control methods used to insure
ther the inspection or registration that recall repairs are properly docu-
cycle. mented and tracked, and the method
(3) Compliance shall be required on (inspection failure or registration de-
the next registration or inspection nial) used to enforce the recall require-
date, allowing a reasonable period to ments.
comply, after notification of recall was
received by the State. § 51.371 On-road testing.
(b) Enforcement. (1) A vehicle shall ei- On-road testing is defined as testing
ther fail inspection or be denied vehicle of vehicles for conditions impacting
registration if the required recall re- the emission of HC, CO, NOX and/or CO2
pairs have not been completed. emissions on any road or roadside in
(2) In the case of vehicles obtaining the nonattainment area or the I/M pro-
recall repairs but remaining on the up- gram area. On-road testing is required
dated list provided in paragraph (a)(1) in enhanced I/M areas and is an option
of this section, the State shall have a for basic I/M areas.
means of verifying completion of the (a) General requirements. (1) On-road
required repairs; electronic records or testing is to be part of the emission
paper receipts provided by the author- testing system, but is to be a com-
ized repair facility shall be required. plement to testing otherwise required.
The vehicle inspection or registration (2) On-road testing is not required in
record shall be modified to include (or every season or on every vehicle but
be supplemented with other VIN-linked shall evaluate the emission perform-
records which include) the recall cam- ance of 0.5% of the subject fleet state-
paign number(s) and the date(s) repairs wide or 20,000 vehicles, whichever is
were performed. Documentation less, per inspection cycle.
verifying required repairs shall include (3) The on-road testing program shall
the following: provide information about the perform-
(i) The VIN, make, and model year of ance of in-use vehicles, by measuring
the vehicle; and on-road emissions through the use of
(ii) The recall campaign number and remote sensing devices or by assessing
the date repairs were completed. vehicle emission performance through
358
roadside pullovers including tailpipe or (1) A schedule of implementation of

evaporative emission testing or a the program including interim mile-
check of the onboard diagnostic (OBD) stones leading to mandatory testing.
system for vehicles so equipped. The The milestones shall include, at a min-
program shall collect, analyze and re- imum:
port on-road testing data. (i) Passage of enabling statutory or
(4) Owners of vehicles that have pre- other legal authority;
viously been through the normal peri- (ii) Proposal of draft regulations and
odic inspection and passed the final promulgation of final regulations;
retest and found to be high emitters (iii) Issuance of final specifications
shall be notified that the vehicles are and procedures;
required to pass an out-of-cycle follow- (iv) Issuance of final Request for Pro-
up inspection; notification may be by posals (if applicable);
mailing in the case of remote sensing (v) Licensing or certifications of sta-
on-road testing or through immediate tions and inspectors;
notification if roadside pullovers are (vi) The date mandatory testing will
used. begin for each model year to be covered
(b) SIP requirements. (1) The SIP shall by the program;
include a detailed description of the (vii) The date full-stringency
on-road testing program, including the cutpoints will take effect;
types of testing, test limits and cri- (viii) All other relevant dates;
teria, the number of vehicles (the per- (2) An analysis of emission level tar-
centage of the fleet) to be tested, the gets for the program using the most
number of employees to be dedicated to current EPA mobile source emission
the on-road testing effort, the methods model or an alternative approved by
for collecting, analyzing, utilizing, and the Administrator showing that the
reporting the results of on-road testing program meets the performance stand-
and, the portion of the program budget ard described in § 51.351 or § 51.352 of
to be dedicated to on-road testing. this subpart, as applicable;
(2) The SIP shall include the legal au- (3) A description of the geographic
thority necessary to implement the on- coverage of the program, including ZIP
road testing program, including the au- codes if the program is not county-
thority to enforce off-cycle inspection wide;
and repair requirements (where appli- (4) A detailed discussion of each of
cable). the required design elements, including
(3) Emission reduction credit for on- provisions for Federal facility compli-
road testing programs shall be granted ance;
for a program designed to obtain meas- (5) Legal authority requiring or al-
urable emission reductions over and lowing implementation of the I/M pro-
above those already predicted to be gram and providing either broad or spe-
achieved by other aspects of the I/M cific authority to perform all required
program. Emission reduction credit elements of the program;
will only be granted to those programs (6) Legal authority for I/M program
which require out-of-cycle repairs for operation until such time as it is no
confirmed high-emitting vehicles iden- longer necessary (i.e., until a Section
tified under the on-road testing pro- 175 maintenance plan without an I/M
gram. The SIP shall include technical program is approved by EPA);
support for the claimed additional (7) Implementing regulations, inter-
emission reductions. agency agreements, and memoranda of
understanding; and
[57 FR 52987, Nov. 5, 1992, as amended at 65 (8) Evidence of adequate funding and
FR 45535, July 24, 2000] resources to implement all aspects of
the program.
§ 51.372 State Implementation Plan (b) Submittal schedule. The SIP shall
submissions. be submitted to EPA according to the
(a) SIP submittals. The SIP shall ad- following schedule—
dress each of the elements covered in (1) [Reserved]
this subpart, including, but not limited (2) A SIP revision required as a result
to: of a change in an area’s designation or
359
§ 51.373 40 CFR Ch. I (7–1–21 Edition)
classification under a NAAQS for program no more than 18 months after

ozone, including all necessary legal au- notification by EPA.
thority and the items specified in para- (d) Basic areas continuing operation
graphs (a)(1) through (8) of this section, of I/M programs as part of their main-
shall be submitted no later than the tenance plan without implemented up-
deadline for submitting the area’s at- grades shall be assumed to be 80% as
tainment SIP for the NAAQS in ques- effective as an implemented, upgraded
tion. version of the same I/M program de-
(3) [Reserved] sign, unless a State can demonstrate
(c) Redesignation requests. Any non- using operating information that the I/
attainment area that EPA determines M program is more effective than the
would otherwise qualify for redesigna- 80% level.
tion from nonattainment to attain- (e) SIP submittals to correct violations.
ment shall receive full approval of a SIP submissions required pursuant to a
State Implementation Plan (SIP) sub- violation of the ambient ozone or CO
mittal under Sections 182(a)(2)(B) or standard (as discussed in paragraph (c)
182(b)(4) if the submittal contains the
of this section) shall address all of the
following elements:
requirements of this subpart. The SIP
(1) Legal authority to implement a
shall demonstrate that performance
basic I/M program (or enhanced if the
standards in either § 51.351 or § 51.352
State chooses to opt up) as required by
shall be met using an evaluation date
this subpart. The legislative authority
(rounded to the nearest January for
for an I/M program shall allow the
adoption of implementing regulations carbon monoxide and July for hydro-
without requiring further legislation. carbons) seven years after the date
(2) A request to place the I/M plan (if EPA notifies the State that it is in vio-
no I/M program is currently in place or lation of the ozone or CO standard or
if an I/M program has been termi- any earlier date specified in the State
nated,) or the I/M upgrade (if the exist- plan. Emission standards for vehicles
ing I/M program is to continue without subject to an IM240 test may be phased
being upgraded) into the contingency in during the program but full stand-
measures portion of the maintenance ards must be in effect for at least one
plan upon redesignation. complete test cycle before the end of
(3) A contingency measure consisting the 5-year period. All other require-
of a commitment by the Governor or ments shall take effect within 24
the Governor’s designee to adopt or months of the date EPA notifies the
consider adopting regulations to imple- State that it is in violation of the
ment an I/M program to correct a vio- ozone or CO standard or any earlier
lation of the ozone or CO standard or date specified in the State plan. The
other air quality problem, in accord- phase-in allowances of § 51.373(c) of this
ance with the provisions of the mainte- subpart shall not apply.
nance plan.
(4) A contingency commitment that FR 1738, Jan. 5, 1995; 60 FR 48036, Sept. 18,
includes an enforceable schedule for 1995; 61 FR 40946, Aug. 6, 1996; 61 FR 44119,
adoption and implementation of the I/ Aug. 27, 1996; 71 FR 17711, Apr. 7, 2006; 80 FR
M program, and appropriate mile- 12318, Mar. 6, 2015]
stones. The schedule shall include the
date for submission of a SIP meeting § 51.373 Implementation deadlines.
all of the requirements of this subpart. I/M programs shall be implemented
Schedule milestones shall be listed in as expeditiously as practicable.
months from the date EPA notifies the
(a) Decentralized basic programs
State that it is in violation of the
shall be fully implemented by January
ozone or CO standard or any earlier
date specified in the State plan. Unless 1, 1994, and centralized basic programs
the State, in accordance with the pro- shall be fully implemented by July 1,
visions of the maintenance plan, choos- 1994. More implementation time may
es not to implement I/M, it must sub- be approved by the Administrator if an
mit a SIP revision containing an I/M enhanced I/M program is implemented.
360
Environmental Protection Agency Pt. 51, Subpt. S, App. A
(b) For areas newly required to im- lieve the area of the obligation to meet
plement basic I/M as a result of des- the requirements of § 51.351(h)(11) by
ignation under the 8-hour ozone stand- the end of 1999.
ard, the required program shall be fully (g) On-Board Diagnostic checks shall
implemented no later than 4 years be implemented in all basic, low en-
after the effective date of designation hanced and high enhanced areas as part
and classification under the 8-hour of the I/M program by January 1, 2002.
ozone standard. Alternatively, states may elect to
(c) All requirements related to en- phase-in OBD-I/M testing for one test
hanced I/M programs shall be imple- cycle by using the OBD-I/M check to
mented by January 1, 1995, with the fol- screen clean vehicles from tailpipe
lowing exceptions. testing and require repair and retest
(1) Areas switching from an existing for only those vehicles which proceed
test-and-repair network to a test-only to fail the tailpipe test. An additional
network may phase in the change be- alternative is also available to states
tween January of 1995 and January of with regard to the deadline for manda-
1996. Starting in January of 1995 at tory testing, repair, and retesting of
least 30% of the subject vehicles shall vehicles based upon the OBD-I/M
participate in the test-only system (in check. Under this third option, if a
States with multiple I/M areas, imple- state can show good cause (and the Ad-
mentation is not required in every area ministrator takes notice-and-comment
by January 1995 as long as statewide, action to approve this good cause
30% of the subject vehicles are involved showing), up to an additional 12
in testing) and shall be subject to the months’ extension may be granted, es-
new test procedures (including the tablishing an alternative start date for
evaporative system checks, visual in- such states of no later than January 1,
spections, and tailpipe emission tests). 2003. States choosing to make this
By January 1, 1996, all applicable vehi- showing will also have available to
cle model years and types shall be in- them the phase-in approach described
cluded in the test-only system. During in this section, with the one-cycle time
the phase-in period, all requirements of limit to begin coincident with the al-
this subpart shall be applied to the ternative start date established by Ad-
test-only portion of the program; exist- ministrator approval of the showing,
ing requirements may continue to but no later than January 1, 2003. The
apply for the test-and-repair portion of showing of good cause (and its approval
the program until it is phased out by or disapproval) will be addressed on a
January 1, 1996. case-by-case basis.
(2) Areas starting new test-only pro- (h) For areas newly required to im-
grams and those with existing test- plement either a basic or enhanced I/M
only programs may also phase in the program as a result of being designated
new test procedures between January and classified under the 8-hour ozone
1, 1995 and January 1, 1996. Other pro- standard, such programs shall begin
gram requirements shall be fully im- OBD testing on subject OBD-equipped
plemented by January 1, 1995. vehicles coincident with program
(d) For areas newly required to im- start-up.
plement enhanced I/M as a result of
designation under the 8-hour ozone [57 FR 52987, Nov. 5, 1992, as amended at 58
standard, the required program shall be FR 59367, Nov. 9, 1993; 61 FR 39037, July 25,
1996; 61 FR 40946, Aug. 6, 1996; 63 FR 24433,
fully implemented no later than 4 May 4, 1998; 66 FR 18178, Apr. 5, 2001; 71 FR
years after the effective date of des- 17711, Apr. 7, 2006]
ignation and classification under the 8-
hour ozone standard. APPENDIX A TO SUBPART S OF PART 51—
(e) [Reserved] CALIBRATIONS, ADJUSTMENTS AND
(f) Areas that choose to implement QUALITY CONTROL
an enhanced I/M program only meeting
the requirements of § 51.351(h) shall (I) Steady-State Test Equipment
fully implement the program no later States may opt to use transient emission
than July 1, 1999. The availability and test equipment for steady-state tests and fol-
use of this late start date does not re- low the quality control requirements in
361
Pt. 51, Subpt. S, App. A 40 CFR Ch. I (7–1–21 Edition)
paragraph (II) of this appendix instead of the into the analyzer through the calibration
following requirements. port. If the analyzer reads the span gas with-
(a) Equipment shall be calibrated in ac- in the allowable tolerance range (i.e., the
cordance with the manufacturers’ instruc- square root of sum of the squares of the span
tions. gas tolerance described in paragraph (I)(d)(3)
(b) Prior to each test—(1) Hydrocarbon hang- of this appendix and the calibration toler-
up check. Immediately prior to each test the ance, which shall be equal to 2%), no adjust-
analyzer shall automatically perform a hy- ment of the analyzer is necessary. The gas
drocarbon hang-up check. If the HC reading, calibration procedure shall correct readings
when the probe is sampling ambient air, ex- that exceed the allowable tolerance range to
ceeds 20 ppm, the system shall be purged the center of the allowable tolerance range.
with clean air or zero gas. The analyzer shall The pressure in the sample cell shall be the
be inhibited from continuing the test until same with the calibration gas flowing during
HC levels drop below 20 ppm. calibration as with the sample gas flowing
(2) Automatic zero and span. The analyzer during sampling. If the system is not cali-
shall conduct an automatic zero and span brated, or the system fails the calibration
check prior to each test. The span check check, the analyzer shall lock out from test-
shall include the HC, CO, and CO2 channels, ing.
and the NO and O2 channels, if present. If (2) Span points. A two point gas calibration
zero and/or span drift cause the signal levels procedure shall be followed. The span shall
to move beyond the adjustment range of the be accomplished at one of the following pairs
analyzer, it shall lock out from testing. of span points:
(3) Low flow. The system shall lock out
from testing if sample flow is below the ac- (A) 300—ppm propane (HC)
ceptable level as defined in paragraph 1.0—% carbon monoxide (CO)
(I)(b)(6) of appendix D to this subpart. 6.0—% carbon dioxide (CO2)
(c) Leak check. A system leak check shall 1000—ppm nitric oxide (if equipped with NO)
be performed within twenty-four hours be- 1200—ppm propane (HC)
fore the test in low volume stations (those 4.0—% carbon monoxide (CO)
performing less than the 4,000 inspections per 12.0—% carbon dioxide (CO2)
year) and within four hours in high-volume 3000—ppm nitric oxide (if equipped with NO)
stations (4,000 or more inspections per year) (B) —ppm propane
and may be performed in conjunction with 0.0—% carbon monoxide
the gas calibration described in paragraph 0.0—% carbon dioxide
(I)(d)(1) of this appendix. If a leak check is 0—ppm nitric oxide (if equipped with NO)
not performed within the preceding twenty- 600—ppm propane (HC)
four hours in low volume stations and within 1.6—% carbon monoxide (CO)
four hours in high-volume stations or if the 11.0—% carbon dioxide (CO2)
analyzer fails the leak check, the analyzer 1200—ppm nitric oxide (if equipped with NO)
shall lock out from testing. The leak check
shall be a procedure demonstrated to effec- (3) Span gases. The span gases used for the
tively check the sample hose and probe for gas calibration shall be traceable to Na-
leaks and shall be performed in accordance tional Institute of Standards and Technology
with good engineering practices. An error of (NIST) standards ±2%, and shall be within
more than ±2% of the reading using low two percent of the span points specified in
range span gas shall cause the analyzer to paragraph (d)(2) of this appendix. Zero gases
lock out from testing and shall require re- shall conform to the specifications given in
pair of leaks. § 86.114–79(a)(5) of this chapter.
(d) Gas calibration. (1) On each operating (e) Dynamometer checks—(1) Monthly check.
day in high-volume stations, analyzers shall Within one month preceding each loaded
automatically require and successfully pass test, the accuracy of the roll speed indicator
a two-point gas calibration for HC, CO, and shall be verified and the dynamometer shall
CO2 and shall continually compensate for be checked for proper power absorber set-
changes in barometric pressure. Calibration tings.
shall be checked within four hours before the (2) Semi-annual check. Within six months
test and the analyzer adjusted if the reading preceding each loaded test, the road-load re-
is more than 2% different from the span gas sponse of the variable-curve dynamometer or
value. In low-volume stations, analyzers the frictional power absorption of the dyna-
shall undergo a two-point calibration within mometer shall be checked by a coast down
seventy-two hours before each test, unless procedure similar to that described in
changes in barometric pressure are com- § 86.118–78 of this chapter. The check shall be
pensated for automatically and statistical done at 30 mph, and a power absorption load
process control demonstrates equal or better setting to generate a total horsepower (hp)
quality control using different frequencies. of 4.1 hp. The actual coast down time from 45
Gas calibration shall be accomplished by in- mph to 15 mph shall be within ±1 second of
troducing span gas that meets the require- the time calculated by the following equa-
ments of paragraph (I)(d)(3) of this appendix tion:
362
Environmental Protection Agency Pt. 51, Subpt. S, App. A
done daily. Deviations greater than the de-
0.0508 × W sign tolerances shall be corrected.
Coast Down Time = (c) Analyzer system—(1) Calibration checks.
HP (A) Upon initial operation, calibration
where W is the total inertia weight as rep- curves shall be generated for each analyzer.
resented by the weight of the rollers (exclud- The calibration curve shall consider the en-
ing free rollers), and any inertia flywheels tire range of the analyzer as one curve. At
used, measured in pounds. If the coast down least 6 calibration points plus zero shall be
used in the lower portion of the range cor-
time is not within the specified tolerance the
responding to an average concentration of
dynamometer shall be taken out of service
approximately 2 gpm for HC, 30 gpm for CO,
and corrective action shall be taken.
3 gpm for NOX, and 400 gpm for CO2. For the
(f) Other checks. In addition to the above case where a low and a high range analyzer
periodic checks, these shall also be used to is used, the high range analyzer shall use at
verify system performance under the fol- least 6 calibration points plus zero in the
lowing special circumstances. lower portion of the high range scale cor-
(1) Gas Calibration. (A) Each time the ana- responding to approximately 100% of the
lyzer electronic or optical systems are re- full-scale value of the low range analyzer.
paired or replaced, a gas calibration shall be For all analyzers, at least 6 calibration
performed prior to returning the unit to points shall also be used to define the cali-
service. bration curve in the region above the 6 lower
(B) In high-volume stations, monthly calibration points. Gas dividers may be used
multi-point calibrations shall be performed. to obtain the intermediate points for the
Low-volume stations shall perform multi- general range classifications specified. The
point calibrations every six months. The calibration curves generated shall be a poly-
calibration curve shall be checked at 20%, nomial of no greater order than 4th order,
40%, 60%, and 80% of full scale and adjusted and shall fit the date within 0.5% at each
or repaired if the specifications in appendix calibration point.
D(I)(b)(1) to this subpart are not met. (B) For all calibration curves, curve
(2) Leak checks. Each time the sample line checks, span adjustments, and span checks,
integrity is broken, a leak check shall be the zero gas shall be considered a down-scale
performed prior to testing. reference gas, and the analyzer zero shall be
set at the trace concentration value of the
(II) Transient Test Equipment specific zero gas used.
(2) The basic curve shall be checked
(a) Dynamometer. Once per week, the cali- monthly by the same procedure used to gen-
bration of each dynamometer and each fly erate the curve, and to the same tolerances.
wheel shall be checked by a dynamometer (3) On a daily basis prior to vehicle test-
coast-down procedure comparable to that in ing—
§ 86.118–78 of this chapter between the speeds (A) The curve for each analyzer shall be
of 55 to 45 mph, and between 30 to 20 mph. All checked by adjusting the analyzer to cor-
rotating dynamometer components shall be rectly read a zero gas and an up-scale span
included in the coast-down check for the in- gas, and then by correctly reading a mid-
ertia weight selected. For dynamometers scale span gas within 2% of point. If the ana-
with uncoupled rolls, the uncoupled rollers lyzer does not read the mid-scale span point
may undergo a separate coast-down check. If within 2% of point, the system shall lock
a vehicle is used to motor the dynamometer out. The up-scale span gas concentration for
to the beginning coast-down speed, the vehi- each analyzer shall correspond to approxi-
cle shall be lifted off the dynamometer rolls mately 80 percent of full scale, and the mid-
before the coast-down test begins. If the dif- point concentration shall correspond to ap-
ference between the measured coast-down proximately 15 percent of full scale; and
time and the theoretical coast-down time is (B) After the up-scale span check, each an-
greater than + 1 second, the system shall alyzer in a given facility shall analyze a
lock out, until corrective action brings the sample of a random concentration cor-
dynamometer into calibration. responding to approximately 0.5 to 3 times
(b) Constant volume sampler. (1) The con- the cut point (in gpm) for the constituent.
stant volume sampler (CVS) flow calibration The value of the random sample may be de-
shall be checked daily by a procedure that termined by a gas blender. The deviation in
identifies deviations in flow from the true analysis from the sample concentration for
value. Deviations greater than ±4% shall be each analyzer shall be recorded and com-
corrected. pared to the historical mean and standard
(2) The sample probe shall be cleaned and deviation for the analyzers at the facility
checked at least once per month. The main and at all facilities. Any reading exceeding 3
CVS venturi shall be cleaned and checked at sigma shall cause the analyzer to lock out.
least once per year. (4) Flame ionization detector check. Upon ini-
(3) Verification that flow through the sam- tial operation, and after maintenance to the
ple probe is adequate for the design shall be detector, each Flame Ionization Detector
363
EC08NO91.014</MATH>
Pt. 51, Subpt. S, App. A 40 CFR Ch. I (7–1–21 Edition)
(FID) shall be checked, and adjusted if nec- tionally, every month the response of each
essary, for proper peaking and characteriza- FID to a methane concentration of approxi-
tion. Procedures described in SAE Paper No. mately 50 ppm CH4 shall be checked. If the
770141 are recommended for this purpose. A response is outside of the range of 1.10 to
copy of this paper may be obtained from the 1.20, corrective action shall be taken to bring
Society of Automotive Engineers, Inc. the FID response within this range. The re-
(SAE), 400 Commonwealth Drive, sponse shall be computed by the following
Warrendale, Pennsylvania, 15096–0001. Addi- formula:
FID response in ppmC

Ratio of Methane Response =
ppm methane in cylinder
(5) Spanning frequency. The zero and up- NOX analyzers according to best engineering
scale span point shall be checked, and ad- practices for the measurement technology
justed if necessary, at 2 hour intervals fol- used to ensure that measurements meet
lowing the daily mid-scale curve check. If specified accuracy requirements.
the zero or the up-scale span point drifts by (12) System artifacts (hang-up). Prior to each
more than 2% for the previous check (except test a comparison shall be made between the
for the first check of the day), the system background HC reading, the HC reading
shall lock out, and corrective action shall be measured through the sample probe (if dif-
taken to bring the system into compliance. ferent), and the zero gas. Deviations from
(6) Spanning limit checks. The tolerance on the zero gas greater than 10 parts per million
the adjustment of the up-scale span point is carbon (ppmC) shall cause the analyzer to
0.4% of point. A software algorithm to per- lock out.
form the span adjustment and subsequent (13) Ambient background. The average of the
calibration curve adjustment shall be used. pre-test and post-test ambient background
However, software up-scale span adjustments levels shall be compared to the permissible
greater than ±10% shall cause the system to levels of 10 ppmC HC, 20 ppm CO, and 1 ppm
lock out, requiring system maintenance. NOX. If the permissible levels are exceeded,
(7) Integrator checks. Upon initial oper- the test shall be voided and corrective action
ation, and every three months thereafter, taken to lower the ambient background con-
emissions from a randomly selected vehicle centrations.
with official test value greater than 60% of
(14) Analytical gases. Zero gases shall meet
the standard (determined retrospectively)
the requirements of § 86.114–79(a)(5) of this
shall be simultaneously sampled by the nor-
chapter. NOX calibration gas shall be a single
mal integration method and by the bag
blend using nitrogen as the diluent. Calibra-
method in each lane. The data from each
tion gas for the flame ionization detector
method shall be put into a historical data
shall be a single blend of propane with a dil-
base for determining normal and deviant per-
uent of air. Calibration gases for CO and CO2
formance for each test lane, facility, and all
shall be single blends using nitrogen or air as
facilities combined. Specific deviations ex-
a diluent. Multiple blends of HC, CO, and CO2
ceeding ±5% shall require corrective action.
in air may be used if shown to be stable and
(8) Interference. CO and CO2 analyzers shall
accurate.
be checked prior to initial service, and on a
yearly basis thereafter, for water inter- (III) Purge Analysis System
ference. The specifications and procedures
used shall generally comply with either On a daily basis each purge flow meter
§ 86.122–78 or § 86.321–79 of this chapter. shall be checked with a simulated purge flow
(9) NOX converter check. The converter effi- against a reference flow measuring device
ciency of the NO2 to NO converter shall be with performance specifications equal to or
checked on a weekly basis. The check shall better than those specified for the purge
generally conform to § 86.123–78 of this chap- meter. The check shall include a mid-scale
ter, or EPA MVEL Form 305–01. Equivalent rate check, and a total flow check between 10
methods may be approved by the Adminis- and 20 liters. Deviations greater than ±5%
trator. shall be corrected. On a monthly basis, the
(10) NO/NOX flow balance. The flow balance calibration of purge meters shall be checked
between the NO and NOX test modes shall be for proper rate and total flow with three
checked weekly. The check may be combined equally spaced points across the flow rate
with the NOX convertor check as illustrated and the totalized flow range. Deviations ex-
in EPA MVEL Form 305–01. ceeding the specified accuracy shall be cor-
(11) Additional checks. Additional checks rected. The dynamometer quality assurance
shall be performed on the HC, CO, CO2, and checks required under paragraph (II) of this
364
EC08NO91.015</MATH>
Environmental Protection Agency Pt. 51, Subpt. S, App. B
appendix shall also apply to the dynamom- (ii) The second-chance test as described
eter used for purge tests. under paragraph (I)(d) of this appendix shall
be performed only if the vehicle fails the
(IV) Evaporative System Integrity Test first-chance test.
Equipment (2) The test sequence shall begin only after
(a) On a weekly basis pressure measure- the following requirements are met:
ment devices shall be checked against a ref- (i) The vehicle shall be tested in as-re-
erence device with performance specifica- ceived condition with the transmission in
tions equal to or better than those specified neutral or park and all accessories turned
for the measurement device. Deviations ex- off. The engine shall be at normal operating
ceeding the performance specifications shall temperature (as indicated by a temperature
be corrected. Flow measurement devices, if gauge, temperature lamp, touch test on the
any, shall be checked according to paragraph radiator hose, or other visual observation for
III of this appendix. overheating).
(b) Systems that monitor evaporative sys- (ii) For all pre-1996 model year vehicles, a
tem leaks shall be checked for integrity on a tachometer shall be attached to the vehicle
daily basis by sealing and pressurizing. in accordance with the analyzer manufactur-
er’s instructions. For 1996 and newer model
[57 FR 52987, Nov. 5, 1992, as amended at 58 year vehicles the OBD data link connector
FR 59367, Nov. 9, 1993] will be used to monitor RPM. In the event
that an OBD data link connector is not
APPENDIX B TO SUBPART S OF PART 51— available or that an RPM signal is not avail-
TEST PROCEDURES able over the data link connector, a tachom-
eter shall be used instead.
(I) Idle test (iii) The sample probe shall be inserted
(a) General requirements—(1) Exhaust gas into the vehicle’s tailpipe to a minimum
sampling algorithm. The analysis of exhaust depth of 10 inches. If the vehicle’s exhaust
gas concentrations shall begin 10 seconds system prevents insertion to this depth, a
after the applicable test mode begins. Ex- tailpipe extension shall be used.
haust gas concentrations shall be analyzed (iv) The measured concentration of CO plus
at a minimum rate of two times per second. CO2 shall be greater than or equal to six per-
The measured value for pass/fail determina- cent.
tions shall be a simple running average of (c) First-chance test. The test timer shall
the measurements taken over five seconds. start (tt = 0) when the conditions specified in
(2) Pass/fail determination. A pass or fail de- paragraph (I)(b)(2) of this appendix are met.
termination shall be made for each applica- The first-chance test shall have an overall
ble test mode based on a comparison of the maximum test time of 145 seconds (tt = 145).
short test standards contained in appendix C The first-chance test shall consist of an idle
to this subpart, and the measured value for mode only.
HC and CO as described in paragraph (I)(a)(1) (1) The mode timer shall start (mt = 0)
of this appendix. A vehicle shall pass the test when the vehicle engine speed is between 350
mode if any pair of simultaneous measured and 1100 rpm. If engine speed exceeds 1100
values for HC and CO are below or equal to rpm or falls below 350 rpm, the mode timer
the applicable short test standards. A vehicle shall reset zero and resume timing. The min-
shall fail the test mode if the values for ei- imum mode length shall be determined as
ther HC or CO, or both, in all simultaneous described under paragraph (I)(c)(2) of this ap-
pairs of values are above the applicable pendix. The maximum mode length shall be
standards. 90 seconds elapsed time (mt = 90).
(3) Void test conditions. The test shall im- (2) The pass/fail analysis shall begin after
mediately end and any exhaust gas measure- an elapsed time of 10 seconds (mt = 10). A
ments shall be voided if the measured con- pass or fail determination shall be made for
centration of CO plus CO2 falls below six per- the vehicle and the mode shall be terminated
cent or the vehicle’s engine stalls at any as follows:
time during the test sequence. (i) The vehicle shall pass the idle mode and
(4) Multiple exhaust pipes. Exhaust gas con- the test shall be immediately terminated if,
centrations from vehicle engines equipped prior to an elapsed time of 30 seconds (mt =
with multiple exhaust pipes shall be sampled 30), measured values are less than or equal to
simultaneously. 100 ppm HC and 0.5 percent CO.
(5) This test shall be immediately termi- (ii) The vehicle shall pass the idle mode
nated upon reaching the overall maximum and the test shall be terminated at the end
test time. of an elapsed time of 30 seconds (mt = 30), if
(b) Test sequence. (1) The test sequence prior to that time the criteria of paragraph
shall consist of a first-chance test and a sec- (I)(c)(2)(i) of this appendix are not satisfied
ond-chance test as follows: and the measured values are less than or
(i) The first-chance test, as described under equal to the applicable short test standards
paragraph (c) of this section, shall consist of as described in paragraph (I)(a)(2) of this ap-
an idle mode. pendix.
365
Pt. 51, Subpt. S, App. B 40 CFR Ch. I (7–1–21 Edition)
(iii) The vehicle shall pass the idle mode nated if, prior to an elapsed time of 30 sec-
and the test shall be immediately termi- onds (mt = 30), measured values are less than
nated if, at any point between an elapsed or equal to 100 ppm HC and 0.5 percent CO.
time of 30 seconds (mt = 30) and 90 seconds (B) The vehicle shall pass the idle mode
(mt = 90), the measured values are less than and the test shall be terminated at the end
or equal to the applicable short test stand- of an elapsed time of 30 seconds (mt = 30), if
ards as described in paragraph (I)(a)(2) of this prior to that time the criteria of paragraph
appendix. (I)(d)(2)(iii)(A) of this appendix are not satis-
(iv) The vehicle shall fail the idle mode and fied and the measured values are less than or
the test shall be terminated if none of the equal to the applicable short test standards
provisions of paragraphs (I)(c)(2)(i), (ii) and as described in paragraph (I)(a)(2) of this ap-
(iii) of this appendix is satisfied by an pendix.
elapsed time of 90 seconds (mt = 90). Alter- (C) The vehicle shall pass the idle mode
natively, the vehicle may be failed if the pro- and the test shall be immediately termi-
visions of paragraphs (I)(c)(2)(i) and (ii) of nated if, at any point between an elapsed
this appendix are not met within an elapsed time of 30 seconds (mt = 30) and 90 seconds
time of 30 seconds. (mt = 90), measured values are less than or
(v) Optional. The vehicle may fail the first- equal to the applicable short test standards
chance test and the second-chance test shall described in paragraph (I)(a)(2) of this appen-
be omitted if no exhaust gas concentration dix.
lower than 1800 ppm HC is found by an (D) The vehicle shall fail the idle mode and
elapsed time of 30 seconds (mt = 30). the test shall be terminated if none of the
(d) Second-chance test. If the vehicle fails provisions of paragraphs (I)(d)(2)(iii)(A),
the first-chance test, the test timer shall (d)(2)(iii)(B), and (d)(2)(iii)(C) of this appen-
reset to zero (tt = 0) and a second-chance test dix are satisfied by an elapsed time of 90 sec-
shall be performed. The second-chance test onds (mt = 90).
shall have an overall maximum test time of
425 seconds (tt = 425). The test shall consist (II) Two Speed Idle Test
of a preconditioning mode followed imme- (a) General requirements—(1) Exhaust gas
diately by an idle mode. sampling algorithm. The analysis of exhaust
(1) Preconditioning mode. The mode timer gas concentrations shall begin 10 seconds
shall start (mt = 0) when the engine speed is after the applicable test mode begins. Ex-
between 2200 and 2800 rpm. The mode shall haust gas concentrations shall be analyzed
continue for an elapsed time of 180 seconds at a rate of two times per second. The meas-
(mt = 180). If engine speed falls below 2200 ured value for pass/fail determinations shall
rpm or exceeds 2800 rmp for more than five be a simple running average of the measure-
seconds in any one excursion, or 15 seconds ments taken over five seconds.
over all excursions, the mode timer shall (2) Pass/fail determination. A pass or fail de-
reset to zero and resume timing. termination shall be made for each applica-
(2) Idle mode—(i) Ford Motor Company and ble test mode based on a comparison of the
Honda vehicles. The engines of 1981–1987 Ford short test standards contained in appendix C
Motor Company vehicles and 1984–1985 Honda to this subpart, and the measured value for
Preludes shall be shut off for not more than HC and CO as described in paragraph
10 seconds and restarted. This procedure may (II)(a)(1) of this appendix. A vehicle shall
also be used for 1988–1989 Ford Motor Com- pass the test mode if any pair of simulta-
pany vehicles but should not be used for neous values for HC and CO are below or
other vehicles. The probe may be removed equal to the applicable short test standards.
from the tailpipe or the sample pump turned A vehicle shall fail the test mode if the val-
off if necessary to reduce analyzer fouling ues for either HC or CO, or both, in all simul-
during the restart procedure. taneous pairs of values are above the appli-
(ii) The mode timer shall start (mt = 0) cable standards.
when the vehicle engine speed is between 350 (3) Void test conditions. The test shall im-
and 1100 rpm. If engine speed exceeds 1100 mediately end and any exhaust gas measure-
rpm or falls below 350 rpm, the mode timer ments shall be voided if the measured con-
shall reset to zero and resume timing. The centration of CO plus CO2 falls below six per-
minimum idle mode length shall be deter- cent or the vehicle’s engine stalls at any
mined as described in paragraph (I)(d)(2)(iii) time during the test sequence.
of this appendix. The maximum idle mode (4) Multiple exhaust pipes. Exhaust gas con-
length shall be 90 seconds elapsed time (mt = centrations from vehicle engines equipped
90). with multiple exhaust pipes shall be sampled
(iii) The pass/fail analysis shall begin after simultaneously.
an elapsed time of 10 seconds (mt = 10). A (5) The test shall be immediately termi-
pass or fail determination shall be made for nated upon reaching the overall maximum
the vehicle and the idle mode shall be termi- test time.
nated as follows: (b) Test sequence. (1) The test sequence
(A) The vehicle shall pass the idle mode shall consist of a first-chance test and a sec-
and the test shall be immediately termi- ond-chance test as follows:
366
(i) The first-chance test, as described under pass or fail determination shall be made for
paragraph (II)(c) of this appendix, shall con- the vehicle and the mode terminated as fol-
sist of an idle mode followed by a high-speed lows:
mode. (A) The vehicle shall pass the idle mode
(ii) The second-chance high-speed mode, as and the mode shall be immediately termi-
described under paragraph (II)(c) of this ap- nated if, prior to an elapsed time of 30 sec-
pendix, shall immediately follow the first- onds (mt = 30), measured values are less than
chance high-speed mode. It shall be per- or equal to 100 ppm HC and 0.5 percent CO.
formed only if the vehicle fails the first- (B) The vehicle shall pass the idle mode
chance test. The second-chance idle mode, as and the mode shall be terminated at the end
described under paragraph (II)(d) of this ap- of an elapsed time of 30 seconds (mt = 30) if,
pendix, shall follow the second-chance high- prior to that time, the criteria of paragraph
speed mode and be performed only if the ve- (II)(c)(1)(ii)(A) of this appendix are not satis-
hicle fails the idle mode of the first-chance fied, and the measured values are less than
test. or equal to the applicable short test stand-
(2) The test sequence shall begin only after ards as described in paragraph (II)(a)(2) of
the following requirements are met: this appendix.
(i) The vehicle shall be tested in as-re- (C) The vehicle shall pass the idle mode
ceived condition with the transmission in and the mode shall be immediately termi-
neutral or park and all accessories turned nated if, at any point between an elapsed
off. The engine shall be at normal operating
time of 30 seconds (mt = 30) and 90 seconds
temperature (as indicated by a temperature
(mt = 90), the measured values are less than
gauge, temperature lamp, touch test on the
or equal to the applicable short test stand-
radiator hose, or other visual observation for
ards as described in paragraph (II)(a)(2) of
overheating).
this appendix.
(ii) For all pre-1996 model year vehicles, a
tachometer shall be attached to the vehicle (D) The vehicle shall fail the idle mode and
in accordance with the analyzer manufactur- the mode shall be terminated if none of the
er’s instructions. For 1996 and newer model provisions of paragraphs (II)(c)(1)(ii)(A), (B),
year vehicles the OBD data link connector and (C) of this appendix is satisfied by an
will be used to monitor RPM. In the event elapsed time of 90 seconds (mt = 90). Alter-
that an OBD data link connector is not natively, the vehicle may be failed if the pro-
available or that an RPM signal is not avail- visions of paragraphs (II)(c)(2)(i) and (ii) of
able over the data link connector, a tachom- this appendix are not met within an elapsed
eter shall be used instead. time of 30 seconds.
(iii) The sample probe shall be inserted (E) Optional. The vehicle may fail the first-
into the vehicle’s tailpipe to a minimum chance test and the second-chance test shall
depth of 10 inches. If the vehicle’s exhaust be omitted if no exhaust gas concentration
system prevents insertion to this depth, a less than 1800 ppm HC is found by an elapsed
tailpipe extension shall be used. time of 30 seconds (mt = 30).
(iv) The measured concentration of CO plus (2) First-chance and second-chance high-
CO2 shall be greater than or equal to six per- speed modes. This mode includes both the
cent. first-chance and second-chance high-speed
(c) First-chance test and second-chance high- modes, and follows immediately upon termi-
speed mode. The test timer shall start (tt = 0) nation of the first-chance idle mode.
when the conditions specified in paragraph (i) The mode timer shall reset (mt = 0)
(b)(2) of this section are met. The first- when the vehicle engine speed is between
chance test and second-chance high-speed 2200 and 2800 rpm. If engine speed falls below
mode shall have an overall maximum test 2200 rpm or exceeds 2800 rpm for more than
time of 425 seconds (tt = 425). The first- two seconds in one excursion, or more than
chance test shall consist of an idle mode fol- six seconds over all excursions within 30 sec-
lowed immediately by a high-speed mode. onds of the final measured value used in the
This is followed immediately by an addi- pass/fail determination, the measured value
tional second-chance high-speed mode, if shall be invalidated and the mode continued.
necessary. If any excursion lasts for more than ten sec-
(1) First-chance idle mode. (i) The mode onds, the mode timer shall reset to zero (mt
timer shall start (mt = 0) when the vehicle = 0) and timing resumed. The minimum high-
engine speed is between 350 and 1100 rpm. If speed mode length shall be determined as de-
engine speed exceeds 1100 rpm or falls below scribed under paragraphs (II)(c)(2)(ii) and
350 rpm, the mode timer shall reset to zero (iii) of this appendix. The maximum high-
and resume timing. The minimum idle mode speed mode length shall be 180 seconds
length shall be determined as described in elapsed time (mt = 180).
paragraph (II)(c)(1)(ii) of this appendix. The (ii) Ford Motor Company and Honda vehicles.
maximum idle mode length shall be 90 sec- For 1981–1987 model year Ford Motor Com-
onds elapsed time (mt = 90). pany vehicles and 1984–1985 model year
(ii) The pass/fail analysis shall begin after Honda Preludes, the pass/fail analysis shall
an elapsed time of 10 seconds (mt = 10). A begin after an elapsed time of 10 seconds (mt
367
= 10) using the following procedure. This pro- (1) The vehicle shall pass the high-speed
cedure may also be used for 1988–1989 Ford mode and the mode shall be terminated at an
Motor Company vehicles but should not be elapsed time of 180 seconds (mt = 180) if any
used for other vehicles. measured values of HC and CO exhaust gas
(A) A pass or fail determination, as de- concentrations during the high-speed mode
scribed below, shall be used, for vehicles that are less than or equal to the applicable short
passed the idle mode, to determine whether test standards as described in paragraph
the high-speed test should be terminated (II)(a)(2) of this appendix.
prior to or at the end of an elapsed time of (2) Restart. If at an elapsed time of 90 sec-
180 seconds (mt = 180). onds (mt = 90) the measured values of HC and
(1) The vehicle shall pass the high-speed CO exhaust gas concentrations during the
mode and the test shall be immediately ter- high-speed mode are greater than the appli-
minated if, prior to an elapsed time of 30 sec- cable short test standards as described in
onds (mt = 30), the measured values are less paragraph (II)(a)(2) of this appendix, the ve-
than or equal to 100 ppm HC and 0.5 percent hicle’s engine shall be shut off for not more
CO. than 10 seconds after returning to idle and
(2) The vehicle shall pass the high-speed then shall be restarted. The probe may be re-
mode and the test shall be terminated at the moved from the tailpipe or the sample pump
end of an elapsed time of 30 seconds (mt = 30) turned off if necessary to reduce analyzer
if, prior to that time, the criteria of para- fouling during the restart procedure. The
graph (II)(c)(2)(ii)(A)(1) of this appendix are mode timer will stop upon engine shut off
not satisfied, and the measured values are (mt = 90) and resume upon engine restart.
less than or equal to the applicable short The pass/fail determination shall resume as
follows after 100 seconds have elapsed (mt =
test standards as described in paragraph
100).
(II)(a)(2) of this appendix.
(i) The vehicle shall pass the high-speed
(3) The vehicle shall pass the high-speed
mode and the mode shall be terminated at an
mode and the test shall be immediately ter-
elapsed time of 180 seconds (mt = 180) if any
minated if, at any point between an elapsed measured values of HC and CO exhaust gas
time of 30 seconds (mt = 30) and 180 seconds concentrations during the high-speed mode
(mt = 180), the measured values are less than are less than or equal to the applicable short
or equal to the applicable short test stand- test standards as described in paragraph
ards as described in paragraph (II)(a)(2) of (II)(a)(2) of this appendix.
this appendix. (ii) The vehicle shall fail the high-speed
(4) Restart. If at an elapsed time of 90 sec- mode and the test shall be terminated if
onds (mt = 90) the measured values are great- paragraph (II)(c)(2)(ii)(B)(2)(i) of this appen-
er than the applicable short test standards dix is not satisfied by an elapsed time of 180
as described in paragraph (II)(a)(2) of this ap- seconds (mt = 180).
pendix, the vehicle’s engine shall be shut off (iii) All other light-duty motor vehicles. The
for not more than 10 seconds after returning pass/fail analysis for vehicles not specified in
to idle and then shall be restarted. The probe paragraph (II)(c)(2)(ii) of this appendix shall
may be removed from the tailpipe or the begin after an elapsed time of 10 seconds (mt
sample pump turned off if necessary to re- = 10) using the following procedure.
duce analyzer fouling during the restart pro- (A) A pass or fail determination, as de-
cedure. The mode timer will stop upon en- scribed below, shall be used for vehicles that
gine shut off (mt = 90) and resume upon en- passed the idle mode, to determine whether
gine restart. The pass/fail determination the high-speed mode should be terminated
shall resume as follows after 100 seconds prior to or at the end of an elapsed time of
have elapsed (mt = 100). 180 seconds (mt = 180).
(i) The vehicle shall pass the high-speed (1) The vehicle shall pass the high-speed
mode and the test shall be immediately ter- mode and the test shall be immediately ter-
minated if, at any point between an elapsed minated if, prior to an elapsed time of 30 sec-
time of 100 seconds (mt = 100) and 180 seconds onds (mt = 30), any measured values are less
(mt = 180), the measured values are less than than or equal to 100 ppm HC and 0.5 percent
or equal to the applicable short test stand- CO.
ards described in paragraph (II)(a)(2) of this (2) The vehicle shall pass the high-speed
appendix. mode and the test shall be terminated at the
(ii) The vehicle shall fail the high-speed end of an elapsed time of 30 seconds (mt = 30)
mode and the test shall be terminated if if, prior to that time, the criteria of para-
paragraph (II)(c)(2)(ii)(A)(4)(i) of this appen- graph (II)(c)(2)(iii)(A)(1) of this appendix are
dix is not satisfied by an elapsed time of 180 not satisfied, and the measured values are
seconds (mt = 180). less than or equal to the applicable short
(B) A pass or fail determination shall be test standards as described in paragraph
made for vehicles that failed the idle mode (II)(a)(2) of this appendix.
and the high-speed mode terminated at the (3) The vehicle shall pass the high-speed
end of an elapsed time of 180 seconds (mt = mode and the test shall be immediately ter-
180) as follows: minated if, at any point between an elapsed
368
time of 30 seconds (mt = 30) and 180 seconds (ii) The vehicle shall pass the second-
(mt = 180), the measured values are less than chance idle mode and the test shall be termi-
or equal to the applicable short test stand- nated at the end of an elapsed time of 30 sec-
ards as described in paragraph (II)(a)(2) of onds (mt = 30) if, prior to that time, the cri-
this appendix. teria of paragraph (II)(d)(3)(i) of this appen-
(4) The vehicle shall fail the high-speed dix are not satisfied, and the measured val-
mode and the test shall be terminated if ues are less than or equal to the applicable
none of the provisions of paragraphs short test standards as described in para-
(II)(c)(2)(iii)(A)(1), (2), and (3) of this appen- graph (II)(a)(2) of this appendix.
dix is satisfied by an elapsed time of 180 sec- (iii) The vehicle shall pass the second-
onds (mt = 180). chance idle mode and the test shall be imme-
(B) A pass or fail determination shall be diately terminated if, at any point between
made for vehicles that failed the idle mode an elapsed time of 30 seconds (mt = 30) and 90
and the high-speed mode terminated at the seconds (mt = 90), the measured values are
end of an elapsed time of 180 seconds (mt = less than or equal to the applicable short
180) as follows: test standards as described in paragraph
(1) The vehicle shall pass the high-speed (II)(a)(2) of this appendix.
mode and the mode shall be terminated at an (iv) The vehicle shall fail the second-
elapsed time of 180 seconds (mt = 180) if any chance idle mode and the test shall be termi-
measured values are less than or equal to the nated if none of the provisions of paragraph
applicable short test standards as described (II)(d)(3)(i), (ii), and (iii) of this appendix is
in paragraph (II)(a)(2) of this appendix. satisfied by an elapsed time of 90 seconds (mt
(2) The vehicle shall fail the high-speed = 90).
mode and the test shall be terminated if
paragraph (II)(c)(2)(iii)(B)(1) of this appendix (III) Loaded Test
is not satisfied by an elapsed time of 180 sec- (a) General requirements—(1) Exhaust gas
onds (mt = 180). sampling algorithm. The analysis of exhaust
(d) Second-chance idle mode. If the vehicle gas concentrations shall begin 10 seconds
fails the first-chance idle mode and passes after the applicable test mode begins. Ex-
the high-speed mode, the test timer shall haust gas concentrations shall be analyzed
reset to zero (tt = 0) and a second-chance idle at a minimum rate of two times per second.
mode shall commence. The second-chance The measured value for pass/fail determina-
idle mode shall have an overall maximum tions shall be a simple running average of
test time of 145 seconds (tt = 145). The test the measurements taken over five seconds.
shall consist of an idle mode only. (2) Pass/fail determination. A pass or fail de-
(1) The engines of 1981–1987 Ford Motor termination shall be made for each applica-
Company vehicles and 1984–1985 Honda Prel- ble test mode based on a comparison of the
udes shall be shut off for not more than 10 short test standards contained in appendix C
seconds and restarted. The probe may be re- to this subpart and the measured value for
moved from the tailpipe or the sample pump HC and CO as described in paragraph
turned off if necessary to reduce analyzer (III)(a)(1) of this appendix. A vehicle shall
fouling during the restart procedure. This pass the test mode if any pair of simulta-
procedure may also be used for 1988–1989 Ford neous values for HC and CO are below or
Motor Company vehicles but should not be equal to the applicable short test standards.
used for other vehicles. A vehicle shall fail the test mode if the val-
(2) The mode timer shall start (mt = 0) ues for either HC or CO, or both, in all simul-
when the vehicle engine speed is between 350 taneous pairs of values are above the appli-
and 1100 rpm. If the engine speed exceeds 1100 cable standards.
rpm or falls below 350 rpm the mode timer (3) Void test conditions. The test shall im-
shall reset to zero and resume timing. The mediately end and any exhaust gas measure-
minimum second-chance idle mode length ments shall be voided if the measured con-
shall be determined as described in para- centration of CO plus CO2 falls below six per-
graph (II)(d)(3) of this appendix. The max- cent or the vehicle’s engine stalls at any
imum second-chance idle mode length shall time during the test sequence.
be 90 seconds elapsed time (mt = 90). (4) Multiple exhaust pipes. Exhaust gas con-
(3) The pass/fail analysis shall begin after centrations from vehicle engines equipped
an elapsed time of 10 seconds (mt = 10). A with multiple exhaust pipes shall be sampled
pass or fail determination shall be made for simultaneously.
the vehicle and the second-chance idle mode (5) The test shall be immediately termi-
shall be terminated as follows: nated upon reaching the overall maximum
(i) The vehicle shall pass the second- test time.
chance idle mode and the test shall be imme- (b) Test sequence. (1) The test sequence
diately terminated if, prior to an elapsed shall consist of a loaded mode using a chassis
time of 30 seconds (mt = 30), any measured dynamometer followed immediately by an
values are less than or equal to 100 ppm HC idle mode as described under paragraphs
and 0.5 percent CO. (III)(c)(1) and (2) of this appendix.
369
(2) The test sequence shall begin only after dynamometer speed falls outside the limits
the following requirements are met: for more than five seconds in one excursion,
(i) The dynamometer shall be warmed up, or 15 seconds over all excursions, the mode
in stabilized operating condition, adjusted, timer shall reset to zero and resume timing.
and calibrated in accordance with the proce- The minimum mode length shall be deter-
dures of appendix A to this subpart. Prior to mined as described in paragraph
each test, variable-curve dynamometers (III)(c)(1)(iii)(A) of this appendix. The max-
shall be checked for proper setting of the imum mode length shall be 90 seconds
road-load indicator or road-load controller. elapsed time (mt = 90).
(ii) The vehicle shall be tested in as-re-
ceived condition with all accessories turned DYNAMOMETER TEST SCHEDULE
off. The engine shall be at normal operating
temperature (as indicated by a temperature Normal load-
Roll speed
Gasoline engine size (cylinders) ing (brake
gauge, temperature lamp, touch test on the (mph) horsepower)
radiator hose, or other visual observation for
overheating). 4 or less ..................................... 22–25 2.8–4.1
(iii) The vehicle shall be operated during 5–6 ............................................. 29–32 6.8–8.4
each mode of the test with the gear selector 7 or more ................................... 32–35 8.4–10.8
in the following position:
(A) In drive for automatic transmissions (iii) The pass/fail analysis shall begin after
and in second (or third if more appropriate) an elapsed time of 10 seconds (mt = 10). A
for manual transmissions for the loaded pass or fail determination shall be made for
mode; the vehicle and the mode shall be terminated
(B) In park or neutral for the idle mode. as follows:
(iv) For all pre-1996 model year vehicles, a (A) The vehicle shall pass the loaded mode
tachometer shall be attached to the vehicle and the mode shall be immediately termi-
in accordance with the analyzer manufactur- nated if, at any point between an elapsed
er’s instructions. For 1996 and newer model time of 30 seconds (mt = 30) and 90 seconds
year vehicles the OBD data link connector (mt = 90), measured values are less than or
will be used to monitor RPM. In the event equal to the applicable short test standards
that an OBD data link connector is not described in paragraph (a)(2) of this section.
available or that an RPM signal is not avail- (B) The vehicle shall fail the loaded mode
able over the data link connector, a tachom- and the mode shall be terminated if para-
eter shall be used instead. graph (III)(c)(1)(iii)(A) of this appendix is not
(v) The sample probe shall be inserted into satisfied by an elapsed time of 90 seconds (mt
the vehicle’s tailpipe to a minimum depth of = 90).
10 inches. If the vehicle’s exhaust system (C) Optional. The vehicle may fail the load-
prevents insertion to this depth, a tailpipe ed mode and any subsequent idle mode shall
extension shall be used. be omitted if no exhaust gas concentration
(vi) The measured concentration of CO plus less than 1800 ppm HC is found by an elapsed
CO2 shall be greater than or equal to six per- time of 30 seconds (mt = 30).
cent. (2) Idle mode—(i) Ford Motor Company and
(c) Overall test procedure. The test timer Honda vehicles. (Optional) The engines of
shall start (tt = 0) when the conditions speci- 1981–1987 Ford Motor Company vehicles and
fied in paragraph (III)(b)(2) of this appendix 1984–1985 Honda Preludes shall be shut off for
are met and the mode timer initiates as not more than 10 seconds and restarted. This
specified in paragraph (III)(c)(1) of this ap- procedure may also be used for 1988–1989 Ford
pendix. The test sequence shall have an over- Motor Company vehicles but should not be
all maximum test time of 240 seconds (tt = used for other vehicles. The probe may be re-
240). The test shall be immediately termi- moved from the tailpipe or the sample pump
nated upon reaching the overall maximum turned off if necessary to reduce analyzer
test time. fouling during the restart procedure.
(1) Loaded mode—(i) Ford Motor Company (ii) The mode timer shall start (mt = 0)
and Honda vehicles. (Optional) The engines of when the dynamometer speed is zero and the
1981–1987 Ford Motor Company vehicles and vehicle engine speed is between 350 and 1100
1984–1985 Honda Preludes shall be shut off for rpm. If engine speed exceeds 1100 rpm or falls
not more than 10 seconds and restarted. This below 350 rpm, the mode timer shall reset to
procedure may also be used for 1988–1989 Ford zero and resume timing. The minimum idle
Motor Company vehicles but should not be mode length shall be determined as described
used for other vehicles. The probe may be re- in paragraph (II)(c)(2)(ii) of this appendix.
moved from the tailpipe or the sample pump The maximum idle mode length shall be 90
turned off if necessary to reduce analyzer seconds elapsed time (mt = 90).
fouling during the restart procedure. (iii) The pass/fail analysis shall begin after
(ii) The mode timer shall start (mt = 0) an elapsed time of 10 seconds (mt = 10). A
when the dynamometer speed is within the pass or fail determination shall be made for
limits specified for the vehicle engine size the vehicle and the mode shall be terminated
according to the following schedule. If the as follows:
370
(A) The vehicle shall pass the idle mode (b) Test sequence. (1) The test sequence
and the test shall be immediately termi- shall consist of a first-chance test and a sec-
nated if, prior to an elapsed time of 30 second-chance test as follows:
onds (mt = 30), measured values are less than (i) The first-chance test, as described under
or equal to 100 ppm HC and 0.5 percent CO. paragraph (IV)(c) of this appendix, shall con-
(B) The vehicle shall pass the idle mode sist of a preconditioning mode followed by an
and the test shall be terminated at the end idle mode.
of an elapsed time of 30 seconds (mt = 30) if, (ii) The second-chance test, as described
prior to that time, the criteria of paragraph under paragraph (IV)(d) of this appendix,
(III)(c)(2)(iii)(A) of this appendix are not sat- shall be performed only if the vehicle fails
isfied, and the measured values are less than the first-chance test.
or equal to the applicable short test stand- (2) The test sequence shall begin only after
ards as described in paragraph (III)(a)(2) of the following requirements are met:
this appendix. (i) The vehicle shall be tested in as-re-
(C) The vehicle shall pass the idle mode ceived condition with the transmission in
and the test shall be immediately termi- neutral or park and all accessories turned
nated if, at any point between an elapsed off. The engine shall be at normal operating
time of 30 seconds (mt = 30) and 90 seconds temperature (as indicated by a temperature
(mt = 90), measured values are less than or gauge, temperature lamp, touch test on the
equal to the applicable short test standards radiator hose, or other visual observation for
described in paragraph (III)(a)(2) of this ap- overheating).
pendix. (ii) For all pre-1996 model year vehicles, a
(D) The vehicle shall fail the idle mode and tachometer shall be attached to the vehicle
the test shall be terminated if none of the in accordance with the analyzer manufactur-
provisions of paragraphs (III)(c)(2)(iii)(A), er’s instructions. For 1996 and newer model
(c)(2)(iii)(B), and (c)(2)(iii)(C) of this appendix year vehicles the OBD data link connector
will be used to monitor RPM. In the event
is satisfied by an elapsed time of 90 seconds
that an OBD data link connector is not
(mt = 90).
available or that an RPM signal is not avail-
(IV) Preconditioned IDLE TEST able over the data link connector, a tachom-
eter shall be used instead.
(a) General requirements—(1) Exhaust gas (iii) The sample probe shall be inserted
sampling algorithm. The analysis of exhaust into the vehicle’s tailpipe to a minimum
gas concentrations shall begin 10 seconds depth of 10 inches. If the vehicle’s exhaust
after the applicable test mode begins. Ex- system prevents insertion to this depth, a
haust gas concentrations shall be analyzed tailpipe extension shall be used.
at a minimum rate of two times per second. (iv) The measured concentration of CO plus
The measured value for pass/fail determina- CO2 shall be greater than or equal to six per-
tions shall be a simple running average of cent.
the measurements taken over five seconds. (c) First-chance test. The test timer shall
(2) Pass/fail determination. A pass or fail de- start (tt = 0) when the conditions specified in
termination shall be made for each applica- paragraph (IV)(b)(2) of this appendix are met.
ble test mode based on a comparison of the The test shall have an overall maximum test
short test standards contained in appendix C time of 200 seconds (tt = 200). The first-
to this subpart, and the measured value for chance test shall consist of a preconditioning
HC and CO as described in paragraph mode followed immediately by an idle mode.
(IV)(a)(1) of this appendix. A vehicle shall (1) Preconditioning mode. The mode timer
pass the test mode if any pair of simulta- shall start (mt = 0) when the engine speed is
neous values for HC and CO are below or between 2200 and 2800 rpm. The mode shall
equal to the applicable short test standards. continue for an elapsed time of 30 seconds
A vehicle shall fail the test mode if the val- (mt = 30). If engine speed falls below 2200 rpm
ues for either HC or CO, or both, in all simul- or exceeds 2800 rpm for more than five sec-
taneous pairs of values are above the appli- onds in any one excursion, or 15 seconds over
cable standards. all excursions, the mode timer shall reset to
(3) Void test conditions. The test shall im- zero and resume timing.
mediately end and any exhaust gas measure- (2) Idle mode. (i) The mode timer shall start
ments shall be voided if the measured con- (mt = 0) when the vehicle engine speed is be-
centration of CO plus CO2 falls below six per- tween 350 and 1100 rpm. If engine speed ex-
cent or the vehicle’s engine stalls at any ceeds 1100 rpm or falls below 350 rpm, the
time during the test sequence. mode timer shall reset to zero and resume
(4) Multiple exhaust pipes. Exhaust gas con- timing. The minimum idle mode length shall
centrations from vehicle engines equipped be determined as described in paragraph
with multiple exhaust pipes shall be sampled (IV)(c)(2)(ii) of this appendix. The maximum
simultaneously. idle mode length shall be 90 seconds elapsed
(5) The test shall be immediately termi- time (mt = 90).
nated upon reaching the overall maximum (ii) The pass/fail analysis shall begin after
test time. an elapsed time of 10 seconds (mt = 10). A
371
pass or fail determination shall be made for (ii) The mode timer shall start (mt = 0)
the vehicle and the mode shall be terminated when the vehicle engine speed is between 350
as follows: and 1100 rpm. If the engine speed exceeds 1100
(A) The vehicle shall pass the idle mode rpm or falls below 350 rpm, the mode timer
and the test shall be immediately termi- shall reset to zero and resume timing. The
nated if, prior to an elapsed time of 30 sec- minimum idle mode length shall be deter-
onds (mt = 30), measured values are less than mined as described in paragraph
or equal to 100 ppm HC and 0.5 percent CO. (IV)(d)(2)(iii) of this appendix. The maximum
(B) The vehicle shall pass the idle mode idle mode length shall be 90 seconds elapsed
and the test shall be terminated at the end time (mt = 90).
of an elapsed time of 30 seconds (mt = 30) if, (iii) The pass/fail analysis shall begin after
prior to that time, the criteria of paragraph an elapsed time of 10 seconds (mt = 10). A
(IV)(c)(2)(ii)(A) of this appendix are not sat- pass or fail determination shall be made for
isfied, and the measured values are less than the vehicle and the mode shall be terminated
or equal to the applicable short test stand- as follows:
ards as described in paragraph (IV)(a)(2) of (A) The vehicle shall pass the idle mode
this appendix. and the test shall be immediately termi-
(C) The vehicle shall pass the idle mode nated if, prior to an elapsed time of 30 sec-
and the test shall be immediately termi- onds (mt = 30), measured values are less than
nated if, at any point between an elapsed or equal to 100 ppm HC and 0.5 percent CO.
time of 30 seconds (mt = 30) and 90 seconds (B) The vehicle shall pass the idle mode
(mt = 90), measured values are less than or and the test shall be terminated at the end
equal to the applicable short test standards of an elapsed time of 30 seconds (mt = 30) if,
as described in paragraph (IV)(a)(2) of this prior to that time, the criteria of paragraph
section. (IV)(d)(2)(iii)(A) of this appendix are not sat-
(D) The vehicle shall fail the idle mode and isfied, and the measured values are less than
the test shall be terminated if none of the or equal to the applicable short test stand-
provisions of paragraphs (IV)(c)(2)(ii)(A), (B), ards as described in paragraph (IV)(a)(2) of
and (C) of this appendix is satisfied by an this appendix.
elapsed time of 90 seconds (mt = 90). Alter- (C) The vehicle shall pass the idle mode
natively, the vehicle may be failed if the pro- and the test shall be immediately termi-
visions of paragraphs (IV)(c)(2) (i) and (ii) of nated if, at any point between an elapsed
this appendix are not met within an elapsed time of 30 seconds (mt = 30) and 90 seconds
time of 30 seconds. (mt = 90), measured values are less than or
(E) Optional. The vehicle may fail the first- equal to the applicable short test standards
chance test and the second-chance test shall described in paragraph (IV)(a)(2) of this ap-
be omitted if no exhaust gas concentration pendix.
less than 1800 ppm HC is found at an elapsed (D) The vehicle shall fail the idle mode and
time of 30 seconds (mt = 30). the test shall be terminated if none of the
(d) Second-chance test. If the vehicle fails provisions of paragraphs (IV)(d)(2)(iii) (A),
the first-chance test, the test timer shall (B), and (C) of this appendix is satisfied by an
reset to zero and a second-chance test shall elapsed time of 90 seconds (mt = 90).
be performed. The second-chance test shall
have an overall maximum test time of 425 (V) Idle Test With Loaded Preconditioning
seconds. The test shall consist of a precondi- (a) General requirements—(1) Exhaust gas
tioning mode followed immediately by an sampling algorithm. The analysis of exhaust
idle mode. gas concentrations shall begin 10 seconds
(1) Preconditioning mode. The mode timer after the applicable test mode begins. Ex-
shall start (mt = 0) when engine speed is be- haust gas concentrations shall be analyzed
tween 2200 and 2800 rpm. The mode shall con- at a minimum rate of two times per second.
tinue for an elapsed time of 180 seconds (mt The measured value for pass/fail determina-
= 180). If the engine speed falls below 2200 tions shall be a simple running average of
rpm or exceeds 2800 rpm for more than five the measurements taken over five seconds.
seconds in any one excursion, or 15 seconds (2) Pass/fail determination. A pass or fail de-
over all excursions, the mode timer shall termination shall be made for each applica-
reset to zero and resume timing. ble test mode based on a comparison of the
(2) Idle mode—(i) Ford Motor Company and short test standards contained in appendix C
Honda vehicles. The engines of 1981–1987 Ford to this subpart, and the measured value for
Motor Company vehicles and 1984–1985 Honda HC and CO as described in paragraph
Preludes shall be shut off for not more than (V)(a)(1) of this appendix. A vehicle shall
10 seconds and then shall be restarted. The pass the test mode if any pair of simulta-
probe may be removed from the tailpipe or neous values for HC and CO are below or
the sample pump turned off if necessary to equal to the applicable short test standards.
reduce analyzer fouling during the restart A vehicle shall fail the test mode if the val-
procedure. This procedure may also be used ues for either HC or CO, or both, in all simul-
for 1988–1989 Ford Motor Company vehicles taneous pairs of values are above the appli-
but should not be used for other vehicles. cable standards.
372
(3) Void test conditions. The test shall im- paragraph (V)(b)(2) of this appendix are met.
mediately end and any exhaust gas measure- The test shall have an overall maximum test
ments shall be voided if the measured con- time of 155 seconds (tt = 155). The first-
centration of CO plus CO2 falls below six per- chance test shall consist of an idle mode
cent or the vehicle’s engine stalls at any only.
time during the test sequence. (1) The mode timer shall start (mt = 0)
(4) Multiple exhaust pipes. Exhaust gas con- when the vehicle engine speed is between 350
centrations from vehicle engines equipped and 1100 rpm. If the engine speed exceeds 1100
with multiple exhaust pipes shall be sampled rpm or falls below 350 rpm, the mode timer
simultaneously. shall reset to zero and resume timing. The
(5) The test shall be immediately termi- minimum mode length shall be determined
nated upon reaching the overall maximum as described in paragraph (V)(c)(2) of this ap-
test time. pendix. The maximum mode length shall be
(b) Test sequence. (1) The test sequence 90 seconds elapsed time (mt = 90).
shall consist of a first-chance test and a sec- (2) The pass/fail analysis shall begin after
ond-chance test as follows: an elapsed time of 10 seconds (mt = 10). A
(i) The first-chance test, as described under pass or fail determination shall be made for
paragraph (V)(c) of this appendix, shall con- the vehicle and the mode shall be terminated
sist of an idle mode. as follows:
(ii) The second-chance test as described (i) The vehicle shall pass the idle mode and
under paragraph (V)(d) of this appendix shall the test shall be immediately terminated if,
be performed only if the vehicle fails the prior to an elapsed time of 30 seconds (mt =
first-chance test. 30), measured values are less than or equal to
(2) The test sequence shall begin only after 100 ppm HC and 0.5 percent CO.
the following requirements are met: (ii) The vehicle shall pass the idle mode
(i) The dynamometer shall be warmed up, and the test shall be terminated at the end
in stabilized operating condition, adjusted, of an elapsed time of 30 seconds (mt = 30) if,
and calibrated in accordance with the proce- prior to that time, the criteria of paragraph
dures of appendix A to this subpart. Prior to (V)(c)(2)(i) of this appendix are not satisfied,
each test, variable-curve dynamometers and the measured values are less than or
shall be checked for proper setting of the equal to the applicable short test standards
road-load indicator or road-load controller. as described in paragraph (V)(a)(2) of this ap-
(ii) The vehicle shall be tested in as-re- pendix.
ceived condition with all accessories turned (iii) The vehicle shall pass the idle mode
off. The engine shall be at normal operating and the test shall be immediately termi-
temperature (as indicated by a temperature nated if, at any point between an elapsed
gauge, temperature lamp, touch test on the time of 30 seconds (mt = 30) and 90 seconds
radiator hose, or other visual observation for (mt = 90), the measured values are less than
overheating). or equal to the applicable short test stand-
(iii) The vehicle shall be operated during ards as described in paragraph (V)(a)(2) of
each mode of the test with the gear selector this appendix.
in the following position: (iv) The vehicle shall fail the idle mode and
(A) In drive for automatic transmissions the test shall be terminated if none of the
and in second (or third if more appropriate) provisions of paragraphs (V)(c)(2)(i), (ii), and
for manual transmissions for the loaded pre- (iii) of this appendix is satisfied by an
conditioning mode; elapsed time of 90 seconds (mt = 90). Alter-
(B) In park or neutral for the idle mode. natively, the vehicle may be failed if the pro-
(iv) For all pre-1996 model year vehicles, a visions of paragraphs (V)(c)(2) (i) and (ii) of
tachometer shall be attached to the vehicle this appendix are not met within an elapsed
in accordance with the analyzer manufactur- time of 30 seconds.
er’s instructions. For 1996 and newer model (v) Optional. The vehicle may fail the first-
year vehicles the OBD data link connector chance test and the second-chance test shall
will be used to monitor RPM. In the event be omitted if no exhaust gas concentration
that an OBD data link connector is not less than 1800 ppm HC is found at an elapsed
available or that an RPM signal is not avail- time of 30 seconds (mt = 30).
able over the data link connector, a tachom- (d) Second-chance test. If the vehicle fails
eter shall be used instead. the first-chance test, the test timer shall
(v) The sample probe shall be inserted into reset to zero (tt = 0) and a second-chance test
the vehicle’s tailpipe to a minimum depth of shall be performed. The second-chance test
10 inches. If the vehicle’s exhaust system shall have an overall maximum test time of
prevents insertion to this depth, a tailpipe 200 seconds (tt = 200). The test shall consist
extension shall be used. of a preconditioning mode using a chassis dy-
(vi) The measured concentration of CO plus namometer, followed immediately by an idle
CO2 shall be greater than or equal to six per- mode.
cent. (1) Preconditioning mode. The mode timer
(c) First-chance test. The test timer shall shall start (mt = 0) when the dynamometer
start (tt = 0) when the conditions specified in speed is within the limits specified for the
373
vehicle engine size in accordance with the ards as described in paragraph (V)(a)(2) of
following schedule. The mode shall continue this appendix.
for a minimum elapsed time of 30 seconds (D) The vehicle shall fail the idle mode and
(mt = 30). If the dynamometer speed falls the test shall be terminated if none of the
outside the limits for more than five seconds provisions of paragraphs (V)(d)(2)(ii)(A), (B),
in one excursion, or 15 seconds over all ex- and (C) of this appendix is satisfied by an
cursions, the mode timer shall reset to zero elapsed time of 90 seconds (mt = 90).
and resume timing.
(VI) Preconditioned Two Speed Idle Test
Dynamometer test (a) General requirements—(1) Exhaust gas
schedule
sampling algorithm. The analysis of exhaust
Gasoline engine size (cylinders) Normal gas concentrations shall begin 10 seconds
Roll loading after the applicable test mode begins. Ex-
speed (brake
(mph) horse- haust gas concentrations shall be analyzed
power) at a minimum rate of two times per second.
The measured value for pass/fail determina-
4 or less ................................................. 22–25 2.8–4.1 tions shall be a simple running average of
5–6 ......................................................... 29–32 6.8–8.4 the measurements taken over five seconds.
7 or more ............................................... 32–35 8.4–10.8 (2) Pass/fail determination. A pass or fail de-
termination shall be made for each applica-
(2) Idle mode. (i) Ford Motor Company and ble test mode based on a comparison of the
Honda vehicles. (Optional) The engines of short test standards contained in appendix C
1981–1987 Ford Motor Company vehicles and to this subpart, and the measured value for
1984–1985 Honda Preludes shall be shut off for HC and CO as described in paragraph
not more than 10 seconds and restarted. This (VI)(a)(1) of this appendix. A vehicle shall
procedure may also be used for 1988–1989 Ford pass the test mode if any pair of simulta-
Motor Company vehicles but should not be neous values for HC and CO are below or
used for other vehicles. The probe may be re- equal to the applicable short test standards.
moved from the tailpipe or the sample pump A vehicle shall fail the test mode if the val-
turned off if necessary to reduce analyzer ues for either HC or CO, or both, in all simul-
fouling during the restart procedure. taneous pairs of values are above the appli-
(ii) The mode timer shall start (mt = 0) cable standards.
when the dynamometer speed is zero and the (3) Void test conditions. The test shall im-
vehicle engine speed is between 350 and 1100 mediately end and any exhaust gas measure-
rpm. If the engine speed exceeds 1100 rpm or ments shall be voided if the measured con-
falls below 350 rpm, the mode timer shall centration of CO plus CO2 falls below six per-
reset to zero and resume timing. The min- cent or the vehicle’s engine stalls at any
imum idle mode length shall be determined time during the test sequence.
as described in paragraph (V)(d)(2)(ii) of this (4) Multiple exhaust pipes. Exhaust gas con-
appendix. The maximum idle mode length centrations from vehicle engines equipped
shall be 90 seconds elapsed time (mt = 90). with multiple exhaust pipes shall be sampled
(iii) The pass/fail analysis shall begin after simultaneously.
an elapsed time of 10 seconds (mt = 10). A (5) The test shall be immediately termi-
nated upon reaching the overall maximum
pass or fail determination shall be made for
test time.
the vehicle and the mode shall be terminated
(b) Test sequence. (1) The test sequence
as follows:
shall consist of a first-chance test and a sec-
(A) The vehicle shall pass the idle mode ond-chance test as follows:
and the test shall be immediately termi- (i) The first-chance test, as described under
nated if, prior to an elapsed time of 30 sec- paragraph (VI)(c) of this appendix, shall con-
onds (mt = 30), measured values are less than sist of a first-chance high-speed mode fol-
or equal to 100 ppm HC and 0.5 percent CO. lowed immediately by a first-chance idle
(B) The vehicle shall pass the idle mode mode.
and the test shall be terminated at the end (ii) The second-chance test as described
of an elapsed time of 30 seconds (mt = 30) if, under paragraph (VI)(d) of this appendix
prior to that time, the criteria of paragraph shall be performed only if the vehicle fails
(V)(d)(2)(ii)(A) of this appendix are not satis- the first-chance test.
fied, and the measured values are less than (2) The test sequence shall begin only after
or equal to the applicable short test stand- the following requirements are met:
ards as described in paragraph (V)(a)(2) of (i) The vehicle shall be tested in as-re-
this appendix. ceived condition with the transmission in
(C) The vehicle shall pass the idle mode neutral or park and all accessories turned
and the test shall be immediately termi- off. The engine shall be at normal operating
nated if, at any point between an elapsed temperature (as indicated by a temperature
time of 30 seconds (mt = 30) and 90 seconds gauge, temperature lamp, touch test on the
(mt = 90), the measured values are less than radiator hose, or other visual observation for
or equal to the applicable short test stand- overheating).
374
(ii) For all pre-1996 model year vehicles, a zero and resume timing. The minimum first-
tachometer shall be attached to the vehicle chance idle mode length shall be determined
in accordance with the analyzer manufactur- as described in paragraph (VI)(c)(2)(ii) of this
er’s instructions. For 1996 and newer model appendix. The maximum first-chance idle
year vehicles the OBD data link connector mode length shall be 90 seconds elapsed time
will be used to monitor rpm. In the event (mt = 90).
that an OBD data link connector is not (ii) The pass/fail analysis shall begin after
available or that an rpm signal is not avail- an elapsed time of 10 seconds (mt = 10). A
able over the data link connector, a tachom- pass or fail determination shall be made for
eter shall be used instead. the vehicle and the mode shall be terminated
(iii) The sample probe shall be inserted as follows:
into the vehicle’s tailpipe to a minimum (A) The vehicle shall pass the idle mode
depth of 10 inches. If the vehicle’s exhaust and the test shall be immediately termi-
system prevents insertion to this depth, a nated if, prior to an elapsed time of 30 sec-
tailpipe extension shall be used. onds (mt = 30), measured values are less than
(iv) The measured concentration of CO plus or equal to 100 ppm HC and 0.5 percent CO.
CO2 shall be greater than or equal to six per- (B) The vehicle shall pass the idle mode
cent. and the test shall be terminated at the end
(c) First-chance test. The test timer shall of an elapsed time of 30 seconds (mt = 30) if,
start (tt = 0) when the conditions specified in prior to that time, the criteria of paragraph
paragraph (VI)(b)(2) of this appendix are met. (VI)(c)(2)(ii)(A) of this appendix are not sat-
The test shall have an overall maximum test isfied, and the measured values are less than
time of 290 seconds (tt = 290). The first- or equal to the applicable short test stand-
chance test shall consist of a high-speed ards as described in paragraph (VI)(a)(2) of
mode followed immediately by an idle mode. this appendix.
(1) First-chance high-speed mode. (i) The (C) The vehicle shall pass the idle mode
mode timer shall reset (mt = 0) when the ve- and the test shall be immediately termi-
hicle engine speed is between 2200 and 2800 nated if, at any point between an elapsed
rpm. If the engine speed falls below 2200 rpm time of 30 seconds (mt = 30) and 90 seconds
or exceeds 2800 rpm for more than two sec- (mt = 90), the measured values are less than
onds in one excursion, or more than six sec- or equal to the applicable short test stand-
onds over all excursions within 30 seconds of ards as described in paragraph (VI)(a)(2) of
the final measured value used in the pass/fail this appendix.
determination, the measured value shall be (D) The vehicle shall fail the idle mode and
invalidated and the mode continued. If any the test shall be terminated if none of the
excursion lasts for more than ten seconds, provisions of paragraphs (VI)(c)(2)(ii) (A),
the mode timer shall reset to zero (mt = 0) (B), and (C) of this appendix is satisfied by an
and timing resumed. The high-speed mode elapsed time of 90 seconds (mt = 90). Alter-
length shall be 90 seconds elapsed time (mt = natively, the vehicle may be failed if the pro-
90). visions of paragraphs (VI)(c)(2)(i) and (ii) of
(ii) The pass/fail analysis shall begin after this appendix are not met within the elapsed
an elapsed time of 10 seconds (mt = 10). A time of 30 seconds.
pass or fail determination shall be made for (d) Second-chance test. (1) If the vehicle
the vehicle and the mode shall be terminated fails either mode of the first-chance test, the
as follows: test timer shall reset to zero (tt = 0) and a
(A) The vehicle shall pass the high-speed second-chance test shall commence. The sec-
mode and the mode shall be terminated at an ond-chance test shall be performed based on
elapsed time of 90 seconds (mt = 90) if any the first-chance test failure mode or modes
measured values are less than or equal to the as follows:
applicable short test standards as described (A) If the vehicle failed only the first-
in paragraph (VI)(a)(2) of this appendix. chance high-speed mode, the second-chance
(B) The vehicle shall fail the high-speed test shall consist of a second-chance high-
mode and the mode shall be terminated if speed mode as described in paragraph
the requirements of paragraph (VI)(d)(2) of this appendix. The overall max-
(VI)(c)(1)(ii)(A) of this appendix are not sat- imum test time shall be 280 seconds (tt =
isfied by an elapsed time of 90 seconds (mt = 280).
90). (B) If the vehicle failed only the first-
(C) Optional. The vehicle shall fail the chance idle mode, the second-chance test
first-chance test and any subsequent test shall consist of a second-chance pre-condi-
shall be omitted if no exhaust gas concentra- tioning mode followed immediately by a sec-
tion lower than 1800 ppm HC is found at an ond-chance idle mode as described in para-
elapsed time of 30 seconds (mt = 30). graphs (VI)(d) (3) and (4) of this appendix.
(2) First-chance idle mode. (i) The mode The overall maximum test time shall be 425
timer shall start (mt = 0) when the vehicle seconds (tt = 425).
engine speed is between 350 and 1100 rpm. If (C) If both the first-chance high-speed
the engine speed exceeds 1100 rpm or falls mode and first-chance idle mode were failed,
below 350 rpm, the mode timer shall reset to the second-chance test shall consist of the
375
second-chance high-speed mode followed im- ards as described in paragraph (VI)(a)(2) of
mediately by the second-chance idle mode as this appendix.
described in paragraphs (VI)(d) (2) and (4) of (D) The vehicle shall fail the high-speed
this appendix. However, if during this sec- mode and the test shall be terminated if
ond-chance procedure the vehicle fails the none of the provisions of paragraphs
second-chance high-speed mode, then the (VI)(d)(2)(iii) (A), (B), and (C) of this appen-
second-chance idle mode may be eliminated. dix is satisfied by an elapsed time of 180 sec-
The overall maximum test time shall be 425 onds (mt = 180).
seconds (tt = 425). (iv) In the case where the second-chance
(2) Second-chance high-speed mode—(i) Ford high-speed mode is followed by the second-
Motor Company and Honda vehicles. The en- chance idle mode, the pass/fail analysis shall
gines of 1981–1987 Ford Motor Company vehi- begin after an elapsed time of 10 seconds (mt
cles and 1984–1985 Honda Preludes shall be = 10). A pass or fail determination shall be
shut off for not more than 10 seconds and made for the vehicle and the mode shall be
then shall be restarted. The probe may be re- terminated as follows:
moved from the tailpipe or the sample pump (A) The vehicle shall pass the high-speed
turned off if necessary to reduce analyzer mode and the mode shall be terminated at
fouling during the restart procedure. This the end of an elapsed time of 180 seconds (mt
procedure may also be used for 1988–1989 Ford = 180) if any measured values are less than or
Motor Company vehicles but should not be equal to the applicable short test standards
used for other vehicles. as described in paragraph (VI)(a)(2) of this
(ii) The mode timer shall reset (mt = 0) appendix.
(B) The vehicle shall fail the high-speed
when the vehicle engine speed is between
mode and the mode shall be terminated if
2200 and 2800 rpm. If the engine speed falls
paragraph (VI)(d)(2)(iv)(A) of this appendix is
below 2200 rpm or exceeds 2800 rpm for more
not satisfied by an elapsed time of 180 sec-
than two seconds in one excursion, or more
onds (mt = 180).
than six seconds over all excursions within
(3) Second-chance preconditioning mode. The
30 seconds of the final measured value used
mode timer shall start (mt = 0) when engine
in the pass/fail determination, the measured
speed is between 2200 and 2800 rpm. The mode
value shall be invalidated and the mode con-
shall continue for an elapsed time of 180 sec-
tinued. The minimum second-chance high- onds (mt = 180). If the engine speed falls
speed mode length shall be determined as de- below 2200 rpm or exceeds 2800 rpm for more
scribed in paragraphs (VI)(d)(2) (iii) and (iv) than five seconds in any one excursion, or 15
of this appendix. If any excursion lasts for seconds over all excursions, the mode timer
more than ten seconds, the mode timer shall shall reset to zero and resume timing.
reset to zero (mt = 0) and timing resumed. (4) Second-chance idle mode—(i) Ford Motor
The maximum second-chance high-speed Company and Honda vehicles. The engines of
mode length shall be 180 seconds elapsed 1981–1987 Ford Motor Company vehicles and
time (mt = 180). 1984–1985 Honda Preludes shall be shut off for
(iii) In the case where the second-chance not more than 10 seconds and then shall be
high-speed mode is not followed by the sec- restarted. The probe may be removed from
ond-chance idle mode, the pass/fail analysis the tailpipe or the sample pump turned off if
shall begin after an elapsed time of 10 sec- necessary to reduce analyzer fouling during
onds (mt = 10). A pass or fail determination the restart procedure. This procedure may
shall be made for the vehicle and the mode also be used for 1988–1989 Ford Motor Com-
shall be terminated as follows: pany vehicles but should not be used for
(A) The vehicle shall pass the high-speed other vehicles.
mode and the test shall be immediately ter- (ii) The mode timer shall start (mt = 0)
minated if, prior to an elapsed time of 30 sec- when the vehicle engine speed is between 350
onds (mt = 30), measured values are less than and 1100 rpm. If the engine exceeds 1100 rpm
or equal to 100 ppm HC and 0.5 percent CO. or falls below 350 rpm the mode timer shall
(B) The vehicle shall pass the high-speed reset to zero and resume timing. The min-
mode and the test shall be terminated if at imum second-chance idle mode length shall
the end of an elapsed time of 30 seconds (mt be determined as described in paragraph
= 30) if, prior to that time, the criteria of (VI)(d)(4)(iii) of this appendix. The maximum
paragraph (VI)(d)(2)(iii)(A) of this appendix second-chance idle mode length shall be 90
are not satisfied, and the measured values seconds elapsed time (mt = 90).
are less than or equal to the applicable short (iii) The pass/fail analysis shall begin after
test standards as described in paragraph an elapsed time of 10 seconds (mt = 10). A
(VI)(a)(2) of this appendix. pass or fail determination shall be made for
(C) The vehicle shall pass the high-speed the vehicle and the mode shall be terminated
mode and the test shall be immediately ter- as follows:
minated if, at any point between an elapsed (A) The vehicle shall pass the second-
time for 30 seconds (mt = 30) and 180 seconds chance idle mode and the test shall be imme-
(mt = 180), the measured values are less than diately terminated if, prior to an elapsed
or equal to the applicable short test stand- time of 30 seconds (mt = 30), measured values
376
Environmental Protection Agency Pt. 51, Subpt. S, App. D
are less than or equal to 100 ppm HC and 0.5 APPENDIX D TO SUBPART S OF PART 51—
percent CO. STEADY-STATE SHORT TEST EQUIPMENT
(B) The vehicle shall pass the second-
chance idle mode and the test shall be termi- (I) Steady-State Test Exhaust Analysis System
nated at the end of an elapsed time of 30 sec- (a) Sampling system—(1) General require-
onds (mt = 30) if, prior to that time, the cri- ments. The sampling system for steady-state
teria of paragraph (VI)(d)(4)(iii)(A) of this ap- short tests shall, at a minimum, consist of a
pendix are not satisfied, and the measured tailpipe probe, a flexible sample line, a water
values are less than or equal to the applica- removal system, particulate trap, sample
ble short test standards as described in para- pump, flow control components, tachometer
graph (VI)(a)(2) of this appendix. or dynamometer, analyzers for HC, CO, and
(C) The vehicle shall pass the second- CO2, and digital displays for exhaust con-
chance idle mode and the test shall be imme- centrations of HC, CO, and CO2, and engine
diately terminated if, at any point between rpm. Materials that are in contact with the
an elapsed time of 30 seconds (mt = 30) and 90 gases sampled shall not contaminate or
seconds (mt = 90), measured values are less change the character of the gases to be ana-
lyzed, including gases from alcohol fueled ve-
than or equal to the applicable short test
hicles. The probe shall be capable of being
standards described in paragraph (VI)(a)(2) of
inserted to a depth of at least ten inches into
this appendix.
the tailpipe of the vehicle being tested, or
(D) The vehicle shall fail the second- into an extension boot if one is used. A dig-
chance idle mode and the test shall be termi- ital display for dynamometer speed and load
nated if none of the provisions of paragraphs shall be included if the test procedures de-
(VI)(d)(4)(iii) (A), (B), and (C) of this appen- scribed in appendix B to this subpart, para-
dix is satisfied by an elapsed time of 90 sec- graphs (III) and (V), are conducted. Minimum
onds (mt = 90). specifications for optional NO analyzers are
also described in this appendix. The analyzer
system shall be able to test, as specified in
FR 40946, Aug. 6, 1996]
at least one section in appendix B to this
subpart, all model vehicles in service at the
APPENDIX C TO SUBPART S OF PART 51— time of sale of the analyzer.
STEADY-STATE SHORT TEST STANDARDS (2) Temperature operating range. The sam-
pling system and all associated hardware
(I) Short Test Standards for 1981 and Later shall be of a design certified to operate with-
Model Year Light-Duty Vehicles in the performance specifications described
For 1981 and later model year light-duty in paragraph (I)(b) of this appendix in ambi-
vehicles for which any of the test procedures ent air temperatures ranging from 41 to 110
described in appendix B to this subpart are degrees Fahrenheit. The analyzer system
utilized to establish Emissions Performance shall, where necessary, include features to
keep the sampling system within the speci-
Warranty eligibility (i.e., 1981 and later
fied range.
model year light-duty vehicles at low alti-
(3) Humidity operating range. The sampling
tude and 1982 and later model year vehicles
system and all associated hardware shall be
at high altitude to which high altitude cer- of a design certified to operate within the
tification standards of 1.5 gpm HC and 15 performance specifications described in para-
gpm CO or less apply), short test emissions graph (I)(b) of this appendix at a minimum of
for all tests and test modes shall not exceed: 80 percent relative humidity throughout the
(a) Hydrocarbons: 220 ppm as hexane. required temperature range.
(b) Carbon monoxide: 1.2%. (4) Barometric pressure compensation. Baro-
metric pressure compensation shall be pro-
(II) Short Test Standards for 1981 and Later vided. Compensation shall be made for ele-
Model Year Light-Duty Trucks vations up to 6,000 feet (above mean sea
For 1981 and later model year light-duty level). At any given altitude and ambient
conditions specified in paragraph (I)(b) of
trucks for which any of the test procedures
this appendix, errors due to barometric pres-
described in appendix B to this subpart are
sure changes of ±2 inches of mercury shall
utilized to establish Emissions Performance
not exceed the accuracy limits specified in
Warranty eligibility (i.e., 1981 and later
paragraph (I)(b) of this appendix.
model year light-duty trucks at low altitude (5) Dual sample probe requirements. When
and 1982 and later model year trucks at high testing a vehicle with dual exhaust pipes, a
altitude to which high altitude certification dual sample probe of a design certified by the
standards of 2.0 gpm HC and 26 gpm CO or analyzer manufacturer to provide equal flow
less apply), short test emissions for all tests in each leg shall be used. The equal flow re-
and test modes shall not exceed: quirement is considered to be met if the flow
(a) Hydrocarbons: 220 ppm as hexane. rate in each leg of the probe has been meas-
(b) Carbon monoxide: 1.2%. ured under two sample pump flow rates (the
377
Pt. 51, Subpt. S, App. D 40 CFR Ch. I (7–1–21 Edition)
normal rate and a rate equal to the onset of (3) Response time. The response time from
low flow), and if the flow rates in each of the the probe to the display for HC, CO, and CO2
legs are found to be equal to each other analyzers shall not exceed eight seconds to
(within 15% of the flow rate in the leg having 90% of a step change in input. For NO ana-
lower flow). lyzers, the response time shall not exceed
(6) System lockout during warm-up. Func- twelve seconds to 90% of a step change in
tional operation of the gas sampling unit input.
shall remain disabled through a system lock- (4) Display refresh rate. Dynamic informa-
out until the instrument meets stability and tion being displayed shall be refreshed at a
warm-up requirements. The instrument shall minimum rate of twice per second.
be considered ‘‘warmed up’’ when the zero (5) Interference effects. The interference ef-
and span readings for HC, CO, and CO2 have fects for non-interest gases shall not exceed
stabilized, within ±3% of the full range of low ±10 ppm for hydrocarbons, ±0.05 percent for
scale, for five minutes without adjustment. carbon monoxide, ±0.20 percent for carbon di-
(7) Electromagnetic isolation and interference. oxide, and ±20 ppm for oxides of nitrogen.
Electromagnetic signals found in an auto- (6) Low flow indication. The analyzer shall
motive service environment shall not cause provide an indication when the sample flow
malfunctions or changes in the accuracy in is below the acceptable level. The sampling
the electronics of the analyzer system. The system shall be equipped with a flow meter
instrument design shall ensure that readings (or equivalent) that shall indicate sample
do not vary as a result of electromagnetic flow degradation when meter error exceeds
radiation and induction devices normally three percent of full scale, or causes system
found in the automotive service environ- response time to exceed 13 seconds to 90 per-
cent of a step change in input, whichever is
ment, including high energy vehicle ignition
less.
systems, radio frequency transmission radi-
(7) Engine speed detection. The analyzer
ation sources, and building electrical sys-
shall utilize a tachometer capable of detect-
tems.
ing engine speed in revolutions per minute
(8) Vibration and shock protection. System (rpm) with a 0.5 second response time and an
operation shall be unaffected by the vibra- accuracy of ±3% of the true rpm.
tion and shock encountered under the nor- (8) Test and mode timers. The analyzer shall
mal operating conditions encountered in an be capable of simultaneously determining
automotive service environment. the amount of time elapsed in a test, and in
(9) Propane equivalency factor. The propane a mode within that test.
equivalency factor shall be displayed in a (9) Sample rate. The analyzer shall be capa-
manner that enables it to be viewed conven- ble of measuring exhaust concentrations of
iently, while permitting it to be altered only gases specified in this section at a minimum
by personnel specifically authorized to do so. rate of twice per second.
(b) Analyzers—(1) Accuracy. The analyzers (c) Demonstration of conformity. The ana-
shall be of a design certified to meet the fol- lyzer shall be demonstrated to the satisfac-
lowing accuracy requirements when cali- tion of the inspection program manager,
brated to the span points specified in appen- through acceptance testing procedures, to
dix A to this subpart: meet the requirements of this section and
that it is capable of being maintained as re-
Re- quired in appendix A to this subpart.
Accu-
Channel Range Noise peat-
racy ability
(II) Steady-State Test Dynamometer
HC, ppm .............. 0–400 ±12 6 8 (a) The chassis dynamometer for steady-
as hexane ............ 401–1000 ±30 10 15 state short tests shall provide the following
1001–2000 ±80 20 30 capabilities:
CO, % .................. 0–2.00 ±0.06 0.02 0.03 (1) Power absorption. The dynamometer
2.01–5.00 ±0.15 0.06 0.08
shall be capable of applying a load to the ve-
5.01–9.99 ±0.40 0.10 0.15
hicle’s driving tire surfaces at the horse-
CO2, % ................ 0–4.0 ±0.6 0.2 0.3
power and speed levels specified in paragraph
4.1–14.0 ±0.5 0.2 0.3
NO, ppm .............. 0–1000 ±32 16 20
(II)(b) of this appendix.
1001–2000 ±60 25 30 (2) Short-term stability. Power absorption at
2001–4000 ±120 50 60 constant speed shall not drift more than ±0.5
horsepower (hp) during any single test mode.
(2) Minimum analyzer display resolution. The (3) Roll weight capacity. The dynamometer
analyzer electronics shall have sufficient shall be capable of supporting a driving axle
resolution to achieve the following: weight up to four thousand (4,000) pounds or
greater.
HC ............................ 1ppm HC as hexane. (4) Between roll wheel lifts. These shall be
CO ............................ 0.01% CO. controllable and capable of lifting a min-
CO2 ........................... 0.1% CO2. imum of four thousand (4,000) pounds.
NO ............................ 1ppm NO. (5) Roll brakes. Both rolls shall be locked
RPM ......................... 1rpm. when the wheel lift is up.
378
Environmental Protection Agency Pt. 51, Subpt. S, App. E
(6) Speed indications. The dynamometer Second MPH
speed display shall have a range of 0–60 mph,
and a resolution and accuracy of at least 1 26 ............................................................................... 15.5
mph. 27 ............................................................................... 16
28 ............................................................................... 17.1
(7) Safety interlock. A roll speed sensor and 29 ............................................................................... 19.1
safety interlock circuit shall be provided 30 ............................................................................... 21.1
which prevents the application of the roll 31 ............................................................................... 22.7
brakes and upward lift movement at any roll 32 ............................................................................... 22.9
speed above 0.5 mph. 33 ............................................................................... 22.7
(b) The dynamometer shall produce the 34 ............................................................................... 22.6
35 ............................................................................... 21.3
load speed relationships specified in para-
36 ............................................................................... 19
graphs (III) and (V) of appendix B to this sub- 37 ............................................................................... 17.1
part. 38 ............................................................................... 15.8
39 ............................................................................... 15.8
(III) Transient Emission Test Equipment 40 ............................................................................... 17.7
[Reserved] 41 ............................................................................... 19.8
42 ............................................................................... 21.6
(IV) Evaporative System Purge Test Equipment 43 ............................................................................... 23.2
[Reserved] 44 ............................................................................... 24.2
45 ............................................................................... 24.6
(V) Evaporative System Integrity Test 46 ............................................................................... 24.9
Equipment [Reserved] 47 ............................................................................... 25
48 ............................................................................... 25.7
49 ............................................................................... 26.1
[57 FR 52987, Nov. 5, 1992, as amended at 58 50 ............................................................................... 26.7
FR 59367, Nov. 9, 1993] 51 ............................................................................... 27.5
52 ............................................................................... 28.6
APPENDIX E TO SUBPART S OF PART 51— 53 ............................................................................... 29.3
TRANSIENT TEST DRIVING CYCLE 54 ............................................................................... 29.8
55 ............................................................................... 30.1
(I) Driver’s trace. All excursions in the tran- 56 ............................................................................... 30.4
57 ............................................................................... 30.7
sient driving cycle shall be evaluated by the 58 ............................................................................... 30.7
procedures defined in § 86.115–78(b)(1) and 59 ............................................................................... 30.5
§ 86.115(c) of this chapter. Excursions exceed- 60 ............................................................................... 30.4
ing these limits shall cause a test to be void. 61 ............................................................................... 30.3
In addition, provisions shall be available to 62 ............................................................................... 30.4
utilize cycle validation criteria, as described 63 ............................................................................... 30.8
in § 86.1341–90 of this chapter, for trace speed 64 ............................................................................... 30.4
65 ............................................................................... 29.9
versus actual speed as a means to determine 66 ............................................................................... 29.5
a valid test. 67 ............................................................................... 29.8
(II) Driving cycle. The following table shows 68 ............................................................................... 30.3
the time speed relationship for the transient 69 ............................................................................... 30.7
IM240 test procedure. 70 ............................................................................... 30.9
71 ............................................................................... 31
Second MPH 72 ............................................................................... 30.9
73 ............................................................................... 30.4
0 ................................................................................. 0 74 ............................................................................... 29.8
1 ................................................................................. 0 75 ............................................................................... 29.9
2 ................................................................................. 0 76 ............................................................................... 30.2
3 ................................................................................. 0 77 ............................................................................... 30.7
4 ................................................................................. 0 78 ............................................................................... 31.2
5 ................................................................................. 3 79 ............................................................................... 31.8
6 ................................................................................. 5.9 80 ............................................................................... 32.2
7 ................................................................................. 8.6 81 ............................................................................... 32.4
8 ................................................................................. 11.5 82 ............................................................................... 32.2
9 ................................................................................. 14.3 83 ............................................................................... 31.7
10 ............................................................................... 16.9 84 ............................................................................... 28.6
11 ............................................................................... 17.3 85 ............................................................................... 25.1
12 ............................................................................... 18.1 86 ............................................................................... 21.6
13 ............................................................................... 20.7 87 ............................................................................... 18.1
14 ............................................................................... 21.7 88 ............................................................................... 14.6
15 ............................................................................... 22.4 89 ............................................................................... 11.1
16 ............................................................................... 22.5 90 ............................................................................... 7.6
17 ............................................................................... 22.1 91 ............................................................................... 4.1
18 ............................................................................... 21.5 92 ............................................................................... 0.6
19 ............................................................................... 20.9 93 ............................................................................... 0
20 ............................................................................... 20.4 94 ............................................................................... 0
21 ............................................................................... 19.8 95 ............................................................................... 0
22 ............................................................................... 17 96 ............................................................................... 0
23 ............................................................................... 14.9 97 ............................................................................... 0
24 ............................................................................... 14.9 98 ............................................................................... 3.3
25 ............................................................................... 15.2 99 ............................................................................... 6.6
379
Pt. 51, Subpt. S, App. E 40 CFR Ch. I (7–1–21 Edition)
Second MPH Second MPH
100 ............................................................................. 9.9 174 ............................................................................. 47.2

101 ............................................................................. 13.2 175 ............................................................................. 47.4
102 ............................................................................. 16.5 176 ............................................................................. 47.9
103 ............................................................................. 19.8 177 ............................................................................. 48.5
104 ............................................................................. 22.2 178 ............................................................................. 49.1
105 ............................................................................. 24.3 179 ............................................................................. 49.5
106 ............................................................................. 25.8 180 ............................................................................. 50
107 ............................................................................. 26.4
181 ............................................................................. 50.6
108 ............................................................................. 25.7
109 ............................................................................. 25.1 182 ............................................................................. 51
110 ............................................................................. 24.7 183 ............................................................................. 51.5
111 ............................................................................. 25.2 184 ............................................................................. 52.2
112 ............................................................................. 25.4 185 ............................................................................. 53.2
113 ............................................................................. 27.2 186 ............................................................................. 54.1
114 ............................................................................. 26.5 187 ............................................................................. 54.6
115 ............................................................................. 24 188 ............................................................................. 54.9
116 ............................................................................. 22.7 189 ............................................................................. 55
117 ............................................................................. 19.4 190 ............................................................................. 54.9
118 ............................................................................. 17.7 191 ............................................................................. 54.6
119 ............................................................................. 17.2 192 ............................................................................. 54.6
120 ............................................................................. 18.1 193 ............................................................................. 54.8
121 ............................................................................. 18.6
194 ............................................................................. 55.1
122 ............................................................................. 20
195 ............................................................................. 55.5
123 ............................................................................. 20.7
124 ............................................................................. 21.7 196 ............................................................................. 55.7
125 ............................................................................. 22.4 197 ............................................................................. 56.1
126 ............................................................................. 22.5 198 ............................................................................. 56.3
127 ............................................................................. 22.1 199 ............................................................................. 56.6
128 ............................................................................. 21.5 200 ............................................................................. 56.7
129 ............................................................................. 20.9 201 ............................................................................. 56.7
130 ............................................................................. 20.4 202 ............................................................................. 56.3
131 ............................................................................. 19.8 203 ............................................................................. 56
132 ............................................................................. 17 204 ............................................................................. 55
133 ............................................................................. 17.1 205 ............................................................................. 53.4
134 ............................................................................. 15.8 206 ............................................................................. 51.6
135 ............................................................................. 15.8 207 ............................................................................. 51.8
136 ............................................................................. 17.7 208 ............................................................................. 52.1
137 ............................................................................. 19.8 209 ............................................................................. 52.5
138 ............................................................................. 21.6
210 ............................................................................. 53
139 ............................................................................. 22.2
211 ............................................................................. 53.5
140 ............................................................................. 24.5
212 ............................................................................. 54
141 ............................................................................. 24.7
142 ............................................................................. 24.8 213 ............................................................................. 54.9
143 ............................................................................. 24.7 214 ............................................................................. 55.4
144 ............................................................................. 24.6 215 ............................................................................. 55.6
145 ............................................................................. 24.6 216 ............................................................................. 56
146 ............................................................................. 25.1 217 ............................................................................. 56
147 ............................................................................. 25.6 218 ............................................................................. 55.8
148 ............................................................................. 25.7 219 ............................................................................. 55.2
149 ............................................................................. 25.4 220 ............................................................................. 54.5
150 ............................................................................. 24.9 221 ............................................................................. 53.6
151 ............................................................................. 25 222 ............................................................................. 52.5
152 ............................................................................. 25.4 223 ............................................................................. 51.5
153 ............................................................................. 26 224 ............................................................................. 50.5
154 ............................................................................. 26 225 ............................................................................. 48
155 ............................................................................. 25.7 226 ............................................................................. 44.5
156 ............................................................................. 26.1 227 ............................................................................. 41
157 ............................................................................. 26.7
228 ............................................................................. 37.5
158 ............................................................................. 27.3
229 ............................................................................. 34
159 ............................................................................. 30.5
230 ............................................................................. 30.5
160 ............................................................................. 33.5
231 ............................................................................. 27
161 ............................................................................. 36.2
162 ............................................................................. 37.3 232 ............................................................................. 23.5
163 ............................................................................. 39.3 233 ............................................................................. 20
164 ............................................................................. 40.5 234 ............................................................................. 16.5
165 ............................................................................. 42.1 235 ............................................................................. 13
166 ............................................................................. 43.5 236 ............................................................................. 9.5
167 ............................................................................. 45.1 237 ............................................................................. 6
168 ............................................................................. 46 238 ............................................................................. 2.5
169 ............................................................................. 46.8 239 ............................................................................. 0
170 ............................................................................. 47.5
171 ............................................................................. 47.5
172 ............................................................................. 47.3 [57 FR 52987, Nov. 5, 1992, as amended at 58
173 ............................................................................. 47.2 FR 59367, Nov. 9, 1993]
380
Subpart T—Conformity to State or cluded, such provisions must be in-

Federal Implementation Plans cluded in verbatim form, except insofar
of Transportation Plans, Pro- as needed to clarify or to give effect to
a stated intent in the revision to estab-
grams, and Projects Devel- lish criteria and procedures more strin-
oped, Funded or Approved gent than the requirements stated in
Under Title 23 U.S.C. or the this chapter: §§ 93.101, 93.102, 93.103,
Federal Transit Laws 93.104, 93.106, 93.109, 93.110, 93.111, 93.112,
93.113, 93.114, 93.115, 93.116, 93.117, 93.118,
AUTHORITY: 42 U.S.C. 7401–7671q. 93.119, 93.120, 93.121, 93.126, and 93.127. A
state’s conformity provisions may con-
§ 51.390 Implementation plan revision. tain criteria and procedures more
(a) Purpose and applicability. The fed- stringent than the requirements de-
eral conformity rules under part 93, scribed in this subpart and part 93, sub-
subpart A, of this chapter, in addition part A, of this chapter only if the
to any existing applicable state re- state’s conformity provisions apply
quirements, establish the conformity equally to non-federal as well as fed-
criteria and procedures necessary to eral entities.
meet the requirements of Clean Air Act (c) Timing and approval. A state must
section 176(c) until such time as EPA submit this revision to EPA by Novem-
approves the conformity implementa- ber 25, 1994 or within 12 months of an
tion plan revision required by this sub- area’s redesignation from attainment
part. A state with an area subject to to nonattainment, if the state has not
this subpart and part 93, subpart A, of previously submitted such a revision.
this chapter must submit to EPA a re- The state must also revise its con-
vision to its implementation plan formity implementation plan within 12
which contains criteria and procedures months of the date of publication of
for DOT, MPOs and other state or local any final amendments to §§ 93.105,
agencies to assess the conformity of 93.122(a)(4)(ii), and 93.125(c), as appro-
transportation plans, programs, and priate. Any other portions of part 93,
projects, consistent with this subpart subpart A, of this chapter that the
and part 93, subpart A, of this chapter. state has included in its conformity
The federal conformity regulations implementation plan and EPA has ap-
contained in part 93, subpart A, of this proved must be revised in the state’s
chapter would continue to apply for implementation plan and submitted to
the portion of the requirements that EPA within 12 months of the date of
the state did not include in its con- publication of any final amendments to
formity implementation plan and the such sections. EPA will provide DOT
portion, if any, of the state’s con- with a 30-day comment period before
formity provisions that is not approved taking action to approve or disapprove
by EPA. In addition, any previously ap- the submission. In order for EPA to ap-
plicable implementation plan con- prove the implementation plan revi-
formity requirements remain enforce- sion submitted to EPA under this sub-
able until the state submits a revision part, the plan revision must address
to its applicable implementation plan and give full legal effect to the fol-
to specifically remove them and that lowing three requirements of part 93,
revision is approved by EPA. subpart A: §§ 93.105, 93.122(a)(4)(ii), and
(b) Conformity implementation plan 93.125(c). Any other provisions that are
content. To satisfy the requirements of incorporated into the conformity im-
Clean Air Act section 176(c)(4)(E), the plementation plan must also be done in
implementation plan revision required a manner that gives them full legal ef-
by this section must include the fol- fect. Following EPA approval of the
lowing three requirements of part 93, state conformity provisions (or a por-
subpart A, of this chapter: §§ 93.105, tion thereof) in a revision to the state’s
93.122(a)(4)(ii), and 93.125(c). A state conformity implementation plan, con-
may elect to include any other provi- formity determinations will be gov-
sions of part 93, subpart A. If the provi- erned by the approved (or approved
sions of the following sections of part portion of the) state criteria and proce-
93, subpart A, of this chapter are in- dures as well as any applicable portions
381
§ 51.490 40 CFR Ch. I (7–1–21 Edition)
of the federal conformity rules that are tenance of the NAAQS and the produc-
not addressed by the approved con- tion rate associated with the maximum
formity SIP. rated capacity and hours of operation
[73 FR 4438, Jan. 24, 2008]
(unless the source is subject to feder-
ally enforceable limits which restrict
the operating rate, or hours of oper-
Subpart U—Economic Incentive ation, or both).
Programs Area sources means stationary and
nonroad sources that are too small and/
SOURCE: 59 FR 16710, Apr. 7, 1994, unless or too numerous to be individually in-
otherwise noted. cluded in a stationary source emissions
inventory.
§ 51.490 Applicability. Attainment area means any area of
(a) The rules in this subpart apply to the country designated or redesignated
any statutory economic incentive pro- by the EPA at 40 CFR part 81 in accord-
gram (EIP) submitted to the EPA as an ance with section 107(d) as having at-
implementation plan revision to com- tained the relevant NAAQS for a given
ply with sections 182(g)(3), 182(g)(5), criteria pollutant. An area can be an
187(d)(3), or 187(g) of the Act. Such pro- attainment area for some pollutants
grams may be submitted by any au- and a nonattainment area for other
thorized governmental organization, pollutants.
including States, local governments, Attainment demonstration means the
and Indian governing bodies. requirement in section 182(b)(1)(A) of
(b) The provisions contained in these the Act to demonstrate that the spe-
rules, except as explicitly exempted, cific annual emissions reductions in-
shall also serve as the EPA’s policy cluded in a SIP are sufficient to attain
guidance on discretionary EIP’s sub- the primary NAAQS by the date appli-
mitted as implementation plan revi- cable to the area.
sions for any purpose other than to Directionally-sound strategies are
comply with the statutory require- strategies for which adequate proce-
ments specified in paragraph (a) of this dures to quantify emissions reductions
section. or specify a program baseline are not
defined as part of the EIP.
§ 51.491 Definitions. Discretionary economic incentive pro-
Act means the Clean Air Act as gram means any EIP submitted to the
amended November 15, 1990. EPA as an implementation plan revi-
Actual emissions means the emissions sion for purposes other than to comply
of a pollutant from an affected source with the statutory requirements of sec-
determined by taking into account actions 182(g)(3), 182(g)(5), 187(d)(3), or
tual emission rates associated with 187(g) of the Act.
normal source operation and actual or Economic incentive program (EIP)
representative production rates (i.e., means a program which may include
capacity utilization and hours of oper- State established emission fees or a
ation). system of marketable permits, or a
Affected source means any stationary, system of State fees on sale or manu-
area, or mobile source of a criteria pol- facture of products the use of which
lutant(s) to which an EIP applies. This contributes to O3 formation, or any
term applies to sources explicitly in- combination of the foregoing or other
cluded at the start of a program, as similar measures, as well as incentives
well as sources that voluntarily enter and requirements to reduce vehicle
(i.e., opt into) the program. emissions and vehicle miles traveled in
Allowable emissions means the emis- the area, including any of the transpor-
sions of a pollutant from an affected tation control measures identified in
source determined by taking into ac- section 108(f). Such programs may be
count the most stringent of all applica- directed toward stationary, area, and/
ble SIP emissions limits and the level or mobile sources, to achieve emissions
of emissions consistent with source reductions milestones, to attain and
compliance with all Federal require- maintain ambient air quality stand-
ments related to attainment and main- ards, and/or to provide more flexible,
382
lower-cost approaches to meeting envi- EPA at 40 CFR part 50 under section

ronmental goals. Such programs are 109 of the Act.
categorized into the following three Nonattainment area means any area of
categories: Emission-limiting, market- the country designated by the EPA at
response, and directionally-sound 40 CFR part 81 in accordance with sec-
strategies. tion 107(d) of the Act as nonattainment
Emission-limiting strategies are strate- for one or more criteria pollutants. An
gies that directly specify limits on area could be a nonattainment area for
total mass emissions, emission-related some pollutants and an attainment
parameters (e.g., emission rates per area for other pollutants.
unit of production, product content Nondiscriminatory means that a pro-
limits), or levels of emissions reduc- gram in one State does not result in
tions relative to a program baseline discriminatory effects on other States
that are required to be met by affected or sources outside the State with re-
sources, while providing flexibility to gard to interstate commerce.
sources to reduce the cost of meeting Program baseline means the level of
program requirements. emissions, or emission-related param-
Indian governing body means the gov- eter(s), for each affected source or
erning body of any tribe, band, or group of affected sources, from which
group of Indians subject to the jurisdic- program results (e.g., quantifiable
tion of the U.S. and recognized by the emissions reductions) shall be deter-
U.S. as possessing power of self-govern- mined.
ment. Program uncertainty factor means a
Maintenance plan means an imple- factor applied to discount the amount
mentation plan for an area for which of emissions reductions credited in an
the State is currently seeking designa- implementation plan demonstration to
tion or has previously sought redesig- account for any strategy-specific un-
nation to attainment, under section certainties in an EIP.
107(d) of the Act, which provides for the Reasonable further progress (RFP) plan
continued attainment of the NAAQS. means any incremental emissions re-
Market-response strategies are strate- ductions required by the CAA (e.g., sec-
gies that create one or more incentives tion 182(b)) and approved by the EPA as
for affected sources to reduce emis- meeting these requirements.
sions, without directly specifying lim- Replicable refers to methods which
its on emissions or emission-related are sufficiently unambiguous such that
parameters that individual sources or the same or equivalent results would
even all sources in the aggregate are be obtained by the application of the
required to meet. methods by different users.
Milestones means the reductions in RFP baseline means the total of ac-
emissions required to be achieved pur- tual volatile organic compounds or ni-
suant to section 182(b)(1) and the cor- trogen oxides emissions from all an-
responding requirements in section thropogenic sources in an O3 non-
182(c)(2) (B) and (C), 182(d), and 182(e) of attainment area during the calendar
the Act for O3 nonattainment areas, as year 1990 (net of growth and adjusted
well as the reduction in emissions of pursuant to section 182(b)(1)(B) of the
CO equivalent to the total of the speci- Act), expressed as typical O3 season,
fied annual emissions reductions re- weekday emissions.
quired by December 31, 1995, pursuant Rule compliance factor means a factor
to section 187(d)(1). applied to discount the amount of
Mobile sources means on-road (high- emissions reductions credited in an im-
way) vehicles (e.g., automobiles, trucks plementation plan demonstration to
and motorcycles) and nonroad vehicles account for less-than-complete compli-
(e.g., trains, airplanes, agricultural ance by the affected sources in an EIP.
equipment, industrial equipment, con- Shortfall means the difference be-
struction vehicles, off-road motor- tween the amount of emissions reduc-
cycles, and marine vessels). tions credited in an implementation
National ambient air quality standard plan for a particular EIP and those
(NAAQS) means a standard set by the that are actually achieved by that EIP,
383
§ 51.492 40 CFR Ch. I (7–1–21 Edition)
as determined through an approved within 9 months after such failure or

reconciliation process. determination, and shall be sufficient,
State means State, local government, in combination with other elements of
or Indian-governing body. the SIP, to achieve the next milestone.
State implementation plan (SIP) means (b) Serious CO nonattainment areas. (1)
a plan developed by an authorized gov- A State or authorized governing body
erning body, including States, local for any serious CO nonattainment area
governments, and Indian-governing shall submit a plan revision to imple-
bodies, in a nonattainment area, as re- ment an EIP, in accordance with the
quired under titles I & II of the Clean requirements of this part, if:
Air Act, and approved by the EPA as
(i) A milestone demonstration is not
meeting these same requirements.
Stationary source means any building, submitted within the required period,
structure, facility or installation, pursuant to section 187(d) of the Act.
other than an area or mobile source, (ii) The Administrator notifies the
which emits or may emit any criteria State, pursuant to section 187(d) of the
air pollutant or precursor subject to Act, that a milestone has not been
regulation under the Act. met.
Statutory economic incentive program (iii) The Administrator determines,
means any EIP submitted to the EPA pursuant to section 186(b)(2) of the Act
as an implementation plan revision to that the NAAQS for CO has not been
comply with sections 182(g)(3), 182(g)(5), attained by the applicable date for that
187(d)(3), or 187(g) of the Act. area. Such revision shall be submitted
Surplus means, at a minimum, emis- within 9 months after such failure or
sions reductions in excess of an estab- determination.
lished program baseline which are not (2) Submittals made pursuant to
required by SIP requirements or State paragraphs (b)(1) (i) and (ii) of this sec-
regulations, relied upon in any application shall be sufficient, together with a
ble attainment plan or demonstration, transportation control program, to
or credited in any RFP or milestone
achieve the specific annual reductions
demonstration, so as to prevent the
in CO emissions set forth in the imple-
double-counting of emissions reduc-
mentation plan by the attainment
tions.
Transportation control measure (TCM) date. Submittals made pursuant to
is any measure of the types listed in paragraph (b)(1)(iii) of this section
section 108(F) of the Act, or any meas- shall be adequate, in combination with
ure in an applicable implementation other elements of the revised plan, to
plan directed toward reducing emis- reduce the total tonnage of emissions
sions of air pollutants from transpor- of CO in the area by at least 5 percent
tation sources by a reduction in vehicle per year in each year after approval of
use or changes in traffic conditions. the plan revision and before attain-
ment of the NAAQS for CO.
§ 51.492 State program election and (c) Serious and severe O3 nonattainment
submittal. areas. If a State, for any serious or se-
(a) Extreme O3 nonattainment areas. (1) vere O3 nonattainment area, elects to
A State or authorized governing body implement an EIP in the cir-
for any extreme O3 nonattainment area cumstances set out in section 182(g)(3)
shall submit a plan revision to imple- of the Act, the State shall submit a
ment an EIP, in accordance with the plan revision to implement the pro-
requirements of this part, pursuant to gram in accordance with the require-
section 182(g)(5) of the Act, if: ments of this part. If the option to im-
(i) A required milestone compliance plement an EIP is elected, a plan revi-
demonstration is not submitted within
sion shall be submitted within 12
the required period.
months after the date required for elec-
(ii) The Administrator determines
that the area has not met any application, and shall be sufficient, in com-
ble milestone. bination with other elements of the
(2) The plan revision in paragraph SIP, to achieve the next milestone.
(a)(1) of this section shall be submitted
384
(d) Any nonattainment or attainment agencies, improved emissions inven-

area. Any State may at any time sub- tories, and the adoption of emission
mit a plan or plan revision to imple- caps which over time constrain or re-
ment a discretionary EIP, in accord- duce growth-related emissions beyond
ance with the requirements of this traditional regulatory approaches.
part, pursuant to sections 110(a)(2)(A) (2) The incentive-based strategy shall
and 172(c)(6) and other applicable provi- be described in terms of one of the fol-
sions of the Act concerning SIP sub- lowing three strategies:
mittals. The plan revision shall not (i) Emission-limiting strategies,
interfere with any applicable require- which directly specify limits on total
ment concerning attainment and RFP, mass emissions, emission-related pa-
or any other applicable requirements of rameters (e.g., emission rates per unit
the Act. of production, product content limits),
or levels of emissions reductions rel-
§ 51.493 State program requirements. ative to a program baseline that af-
Economic incentive programs shall fected sources are required to meet,
be State and federally enforceable, while providing flexibility to sources
nondiscriminatory, and consistent with to reduce the cost of meeting program
the timely attainment of NAAQS, all requirements.
applicable RFP and visibility require- (ii) Market-response strategies,
ments, applicable PSD increments, and which create one or more incentives for
all other applicable requirements of affected sources to reduce emissions,
the Act. Programs in nonattainment without directly specifying limits on
areas for which credit is taken in at- emissions or emission-related param-
tainment and RFP demonstrations eters that individual sources or even
shall be designed to ensure that the ef- all sources in the aggregate are re-
fects of the program are quantifiable quired to meet.
and permanent over the entire dura- (iii) Directionally-sound strategies,
tion of the program, and that the cred- for which adequate procedures to quan-
it taken is limited to that which is sur- tify emissions reductions are not de-
plus. Statutory programs shall be defined.
signed to result in quantifiable, signifi- (b) Program scope. (1) This element
cant reductions in actual emissions. shall contain a clear definition of the
The EIP’s shall include the following sources affected by the program. This
elements, as applicable: definition shall address:
(a) Statement of goals and rationale. (i) The extent to which the program
This element shall include a clear is mandatory or voluntary for the af-
statement as to the environmental fected sources.
problem being addressed, the intended (ii) Provisions, if any, by which
environmental and economic goals of sources that are not required to be in
the program, and the rationale relating the program may voluntarily enter the
the incentive-based strategy to the program.
program goals. (iii) Provisions, if any, by which
(1) The statement of goals must in- sources covered by the program may
clude the goal that the program will voluntarily leave the program.
benefit both the environment and the (2) Any opt-in or opt-out provisions
regulated entities. The program shall in paragraph (b)(1) of this section shall
be designed so as to meaningfully meet be designed to provide mechanisms by
this goal either directly, through in- which such program changes are re-
creased or more rapid emissions reduc- flected in an area’s attainment and
tions beyond those that would be RFP demonstrations, thus ensuring
achieved through a traditional regu- that there will not be an increase in
latory program, or, alternatively, the emissions inventory for the area
through other approaches that will re- caused by voluntary entry or exit from
sult in real environmental benefits. the program.
Such alternative approaches include, (3) The program scope shall be de-
but are not limited to, improved ad- fined so as not to interfere with any
ministrative mechanisms, reduced ad- other Federal requirements which
ministrative burdens on regulatory apply to the affected sources.
385
§ 51.493 40 CFR Ch. I (7–1–21 Edition)
(c) Program baseline. A program base- mission in November 1992), and allow-
line shall be defined as a basis for pro- able emissions are the lower of SIP-al-
jecting program results and, if applica- lowable emissions or the level of emis-
ble, for initializing the incentive mech- sions consistent with source compli-
anism (e.g., for marketable permits ance with all Federal requirements re-
programs). The program baseline shall lated to attainment and maintenance
be consistent with, and adequately re- of the NAAQS.
flected in, the assumptions and inputs (3) For EIP’s that are designed to im-
used to develop an area’s RFP plans plement new and/or previously existing
and attainment and maintenance dem- RACT requirements through emissions
onstrations, as applicable. The State trading and are submitted in conjunc-
shall provide sufficient supporting in- tion with, or subsequent to, the sub-
formation from the areawide emissions mission of an associated RACT rule, a
inventory and other sources to justify State may exercise flexibility in set-
the baseline used in the EIP. ting a program baseline provided the
(1) For EIP’s submitted in conjunc- program baseline is consistent with
tion with, or subsequent to, the sub- and reflected in the associated RACT
mission of any areawide progress plan rule, and any applicable progress plans
due at the time of EIP submission (e.g., and attainment demonstrations.
the 15 percent RFP plan and/or subse- (4) For EIP’s that are designed to im-
quent 3 percent plans) or an attain- plement new and/or previously existing
ment demonstration, a State may exer- RACT requirements through emissions
cise flexibility in setting a program trading and are submitted prior to the
baseline provided the program baseline submission of a required RFP plan or
is consistent with and reflected in all attainment demonstration, States also
relevant progress plans or attainment have flexibility in determining the pro-
demonstration. A flexible program gram baseline, provided the following
baseline may be based on the lower of
conditions are met.
actual, allowable, or some other inter-
(i) For EIP’s that implement new
mediate or lower level of emissions.
RACT requirements for previously un-
For any EIP submitted prior to the
submittal of an attainment demonstra- regulated source categories through
tion, the State shall include the fol- emissions trading, the new RACT re-
lowing with its EIP submittal: quirements must reflect, to the extent
(i) A commitment that its subse- practicable, increased emissions reduc-
quent attainment demonstration and tions beyond those that would be
all future progress plans, if applicable, achieved through a traditional RACT
will be consistent with the EIP base- program.
line. (ii) For EIP’s that impose new RACT
(ii) A discussion of how the baseline requirements on previously unregu-
will be integrated into the subsequent lated sources in a previously regulated
attainment demonstration, taking into source category (e.g., RACT ‘‘catch-
account the potential that credit up’’ programs), the new incentive-based
issued prior to the attainment dem- RACT rule shall, in the aggregate,
onstration may no longer be surplus yield reductions in actual emissions at
relative to the attainment demonstra- least equivalent to that which would
tion. result from source-by-source compli-
(2) Except as provided for in para- ance with the existing RACT limit for
graph (c)(4) of this section, for EIP’s that source category.
submitted during a time period when (5) A program baseline for individual
any progress plans are required but not sources shall, as appropriate, be con-
yet submitted (e.g., the 15 percent RFP tained or incorporated by reference in
plan and/or the subsequent 3 percent federally-enforceable operating permits
plans), the program baseline shall be or a federally-enforceable SIP.
based on the lower-of-actual-or-allow- (6) An initial baseline for TCM’s shall
able emissions. In such cases, actual be calculated by establishing the pre-
emissions shall be taken from the most existing conditions in the areas of in-
appropriate inventory, such as the 1990 terest. This may include establishing
actual emission inventory (due for sub- to what extent TCM’s have already
386
been implemented, what average vehi- (iv) EPA-approved emission factors,

cle occupancy (AVO) levels have been where appropriate and adequate.
achieved during peak and off-peak peri- (v) Any combination of these ap-
ods, what types of trips occur in the re- proaches.
gion, and what mode choices have been (2) Specification of averaging times.
made in making these trips. In addi- (i) The averaging time for any speci-
tion, the extent to which travel options fied mass emissions caps or emission
are currently available within the re- rate limits shall be consistent with: at-
gion of interest shall be determined. taining and maintaining all applicable
These travel options may include, but NAAQS, meeting RFP requirements,
are not limited to, the degree of disper- and ensuring equivalency with all ap-
sion of transit services, the current rid- plicable RACT requirements.
ership rates, and the availability and (ii) If the averaging time for any
usage of parking facilities. specified VOC or NOX mass emissions
(7) Information used in setting a pro- caps or emission rate limits for sta-
gram baseline shall be of sufficient tionary sources (and for other sources,
quality to provide for at least as high as appropriate) is longer than 24 hours,
a degree of accountability as currently the State shall provide, in support of
exists for traditional control require- the SIP submittal, a statistical show-
ments for the categories of sources af- ing that the specified averaging time is
fected by the program. consistent with attaining the O3
(d) Replicable emission quantification NAAQS and satisfying RFP require-
methods. This program element, for ments, as applicable, on the basis of
programs other than those which are typical summer day emissions; and, if
categorized as directionally-sound, applicable, a statistical showing that
shall include credible, workable, and the longer averaging time will produce
replicable methods for projecting pro- emissions reductions that are equiva-
gram results from affected sources and, lent on a daily basis to source-specific
where necessary, for quantifying emis- RACT requirements.
sions from individual sources subject (3) Accounting for shutdowns and
to the EIP. Such methods, if used to production curtailments. This account-
determine credit taken in attainment, ing shall include provisions which en-
RFP, and maintenance demonstra- sure that:
tions, as applicable, shall yield results (i) Emissions reductions associated
which can be shown to have a level of with shutdowns and production curtail-
certainty comparable to that for ments are not double-counted in at-
source-specific standards and tradi- tainment or RFP demonstrations.
tional methods of control strategy de- (ii) Any resultant ‘‘shifting demand’’
velopment. Such methods include, as which increases emissions from other
applicable, the following elements: sources is accounted for in such dem-
(1) Specification of quantification onstrations.
methods. This element shall specify (4) Accounting for batch, seasonal,
the approach or the combination or and cyclical operations. This account-
range of approaches that are accepting shall include provisions which en-
able for each source category affected sure that the approaches used to ac-
by the program. Acceptable approaches count for such variable operations are
may include, but are not limited to: consistent with attainment and RFP
(i) Test methods for the direct meas- plans.
urement of emissions, either continu- (5) Accounting for travel mode choice
ously or periodically. options, as appropriate, for TCM’s.
(ii) Calculation equations which are a This accounting shall consider the fac-
function of process or control system tors or attributes of the different forms
parameters, ambient conditions, activ- of travel modes (e.g., bus, ridesharing)
ity levels, and/or throughput or produc- which determine which type of travel
tion rates. an individual will choose. Such factors
(iii) Mass balance calculations which include, but are not limited to, time,
are a function of inventory, usage, and/ cost, reliability, and convenience of
or disposal records. the mode.
387
§ 51.493 40 CFR Ch. I (7–1–21 Edition)
(e) Source requirements. This program (B) In situ or portable measurement

element shall include all source-spe- devices to verify control system oper-
cific requirements that constitute ating conditions.
compliance with the program. Such re- (C) Periodic measurement of mass
quirements shall be appropriate, read- emissions or emission rates using ref-
ily ascertainable, and State and feder- erence test methods.
ally enforceable, including, as applica- (D) Operation and maintenance pro-
ble: cedures and/or other work practices de-
(1) Emission limits. signed to prevent, identify, or remedy
(i) For programs that impose limits noncomplying conditions.
on total mass emissions, emission (E) Manual or automated record-
rates, or other emission-related param- keeping of material usage, inventories,
eter(s), there must be an appropriate throughput, production, or levels of re-
tracking system so that a facility’s quired activities.
limits are readily ascertainable at all (F) Any combination of these meth-
times. ods. EIP’s shall require that respon-
(ii) For emission-limiting EIP’s that sible parties at each facility in the EIP
authorize RACT sources to meet their program certify reported information.
RACT requirements through RACT/
(ii) Procedures for determining re-
non-RACT trading, such trading shall
quired data, including the emissions
result in an exceptional environmental
contribution from affected sources, for
benefit. Demonstration of an excep-
periods for which required data moni-
tional environmental benefit shall re-
toring is not performed, data are other-
quire either the use of the statutory
wise missing, or data have been dem-
offset ratios for nonattainment areas
onstrated to have been inaccurately de-
as the determinant of the amount of
termined.
emissions reductions that would be re-
quired from non-RACT sources gener- (3) Any other applicable strategy-spe-
ating credits for RACT sources or, al- cific requirements.
ternatively, a trading ratio of 1.1 to 1, (f) Projected results and audit/reconcili-
at a minimum, may be authorized, pro- ation procedures. (1) The SIP submittal
vided exceptional environmental bene- shall include projections of the emis-
fits are otherwise demonstrated. sions reductions associated with the
(2) Monitoring, recordkeeping, and implementation of the program. These
reporting requirements. projected results shall be related to
(i) An EIP (or the SIP as a whole) and consistent with the assumptions
must contain test methods and, where used to develop the area’s attainment
necessary, emission quantification demonstration and maintenance plan,
methodologies, appropriate to the as applicable. For programs designed to
emission limits established in the SIP. produce emissions reductions cred-
EIP sources must be subject to clearly itable towards RFP milestones, pro-
specified MRR requirements appro- jected emissions reductions shall be re-
priate to the test methods and any ap- lated to the RFP baseline and con-
plicable quantification methodologies, sistent with the area’s RFP compliance
and consistent with the EPA’s title V demonstration. The State shall provide
rules, where applicable. Such MRR re- sufficient supporting information that
quirements shall provide sufficiently shows how affected sources are or will
reliable and timely information to de- be addressed in the emissions inven-
termine compliance with emission lim- tory, RFP plan, and attainment dem-
its and other applicable strategy-spe- onstration or maintenance plan, as ap-
cific requirements, and to provide for plicable.
State and Federal enforceability of (i) For emission-limiting programs,
such limits and requirements. Methods the projected results shall be con-
for MRR may include, but are not lim- sistent with the reductions in mass
ited to: emissions or emissions-related param-
(A) The continuous monitoring of eters specified in the program design.
mass emissions, emission rates, or (ii) For market-response programs,
process or control parameters. the projected results shall be based on
388
market analyses relating levels of tar- range of appropriate actions or revi-

geted emissions and/or emission-re- sions to program requirements that
lated activities to program design pa- will make up for any shortfall between
rameters. credited results (i.e., projected results,
(iii) For directionally-sound pro- as adjusted by the two uncertainty fac-
grams, the projected results may be de- tors described above) and actual results
scriptive and shall be consistent with obtained during program implementa-
the area’s attainment demonstration tion shall be submitted together with
or maintenance plan. the program audit provisions. Such
(2) Quantitative projected results measures must be federally enforce-
shall be adjusted through the use of able, as appropriate, and automatically
two uncertainty factors, as appro- executing to the extent necessary to
priate, to reflect uncertainties inher- make up the shortfall within a speci-
ent in both the extent to which sources fied period of time, consistent with rel-
will comply with program require-
evant RFP and attainment require-
ments and the overall program design.
ments.
(i) Uncertainty resulting from incom-
plete compliance shall be addressed (g) Implementation schedule. The pro-
through the use of a rule compliance gram shall contain a schedule for the
factor. adoption and implementation of all
(ii) Programmatic uncertainty shall State commitments and source re-
be addressed through the use of a pro- quirements included in the program de-
gram uncertainty factor. Any presump- sign.
tive norms set by the EPA shall be (h) Administrative procedures. The pro-
used unless an adequate justification gram shall contain a description of
for an alternative factor is included in State commitments which are integral
supporting information to be supplied to the implementation of the program,
with the SIP submittal. In the absence and the administrative system to be
of any EPA-specified presumptive used to implement the program, ad-
norms, the State shall provide an ade- dressing the adequacy of the personnel,
quate justification for the selected fac- funding, and legislative authority.
tors as part of the supporting informa- (1) States shall furnish adequate doc-
tion to be supplied with the SIP sub- umentation of existing legal authority
mittal. and demonstrated administrative ca-
(3) Unless otherwise provided in pro- pacity to implement and enforce the
gram-specific guidance issued by the provisions of the EIP.
EPA, EIP’s for which SIP credit is (2) For programs which require pri-
taken shall include audit procedures to vate and/or public entities to establish
evaluate program implementation and
emission-related economic incentives
track program results in terms of both
(e.g., programs requiring employers to
actual emissions reductions, and, to
exempt carpoolers/multiple occupancy
the extent practicable, cost savings rel-
ative to traditional regulatory pro- vehicles from paying for parking),
gram requirements realized during pro- States shall furnish adequate docu-
gram implementation. Such audits mentation of State authority and ad-
shall be conducted at specified time in- ministrative capacity to implement
tervals, not to exceed three years. The and enforce the underlying program.
State shall provide timely post-audit (i) Enforcement mechanisms. The pro-
reports to the EPA. gram shall contain a compliance in-
(i) For emission-limiting EIP’s, the strument(s) for all program require-
State shall commit to ensure the time- ments, which is legally binding and
ly implementation of programmatic re- State and federally enforceable. This
visions or other measures which the program element shall also include a
State, in response to the audit, deems State enforcement program which de-
necessary for the successful operation fines violations, and specifies auditing
of the program in the context of over- and inspections plans and provisions
all RFP and attainment requirements. for enforcement actions. The program
(ii) For market-response EIP’s, rec- shall contain effective penalties for
onciliation procedures that identify a noncompliance which preserve the
389
§ 51.494 40 CFR Ch. I (7–1–21 Edition)
level of deterrence in traditional pro- may be used for this purpose. The use
grams. For all such programs, the man- of any revenues generated from discre-
ner of collection of penalties must be tionary EIP’s shall not be constrained
specified. by the provisions of this part.
(1) Emission limit violations. (i) Pro-
grams imposing limits on mass emis- Subpart W—Determining Con-
sions or emission rates that provide for formity of General Federal
extended averaging times and/or com-
pliance on a multisource basis shall in- Actions to State or Federal
clude procedures for determining the Implementation Plans
number of violations, the number of
days of violation, and sources in viola- SOURCE: 58 FR 63247, Nov. 30, 1993, unless
tion, for statutory maximum penalty otherwise noted.
purposes, when the limits are exceeded.
The State shall demonstrate that such § 51.850 [Reserved]
procedures shall not lessen the incen-
tive for source compliance as compared § 51.851 State implementation plan
(SIP) or Tribal implementation plan
to a program applied on a source-by- (TIP) revision.
source, daily basis.
(ii) Programs shall require plans for (a) A State or eligible Tribe (a feder-
remedying noncompliance at any facil- ally recognized tribal government de-
ity that exceeds a multisource emis- termined to be eligible to submit a TIP
sions limit for a given averaging pe- under 40 CFR 49.6) may submit to the
riod. These plans shall be enforceable Environmental Protection Agency
both federally and by the State. (EPA) a revision to its applicable im-
(2) Violations of MRR requirements. plementation plan which contains cri-
The MRR requirements shall apply on teria and procedures for assessing the
a daily basis, as appropriate, and viola- conformity of Federal actions to the
tions thereof shall be subject to State applicable implementation plan, con-
enforcement sanctions and to the Fed- sistent with this section and 40 CFR
eral penalty of up to $25,000 for each part 93, subpart B.
day a violation occurs or continues. In (b) Until EPA approves the con-
addition, where the requisite scienter formity implementation plan revision
conditions are met, violations of such permitted by this section, Federal
requirements shall be subject to the agencies shall use the provisions of 40
Act’s criminal penalty sanctions of sec- CFR part 93, subpart B in addition to
tion 113(c)(2), which provides for fines any existing applicable State or tribal
and imprisonment of up to 2 years. requirements, to demonstrate con-
formity with the applicable SIP or TIP
§ 51.494 Use of program revenues. as required by section 176(c) of the CAA
Any revenues generated from statu- (42 U.S.C. 7506).
tory EIP’s shall be used by the State (c) Following EPA approval of the
for any of the following: State or tribal conformity provisions
(a) Providing incentives for achieving (or a portion thereof) in a revision to
emissions reductions. the applicable SIP or TIP, conformity
(b) Providing assistance for the de- determinations shall be governed by
velopment of innovative technologies the approved (or approved portion of)
for the control of O3 air pollution and State or tribal criteria and procedures.
for the development of lower-polluting The Federal conformity regulations
solvents and surface coatings. Such as- contained in 40 CFR part 93, subpart B
sistance shall not provide for the pay- would apply only for the portion, if
ment of more than 75 percent of either any, of the part 93 requirements not
the costs of any project to develop such contained in the State or Tribe con-
a technology or the costs of develop- formity provisions approved by EPA.
ment of a lower-polluting solvent or (d) The State or tribal conformity
surface coating. implementation plan criteria and pro-
(c) Funding the administrative costs cedures cannot be any less stringent
of State programs under this Act. Not than the requirements in 40 CFR part
more than 50 percent of such revenues 93, subpart B.
390
(e) A State’s or Tribe’s conformity (d) 8-Hour ozone design value is the 8-
provisions may contain criteria and hour ozone concentration calculated
procedures more stringent than the re- according to 40 CFR part 50, appendix I.
quirements described in this subpart (e) CAA means the Clean Air Act as
and part 93, subpart B, only if the codified at 42 U.S.C. 7401–7671q (2003).
State’s or Tribe’s conformity provi- (f) Applicable requirements means
sions apply equally to non-Federal as for an area the following requirements
well as Federal entities. to the extent such requirements apply
(f) In its SIP or TIP, the State or or applied to the area for the area’s
Tribe may identify a list of Federal ac- classification under section 181(a)(1) of
tions or type of emissions that it pre- the CAA for the 1-hour NAAQS at des-
sumes will conform. The State or Tribe ignation for the 8-hour NAAQS:
may place whatever limitations on (1) Reasonably available control
that list that it deems necessary. The technology (RACT).
State or Tribe must demonstrate that (2) Inspection and maintenance pro-
the action will not interfere with time- grams (I/M).
ly attainment or maintenance of the (3) Major source applicability cut-offs
standard, meeting the reasonable fur- for purposes of RACT.
ther progress milestones or other re- (4) Rate of Progress (ROP) reduc-
quirements of the Clean Air Act. Fed- tions.
eral agencies can rely on the list to de- (5) Stage II vapor recovery.
termine that their emissions conform (6) Clean fuels fleet program under
with the applicable SIP or TIP. section 183(c)(4) of the CAA.
(g) Any previously applicable SIP or (7) Clean fuels for boilers under sec-
TIP requirements relating to con- tion 182(e)(3) of the CAA.
formity remain enforceable until EPA (8) Transportation Control Measures
approves the revision to the SIP or TIP (TCMs) during heavy traffic hours as
to specifically remove them. provided under section 182(e)(4) of the
CAA.
[75 FR 17272, Apr. 5, 2010]
(9) Enhanced (ambient) monitoring
§§ 51.852–51.860 [Reserved] under section 182(c)(1) of the CAA.
(10) Transportation controls under
section 182(c)(5) of the CAA.
Subpart X—Provisions for Imple- (11) Vehicle miles traveled provisions
mentation of 8-hour Ozone of section 182(d)(1) of the CAA.
National Ambient Air Quality (12) NOX requirements under section
Standard 182(f) of the CAA.
(13) Attainment demonstration or an
SOURCE: 69 FR 23996, Apr. 30, 2004, unless alternative as provided under
otherwise noted. § 51.905(a)(1)(ii).
(14) Contingency measures required
§ 51.900 Definitions. under CAA sections 172(c)(9) and
The following definitions apply for 182(c)(9) that would be triggered based
purposes of this subpart. Any term not on a failure to attain the 1-hour
defined herein shall have the meaning NAAQS by the applicable attainment
as defined in 40 CFR 51.100. date or to make reasonable further
(a) 1-hour NAAQS means the 1-hour progress toward attainment of the 1-
ozone national ambient air quality hour NAAQS.
standards codified at 40 CFR 50.9. (g) Attainment year ozone season shall
(b) 8-hour NAAQS means the 8-hour mean the ozone season immediately
ozone national ambient air quality preceding a nonattainment area’s at-
standards codified at 40 CFR 50.10. tainment date.
(c) 1-hour ozone design value is the 1- (h) Designation for the 8-hour NAAQS
hour ozone concentration calculated shall mean the effective date of the 8-
according to 40 CFR part 50, Appendix hour designation for an area.
H and the interpretation methodology (i) Higher classification/lower classifica-
issued by the Administrator most re- tion. For purposes of determining
cently before the date of the enactment whether a classification is higher or
of the CAA Amendments of 1990. lower, classifications are ranked from
391
§ 51.901 40 CFR Ch. I (7–1–21 Edition)
lowest to highest as follows: classifica- summer work weekday. The state will
tion under subpart 1 of the CAA; mar- select the particular month(s) in sum-
ginal; moderate; serious; severe-15; se- mer and the day(s) in the work week to
vere-17; and extreme. be represented. The selection of condi-
(j) Initially designated means the first tions should be coordinated with the
designation that becomes effective for conditions assumed in the development
an area for the 8-hour NAAQS and does of RFP plans, ROP plans and dem-
not include a redesignation to attain- onstrations, and/or emissions budgets
ment or nonattainment for that stand- for transportation conformity, to allow
ard. comparability of daily emission esti-
(k) Maintenance area for the 1-hour mates.
NAAQS means an area that was des- [69 FR 23996, Apr. 30, 2004, as amended at 70
ignated nonattainment for the 1-hour FR 30604, May 26, 2005; 77 FR 28441, May 14,
NAAQS on or after November 15, 1990 2012; 80 FR 8799, Feb. 19, 2015]
and was redesignated to attainment for
the 1-hour NAAQS subject to a mainte- § 51.901 Applicability of part 51.
nance plan as required by section 175A The provisions in subparts A through
of the CAA. W of part 51 apply to areas for purposes
(l) Nitrogen Oxides (NOX) means the of the 8-hour NAAQS to the extent
sum of nitric oxide and nitrogen diox- they are not inconsistent with the pro-
ide in the flue gas or emission point, visions of this subpart.
collectively expressed as nitrogen diox-
ide. § 51.902 Which classification and non-
(m) NOX SIP Call means the rules attainment area planning provi-
codified at 40 CFR 51.121 and 51.122. sions of the CAA shall apply to
(n) Ozone season means for each areas designated nonattainment for
the 1997 8-hour NAAQS?
State, the ozone monitoring season as
defined in 40 CFR Part 58, Appendix D, (a) An area designated nonattain-
section 2.5 for that State. ment for the 1997 8-hour NAAQS will be
(o) Ozone transport region means the classified in accordance with section
area established by section 184(a) of the 181 of the CAA, as interpreted in
CAA or any other area established by § 51.903(a), for purposes of the 1997 8-
the Administrator pursuant to section hour NAAQS, and will be subject to the
176A of the CAA for purposes of ozone. requirements of subpart 2 that apply
(p) Reasonable further progress (RFP) for that classification.
means for the purposes of the 8-hour (b) [Reserved]
NAAQS, the progress reductions re- [77 FR 28841, May 14, 2012]
quired under section 172(c)(2) and sec-
tion 182(b)(1) and (c)(2)(B) and (c)(2)(C) § 51.903 How do the classification and
of the CAA. attainment date provisions in sec-
(q) Rate of progress (ROP) means for tion 181 of subpart 2 of the CAA
purposes of the 1-hour NAAQS, the apply to areas subject to § 51.902(a)?
progress reductions required under sec- (a) In accordance with section
tion 172(c)(2) and section 182(b)(1) and 181(a)(1) of the CAA, each area subject
(c)(2)(B) and (c)(2)(C) of the CAA. to § 51.902(a) shall be classified by oper-
(r) Revocation of the 1-hour NAAQS ation of law at the time of designation.
means the time at which the 1-hour However, the classification shall be
NAAQS no longer apply to an area pur- based on the 8-hour design value for
suant to 40 CFR 50.9(b). the area, in accordance with Table 1
(s) Subpart 1 (CAA) means subpart 1 below, or such higher or lower classi-
of part D of title I of the CAA. fication as the State may request as
(t) Subpart 2 (CAA) means subpart 2 provided in paragraphs (b) and (c) of
of part D of title I of the CAA. this section. The 8-hour design value
(u) Attainment Area means, unless for the area shall be calculated using
otherwise indicated, an area designated the three most recent years of air qual-
as either attainment, unclassifiable, or ity data. For each area classified under
attainment/unclassifiable. this section, the primary NAAQS at-
(v) Summer day emissions means an av- tainment date for the 8-hour NAAQS
erage day’s emissions for a typical shall be as expeditious as practicable
392
but not later than the date provided in

the following Table 1.
TABLE 1—CLASSIFICATION FOR 8-HOUR OZONE NAAQS FOR AREAS SUBJECT TO § 51.902(a)
Maximum period for at-
tainment dates in state
8-hour plans (years after effec-
Area class design value tive date of nonattain-
(ppm ozone) ment designation for 8-
hour NAAQS)
Marginal ................................................... from ......................................................... 0.085 3

up to 1 ...................................................... 0.092
Moderate ................................................. from ......................................................... 0.092 6
up to 1 ...................................................... 0.107
Serious .................................................... from ......................................................... 0.107 9
up to 1 ...................................................... 0.120
Severe-15 ................................................ from ......................................................... 0.120 15
up to 1 ...................................................... 0.127
Severe-17 ................................................ from ......................................................... 0.127 17
up to 1 ...................................................... 0.187
Extreme ................................................... equal to .................................................... 0.187 20
or above ..................................................
1 but not including.
(b) A State may request a higher approves an attainment demonstration

classification for any reason in accord- for the area.
ance with section 181(b)(3) of the CAA.
(c) A State may request a lower clas- § 51.905 How do areas transition from
the 1-hour NAAQS to the 1997 8-
sification in accordance with section hour NAAQS and what are the anti-
181(a)(4) of the CAA. backsliding provisions?
§ 51.904 How do the classification and (a) What requirements that applied in
attainment date provisions in sec- an area for the 1-hour NAAQS continue
tion 172(a) of subpart 1 of the CAA to apply after revocation of the 1-hour
apply to areas subject to § 51.902(b)? NAAQS for that area?—(1) 8-Hour
(a) Classification. The Administrator NAAQS Nonattainment/1-Hour NAAQS
may classify an area subject to Nonattainment. The following require-
§ 51.902(b) as an overwhelming trans- ments apply to an area designated non-
port area if: attainment for the 8-hour NAAQS and
designated nonattainment for the 1-
(1) The area meets the criteria as
hour NAAQS at the time of designation
specified for rural transport areas
for the 8-hour NAAQS for that area.
under section 182(h) of the CAA; (i) The area remains subject to the
(2) Transport of ozone and/or precur- obligation to adopt and implement the
sors into the area is so overwhelming applicable requirements as defined in
that the contribution of local emis- § 51.900(f), except as provided in para-
sions to observed 8-hour ozone con- graph (a)(1)(iii) of this section, and ex-
centration above the level of the cept as provided in paragraph (b) of
NAAQS is relatively minor; and this section.
(3) The Administrator finds that (ii) If the area has not met its obliga-
sources of VOC (and, where the Admin- tion to have a fully-approved attain-
istrator determines relevant, NOX) ment demonstration SIP for the 1-hour
emissions within the area do not make NAAQS, the State must comply with
a significant contribution to the ozone one of the following:
concentrations measured in other (A) Submit a 1-hour attainment dem-
areas. onstration no later than 1 year after
(b) Attainment dates. For an area sub- designation;
ject to § 51.902(b), the Administrator (B) Submit a RFP plan for the 8-hour
will approve an attainment date con- NAAQS no later than 1-year following
sistent with the attainment date tim- designations for the 8-hour NAAQS
ing provision of section 172(a)(2)(A) of providing a 5 percent increment of
the CAA at the time the Administrator emissions reduction from the area’s
393
§ 51.905 40 CFR Ch. I (7–1–21 Edition)
2002 emissions baseline, which must be NAAQS nonattainment, the State may
in addition to measures (or enforceable request that obligations under the ap-
commitments to measures) in the SIP plicable requirements of § 51.900(f) be
at the time of the effective date of des- shifted to contingency measures, con-
ignation and in addition to national or sistent with sections 110(l) and 193 of
regional measures and must be the CAA, after revocation of the 1-hour
achieved no later than 2 years after the NAAQS; however, the State cannot re-
required date for submission (3 years move the obligations from the SIP. For
after designation). such areas, the State may request that
(C) Submit an 8-hour ozone attain- the nonattainment NSR provisions be
ment demonstration no later than 1 removed from the SIP on or after the
year following designations that dem- date of revocation of the 1-hour
onstrates attainment of the 8-hour NAAQS and need not be shifted to con-
NAAQS by the area’s attainment date; tingency measures subject to para-
provides for 8-hour RFP for the area graph (e)(4) of this section.
out to the attainment date; and for the (ii) Attainment demonstration and ROP
initial period of RFP for the area (be- plans. (A) To the extent an 8-hour
tween 2003–2008), achieve the emission NAAQS attainment/1-hour NAAQS non-
reductions by December 31, 2007. attainment area does not have an ap-
(iii) If the area has an outstanding proved attainment demonstration or
obligation for an approved 1-hour ROP ROP plan that was required for the 1-
SIP, it must develop and submit to hour NAAQS under the CAA, the obli-
EPA all outstanding 1-hour ROP plans; gation to submit such an attainment
where a 1-hour obligation overlaps with demonstration or ROP plan
an 8-hour RFP requirement, the (1) Is deferred for so long as the area
State’s 8-hour RFP plan can be used to continues to maintain the 8-hour
satisfy the 1-hour ROP obligation if the NAAQS; and
8-hour RFP plan has an emission tar- (2) No longer applies once the area
get at least as stringent as the 1-hour has an approved maintenance plan pur-
ROP emission target in each of the 1- suant to paragraph (a)(3)(iii) of this
hour ROP target years for which the 1- section.
hour ROP obligation exists. (B) For an 8-hour NAAQS attain-
(2) 8–Hour NAAQS Nonattainment/1– ment/1-hour NAAQS nonattainment
Hour NAAQS Maintenance. An area des- area that violates the 8-hour NAAQS,
ignated nonattainment for the 8-hour prior to having an approved mainte-
NAAQS that is a maintenance area for nance plan for the 8-hour NAAQS as
the 1-hour NAAQS at the time of des- provided under paragraph (a)(3)(iii) of
ignation for the 8-hour NAAQS for that this section, paragraphs (a)(3)(ii)(B)(1),
area remains subject to the obligation (2), and (3) of this section shall apply.
to implement the applicable require- (1) In lieu of any outstanding obliga-
ments as defined in § 51.900 (f) to the ex- tion to submit an attainment dem-
tent such obligations are required by onstration, within 1 year after the date
the approved SIP, except as provided in on which EPA publishes a determina-
paragraph (b) of this section. Applica- tion that a violation of the 8-hour
ble measures in the SIP must continue NAAQS has occurred, the State must
to be implemented; however, if these submit (or revise a submitted) mainte-
measures were shifted to contingency nance plan for the 8-hour NAAQS, as
measures prior to designation for the 8- provided under paragraph (a)(3)(iii) of
hour NAAQS for the area, they may re- this section, to—
main as contingency measures, unless (i) Address the violation by relying
the measures are required to be imple- on modeling that meets EPA guidance
mented by the CAA by virtue of the for purposes of demonstrating mainte-
area’s requirements under the 8-hour nance of the NAAQS; or
NAAQS. The State may not remove (ii) Submit a SIP providing for a 3
such measures from the SIP. percent increment of emissions reduc-
(3) 8–Hour NAAQS Attainment/1–Hour tions from the area’s 2002 emissions
NAAQS Nonattainment—(i) Obligations baseline; these reductions must be in
in an approved SIP. For an area that is addition to measures (or enforceable
8-hour NAAQS attainment/1-hour commitments to measures) in the SIP
394
at the time of the effective date of des- tion for the 8-hour NAAQS, the State
ignation and in addition to national or shall submit no later than 3 years after
regional measures. the area’s designation for the 8-hour
(2) The plan required under para- NAAQS, a maintenance plan for the 8-
graph (a)(3)(ii)(B)(1) of this section hour NAAQS in accordance with sec-
must provide for the emission reduction 110(a)(1) of the CAA. The mainte-
tions required within 3 years after the nance plan must provide for continued
date on which EPA publishes a deter- maintenance of the 8-hour NAAQS for
mination that a violation of the 8-hour 10 years following designation and
NAAQS has occurred. must include contingency measures.
(3) The State shall submit an ROP This provision does not apply to areas
plan to achieve any outstanding ROP redesignated from nonattainment to
reductions that were required for the attainment for the 8-hour NAAQS pur-
area for the 1-hour NAAQS, and the 3- suant to section 107(d)(3); such areas
year period or periods for achieving the are subject to the maintenance plan re-
ROP reductions will begin January 1 of quirement in section 175A of the CAA.
the year following the 3-year period on (b) Does attainment of the ozone
which EPA bases its determination NAAQS affect the obligations under para-
that a violation of the 8-hour NAAQS graph (a) of this section? A State re-
occurred. mains subject to the obligations under
(iii) Maintenance plans for the 8-hour paragraphs (a)(1)(i) and (a)(2) of this
NAAQS. For areas initially designated section until the area attains the 8-
attainment for the 8-hour NAAQS, and hour NAAQS. After the area attains
designated nonattainment for the 1- the 8-hour NAAQS, the State may re-
hour NAAQS at the time of designation quest such obligations be shifted to
for the 8-hour NAAQS, the State shall contingency measures, consistent with
submit no later than 3 years after the sections 110(l) and 193 of the CAA; how-
area’s designation for the 8-hour ever, the State cannot remove the obli-
NAAQS, a maintenance plan for the 8- gations from the SIP. Once an area at-
hour NAAQS in accordance with sec- tains the 1-hour NAAQS, the section
tion 110(a)(1) of the CAA. The mainte- 172 and 182 contingency measures under
nance plan must provide for continued the 1-hour NAAQS can be shifted to
maintenance of the 8-hour NAAQS for contingency measures for the 1997 8-
10 years following designation and hour ozone NAAQS and must remain in
must include contingency measures. the SIP until the area is redesignated
This provision does not apply to areas to attainment for the 1997 8-hour
redesignated from nonattainment to NAAQS.
attainment for the 8-hour NAAQS pur- (c) Which portions of an area des-
suant to CAA section 107(d)(3); such ignated for the 8-hour NAAQS remain
areas are subject to the maintenance subject to the obligations identified in
plan requirement in section 175A of the paragraph (a) of this section? (1) Except
CAA. as provided in paragraph (c)(2) of this
(4) 8-Hour NAAQS Attainment/1–Hour section, only the portion of the des-
NAAQS Maintenance—(i) Obligations in ignated area for the 8-hour NAAQS
an approved SIP. For an 8-hour NAAQS that was required to adopt the applica-
attainment/1-hour NAAQS mainte- ble requirements in § 51.900(f) for pur-
nance area, the State may request that poses of the 1-hour NAAQS is subject
obligations under the applicable re- to the obligations identified in para-
quirements of § 51.900(f) be shifted to graph (a) of this section, including the
contingency measures, consistent with requirement to submit a maintenance
sections 110(l) and 193 of the CAA, after plan for purposes of paragraph
revocation of the 1-hour NAAQS; how- (a)(3)(iii) of this section. 40 CFR part
ever, the State cannot remove the obli- 81, subpart C identifies the boundaries
gations from the SIP. of areas and the area designations and
(ii) Maintenance Plans for the 8-hour classifications for the 1-hour NAAQS in
NAAQS. For areas initially designated place as of the effective date of des-
attainment for the 8-hour NAAQS and ignation for the 8-hour NAAQS.
subject to the maintenance plan for the (2) For purposes of paragraph
1-hour NAAQS at the time of designa- (a)(1)(ii)(B) and (C) of this section, the
395
§ 51.906 40 CFR Ch. I (7–1–21 Edition)
requirement to achieve emission reduc- that require conformity determina-

tions applies to the entire area des- tions in such areas for the 1-hour
ignated nonattainment for the 8-hour NAAQS will no longer be enforceable
ozone NAAQS. pursuant to section 176(c)(5) of the
(d) [Reserved] CAA.
(e) What obligations that applied for (f) What is the continued applicability
the 1-hour NAAQS will no longer apply of the NOX SIP Call after revocation of
after revocation of the 1-hour NAAQS for the 1-hour NAAQS? The NOX SIP Call
an area?—(1) Maintenance plans. Upon shall continue to apply after revoca-
revocation of the 1-hour NAAQS, an tion of the 1-hour NAAQS. Control ob-
area with an approved 1-hour mainte- ligations approved into the SIP pursu-
nance plan under section 175A of the ant to 40 CFR 51.121 and 51.122 may be
CAA may modify the maintenance modified by the State only if the re-
plan: To remove the obligation to sub- quirements of §§ 51.121 and 51.122, in-
mit a maintenance plan for the 1-hour cluding the statewide NOX emission
NAAQS 8 years after approval of the budgets, continue to be met and the
initial 1-hour maintenance plan; and to State makes a showing consistent with
remove the obligation to implement section 110(l) of the CAA.
contingency measures upon a violation
of the 1-hour NAAQS. However, such [69 FR 23996, Apr. 30, 2004, as amended at 70
FR 30604, May 26, 2005; 70 FR 44474, Aug. 3,
requirements will remain enforceable 2005; 77 FR 28441, May 14, 2012]
as part of the approved SIP until such
time as EPA approves a SIP revision § 51.906 Redesignation to nonattain-
removing such obligations. The EPA ment following initial designations
shall not approve a SIP revision refor the 8-hour NAAQS.
questing these modifications until the
For any area that is initially des-
State submits and EPA approves an at-
ignated attainment or unclassifiable
tainment demonstration for the 8-hour
for the 8-hour NAAQS and that is sub-
NAAQS for an area initially designated
sequently redesignated to nonattain-
nonattainment for the 8-hour ozone
ment for the 8-hour ozone NAAQS, any
NAAQS or a maintenance SIP for the 8-
absolute, fixed date applicable in con-
hour NAAQS for an area initially des-
nection with the requirements of this
ignated attainment for the 8-hour
part is extended by a period of time
NAAQS. Any revision to such SIP must
equal to the length of time between the
meet the requirements of section 110(l)
effective date of the initial designation
and 193 of the CAA.
for the 8-hour NAAQS and the effective
(2) Findings of failure to attain the 1-
date of redesignation, except as other-
hour NAAQS. (i) Upon revocation of the
wise provided in this subpart.
1-hour NAAQS for an area, EPA is no
longer obligated— [70 FR 71700, Nov. 29, 2005]
(A) To determine pursuant to section
181(b)(2) or section 179(c) of the CAA § 51.907 For an area that fails to attain
whether an area attained the 1-hour the 8-hour NAAQS by its attainment
NAAQS by that area’s attainment date date, how does EPA interpret sec-
tions 172(a)(2)(C)(ii) and
for the 1-hour NAAQS; or 181(a)(5)(B) of the CAA?
(B) To reclassify an area to a higher
classification for the 1-hour NAAQS For purposes of applying sections
based upon a determination that the 172(a)(2)(C) and 181(a)(5) of the CAA, an
area failed to attain the 1-hour NAAQS area will meet the requirement of sec-
by the area’s attainment date for the 1- tion 172(a)(2)(C)(ii) or 181(a)(5)(B) of the
hour NAAQS. CAA pertaining to 1-year extensions of
(ii)–(iii) [Reserved] the attainment date if:
(3) Conformity determinations for the 1- (a) For the first 1-year extension, the
hour NAAQS. Upon revocation of the 1- area’s 4th highest daily 8-hour average
hour NAAQS for an area, conformity in the attainment year is 0.084 ppm or
determinations pursuant to section less.
176(c) of the CAA are no longer re- (b) For the second 1-year extension,
quired for the 1-hour NAAQS. At that the area’s 4th highest daily 8-hour
time, any provisions of applicable SIPs value, averaged over both the original
396
attainment year and the first exten- § 51.909 [Reserved]

sion year, is 0.084 ppm or less.
(c) For purposes of paragraphs (a) and § 51.910 What requirements for reason-
(b) of this section, the area’s 4th high- able further progress (RFP) under
est daily 8-hour average shall be from sections 172(c)(2) and 182 apply for
areas designated nonattainment for
the monitor with the highest 4th high- the 8-hour ozone NAAQS?
est daily 8-hour average of all the mon-
itors that represent that area. (a) What are the general requirements
for RFP for an area classified under sub-
§ 51.908 What modeling and attain- part 2 pursuant to § 51.903? For an area
ment demonstration requirements classified under subpart 2 pursuant to
apply for purposes of the 8-hour § 51.903, the RFP requirements specified
ozone NAAQS? in section 182 of the Act for that area’s
(a) What is the attainment demonstra- classification shall apply.
tion requirement for an area classified as (1) What is the content and timing of
moderate or higher under subpart 2 pur- the RFP plan required under sections
suant to § 51.903? An area classified as 182(b)(1) and 182(c)(2)(B) of the Act for an
moderate or higher under § 51.903 shall area classified as moderate or higher pur-
be subject to the attainment dem- suant to § 51.903 (subpart 2 coverage)?
onstration requirement applicable for (i) Moderate or Above Area. (A) Except
that classification under section 182 of as provided in paragraph (a)(1)(ii) of
the Act, except such demonstration is this section, for each area classified as
moderate or higher, the State shall
due no later than 3 years after the
submit a SIP revision consistent with
area’s designation for the 8-hour
section 182(b)(1) of the Act no later
NAAQS.
than 3 years after designation for the 8-
(b) What is the attainment demonstra- hour NAAQS for the area. The 6-year
tion requirement for an area subject only period referenced in section 182(b)(1) of
to subpart 1 in accordance with the Act shall begin January 1 of the
§ 51.902(b)? An area subject to § 51.902(b) year following the year used for the
shall be subject to the attainment dem- baseline emissions inventory.
onstration under section 172(c)(1) of the (B) For each area classified as serious
Act and shall submit an attainment or higher, the State shall submit a SIP
demonstration no later than 3 years revision consistent with section
after the area’s designation for the 8- 182(c)(2)(B) of the Act no later than 3
hour NAAQS. years after designation for the 8-hour
(c) What criteria must the attainment NAAQS. The final increment of
demonstration meet? An attainment progress must be achieved no later
demonstration due pursuant to para- than the attainment date for the area.
graph (a) or (b) of this section must (ii) Area with Approved 1-hour Ozone
meet the requirements of § 51.112; the 15 Percent VOC ROP Plan. An area clas-
adequacy of an attainment demonstra- sified as moderate or higher that has
tion shall be demonstrated by means of the same boundaries as an area, or is
a photochemical grid model or any entirely composed of several areas or
other analytical method determined by portions of areas, for which EPA fully
the Administrator, in the Administra- approved a 15 percent plan for the 1-
tor’s discretion, to be at least as effec- hour NAAQS is considered to have met
tive. section 182(b)(1) of the Act for the 8-
(d) For each nonattainment area, the hour NAAQS and instead:
State must provide for implementation (A) If classified as moderate, the area
of all control measures needed for at- is subject to RFP under section
tainment no later than the beginning 172(c)(2) of the Act and shall submit no
of the attainment year ozone season. later than 3 years after designation for
the 8-hour NAAQS a SIP revision that
[69 FR 23996, Apr. 30, 2004, as amended at 70 meets the requirements of paragraph
FR 71700, Nov. 29, 2005] (b)(2) of this section, consistent with
the attainment date established in the
attainment demonstration SIP.
397
§ 51.910 40 CFR Ch. I (7–1–21 Edition)
(B) If classified as serious or higher, year period referenced in section

the area is subject to RFP under sec- 182(b)(1) of the Act shall begin January
tion 182(c)(2)(B) of the Act and shall 1 of the year following the year used
submit no later than 3 years after des- for the baseline emissions inventory.
ignation for the 8-hour NAAQS an RFP Emissions reductions to meet this re-
SIP providing for an average of 3 per- quirement may come from anywhere
cent per year of VOC and/or NOX emis- within the 8-hour nonattainment area.
sions reductions for (2) For the portion of the area with
(1) the 6-year period beginning Janu- an approved 15 percent VOC plan for
ary 1 of the year following the year the 1-hour NAAQS, the State shall sub-
used for the baseline emissions inven- mit a SIP as required under paragraph
tory; and (b)(2)of this section.
(2) all remaining 3-year periods after (2) What restrictions apply on the cred-
the first 6-year period out to the area’s itability of emission control measures for
attainment date. the RFP plans required under this sec-
(iii) Moderate and Above Area for tion? Except as specifically provided in
Which Only a Portion Has an Approved section 182(b)(1)(C) and (D) and section
1-hour Ozone 15 Percent VOC ROP Plan. 182(c)(2)(B) of the Act, all SIP-approved
An area classified as moderate or high- or federally promulgated emissions re-
er that contains one or more areas, or ductions that occur after the baseline
portions of areas, for which EPA fully emissions inventory year are cred-
approved a 15 percent plan for the 1- itable for purposes of the RFP require-
hour NAAQS as well as areas for which ments in this section, provided the re-
EPA has not fully approved a 15 per- ductions meet the requirements for
cent plan for the 1-hour NAAQS shall creditability, including the need to be
meet the requirements of either para- enforceable, permanent, quantifiable
graph (a)(1)(iii)(A) or (B) below. and surplus, as described for purposes
(A) The State shall not distinguish of State economic incentive programs
between the portion of the area that in the requirements of § 51.493 of this
previously met the 15 percent VOC re- part.
duction requirement and the portion of (b) How does the RFP requirement of
the area that did not, and section 172(c)(2) of the Act apply to areas
(1) The State shall submit a SIP revi- subject to that requirement? (1) An area
sion consistent with section 182(b)(1) of subject to the RFP requirement of sub-
the Act no later than 3 years after des- part 1 pursuant to § 51.902(b) or a mod-
ignation for the 8-hour NAAQS for the erate area subject to subpart 2 as cov-
entire area. The 6-year period ref- ered in paragraphs (a)(1)(ii)(A) of this
erenced in section 182(b)(1) of the Act section shall meet the RFP require-
shall begin January 1 of the year fol- ments of section 172(c)(2) of the Act as
lowing the year used for the baseline provided in paragraph (b)(2) of this sec-
emissions inventory. tion.
(2) For each area classified as serious (2) The State shall submit no later
or higher, the State shall submit a SIP than 3 years following designation for
revision consistent with section the 8-hour NAAQS a SIP providing for
182(c)(2)(B) of the Act no later than 3 RFP consistent with the following:
years after designation for the 8-hour (i) For each area with an attainment
NAAQS. The final increment of demonstration requesting an attain-
progress must be achieved no later ment date of 5 years or less after des-
than the attainment date for the area. ignation for the 8-hour NAAQS, the at-
(B) The State shall treat the area as tainment demonstration SIP shall re-
two parts, each with a separate RFP quire that all emissions reductions
target as follows: needed for attainment be implemented
(1) For the portion of the area with- by the beginning of the attainment
out an approved 15 percent VOC RFP year ozone season.
plan for the 1-hour standard, the State (ii) For each area with an attainment
shall submit a SIP revision consistent demonstration requesting an attain-
with section 182(b)(1) of the Act no ment date more than 5 years after des-
later than 3 years after designation for ignation for the 8-hour NAAQS, the at-
the 8-hour NAAQS for the area. The 6- tainment demonstration SIP—
398
(A) Shall provide for a 15 percent line year rather than 2002 to comply
emission reduction from the baseline with the CAA’s RFP provisions.
year within 6 years after the baseline [70 FR 71700, Nov. 29, 2005]
year.
(B) May use either NOX or VOC emis- § 51.911 [Reserved]
sions reductions (or both) to achieve
the 15 percent emission reduction re- § 51.912 What requirements apply for
quirement. Use of NOX emissions reduc- reasonably available control tech-
nology (RACT) and reasonably
tions must meet the criteria in section available control measures (RACM)
182(c)(2)(C) of the Act. under the 8-hour NAAQS?
(C) For each subsequent 3-year period
(a) What is the RACT requirement for
out to the attainment date, the RFP
areas subject to subpart 2 in accordance
SIP must provide for an additional in- with § 51.903? (1) For each area subject
crement of progress. The increment for to subpart 2 in accordance with § 51.903
each 3-year period must be a portion of of this part and classified moderate or
the remaining emission reductions higher, the State shall submit a SIP re-
needed for attainment beyond those revision that meets the NOX and VOC
ductions achieved for the first incre- RACT requirements in sections
ment of progress (e.g., beyond 2008 for 182(b)(2) and 182(f) of the Act.
areas designated nonattainment in (2) The State shall submit the RACT
June 2004). Specifically, the amount of SIP for each area no later than 27
reductions needed for attainment is di- months after designation for the 8-hour
vided by the number of years needed ozone NAAQS, except that for a State
for attainment after the first incre- subject to the requirements of the
ment of progress in order to establish Clean Air Interstate Rule, the State
an ‘‘annual increment.’’ For each 3- shall submit NOX RACT SIPs for elec-
year period out to the attainment date, trical generating units (EGUs) no later
the area must achieve roughly the por- than the date by which the area’s at-
tion of reductions equivalent to three tainment demonstration is due (prior
annual increments. to any reclassification under section
(c) What method should a State use to 181(b)(3)) for the 8-hour ozone national
calculate RFP targets? In calculating ambient air quality standard, or July
RFP targets for the initial 6-year pe- 9, 2007, whichever comes later.
riod and the subsequent 3-year periods (3) The State shall provide for imple-
pursuant to this section, the State mentation of RACT as expeditiously as
shall use the methods consistent with practicable but no later than the first
the requirements of sections ozone season or portion thereof which
182(b)(1)(C) and (D) and 182(c)(2)(B) to occurs 30 months after the RACT SIP
is due.
properly account for non-creditable re-
(b) How do the RACT provisions apply
ductions.
to a major stationary source? Volatile or-
(d) What is the baseline emissions in- ganic compounds and NOX are to be
ventory for RFP plans? For the RFP considered separately for purposes of
plans required under this section, the determining whether a source is a
baseline emissions inventory shall be major stationary source as defined in
determined at the time of designation section 302 of the Act.
of the area for the 8-hour NAAQS and (c) What is the RACT requirement for
shall be the emissions inventory for areas subject only to subpart 1 pursuant
the most recent calendar year for to § 51.902(b)? Areas subject only to sub-
which a complete inventory is required part 1 pursuant to § 51.902(b) are subject
to be submitted to EPA under the pro- to the RACT requirement specified in
visions of subpart A of this part or a section 172(c)(1) of the Act.
more recent alternative baseline emis- (1) For an area that submits an at-
sions inventory provided the State tainment demonstration that requests
demonstrates that the baseline inven- an attainment date 5 years or less after
tory meets the CAA provisions for RFP designation for the 8-hour NAAQS, the
and provides a rationale for why it is State shall meet the RACT require-
appropriate to use the alternative base- ment by submitting an attainment
399
§ 51.913 40 CFR Ch. I (7–1–21 Edition)
demonstration SIP demonstrating that § 51.915 What emissions inventory re-

the area has adopted all control meas- quirements apply under the 8-hour
ures necessary to demonstrate attain- NAAQS?
ment as expeditiously as practicable. For each nonattainment area subject
(2) For an area that submits an at- to subpart 2 in accordance with § 51.903,
tainment demonstration that requests the emissions inventory requirements
an attainment date more than 5 years in sections 182(a)(1) and 182(a)(3) of the
after designation for the 8-hour
Act shall apply, and such SIP shall be
NAAQS, the State shall submit a SIP
due no later 2 years after designation.
consistent with the requirements of
For each nonattainment area subject
§ 51.912(a) and (b) except the State shall
submit the RACT SIP for each area only to title I, part D, subpart 1 of the
with its request pursuant to Clean Air Act in accordance with § 51.902(b), the
Act section 172(a)(2)(A) to extend the emissions inventory requirement in
attainment date. section 172(c)(3) of the Act shall apply,
(d) What is the Reasonably Available and an emission inventory SIP shall be
Control Measures (RACM) requirement due no later 3 years after designation.
for areas designated nonattainment for The state must report to the EPA sum-
the 8-hour NAAQS? For each nonattain- mer day emissions of NOX and VOC
ment area required to submit an at- from all point sources, nonpoint
tainment demonstration under § 51.908, sources, onroad mobile sources, and
the State shall submit with the attain- nonroad mobile sources. The state
ment demonstration a SIP revision shall report emissions as point sources
demonstrating that it has adopted all according to the point source emissions
RACM necessary to demonstrate at- thresholds of the Air Emissions Re-
tainment as expeditiously as prac- porting Rule (AERR), 40 CFR part 51,
ticable and to meet any RFP require- subpart A. The detail of the emissions
ments. inventory shall be consistent with the
data elements required by 40 CFR part
FR 31749, June 8, 2007] 51, subpart A.
[80 FR 8799, Feb. 19, 2015]
§ 51.913 How do the section 182(f) NOX
exemption provisions apply for the § 51.916 What are the requirements for
8-hour NAAQS? an Ozone Transport Region under
(a) A person may petition the Admin- the 8-hour NAAQS?
istrator for an exemption from NOX ob- (a) In General. Sections 176A and 184
ligations under section 182(f) for any of the Act apply for purposes of the 8-
area designated nonattainment for the hour NAAQS.
8-hour ozone NAAQS and for any area (b) RACT Requirements for Certain
in a section 184 ozone transport region.
Portions of an Ozone Transport Region.
(b) The petition must contain ade-
(1) The State shall submit a SIP revi-
quate documentation that the criteria
sion that meets the RACT require-
in section 182(f) are met.
ments of section 184 of the Act for each
(c) A section 182(f) NOX exemption
area that is located in an ozone trans-
granted for the 1-hour ozone standard
port region and that is—
does not relieve the area from any NOX
obligations under section 182(f) for the (i) Designated as attainment or
8-hour ozone standard. unclassifiable for the 8-hour standard;
(ii) Designated nonattainment and
[70 FR 71701, Nov. 29, 2005] classified as marginal for the 8-hour
standard; or
§ 51.914 What new source review re-
quirements apply for 8-hour ozone (iii) Designated nonattainment and
nonattainment areas? covered solely under subpart 1 of part
D, title I of the CAA for the 8-hour
The requirements for new source re- standard.
view for the 8-hour ozone standard are
(2) The State is required to submit
located in § 51.165 of this part.
the RACT revision no later than Sep-
[70 FR 71702, Nov. 29, 2005] tember 16, 2006 and shall provide for
400
implementation of RACT as expedi- Subpart Y—Mitigation

tiously as practicable but no later than Requirements
May 1, 2009.
§ 51.930 Mitigation of Exceptional
[70 FR 71702, Nov. 29, 2005] Events.
§ 51.917 What is the effective date of (a) A State requesting to exclude air
designation for the Las Vegas, NV, quality data due to exceptional events
8-hour ozone nonattainment area? must take appropriate and reasonable
actions to protect public health from
The Las Vegas, NV, 8-hour ozone non- exceedances or violations of the na-
attainment area (designated on Sep- tional ambient air quality standards.
tember 17, 2004 (69 FR 55956)) shall be At a minimum, the State must:
treated as having an effective date of (1) Provide for prompt public notifi-
designation of June 15, 2004, for pur- cation whenever air quality concentra-
poses of calculating SIP submission tions exceed or are expected to exceed
deadlines, attainment dates, or any an applicable ambient air quality
other deadline under this subpart. standard;
(2) Provide for public education con-
[70 FR 71702, Nov. 29, 2005]
cerning actions that individuals may
§ 51.918 Can any SIP planning require- take to reduce exposures to unhealthy
ments be suspended in 8-hour levels of air quality during and fol-
ozone nonattainment areas that lowing an exceptional event; and
have air quality data that meets the (3) Provide for the implementation of
NAAQS? appropriate measures to protect public
health from exceedances or violations
Upon a determination by EPA that
of ambient air quality standards
an area designated nonattainment for caused by exceptional events.
the 8-hour ozone NAAQS has attained (b) Development of mitigation plans for
the standard, the requirements for areas with historically documented or
such area to submit attainment dem- known seasonal events—(1) Generally. All
onstrations and associated reasonably States having areas with historically
available control measures, reasonable documented or known seasonal events
further progress plans, contingency shall be required to develop a mitiga-
measures, and other planning SIPs re- tion plan with the components identi-
lated to attainment of the 8-hour ozone fied in paragraph (b)(2) of this section
NAAQS shall be suspended until such and submit such plan to the Adminis-
time as: the area is redesignated to at- trator according to the requirements in
tainment, at which time the require- paragraph (b)(3) of this section.
ments no longer apply; or EPA deter- (i) For purposes of the requirements
mines that the area has violated the 8- set forth in this section, historically
hour ozone NAAQS. documented or known seasonal events
shall include those events of the same
[70 FR 71702, Nov. 29, 2005] type and pollutant that recur in a 3-
year period and meet any of the fol-
§ 51.919 Applicability. lowing:
As of April 6, 2015, the provisions of (A) Three events or event seasons for
subpart AA shall replace the provisions which a State submits a demonstration
of subpart X, §§ 51.900 to 51.918, which under the provisions of 40 CFR 50.14 in
will cease to apply, with the exception a 3-year period; or
of the attainment date extension provi- (B) Three events or event seasons
sions of § 51.907 for the anti-backsliding that are the subject of an initial notifi-
purposes of § 51.1105(d)(2). cation of a potential exceptional event
as defined in 40 CFR 50.14(c)(2) in a 3-
[80 FR 12312, Mar. 6, 2015] year period regardless of whether the
State submits a demonstration under
the provisions of 40 CFR 50.14.
(ii) The Administrator will provide
written notification to States that
they are subject to the requirements in
401
§ 51.1000 40 CFR Ch. I (7–1–21 Edition)
paragraph (b) of this section when the and evaluation process that it intends
Administrator becomes aware of appli- to follow for reviews following the ini-
cability. tial review identified in paragraph
(2) Plan components. At a minimum, (b)(2)(iii)(A) of this section.
each mitigation plan developed under (3) Submission of mitigation plans. All
this paragraph shall contain provisions States subject to the provisions of
for the following: paragraph (b) of this section shall,
(i) Public notification to and edu- after notice and opportunity for public
cation programs for affected or poten- comment identified in paragraph
tially affected communities. Such noti- (b)(2)(iii)(A) of this section, submit a
fication and education programs shall mitigation plan to the Administrator
apply whenever air quality concentra- for review and verification of the plan
tions exceed or are expected to exceed components identified in paragraph
a national ambient air quality stand- (b)(2) of this section.
ard with an averaging time that is less (i) States shall submit their mitiga-
than or equal to 24-hours. tion plans within 2 years of being noti-
(ii) Steps to identify, study and im- fied that they are subject to the provi-
plement mitigating measures, includ- sions of paragraph (b) of this section.
ing approaches to address each of the (ii) The Administrator shall review
following: each mitigation plan developed accord-
(A) Measures to abate or minimize ing to the requirements in paragraph
contributing controllable sources of (b)(2) of this section and shall notify
identified pollutants. the submitting State upon completion
(B) Methods to minimize public expo- of such review.
sure to high concentrations of identi- [81 FR 68282, Oct. 3, 2016]
fied pollutants.
(C) Processes to collect and maintain
data pertinent to the event. Subpart Z—Provisions for Imple-
(D) Mechanisms to consult with mentation of PM2.5 National
other air quality managers in the af- Ambient Air Quality Stand-
fected area regarding the appropriate ards
responses to abate and minimize im-
pacts. SOURCE: 81 FR 58151, Aug. 24, 2016, unless
(iii) Provisions for periodic review otherwise noted.
and evaluation of the mitigation plan
and its implementation and effective- § 51.1000 Definitions.
ness by the State and all interested The following definitions apply for
stakeholders. purposes of this subpart. Any term not
(A) With the submission of the initial defined herein shall have the meaning
mitigation plan according to the re- as defined in 40 CFR 51.100 or Clean Air
quirements in paragraph (b)(3) of this Act section 302.
section that contains the elements in Act means the Clean Air Act as codi-
paragraph (b)(2) of this section, the fied at 42 U.S.C. 7401–7671q (2003).
State must: Additional feasible measure is any con-
(1) Document that a draft version of trol measure that otherwise meets the
the mitigation plan was available for definition of ‘‘best available control
public comment for a minimum of 30 measure’’ (BACM) but can only be im-
days; plemented in whole or in part begin-
(2) Submit the public comments it re- ning 4 years after the date of reclassi-
ceived along with its mitigation plan fication of an area as Serious and no
to the Administrator; and later than the statutory attainment
(3) In its submission to the Adminis- date for the area.
trator, for each public comment re- Additional reasonable measure is any
ceived, explain the changes made to control measure that otherwise meets
the mitigation plan or explain why the the definition of ‘‘reasonably available
State did not make any changes to the control measure’’ (RACM) but can only
mitigation plan. be implemented in whole or in part
(B) The State shall specify in its during the period beginning 4 years
mitigation plan the periodic review after the effective date of designation
402
of a nonattainment area and no later nent and enforceable emissions reduc-

than the end of the sixth calendar year tions in direct PM2.5 emissions and/or
following the effective date of designa- emissions of PM2.5 plan precursors from
tion of the area. sources in the area than can be
Applicable annual standard is the an- achieved through the implementation
nual PM2.5 NAAQS established, revised, of RACM on the same source(s). BACM
or retained as a result of a particular includes best available control tech-
PM2.5 NAAQS review. nology (BACT).
Applicable attainment date means the Date of designation means the effec-
latest statutory date by which an area tive date of a PM2.5 area designation as
is required to attain a particular PM2.5 promulgated by the Administrator.
NAAQS, unless the EPA has approved Date of reclassification means the ef-
an attainment plan for the area to at- fective date of a PM2.5 area reclassifica-
tain such NAAQS, in which case the tion from Moderate to Serious as pro-
applicable attainment date is the date mulgated by the Administrator.
approved under such attainment plan. Direct PM2.5 emissions means solid or
If the EPA grants an extension of an liquid particles emitted directly from
approved attainment date, then the ap- an air emissions source or activity, or
plicable attainment date for the area reaction products of gases emitted di-
shall be the extended date. rectly from an air emissions source or
Applicable 24-hour standard is the 24-
activity which form particulate matter
hour PM2.5 NAAQS established, revised,
as they reach ambient temperatures.
or retained as a result of a particular
Direct PM2.5 emissions include filter-
PM2.5 NAAQS review.
able and condensable PM2.5 emissions
Attainment projected inventory for the
composed of elemental carbon, directly
nonattainment area means the projected
emitted organic carbon, directly emit-
emissions of direct PM2.5 and all PM2.5
ted sulfate, directly emitted nitrate,
precursors on the projected attainment
and other organic or inorganic par-
date for the area. This projected inven-
ticles that exist or form through reac-
tory includes sources included in the
tions as emissions reach ambient tem-
base year inventory for the nonattain-
ment area revised to account for peratures (including but not limited to
changes in direct PM2.5 and all PM2.5 crustal material, metals, and sea salt).
precursors through implementation of Implemented means adopted by the
the plan and any additional sources of state, fully approved into the SIP by
such emissions expected within the the EPA, and requiring expeditious
boundaries of the nonattainment area compliance by affected sources with in-
by the projected attainment date for stallation and/or operation of any
the area. equipment, control device, process
Average-season-day emissions means change, or other emission reduction ac-
the sum of all emissions during the ap- tivity.
plicable season divided by the number Major stationary source means any sta-
of days in that season. tionary source of air pollutant(s) that
Base year inventory for the nonattain- emits, or has the potential to emit 100
ment area means the actual emissions tons per year or more of direct PM2.5 or
of direct PM2.5 and all PM2.5 precursors any PM2.5 precursor in any Moderate
from all sources within the boundaries nonattainment area for the PM2.5
of a nonattainment area in one of the NAAQS, or 70 tons per year or more of
3 years used for purposes of designa- direct PM2.5 or any PM2.5 precursor in
tions or another technically appro- any Serious nonattainment area for
priate year. the PM2.5 NAAQS.
Best available control measure (BACM) Mobile source means mobile sources
is any technologically and economi- as defined by 40 CFR 51.50.
cally feasible control measure that can Most stringent measure (MSM) is any
be implemented in whole or in part permanent and enforceable control
within 4 years after the date of reclas- measure that achieves the most strin-
sification of a Moderate PM2.5 non- gent emissions reductions in direct
attainment area to Serious and that PM2.5 emissions and/or emissions of
generally can achieve greater perma- PM2.5 plan precursors from among
403
§ 51.1001 40 CFR Ch. I (7–1–21 Edition)
those control measures which are ei- RACM includes reasonably available
ther included in the SIP for any other control technology (RACT).
NAAQS, or have been achieved in prac- RFP projected emissions means the es-
tice in any state, and that can feasibly timated emissions for direct PM2.5 and
be implemented in the relevant PM2.5 PM2.5 plan precursors by source cat-
NAAQS nonattainment area. egory or subcategory for the years in
Nonpoint source means nonpoint which quantitative milestones are due
sources as defined by 40 CFR 51.50. for a nonattainment area.
PM2.5 design value (DV) for a PM2.5 Subpart 1 means subpart 1 of part D
nonattainment area is the highest of of title I of the Act.
the 3-year average concentrations cal- Subpart 4 means subpart 4 of part D
culated for the ambient air quality of title I of the Act.
monitors in the area, in accordance
with 40 CFR part 50, appendix N. § 51.1001 Applicability of part 51.
PM2.5 NAAQS are the fine particulate
The provisions in subparts A through
matter National Ambient Air Quality
X of this part apply to areas for pur-
Standards codified at 40 CFR part 50.
poses of the PM2.5 NAAQS to the extent
PM2.5 plan precursors are those PM2.5
they are not inconsistent with the pro-
precursors required to be regulated in
visions of this subpart.
the applicable attainment plan and/or
NNSR program. § 51.1002 Classifications and reclassi-
PM2.5 precursors are Sulfur dioxide fications.
(SO2), Oxides of nitrogen (NOX), Vola-
tile organic compounds (VOC), and Am- (a) Initial classification as Moderate
monia (NH3). PM2.5 nonattainment area. Any area des-
Point source means point sources as ignated nonattainment for a PM2.5
defined by 40 CFR 51.50. NAAQS shall be classified at the time
Precursor demonstration means an op- of such designation, by operation of
tional set of analyses provided by a law, as a Moderate PM2.5 nonattain-
state that are designed to show that ment area.
emissions of a particular PM2.5 pre- (b) Reclassification as Serious PM2.5
cursor do not contribute significantly nonattainment area. A Moderate non-
to PM2.5 levels that exceed the relevant attainment area shall be reclassified to
PM2.5 standard in a particular non- Serious under the following cir-
attainment area. The three types of cumstances:
precursor demonstrations provided in (1) The EPA shall reclassify as Seri-
this rule are the comprehensive pre- ous through notice-and-comment rule-
cursor demonstration, the major sta- making any Moderate PM2.5 nonattain-
tionary source precursor demonstra- ment area that the EPA determines
tion, and the NNSR precursor dem- cannot practicably attain a particular
onstration. PM2.5 NAAQS by the applicable Mod-
Reasonable further progress (RFP) erate area attainment date.
means such annual incremental reduc- (2) A Moderate PM2.5 nonattainment
tions in emissions of direct PM2.5 and area shall be reclassified by operation
PM2.5 plan precursors as are required of law as a Serious nonattainment area
for the purpose of ensuring attainment if the EPA finds through notice-and-
of the applicable PM2.5 NAAQS in a comment rulemaking that the area
nonattainment area by the applicable failed to attain a particular PM2.5
attainment date. NAAQS by the applicable Moderate
Reasonably available control measure area attainment date.
(RACM) is any technologically and eco-
nomically feasible measure that can be § 51.1003 Attainment plan due dates
implemented in whole or in part within and submission requirements.
4 years after the effective date of des- (a) Nonattainment areas initially classi-
ignation of a PM2.5 nonattainment area fied as Moderate. (1) For any area des-
and that achieves permanent and en- ignated as nonattainment and initially
forceable reductions in direct PM2.5 classified as Moderate for a PM2.5
emissions and/or PM2.5 plan precursor NAAQS, the state(s) shall submit a
emissions from sources in the area. Moderate area attainment plan that
404
meets all of the following require- (2) The state(s) shall submit its Seri-
ments: ous area attainment plan to the EPA
(i) Base year emissions inventory re- according to the following schedule:
quirements set forth at § 51.1008(a)(1); (i) Discretionary reclassification. (A)
(ii) Attainment projected emissions For any nonattainment area reclassi-
inventory requirements set forth at fied to Serious for a particular PM2.5
§ 51.1008(a)(2); NAAQS under § 51.1002(b)(1) because the
(iii) Moderate area attainment plan EPA determined it cannot practicably
control strategy requirements set forth attain the NAAQS by the applicable
at § 51.1009; Moderate area attainment date, the
(iv) Attainment demonstration and state(s) shall submit to the EPA no
modeling requirements set forth at later than 18 months from the effective
§ 51.1011; date of reclassification the portion of
(v) Reasonable Further Progress the Serious area attainment plan that
(RFP) requirements set forth at meets the following requirements:
§ 51.1012; (1) Base year emissions inventory re-
(vi) Quantitative milestone require- quirements set forth at § 51.1008(b)(1);
ments set forth at § 51.1013; (2) Serious area attainment plan con-
(vii) Contingency measure require- trol strategy requirements set forth at
ments set forth at § 51.1014; and, § 51.1010(a)(1) through (4); and,
(3) Nonattainment new source review
(viii) Nonattainment new source re-
plan requirements pursuant to § 51.165.
view plan requirements pursuant to
(B) The state(s) shall submit to the
§ 51.165.
EPA the portion of the Serious area at-
(2) The state(s) shall submit its Mod-
tainment plan that meets the require-
erate area attainment plan to the EPA
ments set forth at paragraphs (b)(1)(ii),
no later than 18 months from the effec-
and (b)(1)(iv) through (vii) of this sec-
tive date of designation of the area.
tion to the EPA by a date that is no
(b) Nonattainment areas reclassified to later than 4 years after the effective
Serious. (1) For any nonattainment area date of reclassification, or 2 years prior
reclassified to Serious for a PM2.5 to the attainment date, whichever is
NAAQS under § 51.1002(b), in addition to earlier.
meeting the Moderate area attainment (ii) Mandatory reclassification. For
plan submission requirements set forth any nonattainment area reclassified to
at § 51.1003(a), the state(s) shall submit Serious for a particular PM2.5 NAAQS
a Serious area attainment plan that under § 51.1002(b)(2) because the EPA
meets all of the following require- determined it failed to attain the
ments: NAAQS by the applicable Moderate
(i) Base year emissions inventory re- area attainment date, the state(s) shall
quirements set forth at § 51.1008(b)(1); submit to the EPA a Serious area at-
(ii) Attainment projected emissions tainment plan meeting the require-
inventory requirements set forth at ments set forth at paragraphs (b)(1)(i)
§ 51.1008(b)(2); through (viii) of this section within 18
(iii) Serious area attainment plan months from the effective date of re-
control strategy requirements set forth classification, or 2 years before the at-
at § 51.1010; tainment date, whichever is earlier.
(iv) Attainment demonstration and (iii) If the state(s) submits to the
modeling requirements set forth at EPA a request for a Serious area at-
§ 51.1011; tainment date extension simultaneous
(v) Reasonable Further Progress with the Serious area attainment plan
(RFP) requirements set forth at due under paragraph (b)(1) of this sec-
§ 51.1012; tion, such a plan shall meet the most
(vi) Quantitative milestone require- stringent measure (MSM) requirements
ments set forth at § 51.1013; set forth at § 51.1010(b) in addition to
(vii) Contingency measure require- the BACM and BACT and additional
ments set forth at § 51.1014; and, feasible measure requirements set
(viii) Nonattainment new source re- forth at § 51.1010(a).
view plan requirements pursuant to (c) Serious nonattainment areas subject
§ 51.165. to CAA section 189(d) for failing to attain
405
§ 51.1004 40 CFR Ch. I (7–1–21 Edition)
the PM2.5 NAAQS by the applicable Seri- the projected attainment date for each
ous area attainment date. (1) For any Se- such nonattainment area (or portion of
rious nonattainment area that fails to a nonattainment area) as part of the
attain the PM2.5 NAAQS by the applica- demonstration of attainment developed
ble Serious area attainment date, the and submitted according to the re-
state(s) shall submit a revised Serious quirements set forth at § 51.1011 and ac-
area attainment plan that dem- cording to the following:
onstrates that each year the area will (1) Nonattainment areas initially
achieve at least a 5 percent reduction classified as Moderate.
in emissions of direct PM2.5 or a 5 per- (i) Except for nonattainment areas
cent reduction in emissions of a PM2.5 that meet the criterion under para-
plan precursor based on the most re- graph (a)(1)(ii) of this section, the pro-
cent emissions inventory for the area. jected attainment date for a Moderate
The revised attainment plan shall meet PM2.5 nonattainment area shall be as
the following requirements: expeditious as practicable through the
(i) Emissions inventory requirements implementation of all control meas-
set forth at § 51.1008(c)(1); ures required under § 51.1009. The at-
(ii) Emissions inventory require- tainment date may be as late as the
ments set forth at § 51.1008(c)(2); end of the sixth calendar year after the
(iii) Serious area attainment plan effective date of designation if the
control strategy requirements set forth state demonstrates that the implemen-
at § 51.1010; tation of the control measures that
(iv) Attainment demonstration and qualify as RACM, RACT, and addi-
modeling requirements set forth at
tional reasonable measures, but that
§ 51.1011;
are not necessary for demonstrating
(v) Reasonable Further Progress
attainment by the end of the sixth cal-
(RFP) requirements set forth at
endar year after the effective date of
§ 51.1012;
designation, will not collectively ad-
(vi) Quantitative milestone require-
vance the attainment date by at least
ments set forth at § 51.1013;
1 year.
(vii) Contingency measure require-
ments set forth at § 51.1014; and (ii) The projected attainment date
(viii) Nonattainment new source refor a Moderate PM2.5 nonattainment
view plan requirements pursuant to area which the state demonstrates can-
§ 51.165. not practicably attain the applicable
(2) The state(s) shall submit to the PM2.5 NAAQS by the end of the sixth
EPA the revised attainment plan meet- calendar year after the effective date
ing the requirements set forth at para- of designation of the area with the im-
graphs (c)(1)(i) through (vii) of this sec- plementation of all control measures
tion no later than 12 months from the required under § 51.1009 shall be the end
applicable Serious area attainment of the sixth calendar year after the ef-
date that was previously missed. fective date of designation unless and
(d) Any attainment plan submitted until the area is reclassified as Serious
to the EPA under this section shall es- according to § 51.1002.
tablish motor vehicle emissions budg- (2) Nonattainment areas reclassified to
ets for the projected attainment year Serious. (i) Except for nonattainment
for the area, if applicable. The state areas that meet the criterion under
shall develop such budgets according to paragraph (a)(2)(ii) of this section, the
the requirements of the transportation projected attainment date for a Serious
conformity rule as they apply to PM2.5 PM2.5 nonattainment area shall be as
nonattainment areas (40 CFR part 93). expeditious as practicable with the im-
plementation of all control measures
§ 51.1004 Attainment dates. required under § 51.1010 but no later
(a) The state shall submit a projected than the end of the tenth calendar year
attainment date as part of its attain- after the effective date of designation.
ment plan submission under § 51.1003 (ii) A state that submits an attain-
for any PM2.5 NAAQS nonattainment ment plan that demonstrates that a
area located in whole or in part within Serious PM2.5 nonattainment area can-
its boundaries. The state shall justify not practicably attain the PM2.5
406
NAAQS by the end of the tenth cal- § 51.1005 Attainment date extensions.
endar year following the effective date
(a) Nonattainment areas initially classi-
of designation of the area with the im- fied as Moderate. (1) A state with a Mod-
plementation of all control measures erate PM2.5 nonattainment area may
required under § 51.1010(a) must request apply for a 1-year attainment date ex-
an extension of the Serious area at- tension for the area if the following
tainment date consistent with conditions are met in the calendar year
§ 51.1005(b). The request must propose a that includes the applicable attain-
projected attainment date for the non- ment date for the area:
attainment area that is as expeditious (i) The state has complied with all re-
as practicable, but no later than the quirements and commitments per-
end of the fifteenth calendar year fol- taining to the area in the applicable
lowing the effective date of designation implementation plan;
of the area. (ii) For an area designated nonattain-
(3) Serious nonattainment areas sub- ment for a particular 24-hour PM2.5
ject to CAA section 189(d) for failing to NAAQS for which the state seeks an
attain by the applicable Serious area attainment date extension, the 98th
attainment date. The projected attain- percentile 24-hour concentration at
ment date for a Serious PM2.5 non- each monitor in the area for the cal-
attainment area that failed to attain endar year that includes the applicable
the PM2.5 NAAQS by the applicable Se- attainment date is less than or equal
rious area attainment date shall be as to the level of the applicable 24-hour
expeditious as practicable, but no later standard (calculated according to the
than 5 years following the effective data analysis requirements in 40 CFR
part 50, appendix N);
date of the EPA’s finding that the area
failed to attain by the original Serious (iii) For an area designated non-
attainment for a particular annual
area attainment date, except that the
PM2.5 NAAQS for which the state seeks
Administrator may extend the attain-
an attainment date extension, the an-
ment date to the extent the Adminis-
nual average concentration at each
trator deems appropriate, for a period monitor in the area for the calendar
no greater than 10 years from the effec- year that includes the applicable at-
tive date of the EPA’s determination tainment date is less than or equal to
that the area failed to attain, consid- the level of the applicable annual
ering the severity of nonattainment standard (calculated according to the
and the availability and feasibility of data analysis requirements in 40 CFR
pollution control measures. part 50, appendix N).
(b) Except for attainment plans that (2) The applicable implementation
meet the conditions of paragraphs plan for a Moderate PM2.5 nonattain-
(a)(1)(ii) or (a)(3) of this section, the ment area for which a state seeks an
Administrator shall approve an attain- attainment date extension is the plan
ment date at the same time and in the submitted to the EPA to meet the re-
same manner in which the Adminis- quirements of § 51.1003(a).
trator approves the attainment plan (3) A Moderate area 1-year attain-
for the area. ment date extension runs from Janu-
(1) In accordance with paragraph ary 1 to December 31 of the year fol-
(a)(1)(ii) of this section, if a state dem- lowing the year that includes the appli-
onstrates that a Moderate PM2.5 non- cable attainment date.
attainment area cannot practicably at- (4) A state with a Moderate area that
tain the PM2.5 NAAQS by the end of the received an initial 1-year attainment
sixth calendar year following the effec- date extension may apply for a second
tive date of designation of the area, the 1-year attainment date extension for
the area if the state meets the condi-
EPA shall proceed under the provisions
tions described in paragraph (a)(1) of
of § 51.1002(b)(1) to reclassify the area to
this section for the first 1-year exten-
Serious through notice-and-comment sion year.
rulemaking.
(b) Nonattainment areas reclassified as
(2) [Reserved] Serious. (1) A state may apply for one
407
§ 51.1005 40 CFR Ch. I (7–1–21 Edition)
attainment date extension not to ex- to the EPA to meet the requirements
ceed 5 years for a Serious nonattain- set forth at § 51.1003(a).
ment area if the following conditions (4) The applicable implementation
are met: plan for a Serious PM2.5 nonattainment
(i) The state demonstrates that at- area for which a state seeks an attain-
tainment of the applicable PM2.5 ment date extension under
NAAQS by the approved attainment § 51.1004(a)(2)(i) is the plan submitted to
date for the area would be impracti- the EPA to meet the requirements set
cable or, in the absence of an approved forth at § 51.1003(b)(1).
attainment date, attainment of the ap- (5) A state applying for an attain-
plicable PM2.5 NAAQS by the applicable ment date extension for a Serious non-
statutory attainment date for the area attainment area under § 51.1004(a)(2)(ii)
would be impracticable; shall submit to the EPA a request for
(ii) The state has complied with all an extension at the same time as it
requirements and commitments per- submits the Serious area attainment
taining to the area in the applicable plan due under § 51.1003(b)(1).
implementation plan; and, (6) A state applying for an attain-
(iii) The state demonstrates that the ment date extension for a Serious non-
attainment plan for the area includes attainment area subsequent to submit-
the most stringent measures (MSM) ting an initial Serious area attainment
that are included in the attainment plan that demonstrated attainment of
plan of any state or are achieved in the NAAQS by the applicable attain-
practice in any state, and can feasibly ment date consistent with
be implemented in the area consistent § 51.1004(a)(2)(i) at the time of submis-
with § 51.1010(b). sion may apply for such an extension
(2) At the time of application for an no later than 60 calendar days prior to
attainment date extension, the state the approved attainment date for the
shall submit to the EPA a Serious area area or, in the absence of an approved
attainment plan that meets the fol- attainment date, no later than 60 cal-
lowing requirements: endar days prior to the applicable stat-
(i) Base year and attainment pro- utory attainment date for the area.
jected emissions inventory require- (c) Serious nonattainment areas subject
ments set forth at § 51.1008(b); to CAA section 189(d) for failing to attain
(ii) Most stringent measures (MSM) by the applicable Serious area attainment
requirement described under paragraph date. If a Serious area fails to attain a
(b)(1)(iii) of this section and § 51.1010(b), particular PM2.5 NAAQS by the appli-
and best available control measures cable Serious area attainment date,
not previously submitted; the area is then subject to the require-
(iii) Attainment demonstration and ments of section 189(d) of the Act, and,
modeling requirements set forth at for this reason, the state is prohibited
§ 51.1011 that justify the state’s conclu- from requesting an extension of the ap-
sion under paragraph (b)(1)(i) of this plicable Serious area attainment date
section, and that demonstrate attain- for such area.
ment as expeditiously as practicable; (d) For any attainment date exten-
(iv) Reasonable Further Progress sion request submitted pursuant to
(RFP) requirements set forth at this section, the requesting state (or
§ 51.1012; states) shall submit a written request
(v) Quantitative milestone require- and evidence of compliance with these
ments set forth at § 51.1013; regulations which includes both of the
(vi) Contingency measure require- following:
ments set forth at § 51.1014; and, (1) Evidence that all control meas-
(vii) Nonattainment new source re- ures submitted in the applicable at-
view plan requirements pursuant to tainment plan have been implemented,
§ 51.165. and
(3) The applicable implementation (2) Evidence that the area has made
plan for a Serious PM2.5 nonattainment emission reduction progress that rep-
area for which a state seeks an attain- resents reasonable further progress to-
ment date extension under ward timely attainment of the applica-
§ 51.1004(a)(2)(ii) is the plan submitted ble PM2.5 NAAQS.
408
(e) For a PM2.5 nonattainment area (iii) If a comprehensive precursor

located in two or more states or juris- demonstration is approved by the EPA,
dictions, all states and/or jurisdictions the state will not be required to con-
in which such area is located shall sub- trol emissions of the relevant precursor
mit separate attainment date exten- from existing sources in the current at-
sion requests for the area consistent tainment plan.
with the requirements set forth at (2) A major stationary source pre-
paragraph (d) of this section. cursor demonstration must show that
emissions of a particular precursor
§ 51.1006 Optional PM2.5 precursor from all existing major stationary
demonstrations
sources located in the nonattainment
(a) A state may elect to submit to area do not contribute significantly to
the EPA one or more precursor dem- PM2.5 levels that exceed the standard in
onstrations for a specific nonattain- the area. If the state chooses to con-
ment area. The analyses conducted in duct a major stationary source pre-
support of any precursor demonstra- cursor demonstration, the state must
tion must be based on precursor emis- conduct the analysis in paragraph
sions attributed to sources and activi- (a)(2)(i) of this section and it may con-
ties in the nonattainment area. duct the analysis in paragraph (a)(2)(ii)
(1) A comprehensive precursor dem- of this section.
onstration must show that emissions of (i) Concentration-based contribution
a particular precursor from all existing analysis. The major stationary source
stationary, area, and mobile sources lo- precursor demonstration must evaluate
cated in the nonattainment area do not the contribution of major source emis-
contribute significantly to PM2.5 levels sions of a particular precursor to PM2.5
that exceed the standard in the area. If levels in the area. If the contribution
the state chooses to conduct a com- of the precursor to PM2.5 levels in the
prehensive precursor demonstration,
area is not significant, based on the
the state must conduct the analysis in
facts and circumstances of the area,
paragraph (a)(1)(i) of this section and it
then the EPA may approve the dem-
may conduct the analysis in paragraph
onstration.
(a)(1)(ii) of this section.
(i) Concentration-based contribution (ii) Sensitivity-based contribution anal-
analysis. The comprehensive precursor ysis. If the concentration-based con-
demonstration must evaluate the contribution analysis does not support a
tribution of a particular precursor to finding of insignificant contribution,
PM2.5 levels in the area. If the con- based on the facts and circumstances of
tribution of the precursor to PM2.5 lev- the area, then the state may choose to
els in the area is not significant, based submit an analysis evaluating the sen-
on the facts and circumstances of the sitivity of PM2.5 levels in the area to a
area, then the EPA may approve the decrease in emissions of the precursor
demonstration. in order to determine whether the re-
(ii) Sensitivity-based contribution anal- sulting air quality changes are signifi-
ysis. If the concentration-based con- cant. If the estimated air quality
tribution analysis does not support a changes determined in the sensitivity
finding of insignificant contribution, analysis are not significant, based on
based on the facts and circumstances of the facts and circumstances of the
the area, then the state may choose to area, then the EPA may approve the
submit an analysis evaluating the sen- demonstration.
sitivity of PM2.5 levels in the area to a (iii) If a major stationary source pre-
decrease in emissions of the precursor cursor demonstration is approved by
in order to determine whether the re- the EPA, the state will not be required
sulting air quality changes are signifi- to control emissions of the relevant
cant. If the estimated air quality precursor from existing major sta-
changes determined in the sensitivity tionary sources in the current attain-
analysis are not significant, based on ment plan.
the facts and circumstances of the (3)(i) A NNSR precursor demonstra-
area, then the EPA may approve the tion must evaluate the sensitivity of
demonstration. PM2.5 levels in the nonattainment area
409
§ 51.1007 40 CFR Ch. I (7–1–21 Edition)
to an increase in emissions of a par- season-day emissions, or both, as ap-

ticular precursor in order to determine propriate for the relevant PM2.5
whether the resulting air quality NAAQS. The state shall include as part
changes are significant. If the esti- of the plan a rationale for providing
mated air quality changes determined annual or seasonal emissions, and the
in the sensitivity analysis are not sig- justification for the period used for any
nificant, based on the facts and cir- seasonal emissions calculations.
cumstances of the area, the state may (iv) The inventory shall include di-
use that information to identify new rect PM2.5 emissions, separately re-
major stationary sources and major ported PM2.5 filterable and condensable
modifications of a precursor that will emissions, and emissions of the sci-
not be considered to contribute signifi- entific PM2.5 precursors, including pre-
cantly to PM2.5 levels that exceed the
cursors that are not PM2.5 plan precur-
standard in the nonattainment area.
sors pursuant to a precursor dem-
(ii) If a NNSR precursor demonstra-
onstration under § 51.1006.
tion for a particular PM2.5 nonattain-
ment area is approved, the state may (v) The state shall report emissions
exempt such new major stationary as point sources according to the point
sources or major modifications of the source emissions thresholds of the Air
particular precursor from the require- Emissions Reporting Requirements
ments for PM2.5 in § 51.165. (AERR), 40 CFR part 51, subpart A.
(b) If an area with one or more pre- (vi) The detail of the emissions in-
cursor demonstrations approved by the ventory shall be consistent with the
EPA is required to submit another detail and data elements required by 40
PM2.5 attainment plan in accordance CFR part 51, subpart A.
with § 51.1003 of this part, the current (2) An attainment projected inven-
precursor demonstration(s) will not tory for the nonattainment area that
apply to the new plan. The state must meets the following minimum criteria:
submit the appropriate updated pre- (i) The year of the projected inven-
cursor demonstration(s) if it seeks to tory shall be the most expeditious year
exempt sources of a particular pre- for which projected emissions show
cursor from control requirements in modeled PM2.5 concentrations below
the new Serious area attainment dem- the level of the NAAQS.
onstration or in the NNSR program for (ii) The emissions values shall be pro-
the Serious area. jected emissions of the same sources
included in the base year inventory for
the nonattainment area (i.e., those
§ 51.1008 Emissions inventory require- only within the nonattainment area)
ments. and any new sources. The state shall
include in this inventory projected
(a) For any nonattainment area ini-
tially classified as Moderate, the state emissions growth and contraction from
shall submit to the EPA all of the fol- both controls and other causes during
lowing: the relevant period.
(1) A base year inventory for the non- (iii) The temporal period of emissions
attainment area for all emissions shall be the same temporal period (an-
sources that meets the following min- nual, average-season-day, or both) as
imum criteria: the base year inventory for the non-
(i) The inventory year shall be one of attainment area.
the 3 years for which monitored data (iv) Consistent with the base year in-
were used for designations or another ventory for the nonattainment area,
technically appropriate inventory year the inventory shall include direct PM2.5
if justified by the state in the plan sub- emissions, separately reported PM2.5
mission. filterable and condensable emissions,
(ii) The inventory shall include ac- and emissions of the scientific PM2.5
tual emissions of all sources within the precursors, including precursors that
nonattainment area. are not PM2.5 plan precursors pursuant
(iii) The emissions values shall be ei- to a precursor demonstration under
ther annual total emissions, average- § 51.1006 of this part.
410
(v) The same sources reported as (1) For purposes of meeting the emis-
point sources in the base year inven- sions inventory requirements of CAA
tory for the nonattainment area shall section 172(c)(3), a base year inventory
be included as point sources in the at- for the nonattainment area for all
tainment projected inventory for the emissions sources that meets the re-
nonattainment area. Stationary quirements listed under paragraphs
nonpoint and mobile source projected (a)(1) (ii) through (a)(1)(vi) of this sec-
emissions shall be provided using the tion. In addition, the inventory shall
same detail (e.g., state, county, and use the Serious area definition of a
process codes) as the base year inven- major source listed under
tory for the nonattainment area. § 51.165(a)(1)(iv)(A)(vii) and (viii) and
(vi) The same detail of the emissions consistent with Table 1 of Appendix A
included shall be consistent with the to subpart A of this part in deter-
level of detail and data elements as in mining sources to include as point
the base year inventory for the non- sources. The inventory year shall be
attainment area (i.e., as required by 40 one of the 3 years for which monitored
CFR part 41, subpart A). data were used to determine that the
(b) For any nonattainment area re- area failed to attain the PM2.5 NAAQS
classified as Serious, the state shall by the applicable Serious area attain-
submit to the EPA all of the following: ment date, or another technically ap-
(1) For purposes of meeting the emis- propriate inventory year if justified by
sions inventory requirements of CAA the state in the plan submission.
section 172(c)(3), a base year inventory (2) An attainment projected inven-
for the nonattainment area for all tory for the nonattainment area as de-
emissions sources that meets the refined by § 51.1000(e) and that meets the
quirements listed under paragraphs criteria listed under paragraph (a)(2) of
(a)(1) (ii) through (a)(1)(vi) of this sec- this section.
tion. In addition, the inventory shall
use the Serious area definition of a § 51.1009 Moderate area attainment
major source listed under plan control strategy requirements.
§ 51.165(a)(1)(iv)(A), and(a)(1)(vii) and (a) The state shall identify, adopt,
(viii), and consistent with Table 1 of and implement control measures, in-
Appendix A to subpart A of this part in cluding control technologies, on
determining sources to include as point sources of direct PM2.5 emissions and
sources. Finally, the inventory year sources of emissions of PM2.5 plan pre-
shall be one of the 3 years for which cursors located in any Moderate PM2.5
monitored data were used for reclassi- nonattainment area or portion thereof
fication to Serious, or another tech- located within the state consistent
nically appropriate inventory year if with the following:
justified by the state in the plan sub- (1) The state shall identify all
mission. sources of direct PM2.5 emissions and
(2) An attainment projected inven- all sources of emissions of PM2.5 pre-
tory for the nonattainment area that cursors in the nonattainment area in
meets the criteria listed under para- accordance with the emissions inven-
graph (a)(2) of this section. tory requirements of § 51.1008(a).
(c) Serious nonattainment areas subject (2) The state shall identify all poten-
to CAA section 189(d) for failing to attain tial control measures to reduce emis-
a PM2.5 NAAQS by the applicable Serious sions from all sources of direct PM2.5
area attainment date. No later than 12 emissions and all sources of emissions
months after the EPA finds through of PM2.5 plan precursors in the non-
notice-and-comment rulemaking that a attainment area identified under para-
Serious nonattainment area, or portion graph (a)(1) of this section.
thereof contained within a state’s bor- (i) The state is not required to iden-
ders, fails to attain a PM2.5 NAAQS by tify and evaluate potential control
the applicable attainment date and measures to reduce emissions of a par-
thus becomes subject to the require- ticular PM2.5 precursor from any exist-
ments under CAA section 189(d), the ing sources if the state has submitted a
state shall submit to the EPA all of the comprehensive precursor demonstra-
following: tion approved by the EPA pursuant to
411
§ 51.1009 40 CFR Ch. I (7–1–21 Edition)
§ 51.1006, except where the EPA requires emissions reductions estimated due to
such information as necessary to all technologically and economically
evaluate the comprehensive precursor feasible control measures identified for
demonstration pursuant to sources of direct PM2.5 emissions and
§ 51.1006(a)(1)(ii). sources of emissions of PM2.5 plan pre-
(ii) The state is not required to iden- cursors in the Moderate PM2.5 non-
tify and evaluate potential control attainment area to demonstrate that
measures to reduce emissions of a par- the area can attain the applicable
ticular PM2.5 precursor from any exist- PM2.5 NAAQS as expeditiously as prac-
ing major stationary sources if the ticable but no later than the end of the
state has submitted a major stationary sixth year following the effective date
source precursor demonstration ap- of designation of the area. The state
proved by the EPA pursuant to may use air quality modeling to dem-
§ 51.1006, except where the EPA requires onstrate that the Moderate PM2.5 non-
such information as necessary to attainment area cannot practicably at-
evaluate the major stationary source tain the applicable PM2.5 NAAQS by
precursor demonstration pursuant to such date.
§ 51.1006(a)(1)(ii). (i) If the state demonstrates through
(3) For any potential control measure
air quality modeling that the area can
identified under paragraph (a)(2) of this
attain the applicable PM2.5 NAAQS by
section, the state may make a dem-
the end of the sixth calendar year fol-
onstration that such measure is not
lowing the effective date of designation
technologically or economically fea-
of the area, the state shall adopt and
sible to implement in whole or in part
implement all technologically and eco-
by the end of the sixth calendar year
nomically feasible control measures
following the effective date of designa-
tion of the area, and the state may identified under paragraph (a)(3) of this
eliminate such whole or partial meas- section that are necessary to bring the
ure from further consideration under area into attainment by such date. The
this paragraph. state shall also adopt and implement
(i) For purposes of evaluating the all other technologically and economi-
technological feasibility of a potential cally feasible measures identified
control measure, the state may con- under paragraph (a)(3) of this section
sider factors including but not limited that, when considered collectively,
to a source’s processes and operating would advance the attainment date for
procedures, raw materials, physical the area by at least 1 year. If the state
plant layout, and potential environ- demonstrates through this analysis
mental impacts such as increased that control measures for reducing
water pollution, waste disposal, and en- emissions of a PM2.5 precursor would
ergy requirements. not be necessary for attainment as ex-
(ii) For purposes of evaluating the peditiously as practicable or to ad-
economic feasibility of a potential con- vance the attainment date, then the
trol measure, the state may consider state would not be required to include
factors including but not limited to control measures for the precursor in
capital costs, operating and mainte- the Moderate area attainment plan,
nance costs, and cost effectiveness of nor be required to address the pre-
the measure. cursor in the RFP plan, quantitative
(iii) The state must submit to the milestones and associated reports, and
EPA as part of its Moderate area at- contingency measures.
tainment plan a detailed written jus- (A) Any control measure identified
tification for eliminating from further for adoption and implementation under
consideration any potential control this paragraph that can be imple-
measure identified under paragraph mented in whole or in part by 4 years
(a)(2) of this section on the basis of after the effective date of designation
technological or economic infeasi- of the Moderate PM2.5 nonattainment
bility. area shall be considered RACM for the
(4) The state shall use air quality area. Any such control measure that is
modeling that meets the requirements also a control technology shall be con-
of § 51.1011(a) and that accounts for sidered RACT for the area.
412
(B) Any control measure identified PM2.5 emissions, the state shall estab-
for adoption and implementation under lish such emission limitations to apply
this paragraph that can only be imple- either to the total of the filterable plus
mented in whole or in part during the condensable fractions of direct PM2.5,
period beginning 4 years after the ef- or to filterable PM2.5 and condensable
fective date of designation of the Mod- PM2.5 separately.
erate PM2.5 nonattainment area and
the applicable attainment date for the § 51.1010 Serious area attainment plan
area shall be considered an additional control strategy requirements.
reasonable measure for the area. (a) The state shall identify, adopt,
(ii) If the state demonstrates that the and implement best available control
area cannot practicably attain the ap- measures, including control tech-
plicable PM2.5 NAAQS by the end of the nologies, on sources of direct PM2.5
sixth calendar year following the effec- emissions and sources of emissions of
tive date of designation of the area, the PM2.5 plan precursors located in any
state shall adopt all technologically Serious PM2.5 nonattainment area or
and economically feasible control portion thereof located within the
measures identified under paragraph state and consistent with the fol-
(a)(3) of this section. This requirement lowing:
also applies to areas that demonstrate (1) The state shall identify all
pursuant to section 179B that the plan sources of direct PM2.5 emissions and
would be adequate to attain or main- all sources of emissions of PM2.5 pre-
tain the standard but for emissions cursors in the nonattainment area in
emanating from outside the United accordance with the emissions inven-
States. tory requirements of § 51.1008(b).
(A) Any control measure identified (2) The state shall identify all poten-
for adoption and implementation under tial control measures to reduce emis-
this paragraph that can be imple- sions from all sources of direct PM2.5
mented in whole or in part by 4 years emissions and sources of emissions of
after the effective date of designation PM2.5 plan precursors in the nonattain-
of the Moderate PM2.5 nonattainment ment area identified under paragraph
area shall be considered RACM for the (a)(1) of this section.
area. Any such control measure that is (i) The state shall survey other
also a control technology shall be con- NAAQS nonattainment areas in the
sidered RACT for the area. U.S. and identify any measures for di-
(B) Any control measure identified rect PM2.5 and PM2.5 plan precursors
for adoption and implementation under not previously identified by the state
this paragraph that can only be imple- during the development of the Mod-
mented in whole or in part during the erate area attainment plan for the
period beginning 4 years after the ef- area.
fective date of designation of the Mod- (ii) The state is not required to iden-
erate PM2.5 nonattainment area tify and evaluate potential control
through the end of the sixth calendar measures to reduce emissions of a par-
year following the effective date of des- ticular PM2.5 precursor from any exist-
ignation of the area shall be considered ing sources if the state has submitted a
an additional reasonable measure for comprehensive precursor demonstra-
the area. tion approved by the EPA, except
(b) The state shall adopt control where the EPA requires such informa-
measures, including control tech- tion as necessary to evaluate the com-
nologies, on sources of direct PM2.5 prehensive precursor demonstration
emissions and sources of emissions of pursuant to § 51.1006(a)(1)(ii).
PM2.5 plan precursors located within (iii) The state is not required to iden-
the state but outside the Moderate tify and evaluate potential control
PM2.5 nonattainment area if adopting measures to reduce emissions of a par-
such control measures is necessary to ticular PM2.5 precursor from any exist-
provide for attainment of the applica- ing major stationary sources if the
ble PM2.5 NAAQS in such area. state has submitted a major stationary
(c) For new or revised source emis- source precursor demonstration ap-
sions limitations on sources of direct proved by the EPA, except where the
413
§ 51.1010 40 CFR Ch. I (7–1–21 Edition)
EPA requires such information as nec- end of the fourth year following the
essary to evaluate the major sta- date of reclassification of the area to
tionary source demonstration pursuant Serious shall be considered a best
to § 51.1006(a)(1)(ii). available control measure for the area.
(3) The state may make a demonstra- Any such control measure that is also
tion that any measure identified under a control technology for a stationary
paragraph (a)(2) of this section is not source in the area shall be considered a
technologically or economically fea- best available control technology for
sible to implement in whole or in part the area.
by the end of the tenth calendar year (ii) Any control measure that can be
following the effective date of designa- implemented in whole or in part be-
tion of the area, and may eliminate tween the end of the fourth year fol-
such whole or partial measure from lowing the date of reclassification of
further consideration under this para- the area to Serious and the applicable
graph. attainment date for the area shall be
(i) For purposes of evaluating the considered an additional feasible meas-
technological feasibility of a potential ure.
control measure, the state may con- (5) The state shall use air quality
sider factors including but not limited modeling that meets the requirements
to a source’s processes and operating of § 51.1011(b) and that accounts for
procedures, raw materials, physical emissions reductions estimated due to
plant layout, and potential environ- all best available control measures, in-
mental impacts such as increased cluding best available control tech-
water pollution, waste disposal, and en- nologies, and additional feasible meas-
ergy requirements. ures identified for sources of direct
(ii) For purposes of evaluating the PM2.5 emissions and sources of emis-
economic feasibility of a potential con- sions of PM2.5 plan precursors in the
trol measure, the state may consider area to demonstrate that the area can
capital costs, operating and mainte- attain the PM2.5 NAAQS as expedi-
nance costs, and cost effectiveness of tiously as practicable but no later than
the measure. the end of the tenth calendar year fol-
(iii) The state shall submit to the lowing the effective date of designation
EPA as part of its Serious area attain- of the area, or to demonstrate that the
ment plan submission a detailed writ- Serious PM2.5 nonattainment area can-
ten justification for eliminating from not practicably attain the applicable
further consideration any potential PM2.5 NAAQS by such date.
control measure identified under para- (b) For a Serious PM2.5 nonattain-
graph (a)(2) of this section on the basis ment area for which air quality mod-
of technological or economic infeasi- eling demonstrates the area cannot
bility. The state shall provide as part practicably attain the applicable PM2.5
of its written justification an expla- NAAQS by the end of the tenth cal-
nation of how its criteria for deter- endar year following the date of des-
mining the technological and economic ignation of the area, the state shall
feasibility of potential control meas- identify, adopt, and implement the
ures under paragraphs (a)(3)(i) and (ii) most stringent control measures that
of this section are more stringent than are included in the attainment plan for
its criteria for determining the techno- any state or are achieved in practice in
logical and economic feasibility of po- any state, and can be feasibly imple-
tential control measures under mented in the area, consistent with the
§ 51.1009(a)(3)(i) and (ii) for the same following requirements.
sources in the PM2.5 nonattainment (1) The state shall identify all
area. sources of direct PM2.5 emissions and
(4) Except as provided under para- sources of emissions of PM2.5 precur-
graph (a)(3) of this section, the state sors in the nonattainment area in ac-
shall adopt and implement all poten- cordance with the emissions inventory
tial control measures identified under requirements of § 51.1008(b).
paragraph (a)(2) of this section. (2) The state shall identify all poten-
(i) Any control measure that can be tial control measures to reduce emis-
implemented in whole or in part by the sions from all sources of direct PM2.5
414
emissions and sources of emissions of tiously as practicable but no later than

PM2.5 plan precursors in the nonattain- 5 years after the applicable attainment
ment area identified under paragraph date for the area.
(b)(1) of this section. (5) The state shall use air quality
(i) For the sources and source cat- modeling that meets the requirements
egories represented in the emission in- of § 51.1011(b) and that accounts for
ventory for the nonattainment area, emissions reductions estimated due to
the state shall identify the most strin- all most stringent measures; best
gent measures for reducing direct PM2.5 available control measures, including
and PM2.5 plan precursors adopted into best available control technologies;
any SIP or used in practice to control and additional feasible measures iden-
emissions in any state. tified for sources of direct PM2.5 emis-
(ii) The state shall reconsider and re- sions and sources of emissions of PM2.5
assess any measures previously re- plan precursors in the area to dem-
jected by the state during the develop- onstrate that the area can attain the
ment of any previous Moderate area or PM2.5 NAAQS as expeditiously as prac-
Serious area attainment plan control ticable but no later than the end of the
strategy for the area. fifteenth calendar year following the
(3) The state may make a demonstra- effective date of designation of the
tion that a measure identified under area.
paragraph (b)(2) of this section is not (c) For a Serious PM2.5 nonattain-
technologically or economically fea- ment area that the EPA has deter-
sible to implement in whole or in part mined has failed to attain by the appli-
by 5 years after the applicable attain- cable attainment date, the state shall
ment date for the area, and may elimi- submit a revised attainment plan with
nate such whole or partial measure a control strategy that demonstrates
from further consideration under this that each year the area will achieve at
paragraph.
least a 5 percent reduction in emissions
(i) For purposes of evaluating the
of direct PM2.5 or a 5 percent reduction
technological feasibility of a potential
in emissions of a PM2.5 plan precursor
control measure, the state may con-
based on the most recent emissions in-
sider factors including but not limited
ventory for the area; and that the area
to a source’s processes and operating
will attain the standard as expedi-
procedures, raw materials, physical
tiously as practicable consistent with
plant layout, and potential environ-
§ 51.1004(a)(3). The plan shall meet the
mental impacts such as increased
requirements of § 51.1003(c)–(d), and the
water pollution, waste disposal, and en-
following requirements:
ergy requirements.
(ii) For purposes of evaluating the (1) The state shall identify all
economic feasibility of a potential con- sources of direct PM2.5 emissions and
trol measure, the state may consider sources of emissions of PM2.5 precur-
capital costs, operating and mainte- sors in the nonattainment area in ac-
nance costs, and cost effectiveness of cordance with the emissions inventory
the measure. requirements of § 51.1008(b).
(iii) The state shall submit to the (2) The state shall identify all poten-
EPA as part of its Serious area attain- tial control measures to reduce emis-
ment plan submission a detailed writ- sions from all sources of direct PM2.5
ten justification for eliminating from emissions and sources of emissions of
further consideration any potential PM2.5 plan precursors in the nonattain-
control measure identified under para- ment area identified under paragraph
graph (b)(2) of this section on the basis (c)(1) of this section.
of technological or economic infeasi- (i) For the sources and source cat-
bility. egories represented in the emission in-
(4) Except as provided under para- ventory for the nonattainment area,
graph (b)(3) of this section, the state the state shall identify the most strin-
shall adopt and implement all control gent measures for reducing direct PM2.5
measures identified under paragraph and PM2.5 plan precursors adopted into
(b)(2) of this section that collectively any SIP or used in practice to control
shall achieve attainment as expedi- emissions in any state, as applicable.
415
§ 51.1011 40 CFR Ch. I (7–1–21 Edition)
(ii) The state shall reconsider and re- most stringent measures; best avail-
assess any measures previously re- able control measures, including best
jected by the state during the develop- available control technologies; and ad-
ment of any Moderate area or Serious ditional feasible measures identified
area attainment plan control strategy for sources of direct PM2.5 emissions
for the area. and sources of emissions of PM2.5 plan
(3) The state may make a demonstra- precursors in the area in order to dem-
tion that a measure identified under onstrate that the area can attain the
paragraph (c)(2) of this section is not PM2.5 NAAQS as expeditiously as prac-
technologically or economically fea- ticable.
sible to implement in whole or in part (d) The state shall adopt control
within 5 years or such longer period as measures, including control tech-
the EPA may determine is appropriate nologies, on sources of direct PM2.5
after the EPA’s determination that the emissions and sources of emissions of
area failed to attain by the Serious PM2.5 plan precursors located within
area attainment date, and may elimi- the state but outside the Serious PM2.5
nate such whole or partial measure nonattainment area if adopting such
from further consideration under this control measures is necessary to pro-
paragraph. vide for attainment of the applicable
(i) For purposes of evaluating the PM2.5 NAAQS in such area by the at-
technological feasibility of a potential tainment date.
control measure, the state may con- (e) For new or revised source emis-
sider factors including but not limited sions limitations on sources of direct
to a source’s processes and operating PM2.5 emissions, the state shall estab-
procedures, raw materials, physical lish such emission limitations to apply
plant layout, and potential environ- either to the total of the filterable plus
mental impacts such as increased condensable fractions of direct PM2.5,
water pollution, waste disposal, and en-
or to filterable PM2.5 and condensable
ergy requirements.
PM2.5 separately.
(ii) For purposes of evaluating the
economic feasibility of a potential con- § 51.1011 Attainment demonstration
trol measure, the state may consider and modeling requirements.
capital costs, operating and mainte-
nance costs, and cost effectiveness of (a) Nonattainment areas initially classi-
the measure. fied as Moderate. The attainment dem-
(iii) The state shall submit to the onstration due to the EPA as part of
EPA as part of its Serious area attain- any Moderate area attainment plan re-
ment plan submission a detailed writ- quired under § 51.1003(a) shall meet all
ten justification for eliminating from of the following criteria:
further consideration any potential (1) The attainment demonstration
control measure identified under para- shall show the projected attainment
graph (c)(2) of this section on the basis date for the Moderate nonattainment
of technological or economic infeasi- area that is as expeditious as prac-
bility. ticable in accordance with the require-
(4) Except as provided under para- ments of § 51.1004(a)(1).
graph (c)(3) of this section, the state (2) The attainment demonstration
shall adopt and implement all control shall meet the requirements of Appen-
measures identified under paragraph dix W of this part and shall include in-
(c)(2) of this section that collectively ventory data, modeling results, and
achieve attainment of the standard as emission reduction analyses on which
expeditiously as practicable pursuant the state has based its projected at-
to § 51.1004(a)(3). tainment date.
(5) The state shall conduct air qual- (3) The base year for the emissions
ity modeling that meets the require- inventory required for an attainment
ments of § 51.1011(b) and that accounts demonstration under this paragraph
for emissions reductions due to control shall be one of the 3 years used for des-
measures needed to meet the annual ignations or another technically appro-
reduction requirement of 5 percent of priate inventory year if justified by the
direct PM2.5 or a PM2.5 plan precursor; state in the plan submission.
416
(4) The control strategies modeled as demonstrations under this paragraph

part of the attainment demonstration shall be one of the 3 years used for des-
shall be consistent with the following ignations or another technically appro-
as applicable: priate inventory year if justified by the
(i) For a Moderate area that can dem- state in the plan submission.
onstrate attainment of the applicable (4) The control strategies modeled as
PM2.5 NAAQS no later than the end of part of a Serious area attainment dem-
the sixth calendar year following the onstration shall be consistent with the
date of designation of the area with the control strategies required pursuant to
implementation of RACM and RACT § 51.1003 and § 51.1010.
and additional reasonable measures, (5) Required timeframe for obtaining
the control strategies modeled as part emissions reductions. For each Serious
of the attainment demonstration shall nonattainment area, the attainment
be consistent with control strategy re- plan must provide for implementation
quirements under § 51.1009(a). of all control measures needed for at-
(ii) For a Moderate area that cannot tainment as expeditiously as prac-
practicably attain the applicable PM2.5 ticable. All control measures must be
NAAQS by the end of the sixth cal- implemented no later than the begin-
endar year following the date of des- ning of the year containing the appli-
ignation of the area with the imple- cable attainment date, notwith-
mentation of RACM and RACT and ad- standing BACM implementation dead-
ditional reasonable measures, the con- line requirements in § 51.1010.
trol strategies modeled as part of the
attainment demonstration shall be § 51.1012 Reasonable further progress
consistent with control strategy re- (RFP) requirements.
quirements under § 51.1009(b). (a) Each attainment plan for a PM2.5
(5) Required time frame for obtaining nonattainment area shall include an
emissions reductions. For each Mod- RFP plan that demonstrates that
erate nonattainment area, the attain- sources in the area will achieve such
ment plan must provide for implemen- annual incremental reductions in emis-
tation of all control measures needed sions of direct PM2.5 and PM2.5 plan pre-
for attainment as expeditiously as cursors as are necessary to ensure at-
practicable. All control measures in tainment of the applicable PM2.5
the attainment demonstration must be NAAQS as expeditiously as practicable.
implemented no later than the begin- The RFP plan shall include all of the
ning of the year containing the appli- following:
cable attainment date, notwith- (1) A schedule describing the imple-
standing RACM implementation dead- mentation of control measures during
line requirements in § 51.1009. each year of the applicable attainment
(b) Nonattainment areas reclassified as plan. Control measures for Moderate
Serious. The attainment demonstration area attainment plans are required in
due to the EPA as part of a Serious § 51.1009, and control measures for Seri-
area attainment plan required under ous area attainment plans are required
§ 51.1003(b) or (c) shall meet all of the in § 51.1010.
following criteria: (2) RFP projected emissions for di-
(1) The attainment demonstration rect PM2.5 and all PM2.5 plan precursors
shall show the projected attainment for each applicable milestone year,
date for the Serious nonattainment based on the anticipated implementa-
area that is as expeditious as prac- tion schedule for control measures re-
ticable. quired in paragraph (a)(1) of this sec-
(2) The attainment demonstration tion. For purposes of establishing
shall meet the requirements of Appen- motor vehicle emissions budgets for
dix W of this part and shall include in- transportation conformity purposes (as
ventory data, modeling results, and required in 40 CFR part 93) for a PM2.5
emission reduction analyses on which nonattainment area, the state shall in-
the state has based its projected at- clude in its RFP submission an inven-
tainment date. tory of on-road mobile source emis-
(3) The base year for the emissions sions in the nonattainment area for
inventories required for attainment each milestone year.
417
§ 51.1013 40 CFR Ch. I (7–1–21 Edition)
(3) An analysis that presents the § 51.1013 Quantitative milestone re-

schedule of control measures and esti- quirements.
mated emissions changes to be (a) Consistent with CAA section
achieved by each milestone year, and 189(c)(1), the state must submit in each
that demonstrates that the control attainment plan for a PM2.5 nonattain-
strategy will achieve reasonable ment area specific quantitative mile-
progress toward attainment between stones that demonstrate reasonable
the applicable base year and the at- further progress toward attainment of
tainment year. The analysis shall rely the applicable PM2.5 NAAQS in the area
on information from the base year in- and that meet the following require-
ventory for the nonattainment area re- ments:
quired in § 51.1008(a)(1) and the attain- (1) Nonattainment areas initially classi-
ment projected inventory for the non- fied as Moderate. (i) Except as provided
attainment area required in in paragraph (a)(4) of this section, each
§ 51.1008(a)(2), in addition to the RFP attainment plan submittal for a Mod-
projected emissions required in para- erate PM2.5 nonattainment area shall
graph (a)(2) of this section. contain quantitative milestones to be
(4) An analysis that demonstrates achieved no later than a milestone date
that by the end of the calendar year for of 4.5 years and 7.5 years from the date
each milestone date for the area deter- of designation of the area.
mined in accordance with § 51.1013(a), (ii) The plan shall contain quan-
pollutant emissions will be at levels titative milestones to be achieved by
that reflect either generally linear the milestone dates specified in para-
progress or stepwise progress in reduc- graph (a)(1)(i) of this section, as appli-
ing emissions on an annual basis be- cable, and that provide for objective
tween the base year and the attain- evaluation of reasonable further
ment year. A demonstration of progress toward timely attainment of
stepwise progress must be accompanied the applicable PM2.5 NAAQS in the
by appropriate justification for the se- area. At a minimum, each quantitative
lected implementation schedule. milestone plan must include a mile-
(5) At the state’s election, an anal- stone for tracking progress achieved in
ysis that identifies air quality targets implementing the SIP control meas-
associated with the RFP projected ures, including RACM and RACT, by
emissions identified for the milestone each milestone date.
years at the design value monitor loca- (2) Nonattainment areas reclassified as
tions. Serious. (i) Except as provided in para-
(b) For a multi-state or multi-juris- graph (a)(4) of this section, each attain-
dictional nonattainment area, the RFP ment plan submission that dem-
plans for each state represented in the onstrates that a Serious PM2.5 non-
nonattainment area shall demonstrate attainment area can attain a par-
RFP on the basis of common multi- ticular PM2.5 NAAQS by the end of the
state inventories. The states or juris- tenth calendar year following the effec-
dictions within which the area is lo- tive date of designation of the area
cated must provide a coordinated RFP with the implementation of control
plan. Each state in a multi-state non- measures as required under § 51.1010(a)
shall contain quantitative milestones
attainment area must ensure that the
to be achieved no later than milestone
sources within its boundaries comply
dates of 7.5 years and 10.5 years, respec-
with enforceable emission levels and
tively, from the date of designation of
other requirements that in combina-
the area.
tion with the reductions planned in
(ii) Except as provided in paragraph
other state(s) within the nonattain-
(a)(4) of this section, each attainment
ment area will provide for attainment
plan submission that demonstrates
as expeditiously as practicable and
that a Serious PM2.5 nonattainment
demonstrate RFP consistent with
area cannot practicably attain a par-
these regulations.
ticular PM2.5 NAAQS by the end of the
tenth calendar year following the date
418
of designation of the area with the im- (ii) The plan shall contain quan-
plementation of control measures re- titative milestones to be achieved by
quired under § 51.1010(a) shall contain the milestone dates for the area, and
quantitative milestones to be achieved that provide for objective evaluation of
no later than milestone dates of 7.5 reasonable further progress toward
years, 10.5 years, and 13.5 years from timely attainment of the applicable
the date of designation of the area. If PM2.5 NAAQS in the area. At a min-
the attainment date is beyond 13.5 imum, each quantitative milestone
years from the date of designation of plan must include a milestone for
the area, such attainment plan shall tracking progress achieved in imple-
also contain a quantitative milestones menting the SIP control measures by
to be achieved no later than milestone each milestone date.
dates of 16.5 years, respectively, from (4) Each attainment plan submission
the date of designation of the area. for an area designated nonattainment
(iii) The plan shall contain quan- for the 1997 and/or 2006 PM2.5 NAAQS
titative milestones to be achieved by before January 15, 2015, shall contain
the milestone dates specified in para- quantitative milestones to be achieved
graphs (a)(2)(i) and (ii) of this section, no later than 3 years after December
as applicable, and that provide for ob- 31, 2014, and every 3 years thereafter
jective evaluation of reasonable fur- until the milestone date that falls
ther progress toward timely attain- within 3 years after the applicable at-
ment of the applicable PM2.5 NAAQS in tainment date.
the area. At a minimum, each quan- (b) Not later than 90 days after the
titative milestone plan must include a date on which a milestone applicable
milestone for tracking progress to a PM2.5 nonattainment area occurs,
achieved in implementing SIP control each state in which all or part of such
measures, including BACM and BACT, area is located shall submit to the Ad-
by each milestone date. ministrator a milestone report that
(3) Serious areas that fail to attain by contains all of the following:
the applicable Serious area attainment (1) A certification by the Governor or
date. (i) Except as provided in para- Governor’s designee that the SIP con-
graph (a)(4) of this section, each attain- trol strategy is being implemented
ment plan submission for a Serious consistent with the RFP plan, as de-
area that failed to attain a particular scribed in the applicable attainment
PM2.5 NAAQS by the applicable Serious plan;
area attainment date and is therefore (2) Technical support, including cal-
subject to the requirements of CAA culations, sufficient to document com-
section 189(d) and § 51.1003(c) shall con- pletion statistics for appropriate mile-
tain quantitative milestones. stones and to demonstrate that the
(A) If the attainment plan is due quantitative milestones have been sat-
prior to a date 13.5 years from designa- isfied and how the emissions reductions
tion of the area, then the plan shall achieved to date compare to those re-
contain milestones to be achieved by quired or scheduled to meet RFP; and,
no later than a milestone date of 13.5 (3) A discussion of whether the area
years from the date of designation of will attain the applicable PM2.5 NAAQS
the area, and every 3 years thereafter, by the projected attainment date for
until the milestone date that falls the area.
within 3 years after the applicable at- (c) If a state fails to submit a mile-
tainment date. stone report by the date specified in
(B) If the attainment plan is due paragraph (b) of this section, the Ad-
later than a date 13.5 years from des- ministrator shall require the state to
ignation of the area, then the plan submit, within 9 months after such
shall contain milestones to be achieved failure, a plan revision that assures
by no later than a milestone date of that the area will achieve the next
16.5 years from the date of designation milestone or attain the applicable
of the area, and every 3 years there- NAAQS by the applicable date, which-
after, until the milestone date that ever is earlier. If the Administrator de-
falls within 3 years after the applicable termines that an area has not met any
attainment date. applicable milestone by the milestone
419
§ 51.1014 40 CFR Ch. I (7–1–21 Edition)
date, the state shall submit, within 9 reasonably available control measures
months after such determination, a (including reasonably available control
plan revision that assures that the area technology for stationary sources)
will achieve the next milestone or at- shall be implemented no later than 4
tain the applicable NAAQS by the ap- years following the date of designation
plicable date, whichever is earlier. of the area, reasonable further progress
plan, quantitative milestones and
§ 51.1014 Contingency measure re- quantitative milestone reports, and
quirements. contingency measures for the area
(a) The state must include as part of shall be suspended until such time as:
each attainment plan submitted under (1) The area is redesignated to attain-
this subpart for a PM2.5 nonattainment ment, after which such requirements
area specific contingency measures are permanently discharged; or,
that shall take effect with minimal (2) The EPA determines that the area
further action by the state or the EPA has re-violated the PM2.5 NAAQS, at
following a determination by the Ad- which time the state shall submit such
ministrator that the area has failed: attainment plan elements for the Mod-
(1) To meet any RFP requirement in erate nonattainment area by a future
an attainment plan approved in accord- date to be determined by the EPA and
ance with § 51.1012; announced through publication in the
(2) To meet any quantitative mile- FEDERAL REGISTER at the time EPA de-
stone in an attainment plan approved termines the area is violating the PM2.5
in accordance with § 51.1013; NAAQS.
(3) To submit a quantitative mile- (b) Nonattainment areas reclassified as
stone report required under § 51.1013(b); Serious. Upon a determination by the
or, EPA that a Serious PM2.5 nonattain-
(4) To attain the applicable PM2.5 ment area has attained the PM2.5
NAAQS by the applicable attainment NAAQS, the requirements for the state
date. to submit an attainment demonstra-
(b) The contingency measures adopt- tion, reasonable further progress plan,
ed as part of a PM2.5 attainment plan quantitative milestones and quan-
shall meet all of the following require- titative milestone reports, and contin-
ments: gency measures for the area shall be
(1) The contingency measures shall suspended until such time as:
consist of control measures that are (1) The area is redesignated to attain-
not otherwise included in the control ment, after which such requirements
strategy or that achieve emissions re- are permanently discharged; or,
ductions not otherwise relied upon in (2) The EPA determines that the area
the control strategy for the area; and, has re-violated the PM2.5 NAAQS, at
(2) Each contingency measure shall which time the state shall submit such
specify the timeframe within which its attainment plan elements for the Seri-
requirements become effective fol- ous nonattainment area by a future
lowing a determination by the Admin- date to be determined by the EPA and
istrator under paragraph (a) of this sec- announced through publication in the
tion. FEDERAL REGISTER at the time the
(c) The attainment plan submission EPA determines the area is violating
shall contain a description of the spe- the PM2.5 NAAQS.
cific trigger mechanisms for the con- § 51.1016 Continued applicability of
tingency measures and specify a sched- the FIP and SIP requirements per-
ule for implementation. taining to interstate transport
under CAA section 110(a)(2)(D)(i)
§ 51.1015 Clean data requirements. and (ii) after revocation of the 1997
(a) Nonattainment areas initially classi- primary annual PM2.5 NAAQS.
fied as Moderate. Upon a determination All control requirements associated
by the EPA that a Moderate PM2.5 non- with a FIP or approved SIP in effect
attainment area has attained the PM2.5 for an area pursuant to obligations
NAAQS, the requirements for the state arising from CAA section 110(a)(2)(D)(i)
to submit an attainment demonstra- and (ii) as of October 24, 2016, such as
tion, provisions demonstrating that the CAIR or the CSAPR, shall continue
420
to apply after revocation of the 1997 preceding a nonattainment area’s max-

primary annual PM2.5 NAAQS. Control imum attainment date.
requirements associated with a FIP or (i) Designation for the 2008 NAAQS
approved into the SIP pursuant to obli- shall mean the effective date of the
gations arising from CAA section designation for an area for the 2008
110(a)(2)(D)(i) and (ii), including 40 CFR NAAQS.
51.123, 51.124, 52.35, 52.36, 52.38 and 52.39, (j) Higher classification/lower classifica-
may be modified by the state only if tion. For purposes of determining
the requirements of § 51.123, 51.124, whether a classification is higher or
52.35, 52.36, 52.38 and 52.39, including lower, classifications under subpart 2
statewide annual SO2 and annual NOX of part D of title I of the CAA are
emission budgets, continue to be in ef- ranked from lowest to highest as fol-
fect. Any such modification must meet lows: Marginal; Moderate; Serious; Se-
the requirements of CAA section 110(l). vere; and Extreme.
(k) Initially designated means the first
Subpart AA—Provisions for Imple- designation that becomes effective for
mentation of the 2008 Ozone an area for the 2008 NAAQS and does
National Ambient Air Quality not include a redesignation to attain-
Standards ment or nonattainment for the 2008
NAAQS.
SOURCE: 77 FR 30170, May 21, 2012, unless
(l) Maintenance area means an area
otherwise noted. that was designated nonattainment for
a specific NAAQS and was redesignated
§ 51.1100 Definitions. to attainment for that NAAQS subject
to a maintenance plan as required by
The following definitions apply for
CAA section 175A.
purposes of this subpart. Any term not
defined herein shall have the meaning (m) Nitrogen Oxides (NOX) means the
as defined in 40 CFR 51.100. sum of nitric oxide and nitrogen diox-
(a) 1-hour NAAQS means the 1-hour ide in the flue gas or emission point,
primary and secondary ozone national collectively expressed as nitrogen diox-
ambient air quality standards codified ide.
at 40 CFR 50.9. (n) Ozone season means for each
(b) 1997 NAAQS means the 1997 8-hour state, the ozone monitoring season as
primary and secondary ozone national defined in 40 CFR part 58, appendix D,
ambient air quality standards codified section 4.1(i) for that state.
at 40 CFR 50.10. (o) Applicable requirements for an area
(c) 2008 NAAQS means the 2008 8-hour for anti-backsliding purposes means
primary and secondary ozone NAAQS the following requirements, to the ex-
codified at 40 CFR 50.15. tent such requirements apply to the
(d) 1-hour ozone design value is the 1- area pursuant to its classification
hour ozone concentration calculated under CAA section 181(a)(1) for the 1-
according to 40 CFR part 50, appendix hour NAAQS or 40 CFR 51.902 for the
H and the interpretation methodology 1997 ozone NAAQS at the time of rev-
issued by the Administrator most re- ocation of the 1997 ozone NAAQS:
cently before the date of the enactment (1) Reasonably available control
of the CAA Amendments of 1990. technology (RACT) under CAA sections
(e) 8-hour ozone design value is the 8- 172(c)(1) and 182(b)(2).
hour ozone concentration calculated (2) Vehicle inspection and mainte-
according to 40 CFR part 50, appendix nance programs (I/M) under CAA sec-
P. tions 182(b)(4) and 182(c)(3).
(f) CAA means the Clean Air Act as (3) Major source applicability thresh-
codified at 42 U.S.C. 7401—7671q (2010). olds for purposes of RACT under CAA
(g) Attainment area means, unless oth- sections 172(c)(2), 182(b), 182(c), 182(d),
erwise indicated, an area designated as and 182(e).
either attainment, unclassifiable, or (4) Reductions to achieve Reasonable
attainment/unclassifiable. Further Progress (RFP) under CAA
(h) Attainment year ozone season shall sections172(c)(2), 182(b)(1)(A), and
mean the ozone season immediately 182(c)(2)(B).
421
§ 51.1101 40 CFR Ch. I (7–1–21 Edition)
(5) Clean fuels fleet program under 182(c)(2)(B) and (c)(2)(C) and the 15 per-
CAA section183(c)(4). cent reductions over the first six years
(6) Clean fuels for boilers under CAA of the plan and the following three per-
section 182(e)(3). cent per year average under § 51.1110.
(7) Transportation Control Measures (u) Rate-of-progress (ROP) means the
(TCMs) during heavy traffic hours as 15 percent progress reductions in VOC
specified under CAA section 182(e)(4). emissions over the first 6 years re-
(8) Enhanced (ambient) monitoring quired under CAA section 182(b)(1).
under CAA section 182(c)(1). (v) Revocation of the 1-hour NAAQS
(9) Transportation controls under means the time at which the 1-hour
CAA section 182(c)(5). NAAQS no longer apply to an area pur-
(10) Vehicle miles traveled provisions suant to 40 CFR 50.9(b).
of CAA section 182(d)(1). (w) Revocation of the 1997 ozone
(11) NOX requirements under CAA NAAQS means the time at which the
section 182(f). 1997 8-hour NAAQS no longer apply to
(12) Attainment demonstration re- an area pursuant to 40 CFR 50.10(c).
quirements under CAA sections (x) Subpart 1 means subpart 1 of part
172(c)(4), 182(b)(1)(A), and 182(c)(2). D of title I of the CAA.
(13) Nonattainment contingency (y) Subpart 2 means subpart 2 of part
measures required under CAA sections D of title I of the CAA.
172(c)(9) and 182(c)(9) for failure to at- (z) I/M refers to the inspection and
tain the 1-hour or 1997 ozone NAAQS by maintenance programs for in-use vehi-
the applicable attainment date or to cles required under the 1990 CAA
make reasonable further progress to- Amendments and defined by subpart S
ward attainment of the 1-hour or 1997 of 40 CFR part 51.
ozone NAAQS. (aa) An area ‘‘Designated nonattain-
(14) Nonattainment NSR major ment for the 1-hour ozone NAAQS’’
source thresholds and offset ratios means, for purposes of 40 CFR 51.1105,
under CAA sections 172(a)(5) and an area that is subject to applicable 1-
182(a)(2). hour ozone NAAQS anti-backsliding re-
(15) Penalty fee program require- quirements at the time of revocation of
ments for Severe and Extreme Areas the 1997 ozone NAAQS.
under CAA section 185. (bb) Base year inventory for the non-
(16) Contingency measures associated attainment area means a comprehen-
with areas utilizing CAA section sive, accurate, current inventory of ac-
182(e)(5). tual emissions from sources of VOC and
(17) Reasonably available control NOX emitted within the boundaries of
measures (RACM) requirements under the nonattainment area as required by
CAA section 172(c)(1). CAA section 182(a)(1).
(p) CSAPR means the Cross State Air (cc) Ozone season day emissions means
Pollution Rule codified at 40 CFR 52.38 an average day’s emissions for a typ-
and part 97. ical ozone season work weekday. The
(q) CAIR means the Clean Air Inter- state shall select, subject to EPA ap-
state Rule codified at 40 CFR 51.123, proval, the particular month(s) in the
52.35 and part 95. ozone season and the day(s) in the
(r) NOX SIP Call means the rules codi- work week to be represented, consid-
fied at 40 CFR 51.121 and 51.122. ering the conditions assumed in the de-
(s) Ozone transport region (OTR) velopment of RFP plans and/or emis-
means the area established by CAA sec- sions budgets for transportation con-
tion 184(a) or any other area estab- formity.
lished by the Administrator pursuant [77 FR 30170, May 21, 2012, as amended at 80
to CAA section 176A for purposes of FR 12312, Mar. 6, 2015]
ozone.
(t) Reasonable further progress (RFP) § 51.1101 Applicability of part 51.
means both the emissions reductions The provisions in subparts A–X of
required under CAA section 172(c)(2) part 51 apply to areas for purposes of
which EPA interprets to be an average the 2008 NAAQS to the extent they are
3 percent per year emissions reductions not inconsistent with the provisions of
of either VOC or NOX and CAA sections this subpart.
422
§ 51.1102 Classification and nonattain- attainment for the 2008 ozone NAAQS
ment area planning provisions. shall be classified by operation of law
An area designated nonattainment at the time of designation. The classi-
for the 2008 ozone NAAQS will be clas- fication shall be based on the 8-hour
sified in accordance with CAA section design value for the area at the time of
181, as interpreted in § 51.1103(a), and designation, in accordance with Table 1
will be subject to the requirements of below. A state may request a higher or
subpart 2 of part D of title I of the CAA lower classification as provided in
that apply for that classification. paragraphs (b) and (c) of this section.
For each area classified under this sec-
§ 51.1103 Application of classification tion, the attainment date for the 2008
and attainment date provisions in
CAA section 181 to areas subject to NAAQS shall be as expeditious as prac-
§ 51.1102. ticable but not later than the date pro-
(a) In accordance with CAA section vided in Table 1 as follows:
181(a)(1), each area designated non-
TABLE 1—CLASSIFICATIONS AND ATTAINMENT DATES FOR 2008 8-HOUR OZONE NAAQS (0.075
PPM) FOR AREAS SUBJECT TO CFR SECTION 51.1102
Primary standard
attainment date
8-hour design (years after the
Area class value (ppm effective date of
ozone) designation for
2008 primary
NAAQS)
Marginal ........................................................ from .............................................................. 0.076 3

up to* ............................................................ 0.086
Moderate ....................................................... from .............................................................. 0.086 6
up to* ............................................................ 0.100
Serious .......................................................... from .............................................................. 0.100 9
up to* ............................................................ 0.113
Severe-15 ..................................................... from .............................................................. 0.113 15
up to* ............................................................ 0.119
Severe-17 ..................................................... from .............................................................. 0.119 17
up to* ............................................................ 0.175
Extreme ........................................................ equal to or above ......................................... 0.175 20
* But not including
(b) A state may request, and the Ad- § 51.1104 [Reserved]

ministrator must approve, a higher
classification for any reason in accord- § 51.1105 Transition from the 1997
ance with CAA section 181(b)(3). ozone NAAQS to the 2008 ozone
(c) A state may request, and the Ad- NAAQS and anti-backsliding.
ministrator may in the Administra- (a) Requirements that continue to apply
tor’s discretion approve, a higher or after revocation of the 1997 ozone
lower classification in accordance with NAAQS—(1) 2008 ozone NAAQS non-
CAA section 181(a)(4). attainment and 1997 ozone NAAQS non-
(d) The following nonattainment attainment. The following requirements
areas are reclassified for the 2008 ozone apply to an area designated nonattain-
NAAQS as follows: Serious—Ventura ment for the 2008 ozone NAAQS and
County, CA; Severe—Los Angeles-San also designated nonattainment for the
Bernardino Counties (West Mojave 1997 ozone NAAQS, or nonattainment
Desert), Riverside County (Coachella for both the 1997 and 1-hour ozone
Valley), and Sacramento Metro, CA; NAAQS, at the time of revocation of
Extreme—Los Angeles-South Coast Air the respective ozone NAAQS: The area
Basin, and San Joaquin Valley, CA. remains subject to the obligation to
adopt and implement the applicable re-
FR 12313, Mar. 6, 2015]
quirements of § 51.1100(o), for any ozone
NAAQS for which it was designated
423
§ 51.1105 40 CFR Ch. I (7–1–21 Edition)
nonattainment at the time of revoca- ozone NAAQS with an approved CAA

tion, in accordance with its classifica- section 175A maintenance plan for the
tion for that NAAQS at the time of 1997 ozone NAAQS is considered to sat-
that revocation, except as provided in isfy the applicable requirements of 40
paragraph (b) of this section. CFR 51.1100(o) through implementation
(2) 2008 ozone NAAQS nonattainment of the SIP and maintenance plan provi-
and 1997 ozone NAAQS maintenance. For sions for the area. After April 6, 2015,
an area designated nonattainment for and to the extent consistent with CAA
the 2008 ozone NAAQS that was redes- sections 110(l) and 193, the state may
ignated to attainment for the 1997 request that obligations under the ap-
ozone NAAQS prior to April 6, 2015 plicable requirements of 40 CFR
(hereinafter a ‘‘maintenance area’’) the 51.1100(o) be shifted to the list of main-
SIP, including the maintenance plan, is tenance plan contingency measures for
considered to satisfy the applicable re- the area. For an area that is initially
quirements of 40 CFR 51.1100(o) for the designated attainment for the 2008
revoked NAAQS. The measures in the ozone NAAQS and which has been re-
SIP and maintenance plan shall con- designated to attainment for the 1997
tinue to be implemented in accordance ozone NAAQS with an approved CAA
with the terms in the SIP. Any meas- section 175A maintenance plan and an
ures associated with applicable re- approved PSD SIP, the area’s approved
quirements that were shifted to contin- maintenance plan and the state’s ap-
gency measures prior to April 6, 2015 proved PSD SIP for the area are con-
may remain in that form. After April 6,
sidered to satisfy the state’s obliga-
2015, and to the extent consistent with
tions with respect to the area’s mainte-
any SIP for the 2008 ozone NAAQS and
nance of the 2008 ozone NAAQS pursu-
with CAA sections 110(l) and 193, the
ant to CAA section 110(a)(1).
state may request that obligations
under the applicable requirements of (b) Effect of Redesignation or Redesig-
§ 51.1100(o) be shifted to the SIP’s list of nation Substitute. (1) An area remains
maintenance plan contingency meas- subject to the anti-backsliding obliga-
ures for the area. tions for a revoked NAAQS under para-
(3) 2008 ozone NAAQS attainment and graphs (a)(1) and (2) of this section
1997 ozone NAAQS nonattainment. For until either EPA approves a redesigna-
an area designated attainment for the tion to attainment for the area for the
2008 ozone NAAQS, and designated non- 2008 ozone NAAQS; or EPA approves a
attainment for the 1997 ozone NAAQS demonstration for the area in a redes-
as of April 6, 2015 or for both the 1997 ignation substitute procedure for a re-
and the 1-hour ozone NAAQS as of the voked NAAQS. Under this redesigna-
respective dates of their revocations, tion substitute procedure for a revoked
the area is no longer subject to non- NAAQS, and for this limited anti-back-
attainment NSR and the state may at sliding purpose, the demonstration
any time request that the nonattain- must show that the area has attained
ment NSR provisions applicable to the that revoked NAAQS due to permanent
area be removed from the SIP. The and enforceable emission reductions
state may request, consistent with and that the area will maintain that
CAA sections 110(l) and 193, that SIP revoked NAAQS for 10 years from the
measures adopted to satisfy other ap- date of EPA’s approval of this showing.
plicable requirements of § 51.1100(o) be (2) If EPA, after notice-and-comment
shifted to the SIP’s list of maintenance rulemaking, approves a redesignation
plan contingency measures for the to attainment, the state may request
area. The area’s approved PSD SIP that provisions for nonattainment NSR
shall be considered to satisfy the be removed from the SIP, and that
state’s obligations with respect to the other anti-backsliding obligations be
area’s maintenance of the 2008 ozone shifted to contingency measures pro-
NAAQS pursuant to CAA section vided that such action is consistent
110(a)(1). with CAA sections 110(l) and 193. If
(4) 2008 ozone NAAQS attainment and EPA, after notice and comment rule-
1997 ozone NAAQS maintenance. An area making, approves a redesignation sub-
designated attainment for the 2008 stitute for a revoked NAAQS, the state
424
may request that provisions for non- determine whether an area attained
attainment NSR for that revoked the 1-hour or 1997 ozone NAAQS by the
NAAQS be removed, and that other area’s attainment date solely for anti-
anti-backsliding obligations for that backsliding purposes to address an ap-
revoked NAAQS be shifted to contin- plicable requirement for nonattain-
gency measures provided that such ac- ment contingency measures and CAA
tion is consistent with CAA sections section 185 fee programs. In making
110(l) and 193. such a determination, the EPA may
(c) Portions of an area designated non- consider and apply the provisions of
attainment or attainment for the 2008 CAA section 181(a)(5) and former 40
ozone NAAQS that remain subject to the CFR 51.907 in interpreting whether a 1-
obligations identified in paragraph (a) of year extension of the attainment date
this section. Only that portion of the is applicable under CAA section
designated nonattainment or attain- 172(a)(2)(C).
ment area for the 2008 ozone NAAQS (e) Continued applicability of the FIP
that was required to adopt the applica- and SIP requirements pertaining to inter-
ble requirements in § 51.1100(o) for pur- state transport under CAA section
poses of the 1-hour or 1997 ozone 110(a)(2)(D)(i) and (ii) after revocation of
NAAQS is subject to the obligations the 1997 ozone NAAQS. All control re-
identified in paragraph (a) of this sec- quirements associated with a FIP or
tion. Subpart C of 40 CFR part 81 iden- approved SIP in effect for an area as of
tifies the areas designated nonattain- April 6, 2015, such as the NOX SIP Call,
ment and associated area boundaries the CAIR, or the CSAPR shall continue
for the 1997 ozone NAAQS at the time to apply after revocation of the 1997
of revocation. Areas that are des- ozone NAAQS. Control requirements
ignated nonattainment for the 1997 approved into the SIP pursuant to obli-
ozone NAAQS at the time of designa- gations arising from CAA section
tion for the 2008 ozone NAAQS may be 110(a)(2)(D)(i) and (ii), including 40 CFR
redesignated to attainment prior to the 51.121, 51.122, 51.123 and 51.124, may be
effective date of revocation of that modified by the state only if the re-
ozone NAAQS. quirements of §§ 51.121, 51.122, 51.123 and
(d) Obligations under the 1997 ozone 51.124, including statewide NOX emis-
NAAQS that no longer apply after revoca- sion budgets continue to be in effect.
tion of the 1997 ozone NAAQS—(1) Second Any such modification must meet the
10-year Maintenance plans. As of April 6, requirements of CAA section 110(l).
2015, an area with an approved 1997 (f) New source review. An area des-
ozone NAAQS maintenance plan under ignated nonattainment for the 2008
CAA section 175A is not required to ozone NAAQS and designated non-
submit a second 10-year maintenance attainment for the 1997 ozone NAAQS
plan for the 1997 ozone NAAQS 8 years on April 6, 2015 remains subject to the
after approval of the initial 1997 ozone obligation to adopt and implement the
NAAQS maintenance plan. major source threshold and offset re-
(2) Determinations of failure to attain quirements for nonattainment NSR
the 1997 and/or 1-hour NAAQS. (i) As of that apply or applied to the area pursu-
April 6, 2015, the EPA is no longer obli- ant to CAA sections 172(c)(5), 173 and
gated to determine pursuant to CAA 182 based on the highest of: (i) The
section 181(b)(2) or section 179(c) area’s classification under CAA section
whether an area attained the 1997 181(a)(1) for the 1-hour NAAQS as of the
ozone NAAQS by that area’s attain- effective date of revocation of the 1-
ment date for the 1997 ozone NAAQS. hour ozone NAAQS; (ii) the area’s clas-
(ii) As of April 6, 2015, the EPA is no sification under 40 CFR 51.903 for the
longer obligated to reclassify an area 1997 ozone NAAQS as of the date a per-
to a higher classification for the 1997 mit is issued or as of April 6, 2015,
ozone NAAQS based upon a determina- whichever is earlier; and (iii) the area’s
tion that the area failed to attain the classification under § 51.1103 for the 2008
1997 ozone NAAQS by the area’s attain- ozone NAAQS. Upon removal of non-
ment date for the 1997 ozone NAAQS. attainment NSR obligations for a re-
(iii) For the revoked 1-hour and 1997 voked NAAQS under § 51.1105(b), the
ozone NAAQS, the EPA is required to state remains subject to the obligation
425
§ 51.1106 40 CFR Ch. I (7–1–21 Edition)
to adopt and implement the major § 51.1108 Modeling and attainment

source threshold and offset require- demonstration requirements.
ments for nonattainment NSR that (a) An area classified as Moderate
apply or applied to the area for the re- under § 51.1103(a) shall be subject to the
maining applicable NAAQS consistent attainment demonstration requirement
with this paragraph. applicable for that classification under
CAA section 182(b), and such dem-
[80 FR 12314, Mar. 6, 2015]
onstration is due no later than 36
§ 51.1106 Redesignation to nonattain- months after the effective date of the
ment following initial designations. area’s designation for the 2008 ozone
NAAQS.
For any area that is initially des- (b) An area classified as Serious or
ignated attainment for the 2008 ozone higher under § 51.1103(a) shall be subject
NAAQS and that is subsequently redes- to the attainment demonstration re-
ignated to nonattainment for the 2008 quirement applicable for that classi-
ozone NAAQS, any absolute, fixed date fication under CAA section 182(c), and
applicable in connection with the re- such demonstration is due no later
quirements of this part other than an than 48 months after the effective date
attainment date is extended by a pe- of the area’s designation for the 2008
riod of time equal to the length of time ozone NAAQS.
between the effective date of the initial (c) Attainment demonstration cri-
designation for the 2008 ozone NAAQS teria. An attainment demonstration
and the effective date of redesignation, due pursuant to paragraph (a) or (b) of
this section must meet the require-
except as otherwise provided in this
ments of § 51.112; the adequacy of an at-
subpart. The maximum attainment
tainment demonstration shall be dem-
date for a redesignated area would be onstrated by means of a photochemical
based on the area’s classification, con- grid model or any other analytical
sistent with Table 1 in § 51.1103. method determined by the Adminis-
[80 FR 12314, Mar. 6, 2015] trator, in the Administrator’s discre-
tion, to be at least as effective.
§ 51.1107 Determining eligibility for 1- (d) Implementation of control meas-
year attainment date extensions for ures. For each nonattainment area, the
the 2008 ozone NAAQS under CAA state must provide for implementation
section 181(a)(5). of all control measures needed for at-
(a) A nonattainment area will meet tainment no later than the beginning
the requirement of CAA section of the attainment year ozone season.
181(a)(5)(B) pertaining to 1-year exten- [80 FR 12314, Mar. 6, 2015]
sions of the attainment date if:
(1) For the first 1-year extension, the
area’s 4th highest daily maximum 8 § 51.1110 Requirements for reasonable
hour average in the attainment year is further progress (RFP).
0.075 ppm or less. (a) RFP for nonattainment areas classi-
(2) For the second 1-year extension, fied pursuant to § 51.1103. The RFP re-
the area’s 4th highest daily maximum 8 quirements specified in CAA section 182
hour value, averaged over both the for that area’s classification shall
original attainment year and the first apply.
extension year, is 0.075 ppm or less. (1) Submission deadline. For each area
(b) For purposes of paragraph (a) of classified as Moderate or higher pursu-
this section, the area’s 4th highest ant to § 51.1103, the state shall submit a
daily maximum 8 hour average for a SIP revision no later than 36 months
year shall be from the monitor with after the effective date of designation
the highest 4th highest daily maximum as nonattainment for the 2008 ozone
8 hour average for that year of all the NAAQS that provides for RFP as de-
monitors that represent that area. scribed in paragraphs (a)(2) through (4)
of this section.
[80 FR 12314, Mar. 6, 2015] (2) RFP requirements for areas with an
approved 1-hour or 1997 ozone NAAQS 15
426
percent VOC ROP plan. An area classi- quirements of either paragraph (a)(3)(i)
fied as Moderate or higher that has the or (ii) of this section.
same boundaries as an area, or is en- (i) The state shall not distinguish be-
tirely composed of several areas or por- tween the portion of the area with a
tions of areas, for which EPA fully ap- previously approved 15 percent ROP
proved a 15 percent plan for the 1-hour plan and the portion of the area with-
or 1997 ozone NAAQS is considered to out such a plan, and shall meet the re-
have met the requirements of CAA sec- quirements of (a)(4) of this section for
tion 182(b)(1) for the 2008 ozone NAAQS the entire nonattainment area.
and instead: (ii) The state shall treat the area as
(i) If classified as Moderate or higher, two parts, each with a separate RFP
the area is subject to the RFP require- target as follows:
ments under CAA section 172(c)(2) and (A) For the portion of the area with-
shall submit a SIP revision that: out an approved 15 percent VOC ROP
(A) Provides for a 15 percent emission plan for the 1-hour or 1997 ozone
reduction from the baseline year with- NAAQS, the state shall submit a SIP
in 6 years after the baseline year; revision as required under paragraph
(B) Provides for an additional emis- (a)(4) of this section.
sions reduction of 3 percent per year (B) For the portion of the area with
from the end of the first 6 years up to an approved 15 percent VOC ROP plan
the beginning of the attainment year if for the 1-hour or 1997 ozone NAAQS,
a baseline year earlier than 2011 is
the state shall submit a SIP as re-
used; and
quired under paragraph (a)(2) of this
(C) Relies on either NOX or VOC section.
emissions reductions (or a combina-
(4) ROP Requirements for areas without
tion) to meet the requirements of para-
an approved 1-hour or 1997 ozone NAAQS
graphs (a)(2)(i)(A) and (B) of this sec-
15 percent VOC ROP plan. (i) For each
tion. Use of NOX emissions reductions
area, the state shall submit a SIP revi-
must meet the criteria in CAA section
sion consistent with CAA section
182(c)(2)(C).
182(b)(1). The 6-year period referenced
(ii) If classified as Serious or higher,
in CAA section 182(b)(1) shall begin
the area is also subject to RFP under
January 1 of the year following the
CAA section 182(c)(2)(B) and shall sub-
year used for the baseline emissions in-
mit a SIP revision no later than 48
months after the effective date of des- ventory.
ignation providing for an average emis- (ii) For Moderate areas, the plan
sions reduction of 3 percent per year: must provide for an additional 3 per-
(A) For all remaining 3-year periods cent per year reduction from the end of
after the first 6-year period until the the first 6 years up to the beginning of
year of the area’s attainment date; and the attainment year if a baseline year
(B) That relies on either NOX or VOC from 2008 to 2010 is used.
emissions reductions (or a combina- (iii) For each area classified as Seri-
tion) to meet the requirements of para- ous or higher, the state shall submit a
graphs (a)(2)(ii)(A) and (B) of this sec- SIP revision consistent with CAA sec-
tion. Use of NOX emissions reductions tion 182(c)(2)(B). The final increment of
must meet the criteria in CAA section progress must be achieved no later
182(c)(2)(C). than the attainment date for the area.
(3) RFP requirements for areas for (5) Creditability of emission control
which an approved 15 percent VOC ROP measures for RFP plans. Except as spe-
plan for the 1-hour or 1997 ozone NAAQS cifically provided in CAA section
exists for only a portion of the area. An 182(b)(1)(C) and (D), CAA section
area that contains one or more por- 182(c)(2)(B), and 40 CFR 51.1110(a)(6), all
tions for which EPA fully approved a 15 emission reductions from SIP-approved
percent VOC ROP plan for the 1-hour or federally promulgated measures
or 1997 ozone NAAQS (as well as areas that occur after the baseline emissions
for which EPA has not fully approved a inventory year are creditable for pur-
15 percent plan for either the 1-hour or poses of the RFP requirements in this
1997 ozone NAAQS) shall meet the re- section, provided the reductions meet
427
§ 51.1111 40 CFR Ch. I (7–1–21 Edition)
the requirements for creditability, in- § 51.1111 [Reserved]

cluding the need to be enforceable, per-
manent, quantifiable, and surplus. § 51.1112 Requirements for reasonably
(6) Creditability of out-of-area emissions available control technology
(RACT) and reasonably available
reductions. For each area classified as control measures (RACM).
Moderate or higher pursuant to
(a) RACT requirement for areas classi-
§ 51.1103, in addition to the restrictions
fied pursuant to § 51.1103. (1) For each
on the creditability of emission control nonattainment area classified Mod-
measures listed in § 51.1110(a)(5), cred- erate or higher, the state shall submit
itable emission reductions for fixed a SIP revision that meets the VOC and
percentage reduction RFP must be ob- NOX RACT requirements in CAA sec-
tained from sources within the non- tions 182(b)(2) and 182(f).
attainment area. (2) The state shall submit the RACT
(7) Calculation of non-creditable emis- SIP for each area no later than 24
sions reductions. The following four cat- months after the effective date of des-
egories of control measures listed in ignation for the 2008 ozone NAAQS.
CAA section 182(b)(1)(D) are no longer (3) The state shall provide for imple-
required to be calculated for exclusion mentation of RACT as expeditiously as
in RFP analyses because the Adminis- practicable but no later than January 1
trator has determined that due to the of the 5th year after the effective date
passage of time the effect of these ex- of designation for the 2008 ozone
clusions would be de minimis: NAAQS.
(i) Measures related to motor vehicle (b) Determination of major stationary
sources for applicability of RACT provi-
exhaust or evaporative emissions pro-
sions. The amount of VOC and NOX
mulgated by January 1, 1990;
emissions are to be considered sepa-
(ii) Regulations concerning Reid rately for purposes of determining
vapor pressure promulgated by Novem- whether a source is a major stationary
ber 15, 1990; source as defined in CAA section 302.
(iii) Measures to correct previous (c) Reasonably Available Control Meas-
RACT requirements; and ures (RACM) requirement. For each non-
(iv) Measures required to correct pre- attainment area required to submit an
vious I/M programs. attainment demonstration under
(b) Baseline emissions inventory for § 51.1108(a) and (b), the state shall sub-
RFP plans. For the RFP plans required mit with the attainment demonstra-
under this section, at the time of des- tion a SIP revision demonstrating that
ignation for the 2008 ozone NAAQS the it has adopted all RACM necessary to
baseline emissions inventory shall be demonstrate attainment as expedi-
the emissions inventory for the most tiously as practicable and to meet any
recent calendar year for which a com- RFP requirements.
plete triennial inventory is required to [80 FR 12314, Mar. 6, 2015]
be submitted to EPA under the provi-
sions of subpart A of this part. States § 51.1113 Section 182(f) NOX exemption
may use an alternative baseline emis- provisions.
sions inventory provided the state (a) A person or a state may petition
demonstrates why it is appropriate to the Administrator for an exemption
use the alternative baseline year, and from NOX obligations under CAA sec-
provided that the year selected is be- tion 182(f) for any area designated non-
tween the years 2008 to 2012. All states attainment for the 2008 ozone NAAQS
associated with a multi-state non- and for any area in a CAA section 184
attainment area must consult and ozone transport region.
agree on a single alternative baseline (b) The petition must contain ade-
year. The emissions values included in quate documentation that the criteria
the inventory required by this section in CAA section 182(f) are met.
shall be actual ozone season day emis- (c) A CAA section 182(f) NOX exemp-
tion granted for the 1-hour or 1997
sions as defined by § 51.1100(cc).
ozone NAAQS does not relieve the area
[80 FR 12314, Mar. 6, 2015] from any NOX obligations under CAA
428
section 182(f) for the 2008 ozone (e) The data elements in the emis-
NAAQS. sions inventory shall be consistent
with the detail required by 40 CFR part
[80 FR 12314, Mar. 6, 2015]
51, subpart A. Since only emissions
§ 51.1114 New source review require- within the boundaries of the nonattain-
ments. ment area shall be included as defined
by § 51.1100(cc), this requirement shall
The requirements for nonattainment apply to the emissions inventories re-
NSR for the ozone NAAQS are located quired in this section instead of any
in § 51.165. For each nonattainment total county requirements contained in
area, the state shall submit a non- 40 CFR part 51, subpart A.
attainment NSR plan or plan revision
for the 2008 ozone NAAQS no later than [80 FR 12314, Mar. 6, 2015]
36 months after the effective date of § 51.1116 Requirements for an Ozone
the area’s designation for the 2008 Transport Region.
ozone NAAQS.
(a) In general. CAA sections 176A and
[80 FR 12314, Mar. 6, 2015] 184 apply for purposes of the 2008 ozone
NAAQS.
§ 51.1115 Emissions inventory require- (b) RACT requirements for certain por-
ments. tions of an Ozone Transport Region. (1)
(a) For each nonattainment area, the The state shall submit a SIP revision
state shall submit a base year inven- that meets the RACT requirements of
tory as defined by § 51.1100(bb) to meet CAA section 184(b)(2) for all portions of
the emissions inventory requirement of the state located in an ozone transport
CAA section 182(a)(1). This inventory region.
shall be submitted no later than 24 (2) The state shall submit the RACT
months after the effective date of des- revision no later than 24 months after
ignation. The inventory year shall be designation for the 2008 ozone NAAQS
selected consistent with the baseline and shall provide for implementation
year for the RFP plan as required by of RACT as expeditiously as prac-
§ 51.1110(b). ticable but no later than January 1 of
(b) For each nonattainment area, the the 5th year after designation for the
state shall submit a periodic emission 2008 ozone NAAQS.
inventory of emissions sources in the [80 FR 12314, Mar. 6, 2015]
area to meet the requirement in CAA
section 182(a)(3)(A). With the exception § 51.1117 Fee programs for Severe and
of the inventory year and timing of Extreme nonattainment areas that
submittal, this inventory shall be con- fail to attain.
sistent with the requirements of para- For each area classified as Severe or
graph (a) of this section. Each periodic Extreme for the 2008 ozone NAAQS, the
inventory shall be submitted no later state shall submit a SIP revision with-
than the end of each 3-year period after in 10 years of the effective date of des-
the required submission of the base ignation that meets the requirements
year inventory for the nonattainment of CAA section 185.
area. This requirement shall apply [80 FR 12314, Mar. 6, 2015]
until the area is redesignated to at-
tainment. § 51.1118 Suspension of SIP planning
(c) The emissions values included in requirements in nonattainment
the inventories required by paragraphs areas that have air quality data
(a) and (b) of this section shall be ac- that meet an ozone NAAQS.
tual ozone season day emissions as de- Upon a determination by EPA that
fined by § 51.1100(cc). an area designated nonattainment for
(d) The state shall report emissions the 2008 ozone NAAQS, or for any prior
from point sources according to the ozone NAAQS, has attained the rel-
point source emissions thresholds of evant standard, the requirements for
the Air Emissions Reporting Require- such area to submit attainment dem-
ments (AERR), 40 CFR part 51, subpart onstrations and associated reasonably
A. available control measures, reasonable
429
§ 51.1119 40 CFR Ch. I (7–1–21 Edition)
further progress plans, contingency (1) Not located in a designated non-

measures for failure to attain or make attainment area, and
reasonable progress and other planning (2) Has actual annual SO2 emissions
SIPs related to attainment of the 2008 data of 2,000 tons or more, or has been
ozone NAAQS, or for any prior NAAQS identified by an air agency or by the
for which the determination has been EPA Regional Administrator as requir-
made, shall be suspended until such ing further air quality characteriza-
time as: The area is redesignated to at- tion. 2010 SO2 NAAQS means the pri-
tainment for that NAAQS or a redesig- mary National Ambient Air Quality
nation substitute is approved as appro- Standard for sulfur oxides (sulfur diox-
priate, at which time the requirements ide) as codified at 40 CFR 50.17, as effec-
no longer apply; or EPA determines tive August 23, 2010.
that the area has violated that NAAQS,
at which time the area is again re- § 51.1201 Purpose.
quired to submit such plans.
The purpose of this subpart is to re-
[80 FR 12314, Mar. 6, 2015] quire air agencies to develop and sub-
mit air quality data characterizing
§ 51.1119 Applicability. maximum 1-hour ambient concentra-
As of revocation of the 1997 ozone tions of SO2 across the United States
NAAQS on April 6, 2015, as set forth in through either ambient air quality
§ 50.10(c), the provisions of subpart AA monitoring or air quality modeling
shall replace the provisions of subpart analysis at the air agency’s election.
X, §§ 51.900 to 51.918, which cease to These monitoring and modeling data
apply except for § 51.907 for the anti- may be used in future determinations
backsliding purposes of § 51.1105(c)(2). by the EPA regarding areas’ SO2
See subpart X § 51.919. NAAQS attainment status, or for other
[80 FR 12314, Mar. 6, 2015] actions designed to ensure attainment
of the 2010 SO2 NAAQS and provide pro-
tection to the public from the short-
Subpart BB—Data Requirements term health effects associated with ex-
for Characterizing Air Quality posure to SO2 concentrations that ex-
for the Primary SO2 NAAQS ceed the NAAQS.
SOURCE: 80 FR 51087, Aug. 21, 2015, unless § 51.1202 Applicability.

otherwise noted.
This subpart applies to any air agen-
§ 51.1200 Definitions. cy in whose jurisdiction is located one
or more applicable sources of SO2 emis-
The following definitions apply for
sions that have annual actual SO2
the purposes of this subpart. All terms
emissions of 2,000 tons or more; or in
not defined herein will have the mean-
whose jurisdiction is located one or
ing given them in § 51.100 or in the
more sources of SO2 emissions that
Clean Air Act (CAA). Air agency means
have been identified by the air agency
the agency or organization responsible
for air quality management within a or by the EPA Regional Administrator
state, local governmental jurisdiction, as requiring further air quality charac-
territory or area subject to tribal gov- terization. For the purposes of this
ernment. Annual SO2 emissions data subpart, the subject air agency shall
means the quality-assured annual SO2 identify applicable sources of SO2 based
emissions data for a stationary source. on the most recently available annual
Such data may have been required to SO2 emissions data for such sources.
be reported to the EPA in accordance
§ 51.1203 Air agency requirements.
with an existing regulatory require-
ment (such as the Air Emissions Re- (a) The air agency shall submit a list
porting Rule or the Acid Rain Pro- of applicable SO2 sources identified
gram); however, annual SO2 emissions pursuant to § 51.1202 located in its juris-
data may be obtained or determined diction to the EPA by January 15, 2016.
through other reliable means as well. This list may be revised by the Re-
Applicable source means a stationary gional Administrator after review
source that is: based on available SO2 emissions data.
430
(b) For each source area subject to nual certification of data by May 1 of
requirements for air quality character- the following year.
ization, the air agency shall notify the (1) The air agency shall include rel-
EPA by July 1, 2016, whether it has evant information about monitors used
chosen to characterize peak 1-hour SO2 to meet the requirements of this para-
concentrations in such area through graph (c) in the air agency’s Annual
ambient air quality monitoring; char- Monitoring Network Plan required by
acterize peak 1-hour SO2 concentra- 40 CFR 58.10 due July 1, 2016. The air
tions in such area through air quality agency shall consult with the appro-
modeling techniques; or provide feder- priate EPA Regional Office in the de-
ally enforceable emission limitations velopment of plans to install, supple-
by January 13, 2017 that limit emis- ment, or maintain an appropriate am-
sions of applicable sources to less than bient SO2 monitoring network pursu-
2,000 tpy, in accordance with paragraph ant to the requirements of 40 CFR part
(e) of this section, or provide docu- 58 and of this subpart.
mentation that the applicable source (2) All existing, new, or relocated am-
has permanently shut down. Emission bient monitors intended to meet the
limits in accordance with paragraph (e) requirements of this paragraph (c)
of this section may be established in must be operational by January 1, 2017
lieu of conducting monitoring or mod- and must be operated continually until
approved for shut down by EPA.
eling unless, in the judgment of the air
(3) Any SO2 monitor identified by an
agency or the EPA Regional Adminis-
air agency in its approved Annual Mon-
trator, the area warrants further air
itoring Network Plan as having the
quality characterization even with the
purpose of meeting the requirements of
establishment of any new emission
this paragraph (c) that: Is not located
limit(s). If the air agency has chosen to
in an area designated as nonattain-
establish requirements to limit emis- ment as the 2010 SO2 NAAQS is not also
sions for applicable sources in an area, being used to satisfy other ambient SO2
the notification from the air agency minimum monitoring requirements
shall describe the requirements and listed in 40 CFR part 58, appendix D,
emission limits the air agency intends section 4.4; and is not otherwise re-
to apply. For any area with multiple quired as part of a SIP, permit, attain-
applicable sources, the air agency (or ment plan or maintenance plan, may
air agencies if a multi-state area) shall be eligible for shut down upon EPA ap-
use the same technique (monitoring, proval if it produces a design value no
modeling, or emissions limitation) for greater than 50 percent of the 2010 SO2
all applicable sources in the area. If NAAQS from data collected in either
multiple air agencies have applicable its first or second 3-year period of oper-
sources in an area, the air agencies ation. The air agency must receive
must consult with each other to em- EPA Regional Administrator approval
ploy a common technique for the area. of a request to cease operation of the
(c) Monitoring. For each area identi- monitor as part of the EPA’s action on
fied in the notification submitted pur- the Annual Monitoring Network Plan
suant to paragraph (b) of this section under 40 CFR 58.10 prior to shutting
as an area for which SO2 concentra- down any qualifying monitor under
tions will be characterized through am- this paragraph (c).
bient monitoring, the required mon- (d) Modeling. For each area identified
itors shall be sited and operated either in the notification submitted pursuant
as SLAMS or in a manner equivalent to paragraph (b) of this section as an
to SLAMS. In either case, monitors area for which SO2 concentrations will
shall meet applicable criteria in 40 be characterized through air quality
CFR part 58, appendices A, C, and E modeling, the air agency shall submit
and their data shall be subject to data by July 1, 2016, a technical protocol for
certification and reporting require- conducting such modeling to the Re-
ments as prescribed in 40 CFR 58.15 and gional Administrator for review. The
58.16. These requirements include quar- air agency shall consult with the ap-
terly reporting of monitoring data to propriate EPA Regional Office in devel-
the Air Quality System, and the an- oping these modeling protocols.
431
§ 51.1204 40 CFR Ch. I (7–1–21 Edition)
(1) The modeling protocol shall in- mittal shall include associated air
clude information about the modeling quality modeling and other analyses
approach to be followed, including but that demonstrate that all modeling re-
not limited to the model to be used, ceptors in the area will not violate the
modeling domain, receptor grid, emis- 2010 SO2 NAAQS, taking into account
sions dataset, meteorological dataset the updated allowable emission limits
and how the air agency will account for on applicable sources as well as emis-
background SO2 concentrations. sions limits that may apply to any
(2) Modeling analyses shall charac- other sources in the area. The air agen-
terize air quality based on either ac- cy shall not be subject to the ongoing
tual SO2 emissions from the most re- data requirements of § 51.1205 for such
cent 3 years, or on any federally en- area if the air quality modeling and
forceable allowable emission limit or other analyses demonstrate that the
limits established by the air agency or area will not violate the 2010 SO2
the EPA and that are effective and re- NAAQS.
quire compliance by January 13, 2017.
(3) Except as provided by § 51.1204, the § 51.1205 Ongoing data requirements.
air agency shall conduct the modeling (a) Monitored areas. For any area
analysis for any applicable source iden- where SO2 monitoring was conducted
tified by the air agency pursuant to to characterize air quality pursuant to
paragraph (a) of this section, and for § 51.1203, the air agency shall continue
its associated area and any nearby to operate the monitor(s) used to meet
area, as applicable, and submit the those requirements and shall continue
modeling analysis to the EPA Regional to report ambient data pursuant to ex-
Office by January 13, 2017. isting ambient monitoring regulations,
(e) Federally enforceable requirement to unless the monitor(s) have been ap-
limit SO2 emissions to under 2,000 tons per proved for shut down by the EPA Re-
year. For each area identified in the no- gional Administrator pursuant to
tification submitted pursuant to para- § 51.1203(c)(3) or pursuant to 40 CFR
graph (b) of this sectionas an area for 58.14.
which the air agency will adopt feder- (b) Modeled areas. For any area where
ally enforceable requirements in lieu of modeling of actual SO2 emissions serve
characterizing air quality through as the basis for designating such area
monitoring or modeling, the air agency as attainment for the 2010 SO2 NAAQS,
shall submit documentation to the the air agency shall submit an annual
EPA by January 13, 2017, showing that report to the EPA Regional Adminis-
such requirements have been adopted, trator by July 1 of each year, either as
are in effect, and been made federally a stand-alone document made available
enforceable by January 13, 2017, for public inspection, or as an appendix
through an appropriate legal mecha- to its Annual Monitoring Network
nism, and the provisions either: Plan (also due on July 1 each year
(1) Require the applicable sources in under 40 CFR 58.10), that documents
the area to emit less than 2,000 tons of the annual SO2 emissions of each appli-
SO2 per year for calendar year 2017 and cable source in each such area and pro-
thereafter; or vides an assessment of the cause of any
(2) Document that the applicable emissions increase from the previous
sources in the area have permanently year. The first report for each such
shut down by January 13, 2017. area is due by July 1 of the calendar
year after the effective date of the
§ 51.1204 Enforceable emission limits area’s initial designation.
providing for attainment. (1) The air agency shall include in
At any time prior to January 13, 2017, such report a recommendation regard-
the air agency may submit to the EPA ing whether additional modeling is
federally enforceable SO2 emissions needed to characterize air quality in
limits (effective no later than January any area to determine whether the
13, 2017) for one or more applicable area meets or does not meet the 2010
sources that provide for attainment of SO2 NAAQS. The EPA Regional Admin-
the 2010 SO2 NAAQS in the area af- istrator will consider the emissions re-
fected by such emissions. The sub- port and air agency recommendation,
432
and may require that the air agency (d) Designation for a NAAQS. The ef-
conduct updated air quality modeling fective date of the designation for an
for the area and submit it to the EPA area for that NAAQS.
within 12 months. (e) Higher classification/lower classi-
(2) An air agency will no longer be fication. For purposes of determining
subject to the requirements of this whether a classification is higher or
paragraph (b) for a particular area if it lower, classifications under subpart 2
provides air quality modeling dem- of part D of title I of the CAA are
onstrating that air quality values at ranked from lowest to highest as fol-
all receptors in the analysis are no lows: Marginal; Moderate; Serious; Se-
greater than 50 percent of the 1-hour vere-15; Severe-17; and Extreme.
SO2 NAAQS, and such demonstration is (f) 2008 ozone NAAQS means the 2008
approved by the EPA Regional Admin- 8-hour primary and secondary ozone
istrator. NAAQS codified at 40 CFR 50.15.
(c) Any air agency that demonstrates (g) Attainment year ozone season shall
that an area would meet the 2010 SO2 mean the ozone season immediately
NAAQS with allowable emissions is not preceding a nonattainment area’s max-
required pursuant to paragraph (b) of imum attainment date.
this section to submit future annual (h) Initially designated means the first
reports for the area. designation that becomes effective for
(d) If modeling or monitoring infor- an area for a specific NAAQS and does
mation required to be submitted by the not include a redesignation to attain-
air agency to the EPA pursuant to this ment or nonattainment for that spe-
cific NAAQS.
subpart indicates that an area is not
attaining the 2010 SO2 NAAQS, the (i) Nitrogen Oxides (NOX) means the
sum of nitric oxide and nitrogen diox-
EPA may take appropriate action, in-
ide in the flue gas or emission point,
cluding but not limited to requiring
collectively expressed as nitrogen diox-
adoption of enforceable emission limits
ide.
to ensure continued attainment of the
(j) Ozone season means for each state
2010 SO2 NAAQS, designation or redes-
(or portion of a state), the ozone moni-
ignation of the area to nonattainment,
toring season as defined in 40 CFR part
or issuance of a SIP Call. 58, appendix D, section 4.1(i) for that
state (or portion of a state).
Subpart CC—Provisions for Imple- (k) Ozone transport region (OTR)
mentation of the 2015 Ozone means the area established by CAA sec-
National Ambient Air Quality tion 184(a) or any other area estab-
Standards lished by the Administrator pursuant
to CAA section 176A for purposes of
ozone.
SOURCE: 83 FR 10382, Mar. 9, 2018, unless
otherwise noted. (l) Reasonable further progress (RFP)
means the emissions reductions re-
§ 51.1300 Definitions. quired under CAA sections 172(c)(2),
182(c)(2)(B), 182(c)(2)(C), and § 51.1310.
The following definitions apply for The EPA interprets RFP under CAA
purposes of this subpart. Any term not section 172(c)(2) to be an average 3 per-
defined herein shall have the meaning cent per year emissions reduction of ei-
as defined in § 51.100. ther VOC or NOX.
(a) 2015 NAAQS. The 2015 8-hour pri- (m) Rate-of-progress (ROP) means the
mary and secondary ozone NAAQS 15 percent progress reductions in VOC
codified at 40 CFR 50.19. emissions over the first 6 years after
(b) 8-hour ozone design value. The 8- the baseline year required under CAA
hour ozone concentration calculated section 182(b)(1).
according to 40 CFR part 50, appendix (n) I/M refers to the inspection and
P, for the 2008 NAAQS, and 40 CFR part maintenance programs for in-use vehi-
50, appendix U, for the 2015 NAAQS. cles required under the 1990 CAA
(c) CAA. The Clean Air Act as codi- Amendments and defined by subpart S
fied at 42 U.S.C. 7401–7671q (2010). of 40 CFR part 51.
433
§ 51.1301 40 CFR Ch. I (7–1–21 Edition)
(o) Current ozone NAAQS means the § 51.1302 Classification and nonattain-
most recently promulgated ozone ment area planning provisions.
NAAQS at the time of application of
An area designated nonattainment
any provision of this subpart.
for the 2015 ozone NAAQS will be clas-
(p) Base year inventory for the non-
attainment area means a comprehen- sified in accordance with CAA section
sive, accurate, current inventory of ac- 181, as interpreted in § 51.1303(a), and
tual emissions from sources of VOC and will be subject to the requirements of
NOX emitted within the boundaries of subpart 2 of part D of title I of the CAA
the nonattainment area as required by that apply for that classification.
CAA section 182(a)(1).
(q) Ozone season day emissions means § 51.1303 Application of classification
an average day’s emissions for a typ- and attainment date provisions in
CAA section 181 to areas subject to
ical ozone season work weekday. The
§ 51.1302.
state shall select, subject to EPA ap-
proval, the particular month(s) in the (a) In accordance with CAA section
ozone season and the day(s) in the 181(a)(1), each area designated non-
work week to be represented, consid- attainment for the 2015 ozone NAAQS
ering the conditions assumed in the de- shall be classified by operation of law
velopment of RFP plans and/or emis- at the time of designation. The classi-
sions budgets for transportation con- fication shall be based on the 8-hour
formity. design value for the area at the time of
[83 FR 10382, Mar. 9, 2018, as amended at 83 designation, in accordance with Table 1
FR 63032, Dec. 6, 2018] of this paragraph (a). A state may re-
quest a higher or lower classification
§ 51.1301 Applicability of this part. as provided in paragraphs (b) and (c) of
The provisions in subparts A through this section. For each area classified
Y and AA of this part apply to areas for under this section, the attainment date
purposes of the 2015 ozone NAAQS to for the 2015 NAAQS shall be as expedi-
the extent they are not inconsistent tious as practicable, but not later than
with the provisions of this subpart. the date provided in Table 1 as follows:
TABLE 1 TO PARAGRAPH (a)—CLASSIFICATIONS AND ATTAINMENT DATES FOR 2015 8-HOUR OZONE
NAAQS (0.070 ppm) FOR AREAS SUBJECT TO § 51.1302
Primary standard
8-hour ozone attainment date
Area class design value (years after the effective
(ppm) date of designation for
2015 primary NAAQS)
Marginal ................................................ from up to * ........................................... 0.071 3

0.081
Moderate .............................................. from up to * ........................................... 0.081 6
0.093
Serious ................................................. from up to * ........................................... 0.093 9
0.105
Severe-15 ............................................. from up to * ........................................... 0.105 15
0.111
Severe-17 ............................................. from up to * ........................................... 0.111 17
0.163
Extreme ................................................ equal to or above ................................. 0.163 20
* But not including.
(b) A state may request, and the Ad- lower classification for an area in ac-
ministrator must approve, a higher cordance with CAA section 181(a)(4).
classification for an area for any rea-
son in accordance with CAA section §§ 51.1304–51.1305 [Reserved]
181(b)(3). § 51.1306 Redesignation to nonattain-
(c) A state may request, and the Ad- ment following initial designations.
ministrator may in the Administra- For any area that is initially des-
tor’s discretion approve, a higher or ignated attainment for the 2015 ozone
434
NAAQS and that is subsequently redes- demonstration that provides for such
ignated to nonattainment for the 2015 specific reductions in emissions of
ozone NAAQS, any absolute, fixed date VOCs and NOX as necessary to attain
applicable in connection with the re- the primary NAAQS by the applicable
quirements of this part other than an attainment date, and such demonstra-
attainment date is extended by a pe- tion is due no later than 36 months
riod of time equal to the length of time after the effective date of the area’s
between the effective date of the initial designation for the 2015 ozone NAAQS.
designation for the 2015 ozone NAAQS (b) An area classified Serious or high-
and the effective date of the redesigna- er under § 51.1303(a) shall be subject to
tion, except as otherwise provided in the attainment demonstration require-
this subpart. The maximum attainment applicable for that classification
ment date for a redesignated area under CAA section 182(c), and such
would be based on the area’s classifica- demonstration is due no later than 48
tion, consistent with Table 1 in months after the effective date of the
§ 51.1303. area’s designation for the 2015 ozone
[83 FR 63033, Dec. 6, 2018] NAAQS.
(c) An attainment demonstration due
§ 51.1307 Determining eligibility for 1- pursuant to paragraph (a) or (b) of this
year attainment date extensions for section must meet the requirements of
an 8-hour ozone NAAQS under CAA Appendix W of this part and shall in-
section 181(a)(5). clude inventory data, modeling results,
(a) A nonattainment area will meet and emission reduction analyses on
the requirement of CAA section which the state has based its projected
181(a)(5)(B) pertaining to 1-year exten- attainment date; the adequacy of an
sions of the attainment date if: attainment demonstration shall be
(1) For the first 1-year extension, the demonstrated by means of a photo-
area’s 4th highest daily maximum 8- chemical grid model or any other ana-
hour average in the attainment year is lytical method determined by the Ad-
no greater than the level of that ministrator, in the Administrator’s
NAAQS. discretion, to be at least as effective.
(2) For the second 1-year extension, (d) Implementation of control measures.
the area’s 4th highest daily maximum For each nonattainment area for which
8-hour value, averaged over both the an attainment demonstration is re-
original attainment year and the first quired pursuant to paragraph (a) or (b)
extension year, is no greater than the of this section, the state must provide
level of that NAAQS. for implementation of all control
(b) For purposes of paragraph (a)(1) of measures needed for attainment as ex-
this section, the area’s 4th highest peditiously as practicable. All control
daily maximum 8-hour average for a measures in the attainment plan and
year shall be from the monitor with demonstration must be implemented
the highest 4th highest daily maximum no later than the beginning of the at-
8-hour average for that year of all the tainment year ozone season, notwith-
monitors that represent that area. standing any alternate RACT and/or
(c) For purposes of paragraph (a)(2) of RACM implementation deadline re-
this section, the area’s 4th highest quirements in § 51.1312.
daily maximum 8-hour value, averaged
over both the original attainment year [83 FR 63033, Dec. 6, 2018]
and the first extension year, shall be
from the monitor in each year with the
highest 4th highest daily maximum 8- § 51.1310 Requirements for reasonable
hour average of all monitors that rep- further progress (RFP).
resent that area. (a) RFP for nonattainment areas classi-
[83 FR 63033, Dec. 6, 2018] fied pursuant to § 51.1303. The RFP re-
quirements specified in CAA section 182
§ 51.1308 Modeling and attainment for that area’s classification shall
demonstration requirements. apply.
(a) An area classified Moderate under (1) Submission deadline. For each area
§ 51.1303(a) shall submit an attainment classified Moderate or higher pursuant
435
§ 51.1310 40 CFR Ch. I (7–1–21 Edition)
to § 51.1303, the state shall submit a SIP shall meet the requirements of either
revision no later than 36 months after paragraph (a)(3)(i) or (ii) of this sec-
the effective date of designation as tion.
nonattainment for the 2015 ozone (i) The state shall not distinguish be-
NAAQS that provides for RFP as de- tween the portion of the area with a
scribed in paragraphs (a)(2) through (4) previously approved 15 percent ROP
of this section. plan and the portion of the area with-
(2) RFP requirements for areas with an out such a plan, and shall meet the re-
approved prior ozone NAAQS 15 percent quirements of paragraph (a)(4) of this
VOC ROP plan. An area classified Mod- section for the entire nonattainment
erate or higher that has the same area.
boundaries as an area, or is entirely (ii) The state shall treat the area as
composed of several areas or portions two parts, each with a separate RFP
of areas, for which the EPA fully ap- target as follows:
proved a 15 percent plan for a prior (A) For the portion of the area with-
ozone NAAQS is considered to have out an approved 15 percent VOC ROP
met the requirements of CAA section plan for a prior ozone NAAQS, the
182(b)(1) for the 2015 ozone NAAQS and state shall submit a SIP revision as re-
instead: quired under paragraph (a)(4) of this
(i) If classified Moderate, the area is section.
subject to the RFP requirements under (B) For the portion of the area with
CAA section 172(c)(2) and shall submit an approved 15 percent VOC ROP plan
a SIP revision that: for a prior ozone NAAQS, the state
(A) Provides for a 15 percent emission shall submit a SIP as required under
reduction from the baseline year with- paragraph (a)(2) of this section.
in 6 years after the baseline year; and (4) ROP Requirements for areas without
(B) Relies on either NOX or VOC an approved prior ozone NAAQS 15 per-
emissions reductions (or a combina- cent VOC ROP plan. (i) For each area,
tion) to meet the requirements of para- the state shall submit a SIP revision
graph (a)(2)(i)(A) of this section. Use of consistent with CAA section 182(b)(1).
NOX emissions reductions must meet The 6-year period referenced in CAA
the criteria in CAA section 182(c)(2)(C). section 182(b)(1) shall begin January 1
(ii) If classified Serious or higher, the of the year following the year used for
area is subject to RFP under CAA sec- the baseline emissions inventory.
tions 172(c)(2) and 182(c)(2)(B), and shall (ii) For each area classified Serious
submit a SIP revision no later than 48 or higher, the state shall submit a SIP
months after the effective date of des- revision consistent with CAA section
ignation providing for an average emis- 182(c)(2)(B). The final increment of
sions reduction of 3 percent per year: progress must be achieved no later
(A) For the first 6-year period after than the attainment date for the area.
the baseline year and all remaining 3- (5) Creditability of emission control
year periods until the year of the measures for RFP plans. Except as spe-
area’s attainment date; and cifically provided in CAA section
(B) That relies on either NOX or VOC 182(b)(1)(C) and (D), CAA section
emissions reductions (or a combina- 182(c)(2)(B), and 40 CFR 51.1310(a)(6), all
tion) to meet the requirements of emission reductions from SIP-approved
(a)(2)(ii)(A). Use of NOX emissions re- or federally promulgated measures
ductions must meet the criteria in that occur after the baseline emissions
CAA section 182(c)(2)(C). inventory year are creditable for pur-
(3) RFP requirements for areas for poses of the RFP requirements in this
which an approved 15 percent VOC ROP section, provided the reductions meet
plan for a prior ozone NAAQS exists for the requirements for creditability, in-
only a portion of the area. An area that cluding the need to be enforceable, per-
contains one or more portions for manent, quantifiable, and surplus.
which the EPA fully approved a 15 per- (6) Creditability of out-of-area emissions
cent VOC ROP plan for a prior ozone reductions. For purposes of meeting the
NAAQS (as well as portions for which RFP requirements in § 51.1310, in addi-
the EPA has not fully approved a 15 tion to the restrictions on the cred-
percent plan for a prior ozone NAAQS) itability of emission control measures
436
listed in § 51.1310(a)(5), creditable emis- each interval shall be the applicable

sion reductions for fixed percentage re- milestone.
duction RFP must be obtained from (2) Milestone compliance demonstra-
emissions sources located within the tions. For each area subject to the
nonattainment area. milestone requirements under para-
(7) Calculation of non-creditable emis- graph (c)(1) of this section, not later
sions reductions. The following four cat- than 90 days after the date on which an
egories of control measures listed in applicable milestone occurs (not in-
CAA section 182(b)(1)(D) are no longer cluding an attainment date on which a
required to be calculated for exclusion milestone occurs in cases where the
in RFP analyses because the Adminis- ozone standards have been attained),
trator has determined that due to the each state in which all or part of such
passage of time the effect of these ex- area is located shall submit to the Ad-
clusions would be de minimis: ministrator a demonstration that the
(i) Measures related to motor vehicle milestone has been met. The dem-
exhaust or evaporative emissions pro- onstration under this paragraph must
mulgated by January 1, 1990; provide for objective evaluation of RFP
(ii) Regulations concerning Reid toward timely attainment of the ozone
vapor pressure promulgated by Novem- NAAQS in the area, and may take the
ber 15, 1990; form of:
(iii) Measures to correct previous (i) Such information and analysis as
RACT requirements; and needed to quantify the actual reduc-
(iv) Measures required to correct pre- tion in emissions achieved in the time
vious I/M programs. interval preceding the applicable mile-
(b) Baseline emissions inventory for stone; or
RFP plans. For the RFP plans required (ii) Such information and analysis as
under this section, at the time of des- needed to demonstrate progress
ignation as nonattainment for an ozone achieved in implementing the approved
NAAQS the baseline emissions inven- SIP control measures, including RACM
tory shall be the emissions inventory and RACT, corresponding with the re-
for the most recent calendar year for duction in emissions achieved in the
which a complete triennial inventory is time interval preceding the applicable
required to be submitted to the EPA milestone.
under the provisions of subpart A of [83 FR 63033, Dec. 6, 2018]
this part. States may use an alter-
native baseline emissions inventory § 51.1311 [Reserved]
provided that the year selected cor-
responds with the year of the effective § 51.1312 Requirements for reasonably
date of designation as nonattainment available control technology
for that NAAQS. All states associated (RACT) and reasonably available
with a multi-state nonattainment area control measures (RACM).
must consult and agree on using the al- (a) RACT requirement for areas classi-
ternative baseline year. The emissions fied pursuant to § 51.1303. (1) For each
values included in the inventory re- nonattainment area classified Mod-
quired by this section shall be actual erate or higher, the state shall submit
ozone season day emissions as defined a SIP revision that meets the VOC and
by § 51.1300(q). NOX RACT requirements in CAA sec-
(c) Milestones—(1) Applicable mile- tions 182(b)(2) and 182(f).
stones. Consistent with CAA section (2) SIP submission deadline. (i) For a
182(g)(1) for each area classified Serious RACT SIP required pursuant to initial
or higher, the state shall determine at nonattainment area designations, the
specified intervals whether each area state shall submit the RACT SIP for
has achieved the reduction in emis- each area no later than 24 months after
sions required under paragraphs (a)(2) the effective date of designation for a
through (4) of this section. The initial specific ozone NAAQS.
determination shall occur 6 years after (ii) For a RACT SIP required pursu-
the baseline year, and at intervals of ant to reclassification, the SIP revision
every 3 years thereafter. The reduction deadline is either 24 months from the
in emissions required by the end of effective date of reclassification, or the
437
§ 51.1313 40 CFR Ch. I (7–1–21 Edition)
deadline established by the Adminis- trol measures on sources of emissions

trator in the reclassification action. of ozone precursors located outside the
(iii) For a RACT SIP required pursu- nonattainment area, or portion there-
ant to the issuance of a new Control of, located within the state if doing so
Techniques Guideline (CTG) under CAA is necessary or appropriate to provide
section 183, the SIP revision deadline is for attainment of the applicable ozone
either 24 months from the date of CTG NAAQS in such area by the applicable
issuance, or the deadline established by attainment date.
the Administrator in the action issuing [83 FR 63033, Dec. 6, 2018]
the CTG.
(3) RACT implementation deadline. (i) § 51.1313 Section 182(f) NOX exemption
For RACT required pursuant to initial provisions.
nonattainment area designations, the (a) A person or a state may petition
state shall provide for implementation the Administrator for an exemption
of such RACT as expeditiously as prac- from NOX obligations under CAA sec-
ticable, but no later than January 1 of tion 182(f) for any area designated non-
the fifth year after the effective date of attainment for a specific ozone NAAQS
designation. and for any area in a CAA section 184
(ii) For RACT required pursuant to ozone transport region.
reclassification, the state shall provide (b) The petition must contain ade-
for implementation of such RACT as quate documentation that the criteria
expeditiously as practicable, but no in CAA section 182(f) are met.
later than the start of the attainment (c) A CAA section 182(f) NOX exemp-
year ozone season associated with the tion granted for a prior ozone NAAQS
area’s new attainment deadline, or does not relieve the area from any NOX
January 1 of the third year after the obligations under CAA section 182(f) for
associated SIP revision submittal a current ozone NAAQS.
deadline, whichever is earlier; or the
deadline established by the Adminis- [83 FR 63033, Dec. 6, 2018]
trator in the final action issuing the § 51.1314 New source review require-
area reclassification. ments.
(iii) For RACT required pursuant to
issuance of a new CTG under CAA sec- The requirements for nonattainment
tion 183, the state shall provide for im- NSR for the ozone NAAQS are located
plementation of such RACT as expedi- in § 51.165. For each nonattainment
tiously as practicable, but either no area, the state shall submit a non-
later than January 1 of the third year attainment NSR plan or plan revision
after the associated SIP submission for a specific ozone NAAQS no later
deadline or the deadline established by than 36 months after the effective date
the Administrator in the final action of the area’s designation of nonattain-
issuing the CTG. ment or redesignation to nonattain-
(b) Determination of major stationary ment for that ozone NAAQS.
sources for applicability of RACT provi- [83 FR 63033, Dec. 6, 2018]
sions. The amount of VOC and NOX
emissions are to be considered sepa- § 51.1315 Emissions inventory require-
rately for purposes of determining ments.
whether a source is a major stationary (a) For each nonattainment area, the
source as defined in CAA section 302. state shall submit a base year inven-
(c) RACM requirements. For each non- tory as defined by § 51.1300(p) to meet
attainment area required to submit an the emissions inventory requirement of
attainment demonstration under CAA section 182(a)(1). This inventory
§ 51.1308(a) and (b), the state shall sub- shall be submitted no later than 24
mit with the attainment demonstra- months after the effective date of des-
tion a SIP revision demonstrating that ignation. The inventory year shall be
it has adopted all RACM necessary to selected consistent with the baseline
demonstrate attainment as expedi- year for the RFP plan as required by
tiously as practicable and to meet any § 51.1310(b).
RFP requirements. The SIP revision (b) For each nonattainment area, the
shall include, as applicable, other con- state shall submit a periodic emissions
438
inventory of emissions sources in the (ii) For a RACT SIP required pursu-
area to meet the requirement in CAA ant to reclassification, the SIP revision
section 182(a)(3)(A). With the exception deadline is either 24 months from the
of the inventory year and timing of effective date of reclassification, or the
submittal, this inventory shall be con- deadline established by the Adminis-
sistent with the requirements of para- trator in the reclassification action.
graph (a) of this section. Each periodic (iii) For a RACT SIP required pursu-
inventory shall be submitted no later ant to the issuance of a new CTG under
than the end of each 3-year period after CAA section 183, the SIP revision dead-
the required submission of the base line is either 24 months from the date
year inventory for the nonattainment of CTG issuance, or the deadline estab-
area. This requirement shall apply lished by the Administrator in the ac-
until the area is redesignated to at- tion issuing the CTG.
tainment. (3) RACT implementation deadline. (i)
(c) The emissions values included in
For RACT required pursuant to initial
the inventories required by paragraphs
nonattainment area designations, the
(a) and (b) of this section shall be ac-
state shall provide for implementation
tual ozone season day emissions as de-
of RACT as expeditiously as prac-
fined by § 51.1300(q).
(d) In the inventories required by ticable, but no later than January 1 of
paragraphs (a) and (b) of this section, the fifth year after the effective date of
the state shall report emissions from designation.
point sources according to the point (ii) For RACT required pursuant to
source emissions thresholds of the Air reclassification, the state shall provide
Emissions Reporting Requirements, 40 for implementation of such RACT as
CFR part 51, subpart A. expeditiously as practicable, but no
(e) The data elements in the emis- later than the start of the attainment
sions inventories required by para- year ozone season associated with the
graphs (a) and (b) of this section shall area’s new attainment deadline, or
be consistent with the detail required January 1 of the third year after the
by 40 CFR part 51, subpart A. Since associated SIP revision submittal
only emissions within the boundaries deadline, whichever is earlier; or the
of the nonattainment area shall be in- deadline established by the Adminis-
cluded as defined by § 51.1300(q), this re- trator in the final action issuing the
quirement shall apply to the emissions area reclassification.
inventories required in this section in- (iii) For RACT required pursuant to
stead of any total county requirements issuance of a new CTG under CAA sec-
contained in 40 CFR part 51, subpart A. tion 183, the state shall provide for im-
[83 FR 63033, Dec. 6, 2018] plementation of such RACT as expedi-
tiously as practicable, but either no
§ 51.1316 Requirements for an Ozone later than January 1 of the third year
Transport Region. after the associated SIP submission
(a) In general. CAA sections 176A and deadline or the deadline established by
184 apply for purposes of the 2015 ozone the Administrator in the final action
NAAQS. issuing the CTG.
(b) RACT requirements for certain por- [83 FR 63033, Dec. 6, 2018]
tions of an ozone transport region. (1)
The state shall submit a SIP revision § 51.1317 Fee programs for Severe and
that meets the RACT requirements of Extreme nonattainment areas that
CAA section 184(b) for all portions of fail to attain.
the state located in an ozone transport For each area classified Severe or Ex-
region. treme for a specific ozone NAAQS, the
(2) SIP submission deadline. (i) For a state shall submit a SIP revision with-
RACT SIP required pursuant to initial
in 10 years of the effective date of des-
nonattainment area designations, the
ignation for that ozone NAAQS that
state shall submit the RACT SIP revi-
meets the requirements of CAA section
sion no later than 24 months after the
185.
effective date of designation for a spe-
cific ozone NAAQS. [83 FR 63033, Dec. 6, 2018]
439
§ 51.1318 40 CFR Ch. I (7–1–21 Edition)
§ 51.1318 Suspension of SIP planning Weather Service advisory that Atmospheric

requirements in nonattainment Stagnation Advisory is in effect or the equiv-
areas that have air quality data alent local forecast of stagnant atmospheric
that meet an ozone NAAQS. condition.
(b) Alert: The Alert level is that concentra-
Upon a determination by the EPA tion of pollutants at which first stage con-
that an area designated nonattainment trol actions is to begin. An Alert will be de-
for a specific ozone NAAQS has at- clared when any one of the following levels is
tained that NAAQS, the requirements reached at any monitoring site:
for such area to submit attainment SO2—800 μg/m3 (0.3 p.p.m.), 24-hour average.
demonstrations and associated RACM, PM10—350 μg/m3, 24-hour average.
CO—17 mg/m3 (15 p.p.m.), 8-hour average.
RFP plans, contingency measures for Ozone (O2) = 400 μg/m3 (0.2 ppm)-hour aver-
failure to attain or make reasonable age.
progress, and other planning SIPs re- NO2–1130 μg/m3 (0.6 p.p.m.), 1-hour average,
lated to attainment of the ozone 282 μg/m3 (0.15 p.p.m.), 24-hour average.
NAAQS for which the determination In addition to the levels listed for the
has been made, shall be suspended until above pollutants, meterological conditions
such time as: The area is redesignated are such that pollutant concentrations can
be expected to remain at the above levels for
to attainment for that NAAQS, at
twelve (12) or more hours or increase, or in
which time the requirements no longer the case of ozone, the situation is likely to
apply; or the EPA determines that the reoccur within the next 24-hours unless con-
area has violated that NAAQS, at trol actions are taken.
which time the area is again required (c) Warning: The warning level indicates
to submit such plans. that air quality is continuing to degrade and
that additional control actions are nec-
[83 FR 63033, Dec. 6, 2018] essary. A warning will be declared when any
one of the following levels is reached at any
§ 51.1319 [Reserved] monitoring site:
SO2—1,600 μg/m3 (0.6 p.p.m.), 24-hour average.
APPENDIXES A–K TO PART 51
PM10—420 μg/m3, 24-hour average.
[RESERVED] CO—34 mg/m3 (30 p.p.m.), 8-hour average.
Ozone (O3)—800 μg/m3 (0.4 p.p.m.), 1-hour av-
APPENDIX L TO PART 51—EXAMPLE REG- erage.
ULATIONS FOR PREVENTION OF AIR NO2—2,260 μg/m3 (1.2 ppm)—1-hour average;
POLLUTION EMERGENCY EPISODES 565 μg/m3 (0.3 ppm), 24-hour average.
The example regulations presented herein In addition to the levels listed for the
reflect generally recognized ways of pre- above pollutants, meterological conditions
venting air pollution from reaching levels are such that pollutant concentrations can
that would cause imminent and substantial be expected to remain at the above levels for
endangerment to the health of persons. twelve (12) or more hours or increase, or in
States are required under subpart H to have the case of ozone, the situation is likely to
emergency episodes plans but they are not reoccur within the next 24-hours unless con-
required to adopt the regulations presented trol actions are taken.
herein. (d) Emergency: The emergency level indi-
1.0 Air pollution emergency. This regulation cates that air quality is continuing to de-
is designed to prevent the excessive buildup grade toward a level of significant harm to
of air pollutants during air pollution epi- the health of persons and that the most
sodes, thereby preventing the occurrence of stringent control actions are necessary. An
an emergency due to the effects of these pol- emergency will be declared when any one of
lutants on the health of persons. the following levels is reached at any moni-
1.1 Episode criteria. Conditions justifying toring site:
the proclamation of an air pollution alert, SO2—2,100 μg/m3 (0.8 p.p.m.), 24-hour average.
air pollution warning, or air pollution emer- PM10—500 μg/m3, 24-hour average.
gency shall be deemed to exist whenever the CO—46 mg/m3 (40 p.p.m.), 8-hour average.
Director determines that the accumulation Ozone (O3)—1,000 μg/m3 (0.5 p.p.m.), 1-hour av-
of air pollutants in any place is attaining or erage.
has attained levels which could, if such lev- NO2–3,000 μg/m3 (1.6 ppm), 1-hour average; 750
els are sustained or exceeded, lead to a sub- μg/m3 (0.4 ppm), 24-hour average.
stantial threat to the health of persons. In In addition to the levels listed for the
making this determination, the Director will above pollutants, meterological conditions
be guided by the following criteria: are such that pollutant concentrations can
(a) Air Pollution Forecast: An internal be expected to remain at the above levels for
watch by the Department of Air Pollution twelve (12) or more hours or increase, or in
Control shall be actuated by a National the case of ozone, the situation is likely to
440
reoccur within the next 24-hours unless con- quested by the Director in writing, prepare
trol actions are taken. standby plans for reducing the emission of
(e) Termination: Once declared, any status air pollutants during periods of an Air Pollu-
reached by application of these criteria will tion Alert, Air Pollution Warning, and Air
remain in effect until the criteria for that Pollution Emergency. Standby plans shall be
level are no longer met. At such time, the designed to reduce or eliminate emissions of
next lower status will be assumed. air pollutants in accordance with the objec-
1.2 Emission reduction plans. (a) Air Pollu- tives set forth in Tables I–III.
tion Alert—When the Director declares an (c) Standby plans as required under section
Air Pollution Alert, any person responsible 1.3(a) and (b) shall be in writing and identify
for the operation of a source of air pollutants the sources of air pollutants, the approxi-
as set forth in Table I shall take all Air Pol- mate amount of reduction of pollutants and
lution Alert actions as required for such a brief description of the manner in which
source of air pollutants and shall put into ef- the reduction will be achieved during an Air
fect the preplanned abatement strategy for Pollution Alert, Air Pollution Warning, and
an Air Pollution Alert. Air Pollution Emergency.
(b) Air Pollution Warning—When the Di- (d) During a condition of Air Pollution
rector declares an Air Pollution Warning, Alert, Air Pollution Warning, and Air Pollu-
any person responsible for the operation of a tion Emergency, standby plans as required
source of air pollutants as set forth in Table by this section shall be made available on
II shall take all Air Pollution Warning ac- the premises to any person authorized to en-
tions as required for such source of air pol- force the provisions of applicable rules and
lutants and shall put into effect the regulations.
preplanned abatement strategy for an Air (e) Standby plans as required by this sec-
Pollution Warning. tion shall be submitted to the Director upon
(c) Air Pollution Emergency—When the Di- request within thirty (30) days of the receipt
rector declares an Air Pollution Emergency, of such request; such standby plans shall be
any person responsible for the operation of a subject to review and approval by the Direc-
source of air pollutants as described in Table tor. If, in the opinion of the Director, a
III shall take all Air Pollution Emergency standby plan does not effectively carry out
actions as required for such source of air pol- the objectives as set forth in Table I–III, the
lutants and shall put into effect the Director may disapprove it, state his reason
preplanned abatement strategy for an Air for disapproval and order the preparation of
Pollution Emergency. an amended standby plan within the time pe-
(d) When the Director determines that a
riod specified in the order.
specified criteria level has been reached at
one or more monitoring sites solely because TABLE I—ABATEMENT STRATEGIES EMISSION
of emissions from a limited number of REDUCTION PLANS ALERT LEVEL
sources, he shall notify such source(s) that
the preplanned abatement strategies of Ta- Part A. General
bles I, II, and III or the standby plans are re-
1. There shall be no open burning by any
quired, insofar as it applies to such source(s),
persons of tree waste, vegetation, refuse, or
and shall be put into effect until the criteria
debris in any form.
of the specified level are no longer met.
1.3 Preplanned abatement strategies, (a) Any 2. The use of incinerators for the disposal
person responsible for the operation of a of any form of solid waste shall be limited to
source of air pollutants as set forth in Tables the hours between 12 noon and 4 p.m.
I–III shall prepare standby plans for reducing 3. Persons operating fuel-burning equip-
the emission of air pollutants during periods ment which required boiler lancing or soot
of an Air Pollution Alert, Air Pollution blowing shall perform such operations only
Warning, and Air Pollution Emergency. between the hours of 12 noon and 4 p.m.
Standby plans shall be designed to reduce or 4. Persons operating motor vehicles should
eliminate emissions of air pollutants in ac- eliminate all unnecessary operations.
cordance with the objectives set forth in Ta-
Part B. Source curtailment
bles I–III which are made a part of this sec-
tion. Any person responsible for the operation of
(b) Any person responsible for the oper- a source of air pollutants listed below shall
ation of a source of air pollutants not set take all required control actions for this
forth under section 1.3(a) shall, when re- Alert Level.
441
Source of air pollution Control action
1. Coal or oil-fired electric power generating facilities .............. a. Substantial reduction by utilization of fuels having low ash
and sulfur content.
b. Maximum utilization of mid-day (12 noon to 4 p.m.) atmos-
pheric turbulence for boiler lancing and soot blowing.
c. Substantial reduction by diverting electric power generation to
facilities outside of Alert Area.
2. Coal and oil-fired process steam generating facilities .......... a. Substantial reduction by utilization of fuels having low ash
and sulfur content.
c. Substantial reduction of steam load demands consistent with
continuing plant operations.
3. Manufacturing industries of the following classifications: a. Substantial reduction of air pollutants from manufacturing op-
Primary Metals Industry. erations by curtailing, postponing, or deferring production and
Petroleum Refining Operations. all operations.
Chemical Industries. b. Maximum reduction by deferring trade waste disposal oper-
Mineral Processing Industries. ations which emit solid particles, gas vapors or malodorous
Paper and Allied Products. substances.
Grain Industry. c. Maximum reduction of heat load demands for processing.
d. Maximum utilization of mid-day (12 noon to 4 p.m.) atmos-
TABLE II—EMISSION REDUCTION PLANS blowing shall perform such operations only
between the hours of 12 noon and 4 p.m.
WARNING LEVEL
4. Persons operating motor vehicles must
Part A. General reduce operations by the use of car pools and
increased use of public transportation and
1. There shall be no open burning by any elimination of unnecessary operation.
persons of tree waste, vegetation, refuse, or
debris in any form. Part B. Source curtailment
2. The use of incinerators for the disposal
of any form of solid waste or liquid waste Any person responsible for the operation of
shall be prohibited. a source of air pollutants listed below shall
3. Persons operating fuel-burning equip- take all required control actions for this
ment which requires boiler lancing or soot Warning Level.
1. Coal or oil-fired process steam generating facilities ............ a. Maximum reduction by utilization of fuels having lowest ash
and sulfur content.
c. Maximum reduction by diverting electric power generation to
facilities outside of Warning Area.
2. Oil and oil-fired process steam generating facilities ............. a. Maximum reduction by utilization of fuels having the lowest
available ash and sulfur content.
c. Making ready for use a plan of action to be taken if an emer-
gency develops.
3. Manufacturing industries which require considerable lead a. Maximum reduction of air contaminants from manufacturing
time for shut-down including the following classifications: operations by, if necessary, assuming reasonable economic
Petroleum Refining. hardships by postponing production and allied operation.
Chemical Industries. b. Maximum reduction by deferring trade waste disposal oper-
Primary Metals Industries. ations which emit solid particles, gases, vapors or malodorous
Glass Industries. substances.
Paper and Allied Products. c. Maximum reduction of heat load demands for processing.
pheric turbulence for boiler lancing or soot blowing.
4. Manufacturing industries require relatively short lead times a. Elimination of air pollutants from manufacturing operations by
for shut-down including the following classifications: ceasing, curtailing, postponing or deferring production and al-
Primary Metals Industries. lied operations to the extent possible without causing injury to
Chemical Industries. persons or damage to equipment.
Mineral Processing Industries. b. Elimination of air pollutants from trade waste disposal proc-
Grain Industry. esses which emit solid particles, gases, vapors or malodorous
substances.
c. Maximum reduction of heat load demands for processing.
442
TABLE III—EMISSION REDUCTION PLANS g. Banks, credit agencies other than banks,
securities and commodities brokers, dealers,
EMERGENCY LEVEL exchanges and services; offices of insurance
carriers, agents and brokers, real estate of-
Part A. General
fices.
1. There shall be no open burning by any h. Wholesale and retail laundries, laundry
persons of tree waste, vegetation, refuse, or services and cleaning and dyeing establish-
debris in any form. ments; photographic studios; beauty shops,
2. The use of incinerators for the disposal barber shops, shoe repair shops.
of any form of solid or liquid waste shall be i. Advertising offices; consumer credit re-
prohibited. porting, adjustment and collection agencies;
3. All places of employment described duplicating, addressing, blueprinting;
below shall immediately cease operations. photocopying, mailing, mailing list and sten-
a. Mining and quarrying of nonmetallic ographic services; equipment rental services,
minerals. commercial testing laboratories.
b. All construction work except that which j. Automobile repair, automobile services,
must proceed to avoid emergent physical garages.
harm.
k. Establishments rendering amusement
c. All manufacturing establishments ex-
and recreational services including motion
cept those required to have in force an air
picture theaters.
pollution emergency plan.
l. Elementary and secondary schools, col-
d. All wholesale trade establishments; i.e.,
leges, universities, professional schools, jun-
places of business primarily engaged in sell-
ior colleges, vocational schools, and public
ing merchandise to retailers, or industrial,
and private libraries.
commercial, institutional or professional
users, or to other wholesalers, or acting as 4. All commercial and manufacturing es-
agents in buying merchandise for or selling tablishments not included in this order will
merchandise to such persons or companies, institute such actions as will result in max-
except those engaged in the distribution of imum reduction of air pollutants from their
drugs, surgical supplies and food. operation by ceasing, curtailing, or post-
e. All offices of local, county and State poning operations which emit air pollutants
government including authorities, joint to the extent possible without causing injury
meetings, and other public bodies excepting to persons or damage to equipment.
such agencies which are determined by the 5. The use of motor vehicles is prohibited
chief administrative officer of local, county, except in emergencies with the approval of
or State government, authorities, joint local or State police.
meetings and other public bodies to be vital
Part B. Source curtailment
for public safety and welfare and the enforce-
ment of the provisions of this order. Any person responsible for the operation of
f. All retail trade establishments except a source of air pollutants listed below shall
pharmacies, surgical supply distributors, and take all required control actions for this
stores primarily engaged in the sale of food. Emergency Level.
1. Coal or oil-fired electric power generating facilities .............. a. Maximum reduction by utilization of fuels having lowest ash
and sulfur content.
c. Maximum reduction by diverting electric power generation to
facilities outside of Emergency Area.
2. Coal and oil-fired process steam generating facilities .......... a. Maximum reduction by reducing heat and steam demands to
absolute necessities consistent with preventing equipment
damage.
c. Taking the action called for in the emergency plan.
3. Manufacturing industries of the following classifications: a. Elimination of air pollutants from manufacturing operations by
Primary Metals Industries. ceasing, curtailing, postponing or deferring production and al-
Petroleum Refining. lied operations to the extent possible without causing injury to
Chemical Industries. persons or damage to equipment.
Mineral Processing Industries. b. Elimination of air pollutants from trade waste disposal proc-
Grain Industry. esses which emit solid particles, gases, vapors or malodorous
Paper and Allied Products. substances.
c. Maximum reduction of heat load demands for processing.
443
Pt. 51, App. M 40 CFR Ch. I (7–1–21 Edition)
(Secs. 110, 301(a), 313, 319, Clean Air Act (42 U.S.C. 7410, 7601(a), 7613, 7619))
[36 FR 22398, Nov. 25, 1971; 36 FR 24002, Dec. 17, 1971, as amended at 37 FR 26312, Dec. 9, 1972;
40 FR 36333, Aug. 20, 1975; 41 FR 35676, Aug. 24, 1976; 44 FR 27570, May 10, 1979; 51 FR 40675,
Nov. 7, 1986; 52 FR 24714, July 1, 1987]
APPENDIX M TO PART 51—RECOMMENDED 4.0 Quality Assurance Procedures. The per-

TEST METHODS FOR STATE IMPLE- formance testing shall include a test method
MENTATION PLANS performance audit (PA) during the perform-
ance test. The PAs consist of blind audit
Method 201—Determination of PM10 Emis- samples supplied by an accredited audit sam-
sions (Exhaust Gas Recycle Procedure). ple provider and analyzed during the per-
Method 201A—Determination of PM10 and formance test in order to provide a measure
PM2.5 Emissions From Stationary Sources of test data bias. Gaseous audit samples are
(Constant Sampling Rate Procedure) designed to audit the performance of the
Method 202—Dry Impinger Method for Deter- sampling system as well as the analytical
mining Condensable Particulate Emissions system and must be collected by the sam-
From Stationary Sources pling system during the compliance test just
Method 203A—Visual Determination of Opac- as the compliance samples are collected. If a
ity of Emissions from Stationary Sources liquid or solid audit sample is designed to
for Time-Averaged Regulations. audit the sampling system, it must also be
Method 203B—Visual Determination of Opac- collected by the sampling system during the
compliance test. If multiple sampling sys-
ity of Emissions from Stationary Sources
tems or sampling trains are used during the
for Time-Exception Regulations.
compliance test for any of the test methods,
Method 203C—Visual Determination of Opac-
the tester is only required to use one of the
ity of Emissions from Stationary Sources
sampling systems per method to collect the
for Instantaneous Regulations.
audit sample. The audit sample must be ana-
Method 204—Criteria for and Verification of
lyzed by the same analyst using the same an-
a Permanent or Temporary Total Enclo-
alytical reagents and analytical system and
sure.
at the same time as the compliance samples.
Method 204A—Volatile Organic Compounds Retests are required when there is a failure
Content in Liquid Input Stream. to produce acceptable results for an audit
Method 204B—Volatile Organic Compounds sample. However, if the audit results do not
Emissions in Captured Stream. affect the compliance or noncompliance sta-
Method 204C—Volatile Organic Compounds tus of the affected facility, the compliance
Emissions in Captured Stream (Dilution authority may waive the reanalysis require-
Technique). ment, further audits, or retests and accept
Method 204D—Volatile Organic Compounds the results of the compliance test. Accept-
Emissions in Uncaptured Stream from ance of the test results shall constitute a
Temporary Total Enclosure. waiver of the reanalysis requirement, further
Method 204E—Volatile Organic Compounds audits, or retests. The compliance authority
Emissions in Uncaptured Stream from may also use the audit sample failure and
Building Enclosure. the compliance test results as evidence to
Method 204F—Volatile Organic Compounds determine the compliance or noncompliance
Content in Liquid Input Stream (Distilla- status of the affected facility. A blind audit
tion Approach). sample is a sample whose value is known
Method 205—Verification of Gas Dilution only to the sample provider and is not re-
Systems for Field Instrument Calibrations vealed to the tested facility until after it re-
Method 207—Pre-Survey Procedure for Corn ports the measured value of the audit sam-
Wet-Milling Facility Emission Sources ple. For pollutants that exist in the gas
1.0 Presented herein are recommended phase at ambient temperature, the audit
test methods for measuring air sample shall consist of an appropriate con-
pollutantemanating from an emission centration of the pollutant in air or nitrogen
source. They are provided for States to use that will be introduced into the sampling
in their plans to meet the requirements of system of the test method at or near the
subpart K—Source Surveillance. same entry point as a sample from the emis-
2.0 The State may also choose to adopt sion source. If no gas phase audit samples
other methods to meet the requirements of are available, an acceptable alternative is a
subpart K of this part, subject to the normal sample of the pollutant in the same matrix
plan review process. that would be produced when the sample is
3.0 The State may also meet the require- recovered from the sampling system as re-
ments of subpart K of this part by adopting, quired by the test method. For samples that
again subject to the normal plan review exist only in a liquid or solid form at ambi-
process, any of the relevant methods in ap- ent temperature, the audit sample shall con-
pendix A to 40 CFR part 60. sist of an appropriate concentration of the
444
Environmental Protection Agency Pt. 51, App. M
pollutant in the same matrix that would be may analyze the audit samples prior to col-
produced when the sample is recovered from lecting the emission samples provided a rep-
the sampling system as required by the test resentative of the compliance authority is
method. An accredited audit sample provider present at the testing site. The tester may
(AASP) is an organization that has been ac- request and the compliance authority may
credited to prepare audit samples by an inde- grant a waiver to the requirement that a
pendent, third party accrediting body. representative of the compliance authority
a. The source owner, operator, or rep- must be present at the testing site during
resentative of the tested facility shall obtain the field analysis of an audit sample. The
an audit sample, if commercially available, source owner, operator, or representative
from an AASP for each test method used for may report the results of the audit sample to
regulatory compliance purposes. No audit the compliance authority and then report
samples are required for the following test the results of the audit sample to the AASP
methods: Methods 3A and 3C of appendix A– prior to collecting any emission samples.
3 of part 60 of this chapter, Methods 6C, 7E, The test protocol and final test report shall
9, and 10 of appendix A–4 of part 60, Methods document whether an audit sample was or-
18 and 19 of appendix A–6 of part 60, Methods dered and utilized and the pass/fail results as
20, 22, and 25A of appendix A–7 of part 60, applicable.
Methods 30A and 30B of appendix A–8 of part b. An AASP shall have and shall prepare,
60, and Methods 303, 318, 320, and 321 of ap- analyze, and report the true value of audit
pendix A of part 63 of this chapter. If mul- samples in accordance with a written tech-
tiple sources at a single facility are tested nical criteria document that describes how
during a compliance test event, only one audit samples will be prepared and distrib-
audit sample is required for each method uted in a manner that will ensure the integ-
used during a compliance test. The compli- rity of the audit sample program. An accept-
ance authority responsible for the compli- able technical criteria document shall con-
ance test may waive the requirement to in- tain standard operating procedures for all of
clude an audit sample if they believe that an the following operations:
audit sample is not necessary. ‘‘Commer- 1. Preparing the sample;
cially available’’ means that two or more 2. Confirming the true concentration of the
independent AASPs have blind audit samples sample;
available for purchase. If the source owner, 3. Defining the acceptance limits for the
operator, or representative cannot find an results from a well qualified tester. This pro-
audit sample for a specific method, the cedure must use well established statistical
owner, operator, or representative shall con- methods to analyze historical results from
sult the EPA Web site at the following URL, well qualified testers. The acceptance limits
http://www.epa.gov/ttn/emc, to confirm wheth- shall be set so that there is 95 percent con-
er there is a source that can supply an audit fidence that 90 percent of well qualified labs
sample for that method. If the EPA Web site will produce future results that are within
does not list an available audit sample at the acceptance limit range;
least 60 days prior to the beginning of the 4. Providing the opportunity for the com-
compliance test, the source owner, operator, pliance authority to comment on the se-
or representative shall not be required to in- lected concentration level for an audit sam-
clude an audit sample as part of the quality ple;
assurance program for the compliance test. 5. Distributing the sample to the user in a
When ordering an audit sample, the source manner that guarantees that the true value
owner, operator, or representative shall give of the sample is unknown to the user;
the sample provider an estimate for the con- 6. Recording the measured concentration
centration of each pollutant that is emitted reported by the user and determining if the
by the source or the estimated concentration measured value is within acceptable limits;
of each pollutant based on the permitted 7. Report the results from each audit sam-
level and the name, address, and phone num- ple in a timely manner to the compliance au-
ber of the compliance authority. The source thority and to the source owner, operator, or
owner, operator, or representative shall re- representative by the AASP. The AASP shall
port the results for the audit sample along make both reports at the same time and in
with a summary of the emissions test results the same manner or shall report to the com-
for the audited pollutant to the compliance pliance authority first and then report to the
authority and shall report the results of the source owner, operator, or representative.
audit sample to the AASP. The source The results shall include the name of the fa-
owner, operator, or representative shall cility tested, the date on which the compli-
make both reports at the same time and in ance test was conducted, the name of the
the same manner or shall report to the com- company performing the sample collection,
pliance authority first and then report to the the name of the company that analyzed the
AASP. If the method being audited is a compliance samples including the audit sam-
method that allows the samples to be ana- ple, the measured result for the audit sam-
lyzed in the field, and the tester plans to ple, and whether the testing company passed
analyze the samples in the field, the tester or failed the audit. The AASP shall report
445
the true value of the audit sample to the ments shall be posted on the EPA Web site
compliance authority. The AASP may report at the following URL, http://www.epa.gov/ttn/
the true value to the source owner, operator, emc.
or representative if the AASP’s operating
plan ensures that no laboratory will receive METHOD 201—DETERMINATION OF PM10
the same audit sample twice. EMISSIONS
8. Evaluating the acceptance limits of sam-
(EXHAUST GAS RECYCLE PROCEDURE)
ples at least once every two years to deter-
mine in consultation with the voluntary con- 1. Applicability and Principle
sensus standard body if they should be
changed; 1.1 Applicability. This method applies to
9. Maintaining a database, accessible to the in-stack measurement of particulate
the compliance authorities, of results from matter (PM) emissions equal to or less than
the audit that shall include the name of the an aerodynamic diameter of nominally 10 μm
facility tested, the date on which the compli- (PM10) from stationary sources. The EPA
ance test was conducted, the name of the recognizes that condensible emissions not
company performing the sample collection, collected by an in-stack method are also
the name of the company that analyzed the PM10, and that emissions that contribute to
compliance samples including the audit sam- ambient PM10 levels are the sum of condens-
ple, the measured result for the audit sam- ible emissions and emissions measured by an
ple, the true value of the audit sample, the in-stack PM10 method, such as this method
acceptance range for the measured value, or Method 201A. Therefore, for establishing
and whether the testing company passed or source contributions to ambient levels of
failed the audit. PM10, such as for emission inventory pur-
c. The accrediting body shall have a writ- poses, EPA suggests that source PM10 meas-
ten technical criteria document that de- urement include both in-stack PM10 and con-
scribes how it will ensure that the AASP is densible emissions. Condensible missions
operating in accordance with the AASP tech- may be measured by an impinger analysis in
nical criteria document that describes how combination with this method.
audit samples are to be prepared and distrib- 1.2 Principle. A gas sample is
uted. This document shall contain standard isokinetically extracted from the source. An
operating procedures for all of the following in-stack cyclone is used to separate PM
operations: greater than PM10, and an in-stack glass
1. Checking audit samples to confirm their fiber filter is used to collect the PM10. To
true value as reported by the AASP; maintain isokinetic flow rate conditions at
2. Performing technical systems audits of the tip of the probe and a constant flow rate
the AASP’s facilities and operating proce- through the cyclone, a clean, dried portion of
dures at least once every 2 years. the sample gas at stack temperature is recy-
3. Providing standards for use by the vol- cled into the nozzle. The particulate mass is
untary consensus standard body to approve determined gravimetrically after removal of
the accrediting body that will accredit the uncombined water.
audit sample providers.
2. Apparatus
d. The technical criteria documents for the
accredited sample providers and the accred- NOTE: Method 5 as cited in this method re-
iting body shall be developed through a pub- fers to the method in 40 CFR part 60, appen-
lic process guided by a voluntary consensus dix A.
standards body (VCSB). The VCSB shall op- 2.1 Sampling Train. A schematic of the ex-
erate in accordance with the procedures and haust of the exhaust gas recycle (EGR) train
requirements in the Office of Management is shown in Figure 1 of this method.
and Budget Circular A–119. A copy of Circular 2.1.1 Nozzle with Recycle Attachment.
A–119 is available upon request by writing Stainless steel (316 or equivalent) with a
the Office of Information and Regulatory Af- sharp tapered leading edge, and recycle at-
fairs, Office of Management and Budget, 725 tachment welded directly on the side of the
17th Street, NW., Washington, DC 20503, by nozzle (see schematic in Figure 2 of this
calling (202) 395–6880 or by downloading on- method). The angle of the taper shall be on
line at http://standards.gov/standardslgov/ the outside. Use only straight sampling noz-
a119.cfm. The VCSB shall approve all accred- zles. ‘‘Gooseneck’’ or other nozzle extensions
iting bodies. The Administrator will review designed to turn the sample gas flow 90°, as
all technical criteria documents. If the tech- in Method 5 are not acceptable. Locate a
nical criteria documents do not meet the thermocouple in the recycle attachment to
minimum technical requirements in this Ap- measure the temperature of the recycle gas
pendix M, paragraphs b. through d., the tech- as shown in Figure 3 of this method. The re-
nical criteria documents are not acceptable cycle attachment shall be made of stainless
and the proposed audit sample program is steel and shall be connected to the probe and
not capable of producing audit samples of nozzle with stainless steel fittings. Two noz-
sufficient quality to be used in a compliance zle sizes, e.g., 0.125 and 0.160 in., should be
test. All acceptable technical criteria docu- available to allow isokinetic sampling to be
446
conducted over a range of flow rates. Cali- 2.2.1 Nozzle, Cyclone, and Filter Holder
brate each nozzle as described in Method 5, Brushes. Nylon bristle brushes property sized
Section 5.1. and shaped for cleaning the nozzle, cyclone,
2.1.2 PM10 Sizer. Cyclone, meeting the spec- filter holder, and probe or probe liner, with
ifications in Section 5.7 of this method. stainless steel wire shafts and handles.
2.1.3 Filter Holder. 63mm, stainless steel. 2.2.2 Wash Bottles, Glass Sample Storage
An Andersen filter, part number SE274, has Containers, Petri Dishes, Graduated Cylinder
been found to be acceptable for the in-stack and Balance, Plastic Storage Containers, and
filter. Funnels. Same as Method 5, Sections 2.2.2
NOTE: Mention of trade names or specific through 2.2.6 and 2.2.8, respectively.
products does not constitute endorsement by 2.3 Analysis. Same as in Method 5, Section
the Environmental Protection Agency. 2.3.
2.1.4 Pitot Tube. Same as in Method 5, Sec-
tion 2.1.3. Attach the pitot to the pitot lines 3. Reagents
with stainless steel fittings and to the cy- The reagents used in sampling, sample re-
clone in a configuration similar to that
covery, and analysis are the same as that
shown in Figure 3 of this method. The pitot
specified in Method 5, Sections 3.1, 3.2, and
lines shall be made of heat resistant mate-
3.3, respectively.
rial and attached to the probe with stainless
steel fittings. 4. Procedure
2.1.5 EGR Probe. Stainless steel, 15.9-mm
(5⁄8-in.) ID tubing with a probe liner, stainless 4.1 Sampling. The complexity of this meth-
steel 9.53-mm (3⁄8-in.) ID stainless steel recy- od is such that, in order to obtain reliable re-
cle tubing, two 6.35-mm (1⁄4-in.) ID stainless sults, testers should be trained and experi-
steel tubing for the pitot tube extensions, enced with the test procedures.
three thermocouple leads, and one power 4.1.1 Pretest Preparation. Same as in Meth-
lead, all contained by stainless steel tubing od 5, Section 4.1.1.
with a diameter of approximately 51 mm (2.0 4.1.2 Preliminary Determinations. Same as
in.). Design considerations should include Method 5, Section 4.1.2, except use the direc-
minimum weight construction materials suf- tions on nozzle size selection in this section.
ficient for probe structural strength. Wrap Use of the EGR method may require a min-
the sample and recycle tubes with a heating imum sampling port diameter of 0.2 m (6 in.).
tape to heat the sample and recycle gases to Also, the required maximum number of sam-
stack temperature. ple traverse points at any location shall be
2.1.6 Condenser. Same as in Method 5, Sec- 12.
tion 2.1.7.
4.1.2.1 The cyclone and filter holder must
2.1.7 Umbilical Connector. Flexible tubing
be in-stack or at stack temperature during
with thermocouple and power leads of suffi-
sampling. The blockage effects of the EGR
cient length to connect probe to meter and
sampling assembly will be minimal if the
flow control console.
2.1.8 Vacuum Pump. Leak-tight, oil-less, cross-sectional area of the sampling assem-
noncontaminating, with an absolute filter, bly is 3 percent or less of the cross-sectional
‘‘HEPA’’ type, at the pump exit. A Gast area of the duct and a pitot coefficient of 0.84
Model 0522–V103 G18DX pump has been found may be assigned to the pitot. If the cross-
to be satisfactory. sectional area of the assembly is greater
2.1.9 Meter and Flow Control Console. Sys- than 3 percent of the cross-sectional area of
tem consisting of a dry gas meter and cali- the duct, then either determine the pitot co-
brated orifice for measuring sample flow rate efficient at sampling conditions or use a
and capable of measuring volume to ±2 per- standard pitot with a known coefficient in a
cent, calibrated laminar flow elements configuration with the EGR sampling assem-
(LFE’s) or equivalent for measuring total bly such that flow disturbances are mini-
and sample flow rates, probe heater control, mized.
and manometers and magnehelic gauges (as 4.1.2.2 Construct a setup of pressure drops
shown in Figures 4 and 5 of this method), or for various Dp’s and temperatures. A com-
equivalent. Temperatures needed for calcula- puter is useful for these calculations. An ex-
tions include stack, recycle, probe, dry gas ample of the output of the EGR setup pro-
meter, filter, and total flow. Flow measure- gram is shown in Figure 6 of this method,
ments include velocity head (Dp), orifice dif- and directions on its use are in section 4.1.5.2
ferential pressure (DH), total flow, recycle of this method. Computer programs, written
flow, and total back-pressure through the in IBM BASIC computer language, to do
system. these types of setup and reduction calcula-
2.1.10 Barometer. Same as in Method 5, tions for the EGR procedure, are available
Section 2.1.9. through the National Technical Information
2.1.11 Rubber Tubing. 6.35-mm (1/4-in.) ID Services (NTIS), Accession number PB90–
flexible rubber tubing. 500000, 5285 Port Royal Road, Springfield, VA
2.2 Sample Recovery. 22161.
447
4.1.2.3 The EGR setup program allows the parts: the sample-side and the recycle-side.
tester to select the nozzle size based on an- The sample-side leak-check is required at
ticipated average stack conditions and prints the beginning of the run with the cyclone at-
a setup sheet for field use. The amount of re- tached, and after the run with the cyclone
cycle through the nozzle should be between removed. The cyclone is removed before the
10 and 80 percent. Inputs for the EGR setup post-test leak-check to prevent any disturb-
program are stack temperature (minimum, ance of the collected sample prior to anal-
maximum, and average), stack velocity ysis. The recycle-side leak-check tests the
(minimum, maximum, and average), atmos- leak tight integrity of the recycle compo-
pheric pressure, stack static pressure, meter
nents and is required prior to the first test
box temperature, stack moisture, percent 02,
run and after each shipment.
and percent CO2 in the stack gas, pitot coef-
ficient (Cp), orifice D H2, flow rate measure- 4.1.4.1 Pretest Leak-Check. A pretest leak-
ment calibration values [slope (m) and y- check of the entire sample-side, including
intercept (b) of the calibration curve], and the cyclone and nozzle, is required. Use the
the number of nozzles available and their di- leak-check procedure in Section 4.1.4.3 of
ameters. this method to conduct a pretest leak-check.
4.1.2.4 A less rigorous calculation for the 4.1.4.2 Leak-Checks During Sample Run.
setup sheet can be done manually using the Same as in Method 5, Section 4.1.4.1.
equations on the example worksheets in Fig- 4.1.4.3 Post-Test Leak-Check. A leak-check
ures 7, 8, and 9 of this method, or by a Hew- is required at the conclusion of each sam-
lett-Packard HP41 calculator using the pro- pling run. Remove the cyclone before the
gram provided in appendix D of the EGR op- leak-check to prevent the vacuum created by
erators manual, entitled Applications Guide the cooling of the probe from disturbing the
for Source PM10 Exhaust Gas Recycle Sampling collected sample and use the following proce-
System. This calculation uses an approxima- dure to conduct a post-test leak-check.
tion of the total flow rate and agrees within
4.1.4.3.1 The sample-side leak-check is per-
1 percent of the exact solution for pressure
drops at stack temperatures from 38 to 260 °C formed as follows: After removing the cy-
(100 to 500 °F) and stack moisture up to 50 clone, seal the probe with a leak-tight stop-
percent. Also, the example worksheets use a per. Before starting pump, close the coarse
constant stack temperature in the calcula- total valve and both recycle valves, and open
tion, ingoring the complicated temperature completely the sample back pressure valve
dependence from all three pressure drop and the fine total valve. After turning the
equations. Errors for this at stack tempera- pump on, partially open the coarse total
tures ±28 °C (±50 °F) of the temperature used valve slowly to prevent a surge in the ma-
in the setup calculations are within 5 per- nometer. Adjust the vacuum to at least 381
cent for flow rate and within 5 percent for mm Hg (15.0 in. Hg) with the fine total valve.
cyclone cut size. If the desired vacuum is exceeded, either
4.1.2.5 The pressure upstream of the LFE’s leak-check at this higher vacuum or end the
is assumed to be constant at 0.6 in. Hg in the leak-check as shown below and start over.
EGR setup calculations.
CAUTION: Do not decrease the vacuum with
4.1.2.6 The setup sheet constructed using
any of the valves. This may cause a rupture
this procedure shall be similar to Figure 6 of
this method. Inputs needed for the calcula- of the filter.
tion are the same as for the setup computer NOTE: A lower vacuum may be used, pro-
except that stack velocities are not needed. vided that it is not exceeded during the test.
4.1.3 Preparation of Collection Train. Same 4.1.4.3.2 Leak rates in excess of 0.00057 m3/
as in Method 5, Section 4.1.3, except use the min (0.020 ft3/min) are unacceptable. If the
following directions to set up the train. leak rate is too high, void the sampling run.
4.1.3.1 Assemble the EGR sampling device,
4.1.4.3.3 To complete the leak-check, slowly
and attach it to probe as shown in Figure 3
remove the stopper from the nozzle until the
of this method. If stack temperatures exceed
vacuum is near zero, then immediately turn
260 °C (500 °F), then assemble the EGR cy-
clone without the O-ring and reduce the vac- off the pump. This procedure sequence pre-
uum requirement to 130 mm Hg (5.0 in. Hg) in vents a pressure surge in the manometer
the leak-check procedure in Section 4.1.4.3.2 fluid and rupture of the filter.
of this method. 4.1.4.3.4 The recycle-side leak-check is per-
4.1.3.2 Connect the proble directly to the formed as follows: Close the coarse and fine
filter holder and condenser as in Method 5. total valves and sample back pressure valve.
Connect the condenser and probe to the Plug the sample inlet at the meter box. Turn
meter and flow control console with the um- on the power and the pump, close the recycle
bilical connector. Plug in the pump and at- valves, and open the total flow valves. Ad-
tach pump lines to the meter and flow con- just the total flow fine adjust valve until a
trol console. vacuum of 25 inches of mercury is achieved.
4.1.4 Leak-Check Procedure. The leak- If the desired vacuum is exceeded, either
check for the EGR Method consists of two leak-check at this higher vacuum, or end the
448
leak-check and start over. Minimum accept- 4.1.5.5 During the test run, monitor the
able leak rates are the same as for the sam- probe and filter temperatures periodically,
ple-side. If the leak rate is too high, void the and make adjustments as necessary to main-
sampling run. tain the desired temperatures. If the sample
4.1.5 EGR Train Operation. Same as in loading is high, the filter may begin to blind
Method 5, Section 4.1.5, except omit ref- or the cyclone may clog. The filter or the cy-
erences to nomographs and recommenda- clone may be replaced during the sample
tions about changing the filter assembly dur- run. Before changing the filter or cyclone,
ing a run. conduct a leak-check (Section 4.1.4.2 of this
4.1.5.1 Record the data required on a data method). The total particulate mass shall be
sheet such as the one shown in Figure 10 of the sum of all cyclone and the filter catch
this method. Make periodic checks of the during the run. Monitor stack temperature
manometer level and zero to ensure correct and Dp periodically, and make the necessary
DH and Dp values. An acceptable procedure adjustments in sampling and recycle flow
for checking the zero is to equalize the pres- rates to maintain isokinetic sampling and
sure at both ends of the manometer by pull- the proper flow rate through the cyclone. At
ing off the tubing, allowing the fluid to the end of the run, turn off the pump, close
equilibrate and, if necessary, to re-zero. the coarse total valve, and record the final
Maintain the probe temperature to within 11 dry gas meter reading. Remove the probe
°C (20 °F) of stack temperature. from the stack, and conduct a post-test leak-
4.1.5.2 The procedure for using the example check as outlined in Section 4.1.4.3 of this
EGR setup sheet is as follows: Obtain a stack method.
velocity reading from the pitot manometer 4.2 Sample Recovery. Allow the probe to
(Dp), and find this value on the ordinate axis cool. When the probe can be safely handled,
of the setup sheet. Find the stack tempera- wipe off all external PM adhering to the out-
ture on the abscissa. Where these two values side of the nozzle, cyclone, and nozzle at-
intersect are the differential pressures nec- tachment, and place a cap over the nozzle to
essary to achieve isokineticity and 10 μm cut prevent losing or gaining PM. Do not cap the
size (interpolation may be necessary). nozzle tip tightly while the sampling train is
4.1.5.3 The top three numbers are differen- cooling, as this action would create a vacu-
tial pressures (in. H2 O), and the bottom um in the filter holder. Disconnect the probe
number is the percent recycle at these flow from the umbilical connector, and take the
settings. Adjust the total flow rate valves, probe to the cleanup site. Sample recovery
coarse and fine, to the sample value (DH) on should be conducted in a dry indoor area or,
the setup sheet, and the recycle flow rate if outside, in an area protected from wind
valves, coarse and fine, to the recycle flow and free of dust. Cap the ends of the
on the setup sheet. impingers and carry them to the cleanup
4.1.5.4 For startup of the EGR sample train, site. Inspect the components of the train
the following procedure is recommended. prior to and during disassembly to note any
Preheat the cyclone in the stack for 30 min- abnormal conditions. Disconnect the pitot
utes. Close both the sample and recycle from the cyclone. Remove the cyclone from
coarse valves. Open the fine total, fine recy- the probe. Recover the sample as follows:
cle, and sample back pressure valves half- 4.2.1 Container Number 1 (Filter). The recov-
way. Ensure that the nozzle is properly ery shall be the same as that for Container
aligned with the sample stream. After noting Number 1 in Method 5, Section 4.2.
the Dp and stack temperature, select the ap- 4.2.2 Container Number 2 (Cyclone or Large
propriate DH and recycle from the EGR setup PM Catch). The cyclone must be disassem-
sheet. Start the pump and timing device si- bled and the nozzle removed in order to re-
multaneously. Immediately open both the cover the large PM catch. Quantitatively re-
coarse total and the coarse recycle valves cover the PM from the interior surfaces of
slowly to obtain the approximate desired the nozzle and the cyclone, excluding the
values. Adjust both the fine total and the ‘‘turn around’’ cup and the interior surfaces
fine recycle valves to achieve more precisely of the exit tube. The recovery shall be the
the desired values. In the EGR flow system, same as that for Container Number 2 in
adjustment of either valve will result in a Method 5, Section 4.2.
change in both total and recycle flow rates, 4.2.3 Container Number 3 (PM10). Quan-
and a slight iteration between the total and titatively recover the PM from all of the sur-
recycle valves may be necessary. Because faces from cyclone exit to the front half of
the sample back pressure valve controls the the in-stack filter holder, including the
total flow rate through the system, it may ‘‘turn around’’ cup and the interior of the
be necessary to adjust this valve in order to exit tube. The recovery shall be the same as
obtain the correct flow rate. that for Container Number 2 in Method 5,
NOTE: Isokinetic sampling and proper oper- Section 4.2.
ation of the cyclone are not achieved unless 4.2.4 Container Number 4 (Silica Gel). Same
the correct DH and recycle flow rates are as that for Container Number 3 in Method 5,
maintained. Section 4.2.
449
4.2.5 Impinger Water. Same as in Method 5, (10 °F). If this agreement is not met, adjust
Section 4.2, under ‘‘Impinger Water.’’ or replace the probe heater controller.
4.3 Analysis. Same as in Method 5, Section 5.5 Temperature Gauges. Connect all
4.3, except handle EGR Container Numbers 1 thermocouples, and let the meter and flow
and 2 like Container Number 1 in Method 5, control console equilibrate to ambient tem-
EGR Container Numbers 3, 4, and 5 like Con- perature. All thermocouples shall agree to
tainer Number 3 in Method 5, and EGR Con- within 1.1 °C (2.0 °F) with a standard mer-
tainer Number 6 like Container Number 3 in cury-in-glass thermometer. Replace defec-
Method 5. Use Figure 11 of this method to tive thermocouples.
record the weights of PM collected. 5.6 Barometer. Calibrate against a stand-
4.4 Quality Control Procedures. Same as in ard mercury-in-glass barometer.
Method 5, Section 4.4. 5.7 Probe Cyclone and Nozzle Combina-
4.5 PM10 Emission Calculation and Accept- tions. The probe cyclone and nozzle combina-
ability of Results. Use the EGR reduction tions need not be calibrated if the cyclone
program or the procedures in section 6 of meets the design specifications in Figure 12
this method to calculate PM10 emissions and of this method and the nozzle meets the de-
the criteria in section 6.7 of this method to sign specifications in appendix B of the Ap-
determine the acceptability of the results. plication Guide for the Source PM310 Exhaust
Gas Recycle Sampling System, EPA/600/3–88–058.
5. Calibration This document may be obtained from Roy
Maintain an accurate laboratory log of all Huntley at (919) 541–1060. If the nozzles do not
calibrations. meet the design specifications, then test the
5.1 Probe Nozzle. Same as in Method 5, Sec- cyclone and nozzle combination for con-
tion 5.1. formity with the performance specifications
5.2 Pitot Tube. Same as in Method 5, Sec- (PS’s) in Table 1 of this method. The purpose
tion 5.2. of the PS tests is to determine if the cy-
5.3 Meter and Flow Control Console. clone’s sharpness of cut meets minimum per-
5.3.1 Dry Gas Meter. Same as in Method 5, formance criteria. If the cyclone does not
Section 5.3. meet design specifications, then, in addition
5.3.2 LFE Gauges. Calibrate the recycle, to the cyclone and nozzle combination con-
total, and inlet total LFE gauges with a ma- forming to the PS’s, calibrate the cyclone
nometer. Read and record flow rates at 10, 50, and determine the relationship between flow
and 90 percent of full scale on the total and rate, gas viscosity, and gas density. Use the
recycle pressure gauges. Read and record procedures in Section 5.7.5 of this method to
flow rates at 10, 20, and 30 percent of full conduct PS tests and the procedures in Sec-
scale on the inlet total LFE pressure gauge. tion 5.8 of this method to calibrate the cy-
Record the total and recycle readings to the clone. Conduct the PS tests in a wind tunnel
nearest 0.3 mm (0.01 in.). Record the inlet described in Section 5.7.1 of this method and
total LFE readings to the nearest 3 mm (0.1 using a particle generation system described
in.). Make three separate measurements at in Section 5.7.2 of this method. Use five par-
each setting and calculate the average. The ticle sizes and three wind velocities as listed
maximum difference between the average in Table 2 of this method. Perform a min-
pressure reading and the average manometer imum of three replicate measurements of
reading shall not exceed 1 mm (0.05 in.). If collection efficiency for each of the 15 condi-
the differences exceed the limit specified, ad- tions listed, for a minimum of 45 measure-
just or replace the pressure gauge. After ments.
each field use, check the calibration of the 5.7.1 Wind Tunnel. Perform calibration and
pressure gauges. PS tests in a wind tunnel (or equivalent test
5.3.3 Total LFE. Same as the metering sys- apparatus) capable of establishing and main-
tem in Method 5, Section 5.3. taining the required gas stream velocities
5.3.4 Recycle LFE. Same as the metering within 10 percent.
system in Method 5, Section 5.3, except com- 5.7.2 Particle Generation System. The par-
pletely close both the coarse and fine recycle ticle generation system shall be capable of
valves. producing solid monodispersed dye particles
5.4 Probe Heater. Connect the probe to the with the mass median aerodynamic diame-
meter and flow control console with the um- ters specified in Table 2 of this method. The
bilical connector. Insert a thermocouple into particle size distribution verification should
the probe sample line approximately half the be performed on an integrated sample ob-
length of the probe sample line. Calibrate tained during the sampling period of each
the probe heater at 66 °C (150 °F), 121 °C (250 test. An acceptable alternative is to verify
°F), and 177 °C (350 °F). Turn on the power, the size distribution of samples obtained be-
and set the probe heater to the specified fore and after each test, with both samples
temperature. Allow the heater to equili- required to meet the diameter and
brate, and record the thermocouple tempera- monodispersity requirements for an accept-
ture and the meter and flow control console able test run.
temperature to the nearest 0.5 °C (1 °F). The 5.7.2.1 Establish the size of the solid dye
two temperatures should agree within 5.5 °C particles delivered to the test section of the
450
wind tunnel using the operating parameters tem capable of measuring flow rates to with-
of the particle generation system, and verify in 2 percent.
the size during the tests by microscopic ex- 5.7.5 Performance Specification Procedure.
amination of samples of the particles col- Establish the test particle generator oper-
lected on a membrane filter. The particle ation and verify the particle size microscopi-
size, as established by the operating param- cally. If mondispersity is to be verified by
eters of the generation system, shall be with- measurements at the beginning and the end
in the tolerance specified in Table 2 of this of the run rather than by an integrated sam-
method. The precision of the particle size ple, these measurements may be made at
verification technique shall be at least ±0.5 this time.
μm, and the particle size determined by the 5.7.5.1 The cyclone cut size (D50) is defined
verification technique shall not differ by as the aerodynamic diameter of a particle
more than 10 percent from that established having a 50 percent probability of penetra-
by the operating parameters of the particle tion. Determine the required cyclone flow
generation system. rate at which D50 is 10 μm. A suggested pro-
5.7.2.2 Certify the monodispersity of the cedure is to vary the cyclone flow rate while
particles for each test either by microscopic keeping a constant particle size of 10 μm.
inspection of collected particles on filters or Measure the PM collected in the cyclone
by other suitable monitoring techniques (mc), exit tube (mt), and filter (mf). Compute
such as an optical particle counter followed the cyclone efficiency (Ec) as follows:
by a multichannel pulse height analyzer. If
the proportion of multiplets and satellites in mc
an aerosol exceeds 10 percent by mass, the Ec = ×100
particle generation system is unacceptable
for purposes of this test. Multiplets are par- (m c + m t + m f )
ticles that are agglomerated, and satellites 5.7.5.2 Perform three replicates and cal-
are particles that are smaller than the speci- culate the average cyclone efficiency as fol-
fied size range. lows:
5.7.3 Schematic Drawings. Schematic draw-
ings of the wind tunnel and blower system
and other information showing complete pro-
E avg =
( E1 + E 2 + E 3 )
cedural details of the test atmosphere gen-
eration, verification, and delivery techniques 3
shall be furnished with calibration data to where E1, E2, and E3 are replicate measure-
the reviewing agency. ments of Ec.
5.7.4 Flow Rate Measurement. Determine 5.7.5.3 Calculate the standard deviation (s)
the cyclone flow rates with a dry gas meter for the replicate measurements of Ec as fol-
and a stopwatch, or a calibrated orifice sys- lows:
1
⎡ ( E + E 2 + E 3 )2 ⎤2
⎢
(
⎢ E12 + E 2 2 + E 3 2 − 1 ) 3
⎥
⎥
σ=⎢ ⎥
⎢ 2 ⎥
⎢ ⎥
⎣ ⎦
EC08NO91.019</MATH>
if s exceeds 0.10, repeat the replicate runs. tain ±5 percent precision on the total col-
5.7.5.4 Using the cyclone flow rate that lected mass as determined by the precision
produces D50 for 10 μm, measure the overall and the sensitivity of the measuring tech-
efficiency of the cyclone and nozzle, Eo, at nique. Determine separately the nozzle catch
the particle sizes and nominal gas velocities (mn), cyclone catch (mc), cyclone exit tube
EC08NO91.018</MATH>
in Table 2 of this method using this fol- catch (mt), and collection filter catch (mf).
lowing procedure. 5.7.5.6 Calculate the overall efficiency (Eo)
5.7.5.5 Set the air velocity in the wind as follows:
tunnel to one of the nominal gas velocities
from Table 2 of this method. Establish
isokinetic sampling conditions and the cor- Eo =
(m n + m c ) ×100
(m n + m c + m t + m f )
EC08NO91.017</MATH>
rect flow rate through the sampler (cyclone

and nozzle) using recycle capacity so that
the D50 is 10 μm. Sample long enough to ob-
451
EC08NO91.016</MATH>
5.7.5.7 Do three replicates for each com- obtained in the PS tests in Section 5.7.5 may
bination of gas velocities and particle sizes be used.
in Table 2 of this method. Calculate Eo for 5.8.1.1 On log-log graph paper, plot the Rey-
each particle size following the procedures nolds number (Re) on the abscissa, and the
described in this section for determining effi- square root of the Stokes 50 number
ciency. Calculate the standard deviation (s) [(STK50)1⁄2] on the ordinate for each tempera-
for the replicate measurements. If s exceeds ture. Use the following equations:
0.10, repeat the replicate runs.
5.7.6 Criteria for Acceptance. For each of 4ρQ cyc
the three gas stream velocities, plot the av-
erage Eo as a function of particle size on Fig-
Re =
ure 13 of this method. Draw a smooth curve d cyc πμ cyc
for each velocity through all particle sizes.
The curve shall be within the banded region 1
⎡ 4Q 2 ⎤2
cyc ( D 50 ) ⎥
for all sizes, and the average Ec for a D50 for
10 μm shall be 50 ±0.5 percent.
(Stk 50 ) 2 ⎢
1
5.8 Cyclone Calibration Procedure. The =
⎢ 9π μ
( )
purpose of this section is to develop the rela- 3⎥
tionship between flow rate, gas viscosity, gas ⎢⎣ cyc d cyc ⎥⎦
density, and D50. This procedure only needs
to be done on those cyclones that do not where:
meet the design specifications in Figure 12 of Qcyc = Cyclone flow rate cm3/sec.
this method. r = Gas density, g/cm3.
5.8.1 Calculate cyclone flow rate. Deter- dcyc = Diameter of cyclone inlet, cm.
mine the flow rates and D50’s for three dif- μcyc = Viscosity of gas through the cyclone,
ferent particle sizes between 5 μm and 15 μm,
poise.
one of which shall be 10 μm. All sizes must be
within 0.5 μm. For each size, use a different D50 = Cyclone cut size, cm.
temperature within 60 °C (108 °F) of the tem- 5.8.1.2 Use a linear regression analysis to
perature at which the cyclone is to be used determine the slope (m), and the y-intercept
and conduct triplicate runs. A suggested pro- (b). Use the following formula to determine
cedure is to keep the particle size constant Q, the cyclone flow rate required for a cut
and vary the flow rate. Some of the values size of 10 μm.
[(3000)(K ) ] − (0.5 − m)⎡⎢⎣ MT P ⎤⎥⎦m/(m − 0.5)

πμ cyc b ( m −1.5)/( m − 0.5)
Q= 1
s
4 c s
where: through 6.7, and 6.9 through 6.12, with the ad-
Q = Cyclone flow rate for a cut size of 10 μm, dition of the following:
cm3/sec. 6.1.2 Nomenclature.
Ts = Stack gas temperature, °K, Bc = Moisture fraction of mixed cyclone gas,
d = Diameter of nozzle, cm. by volume, dimensionless.
C1 = Viscosity constant, 51.12 micropoise for
K1 = 4.077 × 10¥3.
°K (51.05 micropoise for ° R).
5.8.2. Directions for Using Q. Refer to Sec- C2 = Viscosity constant, 0.372 micropoise/°K
tion 5 of the EGR operators manual for di- (0.207 micropoise/° R).
rections in using this expression for Q in the C3 = Viscosity constant, 1.05 × 10¥4
setup calculations. micropoise/°K2 (3.24 × 10¥5 micropoise/°
R2).
6. Calculations
C4 = Viscosity constant, 53.147 micropoise/
6.1 The EGR data reduction calculations fraction O2.
are performed by the EGR reduction com- C5 = Viscosity constant, 74.143 micropoise/
EC08NO91.069</MATH>
puter program, which is written in IBM fraction H2 O.

BASIC computer language and is available D50 = Diameter of particles having a 50 per-
through NTIS, Accession number PB90- cent probability of penetration, μm.
500000, 5285 Port Royal Road, Springfield, f02 = Stack gas fraction O2 by volume, dry
Virginia 22161. Examples of program inputs basis.
and outputs are shown in Figure 14 of this K1 = 0.3858 °K/mm Hg (17.64 ° R/in. Hg).
EC08NO91.021</MATH>
method. Mc = Wet molecular weight of mixed gas

6.1.1 Calculations can also be done manu- through the PM10 cyclone, g/g-mole (lb/
ally, as specified in Method 5, Sections 6.3 lb-mole).
452
EC08NO91.020</MATH>
Md = Dry molecular weight of stack gas, g/g- q = Total sampling time, min.
mole (lb/lb-mole). μcyc = Viscosity of mixed cyclone gas,
Pbar = Barometer pressure at sampling site, micropoise.
mm Hg (in. Hg). μLFE = Viscosity of gas laminar flow ele-
Pin1 = Gauge pressure at inlet to total LFE, ments, micropoise.
mm H2 O (in. H2 O). μstd = Viscosity of standard air, 180.1
P3 = Absolute stack pressure, mm Hg (in. micropoise.
Hg). 6.2 PM10 Particulate Weight. Determine
Q2 = Total cyclone flow rate at wet cyclone the weight of PM10 by summing the weights
conditions, m3/min (ft3/min). obtained from Container Numbers 1 and 3,
Qs(std) = Total cyclone flow rate at standard less the acetone blank.
conditons, dscm/min (dscf/min). 6.3 Total Particulate Weight. Determine
Tm = Average temperature of dry gas meter, the particulate catch for PM greater than
°K (°R). PM10 from the weight obtained from Con-
Ts = Average stack gas temperature, °K (°R). tainer Number 2 less the acetone blank, and
Vw(std) = Volume of water vapor in gas sample add it to the PM10 particulate weight.
(standard conditions), scm (scf). 6.4 PM10 Fraction. Determine the PM10
XT = Total LFE linear calibration constant, fraction of the total particulate weight by
m3/[(min)(mm H2 O]) { ft3/[(min)(in. H2 dividing the PM10 particulate weight by the
O)]}. total particulate weight.
YT = Total LFE linear calibration constant, 6.5 Total Cyclone Flow Rate. The average
dscm/min (dscf/min). flow rate at standard conditions is deter-
D PT = Pressure differential across total LFE, mined from the average pressure drop across
mm H2 O, (in. H2 O). the total LFE and is calculated as follows:
⎡ μ ⎤ P + Pinl /13.6
Q s(std ) = K1 ⎢X T ΔP std + YT ⎥ bar
⎣ μ LFE ⎦ Tm
The flow rate, at actual cyclone condi- 6.6.1 Determine the water fraction of the
tions, is calculated as follows: mixed gas through the cyclone by using the
equation below.
Ts ⎡ Vm ( std ) ⎤
Qs = ⎢Q s ( std ) + ⎥ Vw ( std )
K1Ps ⎣ θ ⎦ Bc =
Q s ( std ) θ + Vw ( std )
The flow rate, at actual cyclone condi-
tions, is calculated as follows: 6.6.2 Calculate the cyclone gas viscosity as
follows:
μcyc = C1 + C2 Ts + C3 Ts2 + C4 f02 ¥ C5 Bc
Ts ⎡ Vm ( std ) ⎤
Qs = ⎢Q s ( std ) + ⎥
6.6.3 Calculate the molecular weight on a
EC08NO91.026</MATH>
wet basis of the cyclone gas as follows:
K1Ps ⎣ θ ⎦ Mc = Md(1 ¥ Bc) + 18.0(Bc)
6.6 Aerodynamic Cut Size. Use the fol- 6.6.4 If the cyclone meets the design speci-
lowing procedure to determine the aero- fication in Figure 12 of this method, cal-
dynamic cut size (D50). culate the actual D50 of the cyclone for the
run as follows:
EC08NO91.025</MATH>
⎡ T ⎤ 0.2.091 ⎡ μ cyc ⎤ 0.7091

D 50 = β1 ⎢ s ⎥ ⎢ ⎥
⎢⎣ M c Ps ⎥⎦ ⎢⎣ Q s ⎥⎦
EC08NO91.024</MATH>
where b1 = 0.1562. od, then use the following equation to cal-

6.6.5 If the cyclone does not meet the de- culate D50.
EC08NO91.023</MATH>
sign specifications in Figure 12 of this meth-
453
EC08NO91.022</MATH>
⎡M P ⎤ ⎡ 4Q ⎤
(
D 50 = (3) (10 ) b 7.376 × 10
−4 m
) ⎢ c s⎥
⎢⎣ Ts ⎥⎦
⎢ s ⎥ (1. 5 − m )
⎢ π μ cyc ⎥
d
⎣ ⎦
where: 2. McCain, J.D., J.W. Ragland, and A.D.

m = Slope of the calibration curve obtained Williamson. Recommended Methodology for
in Section 5.8.2. the Determination of Particles Size Distribu-
b = y-intercept of the calibration curve ob- tions in Ducted Sources, Final Report. Pre-
tained in Section 5.8.2. pared for the California Air Resources Board
6.7 Acceptable Results. Acceptability of by Southern Research Institute. May 1986.
anisokinetic variation is the same as Method 3. Farthing, W.E., S.S. Dawes, A.D.
5, Section 6.12. Williamson, J.D. McCain, R.S. Martin, and
6.7.1 If 9.0 μm ≤D50 ≤11 μm and 90 ≤I ≤110, the J.W. Ragland. Development of Sampling
results are acceptable. If D50 is greater than Methods for Source PM–10 Emissions. South-
11 μm, the Administrator may accept the re- ern Research Institute for the Environ-
sults. If D50 is less than 9.0 μm, reject the re- mental Protection Agency. April 1989.
sults and repeat the test. 4. Application Guide for the Source PM10 Ex-
7. Bibliography haust Gas Recycle Sampling System, EPA/600/3–
88–058.
1. Same as Bibliography in Method 5.
454
EC08NO91.027</MATH>
455
51-855.eps</GPH>
456
51-856.eps</GPH>
457
51-857.eps</GPH>
458
51-858.eps</GPH>
EXAMPLE EMISSION GAS RECYCLE AVERAGE VELOCITY (FT/SEC): 15.0

SETUP SHEET AMBIENT PRESSURE (IN HG): 29.92
STACK PRESSURE (IN H20): .10
VERSION 3.1 MAY 1986
GAS COMPOSITION:
TEST I.D.: SAMPLE SETUP H20 = 10.0%...................................MD = 28.84
RUN DATE: 11/24/86 O2 = 20.9%....................................MW = 27.75
LOCATION: SOURCE SIM CO2 = .0%..............................(LB/LB MOLE)
OPERATOR(S): RH JB
NOZZLE DIAMETER (IN): .25 TARGET PRESSURE DROPS
STACK CONDITIONS:
AVERAGE TEMPERATURE (F): 200.0 TEMPERATURE (F)
DP(PTO) .. 150 161 172 183 194 206 217 228

0.026 ......... SAMPLE .49 .49 .48 .47 .46 .45 .45
459
51-859.eps</GPH>
TOTAL 1.90 1.90 1.91 1.92 1.92 1.92 1.93

RECYCLE 2.89 2.92 2.94 2.97 3.00 3.02 3.05
% RCL 61% 61% 62% 62% 63% 63% 63%
.031 .......... .58 .56 .55 .55 .55 .54 .53 .52
1.88 1.89 1.89 1.90 1.91 1.91 1.91 1.92
2.71 2.74 2.77 2.80 2.82 2.85 2.88 2.90
57% 57% 58% 58% 59% 59% 60% 60%
.035 .......... .67 .65 .64 .63 .62 .61 .670 .59
1.88 1.88 1.89 1.89 1.90 1.90 1.91 1.91
2.57 2.60 2.63 2.66 2.69 2.72 2.74 2.74
54% 55% 55% 56% 56% 57% 57% 57%
.039 .......... .75 .74 .72 .71 .70 .69 .67 .66
1.87 1.88 1.88 1.89 1.89 1.90 1.90 1.91
2.44 2.47 2.50 2.53 2.56 2.59 2.62 2.65
51% 52% 52% 53% 53% 54% 54% 55%
Figure 6. Example EGR setup sheet.
Barometric pres- = lll DH2, in. H2O .......... = lll

sure, Pbar, in. Hg. Molecular weight of
Stack static pres- = lll stack gas, dry
sure, Pg, in. H2 O. basis:
Average stack tem- = lll Md = 0.44
perature, ts, °F. (%CO2) + 0.32 = lb/lb
Meter temperature, = lll mole
tm, °F. (%O2) + 0.28
Gas analysis:
(%N2 + %CO)
%CO2 .................... = lll
%O2 ...................... = lll Molecular weight of
%N2 + %CO .......... = lll stack gas, wet
Fraction moisture = lll basis:
content, Bws. Mw = Md (1-Bws) + = lll lb/lb mole
Calibration data: 18Bws.
Nozzle diameter, = lll Absolute stack pres-
Dn in. sure:
Pitot coefficient, = lll Ps = Pbar + (Pg/13.6) = lll in. Hg
Cp.
M d ( t m + 460) Ps
K = 846.72 D n 4 ΔH @ C p 2 (1-Bws )
2
= ____
M w ( t s + 460) Pbar
Desired meter orifice pressure (DH) for veloc- Gas analysis:

ity head of stack gas (Dp): %O2 ............................ = lll
Fraction moisture = lll
ΔH = K Δp =____ in. H 2 O content, Bws.
Figure 7. Example worksheet 1, meter ori- Calibration data:
fice pressure head calculation. Nozzle diameter, Dn, = lll
in.
Barometric pressure, = lll Pitot coefficient, Cp ... = lll
Pbar, in. Hg. Total LFE calibration = lll
Absolute stack pressure, = lll constant, Xt.
Ps, in. Hg. Total LFE calibration = lll
Average stack tempera- = lll constant, Tt.
ture, Ts, °R. Absolute pressure up-
Meter temperature, Tm, = lll stream of LFE:
°R. PLFE = Pbar + 0.6 ........... = lll in. Hg
Molecular weight of = lll Viscosity of gas in total
stack gas, wet basis, LFE:
EC08NO91.072</MATH>
Md lb/lb mole. μLFE = 152.418 + 0.2552 = lll

Pressure upstream of = 0.6 Tm + 3.2355 × 10¥5
LFE, in. Hg. Tm2 + 0.53147 (%O2).
460
EC08NO91.071</MATH>
Viscosity of dry stack Constants:

gas:
μd = 152.418 + 0.2552 Ts = lll
+ 3.2355 × 10¥5 Ts2 +
0.53147 (%O2).
−5 μ LFE Tm Ps 0. 7051μ d
K1 = 1.5752 × 10 = ____
PLFE M d 0.2949 Ts 0.07051
1
μ LFE Tm D n 2 C p ⎡ Ps ⎤ 2
K 2 = 0.1539 ⎢ ⎥
PLFE ⎢⎣ Ts ⎥⎦
K3 =
[ ]
B ws μ d 1 − 0.2949(1 − 18 / M d ) + 74.143B ws (1 − B ws )
= ____
EC08NO91.036</MATH>
μ d − 74.143B ws
Average stack tempera- = lll

K1 μ LFE Yt ture, Ts, °R.
A1 = − = ____
EC08NO91.035</MATH>
Meter temperature, Tm, = lll
Xt 180.1X t °R.
Molecular weight of = lll
K2K3 stack gas, dry basis,
B1 = =____ Md lb/lb mole.
(M w )
1
Viscosity of LFE = lll
EC08NO91.034</MATH>
2
Xt gasμLFE,poise.
Total LFE pressure head: Absolute pressure up- = lll
stream of LFE, PPLEin.
1 Hg.
Δp t = A1 − B1 ( Δp ) = ____ in. H 2 O
2
Calibration data:.
Nozzle diameter, Dn, = lll
EC08NO91.033</MATH>
Figure 8. Example worksheet 1, meter ori- in.
fice pressure head calculation. Pitot coefficient, Cp ... = lll
Barometric pressure, = lll Recycle LFE calibration = lll
Pbar, in. Hg. constant, Xt
Absolute stack pressure, = lll Recycle LFE calibration = lll
Ps, in. Hg. constant, Yt
EC08NO91.032</MATH>
−5 μ LFE Tm Ps 0. 7051μ d
K1 = 1.5752 × 10 = ____
PLFE M d 0.2949 Ts 0. 7051
EC08NO91.031</MATH>
1
M LFE Tm D n 2 C p ⎡ Ps ⎤ 2
K 2 = 0.1539 ⎢ ⎥
PLFE ⎢⎣ Ts ⎥⎦
EC08NO91.030</MATH>
μd
K4 = =
M W 0.2051 M d 0.2949 (μ d − 74.143 Bws )
EC08NO91.029</MATH>
461
EC08NO91.028</MATH>
Pressure head for recycle LFE:
K1 μ LFE Yr
A2 = − = 1
Xr 180.1 X r ΔPr = A 2 − B2 ( Δp ) 2 = ____ in. H 2 O
Figure 9. Example worksheet 3, recycle
K K LFE pressure head.
B2 = 4 2 =
Xr
51-864.eps</GPH>
EC08NO91.039</MATH>
Plant llllllllllllllllllll Acetone blank volume, ml lllllllll

Date lllllllllllllllllllll Acetone wash volume, ml (2)———(3) llll
EC08NO91.038</MATH>
Run no. lllllllllllllllllll Acetone blank conc., mg/mg (Equation 5–4,

Filter no. llllllllllllllllll Method 5) lllllllllllllllll
Amount liquid lost during transport llll
462
EC08NO91.037</MATH>
Acetone wash blank, mg (Equation 5–5, Weight of particulate mat-
Method 5) lllllllllllllllll ter, mg
Container number
Final Tare Weight
Weight of particulate mat- weight weight gain
ter, mg
Container number
Final Tare Weight Weight of PM10 ................... ............ ............ ............
weight weight gain 2 ................................................. ............ ............ ............
1 ................................................. ............ ............ ............ Less acetone blank ............ ............ ............ ............
3 ................................................. ............ ............ ............
Total ................................... ............ ............ ............ Total particulate weight ...... ............ ............ ............
Less acetone blank ............ ............ ............ ............

Figure 11. EGR method analysis sheet.
463
TABLE 1—PERFORMANCE SPECIFICATIONS FOR TABLE 1—PERFORMANCE SPECIFICATIONS FOR

SOURCE PM10 CYCLONES AND NOZZLE COM- SOURCE PM10 CYCLONES AND NOZZLE COM-
BINATIONS BINATIONS—Continued
Parameter Units Specification Parameter Units Specification
1. Collection effi- Percent ................. Such that collec- 2. Cyclone cut size μm ........................ 10 ±1 μm aero-
ciency. tion efficiency (D50). dynamic diame-
falls within enve- ter.
lope specified by
Section 5.7.6
and Figure 13.
464
51-866.eps</GPH>
TABLE 2—PARTICLE SIZES AND NOMINAL GAS TABLE 2—PARTICLE SIZES AND NOMINAL GAS
VELOCITIES FOR EFFICIENCY VELOCITIES FOR EFFICIENCY—Continued
Target gas velocities (m/sec) Target gas velocities (m/sec)
Particle size Particle size
(μm)a (μm)a
7 ±1.0 15 ±1.5 25 ±2.5 7 ±1.0 15 ±1.5 25 ±2.5
5 ±0.5 ................ .................... .................... .................... 14 ±1.0 .............. .................... .................... ....................
7 ±0.5 ................ .................... .................... .................... 20 ±1.0 .............. .................... .................... ....................
10 ±0.5 .............. .................... .................... .................... (a) Mass median aerodynamic diameter.
EMISSION GAS RECYCLE, DATA REDUCTION, System Pressures:

VERSION 3.4 MAY 1986 DH(ORI) .................. 1.18 INWG
Test ID. Code: Chapel Hill 2. DP(TOT) .................. 1.91 INWG
Test Location: Baghouse Outlet. P(INL) ..................... 12.15 INWG
Test Site: Chapel Hill. DP(RCL) .................. 2.21 INWG
Test Date: 10/20/86. DP(PTO) .................. 0.06 INWG
Operators(s): JB RH MH. Miscellanea:
P(BAR) .................... 29.99 INWG
Entered Run Data DP(STK) .................. 0.10 INWG
Temperatures: V(DGM) ................... 13.744 FT3
T(STK) .................... 251.0 F TIME ....................... 60.00 MIN
T(RCL) .................... 259.0 F % CO2 ...................... 8.00
T(LFE) .................... 81.0 F % O2 ........................ 20.00
T(DGM) ................... 76.0 F NOZ (IN) .................. 0.2500
465
51-868.eps</GPH>
Water Content: DH@(ORI) ........................... 10.980
Estimate ................. 0.0% M(TOT LFE) ....................... 0.2298
or B(TOT LFE) ....................... ¥.0058
Condenser ................ 7.0 ML M(RCL LFE) ....................... 0.0948
Column .................... 0.0 GM
B(RCL LFE) ....................... ¥.0007
Raw Masses:
Cyclone 1 ................. 21.7 MG DGM GAMMA ..................... 0.9940
Filter ....................... 11.7 MG
Reduced Data
Impinger Residue .... 0.0 MG
Blank Values: Stack Velocity (FT/SEC) ................. 15.95
CYC Rinse ............... 0.0 MG Stack Gas Moisture (%) ................... 2.4
Filter Holder Rinse 0.0 MG Sample Flow Rate (ACFM) .............. 0.3104
Filter Blank ............ 0.0 MG Total Flow Rate (ACFM) ................. 0.5819
Impinger Rinse ........ 0.0 MG Recycle Flow Rate (ACFM) ............. 0.2760
Calibration Values: Percent Recycle ............................... 46.7
CP(PITOT) .......................... 0.840 Isokinetic Ratio (%) ........................ 95.1
(Particulate) (LB/DSCF)
(MG/DNCM) (GR/ACF) (GR/DCF) (X 1E6)
(UM) (% <)
Cyclone 1 ........................................................ 10.15 35.8 56.6 0.01794 0.02470 3.53701

Backup Filter ................................................... ............ ............ 30.5 0.00968 0.01332 1.907
Particulate Total .............................................. ............ ............ 87.2 0.02762 0.03802 5.444
Note: Figure 14. Example inputs and outputs of the EGR reduction program.
METHOD 201A—DETERMINATION OF PM10 gas filtration temperature never exceeds 29.4

AND PM2.5 EMISSIONS FROM STA- °C (85 °F), then use of Method 202 of appendix
TIONARY SOURCES (CONSTANT SAMPLING M to this part is not required to measure
RATE PROCEDURE) total primary PM.
1.3 Responsibility. You are responsible for
1.0 Scope and Applicability obtaining the equipment and supplies you
1.1 Scope. The U.S. Environmental Pro- will need to use this method. You must also
tection Agency (U.S. EPA or ‘‘we’’) devel- develop your own procedures for following
oped this method to describe the procedures this method and any additional procedures
that the stack tester (‘‘you’’) must follow to to ensure accurate sampling and analytical
measure filterable particulate matter (PM) measurements.
emissions equal to or less than a nominal 1.4 Additional Methods. To obtain results,
aerodynamic diameter of 10 micrometers you must have a thorough knowledge of the
(PM10) and 2.5 micrometers (PM2.5). This following test methods found in appendices
method can be used to measure coarse par- A–1 through A–3 of 40 CFR part 60:
ticles (i.e., the difference between the meas- (a) Method 1—Sample and velocity tra-
ured PM10 concentration and the measured verses for stationary sources.
PM2.5 concentration). (b) Method 2—Determination of stack gas
1.2 Applicability. This method addresses velocity and volumetric flow rate (Type S
the equipment, preparation, and analysis pitot tube).
necessary to measure filterable PM. You can (c) Method 3—Gas analysis for the deter-
use this method to measure filterable PM mination of dry molecular weight.
from stationary sources only. Filterable PM (d) Method 4—Determination of moisture
is collected in stack with this method (i.e., content in stack gases.
the method measures materials that are (e) Method 5—Determination of particulate
solid or liquid at stack conditions). If the gas matter emissions from stationary sources.
filtration temperature exceeds 29.4 °C (85 °F), 1.5 Limitations. You cannot use this
then you may use the procedures in this method to measure emissions in which water
method to measure only filterable PM (ma- droplets are present because the size separa-
terial that does not pass through a filter or tion of the water droplets may not be rep-
a cyclone/filter combination). If the gas fil- resentative of the dry particle size released
tration temperature exceeds 29.4 °C (85 °F), into the air. To measure filterable PM10 and
and you must measure both the filterable PM2.5 in emissions where water droplets are
and condensable (material that condenses known to exist, we recommend that you use
after passing through a filter) components of Method 5 of appendix A–3 to part 60. Because
total primary (direct) PM emissions to the of the temperature limit of the O-rings used
atmosphere, then you must combine the pro- in this sampling train, you must follow the
cedures in this method with the procedures procedures in Section 8.6.1 to test emissions
in Method 202 of appendix M to this part for from stack gas temperatures exceeding 205
measuring condensable PM. However, if the °C (400 °F).
466
1.6 Conditions. You can use this method to PM2.5 cyclone downstream of the PM10 cy-
obtain particle sizing at 10 micrometers and clone. Both cyclones were developed and
or 2.5 micrometers if you sample within 80 evaluated as part of a conventional five-
and 120 percent of isokinetic flow. You can stage cascade cyclone train. The addition of
also use this method to obtain total filter- a PM2.5 cyclone between the PM10 cyclone
able particulate if you sample within 90 to and the stack temperature filter in the sam-
110 percent of isokinetic flow, the number of pling train supplements the measurement of
sampling points is the same as required by PM10 with the measurement of PM2.5. With-
Method 5 of appendix A–3 to part 60 or Meth- out the addition of the PM2.5 cyclone, the fil-
od 17 of appendix A–6 to part 60, and the filterable particulate portion of the sampling
ter temperature is within an acceptable train may be used to measure total and PM10
range for these methods. For Method 5, the emissions. Likewise, with the exclusion of
acceptable range for the filter temperature the PM10 cyclone, the filterable particulate
is generally 120 °C (248 °F) unless a higher or portion of the sampling train may be used to
lower temperature is specified. The accept- measure total and PM2.5 emissions. Figure 1
able range varies depending on the source, of Section 17 presents the schematic of the
control technology and applicable rule or
sampling train configured with this change.
permit condition. To satisfy Method 5 cri-
teria, you may need to remove the in-stack 3.0 Definitions
filter and use an out-of-stack filter and re-
cover the PM in the probe between the PM2.5 3.1 Condensable particulate matter (CPM)
particle sizer and the filter. In addition, to means material that is vapor phase at stack
satisfy Method 5 and Method 17 criteria, you conditions, but condenses and/or reacts upon
may need to sample from more than 12 tra- cooling and dilution in the ambient air to
verse points. Be aware that this method de- form solid or liquid PM immediately after
termines in-stack PM10 and PM2.5 filterable discharge from the stack. Note that all CPM
emissions by sampling from a required max- is assumed to be in the PM2.5 size fraction.
imum of 12 sample points, at a constant flow 3.2 Constant weight means a difference of
rate through the train (the constant flow is no more than 0.5 mg or one percent of total
necessary to maintain the size cuts of the weight less tare weight, whichever is great-
cyclones), and with a filter that is at the er, between two consecutive weighings, with
stack temperature. In contrast, Method 5 or no less than six hours of desiccation time be-
Method 17 trains are operated isokinetically tween weighings.
with varying flow rates through the train. 3.3 Filterable particulate matter (PM) means
Method 5 and Method 17 require sampling particles that are emitted directly by a
from as many as 24 sample points. Method 5 source as a solid or liquid at stack or release
uses an out-of-stack filter that is maintained
conditions and captured on the filter of a
at a constant temperature of 120 °C (248 °F).
stack test train.
Further, to use this method in place of Meth-
od 5 or Method 17, you must extend the sam- 3.4 Primary particulate matter (PM) (also
pling time so that you collect the minimum known as direct PM) means particles that
mass necessary for weighing each portion of enter the atmosphere as a direct emission
this sampling train. Also, if you are using from a stack or an open source. Primary PM
this method as an alternative to a test meth- has two components: Filterable PM and con-
od specified in a regulatory requirement densable PM. These two PM components
(e.g., a requirement to conduct a compliance have no upper particle size limit.
or performance test), then you must receive 3.5 Primary PM2.5 (also known as direct
approval from the authority that established PM2.5, total PM2.5, PM2.5, or combined filter-
the regulatory requirement before you con- able PM2.5 and condensable PM) means PM
duct the test. with an aerodynamic diameter less than or
equal to 2.5 micrometers. These solid par-
2.0 Summary of Method ticles are emitted directly from an air emis-
2.1 Summary. To measure PM10 and PM2.5, sions source or activity, or are the gaseous
extract a sample of gas at a predetermined or vaporous emissions from an air emissions
constant flow rate through an in-stack sizing source or activity that condense to form PM
device. The particle-sizing device separates at ambient temperatures. Direct PM2.5 emis-
particles with nominal aerodynamic diame- sions include elemental carbon, directly
ters of 10 micrometers and 2.5 micrometers. emitted organic carbon, directly emitted sul-
To minimize variations in the isokinetic fate, directly emitted nitrate, and other in-
sampling conditions, you must establish organic particles (including but not limited
well-defined limits. After a sample is ob- to crustal material, metals, and sea salt).
tained, remove uncombined water from the 3.6 Primary PM10 (also known as direct
particulate, then use gravimetric analysis to PM10, total PM10, PM10, or the combination
determine the particulate mass for each size of filterable PM10 and condensable PM)
fraction. The original method, as promul- means PM with an aerodynamic diameter
gated in 1990, has been changed by adding a equal to or less than 10 micrometers.
467
4.0 Interferences vices must be cyclones that meet the design
specifications shown in Figures 3, 4A, 4B, 5,
You cannot use this method to measure
and 6 of Section 17. Use a caliper to verify
emissions where water droplets are present
that the dimensions of the PM10 and PM2.5
because the size separation of the water
sizing devices are within ±0.02 cm of the de-
droplets may not be representative of the
dry particle size released into the air. Stacks sign specifications. Example suppliers of
with entrained moisture droplets may have PM10 and PM2.5 sizing devices include the fol-
water droplets larger than the cut sizes for lowing:
the cyclones. These water droplets normally (a) Environmental Supply Company, Inc.,
contain particles and dissolved solids that 2142 E. Geer Street, Durham, North Carolina
become PM10 and PM2.5 following evapo- 27704. Telephone No.: (919) 956–9688; Fax: (919)
ration of the water. 682–0333.
(b) Apex Instruments, 204 Technology Park
5.0 Safety Lane, Fuquay-Varina, North Carolina 27526.
Telephone No.: (919) 557–7300 (phone); Fax:
5.1 Disclaimer. Because the performance
(919) 557–7110.
of this method may require the use of haz-
ardous materials, operations, and equipment, 6.1.2.2 You may use alternative particle
you should develop a health and safety plan sizing devices if they meet the requirements
to ensure the safety of your employees who in Development and Laboratory Evaluation
are on site conducting the particulate emis- of a Five-Stage Cyclone System, EPA–600/7–
sion test. Your plan should conform with all 78–008 (http://cfpub.epa.gov/ols).
applicable Occupational Safety and Health 6.1.3 Filter Holder. Use a filter holder
Administration, Mine Safety and Health Ad- that is stainless steel (316 or equivalent). A
ministration, and Department of Transpor- heated glass filter holder may be substituted
tation regulatory requirements. Because of for the steel filter holder when filtration is
the unique situations at some facilities and performed out-of-stack. Commercial-size fil-
because some facilities may have more strin- ter holders are available depending upon
gent requirements than is required by State project requirements, including commercial
or federal laws, you may have to develop pro- stainless steel filter holders to support 25-,
cedures to conform to the plant health and 47-, 63-, 76-, 90-, 101-, and 110-mm diameter fil-
safety requirements. ters. Commercial size filter holders contain a
fluoropolymer O-ring, a stainless steel
6.0 Equipment and Supplies screen that supports the particulate filter,
Figure 2 of Section 17 shows details of the and a final fluoropolymer O-ring. Screw the
combined cyclone heads used in this method. assembly together and attach to the outlet
The sampling train is the same as Method 17 of cyclone IV. The filter must not be com-
of appendix A–6 to part 60 with the exception pressed between the fluoropolymer O-ring
of the PM10 and PM2.5 sizing devices. The fol- and the filter housing.
lowing sections describe the sampling train’s 6.1.4 Pitot Tube. You must use a pitot
primary design features in detail. tube made of heat resistant tubing. Attach
the pitot tube to the probe with stainless
6.1 Filterable Particulate Sampling Train steel fittings. Follow the specifications for
Components. the pitot tube and its orientation to the
inlet nozzle given in Section 6.1.1.3 of Method
6.1.1 Nozzle. You must use stainless steel
5 of appendix A–3 to part 60.
(316 or equivalent) or fluoropolymer-coated
stainless steel nozzles with a sharp tapered 6.1.5 Probe Extension and Liner. The
leading edge. We recommend one of the 12 probe extension must be glass- or
nozzles listed in Figure 3 of Section 17 be- fluoropolymer-lined. Follow the specifica-
cause they meet design specifications when tions in Section 6.1.1.2 of Method 5 of appen-
PM10 cyclones are used as part of the sam- dix A–3 to part 60. If the gas filtration tem-
pling train. We also recommend that you perature never exceeds 30 °C (85 °F), then the
have a large number of nozzles in small di- probe may be constructed of stainless steel
ameter increments available to increase the without a probe liner and the extension is
likelihood of using a single nozzle for the en- not recovered as part of the PM.
tire traverse. We recommend one of the noz- 6.1.6 Differential Pressure Gauge, Con-
zles listed in Figure 4A or 4B of Section 17 densers, Metering Systems, Barometer, and
because they meet design specifications Gas Density Determination Equipment. Fol-
when PM2.5 cyclones are used without PM10 low the requirements in Sections 6.1.1.4
cyclones as part of the sampling train. through 6.1.3 of Method 5 of appendix A–3 to
6.1.2 PM10 and PM2.5 Sizing Device. part 60, as applicable.
6.1.2.1 Use stainless steel (316 or equiva- 6.2 Sample Recovery Equipment.
lent) or fluoropolymer-coated PM10 and PM2.5 6.2.1 Filterable Particulate Recovery. Use
sizing devices. You may use sizing devices the following equipment to quantitatively
constructed of high-temperature specialty determine the amount of filterable PM re-
metals such as Inconel, Hastelloy, or Haynes covered from the sampling train.
230. (See also Section 8.6.1.) The sizing de- (a) Cyclone and filter holder brushes.
468
(b) Wash bottles. Two wash bottles are rec- calcium sulfate for the sample recovery and
ommended. Any container material is ac- analysis. Unless otherwise indicated, all re-
ceptable, but wash bottles used for sample agents must conform to the specifications
and blank recovery must not contribute established by the Committee on Analytical
more than 0.1 mg of residual mass to the Reagents of the American Chemical Society.
CPM measurements. If such specifications are not available, then
(c) Leak-proof sample containers. Con- use the best available grade. Additional in-
tainers used for sample and blank recovery formation on each of these items is in the
must not contribute more than 0.05 mg of re- following paragraphs.
sidual mass to the CPM measurements. 7.2.1 Acetone. Use acetone that is stored
(d) Petri dishes. For filter samples; glass, in a glass bottle. Do not use acetone from a
polystyrene, or polyethylene, unless other- metal container because it will likely
wise specified by the Administrator. produce a high residue in the laboratory and
(e) Graduated cylinders. To measure con- field reagent blanks. You must use acetone
densed water to within 1 ml or 0.5 g. Grad- with blank values less than 1 part per mil-
uated cylinders must have subdivisions not lion by weight residue. Analyze acetone
greater than 2 ml. blanks prior to field use to confirm low
(f) Plastic storage containers. Air-tight blank values. In no case shall a blank value
containers to store silica gel. of greater than 0.0001 percent (1 part per mil-
6.2.2 Analysis Equipment. lion by weight) of the weight of acetone used
(a) Funnel. Glass or polyethylene, to aid in in sample recovery be subtracted from the
sample recovery. sample weight (i.e., the maximum blank cor-
(b) Rubber policeman. To aid in transfer of rection is 0.1 mg per 100 g of acetone used to
silica gel to container; not necessary if silica recover samples).
gel is weighed in the field. 7.2.2 Particulate Sample Desiccant. Use
(c) Analytical balance. Analytical balance indicating-type anhydrous calcium sulfate to
capable of weighing at least 0.0001 g (0.1 mg). desiccate samples prior to weighing.
(d) Balance. To determine the weight of
the moisture in the sampling train compo- 8.0 Sample Collection, Preservation, Storage,
nents, use an analytical balance accurate to and Transport
±0.5 g. 8.1 Qualifications. This is a complex test
(e) Fluoropolymer beaker liners. method. To obtain reliable results, you
7.0 Reagents, Standards, and Sampling should be trained and experienced with in-
Media stack filtration systems (such as cyclones,
7.1 Sample Collection. To collect a sam- impactors, and thimbles) and impinger and
ple, you will need a filter and silica gel. You moisture train systems.
must also have water and crushed ice. These 8.2 Preparations. Follow the pretest prep-
items must meet the following specifica- aration instructions in Section 8.1 of Method
tions. 5 of appendix A–3 to part 60.
7.1.1 Filter. Use a nonreactive, nondis- 8.3 Site Setup. You must complete the
integrating glass fiber, quartz, or polymer following to properly set up for this test:
filter that does not a have an organic binder. (a) Determine the sampling site location
The filter must also have an efficiency of at and traverse points.
least 99.95 percent (less than 0.05 percent (b) Calculate probe/cyclone blockage.
penetration) on 0.3 micrometer dioctyl (c) Verify the absence of cyclonic flow.
phthalate particles. You may use test data (d) Complete a preliminary velocity profile
from the supplier’s quality control program and select a nozzle(s) and sampling rate.
to document the PM filter efficiency. 8.3.1 Sampling Site Location and Traverse
7.1.2 Silica Gel. Use an indicating-type Point Determination. Follow the standard
silica gel of 6 to 16 mesh. You must obtain procedures in Method 1 of appendix A–1 to
approval from the regulatory authority that part 60 to select the appropriate sampling
established the requirement to use this test site. Choose a location that maximizes the
method to use other types of desiccants distance from upstream and downstream
(equivalent or better) before you use them. flow disturbances.
Allow the silica gel to dry for two hours at (a) Traverse points. The required max-
175 °C (350 °F) if it is being reused. You do imum number of total traverse points at any
not have to dry new silica gel if the indicator location is 12, as shown in Figure 7 of Sec-
shows the silica is active for moisture collection 17. You must prevent the disturbance
tion. and capture of any solids accumulated on the
7.1.3 Crushed Ice. Obtain from the best inner wall surfaces by maintaining a 1-inch
readily available source. distance from the stack wall (0.5 inch for
7.1.4 Water. Use deionized, ultra-filtered sampling locations less than 36.4 inches in
water that contains 1.0 part per million by diameter with the pitot tube and 32.4 inches
weight (1 milligram/liter) residual mass or without the pitot tube). During sampling,
less to recover and extract samples. when the PM2.5 cyclone is used without the
7.2 Sample Recovery and Analytical Re- PM10, traverse points closest to the stack
agents. You will need acetone and anhydrous walls may not be reached because the inlet
469
to a PM2.5 cyclone is located approximately ducts, you must adjust the observed velocity
2.75 inches from the end of the cyclone. For pressures for the estimated blockage factor
these cases, you may collect samples using whenever the combined sampling apparatus
the procedures in Section 11.3.2.2 of Method 1 blocks more than three percent of the stack
of appendix A–3 to part 60. You must use the or duct (see Sections 8.7.2.2 and 8.7.2.3 on the
traverse point closest to the unreachable probe blockage factor and the final adjusted
sampling points as replacement for the velocity pressure, respectively). (NOTE: Valid
unreachable points. You must extend the sampling with the combined PM2.5/PM10 cy-
sampling time at the replacement sampling clones cannot be performed with this method
point to include the duration of the if the average stack blockage from the sam-
unreachable traverse points. pling assembly is greater than six percent,
(b) Round or rectangular duct or stack. If i.e., the stack diameter is less than 26.5
a duct or stack is round with two ports lo- inches.)
cated 90° apart, use six sampling points on 8.3.3 Cyclonic Flow. Do not use the com-
each diameter. Use a 3x4 sampling point lay- bined cyclone sampling head at sampling lo-
out for rectangular ducts or stacks. Consult cations subject to cyclonic flow. Also, you
with the Administrator to receive approval must follow procedures in Method 1 of appen-
for other layouts before you use them. dix A–1 to part 60 to determine the presence
(c) Sampling ports. You must determine if or absence of cyclonic flow and then perform
the sampling ports can accommodate the in- the following calculations:
stack cyclones used in this method. You may (a) As per Section 11.4 of Method 1 of ap-
need larger diameter sampling ports than pendix A–1 to part 60, find and record the
those used by Method 5 of appendix A–3 to angle that has a null velocity pressure for
part 60 or Method 17 of appendix A–6 to part each traverse point using an S-type pitot
60 for total filterable particulate sampling. tube.
When you use nozzles smaller than 0.16 inch
(b) Average the absolute values of the an-
in diameter and either a PM10 or a combined
gles that have a null velocity pressure. Do
PM10 and PM2.5 sampling apparatus, the sam-
not use the sampling location if the average
pling port diameter may need to be six
absolute value exceeds 20°. (NOTE: You can
inches in diameter to accommodate the en-
minimize the effects of cyclonic flow condi-
tire apparatus because the conventional 4-
tions by moving the sampling location, plac-
inch diameter port may be too small due to
the combined dimension of the PM10 cyclone ing gas flow straighteners upstream of the
and the nozzle extending from the cyclone, sampling location, or applying a modified
which will likely exceed the internal diame- sampling approach as described in EPA
ter of the port. A 4-inch port should be ade- Guideline Document GD–008, Particulate
quate for the single PM2.5 sampling appa- Emissions Sampling in Cyclonic Flow. You
ratus. However, do not use the conventional may need to obtain an alternate method ap-
4-inch diameter port in any circumstances in proval from the regulatory authority that
which the combined dimension of the cy- established the requirement to use this test
clone and the nozzle extending from the cy- method prior to using a modified sampling
clone exceeds the internal diameter of the approach.)
port. (NOTE: If the port nipple is short, you 8.3.4 Preliminary Velocity Profile. Con-
may be able to ‘‘hook’’ the sampling head duct a preliminary velocity traverse by fol-
through a smaller port into the duct or lowing Method 2 of appendix A–1 to part 60
stack.) velocity traverse procedures. The purpose of
8.3.2 Probe/Cyclone Blockage Calcula- the preliminary velocity profile is to deter-
tions. Follow the procedures in the next two mine all of the following:
sections, as appropriate. (a) The gas sampling rate for the combined
8.3.2.1 Ducts with diameters greater than probe/cyclone sampling head in order to
36.4 inches. Based on commercially available meet the required particle size cut.
cyclone assemblies for this procedure, ducts (b) The appropriate nozzle to maintain the
with diameters greater than 36.4 inches have required gas sampling rate for the velocity
blockage effects less than three percent, as pressure range and isokinetic range. If the
illustrated in Figure 8 of Section 17. You isokinetic range cannot be met (e.g., batch
must minimize the blockage effects of the processes, extreme process flow or tempera-
combination of the in-stack nozzle/cyclones, ture variation), void the sample or use meth-
pitot tube, and filter assembly that you use ods subject to the approval of the Adminis-
by keeping the cross-sectional area of the as- trator to correct the data. The acceptable
sembly at three percent or less of the cross- variation from isokinetic sampling is 80 to
sectional area of the duct. 120 percent and no more than 100 ± 21 percent
8.3.2.2 Ducts with diameters between 25.7 (2 out of 12 or 5 out of 24) sampling points
and 36.4 inches. Ducts with diameters be- outside of this criteria.
tween 25.7 and 36.4 inches have blockage ef- (c) The necessary sampling duration to ob-
fects ranging from three to six percent, as il- tain sufficient particulate catch weights.
lustrated in Figure 8 of Section 17. There- 8.3.4.1 Preliminary traverse. You must use
fore, when you conduct tests on these small an S-type pitot tube with a conventional
470
thermocouple to conduct the traverse. Con- tains typical collection efficiencies of var-
duct the preliminary traverse as close as ious particulate control devices and example
possible to the anticipated testing time on calculations showing how to estimate uncon-
sources that are subject to hour-by-hour gas trolled total particulate emissions, uncon-
flow rate variations of approximately ± 20 trolled size-specific emissions, and con-
percent and/or gas temperature variations of trolled size-specific particulate emissions.
approximately ± 28 °C (± 50 °F). (Note: You (http://www.epa.gov/ttnchie1/ap42.)
should be aware that these variations can 8.4 Pre-test Calculations. You must per-
cause errors in the cyclone cut diameters form pre-test calculations to help select the
and the isokinetic sampling velocities.) appropriate gas sampling rate through cy-
8.3.4.2 Velocity pressure range. Insert the S- clone I (PM10) and cyclone IV (PM2.5). Choos-
type pitot tube at each traverse point and ing the appropriate sampling rate will allow
record the range of velocity pressures meas- you to maintain the appropriate particle cut
ured on data form in Method 2 of appendix diameters based upon preliminary gas
A–1 to part 60. You will use this later to se- stream measurements, as specified in Table 2
lect the appropriate nozzle. of Section 17.
8.3.4.3 Initial gas stream viscosity and molec- 8.4.1 Gas Sampling Rate. The gas sam-
ular weight. Determine the average gas tem- pling rate is defined by the performance
perature, average gas oxygen content, aver- curves for both cyclones, as illustrated in
age carbon dioxide content, and estimated Figure 10 of Section 17. You must use the
moisture content. You will use this informa- calculations in Section 8.5 to achieve the ap-
tion to calculate the initial gas stream vis- propriate cut size specification for each cy-
cosity (Equation 3) and molecular weight clone. The optimum gas sampling rate is the
(Equations 1 and 2). (NOTE: You must follow overlap zone defined as the range below the
the instructions outlined in Method 4 of ap-
cyclone IV 2.25 micrometer curve down to
pendix A–3 to part 60 or Alternative Moisture
the cyclone I 11.0 micrometer curve (area be-
Measurement Method Midget Impingers
tween the two dark, solid lines in Figure 10
(ALT–008) to estimate the moisture content.
of Section 17).
You may use a wet bulb-dry bulb measure-
ment or hand-held hygrometer measurement 8.4.2 Choosing the Appropriate Sampling
to estimate the moisture content of sources Rate. You must select a gas sampling rate in
with gas temperatures less than 71 °C (160 the middle of the overlap zone (discussed in
°F).) Section 8.4.1), as illustrated in Figure 10 of
8.3.4.4 Approximate PM concentration in the Section 17, to maximize the acceptable toler-
gas stream. Determine the approximate PM ance for slight variations in flow character-
concentration for the PM2.5 and the PM2.5 to istics at the sampling location. The overlap
PM10 components of the gas stream through zone is also a weak function of the gas com-
qualitative measurements or estimates from position. (NOTE: The acceptable range is lim-
precious stack particulate emissions tests. ited, especially for gas streams with tem-
Having an idea of the particulate concentra- peratures less than approximately 100 °F. At
tion in the gas stream is not essential but lower temperatures, it may be necessary to
will help you determine the appropriate sam- perform the PM10 and PM2.5 separately in
pling time to acquire sufficient PM weight order to meet the necessary particle size cri-
for better accuracy at the source emission teria shown in Table 2 of Section 17.)
level. The collectible PM weight require- 8.5 Test Calculations. You must perform
ments depend primarily on the types of filter all of the calculations in Table 3 of Section
media and weighing capabilities that are 17 and the calculations described in Sections
available and needed to characterize the 8.5.1 through 8.5.5.
emissions. Estimate the collectible PM con- 8.5.1 Assumed Reynolds Number. You
centrations in the greater than 10 microm- must select an assumed Reynolds number
eter, less than or equal to 10 micrometers (Nre) using Equation 10 and an estimated
and greater than 2.5 micrometers, and less sampling rate or from prior experience under
than or equal to 2.5 micrometer size ranges. the stack conditions determined using Meth-
Typical PM concentrations are listed in ods 1 through 4 to part 60. You will perform
Table 1 of Section 17. Additionally, relevant initial test calculations based on an assumed
sections of AP–42, Compilation of Air Pollut- Nre for the test to be performed. You must
ant Emission Factors, may contain particle verify the assumed Nre by substituting the
size distributions for processes characterized sampling rate (Qs) calculated in Equation 7
in those sections, and appendix B2 of AP–42 into Equation 10. Then use Table 5 of Section
contains generalized particle size distribu- 17 to determine if the Nre used in Equation 5
tions for nine industrial process categories was correct.
(e.g., stationary internal combustion engines 8.5.2 Final Sampling Rate. Recalculate
firing gasoline or diesel fuel, calcining of ag- the final Qs if the assumed Nre used in your
gregate or unprocessed ores). The generalized initial calculation is not correct. Use Equa-
particle size distributions can be used if tion 7 to recalculate the optimum Qs.
source-specific particle size distributions are 8.5.3 Meter Box DH. Use Equation 11 to
unavailable. Appendix B2 of AP–42 also con- calculate the meter box orifice pressure drop
471
(DH) after you calculate the optimum sam- dent because even if there are slight vari-
pling rate and confirm the Nre. (NOTE: The ations in the gas flow rate, gas temperature,
stack gas temperature may vary during the or gas composition during the actual test,
test, which could affect the sampling rate. If you have the maximum assurance of satis-
the stack gas temperature varies, you must fying the isokinetic criteria. Generally, one
make slight adjustments in the meter box of the two candidate nozzles selected will be
DH to maintain the correct constant cut di- closer to optimum (see Section 8.5.4).
ameters. Therefore, use Equation 11 to recal- (b) When testing is for PM2.5 only, you are
culate the DH values for 50 °F above and allowed a 16 percent failure rate, rounded to
below the stack temperature measured dur- the nearest whole number, of sampling
ing the preliminary traverse (see Section points that are outside the range of the Dpmin
8.3.4.1), and document this information in and Dpmax. If the coarse fraction for PM10 de-
Table 4 of Section 17.) termination is included, you are allowed
8.5.4 Choosing a Sampling Nozzle. Select only an eight percent failure rate of the sam-
one or more nozzle sizes to provide for near pling points, rounded to the nearest whole
isokinetic sampling rate (see Section 1.6). number, outside the Dpmin and Dpmax.
This will also minimize an isokinetic sam- 8.5.5.1 Precheck. Visually check the se-
pling error for the particles at each point. lected nozzle for dents before use.
First calculate the mean stack gas velocity
8.5.5.2 Attach the pre-selected nozzle. Screw
(vs) using Equation 13. See Section 8.7.2 for
the pre-selected nozzle onto the main body of
information on correcting for blockage and
cyclone I using fluoropolymer tape. Use a
use of different pitot tube coefficients. Then
union and cascade adaptor to connect the cy-
use Equation 14 to calculate the diameter (D)
clone IV inlet to the outlet of cyclone I (see
of a nozzle that provides for isokinetic sam-
Figure 2 of Section 17).
pling at the mean vs at flow Qs. From the
available nozzles one size smaller and one 8.6 Sampling Train Preparation. A sche-
size larger than this diameter, D, select the matic of the sampling train used in this
most appropriate nozzle. Perform the fol- method is shown in Figure 1 of Section 17.
lowing steps for the selected nozzle. First, assemble the train and complete the
8.5.4.1 Minimum/maximum nozzle/stack ve- leak check on the combined cyclone sam-
locity ratio. Use Equation 15 to determine the pling head and pitot tube. Use the following
velocity of gas in the nozzle. Use Equation 16 procedures to prepare the sampling train.
to calculate the minimum nozzle/stack ve- (NOTE: Do not contaminate the sampling
locity ratio (Rmin). Use Equation 17 to cal- train during preparation and assembly. Keep
culate the maximum nozzle/stack velocity all openings, where contamination can
ratio (Rmax). occur, covered until just prior to assembly or
8.5.4.2 Minimum gas velocity. Use Equation until sampling is about to begin.)
18 to calculate the minimum gas velocity 8.6.1 Sampling Head and Pitot Tube. As-
(vmin) if Rmin is an imaginary number (nega- semble the combined cyclone train. The O-
tive value under the square root function) or rings used in the train have a temperature
if Rmin is less than 0.5. Use Equation 19 to cal- limit of approximately 205 °C (400 °F). Use
culate vmin if Rmin is ≥0.5. cyclones with stainless steel sealing rings for
8.5.4.3 Maximum stack velocity. Use Equa- stack temperatures above 205 °C (400 °F) up
tion 20 to calculate the maximum stack ve- to 260 °C (500 °F). You must also keep the
locity (vmax) if Rmax is less than 1.5. Use Equa- nozzle covered to protect it from nicks and
tion 21 to calculate the stack velocity if Rmax scratches. This method may not be suitable
is ≥1.5. for sources with stack gas temperatures ex-
8.5.4.4 Conversion of gas velocities to velocity ceeding 260 °C (500 °F) because the threads of
pressure. Use Equation 22 to convert vmin to the cyclone components may gall or seize,
minimum velocity pressure, Dpmin. Use Equa- thus preventing the recovery of the collected
tion 23 to convert vmax to maximum velocity PM and rendering the cyclone unusable for
pressure, Dpmax. subsequent use. You may use stainless steel
8.5.4.5 Comparison to observed velocity pres- cyclone assemblies constructed with bolt-to-
sures. Compare minimum and maximum ve- gether rather than screw-together assem-
locity pressures with the observed velocity blies at temperatures up to 538 °C (1,000 °F).
pressures at all traverse points during the You must use ‘‘break-away’’ or expendable
preliminary test (see Section 8.3.4.2). stainless steel bolts that can be over-torqued
8.5.5 Optimum Sampling Nozzle. The noz- and broken if necessary to release cyclone
zle you selected is appropriate if all the ob- closures, thus allowing you to recover PM
served velocity pressures during the prelimi- without damaging the cyclone flanges or
nary test fall within the range of the Dpmin contaminating the samples. You may need to
and Dpmax. Make sure the following require- use specialty metals to achieve reliable par-
ments are met then follow the procedures in ticulate mass measurements above 538 °C
Sections 8.5.5.1 and 8.5.5.2. (1,000 °F). The method can be used at tem-
(a) Choose an optimum nozzle that pro- peratures up to 1,371 °C (2,500 °F) using spe-
vides for isokinetic sampling conditions as cially constructed high-temperature stain-
close to 100 percent as possible. This is pru- less steel alloys (Hastelloy or Haynes 230)
472
with bolt-together closures using break- 8.6.5 Leak Check. Use the procedures out-
away bolts. lined in Section 8.4 of Method 5 of appendix
8.6.2 Filterable Particulate Filter Holder A–3 to part 60 to leak check the entire sam-
and Pitot Tube. Attach the pre-selected fil- pling system. Specifically perform the fol-
ter holder to the end of the combined cy- lowing procedures:
clone sampling head (see Figure 2 of Section 8.6.5.1 Sampling train. You must pretest
17). Attach the S-type pitot tube to the com- the entire sampling train for leaks. The pre-
bined cyclones after the sampling head is test leak check must have a leak rate of not
fully attached to the end of the probe. (NOTE: more than 0.02 actual cubic feet per minute
The pitot tube tip must be mounted slightly or four percent of the average sample flow
beyond the combined head cyclone sampling during the test run, whichever is less. Addi-
assembly and at least one inch off the gas tionally, you must conduct the leak check at
flow path into the cyclone nozzle. This is a vacuum equal to or greater than the vacu-
similar to the pitot tube placement in Meth- um anticipated during the test run. Enter
od 17 of appendix A–6 to part 60.) Securely the leak check results on the analytical data
fasten the sensing lines to the outside of the sheet (see Section 11.1) for the specific test.
probe to ensure proper alignment of the pitot (NOTE: Do not conduct a leak check during
tube. Provide unions on the sensing lines so port changes.)
that you can connect and disconnect the S- 8.6.5.2 Pitot tube assembly. After you leak
type pitot tube tips from the combined cy- check the sample train, perform a leak
clone sampling head before and after each check of the pitot tube assembly. Follow the
run. Calibrate the pitot tube on the sampling procedures outlined in Section 8.4.1 of Meth-
head according to the most current ASTM od 5 of appendix A–3 to part 60.
International D3796 because the cyclone body 8.6.6 Sampling Head. You must preheat the
is a potential source flow disturbance and combined sampling head to the stack tem-
will change the pitot coefficient value from perature of the gas stream at the test loca-
the baseline (isolated tube) value. tion (±28 °C, ±50 °F). This will heat the sam-
8.6.3 Filter. You must number and tare pling head and prevent moisture from con-
the filters before use. To tare the filters, des- densing from the sample gas stream.
iccate each filter at 20 ±5.6 °C (68 ±10 °F) and 8.6.6.1 Warmup. You must complete a pas-
ambient pressure for at least 24 hours and sive warmup (of 30–40 min) within the stack
weigh at intervals of at least six hours to a before the run begins to avoid internal con-
constant weight. (See Section 3.0 for a defini- densation.
tion of constant weight.) Record results to 8.6.6.2 Shortened warmup. You can shorten
the nearest 0.1 mg. During each weighing, the warmup time by thermostated heating
the filter must not be exposed to the labora- outside the stack (such as by a heat gun).
tory atmosphere for longer than two minutes Then place the heated sampling head inside
and a relative humidity above 50 percent. Al- the stack and allow the temperature to
ternatively, the filters may be oven-dried at equilibrate.
104 °C (220 °F) for two to three hours, des- 8.7 Sampling Train Operation. Operate
iccated for two hours, and weighed. Use the sampling train the same as described in
tweezers or clean disposable surgical gloves Section 4.1.5 of Method 5 of appendix A–3 to
to place a labeled (identified) and pre- part 60, but use the procedures in this sec-
weighed filter in the filter holder. You must tion for isokinetic sampling and flow rate
center the filter and properly place the gas- adjustment. Maintain the flow rate cal-
ket so that the sample gas stream will not culated in Section 8.4.1 throughout the run,
circumvent the filter. The filter must not be provided the stack temperature is within 28
compressed between the gasket and the filter °C (50 °F) of the temperature used to cal-
housing. Check the filter for tears after the culate DH. If stack temperatures vary by
assembly is completed. Then screw or clamp more than 28 °C (50 °F), use the appropriate
the filter housing together to prevent the DH value calculated in Section 8.5.3. Deter-
seal from leaking. mine the minimum number of traverse
8.6.4 Moisture Trap. If you are measuring points as in Figure 7 of Section 17. Deter-
only filterable particulate (or you are sure mine the minimum total projected sampling
that the gas filtration temperature will be time based on achieving the data quality ob-
maintained below 30 °C (85 °F)), then an jectives or emission limit of the affected fa-
empty modified Greenburg Smith impinger cility. We recommend that you round the
followed by an impinger containing silica gel number of minutes sampled at each point to
is required. Alternatives described in Method the nearest 15 seconds. Perform the following
5 of appendix A–3 to part 60 may also be used procedures:
to collect moisture that passes through the 8.7.1 Sample Point Dwell Time. You must
ambient filter. If you are measuring conden- calculate the flow rate-weighted dwell time
sable PM in combination with this method, (that is, sampling time) for each sampling
then follow the procedures in Method 202 of point to ensure that the overall run provides
appendix M of this part for moisture collec- a velocity-weighted average that is rep-
tion. resentative of the entire gas stream. Vary
473
the dwell time at each traverse point propor- inches because the blockage is greater than
tionately with the point velocity. Calculate six percent. For stacks with a diameter less
the dwell time at each of the traverse points than 26.5 inches, PM2.5 particulate measure-
using Equation 24. You must use the data ments may be possible using only a PM2.5 cy-
from the preliminary traverse to determine clone, pitot tube, and in-stack filter. If the
the average velocity pressure (Dpavg). You blockage exceeds three percent but is less
must use the velocity pressure measured than six percent, you must follow the proce-
during the sampling run to determine the ve- dures outlined in Method 1A of appendix A–
locity pressure at each point (Dpn). Here, Ntp 1 to part 60 to conduct tests. You must con-
equals the total number of traverse points. duct the velocity traverse downstream of the
Each traverse point must have a dwell time sampling location or immediately before the
of at least two minutes. test run.
8.7.2 Adjusted Velocity Pressure. When se- 8.7.3 Sample Collection. Collect samples
lecting your sampling points using your pre- the same as described in Section 4.1.5 of
liminary velocity traverse data, your pre- Method 5 of appendix A–3 to part 60, except
liminary velocity pressures must be adjusted use the procedures in this section for
to take into account the increase in velocity isokinetic sampling and flow rate adjust-
due to blockage. Also, you must adjust your ment. Maintain the flow rate calculated in
preliminary velocity data for differences in Section 8.5 throughout the run, provided the
pitot tube coefficients. Use the following in- stack temperature is within 28 °C (50 °F) of
structions to adjust the preliminary velocity the temperature used to calculate DH. If
pressure. stack temperatures vary by more than 28 °C
8.7.2.1 Different pitot tube coefficient. You (50 °F), use the appropriate DH value cal-
must use Equation 25 to correct the recorded culated in Section 8.5.3. Calculate the dwell
preliminary velocity pressures if the pitot time at each traverse point as in Equation
tube mounted on the combined cyclone sam-
24. In addition to these procedures, you must
pling head has a different pitot tube coeffi-
also use running starts and stops if the static
cient than the pitot tube used during the
pressure at the sampling location is less
preliminary velocity traverse (see Section
than minus 5 inches water column. This pre-
8.3.4).
vents back pressure from rupturing the sam-
8.7.2.2 Probe blockage factor. You must
ple filter. If you use a running start, adjust
use Equation 26 to calculate an average
the flow rate to the calculated value after
probe blockage correction factor (bf) if the
you perform the leak check (see Section 8.4).
diameter of your stack or duct is between
25.7 and 36.4 inches for the combined PM2.5/ 8.7.3.1 Level and zero manometers. Periodi-
PM10 sampling head and pitot and between cally check the level and zero point of the
18.8 and 26.5 inches for the PM2.5 cyclone and manometers during the traverse. Vibrations
pitot. A probe blockage factor is calculated and temperature changes may cause them to
because of the flow blockage caused by the drift.
relatively large cross-sectional area of the 8.7.3.2 Portholes. Clean the portholes prior
cyclone sampling head, as discussed in Sec- to the test run. This will minimize the
tion 8.3.2.2 and illustrated in Figures 8 and 9 chance of collecting deposited material in
of Section 17. You must determine the cross- the nozzle.
sectional area of the cyclone head you use 8.7.3.3 Sampling procedures. Verify that the
and determine its stack blockage factor. combined cyclone sampling head tempera-
(Note: Commercially-available sampling ture is at stack temperature. You must
heads (including the PM10 cyclone, PM2.5 cy- maintain the temperature of the cyclone
clone, pitot and filter holder) have a pro- sampling head within ±10 °C (±18 °F) of the
jected area of approximately 31.2 square stack temperature. (NOTE: For many stacks,
inches when oriented into the gas stream.) portions of the cyclones and filter will be ex-
As the probe is moved from the outermost to ternal to the stack during part of the sam-
the innermost point, the amount of blockage pling traverse. Therefore, you must heat and/
that actually occurs ranges from approxi- or insulate portions of the cyclones and fil-
mately 13 square inches to the full 31.2 ter that are not within the stack in order to
square inches plus the blockage caused by maintain the sampling head temperature at
the probe extension. The average cross-sec- the stack temperature. Maintaining the tem-
tional area blocked is 22 square inches. perature will ensure proper particle sizing
8.7.2.3 Final adjusted velocity pressure. Cal- and prevent condensation on the walls of the
culate the final adjusted velocity pressure cyclones.) To begin sampling, remove the
(Dps2) using Equation 27. (NOTE: Figures 8 and protective cover from the nozzle. Position
9 of Section 17 illustrate that the blockage the probe at the first sampling point with
effect of the combined PM10, PM2.5 cyclone the nozzle pointing directly into the gas
sampling head, and pitot tube increases rap- stream. Immediately start the pump and ad-
idly below stack diameters of 26.5 inches. just the flow to calculated isokinetic condi-
Therefore, the combined PM10, PM2.5 filter tions. Ensure the probe/pitot tube assembly
sampling head and pitot tube is not applica- is leveled. (NOTE: When the probe is in posi-
ble for stacks with a diameter less than 26.5 tion, block off the openings around the probe
474
and porthole to prevent unrepresentative di- ditions were maintained throughout the
lution of the gas stream. Take care to mini- testing period.
mize contamination from material used to 8.7.4.2 Sampling train data. Use the sam-
block the flow or insulate the sampling head pling train data to confirm that the meas-
during collection at the first sampling ured particulate emissions are accurate and
point.) complete.
(a) Traverse the stack cross-section, as re- 8.7.5 Sample Recovery. First remove the
quired by Method 1 of appendix A–1 to part sampling head (combined cyclone/filter as-
60, with the exception that you are only re- sembly) from the train probe. After the sam-
quired to perform a 12-point traverse. Do not ple head is removed, perform a post-test leak
bump the cyclone nozzle into the stack walls check of the probe and sample train. Then
when sampling near the walls or when re- recover the components from the cyclone/fil-
moving or inserting the probe through the ter. Refer to the following sections for more
portholes. This will minimize the chance of detailed information.
extracting deposited materials. 8.7.5.1 Remove sampling head. After cooling
(b) Record the data required on the field and when the probe can be safely handled,
test data sheet for each run. Record the ini- wipe off all external surfaces near the cy-
tial dry gas meter reading. Then take dry clone nozzle and cap the inlet to the cyclone
gas meter readings at the following times: to prevent PM from entering the assembly.
the beginning and end of each sample time Remove the combined cyclone/filter sam-
increment; when changes in flow rates are pling head from the probe. Cap the outlet of
made; and when sampling is halted. Compare the filter housing to prevent PM from enter-
the velocity pressure measurements (Equa- ing the assembly.
8.7.5.2 Leak check probe/sample train assem-
tions 22 and 23) with the velocity pressure
bly (post-test). Leak check the remainder of
measured during the preliminary traverse.
the probe and sample train assembly (includ-
Keep the meter box DH at the value cal-
ing meter box) after removing the combined
culated in Section 8.5.3 for the stack tem-
cyclone head/filter. You must conduct the
perature that is observed during the test.
leak rate at a vacuum equal to or greater
Record all point-by-point data and other
than the maximum vacuum achieved during
source test parameters on the field test data
the test run. Enter the results of the leak
sheet. Do not leak check the sampling sys-
check onto the field test data sheet. If the
tem during port changes. leak rate of the sampling train (without the
(c) Maintain flow until the sampling head combined cyclone sampling head) exceeds
is completely removed from the sampling 0.02 actual cubic feet per minute or four per-
port. You must restart the sampling flow cent of the average sampling rate during the
prior to inserting the sampling head into the test run (whichever is less), the run is in-
sampling port during port changes. valid and must be repeated.
(d) Maintain the flow through the sampling 8.7.5.3 Weigh or measure the volume of the
system at the last sampling point. At the liquid collected in the water collection impingers
conclusion of the test, remove the pitot tube and silica trap. Measure the liquid in the first
and combined cyclone sampling head from impingers to within 1 ml using a clean grad-
the stack while the train is still operating uated cylinder or by weighing it to within 0.5
(running stop). Make sure that you do not g using a balance. Record the volume of the
scrape the pitot tube or the combined cy- liquid or weight of the liquid present to be
clone sampling head against the port or used to calculate the moisture content of the
stack walls. Then stop the pump and record effluent gas.
the final dry gas meter reading and other 8.7.5.4 Weigh the silica impinger. If a bal-
test parameters on the field test data sheet. ance is available in the field, weigh the silica
(NOTE: After you stop the pump, make sure impinger to within 0.5 g. Note the color of
you keep the combined cyclone head level to the indicating silica gel in the last impinger
avoid tipping dust from the cyclone cups to determine whether it has been completely
into the filter and/or down-comer lines.) spent and make a notation of its condition.
8.7.4 Process Data. You must document If you are measuring CPM in combination
data and information on the process unit with this method, the weight of the silica gel
tested, the particulate control system used can be determined before or after the post-
to control emissions, any non-particulate test nitrogen purge is complete (See Section
control system that may affect particulate 8.5.3 of Method 202 of appendix M to this
emissions, the sampling train conditions, part).
and weather conditions. Record the site bar- 8.7.5.5 Recovery of PM. Recovery involves
ometric pressure and stack pressure on the the quantitative transfer of particles in the
field test data sheet. Discontinue the test if following size range: greater than 10 microm-
the operating conditions may cause non-rep- eters; less than or equal to 10 micrometers
resentative particulate emissions. but greater than 2.5 micrometers; and less
8.7.4.1 Particulate control system data. Use than or equal to 2.5 micrometers. You must
the process and control system data to deter- use a nylon or fluoropolymer brush and an
mine whether representative operating con- acetone rinse to recover particles from the
475
combined cyclone/filter sampling head. Use liquid water from the emission gases. If you
the following procedures for each container: collected condensable PM using Method 202
(a) Container #1, Less than or equal to of appendix M to this part in conjunction
PM2.5 micrometer filterable particulate. Use with using this method, you must follow the
tweezers and/or clean disposable surgical procedures in Method 202 of appendix M to
gloves to remove the filter from the filter this part to recover impingers and silica used
holder. Place the filter in the Petri dish that to collect moisture.
you labeled with the test identification and (f) Container #6, Silica gel absorbent. Trans-
Container #1. Using a dry brush and/or a fer the silica gel to its original container la-
sharp-edged blade, carefully transfer any PM beled with test identification and Container
and/or filter fibers that adhere to the filter #6 and seal. A funnel may make it easier to
holder gasket or filter support screen to the pour the silica gel without spilling. A rubber
Petri dish. Seal the container. This con- policeman may be used as an aid in removing
tainer holds particles less than or equal to the silica gel from the impinger. It is not
2.5 micrometers that are caught on the in- necessary to remove the small amount of
stack filter. (Note: If the test is conducted silica gel dust particles that may adhere to
for PM10 only, then Container #1 would be the impinger wall and are difficult to re-
for less than or equal to PM10 micrometer fil- move. Since the gain in weight is to be used
terable particulate.) for moisture calculations, do not use any
(b) Container #2, Greater than PM10 microm- water or other liquids to transfer the silica
eter filterable particulate. Quantitatively re- gel. If the silica gel has been weighed in the
cover the PM from the cyclone I cup and field to measure water content, it can be dis-
brush cleaning and acetone rinses of the cy- carded. Otherwise, the contents of Container
clone cup, internal surface of the nozzle, and #6 are weighed during sample analysis.
cyclone I internal surfaces, including the (g) Container #7, Acetone field reagent blank.
outside surface of the downcomer line. Seal Take approximately 200 ml of the acetone di-
the container and mark the liquid level on rectly from the wash bottle you used and
the outside of the container you labeled with place it in Container #7 labeled ‘‘Acetone
test identification and Container #2. You Field Reagent Blank.’’
must keep any dust found on the outside of 8.7.6 Transport Procedures. Containers
cyclone I and cyclone nozzle external sur- must remain in an upright position at all
faces out of the sample. This container holds times during shipping. You do not have to
PM greater than 10 micrometers. ship the containers under dry or blue ice.
(c) Container #3, Filterable particulate less
than or equal to 10 micrometer and greater than 9.0 Quality Control
2.5 micrometers. Place the solids from cyclone 9.1 Daily Quality Checks. You must per-
cup IV and the acetone (and brush cleaning) form daily quality checks of field log books
rinses of the cyclone I turnaround cup (above and data entries and calculations using data
inner downcomer line), inside of the quality indicators from this method and
downcomer line, and interior surfaces of cy- your site-specific test plan. You must review
clone IV into Container #3. Seal the con- and evaluate recorded and transferred raw
tainer and mark the liquid level on the out- data, calculations, and documentation of
side of the container you labeled with test testing procedures. You must initial or sign
identification and Container #3. This con- log book pages and data entry forms that
tainer holds PM less than or equal to 10 mi- were reviewed.
crometers but greater than 2.5 micrometers. 9.2 Calculation Verification. Verify the
(d) Container #4, Less than or equal to PM2.5 calculations by independent, manual checks.
micrometers acetone rinses of the exit tube of cy- You must flag any suspect data and identify
clone IV and front half of the filter holder. the nature of the problem and potential ef-
Place the acetone rinses (and brush cleaning) fect on data quality. After you complete the
of the exit tube of cyclone IV and the front test, prepare a data summary and compile
half of the filter holder in container #4. Seal all the calculations and raw data sheets.
the container and mark the liquid level on 9.3 Conditions. You must document data
the outside of the container you labeled with and information on the process unit tested,
test identification and Container #4. This the particulate control system used to con-
container holds PM that is less than or equal trol emissions, any non-particulate control
to 2.5 micrometers. system that may affect particulate emis-
(e) Container #5, Cold impinger water. If the sions, the sampling train conditions, and
water from the cold impinger used for mois- weather conditions. Discontinue the test if
ture collection has been weighed in the field, the operating conditions may cause non-rep-
it can be discarded. Otherwise, quan- resentative particulate emissions.
titatively transfer liquid from the cold im- 9.4 Field Analytical Balance Calibration
pinger that follows the ambient filter into a Check. Perform calibration check procedures
clean sample bottle (glass or plastic). Mark on field analytical balances each day that
the liquid level on the bottle you labeled they are used. You must use National Insti-
with test identification and Container #5. tute of Standards and Technology (NIST)-
This container holds the remainder of the traceable weights at a mass approximately
476
equal to the weight of the sample plus con- equipment has been returned to the shop.
tainer you will weigh. Your pre-test and post-test calibrations
10.0 Calibration and Standardization must agree within ±5 percent.
Maintain a log of all filterable particulate
sampling and analysis calibrations. Include 11.0 Analytical Procedures
copies of the relevant portions of the calibra- 11.1 Analytical Data Sheet. Record all
tion and field logs in the final test report. data on the analytical data sheet. Obtain the
10.1 Gas Flow Velocities. You must use an data sheet from Figure 5–6 of Method 5 of ap-
S-type pitot tube that meets the required
pendix A–3 to part 60. Alternatively, data
EPA specifications (EPA Publication 600/4–
may be recorded electronically using soft-
77–0217b) during these velocity measure-
ware applications such as the Electronic Re-
ments. (Note: If, as specified in Section
porting Tool located at http://www.epa.gov/
8.7.2.3, testing is performed in stacks less
ttn/chief/ert/ertltool.html.
than 26.5 inches in diameter, testers may use
11.2 Dry Weight of PM. Determine the dry
a standard pitot tube according to the re-
weight of particulate following procedures
quirements in Method 1 or 2 of appendix A–
outlined in this section.
3 to part 60 of this chapter.) You must also
complete the following: 11.2.1 Container #1, Less than or Equal to
(a) Visually inspect the S-type pitot tube PM2.5 Micrometer Filterable Particulate.
before sampling. Transfer the filter and any loose particulate
(b) Leak check both legs of the pitot tube from the sample container to a tared weigh-
before and after sampling. ing dish or pan that is inert to solvent or
(c) Maintain proper orientation of the S- mineral acids. Desiccate for 24 hours in a
type pitot tube while making measurements. dessicator containing anhydrous calcium
10.1.1 S-type Pitot Tube Orientation. The sulfate. Weigh to a constant weight and re-
S-type pitot tube is properly oriented when port the results to the nearest 0.1 mg. (See
the yaw and the pitch axis are 90 degrees to Section 3.0 for a definition of Constant
the air flow. weight.) If constant weight requirements
10.1.2 Average Velocity Pressure Record. cannot be met, the filter must be treated as
Instead of recording either high or low val- described in Section 11.2.1 of Method 202 of
ues, record the average velocity pressure at appendix M to this part. Note: The nozzle
each point during flow measurements. and front half wash and filter collected at or
10.1.3 Pitot Tube Coefficient. Determine below 30 °C (85 °F) may not be heated and
the pitot tube coefficient based on physical must be maintained at or below 30 °C (85 °F).
measurement techniques described in Meth- 11.2.2 Container #2, Greater than PM10 Mi-
od 2 of appendix A–1 to part 60. (NOTE: You crometer Filterable Particulate Acetone
must calibrate the pitot tube on the sam- Rinse. Separately treat this container like
pling head because of potential interferences Container #4.
from the cyclone body. Refer to Section 8.7.2 11.2.3 Container #3, Filterable Particulate
for additional information.) Less than or Equal to 10 Micrometer and
10.2 Thermocouple Calibration. You must Greater than 2.5 Micrometers Acetone Rinse.
calibrate the thermocouples using the proce- Separately treat this container like Con-
dures described in Section 10.3.1 of Method 2 tainer #4.
of appendix A–1 to part 60 or Alternative 11.2.4 Container #4, Less than or Equal to
Method 2 Thermocouple Calibration (ALT– PM2.5 Micrometers Acetone Rinse of the Exit
011). Calibrate each temperature sensor at a Tube of Cyclone IV and Front Half of the Fil-
minimum of three points over the antici- ter Holder. Note the level of liquid in the
pated range of use against a NIST-traceable container and confirm on the analysis sheet
thermometer. Alternatively, a reference whether leakage occurred during transport.
thermocouple and potentiometer calibrated If a noticeable amount of leakage has oc-
against NIST standards can be used. curred, either void the sample or use meth-
10.3 Nozzles. You may use stainless steel ods (subject to the approval of the Adminis-
(316 or equivalent), high-temperature steel trator) to correct the final results. Quan-
alloy, or fluoropolymer-coated nozzles for titatively transfer the contents to a tared
isokinetic sampling. Make sure that all noz- 250 ml beaker or tared fluoropolymer beaker
zles are thoroughly cleaned, visually in- liner, and evaporate to dryness at room tem-
spected, and calibrated according to the pro- perature and pressure in a laboratory hood.
cedure outlined in Section 10.1 of Method 5 of Desiccate for 24 hours and weigh to a con-
appendix A–3 to part 60. stant weight. Report the results to the near-
10.4 Dry Gas Meter Calibration. Calibrate est 0.1 mg.
your dry gas meter following the calibration 11.2.5 Container #5, Cold Impinger Water.
procedures in Section 16.1 of Method 5 of ap- If the amount of water has not been deter-
pendix A–3 to part 60. Also, make sure you mined in the field, note the level of liquid in
fully calibrate the dry gas meter to deter- the container and confirm on the analysis
mine the volume correction factor prior to sheet whether leakage occurred during
field use. Post-test calibration checks must transport. If a noticeable amount of leakage
be performed as soon as possible after the has occurred, either void the sample or use
477
methods (subject to the approval of the Ad- Dp = Physical particle size, micrometers.
ministrator) to correct the final results. D50 = Particle cut diameter, micrometers.
Measure the liquid in this container either D50–1 = Re-calculated particle cut diameters
volumetrically to ±1 ml or gravimetrically based on re-estimated Cr, micrometers.
to ±0.5 g. D50LL = Cut diameter for cyclone I cor-
11.2.6 Container #6, Silica Gel Absorbent. responding to the 2.25 micrometer cut di-
Weigh the spent silica gel (or silica gel plus ameter for cyclone IV, micrometers.
impinger) to the nearest 0.5 g using a bal- D50N = D50 value for cyclone IV calculated
ance. This step may be conducted in the during the Nth iterative step, microm-
field. eters.
11.2.7 Container #7, Acetone Field Rea- D50(N ∂ 1) = D50 value for cyclone IV cal-
gent Blank. Use 150 ml of acetone from the culated during the N + 1 iterative step,
blank container used for this analysis. micrometers.
Transfer 150 ml of the acetone to a clean 250- D50T = Cyclone I cut diameter corresponding
ml beaker or tared fluoropolymer beaker to the middle of the overlap zone shown
liner. Evaporate the acetone to dryness at in Figure 10 of Section 17, micrometers.
room temperature and pressure in a labora- I = Percent isokinetic sampling,
tory hood. Following evaporation, desiccate dimensionless.
the residue for 24 hours in a desiccator con- Kp = 85.49, ((ft/sec)/(pounds/mole -°R)).
taining anhydrous calcium sulfate. Weigh ma = Mass of residue of acetone after evapo-
and report the results to the nearest 0.1 mg. ration, mg.
Md = Molecular weight of dry gas, pounds/
12.0 Calculations and Data Analysis pound mole.
mg = Milligram.
12.1 Nomenclature. Report results in mg/L = Milligram per liter.
International System of Units (SI units) un- Mw = Molecular weight of wet gas, pounds/
less the regulatory authority that estab- pound mole.
lished the requirement to use this test meth- M1 = Milligrams of PM collected on the fil-
od specifies reporting in English units. The ter, less than or equal to 2.5 microm-
following nomenclature is used. eters.
A = Area of stack or duct at sampling loca- M2 = Milligrams of PM recovered from Con-
tion, square inches. tainer #2 (acetone blank corrected),
An = Area of nozzle, square feet. greater than 10 micrometers.
bf = Average blockage factor calculated in M3 = Milligrams of PM recovered from Con-
Equation 26, dimensionless. tainer #3 (acetone blank corrected), less
Bws = Moisture content of gas stream, frac- than or equal to 10 and greater than 2.5
tion (e.g., 10 percent H2O is Bws = 0.10). micrometers.
C = Cunningham correction factor for par- M4 = Milligrams of PM recovered from Con-
ticle diameter, Dp, and calculated using tainer #4 (acetone blank corrected), less
the actual stack gas temperature, than or equal to 2.5 micrometers.
dimensionless. Ntp = Number of iterative steps or total tra-
%CO2 = Carbon Dioxide content of gas verse points.
stream, percent by volume. Nre = Reynolds number, dimensionless.
Ca = Acetone blank concentration, mg/mg. %O2,wet = Oxygen content of gas stream, % by
CfPM10 = Conc. of filterable PM10, gr/DSCF. volume of wet gas.
CfPM2.5 = Conc. of filterable PM2.5, gr/DSCF. (NOTE: The oxygen percentage used in Equa-
Cp = Pitot coefficient for the combined cy- tion 3 is on a wet gas basis. That means
clone pitot, dimensionless. that since oxygen is typically measured
Cp′ = Coefficient for the pitot used in the pre- on a dry gas basis, the measured percent
liminary traverse, dimensionless. O2 must be multiplied by the quantity (1–
Cr = Re-estimated Cunningham correction Bws) to convert to the actual volume
factor for particle diameter equivalent to fraction. Therefore, %O2,wet = (1–Bws) *
the actual cut size diameter and cal- %O2, dry)
culated using the actual stack gas tem- Pbar = Barometric pressure, inches Hg.
perature, dimensionless. Ps = Absolute stack gas pressure, inches Hg.
Ctf = Conc. of total filterable PM, gr/DSCF. Qs = Sampling rate for cyclone I to achieve
C1 = ¥150.3162 (micropoise) specified D50.
C2 = 18.0614 (micropoise/K0.5) = 13.4622 QsST = Dry gas sampling rate through the
(micropoise/R0.5) sampling assembly, DSCFM.
C3 = 1.19183 × 106 (micropoise/K2) = 3.86153 × 106 QI = Sampling rate for cyclone I to achieve
(micropoise/R2) specified D50.
C4 = 0.591123 (micropoise) Rmax = Nozzle/stack velocity ratio parameter,
C5 = 91.9723 (micropoise) dimensionless.
C6 = 4.91705 × 10¥5 (micropoise/K2) = 1.51761 × Rmin = Nozzle/stack velocity ratio parameter,
10¥5 (micropoise/R2) dimensionless.
D = Inner diameter of sampling nozzle Tm = Meter box and orifice gas temperature,
mounted on Cyclone I, inches. °R.
478
tn = Sampling time at point n, min. 12.2 Calculations. Perform all of the cal-
tr = Total projected run time, min. culations found in Table 6 of Section 17.
Ts = Absolute stack gas temperature, °R. Table 6 of Section 17 also provides instruc-
t1 = Sampling time at point 1, min. tions and references for the calculations.
vmax = Maximum gas velocity calculated from 12.3 Analyses. Analyze D50 of cyclone IV
Equations 18 or 19, ft/sec. and the concentrations of the PM in the var-
vmin = Minimum gas velocity calculated from ious size ranges.
Equations 16 or 17, ft/sec. 12.3.1 D50 of Cyclone IV. To determine the
vn = Sample gas velocity in the nozzle, ft/sec. actual D50 for cyclone IV, recalculate the
vs = Velocity of stack gas, ft/sec. Cunningham correction factor and the Rey-
Va = Volume of acetone blank, ml. nolds number for the best estimate of cy-
Vaw = Volume of acetone used in sample re- clone IV D50. The following sections describe
covery wash, ml. additional information on how to recalculate
Vc = Quantity of water captured in impingers the Cunningham correction factor and deter-
and silica gel, ml. mine which Reynolds number to use.
Vm = Dry gas meter volume sampled, ACF. 12.3.1.1 Cunningham correction factor. Re-
Vms = Dry gas meter volume sampled, cor- calculate the initial estimate of the
rected to standard conditions, DSCF. Cunningham correction factor using the ac-
Vws = Volume of water vapor, SCF. tual test data. Insert the actual test run
Vic = Volume of impinger contents sample, data and D50 of 2.5 micrometers into Equa-
ml. tion 4. This will give you a new Cunningham
Wa = Weight of blank residue in acetone used correction factor based on actual data.
to recover samples, mg. 12.3.1.2 Initial D50 for cyclone IV. Deter-
W2,3,4 = Weight of PM recovered from Con- mine the initial estimate for cyclone IV D50
tainers #2, #3, and #4, mg. using the test condition Reynolds number
Z = Ratio between estimated cyclone IV D50 calculated with Equation 10 as indicated in
values, dimensionless. Table 3 of Section 17. Refer to the following
DH = Meter box orifice pressure drop, inches instructions.
W.C. (a) If the Reynolds number is less than
DH@ = Pressure drop across orifice at flow 3,162, calculate the D50 for cyclone IV with
rate of 0.75 SCFM at standard conditions, Equation 34, using actual test data.
inches W.C. (b) If the Reynolds number is greater than
or equal to 3,162, calculate the D50 for cy-
(NOTE: Specific to each orifice and meter
clone IV with Equation 35 using actual test
box.)
data.
[(Dp)0.5]avg = Average of square roots of the (c) Insert the ‘‘new’’ D50 value calculated
velocity pressures measured during the by either Equation 34 or 35 into Equation 36
preliminary traverse, inches W.C. to re-establish the Cunningham Correction
Dpm = Observed velocity pressure using S- Factor (Cr). (NOTE: Use the test condition
type pitot tube in preliminary traverse, calculated Reynolds number to determine
inches W.C. the most appropriate equation (Equation 34
Dpavg = Average velocity pressure, inches or 35).)
W.C. 12.3.1.3 Re-establish cyclone IV D50. Use the
Dpmax = Maximum velocity pressure, inches re-established Cunningham correction factor
W.C. (calculated in the previous step) and the cal-
Dpmin = Minimum velocity pressure, inches culated Reynolds number to determine D50–1.
W.C. (a) Use Equation 37 to calculate the re-es-
Dpn = Velocity pressure measured at point n tablished cyclone IV D50–1 if the Reynolds
during the test run, inches W.C. number is less than 3,162.
Dps = Velocity pressure calculated in Equa- (b) Use Equation 38 to calculate the re-es-
tion 25, inches W.C. tablished cyclone IV D50–1 if the Reynolds
Dps1 = Velocity pressure adjusted for com- number is greater than or equal to 3,162.
bined cyclone pitot tube, inches W.C. 12.3.1.4 Establish ‘‘Z’’ values. The ‘‘Z’’
Dps2 = Velocity pressure corrected for block- value is the result of an analysis that you
age, inches W.C. must perform to determine if the Cr is ac-
Dp1 = Velocity pressure measured at point 1, ceptable. Compare the calculated cyclone IV
inches W.C. D50 (either Equation 34 or 35) to the re-estab-
g = Dry gas meter gamma value, lished cyclone IV D50–1 (either Equation 36 or
dimensionless. 37) values based upon the test condition cal-
μ = Gas viscosity, micropoise. culated Reynolds number (Equation 39). Fol-
q = Total run time, min. low these procedures.
ra = Density of acetone, mg/ml (see label on (a) Use Equation 39 to calculate the ‘‘Z’’
bottle). values. If the ‘‘Z’’ value is between 0.99 and
12.0 = Constant calculated as 60 percent of 1.01, the D50–1 value is the best estimate of
20.5 square inch cross-sectional area of the cyclone IV D50 cut diameter for your test
combined cyclone head, square inches. run.
479
(b) If the ‘‘Z’’ value is greater than 1.01 or 12.3.2.3 Particulate weight catch per size
less than 0.99, re-establish a Cr based on the fraction. Correct each of the PM weights per
D50–1 value determined in either Equations 36 size fraction by subtracting the acetone
or 37, depending upon the test condition Rey- blank weight (i.e., M2,3,4–Wa). (NOTE: Do not
nolds number. subtract a blank value of greater than 0.1 mg
(c) Use the second revised Cr to re-calculate per 100 ml of the acetone used from the sam-
the cyclone IV D50. ple recovery.) Use the following procedures.
(d) Repeat this iterative process as many (a) Use Equation 45 to calculate the PM re-
times as necessary using the prescribed covered from Containers #1, #2, #3, and #4.
equations until you achieve the criteria doc- This is the total collectible PM (Ctf).
umented in Equation 40. (b) Use Equation 46 to determine the quan-
titative recovery of PM10 (CfPM10) from Con-
12.3.2 Particulate Concentration. Use the
tainers #1, #3, and #4.
particulate catch weights in the combined
(c) Use Equation 47 to determine the quan-
cyclone sampling train to calculate the con- titative recovery of PM2.5 (CfPM2.5) recovered
centration of PM in the various size ranges. from Containers #1 and #4.
You must correct the concentrations for the 12.4 Reporting. You must prepare a test
acetone blank. report following the guidance in EPA Guid-
12.3.2.1 Acetone blank concentration. Use ance Document 043, Preparation and Review
Equation 42 to calculate the acetone blank of Test Reports (December 1998).
concentration (Ca). 12.5 Equations. Use the following equa-
12.3.2.2 Acetone blank residue weight. Use tions to complete the calculations required
Equation 44 to calculate the acetone blank in this test method.
weight (Wa (2,3,4)). Subtract the weight of the Molecular Weight of Dry Gas. Calculate the
acetone blank from the particulate weight molecular weight of the dry gas using Equa-
catch in each size fraction. tion 1.
Molecular Weight of Wet Gas. Calculate the

molecular weight of the stack gas on a wet
basis using Equation 2.
Gas Stream Viscosity. Calculate the gas equation uses constants for gas temperatures
stream viscosity using Equation 3. This in °R.
Cunningham Correction Factor. The ER21DE10.003</GPH>

Cunningham correction factor is calculated
for a 2.25 micrometer diameter particle.
ER21DE10.002</GPH>
ER21DE10.001</GPH>
Lower Limit Cut Diameter for Cyclone I for tion factor is calculated for a 2.25 microm-
Nre Less than 3,162. The Cunningham correc- eter diameter particle.
480
ER21DE10.000</GPH>
Cut Diameter for Cyclone I for the Middle of

the Overlap Zone.
Sampling Rate Using Both PM10 and PM2.5

Cyclones.
Sampling Rate Using Only PM2.5 Cyclone.
ER21MR18.001</GPH>
Reynolds Number.
ER30AU16.001</GPH>
ER21DE10.006</GPH>
Meter Box Orifice Pressure Drop.

ER21DE10.005</GPH>
481
ER21DE10.004</GPH>
Lower Limit Cut Diameter for Cyclone I for Cunningham correction factor is calculated
Nre Greater than or Equal to 3,162. The for a 2.25 micrometer diameter particle.
Velocity of Stack Gas. Correct the mean pre-

liminary velocity pressure for Cp and block-
age using Equations 25, 26, and 27.
Calculated Nozzle Diameter for Acceptable

Sampling Rate.
Velocity of Gas in Nozzle.
ER21DE10.014</GPH>
ER21DE10.013</GPH>
ER21DE10.012</GPH>
Minimum Nozzle/Stack Velocity Ratio Param-

eter.
ER21DE10.011</GPH>
482
ER21DE10.010</GPH>
Maximum Nozzle/Stack Velocity Ratio Param-

eter.
Minimum Gas Velocity for Rmin Less than 0.5.
Minimum Gas Velocity for Rmin Greater than

or Equal to 0.5.
ER21DE10.021</GPH>
Maximum Gas Velocity for Rmax Less than to
1.5.
ER21DE10.020</GPH>
Maximum Gas Velocity for Rmax Greater than
ER21DE10.019</GPH>
or Equal to 1.5.
ER21DE10.018</GPH>
Minimum Velocity Pressure.

ER21DE10.017</GPH>
ER21DE10.016</GPH>
Maximum Velocity Pressure.
483
ER21DE10.015</GPH>
Sampling Dwell Time at Each Point. Ntp is must use the preliminary velocity traverse
the total number of traverse points. You data.
Adjusted Velocity Pressure.
Average Probe Blockage Factor.
Velocity Pressure.
ER21DE10.026</GPH>
ER21DE10.025</GPH>
Dry Gas Volume Sampled at Standard Condi-

tions.
ER21DE10.024</GPH>
ER14NO18.059</GPH>
484
ER21DE10.022</GPH>
Sample Flow Rate at Standard Conditions.
Volume of Water Vapor.
Moisture Content of Gas Stream.
Sampling Rate.
ER21DE10.032</GPH>
ER21DE10.031</GPH>
(NOTE: The viscosity and Reynolds Number Actual Particle Cut Diameter for Cyclone I.
must be recalculated using the actual stack This is based on actual temperatures and
temperature, moisture, and oxygen content.) pressures measured during the test run.
ER21DE10.030</GPH>
ER21DE10.029</GPH>
Particle Cut Diameter for Nre Less than 3,162 the actual test data and a D50 for 2.5 microm-
for Cyclone IV. C must be recalculated using eter diameter particle size.
ER21DE10.028</GPH>
485
ER21DE10.027</GPH>
Particle Cut Diameter for Nre Greater than or culated using the actual test run data and a
Equal to 3,162 for Cyclone IV. C must be recal- D50 for 2.5 micrometer diameter particle size.
Re-estimated Cunningham Correction Factor. priate D50 from Equation 33 or 34 (or Equa-
You must use the actual test run Reynolds tion 37 or 38 if reiterating).
Number (Nre) value and select the appro-
Re-calculated Particle Cut Diameter for Nre

Less than 3,162.
ER21DE10.038</GPH>
Re-calculated Particle Cut Diameter for N
Greater than or Equal to 3,162.
ER21DE10.037</GPH>
ER21DE10.036</GPH>
Ratio (Z) Between D50 and D50–1 Values.

ER21DE10.035</GPH>
ER21DE10.034</GPH>
Acceptance Criteria for Z Values. The num-

ber of iterative steps is represented by N.
486
ER21DE10.033</GPH>
Percent Isokinetic Sampling.
Acetone Blank Concentration.
Acetone Blank Correction Weight.
ER21DE10.045</GPH>
Acetone Blank Weight.
ER21DE10.044</GPH>
Concentration of Total Filterable PM.
ER21DE10.043</GPH>
ER21DE10.042</GPH>
Concentration of Filterable PM10.

ER21DE10.041</GPH>
ER21DE10.040</GPH>
Concentration of Filterable PM2.5.
487
ER21DE10.039</GPH>
13.0 Method Performance 16.0 References

13.1 Field evaluation of PM10 and total (1) Dawes, S.S., and W.E. Farthing. 1990.
PM showed that the precision of constant ‘‘Application Guide for Measurement of
sampling rate method was the same mag- PM2.5 at Stationary Sources,’’ U.S. Environ-
nitude as Method 17 of appendix A–6 to part mental Protection Agency, Atmospheric Re-
60 (approximately five percent). Precision in search and Exposure Assessment Laboratory,
PM10 and total PM between multiple trains Research Triangle Park, NC, 27511, EPA–600/
showed standard deviations of four to five 3–90/057 (NTIS No.: PB 90–247198).
percent and total mass compared to 4.7 per- (2) Farthing, et al. 1988a. ‘‘PM10 Source
cent observed for Method 17 in simultaneous Measurement Methodology: Field Studies,’’
test runs at a Portland cement clinker cool- EPA 600/3–88/055, NTIS PB89–194278/AS, U.S.
er exhaust. The accuracy of the constant Environmental Protection Agency, Research
sampling rate PM10 method for total mass, Triangle Park, NC 27711.
referenced to Method 17, was ¥2 ±4.4 percent
(3) Farthing, W.E., and S.S. Dawes. 1988b.
(Farthing, 1988a).
13.2 Laboratory evaluation and guidance ‘‘Application Guide for Source PM10 Meas-
for PM10 cyclones were designed to limit urement with Constant Sampling Rate,’’
error due to spatial variations to 10 percent. EPA/600/3–88–057, U.S. Environmental Protec-
The maximum allowable error due to an tion Agency, Research Triangle Park, NC
isokinetic sampling was limited to ±20 per- 27711.
cent for 10 micrometer particles in labora- (4) Richards, J.R. 1996. ‘‘Test protocol: PCA
tory tests (Farthing, 1988b). PM10/PM2.5 Emission Factor Chemical Char-
13.3 A field evaluation of the revised acterization Testing,’’ PCA R&D Serial No.
Method 201A by EPA showed that the detec- 2081, Portland Cement Association.
tion limit was 2.54 mg for total filterable (5) U.S. Environmental Protection Agency,
PM, 1.44 mg for filterable PM10, and 1.35 mg Federal Reference Methods 1 through 5 and
for PM2.5. The precision resulting from 10 Method 17, 40 CFR part 60, Appendix A–1
quadruplicate tests (40 test runs) conducted through A–3 and A–6.
for the field evaluation was 6.7 percent rel- (6) U.S. Environmental Protection Agency.
ative standard deviation. The field evalua- 2010. ‘‘Field Evaluation of an Improved Meth-
tion also showed that the blank expected od for Sampling and Analysis of Filterable
from Method 201A was less than 0.9 mg (EPA, and Condensable Particulate Matter.’’ Office
2010). of Air Quality Planning and Standards, Sec-
tor Policy and Program Division Monitoring
14.0 Alternative Procedures Policy Group. Research Triangle Park, NC
Alternative methods for estimating the 27711.
moisture content (ALT–008) and thermo-
couple calibration (ALT–011) can be found at 17.0 Tables, Diagrams, Flowcharts, and
http://www.epa.gov/ttn/emc/approalt.html. Validation Data
You must use the following tables, dia-
15.0 Waste Management
grams, flowcharts, and data to complete this
[Reserved] test method successfully.
TABLE 1—TYPICAL PM CONCENTRATIONS
Particle size range Concentration and % by weight
Total collectible particulate .................................................................................. 0.015 gr/DSCF.

Less than or equal to 10 and greater than 2.5 micrometers .............................. 40% of total collectible PM.
≤2.5 micrometers ................................................................................................. 20% of total collectible PM.
TABLE 2—REQUIRED CYCLONE CUT DIAMETERS (D50)

Min. cut Max. cut
Cyclone diameter diameter
(micrometer) (micrometer)
PM10 Cyclone (Cyclone I from five stage cyclone) ................................................................... 9 11

PM2.5 Cyclone (Cyclone IV from five stage cyclone) ................................................................ 2.25 2.75
488
ER21DE10.046</GPH>
TABLE 3—TEST CALCULATIONS

If you are using . . . To calculate . . . Then use . . .
Preliminary data ....................................................... Dry gas molecular weight, Md ................................. Equation 1.

Dry gas molecular weight (Md) and preliminary wet gas molecular weight, MW ............................... Equation 2.a
moisture content of the gas stream.
Stack gas temperature, and oxygen and moisture gas viscosity, μ ....................................................... Equation 3.
content of the gas stream.
Gas viscosity, μ ....................................................... Cunningham correction factor b, C .......................... Equation 4.
Reynolds Number c (Nre) .......................................... Preliminary lower limit cut diameter for cyclone I, Equation 5.
Nre less than 3,162 .................................................. D50LL.
D50LL from Equation 5 ............................................. Cut diameter for cyclone I for middle of the over- Equation 6.
lap zone, D50T.
D50T from Equation 6 ............................................... Final sampling rate for cyclone I, QI(Qs) ................ Equation 7.
D50 for PM2.5 cyclone and Nre less than 3,162 ........ Final sampling rate for cyclone IV, QIV .................. Equation 8.
D50 for PM2.5 cyclone and Nre greater than or equal Final sampling rate for cyclone IV, QIV .................. Equation 9.
to 3,162.
QI(Qs) from Equation 7 ............................................ Verify the assumed Reynolds number, Nre ............ Equation 10.
a Use Method 4 to determine the moisture content of the stack gas. Use a wet bulb-dry bulb measurement device or hand-held
hygrometer to estimate moisture content of sources with gas temperature less than 160 °F.
b For the lower cut diameter of cyclone IV, 2.25 micrometer.
c Verify the assumed Reynolds number, using the procedure in Section 8.5.1, before proceeding to Equation 11.
TABLE 4—DH VALUES BASED ON PRELIMINARY TRAVERSE DATA

Stack Temperature (°R) Ts—50° Ts Ts + 50°
DH, (inches W.C.) a a a

a These values are to be filled in by the stack tester.
TABLE 5—VERIFICATION OF THE ASSUMED REYNOLDS NUMBER

If the Nre is . . . Then . . . And . . .
Less than 3,162 ......................................................................... Calculate DH for the meter box Assume original D50LL is cor-
rect
Greater than or equal to 3,162 .................................................. Recalculate D50LL using Equa- Substitute the ‘‘new’’ D50LL
tion 12. into Equation 6 to recal-
culate D50T.
TABLE 6—CALCULATIONS FOR RECOVERY OF PM10 AND PM2.5

Calculations Instructions and References
Average dry gas meter temperature ........................................... See field test data sheet.
Average orifice pressure drop ..................................................... See field test data sheet.
Dry gas volume (Vms) .................................................................. Use Equation 28 to correct the sample volume measured by
the dry gas meter to standard conditions (20 °C, 760 mm Hg
or 68 °F, 29.92 inches Hg).
Dry gas sampling rate (QsST) ...................................................... Must be calculated using Equation 29.
Volume of water condensed (Vws) .............................................. Use Equation 30 to determine the water condensed in the
impingers and silica gel combination. Determine the total
moisture catch by measuring the change in volume or weight
in the impingers and weighing the silica gel.
Moisture content of gas stream (Bws) ......................................... Calculate this using Equation 31.
Sampling rate (Qs) ....................................................................... Calculate this using Equation 32.
Test condition Reynolds numbera ............................................... Use Equation 10 to calculate the actual Reynolds number dur-
ing test conditions.
Actual D50 of cyclone I ................................................................ Calculate this using Equation 33. This calculation is based on
the average temperatures and pressures measured during
the test run.
Stack gas velocity (vs) ................................................................. Calculate this using Equation 13.
Percent isokinetic rate (%I) ......................................................... Calculate this using Equation 41.
a Calculate the Reynolds number at the cyclone IV inlet during the test based on: (1) The sampling rate for the combined cy-
clone head, (2) the actual gas viscosity for the test, and (3) the dry and wet gas stream molecular weights.
489
490
ER21DE10.047</GPH>
491
ER21DE10.048</GPH>
492
ER21DE10.049</GPH>
493
ER21DE10.050</GPH>
494
ER21DE10.051</GPH>
495
ER21DE10.052</GPH>
496
ER21DE10.053</GPH>
497
ER07OC20.003</GPH>
ER21DE10.056</GPH>
498
ER21DE10.055</GPH>
METHOD 202—DRY IMPINGER METHOD FOR DE- emissions to the atmosphere, then you must
TERMINING CONDENSABLE PARTICULATE combine the procedures in this method with
EMISSIONS FROM STATIONARY SOURCES the procedures in Method 201A of appendix M
to this part for measuring filterable PM.
1.0 Scope and Applicability
However, if the gas filtration temperature
1.1 Scope. The U.S. Environmental Pro- never exceeds 30 °C (85 °F), then use of this
tection Agency (U.S. EPA or ‘‘we’’) devel- method is not required to measure total pri-
oped this method to describe the procedures mary PM.
that the stack tester (‘‘you’’) must follow to (b) If Method 17 of appendix A–6 to part 60
measure condensable particulate matter is used in conjunction with this method and
(CPM) emissions from stationary sources.
constant weight requirements for the in-
This method includes procedures for meas-
stack filter cannot be met, the Method 17 fil-
uring both organic and inorganic CPM.
1.2 Applicability. This method addresses ter and sampling nozzle rinse must be treat-
the equipment, preparation, and analysis ed as described in Sections 8.5.4.4 and 11.2.1
necessary to measure only CPM. You can use of this method. (See Section 3.0 for a defini-
this method only for stationary source emis- tion of constant weight.) Extracts resulting
sion measurements. You can use this method from the use of this procedure must be fil-
to measure CPM from stationary source tered to remove filter fragments before the
emissions after filterable particulate matter filter is processed and weighed.
(PM) has been removed. CPM is measured in 1.3 Responsibility. You are responsible for
the emissions after removal from the stack obtaining the equipment and supplies you
and after passing through a filter. will need to use this method. You should also
(a) If the gas filtration temperature ex- develop your own procedures for following
ceeds 30 °C (85 °F) and you must measure this method and any additional procedures
both the filterable and condensable (material to ensure accurate sampling and analytical
that condenses after passing through a filter)
measurements.
components of total primary (direct) PM
499
ER21DE10.057</GPH>
1.4 Additional Methods. To obtain reliable filter represents the CPM. Compared to the
results, you should have a thorough knowl- version of Method 202 that was promulgated
edge of the following test methods that are on December 17, 1991, this method eliminates
found in appendices A–1 through A–3 and A– the use of water as the collection media in
6 to part 60, and in appendix M to this part: impingers and includes the addition of a con-
(a) Method 1—Sample and velocity tra- denser followed by a water dropout impinger
verses for stationary sources. immediately after the final in-stack or heat-
(b) Method 2—Determination of stack gas ed filter. This method also includes the addi-
velocity and volumetric flow rate (Type S tion of one modified Greenburg Smith im-
pitot tube). pinger (backup impinger) and a CPM filter
(c) Method 3—Gas analysis for the deter- following the water dropout impinger. Fig-
mination of dry molecular weight. ure 1 of Section 18 presents the schematic of
(d) Method 4—Determination of moisture the sampling train configured with these
content in stack gases. changes.
(e) Method 5—Determination of particulate 2.1.1 Condensable PM. CPM is collected in
matter emissions from stationary sources. the water dropout impinger, the modified
(f) Method 17—Determination of particu- Greenburg Smith impinger, and the CPM fil-
late matter emissions from stationary ter of the sampling train as described in this
sources (in-stack filtration method). method. The impinger contents are purged
(g) Method 201A—Determination of PM10 with nitrogen immediately after sample col-
and PM2.5 emissions from stationary sources lection to remove dissolved sulfur dioxide
(Constant sampling rate procedure). (SO2) gases from the impinger. The CPM fil-
(h) You will need additional test methods ter is extracted with water and hexane. The
to measure filterable PM. You may use impinger solution is then extracted with
Method 5 (including Method 5A, 5D and 5I hexane. The organic and aqueous fractions
but not 5B, 5E, 5F, 5G, or 5H) of appendix A– are dried and the residues are weighed. The
3 to part 60, or Method 17 of appendix A–6 to total of the aqueous and organic fractions
part 60, or Method 201A of appendix M to this represents the CPM.
part to collect filterable PM from stationary 2.1.2 Dry Impinger and Additional Filter.
sources with temperatures above 30 °C (85 °F) The potential artifacts from SO2 are reduced
in conjunction with this method. However, if using a condenser and water dropout im-
the gas filtration temperature never exceeds pinger to separate CPM from reactive gases.
30 °C (85 °F), then use of this method is not No water is added to the impingers prior to
required to measure total primary PM. the start of sampling. To improve the collec-
1.5 Limitations. You can use this method tion efficiency of CPM, an additional filter
to measure emissions in stacks that have en- (the ‘‘CPM filter’’) is placed between the sec-
trained droplets only when this method is ond and third impingers.
combined with a filterable PM test method
that operates at high enough temperatures 3.0 Definitions
to cause water droplets sampled through the 3.1 Condensable PM (CPM) means material
probe to become vaporous. that is vapor phase at stack conditions, but
1.6 Conditions. You must maintain condenses and/or reacts upon cooling and di-
isokinetic sampling conditions to meet the lution in the ambient air to form solid or liq-
requirements of the filterable PM test meth- uid PM immediately after discharge from
od used in conjunction with this method. the stack. Note that all condensable PM is
You must sample at the required number of assumed to be in the PM2.5 size fraction.
sampling points specified in Method 5 of ap- 3.2 Constant weight means a difference of
pendix A–3 to part 60, Method 17 of appendix no more than 0.5 mg or one percent of total
A–6 to part 60, or Method 201A of appendix M weight less tare weight, whichever is great-
to this part. Also, if you are using this meth- er, between two consecutive weighings, with
od as an alternative to a required perform- no less than six hours of desiccation time be-
ance test method, you must receive approval tween weighings.
from the regulatory authority that estab- 3.3 Field Train Proof Blank. A field train
lished the requirement to use this test meth- proof blank is recovered on site from a clean,
od prior to conducting the test. fully-assembled sampling train prior to con-
2.0 Summary of Method ducting the first emissions test.
3.4 Filterable PM means particles that are
2.1 Summary. The CPM is collected in dry emitted directly by a source as a solid or liq-
impingers after filterable PM has been col- uid at stack or release conditions and cap-
lected on a filter maintained as specified in tured on the filter of a stack test train.
either Method 5 of appendix A–3 to part 60, 3.5 Primary PM (also known as direct PM)
Method 17 of appendix A–6 to part 60, or means particles that enter the atmosphere
Method 201A of appendix M to this part. The as a direct emission from a stack or an open
organic and aqueous fractions of the source. Primary PM comprises two compo-
impingers and an out-of-stack CPM filter are nents: filterable PM and condensable PM.
then taken to dryness and weighed. The These two PM components have no upper
total of the impinger fractions and the CPM particle size limit.
500
3.6 Primary PM2.5 (also known as direct or federal laws, you may have to develop pro-
PM2.5, total PM2.5, PM2.5, or combined filter- cedures to conform to the plant health and
able PM2.5 and condensable PM) means PM safety requirements.
with an aerodynamic diameter less than or
equal to 2.5 micrometers. These solid par- 6.0 Equipment and Supplies
ticles are emitted directly from an air emis-
The equipment used in the filterable par-
sions source or activity, or are the gaseous
ticulate portion of the sampling train is de-
emissions or liquid droplets from an air
scribed in Methods 5 and 17 of appendix A–1
emissions source or activity that condense
to form PM at ambient temperatures. Direct through A–3 and A–6 to part 60 and Method
PM2.5 emissions include elemental carbon, di- 201A of appendix M to this part. The equip-
rectly emitted organic carbon, directly emit- ment used in the CPM portion of the train is
ted sulfate, directly emitted nitrate, and described in this section.
other inorganic particles (including but not 6.1 Condensable Particulate Sampling
limited to crustal material, metals, and sea Train Components. The sampling train for
salt). this method is used in addition to filterable
3.7 Primary PM10 (also known as direct particulate collection using Method 5 of ap-
PM10, total PM10, PM10, or the combination pendix A–3 to part 60, Method 17 of appendix
of filterable PM10 and condensable PM) A–6 to part 60, or Method 201A of appendix M
means PM with an aerodynamic diameter to this part. This method includes the fol-
equal to or less than 10 micrometers. lowing exceptions or additions:
3.8 ASTM E617–13. ASTM E617–13 ‘‘Stand- 6.1.1 Probe Extension and Liner. The
ard Specification for Laboratory Weights probe extension between the filterable par-
and Precisions Mass Standards,’’ approved ticulate filter and the condenser must be
May 1, 2013, was developed and adopted by glass- or fluoropolymer-lined. Follow the
the American Society for Testing and Mate- specifications for the probe liner specified in
rials (ASTM). The standards cover weights Section 6.1.1.2 of Method 5 of appendix A–3 to
and mass standards used in laboratories for part 60.
specific classes. The ASTM E617–13 standard 6.1.2 Condenser and Impingers. You must
has been approved for incorporation by ref- add the following components to the filter-
erence by the Director of the Office of the able particulate sampling train: A Method 23
Federal Register in accordance with 5 U.S.C. type condenser as described in Section 2.1.2
552(a) and 1 CFR part 51. The standard may of Method 23 of appendix A–8 to part 60, fol-
be obtained from http://www.astm.org or from
lowed by a water dropout impinger or flask,
the ASTM at 100 Barr Harbor Drive, P.O. Box
followed by a modified Greenburg-Smith im-
C700, West Conshohocken, PA 19428–2959. All
pinger (backup impinger) with an open tube
approved material is available for inspection
tip as described in Section 6.1.1.8 of Method
at EPA WJC West Building, Room 3334, 1301
5 of appendix A–3 to part 60.
Constitution Ave. NW., Washington, DC
20460, telephone number 202–566–1744. It is 6.1.3 CPM Filter Holder. The modified
also available for inspection at the National Greenburg-Smith impinger is followed by a
Archives and Records Administration filter holder that is either glass, stainless
(NARA). For information on the availability steel (316 or equivalent), or fluoropolymer-
of this material at NARA, call 202–741–6030 or coated stainless steel. Commercial size filter
go to http://www.archives.gov/federallregister/ holders are available depending on project
codeloflfederallregulations/ requirements. Use a commercial filter holder
ibrllocations.html. capable of supporting 47 mm or greater di-
ameter filters. Commercial size filter holders
4.0 Interferences contain a fluoropolymer O-ring, stainless
[Reserved] steel, ceramic or fluoropolymer filter sup-
port and a final fluoropolymer O-ring. A fil-
5.0 Safety ter that meets the requirements specified in
Section 7.1.1 may be placed behind the CPM
Disclaimer. Because the performance of
this method may require the use of haz- filter to reduce the pressure drop across the
ardous materials, operations, and equipment, CPM filter. This support filter is not part of
you should develop a health and safety plan the PM sample and is not recovered with the
to ensure the safety of your employees who CPM filter. At the exit of the CPM filter, in-
are on site conducting the particulate emis- stall a fluoropolymer-coated or stainless
sion test. Your plan should conform with all steel encased thermocouple that is in con-
applicable Occupational Safety and Health tact with the gas stream.
Administration, Mine Safety and Health Ad- 6.1.4 Long Stem Impinger Insert. You will
ministration, and Department of Transpor- need a long stem modified Greenburg Smith
tation regulatory requirements. Because of impinger insert for the water dropout im-
the unique situations at some facilities and pinger to perform the nitrogen purge of the
because some facilities may have more strin- sampling train.
gent requirements than is required by State 6.2 Sample Recovery Equipment.
501
6.2.1 Condensable PM Recovery. Use the You will find additional information on each
following equipment to quantitatively deter- of these items in the following summaries.
mine the amount of CPM recovered from the 7.1.1 CPM Filter. You must use a nonreac-
sampling train. tive, nondisintegrating polymer filter that
(a) Nitrogen purge line. You must use inert does not have an organic binder and does not
tubing and fittings capable of delivering at contribute more than 0.5 mg of residual mass
least 14 liters/min of nitrogen gas to the im- to the CPM measurements. The CPM filter
pinger train from a standard gas cylinder must also have an efficiency of at least 99.95
(see Figures 2 and 3 of Section 18). You may percent (less than 0.05 percent penetration)
use standard 0.6 centimeters (1⁄4 inch) tubing on 0.3 micrometer dioctyl phthalate par-
and compression fittings in conjunction with ticles. You may use test data from the sup-
an adjustable pressure regulator and needle plier’s quality control program to document
valve. the CPM filter efficiency.
(b) Rotameter. You must use a rotameter 7.1.2 Silica Gel. Use an indicating-type
capable of measuring gas flow up to 20 L/min. silica gel of six to 16 mesh. You must obtain
The rotameter must be accurate to five per- approval of the Administrator for other
cent of full scale. types of desiccants (equivalent or better) be-
(c) Nitrogen gas purging system. Com- fore you use them. Allow the silica gel to dry
pressed ultra-pure nitrogen, regulator, and for two hours at 175 °C (350 °F) if it is being
filter must be capable of providing at least 14 reused. You do not have to dry new silica gel
L/min purge gas for one hour through the if the indicator shows the silica gel is active
sampling train. for moisture collection.
(d) Amber glass bottles (500 ml). 7.1.3 Water. Use deionized, ultra-filtered
6.2.2 Analysis Equipment. The following water that contains 1.0 parts per million by
equipment is necessary for CPM sample weight (ppmw) (1 mg/L) residual mass or less
analysis: to recover and extract samples.
(a) Separatory Funnel. Glass, 1 liter. 7.1.4 Crushed Ice. Obtain from the best
(b) Weighing Tins. 50 ml. Glass evaporation readily available source.
vials, fluoropolymer beaker liners, or alu- 7.1.5 Nitrogen Gas. Use Ultra-High Purity
minum weighing tins can be used. compressed nitrogen or equivalent to purge
(c) Glass Beakers. 300 to 500 ml. the sampling train. The compressed nitrogen
(d) Drying Equipment. A desiccator con- you use to purge the sampling train must
taining anhydrous calcium sulfate that is contain no more than 1 parts per million by
maintained below 10 percent relative humid- volume (ppmv) oxygen, 1 ppmv total hydro-
ity, and a hot plate or oven equipped with carbons as carbon, and 2 ppmv moisture. The
temperature control. compressed nitrogen must not contribute
(e) Glass Pipets. 5 ml. more than 0.1 mg of residual mass per purge.
(f) Burette. Glass, 0 to 100 ml in 0.1 ml 7.2 Sample Recovery and Analytical Re-
graduations. agents. You will need acetone, hexane, anhy-
(g) Analytical Balance. Analytical balance drous calcium sulfate, ammonia hydroxide,
capable of weighing at least 0.0001 g (0.1 mg). and deionized water for the sample recovery
(h) pH Meter or Colormetric pH Indicator. and analysis. Unless otherwise indicated, all
The pH meter or colormetric pH indicator reagents must conform to the specifications
(e.g., phenolphthalein) must be capable of de- established by the Committee on Analytical
termining the acidity of liquid within 0.1 pH Reagents of the American Chemical Society.
units. If such specifications are not available, then
(i) Sonication Device. The device must use the best available grade. Additional in-
have a minimum sonication frequency of 20 formation on each of these items is in the
kHz and be approximately four to six inches following paragraphs:
deep to accommodate the sample extractor 7.2.1 Acetone. Use acetone that is stored
tube. in a glass bottle. Do not use acetone from a
(j) Leak-Proof Sample Containers. Con- metal container because it normally pro-
tainers used for sample and blank recovery duces a high residual mass in the laboratory
must not contribute more than 0.05 mg of re- and field reagent blanks. You must use ace-
sidual mass to the CPM measurements. tone that has a blank value less than 1.0
(k) Wash bottles. Any container material ppmw (0.1 mg/100 g) residue.
is acceptable, but wash bottles used for sam- 7.2.2 Hexane, American Chemical Society
ple and blank recovery must not contribute grade. You must use hexane that has a blank
more than 0.1 mg of residual mass to the residual mass value less than 1.0 ppmw (0.1
CPM measurements. mg/100 g) residue.
7.2.3 Water. Use deionized, ultra-filtered
7.0 Reagents and Standards
water that contains 1 ppmw (1 mg/L) residual
7.1 Sample Collection. To collect a sam- mass or less to recover material caught in
ple, you will need a CPM filter, crushed ice, the impinger.
and silica gel. You must also have water and 7.2.4 Condensable Particulate Sample
nitrogen gas to purge the sampling train. Desiccant. Use indicating-type anhydrous
502
calcium sulfate to desiccate water and or- bake glassware at 300 °C for six hours prior
ganic extract residue samples prior to weigh- to beginning tests at each source category
ing. sampled at a facility. As an alternative to
7.2.5 Ammonium Hydroxide. Use National baking glassware, a field train proof blank,
Institute of Standards and Technology-trace- as specified in Section 8.5.4.10, can be per-
able or equivalent (0.1 N) NH4OH. formed on the sampling train glassware that
7.2.6 Standard Buffer Solutions. Use one is used to collect CPM samples. Prior to each
buffer solution with a neutral pH and a sec- sampling run, the train glassware used to
ond buffer solution with an acid pH of no less collect condensable PM must be rinsed thor-
than 4. oughly with deionized, ultra-filtered water
that that contains 1 ppmw (1 mg/L) residual
8.0 Sample Collection, Preservation, Storage, mass or less.
and Transport 8.4.1 Condenser and Water Dropout Im-
8.1 Qualifications. This is a complex test pinger. Add a Method 23 type condenser and
method. To obtain reliable results, you a condensate dropout impinger without bub-
should be trained and experienced with in- bler tube after the final probe extension that
stack filtration systems (such as, cyclones, connects the in-stack or out-of-stack hot fil-
impactors, and thimbles) and impinger and ter assembly with the CPM sampling train.
moisture train systems. The Method 23 type stack gas condenser is
8.2 Preparations. You must clean all described in Section 2.1.2 of Method 23. The
glassware used to collect and analyze sam- condenser must be capable of cooling the
ples prior to field tests as described in Sec- stack gas to less than or equal to 30 °C (85
tion 8.4 prior to use. Cleaned glassware must °F).
be used at the start of each new source cat- 8.4.2 Backup Impinger. The water dropout
egory tested at a single facility. Analyze lab- impinger is followed by a modified
oratory reagent blanks (water, acetone, and Greenburg Smith impinger (backup im-
hexane) before field tests to verify low blank pinger) with no taper (see Figure 1 of Section
concentrations. Follow the pretest prepara- 18). Place the water dropout and backup
tion instructions in Section 8.1 of Method 5. impingers in an insulated box with water at
8.3 Site Setup. You must follow the proce- less than or equal to 30 °C (less than or equal
dures required in Methods 5, 17, or 201A, to 85 °F). At the start of the tests, the water
whichever is applicable to your test require- dropout and backup impingers must be
ments including: clean, without any water or reagent added.
(a) Determining the sampling site location 8.4.3 CPM Filter. Place a filter holder
and traverse points. with a filter meeting the requirements in
(b) Calculating probe/cyclone blockage (as Section 7.1.1 after the backup impinger. The
appropriate). connection between the CPM filter and the
(c) Verifying the absence of cyclonic flow. moisture trap impinger must include a ther-
(d) Completing a preliminary velocity pro- mocouple fitting that provides a leak-free
file, and selecting a nozzle(s) and sampling seal between the thermocouple and the stack
rate. gas. (NOTE: A thermocouple well is not suffi-
8.3.1 Sampling Site Location. Follow the cient for this purpose because the
standard procedures in Method 1 of appendix fluoropolymer- or steel-encased thermo-
A–1 to part 60 to select the appropriate sam- couple must be in contact with the sample
pling site. Choose a location that maximizes gas.)
the distance from upstream and downstream 8.4.4 Moisture Traps. You must use a
flow disturbances. modified Greenburg-Smith impinger con-
8.3.2 Traverse points. Use the required taining 100 ml of water, or the alternative
number of traverse points at any location, as described in Method 5 of appendix A–3 to part
found in Methods 5, 17, or 201A, whichever is 60, followed by an impinger containing silica
applicable to your test requirements. You gel to collect moisture that passes through
must prevent the disturbance and capture of the CPM filter. You must maintain the gas
any solids accumulated on the inner wall temperature below 20 °C (68 °F) at the exit of
surfaces by maintaining a 1-inch distance the moisture traps.
from the stack wall (0.5 inch for sampling lo- 8.4.5 Silica Gel Trap. Place 200 to 300 g of
cations less than 24 inches in diameter). silica gel in each of several air-tight con-
8.4 Sampling Train Preparation. A sche- tainers. Weigh each container, including sili-
matic of the sampling train used in this ca gel, to the nearest 0.5 g, and record this
method is shown in Figure 1 of Section 18. weight on the filterable particulate data
All glassware that is used to collect and ana- sheet. As an alternative, the silica gel need
lyze samples must be cleaned prior to the not be preweighed, but may be weighed di-
test with soap and water, and rinsed using rectly in its impinger or sampling holder
tap water, deionized water, acetone, and fi- just prior to train assembly.
nally, hexane. It is important to completely 8.4.6 Leak-Check (Pretest). Use the proce-
remove all silicone grease from areas that dures outlined in Method 5 of appendix A–3
will be exposed to the hexane rinse during to part 60, Method 17 of appendix A–6 to part
sample recovery. After cleaning, you must 60, or Method 201A of appendix M to this part
503
as appropriate to leak check the entire sam- um equal to or greater than the maximum
pling system. Specifically, perform the fol- vacuum achieved during the test run. If the
lowing procedures: leak rate of the sampling train exceeds 0.02
8.4.6.1 Sampling train. You must pretest actual cubic feet per minute or four percent
the entire sampling train for leaks. The pre- of the average sampling rate during the test
test leak-check must have a leak rate of not run (whichever is less), then the run is in-
more than 0.02 actual cubic feet per minute valid and you must repeat it.
or 4 percent of the average sample flow dur- 8.5.3 Post-Test Nitrogen Purge. As soon as
ing the test run, whichever is less. Addition- possible after the post-test leak-check, de-
ally, you must conduct the leak-check at a tach the probe, any cyclones, and in-stack or
vacuum equal to or greater than the vacuum hot filters from the condenser and impinger
anticipated during the test run. Enter the train. If no water was collected before the
leak-check results on the field test data CPM filter, then you may skip the remaining
sheet for the filterable particulate method. purge steps and proceed with sample recov-
(NOTE: Conduct leak-checks during port ery (see Section 8.5.4). You may purge the
changes only as allowed by the filterable CPM sampling train using the sampling sys-
particulate method used with this method.) tem meter box and vacuum pump or by pass-
8.4.6.2 Pitot tube assembly. After you ing nitrogen through the train under pres-
leak-check the sample train, perform a leak- sure. For either type of purge, you must first
check of the pitot tube assembly. Follow the attach the nitrogen supply line to a purged
procedures outlined in Section 8.4.1 of Meth- inline filter.
od 5. 8.5.3.1 If you choose to conduct a pressur-
8.5 Sampling Train Operation. Operate
ized nitrogen purge at the completion of
the sampling train as described in the filter-
CPM sample collection, you may purge the
able particulate sampling method (i.e., Meth-
entire CPM sample collection train from the
od 5 of appendix A–3 to part 60, Method 17 of
condenser inlet to the CPM filter holder out-
appendix A–6 to part 60, or Method 201A of
let or you may quantitatively transfer the
appendix M to this part) with the following
water collected in the condenser and the
additions or exceptions:
water dropout impinger to the backup im-
8.5.1 Impinger and CPM Filter Assembly.
8.5.1.1 Monitor the moisture condensation pinger and purge only the backup impinger
in the knockout and backup impingers. If and the CPM filter. You must measure the
the accumulated water from moisture con- water in the knockout and backup impingers
densation overwhelms the knockout im- and record the volume or weight as part of
pinger, i.e., the water level is more than ap- the moisture collected during sampling as
proximately one-half the capacity of the specified in Section 8.5.3.4.
knockout impinger, or if water accumulates 8.5.3.1.1 If you choose to conduct a purge
in the backup impinger sufficient to cover of the entire CPM sampling train, you must
the impinger insert tip, then you may inter- replace the short stem impinger insert in the
rupt the sampling run, recover and weigh the knock out impinger with a standard modi-
moisture accumulated in the knockout and fied Greenburg Smith impinger insert.
backup impinger, reassemble and leak check 8.5.3.1.2 If you choose to combine the
the sampling train, and resume the sampling knockout and backup impinger catch prior
run. You must purge the water collected dur- to purge, you must purge the backup im-
ing the test interruption as soon as practical pinger and CPM filter holder.
following the procedures in Section 8.5.3. 8.5.3.1.3 If the tip of the impinger insert
8.5.1.2 You must include the weight or does not extend below the water level (in-
volume of the moisture in your moisture cal- cluding the water transferred from the first
culation and you must combine the recov- impinger if this option was chosen), you
ered water with the appropriate sample frac- must add a measured amount of degassed,
tion for subsequent CPM analysis. deionized ultra-filtered water that contains 1
8.5.1.3 Use the field data sheet for the fil- ppmw (1 mg/L) residual mass or less until the
terable particulate method to record the impinger tip is at least 1 centimeter below
CPM filter temperature readings at the be- the surface of the water. You must record
ginning of each sample time increment and the amount of water added to the water
when sampling is halted. Maintain the CPM dropout impinger (Vp)(see Figure 4 of Sec-
filter greater than 20 °C (greater than 65 °F) tion 18) to correct the moisture content of
but less than or equal to 30 °C (less than or the effluent gas. (Note: Prior to use, water
equal to 85 °F) during sample collection. must be degassed using a nitrogen purge bub-
(Note: Maintain the temperature of the CPM bled through the water for at least 15 min-
filter assembly as close to 30 °C (85 °F) as fea- utes to remove dissolved oxygen).
sible.) 8.5.3.1.4 To perform the nitrogen purge
8.5.2 Leak-Check Probe/Sample Train As- using positive pressure nitrogen flow, you
sembly (Post-Test). Conduct the leak rate must start with no flow of gas through the
check according to the filterable particulate clean purge line and fittings. Connect the fil-
sampling method used during sampling. If ter outlet to the input of the impinger train
required, conduct the leak-check at a vacu- and disconnect the vacuum line from the
504
exit of the silica moisture collection im- liquid collected in the moisture traps has not
pinger (see Figure 3 of Section 18). You may been determined prior to conducting the ni-
purge only the CPM train by disconnecting trogen purge, maintain the temperature of
the moisture train components if you meas- the moisture traps following the CPM filter
ure moisture in the field prior to the nitro- to prevent removal of moisture during the
gen purge. You must increase the nitrogen purge. If necessary, add more ice during the
flow gradually to avoid over-pressurizing the purge to maintain the gas temperature
impinger array. You must purge the CPM measured at the exit of the silica gel im-
train at a minimum of 14 liters per minute pinger below 20 °C (68 °F). Continue the purge
for at least one hour. At the conclusion of under these conditions for at least one hour,
the purge, turn off the nitrogen delivery sys- checking the rotameter and DH@ value(s) pe-
tem. riodically. At the conclusion of the purge, si-
8.5.3.2 If you choose to conduct a nitrogen multaneously turn off the delivery and
purge on the complete CPM sampling train pumping systems.
using the sampling system meter box and 8.5.3.4 Weigh the liquid, or measure the
vacuum pump, replace the short stem im- volume of the liquid collected in the drop-
pinger insert with a modified Greenberg out, impingers, and silica trap if this has not
Smith impinger insert. The impinger tip been done prior to purging the sampling
length must extend below the water level in train. Measure the liquid in the water drop-
the impinger catch. out impinger to within 1 ml using a clean
(a) You must conduct the purge on the graduated cylinder or by weighing it to with-
complete CPM sampling train starting at the in 0.5 g using a balance. Record the volume
inlet of the condenser. If insufficient water or weight of liquid present to be used to cal-
was collected, you must add a measured culate the moisture content of the effluent
amount of degassed, deionized ultra-filtered gas in the field log notebook.
water that contains 1 ppmw (1 mg/L) residual 8.5.3.5 If a balance is available in the field,
mass or less until the impinger tip is at least weigh the silica impinger to within 0.5 g.
1 centimeter below the surface of the water. Note the color of the indicating silica gel in
You must record the amount of water added the last impinger to determine whether it
to the water dropout impinger (Vp) (see Fig- has been completely spent, and make a nota-
ure 4 of Section 18) to correct the moisture tion of its condition in the field log note-
content of the effluent gas. (NOTE: Prior to book.
use, water must be degassed using a nitrogen 8.5.4 Sample Recovery.
purge bubbled through the water for at least 8.5.4.1 Recovery of filterable PM. Recovery
15 minutes to remove dissolved oxygen.) of filterable PM involves the quantitative
(b) You must start the purge using the transfer of particles according to the filter-
sampling train vacuum pump with no flow of able particulate sampling method (i.e., Meth-
gas through the clean purge line and fittings. od 5 of appendix A–3 to part 60, Method 17 of
Connect the filter outlet to the input of the appendix A–6 to part 60, or Method 201A of
impinger train (see Figure 2 of Section 18). appendix M to this part).
To avoid over- or under-pressurizing the im- 8.5.4.2 CPM Container #1, Aqueous liquid
pinger array, slowly commence the nitrogen impinger contents. Quantitatively transfer liq-
gas flow through the line while simulta- uid from the dropout and the backup
neously opening the meter box pump impingers prior to the CPM filter into a
valve(s). Adjust the pump bypass and/or ni- clean, leak-proof container labeled with test
trogen delivery rates to obtain the following identification and ‘‘CPM Container #1, Aque-
conditions: 14 liters/min or DH@ and a posi- ous Liquid Impinger Contents.’’ Rinse all
tive overflow rate through the rotameter of sampling train components including the
less than 2 liters/min. The presence of a posi- back half of the filterable PM filter holder,
tive overflow rate guarantees that the nitro- the probe extension, condenser, each im-
gen delivery system is operating at greater pinger and the connecting glassware, and the
than ambient pressure and prevents the pos- front half of the CPM filter housing twice
sibility of passing ambient air (rather than with water. Recover the rinse water, and add
nitrogen) through the impingers. Continue it to CPM Container #1. Mark the liquid
the purge under these conditions for at least level on the container.
one hour, checking the rotameter and DH@ 8.5.4.3 CPM Container #2, Organic rinses.
value(s) at least every 15 minutes. At the Follow the water rinses of the back half of
conclusion of the purge, simultaneously turn the filterable PM filter holder, probe exten-
off the delivery and pumping systems. sion, condenser, each impinger, and all of the
8.5.3.3 During either purge procedure, con- connecting glassware and front half of the
tinue operation of the condenser recircula- CPM filter with an acetone rinse. Recover
tion pump, and heat or cool the water sur- the acetone rinse into a clean, leak-proof
rounding the first two impingers to maintain container labeled with test identification
the gas temperature measured at the exit of and ‘‘CPM Container #2, Organic Rinses.’’
the CPM filter greater than 20 °C (greater Then repeat the entire rinse procedure with
than 65 °F), but less than or equal to 30 °C two rinses of hexane, and save the hexane
(less than or equal to 85 °F). If the volume of rinses in the same container as the acetone
505
rinse (CPM Container #2). Mark the liquid used for sample recovery and place it in a
level on the jar. clean, leak-proof container labeled with test
8.5.4.4 CPM Container #3, CPM filter sam- identification and ‘‘CPM Container #8,
ple. Use tweezers and/or clean disposable sur- Hexane Field Reagent Blank’’ (see Section
gical gloves to remove the filter from the 11.2.8 for analysis). Mark the liquid level on
CPM filter holder. Place the filter in the the container. Collect one hexane field rea-
Petri dish labeled with test identification gent blank from the lot(s) of solvent used for
and ‘‘CPM Container #3, Filter Sample.’’ the test.
8.5.4.5 CPM Container #4, Cold impinger 8.5.4.10 Field train proof blank. If you did
water. You must weigh or measure the vol- not bake the sampling train glassware as
ume of the contents of CPM Container #4 ei- specified in Section 8.4, you must conduct a
ther in the field or during sample analysis field train proof blank as specified in Sec-
(see Section 11.2.4). If the water from the cold tions 8.5.4.11 and 8.5.4.12 to demonstrate the
impinger has been weighed in the field, it cleanliness of sampling train glassware.
can be discarded. Otherwise, quantitatively 8.5.4.11 CPM Container #9, Field train proof
transfer liquid from the cold impinger that blank, inorganic rinses. Prior to conducting
follows the CPM filter into a clean, leak- the emission test, rinse the probe extension,
proof container labeled with test identifica- condenser, each impinger and the connecting
tion and ‘‘CPM Container #4, Cold Water Im- glassware, and the front half of the CPM fil-
pinger.’’ Mark the liquid level on the con- ter housing twice with water. Recover the
tainer. CPM Container #4 holds the remain- rinse water and place it in a clean, leak-
der of the liquid water from the emission proof container labeled with test identifica-
gases. tion and ‘‘CPM Container #9, Field Train
8.5.4.6 CPM Container #5, Silica gel absorb- Proof Blank, Inorganic Rinses.’’ Mark the
ent. You must weigh the contents of CPM liquid level on the container.
Container #5 in the field or during sample 8.5.4.12 CPM Container #10, Field train
analysis (see Section 11.2.5). If the silica gel proof blank, organic rinses. Follow the water
has been weighed in the field to measure
rinse of the probe extension, condenser, each
water content, then it can be discarded or re-
impinger and the connecting glassware, and
covered for reuse. Otherwise, transfer the
the front half of the CPM filter housing with
silica gel to its original container labeled
an acetone rinse. Recover the acetone rinse
with test identification and ‘‘CPM Container
into a clean, leak-proof container labeled
#5, Silica Gel Absorbent’’ and seal. You may
with test identification and ‘‘CPM Container
use a funnel to make it easier to pour the
#10, Field Train Proof Blank, Organic
silica gel without spilling. You may also use
Rinses.’’ Then repeat the entire rinse proce-
a rubber policeman as an aid in removing the
dure with two rinses of hexane and save the
silica gel from the impinger. It is not nec-
essary to remove the small amount of silica hexane rinses in the same container as the
gel dust particles that may adhere to the im- acetone rinse (CPM Container #10). Mark the
pinger wall and are difficult to remove. liquid level on the container.
Since the gain in weight is to be used for 8.5.5 Transport procedures. Containers
moisture calculations, do not use any water must remain in an upright position at all
or other liquids to transfer the silica gel. times during shipping. You do not have to
8.5.4.7 CPM Container #6, Acetone field rea- ship the containers under dry or blue ice.
gent blank. Take approximately 200 ml of the However, samples must be maintained at or
acetone directly from the wash bottle you below 30 °C (85 °F) during shipping.
used for sample recovery and place it in a 9.0 Quality Control
clean, leak-proof container labeled with test
identification and ‘‘CPM Container #6, Ace- 9.1 Daily Quality Checks. You must per-
tone Field Reagent Blank’’ (see Section 11.2.6 form daily quality checks of field log note-
for analysis). Mark the liquid level on the books and data entries and calculations
container. Collect one acetone field reagent using data quality indicators from this
blank from the lot(s) of solvent used for the method and your site-specific test plan. You
test. must review and evaluate recorded and
8.5.4.8 CPM Container #7, Water field rea- transferred raw data, calculations, and docu-
gent blank. Take approximately 200 ml of the mentation of testing procedures. You must
water directly from the wash bottle you used initial or sign log notebook pages and data
for sample recovery and place it in a clean, entry forms that were reviewed.
leak-proof container labeled with test identi- 9.2 Calculation Verification. Verify the
fication and ‘‘CPM Container #7, Water Field calculations by independent, manual checks.
Reagent Blank’’ (see Section 11.2.7 for anal- You must flag any suspect data and identify
ysis). Mark the liquid level on the container. the nature of the problem and potential ef-
Collect one water field reagent blank from fect on data quality. After you complete the
the lot(s) of water used for the test. test, prepare a data summary and compile
8.5.4.9 CPM Container #8, Hexane field rea- all the calculations and raw data sheets.
gent blank. Take approximately 200 ml of the 9.3 Conditions. You must document data
hexane directly from the wash bottle you and information on the process unit tested,
506
the particulate control system used to con- 4. You must purge the assembled train as de-
trol emissions, any non-particulate control scribed in section 8.5.3. You must recover
system that may affect particulate emis- field train blank samples as described in sec-
sions, the sampling train conditions, and tion 8.5.4. From the field sample weight, you
weather conditions. Discontinue the test if will subtract the condensable particulate
the operating conditions may cause non-rep- mass you determine with this blank train or
resentative particulate emissions. 0.002 g (2.0 mg), whichever is less.
9.4 Field Analytical Balance Calibration
Check. Perform calibration check procedures 10.0 Calibration and Standardization
on field analytical balances each day that Maintain a field log notebook of all con-
they are used. You must use National Insti- densable particulate sampling and analysis
tute of Standards and Technology (NIST)- calibrations. Include copies of the relevant
traceable weights at a mass approximately portions of the calibration and field logs in
equal to the weight of the sample plus con- the final test report.
tainer you will weigh. 10.1 Thermocouple Calibration. You must
9.5 Glassware. Use class A volumetric calibrate the thermocouples using the proce-
glassware for titrations, or calibrate your dures described in Section 10.3.1 of Method 2
equipment against NIST-traceable glass- of appendix A–1 to part 60 or Alternative
ware. Method 2, Thermocouple Calibration (ALT–
9.6 Laboratory Analytical Balance Cali- 011) (http://www.epa.gov/ttn/emc). Calibrate
bration Check. Check the calibration of your each temperature sensor at a minimum of
laboratory analytical balance each day that three points over the anticipated range of
you weigh CPM samples. You must use NIST use against a NIST-traceable thermometer.
Class S weights at a mass approximately Alternatively, a reference thermocouple and
equal to the weight of the sample plus con- potentiometer calibrated against NIST
tainer you will weigh. standards can be used.
9.7 Laboratory Reagent Blanks. You 10.2 Ammonium Hydroxide. The 0.1 N
should run blanks of water, acetone, and NH4OH used for titrations in this method is
hexane used for field recovery and sample made as follows: Add 7 ml of concentrated
analysis. Analyze at least one sample (150 ml (14.8 M) NH4OH to l liter of water. Stand-
minimum) of each lot of reagents that you ardize against standardized 0.1 N H2SO4, and
plan to use for sample recovery and analysis calculate the exact normality using a proce-
before you begin testing. These blanks are dure parallel to that described in Section 10.5
not required by the test method, but running of Method 6 of appendix A–4 to 40 CFR part
blanks before field use is advisable to verify 60. Alternatively, purchase 0.1 N NH4OH that
low blank concentrations, thereby reducing has been standardized against a NIST ref-
the potential for a high field blank on test erence material. Record the normality on
samples. the CPM Work Table (see Figure 6 of Section
9.8 Field Reagent Blanks. You should run 18).
at least one field reagent blank of water, ac- 10.3 Field Balance Calibration Check.
etone, and hexane you use for field recovery. Check the calibration of the balance used to
These blanks are not required by the test weigh impingers with a weight that is at
method, but running independent field rea- least 500g or within 50g of a loaded impinger.
gent blanks is advisable to verify that low The weight must be ASTM E617–13 ‘‘Stand-
blank concentrations were maintained dur- ard Specification for Laboratory Weights
ing field solvent use and demonstrate that and Precision Mass Standards’’ Class 6 (or
reagents have not been contaminated during better). Daily before use, the field balance
field tests. must measure the weight within ± 0.5g of the
9.9 Field Train Proof Blank. If you are certified mass. If the daily balance calibra-
not baking glassware as specified in Section tion check fails, perform corrective meas-
8.4, you must recover a minimum of one field ures and repeat the check before using bal-
train proof blank for the sampling train used ance.
for testing each new source category at a 10.4 Analytical Balance Calibration. Per-
single facility. You must assemble the sam- form a multipoint calibration (at least five
pling train as it will be used for testing. You points spanning the operational range) of the
must recover the field train proof blank sam- analytical balance before the first use, and
ples as described in Section 8.5.4.11 and semiannually thereafter. The calibration of
8.5.4.12. the analytical balance must be conducted
9.10 Field Train Recovery Blank. You using ASTM E617–13 ‘‘Standard Specification
must recover a minimum of one field train for Laboratory Weights and Precision Mass
blank for each source category tested at the Standards’’ Class 2 (or better) tolerance
facility. You must recover the field train weights. Audit the balance each day it is
blank after the first or second run of the used for gravimetric measurements by
test. You must assemble the sampling train weighing at least one ASTM E617–13 Class 2
as it will be used for testing. Prior to the tolerance (or better) calibration weight that
purge, you must add 100 ml of water to the corresponds to 50 to 150 percent of the weight
first impinger and record this data on Figure of one filter or between 1g and 5g. If the scale
507
cannot reproduce the value of the calibration tents of Container #2. Repeat this extraction
weight to within 0.5mg of the certified mass, step twice for a total of three extractions.
perform corrective measures, and conduct 11.2.2 CPM Container #1, Aqueous Liquid
the multipoint calibration before use. Impinger Contents. Analyze the water solu-
ble CPM in Container #1 as described in this
11.0 Analytical Procedures section. Place the contents of Container #1
11.1 Analytical Data Sheets. (a) Record into a separatory funnel. Add approximately
the filterable particulate field data on the 30 ml of hexane to the funnel, mix well, and
appropriate (i.e., Method 5, 17, or 201A) ana- pour off the upper organic phase. Repeat this
lytical data sheets. Alternatively, data may procedure twice with 30 ml of hexane each
be recorded electronically using software ap- time combining the organic phase from each
plications such as the Electronic Reporting extraction. Each time, leave a small amount
Tool available at http://www.epa.gov/ttn/chief/ of the organic/hexane phase in the sepa-
ert/ertltool.html. Record the condensable par- ratory funnel, ensuring that no water is col-
ticulate data on the CPM Work Table (see lected in the organic phase. This extraction
Figure 6 of Section 18). should yield about 90 ml of organic extract.
(b) Measure the liquid in all containers ei- Combine the organic extract from Container
ther volumetrically to ±1 ml or gravimetri- #1 with the organic train rinse in Container
cally to ±0.5 g. Confirm on the filterable par- #2.
ticulate analytical data sheet whether leak- 11.2.2.1 Determine the inorganic fraction
age occurred during transport. If a notice- weight. Transfer the aqueous fraction from
able amount of leakage has occurred, either the extraction to a clean 500-ml or smaller
void the sample or use methods (subject to beaker. Evaporate to no less than 10 ml liq-
the approval of the Administrator) to correct uid on a hot plate or in the oven at 105 °C and
the final results. allow to dry at room temperature (not to ex-
11.2 Condensable PM Analysis. See the ceed 30 °C (85 °F)). You must ensure that
flow chart in Figure 7 of Section 18 for the water and volatile acids have completely
steps to process and combine fractions from evaporated before neutralizing nonvolatile
the CPM train. acids in the sample. Following evaporation,
11.2.1 Container #3, CPM Filter Sample. If desiccate the residue for 24 hours in a desic-
the sample was collected by Method 17 or cator containing anhydrous calcium sulfate.
Method 201A with a stack temperature below Weigh at intervals of at least 6 hours to a
30 °C (85 °F), transfer the filter and any loose constant weight. (See section 3.0 for a defini-
PM from the sample container to a tared tion of constant weight.) Report results to
glass weighing dish. (See Section 3.0 for a the nearest 0.1 mg on the CPM Work Table
definition of constant weight.) Desiccate the
(see Figure 6 of section 18) and proceed di-
sample for 24 hours in a desiccator con-
rectly to section 11.2.3. If the residue cannot
taining anhydrous calcium sulfate. Weigh to
be weighed to constant weight, re-dissolve
a constant weight and report the results to
the residue in 100 ml of deionized distilled
the nearest 0.1 mg. [Note: In-stack filter
ultra-filtered water that contains 1 ppmw (1
samples collected at 30 °C (85 °F) may include
mg/L) residual mass or less and continue to
both filterable insoluble particulate and con-
section 11.2.2.2.
densable particulate. The nozzle and front
half wash and filter collected at or below 30 11.2.2.2 Use titration to neutralize acid in
°C (85 °F) may not be heated and must be the sample and remove water of hydration. If
maintained at or below 30 °C (85 °F).] If the used, calibrate the pH meter with the neu-
sample was collected by Method 202, extract tral and acid buffer solutions. Then titrate
the CPM filter as follows: the sample with 0.1N NH4OH to a pH of 7.0, as
11.2.1.1 Extract the water soluble (aque- indicated by the pH meter or colorimetric
ous or inorganic) CPM from the CPM filter indicator. Record the volume of titrant used
by folding the filter in quarters and placing on the CPM Work Table (see Figure 6 of sec-
it into a 50-ml extraction tube. Add suffi- tion 18).
cient deionized, ultra-filtered water to cover 11.2.2.3 Using a hot plate or an oven at 105
the filter (e.g., 10 ml of water). Place the ex- °C, evaporate the aqueous phase to approxi-
tractor tube into a sonication bath and ex- mately 10 ml. Quantitatively transfer the
tract the water-soluble material for a min- beaker contents to a clean, 50-ml pre-tared
imum of two minutes. Combine the aqueous weighing tin and evaporate to dryness at
extract with the contents of Container #1. room temperature (not to exceed 30 °C (85
Repeat this extraction step twice for a total °F)) and pressure in a laboratory hood. Fol-
of three extractions. lowing evaporation, desiccate the residue for
11.2.1.2 Extract the organic soluble CPM 24 hours in a desiccator containing anhy-
from the CPM filter by adding sufficient drous calcium sulfate. Weigh at intervals of
hexane to cover the filter (e.g., 10 ml of at least 6 hours to a constant weight. (See
hexane). Place the extractor tube into a section 3.0 for a definition of constant
sonication bath and extract the organic solu- weight.) Report results to the nearest 0.1 mg
ble material for a minimum of two minutes. on the CPM Work Table (see Figure 6 of sec-
Combine the organic extract with the con- tion 18).
508
11.2.2.4 Calculate the correction factor to the water to a clean 250-ml beaker, and evap-
subtract the NH4∂ retained in the sample orate to approximately 10 ml liquid in the
using Equation 1 in section 12. oven at 105 °C. Quantitatively transfer the
11.2.3 CPM Container #2, Organic Frac- beaker contents to a clean 50 ml pre-tared
tion Weight Determination. Analyze the or- weighing tin and evaporate to dryness at
ganic soluble CPM in Container #2 as de- room temperature (not to exceed 30 °C (85
scribed in this section. Place the organic °F)) and pressure in a laboratory hood. Fol-
phase in a clean glass beaker. Evaporate the lowing evaporation, desiccate the residue for
organic extract at room temperature (not to 24 hours in a desiccator containing anhy-
exceed 30 °C (85 °F)) and pressure in a labora- drous calcium sulfate. Weigh at intervals of
tory hood to not less than 10 ml. Quan- at least six hours to a constant weight (i.e.,
titatively transfer the beaker contents to a less than or equal to 0.5 mg change from pre-
clean 50-ml pre-tared weighing tin and evap- vious weighing) and report results to the
orate to dryness at room temperature (not to nearest 0.1 mg on Figure 4 of Section 18.
exceed 30 °C (85 °F)) and pressure in a labora- 11.2.8 Hexane Field Reagent Blank, Con-
tory hood. Following evaporation, desiccate tainer #8. Use 150 ml of hexane from the
the organic fraction for 24 hours in a desic- blank container for this analysis. Transfer
cator containing anhydrous calcium sulfate. 150 ml of the hexane to a clean 250-ml beak-
Weigh at intervals of at least six hours to a er. Evaporate the hexane at room tempera-
constant weight (i.e., less than or equal to 0.5 ture (not to exceed 30 °C (85 °F)) and pressure
mg change from previous weighing), and re- in a laboratory hood to approximately 10 ml.
port results to the nearest 0.1 mg on the Quantitatively transfer the beaker contents
CPM Work Table (see Figure 6 of Section 18). to a clean 50-ml pre-tared weighing tin and
11.2.4 CPM Container #4, Cold Impinger evaporate to dryness at room temperature
Water. If the amount of water has not been (not to exceed 30 °C (85 °F)) and pressure in
determined in the field, note the level of liq- a laboratory hood. Following evaporation,
uid in the container, and confirm on the fil- desiccate the residue for 24 hours in a desic-
terable particulate analytical data sheet cator containing anhydrous calcium sulfate.
whether leakage occurred during transport.
Weigh at intervals of at least six hours to a
If a noticeable amount of leakage has oc-
constant weight (i.e., less than or equal to 0.5
curred, either void the sample or use meth-
mg change from previous weighing), and re-
ods (subject to the approval of the Adminis-
port results to the nearest 0.1 mg on Figure
trator) to correct the final results. Measure
4 of Section 18.
the liquid in Container #4 either
volumetrically to ±1 ml or gravimetrically 12.0 Calculations and Data Analysis
to ±0.5 g, and record the volume or weight on
the filterable particulate analytical data 12.1 Nomenclature. Report results in
sheet of the filterable PM test method. International System of Units (SI units) un-
11.2.5 CPM Container #5, Silica Gel Ab- less the regulatory authority for testing
sorbent. Weigh the spent silica gel (or silica specifies English units. The following no-
gel plus impinger) to the nearest 0.5 g using menclature is used.
a balance. This step may be conducted in the DH@ = Pressure drop across orifice at flow
field. Record the weight on the filterable rate of 0.75 SCFM at standard conditions,
particulate analytical data sheet of the fil- inches of water column (NOTE: Specific to
terable PM test method. each orifice and meter box).
11.2.6 Container #6, Acetone Field Rea- 17.03 = mg/milliequivalents for ammonium
gent Blank. Use 150 ml of acetone from the ion.
blank container used for this analysis.
ACFM = Actual cubic feet per minute.
Transfer 150 ml of the acetone to a clean 250-
Ccpm = Concentration of the condensable PM
ml beaker. Evaporate the acetone at room
in the stack gas, dry basis, corrected to
temperature (not to exceed 30 °C (85 °F)) and
standard conditions, milligrams/dry
pressure in a laboratory hood to approxi-
standard cubic foot.
mately 10 ml. Quantitatively transfer the
beaker contents to a clean 50-ml pre-tared mc = Mass of the NH4∂ added to sample to
weighing tin, and evaporate to dryness at form ammonium sulfate, mg.
room temperature (not to exceed 30 °C (85 mcpm = Mass of the total condensable PM,
°F)) and pressure in a laboratory hood. Fol- mg.
lowing evaporation, desiccate the residue for mfb = Mass of total CPM in field train recov-
24 hours in a desiccator containing anhy- ery blank, mg.
drous calcium sulfate. Weigh at intervals of mg = Milligrams.
at least six hours to a constant weight (i.e., mg/L = Milligrams per liter.
less than or equal to 0.5 mg change from pre- mi = Mass of inorganic CPM, mg.
vious weighing), and report results to the mib = Mass of inorganic CPM in field train re-
nearest 0.1 mg on Figure 4 of Section 19. covery blank, mg.
11.2.7 Water Field Reagent Blank, Con- mo = Mass of organic CPM, mg.
tainer #7. Use 150 ml of the water from the mob = Mass of organic CPM in field train
blank container for this analysis. Transfer blank, mg.
509
mr = Mass of dried sample from inorganic Vp = Volume of water added during train
fraction, mg. purge.
N = Normality of ammonium hydroxide 12.2 Calculations. Use the following equa-
titrant.
tions to complete the calculations required
ppmv = Parts per million by volume.
ppmw = Parts per million by weight. in this test method. Enter the appropriate
Vm(std) = Volume of gas sample measured by results from these calculations on the CPM
the dry gas meter, corrected to standard Work Table (see Figure 6 of Section 18).
conditions, dry standard cubic meter 12.2.1 Mass of ammonia correction. Cor-
(dscm) or dry standard cubic foot (dscf) rection for ammonia added during titration
as defined in Equation 5–1 of Method 5. of 100 ml aqueous CPM sample. This calcula-
Vt = Volume of NH4OH titrant, ml. tion assumes no waters of hydration.
12.2.2 Mass of the Field Train Recovery field train recovery blank, mfb, shall not ex-
Blank (mg). Per Section 9.10, the mass of the ceed 2.0 mg.
12.2.3 Mass of Inorganic CPM (mg).
12.2.4 Total Mass of CPM (mg).
12.2.5 Concentration of CPM (mg/dscf).
ER21DE10.062</GPH>
ER21DE10.061</GPH>
12.3 Emissions Test Report. You must pre- 14.0 Pollution Prevention
pare a test report following the guidance in
[Reserved]
EPA Guidance Document 043 (Preparation
and Review of Test Reports. December 1998). 15.0 Waste Management
ER21DE10.060</GPH>
13.0 Method Performance Solvent and water are evaporated in a lab-

oratory hood during analysis. No liquid
An EPA field evaluation of the revised
waste is generated in the performance of this
Method 202 showed the following precision in
method. Organic solvents used to clean sam-
the results: approximately 4 mg for total
pling equipment should be managed as RCRA
CPM, approximately 0.5 mg for organic CPM,
organic waste.
ER21DE10.059</GPH>
and approximately 3.5 mg for inorganic CPM.
510
ER21DE10.058</GPH>
16.0 Alternative Procedures Management Association Hazardous Waste
Combustion Specialty Conference. St. Louis,
Alternative Method 2, Thermocouple Cali-
Missouri. November 2–3, 2005.
bration (ALT–011) for the thermocouple cali-
bration can be found at http://www.epa.gov/ (7) Texas Air Control Board, Laboratory
ttn/emc/approalt.html. Division. 1976. ‘‘Determination of Particulate
in Stack Gases Containing Sulfuric Acid and/
17.0 References or Sulfur Dioxide.’’ Laboratory Methods for
Determination of Air Pollutants. Modified
(1) Commonwealth of Pennsylvania, De- December 3, 1976.
partment of Environmental Resources. 1960.
(8) Puget Sound Air Pollution Control
Chapter 139, Sampling and Testing (Title 25,
Agency, Engineering Division. 1983. ‘‘Partic-
Rules and Regulations, part I, Department of
ulate Source Test Procedures Adopted by
Environmental Resources, Subpart C, Pro-
Puget Sound Air Pollution Control Agency
tection of Natural Resources, Article III, Air
Resources). January 8, 1960. Board of Directors.’’ Seattle, Washington.
(2) DeWees, W.D. and K.C. Steinsberger. August 11, 1983.
1989. ‘‘Method Development and Evaluation (9) U.S. Environmental Protection Agency,
of Draft Protocol for Measurement of Con- Federal Reference Methods 1 through 5 and
densable Particulate Emissions.’’ Draft Re- Method 17, 40 CFR 60, appendix A–1 through
port. November 17, 1989. A–3 and A–6.
(3) DeWees, W.D., K.C. Steinsberger, G.M. (10) U.S. Environmental Protection Agen-
Plummer, L.T. Lay, G.D. McAlister, and R.T. cy. 2008. ‘‘Evaluation and Improvement of
Shigehara. 1989. ‘‘Laboratory and Field Eval- Condensable PM Measurement,’’ EPA Con-
uation of EPA Method 5 Impinger Catch for tract No. EP–D–07–097, Work Assignment 2–
Measuring Condensable Matter from Sta- 03, October 2008.
tionary Sources.’’ Paper presented at the (11) U.S. Environmental Protection Agen-
1989 EPA/AWMA International Symposium cy. 2005. ‘‘Laboratory Evaluation of Method
on Measurement of Toxic and Related Air 202 to Determine Fate of SO2 in Impinger
Pollutants. Raleigh, North Carolina. May 1– Water,’’ EPA Contract No. 68–D–02–061, Work
5, 1989. Assignment 3–14, September 30, 2005.
(4) Electric Power Research Institute (12) U.S. Environmental Protection Agen-
(EPRI). 2008. ‘‘Laboratory Comparison of cy. 2010. Field valuation of an Improved
Methods to Sample and Analyze Condensable Method for Sampling and Analysis of Filter-
PM.’’ EPRI Agreement EP–P24373/C11811 able and Condensable Particulate Matter. Of-
Condensable Particulate Methods: EPRI Col- fice of Air Quality Planning and Standards,
laboration with EPA, October 2008. Sector Policy and Program Division Moni-
(5) Nothstein, Greg. Masters Thesis. Uni- toring Policy Group. Research Triangle
versity of Washington. Department of Envi- Park, NC 27711.
ronmental Health. Seattle, Washington. (13) Wisconsin Department of Natural Re-
(6) Richards, J., T. Holder, and D. Goshaw. sources. 1988. Air Management Operations
2005. ‘‘Optimized Method 202 Sampling Train Handbook, Revision 3. January 11, 1988.
to Minimize the Biases Associated with
Method 202 Measurement of Condensable PM 18.0 Tables, Diagrams, Flowcharts, and
Emissions.’’ Paper presented at Air & Waste Validation Data
511
512
ER21DE10.063</GPH>
513
ER27FE14.002</GPH>
514
ER27FE14.003</GPH>
515
ER27FE14.004</GPH>
516
ER27FE14.005</GPH>
517
ER30AU16.002</GPH>
METHOD 203A—VISUAL DETERMINATION OF ure a distance of 1000 meters with a min-
OPACITY OF EMISSIONS FROM STATIONARY imum accuracy of ±10 percent.
SOURCES FOR TIME-AVERAGED REGULA- 6.4 Abney Level (optional). This device for
TIONS determining the vertical viewing angle
should measure within 5 degrees.
1.0 Scope and Application 6.5 Sling Psychrometer (optional). In case of
the formation of a steam plume, a wet- and
What is Method 203A? dry-bulb thermometer, accurate to 0.5 °C, are
Method 203A is an example test method mounted on a sturdy assembly and swung
suitable for State Implementation Plans rapidly in the air in order to determine the
(SIP) and is applicable to the determination relative humidity.
of the opacity of emissions from sources of 6.6 Binoculars (optional). Binoculars are
visible emissions for time-averaged regula- recommended to help identify stacks and to
tions. A time-averaged regulation is any reg- characterize the plume. An 8 × 50 or 10 × 50
ulation that requires averaging visible emis- magnification, color-corrected coated lenses
sion data to determine the opacity of visible and rectilinear field of view is recommended.
emissions over a specific time period. 6.7 Camera (optional). A camera is often
Method 203A is virtually identical to EPA’s used to document the emissions before and
Method 9 of 40 CFR Part 60, Appendix A, ex- after the actual opacity determination.
cept for the data-reduction procedures, 6.8 Safety Equipment. The following safety
which provide for averaging times other than equipment, which should be approved by the
6 minutes. Therefore, using Method 203A Occupational Safety and Health Association
with a 6-minute averaging time would be the (OSHA), is recommended: orange or yellow
same as following EPA Method 9. The certifi- hard hat, eye and ear protection, and steel-
cation procedures for this method are iden- toed safety boots.
tical to those provided in Method 9 and are 6.9 Clipboard and Accessories (optional). A
provided here, in full, for clarity and conven- clipboard, several ball-point pens (black ink
ience. An example visible emission observa- recommended), a rubber band, and several
tion form and instructions for its use can be visible emission observation forms facilitate
found in reference 7 of Section 17 of Method documentation.
9.
7.0 Reagents and Standards (Reserved]
2.0 Summary of Method
8.0 Sample Collection, Preservation, Storage,
The opacity of emissions from sources of and Transport
visible emissions is determined visually by
an observer certified according to the proce- What is the Test Procedure?
dures in Section 10 of this method. Readings An observer qualified in accordance with
taken every 15 seconds are averaged over a Section 10 of this method must use the fol-
time period specified in the applicable regu- lowing procedures to visually determine the
lation ranging from 2 minutes to 6 minutes. opacity of emissions from stationary
sources.
3.0 Definitions [Reserved]
8.1 Procedure for Emissions from Stacks.
4.0 Interferences [Reserved] These procedures are applicable for visually
determining the opacity of stack emissions
5.0 Safety [Reserved] by a qualified observer.
8.1.1 Position. You must stand at a dis-
6.0 Equipment and Supplies tance sufficient to provide a clear view of the
emissions with the sun oriented in the 140-
What equipment and supplies are needed?
degree sector to your back. Consistent with
6.1 Stop Watch. Two watches are required maintaining the above requirement as much
that provide a continuous display of time to as possible, you must make opacity observa-
the nearest second. tions from a position such that the line of vi-
6.2 Compass (optional). A compass is useful sion is approximately perpendicular to the
for determining the direction of the emission plume direction, and when observing opacity
point from the spot where the visible emis- of emissions from rectangular outlets (e.g.,
sions (VE) observer stands and for deter- roof monitors, open baghouses, non-circular
mining the wind direction at the source. For stacks), approximately perpendicular to the
accurate readings, the compass should be longer axis of the outlet. You should not in-
magnetic with resolution better than 10 de- clude more than one plume in the line of
grees. It is suggested that the compass be sight at a time when multiple plumes are in-
jewel-mounted and liquid-filled to dampen volved and, in any case, make opacity obser-
the needle swing; map reading compasses are vations with the line of sight perpendicular
excellent. to the longer axis of such a set of multiple
6.3 Range Finder (optional). Range finders stacks (e.g., stub stacks on baghouses).
determine distances from the observer to the 8.1.2 Field Records. You must record the
emission point. The instrument should meas- name of the plant, emission location, type of
518
facility, observer’s name and affiliation, a smoke meter which meets the requirements
sketch of the observer’s position relative to of Section 10.3 of this method. Certification
the source, and the date on a field data tests that do not meet the requirements of
sheet. An example visible emission observa- Sections 10.2 and 10.3 of this method are not
tion form can be found in reference 7 of Sec- valid.
tion 17 of this method. You must record the The certification must be valid for a period
time, estimated distance to the emission lo- of 6 months, and after each 6-month period,
cation, approximate wind direction, esti- the qualification procedures must be re-
mated wind speed, description of the sky peated by an observer in order to retain cer-
condition (presence and color of clouds), and tification.
plume background on the field data sheet at 10.2 What is the Certification Procedure?
the time opacity readings are initiated and The certification test consists of showing the
completed. candidate a complete run of 50 plumes, 25
8.1.3 Observations. You must make opacity black plumes and 25 white plumes, generated
observations at the point of greatest opacity by a smoke generator. Plumes must be pre-
in that portion of the plume where con- sented in random order within each set of 25
densed water vapor is not present. Do not black and 25 white plumes. The candidate as-
look continuously at the plume but, instead, signs an opacity value to each plume and
observe the plume momentarily at 15-second records the observation on a suitable form.
intervals. At the completion of each run of 50 readings,
8.1.3.1 Attached Steam Plumes. When con- the score of the candidate is determined. If a
densed water vapor is present within the candidate fails to qualify, the complete run
plume as it emerges from the emission out- of 50 readings must be repeated in any retest.
let, you must make opacity observations be- The smoke test may be administered as part
yond the point in the plume at which con- of a smoke school or training program, and
densed water vapor is no longer visible. You may be preceded by training or familiariza-
must record the approximate distance from tion runs of the smoke generator during
the emission outlet to the point in the plume which candidates are shown black and white
at which the observations are made. plumes of known opacity.
8.1.3.2 Detached Steam Plumes. When water 10.3 Smoke Generator.
vapor in the plume condenses and becomes 10.3.1 What are the Smoke Generator Speci-
visible at a distinct distance from the emis- fications? Any smoke generator used for the
sion outlet, you must make the opacity ob- purpose of Section 10.2 of this method must
servation at the emission outlet prior to the be equipped with a smoke meter installed to
condensation of water vapor and the forma- measure opacity across the diameter of the
tion of the steam plume. smoke generator stack. The smoke meter
8.2 Recording Observations. You must output must display in-stack opacity, based
record the opacity observations to the near- upon a path length equal to the stack exit
est 5 percent every 15 seconds on an observa- diameter on a full 0 to 100 percent chart re-
tional record sheet such as the example visi- corder scale. The smoke meter optical design
ble emission observation form in reference 7 and performance must meet the specifica-
of Section 17 of this method. Each observations shown in Table 203A–1 of this method.
tion recorded represents the average opacity The smoke meter must be calibrated as pre-
of emissions for a 15-second period. The over- scribed in Section 10.3.2 of this method prior
all length of time for which observations are to conducting each smoke reading test. At
recorded must be appropriate to the aver- the completion of each test, the zero and
aging time specified in the applicable regula- span drift must be checked and, if the drift
tion. exceeds ±1 percent opacity, the condition
must be corrected prior to conducting any
9.0 Quality Control [Reserved] subsequent test runs. The smoke meter must
be demonstrated at the time of installation
10.0 Calibration and Standardization
to meet the specifications listed in Table
10.1 What are the Certification Require- 203A–1 of this method. This demonstration
ments? To receive certification as a qualified must be repeated following any subsequent
observer, you must be trained and knowl- repair or replacement of the photocell or as-
edgeable on the procedures in Section 8.0 of sociated electronic circuitry including the
this method, be tested and demonstrate the chart recorder or output meter, or every 6
ability to assign opacity readings in 5 per- months, whichever occurs first.
cent increments to 25 different black plumes 10.3.2 How is the Smoke Meter Calibrated?
and 25 different white plumes, with an error The smoke meter is calibrated after allowing
not to exceed 15 percent opacity on any one a minimum of 30 minutes warm-up by alter-
reading and an average error not to exceed nately producing simulated opacity of 0 per-
7.5 percent opacity in each category. You cent and 100 percent. When a stable response
must be tested according to the procedures at 0 percent or 100 percent is noted, the
described in Section 10.2 of this method. Any smoke meter is adjusted to produce an out-
smoke generator used pursuant to Section put of 0 percent or 100 percent, as appro-
10.2 of this method must be equipped with a priate. This calibration must be repeated
519
until stable 0 percent and 100 percent read- ters calibrated within 2 percent. Care should
ings are produced without adjustment. Simu- be taken when inserting the filters to pre-
lated 0 percent and 100 percent opacity val- vent stray light from affecting the meter.
ues may be produced by alternately switch- Make a total of five non-consecutive read-
ing the power to the light source on and off ings for each filter. The maximum opacity
while the smoke generator is not producing error on any one reading shall be ±3 percent.
smoke. 10.3.3.6 Zero and Span Drift. Determine the
10.3.3 How is the Smoke Meter Evaluated? zero and span drift by calibrating and oper-
The smoke meter design and performance ating the smoke generator in a normal man-
are to be evaluated as follows: ner over a 1-hour period. The drift is meas-
10.3.3.1 Light Source. You must verify from ured by checking the zero and span at the
manufacturer’s data and from voltage meas- end of this period.
urements made at the lamp, as installed, 10.3.3.7 Response Time. Determine the re-
that the lamp is operated within 5 percent of sponse time by producing the series of five
the nominal rated voltage. simulated 0 percent and 100 percent opacity
10.3.3.2 Spectral Response of the Photocell. values and observing the time required to
You must verify from manufacturer’s data reach stable response. Opacity values of 0
that the photocell has a photopic response; percent and 100 percent may be simulated by
i.e., the spectral sensitivity of the cell must alternately switching the power to the light
closely approximate the standard spectral- source off and on while the smoke generator
luminosity curve for photopic vision which is is not operating.
referenced in (b) of Table 203A–1 of this
method. 11.0 Analytical Procedures [Reserved]
10.3.3.3 Angle of View. You must check
12.0 Data Analysis and Calculations
construction geometry to ensure that the
total angle of view of the smoke plume, as 12.1 Time-Averaged Regulations. A set of
seen by the photocell, does not exceed 15 de- observations is composed of an appropriate
grees. Calculate the total angle of view as number of consecutive observations deter-
follows: mined by the averaging time specified (i.e., 8
jv = 2 tan¥1 (d/2L) observations for a two minute average). Di-
vide the recorded observations into sets of
Where: appropriate time lengths for the specified
jv = Total angle of view averaging time. Sets must consist of con-
d = The photocell diameter + the diameter of secutive observations; however, observations
the limiting aperture immediately preceding and following inter-
L = Distance from the photocell to the lim- rupted observations shall be deemed con-
iting aperture. secutive. Sets need not be consecutive in
The limiting aperture is the point in the time and in no case shall two sets overlap.
path between the photocell and the smoke For each set of observations, calculate the
plume where the angle of view is most re- average opacity by summing the opacity
stricted. In smoke generator smoke meters, readings taken over the appropriate time pe-
this is normally an orifice plate. riod and dividing by the number of readings.
10.3.3.4 Angle of Projection. You must For example, for a 2-minute average, eight
check construction geometry to ensure that consecutive readings would be averaged by
the total angle of projection of the lamp on adding the eight readings and dividing by
the smoke plume does not exceed 15 degrees. eight.
Calculate the total angle of projection as fol-
lows: 13.0 Method Performance
jp = 2 tan¥1 (d/2L) 13.1 Time-averaging Performances. The ac-
Where: curacy of test procedures for time-averaged
regulations was evaluated through field
jp = Total angle of projection studies that compare the opacity readings to
d = The sum of the length of the lamp fila- a transmissometer. Analysis of these data
ment + the diameter of the limiting aper- shows that, as the time interval for aver-
ture aging increases, the positive error decreases.
L = The distance from the lamp to the lim- For example, over a 2-minute time period, 90
iting aperture. percent of the results underestimated opac-
10.3.3.5 Calibration Error. Using neutral- ity or overestimated opacity by less than 9.5
density filters of known opacity, you must percent opacity, while over a 6-minute time
check the error between the actual response period, 90 percent of the data have less than
and the theoretical linear response of the a 7.5 percent positive error. Overall, the field
smoke meter. This check is accomplished by studies demonstrated a negative bias. Over a
first calibrating the smoke meter according 2-minute time period, 57 percent of the data
to Section 10.3.2 of this method and then in- have zero or negative error, and over a 6-
serting a series of three neutral-density fil- minute time period, 58 percent of the data
ters of nominal opacity of 20, 50, and 75 per- have zero or negative error. This means that
cent in the smoke meter path length. Use fil- observers are more likely to assign opacity
520
values that are below, rather than above, the Systems. Volume III, Section 3.1.2. Sta-
actual opacity value. Consequently, a larger tionary Source Specific Methods. EPA–600–4–
percentage of noncompliance periods will be 77–027b. August 1977. Office of Research and
reported as compliant periods rather than Development Publications, 26 West Clair
compliant periods reported as violations. Street, Cincinnati, OH.
Table 203A–2 highlights the precision data 4. Office of Air Quality Planning and Stand-
results from the June 1985 report: ‘‘Opacity ards. ‘‘Opacity Error for Averaging and Non-
Errors for Averaging and Non Averaging averaging Data Reduction and Reporting
Data Reduction and Reporting Techniques.’’ Techniques.’’ Final Report–SR–1–6–85. Emis-
sion Measurement Branch, Research Tri-
14.0 Pollution Prevention [Reserved]
angle Park, NC. June 1985.
15.0 Waste Management [Reserved] 5. U.S. Environmental Protection Agency.
Preparation, Adoption, and Submittal of
16.0 Alternative Procedures [Reserved] State Implementation Plans. Methods for
Measurement of PM10 Emissions from Sta-
17.0 References tionary Sources. Final Rule. FEDERAL REG-
1. U.S. Environmental Protection Agency. ISTER. Washington, DC. U.S. Government
Standards of Performance for New Sta- Printing Office. Volume 55, No. 74. Pages
tionary Sources; Appendix A; Method 9 for 14246–14279. April 17, 1990.
Visual Determination of the Opacity of 6. Office of Air Quality Planning and Stand-
Emissions from Stationary Sources. Final ards. ‘‘Collaborative Study of Opacity Obser-
Rule. 39 FR 219. Washington, DC. U.S. Gov- vations of Fugitive Emissions from Unpaved
ernment Printing Office. November 12, 1974. Roads by Certified Observers.’’ Emission
2. Office of Air and Radiation. ‘‘Quality As- Measurement Branch, Research Triangle
surance Guideline for Visible Emission Park, NC. October 1986.
Training Programs.’’ EPA–600/S4–83–011. 7. Office of Air Quality Planning and Stand-
Quality Assurance Division. Research Tri- ards. ‘‘Field Data Forms and Instructions for
angle Park, NC. May 1982. EPA Methods 203A, 203B, and 203C.’’ EPA 455/
3. Office of Research and Development. R–93–005. Stationary Source Compliance Di-
‘‘Method 9—Visible Determination of the vision, Washington, DC, June 1993.
Opacity of Emissions from Stationary
Sources.’’ February 1984. Quality Assurance 18.0 Tables, Diagrams, Flowcharts, and
Handbook for Air Pollution Measurement Validation Data
TABLE 203A–1—SMOKE METER DESIGN AND PERFORMANCE SPECIFICATIONS
Parameter Specification
a. Light Source ............................................................................ Incandescent lamp operated at nominal rated voltage.

b. Spectral response of photocell ................................................ Photopic (daylight spectral response of the human eye—Cita-
tion 3).
c. Angle of view ........................................................................... 15° maximum total angle.
d. Angle of projection .................................................................. 15° maximum total angle.
e. Calibration error ....................................................................... ±3% opacity, maximum.
f. Zero and span drift ................................................................... ±1% opacity, 30 minutes
g. Response time ........................................................................ 5 seconds.
TABLE 203A–2—PRECISION BETWEEN OBSERVERS: OPACITY AVERAGING

Standard Amount with
Number of
Averaging period deviation <7.5% opacity
observations (% opacity) difference
15-second .......................................................................................................... 140,250 3.4 87

2 minutes ........................................................................................................... 17,694 2.6 92
3 minutes ........................................................................................................... 11,836 2.4 92
6 minutes ........................................................................................................... 5,954 2.1 93
521
METHOD 203B—VISUAL DETERMINATION OF corded must be appropriate to the applicable
OPACITY OF EMISSIONS FROM STATIONARY regulation.
SOURCES FOR TIME-EXCEPTION REGULA-
TIONS 9.0 Quality Control [Reserved]
1.0 Scope and Application 10.0 Calibration and Standardization
What is Method 203B? The Calibration and Standardization re-

quirements are the same as specified in Sec-
Method 203B is an example test method tion 10 of Method 203A.
suitable for State Implementation Plans
(SIPs) and is applicable to the determination 11.0 Analytical Procedures [Reserved]
of the opacity of emissions from sources of
visible emissions for time-exception regula- 12.0 Data Analysis and Calculations
tions. A time-exception regulation means Data Reduction for Time-Exception Regu-
any regulation that allows predefined peri- lations. For a time-exception regulation, re-
ods of opacity above the otherwise applicable duce opacity observations as follows: Count
opacity limit (e.g., allowing exceedances of the number of observations above the appli-
20 percent opacity for 3 minutes in 1 hour.) cable standard and multiply that number by
Method 203B is virtually identical to EPA’s 0.25 to determine the minutes of emissions
Method 9 of 40 CFR part 60, Appendix A, ex- above the target opacity.
cept for the data-reduction procedures,
which have been modified to apply to time- 13.0 Method Performance
exception regulations. The certification pro-
cedures for this method are identical to 13.1 Time-Exception Regulations. ‘‘Opacity
those provided in Method 9. An example of a Errors for Averaging and Non-Averaging
visible emission observation form and in- Data Reduction and Reporting Techniques’’
structions for its use can be found in ref- analyzed the time errors associated with
erence 7 of Section 17 of Method 203A. false compliance or false non-compliance de-
terminations resulting from a sample of 1110
2.0 Summary of Method opacity readings with 6-minute observation
periods. The study applied a 20 percent opac-
The opacity of emissions from sources of ity standard. Fifty-one percent of the data
visible emissions is determined visually by a showed zero error in time determinations.
qualified observer. The standard deviation was 97.5 seconds for
the 6-minute time period.
3.0 Definitions [Reserved]
13.1.1 Overall, the study showed a negative
4.0 Interferences [Reserved] bias. Each reading is associated with a 15-sec-
ond block of time. The readings were multi-
5.0 Safety [Reserved] plied by 15 seconds and the resulting time
spent above the standard was compared to
6.0 Equipment and Supplies the transmissometer results. The average
amount of time that observations deviated
What equipment and supplies are needed?
from the transmissometer’s determinations
The same as specified in Section 6.0 of was ¥8.3 seconds. Seventy percent of the
Method 203A. time determinations were either correct or
underestimated the time of excess emissions.
7.0 Reagents and Standards [Reserved] Consequently, a larger percentage of non-
compliance periods would be reported as
compliant periods rather than compliant pe-
and Transport
riods reported as violations.
What is the Test Procedure? 13.1.2 Some time-exception regulations re-
duce the data by averaging over 1-minute peri-
The observer qualified in accordance with ods and then counting those minutes above the
Section 10 of Method 203A must use the fol- standard. This data reduction procedure re-
lowing procedures for visually determining sults in a less stringent standard than deter-
the opacity of emissions. minations resulting from data reduction pro-
8.1 Procedures for Emissions From Sta- cedures of Method 203B.
tionary Sources. The procedures for emissions
from stationary sources are the same as 14.0 Pollution Prevention [Reserved]
specified in 8.1 of Method 203A.
8.2 Recording Observations. You must 15.0 Waste Management [Reserved]
record opacity observations to the nearest 5
percent at 15-second intervals on an observa- 16.0 Alternative Procedures [Reserved]
tional record sheet. Each observation re-
17.0 References
corded represents the average opacity of
emissions for a 15-second period. The overall The references are the same as specified in
length of time for which observations are re- Section 17 of Method 203A.
522
18.0 Tables, Diagrams, Flowcharts, and ously at the plume, instead, observe the
Validation Data [Reserved] plume momentarily at 5-second intervals.
8.1.3.1 Attached Steam Plumes. Same as
METHOD 203C—VISUAL DETERMINATION OF
Section 8.1.3.1 of Method 203A.
OPACITY OF EMISSIONS FROM STATIONARY
8.1.3.2 Detached Steam Plumes. Same as
SOURCES FOR INSTANTANEOUS LIMITATION
REGULATIONS Section 8.1.3.2 of Method 203A.
8.2 Recording Observations. You must
1.0 Scope and Application record opacity observations to the nearest 5
percent at 5-second intervals on an observa-
What is Method 203C? tional record sheet. Each observation re-
Method 203C is an example test method corded represents the average of emissions
suitable for State Implementation Plans for the 5-second period. The overall time for
(SIPs) and is applicable to the determination which recordings are made must be of a
of the opacity of emissions from sources of length appropriate to the applicable regula-
visible emissions for regulations with an in- tion for which opacity is being measured.
stantaneous opacity limitation. An instanta-
neous opacity limitation is an opacity limit 9.0 Quality Control [Reserved]
which is never to be exceeded.
Method 203C is virtually identical to EPA’s 10.0 Calibration and Standardization
Method 9 of 40 CFR Part 60, Appendix A, ex- The calibration and standardization proce-
cept for 5-second reading intervals and the dures are the same as Section 10 of Method
data-reduction procedures, which have been
203A.
modified for instantaneous limitation regu-
lations. The certification procedures for this 11.0 Analytical Procedures [Reserved]
method are virtually identical to Method 9.
An example visible emission observation 12.0 Data Analysis and Calculations
form and instructions for its use can be
found in reference 7 of Section 17 of Method 12.1 Data Reduction for Instantaneous Limi-
203A. tation Regulations. For an instantaneous lim-
itation regulation, a 1-minute averaging
2.0 Summary of Method time will be used. You must divide the obser-
The opacity of emissions from sources of vations recorded on the record sheet into
visible emissions is determined visually by sets of consecutive observations. A set is
an observer certified according to the proce- composed of the consecutive observations
dures in Section 10 of Method 203A. made in 1 minute. Sets need not be consecu-
tive in time, and in no case must two sets
3.0 Definitions [Reserved] overlap. You must reduce opacity observa-
tions by dividing the sum of all observations
4.0 Interferences [Reserved]
recorded in a set by the number of observa-
5.0 Safety [Reserved] tions recorded in each set.
12.2 Reduce opacity observations by aver-
6.0 Equipment and Supplies aging 12 consecutive observations recorded at 5-
The equipment and supplies used are the second intervals. Divide the observations re-
same as Section 6.0 of Method 203A. corded on the record sheet into sets of 12
consecutive observations. For each set of 12
7.0 Reagents and Standards [Reserved] observations, calculate the average by sum-
ming the opacity of the 12 observations and
dividing this sum by 12.
and Transport
What is the Test Procedure? 13.0 Method Performance
The qualified observer must use the fol- The results of the ‘‘Collaborative Study of
lowing procedures for visually determining Opacity Observations at Five-second Inter-
the opacity of emissions. vals by Certified Observers’’ are almost iden-
8.1 Procedures for Emissions From Sta- tical to those of previous studies of Method
tionary Sources. These are the same as Sec- 9 observations taken at 15-second intervals
tion 8.1 of Method 203A. and indicate that observers can make valid
8.1.1 Position. Same as Section 8.1.1 of observations at 5-second intervals. The aver-
Method 203A. age difference of all observations from the
8.1.2 Field Records. Same as Section 8.1.2 transmissometer values was 8.8 percent opac-
of Method 203A. ity, which shows a fairly high negative bias.
8.1.3 Observations. Make opacity observa- Underestimating the opacity of the visible
tions at the point of greatest opacity in that emissions is more likely than overesti-
portion of the plume where condensed water mating the opacity of the emissions.
vapor is not present. Do not look continu-
523
14.0 Pollution Prevention [Reserved] 4. Safety
15.0 Waste Management [Reserved] An evaluation of the proposed building ma-

terials and the design for the enclosure is
16.0 Alternative Procedures [Reserved] recommended to minimize any potential haz-
ards.
17.0 References
5. Criteria for Temporary Total Enclosure
The references are the same as references
1–7 in Method 203A in addition to the fol- 5.1 Any NDO shall be at least four equiva-
lowing: lent opening diameters from each VOC emit-
1. Office of Air Quality Planning and ting point unless otherwise specified by the
Standards. ‘‘Collaborative Study of Opacity Administrator.
Observations at Five-second Intervals by 5.2 Any exhaust point from the enclosure
Certified Observers.’’ Docket A–84–22, IV–A– shall be at least four equivalent duct or hood
2. Emission Measurement Branch, Research diameters from each NDO.
Triangle Park, N.C. September 1990. 5.3 The total area of all NDO’s shall not
exceed 5 percent of the surface area of the
18.0 Tables, Diagrams, Flowcharts, and enclosure’s four walls, floor, and ceiling.
Validation Data 5.4 The average facial velocity (FV) of air
through all NDO’s shall be at least 3,600 m/hr
METHOD 204—CRITERIA FOR AND VERIFICATION (200 fpm). The direction of air flow through
OF A PERMANENT OR TEMPORARY TOTAL EN- all NDO’s shall be into the enclosure.
CLOSURE 5.5 All access doors and windows whose
areas are not included in section 5.3 and are
1. Scope and Application not included in the calculation in section 5.4
This procedure is used to determine wheth- shall be closed during routine operation of
er a permanent or temporary enclosure the process.
meets the criteria for a total enclosure. An
existing building may be used as a tem- 6. Criteria for a Permanent Total Enclosure
porary or permanent enclosure as long as it 6.1 Same as sections 5.1 and 5.3 through
meets the appropriate criteria described in 5.5.
this method. 6.2 All VOC emissions must be captured
and contained for discharge through a con-
2. Summary of Method trol device.
An enclosure is evaluated against a set of
7. Quality Control
criteria. If the criteria are met and if all the
exhaust gases from the enclosure are ducted 7.1 The success of this method lies in de-
to a control device, then the volatile organic signing the TTE to simulate the conditions
compounds (VOC) capture efficiency (CE) is that exist without the TTE (i.e., the effect of
assumed to be 100 percent, and CE need not the TTE on the normal flow patterns around
be measured. However, if part of the exhaust the affected facility or the amount of
gas stream is not ducted to a control device, uncaptured VOC emissions should be mini-
CE must be determined. mal). The TTE must enclose the application
stations, coating reservoirs, and all areas
3. Definitions from the application station to the oven. The
3.1 Natural Draft Opening (NDO). Any oven does not have to be enclosed if it is
permanent opening in the enclosure that re- under negative pressure. The NDO’s of the
mains open during operation of the facility temporary enclosure and an exhaust fan
and is not connected to a duct in which a fan must be properly sized and placed.
is installed. 7.2 Estimate the ventilation rate of the
3.2 Permanent Total Enclosure (PE). A TTE that best simulates the conditions that
permanently installed enclosure that com- exist without the TTE (i.e., the effect of the
pletely surrounds a source of emissions such TTE on the normal flow patterns around the
that all VOC emissions are captured and con- affected facility or the amount of
tained for discharge to a control device. uncaptured VOC emissions should be mini-
3.3 Temporary Total Enclosure (TTE). A mal). Figure 204–1 or the following equation
temporarily installed enclosure that com- may be used as an aid.
pletely surrounds a source of emissions such
QGCG
that all VOC emissions that are not directed
CE = Eq. 204-1
through the control device (i.e., uncaptured)
are captured by the enclosure and contained
QGCG + Q FCF
for discharge through ducts that allow for Measure the concentration (CG) and flow rate
the accurate measurement of the uncaptured (QG) of the captured gas stream, specify a
VOC emissions. safe concentration (CF) for the uncaptured
3.4 Building Enclosure (BE). An existing gas stream, estimate the CE, and then use
building that is used as a TTE. the plot in Figure 204–1 or Equation 204–1 to
524
ER16JN97.000</GPH>
determine the volumetric flow rate of the
uncaptured gas stream (QF). An exhaust fan AN
that has a variable flow control is desirable. NEAR = Eq. 204-2
7.3 Monitor the VOC concentration of the
AT
captured gas steam in the duct before the The NEAR must be ≤0.05.
capture device without the TTE. To mini- 8.3 Measure the volumetric flow rate, cor-
mize the effect of temporal variation on the rected to standard conditions, of each gas
captured emissions, the baseline measure- stream exiting the enclosure through an ex-
ment should be made over as long a time pe- haust duct or hood using EPA Method 2. In
riod as practical. However, the process condi- some cases (e.g., when the building is the en-
tions must be the same for the measurement closure), it may be necessary to measure the
in section 7.5 as they are for this baseline volumetric flow rate, corrected to standard
measurement. This may require short meas- conditions, of each gas stream entering the
enclosure through a forced makeup air duct
uring times for this quality control check
using Method 2. Calculate FV using the fol-
before and after the construction of the TTE.
lowing equation:
7.4 After the TTE is constructed, monitor
the VOC concentration inside the TTE. This QO − QI
concentration should not continue to in- FV = Eq. 204-3
crease, and must not exceed the safe level ac- AN
cording to Occupational Safety and Health
where:
Administration requirements for permissible
exposure limits. An increase in VOC con- QO = the sum of the volumetric flow from all
centration indicates poor TTE design. gas streams exiting the enclosure
7.5 Monitor the VOC concentration of the through an exhaust duct or hood.
QI = the sum of the volumetric flow from all
captured gas stream in the duct before the
gas streams into the enclosure through a
capture device with the TTE. To limit the ef-
forced makeup air duct; zero, if there is
fect of the TTE on the process, the VOC con- no forced makeup air into the enclosure.
centration with and without the TTE must AN = total area of all NDO’s in enclosure.
be within 10 percent. If the measurements do
The FV shall be at least 3,600 m/hr (200
not agree, adjust the ventilation rate from
fpm). Alternatively, measure the pressure
the TTE until they agree within 10 percent.
differential across the enclosure. A pressure
8. Procedure drop of 0.013 mm Hg (0.007 in. H2O) cor-
responds to an FV of 3,600 m/hr (200 fpm).
8.1 Determine the equivalent diameters of 8.4 Verify that the direction of air flow
the NDO’s and determine the distances from through all NDO’s is inward. If FV is less
each VOC emitting point to all NDO’s. Deter- than 9,000 m/hr (500 fpm), the continuous in-
mine the equivalent diameter of each ex- ward flow of air shall be verified using
haust duct or hood and its distance to all streamers, smoke tubes, or tracer gases.
NDO’s. Calculate the distances in terms of Monitor the direction of air flow for at least
equivalent diameters. The number of equiva- 1 hour, with checks made no more than 10
lent diameters shall be at least four. minutes apart. If FV is greater than 9,000 m/
8.2 Measure the total surface area (AT) of hr (500 fpm), the direction of air flow through
the NDOs shall be presumed to be inward at
the enclosure and the total area (AN) of all
all times without verification.
NDO’s in the enclosure. Calculate the NDO
to enclosure area ratio (NEAR) as follows: 9. Diagrams
ER16JN97.002</GPH>
525
ER16JN97.001</GPH>
METHOD 204A—VOLATILE ORGANIC COMPOUNDS tocols for determining VOC capture effi-
CONTENT IN LIQUID INPUT STREAM ciency (CE) for surface coating and printing
operations.
1. Scope and Application 1.2 Principle. The amount of VOC intro-
1.1 Applicability. This procedure is appli- duced to the process (L) is the sum of the
cable for determining the input of volatile products of the weight (W) of each VOC con-
organic compounds (VOC). It is intended to taining liquid (ink, paint, solvent, etc.) used
be used in the development of liquid/gas pro- and its VOC content (V).
526
ER16JN97.026</GPH>
1.3 Sampling Requirements. A CE test tween the tee and the rotameter facilitates
shall consist of at least three sampling runs. leak tests of the analysis system.
Each run shall cover at least one complete 4.2.6 Thermometer. Capable of measuring
production cycle, but shall be at least 3 the temperature of the hot water bath to
hours long. The sampling time for each run within 1 °C.
need not exceed 8 hours, even if the produc- 4.2.7 Sample Oven. Heated enclosure, con-
tion cycle has not been completed. Alter- taining calibration gas coil heaters, critical
native sampling times may be used with the orifice, aspirator, and other liquid sample
approval of the Administrator. analysis components, capable of maintaining
a temperature of 120 ±5 °C.
2. Summary of Method 4.2.8 Gas Coil Heaters. Sufficient lengths
The amount of VOC containing liquid in- of stainless steel or Teflon tubing to allow
troduced to the process is determined as the zero and calibration gases to be heated to
weight difference of the feed material before the sample oven temperature before entering
and after each sampling run. The VOC con- the critical orifice or aspirator.
tent of the liquid input material is deter- 4.2.9 Water Bath. Capable of heating and
mined by volatilizing a small aliquot of the maintaining a sample vessel temperature of
material and analyzing the volatile material 100 ±5 °C.
using a flame ionization analyzer (FIA). A 4.2.10 Analytical Balance. To measure
sample of each VOC containing liquid is ana- ±0.001 g.
lyzed with an FIA to determine V. 4.2.11 Disposable Syringes. 2-cc or 5-cc.
4.2.12 Sample Vessel. Glass, 40-ml septum
3. Safety vial. A separate vessel is needed for each
Because this procedure is often applied in sample.
highly explosive areas, caution and care 4.2.13 Rubber Stopper. Two-hole stopper
should be exercised in choosing, installing, to accommodate 3.2-mm (1⁄8-in.) Teflon tub-
and using the appropriate equipment. ing, appropriately sized to fit the opening of
the sample vessel. The rubber stopper should
4. Equipment and Supplies be wrapped in Teflon tape to provide a tight-
Mention of trade names or company prod- er seal and to prevent any reaction of the
ucts does not constitute endorsement. All sample with the rubber stopper. Alter-
gas concentrations (percent, ppm) are by vol- natively, any leak-free closure fabricated of
ume, unless otherwise noted. nonreactive materials and accommodating
4.1 Liquid Weight. the necessary tubing fittings may be used.
4.1.1 Balances/Digital Scales. To weigh 4.2.14 Critical Orifices. Calibrated critical
drums of VOC containing liquids to within orifices capable of providing constant flow
0.2 lb or 1.0 percent of the total weight of rates from 50 to 250 ml/min at known pres-
VOC liquid used. sure drops. Sapphire orifice assemblies
4.1.2 Volume Measurement Apparatus (Al- (available from O’Keefe Controls Company)
ternative). Volume meters, flow meters, den- and glass capillary tubing have been found to
sity measurement equipment, etc., as needed be adequate for this application.
to achieve the same accuracy as direct 4.2.15 Vacuum Gauge. Zero to 760-mm (0-
weight measurements. to 30-in.) Hg U-Tube manometer or vacuum
4.2 VOC Content (FIA Technique). The gauge.
liquid sample analysis system is shown in 4.2.16 Pressure Gauge. Bourdon gauge ca-
Figures 204A–1 and 204A–2. The following pable of measuring the maximum air pres-
equipment is required: sure at the aspirator inlet (e.g., 100 psig).
4.2.1 Sample Collection Can. An appro- 4.2.17 Aspirator. A device capable of gen-
priately-sized metal can to be used to collect erating sufficient vacuum at the sample ves-
VOC containing materials. The can must be sel to create critical flow through the cali-
constructed in such a way that it can be brated orifice when sufficient air pressure is
grounded to the coating container. present at the aspirator inlet. The aspirator
4.2.2 Needle Valves. To control gas flow. must also provide sufficient sample pressure
4.2.3 Regulators. For carrier gas and cali- to operate the FIA. The sample is also mixed
bration gas cylinders. with the dilution gas within the aspirator.
4.2.4 Tubing. Teflon or stainless steel tub- 4.2.18 Soap Bubble Meter. Of an appro-
ing with diameters and lengths determined priate size to calibrate the critical orifices in
by connection requirements of equipment. the system.
The tubing between the sample oven outlet 4.2.19 Organic Concentration Analyzer. An
and the FIA shall be heated to maintain a FIA with a span value of 1.5 times the ex-
temperature of 120 ±5 °C. pected concentration as propane; however,
4.2.5 Atmospheric Vent. A tee and 0- to other span values may be used if it can be
0.5-liter/min rotameter placed in the sam- demonstrated that they would provide more
pling line between the carrier gas cylinder accurate measurements. The FIA instrument
and the VOC sample vessel to release the ex- should be the same instrument used in the
cess carrier gas. A toggle valve placed be- gaseous analyses adjusted with the same
527
fuel, combustion air, and sample back-pres- tor’s satisfaction that equally accurate
sure (flow rate) settings. The system shall be measurements would be achieved.
capable of meeting or exceeding the fol- 5.1.4 System Calibration Gas. Gas mixture
lowing specifications: standard containing propane in air, approxi-
4.2.19.1 Zero Drift. Less than ±3.0 percent mating the undiluted VOC concentration ex-
of the span value. pected for the liquid samples.
4.2.19.2 Calibration Drift. Less than ±3.0
percent of the span value. 6. Sample Collection, Preservation and Storage
4.2.19.3 Calibration Error. Less than ±5.0 6.1 Samples must be collected in a man-
percent of the calibration gas value. ner that prevents or minimizes loss of vola-
4.2.20 Integrator/Data Acquisition Sys- tile components and that does not contami-
tem. An analog or digital device or comput- nate the coating reservoir.
erized data acquisition system used to inte- 6.2 Collect a 100-ml or larger sample of
grate the FIA response or compute the aver- the VOC containing liquid mixture at each
age response and record measurement data. application location at the beginning and
The minimum data sampling frequency for end of each test run. A separate sample
computing average or integrated values is should be taken of each VOC containing liq-
one measurement value every 5 seconds. The uid added to the application mixture during
device shall be capable of recording average the test run. If a fresh drum is needed during
values at least once per minute. the sampling run, then obtain a sample from
4.2.21 Chart Recorder (Optional). A chart the fresh drum.
recorder or similar device is recommended to
6.3 When collecting the sample, ground
provide a continuous analog display of the
the sample container to the coating drum.
measurement results during the liquid sam-
Fill the sample container as close to the rim
ple analysis.
as possible to minimize the amount of
5. Reagents and Standards headspace.
6.4 After the sample is collected, seal the
5.1 Calibration and Other Gases. Gases container so the sample cannot leak out or
used for calibration, fuel, and combustion air evaporate.
(if required) are contained in compressed gas 6.5 Label the container to clearly identify
cylinders. All calibration gases shall be the contents.
traceable to National Institute of Standards
and Technology standards and shall be cer- 7. Quality Control
tified by the manufacturer to ±1 percent of
the tag value. Additionally, the manufac- 7.1 Required instrument quality control
turer of the cylinder should provide a rec- parameters are found in the following sec-
ommended shelf life for each calibration gas tions:
cylinder over which the concentration does 7.1.1 The FIA system must be calibrated
not change more than ±2 percent from the as specified in section 8.1.
certified value. For calibration gas values 7.1.2 The system drift check must be per-
not generally available, dilution systems formed as specified in section 8.2.
calibrated using Method 205 may be used. Al-
8. Calibration and Standardization
ternative methods for preparing calibration
gas mixtures may be used with the approval 8.1 FIA Calibration and Linearity Check.
of the Administrator. Make necessary adjustments to the air and
5.1.1 Fuel. The FIA manufacturer’s rec- fuel supplies for the FIA and ignite the burn-
ommended fuel should be used. A 40 percent er. Allow the FIA to warm up for the period
H2/60 percent He or 40 percent H2/60 percent recommended by the manufacturer. Inject a
N2 gas mixture is recommended to avoid an calibration gas into the measurement sys-
oxygen synergism effect that reportedly oc- tem and adjust the back-pressure regulator
curs when oxygen concentration varies sig- to the value required to achieve the flow
nificantly from a mean value. Other mix- rates specified by the manufacturer. Inject
tures may be used provided the tester can the zero- and the high-range calibration
demonstrate to the Administrator that there gases and adjust the analyzer calibration to
is no oxygen synergism effect. provide the proper responses. Inject the low-
5.1.2 Carrier Gas. High purity air with less and mid-range gases and record the re-
than 1 ppm of organic material (as propane) sponses of the measurement system. The
or less than 0.1 percent of the span value, calibration and linearity of the system are
whichever is greater. acceptable if the responses for all four gases
5.1.3 FIA Linearity Calibration Gases. are within 5 percent of the respective gas
Low-, mid-, and high-range gas mixture values. If the performance of the system is
standards with nominal propane concentra- not acceptable, repair or adjust the system
tions of 20–30, 45–55, and 70–80 percent of the and repeat the linearity check. Conduct a
span value in air, respectively. Other calibra- calibration and linearity check after assem-
tion values and other span values may be bling the analysis system and after a major
used if it can be shown to the Administra- change is made to the system.
528
8.2 Systems Drift Checks. After each sam- the fountain into a preweighed empty drum
ple, repeat the system calibration checks in to determine the final weight of the liquid.
section 9.2.7 before any adjustments to the 9.1.1.2 If it is not possible to measure a
FIA or measurement system are made. If the single representative mixture, then weigh
zero or calibration drift exceeds ±3 percent of the various components separately (e.g., if
the span value, discard the result and repeat solvent is added during the sampling run,
the analysis. weigh the solvent before it is added to the
Alternatively, recalibrate the FIA as in mixture). If a fresh drum of VOC containing
section 8.1 and report the results using both liquid is needed during the run, then weigh
sets of calibration data (i.e., data determined both the empty drum and fresh drum.
prior to the test period and data determined 9.1.2 Volume Measurement (Alternative).
following the test period). The data that re- If direct weight measurements are not fea-
sults in the lowest CE value shall be reported sible, the tester may use volume meters or
as the results for the test run. flow rate meters and density measurements
8.3 Critical Orifice Calibration. to determine the weight of liquids used if it
8.3.1 Each critical orifice must be cali- can be demonstrated that the technique pro-
brated at the specific operating conditions duces results equivalent to the direct weight
under which it will be used. Therefore, as- measurements. If a single representative
semble all components of the liquid sample mixture cannot be measured, measure the
analysis system as shown in Figure 204A–3. A components separately.
stopwatch is also required.
9.2 Determination of VOC Content in
8.3.2 Turn on the sample oven, sample
Input Liquids
line, and water bath heaters, and allow the
system to reach the proper operating tem- 9.2.1 Assemble the liquid VOC content
perature. Adjust the aspirator to a vacuum analysis system as shown in Figure 204A–1.
of 380 mm (15 in.) Hg vacuum. Measure the 9.2.2 Permanently identify all of the crit-
time required for one soap bubble to move a ical orifices that may be used. Calibrate each
known distance and record barometric pres- critical orifice under the expected operating
sure. conditions (i.e., sample vacuum and tempera-
8.3.3 Repeat the calibration procedure at ture) against a volume meter as described in
a vacuum of 406 mm (16 in.) Hg and at 25-mm section 8.3.
(1-in.) Hg intervals until three consecutive 9.2.3 Label and tare the sample vessels
determinations provide the same flow rate. (including the stoppers and caps) and the sy-
Calculate the critical flow rate for the ori- ringes.
fice in ml/min at standard conditions. Record 9.2.4 Install an empty sample vessel and
the vacuum necessary to achieve critical perform a leak test of the system. Close the
flow. carrier gas valve and atmospheric vent and
evacuate the sample vessel to 250 mm (10 in.)
9. Procedure Hg absolute or less using the aspirator. Close
9.1 Determination of Liquid Input Weight. the toggle valve at the inlet to the aspirator
9.1.1 Weight Difference. Determine the and observe the vacuum for at least 1
amount of material introduced to the proc- minute. If there is any change in the sample
ess as the weight difference of the feed mate- pressure, release the vacuum, adjust or re-
rial before and after each sampling run. In pair the apparatus as necessary, and repeat
determining the total VOC containing liquid the leak test.
usage, account for: 9.2.5 Perform the analyzer calibration and
(a) The initial (beginning) VOC containing linearity checks according to the procedure
liquid mixture. in section 5.1. Record the responses to each
(b) Any solvent added during the test run. of the calibration gases and the back-pres-
(c) Any coating added during the test run. sure setting of the FIA.
(d) Any residual VOC containing liquid 9.2.6 Establish the appropriate dilution
mixture remaining at the end of the sample ratio by adjusting the aspirator air supply or
run. substituting critical orifices. Operate the as-
9.1.1.1 Identify all points where VOC con- pirator at a vacuum of at least 25 mm (1 in.)
taining liquids are introduced to the process. Hg greater than the vacuum necessary to
To obtain an accurate measurement of VOC achieve critical flow. Select the dilution
containing liquids, start with an empty foun- ratio so that the maximum response of the
tain (if applicable). After completing the FIA to the sample does not exceed the high-
run, drain the liquid in the fountain back range calibration gas.
into the liquid drum (if possible) and weigh 9.2.7 Perform system calibration checks
the drum again. Weigh the VOC containing at two levels by introducing compressed
liquids to ±0.5 percent of the total weight gases at the inlet to the sample vessel while
(full) or ±1.0 percent of the total weight of the aspirator and dilution devices are oper-
VOC containing liquid used during the sam- ating. Perform these checks using the car-
ple run, whichever is less. If the residual liq- rier gas (zero concentration) and the system
uid cannot be returned to the drum, drain calibration gas. If the response to the carrier
529
gas exceeds ±0.5 percent of span, clean or re- the analysis procedure if any of these param-
pair the apparatus and repeat the check. Ad- eters deviate from the values established
just the dilution ratio as necessary to during the system calibration checks in sec-
achieve the correct response to the upscale tion 9.2.7. After each sample, perform the
check, but do not adjust the analyzer cali- drift check described in section 8.2. If the
bration. Record the identification of the ori- drift check results are acceptable, calculate
fice, aspirator air supply pressure, FIA back- the VOC content of the sample using the
pressure, and the responses of the FIA to the equations in section 11.2. Alternatively, re-
carrier and system calibration gases. calibrate the FIA as in section 8.1 and report
9.2.8 After completing the above checks, the results using both sets of calibration
inject the system calibration gas for ap- data (i.e., data determined prior to the test
proximately 10 minutes. Time the exact du- period and data determined following the
ration of the gas injection using a stop- test period). The data that results in the
watch. Determine the area under the FIA re- lowest CE value shall be reported as the re-
sponse curve and calculate the system results for the test run. Integrate the area
sponse factor based on the sample gas flow under the FIA response curve, or determine
rate, gas concentration, and the duration of the average concentration response and the
the injection as compared to the integrated duration of sample analysis.
response using Equations 204A–2 and 204A–3.
9.2.9 Verify that the sample oven and 10. Data Analysis and Calculations
sample line temperatures are 120 ±5 °C and
that the water bath temperature is 100 ±5 °C. 10.1 Nomenclature.
9.2.10 Fill a tared syringe with approxi- AL = area under the response curve of the liq-
mately 1 g of the VOC containing liquid and uid sample, area count.
weigh it. Transfer the liquid to a tared sam- AS = area under the response curve of the
ple vessel. Plug the sample vessel to mini- calibration gas, area count.
mize sample loss. Weigh the sample vessel CS = actual concentration of system calibra-
containing the liquid to determine the tion gas, ppm propane.
amount of sample actually received. Also, as K = 1.830 × 10¥9 g/(ml-ppm).
a quality control check, weigh the empty sy- L = total VOC content of liquid input, kg.
ringe to determine the amount of material ML = mass of liquid sample delivered to the
delivered. The two coating sample weights sample vessel, g.
should agree within 0.02 g. If not, repeat the q = flow rate through critical orifice, ml/
procedure until an acceptable sample is ob- min.
tained. RF = liquid analysis system response factor,
9.2.11 Connect the vessel to the analysis g/area count.
system. Adjust the aspirator supply pressure qS = total gas injection time for system cali-
to the correct value. Open the valve on the bration gas during integrator calibra-
carrier gas supply to the sample vessel and tion, min.
adjust it to provide a slight excess flow to VFj = final VOC fraction of VOC containing
the atmospheric vent. As soon as the initial liquid j.
response of the FIA begins to decrease, im-
VIj = initial VOC fraction of VOC containing
merse the sample vessel in the water bath.
liquid j.
(Applying heat to the sample vessel too soon
VAj = VOC fraction of VOC containing liquid
may cause the FIA response to exceed the
j added during the run.
calibrated range of the instrument and, thus,
invalidate the analysis.) V = VOC fraction of liquid sample.
9.2.12 Continuously measure and record WFj = weight of VOC containing liquid j re-
the response of the FIA until all of the vola- maining at end of the run, kg.
tile material has been evaporated from the WIj = weight of VOC containing liquid j at be-
sample and the instrument response has re- ginning of the run, kg.
turned to the baseline (i.e., response less WAj = weight of VOC containing liquid j
than 0.5 percent of the span value). Observe added during the run, kg.
the aspirator supply pressure, FIA back-pres- 10.2 Calculations
sure, atmospheric vent, and other system op- 10.2.1 Total VOC Content of the Input
erating parameters during the run; repeat VOC Containing Liquid.
n n n
L = ∑ Vrj Wrj − ∑ VFj WFj + ∑ VAj WAj Eq. 204A-1
j=1 j =1 j =1
530
ER16JN97.003</GPH>
10.2.2 Liquid Sample Analysis System Re- 11. Method Performance
sponse Factor for Systems Using Integra-
tors, Grams/Area Count. The measurement uncertainties are esti-
mated for each VOC containing liquid as fol-
CSq θSK lows: W = ±2.0 percent and V = ±4.0 percent.
RF = Eq. 204A-2 Based on these numbers, the probable uncer-
AS tainty for L is estimated at about ±4.5 per-
cent for each VOC containing liquid.
10.2.3 VOC Content of the Liquid Sample.
12. Diagrams
A L RF
V= Eq. 204A-3
ML
ER16JN97.005</GPH>
531
ER16JN97.004</GPH>
532
ER16JN97.036</GPH>
533
ER16JN97.037</GPH>
534
ER16JN97.038</GPH>
METHOD 204B—VOLATILE ORGANIC COMPOUNDS analyzer. The sample line must be heated to
EMISSIONS IN CAPTURED STREAM prevent condensation.
4.1.4 Sample Pump. A leak-free pump, to
1. Scope and Application pull the sample gas through the system at a
1.1 Applicability. This procedure is appli- flow rate sufficient to minimize the response
cable for determining the volatile organic time of the measurement system. The com-
compounds (VOC) content of captured gas ponents of the pump that contact the gas
streams. It is intended to be used in the de- stream shall be constructed of stainless steel
velopment of a gas/gas protocol for deter- or Teflon. The sample pump must be heated
mining VOC capture efficiency (CE) for sur- to prevent condensation.
face coating and printing operations. The 4.1.5 Sample Flow Rate Control. A sample
procedure may not be acceptable in certain flow rate control valve and rotameter, or
site-specific situations [e.g., when: (1) direct- equivalent, to maintain a constant sampling
fired heaters or other circumstances affect rate within 10 percent. The flow rate control
the quantity of VOC at the control device valve and rotameter must be heated to pre-
inlet; and (2) particulate organic aerosols are vent condensation. A control valve may also
formed in the process and are present in the be located on the sample pump bypass loop
captured emissions]. to assist in controlling the sample pressure
1.2 Principle. The amount of VOC cap- and flow rate.
tured (G) is calculated as the sum of the 4.1.6 Organic Concentration Analyzer. An
products of the VOC content (CGj), the flow FIA with a span value of 1.5 times the ex-
rate (QGj), and the sample time (QC) from pected concentration as propane; however,
each captured emissions point. other span values may be used if it can be
1.3 Sampling Requirements. A CE test demonstrated to the Administrator’s satis-
shall consist of at least three sampling runs. faction that they would provide equally ac-
Each run shall cover at least one complete curate measurements. The system shall be
production cycle, but shall be at least 3 capable of meeting or exceeding the fol-
hours long. The sampling time for each run lowing specifications:
need not exceed 8 hours, even if the produc- 4.1.6.1 Zero Drift. Less than ±3.0 percent of
tion cycle has not been completed. Alter- the span value.
native sampling times may be used with the 4.1.6.2 Calibration Drift. Less than ±3.0
approval of the Administrator. percent of the span value.
4.1.6.3 Calibration Error. Less than ±5.0
2. Summary of Method percent of the calibration gas value.
4.1.6.4 Response Time. Less than 30 sec-
A gas sample is extracted from the source onds.
though a heated sample line and, if nec- 4.1.7 Integrator/Data Acquisition System.
essary, a glass fiber filter to a flame ioniza- An analog or digital device, or computerized
tion analyzer (FIA). data acquisition system used to integrate
3. Safety the FIA response or compute the average re-
sponse and record measurement data. The
Because this procedure is often applied in minimum data sampling frequency for com-
highly explosive areas, caution and care puting average or integrated values is one
should be exercised in choosing, installing, measurement value every 5 seconds. The de-
and using the appropriate equipment. vice shall be capable of recording average
values at least once per minute.
4. Equipment and Supplies 4.2 Captured Emissions Volumetric Flow
Mention of trade names or company prod- Rate.
ucts does not constitute endorsement. All 4.2.1 Method 2 or 2A Apparatus. For deter-
gas concentrations (percent, ppm) are by vol- mining volumetric flow rate.
ume, unless otherwise noted. 4.2.2 Method 3 Apparatus and Reagents.
4.1 Gas VOC Concentration. A schematic For determining molecular weight of the gas
of the measurement system is shown in Fig- stream. An estimate of the molecular weight
ure 204B–1. The main components are as fol- of the gas stream may be used if approved by
lows: the Administrator.
4.1.1 Sample Probe. Stainless steel or 4.2.3 Method 4 Apparatus and Reagents.
equivalent. The probe shall be heated to pre- For determining moisture content, if nec-
vent VOC condensation. essary.
4.1.2 Calibration Valve Assembly. Three-
5. Reagents and Standards
way valve assembly at the outlet of the sam-
ple probe to direct the zero and calibration 5.1 Calibration and Other Gases. Gases
gases to the analyzer. Other methods, such used for calibration, fuel, and combustion air
as quick-connect lines, to route calibration (if required) are contained in compressed gas
gases to the outlet of the sample probe are cylinders. All calibration gases shall be
acceptable. traceable to National Institute of Standards
4.1.3 Sample Line. Stainless steel or Tef- and Technology standards and shall be cer-
lon tubing to transport the sample gas to the tified by the manufacturer to ±1 percent of
535
the tag value. Additionally, the manufac- mid-range gases and record the responses of
turer of the cylinder should provide a rec- the measurement system. The calibration
ommended shelf life for each calibration gas and linearity of the system are acceptable if
cylinder over which the concentration does the responses for all four gases are within 5
not change more than ±2 percent from the percent of the respective gas values. If the
certified value. For calibration gas values performance of the system is not acceptable,
not generally available, dilution systems repair or adjust the system and repeat the
calibrated using Method 205 may be used. Al- linearity check. Conduct a calibration and
ternative methods for preparing calibration linearity check after assembling the analysis
gas mixtures may be used with the approval system and after a major change is made to
of the Administrator. the system.
5.1.1 Fuel. The FIA manufacturer’s rec- 7.2 Systems Drift Checks. Select the cali-
ommended fuel should be used. A 40 percent bration gas that most closely approximates
H2/60 percent He or 40 percent H2/60 percent the concentration of the captured emissions
N2 gas mixture is recommended to avoid an for conducting the drift checks. Introduce
oxygen synergism effect that reportedly oc- the zero and calibration gases at the calibra-
curs when oxygen concentration varies sig- tion valve assembly and verify that the ap-
nificantly from a mean value. Other mix- propriate gas flow rate and pressure are
tures may be used provided the tester can present at the FIA. Record the measurement
demonstrate to the Administrator that there system responses to the zero and calibration
is no oxygen synergism effect. gases. The performance of the system is ac-
5.1.2 Carrier Gas. High purity air with less ceptable if the difference between the drift
than 1 ppm of organic material (as propane check measurement and the value obtained
or carbon equivalent) or less than 0.1 percent in section 7.1 is less than 3 percent of the
of the span value, whichever is greater. span value. Alternatively, recalibrate the
5.1.3 FIA Linearity Calibration Gases. FIA as in section 7.1 and report the results
Low-, mid-, and high-range gas mixture using both sets of calibration data (i.e., data
standards with nominal propane concentra- determined prior to the test period and data
tions of 20–30, 45–55, and 70–80 percent of the determined following the test period). The
span value in air, respectively. Other calibra- data that results in the lowest CE value
tion values and other span values may be shall be reported as the results for the test
used if it can be shown to the Administra- run. Conduct the system drift checks at the
tor’s satisfaction that equally accurate end of each run.
measurements would be achieved. 7.3 System Check. Inject the high-range
5.2 Particulate Filter. An in-stack or an calibration gas at the inlet of the sampling
out-of-stack glass fiber filter is rec- probe and record the response. The perform-
ommended if exhaust gas particulate loading ance of the system is acceptable if the meas-
is significant. An out-of-stack filter must be urement system response is within 5 percent
of the value obtained in section 7.1 for the
heated to prevent any condensation unless it
high-range calibration gas. Conduct a system
can be demonstrated that no condensation
check before and after each test run.
occurs.
8. Procedure
6. Quality Control
8.1. Determination of Volumetric Flow
6.1 Required instrument quality control
Rate of Captured Emissions.
parameters are found in the following sec-
8.1.1 Locate all points where emissions
tions:
are captured from the affected facility.
6.1.1 The FIA system must be calibrated
Using Method 1, determine the sampling
as specified in section 7.1.
points. Be sure to check each site for cy-
6.1.2 The system drift check must be per-
clonic or swirling flow.
formed as specified in section 7.2. 8.1.2 Measure the velocity at each sam-
6.1.3 The system check must be conducted pling site at least once every hour during
as specified in section 7.3. each sampling run using Method 2 or 2A.
7. Calibration and Standardization 8.2 Determination of VOC Content of Cap-
tured Emissions.
7.1 FIA Calibration and Linearity Check. 8.2.1 Analysis Duration. Measure the VOC
Make necessary adjustments to the air and responses at each captured emissions point
fuel supplies for the FIA and ignite the burn- during the entire test run or, if applicable,
er. Allow the FIA to warm up for the period while the process is operating. If there are
recommended by the manufacturer. Inject a multiple captured emission locations, design
calibration gas into the measurement sys- a sampling system to allow a single FIA to
tem and adjust the back-pressure regulator be used to determine the VOC responses at
to the value required to achieve the flow all sampling locations.
rates specified by the manufacturer. Inject 8.2.2 Gas VOC Concentration.
the zero-and the high-range calibration gases 8.2.2.1 Assemble the sample train as
and adjust the analyzer calibration to pro- shown in Figure 204B–1. Calibrate the FIA
vide the proper responses. Inject the low- and according to the procedure in section 7.1.
536
8.2.2.2 Conduct a system check according 8.2.3.3 Position the probe at the sampling
to the procedure in section 7.3. location.
8.2.2.3 Install the sample probe so that the 8.2.3.4 Determine the response time, con-
probe is centrally located in the stack, pipe, duct the system check, and sample according
or duct, and is sealed tightly at the stack to the procedures described in sections 8.2.2.4
port connection. through 8.2.2.7.
8.2.2.4 Inject zero gas at the calibration 8.2.4 Alternative Procedure. The direct
valve assembly. Allow the measurement sys- interface sampling and analysis procedure
tem response to reach zero. Measure the sys- described in section 7.2 of Method 18 may be
tem response time as the time required for used to determine the gas VOC concentra-
the system to reach the effluent concentration. The system must be designed to collect
tion after the calibration valve has been re- and analyze at least one sample every 10
turned to the effluent sampling position. minutes. If the alternative procedure is used
8.2.2.5 Conduct a system check before, and to determine the VOC concentration of the
a system drift check after, each sampling captured emissions, it must also be used to
run according to the procedures in sections determine the VOC concentration of the
7.2 and 7.3. If the drift check following a run uncaptured emissions.
indicates unacceptable performance (see sec-
tion 7.3), the run is not valid. Alternatively, 9. Data Analysis and Calculations
recalibrate the FIA as in section 7.1 and re-
port the results using both sets of calibra- 9.1 Nomenclature.
tion data (i.e., data determined prior to the Ai = area of NDO i, ft2.
test period and data determined following AN = total area of all NDO’s in the enclosure,
the test period). The data that results in the ft2.
lowest CE value shall be reported as the re- CBi = corrected average VOC concentration of
sults for the test run. The tester may elect background emissions at point i, ppm
to perform system drift checks during the propane.
run not to exceed one drift check per hour. CB = average background concentration, ppm
8.2.2.6 Verify that the sample lines, filter, propane.
and pump temperatures are 120 ±5 °C. CGj = corrected average VOC concentration of
8.2.2.7 Begin sampling at the start of the captured emissions at point j, ppm pro-
test period and continue to sample during pane.
the entire run. Record the starting and end- CDH = average measured concentration for
ing times and any required process informa- the drift check calibration gas, ppm pro-
tion as appropriate. If multiple captured pane.
emission locations are sampled using a sin- CDO = average system drift check concentra-
gle FIA, sample at each location for the tion for zero concentration gas, ppm pro-
same amount of time (e.g., 2 minutes) and pane.
continue to switch from one location to an- CH = actual concentration of the drift check
other for the entire test run. Be sure that calibration gas, ppm propane.
total sampling time at each location is the Ci = uncorrected average background VOC
same at the end of the test run. Collect at concentration measured at point i, ppm
least four separate measurements from each propane.
sample point during each hour of testing. Cj = uncorrected average VOC concentration
Disregard the measurements at each sam- measured at point j, ppm propane.
pling location until two times the response G = total VOC content of captured emissions,
time of the measurement system has kg.
elapsed. Continue sampling for at least 1 K1 = 1.830 × 10¥6 kg/(m3-ppm).
minute and record the concentration meas- n = number of measurement points.
urements. QGj = average effluent volumetric flow rate
8.2.3 Background Concentration. corrected to standard conditions at cap-
NOTE: Not applicable when the building is tured emissions point j, m3/min.
used as the temporary total enclosure (TTE). QC = total duration of captured emissions.
8.2.3.1 Locate all natural draft openings 9.2 Calculations.
(NDO’s) of the TTE. A sampling point shall 9.2.1 Total VOC Captured Emissions.
be at the center of each NDO, unless other-
( )
wise specified by the Administrator. If there n
are more than six NDO’s, choose six sam- G = ∑ C Gj − C B Q Gjθ C K1 Eq. 204B-1
pling points evenly spaced among the NDO’s.
j =1
8.2.3.2 Assemble the sample train as
shown in Figure 204B–2. Calibrate the FIA 9.2.2 VOC Concentration of the Captured
and conduct a system check according to the Emissions at Point j.
procedures in sections 7.1 and 7.3.
NOTE: This sample train shall be separate
(
CGj = C j − C DO )C CH
ER16JN97.007</GPH>
Eq. 204B-2
DH − C DO
from the sample train used to measure the
captured emissions.
537
ER16JN97.006</GPH>
9.2.3 Background VOC Concentration at NOTE: If the concentration at each point is
Point i. within 20 percent of the average concentra-
tion of all points, then use the arithmetic
C Bi = (C i − C DO )
CH average.
Eq. 204B-3
C DH − C DO 10. Method Performance
9.2.4 Average Background Concentration. The measurement uncertainties are esti-
mated for each captured or uncaptured emis-
n sions point as follows: QGj=±5.5 percent and
∑ C Bi A i CGj=±5.0 percent. Based on these numbers,
the probable uncertainty for G is estimated
i =1
CB = Eq. 204B-4 at about ±7.4 percent.
AN
11. Diagrams
ER16JN97.009</GPH>
538
ER16JN97.008</GPH>
539
ER16JN97.027</GPH>
540
ER16JN97.028</GPH>
METHOD 204C—VOLATILE ORGANIC COMPOUNDS changed by substituting different critical
EMISSIONS IN CAPTURED STREAM (DILUTION orifices or adjustments of the aspirator sup-
TECHNIQUE) ply pressure. The dilution system shall be
heated to prevent VOC condensation. Note:
1. Scope and Application An out-of-stack dilution device may be used.
1.1 Applicability. This procedure is appli- 4.1.2 Calibration Valve Assembly. Three-
cable for determining the volatile organic way valve assembly at the outlet of the sam-
compounds (VOC) content of captured gas ple probe to direct the zero and calibration
streams. It is intended to be used in the de- gases to the analyzer. Other methods, such
velopment of a gas/gas protocol in which as quick-connect lines, to route calibration
uncaptured emissions are also measured for gases to the outlet of the sample probe are
determining VOC capture efficiency (CE) for acceptable.
surface coating and printing operations. A 4.1.3 Sample Line. Stainless steel or Tef-
dilution system is used to reduce the VOC lon tubing to transport the sample gas to the
concentration of the captured emissions to analyzer. The sample line must be heated to
about the same concentration as the prevent condensation.
uncaptured emissions. The procedure may 4.1.4 Sample Pump. A leak-free pump, to
not be acceptable in certain site-specific sit- pull the sample gas through the system at a
uations [e.g., when: (1) direct-fired heaters or flow rate sufficient to minimize the response
other circumstances affect the quantity of time of the measurement system. The com-
VOC at the control device inlet; and (2) par- ponents of the pump that contact the gas
ticulate organic aerosols are formed in the stream shall be constructed of stainless steel
process and are present in the captured emis- or Teflon. The sample pump must be heated
sions]. to prevent condensation.
1.2 Principle. The amount of VOC cap-
4.1.5 Sample Flow Rate Control. A sample
tured (G) is calculated as the sum of the
flow rate control valve and rotameter, or
products of the VOC content (CGj), the flow
equivalent, to maintain a constant sampling
rate (QGj), and the sampling time (QC) from
rate within 10 percent. The flow control
each captured emissions point.
valve and rotameter must be heated to pre-
1.3 Sampling Requirements. A CE test
shall consist of at least three sampling runs. vent condensation. A control valve may also
Each run shall cover at least one complete be located on the sample pump bypass loop
production cycle, but shall be at least 3 to assist in controlling the sample pressure
hours long. The sampling time for each run and flow rate.
need not exceed 8 hours, even if the produc- 4.1.6 Sample Gas Manifold. Capable of di-
tion cycle has not been completed. Alter- verting a portion of the sample gas stream to
native sampling times may be used with the the FIA, and the remainder to the bypass
approval of the Administrator. discharge vent. The manifold components
shall be constructed of stainless steel or Tef-
2. Summary of Method lon. If captured or uncaptured emissions are
to be measured at multiple locations, the
A gas sample is extracted from the source
measurement system shall be designed to use
using an in-stack dilution probe through a
separate sampling probes, lines, and pumps
heated sample line and, if necessary, a glass
for each measurement location and a com-
fiber filter to a flame ionization analyzer
mon sample gas manifold and FIA. The sam-
(FIA). The sample train contains a sample
ple gas manifold and connecting lines to the
gas manifold which allows multiple points to
FIA must be heated to prevent condensation.
be sampled using a single FIA.
NOTE: Depending on the number of sam-
3. Safety pling points and their location, it may not be
Because this procedure is often applied in possible to use only one FIA. However to re-
highly explosive areas, caution and care duce the effect of calibration error, the num-
should be exercised in choosing, installing, ber of FIA’s used during a test should be
and using the appropriate equipment. keep as small as possible.
4.1.7 Organic Concentration Analyzer. An
4. Equipment and Supplies FIA with a span value of 1.5 times the ex-
Mention of trade names or company prod- pected concentration as propane; however,
ucts does not constitute endorsement. All other span values may be used if it can be
gas concentrations (percent, ppm) are by vol- demonstrated to the Administrator’s satis-
ume, unless otherwise noted. faction that they would provide equally ac-
4.1 Gas VOC Concentration. A schematic curate measurements. The system shall be
of the measurement system is shown in Fig- capable of meeting or exceeding the fol-
ure 204C–1. The main components are as following specifications:
lows: 4.1.7.1 Zero Drift. Less than ±3.0 percent of
4.1.1 Dilution System. A Kipp in-stack di- the span value.
lution probe and controller or similar device 4.1.7.2 Calibration Drift. Less than ±3.0
may be used. The dilution rate may be percent of the span value.
541
4.1.7.3 Calibration Error. Less than ±5.0 used if it can be shown to the Administra-
percent of the calibration gas value. tor’s satisfaction that equally accurate
4.1.7.4 Response Time. Less than 30 sec- measurements would be achieved.
onds. 5.1.4 Dilution Check Gas. Gas mixture
4.1.8 Integrator/Data Acquisition System. standard containing propane in air, approxi-
An analog or digital device or computerized mately half the span value after dilution.
data acquisition system used to integrate 5.2 Particulate Filter. An in-stack or an
the FIA response or compute the average re- out-of-stack glass fiber filter is rec-
sponse and record measurement data. The ommended if exhaust gas particulate loading
minimum data sampling frequency for com- is significant. An out-of-stack filter must be
puting average or integrated values is one heated to prevent any condensation unless it
measurement value every 5 seconds. The de- can be demonstrated that no condensation
vice shall be capable of recording average occurs.
4.2 Captured Emissions Volumetric Flow 6. Quality Control
Rate. 6.1 Required instrument quality control
4.2.1 Method 2 or 2A Apparatus. For deter-
mining volumetric flow rate.
tions:
4.2.2 Method 3 Apparatus and Reagents.
For determining molecular weight of the gas
stream. An estimate of the molecular weight
of the gas stream may be used if approved by
formed as specified in section 7.2.
the Administrator.
6.1.3 The dilution factor must be deter-
mined as specified in section 7.3.
For determining moisture content, if nec-
6.1.4 The system check must be conducted
essary.
7. Calibration and Standardization
5.1 Calibration and Other Gases. Gases
used for calibration, fuel, and combustion air 7.1 FIA Calibration and Linearity Check.
(if required) are contained in compressed gas Make necessary adjustments to the air and
cylinders. All calibration gases shall be fuel supplies for the FIA and ignite the burn-
traceable to National Institute of Standards er. Allow the FIA to warm up for the period
and Technology standards and shall be cer- recommended by the manufacturer. Inject a
tified by the manufacturer to ±1 percent of calibration gas into the measurement sys-
the tag value. Additionally, the manufac- tem after the dilution system and adjust the
turer of the cylinder should provide a rec- back-pressure regulator to the value re-
ommended shelf life for each calibration gas quired to achieve the flow rates specified by
cylinder over which the concentration does the manufacturer. Inject the zero-and the
not change more than ±2 percent from the high-range calibration gases and adjust the
certified value. For calibration gas values analyzer calibration to provide the proper re-
not generally available, dilution systems sponses. Inject the low-and mid-range gases
calibrated using Method 205 may be used. Al- and record the responses of the measurement
ternative methods for preparing calibration system. The calibration and linearity of the
gas mixtures may be used with the approval system are acceptable if the responses for all
of the Administrator. four gases are within 5 percent of the respec-
5.1.1 Fuel. The FIA manufacturer’s rective gas values. If the performance of the
ommended fuel should be used. A 40 percent system is not acceptable, repair or adjust the
H2/60 percent He or 40 percent H2/60 percent system and repeat the linearity check. Con-
N2 gas mixture is recommended to avoid an duct a calibration and linearity check after
oxygen synergism effect that reportedly oc- assembling the analysis system and after a
curs when oxygen concentration varies sig- major change is made to the system.
nificantly from a mean value. Other mix- 7.2 Systems Drift Checks. Select the cali-
tures may be used provided the tester can bration gas that most closely approximates
demonstrate to the Administrator that there the concentration of the diluted captured
is no oxygen synergism effect emissions for conducting the drift checks.
5.1.2 Carrier Gas and Dilution Air Supply. Introduce the zero and calibration gases at
High purity air with less than 1 ppm of or- the calibration valve assembly, and verify
ganic material (as propane or carbon equiva- that the appropriate gas flow rate and pres-
lent), or less than 0.1 percent of the span sure are present at the FIA. Record the
value, whichever is greater. measurement system responses to the zero
5.1.3 FIA Linearity Calibration Gases. and calibration gases. The performance of
Low-, mid-, and high-range gas mixture the system is acceptable if the difference be-
standards with nominal propane concentra- tween the drift check measurement and the
tions of 20–30, 45–55, and 70–80 percent of the value obtained in section 7.1 is less than 3
span value in air, respectively. Other calibra- percent of the span value. Alternatively, re-
tion values and other span values may be calibrate the FIA as in section 7.1 and report
542
the results using both sets of calibration tion 7.4), the run is not valid. Alternatively,
data (i.e., data determined prior to the test recalibrate the FIA as in section 7.1 and re-
period and data determined following the port the results using both sets of calibra-
test period). The data that results in the tion data (i.e., data determined prior to the
lowest CE value shall be reported as the retest period and data determined following
sults for the test run. Conduct the system the test period). The data that results in the
drift check at the end of each run. lowest CE value shall be reported as the re-
7.3 Determination of Dilution Factor. In- sults for the test run. The tester may elect
ject the dilution check gas into the measure- to perform system drift checks during the
ment system before the dilution system and run not to exceed one drift check per hour.
record the response. Calculate the dilution 8.2.2.7 Verify that the sample lines, filter,
factor using Equation 204C–3. and pump temperatures are 120 ±5 °C.
7.4 System Check. Inject the high-range 8.2.2.8 Begin sampling at the start of the
calibration gas at the inlet to the sampling test period and continue to sample during
probe while the dilution air is turned off. the entire run. Record the starting and end-
Record the response. The performance of the ing times and any required process informa-
system is acceptable if the measurement sys- tion as appropriate. If multiple captured
tem response is within 5 percent of the value emission locations are sampled using a sin-
obtained in section 7.1 for the high-range gle FIA, sample at each location for the
calibration gas. Conduct a system check be- same amount of time (e.g., 2 min.) and con-
fore and after each test run. tinue to switch from one location to another
8. Procedure for the entire test run. Be sure that total
sampling time at each location is the same
8.1 Determination of Volumetric Flow at the end of the test run. Collect at least
Rate of Captured Emissions four separate measurements from each sam-
8.1.1 Locate all points where emissions ple point during each hour of testing. Dis-
are captured from the affected facility. regard the measurements at each sampling
Using Method 1, determine the sampling location until two times the response time of
points. Be sure to check each site for cy- the measurement system has elapsed. Con-
clonic or swirling flow. tinue sampling for at least 1 minute and
8.2.2 Measure the velocity at each sam- record the concentration measurements.
pling site at least once every hour during 8.2.3 Background Concentration.
each sampling run using Method 2 or 2A.
8.2 Determination of VOC Content of Cap- NOTE: Not applicable when the building is
tured Emissions used as the temporary total enclosure (TTE).
8.2.1 Analysis Duration. Measure the VOC 8.2.3.1 Locate all natural draft openings
responses at each captured emissions point (NDO’s) of the TTE. A sampling point shall
during the entire test run or, if applicable, be at the center of each NDO, unless other-
while the process is operating. If there are wise approved by the Administrator. If there
multiple captured emissions locations, de- are more than six NDO’s, choose six sam-
sign a sampling system to allow a single FIA pling points evenly spaced among the NDO’s.
to be used to determine the VOC responses at 8.2.3.2 Assemble the sample train as
all sampling locations. shown in Figure 204C–2. Calibrate the FIA
8.2.2 Gas VOC Concentration. and conduct a system check according to the
8.2.2.1 Assemble the sample train as procedures in sections 7.1 and 7.4.
shown in Figure 204C–1. Calibrate the FIA 8.2.3.3 Position the probe at the sampling
according to the procedure in section 7.1. location.
8.2.2.2 Set the dilution ratio and deter- 8.2.3.4 Determine the response time, con-
mine the dilution factor according to the duct the system check, and sample according
procedure in section 7.3. to the procedures described in sections 8.2.2.4
8.2.2.3 Conduct a system check according through 8.2.2.8.
to the procedure in section 7.4. 8.2.4 Alternative Procedure. The direct
8.2.2.4 Install the sample probe so that the interface sampling and analysis procedure
probe is centrally located in the stack, pipe, described in section 7.2 of Method 18 may be
or duct, and is sealed tightly at the stack used to determine the gas VOC concentra-
port connection. tion. The system must be designed to collect
8.2.2.5 Inject zero gas at the calibration and analyze at least one sample every 10
valve assembly. Measure the system re- minutes. If the alternative procedure is used
sponse time as the time required for the sys- to determine the VOC concentration of the
tem to reach the effluent concentration after captured emissions, it must also be used to
the calibration valve has been returned to determine the VOC concentration of the
the effluent sampling position. uncaptured emissions.
8.2.2.6 Conduct a system check before, and
a system drift check after, each sampling 9. Data Analysis and Calculations
run according to the procedures in sections
7.2 and 7.4. If the drift check following a run 9.1 Nomenclature.
indicates unacceptable performance (see sec- Ai = area of NDO i, ft2.
543
AN = total area of all NDO’s in the enclosure, 9.2.2 VOC Concentration of the Captured
ft2. Emissions at Point j.
CA = actual concentration of the dilution
check gas, ppm propane.
CBi = corrected average VOC concentration of
background emissions at point i, ppm
(
C Gj = DF C j − C DO )C CH
DH − C DO
Eq. 204C-2
propane. 9.2.3 Dilution Factor.
CB = average background concentration, ppm
propane. CA
CDH = average measured concentration for DF = Eq. 204C-3
the drift check calibration gas, ppm pro- CM
pane.
CD0 = average system drift check concentra- 9.2.4 Background VOC Concentration at
tion for zero concentration gas, ppm pro- Point i.
pane.
CH = actual concentration of the drift check CH
Eq. 204C-4
calibration gas, ppm propane.
Ci = uncorrected average background VOC
C DH − C DO
concentration measured at point i, ppm 9.2.5 Average Background Concentration.
propane.
Cj = uncorrected average VOC concentration n
measured at point j, ppm propane.
CM = measured concentration of the dilution
∑ C Bi A i
i =1
check gas, ppm propane. CB = Eq. 204C-5
DF = dilution factor. AN
G = total VOC content of captured emissions,
kg. NOTE: If the concentration at each point is
K1 = 1.830 × 10¥6 kg/(m3¥ppm). within 20 percent of the average concentra-
n = number of measurement points. tion of all points, then use the arithmetic
QGj = average effluent volumetric flow rate average.
corrected to standard conditions at cap-
10. Method Performance
tured emissions point j, m3/min.
QC = total duration of CE sampling run, min. The measurement uncertainties are esti-
9.2 Calculations. mated for each captured or uncaptured emis-
9.2.1 Total VOC Captured Emissions. sions point as follows: QGj=±5.5 percent and
CGj= ±5 percent. Based on these numbers, the
( )
n probable uncertainty for G is estimated at
G = ∑ C Gj − C B Q Gjθ C K1 Eq. 204C-1 about ±7.4 percent.
j =1 11. Diagrams
ER16JN97.014</GPH>
ER16JN97.013</GPH>
ER16JN97.012</GPH>
ER16JN97.011</GPH>
544
ER16JN97.010</GPH>
545
ER16JN97.029</GPH>
METHOD 204D—VOLATILE ORGANIC COMPOUNDS tile organic compounds (VOC) emissions

EMISSIONS IN UNCAPTURED STREAM FROM from a temporary total enclosure (TTE). It is
TEMPORARY TOTAL ENCLOSURE intended to be used as a segment in the de-
velopment of liquid/gas or gas/gas protocols
1. Scope and Application for determining VOC capture efficiency (CE)
1.1 Applicability. This procedure is appli- for surface coating and printing operations.
cable for determining the uncaptured vola-
546
ER16JN97.030</GPH>
1.2 Principle. The amount of uncaptured be located on the sample pump bypass loop
VOC emissions (F) from the TTE is cal- to assist in controlling the sample pressure
culated as the sum of the products of the and flow rate.
VOC content (CFj), the flow rate (QFj) from 4.1.6 Sample Gas Manifold. Capable of di-
each uncaptured emissions point, and the verting a portion of the sample gas stream to
sampling time (QF). the FIA, and the remainder to the bypass
1.3 Sampling Requirements. A CE test discharge vent. The manifold components
shall consist of at least three sampling runs. shall be constructed of stainless steel or Tef-
Each run shall cover at least one complete lon. If emissions are to be measured at mul-
production cycle, but shall be at least 3 tiple locations, the measurement system
hours long. The sampling time for each run shall be designed to use separate sampling
need not exceed 8 hours, even if the produc- probes, lines, and pumps for each measure-
tion cycle has not been completed. Alter- ment location and a common sample gas
native sampling times may be used with the manifold and FIA. The sample gas manifold
approval of the Administrator. and connecting lines to the FIA must be
heated to prevent condensation.
2. Summary of Method 4.1.7 Organic Concentration Analyzer. An
A gas sample is extracted from the FIA with a span value of 1.5 times the ex-
uncaptured exhaust duct of a TTE through a pected concentration as propane; however,
heated sample line and, if necessary, a glass other span values may be used if it can be
fiber filter to a flame ionization analyzer demonstrated to the Administrator’s satis-
(FIA). faction that they would provide more accu-
rate measurements. The system shall be ca-
3. Safety pable of meeting or exceeding the following
specifications:
Because this procedure is often applied in 4.1.7.1 Zero Drift. Less than ±3.0 percent of
highly explosive areas, caution and care the span value.
should be exercised in choosing, installing, 4.1.7.2 Calibration Drift. Less than ±3.0
and using the appropriate equipment. percent of the span value.
4. Equipment and Supplies
percent of the calibration gas value.
Mention of trade names or company prod- 4.1.7.4 Response Time. Less than 30 sec-
ucts does not constitute endorsement. All onds.
gas concentrations (percent, ppm) are by vol- 4.1.8 Integrator/Data Acquisition System.
ume, unless otherwise noted. An analog or digital device or computerized
4.1 Gas VOC Concentration. A schematic data acquisition system used to integrate
of the measurement system is shown in Fig- the FIA response or compute the average re-
ure 204D–1. The main components are as fol- sponse and record measurement data. The
lows: minimum data sampling frequency for com-
4.1.1 Sample Probe. Stainless steel or puting average or integrated values is one
equivalent. The probe shall be heated to pre- measurement value every 5 seconds. The de-
vent VOC condensation. vice shall be capable of recording average
4.1.2 Calibration Valve Assembly. Three- values at least once per minute.
way valve assembly at the outlet of the sam- 4.2 Uncaptured Emissions Volumetric
ple probe to direct the zero and calibration Flow Rate.
gases to the analyzer. Other methods, such 4.2.1 Method 2 or 2A Apparatus. For deter-
as quick-connect lines, to route calibration mining volumetric flow rate.
gases to the outlet of the sample probe are 4.2.2 Method 3 Apparatus and Reagents.
acceptable. For determining molecular weight of the gas
4.1.3 Sample Line. Stainless steel or Tef- stream. An estimate of the molecular weight
lon tubing to transport the sample gas to the of the gas stream may be used if approved by
analyzer. The sample line must be heated to the Administrator.
prevent condensation. 4.2.3 Method 4 Apparatus and Reagents.
4.1.4 Sample Pump. A leak-free pump, to For determining moisture content, if nec-
pull the sample gas through the system at a essary.
flow rate sufficient to minimize the response 4.3 Temporary Total Enclosure. The cri-
time of the measurement system. The com- teria for designing an acceptable TTE are
ponents of the pump that contact the gas specified in Method 204.
stream shall be constructed of stainless steel
or Teflon. The sample pump must be heated
to prevent condensation. 5.1 Calibration and Other Gases. Gases
4.1.5 Sample Flow Rate Control. A sample used for calibration, fuel, and combustion air
flow rate control valve and rotameter, or (if required) are contained in compressed gas
equivalent, to maintain a constant sampling cylinders. All calibration gases shall be
rate within 10 percent. The flow control traceable to National Institute of Standards
valve and rotameter must be heated to pre- and Technology standards and shall be cer-
vent condensation. A control valve may also tified by the manufacturer to ±1 percent of
547
the tag value. Additionally, the manufac- mid-range gases and record the responses of
turer of the cylinder should provide a rec- the measurement system. The calibration
ommended shelf life for each calibration gas and linearity of the system are acceptable if
cylinder over which the concentration does the responses for all four gases are within 5
not change more than ±2 percent from the percent of the respective gas values. If the
certified value. For calibration gas values performance of the system is not acceptable,
not generally available, dilution systems repair or adjust the system and repeat the
calibrated using Method 205 may be used. Al- linearity check. Conduct a calibration and
ternative methods for preparing calibration linearity check after assembling the analysis
gas mixtures may be used with the approval system and after a major change is made to
of the Administrator. the system.
ommended fuel should be used. A 40 percent bration gas concentration that most closely
H2/60 percent He or 40 percent H2/60 percent approximates that of the uncaptured gas
N2 gas mixture is recommended to avoid an emissions concentration to conduct the drift
oxygen synergism effect that reportedly oc- checks. Introduce the zero and calibration
curs when oxygen concentration varies sig- gases at the calibration valve assembly and
nificantly from a mean value. Other mix- verify that the appropriate gas flow rate and
tures may be used provided the tester can pressure are present at the FIA. Record the
demonstrate to the Administrator that there measurement system responses to the zero
is no oxygen synergism effect. and calibration gases. The performance of
5.1.2 Carrier Gas. High purity air with less the system is acceptable if the difference be-
than 1 ppm of organic material (as propane tween the drift check measurement and the
or carbon equivalent) or less than 0.1 percent value obtained in section 7.1 is less than 3
of the span value, whichever is greater. percent of the span value. Alternatively, re-
5.1.3 FIA Linearity Calibration Gases. calibrate the FIA as in section 7.1 and report
Low-, mid-, and high-range gas mixture the results using both sets of calibration
standards with nominal propane concentra- data (i.e., data determined prior to the test
tions of 20–30, 45–55, and 70–80 percent of the period and data determined following the
span value in air, respectively. Other calibra- test period). The data that results in the
tion values and other span values may be lowest CE value shall be reported as the re-
used if it can be shown to the Administra- sults for the test run. Conduct a system drift
tor’s satisfaction that equally accurate check at the end of each run.
of the value obtained in section 7.1 for the
heated to prevent any condensation unless it
high-range calibration gas. Conduct a system
can be demonstrated that no condensation
check before each test run.
occurs.
8. Procedure
6. Quality Control
8.1 Determination of Volumetric Flow
Rate of Uncaptured Emissions
8.1.1 Locate all points where uncaptured
tions:
emissions are exhausted from the TTE.
Using Method 1, determine the sampling
points. Be sure to check each site for cy-
clonic or swirling flow.
formed as specified in section 7.2. 8.1.2 Measure the velocity at each sam-
6.1.3 The system check must be conducted pling site at least once every hour during
as specified in section 7.3. each sampling run using Method 2 or 2A.
7. Calibration and Standardization 8.2 Determination of VOC Content of
Uncaptured Emissions.
7.1 FIA Calibration and Linearity Check. 8.2.1 Analysis Duration. Measure the VOC
Make necessary adjustments to the air and responses at each uncaptured emission point
fuel supplies for the FIA and ignite the burn- during the entire test run or, if applicable,
er. Allow the FIA to warm up for the period while the process is operating. If there are
recommended by the manufacturer. Inject a multiple emission locations, design a sam-
calibration gas into the measurement sys- pling system to allow a single FIA to be used
tem and adjust the back-pressure regulator to determine the VOC responses at all sam-
to the value required to achieve the flow pling locations.
rates specified by the manufacturer. Inject 8.2.2 Gas VOC Concentration.
the zero-and the high-range calibration gases 8.2.2.1 Assemble the sample train as
and adjust the analyzer calibration to pro- shown in Figure 204D–1. Calibrate the FIA
vide the proper responses. Inject the low-and and conduct a system check according to the
548
procedures in sections 7.1 and 7.3, respec- 8.2.4 Alternative Procedure. The direct
tively. interface sampling and analysis procedure
8.2.2.2 Install the sample probe so that the described in section 7.2 of Method 18 may be
probe is centrally located in the stack, pipe, used to determine the gas VOC concentra-
or duct, and is sealed tightly at the stack tion. The system must be designed to collect
port connection. and analyze at least one sample every 10
8.2.2.3 Inject zero gas at the calibration minutes. If the alternative procedure is used
valve assembly. Allow the measurement sys- to determine the VOC concentration of the
tem response to reach zero. Measure the sys- uncaptured emissions in a gas/gas protocol,
tem response time as the time required for it must also be used to determine the VOC
the system to reach the effluent concentra- concentration of the captured emissions. If a
tion after the calibration valve has been re- tester wishes to conduct a liquid/gas protocol
turned to the effluent sampling position. using a gas chromatograph, the tester must
8.2.2.4 Conduct a system check before, and use Method 204F for the liquid steam. A gas
a system drift check after, each sampling chromatograph is not an acceptable alter-
run according to the procedures in sections native to the FIA in Method 204A.
7.2 and 7.3. If the drift check following a run
indicates unacceptable performance (see sec- 9. Data Analysis and Calculations
tion 7.3), the run is not valid. Alternatively, 9.1 Nomenclature.
recalibrate the FIA as in section 7.1 and re- Ai = area of NDO i, ft2.
port the results using both sets of calibra- AN = total area of all NDO’s in the enclosure,
tion data (i.e., data determined prior to the ft2.
test period and data determined following CBi = corrected average VOC concentration of
the test period). The data that results in the background emissions at point i, ppm
lowest CE value shall be reported as the re- propane.
sults for the test run. The tester may elect CB = average background concentration, ppm
to perform system drift checks during the propane.
run not to exceed one drift check per hour. CDH = average measured concentration for
8.2.2.5 Verify that the sample lines, filter, the drift check calibration gas, ppm pro-
and pump temperatures are 120 ±5 °C. pane.
8.2.2.6 Begin sampling at the start of the CD0 = average system drift check concentra-
test period and continue to sample during tion for zero concentration gas, ppm pro-
the entire run. Record the starting and end- pane.
ing times and any required process informa- CFj = corrected average VOC concentration of
tion, as appropriate. If multiple emission lo- uncaptured emissions at point j, ppm
cations are sampled using a single FIA, sam- propane.
ple at each location for the same amount of CH = actual concentration of the drift check
time (e.g., 2 min.) and continue to switch calibration gas, ppm propane.
from one location to another for the entire Ci = uncorrected average background VOC
test run. Be sure that total sampling time at concentration at point i, ppm propane.
each location is the same at the end of the Cj = uncorrected average VOC concentration
test run. Collect at least four separate meas- measured at point j, ppm propane.
urements from each sample point during F = total VOC content of uncaptured emis-
each hour of testing. Disregard the response sions, kg.
measurements at each sampling location K1 = 1.830 × 10¥6 kg/(m3-ppm).
until 2 times the response time of the meas- n = number of measurement points.
urement system has elapsed. Continue sam- QFj = average effluent volumetric flow rate
pling for at least 1 minute and record the corrected to standard conditions at
concentration measurements. uncaptured emissions point j, m3/min.
8.2.3 Background Concentration. QF = total duration of uncaptured emissions
8.2.3.1 Locate all natural draft openings sampling run, min.
(NDO’s) of the TTE. A sampling point shall 9.2 Calculations.
be at the center of each NDO, unless other- 9.2.1 Total Uncaptured VOC Emissions.
wise approved by the Administrator. If there
( )
are more than six NDO’s, choose six sam- n
pling points evenly spaced among the NDO’s. F = ∑ C Fj − C B Q Fjθ F K1 Eq. 204D-1
8.2.3.2 Assemble the sample train as
j =1
shown in Figure 204D–2. Calibrate the FIA
and conduct a system check according to the 9.2.2 VOC Concentration of the
procedures in sections 7.1 and 7.3. Uncaptured Emissions at Point j.
8.2.3.3 Position the probe at the sampling
location.
8.2.3.4 Determine the response time, con- (
C Fj = C j − C DO )C CH
DH − C DO
Eq. 204D-2
duct the system check, and sample according
ER16JN97.016</GPH>
to the procedures described in sections 8.2.2.3 9.2.3 Background VOC Concentration at

through 8.2.2.6. Point i.
549
ER16JN97.015</GPH>
tion of all points, use the arithmetic aver-
CH age.
Eq. 204D-3
C DH − C DO 10. Method Performance
9.2.4 Average Background Concentration.
The measurement uncertainties are esti-
n mated for each uncaptured emission point as
∑ CBi Ai follows: QFj=±5.5 percent and CFj=±5.0 percent.

Based on these numbers, the probable uncer-
i =1
CB = Eq. 204D-4 tainty for F is estimated at about ±7.4 per-
AN cent.
NOTE: If the concentration at each point is 11. Diagrams
within 20 percent of the average concentra-
ER16JN97.018</GPH>
550
ER16JN97.017</GPH>
551
ER16JN97.031</GPH>
552
ER16JN97.032</GPH>
METHOD 204E—VOLATILE ORGANIC COMPOUNDS 4.1.4 Sample Pump. A leak-free pump, to
EMISSIONS IN UNCAPTURED STREAM FROM pull the sample gas through the system at a
BUILDING ENCLOSURE flow rate sufficient to minimize the response
time of the measurement system. The com-
1. Scope and Application ponents of the pump that contact the gas
1.1 Applicability. This procedure is appli- stream shall be constructed of stainless steel
cable for determining the uncaptured vola- or Teflon. The sample pump must be heated
tile organic compounds (VOC) emissions to prevent condensation.
from a building enclosure (BE). It is intended 4.1.5 Sample Flow Rate Control. A sample
flow rate control valve and rotameter, or
to be used in the development of liquid/gas or
equivalent, to maintain a constant sampling
gas/gas protocols for determining VOC cap-
rate within 10 percent. The flow rate control
ture efficiency (CE) for surface coating and
valve and rotameter must be heated to pre-
printing operations.
vent condensation. A control valve may also
1.2 Principle. The total amount of
be located on the sample pump bypass loop
uncaptured VOC emissions (FB) from the BE
to assist in controlling the sample pressure
is calculated as the sum of the products of
and flow rate.
the VOC content (CFj) of each uncaptured 4.1.6 Sample Gas Manifold. Capable of di-
emissions point, the flow rate (QFj) at each verting a portion of the sample gas stream to
uncaptured emissions point, and time (QF). the FIA, and the remainder to the bypass
1.3 Sampling Requirements. A CE test discharge vent. The manifold components
shall consist of at least three sampling runs. shall be constructed of stainless steel or Tef-
Each run shall cover at least one complete lon. If emissions are to be measured at mul-
production cycle, but shall be at least 3 tiple locations, the measurement system
hours long. The sampling time for each run shall be designed to use separate sampling
need not exceed 8 hours, even if the produc- probes, lines, and pumps for each measure-
tion cycle has not been completed. Alter- ment location, and a common sample gas
native sampling times may be used with the manifold and FIA. The sample gas manifold
approval of the Administrator. must be heated to prevent condensation.
4.1.7 Organic Concentration Analyzer. An
2. Summary of Method
FIA with a span value of 1.5 times the ex-
A gas sample is extracted from the pected concentration as propane; however,
uncaptured exhaust duct of a BE through a other span values may be used if it can be
heated sample line and, if necessary, a glass demonstrated to the Administrator’s satis-
fiber filter to a flame ionization analyzer faction that they would provide equally ac-
(FIA). curate measurements. The system shall be
capable of meeting or exceeding the fol-
3. Safety lowing specifications:
Because this procedure is often applied in 4.1.7.1 Zero Drift. Less than ±3.0 percent of
highly explosive areas, caution and care the span value.
4.1.7.2 Calibration Drift. Less than ±3.0
should be exercised in choosing, installing,
percent of the span value.
and using the appropriate equipment.
4. Equipment and Supplies percent of the calibration gas value.
4.1.7.4 Response Time. Less than 30 sec-
Mention of trade names or company prod- onds.
ucts does not constitute endorsement. All 4.1.8 Integrator/Data Acquisition System.
gas concentrations (percent, ppm) are by vol- An analog or digital device or computerized
ume, unless otherwise noted. data acquisition system used to integrate
4.1 Gas VOC Concentration. A schematic the FIA response or compute the average re-
of the measurement system is shown in Fig- sponse and record measurement data. The
ure 204E–1. The main components are as fol- minimum data sampling frequency for com-
lows: puting average or integrated values is one
4.1.1 Sample Probe. Stainless steel or measurement value every 5 seconds. The de-
equivalent. The probe shall be heated to pre- vice shall be capable of recording average
vent VOC condensation. values at least once per minute.
4.1.2 Calibration Valve Assembly. Three- 4.2 Uncaptured Emissions Volumetric
way valve assembly at the outlet of the sam- Flow Rate.
ple probe to direct the zero and calibration 4.2.1 Flow Direction Indicators. Any
gases to the analyzer. Other methods, such means of indicating inward or outward flow,
as quick-connect lines, to route calibration such as light plastic film or paper streamers,
gases to the outlet of the sample probe are smoke tubes, filaments, and sensory percep-
acceptable. tion.
4.1.3 Sample Line. Stainless steel or Tef- 4.2.2 Method 2 or 2A Apparatus. For deter-
lon tubing to transport the sample gas to the mining volumetric flow rate. Anemometers
analyzer. The sample line must be heated to or similar devices calibrated according to
prevent condensation. the manufacturer’s instructions may be used
553
when low velocities are present. Vane can be demonstrated that no condensation
anemometers (Young-maximum response occurs.
propeller), specialized pitots with electronic
manometers (e.g., Shortridge Instruments 6. Quality Control
Inc., Airdata Multimeter 860) are commer- 6.1 Required instrument quality control
cially available with measurement thresh- parameters are found in the following sec-
olds of 15 and 8 mpm (50 and 25 fpm), respec- tions:
tively. 6.1.1 The FIA system must be calibrated
4.2.3 Method 3 Apparatus and Reagents. as specified in section 7.1.
For determining molecular weight of the gas 6.1.2 The system drift check must be per-
stream. An estimate of the molecular weight formed as specified in section 7.2.
of the gas stream may be used if approved by 6.1.3 The system check must be conducted
the Administrator. as specified in section 7.3.
For determining moisture content, if nec- 7. Calibration and Standardization
essary. 7.1 FIA Calibration and Linearity Check.
4.3 Building Enclosure. The criteria for an Make necessary adjustments to the air and
acceptable BE are specified in Method 204. fuel supplies for the FIA and ignite the burn-
5. Reagents and Standards er. Allow the FIA to warm up for the period
recommended by the manufacturer. Inject a
5.1 Calibration and Other Gases. Gases calibration gas into the measurement sys-
used for calibration, fuel, and combustion air tem and adjust the back-pressure regulator
(if required) are contained in compressed gas to the value required to achieve the flow
cylinders. All calibration gases shall be rates specified by the manufacturer. Inject
traceable to National Institute of Standards the zero-and the high-range calibration
and Technology standards and shall be cer- gases, and adjust the analyzer calibration to
tified by the manufacturer to ±1 percent of provide the proper responses. Inject the low-
the tag value. Additionally, the manufac- and mid-range gases and record the re-
turer of the cylinder should provide a rec- sponses of the measurement system. The
ommended shelf life for each calibration gas calibration and linearity of the system are
cylinder over which the concentration does acceptable if the responses for all four gases
not change more than ±2 percent from the are within 5 percent of the respective gas
certified value. For calibration gas values values. If the performance of the system is
not generally available, dilution systems not acceptable, repair or adjust the system
calibrated using Method 205 may be used. Al- and repeat the linearity check. Conduct a
ternative methods for preparing calibration calibration and linearity check after assem-
gas mixtures may be used with the approval bling the analysis system and after a major
of the Administrator. change is made to the system.
ommended fuel should be used. A 40 percent bration gas that most closely approximates
H2/60 percent He or 40 percent H2/60 percent the concentration of the captured emissions
N2 gas mixture is recommended to avoid an for conducting the drift checks. Introduce
oxygen synergism effect that reportedly oc- the zero and calibration gases at the calibra-
curs when oxygen concentration varies sig- tion valve assembly and verify that the ap-
nificantly from a mean value. Other mix- propriate gas flow rate and pressure are
tures may be used provided the tester can present at the FIA. Record the measurement
demonstrate to the Administrator that there system responses to the zero and calibration
is no oxygen synergism effect. gases. The performance of the system is ac-
5.1.2 Carrier Gas. High purity air with less ceptable if the difference between the drift
than 1 ppm of organic material (propane or check measurement and the value obtained
carbon equivalent) or less than 0.1 percent of in section 7.1 is less than 3 percent of the
the span value, whichever is greater. span value. Alternatively, recalibrate the
5.1.3 FIA Linearity Calibration Gases. FIA as in section 7.1 and report the results
Low-, mid-, and high-range gas mixture using both sets of calibration data (i.e., data
standards with nominal propane concentra- determined prior to the test period and data
tions of 20–30, 45–55, and 70–80 percent of the determined following the test period). The
span value in air, respectively. Other calibra- data that results in the lowest CE value
tion values and other span values may be shall be reported as the results for the test
used if it can be shown to the Administra- run. Conduct a system drift check at the end
tor’s satisfaction that equally accurate of each run.
heated to prevent any condensation unless it of the value obtained in section 7.1 for the
554
high-range calibration gas. Conduct a system the test period). The data that results in the
check before each test run. lowest CE value shall be reported as the re-
sults for the test run. The tester may elect
8. Procedure to perform drift checks during the run, not
8.1 Preliminary Determinations. The fol- to exceed one drift check per hour.
lowing points are considered exhaust points 8.3.2.5 Verify that the sample lines, filter,
and should be measured for volumetric flow and pump temperatures are 120 ±5 °C.
rates and VOC concentrations: 8.3.2.6 Begin sampling at the start of the
8.1.1 Forced Draft Openings. Any opening test period and continue to sample during
in the facility with an exhaust fan. Deter- the entire run. Record the starting and end-
mine the volumetric flow rate according to ing times, and any required process informa-
Method 2. tion, as appropriate. If multiple emission lo-
8.1.2 Roof Openings. Any openings in the cations are sampled using a single FIA, sam-
roof of a facility which does not contain fans ple at each location for the same amount of
are considered to be exhaust points. Deter- time (e.g., 2 minutes) and continue to switch
mine volumetric flow rate from these open- from one location to another for the entire
ings. Use the appropriate velocity measure- test run. Be sure that total sampling time at
ment devices (e.g., propeller anemometers). each location is the same at the end of the
8.2 Determination of Flow Rates. test run. Collect at least four separate meas-
8.2.1 Measure the volumetric flow rate at urements from each sample point during
all locations identified as exhaust points in each hour of testing. Disregard the response
section 8.1. Divide each exhaust opening into measurements at each sampling location
nine equal areas for rectangular openings until 2 times the response time of the meas-
and into eight equal areas for circular open- urement system has elapsed. Continue sam-
ings. pling for at least 1 minute, and record the
8.2.2 Measure the velocity at each site at concentration measurements.
least once every hour during each sampling 8.4 Alternative Procedure. The direct
run using Method 2 or 2A, if applicable, or interface sampling and analysis procedure
using the low velocity instruments in sec- described in section 7.2 of Method 18 may be
tion 4.2.2. used to determine the gas VOC concentra-
8.3 Determination of VOC Content of tion. The system must be designed to collect
Uncaptured Emissions. and analyze at least one sample every 10
8.3.1 Analysis Duration. Measure the VOC minutes. If the alternative procedure is used
responses at each uncaptured emissions to determine the VOC concentration of the
point during the entire test run or, if appli- uncaptured emissions in a gas/gas protocol,
cable, while the process is operating. If there it must also be used to determine the VOC
are multiple emissions locations, design a concentration of the captured emissions. If a
sampling system to allow a single FIA to be tester wishes to conduct a liquid/gas protocol
used to determine the VOC responses at all using a gas chromatograph, the tester must
sampling locations. use Method 204F for the liquid steam. A gas
8.3.2 Gas VOC Concentration. chromatograph is not an acceptable alter-
8.3.2.1 Assemble the sample train as native to the FIA in Method 204A.
shown in Figure 204E–1. Calibrate the FIA
and conduct a system check according to the 9. Data Analysis and Calculations
procedures in sections 7.1 and 7.3, respec-
tively. 9.1 Nomenclature.
8.3.2.2 Install the sample probe so that the CDH = average measured concentration for
probe is centrally located in the stack, pipe, the drift check calibration gas, ppm pro-
or duct, and is sealed tightly at the stack pane.
port connection. CD0 = average system drift check concentra-
8.3.2.3 Inject zero gas at the calibration tion for zero concentration gas, ppm pro-
valve assembly. Allow the measurement sys- pane.
tem response to reach zero. Measure the sys- CFj = corrected average VOC concentration of
tem response time as the time required for uncaptured emissions at point j, ppm
the system to reach the effluent concentra- propane.
tion after the calibration valve has been re- CH = actual concentration of the drift check
turned to the effluent sampling position. calibration gas, ppm propane.
8.3.2.4 Conduct a system check before, and Cj = uncorrected average VOC concentration
a system drift check after, each sampling measured at point j, ppm propane.
run according to the procedures in sections FB = total VOC content of uncaptured emis-
7.2 and 7.3. If the drift check following a run sions from the building, kg.
indicates unacceptable performance (see sec- K1 = 1.830 × 10¥6 kg/(m3–ppm).
tion 7.3), the run is not valid. Alternatively, n = number of measurement points.
recalibrate the FIA as in section 7.1 and re- QFj = average effluent volumetric flow rate
port the results using both sets of calibra- corrected to standard conditions at
tion data (i.e., data determined prior to the uncaptured emissions point j, m3/min.
test period and data determined following QF = total duration of CE sampling run, min.
555
9.2 Calculations 10. Method Performance
9.2.1 Total VOC Uncaptured Emissions
from the Building. The measurement uncertainties are esti-
mated for each uncaptured emissions point
n as follows: QFj=±10.0 percent and CFj=±5.0 per-
FB = ∑ C Fj Q Fjθ F K1 Eq. 204E-1 cent. Based on these numbers, the probable
uncertainty for FB is estimated at about
j =1 ±11.2 percent.
9.2.2 VOC Concentration of the
Uncaptured Emissions at Point j. 11. Diagrams
(
C Fj = C j − C DO )C CH
DH − C DO
Eq. 204E-2
ER16JN97.020</GPH>
556
ER16JN97.019</GPH>
METHOD 204F—VOLATILE ORGANIC COMPOUNDS be used as a segment in the development of

CONTENT IN LIQUID INPUT STREAM (DIS- liquid/gas protocols for determining VOC
TILLATION APPROACH) capture efficiency (CE) for surface coating
and printing operations.
1. Introduction 1.2 Principle. The amount of VOC intro-
1.1 Applicability. This procedure is appli- duced to the process (L) is the sum of the
cable for determining the input of volatile products of the weight (W) of each VOC con-
organic compounds (VOC). It is intended to taining liquid (ink, paint, solvent, etc.) used,
557
ER16JN97.033</GPH>
and its VOC content (V), corrected for a re- 4.2.8 Vacuum Gauge or Manometer. 0– to
sponse factor (RF). 760–mm (0– to 30–in.) Hg U-Tube manometer
1.3 Sampling Requirements. A CE test or vacuum gauge.
shall consist of at least three sampling runs. 4.2.9 Hot Oil Bath, With Stirring Hot
Each run shall cover at least one complete Plate. Capable of heating and maintaining a
production cycle, but shall be at least 3 distillation vessel at 110 ±3 °C.
hours long. The sampling time for each run 4.2.10 Ice Water Bath. To cool the distilla-
need not exceed 8 hours, even if the production flask.
tion cycle has not been completed. Alter- 4.2.11 Vacuum/Water Aspirator. A device
native sampling times may be used with the capable of drawing a vacuum to within 20
approval of the Administrator. mm Hg from absolute.
4.2.12 Rotary Evaporator System. Com-
2. Summary of Method plete with folded inner coil, vertical style
condenser, rotary speed control, and Teflon
A sample of each coating used is distilled sweep gas delivery tube with valved inlet.
to separate the VOC fraction. The distillate Buchi Rotavapor or equivalent.
is used to prepare a known standard for anal- 4.2.13 Ethylene Glycol Cooling/Circulating
ysis by a flame ionization analyzer (FIA), Bath. Capable of maintaining the condenser
calibrated against propane, to determine its coil fluid at ¥10 °C.
RF. 4.2.14 Dry Gas Meter (DGM). Capable of
measuring the dilution gas volume within 2
3. Safety
percent, calibrated with a spirometer or bub-
Because this procedure is often applied in ble meter, and equipped with a temperature
highly explosive areas, caution and care gauge capable of measuring temperature
should be exercised in choosing, installing, within 3 °C.
and using the appropriate equipment. 4.2.15 Activated Charcoal/Mole Sieve
Trap. To remove any trace level of organics
4. Equipment and Supplies picked up from the DGM.
Mention of trade names or company prod- 4.2.16 Gas Coil Heater. Sufficient length of
ucts does not constitute endorsement. All 0.125-inch stainless steel tubing to allow
gas concentrations (percent, ppm) are by vol- heating of the dilution gas to near the water
ume, unless otherwise noted. bath temperature before entering the vola-
tilization vessel.
4.1 Liquid Weight.
4.2.17 Water Bath, With Stirring Hot
4.1.1 Balances/Digital Scales. To weigh
Plate. Capable of heating and maintaining a
drums of VOC containing liquids to within
volatilization vessel and coil heater at a
0.2 lb or 1.0 percent of the total weight of
temperature of 100 ±5 °C.
VOC liquid used.
4.2.18 Volatilization Vessel. 50–ml midget
4.1.2 Volume Measurement Apparatus (Al- impinger fitted with a septum top and loose-
ternative). Volume meters, flow meters, den- ly filled with glass wool to increase the vola-
sity measurement equipment, etc., as needed tilization surface.
to achieve the same accuracy as direct 4.2.19 Tedlar Gas Bag. Capable of holding
weight measurements. 30 liters of gas, flushed clean with zero air,
4.2 Response Factor Determination (FIA leak tested, and evacuated.
Technique). The VOC distillation system and 4.2.20 Organic Concentration Analyzer. An
Tedlar gas bag generation system FIA with a span value of 1.5 times the ex-
apparatuses are shown in Figures 204F–1 and pected concentration as propane; however,
204F–2, respectively. The following equip- other span values may be used if it can be
ment is required: demonstrated that they would provide equal-
4.2.1 Sample Collection Can. An appro- ly accurate measurements. The FIA instru-
priately-sized metal can to be used to collect ment should be the same instrument used in
VOC containing materials. The can must be the gaseous analyses adjusted with the same
constructed in such a way that it can be fuel, combustion air, and sample back-pres-
grounded to the coating container. sure (flow rate) settings. The system shall be
4.2.2 Needle Valves. To control gas flow. capable of meeting or exceeding the fol-
4.2.3 Regulators. For calibration, dilution, lowing specifications:
and sweep gas cylinders. 4.2.20.1 Zero Drift. Less than ±3.0 percent
4.2.4 Tubing and Fittings. Teflon and of the span value.
stainless steel tubing and fittings with diam- 4.2.20.2 Calibration Drift. Less than ±3.0
eters, lengths, and sizes determined by the percent of the span value.
connection requirements of the equipment. 4.2.20.3 Calibration Error. Less than ±3.0
4.2.5 Thermometer. Capable of measuring percent of the calibration gas value.
the temperature of the hot water and oil 4.2.21 Integrator/Data Acquisition Sys-
baths to within 1 °C. tem. An analog or digital device or comput-
4.2.6 Analytical Balance. To measure ±0.01 erized data acquisition system used to inte-
mg. grate the FIA response or compute the aver-
4.2.7 Microliter Syringe. 10–μl size. age response and record measurement data.
558
The minimum data sampling frequency for 6. Quality Control
computing average or integrated value is one
measurement value every 5 seconds. The de-
vice shall be capable of recording average
tions:
4.2.22 Chart Recorder (Optional). A chart as specified in section 7.1.
recorder or similar device is recommended to
provide a continuous analog display of the
formed as specified in section 7.2.
measurement results during the liquid sam-
6.2 Precision Control. A minimum of one
ple analysis.
sample in each batch must be distilled and
5. Reagents and Standards analyzed in duplicate as a precision control.
If the results of the two analyses differ by
5.1 Zero Air. High purity air with less more than ±10 percent of the mean, then the
than 1 ppm of organic material (as propane) system must be reevaluated and the entire
or less than 0.1 percent of the span value, batch must be redistilled and analyzed.
whichever is greater. Used to supply dilution
air for making the Tedlar bag gas samples. 7. Calibration and Standardization
5.2 THC Free N2. High purity N2 with less 7.1 FIA Calibration and Linearity Check.
than 1 ppm THC. Used as sweep gas in the ro- Make necessary adjustments to the air and
tary evaporator system. fuel supplies for the FIA and ignite the burn-
5.3 Calibration and Other Gases. Gases er. Allow the FIA to warm up for the period
used for calibration, fuel, and combustion air recommended by the manufacturer. Inject a
(if required) are contained in compressed gas calibration gas into the measurement sys-
cylinders. All calibration gases shall be tem and adjust the back-pressure regulator
traceable to National Institute of Standards to the value required to achieve the flow
and Technology standards and shall be cer- rates specified by the manufacturer. Inject
tified by the manufacturer to ±1 percent of the zero-and the high-range calibration gases
the tag value. Additionally, the manufac- and adjust the analyzer calibration to pro-
turer of the cylinder should provide a rec- vide the proper responses. Inject the low-and
ommended shelf life for each calibration gas mid-range gases and record the responses of
cylinder over which the concentration does the measurement system. The calibration
not change more than ±2 percent from the and linearity of the system are acceptable if
certified value. For calibration gas values the responses for all four gases are within 5
not generally available, dilution systems percent of the respective gas values. If the
calibrated using Method 205 may be used. Al- performance of the system is not acceptable,
ternative methods for preparing calibration repair or adjust the system and repeat the
gas mixtures may be used with the approval linearity check. Conduct a calibration and
of the Administrator. linearity check after assembling the analysis
5.3.1 Fuel. The FIA manufacturer’s rec- system and after a major change is made to
ommended fuel should be used. A 40 percent the system. A calibration curve consisting of
H2/60 percent He, or 40 percent H2/60 percent zero gas and two calibration levels must be
N2 mixture is recommended to avoid fuels performed at the beginning and end of each
with oxygen to avoid an oxygen synergism batch of samples.
effect that reportedly occurs when oxygen 7.2 Systems Drift Checks. After each sam-
concentration varies significantly from a ple, repeat the system calibration checks in
mean value. Other mixtures may be used section 7.1 before any adjustments to the
provided the tester can demonstrate to the FIA or measurement system are made. If the
Administrator that there is no oxygen syner- zero or calibration drift exceeds ±3 percent of
gism effect. the span value, discard the result and repeat
5.3.2 Combustion Air. High purity air with the analysis. Alternatively, recalibrate the
less than 1 ppm of organic material (as pro- FIA as in section 7.1 and report the results
pane) or less than 0.1 percent of the span using both sets of calibration data (i.e., data
value, whichever is greater. determined prior to the test period and data
5.3.3 FIA Linearity Calibration Gases. determined following the test period). The
Low-, mid-, and high-range gas mixture data that results in the lowest CE value
standards with nominal propane concentra- shall be reported as the results for the test
tion of 20–30, 45–55, and 70–80 percent of the run.
span value in air, respectively. Other calibra-
8. Procedures
tion values and other span values may be
used if it can be shown that equally accurate 8.1 Determination of Liquid Input Weight
measurements would be achieved. 8.1.1 Weight Difference. Determine the
5.3.4 System Calibration Gas. Gas mixture amount of material introduced to the proc-
standard containing propane in air, approxi- ess as the weight difference of the feed mate-
mating the VOC concentration expected for rial before and after each sampling run. In
the Tedlar gas bag samples. determining the total VOC containing liquid
559
usage, account for: (a) The initial (begin- system and monitor the vacuum for approxi-
ning) VOC containing liquid mixture; (b) any mately 1 minute. If the vacuum falls more
solvent added during the test run; (c) any than 25 mm Hg in 1 minute, repair leaks and
coating added during the test run; and (d) repeat. Turn off the aspirator and vent vacu-
any residual VOC containing liquid mixture um.
remaining at the end of the sample run. 8.2.2.3 Deposit approximately 20 ml of
8.1.1.1 Identify all points where VOC con- sample (inks, paints, etc.) into the rotary
taining liquids are introduced to the process. evaporation distillation flask.
To obtain an accurate measurement of VOC 8.2.2.4 Install the distillation flask on the
containing liquids, start with an empty foun- rotary evaporator.
tain (if applicable). After completing the 8.2.2.5 Immerse the distillate collection
run, drain the liquid in the fountain back flask into the ice water bath.
into the liquid drum (if possible), and weigh 8.2.2.6 Start rotating the distillation flask
the drum again. Weigh the VOC containing at a speed of approximately 30 rpm.
liquids to ±0.5 percent of the total weight 8.2.2.7 Begin heating the vessel at a rate
(full) or ±1.0 percent of the total weight of of 2 to 3 °C per minute.
VOC containing liquid used during the sam- 8.2.2.8 After the hot oil bath has reached a
ple run, whichever is less. If the residual liq- temperature of 50 °C or pressure is evident on
uid cannot be returned to the drum, drain the mercury manometer, turn on the aspi-
the fountain into a preweighed empty drum rator and gradually apply a vacuum to the
to determine the final weight of the liquid. evaporator to within 20 mm Hg of absolute.
8.1.1.2 If it is not possible to measure a
Care should be taken to prevent material
single representative mixture, then weigh
burping from the distillation flask.
the various components separately (e.g., if
8.2.2.9 Continue heating until a tempera-
solvent is added during the sampling run,
ture of 110 °C is achieved and maintain this
weigh the solvent before it is added to the
temperature for at least 2 minutes, or until
mixture). If a fresh drum of VOC containing
the sample has dried in the distillation flask.
liquid is needed during the run, then weigh
both the empty drum and fresh drum. 8.2.2.10 Slowly introduce the N2 sweep gas
8.1.2 Volume Measurement (Alternative). through the purge tube and into the distilla-
If direct weight measurements are not fea- tion flask, taking care to maintain a vacuum
sible, the tester may use volume meters and of approximately 400-mm Hg from absolute.
flow rate meters (and density measurements) 8.2.2.11 Continue sweeping the remaining
to determine the weight of liquids used if it solvent VOC from the distillation flask and
can be demonstrated that the technique pro- condenser assembly for 2 minutes, or until
duces results equivalent to the direct weight all traces of condensed solvent are gone from
measurements. If a single representative the vessel. Some distillate may remain in
mixture cannot be measured, measure the the still head. This will not affect solvent re-
components separately. covery ratios.
8.2 Determination of VOC Content in 8.2.2.12 Release the vacuum, disassemble
Input Liquids the apparatus and transfer the distillate to a
8.2.1 Collection of Liquid Samples. labeled, sealed vial.
8.2.1.1 Collect a 1-pint or larger sample of 8.2.3 Preparation of VOC standard bag
the VOC containing liquid mixture at each sample.
application location at the beginning and 8.2.3.1 Assemble the bag sample genera-
end of each test run. A separate sample tion system as shown in Figure 204F–2 and
should be taken of each VOC containing liq- bring the water bath up to near boiling tem-
uid added to the application mixture during perature.
the test run. If a fresh drum is needed during 8.2.3.2 Inflate the Tedlar bag and perform
the sampling run, then obtain a sample from a leak check on the bag.
the fresh drum. 8.2.3.3 Evacuate the bag and close the bag
8.2.1.2 When collecting the sample, ground inlet valve.
the sample container to the coating drum. 8.2.3.4 Record the current barometric
Fill the sample container as close to the rim pressure.
as possible to minimize the amount of 8.2.3.5 Record the starting reading on the
headspace. dry gas meter, open the bag inlet valve, and
8.2.1.3 After the sample is collected, seal start the dilution zero air flowing into the
the container so the sample cannot leak out Tedlar bag at approximately 2 liters per
or evaporate. minute.
8.2.1.4 Label the container to identify 8.2.3.6 The bag sample VOC concentration
clearly the contents. should be similar to the gaseous VOC con-
8.2.2 Distillation of VOC. centration measured in the gas streams. The
8.2.2.1 Assemble the rotary evaporator as amount of liquid VOC required can be ap-
shown in Figure 204F–1. proximated using equations in section 9.2.
8.2.2.2 Leak check the rotary evaporation Using Equation 204F–4, calculate CVOC by as-
system by aspirating a vacuum of approxi- suming RF is 1.0 and selecting the desired
mately 20 mm Hg from absolute. Close up the gas concentration in terms of propane, CC3.
560
Assuming BV is 20 liters, ML, the approxi- K = 0.00183 mg propane/(liter-ppm propane)
mate amount of liquid to be used to prepare L = Total VOC content of liquid input, kg
the bag gas sample, can be calculated using propane.
Equation 204F–2. ML = Mass of VOC liquid injected into the
8.2.3.7 Quickly withdraw an aliquot of the bag, mg.
approximate amount calculated in section MV = Volume of gas measured by DGM, li-
8.2.3.6 from the distillate vial with the ters.
microliter syringe and record its weight PM = Absolute DGM gas pressure, mm Hg.
from the analytical balance to the nearest PSTD = Standard absolute pressure, 760 mm
0.01 mg. Hg.
8.2.3.8 Inject the contents of the syringe RC3 = FIA reading for bag gas sample, ppm
through the septum of the volatilization ves- propane.
sel into the glass wool inside the vessel. RF = Response factor for VOC in liquid,
8.2.3.9 Reweigh and record the tare weight weight VOC/weight propane.
of the now empty syringe. RFJ = Response factor for VOC in liquid J,
8.2.3.10 Record the pressure and tempera- weight VOC/weight propane.
ture of the dilution gas as it is passed TM = DGM temperature, °K.
through the dry gas meter. TSTD = Standard absolute temperature, 293
8.2.3.11 After approximately 20 liters of di- °K.
lution gas have passed into the Tedlar bag, VIJ = Initial VOC weight fraction of VOC liq-
close the valve to the dilution air source and uid J.
record the exact final reading on the dry gas VFJ = Final VOC weight fraction of VOC liq-
meter. uid J.
8.2.3.12 The gas bag is then analyzed by VAJ = VOC weight fraction of VOC liquid J
FIA within 1 hour of bag preparation in ac- added during the run.
cordance with the procedure in section 8.2.4. WIJ = Weight of VOC containing liquid J at
8.2.4 Determination of VOC response fac- beginning of run, kg.
tor. WFJ = Weight of VOC containing liquid J at
8.2.4.1 Start up the FIA instrument using end of run, kg.
the same settings as used for the gaseous WAJ = Weight of VOC containing liquid J
VOC measurements. added during the run, kg.
8.2.4.2 Perform the FIA analyzer calibra- 9.2 Calculations.
tion and linearity checks according to the 9.2.1 Bag sample volume.
procedure in section 7.1. Record the re-
sponses to each of the calibration gases and M V TSTD PM
the back-pressure setting of the FIA. BV = Eq. 204F-1
8.2.4.3 Connect the Tedlar bag sample to TM PSTD
the FIA sample inlet and record the bag con-
9.2.2 Bag sample VOC concentration.
centration in terms of propane. Continue the
analyses until a steady reading is obtained
ML
for at least 30 seconds. Record the final read- C VOC = Eq. 204F-2
ing and calculate the RF. BV
8.2.5 Determination of coating VOC con-
tent as VOC (VIJ). 9.2.3 Bag sample VOC concentration as
8.2.5.1 Determine the VOC content of the propane.
coatings used in the process using EPA
Method 24 or 24A as applicable. C C3 = R C3 K Eq. 204F-3
ER16JN97.025</GPH>
9. Data Analysis and Calculations 9.2.4 Response Factor.
9.1. Nomenclature. C VOC
BV = Volume of bag sample volume, liters. RF = Eq. 204F-4
CC3 = Concentration of bag sample as pro- C C3
pane, mg/liter.
ER16JN97.024</GPH>
CVOC = Concentration of bag sample as VOC, 9.2.5 Total VOC Content of the Input VOC
mg/liter. Containing Liquid.
ER16JN97.023</GPH>
n Vrj Wrj n VFj WFj n VAj WAj

L=∑ −∑ +∑ Eq. 204F-5
j=1 RFJ j =1 RFJ j=1 RFJ
ER16JN97.022</GPH>
10. Diagrams
561
ER16JN97.021</GPH>
562
ER16JN97.034</GPH>
563
ER16JN97.035</GPH>
METHOD 205—VERIFICATION OF GAS DILUTION available, are recommended for their accu-
SYSTEMS FOR FIELD INSTRUMENT CALIBRA- racy) and the gas flow rates (or dilution ra-
TIONS tios) through the gas dilution system.
2.1.1 The gas dilution system shall be re-
1. Introduction calibrated once per calendar year using
1.1 Applicability. A gas dilution system NIST-traceable flow standards with an un-
can provide known values of calibration certainty ≤0.25 percent. You shall report the
gases through controlled dilution of high- results of the calibration by the person or
level calibration gases with an appropriate manufacturer who carried out the calibra-
dilution gas. The instrumental test methods tion whenever the dilution system is used,
in 40 CFR part 60—e.g., Methods 3A, 6C, 7E, listing the date of the most recent calibra-
10, 15, 16, 20, 25A and 25B—require on-site, tion, the due date for the next calibration,
multi-point calibration using gases of known calibration point, reference flow device (ID,
concentrations. A gas dilution system that S/N), and acceptance criteria. Follow the
produces known low-level calibration gases manufacturer’s instructions for the oper-
from high-level calibration gases, with a de- ation and use of the gas dilution system. A
gree of confidence similar to that for Pro- copy of the manufacturer’s instructions for
tocol 1 gases, may be used for compliance the operation of the instrument, as well as
tests in lieu of multiple calibration gases the most recent calibration documentation,
when the gas dilution system is dem- shall be made available for inspection at the
onstrated to meet the requirements of this test site.
method. The Administrator may also use a 2.1.2 Some manufacturers of mass flow con-
gas dilution system in order to produce a trollers recommend that flow rates below 10
wide range of Cylinder Gas Audit concentra- percent of flow controller capacity be avoid-
tions when conducting performance speci- ed; check for this recommendation and fol-
fications according to appendix F, 40 CFR low the manufacturer’s instructions. One
part 60. As long as the acceptance criteria of study has indicated that silicone oil from a
this method are met, this method is applica- positive displacement pump produces an in-
ble to gas dilution systems using any type of terference in SO2 analyzers utilizing ultra-
dilution technology, not solely the ones violet fluorescence; follow laboratory proce-
mentioned in this method. dures similar to those outlined in Section 3.1
1.2 Principle. The gas dilution system shall in order to demonstrate the significance of
be evaluated on one analyzer once during any resulting effect on instrument perform-
each field test. A precalibrated analyzer is ance.
chosen, at the discretion of the source owner 2.2 High-Level Supply Gas. An EPA Pro-
or operator, to demonstrate that the gas di- tocol calibration gas is recommended, due to
lution system produces predictable gas con- its accuracy, as the high-level supply gas.
centrations spanning a range of concentra- 2.3 Mid-Level Supply Gas. An EPA Pro-
tions. After meeting the requirements of this tocol gas shall be used as an independent
method, the remaining analyzers may be check of the dilution system. The concentra-
calibrated with the dilution system in action of the mid-level supply gas shall be
cordance to the requirements of the applica- within 10 percent of one of the dilution levels
ble method for the duration of the field test. tested in Section 3.2.
In Methods 15 and 16, 40 CFR part 60, appen-
dix A, reactive compounds may be lost in the 3. Performance Tests
gas dilution system. Also, in Methods 25A 3.1 Laboratory Evaluation (Optional). If
and 25B, 40 CFR part 60, appendix A, calibra- the gas dilution system is to be used to for-
tion with target compounds other than pro- mulate calibration gases with reactive com-
pane is allowed. In these cases, a laboratory pounds (Test Methods 15, 16, and 25A/25B
evaluation is required once per year in order (only if using a calibration gas other than
to assure the Administrator that the system propane during the field test) in 40 CFR part
will dilute these reactive gases without sig- 60, appendix A), a laboratory certification
nificant loss. must be conducted once per calendar year for
NOTE: The laboratory evaluation is re- each reactive compound to be diluted. In the
quired only if the source owner or operator laboratory, carry out the procedures in Sec-
plans to utilize the dilution system to pre- tion 3.2 on the analyzer required in each re-
pare gases mentioned above as being reac- spective test method to be laboratory cer-
tive. tified (15, 16, or 25A and 25B for compounds
other than propane). For each compound in
2. Specifications
which the gas dilution system meets the re-
2.1 Gas Dilution System. The gas dilution quirements in Section 3.2, the source must
system shall produce calibration gases whose provide the laboratory certification data for
measured values are within ±2 percent of the the field test and in the test report.
predicted values. The predicted values are 3.2 Field Evaluation (Required). The gas di-
calculated based on the certified concentra- lution system shall be evaluated at the test
tion of the supply gas (Protocol gases, when site with an analyzer or monitor chosen by
564
the source owner or operator. It is rec- for the gas dilution system to be utilized in
ommended that the source owner or operator the test.
choose a precalibrated instrument with a
high level of precision and accuracy for the 4. References
purposes of this test. This method is not
1. ‘‘EPA Traceability Protocol for Assay
meant to replace the calibration require-
and Certification of Gaseous Calibration
ments of test methods. In addition to the re-
quirements in this method, all the calibra- Standards,’’ EPA–600/R93/224, Revised Sep-
tion requirements of the applicable test tember 1993.
method must also be met.
METHOD 207—PRE-SURVEY PROCEDURE FOR
3.2.1 Prepare the gas dilution system ac- CORN WET-MILLING FACILITY EMISSION
cording to the manufacturer’s instructions.
SOURCES
Using the high-level supply gas, prepare, at a
minimum, two dilutions within the range of 1.0 Scope and Application
each dilution device utilized in the dilution
system (unless, as in critical orifice systems, 1.1 Analyte. Total gaseous organic com-
each dilution device is used to make only pounds.
one dilution; in that case, prepare one dilu- 1.2 Applicability. This pre-survey method
tion for each dilution device). Dilution de- is intended for use at corn wet-milling
vice in this method refers to each mass flow (CWM) facilities to satisfy the requirements
controller, critical orifice, capillary tube, of Method 18, Section 16 (Pre-survey). This
positive displacement pump, or any other de- procedure establishes the analytes for subse-
vice which is used to achieve gas dilution. quent Method 18 testing to determine the
3.2.2 Calculate the predicted concentration total mass emissions of VOCs from sources
for each of the dilutions based on the flow at CWM facilities. The specific objectives of
rates through the gas dilution system (or the the pre-survey procedure are:
dilution ratios) and the certified concentra- 1.2.1 Identify the physical characteristics
tion of the high-level supply gas. of the VOC contained in the effluent.
3.2.3 Introduce each of the dilutions from
1.2.2 Determine the appropriate Method 18
Section 3.2.1 into the analyzer or monitor
sampling approach to ensure efficient collec-
one at a time and determine the instrument
tion of all VOC present in the effluent.
response for each of the dilutions.
3.2.4 Repeat the procedure in Section 3.2.3 1.2.3 Develop a specific list of target com-
two times, i.e., until three injections are pounds to be quantified during the subse-
made at each dilution level. Calculate the quent total VOC test program.
average instrument response for each trip- 1.2.4 Qualify the list of target compounds
licate injection at each dilution level. No as being a true representation of the total
single injection shall differ by more than ±2 VOC.
percent from the average instrument re- 1.3 Range. The lower and upper ranges of
sponse for that dilution. this procedure are determined by the sensi-
3.2.5 For each level of dilution, calculate tivity of the flame ionization detector (FID)
the difference between the average con- instruments used. Typically, gas detection
centration output recorded by the analyzer limits for the VOCs will be on the order of 1–
and the predicted concentration calculated 5 ppmv, with the upper limit on the order of
in Section 3.2.2. The average concentration 100,000 ppmv.
output from the analyzer shall be within ±2
percent of the predicted value. 2.0 Summary of Method
3.2.6 Introduce the mid-level supply gas di-
NOTE: Method 6, Method 18, and Method
rectly into the analyzer, bypassing the gas
25A as cited in this method refer to the
dilution system. Repeat the procedure twice
more, for a total of three mid-level supply methods in 40 CFR Part 60, Appendix A.
gas injections. Calculate the average ana- This procedure calls for using an FIA in
lyzer output concentration for the mid-level conjunction with various configurations of
supply gas. The difference between the cer- impingers, and other absorbents, or adsorb-
tified concentration of the mid-level supply ents to determine the best EPA Method 18
gas and the average instrument response sampling train configuration for the assess-
shall be within ±2 percent. ment and capture of VOCs. VOC compounds
3.3 If the gas dilution system meets the cri- present in the exhaust gas from processes lo-
teria listed in Section 3.2, the gas dilution cated at CWM facilities fall into five general
system may be used throughout that field categories: Alcohols, aldehydes, acetate
test. If the gas dilution system fails any of esters, ketones, and carboxylic acids, and
the criteria listed in Section 3.2, and the typically contain fewer than six carbon
tester corrects the problem with the gas di- atoms. This pre-survey protocol character-
lution system, the procedure in Section 3.2 izes and identifies the VOC species present.
must be repeated in its entirety and all the Since it is qualitative in nature, quan-
criteria in Section 3.2 must be met in order titative performance criteria do not apply.
565
3.0 Definitions entire system from probe tip to FIA analyzer
must have the capability to maintain all
3.1 Calibration drift means the difference
sample-wetted parts at a temperature >120
in the measurement system response to a
°C. A schematic of the heated sampling sys-
mid-level calibration gas before and after a
stated period of operation during which no tem and impinger train is shown in Figure 1
unscheduled maintenance, repair, or adjust- of this method.
ment took place. 6.3 Impinger Train. EPA Method 6 type,
3.2 Calibration error means the difference comprised of three midget impingers with
between the gas concentration indicated by appropriate connections to the sampling sys-
the measurement system and the known con- tem and FIA system. The impinger train
centration of the calibration gas. may be chilled in an ice bath or maintained
3.3 Calibration gas means a known con- at a set temperature in a water bath as indi-
centration of a gas in an appropriate diluent cated by the operator’s knowledge of the
gas. source and the compounds likely to be
3.4 Measurement system means the equip- present. Additional impingers or larger
ment required for the determination of the impingers may be used for high moisture
gas concentration. The system consists of sources.
the following major subsystems: 6.4 Adsorbent tubes.
3.4.1 Sample interface means that portion 6.4.1 Silica gel, SKC Type 226–22 or equiv-
of a system used for one or more of the fol- alent, with appropriate end connectors and
lowing: Sample acquisition, sample transpor- holders.
tation, sample conditioning, or protection of 6.4.2 Activated carbon, SKC Type 226–84 or
the analyzer(s) from the effects of the stack equivalent, with appropriate end connectors
effluent. and holders.
3.4.2 Organic analyzer means that portion 6.5 Tedlar bag. 24 liter, w/ Roberts valve,
of the measurement system that senses the for GC/MS analysis of ‘‘breakthrough’’ VOC
gas to be measured and generates an output fraction as needed.
proportional to its concentration.
3.5 Response time means the time inter- 7.0 Reagents and Standards
val from a step change in pollutant con- 7.1 Organic-free water, HPLC, or pharma-
centration at the inlet to the emission meas- ceutical grade.
urement system to the time at which 95 per- 7.2 Calibration Gases. The calibration
cent of the corresponding final value is gases for the gas analyzer shall be propane in
reached as displayed on the recorder. air or propane in nitrogen. If organic com-
3.6 Span Value means the upper limit of a pounds other than propane are used, the ap-
gas concentration measurement range that propriate corrections for response factor
is specified for affected source categories in must be available and applied to the results.
the applicable part of the regulations. The Calibration gases shall be prepared in ac-
span value is established in the applicable cordance with the procedure listed in Cita-
regulation and is usually 1.5 to 2.5 times the
tion 2 of section 16. Additionally, the manu-
applicable emission limit. If no span value is
facturer of the cylinder must provide a rec-
provided, use a span value equivalent to 1.5
ommended shelf life for each calibration gas
to 2.5 times the expected concentration. For
cylinder over which the concentration does
convenience, the span value should cor-
not change more than ±2 percent from the
respond to 100 percent of the recorder scale.
certified value. For calibration gas values
3.7 Zero drift means the difference in the
not generally available (i.e., organics be-
measurement system response to a zero level
tween 1 and 10 percent by volume), alter-
calibration gas before or after a stated pe-
riod of operation during which no unsched- native methods for preparing calibration gas
uled maintenance, repair, or adjustment mixtures, such as dilution systems (Test
took place. Method 205, 40 CFR Part 51, Appendix M),
may be used with prior approval of the Ad-
4.0 Interferences [Reserved] ministrator.
7.3 Fuel. A 40 percent H2/60 percent N2 or
5.0 Safety [Reserved] He gas mixture is recommended to avoid an
oxygen synergism effect that reportedly oc-
6.0 Equipment and Supplies curs when oxygen concentration varies sig-
6.1 Organic Concentration Analyzer. A nificantly from a mean value.
flame ionization analyzer (FIA) with heated 7.4 Zero Gas. High purity air with less
detector block and sample handling system, than 0.1 parts per million by volume (ppmv)
meeting the requirements of USEPA Method of organic material (propane or carbon
25A. equivalent) or less than 0.1 percent of the
6.2 Heated Sampling System. A sampling span value, whichever is greater.
system consisting of a stainless steel probe 7.5 Low-level Calibration Gas. An organic
with particulate filter, Teflon ® sample line, calibration gas with a concentration equiva-
and sampling pump capable of moving 1.0 l/ lent to 25 to 35 percent of the applicable span
min through the sample probe and line. The value.
566
7.6 Mid-level Calibration Gas. An organic 9.0 Quality Control
calibration gas with a concentration equiva-
9.1 Blanks. A minimum of one method
lent to 45 to 55 percent of the applicable span blank shall be prepared and analyzed for
value. each sample medium employed during a pre-
7.7 High-level Calibration Gas. An organic survey testing field deployment to assess the
calibration gas with a concentration equiva- effect of media contamination. Method
lent to 80 to 90 percent of the applicable span blanks are prepared by assembling and
value. charging the sample train with reagents,
then recovering and preserving the blanks in
8.0 Sample Collection, Preservation and the same manner as the test samples. Meth-
Storage od blanks and test samples are stored, trans-
8.1 Configuration. The configuration of the ported and analyzed in identical fashion as
pre-survey sampling system is provided in the test samples.
9.2 Synthetic Sample (optional). A synthetic
Figure 1. This figure shows the primary com-
sample may be used to assess the perform-
ponents of the sampling system needed to
ance of the VOC characterization apparatus
conduct a VOC survey. A dual-channel ana-
with respect to specific compounds. The syn-
lyzer is beneficial, but not necessary. Only a thetic sample is prepared by injecting appro-
single channel is indicated in the figure. priate volume(s) of the compounds of inter-
8.2 Sampling. The pre-survey system est into a Tedlar bag containing a known
should be set up and calibrated with the tar- volume of zero air or nitrogen. The contents
geted sampling flow rate that will be used of the bag are allowed to equilibrate, and the
during Method 18 VOC sampling. The tar- bag is connected to the sampling system.
geted flow rate for capture of most expected The sampling system, VOC characterization
VOC species is 400 cc/min. Since most FIA apparatus and FIA are operated normally to
analyzers do not specifically allow for ad- determine the performance of the system
justing the total sample flow rate (only the with respect to the VOC compounds present
back pressure), it may be necessary to insert in the synthetic sample.
a flow control valve at the sample inlet to
10.0 Calibration and Standardization
the FIA. The total sample flow can be meas-
ured at the FIA bypass, since only a small 10.1 Calibration. The FIA equipment is
fraction of the sample flow is diverted to able to be calibrated for almost any range of
analysis portion of the instrument. total organic concentrations. For high con-
The sampling system configuration shown centrations of organics (>1.0 percent by vol-
in Figure 1 is operated using the process flow ume as propane), modifications to most com-
diagram provided in Figure 2. As noted in monly available analyzers are necessary. One
the process flowchart, the initial sampling accepted method of equipment modification
media consists of the three midget is to decrease the size of the sample to the
analyzer through the use of a smaller diame-
impingers. The attenuation of the VOC sam-
ter sample capillary. Direct and continuous
ple stream is evaluated to determine if 95
measurement of organic concentration is a
percent or greater attenuation (capture) of
necessary consideration when determining
the VOCs present has been achieved. The any modification design.
flow diagram specifies successive adjust-
ments to the sampling media that are uti- 11.0 Procedure
lized to increase VOC capture.
11.1 Analytical Procedure. Upon completion
A one-hour test of the final sampling con-
of the pre-survey sampling, the sample frac-
figuration is performed using fresh media to tions are to be analyzed by an appropriate
ensure that significant breakthrough does chromatographic technique. (Ref: Method 18)
not occur. Additional sampling media (more The resulting chromatograms must be re-
water, silica or carbon tubes) may be added viewed to ensure that the ratio of known
to ensure that breakthrough is not occurring peak area to total peak area is 95% or great-
for the full duration of a test run. er. It should be noted that if formaldehyde is
If 95 percent or greater attenuation has not a suspected analyte, it must be quantitated
been achieved after inserting all indicated separately using a different analytical tech-
media, the most likely scenario is that nique.
methane is present. This is easily checked by
collecting a sample of this final bypass sam- 12.0 Data Analysis and Calculations
ple stream and analyzing for methane. There Chromatogram peaks will be ranked from
are other VOC compounds which could also greatest area to least area using peak inte-
penetrate the media. Their identification by grator output. The area of all peaks will
gas chromatography followed by mass spec- then be totaled, and the proportion of each
trometry would be required if the break- peak area to the total area will be cal-
through cannot be accounted for by the pres- culated. Beginning with the highest ranked
ence of methane. area, each peak will be identified and the
567
area added to previous areas until the cumu- 16.2 CFR 40 Part 60, Appendix A, Method
lative area comprises at least 95% of the 25A, Determination of Total Gaseous Organic
total area. The VOC compounds generating Concentration Using a Flame Ionization An-
those identified peaks will comprise the alyzer.
compound list to be used in Method 18 test- 16.2 CFR 40 Part 60, Appendix A, Method
ing of the subject source. 6, Determination of Sulfur Dioxide Emis-
13.0 Method Performance [Reserved] sions from Stationary Sources.
16.3 National Council for Air and Stream
14.0 Pollution Prevention [Reserved] Improvement (NCASI), Method CI/WP–98.01
‘‘Chilled Impinger Method for Use at Wood
15.0 Waste Management [Reserved]
Products Mills to Measure Formaldehyde,
16.0 References Methanol, and Phenol.
16.1 CFR 40 Part 60, Appendix A, Method 17. Tables, Diagrams, Flowcharts, and
18, Measurement of Gaseous Organic Com- Validation Data
pound Emissions by Gas Chromatography.
568
569
ER29MY08.000</GPH>
570
ER29MY08.001</GPH>
[55 FR 14249, Apr. 17, 1990; 55 FR 24687, June 1.1.3 Sulfuric acid plants, as specified in
18, 1990, as amended at 55 FR 37606, Sept. 12, paragraph 2.3 of this appendix, shall be mon-
1990; 56 FR 6278, Feb. 15, 1991; 56 FR 65435, itored for sulfur dioxide emissions.
Dec. 17, 1991; 60 FR 28054, May 30, 1995; 62 FR 1.1.4 Nitric acid plants, as specified in para-
32502, June 16, 1997; 71 FR 55123, Sept. 21, 2006; graph 2.2 of this appendix, shall be monitored
73 FR 30779, May 29, 2008; 75 FR 55644, Sept. for nitrogen oxides emissions.
13, 2010; 75 FR 80134, Dec. 21, 2010; 79 FR 11235, 1.2 Exemptions. The States may include pro-
Feb. 27, 2014; 79 FR 18453, Apr. 2, 2014; 81 FR visions within their regulations to grant ex-
59806, Aug. 30, 2016; 83 FR 56720, Nov. 14, 2018; emptions from the monitoring requirements
85 FR 63401, Oct. 7, 2020] of paragraph 1.1 of this appendix for any
source which is:
APPENDIXES N–O TO PART 51 1.2.1 Subject to a new source performance
[RESERVED] standard promulgated in 40 CFR part 60 pur-
suant to section 111 of the Clean Air Act; or
APPENDIX P TO PART 51—MINIMUM 1.2.2 not subject to an applicable emission
EMISSION MONITORING REQUIREMENTS standard of an approved plan; or
1.2.3 scheduled for retirement within 5
1.0 Purpose. This appendix P sets forth the years after inclusion of monitoring require-
minimum requirements for continuous emis- ments for the source in appendix P, provided
sion monitoring and recording that each that adequate evidence and guarantees are
State Implementation Plan must include in provided that clearly show that the source
order to be approved under the provisions of will cease operations prior to such date.
40 CFR 51.214. These requirements include 1.3 Extensions. States may allow reasonable
the source categories to be affected; emis- extensions of the time provided for installa-
sion monitoring, recording, and reporting re- tion of monitors for facilities unable to meet
quirements for those sources; performance the prescribed timeframe (i.e., 18 months
specifications for accuracy, reliability, and from plan approval or promulgation) pro-
durability of acceptable monitoring systems; vided the owner or operator of such facility
and techniques to convert emission data to demonstrates that good faith efforts have
units of the applicable State emission stand- been made to obtain and install such devices
ard. Such data must be reported to the State within such prescribed timeframe.
as an indication of whether proper mainte- 1.4 Monitoring System Malfunction. The
nance and operating procedures are being State plan may provide a temporary exemp-
utilized by source operators to maintain tion from the monitoring and reporting re-
emission levels at or below emission stand- quirements of this appendix during any pe-
ards. Such data may be used directly or indi- riod of monitoring system malfunction, pro-
rectly for compliance determination or any vided that the source owner or operator
other purpose deemed appropriate by the shows, to the satisfaction of the State, that
State. Though the monitoring requirements the malfunction was unavoidable and is
are specified in detail, States are given some being repaired as expeditiously as prac-
flexibility to resolve difficulties that may ticable.
arise during the implementation of these 2.0 Minimum Monitoring Requirement. States
regulations. must, as a minimum, require the sources
1.1 Applicability. The State plan shall re- listed in paragraph 1.1 of this appendix to
quire the owner or operator of an emission meet the following basic requirements.
source in a category listed in this appendix 2.1 Fossil fuel-fired steam generators. Each
to: (1) Install, calibrate, operate, and main- fossil fuel-fired steam generator, except as
tain all monitoring equipment necessary for provided in the following subparagraphs,
continuously monitoring the pollutants with an annual average capacity factor of
specified in this appendix for the applicable greater than 30 percent, as reported to the
source category; and (2) complete the instal- Federal Power Commission for calendar year
lation and performance tests of such equip- 1974, or as otherwise demonstrated to the
ment and begin monitoring and recording State by the owner or operator, shall con-
within 18 months of plan approval or promul- form with the following monitoring require-
gation. The source categories and the respec- ments when such facility is subject to an
tive monitoring requirements are listed emission standard of an applicable plan for
below. the pollutant in question.
1.1.1 Fossil fuel-fired steam generators, as 2.1.1 A continuous monitoring system for
specified in paragraph 2.1 of this appendix, the measurement of opacity which meets the
shall be monitored for opacity, nitrogen ox- performance specifications of paragraph 3.1.1
ides emissions, sulfur dioxide emissions, and of this appendix shall be installed, cali-
oxygen or carbon dioxide. brated, maintained, and operated in accord-
1.1.2 Fluid bed catalytic cracking unit cat- ance with the procedures of this appendix by
alyst regenerators, as specified in paragraph the owner or operator of any such steam gen-
2.4 of this appendix, shall be monitored for erator of greater than 250 million BTU per
opacity. hour heat input except where:
571
2.1.1.1 gaseous fuel is the only fuel burned, duction capacity, the production being ex-
or pressed as 100 percent acid, shall install, cali-
2.1.1.2 oil or a mixture of gas and oil are brate, maintain and operate a continuous
the only fuels burned and the source is able monitoring system for the measurement of
to comply with the applicable particulate sulfur dioxide which meets the performance
matter and opacity regulations without uti- specifications of paragraph 3.1.3 for each sul-
lization of particulate matter collection furic acid producing facility within such
equipment, and where the source has never plant.
been found, through any administrative or 2.4 Fluid bed catalytic cracking unit catalyst
judicial proceedings, to be in violation of regenerators at petroleum refineries. Each cata-
any visible emission standard of the applica- lyst regenerator for fluid bed catalytic
ble plan. cracking units of greater than 20,000 barrels
2.1.2 A continuous monitoring system for per day fresh feed capacity shall install, cali-
the measurement of sulfur dioxide which brate, maintain, and operate a continuous
meets the performance specifications of monitoring system for the measurement of
paragraph 3.1.3 of this appendix shall be in- opacity which meets the performance speci-
stalled, calibrated, maintained, and operated fications of paragraph 3.1.1.
on any fossil fuel-fired steam generator of 3.0 Minimum specifications. All State plans
greater than 250 million BTU per hour heat shall require owners or operators of moni-
input which has installed sulfur dioxide pol- toring equipment installed to comply with
lutant control equipment. this appendix, except as provided in para-
2.1.3 A continuous monitoring system for graph 3.2, to demonstrate compliance with
the measurement of nitrogen oxides which the following performance specifications.
meets the performance specification of para- 3.1 Performance specifications. The perform-
graph 3.1.2 of this appendix shall be installed, ance specifications set forth in appendix B of
calibrated, maintained, and operated on fos- part 60 are incorporated herein by reference,
sil fuel-fired steam generators of greater and shall be used by States to determine ac-
than 1000 million BTU per hour heat input ceptability of monitoring equipment in-
when such facility is located in an Air Qual- stalled pursuant to this appendix except that
ity Control Region where the Administrator (1) where reference is made to the ‘‘Adminis-
has specifically determined that a control trator’’ in appendix B, part 60, the term State
strategy for nitrogen dioxide is necessary to should be inserted for the purpose of this ap-
attain the national standards, unless the pendix (e.g., in Performance Specification 1,
source owner or operator demonstrates dur- 1.2, ‘‘ * * * monitoring systems subject to
ing source compliance tests as required by approval by the Administrator,’’ should be in-
the State that such a source emits nitrogen terpreted as, ‘‘* * * monitoring systems sub-
oxides at levels 30 percent or more below the ject to approval by the State’’), and (2) where
emission standard within the applicable reference is made to the ‘‘Reference Method’’
plan. in appendix B, part 60, the State may allow
2.1.4 A continuous monitoring system for the use of either the State approved ref-
the measurement of the percent oxygen or erence method or the Federally approved ref-
carbon dioxide which meets the performance erence method as published in part 60 of this
specifications of paragraphs 3.1.4 or 3.1.5 of chapter. The Performance Specifications to
this appendix shall be installed, calibrated, be used with each type of monitoring system
operated, and maintained on fossil fuel-fired are listed below.
steam generators where measurements of ox- 3.1.1 Continuous monitoring systems for
ygen or carbon dioxide in the flue gas are re- measuring opacity shall comply with Per-
quired to convert either sulfur dioxide or ni- formance Specification 1.
trogen oxides continuous emission moni- 3.1.2 Continuous monitoring systems for
toring data, or both, to units of the emission measuring nitrogen oxides shall comply with
standard within the applicable plan. Performance Specification 2.
2.2 Nitric acid plants. Each nitric acid plant 3.1.3 Continuous monitoring systems for
of greater than 300 tons per day production measuring sulfur dioxide shall comply with
capacity, the production capacity being ex- Performance Specification 2.
pressed as 100 percent acid, located in an Air 3.1.4 Continuous monitoring systems for
Quality Control Region where the Adminis- measuring oxygen shall comply with Per-
trator has specifically determined that a formance Specification 3.
control strategy for nitrogen dioxide is nec- 3.1.5 Continuous monitoring systems for
essary to attain the national standard shall measuring carbon dioxide shall comply with
install, calibrate, maintain, and operate a Performance Specification 3.
continuous monitoring system for the meas- 3.2 Exemptions. Any source which has pur-
urement of nitrogen oxides which meets the chased an emission monitoring system(s)
performance specifications of paragraph 3.1.2 prior to September 11, 1974, may be exempt
for each nitric acid producing facility within from meeting such test procedures pre-
such plant. scribed in appendix B of part 60 for a period
2.3 Sulfuric acid plants. Each Sulfuric acid not to exceed five years from plan approval
plant of greater than 300 tons per day pro- or promulgation.
572
3.3 Calibration Gases. For nitrogen oxides similar design and operating characteristics,
monitoring systems installed on fossil fuel- or when the effluent from one affected facil-
fired steam generators, the pollutant gas ity is released to the atmosphere through
used to prepare calibration gas mixtures more than one point, the State should estab-
(section 6.1, Performance Specification 2, ap- lish alternate procedures to implement the
pendix B, part 60 of this chapter) shall be ni- intent of these requirements.
tric oxide (NO). For nitrogen oxides moni- 3.7 Zero and drift. State plans shall require
toring systems installed on nitric acid owners or operators of all continuous moni-
plants, the pollutant gas used to prepare toring systems installed in accordance with
calibration gas mixtures (section 6.1, Per- the requirements of this appendix to record
formance Specification 2, appendix B, part 60 the zero and span drift in accordance with
of this chapter) shall be nitrogen dioxide the method prescribed by the manufacturer
(NO2). These gases shall also be used for of such instruments; to subject the instru-
daily checks under paragraph 3.7 of this ap- ments to the manufacturer’s recommended
pendix as applicable. For sulfur dioxide mon- zero and span check at least once daily un-
itoring systems installed on fossil fuel-fired less the manufacturer has recommended ad-
steam generators or sulfuric acid plants, the justments at shorter intervals, in which case
pollutant gas used to prepare calibration gas such recommendations shall be followed; to
mixtures (section 6.1, Performance Specifica- adjust the zero and span whenever the 24-
tion 2, appendix B, part 60 of this chapter) hour zero drift or 24-hour calibration drift
shall be sulfur dioxide (SO2). Span and zero limits of the applicable performance speci-
gases should be traceable to National Bureau fications in appendix B of part 60 are exceed-
of Standards reference gases whenever these ed; and to adjust continuous monitoring sys-
reference gases are available. Every 6 tems referenced by paragraph 3.2 of this ap-
months from date of manufacture, span and pendix whenever the 24-hour zero drift or 24-
zero gases shall be reanalyzed by conducting hour calibration drift exceed 10 percent of
triplicate analyses using the reference meth- the emission standard.
ods in appendix A, part 60 of this chapter as 3.8 Span. Instrument span should be ap-
follows: for SO2, use Reference Method 6; for proximately 200 per cent of the expected in-
nitrogen oxides, use Reference Method 7; and strument data display output corresponding
for carbon dioxide or oxygen, use Reference to the emission standard for the source.
Method 3. The gases may be analyzed at less 3.9 Alternative procedures and requirements.
frequent intervals if longer shelf lives are In cases where States wish to utilize dif-
guaranteed by the manufacturer. ferent, but equivalent, procedures and re-
3.4 Cycling times. Cycling times include the quirements for continuous monitoring sys-
total time a monitoring system requires to tems, the State plan must provide a descrip-
sample, analyze and record an emission tion of such alternative procedures for ap-
measurement. proval by the Administrator. Some examples
3.4.1 Continuous monitoring systems for of situations that may require alternatives
measuring opacity shall complete a min- follow:
imum of one cycle of operation (sampling, 3.9.1 Alternative monitoring requirements
analyzing, and data recording) for each suc- to accommodate continuous monitoring sys-
cessive 10-second period. tems that require corrections for stack mois-
3.4.2 Continuous monitoring systems for ture conditions (e.g., an instrument meas-
measuring oxides of nitrogen, carbon diox- uring steam generator SO2 emissions on a
ide, oxygen, or sulfur dioxide shall complete wet basis could be used with an instrument
a minimum of one cycle of operation (sam- measuring oxygen concentration on a dry
pling, analyzing, and data recording) for basis if acceptable methods of measuring
each successive 15-minute period. stack moisture conditions are used to allow
3.5 Monitor location. State plans shall re- accurate adjustments of the measured SO2
quire all continuous monitoring systems or concentration to dry basis.)
monitoring devices to be installed such that 3.9.2 Alternative locations for installing
representative measurements of emissions or continuous monitoring systems or moni-
process parameters (i.e., oxygen, or carbon toring devices when the owner or operator
dioxide) from the affected facility are ob- can demonstrate that installation at alter-
tained. Additional guidance for location of native locations will enable accurate and
continuous monitoring systems to obtain representative measurements.
representative samples are contained in the 3.9.3 Alternative procedures for performing
applicable Performance Specifications of ap- calibration checks (e.g., some instruments
pendix B of part 60 of this chapter. may demonstrate superior drift characteris-
3.6 Combined effluents. When the effluents tics that require checking at less frequent
from two or more affected facilities of simi- intervals).
lar design and operating characteristics are 3.9.4 Alternative monitoring requirements
combined before being released to the atmos- when the effluent from one affected facility
phere, the State plan may allow monitoring or the combined effluent from two or more
systems to be installed on the combined ef- identical affected facilities is released to the
fluent. When the affected facilities are not of atmosphere through more than one point
573
(e.g., an extractive, gaseous monitoring sys- toring system performance whenever system
tem used at several points may be approved repairs or adjustments have been made.
if the procedures recommended are suitable 4.5 When no excess emissions have occurred
for generating accurate emission averages). and the continuous monitoring system(s)
3.9.5 Alternative continuous monitoring have not been inoperative, repaired, or ad-
systems that do not meet the spectral re- justed, such information shall be included in
sponse requirements in Performance Speci- the report.
fication 1, appendix B of part 60, but ade- 4.6 The State plan shall require owners or
quately demonstrate a definite and con- operators of affected facilities to maintain a
sistent relationship between their measure- file of all information reported as specified
ments and the opacity measurements of a in paragraph 4.1 of this appendix, all other
system complying with the requirements in data collected either by the continuous mon-
Performance Specification 1. The State may itoring system or as necessary to convert
require that such demonstration be per- monitoring data to the units of the applica-
formed for each affected facility. ble standard for a minimum of two years
4.0 Minimum data requirements. The fol- from the date of collection of such data or
lowing paragraphs set forth the minimum submission of such summaries.
data reporting requirements necessary to 5.0 Data Reduction. The State plan shall re-
comply with § 51.214(d) and (e). quire owners or operators of affected facili-
4.1 The State plan shall require owners or ties to use the following procedures for con-
operators of facilities required to install converting monitoring data to units of the
tinuous monitoring systems to submit a standard where necessary.
written report of excess emissions twice per 5.1 For fossil fuel-fired steam generators
year at 6-month intervals and the nature and the following procedures shall be used to
cause of the excess emissions, if known. The convert gaseous emission monitoring data in
averaging period used for data reporting parts per million to g/million cal (lb/million
should be established by the State to cor- BTU) where necessary:
respond to the averaging period specified in 5.1.1 When the owner or operator of a fossil
the emission test method used to determine fuel-fired steam generator elects under para-
compliance with an emission standard for graph 2.1.4 of this appendix to measure oxy-
the pollutant/source category in question. gen in the flue gases, the measurements of
The required report shall include, as a min- the pollutant concentration and oxygen con-
imum, the data stipulated in this appendix. centration shall each be on a dry basis and
4.2 For opacity measurements, the sum- the following conversion procedure used:
mary shall consist of the magnitude in ac- E = CF [20.9/20.9 ¥ %O2]
tual percent opacity of all one-minute (or
5.1.2 When the owner or operator elects
such other time period deemed appropriate
under paragraph 2.1.4 of this appendix to
by the State) averages of opacity greater
measure carbon dioxide in the flue gases, the
than the opacity standard in the applicable
measurement of the pollutant concentration
plan for each hour of operation of the facil-
and the carbon dioxide concentration shall
ity. Average values may be obtained by inte-
each be on a consistent basis (wet or dry)
gration over the averaging period or by
and the following conversion procedure used:
arithmetically averaging a minimum of four
equally spaced, instantaneous opacity meas- E = CFc (100 / %CO2)
urements per minute. Any time period ex- 5.1.3 The values used in the equations
empted shall be considered before deter- under paragraph 5.1 are derived as follows:
mining the excess averages of opacity (e.g., E = pollutant emission, g/million cal (lb/
whenever a regulation allows two minutes of million BTU),
opacity measurements in excess of the stand- C = pollutant concentration, g/dscm (lb/
ard, the State shall require the source to re- dscf), determined by multiplying the average
port all opacity averages, in any one hour, in concentration (ppm) for each hourly period
excess of the standard, minus the two- by 4.16 × 10¥5 M g/dscm per ppm (2.64 × 10¥9
minute exemption). If more than one opacity M lb/dscf per ppm) where M = pollutant mo-
standard applies, excess emissions data must lecular weight, g/g-mole (lb/lb-mole). M = 64
be submitted in relation to all such stand- for sulfur dioxide and 46 for oxides of nitro-
ards. gen.
4.3 For gaseous measurements the sum- %O2, %CO2 = Oxygen or carbon dioxide vol-
mary shall consist of emission averages, in ume (expressed as percent) determined with
the units of the applicable standard, for each equipment specified under paragraphs 3.1.4
averaging period during which the applicable and 3.1.5 of this appendix.
standard was exceeded. 5.2 For sulfuric acid plants the owner or
4.4 The date and time identifying each pe- operator shall:
riod during which the continuous monitoring 5.2.1 establish a conversion factor three
system was inoperative, except for zero and times daily according to the procedures to
span checks, and the nature of system re- § 60.84(b) of this chapter;
pairs or adjustments shall be reported. The 5.2.2 multiply the conversion factor by the
State may require proof of continuous moni- average sulfur dioxide concentration in the
574
flue gases to obtain average sulfur dioxide continuous monitoring system or monitoring
emissions in Kg/metric ton (lb/short ton); device specified by this appendix would not
and provide accurate determinations of emis-
5.2.3 report the average sulfur dioxide sions (e.g., condensed, uncombined water
emission for each averaging period in excess vapor may prevent an accurate determina-
of the applicable emission standard in the re- tion of opacity using commercially available
ports submitted as specified in paragraph 4.1 continuous monitoring systems).
of this appendix. 6.2 Alternative monitoring requirements
5.3 For nitric acid plants the owner or op- may be prescribed when the affected facility
erator shall: is infrequently operated (e.g., some affected
5.3.1 establish a conversion factor accord- facilities may operate less than one month
ing to the procedures of § 60.73(b) of this per year).
chapter; 6.3 Alternative monitoring requirements
5.3.2 multiply the conversion factor by the may be prescribed when the State deter-
average nitrogen oxides concentration in the mines that the requirements of this appendix
flue gases to obtain the nitrogen oxides would impose an extreme economic burden
emissions in the units of the applicable on the source owner or operator.
standard; 6.4 Alternative monitoring requirements
5.3.3 report the average nitrogen oxides
may be prescribed when the State deter-
emission for each averaging period in excess
mines that monitoring systems prescribed by
of the applicable emission standard, in the
this appendix cannot be installed due to
reports submitted as specified in paragraph
physical limitations at the facility.
4.1 of this appendix.
5.4 Any State may allow data reporting or [40 FR 46247, Oct. 6, 1975, as amended at 51 FR
reduction procedures varying from those set 40675, Nov. 7, 1986; 81 FR 59808, Aug. 30, 2016;
forth in this appendix if the owner or oper- 85 FR 49600, Aug. 14, 2020]
ator of a source shows to the satisfaction of
the State that his procedures are at least as APPENDIXES Q–R TO PART 51
accurate as those in this appendix. Such pro- [RESERVED]
cedures may include but are not limited to,
the following: APPENDIX S TO PART 51—EMISSION
5.4.1 Alternative procedures for computing
OFFSET INTERPRETATIVE RULING
emission averages that do not require inte-
gration of data (e.g., some facilities may I. INTRODUCTION
demonstrate that the variability of their
emissions is sufficiently small to allow accu- This appendix sets forth EPA’s Interpreta-
rate reduction of data based upon computing tive Ruling on the preconstruction review re-
averages from equally spaced data points quirements for stationary sources of air pol-
over the averaging period). lution (not including indirect sources) under
5.4.2 Alternative methods of converting 40 CFR subpart I and section 129 of the Clean
pollutant concentration measurements to Air Act Amendments of 1977, Public Law 95–
the units of the emission standards. 95, (note under 42 U.S.C. 7502). A major new
6.0 Special Consideration. The State plan source or major modification which would
may provide for approval, on a case-by-case locate in any area designated under section
basis, of alternative monitoring require- 107(d) of the Act as attainment or
ments different from the provisions of parts unclassifiable for ozone that is located in an
1 through 5 of this appendix if the provisions ozone transport region or which would locate
of this appendix (i.e., the installation of a in an area designated in 40 CFR part 81, sub-
continuous emission monitoring system) part C, as nonattainment for a pollutant for
cannot be implemented by a source due to which the source or modification would be
physical plant limitations or extreme eco- major may be allowed to construct only if
nomic reasons. To make use of this provi- the stringent conditions set forth below are
sion, States must include in their plan spe- met. These conditions are designed to insure
cific criteria for determining those physical that the new source’s emissions will be con-
limitations or extreme economic situations trolled to the greatest degree possible; that
to be considered by the State. In such cases, more than equivalent offsetting emission re-
when the State exempts any source subject ductions (emission offsets) will be obtained
to this appendix by use of this provision from existing sources; and that there will be
from installing continuous emission moni- progress toward achievement of the NAAQS.
toring systems, the State shall set forth al- For each area designated as exceeding a
ternative emission monitoring and reporting NAAQS (nonattainment area) under 40 CFR
requirements (e.g., periodic manual stack part 81, subpart C, or for any area designated
tests) to satisfy the intent of these regula- under section 107(d) of the Act as attainment
tions. Examples of such special cases in- or unclassifiable for ozone that is located in
clude, but are not limited to, the following: an ozone transport region, this Interpreta-
6.1 Alternative monitoring requirements tive Ruling will be superseded after June 30,
may be prescribed when installation of a 1979 (a) by preconstruction review provisions
575
of the revised SIP, if the SIP meets the re- if they are located on surface sites that are
quirements of Part D, Title 1, of the Act; or located within 1⁄4 mile of one another (meas-
(b) by a prohibition on construction under ured from the center of the equipment on the
the applicable SIP and section 110(a)(2)(I) of surface site) and they share equipment.
the Act, if the SIP does not meet the re- Shared equipment includes, but is not lim-
quirements of Part D. The Ruling will re- ited to, produced fluids storage tanks, phase
main in effect to the extent not superseded separators, natural gas dehydrators or emis-
under the Act. This prohibition on major sions control devices. Surface site, as used in
new source construction does not apply to a this paragraph II.A.2(ii), has the same mean-
source whose permit to construct was ap- ing as in 40 CFR 63.761.
plied for during a period when the SIP was in 3. Potential to emit means the maximum ca-
compliance with Part D, or before the dead- pacity of a stationary source to emit a pol-
line for having a revised SIP in effect that lutant under its physical and operational de-
satisfies Part D. sign. Any physical or operational limitation
The requirement of this Ruling shall not on the capacity of the source to emit a pol-
apply to any major stationary source or lutant, including air pollution control equip-
major modification that was not subject to ment and restrictions on hours of operation
the Ruling as in effect on January 16, 1979, if or on the type or amount of material com-
the owner or operator: busted, stored, or processed, shall be treated
A. Obtained all final Federal, State, and as part of its design only if the limitation or
local preconstruction approvals or permits the effect it would have on emissions is fed-
necessary under the applicable State Imple- erally enforceable. Secondary emissions do
mentation Plan before August 7, 1980; not count in determining the potential to
B. Commenced construction within 18 emit of a stationary source.
months from August 7, 1980, or any earlier 4. (i) Major stationary source means:
time required under the applicable State Im- (a) Any stationary source of air pollutants
plementation Plan; and which emits, or has the potential to emit, 100
C. Did not discontinue construction for a tons per year or more of a regulated NSR
period of 18 months or more and completed pollutant (as defined in paragraph II.A.31 of
construction within a reasonable time. this Ruling), except that lower emissions
thresholds shall apply in areas subject to
II. INITIAL SCREENING ANALYSES AND DETER- subpart 2, subpart 3, or subpart 4 of part D,
MINATION OF APPLICABLE REQUIREMENTS title I of the Act, according to paragraphs
A. Definitions—For the purposes of this II.A.4(i)(a)(1) through (8) of this ruling.
Ruling: (1) 50 tons per year of volatile organic com-
1. Stationary source means any building, pounds in any serious ozone nonattainment
structure, facility, or installation which area.
emits or may emit a regulated NSR pollut- (2) 50 tons per year of volatile organic com-
ant. pounds in an area within an ozone transport
2. (i) Building, structure, facility or installa- region, except for any severe or extreme
tion means all of the pollutant-emitting ac- ozone nonattainment area.
tivities which belong to the same industrial (3) 25 tons per year of volatile organic com-
grouping, are located on one or more contig- pounds in any severe ozone nonattainment
uous or adjacent properties, and are under area.
the control of the same person (or persons (4) 10 tons per year of volatile organic com-
under common control) except the activities pounds in any extreme ozone nonattainment
of any vessel. Pollutant-emitting activities area.
shall be considered as part of the same indus- (5) 50 tons per year of carbon monoxide in
trial grouping if they belong to the same any serious nonattainment area for carbon
‘‘Major Group’’ (i.e., which have the same monoxide, where stationary sources con-
two digit code) as described in the Standard tribute significantly to carbon monoxide lev-
Industrial Classification Manual, 1972, as els in the area (as determined under rules
amended by the 1977 Supplement (U.S. Gov- issued by the Administrator)
ernment Printing Office stock numbers 4101– (6) 70 tons per year of PM–10 in any serious
0066 and 003–005–00176–0, respectively). nonattainment area for PM–10;
(ii) Notwithstanding the provisions of (7) 70 tons per year of PM2.5 in any serious
paragraph II.A.2(i) of this section, building, nonattainment area for PM2.5.
structure, facility or installation means, for on- (8) 70 tons per year of any individual PM2.5
shore activities under SIC Major Group 13: precursor (as defined in paragraph II.A.31 of
Oil and Gas Extraction, all of the pollutant- this Ruling) in any Serious nonattainment
emitting activities included in Major Group area for PM2.5.
13 that are located on one or more contig- (b) For the purposes of applying the re-
uous or adjacent properties, and are under quirements of paragraph IV. H of this Ruling
the control of the same person (or persons to stationary sources of nitrogen oxides lo-
under common control). Pollutant emitting cated in an ozone nonattainment area or in
activities shall be considered adjacent if an ozone transport region, any stationary
they are located on the same surface site; or source which emits, or has the potential to
576
emit, 100 tons per year or more of nitrogen (t) Chemical process plants—The term
oxides emissions, except that the emission chemical processing plant shall not include
thresholds in paragraphs II.A.4(i)(b)(1) ethanol production facilities that produce
through (6) of this Ruling apply in areas sub- ethanol by natural fermentation included in
ject to subpart 2 of part D, title I of the Act. NAICS codes 325193 or 312140;
(1) 100 tons per year or more of nitrogen (u) Fossil-fuel boilers (or combination
oxides in any ozone nonattainment area clas- thereof) totaling more than 250 million Brit-
sified as marginal or moderate. ish thermal units per hour heat input;
(2) 100 tons per year or more of nitrogen (v) Petroleum storage and transfer units
oxides in any ozone nonattainment area clas- with a total storage capacity exceeding
sified as a transitional, submarginal, or in- 300,000 barrels;
complete or no data area, when such area is (w) Taconite ore processing plants;
located in an ozone transport region. (x) Glass fiber processing plants;
(3) 100 tons per year or more of nitrogen (y) Charcoal production plants;
oxides in any area designated under section (z) Fossil fuel-fired steam electric plants of
107(d) of the Act as attainment or more than 250 million British thermal units
unclassifiable for ozone that is located in an per hour heat input;
ozone transport region. (aa) Any other stationary source category
(4) 50 tons per year or more of nitrogen ox- which, as of August 7, 1980, is being regulated
ides in any serious nonattainment area for under section 111 or 112 of the Act.
ozone. 5. (i) Major modification means any physical
(5) 25 tons per year or more of nitrogen ox- change in or change in the method of oper-
ides in any severe nonattainment area for ation of a major stationary source that
ozone. would result in:
(a) A significant emissions increase of a
(6) 10 tons per year or more of nitrogen ox-
regulated NSR pollutant (as defined in para-
ides in any extreme nonattainment area for
graph II.A.31 of this Ruling); and
ozone; or
(b) A significant net emissions increase of
(c) Any physical change that would occur
that pollutant from the major stationary
at a stationary source not qualifying under
source.
paragraph II.A.4(i)(a) or (b) of this Ruling as
(ii) Any significant emissions increase (as
a major stationary source, if the change
defined in paragraph II.A.23 of this Ruling)
would constitute a major stationary source
from any emissions units or net emissions
by itself.
increase (as defined in paragraph II.A.6 of
(ii) A major stationary source that is
this Ruling) at a major stationary source
major for volatile organic compounds or ni-
that is significant for volatile organic com-
trogen oxides is major for ozone.
pounds shall be considered significant for
(iii) The fugitive emissions of a stationary
ozone.
source shall not be included in determining
(iii) A physical change or change in the
for any of the purposes of this ruling whether
method of operation shall not include:
it is a major stationary source, unless the (a) Routine maintenance, repair, and re-
source belongs to one of the following cat- placement;
egories of stationary sources: (b) Use of an alternative fuel or raw mate-
(a) Coal cleaning plants (with thermal dry- rial by reason of an order under section 2 (a)
ers); and (b) of the Energy Supply and Environ-
(b) Kraft pulp mills; mental Coordination Act of 1974 (or any su-
(c) Portland cement plants; perseding legislation) or by reason of a nat-
(d) Primary zinc smelters; ural gas curtailment plan pursuant to the
(e) Iron and steel mills; Federal Power Act;
(f) Primary aluminum ore reduction (c) Use of an alternative fuel by reason of
plants; an order or rule under section 125 of the Act;
(g) Primary copper smelters; (d) Use of an alternative fuel at a steam
(h) Municipal incinerators capable of generating unit to the extent that the fuel is
charging more than 250 tons of refuse per generated from municipal solid waste;
day; (e) Use of an alternative fuel or raw mate-
(i) Hydrofluoric, sulfuric, or nitric acid rial by a stationary source which:
plants; (1) The source was capable of accommo-
(j) Petroleum refineries; dating before December 21, 1976, unless such
(k) Lime plants; change would be prohibited under any feder-
(l) Phosphate rock processing plants; ally enforceable permit condition which was
(m) Coke oven batteries; established after December 21, 1976, pursuant
(n) Sulfur recovery plants; to 40 CFR 52.21 or under regulations approved
(o) Carbon black plants (furnace process); pursuant to 40 CFR subpart I or § 51.166; or
(p) Primary lead smelters; (2) The source is approved to use under any
(q) Fuel conversion plants; permit issued under this ruling;
(r) Sintering plants; (f) An increase in the hours of operation or
(s) Secondary metal production plants; in the production rate, unless such change is
577
prohibited under any federally enforceable (ii) An increase or decrease in actual emis-
permit condition which was established after sions is contemporaneous with the increase
December 21, 1976 pursuant to 40 CFR 52.21 or from the particular change only if it occurs
under regulations approved pursuant to 40 between:
CFR subpart I or § 51.166; (a) The date five years before construction
(g) Any change in ownership at a sta- on the particular change commences and
tionary source. (b) The date that the increase from the
(iv) For the purpose of applying the re- particular change occurs.
quirements of paragraph IV.H of this Ruling (iii) An increase or decrease in actual
to modifications at major stationary sources emissions is creditable only if the reviewing
of nitrogen oxides located in ozone non- authority has not relied on it in issuing a
attainment areas or in ozone transport re- permit for the source under this Ruling,
gions, whether or not subject with respect to which permit is in effect when the increase
ozone to subpart 2, part D, title I of the Act, in actual emissions from the particular
any significant net emissions increase of ni- change occurs.
trogen oxides is considered significant for (iv) An increase in actual emissions is
ozone. creditable only to the extent that the new
(v) Any physical change in, or change in level of actual emissions exceeds the old
the method of operation of, a major sta- level.
(v) A decrease in actual emissions is cred-
tionary source of volatile organic compounds
itable only to the extent that:
that results in any increase in emissions of
(a) The old level of actual emissions or the
volatile organic compounds from any dis-
old level of allowable emissions, whichever is
crete operation, emissions unit, or other pol-
lower, exceeds the new level of actual emis-
lutant emitting activity at the source shall
sions;
be considered a significant net emissions in-
(b) It is enforceable as a practical matter
crease and a major modification for ozone, if
at and after the time that actual construc-
the major stationary source is located in an tion on the particular change begins;
extreme ozone nonattainment area that is (c) The reviewing authority has not relied
subject to subpart 2, part D, title I of the on it in issuing any permit under regulations
Act. approved pursuant to 40 CFR 51.165; and
(vi) This definition shall not apply with re- (d) It has approximately the same quali-
spect to a particular regulated NSR pollut- tative significance for public health and wel-
ant when the major stationary source is fare as that attributed to the increase from
complying with the requirements under the particular change.
paragraph IV.K of this ruling for a PAL for (vi) An increase that results from a phys-
that pollutant. Instead, the definition at ical change at a source occurs when the
paragraph IV.K.2(viii) of this Ruling shall emissions unit on which construction oc-
apply. curred becomes operational and begins to
(vii) Fugitive emissions shall not be in- emit a particular pollutant. Any replace-
cluded in determining for any of the pur- ment unit that requires shakedown becomes
poses of this Ruling whether a physical operational only after a reasonable shake-
change in or change in the method of oper- down period, not to exceed 180 days.
ation of a major stationary source is a major (vii) Paragraph II.A.13(ii) of this Ruling
modification, unless the source belongs to shall not apply for determining creditable
one of the source categories listed in para- increases and decreases or after a change.
graph II.A.4(iii) of this Ruling. 7. Emissions unit means any part of a sta-
6.(i) Net emissions increase means, with re- tionary source that emits or would have the
spect to any regulated NSR pollutant emit- potential to emit any regulated NSR pollut-
ted by a major stationary source, the ant and includes an electric utility steam
amount by which the sum of the following generating unit as defined in paragraph
exceeds zero: II.A.21 of this Ruling. For purposes of this
(a) The increase in emissions from a par- Ruling, there are two types of emissions
ticular physical change or change in the units as described in paragraphs II.A.7(i) and
method of operation at a stationary source (ii) of this Ruling.
as calculated pursuant to paragraph IV.J of (i) A new emissions unit is any emissions
this Ruling; and unit which is (or will be) newly constructed
(b) Any other increases and decreases in and which has existed for less than 2 years
actual emissions at the major stationary from the date such emissions unit first oper-
source that are contemporaneous with the ated.
particular change and are otherwise cred- (ii) An existing emissions unit is any emis-
itable. Baseline actual emissions for calcu- sions unit that does not meet the require-
lating increases and decreases under this ments in paragraph II.A.7(i) of this Ruling.
paragraph II.A.6(i)(b) shall be determined as 8. Secondary emissions means emissions
provided in paragraph II.A.30 of this Ruling, which would occur as a result of the con-
except that paragraphs II.A.30(i)(c) and struction or operation of a major stationary
II.A.30(ii)(d) of this Ruling shall not apply. source or major modification, but do not
578
come from the major stationary source or of this Ruling shall apply to nitrogen oxides
major modification itself. For the purpose of emissions.
this Ruling, secondary emissions must be (iv) Notwithstanding the significant emis-
specific, well defined, quantifiable, and im- sions rate for carbon monoxide under para-
pact the same general area as the stationary graph II.A.10(i) of this Ruling, significant
source or modification which causes the sec- means, in reference to an emissions increase
ondary emissions. Secondary emissions in- or a net emissions increase, any increase in
clude emissions from any offsite support fa- actual emissions of carbon monoxide that
cility which would not be constructed or in- would result from any physical change in, or
crease its emissions except as a result of the change in the method of operation of, a
construction or operation of the major sta- major stationary source in a serious non-
tionary source or major modification. Sec- attainment area for carbon monoxide if such
ondary emissions do not include any emis- increase equals or exceeds 50 tons per year,
sions which come directly from a mobile provided the Administrator has determined
source, such as emissions from the tailpipe that stationary sources contribute signifi-
of a motor vehicle, from a train, or from a cantly to carbon monoxide levels in that
vessel. area.
9. Fugitive emissions means those emissions (v) Notwithstanding the significant emis-
which could not reasonably pass through a sions rates for ozone under paragraphs
stack, chimney, vent, or other functionally II.A.10(i) and (ii) of this Ruling, any increase
equivalent opening. in actual emissions of volatile organic com-
10.(i) Significant means, in reference to a pounds from any emissions unit at a major
stationary source of volatile organic com-
net emissions increase or the potential of a
pounds located in an extreme ozone non-
source to emit any of the following pollut-
attainment area that is subject to subpart 2,
ants, a rate of emissions that would equal or
part D, title I of the Act shall be considered
exceed any of the following rates:
a significant net emissions increase.
POLLUTANT AND EMISSIONS RATE (vi) In any nonattainment area for PM2.5 in
which a state must regulate Ammonia as a
Carbon monoxide: 100 tons per year (tpy) regulated NSR pollutant (as a PM2.5 pre-
Nitrogen oxides: 40 tpy cursor) as defined in paragraph II.A.31 of this
Sulfur dioxide: 40 tpy Ruling, the reviewing authority shall define
Ozone: 40 tpy of Volatile organic compounds ‘‘significant’’ for Ammonia for that area and
or Nitrogen oxides establish a record to document its sup-
Lead: 0.6 tpy porting basis. All sources with modification
Particulate matter: 25 tpy of Particulate projects with increases in Ammonia emis-
matter emissions sions that are not subject to Section IV of
PM10: 15 tpy this Ruling must maintain records of the
non-applicability of Section IV that ref-
PM2.5: 10 tpy of direct PM2.5 emissions; 40 tpy
erence the definition of ‘‘significant’’ for
of Sulfur dioxide emissions, 40 tpy of Nitro-
Ammonia that is established by the review-
gen oxides emissions, or 40 tpy of Volatile
ing authority in the nonattainment area
organic compound emissions, to the extent
where the source is located.
that any such pollutant is defined as a pre-
11. Allowable emissions means the emissions
cursor for PM2.5 in paragraph II.A.31 of this
rate calculated using the maximum rated ca-
Ruling.
pacity of the source (unless the source is
(ii) Notwithstanding the significant emis- subject to federally enforceable limits which
sions rate for ozone in paragraph II.A.10(i) of restrict the operating rate, or hours of oper-
this Ruling, significant means, in reference ation, or both) and the most stringent of the
to an emissions increase or a net emissions following:
increase, any increase in actual emissions of (i) Applicable standards as set forth in 40
volatile organic compounds that would re- CFR parts 60 and 61;
sult from any physical change in, or change (ii) Any applicable State Implementation
in the method of operation of, a major sta- Plan emissions limitation, including those
tionary source locating in a serious or severe with a future compliance date; or
ozone nonattainment area that is subject to (iii) The emissions rate specified as a feder-
subpart 2, part D, title I of the Act, if such ally enforceable permit condition, including
emissions increase of volatile organic com- those with a future compliance date.
pounds exceeds 25 tons per year. 12. Federally enforceable means all limita-
(iii) For the purposes of applying the re- tions and conditions which are enforceable
quirements of paragraph IV.H of this Ruling by the Administrator, including those re-
to modifications at major stationary sources quirements developed pursuant to 40 CFR
of nitrogen oxides located in an ozone non- parts 60 and 61, requirements within any ap-
attainment area or in an ozone transport replicable State implementation plan, any per-
gion, the significant emission rates and mit requirements established pursuant to 40
other requirements for volatile organic com- CFR 52.21 or under regulations approved pur-
pounds in paragraphs II.A.10(i), (ii), and (v) suant to 40 CFR part 51, subpart I, including
579
operating permits issued under an EPA-ap- 17. Begin actual construction means, in gen-
proved program that is incorporated into the eral, initiation of physical on-site construc-
State implementation plan and expressly re- tion activities on an emissions unit which
quires adherence to any permit issued under are of a permanent nature. Such activities
such program. include, but are not limited to, installation
13. (i) Actual emissions means the actual of building supports and foundations, laying
rate of emissions of a regulated NSR pollut- of underground pipework, and construction
ant from an emissions unit, as determined in of permanent storage structures. With re-
accordance with paragraphs II.A.13(ii) spect to a change in method of operating this
through (iv) of this Ruling, except that this term refers to those on-site activities other
definition shall not apply for calculating than preparatory activities which mark the
whether a significant emissions increase has initiation of the change.
occurred, or for establishing a PAL under 18. Lowest achievable emission rate (LAER)
paragraph IV.K of this Ruling. Instead, para- means, for any source, the more stringent
graphs II.A.24 and 30 of this Ruling shall rate of emissions based on the following:
apply for those purposes. (i) The most stringent emissions limitation
(ii) In general, actual emissions as of a par- which is contained in the implementation
ticular date shall equal the average rate, in plan of any State for such class or category
tons per year, at which the unit actually of stationary source, unless the owner or op-
emitted the pollutant during a consecutive erator of the proposed stationary source
24-month period which precedes the par- demonstrates that such limitations are not
ticular date and which is representative of achievable; or
normal source operation. The reviewing au- (ii) The most stringent emissions limita-
thority shall allow the use of a different tion which is achieved in practice by such
time period upon a determination that it is class or category of stationary source. This
limitation, when applied to a modification,
more representative of normal source oper-
means the lowest achievable emissions rate
ation. Actual emissions shall be calculated
for the new or modified emissions units with-
using the unit’s actual operating hours, pro-
in the stationary source. In no event shall
duction rates, and types of materials proc-
the application of this term permit a pro-
essed, stored, or combusted during the se-
posed new or modified stationary source to
lected time period.
emit any pollutant in excess of the amount
(iii) The reviewing authority may presume allowable under applicable new source stand-
that source-specific allowable emissions for ards of performance.
the unit are equivalent to the actual emis- 19. Resource recovery facility means any fa-
sions of the unit. cility at which solid waste is processed for
(iv) For any emissions unit that has not the purpose of extracting, converting to en-
begun normal operations on the particular ergy, or otherwise separating and preparing
date, actual emissions shall equal the poten- solid waste for reuse. Energy conversion fa-
tial to emit of the unit on that date. cilities must utilize solid waste to provide
14. Construction means any physical change more than 50 percent of the heat input to be
or change in the method of operation (in- considered a resource recovery facility under
cluding fabrication, erection, installation, this Ruling.
demolition, or modification of an emissions 20. Volatile organic compounds (VOC) is as
unit) that would result in a change in emis- defined in § 51.100(s) of this part.
sions. 21. Electric utility steam generating unit
15. Commence as applied to construction of means any steam electric generating unit
a major stationary source or major modifica- that is constructed for the purpose of sup-
tion means that the owner or operator has plying more than one-third of its potential
all necessary preconstruction approvals or electric output capacity and more than 25
permits and either has: MW electrical output to any utility power
(i) Begun, or caused to begin, a continuous distribution system for sale. Any steam sup-
program of actual on-site construction of the plied to a steam distribution system for the
source, to be completed within a reasonable purpose of providing steam to a steam-elec-
time; or tric generator that would produce electrical
(ii) Entered into binding agreements or energy for sale is also considered in deter-
contractual obligations, which cannot be mining the electrical energy output capacity
cancelled or modified without substantial of the affected facility.
loss to the owner or operator, to undertake a 22. Pollution prevention means any activity
program of actual construction of the source that through process changes, product refor-
to be completed within a reasonable time. mulation or redesign, or substitution of less
16. Necessary preconstruction approvals or polluting raw materials, eliminates or re-
permits means those permits or approvals reduces the release of air pollutants (including
quired under Federal air quality control laws fugitive emissions) and other pollutants to
and regulations and those air quality control the environment prior to recycling, treat-
laws and regulations which are part of the ment, or disposal; it does not mean recycling
applicable State Implementation Plan. (other than certain ‘‘in-process recycling’’
580
practices), energy recovery, treatment, or be required to meet the data acquisition and
disposal. availability requirements of this Ruling, to
23. Significant emissions increase means, for sample, condition (if applicable), analyze,
a regulated NSR pollutant, an increase in and provide a record of emissions on a con-
emissions that is significant (as defined in tinuous basis.
paragraph II.A.10 of this Ruling) for that pol- 27. Predictive emissions monitoring system
lutant. (PEMS) means all of the equipment nec-
24. (i) Projected actual emissions means, the essary to monitor process and control device
maximum annual rate, in tons per year, at operational parameters (for example, control
which an existing emissions unit is projected device secondary voltages and electric cur-
to emit a regulated NSR pollutant in any rents) and other information (for example,
one of the 5 years (12-month period) fol- gas flow rate, O2 or CO2 concentrations), and
lowing the date the unit resumes regular op- calculate and record the mass emissions rate
eration after the project, or in any one of the (for example, lb/hr) on a continuous basis.
10 years following that date, if the project 28. Continuous parameter monitoring system
involves increasing the emissions unit’s de- (CPMS) means all of the equipment nec-
sign capacity or its potential to emit of that essary to meet the data acquisition and
regulated NSR pollutant and full utilization availability requirements of this Ruling, to
of the unit would result in a significant monitor process and control device oper-
emissions increase or a significant net emis- ational parameters (for example, control de-
sions increase at the major stationary vice secondary voltages and electric cur-
source. rents) and other information (for example,
(ii) In determining the projected actual gas flow rate, O2 or CO2 concentrations), and
emissions under paragraph II.A.24(i) of this to record average operational parameter
Ruling before beginning actual construction, value(s) on a continuous basis.
the owner or operator of the major sta-
29. Continuous emissions rate monitoring sys-
tionary source:
tem (CERMS) means the total equipment re-
(a) Shall consider all relevant information,
quired for the determination and recording
including but not limited to, historical oper-
of the pollutant mass emissions rate (in
ational data, the company’s own representa-
tions, the company’s expected business ac- terms of mass per unit of time).
tivity and the company’s highest projections 30. Baseline actual emissions means the rate
of business activity, the company’s filings of emissions, in tons per year, of a regulated
with the State or Federal regulatory au- NSR pollutant, as determined in accordance
thorities, and compliance plans under the ap- with paragraphs II.A.30(i) through (iv) of this
proved plan; and Ruling.
(b) Shall include fugitive emissions to the (i) For any existing electric utility steam
extent quantifiable, and emissions associ- generating unit, baseline actual emissions
ated with startups, shutdowns, and malfunc- means the average rate, in tons per year, at
tions; and which the unit actually emitted the pollut-
(c) Shall exclude, in calculating any in- ant during any consecutive 24-month period
crease in emissions that results from the selected by the owner or operator within the
particular project, that portion of the unit’s 5-year period immediately preceding when
emissions following the project that an ex- the owner or operator begins actual con-
isting unit could have accommodated during struction of the project. The reviewing au-
the consecutive 24-month period used to es- thority shall allow the use of a different
tablish the baseline actual emissions under time period upon a determination that it is
paragraph II.A.30 of this Ruling and that are more representative of normal source oper-
also unrelated to the particular project, in- ation.
cluding any increased utilization due to (a) The average rate shall include fugitive
product demand growth; or, emissions to the extent quantifiable, and
(d) In lieu of using the method set out in emissions associated with startups, shut-
paragraphs II.A.24(ii)(a) through (c) of this downs, and malfunctions.
Ruling, may elect to use the emissions unit’s (b) The average rate shall be adjusted
potential to emit, in tons per year, as de- downward to exclude any non-compliant
fined under paragraph II.A.3 of this Ruling. emissions that occurred while the source was
25. Nonattainment major new source review operating above any emission limitation
(NSR) program means a major source that was legally enforceable during the con-
preconstruction permit program that imple- secutive 24-month period.
ments Sections I through VI of this Ruling, (c) For a regulated NSR pollutant, when a
or a program that has been approved by the project involves multiple emissions units,
Administrator and incorporated into the only one consecutive 24-month period must
plan to implement the requirements of be used to determine the baseline actual
§ 51.165 of this part. Any permit issued under emissions for the emissions units being
such a program is a major NSR permit. changed. A different consecutive 24-month
26. Continuous emissions monitoring system period can be used for each regulated NSR
(CEMS) means all of the equipment that may pollutant.
581
(d) The average rate shall not be based on the initial construction and operation of
any consecutive 24-month period for which such unit shall equal zero; and thereafter, for
there is inadequate information for deter- all other purposes, shall equal the unit’s po-
mining annual emissions, in tons per year, tential to emit.
and for adjusting this amount if required by (iv) For a PAL for a major stationary
paragraph II.A.30(i)(b) of this Ruling. source, the baseline actual emissions shall
(ii) For an existing emissions unit (other be calculated for existing electric utility
than an electric utility steam generating steam generating units in accordance with
unit), baseline actual emissions means the the procedures contained in paragraph
average rate, in tons per year, at which the II.A.30(i) of this Ruling, for other existing
emissions unit actually emitted the pollut- emissions units in accordance with the pro-
ant during any consecutive 24-month period cedures contained in paragraph II.A.30(ii) of
selected by the owner or operator within the this Ruling, and for a new emissions unit in
10-year period immediately preceding either accordance with the procedures contained in
the date the owner or operator begins actual paragraph II.A.30(iii) of this Ruling.
construction of the project, or the date a 31. Regulated NSR pollutant, for purposes of
complete permit application is received by this Ruling, means the following:
the reviewing authority for a permit re- (i) Nitrogen oxides or any volatile organic
quired either under this Ruling or under a compounds;
plan approved by the Administrator, which- (ii) Any pollutant for which a national am-
ever is earlier, except that the 10-year period bient air quality standard has been promul-
shall not include any period earlier than No- gated. This includes, but is not limited to,
vember 15, 1990. the following:
(a) The average rate shall include fugitive (a) PM2.5 emissions and PM10 emissions
emissions to the extent quantifiable, and shall include gaseous emissions from a
emissions associated with startups, shut- source or activity, which condense to form
downs, and malfunctions. particulate matter at ambient temperatures.
(b) The average rate shall be adjusted On or after January 1, 2011, such condensable
downward to exclude any non-compliant particulate matter shall be accounted for in
emissions that occurred while the source was applicability determinations and in estab-
operating above an emission limitation that lishing emissions limitations for PM2.5 and
was legally enforceable during the consecu- PM10 in permits issued under this ruling.
tive 24-month period. Compliance with emissions limitations for
(c) The average rate shall be adjusted PM2.5 and PM10 issued prior to this date shall
downward to exclude any emissions that not be based on condensable particulate mat-
would have exceeded an emission limitation ter unless required by the terms and condi-
with which the major stationary source tions of the permit or the applicable imple-
must currently comply, had such major sta- mentation plan. Applicability determina-
tionary source been required to comply with tions made prior to this date without ac-
such limitations during the consecutive 24- counting for condensable particulate matter
month period. However, if an emission limi- shall not be considered in violation of this
tation is part of a maximum achievable con- section unless the applicable implementa-
trol technology standard that the Adminis- tion plan required condensable particulate
trator proposed or promulgated under part 63 matter to be included.
of this chapter, the baseline actual emissions (b) Any pollutant that is identified under
need only be adjusted if the State has taken this paragraph II.A.31(ii)(2) as a constituent
credit for such emissions reductions in an at- or precursor of a general pollutant listed
tainment demonstration or maintenance under paragraph II.A.31(i) or (ii) of this Rul-
plan. ing, provided that such constituent or pre-
(d) For a regulated NSR pollutant, when a cursor pollutant may only be regulated
project involves multiple emissions units, under NSR as part of regulation of the gen-
only one consecutive 24-month period must eral pollutant. Precursors identified by the
be used to determine the baseline actual Administrator for purposes of NSR are the
emissions for the emissions units being following:
changed. A different consecutive 24-month (1) Volatile organic compounds and nitro-
period can be used for each regulated NSR gen oxides are precursors to ozone in all
pollutant. ozone nonattainment areas.
(e) The average rate shall not be based on (2) Sulfur dioxide and Nitrogen oxides are
any consecutive 24-month period for which regulated as precursors to PM2.5 in all PM2.5
there is inadequate information for deter- nonattainment areas.
mining annual emissions, in tons per year, (3) For any area that was designated non-
and for adjusting this amount if required by attainment for PM2.5 on or before April 15,
paragraphs II.A.30(ii)(b) and (c) of this Rul- 2015, Volatile organic compounds and Ammo-
ing. nia shall be regulated as precursors to PM2.5
(iii) For a new emissions unit, the baseline beginning on April 15, 2017, with respect to
actual emissions for purposes of determining any permit issued for PM2.5, unless the fol-
the emissions increase that will result from lowing conditions are met: The state submits
582
a SIP for the Administrator’s review con- 33. Project means a physical change in, or
taining the state’s preconstruction review change in the method of operation of, an ex-
provisions for PM2.5 consistent with § 51.165 isting major stationary source.
and a complete NNSR precursor demonstra- 34. Best available control technology (BACT)
tion consistent with § 51.1006(a)(3); and such means an emissions limitation (including a
SIP is determined to be complete by the Ad- visible emissions standard) based on the
ministrator or deemed to be complete by op- maximum degree of reduction for each regu-
eration of law in accordance with section lated NSR pollutant which would be emitted
110(k)(1)(B) of the Act by April 15, 2017. If from any proposed major stationary source
these conditions are met, the precursor(s) or major modification which the reviewing
addressed by the NNSR precursor demonstra- authority, on a case-by-case basis, taking
tion (Volatile organic compounds, Ammonia, into account energy, environmental, and
or both) shall not be regulated as a precursor economic impacts and other costs, deter-
to PM2.5 in such area. If the Administrator mines is achievable for such source or modi-
subsequently disapproves the state’s fication through application of production
preconstruction review provisions for PM2.5 processes or available methods, systems, and
and the NNSR precursor demonstration, the techniques, including fuel cleaning or treat-
precursor(s) addressed by the NNSR pre- ment or innovative fuel combustion tech-
cursor demonstration shall be regulated as a niques for control of such pollutant. In no
precursor to PM2.5 under this Ruling in such event shall application of best available con-
area as of April 15, 2017, or the effective date trol technology result in emissions of any
of the disapproval, whichever date is later. pollutant which would exceed the emissions
(4) For any area that is designated non- allowed by any applicable standard under 40
attainment for PM2.5 after April 15, 2015, and CFR part 60 or 61. If the reviewing authority
was not already designated nonattainment determines that technological or economic
for PM2.5 on or immediately prior to such limitations on the application of measure-
date, Volatile organic compounds and Am- ment methodology to a particular emissions
monia shall be regulated as precursors to unit would make the imposition of an emis-
PM2.5 under this Ruling beginning 24 months sions standard infeasible, a design, equip-
from the date of designation as nonattainment, work practice, operational standard,
ment for PM2.5 with respect to any permit or combination thereof, may be prescribed
issued for PM2.5, unless the following condi- instead to satisfy the requirement for the ap-
tions are met: the state submits a SIP for plication of BACT. Such standard shall, to
the Administrator’s review which contains the degree possible, set forth the emissions
the state’s preconstruction review provisions reduction achievable by implementation of
for PM2.5 consistent with § 51.165 and a com- such design, equipment, work practice or op-
plete NNSR precursor demonstration con- eration, and shall provide for compliance by
sistent with § 51.1006(a)(3); and such SIP is means which achieve equivalent results.
determined to be complete by the Adminis- 35. Prevention of Significant Deterioration
trator or deemed to be complete by oper- (PSD) permit means any permit that is issued
ation of law in accordance with section under a major source preconstruction permit
110(k)(1)(B) of the Act by the date 24 months program that has been approved by the Ad-
from the date of designation. If these condi- ministrator and incorporated into the plan
tions are met, the precursor(s) addressed by to implement the requirements of § 51.166 of
the NNSR precursor demonstration (Volatile this chapter, or under the program in § 52.21
organic compounds, Ammonia, or both) shall of this chapter.
not be regulated as a precursor to PM2.5 in 36. Federal Land Manager means, with re-
such area. If the Administrator subsequently spect to any lands in the United States, the
disapproves the state’s preconstruction re- Secretary of the department with authority
view provisions for PM2.5 and the NNSR pre- over such lands.
cursor demonstration, the precursor(s) ad- B. Review of all sources for emission limita-
dressed by the NNSR precursor demonstration compliance. The reviewing authority
tion shall be regulated as a precursor to must examine each proposed major new
PM2.5 under this Ruling in such area as of the source and proposed major modification 1 to
date 24 months from the date of designation, determine if such a source will meet all ap-
or the effective date of the disapproval, plicable emission requirements in the SIP,
whichever date is later. any applicable new source performance
32. Reviewing authority means the State air standard in part 60 or any national emission
pollution control agency, local agency, other standard for hazardous air pollutants in part
State agency, Indian tribe, or other agency 61 or part 63 of this chapter. If the reviewing
issuing permits under this Ruling or author- authority determines that the proposed
ized by the Administrator to carry out a per- major new source cannot meet the applicable
mit program under §§ 51.165 and 51.166 of this
part, or the Administrator in the case of 1 Hereafter the term source will be used to
EPA-implemented permit programs under denote both any source and any modifica-
this Ruling or under § 52.21 of this chapter. tion.
583
emission requirements, the permit to con- (21) Fossil-fuel boilers (or combination
struct must be denied. thereof) totaling more than 250 million Brit-
C. Review of specified sources for air quality ish thermal units per hour heat input;
impact. In addition, the reviewing authority (22) Petroleum storage and transfer units
must determine whether the major sta- with a total storage capacity exceeding
tionary source or major modification would 300,000 barrels;
be constructed in an area designated in 40 (23) Taconite ore processing plants;
CFR 81.300 et seq. as nonattainment for a pol- (24) Glass fiber processing plants;
lutant for which the stationary source or (25) Charcoal production plants;
modification is major. (26) Fossil fuel-fired steam electric plants
D.–E. [Reserved] of more than 250 million British thermal
F. Fugitive emission sources. Section IV.A. units per hour heat input;
of this Ruling shall not apply to a source or (27) Any other stationary source category
modification that would be a major sta- which, as of August 7, 1980, is being regulated
tionary source or major modification only if under section 111 or 112 of the Act.
fugitive emissions, to the extent quantifi- G. Secondary emissions. Secondary emis-
able, are considered in calculating the poten- sions need not be considered in determining
tial to emit of the stationary source or modi- whether the emission rates in Section II.C.
fication and such source does not belong to above would be exceeded. However, if a
any of the following categories: source is subject to this Ruling on the basis
(1) Coal cleaning plants (with thermal dry- of the direct emissions from the source, the
ers); applicable conditions of this Ruling must
(2) Kraft pulp mills; also be met for secondary emissions. How-
(3) Portland cement plants;
ever, secondary emissions may be exempt
(4) Primary zinc smelters;
from Conditions 1 and 2 of Section IV. Also,
(5) Iron and steel mills;
since EPA’s authority to perform or require
(6) Primary aluminum ore reduction
indirect source review relating to mobile
plants;
sources regulated under Title II of the Act
(7) Primary copper smelters;
(motor vehicles and aircraft) has been re-
(8) Municipal incinerators capable of
stricted by statute, consideration of the indi-
charging more than 250 tons of refuse per
rect impacts of motor vehicles and aircraft
day;
traffic is not required under this Ruling.
(9) Hydrofluoric, sulfuric, or nitric acid
plants; III. SOURCES LOCATING IN DESIGNATED CLEAN
(10) Petroleum refineries; OR UNCLASSIFIABLE AREAS WHICH WOULD
(11) Lime plants; CAUSE OR CONTRIBUTE TO A VIOLATION OF A
(12) Phosphate rock processing plants; NATIONAL AMBIENT AIR QUALITY STAND-
(13) Coke oven batteries; ARD
(14) Sulfur recovery plants;
(15) Carbon black plants (furnace process); A. This section applies only to major
(16) Primary lead smelters; sources or major modifications which would
(17) Fuel conversion plants; locate in an area designated in 40 CFR 81.300
(18) Sintering plants; et seq. as attainment or unclassifiable in a
(19) Secondary metal production plants; State where EPA has not yet approved the
(20) Chemical process plants—The term State preconstruction review program re-
chemical processing plant shall not include quired by 40 CFR 51.165(b), if the source or
ethanol production facilities that produce modification would exceed the following sig-
ethanol by natural fermentation included in nificance levels at any locality that does not
NAICS codes 325193 or 312140; meet the NAAQS:
Averaging time (hours)

Pollutant Annual
24 8 3 1
SO2 ......................................... 1.0 μg/m3 5 μg/m3 25 μg/m3

PM10 ........................................ 1.0 μg/m3 5 μg/m3
PM2.5 ....................................... 0.3 μg/m3 1.2 μg/m3
NO2 ......................................... 1.0 μg/m3
CO .......................................... 0.5 mg/m3 2 mg/m3
B. Sources to which this section applies IV.A. of this ruling. 2 However, such sources
must meet Conditions 1, 2, and 4 of Section
2 The discussion in this paragraph is a pro-
posal, but represents EPA’s interim policy

until final rulemaking is completed.
584
may be exempt from Condition 3 of Section and/or the control of existing sources below
IV.A. of this ruling. allowable levels is required so that the
C. Review of specified sources for air quality source will not cause a violation of any
impact. For stable air pollutants (i.e., SO2, NAAQS.
particulate matter and CO), the determina- Condition 2. The new emission limitations
tion of whether a source will cause or con- for the new source as well as any existing
tribute to a violation of an NAAQS generally sources affected must be enforceable in ac-
should be made on a case-by-case basis as of cordance with the mechanisms set forth in
the proposed new source’s start-up date Section V of this appendix.
using the source’s allowable emissions in an
atmospheric simulation model (unless a IV. SOURCES THAT WOULD LOCATE IN A
source will clearly impact on a receptor DESIGNATED NONATTAINMENT AREA
which exceeds an NAAQS).
For sources of nitrogen oxides, the initial A. Conditions for approval. If the reviewing
determination of whether a source would authority finds that the major stationary
cause or contribute to a violation of the source or major modification would be con-
NAAQS for NO2 should be made using an at- structed in an area designated in 40 CFR
mospheric simulation model assuming all 81.300 et seq as nonattainment for a pollutant
the nitric oxide emitted is oxidized to NO2 by for which the stationary source or modifica-
the time the plume reaches ground level. The tion is major, approval may be granted only
initial concentration estimates may be ad- if the following conditions are met:
justed if adequate data are available to ac- Condition 1. The new source is required to
count for the expected oxidation rate. meet an emission Limitation 4 which speci-
For ozone, sources of volatile organic com- fies the lowest achievable emission rate for
pounds, locating outside a designated ozone such source.
nonattainment area, will be presumed to
have no significant impact on the designated ational or equipment standard. In such
nonattainment area. If ambient monitoring cases, the reviewing authority shall make its
indicates that the area of source location is best estimate as to the emission rate that
in fact nonattainment, then the source may will be achieved and must specify that rate
be permitted under the provisions of any in the required submission to EPA (see Part
State plan adopted pursuant to section V). Any permits issued without an enforce-
110(a)(2)(D) of the Act until the area is des- able numerical emission standard must con-
ignated nonattainment and a State Imple- tain enforceable conditions which assure
mentation Plan revision is approved. If no that the design characteristics or equipment
State plan pursuant to section 110(a)(2)(D) will be properly maintained (or that the
has been adopted and approved, then this operational conditions will be properly per-
Ruling shall apply. formed) so as to continuously achieve the as-
As noted above, the determination as to sumed degree of control. Such conditions
whether a source would cause or contribute shall be enforceable as emission limitations
to a violation of an NAAQS should be made by private parties under section 304. Here-
as of the new source’s start-up date. There- after, the term emission limitation shall also
fore, if a designated nonattainment area is include such design, operational, or equip-
projected to be an attainment area as part of ment standards.
an approved SIP control strategy by the new 4 If the reviewing authority determines
source start-up date, offsets would not be re- that technological or economic limitations
quired if the new source would not cause a on the application of measurement method-
new violation. ology to a particular class of sources would
D. Sources locating in clean areas, but would make the imposition of an enforceable nu-
cause a new violating of an NAAQS. If the merical emission standard infeasible, the au-
reviewing authority finds that the emissions thority may instead prescribe a design, oper-
from a proposed source would cause a new ational or equipment standard. In such
violation of an NAAQS, but would not con- cases, the reviewing authority shall make its
tribute to an existing violation, approval best estimate as to the emission rate that
may be granted only if both of the following will be achieved and must specify that rate
conditions are met: in the required submission to EPA (see Part
Condition 1. The new source is required to V). Any permits issued without an enforce-
meet a more stringent emission limitation 3 able numerical emission standard must con-
tain enforceable conditions which assure
3 If the reviewing authority determines that the design characteristics or equipment
that technological or economic limitations will be properly maintained (or that the
on the application of measurement method- operational conditions will be properly per-
ology to a particular class of sources would formed) so as to continuously achieve the as-
make the imposition of an enforceable nu- sumed degree of control. Such conditions
merical emission standard infeasible, the au- shall be enforceable as emission limitations
thority may instead prescribe a design, oper- Continued
585
Condition 2. The applicant must certify tion IV.A. and that such efforts were unsuc-
that all existing major sources owned or op- cessful;
erated by the applicant (or any entity con- 2. The applicant has secured all available
trolling, controlled by, or under common emission offsets; and
control with the applicant) in the same 3. The applicant will continue to seek the
State as the proposed source are in compli- necessary emission offsets and apply them
ance with all applicable emission limitations when they become available.
and standards under the Act (or are in com- Such an exemption may result in the need
pliance with an expeditious schedule which to revise the SIP to provide additional con-
is Federally enforceable or contained in a trol of existing sources.
court decree). Temporary emission sources, such as pilot
Condition 3. Emission reductions (offsets) plants, portable facilities which will be relo-
from existing sources 5 in the area of the pro- cated outside of the nonattainment area
posed source (whether or not under the same after a short period of time, and emissions
ownership) are required such that there will resulting from the construction phase of a
be reasonable progress toward attainment of new source, are exempt from Conditions 3
the applicable NAAQS. 6 Except as provided and 4 of this section.
in paragraph IV.G.5 of this Ruling (address- C. Baseline for determining credit for emission
ing PM2.5 and its precursors), only and air quality offsets. The baseline for deter-
intrapollutant emission offsets will be ac- mining credit for emission and air quality
ceptable (e.g., hydrocarbon increases may offsets will be the SIP emission limitations
not be offset against SO2 reductions). in effect at the time the application to con-
5 Subject to the provisions of paragraph struct or modify a source is filed. Thus, cred-
IV.C of this Ruling. it for emission offset purposes may be allow-
6 The discussion in this paragraph is a pro- able for existing control that goes beyond
posal, but represents EPA’s interim policy that required by the SIP. Emission offsets
until final rulemaking is completed. generally should be made on a pounds per
Condition 4. The emission offsets will pro- hour basis when all facilities involved in the
vide a positive net air quality benefit in the emission offset calculations are operating at
affected area (see Section IV.D. below). At- their maximum expected or allowed produc-
mospheric simulation modeling is not nection rate. The reviewing agency should speci-
fy other averaging periods (e.g., tons per
essary for volatile organic compounds and
year) in addition to the pounds per hour
NOX. Fulfillment of Condition 3 and Section
basis if necessary to carry out the intent of
IV.D. will be considered adequate to meet
this Ruling. When offsets are calculated on a
this condition.
tons per year basis, the baseline emissions
Condition 5. The permit applicant shall
for existing sources providing the offsets
conduct an analysis of alternative sites,
should be calculated using the actual annual
sizes, production processes and environ-
operating hours for the previous one or two
mental control techniques for such proposed
year period (or other appropriate period if
source that demonstrates that the benefits
warranted by cyclical business conditions).
of the proposed source significantly out-
Where the SIP requires certain hardware
weigh the environmental and social costs im-
controls in lieu of an emission limitation
posed as a result of its location, construction
(e.g., floating roof tanks for petroleum stor-
or modification.
age), baseline allowable emissions should be
B. Exemptions from certain conditions. The
based on actual operating conditions for the
reviewing authority may exempt the fol-
previous one or two year period (i.e., actual
lowing sources from Condition 1 under Sec-
throughput and vapor pressures) in conjunc-
tion III or Conditions 3 and 4. Section IV.A.:
tion with the required hardware controls.
(i) Resource recovery facilities burning 1. No meaningful or applicable SIP require-
municipal solid waste, and (ii) sources which ment. Where the applicable SIP does not con-
must switch fuels due to lack of adequate tain an emission limitation for a source or
fuel supplies or where a source is required to source category, the emission offset baseline
be modified as a result of EPA regulations involving such sources shall be the actual
(e.g., lead-in-fuel requirements) and no ex- emissions determined in accordance with the
emption from such regulation is available to discussion above regarding operating condi-
the source. Such an exemption may be grant- tions.
ed only if: Where the SIP emission limit allows great-
1. The applicant demonstrates that it made er emissions than the uncontrolled emission
its best efforts to obtain sufficient emission rate of the source (as when a State has a sin-
offsets to comply with Condition 1 under gle particulate emission limit for all fuels),
Section III or Conditions 3 and 4 under Sec- emission offset credit will be allowed only
for control below the uncontrolled emission
by private parties under section 304. Here- rate.
after, the term emission limitation shall also 2. Combustion of fuels. Generally, the emis-
include such design, operational, or equip- sions for determining emission offset credit
ment standards. involving an existing fuel combustion source
586
will be the allowable emissions under the as the highly reactive VOCs. Therefore, no
SIP for the type of fuel being burned at the emission offset credit may be allowed for re-
time the new source application is filed (i.e., placing one VOC compound with another of
if the existing source has switched to a dif- lesser reactivity, except for those compounds
ferent type of fuel at some earlier date, any listed in Table 1 of the above policy state-
resulting emission reduction [either actual ment.
or allowable] shall not be used for emission 5. ‘‘Banking’’ of emission offset credit. For
offset credit). If the existing source commits new sources obtaining permits by applying
to switch to a cleaner fuel at some future offsets after January 16, 1979, the reviewing
date, emission offset credit based on the al- authority may allow offsets that exceed the
lowable emissions for the fuels involved is requirements of reasonable progress toward
not acceptable unless the permit is condi- attainment (Condition 3) to be ‘‘banked’’
tioned to require the use of a specified alter- (i.e., saved to provide offsets for a source
native control measure which would achieve seeking a permit in the future) for use under
the same degree of emission reduction this Ruling. Likewise, the reviewing author-
should the source switch back to a dirtier ity may allow the owner of an existing
fuel at some later date. The reviewing au- source that reduces its own emissions to
thority should ensure that adequate long- bank any resulting reductions beyond those
term supplies of the new fuel are available required by the SIP for use under this Rul-
before granting emission offset credit for ing, even if none of the offsets are applied
fuel switches. immediately to a new source permit. A re-
3. Emission Reduction Credits from Shut-
viewing authority may allow these banked
downs and Curtailments.
offsets to be used under the preconstruction
(i) Emissions reductions achieved by shut-
review program required by Part D, as long
ting down an existing source or curtailing
as these banked emissions are identified and
production or operating hours may be gen-
accounted for in the SIP control strategy. A
erally credited for offsets if they meet the
reviewing authority may not approve the
requirements in paragraphs IV.C.3.i.1.
construction of a source using banked offsets
through 2 of this section.
(1) Such reductions are surplus, perma- if the new source would interfere with the
nent, quantifiable, and federally enforceable. SIP control strategy or if such use would
(2) The shutdown or curtailment occurred violate any other condition set forth for use
after the last day of the base year for the of offsets. To preserve banked offsets, the re-
SIP planning process. For purposes of this viewing authority should identify them in ei-
paragraph, a reviewing authority may ther a SIP revision or a permit, and establish
choose to consider a prior shutdown or cur- rules as to how and when they may be used.
tailment to have occurred after the last day 6. Offset credit for meeting NSPS or
of the base year if the projected emissions NESHAPS. Where a source is subject to an
inventory used to develop the attainment emission limitation established in a New
demonstration explicitly includes the emis- Source Performance Standard (NSPS) or a
sions from such previously shutdown or cur- National Emission Standard for Hazardous
tailed emission units. However, in no event Air Pollutants (NESHAPS), (i.e., require-
may credit be given for shutdowns that oc- ments under sections 111 and 112, respec-
curred before August 7, 1977. tively, of the Act), and a different SIP limi-
(ii) Emissions reductions achieved by shut- tation, the more stringent limitation shall
ting down an existing source or curtailing be used as the baseline for determining cred-
production or operating hours and that do it for emission and air quality offsets. The
not meet the requirements in paragraphs difference in emissions between the SIP and
IV.C.3.i.1. through 2 of this section may be the NSPS or NESHAPS, for such source may
generally credited only if: not be used as offset credit. However, if a
(1) The shutdown or curtailment occurred source were not subject to an NSPS or
on or after the date the new source permit NESHAPS, for example if its construction
application is filed; or had commenced prior to the proposal of an
(2) The applicant can establish that the NSPS or NESHAPS for that source category,
proposed new source is a replacement for the offset credit can be permitted for tightening
shutdown or curtailed source, and the emis- the SIP to the NSPS or NESHAPS level for
sions reductions achieved by the shutdown such source.
or curtailment met the requirements of D. Location of offsetting emissions. The
paragraphs IV.C.3.i.1. through 2 of this sec- owner or operator of a new or modified major
tion. stationary source may comply with any off-
4. Credit for VOC substitution. As set forth set requirement in effect under this Ruling
in the Agency’s ‘‘Recommended Policy on for increased emissions of any air pollutant
Control of Volatile Organic Compounds’’ (42 only by obtaining emissions reductions of
FR 35314, July 8, 1977), EPA has found that such air pollutant from the same source or
almost all non-methane VOCs are other sources in the same nonattainment
photochemically reactive and that low reac- area, except that the reviewing authority
tivity VOCs eventually form as much ozone may allow the owner or operator of a source
587
to obtain such emissions reductions in an- (v) In any extreme nonattainment area for
other nonattainment area if the conditions ozone—at least 1.5:1 (except that the ratio
in IV.D.1 and 2 are met. may be at least 1.2:1 if the State also re-
1. The other area has an equal or higher quires all existing major sources in such
nonattainment classification than the area nonattainment area to use BACT for the
in which the source is located. control of VOC); and
2. Emissions from such other area con- 3. Notwithstanding the requirements of
tribute to a violation of the national ambi- paragraph IV.G.2 of this Ruling for meeting
ent air quality standard in the nonattain- the requirements of paragraph IV.A, Condi-
ment area in which the source is located. tion 3 of this Ruling, the ratio of total actual
E. Reasonable further progress. Permits to emissions reductions of VOC to the emis-
construct and operate may be issued if the sions increase of VOC shall be at least 1.15:1
reviewing authority determines that, by the for all areas within an ozone transport re-
time the source is to commence operation, gion that is subject to subpart 2, part D, title
sufficient offsetting emissions reductions I of the Act, except for serious, severe, and
have been obtained, such that total allow- extreme ozone nonattainment areas that are
able emissions from existing sources in the subject to subpart 2, part D, title I of the
region, from new or modified sources which Act.
are not major emitting facilities, and from 4. In meeting the emissions offset require-
the proposed source will be sufficiently less
ments of paragraph IV.A, Condition 3 of this
than total emissions from existing sources
Ruling for ozone nonattainment areas that
prior to the application for such permit to
are subject to subpart 1, part D, title I of the
construct or modify so as to represent (when
Act (but are not subject to subpart 2, part D,
considered together with the plan provisions
title I of the Act, including 8-hour ozone
required under CAA section 172) reasonable
nonattainment areas subject to 40 CFR
further progress (as defined in CAA section
51.902(b)), the ratio of total actual emissions
171).
reductions of VOC to the emissions increase
F. Source obligation. At such time that a
of VOC shall be at least 1:1.
particular source or modification becomes a
major stationary source or major modifica- 5. Interpollutant offsetting, or interpollutant
tion solely by virtue of a relaxation in any trading or interprecursor trading or interpre-
enforceable limitation which was established cursor offset substitution. In meeting the emis-
after August 7, 1980, on the capacity of the sions offset requirements of paragraph IV.A,
source or modification otherwise to emit a Condition 3 of this Ruling, the emissions off-
pollutant, such as a restriction on hours of sets obtained shall be for the same regulated
operation, then the requirements of this Rul- nonattainment NSR pollutant unless inter-
ing shall apply to the source or modification precursor offsetting is permitted for a par-
as though construction had not yet com- ticular pollutant as specified in this para-
menced on the source or modification. graph IV.G.5 and the reviewing authority
G. Offset Ratios. chooses to review such trading on a case by
1. In meeting the emissions offset require- case basis as described in this section.
ments of paragraph IV.A, Condition 3 of this (i) A reviewing authority may choose to
Ruling, the ratio of total actual emissions satisfy the offset requirements of paragraph
reductions to the emissions increase shall be IV.A, Condition 3 of this Ruling for emis-
at least 1:1 unless an alternative ratio is pro- sions of the ozone precursors NOX and VOC
vided for the applicable nonattainment area by offsetting reductions of emissions of ei-
in paragraphs IV.G.2 through IV.G.4. ther precursor, if all other requirements con-
2. In meeting the emissions offset require- tained in this Ruling for such offsets are also
ments of paragraph IV.A, Condition 3 of this satisfied. For a specific permit application, if
Ruling for ozone nonattainment areas that the implementation of IPT is acceptable by
are subject to subpart 2, part D, title I of the the reviewing authority, the permit appli-
Act, the ratio of total actual emissions re- cant shall submit to the reviewing authority
ductions of VOC to the emissions increase of for approval a case-specific permit IPT ratio
VOC shall be as follows: for determining the required amount of
(i) In any marginal nonattainment area for emissions reductions to offset the proposed
ozone—at least 1.1:1; emissions increase when considered along
(ii) In any moderate nonattainment area with the applicable offset ratio as specified
for ozone—at least 1.15:1; in paragraphs IV.G.2 through 4 of this Rul-
(iii) In any serious nonattainment area for ing. As part of the ratio submittal, the appli-
ozone—at least 1.2:1; cant shall submit the proposed permit-spe-
(iv) In any severe nonattainment area for cific ozone IPT ratio to the reviewing au-
ozone—at least 1.3:1 (except that the ratio thority, accompanied by the following infor-
may be at least 1.2:1 if the State also re- mation:
quires all existing major sources in such (a) A description of the air quality
nonattainment area to use BACT for the model(s) that were used to propose a case-
control of VOC); and specific ratio; and
588
(b) The proposed ratio for the precursor (i.e., the second step of the process) is con-
substitution and accompanying calculations; tained in the definition in paragraph II.A.6 of
and this Ruling. Regardless of any such
(c) A modeling demonstration showing preconstruction projections, a major modi-
that such ratio(s) as applied to the proposed fication results if the project causes a sig-
project and credit source will provide an nificant emissions increase and a significant
equivalent or greater air quality benefit with net emissions increase.
respect to ground level concentrations in the (iii) Actual-to-projected-actual applicability
ozone nonattainment area than an offset of test for projects that only involve existing emis-
the emitted precursor would achieve. sions units. A significant emissions increase
(ii) The offset requirements of paragraph of a regulated NSR pollutant is projected to
IV.A, Condition 3 of this Ruling for direct occur if the sum of the difference between
PM2.5 emissions or emissions of precursors of the projected actual emissions (as defined in
PM2.5 may be satisfied by offsetting reduc- paragraph II.A.24 of this Ruling) and the
tions of direct PM2.5 emissions or emissions baseline actual emissions (as defined in para-
of any PM2.5 precursor identified under paragraphs II.A.30(i) and (ii) of this Ruling, as ap-
graph II.A.31 (iii) of this Ruling if such off- plicable), for each existing emissions unit,
sets comply with an interprecursor trading equals or exceeds the significant amount for
hierarchy and ratio approved by the Admin- that pollutant (as defined in paragraph
istrator. II.A.10 of this Ruling).
H. Additional provisions for emissions of ni- (iv) Actual-to-potential test for projects that
trogen oxides in ozone transport regions and only involve construction of a new emissions
nonattainment areas. The requirements of
unit(s). A significant emissions increase of a
this Ruling applicable to major stationary
regulated NSR pollutant is projected to
sources and major modifications of volatile
occur if the sum of the difference between
organic compounds shall apply to nitrogen
the potential to emit (as defined in para-
oxides emissions from major stationary
graph II.A.3 of this Ruling) from each new
sources and major modifications of nitrogen
emissions unit following completion of the
oxides in an ozone transport region or in any
project and the baseline actual emissions (as
ozone nonattainment area, except in ozone
defined in paragraph II.A.30(iii) of this Rul-
nonattainment areas where the Adminis-
ing) of these units before the project equals
trator has granted a NOX waiver applying
the standards set forth under 182(f) and the or exceeds the significant amount for that
waiver continues to apply. pollutant (as defined in paragraph II.A.10 of
I. Applicability procedures. this Ruling).
1. To determine whether a project con- (v) Hybrid test for projects that involve mul-
stitutes a major modification, the reviewing tiple types of emissions units. A significant
authority shall apply the principles set out emissions increase of a regulated NSR pol-
in paragraphs IV.I.1(i) through (v) of this lutant is projected to occur if the sum of the
Ruling. difference for all emissions units, using the
(i) Except as otherwise provided in para- method specified in paragraphs IV.I.1(iii)
graph IV.I.2 of this Ruling, and consistent through (iv) of this Ruling as applicable with
with the definition of major modification respect to each emissions unit, equals or ex-
contained in paragraph II.A.5 of this Ruling, ceeds the significant amount for that pollut-
a project is a major modification for a regu- ant (as defined in paragraph II.A.10 of this
lated NSR pollutant if it causes two types of Ruling).
emissions increases—a significant emissions (vi) The ‘‘sum of the difference’’ as used in
increase (as defined in paragraph II.A.23 of paragraphs (iii), (iv) and (v) of this section
this Ruling), and a significant net emissions shall include both increases and decreases in
increase (as defined in paragraphs II.A.6 and emissions calculated in accordance with
10 of this Ruling). The project is not a major those paragraphs.
modification if it does not cause a signifi- 2. For any major stationary source for a
cant emissions increase. If the project causes PAL for a regulated NSR pollutant, the
a significant emissions increase, then the major stationary source shall comply with
project is a major modification only if it also requirements under paragraph IV.K of this
results in a significant net emissions in- Ruling.
crease. J. Provisions for projected actual emissions.
(ii) The procedure for calculating (before Except as otherwise provided in paragraph
beginning actual construction) whether a IV.J.6(ii) of this Ruling, the provisions of
significant emissions increase (i.e., the first this paragraph IV.J apply with respect to
step of the process) will occur depends upon any regulated NSR pollutant emitted from
the type of emissions units being modified, projects at existing emissions units at a
according to paragraphs IV.I.1(iii) through major stationary source (other than projects
(v) of this Ruling. The procedure for calcu- at a source with a PAL) in circumstances
lating (before beginning actual construction) where there is a reasonable possibility, with-
whether a significant net emissions increase in the meaning of paragraph IV.J.6 of this
will occur at the major stationary source Ruling, that a project that is not a part of a
589
major modification may result in a signifi- graph IV.J.1(iii) of this Ruling) by a signifi-
cant emissions increase of such pollutant, cant amount (as defined in paragraph II.A.10
and the owner or operator elects to use the of this Ruling) for that regulated NSR pol-
method specified in paragraphs II.A.24(ii)(a) lutant, and if such emissions differ from the
through (c) of this Ruling for calculating preconstruction projection as documented
projected actual emissions. and maintained pursuant to paragraph
1. Before beginning actual construction of IV.J.1(iii) of this Ruling. Such report shall
the project, the owner or operator shall doc- be submitted to the reviewing authority
ument and maintain a record of the fol- within 60 days after the end of such year.
lowing information: The report shall contain the following:
(i) A description of the project; (i) The name, address and telephone num-
(ii) Identification of the emissions unit(s) ber of the major stationary source;
whose emissions of a regulated NSR pollut- (ii) The annual emissions as calculated
ant could be affected by the project; and pursuant to paragraph IV.J.3 of this Ruling;
(iii) A description of the applicability test and
used to determine that the project is not a (iii) Any other information that the owner
major modification for any regulated NSR or operator wishes to include in the report
pollutant, including the baseline actual (e.g., an explanation as to why the emissions
emissions, the projected actual emissions, differ from the preconstruction projection).
the amount of emissions excluded under 6. A ‘‘reasonable possibility’’ under para-
paragraph II.A.24(ii)(c) of this Ruling and an graph IV.J of this Ruling occurs when the
explanation for why such amount was ex- owner or operator calculates the project to
cluded, and any netting calculations, if ap- result in either:
plicable. (i) A projected actual emissions increase of
2. If the emissions unit is an existing elec- at least 50 percent of the amount that is a
tric utility steam generating unit, before be- ‘‘significant emissions increase,’’ as defined
ginning actual construction, the owner or under paragraph II.A.23 of this Ruling (with-
operator shall provide a copy of the informa- out reference to the amount that is a signifi-
tion set out in paragraph IV.J.1 of this Rul- cant net emissions increase), for the regu-
ing to the reviewing authority. Nothing in lated NSR pollutant; or
this paragraph IV.J.2 shall be construed to (ii) A projected actual emissions increase
require the owner or operator of such a unit that, added to the amount of emissions ex-
to obtain any determination from the re- cluded under paragraph II.A.24(ii)(c), sums to
viewing authority before beginning actual at least 50 percent of the amount that is a
construction. ‘‘significant emissions increase,’’ as defined
3. The owner or operator shall monitor the under paragraph II.A.23 of this Ruling (with-
emissions of any regulated NSR pollutant out reference to the amount that is a signifi-
that could increase as a result of the project cant net emissions increase), for the regu-
and that is emitted by any emissions units lated NSR pollutant. For a project for which
identified in paragraph IV.J.1(ii) of this Rul- a reasonable possibility occurs only within
ing; and calculate and maintain a record of the meaning of paragraph IV.J.6(ii) of this
the annual emissions, in tons per year on a Ruling, and not also within the meaning of
calendar year basis, for a period of 5 years paragraph IV.J.6(i) of this Ruling, then pro-
following resumption of regular operations visions IV.J.2 through IV.J.5 do not apply to
after the change, or for a period of 10 years the project.
following resumption of regular operations 7. The owner or operator of the source shall
after the change if the project increases the make the information required to be docu-
design capacity or potential to emit of that mented and maintained pursuant to this
regulated NSR pollutant at such emissions paragraph IV.J of this Ruling available for
unit. review upon a request for inspection by the
4. If the unit is an existing electric utility reviewing authority or the general public
steam generating unit, the owner or operator pursuant to the requirements contained in
shall submit a report to the reviewing au- § 70.4(b)(3)(viii) of this chapter.
thority within 60 days after the end of each K. Actuals PALs. The provisions in para-
year, during which records must be gen- graphs IV.K.1 through 15 of this Ruling gov-
erated under paragraph IV.J.3 of this Ruling ern actuals PALs.
setting out the unit’s annual emissions dur- 1. Applicability.
ing the year that preceded submission of the (i) The reviewing authority may approve
report. the use of an actuals PAL for any existing
5. If the unit is an existing unit other than major stationary source (except as provided
an electric utility steam generating unit, the in paragraph IV.K.1(ii) of this Ruling) if the
owner or operator shall submit a report to PAL meets the requirements in paragraphs
the reviewing authority if the annual emis- IV.K.1 through 15 of this Ruling. The term
sions, in tons per year, from the project iden- ‘‘PAL’’ shall mean ‘‘actuals PAL’’ through-
tified in paragraph IV.J.1 of this Ruling, ex- out paragraph IV.K of this Ruling.
ceed the baseline actual emissions (as docu- (ii) The reviewing authority shall not
mented and maintained pursuant to para- allow an actuals PAL for VOC or NOX for any
590
major stationary source located in an ex- (b) Any emissions unit that emits or has
treme ozone nonattainment area. the potential to emit the PAL pollutant in
(iii) Any physical change in or change in an amount that is equal to or greater than
the method of operation of a major sta- the major source threshold for the PAL pol-
tionary source that maintains its total lutant as defined by the Act for nonattain-
source-wide emissions below the PAL level, ment areas. For example, in accordance with
meets the requirements in paragraphs IV.K.1 the definition of major stationary source in
through 15 of this Ruling, and complies with section 182(c) of the Act, an emissions unit
the PAL permit: would be a major emissions unit for VOC if
(a) Is not a major modification for the PAL the emissions unit is located in a serious
pollutant; ozone nonattainment area and it emits or
(b) Does not have to be approved through a has the potential to emit 50 or more tons of
nonattainment major NSR program; and VOC per year.
(c) Is not subject to the provisions in para- (v) Plantwide applicability limitation (PAL)
graph IV.F of this Ruling (restrictions on re- means an emission limitation expressed in
laxing enforceable emission limitations that tons per year, for a pollutant at a major sta-
the major stationary source used to avoid tionary source, that is enforceable as a prac-
applicability of a nonattainment major NSR tical matter and established source-wide in
program). accordance with paragraphs IV.K.1 through
(iv) Except as provided under paragraph 15 of this Ruling.
(vi) PAL effective date generally means the
IV.K.1(iii)(c) of this Ruling, a major sta-
date of issuance of the PAL permit. However,
tionary source shall continue to comply with
the PAL effective date for an increased PAL
all applicable Federal or State requirements,
is the date any emissions unit which is part
emission limitations, and work practice re-
of the PAL major modification becomes
quirements that were established prior to
operational and begins to emit the PAL pol-
the effective date of the PAL.
lutant.
2. Definitions. For the purposes of this para- (vii) PAL effective period means the period
graph IV.K, the definitions in paragraphs beginning with the PAL effective date and
IV.K.2(i) through (xi) of this Ruling apply. ending 10 years later.
When a term is not defined in these para- (viii) PAL major modification means, not-
graphs, it shall have the meaning given in withstanding paragraphs II.A.5 and 6 of this
paragraph II.A of this Ruling or in the Act. Ruling (the definitions for major modifica-
(i) Actuals PAL for a major stationary tion and net emissions increase), any phys-
source means a PAL based on the baseline ical change in or change in the method of op-
actual emissions (as defined in paragraph eration of the PAL source that causes it to
II.A.30 of this Ruling) of all emissions units emit the PAL pollutant at a level equal to or
(as defined in paragraph II.A.7 of this Ruling) greater than the PAL.
at the source, that emit or have the poten- (ix) PAL permit means the permit issued
tial to emit the PAL pollutant. under this Ruling, the major NSR permit,
(ii) Allowable emissions means ‘‘allowable the minor NSR permit, or the State oper-
emissions’’ as defined in paragraph II.A.11 of ating permit under a program that is ap-
this Ruling, except as this definition is modi- proved into the plan, or the title V permit
fied according to paragraphs IV.K.2(ii)(a) issued by the reviewing authority that estab-
through (b) of this Ruling. lishes a PAL for a major stationary source.
(a) The allowable emissions for any emis- (x) PAL pollutant means the pollutant for
sions unit shall be calculated considering which a PAL is established at a major sta-
any emission limitations that are enforce- tionary source.
able as a practical matter on the emissions (xi) Significant emissions unit means an
unit’s potential to emit. emissions unit that emits or has the poten-
(b) An emissions unit’s potential to emit tial to emit a PAL pollutant in an amount
shall be determined using the definition in that is equal to or greater than the signifi-
paragraph II.A.3 of this Ruling, except that cant level (as defined in paragraph II.A.10 of
the words ‘‘enforceable as a practical mat- this Ruling or in the Act, whichever is lower)
ter’’ should be added after ‘‘federally en- for that PAL pollutant, but less than the
forceable.’’ amount that would qualify the unit as a
(iii) Small emissions unit means an emis- major emissions unit as defined in paragraph
sions unit that emits or has the potential to IV.K.2(iv) of this Ruling.
emit the PAL pollutant in an amount less 3. Permit application requirements. As part of
than the significant level for that PAL pol- a permit application requesting a PAL, the
lutant, as defined in paragraph II.A.10 of this owner or operator of a major stationary
Ruling or in the Act, whichever is lower. source shall submit the following informa-
(iv) Major emissions unit means: tion to the reviewing authority for approval:
(a) Any emissions unit that emits or has (i) A list of all emissions units at the
the potential to emit 100 tons per year or source designated as small, significant or
more of the PAL pollutant in an attainment major based on their potential to emit. In
area; or addition, the owner or operator of the source
591
shall indicate which, if any, Federal or State effective period, creditable as decreases for
applicable requirements, emission limita- purposes of offsets under paragraph IV.C of
tions or work practices apply to each unit. this Ruling unless the level of the PAL is re-
(ii) Calculations of the baseline actual duced by the amount of such emissions re-
emissions (with supporting documentation). ductions and such reductions would be cred-
Baseline actual emissions are to include itable in the absence of the PAL.
emissions associated not only with operation 5. Public participation requirement for PALs.
of the unit, but also emissions associated PALs for existing major stationary sources
with startup, shutdown and malfunction. shall be established, renewed, or increased
(iii) The calculation procedures that the through a procedure that is consistent with
major stationary source owner or operator ((51.160 and 51.161 of this chapter. This in-
proposes to use to convert the monitoring cludes the requirement that the reviewing
system data to monthly emissions and an- authority provide the public with notice of
nual emissions based on a 12-month rolling the proposed approval of a PAL permit and
total for each month as required by para- at least a 30-day period for submittal of pub-
graph IV.K.13(i) of this Ruling. lic comment. The reviewing authority must
4. General requirements for establishing address all material comments before taking
PALs. final action on the permit.
(i) The reviewing authority is allowed to 6. Setting the 10-year actuals PAL level. The
establish a PAL at a major stationary
actuals PAL level for a major stationary
source, provided that at a minimum, the re-
source shall be established as the sum of the
quirements in paragraphs IV.K.4(i) (a)
baseline actual emissions (as defined in para-
through (g) of this Ruling are met.
graph II.A.30 of this Ruling) of the PAL pol-
(a) The PAL shall impose an annual emis-
lutant for each emissions unit at the source;
sion limitation in tons per year, that is en-
plus an amount equal to the applicable sig-
forceable as a practical matter, for the en-
nificant level for the PAL pollutant under
tire major stationary source. For each
paragraph II.A.10 of this Ruling or under the
month during the PAL effective period after
the first 12 months of establishing a PAL, Act, whichever is lower. When establishing
the major stationary source owner or oper- the actuals PAL level, for a PAL pollutant,
ator shall show that the sum of the monthly only one consecutive 24-month period must
emissions from each emissions unit under be used to determine the baseline actual
the PAL for the previous 12 consecutive emissions for all existing emissions units.
months is less than the PAL (a 12-month av- However, a different consecutive 24-month
erage, rolled monthly). For each month dur- period may be used for each different PAL
ing the first 11 months from the PAL effec- pollutant. Emissions associated with units
tive date, the major stationary source owner that were permanently shut down after this
or operator shall show that the sum of the 24-month period must be subtracted from the
preceding monthly emissions from the PAL PAL level. Emissions from units on which
effective date for each emissions unit under actual construction began after the 24-month
the PAL is less than the PAL. period must be added to the PAL level in an
(b) The PAL shall be established in a PAL amount equal to the potential to emit of the
permit that meets the public participation units. The reviewing authority shall specify
requirements in paragraph IV.K.5 of this a reduced PAL level(s) (in tons/yr) in the
Ruling. PAL permit to become effective on the fu-
(c) The PAL permit shall contain all the ture compliance date(s) of any applicable
requirements of paragraph IV.K.7 of this Federal or State regulatory requirement(s)
Ruling. that the reviewing authority is aware of
(d) The PAL shall include fugitive emis- prior to issuance of the PAL permit. For in-
sions, to the extent quantifiable, from all stance, if the source owner or operator will
emissions units that emit or have the poten- be required to reduce emissions from indus-
tial to emit the PAL pollutant at the major trial boilers in half from baseline emissions
stationary source. of 60 ppm NOX to a new rule limit of 30 ppm,
(e) Each PAL shall regulate emissions of then the permit shall contain a future effec-
only one pollutant. tive PAL level that is equal to the current
(f) Each PAL shall have a PAL effective pe- PAL level reduced by half of the original
riod of 10 years. baseline emissions of such unit(s).
(g) The owner or operator of the major sta- 7. Contents of the PAL permit. The PAL per-
tionary source with a PAL shall comply with mit contain, at a minimum, the information
the monitoring, recordkeeping, and report- in paragraphs IV.K.7 (i) through (x) of this
ing requirements provided in paragraphs Ruling.
IV.K. 12 through 14 of this Ruling for each (i) The PAL pollutant and the applicable
emissions unit under the PAL through the source-wide emission limitation in tons per
PAL effective period. year.
(ii) At no time (during or after the PAL ef- (ii) The PAL permit effective date and the
fective period) are emissions reductions of a expiration date of the PAL (PAL effective
PAL pollutant, which occur during the PAL period).
592
(iii) Specification in the PAL permit that NSPS) with compliance dates after the PAL
if a major stationary source owner or oper- effective date.
ator applies to renew a PAL in accordance (2) Reduce the PAL consistent with any
with paragraph IV.K.10 of this Ruling before other requirement, that is enforceable as a
the end of the PAL effective period, then the practical matter, and that the State may im-
PAL shall not expire at the end of the PAL pose on the major stationary source under
effective period. It shall remain in effect the plan.
until a revised PAL permit is issued by the (3) Reduce the PAL if the reviewing au-
reviewing authority. thority determines that a reduction is nec-
(iv) A requirement that emission calcula- essary to avoid causing or contributing to a
tions for compliance purposes include emis- NAAQS or PSD increment violation, or to an
sions from startups, shutdowns and malfunc- adverse impact on an air quality related
tions. value that has been identified for a Federal
(v) A requirement that, once the PAL ex- Class I area by a Federal Land Manager and
pires, the major stationary source is subject for which information is available to the
to the requirements of paragraph IV.K.9 of general public.
this Ruling. (c) Except for the permit reopening in
(vi) The calculation procedures that the paragraph IV.K.8(ii)(a)(1) of this Ruling for
major stationary source owner or operator the correction of typographical/calculation
shall use to convert the monitoring system errors that do not increase the PAL level, all
data to monthly emissions and annual emis- other reopenings shall be carried out in ac-
sions based on a 12-month rolling total for cordance with the public participation re-
each month as required by paragraph quirements of paragraph IV.K.5 of this Rul-
IV.K.13(i) of this Ruling. ing.
9. Expiration of a PAL. Any PAL which is
(vii) A requirement that the major sta-
not renewed in accordance with the proce-
tionary source owner or operator monitor all
dures in paragraph IV.K.10 of this Ruling
emissions units in accordance with the pro-
shall expire at the end of the PAL effective
visions under paragraph IV.K.12 of this Rul-
period, and the requirements in paragraphs
ing.
IV.K.9(i) through (v) of this Ruling shall
(viii) A requirement to retain the records
apply.
required under paragraph IV.K.13 of this Rul- (i) Each emissions unit (or each group of
ing on site. Such records may be retained in emissions units) that existed under the PAL
an electronic format. shall comply with an allowable emission lim-
(ix) A requirement to submit the reports itation under a revised permit established
required under paragraph IV.K.14 of this Rul- according to the procedures in paragraphs
ing by the required deadlines. IV.K.9(i)(a) through (b) of this Ruling.
(x) Any other requirements that the re- (a) Within the time frame specified for
viewing authority deems necessary to imple- PAL renewals in paragraph IV.K.10(ii) of this
ment and enforce the PAL. Ruling, the major stationary source shall
8. PAL effective period and reopening of the submit a proposed allowable emission limita-
PAL permit. The requirements in paragraphs tion for each emissions unit (or each group
IV.K.8(i) and (ii) of this Ruling apply to of emissions units, if such a distribution is
actuals PALs. more appropriate as decided by the review-
(i) PAL effective period. The reviewing au- ing authority) by distributing the PAL al-
thority shall specify a PAL effective period lowable emissions for the major stationary
of 10 years. source among each of the emissions units
(ii) Reopening of the PAL permit. that existed under the PAL. If the PAL had
(a) During the PAL effective period, the re- not yet been adjusted for an applicable re-
viewing authority must reopen the PAL per- quirement that became effective during the
mit to: PAL effective period, as required under para-
(1) Correct typographical/calculation er- graph IV.K.10(v) of this Ruling, such dis-
rors made in setting the PAL or reflect a tribution shall be made as if the PAL had
more accurate determination of emissions been adjusted.
used to establish the PAL. (b) The reviewing authority shall decide
(2) Reduce the PAL if the owner or oper- whether and how the PAL allowable emis-
ator of the major stationary source creates sions will be distributed and issue a revised
creditable emissions reductions for use as permit incorporating allowable limits for
offsets under paragraph IV.C of this Ruling. each emissions unit, or each group of emis-
(3) Revise the PAL to reflect an increase in sions units, as the reviewing authority deter-
the PAL as provided under paragraph IV.K.11 mines is appropriate.
of this Ruling. (ii) Each emissions unit(s) shall comply
(b) The reviewing authority shall have dis- with the allowable emission limitation on a
cretion to reopen the PAL permit for the fol- 12-month rolling basis. The reviewing au-
lowing: thority may approve the use of monitoring
(1) Reduce the PAL to reflect newly appli- systems (source testing, emission factors,
cable Federal requirements (for example, etc.) other than CEMS, CERMS, PEMS or
593
CPMS to demonstrate compliance with the consider in determining the appropriate
allowable emission limitation. level for renewing the PAL.
(iii) Until the reviewing authority issues (iv) PAL adjustment. In determining wheth-
the revised permit incorporating allowable er and how to adjust the PAL, the reviewing
limits for each emissions unit, or each group authority shall consider the options outlined
of emissions units, as required under para- in paragraphs IV.K.10(iv)(a) and (b) of this
graph IV.K.9(i)(a) of this Ruling, the source Ruling. However, in no case may any such
shall continue to comply with a source-wide, adjustment fail to comply with paragraph
multi-unit emissions cap equivalent to the IV.K.10(iv)(c) of this Ruling.
level of the PAL emission limitation. (a) If the emissions level calculated in ac-
(iv) Any physical change or change in the cordance with paragraph IV.K.6 of this Rul-
method of operation at the major stationary ing is equal to or greater than 80 percent of
source will be subject to the nonattainment the PAL level, the reviewing authority may
major NSR requirements if such change renew the PAL at the same level without
meets the definition of major modification considering the factors set forth in para-
in paragraph II.A.5 of this Ruling. graph IV.K.10(iv)(b) of this Ruling; or
(v) The major stationary source owner or (b) The reviewing authority may set the
operator shall continue to comply with any PAL at a level that it determines to be more
State or Federal applicable requirements representative of the source’s baseline actual
(BACT, RACT, NSPS, etc.) that may have emissions, or that it determines to be appro-
applied either during the PAL effective pe- priate considering air quality needs, ad-
riod or prior to the PAL effective period ex- vances in control technology, anticipated
cept for those emission limitations that had economic growth in the area, desire to re-
been established pursuant to paragraph IV.F
ward or encourage the source’s voluntary
of this Ruling, but were eliminated by the
emissions reductions, or other factors as spe-
PAL in accordance with the provisions in
cifically identified by the reviewing author-
paragraph IV.K.1(iii)(c) of this Ruling.
ity in its written rationale.
10. Renewal of a PAL.
(i) The reviewing authority shall follow the (c) Notwithstanding paragraphs
procedures specified in paragraph IV.K.5 of IV.K.10(iv)(a) and (b) of this Ruling,
this Ruling in approving any request to (1) If the potential to emit of the major
renew a PAL for a major stationary source, stationary source is less than the PAL, the
and shall provide both the proposed PAL reviewing authority shall adjust the PAL to
level and a written rationale for the pro- a level no greater than the potential to emit
posed PAL level to the public for review and of the source; and
comment. During such public review, any (2) The reviewing authority shall not ap-
person may propose a PAL level for the prove a renewed PAL level higher than the
source for consideration by the reviewing au- current PAL, unless the major stationary
thority. source has complied with the provisions of
(ii) Application deadline. The major sta- paragraph IV.K.11 of this Ruling (increasing
tionary source owner or operator shall sub- a PAL).
mit a timely application to the reviewing (v) If the compliance date for a State or
authority to request renewal of a PAL. A Federal requirement that applies to the PAL
timely application is one that is submitted source occurs during the PAL effective pe-
at least 6 months prior to, but not earlier riod, and if the reviewing authority has not
than 18 months from, the date of permit ex- already adjusted for such requirement, the
piration. This deadline for application sub- PAL shall be adjusted at the time of PAL
mittal is to ensure that the permit will not permit renewal or title V permit renewal,
expire before the permit is renewed. If the whichever occurs first.
owner or operator of a major stationary 11. Increasing a PAL during the PAL effec-
source submits a complete application to tive period.
renew the PAL within this time period, then (i) The reviewing authority may increase a
the PAL shall continue to be effective until PAL emission limitation only if the major
the revised permit with the renewed PAL is stationary source complies with the provi-
issued. sions in paragraphs IV.K.11(i)(a) through (d)
(iii) Application requirements. The applica- of this Ruling.
tion to renew a PAL permit shall contain the (a) The owner or operator of the major sta-
information required in paragraphs tionary source shall submit a complete ap-
IV.K.10(iii)(a) through (d) of this Ruling. plication to request an increase in the PAL
(a) The information required in paragraphs limit for a PAL major modification. Such
IV.K.3(i) through (iii) of this Ruling. application shall identify the emissions
(b) A proposed PAL level. unit(s) contributing to the increase in emis-
(c) The sum of the potential to emit of all sions so as to cause the major stationary
emissions units under the PAL (with sup- source’s emissions to equal or exceed its
porting documentation). PAL.
(d) Any other information the owner or op- (b) As part of this application, the major
erator wishes the reviewing authority to stationary source owner or operator shall
594
demonstrate that the sum of the baseline ac- (b) The PAL monitoring system must em-
tual emissions of the small emissions units, ploy one or more of the four general moni-
plus the sum of the baseline actual emissions toring approaches meeting the minimum re-
of the significant and major emissions units quirements set forth in paragraphs
assuming application of BACT equivalent IV.K.12(ii)(a) through (d) of this Ruling and
controls, plus the sum of the allowable emis- must be approved by the reviewing author-
sions of the new or modified emissions ity.
unit(s) exceeds the PAL. The level of control (c) Notwithstanding paragraph IV.K.12(i)(b)
that would result from BACT equivalent con- of this Ruling, you may also employ an al-
trols on each significant or major emissions ternative monitoring approach that meets
unit shall be determined by conducting a paragraph IV.K.12(i)(a) of this Ruling if ap-
new BACT analysis at the time the applica- proved by the reviewing authority.
tion is submitted, unless the emissions unit (d) Failure to use a monitoring system
is currently required to comply with a BACT that meets the requirements of this Ruling
or LAER requirement that was established renders the PAL invalid.
within the preceding 10 years. In such a case, (ii) Minimum Performance Requirements
the assumed control level for that emissions for Approved Monitoring Approaches. The
unit shall be equal to the level of BACT or following are acceptable general monitoring
LAER with which that emissions unit must approaches when conducted in accordance
currently comply. with the minimum requirements in para-
(c) The owner or operator obtains a major graphs IV.K.12(iii) through (ix) of this Rul-
NSR permit for all emissions unit(s) identi- ing:
fied in paragraph IV.K.11(i)(a) of this Ruling, (a) Mass balance calculations for activities
regardless of the magnitude of the emissions using coatings or solvents;
increase resulting from them (that is, no sig-
(b) CEMS;
nificant levels apply). These emissions
(c) CPMS or PEMS; and
unit(s) shall comply with any emissions re-
(d) Emission Factors.
quirements resulting from the nonattain-
ment major NSR program process (for exam- (iii) Mass Balance Calculations. An owner
ple, LAER), even though they have also be- or operator using mass balance calculations
come subject to the PAL or continue to be to monitor PAL pollutant emissions from ac-
subject to the PAL. tivities using coating or solvents shall meet
(d) The PAL permit shall require that the the following requirements:
increased PAL level shall be effective on the (a) Provide a demonstrated means of vali-
day any emissions unit that is part of the dating the published content of the PAL pol-
PAL major modification becomes oper- lutant that is contained in or created by all
ational and begins to emit the PAL pollut- materials used in or at the emissions unit;
ant. (b) Assume that the emissions unit emits
(ii) The reviewing authority shall calculate all of the PAL pollutant that is contained in
the new PAL as the sum of the allowable or created by any raw material or fuel used
emissions for each modified or new emissions in or at the emissions unit, if it cannot oth-
unit, plus the sum of the baseline actual erwise be accounted for in the process; and
emissions of the significant and major emis- (c) Where the vendor of a material or fuel,
sions units (assuming application of BACT which is used in or at the emissions unit,
equivalent controls as determined in accord- publishes a range of pollutant content from
ance with paragraph IV.K.11(i)(b)), plus the such material, the owner or operator must
sum of the baseline actual emissions of the use the highest value of the range to cal-
small emissions units. culate the PAL pollutant emissions unless
(iii) The PAL permit shall be revised to re- the reviewing authority determines there is
flect the increased PAL level pursuant to the site-specific data or a site-specific moni-
public notice requirements of paragraph toring program to support another content
IV.K.5 of this Ruling. within the range.
12. Monitoring requirements for PALs. (iv) CEMS. An owner or operator using
(i) General Requirements. CEMS to monitor PAL pollutant emissions
(a) Each PAL permit must contain enforce- shall meet the following requirements:
able requirements for the monitoring system (a) CEMS must comply with applicable
that accurately determines plantwide emis- Performance Specifications found in 40 CFR
sions of the PAL pollutant in terms of mass part 60, appendix B; and
per unit of time. Any monitoring system au- (b) CEMS must sample, analyze and record
thorized for use in the PAL permit must be data at least every 15 minutes while the
based on sound science and meet generally emissions unit is operating.
acceptable scientific procedures for data (v) CPMS or PEMS. An owner or operator
quality and manipulation. Additionally, the using CPMS or PEMS to monitor PAL pol-
information generated by such system must lutant emissions shall meet the following re-
meet minimum legal requirements for ad- quirements:
missibility in a judicial proceeding to en- (a) The CPMS or the PEMS must be based
force the PAL permit. on current site-specific data demonstrating a
595
correlation between the monitored param- and of the PAL, including a determination of
eter(s) and the PAL pollutant emissions each emissions unit’s 12-month rolling total
across the range of operation of the emis- emissions, for 5 years from the date of such
sions unit; and record.
(b) Each CPMS or PEMS must sample, ana- (ii) The PAL permit shall require an owner
lyze, and record data at least every 15 min- or operator to retain a copy of the following
utes, or at another less frequent interval ap- records for the duration of the PAL effective
proved by the reviewing authority, while the period plus 5 years:
emissions unit is operating. (a) A copy of the PAL permit application
(vi) Emission factors. An owner or operator and any applications for revisions to the
using emission factors to monitor PAL pol- PAL; and
lutant emissions shall meet the following re- (b) Each annual certification of compliance
quirements: pursuant to title V and the data relied on in
(a) All emission factors shall be adjusted, certifying the compliance.
if appropriate, to account for the degree of 14. Reporting and notification requirements.
uncertainty or limitations in the factors’ de- The owner or operator shall submit semi-an-
velopment; nual monitoring reports and prompt devi-
(b) The emissions unit shall operate within ation reports to the reviewing authority in
the designated range of use for the emission accordance with the applicable title V oper-
factor, if applicable; and ating permit program. The reports shall
(c) If technically practicable, the owner or meet the requirements in paragraphs
operator of a significant emissions unit that IV.K.14(i) through (iii).
relies on an emission factor to calculate PAL (i) Semi-Annual Report. The semi-annual
pollutant emissions shall conduct validation report shall be submitted to the reviewing
testing to determine a site-specific emission authority within 30 days of the end of each
factor within 6 months of PAL permit reporting period. This report shall contain
issuance, unless the reviewing authority de- the information required in paragraphs
termines that testing is not required. IV.K.14(i)(a) through (g) of this Ruling.
(vii) A source owner or operator must (a) The identification of owner and oper-
record and report maximum potential emis- ator and the permit number.
sions without considering enforceable emis- (b) Total annual emissions (tons/year)
sion limitations or operational restrictions based on a 12-month rolling total for each
for an emissions unit during any period of month in the reporting period recorded pur-
time that there is no monitoring data, unless suant to paragraph IV.K.13(i) of this Ruling.
another method for determining emissions (c) All data relied upon, including, but not
during such periods is specified in the PAL limited to, any Quality Assurance or Quality
permit. Control data, in calculating the monthly and
(viii) Notwithstanding the requirements in annual PAL pollutant emissions.
paragraphs IV.K.12(iii) through (vii) of this (d) A list of any emissions units modified
Ruling, where an owner or operator of an or added to the major stationary source dur-
emissions unit cannot demonstrate a cor- ing the preceding 6-month period.
relation between the monitored parameter(s) (e) The number, duration, and cause of any
and the PAL pollutant emissions rate at all deviations or monitoring malfunctions
operating points of the emissions unit, the (other than the time associated with zero
reviewing authority shall, at the time of per- and span calibration checks), and any correc-
mit issuance: tive action taken.
(a) Establish default value(s) for deter- (f) A notification of a shutdown of any
mining compliance with the PAL based on monitoring system, whether the shutdown
the highest potential emissions reasonably was permanent or temporary, the reason for
estimated at such operating point(s); or the shutdown, the anticipated date that the
(b) Determine that operation of the emis- monitoring system will be fully operational
sions unit during operating conditions when or replaced with another monitoring system,
there is no correlation between monitored and whether the emissions unit monitored
parameter(s) and the PAL pollutant emis- by the monitoring system continued to oper-
sions is a violation of the PAL. ate, and the calculation of the emissions of
(ix) Re-validation. All data used to estab- the pollutant or the number determined by
lish the PAL pollutant must be re-validated method included in the permit, as provided
through performance testing or other sci- by paragraph IV.K.12(vii) of this Ruling.
entifically valid means approved by the re- (g) A signed statement by the responsible
viewing authority. Such testing must occur official (as defined by the applicable title V
at least once every 5 years after issuance of operating permit program) certifying the
the PAL. truth, accuracy, and completeness of the in-
13. Recordkeeping requirements. formation provided in the report.
(i) The PAL permit shall require an owner (ii) Deviation report. The major stationary
or operator to retain a copy of all records source owner or operator shall promptly sub-
necessary to determine compliance with any mit reports of any deviations or exceedance
requirement of paragraph IV.K of this Ruling of the PAL requirements, including periods
596
where no monitoring is available. A report A. Source initiated emission offsets. A source
submitted pursuant to § 70.6(a)(3)(iii)(B) of may propose emission offsets which involve:
this chapter shall satisfy this reporting re- (1) Reductions from sources controlled by
quirement. The deviation reports shall be the source owner (internal emission offsets);
submitted within the time limits prescribed and/or (2) reductions from neighboring
by the applicable program implementing sources (external emission offsets). The
§ 70.6(a)(3)(iii)(B) of this chapter. The reports source does not have to investigate all pos-
shall contain the following information: sible emission offsets. As long as the emis-
(a) The identification of owner and oper- sion offsets obtained represent reasonable
ator and the permit number; progress toward attainment, they will be ac-
(b) The PAL requirement that experienced ceptable. It is the reviewing authority’s re-
the deviation or that was exceeded; sponsibility to assure that the emission off-
(c) Emissions resulting from the deviation sets will be as effective as proposed by the
or the exceedance; and
source. An internal emission offset will be
(d) A signed statement by the responsible
considered enforceable if it is made a SIP re-
official (as defined by the applicable title V
quirement by inclusion as a condition of the
operating permit program) certifying the
new source permit and the permit is for-
truth, accuracy, and completeness of the in-
formation provided in the report. warded to the appropriate EPA Regional Of-
(iii) Re-validation results. The owner or fice. 7 An external emission offset will not be
operator shall submit to the reviewing au- enforceable unless the affected source(s) pro-
thority the results of any re-validation test viding the emission reductions is subject to
or method within 3 months after completion a new SIP requirement to ensure that its
of such test or method. emissions will be reduced by a specified
15. Transition requirements. amount in a specified time. Thus, if the
(i) No reviewing authority may issue a source(s) providing the emission reductions
PAL that does not comply with the require- does not obtain the necessary reduction, it
ments in paragraphs IV.K.1 through 15 of will be in violation of a SIP requirement and
this Ruling after the date that this Ruling subject to enforcement action by EPA, the
becomes effective for the State in which the State and/or private parties.
major stationary source is located. The form of the SIP revision may be a
(ii) The reviewing authority may supersede State or local regulation, operating permit
any PAL which was established prior to the condition, consent or enforcement order, or
date that this Ruling becomes effective for any other mechanism available to the State
the State in which the major stationary that is enforceable under the Clean Air Act.
source is located with a PAL that complies If a SIP revision is required, the public hear-
with the requirements of paragraphs IV.K.1 ing on the revision may be substituted for
through 15 of this Ruling. the normal public comment procedure re-
L. Severability. If any provision of this Rul- quired for all major sources under 40 CFR
ing, or the application of such provision to 51.18. The formal publication of the SIP revi-
any person or circumstance, is held invalid, sion approval in the FEDERAL REGISTER need
the remainder of this Ruling, or the applica- not appear before the source may proceed
tion of such provision to persons or cir- with construction. To minimize uncertainty
cumstances other than those as to which it that may be caused by these procedures,
is held invalid, shall not be affected thereby. EPA will, if requested by the State, propose
V. ADMINISTRATIVE PROCEDURES a SIP revision for public comment in the
FEDERAL REGISTER concurrently with the
The necessary emission offsets may be pro- State public hearing process. Of course, any
posed either by the owner of the proposed major change in the final permit/SIP revi-
source or by the local community or the sion submitted by the State may require a
State. The emission reduction committed to reproposal by EPA.
must be enforceable by authorized State and/ B. State or community initiated emission off-
or local agencies and under the Clean Air sets. A State or community which desires
Act, and must be accomplished by the new that a source locate in its area may commit
source’s start-up date. If emission reductions to reducing emissions from existing sources
are to be obtained in a State that neighbors (including mobile sources) to sufficiently
the State in which the new source is to be lo- outweigh the impact of the new source and
cated, the emission reductions committed to thus open the way for the new source. As
must be enforceable by the neighboring with source-initiated emission offsets, the
State and/or local agencies and under the commitment must be something more than
Clean Air Act. Where the new facility is a re-
placement for a facility that is being shut
down in order to provide the necessary off- 7 The emission offset will, therefore, be en-
sets, the reviewing authority may allow up forceable by EPA under section 113 as an ap-
to 180 days for shakedown of the new facility plicable SIP requirement and will be enforce-
before the existing facility is required to able by private parties under section 304 as
cease operation. an emission limitation.
597
Pt. 51, App. V 40 CFR Ch. I (7–1–21 Edition)
one-for-one. This commitment must be sub- identifying the component(s) absent or insuf-
mitted as a SIP revision by the State. ficient to perform a review of the submitted
plan.
VI. POLICY WHERE ATTAINMENT DATES HAVE 1.2 The EPA shall inform the submitting
NOT PASSED official whether or not a plan submission
In some cases, the dates for attainment of meets the requirements of this appendix V
primary standards specified in the SIP under within 60 days of EPA’s receipt of the sub-
section 110 have not yet passed due to a mittal, but no later than 6 months after the
delay in the promulgation of a plan under date by which the State was required to sub-
this section of the Act. In addition the Act mit the plan or revision. If a completeness
provides more flexibility with respect to the determination is not made by 6 months from
dates for attainment of secondary NAAQS receipt of a submittal, the submittal shall be
than for primary standards. Rather than set- deemed complete by operation of law on the
ting specific deadlines, section 110 requires date 6 months from receipt. A determination
secondary NAAQS to be achieved within a of completeness under this paragraph means
‘‘reasonable time’’. Therefore, in some cases, that the submission is an official submission
the date for attainment of secondary stand- for purposes of § 51.103.
ards specified in the SIP under section 110 2.0. CRITERIA
may also not yet have passed. In such cases,
a new source locating in an area designated The following shall be included in plan sub-
in 40 CFR 81.300 et seq. as nonattainment (or, missions for review by EPA:
where section III of this Ruling is applicable, 2.1. Administrative Materials
a new source that would cause or contribute (a) A formal signed, stamped, and dated
to a NAAQS violation) may be exempt from letter of submittal from the Governor or his
the Conditions of section IV.A if the condi- designee, requesting EPA approval of the
tions in paragraphs VI.A through C are met. plan or revision thereof (hereafter ‘‘the
A. The new source meets the applicable plan’’). If electing to submit a paper submis-
SIP emission limitations. sion with a copy in electronic version, the
B. The new source will not interfere with submittal letter must verify that the elec-
the attainment date specified in the SIP tronic copy provided is an exact duplicate of
under section 110 of the Act. the paper submission.
C. The Administrator has determined that (b) Evidence that the State has adopted
conditions A and B of this section are satis- the plan in the State code or body of regula-
fied and such determination is published in tions; or issued the permit, order, consent
the FEDERAL REGISTER. agreement (hereafter ‘‘document’’) in final
form. That evidence shall include the date of
VII. [RESERVED] adoption or final issuance as well as the ef-
fective date of the plan, if different from the
[44 FR 3282, Jan. 16, 1979] adoption/issuance date.
(c) Evidence that the State has the nec-
EDITORIAL NOTE: For FEDERAL REGISTER ci- essary legal authority under State law to
tations affecting appendix S to part 51, see adopt and implement the plan.
the List of CFR Sections Affected, which ap- (d) A copy of the actual regulation, or doc-
pears in the Finding Aids section of the ument submitted for approval and incorpora-
printed volume and at www.govinfo.gov. tion by reference into the plan, including in-
EFFECTIVE DATE NOTE: At 76 FR 17554, Mar. dication of the changes made (such as red-
30, 2011, part 51, appendix S, paragraph II.A.5 line/strikethrough) to the existing approved
(vii) is stayed indefinitely. plan, where applicable. The submission shall
include a copy of the official State regula-
APPENDIXES T–U TO PART 51 tion/document, signed, stamped, and dated
[RESERVED] by the appropriate State official indicating
that it is fully enforceable by the State. The
APPENDIX V TO PART 51—CRITERIA FOR effective date of any regulation/document
contained in the submission shall, whenever
DETERMINING THE COMPLETENESS OF possible, be indicated in the regulation/docu-
PLAN SUBMISSIONS ment itself; otherwise the State should in-
1.0. PURPOSE clude a letter signed, stamped, and dated by
the appropriate State official indicating the
This appendix V sets forth the minimum effective date. If the regulation/document
criteria for determining whether a State im- provided by the State for approval and incor-
plementation plan submitted for consider- poration by reference into the plan is a copy
ation by EPA is an official submission for of an existing publication, the State submis-
purposes of review under § 51.103. sion should, whenever possible, include a
1.1 The EPA shall return to the submitting copy of the publication cover page and table
official any plan or revision thereof which of contents.
fails to meet the criteria set forth in this ap- (e) Evidence that the State followed all of
pendix V, and request corrective action, the procedural requirements of the State’s
598
Environmental Protection Agency Pt. 51, App. V
laws and constitution in conducting and policies, or an explanation of why such jus-
completing the adoption/issuance of the tifications are not necessary.
plan. 2.3. Exceptions
(f) Evidence that public notice was given of 2.3.1. The EPA, for the purposes of expe-
the proposed change consistent with proce- diting the review of the plan, has adopted a
dures approved by EPA, including the date of procedure referred to as ‘‘parallel proc-
publication of such notice. essing.’’ Parallel processing allows a State to
(g) Certification that public hearing(s) submit the plan prior to actual adoption by
were held in accordance with the informa- the State and provides an opportunity for
tion provided in the public notice and the the State to consider EPA comments prior
State’s laws and constitution, if applicable to submission of a final plan for final review
and consistent with the public hearing re- and action. Under these circumstances, the
quirements in 40 CFR 51.102. plan submitted will not be able to meet all of
(h) Compilation of public comments and the requirements of paragraph 2.1 (all re-
the State’s response thereto. quirements of paragraph 2.2 will apply). As a
2.2. Technical Support result, the following exceptions apply to
(a) Identification of all regulated pollut- plans submitted explicitly for parallel proc-
ants affected by the plan. essing:
(b) Identification of the locations of af-
(a) The letter required by paragraph 2.1(a)
fected sources including the EPA attain-
shall request that EPA propose approval of
ment/nonattainment designation of the loca-
tions and the status of the attainment plan the proposed plan by parallel processing.
for the affected areas(s). (b) In lieu of paragraph 2.1(b) the State
(c) Quantification of the changes in plan shall submit a schedule for final adoption or
allowable emissions from the affected issuance of the plan.
sources; estimates of changes in current ac- (c) In lieu of paragraph 2.1(d) the plan shall
tual emissions from affected sources or, include a copy of the proposed/draft regula-
where appropriate, quantification of changes tion or document, including indication of the
in actual emissions from affected sources proposed changes to be made to the existing
through calculations of the differences be- approved plan, where applicable.
tween certain baseline levels and allowable (d) The requirements of paragraphs 2.1(e)–
emissions anticipated as a result of the revi- 2.1(h) shall not apply to plans submitted for
sion. parallel processing.
(d) The State’s demonstration that the na- 2.3.2. The exceptions granted in paragraph
tional ambient air quality standards, preven- 2.3.1 shall apply only to EPA’s determination
tion of significant deterioration increments, of proposed action and all requirements of
reasonable further progress demonstration, paragraph 2.1 shall be met prior to publica-
and visibility, as applicable, are protected if tion of EPA’s final determination of plan ap-
the plan is approved and implemented. For provability.
all requests to redesignate an area to attain-
ment for a national primary ambient air 3.0. GUIDELINES
quality standard, under section 107 of the The EPA requests that the State adhere to
Act, a revision must be submitted to provide the following voluntary guidelines when
for the maintenance of the national primary making plan submissions.
ambient air quality standards for at least 10
years as required by section 175A of the Act. 3.1 All Submissions
(e) Modeling information required to sup-
port the proposed revision, including input (a) The State should identify any copy-
data, output data, models used, justification righted material in its submission, as EPA
of model selections, ambient monitoring does not place such material on the web
data used, meteorological data used, jus- when creating the E-Docket for loading into
tification for use of offsite data (where used), the Federal Document Management System
modes of models used, assumptions, and (FDMS).
other information relevant to the determina- (b) The State is advised not to include any
tion of adequacy of the modeling analysis. material considered Confidential Business
(f) Evidence, where necessary, that emis- Information (CBI) in their SIP submissions.
sion limitations are based on continuous In rare instances where such information is
emission reduction technology. necessary to justify the control require-
(g) Evidence that the plan contains emis- ments and emissions limitations established
sion limitations, work practice standards in the plan, the State should confer with its
and recordkeeping/reporting requirements, Regional Offices prior to submission and
where necessary, to ensure emission levels. must clearly identify such material as CBI in
(h) Compliance/enforcement strategies, in- the submission itself. EPA does not place
cluding how compliance will be determined such material in any paper or web-based
in practice. docket. However, where any such material is
(i) Special economic and technological jus- considered emissions data within the mean-
tifications required by any applicable EPA ing of Section 114 of the CAA, it cannot be
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Pt. 51, App. W 40 CFR Ch. I (7–1–21 Edition)
withheld as CBI and must be made publicly extensive evaluation and scientific review,
available. these models, as well as those made avail-
able by the EPA, have been considered for
3.2 Paper Plan Submissions recognition in the Guideline. The third activ-
(a) The EPA requires that the submission ity is the extensive on-going research efforts
option of submitting one paper plan must be by the EPA and others in air quality and me-
accompanied by an electronic duplicate of teorological modeling.
the entire paper submission, preferably as a c. Based primarily on these three activi-
word searchable portable document format ties, new sections and topics have been in-
(PDF), at the same time the paper copy is cluded as needed. The EPA does not make
submitted. The electronic duplicate should changes to the guidance on a predetermined
be made available through email, from a File schedule, but rather on an as-needed basis.
Transfer Protocol (FTP) site, from the State The EPA believes that revisions of the Guide-
Web site, on a Universal Serial Bus (USB) line should be timely and responsive to user
flash drive, on a compact disk, or using an- needs and should involve public participa-
other format agreed upon by the State and tion to the greatest possible extent. All fu-
Regional Office. ture changes to the guidance will be pro-
(b) If a state prefers the submission option posed and finalized in the FEDERAL REG-
of submitting three paper copies and has no ISTER. Information on the current status of
means of making an electronic copy avail- modeling guidance can always be obtained
able to EPA, EPA requests that the state from the EPA’s Regional Offices.
confer with its EPA Regional Office regard-
ing additional guidelines for submitting the TABLE OF CONTENTS
plan to EPA.
LIST OF TABLES
[55 FR 5830, Feb. 16, 1990, as amended at 56
FR 42219, Aug. 26, 1991; 56 FR 57288, Nov. 8, 1.0 Introduction
1991; 72 FR 38793, July 16, 2007; 80 FR 7340, 2.0 Overview of Model Use
Feb. 10, 2015] 2.1 Suitability of Models
2.1.1 Model Accuracy and Uncertainty
APPENDIX W TO PART 51—GUIDELINE ON 2.2 Levels of Sophistication of Air Quality
AIR QUALITY MODELS Analyses and Models
2.3 Availability of Models
PREFACE 3.0 Preferred and Alternative Air Quality
Models
a. Industry and control agencies have long
3.1 Preferred Models
expressed a need for consistency in the appli-
3.1.1 Discussion
cation of air quality models for regulatory
3.1.2 Requirements
purposes. In the 1977 Clean Air Act (CAA),
3.2 Alternative Models
Congress mandated such consistency and en-
couraged the standardization of model appli- 3.2.1 Discussion
cations. The Guideline on Air Quality Models 3.2.2 Requirements
(hereafter, Guideline) was first published in 3.3 EPA’s Model Clearinghouse
April 1978 to satisfy these requirements by 4.0 Models for Carbon Monoxide, Lead, Sul-
specifying models and providing guidance for fur Dioxide, Nitrogen Dioxide and Pri-
their use. The Guideline provides a common mary Particulate Matter
basis for estimating the air quality con- 4.1 Discussion
centrations of criteria pollutants used in as- 4.2 Requirements
sessing control strategies and developing 4.2.1 Screening Models and Techniques
emissions limits. 4.2.1.1 AERSCREEN
b. The continuing development of new air 4.2.1.2 CTSCREEN
quality models in response to regulatory re- 4.2.1.3 Screening in Complex Terrain
quirements and the expanded requirements 4.2.2 Refined Models
for models to cover even more complex prob- 4.2.2.1 AERMOD
lems have emphasized the need for periodic 4.2.2.2 CTDMPLUS
review and update of guidance on these tech- 4.2.2.3 OCD
niques. Historically, three primary activities 4.2.3 Pollutant Specific Modeling Require-
have provided direct input to revisions of the ments
Guideline. The first is a series of periodic 4.2.3.1 Models for Carbon Monoxide
EPA workshops and modeling conferences 4.2.3.2 Models for Lead
conducted for the purpose of ensuring con- 4.2.3.3 Models for Sulfur Dioxide
sistency and providing clarification in the 4.2.3.4 Models for Nitrogen Dioxide
application of models. The second activity 4.2.3.5 Models for PM2.5
was the solicitation and review of new mod- 4.2.3.6 Models for PM10
els from the technical and user community. 5.0 Models for Ozone and Secondarily
In the March 27, 1980, FEDERAL REGISTER, a Formed Particulate Matter
procedure was outlined for the submittal to 5.1 Discussion
the EPA of privately developed models. After 5.2 Recommendations
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Environmental Protection Agency Pt. 51, App. W
5.3 Recommended Models and Approaches 8.4.6.2 Recommendations
for Ozone 9.0 Regulatory Application of Models
5.3.1 Models for NAAQS Attainment Dem- 9.1 Discussion
onstrations and Multi-Source Air Qual- 9.2 Recommendations
ity Assessments 9.2.1 Modeling Protocol
5.3.2 Models for Single-Source Air Quality 9.2.2 Design Concentration and Receptor
Assessments Sites
5.4 Recommended Models and Approaches 9.2.3 NAAQS and PSD Increments Compli-
for Secondarily Formed PM2.5 ance Demonstrations for New or Modified
5.4.1 Models for NAAQS Attainment Dem- Sources
onstrations and Multi-Source Air Qual- 9.2.3.1 Considerations in Developing Emis-
ity Assessments sions Limits
5.4.2 Models for Single-Source Air Quality 9.2.4 Use of Measured Data in Lieu of
Assessments Model Estimates
6.0 Modeling for Air Quality Related Values 10.0 References
and Other Governmental Programs
6.1 Discussion Appendix A to Appendix W of Part 51—
6.2 Air Quality Related Values Summaries of Preferred Air Quality Models
6.2.1 Visibility
6.2.1.1 Models for Estimating Near-Field LIST OF TABLES
Visibility Impairment
Table No. Title
6.2.1.2 Models for Estimating Visibility
Impairment for Long-Range Transport 8–1 ................. Point Source Model Emission Inputs for SIP
6.2.2 Models for Estimating Deposition Revisions of Inert Pollutants.
Impacts 8–2 ................. Point Source Model Emission Inputs for
6.3 Modeling Guidance for Other Govern- NAAQS Compliance in PSD Demonstra-
mental Programs tions.
7.0 General Modeling Considerations
7.1 Discussion 1.0 INTRODUCTION
7.2 Recommendations
a. The Guideline provides air quality mod-
7.2.1 All sources
7.2.1.1 Dispersion Coefficients eling techniques that should be applied to
7.2.1.2 Complex Winds State Implementation Plan (SIP) submittals
7.2.1.3 Gravitational Settling and Deposi- and revisions, to New Source Review (NSR),
tion including new or modifying sources under
7.2.2 Stationary Sources Prevention of Significant Deterioration
7.2.2.1 Good Engineering Practice Stack (PSD),1 2 3 conformity analyses,4 and other
Height air quality assessments required under EPA
7.2.2.2 Plume Rise regulation. Applicable only to criteria air
7.2.3 Mobile Sources pollutants, the Guideline is intended for use
8.0 Model Input Data by the EPA Regional Offices in judging the
8.1 Modeling Domain adequacy of modeling analyses performed by
8.1.1 Discussion the EPA, by state, local, and tribal permit-
8.1.2 Requirements ting authorities, and by industry. It is appro-
8.2 Source Data priate for use by other federal government
8.2.1 Discussion agencies and by state, local, and tribal agen-
8.2.2 Requirements cies with air quality and land management
8.3 Background Concentrations responsibilities. The Guideline serves to iden-
8.3.1 Discussion tify, for all interested parties, those mod-
8.3.2 Recommendations for Isolated Sin- eling techniques and databases that the EPA
gle Sources considers acceptable. The Guideline is not in-
8.3.3 Recommendations for Multi-Source tended to be a compendium of modeling
Areas techniques. Rather, it should serve as a com-
8.4 Meteorological Input Data mon measure of acceptable technical anal-
8.4.1 Discussion ysis when supported by sound scientific judg-
8.4.2 Recommendations and Requirements ment.
8.4.3 National Weather Service Data b. Air quality measurements 5 are rou-
8.4.3.1 Discussion tinely used to characterize ambient con-
8.4.3.2 Recommendations centrations of criteria pollutants throughout
8.4.4 Site-specific data the nation but are rarely sufficient for char-
8.4.4.1 Discussion acterizing the ambient impacts of individual
8.4.4.2 Recommendations sources or demonstrating adequacy of emis-
8.4.5 Prognostic meteorological data sions limits for an existing source due to
8.4.5.1 Discussion limitations in spatial and temporal coverage
8.4.5.2 Recommendations of ambient monitoring networks. The im-
8.4.6 Treatment of Near-Calms and Calms pacts of new sources that do not yet exist,
8.4.6.1 Discussion and modifications to existing sources that
601
have yet to be implemented, can only be de- an alternative model or technique that can
termined through modeling. Thus, models be demonstrated to be more appropriate than
have become a primary analytical tool in those recommended in the Guideline. In all
most air quality assessments. Air quality cases, the model or technique applied to a
measurements can be used in a complemen- given situation should be the one that pro-
tary manner to air quality models, with due vides the most accurate representation of at-
regard for the strengths and weaknesses of mospheric transport, dispersion, and chem-
both analysis techniques, and are particu- ical transformations in the area of interest.
larly useful in assessing the accuracy of However, to ensure consistency, deviations
model estimates. from the Guideline should be carefully docu-
c. It would be advantageous to categorize mented as part of the public record and fully
the various regulatory programs and to supported by the appropriate reviewing au-
apply a designated model to each proposed thority, as discussed later.
source needing analysis under a given pro- f. From time to time, situations arise re-
gram. However, the diversity of the nation’s quiring clarification of the intent of the
topography and climate, and variations in guidance on a specific topic. Periodic work-
source configurations and operating charac- shops are held with EPA headquarters, EPA
teristics dictate against a strict modeling Regional Offices, and state, local, and tribal
‘‘cookbook.’’ There is no one model capable agency modeling representatives to ensure
of properly addressing all conceivable situa- consistency in modeling guidance and to pro-
tions even within a broad category such as mote the use of more accurate air quality
point sources. Meteorological phenomena as- models, techniques, and databases. The
sociated with threats to air quality stand- workshops serve to provide further expla-
ards are rarely amenable to a single mathe- nations of Guideline requirements to the EPA
matical treatment; thus, case-by-case anal- Regional Offices and workshop materials are
ysis and judgment are frequently required. issued with this clarifying information. In
As modeling efforts become more complex, it addition, findings from ongoing research pro-
is increasingly important that they be di- grams, new model development, or results
rected by highly competent individuals with from model evaluations and applications are
a broad range of experience and knowledge in continuously evaluated. Based on this infor-
air quality meteorology. Further, they mation, changes in the applicable guidance
should be coordinated closely with special- may be indicated and appropriate revisions
ists in emissions characteristics, air moni- to the Guideline may be considered.
toring and data processing. The judgment of g. All changes to the Guideline must follow
experienced meteorologists, atmospheric sci- rulemaking requirements since the Guideline
entists, and analysts is essential. is codified in appendix W to 40 Code of Fed-
d. The model that most accurately esti- eral Regulations (CFR) part 51. The EPA will
mates concentrations in the area of interest promulgate proposed and final rules in the
is always sought. However, it is clear from FEDERAL REGISTER to amend this appendix.
the needs expressed by the EPA Regional Of- The EPA utilizes the existing procedures
fices, by state, local, and tribal agencies, by under CAA section 320 that requires the EPA
many industries and trade associations, and to conduct a Conference on Air Quality Mod-
also by the deliberations of Congress, that eling at least every 3 years (CAA 320, 42
consistency in the selection and application U.S.C. 7620). These modeling conferences are
of models and databases should also be intended to develop standardized air quality
sought, even in case-by-case analyses. Con- modeling procedures and form the basis for
sistency ensures that air quality control associated revisions to this Guideline in sup-
agencies and the general public have a com- port of the EPA’s continuing effort to pre-
mon basis for estimating pollutant con- scribe with ‘‘reasonable particularity’’ air
centrations, assessing control strategies, and quality models and meteorological and emis-
specifying emissions limits. Such consist- sion databases suitable for modeling Na-
ency is not, however, promoted at the ex- tional Ambient Air Quality Standards
pense of model and database accuracy. The (NAAQS) 6 and PSD increments. Ample op-
Guideline provides a consistent basis for se- portunity for public comment will be pro-
lection of the most accurate models and vided for each proposed change and public
databases for use in air quality assessments. hearings scheduled.
e. Recommendations are made in the h. A wide range of topics on modeling and
Guideline concerning air quality models and databases are discussed in the Guideline. Sec-
techniques, model evaluation procedures, tion 2 gives an overview of models and their
and model input databases and related re- suitability for use in regulatory applica-
quirements. The guidance provided here tions. Section 3 provides specific guidance on
should be followed in air quality analyses the determination of preferred air quality
relative to SIPs, NSR, and in supporting models and on the selection of alternative
analyses required by the EPA and by state, models or techniques. Sections 4 through 6
local, and tribal permitting authorities. Spe- provide recommendations on modeling tech-
cific models are identified for particular ap- niques for assessing criteria pollutant im-
plications. The EPA may approve the use of pacts from single and multiple sources with
602
specific modeling requirements for selected adequate performance are available for in-
regulatory applications. Section 7 discusses creasingly complex environments. However,
general considerations common to many they are resource intensive and frequently
modeling analyses for stationary and mobile require site-specific observations and formu-
sources. Section 8 makes recommendations lations. Such complexities and the related
for data inputs to models including source, challenges for the air quality simulation
background air quality, and meteorological should be considered when selecting the
data. Section 9 summarizes how estimates most appropriate air quality model for an
and measurements of air quality are used in application.
assessing source impact and in evaluating c. Appropriate model input data should be
control strategies. available before an attempt is made to
i. Appendix W to 40 CFR part 51 contains evaluate or apply an air quality model. As-
an appendix: Appendix A. Thus, when ref- suming the data are adequate, the greater
erence is made to ‘‘appendix A’’ in this docu- the detail with which a model considers the
ment, it refers to appendix A to appendix W
spatial and temporal variations in meteoro-
to 40 CFR part 51. Appendix A contains sum-
logical conditions and permit-enforceable
maries of refined air quality models that are
emissions, the greater the ability to evaluate
‘‘preferred’’ for particular applications; both
the source impact and to distinguish the ef-
EPA models and models developed by others
fects of various control strategies.
are included.
d. There are three types of models that
2.0 OVERVIEW OF MODEL USE have historically been used in the regulatory
demonstrations applicable in the Guideline,
a. Increasing reliance has been placed on
each having strengths and weaknesses that
concentration estimates from air quality
lend themselves to particular regulatory ap-
models as the primary basis for regulatory
plications.
decisions concerning source permits and
emission control requirements. In many sit- i. Gaussian plume models use a ‘‘steady-
uations, such as review of a proposed new state’’ approximation, which assumes that
source, no practical alternative exists. Be- over the model time step, the emissions, me-
fore attempting to implement the guidance teorology and other model inputs, are con-
contained in this document, the reader stant throughout the model domain, result-
should be aware of certain general informa- ing in a resolved plume with the emissions
tion concerning air quality models and their distributed throughout the plume according
evaluation and use. Such information is pro- to a Gaussian distribution. This formulation
vided in this section. allows Gaussian models to estimate near-
field impacts of a limited number of sources
2.1 Suitability of Models at a relatively high resolution, with tem-
poral scales of an hour and spatial scales of
a. The extent to which a specific air qual-
meters. However, this formulation allows for
ity model is suitable for the assessment of
source impacts depends upon several factors. only relatively inert pollutants, with very
These include: (1) The topographic and mete- limited considerations of transformation and
orological complexities of the area; (2) the removal (e.g., deposition), and further limits
detail and accuracy of the input databases, the domain for which the model may be used.
i.e., emissions inventory, meteorological Thus, Gaussian models may not be appro-
data, and air quality data; (3) the manner in priate if model inputs are changing sharply
which complexities of atmospheric processes over the model time step or within the de-
are handled in the model; (4) the technical sired model domain, or if more advanced
competence of those undertaking such sim- considerations of chemistry are needed.
ulation modeling; and (5) the resources avail- ii. Lagrangian puff models, on the other
able to apply the model. Any of these factors hand, are non-steady-state, and assume that
can have a significant influence on the over- model input conditions are changing over
all model performance, which must be thor- the model domain and model time step.
oughly evaluated to determine the suit- Lagrangian models can also be used to deter-
ability of an air quality model to a par- mine near- and far-field impacts from a lim-
ticular application or range of applications. ited number of sources. Traditionally,
b. Air quality models are most accurate Lagrangian models have been used for rel-
and reliable in areas that have gradual tran- atively inert pollutants, with slightly more
sitions of land use and topography. Meteoro- complex considerations of removal than
logical conditions in these areas are spa- Gaussian models. Some Lagrangian models
tially uniform such that observations are treat in-plume gas and particulate chem-
broadly representative and air quality model istry. However, these models require time
projections are not further complicated by a and space varying concentration fields of
heterogeneous environment. Areas subject to oxidants and, in the case of fine particulate
major topographic influences experience me- matter (PM2.5), neutralizing agents, such as
teorological complexities that are often dif- ammonia. Reliable background fields are
ficult to measure and simulate. Models with critical for applications involving secondary
603
pollutant formation because secondary im- b. Evaluations of model accuracy should
pacts generally occur when in-plume precur- focus on the reducible uncertainty associ-
sors mix and react with species in the back- ated with physics and the formulation of the
ground atmosphere.z7 8 These oxidant and model. The accuracy of the model is nor-
neutralizing agents are not routinely meas- mally determined by an evaluation proce-
ured, but can be generated with a three-di- dure which involves the comparison of model
mensional photochemical grid model. concentration estimates with measured air
iii. Photochemical grid models are three- quality data.17 The statement of model accu-
dimensional Eulerian grid-based models that racy is based on statistical tests or perform-
treat chemical and physical processes in ance measures such as bias, error, correla-
each grid cell and use diffusion and transport tion, etc.18 19
processes to move chemical species between c. Since the 1980’s, the EPA has worked
grid cells.9 Eulerian models assume that with the modeling community to encourage
emissions are spread evenly throughout each development of standardized model evalua-
model grid cell. At coarse grid resolutions, tion methods and the development of contin-
Eulerian models have difficulty with fine ually improved methods for the character-
scale resolution of individual plumes. How- ization of model performance.16 18 20 21 22
ever, these types of models can be appro- There is general consensus on what should be
priately applied for assessment of near-field considered in the evaluation of air quality
and regional scale reactive pollutant im- models; namely, quality assurance planning,
pacts from specific sources 7 10 11 12 or all documentation and scrutiny should be con-
sources.13 14 15 Photochemical grid models sistent with the intended use and should in-
simulate a more realistic environment for clude:
chemical transformation,7 12 but simulations
• Scientific peer review;
can be more resource intensive than
Lagrangian or Gaussian plume models. • Supportive analyses (diagnostic evalua-
e. Competent and experienced meteorolo- tions, code verification, sensitivity anal-
gists, atmospheric scientists, and analysts yses);
are an essential prerequisite to the success- • Diagnostic and performance evaluations
ful application of air quality models. The with data obtained in trial locations; and
need for such specialists is critical when so- • Statistical performance evaluations in
phisticated models are used or the area has the circumstances of the intended
complicated meteorological or topographic applications.
features. It is important to note that a Performance evaluations and diagnostic
model applied improperly or with inappro- evaluations assess different qualities of how
priate data can lead to serious misjudgments well a model is performing, and both are
regarding the source impact or the effective- needed to establish credibility within the cli-
ness of a control strategy. ent and scientific community.
f. The resource demands generated by use
d. Performance evaluations allow the EPA
of air quality models vary widely depending
and model users to determine the relative
on the specific application. The resources re-
performance of a model in comparison with
quired may be important factors in the selec-
alternative modeling systems. Diagnostic
tion and use of a model or technique for a
evaluations allow determination of a model
specific analysis. These resources depend on
capability to simulate individual processes
the nature of the model and its complexity,
that affect the results, and usually employ
the detail of the databases, the difficulty of
the application, the amount and level of ex- smaller spatial/temporal scale data sets (e.g.,
pertise required, and the costs of manpower field studies). Diagnostic evaluations enable
and computational facilities. the EPA and model users to build confidence
that model predictions are accurate for the
2.1.1 Model Accuracy and Uncertainty right reasons. However, the objective com-
parison of modeled concentrations with ob-
a. The formulation and application of air served field data provides only a partial
quality models are accompanied by several means for assessing model performance. Due
sources of uncertainty. ‘‘Irreducible’’ uncer- to the limited supply of evaluation datasets,
tainty stems from the ‘‘unknown’’ condi- there are practical limits in assessing model
tions, which may not be explicitly accounted
performance. For this reason, the conclu-
for in the model (e.g., the turbulent velocity
sions reached in the science peer reviews and
field). Thus, there are likely to be deviations
the supportive analyses have particular rel-
from the observed concentrations in indi-
evance in deciding whether a model will be
vidual events due to variations in the un-
useful for its intended purposes.
known conditions. ‘‘Reducible’’ uncertain-
ties 16 are caused by: (1) Uncertainties in the 2.2 Levels of Sophistication of Air Quality
‘‘known’’ input conditions (e.g., emission Analyses and Models
characteristics and meteorological data); (2)
errors in the measured concentrations; and a. It is desirable to begin an air quality
(3) inadequate model physics and formula- analysis by using simplified and conserv-
tion. ative methods followed, as appropriate, by
604
more complex and refined methods. The pur- vironmental conditions that reflect under-
pose of this approach is to streamline the lying atmospheric science of a refined model
process and sufficiently address regulatory but reduce the computational resources of
requirements by eliminating the need of running a complex, numerical air quality
more detailed modeling when it is not nec- model such as a photochemical grid model.
essary in a specific regulatory application. In such situations, an attempt should be
For example, in the context of a PSD permit made to acquire or improve the necessary
application, a simplified and conservative databases and to develop appropriate analyt-
analysis may be sufficient where it shows ical techniques, but the screening technique
the proposed construction clearly will not or reduced-form model may be sufficient in
cause or contribute to ambient concentra- conducting regulatory modeling applications
tions in excess of either the NAAQS or the when applied in consultation with the EPA
PSD increments.2 3 Regional Office.
b. There are two general levels of sophis- e. Consistent with the general principle de-
tication of air quality models. The first level scribed in paragraph 2.2(a), the EPA may es-
consists of screening models that provide tablish a demonstration tool or method as a
conservative modeled estimates of the air sufficient means for a user or applicant to
quality impact of a specific source or source make a demonstration required by regula-
category based on simplified assumptions of tion, either by itself or as part of a modeling
the model inputs (e.g., preset, worst-case me- demonstration. To be used for such regu-
teorological conditions). In the case of a PSD latory purposes, such a tool or method must
assessment, if a screening model indicates be reflected in a codified regulation or have
that the increase in concentration attrib- a well-documented technical basis and rea-
utable to the source could cause or con- soning that is contained or incorporated in
tribute to a violation of any NAAQS or PSD the record of the regulatory decision in
increment, then the second level of more so- which it is applied.
phisticated models should be applied unless
appropriate controls or operational restric- 2.3 Availability of Models
tions are implemented based on the screen-
a. For most of the screening and refined
ing modeling.
c. The second level consists of refined mod- models discussed in the Guideline, codes, as-
els that provide more detailed treatment of sociated documentation and other useful in-
physical and chemical atmospheric proc- formation are publicly available for
esses, require more detailed and precise download from the EPA’s Support Center for
input data, and provide spatially and tem- Regulatory Atmospheric Modeling (SCRAM)
porally resolved concentration estimates. As Web site at https://www.epa.gov/scram. This is
a result, they provide a more sophisticated a Web site with which air quality modelers
and, at least theoretically, a more accurate should become familiar and regularly visit
estimate of source impact and the effective- for important model updates and additional
ness of control strategies. clarifications and revisions to modeling
d. There are situations where a screening guidance documents that are applicable to
model or a refined model is not available EPA programs and regulations. Codes and
such that screening and refined modeling are documentation may also be available from
not viable options to determine source-spe- the National Technical Information Service
cific air quality impacts. In such situations, (NTIS), http://www.ntis.gov, and, when avail-
a screening technique or reduced-form model able, is referenced with the appropriate NTIS
may be viable options for estimating source accession number.
impacts.
3.0 PREFERRED AND ALTERNATIVE AIR
i. Screening techniques are differentiated
QUALITY MODELS
from a screening model in that screening
techniques are approaches that make sim- a. This section specifies the approach to be
plified and conservative assumptions about taken in determining preferred models for
the physical and chemical atmospheric proc- use in regulatory air quality programs. The
esses important to determining source im- status of models developed by the EPA, as
pacts, while screening models make assump- well as those submitted to the EPA for re-
tions about conservative inputs to a specific view and possible inclusion in this Guideline,
model. The complexity of screening tech- is discussed in this section. The section also
niques ranges from simplified assumptions of provides the criteria and process for obtain-
chemistry applied to refined or screening ing EPA approval for use of alternative mod-
model output to sophisticated approxima- els for individual cases in situations where
tions of the chemistry applied within a re- the preferred models are not applicable or
fined model. available. Additional sources of relevant
ii. Reduced-form models are modeling information are: the EPA’s Model
computationally efficient simulation tools Clearinghouse 23 (section 3.3); EPA modeling
for characterizing the pollutant response to conferences; periodic Regional, State, and
specific types of emission reductions for a Local Modelers’ Workshops; and the EPA’s
particular geographic area or background en- SCRAM Web site (section 2.3).
605
b. When approval is required for a specific and required by the EPA for particular appli-
modeling technique or analytical procedure cations have undergone the necessary peer
in this Guideline, we refer to the ‘‘appropriate scientific reviews 24 25 and model performance
reviewing authority.’’ Many states and some evaluation exercises 26 27 that include statis-
local agencies administer NSR permitting tical measures of model performance in com-
under programs approved into SIPs. In some parison with measured air quality data as
EPA regions, federal authority to administer described in section 2.1.1.
NSR permitting and related activities has b. An American Society for Testing and
been delegated to state or local agencies. In Materials (ASTM) reference 28 provides a gen-
these cases, such agencies ‘‘stand in the eral philosophy for developing and imple-
shoes’’ of the respective EPA Region. There- menting advanced statistical evaluations of
fore, depending on the circumstances, the ap- atmospheric dispersion models, and provides
propriate reviewing authority may be an an example statistical technique to illus-
EPA Regional Office, a state, local, or tribal trate the application of this philosophy. Con-
agency, or perhaps the Federal Land Man- sistent with this approach, the EPA has de-
ager (FLM). In some cases, the Guideline re- termined and applied a specific evaluation
quires review and approval of the use of an protocol that provides a statistical tech-
alternative model by the EPA Regional Of- nique for evaluating model performance for
fice (sometimes stated as ‘‘Regional Adminis- predicting peak concentration values, as
trator’’). For all approvals of alternative might be observed at individual monitoring
models or techniques, the EPA Regional Of- locations.29
fice will coordinate and shall seek concur- c. When a single model is found to perform
rence with the EPA’s Model Clearinghouse. better than others, it is recommended for ap-
If there is any question as to the appropriate plication as a preferred model and listed in
reviewing authority, you should contact the appendix A. If no one model is found to clear-
EPA Regional Office modeling contact ly perform better through the evaluation ex-
(https://www3.epa.gov/ttn/scram/guidancel ercise, then the preferred model listed in ap-
contlregions.htm), whose jurisdiction gen- pendix A may be selected on the basis of
erally includes the physical location of the other factors such as past use, public famili-
source in question and its expected impacts. arity, resource requirements, and avail-
c. In all regulatory analyses, early discus- ability. Accordingly, the models listed in ap-
sions among the EPA Regional Office staff, pendix A meet these conditions:
state, local, and tribal agency staff, industry i. The model must be written in a common
representatives, and where appropriate, the programming language, and the execut-
FLM, are invaluable and are strongly enable(s) must run on a common computer
couraged. Prior to the actual analyses, platform.
agreement on the databases to be used, mod- ii. The model must be documented in a
eling techniques to be applied, and the over- user’s guide or model formulation report
all technical approach helps avoid misunder- which identifies the mathematics of the
standings concerning the final results and model, data requirements and program oper-
may reduce the later need for additional ating characteristics at a level of detail com-
analyses. The preparation of a written mod- parable to that available for other rec-
eling protocol that is vetted with the appro- ommended models in appendix A.
priate reviewing authority helps to keep iii. The model must be accompanied by a
misunderstandings and resource expendi- complete test dataset including input pa-
tures at a minimum. rameters and output results. The test data
d. The identification of preferred models in must be packaged with the model in com-
this Guideline should not be construed as a puter-readable form.
determination that the preferred models iv. The model must be useful to typical
identified here are to be permanently used to users, e.g., state air agencies, for specific air
the exclusion of all others or that they are quality control problems. Such users should
the only models available for relating emis- be able to operate the computer program(s)
sions to air quality. The model that most ac- from available documentation.
curately estimates concentrations in the v. The model documentation must include
area of interest is always sought. However, a robust comparison with air quality data
designation of specific preferred models is (and/or tracer measurements) or with other
needed to promote consistency in model se- well-established analytical techniques.
lection and application. vi. The developer must be willing to make
the model and source code available to users
3.1 Preferred Models at reasonable cost or make them available
for public access through the Internet or Na-
3.1.1 Discussion
tional Technical Information Service. The
a. The EPA has developed some models model and its code cannot be proprietary.
suitable for regulatory application, while d. The EPA’s process of establishing a pre-
other models have been submitted by private ferred model includes a determination of
developers for possible inclusion in the technical merit, in accordance with the
Guideline. Refined models that are preferred above six items, including the practicality of
606
the model for use in ongoing regulatory pro- tiered approach for making a demonstration
grams. Each model will also be subjected to required under PSD or another CAA pro-
a performance evaluation for an appropriate gram. The initial tier or tiers may involve
database and to a peer scientific review. use of demonstration tools, screening mod-
Models for wide use (not just an isolated els, screening techniques, or reduced-form
case) that are found to perform better will be models; while the last tier may involve the
proposed for inclusion as preferred models in use of demonstration tools, refined models or
future Guideline revisions.
techniques, or alternative models approved
e. No further evaluation of a preferred
under section 3.2.
model is required for a particular application
if the EPA requirements for regulatory use 3.2 Alternative Models
specified for the model in the Guideline are
followed. Alternative models to those listed 3.2.1 Discussion
in appendix A should generally be compared
with measured air quality data when they a. Selection of the best model or tech-
are used for regulatory applications con- niques for each individual air quality anal-
sistent with recommendations in section 3.2. ysis is always encouraged, but the selection
should be done in a consistent manner. A
3.1.2 REQUIREMENTS simple listing of models in this Guideline
a. Appendix A identifies refined models cannot alone achieve that consistency nor
that are preferred for use in regulatory ap- can it necessarily provide the best model for
plications. If a model is required for a par- all possible situations. As discussed in sec-
ticular application, the user must select a tion 3.1.1, the EPA has determined and ap-
model from appendix A or follow procedures plied a specific evaluation protocol that pro-
in section 3.2.2 for use of an alternative vides a statistical technique for evaluating
model or technique. Preferred models may be model performance for predicting peak con-
used without a formal demonstration of ap- centration values, as might be observed at
plicability as long as they are used as indi-
individual monitoring locations.29 This pro-
cated in each model summary in appendix A.
tocol is available to assist in developing a
Further recommendations for the applica-
tion of preferred models to specific source consistent approach when justifying the use
applications are found in subsequent sections of other-than-preferred models recommended
of the Guideline. in the Guideline (i.e., alternative models).
b. If changes are made to a preferred model The procedures in this protocol provide a
without affecting the modeled concentra- general framework for objective decision-
tions, the preferred status of the model is making on the acceptability of an alter-
unchanged. Examples of modifications that native model for a given regulatory applica-
do not affect concentrations are those made tion. These objective procedures may be used
to enable use of a different computer plat- for conducting both the technical evaluation
form or those that only affect the format or of the model and the field test or perform-
averaging time of the model results. The in- ance evaluation.
tegration of a graphical user interface (GUI) b. This subsection discusses the use of al-
to facilitate setting up the model inputs and/ ternate models and defines three situations
or analyzing the model results without oth-
when alternative models may be used. This
erwise altering the preferred model code is
subsection also provides a procedure for im-
another example of a modification that does
not affect concentrations. However, when plementing 40 CFR 51.166(l)(2) in PSD permit-
any changes are made, the Regional Admin- ting. This provision requires written ap-
istrator must require a test case example to proval of the Administrator for any modi-
demonstrate that the modeled concentra- fication or substitution of an applicable
tions are not affected. model. An applicable model for purposes of
c. A preferred model must be operated with 40 CFR 51.166(l) is a preferred model in ap-
the options listed in appendix A for its in- pendix A to the Guideline. Approval to use an
tended regulatory application. If the regu- alternative model under section 3.2 of the
latory options are not applied, the model is Guideline qualifies as approval for the modi-
no longer ‘‘preferred.’’ Any other modifica- fication or substitution of a model under 40
tion to a preferred model that would result CFR 51.166(l)(2). The Regional Administra-
in a change in the concentration estimates tors have delegated authority to issue such
likewise alters its status so that it is no approvals under section 3.2 of the Guideline,
longer a preferred model. Use of the modified provided that such approval is issued after
model must then be justified as an alter-
consultation with the EPA’s Model Clearing-
native model on a case-by-case basis to the
appropriate reviewing authority and ap- house and formally documented in a concur-
proved by the Regional Administrator. rence memorandum from the EPA’s Model
d. Where the EPA has not identified a pre- Clearinghouse which demonstrates that the
ferred model for a particular pollutant or sit- requirements within section 3.2 for use of an
uation, the EPA may establish a multi- alternative model have been met.
607
3.2.2 Requirements to both control agencies and regulated indus-
try is an important element in such an eval-
a. Determination of acceptability of an al-
uation.
ternative model is an EPA Regional Office
e. Finally, for condition (3) in paragraph
responsibility in consultation with the
(b) of this subsection, an alternative model
EPA’s Model Clearinghouse as discussed in
or technique may be approved for use pro-
paragraphs 3.0(b) and 3.2.1(b). Where the Re-
vided that:
gional Administrator finds that an alter-
i. The model or technique has received a
native model is more appropriate than a pre-
scientific peer review;
ferred model, that model may be used sub-
ii. The model or technique can be dem-
ject to the approval of the EPA Regional Of-
onstrated to be applicable to the problem on
fice based on the requirements of this sub-
a theoretical basis;
section. This finding will normally result
iii. The databases which are necessary to
from a determination that: (1) A preferred
perform the analysis are available and ade-
air quality model is not appropriate for the
quate;
particular application; or (2) a more appro-
iv. Appropriate performance evaluations of
priate model or technique is available and
the model or technique have shown that the
applicable.
model or technique is not inappropriately bi-
b. An alternative model shall be evaluated
ased for regulatory application a; and
from both a theoretical and a performance
v. A protocol on methods and procedures to
perspective before it is selected for use.
be followed has been established.
There are three separate conditions under
f. To formally document that the require-
which such a model may be approved for use:
ments of section 3.2 for use of an alternative
1. If a demonstration can be made that the
model are satisfied for a particular applica-
model produces concentration estimates
tion or range of applications, a memorandum
equivalent to the estimates obtained using a
will be prepared by the EPA’s Model Clear-
preferred model;
inghouse through a consultative process
2. If a statistical performance evaluation
with the EPA Regional Office.
has been conducted using measured air qual-
ity data and the results of that evaluation 3.3 EPA’s Model Clearinghouse
indicate the alternative model performs bet-
ter for the given application than a com- a. The Regional Administrator has the au-
parable model in appendix A; or thority to select models that are appropriate
3. If there is no preferred model. for use in a given situation. However, there
is a need for assistance and guidance in the
Any one of these three separate conditions
selection process so that fairness, consist-
may justify use of an alternative model.
ency, and transparency in modeling deci-
Some known alternative models that are ap-
sions are fostered among the EPA Regional
plicable for selected situations are listed on
Offices and the state, local, and tribal agen-
the EPA’s SCRAM Web site (section 2.3).
cies. To satisfy that need, the EPA estab-
However, inclusion there does not confer any
lished the Model Clearinghouse 23 to serve a
unique status relative to other alternative
central role of coordination and collabora-
models that are being or will be developed in
tion between EPA headquarters and the EPA
the future.
Regional Offices. Additionally, the EPA
c. Equivalency, condition (1) in paragraph
holds periodic workshops with EPA Head-
(b) of this subsection, is established by dem-
quarters, EPA Regional Offices, and state,
onstrating that the appropriate regulatory
local, and tribal agency modeling represent-
metric(s) are within ± 2 percent of the esti-
atives.
mates obtained from the preferred model.
b. The appropriate EPA Regional Office
The option to show equivalency is intended
should always be consulted for information
as a simple demonstration of acceptability
and guidance concerning modeling methods
for an alternative model that is nearly iden-
and interpretations of modeling guidance,
tical (or contains options that can make it
and to ensure that the air quality model user
identical) to a preferred model that it can be
has available the latest most up-to-date pol-
treated for practical purposes as the pre-
icy and procedures. As appropriate, the EPA
ferred model. However, notwithstanding this
Regional Office may also request assistance
demonstration, models that are not equiva-
from the EPA’s Model Clearinghouse on
lent may be used when one of the two other
other applications of models, analytical
conditions described in paragraphs (d) and
(e) of this subsection are satisfied.
d. For condition (2) in paragraph (b) of this a For PSD and other applications that use
subsection, established statistical perform- the model results in an absolute sense, the
ance evaluation procedures and tech- model should not be biased toward underesti-
niques 28 29 for determining the acceptability mates. Alternatively, for ozone and PM2.5
of a model for an individual case based on su- SIP attainment demonstrations and other
perior performance should be followed, as ap- applications that use the model results in a
propriate. Preparation and implementation relative sense, the model should not be bi-
of an evaluation protocol that is acceptable ased toward overestimates.
608
techniques, or databases or to clarify inter- ducible’’ uncertainty associated with
pretation of the Guideline or related mod- Gaussian plume models may be responsible
eling guidance. for variation in concentrations of as much as
c. The EPA Regional Office will coordinate ± 50 percent.30 ‘‘Reducible’’ uncertainties 16
with the EPA’s Model Clearinghouse after an can be on a similar scale. For example,
initial evaluation and decision has been de- Pasquill 31 estimates that, apart from data
veloped concerning the application of an al- input errors, maximum ground-level con-
ternative model. The acceptability and for- centrations at a given hour for a point
mal approval process for an alternative source in flat terrain could be in error by 50
model is described in section 3.2. percent due to these uncertainties. Errors of
5 to 10 degrees in the measured wind direc-
4.0 MODELS FOR CARBON MONOXIDE, LEAD, tion can result in concentration errors of 20
SULFUR DIOXIDE, NITROGEN DIOXIDE AND to 70 percent for a particular time and loca-
PRIMARY PARTICULATE MATTER tion, depending on stability and station loca-
4.1 Discussion tion. Such uncertainties do not indicate that
an estimated concentration does not occur,
a. This section identifies modeling ap- only that the precise time and locations are
proaches generally used in the air quality in doubt. Composite errors in highest esti-
impact analysis of sources that emit the cri- mated concentrations of 10 to 40 percent are
teria pollutants carbon monoxide (CO), lead, found to be typical.32 33 However, estimates
sulfur dioxide (SO2), nitrogen dioxide (NO2), of concentrations paired in time and space
and primary particulates (PM2.5 and PM10). with observed concentrations are less cer-
b. The guidance in this section is specific tain.
to the application of the Gaussian plume f. Model evaluations and inter-comparisons
models identified in appendix A. Gaussian should take these aspects of uncertainty into
plume models assume that emissions and account. For a regulatory application of a
meteorology are in a steady-state, which is model, the emphasis of model evaluations is
typically based on an hourly time step. This generally placed on the highest modeled im-
approach results in a plume that has an pacts. Thus, the Cox-Tikvart model evalua-
hourly-averaged distribution of emission
tion approach, which compares the highest
mass according to a Gaussian curve through
modeled impacts on several timescales, is
the plume. Though Gaussian steady-state
recommended for comparisons of models and
models conserve the mass of the primary pol-
measurements and model inter-comparisons.
lutant throughout the plume, they can still
The approach includes bootstrap techniques
take into account a limited consideration of
to determine the significance of various
first-order removal processes (e.g., wet and
modeled predictions and increases the
dry deposition) and limited chemical conver-
robustness of such comparisons when the
sion (e.g., OH oxidation).
c. Due to the steady-state assumption, number of available measurements are lim-
Gaussian plume models are generally consid- ited.34 35 Because of the uncertainty in paired
ered applicable to distances less than 50 km, modeled and observed concentrations, any
beyond which, modeled predictions of plume attempts at calibration of models based on
impact are likely conservative. The loca- these comparisons is of questionable benefit
tions of these impacts are expected to be un- and shall not be done.
reliable due to changes in meteorology that 4.2 Requirements
are likely to occur during the travel time.
d. The applicability of Gaussian plume a. For NAAQS compliance demonstrations
models may vary depending on the topog- under PSD, use of the screening and pre-
raphy of the modeling domain, i.e., simple or ferred models for the pollutants listed in this
complex. Simple terrain is considered to be subsection shall be limited to the near-field
an area where terrain features are all lower at a nominal distance of 50 km or less. Near-
in elevation than the top of the stack(s) of field application is consistent with capabili-
the source(s) in question. Complex terrain is ties of Gaussian plume models and, based on
defined as terrain exceeding the height of the the EPA’s assessment, is sufficient to ad-
stack(s) being modeled. dress whether a source will cause or con-
e. Gaussian models determine source im- tribute to ambient concentrations in excess
pacts at discrete locations (receptors) for of a NAAQS. In most cases, maximum source
each meteorological and emission scenario, impacts of inert pollutants will occur within
and generally attempt to estimate con- the first 10 to 20 km from the source. There-
centrations at specific sites that represent fore, the EPA does not consider a long-range
an ensemble average of numerous repetitions transport assessment beyond 50 km nec-
of the same ‘‘event.’’ Uncertainties in model essary for these pollutants if a near-field
estimates are driven by this formulation, NAAQS compliance demonstration is re-
and as noted in section 2.1.1, evaluations of quired.36
model accuracy should focus on the reduc- b. For assessment of PSD increments with-
ible uncertainty associated with physics and in the near-field distance of 50 km or less,
the formulation of the model. The ‘‘irre- use of the screening and preferred models for
609
the pollutants listed in this subsection shall (AMS)/EPA Regulatory Model) and
be limited to the same screening and pre- CTDMPLUS (Complex Terrain Dispersion
ferred models approved for NAAQS compli- Model Plus Algorithms for Unstable Situa-
ance demonstrations. tions), respectively. AERSCREEN is the rec-
c. To determine if a compliance dem- ommended screening model for most applica-
onstration for NAAQS and/or PSD incre- tions in all types of terrain and for applica-
ments may be necessary beyond 50 km (i.e., tions involving building downwash. For
long-range transport assessment), the fol- those applications in complex terrain where
lowing screening approach shall be used to the application involves a well-defined hill
determine if a significant ambient impact or ridge, CTSCREEN 39 can be used.
will occur with particular focus on Class I c. Although AERSCREEN and CTSCREEN
areas and/or the applicable receptors that are designed to address a single-source sce-
may be threatened at such distances. nario, there are approaches that can be used
i. Based on application in the near-field of on a case-by-case basis to address multi-
the appropriate screening and/or preferred source situations using screening meteor-
model, determine the significance of the am- ology or other conservative model assump-
bient impacts at or about 50 km from the tions. However, the appropriate reviewing
new or modifying source. If a near-field as- authority (paragraph 3.0(b)) shall be con-
sessment is not available or this initial anal- sulted, and concurrence obtained, on the pro-
ysis indicates there may be significant ambi- tocol for modeling multiple sources with
ent impacts at that distance, then further AERSCREEN or CTSCREEN to ensure that
assessment is necessary. the worst case is identified and assessed.
ii. For assessment of the significance of d. As discussed in section 4.2.3.4, there are
ambient impacts for NAAQS and/or PSD in- also screening techniques built into
crements, there is not a preferred model or AERMOD that use simplified or limited
screening approach for distances beyond 50 chemistry assumptions for determining the
km. Thus, the appropriate reviewing author- partitioning of NO and NO2 for NO2 mod-
ity (paragraph 3.0(b)) and the EPA Regional eling. These screening techniques are part of
Office shall be consulted in determining the the EPA’s preferred modeling approach for
appropriate and agreed upon screening tech- NO2 and do not need to be approved as an al-
nique to conduct the second level assess- ternative model. However, as with other
ment. Typically, a Lagrangian model is most screening models and techniques, their usage
appropriate to use for these second level as- shall occur in agreement with the appro-
sessments, but applicants shall reach agree- priate reviewing authority (paragraph 3.0(b)).
ment on the specific model and modeling pa- e. As discussed in section 4.2(c)(ii), there
rameters on a case-by-case basis in consulta- are screening techniques needed for long-
tion with the appropriate reviewing author- range transport assessments that will typi-
ity (paragraph 3.0(b)) and EPA Regional Of- cally involve the use of a Lagrangian model.
fice. When Lagrangian models are used in Based on the long-standing practice and doc-
this manner, they shall not include plume- umented capabilities of these models for
depleting processes, such that model esti- long-range transport assessments, the use of
mates are considered conservative, as is gen- a Lagrangian model as a screening technique
erally appropriate for screening assessments. for this purpose does not need to be approved
d. In those situations where a cumulative as an alternative model. However, their
impact analysis for NAAQS and/or PSD in- usage shall occur in consultation with the
crements analysis beyond 50 km is nec- appropriate reviewing authority (paragraph
essary, the selection and use of an alter- 3.0(b)) and EPA Regional Office.
native model shall occur in agreement with f. All screening models and techniques
the appropriate reviewing authority (para- shall be configured to appropriately address
graph 3.0(b)) and approval by the EPA Re- the site and problem at hand. Close atten-
gional Office based on the requirements of tion must be paid to whether the area should
paragraph 3.2.2(e). be classified urban or rural in accordance
with section 7.2.1.1. The climatology of the
4.2.1 Screening Models and Techniques area must be studied to help define the
a. Where a preliminary or conservative es- worst-case meteorological conditions. Agree-
timate is desired, point source screening ment shall be reached between the model
techniques are an acceptable approach to air user and the appropriate reviewing authority
quality analyses. (paragraph 3.0(b)) on the choice of the
b. As discussed in paragraph 2.2(a), screen- screening model or technique for each anal-
ing models or techniques are designed to pro- ysis, on the input data and model settings,
vide a conservative estimate of concentra- and the appropriate metric for satisfying
tions. The screening models used in most ap- regulatory requirements.
plications are the screening versions of the
4.2.1.1 AERSCREEN
preferred models for refined applications.
The two screening models, AERSCREEN 37 38 a. Released in 2011, AERSCREEN is the
and CTSCREEN, are screening versions of EPA’s recommended screening model for
AERMOD (American Meteorological Society simple and complex terrain for single
610
sources including point sources, area designed to execute a fixed matrix of mete-
sources, horizontal stacks, capped stacks, orological values for wind speed (u), standard
and flares. AERSCREEN runs AERMOD in a deviation of horizontal and vertical wind
screening mode and consists of two main speeds (sv, sw), vertical potential tempera-
components: 1) the MAKEMET program ture gradient (dq/dz), friction velocity (u*),
which generates a site-specific matrix of me- Monin-Obukhov length (L), mixing height (zi)
teorological conditions for input to the as a function of terrain height, and wind di-
AERMOD model; and 2) the AERSCREEN rections for both neutral/stable conditions
command-prompt interface. and unstable convective conditions. The
b. The MAKEMET program generates a maximum concentration output from
matrix of meteorological conditions, in the CTSCREEN represents a worst-case 1-hour
form of AERMOD-ready surface and profile concentration. Time-scaling factors of 0.7 for
files, based on user-specified surface charac- 3-hour, 0.15 for 24-hour and 0.03 for annual
teristics, ambient temperatures, minimum concentration averages are applied inter-
wind speed, and anemometer height. The me- nally by CTSCREEN to the highest 1-hour
teorological matrix is generated based on concentration calculated by the model.
looping through a range of wind speeds,
cloud covers, ambient temperatures, solar 4.2.1.3 Screening in Complex Terrain
elevation angles, and convective velocity a. For applications utilizing AERSCREEN,
scales (w*, for convective conditions only) AERSCREEN automatically generates a
based on user-specified surface characteris- polar-grid receptor network with spacing de-
tics for surface roughness (Zo), Bowen ratio termined by the maximum distance to
(Bo), and albedo (r). For unstable cases, the model. If the application warrants a dif-
convective mixing height (Zic) is calculated ferent receptor network than that generated
based on w*, and the mechanical mixing by AERSCREEN, it may be necessary to run
height (Zim) is calculated for unstable and AERMOD in screening mode with a user-de-
stable conditions based on the friction veloc- fined network. For CTSCREEN applications
ity, u*. or AERMOD in screening mode outside of
c. For applications involving simple or AERSCREEN, placement of receptors re-
complex terrain, AERSCREEN interfaces quires very careful attention when modeling
with AERMAP. AERSCREEN also interfaces in complex terrain. Often the highest con-
with BPIPPRM to provide the necessary centrations are predicted to occur under
building parameters for applications involv- very stable conditions, when the plume is
ing building downwash using the Plume Rise near or impinges on the terrain. Under such
Model Enhancements (PRIME) downwash al- conditions, the plume may be quite narrow
gorithm. AERSCREEN generates inputs to in the vertical, so that even relatively small
AERMOD via MAKEMET, AERMAP, and changes in a receptor’s location may sub-
BPIPPRM and invokes AERMOD in a screen- stantially affect the predicted concentra-
ing mode. The screening mode of AERMOD tion. Receptors within about a kilometer of
forces the AERMOD model calculations to the source may be even more sensitive to lo-
represent values for the plume centerline, re- cation. Thus, a dense array of receptors may
gardless of the source-receptor-wind direc- be required in some cases.
tion orientation. The maximum concentra- b. For applications involving
tion output from AERSCREEN represents a AERSCREEN, AERSCREEN interfaces with
worst-case 1-hour concentration. Averaging- AERMAP to generate the receptor ele-
time scaling factors of 1.0 for 3-hour, 0.9 for vations. For applications involving
8-hour, 0.60 for 24-hour, and 0.10 for annual CTSCREEN, digitized contour data must be
concentration averages are applied inter- 42
preprocessed to provide hill shape param-
nally by AERSCREEN to the highest 1-hour eters in suitable input format. The user then
concentration calculated by the model for supplies receptor locations either through an
non-area type sources. For area type source interactive program that is part of the model
concentrations for averaging times greater or directly, by using a text editor; using both
than one hour, the concentrations are equal methods to select receptor locations will
to the 1-hour estimates.37 40 generally be necessary to assure that the
maximum concentrations are estimated by
4.2.1.2 CTSCREEN
either model. In cases where a terrain fea-
a. CTSCREEN 39 41 can be used to obtain ture may ‘‘appear to the plume’’ as smaller,
conservative, yet realistic, worst-case esti- multiple hills, it may be necessary to model
mates for receptors located on terrain above the terrain both as a single feature and as
stack height. CTSCREEN accounts for the multiple hills to determine design con-
three-dimensional nature of plume and ter- centrations.
rain interaction and requires detailed terrain c. Other screening techniques may be ac-
data representative of the modeling domain. ceptable for complex terrain cases where es-
The terrain data must be digitized in the tablished procedures 43 are used. The user is
same manner as for CTDMPLUS and a ter- encouraged to confer with the appropriate
rain processor is available.42 CTSCREEN is reviewing authority (paragraph 3.0(b)) if any
611
unforeseen problems are encountered, e.g., with observations. Consequently, while depo-
applicability, meteorological data, receptor sition treatment is available in AERMOD,
siting, or terrain contour processing issues. the approach taken for any purpose shall be
coordinated with the appropriate reviewing
4.2.2 Refined Models authority (paragraph 3.0(b)).
a. A brief description of each preferred
model for refined applications is found in ap- 4.2.2.2 CTDMPLUS
pendix A. Also listed in that appendix are a. If the modeling application involves an
availability, the model input requirements, elevated point source with a well-defined hill
the standard options that shall be selected or ridge and a detailed dispersion analysis of
when running the program, and output op- the spatial pattern of plume impacts is of in-
tions. terest, CTDMPLUS is available. CTDMPLUS
provides greater resolution of concentrations
4.2.2.1 AERMOD
about the contour of the hill feature than
a. For a wide range of regulatory applica- does AERMOD through a different plume-
tions in all types of terrain, and for aero- terrain interaction algorithm.
dynamic building downwash, the required
model is AERMOD.44 45 The AERMOD regu- 4.2.2.3 OCD
latory modeling system consists of the a. If the modeling application involves de-
AERMOD dispersion model, the AERMET termining the impact of offshore emissions
meteorological processor, and the AERMAP from point, area, or line sources on the air
terrain processor. AERMOD is a steady-state quality of coastal regions, the recommended
Gaussian plume model applicable to directly model is the OCD (Offshore and Coastal Dis-
emitted air pollutants that employs best persion) Model. OCD is a straight-line
state-of-practice parameterizations for char- Gaussian model that incorporates overwater
acterizing the meteorological influences and plume transport and dispersion as well as
dispersion. Differentiation of simple versus changes that occur as the plume crosses the
complex terrain is unnecessary with shoreline. OCD is also applicable for situa-
AERMOD. In complex terrain, AERMOD em- tions that involve platform building
ploys the well-known dividing-streamline downwash.
concept in a simplified simulation of the ef-
fects of plume-terrain interactions. 4.2.3 Pollutant Specific Modeling
b. The AERMOD modeling system has been Requirements
extensively evaluated across a wide range of
scenarios based on numerous field studies, 4.2.3.1 Models for Carbon Monoxide
including tall stacks in flat and complex ter-
a. Models for assessing the impact of CO
rain settings, sources subject to building
emissions are needed to meet NSR require-
downwash influences, and low-level non-
ments to address compliance with the CO
buoyant sources.27 These evaluations in-
NAAQS and to determine localized impacts
cluded several long-term field studies associ-
from transportations projects. Examples in-
ated with operating plants as well as several
clude evaluating effects of point sources,
intensive tracer studies. Based on these eval-
congested roadway intersections and high-
uations, AERMOD has shown consistently
ways, as well as the cumulative effect of nu-
good performance, with ‘‘errors’’ in predicted
merous sources of CO in an urban area.
versus observed peak concentrations, based
on the Robust Highest Concentration (RHC) b. The general modeling recommendations
metric, consistently within the range of 10 to and requirements for screening models in
40 percent (cited in paragraph 4.1(e)). section 4.2.1 and refined models in section
c. AERMOD incorporates the PRIME algo- 4.2.2 shall be applied for CO modeling. Given
rithm to account for enhanced plume growth the relatively low CO background concentra-
and restricted plume rise for plumes affected tions, screening techniques are likely to be
by building wake effects.46 The PRIME algo- adequate in most cases. In applying these
rithm accounts for entrainment of plume recommendations and requirements, the ex-
mass into the cavity recirculation region, in- isting 1992 EPA guidance for screening CO
cluding re-entrainment of plume mass into impacts from highways may be consulted.47
the wake region beyond the cavity. 4.2.3.2 Models for Lead
d. AERMOD incorporates the Buoyant Line
and Point Source (BLP) Dispersion model to a. In January 1999 (40 CFR part 58, appen-
account for buoyant plume rise from line dix D), the EPA gave notice that concern
sources. The BLP option utilizes the stand- about ambient lead impacts was being shift-
ard meteorological inputs provided by the ed away from roadways and toward a focus
AERMET meteorological processor. on stationary point sources. Thus, models
e. The state-of-the-science for modeling at- for assessing the impact of lead emissions
mospheric deposition is evolving, new mod- are needed to meet NSR requirements to ad-
eling techniques are continually being as- dress compliance with the lead NAAQS and
sessed, and their results are being compared for SIP attainment demonstrations. The
612
EPA has also issued guidance on siting ambi- b. Due to the complexity of NO2 modeling,
ent monitors in the vicinity of stationary a multi-tiered screening approach is required
point sources.48 For lead, the SIP should con- to obtain hourly and annual average esti-
tain an air quality analysis to determine the mates of NO2.54 Since these methods are con-
maximum rolling 3-month average lead considered screening techniques, their usage
centration resulting from major lead point shall occur in agreement with the appro-
sources, such as smelters, gasoline additive priate reviewing authority (paragraph 3.0(b)).
plants, etc. The EPA has developed a post- Additionally, since screening techniques are
processor to calculate rolling 3-month aver- conservative by their nature, there are limi-
age concentrations from model output.49 tations to how these options can be used.
General guidance for lead SIP development Specifically, modeling of negative emissions
is also available.50 rates should only be done after consultation
b. For major lead point sources, such as with the EPA Regional Office to ensure that
smelters, which contribute fugitive emis- decreases in concentrations would not be
sions and for which deposition is important, overestimated. Each tiered approach (see
professional judgment should be used, and Figure 4–1) accounts for increasingly com-
there shall be coordination with the appro- plex considerations of NO2 chemistry and is
priate reviewing authority (paragraph 3.0(b)). described in paragraphs c through e of this
For most applications, the general require- subsection. The tiers of NO2 modeling in-
ments for screening and refined models of clude:
section 4.2.1 and 4.2.2 are applicable to lead i. A first-tier (most conservative) ‘‘full’’
modeling. conversion approach;
ii. A second-tier approach that assumes
4.2.3.3 Models for Sulfur Dioxide ambient equilibrium between NO and NO2;
and
a. Models for SO2 are needed to meet NSR
iii. A third-tier consisting of several de-
requirements to address compliance with the
tailed screening techniques that account for
SO2 NAAQS and PSD increments, for SIP at-
ambient ozone and the relative amount of
tainment demonstrations,51 and for charac-
NO and NO2 emitted from a source.
terizing current air quality via modeling.52 c. For Tier 1, use an appropriate refined
SO2 is one of a group of highly reactive gases model (section 4.2.2) to estimate nitrogen ox-
known as ‘‘oxides of sulfur’’ with largest ides (NOX) concentrations and assume a total
emissions sources being fossil fuel combus- conversion of NO to NO2.
tion at power plants and other industrial fa- d. For Tier 2, multiply the Tier 1 result(s)
cilities. by the Ambient Ratio Method 2 (ARM2),
b. Given the relatively inert nature of SO2 which provides estimates of representative
on the short-term time scales of interest equilibrium ratios of NO2/NOX value based
(i.e., 1-hour) and the sources of SO2 (i.e., sta- ambient levels of NO2 and NOX derived from
tionary point sources), the general modeling national data from the EPA’s Air Quality
requirements for screening models in section System (AQS).55 The national default for
4.2.1 and refined models in section 4.2.2 are ARM2 includes a minimum ambient NO2/NOX
applicable for SO2 modeling applications. ratio of 0.5 and a maximum ambient ratio of
For urban areas, AERMOD automatically in- 0.9. The reviewing agency may establish al-
vokes a half-life of 4 hours 53 to SO2. There- ternative minimum ambient NO2/NOX values
fore, care must be taken when determining based on the source’s in-stack emissions ra-
whether a source is urban or rural (see sec- tios, with alternative minimum ambient ra-
tion 7.2.1.1 for urban/rural determination tios reflecting the source’s in-stack NO2/NOX
methodology). ratios. Preferably, alternative minimum am-
bient NO2/NOX ratios should be based on
4.2.3.4 Models for Nitrogen Dioxide
source-specific data which satisfies all qual-
a. Models for assessing the impact of ity assurance procedures that ensure data
sources on ambient NO2 concentrations are accuracy for both NO2 and NOX within the
needed to meet NSR requirements to address typical range of measured values. However,
compliance with the NO2 NAAQS and PSD alternate information may be used to justify
increments. Impact of an individual source a source’s anticipated NO2/NOX in-stack ra-
on ambient NO2 depends, in part, on the tios, such as manufacturer test data, state or
chemical environment into which the local agency guidance, peer-reviewed lit-
source’s plume is to be emitted. This is due erature, and/or the EPA’s NO2/NOX ratio
to the fact that NO2 sources co-emit NO database.
along with NO2 and any emitted NO may e. For Tier 3, a detailed screening tech-
react with ambient ozone to convert to addi- nique shall be applied on a case-by-case
tional NO2 downwind. Thus, comprehensive basis. Because of the additional input data
modeling of NO2 would need to consider the requirements and complexities associated
ratio of emitted NO and NO2, the ambient with the Tier 3 options, their usage shall
levels of ozone and subsequent reactions be- occur in consultation with the EPA Regional
tween ozone and NO, and the photolysis of Office in addition to the appropriate review-
NO2 to NO. ing authority. The Ozone Limiting Method
613
(OLM) 56 and the Plume Volume Molar Ratio lated and elevated point source modeling
Method (PVMRM) 57 are two detailed screen- while OLM works best for large groups of
ing techniques that may be used for most sources, area sources, and near-surface re-
sources. These two techniques use an appro- leases, including roadway sources.
priate section 4.2.2 model to estimate NOX f. Alternative models or techniques may be
concentrations and then estimate the con- considered on a case-by-case basis and their
version of primary NO emissions to NO2 usage shall be approved by the EPA Regional
based on the ambient levels of ozone and the
Office (section 3.2). Such models or tech-
plume characteristics. OLM only accounts
niques should consider individual quantities
for NO2 formation based on the ambient lev-
els of ozone while PVMRM also accommo- of NO and NO2 emissions, atmospheric trans-
dates distance-dependent conversion ratios port and dispersion, and atmospheric trans-
based on ambient ozone. Both PVMRM and formation of NO to NO2. Dispersion models
OLM require that ambient ozone concentra- that account for more explicit photo-
tions be provided on an hourly basis and ex- chemistry may also be considered as an al-
plicit specification of the NO2/NOX in-stack ternative model to estimate ambient im-
ratios. PVMRM works best for relatively iso- pacts of NOX sources.
4.2.3.5 Models for PM2.5 c. For SIP attainment demonstrations and

regional haze reasonable progress goal anal-
a. PM2.5 is a mixture consisting of several
yses, effects of a control strategy on PM2.5
diverse components.58 Ambient PM2.5 gen-
are estimated from the sum of the effects on
erally consists of two components: (1) The
the primary and secondary components com-
primary component, emitted directly from a
posing PM2.5. Model users should refer to sec-
source; and (2) the secondary component,
tion 5.4.1 and associated SIP modeling guid-
formed in the atmosphere from other pollut-
ance 60 for further details concerning appro-
ants emitted from the source. Models for
priate modeling approaches.
PM2.5 are needed to meet NSR requirements
d. The general modeling requirements for
to address compliance with the PM2.5 NAAQS
the refined models discussed in section 4.2.2
and PSD increments and for SIP attainment
shall be applied for PM2.5 hot-spot modeling
demonstrations.
for mobile sources. Specific guidance is
b. For NSR modeling assessments, the gen-
available for analyzing direct PM2.5 impacts
eral modeling requirements for screening
from highways, terminals, and other trans-
models in section 4.2.1 and refined models in
portation projects.61
section 4.2.2 are applicable for the primary
component of PM2.5, while the methods in 4.2.3.6 Models for PM10
section 5.4 are applicable for addressing the
secondary component of PM2.5. Guidance for a. Models for PM10 are needed to meet NSR
PSD assessments is available for deter- requirements to address compliance with the
mining the best approach to handling PM10 NAAQS and PSD increments and for
sources of primary and secondary PM2.5.59 SIP attainment demonstrations.
614
ER17JA17.000</GPH>
b. For most sources, the general modeling (VOCs). Ozone formation is a complicated
requirements for screening models in section nonlinear process that requires favorable
4.2.1 and refined models in section 4.2.2 shall meteorological conditions in addition to
be applied for PM10 modeling. In cases where VOC and NOX emissions. Sometimes complex
the particle size and its effect on ambient terrain features also contribute to the build-
concentrations need to be considered, par- up of precursors and subsequent ozone for-
ticle deposition may be used on a case-by- mation or destruction.
case basis and their usage shall be coordi- c. PM2.5 can be either primary (i.e., emitted
nated with the appropriate reviewing author- directly from sources) or secondary in na-
ity. A SIP development guide 62 is also avail- ture. The fraction of PM2.5 which is primary
able to assist in PM10 analyses and control versus secondary varies by location and sea-
strategy development. son. In the United States, PM2.5 is dominated
c. Fugitive dust usually refers to dust put by a variety of chemical species or compo-
into the atmosphere by the wind blowing nents of atmospheric particles, such as am-
over plowed fields, dirt roads, or desert or monium sulfate, ammonium nitrate, organic
sandy areas with little or no vegetation. Fu- carbon mass, elemental carbon, and other
gitive emissions include the emissions re- soil compounds and oxidized metals. PM2.5
sulting from the industrial process that are sulfate, nitrate, and ammonium ions are pre-
not captured and vented through a stack, but dominantly the result of chemical reactions
may be released from various locations with- of the oxidized products of SO2 and NOX
in the complex. In some unique cases, a emissions with direct ammonia emissions.64
model developed specifically for the situa- d. Control measures reducing ozone and
tion may be needed. Due to the difficult na- PM2.5 precursor emissions may not lead to
ture of characterizing and modeling fugitive proportional reductions in ozone and PM2.5.
dust and fugitive emissions, the proposed Modeled strategies designed to reduce ozone
procedure shall be determined in consulta- or PM2.5 levels typically need to consider the
tion with the appropriate reviewing author- chemical coupling between these pollutants.
ity (paragraph 3.0(b)) for each specific situa- This coupling is important in understanding
tion before the modeling exercise is begun. processes that control the levels of both pol-
Re-entrained dust is created by vehicles driv- lutants. Thus, when feasible, it is important
ing over dirt roads (e.g., haul roads) and to use models that take into account the
dust-covered roads typically found in arid
chemical coupling between ozone and PM2.5.
areas. Such sources can be characterized as
In addition, using such a multi-pollutant
line, area or volume sources.61 63 Emission
modeling system can reduce the resource
rates may be based on site-specific data or
burden associated with applying and evalu-
values from the general literature.
ating separate models for each pollutant and
d. Under certain conditions, recommended
promotes consistency among the strategies
dispersion models may not be suitable to ap-
themselves.
propriately address the nature of ambient
PM10. In these circumstances, the alter- e. PM2.5 is a mixture consisting of several
native modeling approach shall be approved diverse chemical species or components of
by the EPA Regional Office (section 3.2). atmospheric particles. Because chemical and
e. The general modeling requirements for physical properties and origins of each com-
the refined models discussed in section 4.2.2 ponent differ, it may be appropriate to use
shall be applied for PM10 hot-spot modeling either a single model capable of addressing
for mobile sources. Specific guidance is several of the important components or to
available for analyzing direct PM10 impacts model primary and secondary components
from highways, terminals, and other trans- using different models. Effects of a control
portation projects.61 strategy on PM2.5 is estimated from the sum
of the effects on the specific components
5.0 MODELS FOR OZONE AND SECONDARILY comprising PM2.5.
FORMED PARTICULATE MATTER
5.2 Recommendations
5.1 Discussion
a. Chemical transformations can play an
a. Air pollutants formed through chemical important role in defining the concentra-
reactions in the atmosphere are referred to tions and properties of certain air pollut-
as secondary pollutants. For example, ants. Models that take into account chem-
ground-level ozone and a portion of PM2.5 are ical reactions and physical processes of var-
secondary pollutants formed through photo- ious pollutants (including precursors) are
chemical reactions. Ozone and secondarily needed for determining the current state of
formed particulate matter are closely re- air quality, as well as predicting and pro-
lated to each other in that they share com- jecting the future evolution of these pollut-
mon sources of emissions and are formed in ants. It is important that a modeling system
the atmosphere from chemical reactions provide a realistic representation of chem-
with similar precursors. ical and physical processes leading to sec-
b. Ozone formation is driven by emissions ondary pollutant formation and removal
of NOX and volatile organic compounds from the atmosphere.
615
b. Chemical transport models treat atmos- first tier consists of using existing tech-
pheric chemical and physical processes such nically credible and appropriate relation-
as deposition and motion. There are two ships between emissions and impacts devel-
types of chemical transport models, Eulerian oped from previous modeling that is deemed
(grid based) and Lagrangian. These types of sufficient for evaluating a source’s impacts.
models are differentiated from each other by The second tier consists of more sophisti-
their frame of reference. Eulerian models are cated case-specific modeling analyses. The
based on a fixed frame of reference and appropriate tier for a given application
Lagrangian models use a frame of reference should be selected in consultation with the
that moves with parcels of air between the appropriate reviewing authority (paragraph
source and receptor point.9 Photochemical 3.0(b)) and be consistent with EPA guid-
grid models are three-dimensional Eulerian ance.66
grid-based models that treat chemical and
physical processes in each grid cell and use 5.3 Recommended Models and Approaches for
diffusion and transport processes to move Ozone
chemical species between grid cells.9 These a. Models that estimate ozone concentra-
types of models are appropriate for assess- tions are needed to guide the choice of strat-
ment of near-field and regional scale reac- egies for the purposes of a nonattainment
tive pollutant impacts from specific area demonstrating future year attainment
sources 7 10 11 12 or all sources.13 14 15 In some of the ozone NAAQS. Additionally, models
limited cases, the secondary processes can be that estimate ozone concentrations are need-
treated with a box model, ideally in com- ed to assess impacts from specific sources or
bination with a number of other modeling source complexes to satisfy requirements for
techniques and/or analyses to treat indi- NSR and other regulatory programs. Other
vidual source sectors. purposes for ozone modeling include esti-
c. Regardless of the modeling system used mating the impacts of specific events on air
to estimate secondary impacts of ozone and/ quality, ozone deposition impacts, and plan-
or PM2.5, model results should be compared ning for areas that may be attaining the
to observation data to generate confidence ozone NAAQS.
that the modeling system is representative
of the local and regional air quality. For 5.3.1 Models for NAAQS Attainment Dem-
ozone related projects, model estimates of onstrations and Multi-Source Air Quality
ozone should be compared with observations Assessments
in both time and space. For PM2.5, model es-
timates of speciated PM2.5 components (such a. Simulation of ozone formation and
as sulfate ion, nitrate ion, etc.) should be transport is a complex exercise. Control
compared with observations in both time and agencies with jurisdiction over areas with
space.65 ozone problems should use photochemical
d. Model performance metrics comparing grid models to evaluate the relationship be-
observations and predictions are often used tween precursor species and ozone. Use of
to summarize model performance. These photochemical grid models is the rec-
metrics include mean bias, mean error, frac- ommended means for identifying control
tional bias, fractional error, and correlation strategies needed to address high ozone con-
coefficient. 65 There are no specific levels of centrations in such areas. Judgment on the
any model performance metric that indicate suitability of a model for a given application
‘‘acceptable’’ model performance. The EPA’s should consider factors that include use of
preferred approach for providing context the model in an attainment test, develop-
about model performance is to compare ment of emissions and meteorological inputs
model performance metrics with similar con- to the model, and choice of episodes to
temporary applications. 60 65 Because model model. Guidance on the use of models and
application purpose and scope vary, model other analyses for demonstrating attainment
users should consult with the appropriate re- of the air quality goals for ozone is available.
59 60 Users should consult with the appro-
viewing authority (paragraph 3.0(b)) to deter-
mine what model performance elements priate reviewing authority (paragraph 3.0(b))
should be emphasized and presented to pro- to ensure the most current modeling guid-
vide confidence in the regulatory model ap- ance is applied.
plication.
5.3.2 Models for Single-Source Air Quality
e. There is no preferred modeling system or
Assessments
technique for estimating ozone or secondary
PM2.5 for specific source impacts or to assess a. Depending on the magnitude of emis-
impacts from multiple sources. For assessing sions, estimating the impact of an individual
secondary pollutant impacts from single source’s emissions of NOX and VOC on ambi-
sources, the degree of complexity required to ent ozone is necessary for obtaining a per-
assess potential impacts varies depending on mit. The simulation of ozone formation and
the nature of the source, its emissions, and transport requires realistic treatment of at-
the background environment. The EPA rec- mospheric chemistry and deposition. Models
ommends a two-tiered approach where the (e.g., Lagrangian and photochemical grid
616
models) that integrate chemical and phys- planning for areas that may be attaining the
ical processes important in the formation, PM2.5 NAAQS.
decay, and transport of ozone and important
precursor species should be applied. Photo- 5.4.1 Models for NAAQS Attainment Dem-
chemical grid models are primarily designed onstrations and Multi-Source Air Quality
to characterize precursor emissions and im- Assessments
pacts from a wide variety of sources over a
a. Models for PM2.5 are needed to assess the
large geographic area but can also be used to
adequacy of a proposed strategy for meeting
assess the impacts from specific sources.
7 11 12 the annual and 24-hour PM2.5 NAAQS. Mod-
eling primary and secondary PM2.5 can be a
b. The first tier of assessment for ozone
multi-faceted and complex problem, espe-
impacts involves those situations where ex-
cially for secondary components of PM2.5
isting technical information is available
such as sulfates and nitrates. Control agen-
(e.g., results from existing photochemical
cies with jurisdiction over areas with sec-
grid modeling, published empirical estimates
ondary PM2.5 problems should use models
of source specific impacts, or reduced-form
that integrate chemical and physical proc-
models) in combination with other sup-
esses important in the formation, decay, and
portive information and analysis for the pur-
transport of these species (e.g., photo-
poses of estimating secondary impacts from
chemical grid models). Suitability of a mod-
a particular source. The existing technical
information should provide a credible and eling approach or mix of modeling ap-
representative estimate of the secondary im- proaches for a given application requires
pacts from the project source. The appro- technical judgment as well as professional
priate reviewing authority (paragraph 3.0(b)) experience in choice of models, use of the
and appropriate EPA guidance 66 should be model(s) in an attainment test, development
consulted to determine what types of assess- of emissions and meteorological inputs to
ments may be appropriate on a case-by-case the model, and selection of days to model.
basis. Guidance on the use of models and other
c. The second tier of assessment for ozone analyses for demonstrating attainment of
impacts involves those situations where ex- the air quality goals for PM2.5 is avail-
isting technical information is not available able.59 60 Users should consult with the ap-
or a first tier demonstration indicates a propriate reviewing authority (paragraph
more refined assessment is needed. For these 3.0(b)) to ensure the most current modeling
situations, chemical transport models should guidance is applied.
be used to address single-source impacts.
5.4.2 Models for Single-Source Air Quality
Special considerations are needed when
Assessments
using these models to evaluate the ozone im-
pact from an individual source. Guidance on a. Depending on the magnitude of emis-
the use of models and other analyses for sions, estimating the impact of an individual
demonstrating the impacts of single sources source’s emissions on secondary particulate
for ozone is available. 66 This guidance docu- matter concentrations may be necessary for
ment provides a more detailed discussion of obtaining a permit. Primary PM2.5 compo-
the appropriate approaches to obtaining esti- nents shall be simulated using the general
mates of ozone impacts from a single source. modeling requirements in section 4.2.3.5. The
Model users should use the latest version of simulation of secondary particulate matter
the guidance in consultation with the appro- formation and transport is a complex exer-
priate reviewing authority (paragraph 3.0(b)) cise requiring realistic treatment of atmos-
to determine the most suitable refined ap- pheric chemistry and deposition. Models
proach for single-source ozone modeling on a should be applied that integrate chemical
case-by-case basis. and physical processes important in the for-
mation, decay, and transport of these species
5.4 Recommended Models and Approaches for (e.g., Lagrangian and photochemical grid
Secondarily Formed PM2.5 models). Photochemical grid models are pri-
a. Models that estimate PM2.5 concentra- marily designed to characterize precursor
tions are needed to guide the choice of strat- emissions and impacts from a wide variety of
egies for the purposes of a nonattainment sources over a large geographic area and can
area demonstrating future year attainment also be used to assess the impacts from spe-
of the PM2.5 NAAQS. Additionally, models cific sources.7 10 For situations where a
that estimate PM2.5 concentrations are need- project source emits both primary PM2.5 and
ed to assess impacts from specific sources or PM2.5 precursors, the contribution from both
source complexes to satisfy requirements for should be combined for use in determining
NSR and other regulatory programs. Other the source’s ambient impact. Approaches for
purposes for PM2.5 modeling include esti- combining primary and secondary impacts
mating the impacts of specific events on air are provided in appropriate guidance for sin-
quality, visibility, deposition impacts, and gle source permit related demonstrations. 66
617
b. The first tier of assessment for sec- local, or tribal agency to ensure the proper
ondary PM2.5 impacts involves those situa- application and use of the models and/or
tions where existing technical information is techniques. These agencies have developed
available (e.g., results from existing photo- specific modeling approaches for their own
chemical grid modeling, published empirical regulatory or other requirements. Most of
estimates of source specific impacts, or re- the programs have, or will have when fully
duced-form models) in combination with developed, separate guidance documents that
other supportive information and analysis cover the program and a discussion of the
for the purposes of estimating secondary im- tools that are needed. The following para-
pacts from a particular source. The existing graphs reference those guidance documents,
technical information should provide a cred- when they are available.
ible and representative estimate of the sec-
ondary impacts from the project source. The 6.2 Air Quality Related Values
appropriate reviewing authority (paragraph a. The 1990 CAA Amendments give FLMs
3.0(b)) and appropriate EPA guidance 66 an ‘‘affirmative responsibility’’ to protect
should be consulted to determine what types the natural and cultural resources of Class I
of assessments may be appropriate on a case- areas from the adverse impacts of air pollu-
by-case basis. tion and to provide the appropriate proce-
c. The second tier of assessment for sec- dures and analysis techniques. The CAA
ondary PM2.5 impacts involves those situa- identifies the FLM as the Secretary of the
tions where existing technical information is department, or their designee, with author-
not available or a first tier demonstration ity over these lands. Mandatory Federal
indicates a more refined assessment is need- Class I areas are defined in the CAA as inter-
ed. For these situations, chemical transport national parks, national parks over 6,000
models should be used for assessments of sin- acres, and wilderness areas and memorial
gle-source impacts. Special considerations parks over 5,000 acres, established as of 1977.
are needed when using these models to evalu- The FLMs are also concerned with the pro-
ate the secondary particulate matter impact tection of resources in federally managed
from an individual source. Guidance on the Class II areas because of other statutory
use of models and other analyses for dem- mandates to protect these areas. Where state
onstrating the impacts of single sources for or tribal agencies have successfully peti-
secondary PM2.5 is available. 66 This guidance tioned the EPA and lands have been redesig-
document provides a more detailed discus- nated to Class I status, these agencies may
sion of the appropriate approaches to obtain- have equivalent responsibilities to that of
ing estimates of secondary particulate mat- the FLMs for these non-federal Class I areas
ter concentrations from a single source. as described throughout the remainder of
Model users should use the latest version of section 6.2.
this guidance in consultation with the appro- b. The FLM agency responsibilities include
priate reviewing authority (paragraph 3.0(b)) the review of air quality permit applications
to determine the most suitable single-source from proposed new or modified major pollu-
modeling approach for secondary PM2.5 on a tion sources that may affect these Class I
case-by-case basis. areas to determine if emissions from a pro-
posed or modified source will cause or con-
6.0 MODELING FOR AIR QUALITY RELATED
tribute to adverse impacts on air quality re-
VALUES AND OTHER GOVERNMENTAL PRO-
lated values (AQRVs) of a Class I area and
GRAMS
making recommendations to the FLM.
6.1 Discussion AQRVs are resources, identified by the FLM
agencies, that have the potential to be af-
a. Other federal government agencies and fected by air pollution. These resources may
state, local, and tribal agencies with air include visibility, scenic, cultural, physical,
quality and land management responsibil- or ecological resources for a particular area.
ities have also developed specific modeling The FLM agencies take into account the par-
approaches for their own regulatory or other ticular resources and AQRVs that would be
requirements. Although such regulatory re- affected; the frequency and magnitude of any
quirements and guidance have come about potential impacts; and the direct, indirect,
because of EPA rules or standards, the im- and cumulative effects of any potential im-
plementation of such regulations and the use pacts in making their recommendations.
of the modeling techniques is under the ju- c. While the AQRV notification and impact
risdiction of the agency issuing the guidance analysis requirements are outlined in the
or directive. This section covers such situa- PSD regulations at 40 CFR 51.166(p) and 40
tions with reference to those guidance docu- CFR 52.21(p), determination of appropriate
ments, when they are available. analytical methods and metrics for AQRV’s
b. When using the model recommended or are determined by the FLM agencies and are
discussed in the Guideline in support of pro- published in guidance external to the general
grammatic requirements not specifically recommendations of this paragraph.
covered by EPA regulations, the model user d. To develop greater consistency in the
should consult the appropriate federal, state, application of air quality models to assess
618
potential AQRV impacts in both Class I layers are compared against a viewing back-
areas and protected Class II areas, the FLM ground, and (2) distant/multi-source mod-
agencies have developed the Federal Land eling for plumes and aggregations of plumes
Managers’ Air Quality Related Values Work that affect the general appearance of a
Group Phase I Report (FLAG).67 FLAG fo- scene.67 The recommendations separately ad-
cuses upon specific technical and policy dress visibility assessments for sources pro-
issues associated with visibility impairment, posing to locate relatively near and at far-
effects of pollutant deposition on soils and ther distances from these areas.67
surface waters, and ozone effects on vegeta-
tion. Model users should consult the latest 6.2.1.1 Models for Estimating Near-Field
version of the FLAG report for current mod- Visibility Impairment
eling guidance and with affected FLM agen- a. To calculate the potential impact of a
cy representatives for any application spe- plume of specified emissions for specific
cific guidance which is beyond the scope of transport and dispersion conditions (‘‘plume
the Guideline. blight’’) for source-receptor distances less
than 50 km, a screening model and guidance
6.2.1 Visibility are available.67 70 If a more comprehensive
a. Visibility in important natural areas analysis is necessary, a refined model should
(e.g., Federal Class I areas) is protected be selected. The model selection, procedures,
under a number of provisions of the CAA, in- and analyses should be determined in con-
cluding sections 169A and 169B (addressing sultation with the appropriate reviewing au-
impacts primarily from existing sources) and thority (paragraph 3.0(b)) and the affected
section 165 (new source review). Visibility FLM(s).
impairment is caused by light scattering and
light absorption associated with particles 6.2.1.2 Models for Estimating Visibility
and gases in the atmosphere. In most areas Impairment for Long-Range Transport
of the country, light scattering by PM2.5 is a. Chemical transformations can play an
the most significant component of visibility important role in defining the concentra-
impairment. The key components of PM2.5 tions and properties of certain air pollut-
contributing to visibility impairment in- ants. Models that take into account chem-
clude sulfates, nitrates, organic carbon, ele- ical reactions and physical processes of var-
mental carbon, and crustal material.67 ious pollutants (including precursors) are
b. Visibility regulations (40 CFR 51.300 needed for determining the current state of
through 51.309) require state, local, and trib- air quality, as well as predicting and pro-
al agencies to mitigate current and prevent jecting the future evolution of these pollut-
future visibility impairment in any of the 156 ants. It is important that a modeling system
mandatory Federal Class I areas where visi- provide a realistic representation of chem-
bility is considered an important attribute. ical and physical processes leading to sec-
In 1999, the EPA issued revisions to the regu- ondary pollutant formation and removal
lations to address visibility impairment in from the atmosphere.
the form of regional haze, which is caused by b. Chemical transport models treat atmos-
numerous, diverse sources (e.g., stationary, pheric chemical and physical processes such
mobile, and area sources) located across a as deposition and motion. There are two
broad region (40 CFR 51.308 through 51.309). types of chemical transport models, Eulerian
The state of relevant scientific knowledge (grid based) and Lagrangian. These types of
has expanded significantly since that time. A models are differentiated from each other by
number of studies and reports 68 69 have con- their frame of reference. Eulerian models are
cluded that long-range transport (e.g., up to based on a fixed frame of reference and
hundreds of kilometers) of fine particulate Lagrangian models use a frame of reference
matter plays a significant role in visibility that moves with parcels of air between the
impairment across the country. Section 169A source and receptor point.9 Photochemical
of the CAA requires states to develop SIPs grid models are three-dimensional Eulerian
containing long-term strategies for rem- grid-based models that treat chemical and
edying existing and preventing future visi- physical processes in each grid cell and use
bility impairment in the 156 mandatory diffusion and transport processes to move
Class I Federal areas, where visibility is con- chemical species between grid cells.9 These
sidered an important attribute. In order to types of models are appropriate for assess-
develop long-term strategies to address re- ment of near-field and regional scale reac-
gional haze, many state, local, and tribal tive pollutant impacts from specific
agencies will need to conduct regional-scale sources 7 10 11 12 or all sources.13 14 15
modeling of fine particulate concentrations c. Development of the requisite meteoro-
and associated visibility impairment. logical and emissions databases necessary
c. The FLAG visibility modeling rec- for use of photochemical grid models to esti-
ommendations are divided into two distinct mate AQRVs should conform to rec-
sections to address different requirements ommendations in section 8 and those out-
for: (1) Near field modeling where plumes or lined in the EPA’s Modeling Guidance for
619
Demonstrating Attainment of Air Quality Goals that individual and cumulative offshore oil
for Ozone, PM2.5, and Regional Haze.60 Dem- and gas exploration, development, and pro-
onstration of the adequacy of prognostic me- duction plans and activities do not signifi-
teorological fields can be established cantly affect the air quality of any state as
through appropriate diagnostic and statis- required under the Outer Continental Shelf
tical performance evaluations consistent Lands Act (OCSLA). Air quality modeling re-
with recommendations provided in the ap- quires various input datasets, including
propriate guidance.60 Model users should con- emissions sources, meteorology, and pre-ex-
sult the latest version of this guidance and isting pollutant concentrations. For sources
with the appropriate reviewing authority under the reviewing authority of the Depart-
(paragraph 3.0(b)) for any application-spe- ment of Interior, Bureau of Ocean Energy
cific guidance that is beyond the scope of Management (BOEM), guidance for the de-
this subsection. velopment of all necessary Outer Conti-
nental Shelf (OCS) air quality modeling in-
6.2.2 Models for Estimating Deposition puts and appropriate model selection and ap-
Impacts plication is available from the BOEM’s Web
a. For many Class I areas, AQRVs have site: https://www.boem.gov/GOMR-Environ-
been identified that are sensitive to atmos- mental-Compliance.
pheric deposition of air pollutants. Emis- b. The Federal Aviation Administration
sions of NOX, sulfur oxides, NH3, mercury, (FAA) is the appropriate reviewing authority
and secondary pollutants such as ozone and for air quality assessments of primary pol-
particulate matter affect components of eco- lutant impacts at airports and air bases. The
systems. In sensitive ecosystems, these com- Aviation Environmental Design Tool (AEDT)
pounds can acidify soils and surface waters, is developed and supported by the FAA, and
add nutrients that change biodiversity, and is appropriate for air quality assessment of
affect the ecosystem services provided by primary pollutant impacts at airports or air
forests and natural areas.67 To address the bases. AEDT has adopted AERMOD for treat-
relationship between deposition and eco- ing dispersion. Application of AEDT is in-
system effects, the FLM agencies have devel- tended for estimating the change in emis-
oped estimates of critical loads. A critical sions for aircraft operations, point source,
load is defined as, ‘‘A quantitative estimate and mobile source emissions on airport prop-
of an exposure to one or more pollutants erty and quantify the associated pollutant
below which significant harmful effects on level- concentrations. AEDT is not intended
specified sensitive elements of the environ- for PSD, SIP, or other regulatory air quality
ment do not occur according to present analyses of point or mobile sources at or pe-
knowledge.’’ 71 ripheral to airport property that are unre-
b. The FLM deposition modeling rec- lated to airport operations. The latest
ommendations are divided into two distinct version of AEDT may be obtained from the
sections to address different requirements FAA at: https://aedt.faa.gov.
for: (1) Near field modeling, and (2) distant/ 7.0 GENERAL MODELING CONSIDERATIONS
multi-source modeling for cumulative ef-
fects. The recommendations separately ad- 7.1 Discussion
dress deposition assessments for sources pro-
a. This section contains recommendations
posing to locate relatively near and at far-
concerning a number of different issues not
ther distances from these areas.67 Where the
explicitly covered in other sections of the
source and receptors are not in close prox-
Guideline. The topics covered here are not
imity, chemical transport (e.g., photo-
specific to any one program or modeling
chemical grid) models generally should be
area, but are common to dispersion modeling
applied for an assessment of deposition im-
analyses for criteria pollutants.
pacts due to one or a small group of sources.
Over these distances, chemical and physical 7.2 Recommendations
transformations can change atmospheric res-
idence time due to different propensity for 7.2.1 All Sources
deposition to the surface of different forms
of nitrate and sulfate. Users should consult 7.2.1.1 Dispersion Coefficients
the latest version of the FLAG report 67 and a. For any dispersion modeling exercise,
relevant FLM representatives for guidance the urban or rural determination of a source
on the use of models for deposition. Where is critical in determining the boundary layer
source and receptors are in close proximity, characteristics that affect the model’s pre-
users should contact the appropriate FLM diction of downwind concentrations. Histori-
for application-specific guidance. cally, steady-state Gaussian plume models
used in most applications have employed dis-
6.3 Modeling Guidance for Other
persion coefficients based on Pasquill-Gif-
Governmental Programs
ford 72 in rural areas and McElroy-Pooler 73 in
a. Dispersion and photochemical grid mod- urban areas. These coefficients are still in-
eling may need to be conducted to ensure corporated in the BLP and OCD models.
620
However, the AERMOD model incorporates a sources are located in areas classified as
more up-to-date characterization of the at- urban. For tall stacks located within or adja-
mospheric boundary layer using continuous cent to small or moderate sized urban areas,
functions of parameterized horizontal and the stack height or effective plume height
vertical turbulence based on Monin-Obukhov may extend above the urban boundary layer
similarity (scaling) relationships.44 Another and, therefore, may be more appropriately
key feature of AERMOD’s formulation is the modeled using rural coefficients. Model users
option to use directly observed variables of should consult with the appropriate review-
the boundary layer to parameterize disper- ing authority (paragraph 3.0(b)) and the lat-
sion.44 45 est version of the AERMOD Implementation
b. The selection of rural or urban disper- Guide 76 when evaluating this situation.
sion coefficients in a specific application f. Buoyancy-induced dispersion (BID), as
should follow one of the procedures sug- identified by Pasquill,77 is included in the
gested by Irwin 74 to determine whether the preferred models and should be used where
character of an area is primarily urban or buoyant sources (e.g., those involving fuel
rural (of the two methods, the land use pro- combustion) are involved.
cedure is considered more definitive.):
i. Land Use Procedure: (1) Classify the land 7.2.1.2 Complex Winds
use within the total area, Ao, circumscribed
by a 3 km radius circle about the source a. Inhomogeneous local winds. In many parts
using the meteorological land use typing of the United States, the ground is neither
scheme proposed by Auer; 75 (2) if land use flat nor is the ground cover (or land use) uni-
types I1, I2, C1, R2, and R3 account for 50 perform. These geographical variations can gen-
cent or more of Ao, use urban dispersion coef- erate local winds and circulations, and mod-
ficients; otherwise, use appropriate rural dis- ify the prevailing ambient winds and circula-
persion coefficients. tions. Typically, geographic effects are more
ii. Population Density Procedure: (1) Com- apparent when the ambient winds are light
pute the average population density, p̄ per or calm, as stronger synoptic or mesoscale
square kilometer with Ao as defined above; winds can modify, or even eliminate the
(2) If p̄ is greater than 750 people per square weak geographic circulations.78 In general,
kilometer, use urban dispersion coefficients; these geographically induced wind circula-
otherwise use appropriate rural dispersion tion effects are named after the source loca-
coefficients. tion of the winds, e.g., lake and sea breezes,
c. Population density should be used with and mountain and valley winds. In very rug-
caution and generally not be applied to high- ged hilly or mountainous terrain, along
ly industrialized areas where the population coastlines, or near large land use variations,
density may be low and, thus, a rural classi- the characteristics of the winds are a bal-
fication would be indicated. However, the ance of various forces, such that the assump-
area is likely to be sufficiently built-up so tions of steady-state straight-line transport
that the urban land use criteria would be both in time and space are inappropriate. In
satisfied. Therefore, in this case, the classi- such cases, a model should be chosen to fully
fication should be ‘‘urban’’ and urban disper- treat the time and space variations of mete-
sion parameters should be used. orology effects on transport and dispersion.
d. For applications of AERMOD in urban The setup and application of such a model
areas, under either the Land Use Procedure should be determined in consultation with
or the Population Density Procedure, the the appropriate reviewing authority (para-
user needs to estimate the population of the graph 3.0(b)) consistent with limitations of
urban area affecting the modeling domain paragraph 3.2.2(e). The meteorological input
because the urban influence in AERMOD is data requirements for developing the time
scaled based on a user-specified population. and space varying three-dimensional winds
For non-population oriented urban areas, or and dispersion meteorology for these situa-
areas influenced by both population and in- tions are discussed in paragraph 8.4.1.2(c).
dustrial activity, the user will need to esti- Examples of inhomogeneous winds include,
mate an equivalent population to adequately but are not limited to, situations described
account for the combined effects of industri- in the following paragraphs:
alized areas and populated areas within the i. Inversion breakup fumigation. Inversion
modeling domain. Selection of the appro- breakup fumigation occurs when a plume (or
priate population for these applications multiple plumes) is emitted into a stable
should be determined in consultation with layer of air and that layer is subsequently
the appropriate reviewing authority (para- mixed to the ground through convective
graph 3.0(b)) and the latest version of the transfer of heat from the surface or because
AERMOD Implementation Guide.76 of advection to less stable surroundings. Fu-
e. It should be noted that AERMOD allows migation may cause excessively high con-
for modeling rural and urban sources in a centrations, but is usually rather short-lived
single model run. For analyses of whole at a given receptor. There are no rec-
urban complexes, the entire area should be ommended refined techniques to model this
modeled as an urban region if most of the phenomenon. There are, however, screening
621
procedures 40 that may be used to approxi- as wet deposition parameters already in-
mate the concentrations. Considerable care cluded as part of the chemistry scheme.
should be exercised in using the results ob-
tained from the screening techniques. 7.2.2 Stationary Sources
ii. Shoreline fumigation. Fumigation can be 7.2.2.1 Good Engineering Practice Stack
an important phenomenon on and near the Height
shoreline of bodies of water. This can affect
both individual plumes and area-wide emis- a. The use of stack height credit in excess
sions. When fumigation conditions are ex- of Good Engineering Practice (GEP) stack
pected to occur from a source or sources height or credit resulting from any other dis-
with tall stacks located on or just inland of persion technique is prohibited in the devel-
a shoreline, this should be addressed in the opment of emissions limits by 40 CFR 51.118
air quality modeling analysis. The EPA has and 40 CFR 51.164. The definition of GEP
evaluated several coastal fumigation models, stack height and dispersion technique are
and the evaluation results of these models contained in 40 CFR 51.100. Methods and pro-
are available for their possible application cedures for making the appropriate stack
on a case-by-case basis when air quality esti- height calculations, determining stack
mates under shoreline fumigation conditions height credits and an example of applying
are needed.79 Selection of the appropriate those techniques are found in several ref-
model for applications where shoreline fumi- erences,81 82 83 84 that provide a great deal of
gation is of concern should be determined in additional information for evaluating and
consultation with the appropriate reviewing describing building cavity and wake effects.
authority (paragraph 3.0(b)). b. If stacks for new or existing major
iii. Stagnation. Stagnation conditions are sources are found to be less than the height
characterized by calm or very low wind defined by the EPA’s refined formula for de-
speeds, and variable wind directions. These termining GEP height, then air quality im-
stagnant meteorological conditions may per- pacts associated with cavity or wake effects
sist for several hours to several days. During due to the nearby building structures should
stagnation conditions, the dispersion of air be determined. The EPA refined formula
pollutants, especially those from low-level height is defined as H + 1.5L.83 Since the defi-
nition of GEP stack height defines excessive
emissions sources, tends to be minimized, po-
concentrations as a maximum ground-level
tentially leading to relatively high ground-
concentration due in whole or in part to
level concentrations. If point sources are of
downwash of at least 40 percent in excess of
interest, users should note the guidance pro-
the maximum concentration without
vided in paragraph (a) of this subsection. Se-
downwash, the potential air quality impacts
lection of the appropriate model for applica-
associated with cavity and wake effects
tions where stagnation is of concern should
should also be considered for stacks that
be determined in consultation with the ap-
equal or exceed the EPA formula height for
propriate reviewing authority (paragraph
GEP. The AERSCREEN model can be used to
3.0(b)).
obtain screening estimates of potential
7.2.1.3 Gravitational Settling and downwash influences, based on the PRIME
Deposition downwash algorithm incorporated in the
AERMOD model. If more refined concentra-
a. Gravitational settling and deposition tion estimates are required, AERMOD should
may be directly included in a model if either be used (section 4.2.2).
is a significant factor. When particulate
matter sources can be quantified and set- 7.2.2.2 Plume Rise
tling and dry deposition are problems, use a. The plume rise methods of Briggs 85 86 are
professional judgment along with coordina- incorporated in many of the preferred mod-
tion with the appropriate reviewing author- els and are recommended for use in many
ity (paragraph 3.0(b)). AERMOD contains al- modeling applications. In AERMOD,44 45 for
gorithms for dry and wet deposition of gases the stable boundary layer, plume rise is esti-
and particles.80 For other Gaussian plume mated using an iterative approach, similar
models, an ‘‘infinite half-life’’ may be used to that in the CTDMPLUS model. In the con-
for estimates of particle concentrations vective boundary layer, plume rise is
when only exponential decay terms are used superposed on the displacements by random
for treating settling and deposition. convective velocities.87 In AERMOD, plume
Lagrangian models have varying degrees of rise is computed using the methods of
complexity for dealing with settling and dep- Briggs, except in cases involving building
osition and the selection of a downwash, in which a numerical solution of
parameterization for such should be included the mass, energy, and momentum conserva-
in the approval process for selecting a tion laws is performed.88 No explicit provi-
Lagrangian model. Eulerian grid models sions in these models are made for
tend to have explicit parameterizations for multistack plume rise enhancement or the
gravitational settling and deposition as well handling of such special plumes as flares.
622
b. Gradual plume rise is generally rec- tics. The EPA’s quantitative PM hot-spot
ommended where its use is appropriate: (1) In guidance includes important considerations
AERMOD; (2) in complex terrain screening and should be consulted when modeling road-
procedures to determine close-in impacts; way links. Area, line or volume sources may
and (3) when calculating the effects of build- be used for modeling mobile sources. How-
ing wakes. The building wake algorithm in ever, experience in the field has shown that
AERMOD incorporates and exercises the area sources may be easier to characterize
thermodynamically based gradual plume rise correctly compared to volume sources. If
calculations as described in paragraph (a) of volume sources are used, it is particularly
this subsection. If the building wake is cal- important to ensure that roadway emissions
culated to affect the plume for any hour, are appropriately spaced when using volume
gradual plume rise is also used in downwind source so that the emissions field is uniform
dispersion calculations to the distance of across the roadway. Additionally, receptor
final plume rise, after which final plume rise placement is particularly important for vol-
is used. Plumes captured by the near wake ume sources that have ‘‘exclusion zones’’
are re-emitted to the far wake as a ground- where concentrations are not calculated for
level volume source. receptors located ‘‘within’’ the volume
c. Stack tip downwash generally occurs sources, i.e., less than 2.15 times the initial
with poorly constructed stacks and when the lateral dispersion coefficient from the center
ratio of the stack exit velocity to wind speed of the volume.61 Placing receptors in these
is small. An algorithm developed by Briggs 86 ‘‘exclusion zones’’ will result in underesti-
is the recommended technique for this situa-
mates of roadway impacts.
tion and is used in preferred models for point
sources. 8.0 MODEL INPUT DATA
d. On a case-by-case basis, refinements to
the preferred model may be considered for a. Databases and related procedures for es-
plume rise and downwash effects and shall timating input parameters are an integral
occur in agreement with the appropriate re- part of the modeling process. The most ap-
viewing authority (paragraph 3.0(b)) and appropriate input data available should always
proval by the EPA Regional Office based on be selected for use in modeling analyses.
the requirements of section 3.2.2. Modeled concentrations can vary widely de-
pending on the source data or meteorological
7.2.3 Mobile Sources data used. This section attempts to minimize
a. Emissions of primary pollutants from the uncertainty associated with database se-
mobile sources can be modeled with an ap- lection and use by identifying requirements
propriate model identified in section 4.2. for input data used in modeling. More spe-
Screening of mobile sources can be accom- cific data requirements and the format re-
plished by using screening meteorology, e.g., quired for the individual models are de-
worst-case meteorological conditions. Max- scribed in detail in the user’s guide and/or
imum hourly concentrations computed from associated documentation for each model.
screening modeling can be converted to
longer averaging periods using the scaling 8.1 Modeling Domain
ratios specified in the AERSCREEN User’s
Guide.37 8.1.1 Discussion
b. Mobile sources can be modeled in a. The modeling domain is the geographic
AERMOD as either line (i.e., elongated area) area for which the required air quality anal-
sources or as a series of volume sources. yses for the NAAQS and PSD increments are
However, since mobile source modeling usu- conducted.
ally includes an analysis of very near-source
impacts (e.g., hot-spot modeling, which can 8.1.2 Requirements
include receptors within 5–10 meters (m) of
the roadway), the results can be highly sen- a. For a NAAQS or PSD increments assess-
sitive to the characterization of the mobile ment, the modeling domain or project’s im-
emissions. Important characteristics for pact area shall include all locations where
both line/area and volume sources include the emissions of a pollutant from the new or
the plume release height, source width, and modifying source(s) may cause a significant
initial dispersion characteristics, and should ambient impact. This impact area is defined
also take into account the impact of traffic- as an area with a radius extending from the
induced turbulence that can cause roadway new or modifying source to: (1) The most dis-
sources to have larger initial dimensions tant location where air quality modeling
than might normally be used for rep- predicts a significant ambient impact will
resenting line sources. occur, or (2) the nominal 50 km distance con-
c. The EPA’s quantitative PM hot-spot sidered applicable for Gaussian dispersion
guidance 61 and Haul Road Workgroup Final models, whichever is less. The required air
Report63 provide guidance on the appropriate quality analysis shall be carried out within
characterization of mobile sources as a func- this geographical area with characterization
tion of the roadway and vehicle characteris- of source impacts, nearby source impacts,
623
and background concentrations, as rec- c. Modeling mobile emissions from streets
ommended later in this section. and highways requires data on the road lay-
b. For SIP attainment demonstrations for out, including the width of each traveled
ozone and PM2.5, or regional haze reasonable lane, the number of lanes, and the width of
progress goal analyses, the modeling domain the median strip. Additionally, traffic pat-
is determined by the nature of the problem terns should be taken into account (e.g.,
being modeled and the spatial scale of the daily cycles of rush hour, differences in
emissions that impact the nonattainment or weekday and weekend traffic volumes, and
Class I area(s). The modeling domain shall be changes in the distribution of heavy-duty
designed so that all major upwind source trucks and light-duty passenger vehicles), as
areas that influence the downwind non- these patterns will affect the types and
attainment area are included in addition to amounts of pollutant emissions allocated to
all monitor locations that are currently or each lane and the height of emissions.
recently violating the NAAQS or close to d. Emission factors can be determined
violating the NAAQS in the nonattainment through source-specific testing and measure-
area. Similarly, all Class I areas to be evalu- ments (e.g., stack test data) from existing
ated in a regional haze modeling application sources or provided from a manufacturing
shall be included and sufficiently distant association or vendor. Additionally, emis-
from the edge of the modeling domain. Guid- sions factors for a variety of source types are
ance on the determination of the appropriate compiled in an EPA publication commonly
modeling domain for photochemical grid known as AP–42.89 AP–42 also provides an in-
models in demonstrating attainment of these dication of the quality and amount of data
air quality goals is available.60 Users should on which many of the factors are based.
consult the latest version of this guidance Other information concerning emissions is
for the most current modeling guidance and available in EPA publications relating to
the appropriate reviewing authority (para- specific source categories. The appropriate
graph 3.0(b)) for any application specific reviewing authority (paragraph 3.0(b)) should
guidance that is beyond the scope of this sec- be consulted to determine appropriate source
tion. definitions and for guidance concerning the
8.2 Source Data determination of emissions from and tech-
niques for modeling the various source types.
8.2.1 Discussion
8.2.2 Requirements
a. Sources of pollutants can be classified as
point, line, area, and volume sources. Point a. For SIP attainment demonstrations for
sources are defined in terms of size and may the purpose of projecting future year NAAQS
vary between regulatory programs. The line attainment for ozone, PM2.5, and regional
sources most frequently considered are road- haze reasonable progress goal analyses, emis-
ways and streets along which there are well- sions which reflect actual emissions during
defined movements of motor vehicles. They the base modeling year time period should be
may also be lines of roof vents or stacks, input to models for base year modeling.
such as in aluminum refineries. Area and Emissions projections to future years should
volume sources are often collections of a account for key variables such as growth due
multitude of minor sources with individually to increased or decreased activity, expected
small emissions that are impractical to con- emissions controls due to regulations, settle-
sider as separate point or line sources. Large ment agreements or consent decrees, fuel
area sources are typically treated as a grid switches, and any other relevant informa-
network of square areas, with pollutant tion. Guidance on emissions estimation tech-
emissions distributed uniformly within each niques (including future year projections) for
grid square. Generally, input data require- SIP attainment demonstrations is avail-
ments for air quality models necessitate the able.60 90
use of metric units. As necessary, any b. For the purpose of SIP revisions for sta-
English units common to engineering appli- tionary point sources, the regulatory mod-
cations should be appropriately converted to eling of inert pollutants shall use the emis-
metric. sions input data shown in Table 8–1 for short-
b. For point sources, there are many term and long-term NAAQS. To demonstrate
source characteristics and operating condi- compliance and/or establish the appropriate
tions that may be needed to appropriately SIP emissions limits, Table 8–1 generally
model the facility. For example, the plant provides for the use of ‘‘allowable’’ emissions
layout (e.g., location of stacks and build- in the regulatory dispersion modeling of the
ings), stack parameters (e.g., height and di- stationary point source(s) of interest. In
ameter), boiler size and type, potential oper- such modeling, these source(s) should be
ating conditions, and pollution control modeled sequentially with these loads for
equipment parameters. Such details are re- every hour of the year. As part of a cumu-
quired inputs to air quality models and are lative impact analysis, Table 8–1 allows for
needed to determine maximum potential im- the model user to account for actual oper-
pacts. ations in developing the emissions inputs for
624
dispersion modeling of nearby sources, while capacity for periods that could result in vio-
other sources are best represented by air lations of the NAAQS or PSD increments,
quality monitoring data. Consultation with this load should be modeled. Where the
the appropriate reviewing authority (para- source operates at substantially less than de-
graph 3.0(b)) is advisable on the establish- sign capacity, and the changes in the stack
ment of the appropriate emissions inputs for parameters associated with the operating
regulatory modeling applications with re- conditions could lead to higher ground level
spect to SIP revisions for stationary point concentrations, loads such as 50 percent and
sources. 75 percent of capacity should also be mod-
c. For the purposes of demonstrating eled. Malfunctions which may result in ex-
NAAQS compliance in a PSD assessment, the cess emissions are not considered to be a
regulatory modeling of inert pollutants shall normal operating condition. They generally
use the emissions input data shown in Table should not be considered in determining al-
8–2 for short and long-term NAAQS. The new lowable emissions. However, if the excess
or modifying stationary point source shall be emissions are the result of poor mainte-
modeled with ‘‘allowable’’ emissions in the nance, careless operation, or other prevent-
regulatory dispersion modeling. As part of a able conditions, it may be necessary to con-
cumulative impact analysis, Table 8–2 allows sider them in determining source impact. A
for the model user to account for actual op- range of operating conditions should be con-
erations in developing the emissions inputs sidered in screening analyses. The load caus-
for dispersion modeling of nearby sources, ing the highest concentration, in addition to
while other sources are best represented by the design load, should be included in refined
air quality monitoring data. For purposes of modeling.
situations involving emissions trading, refer e. Emissions from mobile sources also have
to current EPA policy and guidance to estab- physical and temporal characteristics that
lish input data. Consultation with the appro- should be appropriately accounted. For ex-
priate reviewing authority (paragraph 3.0(b)) ample, an appropriate emissions model shall
is advisable on the establishment of the ap- be used to determine emissions profiles.
propriate emissions inputs for regulatory Such emissions should include speciation
modeling applications with respect to PSD specific for the vehicle types used on the
assessments for a proposed new or modifying roadway (e.g., light duty and heavy duty
source. trucks), and subsequent parameterizations of
d. For stationary source applications, the physical emissions characteristics (e.g.,
changes in operating conditions that affect release height) should reflect those emis-
the physical emission parameters (e.g., re- sions sources. For long-term standards, an-
lease height, initial plume volume, and exit nual average emissions may be appropriate,
velocity) shall be considered to ensure that but for short-term standards, discrete tem-
maximum potential impacts are appro- poral representation of emissions should be
priately determined in the assessment. For used (e.g., variations in weekday and week-
example, the load or operating condition for end traffic or the diurnal rush-hour profile
point sources that causes maximum ground- typical of many cities). Detailed information
level concentrations shall be established. As and data requirements for modeling mobile
a minimum, the source should be modeled sources of pollution are provided in the
using the design capacity (100 percent load). user’s manuals for each of the models appli-
If a source operates at greater than design cable to mobile sources.61 63
625
626
ER17JA17.001</GPH>
8.3 Background Concentrations accounted for by explicitly modeling their

emissions (section 8.2).
8.3.1 Discussion ii. Other sources: That portion of the back-
ground attributable to natural sources, other
a. Background concentrations are essential
unidentified sources in the vicinity of the
in constructing the design concentration, or project, and regional transport contributions
total air quality concentration, as part of a from more distant sources (domestic and
cumulative impact analysis for NAAQS and international). The ambient contributions
PSD increments (section 9.2.3). Background from these sources are typically accounted
air quality should not include the ambient for through use of ambient monitoring data
impacts of the project source under consider- or, in some cases, regional-scale photo-
ation. Instead, it should include: chemical grid modeling results.
i. Nearby sources: These are individual b. The monitoring network used for devel-
sources located in the vicinity of the oping background concentrations is expected
source(s) under consideration for emissions to conform to the same quality assurance
limits that are not adequately represented and other requirements as those networks
by ambient monitoring data. Typically, established for PSD purposes.91 Accordingly,
sources that cause a significant concentra- the air quality monitoring data should be of
sufficient completeness and follow appro-
tion gradient in the vicinity of the source(s)
priate data validation procedures. These
under consideration for emissions limits are
data should be adequately representative of
not adequately represented by background
the area to inform calculation of the design
ambient monitoring. The ambient contribu- concentration for comparison to the applica-
tions from these nearby sources are thereby ble NAAQS (section 9.2.2).
627
ER17JA17.002</GPH>
c. For photochemical grid modeling con- itor-based background contribution to the
ducted in SIP attainment demonstrations for modeled impact of the project and other
ozone, PM2.5 and regional haze, the emissions nearby sources. For many cases, the best
from nearby and other sources are included starting point would be use of the current
as model inputs and fully accounted for in design value for the applicable NAAQS as a
the modeling application and predicted con- uniform monitored background contribution
centrations. The concept of adding indi- across the project area. However, there are
vidual components to develop a design con- cases in which the current design value may
centration, therefore, do not apply in these not be appropriate. Such cases include but
SIP applications. However, such modeling are not limited to:
results may then be appropriate for consider- i. For situations involving a modifying
ation in characterizing background con- source where the existing facility is deter-
centrations for other regulatory applica- mined to impact the ambient monitor, the
tions. Also, as noted in section 5, this mod- background concentration at each monitor
eling approach does provide for an appro- can be determined by excluding values when
priate atmospheric environment to assess the source in question is impacting the mon-
single-source impacts for ozone and sec- itor. In such cases, monitoring sites inside a
ondary PM2.5. 90° sector downwind of the source may be
d. For NAAQS assessments and SIP attain- used to determine the area of impact.
ment demonstrations for inert pollutants, ii. There may be other circumstances
the development of the appropriate back- which would necessitate modifications to the
ground concentration for a cumulative im- ambient data record. Such cases could in-
pact analysis involves proper accounting of clude removal of data from specific days or
each contribution to the design concentra- hours when a monitor is being impacted by
tion and will depend upon whether the activities that are not typical or not ex-
project area’s situation consists of either an pected to occur again in the future (e.g., con-
isolated single source(s) or a multitude of struction, roadway repairs, forest fires, or
sources. For PSD increment assessments, all unusual agricultural activities). There may
impacts after the appropriate baseline dates also be cases where it may be appropriate to
(i.e., trigger date, major source baseline date, scale (multiplying the monitored concentra-
and minor source baseline date) from all in- tions with a scaling factor) or adjust (adding
crement-consuming and increment-expand- or subtracting a constant value the mon-
ing sources should be considered in the de- itored concentrations) data from specific
sign concentration (section 9.2.2). days or hours. Such adjustments would make
the monitored background concentrations
8.3.2 Recommendations for Isolated Single more temporally and/or spatially representa-
Sources tive of the area around the new or modifying
a. In areas with an isolated source(s), de- source for the purposes of the regulatory as-
termining the appropriate background con- sessment.
centration should focus on characterization iii. For short-term standards, the diurnal
of contributions from all other sources or seasonal patterns of the air quality moni-
through adequately representative ambient toring data may differ significantly from the
monitoring data. patterns associated with the modeled con-
b. The EPA recommends use of the most centrations. When this occurs, it may be ap-
recent quality assured air quality moni- propriate to pair the air quality monitoring
toring data collected in the vicinity of the data in a temporal manner that reflects
source to determine the background con- these patterns (e.g., pairing by season and/or
centration for the averaging times of con- hour of day).92
cern. In most cases, the EPA recommends iv. For situations where monitored air
using data from the monitor closest to and quality concentrations vary across the mod-
upwind of the project area. If several mon- eling domain, it may be appropriate to con-
itors are available, preference should be sider air quality monitoring data from mul-
given to the monitor with characteristics tiple monitors within the project area.
that are most similar to the project area. If d. Determination of the appropriate back-
there are no monitors located in the vicinity ground concentrations should be consistent
of the new or modifying source, a ‘‘regional with appropriate EPA modeling guidance 59 60
site’’ may be used to determine background and justified in the modeling protocol that is
concentrations. A regional site is one that is vetted with the appropriate reviewing au-
located away from the area of interest but is thority (paragraph 3.0(b)).
impacted by similar or adequately represent- e. Considering the spatial and temporal
ative sources. variability throughout a typical modeling
c. Many of the challenges related to cumu- domain on an hourly basis and the complex-
lative impact analyses arise in the context of ities and limitations of hourly observations
defining the appropriate metric to charac- from the ambient monitoring network, the
terize background concentrations from am- EPA does not recommend hourly or daily
bient monitoring data and determining the pairing of monitored background and mod-
appropriate method for combining this mon- eled concentrations except in rare cases of
628
relatively isolated sources where the avail- hourly averages. The spatial distribution of
able monitor can be shown to be representa- annual impacts around a source will often
tive of the ambient concentration levels in have a single peak downwind of the source
the areas of maximum impact from the pro- based on the prevailing wind direction, ex-
posed new source. The implicit assumption cept in cases where terrain or other geo-
underlying hourly pairing is that the back- graphic effects are important. By contrast,
ground monitored levels for each hour are the spatial distribution of peak short-term
spatially uniform and that the monitored impacts will typically show several localized
values are fully representative of back- concentration peaks with more significant
ground levels at each receptor for each hour. gradient.
Such an assumption clearly ignores the ii. Concentration gradients associated with
many factors that contribute to the tem- a particular source will generally be largest
poral and spatial variability of ambient con- between that source’s location and the dis-
centrations across a typical modeling do- tance to the maximum ground-level con-
main on an hourly basis. In most cases, the centrations from that source. Beyond the
seasonal (or quarterly) pairing of monitored maximum impact distance, concentration
and modeled concentrations should suffi- gradients will generally be much smaller and
ciently address situations to which the im- more spatially uniform. Thus, the magnitude
pacts from modeled emissions are not tem- of a concentration gradient will be greatest
porally correlated with background monin the proximity of the source and will gen-
itored levels. erally not be significant at distances greater
f. In those cases where adequately rep- than 10 times the height of the stack(s) at
resentative monitoring data to characterize that source without consideration of terrain
background concentrations are not avail- influences.
able, it may be appropriate to use results
iii. The number of nearby sources to be ex-
from a regional-scale photochemical grid
plicitly modeled in the air quality analysis
model, or other representative model appli-
is expected to be few except in unusual situa-
cation, as background concentrations con-
sistent with the considerations discussed tions. In most cases, the few nearby sources
above and in consultation with the appro- will be located within the first 10 to 20 km
priate reviewing authority (paragraph 3.0(b)). from the source(s) under consideration.
Owing to both the uniqueness of each mod-
8.3.3 Recommendations for Multi-Source eling situation and the large number of vari-
Areas ables involved in identifying nearby sources,
no attempt is made here to comprehensively
a. In multi-source areas, determining the define a ‘‘significant concentration gra-
appropriate background concentration in- dient.’’ Rather, identification of nearby
volves: (1) Identification and characteriza- sources calls for the exercise of professional
tion of contributions from nearby sources
judgment by the appropriate reviewing au-
through explicit modeling, and (2) character-
thority (paragraph 3.0(b)). This guidance is
ization of contributions from other sources
not intended to alter the exercise of that
through adequately representative ambient
judgment or to comprehensively prescribe
monitoring data. A key point here is the
which sources should be included as nearby
interconnectedness of each component in
sources.
that the question of which nearby sources to
include in the cumulative modeling is inex- c. For cumulative impact analyses of
tricably linked to the question of what the short-term and annual ambient standards,
ambient monitoring data represents within the nearby sources as well as the project
the project area. source(s) must be evaluated using an appro-
b. Nearby sources: All sources in the vicin- priate appendix A model or approved alter-
ity of the source(s) under consideration for native model with the emission input data
emissions limits that are not adequately rep- shown in Table 8–1 or 8–2.
resented by ambient monitoring data should i. When modeling a nearby source that
be explicitly modeled. Since an ambient does not have a permit and the emissions
monitor is limited to characterizing air limits contained in the SIP for a particular
quality at a fixed location, sources that source category is greater than the emis-
cause a significant concentration gradient in sions possible given the source’s maximum
the vicinity of the source(s) under consider- physical capacity to emit, the ‘‘maximum al-
ation for emissions limits are not likely to lowable emissions limit’’ for such a nearby
be adequately characterized by the mon- source may be calculated as the emissions
itored data due to the high degree of varia- rate representative of the nearby source’s
bility of the source’s impact. maximum physical capacity to emit, consid-
i. The pattern of concentration gradients ering its design specifications and allowable
can vary significantly based on the aver- fuels and process materials. However, the
aging period being assessed. In general, con- burden is on the permit applicant to suffi-
centration gradients will be smaller and ciently document what the maximum phys-
more spatially uniform for annual averages ical capacity to emit is for such a nearby
than for short-term averages, especially for source.
629
ii. It is appropriate to model nearby teorological monitoring site to the area
sources only during those times when they, under consideration; (2) the complexity of
by their nature, operate at the same time as the terrain; (3) the exposure of the meteoro-
the primary source(s) or could have impact logical monitoring site; and (4) the period of
on the averaging period of concern. Accord- time during which data are collected. The
ingly, it is not necessary to model impacts of spatial representativeness of the data can be
a nearby source that does not, by its nature, adversely affected by large distances be-
operate at the same time as the primary tween the source and receptors of interest
source or could have impact on the aver- and the complex topographic characteristics
aging period of concern, regardless of an of the area. Temporal representativeness is a
identified significant concentration gradient function of the year-to-year variations in
from the nearby source. The burden is on the weather conditions. Where appropriate, data
permit applicant to adequately justify the representativeness should be viewed in terms
exclusion of nearby sources to the satisfac- of the appropriateness of the data for con-
tion of the appropriate reviewing authority structing realistic boundary layer profiles
(paragraph 3.0(b)). The following examples il- and, where applicable, three-dimensional me-
lustrate two cases in which a nearby source teorological fields, as described in para-
may be shown not to operate at the same graphs (c) and (d) of this subsection.
time as the primary source(s) being modeled: c. The meteorological data should be ade-
(1) Seasonal sources (only used during cer- quately representative and may be site-spe-
tain seasons of the year). Such sources would cific data, data from a nearby National
not be modeled as nearby sources during Weather Service (NWS) or comparable sta-
times in which they do not operate; and (2) tion, or prognostic meteorological data. The
Emergency backup generators, to the extent implementation of NWS Automated Surface
that they do not operate simultaneously Observing Stations (ASOS) in the early 1990’s
with the sources that they back up. Such should not preclude the use of NWS ASOS
emergency equipment would not be modeled data if such a station is determined to be
as nearby sources. representative of the modeled area.93
d. Other sources. That portion of the back- d. Model input data are normally obtained
ground attributable to all other sources (e.g.,
either from the NWS or as part of a site-spe-
natural sources, minor and distant major
cific measurement program. State clima-
sources) should be accounted for through use
tology offices, local universities, FAA, mili-
of ambient monitoring data and determined
tary stations, industry, and pollution con-
by the procedures found in section 8.3.2 in
trol agencies may also be sources of such
keeping with eliminating or reducing the
data. In specific cases, prognostic meteoro-
source-oriented impacts from nearby sources
logical data may be appropriate for use and
to avoid potential double-counting of mod-
obtained from similar sources. Some rec-
eled and monitored contributions.
ommendations and requirements for the use
8.4 Meteorological Input Data of each type of data are included in this sub-
section.
8.4.1 Discussion
8.4.2 Recommendations and Requirements
a. This subsection covers meteorological
input data for use in dispersion modeling for a. AERMET 94 shall be used to preprocess
regulatory applications and is separate from all meteorological data, be it observed or
recommendations made for photochemical prognostic, for use with AERMOD in regu-
grid modeling. Recommendations for mete- latory applications. The AERMINUTE 95
orological data for photochemical grid mod- processor, in most cases, should be used to
eling applications are outlined in the latest process 1-minute ASOS wind data for input
version of EPA’s Modeling Guidance for Dem- to AERMET when processing NWS ASOS
onstrating Attainment of Air Quality Goals for sites in AERMET. When processing prog-
Ozone, PM2.5, and Regional Haze.60 In cases nostic meteorological data for AERMOD, the
where Lagrangian models are applied for reg- Mesoscale Model Interface Program
ulatory purposes, appropriate meteorological (MMIF) 103 should be used to process data for
inputs should be determined in consultation input to AERMET. Other methods of proc-
with the appropriate reviewing authority essing prognostic meteorological data for
(paragraph 3.0(b)). input to AERMET should be approved by the
b. The meteorological data used as input to appropriate reviewing authority. Addition-
a dispersion model should be selected on the ally, the following meteorological
basis of spatial and climatological (tem- preprocessors are recommended by the EPA:
poral) representativeness as well as the abil- PCRAMMET,96 MPRM,97 and METPRO.98
ity of the individual parameters selected to PCRAMMET is the recommended meteoro-
characterize the transport and dispersion logical data preprocessor for use in applica-
conditions in the area of concern. The rep- tions of OCD employing hourly NWS data.
resentativeness of the measured data is de- MPRM is the recommended meteorological
pendent on numerous factors including, but data preprocessor for applications of OCD
not limited to: (1) The proximity of the me- employing site-specific meteorological data.
630
METPRO is the recommended meteorolog- essed through PCRAMMET 96 or MPRM,97
ical data preprocessor for use with that provides hourly stability class, wind di-
CTDMPLUS.99 rection and speed, ambient temperature, and
b. Regulatory application of AERMOD ne- mixing height, are required. Data over water
cessitates careful consideration of the mete- requires hourly mixing height, relative hu-
orological data for input to AERMET. Data midity, air temperature, and water surface
representativeness, in the case of AERMOD, temperature. Missing winds are substituted
means utilizing data of an appropriate type with the surface winds. Vertical wind direc-
for constructing realistic boundary layer tion shear, vertical temperature gradient,
profiles. Of particular importance is the re- and turbulence intensities are optional.
quirement that all meteorological data used
e. The model user should acquire enough
as input to AERMOD should be adequately
meteorological data to ensure that worst-
representative of the transport and disper-
case meteorological conditions are ade-
sion within the analysis domain. Where sur-
face conditions vary significantly over the quately represented in the model results.
analysis domain, the emphasis in assessing The use of 5 years of adequately representa-
representativeness should be given to ade- tive NWS or comparable meteorological
quate characterization of transport and dis- data, at least 1 year of site-specific, or at
persion between the source(s) of concern and least 3 years of prognostic meteorological
areas where maximum design concentrations data, are required. If 1 year or more, up to 5
are anticipated to occur. The EPA rec- years, of site-specific data are available,
ommends that the surface characteristics these data are preferred for use in air quality
input to AERMET should be representative analyses. Depending on completeness of the
of the land cover in the vicinity of the mete- data record, consecutive years of NWS, site-
orological data, i.e., the location of the mete- specific, or prognostic data are preferred.
orological tower for measured data or the Such data must be subjected to quality as-
representative grid cell for prognostic data. surance procedures as described in section
Therefore, the model user should apply the 8.4.4.2.
latest version AERSURFACE,100 101 where ap- f. Objective analysis in meteorological
plicable, for determining surface characteris- modeling is to improve meteorological anal-
tics when processing measured meteorolog- yses (the ‘‘first guess field’’) used as initial
ical data through AERMET. In areas where conditions for prognostic meteorological
it is not possible to use AERSURFACE out- models by incorporating information from
put, surface characteristics can be deter- meteorological observations. Direct and in-
mined using techniques that apply the same direct (using remote sensing techniques) ob-
analysis as AERSURFACE. In the case of servations of temperature, humidity, and
prognostic meteorological data, the surface wind from surface and radiosonde reports are
characteristics associated with the prog- commonly employed to improve these anal-
nostic meteorological model output for the ysis fields. For long-range transport applica-
representative grid cell should be used.102 103 tions, it is recommended that objective anal-
Furthermore, since the spatial scope of each ysis procedures, using direct and indirect
variable could be different, representative- meteorological observations, be employed in
ness should be judged for each variable sepa- preparing input fields to produce prognostic
rately. For example, for a variable such as meteorological datasets. The length of
wind direction, the data should ideally be record of observations should conform to rec-
collected near plume height to be adequately
ommendations outlined in paragraph 8.4.2(e)
representative, especially for sources located
for prognostic meteorological model
in complex terrain. Whereas, for a variable
datasets.
such as temperature, data from a station
several kilometers away from the source 8.4.3 National Weather Service Data
may be considered to be adequately rep-
resentative. More information about mete- 8.4.3.1 Discussion
orological data, representativeness, and sur-
face characteristics can be found in the a. The NWS meteorological data are rou-
AERMOD Implementation Guide.76 tinely available and familiar to most model
c. Regulatory application of CTDMPLUS users. Although the NWS does not provide
requires the input of multi-level measure- direct measurements of all the needed dis-
ments of wind speed, direction, temperature, persion model input variables, methods have
and turbulence from an appropriately sited been developed and successfully used to
meteorological tower. The measurements translate the basic NWS data to the needed
should be obtained up to the representative model input. Site-specific measurements of
plume height(s) of interest. Plume heights of model input parameters have been made for
interest can be determined by use of screen- many modeling studies, and those methods
ing procedures such as CTSCREEN. and techniques are becoming more widely
d. Regulatory application of OCD requires applied, especially in situations such as com-
meteorological data over land and over plex terrain applications, where available
water. The over land or surface data, proc- NWS data are not adequately representative.
631
However, there are many modeling applica- rection when processing NWS ASOS data for
tions where NWS data are adequately rep- input to AERMOD.93
resentative and the applications still rely e. Data from universities, FAA, military
heavily on the NWS data. stations, industry and pollution control
b. Many models use the standard hourly agencies may be used if such data are equiva-
weather observations available from the Na- lent in accuracy and detail (e.g., siting cri-
tional Centers for Environmental Informa- teria, frequency of observations, data com-
tion (NCEI).b These observations are then pleteness, etc.) to the NWS data, they are
preprocessed before they can be used in the judged to be adequately representative for
models. Prior to the advent of ASOS in the the particular application, and have under-
early 1990’s, the standard ‘‘hourly’’ weather gone quality assurance checks.
observation was a human-based observation f. After valid data retrieval requirements
reflecting a single 2-minute average gen- have been met,107 large number of hours in
erally taken about 10 minutes before the the record having missing data should be
hour. However, beginning in January 2000 for treated according to an established data sub-
first-order stations and in March 2005 for all stitution protocol provided that adequately
stations, the NCEI has archived the 1-minute representative alternative data are avail-
ASOS wind data (i.e., the rolling 2-minute able. Data substitution guidance is provided
average winds) for the NWS ASOS sites. The in section 5.3 of reference.107 If no representa-
AERMINUTE processor 95 was developed to tive alternative data are available for substi-
reduce the number of calm and missing tution, the absent data should be coded as
hours in AERMET processing by sub- missing using missing data codes appropriate
stituting standard hourly observations with to the applicable meteorological pre-proc-
full hourly average winds calculated from 1- essor. Appropriate model options for treating
minute ASOS wind data. missing data, if available in the model,
should be employed.
8.4.3.2 Recommendations
8.4.4 Site-Specific Data
a. The preferred models listed in appendix
A all accept, as input, the NWS meteorolog- 8.4.4.1 Discussion
ical data preprocessed into model compatible
form. If NWS data are judged to be ade- a. Spatial or geographical representative-
ness is best achieved by collection of all of
quately representative for a specific mod-
the needed model input data in close prox-
eling application, they may be used. The
imity to the actual site of the source(s).
NCEI makes available surface 104 105 and
Site-specific measured data are, therefore,
upper air 106 meteorological data online and
preferred as model input, provided that ap-
in CD–ROM format. Upper air data are also
propriate instrumentation and quality assur-
available at the Earth System Research Lab-
ance procedures are followed, and that the
oratory Global Systems Divisions Web site
data collected are adequately representative
(http://esrl.noaa.gov/gsd).
(free from inappropriate local or microscale
b. Although most NWS wind measurements
influences) and compatible with the input re-
are made at a standard height of 10 m, the
quirements of the model to be used. It should
actual anemometer height should be used as
be noted that, while site-specific measure-
input to the preferred meteorological proc-
ments are frequently made ‘‘on-property’’
essor and model. (i.e., on the source’s premises), acquisition of
c. Standard hourly NWS wind directions
adequately representative site-specific data
are reported to the nearest 10 degrees. Due to does not preclude collection of data from a
the coarse resolution of these data, a specific location off property. Conversely, collection
set of randomly generated numbers has been of meteorological data on a source’s property
developed by the EPA and should be used does not of itself guarantee adequate rep-
when processing standard hourly NWS data resentativeness. For help in determining rep-
for use in the preferred EPA models to en- resentativeness of site-specific measure-
sure a lack of bias in wind direction assign- ments, technical guidance 107 is available.
ments within the models. Site-specific data should always be reviewed
d. Beginning with year 2000, NCEI began for representativeness and adequacy by an
archiving 2-minute winds, reported every experienced meteorologist, atmospheric sci-
minute to the nearest degree for NWS ASOS entist, or other qualified scientist in con-
sites. The AERMINUTE processor was devel- sultation with the appropriate reviewing au-
oped to read those winds and calculate hour- thority (paragraph 3.0(b)).
ly average winds for input to AERMET.
When such data are available for the NWS 8.4.4.2 Recommendations
ASOS site being processed, the AERMINUTE
a. The EPA guidance 107 provides rec-
processor should be used, in most cases, to
ommendations on the collection and use of
calculate hourly average wind speed and di-
site-specific meteorological data. Rec-
ommendations on characteristics, siting, and
b Formerly the National Climatic Data exposure of meteorological instruments and
Center (NCDC). on data recording, processing, completeness
632
requirements, reporting, and archiving are measurements are used, AERMOD, at a min-
also included. This publication should be imum, requires wind observations at a
used as a supplement to other limited guid- height above ground between seven times the
ance on these subjects.5 91 108 109 Detailed in- local surface roughness height and 100 m.
formation on quality assurance is also avail- (For additional requirements for AERMOD
able.110 As a minimum, site-specific measure- and CTDMPLUS, see appendix A.) Specifica-
ments of ambient air temperature, transport tions for wind measuring instruments and
wind speed and direction, and the variables systems are contained in reference 107.
necessary to estimate atmospheric disper- b. All processed site-specific data should be
sion should be available in meteorological in the form of hourly averages for input to
datasets to be used in modeling. Care should the dispersion model.
be taken to ensure that meteorological in- i. Turbulence data. There are several disper-
struments are located to provide an ade- sion models that are capable of using direct
quately representative characterization of measurements of turbulence (wind fluctua-
pollutant transport between sources and re- tions) in the characterization of the vertical
ceptors of interest. The appropriate review- and lateral dispersion (e.g., CTDMPLUS or
ing authority (paragraph 3.0(b)) is available AERMOD). When turbulence data are used to
to help determine the appropriateness of the directly characterize the vertical and lateral
measurement locations. dispersion, the averaging time for the turbu-
i. Solar radiation measurements. Total solar lence measurements should be 1 hour. For
radiation or net radiation should be meas- technical guidance on processing of turbu-
ured with a reliable pyranometer or net radi- lence parameters for use in dispersion mod-
ometer sited and operated in accordance eling, refer to the user’s guide to the mete-
with established site-specific meteorological orological processor for each model (see sec-
guidance.107 110 tion 8.4.2(a)).
ii. Temperature measurements. Temperature ii. Stability categories. For dispersion mod-
measurements should be made at standard els that employ P–G stability categories for
shelter height (2m) in accordance with estab- the characterization of the vertical and lat-
lished site-specific meteorological guid- eral dispersion, the P–G stability categories,
ance.107 as originally defined, couple near-surface
iii. Temperature difference measurements. measurements of wind speed with subjec-
Temperature difference (DT) measurements tively determined insolation assessments
should be obtained using matched thermom- based on hourly cloud cover and ceiling
eters or a reliable thermocouple system to height observations. The wind speed meas-
achieve adequate accuracy. Siting, probe urements are made at or near 10 m. The inso-
placement, and operation of DT systems lation rate is typically assessed using obser-
should be based on guidance found in Chap- vations of cloud cover and ceiling height
ter 3 of reference 107 and such guidance based on criteria outlined by Turner.72 It is
should be followed when obtaining vertical recommended that the P–G stability cat-
temperature gradient data. AERMET may egory be estimated using the Turner method
employ the Bulk Richardson scheme, which with site-specific wind speed measured at or
requires measurements of temperature dif- near 10 m and representative cloud cover and
ference, in lieu of cloud cover or insolation ceiling height. Implementation of the Turner
data. To ensure correct application and ac- method, as well as considerations in deter-
ceptance, AERMOD users should consult mining representativeness of cloud cover and
with the appropriate reviewing authority ceiling height in cases for which site-specific
(paragraph 3.0(b)) before using the Bulk cloud observations are unavailable, may be
Richardson scheme for their analysis. found in section 6 of reference 107. In the ab-
iv. Wind measurements. For simulation of sence of requisite data to implement the
plume rise and dispersion of a plume emitted Turner method, the solar radiation/delta-T
from a stack, characterization of the wind (SRDT) method or wind fluctuation statis-
profile up through the layer in which the tics (i.e., the sE and sA methods) may be
plume disperses is desirable. This is espe- used.
cially important in complex terrain and/or iii. The SRDT method, described in section
complex wind situations where wind meas- 6.4.4.2 of reference 107, is modified slightly
urements at heights up to hundreds of me- from that published from earlier work111 and
ters above stack base may be required in has been evaluated with three site-specific
some circumstances. For tall stacks when databases.112 The two methods of stability
site-specific data are needed, these winds classification that use wind fluctuation sta-
have been obtained traditionally using mete- tistics, the sE and sA methods, are also de-
orological sensors mounted on tall towers. A scribed in detail in section 6.4.4 of reference
feasible alternative to tall towers is the use 107 (note applicable tables in section 6). For
of meteorological remote sensing instru- additional information on the wind fluctua-
ments (e.g., acoustic sounders or radar wind tion methods, several references are avail-
profilers) to provide winds aloft, coupled able.113 114 115 116
with 10-meter towers to provide the near-sur- c. Missing data substitution. After valid data
face winds. Note that when site-specific wind retrieval requirements have been met,107
633
hours in the record having missing data completed.60 The use of output from prog-
should be treated according to an established nostic mesoscale meteorological models is
data substitution protocol provided that ade- contingent upon the concurrence with the
quately representative alternative data are appropriate reviewing authority (paragraph
available. Such protocols are usually part of 3.0(b)) that the data are of acceptable qual-
the approved monitoring program plan. Data ity, which can be demonstrated through sta-
substitution guidance is provided in section tistical comparisons with meteorological ob-
5.3 of reference 107. If no representative al- servations aloft and at the surface at several
ternative data are available for substitution, appropriate locations.60
the absent data should be coded as missing, b. Representativeness. When processing
using missing data codes appropriate to the MMIF data for use with AERMOD, the grid
applicable meteorological pre-processor. Ap- cell used for the dispersion modeling should
propriate model options for treating missing be adequately spatially representative of the
data, if available in the model, should be em- analysis domain. In most cases, this may be
ployed. the grid cell containing the emission source
of interest. Since the dispersion modeling
8.4.5 Prognostic Meteorological Data may involve multiple sources and the do-
main may cover several grid cells, depending
8.4.5.1 Discussion
on grid resolution of the prognostic model,
a. For some modeling applications, there professional judgment may be needed to se-
may not be a representative NWS or com- lect the appropriate grid cell to use. In such
parable meteorological station available cases, the selected grid cells should be ade-
(e.g., complex terrain), and it may be cost quately representative of the entire domain.
prohibitive or infeasible to collect ade- c. Grid resolution. The grid resolution of the
quately representative site-specific data. For prognostic meteorological data should be
these cases, it may be appropriate to use considered and evaluated appropriately, par-
prognostic meteorological data, if deemed ticularly for projects involving complex ter-
adequately representative, in a regulatory rain. The operational evaluation of the mod-
modeling application. However, if prognostic eling data should consider whether a finer
meteorological data are not representative grid resolution is needed to ensure that the
of transport and dispersion conditions in the data are representative. The use of output
area of concern, the collection of site-spe- from prognostic mesoscale meteorological
cific data is necessary. models is contingent upon the concurrence
b. The EPA has developed a processor, the with the appropriate reviewing authority
MMIF,102 to process MM5 (Mesoscale Model (paragraph 3.0(b)) that the data are of ac-
5) or WRF (Weather Research and Fore- ceptable quality.
casting) model data for input to various
models including AERMOD. MMIF can proc- 8.4.6 Treatment of Near-Calms and Calms
ess data for input to AERMET or AERMOD
for a single grid cell or multiple grid cells. 8.4.6.1 Discussion
MMIF output has been found to compare fa- a. Treatment of calm or light and variable
vorably against observed data (site-specific wind poses a special problem in modeling ap-
or NWS).117 Specific guidance on processing plications since steady-state Gaussian plume
MMIF for AERMOD can be found in ref- models assume that concentration is in-
erence 103. When using MMIF to process versely proportional to wind speed, depend-
prognostic data for regulatory applications, ing on model formulations. Procedures have
the data should be processed to generate been developed to prevent the occurrence of
AERMET inputs and the data subsequently overly conservative concentration estimates
processed through AERMET for input to during periods of calms. These procedures ac-
AERMOD. If an alternative method of proc- knowledge that a steady-state Gaussian
essing data for input to AERMET is used, it plume model does not apply during calm
must be approved by the appropriate review- conditions, and that our knowledge of wind
ing authority (paragraph 3.0(b)). patterns and plume behavior during these
conditions does not, at present, permit the
development of a better technique. There-
a. Prognostic model evaluation. Appropriate fore, the procedures disregard hours that are
effort by the applicant should be devoted to identified as calm. The hour is treated as
the process of evaluating the prognostic me- missing and a convention for handling miss-
teorological data. The modeling data should ing hours is recommended. With the advent
be compared to NWS observational data or of the AERMINUTE processor, when proc-
other comparable data in an effort to show essing NWS ASOS data, the inclusion of
that the data are adequately replicating the hourly averaged winds from AERMINUTE
observed meteorological conditions of the will, in some instances, dramatically reduce
time periods modeled. An operational eval- the number of calm and missing hours, espe-
uation of the modeling data for all model cially when the ASOS wind are derived from
years (i.e., statistical, graphical) should be a sonic anemometer. To alleviate concerns
634
about these issues, especially those intro- long averaging periods. The standard steady-
duced with AERMINUTE, the EPA imple- state Gaussian plume models are often not
mented a wind speed threshold in AERMET applicable to such situations. When stagna-
for use with ASOS derived winds.93 94 Winds tion conditions are of concern, other mod-
below the threshold will be treated as calms. eling techniques should be considered on a
b. AERMOD, while fundamentally a case-by-case basis (see also section 7.2.1.2).
steady-state Gaussian plume model, contains c. When used in steady-state Gaussian
algorithms for dealing with low wind speed plume models other than AERMOD, meas-
(near calm) conditions. As a result, ured site-specific wind speeds of less than 1
AERMOD can produce model estimates for
m/s but higher than the response threshold
conditions when the wind speed may be less
of the instrument should be input as 1 m/s;
than 1m/s, but still greater than the instru-
ment threshold. Required input to AERMET the corresponding wind direction should also
for site-specific data, the meteorological be input. Wind observations below the re-
processor for AERMOD, includes a threshold sponse threshold of the instrument should be
wind speed and a reference wind speed. The set to zero, with the input file in ASCII for-
threshold wind speed is the greater of the mat. For input to AERMOD, no such adjust-
threshold of the instrument used to collect ment should be made to the site-specific
the wind speed data or wind direction sen- wind data, as AERMOD has algorithms to ac-
sor.107 The reference wind speed is selected count for light or variable winds as discussed
by the model as the lowest level of non-miss- in section 8.4.6.1(a). For NWS ASOS data, es-
ing wind speed and direction data where the pecially data using the 1-minute ASOS
speed is greater than the wind speed thresh- winds, a wind speed threshold option is al-
old, and the height of the measurement is be- lowed with a recommended speed of 0.5 m/s.93
tween seven times the local surface rough- When using prognostic data processed by
ness length and 100 m. If the only valid ob- MMIF, a 0.5 m/s threshold is also invoked by
servation of the reference wind speed be- MMIF for input to AERMET. Observations
tween these heights is less than the thresh- with wind speeds less than the threshold are
old, the hour is considered calm, and no con- considered calm, and no concentration is cal-
centration is calculated. None of the ob- culated. In all cases involving steady-state
served wind speeds in a measured wind pro-
Gaussian plume models, calm hours should
file that are less than the threshold speed
be treated as missing, and concentrations
are used in construction of the modeled wind
should be calculated as in paragraph (a) of
speed profile in AERMOD.
this subsection.
9.0 REGULATORY APPLICATION OF MODELS
a. Hourly concentrations calculated with
steady-state Gaussian plume models using 9.1 Discussion
calms should not be considered valid; the
wind and concentration estimates for these a. Standardized procedures are valuable in
hours should be disregarded and considered the review of air quality modeling and data
to be missing. Model predicted concentra- analyses conducted to support SIP submit-
tions for 3-, 8-, and 24-hour averages should tals and revisions, NSR, or other EPA re-
be calculated by dividing the sum of the quirements to ensure consistency in their
hourly concentrations for the period by the regulatory application. This section rec-
number of valid or non-missing hours. If the ommends procedures specific to NSR that fa-
total number of valid hours is less than 18 cilitate some degree of standardization while
for 24-hour averages, less than 6 for 8-hour at the same time allowing the flexibility
averages, or less than 3 for 3-hour averages, needed to assure the technically best anal-
the total concentration should be divided by ysis for each regulatory application. For SIP
18 for the 24-hour average, 6 for the 8-hour attainment demonstrations, refer to the ap-
average, and 3 for the 3-hour average. For propriate EPA guidance 51 60 for the rec-
annual averages, the sum of all valid hourly ommended procedures.
concentrations is divided by the number of b. Air quality model estimates, especially
non-calm hours during the year. AERMOD with the support of measured air quality
has been coded to implement these instruc-
data, are the preferred basis for air quality
tions. For hours that are calm or missing,
demonstrations. A number of actions have
the AERMOD hourly concentrations will be
been taken to ensure that the best air qual-
zero. For other models listed in appendix A,
a post-processor computer program, ity model is used correctly for each regu-
CALMPRO 118 has been prepared, is available latory application and that it is not arbi-
on the EPA’s SCRAM Web site (section 2.3), trarily imposed.
and should be used. • First, the Guideline clearly recommends
b. Stagnant conditions that include ex- that the most appropriate model be used in
tended periods of calms often produce high each case. Preferred models are identified,
concentrations over wide areas for relatively based on a number of factors, for many uses.
635
• Second, the preferred models have been PSD permitting, and particularly for esti-
subjected to a systematic performance eval- mating design concentration(s), appro-
uation and a scientific peer review. Statis- priately comparing these estimates to
tical performance measures, including meas- NAAQS and PSD increments, and developing
ures of difference (or residuals) such as bias, emissions limits. This section also provides
variance of difference and gross variability the criteria necessary for considering use of
of the difference, and measures of correla- an analysis based on measured ambient data
tion such as time, space, and time and space in lieu of modeling as the sole basis for dem-
combined, as described in section 2.1.1, were onstrating compliance with NAAQS and PSD
generally followed. increments.
• Third, more specific information has
been provided for considering the incorpora- 9.2 Recommendations
tion of new models into the Guideline (sec-
9.2.1 Modeling Protocol
tion 3.1), and the Guideline contains proce-
dures for justifying the case-by-case use of a. Every effort should be made by the ap-
alternative models and obtaining EPA appropriate reviewing authority (paragraph
proval (section 3.2). 3.0(b)) to meet with all parties involved in ei-
c. Air quality modeling is the preferred ther a SIP submission or revision or a PSD
basis for air quality demonstrations. Never- permit application prior to the start of any
theless, there are rare circumstances where work on such a project. During this meeting,
the performance of the preferred air quality a protocol should be established between the
model may be shown to be less than reason- preparing and reviewing parties to define the
ably acceptable or where no preferred air procedures to be followed, the data to be col-
quality model, screening model or technique, lected, the model to be used, and the anal-
or alternative model are suitable for the sit- ysis of the source and concentration data to
uation. In these unique instances, there is be performed. An example of the content for
the possibility of assuring compliance and such an effort is contained in the Air Quality
establishing emissions limits for an existing Analysis Checklist posted on the EPA’s
source solely on the basis of observed air SCRAM Web site (section 2.3). This checklist
quality data in lieu of an air quality mod- suggests the appropriate level of detail to as-
eling analysis. Comprehensive air quality sess the air quality resulting from the pro-
monitoring in the vicinity of the existing posed action. Special cases may require addi-
source with proposed modifications will be tional data collection or analysis and this
necessary in these cases. The same attention should be determined and agreed upon at the
should be given to the detailed analyses of pre-application meeting. The protocol should
the air quality data as would be applied to a be written and agreed upon by the parties
model performance evaluation. concerned, although it is not intended that
d. The current levels and forms of the this protocol be a binding, formal legal docu-
NAAQS for the six criteria pollutants can be ment. Changes in such a protocol or devi-
found on the EPA’s NAAQS Web site at ations from the protocol are often necessary
https://www.epa.gov/criteria-air-pollutants. As as the data collection and analysis pro-
required by the CAA, the NAAQS are sub- gresses. However, the protocol establishes a
jected to extensive review every 5 years and common understanding of how the dem-
the standards, including the level and the onstration required to meet regulatory re-
form, may be revised as part of that review. quirements will be made.
The criteria pollutants have either long-
term (annual or quarterly) and/or short-term 9.2.2 Design Concentration and Receptor
(24-hour or less) forms that are not to be ex- Sites
ceeded more than a certain frequency over a a. Under the PSD permitting program, an
period of time (e.g., no exceedance on a roll- air quality analysis for criteria pollutants is
ing 3-month average, no more than once per required to demonstrate that emissions from
year, or no more than once per year averaged the construction or operation of a proposed
over 3 years), are averaged over a period of new source or modification will not cause or
time (e.g., an annual mean or an annual contribute to a violation of the NAAQS or
mean averaged over 3 years), or are some PSD increments.
percentile that is averaged over a period of i. For a NAAQS assessment, the design
time (e.g., annual 99th or 98th percentile concentration is the combination of the ap-
averaged over 3 years). The 3-year period for propriate background concentration (section
ambient monitoring design values does not 8.3) with the estimated modeled impact of
dictate the length of the data periods rec- the proposed source. The NAAQS design con-
ommended for modeling (i.e., 5 years of NWS centration is then compared to the applica-
meteorological data, at least 1 year of site- ble NAAQS.
specific, or at least 3 years of prognostic me- ii. For a PSD increment assessment, the
teorological data). design concentration includes impacts occur-
e. This section discusses general rec- ring after the appropriate baseline date from
ommendations on the regulatory application all increment-consuming and increment-ex-
of models for the purposes of NSR, including panding sources. The PSD increment design
636
concentration is then compared to the appli- work from the first model run with a denser
cable PSD increment. array of receptors in areas showing potential
b. The specific form of the NAAQS for the for high concentrations and possible viola-
pollutant(s) of concern will also influence tions, as indicated by the results of the first
how the background and modeled data model run. Accordingly, the EPA neither an-
should be combined for appropriate compari- ticipates nor encourages that numerous
son with the respective NAAQS in such a iterations of modeling runs be made to con-
modeling demonstration. Given the potential tinually refine the receptor network.
for revision of the form of the NAAQS and
the complexities of combining background 9.2.3 NAAQS and PSD Increments Compli-
and modeled data, specific details on this ance Demonstrations for New or Modifying
process can be found in the applicable mod- Sources
eling guidance available on the EPA’s a. As described in this subsection, the rec-
SCRAM Web site (section 2.3). Modeled con- ommended procedure for conducting either a
centrations should not be rounded before NAAQS or PSD increments assessment under
comparing the resulting design concentra- PSD permitting is a multi-stage approach
tion to the NAAQS or PSD increments. Am- that includes the following two stages:
bient monitoring and dispersion modeling i. The EPA describes the first stage as a
address different issues and needs relative to single-source impact analysis, since this
each aspect of the overall air quality assess- stage involves considering only the impact of
ment. the new or modifying source. There are two
c. The PSD increments for criteria pollut- possible levels of detail in conducting a sin-
ants are listed in 40 CFR 52.21(c) and 40 CFR gle-source impact analysis with the model
51.166(c). For short-term increments, these user beginning with use of a screening model
maximum allowable increases in pollutant and proceeding to use of a refined model as
concentrations may be exceeded once per necessary.
year at each site, while the annual incre- ii. The EPA describes the second stage as a
ment may not be exceeded. The highest, sec- cumulative impact analysis, since it takes
ond-highest increase in estimated concentra- into account all sources affecting the air
tions for the short-term averages, as deter- quality in an area. In addition to the project
mined by a model, must be less than or equal source impact, this stage includes consider-
to the permitted increment. The modeled an- ation of background, which includes con-
nual averages must not exceed the incre- tributions from nearby sources and other
ment. sources (e.g., natural, minor, and distant
d. Receptor sites for refined dispersion major sources).
modeling should be located within the mod- b. Each stage should involve increasing
eling domain (section 8.1). In designing a re- complexity and details, as required, to fully
ceptor network, the emphasis should be demonstrate that a new or modifying source
placed on receptor density and location, not will not cause or contribute to a violation of
total number of receptors. Typically, the any NAAQS or PSD increment. As such,
density of receptor sites should be progres- starting with a single-source impact analysis
sively more resolved near the new or modi- is recommended because, where the analysis
fying source, areas of interest, and areas at this stage is sufficient to demonstrate
with the highest concentrations with suffi- that a source will not cause or contribute to
cient detail to determine where possible vio- any potential violation, this may alleviate
lations of a NAAQS or PSD increments are the need for a more time-consuming and
most likely to occur. The placement of re- comprehensive cumulative modeling anal-
ceptor sites should be determined on a case- ysis.
by-case basis, taking into consideration the c. The single-source impact analysis, or
source characteristics, topography, clima- first stage of an air quality analysis, should
tology, and monitor sites. Locations of par- begin by determining the potential of a pro-
ticular importance include: (1) The area of posed new or modifying source to cause or
maximum impact of the point source; (2) the contribute to a NAAQS or PSD increment
area of maximum impact of nearby sources; violation. In certain circumstances, a
and (3) the area where all sources combine to screening model or technique may be used
cause maximum impact. Depending on the instead of the preferred model because it will
complexities of the source and the environ- provide estimated worst-case ambient im-
ment to which the source is located, a dense pacts from the proposed new or modifying
array of receptors may be required in some source. If these worst case ambient con-
cases. In order to avoid unreasonably large centration estimates indicate that the
computer runs due to an excessively large source will not cause or contribute to any
array of receptors, it is often desirable to potential violation of a NAAQS or PSD in-
model the area twice. The first model run crement, then the screening analysis should
would use a moderate number of receptors generally be sufficient for the required dem-
more resolved near the new or modifying onstration under PSD. If the ambient con-
source and over areas of interest. The second centration estimates indicate that the
model run would modify the receptor net- source’s emissions have the potential to
637
cause or contribute to a violation, then the crement. It is possible that multiple emis-
use of a refined model to estimate the sions limits will be required for a source to
source’s impact should be pursued. The re- demonstrate compliance with several cri-
fined modeling analysis should use a model teria pollutants (and averaging periods) and
or technique consistent with the Guideline PSD increments. Case-by-case determina-
(either a preferred model or technique or an tions must be made as to the appropriate
alternative model or technique) and follow form of the limits, i.e., whether the emis-
the requirements and recommendations for sions limits restrict the emission factor (e.g.,
model inputs outlined in section 8. If the am- limiting lb/MMBTU), the emission rate (e.g.,
bient concentration increase predicted with lb/hr), or both. The appropriate reviewing au-
refined modeling indicates that the source thority (paragraph 3.0(b)) and appropriate
will not cause or contribute to any potential EPA guidance should be consulted to deter-
violation of a NAAQS or PSD increment, mine the appropriate emissions limits on a
then the refined analysis should generally be case-by-case basis.
sufficient for the required demonstration
under PSD. However, if the ambient con- 9.2.4 Use of Measured Data in Lieu of Model
Estimates
centration estimates from the refined mod-
eling analysis indicate that the source’s a. As described throughout the Guideline,
emissions have the potential to cause or con- modeling is the preferred method for dem-
tribute to a violation, then a cumulative im- onstrating compliance with the NAAQS and
pact analysis should be undertaken. The re- PSD increments and for determining the
ceptors that indicate the location of signifi- most appropriate emissions limits for new
cant ambient impacts should be used to de- and existing sources. When a preferred model
fine the modeling domain for use in the cu- or adequately justified and approved alter-
mulative impact analysis (section 8.2.2). native model is available, model results, in-
d. The cumulative impact analysis, or the cluding the appropriate background, are suf-
second stage of an air quality analysis, ficient for air quality demonstrations and es-
should be conducted with the same refined tablishing emissions limits, if necessary. In
model or technique to characterize the instances when the modeling technique
project source and then include the appro- available is only a screening technique, the
priate background concentrations (section addition of air quality monitoring data to
8.3). The resulting design concentrations the analysis may lend credence to the model
should be used to determine whether the results. However, air quality monitoring
source will cause or contribute to a NAAQS data alone will normally not be acceptable
or PSD increment violation. This determina- as the sole basis for demonstrating compli-
tion should be based on: (1) The appropriate ance with the NAAQS and PSD increments
design concentration for each applicable or for determining emissions limits.
NAAQS (and averaging period); and (2) b. There may be rare circumstances where
whether the source’s emissions cause or con- the performance of the preferred air quality
tribute to a violation at the time and loca- model will be shown to be less than reason-
tion of any modeled violation (i.e., when and ably acceptable when compared with air
where the predicted design concentration is quality monitoring data measured in the vi-
greater than the NAAQS). For PSD incre- cinity of an existing source. Additionally,
ments, the cumulative impact analysis there may not be an applicable preferred air
should also consider the amount of the air quality model, screening technique, or jus-
quality increment that has already been con- tifiable alternative model suitable for the
sumed by other sources, or, conversely, situation. In these unique instances, there
whether increment has expanded relative to may be the possibility of establishing emis-
the baseline concentration. Therefore, the sions limits and demonstrating compliance
applicant should model the existing or per- with the NAAQS and PSD increments solely
on the basis of analysis of observed air qual-
mitted nearby increment-consuming and in-
ity data in lieu of an air quality modeling
crement-expanding sources, rather than
analysis. However, only in the case of a
using past modeling analyses of those
modification to an existing source should air
sources as part of background concentration.
quality monitoring data alone be a basis for
This would permit the use of newly acquired
determining adequate emissions limits or for
data or improved modeling techniques if
demonstration that the modification will not
such data and/or techniques have become
cause or contribute to a violation of any
available since the last source was per-
NAAQS or PSD increment.
mitted. c. The following items should be consid-
9.2.3.1 Considerations in Developing ered prior to the acceptance of an analysis of
Emissions Limits measured air quality data as the sole basis
for an air quality demonstration or deter-
a. Emissions limits and resulting control mining an emissions limit:
requirements should be established to pro- i. Does a monitoring network exist for the
vide for compliance with each applicable pollutants and averaging times of concern in
NAAQS (and averaging period) and PSD in- the vicinity of the existing source?
638
ii. Has the monitoring network been de- ternative models may help inform the devel-
signed to locate points of maximum con- opment of a suitable new alternative model.
centration? Early coordination with the appropriate re-
iii. Do the monitoring network and the viewing authority (paragraph 3.0(b)) and the
data reduction and storage procedures meet EPA Regional Office is fundamental with re-
EPA monitoring and quality assurance respect to any potential use of measured data
quirements? in lieu of model estimates.
iv. Do the dataset and the analysis allow
impact of the most important individual 10.0 REFERENCES
sources to be identified if more than one 1. Code of Federal Regulations; Title 40 (Pro-
source or emission point is involved? tection of Environment); part 51; §§ 51.112,
v. Is at least one full year of valid ambient 51.117, 51.150, 51.160.
data available? 2. U.S. Environmental Protection Agency,
vi. Can it be demonstrated through the 1990. New Source Review Workshop Man-
comparison of monitored data with model re- ual: Prevention of Significant Deteriora-
sults that available air quality models and tion and Nonattainment Area Permitting
techniques are not applicable? (Draft). Office of Air Quality Planning
d. Comprehensive air quality monitoring in and Standards, Research Triangle Park,
the area affected by the existing source with NC. https://www.epa.gov/nsr.
proposed modifications will be necessary in 3. Code of Federal Regulations; Title 40 (Pro-
these cases. Additional meteorological moni- tection of Environment); part 51; §§ 51.166
toring may also be necessary. The appro- and 52.21.
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ical monitors from a scientific and technical tection of Environment); part 93; §§ 93.116,
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terrain configuration, and meteorological tection of Environment); part 58 (Ambi-
variations all have an impact on number and ent Air Quality Surveillance).
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by-case basis. Air Quality Standards).
e. Sources should obtain approval from the 7. Baker, K.R., Kelly, J.T., 2014. Single
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monitoring network prior to the start of apportionment approaches. Atmospheric
monitoring. A monitoring protocol agreed to Environment, 96: 266–274.
by all parties involved is necessary to assure 8. ENVIRON, 2012. Evaluation of Chemical
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laboratory and National Climatic Data 117. U.S. Environmental Protection Agency,
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tional Data Center’s Web site at http:// logical Data in AERMOD Applications.
www.ncdc.noaa.gov. Publication No. EPA–454/R–16–004. Office
107. U.S. Environmental Protection Agency, of Air Quality Planning and Standards,
2000. Meteorological Monitoring Guid- Research Triangle Park, NC.
ance for Regulatory Modeling Applica- 118. U.S. Environmental Protection Agency,
tions. Publication No. EPA–454/R–99–005. 1984. Calms Processor (CALMPRO) User’s
Office of Air Quality Planning and Guide. Publication No. EPA–901/9–84–001.
Standards, Research Triangle Park, NC. Office of Air Quality Planning and
(NTIS No. PB 2001–103606). Standards, Region I, Boston, MA. (NTIS
108. ASTM D5527: Standard Practice for No. PB 84–229467).
Measuring Surface Winds and Tempera-
ture by Acoustic Means. (2011). APPENDIX A TO APPENDIX W OF PART 51—
109. ASTM D5741: Standard Practice for SUMMARIES OF PREFERRED AIR QUALITY
Characterizing Surface Wind Using Wind MODELS
Vane and Rotating Anemometer. (2011).
TABLE OF CONTENTS
1995. Quality Assurance for Air Pollution A.0 Introduction and Availability
644
A.1 AERMOD (AMS/EPA Regulatory Model) U.S. Environmental Protection Agency, 2016.
A.2 CTDMPLUS (Complex Terrain Disper- User’s Guide for the AMS/EPA Regu-
sion Model Plus Algorithms for Unstable latory Model (AERMOD). Publication No.
Situations) EPA–454/B–16–011. Office of Air Quality
A.3 OCD (Offshore and Coastal Dispersion Planning and Standards, Research Tri-
Model) angle Park, NC.
U.S. Environmental Protection Agency, 2016.
A.0 INTRODUCTION AND AVAILABILITY
User’s Guide for the AERMOD Meteoro-
(1) This appendix summarizes key features logical Preprocessor (AERMET). Publica-
of refined air quality models preferred for tion No. EPA–454/B–16–010. Office of Air
specific regulatory applications. For each Quality Planning and Standards, Re-
model, information is provided on avail- search Triangle Park, NC.
ability, approximate cost (where applicable), U.S. Environmental Protection Agency, 2016.
regulatory use, data input, output format User’s Guide for the AERMOD Terrain
and options, simulation of atmospheric phys- Preprocessor (AERMAP). Publication No.
ics, and accuracy. These models may be used EPA–454/B–16–012. U.S. Environmental
without a formal demonstration of applica- Protection Agency, Office of Air Quality
bility provided they satisfy the recommenda- Planning and Standards, Research Tri-
tions for regulatory use; not all options in angle Park, NC.
the models are necessarily recommended for Schulman, L. L., D.G. Strimaitis and J.S.
regulatory use. Scire, 2000. Development and evaluation
(2) Many of these models have been sub- of the PRIME plume rise and building
jected to a performance evaluation using
downwash model. Journal of the Air and
comparisons with observed air quality data.
Waste Management Association, 50: 378–390.
Where possible, several of the models con-
tained herein have been subjected to evalua- Schulman, L. L., and Joseph S. Scire, 1980.
tion exercises, including: (1) Statistical per- Buoyant Line and Point Source (BLP)
formance tests recommended by the Amer- Dispersion Model User’s Guide. Docu-
ican Meteorological Society, and (2) peer sci- ment P–7304B. Environmental Research
entific reviews. The models in this appendix and Technology, Inc., Concord, MA.
have been selected on the basis of the results (NTIS No. PB 81–164642).
of the model evaluations, experience with
Availability
previous use, familiarity of the model to var-
ious air quality programs, and the costs and The model codes and associated docu-
resource requirements for use. mentation are available on EPA’s SCRAM
(3) Codes and documentation for all models Web site (paragraph A.0(3)).
listed in this appendix are available from the
EPA’s Support Center for Regulatory Air Abstract
Models (SCRAM) Web site at https://
www.epa.gov/scram. Codes and documentation AERMOD is a steady-state plume disper-
may also available from the National Tech- sion model for assessment of pollutant con-
nical Information Service (NTIS), http:// centrations from a variety of sources.
www.ntis.gov, and, when available, are ref- AERMOD simulates transport and dispersion
erenced with the appropriate NTIS accession from multiple point, area, or volume sources
number. based on an up-to-date characterization of
the atmospheric boundary layer. Sources
A.1 AERMOD (AMS/EPA REGULATORY may be located in rural or urban areas, and
MODEL) receptors may be located in simple or com-
plex terrain. AERMOD accounts for building
References wake effects (i.e., plume downwash) based on
U.S. Environmental Protection Agency, 2016. the PRIME building downwash algorithms.
AERMOD Model Formulation. Publica- The model employs hourly sequential
tion No. EPA–454/B–16–014. Office of Air preprocessed meteorological data to esti-
Quality Planning and Standards, Re- mate concentrations for averaging times
search Triangle Park, NC. from 1-hour to 1-year (also multiple years).
Cimorelli, A., et al., 2005. AERMOD: A Disper- AERMOD can be used to estimate the con-
sion Model for Industrial Source Applica- centrations of nonreactive pollutants from
tions. Part I: General Model Formulation highway traffic. AERMOD also handles
and Boundary Layer Characterization. unique modeling problems associated with
Journal of Applied Meteorology, 44(5): 682– aluminum reduction plants, and other indus-
693. trial sources where plume rise and downwash
Perry, S. et al., 2005. AERMOD: A Dispersion effects from stationary buoyant line sources
Model for Industrial Source Applications. are important. AERMOD is designed to oper-
Part II: Model Performance against 17 ate in concert with two pre-processor codes:
Field Study Databases. Journal of Applied AERMET processes meteorological data for
Meteorology, 44(5): 694–708. input to AERMOD, and AERMAP processes
645
terrain elevation data and generates recep- source width, average building width, aver-
tor and hill height information for input to age spacing between buildings, and average
AERMOD. line source buoyancy parameter. For mobile
sources, traffic volume; emission factor,
a. Regulatory Use source height, and mixing zone width are
(1) AERMOD is appropriate for the fol- needed to determine appropriate model in-
lowing applications: puts.
• Point, volume, and area sources; (2) Meteorological data: The AERMET me-
• Buoyant, elevated line sources (e.g., alu- teorological preprocessor requires input of
minum reduction plants); surface characteristics, including surface
• Mobile sources; roughness (zo), Bowen ratio, and albedo, as
• Surface, near-surface, and elevated re- well as, hourly observations of wind speed
leases; between 7zo and 100 m (reference wind speed
• Rural or urban areas; measurement from which a vertical profile
• Simple and complex terrain; can be developed), wind direction, cloud
• Transport distances over which steady- cover, and temperature between zo and 100 m
state assumptions are appropriate, up to (reference temperature measurement from
50km; which a vertical profile can be developed).
• 1-hour to annual averaging times; and Meteorological data can be in the form of ob-
• Continuous toxic air emissions. served data or prognostic modeled data as
(2) For regulatory applications of discussed in paragraph 8.4.1(d). Surface char-
AERMOD, the regulatory default option acteristics may be varied by wind sector and
should be set, i.e., the parameter DFAULT by season or month. When using observed
should be employed in the MODELOPT meteorological data, a morning sounding (in
record in the COntrol Pathway. The National Weather Service format) from a
representative upper air station is required.
DFAULT option requires the use of meteoro-
Latitude, longitude, and time zone of the
logical data processed with the regulatory
surface, site-specific (if applicable) and upper
options in AERMET, the use of terrain ele-
air meteorological stations are required. The
vation data processed through the AERMAP
wind speed starting threshold is also re-
terrain processor, stack-tip downwash, se-
quired in AERMET for applications involv-
quential date checking, and does not permit
ing site-specific data. When using prognostic
the use of the model in the SCREEN mode.
data, modeled profiles of temperature and
In the regulatory default mode, pollutant
winds are input to AERMET. These can be
half-life or decay options are not employed,
hourly or a time that represents a morning
except in the case of an urban source of sul- sounding. Additionally, measured profiles of
fur dioxide where a 4-hour half-life is ap- wind, temperature, vertical and lateral tur-
plied. Terrain elevation data from the U.S. bulence may be required in certain applica-
Geological Survey (USGS) 7.5-Minute Digital tions (e.g., in complex terrain) to adequately
Elevation Model (DEM), or equivalent represent the meteorology affecting plume
(approx. 30-meter resolution), (processed transport and dispersion. Optionally, meas-
through AERMAP) should be used in all ap- urements of solar and/or net radiation may
plications. Starting in 2011, data from the be input to AERMET. Two files are produced
National Elevation Dataset (NED, https:// by the AERMET meteorological preprocessor
nationalmap.gov/elevation.html) can also be for input to the AERMOD dispersion model.
used in AERMOD, which includes a range of When using observed data, the surface file
resolutions, from 1-m to 2 arc seconds and contains observed and calculated surface
such high resolution would always be pre- variables, one record per hour. For applica-
ferred. In some cases, exceptions from the tions with multi-level site-specific meteoro-
terrain data requirement may be made in logical data, the profile contains the obser-
consultation with the appropriate reviewing vations made at each level of the meteoro-
authority (paragraph 3.0(b)). logical tower (or remote sensor). When using
prognostic data, the surface file contains
b. Input Requirements
surface variables calculated by the prog-
(1) Source data: Required inputs include nostic model and AERMET. The profile file
source type, location, emission rate, stack contains the observations made at each level
height, stack inside diameter, stack gas exit of a meteorological tower (or remote sensor),
velocity, stack gas exit temperature, area the one-level observations taken from other
and volume source dimensions, and source representative data (e.g., National Weather
base elevation. For point sources subject to Service surface observations), one record per
the influence of building downwash, direc- level per hour, or in the case of prognostic
tion-specific building dimensions (processed data, the prognostic modeled values of tem-
through the BPIPPRM building processor) perature and winds at user-specified levels.
should be input. Variable emission rates are (i) Data used as input to AERMET should
optional. Buoyant line sources require co- possess an adequate degree of representative-
ordinates of the end points of the line, re- ness to ensure that the wind, temperature
lease height, emission rate, average line and turbulence profiles derived by AERMOD
646
are both laterally and vertically representa- d. Type of Model
tive of the source impact area. The adequacy AERMOD is a steady-state plume model,
of input data should be judged independently using Gaussian distributions in the vertical
for each variable. The values for surface and horizontal for stable conditions, and in
roughness, Bowen ratio, and albedo should the horizontal for convective conditions. The
reflect the surface characteristics in the vi- vertical concentration distribution for con-
cinity of the meteorological tower or rep- vective conditions results from an assumed
resentative grid cell when using prognostic bi-Gaussian probability density function of
data, and should be adequately representa- the vertical velocity.
tive of the modeling domain. Finally, the
primary atmospheric input variables, includ- e. Pollutant Types
ing wind speed and direction, ambient tem- AERMOD is applicable to primary pollut-
perature, cloud cover, and a morning upper ants and continuous releases of toxic and
air sounding, should also be adequately rep- hazardous waste pollutants. Chemical trans-
resentative of the source area when using ob- formation is treated by simple exponential
served data. decay.
(ii) For applications involving the use of
f. Source-Receptor Relationships
site-specific meteorological data that in-
cludes turbulences parameters (i.e., sigma- AERMOD applies user-specified locations
theta and/or sigma-w), the application of the for sources and receptors. Actual separation
ADJlU* option in AERMET would require between each source-receptor pair is used.
approval as an alternative model application Source and receptor elevations are user
under section 3.2. input or are determined by AERMAP using
(iii) For recommendations regarding the USGS DEM or NED terrain data. Receptors
length of meteorological record needed to may be located at user-specified heights
perform a regulatory analysis with above ground level.
AERMOD, see section 8.4.2. g. Plume Behavior
(3) Receptor data: Receptor coordinates,
elevations, height above ground, and hill (1) In the convective boundary layer (CBL),
height scales are produced by the AERMAP the transport and dispersion of a plume is
terrain preprocessor for input to AERMOD. characterized as the superposition of three
Discrete receptors and/or multiple receptor modeled plumes: (1) The direct plume (from
grids, Cartesian and/or polar, may be em- the stack); (2) the indirect plume; and (3) the
penetrated plume, where the indirect plume
ployed in AERMOD. AERMAP requires input
accounts for the lofting of a buoyant plume
of DEM or NED terrain data produced by the
near the top of the boundary layer, and the
USGS, or other equivalent data. AERMAP
penetrated plume accounts for the portion of
can be used optionally to estimate source a plume that, due to its buoyancy, pene-
elevations. trates above the mixed layer, but can dis-
perse downward and re-enter the mixed
c. Output
layer. In the CBL, plume rise is superposed
Printed output options include input infor- on the displacements by random convective
mation, high concentration summary tables velocities (Weil et al., 1997).
by receptor for user-specified averaging peri- (2) In the stable boundary layer, plume rise
ods, maximum concentration summary ta- is estimated using an iterative approach to
bles, and concurrent values summarized by account for height-dependent lapse rates,
receptor for each day processed. Optional similar to that in the CTDMPLUS model (see
output files can be generated for: A listing of A.2 in this appendix).
occurrences of exceedances of user-specified (3) Stack-tip downwash and buoyancy in-
threshold value; a listing of concurrent (raw) duced dispersion effects are modeled. Build-
ing wake effects are simulated for stacks
results at each receptor for each hour mod-
subject to building downwash using the
eled, suitable for post-processing; a listing of
methods contained in the PRIME downwash
design values that can be imported into
algorithms (Schulman, et al., 2000). For
graphics software for plotting contours; a plume rise affected by the presence of a
listing of results suitable for NAAQS anal- building, the PRIME downwash algorithm
yses including NAAQS exceedances and cul- uses a numerical solution of the mass, en-
pability analyses; an unformatted listing of ergy and momentum conservation laws
raw results above a threshold value with a (Zhang and Ghoniem, 1993). Streamline de-
special structure for use with the TOXX flection and the position of the stack rel-
model component of TOXST; a listing of con- ative to the building affect plume trajectory
centrations by rank (e.g., for use in quantile- and dispersion. Enhanced dispersion is based
quantile plots); and a listing of concentra- on the approach of Weil (1996). Plume mass
tions, including arc-maximum normalized captured by the cavity is well-mixed within
concentrations, suitable for model evalua- the cavity. The captured plume mass is re-
tion studies. emitted to the far wake as a volume source.
647
(4) For elevated terrain, AERMOD incor- height. The effective vertical turbulence is
porates the concept of the critical dividing then used to estimate vertical dispersion.
streamline height, in which flow below this
height remains horizontal, and flow above l. Chemical Transformation
this height tends to rise up and over terrain
Chemical transformations are generally
(Snyder et al., 1985). Plume concentration es-
timates are the weighted sum of these two not treated by AERMOD. However, AERMOD
limiting plume states. However, consistent does contain an option to treat chemical
with the steady-state assumption of uniform transformation using simple exponential
horizontal wind direction over the modeling decay, although this option is typically not
domain, straight-line plume trajectories are used in regulatory applications except for
assumed, with adjustment in the plume/resources of sulfur dioxide in urban areas. Ei-
ceptor geometry used to account for the ter- ther a decay coefficient or a half-life is input
rain effects. by the user. Note also that the Plume Vol-
ume Molar Ratio Method and the Ozone Lim-
h. Horizontal Winds iting Method (section 4.2.3.4) for NO2 anal-
Vertical profiles of wind are calculated for yses are available.
each hour based on measurements and sur-
face-layer similarity (scaling) relationships. m. Physical Removal
At a given height above ground, for a given AERMOD can be used to treat dry and wet
hour, winds are assumed constant over the deposition for both gases and particles.
modeling domain. The effect of the vertical
variation in horizontal wind speed on disper- n. Evaluation Studies
sion is accounted for through simple aver-
aging over the plume depth. American Petroleum Institute, 1998. Evalua-
tion of State of the Science of Air Qual-
i. Vertical Wind Speed ity Dispersion Model, Scientific Evalua-
In convective conditions, the effects of tion, prepared by Woodward-Clyde Con-
random vertical updraft and downdraft ve- sultants, Lexington, Massachusetts, for
locities are simulated with a bi-Gaussian American Petroleum Institute, Wash-
probability density function. In both convec- ington, DC 20005–4070.
tive and stable conditions, the mean vertical Brode, R.W., 2002. Implementation and Eval-
wind speed is assumed equal to zero. uation of PRIME in AERMOD. Preprints
of the 12th Joint Conference on Applica-
j. Horizontal Dispersion tions of Air Pollution Meteorology, May
Gaussian horizontal dispersion coefficients 20–24, 2002; American Meteorological So-
are estimated as continuous functions of the ciety, Boston, MA.
parameterized (or measured) ambient lateral Brode, R.W., 2004. Implementation and Eval-
turbulence and also account for buoyancy-in- uation of Bulk Richardson Number
duced and building wake-induced turbulence. Scheme in AERMOD. 13th Joint Con-
Vertical profiles of lateral turbulence are deference on Applications of Air Pollution
veloped from measurements and similarity Meteorology, August 23–26, 2004; Amer-
(scaling) relationships. Effective turbulence ican Meteorological Society, Boston,
values are determined from the portion of MA.
the vertical profile of lateral turbulence be-
U.S. Environmental Protection Agency, 2003.
tween the plume height and the receptor
AERMOD: Latest Features and Evalua-
height. The effective lateral turbulence is
tion Results. Publication No. EPA–454/R–
then used to estimate horizontal dispersion.
03–003. Office of Air Quality Planning and
k. Vertical Dispersion Standards, Research Triangle Park, NC.
Heist, D., et al, 2013. Estimating near-road
In the stable boundary layer, Gaussian
pollutant dispersion: A model inter-com-
vertical dispersion coefficients are estimated
parison. Transportation Research Part D:
as continuous functions of parameterized
Transport and Environment, 25: pp 93–105.
vertical turbulence. In the convective bound-
ary layer, vertical dispersion is character- A.2 CTDMPLUS (COMPLEX TERRAIN DISPER-
ized by a bi-Gaussian probability density SION MODEL PLUSALGORITHMS FOR UNSTA-
function and is also estimated as a contin- BLE SITUATIONS)
uous function of parameterized vertical tur-
bulence. Vertical turbulence profiles are de- References
veloped from measurements and similarity
(scaling) relationships. These turbulence Perry, S.G., D.J. Burns, L.H. Adams, R.J.
profiles account for both convective and me- Paine, M.G. Dennis, M.T. Mills, D.G.
chanical turbulence. Effective turbulence Strimaitis, R.J. Yamartino and E.M.
values are determined from the portion of Insley, 1989. User’s Guide to the Complex
the vertical profile of vertical turbulence be- Terrain Dispersion Model Plus Algo-
tween the plume height and the receptor rithms for Unstable Situations
648
(CTDMPLUS). Volume 1: Model Descrip- under those conditions important to the de-
tions and User Instructions. EPA Publi- termination of the design concentration).
cation No. EPA–600/8–89–041. U.S. Envi- The representative plume height(s) of inter-
ronmental Protection Agency, Research est should be determined using an appro-
Triangle Park, NC. (NTIS No. PB 89– priate complex terrain screening procedure
181424). (e.g., CTSCREEN) and should be documented
Perry, S.G., 1992. CTDMPLUS: A Dispersion in the monitoring/modeling protocol. The
Model for Sources near Complex Topog- necessary meteorological measurements
raphy. Part I: Technical Formulations. should be obtained from an appropriately
Journal of Applied Meteorology, 31(7): 633– sited meteorological tower augmented by
645. SODAR and/or RASS if the representative
plume height(s) of interest is above the lev-
Availability els represented by the tower measurements.
The model codes and associated docu- Meteorological preprocessors then create a
mentation are available on the EPA’s SURFACE data file (hourly values of mixed
SCRAM Web site (paragraph A.0(3)). layer heights, surface friction velocity,
Monin-Obukhov length and surface rough-
Abstract ness length) and a RAWINsonde data file
CTDMPLUS is a refined point source (upper air measurements of pressure, tem-
Gaussian air quality model for use in all sta- perature, wind direction, and wind speed).
bility conditions for complex terrain applica- (3) Receptor data: Receptor names (up to
tions. The model contains, in its entirety, 400) and coordinates, and hill number (each
the technology of CTDM for stable and neu- receptor must have a hill number assigned).
tral conditions. However, CTDMPLUS can (4) Terrain data: User inputs digitized con-
also simulate daytime, unstable conditions, tour information to the terrain preprocessor
and has a number of additional capabilities which creates the TERRAIN data file (for up
for improved user friendliness. Its use of me- to 25 hills).
teorological data and terrain information is
different from other EPA models; consider- c. Output
able detail for both types of input data is re- (1) When CTDMPLUS is run, it produces a
quired and is supplied by preprocessors spe- concentration file, in either binary or text
cifically designed for CTDMPLUS. format (user’s choice), and a list file con-
CTDMPLUS requires the parameterization of taining a verification of model inputs, i.e.,
individual hill shapes using the terrain • Input meteorological data from ‘‘SUR-
preprocessor and the association of each FACE’’ and ‘‘PROFILE,’’
model receptor with a particular hill. • Stack data for each source,
a. Regulatory Use • Terrain information,
• Receptor information, and
CTDMPLUS is appropriate for the fol- • Source-receptor location (line printer
lowing applications: map).
• Elevated point sources; (2) In addition, if the case-study option is
• Terrain elevations above stack top; selected, the listing includes:
• Rural or urban areas; • Meteorological variables at plume
• Transport distances less than 50 kilo-
height,
meters; and
• Geometrical relationships between the
• 1-hour to annual averaging times when
source and the hill, and
used with a post-processor program such as
• Plume characteristics at each receptor,
CHAVG.
i.e.,
b. Input Requirements —Distance in along-flow and cross flow di-
(1) Source data: For each source, user sup- rection
plies source location, height, stack diameter, —Effective plume-receptor height difference
stack exit velocity, stack exit temperature, —Effective sy & sz values, both flat terrain
and emission rate; if variable emissions are and hill induced (the difference shows the
appropriate, the user supplies hourly values effect of the hill)
for emission rate, stack exit velocity, and —Concentration components due to WRAP,
stack exit temperature. LIFT and FLAT.
(2) Meteorological data: For applications of (3) If the user selects the TOPN option, a
CTDMPLUS, multiple level (typically three summary table of the top four concentra-
or more) measurements of wind speed and ditions at each receptor is given. If the ISOR
rection, temperature and turbulence (wind option is selected, a source contribution
fluctuation statistics) are required to create table for every hour will be printed.
the basic meteorological data file (‘‘PRO- (4) A separate output file of predicted (1-
FILE’’). Such measurements should be ob- hour only) concentrations (‘‘CONC’’) is writ-
tained up to the representative plume ten if the user chooses this option. Three
height(s) of interest (i.e., the plume height(s) forms of output are possible:
649
(i) A binary file of concentrations, one h. Horizontal Winds
value for each receptor in the hourly se-
CTDMPLUS does not simulate calm mete-
quence as run;
orological conditions. Both scalar and vector
(ii) A text file of concentrations, one value wind speed observations can be read by the
for each receptor in the hourly sequence as model. If vector wind speed is unavailable, it
run; or is calculated from the scalar wind speed. The
(iii) A text file as described above, but with assignment of wind speed (either vector or
a listing of receptor information (names, po- scalar) at plume height is done by either:
sitions, hill number) at the beginning of the • Interpolating between observations
file. above and below the plume height, or
(5) Hourly information provided to these • Extrapolating (within the surface layer)
files besides the concentrations themselves from the nearest measurement height to the
includes the year, month, day, and hour in- plume height.
formation as well as the receptor number
with the highest concentration. i. Vertical Wind Speed
d. Type of Model Vertical flow is treated for the plume com-

ponent above the critical dividing streamline
CTDMPLUS is a refined steady-state, point height (Hc); see ‘‘Plume Behavior.’’
source plume model for use in all stability
conditions for complex terrain applications. j. Horizontal Dispersion
Horizontal dispersion for stable/neutral
e. Pollutant Types
conditions is related to the turbulence veloc-
CTDMPLUS may be used to model non- re- ity scale for lateral fluctuations, sv, for
active, primary pollutants. which a minimum value of 0.2 m/s is used.
Convective scaling formulations are used to
f. Source-Receptor Relationship estimate horizontal dispersion for unstable
Up to 40 point sources, 400 receptors and 25 conditions.
hills may be used. Receptors and sources are k. Vertical Dispersion
allowed at any location. Hill slopes are as-
sumed not to exceed 15°, so that the linear- Direct estimates of vertical dispersion for
ized equation of motion for Boussinesq flow stable/neutral conditions are based on ob-
are applicable. Receptors upwind of the im- served vertical turbulence intensity, e.g., sw
pingement point, or those associated with (standard deviation of the vertical velocity
any of the hills in the modeling domain, re- fluctuation). In simulating unstable (convec-
quire separate treatment. tive) conditions, CTDMPLUS relies on a
skewed, bi-Gaussian probability density
g. Plume Behavior function (pdf) description of the vertical ve-
locities to estimate the vertical distribution
(1) As in CTDM, the basic plume rise algo-
of pollutant concentration.
rithms are based on Briggs’ (1975) rec-
ommendations. l. Chemical Transformation
(2) A central feature of CTDMPLUS for
neutral/stable conditions is its use of a crit- Chemical transformation is not treated by
ical dividing-streamline height (Hc) to sepa- CTDMPLUS.
rate the flow in the vicinity of a hill into m. Physical Removal
two separate layers. The plume component
in the upper layer has sufficient kinetic en- Physical removal is not treated by
ergy to pass over the top of the hill while CTDMPLUS (complete reflection at the
streamlines in the lower portion are con- ground/hill surface is assumed).
strained to flow in a horizontal plane around
the hill. Two separate components of n. Evaluation Studies
CTDMPLUS compute ground-level con- Burns, D.J., L.H. Adams and S.G. Perry, 1990.
centrations resulting from plume material in Testing and Evaluation of the
each of these flows. CTDMPLUS Dispersion Model: Daytime
(3) The model calculates on an hourly (or Convective Conditions. U.S. Environ-
appropriate steady averaging period) basis mental Protection Agency, Research Tri-
how the plume trajectory (and, in stable/neu- angle Park, NC.
tral conditions, the shape) is deformed by Paumier, J.O., S.G. Perry and D.J. Burns,
each hill. Hourly profiles of wind and tem- 1990. An Analysis of CTDMPLUS Model
perature measurements are used by Predictions with the Lovett Power Plant
CTDMPLUS to compute plume rise, plume Data Base. U.S. Environmental Protec-
penetration (a formulation is included to tion Agency, Research Triangle Park,
handle penetration into elevated stable lay- NC.
ers, based on Briggs (1984)), convective scal- Paumier, J.O., S.G. Perry and D.J. Burns,
ing parameters, the value of Hc, and the 1992. CTDMPLUS: A Dispersion Model for
Froude number above Hc. Sources near Complex Topography. Part
650
II: Performance Characteristics. Journal employing hourly NWS data. MPRM is the
of Applied Meteorology, 31(7): 646–660. recommended meteorological data
preprocessor for applications of OCD employ-
A.3 OCD (OFFSHORE AND COASTAL ing site-specific meteorological data.
DISPERSION MODEL) (i) Over land: Surface weather data includ-
Reference ing hourly stability class, wind direction,
wind speed, ambient temperature, and mix-
DiCristofaro, D.C. and S.R. Hanna, 1989. OCD: ing height are required.
The Offshore and Coastal Dispersion (ii) Over water: Hourly values for mixing
Model, Version 4. Volume I: User’s Guide, height, relative humidity, air temperature,
and Volume II: Appendices. Sigma Re- and water surface temperature are required;
search Corporation, Westford, MA. (NTIS if wind speed/direction are missing, values
Nos. PB 93–144384 and PB 93–144392). over land will be used (if available); vertical
wind direction shear, vertical temperature
Availability
gradient, and turbulence intensities are op-
The model codes and associated docu- tional.
mentation are available on EPA’s SCRAM (3) Receptor data: Location, height above
Web site (paragraph A.0(3)). local ground-level, ground-level elevation
above the water surface.
Abstract
(1) OCD is a straight-line Gaussian model c. Output
developed to determine the impact of off- (1) All input options, specification of
shore emissions from point, area or line sources, receptors and land/water map in-
sources on the air quality of coastal regions. cluding locations of sources and receptors.
OCD incorporates overwater plume transport (2) Summary tables of five highest con-
and dispersion as well as changes that occur centrations at each receptor for each aver-
as the plume crosses the shoreline. Hourly aging period, and average concentration for
meteorological data are needed from both entire run period at each receptor.
offshore and onshore locations. These in- (3) Optional case study printout with hour-
clude water surface temperature, overwater ly plume and receptor characteristics. Op-
air temperature, mixing height, and relative tional table of annual impact assessment
humidity. from non-permanent activities.
(2) Some of the key features include plat- (4) Concentration output files can be used
form building downwash, partial plume pene- by ANALYSIS postprocessor to produce the
tration into elevated inversions, direct use of highest concentrations for each receptor, the
turbulence intensities for plume dispersion, cumulative frequency distributions for each
interaction with the overland internal receptor, the tabulation of all concentra-
boundary layer, and continuous shoreline fu- tions exceeding a given threshold, and the
migation. manipulation of hourly concentration files.
a. Regulatory Use d. Type of Model
OCD has been recommended for use by the OCD is a Gaussian plume model con-
Bureau of Ocean Energy Management for structed on the framework of the MPTER
emissions located on the Outer Continental model.
Shelf (50 FR 12248; 28 March 1985). OCD is ap-
plicable for overwater sources where onshore e. Pollutant Types
receptors are below the lowest source height.
Where onshore receptors are above the low- OCD may be used to model primary pollut-
est source height, offshore plume transport ants. Settling and deposition are not treated.
and dispersion may be modeled on a case-by- f. Source-Receptor Relationship
case basis in consultation with the appro-
priate reviewing authority (paragraph 3.0(b)). (1) Up to 250 point sources, 5 area sources,
or 1 line source and 180 receptors may be
b. Input Requirements used.
(1) Source data: Point, area or line source (2) Receptors and sources are allowed at
location, pollutant emission rate, building any location.
height, stack height, stack gas temperature, (3) The coastal configuration is determined
stack inside diameter, stack gas exit veloc- by a grid of up to 3600 rectangles. Each ele-
ity, stack angle from vertical, elevation of ment of the grid is designated as either land
stack base above water surface and gridded or water to identify the coastline.
specification of the land/water surfaces. As
g. Plume Behavior
an option, emission rate, stack gas exit ve-
locity and temperature can be varied hourly. (1) The basic plume rise algorithms are
(2) Meteorological data: PCRAMMET is the based on Briggs’ recommendations.
recommended meteorological data (2) Momentum rise includes consideration
preprocessor for use in applications of OCD of the stack angle from the vertical.
651
Pt. 51, App. X 40 CFR Ch. I (7–1–21 Edition)
(3) The effect of drilling platforms, ships, tual source technique is used to simulate the
or any overwater obstructions near the initial plume dilution due to downwash.
source are used to decrease plume rise using (3) Formulas recommended by Pasquill
a revised platform downwash algorithm (1976) are used to calculate buoyant plume
based on laboratory experiments. enhancement.
(4) Partial plume penetration of elevated (4) At the water/land interface, the change
inversions is included using the suggestions to overland dispersion rates is modeled using
of Briggs (1975) and Weil and Brower (1984). a virtual source. The overland dispersion
(5) Continuous shoreline fumigation is rates can be calculated from either vertical
parameterized using the Turner method turbulence intensity or the Pasquill-Gifford
where complete vertical mixing through the coefficients. The change is implemented
thermal internal boundary layer (TIBL) oc- where the plume intercepts the rising inter-
curs as soon as the plume intercepts the nal boundary layer.
TIBL.
l. Chemical Transformation
h. Horizontal Winds Chemical transformations are treated
(1) Constant, uniform wind is assumed for using exponential decay. Different rates can
each hour. be specified by month and by day or night.
(2) Overwater wind speed can be estimated
m. Physical Removal
from overland wind speed using relationship
of Hsu (1981). Physical removal is also treated using ex-
(3) Wind speed profiles are estimated using ponential decay.
similarity theory (Businger, 1973). Surface
layer fluxes for these formulas are cal- n. Evaluation Studies
culated from bulk aerodynamic methods. DiCristofaro, D.C. and S.R. Hanna, 1989. OCD:
The Offshore and Coastal Dispersion
i. Vertical Wind Speed Model. Volume I: User’s Guide. Sigma
Vertical wind speed is assumed equal to Research Corporation, Westford, MA.
zero. Hanna, S.R., L.L. Schulman, R.J. Paine and
J.E. Pleim, 1984. The Offshore and Coast-
j. Horizontal Dispersion al Dispersion (OCD) Model User’s Guide,
(1) Lateral turbulence intensity is rec- Revised. OCS Study, MMS 84–0069. Envi-
ommended as a direct estimate of horizontal ronmental Research & Technology, Inc.,
dispersion. If lateral turbulence intensity is Concord, MA. (NTIS No. PB 86–159803).
not available, it is estimated from boundary Hanna, S.R., L.L. Schulman, R.J. Paine, J.E.
layer theory. For wind speeds less than 8 m/ Pleim and M. Baer, 1985. Development
s, lateral turbulence intensity is assumed in- and Evaluation of the Offshore and
versely proportional to wind speed. Coastal Dispersion (OCD) Model. Journal
of the Air Pollution Control Association, 35:
(2) Horizontal dispersion may be enhanced
1039–1047.
because of obstructions near the source. A
Hanna, S.R. and D.C. DiCristofaro, 1988. De-
virtual source technique is used to simulate
velopment and Evaluation of the OCD/
the initial plume dilution due to downwash.
API Model. Final Report, API Pub. 4461,
(3) Formulas recommended by Pasquill
American Petroleum Institute, Wash-
(1976) are used to calculate buoyant plume
ington, DC.
enhancement and wind direction shear en-
hancement. [82 FR 5203, Jan. 17, 2017]
(4) At the water/land interface, the change
to overland dispersion rates is modeled using APPENDIX X TO PART 51—EXAMPLES OF
a virtual source. The overland dispersion ECONOMIC INCENTIVE PROGRAMS
rates can be calculated from either lateral
turbulence intensity or Pasquill-Gifford I. INTRODUCTION AND PURPOSE
curves. The change is implemented where This appendix contains examples of EIP’s
the plume intercepts the rising internal which are covered by the EIP rules. Program
boundary layer. descriptions identify key provisions which
distinguish the different model program
k. Vertical Dispersion
types. The examples provide additional in-
(1) Observed vertical turbulence intensity formation and guidance on various types of
is not recommended as a direct estimate of regulatory programs collectively referred to
vertical dispersion. Turbulence intensity as EIP’s. The examples include programs in-
should be estimated from boundary layer volving stationary, area, and mobile sources.
theory as default in the model. For very sta- The definition section at 40 CFR 51.491 de-
ble conditions, vertical dispersion is also a fines an EIP as a program which may include
function of lapse rate. State established emission fees or a system
(2) Vertical dispersion may be enhanced be- of marketable permits, or a system of State
cause of obstructions near the source. A vir- fees on sale or manufacture of products the
652
Environmental Protection Agency Pt. 51, App. X
use of which contributes to O3 formation, or and mobile sources. The program types dis-
any combination of the foregoing or other cussed below do not include all of the pos-
similar measures, as well as incentives and sible types of EIP’s. Innovative approaches
requirements to reduce vehicle emissions incorporating new ideas in existing pro-
and vehicle miles traveled in the area, in- grams, different combinations of existing
cluding any of the transportation control program elements, or wholly new incentive
measures identified in section 108(f). Such systems provide additional opportunities for
programs span a wide spectrum of program States to find ways to meet environmental
designs. goals at lower total cost.
The EIP’s are comprised of several ele-
ments that, in combination with each other, A. Emissions Trading Markets
must insure that the fundamental principles
of any regulatory program (including ac- One prominent class of EIP’s is based upon
countability, enforceability and noninter- the creation of a market in which trading of
ference with other requirements of the Act) source-specific emissions requirements may
are met. There are many possible combina- occur. Such programs may include tradi-
tions of program elements that would be ac- tional rate-based emissions limits (generally
ceptable. Also, it is important to emphasize referred to as emissions averaging) or overall
that the effectiveness of an EIP is dependent limits on a source’s total mass emissions per
upon the particular area in which it is imple- unit of time (generally referred to as an
mented. No two areas face the same air qual- emissions cap). The emissions limits, which
ity circumstances and, therefore, effective may be placed on individual emitting units
strategies and programs will differ among or on facilities as a whole, may decline over
areas. time. The common feature of such programs
Because of these considerations, the EPA is that sources have an ongoing incentive to
is not specifying one particular design or reduce pollution and increased flexibility in
type of strategy as acceptable for any given meeting their regulatory requirements. A
EIP. Such specific guidance would poten- source may meet its own requirements ei-
tially discourage States (or other entities ther by directly preventing or controlling
with delegated authority to administer parts emissions or by trading or averaging with
of an implementation plan) from utilizing another source. Trading or averaging may
other equally viable program designs that occur within the same facility, within the
may be more appropriate for their situation. same firm, or between different firms.
Thus, the examples given in this Appendix Sources with lower cost abatement alter-
are general in nature so as to avoid limiting natives may provide the necessary emissions
innovation on the part of the States in devel- reductions to sources facing more expensive
oping programs tailored to individual State alternatives. These programs can lower the
needs. overall cost of meeting a given total level of
Another important consideration in de- abatement. All sources eligible to trade in an
signing effective EIP’s is the extent to which emissions market are faced with continuing
different strategies, or programs targeted at incentives to find better ways of reducing
different types of sources, can complement
emissions at the lowest possible cost, even if
one another when implemented together as
they are already meeting their own emis-
an EIP ‘‘package.’’ The EPA encourages
sions requirements.
States to consider packaging different meas-
ures together when such a strategy is likely Stationary, area, and mobile sources could
to increase the overall benefits from the probe allowed to participate in a common emis-
gram as a whole. Furthermore, some activi- sions trading market. Programs involving
ties, such as information distribution or pub- emissions trading markets are particularly
lic awareness programs, while not EIP’s in effective at reducing overall costs when indi-
and of themselves, are often critical to the vidual affected sources face significantly dif-
success of other measures and, therefore, ferent emissions control costs. A wider range
would be appropriate complementary compo- in control costs among affected sources cre-
nents of a program package. All SIP emis- ates greater opportunities for cost-reducing
sions reductions credits should reflect a con- trades. Thus, for example, areas which face
sideration of the effectiveness of the entire relatively high stationary source control
package. costs relative to mobile source control costs
benefit most by including both stationary
II. EXAMPLES OF STATIONARY AND MOBILE and mobile sources in a single emissions
SOURCE ECONOMIC INCENTIVE STRATEGIES trading market.
There is a wide variety of programs that Programs involving emissions trading mar-
fall under the general heading of EIP’s. Fur- kets have generally been designated as ei-
ther, within each general type of program ther emission allowance or emission reduc-
are several different basic program designs. tion credit (ERC) trading programs. The Fed-
This section describes common types of eral Acid Rain Program is an example of an
EIP’s that have been implemented, designed, emission allowance trading program, while
or discussed in the literature for stationary ‘‘bubbles’’ and ‘‘generic bubbles’’ created
653
Pt. 51, App. X 40 CFR Ch. I (7–1–21 Edition)
under the EPA’s 1986 Emission Trading Pol- ized trading commodity and well-defined
icy Statement are examples of ERC trading. rules for acceptable trades. Transaction
Allowance trading programs can establish costs are also affected by the relative ease
emission allocations to be effective at the with which information can be obtained
start of a program, at some specific time in about the availability and price of allow-
the future, or at varying levels over time. An ances or credits.
ERC trading program requires ERC’s to be While the market considerations discussed
measured against a pre-established emission above are clearly important in designing an
baseline. Allowance allocations or emission efficient market to minimize the transaction
baselines can be established either directly costs of such a program, other consider-
by the EIP rules or by reference to tradi- ations, such as regulatory certainty, enforce-
tional regulations (e.g., RACT requirement issues, and public acceptance, also
ments). In either type of program, sources clearly need to be factored into the design of
can either meet their EIP requirements by any emissions trading program.
maintaining their own emissions within the
limits established by the program, or by buy- B. Fee Programs
ing surplus allowances or ERC’s from other A fee on each unit of emissions is a strat-
sources. In any case, the State will need to egy that can provide a direct incentive for
establish adequate enforceable procedures sources to reduce emissions. Ideally, fees
for certifying and tracking trades, and for should be set so as to result in emissions
monitoring and enforcing compliance with being reduced to the socially optimal level
the EIP. considering the costs of control and the ben-
The definition of the commodity to be efits of the emissions reductions. In order to
traded and the design of the administrative motivate a change in emissions, the fees
procedures the buyer and seller must follow must be high enough that sources will ac-
to complete a trade are obvious elements tively seek to reduce emissions. It is impor-
that must be carefully selected to help en- tant to note that not all emission fee pro-
sure a successful trading market that grams are designed to motivate sources to
achieves the desired environmental goal at lower emissions. Fee programs using small
the lowest cost. An emissions market is de- fees are designed primarily to generate rev-
fined as efficient if it achieves the environ- enue, often to cover some of the administra-
mental goal at the lowest possible total cost. tive costs of a regulatory program.
Any feature of a program that unnecessarily There can be significant variations in
increases the total cost without helping emission fee programs. For example, poten-
achieve the environmental goals causes mar- tial emissions could be targeted by placing a
ket inefficiency. Thus, the design of an emis- fee on an input (e.g., a fee on the quantity
sion trading program should be evaluated and BTU content of fuel used in an industrial
not only in terms of the likelihood that the boiler) rather than on actual emissions.
program design will ensure that the environ- Sources paying a fee on potential emissions
mental goals of the program will be met, but could be eligible for a fee waiver or rebate by
also in terms of the costs that the design im- demonstrating that potential emissions are
poses upon market transactions and the im- not actually emitted, such as through a car-
pact of those costs on market efficiency. bon absorber system on a coating operation.
Transaction costs are the investment in Some fee program variations are designed
time and resources to acquire information to mitigate the potentially large amount of
about the price and availability of allow- revenue that a fee program could generate.
ances or ERC’s, to negotiate a trade, and to Although more complex than a simple fee
assure the trade is properly recorded and le- program, programs that reduce or eliminate
gally enforceable. All trading markets im- the total revenues may be more readily
pose some level of transaction costs. The adopted in a SIP than a simple emission fee.
level of transaction costs in an emissions Some programs lower the amount of total
trading market are affected by various as- revenues generated by waiving the fee on
pects of the design of the market, such as some emissions. These programs reduce the
the nature of the procedures for reviewing, total amount of revenue generated, while
approving, and recording trades, the timing providing an incentive to decrease emissions.
of such procedures (i.e., before or after the Alternatively, a program may impose higher
trade is made), uncertainties in the value of per-unit fees on a portion of the emissions
the allowance or credit being traded, the le- stream, providing a more powerful but tar-
gitimacy of the allowance or credit being of- geted incentive at the same revenue levels.
fered for sale, and the long-term integrity of For example, fees could be collected on all
the market itself. Emissions trading pro- emissions in excess of some fixed level. The
grams in which every transaction is dif- level could be set as a percentage of a base-
ferent, such as programs requiring signifi- line (e.g., fees on emissions above some per-
cant consideration of the differences in the centage of historical emissions), or as the
chemical properties or geographic location lowest emissions possible (e.g., fees on emis-
of the emissions, can result in higher trans- sions in excess of the lowest demonstrated
action costs than programs with a standard- emissions from the source category).
654
Environmental Protection Agency Pt. 51, App. X
Other fee programs are ‘‘revenue neutral,’’ D. Subsidies
meaning that the pollution control agency
A State may create incentives for reducing
does not receive any net revenues. One way
emissions by offering direct subsidies, grants
to design a revenue-neutral program is to or low-interest loans to encourage the pur-
have both a fee provision and a rebate provi- chase of lower-emitting capital equipment,
sion. Rebates must be carefully designed to or a switch to less polluting operating prac-
avoid lessening the incentive provided by the tices. Examples of such programs include
emission fee. For example, a rebate based on clean vehicle conversions, starting shuttle
comparing a source’s actual emissions and bus or van pool programs, and mass transit
the average emissions for the source cat- fare subsidies. Subsidy programs often suffer
egory can be designed to be revenue neutral from a variety of ‘‘free rider’’ problems. For
and not diminish the incentive. instance, subsidies for people or firms who
Other types of fee programs collect a fee in were going to switch to the cleaner alter-
relation to particular activities or types of native anyway lower the effectiveness of the
products to encourage the use of alter- subsidy program, or drive up the cost of
natives. While these fees are not necessarily achieving a targeted level of emissions re-
directly linked to the total amount of emis- ductions.
sions from the activity or product, the rel-
ative simplicity of a usage fee may make E. Transportation Control Measures
such programs an effective way to lower The following measures are the TCM’s list-
emissions. An area source example is a con- ed in section 108(f):
struction permit fee for wood stoves. Such a (i) Programs for improved public transit;
permit fee is directly related to the potential (ii) Restriction of certain roads or lanes to,
to emit inherent in a wood stove, and not to or construction of such roads or lanes for use
the actual emissions from each wood stove in by, passenger buses or high occupancy vehi-
use. Fees on raw materials to a manufac- cles;
turing process can encourage product refor- (iii) Employer-based transportation man-
mulation (e.g., fees on solvent sold to mak- agement plans, including incentives;
ers of architectural coatings) or changes in (iv) Trip-reduction ordinances;
work practices (e.g., fees on specialty sol- (v) Traffic flow improvement programs
vents and degreasing compounds used in that achieve emission reductions;
manufacturing). (vi) Fringe and transportation corridor
Road pricing mechanisms are fee programs parking facilities serving multiple-occu-
that are available to curtail low occupancy pancy vehicle programs or transit service;
vehicle use, fund transportation system im- (vii) Programs to limit or restrict vehicle
provements and control measures, spatially use in downtown areas or other areas of
and temporally shift driving patterns, and emission concentration particularly during
attempt to effect land usage changes. Pri- periods of peak use;
mary examples include increased peak period (viii) Programs for the provision of all
roadway, bridge, or tunnel tolls (this could forms of high-occupancy, shared-ride serv-
also be accomplished with automated vehicle ices;
identification systems as well), and toll dis- (ix) Programs to limit portions of road sur-
counts for pooling arrangements and zero- faces or certain sections of the metropolitan
emitting/low-emitting vehicles. area to the use of non-motorized vehicles or
pedestrian use, both as to time and place;
C. Tax Code and Zoning Provisions (x) Programs for secure bicycle storage fa-
cilities and other facilities, including bicycle
Modifications to existing State or local tax lanes, for the convenience and protection of
codes, zoning provisions, and land use plan- bicyclists, in both public and private areas;
ning can provide effective economic incen- (xi) Programs to control extended idling of
tives. Possible modifications to encourage vehicles;
emissions reductions cover a broad span of (xii) Programs to reduce motor vehicle
programs, such as accelerated depreciation emissions, consistent with title II, which are
of capital equipment used for emissions re- caused by extreme cold start conditions;
ductions, corporate income tax deductions or (xiii) Employer-sponsored programs to per-
credits for emission abatement costs, prop- mit flexible work schedules;
erty tax waivers based on decreasing emis- (xiv) Programs and ordinances to facilitate
sions, exempting low-emitting products from non-automobile travel, provision and utiliza-
sales tax, and limitations on parking spaces tion of mass transit, and to generally reduce
for office facilities. Mobile source strategies the need for single-occupant vehicle travel,
include waiving or lowering any of the fol- as part of transportation planning and devel-
lowing for zero- or low-emitting vehicles: ve- opment efforts of a locality, including pro-
hicle registration fees, vehicle property tax, grams and ordinances applicable to new
sales tax, taxicab license fees, and parking shopping centers, special events, and other
taxes. centers of vehicle activity;
655
Pt. 51, App. Y 40 CFR Ch. I (7–1–21 Edition)
(xv) Programs for new construction and 4. Step 4: For a BART review, what im-
major reconstruction of paths, tracks or pacts am I expected to calculate and
areas solely for the use by pedestrian or report? What methods does EPA rec-
other non-motorized means of transportation ommend for the impacts analyses?
when economically feasible and in the public a. Impact analysis part 1: how do I esti-
interest. For purposes of this clause, the Ad- mate the costs of control?
ministrator shall also consult with the Sec- b. What do we mean by cost effectiveness?
retary of the Interior; and c. How do I calculate average cost effec-
(xvi) Programs to encourage the voluntary tiveness?
removal from use and the marketplace of d. How do I calculate baseline emissions?
pre-1980 model year light-duty vehicles and e. How do I calculate incremental cost ef-
pre-1980 model light-duty trucks. fectiveness?
f. What other information should I provide
[59 FR 16715, Apr. 7, 1994] in the cost impacts analysis?
g. What other things are important to con-
APPENDIX Y TO PART 51—GUIDELINES sider in the cost impacts analysis?
FOR BART DETERMINATIONS UNDER h. Impact analysis part 2: How should I
THE REGIONAL HAZE RULE analyze and report energy impacts?
i. Impact analysis part 3: How do I analyze
TABLE OF CONTENTS ‘‘non-air quality environmental im-
I. Introduction and Overview pacts?’’
A. What is the purpose of the guidelines? j. Impact analysis part 4: What are exam-
B. What does the CAA require generally for ples of non-air quality environmental
improving visibility? impacts?
C. What is the BART requirement in the k. How do I take into account a project’s
CAA? ‘‘remaining useful life’’ in calculating
D. What types of visibility problems does control costs?
EPA address in its regulations? 5. Step 5: How should I determine visibility
E. What are the BART requirements in impacts in the BART determination?
EPA’s regional haze regulations? E. How do I select the ‘‘best’’ alternative,
F. What is included in the guidelines? using the results of Steps 1 through 5?
G. Who is the target audience for the 1. Summary of the impacts analysis
guidelines? 2. Selecting a ‘‘best’’ alternative
H. Do EPA regulations require the use of 3. In selecting a ‘‘best’’ alternative, should
these guidelines? I consider the affordability of controls?
II. How to Identify BART-eligible Sources 4. SO2 limits for utility boilers
A. What are the steps in identifying BART- 5. NOX limits for utility boilers
eligible sources? V. Enforceable Limits/Compliance Date
1. Step 1: Identify emission units in the I. INTRODUCTION AND OVERVIEW
BART categories
2. Step 2: Identify the start-up dates of the A. What is the purpose of the guidelines?
emission units
3. Step 3: Compare the potential emissions The Clean Air Act (CAA), in sections 169A
to the 250 ton/yr cutoff and 169B, contains requirements for the pro-
4. Final step: Identify the emission units tection of visibility in 156 scenic areas across
and pollutants that constitute the the United States. To meet the CAA’s re-
BART-eligible source. quirements, we published regulations to pro-
III. How to Identify Sources ‘‘Subject to tect against a particular type of visibility
BART’’ impairment known as ‘‘regional haze.’’ The
IV. The BART Determination: Analysis of regional haze rule is found in this part at 40
BART Options CFR 51.300 through 51.309. These regulations
A. What factors must I address in the require, in 40 CFR 51.308(e), that certain
BART Analysis? types of existing stationary sources of air
B. What is the scope of the BART review? pollutants install best available retrofit
C. How does a BART review relate to max- technology (BART). The guidelines are de-
imum achievable control technology signed to help States and others (1) identify
(MACT) standards under CAA section those sources that must comply with the
112? BART requirement, and (2) determine the
D. What are the five basic steps of a case- level of control technology that represents
by-case BART analysis? BART for each source.
1. Step 1: How do I identify all available
B. What does the CAA require generally for
retrofit emission control techniques?
improving visibility?
2. Step 2: How do I determine whether the
options identified in Step 1 are tech- Section 169A of the CAA, added to the CAA
nically feasible? by the 1977 amendments, requires States to
3. Step 3: How do I evaluate technically protect and improve visibility in certain sce-
feasible alternatives? nic areas of national importance. The scenic
656
Environmental Protection Agency Pt. 51, App. Y
areas protected by section 169A are ‘‘the (e) The degree of visibility improvement
mandatory Class I Federal Areas * * * where which may reasonably be anticipated from
visibility is an important value.’’ In these the use of BART.
guidelines, we refer to these as ‘‘Class I 3. The CAA further requires States to
areas.’’ There are 156 Class I areas, including make BART emission limitations part of
47 national parks (under the jurisdiction of their SIPs. As with any SIP revision, States
the Department of Interior—National Park must provide an opportunity for public com-
Service), 108 wilderness areas (under the ju- ment on the BART determinations, and
risdiction of the Department of the Inte- EPA’s action on any SIP revision will be
rior—Fish and Wildlife Service or the De- subject to judicial review.
partment of Agriculture—U.S. Forest Serv-
ice), and one International Park (under the D. What types of visibility problems does EPA
jurisdiction of the Roosevelt-Campobello address in its regulations?
International Commission). The Federal
Agency with jurisdiction over a particular 1. We addressed the problem of visibility in
Class I area is referred to in the CAA as the two phases. In 1980, we published regulations
Federal Land Manager. A complete list of addressing what we termed ‘‘reasonably at-
the Class I areas is contained in 40 CFR 81.401 tributable’’ visibility impairment. Reason-
through 81.437, and you can find a map of the ably attributable visibility impairment is
Class I areas at the following Internet site: the result of emissions from one or a few
http://www.epa.gov/ttn/oarpg/t1/frlnotices/ sources that are generally located in close
classimp.gif. proximity to a specific Class I area. The reg-
The CAA establishes a national goal of ulations addressing reasonably attributable
eliminating man-made visibility impairment visibility impairment are published in 40
from all Class I areas. As part of the plan for CFR 51.300 through 51.307.
achieving this goal, the visibility protection 2. On July 1, 1999, we amended these regu-
provisions in the CAA mandate that EPA lations to address the second, more common,
issue regulations requiring that States adopt type of visibility impairment known as ‘‘re-
measures in their State implementation gional haze.’’ Regional haze is the result of
plans (SIPs), including long-term strategies, the collective contribution of many sources
to provide for reasonable progress towards over a broad region. The regional haze rule
this national goal. The CAA also requires slightly modified 40 CFR 51.300 through
States to coordinate with the Federal Land 51.307, including the addition of a few defini-
Managers as they develop their strategies for tions in § 51.301, and added new §§ 51.308 and
addressing visibility. 51.309.
C. What is the BART requirement in the CAA? E. What are the BART requirements in EPA’s
1. Under section 169A(b)(2)(A) of the CAA, regional haze regulations?
States must require certain existing sta-
1. In the July 1, 1999 rulemaking, we added
tionary sources to install BART. The BART
a BART requirement for regional haze. We
provision applies to ‘‘major stationary
sources’’ from 26 identified source categories amended the BART requirements in 2005.
which have the potential to emit 250 tons per You will find the BART requirements in 40
year or more of any air pollutant. The CAA CFR 51.308(e). Definitions of terms used in 40
requires only sources which were put in CFR 51.308(e)(1) are found in 40 CFR 51.301.
place during a specific 15-year time interval 2. As we discuss in detail in these guide-
to be subject to BART. The BART provision lines, the regional haze rule codifies and
applies to sources that existed as of the date clarifies the BART provisions in the CAA.
of the 1977 CAA amendments (that is, August The rule requires that States identify and
7, 1977) but which had not been in operation list ‘‘BART-eligible sources,’’ that is, that
for more than 15 years (that is, not in oper- States identify and list those sources that
ation as of August 7, 1962). fall within the 26 source categories, were put
2. The CAA requires BART review when in place during the 15-year window of time
any source meeting the above description from 1962 to 1977, and have potential emis-
‘‘emits any air pollutant which may reason- sions greater than 250 tons per year. Once
ably be anticipated to cause or contribute to the State has identified the BART-eligible
any impairment of visibility’’ in any Class I sources, the next step is to identify those
area. In identifying a level of control as BART-eligible sources that may ‘‘emit any
BART, States are required by section 169A(g) air pollutant which may reasonably be an-
of the CAA to consider: ticipated to cause or contribute to any im-
(a) The costs of compliance, pairment of visibility.’’ Under the rule, a
(b) The energy and non-air quality environ- source which fits this description is ‘‘subject
mental impacts of compliance, to BART.’’ For each source subject to BART,
(c) Any existing pollution control tech- 40 CFR 51.308(e)(1)(ii)(A) requires that States
nology in use at the source, identify the level of control representing
(d) The remaining useful life of the source, BART after considering the factors set out
and in CAA section 169A(g), as follows:
657
—States must identify the best system of reduction’’ based upon its evaluation of
continuous emission control technology these factors. Procedures for the BART de-
for each source subject to BART taking termination step are described in section IV
into account the technology available, the of these guidelines.
costs of compliance, the energy and non- (d) Emissions limits. States must establish
air quality environmental impacts of com- emission limits, including a deadline for
pliance, any pollution control equipment compliance, consistent with the BART deter-
in use at the source, the remaining useful mination process for each source subject to
life of the source, and the degree of visi-
BART. Considerations related to these limits
bility improvement that may be expected
are discussed in section V of these guide-
from available control technology.
lines.
3. After a State has identified the level of
control representing BART (if any), it must G. Who is the target audience for the
establish an emission limit representing guidelines?
BART and must ensure compliance with that
requirement no later than 5 years after EPA 1. The guidelines are written primarily for
approves the SIP. States may establish de- the benefit of State, local and Tribal agen-
sign, equipment, work practice or other cies, and describe a process for making the
operational standards when limitations on BART determinations and establishing the
measurement technologies make emission emission limitations that must be included
standards infeasible. in their SIPs or Tribal implementation plans
(TIPs). Throughout the guidelines, which are
F. What is included in the guidelines?
written in a question and answer format, we
1. The guidelines provide a process for ask questions ‘‘How do I * * *?’’ and answer
making BART determinations that States with phrases ‘‘you should * * *, you must
can use in implementing the regional haze * * *’’ The ‘‘you’’ means a State, local or
BART requirements on a source-by-source Tribal agency conducting the analysis. We
basis, as provided in 40 CFR 51.308(e)(1). have used this format to make the guidelines
States must follow the guidelines in making simpler to understand, but we recognize that
BART determinations on a source-by-source States have the authority to require source
basis for 750 megawatt (MW) power plants owners to assume part of the analytical bur-
but are not required to use the process in the den, and that there will be differences in how
guidelines when making BART determina- the supporting information is collected and
tions for other types of sources. documented. We also recognize that data col-
2. The BART analysis process, and the con-
lection, analysis, and rule development may
tents of these guidelines, are as follows:
be performed by Regional Planning Organi-
(a) Identification of all BART-eligible sources.
Section II of these guidelines outlines a step- zations, for adoption within each SIP or TIP.
by-step process for identifying BART-eligible 2. The preamble to the 1999 regional haze
sources. rule discussed at length the issue of Tribal
(b) Identification of sources subject to BART. implementation of the requirements to sub-
As noted above, sources ‘‘subject to BART’’ mit a plan to address visibility. As explained
are those BART-eligible sources which ‘‘emit there, requirements related to visibility are
a pollutant which may reasonably be antici- among the programs for which Tribes may be
pated to cause or contribute to any impair- determined eligible and receive authoriza-
ment of visibility in any Class I area.’’ We tion to implement under the ‘‘Tribal Author-
discuss considerations for identifying ity Rule’’ (‘‘TAR’’) (40 CFR 49.1 through
sources subject to BART in section III of the 49.11). Tribes are not subject to the deadlines
guidance. for submitting visibility implementation
(c) The BART determination process. For plans and may use a modular approach to
each source subject to BART, the next step CAA implementation. We believe there are
is to conduct an analysis of emissions con- very few BART-eligible sources located on
trol alternatives. This step includes the iden- Tribal lands. Where such sources exist, the
tification of available, technically feasible affected Tribe may apply for delegation of
retrofit technologies, and for each tech- implementation authority for this rule, fol-
nology identified, an analysis of the cost of lowing the process set forth in the TAR.
compliance, the energy and non-air quality
environmental impacts, and the degree of H. Do EPA regulations require the use of these
visibility improvement in affected Class I guidelines?
areas resulting from the use of the control
technology. As part of the BART analysis, Section 169A(b) requires us to issue guide-
the State should also take into account the lines for States to follow in establishing
remaining useful life of the source and any BART emission limitations for fossil-fuel
existing control technology present at the fired power plants having a capacity in ex-
source. For each source, the State will deter- cess of 750 megawatts. This document fulfills
mine a ‘‘best system of continuous emission that requirement, which is codified in 40
658
CFR 51.308(e)(1)(ii)(B). The guidelines estab- 1. Step 1: Identify Emission Units in the
lish an approach to implementing the re- BART Categories
quirements of the BART provisions of the re-
1. The BART requirement only applies to
gional haze rule; we believe that these proce-
sources in specific categories listed in the
dures and the discussion of the requirements
CAA. The BART requirement does not apply
of the regional haze rule and the CAA should
to sources in other source categories, regard-
be useful to the States. For sources other
less of their emissions. The listed categories
than 750 MW power plants, however, States
are:
retain the discretion to adopt approaches
(1) Fossil-fuel fired steam electric plants of
that differ from the guidelines.
more than 250 million British thermal units
II. HOW TO IDENTIFY BART-ELIGIBLE SOURCES (BTU) per hour heat input,
(2) Coal cleaning plants (thermal dryers),
This section provides guidelines on how to (3) Kraft pulp mills,
identify BART-eligible sources. A BART-eli- (4) Portland cement plants,
gible source is an existing stationary source (5) Primary zinc smelters,
in any of 26 listed categories which meets (6) Iron and steel mill plants,
criteria for startup dates and potential emis- (7) Primary aluminum ore reduction
sions. plants,
(8) Primary copper smelters,
A. What are the steps in identifying BART- (9) Municipal incinerators capable of
eligible sources? charging more than 250 tons of refuse per
day,
Figure 1 shows the steps for identifying (10) Hydrofluoric, sulfuric, and nitric acid
whether the source is a ‘‘BART-eligible plants,
source:’’ (11) Petroleum refineries,
Step 1: Identify the emission units in the (12) Lime plants,
BART categories, (13) Phosphate rock processing plants,
Step 2: Identify the start-up dates of those (14) Coke oven batteries,
emission units, and (15) Sulfur recovery plants,
Step 3: Compare the potential emissions to (16) Carbon black plants (furnace process),
the 250 ton/yr cutoff. (17) Primary lead smelters,
Figure 1. How to determine whether a (18) Fuel conversion plants,
source is BART-eligible: (19) Sintering plants,
Step 1: Identify emission units in the (20) Secondary metal production facilities,
BART categories (21) Chemical process plants,
(22) Fossil-fuel boilers of more than 250
Does the plant contain emissions units in
million BTUs per hour heat input,
one or more of the 26 source categories?
(23) Petroleum storage and transfer facili-
➜ No ➜ Stop
ties with a capacity exceeding 300,000 barrels,
➜ Yes ➜ Proceed to Step 2 (24) Taconite ore processing facilities,
Step 2: Identify the start-up dates of these (25) Glass fiber processing plants, and
emission units (26) Charcoal production facilities.
Do any of these emissions units meet the fol- 2. Some plants may have emission units
lowing two tests? from more than one category, and some
In existence on August 7, 1977 emitting equipment may fit into more than
AND one category. Examples of this situation are
sulfur recovery plants at petroleum refin-
Began operation after August 7, 1962
eries, coke oven batteries and sintering
➜ No ➜ Stop
plants at steel mills, and chemical process
➜ Yes ➜ Proceed to Step 3 plants at refineries. For Step 1, you identify
Step 3: Compare the potential emissions all of the emissions units at the plant that
from these emission units to the 250 ton/yr fit into one or more of the listed categories.
cutoff You do not identify emission units in other
Identify the ‘‘stationary source’’ that in- categories.
cludes the emission units you identi- Example: A mine is collocated with an elec-
fied in Step 2. tric steam generating plant and a coal clean-
Add the current potential emissions from ing plant. You would identify emission units
all the emission units identified in associated with the electric steam gener-
Steps 1 and 2 that are included within ating plant and the coal cleaning plant, be-
the ‘‘stationary source’’ boundary. cause they are listed categories, but not the
Are the potential emissions from these mine, because coal mining is not a listed cat-
units 250 tons per year or more for any egory.
visibility-impairing pollutant? 3. The category titles are generally clear in
➜ No ➜ Stop describing the types of equipment to be list-
➜ Yes ➜ These emissions units com- ed. Most of the category titles are very broad
prise the ‘‘BART-eligible source.’’ descriptions that encompass all emission
659
units associated with a plant site (for exam- including elemental phosphorous plants as
ple, ‘‘petroleum refining’’ and ‘‘kraft pulp well as fertilizer production plants.
mills’’). This same list of categories appears (5) ‘‘Charcoal production facilities.’’ We in-
in the PSD regulations. States and source terpret this category to include charcoal bri-
owners need not revisit any interpretations quet manufacturing and activated carbon
of the list made previously for purposes of production.
the PSD program. We provide the following (6) ‘‘Chemical process plants.’’ and pharma-
clarifications for a few of the category titles: ceutical manufacturing. Consistent with
(1) ‘‘Steam electric plants of more than 250 past policy, we interpret the category
million BTU/hr heat input.’’ Because the cat- ‘‘chemical process plants’’ to include those
egory refers to ‘‘plants,’’ we interpret this facilities within the 2-digit Standard Indus-
category title to mean that boiler capacities trial Classification (SIC) code 28. Accord-
should be aggregated to determine whether ingly, we interpret the term ‘‘chemical proc-
the 250 million BTU/hr threshold is reached. ess plants’’ to include pharmaceutical manu-
This definition includes only those plants facturing facilities.
(7) ‘‘Secondary metal production.’’ We inter-
that generate electricity for sale. Plants
pret this category to include nonferrous
that cogenerate steam and electricity also
metal facilities included within SIC code
fall within the definition of ‘‘steam electric
3341, and secondary ferrous metal facilities
plants’’. Similarly, combined cycle turbines
that we also consider to be included within
are also considered ‘‘steam electric plants’’
the category ‘‘iron and steel mill plants.’’
because such facilities incorporate heat re-
(8) ‘‘Primary aluminum ore reduction.’’ We
covery steam generators. Simple cycle tur-
interpret this category to include those fa-
bines, in contrast, are not ‘‘steam electric
cilities covered by 40 CFR 60.190, the new
plants’’ because these turbines typically do source performance standard (NSPS) for pri-
not generate steam. mary aluminum ore reduction plants. This
Example: A stationary source includes a definition is also consistent with the defini-
steam electric plant with three 100 million tion at 40 CFR 63.840.
BTU/hr boilers. Because the aggregate capac-
ity exceeds 250 million BTU/hr for the 2. Step 2: Identify the Start-Up Dates of the
‘‘plant,’’ these boilers would be identified in Emission Units
Step 2. 1. Emissions units listed under Step 1 are
(2) ‘‘Fossil-fuel boilers of more than 250 mil- BART-eligible only if they were ‘‘in exist-
lion BTU/hr heat input.’’ We interpret this ence’’ on August 7, 1977 but were not ‘‘in op-
category title to cover only those boilers eration’’ before August 7, 1962.
that are individually greater than 250 mil-
lion BTU/hr. However, an individual boiler What does ‘‘in existence on August 7, 1977’’
smaller than 250 million BTU/hr should be mean?
subject to BART if it is an integral part of a 2. The regional haze rule defines ‘‘in exist-
process description at a plant that is in a dif- ence’’ to mean that:
ferent BART category—for example, a boiler ‘‘the owner or operator has obtained all
at a Kraft pulp mill that, in addition to pro- necessary preconstruction approvals or per-
viding steam or mechanical power, uses the mits required by Federal, State, or local air
waste liquor from the process as a fuel. In pollution emissions and air quality laws or
general, if the process uses any by-product of regulations and either has (1) begun, or
the boiler and the boiler’s function is to caused to begin, a continuous program of
serve the process, then the boiler is integral physical on-site construction of the facility
to the process and should be considered to be or (2) entered into binding agreements or
part of the process description. contractual obligations, which cannot be
Also, you should consider a multi-fuel boil- canceled or modified without substantial
er to be a ‘‘fossil-fuel boiler’’ if it burns any loss to the owner or operator, to undertake a
amount of fossil fuel. You may take feder- program of construction of the facility to be
ally and State enforceable operational limits completed in a reasonable time.’’ 40 CFR
into account in determining whether a 51.301.
multi-fuel boiler’s fossil fuel capacity ex- As this definition is essentially identical
ceeds 250 million Btu/hr. to the definition of ‘‘commence construc-
(3) ‘‘Petroleum storage and transfer facilities tion’’ as that term is used in the PSD regula-
with a capacity exceeding 300,000 barrels.’’ The tions, the two terms mean the same thing.
300,000 barrel cutoff refers to total facility- See 40 CFR 51.165(a)(1)(xvi) and 40 CFR
wide tank capacity for tanks that were put 52.21(b)(9). Under this definition, an emis-
in place within the 1962–1977 time period, and sions unit could be ‘‘in existence’’ even if it
includes gasoline and other petroleum-de- did not begin operating until several years
rived liquids. after 1977.
(4) ‘‘Phosphate rock processing plants.’’ This Example: The owner of a source obtained
category descriptor is broad, and includes all all necessary permits in early 1977 and en-
types of phosphate rock processing facilities, tered into binding construction agreements
660
in June 1977. Actual on-site construction curred must be made in accordance with the
began in late 1978, and construction was provisions of §§ 60.15 (f)(1) through (3) of this
completed in mid-1979. The source began op- title.’’ ‘‘[T]he provisions of §§ 60.15(f)(1)
erating in September 1979. The emissions through (3)’’ refers to the general provisions
unit was ‘‘in existence’’ as of August 7, 1977. for New Source Performance Standards
Major stationary sources which com- (NSPS). Thus, the same policies and proce-
menced construction AFTER August 7, 1977 dures for identifying reconstructed ‘‘affected
(i.e., major stationary sources which were facilities’’ under the NSPS program must
not ‘‘in existence’’ on August 7, 1977) were also be used to identify reconstructed ‘‘sta-
subject to new source review (NSR) under tionary sources’’ for purposes of the BART
the PSD program. Thus, the August 7, 1977 requirement.
‘‘in existence’’ test is essentially the same 3. You should identify reconstructions on
thing as the identification of emissions units an emissions unit basis, rather than on a
that were grandfathered from the NSR re- plantwide basis. That is, you need to identify
view requirements of the 1977 CAA amend- only the reconstructed emission units meet-
ments. ing the 50 percent cost criterion. You should
3. Sources are not BART-eligible if the include reconstructed emission units in the
only change at the plant during the relevant list of emission units you identified in Step
time period was the addition of pollution 1. You need consider as possible reconstruc-
controls. For example, if the only change at tions only those emissions units with the po-
a copper smelter during the 1962 through 1977 tential to emit more than 250 tons per year
time period was the addition of acid plants of any visibility-impairing pollutant.
for the reduction of SO2 emissions, these 4. The ‘‘in operation’’ and ‘‘in existence’’
emission controls would not by themselves tests apply to reconstructed sources. If an
trigger a BART review. emissions unit was reconstructed and began
actual operation before August 7, 1962, it is
What does ‘‘in operation before August 7, not BART-eligible. Similarly, any emissions
1962’’ mean? unit for which a reconstruction ‘‘com-
menced’’ after August 7, 1977, is not BART-
An emissions unit that meets the August 7,
eligible.
1977 ‘‘in existence’’ test is not BART-eligible
if it was in operation before August 7, 1962. How are modifications treated under the
‘‘In operation’’ is defined as ‘‘engaged in ac- BART provision?
tivity related to the primary design function
of the source.’’ This means that a source 1. The NSPS program and the major source
must have begun actual operations by Au- NSR program both contain the concept of
gust 7, 1962 to satisfy this test. modifications. In general, the term ‘‘modi-
fication’’ refers to any physical change or
Example: The owner or operator entered
change in the method of operation of an
into binding agreements in 1960. Actual on-
emissions unit that results in an increase in
site construction began in 1961, and con-
emissions.
struction was complete in mid-1962. The
2. The BART provision in the regional haze
source began operating in September 1962.
rule contains no explicit treatment of modi-
The emissions unit was not ‘‘in operation’’
fications or how modified emissions units,
before August 7, 1962 and is therefore subject
previously subject to the requirement to in-
to BART.
stall best available control technology
What is a ‘‘reconstructed source?’ (BACT), lowest achievable emission rate
(LAER) controls, and/or NSPS are treated
1. Under a number of CAA programs, an ex- under the rule. As the BART requirements in
isting source which is completely or substan- the CAA do not appear to provide any ex-
tially rebuilt is treated as a new source. emption for sources which have been modi-
Such ‘‘reconstructed’’ sources are treated as fied since 1977, the best interpretation of the
new sources as of the time of the reconstruc- CAA visibility provisions is that a subse-
tion. Consistent with this overall approach quent modification does not change a unit’s
to reconstructions, the definition of BART- construction date for the purpose of BART
eligible facility (reflected in detail in the applicability. Accordingly, if an emissions
definition of ‘‘existing stationary facility’’) unit began operation before 1962, it is not
includes consideration of sources that were BART-eligible if it was modified between
in operation before August 7, 1962, but were 1962 and 1977, so long as the modification is
reconstructed during the August 7, 1962 to not also a ‘‘reconstruction.’’ On the other
August 7, 1977 time period. hand, an emissions unit which began oper-
2. Under the regional haze regulations at 40 ation within the 1962–1977 time window, but
CFR 51.301, a reconstruction has taken place was modified after August 7, 1977, is BART-
if ‘‘the fixed capital cost of the new compo- eligible. We note, however, that if such a
nent exceeds 50 percent of the fixed capital modification was a major modification that
cost of a comparable entirely new source.’’ resulted in the installation of controls, the
The rule also states that ‘‘[a]ny final deci- State will take this into account during the
sion as to whether reconstruction has oc- review process and may find that the level of
661
controls already in place are consistent with (5) Ammonia and ammonia compounds.
BART. You should use your best judgment in de-
ciding whether VOC or ammonia emissions
3. Step 3: Compare the Potential Emissions from a source are likely to have an impact
to the 250 Ton/Yr Cutoff on visibility in an area. Certain types of VOC
The result of Steps 1 and 2 will be a list of emissions, for example, are more likely to
emissions units at a given plant site, includ- form secondary organic aerosols than oth-
ing reconstructed emissions units, that are ers. 1 Similarly, controlling ammonia emis-
within one or more of the BART categories sions in some areas may not have a signifi-
and that were placed into operation within cant impact on visibility. You need not pro-
the 1962–1977 time window. The third step is vide a formal showing of an individual deci-
to determine whether the total emissions sion that a source of VOC or ammonia emis-
represent a current potential to emit that is sions is not subject to BART review. Because
greater than 250 tons per year of any single air quality modeling may not be feasible for
visibility impairing pollutant. Fugitive individual sources of VOC or ammonia, you
emissions, to the extent quantifiable, must should also exercise your judgement in as-
be counted. In most cases, you will add the sessing the degree of visibility impacts due
potential emissions from all emission units to emissions of VOC and emissions of ammo-
on the list resulting from Steps 1 and 2. In a nia or ammonia compounds. You should fully
few cases, you may need to determine wheth- document the basis for judging that a VOC
er the plant contains more than one ‘‘sta- or ammonia source merits BART review, in-
tionary source’’ as the regional haze rule de- cluding your assessment of the source’s con-
fines that term, and as we explain further tribution to visibility impairment.
below.
What does the term ‘‘potential’’ emissions
What pollutants should I address? mean?
Visibility-impairing pollutants include the The regional haze rule defines potential to
following: emit as follows:
(1) Sulfur dioxide (SO2),
(2) Nitrogen oxides (NOX), and ‘‘Potential to emit’’ means the maximum
(3) Particulate matter. capacity of a stationary source to emit a pol-
You may use PM10 as an indicator for par- lutant under its physical and operational de-
ticulate matter in this intial step. [Note that sign. Any physical or operational limitation
we do not recommend use of total suspended on the capacity of the source to emit a pol-
particulates (TSP) as in indicator for partic- lutant including air pollution control equip-
ulate matter.] As emissions of PM10 include ment and restrictions on hours of operation
the components of PM2.5 as a subset, there is or on the type or amount of material com-
no need to have separate 250 ton thresholds busted, stored, or processed, shall be treated
for PM10 and PM2.5; 250 tons of PM10 rep- as part of its design if the limitation or the
resents at most 250 tons of PM2.5, and at most effect it would have on emissions is federally
250 tons of any individual particulate species enforceable. Secondary emissions do not
such as elemental carbon, crustal material, count in determining the potential to emit
etc. of a stationary source.
However, if you determine that a source of The definition of ‘‘potential to emit’’ means
particulate matter is BART-eligible, it will that a source which actually emits less than
be important to distinguish between the fine 250 tons per year of a visibility-impairing
and coarse particle components of direct par- pollutant is BART-eligible if its emissions
ticulate emissions in the remainder of the would exceed 250 tons per year when oper-
BART analysis, including for the purpose of ating at its maximum capacity given its
modeling the source’s impact on visibility. physical and operational design (and consid-
This is because although both fine and ering all federally enforceable and State en-
coarse particulate matter contribute to visi- forceable permit limits.)
bility impairment, the long-range transport Example: A source, while operating at one-
of fine particles is of particular concern in fourth of its capacity, emits 75 tons per year
the formation of regional haze. Thus, for ex- of SO2. If it were operating at 100 percent of
ample, air quality modeling results used in its maximum capacity, the source would
the BART determination will provide a more emit 300 tons per year. Because under the
accurate prediction of a source’s impact on above definition such a source would have
visibility if the inputs into the model ac- ‘‘potential’’ emissions that exceed 250 tons
count for the relative particle size of any di- per year, the source (if in a listed category
rectly emitted particulate matter (i.e. PM10
vs. PM2.5).
You should exercise judgment in deciding 1 Fine particles: Overview of Atmospheric
whether the following pollutants impair visi- Chemistry, Sources of Emissions, and Ambient
bility in an area: Monitoring Data, Memorandum to Docket
(4) Volatile organic compounds (VOC), and OAR 2002–006, April 1, 2005.
662
and built during the 1962–1977 time window) the same way as the test is applied in the
would be BART-eligible. major source NSR programs. 4
4. For purposes of the regional haze rule,
How do I identify whether a plant has more you must group emissions from all emission
than one ‘‘stationary source?’’ units put in place within the 1962–1977 time
1. The regional haze rule, in 40 CFR 51.301, period that are within the 2-digit SIC code,
defines a stationary source as a ‘‘building, even if those emission units are in different
structure, facility or installation which categories on the BART category list.
emits or may emit any air pollutant.’’ 2 The Examples: A chemical plant which started
rule further defines ‘‘building, structure or operations within the 1962 to 1977 time period
facility’’ as: manufactures hydrochloric acid (within the
all of the pollutant-emitting activities which category title ‘‘Hydrochloric, sulfuric, and
belong to the same industrial grouping, are nitric acid plants’’) and various organic
located on one or more contiguous or adja- chemicals (within the category title ‘‘chem-
ical process plants’’). All of the emission
cent properties, and are under the control of
units are within SIC code 28 and, therefore,
the same person (or persons under common
all the emission units are considered in de-
control). Pollutant-emitting activities must
termining BART eligibility of the plant. You
be considered as part of the same industrial
sum the emissions over all of these emission
grouping if they belong to the same Major
units to see whether there are more than 250
Group (i.e., which have the same two-digit
tons per year of potential emissions.
code) as described in the Standard Industrial
A steel mill which started operations with-
Classification Manual, 1972 as amended by in the 1962 to 1977 time period includes a sin-
the 1977 Supplement (U.S. Government tering plant, a coke oven battery, and var-
Printing Office stock numbers 4101–0066 and ious other emission units. All of the emis-
003–005–00176–0, respectively). sion units are within SIC code 33. You sum
2. In applying this definition, it is nec- the emissions over all of these emission
essary to determine which facilities are lo- units to see whether there are more than 250
cated on ‘‘contiguous or adjacent prop- tons per year of potential emissions.
erties.’’ Within this contiguous and adjacent
area, it is also necessary to group those 4. Final Step: Identify the Emissions Units
emission units that are under ‘‘common con- and Pollutants That Constitute the BART-
trol.’’ We note that these plant boundary Eligible Source
issues and ‘‘common control’’ issues are very If the emissions from the list of emissions
similar to those already addressed in imple- units at a stationary source exceed a poten-
mentation of the title V operating permits tial to emit of 250 tons per year for any visi-
program and in NSR. bility-impairing pollutant, then that collec-
3. For emission units within the ‘‘contig- tion of emissions units is a BART-eligible
uous or adjacent’’ boundary and under com- source.
mon control, you must group emission units
Example: A stationary source comprises the
that are within the same industrial grouping following two emissions units, with the fol-
(that is, associated with the same 2-digit SIC lowing potential emissions:
code) in order to define the stationary Emissions unit A
source. 3 For most plants on the BART 200 tons/yr SO2
source category list, there will only be one 2- 150 tons/yr NOX
digit SIC that applies to the entire plant. 25 tons/yr PM
For example, all emission units associated Emissions unit B
with kraft pulp mills are within SIC code 26, 100 tons/yr SO2
and chemical process plants will generally 75 tons/yr NOX
include emission units that are all within 10 tons/yr PM
SIC code 28. The ‘‘2-digit SIC test’’ applies in
For this example, potential emissions of SO2
are 300 tons/yr, which exceeds the 250 tons/yr
2 NOTE: Most of these terms and definitions
are the same for regional haze and the 1980 4 NOTE: The concept of support facility used
visibility regulations. For the regional haze for the NSR program applies here as well.
rule we use the term ‘‘BART-eligible source’’ Support facilities, that is facilities that con-
rather than ‘‘existing stationary facility’’ to vey, store or otherwise assist in the produc-
clarify that only a limited subset of existing tion of the principal product, must be
stationary sources are subject to BART. grouped with primary facilities even when
3 We recognize that we are in a transition
the facilities fall wihin separate SIC codes.
period from the use of the SIC system to a For purposes of BART reviews, however,
new system called the North American In- such support facilities (a) must be within one
dustry Classification System (NAICS). For of the 26 listed source categories and (b)
purposes of identifying BART-eligible must have been in existence as of August 7,
sources, you may use either 2-digit SICS or 1977, and (c) must not have been in operation
the equivalent in the NAICS system. as of August 7, 1962.
663
threshold. Accordingly, the entire ‘‘sta- that source or group of sources (or for cer-
tionary source’’, that is, emissions units A tain pollutants from those sources). In such
and B, may be subject to a BART review for a case, the source is not ‘‘subject to BART’’
SO2, NOX, and PM, even though the potential and you do not need to apply the five statu-
emissions of PM and NOX at each emissions tory factors to make a BART determination.
unit are less than 250 tons/yr each. This section of the Guideline discusses sev-
Examples: The total potential emissions, eral approaches that you can use to exempt
obtained by adding the potential emissions sources from the BART determination proc-
of all emission units in a listed category at ess.
a plant site, are as follows:
200 tons/yr SO2 A. What Steps Do I Follow To Determine
150 tons/yr NOX Whether a Source or Group of Sources Cause
25 tons/yr PM or Contribute to Visibility Impairment for Pur-
Even though total emissions exceed 250 poses of BART?
tons/yr, no individual regulated pollutant ex-
ceeds 250 tons/yr and this source is not 1. How Do I Establish a Threshold?
BART-eligible.
One of the first steps in determining
Can States establish de minimis levels of whether sources cause or contribute to visi-
emissions for pollutants at BART-eligible bility impairment for purposes of BART is to
sources? establish a threshold (measured in deciviews)
against which to measure the visibility im-
In order to simplify BART determinations,
pact of one or more sources. A single source
States may choose to identify de minimis
that is responsible for a 1.0 deciview change
levels of pollutants at BART-eligible sources
(but are not required to do so). De minimis or more should be considered to ‘‘cause’’ visi-
values should be identified with the purpose bility impairment; a source that causes less
of excluding only those emissions so mini- than a 1.0 deciview change may still con-
mal that they are unlikely to contribute to tribute to visibility impairment and thus be
regional haze. Any de minimis values that subject to BART.
you adopt must not be higher than the PSD Because of varying circumstances affecting
applicability levels: 40 tons/yr for SO2 and different Class I areas, the appropriate
NOX and 15 tons/yr for PM10. These de mini- threshold for determining whether a source
mis levels may only be applied on a plant- ‘‘contributes to any visibility impairment’’
wide basis. for the purposes of BART may reasonably
differ across States. As a general matter,
III. HOW TO IDENTIFY SOURCES ‘‘SUBJECT TO any threshold that you use for determining
BART’’ whether a source ‘‘contributes’’ to visibility
Once you have compiled your list of BART- impairment should not be higher than 0.5
eligible sources, you need to determine deciviews.
whether (1) to make BART determinations In setting a threshold for ‘‘contribution,’’
for all of them or (2) to consider exempting you should consider the number of emissions
some of them from BART because they may sources affecting the Class I areas at issue
not reasonably be anticipated to cause or and the magnitude of the individual sources’
contribute to any visibility impairment in a impacts. 5 In general, a larger number of
Class I area. If you decide to make BART de- sources causing impacts in a Class I area
terminations for all the BART-eligible may warrant a lower contribution threshold.
sources on your list, you should work with States remain free to use a threshold lower
your regional planning organization (RPO) than 0.5 deciviews if they conclude that the
to show that, collectively, they cause or con- location of a large number of BART-eligible
tribute to visibility impairment in at least sources within the State and in proximity to
one Class I area. You should then make indi- a Class I area justify this approach. 6
vidual BART determinations by applying the
five statutory factors discussed in Section IV
below. 5 We expect that regional planning organi-
On the other hand, you also may choose to zations will have modeling information that
perform an initial examination to determine identifies sources affecting visibility in indi-
whether a particular BART-eligible source or vidual class I areas.
group of sources causes or contributes to vis- 6 Note that the contribution threshold
ibility impairment in nearby Class I areas. If should be used to determine whether an indi-
your analysis, or information submitted by vidual source is reasonably anticipated to
the source, shows that an individual source contribute to visibility impairment. You
or group of sources (or certain pollutants should not aggregate the visibility effects of
from those sources) is not reasonably antici- multiple sources and compare their collec-
pated to cause or contribute to any visibility tive effects against your contribution
impairment in a Class I area, then you do threshold because this would inappropriately
not need to make BART determinations for create a ‘‘contribute to contribution’’ test.
664
2. What Pollutants Do I Need To Consider? You can use CALPUFF 7 or other appro-
priate model to predict the visibility im-
You must look at SO2, NOX, and direct par-
pacts from a single source at a Class I area.
ticulate matter (PM) emissions in deter-
CALPUFF is the best regulatory modeling
mining whether sources cause or contribute
application currently available for pre-
to visibility impairment, including both
dicting a single source’s contribution to visi-
PM10 and PM2.5. Consistent with the ap-
bility impairment and is currently the only
proach for identifying your BART-eligible
EPA-approved model for use in estimating
sources, you do not need to consider less
single source pollutant concentrations re-
than de minimis emissions of these pollut-
sulting from the long range transport of pri-
ants from a source.
mary pollutants. 8 It can also be used for
As explained in section II, you must use
some other purposes, such as the visibility
your best judgement to determine whether
assessments addressed in today’s rule, to ac-
VOC or ammonia emissions are likely to
count for the chemical transformation of SO2
have an impact on visibility in an area. In
and NOX.
addition, although as explained in Section II,
There are several steps for making an indi-
you may use PM10 an indicator for particu-
vidual source attribution using a dispersion
late matter in determining whether a source
model:
is BART-eligible, in determining whether a
1. Develop a modeling protocol. Some critical
source contributes to visibility impairment,
items to include in the protocol are the me-
you should distinguish between the fine and
teorological and terrain data that will be
coarse particle components of direct particu-
used, as well as the source-specific informa-
late emissions. Although both fine and
tion (stack height, temperature, exit veloc-
coarse particulate matter contribute to visi-
ity, elevation, and emission rates of applica-
bility impairment, the long-range transport
ble pollutants) and receptor data from appro-
of fine particles is of particular concern in
priate Class I areas. We recommend fol-
the formation of regional haze. Air quality
lowing EPA’s Interagency Workgroup on Air
modeling results used in the BART deter-
Quality Modeling (IWAQM) Phase 2 Summary
mination will provide a more accurate pre-
Report and Recommendations for Modeling
diction of a source’s impact on visibility if
Long Range Transport Impacts 9 for parameter
the inputs into the model account for the
settings and meteorological data inputs. You
relative particle size of any directly emitted
may use other settings from those in
particulate matter (i.e., PM10 vs. PM2.5).
IWAQM, but you should identify these set-
3. What Kind of Modeling Should I Use To tings and explain your selection of these set-
Determine Which Sources and Pollutants tings.
Need Not Be Subject to BART? One important element of the protocol is
in establishing the receptors that will be
This section presents several options for used in the model. The receptors that you
determining that certain sources need not be use should be located in the nearest Class I
subject to BART. These options rely on dif- area with sufficient density to identify the
ferent modeling and/or emissions analysis likely visibility effects of the source. For
approaches. They are provided for your guid- other Class I areas in relatively close prox-
ance. You may also use other reasonable ap- imity to a BART-eligible source, you may
proaches for analyzing the visibility impacts model a few strategic receptors to determine
of an individual source or group of sources. whether effects at those areas may be great-
er than at the nearest Class I area. For ex-
Option 1: Individual Source Attribution ample, you might chose to locate receptors
Approach (Dispersion Modeling) at these areas at the closest point to the
You can use dispersion modeling to deter-
mine that an individual source cannot rea- 7 The model code and its documentation
sonably be anticipated to cause or contribute are available at no cost for download from
to visibility impairment in a Class I area and http://www.epa.gov/scram001/tt22.htm#calpuff.
thus is not subject to BART. Under this op- 8 The Guideline on Air Quality Models, 40
tion, you can analyze an individual source’s CFR part 51, appendix W, addresses the regu-
impact on visibility as a result of its emis- latory application of air quality models for
sions of SO2, NOX and direct PM emissions. assessing criteria pollutants under the CAA,
Dispersion modeling cannot currently be and describes further the procedures for
used to estimate the predicted impacts on using the CALPUFF model, as well as for ob-
visibility from an individual source’s emis- taining approval for the use of other, non-
sions of VOC or ammonia. You may use a guideline models.
more qualitative assessment to determine on 9 Interagency Workgroup on Air Quality Mod-
a case-by-case basis which sources of VOC or eling (IWAQM) Phase 2 Summary Report and
ammonia emissions may be likely to impair Recommendations for Modeling Long Range
visibility and should therefore be subject to Transport Impacts, U.S. Environmental Pro-
BART review, as explained in section II.A.3. tection Agency, EPA–454/R–98–019, December
above. 1998.
665
source, at the highest and lowest elevation the 98th percentile of values. If the 98th per-
in the Class I area, at the IMPROVE mon- centile value from your modeling is less than
itor, and at the approximate expected plume your contribution threshold, then you may
release height. If the highest modeled effects conclude that the source does not contribute
are observed at the nearest Class I area, you to visibility impairment and is not subject
may choose not to analyze the other Class I to BART.
areas any further as additional analyses
might be unwarranted. Option 2: Use of Model Plants To Exempt Indi-
You should bear in mind that some recep- vidual Sources With Common Characteristics
tors within the relevant Class I area may be Under this option, analyses of model plants
less than 50 km from the source while other could be used to exempt certain BART-eligi-
receptors within that same Class I area may ble sources that share specific characteris-
be greater than 50 km from the same source. tics. It may be most useful to use this type
As indicated by the Guideline on Air Quality of analysis to identify the types of small
Models, 40 CFR part 51, appendix W, this sit- sources that do not cause or contribute to
uation may call for the use of two different visibility impairment for purposes of BART,
modeling approaches for the same Class I and thus should not be subject to a BART re-
area and source, depending upon the State’s view. Different Class I areas may have dif-
chosen method for modeling sources less ferent characteristics, however, so you
than 50 km. In situations where you are as- should use care to ensure that the criteria
sessing visibility impacts for source-receptor you develop are appropriate for the applica-
distances less than 50 km, you should use ex- ble cases.
pert modeling judgment in determining visi- In carrying out this approach, you could
bility impacts, giving consideration to both use modeling analyses of representative
CALPUFF and other appropriate methods. plants to reflect groupings of specific sources
In developing your modeling protocol, you with important common characteristics.
may want to consult with EPA and your re- Based on these analyses, you may find that
gional planning organization (RPO). Up-front certain types of sources are clearly antici-
consultation will ensure that key technical pated to cause or contribute to visibility im-
issues are addressed before you conduct your pairment. You could then choose to categori-
modeling. cally require those types of sources to under-
2. With the accepted protocol and compare the go a BART determination. Conversely, you
predicted visibility impacts with your threshold may find based on representative plant anal-
for ‘‘contribution.’’ You should calculate daily yses that certain types of sources are not
visibility values for each receptor as the reasonably anticipated to cause or con-
change in deciviews compared against nat-
tribute to visibility impairment. To do this,
ural visibility conditions. You can use EPA’s
you may conduct your own modeling to es-
‘‘Guidance for Estimating Natural Visibility
tablish emission levels and distances from
Conditions Under the Regional Haze Rule,’’
Class I areas on which you can rely to ex-
EPA–454/B–03–005 (September 2003) in making
empt sources with those characteristics. For
this calculation. To determine whether a
example, based on your modeling you might
source may reasonably be anticipated to
choose to exempt all NOX-only sources that
cause or contribute to visibility impairment
emit less than a certain amount per year and
at Class I area, you then compare the im-
are located a certain distance from a Class I
pacts predicted by the model against the
area. You could then choose to categorically
threshold that you have selected.
exempt such sources from the BART deter-
The emissions estimates used in the mod-
mination process.
els are intended to reflect steady-state oper-
Our analyses of visibility impacts from
ating conditions during periods of high ca-
model plants provide a useful example of the
pacity utilization. We do not generally rec-
type of analyses that can be used to exempt
ommend that emissions reflecting periods of
categories of sources from BART. 10 In our
start-up, shutdown, and malfunction be used,
analyses, we developed model plants (EGUs
as such emission rates could produce higher
and non-EGUs), with representative plume
than normal effects than would be typical of
and stack characteristics, for use in consid-
most facilities. We recommend that States
ering the visibility impact from emission
use the 24 hour average actual emission rate
sources of different sizes and compositions at
from the highest emitting day of the mete-
distances of 50, 100 and 200 kilometers from
orological period modeled, unless this rate
two hypothetical Class I areas (one in the
reflects periods start-up, shutdown, or mal-
East and one in the West). As the plume and
function. In addition, the monthly average
stack characteristics of these model plants
relative humidity is used, rather than the
were developed considering the broad range
daily average humidity—an approach that
effectively lowers the peak values in daily
model averages. 10 CALPUFF Analysis in Support of the
For these reasons, if you use the modeling June 2005 Changes to the Regional Haze
approach we recommend, you should com- Rule, U.S. Environmental Protection Agen-
pare your ‘‘contribution’’ threshold against cy, June 15, 2005, Docket No. OAR–2002–0076.
666
of sources within the EGU and non-EGU cat- bility impairment. You may also use a pho-
egories, they do not necessarily represent tochemical grid model. As a general matter,
any specific plant. However, the results of the larger the number of sources being mod-
these analyses are instructive in the develop- eled, the more appropriate it may be to use
ment of an exemption process for any Class a photochemical grid model. However, be-
I area. cause such models are significantly less sen-
In preparing our analyses, we have made a sitive than dispersion models to the con-
number of assumptions and exercised certain tributions of one or a few sources, as well as
modeling choices; some of these have a tend- to the interactions among sources that are
ency to lend conservatism to the results, widely distributed geographically, if you
overstating the likely effects, while others wish to use a grid model, you should consult
may understate the likely effects. On bal- with the appropriate EPA Regional Office to
ance, when all of these factors are consid- develop an appropriate modeling protocol.
ered, we believe that our examples reflect re-
alistic treatments of the situations being IV. THE BART DETERMINATION: ANALYSIS OF
modeled. Based on our analyses, we believe BART OPTIONS
that a State that has established 0.5 This section describes the process for the
deciviews as a contribution threshold could analysis of control options for sources sub-
reasonably exempt from the BART review ject to BART.
process sources that emit less than 500 tons
per year of NOX or SO2 (or combined NOX and A. What factors must I address in the BART
SO2), as long as these sources are located review?
more than 50 kilometers from any Class I
The visibility regulations define BART as
area; and sources that emit less than 1000
follows:
tons per year of NOX or SO2 (or combined
Best Available Retrofit Technology (BART)
NOX and SO2) that are located more than 100
means an emission limitation based on the
kilometers from any Class I area. You do,
degree of reduction achievable through the
however, have the option of showing other
application of the best system of continuous
thresholds might also be appropriate given
emission reduction for each pollutant which
your specific circumstances.
is emitted by . . . [a BART-eligible source].
Option 3: Cumulative Modeling To Show That The emission limitation must be established,
No Sources in a State Are Subject to BART on a case-by-case basis, taking into consider-
ation the technology available, the costs of
You may also submit to EPA a demonstra- compliance, the energy and non-air quality
tion based on an analysis of overall visibility environmental impacts of compliance, any
impacts that emissions from BART-eligible pollution control equipment in use or in ex-
sources in your State, considered together, istence at the source, the remaining useful
are not reasonably anticipated to cause or life of the source, and the degree of improve-
contribute to any visibility impairment in a ment in visibility which may reasonably be
Class I area, and thus no source should be anticipated to result from the use of such
subject to BART. You may do this on a pol- technology.
lutant by pollutant basis or for all visibility- The BART analysis identifies the best sys-
impairing pollutants to determine if emis- tem of continuous emission reduction taking
sions from these sources contribute to visi- into account:
bility impairment. (1) The available retrofit control options,
For example, emissions of SO2 from your (2) Any pollution control equipment in use
BART-eligible sources may clearly cause or at the source (which affects the availability
contribute to visibility impairment while di- of options and their impacts),
rect emissions of PM2.5 from these sources (3) The costs of compliance with control
may not contribute to impairment. If you options,
can make such a demonstration, then you (4) The remaining useful life of the facility,
may reasonably conclude that none of your (5) The energy and non-air quality environ-
BART-eligible sources are subject to BART mental impacts of control options
for a particular pollutant or pollutants. As (6) The visibility impacts analysis.
noted above, your demonstration should
take into account the interactions among B. What is the scope of the BART review?
pollutants and their resulting impacts on
visibility before making any pollutant-spe- Once you determine that a source is sub-
cific determinations. ject to BART for a particular pollutant, then
Analyses may be conducted using several for each affected emission unit, you must es-
alternative modeling approaches. First, you tablish BART for that pollutant. The BART
may use the CALPUFF or other appropriate determination must address air pollution
model as described in Option 1 to evaluate control measures for each emissions unit or
the impacts of individual sources on down- pollutant emitting activity subject to re-
wind Class I areas, aggregating those im- view.
pacts to determine the collective contribu- Example: Plantwide emissions from emis-
tion of all BART-eligible sources to visi- sion units within the listed categories that
667
began operation within the ‘‘time window’’ plant retrofits are more stringent than these
for BART 11 are 300 tons/yr of NOX, 200 tons/ older levels.
yr of SO2, and 150 tons/yr of primary particu- Where you are relying on these standards
late. Emissions unit A emits 200 tons/yr of to represent a BART level of control, you
NOX, 100 tons/yr of SO2, and 100 tons/yr of pri- should provide the public with a discussion
mary particulate. Other emission units, of whether any new technologies have subse-
units B through H, which began operating in quently become available.
1966, contribute lesser amounts of each pol-
D. What Are the Five Basic Steps of a Case-by-
lutant. For this example, a BART review is
Case BART Analysis?
required for NOX, SO2, and primary particu-
late, and control options must be analyzed The five steps are:
for units B through H as well as unit A. STEP 1—Identify All 12 Available Retrofit
Control Technologies,
C. How does a BART review relate to Maximum STEP 2—Eliminate Technically Infeasible
Achievable Control Technology (MACT) Options,
Standards under CAA section 112, or to other STEP 3—Evaluate Control Effectiveness of
emission limitations required under the Remaining Control Technologies,
CAA? STEP 4—Evaluate Impacts and Document
the Results, and
For VOC and PM sources subject to MACT STEP 5—Evaluate Visibility Impacts.
standards, States may streamline the anal-
ysis by including a discussion of the MACT 1. STEP 1: How do I identify all available
controls and whether any major new tech- retrofit emission control techniques?
nologies have been developed subsequent to
1. Available retrofit control options are
the MACT standards. We believe that there
those air pollution control technologies with
are many VOC and PM sources that are well a practical potential for application to the
controlled because they are regulated by the emissions unit and the regulated pollutant
MACT standards, which EPA developed under evaluation. Air pollution control tech-
under CAA section 112. For a few MACT nologies can include a wide variety of avail-
standards, this may also be true for SO2. Any able methods, systems, and techniques for
source subject to MACT standards must control of the affected pollutant. Tech-
meet a level that is as stringent as the best- nologies required as BACT or LAER are
controlled 12 percent of sources in the indus- available for BART purposes and must be in-
try. Examples of these hazardous air pollut- cluded as control alternatives. The control
ant sources which effectively control VOC alternatives can include not only existing
and PM emissions include (among others) controls for the source category in question
secondary lead facilities, organic chemical but also take into account technology trans-
plants subject to the hazardous organic fer of controls that have been applied to
NESHAP (HON), pharmaceutical production similar source categories and gas streams.
facilities, and equipment leaks and waste- Technologies which have not yet been ap-
water operations at petroleum refineries. We plied to (or permitted for) full scale oper-
believe that, in many cases, it will be un- ations need not be considered as available;
likely that States will identify emission con- we do not expect the source owner to pur-
trols more stringent than the MACT stand- chase or construct a process or control de-
ards without identifying control options that vice that has not already been demonstrated
would cost many thousands of dollars per in practice.
ton. Unless there are new technologies subse- 2. Where a NSPS exists for a source cat-
quent to the MACT standards which would egory (which is the case for most of the cat-
lead to cost-effective increases in the level of egories affected by BART), you should in-
control, you may rely on the MACT stand- clude a level of control equivalent to the
ards for purposes of BART. NSPS as one of the control options. 13 The
We believe that the same rationale also
holds true for emissions standards developed 12 In identifying ‘‘all’’ options, you must
for municipal waste incinerators under CAA
section 111(d), and for many NSR/PSD deter- identify the most stringent option and a rea-
minations and NSR/PSD settlement agree- sonable set of options for analysis that re-
ments. However, we do not believe that tech- flects a comprehensive list of available tech-
nology determinations from the 1970s or nologies. It is not necessary to list all per-
early 1980s, including new source perform- mutations of available control levels that
ance standards (NSPS), should be considered exist for a given technology—the list is com-
to represent best control for existing plete if it includes the maximum level of
sources, as best control levels for recent control each technology is capable of achiev-
ing.
13 In EPA’s 1980 BART guidelines for rea-
11 That is, emission units that were in ex- sonably attributable visibility impairment,
istence on August 7, 1977 and which began ac- we concluded that NSPS standards gen-
tual operation on or after August 7, 1962. erally, at that time, represented the best
668
NSPS standards are codified in 40 CFR part 6. For emission units subject to a BART re-
60. We note that there are situations where view, there will often be control measures or
NSPS standards do not require the most devices already in place. For such emission
stringent level of available control for all units, it is important to include control op-
sources within a category. For example, tions that involve improvements to existing
post-combustion NOX controls (the most controls and not to limit the control options
stringent controls for stationary gas tur- only to those measures that involve a com-
bines) are not required under subpart GG of plete replacement of control devices.
the NSPS for Stationary Gas Turbines. How- Example: For a power plant with an exist-
ever, such controls must still be considered ing wet scrubber, the current control effi-
available technologies for the BART selec- ciency is 66 percent. Part of the reason for
tion process. the relatively low control efficiency is that
3. Potentially applicable retrofit control 22 percent of the gas stream bypasses the
alternatives can be categorized in three scrubber. A BART review identifies options
ways. for improving the performance of the wet
• Pollution prevention: use of inherently scrubber by redesigning the internal compo-
lower-emitting processes/practices, including nents of the scrubber and by eliminating or
the use of control techniques (e.g., low-NOX reducing the percentage of the gas stream
burners) and work practices that prevent that bypasses the scrubber. Four control op-
emissions and result in lower ‘‘production- tions are identified: (1) 78 percent control
specific’’ emissions (note that it is not our based upon improved scrubber performance
intent to direct States to switch fuel forms, while maintaining the 22 percent bypass, (2)
e.g., from coal to gas), 83 percent control based upon improved
• Use of (and where already in place, im- scrubber performance while reducing the by-
provement in the performance of) add-on pass to 15 percent, (3) 93 percent control
controls, such as scrubbers, fabric filters, based upon improving the scrubber perform-
thermal oxidizers and other devices that con- ance while eliminating the bypass entirely,
trol and reduce emissions after they are pro- (this option results in a ‘‘wet stack’’ oper-
duced, and ation in which the gas leaving the stack is
• Combinations of inherently lower-emit- saturated with water) and (4) 93 percent as in
ting processes and add-on controls. option 3, with the addition of an indirect re-
4. In the course of the BART review, one or heat system to reheat the stack gas above
more of the available control options may be the saturation temperature. You must con-
eliminated from consideration because they sider each of these four options in a BART
are demonstrated to be technically infeasible analysis for this source.
or to have unacceptable energy, cost, or non- 7. You are expected to identify potentially
air quality environmental impacts on a case- applicable retrofit control technologies that
by-case (or site-specific) basis. However, at represent the full range of demonstrated al-
the outset, you should initially identify all ternatives. Examples of general information
control options with potential application to sources to consider include:
the emissions unit under review. • The EPA’s Clean Air Technology Center,
5. We do not consider BART as a require- which includes the RACT/BACT/LAER Clear-
ment to redesign the source when consid- inghouse (RBLC);
ering available control alternatives. For ex- • State and Local Best Available Control
ample, where the source subject to BART is Technology Guidelines—many agencies have
a coal-fired electric generator, we do not re- online information—for example South
quire the BART analysis to consider building Coast Air Quality Management District, Bay
a natural gas-fired electric turbine although Area Air Quality Management District, and
the turbine may be inherently less polluting Texas Natural Resources Conservation Com-
on a per unit basis. mission;
• Control technology vendors;
• Federal/State/Local NSR permits and as-
level sources could install as BART. In the 20 sociated inspection/performance test reports;
year period since this guidance was devel- • Environmental consultants;
oped, there have been advances in SO2 con- • Technical journals, reports and news-
trol technologies as well as technologies for letters, air pollution control seminars; and
the control of other pollutants, confirmed by • The EPA’s NSR bulletin board—http://
a number of recent retrofits at Western www.epa.gov/ttn/nsr;
power plants. Accordingly, EPA no longer • Department of Energy’s Clean Coal Pro-
concludes that the NSPS level of controls gram—technical reports;
automatically represents ‘‘the best these • The NOX Control Technology ‘‘Cost
sources can install.’’ Analysis of the BART Tool’’—Clean Air Markets Division Web
factors could result in the selection of a page—http://www.epa.gov/airmarkets/arp/nox/
NSPS level of control, but you should reach controltech.html;
this conclusion only after considering the • Performance of selective catalytic reduc-
full range of control options. tion on coal-fired steam generating units—
669
final report. OAR/ARD, June 1997 (also avail- cepts are important in determining whether
able at http://www.epa.gov/airmarkets/arp/nox/ a technology could be applied: ‘‘availability’’
controltech.html); and ‘‘applicability.’’ As explained in more
• Cost estimates for selected applications detail below, a technology is considered
of NOX control technologies on stationary ‘‘available’’ if the source owner may obtain
combustion boilers. OAR/ARD June 1997. it through commercial channels, or it is oth-
(Docket for NOX SIP Call, A–96–56, item II–A– erwise available within the common sense
03); meaning of the term. An available tech-
• Investigation of performance and cost of nology is ‘‘applicable’’ if it can reasonably be
NOX controls as applied to group 2 boilers. installed and operated on the source type
OAR/ARD, August 1996. (Docket for Phase II under consideration. A technology that is
NOX rule, A–95–28, item IV–A–4); available and applicable is technically fea-
• Controlling SO2 Emissions: A Review of sible.
Technologies. EPA–600/R–00–093, USEPA/
ORD/NRMRL, October 2000; and What do we mean by ‘‘available’’
• The OAQPS Control Cost Manual. technology?
You are expected to compile appropriate 1. The typical stages for bringing a control
information from these information sources. technology concept to reality as a commer-
8. There may be situations where a specific cial product are:
set of units within a fenceline constitutes • Concept stage;
the logical set to which controls would apply • Research and patenting;
and that set of units may or may not all be • Bench scale or laboratory testing;
BART-eligible. (For example, some units in • Pilot scale testing;
that set may not have been constructed be- • Licensing and commercial demonstra-
tween 1962 and 1977.) tion; and
9. If you find that a BART source has con- • Commercial sales.
trols already in place which are the most 2. A control technique is considered avail-
stringent controls available (note that this able, within the context presented above, if
means that all possible improvements to any it has reached the stage of licensing and
control devices have been made), then it is commercial availability. Similarly, we do
not necessary to comprehensively complete not expect a source owner to conduct ex-
each following step of the BART analysis in tended trials to learn how to apply a tech-
this section. As long these most stringent nology on a totally new and dissimilar
controls available are made federally en- source type. Consequently, you would not
forceable for the purpose of implementing consider technologies in the pilot scale test-
BART for that source, you may skip the re- ing stages of development as ‘‘available’’ for
maining analyses in this section, including purposes of BART review.
the visibility analysis in step 5. Likewise, if 3. Commercial availability by itself, how-
a source commits to a BART determination ever, is not necessarily a sufficient basis for
that consists of the most stringent controls concluding a technology to be applicable and
available, then there is no need to complete therefore technically feasible. Technical fea-
the remaining analyses in this section. sibility, as determined in Step 2, also means
a control option may reasonably be deployed
2. STEP 2: How do I determine whether the on or ‘‘applicable’’ to the source type under
options identified in Step 1 are technically consideration.
feasible? Because a new technology may become
available at various points in time during
In Step 2, you evaluate the technical feasi- the BART analysis process, we believe that
bility of the control options you identified in guidelines are needed on when a technology
Step 1. You should document a demonstra- must be considered. For example, a tech-
tion of technical infeasibility and should ex- nology may become available during the
plain, based on physical, chemical, or engi- public comment period on the State’s rule
neering principles, why technical difficulties development process. Likewise, it is possible
would preclude the successful use of the con- that new technologies may become available
trol option on the emissions unit under re- after the close of the State’s public comment
view. You may then eliminate such tech- period and before submittal of the SIP to
nically infeasible control options from fur- EPA, or during EPA’s review process on the
ther consideration in the BART analysis. SIP submittal. In order to provide certainty
in the process, all technologies should be
In general, what do we mean by technical
considered if available before the close of the
feasibility?
State’s public comment period. You need not
Control technologies are technically fea- consider technologies that become available
sible if either (1) they have been installed after this date. As part of your analysis, you
and operated successfully for the type of should consider any technologies brought to
source under review under similar condi- your attention in public comments. If you
tions, or (2) the technology could be applied disagree with public comments asserting
to the source under review. Two key con- that the technology is available, you should
670
provide an explanation for the public record eliminated from further consideration. How-
as to the basis for your conclusion. ever, if there is a permit requiring the appli-
cation of a certain technology or emission
What do we mean by ‘‘applicable’’ limit to be achieved for such technology,
technology? this usually is sufficient justification for you
You need to exercise technical judgment in to assume the technical feasibility of that
determining whether a control alternative is technology or emission limit.
applicable to the source type under consider- 3. Physical modifications needed to resolve
ation. In general, a commercially available technical obstacles do not, in and of them-
control option will be presumed applicable if selves, provide a justification for eliminating
it has been used on the same or a similar the control technique on the basis of tech-
source type. Absent a showing of this type, nical infeasibility. However, you may con-
you evaluate technical feasibility by exam- sider the cost of such modifications in esti-
ining the physical and chemical characteris- mating costs. This, in turn, may form the
tics of the pollutant-bearing gas stream, and basis for eliminating a control technology
comparing them to the gas stream charac- (see later discussion).
teristics of the source types to which the 4. Vendor guarantees may provide an indi-
technology had been applied previously. De- cation of commercial availability and the
ployment of the control technology on a new technical feasibility of a control technique
or existing source with similar gas stream and could contribute to a determination of
characteristics is generally a sufficient basis technical feasibility or technical infeasi-
for concluding the technology is technically bility, depending on circumstances. How-
feasible barring a demonstration to the con- ever, we do not consider a vendor guarantee
trary as described below. alone to be sufficient justification that a
control option will work. Conversely, lack of
What type of demonstration is required if I a vendor guarantee by itself does not present
conclude that an option is not technically sufficient justification that a control option
feasible? or an emissions limit is technically infeasi-
1. Where you conclude that a control op- ble. Generally, you should make decisions
tion identified in Step 1 is technically infea- about technical feasibility based on chem-
sible, you should demonstrate that the op- ical, and engineering analyses (as discussed
tion is either commercially unavailable, or above), in conjunction with information
that specific circumstances preclude its ap- about vendor guarantees.
plication to a particular emission unit. Gen- 5. A possible outcome of the BART proce-
erally, such a demonstration involves an dures discussed in these guidelines is the
evaluation of the characteristics of the pol- evaluation of multiple control technology al-
lutant-bearing gas stream and the capabili- ternatives which result in essentially equiva-
ties of the technology. Alternatively, a dem- lent emissions. It is not our intent to en-
onstration of technical infeasibility may in- courage evaluation of unnecessarily large
volve a showing that there are unresolvable numbers of control alternatives for every
technical difficulties with applying the con- emissions unit. Consequently, you should use
trol to the source (e.g., size of the unit, loca- judgment in deciding on those alternatives
tion of the proposed site, operating problems for which you will conduct the detailed im-
related to specific circumstances of the pacts analysis (Step 4 below). For example, if
source, space constraints, reliability, and ad- two or more control techniques result in
verse side effects on the rest of the facility). control levels that are essentially identical,
Where the resolution of technical difficulties considering the uncertainties of emissions
is merely a matter of increased cost, you factors and other parameters pertinent to es-
should consider the technology to be tech- timating performance, you may evaluate
nically feasible. The cost of a control alter- only the less costly of these options. You
native is considered later in the process. should narrow the scope of the BART anal-
2. The determination of technical feasi- ysis in this way only if there is a negligible
bility is sometimes influenced by recent air difference in emissions and energy and non-
quality permits. In some cases, an air qual- air quality environmental impacts between
ity permit may require a certain level of control alternatives.
control, but the level of control in a permit
3. STEP 3: How do I evaluate technically
is not expected to be achieved in practice
feasible alternatives?
(e.g., a source has received a permit but the
project was canceled, or every operating Step 3 involves evaluating the control ef-
source at that permitted level has been phys- fectiveness of all the technically feasible
ically unable to achieve compliance with the control alternatives identified in Step 2 for
limit). Where this is the case, you should the pollutant and emissions unit under re-
provide supporting documentation showing view.
why such limits are not technically feasible, Two key issues in this process include:
and, therefore, why the level of control (but (1) Making sure that you express the de-
not necessarily the technology) may be gree of control using a metric that ensures
671
an ‘‘apples to apples’’ comparison of emis- lection of additional options would have
sions performance levels among options, and widely varying costs and other impacts.
(2) Giving appropriate treatment and con- 4. Finally, we note that for retrofitting ex-
sideration of control techniques that can op- isting sources in addressing BART, you
erate over a wide range of emission perform- should consider ways to improve the per-
ance levels. formance of existing control devices, par-
ticularly when a control device is not achiev-
What are the appropriate metrics for ing the level of control that other similar
comparison? sources are achieving in practice with the
This issue is especially important when same device. For example, you should con-
you compare inherently lower-polluting sider requiring those sources with electro-
processes to one another or to add-on con- static precipitators (ESPs) performing below
trols. In such cases, it is generally most ef- currently achievable levels to improve their
fective to express emissions performance as performance.
an average steady state emissions level per
unit of product produced or processed. 4. STEP 4: For a BART review, what impacts
Examples of common metrics: am I expected to calculate and report?
• Pounds of SO2 emissions per million Btu What methods does EPA recommend for
heat input, and the impacts analysis?
• Pounds of NOX emissions per ton of ce- After you identify the available and tech-
ment produced. nically feasible control technology options,
you are expected to conduct the following
How do I evaluate control techniques with a
analyses when you make a BART determina-
wide range of emission performance levels?
tion:
1. Many control techniques, including both Impact analysis part 1: Costs of compli-
add-on controls and inherently lower pol- ance,
luting processes, can perform at a wide range Impact analysis part 2: Energy impacts,
of levels. Scrubbers and high and low effi- and
ciency electrostatic precipitators (ESPs) are Impact analysis part 3: Non-air quality en-
two of the many examples of such control vironmental impacts.
techniques that can perform at a wide range Impact analysis part 4: Remaining useful
of levels. It is not our intent to require anal- life.
ysis of each possible level of efficiency for a
control technique as such an analysis would In this section, we describe how to conduct
result in a large number of options. It is im- each of these three analyses. You are respon-
portant, however, that in analyzing the tech- sible for presenting an evaluation of each
nology you take into account the most strin- impact along with appropriate supporting in-
gent emission control level that the tech- formation. You should discuss and, where
nology is capable of achieving. You should possible, quantify both beneficial and ad-
consider recent regulatory decisions and per- verse impacts. In general, the analysis
formance data (e.g., manufacturer’s data, en- should focus on the direct impact of the con-
gineering estimates and the experience of trol alternative.
other sources) when identifying an emissions a. Impact analysis part 1: how do I estimate
performance level or levels to evaluate. the costs of control?
2. In assessing the capability of the control
alternative, latitude exists to consider spe- 1. To conduct a cost analysis, you:
cial circumstances pertinent to the specific (1) Identify the emissions units being con-
source under review, or regarding the prior trolled,
application of the control alternative. How- (2) Identify design parameters for emission
ever, you should explain the basis for choos- controls, and
ing the alternate level (or range) of control (3) Develop cost estimates based upon
in the BART analysis. Without a showing of those design parameters.
differences between the source and other 2. It is important to identify clearly the
sources that have achieved more stringent emission units being controlled, that is, to
emissions limits, you should conclude that specify a well-defined area or process seg-
the level being achieved by those other ment within the plant. In some cases, mul-
sources is representative of the achievable tiple emission units can be controlled joint-
level for the source being analyzed. ly. However, in other cases, it may be appro-
3. You may encounter cases where you may priate in the cost analysis to consider wheth-
wish to evaluate other levels of control in er multiple units will be required to install
addition to the most stringent level for a separate and/or different control devices.
given device. While you must consider the The analysis should provide a clear summary
most stringent level as one of the control op- list of equipment and the associated control
tions, you may consider less stringent levels costs. Inadequate documentation of the
of control as additional options. This would equipment whose emissions are being con-
be useful, particularly in cases where the se- trolled is a potential cause for confusion in
672
comparison of costs of the same controls ap- Control Cost Manual addresses most control
plied to similar sources. technologies in sufficient detail for a BART
3. You then specify the control system de- analysis. The cost analysis should also take
sign parameters. Potential sources of these into account any site-specific design or other
design parameters include equipment ven- conditions identified above that affect the
dors, background information documents cost of a particular BART technology option.
used to support NSPS development, control
technique guidelines documents, cost manu- b. What do we mean by cost effectiveness?
als developed by EPA, control data in trade Cost effectiveness, in general, is a criterion
publications, and engineering and perform- used to assess the potential for achieving an
ance test data. The following are a few exam- objective in the most economical way. For
ples of design parameters for two example purposes of air pollutant analysis, ‘‘effec-
control measures: tiveness’’ is measured in terms of tons of pol-
Examples of design
lutant emissions removed, and ‘‘cost’’ is
Control device measured in terms of annualized control
parameters
costs. We recommend two types of cost-effec-
Wet Scrubbers ........... Type of sorbent used (lime, lime- tiveness calculations—average cost effective-
stone, etc.). ness, and incremental cost effectiveness.
Gas pressure drop.
Liquid/gas ratio. c. How do I calculate average cost
Selective Catalytic Ammonia to NOX molar ratio.
effectiveness?
Reduction. Pressure drop.
Catalyst life. Average cost effectiveness means the total
annualized costs of control divided by annual
4. The value selected for the design param- emissions reductions (the difference between
eter should ensure that the control option baseline annual emissions and the estimate
will achieve the level of emission control of emissions after controls), using the fol-
being evaluated. You should include in your lowing formula:
analysis documentation of your assumptions Average cost effectiveness (dollars per ton
regarding design parameters. Examples of removed) =Control option annualized
supporting references would include the EPA
cost 16
OAQPS Control Cost Manual (see below) and
background information documents used for Baseline annual emissions—Annual emis-
NSPS and hazardous pollutant emission sions with Control option
standards. If the design parameters you spec- Because you calculate costs in (annualized)
ified differ from typical designs, you should dollars per year ($/yr) and because you cal-
document the difference by supplying per- culate emissions rates in tons per year (tons/
formance test data for the control tech- yr), the result is an average cost-effective-
nology in question applied to the same ness number in (annualized) dollars per ton
source or a similar source. ($/ton) of pollutant removed.
5. Once the control technology alternatives
d. How do I calculate baseline emissions?
and achievable emissions performance levels
have been identified, you then develop esti- 1. The baseline emissions rate should rep-
mates of capital and annual costs. The basis resent a realistic depiction of anticipated an-
for equipment cost estimates also should be nual emissions for the source. In general, for
documented, either with data supplied by an the existing sources subject to BART, you
equipment vendor (i.e., budget estimates or will estimate the anticipated annual emis-
bids) or by a referenced source (such as the sions based upon actual emissions from a
OAQPS Control Cost Manual, Fifth Edition, baseline period.
February 1996, EPA 453/B–96–001). 14 In order 2. When you project that future operating
to maintain and improve consistency, cost parameters (e.g., limited hours of operation
estimates should be based on the OAQPS or capacity utilization, type of fuel, raw ma-
Control Cost Manual, where possible. 15 The terials or product mix or type) will differ
from past practice, and if this projection has
14 The OAQPS Control Cost Manual is up- a deciding effect in the BART determination,
dated periodically. While this citation refers
to the latest version at the time this guid- costs, equipment life, replacement of major
ance was written, you should use the version components, and any other element of the
that is current as of when you conduct your calculation that differs from the Control Cost
impact analysis. This document is available Manual.
at the following Web site: http://www.epa.gov/ 16 Whenever you calculate or report annual
ttn/catc/dir1/cs1ch2.pdf. costs, you should indicate the year for which

15 You should include documentation for the costs are estimated. For example, if you
any additional information you used for the use the year 2000 as the basis for cost com-
cost calculations, including any information parisons, you would report that an
supplied by vendors that affects your as- annualized cost of $20 million would be: $20
sumptions regarding purchased equipment million (year 2000 dollars).
673
then you must make these parameters or as- of $500,000 to reduce 1000 tons of the same
sumptions into enforceable limitations. In pollutant. The incremental cost effective-
the absence of enforceable limitations, you ness of Option F relative to Option D is ($1
calculate baseline emissions based upon con- million ¥ $500,000) divided by (2000 tons ¥
tinuation of past practice. 1000 tons), or $500,000 divided by 1000 tons,
3. For example, the baseline emissions cal- which is $500/ton.
culation for an emergency standby generator Example 2: Assume that two control op-
may consider the fact that the source owner tions exist: Option 1 and Option 2. Option 1
would not operate more than past practice of achieves a 1,000 ton/yr reduction at an
2 weeks a year. On the other hand, baseline annualized cost of $1,900,000. This represents
emissions associated with a base-loaded tur-
an average cost of ($1,900,000/1,000 tons) =
bine should be based on its past practice
$1,900/ton. Option 2 achieves a 980 tons/yr re-
which would indicate a large number of
duction at an annualized cost of $1,500,000.
hours of operation. This produces a signifi-
cantly higher level of baseline emissions This represents an average cost of ($1,500,000/
than in the case of the emergency/standby 980 tons) = $1,531/ton. The incremental cost
unit and results in more cost-effective con- effectiveness of Option 1 relative to Option 2
trols. As a consequence of the dissimilar is ($1,900,000 ¥ $1,500,000) divided by (1,000
baseline emissions, BART for the two cases tons ¥ 980 tons). The adoption of Option 1 in-
could be very different. stead of Option 2 results in an incremental
emission reduction of 20 tons per year at an
e. How do I calculate incremental cost additional cost of $400,000 per year. The in-
effectiveness? cremental cost of Option 1, then, is $20,000
per ton ¥ 11 times the average cost of $1,900
1. In addition to the average cost effective-
ness of a control option, you should also cal- per ton. While $1,900 per ton may still be
culate incremental cost effectiveness. You deemed reasonable, it is useful to consider
should consider the incremental cost effec- both the average and incremental cost in
tiveness in combination with the average making an overall cost-effectiveness finding.
cost effectiveness when considering whether Of course, there may be other differences be-
to eliminate a control option. The incre- tween these options, such as, energy or water
mental cost effectiveness calculation com- use, or non-air environmental effects, which
pares the costs and performance level of a also should be considered in selecting a
control option to those of the next most BART technology.
stringent option, as shown in the following 2. You should exercise care in deriving in-
formula (with respect to cost per emissions cremental costs of candidate control options.
reduction): Incremental cost-effectiveness comparisons
Incremental Cost Effectiveness (dollars per should focus on annualized cost and emission
incremental ton removed) = (Total reduction differences between ‘‘dominant’’
annualized costs of control option) ¥ alternatives. To identify dominant alter-
(Total annualized costs of next control natives, you generate a graphical plot of
option) ÷ (Control option annual emis- total annualized costs for total emissions re-
sions) ¥ (Next control option annual ductions for all control alternatives identi-
emissions) fied in the BART analysis, and by identi-
Example 1: Assume that Option F on Figure fying a ‘‘least-cost envelope’’ as shown in
2 has total annualized costs of $1 million to Figure 2. (A ‘‘least-cost envelope’’ represents
reduce 2000 tons of a pollutant, and that Op- the set of options that should be dominant in
tion D on Figure 2 has total annualized costs the choice of a specific option.)
674
Example: Eight technically feasible control after controls have been applied, between
options for analysis are listed. These are rep- those two control options. For example,
resented as A through H in Figure 2. The using Figure 2, you would calculate incre-
dominant set of control options, B, D, F, G, mental cost effectiveness for the difference
and H, represent the least-cost envelope, as between options B and D, options D and F,
we depict by the cost curve connecting them. options F and G, and options G and H.
Points A, C and E are inferior options, and 4. A comparison of incremental costs can
you should not use them in calculating in- also be useful in evaluating the viability of a
cremental cost effectiveness. Points A, C and specific control option over a range of effi-
E represent inferior controls because B will ciencies. For example, depending on the cap-
buy more emissions reductions for less ital and operational cost of a control device,
money than A; and similarly, D and F will total and incremental cost may vary signifi-
buy more reductions for less money than C cantly (either increasing or decreasing) over
and E, respectively. the operational range of a control device.
3. In calculating incremental costs, you: Also, the greater the number of possible con-
(1) Array the control options in ascending trol options that exist, the more weight
order of annualized total costs, should be given to the incremental costs vs.
(2) Develop a graph of the most reasonable average costs. It should be noted that aver-
smooth curve of the control options, as age and incremental cost effectiveness are
shown in Figure 2. This is to show the ‘‘least- identical when only one candidate control
cost envelope’’ discussed above; and option is known to exist.
(3) Calculate the incremental cost effec- 5. You should exercise caution not to mis-
tiveness for each dominant option, which is use these techniques. For example, you may
the difference in total annual costs between be faced with a choice between two available
that option and the next most stringent op- control devices at a source, control A and
tion, divided by the difference in emissions, control B, where control B achieves slightly
675
ER06JY05.000</GPH>
greater emission reductions. The average the combustion of a concentrated gas stream
cost (total annual cost/total annual emission rich in volatile organic compounds; on the
reductions) for each may be deemed to be other hand, more often extra fuel or elec-
reasonable. However, the incremental cost tricity is required to power a control device
(total annual costA – B/total annual emission or incinerate a dilute gas stream. If such
reductionsA – B) of the additional emission benefits or penalties exist, they should be
reductions to be achieved by control B may quantified to the extent practicable. Because
be very great. In such an instance, it may be energy penalties or benefits can usually be
inappropriate to choose control B, based on quantified in terms of additional cost or in-
its high incremental costs, even though its come to the source, the energy impacts anal-
average cost may be considered reasonable. ysis can, in most cases, simply be factored
6. In addition, when you evaluate the aver- into the cost impacts analysis. The fact of
age or incremental cost effectiveness of a energy use in and of itself does not disqualify
control alternative, you should make reason- a technology.
able and supportable assumptions regarding 2. Your energy impact analysis should con-
control efficiencies. An unrealistically low sider only direct energy consumption and
assessment of the emission reduction poten- not indirect energy impacts. For example,
tial of a certain technology could result in you could estimate the direct energy im-
inflated cost-effectiveness figures. pacts of the control alternative in units of
energy consumption at the source (e.g., BTU,
f. What other information should I provide in kWh, barrels of oil, tons of coal). The energy
the cost impacts analysis? requirements of the control options should
You should provide documentation of any be shown in terms of total (and in certain
unusual circumstances that exist for the cases, also incremental) energy costs per ton
source that would lead to cost-effectiveness of pollutant removed. You can then convert
estimates that would exceed that for recent these units into dollar costs and, where ap-
retrofits. This is especially important in propriate, factor these costs into the control
cases where recent retrofits have cost-effec- cost analysis.
tiveness values that are within what has 3. You generally do not consider indirect
been considered a reasonable range, but your energy impacts (such as energy to produce
analysis concludes that costs for the source raw materials for construction of control
being analyzed are not considered reason- equipment). However, if you determine, ei-
able. (A reasonable range would be a range ther independently or based on a showing by
that is consistent with the range of cost ef- the source owner, that the indirect energy
fectiveness values used in other similar per- impact is unusual or significant and that the
mit decisions over a period of time.) impact can be well quantified, you may con-
sider the indirect impact.
Example: In an arid region, large amounts
4. The energy impact analysis may also ad-
of water are needed for a scrubbing system.
dress concerns over the use of locally scarce
Acquiring water from a distant location
fuels. The designation of a scarce fuel may
could greatly increase the cost per ton of
vary from region to region. However, in gen-
emissions reduced of wet scrubbing as a con-
eral, a scarce fuel is one which is in short
trol option.
supply locally and can be better used for al-
ternative purposes, or one which may not be
g. What other things are important to
reasonably available to the source either at
consider in the cost impacts analysis?
the present time or in the near future.
In the cost analysis, you should take care 5. Finally, the energy impacts analysis
not to focus on incomplete results or partial may consider whether there are relative dif-
calculations. For example, large capital ferences between alternatives regarding the
costs for a control option alone would not use of locally or regionally available coal,
preclude selection of a control measure if and whether a given alternative would result
large emissions reductions are projected. In in significant economic disruption or unem-
such a case, low or reasonable cost effective- ployment. For example, where two options
ness numbers may validate the option as an are equally cost effective and achieve equiv-
appropriate BART alternative irrespective of alent or similar emissions reductions, one
the large capital costs. Similarly, projects option may be preferred if the other alter-
with relatively low capital costs may not be native results in significant disruption or
cost effective if there are few emissions re- unemployment.
duced.
i. Impact analysis part 3: How do I analyze
h. Impact analysis part 2: How should I ‘‘non-air quality environmental impacts?’’
analyze and report energy impacts?
1. In the non-air quality related environ-
1. You should examine the energy require- mental impacts portion of the BART anal-
ments of the control technology and deter- ysis, you address environmental impacts
mine whether the use of that technology re- other than air quality due to emissions of
sults in energy penalties or benefits. A the pollutant in question. Such environ-
source owner may, for example, benefit from mental impacts include solid or hazardous
676
waste generation and discharges of polluted environmental consequences of releasing
water from a control device. these materials.
2. You should identify any significant or
unusual environmental impacts associated j. Impact analysis part 4: What are examples
with a control alternative that have the po- of non-air quality environmental impacts?
tential to affect the selection or elimination The following are examples of how to con-
of a control alternative. Some control tech- duct non-air quality environmental impacts:
nologies may have potentially significant (1) Water Impact
secondary environmental impacts. Scrubber You should identify the relative quantities
effluent, for example, may affect water qual- of water used and water pollutants produced
ity and land use. Alternatively, water avail- and discharged as a result of the use of each
ability may affect the feasibility and costs of alternative emission control system. Where
wet scrubbers. Other examples of secondary possible, you should assess the effect on
environmental impacts could include haz- ground water and such local surface water
ardous waste discharges, such as spent cata- quality parameters as ph, turbidity, dis-
lysts or contaminated carbon. Generally, solved oxygen, salinity, toxic chemical lev-
these types of environmental concerns be- els, temperature, and any other important
come important when sensitive site-specific considerations. The analysis could consider
receptors exist or when the incremental whether applicable water quality standards
emissions reductions potential of the more will be met and the availability and effec-
stringent control is only marginally greater tiveness of various techniques to reduce po-
than the next most-effective option. How- tential adverse effects.
ever, the fact that a control device creates (2) Solid Waste Disposal Impact
liquid and solid waste that must be disposed You could also compare the quality and
of does not necessarily argue against selec- quantity of solid waste (e.g., sludges, solids)
tion of that technology as BART, particu- that must be stored and disposed of or recy-
larly if the control device has been applied cled as a result of the application of each al-
to similar facilities elsewhere and the solid ternative emission control system. You
or liquid waste is similar to those other ap- should consider the composition and various
plications. On the other hand, where you or other characteristics of the solid waste (such
the source owner can show that unusual cir- as permeability, water retention, rewatering
cumstances at the proposed facility create of dried material, compression strength,
greater problems than experienced else- leachability of dissolved ions, bulk density,
where, this may provide a basis for the elimi- ability to support vegetation growth and
nation of that control alternative as BART. hazardous characteristics) which are signifi-
3. The procedure for conducting an anal- cant with regard to potential surface water
ysis of non-air quality environmental im- pollution or transport into and contamina-
pacts should be made based on a consider- tion of subsurface waters or aquifers.
ation of site-specific circumstances. If you (3) Irreversible or Irretrievable Commitment of
propose to adopt the most stringent alter- Resources
native, then it is not necessary to perform You may consider the extent to which the
this analysis of environmental impacts for alternative emission control systems may
the entire list of technologies you ranked in involve a trade-off between short-term envi-
Step 3. In general, the analysis need only ad- ronmental gains at the expense of long-term
dress those control alternatives with any environmental losses and the extent to
significant or unusual environmental im- which the alternative systems may result in
pacts that have the potential to affect the irreversible or irretrievable commitment of
selection of a control alternative, or elimi- resources (for example, use of scarce water
nation of a more stringent control alter- resources).
native. Thus, any important relative envi- (4) Other Adverse Environmental Impacts
ronmental impacts (both positive and nega- You may consider significant differences in
tive) of alternatives can be compared with noise levels, radiant heat, or dissipated stat-
each other. ic electrical energy of pollution control al-
4. In general, the analysis of impacts starts ternatives. Other examples of non-air quality
with the identification and quantification of environmental impacts would include haz-
the solid, liquid, and gaseous discharges from ardous waste discharges such as spent cata-
the control device or devices under review. lysts or contaminated carbon.
Initially, you should perform a qualitative or
k. How do I take into account a project’s
semi-quantitative screening to narrow the
‘‘remaining useful life’’ in calculating con-
analysis to discharges with potential for
trol costs?
causing adverse environmental effects. Next,
you should assess the mass and composition 1. You may decide to treat the requirement
of any such discharges and quantify them to to consider the source’s ‘‘remaining useful
the extent possible, based on readily avail- life’’ of the source for BART determinations
able information. You should also assemble as one element of the overall cost analysis.
pertinent information about the public or The ‘‘remaining useful life’’ of a source, if it
677
represents a relatively short time period, 5. Step 5: How should I determine visibility
may affect the annualized costs of retrofit impacts in the BART determination?
controls. For example, the methods for cal- The following is an approach you may use
culating annualized costs in EPA’s OAQPS to determine visibility impacts (the degree
Control Cost Manual require the use of a spec- of visibility improvement for each source
ified time period for amortization that var- subject to BART) for the BART determina-
ies based upon the type of control. If the re- tion. Once you have determined that your
maining useful life will clearly exceed this source or sources are subject to BART, you
time period, the remaining useful life has es- must conduct a visibility improvement de-
sentially no effect on control costs and on termination for the source(s) as part of the
the BART determination process. Where the BART determination. When making this de-
remaining useful life is less than the time termination, we believe you have flexibility
period for amortizing costs, you should use in setting absolute thresholds, target levels
this shorter time period in your cost calcula- of improvement, or de minimis levels since
tions. the deciview improvement must be weighed
among the five factors, and you are free to
2. For purposes of these guidelines, the re-
determine the weight and significance to be
maining useful life is the difference between: assigned to each factor. For example, a 0.3
(1) The date that controls will be put in deciview improvement may merit a stronger
place (capital and other construction costs weighting in one case versus another, so one
incurred before controls are put in place can ‘‘bright line’’ may not be appropriate. [Note
be rolled into the first year, as suggested in that if sources have elected to apply the
EPA’s OAQPS Control Cost Manual); you are most stringent controls available, consistent
conducting the BART analysis; and with the discussion in section E. step 1.
(2) The date the facility permanently stops below, you need not conduct, or require the
operations. Where this affects the BART de- source to conduct, an air quality modeling
termination, this date should be assured by a analysis for the purpose of determining its
federally- or State-enforceable restriction visibility impacts.]
preventing further operation. Use CALPUFF, 17 or other appropriate dis-
persion model to determine the visibility im-
3. We recognize that there may be situa-
provement expected at a Class I area from
tions where a source operator intends to shut
the potential BART control technology ap-
down a source by a given date, but wishes to plied to the source. Modeling should be con-
retain the flexibility to continue operating ducted for SO2, NOX, and direct PM emis-
beyond that date in the event, for example, sions (PM2.5 and/or PM10). If the source is
that market conditions change. Where this is making the visibility determination, you
the case, your BART analysis may account should review and approve or disapprove of
for this, but it must maintain consistency the source’s analysis before making the ex-
with the statutory requirement to install pected improvement determination. There
BART within 5 years. Where the source are several steps for determining the visi-
chooses not to accept a federally enforceable bility impacts from an individual source
condition requiring the source to shut down using a dispersion model:
by a given date, it is necessary to determine • Develop a modeling protocol.
whether a reduced time period for the re- Some critical items to include in a mod-
maining useful life changes the level of con- eling protocol are meteorological and terrain
trols that would have been required as data, as well as source-specific information
(stack height, temperature, exit velocity,
BART.
elevation, and allowable and actual emission
If the reduced time period does change the
rates of applicable pollutants), and receptor
level of BART controls, you may identify, data from appropriate Class I areas. We rec-
and include as part of the BART emission ommend following EPA’s Interagency
limitation, the more stringent level of con- Workgroup on Air Quality Modeling (IWAQM)
trol that would be required as BART if there Phase 2 Summary Report and Recommendations
were no assumption that reduced the refor Modeling Long Range Transport Impacts 18
maining useful life. You may incorporate for parameter settings and meteorological
into the BART emission limit this more data inputs; the use of other settings from
stringent level, which would serve as a con-
tingency should the source continue oper- 17 The model code and its documentation
ating more than 5 years after the date EPA are available at no cost for download from
approves the relevant SIP. The source would http://www.epa.gov/scram001/tt22.htm#calpuff.
not be allowed to operate after the 5-year 18 Interagency Workgroup on Air Quality
mark without such controls. If a source does Modeling (IWAQM) Phase 2 Summary Report
operate after the 5-year mark without BART and Recommendations for Modeling Long Range
in place, the source is considered to be in Transport Impacts, U.S. Environmental Pro-
violation of the BART emissions limit for tection Agency, EPA–454/R–98–019, December
each day of operation. 1998.
678
those in IWAQM should be identified and ex- the pre-control and post-control emission
plained in the protocol. scenarios. You have flexibility to assess visi-
One important element of the protocol is bility improvements due to BART controls
in establishing the receptors that will be by one or more methods. You may consider
used in the model. The receptors that you the frequency, magnitude, and duration com-
use should be located in the nearest Class I ponents of impairment. Suggestions for
area with sufficient density to identify the making the determination are:
likely visibility effects of the source. For • Use of a comparison threshold, as is done
other Class I areas in relatively close prox- for determining if BART-eligible sources
imity to a BART-eligible source, you may should be subject to a BART determination.
model a few strategic receptors to determine Comparison thresholds can be used in a num-
whether effects at those areas may be great- ber of ways in evaluating visibility improve-
er than at the nearest Class I area. For ex- ment (e.g., the number of days or hours that
ample, you might chose to locate receptors the threshold was exceeded, a single thresh-
at these areas at the closest point to the old for determining whether a change in im-
source, at the highest and lowest elevation pacts is significant, or a threshold rep-
in the Class I area, at the IMPROVE mon- resenting an x percent change in improve-
itor, and at the approximate expected plume ment).
release height. If the highest modeled effects • Compare the 98th percent days for the
are observed at the nearest Class I area, you pre- and post-control runs.
may choose not to analyze the other Class I Note that each of the modeling options
areas any further as additional analyses may be supplemented with source apportion-
might be unwarranted. ment data or source apportionment mod-
You should bear in mind that some recep- eling.
tors within the relevant Class I area may be
less than 50 km from the source while other E. How do I select the ‘‘best’’ alternative, using
receptors within that same Class I area may the results of Steps 1 through 5?
be greater than 50 km from the same source.
1. Summary of the Impacts Analysis
As indicated by the Guideline on Air Quality
Models, this situation may call for the use of From the alternatives you evaluated in
two different modeling approaches for the Step 3, we recommend you develop a chart
same Class I area and source, depending upon (or charts) displaying for each of the alter-
the State’s chosen method for modeling natives:
sources less than 50 km. In situations where (1) Expected emission rate (tons per year,
you are assessing visibility impacts for pounds per hour);
source-receptor distances less than 50 km, (2) Emissions performance level (e.g., per-
you should use expert modeling judgment in cent pollutant removed, emissions per unit
determining visibility impacts, giving con- product, lb/MMBtu, ppm);
sideration to both CALPUFF and other EPA- (3) Expected emissions reductions (tons per
approved methods. year);
In developing your modeling protocol, you (4) Costs of compliance—total annualized
may want to consult with EPA and your re- costs ($), cost effectiveness ($/ton), and incre-
gional planning organization (RPO). Up-front mental cost effectiveness ($/ton), and/or any
consultation will ensure that key technical other cost-effectiveness measures (such as $/
issues are addressed before you conduct your deciview);
modeling. (5) Energy impacts;
• For each source, run the model, at pre- (6) Non-air quality environmental impacts;
control and post-control emission rates ac- and
cording to the accepted methodology in the (7) Modeled visibility impacts.
protocol.
2. Selecting a ‘‘best’’ alternative
Use the 24-hour average actual emission
rate from the highest emitting day of the 1. You have discretion to determine the
meteorological period modeled (for the pre- order in which you should evaluate control
control scenario). Calculate the model re- options for BART. Whatever the order in
sults for each receptor as the change in which you choose to evaluate options, you
deciviews compared against natural visi- should always (1) display the options evalu-
bility conditions. Post-control emission ated; (2) identify the average and incre-
rates are calculated as a percentage of pre- mental costs of each option; (3) consider the
control emission rates. For example, if the energy and non-air quality environmental
24-hr pre-control emission rate is 100 lb/hr of impacts of each option; (4) consider the re-
SO2, then the post control rate is 5 lb/hr if maining useful life; and (5) consider the mod-
the control efficiency being evaluated is 95 eled visibility impacts. You should provide a
percent. justification for adopting the technology
• Make the net visibility improvement de- that you select as the ‘‘best’’ level of con-
termination. trol, including an explanation of the CAA
Assess the visibility improvement based on factors that led you to choose that option
the modeled change in visibility impacts for over other control levels.
679
2. In the case where you are conducting a able at the time that you are conducting
BART determination for two regulated pol- your BART analysis.
lutants on the same source, if the result is For coal-fired EGUs with existing post-
two different BART technologies that do not combustion SO2 controls achieving less than
work well together, you could then sub- 50 percent removal efficiencies, we rec-
stitute a different technology or combina- ommend that you evaluate constructing a
tion of technologies. new FGD system to meet the same emission
limits as above (95 percent removal or 0.15 lb/
3. In selecting a ‘‘best’’ alternative, should I mmBtu), in addition to the evaluation of
consider the affordability of controls? scrubber upgrades discussed below. For oil-
1. Even if the control technology is cost ef- fired units, regardless of size, you should
fective, there may be cases where the instal- evaluate limiting the sulfur content of the
lation of controls would affect the viability fuel oil burned to 1 percent or less by weight.
of continued plant operations. For those BART-eligible EGUs with pre-ex-
2. There may be unusual circumstances isting post-combustion SO2 controls achiev-
that justify taking into consideration the ing removal efficiencies of at least 50 per-
conditions of the plant and the economic ef- cent, your BART determination should con-
fects of requiring the use of a given control sider cost effective scrubber upgrades de-
technology. These effects would include ef- signed to improve the system’s overall SO2
fects on product prices, the market share, removal efficiency. There are numerous
and profitability of the source. Where there scrubber enhancements available to upgrade
are such unusual circumstances that are the average removal efficiencies of all types
judged to affect plant operations, you may of existing scrubber systems. We recommend
take into consideration the conditions of the that as you evaluate the definition of ‘‘up-
plant and the economic effects of requiring grade,’’ you evaluate options that not only
the use of a control technology. Where these improve the design removal efficiency of the
effects are judged to have a severe impact on scrubber vessel itself, but also consider up-
plant operations you may consider them in grades that can improve the overall SO2 re-
the selection process, but you may wish to moval efficiency of the scrubber system. In-
provide an economic analysis that dem- creasing a scrubber system’s reliability, and
onstrates, in sufficient detail for public re- conversely decreasing its downtime, by way
view, the specific economic effects, param- of optimizing operation procedures, improv-
eters, and reasoning. (We recognize that this ing maintenance practices, adjusting scrub-
review process must preserve the confiden- ber chemistry, and increasing auxiliary
tiality of sensitive business information). equipment redundancy, are all ways to im-
Any analysis may also consider whether prove average SO2 removal efficiencies.
other competing plants in the same industry We recommend that as you evaluate the
have been required to install BART controls performance of existing wet scrubber sys-
if this information is available. tems, you consider some of the following up-
grades, in no particular order, as potential
4. Sulfur dioxide limits for utility boilers scrubber upgrades that have been proven in
You must require 750 MW power plants to the industry as cost effective means to in-
meet specific control levels for SO2 of either crease overall SO2 removal of wet systems:
95 percent control or 0.15 lbs/MMBtu, for (a) Elimination of Bypass Reheat;
each EGU greater than 200 MW that is cur- (b) Installation of Liquid Distribution
rently uncontrolled unless you determine Rings;
that an alternative control level is justified (c) Installation of Perforated Trays;
based on a careful consideration of the statu- (d) Use of Organic Acid Additives;
tory factors. Thus, for example, if the source (e) Improve or Upgrade Scrubber Auxiliary
demonstrates circumstances affecting its System Equipment;
ability to cost-effectively reduce its emis-
(f) Redesign Spray Header or Nozzle Con-
sions, you should take that into account in
figuration.
determining whether the presumptive levels
We recommend that as you evaluate up-
of control are appropriate for that facility.
grade options for dry scrubber systems, you
For a currently uncontrolled EGU greater
should consider the following cost effective
than 200 MW in size, but located at a power
upgrades, in no particular order:
plant smaller than 750 MW in size, such con-
trols are generally cost-effective and could (a) Use of Performance Additives;
be used in your BART determination consid- (b) Use of more Reactive Sorbent;
ering the five factors specified in CAA sec- (c) Increase the Pulverization Level of Sor-
tion 169A(g)(2). While these levels may rep- bent;
resent current control capabilities, we ex- (d) Engineering redesign of atomizer or
pect that scrubber technology will continue slurry injection system.
to improve and control costs continue to de- You should evaluate scrubber upgrade op-
cline. You should be sure to consider the tions based on the 5 step BART analysis
level of control that is currently best achiev- process.
680
5. Nitrogen oxide limits for utility boilers boiler design and type of coal burned. You
may determine that an alternative control
You should establish specific numerical
limits for NOX control for each BART deter- level is appropriate based on a careful con-
mination. For power plants with a gener- sideration of the statutory factors. For coal-
ating capacity in excess of 750 MW currently fired EGUs greater than 200 MW located at
using selective catalytic reduction (SCR) or power plants 750 MW or less in size and oper-
selective non-catalytic reduction (SNCR) for ating without post-combustion controls, you
part of the year, you should presume that should likewise presume that these same lev-
use of those same controls year-round is els are cost-effective. You should require
BART. For other sources currently using such utility boilers to meet the following
SCR or SNCR to reduce NOX emissions dur- NOX emission limits, unless you determine
ing part of the year, you should carefully that an alternative control level is justified
consider requiring the use of these controls based on consideration of the statutory fac-
year-round as the additional costs of oper- tors. The following NOX emission rates were
ating the equipment throughout the year determined based on a number of assump-
would be relatively modest. tions, including that the EGU boiler has
For coal-fired EGUs greater than 200 MW enough volume to allow for installation and
located at greater than 750 MW power plants effective operation of separated overfire air
and operating without post-combustion con- ports. For boilers where these assumptions
trols (i.e. SCR or SNCR), we have provided are incorrect, these emission limits may not
presumptive NOX limits, differentiated by be cost-effective.
TABLE 1—PRESUMPTIVE NOX EMISSION LIMITS FOR BART-ELIGIBLE COAL-FIRED UNITS. 19

NOX presumptive
Unit type Coal type limit
(lb/mmbtu) 20
Dry-bottom wall-fired .................................................... Bituminous .................................................................. 0.39

Sub-bituminous ........................................................... 0.23
Lignite ......................................................................... 0.29
Tangential-fired ............................................................ Bituminous .................................................................. 0.28
Sub-bituminous ........................................................... 0.15
Lignite ......................................................................... 0.17
Cell Burners ................................................................. Bituminous .................................................................. 0.40
Sub-bituminous ........................................................... 0.45
Dry-turbo-fired .............................................................. Bituminous .................................................................. 0.32
Sub-bituminous ........................................................... 0.23
Wet-bottom tangential-fired .......................................... Bituminous .................................................................. 0.62
19 No Cell burners, dry-turbo-fired units, nor wet-bottom tangential-fired units burning lignite were identified as BART-eligible,
thus no presumptive limit was determined. Similarly, no wet-bottom tangential-fired units burning sub-bituminous were identified
as BART-eligible.
20 These limits reflect the design and technological assumptions discussed in the technical support document for NO limits for
X
these guidelines. See Technical Support Document for BART NOX Limits for Electric Generating Units and Technical Support
Document for BART NOX Limits for Electric Generating Units Excel Spreadsheet, Memorandum to Docket OAR 2002–0076, April
15, 2005.
Most EGUs can meet these presumptive As with the other presumptive limits estab-
NOX limits through the use of current com- lished in this guideline, you may determine
bustion control technology, i.e. the careful that an alternative level of control is appro-
control of combustion air and low-NOX burn- priate based on your consideration of the rel-
ers. For units that cannot meet these limits evant statutory factors. For other cyclone
using such technologies, you should consider units, you should review the use of SCR and
whether advanced combustion control tech- consider whether these post-combustion con-
nologies such as rotating opposed fire air trols should be required as BART.
should be used to meet these limits. For oil-fired and gas-fired EGUs larger
Because of the relatively high NOX emis- than 200MW, we believe that installation of
sion rates of cyclone units, SCR is more current combustion control technology to
cost-effective than the use of current com- control NOX is generally highly cost-effec-
bustion control technology for these units. tive and should be considered in your deter-
The use of SCRs at cyclone units burning bi- mination of BART for these sources. Many
tuminous coal, sub-bituminous coal, and lig- such units can make significant reductions
nite should enable the units to cost-effec-
tively meet NOX rates of 0.10 lbs/mmbtu. As
a result, we are establishing a presumptive
NOX limit of 0.10 lbs/mmbtu based on the use
of SCR for coal-fired cyclone units greater
than 200 MW located at 750 MW power plants.
681
in NOX emissions which are highly cost-ef- continuous basis. Although this provision
fective through the application of current does not necessarily require the use of con-
combustion control technology. 21 tinuous emissions monitoring (CEMs), it is
important that sources employ techniques
V. ENFORCEABLE LIMITS/COMPLIANCE DATE that ensure compliance on a continuous
To complete the BART process, you must basis. Monitoring requirements generally ap-
establish enforceable emission limits that plicable to sources, including those that are
reflect the BART requirements and require subject to BART, are governed by other reg-
compliance within a given period of time. In ulations. See, e.g., 40 CFR part 64 (compli-
particular, you must establish an enforce- ance assurance monitoring); 40 CFR 70.6(a)(3)
able emission limit for each subject emission (periodic monitoring); 40 CFR 70.6(c)(1) (suffi-
unit at the source and for each pollutant ciency monitoring). Note also that while we
subject to review that is emitted from the do not believe that CEMs would necessarily
source. In addition, you must require compli- be required for all BART sources, the vast
ance with the BART emission limitations no majority of electric generating units poten-
later than 5 years after EPA approves your tially subject to BART already employ CEM
regional haze SIP. If technological or eco- technology for other programs, such as the
nomic limitations in the application of a acid rain program. In addition, emissions
measurement methodology to a particular limits must be enforceable as a practical
emission unit make a conventional emis- matter (contain appropriate averaging
sions limit infeasible, you may instead pre- times, compliance verification procedures
scribe a design, equipment, work practice, and recordkeeping requirements). In light of
operation standard, or combination of these the above, the permit must:
types of standards. You should consider al- • Be sufficient to show compliance or non-
lowing sources to ‘‘average’’ emissions compliance (i.e., through monitoring times
across any set of BART-eligible emission of operation, fuel input, or other indices of
units within a fenceline, so long as the emis- operating conditions and practices); and
sion reductions from each pollutant being • Specify a reasonable averaging time con-
controlled for BART would be equal to those sistent with established reference methods,
reductions that would be obtained by simply contain reference methods for determining
controlling each of the BART-eligible units compliance, and provide for adequate report-
that constitute BART-eligible source. ing and recordkeeping so that air quality
You should ensure that any BART require- agency personnel can determine the compli-
ments are written in a way that clearly ance status of the source; and
specifies the individual emission unit(s) sub- • For EGUS, specify an averaging time of a
ject to BART regulation. Because the BART 30-day rolling average, and contain a defini-
requirements themselves are ‘‘applicable’’ tion of ‘‘boiler operating day’’ that is con-
requirements of the CAA, they must be in- sistent with the definition in the proposed
cluded as title V permit conditions according revisions to the NSPS for utility boilers in 40
to the procedures established in 40 CFR part CFR Part 60, subpart Da. 22 You should con-
70 or 40 CFR part 71. sider a boiler operating day to be any 24-hour
Section 302(k) of the CAA requires emis- period between 12:00 midnight and the fol-
sions limits such as BART to be met on a lowing midnight during which any fuel is
combusted at any time at the steam gener-
ating unit. This would allow 30-day rolling
21 See Technical Support Document for BART
average emission rates to be calculated con-
NOX Limits for Electric Generating Units and sistently across sources.
Technical Support Document for BART NOX
Limits for Electric Generating Units Excel [70 FR 39156, July 6, 2005]
Spreadsheet, Memorandum to Docket OAR
2002–0076, April 15, 2005. 22 70 FR 9705, February 28, 2005.
682
FINDING AIDS
A list of CFR titles, subtitles, chapters, subchapters and parts and an alphabet-
ical list of agencies publishing in the CFR are included in the CFR Index and
Finding Aids volume to the Code of Federal Regulations which is published sepa-
rately and revised annually.
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected
683
Table of CFR Titles and Chapters
(Revised as of July 1, 2021)
Title 1—General Provisions
I Administrative Committee of the Federal Register (Parts 1—49)

II Office of the Federal Register (Parts 50—299)
III Administrative Conference of the United States (Parts 300—399)
IV Miscellaneous Agencies (Parts 400—599)
VI National Capital Planning Commission (Parts 600—699)
Title 2—Grants and Agreements
SUBTITLE A—OFFICE OF MANAGEMENT AND BUDGET GUIDANCE FOR

GRANTS AND AGREEMENTS
I Office of Management and Budget Governmentwide Guidance for
Grants and Agreements (Parts 2—199)
II Office of Management and Budget Guidance (Parts 200—299)
SUBTITLE B—FEDERAL AGENCY REGULATIONS FOR GRANTS AND
AGREEMENTS
III Department of Health and Human Services (Parts 300—399)
IV Department of Agriculture (Parts 400—499)
VI Department of State (Parts 600—699)
VII Agency for International Development (Parts 700—799)
VIII Department of Veterans Affairs (Parts 800—899)
IX Department of Energy (Parts 900—999)
X Department of the Treasury (Parts 1000—1099)
XI Department of Defense (Parts 1100—1199)
XII Department of Transportation (Parts 1200—1299)
XIII Department of Commerce (Parts 1300—1399)
XIV Department of the Interior (Parts 1400—1499)
XV Environmental Protection Agency (Parts 1500—1599)
XVIII National Aeronautics and Space Administration (Parts 1800—
1899)
XX United States Nuclear Regulatory Commission (Parts 2000—2099)
XXII Corporation for National and Community Service (Parts 2200—
2299)
XXIII Social Security Administration (Parts 2300—2399)
XXIV Department of Housing and Urban Development (Parts 2400—
2499)
XXV National Science Foundation (Parts 2500—2599)
XXVI National Archives and Records Administration (Parts 2600—2699)
685
Title 2—Grants and Agreements—Continued
Chap.
XXVII Small Business Administration (Parts 2700—2799)

XXVIII Department of Justice (Parts 2800—2899)
XXIX Department of Labor (Parts 2900—2999)
XXX Department of Homeland Security (Parts 3000—3099)
XXXI Institute of Museum and Library Services (Parts 3100—3199)
XXXII National Endowment for the Arts (Parts 3200—3299)
XXXIII National Endowment for the Humanities (Parts 3300—3399)
XXXIV Department of Education (Parts 3400—3499)
XXXV Export-Import Bank of the United States (Parts 3500—3599)
XXXVI Office of National Drug Control Policy, Executive Office of the
President (Parts 3600—3699)
XXXVII Peace Corps (Parts 3700—3799)
LVIII Election Assistance Commission (Parts 5800—5899)
LIX Gulf Coast Ecosystem Restoration Council (Parts 5900—5999)
Title 3—The President
I Executive Office of the President (Parts 100—199)
Title 4—Accounts
I Government Accountability Office (Parts 1—199)
Title 5—Administrative Personnel
I Office of Personnel Management (Parts 1—1199)

II Merit Systems Protection Board (Parts 1200—1299)
III Office of Management and Budget (Parts 1300—1399)
IV Office of Personnel Management and Office of the Director of
National Intelligence (Parts 1400—1499)
V The International Organizations Employees Loyalty Board
(Parts 1500—1599)
VI Federal Retirement Thrift Investment Board (Parts 1600—1699)
VIII Office of Special Counsel (Parts 1800—1899)
IX Appalachian Regional Commission (Parts 1900—1999)
XI Armed Forces Retirement Home (Parts 2100—2199)
XIV Federal Labor Relations Authority, General Counsel of the Fed-
eral Labor Relations Authority and Federal Service Impasses
Panel (Parts 2400—2499)
XVI Office of Government Ethics (Parts 2600—2699)
XXI Department of the Treasury (Parts 3100—3199)
XXII Federal Deposit Insurance Corporation (Parts 3200—3299)
XXIII Department of Energy (Parts 3300—3399)
XXIV Federal Energy Regulatory Commission (Parts 3400—3499)
XXV Department of the Interior (Parts 3500—3599)
XXVI Department of Defense (Parts 3600—3699)
686
Title 5—Administrative Personnel—Continued
Chap.
XXVIII Department of Justice (Parts 3800—3899)

XXIX Federal Communications Commission (Parts 3900—3999)
XXX Farm Credit System Insurance Corporation (Parts 4000—4099)
XXXI Farm Credit Administration (Parts 4100—4199)
XXXIII U.S. International Development Finance Corporation (Parts
4300—4399)
XXXIV Securities and Exchange Commission (Parts 4400—4499)
XXXV Office of Personnel Management (Parts 4500—4599)
XXXVI Department of Homeland Security (Parts 4600—4699)
XXXVII Federal Election Commission (Parts 4700—4799)
XL Interstate Commerce Commission (Parts 5000—5099)
XLI Commodity Futures Trading Commission (Parts 5100—5199)
XLII Department of Labor (Parts 5200—5299)
XLIII National Science Foundation (Parts 5300—5399)
XLV Department of Health and Human Services (Parts 5500—5599)
XLVI Postal Rate Commission (Parts 5600—5699)
XLVII Federal Trade Commission (Parts 5700—5799)
XLVIII Nuclear Regulatory Commission (Parts 5800—5899)
XLIX Federal Labor Relations Authority (Parts 5900—5999)
L Department of Transportation (Parts 6000—6099)
LII Export-Import Bank of the United States (Parts 6200—6299)
LIII Department of Education (Parts 6300—6399)
LIV Environmental Protection Agency (Parts 6400—6499)
LV National Endowment for the Arts (Parts 6500—6599)
LVI National Endowment for the Humanities (Parts 6600—6699)
LVII General Services Administration (Parts 6700—6799)
LVIII Board of Governors of the Federal Reserve System (Parts 6800—
6899)
LIX National Aeronautics and Space Administration (Parts 6900—
6999)
LX United States Postal Service (Parts 7000—7099)
LXI National Labor Relations Board (Parts 7100—7199)
LXII Equal Employment Opportunity Commission (Parts 7200—7299)
LXIII Inter-American Foundation (Parts 7300—7399)
LXIV Merit Systems Protection Board (Parts 7400—7499)
LXV Department of Housing and Urban Development (Parts 7500—
7599)
LXVI National Archives and Records Administration (Parts 7600—7699)
LXVII Institute of Museum and Library Services (Parts 7700—7799)
LXVIII Commission on Civil Rights (Parts 7800—7899)
LXIX Tennessee Valley Authority (Parts 7900—7999)
LXX Court Services and Offender Supervision Agency for the District
of Columbia (Parts 8000—8099)
LXXI Consumer Product Safety Commission (Parts 8100—8199)
LXXIII Department of Agriculture (Parts 8300—8399)
687
Title 5—Administrative Personnel—Continued
Chap.
LXXIV Federal Mine Safety and Health Review Commission (Parts

8400—8499)
LXXVI Federal Retirement Thrift Investment Board (Parts 8600—8699)
LXXVII Office of Management and Budget (Parts 8700—8799)
LXXX Federal Housing Finance Agency (Parts 9000—9099)
LXXXIII Special Inspector General for Afghanistan Reconstruction (Parts
9300—9399)
LXXXIV Bureau of Consumer Financial Protection (Parts 9400—9499)
LXXXVI National Credit Union Administration (Parts 9600—9699)
XCVII Department of Homeland Security Human Resources Manage-
ment System (Department of Homeland Security—Office of
Personnel Management) (Parts 9700—9799)
XCVIII Council of the Inspectors General on Integrity and Efficiency
(Parts 9800—9899)
XCIX Military Compensation and Retirement Modernization Commis-
sion (Parts 9900—9999)
C National Council on Disability (Parts 10000—10049)
CI National Mediation Board (Parts 10100—10199)
CII U.S. Office of Special Counsel (Parts 10200—10299)
Title 6—Domestic Security
I Department of Homeland Security, Office of the Secretary

(Parts 1—199)
X Privacy and Civil Liberties Oversight Board (Parts 1000—1099)
Title 7—Agriculture
SUBTITLE A—OFFICE OF THE SECRETARY OF AGRICULTURE (PARTS

0—26)
SUBTITLE B—REGULATIONS OF THE DEPARTMENT OF AGRICULTURE
I Agricultural Marketing Service (Standards, Inspections, Mar-
keting Practices), Department of Agriculture (Parts 27—209)
II Food and Nutrition Service, Department of Agriculture (Parts
210—299)
III Animal and Plant Health Inspection Service, Department of Ag-
riculture (Parts 300—399)
IV Federal Crop Insurance Corporation, Department of Agriculture
(Parts 400—499)
V Agricultural Research Service, Department of Agriculture
(Parts 500—599)
VI Natural Resources Conservation Service, Department of Agri-
culture (Parts 600—699)
VII Farm Service Agency, Department of Agriculture (Parts 700—
799)
VIII Agricultural Marketing Service (Federal Grain Inspection Serv-
ice, Fair Trade Practices Program), Department of Agri-
688
Title 7—Agriculture—Continued
Chap.
IX Agricultural Marketing Service (Marketing Agreements and Or-

ders; Fruits, Vegetables, Nuts), Department of Agriculture
(Parts 900—999)
X Agricultural Marketing Service (Marketing Agreements and Or-
ders; Milk), Department of Agriculture (Parts 1000—1199)
XI Agricultural Marketing Service (Marketing Agreements and Or-
ders; Miscellaneous Commodities), Department of Agriculture
(Parts 1200—1299)
XIV Commodity Credit Corporation, Department of Agriculture
(Parts 1400—1499)
XV Foreign Agricultural Service, Department of Agriculture (Parts
1500—1599)
XVI (Parts 1600—1699) [Reserved]
XVII Rural Utilities Service, Department of Agriculture (Parts 1700—
1799)
XVIII Rural Housing Service, Rural Business-Cooperative Service,
Rural Utilities Service, and Farm Service Agency, Depart-
ment of Agriculture (Parts 1800—2099)
XX (Parts 2200—2299) [Reserved]
XXV Office of Advocacy and Outreach, Department of Agriculture
(Parts 2500—2599)
XXVI Office of Inspector General, Department of Agriculture (Parts
2600—2699)
XXVII Office of Information Resources Management, Department of
Agriculture (Parts 2700—2799)
XXVIII Office of Operations, Department of Agriculture (Parts 2800—
2899)
XXIX Office of Energy Policy and New Uses, Department of Agri-
XXX Office of the Chief Financial Officer, Department of Agriculture
(Parts 3000—3099)
XXXI Office of Environmental Quality, Department of Agriculture
(Parts 3100—3199)
XXXII Office of Procurement and Property Management, Department
of Agriculture (Parts 3200—3299)
XXXIII Office of Transportation, Department of Agriculture (Parts
3300—3399)
XXXIV National Institute of Food and Agriculture (Parts 3400—3499)
XXXV Rural Housing Service, Department of Agriculture (Parts 3500—
3599)
XXXVI National Agricultural Statistics Service, Department of Agri-
XXXVII Economic Research Service, Department of Agriculture (Parts
3700—3799)
XXXVIII World Agricultural Outlook Board, Department of Agriculture
(Parts 3800—3899)
XLI [Reserved]
XLII Rural Business-Cooperative Service and Rural Utilities Service,
Department of Agriculture (Parts 4200—4299)
689
Title 7—Agriculture—Continued
Chap.
L Rural Business-Cooperative Service, and Rural Utilities Service,

Title 8—Aliens and Nationality
I Department of Homeland Security (Parts 1—499)

V Executive Office for Immigration Review, Department of Justice
(Parts 1000—1399)
Title 9—Animals and Animal Products
I Animal and Plant Health Inspection Service, Department of Ag-

riculture (Parts 1—199)
II Agricultural Marketing Service (Fair Trade Practices Program),
III Food Safety and Inspection Service, Department of Agriculture
(Parts 300—599)
Title 10—Energy
I Nuclear Regulatory Commission (Parts 0—199)

II Department of Energy (Parts 200—699)
III Department of Energy (Parts 700—999)
X Department of Energy (General Provisions) (Parts 1000—1099)
XIII Nuclear Waste Technical Review Board (Parts 1300—1399)
XVII Defense Nuclear Facilities Safety Board (Parts 1700—1799)
XVIII Northeast Interstate Low-Level Radioactive Waste Commission
(Parts 1800—1899)
Title 11—Federal Elections
I Federal Election Commission (Parts 1—9099)

II Election Assistance Commission (Parts 9400—9499)
Title 12—Banks and Banking
I Comptroller of the Currency, Department of the Treasury (Parts

1—199)
II Federal Reserve System (Parts 200—299)
III Federal Deposit Insurance Corporation (Parts 300—399)
IV Export-Import Bank of the United States (Parts 400—499)
V (Parts 500—599) [Reserved]
VI Farm Credit Administration (Parts 600—699)
VII National Credit Union Administration (Parts 700—799)
VIII Federal Financing Bank (Parts 800—899)
IX (Parts 900—999) [Reserved]
X Bureau of Consumer Financial Protection (Parts 1000—1099)
690
Title 12—Banks and Banking—Continued
Chap.
XI Federal Financial Institutions Examination Council (Parts

1100—1199)
XII Federal Housing Finance Agency (Parts 1200—1299)
XIII Financial Stability Oversight Council (Parts 1300—1399)
XIV Farm Credit System Insurance Corporation (Parts 1400—1499)
XV Department of the Treasury (Parts 1500—1599)
XVI Office of Financial Research, Department of the Treasury (Parts
1600—1699)
XVII Office of Federal Housing Enterprise Oversight, Department of
Housing and Urban Development (Parts 1700—1799)
XVIII Community Development Financial Institutions Fund, Depart-
ment of the Treasury (Parts 1800—1899)
Title 13—Business Credit and Assistance
I Small Business Administration (Parts 1—199)

III Economic Development Administration, Department of Com-
merce (Parts 300—399)
IV Emergency Steel Guarantee Loan Board (Parts 400—499)
V Emergency Oil and Gas Guaranteed Loan Board (Parts 500—599)
Title 14—Aeronautics and Space
I Federal Aviation Administration, Department of Transportation

(Parts 1—199)
II Office of the Secretary, Department of Transportation (Aviation
Proceedings) (Parts 200—399)
III Commercial Space Transportation, Federal Aviation Adminis-
tration, Department of Transportation (Parts 400—1199)
V National Aeronautics and Space Administration (Parts 1200—
1299)
VI Air Transportation System Stabilization (Parts 1300—1399)
Title 15—Commerce and Foreign Trade
SUBTITLE A—OFFICE OF THE SECRETARY OF COMMERCE (PARTS 0—

29)
SUBTITLE B—REGULATIONS RELATING TO COMMERCE AND FOREIGN
TRADE
I Bureau of the Census, Department of Commerce (Parts 30—199)
II National Institute of Standards and Technology, Department of
Commerce (Parts 200—299)
III International Trade Administration, Department of Commerce
(Parts 300—399)
IV Foreign-Trade Zones Board, Department of Commerce (Parts
400—499)
VII Bureau of Industry and Security, Department of Commerce
(Parts 700—799)
691
Title 15—Commerce and Foreign Trade—Continued
Chap.
VIII Bureau of Economic Analysis, Department of Commerce (Parts

800—899)
IX National Oceanic and Atmospheric Administration, Department
of Commerce (Parts 900—999)
XI National Technical Information Service, Department of Com-
merce (Parts 1100—1199)
XIII East-West Foreign Trade Board (Parts 1300—1399)
XIV Minority Business Development Agency (Parts 1400—1499)
XV Office of the Under-Secretary for Economic Affairs, Department
of Commerce (Parts 1500—1599)
SUBTITLE C—REGULATIONS RELATING TO FOREIGN TRADE AGREE-
MENTS
XX Office of the United States Trade Representative (Parts 2000—
2099)
SUBTITLE D—REGULATIONS RELATING TO TELECOMMUNICATIONS
AND INFORMATION
XXIII National Telecommunications and Information Administration,
Department of Commerce (Parts 2300—2399) [Reserved]
Title 16—Commercial Practices
I Federal Trade Commission (Parts 0—999)

II Consumer Product Safety Commission (Parts 1000—1799)
Title 17—Commodity and Securities Exchanges
I Commodity Futures Trading Commission (Parts 1—199)

II Securities and Exchange Commission (Parts 200—399)
IV Department of the Treasury (Parts 400—499)
Title 18—Conservation of Power and Water Resources
I Federal Energy Regulatory Commission, Department of Energy

(Parts 1—399)
III Delaware River Basin Commission (Parts 400—499)
VI Water Resources Council (Parts 700—799)
VIII Susquehanna River Basin Commission (Parts 800—899)
XIII Tennessee Valley Authority (Parts 1300—1399)
Title 19—Customs Duties
I U.S. Customs and Border Protection, Department of Homeland

Security; Department of the Treasury (Parts 0—199)
II United States International Trade Commission (Parts 200—299)
III International Trade Administration, Department of Commerce
(Parts 300—399)
IV U.S. Immigration and Customs Enforcement, Department of
Homeland Security (Parts 400—599) [Reserved]
692
Title 20—Employees’ Benefits
Chap.
I Office of Workers’ Compensation Programs, Department of

Labor (Parts 1—199)
II Railroad Retirement Board (Parts 200—399)
III Social Security Administration (Parts 400—499)
IV Employees’ Compensation Appeals Board, Department of Labor
(Parts 500—599)
V Employment and Training Administration, Department of Labor
(Parts 600—699)
VI Office of Workers’ Compensation Programs, Department of
VII Benefits Review Board, Department of Labor (Parts 800—899)
VIII Joint Board for the Enrollment of Actuaries (Parts 900—999)
IX Office of the Assistant Secretary for Veterans’ Employment and
Training Service, Department of Labor (Parts 1000—1099)
Title 21—Food and Drugs
I Food and Drug Administration, Department of Health and

Human Services (Parts 1—1299)
II Drug Enforcement Administration, Department of Justice (Parts
1300—1399)
III Office of National Drug Control Policy (Parts 1400—1499)
Title 22—Foreign Relations
I Department of State (Parts 1—199)

II Agency for International Development (Parts 200—299)
III Peace Corps (Parts 300—399)
IV International Joint Commission, United States and Canada
(Parts 400—499)
V United States Agency for Global Media (Parts 500—599)
VII U.S. International Development Finance Corporation (Parts
700—799)
IX Foreign Service Grievance Board (Parts 900—999)
X Inter-American Foundation (Parts 1000—1099)
XI International Boundary and Water Commission, United States
and Mexico, United States Section (Parts 1100—1199)
XII United States International Development Cooperation Agency
(Parts 1200—1299)
XIII Millennium Challenge Corporation (Parts 1300—1399)
XIV Foreign Service Labor Relations Board; Federal Labor Relations
Authority; General Counsel of the Federal Labor Relations
Authority; and the Foreign Service Impasse Disputes Panel
(Parts 1400—1499)
XV African Development Foundation (Parts 1500—1599)
XVI Japan-United States Friendship Commission (Parts 1600—1699)
XVII United States Institute of Peace (Parts 1700—1799)
693
Title 23—Highways
Chap.
I Federal Highway Administration, Department of Transportation

(Parts 1—999)
II National Highway Traffic Safety Administration and Federal
Highway Administration, Department of Transportation
(Parts 1200—1299)
III National Highway Traffic Safety Administration, Department of
Transportation (Parts 1300—1399)
Title 24—Housing and Urban Development
SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF HOUSING

AND URBAN DEVELOPMENT (PARTS 0—99)
SUBTITLE B—REGULATIONS RELATING TO HOUSING AND URBAN DE-
VELOPMENT
I Office of Assistant Secretary for Equal Opportunity, Department
of Housing and Urban Development (Parts 100—199)
II Office of Assistant Secretary for Housing-Federal Housing Com-
missioner, Department of Housing and Urban Development
(Parts 200—299)
III Government National Mortgage Association, Department of
Housing and Urban Development (Parts 300—399)
IV Office of Housing and Office of Multifamily Housing Assistance
Restructuring, Department of Housing and Urban Develop-
ment (Parts 400—499)
V Office of Assistant Secretary for Community Planning and De-
velopment, Department of Housing and Urban Development
(Parts 500—599)
VI Office of Assistant Secretary for Community Planning and De-
velopment, Department of Housing and Urban Development
(Parts 600—699) [Reserved]
VII Office of the Secretary, Department of Housing and Urban Devel-
opment (Housing Assistance Programs and Public and Indian
Housing Programs) (Parts 700—799)
VIII Office of the Assistant Secretary for Housing—Federal Housing
Commissioner, Department of Housing and Urban Develop-
ment (Section 8 Housing Assistance Programs, Section 202 Di-
rect Loan Program, Section 202 Supportive Housing for the El-
derly Program and Section 811 Supportive Housing for Persons
With Disabilities Program) (Parts 800—899)
IX Office of Assistant Secretary for Public and Indian Housing, De-
partment of Housing and Urban Development (Parts 900—1699)
X Office of Assistant Secretary for Housing—Federal Housing
ment (Interstate Land Sales Registration Program) (Parts
1700—1799) [Reserved]
XII Office of Inspector General, Department of Housing and Urban
Development (Parts 2000—2099)
XV Emergency Mortgage Insurance and Loan Programs, Depart-
ment of Housing and Urban Development (Parts 2700—2799)
[Reserved]
694
Title 24—Housing and Urban Development—Continued
Chap.
XX Office of Assistant Secretary for Housing—Federal Housing

ment (Parts 3200—3899)
XXIV Board of Directors of the HOPE for Homeowners Program (Parts
4000—4099) [Reserved]
XXV Neighborhood Reinvestment Corporation (Parts 4100—4199)
Title 25—Indians
I Bureau of Indian Affairs, Department of the Interior (Parts 1—

299)
II Indian Arts and Crafts Board, Department of the Interior (Parts
300—399)
III National Indian Gaming Commission, Department of the Inte-
rior (Parts 500—599)
IV Office of Navajo and Hopi Indian Relocation (Parts 700—899)
V Bureau of Indian Affairs, Department of the Interior, and Indian
Health Service, Department of Health and Human Services
(Part 900—999)
VI Office of the Assistant Secretary, Indian Affairs, Department of
the Interior (Parts 1000—1199)
VII Office of the Special Trustee for American Indians, Department
of the Interior (Parts 1200—1299)
Title 26—Internal Revenue
I Internal Revenue Service, Department of the Treasury (Parts 1—

End)
Title 27—Alcohol, Tobacco Products and Firearms
I Alcohol and Tobacco Tax and Trade Bureau, Department of the

Treasury (Parts 1—399)
II Bureau of Alcohol, Tobacco, Firearms, and Explosives, Depart-
ment of Justice (Parts 400—799)
Title 28—Judicial Administration
I Department of Justice (Parts 0—299)

III Federal Prison Industries, Inc., Department of Justice (Parts
300—399)
V Bureau of Prisons, Department of Justice (Parts 500—599)
VI Offices of Independent Counsel, Department of Justice (Parts
600—699)
VII Office of Independent Counsel (Parts 700—799)
VIII Court Services and Offender Supervision Agency for the District
of Columbia (Parts 800—899)
IX National Crime Prevention and Privacy Compact Council (Parts
900—999)
695
Title 28—Judicial Administration—Continued
Chap.
XI Department of Justice and Department of State (Parts 1100—

1199)
Title 29—Labor
SUBTITLE A—OFFICE OF THE SECRETARY OF LABOR (PARTS 0—99)

SUBTITLE B—REGULATIONS RELATING TO LABOR
I National Labor Relations Board (Parts 100—199)
II Office of Labor-Management Standards, Department of Labor
(Parts 200—299)
III National Railroad Adjustment Board (Parts 300—399)
IV Office of Labor-Management Standards, Department of Labor
(Parts 400—499)
V Wage and Hour Division, Department of Labor (Parts 500—899)
IX Construction Industry Collective Bargaining Commission (Parts
900—999)
X National Mediation Board (Parts 1200—1299)
XII Federal Mediation and Conciliation Service (Parts 1400—1499)
XIV Equal Employment Opportunity Commission (Parts 1600—1699)
XVII Occupational Safety and Health Administration, Department of
XX Occupational Safety and Health Review Commission (Parts
2200—2499)
XXV Employee Benefits Security Administration, Department of
XXVII Federal Mine Safety and Health Review Commission (Parts
2700—2799)
XL Pension Benefit Guaranty Corporation (Parts 4000—4999)
Title 30—Mineral Resources
I Mine Safety and Health Administration, Department of Labor

(Parts 1—199)
II Bureau of Safety and Environmental Enforcement, Department
of the Interior (Parts 200—299)
IV Geological Survey, Department of the Interior (Parts 400—499)
V Bureau of Ocean Energy Management, Department of the Inte-
rior (Parts 500—599)
VII Office of Surface Mining Reclamation and Enforcement, Depart-
ment of the Interior (Parts 700—999)
XII Office of Natural Resources Revenue, Department of the Interior
(Parts 1200—1299)
Title 31—Money and Finance: Treasury
SUBTITLE A—OFFICE OF THE SECRETARY OF THE TREASURY (PARTS

0—50)
SUBTITLE B—REGULATIONS RELATING TO MONEY AND FINANCE
696
Title 31—Money and Finance: Treasury—Continued
Chap.
I Monetary Offices, Department of the Treasury (Parts 51—199)

II Fiscal Service, Department of the Treasury (Parts 200—399)
IV Secret Service, Department of the Treasury (Parts 400—499)
V Office of Foreign Assets Control, Department of the Treasury
(Parts 500—599)
VI Bureau of Engraving and Printing, Department of the Treasury
(Parts 600—699)
VII Federal Law Enforcement Training Center, Department of the
VIII Office of Investment Security, Department of the Treasury
(Parts 800—899)
IX Federal Claims Collection Standards (Department of the Treas-
ury—Department of Justice) (Parts 900—999)
X Financial Crimes Enforcement Network, Department of the
Title 32—National Defense
SUBTITLE A—DEPARTMENT OF DEFENSE

I Office of the Secretary of Defense (Parts 1—399)
V Department of the Army (Parts 400—699)
VI Department of the Navy (Parts 700—799)
VII Department of the Air Force (Parts 800—1099)
SUBTITLE B—OTHER REGULATIONS RELATING TO NATIONAL DE-
FENSE
XII Department of Defense, Defense Logistics Agency (Parts 1200—
1299)
XVI Selective Service System (Parts 1600—1699)
XVII Office of the Director of National Intelligence (Parts 1700—1799)
XVIII National Counterintelligence Center (Parts 1800—1899)
XIX Central Intelligence Agency (Parts 1900—1999)
XX Information Security Oversight Office, National Archives and
Records Administration (Parts 2000—2099)
XXI National Security Council (Parts 2100—2199)
XXIV Office of Science and Technology Policy (Parts 2400—2499)
XXVII Office for Micronesian Status Negotiations (Parts 2700—2799)
XXVIII Office of the Vice President of the United States (Parts 2800—
2899)
Title 33—Navigation and Navigable Waters
I Coast Guard, Department of Homeland Security (Parts 1—199)

II Corps of Engineers, Department of the Army, Department of De-
fense (Parts 200—399)
IV Great Lakes St. Lawrence Seaway Development Corporation,
Department of Transportation (Parts 400—499)
697
Title 34—Education
Chap.
SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF EDU-

CATION (PARTS 1—99)
SUBTITLE B—REGULATIONS OF THE OFFICES OF THE DEPARTMENT
OF EDUCATION
I Office for Civil Rights, Department of Education (Parts 100—199)
II Office of Elementary and Secondary Education, Department of
Education (Parts 200—299)
III Office of Special Education and Rehabilitative Services, Depart-

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Title 40

Revised as of July 1, 2021

Containing a codification of documents

Published by the Office of the Federal Register

Legal Status and Use of Seals and Logos

Use of ISBN Prefix

U.S. GOVERNMENT PUBLISHING OFFICE

U.S. Superintendent of Documents • Washington, DC 20402–0001

Chapter I—Environmental Protection Agency (Continued) ............ 3

Table of CFR Titles and Chapters ....................................................... 685

Alphabetical List of Agencies Appearing in the CFR ......................... 705

List of CFR Sections Affected ............................................................. 715

To cite the regulations in

Title 40—PROTECTION OF ENVIRONMENT is composed of thirty-seven volumes.

Chapter I—Environmental Protection Agency appears in all thirty-seven vol-

Chapters IV–IX—Regulations issued by the Environmental Protection Agency

CHAPTER I—Environmental Protection Agency (Continued) 50

SUBCHAPTER C—AIR PROGRAMS

IN THE ATMOSPHERE (NON-DISPERSIVE IN-

by a reference method based on appen- meter), annual arithmetic mean con-

and use an Administrator-approved al- (7) Determinations with respect to event

(A) Identification of the natural and an event occurs or is reasonably antici-

(v) [Reserved] may influence the initial designation

(3) Submission of demonstrations. (i) led to the exceedance or violation at

Where: sponse is obtained, then make the proper

Where: or X-axis). Compute the linear regression

[75 FR 35593, June 22, 2010] TCM solution to form a stable

where: percent potassium iodide (KI) solution in a

where: wet volume standards only, i.e., bubble

Pb = 760 −.076(H) mm Hg, or Pb = 101−.01(H)kPa (7)

where: ture is above 10 °C. Store the sample at 5° ±5

Volume timer that has been set for 30 minutes. Bring

μg SO 2 = VTCM / SO 2 × C TCM / SO 2 × D (11)

where: a low flow of dry carrier gas to a mixing

(±0.1 °C) and the device has been accurately Qd + Qp

of the standard exceeds the flow demand at

final volume is greater than the original vol-

taining mercury compounds must be stored depending on the calibration procedure

DATA FORM 5. After 24 hours, allow the solution to

[47 FR 54912, Dec. 6, 1982; 48 FR 17355, Apr. 22, 1983]

Where: 4.4.4 Connect the inlet of the CO analyzer

Where: [CO]STD = concentration of the undiluted CO

[CO]OUT = diluted CO concentration at the standard (ppm),

[76 FR 54323, Aug. 31, 2011]

APPENDIX D TO PART 50—REFERENCE 2.2 The measurement system is calibrated

Where: A stable O3 generator is used to produce O3

The calculated O3 concentrations must be lyzers, either directly or by means of a

pressure of the sample. ments and specifications set forth in Ref-

Where: versely related to the time required for

Where: T = sample temperature, K

308 atm¥1 cm¥1 at 0 °C and 760 torr 4.5.2.5 = (1¥fraction of O3 lost).

Where: Measurement Quality Objectives and Valida-

[80 FR 65453, Oct. 26, 2015] converted. This latter NO measurement is

[ NO]OUT × FT brations unless absolutely necessary. Fur-

⎟ calculated NO and NOX concentrations and

FNO × [NO 2 ]IMP

where: recheck the zero and span adjustments by re-

[ NO 2 ]CONV = [ NO 2 ]OUT ' ([ NO X ]orig ' [ NO X ]rem ) (15)

where: ficiency curve. The slope of the curve times