[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 1996 Edition]
[From the U.S. Government Printing Office]


F8091

I95 

I0140 

I02Protection of Environment 

ï¿½iï¿½I03PARTS 53 TO 59

I04Revised as of July 1, 199ï¿½MDBOï¿½6ï¿½MDNMï¿½

I10CONTAINING 

I10A CODIFICATION OF DOCUMENTS 

I10OF GENERAL APPLICABILITY 

I10AND FUTURE EFFECT

I11AS OF JULY 1, 199ï¿½MDBOï¿½6ï¿½MDNMï¿½

I11T3With Ancillaries 

I20Published by 

I20the Office of the Federal Register 

I20National Archives and Records 

I20Administration

I20as a Special Edition of 

I20the Federal Register 

F80927
I97?
ï¿½?iiï¿½I25Q99Q99Q99Q30I25U.S. GOVERNMENT PRINTING OFFICE I25WASHINGTON : 199ï¿½MDBOï¿½6ï¿½MDNMï¿½ I96 I26For sale by U.S. Government Printing OfficeI26Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402ï¿½099328

F80928ï¿½iiiï¿½I01Table of Contents I05T3Page I40Explanation I41v I42Title 40: I43Chapter I_Environmental Protection AgencyI41ï¿½MDRVï¿½3ï¿½MDNMï¿½ I42Finding Aids: I43Material Approved for Incorporation by ReferenceI41ï¿½MDRVï¿½235ï¿½MDNMï¿½ I43Table of CFR Titles and ChaptersI41ï¿½MDRVï¿½237ï¿½MDNMï¿½ I43Alphabetical List of Agencies Appearing in the CFRI41ï¿½MDRVï¿½253ï¿½MDNMï¿½ I43Table of OMB Control NumbersI41ï¿½MDRVï¿½263ï¿½MDNMï¿½ I43List of CFR Sections AffectedI41ï¿½MDRVï¿½283ï¿½MDNMï¿½

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I22rn,s,n
I22DT3Cite this Code:T1CFR
I11
I22DT3To cite the regulations in this volume use title, part and section number. Thus, T140 CFR 53.1 T3refers to title 40, part 53, section 1.
Q04rn,s,n
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F80088
ï¿½vï¿½I06G4T1Explanation

S8092

I11The Code of Federal Regulations is a codification of the general and permanent rules published in the Federal Register by the Executive departments and agencies 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 subdivided into parts covering specific regulatory areas. 
I11Each volume of the Code is revised at least once each calendar year and issued on a quarterly basis approximately as follows: 
Q02
I37Title 1 through Title 16 Las of January 1 

I37Title 17 through Title 27 Las of April 1 

I37Title 28 through Title 41 Las of July 1 

I37Title 42 through Title 50 Las of October 1 

I11The appropriate revision date is printed on the cover of each volume. 
Q02

I10LEGAL STATUS 
Q02

I11The contents of the Federal Register are required to be judicially noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie evidence of the text of the original documents (44 U.S.C. 1510). 

Q02

S8092


I10HOW TO USE THE CODE OF FEDERAL REGULATIONS 
Q02

I11The Code of Federal Regulations is kept up to date by the individual issues of the Federal Register. These two publications must be used together to determine the latest version of any given rule. 

I11To determine whether a Code volume has been amended since its revision date (in this case, July 1, 1996), consult the ``List of CFR Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative List of Parts Affected,'' which appears in the Reader Aids section of the daily Federal Register. These two lists will identify the Federal Register page number of the latest amendment of any given rule. 
Q02

I10EFFECTIVE AND EXPIRATION DATES 
Q02

I11Each volume of the Code contains amendments published in the Federal Register since the last revision of that volume of the Code. Source citations for the regulations are referred to by volume number and page number of the Federal Register and date of publication. Publication dates and effective dates are usually not the same and care must be exercised by the user in determining the actual effective date. In instances where the effective date is beyond the cut-off date for the Code a note has been inserted to reflect the future effective date. In those instances where a regulation published in the Federal Register states a date certain for expiration, an appropriate note will be inserted following the text.
Q02

I10OMB CONTROL NUMBERS
Q02

I11The Paperwork Reduction Act of 1980 (Pub. L. 96ï¿½09511) requires Federal agencies to display an OMB control number with their information collection request. ï¿½viï¿½Many agencies have begun publishing numerous OMB control numbers as amendments to existing regulations in the CFR. These OMB numbers are placed as close as possible to the applicable recordkeeping or reporting requirements. 
Q02

I10OBSOLETE PROVISIONS 
Q02

I11Provisions that become obsolete before the revision date stated on the cover of each volume are not carried. Code users may find the text of provisions in effect on a given date in the past by using the appropriate numerical list of sections affected. For the period before January 1, 1986, consult either the List of CFR Sections Affected, 1949ï¿½091963, 1964ï¿½091972, or 1973ï¿½091985, published in seven separate volumes. For the period beginning January 1, 1986, a ``List of CFR Sections Affected'' is published at the end of each CFR volume. 
Q02

I10INCORPORATION BY REFERENCE 
Q02

I11T3What is incorporation by reference? T1Incorporation by reference was established by statute and allows Federal agencies to meet the requirement to publish regulations in the Federal Register by referring to materials already published elsewhere. For an incorporation to be valid, the Director of the Federal Register must approve it. The legal effect of incorporation by reference is that the material is treated as if it were published in full in the Federal Register (5 U.S.C. 552(a)). This material, like any other properly issued regulation, has the force of law. 

I11T3What is a proper incorporation by reference? T1The Director of the Federal Register will approve an incorporation by reference only when the requirements of 1 CFR part 51 are met. Some of the elements on which approval is based are: 

I11(a) The incorporation will substantially reduce the volume of material published in the Federal Register. 

I11(b) The matter incorporated is in fact available to the extent necessary to afford fairness and uniformity in the administrative process. 

I11(c) The incorporating document is drafted and submitted for publication in accordance with 1 CFR part 51. 

I11Properly approved incorporations by reference in this volume are listed in the Finding Aids at the end of this volume. 

I11T3What if the material incorporated by reference cannot be found? T1If you have any problem locating or obtaining a copy of material listed in the Finding Aids of this volume as an approved incorporation by reference, please contact the agency that issued the regulation containing that incorporation. If, after contacting the agency, you find the material is not available, please notify the Director of the Federal Register, National Archives and Records Administration, Washington DC 20408, or call (202) 523ï¿½094534. 
Q02

I10CFR INDEXES AND TABULAR GUIDES 
Q02

I11A subject index to the Code of Federal Regulations is contained in a separate volume, revised annually as of January 1, entitled CFR T4Index and Finding Aids. T1This volume contains the Parallel Table of Statutory Authorities and Agency Rules (Table I), and Acts Requiring Publication in the Federal Register (Table II). A list of CFR titles, chapters, and parts and an alphabetical list of agencies publishing in the CFR are also included in this volume. 

I11An index to the text of ``Title 3_The President'' is carried within that volume.

I11The Federal Register Index is issued monthly in cumulative form. This index is based on a consolidation of the ``Contents'' entries in the daily Federal Register. 

ï¿½viiï¿½I11A List of CFR Sections Affected (LSA) is published monthly, keyed to the revision dates of the 50 CFR titles. 
Q02

I10REPUBLICATION OF MATERIAL
Q02

I11There are no restrictions on the republication of material appearing in the Code of Federal Regulations.
Q02

I10INQUIRIES  
Q02

I11For a legal interpretation or explanation of any regulation in this volume, contact the issuing agency. The issuing agency's name appears at the top of oddï¿½09numbered pages.

I11For inquiries concerning CFR reference assistance, call 202ï¿½09523ï¿½095227 or write to the Director, Office of the Federal Register, National Archives and Records Administration, Washington, DC 20408.

I10SALES
Q02

I11The Government Printing Office (GPO) processes all sales and distribution of the CFR. For payment by credit card, call 202ï¿½09512ï¿½091800, Mï¿½09F, 8 a.m. to 4 p.m. e.s.t. or fax your order to 202ï¿½09512ï¿½092233, 24 hours a day. For payment by check, write to the Superintendent of Documents, Attn: New Orders, P.O. Box 371954, Pittsburgh, PA 15250ï¿½097954. For GPO Customer Service call 202ï¿½09512ï¿½091803. 


I16T4Richard L. Claypoole, 

I17T3Director, 

I18Office of the Federal Register. 

I19July 1, 1996.

F80928ï¿½ixï¿½I02THIS TITLEI11Title 40_T4Protection of EnvironmentT1 is composed of eighteen volumes. The parts in these volumes are arranged in the following order: parts 1ï¿½0951, part 52, parts 53ï¿½0959, part 60, parts 61ï¿½0971, parts 72ï¿½0980, parts 81ï¿½0985, part 86, parts 87ï¿½09135, parts 136ï¿½09149, parts 150ï¿½09189, parts 190ï¿½09259, parts 260ï¿½09299, parts 300ï¿½09399, parts 400ï¿½09424, parts 425ï¿½09699, parts 700ï¿½09789 and part 790 to end. The contents of these volumes represent all current regulations codified under this title of the CFR as of July 1, 1996.Q06I11Chapter I_Environmental Protection Agency appears in all ï¿½MDRVï¿½eighteenï¿½MDNMï¿½ volumes. A Pesticide Tolerance Commodity/Chemical Index appears in parts 150ï¿½09189. A Toxic Substances Chemical_CAS Number Index appears in parts 700ï¿½09789 and part 790 to end. Redesignation Tables appear in the volumes containing parts 1ï¿½0951, parts 150ï¿½09189, and parts 700ï¿½09789. Regulations issued by the Council on Environmental Quality appear in the volume containing part 790 to end. Q06I11The OMB control numbers for title 40 appear in ï¿½1A9.1 of this chapter. For the convenience of the user, ï¿½1A9.1 appears in the Finding Aids section of the volumes containing parts 52 to the end. Q06I11For this volume, Christopher R. Choate was Chief Editor. The Code of Federal Regulations publication program is under the direction of Frances D. McDonald, assisted by Alomha S. Morris. 




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[[Page 1]]

                                                                     HN




                   TITLE 40--PROTECTION OF ENVIRONMENT




                    (This book contains parts 53-59)

  --------------------------------------------------------------------
                                                                    Part
chapter i--Environmental Protection Agency (Continued)......          53

[[Page 3]]





               CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY




  --------------------------------------------------------------------

                 SUBCHAPTER C--AIR PROGRAMS (CONTINUED)
Part                                                                Page
53              Ambient air monitoring reference and 
                    equivalent methods......................           5
54              Prior notice of citizen suits...............          49
55              Outer continental shelf air regulations.....          50
56              Regional consistency........................          76
57              Primary nonferrous smelter orders...........          78
58              Ambient air quality surveillance............         154
59        [Reserved]
    Editorial Note: Subchapter C--Air Programs is continued in the 
  volumes containing 40 CFR parts 61-80, parts 81-85, and parts 86-99.

[[Page 5]]





                 SUBCHAPTER C--AIR PROGRAMS (CONTINUED)





PART 53--AMBIENT AIR MONITORING REFERENCE AND EQUIVALENT METHODS--Table of Contents




                      Subpart A--General Provisions

Sec.
53.1  Definitions.
53.2  General requirements for a reference method determination.
53.3  General requirements for an equivalent method determination.
53.4  Applications for reference or equivalent method determinations.
53.5  Processing of applications.
53.6  Right to witness conduct of tests.
53.7  Testing of methods at the initiative of the Administrator.
53.8  Designation of reference and equivalent methods.
53.9  Conditions of designation.
53.10  Appeal from rejection of application.
53.11  Cancellation of reference or equivalent method designation.
53.12  Request for hearing on cancellation.
53.13  Hearings.
53.14  Modification of a reference or equivalent method.
53.15  Trade secrets and confidential or privileged information.
53.16  Supersession of reference methods.

    Subpart B--Procedures for Testing Performance Characteristics of 
        Automated Methods for SO2, CO, O3, and NO2

53.20  General provisions.
53.21  Test conditions.
53.22  Generation of test atmospheres.
53.23  Test procedures.

Appendix A to Subpart B--Optional Forms for Reporting Test Results

 Subpart C--Procedures for Determining Comparability Between Candidate 
                      Methods and Reference Methods

53.30  General provisions.
53.31  Test conditions.
53.32  Test procedures for methods for SO2, CO, O3, and 
          NO2.
53.33  Test procedures for methods for lead.
53.34  Test procedure for methods for PM10.

Appendix A to Subpart C--Optional Form for Reporting Test Results

Subpart D--Procedures for Testing Performance Characteristics of Methods 
                              for PM10

53.40  General provisions.
53.41  Test conditions.
53.42  Generation of test atmospheres for wind tunnel tests.
53.43  Test procedures.

    Authority: Sec. 301(a) of the Clean Air Act (42 U.S.C. sec. 
1857g(a)), as amended by sec. 15(c)(2) of Pub. L. 91-604, 84 Stat. 1713, 
unless otherwise noted.

    Source: 40 FR 7049, Feb. 18, 1975, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 53.1   Definitions.

    (a) Terms used but not defined in this part shall have the meaning 
given them by the Act.
    (b) Act means the Clean Air Act (42 U.S.C. 1857-1857l), as amended.
    (c) Agency means the Environmental Protection Agency.
    (d) Administrator means the Administrator of the Environmental 
Protection Agency or his authorized representative.
    (e) Reference method means a method of sampling and analyzing the 
ambient air for an air pollutant that is specified as a reference method 
in an appendix to part 50 of this chapter, or a method that has been 
designated as a reference method in accordance with this part; it does 
not include a method for which a reference method designation has been 
cancelled in accordance with Sec. 53.11 or Sec. 53.16.
    (f) Equivalent method means a method of sampling and analyzing the 
ambient air for an air pollutant that has been designated as an 
equivalent method in accordance with this part; it does not include a 
method for which an equivalent method designation has been cancelled in 
accordance with Sec. 53.11 or Sec. 53.16.
    (g) Candidate method means a method of sampling and analyzing the 
ambient air for an air pollutant for which an application for a 
reference method determination or an equivalent method determination is 
submitted in accordance with Sec. 53.4, or a method tested at the 
initiative of the Administrator in accordance with Sec. 53.7.

[[Page 6]]

    (h) Manual method means a method for measuring concentrations of an 
ambient air pollutant in which sample collection, analysis, or 
measurement, or some combination thereof, is performed manually.
    (i) Automated method or analyzer means a method for measuring 
concentrations of an ambient air pollutant in which sample collection, 
analysis, and measurement are performed automatically.
    (j) Test analyzer means an analyzer subjected to testing as a 
candidate method in accordance with subparts B, C, and/or D of this 
part, as applicable.
    (k) Applicant means a person who submits an application for a 
reference or equivalent method determination under Sec. 53.4, or a 
person who assumes the rights and obligations of an applicant under 
Sec. 53.7.
    (l) Ultimate purchaser means the first person who purchases a 
reference method or an equivalent method for purposes other than resale.
    (m) PM10 sampler means a device, associated with a manual 
method for measuring PM10, designed to collect PM10 from an 
ambient air sample, but lacking the ability to automatically analyze or 
measure the collected sample to determine the mass concentration of 
PM10 in the sampled air.
    (n) Test sampler means a sampler subjected to testing as part of a 
candidate method in accordance with subpart C or D of this part.

[40 FR 7049, Feb. 18, 1975, as amended at 41 FR 11255, Mar. 17, 1976; 52 
FR 24727, July 1, 1987]



Sec. 53.2  General requirements for a reference method determination.

    (a) Manual methods. (1) For measuring SO2 and lead, appendices 
A and G, respectively, of part 50 of this chapter specify unique manual 
reference methods for those pollutants. Except as provided in 
Sec. 53.16, other manual methods for SO2 and lead will not be 
considered for reference method determinations under this part.
    (2) For measuring PM10, a candidate method must be a manual 
method that meets the requirements specified in appendix J of part 50 of 
this chapter and must include a PM10 sampler that meets the 
requirements specified in subpart D of this part.
    (b) Automated methods. For measuring CO, O3, and NO2, a 
candidate automated method must utilize the measurement principle and 
calibration procedure specified in the appropriate appendix to part 50 
of this chapter and must meet the requirements specified in subpart B of 
this part.

[52 FR 24727, July 1, 1987]



Sec. 53.3  General requirements for an equivalent method determination.

    (a) Manual methods. Candidate manual methods must satisfy the 
requirements specified in subpart C of this part. In addition, samplers 
associated with manual methods for PM10 must satisfy the 
requirements of subpart D of this part.
    (b) Automated methods. Candidate automated methods for pollutants 
other than PM10 must satisfy the requirements specified in subparts 
B and C of this part. Candidate automated methods for PM10 must 
satisfy the requirements of subparts C and D of this part.

[52 FR 24727, July 1, 1987]



Sec. 53.4   Applications for reference or equivalent method determinations.

    (a) Applications for reference or equivalent method determinations 
shall be submitted in triplicate to:

Director, Environmental Monitoring Systems Laboratory, Department E, 
U.S. Environmental Protection Agency, Research Triangle Park, North 
Carolina 27711.

    (b) Each application shall be signed by an authorized representative 
of the applicant, shall be marked in accordance with Sec. 53.15 (if 
applicable), and shall contain the following:
    (1) A clear identification of the candidate method which will 
distinguish it from all other methods and by which it may be referred to 
unambiguously.
    (2) A detailed description of the candidate method including but not 
limited to the following: The measurement principle, manufacturer, name, 
model number, and other forms of identification; a listing of the 
significant components; schematic diagrams; and a detailed description 
of the apparatus and measurement procedures.

[[Page 7]]

    (3) A copy of a comprehensive operation or instruction manual 
providing a complete and detailed description of the operational and 
calibration procedures prescribed for field use of the candidate method 
and all instruments utilized as part of that method. The manual shall 
include adequate warning of potential safety hazards that may result 
from normal use, or (if the method is automated) from normal use or 
malfunction, of the method and a description of necessary safety 
precautions (see Sec. 53.9(b)). For samplers and automated methods, the 
manual shall include a clear description of installation and operation 
procedures and of necessary periodic maintenance, as well as 
comprehensive trouble-shooting and corrective maintenance procedures and 
parts identification diagrams. The manual may be used to satisfy the 
requirements of paragraphs (b) (1) and (2) of this section to the extent 
that it includes information necessary to meet those requirements.
    (4) A statement that the candidate method has been tested in 
accordance with the procedures described in subparts B, C, and/or D of 
this part, as applicable.
    (5) Test data, records, calculations, and test results as specified 
in subparts B, C, and/or D of this part, as applicable.
    (6) A statement that the method, analyzer, or sampler tested in 
accordance with this part is representative of the candidate method 
described in the application.
    (c) For candidate automated methods and candidate manual methods for 
PM10, the application shall also contain the following:
    (1) A detailed description of the quality control program that will 
be utilized, if the candidate method is designated as a reference or 
equivalent method, to ensure that all analyzers or samplers offered for 
sale under that designation will have essentially the same performance 
characteristics as the analyzer or sampler tested in accordance with 
this part.
    (2) A description of the durability characteristics of such 
analyzers or samplers (see Sec. 53.9(c)).

[40 FR 7049, Feb. 18, 1975, as amended at 52 FR 24727, July 1, 1987]



Sec. 53.5   Processing of applications.

    After receiving an application for a reference or equivalent method 
determination, the Administrator will publish notice of the application 
in the Federal Register and, within 75 calendar days after receipt of 
the application, take one or more of the following actions:
    (a) Send notice to the applicant, in accordance with Sec. 53.8, that 
the candidate method has been determined to be a reference or equivalent 
method;
    (b) Send notice to the applicant that his application has been 
rejected, including a statement of reasons for rejection;
    (c) Send notice to the applicant that additional information must be 
submitted before a determination can be made and specify the additional 
information that is needed (in such cases, the 75-day period shall 
commence upon receipt of the additional information);
    (d) Send notice to the applicant that additional tests are necessary 
and specify what tests are necessary and how they shall be interpreted 
(in such cases, the 75-day period shall commence upon receipt of the 
additional test data); or
    (e) Send notice to the applicant that additional tests will be 
conducted by the Administrator, specifying the nature of and reasons for 
the additional tests and the estimated time required (in such cases, the 
75-day period shall commence 1 calendar day after the additional tests 
have been completed).



Sec. 53.6   Right to witness conduct of tests.

    (a) Submission of an application for a reference or equivalent 
method determination shall constitute consent for the Administrator or 
his authorized representative, upon presentation of appropriate 
credentials, to witness or observe any tests required by this part in 
connection with the application or in connection with any modification 
or intended modification of the method by the applicant.
    (b) The applicant shall have the right to witness or observe any 
test conducted by the Administrator in connection with the application 
or in connection with any modification or intended

[[Page 8]]

modification of the method by the applicant.
    (c) Any tests by either party that are to be witnessed or observed 
by the other party shall be conducted at a time and place mutually 
agreeable to both parties.



Sec. 53.7   Testing of methods at the initiative of the Administrator.

    (a) In the absence of an application for a reference or equivalent 
method determination, the Administrator may conduct the tests required 
by this part for such a determination, may compile such other 
information as may be necessary in his judgment to make such a 
determination, and on the basis of the tests and information may 
determine that a method satisfies applicable requirements of this part.
    (b) In the absence of an application requesting the Administrator to 
consider revising an appendix to part 50 of this chapter in accordance 
with Sec. 53.16, the Administrator may conduct such tests and compile 
such information as may be necessary in his judgment to make a 
determination under Sec. 53.16(d) and on the basis of the tests and 
information make such a determination.
    (c) If a method tested in accordance with this section is designated 
as a reference or equivalent method in accordance with Sec. 53.8 or is 
specified or designated as a reference method in accordance with 
Sec. 53.16, any person who offers the method for sale as a reference or 
equivalent method thereafter shall assume the rights and obligations of 
an applicant for purposes of this part with the exception of those 
pertaining to submission and processing of applications.

[40 FR 7049, Feb. 18, 1975, as amended at 41 FR 11256, Mar. 17, 1976]



Sec. 53.8   Designation of reference and equivalent methods.

    (a) A candidate method determined by the Administrator to satisfy 
the applicable requirements of this part shall be designated as a 
reference method or equivalent method (as applicable), and a notice of 
the designation shall be submitted for publication in the Federal 
Register not later than 15 days after the determination is made.
    (b) A notice indicating that the method has been determined to be a 
reference method or an equivalent method shall be sent to the applicant. 
This notice shall constitute proof of the determination until a notice 
of designation is published in accordance with paragraph (a) of this 
section.
    (c) The Administrator will maintain a current list of methods 
designated as reference or equivalent methods in accordance with this 
part and will send a copy of the list to any person or group upon 
request. A copy of the list will be available for inspection or copying 
at EPA Regional Offices.



Sec. 53.9   Conditions of designation.

    Designation of a candidate method as a reference method or 
equivalent method shall be conditioned on the applicant's compliance 
with the following requirements. Failure to comply with any of the 
requirements shall constitute a ground for cancellation of the 
designation in accordance with Sec. 53.11.
    (a) Any method offered for sale as a reference or equivalent method 
shall be accompanied by a copy of the manual referred to in 
Sec. 53.4(b)(3) when delivered to any ultimate purchaser.
    (b) Any method offered for sale as a reference or equivalent method 
shall generate no unreasonable hazard to operators or to the environment 
during normal use or (if the method is automated) during normal use or 
when malfunctioning.
    (c) Any analyzer or PM10 sampler offered for sale as a 
reference or equivalent method shall function within the limits of the 
performance specifications referred to in Sec. 53.20(a) or 
Sec. 53.40(a), as applicable, for at least one year after delivery and 
acceptance when maintained and operated in accordance with the manual 
referred to in Sec. 53.4(b)(3).
    (d) Any analyzer or PM10 sampler offered for sale as a 
reference or equivalent method shall bear a prominent, permanently 
affixed label or sticker indicating that the analyzer or PM10 
sampler has been designated by EPA as a reference method or as an 
equivalent method (as applicable) in accordance with this part.
    (e) If an analyzer is offered for sale as a reference or equivalent 
method but

[[Page 9]]

has one or more selectable ranges, the label or sticker required by 
paragraph (d) of this section shall be placed in close proximity to the 
range selector and shall indicate clearly which range or ranges have 
been designated as parts of the reference or equivalent method.
    (f) An applicant who offers analyzers or PM10 samplers for sale 
as reference or equivalent methods shall maintain an accurate and 
current list of the names and mailing addresses of all ultimate 
purchasers of such analyzers or PM10 samplers. For a period of 
seven years after publication of the reference or equivalent method 
designation applicable to such an analyzer or PM10 sampler, the 
applicant shall notify all ultimate purchasers of the analyzer or 
PM10 sampler within 30 days if the designation has been cancelled 
in accordance with Sec. 53.11 or Sec. 53.16 or if adjustment of the 
analyzer or PM10 sampler is necessary under Sec. 53.11(b).
    (g) If an applicant modifies an analyzer or PM10 sampler that 
has been designated as a reference or equivalent method, the applicant 
shall not sell the analyzer or PM10 sampler as modified as a 
reference or equivalent method nor attach a label or sticker to the 
analyzer or PM10 sampler as modified under paragraph (d) or (e) of 
this section until he has received notice under Sec. 53.14(c) that the 
existing designation or a new designation will apply to the analyzer or 
PM10 sampler as modified or has applied for and received notice 
under Sec. 53.8(b) of a new reference or equivalent method determination 
for the analyzer or PM10 sampler as modified.

[40 FR 7049, Feb. 18, 1975, as amended at 41 FR 11256, Mar. 17, 1976; 52 
FR 24728, July 1, 1987]



Sec. 53.10   Appeal from rejection of application.

    Any applicant whose application for a reference or equivalent method 
determination has been rejected may appeal the Administrator's decision 
by taking one or more of the following actions:
    (a) The applicant may submit new or additional information in 
support of the application.
    (b) The applicant may request that the Administrator reconsider the 
data and information already submitted.
    (c) The applicant may request that any test conducted by the 
Administrator that was a material factor in his decision to reject the 
application be repeated.



Sec. 53.11   Cancellation of reference or equivalent method designation.

    (a) Preliminary finding. If the Administrator makes a preliminary 
finding on the basis of any information available to him that a 
representative sample of a method designated as a reference or 
equivalent method and offered for sale as such does not fully satisfy 
the requirements of this part or that there is any violation of the 
requirements set forth in Sec. 53.9, he may initiate proceedings to 
cancel the designation in accordance with the following procedures.
    (b) Notification and opportunity to demonstrate or achieve 
compliance. (1) After making a preliminary finding in accordance with 
paragraph (a) of this section, the Administrator will send notice of the 
preliminary finding to the applicant, together with a statement of the 
facts and reasons on which the preliminary finding is based, and will 
publish notice of the preliminary finding in the Federal Register.
    (2) The applicant will be afforded an opportunity to demonstrate or 
to achieve compliance with the requirements of this part within 60 days 
after publication of notice in accordance with paragraph (b)(1) of this 
section or within such further period as the Administrator may allow, by 
demonstrating to the satisfaction of the Administrator that the method 
in question satisfies the requirements of this part, by commencing a 
program to make any adjustments that are necessary to bring the method 
into compliance, or by taking such action as may be necessary to cure 
any violation of the requirements of Sec. 53.9. If adjustments are 
necessary to bring the method into compliance, all such adjustments 
shall be made within a reasonable time as determined by the 
Administrator. If the applicant demonstrates or achieves compliance in 
accordance with this paragraph (b)(2), the Administrator will publish 
notice of such demonstration or achievement in the Federal Register.

[[Page 10]]

    (c) Request for hearing. Within 60 days after publication of notice 
in accordance with paragraph (b)(1) of this section, the applicant or 
any interested person may request a hearing as provided in Sec. 53.12.
    (d) Notice of cancellation. If, at the end of the period referred to 
in paragraph (b)(2) of this section, the Administrator determines that 
the reference or equivalent method designation should be cancelled, he 
will publish a notice of cancellation in the Federal Register and delete 
the designation from the list maintained under Sec. 53.8(c). If a 
hearing has been requested and granted in accordance with Sec. 53.12, 
action under this paragraph (d) will be taken only after completion of 
proceedings (including any administrative review) conducted in 
accordance with Sec. 53.13 and only if the decision of the Administrator 
reached in such proceedings is that the designation in question should 
be cancelled.



Sec. 53.12   Request for hearing on cancellation.

    Within 60 days after publication of notice in accordance with 
Sec. 53.11(b)(1), the applicant or any interested person may request a 
hearing on the Administrator's action. The request shall be in writing, 
signed by an authorized representative of the applicant or interested 
person, and shall include a statement specifying (a) any objections to 
the Administrator's action and (b) data or other information in support 
of such objections. If, after reviewing the request and supporting data, 
the Administrator finds that the request raises a substantial issue of 
fact, he will grant a hearing in accordance with Sec. 53.13 with respect 
to such issue.



Sec. 53.13   Hearings.

    (a)(1) After granting a request for a hearing under Sec. 53.12, the 
Administrator will designate a presiding officer for the hearing.
    (2) If a time and place for the hearing have not been fixed by the 
Administrator, the hearing will be held as soon as practicable at a time 
and place fixed by the presiding officer, except that the hearing shall 
in no case be held sooner than 30 days after publication of a notice of 
hearing in the Federal Register.
    (3) For purposes of the hearing, the parties shall include the 
Environmental Protection Agency, the applicant or interested person(s) 
who requested the hearing, and any person permitted to intervene in 
accordance with paragraph (c) of this section.
    (4) The Deputy General Counsel or his representative will represent 
the Environmental Protection Agency in any hearing under this section.
    (5) Each party other than the Environmental Protection Agency may be 
represented by counsel or by any other duly authorized representative.
    (b)(1) Upon his appointment, the presiding officer will establish a 
hearing file. The file shall contain copies of the notices issued by the 
Administrator pursuant to Sec. 53.11(b)(1), together with any 
accompanying material, the request for a hearing and supporting data 
submitted therewith, the notice of hearing published in accordance with 
paragraph (a)(2) of this section, and correspondence and other material 
data relevant to the hearing.
    (2) The hearing file shall be available for inspection by the 
parties or their representatives at the office of the presiding officer, 
except to the extent that it contains information identified in 
accordance with Sec. 53.15.
    (c) At his discretion, the presiding officer may permit any 
interested person to intervene in the hearing upon such a showing of 
interest as the presiding officer may require; provided that leave to 
intervene may be denied in the interest of expediting the hearing where 
it appears that the interests of the person seeking to intervene will be 
adequately represented by another party (or by other parties), including 
the Environmental Protection Agency.
    (d)(1) The presiding officer, upon the request of any party or at 
his discretion, may arrange for a prehearing conference at a time and 
place specified by him to consider the following:
    (i) Simplification of the issues.
    (ii) Stipulations, admissions of fact, and the introduction of 
documents.
    (iii) Limitation of the number of expert witnesses.

[[Page 11]]

    (iv) Possibility of agreement disposing of all or any of the issues 
in dispute.
    (v) Such other matters as may aid in the disposition of the hearing, 
including such additional tests as may be agreed upon by the parties.
    (2) The results of the conference shall be reduced to writing by the 
presiding officer and made part of the record.
    (e)(1) Hearings shall be conducted by the presiding officer in an 
informal but orderly and expeditious manner. The parties may offer oral 
or written evidence, subject to exclusion by the presiding officer of 
irrelevant, immaterial, or repetitious evidence.
    (2) Witnesses shall be placed under oath.
    (3) Any witness may be examined or cross-examined by the presiding 
officer, the parties, or their representatives. The presiding officer 
may, at his discretion, limit cross-examination to relevant and material 
issues.
    (4) Hearings shall be reported verbatim. Copies of transcripts of 
proceedings may be purchased from the reporter.
    (5) All written statements, charts, tabulations, and data offered in 
evidence at the hearing shall, upon a showing satisfactory to the 
presiding officer of their authenticity, relevancy, and materiality, be 
received in evidence and shall constitute part of the record.
    (6) Oral argument shall be permitted. The presiding officer may 
limit oral presentations to relevant and material issues and designate 
the amount of time allowed for oral argument.
    (f)(1) The presiding officer shall make an initial decision which 
shall include written findings and conclusions and the reasons therefor 
on all the material issues of fact, law, or discretion presented on the 
record. The findings, conclusions, and written decision shall be 
provided to the parties and made part of the record. The initial 
decision shall become the decision of the Administrator without further 
proceedings unless there is an appeal to, or review on motion of, the 
Administrator within 30 calendar days after the initial decision is 
filed.
    (2) On appeal from or review of the initial decision, the 
Administrator will have all the powers which he would have in making the 
initial decision, including the discretion to require or allow briefs, 
oral argument, the taking of additional evidence or the remanding to the 
presiding officer for additional proceedings. The decision by the 
Administrator will include written findings and conclusions and the 
reasons or basis therefor on all the material issues of fact, law, or 
discretion presented on the appeal or considered in the review.



Sec. 53.14   Modification of a reference or equivalent method.

    (a) An applicant who offers a method for sale as a reference or 
equivalent method shall report any intended modification of the method, 
including but not limited to modifications of design or construction or 
of operational and maintenance procedures specified in the operation 
manual, to the Administrator prior to implementation of the modification 
(see Sec. 53.9(g)). The report shall be signed by an authorized 
representative of the applicant, marked in accordance with Sec. 53.15 
(if applicable), and addressed as specified in Sec. 53.4(a).
    (b) A report submitted under paragraph (a) of this section shall 
include:
    (1) A description, in such detail as may be appropriate, of the 
intended modification;
    (2) A brief statement of the applicant's belief that the 
modification will, will not, or may affect the performance 
characteristics of the method;
    (3) If the applicant believes the modification will or may affect 
the performance characteristics of the method, a brief statement of the 
probable effect; and
    (4) Such further information, including test data, as may be 
necessary to explain and support any statement required by paragraphs 
(b)(2) and (b)(3) of this section.
    (c) Within 30 calendar days after receiving a report under paragraph 
(a) of this section, the Administrator will take one or more of the 
following actions:
    (1) Notify the applicant that the designation will continue to apply 
to the method if the modification is implemented.

[[Page 12]]

    (2) Send notice to the applicant that a new designation will apply 
to the method (as modified) if the modification is implemented, submit 
notice of the determination for publication in the Federal Register, and 
revise or supplement the list referred to in Sec. 53.8(c) to reflect the 
determination.
    (3) Send notice to the applicant that the designation will not apply 
to the method (as modified) if the modification is implemented and 
submit notice of the determination for publication in the Federal 
Register;
    (4) Send notice to the applicant that additional information must be 
submitted before a determination can be made and specify the additional 
information that is needed (in such cases, the 30-day period shall 
commence upon receipt of the additional information);
    (5) Send notice to the applicant that additional tests are necessary 
and specify what tests are necessary and how they shall be interpreted 
(in such cases, the 30-day period shall commence upon receipt of the 
additional test data); or
    (6) Send notice to the applicant that additional tests will be 
conducted by the Administrator and specify the reasons for and the 
nature of the additional tests (in such cases, the 30-day period shall 
commence one calendar day after the additional tests are completed).
    (d) An applicant who has received a notice under paragraph (c)(3) of 
this section may appeal the Administrator's action as follows:
    (1) The applicant may submit new or additional information pertinent 
to the intended modification.
    (2) The applicant may request the Administrator to reconsider data 
and information already submitted.
    (3) The applicant may request that the Administrator repeat any test 
he conducted that was a material factor in his determination. A 
representative of the applicant may be present during the performance of 
any such retest.

[40 FR 7049, Feb. 18, 1975, as amended at 40 FR 18168, Apr. 25, 1975; 41 
FR 11256, Mar. 17, 1976]



Sec. 53.15   Trade secrets and confidential or privileged information.

    Any information submitted under this part that is claimed to be a 
trade secret or confidential or privileged information shall be marked 
or otherwise clearly identified as such in the submittal. Information so 
identified will be treated in accordance with part 2 of this chapter 
(concerning public information).



Sec. 53.16  Supersession of reference methods.

    (a) This section prescribes procedures and criteria applicable to 
requests that the Administrator specify a new reference method, or a new 
measurement principle and calibration procedure on which reference 
methods shall be based, by revision of the appropriate appendix to part 
50 of this chapter. Such action will ordinarily be taken only if the 
Administrator determines that a candidate method or a variation thereof 
is substantially superior to the existing reference method(s).
    (b) In exercising his discretion under this section, the 
Administrator will consider: (1) The benefits, in terms of the 
requirements and purposes of the Act, that would result from specifying 
a new reference method or a new measurement principle and calibration 
procedure; (2) the potential economic consequences of such action for 
State and local control agencies; and (3) any disruption of State and 
local air quality monitoring programs that might result from such 
action.
    (c) An applicant who wishes the Administrator to consider revising 
an appendix to part 50 of this chapter on the ground that the 
applicant's candidate method is substantially superior to the existing 
reference method(s) shall submit an application for a reference or 
equivalent method determination in accordance with Sec. 53.4 and shall 
indicate therein that he desires such consideration. The application 
shall include, in addition to the information required by Sec. 53.4, 
data and any other information supporting the applicant's claim that the 
candidate method is substantially superior to the existing reference 
method(s).
    (d) After receiving an application under paragraph (c) of this 
section, the

[[Page 13]]

Administrator will publish notice of its receipt in the Federal Register 
and, within 75 calendar days after receipt of the application, take one 
of the following actions:
    (1) Determine that it is appropriate to propose a revision of the 
appendix in question and send notice of the determination to the 
applicant;
    (2) Determine that it is inappropriate to propose a revision of the 
appendix in question, determine whether the candidate method is a 
reference or equivalent method, and send notice of the determinations, 
including a statement of reasons for the determination not to propose a 
revision, to the applicant;
    (3) Send notice to the applicant that additional information must be 
submitted before a determination can be made and specify the additional 
information that is needed (in such cases, the 75-day period shall 
commence upon receipt of the additional information);
    (4) Send notice to the applicant that additional tests are 
necessary, specifying what tests are necessary and how they shall be 
interpreted (in such cases, the 75-day period shall commence upon 
receipt of the additional test data); or
    (5) Send notice to the applicant that additional tests will be 
conducted by the Administrator, specifying the nature of and reasons for 
the additional tests and the estimated time required (in such cases, the 
75-day period shall commence one calendar day after the additional tests 
have been completed).
    (e)(1) After making a determination under paragraph (d)(1) of this 
section, the Administrator will publish a notice of proposed rulemaking 
in the Federal Register. The notice will indicate that the Administrator 
proposes (i) to revise the appendix in question; (ii) where the appendix 
specifies a measurement principle and calibration procedure, to cancel 
reference method designations based on the appendix; and (iii) to cancel 
equivalent method designations based on the existing reference 
method(s). The notice will include the terms or substance of the 
proposed revision, will indicate what period(s) of time the 
Administrator proposes to allow for replacement of existing methods 
under section 2.3 of appendix C to part 58 of this chapter, and will 
solicit public comments on the proposal with particular reference to the 
considerations set forth in paragraphs (a) and (b) of this section.
    (2) If, after consideration of comments received, the Administrator 
determines that the appendix in question should be revised, he will by 
publication in the Federal Register (i) promulgate the proposed 
revision, with such modifications as may be appropriate in view of 
comments received; (ii) where the appendix (prior to revision) specifies 
a measurement principle and calibration procedure, cancel reference 
method designations based on the appendix; (iii) cancel equivalent 
method designations based on the existing reference method(s); and (iv) 
specify the period(s) that will be allowed for replacement of existing 
methods under section 2.3 of appendix C to part 58 of this chapter, with 
such modifications from the proposed period(s) as may be appropriate in 
view of comments received. Cancelled designations will be deleted from 
the list maintained under Sec. 53.8(c). The requirements and procedures 
for cancellation set forth in Sec. 53.11 shall be inapplicable to 
cancellation of reference or equivalent method designations under this 
section.
    (3) If the appendix in question is revised to specify a new 
measurement principle and calibration procedure on which the applicant's 
candidate method is based, the Administrator will take appropriate 
action under Sec. 53.5 to determine whether the candidate method is a 
reference method.
    (4) Upon taking action under paragraph (e)(2) of this section, the 
Administrator will send notice of the action to all applicants for whose 
methods reference and equivalent method designations are cancelled by 
such action.
    (f) An applicant who has received notice of a determination under 
paragraph (d)(2) of this section may appeal the determination by taking 
one or more of the following actions:
    (1) The applicant may submit new or additional information in 
support of the application.
    (2) The applicant may request that the Administrator reconsider the 
data and information already submitted.

[[Page 14]]

    (3) The applicant may request that any test conducted by the 
Administrator that was a material factor in making the determination be 
repeated.

(Secs. 110, 301(a), 313, 319, Clean Air Act (42 U.S.C. 7410, 7601(a), 
7613, 7619))

[41 FR 11256, Mar. 17, 1976, as amended at 44 FR 27571, May 10, 1979]



    Subpart B--Procedures for Testing Performance Characteristics of 
          Automated Methods SO2, CO, O3, and NO2



Sec. 53.20   General provisions.

    (a) The test procedures given in this subpart shall be used to test 
the performance of candidate automated methods against the performance 
specifications given in Table B-1. A test analyzer representative of the 
candidate automated method must exhibit performance better than, or 
equal to, the specified value for each such specification (except Range) 
to satisfy the requirements of this subpart. Except as provided in 
paragraph (b) of this section, the range of the candidate method must be 
the range specified in Table B-1 to satisfy the requirements of this 
subpart.
    (b) For a candidate method having more than one selectable range, 
one range must be that specified in Table B-1 and a test analyzer 
representative of the method must pass the tests required by this 
subpart while operated in that range. The tests may be repeated for a 
broader range (i.e., one extending to higher concentrations) than that 
specified in Table B-1 provided that the range does not extend to 
concentrations more than two times the upper range limit specified in 
Table B-1. If the application is for a reference method determination, 
the tests may be repeated for a narrower range (one extending to lower 
concentrations) than that specified in Table B-1.

If the tests are conducted or passed only for the specified range, any 
reference or equivalent method determination with respect to the method 
will be limited to that range. If the tests are passed for both the 
specified range and a broader range (or ranges), any such determination 
will include the broader range(s) as well as the specified range, 
provided that the tests required by subpart C of this part (if 
applicable) are met for the broader range(s). If the tests are passed 
for both the specified range and a narrower range, a reference method 
determination for the method will include the narrower range as well as 
the specified range. Appropriate test data shall be submitted for each 
range sought to be included in a reference or equivalent method 
determination under this paragraph (b).
    (c) For each performance specification (except Range), the test 
procedure shall be initially repeated seven (7) times to yield 7 test 
results. Each result shall be compared with the corresponding 
specification in Table B-1; a value higher than or outside that 
specified constitutes a failure. These 7 results for each parameter 
shall be interpreted as follows:
    (1) Zero (0) failures: Candidate method passes the performance 
parameter.
    (2) Three (3) or more failures: Candidate method fails the 
performance parameter.
    (3) One (1) or two (2) failures: Repeat the test procedures for the 
parameter eight (8) additional times yielding a total of fifteen (15) 
test results. The combined total of 15 test results shall then be 
interpreted as follows:
    (i) One (1) or two (2) failures: Candidate method passes the 
performance parameter.
    (ii) Three (3) or more failures: Candidate method fails the 
performance parameter.

                           Table B-1--Performance Specifications for Automated Methods                          
----------------------------------------------------------------------------------------------------------------
                                                   Sulfur   Photochemical    Carbon    Nitrogen  Definitions and
    Performance parameter          Units\1\       dioxide      oxidants     monoxide   dioxide   test procedures
----------------------------------------------------------------------------------------------------------------
1. Range.....................  Parts per             0-0.5        0-0.5         0-50      0-0.5  Sec. 53.23(a). 
                                million.                                                                        
2. Noise.....................  ......do........       .005         .005          .50       .005  Sec. 53.23(b). 
3. Lower detectable limit....  Parts per               .01          .01          1.0        .01  Sec. 53.23(c). 
                                million.                                                                        
4. Interference equivalent...  ................  .........  .............  .........  .........  Sec. 53.23(d). 
  Each interferant...........  Parts per         plus-minu  plus-minus.02  plus-minu  plus-minu                 
                                million.              s.02                      s1.0      s0.02                 

[[Page 15]]

                                                                                                                
  Total interferant..........  ......do........        .06          .06          1.5        .04                 
5. Zero drift, 12 and 24 hour  ......do........  plus-minu  plus-minus.02  plus-minu  plus-minu  Sec. 52.23(e). 
                                                      s.02                      s1.0       s.02                 
6. Span drift, 24 hour.......  ................  .........  .............  .........  .........      Do.        
  20 percent of upper range    Percent.........  plus-minu  plus-minus20.  plus-minu  plus-minu                 
   limit.                                            s20.0            0        s10.0      s20.0                 
  80 percent of upper range    ......do........  plus-minu  plus-minus5.0  plus-minu  plus-minu                 
   limit.                                             s5.0                      s2.5       s5.0                 
7. Lag time..................  Minutes.........         20           20           10         20      Do.        
8. Rise time.................  ......do........         15           15            5         15      Do.        
9. Fall time.................  ......do........         15           15            5         15      Do.        
10. Precision................  ................  .........  .............  .........  .........      Do.        
  20 percent of upper range    Parts per               .01          .01           .5        .02                 
   limit.                       million.                                                                        
  80 percent of upper range    ......do........       .015          .01           .5        .03                 
   limit.                                                                                                       
----------------------------------------------------------------------------------------------------------------
\1\To convert from parts per million to g/m\3\ at 25 deg.C and 760 mm Hg, multiply by M/0.02447, where 
  M is the molecular weight of the gas.                                                                         

    (d) The tests for zero drift, span drift, lag time, rise time, fall 
time, and precision shall be combined into a single sequential procedure 
to be conducted at various line voltages and ambient temperatures 
specified in Sec. 53.23(e). The tests for noise, lower detectable limit, 
and interference equivalents shall be made at any temperature between 
20 deg. C. and 30 deg. C. and at any normal line voltage between 105 and 
125 volts, and shall be conducted such that not more than three (3) test 
results for each parameter are obtained per 24 hours.
    (e) All response readings to be recorded shall first be converted to 
concentration units according to the calibration curve constructed in 
accordance with Sec. 53.21(b).
    (f) All recorder chart tracings, records, test data and other 
documentation obtained from or pertinent to these tests shall be 
identified, dated, signed by the analyst performing the test, and 
submitted.

    Note: Suggested formats for reporting the test results and 
calculations are provided in Figures B-2, B-3, B-4, B-5, and B-6 in 
appendix A. Symbols and abbreviations used in this subpart are listed in 
Table B-5, appendix A.

[40 FR 7049, Feb. 18, 1975, as amended at 40 FR 18168, Apr. 25, 1975; 41 
FR 52694, Dec. 1, 1976]



Sec. 53.21   Test conditions.

    (a) Set-up and start-up of the test analyzer shall be in strict 
accordance with the operating instructions specified in the manual 
referred to in Sec. 53.4(b)(3). Allow adequate warm-up or stabilization 
time as indicated in the operating instructions before beginning the 
tests. If the candidate method does not include an integral strip chart 
recorder, connect the output signal of the test analyzer to a suitable 
strip chart recorder of the servo, null-balance type. This recorder 
shall have a chart width of at least 25 centimeters, chart speeds up to 
10 cm per hour, a response time of 1 second or less, a deadband of not 
more than 0.25 percent of full scale, and capability either of reading 
measurements at least 5 percent below zero or of offsetting the zero by 
at least 5 percent.

    Note: Other data acquisition components may be used along with the 
chart recorder during conduct of these tests. Use of the chart recorder 
is intended only to facilitate evaluation of data submitted.

    (b) Calibration of the test analyzer shall be as indicated in the 
manual referred to in Sec. 53.4(b)(3) and as follows: If the chart 
recorder does not have below zero capability, adjust either the controls 
of the test analyzer or the chart recorder to obtain a +5% offset zero 
reading on the recorder chart to facilitate observing negative response 
or drift. If the candidate method is not capable of negative response, 
the test analyzer (not recorder) shall be operated with an offset zero. 
Construct and submit a calibration curve showing a plot of recorder 
scale readings (ordinate) against pollutant concentrations (abscissa). A 
plot of output units (volts, millivolts, milliamps, etc.) against 
pollutant concentrations shall also be shown for methods not including 
an integral chart recorder. All such plots

[[Page 16]]

shall consist of at least seven (7) approximately equally spaced, 
identifiable points, including 0 and 90plus-minus5 percent of full 
scale.
    (c) Once the test analyzer has been set up and calibrated and the 
tests started, manual adjustment or normal periodic maintenance is 
permitted only every 3 days. Automatic adjustments which the test 
analyzer performs by itself are permitted at any time. The submitted 
records shall show clearly when any manual adjustment or periodic 
maintenance was made and describe the operations performed.
    (d) If the test analyzer should malfunction during any of the 
performance tests, the tests for that parameter shall be repeated. A 
detailed explanation of the malfunction, remedial action taken, and 
whether recalibration was necessary (along with all pertinent records 
and charts) shall be submitted. If more than one malfunction occurs, all 
performance test procedures for all parameters shall be repeated.
    (e) Tests for all performance parameters shall be completed on the 
same test analyzer, except that use of multiple test analyzers to 
accelerate testing will be permitted when alternate ranges of a multi-
range candidate method are being tested.



Sec. 53.22   Generation of test atmospheres.

    (a) Table B-2 specifies preferred methods for generating test 
atmospheres and suggested methods of verifying the concentrations. Only 
one means of establishing the concentration of a test atmosphere is 
normally required. If the method of generation can produce reproducible 
concentrations, verification is optional. If the method of generation is 
not reproducible, then establishment of the concentration by some 
verification method is required. However, when a method of generation 
other than that given in Table B-2 is used, the test concentration shall 
be verified.
    (b) The test atmosphere delivery system shall be designed and 
constructed so as not to significantly alter the test atmosphere 
composition or concentration during the period of the test. The delivery 
system shall be fabricated from borosilicate glass or FEP Teflon.
    (c) The output of the test atmosphere generation system shall be 
sufficiently stable to obtain stable response during the required tests. 
If a permeation device is used for generation of a test atmosphere, the 
device, as well as the air passing over it, shall be controlled to 
plus-minus0.1 deg. C.
    (d) All diluent air shall be zero air free of contaminants likely to 
cause a detectable response on the test analyzer.

                                           Table B-2--Test Atmospheres                                          
----------------------------------------------------------------------------------------------------------------
               Test gas                             Generation                          Verification            
----------------------------------------------------------------------------------------------------------------
Ammonia...............................  Permeation device. Similar to      Indophenol method, reference 3.      
                                         system described in references 1                                       
                                         and 2.                                                                 
Carbon dioxide........................  Cylinder of zero air or nitrogen   Use NBS-certified standards whenever 
                                         containing CO2!as required to      possible. If NBS standards are not  
                                         obtain the concentration           available, obtain 2 standards from  
                                         specified in table B-3.            independent sources which agree     
                                                                            within 2 percent; or obtain one     
                                                                            standard and submit it to an        
                                                                            independent laboratory for analysis 
                                                                            which must agree within 2 percent of
                                                                            the supplier's nominal analysis.    
Carbon monoxide.......................  Cylinder of zero air or nitrogen       Do.                              
                                         containing CO as required to                                           
                                         obtain the concentration                                               
                                         specified in table B-3.                                                
Ethane................................  Cylinder of zero air or nitrogen       Do.                              
                                         containing ethane as required to                                       
                                         obtain the concentration                                               
                                         specified in table B-3.                                                
Ethylene..............................  Cylinder of prepurified nitrogen       Do.                              
                                         containing ethylene as required                                        
                                         to obtain the concentration                                            
                                         specified in table B-3.                                                
Hydrogen chloride.....................  Cylinder\1\ of prepurified         Collect samples in bubbler containing
                                         nitrogen containing                distilled water and analyze by the  
                                         approximately 100 p/m of gaseous   mercuric thiocyanate method, ASTM   
                                         HCl. Dilute with zero air to       (D512), p. 29, reference 4.         
                                         concentration specified in table                                       
                                         B-3.                                                                   
Hydrogen sulfide......................  Permeation device system           Tentative method of analysis for H2S 
                                         described in references 1 and 2.   content of the atmosphere, p. 426,  
                                                                            reference 5.                        

[[Page 17]]

                                                                                                                
Methane...............................  Cylinder of zero air containing    Use NBS-certified standards whenever 
                                         methane as required to obtain      possible. If NBS standards are not  
                                         the concentration specified in     available, obtain 2 standards from  
                                         table B-3.                         independent sources which agree     
                                                                            within 2 percent; or obtain one     
                                                                            standard and submit it to an        
                                                                            independent laboratory for an       
                                                                            analysis which must agree within 2  
                                                                            percent of the supplier's nominal   
                                                                            analysis.                           
Nitric oxide..........................  Cylinder\1\ of prepurified         Gas-phase titration as described in  
                                         nitrogen containing                reference 6, section 7.1.           
                                         approximately 100 p/m NO. Dilute                                       
                                         with zero air to required                                              
                                         concentration.                                                         
Nitrogen dioxide......................  1. Gas phase titration as          1. Use an NO2 analyzer calibrated    
                                         described in reference 6.          with a gravimetrically calibrated   
                                        2. Permeation device, similar to    permeation device.                  
                                         system described in references 1  2. Use an NO2 analyzer calibrated by 
                                         and 2.                             gas-phase titration as described in 
                                                                            reference 6.                        
Ozone.................................  Calibrated ozone generator as      Use an ozone analyzer calibrated by  
                                         described in reference 7,          gas-phase titration as described in 
                                         appendix D.                        reference 6.                        
Sulfur dioxide........................  Permeation device Similar to       P-rosaniline method. Reference 7,    
                                         system described in reference      appendix A.                         
                                         method for SO2, reference 7,                                           
                                         appendix A.                                                            
Water.................................  Pass zero air through distilled    Measure relative humidity by means of
                                         water at a fixed known             a dew-point indicator, calibrated   
                                         temperature between 20 deg. and    electrolytic or piezo electric      
                                         30 deg. C. such that the air       hygrometer, or wet/dry bulb         
                                         stream becomes saturated. Dilute   thermometer.                        
                                         with zero air to concentration                                         
                                         specified in table B-3.                                                
Xylene................................  Cylinder of prepurified nitrogen   Use NBS-certified standards whenever 
                                         containing 100 p/m xylene.         possible. If NBS standards are not  
                                         Dilute with zero air to            available, obtain 2 standards from  
                                         concentration specified in table   independent sources which agree     
                                         B-3.                               within 2 percent; or obtain one     
                                                                            standard and submit it to an        
                                                                            independent laboratory for an       
                                                                            analysis which must agree within 2  
                                                                            percent of the supplier's nominal   
                                                                            analysis.                           
Zero air..............................  1. Ambient air purified by                                              
                                         appropriate scrubbers or other                                         
                                         devices such that it is free of                                        
                                         contaminants likely to cause a                                         
                                         detectable response on the                                             
                                         analyzer.                                                              
                                        2. Cylinder of compressed zero                                          
                                         air certified by the supplier or                                       
                                         an independent laboratory to be                                        
                                         free of contaminants likely to                                         
                                         cause a detectable response on                                         
                                         the analyzer.                                                          
----------------------------------------------------------------------------------------------------------------
\1\Use stainless steel pressure regulator dedicated to the pollutant measured.                                  
Reference 1. O'Keeffe, A. E., and Ortaman, G. C. ``Primary Standards for Trace Gas Analysis,'' Anal. Chem. 38,  
  760 (1966).                                                                                                   
Reference 2. Scaringelli, F. P., A. E., Rosenberg, E., and Bell, J. P., ``Primary Standards for Trace Gas       
  Analysis.'' Anal. Chem. 42, 871 (1970).                                                                       
Reference 3. ``Tentative Method of Analysis for Ammonia in the Atmosphere (Indophenol Method)'', Health Lab     
  Sciences, vol. 10, No. 2, 115-118, April 1973.                                                                
Reference 4. 1973 Annual Book of ASTM Standards, American Society for Testing and Materials, 1916 Race St.,     
  Philadelphia, PA.                                                                                             
Reference 5. Methods for Air Sampling and Analysis, Intersociety Committee, 1972, American Public Health        
  Association, 1015.                                                                                            
Reference 6. Federal Register, vol. 38, No. 110, Tentative Method for the Continuous Measurement of Nitrogen    
  Dioxide (Chemiluminescent) addenda C. (June 8, 1973).                                                         
Reference 7. Federal Register, vol. 36, No. 228, National Primary and Secondary Ambient Air Quality Standards,  
  Nov. 25, 1971.                                                                                                

    (e) The concentration of each test atmosphere shall be established 
and/or verified before or during each series of tests. Samples for 
verifying test concentrations shall be collected from the test 
atmosphere delivery system as close as possible to the sample intake 
port of the test analyzer.
    (f) The accuracy of all flow measurements used to calculate test 
atmosphere concentrations shall be documented and referenced to a 
primary standard (such as a spirometer, bubble meter, etc.). Any 
corrections shall be clearly shown. All flow measurements given in 
volume units shall be standardized to 25 deg. C. and 760 mm Hg.
    (g) Schematic drawings and other information showing complete 
procedural details of the test atmosphere generation, verification, and 
delivery system shall be provided. All pertinent calculations shall be 
clearly indicated.

[40 FR 7049, Feb. 18, 1975, as amended at 40 FR 18168, Apr. 25, 1975]
Environmental Protection Agency



Sec. 53.23   Test procedures.

    (a) Range--(1) Technical definition. Nominal minimum and maximum 
concentrations which a method is capable of measuring.


[[Page 18]]


    Note: The nominal range is specified at the lower and upper range 
limits in concentration units, for example, 0-0.5 p/m.

    (2) Test procedure. Submit a suitable calibration curve, as 
specified in Sec. 53.21(b), showing the test analyzer's response over at 
least 95 percent of the required range.

    Note: A single calibration curve will normally suffice.

    (b) Noise--(1) Technical definition. Spontaneous, short duration 
deviations in output, about the mean output, which are not caused by 
input concentration changes. Noise is determined as the standard 
deviation about the mean and is expressed in concentration units.
    (2) Test procedure. (i) Allow sufficient time for the test analyzer 
to warm up and stabilize. Determine at two concentrations, first using 
zero air and then a pollutant test gas concentration as indicated below. 
The noise specification in Table B-1 shall apply to both of these tests.
    (ii) Connect an integrating-type digital meter (DM) suitable for the 
test analyzer's output and accurate to three significant digits, to 
measure the analyzer's output signal.

    Note: Use of a chart recorder in addition to the DM is optional.

    (iii) Measure zero air for 60 minutes. During this 60-minute 
interval, record twenty-five (25) readings at 2-minute intervals. (See 
Figure B-2 in appendix A.)
    (iv) Convert each DM reading to concentration units (p/m) by 
reference to the test analyzer's calibration curve as determined in 
Sec. 53.21(b). Label the converted DM readings r1, r2, r3 
. . . ri . . . r25.
    (v) Calculate the standard deviation, S, as follows:
    
    

[[Page 19]]


    where i indicates the i-th DM reading in ppm.
    (vi) Let S at 0 ppm be identified as So; compare So to the 
noise specification given in Table B-1.
    (vii) Repeat steps (iii) through (vi) of this section using a 
pollutant test atmosphere concentration of 80plus-minus5 percent of 
the upper range limit (URL) instead of zero gas, and let S at 80 percent 
of the URL be identified as S80. Compare S80 to the noise 
specification given in Table B-1.
    (viii) Both S0 and S80 must be less than or equal to the 
specification for noise to pass the test for the noise parameter.
    (c) Lower detectable limit--(1) Technical definition. The minimum 
pollutant concentration which produces a signal of twice the noise 
level.
    (2) Test procedure. (i) Allow sufficient time for the test analyzer 
to warm up and stabilize. Measure zero air and record the stable reading 
in ppm as BZ. (See Figure B-3 in appendix A.)
    (ii) Generate and measure a pollutant test atmosphere concentration 
equal to the value for the lower detectable limit specified in Table B-
1.

    Note: If necessary, the test atmosphere concentration may be 
generated or verified at a higher concentration, then accurately diluted 
with zero air to the final required concentration.

    (iii) Record the test analyzer's stable indicated reading, in ppm, 
as BL.
    (iv) Determine the Lower Detectable Limit (LDL) as LDL=BL` 
BZ. Compare this LDL value with the noise level, S0, 
determined in Sec. 53.23(b), for 0 concentration test atmosphere. LDL 
must be equal to or higher than 2S0 to pass this test.
    (d) Interference equivalent--(1) Technical definition. Positive or 
negative response caused by a substance other than the one being 
measured.
    (2) Test procedure. The test analyzer shall be tested for all 
substances likely to cause a detectable response. The test analyzer 
shall be challenged, in turn, with each interfering agent specified in 
Table B-3. In the event that there are substances likely to cause a 
significant interference which have not been specified in Table B-3, 
these substances shall be tested at a concentration substantially higher 
than that normally found in the ambient air. The interference may be 
either positive or negative, depending on whether the test analyzer's 
response is increased or decreased by the presence of the interferent. 
Interference equivalents shall be determined by mixing each interferent, 
one at a time, with the pollutant at the concentrations specified in 
Table B-3, and comparing the test analyzer's response to the response 
caused by the pollutant alone. Known gas-phase reactions that might 
occur between an interferent and the pollutant are designated by 
footnote 3 in Table B-3. In these cases, the interference equivalent 
shall be determined in the absence of the pollutant.
    (i) Allow sufficient time for warm-up and stabilization of the test 
analyzer.
    (ii) For a candidate method using a prefilter or scrubber based upon 
a chemical reaction to derive part of its specificity, and which 
requires periodic service or maintenance, the test analyzer shall be 
``conditioned'' prior to each interference test as follows:

[[Page 20]]



                                                                 Table B-3--Interferant Test Concentration,\1\ Parts Per Million                                                                
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                        Hydrochloric           Hydrogen   Sulfur   Nitrogen   Nitric   Carbon                         M-      Water    Carbon                   
        Pollutant               Analyzer type\2\            acid      Ammonia   sulfide   dioxide   dioxide   oxide    dioxide  Ethylene   Ozone    xylene    vapor   monoxide  Methane   Ethane
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
SO2.....................  Flame photometric (FPD).....  ............  .......       0.1   \1\0.14  ........  .......       750  ........  .......  .......  \3\20,00        50  .......  .......
                                                                                                                                                                   0                            
SO2.....................  Gas chromatography (FPD)....  ............  .......        .1    \4\.14  ........  .......       750  ........  .......  .......  \3\20,00        50  .......  .......
                                                                                                                                                                   0                            
SO2.....................  Spectrophotometric-wet               0.2     \3\0.1        .1    \4\.14       0.5  .......       750  ........      0.5  .......  ........  ........  .......  .......
                           chemical (pararosaniline                                                                                                                                             
                           reaction).                                                                                                                                                           
SO2.....................  Electrochemical.............          .2      \3\.1        .1    \4\.14        .5      0.5  ........       0.2       .5  .......  \3\20,00  ........  .......  .......
                                                                                                                                                                   0                            
SO2.....................  Conductivity................          .2      \3\.1  ........    \4\.14        .5  .......       750  ........  .......  .......  ........  ........  .......  .......
SO2.....................  Spectrophotometric-gas phase  ............  .......  ........    \4\.14        .5       .5  ........  ........       .5      0.2  ........  ........  .......  .......
O3......................  Chemiluminescent............  ............  .......     \3\.1  ........  ........  .......       750  ........   \4\.08  .......  \3\20,00  ........  .......  .......
                                                                                                                                                                   0                            
O3......................  Electrochemical.............  ............    \3\.1  ........        .5        .5  .......  ........  ........   \4\.08  .......  \3\20,00  ........  .......  .......
                                                                                                                                                                   0                            
O3......................  Spectrophotometric-wet        ............    \3\.1  ........        .5        .5    \3\.5  ........  ........   \4\.08  .......  ........  ........  .......  .......
                           chemical (potassium iodide                                                                                                                                           
                           reaction).                                                                                                                                                           
O3......................  Spectrophotometric-gas phase  ............  .......  ........        .5        .5    \3\.5  ........  ........   \4\.08  .......  ........  ........  .......  .......
CO......................  Infrared....................  ............  .......  ........  ........  ........  .......       750  ........  .......  .......    20,000     \4\10  .......  .......
CO......................  Gas chromatography with       ............  .......  ........  ........  ........  .......  ........  ........  .......  .......    20,000     \4\10  .......      0.5
                           flame ionization detector.                                                                                                                                           
CO......................  Electrochemical.............  ............  .......  ........  ........  ........       .5  ........        .2  .......  .......    20,000     \4\10  .......  .......
CO......................  Catalytic combustion-thermal  ............       .1  ........  ........  ........  .......       750        .2  .......  .......    20,000     \4\10      5.0       .5
                           detection.                                                                                                                                                           
CO......................  IR fluorescence.............  ............  .......  ........  ........  ........  .......       750  ........  .......  .......    20,000     \4\10  .......       .5
CO......................  Mercury replacement UV        ............  .......  ........  ........  ........  .......  ........        .2  .......  .......  ........     \4\10  .......       .5
                           photometric.                                                                                                                                                         
NO2.....................  Chemiluminescent............  ............    \3\.1  ........        .5     \4\.1       .5  ........  ........  .......  .......    20,000  ........  .......  .......
NO2.....................  Spectrophotometric-wet        ............  .......  ........        .5     \4\.1       .5       750  ........       .5  .......  ........  ........  .......  .......
                           chemical (azo-dye reaction).                                                                                                                                         
NO2.....................  Electrochemical.............         0.2      \3\.1  ........        .5     \4\.1       .5       750  ........       .5  .......    20,000        50  .......  .......
NO2.....................  Spectrophotometric-gas phase  ............    \3\.1  ........        .5     \4\.1       .5  ........  ........       .5  .......    20,000        50  .......  .......
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
\1\Concentrations of interferant listed must be prepared and controlled to plus-minus 10 percent of the state value.                                                                            
\2\Analyzer types not listed will be considered by the administrator as special cases.                                                                                                          
\3\Do not mix with pollutant.                                                                                                                                                                   
\4\Concentration of pollutant used for test. These pollutant concentrations must be prepared to plus-minus 10 percent of the stated value.                                                      


[[Page 21]]

    (A) Service or perform the indicated maintenance on the scrubber or 
prefilter as directed in the manual referred to in Sec. 53.4(b)(3).
    (B) Before testing for each interferent, allow the test analyzer to 
sample through the scrubber a test atmosphere containing the interferent 
at a concentration equal to the value specified in Table B-3. Sampling 
shall be at the normal flow rate and shall be continued for 6 continuous 
hours prior to testing.
    (iii) Generate three test atmosphere streams as follows:
    (A) Test atmosphere P: Pollutant concentration.
    (B) Test atmosphere I: Interference concentration.
    (C) Test atmosphere Z: Zero air.
    (iv) Adjust the individual flow rates and the pollutant or 
interferent generators for the three test atmospheres as follows:
    (A) The flow rates of test atmospheres I and Z shall be identical.
    (B) The concentration of pollutant in test atmosphere P shall be 
adjusted such that when P is mixed (diluted) with either test atmosphere 
I or Z, the resulting concentration of pollutant shall be as specified 
in Table B-3.
    (C) The concentration of interferent in test atmosphere I shall be 
adjusted such that when I is mixed (diluted) with test atmosphere P, the 
resulting concentration of interferent shall be equal to the value 
specified in Table B-3.
    (D) To minimize concentration errors due to flow rate differences 
between I and Z, it is recommended that, when possible, the flow rate of 
P be from 10 to 20 times larger than the flow rates of I and Z.
    (v) Mix test atmospheres P and Z by passing the total flow of both 
atmospheres through a mixing flask.
    (vi) Sample and measure the mixture of test atmospheres P and Z with 
the test analyzer. Allow for a stable reading, and record the reading, 
in concentration units, as R (see Figure B-3).
    (vii) Mix test atmospheres P and I by passing the total flow of both 
atmospheres through a mixing flask.
    (viii) Sample and measure this mixture. Record the stable reading, 
in concentration units, as RI.
    (ix) Calculate the interference equivalent (IE) as:

                             IE=RI - R

IE must be equal to or less than the specification given in Table B-1 
for each interferent to pass the test.
    (x) Follow steps (iii) through (ix) of this section, in turn, to 
determine the interference equivalent for each interferent.
    (xi) For those interferents which cannot be mixed with the 
pollutant, as indicated by footnote (3) in Table B-3, adjust the 
concentration of test atmosphere I to the specified value without being 
mixed or diluted by the pollutant test atmosphere. Determine IE as 
follows:
    (A) Sample and measure test atmosphere Z (zero air). Allow for a 
stable reading and record the reading, in concentration units, as R.
    (B) Sample and measure the interferent test atmosphere I. If the 
test analyzer is not capable of negative readings, adjust the analyzer 
(not the recorder) to give an offset zero. Record the stable reading in 
concentration units as RI, extrapolating the calibration curve, if 
necessary, to represent negative readings.
    (C) Calculate IE=RI-R. IE must be equal to or less than the 
specification in Table B-1 to pass the test.
    (xii) Sum the absolute value of all the individual interference 
equivalents. This sum must be equal to or less than the total 
interferent specification given in Table B-1 to pass the test.
    (e) Zero drift, span drift, lag time, rise time, fall time, and 
precision--(1) Technical definitions--(i) Zero drift: The change in 
response to zero pollutant concentration, over 12- and 24-hour periods 
of continuous unadjusted operation.
    (ii) Span drift: The percent change in response to an up-scale 
pollutant concentration over a 24-hour period of continuous unadjusted 
operation.
    (iii) Lag time: The time interval between a step change in input 
concentration and the first observable corresponding change in response.
    (iv) Rise time: The time interval between initial response and 95 
percent of final response after a step increase in input concentration.

[[Page 22]]

    (v) Fall time: The time interval between initial response and 95 
percent of final response after a step decrease in input concentration.
    (vi) Precision: Variation about the mean of repeated measurements of 
the same pollutant concentration, expressed as one standard deviation 
about the mean.
    (2) Tests for these performance parameters shall be accomplished 
over a period of seven (7) or more days. During this time, the line 
voltage supplied to the test analyzer and the ambient temperature 
surrounding the analyzer shall be varied from day to day. One test 
result for each performance parameter shall be obtained each test day, 
for seven (7) or fifteen (15) test days as necessary. The tests are 
performed sequentially in a single procedure.
    (3) The 24-hour test day may begin at any clock hour. The first 12 
hours out of each test day are required for testing 12-hour zero drift. 
Tests for the other parameters shall be conducted during the remaining 
12 hours.
    (4) Table B-4 specifies the line voltage and room temperature to be 
used for each test day. The line voltage and temperature shall be 
changed to the specified values at the start of each test day (i.e., at 
the start of the 12-hour zero test). Initial adjustments (day zero) 
shall be made at a line voltage of 115 volts (rms) and a room 
temperature of 25 deg. C.
    (5) The tests shall be conducted in blocks consisting of 3 test days 
each until 7 or 15 test results have been obtained. (The final block may 
contain fewer than three test days.) If a test is interrupted by an 
occurrence other than a malfunction of the test analyzer, only the block 
during which the interruption occurred shall be repeated.
    (6) During each block, manual adjustments to the electronics, gas, 
or reagent flows or periodic maintenance shall not be permitted. 
Automatic adjustments which the test analyzer performs by itself are 
permitted at any time.
    (7) At least 4 hours prior to the start of the first test day of 
each block, the test analyzer may be adjusted and/or serviced according 
to the periodic maintenance procedures specified in the manual referred 
to in Sec. 53.4(b)(3). If a new block is to immediately follow a 
previous block, such adjustments or servicing may be done immediately 
after completion of the day's tests for the last day of the previous 
block and at the voltage and temperature specified for that day, but 
only on test days 3, 6, 9, and 12.

    Note: If necessary, the beginning of the test days succeeding such 
maintenance or adjustment may be delayed as necessary to complete the 
service or adjustment operation.

    (8) All response readings to be recorded shall first be converted to 
concentration units according to the calibration curve. Whenever a test 
atmosphere is to be measured but a stable reading is not required, the 
test atmosphere shall be measured long enough to cause a change in 
response of at least 10% of full scale. Identify all readings and other 
pertinent data on the strip chart. (See Figure B-1 illustrating the 
pattern of the required readings.)

                          Table B-4--Line Voltage and Room Temperature Test Conditions                          
----------------------------------------------------------------------------------------------------------------
                                                  Line           Room                                           
                  Test day                    voltage,\1\  temperature,\2\                Comments              
                                                  rms            deg.C                                          
----------------------------------------------------------------------------------------------------------------
0...........................................         115             25     Initial set-up and adjustments.     
1...........................................         125             20                                         
2...........................................         105             20                                         
3...........................................         125             30     Adjustments and/or periodic         
                                                                             maintenance permitted at end of    
                                                                             tests.                             
4...........................................         105             30                                         
5...........................................         125             20                                         
6...........................................         105             20     Adjustments and/or periodic         
                                                                             maintenance permitted at end of    
                                                                             tests.                             
7...........................................         125             30     Examine test results to ascertain if
                                                                             further testing is required.       
8...........................................         105             30                                         

[[Page 23]]

                                                                                                                
9...........................................         125             20     Adjustments and/or periodic         
                                                                             maintenance permitted at end of    
                                                                             tests.                             
10..........................................         105             20                                         
11..........................................         125             30                                         
12..........................................         105             30     Adjustments and/or periodic         
                                                                             maintenance permitted at end of    
                                                                             tests.                             
13..........................................         125             20                                         
14..........................................         105             20                                         
15..........................................         125             30                                         
----------------------------------------------------------------------------------------------------------------
\1\Voltage specified shall be controlled to plus-minus 1 volt.                                                  
\2\Temperature specified shall be controlled to plus-minus 1 deg.C.                                             


[[Page 24]]

[GRAPHIC] [TIFF OMITTED] TC01JY92.000


[[Page 25]]

    (9) Test procedure. (i) Arrange to generate pollutant test 
atmospheres as follows:

------------------------------------------------------------------------
                                               Pollutant concentration  
              Test atmosphere                         (percent)         
------------------------------------------------------------------------
A0........................................  Zero air.                   
A20.......................................  20plus-minus5 of the upper  
                                             range limit.               
A30.......................................  30plus-minus5 of the upper  
                                             range limit.               
A80.......................................  80plus-minus5 of the upper  
                                             range limit.               
A90.......................................  90plus-minus5 of the upper  
                                             range limit.               
------------------------------------------------------------------------

Test atmospheres A0, A20, and A80 shall be consistent 
during the tests and from day to day.
    (ii) For steps (xxv) through (xxxi) of this section, a chart speed 
of at least 10 centimeters per hour shall be used. The actual chart 
speed, chart speed changes, and time checks shall be clearly marked on 
the chart.
    (iii) Allow sufficient time for test analyzer to warm up and 
stabilize at a line voltage of 115 volts and a room temperature of 
25 deg. C. Recalibrate, if necessary, and adjust the zero baseline to 5 
percent of chart. No further adjustments shall be made to the analyzer 
until the end of the tests on the third day.
    (iv) Measure test atmosphere A0!until a stable reading is 
obtained, and record this reading (in ppm) as Z'n, where n=0 (see 
Figure B-4 in appendix A).
    (v) Measure test atmosphere A20. Allow for a stable reading and 
record it as M'n, where n=0.
    (vi) Measure test atmosphere A80. Allow for a stable reading 
and record it as S'n, where n=0.
    (vii) The above readings for Z'0, M'0, and S'0 should 
be taken at least four (4) hours prior to the beginning of test day 1.
    (viii) At the beginning of each test day, adjust the line voltage 
and room temperature to the values given in Table B-4.
    (ix) Measure test atmosphere A0 continuously for at least 
twelve (12) continuous hours during each test day.
    (x) After the 12-hour zero drift test (step ix), sample test 
atmosphere A0. A stable reading is not required.
    (xi) Measure test atmosphere A20!and record the stable reading 
(in ppm) as P1. (See Figure B-4 in appendix A.)
    (xii) Sample test atmosphere A30; a stable reading is not 
required.
    (xiii) Measure test atmosphere A20 and record the stable 
reading as P2.
    (xiv) Sample test atmosphere A0; a stable reading is not 
required.
    (xv) Measure test atmosphere A20 and record the stable reading 
as P3.
    (xvi) Sample test atmosphere A30; a stable reading is not 
required.
    (xvii) Measure test atmosphere A20 and record the stable 
reading as P4.
    (xviii) Sample test atmosphere A0; a stable reading is not 
required.
    (xix) Measure test atmosphere A20 and record the stable reading 
as P5.
    (xx) Sample test atmosphere A30; a stable reading is not 
required.
    (xxi) Measure test atmosphere A20 and record the stable reading 
as P6.
    (xxii) Measure test atmosphere A30 and record the stable 
reading as P7.
    (xxiii) Sample test atmosphere A90; a stable reading is not 
required.
    (xxiv) Measure test atmosphere A80 and record the stable 
reading as P8. Increase chart speed to at least 10 centimeters per 
hour.
    (xxv) Measure test atmosphere A0. Record the stable reading as 
L1.
    (xxvi) Quickly switch the test analyzer to measure test atmosphere 
A80 and mark the recorder chart to show the exact time when the 
switch occurred.
    (xxvii) Measure test atmosphere A90 and record the stable 
reading as P80.
    (xxviii) Sample test atmosphere A90; a stable reading is not 
required.
    (xxix) Measure test atmosphere A80 and record the stable 
reading as P10.
    (xxx) Measure test atmosphere A0 and record the stable reading 
as L2.
    (xxxi) Measure test atmosphere A80 and record the stable 
reading as P11.
    (xxxii) Sample test atmosphere A90; a stable reading is not 
required.
    (xxxiii) Measure test atmosphere A80 and record the stable 
reading as P12.
    (xxxiv) Repeat steps (viii) through (xxxiii) of this section, each 
test day.
    (xxxv) If zero and span adjustments are made after the readings are 
taken on test days 3, 6, 9, or 12, complete all adjustments; then 
measure test atmospheres A0, A80, and A20. Allow for a 
stable reading on each, and record the readings as Z'n S'n, 
and Mn!respectively, where n=the test day number.

[[Page 26]]

    (10) Determine the results of each day's tests as follows. Mark the 
recorder chart to show readings and determinations.
    (i) Zero drift. (A) 12-hour. Examine the strip chart pertaining to 
the 12-hour continuous zero air test. Determine the minimum (Cmin.) and 
maximum (Cmax.) readings (in p/m) during this period of 12 consecutive 
hours, extrapolating the calibration curve to negative concentration 
units if necessary. Determine the 12-hour zero drift (12ZD) as 12ZD 
=Cmax.-Cmin.. (See Figure B-5 in appendix A.)
    (B) Calculate the 24-hour zero drift (24ZD) for the n-th test day as 
24 ZDn=Zn-Zn-1, or 24ZDn=Zn-Z'n-1 if zero 
adjustment was made on the previous day, where Zn=\1/2\ 
(L1+L2) for L1 and L2 taken on the n-th test day.
    (C) Compare 12 ZD and 24 ZD to the zero drift specification in Table 
B-1. Both 12 ZD and 24 ZD must be equal to or less than the specified 
value to pass the test for zero drift.
    (ii) Span drift. (A) Span drift at 20 percent of URL (MSD):starthere

                                                                                                                
                                                            Mn-Mn-1                                             
                                              MSDn =   -----------------   x  100%                              
                                                              Mn-1                                              
  .......................................                                                                       


                                                                                                                
                                                               Mn-M'n-1                                         
                                               MSDn =     -----------------  x  100%                            
                                                                M'n-1                                           
                                                                                                                

If span adjustment was made on the previous day, where


                                             1   6                      
                                      Mn =  --  <3-  Pi                 
                                                 l                      
                                             6  i=1                     
                                                                        


n indicates the n-th test day, and i indicates the i-th reading on the 
nth day.
    (B) Span drift at 80 percent of URL (USD):

                                                                                                                
                                                             Sn-Sn-1                                            
                                                USDn =   --------------  x  100%                                
                                                              Sn-1                                              
                                                                                                                

or

                                                                                                                
                                                            Sn-S'n-1                                            
                                                USDn =   --------------  x  100%                                
                                                              S'n-1                                             
                                                                                                                

If span adjustment was made on the previous day, where


                                          1   12                        
                                   Sn =  --  <3-  Pi                    
                                              l                         
                                          6  i=7                        
                                                                        


n indicates the n-th test day, and i indicates the i-th reading on the 
n-th test day.
    (C) Both USD and MSD must be equal to or less than the respective 
specifications given in Table B-1 to pass the test for span draft.
    (iii) Lag time. Determine, from the strip chart, the elapsed time in 
minutes between the mark made in step (xxvi) and the first observable 
(two times the noise level) response. This time must be equal to or less 
than the time specified in Table B-1 to pass the test for lag time.
    (iv) Rise time. Calculate 95 percent of reading P9 and 
determine from the recorder chart, the elapsed time between the first 
observable (two times noise level) response and a response equal to 95 
percent of the P9 reading. This time must be equal to or less than 
the rise time specified in Table B-1 to pass the test for rise time.
    (v) Fall time. Calculate five percent of (P10-L2) and 
determine, from the strip chart, the elapsed time in minutes between the 
first observable decrease in response following reading P10 and a 
response equal to five percent of (P10-L2). This time must be 
equal to or less than the fall time specification in Table B-1 to pass 
the test for fall time.
    (vi) Precision. Calculate precision (P20 and P80) for each 
day's test as follows:


 53-17A.eps


 53-17B.eps


[[Page 27]]


    (C) Both P20 and P80 must be equal to or less than the 
specification given in Table B-1 to pass the test for precision.

[40 FR 7049, Feb. 18, 1975, as amended at 41 FR 52694, Dec. 1, 1976]

   Appendix A to Subpart B--Optional Forms for Reporting Test Results 

                  Table B-5--Symbols and Abbreviations                  
                                                                        
                                                                        
                                                                        
BL............................  Analyzer reading at specified LDL       
                                 concentration.                         
Bz............................  Analyzer reading at 0 concentration for 
                                 LDL test.                              
DM............................  Digital meter.                          
Cmax..........................  Maximum analyzer reading during 12 ZD   
                                 test.                                  
Cmin..........................  Minimum analyzer reading during 12 ZD   
                                 test.                                  
i.............................  Subscript indicating the i-th quantity  
                                 in a series.                           
IE............................  Interference equivalent.                
L1............................  First analyzer zero reading for 24 ZD   
                                 test.                                  
L2............................  Second analyzer zero reading for 24 ZD  
                                 test.                                  
Mn............................  Average of P1 . . . P6 for the n-th test
                                 day.                                   
M'n...........................  Adjusted span reading at 20 percent of  
                                 URL on the n-th test day.              
MSD...........................  Span drift at 20 percent of URL.        
n.............................  Subscript indicating the test day       
                                 number.                                
P.............................  Analyzer reading for precision test.    
Pi............................  The i-th analyzer reading for precision 
                                 test.                                  
P20...........................  Precision at 20 percent of URL.         
P80...........................  Precision at 80 percent of URL.         
R.............................  Analyzer reading of pollutant alone for 
                                 IE test.                               
RI............................  Analyzer reading with interferent added 
                                 for IE test.                           
ri............................  The i-th DM reading for noise test.     
S.............................  Standard deviation of noise readings.   
S0............................  Noise value (S) measured at 0           
                                 concentration.                         
S80...........................  Noise value (S) measured at 80 percent  
                                 of URL.                                
Sn............................  Average of P7 . . . P12 for the n-th    
                                 test day.                              
S'n...........................  Adjusted span reading at 80 percent of  
                                 URL on the n-th test day.              
URL...........................  Upper range limit.                      
USD...........................  Span drift at 80 percent of URL.        
Z.............................  Average of L1!and L2.                   
Zn............................  Average of L1 and L2 on the n-th test   
                                 day.                                   
Z'n...........................  Adjusted zero reading on the n-th test  
                                 day.                                   
ZD............................  Zero drift.                             
12ZD..........................  12-hour zero drift.                     
24ZD..........................  24-hour zero drift.                     
                                                                        

                                
                                














[[Page 33]]



 Subpart C--Procedures for Determining Comparability Between Candidate 
                      Methods and Reference Methods

    Authority: Secs. 110, 301(a), Clean Air Act, as amended (42 U.S.C. 
7410, 7601).



Sec. 53.30   General provisions.

    (a) Determination of comparability. The test procedures prescribed 
in this subpart shall be used to determine if a candidate method is 
comparable to a reference method when both methods measure pollutant 
concentrations in ambient air.
    (1) Comparability is shown for SO2, CO, O3, and NO2 
methods when the differences between:
    (i) Measurements made by a candidate manual method or by a test 
analyzer representative of a candidate automated method, and
    (ii) Measurements made simultaneously by a reference method, are 
less than or equal to the values specified in the last column of Table 
C-1.
    (2) Comparability is shown for lead methods when the differences 
between: (i) Measurements made by a candidate method, and (ii) 
measurements made by the reference method on simultaneously collected 
lead samples (or the same sample, if applicable), are less than or equal 
to the value specified in Table C-3.
    (3) Comparability is shown for PM10 methods when the 
relationship between: (i) Measurements made by a candidate method, and 
(ii) measurements made by a reference method on simultaneously collected 
PM10 samples (or the same sample, if applicable) at each of two 
test sites, is such that the linear regression parameters (slope, 
intercept, and correlation coefficient) describing the relationship meet 
the values specified in Table C-4.
    (b) Selection of test sites--(1) All methods. Each test site shall 
be in a predominately urban area which can be shown to have at least 
moderate concentrations of various pollutants. The site shall be clearly 
identified and shall be justified as an appropriate test site with 
suitable supporting evidence such as maps, population density data, 
vehicular traffic data, emission inventories, pollutant measurements 
from previous years, concurrent pollutant measurements, and wind or 
weather data. If desired, a request for approval of the test site or 
sites may be submitted prior to conducting the tests. The Administrator 
may in his discretion select a different site (or sites) for any 
additional tests he decides to conduct.
    (2) Methods for SO2, CO, O3, and NO2. All test 
measurements are to be made at the same test site. If necessary, the 
concentration of pollutant in the sampled ambient air may be augmented 
with artificially generated pollutant to facilitate measurements in the 
specified ranges. (See paragraph (d)(2) of this section.)
    (3) Methods for lead. Test measurements may be made at any number of 
test sites. Augmentation of pollutant concentrations is not permitted, 
hence an appropriate test site or sites must be selected to provide lead 
concentrations in the specified range. Test sites for lead measurements 
must be located near a heavily traveled roadway.
    (4) Methods for PM10. Test measurements must be made at, or 
derived from particulate samples collected at, not less than two test 
sites, each of which must be located in a geographical area 
characterized by ambient particulate matter that is significantly 
different in nature and composition from that at the other test site(s). 
Augmentation of pollutant concentrations is not permitted, hence 
appropriate test sites must be selected to provide PM10 
concentrations in the specified range.
    (c) Test atmosphere. Ambient air sampled at an appropriate test site 
or sites shall be used for these tests. Simultaneous concentration 
measurements shall be made in each of the concentration ranges specified 
in Table C-1, C-3, or C-4, as appropriate.
    (d) Sample collection--(1) All methods. All test concentration 
measurements or samples shall be taken in such a way that both the 
candidate method and the reference method receive air samples that are 
homogenous or as nearly identical as practical.
    (2) Methods for SO2, CO, O3, and NO2. Ambient air 
shall be sampled from a common intake and distribution manifold designed 
to deliver homogenous

[[Page 34]]

air samples to both methods. Precautions shall be taken in the design 
and construction of this manifold to minimize the removal of 
particulates and trace gases, and to insure that identical samples reach 
to two methods. If necessary, the concentration of pollutant in the 
sampled ambient air may be augmented with artificially generated 
pollutant. However, at all times the air sample measured by the 
candidate and reference methods under test shall consist of not less 
than 80 percent ambient air by volume. Schematic drawings, physical 
illustrations, descriptions, and complete details of the manifold system 
and the augmentation system (if used) shall be submitted.
    (3) Methods for lead and PM10. The ambient air intake points of 
the candidate and reference method samplers for lead or PM10 shall 
be located at the same height, and between 2 and 4 meters apart. The 
samplers shall be oriented in a manner that will minimize spatial and 
wind directional effects on sample collection.
    (4) Methods employing a common sampling procedure. Candidate methods 
which employ a sampler and sample collection procedure that are 
identical to the sampler and sample collection procedure specified in 
the reference method may be tested by analyzing common samples. The 
common samples shall be collected according to the sample collection 
procedure specified by the reference method and shall be analyzed in 
accordance with the analytical procedures of both the candidate method 
and the reference method.
    (e) Submission of test data and other information. All recorder 
charts, calibration data, records, test results, procedural descriptions 
and details, and other documentation obtained from (or pertinent to) 
these tests shall be identified, dated, signed by the analyst performing 
the test, and submitted.

[44 FR 37916, June 29, 1979 and 52 FR 24728, July 1, 1987]



Sec. 53.31  Test conditions.

    (a) All methods. All test measurements made or test samples 
collected by means of a sample manifold as specified in Sec. 53.30(d)(2) 
shall be at a room temperature between 20 deg. and 30 deg. C, and at a 
line voltage between 105 and 125 volts. All methods shall be calibrated 
as specified in paragraph (c) of this section prior to initiation of the 
tests.
    (b) Samplers and automated methods. Set-up and start-up of the test 
analyzer, test sampler(s), and reference method (if applicable) shall be 
in strict accordance with the applicable operation manual(s). If the 
test analyzer does not have an integral strip chart recorder, connect 
the analyzer output to a suitable strip chart recorder of the servo, 
null-balance type. This recorder shall have a chart width of at least 25 
centimeters, a response time of 1 second or less, a deadband of not more 
than 0.25 percent of full scale, and capability of either reading 
measurements at least 5 percent below zero or offsetting the zero by at 
least 5 percent.

    Note: Other data acquisition components may be used along with the 
chart recorder during the conduct of these tests. Use of the chart 
recorder is intended only to facilitate evaluation of data submitted.

Allow adequate warmup or stabilization time as indicated in the 
applicable operation manual(s) before beginning the tests.
    (c) Calibration. The reference method shall be calibrated according 
to the appropriate appendix to part 50 of this chapter (if it is a 
manual method) or according to the applicable operation manual(s) (if it 
is an automated method). A candidate manual method (or portion thereof) 
shall be calibrated if such calibration is a part of the method.
    (d) Range. (1) Except as provided in paragraph (d)(2) of this 
section, each method shall be operated in the range specified for the 
reference method in the appropriate appendix to part 50 (for manual 
reference methods), or specified in table B-1 of this part (for 
automated reference methods).
    (2) For a candidate method having more than one selectable range, 
one range must be that specified in Table B-1 and a test analyzer 
representative of the method must pass the tests required by this 
subpart while operated in that range. The tests may be repeated for a 
broader range (i.e., one extending to higher concentrations) than

[[Page 35]]

the one specified in Table B-1, provided that the range does not extend 
to concentrations more than two times the upper range limit specified in 
Table B-1 and that the test analyzer has passed the tests required by 
Subpart B of this part (if applicable) for the broader range. If the 
tests required by this subpart are conducted or passed only for the 
range specified in Table B-1, any equivalent method determination with 
respect to the method will be limited to that range. If the tests are 
passed for both the specified range and a broader range (or ranges), any 
such determination will include the broader range(s) as well as the 
specified range. Appropriate test data shall be submitted for each range 
sought to be included in such a determination.
    (e) Operation of automated methods. (1) Once the test analyzer has 
been set up and calibrated and tests started, manual adjustment or 
normal periodic maintenance is permitted only every 3 days. Automatic 
adjustments which the test analyzer performs by itself are permitted at 
any time. At 3-day intervals only adjustments and periodic maintenance 
as specified in the manual referred to in Sec. 53.4(b)(3) are permitted. 
The submitted records shall show clearly when manual adjustments were 
made and describe the operations performed.
    (2) All test measurements shall be made with the same test analyzer; 
use of multiple test analyzers is not permitted. The test analyzer shall 
be operated continuously during the entire series of test measurements.
    (3) If a test analyzer should malfunction during any of these tests, 
the entire set of measurements shall be repeated, and a detailed 
explanation of the malfunction, remedial action taken, and whether 
recalibration was necessary (along with all pertinent records and 
charts) shall be submitted.

[40 FR 7049, Feb. 18, 1975, as amended at 40 FR 18169, Apr. 25, 1975; 44 
FR 37917, June 29, 1979; 52 FR 24728, July 1, 1987]



Sec. 53.32  Test procedures for methods for SO2, CO, O3, and NO2.

    (a) Conduct the first set of simultaneous measurements with the 
candidate and reference methods:
    (1) Table C-1 specifies the type (1- or 24-hour) and number of 
measurements to be made in each of the three test concentration ranges.
    (2) The pollutant concentration must fall within the specified range 
as measured by the reference method.
    (3) The measurements shall be made in the sequence specified in 
Table C-2, except for the 1-hour SO2 measurements, which are all in 
the high range.
    (b) For each pair of measurements, determine the difference 
(discrepancy) between the candidate method measurement and reference 
method measurement. A discrepancy which exceeds the discrepancy 
specified in Table C-1 constitutes a failure. (See Figure C-1 in 
appendix A for a suggested format for reporting the test results).
    (c) The results of the first set of measurements shall be 
interpreted as follows:
    (1) Zero (0) failures: The candidate method passes the test for 
comparability.
    (2) Three (3) or more failures: The candidate method fails the test 
for comparability.
    (3) One (1) or two (2) failures: Conduct a second set of 
simultaneous measurements as specified in Table C-1. The results of the 
combined total of first-set and second-set measurements shall be 
interpreted as follows:
    (i) One (1) or two (2) failures: The candidate method passes the 
test for comparability.
    (ii) Three (3) or more failures: The candidate method fails the test 
for comparability.
    (4) For sulfur dioxide, the 1-hour and 24-hour measurements shall be 
interpreted separately, and the candidate method must pass the tests for 
both 1-and 24-hour measurements to pass the test for comparability.
    (d) A 1-hour measurement consists of the integral of the 
instantaneous concentration over a 60-minute continuous period divided 
by the time period. Integration of the instantaneous concentration may 
be performed by any appropriate means such as chemical, electronic, 
mechanical, visual judgment, or by calculating the mean of not less than 
12 equally spaced instantaneous readings. Appropriate allowances or 
corrections shall be made in

[[Page 36]]

cases where significant errors could occur due to characteristic lag 
time or rise/fall-time differences between the candidate and reference 
methods. Details of the means of integration and any corrections shall 
be submitted.
    (e) A 24-hour measurement consists of the integral of the 
instantaneous concentration over a 24-hour continuous period divided by 
the time period. This integration may be performed by any appropriate 
means such as chemical, electronic, mechanical, or by calculating the 
mean of twenty-four (24) sequential 1-hour measurements.
    (f) For oxidant and carbon monoxide, no more than six (6) 1-hour 
measurements shall be made per day. For sulfur dioxide, no more than 
four (4) 1-hour measurements or one (1) 24-hour measurement shall be 
made per day. One-hour measurements may be made concurrently with 24-
hour measurements if appropriate.
    (g) For applicable methods, control or calibration checks may be 
performed once per day without adjusting the test analyzer or method. 
These checks may be used as a basis for a linear interpolation-type 
correction to be applied to the measurements to correct for drift. If 
such a correction is used, it shall be applied to all measurements made 
with the method, and the correction procedure shall become a part of the 
method.

  Table C-1--Test Concentration Ranges, Number of Measurements Required, and Maximum Discrepancy Specification  
----------------------------------------------------------------------------------------------------------------
                                                          Simultaneous measurements required                    
                                                     --------------------------------------------     Maximum   
                                     Concentration            1-hr                  24-hr           discrepancy 
            Pollutant              range, parts per  -------------------------------------------- specification,
                                        million                    Second                Second      parts per  
                                                      First set     set     First set     set         million   
----------------------------------------------------------------------------------------------------------------
Oxidants........................  Low 0.06 to 0.10..          5          6  .........  .........           0.02 
                                  Med 0.15 to 0.25..          5          6  .........  .........            .03 
                                  High 0.35 to 0.45.          4          6  .........  .........            .04 
                                 -------------------------------------------------------------------------------
    Total.......................  ..................         14         18  .........  .........  ..............
                                 -------------------------------------------------------------------------------
Carbon monoxide.................  Low 7 to 11.......          5          6  .........  .........            1.5 
                                  Med 20 to 30......          5          6  .........  .........            2.0 
                                  High 35 to 45.....          4          6  .........  .........            3.0 
                                 -------------------------------------------------------------------------------
    Total.......................  ..................         14         18  .........  .........  ..............
                                 -------------------------------------------------------------------------------
Sulfur dioxide..................  Low 0.02 to 0.05..  .........  .........          3          3           0.02 
                                  Med 0.10 to 0.15..  .........  .........          2          3            .03 
                                  High 0.30 to 0.50.          7          8          2          2            .04 
                                 -------------------------------------------------------------------------------
    Total.......................  ..................          7          8          7          8  ..............
                                 -------------------------------------------------------------------------------
Nitrogen dioxide................  Low 0.02 to 0.08..  .........  .........          3          3           0.02 
                                  Med 0.10 to 0.20..  .........  .........          2          3            .02 
                                  High 0.25 to 0.35.  .........  .........          2          2            .03 
                                 -------------------------------------------------------------------------------
    Total.......................  ..................  .........  .........          7          8  ..............
----------------------------------------------------------------------------------------------------------------


                Table C-2--Sequence of Test Measurements                
------------------------------------------------------------------------
                                          Concentration range           
         Measurement         -------------------------------------------
                                    First set            Second set     
------------------------------------------------------------------------
1...........................  Low.................  Medium.             
2...........................  High................  High.               
3...........................  Medium..............  Low.                
4...........................  High................  High.               
5...........................  Low.................  Medium.             
6...........................  Medium..............  Low.                
7...........................  Low.................  Medium.             
8...........................  Medium..............  Low.                
9...........................  High................  High.               
10..........................  Medium..............  Low.                
11..........................  High................  Medium.             
12..........................  Low.................  High.               
13..........................  Medium..............  Medium.             
14..........................  Low.................  High.               
15..........................  ....................  Low.                
16..........................  ....................  Medium.             
17..........................  ....................  Low.                
18..........................  ....................  High.               
------------------------------------------------------------------------


[[Page 37]]

[40 FR 7049, Feb. 18, 1975, as amended at 41 FR 52693, Dec. 12, 1976; 44 
FR 37917, June 29, 1979; 52 FR 24728, July 1, 1987]



Sec. 53.33  Test procedure for methods for lead.

    (a) Sample collection. Collect simultaneous 24-hour samples 
(filters) of lead at the test site or sites with both the reference and 
candidate methods until at least 10 filter pairs have been obtained. If 
the conditions of Sec. 53.30(d)(4) apply, collect at least 10 common 
samples (filters) in accordance with Sec. 53.30(d)(4) and divide each to 
form the filter pairs.
    (b) Audit samples. Three audit samples must be obtained from the 
Director, Quality Assurance Division (MD-77), Environmental Monitoring 
Systems Laboratory, U.S. Environmental Protection Agency, Research 
Triangle Park, NC 27711. The audit samples are \3/4\  x  8-inch glass 
fiber strips containing known amounts of lead at the following nominal 
levels: 100 g/strip; 300 g/strip; 750 g/
strip. The true amount of lead in total g/strip will be 
provided with each audit sample.
    (c) Filter analysis. (1) For both the reference method and the audit 
samples, analyze each filter extract 3 times in accordance with the 
reference method analytical procedure. The analysis of replicates should 
not be performed sequentially (i.e., and single sample should not be 
analyzed three times in sequence). Calculate the indicated lead 
concentratons for the reference method samples in g/m3 for 
each analysis of each filter. Calculate the indicated total lead amount 
for the audit samples in g/strip for each analysis of each 
strip. Label these test results as R1A, R1B, R1C, 
R2A, R2B, . . ., Q1A, Q1B, 1C, . . . ., where R 
denotes results from the reference method samples; Q denotes results 
from the audit samples; 1, 2, 3 indicates filter number and A, B, C 
indicates the first, second, and third analysis of each filter, 
respectively.
    (2) For the candidate method samples, analyze each sample filter or 
filter extract three times and calculate, in accordance with the 
candidate method, the indicated lead concentration in g/m3 
for each analysis of each filter. Label these test results as C1A, 
C1B, C2C, . . ., where C denotes results from the candidate 
method. (For candidate methods which provide a direct measurement of 
lead concentrates without a separable procedure, 
C1A=C1B=C1C, C2A=C2B=C2C, etc.)
    (d) For the reference method, calculate the average lead 
concentration for each filter by averaging the concentrations calculated 
from the three analyses:

                                                                                                                
                                                              RiA+RiB+RiC                                       
                                                Ri ave = -------------------- ,                                 
                                                                   3                                            
                                                                                                                

where i is the filter number.

    (e) Disregard all filter pairs for which the lead concentration as 
determined in the previous paragraph (d) by the average of the three 
reference method determinations, falls outside the range of 0.5 to 4.0 
g/m3. All remaining filter pairs must be subjected to both 
of the following tests for precision and comparability. At least five 
filter pairs must be within the 0.5 to 4.0 g/m3 range for 
the tests to be valid.
    (f) Test for precision. (1) Calculate the precision (P) of the 
analysis (in percent) for each filter and for each method, as the 
maximum minus the minimum divided by the average of the three 
concentration values, as follows:

                                                                                                                
                                                        Ri max-Ri min                                           
                                              PRi =  ------------------  x 100%,                                
                                                           Ri ave                                               
                                                                                                                

or

                                                                                                                
                                                        Ci max-Ci min                                           
                                              PCi =  ------------------  x 100%,                                
                                                           Ci ave                                               
                                                                                                                

where i indicates the filter number.

    (2) If any reference method precision value (PRi) exceeds 15 
percent, the precision of the reference method analytical procedure is 
out of control. Corrective action must be taken to determine the 
source(s) of imprecision and the reference method determinations must be 
repeated according to paragraph (c) of this section, or the entire test 
procedure (starting with paragraph (a)) must be repeated.
    (3) If any candidate method precision value (PCi) exceeds 15 
percent, the candidate method fails the precision test.
    (4) The candidate method passes this test if all precision values 
(i.e., all

[[Page 38]]

PRi's and all PCi's) are less than 15 percent.
    (g) Test for accuracy. (1) For the audit samples calculate the 
average lead concentration for each strip by averaging the 
concentrations calculated from the three analyses:

                                                                                                                
                                                              QiA+QiB+QiC                                       
                                                Qi ave = -------------------- ,                                 
                                                                   3                                            
                                                                                                                

where i is audit sample number.

    Calculate the percent difference (Dq) between the indicated 
lead concentration for each audit sample and the true lead concentration 
(Tq) as follows:

                                                                                                                
                                                          Qi ave-Tqi                                            
                                                Dqi =  ----------------   x 100                                 
                                                              Tqi                                               
                                                                                                                

    (2) If any difference value (Dqi) exceeds plus-minus5 
percent the accuracy of the reference method analytical procedure is out 
of control. Corrective action must be taken to determine the source of 
the error(s) (e.g., calibration standard discrepancies, extraction 
problems, etc.) and the reference method and audit sample determinations 
must be repeated according to paragraph (c) of this section or the 
entire test precedure (starting with paragraph (a)) must be repeated.
    (h) Test for comparability. (1) For each filter pair, calculate all 
nine possible percent differences (D) between the reference and 
candidate methods, using all nine possible combinations of the three 
determinations (A, B, and C) for each method, as:

                                                                                                                
                                                           Cij-Rik                                              
                                                Din=  -----------------  x 100%,                                
                                                             Rik                                                
                                                                                                                

where

i is the filter number, and n

numbers from 1 to 9 for the nine possible difference combinations for 
the three determinations for each method (j= A, B, C, candidate; k= A, 
B, C, reference).

    (2) If none of the percent differences (D) exceed 20 
percent, the candidate method passes the test for comparability.
    (3) If one or more of the percent differences (D) exceed 
20 percent, the candidate method fails the test for 
comparability.
    (i) The candidate method must pass both the precision test and the 
comparability test to qualify for designation as an equivalent method.

             Table C-3--Test Specifications for Lead Methods            
------------------------------------------------------------------------
                                                                        
------------------------------------------------------------------------
Concentration range, g/m3.............................  0.5-4.0
Minimum number of 24-hr measurements...........................        5
Maximum analytical precision, percent..........................       15
Maximum analytical accuracy, percent...........................  plus-mi
                                                                      n5
Maximum difference, percent of reference method................  plus-mi
                                                                     n20
------------------------------------------------------------------------

[44 FR 37917, June 29, 1979, as amended at 52 FR 24728, July 1, 1987]



Sec. 53.34  Test procedure for methods for PM10.

    (a) Sample collection. Using three reference method samplers 
collocated with three candidate method samplers, collect a minimum of 15 
sets of simultaneous 24-hour PM10 samples at each of two test sites 
(i.e., a minimum of 30 sets of samples, each consisting of three 
reference method and three candidate method samples collected 
simultaneously, 180 samples total). If the conditions of 
Sec. 53.30(d)(4) apply, collect sample sets only with the three 
reference method samplers.
    (b) Sample analysis. Analyze each sample (or the same sample if 
Sec. 53.30(d)(4) applies) according to the reference method or candidate 
method, as appropriate, and determine the PM10 concentration in 
g/m\3\.
    (c) Test for comparability. (1) For each of the sample sets, 
calculate the average PM10 concentration obtained with the 
reference method samplers:


 53-38a.eps
where R denotes results from the reference method, i is the sampler 
number, and j is the set.

[[Page 39]]
[[Page 32]]


    (3) If Rj falls outside the acceptable concentration range 
specified in Table C-4 for any set, or if Pj or RPj, as 
applicable, exceeds the value specified in Table C-4 for any set, that 
set of samples shall be discarded. For each site, at least three of the 
sample sets shall have Rj values below 80 g/m\3\ and at 
least three of the sample sets shall have Rj values above 80 
g/m\3\. Additional sample sets shall be collected and analyzed, 
as necessary, to provide a minimum of 10 acceptable sample sets for each 
site. If more than 10 sample sets meet the above criteria, all such 
sample sets shall be used to demonstrate comparability.
    (4) For each of the acceptable sample sets, calculate the average 
PM10 concentration obtained with the candidate method samplers:


 53-38c.eps
where C denotes results from the candidate method, i is the sampler 
number, and j is the set.
    (5) For each site, plot the average PM10 measurements obtained 
with the candidate method (Cj) against the corresponding average 
PM10 measurements obtained with the reference method (Rj). For 
each site, calculate and record the linear regression slope and 
intercept, and the correlation coefficient.
    (6) If the linear regression parameters calculated above meet the 
values specified in Table C-4 for each test site, the candidate method 
passes the test for comparability.

             Table C-4--Test Specifications for PM10 Methods            
------------------------------------------------------------------------
                                                                        
------------------------------------------------------------------------
Acceptable concentration range, g/    30 to 500.               
 m\3\.                                                                  
Minimum number of test sites.................  2.                       
Number of candidate method samplers per site.  3.                       
Number of reference method samplers per site.  3.                       
Minimum number of 24-hour samples per sampler  15.                      
 per site.                                                              
Minimum number of acceptable sample sets per   10.                      
 site.                                                                  
Precision of replicate reference method        5 g/m\3\ or 7   
 measurements.                                  percent.                
Slope of regression relationship.............  10.1.        
Intercept of regression relationship, 5.          
 m>g/m\3\.                                                              
Correlation of reference method and candidate  0.97.                    
 method measurements.                                                   
------------------------------------------------------------------------

[52 FR 24729, July 1, 1987]

[[Page 40]]

    Appendix A to Subpart C--Optional Form For Reporting Test Results



[[Page 41]]





Subpart D--Procedures for Testing Performance Characteristics of Methods 
                              for PM10

    Source: 52 FR 24729, July 1, 1987, unless otherwise noted.



Sec. 53.40   General provisions.

    (a) The test procedures prescribed in this subpart shall be used to 
test the performance of candidate methods for PM10 against the 
performance specifications given in Table D-1. Except as provided in 
paragraph (b) of this section, a test sampler or samplers representative 
of the sampler described in the candidate method must exhibit 
performance better than, or equal to, the specified value for each 
performance parameter, to satisfy the requirements of this subpart.
    (b) For a candidate method using a PM10 sampler previously 
approved as part of a designated PM10 method, only the test for 
precision need be conducted and passed to satisfy the requirements of 
this subpart. For a candidate method using a PM10 sampler inlet 
previously approved as part of a designated PM10 method, the tests 
for precision and flow rate stability must be conducted and passed to 
satisfy the requirements of this subpart; the tests for sampling 
effectiveness and 50 percent cutpoint need not be conducted if suitable 
rationale is provided to demonstrate that test results submitted for the 
previously approved method are applicable to the candidate method.
    (c) The liquid particle sampling effectiveness and 50 percent 
cutpoint of a test sampler shall be determined in a wind tunnel using 10 
particle sizes and three wind speeds as specified in Table D-2. A 
minimum of 3 replicate measurements of sampling effectiveness shall be 
required for each of the 30 test conditions for a minimum of 90 test 
measurements.
    (d) For the liquid particle sampling effectiveness parameter, a 
smooth curve plot shall be constructed of sampling effectiveness 
(percent) versus aerodynamic particle diameter (m) for each of 
the three wind speeds. These plots shall be used to calculate the 
expected mass concentration for the test sampler, using the procedure in 
Sec. 53.43(a). The candidate method passes the liquid particle sampling 
effectiveness test if the expected mass concentration calculated for the 
test sampler at each wind speed differs by no more than 10 
percent from that predicted for the ``ideal'' sampler.*
---------------------------------------------------------------------------

    * The sampling effectiveness curve for this ``ideal'' sampler is 
described by column 5 of Table D-3 and is based on a model that 
approximates the penetration of particles into the human respiratory 
tract. Additional information on this model may be found in a document 
entitled, ``Particle Collection Criteria for 10 Micrometer Samplers,'' 
which is available from the Quality Assurance Division (MD-77), 
Environmental Monitoring Systems Laboratory, U.S. Environmental 
Protection Agency, Research Triangle Park, NC 27711.
---------------------------------------------------------------------------

    (e) For the 50 percent cutpoint parameter, the test result for each 
wind speed shall be reported as the particle size at which the curve 
specified in Sec. 53.40(d) crosses the 50 percent effectiveness line. 
The candidate method passes the 50 percent cutpoint test if the test 
result at each wind speed falls within 100.5 m.
    (f) The solid particle sampling effectiveness of a test sampler 
shall be determined in a wind tunnel using 25 m particles at 2 
wind speeds as specified in Table D-2. A minimum of three replicate 
measurements of sampling effectiveness for the 25 m solid 
particles shall be required at both wind speeds for a minimum of 6 test 
measurements.
    (g) For the solid particle sampling effectiveness parameter, the 
test result for each wind speed shall be reported as the difference 
between the average of the replicate sampling effectiveness measurements 
obtained for the 25 m solid particles and the average of the 
replicate measurements obtained for the 25 m liquid particles. 
The candidate method passes the solid particle sampling effectiveness 
test if the test result for each wind speed is less than, or equal to, 5 
percent.
    (h) The precision and flow rate stability of three identical test 
samplers shall be determined at a suitable test site by simultaneously 
sampling the PM10 concentration of the atmosphere for 10 periods of 
24 hours.
    (i) For the precision parameter, the test result for each of the 10 
periods of 24 hours shall be calculated using the

[[Page 42]]

procedure in Sec. 53.43(c). The candidate method passes the precision 
test if all of the test results meet the specifications in Table D-1.
    (j) For the flow rate stability parameter, the test results for each 
of the three test samplers and for each of the 10 periods of 24 hours 
shall be calculated using the procedure in Sec. 53.43(d). The candidate 
method passes the flow rate stability test if all of the test results 
meet the specifications in Table D-1.
    (k) All test data and other documentation obtained from or pertinent 
to these tests shall be identified, dated, signed by the analyst 
performing the test, and submitted to EPA.

         Table D-1--Performance Specifications for PM10 Samplers        
------------------------------------------------------------------------
     Performance parameter            Units            Specification    
------------------------------------------------------------------------
1. Sampling effectiveness:                                              
  A. Liquid particles.........  Percent..........  Such that the        
                                                    expected mass       
                                                    concentration is    
                                                    within 10 percent of 
                                                    that predicted for  
                                                    the ideal sampler.  
  B. Solid particles..........  Percent..........  Sampling             
                                                    effectiveness is no 
                                                    more than 5 percent 
                                                    above that obtained 
                                                    for liquid particles
                                                    of same size.       
2. 50 Percent cutpoint          m.......  100.5    
                                                    m          
                                                    aerodynamic         
                                                    diameter.           
3. Precision                    g/m\3\    5 g/m\3\ or 
                                 or percent.        7 percent for three 
                                                    collocated samplers.
4. Flow rate stability          Percent..........  Average flow rate    
                                                    over 24 hours within
                                                    5       
                                                    percent of initial  
                                                    flow rate; all      
                                                    measured flow rates 
                                                    over 24 hours within
                                                    10      
                                                    percent of initial  
                                                    flow rate.          
------------------------------------------------------------------------



Sec. 53.41  Test conditions.

    (a) Set-up and start-up of all test samplers shall be in strict 
accordance with the operating instructions specified in the manual 
referred to in Sec. 53.4(b)(3).
    (b) If the internal surface or surfaces of the candidate method's 
sampler inlet on which the particles removed by the inlet are collected 
is a dry surface (i.e., not normally coated with oil or grease), those 
surfaces shall be cleaned prior to conducting wind tunnel tests with 
solid particles.
    (c) Once the test sampler or samplers have been set up and the 
performance tests started, manual adjustment shall be permitted only 
between test points for the sampling effectiveness and 50 percent 
cutpoint tests or between test days for the precision and flow rate 
stability tests. The manual adjustments and any periodic maintenance 
shall be limited to only those procedures prescribed in the manual 
referred to in Sec. 53.4(b)(3). The submitted records shall show clearly 
when any manual adjustment or periodic maintenance was made and shall 
describe the operations performed.
    (d) If a test sampler malfunctions during any of the sampling 
effectiveness and 50 percent cutpoint tests, that test run shall be 
repeated. If a test sampler malfunctions during any of the precision and 
flow rate stability tests, that day's test shall be repeated. A detailed 
explanation of all malfunctions and the remedial actions taken shall be 
submitted to EPA with the application.



Sec. 53.42  Generation of test atmospheres for wind tunnel tests.

    (a) A vibrating orifice aerosol generator shall be used to produce 
monodispersed liquid particles of oleic acid tagged with uranine dye and 
monodispersed solid particles of ammonium fluoroscein with equivalent 
aerodynamic diameters as specified in Table D-2. The geometric standard 
deviation for each particle size and type generated shall not exceed 1.1 
(for primary particles) and the proportion of multiplets (doublets and 
triplets) in a test particle atmosphere shall not exceed 10 percent. The 
particle delivery system shall consist of a blower system and a wind 
tunnel having a test section of sufficiently large cross-sectional area 
such that the test sampler, or portion thereof, as installed in the test 
section for testing, blocks no more than 15 percent of that area. To be 
acceptable, the blower system must be capable of achieving uniform wind 
speeds at the speeds specified in Table D-2.

[[Page 43]]



  Table D-2--Particle Sizes and Wind Speeds for Sampling Effectiveness  
                                  Tests                                 
------------------------------------------------------------------------
                                             Wind speed (km/hr)         
   Particle size (m) a    -------------------------------------
                                        2            8            24    
------------------------------------------------------------------------
30.5..................  l          l             l          
50.5..................  l          l             l          
70.5..................  l          l             l          
90.5..................  l          l             l          
100.5.................  l          l             l          
110.5.................  l          l             l          
131.0.................  l          l             l          
151.0.................  l          l             l          
201.0.................  l          l             l          
251.0.................  l          l/s           l/s        
------------------------------------------------------------------------
a Mass median aerodynamic diameter.                                     
l=liquid particle.                                                      
s=solid particle.                                                       
Number of liquid particle test points (minimum of 3 replicates for each 
  combination of particle size and wind speed): 90.                     
Number of solid particle test points (minimum of 3 replicates for each  
  combination of particle size and wind speed): 6.                      
Total number of test points: 96.                                        

    (b) The size of the test particles delivered to the test section of 
the wind tunnel shall be established using the operating parameters of 
the vibrating orifice aerosol generator and shall be verified during the 
tests by microscopic examination of samples of the particles collected 
on glass slides or other suitable substrates. When sizing liquid 
particles on glass slides, the slides should be pretreated with an 
oleophobic surfactant and an appropriate flattening factor shall be used 
in the calculation of aerodynamic diameter. The particle size, as 
established by the operating parameters of the vibrating orifice aerosol 
generator, shall be within the tolerance specified in Table D-2. The 
precision of the particle size verification technique shall be 0.5 
m or better, and particle size determined by the verification 
technique shall not differ by more than 0.5 m or 10 percent, 
whichever is higher, from that established by the operating parameters 
of the vibrating orifice aerosol generator.
    (c) The population of multiplets in a test particle atmosphere shall 
be determined during the tests and shall not exceed 10 percent. Solid 
particles shall be checked for dryness and evidence of breakage or 
agglomeration during the microscopic examination. If the solid particles 
in a test atmosphere are wet or show evidence of significant breakage or 
agglomeration (>5 percent), the solid particle test atmosphere is 
unacceptable for purposes of these tests.
    (d) The concentration of particles in the wind tunnel is not 
critical. However, the cross-sectional uniformity of the particle 
concentration in the sampling zone of the test section shall be 
established during the tests using isokinetic samplers. An array of not 
less than five evenly spaced isokinetic samplers shall be used to 
determine the particle concentration uniformity in the sampling zone. If 
the particle concentration measured by any single isokinetic sampler in 
the sampling zone differs by more than 10 percent from the mean 
concentration, the particle delivery system is unacceptable in terms of 
uniformity of particle concentration. The sampling zone shall be a 
rectangular area having a horizontal dimension not less than 1.2 times 
the width of the test sampler at its inlet opening and a vertical 
dimension not less than 25 centimeters. The sampling zone is an area in 
the test section of the wind tunnel that is horizontally and vertically 
symmetrical with respect to the test sampler inlet opening.
    (e) The wind speed in the wind tunnel shall be determined during the 
tests using an appropriate technique capable of a precision of 5 percent 
or better (e.g., hot-wire anemometry). The mean wind speed in the test 
section of the wind tunnel during the tests shall be within 10 percent 
of the value specified in Table D-2. The wind speed measured at any test 
point in the test section shall not differ by more than 10 percent from 
the mean wind speed in the test section. The turbulence intensity 
(longitudinal component and macroscale) in the test section shall be 
determined during the tests using an appropriate technique (e.g., hot-
wire anemometry).
    (f) The accuracy of all flow measurements used to calculate the test 
atmosphere concentrations and the test results shall be documented to be 
within 2 percent, referenced to a primary standard. Any flow 
measurement corrections shall be clearly shown. All flow measurements 
shall be given in actual volumetric units.
    (g) Schematic drawings of the particle delivery system (wind tunnel 
and blower system) and other information showing complete procedural 
details of the test atmosphere generation, verification, and delivery 
techniques shall

[[Page 44]]

be submitted to EPA. All pertinent calculations shall be clearly 
presented.



Sec. 53.43  Test procedures.

    (a) Sampling effectiveness--(1) Technical definition. The ratio 
(expressed as a percentage) of the mass concentration of particles of a 
given size reaching the sampler filter or filters to the mass 
concentration of particles of the same size approaching the sampler.
    (2) Test procedure. (i) Establish a wind speed specified in Table D-
2 and measure the wind speed and turbulence intensity (longitudinal 
component and macroscale) at a minimum of 12 test points in a cross-
sectional area of the test section of the wind tunnel. The mean wind 
speed in the test section must be within 10 percent of the 
value specified in Table D-2 and the variation at any test point in the 
test section may not exceed 10 percent of the mean.
    (ii) Generate particles of a size and type specified in Table D-2 
using a vibrating orifice aerosol generator. Check for the presence of 
satellites and adjust the generator as necessary. Calculate the 
aerodynamic particle size using the operating parameters of the 
vibrating orifice aerosol generator and record. The calculated 
aerodynamic diameter must be within the tolerance specified in Table D-
2.
    (iii) Collect a sample of the particles on a glass slide or other 
suitable substrate at the particle injection point. If a glass slide is 
used, it should be pretreated with an appropriate oleophobic surfactant 
when collecting liquid particles. Use a microscopic technique to size a 
minimum of 25 primary particles in three viewing fields (do not include 
multiplets). Determine the geometric mean aerodynamic diameter and 
geometric standard deviation using the bulk density of the particle type 
(and an appropriate flattening factor for liquid particles if collected 
on a glass slide). The measured geometric mean aerodynamic diameter must 
be within 0.5 m or 10 percent of the aerodynamic diameter 
calculated from the operating parameters of the vibrating orifice 
aerosol generator. The geometric standard deviation must not exceed 1.1.
    (iv) Determine the population of multiplets (doublets and triplets) 
in the collected sample by counting a minimum of 100 particles in three 
viewing fields. The multiplet population of the particle test atmosphere 
must not exceed 10 percent.
    (v) Introduce the particles into the wind tunnel and allow the 
particle concentration to stabilize.
    (vi) Install an array of five or more evenly spaced isokinetic 
samplers in the sampling zone (see Sec. 53.42(d)) of the wind tunnel. 
Collect particles on appropriate filters (e.g., glass fiber) over a time 
period such that the relative error of the measured particle 
concentration is less than 5 percent. Relative error is defined as 
(p x 100%)/(X), where p is the precision of the fluorometer on the 
appropriate range, X is the measured concentration, and the units of p 
and X are the same.
    (vii) Determine the quantity of material collected with each 
isokinetic sampler in the array using a calibrated fluorometer. 
Calculate and record the mass concentration for each isokinetic sampler 
as:'

                                                                                                                                                        
                                                                mass of material collected with isokinetic sampler                                      
                                             Ciso(ij)  = ----------------------------------------------------------------                               
                                                                        sample flow rate  x  sampling time                                              
                                                                                                                                                        



 53-45a.eps

[[Page 45]]



If the value of CViso(i) exceeds 0.10, the particle concentration 
uniformity is unacceptable and steps (vi) through (ix) must be repeated. 
If adjustment of the vibrating orifice aerosol generator or changes in 
the particle delivery system are necessary to achieve uniformity, steps 
(ii) through (ix) must be repeated. Remove the array of isokinetic 
samplers from the wind tunnel. NOTE: A single isokinetic sampler, 
operated at the same nominal flow rate as the test sampler, may be used 
in place of the array of isokinetic samplers for the determination of 
particle mass concentration used in the calculation of sampling 
effectiveness of the test sampler in step (xiii). In this case, the 
array of isokinetic samplers must be used to demonstrate particle 
concentration uniformity prior to the replicate measurements of sampling 
effectiveness.
    (x) If a single isokinetic sampler is used, install the sampler in 
the wind tunnel with the sampler nozzle centered in the sampling zone 
(see Sec. 53.42(d)). Collect particles on an appropriate filter (e.g., 
glass fiber) for a time period such that the relative error of the 
measured concentration (as defined in step (vi)) is less than 5 percent. 
Determine the quantity of material collected with the isokinetic sampler 
using a calibrated fluorometer. Calculate and record the mass 
concentration as Ciso(i) as in step vii. Remove the isokinetic 
sampler from the wind tunnel.
    (xi) Install the test sampler (or portion thereof) in the wind 
tunnel with the sampler inlet opening centered in the sampling zone (see 
Sec. 53.42(d)). To meet the maximum blockage limit of Sec. 53.42(a) or 
for convenience, part of the test sampler may be positioned external to 
the wind tunnel provided that neither the geometry of the sampler nor 
the length of any connecting tube or pipe is altered. Collect particles 
on an appropriate filter or filters (e.g., glass fiber) for a time 
period such that the relative error of the measured concentration (as 
defined in step (vi)) is less than 5 percent.
    (xii) Determine the quantity of material collected with the test 
sampler using a calibrated fluorometer. Calculate and record the mass 
concentration as:

                                                                                                                                                        
                                                                    mass of material collected with test sampler                                        
                                                  Csam(i)   = -------------------------------------------------------                                   
                                                                         sample flow rate  x  sampling time                                             
                                                                                                                                                        

where i=replicate number.
    (xiii) Calculate and record the sampling effectiveness of the test 
sampler as:

                                                                                                                
                                                          Csam(i)                                               
                                                E(i)  = -----------  x    100%                                  
                                                          Ciso(i)                                               
                                                                                                                

where i=replicate number.

    Note: If a single isokinetic sampler is used for the determination 
of particle mass concentration, replace Ciso(i) with Ciso(i).

    (xiv) Remove the test sampler from the wind tunnel. Repeat steps 
(vi) through (xiii), as appropriate, to obtain a minimum of three 
replicate measurements of sampling effectiveness.
    (xv) Calculate and record the average sampling effectiveness of the 
test sampler as:



[[Page 46]]


 53-46a.eps
where n=number of replicates.
    (xvi) Calculate and record the coefficient of variation for the 
replicate sampling effectiveness measurements of the test sampler as:


 53-46b.eps
If the value of CVE exceeds 0.10, the test run (steps (ii) through 
(xvi)) must be repeated.
    (xvii) Repeat steps i through xvi for each wind speed, particle 
size, and particle type specified in Table D-2.
    (xviii) For each of the three wind speeds (nominally 2, 8, and 24 
km/hr), correct the liquid particle sampling effectiveness data for the 
presence of multiplets (doublets and triplets) in the test particle 
atmospheres.
    (xix) For each wind speed, plot the corrected liquid particle 
sampling effectiveness of the test sampler (Ecorr) as a function of 
particle size (dp) on semi-logarithmic graph paper where dp is 
the particle size established by the operating parameters of the 
vibrating orifice aerosol generator. Construct a smooth curve through 
the data.
    (xx) For each wind speed, calculate the expected mass concentration 
for the test sampler under the assumed particle size distribution and 
compare it to the mass concentration predicted for the ideal sampler, as 
follows:
    (A) Extrapolate the upper and lower ends of the corrected liquid 
particle sampling effectiveness curve to 100 percent and 0 percent, 
respectively, using smooth curves. Assume that Ecorr=100 percent at 
a particle size of 1.0 m and Ecorr=0 percent at a particle 
size of 50 m.
    (B) Determine the value of Ecorr at each of the particle sizes 
specified in the first column of Table D-3. Record each Ecorr value 
as a decimal between 0 and 1 in the second column of Table D-3.
    (C) Multiply the values of Ecorr in column 2 by the interval 
mass concentration values in column 3 and enter the products in column 4 
of Table D-3.
    (D) Sum the values in column 4 and enter the total as the expected 
mass concentration for the test sampler at the bottom of column 4 of 
Table D-3.
    (E) Calculate and record the percent difference in expected mass 
concentration between the test sampler and the ideal sampler as:

                                                                        
                            Csam(exp)-Cideal(exp)                       
   C       =   ----------------------------    x        100%   
                                 Cideal(exp)                            
                                                                        

where:
Csam(exp)=expected mass concentration for the test sampler, 
g/m\3\
Cideal(exp)=expected mass concentration for the ideal sampler, 
g/m\3\ (calculated for the ideal sampler and given at the 
bottom of column 7 of Table D-3.)

    (F) The candidate method passes the liquid particle sampling 
effectiveness test if the C value for each wind speed meets the 
specification in Table D-1.
    (xxi) For each of the two wind speeds (nominally 8 and 24 km/hr), 
calculate the difference between the average sampling effectiveness 
value for the 25 m solid particles and the average sampling 
effectiveness value for the 25 m liquid particles (uncorrected 
for multiplets).
    (xxii) The candidate method passes the solid particle sampling 
effectiveness test if each such difference meets the specification in 
Table D-1.

                                                Table D-3--Expected Mass Concentration for PM10 Samplers                                                
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                Test sampler                                                      Ideal Sampler                         
                     -----------------------------------------------------------------------------------------------------------------------------------
 Particle size (um)                             Interval mass         Expected mass                               Interval mass         Expected mass   
                            Sampling            concentration         concentration           Sampling            concentration         concentration   
                          effectiveness       (g/m\3\)     (g/m\3\)       effectiveness       (g/m\3\)     (g/m\3\) 
--------------------------------------------------------------------------------------------------------------------------------------------------------
(1)                                  (2)                   (3)                   (4)                   (5)                   (6)                   (7)  
                                                                                                                                                        
--------------------------------------------------------------------------------------------------------------------------------------------------------
<1.0................               1.000                62.813                62.813                 1.000                62.813                62.813  
1.5.................                                     9.554                                       0.949                 9.554                 9.067  

[[Page 47]]

                                                                                                                                                        
02.0................                                     2.164                                       0.942                 2.164                 2.038  
02.5................                                     1.785                                       0.933                 1.785                 1.665  
03.0................                                     2.084                                       0.922                 2.084                 1.921  
03.5................                                     2.618                                       0.909                 2.618                 2.380  
04.0................                                     3.211                                       0.893                 3.211                 2.867  
04.5................                                     3.784                                       0.876                 3.784                 3.315  
05.0................                                     4.300                                       0.857                 4.300                 3.685  
05.5................                                     4.742                                       0.835                 4.742                 3.960  
06.0................                                     5.105                                       0.812                 5.105                 4.145  
06.5................                                     5.389                                       0.786                 5.389                 4.236  
07.0................                                     5.601                                       0.759                 5.601                 4.251  
07.5................                                     5.746                                       0.729                 5.746                 4.189  
08.0................                                     5.834                                       0.697                 5.834                 4.066  
08.5................                                     5.871                                       0.664                 5.871                 3.898  
09.0................                                     5.864                                       0.628                 5.864                 3.683  
09.5................                                     5.822                                       0.590                 5.822                 3.435  
10.0................                                     5.750                                       0.551                 5.750                 3.168  
10.5................                                     5.653                                       0.509                 5.653                 2.877  
11.0................                                     8.257                                       0.465                 8.257                 3.840  
12.0................                                    10.521                                       0.371                10.521                 3.903  
13.0................                                     9.902                                       0.269                 9.902                 2.664  
14.0................                                     9.250                                       0.159                 9.250                 1.471  
15.0................                                     8.593                                       0.041                 8.593                 0.352  
16.0................                                     7.948                                       0.000                 7.948                 0.000  
17.0................                                     7.329                                       0.000                 7.329                 0.000  
18.0................                                     9.904                                       0.000                 9.904                 0.000  
20.0................                                    11.366                                       0.000                11.366                 0.000  
22.0................                                     9.540                                       0.000                 9.540                 0.000  
24.0................                                     7.997                                       0.000                 7.997                 0.000  
26.0................                                     6.704                                       0.000                 6.704                 0.000  
28.0................                                     5.627                                       0.000                 5.627                 0.000  
30.0................                                     7.785                                       0.000                 7.785                 0.000  
35.0................                                     7.800                                       0.000                 7.800                 0.000  
40.0................                                     5.192                                       0.000                 5.192                 0.000  
45.0................                                     4.959                                       0.000                 4.959                 0.000  
 ...................                              Csam(exp)=D                                                       Cideal(exp)=               143.889  
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (b) 50 Percent cutpoint--(1) Technical definition. The particle size 
for which the sampling effectiveness of the sampler is 50 percent.
    (2) Test procedure. (i) From the corrected liquid particle sampling 
effectiveness curves for each of the three wind speeds, determine the 
particle size at which the curve crosses the 50 percent effectiveness 
line and record as D50 on the corresponding sampling effectiveness 
plot.
    (ii) The candidate method passes the 50 percent cutpoint test if the 
D50 value at each wind speed meets the specification in Table D-1.
    (c) Precision--(1) Technical definition. The variation in the 
measured particle concentration among identical samplers under typical 
sampling conditions.
    (2) Test procedure. (i) Set up three identical test samplers at the 
test site in strict accordance with the instructions in the manual 
referred to in Sec. 53.4(b)(3). Locate the test sampler inlet openings 
at the same height and between 2 and 4 meters apart. The samplers shall 
be oriented in a manner that will minimize spatial and wind directional 
effects on sample collection. Perform a flow calibration for each test 
sampler in accordance with the instructions given in the instruction 
manual and/or appendix J to part 50 of this chapter. Set the operating 
flow rate to the value prescribed in the sampler instruction manual.


[[Page 48]]


    Note: For candidate equivalent methods, this test may be used to 
satisfy part of the requirements of Subpart C of this chapter. In that 
case, three reference method samplers are also used at the test site, 
measurements with the candidate and reference methods are compared as 
specified in Sec. 53.34, and the test site must meet the requirements of 
Sec. 53.30(b).

    (ii) Measure the PM10 concentration of the atmosphere using the 
three test samplers for 10 periods (test days) of 24 hours each. On each 
of the 10 test days, measure the initial and final flow rates of each 
test sampler. On three of the test days, measure the flow rate of each 
test sampler after 6, 12, and 18 hours of operation. All measurements of 
flow rate and mass collected must be made in accordance with the 
procedures prescribed in the sampler instruction manual and/or appendix 
J to part 50 of this chapter. All measurements of flow rate must be in 
actual volumetric units. Record the PM10 concentration for each 
sampler and each test day as C(i)(j) where i is the sampler number 
and j is the test day.
    (iii) For each test day, calculate and record the average of the 
three measured PM10 concentrations as C(j) where j is the test 
day. If C(j)<30 g/m\3\ for any test day, data from that 
test day are unacceptable and the tests for that day must be repeated.
    (iv) Calculate and record the precision for each of the 10 test days 
as:


    (v) The candidate method passes the precision test if all 10 Pj 
or RPj values meet the specifications in Table D-1.
    (d) Flow rate stability--(1) Technical definition. Freedom from 
variation in the operating flow rate of the sampler under typical 
sampling conditions.
    (2) Test procedure. (i) For each of the three test samplers and each 
of the 10 test days of the precision test, record each measured flow 
rate as F(i)(j)(t), where i is the sampler number, j is the test 
day, and t is the time of flow rate measurement (t=0, 6, 12, 18, or 24 
hours).
    (ii) For each sampler and for each test day, calculate and record 
the average flow rate as:


 53-49a.eps
where n=number of flow rate measurements during the 24-hour test day.
    (iii) For each sampler and for each test day, calculate and record 
the percent difference between the average flow rate and the initial 
flow rate as:


 53-49b.eps
where F(i)(j)(0) is the initial flow rate (t=0).

[[Page 49]]

    (iv) For each sampler and for each of the 3 test days on which flow 
measurements were obtained at 6-hour intervals throughout the 24-hour 
sampling period, calculate and record the percent differences between 
each measured flow rate and the initial flow rate as:


 53-49c.eps
where t=6, 12, 18, or 24 hours.
    (v) The candidate method passes the flow rate stability test if all 
of the F(i)(j) and F(i)(j)(t) values meet 
the specifications in Table D-1.



PART 54--PRIOR NOTICE OF CITIZEN SUITS--Table of Contents




Sec.
54.1  Purpose.
54.2  Service of notice.
54.3  Contents of notice.

    Authority: Sec. 304 of the Clean Air Act, as amended (sec. 12, Pub. 
L. 91-604, 84 Stat. 1706).

    Source: 36 FR 23386, Dec. 9, 1971, unless otherwise noted.



Sec. 54.1   Purpose.

    Section 304 of the Clean Air Act, as amended, authorizes the 
commencement of civil actions to enforce the Act or to enforce certain 
requirements promulgated pursuant to the Act. The purpose of this part 
is to prescribe procedures governing the giving of notices required by 
subsection 304(b) of the Act (sec. 12, Pub. L. 91-604; 84 Stat. 1706) as 
a prerequisite to the commencement of such actions.



Sec. 54.2   Service of notice.

    (a) Notice to Administrator: Service of notice given to the 
Administrator under this part shall be accomplished by certified mail 
addressed to the Administrator, Environmental Protection Agency, 
Washington, DC 20460. Where notice relates to violation of an emission 
standard or limitation or to violation of an order issued with respect 
to an emission standard or limitation, a copy of such notice shall be 
mailed to the Regional Administrator of the Environmental Protection 
Agency for the Region in which such violation is alleged to have 
occurred.
    (b) Notice to State: Service of notice given to a State under this 
part regarding violation of an emission standard or limitation, or an 
order issued with respect to an emission standard or limitation shall be 
accomplished by certified mail addressed to an authorized representative 
of the State agency charged with responsibility for air pollution 
control in the State. A copy of such notice shall be mailed to the 
Governor of the State.
    (c) Notice to alleged violator: Service of notice given to an 
alleged violator under this part shall be accomplished by certified mail 
addressed to, or by personal service upon, the owner or managing agent 
of the building, plant, installation, or facility alleged to be in 
violation of an emission standard or limitation, or an order issued with 
respect to an emission standard or limitation. Where the alleged 
violator is a corporation, a copy of such notice shall be sent by 
certified mail to the registered agent, if any, of such corporation in 
the State in which such violation is alleged to have occurred.
    (d) Notice served in accordance with the provisions of this part 
shall be deemed given on the postmark date, if served by mail, or on the 
date of receipt, if personally served.



Sec. 54.3   Contents of notice.

    (a) Failure to act. Notice regarding a failure of the Administrator 
to perform an act or duty which is not discretionary shall identify the 
provisions of the Act which requires such act or creates such duty, 
shall describe with reasonable specificity the action taken or not taken 
by the Administrator which is claimed to constitute a failure to perform 
such act or duty, and shall state the full name and address of the 
person giving the notice.
    (b) Violation of standard, limitation or order. Notices to the 
Administrator, States, and alleged violators regarding violation of an 
emission standard or limitation or an order issued with respect to an 
emission standard or limitation, shall include sufficient information to 
permit the recipient to identify the specific standard, limitation,

[[Page 50]]

or order which has allegedly been violated, the activity alleged to be 
in violation, the person or persons responsible for the alleged 
violation, the location of the alleged violation, the date or dates of 
such violation, and the full name and address of the person giving the 
notice.



PART 55--OUTER CONTINENTAL SHELF AIR REGULATIONS--Table of Contents




Sec.
55.1  Statutory authority and scope.
55.2  Definitions.
55.3  Applicability.
55.4  Requirements to submit a notice of intent.
55.5  Corresponding onshore area    designation.
55.6  Permit requirements.
55.7  Exemptions.
55.8  Monitoring, reporting, inspections, and compliance.
55.9  Enforcement.
55.10  Fees.
55.11  Delegation.
55.12  Consistency updates.
55.13  Federal requirements that apply to OCS sources.
55.14  Requirements that apply to OCS sources located within 25 miles of 
          states' seaward boundaries, by state.
55.15  Specific designation of corresponding onshore areas.
Appendix A to 40 CFR Part 55--Listing of state and local requirements 
          incorporated by reference into part 55, by state.

    Authority: Section 328 of the Clean Air Act (42 U.S.C. 7401, et 
seq.) as amended by Public Law 101-549.
    Source: 57 FR 40806, Sept. 4, 1992, unless otherwise noted.



Sec. 55.1  Statutory authority and scope.

    Section 328(a)(1) of the Clean Air Act (``the Act''), requires the 
Environmental Protection Agency (``EPA'') to establish requirements to 
control air pollution from outer continental shelf (``OCS'') sources in 
order to attain and maintain federal and state ambient air quality 
standards and to comply with the provisions of part C of title I of the 
Act. This part establishes the air pollution control requirements for 
OCS sources and the procedures for implementation and enforcement of the 
requirements, consistent with these stated objectives of section 
328(a)(1) of the Act. In implementing, enforcing and revising this rule 
and in delegating authority hereunder, the Administrator will ensure 
that there is a rational relationship to the attainment and maintenance 
of federal and state ambient air quality standards and the requirements 
of part C of title I, and that the rule is not used for the purpose of 
preventing exploration and development of the OCS.



Sec. 55.2  Definitions.

    Administrator means the Administrator of the U.S. Environmental 
Protection Agency.
    Corresponding Onshore Area (``COA'') means, with respect to any 
existing or proposed OCS source located within 25 miles of a state's 
seaward boundary, the onshore area that is geographically closest to the 
source or another onshore area that the Administrator designates as the 
COA, pursuant to Sec. 55.5 of this part.
    Delegated agency means any agency that has been delegated authority 
to implement and enforce requirements of this part by the Administrator, 
pursuant to Sec. 55.11 of this part. It can refer to a state agency, a 
local agency, or an Indian tribe, depending on the delegation status of 
the program.
    Existing source or existing OCS source shall have the meaning given 
in the applicable requirements incorporated into Secs. 55.13 and 55.14 
of this part, except that for two years following the date of 
promulgation of this part the definition given in Sec. 55.3 of this part 
shall apply for the purpose of determining the required date of 
compliance with this part.
    Exploratory source or exploratory OCS source means any OCS source 
that is a temporary operation conducted for the sole purpose of 
gathering information. This includes an operation conducted during the 
exploratory phase to determine the characteristics of the reservoir and 
formation and may involve the extraction of oil and gas.
    Modification shall have the meaning given in the applicable 
requirements incorporated into Secs. 55.13 and 55.14 of this part, 
except that for two years following the date of promulgation of this 
part the definition given in section 111(a) of the Act shall apply for 
the purpose of determining the required

[[Page 51]]

date of compliance with this part, as set forth in Sec. 55.3 of this 
part.
    Nearest Onshore Area (``NOA'') means, with respect to any existing 
or proposed OCS source located within 25 miles of a state's seaward 
boundary, the onshore area that is geographically closest to that 
source.
    New source or new OCS source shall have the meaning given in the 
applicable requirements of Secs. 55.13 and 55.14 of this part, except 
that for two years following the date of promulgation of this part, the 
definition given in Sec. 55.3 of this part shall apply for the purpose 
of determining the required date of compliance with this part.
    OCS source means any equipment, activity, or facility which:
    (1) Emits or has the potential to emit any air pollutant;
    (2) Is regulated or authorized under the Outer Continental Shelf 
Lands Act (``OCSLA'') (43 U.S.C. Sec. 1331 et seq.); and
    (3) Is located on the OCS or in or on waters above the OCS.
    This definition shall include vessels only when they are:
    (1) Permanently or temporarily attached to the seabed and erected 
thereon and used for the purpose of exploring, developing or producing 
resources therefrom, within the meaning of section 4(a)(1) of OCSLA (43 
U.S.C. Sec. 1331 et seq.); or
    (2) Physically attached to an OCS facility, in which case only the 
stationary sources aspects of the vessels will be regulated.
    Onshore area means a coastal area designated as an attainment, 
nonattainment, or unclassifiable area by EPA in accordance with section 
107 of the Act. If the boundaries of an area designated pursuant to 
section 107 of the Act do not coincide with the boundaries of a single 
onshore air pollution control agency, then onshore area shall mean a 
coastal area defined by the jurisdictional boundaries of an air 
pollution control agency.
    Outer continental shelf shall have the meaning provided by section 2 
of the OCSLA (43 U.S.C. Sec. 1331 et seq.).
    Potential emissions means the maximum emissions of a pollutant from 
an OCS source operating at its design capacity. Any physical or 
operational limitation on the capacity of a source to emit a pollutant, 
including air pollution control equipment and restrictions on hours of 
operation or on the type or amount of material combusted, stored, or 
processed, shall be treated as a limit on the design capacity of the 
source if the limitation is federally enforceable. Pursuant to section 
328 of the Act, emissions from vessels servicing or associated with an 
OCS source shall be considered direct emissions from such a source while 
at the source, and while enroute to or from the source when within 25 
miles of the source, and shall be included in the ``potential to emit'' 
for an OCS source. This definition does not alter or affect the use of 
this term for any other purposes under Secs. 55.13 or 55.14 of this 
part, except that vessel emissions must be included in the ``potential 
to emit'' as used in Secs. 55.13 and 55.14 of this part.
    Residual emissions means the difference in emissions from an OCS 
source if it applies the control requirements(s) imposed pursuant to 
Sec. 55.13 or Sec. 55,14 of this part and emissions from that source if 
it applies a substitute control requirement pursuant to an exemption 
granted under Sec. 55.7 of this part.
    State means the state air pollution control agency that would be the 
permitting authority, a local air pollution permitting agency, or 
certain Indian tribes which can be the permitting authority for areas 
within their jurisdiction. State may also be used in the geographic 
sense to refer to a state, the NOA, or the COA.



Sec. 55.3  Applicability.

    (a) This part applies to all OCS sources except those located in the 
Gulf of Mexico west of 87.5 degrees longitude.
    (b) OCS sources located within 25 miles of states' seaward 
boundaries shall be subject to all the requirements of this part, which 
include, but are not limited to, the federal requirements as set forth 
in Sec. 55.13 of this part and the federal, state, and local 
requirements of the COA (designated pursuant to Sec. 55.5 of this part), 
as set forth in Sec. 55.14 of this part.
    (c) OCS sources located beyond 25 miles of states' seaward 
boundaries shall be subject to all the requirements

[[Page 52]]

of this part, except the requirements of Secs. 55.4, 55.5, 55.11, 55.12, 
and 55.14 of this part.
    (d) New OCS sources shall comply with the requirements of this part 
by September 4, 1992 where a ``new OCS source'' means an OCS source that 
is a new source within the meaning of section 111(a) of the Act.
    (e) Existing sources shall comply with the requirements of this part 
by September 4, 1994, where an ``existing OCS source'' means any source 
that is not a new source within the meaning of section 111(a) of the 
Act.



Sec. 55.4  Requirements to submit a notice of intent.

    (a) Prior to performing any physical change or change in method of 
operation that results in an increase in emissions, and not more than 18 
months prior to submitting an application for a preconstruction permit, 
the applicant shall submit a Notice of Intent (``NOI'') to the 
Administrator through the EPA Regional Office, and at the same time 
shall submit copies of the NOI to the air pollution control agencies of 
the NOA and onshore areas adjacent to the NOA. This section applies only 
to sources located within 25 miles of states' seaward boundaries.
    (b) The NOI shall include the following:
    (1) General company information, including company name and address, 
owner's name and agent, and facility site contact.
    (2) Facility description in terms of the proposed process and 
products, including identification by Standard Industrial Classification 
Code.
    (3) Estimate of the proposed project's potential emissions of any 
air pollutant, expressed in total tons per year and in such other terms 
as may be necessary to determine the applicability of requirements of 
this part. Potential emissions for the project must include all vessel 
emissions associated with the proposed project in accordance with the 
definition of potential emissions in Sec. 55.2 of this part.
    (4) Description of all emissions points including associated 
vessels.
    (5) Estimate of quantity and type of fuels and raw materials to be 
used.
    (6) Description of proposed air pollution control equipment.
    (7) Proposed limitations on source operations or any work practice 
standards affecting emissions.
    (8) Other information affecting emissions, including, where 
applicable, information related to stack parameters (including height, 
diameter, and plume temperature), flow rates, and equipment and facility 
dimensions.
    (9) Such other information as may be necessary to determine the 
applicability of onshore requirements.
    (10) Such other information as may be necessary to determine the 
source's impact in onshore areas.
    (c) Exploratory sources and modifications to existing sources with 
designated COAs shall be exempt from the requirement in paragraph 
(b)(10) of this section.
    (d) The scope and contents of the NOI shall in no way limit the 
scope and contents of the required permit application or applicable 
requirements given in this part.



Sec. 55.5  Corresponding onshore area designation.

    (a) Proposed exploratory sources. The NOA shall be the COA for 
exploratory sources located within 25 miles of states' seaward 
boundaries. Paragraphs (b), (c), and (f) of this section are not 
applicable to these sources.
    (b) Requests for designation.
    (1) The chief executive officer of the air pollution control agency 
of an area that believes it has more stringent air pollution control 
requirements than the NOA for a proposed OCS source, may submit a 
request to be designated as the COA to the Administrator and at the same 
time shall send copies of the request to the chief executive officer of 
the NOA and to the proposed source. The request must be received by the 
Administrator within 60 days of the receipt of the NOI. If no requests 
are received by the Administrator within 60 days of the receipt of the 
NOI, the NOA will become the designated COA without further action.
    (2) No later than 90 days after the receipt of the NOI, a 
demonstration must be received by the Administrator showing that:

[[Page 53]]

    (i) The area has more stringent requirements with respect to the 
control and abatement of air pollution than the NOA;
    (ii) The emissions from the source are or would be transported to 
the requesting area; and
    (iii) The transported emissions would affect the requesting area's 
efforts to attain or maintain a federal or state ambient air quality 
standard or to comply with the requirements of part C of title I of the 
Act, taking into account the effect of air pollution control 
requirements that would be imposed if the NOA were designated as the 
COA.
    (c) Determination by the Administrator.
    (1) If no demonstrations are received by the Administrator within 90 
days of the receipt of the NOI, the NOA will become the designated COA 
without further action.
    (2) If one or more demonstrations are received, the Administrator 
will issue a preliminary designation of the COA within 150 days of the 
receipt of the NOI, which shall be followed by a 30 day public comment 
period, in accordance with paragraph (f) of this section.
    (3) The Administrator will designate the COA for a specific source 
within 240 days of the receipt of the NOI.
    (4) When the Administrator designates a more stringent area as the 
COA with respect to a specific OCS source, the delegated agency in the 
COA will exercise all delegated authority. If there is no delegated 
agency in the COA, then EPA will issue the permit and implement and 
enforce the requirements of this part. The Administrator may retain 
authority for implementing and enforcing the requirements of this part 
if the NOA and the COA are in different states.
    (5) The Administrator shall designate the COA for each source only 
once in the source's lifetime.
    (d) Offset requirements. Offsets shall be obtained based on the 
applicable requirements of the COA, as set forth in Secs. 55.13 and 
55.14 of this part.
    (e) Authority to designate the COA. The authority to designate the 
COA for any OCS source shall not be delegated to a state or local 
agency, but shall be retained by the Administrator.
    (f) Administrative procedures and public participation. The 
Administrator will use the following public notice and comment 
procedures for processing a request for COA designation under this 
section:
    (1) Within 150 days from receipt of an NOI, if one or more 
demonstrations are received, the Administrator shall make a preliminary 
determination of the COA and shall:
    (i) Make available, in at least one location in the NOA and in the 
area requesting COA designation, a copy of all materials submitted by 
the requester, a copy of the Administrator's preliminary determination, 
and a copy or summary of other materials, if any, considered by the 
Administrator in making the preliminary determination; and
    (ii) Notify the public, by prominent advertisement in a newspaper of 
general circulation in the NOA and the area requesting COA designation, 
of a 30-day opportunity for written public comment on the available 
information and the Administrator's preliminary COA designation.
    (2) A copy of the notice required pursuant to paragraph (f)(1)(ii) 
of this section shall be sent to the requester, the affected source, 
each person from whom a written request of such notice has been 
received, and the following officials and agencies having jurisdiction 
over the COA and NOA: state and local air pollution control agencies, 
the chief executive of the city and county, the Federal Land Manager of 
potentially affected Class I areas, and any Indian governing body whose 
lands may be affected by emissions from the OCS source.
    (3) Public comments received in writing within 30 days after the 
date the public notice is made available will be considered by the 
Administrator in making the final decision on the request. All comments 
will be made available for public inspection.
    (4) The Administrator will make a final COA designation within 60 
days after the close of the public comment period. The Administrator 
will notify, in writing, the requester and each person who has requested 
notice of the

[[Page 54]]

final action and will set forth the reasons for the determination. Such 
notification will be made available for public inspection.

[57 FR 40806, Sept. 4, 1992, as amended at 61 FR 25151, May 20, 1996]



Sec. 55.6  Permit requirements.

    (a) General provisions.--(1) Permit applications. (i) The owner or 
operator of an OCS source shall submit to the Administrator or delegated 
agency all information necessary to perform any analysis or make any 
determination required under this section.

    (ii) Any application submitted pursuant to this part by an OCS 
source shall include a description of all the requirements of this part 
and a description of how the source will comply with the applicable 
requirements. For identification purposes only, the application shall 
include a description of those requirements that have been proposed by 
EPA for incorporation into this part and that the applicant believes, 
after diligent research and inquiry, apply to the source.
    (2) Exemptions. (i) When an applicant submits any approval to 
construct or permit to operate application to the Administrator or 
delegated agency it shall include a request for exemption from 
compliance with any pollution control technology requirement that the 
applicant believes is technically infeasible or will cause an 
unreasonable threat to health and safety. The Administrator or delegated 
agency shall act on the request for exemption in accordance with the 
procedures established in Sec. 55.7 of this part.

    (ii) A final permit shall not be issued under this part until a 
final determination is made on any exemption request, including those 
appealed to the Administrator in accordance with Sec. 55.7 of this part.

    (3) Administrative procedures and public participation. The 
Administrator will follow the applicable procedures of 40 CFR part 124 
in processing applications under this part. Until 40 CFR part 124 has 
been modified to specifically reference permits issued under this part, 
the Administrator will follow the procedures in part 124 used to issue 
Prevention of Significant Deterioration (``PSD'') permits.

    (4) Source obligation. (i) Any owner or operator who constructs or 
operates an OCS source not in accordance with the application submitted 
pursuant to this part 55, or with any approval to construct or permit to 
operate, or any owner or operator of a source subject to the 
requirements of this part who commences construction after the effective 
date of this part without applying for and receiving approval under this 
part, shall be in violation of this part.
    (ii) Any owner or operator of a new OCS source who commenced 
construction prior to the promulgation date of this rule shall comply 
with the requirements of paragraph (e) of this section.
    (iii) Receipt of an approval to construct or a permit to operate 
from the Administrator or delegated agency shall not relieve any owner 
or operator of the responsibility to comply fully with the applicable 
provisions of any other requirements under federal law.

    (iv) The owner or operator of an OCS source to whom the approval to 
construct or permit to operate is issued under this part shall notify 
all other owners and operators, contractors, and the subsequent owners 
and operators associated with emissions from the source, of the 
conditions of the permit issued under this part.

    (5) Delegation of authority. If the Administrator delegates any of 
the authority to implement and enforce the requirements of this section, 
the following provisions shall apply:

    (i) The applicant shall send a copy of any permit application 
required by this section to the Administrator through the EPA Regional 
Office at the same time as the application is submitted to the delegated 
agency.

    (ii) The delegated agency shall send a copy of any public comment 
notice required under this section or Secs. 55.13 or 55.14 to the 
Administrator through the EPA Regional Office.

    (iii) The delegated agency shall send a copy of any preliminary 
determination and final permit action required under this section or 
Secs. 55.13 or 55.14 to the Administrator through the EPA Regional 
Office at the time of the determination and shall make available

[[Page 55]]

to the Administrator any materials used in making the determination.
    (b) Preconstruction requirements for OCS sources located within 25 
miles of states' seaward boundaries.
    (1) No OCS source to which the requirements of Secs. 55.13 or 55.14 
of this part apply shall begin actual construction after the effective 
date of this part without a permit that requires the OCS source to meet 
those requirements.
    (2) Any permit application required under this part shall not be 
submitted until the Administrator has determined whether a consistency 
update is necessary, pursuant to Sec. 55.12 of this part, and, if the 
Administrator finds an update to be necessary, has published a proposed 
consistency update.
    (3) The applicant may be required to obtain more than one 
preconstruction permit, if necessitated by partial delegation of this 
part or by the requirements of this section and Secs. 55.13 and 55.14 of 
this part.
    (4) An approval to construct shall become invalid if construction is 
not commenced within 18 months after receipt of such approval, if 
construction is discontinued for a period of 18 months or more, or if 
construction is not completed within a reasonable time. The 18-month 
period may be extended upon a showing satisfactory to the Administrator 
or the delegated agency that an extension is justified. Sources 
obtaining extensions are subject to all new or interim requirements and 
a reassessment of the applicable control technology when the extension 
is granted. This requirement shall not supersede a more stringent 
requirement under Secs. 55.13 or 55.14 of this part.
    (5) Any preconstruction permit issued to a new OCS source or 
modification shall remain in effect until it expires under paragraph 
(b)(4) of this section or is rescinded under the applicable requirements 
incorporated in Secs. 55.13 and 55.14 of this part.
    (6) Whenever any proposed OCS source or modification to an existing 
OCS source is subject to action by a federal agency that might 
necessitate preparation of an environmental impact statement pursuant to 
the National Environmental Policy Act (42 U.S.C. 4321), review by the 
Administrator conducted pursuant to this section shall be coordinated 
with the environmental reviews under that Act to the extent feasible and 
reasonable.
    (7) The Administrator or delegated agency and the applicant shall 
provide written notice of any permit application from a source, the 
emissions from which may affect a Class I area, to the Federal Land 
Manager charged with direct responsibility for management of any lands 
within the Class I area. Such notification shall include a copy of all 
information contained in the permit application and shall be given 
within 30 days of receipt of the application and at least 60 days prior 
to any public hearing on the preconstruction permit.
    (8) Modification of existing sources. The preconstruction 
requirements above shall not apply to a particular modification, as 
defined in Secs. 55.13 or 55.14 of this part, of an existing OCS source 
if:
    (i) The modification is necessary to comply with this part, and no 
other physical change or change in the method of operation is made in 
conjunction with the modification;
    (ii) The modification is made within 24 months of promulgation of 
this part; and
    (iii) The modification does not result in an increase, in excess of 
any de minimus levels contained in the applicable requirements of 
Secs. 55.13 and 55.14, of potential emissions or actual hourly emissions 
of a pollutant regulated under the Act.
    (9) Compliance plans. Sources intending to perform modifications 
that meet all of the criteria of paragraph (b)(8) of this section shall 
submit a compliance plan to the Administrator or delegated agency prior 
to performing the modification. The compliance shall describe the 
schedule and method the source will use to comply with the applicable 
OCS requirements within 24 months of the promulgation date of this part 
and shall include a request for any exemptions from compliance with a 
pollution control technology requirement that the applicant believes is 
technically infeasible or will cause an unreasonable threat to health 
and safety. The Administrator or delegated agency shall act on the 
request for exemption in accordance with the procedures established in 
Sec. 55.7 of this part.

[[Page 56]]

    (i) The Administrator or delegated agency shall review the 
compliance plan and provide written comments to the source within 45 
days of receipt of such plan. The source shall provide a written 
response to such comments as required by the reviewing agency.
    (ii) Receipt and review of a compliance plan by the Administrator or 
delegated agency shall not relieve any owner or operator of an existing 
OCS source of the responsibility to comply fully with the applicable 
requirements of Secs. 55.13 and 55.14 of this part within 24 months of 
promulgation of this part.
    (c) Operating permit requirements for sources located within 25 
miles of states' seaward boundaries.
    (1) All applicable operating permit requirements listed in this 
section and incorporated into Secs. 55.13 and 55.14 of this part shall 
apply to OCS sources.
    (2) The Administrator or delegated agency shall not issue a permit 
to operate to any existing OCS source that has not demonstrated 
compliance with all the applicable requirements of this part.
    (3) If the COA does not have an operating permits program approved 
pursuant to 40 CFR part 70 or if EPA has determined that the COA is not 
adequately implementing an approved program, the applicable requirements 
of 40 CFR part 71, the Federal operating permits program, shall apply to 
the OCS sources. The applicable requirements of 40 CFR part 71 will be 
implemented and enforced by the Administrator. The Administrator may 
delegate the authority to implement and enforce all or part of a Federal 
operating permits program to a State pursuant to Sec. 55.11 of this 
part.
    (d) Permit requirements for sources located beyond 25 miles of 
states' seaward boundaries.
    (1) OCS sources located beyond 25 miles of states' seaward 
boundaries shall be subject to the permitting requirements set forth in 
this section and Sec. 55.13 of this part.
    (2) The Administrator shall retain authority to implement and 
enforce all requirements of this part for OCS sources located beyond 25 
miles from states' seaward boundaries.
    (e) Permit requirements for new sources that commenced construction 
prior to September 4, 1992.
    (1) Applicability. Sec. 55.6(e) applies to a new OCS source, as 
defined by section 328 of the Act, that commenced construction before 
September 4, 1992.
    (2) A source subject to Sec. 55.6(e) shall comply with the following 
requirements:
    (i) By October 5, 1992, the owner or operator of the source shall 
submit a transitional permit application (``TPA'') to the Administrator 
or the delegated agency. The TPA shall include the following:
    (A) The information specified in Secs. 55.4(b)(1) through 
Sec. 55.4(b)(9) of this part;
    (B) A list of all requirements applicable to the source under this 
part;
    (C) A request for exemption from compliance with any control 
technology requirement that the applicant believes is technically 
infeasible or will cause an unreasonable threat to health and safety;
    (D) An air quality screening analysis demonstrating whether the 
source has or is expected in the future to cause or contribute to a 
violation of any applicable state or federal ambient air quality 
standard or exceed any applicable increment. If no air quality analysis 
is required by the applicable requirements of Secs. 55.13 and 55.14, 
this requirement does not apply;
    (E) Documentation that source emissions are currently being offset, 
or will be offset if the source has not commenced operation, at the 
ratio required under this part, and documentation that those offsets 
meet or will meet the requirements of this part; and
    (F) A description of how the source is complying with the applicable 
requirements of Secs. 55.13 and 55.14 of this part, including emission 
levels and corresponding control measures, including Best Available 
Control Technology (``BACT'') or Lowest Achievable Emission Rates 
(``LAER''), but excluding the requirements to have valid permits.
    (ii) The source shall expeditiously complete its permit application 
in compliance with the schedule determined by the Administrator or 
delegated agency.

[[Page 57]]

    (iii) The source shall comply with all applicable requirements of 
this part except for the requirements of paragraph (a)(4)(i) of this 
section. The source shall comply with the control technology 
requirements (such as BACT or LAER) set forth in the TPA that would be 
applicable if the source had a valid permit.
    (iv) Any owner or operator subject to this subsection who continues 
to construct or operate an OCS source thirty days from promulgation of 
this part without submitting a TPA, or continues to construct or operate 
an OCS source not in accordance with the TPA submitted pursuant to 
paragraph (e) of this section, or constructs or operates an OCS source 
not in accordance with the schedule determined by the permitting 
authority, shall be in violation of this part.
    (3) Upon the submittal of a permit application deemed to be complete 
by the permitting authority, the owner or operator of the source shall 
be subject to the permitting requirements of Secs. 55.13 and 55.14 of 
this part that apply subsequent to the submission of a complete permit 
application. When a source receives the permit or permits required under 
this part, its TPA shall expire.
    (4) Until the date that a source subject to this subsection receives 
the permit or permits required under this part, that source shall cease 
operation if, based on projected or actual emissions, the permitting 
authority determines that the source is currently or may in the future 
cause or contribute to a violation of a state or federal ambient air 
quality standard or exceed any applicable increment.

[57 FR 40806, Sept. 4, 1992, as amended at 61 FR 34228, July 1, 1996]

    Effective Date Note:  At 61 FR 34228, July 1, 1996, Sec. 55.6 was 
amended by adding paragraph (c)(3), effective July 31, 1996.



Sec. 55.7  Exemptions.

    (a) Authority and criteria. The Administrator or the delegated 
agency may exempt a source from a control technology requirement of this 
part if the Administrator or the delegated agency finds that compliance 
with the control technology requirement is technically infeasible or 
will cause an unreasonable threat to health and safety.
    (b) Request for an exemption. (1) Permit application required. An 
applicant shall submit a request for an exemption from a control 
technology requirement at the same time as the applicant submits a 
preconstruction or operating permit application to the Administrator or 
delegated agency.
    (2) No permit application required. If no permit or permit 
modification is required, a request for an exemption must be received by 
the Administrator or delegated agency within 60 days from the date the 
control technology requirement is promulgated by EPA.
    (3) Compliance plan. An existing source that submits a compliance 
plan in accordance with Sec. 55.6(b) of this part shall submit all 
requests for exemptions at the same time as the compliance plan. For the 
purpose of applying Sec. 55.7 of this part, a request submitted with a 
compliance plan shall be treated in the same manner as a request that 
does not require a permit application.
    (4) Content of request. (i) The request shall include information 
that demonstrates that compliance with a control technology requirement 
of this part would be technically infeasible or would cause an 
unreasonable threat to health and safety.
    (ii) The request shall include a proposed substitute requirement(s) 
as close in stringency to the original requirement as possible.
    (iii) The request shall include an estimate of emission reductions 
that would be achieved by compliance with the original requirement, an 
estimate of emission reductions that would be achieved by compliance 
with the proposed substitute requirement(s) and an estimate of residual 
emissions.
    (iv) The request shall identify emission reductions of a sufficient 
quantity to offset the estimated residual emissions. Sources located 
beyond 25 miles from states' seaward boundaries shall consult with the 
Administrator to identify suitable emission reductions.
    (c) Consultation requirement. If the authority to grant or deny 
exemptions has been delegated, the delegated agency shall consult with 
the Minerals Management Service of the U.S. Department of Interior and 
the U.S. Coast

[[Page 58]]

Guard to determine whether the exemption will be granted or denied.
    (1) The delegated agency shall transmit to the Administrator 
(through the Regional Office), the Minerals Management Service, and the 
U.S. Coast Guard, a copy of the permit application, or the request if no 
permit is required, within 5 days of its receipt.
    (2) Consensus. If the delegated agency, the Minerals Management 
Service, and the U.S. Coast Guard reach a consensus decision on the 
request within 90 days from the date the delegated agency received the 
request, the delegated agency may issue a preliminary determination in 
accordance with the applicable requirements of paragraph (f) of this 
section.
    (3) No consensus. If the delegated agency, the Minerals Management 
Service, and the U.S. Coast Guard do not reach a consensus decision 
within 90 days from the date the delegated agency received the request, 
the request shall automatically be referred to the Administrator who 
will process the referral in accordance with paragraph (f)(3) of this 
section. The delegated agency shall transmit to the Administrator, 
within 91 days of its receipt, the request and all materials submitted 
with the request, such as the permit application or the compliance plan, 
and any other information considered or developed during the 
consultation process.
    (4) If a request is referred to the Administrator and the delegated 
agency issues a preliminary determination on a permit application before 
the Administrator issues a final decision on the exemption, the 
delegated agency shall include a notice of the opportunity to comment on 
the Administrator's preliminary determination in accordance with the 
procedures of paragraph (f)(4) of this section.
    (5) The Administrator's final decision on a request that has been 
referred pursuant to paragraph (c) of this section shall be incorporated 
into the final permit issued by the delegated agency. If no permit is 
required, the Administrator's final decision on the request shall be 
implemented and enforced by the delegated agency.
    (d) Preliminary determination. The Administrator or delegated agency 
shall issue a preliminary determination in accordance with paragraph (f) 
of this section. A preliminary determination shall propose to grant or 
deny the request for exemption. A preliminary determination to grant the 
request shall include proposed substitute control requirements and 
offsets necessary to comply with the requirements of paragraph (e) of 
this section.
    (e) Grant of exemption.--(1) The source shall comply with a 
substitute requirement(s), equal to or as close in stringency to the 
original requirement as possible, as determined by the Administrator or 
delegated agency.
    (2) An OCS source located within 25 miles of states' seaward 
boundaries shall offset residual emissions resulting from the grant of 
an exemption request in accordance with the requirements of the Act and 
the regulations thereunder. The source shall obtain offsets in 
accordance with the applicable requirements as follows:
    (i) If offsets are required in the COA, a new source shall offset 
residual emissions in the same manner as all other new source emissions 
in accordance with the requirements of Sec. 55.5(d) of this part.
    (ii) If offsets are not required in the COA, a new source shall 
comply with an offset ratio of 1:1.
    (iii) An existing OCS source shall comply with an offset at a ratio 
of 1:1.
    (3) An OCS source located beyond 25 miles from states' seaward 
boundaries shall obtain emission reductions at a ratio determined by the 
Administrator to be adequate to protect state and federal ambient air 
quality standards and to comply with part C of title I of the Act.
    (f) Administrative procedures and public participation.--(1) Request 
submitted with a permit application. If a request is submitted with a 
permit application, the request shall be considered part of the permit 
application and shall be processed accordingly for the purpose of 
administrative procedures and public notice and comment requirements. 
The Administrator shall comply with the requirements of 40 CFR part 124 
and the requirements set forth at Sec. 55.6 of this part. If the 
Administrator has delegated authority to 

[[Page 59]]

a state, the delegated agency shall use its own procedures as deemed 
adequate by the Administrator in accordance with Sec. 55.11 of this 
part. These procedures must provide for public notice and comment on the 
preliminary determination.
    (2) Request submitted without a permit or with a compliance plan. If 
a permit is not required, the Administrator or the delegated agency 
shall issue a preliminary determination within 90 days from the date the 
request was received, and shall use the procedures set forth at 
paragraph (f)(4) of this section for processing a request.
    (3) Referral. If a request is referred to the Administrator pursuant 
to paragraph (c) of this section, the Administrator shall make a 
preliminary determination no later than 30 days after receipt of the 
request and any accompanying materials transmitted by the delegated 
agency. The Administrator shall use the procedures set forth at 
paragraph (f)(4) of this section for processing a request.
    (4) The Administrator or the delegated agency shall comply with the 
following requirements for processing requests submitted without a 
permit, with a compliance plan, and requests referred to the 
Administrator:
    (i) Issue a preliminary determination to grant or deny the request. 
A preliminary determination by the Administrator to deny a request shall 
be considered a final decision and will be accompanied by the reasons 
for the decision. As such, it is not subject to any further public 
notice, comment, or hearings. Written notice of the denial shall be 
given to the requester.
    (ii) Make available, in at least one location in the COA and NOA, a 
copy of all materials submitted by the requester, a copy of the 
preliminary determination, and a copy or summary of other materials, if 
any, considered in making the preliminary determination.
    (iii) Notify the public, by prominent advertisement in a newspaper 
of general circulation in the COA and NOA, of a 30-day opportunity for 
written public comment on the information submitted by the owner or 
operator and on the preliminary determination.
    (iv) Send a copy of the notice required pursuant to paragraph 
(f)(4)(iii) of this section to the requester, the affected source, each 
person from whom a written request of such notice has been received, and 
the following officials and agencies having jurisdiction over the COA 
and NOA: state and local air pollution control agencies, the chief 
executive of the city and county, the Federal Land Manager of 
potentially affected Class I areas, and any Indian governing body whose 
lands may be affected by emissions from the OCS source.
    (v) Consider written public comments received within 30 days after 
the date the public notice is made available when making the final 
decision on the request. All comments will be made available for public 
inspection. At the time that any final decision is issued, the 
Administrator or delegated agency will issue a response to comments.
    (vi) Make a final decision on the request within 30 days after the 
close of the public comment period. The Administrator or the delegated 
agency will notify, in writing, the applicant and each person who has 
submitted written comments, or from whom a written request of such 
notice has been received, of the final decision and will set forth the 
reasons. Such notification will be made available for public inspection.
    (5) Within 30 days after the final decision has been made on a 
request, the requester, or any person who filed comments on the 
preliminary determination, may petition the Administrator to review any 
aspect of the decision. Any person who failed to file comments on the 
preliminary decision may petition for administrative review only on the 
changes from the preliminary to the final determination.



Sec. 55.8  Monitoring, reporting, inspections, and compliance.

    (a) The Administrator may require monitoring or reporting and may 
authorize inspections pursuant to section 114 of the Act and the 
regulations thereunder. Sources shall also be subject to the 
requirements set forth in Secs. 55.13 and 55.14 of this part.

[[Page 60]]

    (b) All monitoring, reporting, inspection and compliance 
requirements authorized under the Act shall apply.
    (c) An existing OCS source that is not required to obtain a permit 
to operate within 24 months of the date of promulgation of this part 
shall submit a compliance report to the Administrator or delegated 
agency within 25 months of promulgation of this part. The compliance 
report shall specify all the applicable OCS requirements of this part 
and a description of how the source has complied with these 
requirements.
    (d) The Administrator or the delegated agency shall consult with the 
Minerals Management Service and the U.S. Coast Guard prior to 
inspections. This shall in no way interfere with the ability of EPA or 
the delegated agency to conduct unannounced inspections.
    (Approved by the Office of Management and Budget under the control 
number 2060-0249)

[57 FR 40806, Sept. 4, 1992, as amended at 58 FR 16626, Mar. 30, 1993]



Sec. 55.9  Enforcement.

    (a) OCS sources shall comply with all requirements of this part and 
all permits issued pursuant to this part. Failure to do so shall be 
considered a violation of section 111(e) of the Act.
    (b) All enforcement provisions of the Act, including, but not 
limited to, the provisions of sections 113, 114, 120, 303 and 304 of the 
Act, shall apply to OCS sources.
    (c) If a facility is ordered to cease operation of any piece of 
equipment due to enforcement action taken by EPA or a delegated agency 
pursuant to this part, the shutdown will be coordinated by the enforcing 
agency with the Minerals Management Service and the U.S. Coast Guard to 
assure that the shutdown will proceed in a safe manner. No shutdown 
action will occur until after consultation with these agencies, but in 
no case will initiation of the shutdown be delayed by more than 24 
hours.



Sec. 55.10  Fees.

    (a) OCS sources located within 25 miles of states' seaward 
boundaries.
    (1) The EPA will calculate and collect operating permit fees from 
OCS sources in accordance with the requirements of 40 CFR part 71.
    (2) EPA will collect all other fees from OCS sources calculated in 
accordance with the fee requirements imposed in the COA if the fees are 
based on regulatory objectives, such as discouraging emissions. If the 
fee requirements are based on cost recovery objectives, however, EPA 
will adjust the fees to reflect the costs to EPA to issue permits and 
administer the permit program.
    (3) Upon delegation, the delegated agency will collect fees from OCS 
sources calculated in accordance with the fee requirements imposed in 
the COA. Upon delegation of authority to implement and enforce any 
portion of this part, EPA will cease to collect fees imposed in 
conjunction with that portion.
    (b) The OCS sources located beyond 25 miles of States' seaward 
boundaries. The EPA will calculate and collect operating permit fees 
from OCS sources in accordance with the requirements of 40 CFR part 71.

[57 FR 40806, Sept. 4, 1992, as amended at 61 FR 34228, July 1, 1996]

    Effective Date Note:  At 61 FR 34228, July 1, 1996, Sec. 55.10 was 
amended by revising paragraph (a)(1) and by adding paragraph (b), 
effective July 31, 1996. For the convenience of the user the superseded 
text is set forth as follows:
Sec. 55.10  Fees.
    (a) * * *
    (1) EPA will collect operating fees from OCS sources calculated in 
accordance with the fee requirements imposed in the COA if the fees are 
based on regulatory objectives, such as discouraging emissions. If the 
fee requirements are based on cost recovery objectives, however, EPA 
will adjust the fees to reflect the costs to EPA to issue permits and 
administer the permit program.

                                * * * * *



Sec. 55.11  Delegation.

    (a) The governor or the governor's designee of any state adjacent to 
an OCS source subject to the requirements of this part may submit a 
request to the Administrator for authority to implement and enforce the 
requirements of this OCS program within 25 miles of the state seaward 
boundary, pursuant

[[Page 61]]

to section 328(a)(3) of the Act. Authority to implement and enforce 
Secs. 55.5, 55.11, and 55.12 of this part will not be delegated.
    (b) The Administrator will delegate implementation and enforcement 
authority to a state if the state has an adjacent OCS source and the 
Administrator determines that the state's regulations are adequate, 
including a demonstration by the state that the state has:
    (1) Adopted the appropriate portions of this part into state law;
    (2) Adequate authority under state law to implement and enforce the 
requirements of this part. A letter from the State Attorney General 
shall be required stating that the requesting agency has such authority;
    (3) Adequate resources to implement and enforce the requirements of 
this part; and
    (4) Adequate administrative procedures to implement and enforce the 
requirements of this part, including public notice and comment 
procedures.
    (c) The Administrator will notify in writing the governor or the 
governor's designee of the Administrator's final action on a request for 
delegation within 6 months of the receipt of the request.
    (d) If the Administrator finds that the state regulations are 
adequate, the Administrator will authorize the state to implement and 
enforce the OCS requirements under state law. If the Administrator finds 
that only part of the state regulations are adequate, he will authorize 
the state to implement and enforce only that portion of this part.
    (e) Upon delegation, a state may use any authority it possesses 
under state law to enforce any permit condition or any other requirement 
of this part for which the agency has delegated authority under this 
part. A state may use any authority it possesses under state law to 
require monitoring and reporting and to conduct inspections.
    (f) Nothing in this part shall prohibit the Administrator from 
enforcing any requirement of this part.
    (g) The Administrator will withdraw a delegation of any authority to 
implement and enforce any or all of this part if the Administrator 
determines that: (1) The requirements of this part are not being 
adequately implemented or enforced by the delegated agency, or (2) The 
delegated agency no longer has adequate regulations as required by 
Sec. 55.11(b) of this part.
    (h) Sharing of information. Any information obtained or used in the 
administration of a delegated program shall be made available to EPA 
upon request without restriction. If the information has been submitted 
to the delegated agency under a claim of confidentiality, the delegated 
agency must notify the source of this obligation and submit that claim 
to EPA. Any information obtained from a delegated agency accompanied by 
a claim of confidentiality will be treated in accordance with the 
requirements of 40 CFR Part 2.
    (i) Grant of exemptions. A decision by a delegated agency to grant 
or deny an exemption request may be appealed to the Administrator in 
accordance with Sec. 55.7 of this part.



Sec. 55.12  Consistency updates.

    (a) The Administrator will update this part as necessary to maintain 
consistency with the regulations of onshore areas in order to attain and 
maintain federal and state ambient standards and comply with part C of 
title I of the Act.
    (b) Where an OCS activity is occurring within 25 miles of a state 
seaward boundary, consistency reviews will occur at least annually. In 
addition, in accordance with paragraphs (c) and (d) of this section, 
consistency reviews will occur upon receipt of an NOI and when a state 
or local agency submits a rule to EPA to be considered for incorporation 
by reference in this part 55.
    (1) Upon initiation of a consistency review, the Administrator will 
evaluate the requirements of part 55 to determine whether they are 
consistent with the current onshore requirements.
    (2) If the Administrator finds that part 55 is inconsistent with the 
requirements in effect in the onshore area, EPA will conduct a notice 
and comment rulemaking to update part 55 accordingly.
    (c) Consistency reviews triggered by receipt of an NOI. Upon receipt 
of an NOI,

[[Page 62]]

the Administrator will initiate a consistency review of regulations in 
the onshore area.
    (1) If the NOI is submitted by a source for which the COA has 
previously been assigned, EPA will publish a proposed consistency update 
in the Federal Register no later than 60 days after the receipt of the 
NOI, if an update is deemed necessary by the Administrator:
    (2) If the NOI is submitted by a source requiring a COA designation, 
EPA will publish a proposed consistency update in the Federal Register, 
if an update is deemed necessary by the Administrator:
    (i) No later than 75 days after receipt of the NOI if no adjacent 
areas submit a request for COA designation and the NOA becomes the COA 
by default, or
    (ii) No later than 105 days after receipt of the NOI if an adjacent 
area submits a request to be designated as COA but fails to submit the 
required demonstration within 90 days of receipt of the NOI, or
    (iii) No later than 15 days after the date of the final COA 
determination if one or more demonstrations are received.
    (d) Consistency reviews triggered by state and local air pollution 
control agencies submitting rules directly to EPA for inclusion into 
Part 55.
    (1) EPA will propose in the Federal Register to approve applicable 
rules submitted by state or local regulatory agencies for incorporation 
by reference into Sec. 55.14 of this part by the end of the calendar 
quarter following the quarter in which the submittal is received by EPA.
    (2) State and local rules submitted for inclusion in part 55 must be 
rationally related to the attainment and maintenance of federal or state 
ambient air quality standards or to the requirements of part C of title 
I of the Act. The submittal must be legible and unmarked, with the 
adoption date and the name of the agency on each page, and must be 
accompanied by proof of adoption.
    (e) No rule or regulation that EPA finds to be arbitrary or 
capricious will be incorporated into this part.
    (f) A source may not submit a complete permit application until any 
update the Administrator deems necessary to make part 55 consistent with 
the COA's rules has been proposed.



Sec. 55.13  Federal requirements that apply to OCS sources.

    (a) The requirements of this section shall apply to OCS sources as 
set forth below. In the event that a requirement of this section 
conflicts with an applicable requirement of Sec. 55.14 of this part and 
a source cannot comply with the requirements of both sections, the more 
stringent requirement shall apply.
    (b) In applying the requirements incorporated into this section:
    (1) ``New Source'' means new OCS source; and
    (2) ``Existing Source'' means existing OCS source; and
    (3) ``Modification'' means a modification to an OCS source.
    (4) For requirements adopted prior to promulgation of this part, 
language in such requirements limiting the applicability of the 
requirements to onshore sources or to sources within state boundaries 
shall not apply.
    (c) 40 CFR Part 60 (NSPS) shall apply to OCS sources in the same 
manner as in the COA, except that any source determined to be an 
existing source pursuant to Sec. 55.3(e) of this part shall not be 
considered a ``new source'' for the purpose of NSPS adopted before 
December 5, 1991.
    (d) 40 CFR 52.21 (PSD) shall apply to OCS sources:
    (1) Located within 25 miles of a state's seaward boundary if the 
requirements of 40 CFR 52.21 are in effect in the COA;
    (2) Located beyond 25 miles of states' seaward boundaries.
    (e) 40 CFR Part 61, together with any other provisions promulgated 
pursuant to section 112 of the Act, shall apply if rationally related to 
the attainment and maintenance of federal or state ambient air quality 
standards or the requirements of part C of title I of the Act.
    (f) 40 CFR part 71 shall apply to OCS sources:
    (1) Located within 25 miles of States' seaward boundaries if the 
requirements of 40 CFR part 71 are in effect in the COA.

[[Page 63]]

    (2) Located beyond 25 miles of States' seaward boundaries.
    (3) When an operating permits program approved pursuant to 40 CFR 
part 70 is in effect in the COA and a Federal operating permit is issued 
to satisfy an EPA objection pursuant to 40 CFR 71.4(e).
    (g) The provisions of 40 CFR 52.10, 40 CFR 52.24, and 40 CFR Part 51 
and accompanying Appendix S shall apply to OCS sources located within 25 
miles of states' seaward boundaries, if these requirements are in effect 
in the COA.
    (h) If the Administrator determines that additional requirements are 
necessary to protect federal and state ambient air quality standards or 
to comply with part C of title I, such requirements will be incorporated 
in this part.

[57 FR 40806, Sept. 4, 1992, as amended at 61 FR 34228, July 1, 1996]

    Effective Date Note:  At 61 FR 34228, July 1, 1996, Sec. 55.13 was 
amended by adding paragraph (f), effective July 31, 1996.



Sec. 55.14  Requirements that apply to OCS sources located within 25 miles of states' seaward boundaries, by state.

    (a) The requirements of this section shall apply to OCS sources as 
set forth below. In the event that a requirement of this section 
conflicts with an applicable requirement of Sec. 55.13 of this part and 
a source cannot comply with the requirements of both sections, the more 
stringent requirement shall apply.
    (b) In applying the requirements incorporated into this section:
    (1) ``New Source'' means new OCS source; and
    (2) ``Existing Source'' means existing OCS source; and
    (3) ``Modification'' means a modification to an existing OCS source.
    (4) For requirements adopted prior to promulgation of this part, 
language in such requirements limiting the applicability of the 
requirements to onshore sources or to sources within state boundaries 
shall not apply.
    (c) During periods of EPA implementation and enforcement of this 
section, the following shall apply:
    (1) Any reference to a state or local air pollution control agency 
or air pollution control officer shall mean EPA or the Administrator, 
respectively.
    (2) Any submittal to state or local air pollution control agency 
shall instead be submitted to the Administrator through the EPA Regional 
Office.
    (3) Nothing in this section shall alter or limit EPA's authority to 
administer or enforce the requirements of this part under federal law.
    (4) EPA shall not be bound by any state or local administrative or 
procedural requirements including, but not limited to, requirements 
pertaining to hearing boards, permit issuance, public notice procedures, 
and public hearings. EPA will follow the applicable procedures set forth 
elsewhere in this part, in 40 CFR Part 124, and in federal rules 
promulgated pursuant to title V of the Act (as such rules apply in the 
COA), when administering this section.
    (5) Only those requirements of 40 CFR Part 52 that are rationally 
related to the attainment and maintenance of federal or state ambient 
air quality standards or part C of title I shall apply to OCS sources.
    (d) Implementation Plan Requirements.
    (1) (Reserved).
    (2) Alaska.
    (i) 40 CFR part 52, subpart C.
    (ii) (Reserved).
    (3) California.
    (i) 40 CFR part 52, subpart F.
    (ii) (Reserved).
    (4) and (5) (Reserved).
    (6) Florida.
    (i) 40 CFR part 52, subpart K.
    (ii) (Reserved).
    (7) through (16) (Reserved).
    (17) North Carolina.
    (i) 40 CFR part 52, subpart II.
    (ii) (Reserved).
    (18) through (23) (Reserved).
    (e) State and local requirements. State and local requirements 
promulgated by EPA as applicable to OCS sources located within 25 miles 
of states' seaward boundaries have been compiled into separate documents 
organized by state and local areas of jurisdiction. These documents, set 
forth below, are incorporated by reference. This incorporation by 
reference was approved by the Director of the Federal Register Office in 
accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. Copies may be 
inspected at the Office of the Federal Register,

[[Page 64]]

800 North Capitol Street, NW., Suite 700, Washington, DC. Copies of 
rules pertaining to particular states or local areas may be inspected or 
obtained from the EPA Air Docket (A-91-76), U.S. EPA, room M-1500, 401 M 
Street, SW., Washington, DC, 20460 or the appropriate EPA regional 
offices: U.S. EPA, Region 4 (Florida and North Carolina), 345 Courtland 
Street, NE., Atlanta, GA 30365; U.S. EPA, Region 9 (California), 75 
Hawthorne Street, San Francisco, CA 94105; and U.S. EPA, Region 10 
(Alaska), 1200 Sixth Avenue, Seattle, WA 98101. For an informational 
listing of the state and local requirements incorporated into this part, 
which are applicable to sources of air pollution located on the OCS, see 
Appendix A to this part.
    (1) (Reserved).
    (2) Alaska.
    (i) State requirements.
    (A) State of Alaska Requirements Applicable to OCS Sources, August 
21, 1992.
    (B) (Reserved).
    (ii) Local requirements.
    (A) South Central Alaska Clean Air Authority Requirements Applicable 
to OCS Sources, August 21, 1992.
    (B) (Reserved).
    (3) California.
    (i) State requirements.
    (A) State of California Requirements Applicable to OCS Sources, 
August 30, 1994.
    (ii) Local requirements.
    (A)-(D) (Reserved).
    (E) San Luis Obispo County Air Pollution Control District 
Requirements Applicable to OCS Sources, March 11, 1994.
    (F) Santa Barbara County Air Pollution Control District Requirements 
Applicable to OCS Sources, April, 1996.
    (G) South Coast Air Quality Management District Requirements 
Applicable to OCS Sources (Part I and Part II), April, 1996.
    (H) Ventura County Air Pollution Control District Requirements 
Applicable to OCS Sources, April, 1996.
    (4) and (5) (Reserved).
    (6) Florida.
    (i) State requirements.
    (A) State of Florida Requirements Applicable to OCS Sources, January 
11, 1995.
    (B) (Reserved).
    (ii) Local requirements.
    (A) (Reserved).
    (7) through (16) (Reserved).
    (17) North Carolina.
    (i) State requirements.
    (A) State of North Carolina Air Pollution Control Requirements 
Applicable to OCS Sources, August 21, 1992.
    (B) (Reserved).
    (ii) Local requirements.
    (A) (Reserved).
    (18) through (23) (Reserved).

[57 FR 40806, Sept. 4, 1992, as amended at 58 FR 16626, Mar. 30, 1993; 
58 FR 59173, Nov. 8, 1993; 59 FR 17270, Apr. 12, 1994; 59 FR 50846, Oct. 
6, 1994; 60 FR 47293, Sept. 12, 1995; 60 FR 55327, Oct. 31, 1995; 61 FR 
28758, June 6, 1996]

    Effective Date Note:  At 61 FR 28758, June 6, 1996, Sec. 55.14 was 
amended by revising paragraphs (e)(3)(ii)(F), (G), and (H), effective 
July 8, 1996. For the convenience of the user the superseded text is set 
forth as follows:
Sec. 55.14  Requirements that apply to OCS sources located within 25 
miles of states' seaward boundaries, by state.

                                * * * * *

    (e) * * *
    (3) * * *
    (ii) * * *
    (F) Santa Barbara County Air Pollution Control District Requirements 
Applicable to OCS Sources, August, 1995.
    (G) South Coast Air Quality Management District Requirements 
Applicable to OCS Sources (Part I and Part II), August, 1995.
    (H) Ventura County Air Pollution Control District Requirements 
Applicable to OCS Sources, August, 1995.

                                * * * * *



Sec. 55.15  Specific designation of corresponding onshore areas.

    (a) California.
    (1) The South Coast Air Quality Management District is designated as 
the COA for the following OCS facilities: Edith, Ellen, Elly, and 
Eureka.
    (2) The Ventura County Air Pollution Control District is designated 
as the COA for the following OCS facilities: Grace, Gilda, Gail and 
Gina.
    (3) The Santa Barbara County Air Pollution Control District is 
designated as the COA for the following OCS facilities: Habitat, 
Hacienda, Harmony, Harvest, Heather, Henry, Heritage, Hermosa, Hidalgo, 
Hillhouse,

[[Page 65]]

Hogan, Houchin, Hondo, Irene, Independence (formerly Iris), the OS and 
T, and Union A, B, and C.
    (b) [Reserved]

[58 FR 14159, Mar. 16, 1993]

 Appendix A to 40 CFR Part 55--Listing of State and Local Requirements 
            Incorporated by Reference Into Part 55, by State

    This Appendix lists the titles of the state and local requirements 
that are contained within the documents incorporated by reference into 
40 CFR Part 55.

                                 Alaska

    (a) State requirements.
    (1) The following requirements are contained in State of Alaska 
Requirements Applicable to OCS Sources, August 21, 1992:
    Alaska Administrative Code--Department of Environmental 
Conservation. The following sections of Title 18, Chapter 50:

18 AAC 50.020  Ambient Air Quality Standards (Effective 7/21/91)
18 AAC 50.030  Open Burning (Effective 10/30/83)
18 AAC 50.040  Incinerators (Effective 10/30/83)
18 AAC 50.050  Industrial Processes and Fuel Burning Equipment 
          (Effective 5/11/91)
18 AAC 50.090  Ice Fog Limitations (Effective 5/26/72)
18 AAC 50.100  Marine Vessels (Effective 7/21/91)
18 AAC 50.110  Air Pollution Prohibited (Effective 5/26/72)
18 AAC 50.300  Permit to Operate (Effective 7/21/91)
18 AAC 50.310  Revocation or Suspension of Permit (Effective 5/4/80)
18 AAC 50.400  Application Review and Issuance of Permit to Operate 
          (Effective 7/21/91)
18 AAC 50.500  Source Testing (Effective 6/2/88)
18 AAC 50.510  Ambient Analysis Methods (Effective 7/21/91)
18 AAC 50.520  Emission and Ambient Monitoring (Effective 7/21/91)
18 AAC 50.530  Circumvention (Effective 6/7/87)
18 AAC 50.620  Air Quality Control Plan; Volume II, Section IV: 
          Paragraph F.--Facility Review Procedures; Paragraph G.--
          Application Review and Permit Development, only. (Effective 7/
          21/91)
18 AAC 50.900  Definitions (Effective 7/21/91)

    (b) Local requirements.
    (1) the following requirements are contained in South Central Alaska 
Clean Air Authority Requirements Applicable to OCS Sources, August 21, 
1992:

15.30.030  Definitions
15.30.100  Registration and Notification, except E
15.30.110  Permit to Operate
15.30.120  Source Reports
15.30.130  Source Tests
15.35.040  Stationary Source Emissions--General Definitions
15.35.050  Stationary Source Emissions--Visible Emission Standards
15.35.060  Stationary Source Emissions--Emission Standards
15.35.080  Stationary Source Emissions--Circumvention
15.35.090  Stationary Source Emissions--Fugitive Emissions
15.35.100  Stationary Source Emissions--Open Burning
      

                               California

    (a) State requirements.
    (1) The following requirements are contained in State of California 
Requirements applicable to OCS Sources, August 30, 1994:
    Barclays California Code of Regulations. The following section of 
Title 17 Subchapter 6:

17 Sec. 92000  Definitions (Adopted 5/31/91)
17 Sec. 92100  Scope and Policy (Adopted 10/18/82)
17 Sec. 92200  Visible Emission Standards (Adopted 5/31/91)
17 Sec. 92210  Nuisance Prohibition (Adopted 10/18/82)
17 Sec. 92220  Compliance with Performance Standards (Adopted 5/31/91)
17 Sec. 92400  Visible Evaluation Techniques (Adopted 5/31/91)
17 Sec. 92500  General Provisions (Adopted 5/31/91)
17 Sec. 92510  Pavement Marking (Adopted 5/31/91)
17 Sec. 92520  Stucco and Concrete (Adopted 5/31/91)
17 Sec. 92530  Certified Abrasives (Adopted 5/31/91)
17 Sec. 92540  Stucco and Concrete (Adopted 5/31/91)
    (b) Local requirements.
    (1)-(4)  (Reserved).
    (5) The following requirements are contained in San Luis Obispo 
County Air Pollution Control District Requirements Applicable to OCS 
Sources, March 11, 1994:

Rule 103 Conflicts Between District, State and Federal Rules (Adopted 8/
          6/76)
Rule 104 Action in Areas of High Concentration (Adopted 7/5/77)
Rule 105 Definitions (Adopted 10/6/93)
Rule 106 Standard Conditions (Adopted 8/6/76)
Rule 108 Severability (Adopted 11/13/84)
Rule 113 Continuous Emissions Monitoring, except F. (Adopted 7/5/77)
Rule 201 Equipment not Requiring a Permit, except A.1.b. (Adopted 11/5/
          91)

[[Page 66]]

Rule 202 Permits, except A.4. and A.8. (Adopted 11/5/91)
Rule 203 Applications, except B. (Adopted 11/5/91)
Rule 204 Requirements, except B.3. and C. (Adopted 8/10/93)
Rule 209 Provision for Sampling and Testing Facilities (Adopted 11/5/91)
Rule 210 Periodic Inspection, Testing and Renewal of Permits to Operate 
          (Adopted 11/5/91)
Rule 213 Calculations, except E.4. and F. (Adopted 8/10/93)
Rule 302 Schedule of Fees (Adopted 9/15/92)
Rule 305 Fees for Major Non-Vehicular Sources (title change-Adopted 9/
          15/92)
Rule 401 Visible Emissions (Adopted 8/6/76)
Rule 403 Particulate Matter Emissions (Adopted 8/6/76)
Rule 404 Sulfur Compounds Emission Standards, Limitations and 
          Prohibitions (Adopted 12/6/76)
Rule 405 Nitrogen Oxides Emission Standards, Limitations and 
          Prohibitions (Adopted 11/13/84)
Rule 406 Carbon Monoxide Emission Standards, Limitations and 
          Prohibitions (Adopted 11/14/84)
Rule 407 Organic Material Emission Standards, Limitations and 
          Prohibitions (Adopted 1/10/89)
Rule 411 Surface Coating of Metal Parts and Products (Adopted 1/10/89)
Rule 416 Degreasing Operations (Adopted 6/18/79)
Rule 417 Control of Fugitive Emissions of Volatile Organic Compounds 
          (Adopted 2/9/93)
Rule 422 Refinery Process Turnarounds (Adopted 6/18/79)
Rule 501 General Burning Provisions (Adopted 1/10/89)
Rule 503 Incinerator Burning, except B.1.a. (Adopted 2/7/89)
Rule 601 New Source Performance Standards (Adopted 9/4/90)

    (6) The following requirements are contained in Santa Barbara County 
Air Pollution Control District Requirements Applicable to OCS Sources, 
April 1996:

Rule 102  Definitions (Adopted 7/30/91)
Rule 103  Severability (Adopted 10/23/78)
Rule 201  Permits Required (Adopted 7/2/79)
Rule 202  Exemptions to Rule 201 (Adopted 3/10/92)
Rule 203  Transfer (Adopted 10/23/78)
Rule 204  Applications (Adopted 10/23/78)
Rule 205  Standards for Granting Applications (Adopted 7/30/91)
Rule 206  Conditional Approval of Authority to Construct or Permit to 
          Operate (Adopted 10/15/91)
Rule 207  Denial of Application (Adopted 10/23/78)
Rule 210  Fees (Adopted 5/7/91)
Rule 212  Emission Statements (Adopted 10/20/92)
Rule 301  Circumvention (Adopted 10/23/78)
Rule 302  Visible Emissions (Adopted 10/23/78)
Rule 304  Particulate Matter-Northern Zone (Adopted 10/23/78)
Rule 305  Particulate Matter Concentration-Southern Zone (Adopted 10/23/
          78)
Rule 306  Dust and fumes-Northern Zone (Adopted 10/23/78)
Rule 307  Particulate Matter Emission Weight Rate-Southern Zone (Adopted 
          10/23/78)
Rule 308  Incinerator Burning (Adopted 10/23/78)
Rule 309  Specific Contaminants (Adopted 10/23/78)
Rule 310  Odorous Organic Sulfides (Adopted 10/23/78)
Rule 311  Sulfur Content of Fuels (Adopted 10/23/78)
Rule 312  Open Fires (Adopted 10/2/90)
Rule 316  Storage and Transfer of Gasoline (Adopted 12/14/93)
Rule 317  Organic Solvents (Adopted 10/23/78)
Rule 318  Vacuum Producing Devices or Systems-Southern Zone (Adopted 10/
          23/78)
Rule 321  Control of Degreasing Operations (Adopted 7/10/90)
Rule 322  Metal Surface Coating Thinner and Reducer (Adopted 10/23/78)
Rule 323  Architectural Coatings (Adopted 3/16/95)
Rule 324  Disposal and Evaporation of Solvents (Adopted 10/23/78)
Rule 325  Crude Oil Production and Separation (Adopted 1/25/94)
Rule 326  Storage of Reactive Organic Liquid Compounds (Adopted 12/14/
          93)
Rule 327  Organic Liquid Cargo Tank Vessel Loading (Adopted 12/16/85)
Rule 328  Continuous Emission Monitoring (Adopted 10/23/78)
Rule 330  Surface Coating of Miscellaneous Metal Parts and Products 
          (Adopted 4/21/95)
Rule 331  Fugitive Emissions Inspection and Maintenance (Adopted 12/10/
          91)
Rule 332  Petroleum Refinery Vacuum Producing Systems, Wastewater 
          Separators and Process Turnarounds (Adopted 6/11/79)
Rule 333  Control of Emissions from Reciprocating Internal Combustion 
          Engines (Adopted 12/10/91)
Rule 342  Control of Oxides of Nitrogen (NOX from Boilers, Steam 
          Generators and Process Heaters) (Adopted 03/10/92)
Rule 343  Petroleum Storage Tank Degassing (Adopted 12/14/93)
Rule 344  Petroleum Sumps, Pits, and Well Cellars (Adopted 11/10/94)
Rule 359  Flares and Thermal Oxidizers (6/28/94)
Rule 370  Potential to Emit--Limitations for Part 70 Sources (Adopted 6/
          15/95)

[[Page 67]]

Rule 505  Breakdown Conditions Sections A.,B.1,. and D. only (Adopted 
          10/23/78)
Rule 603  Emergency Episode Plans (Adopted 6/15/81)
Rule 702  General Conformity (Adopted 10/20/94)
Rule 1301  Part 70 Operating Permits--General Information (Adopted 11/
          09/93)
Rule 1302  Part 70 Operating Permits--Permit Application (Adopted 11/09/
          93)
Rule 1303  Part 70 Operating Permits--Permits (Adopted 11/09/93)
Rule 1304  Part 70 Operating Permits--Issuance, Renewal, Modification 
          and Reopening (Adopted 11/09/93)
Rule 1305  Part 70 Operating Permits--Enforcement (Adopted 11/09/93)

    (7) The following requirements are contained in South Coast Air 
Quality Management District Requirements Applicable to OCS Sources, 
April 1996:

Rule 102  Definition of Terms (Adopted 11/4/88)
Rule 103  Definition of Geographical Areas (Adopted 1/9/76)
Rule 104  Reporting of Source Test Data and Analyses (Adopted 1/9/76)
Rule 108  Alternative Emission Control Plans (Adopted 4/6/90)
Rule 109  Recordkeeping for Volatile Organic Compound Emissions (Adopted 
          3/6/92)
Rule 201  Permit to Construct (Adopted 1/5/90)
Rule 201.1  Permit Conditions in Federally Issued Permits to Construct 
          (Adopted 1/5/90)
Rule 202  Temporary Permit to Operate (Adopted 5/7/76)
Rule 203  Permit to Operate (Adopted 1/5/90)
Rule 204  Permit Conditions (Adopted 3/6/92)
Rule 205  Expiration of Permits to Construct (Adopted 1/5/90)
Rule 206  Posting of Permit to Operate (Adopted 1/5/90)
Rule 207  Altering or Falsifying of Permit (Adopted 1/9/76)
Rule 208  Permit for Open Burning (Adopted 1/5/90)
Rule 209  Transfer and Voiding of Permits (Adopted 1/5/90)
Rule 210  Applications (Adopted 1/5/90)
Rule 212  Standards for Approving Permits (Adopted 8/12/94) except 
          (c)(3) and (e)
Rule 214  Denial of Permits (Adopted 1/5/90)
Rule 217  Provisions for Sampling and Testing Facilities (Adopted 1/5/
          90)
Rule 218  Stack Monitoring (Adopted 8/7/81)
Rule 219  Equipment Not Requiring a Written Permit Pursuant to 
          Regulation II (Adopted 8/12/94)
Rule 220  Exemption--Net Increase in Emissions (Adopted 8/7/81)
Rule 221  Plans (Adopted 1/4/85)
Rule 301  Permit Fees (Adopted 6/10/94) except (e)(3)and Table IV
Rule 304  Equipment, Materials, and Ambient Air Analyses (Adopted 6/10/
          94)
Rule 304.1  Analyses Fees (Adopted 6/10/94)
Rule 305  Fees for Acid Deposition (Adopted 10/4/91)
Rule 306  Plan Fees (Adopted 6/10/94)
Rule 309  Fees for Regulation XVI (Adopted 6/10/94)
Rule 401  Visible Emissions (Adopted 4/7/89)
Rule 403  Fugitive Dust (Adopted 7/9/93)
Rule 404  Particulate Matter--Concentration (Adopted 2/7/86)
Rule 405  Solid Particulate Matter--Weight (Adopted 2/7/86)
Rule 407  Liquid and Gaseous Air Contaminants (Adopted 4/2/82)
Rule 408  Circumvention (Adopted 5/7/76)
Rule 409  Combustion Contaminants (Adopted 8/7/81)
Rule 429  Start-Up and Shutdown Provisions for Oxides of Nitrogen 
          (Adopted 12/21/90)
Rule 430  Breakdown Provisions, (a) and (e) only (Adopted 5/5/78)
Rule 431.1  Sulfur Content of Gaseous Fuels (Adopted 10/2/92)
Rule 431.2  Sulfur Content of Liquid Fuels (Adopted 5/4/90)
Rule 431.3  Sulfur Content of Fossil Fuels (Adopted 5/7/76)
Rule 441  Research Operations (Adopted 5/7/76)
Rule 442  Usage of Solvents (Adopted 3/5/82)
Rule 444  Open Fires (Adopted 10/2/87)
Rule 463  Organic Liquid Storage (Adopted 3/11/94)
Rule 465  Vacuum Producing Devices or Systems (Adopted 11/1/91)
Rule 468  Sulfur Recovery Units (Adopted 10/8/76)
Rule 473  Disposal of Solid and Liquid Wastes (Adopted 5/7/76)
Rule 474  Fuel Burning Equipment-Oxides of Nitrogen (Adopted 12/4/81)
Rule 475  Electric Power Generating Equipment (Adopted 8/7/78)
Rule 476  Steam Generating Equipment (Adopted 10/8/76)
Rule 480  Natural Gas Fired Control Devices (Adopted 10/7/77)
Addendum to Regulation IV (Effective 1977)
Rule 701  General (Adopted 7/9/82)
Rule 702  Definitions (Adopted 7/11/80)
Rule 704  Episode Declaration (Adopted 7/9/82)
Rule 707  Radio--Communication System (Adopted 7/11/80)
Rule 708  Plans (Adopted 7/9/82)
Rule 708.1  Stationary Sources Required to File Plans (Adopted 4/4/80)
Rule 708.2  Content of Stationary Source Curtailment Plans (Adopted 4/4/
          80)
Rule 708.4  Procedural Requirements for Plans (Adopted 7/11/80)
Rule 709  First Stage Episode Actions (Adopted 7/11/80)
Rule 710  Second Stage Episode Actions (Adopted 7/11/80)

[[Page 68]]

Rule 711  Third Stage Episode Actions (Adopted 7/11/80)
Rule 712  Sulfate Episode Actions (Adopted 7/11/80)
Rule 715  Burning of Fossil Fuel on Episode Days (Adopted 8/24/77)
Regulation IX--New Source Performance Standards (Adopted 4/8/94)
Rule 1106  Marine Coatings Operations (Adopted 1/13/95)
Rule 1107  Coating of Metal Parts and Products (Adopted 5/12/95)
Rule 1109  Emissions of Oxides of Nitrogen for Boilers and Process 
          Heaters in Petroleum Refineries (Adopted 8/5/88)
Rule 1110  Emissions from Stationary Internal Combustion Engines 
          (Demonstration) (Adopted 11/6/81)
Rule 1110.1  Emissions from Stationary Internal Combustion Engines 
          (Adopted 10/4/85)
Rule 1110.2  Emissions from Gaseous and Liquid-Fueled Internal 
          Combustion Engines (Adopted 12/9/94)
Rule 1113  Architectural Coatings (Adopted 9/6/91)
Rule 1116.1  Lightering Vessel Operations-Sulfur Content of Bunker Fuel 
          (Adopted 10/20/78)
Rule 1121  Control of Nitrogen Oxides from Residential-Type Natural Gas-
          Fired Water Heaters (Adopted 3/10/95)
Rule 1122  Solvent Cleaners (Degreasers) (Adopted 4/5/91)
Rule 1123  Refinery Process Turnarounds (Adopted 12/7/90)
Rule 1129  Aerosol Coatings (Adopted 11/2/90)
Rule 1134  Emissions of Oxides of Nitrogen from Stationary Gas Turbines 
          (Adopted 8/4/89)
Rule 1136  Wood Products Coatings (Adopted 8/12/94)
Rule 1140  Abrasive Blasting (Adopted 8/2/85)
Rule 1142  Marine Tank Vessel Operations (Adopted 7/19/91)
Rule 1146  Emissions of Oxides of Nitrogen from Industrial, 
          Institutional, and Commercial Boilers, Steam Generators, and 
          Process Heaters (Adopted 5/13/94)
Rule 1146.1  Emission of Oxides of Nitrogen from Small Industrial, 
          Institutional, and Commercial Boilers, Steam Generators, and 
          Process Heaters (Adopted 5/13/94)
Rule 1148  Thermally Enhanced Oil Recovery Wells (Adopted 11/5/82)
Rule 1149  Storage Tank Degassing (Adopted 4/1/88)
Rule 1168  Control of Volatile Organic Compound Emissions from Adhesive 
          Application (Adopted 12/10/93)
Rule 1171  Solvent Cleaning Operations (Adopted 5/12/95)
Rule 1173  Fugitive Emissions of Volatile Organic Compounds (Adopted 5/
          13/94)
Rule 1176  Sumps and Wastewater Separators (Adopted 5/13/94)
Rule 1301  General (Adopted 6/28/90)
Rule 1302  Definitions (Adopted 5/3/91)
Rule 1303  Requirements (Adopted 5/3/91)
Rule 1304  Exemptions (Adopted 9/11/92)
Rule 1306  Emission Calculations (Adopted 5/3/91)
Rule 1313  Permits to Operate (Adopted 6/28/90)
Rule 1403  Asbestos Emissions from Demolition/Renovation Activities 
          (Adopted 4/8/94)
Rule 1610  Old-Vehicle Scrapping (Adopted 1/14/94)
Rule 1701  General (Adopted 1/6/89)
Rule 1702  Definitions (Adopted 1/6/89)
Rule 1703  PSD Analysis (Adopted 10/7/88)
Rule 1704  Exemptions (Adopted 1/6/89)
Rule 1706  Emission Calculations (Adopted 1/6/89)
Rule 1713  Source Obligation (Adopted 10/7/88)
Regulation XVII  Appendix (effective 1977)
Rule 1901  General Conformity (Adopted 9/9/94)
Rule 2000  General (Adopted 10/15/93)
Rule 2001  Applicability (Adopted 10/15/93)
Rule 2002  Allocations for oxides of nitrogen (NOX) and oxides of 
          sulfur (SOx) Emissions (Adopted 3/10/95)
Rule 2004  Requirements (Adopted 10/15/93) except (l) (2 and 3)
Rule 2005  New Source Review for RECLAIM (Adopted 10/15/93) except (i)
Rule 2006  Permits (Adopted 10/15/93)
Rule 2007  Trading Requirements (Adopted 10/15/93)
Rule 2008  Mobiles Source Credits (Adopted 10/15/93)
Rule 2010  Administrative Remedies and Sanctions (Adopted 10/15/93)
Rule 2011  Requirements for Monitoring, Reporting, and Recordkeeping for 
          Oxides of Sulfur (SOx) Emissions (Adopted 10/15/93)
Appendix A  Volume IV--(Protocol for oxides of sulfur) (Adopted 3/10/95)
Rule 2012  Requirements for Monitoring, Reporting, and Recordkeeping for 
          Oxides of Nitrogen (NOX) Emissions (Adopted 10/15/93)
Appendix A  Volume V--(Protocol for oxides of nitrogen) (Adopted 3/10/
          95)
Rule 2015  Backstop Provisions (Adopted 10/15/93) except (b)(1)(G) and 
          (b)(3)(B)
XXXI Acid Rain Permit Program (Adopted 2/10/95)

    (8) The following requirements are contained in Ventura County Air 
Pollution Control District Requirements Applicable to OCS Sources, April 
1996:

Rule 2  Definitions (Adopted 12/15/92)
Rule 5  Effective Date (Adopted 5/23/72)
Rule 6  Severability (Adopted 11/21/78)
Rule 7  Zone Boundaries (Adopted 6/14/77)
Rule 10  Permits Required (Adopted 6/13/95)
Rule 11  Definition for Regulation II (Adopted 6/13/95)

[[Page 69]]

Rule 12  Application for Permits (Adopted 6/13/95)
Rule 13  Action on Applications for an Authority to Construct (Adopted 
          6/13/95)
Rule 14  Action on Applications for a Permit to Operate (Adopted 6/13/
          95)
Rule 15.1  Sampling and Testing Facilities (Adopted 10/12/93)
Rule 16  BACT Certification (Adopted 6/13/95)
Rule 19  Posting of Permits (Adopted 5/23/72)
Rule 20  Transfer of Permit (Adopted 5/23/72)
Rule 23  Exemptions from Permits (Adopted 12/13/94)
Rule 24  Source Recordkeeping, Reporting, and Emission Statements 
          (Adopted 9/15/92)
Rule 26  New Source Review (Adopted 10/22/91)
Rule 26.1  New Source Review--Definitions (Adopted 10/22/91)
Rule 26.2  New Source Review--Requirements (Adopted 10/22/91)
Rule 26.3  New Source Review--Exemptions (Adopted 10/22/91)
Rule 26.6  New Source Review--Calculations (Adopted 10/22/91)
Rule 26.8  New Source Review--Permit To Operate (Adopted 10/22/91)
Rule 26.10  New Source Review--PSD (Adopted 10/22/91)
Rule 28  Revocation of Permits (Adopted 7/18/72)
Rule 29  Conditions on Permits (Adopted 10/22/91)
Rule 30  Permit Renewal (Adopted 5/30/89)
Rule 32  Breakdown Conditions: Emergency Variances, A., B.1., and D. 
          only. (Adopted 2/20/79)
Rule 33  Part 70 Permits--General (Adopted 10/12/93)
Rule 33.1  Part 70 Permits--Definitions (Adopted 10/12/93)
Rule 33.2  Part 70 Permits--Application Contents (Adopted 10/12/93)
Rule 33.3  Part 70 Permits--Permit Content (Adopted 10/12/93)
Rule 33.4  Part 70 Permits--Operational Flexibility (Adopted 10/12/93)
Rule 33.5  Part 70 Permits--Timeframes for Applications, Review and 
          Issuance (Adopted 10/12/93)
Rule 33.6  Part 70 Permits--Permit Term and Permit Reissuance (Adopted 
          10/12/93)
Rule 33.7  Part 70 Permits--Notification (Adopted 10/12/93)
Rule 33.8  Part 70 Permits--Reopening of Permits (Adopted 10/12/93)
Rule 33.9  Part 70 Permits--Compliance Provisions (Adopted 10/12/93)
Rule 33.10  Part 70 Permits--General Part 70 Permits (Adopted 10/12/93)
Rule 34  Acid Deposition Control (Adopted 3/14/95)
Appendix II-B  Best Available Control Technology (BACT) Tables (Adopted 
          12/86)
Rule 42  Permit Fees (Adopted 7/11/95)
Rule 44  Exemption Evaluation Fee (Adopted 1/8/91)
Rule 45  Plan Fees (Adopted 6/19/90)
Rule 45.2  Asbestos Removal Fees (Adopted 8/4/92)
Rule 50  Opacity (Adopted 2/20/79)
Rule 52  Particulate Matter-Concentration (Adopted 5/23/72)
Rule 53  Particulate Matter-Process Weight (Adopted 7/18/72)
Rule 54  Sulfur Compounds (Adopted 6/14/94)
Rule 56  Open Fires (Adopted 3/29/94)
Rule 57  Combustion Contaminants-Specific (Adopted 6/14/77)
Rule 60  New Non-Mobile Equipment-Sulfur Dioxide, Nitrogen Oxides, and 
          Particulate Matter (Adopted 7/8/72)
Rule 62.7  Asbestos--Demolition and Renovation (Adopted 6/16/92)
Rule 63  Separation and Combination of Emissions (Adopted 11/21/78)
Rule 64  Sulfur Content of Fuels (Adopted 6/14/94)
Rule 66  Organic Solvents (Adopted 11/24/87)
Rule 67  Vacuum Producing Devices (Adopted 7/5/83)
Rule 68  Carbon Monoxide (Adopted 6/14/77)
Rule 71  Crude Oil and Reactive Organic Compound Liquids (Adopted 12/13/
          94)
Rule 71.1  Crude Oil Production and Separation (Adopted 6/16/92)
Rule 71.2  Storage of Reactive Organic Compound Liquids (Adopted 9/26/
          89)
Rule 71.3  Transfer of Reactive Organic Compound Liquids (Adopted 6/16/
          92)
Rule 71.4  Petroleum Sumps, Pits, Ponds, and Well Cellars (Adopted 6/8/
          93)
Rule 71.5  Glycol Dehydrators (Adopted 12/13/94)
Rule 72  New Source Performance Standards (NSPS) (Adopted 6/28/94)
Rule 74  Specific Source Standards (Adopted 7/6/76)
Rule 74.1  Abrasive Blasting (Adopted 11/12/91)
Rule 74.2  Architectural Coatings (Adopted 08/11/92)
Rule 74.6  Surface Cleaning and Degreasing (Adopted 5/8/90)
Rule 74.6.1  Cold Cleaning Operations (Adopted 9/12/89)
Rule 74.6.2  Batch Loaded Vapor Degreasing Operations (Adopted 9/12/89)
Rule 74.7  Fugitive Emissions of Reactive Organic Compounds at Petroleum 
          Refineries and Chemical Plants (Adopted 1/10/89)
Rule 74.8  Refinery Vacuum Producing Systems, Waste-water Separators and 
          Process Turnarounds (Adopted 7/5/83)
Rule 74.9  Stationary Internal Combustion Engines (Adopted 12/21/93)
Rule 74.10  Components at Crude Oil Production Facilities and Natural 
          Gas Production and Processing Facilities (Adopted 6/16/92)

[[Page 70]]

Rule 74.11  Natural Gas-Fired Residential Water Heaters-Control of 
          NOx (Adopted 4/9/85)
Rule 74.12  Surface Coating of Metal Parts and Products (Adopted 12/13/
          94)
Rule 74.15  Boilers, Steam Generators and Process Heaters (5MM BTUs and 
          greater) (Adopted 11/8/94)
Rule 74.15.1  Boilers, Steam Generators and Process Heaters (1-5MM 
          BTUs)(Adopted 6/13/95)
Rule 74.16  Oil Field Drilling Operations (Adopted 1/8/91)
Rule 74.20  Adhesives and Sealants (Adopted 6/8/93)
Rule 74.23  Stationary Gas Turbines (Adopted 3/14/95)
Rule 74.24  Marine Coating Operations (Adopted 3/8/94)
Rule 74.26  Crude Oil Storage Tank Degassing Operations (Adopted 11/8/
          94)
Rule 74.27  Gasoline and ROC Liquid Storage Tank Degassing Operations 
          (Adopted 11/8/94)
Rule 74.28  Asphalt Roofing Operations (Adopted 5/10/94)
Rule 74.30  Wood Products Coatings (Adopted 5/17/94)
Rule 75  Circumvention (Adopted 11/27/78)
Appendix IV-A  Soap Bubble Tests (Adopted 12/86)
Rule 100  Analytical Methods (Adopted 7/18/72)
Rule 101  Sampling and Testing Facilities (Adopted 5/23/72)
Rule 102  Source Tests (Adopted 11/21/78)
Rule 103  Stack Monitoring (Adopted 6/4/91)
Rule 154  Stage 1 Episode Actions (Adopted 9/17/91)
Rule 155  Stage 2 Episode Actions (Adopted 9/17/91)
Rule 156  Stage 3 Episode Actions (Adopted 9/17/91)
Rule 158  Source Abatement Plans (Adopted 9/17/91)
Rule 159  Traffic Abatement Procedures (Adopted 9/17/91)
Rule 220  General Conformity (Adopted 5/9/95)

                                 Florida

    (1) The following requirements are contained in State of Florida 
Requirements Applicable to OCS Sources, January 11, 1995:
    Florida Administrative Code-Department of Environmental Protection. 
The following sections of Chapter 62:
4.001  Scope of Part I (Adopted 8/31/88)
4.020  Definitions (Adopted 7/11/93)
4.021  Transferability of Definitions (Adopted 8/31/88)
4.030  General Prohibitions (Adopted 8/31/88)
4.040  Exemptions (Adopted 8/31/88)
4.050  Procedure to Obtain Permit; Application, except (4)(b) through 
          (4)(l) and 4(r) (Adopted 11/23/94)
4.070  Standards for Issuing or Denying Permits; Issuance; Denial 
          (Adopted 3/28/91)
4.080  Modification of Permit Conditions (Adopted 3/19/90)
4.090  Renewals (Adopted 7/11/93)
4.100  Suspension and Revocation (Adopted 8/31/88)
4.110  Financial Responsibility (Adopted 8/31/88)
4.120  Transfer of Permits (Adopted 3/19/90)
4.130  Plant Operation--Problems (Adopted 8/31/88)
4.160  Permit Conditions, except (16) and (17) (Adopted 7/11/93)
4.200  Scope of Part II (Adopted 8/31/88)
4.210  Construction Permits (Adopted 8/31/88)
4.220  Operation Permits for New Sources (Adopted 8/31/88)
4.510  Scope of Part III (Adopted 8/31/88)
4.520  Definitions (Adopted 7/11/90)
4.530  Procedures (Adopted 3/19/90)
4.540  General Conditions for all General Permits (Adopted 8/31/88)
210.100  Purpose and Scope (Adopted 11/23/94)
210.200  Definitions (Adopted 11/23/94)
210.300  Permits Required (Adopted 11/23/94)
210.360  Administrative Permit Corrections (Adopted 11/23/94)
210.370  Reports (Adopted 11/23/94)
210.400  Emission Estimates (Adopted 11/23/94)
210.500  Air Quality Models (Adopted 11/23/94)
210.550  Stack Height Policy (Adopted 11/23/94)
210.600  Enhanced Monitoring (Adopted 11/23/94)
210.650  Circumvention (Adopted 9/25/92)
210.700  Excess Emissions (Adopted 11/23/94)
210.900  Forms (Adopted 11/23/94)
210.980  Severability (Adopted 9/25/92)
212.100  Purpose and Scope (Adopted 2/2/93)
212.200  Definitions (Adopted 2/2/93)
212.300  Sources Not Subject to Prevention of Significant Deterioration 
          or Nonattainment Requirements (Adopted 9/25/92)
212.400  Prevention of Significant Deterioration (Adopted 2/2/93)
212.410  Best Available Control Technology (BACT) (Adopted 9/25/92)
212.500 New Source Review for Nonattainment Areas (Adopted 2/2/93)
212.510  Lowest Achievable Emission Rate (LAER) (Adopted 9/25/92)
212.600  Source Specific New Source Review Requirements (Adopted 9/25/
          92)
212.700  Source Reclassification (Adopted 9/25/92)
256.100  Declaration and Intent (Adopted 11/30/94)
256.200  Definitions (Adopted 11/30/94)
256.300  Prohibitions (Adopted 11/30/94)
256.450  Open Burning Allowed (Adopted 6/27/91)

[[Page 71]]

256.600  Industrial, Commercial, Municipal and Research Open Burning 
          (Adopted 8/26/87)
256.700  Open Burning Allowed (Adopted 11/30/94)
272.100  Purpose and Scope (Adopted 11/23/94)
272.200  Definitions (Adopted 11/23/94)
272.300  Ambient Air Quality Standards (Adopted 11/23/94)
272.500  Maximum Allowable Increases (Prevention of Significant 
          Deterioration) (Adopted 11/23/94)
272.750  DER Ambient Test Methods (Adopted 9/25/92)
273.200  Definitions (Adopted 9/25/92)
273.300  Air Pollution Episodes (Adopted 9/25/92)
273.400  Air Alert (Adopted 9/25/92)
273.500  Air Warning (Adopted 9/25/92)
273.600  Air Emergency (Adopted 9/25/92)
296.100  Purpose and Scope (Adopted 11/23/94)
296.200  Definitions (Adopted 11/23/94)
296.310  General Particulate Emission Limiting Standards (Adopted 11/23/
          94)
296.320  General Pollutant Emission Limiting Standards, except (2) 
          (Adopted 2/2/93)
296.330  Best Available Control Technology (BACT) (Adopted 11/23/94)
296.400  Specific Emission Limiting and Performance Standards (Adopted 
          11/23/94)
296.500  Reasonably Available Control Technology (RACT)--Volatile 
          Organic Compounds (VOC) and Nitrogen Oxides (NOX) 
          Emitting Facilities (Adopted 11/23/94)
296.570  Reasonably Available Control Technology (RACT)--Requirements 
          for Major VOC- and NOX-Emitting Facilities (Adopted 11/
          23/94)
296.600  Reasonably Available Control Technology (RACT)--Lead (Adopted 
          8/8/94)
296.601  Lead Processing Operations in General (Adopted 8/8/94)
296.700  Reasonably Available Control Technology (RACT)--Particulate 
          Matter, except (2)(f) (Adopted 11/23/94)
296.800  Standards of Performance for New Stationary Sources (NSPS) 
          (Adopted 11/23/94)
296.810  National Emission Standards for Hazardous Air Pollutants 
          (NESHAP)--Part 61 (Adopted 11/23/94)
296.820  National Emission Standards for Hazardous Air Pollutants 
          (NESHAP)--Part 63 (Adopted 11/23/94)
297.100  Purpose and Scope (Adopted 11/23/94)
297.200  Definitions (Adopted 11/23/94)
297.310  General Test Requirements (Adopted 11/23/94)
297.330  Applicable Test Procedures (Adopted 11/23/94)
297.340  Frequency of Compliance Tests (Adopted 11/23/94)
297.345  Stack Sampling Facilities Provided by the Owner of an Air 
          Pollution Point Source (Adopted 11/23/94)
297.350  Determination of Process Variables (Adopted 11/23/94)
297.400  EPA Methods Adopted by Reference (Adopted 11/23/94)
297.401  EPA Test Procedures (Adopted 11/23/94)
297.411  DER Method 1 (Adopted 11/23/94)
297.412  DER Method 2 (Adopted 12/2/92)
297.413  DER Method 3 (Adopted 12/2/92)
297.414  DER Method 4 (Adopted 12/2/92)
297.415  DER Method 5 (Adopted 11/23/94)
297.416  DER Method 5A (Adopted 12/2/92)
297.417  DER Method 6 (Adopted 11/23/94)
297.418  DER Method 7 (Adopted 12/2/92)
297.419  DER Method 8 (Adopted 12/2/92)
297.420  DER Method 9 (Adopted 11/23/94)
297.421  DER Method 10 (Adopted 12/2/92)
297.422  DER Method 11 (Adopted 12/2/92)
297.423  DER Method 12--Determination of Inorganic Lead Emissions from 
          Stationary Sources (Adopted 11/23/94)
297.424  DER Method 13 (Adopted 12/2/92)
297.440  Supplementary Test Procedures (Adopted 11/23/94)
297.450  EPA VOC Capture Efficiency Test Procedures (Adopted 11/23/94)
297.520  EPA Performance Specifications (Adopted 11/23/94)
297.570  Test Report (Adopted 11/23/94)
297.620  Exceptions and Approval of Alternate Procedures and 
          Requirements (Adopted 11/23/94)

    (b) Local requirements.
    (1) (Reserved).

                             North Carolina

    (a) State requirements.
    (1) The following requirements are contained in State of North 
Carolina Air Pollution Control Requirements Applicable to OCS Sources, 
August 21, 1992: The following sections of Subchapters 2D and 2H:

2D.0101  Definitions (Adopted 12/1/89)
2D.0104  Adoption by Reference Updates (Adopted 10/1/89)
2D.0201  Classification of Air Pollution Sources (Adopted 7/1/84)
2D.0202  Registration of Air Pollution Sources (Adopted 6/1/85)
2D.0303  Emission Reduction Plans (Adopted 7/1/84)
2D.0304  Preplanned Abatement Program (Adopted 7/1/88)
2D.0305  Emission Reduction Plan; Alert Level (Adopted 7/1/84)
2D.0306  Emission Reduction Plan; Warning Level (Adopted 7/1/84)
2D.0307  Emission Reduction Plan; Emergency Level (Adopted 7/1/84)
2D.0401  Purpose (Adopted 10/1/89)
2D.0501  Compliance with Emission Control Standards (Adopted 10/1/89)
2D.0502  Purpose (Adopted 6/1/85)
2D.0503  Particulates from Fuel Burning Indirect Heat Exchanger (Adopted 
          6/1/85)
2D.0505  Control of Particulate from Incinerators (Adopted 7/1/87)

[[Page 72]]

2D.0510  Particulates: Sand, Gravel and Crushed Stone Operations 
          (Adopted 1/1/85)
2D.0511  Particulates, SO2 from Lightweight Aggregate Processes 
          (Adopted 10/1/89)
2D.0515  Particulates from Miscellaneous Industrial Processes (Adopted 
          1/1/85)
2D.0516  Sulfur Dioxide Emissions Combustion Sources (Adopted 10/1/89)
2D.0518  Miscellaneous Volatile Organic Compound Emissions (Adopted 2/1/
          83)
2D.0519  Control of Nitrogen Dioxide Emissions (Adopted 10/1/89)
2D.0520  Control and Prohibition of Open Burning (Adopted 1/1/85)
2D.0521  Control of Visible Emissions (Adopted 8/1/87)
2D.0530  Prevention of Significant Deterioration (Adopted 10/1/89)
2D.0531  Sources in Nonattainment Area (Adopted 12/1/89)
2D.0532  Sources Contributing to an Ambient Violation (Adopted 10/1/89)
2D.0533  Stack Height (Adopted 7/1/87)
2D.0535  Excess Emissions Reporting and Malfunctions, (a) and (f) only. 
          (Adopted 5/1/90)
2D.0537  Control of Mercury Emissions (Adopted 6/1/85)
2D.0601  Purpose and Scope (Adopted 7/1/84)
2D.0602  Definitions (Adopted 7/1/84)
2D.0604  Sources Covered by Implementation Plan Requirements (Adopted 7/
          1/88)
2D.0606  Other Coal or Residual Oil Burners (Adopted 5/1/85)
2D.0607  Exceptions to Monitoring and Reporting (Adopted 7/1/84)
2D.0901  Definitions (Adopted 12/1/89)
2D.0902  Applicability (Adopted 5/1/90)
2D.0903  Recordkeeping, Reporting, Monitoring (Adopted 12/1/89)
2D.0906  Circumvention (Adopted 1/1/85)
2D.0912  General Provisions on Test Methods and Procedures (Adopted 12/
          1/89)
2D.0914  Determination of VOC Emission Control System Efficiency 
          (Adopted 1/1/85)
2D.0925  Petroleum Liquid Storage (Adopted 12/1/89)
2D.0933  Petroleum Liquid Storage in External Floating Roof Tanks 
          (Adopted 12/1/89)
2D.0939  Determination of Volatile Organic Compound Vapor Emissions 
          (Adopted 7/1/88)
2D.1101  Purpose (Adopted 5/1/90)
2D.1102  Applicability (Adopted 5/1/90)
2D.1103  Definition (Adopted 5/1/90)
2D.1104  Toxic Air Pollutant Guidelines (Adopted 5/1/90)
2D.1105  Facility Reporting, Recordkeeping (Adopted 5/1/90)
2D.1106  Determination of Ambient Air Concentrations (Adopted 5/1/90)
2D.1107  Multiple Facilities (Adopted 5/1/90)
2D.1108  Multiple Pollutants (Adopted 5/1/90)
2H.0601  Purpose and Scope (Adopted 10/1/89)
2H.0602  Definitions (Adopted 5/1/90)
2H.0603  Applications (Adopted 12/1/89)
2H.0609  Permit Fees (Adopted 8/1/88)
2H.0610  Permit Requirements for Toxic Air Pollutants (Adopted 5/1/90)

    (b) Local requirements.
    (1) (Reserved).

[57 FR 40806, Sept. 4, 1992, as amended at 58 FR 16626, Mar. 30, 1993; 
58 FR 59173, Nov. 8, 1993; 59 FR 17271, Apr. 12, 1994; 59 FR 50846, Oct. 
6, 1994; 60 FR 47293, Sept. 12, 1995; 60 FR 55328, Oct. 31, 1995; 61 FR 
28758, June 6, 1996]

    Effective Date Note:  At 61 FR 28758, June 6, 1996, Appendix A to 
part 55 was amended by revising paragraph (b)(6), (7), and (8) under the 
heading ``California'', effective July 8, 1996. For the convenience of 
the user, the superseded text is set forth as follows:

 Appendix A to 40 CFR Part 55--Listing of State and Local Requirements 
            Incorporated by Reference Into Part 55, by State.

                                * * * * *

    California

                                * * * * *

    (b) * * *
    (6) The following requirements are contained in Santa Barbara County 
Air Pollution Control District Requirements Applicable to OCS Sources, 
August, 1995:

Rule 102  Definitions (Adopted 7/30/91)
Rule 103  Severability (Adopted 10/23/78)
Rule 201  Permits Required (Adopted 7/2/79)
Rule 202  Exemptions to Rule 201 (Adopted 3/10/92)
Rule 203  Transfer (Adopted 10/23/78)
Rule 204  Applications (Adopted 10/23/78)
Rule 205  Standards for Granting Applications (Adopted 7/30/91)
Rule 206  Conditional Approval of Authority to Construct or Permit to 
          Operate (Adopted 10/15/91)
Rule 207  Denial of Application (Adopted 10/23/78)
Rule 210  Fees (Adopted 5/7/91)
Rule 212  Emission Statements (Adopted 10/20/92)
Rule 301  Circumvention (Adopted 10/23/78)
Rule 302  Visible Emissions (Adopted 10/23/78)
Rule 304  Particulate Matter-Northern Zone (Adopted 10/23/78)
Rule 305  Particulate Matter Concentration-Southern Zone (Adopted 10/23/
          78)
Rule 306  Dust and fumes-Northern Zone (Adopted 10/23/78)
Rule 307  Particulate Matter Emission Weight Rate-Southern Zone (Adopted 
          10/23/78)
Rule 308  Incinerator Burning (Adopted 10/23/78)

[[Page 73]]

Rule 309  Specific Contaminants (Adopted 10/23/78)
Rule 310  Odorous Organic Sulfides (Adopted 10/23/78)
Rule 311  Sulfur Content of Fuels (Adopted 10/23/78)
Rule 312  Open Fires (Adopted 10/2/90)
Rule 316  Storage and Transfer of Gasoline (Adopted 12/14/93)
Rule 317  Organic Solvents (Adopted 10/23/78)
Rule 318  Vacuum Producing Devices or Systems-Southern Zone (Adopted 10/
          23/78)
Rule 321  Control of Degreasing Operations (Adopted 7/10/90)
Rule 322  Metal Surface Coating Thinner and Reducer (Adopted 10/23/78)
Rule 323  Architectural Coatings (Adopted 2/20/90)
Rule 324  Disposal and Evaporation of Solvents (Adopted 10/23/78)
Rule 325  Crude Oil Production and Separation (Adopted 1/25/94)
Rule 326  Storage of Reactive Organic Liquid Compounds (Adopted 12/14/
          93)
Rule 327  Organic Liquid Cargo Tank Vessel Loading (Adopted 12/16/85)
Rule 328  Continuous Emission Monitoring (Adopted 10/23/78)
Rule 330  Surface Coating of Miscellaneous Metal Parts and Products 
          (Adopted 11/13/90)
Rule 331  Fugitive Emissions Inspection and Maintenance (Adopted 12/10/
          91)
Rule 332  Petroleum Refinery Vacuum Producing Systems, Wastewater 
          Separators and Process Turnarounds (Adopted 6/11/79)
Rule 333  Control of Emissions from Reciprocating Internal Combustion 
          Engines (Adopted 12/10/91)
Rule 342  Control of Oxides of Nitrogen (NOX from Boilers, Steam 
          Generators and Process Heaters) (Adopted 03/10/92)
Rule 343  Petroleum Storage Tank Degassing (Adopted 12/14/93)
Rule 359  Flares and Thermal Oxidizers (6/28/94)
Rule 505  Breakdown Conditions Sections A.,B.1,. and D. only (Adopted 
          10/23/78)
Rule 603  Emergency Episode Plans (Adopted 6/15/81)
Rule 702  General Conformity (Adopted 10/20/94)

    (7) The following requirements are contained in South Coast Air 
Quality Management District Requirements Applicable to OCS Sources, 
August, 1995:

Rule 102  Definition of Terms (Adopted 11/4/88)
Rule 103  Definition of Geographical Areas (Adopted 1/9/76)
Rule 104  Reporting of Source Test Data and Analyses (Adopted 1/9/76)
Rule 108  Alternative Emission Control Plans (Adopted 4/6/90)
Rule 109  Recordkeeping for Volatile Organic Compound Emissions (Adopted 
          3/6/92)
Rule 201  Permit to Construct (Adopted 1/5/90)
Rule 201.1  Permit Conditions in Federally Issued Permits to Construct 
          (Adopted 1/5/90)
Rule 202  Temporary Permit to Operate (Adopted 5/7/76)
Rule 203  Permit to Operate (Adopted 1/5/90)
Rule 204  Permit Conditions (Adopted 3/6/92)
Rule 205  Expiration of Permits to Construct (Adopted 1/5/90)
Rule 206  Posting of Permit to Operate (Adopted 1/5/90)
Rule 207  Altering or Falsifying of Permit (Adopted 1/9/76)
Rule 208  Permit for Open Burning (Adopted 1/5/90)
Rule 209  Transfer and Voiding of Permits (Adopted 1/5/90)
Rule 210  Applications (Adopted 1/5/90)
Rule 212  Standards for Approving Permits (Adopted 8/12/94) except 
          (c)(3) and (e)
Rule 214  Denial of Permits (Adopted 1/5/90)
Rule 217  Provisions for Sampling and Testing Facilities (Adopted 1/5/
          90)
Rule 218  Stack Monitoring (Adopted 8/7/81)
Rule 219  Equipment Not Requiring a Written Permit Pursuant to 
          Regulation II (Adopted 8/12/94)
Rule 220  Exemption--Net Increase in Emissions (Adopted 8/7/81)
Rule 221  Plans (Adopted 1/4/85)
Rule 301  Permit Fees (Adopted 6/10/94) except (e)(3) and Table IV
Rule 304  Equipment, Materials, and Ambient Air Analyses (Adopted 6/10/
          94)
Rule 304.1  Analyses Fees (Adopted 6/10/94)
Rule 305  Fees for Acid Deposition (Adopted 10/4/91)
Rule 306  Plan Fees (Adopted 6/10/94)
Rule 309  Fees for Regulation XVI (Adopted 6/10/94)
Rule 401  Visible Emissions (Adopted 4/7/89)
Rule 403  Fugitive Dust (Adopted 7/9/93)
Rule 404  Particulate Matter--Concentration (Adopted 2/7/86)
Rule 405  Solid Particulate Matter--Weight (Adopted 2/7/86)
Rule 407  Liquid and Gaseous Air Contaminants (Adopted 4/2/82)
Rule 408  Circumvention (Adopted 5/7/76)
Rule 409  Combustion Contaminants (Adopted 8/7/81)
Rule 429  Start-Up and Shutdown Provisions for Oxides of Nitrogen 
          (Adopted 12/21/90)
Rule 430  Breakdown Provisions, (a) and (e) only. (Adopted 5/5/78)
Rule 431.1  Sulfur Content of Gaseous Fuels (Adopted 10/2/92)
Rule 431.2  Sulfur Content of Liquid Fuels (Adopted 5/4/90)
Rule 431.3  Sulfur Content of Fossil Fuels (Adopted 5/7/76)

[[Page 74]]

Rule 441  Research Operations (Adopted 5/7/76)
Rule 442  Usage of Solvents (Adopted 3/5/82)
Rule 444  Open Fires (Adopted 10/2/87)
Rule 463  Storage of Organic Liquids (Adopted 3/11/94)
Rule 465  Vacuum Producing Devices or Systems (Adopted 11/1/91)
Rule 468  Sulfur Recovery Units (Adopted 10/8/76)
Rule 473  Disposal of Solid and Liquid Wastes (Adopted 5/7/76)
Rule 474  Fuel Burning Equipment-Oxides of Nitrogen (Adopted 12/4/81)
Rule 475  Electric Power Generating Equipment (Adopted 8/7/78)
Rule 476  Steam Generating Equipment (Adopted 10/8/76)
Rule 480  Natural Gas Fired Control Devices (Adopted 10/7/77)
Addendum to Regulation IV (Effective 1977)
Rule 701  General (Adopted 7/9/82)
Rule 702  Definitions (Adopted 7/11/80)
Rule 704  Episode Declaration (Adopted 7/9/82)
Rule 707  Radio--Communication System (Adopted 7/11/80)
Rule 708  Plans (Adopted 7/9/82)
Rule 708.1  Stationary Sources Required to File Plans (Adopted 4/4/80)
Rule 708.2  Content of Stationary Source Curtailment Plans (Adopted 4/4/
          80)
Rule 708.4  Procedural Requirements for Plans (Adopted 7/11/80)
Rule 709  First Stage Episode Actions (Adopted 7/11/80)
Rule 710  Second Stage Episode Actions (Adopted 7/11/80)
Rule 711  Third Stage Episode Actions (Adopted 7/11/80)
Rule 712  Sulfate Episode Actions (Adopted 7/11/80)
Rule 715  Burning of Fossil Fuel on Episode Days (Adopted 8/24/77)
Regulation IX  New Source Performance Standards (Adopted 4/8/94)
Rule 1106  Marine Coatings Operations (Adopted 1/13/95)
Rule 1107  Coating of Metal Parts and Products (Adopted 8/2/91)
Rule 1109  Emissions of Oxides of Nitrogen for Boilers and Process 
          Heaters in Petroleum Refineries (Adopted 8/5/88)
Rule 1110  Emissions from Stationary Internal Combustion Engines 
          (Demonstration) (Adopted 11/6/81)
Rule 1110.1  Emissions from Stationary Internal Combustion Engines 
          (Adopted 10/4/85)
Rule 1110.2  Emissions from Gaseous and Liquid-Fueled Internal 
          Combustion Engines (Adopted 12/9/94)
Rule 1113  Architectural Coatings (Adopted 9/6/91)
Rule 1116.1  Lightering Vessel Operations-Sulfur Content of Bunker Fuel 
          (Adopted 10/20/78)
Rule 1121  Control of Nitrogen Oxides from Residential-Type Natural Gas-
          Fired Water Heaters (Adopted 12/1/78)
Rule 1122  Solvent Cleaners (Degreasers) (Adopted 4/5/91)
Rule 1123  Refinery Process Turnarounds (Adopted 12/7/90)
Rule 1129  Aerosol Coatings (Adopted 11/2/90)
Rule 1134  Emissions of Oxides of Nitrogen from Stationary Gas Turbines 
          (Adopted 8/4/89)
Rule 1136  Wood Products Coatings (Adopted 8/12/94)
Rule 1140  Abrasive Blasting (Adopted 8/2/85)
Rule 1142  Marine Tank Vessel Operations (Adopted 7/19/91)
Rule 1146  Emissions of Oxides of Nitrogen from Industrial, 
          Institutional, and Commercial Boilers, Steam Generators, and 
          Process Heaters (Adopted 5/13/94)
Rule 1146.1  Emission of Oxides of Nitrogen from Small Industrial, 
          Institutional, and Commercial Boilers, Steam Generators, and 
          Process Heaters (Adopted 5/13/94)
Rule 1148  Thermally Enhanced Oil Recovery Wells (Adopted 11/5/82)
Rule 1149  Storage Tank Degassing (Adopted 4/1/88)
Rule 1168  Control of Volatile Organic Compound Emissions from Adhesive 
          Application (Adopted 12/10/93)
Rule 1173  Fugitive Emissions of Volatile Organic Compounds (Adopted 5/
          13/94)
Rule 1176  Sumps and Wastewater Separators (Adopted 5/13/94)
Rule 1301  General (Adopted 6/28/90)
Rule 1302  Definitions (Adopted 5/3/91)
Rule 1303  Requirements (Adopted 5/3/91)
Rule 1304  Exemptions (Adopted 9/11/92)
Rule 1306  Emission Calculations (Adopted 5/3/91)
Rule 1313  Permits to Operate (Adopted 6/28/90)
Rule 1403  Asbestos Emissions from Demolition/Renovation Activities 
          (Adopted 4/8/94)
Rule 1610  Old-Vehicle Scrapping (Adopted 1/14/94)
Rule 1701  General (Adopted 1/6/89)
Rule 1702  Definitions (Adopted 1/6/89)
Rule 1703  PSD Analysis (Adopted 10/7/88)
Rule 1704  Exemptions (Adopted 1/6/89)
Rule 1706  Emission Calculations (Adopted 1/6/89)
Rule 1713  Source Obligation (Adopted 10/7/88)
Regulation XVII  Appendix (effective 1977)
Rule 1901  General Conformity (Adopted 9/9/94)
Rule 2000  General (Adopted 10/15/93)
Rule 2001  Applicability (Adopted 10/15/93)
Rule 2002  Allocations for Oxides of Nitrogen (NOX) and Oxides of 
          Sulfur (SOX) (Adopted 10/15/93)
Rule 2004  Requirements (Adopted 10/15/93) except (l) (2 and 3)

[[Page 75]]

Rule 2005  New Source Review for RECLAIM (Adopted 10/15/93) except (i)
Rule 2006  Permits (Adopted 10/15/93)
Rule 2007  Trading Requirements (Adopted 10/15/93)
Rule 2008  Mobile Source Credits (Adopted 10/15/93)
Rule 2010  Administrative Remedies and Sanctions (Adopted 10/15/93)
Rule 2011  Requirements for Monitoring, Reporting, and Recordkeeping for 
          Oxides of Sulfur (SOX) Emissions (Adopted 10/15/93)
Appendix A Volume IV--(Protocol for oxides of sulfur) (Adopted 9/9/94)
Rule 2012  Requirements for Monitoring, Reporting, and Recordkeeping for 
          Oxides of Nitrogen (NOX) Emissions (Adopted 10/15/93)
Appendix A Volume V--(Protocol for oxides of nitrogen) (Adopted 9/9/94)
Rule 2015  Backstop Provisions (Adopted 10/15/93) except (b)(1)(G) and 
          (b)(3)(B)

    (8) The following requirements are contained in Ventura County Air 
Pollution Control District Requirements Applicable to OCS Sources, 
August, 1995:

Rule 2  Definitions (Adopted 12/15/92)
Rule 5  Effective Date (Adopted 5/23/72)
Rule 6  Severability (Adopted 11/21/78)
Rule 7  Zone Boundaries (Adopted 6/14/77)
Rule 10  Permits Required (Adopted 7/5/83)
Rule 11  Application Contents (Adopted 8/15/78)
Rule 12  Statement by Application Preparer (Adopted 6/16/87)
Rule 13  Statement by Applicant (Adopted 11/21/78)
Rule 14  Trial Test Runs (Adopted 5/23/72)
Rule 15.1  Sampling and Testing Facilities (Adopted 10/12/93)
Rule 16  Permit Contents (Adopted 12/2/80)
Rule 18  Permit to Operate Application (Adopted 8/17/76)
Rule 19  Posting of Permits (Adopted 5/23/72)
Rule 20  Transfer of Permit (Adopted 5/23/72)
Rule 21  Expiration of Applications and Permits (Adopted 6/23/81)
Rule 23  Exemptions from Permits (Adopted 12/13/94)
Rule 24  Source Recordkeeping, Reporting, and Emission Statements 
          (Adopted 9/15/92)
Rule 26  New Source Review (Adopted 10/22/91)
Rule 26.1  New Source Review--Definitions (Adopted 10/22/91)
Rule 26.2  New Source Review--Requirements (Adopted 10/22/91)
Rule 26.3  New Source Review--Exemptions (Adopted 10/22/91)
Rule 26.6  New Source Review--Calculations (Adopted 10/22/91)
Rule 26.8  New Source Review--Permit To Operate (Adopted 10/22/91)
Rule 26.10  New Source Review--PSD (Adopted 10/22/91)
Rule 28  Revocation of Permits (Adopted 7/18/72)
Rule 29  Conditions on Permits (Adopted 10/22/91)
Rule 30  Permit Renewal (Adopted 5/30/89)
Rule 32  Breakdown Conditions: Emergency Variances, A., B.1., and D. 
          only. (Adopted 2/20/79)
Rule 34  Acid Deposition Control (Adopted 3/14/95)
Appendix II-A  Information Required for Applications to the Air 
          Pollution Control District (Adopted 12/86)
Appendix II-B  Best Available Control Technology (BACT) Tables (Adopted 
          12/86)
Rule 42  Permit Fees (Adopted 7/12/94)
Rule 44  Exemption Evaluation Fee (Adopted 1/8/91)
Rule 45  Plan Fees (Adopted 6/19/90)
Rule 45.2  Asbestos Removal Fees (Adopted 8/4/92)
Rule 50  Opacity (Adopted 2/20/79)
Rule 52  Particulate Matter-Concentration (Adopted 5/23/72)
Rule 53  Particulate Matter-Process Weight (Adopted 7/18/72)
Rule 54  Sulfur Compounds (Adopted 6/14/94)
Rule 56  Open Fires (Adopted 3/29/94)
Rule 57  Combustion Contaminants-Specific (Adopted 6/14/77)
Rule 60  New Non-Mobile Equipment-Sulfur Dioxide, Nitrogen Oxides, and 
          Particulate Matter (Adopted 7/8/72)
Rule 62.7  Asbestos--Demolition and Renovation (Adopted 6/16/92)
Rule 63  Separation and Combination of Emissions (Adopted 11/21/78)
Rule 64  Sulfur Content of Fuels (Adopted 6/14/94)
Rule 66  Organic Solvents (Adopted 11/24/87)
Rule 67  Vacuum Producing Devices (Adopted 7/5/83)
Rule 68  Carbon Monoxide (Adopted 6/14/77)
Rule 71  Crude Oil and Reactive Organic Compound Liquids (Adopted 12/13/
          94)
Rule 71.1  Crude Oil Production and Separation (Adopted 6/16/92)
Rule 71.2  Storage of Reactive Organic Compound Liquids (Adopted 9/26/
          89)
Rule 71.3  Transfer of Reactive Organic Compound Liquids (Adopted 6/16/
          92)
Rule 71.4  Petroleum Sumps, Pits, Ponds, and Well Cellars (Adopted 6/8/
          93)
Rule 71.5  Glycol Dehydrators (Adopted 12/13/94)
Rule 72  New Source Performance Standards (NSPS) (Adopted 6/28/94)
Rule 74  Specific Source Standards (Adopted 7/6/76)
Rule 74.1  Abrasive Blasting (Adopted 11/12/91)
Rule 74.2  Architectural Coatings (Adopted 08/11/92)
Rule 74.6  Surface Cleaning and Degreasing (Adopted 5/8/90)
Rule 74.6.1  Cold Cleaning Operations (Adopted 9/12/89)

[[Page 76]]

Rule 74.6.2  Batch Loaded Vapor Degreasing Operations (Adopted 9/12/89)
Rule 74.7  Fugitive Emissions of Reactive Organic Compounds at Petroleum 
          Refineries and Chemical Plants (Adopted 1/10/89)
Rule 74.8  Refinery Vacuum Producing Systems, Waste-water Separators and 
          Process Turnarounds (Adopted 7/5/83)
Rule 74.9  Stationary Internal Combustion Engines (Adopted 12/21/93)
Rule 74.10  Components at Crude Oil Production Facilities and Natural 
          Gas Production and Processing Facilities (Adopted 6/16/92)
Rule 74.11  Natural Gas-Fired Residential Water Heaters-Control of NOx 
          (Adopted 4/9/85)
Rule 74.12  Surface Coating of Metal Parts and Products (Adopted 12/13/
          94)
Rule 74.15  Boilers, Steam Generators and Process Heaters (5MM BTUs and 
          greater) (Adopted 11/8/94)
Rule 74.15.1  Boilers, Steam Generators and Process Heaters (1-5MM BTUs) 
          (Adopted 5/11/93)
Rule 74.16  Oil Field Drilling Operations (Adopted 1/8/91)
Rule 74.20  Adhesives and Sealants (Adopted 6/8/93)
Rule 74.23  Stationary Gas Turbines (Adopted 3/14/95)
Rule 74.24  Marine Coating Operations (Adopted 3/8/94)
Rule 74.26  Crude Oil Storage Tank Degassing Operations (Adopted 11/8/
          94)
Rule 74.27  Gasoline and ROC Liquid Storage Tank Degassing Operations 
          (Adopted 11/8/94)
Rule 74.28  Asphalt Roofing Operations (Adopted 5/10/94)
Rule 74.30  Wood Products Coatings (Adopted 5/17/94)
Rule 75  Circumvention (Adopted 11/27/78)
Appendix IV-A  Soap Bubble Tests (Adopted 12/86)
Rule 100  Analytical Methods (Adopted 7/18/72)
Rule 101  Sampling and Testing Facilities (Adopted 5/23/72)
Rule 102  Source Tests (Adopted 11/21/78)
Rule 103  Stack Monitoring (Adopted 6/4/91)
Rule 154  Stage 1 Episode Actions (Adopted 9/17/91)
Rule 155  Stage 2 Episode Actions (Adopted 9/17/91)
Rule 156  Stage 3 Episode Actions (Adopted 9/17/91)
Rule 158  Source Abatement Plans (Adopted 9/17/91)
Rule 159  Traffic Abatement Procedures (Adopted 9/17/91)

                                * * * * *



PART 56--REGIONAL CONSISTENCY--Table of Contents




Sec.
56.1  Definitions.
56.2  Scope.
56.3  Policy.
56.4  Mechanisms for fairness and uniformity--Responsibilities of 
          Headquarters employees.
56.5  Mechanisms for fairness and uniformity--Responsibilities of 
          Regional Office employees.
56.6  Dissemination of policy and guidance.
56.7  State agency performance audits.

    Authority: Sec. 301(a)(2) of the Clean Air Act as amended (42 U.S.C. 
7601).

    Source: 45 FR 85405, Dec. 24, 1980, unless otherwise noted.



Sec. 56.1  Definitions.

    As used in this part, all terms not defined herein have the meaning 
given them in the Clean Air Act.
    Act means the Clean Air Act as amended (42 U.S.C. 7401 et seq.).
    Administrator, Deputy Administrator, Assistant Administrator, 
General Counsel, Associate General Counsel, Deputy Assistant 
Administrator, Regional Administrator, Headquarters, Staff Office, 
Operational Office, and Regional Office are described in part 1 of this 
title.
    Mechanism means an administrative procedure, guideline, manual, or 
written statement.
    Program directive means any formal written statement by the 
Administrator, the Deputy Administrator, the Assistant Administrator, a 
Staff Office Director, the General Counsel, a Deputy Assistant 
Administrator, an Associate General Counsel, or a division Director of 
an Operational Office that is intended to guide or direct Regional 
Offices in the implementation or enforcement of the provisions of the 
act.
    Responsible official means the EPA Administrator or any EPA employee 
who is accountable to the Administrator for carrying out a power or duty 
delegated under section 301(a)(1) of the act, or is accountable in 
accordance with EPA's formal organization for a particular program or 
function as described in part 1 of this title.



Sec. 56.2  Scope.

    This part covers actions taken by:

[[Page 77]]

    (a) Employees in EPA Regional Offices, including Regional 
Administrators, in carrying out powers and duties delegated by the 
Administrator under section 301(a)(1) of the act; and
    (b) EPA employees in Headquarters to the extent that they are 
responsible for developing the procedures to be employed or policies to 
be followed by Regional Offices in implementing and enforcing the act.



Sec. 56.3  Policy.

    It is EPA's policy to:
    (a) Assure fair and uniform application by all Regional Offices of 
the criteria, procedures, and policies employed in implementing and 
enforcing the act;
    (b) Provide mechanisms for identifying and correcting 
inconsistencies by standardizing criteria, procedures, and policies 
being employed by Regional Office employees in implementing and 
enforcing the act; and
    (c) Insure an adequate quality audit for each State's performance in 
implementing and enforcing the act.



Sec. 56.4  Mechanisms for fairness and uniformity--Responsibilities of Headquarters employees.

    (a) The Administrator shall include, as necessary, with any rule or 
regulation proposed or promulgated under parts 51 and 58 of this chapter 
1 mechanisms to assure that the rule or regulation is implemented 
and enforced fairly and uniformly by the Regional Offices.
---------------------------------------------------------------------------

    1 Part 51 is entitled, ``Requirements for Preparation, 
Adoption, and Submittal of Implementation Plans.'' Part 58 is entitled, 
``Ambient Air Quality Surveillance.''
---------------------------------------------------------------------------

    (b) The determination that a mechanism required under paragraph (a) 
of this section is unnecessary for a rule or regulation shall be 
explained in writing by the responsible EPA official and included in the 
supporting documentation or the relevant docket.



Sec. 56.5  Mechanisms for fairness and uniformity--Responsibilities of Regional Office employees.

    (a) Each responsible official in a Regional Office, including the 
Regional Administrator, shall assure that actions taken under the act:
    (1) Are carried out fairly and in a manner that is consistent with 
the Act and Agency policy as set forth in the Agency rules and program 
directives,
    (2) Are as consistent as reasonably possible with the activities of 
other Regional Offices, and
    (3) Comply with the mechanisms developed under Sec. 56.4 of this 
part.
    (b) A responsible official in a Regional Office shall seek 
concurrence from the appropriate EPA Headquarters office on any 
interpretation of the Act, or rule, regulation, or program directive 
when such interpretation may result in inconsistent application among 
the Regional Offices of the act or rule, regulation, or program 
directive.
    (c) In reviewing State Implementation Plans, the Regional Office 
shall follow the provisions of the guideline, revisions to State 
Implementation Plans--Procedures for Approval/Disapproval Actions, OAQPS 
No. 1.2-005A, or revision thereof. Where regulatory actions may involve 
inconsistent application of the requirements of the act, the Regional 
Offices shall classify such actions as special actions.



Sec. 56.6  Dissemination of policy and guidance.

    The Assistant Administrators of the Offices of Air, Noise and 
Radiation, and of Enforcement, and the General Counsel shall establish 
as expeditiously as practicable, but no later than one year after 
promulgation of this part, systems to disseminate policy and guidance. 
They shall distribute material under foregoing systems to the Regional 
Offices and State and local agencies, and shall make the material 
available to the public. Air programs policy and guideline systems shall 
contain the following:
    (a) Compilations of relevant EPA program directives and guidance, 
except for rules and regulations, concerning the requirements under the 
Act.
    (b) Procedures whereby each Headquarters program office and staff 
office will enter new and revised guidance into the compilations and 
cause superseded guidance to be removed.
    (c) Additional guidance aids such as videotape presentations, 
workshops, manuals, or combinations of these

[[Page 78]]

where the responsible Headquarters official determines they are 
necessary to inform Regional Offices, State and local agencies, or the 
public about EPA actions.



Sec. 56.7  State agency performance audits.

    (a) EPA will utilize the provisions of subpart B, Program Grants, of 
part 35 of this chapter, which require yearly evaluations of the manner 
in which grantees use Federal monies, to assure that an adequate 
evaluation of each State's performance in implementing and enforcing the 
act is performed.
    (b) Within 60 days after comment is due from each State grantee on 
the evaluation report required by Sec. 35.538 of this chapter, the 
Regional Administrator shall incorporate or include any comments, as 
appropriate, and publish notice of availability of the evaluation report 
in the Federal Register.



PART 57--PRIMARY NONFERROUS SMELTER ORDERS--Table of Contents




                           Subpart A--General

 Sec.
57.101  Purpose and scope.
57.102  Eligibility.
57.103  Definitions.
57.104  Amendment of the NSO.
57.105  Submittal of required plans, proposals, and reports.
57.106  Expiration date.
57.107  The State or local agency's transmittal to EPA.
57.108  Comparable existing SIP provisions.
57.109  Maintenance of pay.
57.110  Reimbursement of State or local agency.
57.111  Severability of provisions.

             Subpart B--The Application and the NSO Process

57.201  Where to apply.
57.202  How to apply.
57.203  Contents of the application.
57.204  EPA action on second period NSOs which have already been issued.
57.205  Submission of supplementary information upon relaxation of an 
          SO2 SIP emission limitation.

          Subpart C--Constant Controls and Related Requirements

57.301  General requirements.
57.302  Performance level of interim constant controls.
57.303  Total plantwide emission limitation.
57.304  Bypass, excess emission and malfunctions.
57.305  Compliance monitoring and reporting.

          Subpart D--Supplementary Control System Requirements

57.401  General requirements.
57.402  Elements of the supplementary control system.
57.403  Written consent.
57.404  Measurements, records, and reports.
57.405  Formulation, approval, and implementation of requirements.

           Subpart E--Fugitive Emission Evaluation and Control

57.501  General requirements.
57.502  Evaluation.
57.503  Control measures.
57.504  Continuing evaluation of fugitive emission control measures.
57.505  Amendments of the NSO.

            Subpart F--Research and Development Requirements

57.601  General requirements.
57.602  Approval of proposal.
57.603  Criteria for approval.
57.604  Evaluation of projects.
57.605  Consent.
57.606  Confidentiality.

               Subpart G--Compliance Schedule Requirements

57.701  General requirements.
57.702  Compliance with constant control emission limitation.
57.703  Compliance with the supplementary control system requirements.
57.704  Compliance with fugitive emission evaluation and control 
          requirements.
57.705  Contents of SIP Compliance Schedule required by Sec. 57.201(d) 
          (2) and (3).

Subpart H--Waiver of Interim Requirement for Use of Continuous Emission 
                          Reduction Technology

57.801  Purpose and scope.
57.802  Request for waiver.
57.803  Issuance of tentative determination; notice.
57.804  Request for hearing; request to participate in hearing.
57.805  Submission of written comments on tentative determination.
57.806  Presiding Officer.
57.807  Hearing.

[[Page 79]]

57.808  Opportunity for cross-examination.
57.809  Ex parte communications.
57.810  Filing of briefs, proposed findings, and proposed 
          recommendations.
57.811  Recommended decision.
57.812  Appeal from or review of recommended decision.
57.813  Final decision.
57.814  Administrative record.
57.815  State notification.
57.816  Effect of negative recommendation.

Appendix A to Part 57--Primary Nonferrous Smelter Order (NSO) 
          Application

    Authority: Secs. 110, 114, 119, 301, Clean Air Act, as amended (42 
U.S.C. 7410, 7414, 7419, and 7601); sec. 406 of Pub. L. 95-95.

    Source: 50 FR 6448, Feb. 15, 1985, unless otherwise noted.



                           Subpart A--General



Sec. 57.101  Purpose and scope.

    (a) Applicability of the regulations. The regulations in subparts A 
through H govern:
    (1) The eligibility of smelters for a Primary Nonferrous Smelter 
Order (NSO) under section 119 of the Clean Air Act;
    (2) The procedures through which an NSO can be approved or issued by 
EPA; and
    (3) The minimum contents of each NSO required for EPA issuance or 
approval under section 119. Subpart I et seq., will contain NSOs in 
effect for individual smelters.
    (b) State authority to adopt more stringent requrements. Nothing in 
this part shall preclude a State from imposing more stringent 
requirements, as provided by section 116 of the Clean Air Act.



Sec. 57.102  Eligibility.

    (a) A primary copper, lead, zinc, molybdenum, or other nonferrous 
smelter is eligible for an NSO if it meets the following conditions:
    (1) The smelter was in existence and operating on August 7, 1977;
    (2) The smelter is subject to an approved or promulgated sulfur 
dioxide (SO2) State Implementation Plan (SIP) emission limitation 
which is adequate to ensure that National Ambient Air Quality Standards 
(NAAQS) for SO2 are achieved without the use of any unauthorized 
dispersion techniques; and
    (3) The Administrator determines, based on a showing by the smelter 
owner, that no means of emission limitation applicable to the smelter 
which would enable it to comply with its SIP stack emission limitation 
for SO2 has been adequately demonstrated to be reasonably available 
(taking into account the cost of compliance, nonair quality health and 
environmental impact, and energy considerations) in accordance with 
Sec. 57.201(d)(1).
    (b) For the purposes of these regulations:
    (1) The following means of emission limitation shall be considered 
adequately demonstrated for nonferrous smelters. (Taking into account 
nonair quality health and environmental impact and energy 
considerations, but not the cost of compliance).
    (i) Retrofit control technologies.
    (A) Sulfuric acid plant in conjunction with an adequately 
demonstrated replacement technology or process modification;
    (B) Magnesium oxide (concentration) scrubbing;
    (C) Lime/limestone scrubbing; and
    (D) Ammonia scrubbing.
    (ii) Replacement or process modifications.
    (A) Flash smelting;
    (B) Oxygen enrichment;
    (C) Supplemental sulfur burning in conjunction with acid plant;
    (D) Electric Furnace;
    (E) Noranda process;
    (F) Fluid bed roaster;
    (G) Continuous smelting (Mitsubishi) process; and
    (H) Strong stream/weak stream gas blending.
    (2) Each adequately demonstrated means of emission limitation which 
would enable a smelter to comply with its SIP emission limitation for 
SO2 shall be considered applicable to the smelter unless the 
smelter operator demonstrates that the use of a particular system at 
that smelter is technically unreasonable, for reasons specific to that 
site.

[[Page 80]]

    (3) An applicable means of emission limitation which would enable a 
smelter to comply with its SIP emission limitation for SO2 shall be 
considered adequately demonstrated to be reasonably available to the 
smelter (taking into account the cost of compliance) if the information 
submitted under Secs. 57.107(a) and 57.203(b) (plus any necessary 
supplemental information) shows, according to the criteria, procedures, 
and tests contained in Appendix A to this part and in accordance with 
Sec. 57.201(d)(1), that both of the following two tests are met.
    (i) The rate of return test. The present value of the smelter's 
future net cash flow (during and after investment in constant control 
technology) is more than book value of the smelter's net investment in 
constant dollars.
    (ii) The profit protection test. The constant control technology 
expenditure reduces the present value of the smelter's forecast pretax 
profits by less than 50%.
    (c) When applying for an NSO, a smelter must establish, for purposes 
of applying the financial eligibility tests, which adequately 
demonstrated constant control technology applicable to that smelter is 
the most economically feasible for use at that smelter.

[50 FR 6448, Feb. 15, 1985, as amended at 51 FR 10211, Mar. 25, 1986]



Sec. 57.103  Definitions.

    (a) The Act means the Clean Air Act, as amended.
    (b) Active use refers to an SO2 constant control system 
installed at a smelter before August 7, 1977 and not totally removed 
from regular service by that date.
    (c) Adequate SO2 emission limitation means a SIP emission 
limitation which was approved or promulgated by EPA as adequate to 
attain and maintain the NAAQS in the areas affected by the stack 
emissions without the use of any unauthorized dispersion technique.
    (d) Administrative Law Judge means an administrative law judge 
appointed under 5 U.S.C. 3105 (see also 5 CFR part 930, as amended by 37 
FR 16787), and is synonymous with the term ``Hearing Examiner'' as 
formerly used in Title 5 of the U.S. Code.
    (e) The Administrator means the Administrator of the U.S. 
Environmental Protection Agency, or the Administrator's authorized 
representative.
    (f) Ambient air shall have the meaning given by 40 CFR 50.1(e), as 
that definition appears upon promulgation of this subpart, or as 
hereafter amended.
    (g) Ambient air quality refers only to concentrations of sulfur 
dioxide in the ambient air, unless otherwise specified.
    (h) An approved measure refers to one contained in an NSO which is 
in effect.
    (i) Assistant Administrator for Air and Radiation means the 
Assistant Administrator for Air and Radiation of the U.S. Environmental 
Protection Agency.
    (j) Constant controls, control technology, and continuous emission 
reduction technology mean systems which limit the quantity, rate, or 
concentration, excluding the use of dilution, and emissions of air 
pollutants on a continuous basis.
    (k) Effective date of an NSO means the effective date listed in the 
Federal Register publication of EPA's issuance or approval of an NSO.
    (l) EPA and the Agency means the Administrator of the U.S. 
Environmental Protection Agency, or the Administrator's authorized 
representative.
    (m) Fugitive emissions means any air pollutants emitted to the 
atmosphere other than from a stack.
    (n) Issuance of an NSO means the final transmittal of the NSO 
pursuant to Sec. 57.107(a) by an issuing agency (other than EPA) to EPA 
for approval, or the publication of an NSO issued by EPA in the Federal 
Register.
    (o) Issuing agency, unless otherwise specifically indicated, means 
the state or local air pollution control agency to which a smelter's 
owner has applied for an NSO, or which has issued the NSO, or EPA, when 
the NSO application has been made to EPA. Any showings or demonstrations 
required to be made under this part to the issuing agency, when not EPA, 
are subject to independent determinations by EPA.
    (p) Malfunction means any unanticipated and unavoidable failure of 
air pollution control equipment or process equipment or of a process to 
operate in a normal or usual manner. Failures that are caused entirely 
or in part by

[[Page 81]]

poor design, poor maintenance, careless operation, or any other 
preventable upset condition or preventable equipment breakdown shall not 
be considered malfunctions. A malfunction exists only for the minimum 
time necessary to implement corrective measures.
    (q) Maximum production capacity means either the maximum 
demonstrated rate at which a smelter has produced its principal metallic 
final product under the process equipment configuration and operating 
procedures prevailing on or before August 7, 1977, or a rate which the 
smelter is able to demonstrate by calculation is attainable with process 
equipment existing on August 7, 1977. The rate may be expressed as a 
concentrate feed rate to the smelter.
    (r) NAAQS and National Ambient Air Quality Standards, unless 
otherwise specified, refer only to the National Primary and Secondary 
Ambient Air Quality Standards for sulfur dioxide.
    (s) Scheduled maintenance means any periodic procedure, necessary to 
maintain the integrity or reliability of emissions control performance, 
which can be anticipated and scheduled in advance. In sulfuric acid 
plants, it includes among other items the screening or replacement of 
catalyst, the re-tubing of heat exchangers, and the routine repair and 
cleaning of gas handling/cleaning equipment.
    (t) Smelter owner and operator means the owner or operator of the 
smelter, without distinction.
    (u) Supplementary control system (SCS) means any technique for 
limiting the concentration of a pollutant in the ambient air by varying 
the emissions of that pollutant according to atmospheric conditions. For 
the purposes of this part, the term supplementary control system does 
not include any dispersion technique based solely on the use of a stack 
the height of which exceeds good engineering practice (as determined 
under regulations implementing section 123 of the Act).
    (v) Unauthorized dispersion technique refers to any dispersion 
technique which, under section 123 of the Act and the regulations 
promulgated pursuant to that section, may not be used to reduce the 
degree of emission limitation otherwise required in the applicable SIP.
    (w) Unless otherwise specified in this part, all terms shall have 
the same meaning given them by the Act.

[50 FR 6448, Feb. 15, 1985, as amended at 57 FR 5328, Feb. 13, 1992]



Sec. 57.104  Amendment of the NSO.

    An NSO shall be amended whenever necessary for compliance with the 
requirements and purposes of this part.
    (a)(1) Issuance of amendment. A State or local issuing agency may 
issue an amendment of any NSO it has issued. Any amendment issued by a 
State or local issuing agency shall be subject to approval by EPA to the 
same extent as was the original NSO. Any smelter owner may apply to the 
agency which originally issued its NSO for an amendment of the NSO at 
any time. Such an application shall be accompanied by whatever 
documentation is required by that agency (or EPA) to support the 
requested amendment.
    (2)(i) Notwithstanding the requirements of paragraph (a)(1) of this 
section, amendments to SIP compliance schedule interim compliance dates 
in State-issued NSO's need not be submitted for EPA approval if the 
amendment does not delay the interim date by more than three months from 
the date as approved by the Administrator and if the final compliance 
date is unchanged. Delays longer than 3 months shall be handled 
according to the provisions of Sec. 57.104(a)(1).
    (ii) Changes made in accordance with this subparagraph may be 
effective immediately but must be submitted to EPA within seven days. 
EPA will give public notice of receipt of such changes by publication of 
a Notice in the Federal Register.
    (3) In any case in which the issuing agency fails to issue an 
amendment necessary for compliance with the requirements and purposes of 
this part, EPA may, after first giving the issuing Agency notice, issue 
such amendment.
    (b) Revision of SCS Manual. Operation in accordance with the revised 
provisions of an SCS operational manual (see Sec. 57.402(e)) shall not 
be considered a violation of an NSO while the application for approval 
of those revisions as NSO amendments is pending before the

[[Page 82]]

issuing agency (or EPA) for approval: Provided, that:
    (1) No violations of NAAQS occur in the smelter's Designated 
Liability Area during that time; and
    (2) The smelter operator has not been informed by the issuing agency 
or EPA that its application is not adequately documented, unless such 
deficiency has been remedied promptly.
    (c) Notice and opportunity for hearing. Notice and opportunity for 
public hearing shall be provided before issuance of all major 
amendments.



Sec. 57.105  Submittal of required plans, proposals, and reports.

    (a) The failure of a smelter owner to submit any plan, report, 
document or proposal as required by its NSO or by this part shall 
constitute a violation of its NSO.
    (b) If the Administrator determines that a nonferrous smelter is in 
violation of a requirement contained in an NSO approved under these 
regulations, the Administrator shall, as provided by section 119(f) of 
the Act:
    (1) Enforce such requirement under section 113 (a), (b), or (c) of 
the Act;
    (2) Revoke the order after notice and opportunity for hearing;
    (3) Give notice of noncompliance and commence action under section 
120 of the act; or
    (4) Take any appropriate combinations of these actions.
    (c) Under section 304 of the Act, any person may commence a civil 
action against an owner or operator of a smelter which is alleged to be 
in violation or any order approved under this part.



Sec. 57.106  Expiration date.

    Each NSO shall state its expiration date. No NSO issued under this 
regulation shall expire later than January 1, 1988.



Sec. 57.107  The State of local agency's transmittal to EPA.

    (a) Content and bases of the State or local agency's NSO. Issuance 
of an NSO by a State or local agency shall be completed by the issuing 
agency's transmittal to the appropriate EPA Regional Office of:
    (1) The text of the NSO;
    (2) The application submitted by the smelter owner, except for 
Appendix A to this part, all correspondence between the issuing agency 
and the applicant relating to the NSO, and any material submitted in 
support of the application;
    (3) A concise statement of the State or local agency's findings and 
their bases; and
    (4) All documentation or analyses prepared by or for the issuing 
agency in support of the NSO.
    (b) The State or local agency's enforcement plan. The transmittal 
under paragraph (a) of this section shall be accompanied by a 
description of the issuing agency's plans for monitoring compliance with 
and enforcement of the NSO. The transmittal shall also include a 
description of the resources which will be used to implement those 
plans. If the enforcement plans appear inadequate, EPA may require that 
the NSO be modified such that the NSO will be adequately enforced.



Sec. 57.108  Comparable existing SIP provisions.

    Notwithstanding any other provision of this part, an NSO may contain 
provisions to which the affected smelter is subject under the applicable 
EPA-approved State Implementation Plan (SIP) for sulfur dioxide in lieu 
of the corresponding provisions which would otherwise be required under 
this part if the Administrator determines that those SIP provisions are 
substantially equivalent to the corresponding NSO provisions which would 
otherwise be required, and if the Administrator determines that the 
smelter is in substantial compliance with those SIP provisions. For the 
purposes of this section, provisions to which the affected smelter is 
subject under the applicable EPA-approved State Implementation Plan are 
those which became effective before the smelter owner applied for the 
NSO.



Sec. 57.109  Maintenance of pay.

    The Administrator will not approve or issue an NSO for any smelter 
unless he has approved or promulgated SIP provisions which are 
applicable to the

[[Page 83]]

smelter and which satisfy the requirements of section 110(a)(6) of the 
Clean Air Act.



Sec. 57.110  Reimbursement of State or local agency.

    As a condition of issuing an NSO, any issuing agency may require the 
smelter operator to pay a fee to the State or local agency sufficient to 
defray the issuing agency's expenses in issuing and enforcing the NSO.



Sec. 57.111  Severability of provisions.

    The provisions promulgated in this part and the various applications 
thereof are distinct and severable. If any provision of this part or the 
application thereof to any person or circumstances is held invalid, such 
invalidity shall not affect other provisions, or the application of such 
provisions to other persons or circumstances, which can be given effect 
without the invalid provision of application.



             Subpart B--The Application and the NSO Process



Sec. 57.201  Where to apply.

    Any eligible smelter may apply for an NSO to the appropriate EPA 
Regional Office or to the appropriate State or local air pollution 
control agency.
    (a) When application is made to EPA, all parts of the application 
required to be submitted under this subpart shall be sent directly to 
the Director, Stationary Source Compliance Division (EN-341), U.S. 
Environmental Protection Agency, 401 M Street SW., Washington, DC 20460, 
Attention: Confidential Information Unit. In addition, the smelter owner 
shall send a copy of the application, except that part required to be 
submitted under Sec. 57.203(b) (eligibility), directly to the 
appropriate EPA Regional Office.
    (b) When application is made to the appropriate State or local 
agency, the smelter owner shall submit one complete copy of all parts of 
the application required to be submitted under this subpart to that 
agency, in addition to the application requirements contained in 
paragraph (a) of this section. If the smelter owner is requesting an 
advance eligibility determination pursuant to Sec. 57.203(b), such 
request must be made in writing and shall accompany the copy of the 
application being sent to the Director of the Stationary Source 
Compliance Division of the Environmental Protection Agency.
    (c) If the smelter owner is requesting a waiver of the interim 
constant control requirement of Sec. 57.301, such request must be sent 
directly to the Director, Stationary Source Compliance Division, at the 
time of application, in accordance with Sec. 57.802.
    (d) The NSO Process. (1) A smelter desiring an NSO shall apply for 
an NSO by submitting an application under subpart B including the 
financial information required in appendix A and including the 
information necessary to make the determinations required by this 
subparagraph and Sec. 57.201(d)(2). The issuing agency shall analyze the 
financial information according to the financial eligibility test 
prescribed by subpart A and described in appendix A. The issuing Agency 
shall then determine whether the smelter is able to comply with its SIP 
on or before the date required in the SIP by installing adequately 
demonstrated technology which is reasonably available. See also 
Sec. 57.102(a)(3). If the test demonstrates that adequately demonstrated 
technology is not reasonably available to the smelter to allow it to 
comply with the SIP by the required compliance date, the smelter is 
eligible for an NSO.
    (2)(i) If the smelter is determined to be eligible for an NSO under 
paragraph (d)(1) of this section, the issuing Agency shall apply the 
appendix A financial eligibility tests again before issuing an NSO in 
order to determine if the smelter can comply with its SIP requirements 
on or before January 1, 1988 by installing adequately demonstrated 
technology which is reasonably available.
    (ii) If application of the tests shows that the smelter could comply 
by or before January 1, 1988, the issuing agency shall notify the 
smelter of this determination, and shall not issue an NSO to the smelter 
unless the NSO contains a SIP compliance schedule meeting the 
requirements of Sec. 57.705. Such a compliance schedule must provide for 
compliance with the smelter's SO2 SIP as expeditiously as 
practicable

[[Page 84]]

and in no case later than January 1, 1988. A smelter must submit to the 
issuing agency information necessary to determine a compliance schedule 
meeting the requirements of Sec. 57.705. This information shall be 
submitted by a smelter within thirty days after the smelter is notified 
by the issuing agency that a SIP compliance schedule is required. The 
Administrator may consider an NSO application to be withdrawn for SIP 
enforcement purposes if a smelter fails to submit such information 
within the time required under this paragraph.
    (iii) If no adequately demonstrated technology is found to be 
reasonably available to enable a smelter to comply by January 1, 1988, 
it would be excused from the compliance schedule requirement in 
Sec. 57.201(d)(2)(ii), but it would be subject to reevaluation of its 
ability to comply by that date at any time during the term of the NSO. 
(See Sec. 57.201(d)(3)).
    (3) At any time during the term of an NSO which does not contain a 
SIP compliance schedule, EPA or the issuing agency may reevaluate the 
availability of technology to the smelter. If EPA or the issuing agency 
determines that adequately demonstrated technology is reasonably 
available to permit the smelter to comply with its SIP by or before 
January 1, 1988, the NSO shall be amended within 3 months time after 
such determination. The amendment shall require compliance with all SIP 
requirements by or before January 1, 1988, and shall include a 
compliance schedule meeting the requirements of Sec. 57.705. The 
determination that adequately demonstrated technology is reasonably 
available shall be made by reapplying the same appendix A financial 
eligibility tests required by subpart B, updated by economic data 
reflecting current operating conditions and currently demonstrated 
control technology. Any such determination and amendment shall be 
governed by the provisions of this part and section 119 of the Clean Air 
Act.
    (4) Notice and opportunity for public hearing in accordance with 
section 119 of the Clean Air Act must be provided before issuance of any 
NSO.
    (e) A smelter that does not have any constant SO2 controls or 
whose existing constant SO2 controls when in full operation and 
optimally maintained are not sufficient to treat all strong SO2 
streams may apply for a waiver of the requirements of subpart C to 
install interim constant controls by submitting an application under 
subpart H. A waiver may be granted only with respect to the requirement 
to eliminate bypass of constant controls through the installation of new 
constant control equipment, not with respect to the requirements for 
optimum maintenance and operation of existing equipment. EPA shall then 
determine the smelter's ability to afford installation of the required 
additional interim constant SO2 control equipment at the smelter 
based on financial eligibility information analyzed according to the 
financial test prescribed in appendix A. A waiver of the requirement for 
additional interim constant controls will be granted if EPA determines 
in accordance with the procedures of subpart H that imposition of this 
requirement would necessitate closure of the smelter for at least one 
year.



Sec. 57.202  How to apply.

    (a) Letter of intent. To initiate an application for an NSO, the 
owner or operator of a smelter shall send a letter of intent to an 
appropriate air pollution control agency. The letter of intent shall 
contain a statement of the owner's intent to apply for an NSO, and an 
agreement to provide any information required under this part. The 
letter of intent shall be signed by a corporate official authorized to 
make such commitments. Upon receipt of any letter of intent by the 
issuing agency, the SIP emission limitation for sulfur dioxide, as to 
that applicant, shall be deemed suspended for 60 days. The 60 day 
suspension may be extended for good cause at the discretion of the 
Administrator.
    (b) Complete application. (1) Within the period referred to in 
paragraph (a) of this section, the smelter owner shall submit its 
completed application pursuant to Sec. 57.201. Receipt of all parts of a 
substantially complete application postmarked within the original or 
extended application period shall be deemed to continue the suspension 
of the SIP emission limitation for SO2

[[Page 85]]

until the issuing agency issues or declines to issue an NSO. This 
suspension shall in all cases terminate, however, 90 days after receipt 
of the substantially completed application, unless extended for good 
cause at the discretion of the Administrator. If, in the Administrator's 
judgment, good faith effort has been made to submit a complete 
application, additional time may be granted to allow for correction of 
minor deficiencies.
    (2) If an issuing agency transmits an NSO to EPA for approval before 
the expiration of the suspension of the federal SIP emission limitation, 
the suspension shall continue until EPA approves or disapproves the NSO.



Sec. 57.203  Contents of the application.

    (a) Claim of confidentiality. The smelter owner may make a business 
confidentiality claim covering all or part of the information in the NSO 
application in accordance with 40 CFR part 2, subpart B (41 FR 36906 et 
seq., Sept. 1, 1976 as amended by 43 FR 39997 et seq., Sept. 8, 1978). A 
claim is effective only if it is made at the time the material is 
submitted to the issuing agency or EPA. A claim shall be made by 
attaching to the information a notice of confidentiality. Information 
claimed as confidential will be handled by EPA under the provisions of 
40 CFR part 2, subpart B. If no claim accompanies the information, it 
may be made available to the public without further notice.
    (b) Each smelter owner shall make the showing required by 
Sec. 57.102(a)(3) by completing and submitting appendix A to this part 
and any necessary supplemental information to the issuing agency as a 
part of its application. Each smelter shall also submit as part of its 
application the information which, in conjunction with the information 
required by appendix A, is necessary for the issuing agency to make the 
determination required by Sec. 57.201(d)(2). Any smelter owner or State 
may, at its option, simultaneously submit this material to EPA for an 
advance eligibility determination.
    (c) Current operating information. A complete NSO application shall 
also contain the following information:
    (1) A process flow diagram of the smelter, including current process 
and instrumentation diagrams for all processes or equipment which may 
emit or affect the emission of sulfur dioxide; the characteristics of 
all gas streams emitted from the smelter's process equipment (flow 
rates, temperature, volumes, compositions, and variations over time); 
and a list of all monitoring data and strip charts, including all data, 
charts, logs or sheets kept with respect to the operation of any process 
equipment which may emit or affect the emission of sulfur dioxide;
    (2) The smelter's maximum daily production capacity (as defined in 
Sec. 57.103(r)), the operational rate (in pounds of concentrate charged 
to the smelting furnace per hour) of each major piece of process 
equipment when the smelter is operating at that capacity; and the 
smelter's average and maximum daily production rate for each product, 
co-product, or by-product, by year, for the past four years;
    (3) The optimal conversion efficiency (defined in terms of percent 
of total SO2 removed from the input flow stream) of any acid plant 
or other sulfur dioxide control system under the normal process 
operating conditions (excluding malfunctions) most conducive to optimal 
conversion efficiency;
    (4) The average conversion efficiency of any acid plant or other 
sulfur dioxide control system during normal process operations 
(excluding malfunctions), by month, during the past four years.
    (5) The percent of the time the acid plant or other control system 
was available for service during each month for the past four years, 
excluding downtime for scheduled maintenance, and a full explanation of 
any major or recurring problems with the system during that time;
    (6) The frequency and duration of times during the past four years 
when the SO2 system was unavailable because of scheduled 
maintenance of the system;
    (7) A description of all scheduled, periodic, shutdowns of the 
smelter during the past four years, including their purpose, frequency 
and duration; and the same information with respect to unscheduled 
shutdowns;

[[Page 86]]

    (8) The gas volume, rates, and SO2 concentration which the 
control system was actually designed to accommodate, taking into account 
any modifications made after its installation;
    (9) The average monthly sulfur balance across the process and 
control equipment, including fugitive emissions, for the past 4 years; 
and
    (10) A description of engineering techniques now in use at the 
smelter to prevent the release of fugitive emissions into the atmosphere 
at low elevations.
    (d) The smelter owner's proposals. The smelter owner shall submit as 
part of its application, draft NSO provisions which would implement the 
requirements of subparts C through G of this part. The issuing agency 
may use these proposals as the basis for any NSO that may be granted, or 
may modify these proposals in any way it deems necessary in order to 
comply with the requirements of this part.
    (e) A smelter may submit as part of its application, information 
necessary to determine any SIP compliance schedule which might be 
required under Sec. 57.201(d)(2).
    (f) Additional information. The smelter owner shall designate in its 
application a corporate officer responsible and authorized to supply 
supplemental technical and economic information and explanations as 
required by the issuing agency during the formulation of the NSO. 
Failure to supply such information and explanations shall constitute a 
failure to submit a complete application.
    (g) Request for a waiver of constant controls. Any request for a 
waiver of the requirement interim constant control of all strpmg streams 
of Sec. 57.301 shall be made in accordance with Sec. 57.802. The 
criteria and procedures for granting the waiver are governed by subpart 
H of this part.
    (h) Unless a smelter applies for a waiver in accordance with subpart 
H, a smelter shall submit as part of its application a proposed schedule 
for compliance with the interim constant control requirements of subpart 
C which satisfies the requirements of Sec. 57.702.



Sec. 57.204  EPA action on second period NSOs which have already been issued.

    (a) EPA may approve a second period NSO issued by a State before the 
date of publication of these regulations in the Federal Register, 
without requiring a complete reapplication under this subpart and new 
State proceedings, provided:
    (1) The second period NSO was issued by the State consistent with 
the procedural requirements of section 119 of the Clean Air Act;
    (2) EPA can make a determination that the smelter is eligible for a 
second period NSO and whether the smelter can comply with its SO2 
SIP limits on or before January 1, 1988 under the financial eligibility 
tests in these regulations on the basis of available information and 
such supplementary information as the Agency may request the smelter to 
submit; and
    (3) The provisions of the NSO are consistent with the requirements 
of these regulations.
    (b) Should EPA require a smelter to submit information before taking 
final action on an NSO referred to in paragraph (a), of this section, it 
shall specify a reasonable period for submission of such information in 
light of the nature of the information being required. The duration of 
such period shall not exceed the period allowed for submission of a 
complete application under Sec. 57.202 (a) and (b).
    (c) The Agency shall consider the SIP emission limitation for 
SO2 to be suspended with respect to a smelter which received an NSO 
described in subpart A until EPA takes final action on such NSO. Such 
suspension shall terminate if the smelter does not submit supplementary 
information within the time specified under paragraph (b).



Sec. 57.205  Submission of supplementary information upon relaxation of an SO2 SIP emission limitation.

    (a) In the event an SO2 SIP limit is relaxed subsequent to EPA 
approval or issuance of a second period NSO, the smelter issued the NSO 
shall submit to

[[Page 87]]

the issuing agency and EPA such supplementary information that EPA 
considers appropriate for purposes of determining whether the means of 
compliance with the new SIP limit are adequately demonstrated to be 
reasonably available under the financial eligibility tests specified in 
Sec. 57.102(b)(3). The smelter shall submit such information within 
sixty days of notification by EPA. This time limit may be extended by 
EPA for good cause.
    (b) Upon receipt of any supplementary information required under 
paragraph (a), the issuing agency shall promptly reevaluate the 
availability of the means of compliance with the new SIP limit under the 
NSO eligibility tests specified in Sec. 57.102(b)(3). If the issuing 
agency determines that the demonstrated control technology necessary to 
attain the new SO2 SIP limit is adequately demonstrated to be 
reasonably available under the eligibility tests, so as to permit the 
smelter to comply with the new SIP limit on or before January 1, 1988, 
the NSO shall be amended within the time contemplated by Sec. 57.202(a) 
after receipt of the supplementary information. Such amendment shall 
require compliance with the new SO2 SIP limit as expeditiously as 
practicable in accordance with Sec. 57.201(d)(3). The issuing agency, if 
not EPA, shall promptly submit its determination and any necessary NSO 
amendments to EPA.
    (c) EPA shall take action to approve or disapprove the issuing 
agency's determination and NSO amendment, if any, within a reasonable 
time after receipt of such determination and amendment.
    (d) If EPA disapproves the issuing agency's determination or NSO 
amendment, or if a smelter fails to submit any supplementary information 
as required under paragraph (a), EPA and/or the issuing agency shall 
take appropriate remedial action. EPA shall take appropriate remedial 
action if the issuing agency does not make any determination and 
amendment required by this section within the time contemplated by 
Sec. 57.202(a).



          Subpart C--Constant Controls and Related Requirements



Sec. 57.301  General requirements.

    Each NSO shall require an interim level of sulfur dioxide constant 
controls to be operated at the smelter, unless a waiver of this 
requirement has been granted to the owner under subpart H of this part. 
Except as otherwise provided in Sec. 57.304, the interim constant 
controls shall be properly operated and maintained at all times. The NSO 
shall require the following gas streams to be treated by interim 
constant controls:
    (a) In copper smelters, off-gases from fluidized bed roasters, flash 
furnaces, NORANDA reactors, electric furnaces and copper converters;
    (b) In lead smelters, off-gases from the front end of the sintering 
machine and any other sinter gases which are recirculated;
    (c) In zinc smelters, off-gases from mult-hearth roasters, flash 
roasters and fluidized bed roasters; and
    (d) In all primary nonferrous smelters, all other strong SO2 
streams.
    (e) In all primary nonferrous smelters, any other process streams 
which were regularly or intermittently treated by constant controls at 
the smelter as of August 7, 1977.



Sec. 57.302  Performance level of interim constant controls.

    (a) Maximum feasible efficiency. Each NSO shall require: that the 
smelter operate its interim constant control systems at their maximum 
feasible efficiency, including the making of any improvements necessary 
to correct the effects of any serious deficiencies; that the process and 
control equipment be maintained in the way best designed to ensure such 
operation; and that process operations be scheduled and coordinated to 
facilitate treatment of process gas streams to the maximum possible 
extent. Maximum feasible efficiency shall be expressed in the NSO in the 
form of a limitation on the concentration of SO2 in the tail gas of 
each individual control system in combination with an appropriate 
averaging period,

[[Page 88]]

as provided below in paragraphs (b) and (c) of this section.
    (b) The limitation level for SO2 concentration in the control 
system tail gas. The level at which the concentration limitation is set 
shall take into account fluctuations in the strength and volume of 
process off-gases to the extent that those fluctuations affect the 
SO2 content of the tail gas and cannot be avoided by improved 
scheduling and coordination of process operations. The limitation shall 
exclude the effect of any increase in emissions caused by process or 
control equipment malfunction. The limitation shall take into account 
unavoidable catalyst deterioration in sulfuric acid plants, but may 
prescribe the frequency of catalyst screening or replacement. The NSO 
shall also prohibit the smelter owner from using dilution air to meet 
the limitation.
    (c) Averaging period. (1) The averaging period shall be derived in 
combination with the concentration limitation and shall take into 
account the same factors described in paragraph (b). The averaging 
period established under this paragraph should generally not exceed the 
following:
    (i) For sulfuric acid plants on copper smelters, 12-hour running 
average;
    (ii) For sulfuric acid plants on lead smelters, 6-hour running 
average;
    (iii) For sulfuric acid plants on zinc smelters, 2-hour running 
average;
    (iv) For dimethylaniline (DMA) scrubbing units on copper smelters, 
2-hour running average.
    (2) A different averaging period may be established if the applicant 
demonstrates that such a period is necessary in order to account for the 
factors described in paragraph (b) of this section: Provided, that the 
period is enforceable and satisfies the criteria of paragraph (a) of 
this section.
    (d) Improved performance. (1) The performance level representing 
maximum feasible efficiency for any existing control system (e.g., a 
sulfuric acid plant or a DMA scrubber) shall require the correction of 
the effects of any serious deficiencies in the system. For the purpose 
of this paragraph, at least the following problems shall constitute 
serious deficiencies in acid plants:
    (i) Heat exchangers and associated equipment inadequate to sustain 
efficient, autothermal operation at the average gas strengths and 
volumes received by the acid plant during routine process equipment 
operation;
    (ii) Failure to completely fill all available catalyst bed stages 
with sufficient catalyst;
    (iii) Inability of the gas pre-treatment system to prevent unduly 
frequent plugging or fouling (deterioration) of catalyst or other 
components of the acid plant; or
    (iv) Blower capacity inadequate to permit the treatment of the full 
volume of gas which the plant could otherwise accommodate, or in-leakage 
of air into the flues leading to the plant, to the extent that this 
inadequacy results in bypassing of gas around the plant.
    (2) Notwithstanding any contrary provisions of Sec. 57.304(c) 
(malfunction demonstration), no excess emissions (as defined in 
Sec. 57.304(a)) shall be considered to have resulted from a malfunction 
in the constant control system if the smelter owner has not upgraded 
serious deficiencies in the constant control system in compliance with 
the requirements of Sec. 57.302(d)(1), unless the smelter owner 
demonstrates under Sec. 57.304(c) that compliance with those 
requirements would not have affected the magnitude of the emission.
    (e) Multiple control devices. (1) At any smelter where off-gas 
streams are treated by various existing control systems (e.g., multiple 
acid plants or a DMA scrubber and an acid plant), the NSO shall require 
the use of those systems in the combination that will result in the 
maximum feasible net SO2 removal.
    (2) To the extent that compliance with this requirement is 
demonstrated by the smelter operator to result in excess emissions 
during unavoidable start up and shut down of the control systems, those 
excess emissions shall not constitute violations of the NSO.



Sec. 57.303  Total plantwide emission limitation.

    (a) Calculation of the emission limitation. Each NSO shall contain a 
requirement limiting the total allowable emissions from the smelter to 
the level

[[Page 89]]

which would have been associated with production at the smelter's 
maximum production capacity (as defined in Sec. 57.103(r)) as of August 
7, 1977. This limitation shall be expressed in units of mass per time 
and shall be calculated as the sum of uncontrolled process and fugitive 
emissions, and emissions from any control systems (operating at the 
efficiency prescribed under Sec. 57.302). These emission rates may be 
derived from either direct measurements or appropriately documented mass 
balance calculations.
    (b) Compliance with the emission limitation. Each NSO shall require 
the use of specific, enforceable testing methods and measurement periods 
for determining compliance with the limitation established under 
paragraph (a) of this section.



Sec. 57.304  Bypass, excess emissions and malfunctions.

    (a) Definition of excess emissions. For the purposes of this 
subpart, any emissions greater than those permitted by the NSO 
provisions established under Sec. 57.302 (performance level of interim 
constant controls) or Sec. 57.303 (plantwide emission limitation) of 
this subpart shall constitute excess emissions. Emission of any gas 
stream identified under Sec. 57.301 (a), (b), (c), (d) or (e) of this 
subpart that is not treated by a sulfur dioxide constant control system 
shall also constitute an excess emission under this subpart.
    (b) The excess emission report. Each NSO shall require the smelter 
to report all excess emissions to the issuing agency, as provided in 
Sec. 57.305(b). The report shall include the following:
    (1) Identity of the stack or other emission points where the excess 
emissions occurred;
    (2) Magnitude of the excess emissions expressed in the units of each 
applicable emission limitation, as well as the operating data, 
documents, and calculations used in determining the magnitude of the 
excess emissions;
    (3) Time and duration of the excess emissions;
    (4) Identity of the equipment causing the excess emissions;
    (5) Nature and cause of such excess emissions;
    (6) Steps taken to limit the excess emissions, and when those steps 
were commenced;
    (7) If the excess emissions were the result of a malfunction, the 
steps taken to remedy the malfunction and to prevent the recurrence of 
such malfunction; and
    (8) At the smelter owner's election, the demonstration specified in 
paragraph (c) of this section.
    (c) Malfunction demonstration. Except as provided in 
Sec. 57.302(e)(2) or in paragraph (d) or (e) of this section, any excess 
emission shall be a violation of the NSO unless the owner demonstrates 
in the excess emissions report required under paragraph (b) of this 
section that the excess emission resulted from a malfunction (or an 
unavoidable start up and shut down resulting from a malfunction) and 
that:
    (1) The air pollution control systems, process equipment, or 
processes were at all times maintained and operated, to the maximum 
extent practicable, in a manner consistent with good practice for 
minimizing emissions;
    (2) Repairs were made as expeditiously as practicable, including the 
use of off-shift labor and overtime;
    (3) The amount and duration of the excess emissions were minimized 
to the maximum extent practicable during periods of such emissions; and
    (4) The excess emissions were not part of a recurring pattern 
indicative of serious deficiencies in, or inadequate operation, design, 
or maintenance of, the process or control equipment.
    (d) Scheduled maintenance exception. Excess emissions occurring 
during scheduled maintenance shall not constitute violations of the NSO 
to the extent that:
    (1) The expected additional annual sulfur dioxide removal by any 
control system (including associated process changes) for which 
construction had not commenced (as defined in 40 CFR 60.2 (g) and (i)) 
as of August 7, 1977 and which the smelter owner agrees to install and 
operate under subpart F, would have offset such excess emissions if the 
system had been in operation throughout the year in which the 
maintenance was performed;

[[Page 90]]

    (2) The system is installed and operated as provided in the NSO 
provisions established under subpart F; and
    (3) The system performs at substantially the expected efficiency and 
reliability subsequent to its initial break-in period.
    (e) An NSO may provide that excess emissions which occur during acid 
plant start-up as the result of the cooling of acid plant catalyst due 
to the unavailability of process gas to an acid plant during a prolonged 
SCS curtailment or scheduled maintenance are not excess emissions. If 
the NSO does so provide, it shall also require the use of techniques or 
practices designed to minimize these excess emissions, such as the 
sealing of the acid plant during prolonged curtailments, the use of 
auxiliary heat or SO2 injected during the curtailment, or the 
preheating of the acid plant before start-up of the process equipment it 
serves.
    (f) Requirements for a smelter with constant controls that applies 
for a waiver.
    (1) If a smelter that has some interim constant controls applies for 
a waiver in accordance with subpart H, the following requirements shall 
apply pending action on the waiver application and following final 
action granting or approving a waiver:
    (i) The NSO shall require the smelter to implement maintenance and 
operation measures designed to reduce to the maximum extent feasible the 
potential for bypass of existing interim constant controls.
    (ii) Upon application for a waiver under subpart H, the smelter 
shall submit to the issuing agency for its approval and to EPA proposed 
maintenance and operation measures for compliance with the requirements 
of paragraph (i).
    (iii) The remainder of this subpart shall apply except that: (A) The 
emission limitations required under this subpart shall be based only on 
existing constant control equipment as upgraded through the improved 
maintenance and operation required by this paragraph, and (B) bypass of 
existing controls shall not constitute excess emissions, provided the 
maintenance and operation requirements and emission limitations 
prescribed by the NSO are satisfied.
    (2) After any denial of a waiver by the issuing Agency, or any 
disapproval by EPA of a waiver granted by the issuing agency, the NSO 
shall be amended consistent with the requirements of this subpart and 
Sec. 57.702.



Sec. 57.305  Compliance monitoring and reporting.

    (a) Monitoring. (1) Each NSO shall require compliance with the 
control system performance requirements established pursuant to this 
subpart to be determined through the use of continuous monitors for 
measuring SO2 concentration.
    (i) Such monitors must be installed, operated and maintained in 
accordance with the performance specifications and other requirements 
contained in appendix D to 40 CFR part 52 or part 60. The monitors must 
take and record at least one measurement of SO2 concentration from 
the effluent of each control system in each 15-minute period. Failure of 
the monitors to record at least 95% of the 15-minute periods in any 30-
day period shall constitute a violation of the NSO.
    (ii) The sampling point shall be located at least 8 stack diameters 
(diameter measured at sampling point) downstream and 2 diameters 
upstream from any flow disturbance such as a bend, expansion, 
constriction, or flame, unless another location is approved by the 
Administrator.
    (iii) The sampling point for monitoring emissions shall be in the 
duct at the centroid of the cross section if the cross sectional area is 
less than 4.645m2 (50 ft2) or at a point no closer to the wall 
than 0.914m (3 ft) if the cross sectional area is 4.645m2 (50 
ft2) or more. The monitor sample point shall be in an area of small 
spatial concentration gradient and shall be representative of the 
concentration in the duct.
    (iv) The measurement system(s) installed and used pursuant to this 
paragraph shall be subject to the manufacturer's recommended zero 
adjustment and calibration procedures at least once per 24-hour 
operating period unless the manufacturer specifies or recommends 
calibration at shorter intervals, in which case such specifications

[[Page 91]]

or recommendations shall be followed. Records of these procedures shall 
be made which clearly show instrument readings before and after zero 
adjustment and calibration.
    (2) Each NSO shall require the monitoring of any ducts or flues used 
to bypass gases, required under this subpart to be treated by constant 
controls, around the smelter's sulfur dioxide constant control system(s) 
for ultimate discharge to the atmosphere. Such monitoring shall be 
adequate to disclose the time of the bypass, its duration, and the 
approximate volume and SO2 concentration of gas bypassed.
    (b) Reporting. (1) Each NSO shall require that the smelter maintain 
a record of all measurements required under paragraph (a) of this 
section. Results shall be summarized monthly and shall be submitted to 
the issuing agency within 15 days after the end of each month. The 
smelter owner shall retain a record of such measurements for one year 
after the NSO period terminates.
    (2) Each NSO shall require that the smelter maintain a record of all 
measurements and calculations required under Sec. 57.303(b). Results 
shall be summarized on a monthly basis and shall be submitted to the 
issuing agency at 6-month intervals. The smelter owner shall retain a 
record of such measurements and calculations for at least one year after 
the NSO terminates.
    (3) The report required under Sec. 57.304(b) shall accompany the 
report required under paragraph (b)(1) of this section.
    (c) Quality assurance and continuous data--(1) Quality assurance. 
Each NSO shall require that the smelter submit a plan for quality 
assurance to the issuing agency for approval and that all monitoring 
performed by continuous monitors shall be verified for quality assurance 
by the smelter. Such plans must follow current EPA guidelines for 
quality assurance, in order to be approvable.
    (2) Continuous data. Manual source testing methods equivalent to 40 
CFR part 60, appendix A shall be used to determine compliance if the 
continuous monitoring system malfunctions.



          Subpart D--Supplementary Control System Requirements



Sec. 57.401  General requirements.

    Except as provided in subpart E, each NSO shall require the smelter 
owner to prevent all violations of the NAAQS in the smelter's designated 
liability area (DLA) through the operation of an approved supplementary 
control system (SCS).



Sec. 57.402  Elements of the supplementary control system.

    Each supplementary control system shall contain the following 
elements:
    (a) Air quality monitoring network. An approvable SCS shall include 
the use of appropriate ambient air quality monitors to continuously 
measure the concentration of sulfur dioxide in the air in the smelter's 
DLA.
    (1) The monitors shall be located at all points of expected SO2 
concentrations necessary to anticipate and prevent possible violations 
of NAAQS anywhere in the smelter's DLA. The determination of the 
locations where such concentrations may occur shall take into account 
all recorded or probable meteorological and operating conditions 
(including bypassing of control equipment), as well as the presence of 
other sources of SO2 significantly affecting SO2 
concentrations in the DLA.
    (2) The number and location of sites shall be based on dispersion 
modeling, measured ambient air quality data, meteorological information, 
and the results of the continuing review required by paragraph (f) of 
this section. The system shall include the use of at least 7 fixed 
monitors unless the issuing agency determines, on the basis of a 
demonstration by the smelter owner, that the use of fewer monitors would 
not limit coverage of points of high SO2 concentration or otherwise 
reduce the capability of the smelter owner to prevent any violations of 
the NAAQS in the smelter's DLA.
    (3) All monitors shall be continuously operated and maintained and 
shall meet the performance specifications contained in 40 CFR part 53. 
The monitors shall be capable of routine real time measurement of 
maximum expected SO2 concentrations for the averaging times of 
SO2 NAAQS.

[[Page 92]]

    (b) Meteorological network. The SCS must have a meteorological 
assessment capability adequate to predict and identify local conditions 
requiring emission curtailment to prevent possible violations of the 
NAAQS. The meteorological assessment capability shall provide all 
forecast and current information necessary for successful use of the SCS 
operational manual required by paragraph (e) of this section.
    (c) Designated liability area. The system shall be required to 
prevent all violations of the NAAQS within the smelter's DLA. The DLA of 
any smelter is the area within which the smelter's emissions may cause 
or significantly contribute to violations of the NAAQS for SO2 when 
the smelter is operating at its maximum production capacity under any 
recorded or probable meterological conditions. The boundaries of that 
area shall be specified in the NSO.
    (1) Unless an acceptable demonstration is made under paragraph 
(c)(2) of this section, the DLA shall be a circle with a center point at 
the smelter's tallest stack and a minimum radius as given in the 
following table:

       Radius for SO2 Emissions at Maximum Production Capacity \1\      
------------------------------------------------------------------------
                                         Emission rate in      Radius in
   Emissions rate in tons per hour        grains per sec.     kilometers
------------------------------------------------------------------------
16 or less..........................  4,000 or less.........         11 
24..................................  6,000.................         16 
32..................................  8,000.................         24 
40..................................  10,000................         32 
48 or more..........................  12,000 or more........         40 
------------------------------------------------------------------------
\1\ Maximum emission rates for periods not to exceed 24 hours. Minimum  
  radii may be determined from the table by linear interpolation.       

    (2) The NSO may provide for a DLA with different boundaries if the 
smelter owner can demonstrate through the use of appropriate dispersion 
modeling and ambient air quality monitoring data that the smelter's 
controlled emissions could not cause or significantly contribute to a 
violation of the NAAQS beyond the boundaries of such a different area 
under any recorded or probable meteorological conditions.
    (3) A violation of the NAAQS in the DLA of any smelter shall 
constitute a violation of that smelter's NSO, unless the issuing agency 
determines on the basis of a showing by the smelter owner that the 
smelter owner had taken all emission curtailment action indicated by the 
SCS operational manual and that the violation was caused in significant 
part by:
    (i) Emissions of another source(s) which were in excess of the 
maximum permissible emissions applicable to such source(s),
    (ii) Fugitive emissions of another source(s), or
    (iii) The smelter's own fugitive emissions: Provided, that the 
smelter is in compliance with all requirements of or under subpart E of 
this part.
    (4) For the purposes of this section, maximum permissible emissions 
for other sources are the highest of:
    (i) SIP emission limitation;
    (ii) Orders in effect under section 113(d) of the Clean Air Act; or
    (d) Overlapping designated liability areas. Notwithstanding any 
other provisions of this subpart, the following requirements shall apply 
whenever the designated liability areas of 2 or more smelters do, or 
may, overlap:
    (1) In the case of any NSO applicant that would have a DLA which 
would overlap with the DLA of any other smelter that has applied for an 
NSO or has an NSO in effect, the NSO applicant shall include in its 
application an enforceable joint plan, agreed to by such other 
smelter(s). In determining whether a joint plan is required, the NSO 
applicant shall calculate its DLA according to the table in paragraph 
(c)(1) of this section. The DLA of the other smelter shall be calculated 
according to the table in paragraph (c)(1) unless the other smelter has 
an NSO in effect, in which case the boundaries in that NSO shall be 
used. The enforceable joint plan shall provide for:
    (i) Emission curtailment adequate to ensure that the NAAQS will not 
be violated in any areas of overlapping DLAs; and
    (ii) Conclusive prospective allocation of legal liability in the 
event that the NAAQS are violated in the area of overlapping DLAs.

Such plans may, but need not, include the operation of a joint SCS 
system. Each NSO shall require adherence by the NSO applicant owner to 
the joint plan for emission curtailment and allocation of liability, 
unless the issuing

[[Page 93]]

agency determines, pursuant to the provisions of paragraph (c)(2) of 
this section, that the NSO applicant's DLA does not overlap with that of 
any other smelter.
    (2) In the case of any NSO applicant that would have a DLA which 
would overlap with the DLA of any other smelter whose owner has not 
applied for an NSO (and does not have an NSO in effect), the NSO 
applicant's submittal shall contain a written consent, signed by a 
corporate official empowered to do so. The consent shall state that if, 
at any time thereafter, the owner of the other smelter applies for an 
NSO, and the other smelter's DLA would overlap with the NSO applicant's 
DLA, the NSO applicant will negotiate and submit an enforceable joint 
plan for emission curtailment and allocation of liability (as described 
in paragraph (d)(1) of this section). In determining whether it is 
necessary to submit such a consent, each smelter's DLA shall be 
calculated according to the table set forth in paragraph (c)(1) of this 
section. The consent shall state that a joint plan shall be submitted 
within 90 days of the issuing agency's notification to the NSO applicant 
of receipt of the other smelter's letter of intent, unless the issuing 
agency determines that the DLAs do not overlap. Failure of the NSO 
applicant to submit such a plan shall constitute grounds for denial of 
its NSO application or a violation of an effective NSO, as applicable.
    (e) The SCS operational manual. Each NSO shall require the smelter 
to be operated in accordance with the provisions of an SCS operational 
manual approved by the issuing agency. The SCS operational manual shall 
describe the circumstances under which, the extent to which, and the 
procedures through which emissions shall be curtailed to prevent 
violations of the NAAQS in the smelter's DLA. Failure to curtail 
emissions when and as much as indicated by the manual or to follow the 
provisions of the manual implementing the requirements of paragraph 
(e)(3) of this section shall constitute a violation of the NSO.
    (1) The operational manual shall prescribe emission curtailment 
decisions based on the use of real time information from the air quality 
monitoring network dispersion model estimates of the effect of emissions 
on air quality, and meteorological observations and predictions.
    (2) The operational manual shall also provide for emission 
curtailment to prevent violation of the NAAQS within the smelter's DLA 
which may be caused in part by stack emissions, and to the extent 
practicable fugitive emissions, from any other source (unless that other 
source is a smelter subject to an NSO).
    (3) The SCS operational manual shall include (but not be limited 
to):
    (i) A clear delineation of the authority of the SCS operator to 
require all other smelter personnel to implement the operator's 
curtailment decisions;
    (ii) The maintenance and calibration procedures and schedules for 
all SCS equipment;
    (iii) A description of the procedures to be followed for the regular 
acquisition of all meteorological information necessary to operate the 
system;
    (iv) The ambient concentrations and meteorological conditions that 
will be used as criteria for determining the need for various degrees of 
emission curtailment;
    (v) The meteorological variables as to which judgments may be made 
in applying the criteria stated pursuant to paragraph (e)(3)(iv) of this 
section;
    (vi) The procedures through which and the maximum time period within 
which a curtailment decision will be made and implemented by the SCS 
operator;
    (vii) The method for immediately evaluating the adequacy of a 
particular curtailment decision, including the factors to be considered 
in that evaluation;
    (viii) The procedures through which and the time within which 
additional necessary curtailment will immediately be effected; and
    (ix) The procedures to be followed to protect the NAAQS in the event 
of a mechanical failure in any element of the SCS.
    (f) Continuing review and improvement of the SCS. Each NSO shall 
require the smelter owner to conduct an active

[[Page 94]]

program to continuously review the design and operation of the SCS to 
determine what measures may be available for improving the performance 
of the system. Among the elements of this program shall be measures to 
locate and examine possible places both inside and outside the DLA where 
unmonitored NAAQS violations may be occurring. Such measures shall 
include the use of modeling as appropriate and mobile ambient air 
quality monitors, following up on information and complaints from 
members of the public, and other appropriate activities. The NSO shall 
also require the submission of a semi-annual report to the issuing 
agency detailing the results of this review and specifying measures 
implemented to prevent the recurrence of any violations of NAAQS.



Sec. 57.403  Written consent.

    (a) The consent. The NSO shall include a written consent, signed by 
a corporate official empowered to do so, in the following form:

    As a condition of receiving a Primary Nonferrous Smelter Order (NSO) 
under Section 119 of the Clean Air Act, for the smelter operated by 
(name of company) at (location), the undersigned official, being 
empowered to do so, consents for the company as follows:
    (1) In any civil proceeding (judicial or administrative) to enforce 
the NSO, the company will not contest:
    (a) Liability for any violation of the National Ambient Air Quality 
Standards for sulfur dioxide in the smelter's designated liability area 
(DLA), except on the ground that a determination under 40 CFR 
57.402(c)(3) was clearly wrong; or
    (b) The conclusive allocation of liability under NSO provisions 
satisfying 40 CFR 57.402(d)(1) between the company's smelter and any 
other smelter(s) for any violation of the National Ambient Air Quality 
Standards for sulfur dioxide in an area of overlapping DLAs.
    (2) The issuing agency (as defined in 40 CFR 57.103) will be allowed 
unrestricted access at reasonable times to inspect, verify calibration 
of, and obtain data from ambient air quality monitors operated by the 
company under the requirements of the NSO.

    (b) Rights not waived by the consent. This consent shall not be 
deemed to waive any right(s) to judicial review of any provisions of an 
NSO that are otherwise available to the smelter owner or operator under 
section 307(b) of the Clean Air Act.



Sec. 57.404  Measurements, records, and reports.

    (a) Measurements. Each NSO shall require the smelter owner to 
install, operate, and maintain a measurement system(s) for continuously 
monitoring sulfur dioxide emissions and stack gas volumetric flow rates 
in each stack (except a stack used exclusively for bypassing control 
equipment) which could emit 5 percent or more of the smelter's total 
potential (uncontrolled) hourly sulfur dioxide emissions.
    (1) Such monitors shall be installed, operated, and maintained in 
accordance with the performance specifications and other requirements 
contained in appendices D and E to 40 CFR part 52. The monitors must 
take and record at least one measurement of sulfur dioxide concentration 
and stack gas flow rate from the effluent of each affected stack in each 
fifteen-minute period. (The NSO shall require the smelter operator to 
devise and implement any procedures necessary for compliance with these 
performance specifications.)
    (2) The sampling point shall be located at least eight stack 
diameters (diameter measured at sampling point) downstream and two 
diameters upstream from any flow disturbance such as a bend, expansion, 
constriction, or flame, unless another location is approved by the 
Administrator.
    (3) The sampling point for monitoring emissions shall be in the duct 
at the centroid of the cross section if the cross sectional area is less 
than 4.645 m2 (50 ft 2) or at a point no closer to the wall 
than 0.914m (3 ft) if the cross sectional area is 4.645 m2 (50 
ft2) or more. The monitor sample point shall be in an area of small 
spatial concentration gradient and shall provide a sample which is 
representative of the concentration in the duct.
    (4) The measurement system(s) installed and used pursuant to this 
paragraph shall be subject to the manufacturer's recommended zero 
adjustment and calibration procedures at least once per 24-hour 
operating period unless the manufacturer specifies or recommends 
calibration at shorter intervals, in which case such specifications

[[Page 95]]

or recommendations shall be followed. Records of these procedures shall 
be made which clearly show instrument readings before and after zero 
adjustment and calibration.
    (5) The results of such monitoring, calibration, and maintenance 
shall be submitted in the form and with the frequency specified in the 
NSO.
    (b) Records. Each NSO shall require the smelter owner to maintain 
records of the air quality measurements made, meteorological information 
acquired, emission curtailment ordered (including the identity of the 
persons making such decisions), and calibration and maintenance 
performed on SCS monitors during the operation of the SCS. These records 
shall be maintained for the duration of the NSO.
    (c) Reports. Each NSO shall require the smelter owner to:
    (1) Submit a monthly summary indicating all places and times at 
which the NAAQS for SO2 were violated in the smelter's DLA, and 
stating the SO2 concentrations at such times;
    (2) Immediately notify EPA and the state agency any time 
concentrations of SO2 in the ambient air in the smelter's DLA 
reaches 0.3 part per million (800 micrograms/cubic meter), 24-hour 
average, or exceed the warning stage in any more stringent emergency 
plan in the applicable State Implementation Plan; and
    (3) Make such other reports as may be specified in the NSO.



Sec. 57.405  Formulation, approval, and implementation of requirements.

    (a) SCS content of the application. The requirements of 
Sec. 57.203(d) shall be satisfied with respect to this subpart as 
follows:
    (1) Each NSO application shall include a complete description of any 
supplementary control system in operation at the smelter at the time of 
application and a copy of any SCS operational manual in use with that 
system.
    (2) Each NSO application shall contain proposed NSO provisions for 
compliance with the requirements of Secs. 57.401, 57.402(c), (d), and 
(f), 57.403, 57.404, and 57.405(b)(2).
    (3) Each NSO application shall include a specific plan for the 
development of a system fulfilling the requirements of Sec. 57.402(a), 
(b), and (e) (covering air quality monitoring network, meteorological 
network, and the SCS operational manual).
    (b) SCS content of the order. (1) Each NSO shall include an approved 
version of the plan described in paragraph (a)(3) of this section and 
shall provide increments of progress towards its completion. Each NSO 
shall require, upon completion of the measures specified in the approved 
plan, submission of a report which describes each element of the SCS and 
explains why the elements satisfy the requirements of the plan and 
submission of a copy of the SCS operational manual developed under the 
plan.
    (2) Each NSO shall require the submission of a final report, within 
6 months of the required date for completion of the measures specified 
in the approved plan evaluating the performance and adequacy of the SCS 
developed pursuant to the approved plan. The report shall include:
    (i) A detailed description of how the criteria that form the basis 
for particular curtailment decisions were derived;
    (ii) A complete description of each SCS element listed in 
Sec. 57.402 (a) through (d) (covering monitoring, meteorology, and the 
DLA), and an explanation of why the elements fulfill the requirements of 
those sections;
    (iii) A reliability study demonstrating that the SCS will prevent 
violations of the NAAQS in the smelter's DLA at all times. The 
reliability study shall include a comprehensive analysis of the system's 
operation during one or more three-month seasonal periods when 
meteorological conditions creating the most serious risk of NAAQS 
violations are likely to occur. Where it is impossible, because of time 
restraints, to include in such a study and analysis of the three month 
seasonal period with meteorological conditions creating the most serious 
risk of NAAQS violations, the study shall analyze the system's operation 
on the basis of all available information. The NSO shall provide that in 
such case, a supplemental reliability study shall be submitted after the 
end of the worst case three-month period as a part of

[[Page 96]]

the next semi-annual report required under Sec. 57.402(f).
    (iv) A copy of the current SCS operational manual.
    (c) Amendment of the NSO. Each NSO shall be amended, if necessary, 
within 3 months of completion of the measures required under the SCS 
development plan and also, if necessary, within three months of 
submission of the final report or any supplement to the final report 
required under paragraph (b)(2) of this section, to reflect the most 
current approved elements of the SCS and, as appropriate, to fulfill all 
other requirements of this subpart. Each NSO shall also be subsequently 
amended (as provided in Sec. 57.104) whenever necessary as a result of 
the program required by Sec. 57.402(f) or to reflect improved SCS 
operating procedures or other system requirements.



           Subpart E--Fugitive Emission Evaluation and Control



Sec. 57.501  General requirements.

    (a) Each NSO shall require the smelter owner to use such control 
measures as may be necessary to ensure that the smelter's fugitive 
emissions do not result in violations of the NAAQS for SO2 in the 
smelter's DLA.
    (b) A smelter which is operating under an NSO containing a SIP 
compliance schedule established in accordance with Sec. 57.705 is 
required to be making progress toward compliance with any fugitive 
control requirements contained in its respective SIP and need not meet 
the other requirements contained in this subpart.
    (c) A smelter which is subject to an NSO which does not contain a 
SIP compliance schedule must meet the provisions of Secs. 57.502 and 
57.503.



Sec. 57.502  Evaluation.

    (a) Evaluation at the time of application. Any smelter owner may 
demonstrate at the time of application for an NSO that the smelter's 
SO2 fugitive emissions will not cause or significant contribute to 
violations of the NAAQS in the smelter's DLA. If such demonstration is 
not made, the smelter owner shall submit the design and workplan for a 
study adequate to assess the sources of significant fugitive emissions 
from the smelter and their effects upon ambient air quality.
    (b) Evaluation during the first 6 months of the NSO. The design and 
workplan of the study shall be approved, if adequate, by the issuing 
agency and included in the NSO. The study shall commence no later than 
the date when the NSO becomes effective and an analysis of its results 
shall be submitted to the issuing agency within 6 months of the 
effective date of the NSO. The study shall include an appropriate period 
during which the ambient air shall be monitored to determine the impact 
of fugitive emissions of sulfur dioxide, arsenic (at copper smelters 
only), lead (at lead and zinc smelters only), and total suspended 
particulates on the ambient air quality in the smelter's DLA.



Sec. 57.503  Control measures.

    The NSO of any smelter subject to the requirements of Sec. 57.502(b) 
shall be amended, if necessary, within 6 months of EPA's receipt of the 
analysis specified in Sec. 57.502(b), as provided in Sec. 57.704(c) to 
implement the requirement of Sec. 57.501. Measures required to be 
implemented may include:
    (a) Additional supplementary control. The use of the supplementary 
control system, if the additional use of the system does not interfere 
with the smelter owner's ability to meet the requirements of subpart D; 
and
    (b) Engineering and maintenance techniques. The use of engineering 
and maintenance techniques to detect and prevent leaks and capture and 
vent fugitive emissions through appropriate stacks. These techniques 
include but are not limited to:
    (1) For reactors, installation and proper operation of primary 
hoods;
    (2) For roasters, installation and proper operation of primary hoods 
on all hot calcine transfer points;
    (3) For furnaces, installation and proper operation of primary hoods 
on all active matte tap holes, matte launders, slag skim bays, and 
transfer points;
    (4) For converters, installation and proper operation of primary 
hoods for blowing operations, and where appropriate, secondary hoods for 
charging and pouring operations;

[[Page 97]]

    (5) For sintering machines, installation and proper operation of 
primary hoods on the sinter bed, all hot sinter ignition points, all 
concentrate laydown points, and all hot sinter transfer points;
    (6) For blast furnaces, installation and proper operation of primary 
hoods on all active slag and lead bullion furnace tap holes and transfer 
points;
    (7) For dross reverberatory furnaces, installation and proper 
operation of primary hoods on all active charging and discharging 
points;
    (8) Maintenance of all ducts, flues and stacks in a leak-free 
condition to the maximum extent possible;
    (9) Maintenance of all process equipment under normal operating 
conditions in such a fashion that out-leakage of fugitive gases will be 
prevented to the maximum extent possible;
    (10) Secondary or tertiary hooding on process equipment where 
necessary; and
    (11) Partial or complete building evacuation as appropriate.



Sec. 57.504  Continuing evaluation of fugitive emission control measures.

    Each NSO shall require the smelter owner to conduct an active 
program to continuously review the effectiveness of the fugitive 
emission control measures implemented pursuant to Sec. 57.503 in 
maintaining the NAAQS and, if such measures are not sufficiently 
effective, to evaluate what additional measures should be taken to 
assure that the NAAQS will be maintained with a reasonably degree of 
reliability. The NSO shall also require submission of a semi-annual 
report to the issuing Agency detailing the results of this review and 
evaluation. Such a report may be submitted as part of the report 
required under Sec. 57.402(f).



Sec. 57.505  Amendments of the NSO.

    An NSO shall be amended within three months of submission of any 
report required under Sec. 57.504 so as to require additional fugitive 
emission control measures if such report establishes that such 
additional measures are necessary to assure that the NAAQS will be 
maintained with a reasonable degree of reliability.



            Subpart F--Research and Development Requirements



Sec. 57.601  General requirements.

    (a) This subpart is not applicable to NSOs which contain a SIP 
compliance schedule in accordance with Sec. 57.705.
    (b) The requirements of this subpart may be waived with respect to a 
smelter if the owner of that smelter submits with its NSO application a 
written certification by a corporate official authorized to make such a 
certification that the smelter will either comply with its SO2 SIP 
limits by January 2, 1988 or close after January 1, 1988 until it can 
comply with such limits.
    (c) Except as provided in paragraphs (a) and (b), each NSO shall 
require the smelter to conduct or participate in a specific research and 
development program designed to develop more effective means of 
compliance with the sulfur dioxide control requirements of the 
applicable State Implementation Plan than presently exist.



Sec. 57.602  Approval of proposal.

    (a) The smelter owner's proposal. The smelter owner's NSO 
application shall include a proposed NSO provision for implementing the 
requirement of Sec. 57.601, a fully documented supporting analysis of 
the proposed program, and an evaluation of the consistency of the 
proposed program with the criteria listed in Sec. 57.603. The 
application shall also specify:
    (1) The design and substantive elements of the research and 
development program, including the expected amount of time required for 
their implementation;
    (2) The annual expected capital, operating, and other costs of each 
element in the program;
    (3) The smelter's current production processes, pollution control 
equipment, and emissions which are likely to be affected by the program;
    (4) Potential or expected benefits of the program;
    (5) The basis upon which the results of the program will be 
evaluated; and
    (6) The names, positions, and qualifications of the individuals 
responsible for conducting and supervising the project.

[[Page 98]]

    (b) EPA approval. (1) If the issuing agency will not be EPA, the 
smelter owner or the issuing agency may also submit to EPA the 
information specified in paragraph (a) of this section at the same time 
the information is submitted to the issuing agency. As soon as possible 
after the receipt of the information described in paragraph (a) of this 
section, EPA shall certify to the issuing agency and to the applicant 
whether or not in the judgment of the Administrator the smelter owner's 
final proposals are approvable. If EPA does not receive an advance copy 
of the proposal, the ultimate approval will occur when the NSO is 
approved rather than in advance of receipt of the NSO.
    (2) A prerequisite for approval of an R&D proposal by EPA and any 
issuing agency is that the planned work must yield the most cost 
effective technology possible.
    (c) Optional preproposal. The smelter owner may, at its option, 
submit to EPA for its approval and comment a preproposal generally 
describing the project the owner intends to propose under paragraph (a) 
of this section. A preproposal may be submitted to EPA any time prior to 
the submission of a proposal under paragraph (a) of this section. As 
soon as possible after the receipt of a preproposal, EPA shall certify 
to the applicant (and to any other issuing agency, as applicable) 
whether or not the project would be approvable. This certification may 
include comments indicating necessary modifications which would make the 
project approvable.



Sec. 57.603  Criteria for approval.

    The approvability of any proposed research and development program 
shall be judged primarily according to the following criteria:
    (a) The likelihood that the project will result in the use of more 
effective means of emission limitation by the smelter within a 
reasonable period of time and that the technology can be implemented at 
the smelter in question, should the smelter be placed on a SIP 
compliance schedule at some future date when adequately demonstrated 
technology is reasonably available;
    (b) Whether the proposed funding and staffing of the project appear 
adequate for its successful completion;
    (c) Whether the proposed level of funding for the project is 
consistent with the research and development expenditure levels for 
pollution control found in other industries;
    (d) The potential that the project may yield industrywide pollution 
control benefits;
    (e) Whether the project may also improve control of other pollutants 
of both occupational and environmental significance;
    (f) The potential effects of the project on energy conservation; and
    (g) Other non-air quality health and environmental considerations.



Sec. 57.604  Evaluation of projects.

    The research and development proposal shall include a provision for 
the employment of a qualified independent engineering firm to prepare 
written reports at least annually which evaluate each completed 
significant stage of the research and development program, including all 
relevant information and data generated by the program. All reports 
required by this paragraph shall be submitted to EPA and also to the 
issuing agency if it is not EPA.



Sec. 57.605  Consent.

    Each NSO shall incorporate by reference a binding written consent, 
signed by a corporate official empowered to do so, requiring the smelter 
owner to:
    (a) Carry out the approved research and development program;
    (b) Grant each issuing agency and EPA and their contractors access 
to any information or data employed or generated in the research and 
development program, including any process, emissions, or financial 
records which such agency determines are needed to evaluate the 
technical or economic merits of the program;
    (c) Grant physical access to representatives and contractors of each 
issuing agency to each facility at which such research is conducted;
    (d) Grant the representatives and contractors of EPA and the issuing 
agency reasonable access to the persons conducting the program on behalf

[[Page 99]]

of the smelter owner for discussions of progress, interpretation of data 
and results, and any other similar purposes as deemed necessary by EPA 
or any issuing agency.



Sec. 57.606  Confidentiality.

    The provisions of section 114 of the Act and 40 CFR part 2 shall 
govern the confidentiality of any data or information provided to EPA 
under this subpart.



               Subpart G--Compliance Schedule Requirements



Sec. 57.701  General requirements.

    This section applies to all smelters applying for an NSO. Each NSO 
shall require the smelter owner to meet all of the requirements within 
the NSO as expeditiously as practicable but in no case later than the 
deadlines contained in this subpart or any other section of these 
regulations. For requirements not immediately effective, the NSO shall 
provide increments of progress and a schedule for compliance. Each 
schedule must reflect the extent to which any required equipment or 
systems are already in place and the extent to which any required 
reports or studies have already been completed. Requirements for 
smelters to submit compliance schedules and the procedures which they 
must follow are outlined below.



Sec. 57.702  Compliance with constant control emission limitation.

    (a) This section applies to all smelters which receive an NSO, but 
only to the extent this section is compatible with any SIP compliance 
schedule required by Secs. 57.201(d)(2) and 57.705.
    (b) Any NSO issued to a smelter not required to immediately comply 
with the requirements of subpart G under Sec. 57.701 shall contain a 
schedule for compliance with those requirements as expeditiously as 
practicable but in no case later than 6 months from the effective date 
of the NSO, except as follows: Where a waiver is requested in accordance 
with subpart H, an NSO may be issued without a schedule for compliance 
with the requirements for which a waiver is being considered consistent 
with subpart H, pending a final decision on the request under subpart H. 
If a waiver is requested in accordance with subpart H, compliance with 
the requirements of subpart C which were deferred as a result of such 
request shall be achieved as expeditiously as practicable after, but in 
no case later than 6 months from a final decision by the issuing agency 
to deny a waiver under subpart H or disapproval by EPA of a waiver 
granted by the issuing agency. The time limits specified herein may be 
extended only if a smelter operator demonstrates that special 
circumstances warrant more time, in which case the compliance schedule 
shall require compliance as expeditiously as practicable. An NSO which 
does not contain a schedule for compliance with all the requirements of 
subpart C because a waiver has been requested in accordance with subpart 
H shall be amended in accordance with Sec. 57.104 within three months 
after a final decision under subpart H so as to either grant a waiver of 
any remaining requirements of subpart C, or deny such a waiver and place 
the smelter on a compliance schedule for meeting those requirements. If 
the issuing agency grants a waiver and such waiver is disapproved by 
EPA, the issuing agency shall promptly amend the NSO so as to place the 
smelter on a compliance schedule meeting any remaining requirements of 
subpart C.
    (c) Any schedule required under this section shall contain the 
following information and increments of progress to the extent 
applicable:
    (1) Description of the overall design of the SO2 control 
system(s) to be installed;
    (2) Descriptions of specific process hardware to be used in 
achieving compliance with interim SO2 constant controls including 
gas capacity values;
    (3) The date by which contracts will be let or purchase orders 
issued to accomplish any necessary performance improvements;
    (4) The date for initiating on-site construction or installation of 
necessary equipment;
    (5) The date by which on-site construction or installation of 
equipment is to be completed; and

[[Page 100]]

    (6) The date for achievement of final compliance with interim 
emission limitations.



Sec. 57.703  Compliance with the supplementary control system requirements.

    This section applies to all nonferrous smelters applying for an NSO.
    (a) Schedules for smelters with existing SCS. Each NSO shall require 
immediately upon issuance of the NSO operation of any existing 
supplementary control system and immediately upon the effective date of 
the NSO the assumption of liability for all violations of the NAAQS 
detected by any monitor in the SCS system. Each NSO shall require that 
within six months of the effective date of the NSO the smelter complete 
any measures specified in the smelter's approved SCS development plan 
not implemented at the time the NSO is issued, and assume liability for 
all violations of the NAAQS detected anywhere in the DLA (except as 
provided in subpart D of these regulations). Other requirements of 
subpart D such as the requirements for submission of reports records, 
and for ongoing evaluation of the SCS shall be complied with at the 
times specified in subpart D and Sec. 57.701.
    (b) Compliance schedule for smelters with no existing SCS system. 
Where a smelter has no SCS at the time of issuance of the NSO, the NSO 
shall require compliance with the requirements of subpart D according to 
the following schedule:
    (1) Within six months after the effective date of the NSO the 
smelter shall install all operating elements of the SCS system, begin 
operating the system, complete all other measures specified in its 
approved SCS development plan, begin compliance with the requirements of 
Sec. 57.404, and assume liability for any violations of the NAAQS within 
its designated liability area (except as provided by subpart D), 
detected by the SCS monitors in place.
    (2) Within nine months thereafter the smelter shall submit the SCS 
Report, assume liability for all violations of the NAAQS detected 
anywhere within its designated liability area, and comply with all other 
requirements of subpart D, except for those which subpart D specifies 
are to be satisfied at or after the close of such nine-month period, 
including requirements for submission of studies, reports, and records, 
and the requirements for continued review and evaluation of the SCS.



Sec. 57.704  Compliance with fugitive emission evaluation and control requirements.

    This section applies only to smelters not required to submit SIP 
Compliance Schedules under Sec. 57.705. Each NSO shall require that 
smelters satisfy each of the requirements of subpart E as expeditiously 
as practicable, taking into account the extent to which those 
requirements have already been satisfied, and in any event, within any 
deadlines specified below.
    (a) Plan for fugitive emission control. The NSO shall provide that 
within a reasonable period after the submission of the report on the 
fugitive emission control study required by Sec. 57.502, but within a 
period allowing sufficient time for compliance with the requirement of 
Sec. 57.503 for amendment of the NSO, the smelter owner shall submit to 
the issuing agency for its approval a proposed fugitive emission control 
plan, including increments of progress, for compliance with the 
requirements of Secs. 57.501 and 57.503.
    (b) SCS Report. If the fugitive emission control plan submitted 
under paragraph (a) of this section proposes to meet the requirements of 
Secs. 57.501 and 57.503 through the additional use of a supplementary 
control system, the plan shall demonstrate that the use of supplementary 
controls at that smelter to prevent violations of the NAAQS resulting 
from fugitive emissions is practicable, adequate, reliable, and 
enforceable. The plan shall contain increments of progress providing for 
completion of the implementation of each additional measure, and for 
corresponding compliance with the requirements of pararaphs (b) and (c) 
of Sec. 57.404, within four months of approval of the plan by the 
issuing agency. The plan shall also provide that within three months 
after completion of implementation of those additional measures, the 
smelter shall fully comply with the requirements of

[[Page 101]]

Sec. Sec. 57.401 and 57.501 (including the assumption of liability for 
violations of NAAQS within its designated liability area), and shall 
submit and additional SCS report for the approval of the issuing agency. 
This additional final report shall correspond to that submitted under 
Sec. 57.405(b)(2), except that it need not contain the 3-month study 
described in Sec. 57.405(b)(2)(iii).
    (c) NSO amendment. The amendments of the NSO required under 
Sec. 57.503 shall be affected by the issuing agency as follows:
    (1) With respect to the additional use of SCS, upon approval or 
promulgation of the plan submitted under paragraph (a) of this section 
and upon approval or promulgation of the requirements for the system 
described in the additional SCS Report under paragraph (b) of this 
section;
    (2) With respect to the additional use of engineering techniques, 
upon approval or promulgation of the compliance schedule required by 
paragraph (a) of this section.



Sec. 57.705  Contents of SIP Compliance Schedule required by Sec. 57.201(d) (2) and (3).

    This section applies to smelters which are required to submit a SIP 
Compliance Schedule as discussed below.
    (a) Each SIP Compliance Schedule required by Sec. 57.201(d) (2) and 
(3) must contain the following elements:
    (1) Description of the overall design of the SO2 control 
system(s) to be installed;
    (2) Descriptions of specific process hardware to be used in 
achieving compliance with the SIP emission limitation including gas 
capacity values;
    (3) The date by which contracts will be let or purchase orders 
issued to accomplish any necessary performance improvements;
    (4) The date for initiating on-site construction or installation of 
necessary equipment;
    (5) The date by which on-site construction or installation of 
equipment is to be completed;
    (6) The date for achievement of final compliance with SIP emission 
limitations; and
    (7) Any other measures necessary to assure compliance with all SIP 
requirements as expeditiously as practicable.
    (b) Operations of SCS. Smelters to which Sec. 57.705 is applicable 
must comply with all elements of Sec. 57.703.



Subpart H--Waiver of Interim Requirement for Use of Continuous Emission 
                          Reduction Technology



Sec. 57.801  Purpose and scope.

    (a) This subpart shall govern all proceedings for the waiver of the 
interim requirement that each NSO provide for the use of constant 
controls.
    (b) In the absence of specific provisions in this subpart, and where 
appropriate, questions arising at any stage of the proceeding shall be 
resolved at the discretion of the Presiding Officer or the 
Administrator, as appropriate.



Sec. 57.802  Request for waiver.

    (a) General. (1) Each smelter owner requesting a waiver shall 
complete, sign, and submit appendix A (Test for Eligibility for Interim 
Waiver). Copies of appendix A may be obtained from any EPA Regional 
Administrator, or from the Director, Stationary Source Compliance 
Division (EN-341), U.S. Environmental Protection Agency, 401 M Street, 
SW., Washington, DC 20460. Claims of confidentiality shall be made as 
provided in Sec. 57.203.
    (2) The smelter owner shall append to the completed and signed 
appendix A full copies of all documents, test results, studies, reports, 
scientific literature and assessments required by appendix A. To the 
extent that the material consists of generally available published 
material, the smelter owner may cite to the material in lieu of 
appending it to appendix A. The smelter owner shall specificially 
designate those portions of any documents relied upon and the facts or 
conclusions in appendix A to which they relate.
    (b) Effect of submitting incomplete application. (1) The 
Administrator, or a person designated by him to review applications for 
waivers, may advise the smelter owner in writing whenever he determines 
that additional information is needed in order to make the waiver

[[Page 102]]

eligibility determinations required by section 119(d)(2) of the Act. The 
smelter owner shall promptly supply such information. All additional 
information requested under this paragraph and filed in the manner 
required by paragraph (d) shall be deemed part of appendix A.
    (2) Failure to comply with the requirements of paragraphs (a) and 
(b)(1) of this section shall be grounds for denial of the requested 
waiver.
    (c) Time for requesting waivers. Any request for a waiver must be 
submitted to the Administrator by the smelter owner at the time of the 
application for an NSO from the State or the Administrator, as the case 
may be. Where a smelter was issued a second period NSO by a State before 
these regulations went into effect, a request for a waiver shall be made 
and a completed appendix A shall be submitted, within sixty days of the 
effective date of these regulations, unless an extension is granted by 
the Administrator, or his designee, for good cause.
    (d) Submission of request. A copy of appendix A (plus attachments) 
which has been completed for the purpose of requesting a waiver of 
constant control requirements shall be filed with the Administrator, 
addressed as follows: Director, Stationary Source Compliance Division 
(EN-341), U.S. Environmental Protection Agency, 401 M Street, SW., 
Washington, DC 20460, Attn: Confidential Information Unit.
    (e) Eligibility. A smelter shall be eligible for consideration under 
this subpart only if it establishes that (1) its existing strong stream 
controls, if any, lack the capacity while in full operation to treat all 
strong stream sulfur dioxide emissions and (2) bypass of strong stream 
controls due to excess strong stream sulfur dioxide emissions cannot be 
avoided with improved operation and maintenance of existing strong 
stream controls and process equipment.
    (f) Criteria for decision. The Administrator shall grant or approve 
a waiver, whichever is appropriate, for any eligible smelter as to which 
he finds, in accordance with the methods and procedures specified in 
appendix A, that:
    (1) The higher of the two net present values of future cash flows 
completed under the two alternative sets of assumptions set forth in the 
instructions to schedule D.6 in appendix A in less than liquidation 
(salvage) value; or
    (2) The smelter's average variable costs at all relevant levels of 
production (after installation of interim constant control equipment) 
would exceed the weighted average price of smelter output for one year 
or more.



Sec. 57.803  Issuance of tentative determination; notice.

    (a) Tentative determination. (1) The EPA staff shall formulate and 
prepare:
    (i) A ``Staff Computational Analysis,'' using the financial 
information submitted by the smelter owner under Sec. 57.802 to evaluate 
the economic circumstances of the smelter for which the waiver is 
sought;
    (ii) A tentative determination as to whether an interim requirement 
for the use of constant controls would be so costly as to necessitate 
permanent or prolonged temporary cessation of operations at the smelter 
for which the waiver is requested. The tentative determination shall 
contain a ``Proposed Report and Findings'' summarizing the conclusions 
reached in the Staff Computational Analysis, discussing the estimated 
cost of interim controls, and assessing the effect upon the smelter of 
requiring those controls. The tentative determination shall also contain 
a proposed recommendation that the waiver be granted or denied, based 
upon the Proposed Report and Findings, and stating any additional 
considerations supporting the proposed recommendation. This tentative 
determination shall be a public document.
    (2) In preparing the Proposed Report and Findings, the EPA staff 
shall attempt to the maximum extent feasible to avoid revealing 
confidential information which, if revealed, might damage the legitimate 
business interests of the applicant. The preceding sentence 
notwithstanding, the tentative determination shall be accompanied by a 
listing of all materials considered by EPA staff in developing the 
tentative determination. Subject to the provisions of Sec. 57.814(a), 
full copies of all such materials shall be included in the 
administrative record under Sec. 57.814, except that, to the extent the 
material

[[Page 103]]

consists of published material which is generally available, full 
citations to that material may be given instead.
    (b) Public notice. Public notice of EPA's tentative determination to 
grant or deny an application for a waiver shall be given by:
    (1) Publication at least once in a daily newspaper of general 
circulation in the area in which the smelter is located; and
    (2) Posting in the principal office of the municipality in which the 
smelter is located.
    (c) Individual notice. Individual notice of EPA's tentative 
determination to grant or deny an application for a waiver shall be 
mailed to the smelter owner by certified mail, return receipt requested, 
and to the air pollution control agency for the State in which the 
smelter is located.
    (d) Request for individual notice. EPA shall mail notice of its 
tentative determination to grant or deny an application for waiver to 
any person upon request. Each such request shall be submitted to the 
Administrator in writing, shall state that the request is for individual 
notice of tentative determination to grant or deny any application for a 
waiver under section 119(d) of the Clean Air Act, and shall describe the 
notice or types of notices desired (e.g., all notices, notices for a 
particular Region, notices for a particular State, notice for a 
particular city).
    (e) Form of notice. The notice of tentative determination required 
to be distributed under paragraphs (b), (c), and (d) of this section 
shall include, in addition to any other materials, the following:
    (1) A summary of the information contained in appendix A;
    (2) The tentative determination prepared under paragraph (a) of this 
section: Provided, that except in the case of the smelter owner, a 
summary of the basis for the grant or denial of the waiver may be 
provided in lieu of the formal determinations required by paragraph 
(a)(1) of this section;
    (3) A brief description of the procedures set forth in Sec. 57.804 
for requesting a public hearing on the waiver request, including a 
statement that such request must be filed within 30 days of the date of 
the notice;
    (4) A statement that written comments on the tentative determination 
submitted to EPA within 60 days of the date of the notice will be 
considered by EPA in making a final decision on the application; and
    (5) The location of the administrative record and the location at 
which interested persons may obtain further information on the tentative 
determination, including a copy of the index to the record, the 
tentative determination prepared under paragraph (a) of this section, 
and any other nonconfidential record materials.



Sec. 57.804  Request for hearing; request to participate in hearing.

    (a) Request for hearing. Within 30 days of the date of publication 
or receipt of the notice required by Sec. 57.803, any person may request 
the Administrator to hold a hearing on the tentative determination by 
submitting a written request containing the following:
    (1) Identification of the person requesting the hearing and his 
interest in the proceeding;
    (2) A statement of any objections to the tentative determination; 
and
    (3) A statement of the issues which such person proposes to raise 
for consideration at such hearing.
    (b) Grant or denial of hearing; notification. Whenever (1) the 
Administrator has received a written request satisfying the requirements 
of paragraph (a) of this section which presents genuine issues as to the 
effect on the smelter of the requirement for use of constant controls, 
or (2) the Administrator determines in his discretion that a hearing is 
necessary or appropriate the Administrator shall give written notice of 
his determination to each person requesting such hearing and the smelter 
owner, and shall provide public notice of his determination in 
accordance with Sec. 57.803(b). If the Administrator determines that a 
request filed under paragraph (a) of this section does not comply with 
the requirements of paragraph (a) or does not present genuine issues, he 
shall be given written notice of his decision to deny a hearing to the 
person requesting the hearing.
    (c) Form of notice of hearing. Each notice of hearing disseminated 
under

[[Page 104]]

paragraph (b) of this section shall contain:
    (1) A statement of the time and place of the hearing;
    (2) A statement identifying the place at which the official record 
on the application for waiver is located, the hours during which it will 
be open for public inspection, and the documents contained in the record 
as of the date of the notice of hearing;
    (3) The due date for filing a written request to participate in the 
hearing under paragraph (d) of this section;
    (4) The due date for making written submissions under 57.805; and
    (5) The name, address, and office telephone number of the hearing 
Clerk for the hearing.
    (d) Request to participate in hearing. Each person desiring to 
participate in any hearing granted under this section, including any 
person requesting such a hearing, shall file a written request to 
participate with the Hearing Clerk by the deadline set forth in the 
notice of hearing. The request shall include:
    (1) A brief statement of the interest of the person in the 
proceeding;
    (2) A brief outline of the points to be addressed;
    (3) An estimate of the time required; and
    (4) If the request is submitted by an organization, a nonbinding 
list of the persons to take part in the presentation. As soon as 
practicable, but in no event later than two weeks before the scheduled 
date of the hearing, the Hearing Clerk shall make available to the 
public and shall mail to each person who asked to participate in the 
hearing a hearing schedule.
    (e) Effect of denial of or absence of request for hearing. If no 
request for a hearing is made under this section, or if all such 
requests are denied under paragraph (b) of this section, the tentative 
determination issued under Sec. 57.803 shall be treated procedurally as 
if it were a recommended decision issued under Sec. 57.811(b)(2), except 
that for purposes of Secs. 57.812 and 57.813 the term ``hearing 
participant'' shall be construed to mean the smelter owner and any 
person who submitted comments under Sec. 57.803(e)(4).



Sec. 57.805  Submission of written comments on tentative determination.

    (a) Main comments. Each person who has filed a request to particpate 
in the hearing shall file with the Hearing Clerk no later than 30 days 
before the scheduled start of the hearing (or such other date as may be 
set forth in the notice of hearing) any comments which he has on the 
request for waiver and EPA's tentative determination, based on 
information which is or reasonably could have been available to that 
person at the time.
    (b) Reply comments. Not later than two weeks after a full transcript 
of the hearing becomes available (or such other date as may be set forth 
in the notice of hearing), each person who has filed a request to 
participate in the hearing shall file with the Hearing Clerk any 
comments he may have on:
    (1) Written comments submitted by other participants pursuant to 
paragraph (a) of this section;
    (2) Written comments submitted in response to the notice of hearing;
    (3) Material in the hearing record; and
    (4) Material which was not and could not reasonably have been 
available prior to the deadline for submission of main comments under 
paragraph (a) of this section.
    (c) Form of comments. All comments should be submitted in 
quadruplicate and shall include any affidavits, studies, tests or other 
materials relied upon for making any factual statements in the comments.
    (d) Use of comments. (1) Written comments filed under this section 
shall constitute the bulk of the evidence submitted at the hearing. Oral 
statements at the hearing should be brief, and restricted either to 
points that could not have been made in written comments, or to 
emphasizing points which are made in the comments, but which the 
participant believes can be more forcefully urged in the hearing 
context.
    (2) Notwithstanding the foregoing, within two weeks prior to either 
deadline specified by paragraph (a) of this section for the filing of 
main comments, any person who has filed a request to participate in the 
hearing may

[[Page 105]]

file a request with the Presiding Officer to submit all or part of his 
main comments orally at the hearing in lieu of submitting written 
comments. The Presiding Officer shall, within one week, grant such 
request if he finds that such person will be prejudiced if he is 
required to submit such comments in written form.



Sec. 57.806  Presiding Officer.

    (a) Assignment of Presiding Officer. (1) The Administrator shall, as 
soon as practicable after the granting of a request for hearing under 
Sec. 57.803, request that the Chief Administrative Law Judge assign an 
Administrative Law Judge as Presiding Officer. The Chief Administrative 
Law Judge shall thereupon make the assignment.
    (2) If the parties to the hearing waive their right to have the 
Agency or an Administrative Law Judge preside at the hearing, the 
Administrator shall appoint an EPA employee who is an attorney to serve 
as presiding officer.
    (b) Powers and duties of Presiding Officer. It shall be the duty of 
the Presiding Officer to conduct a fair and impartial hearing, assure 
that the facts are fully elicited, and avoid delay. The Presiding 
Officer shall have authority to:
    (1) Chair and conduct administrative hearings held under this 
subpart;
    (2) Administer oaths and affirmations;
    (3) Receive relevant evidence: Provided, that the administrative 
record, as defined in Sec. 57.814, shall be received in evidence;
    (4) Consider and rule upon motions, dispose of procedural requests, 
and issue all necessary orders;
    (5) Hold conferences for the settlement or simplification of the 
issues or the expediting of the proceedings; and
    (6) Do all other acts and take all measures necessary for the 
maintenance of order and for the efficient, fair and impartial conduct 
of proceedings under this subpart.

[50 FR 6448, Feb. 15, 1985, as amended at 57 FR 5328, Feb. 13, 1992]



Sec. 57.807  Hearing.

    (a) Composition of hearing panel. The Presiding Officer shall 
preside at the hearing held under this subpart. An EPA panel shall also 
take part in the hearing. In general, the membership of the panel shall 
consist of EPA employees having special expertise in areas related to 
the issues to be addressed at the hearing, including economists and 
engineers. For this reason, the membership of the panel may change as 
different issues are presented for discussion.
    (b) Additional hearing participants. Either before or during the 
hearing, the Presiding Officer, after consultation with the panel, may 
request that a person not then scheduled to participate in the hearing 
(including an EPA employee or a person identified by any scheduled 
hearing participant as having knowledge concerning the issues raised for 
discussion at the hearing) make a presentation or make himself available 
for cross-examination at the hearing.
    (c) Questioning of hearing participants. The panel members may 
question any person participating in the hearing. Cross-examination by 
persons other than panel members shall not be permitted at this stage of 
the proceeding except where the Presiding Officer determines, after 
consultation with the panel, that circumstances compel such cross-
examination. However, persons in the hearing audience, including other 
hearing participants, may submit written questions to the Presiding 
Officer for the Presiding Officer to ask the participants, and the 
Presiding Officer may, after consultation with the panel, and in his 
sole discretion, ask these questions.
    (d) Submission of additional material. Participants in the hearing 
shall submit for the hearing record such additional material as the 
hearing panel may request within 10 days following the close of the 
hearing, or such other period of time as is ordered by the Presiding 
Officer. Participants may also submit additional information for the 
hearing record on their own accord within 10 days after the close of the 
hearing.
    (e) Transcript. A verbatim transcript shall be made of the hearing.

[[Page 106]]



Sec. 57.808  Opportunity for Cross-examination.

    (a) Request for cross-examination. After the close of the panel 
hearing conducted under this part, any participant in that hearing may 
submit a written request for cross-examination. The request shall be 
received by EPA within one week after a full transcript of the hearing 
becomes available and shall specify:
    (1) The disputed issue(s) of material fact as to which cross-
examination is requested. This shall include an explanation of why the 
questions at issue are factual, rather than of an analytical or policy 
nature; the extent to which they are in dispute in the light of the 
record made thus far, and the extent to which and why they can 
reasonably be considered material to the decision on the application for 
a waiver; and
    (2) The person(s) the participant desires to cross-examine, and an 
estimate of the time necessary. This shall include a statement as to why 
the cross-examination requested can be expected to result in full and 
true disclosure resolving the issue of material fact involved.
    (b) Order granting or denying request for cross-examination. As 
expeditiously as practicable after receipt of all requests for cross-
examination under paragraph (a) of this section, the Presiding Officer, 
after consultation with the hearing panel, shall issue an order either 
granting or denying each such request, which shall be disseminated to 
all persons requesting cross-examination and all persons to be cross-
examined. If any request for cross-examination is granted, the order 
shall specify:
    (1) The issues as to which cross-examination is granted;
    (2) The persons to be cross-examined on each issue;
    (3) The persons allowed to conduct cross-examination;
    (4) Time limits for the examination of witnesses; and
    (5) The date, time and place of the supplementary hearing at which 
cross-examination shall take place. In issuing this ruling, the 
Presiding Officer may determine that one or more participants have the 
same or similar interests and that to prevent unduly repetitious cross-
examination, they should be required to choose a single representative 
for purposes of cross-examination. In such a case, the order shall 
simply assign time for cross-examination by that single representative 
without identifying the representative further.
    (c) Supplementary hearing. The Presiding Officer and at least one 
member of the original hearing panel shall preside at the supplementary 
hearing. During the course of the hearing, the Presiding Officer shall 
have authority to modify any order issued under paragraph (b) of this 
section. A verbatim transcript shall be made of this hearing.
    (d) Alternatives to cross-examination. (1) No later than the time 
set for requesting cross-examination, a hearing participant may request 
that alternative methods of clarifying the record (such as the submittal 
of additional written information) be used in lieu of or in addition to 
cross-examination. The Presiding Officer shall issue an order granting 
or denying such request at the time he issues (or would have issued) an 
order under paragraph (b) of this section. If the request is granted, 
the order shall specify the alternative provided and any other relevant 
information (e.g., the due date for submitting written information).
    (2) In passing on any request for cross-examination submitted under 
paragraph (a) of this section, the Presiding Officer may, as a 
precondition to ruling on the merits of such request, require that 
alternative means of clarifying the record be used whether or not a 
request to do so has been made under the preceding paragraph. The person 
requesting cross-examination shall have one week to comment on the 
results of utilizing such alternative means, following which the 
Presiding Officer, as soon as practicable, shall issue an order granting 
or denying such person's request for cross-examination.



Sec. 57.809  Ex parte communications.

    (a) General. (1) No interested person outside the Agency or member 
of the Agency trial staff shall make or knowingly cause to be made to 
any member of the decisional body an ex parte communication relevant to 
the merits of the proceedings.

[[Page 107]]

    (2) No member of the decisional body shall make or knowingly cause 
to be made to any interested person outside the Agency or member of the 
Agency trial staff an ex parte communication relevant to the merits of 
the proceedings.
    (b) Effect of receipt of ex parte communication. (1) A member of the 
decisional body who receives or who makes or knowingly causes to be made 
a communication prohibited by this subsection shall place in the record 
all written communications or memoranda stating the substance of all 
oral communications together with all written responses and memoranda 
stating the substance of all responses.
    (2) Upon receipt by any member of the decisionmaking body of an ex 
parte communication knowingly made or knowingly caused to be made by a 
party or representative of a party in violation of this section, the 
person presiding at the stage of the hearing then in progress may, to 
the extent consistent with justice and the policy of the Clean Air Act, 
require the party to show cause why its claim or interest in the 
proceedings should not be dismissed, denied, disregarded, or otherwise 
adversely affected on account of such violation.
    (c) Definitions. For purposes of this section, the following 
definitions shall apply:
    (1) Agency trial staff means those Agency employees, whether 
temporary or permanent, who have been designated by the Agency as 
available to investigate, litigate, and present the evidence arguments 
and position of the Agency in the evidentiary hearing or non-adversary 
panel hearing. Appearance as a witness does not necessarily require a 
person to be designated as a member of the Agency trial staff;
    (2) Decisional body means any Agency employee who is or may be 
reasonably expected to be involved in the decisional process of the 
proceeding including the Administrator, Presiding Officer, the Regional 
Administrator (if he does not designate himself as a member of the 
Agency trial staff), and any of their staff participating in the 
decisional process. In the case of a non-adversary panel hearing, the 
decisional body shall also include the panel members whether or not 
permanently employed by the Agency;
    (3) Ex parte communication means any communication, written or oral, 
relating to the merits of the proceeding between the decisional body and 
an interested person outside the Agency or the Agency trial staff which 
was not originally filed or stated in the administrative record or in 
the hearing. Ex parte communications do not include:
    (i) Communications between Agency employees other than between the 
Agency trial staff and the member of the decisional body;
    (ii) Discussions between the decisional body and either:
    (A) Interested persons outside the Agency, or;
    (B) The Agency trial staff if all parties have received prior 
written notice of such proposed communications and have been given the 
opportunity to be present and participate therein.
    (4) Interested person outside the Agency includes the smelter owner, 
any person who filed written comments in the proceeding, any person who 
requested the hearing, any person who requested to participate or 
intervene in the hearing, any participant or party in the hearing and 
any other interested person not employed by the Agency at the time of 
the communications, and the attorney of record for such persons.

[50 FR 6448, Feb. 15, 1985, as amended at 57 FR 5328, Feb. 13, 1992]



Sec. 57.810  Filing of briefs, proposed findings, and proposed recommendations.

    Unless otherwise ordered by the Presiding Officer, each hearing 
participant may, within 20 days after reply comments are submitted under 
Sec. 57.805(b), or if a supplementary hearing for the purpose of cross-
examination has been held under Sec. 57.808(c), within 20 days after the 
transcript of such supplemental hearing becomes available or if 
alternative methods of clarifying the record have been used under 
Sec. 57.808(d), within 20 days after the alternative methods have been 
employed, file with the Hearing Clerk and serve upon all other hearing 
participants proposed findings and proposed recommendations to replace 
in whole or in part the

[[Page 108]]

findings and recommendations contained in the tentative determination. 
Any such person may also file, at the same time, a brief in support of 
his proposals, together with references to relevant pages of transcript 
and to relevant exhibits. Within 10 days thereafter each participant may 
file a reply brief concerning alternative proposals. Oral argument may 
be held at the discretion of the Presiding Officer on motion of any 
hearing participant or sua sponte.



Sec. 57.811  Recommended decision.

    As soon as practicable after the conclusion of the hearing, one or 
more responsible employees of the Agency shall evaluate the record for 
preparation of a recommended decision and shall prepare and file a 
recommended decision with the Hearing Clerk. The employee(s) preparing 
the decision will generally be members of the hearing panel and may 
include the Presiding Officer. Such employee(s) may consult with and 
receive assistance from any member of the hearing panel in drafting a 
recommended decision and may also delegate the preparation of the 
recommended decision to the panel or to any member or members of it. 
This decision shall contain the same elements as the tentative 
determination. After the recommended decision has been filed, the 
Hearing Clerk shall serve a copy of such decision on each hearing 
participant and upon the Administrator.



Sec. 57.812  Appeal from or review of recommended decision.

    (a) Exceptions. (1) Within 20 days after service of the recommended 
decision, any hearing participant may take exception to any matter set 
forth in such decision or to any adverse order or ruling of the 
Presiding Officer prior to or during the hearing to which such 
participant objected, and may appeal such exceptions to the 
Administrator by filing them in writing with the Hearing Clerk. Such 
exceptions shall contain alternative findings and recommendations, 
together with references to the relevant pages of the record and 
recommended decision. A copy of each document taking exception to the 
recommended decision shall be served upon every other hearing 
participant. Within the same period of time each party filing exceptions 
shall file with the Administrator and shall serve upon all hearing 
participants a brief concerning each of the exceptions being appealed. 
Each brief shall include page references to the relevant portions of the 
record and to the recommended decision.
    (2) Within 10 days of the service of exceptions and briefs under 
paragraph (a)(1) of this section, any hearing participant may file and 
serve a reply brief responding to exceptions or arguments raised by any 
other hearing participant together with references to the relevant 
portions of the record, recommended decision, or opposing brief. Reply 
briefs shall not, however, raise additional exceptions.
    (b) Sua sponte review by the Administrator. Whenever the 
Administrator determines sua sponte to review a recommended decision, 
notice of such intention shall be served upon the parties by the Hearing 
Clerk within 30 days after the date of service of the recommended 
decision. Such notice shall include a statement of issues to be briefed 
by the hearing participants and a time schedule for the service and 
filing of briefs.
    (c) Scope of appeal or review. The appeal of the recommended 
decision shall be limited to the issues raised by the appellant, except 
when the Administrator determines that additional issues should be 
briefed or argued. If the Administrator determines that briefing or 
argument of additional issues is warranted, all hearing participants 
shall be given reasonable written notice of such determination to permit 
preparation of adequate argument.
    (d) Argument before the Administrator. The Administrator may, upon 
request by a party or sua sponte, set a matter for oral argument. The 
time and place for such oral argument shall be assigned after giving 
consideration to the convenience of the parties.



Sec. 57.813  Final decision.

    (a) After review. As soon as practicable after all appeal or other 
review proceedings have been completed, the

[[Page 109]]

Administrator shall issue his final decision. Such a final decision 
shall include the same elements as the recommended decision, as well as 
any additional reasons supporting his decisions on exceptions filed by 
hearing participants. The final decision may accept or reject all or 
part of the recommended decision. The Administrator may consult with the 
Presiding Officer, members of the hearing panel or any other EPA 
employee in preparing his final decision. The Hearing Clerk shall file a 
copy of the decision on all hearing participants.
    (b) In the absence of review. If no party appeals a recommended 
decision to the Administrator and if the Administrator does not review 
it sua sponte, he shall be deemed to have adopted the recommended 
decision as the final decision of the Agency upon the expiration of the 
time for filing any exceptions under Sec. 57.812(a).
    (c) Timing of judicial review. For purposes of judicial review, 
final Agency action on a request for a waiver of the interim requirement 
that each NSO provide for the use of constant controls shall not occur 
until EPA approves or disapproves the issuance of an NSO to the source 
requesting such a waiver.



Sec. 57.814  Administrative record.

    (a) Establishment of record. (1) Upon receipt of request for a 
waiver, an administrative record for that request shall be established, 
and a Record and Hearing Clerk appointed to supervise the filing of 
documents in the record and to carry out all other duties assigned to 
him under this subpart.
    (2) All material required to be included in the record shall be 
added to the record as soon as feasible after its receipt by EPA. All 
material in the record shall be appropriately indexed. The Hearing Clerk 
shall make appropriate arrangements to allow members of the public to 
copy all nonconfidential record materials during normal EPA business 
hours.
    (3) Confidential record material shall be indexed under paragraph 
(a)(2). Confidential record material shall, however, be physically 
maintained in a separate location from public record material.
    (4) Confidential record material shall consist of the following:
    (i) Any material submitted pursuant to Sec. 57.802 for which a 
proper claim of confidentiality has been made under section 114(c) of 
the Act and 40 CFR part 2; and
    (ii) The Staff Computational Anaylsis prepared under Sec. 57.803
    (b) Record for issuing tentative determination. The administrative 
record for issuing the tentative determination required by Sec. 57.803 
shall consist of the material submitted under Sec. 57.802 and any 
additional materials supporting the tentative determination.
    (c) Record for acting on requests for cross-examination. The 
administrative record for acting on requests for cross-examination under 
Sec. 57.808 shall consist of the record for issuing the tentative 
determination, all comments timely submitted under Secs. 57.803(e)(4) 
and 57.805, the transcript of the hearing, and any additional material 
timely submitted under Sec. 57.807(d).
    (d) Record for preparation of recommended decision. The 
administrative record for preparation of the recommended decision 
required by Sec. 57.811 shall consist of the record for acting on 
request for cross-examination, the transcript of any supplementary 
hearing held under Sec. 57.808(c), any materials timely submitted in 
lieu of or in addition to cross-examination under Sec. 57.808(d), and 
all briefs, proposed findings of fact and proposed recommendations 
timely submitted under Sec. 57.810.
    (e) Record for issuance of final decision. (1) Where no hearing has 
been held, the administrative record for issuance of the Administrator's 
final decision shall consist of the record for issuing the tentative 
determination, any comments timely submitted under Sec. 57.803(e)(4), 
any briefs or reply briefs timely submitted under Sec. 57.812 (a) 
through (c), and the transcript of any oral argument granted under 
Sec. 57.812(d).
    (2) Where a hearing has been held, the administrative record for 
issuance of the Administrator's final decision shall consist of the 
record of preparation of the recommended decision, any briefs or reply 
briefs submitted under Sec. 57.812 (a) through (c), and the transcript 
of any oral argument granted under Sec. 57.812(d).

[[Page 110]]



Sec. 57.815  State notification.

    The Administrator shall give notice of the final decision in writing 
to the air pollution control agency of the State in which the smelter is 
located.



Sec. 57.816  Effect of negative recommendation.

    No waiver of the interim requirement for the use of constant 
controls shall be granted by the Administrator or a State unless the 
Administrator or a State first takes into account the Administrator's 
report, findings, and recommendations as to whether the use of constant 
controls would be so costly as to necessitate permanent or prolonged 
temporary cessations of operation of the smelter.

     Appendix A to Part 57--Primary Nonferrous Smelter Order (NSO) 
                               Application

                              Instructions

1. General Instructions
1.1  Purpose of the Application
1.2  NSO Financial Tests
1.3  Confidentiality
2. NSO Financial Reporting Overview
2.1  Revenue and Cost Assignment
2.2  Transfer Prices on Affiliated Party Transactions
2.3  Forecasting Requirements
2.4  EPA Furnished Forecast Data
2.5  Applicant Generated Forecasts
2.6  Weighted Average Cost of Capital for Nonferrous Metal Producers
2.7  Horizon Value
2.8  Data Entry
2.9  Use of Schedules
2.10  Use of Exhibits

                 Detailed Instructions for Each Schedule

A.1  Historical Revenue Data
A.2  Historical Cost Data
A.3  Historical Profit and Loss Summary
A.4  Historical Capital Investment Summary
B.1  Pre-Control Revenue Forecast
B.2  Pre-Control Cost Forecast
B.3  Pre-Control Forecast Profit and Loss Summary
B.4  Constant Controls Revenue Forecast
B.5  Constant Controls Cost Forecast
B.6  Constant Controls Forecast Profit and Loss Summary for the Profit 
          Protection Test
B.7  Profit Protection Test
C.1  Constant Controls Forecast Profit and Loss Summary for the Rate of 
          Return Test
C.2  Constant Controls Sustaining Capital Investment Forecast
C.3  Historical Capital Investment in Constant Dollars
C.4  Rate of Return Test
C.5  Horizon Value of Cash Flows for the Rate of Return Test
D.1  Interim Controls Revenue Forecast
D.2  Interim Controls Cost Forecast
D.3  Interim Controls Forecast Profit and Loss Summary
D.4  Interim Controls Sustaining Capital Investment Forecast
D.5  Cash Proceeds from Liquidation
D.6  Permanent Waiver from Interim Controls Test
D.7  Horizon Value of Cash Flows for the Interim Controls Test

1. General Instructions

    1.1  Purpose of the application. This application provides financial 
reporting schedules and the accompanying instructions for EPA's 
determination of eligibility for a nonferrous smelter order (NSO), and 
for a waiver of the interim constant controls requirement of an NSO. 
Although the determination of eligiblity for an NSO is prequisite for 
the determination of a waiver, Appendix A, as a matter of convenience to 
applicants, includes both the NSO and waiver tests and reporting 
schedules.
    In order to support an NSO eligibility determination, the applicant 
must submit operating and financial data as specified by the schedules 
included in this application. Specific instructions for completing each 
schedule are provided in subsequent sections of the instructions. In 
general, applicants must provide:
    (a) Annual income statements, balance sheets and supporting data 
covering the five most recent fiscal years for the smelter for which the 
NSO requested.
    (b) Forecasts of operating revenues, operating costs, net income 
from operations and capital investments for the firm's smelter 
operations subject to this application, on the basis of anticipated 
smelter operations without any sulfur dioxide air pollution control 
facilities that have not been installed as of the NSO application date.
    (c) Forecasts of operating revenues, operating costs, net income 
from operations and capital investments for the firm's smelter 
operations subject to this application, on the basis of anticipated 
smelter operations with expected additional sulfur dioxide control 
facilities required to comply with the smelter's SIP emission 
limitation.
    (d) For smelters applying for a waiver of interim constant controls, 
forecasts of operating revenues, operating costs, and capital 
investments for the firm's smelter operations prepared on the basis of 
two alternative assumptions: (1) Installation of additional pollution 
control facilities required to

[[Page 111]]

comply with interim constant control requirements, no installation of 
any additional SO2 controls that the smelter would otherwise be 
required to install but for the issuance of an NSO, and closure of the 
smelter after January 1, 1988; and (2) installation of additional 
pollution control facilities required to comply with interim constant 
control requirements, installation of any additional SO2 controls 
required to comply with the smelter's SIP emission limitation by January 
2, 1988, and continued operation of the smelter after January 1, 1988.
    1.2  NSO financial tests. EPA will use separate tests to determine 
eligibility for an NSO and to evaluate applications for a waiver of the 
interim constant control requirement. The two tests for NSO eligibility 
employ a present value approach for determining the reasonable 
availability of constant control technology that will enable an 
applicant to achieve full compliance with its SIP sulfur dioxide 
emission limitation. The tests for the waiver of the interim constant 
control requirements employ variable costing and discounted cash flow 
standards for evaluating an applicant's economic capability to implement 
those requirements.
    1.2.1  NSO Eligibility Tests. Each applicant must establish that the 
system of production and/or constant control technology that will enable 
the smelter to achieve full compliance with its SIP SO2 emission 
limitation standard is not reasonably available. An applicant will 
determine financial eligibility for an NSO by passing at least one of 
the following two tests.
    (a) Profit Protection Test. The smelter will experience a reduction 
in pre-tax profits of 50 percent or more after undertaking the required 
installation of constant controls.
    (b) Rate of Return Test. The smelter will earn a rate of return on 
historical net investment, expressed in constant dollars, below the 
industry average cost of capital after undertaking the required 
installation of constant controls.
    1.2.2  Temporary Waiver from Interim Controls. Applicants that do 
not have an existing constant control system or whose constant controls 
are not sufficient when in operation and optimally maintained to treat 
all strong streams in accordance with subpart C, may apply for a waiver 
of the requirements of subpart C with respect to any interim constant 
controls not already installed. Applicants will be eligible for a 
temporary waiver of the requirement for interim constant controls not 
already installed, if they can establish pursuant to the procedures in 
this application that the imposition of such control requirements would 
economically necessitate closure of the smelter facility for a period of 
one year or longer. The economic justification for a non-permanent 
closure under this temporary waiver test is defined as a situation in 
which the smelter's projected operating revenues for one or more years 
during which the NSO is in effect are inadequate to cover variable 
operating costs anticipated after installing the required interim 
control technology. Temporary waivers will be granted for only the 
period of time over which applicants can establish an inability by the 
firm to cover its variable operating costs. Interim control waiver 
requests based on the smelter's projected inability to earn adequate 
income after installation of interim pollution control equipment will be 
subject to the permanent waiver test.
    1.2.3  Permanent Waiver from Interim Controls. Applicants that do 
not have an existing constant control system or whose constant controls 
are not sufficient when in operation and optimally maintained to treat 
all strong streams in accordance with subpart C, may apply for a waiver 
of the requirements of subpart C with respect to any interim constant 
controls not already installed. Applicants will be eligible for a 
permanent waiver of the requirement for interim constant controls not 
already installed, if they can establish pursuant to the procedures in 
this application that an imposition of such control requirements would 
necessitate permanent closure of the smelter. Economic justification for 
a permanent closure is defined as a situation in which the present value 
of future cash flows anticipated from the smelter after installing the 
required interim control technology is less than the smelter's current 
salvage value under an orderly plan of liquidation. Future cash flows 
are determined under two alternative assumptions. The higher present 
value of cash flows computed under these assumptions is then compared to 
salvage value.
    1.2.4  EPA Contact for NSO Inquiries. Inquiries concerning this 
portion of the requirements for NSO application should be addressed to 
Laxmi M. Kesari, Environmental Protection Agency, EN 341, 401 M Street 
SW., Washington, DC 20460.
    1.2.5  Certification. The NSO Certification Statement must be signed 
by an authorized officer of the applicant firm.
    1.3  Confidentiality. Applicants may request that information 
contained in this application be treated as confidential. Agency 
regulations concerning claims of confidentiality of business information 
are contained in 40 CFR part 2, subpart B (41 FR 36902 et seq., 
September 1, 1976, as amended by 43 FR 39997 et seq., September 8, 
1978). The regulations provide that a business may, if it desires, 
assert a business confidentiality claim covering part or all of the 
information furnished to EPA. The claim must be made at the same time 
the applicable information is submitted. The manner of asserting such

[[Page 112]]

claims is specified in 40 CFR 2.203(b). Information covered by such a 
claim will be handled by the Agency in accordance with procedures set 
forth in the subpart B regulations. EPA will not disclose information on 
a business that has made a claim of confidentiality, except to the 
extent of and in accordance with 40 CFR part 2, subpart B. However, if 
no claim of confidentiality is made when information is furnished to 
EPA, the information may be made available to the public without notice 
to the business.

2. NSO Financial Reporting Overview

    2.1  Revenue and Cost Assignment. The amounts assigned to operations 
of the smelter subject to this NSO application should include (1) 
revenues and costs directly attributable to the smelter's operating 
activities and (2) indirect operating costs shared with other segments 
of the firm to the extent that a specific causal and beneficial 
relationship can be identified for the allocation of such costs to the 
smelter. Do not allocate revenues and costs associated with central 
administrative activities for which specifc causal and beneficial 
relationships to the activities of the smelter cannot be established. 
Nonallocable items include, but are not restricted to, amounts such as 
dividend and interest income on centrally administered portfolio 
investments, central corporate administrative office expenses and, 
except for schedules supporting the Profit Protection Test, interest on 
long-term debt financing arrangements. Provide a detailed explanation of 
amounts classified as nontraceable on a separate schedule and attach as 
part of Exhibit B.
    2.2  Transfer Prices on Affiliated Part Transactions. Certain 
transactions by the smelter subject to an NSO application may reflect 
sales to or purchases from ``affiliated'' customers or suppliers with 
whom the smelter has a common bond of ownership and/or managerial 
control. In preparing this application, affiliated party transactions 
shall be defined as transactions with any entity that the firm, or its 
owners, controls directly or indirectly either through an ownership of 
10 percent or more of the entity's voting interests or through an 
exercise of managerial responsibility. Applicants must attach as part of 
Exhibit B supporting schedules explaining the pricing policies 
established on affiliated party transactions incorporated in the 
financial reporting schedules.
    Prices on inter-segment material and product transfers within a 
firm, or on external purchases from and sales to other affiliated 
suppliers and customers, may differ from the prices on comparable 
transactions with unaffiliated suppliers and customers. In this event, 
applicants also must present in the Exhibit B supporting schedules and 
incorporate in the NSO financial reporting schedules appropriate 
adjustments for restating affiliated party transactions. Affiliated 
party transactions must be restated at either (a) equivalent prices on 
comparable transactions with unaffiliated parties if such price 
quotations can be obtained or (b) prices that provide the selling entity 
with a normal profit margin above its cost of sales if a meaningful 
comparison with unaffiliated transaction prices cannot be established.
    A ``normal'' profit margin is defined as the gross operating profit 
per dollar of operating revenue that will provide an average after-tax 
rate of return on permanent capital (total assets less current 
liabilities). This average rate of return is defined differently for the 
historical and forecast periods. The applicant must use a rate of return 
of 8.0 percent for the historical period. This figure is based on a 
historoical average earned rate of return for the nonferrous metals 
industry.1 EPA may update this figure periodically. The updates 
will be available in the rulemaking docket or from the INFORMATION 
CONTACT noted in the Federal Register. For the forecast period, the 
applicant must use a rate of return equal to the current weighted 
average cost of capital for the nonferrous metals industry, as computed 
in Section 2.6.
---------------------------------------------------------------------------

    \1\ The derivation of this figure is explained in two memoranda to 
EPA (Item Nos. II-A-1 and IV-A-6a in EPA Docket No. A-82-35).
---------------------------------------------------------------------------

    Forecast smelting charges for integrated smelters can be computed 
from forecast market smelting charges. Integrated copper smelters may 
use as the basis of their forecast revenues the forecast copper smelting 
charges provided by EPA, adjusted as described in Section 2.4.1. An 
applicant may submit other forecasts, providing the forecast methodology 
is in accordance with the guidelines in Section 2.5 and fully documented 
as part of Exhibit B.
    2.3  Forecasting Requirements. NSO applicants must provide the 
Agency with financial forecasts in Schedules B.1 through B.6 and C.1 
through C.2. Applicants requesting either a temporary or permanent 
waiver from interim constant control requirements also must provide an 
additional set of financial forecasts in Schedules D.1 through D.4.
    2.3.1  Forecast Period. The forecast period must include at least 
two full years following completion and startup of the required 
pollution control system. The forecast period shall be from 1984 through 
1990 for an NSO application filed in 1984. If an application is filed in 
a later year, the 1984 through 1990 period should be adjusted 
accordingly. All references in this Appendix to the period 1984 through 
1990 should be interpreted accordingly.
    2.3.2  Forecast Adjustment by Control Case. Some line items that 
have the same

[[Page 113]]

title in several schedules may contain different information because 
they are based on different assumptions regarding pollution controls. 
Production interruptions or curtailments due to the installation of 
pollution control facilities may require adjustmens to certain revenue 
and cost estimates in the repective control cases. For example, 
production curtailments associated with supplementary control systems 
may be the basis for the pre-control case, yet are eliminated when 
constant controls replace supplementary control systems in the constant 
controls case. The application of pollution control techniques that 
involve process changes in the smelter's operations (e.g., conversion to 
flash smelting) also may require specific forecasts by applications of 
associated impacts on incremental operating revenues and costs.
    2.3.3  Nominal Dollar Basis. Applicants must make their financial 
forecasts in terms of nominal dollars. Forecasts of selected parameters 
provided by EPA will furnish quidelines to an applicant in preparing the 
required cost and revenue estimates. In particular, copper smelting 
charges provided in nominal-dollar terms must be used dierctly by the 
applicant as given; i.e., the stipulated charge estimates should not be 
inflated.
    2.3.4  Tolling Service Equivalent Basis. Applicants must express all 
revenue forecasts on a tolling service equivalent basis. Thus, forecast 
revenues are computed as the product of the forecast quantity of 
processed concentrate, the forecast average product grade of the 
concentrate (the percent of metal in the concentrate), and the forecast 
smelting charge. Smelters that are not tolling smelters and that do not 
use the copper smelting charges provided by EPA (as described in Section 
2.4.1) can forecast a smelting charge from forecast product grade of the 
concentrate, percent recovery, and product and concentrate prices. The 
forecast prices and derivation of the smelting charge must be in 
accordance with the guidelines in Section 2.5, and the methodology must 
be fully documented in Exhibit B.
    2.4  EPA Furnished Forecast Data. In making projection for the 
period 1984 through 1990, applicants must, except as noted below, use 
the indices provided by EPA. The table below presents yearly values for 
each index (expressed as annual percentage rates of change) to be used 
by smelters applying for an NSO before January 1, 1985. If forecasts are 
needed for 1991 and EPA has not provided new forecasts, applicants 
should use the Data Resources, Inc. forecasts for 1991 (Docket Item No. 
IV-A-6c) and the average of CRU's forecasts for 1989 and 1990 (expressed 
in 1991 dollars).

----------------------------------------------------------------------------------------------------------------
                                                           1984    1985    1986    1987    1988    1989    1990 
----------------------------------------------------------------------------------------------------------------
Copper smelting charge \1\ (cents per pound)............    14.5    14.6    16.0    15.3    15.3    15.5    15.4
            Annual Percentage Rates of Change                                                                   
                                                                                                                
Wages...................................................     5.0     5.7     5.8     6.1     6.4     6.7     7.0
Energy prices:                                                                                                  
    Electricity.........................................     7.0     8.8     8.1     8.3     7.1     4.9     5.5
    Natural gas.........................................     3.6     5.7     9.3     8.7     9.2     8.0     8.4
    Coal................................................     5.1     7.0     8.9     9.0     9.7     9.7     9.7
    Fuel oil............................................     1.6     4.2     7.7     6.8     9.8     9.5     9.9
GNP price deflator......................................     4.8     5.0     5.0     5.2     5.8     5.8     5.9
----------------------------------------------------------------------------------------------------------------
\1\ Reference charge for calculating smelter-specific copper smelting charges as described in Section 2.4.1.    
                                                                                                                

    2.4.1  Copper smelting charge. EPA will supply a forecast of 
reference copper smelting charges. These charges, which are f.o.b. U.S. 
mine, are based on an estimate of export smelting charges and on the 
differential value of copper in the U.S. and the world market. They must 
be used in forecasting unaffiliated party revenues for the period 
following the expiration of existing contracts and in forecasting 
affiliated party revenues for the entire forecast period. The applicant 
may submit its own smelting charge forecast for the post-contract 
period, provided that such forecast is in accordance with the guidelines 
in Section 2.5 and fully documented and substantiated as part of Exhibit 
B.
    The EPA forecast export charge represents the world market copper 
smelting charge with copper valued at the London Metal Exchange (LME) 
copper price. This charge serves as the reference charge for the 
applicant copper smelter in calculating its smelting charges. Applicant 
copper smelters must derive their smelting charges from this world 
market charge as described in paragraph (a) below.
    The applicant may adjust the derived smelter-specific smelting 
charge to account for other factors, provided the adjustments are fully 
documented as part of Exhibit B. An example of such a factor is the unit 
deduction for metallurgical losses in smelting. Adjustment for this 
factor is discussed in paragraph (b) below.
    (a) The derivation of a smelter-specific smelting charge from the 
world market charge is based on assumptions regarding

[[Page 114]]

transportation costs and the U.S. producer-world copper price 
differential. The EPA forecast export charge is the forecast smelting 
charge available at a Japanese smelter, with copper valued at the London 
Metal Exchange copper price. The charge includes no freight costs, which 
must be paid by the mine. A U.S. smelter determines its smelting charge 
to a mine by meeting the combined world market smelting charge, adjusted 
to reflect copper valued at the U.S. producer price, and the 
transportation charge from the mine to the Japanese smelter. This 
combined price is the highest that a mine is willing to pay for 
smelting.
    The smelter's net smelting charge is equal to the combined world 
smelting charge, adjusted to the U.S. producer price for copper (i.e., 
the export forecast charge plus the U.S. producer price premium), and 
the transportation cost between the mine and a Far East smelter, minus 
the cost of transporting the concentrate between the mine and the 
applicant smelter.
    The applicant smelter's net smelting charge for concentrate from an 
individual mine is computed by first adding the U.S. producer Price-LME 
world price differential to the EPA-supplied forecast. The cost of 
transporting copper from the U.S. mine to the Far East is then added to 
this figure. The net smelting charge is obtained by subtracting from 
this total the cost of transporting copper from the mine to the 
applicant smelter. In making these calculations, an applicant must 
supply (and fully document in Exhibit B), the freight cost between the 
mine and the Far East and between the mine and the smelter. This freight 
cost must be converted to nominal dollars of the respective forecast 
years by applying the GNP percentage price change forecasts supplied by 
EPA or smelter-provided forecasts of transportation price changes. The 
smelter-provided forecasts of transportation price changes must comply 
with guidelines regarding such forecasts in Section 2.5.
    An applicant must use a 3 cent per pound U.S. producer price premium 
(relative to the LME price) in calculating the smelter's net smelting 
charge. The applicant may substitute its own forecasts of the U.S. 
producer price premium if it can substantiate such forecasts in 
accordance with the guidelines in Section 2.5 regarding applicant-
provided smelting charge forecasts of principal products. All supporting 
documentation for such applicant-supplied forecasts must be supplied in 
Exhibit B. Any updates of the producer price premium will be available 
in the rulemaking docket or from the INFORMATION CONTACT noted in the 
Federal Register. 
    The following two representative examples illustrate this 
methodology for making the transportation and U. S. producer price 
premium adjustment.
    (1) The applicant smelter, located in Arizona, obtains concentrate 
from an adjacent mine. The freight charge from mine to smelter is zero. 
The mine is willing to pay the applicant smelter an amount no higher 
than the sum of the world market smelting charge (adjusted for the 
copper value differential) and the transportation cost of shipping 
copper from the mine to the Far East. This combined cost is the net 
charge received by the applicant smelter. If the export smelting charge 
is 12 cents per pound and the freight cost between the mine and the Far 
East is 13 cents per pound, the applicant smelter would calculate a net 
smelting charge equal to 28 cents: 12 cents plus 3 cents (for the U.S. 
producer price premium) plus 13 cents (for the freight cost between the 
mine and the Far East).
    (2) The applicant smelter obtains concentrate from a nonadjacent 
mine. The mine will pay a charge no higher than the total market 
smelting charge, valued at the U.S. producer price, and the 
transportation costs between the mine and a Far East smelter. The 
applicant's net smelting charge is equal to this combined cost minus the 
transportation costs for shipping the concentrate between mine and 
applicant smelter.
    Suppose that the mine to Far East freight charge is 13 cents per 
pound and the mine to applicant smelter freight charge is 4 cents per 
pound. If the export smelting charge is 12 cents per pound, the net 
smelting charge is equal to 24 cents per pound: 12 cents plus 3 cents 
(for the U.S. producer price premium) plus 13 cents (for the freight 
cost to the Far East) minus 4 cents (for the freight cost to the 
applicant smelter).
    (b) The EPA forecast charges are based on a one unit deduction for 
metallurgical losses. This means that if a concentrate grades 25 percent 
copper, the mine is only credited with 24 percent for metal return. The 
one unit deduction on 25 percent concentrate is equivalent to a 96 
percent payment for contained copper. Should a smelter recover less than 
96 percent, its revenue would be less than the EPA forecast smelting 
charge. Should a smelter recover more than 96 percent, its revenue would 
be greater than the EPA forecast smelting charge.
    2.4.2  Indices (Annual Percentage Changes). These indices, which are 
expressed as annual percentage rate changes in price (wages, energy 
prices, and GNP price deflator) must be used only for estimating the 
rate of price increases for the forecast period following the expiration 
of the applicant's current contracts. The applicant may use alternative 
forecasts of annual percentage changes for the forecast period following 
the expiration of current contracts, if justification is provided. Any 
such alternative forecasts must be prepared by a widely-recognized 
forecasting authority with expertise comparable to that of the 
forecaster relied

[[Page 115]]

upon by EPA. In addition, the documentation of these forecasts must be 
comparable to that provided by EPA's forecaster.
    The wage indices are to be applied to wage paid to manufacturing 
labor. The energy price indices are to be applied to prices of the 
respective energy products. The GNP price deflators are to be applied to 
prices for non-metal, non-labor, and non-energy inputs.
    2.5  Applicant Generated Forecasts. Within the specified 
limitations, applicants may submit a method of forecasting smelting 
charges and by-product, co-product and other prices. The method selected 
must be explained and unit prices or costs provided where applicable. 
The forecast elements must be compatible with an applicant's historical 
cost and revenue elements to permit direct comparisons of historical and 
forecast data. Applicants must attach as part of Exhibit B appropriate 
schedules explaining variances between forecast and historical unit 
costs for the smelter.
    Forecasts of the smelting charges of the smelter's principal product 
(i.e., copper, lead, zinc, etc.) may be prepared either by an 
independent forecasting authority or by the smelter's in-house 
personnel. If the forecasts are prepared by an independent forecasting 
authority, the following conditions must be satisfied: (1) The 
forecasting authority must have expertise comparable to that of the 
forecaster relied upon by EPA. (2) As much documentation of the 
forecasting methodology as can reasonably be obtained must be made 
available to EPA. Such documentation must, at a minimum, be comparable 
to the documentation supporting EPA smelting charge forecasts.\2\
---------------------------------------------------------------------------

    \2\ Documentation of the EPA forecasts is provided as part of Item 
NO. IV-A-2 in EPA Docket No. A-82-35.
---------------------------------------------------------------------------

    If the smelting charge forecasts are prepared by in-house personnel, 
the following conditions must be met: (1) The in-house forecasts must be 
certified as being based on sound methodology by an independent 
forecasting authority with expertise comparable to that of the 
forecaster who prepared the EPA-supplied smelting charges. The 
independent forecasting authority shall also provide a brief explanation 
of the basis for the conclusion reached in the certification. (2) The 
smelter owner shall provide EPA with the documentation of the 
forecasting methodology employed, which must at a minimum be comparable 
to the extent of documentation supporting EPA's smelting charge 
forecasts. The smelter owner shall also make available upon request by 
EPA such additional documentation of the methodology and underlying data 
as EPA considers appropriate for evaluation of the forecasts.
    Forecasts of freight cost changes, which are applied to the freight 
costs used in calculating a smelter's net smelting charges, must be 
prepared by a widely-recognized forecasting authority. The forecaster's 
expertise must be comparable to that of the forecaster relied upon by 
EPA in forecasting the annual percentage changes in wages, energy 
prices, and GNP. The documentation of these forecasts must be comparable 
to that provided by EPA's forecaster.
    To the maximum extent practicable, by-product, co-product and (when 
applicable) unaffiliated smelting charges must be stated at market 
prices adjusted to f.o.b. smelter. Adjustments of these pricing bases 
must be made to reflect differences in grades and types of production. 
All adjustments must be consistent with expected sales, grades and types 
of concentrate processed. Applicants must attach as part of Exhibit B 
schedules describing and explaining the methods used to forecast these 
revenue items and the adjustments required for these revenue forecasts.
    Applicants must explain fully any changes from the historical data 
that are required to forecast labor productivity, ore-concentrate grade 
and composition, materials and energy consumption per unit of output, 
yield rates and other physical input/output relationships.
    Existing contractual terms must be used in forecasting those sales 
or input costs or prices to which the applicant is committed by 
contracts. The use of contract-dictated prices must be disclosed and 
supported by attaching as part of Exhibit B the terms and duration of 
labor and other supplier arrangements.
    Cost of compliance estimates need not be to the accuracy of final 
design/bid estimates; feasibility grade estimates will be acceptable. 
Updated cost of compliance estimates used in internal five year plans or 
specially prepared estimates of costs of compliance will generally be 
satisfactory.
    2.6  Weighted Average Cost of Capital for Nonferrous Metal 
Producers. The industry average cost of capital is a weighted average of 
the rates of return for equity and debt. Its components are the interest 
rate and the return on equity specific to the nonferrous metals 
industry.
    2.6.1  Computation.\3\ The applicant must compute the cost of 
capital according to the following formula:
---------------------------------------------------------------------------

    \3\ The derivation of the formula and the basis of the parameters 
are explained in two memoranda to EPA (Item Nos. II-A-1 and IV-A-6a in 
EPA Docket No. A-82-35).

where

                        R=(0.65 x E)+(0.182 x I)

R=weighted average cost of capital
E=return on equity

[[Page 116]]

I=interest rate.

The components are calculated as follows.
    (a) Return on equity for the nonferrous metals industry. The 20 year 
Treasury bond yield to maturity plus a risk premium of 8.6 percent.
    (b) Interest Rate. The 20 year Treasury bond yield to maturity plus 
a risk premium of 3.0 percent.
    (c) Source of the 20 Year Treasury bond yield. Federal Reserve 
Bulletin, most recent monthly issue. Use the average yield for the most 
recent full month.
    2.6.2 Discount Factor. The discount factor corresponding to the 
weighted average cost of capital for any forecast year is computed 
according to the following equation:

                                                                        
                                             1                          
                                    DF=  --------- N                    
                                           (1+R)                        
                                                                        

where

DF=discount factor
R=weighted average cost of capital
N=the number of years in the future (e.g., for the applicant applying in 
          1984, N= for the forecast year 1985).

    The horizon value, which is described in Section 2.7, is computed as 
of 1990, the end of the detailed forecast period. The discount factor to 
be applied to the horizon value is the same as for any other 1990 
figure. For example, if the application is made in 1984, the value of N 
is 7.
    2.7  Horizon Value. The horizon value is the present value of a 
stream of cash flows or net income for 15 years beyond the last forecast 
year. Applicants must compute the horizon value by capitalizing the 
average forecast value of the last two forecast years using the current 
real weighted cost of capital. The line item instructions for schedules 
having a horizon value entry will specify the values to be capitalized.
    The applicant averages the values of the last two years after 
expressing both values in terms of the last year's dollars. The two-year 
average value is then multiplied by 9.6. This is the factor associated 
with capitalizing a 15 year value stream at the current real weighted 
cost of capital of 6.2 percent.
    Applicants must use a separate schedule to calculate the horizon 
value for the Rate of Return Test and the Interim Controls Test 
(Schedule C.5 and D.7, respectively). These separate schedules adjust 
for potential overstatements in the horizon value cash flows that may be 
caused by control equipment depreciation reported for tax purposes.
    2.8  Data Entry
    2.8.1  Rounding. All amounts (including both dollar values and 
physical units) reported in the schedules and exhibits accompanying this 
application must be rounded to the nearest thousand and expressed in 
thousands of dollars or units unless otherwise indicated in the 
instructions.
    2.8.2  Estimates. Where an applicant's records cannot produce the 
specific data required by this application, the use of estimates will be 
allowed if a meaningful estimate can be made without significant 
distortion of the reported results. Data estimates must be supported by 
attaching on a separate sheet of paper as a part of Exhibit B an 
explanation identifying where such estimates are used and showing 
explicitly how the estimates were made.
    2.8.3  Missing Data. Applicants must provide, where applicable, all 
operating and financial data requested by this application. Only 
substantially complete applications can be accepted for processing by 
the Agency. Questions concerning data entries for which information is 
not provided by or cannot reasonably be estimated from the applicant's 
existing accounting records should be addressed to the EPA Contact for 
NSO Inquiries.
    2.8.4  Historical Period. The annual data requested in the 
historical schedules, Schedules A.1 through A.4, must be reported for 
each of the five fiscal years immediately preceding the year in which 
this application is filed. The historical period shall be from fiscal 
years 1979 through 1983 for an NSO application filed in 1984. If an 
application is filed in a later year, the references in this Appendix to 
the period 1979 through 1983 should be interpreted accordingly.
    2.9  Use of schedules. All applicants must complete Schedules A.1 
through A.4, which record historical revenues, cost, and capital 
investment data. These schedules will be used by EPA to assist in 
evaluating forecast data. Completion of the remaining schedules depends 
on the test required of the applicant.
    2.9.1  NSO Eligibility. An NSO applicant must pass one of the 
following two tests and complete the corresponding schedules.
    (a) Profit Protection Test. The applicant must complete Schedules 
B.1 through B.7 to determine eligibility under the Profit Protection 
Test. Schedules B.1 and B.2 report the base case (without constant 
controls) revenue and cost forecast, respectively, and Schedule B.3 
summarizes Schedules B.1 and B.2. Base case production forecasts should 
reflect any production curtailments associated with interim controls 
currently (preforecast) installed on smelters. Schedules B.4 and B.5 
report the revenue and cost forecast, respectively, for the constant 
controls case, and Schedule B.6 summarizes Schedules B.4 and B.5 for the 
Profit Protection Test.
    Schedule B.7 presents the calculations for the Profit Protection 
Test. The applicant enters the forecast profits from Schedules B.3 and 
B.6. The present value of the forecast profits is then computed for each 
case. If the present value of forecast pre-tax profits with

[[Page 117]]

constant controls is less than 50 percent of the present value of 
forecast pre-tax profits without controls (base case) the smelter passes 
the test and is eligible for an NSO. The smelter also passes the test if 
the present value of forecast pre-tax profits without controls (base 
case) is negative.
    (b) Rate of Return Test. The applicant must complete Schedules B.4, 
B.5, and C.1 through C.5 to determine eligibility under the Rate of 
Return Test. Schedules B.4 and B.5 report the revenue and cost forecast, 
respectively, for the constant controls case, and Schedule C.1 
summarizes Schedules B.4 and B.5 for the Rate of Return Test. Schedule 
C.2 reports forecast sustaining capital investment for the constant 
controls case. Schedule C.3 reports historical net investment for the 
most recent fiscal year expressed in constant dollars, i.e., dollars of 
the year in which the application is made.
    Schedule C.4 presents the calculations for the Rate of Return Test. 
The applicant reports in Schedule C.4 the forecast cash flows from 
Schedules C.1 and C.2 and the horizon value from Schedule C.5, computes 
their present value, and subtracts the value of invested capital in 
constant dollars (taken from Schedule C.3) to yield net present value. 
If the net present value is less than zero, the smelter passes the test 
and is eligible to receive an NSO. This result indicates that the 
smelter is expected to earn a rate of return less than the industry 
average cost of capital.
    2.9.2  Interim Control Waivers. An applicant for a waiver from 
interim controls must complete either a portion or all of Schedules D.1 
through D.7, depending on whether the application is for a temporary or 
permanent waiver.
    (a) Temporary Waiver from Interim Controls Test. The applicant must 
complete Schedules D.1 through D.3 to establish eligibility for a 
temporary waiver from interim controls. Schedules D.1 and D.2 report 
forecast revenue and cost data under the assumption of installation of 
interim constant control equipment and no installation of any additional 
SO2 controls that the smelter would otherwise be required to 
install but for the issuance of the NSO. Schedule D.3 summarizes 
Schedules D.1 and D.2 and calculates gross operating profit. If gross 
operating profit is negative for any year during which the NSO is in 
effect, the applicant is eligible for a temporary waiver.
    (b) Permanent Waiver from Interim Controls Test. The applicant must 
complete Schedules D.1 through D.7. All schedules except for Schedule 
D.5 must be completed twice, based on two alternative assumptions: (1) 
installation of interim constant control equipment, no installation of 
any additional SO2 controls that the smelter would otherwise be 
required to install but for the issuance of the NSO, and closure of the 
smelter after January 1, 1988; and (2) installation of interim constant 
control equipment, installation of any additional SO2 controls 
required to comply with the smelter's SIP emission limitation by January 
2, 1988, and continued operation of the smelter after January 1, 1988.
    Schedules D.1 and D.2 report forecast revenue and cost data under 
each assumption. Schedule D.3 summarizes Schedules D.1 and D.2, and 
Schedule D.4 reports forecast sustaining capital under each assumption. 
Schedule D.5 reports cash proceeds from liquidation.
    Schedule D.6 presents the calculations for the permanent waiver 
test. In Schedule D.6, the applicant reports cash flow projections from 
Schedules D.3 and D.4 and the horizon value from Schedule D.7, computes 
their present value and subtracts the current salvage value (taken from 
Schedule D.5) to yield net present value. The higher of the two net 
present value figures computed under the two alternative assumptions 
must be used in the test. If the higher net present value figure is 
negative, the applicant is eligible for a permanent waiver.
    2.10  Use of exhibits. In addition to data required by the schedules 
included in this application, the following information must be attached 
as exhibits.
    2.10.1  Exhibit A. Background information on the firm's 
organizational structure and its associated accounting and financial 
reporting systems for primary nonferrous activities. This information 
must include, where applicable, the firm's:
    (a) Operating association with an ownership control in consolidated 
subsidiaries, unconsolidated subsidiaries, joint ventures and other 
affiliated companies.
    (b) Organizational subdivision of its primary nonferrous activities 
into profit centers, cost centers and/or related financial reporting 
entities employed to control the operation of its mines, concentrators, 
smelters, refineries and other associated facilities.
    (c) Material and product flows among the smelter subject to this NSO 
application, other integrated facilities and its affiliated suppliers 
and/or customers. In the case of integrated facilities, applicants must 
provide process flow diagrams depicting the operating interrelationships 
among its mines, concentrators, smelters, refineries and other 
integrated facilities. For both integrated and nonintegrated facilities, 
applicants also must describe the proportion contributed to its primary 
nonferrous activities by material purchases from and product sales to 
affiliated suppliers and customers.
    (d) Annual operating capacity over the five most recent fiscal years 
for the smelter subject to this application. Operating capacity must be 
defined in terms of the total quantity of throughput that could have 
been processed with the available facilities after giving appropriate 
allowance to normal

[[Page 118]]

downtime requirements for maintenance and repairs. Operating capacity 
data also must consider both capacity balancing requirements among 
processing steps and annual processing yield rates attainable for each 
facility.
    (e) Weighted average analysis of concentrates processed and tonnage 
produced annually over each of the five most recent fiscal years by the 
smelter subject to this application.
    (f) Accounting system and policies for recording investment 
expenditures, operating revenues, operating costs and income taxes 
associated with its primary nonferrous activities. Applicants also must 
provide a complete description of allocation techniques employed for 
assigning investments, revenues, costs and taxes to individual profit, 
cost of departmental centers for which costs are accumulated. Applicants 
must further indicate the relationship of cost and/or departmental 
accounting entities to the firm's established profit centers.
    (g) Annual five-year operating and capital expenditure plans (or 
budgets) by individual nonferrous profit center. These documents must 
include previous plans prepared for the five preceding fiscal years as 
well as the current one-year and five-year operating and capital 
expenditure plans. At least the current one-year and five-year plans 
must provide a specific breakdown of investment expenditures and 
operating costs associated with the operation and maintenance of each 
profit center's existing and proposed pollution control facilities.
    2.10.2  Exhibit B. Supplemental description and explanation of items 
appearing in the financial reporting schedules. Other parts of Section 2 
and the detailed instructions for the Schedules specify the information 
required in Exhibit B.
    2.10.3  Exhibit C. Financial data documentation. Applicants must 
document annual balance sheet, income statement and supporting data 
reported for the firm's preceding five fiscal years or for that portion 
of the past five years during which the firm engaged in smelter 
operations. This documentation must be provided by attaching to the 
application:
    (a) SEC 10-K reports filed by the parent corporation for each of the 
preceding five fiscal years.
    (b) Certified financial statements prepared on a consolidated basis 
for the parent corporation and its consolidated subsidiaries. This 
requirement may be omitted for those years in which SEC 10-K reports 
have been attached to this Exhibit.
    (c) Business Segment Information reports filed with the Securities 
and Exchange Commission by the firm for each of the preceding five years 
(as available).

                  Schedule A.1--Historical Revenue Data

General. Use Schedule A.1 to report annual historical revenue data for 
fiscal years 1979 through 1983. Revenues include product sales and 
associated operating revenues, net of returns and allowances, from 
smelter sales and/or transfers of copper, lead, zinc and molybdenum or 
other nonferrous metal products and tolling services to both 
unaffiliated and affiliated customers. The line items in Schedule A.1 
are explained in the following instructions.

    Lines 01, 14, 27 and 40--Primary Nonferrous Product Sales. Report 
for each year the total quantity of copper, lead, zinc and molybdenum or 
other nonferrous metal product sales.
    Lines 02, 15, 28 and 41--Unaffiliated Customer Sales. Report for 
each year the respective quantities of copper, lead, zinc and molybdenum 
or other nonferrous metal product sales to unaffiliated customers.
    Lines 03, 16, 29 and 42--Unaffiliated Customer Revenues. Report for 
each year the total operating revenues derived from smelter sales of 
copper, lead, zinc and molybdenum or other nonferrous metals to 
unaffiliated customers.
    Lines 04, 17, 30 and 43--Unaffiliated Customer Prices. Report for 
each year the average unit price received on smelter sales of copper, 
lead, zinc and molybdenum or other nonferrous metals to unaffiliated 
customers. The prices are computed as operating revenues reported on 
Lines 03, 16, 29 and 42 divided by the quantities reported on Lines 02, 
15, 28 and 41, respectively.
    Lines 05, 18, 31 and 44--Average Product Quality Grade. Report for 
each year the average quality rating assigned to copper, lead, zinc and 
molybdenum or other nonferrous metal products purchased by the smelter's 
unaffiliated customers.
    Lines 06, 19, 32 and 45--Affiliated Customers Sales. Report for each 
year the respective quantities of copper, lead, zinc and molybdenum or 
other nonferrous metal product sales to affiliated customers.
    Lines 07, 20, 33 and 46--Affiliated Customer Revenues. Report for 
each year the total operating revenues derived from smelter sales of 
copper, lead, zinc and molybdenum or other nonferrous metals to 
affiliated customers. These revenues should be stated at prices 
equivalent to those received on comparable sales to unaffiliated 
customers as described in Section 2.2. Attach as part of Exhibit B an 
explanation of the methodology used to state affiliated customer 
revenues.
    Lines 08, 21, 34 and 47--Affiliated Customer Prices. Report for each 
year the average unit price received on smelter sales of copper, lead, 
zinc and molybdenum or other nonferrous metals to affiliated customers. 
The prices are computed as operating revenues reported on Lines 07, 20, 
33 and 46 divided by

[[Page 119]]

the quantities reported on Lines 06, 19, 32 and 45, respectively.
    Lines 09, 22, 35 and 48--Average Product Quality Grade. Report for 
each year the average quality rating assigned to copper, lead, zinc and 
molybdenum or other nonferrous metal products purchased by the smelter's 
affiliated customers.
    Lines 10, 23, 36 and 49--Total Primary Product Revenues. Report for 
each year total operating revenues derived from the smelter's sales to 
unaffiliated and affiliated customers of copper (Lines 03+07), lead 
(Lines 16+20), zinc (Lines 29+33) and molybdenum or other nonferrous 
metals (Lines 42+46).
    Lines 11, 24, 37 and 50--Transfer Price Adjustments. Report for each 
year operating revenue adjustments required to equate affiliated 
customer transfer prices with unaffiliated customer market prices on 
smelter sales of copper, lead, zinc and molybdenum or other nonferrous 
metals. Attach as part of Exhibit B an explanation of the method used 
for restating transfer prices where such adjustments are necessary.
    Lines 12, 25, 38 and 51--Other Revenue Adjustments. Report for each 
year sales returns and allowances and other adjustments applicable to 
the smelter's revenues derived from copper, lead, zinc and molybdenum or 
other nonferrous metal product sales. Attach as part of Exhibit B a 
schedule reporting the types and amounts of such adjustments.
    Lines 13, 26, 39 and 52--Adjusted Product Revenues. Enter for each 
year the sums of Lines 10 through 12 for adjusted copper sales (Line 
13), Lines 23 through 25 for adjusted lead sales (Line 26), Lines 36 
through 38 for adjusted zinc sales (Line 39) and Lines 49 through 51 for 
adjusted molybdenum or other nonferrous metal sales (Line 52).
    Line 53--Primary Metal Revenues. Enter for each year the sum of 
Lines 13, 26, 39 and 52.
    Line 54--Toll Concentrates Processed. Report for each year the total 
quantity of toll concentrates processed.
    Lines 55 to 58--Customer Toll Revenues. Report for each year the 
quantity of toll concentrates processed for unaffiliated customers (Line 
55), total operating revenues derived from this processing (Line 56), 
average price charged per ton of concentrate processed (Line 57=Line 56/
55) and the average quality rating assigned to toll concentrates 
processed for unaffiliated customers (Line 58).
    Lines 59 to 62--Affiliated Customer Toll Revenues. Report for each 
year the quantity of toll concentrates processed for affiliated 
customers (Line 59), total operating revenues derived from such 
processing (Line 60), average price charged per ton of concentrate 
processed (Line 61=Line 60/59) and the average quality rating (Line 62) 
assigned to toll concentrates processed for affiliated customers.
    Line 63--Tolling Service Revenues. Enter for each year the total of 
amounts reported on Lines 56 and 60.
    Line 64--Transfer Price Adjustments. Report for each year operating 
revenue adjustments required to equate affiliated customer transfer 
prices with market prices charged to unaffiliated customers on the 
smelter's tolling services. Attach as part of Exhibit B an explanation 
of the method used for restating transfer prices where such adjustments 
are necessary.
    Line 65--Other Revenue Adjustments. Report for each year other 
adjustments applicable to the smelter's tolling service revenues. Attach 
as part of Exhibit B a schedule reporting the types and amounts of such 
adjustments.
    Line 66--Adjusted Tolling Service Revenues. Enter for each year the 
total of Lines 63 through 65.
    Line 67--Co-Product Revenues. Report for each year the net revenues 
from sales of co-products derived from the smelter's operations. Attach 
as part of Exhibit B a schedule showing by individual type of co-
product, the quantity produced and sold, market price per unit of sales 
and total revenues derived from the co-product sales.
    Line 68--Pollution Control By-product Revenues. Report for each year 
revenues from the sale of by-products derived from operation of the 
smelter's pollution control facilities. Attach as part of Exhibit B a 
schedule showing by type of by-product produced, the quantity of output, 
market price received per unit of output sold and total revenue derived 
from the by-product sales.
    Line 69--Other By-product Revenues. Report for each year revenues 
from the sales of gold, silver and other by-products derived from the 
smelter's operations. Attach as part of Exhibit B a schedule providing 
additional documentation as specified in the instruction for Line 68.
    Line 70--Total Co-product and By-product Revenues. Enter for each 
year the total of Lines 67 through 69.

                   Schedule A.2--Historical Cost Data

General. Use Schedule A.2 to report annual historical cost and input 
quantities for smelter operations for fiscal years 1979 through 1983. 
The line items in Schedule A.2 are explained in the following 
instructions.

    Line 01--Total Quantity Purchased. Report for each year the total 
quantity of concentrates purchased by the smelter. This will be sum of 
Lines 02 and 06. Do not include the quantity of toll concentrates.
    Line 02--Quantity Purchased. Report for each year the total quantity 
of concentrates purchased from unaffiliated suppliers by the smelter. 
Attach as a part of Exhibit B a description of the types and grades of 
these

[[Page 120]]

concentrates. Do not include the quantity of toll concentrates.
    Line 03--Concentrate Cost. Report for each year the outlays paid to 
unaffiliated suppliers for concentrates. Attach as part of Exhibit B an 
explanation of the method(s) used in determining these outlays and 
relationship between concentrate prices and the types and grades of 
concentrates purchased from unaffiliated suppliers.
    Line 04--Average Unit Price. Report for each year the average unit 
price paid for purchases of concentrates from unaffiliated suppliers. 
Generally, this value will be equivalent to Line 03 divided by Line 02. 
If this equivalency does not hold, attach as a part of Exhibit B an 
explanation of the variance.
    Line 05--Average Concentrate Grade. Report for each year the average 
concentrate grade of concentrates purchased from unaffiliated suppliers. 
Attach as part of Exhibit B an explanation of this average. The average 
should correspond to the average price reported in Line 04.
    Line 06--Quantity Purchased. Report for each year the total quantity 
of concentrates purchased from affiliated suppliers by the smelter. 
Attach as part of Exhibit B a description of the types and grades of 
these concentrates. Do not include the quantity of toll concentrates.
    Line 07--Concentrate Cost. Report for each year the actual outlays 
paid to affiliated suppliers for concentrates. Attach as part of Exhibit 
B an explanation of the method(s) used in determining these outlays and 
relationship between concentrate prices and the types and grades of 
concentrates purchased from affiliated suppliers. Do not reflect any 
adjustments to market prices here.
    Line 08--Average Unit Price. Report for each year the average unit 
price paid for purchases of concentrates from affiliated suppliers. 
Generally, this value will be equivalent to Line 07 divided by Line 06. 
If this equivalency does not hold, attach as part of Exhibit B an 
explanation of the variance.
    Line 09--Average Concentrate Grade. Report for each year the average 
concentrate grade of concentrates purchased from affiliated suppliers. 
Attach as part of Exhibit B an explanation of this average. The average 
should correspond to the average price reported in Line 08.
    Line 10--Total Concentrate Cost. Enter for each year the sum of 
Lines 03 and 07.
    Line 11--Transfer Price Adjustments. Enter for each year the amounts 
required to adjust outlays paid to affiliated suppliers to market value. 
Refer to Section 2.2 for instructions on the restatement of affiliated 
party transactions. Attach as part of Exhibit B a description and the 
computations of any required cost adjustments.
    Line 12--Other Cost Adjustments. Enter for each year the amounts of 
any other cost adjustments required such as freight or allowances. 
Attach as part of Exhibit B the identification and the derivation of 
these adjustments.
    Line 13--Adjusted Concentrate Cost. Enter for each year the adjusted 
concentrate cost reflecting the adjustments reported in Lines 11 and 12.
    Line 14--Direct Labor Hours. Report for each year the quantity of 
direct labor hours required to support the processing levels previously 
reported. Attach as part of Exhibit B an explanation of the labor 
productivity factor involved.
    Line 15--Average Hourly Wage Rate. Report for each year the average 
wage rate paid per unit of direct labor input. Attach as Part of Exhibit 
B a description of direct labor costs factors under existing labor 
contracts and an explanation of the method(s) used to determine wage 
rates.
    Line 16--Total Wage Payments. Enter for each year the product of 
Lines 14 and 15.
    Line 17--Supplemental Employee Benefits. Report adjustments required 
to direct labor costs for other employee compensation under supplemental 
benefit plans. Attach as part of Exhibit B a description of such plans 
and their costs and an explanation of the method(s) used to determine 
such costs.
    Line 18--Total Production Labor Cost. Enter for each year the total 
of Lines 16 and 17.
    Lines 19, 22, 25, 28 and 31--Energy Quantities. Report for each year 
the quantity of energy by type required to support the processing levels 
reported in the smelter's revenue. Attach as part of Exhibit B, an 
explanation of energy use factors and qualities considered in 
determining the smelter's energy requirements.
    Lines 20, 23, 26, 29 and 32--Unit Prices. Report for each year a 
price paid per unit of energy input by type of energy. Attach as part of 
Exhibit B, a description of the energy price factors under existing 
energy contracts and an explanation of the method(s) used to determine 
unit energy prices.
    Lines 21, 24, 27, 30 and 33--Total Payments. Enter for each year the 
products of quantity and prices paid for electricity (Lines 19 x 20), 
natural gas (Lines 22 x 23), coal (Lines 25 x 26), fuel oil (Lines 
28 x 29), and other (Lines 31 x 32).
    Line 34--Total Energy Costs. Enter for each year the total of Lines 
21, 24, 27, 30 and 33.

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            Schedule A.3--Historical Profit and Loss Summary

General. Use Schedule A.3 to report annual revenues, cost and income 
taxes assignable to operation of the smelter subject to this NSO 
application for fiscal years 1979 through 1983. Assignable revenues and 
costs should include only the results of transactions either (1) 
directly associated with smelter operations or (2) for which the 
applicant can establish a causal and beneficial relationship with 
smelter operations pursuant to instructions in Section 2.1. The line 
items in Schedule A.3 are explained in the following instructions.
    Line 01--Primary Metal Sales. Enter the totals reported in Schedule 
A.1, Line 40.
    Line 02--Co-Product and By-Product Sales. Report for each year 
annual revenues, net or returns and allowances, derived from smelter 
sales and/or transfers of co-products and by-products to both 
unaffiliated and affiliated customers. Attach as part of Exhibit B a 
supporting schedule for each major co-product and by-product component 
of smelter revenues. Segregate the revenues reported by major co-product 
and by-product components into their unaffiliated customer and 
affiliated customer elements. Report for each component's unaffiliated 
and affiliated customer revenue elements the (1) average grade of 
product sold, (2) actual quantity sold, (3) average price per unit, and 
(4) total smelter revenues. Also show for each product line any 
adjustments required to restate transfer prices and explain the basis 
for such adjustments. Refer to Section 2.2 for instructions on the 
restatement of affiliated customer revenues.
    Line 03--Tolling Service Revenues. Enter the totals reported in 
Schedule A.1, Line 53.
    Line 04--Other Operating Revenues. Report for each year annual 
revenues directly associated with smelter operations that have not 
previously been reported on Lines 01 through 03. Attach as part of 
Exhibit B a schedule showing the types and amounts of sales reported as 
other operating revenue. The following non-operating revenue and income 
items should not be included as other operating revenue or as a part of 
revenues reported on Lines 01 through 03.

    Royalties, licensing fees and other income from intangibles.
    Interest and dividend income on portfolio investments.
    Equity in income (loss) of unconsolidated subsidiaries and 
affiliates.
    Gain (loss) from discontinued operations and disposal of property.
    Minority interest adjustment to consolidated subsidiary income.
    Extraordinary items.

    Line 05--Total Operating Revenue. Enter for each year the total of 
Lines 01 through 04.
    Line 06--Concentrates Processed. Report the cost of concentrates 
processed and sold or transferred to unaffiliated and affiliated 
customers from Schedule A.2, Line 13. Concentrates purchased from 
unaffiliated suppliers should be valued at the actual prices paid. 
Concentrates purchased from affiliated suppliers should be valued at or, 
if necessary, restated to equivalent prices quoted by unaffiliated 
suppliers. If prices used to report revenues are c.i.f. and concentrate 
costs are f.o.b. smelter, all transportation charges paid on the 
smelter's or buyer's account should be excluded from smelter expense. 
Attach as part of Exhibit B supporting schedules showing the:

    Annual value of concentrate purchases classified according to 
purchases from unaffiliated and affiliated suppliers.
    Cost of sales adjustments to concentrate purchases for net annual 
additions to or withdrawals from concentrate inventories, freight-in on 
concentrate purchases and inventory spoilage.
    Impact on cost of sales for restating, where applicable, the cost of 
concentrate purchases from affiliated suppliers to the equivalent prices 
paid to unaffiliated suppliers.
    Volumes, grades and net prices of concentrate purchases from 
unaffiliated and affiliated suppliers by type of concentrate purchased.
    Volumes, grades and net prices associated with toll concentrates 
processed by type of concentrate.

    Line 07--Other Materials Costs. Report for each year annual costs 
incurred for flux, refractories, coke and other materials used by the 
smelter in its processing of concentrates. Materials purchased from 
unaffiliated suppliers should be valued at the actual prices paid after 
adjustment for transportation costs incurred. Materials purchased from 
affiliated suppliers should be valued at or, if necessary, restated to 
equivalent prices quoted by unaffiliated suppliers. Include in Exhibit B 
supporting schedules showing the:

    Annual value of material purchases classified according to purchases 
from unaffiliated and affiliated suppliers.
    Cost of sales adjustments to material purchases for net annual 
additions to or withdrawals from material inventories, freight costs on 
material purchases and inventory loss.
    Impact on cost of sales for restating, where applicable, the costs 
of material purchases from affiliated suppliers to equivalent prices 
paid to unaffiliated suppliers.
    Classification of other material costs by major cost factors for 
each cost component that exceeds 20 percent of any line item in the cost 
of sales schedule.

    Line 08--Production Labor Costs. Report for each year total direct 
labor costs incurred by the smelter for processing purchased and toll

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concentrates, Schedule A.2, Line 18. Include in Exhibit B supporting 
schedules showing the:

    Manhours and wage rates for major labor classifications.
    Potential impact on wage rates of provision in the smelter's current 
labor contracts.
    Explanation of major variances observed in direct labor costs over 
the five-year period as a result of factors such as strikes or new labor 
contracts.

    Line 09--Energy Costs. Enter the totals reported in Schedule A.2, 
Line 34.
    Line 10--Pollution Control Costs. Report for each year expenses 
incurred for operating and maintaining pollution control facilities. All 
by-product credits associated with pollution control facility operations 
should be eliminated and reported on Line 02. Depreciation and 
amortization charges against the smelter's pollution control facilities 
should be reported separately on Line 18. Attach as part of Exhibit B 
supporting schedules showing the:

    Major pollution control cost elements with their values classified 
according to direct and indirect cost factors.
    Techniques used to allocate indirect pollution control costs to 
major cost pools.

    Line 11--Production Overhead. Report for each year the total costs 
for indirect labor, indirect materials and other production overhead 
costs associated with the smelter. Attach as part of Exhibit B a 
schedule showing annual overhead costs by major cost components 
associated with the smelter's operations. For each cost component, where 
appropriate, identify the quantity and unit price element of overhead 
costs.
    Line 12--Other Production Costs. Report for each year annual smelter 
overhead and other production costs not previously reported on Lines 06 
through 11. By-product credits, if any, should be eliminated and 
reported on Line 02 as operating revenues. Attach as part of Exhibit B 
supporting schedules showing the:

    Major cost elements classified according to direct and indirect 
production costs.
    Disaggregation of major overhead cost components into their fixed 
and variable cost elements.
    Allocation techniques used in assigning indirect overload costs to 
the major cost components.
    Elements of overhead costs represented by purchases from affiliated 
suppliers and adjustments, if any, required to restate these costs on 
the basis of equivalent prices paid to unaffiliated supplier.

    Line 13--Total Cost of Sales. Enter for each year the total of Lines 
06 through 12.
    Line 14--Gross Operating Profit. Enter for each year the difference 
between Lines 05 and 13.
    Line 15--Selling, General & Administrative (SG&A) Expenses. Report 
for each year SG&A expenses attributable to the smelter's annual 
operating activities. Exclude those operating costs to be reported 
separately on Lines 16 through 21 and those costs for which causal and 
beneficial relationships to the smelter cannot be established. Attach as 
part of Exhibit B supporting schedules (1) segregating SG&A expenses by 
major expense components, (2) classifying the major expense components 
according to those costs incurred directly by smelter operations and 
costs allocated to the smelter from indirect cost pools, and (3) 
explaining the basis used for indirect cost allocations.
    Line 16--Taxes, Other Than Income Tax. Report for each year all 
taxes (exclusive of Federal, state, local and foreign income taxes) 
assignable to the smelter's operations. Attach as part of Exhibit B, a 
schedule that (1) segregates these operating taxes by major component, 
(2) classifies each component according to direct and indirect cost 
elements, and (3) explains the basis used for indirect cost allocations.
     Line 17--Research Costs. Report for each year research costs 
(exclusive of capitalized costs reported in Schedule A.4) that are 
assignable to the smelter's annual operations. Attach as part of Exhibit 
B a schedule (1) segregating exploration and research costs by major 
expense components, (2) classifying each expense component according to 
direct and indirect cost elements, and (3) explaining the basis used for 
indirect cost allocations.
     Line 18--Pollution Control Depreciation and Amortization. Report 
for each year annual depreciation and amortization charges attributable 
to the smelter's investment in pollution control facilities and 
equipment. Reported charges should be computed in accordance with 
depreciation and amortization methods adopted for tax reporting purposes 
by the firm. Attach explanatory supporting schedules as part of Exhibit 
B.
     Line 19--Other Facility Depreciation and Amortization. Report for 
each year annual depreciation and amortization charges (exclusive of 
charges reported on Line 18) assignable to the smelter's operations. 
Attach explanatory supporting schedules as part of Exhibit B.
     Line 20--Interest on Short-Term Debt. Report for each year interest 
expense and associated financial charges on current liabilities in 
accordance with the assignment instructions in Section 2.1. Do not 
include interest on the portion of long-term debt due within the current 
year for each reporting period.
     Line 21--Miscellaneous Operating Expenses. Report for each year any 
additional expenses assignable to the smelter's annual operations. 
Attach as part of Exhibit B a schedule (1) segregating these additional 
expenses into major expense components, (2)

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classifying each expense component according to costs incurred directly 
by the smelter and costs allocated to the smelter from indirect cost 
pools, and (3) explaining the basis used for indirect cost allocations.
     Line 22--Total Other Operating Expenses. Enter for each year the 
total of Lines 15 through 21.
     Line 23--Income from Operations. Enter for each year the difference 
between Lines 14 and 22.
     Line 24--Gain/(Loss) from Disposition of Property. Report net gains 
or losses recognized during each year from disposition of property, 
plant and equipment. Report such gains or losses in accordance with the 
firm's normal practice for certified financial statement reporting. If 
such gains or losses are not significant and are classified otherwise, 
no reclassification need be made. A note to this effect must be included 
in Exhibit B.
     Line 25--Miscellaneous Income and Expenses. Report minority 
interest in income, foreign currency translation effects, and other non-
operating income and expenses directly assignable to the smelter and not 
recognized elsewhere on this schedule. Report such items in accordance 
with the accounting methods used for certified financial reporting 
purposes.
     Line 26--Total Other Income and Expenses. Enter for each year the 
sum of Lines 24 and 25.
     Line 27--Net Taxable Income. Enter for each year the difference 
between Lines 23 and 26.

           Schedule A.4--Historical Capital Investment Summary

General. Use Schedule A.4 to report annual end-of-period asset 
investments and current liabilities for fiscal years 1979 through 1983. 
These figures must correspond with the revenues and costs associated 
with operation of the smelter subject to this NSO application as 
reported in Schedule A.3.
    The amounts assigned to the subject smelter should include both (1) 
investments and liabilities directly identifiable with the smelter's 
operating activities and (2) asset investments shared with other 
segments to the extent that a specific causal and beneficial 
relationship can be established for the intersegment allocation of such 
investments. Do not allocate to the smelter the costs of assets 
maintained for general corporate purposes. Provide a detailed 
explanation of amounts classified as nontraceable on a separate schedule 
and attach as part of Exhibit B.
    Applicants shall also restate trade receivables and payables for 
transfer price adjustments on the smelter's transactions with affiliated 
customers. The line items in Schedule A.4 are explained in the following 
instructions.
    Line 01--Cash on Hand and Deposit. Report for each year total cash 
balances assignable to the smelter's operations at the end of each year 
on the basis of causal and beneficial relationships with total corporate 
activities. Attach as part of Exhibit B in explanation of the basis used 
for allocation.
    Line 02--Temporary Cash Investments. Report for each year temporary 
cash investments in time deposits or other short-term securities. 
Include only those investments either held by the smelter to meet 
current-period tax payments or other budgeted expenditures specifically 
identifiable with the smelter's continued operation. Exclude any 
temporary cash investments for which no specific future outlay 
requirement can be identified.
    Attach as part of Exhibit B a schedule classifying temporary cash 
investments according to identifiable budgeted expenditure requirements.
    Lines 03 and 04--Net Trade Receivables. Report for each year trade 
accounts and notes, net of reserves for uncollectible items, assignable 
to the smelter in relation to its unaffiliated (Line 03) and affiliated 
(Line 04) customer sales and transfers. Trade receivables reported by 
the smelter as due from affiliated customers should be stated or, if 
necessary, restated on credit terms equivalent to those received by 
unaffiliated customers on a sale of comparable products. Attach as part 
of Exhibit B a schedule showing adjustments in the smelter's receivables 
investments required to equate trade credit terms extended to affiliated 
and unaffiliated customers.
    Lines 05 and 06--Inventory Investments. Report for each year 
respective end-of-period investments in raw material, work-in-process 
and finished good inventories held to support the smelter's production 
and sale of products (Line 05) and associated inventories of other 
materials and supplies (Line 06). These inventories must be valued at 
current market prices. Inventory purchases from affiliated suppliers 
should also be stated at current market prices or, if necessary, 
restated at current market prices prevailing on purchases from 
unaffiliated suppliers. Attach explanatory supporting schedules as part 
of Exhibit B.
    Line 07--Other Current Assets. Report for each year prepaid 
expenses, deferred charges, non-trade notes and accounts receivable, and 
other assets classified as current for certified financial statement 
reporting purposes that are assignable to the smelter's operations. 
Attach as part of Exhibit B a schedule classifying these other current 
assets according to their types and amounts.
    Line 08--Total Current Assets. Enter for each year the total of 
Lines 01 through 07.
    Lines 09 to 14--Property, Plant and Equipment. Report for each year 
by individual line item property, plant and equipment investments 
assignable to smelter operations. Include in gross facility investments 
at the end

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of each period both (1) property, plant and equipment directly 
associated with the smelter's operations and (2) facilities shared with 
other operating segments to the extent that a causal and beneficial 
relationship can be established for the inter-segment allocation of such 
facility investments.
    Attach as part of Exhibit B a schedule reporting by individual line 
item the annual capital expenditures on additional property, plant and 
equipment investments in the smelter's operations. Further classify 
these annual capital expenditures into both (1) investments required to 
maintain the smelter versus investments in smelter expansion and 
improvement and (2) direct facility versus joint-use facility 
investments. Explain the method used for allocating capital expenditures 
on joint-use facilities to the smelter's operations. Refer to Line 17 
instructions for additional reporting requirements on the smelter's 
facility investments.
    Line 15--Total Smelter Investment. Enter for each year the total of 
Lines 09 through 14.
     Line 16--Accumulated Depreciation and Amortization. Report for each 
year accumulated depreciation, amortization and other valuation charges 
recorded for certified financial statement reporting purposes in 
relation to smelter investment as reported on Line 15. Other valuation 
charges are defined in Financial Accounting Standards Board (FASB) 
Statement No. 19 as losses recognized in connection with an impairment 
in the value of an unimproved property below its acquisition cost. Refer 
to Line 17 instructions for additional reporting requirements on smelter 
facility investments.
     Line 17--Net Smelter Investment. Enter for each year the difference 
between Lines 15 and 16. Attach as part of Exhibit B a schedule 
classifying gross facility investments, accumulated depreciation, 
amortization charges, and net facility investments by major pollution 
control and non-pollution control components. Identify for each asset 
component the direct versus joint-use investments assigned to the 
smelter and explain the basis used to allocate amounts associated with 
joint-use facilities to the smelter.
     Line 18--Other Non-Current Assets. Report for each year other 
assets assignable to the smelter's operations. Attach as part of Exhibit 
B a schedule reporting by type and amount the major components of such 
investments.
     Line 19--Total Smelter Capital Investment. Enter for each year the 
total of Lines 08, 17 and 18.
     Line 20 and 21--Trade Accounts and Notes Payable. Report for each 
year trade accounts and notes due on the smelter's purchases from 
unaffiliated suppliers (Line 20) and on its intersegment transfers or 
purchases from affiliated suppliers (Line 21). Trade payables reported 
by the smelter as due to affiliated suppliers should be stated or, if 
necessary, restated on terms equivalent to those received from 
unaffiliated suppliers on a purchase of comparable materials. Attach as 
part of Exhibit B a schedule showing adjustments required on the 
smelter's trade payables to equate trade credit terms received from 
affiliated and unaffiliated suppliers.
     Line 22--Other Expense Accruals. Report for each year payments 
classified as current for salaries and wages, other employee benefits, 
operating taxes and related operating expenses assignable to the 
smelter's operations. Attach as part of Exhibit B a schedule classifying 
by type and amount the major components of such accruals.
     Line 23--Current Notes Payable. Report for each year payments due 
to nontrade creditors on short-term financing arrangements directly 
associated with the smelter's operations. Exclude current installments 
due on long-term debt financing arrangements, notes due to offices and 
directors, intersegment loans or advances and loans or advances from 
affiliated operating segments.
     Line 24--Other Current Liabilities. Report for each year other 
nontrade payables classified as current obligations assignable to the 
smelter's operations.
     Line 25--Total Current Liabilities. Enter for each year the total 
of Lines 20 through 24.
     Line 26--Net Smelter Capital Investment. Enter for each year the 
difference between Lines 19 and 25.

               Schedule B.1--Pre-Control Revenue Forecast

General. Use Schedule B.1 to report annual forecasts of operating 
revenues anticipated during the years 1984 through 1990 from operation 
of the smelter subject to this NSO application. These pre-control 
revenue projections should be based on revenues and production 
associated with operating the smelter without any SO2 air pollution 
controls that have not been installed as of the NSO application date. 
Forecast smelter revenues should be expressed on a tolling service 
equivalent basis as described in Section 2.3.4.
    Copper smelters that will process concentrates containing an average 
of 1,000 pounds per hour or more of arsenic during the forecast period 
should assume that they will use best engineering techniques to control 
fugitive emissions of arsenic. All smelters should also assume that they 
will be required to meet all other regulatory requirements in effect at 
the time the application is made.
    The line items in Schedule B.1 are explained in the following 
instructions. Attach as part of Exhibit B schedules to (1) explain the 
methods used to make the required forecasts, (2) explain differences, if 
any, between historical trends and the forecasts and (3) provide data 
and information to support the forecasts.

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    Lines 01 and 05--Concentrates Processed. Report for each year the 
forecast quantity of concentrates processed for unaffiliated parties 
(Line 01) and affiliated parties (Line 05).
    Lines 02 and 06--Smelting Charge. Report for each year the forecast 
smelting charge for unaffiliated parties (Line 02) and affiliated 
parties (Line 06). See Section 2.4 for forecast copper smelting charges 
furnished by EPA.
    Lines 03 and 07--Total Smelter Revenues. Report for each year the 
forecast total operating revenues derived from processing concentrates. 
The total for unaffiliated parties (Line 03) is equal to the product of 
Lines 01, 02, and 04, and for affiliated parties (Line 07), the product 
of Lines 05, 06, and 08.
    Lines 04 and 08--Average Product Grade. Report for each year the 
forecast average quality rating assigned to concentrates processed for 
unaffiliated parties (Line 04) and affiliated parties (Line 08).
    Line 09--Total Co-Product Revenues. Report for each year the 
forecast net revenues from sales of co-products derived from the 
smelter's operations. Attach as part of Exhibit B a schedule showing by 
individual type of co-product, the forecast quantity produced and sold, 
forecast market price per unit of sales, and forecast total revenues 
derived from the co-product sales.
    Line 10--Total By-product Revenues From Pollution Control 
Facilities. Report for each year forecast revenues from the sale of by-
products derived from operation of the smelter's pollution control 
facilities, excluding any SO2 air pollution controls that have not 
been installed as of the NSO application date. Attach as part of Exhibit 
B a schedule showing by type of by-product produced (e.g., sulfuric 
acid) the forecast quantity of output, forecast market price per unit of 
output sold, and forecast total revenue derived from the by-product 
sales.
    Line 11--Total By-product Revenues From Other Smelter Processing. 
Report forecast revenues from the sales of gold, silver, and other by-
products derived from the smelter's operations. Attach as part of 
Exhibit B a schedule providing additional documentation as specified in 
the instructions for Line 10.
    Line 12--Total Co-product and By-product Revenues. Enter for each 
year the total of Lines 09 through 11.

                 Schedule B.2--Pre-Control Cost Forecast

General. Use Schedule B.2 to report annual forecasts of operating costs 
anticipated during the years 1984 through 1990 from operation of the 
smelter subject to this NSO application. These pre-control cost 
projections should be based on costs and production associated with 
operating the smelter without any SO2 air pollution controls that 
have not been installed as of the NSO application date.
    Copper smelters that will process concentrates containing an average 
of 1,000 pounds per hour or more of arsenic during the forecast period 
should assume that they will use best engineering techniques to control 
fugitive emissions of arsenic. All smelters should also assume that they 
will be required to meet all other regulatory requirements in effect at 
the time the application is made.
    The line items in Schedule B.2 are explained in the following 
instructions. Attach as part of Exhibit B schedules to (1) explain the 
methods used to make the required forecasts, (2) explain differences, if 
any, between historical trends and the forecasts, and (3) provide data 
and information to support the forecasts.
    Line 01--Direct Labor Hours. Report for each year the quantity of 
direct labor hours required to support the processing levels previously 
reported. Attach as part of Exhibit B an explanation of the labor 
productivity factors involved.
    Line 02--Average Hourly Wage Rate. Report for each year the forecast 
average wage rate per unit of direct labor input. Attach as part of 
Exhibit B a description of direct labor cost factors under any existing 
labor contracts that extend to the forecast period and an explanation of 
the methodology used to forecast wage rates. EPA-provided forecast wage 
indices are reported in Section 2.4.
    Line 03--Total Wage Payments. Enter for each year the product of 
Lines 01 and 02.
    Line 04--Supplemental Employee Benefits. Report for each year 
adjustments required to direct labor costs for other employee 
compensation under supplemental benefit plans. Attach as part of Exhibit 
B a description of such plans and their costs and an explanation of the 
methodology used to forecast such costs. EPA-provided forecast wage 
indices are reported in Section 2.4.
    Line 05--Total Production Labor Cost. Enter for each year the total 
of Lines 03 and 04.
    Lines 06, 09, 12, 15 and 18--Energy Quantities. Report for each year 
the quantity of energy by type required to support the processing levels 
reported in the smelter's revenue. Attach as part of Exhibit B an 
explanation of energy characteristics and use factors considered in 
forecasting the smelter's future energy requirements.
    Lines 07, 10, 13, 16, and 19--Unit Prices. Report for each year the 
forecast price per unit of energy input by type of energy. Attach as 
part of Exhibit B a description of the energy price factors under any 
existing energy contracts that extend to the forecast period and an 
explanation of the methodology used to forecast unit energy prices. EPA-
provided forecast energy indices are reported in Section 2.4.
    Lines 08, 11, 14, 17, and 20--Total Payments. Enter for each year 
the products of quantity and prices paid for electricity (Lines 
06 x 07), natural gas (Lines 09 x 10), coal (Lines 12 x 13), fuel oil 
(Lines 15 x 16), and other (Lines 18 x 19).

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    Line 21--Total Energy Costs. Enter for each year the total of Lines 
08, 11, 14, 17, and 20.

       Schedule B.3--Pre-Control Forecast Profit and Loss Summary

General. Use Schedule B.3 to report annual forecasts of operating 
revenues and operating costs derived in Schedules B.1 and B.2 for the 
years 1984 through 1990. The transfer of line items from Schedules B.1 
and B.2 to this Schedule is explained in the following instructions.
    Line 01--Smelter Revenues-Unaffiliated Parties. Enter the totals 
reported in Schedule B.1, Line 03.
    Line 02--Smelter Revenues-Affiliated Parties. Enter the totals 
reported in Schedule B.1, Line 07.
    Line 03--Co-product and By-product Sales Revenues. Enter the totals 
reported in Schedule B.1, Line 12.
    Line 04--Other Operating Revenues. Report operating revenues 
anticipated from sources not accounted for under Lines 01 through 03. 
Refer to instructions for Line 04 of Schedule A.3 for items that should 
not be included in ``Other Operating Revenues.'' Attach as part of 
Exhibit B a schedule showing annual amounts forecast by individual 
revenue component for ``other'' operating revenues associated with the 
smelter's forecast pre-control operations. Identify in the supporting 
schedule any differences in the ``other'' revenue components reported in 
this Schedule and Schedule A.3 and explain the reasons for such 
differences.
    Line 05--Total Operating Revenues. Enter for each year the total of 
Lines 01 through 04.
    Line 06--Material Costs. Report total costs forecast for flux, 
refractories, coke and other materials directly associated with the 
smelter's processing of concentrates. Attach as part of Exhibit B a 
schedule showing the annual amounts forecast by major material cost 
components. For each cost component, identify the forecast quantity and 
unit price elements of material cost and explain the basis for 
forecasting these quantity and price elements. Identify in the 
supporting schedule any differences in the ``other'' material cost 
components shown in this Schedule and Schedule A.3 and explain the 
reasons for such differences.
    Line 07--Production Labor Costs. Enter the totals reported in 
Schedule B.2, Line 05.
    Line 08--Energy Costs. Enter the totals reported in Schedule B.2, 
Line 21.
    Line 09--Pollution Control Costs. Report the total costs forecast 
for expenses identifiable with operation and maintenance of all 
pollution control equipment and facilities except any SO2 air pollution 
controls that have not been installed as of the NSO application date. 
By-product credits associated with operation of the pollution control 
facilities should be eliminated from the cost accounts, reclassified to 
Schedule B.1, Line 10 and included in Line 03 of this Schedule. Attach a 
schedule as part of Exhibit B classifying pollution control costs by 
major cost components. Explain the basis used for estimating each of the 
cost components.
    Line 10--Production Overhead Costs. Report the total costs forecast 
for indirect labor, indirect materials and other production overhead 
costs associated with the smelter's operations. Attach as part of 
Exhibit B a schedule showing annual overhead costs projected by major 
cost components associated with the smelter's operations. For each cost 
component, where appropriate, identify the forecast quantity and unit 
price elements of overhead costs and explain the basis for estimating 
these quantity and price elements. Also identify in the supporting 
schedule any differences in production overhead cost classifications 
used in this Schedule and Schedule A.3 and explain the reasons for such 
differences.
    Line 11--Other Production Costs. Report other forecast production 
costs not previously reported on Lines 06 through 10. Attach as part of 
Exhibit B supporting schedules showing the basis of the forecasts.
    Line 12--Total Cost of Sales. Enter for each year the sum of 
operating costs reported on Lines 06 through 11.
    Line 13--Gross Operating Profit. Enter for each year the difference 
between Lines 05 and 12.
    Line 14--Selling, General and Administrative Expenses. Report the 
total costs forecast for administrative, marketing and general corporate 
overhead functions that directly or indirectly support the smelter's 
operations. Refer to the NSO Financial Reporting Overview for a general 
discussion of indirect cost allocations from overhead cost pools. Attach 
as part of Exhibit B a schedule classifying selling, general and 
administrative expenses into major cost components. Indicate whether 
each component represents costs directly assignable to the smelter or 
indirect costs allocated from other business segments to the smelter. 
Explain the basis used for estimating the amount of expected costs 
included in each component and the basis used for allocating indirect 
cost elements to the smelter. Identify and explain any differences 
between the selling, general and administrative cost classification used 
in this Schedule and that used in Line 15 of Schedule A.3.
    Line 15--Taxes, Other than Income Taxes. Report the total costs 
forecast for property taxes and associated levies paid to governmental 
units by or for the benefits of the smelter operation. Attach as part of 
Exhibit B a schedule classifying operating taxes by major component. 
Indicate whether each component represents taxes directly assignable to 
the smelter or taxes that have been allocated among more than one 
facility. Explain the basis used for estimating taxes and the basis for 
any allocation of taxes to the

[[Page 127]]

smelter. Identify and explain any differences between the component 
classifications used in this Schedule and those used in Line 16 of 
Schedule A.3.
    Line 16--Research Costs. Report the estimates of research costs 
incurred directly by or for the benefit of the smelter operations. 
Attach as part of Exhibit B a schedule classifying the costs by major 
direct and indirect assigned components. Explain the basis for 
estimating the costs assigned to each component. Identify and explain 
any differences between classifications used in this Schedule and those 
used in Line 17 of Schedule A.3.
    Line 17--Pollution Control Facility Depreciation and Amortization. 
Report the estimates of depreciation and amortization charges associated 
with the smelter's actual and forecast investment in all pollution 
control equipment and facilities except any SO2 air pollution 
controls that have not been installed as of the NSO application date. 
Reported charges should be computed in accordance with depreciation and 
amortization methods adopted for certified financial statement reporting 
purposes by the firm. Attach explanatory supporting schedules as part of 
Exhibit B.
    Line 18--Other Smelter Facility Depreciation and Amortization. 
Report the pro forma estimates of depreciation and amortization charges 
associated with the smelter's investment in equipment and facilities 
other than those classified as pollution control facilities. Attach 
explanatory supporting schedules as part of Exhibit B.
    Line 19--Interests. Report the estimates of interest and other 
financing charges on the smelter's current and long-term liabilities. 
Attach as part of Exhibit B a schedule showing the interest-bearing debt 
contracts identifiable with the smelter's operations, the interest rate 
projected for these contracts, and the estimated annual interest 
charges.
    Line 20--Miscellaneous Operating Expenses. Report only the total 
operating expenses associated with or allocated to the smelter that 
cannot be appropriately classsified in one of the preceding line items. 
Attach as part of Exhibit B a schedule showing the classification of 
these residual operating expenses into major cost components. Explain 
the basis used for forecasting the cost under each component. Identify 
each cost component in terms of direct or indirect cost and explain the 
basis used for allocating the indirect costs to smelter operations. 
Identify and explain any differences between cost classifications 
included in this Schedule and those used in Line 21 of Schedule A.3.
    Line 21--Total Other Operating Expenses. Enter for each year the sum 
of operating costs reported on Lines 14 through 20.
    Line 22--Income From Operations. Enter for each year the difference 
between Lines 21 and 13.

            Schedule B.4--Constant Controls Revenue Forecast

General. Use Schedule B.4 to report annual forecasts of operating 
revenues anticipated during the years 1984 through 1990 from operation 
of the smelter subject to this NSO application. These constant controls 
revenue forecasts should be based on an assumption that the applicant 
immediately implements a program of additional pollution control 
facility investments sufficient to achieve full compliance with the 
smelter's SIP stack emission limitations for sulfur dioxide. Forecast 
smelter revenues should be expressed on a tolling service equivalent 
basis as described in Section 2.3.4.
    The assumed investment program should be based on whichever 
adequately demonstrated system, applicable to the smelter, that would be 
most economically beneficial subsequent to installation of the system. 
For this purpose, adequately demonstrated systems include those 
specified in Section 57.102(b)(1).
    Copper smelters that will process concentrates containing an average 
of 1,000 pounds per hour or more of arsenic during the forecast period 
should assume that they will use best engineering techniques to control 
fugitive emissions of arsenic. All smelters should also assume that they 
will be required to meet all other regulatory requirements in effect at 
the time the application is made.
    The line items in Schedule B.4 are explained in the following 
instructions. Attach as part of Exhibit B schedules to (1) explain the 
methods used to make the required forecasts, (2) explain differences, if 
any, between historical trends and the forecasts, and (3) provide data 
and information to support the forecasts.
    Lines 01 and 05--Concentrates Processed. Report for each year the 
forecast quantity of concentrates processed for unaffiliated parties 
(Line 01) and affiliated parties (Line 05).
    Lines 02 and 06--Smelting Charge. Report for each year the forecast 
smelting charge for unaffiliated parties (Line 02) and affiliated 
parties (Line 06). See Section 2.4 for forecast copper smelting charges 
furnished by EPA.
    Lines 03 and 07--Total Smelter Revenues. Report for each year the 
forecast total operating revenues derived from processing concentrates. 
The total for unaffiliated parties (Line 03) is equal to the product of 
Lines 01, 02, and 04, and for affiliated parties (Line 07), the product 
of Lines 05, 06, and 08.
    Lines 04 and 08--Average Product Grade. Report for each year the 
forecast average quality rating assigned to concentrates processed for 
unaffiliated parties (Line 04) and affiliated parties (Line 08).
    Line 09--Total Co-Product Revenues. Report for each year the 
forecast net revenues from

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sales of co-products derived from the smelter's operations. Attach as 
part of Exhibit B a schedule showing by individual type of co-product, 
the forecast quantity produced and sold, forecast market price per unit 
of sales, and forecast total revenues derived from the co-product sales.
    Line 10--Total By-product Revenues From Pollution Control 
Facilities. Report for each year forecast revenues from the sale of by-
products derived from operation of the smelter's pollution control 
facilities. Attach as part of Exhibit B a schedule showing by type of 
by-product produced (e.g., sulfuric acid) the forecast quantity of 
output, forecast market price per unit of output sold, and forecast 
total revenue derived from the by-product sales.
    Line 11--Total By-product Revenues From Other Smelter Processing. 
Report forecast revenues from the sales of gold, silver, and other by-
products derived from the smelter's operations. Attach as part of 
Exhibit B a schedule providing additional documentation as specified in 
the instructions for Line 10.
    Line 12--Total Co-product and By-product Revenues. Enter for each 
year the total of Lines 09 through 11.

              Schedule B.5--Constant Controls Cost Forecast

General. Use Schedule B.5 to report annual forecasts of operating costs 
anticipated during the years 1984 through 1990 from operation of the 
smelter subject to this NSO application. These constant controls cost 
forecasts should be based on an assumption that the applicant 
immediately implements a program of additional pollution control 
facility investments sufficient to achieve full compliance with the 
smelter's SIP stack emission limitations for sulfur dioxide.
    The assumed investment program should be based on whichever 
adequately demonstrated system, applicable to the smelter, would be most 
economically beneficial subsequent to installation of the system. For 
this purpose, adequately demonstrated systems include those specified in 
Sec. 57.102(b)(1).
    Copper smelters that will process concentrates containing an average 
of 1,000 pounds per hour or more of arsenic during the forecast period 
should assume that they will use best engineering techniques to control 
fugitive emissions of arsenic. All smelters should also assume that they 
will be required to meet all other regulatory requirements in effect at 
the time the application is made.
    The line items in Schedule B.5 are explained in the following 
instructions. Attach as part of Exhibit B schedules to (1) explain the 
methods used to make the required forecasts, (2) explain differences, if 
any, between historical trends and the forecasts, and (3) provide data 
and information to support the forecasts.
    Line 01--Direct Labor Hours. Report for each year the quantity of 
direct labor hours required to support the processing levels previously 
reported. Attach as part of Exhibit B an explanation of the labor 
productivity factors involved.
    Line 02--Average Hourly Wage Rate. Report for each year the forecast 
average wage rate per unit of direct labor input. Attach as part of 
Exhibit B a description of direct labor cost factors under any existing 
labor contracts that extend to the forecast period and an explanation of 
the methodology used to forecast wage rates. EPA-provided forecast wage 
indices are reported in Section 2.4.
    Line 03--Total Wage Payments. Enter for each year the product of 
Lines 01 and 02.
    Line 04--Supplemental Employee Benefits. Report for each year 
adjustments required to direct labor costs for other employee 
compensation under supplemental benefit plans. Attach as part of 
Exhibits B a description of such plans and their costs and an 
explanation of the methodology used to forecast such costs. EPA-provided 
forecast wage indices are reported in Section 2.4.
    Lines 05--Total Production Labor Cost. Enter for each year the total 
of Lines 03 and 04.
    Lines 06, 09, 12, 15 and 18--Energy Quantities. Report for each year 
the quantity of energy by type required to support the processing levels 
reported in the smelter's revenue. Attach as part of Exhibit B an 
explanation of energy characteristics and use factors considered in 
forecasting the smelter's future energy requirements.
    Lines 07, 10, 13, 16, and 19--Unit Prices. Report for each year the 
forecast price per unit of energy input by type of energy. Attach as 
part of Exhibit B a description of the energy price factors under any 
existing energy contracts that extend to the forecast period and an 
explanation of the methodology used to forecast unit energy prices. EPA-
provided forecast energy indices are reported in Section 2.4.
    Lines 08, 11, 14, 17, and 20--Total Payments. Enter for each year 
the products of quantity and prices paid for electricity (Lines 
06 x 07), natural gas (Lines 09 x 10), coal (Lines 12 x 13), fuel oil 
(Lines 15 x 16), and other (Lines 18 x 19).
    Lines 21--Total Energy Costs. Enter for each year the total of Lines 
08, 11, 14, 17, and 20.

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Schedule B.6--Constant Controls Forecast Profit and Loss Summary for the 
                         Profit Protection Test

General. Use Schedule B.6 to report annual forecasts of operating 
revenues and operating costs derived in Schedules B.4 and B.5 for the 
years 1984 through 1990. These constant controls forecasts should be 
based on an assumption that the applicant immediately implements a 
program of additional pollution control facility investments sufficient 
to achieve full compliance with the smelter's SIP stack emission 
limitations for sulfur dioxide. The transfer of line items from 
Schedules B.4 and B.5 to this Schedule is explained in the following 
instructions.
    Line 01--Smelter Revenues-Unaffiliated Parties. Enter the totals 
reported in Schedule B.4, Line 03.
    Line 02--Smelter Revenues-Affiliated Parties. Enter the totals 
reported in Schedule B.4, Line 07.
    Line 03--Co-product and By-product Sales Revenues. Enter the totals 
reported in Schedule B.4, Line 12.
    Line 04--Other Operating Revenues. Report operating revenues 
anticipated from sources not accounted for under Lines 01 through 03. 
Refer to instructions for Line 04 of Schedule A.3 for items that should 
not be included in ``Other Operating Revenues.'' Attach as part of 
Exhibit B a schedule showing annual amounts forecast by individual 
revenue component for ``other'' operating revenues associated with the 
smelter's forecast constant controls operations. Identify in the 
supporting schedule any differences in the ``other'' revenue components 
reported in this Schedule and Schedule A.3 and explain the reasons for 
such differences.
    Line 05--Total Operating Revenues. Enter for each year the total of 
Lines 01 through 04.
    Line 06--Material Costs. Report total costs forecast for flux, 
refractories, coke and other materials directly associated with the 
smelter's processing of concentrates. Attach as part of Exhibit B a 
schedule showing the annual amounts forecast by major material cost 
components. For each cost component, identify the forecast quantity and 
unit price elements of material cost and explain the basis for 
forecasting these quantity and price elements. Identify in the 
supporting schedule any differences in the ``other'' material cost 
components shown in this Schedule and Schedule A.3 and explain the 
reasons for such differences.
    Line 07--Production Labor Costs. Enter the totals reported in 
Schedule B.5, Line 05.
     Line 08--Energy Costs. Enter the totals reported in Schedule B.5, 
Line 21.
     Line 09--Pollution Control Costs. Report the total costs forecast 
for expenses identifiable with operation and maintenance of all 
pollution control equipment and facilities. By-product credits 
associated with operation of the pollution control facilities should be 
eliminated from the cost accounts, reclassified to Schedule B.4, Line 10 
and included in Line 03 of this Schedule. Attach a schedule as part of 
Exhibit B classifying pollution control costs by major cost components. 
Explain the basis used for estimating each of the cost components.
     Line 10--Production Overhead Costs. Report the total costs forecast 
for indirect labor, indirect materials and other production overhead 
costs associated with the smelter's constant controls forecasts. Attach 
as part of Exhibit B a schedule showing annual overhead costs projected 
by major cost components associated with the smelter's operations. For 
each cost component, where appropriate, identify the forecast quantity 
and unit price elements of overhead costs and explain the basis for 
estimating these quantity and price elements. Also identify in the 
supporting schedule any differences in production overhead cost 
classifications used in this Schedule and Schedule A.3 and explain the 
reasons for such differences.
     Line 11--Other Production Costs. Report other forecast production 
costs not previously reported on Lines 06 through 10. Attach as part of 
Exhibit B supporting schedules showing the basis of the forecasts.
     Line 12--Total Cost of Sales. Enter for each year the sum of 
operating costs reported on Lines 06 through 11.
     Line 13--Gross Operating Profit. Enter for each year the difference 
between Lines 05 and 12.
     Line 14--Selling, General and Administrative Expenses. Report the 
total costs forecast for administrative, marketing and general corporate 
overhead functions that directly or indirectly support the smelter's 
operations. Refer to the NSO financial Reporting Overview for a general 
discussion of indirect cost allocations from overhead cost pools. Attach 
as part of Exhibit B a schedule classifying selling, general and 
administrative expenses into major cost components. Indicate whether 
each component represents costs directly assignable to the smelter or 
indirect costs allocated from other business segments to the smelter. 
Explain the basis used for estimating the amount of expected costs 
included in each component and the basis used for allocating indirect 
cost elements to the smelter. Identify and explain any differences 
between the selling, general and administrative cost classification used 
in this Schedule and that used in Line 15 of Schedule A.3.
     Line 15--Taxes, Other than Income Taxes. Report the total costs 
forecast for property taxes and associated levies paid to governmental 
units by or for the benefit of the smelter operation. Attach as part of 
Exhibit B a schedule classifying operating taxes by major component. 
Indicate whether each component represents taxes directly assignable to 
the smelter or taxes that have been

[[Page 130]]

allocated among more than one facility. Explain the basis used for 
estimating taxes and the basis for any allocation of taxes to the 
smelter. Identify and explain any differences between the component 
classifications used in this Schedule and those used in Line 16 of 
Schedule A.3.
     Line 16--Research Costs. Report the estimates of research costs 
incurred directly by or for the benefit of the smelter operations. 
Attach as part of Exhibit B a schedule classifying the costs by major 
direct and indirect cost components. Explain the basis for estimating 
the costs assigned to each component. Identify and explain any 
differences between classifications used in this Schedule and those used 
in Line 17 of Schedule A.3.
     Line 17--Pollution Control Facility Depreciation and Amortization. 
Report the estimates of depreciation and amortization charges associated 
with the smelter's actual and forecast investment in all pollution 
control equipment and facilities. Reported charges should be completed 
in accordance with depreciation and amortization methods adopted for 
certified financial statement reporting purposes by the firm. Attach 
explanatory supporting schedules as part of Exhibit B.
     Line 18--Other Smelter Facility Depreciation and Amortization. 
Report the pro forma estimates of depreciation and amortization charges 
associated with the smelter's investment in equipment and facilities 
other than those classified as pollution control facilities. Attach 
explanatory supporting schedules as part of Exhibit B.
     Line 19--Interest. Report the estimates of interest and other 
financing charges on the smelter's current and long-term liabilities. 
Attach as part of Exhibit B a schedule showing the interest-bearing debt 
contracts identifiable with the smelter's operations, the interest rate 
projected for these contracts, and the estimated annual interest 
charges.
     Line 20--Miscellaneous Operating Expenses. Report only the total 
operating expenses associated with or allocated to the smelter that 
cannot be appropriately classified in one of the preceding line items. 
Attach as part of Exhibit B a schedule showing the classification of 
these residual operating expenses into major cost components. Explain 
the basis used for forecasting the cost under each component. Identify 
each cost component in terms of direct or indirect cost and explain the 
basis used for allocating the indirect costs to smelter operations. 
Identify and explain any differences between cost classifications 
included in this Schedule and those used in Line 21 of Schedule A.3.
     Line 21--Total Other Operating Expenses. Enter for each year the 
sum of operating costs reported on Lines 14 through 20.
     Line 22--Income From Operations. Enter for each year the difference 
between Lines 21 and 13.

                  Schedule B.7--Profit Protection Test

General. Applicants must complete this Schedule and/or Schedule C.4 and 
the accompanying schedules if they seek eligibility for an NSO. The line 
items in Schedule B.7 are explained in the following instructions.
    Line 01--Net Income from Operations. Enter for each year the amounts 
reported in Schedule B.3, Line 22.
    Line 02--Discount Factors. Enter the discount factor for each year, 
computed as described in the instructions under Section 2.6.
    Line 03--Present Value of Future Net Income. Enter for each year the 
product of Lines 01 and 02.
    Line 04--Horizon Value. Enter under the Total column, the estimated 
horizon value of the smelter. This shall be computed by capitalizing the 
forecast net income from operations in Line 01 as described in the 
instructions under Section 2.7.
    Line 05--Discount Factor. Enter under the Total column the 
appropriate discount factor corresponding to the weighted cost of 
capital, computed as described in the instructions under Section 2.6.
    Line 06--Present Value of Horizon Value. Enter under the Total 
column the product of Lines 04 and 05.
    Line 07--Present Value of Future Net Income. Enter under the Total 
Column the sum of amounts previously reported on Line 03 for 1984 
through 1990.
    Line 08--Total Present Value. Enter for each year the sum of Lines 
06 and 07.
    Line 09--Net Income from Operations. Enter for each year the amount 
reported in Schedule B.6, Line 22.
    Line 10--Discount Factors. Follow the instructions for Line 02.
    Line 11--Present Value of Future Net Income. Enter for each year the 
product of Lines 09 and 10.
    Line 12--Horizon Value. Enter under the Total column, the estimated 
horizon value of the smelter. This shall be computed by capitalizing the 
forecast net income from operations in Line 09 as described in the 
instructions under Section 2.7.
    Line 13--Discount Factor. Follow the instructions for Line 05.
    Line 14--Present Value of Horizon Value. Enter under the Total 
column the product of Lines 12 and 13.
    Line 15--Present Value of Future Net Income. Enter under the Total 
column the sum of amounts previously reported on Line 11 for 1984 
through 1990.
    Line 16--Total Present Value. Enter the sum of Lines 14 and 15.
    Line 17--Ratio for Total Present Value of Constant Controls Case to 
Total Present Value of Pre-Control Case. Enter the ratio of Lines 16 to 
08. If this ratio is less than .50, the smelter passes the Profit 
Protection Test.

[[Page 131]]

An applicant also passes the Profit Protection Test if the reported 
total present value of pre-tax profits for the pre-control case on Line 
08 is a negative value.

Schedule C.1--Constant Controls Forecast Profit and Loss Summary for the 
                           Rate of Return Test

General. Use Schedule C.1 to report forecast revenue and cost 
information derived in Schedules B.4 and B.5 for the years 1984 through 
1990. These constant controls forecasts should be based on an assumption 
that the applicant immediately implements a program of additional 
pollution control facility investments sufficient to achieve full 
compliance with the smelter's SIP stack emission limitations for sulfur 
dioxide. The transfer of line items from Schedules B.4 and B.5 to this 
Schedule is explained in the following instructions.
    Line 01--Smelter Revenues-Unaffiliated Parties. Enter the totals 
reported in Schedule B.4, Line 03.
    Line 02--Smelter Revenues-Affiliated Parties. Enter the totals 
reported in Schedule B.4, Line 07.
    Line 03--Co-product and By-product Sales Revenues. Enter the totals 
reported in Schedule B.4, Line 12.
    Line 04--Other Operating Revenues. Report operating revenues 
anticipated from sources not accounted for under Lines 01 through 03. 
Refer to instructions for Line 04 of Schedule A.3 for items that should 
not be included in ``Other Operating Revenues.'' Attach as part of 
Exhibit B a schedule showing annual amounts forecast by individual 
revenue component for ``other'' operating revenues associated with the 
smelter's forecast constant controls operations. Identify in the 
supporting schedule any differences in the ``other'' revenue components 
reported in this Schedule and Schedule A.3 and explain the reasons for 
such differences.
    Line 05--Total Operating Revenues. Enter for each year the total of 
Lines 01 through 04.
    Line 06--Material Costs. Report total costs forecast for flux, 
refractories, coke and other materials directly associated with the 
smelter's processing of concentrates. Attach as part of Exhibit B a 
schedule showing the annual amounts forecast by major material cost 
components. For each cost component, identify the forecast quantity and 
unit price elements of material cost and explain the basis for 
forecasting these quantity and price elements. Identify in the 
supporting schedule any differences in the ``other'' material cost 
components shown in this Schedule and Schedule A.3 and explain the 
reasons for such differences.
    Line 07--Production Labor Costs. Enter the totals reported in 
Schedule B.5, Line 05.
    Line 08--Energy Costs. Enter the totals reported in Schedule B.5, 
Line 21.
    Line 09--Pollution Control Costs. Report the total costs forecast 
for expenses identifiable with operation and maintenance of all 
pollution control equipment and facilities. By-product credits 
associated with operation of the pollution control facilities should be 
eliminated from the cost accounts, reclassified to Schedule B.4, Line 10 
and included in Line 03 of this Schedule. Attach a schedule as part of 
Exhibit B classifying pollution control costs by major cost components. 
Explain the basis used for estimating each of the cost components.
    Line 10--Production Overhead Costs. Report the total costs forecast 
for indirect labor, indirect materials and other production overhead 
costs associated with the smelter's constant controls forecasts. Attach 
as part of Exhibit B a schedule showing annual overhead costs projected 
by major cost components associated with the smelter's operations. For 
each cost component, where appropriate, identify the forecast quantity 
and unit price elements of overhead costs and explain the basis for 
estimating these quantity and price elements. Also identify in the 
supporting schedule any differences in production overhead cost 
classifications used in this Schedule and Schedule A.3 and explain the 
reasons for such differences.
    Line 11--Other Production Costs. Report other forecast production 
costs not previously reported on Lines 06 through 10. Attach as part of 
Exhibit B supporting schedules showing the basis of the forecasts.
    Line 12--Total Cost of Sales. Enter for each year the sum of 
operating costs reported on Lines 06 through 10.
    Line 13--Gross Operating Profit. Enter for each year the difference 
between Lines 05 and 12.
    Line 14--Selling, General and Administrative Expenses. Report the 
total costs forecast for administrative, marketing and general corporate 
overhead functions that directly or indirectly support the smelter's 
operations. Refer to the NSO Financial Reporting Overview for a general 
discussion of indirect cost allocations from overhead cost pools. Attach 
as part of Exhibit B a schedule classifying selling, general and 
administrative expenses into major cost components. Indicate whether 
each component represents costs directly assignable to the smelter or 
indirect costs allocated from other business segments to the smelter. 
Explain the basis used for estimating the amount of expected costs 
included in each component and the basis used for allocating indirect 
cost elements to the smelter. Identify and explain any differences 
between the selling, general and administrative cost classification used 
in this Schedule and that used in Line 15 of Schedule A.3.
    Line 15--Taxes, Other than Income Taxes. Report the total costs 
forecast for property taxes and associated levies paid to governmental 
units by or for the benefit of the

[[Page 132]]

smelter operation. Attach as part of Exhibit B a schedule classifying 
operating taxes by major component. Indicate whether each component 
represents taxes directly assignable to the smelter or taxes that have 
been allocated among more than one facility. Explain the basis used for 
estimating taxes and the basis for any allocation of taxes to the 
smelter. Identify and explain any differences between the component 
classifications used in this Schedule and those used in Line 16 of 
Schedule A.3.
    Line 16--Research Costs. Report the estimates of research costs 
incurred directly by or for the benefit of the smelter operations. 
Attach as part of Exhibit B a schedule classifying the costs by major 
direct and indirect costs components. Explain the basis for estimating 
the costs assigned to each component. Identify and explain any 
differences between classifications used in this Schedule and those used 
in Line 17 of Schedule A.3.
    Line 17--Pollution Control Facility Depreciation and Amortization. 
Report the estimates of depreciation and amortization charges associated 
with the smelter's actual and forecast investment in all pollution 
control equipment and facilities. Reported charges should be computed in 
accordance with depreciation and amortization methods adopted for tax 
reporting purposes by the firm. Attach explanatory supporting schedules 
as part of Exhibit B.
    Line 18--Other Smelter Facility Depreciation and Amortization. 
Report the pro forma estimates of depreciation and amortization charge 
associated with the smelter's investment in equipment and facilities 
other than those classified as pollution control facilities. Attach 
explanatory supporting schedules as part of Exhibit B.
    Line 19--Interest on Short-Term Debt. Report the estimates of 
interest and other financing charges on forecast short-term obligations 
as classified in the smelter's current liabilities on Schedule A.4. 
Interest and associated financing charges on long-term debt should not 
be included as an expense identifiable with the smelter's operations. 
Attach as part of Exhibit B a schedule showing the interest-bearing, 
short-term debt contracts identifiable with the smelter's operations, 
the interest rate projected for these contracts, and the estimated 
annual interest charges. Identify and explain any differences between 
the classifications used in this Schedule and those used in Line 20 of 
Schedule A.3.
    Line 20--Miscellaneous Operating Expenses. Report only the total 
operating expenses associated with or allocated to the smelter that 
cannot be appropriately classified in one of the preceding line items. 
Attach as part of Exhibit B a schedule showing the classification of 
these residual operating expenses into major cost components. Explain 
the basis used for forecasting the cost under each component. Identify 
each cost component in terms of direct or indirect cost and explain the 
basis used for allocating the indirect costs to smelter operations. 
Identify and explain any differences between cost classification 
included in this Schedule and those used in Line 21 of Schedule A.3.
    Line 21--Total Other Operating Expenses. Enter for each year the sum 
of operating costs reported on Lines 14 through 20.
    Line 22--Income From Operations. Enter for each year the difference 
between Lines 21 and 13.
    Line 23--Income Taxes. Enter the product of income from operations 
(Line 22) and the sum of the Federal, state and local marginal tax 
rates. Attach as part of Exhibit B a schedule detailing the estimated 
marginal tax rate by taxing entity.
    Line 24--Net Income From Operations. Enter for each year the 
difference between Lines 23 and 22.

 Schedule C.2--Constant Controls Sustaining Capital Investment Forecast

General. The applicant should estimate and report, in Schedule C.2, 
yearly sustaining capital outlays for maintenance of the smelter's 
existing productive capability. These estimates should be forecast under 
the assumption that full compliance with SIP emission limitations for 
SO2 will be achieved. Major elements of these outlays should be 
disclosed, as well as the total of such outlays. Estimates shall be 
restricted to those items that will be capitalized for tax purposes. 
These outlays shall primarily be for plant replacement, although outlays 
for improvements and expansion may be included to the extent that 
improvements and/or expansion, exclusive of required pollution control 
outlays, can be justified as economically feasible. Estimates of 
sustaining capital shall exclude any incremental investment for constant 
control requirements. Sustaining capital investments in facilities 
shared with other operating segments shall be allocated in accordance 
with the instructions given below.
    Estimates of sustaining capital shall be compatible with productive 
capacity and pollution control requirements underlying the operating 
revenue and cost forecasts incorporated in Schedule C.1.
    Lines 01 to 06--Sustaining Capital. Report for each year by 
individual line item property, plant and equipment sustaining capital 
investments assignable to smelter operations. Include both (1) property, 
plant and equipment directly associated with the smelter's operations 
and (2) facilities shared with other operating segments to the extent 
that a causal and beneficial relationship can be established for the 
intersegment allocations of such facility investments.

[[Page 133]]

    Attach as part of Exhibit B an explanatory schedule disclosing and 
supporting by individual line item the major elements of annual capital 
expenditures for sustaining capital. Further classify these annual 
capital expenditures into both (1) investments required to maintain the 
smelter versus investments in smelter expansion and improvements and (2) 
direct facility versus joint-use facility investments. Explain the 
method used for allocating capital expenditures on joint-use facilities 
to the smelter's operations.
    Line 07--Total Smelter Sustaining Capital. Enter for each year the 
total of Lines 01 through 06. Transfer the reported total for each year 
to Schedule C.4, Line 06.

     Schedule C.3--Historical Capital Investment In Constant Dollars

General. Use Schedule C.3 to report the end-of-period asset investments 
and current liabilities for the most recent fiscal year: (a) expressed 
in nominal dollars as of the date of the original transaction, and (b) 
expressed in the current year's dollars, i.e. 1984 dollars. The value of 
net investment in constant dollars (1984 dollars for smelters applying 
for an NSO in 1984) is used in Schedule C.4 as the benchmark of the Rate 
of Return Test.
    Applicants should complete Schedule C.3 according to the following 
instructions. Transfer into the first column of Schedule C.3 the 
historical cost figures that are reported in the last (1983) column of 
Table A.4. In the second column of Schedule C.3, report the figures from 
the first column of Schedule C.3, expressed in constant (1984) dollars.
    Convert each nominal dollar figure of the first column into constant 
(1984) dollars in accordance with the historical cost/constant dollar 
accounting method defined in Financial Accounting Standards Board (FASB) 
Statement No. 33 (Docket Item No. IV-A-6d), with the following 
exception: the applicant must not report the lower recoverable amount as 
required by FASB No. 33. Attach explanatory supporting schedules as part 
of Exhibit B.

                    Schedule C.4--Rate of Return Test

General. Applicants must complete this Schedule and/or Schedule B.7 and 
the accompanying schedules if they seek eligibility for an NSO. The line 
items in Schedule C.4 are explained in the following instructions.
    Line 01--Net Income from Operations. Enter for each year the amounts 
reported in Schedule C.1, Line 24.
    Lines 02 and 03--Depreciation and Amortization. Enter for each year 
the amounts reported in Schedule C.1, Lines 17 and 18, respectively.
    Line 04--Operating Cash Flow. Enter for each year the total of 
amounts reported on Lines 01 through 03.
    Line 05--Constant Controls Capital Investment. Enter the estimated 
capital outlays for constant controls for the years during which outlays 
would be made. These values shall correspond to the constant control 
investment estimates shown in the supporting schedules for Line 17 of 
Schedule C.1. Changes in working capital investment due to investment in 
constant controls facilities may be added to the capital investment 
estimates shown in the supporting schedules for Schedule C.1.
    Line 06--Sustaining Capital. Enter for each year the amounts 
reported in Schedule C.2, Line 07.
    Line 07--Total. Enter for each year the sum of Lines 05 and 06.
    Line 08--Net Cash Flow Projections. Enter for each year the 
difference between Lines 04 and 07.
    Line 09--Discount Factors. Enter the discount factor for each year, 
computed as described in the instructions under Section 2.6.
    Line 10--Present Value of Future Cash Flows. Enter for each year the 
product of Lines 08 and 09.
    Line 11--Horizon Value. Enter under the Total column the estimated 
horizon value of the smelter reported in Schedule C.5, Line 16.
    Line 12--Discount Factor. Enter under the Total column the 
appropriate discount factor, computed as described in the instructions 
under Section 2.6.
    Line 13--Present Value of Horizon Value. Enter under the Total 
column the product of Lines 11 and 12.
    Line 14--Present Value of Future Cash Flows. Enter under the Total 
column the sum of amounts previously reported on Line 10 for 1984 
through 1990.
    Line 15--Total Present Value. Enter the sum of Lines 13 and 14.
    Line 16--Net Smelter Capital Investment in Constant Dollars. Enter 
under the Total column the amount reported in the second (Constant 
Dollar) column of Schedule C.3, Line 26 if the value is greater than 
zero. If the value is zero or less, enter zero.
    Line 17--Net Present Value. Enter the difference between Lines 15 
and 16. Applicants reporting a negative net present value will pass the 
Rate of Return Test.

  Schedule C.5--Horizon Value of Cash Flows for the Rate of Return Test

General. The applicant should use Schedule C.5 to calculate the horizon 
value of net cash flow projections for the Rate of Return Test. This 
horizon value is used in Schedule C.4. The computation of the horizon 
value is different for this test than for the Profit Protection Test 
because this test requires the reporting of depreciation for tax 
purposes.
    In Schedule C.5, the applicant removes the tax savings of constant 
controls depreciation from the cash flows for the last two forecast 
years. A depreciation-free horizon value is

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then calculated from these depreciation-free cash flows. The tax savings 
of constant controls depreciation during the horizon years are then 
calculated separately. The final horizon value is equal to the sum of 
the depreciation-free horizon value and the tax savings from 
depreciation of constant controls accruing over the horizon years. The 
line items in Schedule C.5 are explained in the following instructions.
    Line 01--Net Cash Flow Projections. Enter for each of the final two 
forecast years the values in Schedule C.4, Line 08, for the 
corresponding years.
    Line 02--Depreciation and Amortization. Enter for each of the final 
two forecast years the value in Schedule C.4, Line 02, for the 
corresponding years.
    Line 03--Marginal Tax Rate. Enter for each of the final two forecast 
years the marginal income tax rate applicable to the smelter. This rate 
should incorporate both federal and state tax liability.
    Line 04--Tax Savings. Enter for each of the final two forecast years 
the product of Lines 02 and 03.
    Line 05--Nominal Dollar Values. Enter for each of the final two 
forecast years the difference between Lines 01 and 04.
    Line 06--1990 Dollar Values. For each of the final two forecast 
years the nominal dollar values must be expressed in the last forecast 
year's dollars (1990 dollars). Transfer the 1990 amount in Line 05 
directly to Line 06. Inflate the 1989 amount to 1990 dollars using the 
forecast GNP price deflator.
    Line 07--Average. Enter under the Total column the average of the 
two values in Line 06.
    Line 08--Horizon Factor. Enter under the Total column the horizon 
factor provided in Section 2.7.
    Line 09--Depreciation-free Horizon Value. Enter under the Total 
column the product of Lines 07 and 08.
    Line 10--Depreciation and Amortization. Enter for each year of the 
horizon period depreciation charges associated with the smelter's 
investment in equipment and facilities related to pollution controls. 
These investments should include those actually made and those required 
to be made by the end of the forecast period. Reported charges should be 
computed in accordance with depreciation and amortization methods 
adopted for tax reporting purposes by the firm. Attach as part of 
Exhibit B supporting schedules consistent with those supporting Line 17 
in Schedule C.1.
    Line 11--Marginal Tax Rate. Enter for each year of the horizon 
period the marginal income tax rate applicable to the smelter. This rate 
should incorporate both federal and state tax liability.
    Line 12--Tax Savings. Enter for each year of the horizon period the 
product of Lines 10 and 11.
    Line 13--Discount Factors. Enter the discount factor for each year 
of the horizon period. This shall be computed according to the 
instructions under Section 2.6, except that the variable N found in the 
discount factor formula represents the number of years in the future, 
counting from the last forecast year. For example, N=1 for the first 
year of the horizon period.
    Line 14--Present Value of Tax Savings. Enter for each year of the 
horizon period the product of Lines 12 and 13.
    Line 15--Total Present Value of Tax Savings. Enter under the Total 
column the sum of values on Line 14 for the horizon years.
    Line 16--Horizon Value. Enter under the Total column the sum of 
Lines 09 and 15.

             Schedule D.1--Interim Controls Revenue Forecast

General. Use Schedule D.1 to report annual forecasts of operating 
revenues anticipated during the years 1984 through 1990 from operation 
of the smelter applying for an interim controls waiver. The applicant 
applying for a permanent waiver should complete Schedule D.1 twice, with 
revenue and production projections based on two alternative assumptions: 
(1) Installation of interim constant control equipment, no installation 
of any additional SO2 controls that the smelter would otherwise be 
required to install but for the issuance of an NSO, and closure after 
January 1, 1988, and (2) installation of interim constant control 
equipment and any additional SO2 controls required to comply with 
the smelter's SIP emission limitation by January 2, 1988, so that the 
smelter will remain open through the horizon period. The applicant 
applying for a temporary waiver should use only the first assumption. 
For a smelter that has no continuous emission controls, the assumed 
interim control investment program should be based on the installation 
and operation of a well-designed sulfuric acid plant to treat all strong 
gas streams. For a smelter that already has some continuous emission 
controls, the assumed interim constant control investment should be 
based on the installation and operation of any additional acid plant 
capacity that would be necessary for treatment of all strong streams 
with interim constant controls. The interim controls projections should 
account for other regulatory requirements on the same basis as provided 
for in the NSO eligibility tests.
    Forecast smelter revenues should be expressed on a tolling service 
equivalent basis as described in Section 2.3.4. The line items in 
Schedule D.1 are explained in the following instructions. Attach as part 
of Exhibit B schedules to (1) explain the methods used to make the 
required forecasts, (2) explain differences, if any, between historical 
trends and the forecasts, and (3) provide data and information to 
support the forecasts.

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    Lines 01 and 05--Concentrates Processed. Report for each year the 
forecast quantity of concentrates processed for unaffiliated parties 
(Line 01) and affiliated parties (Line 05).
    Lines 02 and 06--Smelting Charge. Report for each year the forecast 
smelting charge for unaffiliated parties (Line 02) and affiliated 
parties (Line 06). See Section 2.4 for forecast copper smelting charges 
furnished by EPA.
    Lines 03 and 07--Total Smelter Revenues. Report for each year the 
forecast total operating revenues derived from processing concentrates. 
The total for unaffiliated parties (Line 03) is equal to the product of 
Lines 01, 02, and 04, and for affiliated parties (Line 07), the product 
of Lines 05, 06, and 08.
    Lines 04 and 08--Average Product Grade. Report for each year the 
forecast average quality rating assigned to concentrates processed for 
unaffiliated parties (Line 04) and affiliated parties (Line 08).
    Line 09--Total Co-Product Revenues. Report for each year the 
forecast net revenues from sales of co-products derived from the 
smelter's operations. Attach as part of Exhibit B a schedule showing by 
individual type of co-product the forecast quantity produced and sold, 
forecast market price per unit of sales, and forecast total revenues 
derived from the co-product sales.
    Line 10--Total By-product Revenues From Pollution Control 
Facilities. Report for each year forecast revenues from the sale of by-
products derived from operation of the smelter's pollution control 
facilities. Attach as part of Exhibit B a schedule showing by type of 
by-product produced (e.g., sulfuric acid) the forecast quantity of 
output, forecast market price per unit of output sold, and forecast 
total revenue derived from the by-product sales.
    Line 11--Total By-product Revenues From Other Smelter Processing. 
Report forecast revenues from the sales of gold, silver, and other by-
products derived from the smelter's operations. Attach as part of 
Exhibit B a schedule providing additional documentation as specified in 
the instructions for Line 10.
    Line 12--Total Co-product and By-product Revenues. Enter for each 
year the total of Lines 09 through 11.

              Schedule D.2--Interim Controls Cost Forecast

General. Use Schedule D.2 to report annual forecasts of operating costs 
anticipated during the years 1984 through 1990 from operation of the 
smelter applying for an interim controls waiver. The applicant applying 
for a permanent waiver should complete Schedule D.2 twice, with cost and 
production projections based on two alternative assumptions: (1) 
Installation of interim constant control equipment, no installation of 
any additional SO2 controls that the smelter would otherwise be 
required to install but for the issuance of an NSO, and closure after 
January 1, 1988, and (2) installation of interim constant control 
equipment and any additional SO2 controls required to comply with 
the smelter's SIP emission limitation by January 2, 1988, so that the 
smelter will remain open through the horizon period. For a smelter that 
has no continuous emission controls, the assumed interim control 
investment program should be based on the installation and operation of 
a well-designed sulfuric acid plant to treat all strong gas streams. For 
a smelter that already has some continuous emission controls, the 
assumed interim constant control investment should be based on the 
installation and operation of any additional acid plant capacity that 
would be necessary for treatment of all strong streams with interim 
constant controls. The interim controls projections should account for 
other regulatory requirements on the same basis as provided for in the 
NSO eligibility tests.
    The line items in Schedule D.2 are explained in the following 
instructions. Attach as part of Exhibit B schedules to (1) explain the 
methods used to make the required forecasts, (2) explain differences, if 
any, between historical trends and the forecasts, and (3) provide data 
and information to support the forecasts.
    Line 01--Direct Labor Hours. Report for each year the quantity of 
direct labor hours required to support the processing levels previously 
reported. Attach as part of Exhibit B an explanation of the labor 
productivity factors involved.
    Line 02--Average Hourly Wage Rate. Report for each year the forecast 
average wage rate per unit of direct labor input. Attach as part of 
Exhibit B a description of direct labor cost factors under any existing 
labor contracts that extend to the forecast period and an explanation of 
the methodology used to forecast wage rates. EPA-provided forecast wage 
indices are reported in Section 2.4.

[[Page 136]]

    Line 03--Total Wage Payments. Enter for each year the product of 
Lines 01 and 02.
    Line 04--Supplemental Employee Benefits. Report for each year 
adjustments required to direct labor costs for other employee 
compensation under supplemental benefit plans. Attach as part of Exhibit 
B a description of such plans and their costs and an explanation of the 
methodology used to forecast such costs. EPA-provided forecast wage 
indices are reported in Section 2.4.
    Line 05--Total Production Labor Costs. Enter for each year the total 
of Lines 03 and 04.
    Lines 06, 09, 12, 15, and 18--Energy Quantities. Report for each 
year the quantity of energy by type required to support the processing 
levels reported in the smelter's revenue. Attach as part of Exhibit B an 
explanation of energy characteristics and use factors considered in 
forecasting the smelter's future energy requirements.
    Lines 07, 10, 13, 16, and 19--Unit Prices. Report for each year the 
forecast price per unit of energy input by type of energy. Attach as 
part of Exhibit B a description of the energy price factors under any 
existing energy contracts that extend to the forecast period and an 
explanation of the methodology used to forecast unit energy prices. EPA-
provided forecast energy indices are reported in Section 2.4.
    Lines 08, 11, 14, 17, and 20--Total Payments. Enter for each year 
the products of quantity and prices paid for electricity (Lines 
06 x 07), natural gas (Lines 09 x 10), coal (Lines 12 x 13), fuel oil 
(Lines 15 x 16), and other (Lines 18 x 19).
    Line 21--Total Energy Costs. Enter for each year the total of Lines 
08, 11, 14, 17, and 20.

     Schedule D.3--Interim Controls Forecast Profit and Loss Summary

General. Use Schedule D.3 to report forecast revenue and cost 
information summed in Schedules D.1 and D.2 for the years 1984 through 
1990. Applicants applying for a permanent waiver must complete Schedule 
D.3 twice. Forecast revenues and costs in Schedule D.3 shall be 
compatible with productive capacity and pollution control assumptions 
underlying the operating revenue and cost forecasts incorporated into 
each set of Schedules D.1 and D.2. Applicants applying for a temporary 
waiver should use only the first assumption: installation of interim 
constant control equipment and no installation of any additional SO2 
controls that the smelter would otherwise be required to install but for 
the issuance of an NSO. The transfer of line items from Schedules D.1 
and D.2 to this Schedule is explained in the following instructions.
    Line 01--Smelter Revenues--Unaffiliated Parties. Enter the totals 
reported in Schedule D.1, Line 03.
    Line 02--Smelter Revenues-Affiliated Parties. Enter the totals 
reported in Schedule D.1, Line 07.
    Line 03--Co-product and By-product Sales Revenues. Enter the totals 
reported in Schedule D.1, Line 12.
    Line 04--Other Operating Revenues. Report operating revenues 
anticipated from sources not accounted for under Lines 01 through 03. 
Refer to instructions for Line 04 of Schedule A.3 for items that should 
not be included in ``Other Operating Revenues.'' Attach as part of 
Exhibit B a schedule showing annual amounts forecast by individual 
revenue component for ``other'' operating revenues associated with the 
smelter's forecast interim controls operations. Identify in the 
supporting schedule any differences in the ``other'' revenue components 
reported in this Schedule and Schedule A.3 and explain the reasons for 
such differences.
    Line 05--Total Operating Revenues. Enter for each year the total of 
Lines 01 through 04.
    Line 06--Material Costs. Report total costs forecast for flux, 
refractories, coke and other materials directly associated with the 
smelter's processing of concentrates. Attach as part of Exhibit B a 
schedule showing the annual amounts forecast by major material cost 
components. For each cost component, identify the forecast quantity and 
unit price elements of material cost and explain the basis for 
forecasting these quantity and price elements. Identify in the 
supporting schedule any differences in the ``other'' material cost 
components shown in this Schedule and Schedule A.3 and explain the 
reasons for such differences.
    Line 07--Production Labor Costs. Enter the totals reported in 
Schedule D.2, Line 05.
    Line 08--Energy Costs. Enter the totals reported in Schedule D.2, 
Line 21.
    Line 09--Pollution Control Costs. Report the total costs forecast 
for operation and maintenance of all pollution control equipment and 
facilities under the two alternative sets of assumptions made in 
corresponding Schedules D.1 and D.2. Byproduct credits associated with 
operation of the pollution control facilities should be eliminated from 
the cost accounts, reclassified to Schedule D.1, Line 10 and included in 
Line 03 of this Schedule. Attach a schedule as part of Exhibit B 
classifying pollution control costs by major cost components. Explain 
the basis used for estimating each of the cost components.
    Line 10--Production Overhead Costs. Report the total costs forecast 
for indirect labor, indirect materials and other production overhead 
costs associated with the smelter's constant controls forecasts. Attach 
as part of Exhibit B a schedule showing annual overhead costs projected 
by major cost components associated with the smelter's operations. For 
each cost component, where appropriate, identify the forecast quantity 
and unit price elements of overhead costs and explain the basis for 
estimating these quantity

[[Page 137]]

and price elements. Also identify in the supporting schedule any 
differences in production overhead cost classifications used in this 
Schedule and Schedule A.3 and explain the reasons for such differences.
    Line 11--Other Production Costs. Report other forecast production 
costs not previously reported on lines 06 through 10. Attach as part of 
Exhibit B supporting schedules showing the basis of the forecasts.
    Line 12--Total Cost of Sales. Enter for each year the sum of 
operating costs reported on Lines 06 through 11.
    Line 13--Gross Operating Profit. Enter for each year the difference 
between Lines 05 and 12.
    Line 14--Selling, General and Administrative Expenses. Report the 
total costs forecast for administrative, marketing and general corporate 
overhead functions that directly or indirectly support the smelter's 
operations. Refer to the NSO Financial Reporting Overview for general 
discussion of indirect cost allocations from overhead cost pools. Attach 
as part of Exhibit B a schedule classifying selling, general and 
administrative expenses into major cost components. Indicate whether 
each component represents costs directly assignable to the smelter or 
indirect costs allocated from other business segments to the smelter. 
Explain the basis used for estimating the amount of expected costs 
included in each component and the basis used for allocating indirect 
cost elements to the smelter. Identify and explain any differences 
between the selling, general and administrative cost classification used 
in this Schedule and that used in Line 15 of Schedule A.3.
    Line 15--Taxes, Other than Income Taxes. Report the total costs 
forecast for property taxes and associated levies paid to governmental 
units by or for the benefit of the smelter operation. Attach as part of 
Exhibit B a schedule classifying operating taxes by major component. 
Indicate whether each component represents taxes directly assignable to 
the smelter or taxes that have been allocated among more than one 
facility. Explain the basis used for estimating taxes and the basis for 
any allocation of taxes to the smelter. Identify and explain any 
differences between the component classifications used in this Schedule 
and those used in Line 16 of Schedule A.3.
    Line 16--Research Costs. Report the estimates of research costs 
incurred directly by or for the benefit of the smelter operations. 
Attach as part of Exhibit B a schedule classifying the costs by major 
direct and indirect cost components. Explain the basis for estimating 
the costs assigned to each component. Identify and explain any 
differences between classifications used in this Schedule and those used 
in Line 17 of Schedule A.3.
    Line 17--Pollution Control Facility Depreciation and Amortization. 
Report the estimates of depreciation and amortization charges associated 
with the smelter's actual and forecast investment in all pollution 
control equipment and facilities under the two alternative sets of 
assumptions made in corresponding Schedules D.1 and D.2. Reported 
charges should be computed in accordance with depreciation and 
amortization methods adopted for tax reporting purposes by the firm. 
Attach explanatory supporting schedules as part of Exhibit B.
    Line 18--Other Smelter Facility Depreciation and Amortization. 
Report the pro forma estimates of depreciation and amortization charges 
associated with the smelter's investment in equipment and facilities 
other than those classified as pollution control facilities. Attach 
explanatory supporting schedules as part of Exhibit B.
    Line 19--Interest on Short-Term Debt. Report the estimates of 
interest and other financing charges on forecast short-term obligations 
as classified in the smelter's current liabilities on Schedule A.4. 
Interest and associated financing charges on long-term debt should not 
be included as an expense identifiable with the smelter's operations. 
Attach as part of Exhibit B a schedule showing the interest-bearing, 
short-term debt contracts identifiable with the smelter's operations, 
the interest rate projected for these contracts, and the estimated 
annual interest charges. Identify and explain any differences between 
the classifications used in this Schedule and those used in Line 20 of 
Schedule A.3.
    Line 20--Miscellaneous Operating Expenses. Report only the total 
operating expenses associated with or allocated to the smelter that 
cannot be appropriately classified in one of the preceding line items. 
Attach as part of Exhibit B a schedule showing the classification of 
these residual operating expenses into major cost components. Explain 
the basis used for forecasting the cost under each component. Identify 
each cost component in terms of direct or indirect cost and explain the 
basis used for allocating the indirect costs to smelter operations. 
Identify and explain any differences between cost classifications 
included in this Schedule and those used in Line 21 of Schedule A.3.
    Line 21--Total Other Operating Expenses. Enter for each year the sum 
of operating costs reported on Lines 14 through 20.
    Line 22--Income From Operations. Enter for each year the difference 
between Lines 21 and 13.
    Line 23--Income Taxes. Enter the product of income from operations 
(Line 22) and the sum of the Federal, state and local marginal tax 
rates. Attach as part of Exhibit B a schedule detailing the estimated 
marginal tax rate by taxing entity.
    Line 24--Net Income From Operations. Enter for each year the 
difference between Lines 23 and 22.
    The temporary waiver from interim controls test is on Line 13 of 
Schedule D.3 that

[[Page 138]]

was completed under the assumption of installation of interim constant 
control equipment and no installation of any additional SO2 
controls that the smelter would otherwise be required to install but for 
the issuance of an NSO. Applicants will be eligible for a temporary 
waiver from the interim development of constant control technology for 
sulfur dioxide emissions if the reported gross operating profit on Line 
13 is a negative value for one or more years during which the NSO is in 
effect.

  Schedule D.4--Interim Controls Sustaining Capital Investment Forecast

General. Use Schedule D.4 to report yearly sustaining capital outlays 
for maintenance of the smelter's existing productive capability. The 
applicant should complete Schedule D.4 twice, under two alternative 
assumptions: (1) Installation of interim constant control equipment, no 
installation of any additional SO2 controls that the smelter would 
otherwise be required to install but for the issuance of an NSO, and 
closure after January 1, 1988, and (2) installation of interim constant 
equipment and any additional SO2 controls required to comply with 
the smelter's SIP emission limitation by January 2, 1988, so that the 
smelter will remain open through the horizon period.
    Major elements of these outlays should be disclosed, as well as the 
total of such outlays. Estimates shall be restricted to those items that 
will be capitalized for tax purposes. These outlays shall primarily be 
for plant replacement, although outlays for improvements and expansion 
may be included to the extent that improvements and/or expansion, 
exclusive of required pollution control outlays, can be justified as 
economically feasible. Estimates of sustaining capital investments shall 
exclude any incremental investment for sulfur dioxide emission controls 
reported in Line 06 of Schedule D.6. Sustaining capital investments in 
facilities shared with other operating segments shall be allocated in 
accordance with the instructions given below.
    Estimates of sustaining capital shall be compatible with productive 
capacity and pollution control requirements underlying the operating 
revenue and cost forecasts incorporated in Schedule D.3.
    Line 01 to 06--Sustaining Capital. Report for each year by 
individual line item property, plant and equipment sustaining capital 
investments assignable to smelter operations. Include both (1) property, 
plant and equipment directly associated with the smelter's operations 
and (2) facilities shared with other operating segments to the extent 
that a causal and beneficial relationship can be established for the 
intersegment allocations of such facility investments.
    Attach as part of Exhibit B an explanatory schedule disclosing and 
supporting by individual line item the major elements of annual capital 
expenditures for sustaining capital. Further classify these annual 
capital expenditures into both (1) investments required to maintain the 
smelter versus investments in smelter expansion and improvements and (2) 
direct facility versus joint-use facility investments. Explain the 
method used for allocating capital expenditures on joint-use facilities 
to the smelter's operations.
    Line 07--Total Smelter Sustaining Capital. Enter for each year the 
total of Lines 01 through 06. Transfer the reported total for each year 
to Schedule D.6, Line 06.

              Schedule D.5--Cash Proceeds From Liquidation

General. Use Schedule D.5 to calculate cash proceeds from liquidation. 
Applicants should determine the current salvage value of their existing 
investment in the smelter as the net proceeds that could be derived 
through an orderly liquidation of the smelter's assets. The net cash 
proceeds should be reported after an appropriate allowance for disposal 
costs, contractual claims against the smelter (e.g., labor termination 
penalties), and income tax effects on the corporation of such 
liquidation costs.
    The applicant must stipulate the most advantageous alternative 
market (use) for the smelter's facilities. Generally, this market will 
be:

    Secondary market for used plant and equipment.
    Sale for scrap.
    Abandonment where the disposal cost exceeds scrap value.

    The current net salvage value should be disaggregated into the same 
property, plant and equipment asset groups reported under the historical 
capital investment summary, Schedule A.4. The line items in Schedule D.5 
are explained in the following instructions.
    Line 01--Current Assets. Enter in Columns 1 and 2, the value of 
total current assets shown in Line 08 of Schedule A.4 (Historical 
Capital Investment Summary) for 1983. No gain or loss should be reported 
in Columns 3 through 5 for the liquidation of current asset investments.
    Lines 02-07--Property Plant and Equipment. Enter in Column 1 the 
appraised liquidation value (in terms of pretax cash proceeds) of the 
smelter by asset group. This estimate should be certified by a qualified 
third party professional appraiser and shall represent the best use and 
highest alternative value of these assets. The liquidation value of any 
assets which are jointly used by the smelter and other operating 
segments shall be excluded if, upon closure of the smelter, such assets 
would continue in service for the non-smelter activity.

[[Page 139]]

    In Column 2, report the net book value of these assets for which 
liquidation values have been reported in Column 1. The reported values 
should correspond with amounts reported for 1982 in lines 09 through 15 
in Schedule A.4 as adjusted for appropriate eliminations of joint-use 
facilities and reconciliation to a net book value as reported for income 
taxes. Attach as part of Exhibit B supporting schedules showing all 
adjustments and conversion of the net book value as reported on the 
financial statements, to net book value that would be used for income 
tax purposes.
    Compute Column 3 as Column 1 less Column 2. The gain (or loss) shown 
in Column 3 shall be segregated into ordinary income and capital gains 
components subject to taxation pursuant to applicable income tax rules. 
Enter ordinary income in Column 4 and capital gains in Column 5.
    Line 08--Total Smelter Investment. Enter the sum of Lines 02 through 
07 for each of the columns.
    Line 09--Other Non-current Assets. In Column 1, report the appraised 
value of other non-current assets in accordance with the instructions 
for Line 18, Schedule A.4, except that any joint asset(s) that would 
continue in the event of smelter liquidation shall be excluded. This 
estimate shall be certified by a qualified third-party professional 
appraiser.
    In Column 2, report the net book value of the non-current assets 
directly corresponding to those assets included in the liquidation value 
estimated under Column 1.
    The remaining columns shall be completed in accordance with the 
instructions given above for Lines 02 and 06.
    Line 10--Total Smelter Value. Enter the sum of Lines 01, 08 and 09.
    Line 11--Total Current Liabilities. Report in both Columns 1 and 2, 
the value of total current liabilities shown in Line 25 of Schedule A.4 
for 1983.
    Line 12--Gross Liquidation Value. Enter the difference between Lines 
10 and 11.
    Line 13--Liquidation Costs. In Columns 1, 3 and 4, report the value 
of any liquidation costs such as labor contract termination penalties, 
severance pay and related costs, associated with closure of the smelter.
    Line 14--Taxable Gain (or Loss). Enter in Columns 4 and 5, the 
differences between Lines 12 and 13.
    Line 15--Income Tax Rate. Enter the sum of the Federal, state and 
local marginal tax rates of the firm for ordinary income and capital 
gains in Columns 4 and 5, respectively. Attach as part of Exhibit B a 
schedule detailing the estimated marginal tax rate by taxing entity.
    Line 16--Income Tax on Gain (or Loss). In Columns 4 and 5, enter the 
product of Line 14 and the marginal income tax rates reported in Line 
15. In Column 1, enter the sum of Columns 4 and 5.
    Line 17--After Tax Cash Proceeds. Enter in Column 1 the difference 
between Line 12 and the sum of Lines 13 and 16.

        Schedule D.6--Permanent Waiver from Interim Controls Test

General. Applicants must complete this Schedule and its supporting 
schedules if they seek a permanent waiver from interim control 
requirements. The applicant should complete Schedule D.6 twice, with 
revenue and production projections based on two alternative assumptions: 
(1) Installation of interim constant control equipment, no installation 
of any additional SO2 controls that the smelter would otherwise be 
required to install but for the issuance of an NSO, and closure after 
January 1, 1988, and (2) installation of interim constant control 
equipment and any additional SO2 controls required to comply with 
the smelter's SIP emission limitation by January 2, 1988, so that the 
smelter will remain open through the horizon period. Forecasts in 
Schedule D.6 shall be compatible with assumptions and forecasts in each 
set of Schedules D.1 through D.4. The line items in Schedule D.6 are 
explained in the following instructions.
    Line 01--Net Income from Operations. Enter for each year the amounts 
reported in Schedule D.3, Line 24.
    Line 02--Net Income Adjustments. Enter any adjustments to net income 
not included in Schedule D.3. When assuming closure after January 1, 
1988, the applicant must include the proceeds from liquidation in 1988. 
The applicant must estimate liquidation value as of 1988 using one of 
two methods: (1) the applicant may complete Schedule D.5 assuming 
liquidation in 1988 and report the value of after-tax cash proceeds in 
Line 17; or (2) the applicant may use the value of after-tax cash 
proceeds in Line 17 of Schedule D.5, as already completed, assuming 
liquidation in the current (application) year, and expressing values in 
1988 dollars. The current liquidation value must be inflated to 1988 
dollars by applying the appropriate forecast percentage rate changes in 
the GNP price deflator. Attach explanatory supporting schedules in 
Exhibit B.
    Lines 03 and 04--Depreciation and Amortization. Enter for each year 
the amounts reported in Schedule D.3, Lines 17 and 18, respectively.
    Line 05--Operating Cash Flow. Enter for each year the total of 
amounts reported on Lines 01 through 04.
    Line 06--Pollution Controls Capital Investment. Enter the estimated 
pollution control capital outlays projected to be made under the two 
alternative sets of assumptions described in the General section of this 
schedule. These controls shall include only interim control equipment 
for the first set of

[[Page 140]]

assumptions and both interim control equipment and any additional 
SO2 controls required to comply with the smelter's SIP emission 
limitation by January 2, 1988, for the second set of assumptions. The 
values assumed in this schedule shall correspond to the investment 
estimates shown in each set of supporting schedules for Line 17 of 
Schedule D.3. For purposes of allocating costs of the additional 
SO2 controls under the second set of assumptions, applicants must 
provide information establishing the period over which capital outlays 
for such controls would be made if installation of the controls begins 
the latest date that would still allow compliance to be achieved by 
January 2, 1988. Changes in working capital investment due to investment 
in control facilities may be added to the capital investment estimates 
shown in the corresponding supporting schedules for Schedule D.3.
    Line 07--Sustaining Capital. Enter for each year the amounts 
reported in Schedule D.4, Line 07.
    Line 08--Total. Enter for each year the sum of Lines 05 and 06.
    Line 09--Net Cash Flow Projections. Enter for each year the 
difference between Lines 04 and 07.
    Line 10--Discount Factors. Enter the discount factor for each year, 
computed as described in the instructions under Section 2.6.
    Line 11--Present Value of Future Cash Flows. Enter for each year the 
product of Lines 08 and 09.
    Line 12--Horizon Value. Enter under the Total column the estimated 
horizon value of the smelter reported in Schedule D.7, Line 16.
    Line 13--Discount Factor. Enter under the Total column the 
appropriate discount factor, computed as described in the instructions 
under Section 2.6.
    Line 14--Present Value of Horizon Value. Enter under the Total 
column the product of Lines 11 and 12.
    Line 15--Present Value of Future Cash Flows. Enter under the Total 
column the sum of amounts previously reported on Line 10 for 1984 
through 1990.
    Line 16--Total Present Value. Enter the sum of Lines 13 and 14.
    Line 17--Current Salvage Value. Enter the amount reported in 
Schedule D.5, Line 17, if the value is greater than zero. If the value 
is zero or less, enter zero.
    Line 18--Net Present Value. Enter the difference between Lines 16 
and 17. In determining eligibility for a permanent waiver from interim 
control requirements, an applicant must use the higher of the two net 
present value figures computed under the two alternative assumptions. 
Applicants reporting a negative value for the higher net present value 
figure will be eligible for a permanent waiver from interim use of a 
constant control system for sulfur dioxide emissions.

 Schedule D.7--Horizon Value of Cash Flows for the Interim Controls Test

General. Use Schedule D.7 to calculate the horizon value of net cash 
flow projections for the Interim Controls Test. This horizon value is 
used in Schedule D.6. The computation of the horizon value is different 
for this test than for the Profit Protection Test because this test 
requires the reporting of depreciation for tax purposes.
    In Schedule D.7, the applicant removes the tax savings of control 
equipment depreciation from the cash flows for the last two forecast 
years. A depreciation-free horizon value is then calculated from these 
depreciation-free cash flows. The tax savings of constant controls 
depreciation during the horizon years are then calculated separately. 
The final horizon value is equal to the sum of the depreciation-free 
horizon value and the tax savings from depreciation of constant controls 
accruing over the horizon years. The line items in Schedule D.7 are 
explained in the following instruction.
    Line 01--Net Cash Flow Projections. Enter for each of the final two 
forecast years the values in Schedule D.6, Line 09, for the 
corresponding years.
    Line 02--Depreciation and Amortization. Enter for each of the final 
two forecast years the value in Schedule D.6, Line 03, for the 
corresponding years.
    Line 03--Marginal Tax Rate. Enter for each of the final two forecast 
years the marginal income tax rate applicable to the smelter. This rate 
should incorporate both federal and state tax liability.
    Line 04--Tax Savings. Enter for each of the final two forecast years 
the product of Lines 02 and 03.
    Line 05--Nominal Dollar Values. Enter for each of the final two 
forecast years the difference between Lines 01 and 04.
    Line 06--1990 Dollar Values. For each of the final two forecast 
years the nominal dollar values must be expressed in the last forecast 
year's dollars (1990 dollars). Transfer the 1990 amount in Line 05 
directly to Line 06. Inflate the 1989 amount to 1990 dollars using the 
forecast GNP price deflator.
    Line 07--Average. Enter under the Total column the average of the 
two values in Line 06.
    Line 08--Horizon Factor. Enter under the Total column the horizon 
factor provided in Section 2.7.
    Line 09--Depreciation-free Horizon Value. Enter under the Total 
column the product of Lines 07 and 08.
    Line 10--Depreciation and Amortization. Enter for each year of the 
horizon period depreciation charges associated with the smelter's 
investment in equipment and facilities related to pollution controls. 
These investments should include those actually made and those forecast 
to be made by the

[[Page 141]]

end of the forecast period. Reported charges should be computed in 
accordance with depreciation and amortization methods adopted for tax 
reporting purposes by the firm. Attach as part of exhibit B supporting 
schedules consistent with those supporting Line 17 in Schedule D.3.
    Line 11--Marginal Tax Rate. Enter for each year of the horizon 
period the marginal income tax rate applicable to the smelter. This rate 
should incorporate both federal and state tax liability.
    Line 12--Tax Savings. Enter for each year of the horizon period the 
product of Lines 10 and 11.
    Line 13--Discount Factors. Enter the discount factor for each year 
of the horizon period. This shall be computed according to the 
instructions under Section 2.6, except that the variable N found in the 
discount factor formula represents the number of years in the future, 
counting from the last forecast year. For example, N=1 for the first 
year of the horizon period.
    Line 14--Present Value of Tax Savings. Enter for each year of the 
horizon period the product of Lines 12 and 13.
    Line 15--Total Present Value of Tax Savings. Enter under the Total 
column the sum of values on Line 14 for the horizon years.
    Line 16--Horizon Value. Enter under the Total column the sum of 
Lines 09 and 15.

                     Environmental Protection Agency

              Primary Nonferrous Smelter Order Application

                   Part I--Identification Information

1. Firm name____________________________________________________________
2. Street/Box/RFD_______________________________________________________
3. City_________________________________________________________________
4. State________________________________________________________________
5. Zip Code_____________________________________________________________
6. IRS Employer Identification No.______________________________________
7. SEC 1934 Act Registration No.________________________________________
8. Smelter Name_________________________________________________________
9. Street/Box/RFD_______________________________________________________
10. City________________________________________________________________
11. State_______________________________________________________________
12. Zip Code____________________________________________________________
13. Contact Person______________________________________________________
14. Title_______________________________________________________________
15. Street/Box/RFD______________________________________________________
16. City________________________________________________________________
17. State_______________________________________________________________
18. Zip Code____________________________________________________________
19. Telephone___________________________________________________________

                         Part II--Certification

    I certify that the information provided herein and appended hereto 
is true and accurate to the best of my knowledge. I understand that this 
information is being required, in part, under the authority of Section 
114 of the Clean Air Act, 42 U.S.C. 7414.
Name____________________________________________________________________
Title___________________________________________________________________
Signature_______________________________________________________________
Date____________________________________________________________________

                                      Schedule A.1--Historical Revenue Data                                     
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                                              Line     1979     1980     1981     1982     1983 
----------------------------------------------------------------------------------------------------------------
A. Copper product sales:                                                                                        
    1. Total quantity sold................................       01  .......  .......  .......  .......  .......
    2. Unaffiliated customer sales:                                                                             
        a. Quantity sold..................................        2  .......  .......  .......  .......  .......
        b. Operating revenue..............................       03  .......  .......  .......  .......  .......
        c. Average unit price.............................       04  .......  .......  .......  .......  .......
        d. Average product grade..........................       05  .......  .......  .......  .......  .......
    3. Affiliated customers sales:                                                                              
        a. Quantity sold..................................       06  .......  .......  .......  .......  .......
        b. Operating revenue..............................       07  .......  .......  .......  .......  .......
        c. Average unit price.............................       08  .......  .......  .......  .......  .......
        d. Average product grade..........................       09  .......  .......  .......  .......  .......
    4. Adjusted copper revenues:                                                                                
        a. Total copper revenues..........................       10  .......  .......  .......  .......  .......
        b. Transfer price adjustment......................       11  .......  .......  .......  .......  .......
        c. Other revenue adjustments......................       12  .......  .......  .......  .......  .......
        d. Adjusted copper revenues.......................       13  .......  .......  .......  .......  .......
B. Lead product sales:                                                                                          
    1. Total quantity sold................................       14  .......  .......  .......  .......  .......
    2. Unaffiliated customer sales:                                                                             
        a. Quantity sold..................................       15  .......  .......  .......  .......  .......
        b. Operating revenue..............................       16  .......  .......  .......  .......  .......
        c. Average unit price.............................       17  .......  .......  .......  .......  .......
        d. Average product grade..........................       18  .......  .......  .......  .......  .......
    3. Affiliated customer sales:                                                                               
        a. Quantity sold..................................       19  .......  .......  .......  .......  .......
        b. Operating revenue..............................       20  .......  .......  .......  .......  .......
        c. Average unit price.............................       21  .......  .......  .......  .......  .......
        d. Average product grade..........................       22  .......  .......  .......  .......  .......

[[Page 142]]

                                                                                                                
    4. Adjusted lead revenues:                                                                                  
        a. Total lead revenues............................       23  .......  .......  .......  .......  .......
        b. Transfer price adjustment......................       24  .......  .......  .......  .......  .......
        c. Other revenue adjustments......................       25  .......  .......  .......  .......  .......
        d. Adjusted lead revenues.........................       26  .......  .......  .......  .......  .......
C. Zinc product sales:                                                                                          
    1. Total quantity sold................................       27  .......  .......  .......  .......  .......
    2. Unaffiliated customer sales:                                                                             
        a. Quantity sold..................................       28  .......  .......  .......  .......  .......
        b. Operating revenue..............................       29  .......  .......  .......  .......  .......
        c. Average unit price.............................       30  .......  .......  .......  .......  .......
        d. Average product grade..........................       31  .......  .......  .......  .......  .......
    3. Affiliated customer sales:                                                                               
        a. Quantity sold..................................       32  .......  .......  .......  .......  .......
        b. Operating revenue..............................       33  .......  .......  .......  .......  .......
        c. Average unit price.............................       34  .......  .......  .......  .......  .......
        d. Average product grade..........................       35  .......  .......  .......  .......  .......
    4. Adjusted zinc revenues:                                                                                  
        a. Total zinc revenues............................       36  .......  .......  .......  .......  .......
        b. Transfer price adjustment......................       37  .......  .......  .......  .......  .......
        c. Other revenue adjustments......................       38  .......  .......  .......  .......  .......
        d. Adjusted zinc revenues.........................       39  .......  .......  .......  .......  .......
D. Molybdenum or other nonferrous metal sales:                                                                  
    1. Total quantity sold................................       40  .......  .......  .......  .......  .......
    2. Unaffiliated customer sales:                                                                             
        a. Quantity sold..................................       41  .......  .......  .......  .......  .......
        b. Operating revenue..............................       42  .......  .......  .......  .......  .......
        c. Average unit price.............................       43  .......  .......  .......  .......  .......
        d. Average product grade..........................       44  .......  .......  .......  .......  .......
    3. Affiliated customer sales:                                                                               
        a. Quantity sold..................................       45  .......  .......  .......  .......  .......
        b. Operating revenue..............................       46  .......  .......  .......  .......  .......
        c. Average unit price.............................       47  .......  .......  .......  .......  .......
        d. Average product grade..........................       48  .......  .......  .......  .......  .......
    4. Adjusted molybdenum or other nonferrous metal                                                            
     revenues:                                                                                                  
        a. Total molybdenum or other nonferrous metal                                                           
         revenues.........................................       49  .......  .......  .......  .......  .......
        b. Transfer price adjustment......................       50  .......  .......  .......  .......  .......
        c. Other revenue adjustments......................       51  .......  .......  .......  .......  .......
        d. Adjusted molybdenum or other nonferrous metal                                                        
         revenues.........................................       52  .......  .......  .......  .......  .......
E. Primary metal revenues.................................       53  .......  .......  .......  .......  .......
F. Tolling service revenues:                                                                                    
    1. Total toll concentrates processed..................       54  .......  .......  .......  .......  .......
    2. Unaffiliated customer revenues:                                                                          
        a. Concentrates processed.........................       55  .......  .......  .......  .......  .......
        b. Operating revenue..............................       56  .......  .......  .......  .......  .......
        c. Average unit price.............................       57  .......  .......  .......  .......  .......
        d. Average product grade..........................       58  .......  .......  .......  .......  .......
    3. Affiliated customer revenues:                                                                            
        a. Concentrates processed.........................       59  .......  .......  .......  .......  .......
        b. Operating revenue..............................       60  .......  .......  .......  .......  .......
        c. Average unit price.............................       61  .......  .......  .......  .......  .......
        d. Average product grade..........................       62  .......  .......  .......  .......  .......
    4. Adjusted tolling service revenues:                                                                       
        a. Total tolling service revenue..................       63  .......  .......  .......  .......  .......
        b. Transfer price adjustment......................       64  .......  .......  .......  .......  .......
        c. Other revenue adjustments......................       65  .......  .......  .......  .......  .......
        d. Adjusted tolling service revenues..............       66  .......  .......  .......  .......  .......
G. Coproduct and byproduct sales:                                                                               
    1. Total coproduct revenues...........................       67  .......  .......  .......  .......  .......
    2. Total byproduct revenues:                                                                                
        a. Pollution control facilities...................       68  .......  .......  .......  .......  .......
        b. Other smelter processing.......................       69  .......  .......  .......  .......  .......
    3. Total coproduct and byproduct revenues.............       70  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


[[Page 143]]


                                       Schedule A.2--Historical Cost Data                                       
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                                              Line     1979     1980     1981     1982     1983 
----------------------------------------------------------------------------------------------------------------
A. Concentrate costs:                                                                                           
    1. Total quantity purchased...........................       01  .......  .......  .......  .......  .......
    2. Unaffiliated purchases:                                                                                  
        a. Quantity purchased.............................       02  .......  .......  .......  .......  .......
        b. Concentrate cost...............................       03  .......  .......  .......  .......  .......
        c. Average unit price.............................       04  .......  .......  .......  .......  .......
        d. Average concentrate grade......................       05  .......  .......  .......  .......  .......
    3. Affiliated purchases:                                                                                    
        a. Quantity purchased.............................       06  .......  .......  .......  .......  .......
        b. Concentrate cost...............................       07  .......  .......  .......  .......  .......
        c. Average unit price.............................       08  .......  .......  .......  .......  .......
        d. Average concentrate grade......................       09  .......  .......  .......  .......  .......
    4. Adjusted concentrate costs:                                                                              
        a. Total concentrate costs........................       10  .......  .......  .......  .......  .......
        b. Transfer price adjustment......................       11  .......  .......  .......  .......  .......
        c. Other cost adjustments.........................       12  .......  .......  .......  .......  .......
        d. Adjusted concentrate cost......................       13  .......  .......  .......  .......  .......
B. Production labor cost:                                                                                       
    1. Direct labor hours.................................       14  .......  .......  .......  .......  .......
    2. Average hourly wage rate...........................       15  .......  .......  .......  .......  .......
    3. Total wage payments................................       16  .......  .......  .......  .......  .......
    4. Supplemental employee benefits.....................       17  .......  .......  .......  .......  .......
    5. Total production labor cost........................       18  .......  .......  .......  .......  .......
C. Energy costs:                                                                                                
    1. Electricity:                                                                                             
        a. Quantity in kilowatt hours.....................       19  .......  .......  .......  .......  .......
        b. Price per kwh..................................       20  .......  .......  .......  .......  .......
        c. Total electricity payments.....................       21  .......  .......  .......  .......  .......
    2. Natural gas:                                                                                             
        a. Quantity in mcf................................       22  .......  .......  .......  .......  .......
        b. Price per mcf..................................       23  .......  .......  .......  .......  .......
        c. Total natural gas payments.....................       24  .......  .......  .......  .......  .......
    3. Coal:                                                                                                    
        a. Quantity in tons...............................       25  .......  .......  .......  .......  .......
        b. Price per ton..................................       26  .......  .......  .......  .......  .......
        c. Total coal payments............................       27  .......  .......  .......  .......  .......
    4. Fuel oil:                                                                                                
        a. Quantity in gallons............................       28  .......  .......  .......  .......  .......
        b. Price per gallon...............................       29  .......  .......  .......  .......  .......
        c. Total fuel oil payments........................       30  .......  .......  .......  .......  .......
    5. Other (specify):                                                                                         
        a. Quantity (specific units)......................       31  .......  .......  .......  .......  .......
        b. Price per unit.................................       32  .......  .......  .......  .......  .......
        c. Total payments.................................       33  .......  .......  .......  .......  .......
    6. Total energy costs.................................       34  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                                Schedule A.3--Historical Profit and Loss Summary                                
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                                              Line     1979     1980     1981     1982     1983 
----------------------------------------------------------------------------------------------------------------
A. Operating revenues:                                                                                          
    1. Primary metal sales................................       01  .......  .......  .......  .......  .......
    2. Coproduct and byproduct sales......................       02  .......  .......  .......  .......  .......
    3. Tolling service revenues...........................       03  .......  .......  .......  .......  .......
    4. Other operating revenues...........................       04  .......  .......  .......  .......  .......
    5. Total operating revenues...........................       05  .......  .......  .......  .......  .......
B. Cost of sales:                                                                                               
    1. Concentrates processed.............................       06  .......  .......  .......  .......  .......
    2. Other materials....................................       07  .......  .......  .......  .......  .......
    3. Production labor...................................       08  .......  .......  .......  .......  .......
    4. Energy costs.......................................       09  .......  .......  .......  .......  .......
    5. Pollution control cost.............................       10  .......  .......  .......  .......  .......
    6. Production overhead................................       11  .......  .......  .......  .......  .......
    7. Other production costs.............................       12  .......  .......  .......  .......  .......
    8. Total cost of sales................................       13  .......  .......  .......  .......  .......
C. Gross operating profit.................................       14  .......  .......  .......  .......  .......
D. Other operating expenses:                                                                                    
    1. Selling general and administrative.................       15  .......  .......  .......  .......  .......
                                                                                                                

[[Page 144]]

                                                                                                                
    2. Taxes, other than income tax.......................       16  .......  .......  .......  .......  .......
    3. Research costs.....................................       17  .......  .......  .......  .......  .......
    4. Depreciation and amortization:                                                                           
        a. Pollution control facilities...................       18  .......  .......  .......  .......  .......
        b. Other smelter facilities.......................       19  .......  .......  .......  .......  .......
    5. Interest on short term debt........................       20  .......  .......  .......  .......  .......
    6. Miscellaneous operating expenses...................       21  .......  .......  .......  .......  .......
    7. Total other operating expenses.....................       22  .......  .......  .......  .......  .......
E. Income from operations.................................       23  .......  .......  .......  .......  .......
F. Other income and (expense):                                                                                  
    1. Gain/(loss) on disposition of property.............       24  .......  .......  .......  .......  .......
    2. Miscellaneous other income and (expense)...........       25  .......  .......  .......  .......  .......
    3. Total other income and (expense)...................       26  .......  .......  .......  .......  .......
G. Net taxable income.....................................       27  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                               Schedule A.4--Historical Capital Investment Summary                              
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                                              Line     1979     1980     1981     1982     1983 
----------------------------------------------------------------------------------------------------------------
A. Current assets:                                                                                              
    1. Cash on hand and deposit...........................       01  .......  .......  .......  .......  .......
    2. Temporary cash investments.........................       02  .......  .......  .......  .......  .......
    3. Trade receivables, net:                                                                                  
        a. Unaffiliated customers.........................       03  .......  .......  .......  .......  .......
        b. Affiliated customers...........................       04  .......  .......  .......  .......  .......
    4. Inventories:                                                                                             
        a. Raw materials and products.....................       05  .......  .......  .......  .......  .......
        b. Other materials and supplies...................       06  .......  .......  .......  .......  .......
    5. Other current assets...............................       07  .......  .......  .......  .......  .......
    6. Total current assets...............................       08  .......  .......  .......  .......  .......
B. Property, plant and equipment:                                                                               
    1. Land...............................................       09  .......  .......  .......  .......  .......
    2. Buildings and improvements.........................       10  .......  .......  .......  .......  .......
    3. Machinery and equipment............................       11  .......  .......  .......  .......  .......
    4. Transportation equipment...........................       12  .......  .......  .......  .......  .......
    5. Pollution control facilities.......................       13  .......  .......  .......  .......  .......
    6. Other fixed assets.................................       14  .......  .......  .......  .......  .......
    7. Total smelter investment...........................       15  .......  .......  .......  .......  .......
    8. Less: Accumulated depreciation and amortization....       16  .......  .......  .......  .......  .......
    9. Net smelter investment.............................       17  .......  .......  .......  .......  .......
C. Other noncurrent assets................................       18  .......  .......  .......  .......  .......
D. Total smelter capital investment.......................       19  .......  .......  .......  .......  .......
E. Current liabilities:                                                                                         
    1. Trade accounts and notes payable:                                                                        
        a. Unaffiliated suppliers.........................       20  .......  .......  .......  .......  .......
        b. Affiliated suppliers...........................       21  .......  .......  .......  .......  .......
    2. Other expense accruals.............................       22  .......  .......  .......  .......  .......
    3. Notes payable, current.............................       23  .......  .......  .......  .......  .......
    4. Other current liabilities..........................       24  .......  .......  .......  .......  .......
    5. Total current liabilities..........................       25  .......  .......  .......  .......  .......
F. Net smelter capital investment.........................       26  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                                   Schedule B.1--Pre-Control Revenue Forecast                                   
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990 
----------------------------------------------------------------------------------------------------------------
A. Forecast smelter revenues--                                                                                  
 unaffiliated parties:                                                                                          
    1. Concentrates processed...........       01  .......  .......  .......  .......  .......  .......  .......
    2. Smelting charge..................       02  .......  .......  .......  .......  .......  .......  .......
    3. Total smelter revenues...........       03  .......  .......  .......  .......  .......  .......  .......
    4. Average product grade............       04  .......  .......  .......  .......  .......  .......  .......
B. Forecast smelter revenues--affiliated                                                                        
 parties:                                                                                                       
    1. Concentrates processed...........       05  .......  .......  .......  .......  .......  .......  .......
    2. Smelting charge..................       06  .......  .......  .......  .......  .......  .......  .......
                                                                                                                

[[Page 145]]

                                                                                                                
    3. Total smelter revenues...........       07  .......  .......  .......  .......  .......  .......  .......
    4. Average product grade............       08  .......  .......  .......  .......  .......  .......  .......
C. Forecast co-product and by-product                                                                           
 sales:                                                                                                         
    1. Total co-product revenues........       09  .......  .......  .......  .......  .......  .......  .......
    2. Total by-product revenues from:                                                                          
        a. Pollution control facilities.       10  .......  .......  .......  .......  .......  .......  .......
        b. Other smelter processing.....       11  .......  .......  .......  .......  .......  .......  .......
    3. Total co-product and by-product                                                                          
     revenues...........................       12  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                                     Schedule B.2--Pre-Control Cost Forecast                                    
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990 
----------------------------------------------------------------------------------------------------------------
A. Forecast production labor cost:                                                                              
    1. Direct labor hours...............       01  .......  .......  .......  .......  .......  .......  .......
    2. Average hourly wage rate.........       02  .......  .......  .......  .......  .......  .......  .......
    3. Total wage payments..............       03  .......  .......  .......  .......  .......  .......  .......
    4. Supplemental employee benefits...       04  .......  .......  .......  .......  .......  .......  .......
    5. Total production labor cost......       05  .......  .......  .......  .......  .......  .......  .......
B. Forecast energy costs:                                                                                       
    1. Electricity:                                                                                             
        a. Quantity in kilowatt hours...       06  .......  .......  .......  .......  .......  .......  .......
        b. Price per kwh................       07  .......  .......  .......  .......  .......  .......  .......
        c. Total electricity payments...       08  .......  .......  .......  .......  .......  .......  .......
    2. Natural gas:                                                                                             
        a. Quantity in mcf..............       09  .......  .......  .......  .......  .......  .......  .......
        b. Price per mcf................       10  .......  .......  .......  .......  .......  .......  .......
        c. Total natural gas payments...       11  .......  .......  .......  .......  .......  .......  .......
    3. Coal:                                                                                                    
        a. Quantity in tons.............       12  .......  .......  .......  .......  .......  .......  .......
        b. Price per ton................       13  .......  .......  .......  .......  .......  .......  .......
        c. Total coal payments..........       14  .......  .......  .......  .......  .......  .......  .......
    4. Fuel oil:                                                                                                
        a. Quantity in gallons..........       15  .......  .......  .......  .......  .......  .......  .......
        b. Price per gallon.............       16  .......  .......  .......  .......  .......  .......  .......
        c. Total fuel oil payments......       17  .......  .......  .......  .......  .......  .......  .......
    5. Other (specify):                                                                                         
        a. Quantity (specific units)....       18  .......  .......  .......  .......  .......  .......  .......
        b. Price per unit...............       19  .......  .......  .......  .......  .......  .......  .......
        c. Total payments...............       20  .......  .......  .......  .......  .......  .......  .......
    6. Total energy costs...............       21  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                           Schedule B.3--Pre-Control Forecast Profit and Loss Summary                           
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990 
----------------------------------------------------------------------------------------------------------------
A. Forecast operating revenues:                                                                                 
    1. Smelter revenues--unaffiliated                                                                           
     parties............................       01  .......  .......  .......  .......  .......  .......  .......
    2. Smelter revenues--affiliated                                                                             
     parties............................       02  .......  .......  .......  .......  .......  .......  .......
    3. Co-product and by-product sales..       03  .......  .......  .......  .......  .......  .......  .......
    4. Other operating revenues.........       04  .......  .......  .......  .......  .......  .......  .......
    5. Total operating revenues.........       05  .......  .......  .......  .......  .......  .......         
B. Forecast cost of sales:                                                                                      
    1. Material costs...................       06  .......  .......  .......  .......  .......  .......  .......
    2. Production labor costs...........       07  .......  .......  .......  .......  .......  .......         
    3. Energy costs.....................       08  .......  .......  .......  .......  .......  .......  .......
    4. Pollution control costs..........       09  .......  .......  .......  .......  .......  .......  .......
    5. Production overhead..............       10  .......  .......  .......  .......  .......  .......  .......
    6. Other production costs...........       11  .......  .......  .......  .......  .......  .......  .......
    7. Total cost of sales..............       12  .......  .......  .......  .......  .......  .......  .......
C. Forecast gross operating profit......       13  .......  .......  .......  .......  .......  .......  .......
D. Forecast other operating expenses:                                                                           
    1. Selling, general and                                                                                     
     administrative expenses............       14  .......  .......  .......  .......  .......  .......  .......
    2. Taxes, other than income tax.....       15  .......  .......  .......  .......  .......  .......  .......
                                                                                                                

[[Page 146]]

                                                                                                                
    3. Research costs...................       16  .......  .......  .......  .......  .......  .......  .......
    4. Depreciation and amortization:                                                                           
        a. Pollution control facilities.       17  .......  .......  .......  .......  .......  .......  .......
        b. Other smelter facilities.....       18  .......  .......  .......  .......  .......  .......  .......
    5. Interest.........................       19  .......  .......  .......  .......  .......  .......  .......
    6. Miscellaneous operating expenses.       20  .......  .......  .......  .......  .......  .......  .......
    7. Total other operating expenses...       21  .......  .......  .......  .......  .......  .......  .......
E. Forecast income from operations......       22  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                                Schedule B.4--Constant Controls Revenue Forecast                                
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990 
----------------------------------------------------------------------------------------------------------------
A. Forecast smelter revenues--                                                                                  
 unaffiliated parties:                                                                                          
    1. Concentrates processed...........       01  .......  .......  .......  .......  .......  .......  .......
    2. Smelting charge..................       02  .......  .......  .......  .......  .......  .......  .......
    3. Total smelter revenues...........       03  .......  .......  .......  .......  .......  .......  .......
    4. Average product grade............       04  .......  .......  .......  .......  .......  .......  .......
B. Forecast smelter revenues--affiliated                                                                        
 parties:                                                                                                       
    1. Concentrates processed...........       05  .......  .......  .......  .......  .......  .......  .......
    2. Smelting charge..................       06  .......  .......  .......  .......  .......  .......  .......
    3. Total smelter revenues...........       07  .......  .......  .......  .......  .......  .......  .......
    4. Average product grade............       08                                                               
C. Forecast co-product and by-product                                                                           
 sales:                                                                                                         
    1. Total co-product revenues........       09  .......  .......  .......  .......  .......  .......  .......
    2. Total by-product revenues from:                                                                          
        a. Pollution control faciltites.       10  .......  .......  .......  .......  .......  .......  .......
        b. Other smelter processing.....       11  .......  .......  .......  .......  .......  .......  .......
    3. Total co-product and by-product                                                                          
     revenues...........................       12  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                                  Schedule B.5--Constant Controls Cost Forecast                                 
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990 
----------------------------------------------------------------------------------------------------------------
A. Forecast production labor cost:                                                                              
    1. Direct labor hours...............       01  .......  .......  .......  .......  .......  .......  .......
    2. Average hourly wage rate.........       02  .......  .......  .......  .......  .......  .......  .......
    3. Total wage payments..............       03  .......  .......  .......  .......  .......  .......  .......
    4. Supplemental employee benefits...       04  .......  .......  .......  .......  .......  .......  .......
    5. Total production labor cost......       05  .......  .......  .......  .......  .......  .......  .......
B. Forecast energy costs:                                                                                       
    1. Electricity:                                                                                             
        a. Quantity in kilowatt hours...       06  .......  .......  .......  .......  .......  .......  .......
        b. Price per kwh................       07  .......  .......  .......  .......  .......  .......  .......
        c. Total electricity payments...       08  .......  .......  .......  .......  .......  .......  .......
    2. Natural gas:                                                                                             
        a. Quantity in mcf..............       09  .......  .......  .......  .......  .......  .......  .......
        b. Price per mcf................       10  .......  .......  .......  .......  .......  .......  .......
        c. Total natural gas payments...       11  .......  .......  .......  .......  .......  .......  .......
    3. Coal:                                                                                                    
        a. Quantity in tons.............       12  .......  .......  .......  .......  .......  .......  .......
        b. Price per ton................       13  .......  .......  .......  .......  .......  .......  .......
        c. Total coal payments..........       14  .......  .......  .......  .......  .......  .......  .......
    4. Fuel oil:                                                                                                
        a. Quantity in gallons..........       15  .......  .......  .......  .......  .......  .......  .......
        b. Price per gallon.............       16  .......  .......  .......  .......  .......  .......  .......
        c. Total fuel oil payments......       17  .......  .......  .......  .......  .......  .......  .......
    5. Other (specify):                                                                                         
        a. Quantity (specific units)....       18  .......  .......  .......  .......  .......  .......  .......
        b. Price per unit...............       19  .......  .......  .......  .......  .......  .......  .......
        c. Total payments...............       20  .......  .......  .......  .......  .......  .......  .......
    6. Total energy costs...............       21  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


[[Page 147]]


             Schedule B.6--Constant Controls Profit and Loss Summary for the Profit Protection Test             
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990 
----------------------------------------------------------------------------------------------------------------
A. Forecast operating revenues:                                                                                 
    1. Smelter revenues--unaffiliated                                                                           
     parties............................       01  .......  .......  .......  .......  .......  .......  .......
    2. Smelter revenues--affiliated                                                                             
     parties............................       02  .......  .......  .......  .......  .......  .......  .......
    3. Co-product and by-product sales..       03  .......  .......  .......  .......  .......  .......  .......
    4. Other operating revenues.........       04  .......  .......  .......  .......  .......  .......  .......
    5. Total operating revenues.........       05  .......  .......  .......  .......  .......  .......  .......
B. Forecast cost of sales:                                                                                      
    1. Material costs...................       06  .......  .......  .......  .......  .......  .......  .......
    2. Production labor costs...........       07  .......  .......  .......  .......  .......  .......  .......
    3. Energy costs.....................       08  .......  .......  .......  .......  .......  .......  .......
    4. Pollution control costs..........       09  .......  .......  .......  .......  .......  .......  .......
    5. Production overhead..............       10  .......  .......  .......  .......  .......  .......  .......
    6. Other production costs...........       11  .......  .......  .......  .......  .......  .......  .......
    7. Total cost of sales..............       12  .......  .......  .......  .......  .......  .......  .......
C. Forecast gross operating profit......       13  .......  .......  .......  .......  .......  .......  .......
D. Forecast other operating expenses:                                                                           
    1. Selling, general and                                                                                     
     administrative expenses............       14  .......  .......  .......  .......  .......  .......  .......
    2. Taxes, other than income tax.....       15  .......  .......  .......  .......  .......  .......  .......
    3. Research costs...................       16  .......  .......  .......  .......  .......  .......  .......
    4. Depreciation and amortization:                                                                           
        a. Pollution control facilities.       17  .......  .......  .......  .......  .......  .......  .......
        b. Other smelter facilities.....       18  .......  .......  .......  .......  .......  .......  .......
    5. Interest.........................       19  .......  .......  .......  .......  .......  .......  .......
    6. Miscellaneous operating expenses.       20  .......  .......  .......  .......  .......  .......  .......
    7. Total other operating expenses...       21  .......  .......  .......  .......  .......  .......  .......
E. Forecast income from operations......       22  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                                      Schedule B.7--Profit Protection Test                                      
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                   Line     1984     1985     1986     1987     1988     1989     1990    Total 
----------------------------------------------------------------------------------------------------------------
A. Pre-control case:                                                                                            
    1. Net income from                                                                                          
     operations................       01  .......  .......  .......  .......  .......  .......  .......     XXXX
    2. Discount factors........       02  .......  .......  .......  .......  .......  .......  .......     XXXX
    3. Present value of future                                                                                  
     net income................       03  .......  .......  .......  .......  .......  .......  .......     XXXX
    4. Horizon value...........       04     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    5. Discount factor.........       05     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    6. Present value of horizon                                                                                 
     value.....................       06     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    7. Present value of future                                                                                  
     net income................       07     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    8. Total present value.....       08     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
B. Constant controls case:                                                                                      
    1. Net income from                                                                                          
     operations................       09  .......  .......  .......  .......  .......  .......  .......     XXXX
    2. Discount factors........       10  .......  .......  .......  .......  .......  .......  .......     XXXX
    3. Present value of future                                                                                  
     net income................       11  .......  .......  .......  .......  .......  .......  .......     XXXX
    4. Horizon value...........       12     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    5. Discount factor.........       13     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    6. Present value of horizon                                                                                 
     value.....................       14     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    7. Present value of future                                                                                  
     net income................       15     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    8. Total present value.....       16     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
C. Ratio of total present value                                                                                 
 of constant controls case to                                                                                   
 total, present value of base                                                                                   
 case..........................       17     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
----------------------------------------------------------------------------------------------------------------


[[Page 148]]


               Schedule C.1--Constant Controls Profit and Loss Summary for the Rate of Return Test              
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990 
----------------------------------------------------------------------------------------------------------------
A. Forecast operating revenues:                                                                                 
    1. Smelter revenues--unaffilated                                                                            
     parties............................       01  .......  .......  .......  .......  .......  .......  .......
    2. Smelter revenues--affiliated                                                                             
     parties............................       02  .......  .......  .......  .......  .......  .......  .......
    3. Co-product and by-product sales..       03  .......  .......  .......  .......  .......  .......  .......
    4. Other operating revenues.........       04  .......  .......  .......  .......  .......  .......  .......
    5. Total operating revenues.........       05  .......  .......  .......  .......  .......  .......  .......
B. Forecast cost of sales:                                                                                      
    1. Material costs...................       06  .......  .......  .......  .......  .......  .......  .......
    2. Production labor costs...........       07  .......  .......  .......  .......  .......  .......  .......
    3. Energy costs.....................       08  .......  .......  .......  .......  .......  .......  .......
    4. Pollution control costs..........       09  .......  .......  .......  .......  .......  .......  .......
    5. Production overhead..............       10  .......  .......  .......  .......  .......  .......  .......
    6. Other production costs...........       11  .......  .......  .......  .......  .......  .......  .......
    7. Total cost of sales..............       12  .......  .......  .......  .......  .......  .......  .......
C. Forecast gross operating profit......       13  .......  .......  .......  .......  .......  .......  .......
D. Forecast other operating expenses:                                                                           
    1. Selling, general and                                                                                     
     administrative expenses............       14  .......  .......  .......  .......  .......  .......  .......
    2. Taxes, other than income tax.....       15  .......  .......  .......  .......  .......  .......  .......
    3. Research costs...................       16  .......  .......  .......  .......  .......  .......  .......
    4. Depreciation and amortization                                                                            
        a. Pollution control facilities.       17  .......  .......  .......  .......  .......  .......  .......
        b. Other smelter facilities.....       18  .......  .......  .......  .......  .......  .......  .......
    5. Interest on short-term debt......       19  .......  .......  .......  .......  .......  .......  .......
    6. Miscellaneous operating expenses.       20  .......  .......  .......  .......  .......  .......  .......
    7. Total other operating expenses...       21  .......  .......  .......  .......  .......  .......  .......
E. Forecast income from operations......       22  .......  .......  .......  .......  .......  .......  .......
F. Forecast income taxes................       23  .......  .......  .......  .......  .......  .......  .......
G. Forecast net income from operations..       24  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                     Schedule C.2--Constant Controls Sustaining Capital Investment Forecast                     
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
           Sustaining capital               Line     1984     1985     1986     1987     1988     1989     1990 
----------------------------------------------------------------------------------------------------------------
1. Land.................................       01  .......  .......  .......  .......  .......  .......  .......
2. Buildings and improvements...........       02  .......  .......  .......  .......  .......  .......  .......
2. Machinery and equipment..............       03  .......  .......  .......  .......  .......  .......  .......
4. Transportation equipment.............       04  .......  .......  .......  .......  .......  .......  .......
5. Pollution control facilities.........       05  .......  .......  .......  .......  .......  .......  .......
6. Other fixed assets...................       06  .......  .......  .......  .......  .......  .......  .......
7. Total smelter sustaining capital.....       07  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                         Schedule C.3--Historical Capital Investment in Constant Dollars                        
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                                                                             Nominal    Constant
                         Items from 1983 balance sheet                              Line     dollars    dollars 
----------------------------------------------------------------------------------------------------------------
A. Current assets:                                                                                              
    1. Cash on hand and deposit................................................         01  .........  .........
    2. Temporary cash investments..............................................         02  .........  .........
    3. Trade receivables, net:                                                                                  
        a. Unaffiliated customers..............................................         03  .........  .........
        b. Affiliated customers................................................         04  .........  .........
    4. Inventories:                                                                                             
        a. Raw materials and products..........................................         05  .........  .........
        b. Other materials and supplies........................................         06  .........  .........
    5. Other current assets....................................................         07  .........  .........
    6. Total current assets....................................................         08  .........  .........
B. Property, plant and equipment:                                                                               
    1. Land....................................................................         09  .........  .........
    2. Buildings and improvements..............................................         10  .........  .........
    3. Machinery and equipment.................................................         11  .........  .........
    4. Transportation equipment................................................         12  .........  .........
    5. Pollution control facilities............................................         13  .........  .........
                                                                                                                

[[Page 149]]

                                                                                                                
    6. Other fixed assets......................................................         14  .........  .........
    7. Total smelter investments...............................................         15  .........  .........
    8. Less: Accumulated depreciation and amortization.........................         16  .........  .........
    9. Net smelter investment..................................................         17  .........  .........
C. Other noncurrent assets.....................................................         18  .........  .........
D. Total smelter capital investment............................................         19  .........  .........
E. Current liabilities:                                                                                         
    1. Trade accounts and notes payable:                                                                        
        a. Unaffiliated suppliers..............................................         20  .........  .........
        b. Affiliated suppliers................................................         21  .........  .........
    2. Other expense accruals..................................................         22  .........  .........
    3. Notes payable, current..................................................         23  .........  .........
    4. Other current liabilities...............................................         24  .........  .........
    5. Total current liabilities...............................................         25  .........  .........
F. Net smelter capital investment..............................................         26  .........  .........
----------------------------------------------------------------------------------------------------------------


                                        Schedule C.4--Rate of Return Test                                       
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                   Line     1984     1985     1986     1987     1988     1989     1990    Total 
----------------------------------------------------------------------------------------------------------------
A. Operating cash flow                                                                                          
 projection:                                                                                                    
    1. Net income from                                                                                          
     operations................       01  .......  .......  .......  .......  .......  .......  .......     XXXX
    2. Depreciation and                                                                                         
     amortization:                                                                                              
        a. Pollution control                                                                                    
         facilities............       02  .......  .......  .......  .......  .......  .......  .......     XXXX
        b. Other smelter                                                                                        
         facilities............       03  .......  .......  .......  .......  .......  .......  .......     XXXX
    3. Operating cash flow.....       04  .......  .......  .......  .......  .......  .......  .......     XXXX
    4. Capital expenditure                                                                                      
     projections:                                                                                               
        a. Constant controls...       05  .......  .......  .......  .......  .......  .......  .......     XXXX
        b. Sustaining capital..       06  .......  .......  .......  .......  .......  .......  .......     XXXX
        c. Total...............       07  .......  .......  .......  .......  .......  .......  .......     XXXX
    5. Net cash flow                                                                                            
     projections...............       08  .......  .......  .......  .......  .......  .......  .......     XXXX
    6. Discount factors........       09  .......  .......  .......  .......  .......  .......  .......     XXXX
    7. Present value of future                                                                                  
     cash flows................       10  .......  .......  .......  .......  .......  .......  .......     XXXX
B. Net present value:                                                                                           
    1. Horizon value...........       11     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    2. Discount factor.........       12     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    3. Present value of horizon                                                                                 
     value.....................       13     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    4. Present value of future                                                                                  
     cash flows................       14     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    5. Total present value.....       15     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    6. Net smelter capital                                                                                      
     investment in constant                                                                                     
     dollars...................       16     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    7. Net present value.......       17     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
----------------------------------------------------------------------------------------------------------------


                                    Schedule C.5--Horizon Value of Cash Flows                                   
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                           Final forecast                       Horizon years                   
                                                years      -----------------------------------------------------
                                   Line  ------------------                                                     
                                            1989     1990     1991     1992     1993     1994     1995    Total 
----------------------------------------------------------------------------------------------------------------
A. Depreciation-free horizon                                                                                    
 value:                                                                                                         
    1. Net cash flow                                                                                            
     projections...............       01  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
    2. Depreciation tax                                                                                         
     savings:                                                                                                   
        a. Depreciation and                                                                                     
         amortization..........       02  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
        b. Marginal tax rate...       03  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
        c. Tax savings.........       04  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
    3. Depreciation-free net                                                                                    
     cash flows:                                                                                                
        a. Nominal dollar                                                                                       
         values................       05  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
        b. 1990 dollar values..       06  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
        c. Average.............       07     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    4. Horizon factor..........       08     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    5. Depreciation-free                                                                                        
     horizon value.............       09     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
                                                                                                                

[[Page 150]]

                                                                                                                
B. Depreciation tax savings                                                                                     
 over the horizon period:                                                                                       
    1. Depreciation and                                                                                         
     amortization..............       10     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
    2. Marginal tax rate.......       11     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
    3. Tax savings.............       12     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
    4. Discount factors........       13     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
    5. Present value of tax                                                                                     
     savings...................       14     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
    6. Total present value of                                                                                   
     tax savings...............       15     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
C. Horizon Value...............       16     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
----------------------------------------------------------------------------------------------------------------


                                 Schedule D.1--Interim Controls Revenue Forecast                                
                                            [Smelter Identification]                                            
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990 
----------------------------------------------------------------------------------------------------------------
A. Forecast smelter revenues--                                                                                  
 unaffiliated parties:                                                                                          
    1. Concentrates processed...........       01  .......  .......  .......  .......  .......  .......  .......
    2. Smelting charge..................       02  .......  .......  .......  .......  .......  .......  .......
    3. Total smelter revenues...........       03  .......  .......  .......  .......  .......  .......  .......
    4. Average product grade............       04  .......  .......  .......  .......  .......  .......  .......
B. Forecast smelter revenues--affiliated                                                                        
 parties:                                                                                                       
    1. Concentrates processed...........       05  .......  .......  .......  .......  .......  .......  .......
    2. Smelting charge..................       06  .......  .......  .......  .......  .......  .......  .......
    3. Total smelter revenues...........       07  .......  .......  .......  .......  .......  .......  .......
    4. Average product grade............       08  .......  .......  .......  .......  .......  .......  .......
C. Forecast co-product and by-product                                                                           
 sales:                                                                                                         
    1. Total co-product revenues........       09  .......  .......  .......  .......  .......  .......  .......
    2. Total by-product revenues from:                                                                          
        a. Pollution control facilities.       10  .......  .......  .......  .......  .......  .......  .......
        b. Other smelter processing.....       11  .......  .......  .......  .......  .......  .......  .......
    3. Total co-product and by-product                                                                          
     revenues:..........................       12  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                                  Schedule D.2--Interim Controls Cost Forecast                                  
                                            [Smelter Identification]                                            
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990 
----------------------------------------------------------------------------------------------------------------
A. Forecast production labor cost:                                                                              
    1. Direct labor hours...............       01  .......  .......  .......  .......  .......  .......  .......
    2. Average hourly wage rate.........       02  .......  .......  .......  .......  .......  .......  .......
    3. Total wage payments..............       03  .......  .......  .......  .......  .......  .......  .......
    4. Supplemental employee benefits...       04  .......  .......  .......  .......  .......  .......  .......
    5. Total production labor cost......       05  .......  .......  .......  .......  .......  .......  .......
B. Forecast energy costs:                                                                                       
    1. Electricity:                                                                                             
        a. Quantity in kilowatt hours...       06  .......  .......  .......  .......  .......  .......  .......
        b. Price per kwh................       07  .......  .......  .......  .......  .......  .......  .......
        c. Total electricity payments...       08  .......  .......  .......  .......  .......  .......  .......
    2. Natural gas:                                                                                             
        a. Quantity in mcf..............       09  .......  .......  .......  .......  .......  .......  .......
        b. Price per mcf................       10  .......  .......  .......  .......  .......  .......  .......
        c. Total natural gas payments...       11  .......  .......  .......  .......  .......  .......  .......
    3. Coal:                                                                                                    
        a. Quantity in tons.............       12  .......  .......  .......  .......  .......  .......  .......
        b. Price per ton................       13  .......  .......  .......  .......  .......  .......  .......
        c. Total coal payments..........       14  .......  .......  .......  .......  .......  .......  .......
    4. Fuel oil:                                                                                                
        a. Quantity in gallons..........       15  .......  .......  .......  .......  .......  .......  .......
        b. Price per gallon.............       16  .......  .......  .......  .......  .......  .......  .......
        c. Total fuel oil payments......       17  .......  .......  .......  .......  .......  .......  .......
    5. Other (specify):                                                                                         
        a. Quantity (specific units)....       18  .......  .......  .......  .......  .......  .......  .......
        b. Price per unit...............       18  .......  .......  .......  .......  .......  .......  .......
                                                                                                                

[[Page 151]]

                                                                                                                
        c. Total payments...............       20  .......  .......  .......  .......  .......  .......  .......
    6. Total energy costs...............       21  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                         Schedule D.3--Interim Controls Forecast Profit and Loss Summary                        
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                            Line     1984     1985     1986     1987     1988     1989     1990 
----------------------------------------------------------------------------------------------------------------
A. Forecast operating revenues:                                                                                 
    1. Smelter revenues--unaffiliated                                                                           
     parties............................       01  .......  .......  .......  .......  .......  .......  .......
    2. Smelter revenues--affiliated                                                                             
     parties............................       02  .......  .......  .......  .......  .......  .......  .......
    3. Co-product and by-product sales..       03  .......  .......  .......  .......  .......  .......  .......
    4. Other operating revenues.........       04  .......  .......  .......  .......  .......  .......  .......
    5. Total operating revenues.........       05  .......  .......  .......  .......  .......  .......  .......
B. Forecast cost of sales:                                                                                      
    1. Material costs...................       06  .......  .......  .......  .......  .......  .......  .......
    2. Production labor costs...........       07  .......  .......  .......  .......  .......  .......  .......
    3. Energy costs.....................       08  .......  .......  .......  .......  .......  .......  .......
    4. Pollution control costs..........       09  .......  .......  .......  .......  .......  .......  .......
    5. Production overhead..............       10  .......  .......  .......  .......  .......  .......  .......
    6. Other production costs...........       11  .......  .......  .......  .......  .......  .......  .......
    7. Total cost of sales..............       12  .......  .......  .......  .......  .......  .......  .......
C. Forecast gross operating profit......       13  .......  .......  .......  .......  .......  .......  .......
D. Forecast other operating expenses:                                                                           
    1. Selling, general and                                                                                     
     administrative expenses............       14  .......  .......  .......  .......  .......  .......  .......
    2. Taxes, other than income tax.....       15  .......  .......  .......  .......  .......  .......  .......
    3. Research costs...................       16  .......  .......  .......  .......  .......  .......  .......
    4. Depreciation and amortization:                                                                           
        a. Pollution control facilities.       17  .......  .......  .......  .......  .......  .......  .......
        b. Other smelter facilities.....       18  .......  .......  .......  .......  .......  .......  .......
    5. Interest on short-term debt......       19  .......  .......  .......  .......  .......  .......  .......
    6. Miscellaneous operating expenses.       20  .......  .......  .......  .......  .......  .......  .......
    7. Total other operating expenses...       21  .......  .......  .......  .......  .......  .......  .......
E. Forecast income from operations......       22  .......  .......  .......  .......  .......  .......  .......
F. Forecast income taxes................       23  .......  .......  .......  .......  .......  .......  .......
G. Forecast net income from operations..       24  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                      Schedule D.4--Interim Control Sustaining Capital Investment Forecast                      
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
           Sustaining capital               Line     1984     1985     1986     1987     1988     1989     1990 
----------------------------------------------------------------------------------------------------------------
1. Land.................................       01  .......  .......  .......  .......  .......  .......  .......
2. Buildings and improvements...........       02  .......  .......  .......  .......  .......  .......  .......
3. Machinery and equipment..............       03  .......  .......  .......  .......  .......  .......  .......
4. Transportation equipment.............       04  .......  .......  .......  .......  .......  .......  .......
5. Pollution control facilities.........       05  .......  .......  .......  .......  .......  .......  .......
6. Other fixed assets...................       06  .......  .......  .......  .......  .......  .......  .......
7. Total smelter sustaining capital.....       07  .......  .......  .......  .......  .......  .......  .......
----------------------------------------------------------------------------------------------------------------


                                  Schedule D.5--Cash Proceeds From Liquidation                                  
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                                                                             Gain (loss) subject
                                                               (1)          (2)       (3)      to taxation as-- 
                                                            Estimated    Reported    Total  --------------------
                                                    Line   Liquidation   net book     gain       (4)       (5)  
                                                              value        value     (loss)   Ordinary   Capital
                                                                                               income      gain 
----------------------------------------------------------------------------------------------------------------
A. Total current assets.........................       01  ...........  ..........    XXXXX       XXXXX    XXXXX
B. Property, plant and equipment:                                                                               
    1. Land.....................................       02  ...........  ..........  .......  ..........  .......
    2. Buildings and improvements...............       03  ...........  ..........  .......  ..........  .......
    3. Machinery and equipment..................       04  ...........  ..........  .......  ..........  .......
                                                                                                                

[[Page 152]]

                                                                                                                
    4. Transportation equipment.................       05  ...........  ..........  .......  ..........  .......
    5. Pollution control facilities.............       06  ...........  ..........  .......  ..........  .......
    6. Other fixed assets.......................       07  ...........  ..........  .......  ..........  .......
    7. Total....................................       08  ...........  ..........  .......  ..........  .......
C. Other noncurrent assets......................       09  ...........  ..........  .......  ..........  .......
D. Total smelter value..........................       10  ...........  ..........  .......  ..........  .......
E. Total current liabilities....................       11  ...........  ..........    XXXXX       XXXXX    XXXXX
F. Gross liquidation value......................       12  ...........  ..........  .......  ..........  .......
G. Liquidation costs............................       13  ...........       XXXXX  .......  ..........    XXXXX
H. Net Taxable Gain (or loss)...................       14        XXXXX       XXXXX    XXXXX  ..........  .......
I. Income tax rate..............................       15        XXXXX       XXXXX    XXXXX  ..........  .......
J. Income tax on gain (loss)....................       16        XXXXX       XXXXX    XXXXX  ..........  .......
K. After tax cash proceeds from liquidation.....       17  ...........       XXXXX    XXXXX       XXXXX    XXXXX
----------------------------------------------------------------------------------------------------------------


                            Schedule D.6--Permanent Waiver From Interim Controls Test                           
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                   Line     1984     1985     1986     1987     1988     1989     1990    Total 
----------------------------------------------------------------------------------------------------------------
A. Operating Cash flow                                                                                          
 projection:                                                                                                    
    1. Net income from                                                                                          
     operations................       01  .......  .......  .......  .......  .......  .......  .......     XXXX
    2. Net income adjustments..       02  .......  .......  .......  .......  .......  .......  .......     XXXX
    3. Depreciation and                                                                                         
     amortization:                                                                                              
        a. Pollution control                                                                                    
         facilities............       03  .......  .......  .......  .......  .......  .......  .......     XXXX
        b. Other smelter                                                                                        
         facilities............       04  .......  .......  .......  .......  .......  .......  .......     XXXX
    4. Operating cash flow.....       05  .......  .......  .......  .......  .......  .......  .......     XXXX
    5. Capital expenditure                                                                                      
     projections:                                                                                               
        a. Interim controls....       06  .......  .......  .......  .......  .......  .......  .......     XXXX
        b. Sustaining capital..       07  .......  .......  .......  .......  .......  .......  .......     XXXX
        c. Total...............       08  .......  .......  .......  .......  .......  .......  .......     XXXX
    6. Net cash flow                                                                                            
     projections...............       09  .......  .......  .......  .......  .......  .......  .......     XXXX
    7. Discount factors........       10  .......  .......  .......  .......  .......  .......  .......     XXXX
    8. Present value of future                                                                                  
     cash flows................       11  .......  .......  .......  .......  .......  .......  .......     XXXX
B. Net present value:                                                                                           
    1. Horizon value...........       12     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    2. Discount factor.........       13     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    3. Present value of horizon                                                                                 
     value.....................       14     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    4. Present value of future                                                                                  
     cash flows................       15     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    5. Total present value.....       16     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    6. Current salvage value...       17     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    7. Net present value.......       18     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
----------------------------------------------------------------------------------------------------------------


                                    Schedule D.7--Horizon Value of Cash Flows                                   
                                            [Smelter identification]                                            
----------------------------------------------------------------------------------------------------------------
                                           Final forecast                  Horizon years                        
                                                years      ---------------------------------------------        
                                   Line  ------------------                                               Total 
                                            1989     1990     1991     1992     1993     1994     1995          
----------------------------------------------------------------------------------------------------------------
A. Depreciation-free horizon                                                                                    
 value:                                                                                                         
    1. Net cash flow                                                                                            
     projections...............       01  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
    2. Depreciation tax                                                                                         
     savings:                                                                                                   
        a. Depreciation and                                                                                     
         amortization..........       02  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
        b. Marginal tax rate...       03  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
        c. Tax savings.........       04  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
    3. Depreciation-free net                                                                                    
     cash flows:                                                                                                
        a. Nominal dollar                                                                                       
         values................       05  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
        b. 1990 dollar values..       06  .......  .......     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX
        c. Average.............       07     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
                                                                                                                

[[Page 153]]

                                                                                                                
    4. Horizon factor..........       08     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
    5. Depreciation-free                                                                                        
     horizon value.............       09     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
B. Depreciation tax savings                                                                                     
 over the horizon period:                                                                                       
    1. Depreciation and                                                                                         
     amortization..............       10     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
    2. Marginal tax rate.......       11     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
    3. Tax savings.............       12     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
    4. Discount factors........       13     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
    5. Present value of tax                                                                                     
     savings...................       14     XXXX     XXXX  .......  .......  .......  .......  .......     XXXX
    6. Total present value of                                                                                   
     tax savings...............       15     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
C. Horizon Value...............       16     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX     XXXX  .......
----------------------------------------------------------------------------------------------------------------

      

[[Page 154]]



PART 58--AMBIENT AIR QUALITY SURVEILLANCE--Table of Contents




                      Subpart A--General Provisions

Sec.
58.1  Definitions.
58.2  Purpose.
58.3  Applicability.

                     Subpart B--Monitoring Criteria

58.10  Quality assurance.
58.11  Monitoring methods.
58.12  Siting of instruments or instrument probes.
58.13  Operating schedule.
58.14  Special purpose monitors.

       Subpart C--State and Local Air Monitoring Stations (SLAMS)

58.20  Air quality surveillance: Plan content.
58.21  SLAMS network design.
58.22  SLAMS methodology.
58.23  Monitoring network completion.
58.24  [Reserved]
58.25  System modification.
58.26  Annual SLAMS summary report.
58.27  Compliance date for air quality data reporting.
58.28  SLAMS data submittal.

           Subpart D--National Air Monitoring Stations (NAMS)

58.30  NAMS network establishment.
58.31  NAMS network description.
58.32  NAMS approval.
58.33  NAMS methodology.
58.34  NAMS network completion.
58.35  NAMS data submittal.
58.36  System modification.

     Subpart E--Photochemical Assessment Monitoring Stations (PAMS)

58.40  PAMS network establishment.
58.41  PAMS network description.
58.42  PAMS approval.
58.43  PAMS methodology.
58.44  PAMS network completion.
58.45  PAMS data submittal.
58.46  System modification.

                 Subpart F--Air Quality Index Reporting

58.50  Index reporting.

                      Subpart G--Federal Monitoring

58.60  Federal monitoring.
58.61  Monitoring other pollutants.

                          Appendices to Part 58

Appendix A--Quality Assurance Requirements for State and Local Air 
          Monitoring Stations (SLAMS)
Appendix B--Quality Assurance Requirements for Prevention of Significant 
          Deterioration (PSD) Air Monitoring
Appendix C--Ambient Air Quality Monitoring Methodology
Appendix D--Network Design for State and Local Air Monitoring Stations 
          (SLAMS), National Air Monitoring Stations (NAMS), and 
          Photochemical Assessment Monitoring Stations (PAMS)
Appendix E--Probe and Monitoring Path Siting Criteria for Ambient Air 
          Quality Monitoring
Appendix F--Annual SLAMS Air Quality Information
Appendix G--Uniform Air Quality Index and Daily Reporting

    Authority: Sections 110, 301(a), and 319 of the Clean Air Act as 
amended (42 U.S.C. 7410, 7601(a), and 7619).

    Source: 44 FR 27571, May 10, 1979, As amended at 59 FR 41628, Aug. 
12, 1994.



                      Subpart A--General Provisions



Sec. 58.1  Definitions.

    As used in this part, all terms not defined herein have the meaning 
given them in the Act:
    (a) Act means the Clean Air Act as amended (42 U.S.C. 7401, et 
seq.).
    (b) SLAMS means State or Local Air Monitoring Station(s). The SLAMS 
make up the ambient air quality monitoring network which is required by 
Sec. 58.20 to be provided for in the State's implementation plan. This 
definition places no restrictions on the use of the physical structure 
or facility housing the SLAMS. Any combination of SLAMS and any other 
monitors (Special Purpose, NAMS, PSD) may occupy the same facility or 
structure without affecting the respective definitions of those 
monitoring station.
    (c) NAMS means National Air Monitoring Station(s). Collectively the 
NAMS are a subset of the SLAMS ambient air quality monitoring network.
    (d) PSD station means any station operated for the purpose of 
establishing the effect on air quality of the emissions from a proposed 
source for purposes of prevention of significant deterioration as 
required by Sec. 51.24(n) of part 51 of this chapter.

[[Page 155]]

    (e) SO2 means sulfur dioxide.
    (f) NO2 means nitrogen dioxide. NO means nitrogen oxide. 
NOX means oxides of nitrogen and is defined as the sum of the 
concentrations of NO2 and NO.
    (g) CO means carbon monoxide.
    (h) O3 means ozone.
    (i) Plan means an implementation plan, approved or promulgated 
pursuant to section 110 of the Clean Air Act.
    (j) Administrator means the Administrator of the Environmental 
Protection Agency (EPA) or his or her authorized representative.
    (k) Regional Administrator means the Administrator of one of the ten 
EPA Regional Offices or his or her authorized representative.
    (l) State agency means the air pollution control agency primarily 
responsible for development and implementation of a plan under the Act.
    (m) Local agency means any local government agency, other than the 
State agency, which is charged with the responsibility for carrying out 
a portion of the plan.
    (n) Indian Reservation means any Federally recognized reservation 
established by treaty, agreement, executive order, or act of Congress.
    (o) Indian Governing Body means the governing body of any tribe, 
band, or group of Indians subject to the jurisdiction of the United 
States and recognized by the United States as possessing power of self-
government.
    (p) Aerometric Information Retrieval System (AIRS)-Air Quality 
Subsystem (AQS) is EPA's computerized system for storing and reporting 
of information relating to ambient air quality data.
    (q) Storage and Retrieval of Aerometric Data (SAROAD) system is a 
computerized system which stores and reports information relating to 
ambient air quality. The SAROAD system has been replaced with the AIRS-
AQS system; however, the SAROAD data reporting format continues to be 
used by some States and local air pollution agencies as an interface to 
AIRS on an interim basis.
    (r) SAROAD site identification form is one of the several forms in 
the SAROAD system. It is the form which provides a complete description 
of the site (and its surroundings) of an ambient air quality monitoring 
station.
    (s) Traceable means that a local standard has been compared and 
certified, either directly or via not more than one intermediate 
standard, to a primary standard such as a National Institute of 
Standards and Technology Standard Reference Material (NIST SRM) or a 
USEPA/NIST-approved Certified Reference Material (CRM).
    (t) Urban area population means the population defined in the most 
recent decennial U.S. Census of Population Report.
    (u) TSP (total suspended particulates) means particulate matter as 
measured by the method described in appendix B of part 50 of this 
chapter,
    (v) PM10 means particulate matter with an aerodynamic diameter 
less than or equal to a nominal 10 micrometers as measured by a 
reference method based on appendix J of part 50 of this chapter and 
designated in accordance with part 53 of this chapter or by an 
equivalent method designated in accordance with part 53 of this chapter.
    (w) Pb means lead.
    (x) PAMS means Photochemical Assessment Monitoring Stations.
    (y) VOC means volatile organic compounds.
    (z) Meteorological measurements means measurements of wind speed, 
wind direction, barometric pressure, temperature, relative humidity, and 
solar radiation.
    (aa) Point analyzer is an automated analytical method that measures 
pollutant concentration in an ambient air sample extracted from the 
atmosphere at a specific inlet probe point and that has been designated 
as a reference or equivalent method in accordance with part 53 of this 
chapter.
    (bb) Probe is the actual inlet where an air sample is extracted from 
the atmosphere for delivery to a sampler or point analyzer for pollutant 
analysis.
    (cc) Open path analyzer is an automated analytical method that 
measures the average atmospheric pollutant concentration in situ along 
one or more monitoring paths having a monitoring path length of 5 meters 
or more and that has been designated as a reference or equivalent method 
under the provisions of part 53 of this chapter.

[[Page 156]]

    (dd) Monitoring path for an open path analyzer is the actual path in 
space between two geographical locations over which the pollutant 
concentration is measured and averaged.
    (ee) Monitoring path length of an open path analyzer is the length 
of the monitoring path in the atmosphere over which the average 
pollutant concentration measurement (path-averaged concentration) is 
determined. See also, optical measurement path length.
    (ff) Optical measurement path length is the actual length of the 
optical beam over which measurement of the pollutant is determined. The 
path-integrated pollutant concentration measured by the analyzer is 
divided by the optical measurement path length to determine the path-
averaged concentration. Generally, the optical measurement path length 
is:
    (1) Equal to the monitoring path length for a (bistatic) system 
having a transmitter and a receiver at opposite ends of the monitoring 
path;
    (2) Equal to twice the monitoring path length for a (monostatic) 
system having a transmitter and receiver at one end of the monitoring 
path and a mirror or retroreflector at the other end; or
    (3) Equal to some multiple of the monitoring path length for more 
complex systems having multiple passes of the measurement beam through 
the monitoring path.
    (gg) Effective concentration pertains to testing an open path 
analyzer with a high-concentration calibration or audit standard gas 
contained in a short test cell inserted into the optical measurement 
beam of the instrument. Effective concentration is the equivalent 
ambient-level concentration that would produce the same spectral 
absorbance over the actual atmospheric monitoring path length as 
produced by the high-concentration gas in the short test cell. 
Quantitatively, effective concentration is equal to the actual 
concentration of the gas standard in the test cell multiplied by the 
ratio of the path length of the test cell to the actual atmospheric 
monitoring path length.
    (hh) Corrected concentration pertains to the result of an accuracy 
or precision assessment test of an open path analyzer in which a high-
concentration test or audit standard gas contained in a short test cell 
is inserted into the optical measurement beam of the instrument. When 
the pollutant concentration measured by the analyzer in such a test 
includes both the pollutant concentration in the test cell and the 
concentration in the atmosphere, the atmospheric pollutant concentration 
must be subtracted from the test measurement to obtain the corrected 
concentration test result. The corrected concentration is equal to the 
measured concentration minus the average of the atmospheric pollutant 
concentrations measured (without the test cell) immediately before and 
immediately after the test.
    (ii) Monitor is a generic term for an instrument, sampler, analyzer, 
or other device that measures or assists in the measurement of 
atmospheric air pollutants and which is acceptable for use in ambient 
air surveillance under the provisions of appendix C to this part, 
including both point and open path analyzers that have been designated 
as either reference or equivalent methods under part 53 of this chapter 
and air samplers that are specified as part of a manual method that has 
been designated as a reference or equivalent method under part 53 of 
this chapter.

[44 FR 27571, May 10, 1979, as amended at 48 FR 2529, Jan. 20, 1983; 51 
FR 9586, Mar. 19, 1986; 52 FR 24739, July 1, 1987; 58 FR 8467, Feb. 12, 
1993; 59 FR 41628, 41629, Aug. 12, 1994; 60 FR 52319, Oct. 6, 1995]



Sec. 58.2  Purpose.

    (a) This part contains criteria and requirements for ambient air 
quality monitoring and requirements for reporting ambient air quality 
data and information. The monitoring criteria pertain to the following 
areas:
    (1) Quality assurance procedures for monitor operation and data 
handling.
    (2) Methodology used in monitoring stations.
    (3) Operating schedule.
    (4) Siting parameters for instruments or instrument probes.
    (b) The requirements pertaining to provisions for an air quality 
surveillance system in the State Implementation Plan are contained in 
this part.

[[Page 157]]

    (c) This part also acts to establish a national ambient air quality 
monitoring network for the purpose of providing timely air quality data 
upon which to base national assessments and policy decisions. This 
network will be operated by the States and will consist of certain 
selected stations from the States' SLAMS networks. These selected 
stations will remain as SLAMS and will continue to meet any applicable 
requirements on SLAMS. The stations, however, will also be designated as 
National Air Monitoring Stations (NAMS) and will be subject to 
additional data reporting and monitoring methodology requirements as 
contained in subpart D of this part.
    (d) This section also acts to establish a Photochemical Assessment 
Monitoring Stations (PAMS) network as a subset of the State's SLAMS 
network for the purpose of enhanced monitoring in O3 nonattainment 
areas listed as serious, severe, or extreme. The PAMS network will be 
subject to the data reporting and monitoring methodology requirements as 
contained in subpart E of this part.
    (e) Requirements for the daily reporting of an index of ambient air 
quality, to insure that the population of major urban areas are informed 
daily of local air quality conditions, are also included in this part.

[44 FR 27571, May 10, 1979, as amended at 58 FR 8467, Feb. 12, 1993]



Sec. 58.3  Applicability.

    This part applies to:
    (a) State air pollution control agencies.
    (b) Any local air pollution control agency or Indian governing body 
to which the State has delegated authority to operate a portion of the 
State's SLAMS network.
    (c) Owners or operators of proposed sources.



                     Subpart B--Monitoring Criteria



Sec. 58.10  Quality assurance.

    (a) Appendix A to this part contains quality assurance criteria to 
be followed when operating the SLAMS network.
    (b) Appendix B to this part contains the quality assurance criteria 
to be followed by the owner or operator of a proposed source when 
operating a PSD station.



Sec. 58.11  Monitoring methods.

    Appendix C to this part contains the criteria to be followed in 
determining acceptable monitoring methods or instruments for use in 
SLAMS.



Sec. 58.12  Siting of instruments or instrument probes.

    Appendix E to this part contains criteria for siting instruments or 
instrument probes for SLAMS.



Sec. 58.13  Operating schedule.

    Ambient air quality data collected at any SLAMS must be collected as 
follows:
    (a) For continuous analyzers--consecutive hourly averages except 
during:
    (1) Periods of routine maintenance,
    (2) Periods of instrument calibration, or
    (3) Periods or seasons exempted by the Regional Administrator.
    (b) For manual methods (excluding PM10 samplers and PAMS VOC 
samplers), at least one 24-hour sample must be obtained every sixth day 
except during periods or seasons exempted by the Regional Administrator.
    (c) For PAMS VOC samplers, samples must be obtained as specified in 
sections 4.3 and 4.4 of appendix D to this part. Area-specific PAMS 
operating schedules must be included as part of the network description 
required by Sec. 58.40 and must be approved by the Administrator.
    (d) For PM10 samplers--a 24-hour sample must be taken from 
midnight to midnight (local time) to ensure national consistency. The 
sampling shall be conducted on the following schedules which are based 
on either the first year of PM10 monitoring or a long-term 
selective PM10 monitoring plan:
    (1) First year PM10 monitoring. The sampling frequency for the 
first year (12 consecutive months) of ambient PM10 monitoring shall 
be based on the monitoring area's SIP area grouping (I, II, III) which 
is described in the PM10 SIP Development Guideline and the Preamble 
to part 51 of this chapter. In

[[Page 158]]

general, the SIP groupings are defined in terms of the estimated 
probability of not attaining the PM10 NAAQS. Procedures to develop 
these probabilities are found in Pace, T., et al. ``Procedures for 
Estimating Probability of Nonattainment of a PM10 NAAQS Using Total 
Suspended Particulate or Inhalable Particulate Data.'' OAQPS, U.S. 
Environmental Protection Agency, Research Triangle Park, N. C. December 
1986. The most recent 3 calendar years of air quality data must be used 
in this determination. The SIP area groupings are divided into three 
categories: Group I--areas whose probability is greater than or equal to 
95 percent; Group II--areas whose probability is greater than or equal 
to 20 percent to less than 95 percent probability, and Group III--areas 
whose probability is less than 20 percent. The use of the term 
``monitoring area'' as it applies to the required sampling frequencies 
of the ``monitoring area'' is as follows: First, any urbanized area as 
defined by the U.S. Bureau of Census; second, any incorporated place 
such as a city or town as defined by the U.S.Bureau of Census or group 
of cities or towns; and third, any ``monitoring area'' designated by the 
responsible air pollution control agency. In designating these latter 
``monitoring areas'', the control agency should consider technical 
factors such as the types of emissions, their spatial distribution, 
meteorology, and topography and how these factors contribute to the 
uniqueness of the ``monitoring area'' thereby distinguishing it from 
other designated ``monitoring areas''. The starting date for this first 
year of PM10 monitoring may begin prior to the effective date of 
promulgation of this regulation.
    (i) For Group I areas, everyday PM10 sampling is required for 
at least one PM10 site which must be located in the area of 
expected maximum concentration. The remainder require every sixth day 
sampling.
    (ii) For Group II areas, every other day sampling is required for at 
least one PM10 site which must be located in the area of expected 
maximum concentration. The remainder require every sixth day sampling.
    (iii) For Group III areas, a minimum of one in six day sampling is 
required.

If a monitoring site in a Group III or Group II area later records 
levels exceeding the short term (24-hour) PM10 NAAQS, as described 
in part 50 appendix K, and the monitoring frequency was less than 
everyday, then everyday sampling must be initiated in the area of 
expected maximum concentration no later than 90 days following the end 
of the calendar quarter in which the exceedance occurred and continue 
for the subsequent four calender quarters.
    (2) Long term monitoring selective sampling. To be eligible for the 
long term selective sampling plan, the first year of PM10 sampling, 
or its equivalent, must be conducted. A complete year comprises all four 
calendar quarters with each quarter containing data from 75 percent of 
the scheduled sampling days. The equivalent to one year of PM10 
sampling to be completed within one year of the effective date of 
promulgation is defined as follows: First, for everyday sampling: 2 
years of every other day sampling or 2 years of every sixth day sampling 
and 1 year of every other day sampling or 3 years of every sixth day 
sampling; second, for every other day sampling: 3 years of every sixth 
day sampling. After one year of PM10 monitoring or it's equivalent 
has been obtained, the minimum monitoring schedule for the site in the 
area of expected maximum concentration shall be based on the relative 
level of that monitoring site concentration with respect to the level of 
the controlling standard. For those areas in which the short-term (24-
hour) standard is controlling i.e., has the highest ratio, the selective 
sampling requirements are illustrated in Figure 1. If the operating 
agency were able to demonstrate, by a combination of historical TSP data 
and at least one year of PM10 data that there were certain periods 
of the year where conditions preclude violation of the PM10 24-hour 
standard, the increased sampling frequency for those periods or seasons 
may be exempted by the Regional Administrator and revert back to once in 
six days. The minimum sampling schedule for all other sites in the area 
would be once every six days. For those areas in which the annual 
standard is the controlling standard, the minimum sampling schedule for 
all monitors in the area would be once

[[Page 159]]

every six days. During the annual review of the SLAMS network, the most 
recent year of data must be considered to estimate the air quality 
status for the controlling air quality standard (24-hour or annual). 
Statistical models such as analysis of concentration frequency 
distributions as described in ``Guideline for the Interpretation of 
Ozone Air Quality Standards,'' EPA-450/479-003, U.S. Environmental 
Protection Agency, Research Triangle Park, N.C., January 1979, should be 
used. Adjustments to the monitoring schedule must be made on the basis 
of the annual review. The site having the highest concentration in the 
most current year must be given first consideration when selecting the 
site for the more frequent sampling schedule. Other factors such as 
major change in sources of PM10 emissions or in sampling site 
characteristics could influence the location of the expected maximum 
concentration site. Also, the use of the most recent three years of data 
might in some cases, be justified in order to provide a more 
representative data base from which to estimate current air quality 
status and to provide stability to the network. This multiyear 
consideration would reduce the possibility of an anamalous year biasing 
a site selected for accelerated sampling. If the maximum concentration 
site based on the most current year is not selected for the more 
frequent operating schedule, documentation of the justification for 
selection of an alternate site must be submitted to the Regional Office 
for approval during the annual review process. It should be noted that 
minimum data completeness critieria, number of years of data and 
sampling frequency for judging attainment of the NAAQS are discussed in 
appendix K of part 50.


                                     
[44 FR 27571, May 10, 1979, as amended at 52 FR 24739, July 1, 1987; 58 
FR 8467, Feb. 12, 1993]



Sec. 58.14  Special purpose monitors.

    (a) Any ambient air quality monitoring station other than a SLAMS or 
PSD station from which the State intends to use the data as part of a 
demonstration of attainment or nonattainment or in computing a design 
value for control purposes of the National Ambient Air Quality Standards 
(NAAQS) must meet the requirements for SLAMS described in Sec. 58.22 
and, after January 1, 1983, must also meet the requirements for SLAMS as 
described in Sec. 58.13 and appendices A and E to this part.

[[Page 160]]

    (b) Any ambient air quality monitoring station other than a SLAMS or 
PSD station from which the State intends to use the data for SIP-related 
functions other than as described in paragraph (a) of this section is 
not necessarily required to comply with the requirements for a SLAMS 
station under paragraph (a) but must be operated in accordance with a 
monitoring schedule, methodology, quality assurance procedures, and 
probe or instrument-siting specifications approved by the Regional 
Administrator.

[46 FR 44164, Sept. 3, 1981]



       Subpart C--State and Local Air Monitoring Stations (SLAMS)



Sec. 58.20  Air quality surveillance: Plan content.

    By January 1, 1980, the State shall adopt and submit to the 
Administrator a revision to the plan which will:
    (a) Provide for the establishment of an air quality surveillance 
system that consists of a network of monitoring stations designated as 
State and Local Air Monitoring Stations (SLAMS) which measure ambient 
concentrations of those pollutants for which standards have been 
established in part 50 of this chapter. SLAMS (including NAMS) 
designated as PAMS will also obtain ambient concentrations of speciated 
VOC and NOX, and meteorological measurements. PAMS may therefore be 
located at existing SLAMS or NAMS sites when appropriate.
    (b) Provide for meeting the requirements of appendices A, C, D, and 
E to this part.
    (c) Provide for the operation of at least one SLAMS per criteria 
pollutant except Pb during any stage of an air pollution episode as 
defined in the plan.
    (d) Provide for the review of the air quality surveillance system on 
an annual basis to determine if the system meets the monitoring 
objectives defined in appendix D to this part. Such review must identify 
needed modifications to the network such as termination or relocation of 
unnecessary stations or establishment of new stations which are 
necessary.
    (e) Provide for having a SLAMS network description available for 
public inspection and submission to the Administrator upon request. The 
network description must be available at the time of plan revision 
submittal except for Pb which must be available by December 1, 1981 and 
for PM10 monitors which must be available by 6 months after the 
effective date of promulgation and must contain the following 
information for each SLAMS:
    (1) The AIRS site identification form for existing stations.
    (2) The proposed location for scheduled stations.
    (3) The sampling and analysis method.
    (4) The operating schedule.
    (5) The monitoring objective and spatial scale of representativeness 
as defined in appendix D to this part.
    (6) A schedule for: (i) Locating, placing into operation, and making 
available the AIRS site identification form for each SLAMS which is not 
located and operating at the time of plan revision submittal, (ii) 
implementing quality assurance procedures of appendix A to this part for 
each SLAMS for which such procedures are not implemented at the time of 
plan revision submittal, and (iii) resiting each SLAMS which does not 
meet the requirements of appendix E to this part at the time of plan 
revision submittal.
    (f) Within 9 months after;
    (1) February 12, 1993; or
    (2) Date of redesignation or reclassification of any existing 
O3 nonattainment area to serious, severe, or extreme; or
    (3) The designation of a new area and classification to serious, 
severe, or extreme, affected States shall adopt and submit a plan 
revision to the Administrator.

The plan revision will provide for the establishment and maintenance of 
PAMS. Each PAMS site will provide for the monitoring of ambient 
concentrations of criteria pollutants (O3, NO2), and non-
criteria pollutants (NOX, NO, and speciated VOC) as stipulated in 
section 4.2 of appendix D, and meteorological measurements. The PAMS 
network is part of the SLAMS network, and the plan provisions in 
paragraphs (a) through (f) of this section

[[Page 161]]

will apply to the revision. Since NAMS sites are also part of the SLAMS 
network, some PAMS sites may be coincident with NAMS sites and may be 
designated as both PAMS and NAMS.

[44 FR 27571, May 10, 1979, as amended at 46 FR 44164, Sept. 3, 1981; 52 
FR 24740, July 1, 1987; 58 FR 8467, Feb. 12, 1993; 59 FR 41628, Aug. 12, 
1994]



Sec. 58.21  SLAMS network design.

    The design criteria for SLAMS contained in appendix D to this part 
must be used in designing the SLAMS network. The State shall consult 
with the Regional Administrator during the network design process. The 
final network design will be subject to the approval of the Regional 
Administrator.



Sec. 58.22   SLAMS methodology.

    Each SLAMS must meet the monitoring methodology requirements of 
appendix C to this part at the time the station is put into operation as 
a SLAMS.



Sec. 58.23  Monitoring network completion.

    By January 1, 1983, with the exception of PM10 samplers whose 
probability of nonattainment of the PM10 ambient standard is 
greater than or equal to 20 percent which shall be by 1 year after the 
effective date of promulgation and the remaining PM10 samplers 
which shall be by 2 years after the effective date of promulgation:
    (a) Each station in the SLAMS network must be in operation, be sited 
in accordance with the criteria in appendix E to this part, and be 
located as described on the station's AIRS site identification form, and
    (b) The quality assurance requirements of appendix A to this part 
must be fully implemented.

[44 FR 27571, May 10, 1979, as amended at 52 FR 24740, July 1, 1987; 59 
FR 41628, Aug. 12, 1994]
Sec. 58.24  [Reserved]



Sec. 58.25  System modification.

    The State shall annually develop and implement a schedule to modify 
the ambient air quality monitoring network to eliminate any unnecessary 
stations or to correct any inadequacies indicated by the result of the 
annual review required by Sec. 58.20(d). The State shall consult with 
the Regional Administrator during the development of the schedule to 
modify the monitoring program. The final schedule and modifications will 
be subject to the approval of the Regional Administrator. Nothing in 
this section will preclude the State, with the approval of the Regional 
Administrator, from making modifications to the SLAMS network for 
reasons other than those resulting from the annual review.



Sec. 58.26  Annual SLAMS summary report.

    (a) The State shall submit to the Administrator (through the 
appropriate Regional Office) an annual summary report of all the ambient 
air quality monitoring data from all monitoring stations designated 
State and Local Air Monitoring Stations (SLAMS). The annual report must 
be submitted by July 1 of each year for data collected from January 1 to 
December 31 of the previous year.
    (b) The annual summary report must contain:
    (1) The information specified in appendix F,
    (2) The location, date, pollution source, and duration of each 
incident of air pollution during which ambient levels of a pollutant 
reached or exceeded the level specified by Sec. 51.16(a) of this chapter 
as a level which could cause significant harm to the health of persons.
    (c) The senior air pollution control officer in the State or his 
designee shall certify that the annual summary report is accurate to the 
best of his knowledge.

[44 FR 27571, May 10, 1979, as amended at 51 FR 9586, Mar. 19, 1986]



Sec. 58.27  Compliance date for air quality data reporting.

    The annual air quality data reporting requirements of Sec. 58.26 
apply to data collected after December 31, 1980. Data collected before 
January 1, 1981, must be reported under the reporting procedures in 
effect before the effective date of subpart C of this part.

[[Page 162]]



Sec. 58.28  SLAMS data submittal.

    The State shall submit all of the SLAMS data according to the same 
data submittal requirements as defined for NAMS in section 58.35. The 
State shall also submit any portion or all of the SLAMS data to the 
appropriate Regional Administrator upon request.

[59 FR 41628, Aug. 12, 1994]



           Subpart D--National Air Monitoring Stations (NAMS)



Sec. 58.30  NAMS network establishment.

    (a) By January 1, 1980, with the exception of Pb, which shall be by 
December 1, 1981, and PM10 samplers, which shall be by 6 months 
after the effective date of promulgation, the State shall:
    (1) Establish, through the operation of stations or through a 
schedule for locating and placing stations into operation, that portion 
of a National Ambient Air Quality Monitoring Network which is in that 
State, and
    (2) Submit to the Administrator (through the appropriate Regional 
Office) a description of that State's portion of the network.
    (b) Hereinafter, the portion of the national network in any State 
will be referred to as the NAMS network.
    (c) The stations in the NAMS network must be stations from the SLAMS 
network required by Sec. 58.20.
    (d) The requirements of appendix D to this part must be met when 
designing the NAMS network. The process of designing the NAMS network 
must be part of the process of designing the SLAMS network as explained 
in appendix D to this part.

[44 FR 27571, May 10, 1979, as amended at 46 FR 44164, Sept. 3, 1981; 52 
FR 24740, July 1, 1987]



Sec. 58.31  NAMS network description.

    The NAMS network description required by Sec. 58.30 must contain the 
following for all stations, existing or scheduled:
    (a) The AIRS site identification form for existing stations.
    (b) The proposed location for scheduled stations.
    (c) Identity of the urban area represented.
    (d) The sampling and analysis method.
    (e) The operating schedule.
    (f) The monitoring objective and spatial scale of representativeness 
as defined in appendix D to this part.
    (g) A schedule for:
    (1) Locating, placing into operation, and submitting the AIRS site 
identification form for each NAMS which is not located and operating at 
the time of network description submittal,
    (2) Implementing quality assurance procedures of appendix A to this 
part for each NAMS for which such procedures are not implemented at the 
time of network description submittal, and
    (3) Resiting each NAMS which does not meet the requirements of 
appendix E to this part at the time of network description submittal.

[44 FR 27571, May 10, 1979, as amended at 59 FR 41628, Aug. 12, 1994]



Sec. 58.32  NAMS approval.

    The NAMS network required by Sec. 58.30 is subject to the approval 
of the Administrator. Such approval will be contingent upon completion 
of the network description as outlined in Sec. 58.31 and upon 
conformance to the NAMS design criteria contained in appendix D to this 
part.



Sec. 58.33  NAMS methodology.

    Each NAMS must meet the monitoring methodology requirements of 
appendix C to this part applicable to NAMS at the time the station is 
put into operation as a NAMS.



Sec. 58.34  NAMS network completion.

    By January 1, 1981, with the exception of Pb, which shall be by July 
1, 1982 and PM10 samplers, which shall be by 1 year after the 
effective date of promulgation:
    (a) Each NAMS must be in operation, be sited in accordance with the 
criteria in appendix E to this part, and be located as described in the 
station's AIRS site identification form; and
    (b) The quality assurance requirements of appendix A to this part 
must be fully implemented for all NAMS.

[44 FR 27571, May 10, 1979, as amended at 46 FR 44164, Sept. 3, 1981; 52 
FR 24740, July 1, 1987; 59 FR 41628, Aug. 12, 1994]

[[Page 163]]



Sec. 58.35  NAMS data submittal.

    (a) The requirements of this section apply to those stations 
designated as both SLAMS and NAMS by the network description required by 
Secs. 58.20 and 58.30.
    (b) The State shall report to the Administrator all ambient air 
quality data for SO2, CO, O3, NO2, Pb, and PM-10 and 
information specified by the AIRS Users Guide (Volume II, Air Quality 
Data Coding, and Volume III, Air Quality Data Storage) to be coded into 
the AIRS-AQS format. Such air quality data and information must be 
submitted directly to the AIRS-AQS via either electronic transmission or 
magnetic tape, in the format of the AIRS-AQS, and in accordance with the 
quarterly schedule described in paragraph (c) of this section.
    (c) The specific quarterly reporting periods are January 1-March 31, 
April 1-June 30, July 1-September 30, and October 1-December 31. The 
data and information reported for each reporting period must:
    (1) Contain all data and information gathered during the reporting 
period.
    (2) Be received in the AIRS-AQS within 90 days after the end of the 
quarterly reporting period. For example, the data for the reporting 
period January 1-March 31, 1994 are due on or before June 30, 1994.
    (d) Air quality data submitted for each reporting period must be 
edited, validated, and entered into the AIRS-AQS for updating (within 
the time limits specified in paragraph (c) of this section) pursuant to 
appropriate AIRS-AQS procedures. The procedures for editing and 
validating data are described in the AIRS Users Guide, Volume II Air 
Quality Data Coding.
    (e) This section does not permit a State to exempt those SLAMS which 
are also designated as NAMS from all or any of the reporting 
requirements applicable to SLAMS in Section 58.26.

[44 FR 27571, May 10, 1979, as amended at 46 FR 44164, Sept. 3, 1981; 51 
FR 9586, Mar. 19, 1986; 52 FR 24740, July 1, 1987; 59 FR 41628, Aug. 12, 
1994]



Sec. 58.36  System modification.

    During the annual SLAMS Network Review specified in Sec. 58.20, any 
changes to the NAMS network identified by the EPA and/or proposed by the 
State and agreed to by the EPA will be evaluated. These modifications 
should address changes invoked by a new census and changes to the 
network due to changing air quality levels, emission patterns, etc. The 
State shall be given one year (until the next annual evaluation) to 
implement the appropriate changes to the NAMS network.

[51 FR 9586, Mar. 19, 1986]



     Subpart E--Photochemical Assessment Monitoring Stations (PAMS)

    Source: 58 FR 8468, Feb. 12, 1993, unless otherwise noted.



Sec. 58.40  PAMS network establishment.

    (a) In addition to the plan revision, the State shall submit a 
photochemical assessment monitoring network description including a 
schedule for implementation to the Administrator within 6 months after;
    (1) February 12, 1993; or
    (2) Date of redesignation or reclassification of any existing 
O3 nonattainment area to serious, severe, or extreme; or
    (3) The designation of a new area and classification to serious, 
severe, or extreme O3 nonattainment.

The network description will apply to all serious, severe, and extreme 
O3 nonattainment areas within the State. Some O3 nonattainment 
areas may extend beyond State or Regional boundaries. In instances where 
PAMS network design criteria as defined in appendix D to this part 
require monitoring stations located in different States and/or Regions, 
the network description and implementation schedule should be submitted 
jointly by the States involved. When appropriate, such cooperation and 
joint network design submittals are preferred. Network descriptions 
shall be submitted through the appropriate Regional Office(s). 
Alternative networks, including different monitoring schedules, periods, 
or methods, may be submitted, but they must include a demonstration that 
they satisfy the monitoring data uses and fulfill the PAMS monitoring

[[Page 164]]

objectives described in sections 4.1 and 4.2 of appendix D to this part.
    (b) For purposes of plan development and approval, the stations 
established or designated as PAMS must be stations from the SLAMS 
network or become part of the SLAMS network required by Sec. 58.20.
    (c) The requirements of appendix D to this part applicable to PAMS 
must be met when designing the PAMS network.



Sec. 58.41  PAMS network description.

    The PAMS network description required by Sec. 58.40 must contain the 
following:
    (a) Identification of the monitoring area represented.
    (b) The AIRS site identification form for existing stations.
    (c) The proposed location for scheduled stations.
    (d) Identification of the site type and location within the PAMS 
network design for each station as defined in appendix D to this part 
except that during any year, a State may choose to submit detailed 
information for the site scheduled to begin operation during that year's 
PAMS monitoring season, and defer submittal of detailed information on 
the remaining sites until succeeding years. Such deferred network design 
phases should be submitted to EPA for approval no later than January 1 
of the first year of scheduled operation. As a minimum, general 
information on each deferred site should be submitted each year until 
final approval of the complete network is obtained from the 
Administrator.
    (e) The sampling and analysis method for each of the measurements.
    (f) The operating schedule for each of the measurements.
    (g) An O3 event forecasting scheme, if appropriate.
    (h) A schedule for implementation. This schedule should include the 
following:
    (1) A timetable for locating and submitting the AIRS site 
identification form for each scheduled PAMS that is not located at the 
time of submittal of the network description;
    (2) A timetable for phasing-in operation of the required number and 
type of sites as defined in appendix D to this part; and
    (3) A schedule for implementing the quality assurance procedures of 
appendix A to this part for each PAMS.



Sec. 58.42  PAMS approval.

    The PAMS network required by Sec. 58.40 is subject to the approval 
of the Administrator. Such approval will be contingent upon completion 
of each phase of the network description as outlined in Sec. 58.41 and 
upon conformance to the PAMS network design criteria contained in 
appendix D to this part.



Sec. 58.43  PAMS methodology.

    PAMS monitors must meet the monitoring methodology requirements of 
appendix C to this part applicable to PAMS.



Sec. 58.44  PAMS network completion.

    (a) The complete, operational PAMS network will be phased in as 
described in appendix D to this part over a period of 5 years after;
    (1) February 12, 1993; or
    (2) Date of redesignation or reclassification of any existing 
O3 nonattainment area to serious, severe, or extreme; or
    (3) The designation of a new area and classification to serious, 
severe, or extreme O3 nonattainment.
    (b) The quality assurance criteria of appendix A to this part must 
be implemented for all PAMS.



Sec. 58.45  PAMS data submittal.

    (a) The requirements of this section apply only to those stations 
designated as PAMS by the network description required by Sec. 58.40.
    (b) All data shall be submitted to the Administrator in accordance 
with the format, reporting periods, reporting deadlines, and other 
requirements as specified for NAMS in Sec. 58.35.
    (c) The State shall report NO and NOX data consistent with the 
requirements of Sec. 58.35 for criteria pollutants.
    (d) The State shall report VOC data and meteorological data within 6 
months following the end of each quarterly reporting period.

[[Page 165]]



Sec. 58.46  System modification.

    (a) Any proposed changes to the PAMS network description will be 
evaluated during the annual SLAMS Network Review specified in 
Sec. 58.20. Changes proposed by the State must be approved by the 
Administrator. The State will be allowed 1 year (until the next annual 
evaluation) to implement the appropriate changes to the PAMS network.
    (b) PAMS network requirements are mandatory only for serious, 
severe, and extreme O3 nonattainment areas. When any such area is 
redesignated to attainment, the State may revise its PAMS monitoring 
program subject to approval by the Administrator.



                 Subpart F--Air Quality Index Reporting



Sec. 58.50  Index reporting.

    (a) The State shall report to the general public on a daily basis 
through prominent notice an air quality index in accordance with the 
requirements of appendix G to this part.
    (b) Reporting must commence by January 1, 1981, for all urban areas 
with a population exceeding 500,000, and by January 1, 1983, for all 
urban areas with a population exceeding 200,000.
    (c) The population of an urban area for purposes of index reporting 
is the most recent U.S. census population figure as defined in Sec. 58.1 
paragraph (s).

[44 FR 27571, May 10, 1979, as amended at 51 FR 9586, Mar. 19, 1986. 
Redesignated at 58 FR 8467, Feb. 12, 1993]



                      Subpart G--Federal Monitoring

    Source: 44 FR 27571, May 10, 1979. Redesignated at 58 FR 8467, Feb. 
12, 1993.



Sec. 58.60  Federal monitoring.

    The Administrator may locate and operate an ambient air monitoring 
station if the State fails to locate, or schedule to be located, during 
the initial network design process or as a result of the annual review 
required by Sec. 58.20(d):
    (a) A SLAMS at a site which is necessary in the judgment of the 
Regional Administrator to meet the objectives defined in appendix D to 
this part, or
    (b) A NAMS at a site which is necessary in the judgment of the 
Administrator for meeting EPA national data needs.



Sec. 58.61  Monitoring other pollutants.

    The Administrator may promulgate criteria similar to that referenced 
in Subpart B of this part for monitoring a pollutant for which a 
National Ambient Air Quality Standard does not exist. Such an action 
would be taken whenever the Administrator determines that a nationwide 
monitoring program is necessary to monitor such a pollutant.

                          Appendices to Part 58

   Appendix A--Quality Assurance Requirements for State and Local Air 
                       Monitoring Stations (SLAMS)

1. General Information.

    This appendix specifies the minimum quality assurance requirements 
applicable to SLAMS air monitoring data submitted to EPA. States are 
encouraged to develop and maintain quality assurance programs more 
extensive than the required minimum.
    Quality assurance of air monitoring systems includes two distinct 
and important interrelated functions. One function is the control of the 
measurement process through the implementation of policies, procedures, 
and corrective actions. The other function is the assessment of the 
quality of the monitoring data (the product of the measurement process). 
In general, the greater the effort effectiveness of the control of a 
given monitoring system, the better will be the resulting quality of the 
monitoring data. The results of data quality assessments indicate 
whether the control efforts need to be increased.
    Documentation of the quality assessments of the monitoring data is 
important to data users, who can then consider the impact of the data 
quality in specific applications (see Reference 1). Accordingly, 
assessments of SLAMS data quality are required to be reported to EPA 
periodically.
    To provide national uniformity in this assessment and reporting of 
data quality for all SLAMS networks, specific assessment and reporting 
procedures are prescribed in detail in sections 3, 4, and 5 of this 
appendix.
    In contrast, the control function encompasses a variety of policies, 
procedures, specifications, standards, and corrective measures which 
affect the quality of the resulting data. The selection and extent of 
the quality control activities--as well as additional

[[Page 166]]

quality assessment activities--used by a monitoring agency depend on a 
number of local factors such as the field and laboratory conditions, the 
objectives of the monitoring, the level of the data quality needed, the 
expertise of assigned personnel, the cost of control procedures, 
pollutant concentration levels, etc. Therefore, the quality assurance 
requirements, in section 2 of this appendix, are specified in general 
terms to allow each State to develop a quality assurance system that is 
most efficient and effective for its own circumstances.

2. Quality Assurance Requirements

    2.1  Each State must develop and implement a quality assurance 
program consisting of policies, procedures, specifications, standards 
and documentation necessary to:
    (1) Provide data of adequate quality to meet monitoring objectives, 
and
    (2) Minimize loss of air quality data due to malfunctions or out-ot-
control conditions.
    This quality assurance program must be described in detail, suitably 
documented, and approved by the appropriate Regional Administrator, or 
his designee. The Quality Assurance Program will be reviewed during the 
annual system audit described in section 2.4.
    2.2  Primary guidance for developing the quality assurance program 
is contained in References 2 and 3, which also contain many suggested 
procedures, checks, and control specifications. Section 2.0.9 of 
Reference 3 describes specific guidance for the development of a Quality 
Assurance Program for SLAMS automated analyzers. Many specific quality 
control checks and specifications for manual methods are included in the 
respective reference methods described in part 50 of this chapter or in 
the respective equivalent method descriptions available from EPA (see 
Reference 4). Similarly, quality control procedures related to 
specifically designated reference and equivalent analyzers are contained 
in the respective operation and instruction manuals associated with 
those analyzers. Quality assurance guidance for meteorological systems 
at PAMS is contained in reference 3. Quality assurance procedures for 
VOC, NOX (including NO and NO2), O3, and carbonyl 
measurements at PAMS must be consistent with EPA guidance. This 
guidance, and any other pertinent information from appropriate sources, 
should be used by the States in developing their quality assurance 
programs.
    As a minimum, each quality assurance program must include 
operational procedures for each of the following activities:
    (1) Selection of methods, analyzers, or samplers;
    (2) Training;
    (3) Installation of equipment;
    (4) Selection and control of calibration standards;
    (5) Calibration;
    (6) Zero/span checks and adjustments of automated analyzers;0
    (7) Control checks and their frequency;
    (8) Control limits for zero, span and other control checks, and 
respective corrective actions when such limits are surpassed;
    (9) Calibration and zero/span checks for multiple range analyzers 
(see Section 2.6 of appendix C of this part);
    (10) Preventive and remedial maintenance;
    (11) Quality control procedures for air pollution episode 
monitoring;
    (12) Recording and validating data;
    (13) Data quality assessment (precision and accuracy);
    (14) Documentation of quality control information.
    2.3  Pollutant Concentration and Flow Rate Standards.
    2.3.1  Gaseous pollutant concentration standards (permeation devices 
or cylinders of compressed gas) used to obtain test concentration for 
CO, SO2, and NO2 must be traceable to either a National 
Institute of Standards and Technology (NIST) Standard Reference Material 
(SRM) or an NIST/EPA-approved commercially available Certified Reference 
Material (CRM). CRM's are described in Reference 5, and a list of CRM 
sources is available from the Quality Assurance Division (MD-77), 
Atmospheric Research and Exposure Assessment Laboratory, U.S. 
Environmental Protection Agency, Research Triangle Park, NC 27711.
    General guidance and recommended techniques for certifying gaseous 
working standards against an SRM or CRM are provided in section 2.0.7 of 
Reference 3. Direct use of a CRM as a working standard is acceptable, 
but direct use of an NIST SRM as a working standard is discouraged 
because of the limited supply and expense of SRMs.
    2.3.2  Test concentrations for O3 must be obtained in 
accordance with the UV photometric calibration procedure specified in 
appendix D of part 50 of this chapter, or by means of a certified ozone 
transfer standard. Consult References 6 and 7 for guidance on primary 
and transfer standards for O3.
    2.3.3  Flow rate measurements must be made by a flow measuring 
instrument that is traceable to an authoritative volume or other 
standard. Guidance for certifying some types of flowmeters is provided 
in Reference 3.
    2.4  National Performance and System Audit Programs
    Agencies operating SLAMS network stations shall be subject to annual 
EPA systems audits of their ambient air monitoring program and are 
required to participate in EPA's National Performance Audit Program. 
These audits are described in section 1.4.16 of Reference 2 and section 
2.0.11 of Reference 3. For instructions, agencies should contact either 
the appropriate EPA Regional Quality

[[Page 167]]

Assurance Coordinator or the Quality Assurance Division (MD-77B), 
Atmospheric Research and Exposure Assessment Laboratory, U.S. 
Environmental Protection Agency, Research Triangle Park, NC 27711.

3. Data Quality Assessment Requirements

    All ambient monitoring methods or analyzers used in SLAMS shall be 
tested periodically, as described in this section 3, to quantitatively 
assess the quality of the SLAMS data being routinely produced. 
Measurement accuracy and precision are estimated for both automated and 
manual methods. The individual results of these tests for each method or 
analyzer shall be reported to EPA as specified in section 4. EPA will 
then calculate quarterly integrated estimates of precision and accuracy 
applicable to the SLAMS data as described in section 5. Data assessment 
results should be reported to EPA only for methods and analyzers 
approved for use in SLAMS monitoring under appendix C of this part.
    The integrated data quality assessment estimates will be calculated 
on the basis of ``reporting organizations.'' A reporting organization is 
defined as a State, subordinate organization within a State, or other 
organization that is responsible for a set of stations that monitor the 
same pollutant and for which precision or accuracy assessments can be 
pooled. States must define one or more reporting organizations for each 
pollutant such that each monitoring station in the State SLAMS network 
is included in one, and only one, reporting organization.
    Each reporting organization shall be defined such that precision or 
accuracy among all stations in the organization can be expected to be 
reasonably homogeneous, as a result of common factors. Common factors 
that should be considered by States in defining reporting organizations 
include: (1) operation by a common team of field operators, (2) common 
calibration facilities, and (3) support by a common laboratory or 
headquarters. Where there is uncertainty in defining the reporting 
organizations or in assigning specific sites to reporting organizations, 
States shall consult with the appropriate EPA Regional Office for 
guidance. All definitions of reporting organizations shall be subject to 
final approval by the appropriate EPA Regional Office.
    Assessment results shall be reported as specified in section 4. 
Concentration and flow standards must be as specified in sections 2.3 or 
3.4. In addition, working standards and equipment used for accuracy 
audits must not be the same standards and equipment used for routine 
calibrations. Additional information and guidance in the technical 
aspects of conducting these tests may be found in Reference 3 or in the 
operation or instruction manual associated with the analyzer or sampler. 
Concentration measurements reported from analyzers or analytical systems 
(indicated concentrations) should be based on stable readings and must 
be derived by means of the same calibration curve and data processing 
system used to obtain the routine air monitoring data (see Reference 1 
and Reference 3, section 2.0.9.1.3(d)). Table A-1 provides a summary of 
the minimum data quality assessment requirements, which are described in 
more detail in the following sections.
    3.1  Precision of Automated Methods
    A one-point precision check must be carried out at least once every 
two weeks on each automated analyzer used to measure SO2, NO2, 
O3, and CO. The precision check is made by challenging the analyzer 
with a precision check gas of known concentration (effective 
concentration for open path analyzers) between 0.08 and 0.10 ppm for 
SO2, NO2, and O3 analyzers, and between 8 and 10 ppm for 
CO analyzers. To check the precision of SLAMS analyzers operating on 
ranges higher than 0 to 1.0 ppm SO2, NO2, and O3, or 0 to 
100 ppm for CO, use precision check gases of appropriately higher 
concentration as approved by the appropriate Regional Administrator or 
the Regional Administrator's designee. However, the results of precision 
checks at concentration levels other than those specified above do not 
need be reported to the EPA. The standards from which precision check 
test concentrations are obtained must meet the specifications of section 
2.3.
    Except for certain CO analyzers described below, point analyzers 
must operate in their normal sampling mode during the precision check, 
and the test atmosphere must pass through all filters, scrubbers, 
conditioners, and other components used during normal ambient sampling 
and as much of the ambient air inlet system as is practicable. If 
permitted by the associated operation or instruction manual, a CO point 
analyzer may be temporarily modified during the precision check to 
reduce vent or purge flows, or the test atmosphere may enter the 
analyzer at a point other than the normal sample inlet, provided that 
the analyzer's response is not likely to be altered by these deviations 
from the normal operational mode.
    If a precision check is made in conjunction with a zero or span 
adjustment, it must be made prior to such zero or span adjustments. 
Randomization of the precision check with respect to time of day, day of 
week, and routine service and adjustment is encouraged where possible.
    Open path analyzers are tested by inserting a test cell containing a 
precision check gas concentration into the optical measurement beam of 
the instrument. If possible, the normally used transmitter, receiver, 
and, as appropriate, reflecting devices should be used during the test, 
and the normal monitoring configuration of the instrument

[[Page 168]]

should be altered as little as possible to accommodate the test cell for 
the test. However, if permitted by the associated operation or 
instruction manual, an alternate local light source or an alternate 
optical path that does not include the normal atmospheric monitoring 
path may be used. The actual concentration of the precision check gas in 
the test cell must be selected to produce an ``effective concentration'' 
in the range specified above. Generally, the precision test 
concentration measurement will be the sum of the atmospheric pollutant 
concentration and the precision test concentration. If so, the result 
must be corrected to remove the atmospheric concentration contribution. 
The ``corrected concentration'' is obtained by subtracting the average 
of the atmospheric concentrations measured by the open path instrument 
under test immediately before and immediately after the precision check 
test from the precision test concentration measurement. If the 
difference between these before and after measurements is greater than 
20 percent of the effective concentration of the test gas, discard the 
test result and repeat the test. If possible, open path analyzers should 
be tested during periods when the atmospheric pollutant concentrations 
are relatively low and steady.
    Report the actual concentration (effective concentration for open 
path analyzers) of the precision check gas and the corresponding 
concentration measurement (corrected concentration, if applicable, for 
open path analyzers) indicated by the analyzer. The percent differences 
between these concentrations are used to assess the precision of the 
monitoring data as described in section 5.1.
    3.2  Accuracy of Automated Methods. Each calendar quarter (during 
which analyzers are operated), audit at least 25 percent of the SLAMS 
analyzers that monitor for SO2, NO2, O3, or CO such that 
each analyzer is audited at least once per year. If there are fewer than 
four analyzers for a pollutant within a reporting organization, randomly 
reaudit one or more analyzers so that at least one analyzer for that 
pollutant is audited each calendar quarter. Where possible, EPA strongly 
encourages more frequent auditing, up to an audit frequency of once per 
quarter for each SLAMS analyzer.
    The audit is made by challenging the analyzer with at least one 
audit gas of known concentration (effective concentration for open path 
analyzers) from each of the following ranges that fall within the 
measurement range of the analyzer being audited:

------------------------------------------------------------------------
                                      Concentration range, ppm          
             Audit level             --------------------------    CO   
                                        SO2, O3        NO2              
------------------------------------------------------------------------
1...................................    0.03-0.08    0.03-0.08    3-8   
2...................................    0.15-0.20    0.15-0.20  15-20   
3...................................    0.35-0.45    0.35-0.45  35-45   
4...................................    0.80-0.90  ...........  80-90   
------------------------------------------------------------------------

    NO2 audit gas for chemiluminescence-type NO2 analyzers 
must also contain at least 0.08 ppm NO.
    Note: NO concentrations substantially higher than 0.08 ppm, as may 
occur when using some gas phase titration (GPT) techniques, may lead to 
audit errors in chemiluminescence analyzers due to inevitable minor NO-
NOx channel imbalance. Such errors may be atypical of routine 
monitoring errors to the extent that such NO concentrations exceed 
typical ambient NO concentrations at the site. These errors may be 
minimized by modifying the GPT technique to lower the NO concentrations 
remaining in the NO2 audit gas to levels closer to typical ambient 
NO concentrations at the site.
    To audit SLAMS analyzers operating on ranges higher than 0 to 1.0 
ppm for SO2, NO2, and O3 or 0 to 100 ppm for CO, use 
audit gases of appropriately higher concentration as approved by the 
appropriate Regional Administrator or his designee. The results of 
audits at concentration levels other than those shown in the above table 
need not be reported to EPA.
    The standards from which audit gas test concentrations are obtained 
must meet the specifications of section 2.3. Working or transfer 
standards and equipment used for auditing must not be the same as the 
standards and equipment used for calibration and spanning, but may be 
referenced to the same NIST SRM, CRM, or primary UV photometer. The 
auditor should not be the operator or analyst who conducts the routine 
monitoring, calibration, and analysis.
    For point analyzers, the audit shall be carried out by allowing the 
analyzer to analyze the audit test atmosphere in its normal sampling 
mode such that the test atmosphere passes through all filters, 
scrubbers, conditioners, and other sample inlet components used during 
normal ambient sampling and as much of the ambient air inlet system as 
is practicable. The exception provided in section 3.1 for certain CO 
analyzer does not apply for audits.
    Open path analyzers are audited by inserting a test cell containing 
the various audit gas concentrations into the optical measurement beam 
of the instrument. If possible, the normally used transmitter, receiver, 
and, as appropriate, reflecting devices should be used during the audit, 
and the normal monitoring configuration of the instrument should be 
modified as little as possible to accommodate the test cell for the 
audit. However, if permitted by the associated operation or instruction 
manual, an alternate

[[Page 169]]

local light source or an alternate optical path that does not include 
the normal atmospheric monitoring path may be used. The actual 
concentrations of the audit gas in the test cell must be selected to 
produce ``effective concentrations'' in the ranges specified in this 
section 3.2. Generally, each audit concentration measurement result will 
be the sum of the atmospheric pollutant concentration and the audit test 
concentration. If so, the result must be corrected to remove the 
atmospheric concentration contribution. The ``corrected concentration'' 
is obtained by subtracting the average of the atmospheric concentrations 
measured by the open path instrument under test immediately before and 
immediately after the audit test (or preferably before and after each 
audit concentration level) from the audit concentration measurement. If 
the difference between the before and after measurements is greater than 
20 percent of the effective concentration of the test gas standard, 
discard the test result for that concentration level and repeat the test 
for that level. If possible, open path analyzers should be audited 
during periods when the atmospheric pollutant concentrations are 
relatively low and steady. Also, the monitoring path length must be 
reverified to within 3 percent to validate the audit, since 
the monitoring path length is critical to the determination of the 
effective concentration.
    Report both the audit test concentrations (effective concentrations 
for open path analyzers) and the corresponding concentration 
measurements (corrected concentrations, if applicable, for open path 
analyzers) indicated or produced by the analyzer being tested. The 
percent differences between these concentrations are used to assess the 
accuracy of the monitoring data as described in section 5.2.
    3.3  Precision of Manual Methods. For each network of manual 
methods, select one or more monitoring sites within the reporting 
organization for duplicate, collocated sampling as follows: for 1 to 5 
sites, select 1 site; for 6 to 20 sites, select 2 sites; and for over 20 
sites, select 3 sites. Where possible, additional collocated sampling is 
encouraged. For particulate matter, a network for measuring PM10 
shall be separate from a TSP network. Sites having annual mean 
particulate matter concentrations among the highest 25 percent of the 
annual mean concentrations for all the sites in the network must be 
selected or, if such sites are impractical, alternate sites approved by 
the Regional Administrator may be selected.
    In determining the number of collocated sites required, monitoring 
networks for Pb should be treated independently from networks for 
particulate matter, even though the separate networks may share one or 
more common samplers. However, a single pair of samplers collocated at a 
common-sampler monitoring site that meets the requirements for both a 
collocated lead site and a collocated particulate matter site may serve 
as a collocated site for both networks.
    The two collocated samplers must be within 4 meters of each other, 
and particulate matter samplers must be at least 2 meters apart to 
preclude airflow interference. Calibration, sampling and analysis must 
be the same for both collocated samplers and the same as for all other 
samplers in the network.
    For each pair of collocated samplers, designate one sampler as the 
primary sampler whose samples will be used to report air quality for the 
site, and designate the other as the duplicate sampler. Each duplicate 
sampler must be operated concurrently with its associated routine 
sampler at least once per week. The operation schedule should be 
selected so that the sampling days are distributed evenly over the year 
and over the seven days of the week. The every-6-day schedule used by 
many monitoring agencies is recommended. Report the measurements from 
both samplers at each collocated sampling site, including measurements 
falling below the limits specified in 5.3.1. The percent differences in 
measured concentration (g/m3) between the two collocated 
samplers are used to calculate precision as described in section 5.3.
    3.4  Accuracy of Manual Methods. The accuracy of manual sampling 
methods is assessed by auditing a portion of the measurement process. 
For particulate matter methods, the flow rate during sample collection 
is audited. For SO2 and NO2 methods, the analytical 
measurement is audited. For Pb methods, the flow rate and analytical 
measurement are audited.
    3.4.1  Particulate matter methods. Each calendar quarter, audit the 
flow rate of at least 25 percent of the samplers such that each sampler 
is audited at least once per year. If there are fewer than four samplers 
within a reporting organization, randomly reaudit one or more samplers 
so that one sampler is audited each calendar quarter. Audit each sampler 
at its normal operating flow rate, using a flow rate transfer standard 
as described in section 2.3.3. The flow rate standard used for auditing 
must not be the same flow rate standard used to calibrate the sampler. 
However, both the calibration standard and the audit standard may be 
referenced to the same primary flow rate standard. The flow audit should 
be scheduled so as to avoid interference with a scheduled sampling 
period. Report the audit flow rates and the corresponding flow rates 
indicated by the sampler's normally used flow indicator. The percent 
differences between these flow rates are used to calculate accuracy as 
described in section 5.4.1.
    Great care must be used in auditing high-volume particulate matter 
samplers having

[[Page 170]]

flow regulators because the introduction of resistance plates in the 
audit flow standard device can cause abnormal flow patterns at the point 
of flow sensing. For this reason, the flow audit standard should be used 
with a normal filter in place and without resistance plates in auditing 
flow-regulated high-volume samplers, or other steps should be taken to 
assure that flow patterns are not perturbed at the point of flow 
sensing.
    3.4.2  SO2 Methods. Prepare audit solutions from a working 
sulfite-tetrachloromercurate (TCM) solution as described in section 10.2 
of the SO2 Reference Method (appendix A of part 50 of this 
chapter). These audit samples must be prepared independently from the 
standardized sulfite solutions used in the routine calibration 
procedure. Sulfite-TCM audit samples must be stored between 0 and 5 
deg.C and expire 30 days after preparation.
    Prepare audit samples in each of the concentration ranges of 0.2-
0.3, 0.5-0.6, and 0.8-0.9 g SO2/ml. Analyze an audit 
sample in each of the three ranges at least once each day that samples 
are analyzed and at least twice per calendar quarter. Report the audit 
concentrations (in g SO2/ml) and the corresponding 
indicated concentrations (in g SO2/ml). The percent 
differences between these concentrations are used to calculate accuracy 
as described in section 5.4.2.
    3.4.3 NO2 Methods. Prepare audit solutions from a working 
sodium nitrite solution as described in the appropriate equivalent 
method (see Reference 4). These audit samples must be prepared 
independently from the standardized nitrite solutions used in the 
routine calibration procedure. Sodium nitrite audit samples expire in 3 
months after preparation. Prepare audit samples in each of the 
concentration ranges of 0.2-0.3, 0.5-0.6, and 0.8-0.9 g 
NO2/ml. Analyze an audit sample in each of the three ranges at 
least once each day that samples are analyzed and at least twice per 
calendar quarter. Report the audit concentrations (in g 
NO2/ml) and the corresponding indicated concentrations (in 
g NO2/ml). The percent differences between these 
concentrations are used to calculate accuracy as described in section 
5.4.2.
    3.4.4  Pb Methods. For the Pb Reference Method (appendix G of part 
50 of this chapter), the flow rates of the high-volume Pb samplers shall 
be audited as part of the TSP network using the same procedures 
described in Section 3.4.1. For agencies operating both TSP and Pb 
networks, 25 percent of the total number of high-volume samplers are to 
be audited each quarter.
    Each calendar quarter, audit the Pb Reference Method analytical 
procedure using glass fiber filter strips containing a known quantity of 
Pb. These audit sample strips are prepared by depositing a Pb solution 
on 1.9 cm by 20.3 cm (\3/4\ inch by 8 inch) unexposed glass fiber filter 
strips and allowing them to dry thoroughly. The audit samples must be 
prepared using batches of reagents different from those used to 
calibrate the Pb analytical equipment being audited. Prepare audit 
samples in the following concentration ranges:

------------------------------------------------------------------------
                                             Pb            Equivalent   
                                       concentration,      ambient Pb   
                Range                    g/   concentration,\1\
                                            strip        g/m3  
------------------------------------------------------------------------
1....................................        100-300          0.5-1.5   
2....................................       600-1000         3.0-5.0    
------------------------------------------------------------------------
\1\ Equivalent ambient Pb concentration in g/m3 is based on    
  sampling at 1.7 m3/min for 24 hours on a 20.3 cm x 25.4 cm (8 inch x  
  10 inch) glass fiber filter.                                          

    Audit samples must be extracted using the same extraction procedure 
used for exposed filters.
    Analyze three audit samples in each of the two ranges each quarter 
samples are analyzed. The audit sample analyses shall be distributed as 
much as possible over the entire calendar quarter. Report the audit 
concentrations (in g Pb/strip) and the corresponding measured 
concentrations (in g Pb/strip) using unit code 77. The percent 
differences between the concentrations are used to calculate analytical 
accuracy as described in section 5.4.2.
    The accuracy of an equivalent Pb method is assessed in the same 
manner as for the reference method. The flow auditing device and Pb 
analysis audit samples must be compatible with the specific requirements 
of the equivalent method.

4. Reporting Requirements

    For each pollutant, prepare a list of all monitoring sites and their 
AIRS site identification codes in each reporting organization and submit 
the list to the appropriate EPA Regional Office, with a copy to the 
Atmospheric Research and Exposure Assessment Laboratory (MD-75), U.S. 
Environmental Protection Agency, Research Triangle Park, NC 27711 
(AREAL/RTP). Whenever there is a change in this list of monitoring sites 
in a reporting organization, report this change to the Regional Office 
and to AREAL/RTP.
    4.1  Quarterly Reports. For each quarter, each reporting 
organization shall report to AIRS-AQS directly (or via the appropriate 
EPA Regional Office for organizations not direct users of AIRS) the 
results of all valid precision and accuracy tests it has carried out 
during the quarter. The quarterly reports of precision and accuracy data 
must be submitted consistent with the data reporting requirements 
specified for air quality data as set forth in Sec. 58.35(c). Each 
organization shall report all collocated measurements including those 
falling below the levels specified in section 5.3.1. Do not report 
results from invalid tests, from tests carried out during a time period 
for which ambient data immediately prior or subsequent to the tests were 
invalidated for appropriate reasons, or from

[[Page 171]]

tests of methods or analyzers not approved for use in SLAMS monitoring 
networks under Appendix C of this part.
    4.2  Annual Reports. When precision and accuracy estimates for a 
reporting organization have been calculated for all four quarters of the 
calendar year, EPA will calculate the properly weighted probability 
limits for precision and accuracy for the entire calendar year. These 
limits will then be associated with the data submitted in the annual 
SLAMS report required by Sec. 58.26.
    Each reporting organization shall submit, along with its annual 
SLAMS report, a listing by pollutant of all monitoring sites in the 
reporting organization.
5. Calculations for Data Quality Assessment

    Calculation of estimates of integrated precision and accuracy are 
carried out by EPA according to the following procedures. Reporting 
organizations should report the results of individual precision and 
accuracy tests as specified in sections 3 and 4 even though they may 
elect to carry out some or all of the calculations in this section on 
their own.
    5.1  Precision of Automated Methods. Estimates of the precision of 
automated methods are calculated from the results of biweekly precision 
checks as specified in section 3.1. At the end of each calendar quarter, 
an integrated precision probability interval for all SLAMS analyzers in 
the organization is calculated for each pollutant.
    5.1.1  Single Analyzer Precision. The percentage difference 
(di) for each precision check is calculated using equation 1, where 
Yi is the concentration indicated by the analyzer for the i-th 
precision check and Xi is the known concentration for the i-th 
precision check.


 58-143a.eps
    For each analyzer, the quarterly average (dj) is calculated 
with equation 2, and the standard deviation (Sj) with equation 3, 
where n is the number of precision checks on the instrument made during 
the calendar quarter. For example, n should be 6 or 7 if precision 
checks are made biweekly during a quarter.


 58-143b.eps


 58-143c.eps

[[Page 172]]

    5.1.2  Precision for Reporting Organization. For each pollutant, the 
average of averages (D) and the pooled standard deviation (Sa) are 
calculated for all analyzers audited for the pollutant during the 
quarter, using either 
equations 4 and 5 or 4a and 5a, where k is the number of analyzers 
audited within the reporting organization for a single pollutant.








                                     
Equations 4 and 5 are used when the same number of precision checks are 
made for each analyzer. Equations 4a and 5a are used to obtain a 
weighted average and a weighted standard deviation when different 
numbers of precision checks are made for the analyzers.
    For each pollutant, the 95 Percent Probability Limits for the 
precision of a reporting organization are calculated using equations 6 
and 7.

  Upper 95 Percent Probability Limit=D+1.96 Sa................       (6)
  Lower 95 Percent Probability Limit=D-1.96 Sa................       (7)
                                                                        

    5.2  Accuracy of Automated Methods. Estimates of the accuracy of 
automated methods are calculated from the results of independent audits 
as described in section 3.2 At the end of each calendar quarter, an 
integrated accuracy probability interval for all SLAMS analyzers audited 
in the reporting organization is calculated for each pollutant. Separate 
probability limits are calculated for each audit concentration level in 
section 3.2.
    5.2.1  Single Analyzer Accuracy. The percentage difference (di) 
for each audit concentration is calculated using equation 1, where 
Yi is the analyzer's indicated concentration measurement from the 
i-th audit check and Xi is the actual concentration of the audit 
gas used for the i-th audit check.
    5.2.2  Accuracy for Reporting Organization. For each audit 
concentration level, the average (D) of the individual percentage 
differences (di) for all n analyzers measuring a given pollutant 
audited during the quarter is calculated using equation 8.


 58-144e.eps
For each concentration level, the standard deviation (Sa) of all 
the individual percentage differences for all analyzers audited during 
the quarter is calculated, for each pollutant, using equation 9.



[[Page 173]]


 58-144f.eps
For reporting organizations having four or fewer analyzers for a 
particular pollutant, only one audit is required each quarter, and the 
average and standard deviation cannot be calculated. For such reporting 
organizations, the audit results of two consecutive quarters are 
required to calculate an average and a standard deviation, using 
equations 8 and 9. Therefore, the reporting of probability limits shall 
be on a semiannual (instead of a quarterly) basis.
    For each pollutant, the 95 Percent Probability Limits for the 
accuracy of a reporting organization are calculated at each audit 
concentration level using equations 6 and 7.
    5.3  Precision of Manual Methods. Estimates of precision of manual 
methods are calculated from the results obtained from collocated 
samplers as described in section 3.3. At the end of each calendar 
quarter, an integrated precision probability interval for all collocated 
samplers operating in the reporting organization is calculated for each 
manual method network.
    5.3.1  Single Sampler Precision. At low concentrations, agreement 
between the measurements of collocated samplers, expressed as percent 
differences, may be relatively poor. For this reason, collocated 
measurement pairs are selected for use in the precision calculations 
only when both measurements are above the following limits:

    TSP: 20 g/m \3\,
    SO2: 45 g/m \3\,
    NO2: 30 g/m \3\, 
    Pb: 0.15 g/m \3\, and
    PM10: 20 g/m \3\.

For each selected measurement pair, the percent difference (di) is 
calculated, using equation 10,


 58-145a.eps
Where yi is the pollutant concentration measurement obtained from 
the duplicate sampler and Xi is the concentration measurement 
obtained from the primary sampler designated for reporting air quality 
for the site. For each site, the quarterly average percent difference 
(dj) is calculated from equation 2 and the standard deviation 
(Sj) is calculated from equation 3, where n=the number of selected 
measurement pairs at the site.
    5.3.2  Precision for Reporting Organization. For each pollutant, the 
average percentage difference (D) and the pooled standard deviation 
(Sa) are calculated, using equations 4 and 5, or using equations 4a 
and 5a if different numbers of paired measurements are obtained at the 
collocated sites. For these calculations, the k of equations 4, 4a, 5 
and 5a is the number of collocated sites.
    The 95 Percent Probability Limits for the integrated precision for a 
reporting organization are calculated using equations 11 and 12.

  Upper 95 Percent Probability Limit=D+1.96 Sa/2..............      (11)
                                                                        
  Lower 95 Percent Probability Limit=D-1.96 Sa/2..............      (12)
                                                                        

    5.4  Accuracy of Manual Methods. Estimates of the accuracy of manual 
methods are calculated from the results of independent audits as 
described in Section 3.4. At the end of each calendar quarter, an 
integrated accuracy probability interval is calculated for each manual 
method network operated by the reporting organization.
    5.4.1  Particulate Matter Samplers (including reference method Pb 
samplers).
    (1) Single Sampler Accuracy. For the flow rate audit described in 
Section 3.4.1, the percentage difference (di) for each audit is 
calculated using equation 1, where Xi represents the known flow 
rate and Yi represents the flow rate indicated by the sampler.
    (b) Accuracy for Reporting Organization. For each type of 
particulate matter measured (e.g., TSP/Pb), the average (D) of the 
individual percent differences for all similar particulate matter 
samplers audited during the calendar quarter is calculated using 
equation 8. The standard deviation (Sa) of the percentage 
differences for all of the similar particulate matter samplers audited 
during the calendar quarter is calulated using equation 9. The 95 
percent probability limits for the integrated accuracy for the reporting 
organization are calculated using equations 6 and 7. For reporting 
organizations having four or fewer particulate matter samplers of one 
type, only one audit is required each quarter, and the audit results of 
two consecutive quarters are required to calculate an average and a 
standard deviation. In that case, probability limits shall be reported 
semi-annually rather than quarterly.
    5.4.2  Analytical Methods for SO2, NO2, and Pb.
    (a) Single Analysis-Day Accuracy. For each of the audits of the 
analytical methods for SO2, NO2, and Pb described in section 
3.4.2, 3.4.3, and 3.4.4, the percentage difference (dj) at each 
concentration level is calculated using equation 1, where Xj 
represents the known value of the audit sample and Yj represents 
the value of SO, NO2, and Pb indicated by the analytical method.
    (b) Accuracy for Reporting Organization. For each analytical method, 
the average (D) of the individual percent differences at each 
concentration level for all audits during the

[[Page 174]]

calendar quarter is calculated using equation 8. The standard deviation 
(Sa) of the percentage differences at each concentration level for 
all audits during the calendar quarter is calculated using equation 9. 
The 95 percent probability limits for the accuracy for the reporting 
organization are calculated using equations 6 and 7.

References

    1. Rhodes, R.C. Guideline on the Meaning and Use of Precision and 
Accuracy Data Required by 40 CFR part 58 appendices A and B. EPA-600/4-
83/023. U.S. Environmental Protection Agency, Research Triangle Park, NC 
27711, June, 1983.
    2.``Quality Assurance Handbook for Air Pollution Measurement 
Systems, Volume 1--Principles.'' EPA-600/9-76-005. March 1976. Available 
from U.S. Environmental Protection Agency, Atmospheric Research and 
Exposure Assessment Laboratory (MD-77), Research Triangle Park, NC 
27711.
    3. ``Quality Assurance Handbook for Air Pollution Measurement 
Systems, Volume II--Ambient Air Specific Methods.'' EPA-600/4-77-027a. 
May 1977. Available from U.S. Environmental Protection Agency, 
Atmospheric Research and Exposure Assessment Laboratory (MD-77), 
Research Triangle Park, NC 27711.
    4. ``List of Designated Reference and Equivalent Methods.'' 
Available from U.S. Environmental Protection Agency, Department E (MD-
77), Research Triangle Park, NC 27711.
    5. Technical Assistance Document for Sampling and Analysis of Ozone 
Precursors. Atmospheric Research and Exposure Assessment Laboratory, 
U.S. Environmental Protection Agency, Research Triangle Park, NC 27711. 
EPA 600/8-91-215. October 1991.
    6. Hughes, E.E. and J. Mandel. A Procedure for Establishing 
Traceability of Gas Mixtures to Certain National Bureau of Standards 
SRM's. EPA-600/7-81-010. U.S. Environmental Protection Agency, Research 
Triangle Park, NC 27711, May, 1981. (Joint NBS/EPA Publication)
    7. Paur, R.J. and F.F. McElroy. Technical Assistance Document for 
the Calibration of Ambient Ozone Monitors. EPA-600/4-79-057. U.S. 
Environmental Protection Agency, Research Triangle Park, NC 27711, 
September, 1979.
    8. McElroy, F.F. Transfer Standards for the Calibration of Ambient 
Air Monitoring Analyzers for Ozone. EPA-600/4-79-056. U.S. Environmental 
Protection Agency, Research Triangle Park, NC 27711, September, 1979.

[[Page 175]]



                                Table A-1.--Minimum Data Assessment Requirements                                
----------------------------------------------------------------------------------------------------------------
                                                                                                  Parameters    
             Method                Assessment method       Coverage        Minimum frequency       reported     
----------------------------------------------------------------------------------------------------------------
Precision:                                                                                                      
  Automated methods for SO2,      Response checks at  Each analyzer.....  Once per 2 weeks..  Actual            
   NO2, O3, and CO.                concentration                                               concentration \2\
                                   between .08 & .10                                           & measured       
                                   ppm (8 & 10 ppm                                             concentration.\3\
                                   for CO) \2\.                                                                 
  Manual methods including lead.  Collocated          1 site for 1-5      Once per week.....  Two concentration 
                                   samplers.           sites; 2 sites                          measurements.    
                                                       for 6-20 sites; 3                                        
                                                       sites> 20 sites                                          
                                                       (sites with                                              
                                                       highest conc.).                                          
Accuracy:                                                                                                       
  Automated methods for SO2,      Response checks     1. Each analyzer.   1. Once per year..  Actual            
   NO2, O3, and CO.                at: .03-.08 ppm;    2. 25% of          2. Each calendar     concentration \2\
                                   1,2 .15-.20 ppm;    analyzers (at       quarter.            & measured       
                                   1,2 .35-.45 ppm;    least 1).                               (indicated)      
                                   1,2 .80-.90 ppm;                                            concentration \3\
                                   1,2 (If                                                     for each level.  
                                   applicable).                                                                 
  Manual methods for SO2 and NO2  Check of            Analytical system.  Each day samples    Actual            
                                   analytical                              are analyzed, at    concentration &  
                                   procedure with                          least twice per     measured         
                                   audit standard                          quarter.            (indicated)      
                                   solutions.                                                  concentration for
                                                                                               each audit       
                                                                                               solution.        
  TSP, PM-10....................  Check of sampler    1. Each sampler...  1. Once per year..  Actual flow rate  
                                   flow rate.         2. 25% of samplers  2. Each calendar     and flow rate    
                                                       (at least 1).       quarter.            indicated by the 
                                                                                               sampler.         
  Lead..........................  1. Check sample     1. Each sampler...  1. Include with     1. Same as for    
                                   flow rate as for   2. Analytical        TSP..               TSP.             
                                   TSP. 2. Check       system.            2. Each quarter...  2. Actual         
                                   analytical system                                           concentration &  
                                   with Pb audit                                               measured         
                                   strips.                                                     (indicated)      
                                                                                               concentration of 
                                                                                               audit samples    
                                                                                               (g Pb/  
                                                                                               strip).          
----------------------------------------------------------------------------------------------------------------
\1\ Concentration times 100 for CO.                                                                             
\2\ Effective concentration for open path analyzers.                                                            
\3\ Corrected concentration, if applicable, for open path analyzers.                                            


[51 FR 9587, Mar. 19, 1986, as amended at 52 FR 24741, July 1, 1987; 58 
FR 8468, Feb. 12, 1993; 59 FR 41628, 41629, Aug. 12, 1994; 60 FR 52320, 
Oct. 6, 1995]

[[Page 176]]



Appendix B--Quality Assurance Requirements for Prevention of Significant 
                   Deterioration (PSD) Air Monitoring

1. General Information

    This appendix specifies the minimum quality assurance requirements 
for the control and assessment of the quality of the PSD ambient air 
monitoring data submitted to EPA by an organization operating a network 
of PSD stations. Such organizations are encouraged to develop and 
maintain quality assurance programs more extensive than the required 
minimum.
    Quality assurance of air monitoring systems includes two distinct 
and important interrelated functions. One function is the control of the 
measurement process through the implementation of policies, procedures, 
and corrective actions. The other function is the assessment of the 
quality of the monitoring data (the product of the measurement process). 
In general, the greater the effort and effectiveness of the control of a 
given monitoring system, the better will be the resulting quality of the 
monitoring data. The results of data quality assessments indicate 
whether the control efforts need to be increased.
    Documentation of the quality assessments of the monitoring data is 
important to data users, who can then consider the impact of the data 
quality in specific applications (see Reference 1). Accordingly, 
assessments of PSD monitoring data quality are required to be made and 
reported periodically by the monitoring organization.
    To provide national uniformity in the assessment and reporting of 
data quality among all PSD networks, specific assessment and reporting 
procedures are prescribed in detail in sections 3, 4, 5, and 6 of this 
appendix.
    In contrast, the control function encompasses a variety of policies, 
procedures, specifications, standards, and corrective measures which 
affect the quality of the resulting data. The selection and extent of 
the quality control activities--as well as additional quality assessment 
activities--used by a monitoring organization depend on a number of 
local factors such as the field and laboratory conditions, the 
objectives of the monitoring, the level of the data quality needed, the 
expertise of assigned personnel, the cost of control procedures, 
pollutant concentration levels, etc. Therefore, the quality assurance 
requirements, in section 2 of this appendix, are specified in general 
terms to allow each organization to develop a quality control system 
that is most efficient and effective for its own circumstances.
    For purposes of this appendix, ``organization'' is defined as a 
source owner/operator, a government agency, or their contractor that 
operates an ambient air pollution monitoring network for PSD purposes.

2. Quality Assurance Requirements

    2.1  Each organization must develop and implement a quality 
assurance program consisting of policies, procedures, specifications, 
standards and documentation necessary to:
    (1) Provide data of adequate quality to meet monitoring objectives 
and quality assurance requirements of the permit-granting authority, and
    (2) Minimize loss of air quality data due to malfunctions or out-of-
control conditions.
    This quality assurance program must be described in detail, suitably 
documented, and approved by the permit-granting authority. The Quality 
Assurance Program will be reviewed during the system audits described in 
section 2.4.
    2.2  Primary guidance for developing the Quality Assurance Program 
is contained in References 2 and 3, which also contain many suggested 
procedures, checks, and control specifications. Section 2.0.9 of 
Reference 3 describes specific guidance for the development of a Quality 
Assurance Program for automated analyzers. Many specific quality control 
checks and specifications for manual methods are included in the 
respective reference methods described in part 50 of this chapter or in 
the respective equivalent method descriptions available from EPA (see 
Reference 4). Similarly, quality control procedures related to 
specifically designated reference and equivalent analyzers are contained 
in their respective operation and instruction manuals. This guidance, 
and any other pertinent information from appropriate sources, should be 
used by the organization in developing its quality assurance program.
    As a minimum, each quality assurance program must include 
operational procedures for each of the following activities:
    (1) Selection of methods, analyzers, or samplers;
    (2) Training;
    (3) Installation of equipment;
    (4) Selection and control of calibration standards;
    (5) Calibration;
    (6) Zero/span checks and adjustments of automated analyzers;
    (7) Control checks and their frequency;
    (8) Control limits for zero, span and other control checks, and 
respective corrective actions when such limits are surpassed;
    (9) Calibration and zero/span checks for multiple range analyzers 
(see section 2.6 of appendix C of this part);
    (10) Preventive and remedial maintenance;
    (11) Recording and validating data;
    (12) Date quality assessment (precision and accuracy);
    (13) Documentation of quality control information.

[[Page 177]]

    2.3  Pollutant Standards.
    2.3.1  Gaseous standards (permeation tubes, permeation devices or 
cylinders of compressed gas) used to obtain test concentrations for CO, 
SO2, and NO2 must be traceable to either a National Institute 
of Standards and Technology (NIST) gaseous Standard Reference Material 
(SRM) or an NIST/EPA-approved commercially available Certified Reference 
Material (CRM). CRM's are described in Reference 5, and a list of CRM 
sources is available from Quality Assurance Division (MD-77), 
Atmospheric Research and Exposure Assessment Laboratory, U.S. 
Environmental Protection Agency, Research Triangle Park, NC 27711. A 
recommended protocol for certifying gaseous standards against an SRM or 
CRM is given in section 2.0.7 of Reference 3. Direct use of a CRM as a 
working standard is acceptable, but direct use of an NIST SRM as a 
working standard is discouraged because of the limited supply and 
expense of SRM's.
    2.3.2  Test concentrations for ozone must be obtained in accordance 
with the UV photometric calibration procedure specified in appendix D of 
part 50 of this chapter, or by means of a certified ozone transfer 
standard. Consult References 6 and 7 for guidance on primary and 
transfer standards for ozone.
    2.3.3.  Flow measurement must be made by a flow measuring instrument 
that is traceable to an authoritative volume or other standard. Guidance 
for certifying various types of flowmeters is provided in Reference 3.
    2.4  Performance and System Audit Programs
    The organization operating a PSD monitoring network must participate 
in EPA's national performance audit program. The permit granting 
authority, or EPA, may conduct system audits of the ambient air 
monitoring programs of organizations operating PSD networks. See section 
1.4.16 of reference 2 and section 2.0.11 of reference 3 for additional 
information about these programs. Organizations should contact either 
the appropriate EPA Regional Quality Control Coordinator or the Quality 
Assurance Branch, AREAL/RTP, at the address given in reference 3 for 
instructions for participation.

3. Data Quality Assessment Requirements

    All ambient monitoring methods or analyzers used in PSD monitoring 
shall be tested periodically, as described in this section 3, to 
quantitatively assess the quality of the data being routinely collected. 
The results of these tests shall be reported as specified in section 6. 
Concentration standards used for the tests must be as specified in 
section 2.3. Additional information and guidance in the technical 
aspects of conducting these tests may be found in Reference 3 or in the 
operation or instruction manual associated with the analyzer or sampler. 
Concentration measurements reported from analyzers or analytical systems 
must be derived by means of the same calibration curve and data 
processing system used to obtain the routine air monitoring data. Table 
B-1 provides a summary of the minimum data quality assessment 
requirements, which are described in more detail in the following 
sections.
    3.1  Precision of Automated Methods
    A one-point precision check must be carried out at least once every 
two weeks on each automated analyzer used to measure SO2, NO2, 
O2, and CO. The precision check is made by challenging the analyzer 
with a precision check gas of known concentration (effective 
concentration for open path analyzers) between 0.08 and 0.10 ppm for 
SO2, NO2, and O3 analyzers, and between 8 and 10 ppm for 
CO analyzers. The standards from which precision check test 
concentrations are obtained must meet the specifications of section 2.3. 
Except for certain CO analyzers described below, point analyzers must 
operate in their normal sampling mode during the precision check, and 
the test atmosphere must pass through all filters, scrubbers, 
conditioners and other components used during normal ambient sampling 
and as much of the ambient air inlet system as is practicable. If 
permitted by the associated operation or instruction manual, a CO point 
analyzer may be temporarily modified during the precision check to 
reduce vent or purge flows, or the test atmosphere may enter the 
analyzer at a point other than the normal sample inlet, provided that 
the analyzer's response is not likely to be altered by these deviations 
from the normal operational mode.
    Open path analyzers are tested by inserting a test cell containing a 
precision check gas concentration into the optical measurement beam of 
the instrument. If possible, the normally used transmitter, receiver, 
and, as appropriate, reflecting devices should be used during the test, 
and the normal monitoring configuration of the instrument should be 
altered as little as possible to accommodate the test cell for the test. 
However, if permitted by the associated operation or instruction manual, 
an alternate local light source or an alternate optical path that does 
not include the normal atmospheric monitoring path may be used. The 
actual concentration of the precision check gas in the test cell must be 
selected to produce an ``effective concentration'' in the range 
specified above. Generally, the precision test concentration measurement 
will be the sum of the atmospheric pollutant concentration and the 
precision test concentration. If so, the result must be corrected to 
remove the atmospheric concentration contribution. The ``corrected 
concentration'' is obtained by subtracting the average of the 
atmospheric concentrations measured by the

[[Page 178]]

open path instrument under test immediately before and immediately after 
the precision check test from the precision test concentration 
measurement. If the difference between these before and after 
measurements is greater than 20 percent of the effective concentration 
of the test gas, discard the test result and repeat the test. If 
possible, open path analyzers should be tested during periods when the 
atmospheric pollutant concentrations are relatively low and steady.
    If a precision check is made in conjunction with a zero or span 
adjustment, it must be made prior to such zero or span adjustment. The 
difference between the actual concentration (effective concentration for 
open path analyzers) of the precision check gas and the corresponding 
concentration measurement (corrected concentration, if applicable, for 
open path analyzers) indicated by the analyzer is used to assess the 
precision of the monitoring data as described in section 4.1. Report 
data only from automated analyzers that are approved for use in the PSD 
network.
    3.2  Accuracy of Automated Methods.
    Each sampling quarter, audit each analyzer that monitors for 
SO2, NO2, O3, or CO at least once. The audit is made by 
challenging the analyzer with at least one audit gas of known 
concentration (effective concentration for open path analyzers) from 
each of the following ranges that fall within the measurement range of 
the analyzer being audited:

------------------------------------------------------------------------
                                     Concentration range, ppm           
            Audit level             --------------------------     CO   
                                       SO2, O3,       NO2,              
------------------------------------------------------------------------
1..................................    0.03-0.08    0.03-0.08     3-8   
2..................................    0.15-0.20    0.15-0.20   15-20   
3..................................    0.36-0.45    0.35-0.45   35-45   
4..................................    0.80-0.90  ...........   80-90   
------------------------------------------------------------------------

NO2 audit gas for chemiluminescence-type NO2 analyzers must 
also contain at least 0.08 ppm NO. Note: NO concentrations substantially 
higher than 0.08 ppm, as may occur when using some gas phase titration 
(GPT) techniques, may lead to audit errors in chemiluminescence 
analyzers due to inevitable minor NO-NOx channel imbalance. Such 
errors may be atypical of routine monitoring errors to the extent that 
such NO concentrations exceed typical ambient NO concentrations. These 
errors may be minimized by modifying the GPT technique to lower the NO 
concentrations remaining in the NO2 audit gas to levels closer to 
typical ambient NO concentrations at the site.
    The standards from which audit gas test concentrations are obtained 
must meet the specifications of section 2.3. Working and transfer 
standards and equipment used for auditing must be different from the 
standards and equipment used for calibration and spanning. The auditing 
standards and calibration standards may be referenced to the same NIST, 
SRM, CRM, or primary UV photometer. The auditor must not be the 
operator/analyst who conducts the routine monitoring, calibration and 
analysis.
    For point analyzers, the audit shall be carried out by allowing the 
analyzer to analyze the audit test atmosphere in the same manner as 
described for precision checks in section 3.1. The exception given in 
section 3.1 for certain CO analyzers does not apply for audits.
    Open path analyzers are audited by inserting a test cell containing 
an audit gas concentration into the optical measurement beam of the 
instrument. If possible, the normally used transmitter, receiver, and, 
as appropriate, reflecting devices should be used during the audit, and 
the normal monitoring configuration of the instrument should be modified 
as little as possible to accommodate the test cell for the audit. 
However, if permitted by the associated operation or instruction manual, 
an alternate local light source or an alternate optical path that does 
not include the normal atmospheric monitoring path may be used. The 
actual concentrations of the audit gas in the test cell must be selected 
to produce ``effective concentrations'' in the range specified in this 
section 3.2. Generally, each audit concentration measurement result will 
be the sum of the atmospheric pollutant concentration and the audit test 
concentration. If so, the result must be corrected to remove the 
atmospheric concentration contribution. The ``corrected concentration'' 
is obtained by subtracting the average of the atmospheric concentrations 
measured by the open path instrument under test immediately before and 
immediately after the audit test (or preferably before and after each 
audit concentration level) from the audit concentration measurement. If 
the difference between these before and after measurements is greater 
than 20 percent of the effective concentration of the test gas 
standards, discard the test result for that concentration level and 
repeat the test for that level. If possible, open path analyzers should 
be audited during periods when the atmospheric pollutant concentrations 
are relatively low and steady. Also, the monitoring path length must be 
reverified to within 3 percent to validate the audit, since 
the monitoring path length is critical to the determination of the 
effective concentration.
    The differences between the actual concentrations (effective 
concentrations for open path analyzers) of the audit test gas and the 
corresponding concentration measurements (corrected concentrations, if 
applicable, for open path analyzers) indicated by the analyzer are used 
to assess the accuracy of the monitoring data as described in section 
4.2. Report data only from automated

[[Page 179]]

analyzers that are approved for use in the PSD network.
    3.3  Precision of Manual Methods.
    3.3.1  TSP and PM10 Methods. For a given organization's 
monitoring network, one sampling site must have collocated samplers. A 
site with the highest expected 24-hour pollutant concentration must be 
selected. The two samplers must be within 4 meters of each other but at 
least 2 meters apart to preclude airflow interference. Calibration, 
sampling and analysis must be the same for both collocated samplers as 
well as for all other samplers in the network. The collocated samplers 
must be operated as a minimum every third day when continuous sampling 
is used. When a less frequent sample schedule is used, the collocated 
samplers must be operated at least once each week. For each pair of 
collocated samplers, designate one sampler as the sampler which will be 
used to report air quality for the site and designate the other as the 
duplicate sampler. The differences in measured concentration 
(g/m3) between the two collocated samplers are used to 
calculate precision as described in section 5.1.
    3.3.2  Pb Method. The operation of collocated samplers at one 
sampling site must be used to assess the precision of the reference or 
an equivalent Pb method. The procedure to be followed for Pb methods is 
the same as described in 3.3.1 for the TSP method. If approved by the 
permit granting authority, the collocated TSP samplers may serve as the 
collocated lead samplers.
    3.4  Accuracy of Manual Methods.
    3.4.1  TSP and PM10 Methods. Each sampling quarter, audit the 
flow rate of each sampler at least once. Audit the flow at the normal 
flow rate, using a certified flow transfer standard (see reference 2). 
The flow transfer standard used for the audit must not be the same one 
used to calibrate the flow of the sampler being audited, although both 
transfer standards may be referenced to the same primary flow or volume 
standard. The difference between the audit flow measurement and the flow 
indicated by the sampler's flow indicator is used to calculate accuracy, 
as described in paragraph 5.2.
    Great care must be used in auditing high-volume samplers having flow 
regulators because the introduction of resistance plates in the audit 
device can cause abnormal flow patterns at the point of flow sensing. 
For this reason, the orifice of the flow audit device should be used 
with a normal glass fiber filter in place and without resistance plates 
in auditing flow regulated high-volume samplers, or other steps should 
be taken to assure that flow patterns are not perturbed at the point of 
flow sensing.
    3.4.2  Pb Method. For the reference method (appendix G of part 50 of 
this chapter) during each sampling quarter audit the flow rate of each 
high-volume Pb sampler at least once. The procedure to be followed for 
lead methods is the same as described in section 3.4.1 for the TSP 
method.
    For each sampling quarter, audit the Pb analysis using glass fiber 
filter strips containing a known quantity of lead. Audit samples are 
prepared by depositing a Pb solution on 1.9 cm by 20.3 cm (\3/4\ inch by 
8 inch) unexposed glass fiber filter strips and allowing to dry 
thoroughly. The audit samples must be prepared using reagents different 
from those used to calibrate the Pb analytical equipment being audited. 
Prepare audit samples in the following concentration ranges:

------------------------------------------------------------------------
                                                      Equivalent ambient
                                  Pb concentration     Pb concentration 
             Ranges               g/strip   \1\ g/m\3\
                                                                        
------------------------------------------------------------------------
1..............................  100 to 300........  0.5 to 1.5.        
2..............................  600 to 1,000......  3.0 to 5.0.        
------------------------------------------------------------------------
\1\ Equivalent ambient Pb concentration in g/m\3\ is based on  
  sampling at 1.7 m\3\/min for 24 hours on 20.3 cm x 25.4 cm (8 inch x  
  10 inch) glass fiber filter.                                          

    Audit samples must be extracted using the same extraction procedure 
used for exposed filters.
    Analyze at least one audit sample in each of the two ranges each day 
that samples are anlayzed. The difference between the audit 
concentration (in g Pb/strip) and the analyst's measured 
concentration (in g Pb/strip is used to calculate accuracy as 
described in section 5.4.
    The accuracy of an equivalent method is assessed in the same manner 
as the reference method. The flow auditing device and Pb analysis audit 
samples must be compatible with the specific requirements of the 
equivalent method.

4. Calculations for Automated Methods

    4.1  Single Analyzer Precision.
    Each organization, at the end of each sampling quarter, shall 
calculate and report a precision probability interval for each analyzer. 
Directions for calculations are given below and directions for reporting 
are given in section 6. If monitoring data are invalidated during the 
period represented by a given precision check, the results of that 
precision check shall be excluded from the calculations. Calculate the 
percentage difference (di) for each precision check using equation 
1.

                                                                                                                
                                                         Yi-Xi                                                  
                                                 di = ----------  x  100                                     (1)
                                                          Xi                                                    
                                                                                                                

where:

Yi=analyzer's indicated concentration from the i-th precision check

[[Page 180]]

Xi=known concentration of the test gas used for the i-th precision 
          check.

For each instrument, calculate the quarterly average (dj), equation 
2, and the standard deviation (Sj), equation 3.


 58-154a.eps


 58-154b.eps
where n is the number of precision checks on the instrument made during 
ther sampling quarter. For example, n should be 6 or 7 if span checks 
are made biweekly during a quarter.
    Calculate the 95 percent probability limits for precision using 
equation 4 and 5.

Upper 95 Percent Probability Limit=dj+1.96 Sj    (4)
Lower 95 Percent Probability Limit=dj-1.96 Sj    (5)

    4.2  Single Analyzer Accuracy.
    Each organization, at the end of each sampling quarter, shall 
calculate and report the percentage difference for each audit 
concentration for each analyzer audited during the quarter. Directions 
for calculations are given below (directions for reporting are given in 
section 6).
    Calculate and report the percentage difference (di) for each 
audit concentration using equation 1 where Yi is the analyzer's 
indicated concentration from the i-th audit check and Xi is the 
known concentration of the audit gas used for the i-th audit check.

5. Calculations for manual methods

    5.1  Single Instrument Precision for TSP, Pb and PM10. 
Estimates of precision for ambient air quality particulate measurements 
are calculated from results obtained from collocated samplers as 
described in section 3.3. At the end of each sampling quarter, calculate 
and report a precision probability interval, using weekly result from 
the collecated samplers. Directions for calculations are given below, 
and directions for reporting are given in section 6.
    For the paired measurements obtained as described in sections 3.3.1 
and 3.3.2, calculate the percent difference (di) using equation 1a, 
where Yi is the concentration of pollutant measured by the 
duplicate sampler, and Xi is the concentration measured by the 
sampler reporting air quality for the site. Calculate the quarterly 
average percent difference (dj), equation 2; standard deviation 
(Sj), equation 3; and upper and lower 95 percent probability limits 
for precision, equations 6 and 7.

                                                                                                                
                                                            Yi-Xi                                               
                                                   di=  -------------  x 100                                    
                                                          (Yi+Xi) /2                                            
                                                                                                                

                                                                    (1a)

    Upper 95 percent probability
      limit=dj + 1.96 Sj/2
                                                                     (6)
    Lower 95 percent probability
      limit=dj -1.96 Sj /2
                                                                     (7)

    5.2  Single Instrument Accuracy for TSP and PM10.
    Each organization, at the end of each sampling quarter, shall 
calculate and report the percentage difference for each high-volume or 
PM10 sampler audited during the quarter. Directions for calculation 
are given below and directions for reporting are given in section 6.
    For the flow rate audit described in section 3.4, let Xi 
represent the known flow rate and Yi represent the indicated flow 
rate. Calculate the percentage difference (di) using equation 1.
    5.3  Single Instrument Accuracy for Pb. Each organization, at the 
end of each sampling quarter, shall calculate and report the percentage 
difference for each high-volume lead sampler audited during the quarter. 
Directions for calculation are given in 5.2 and directions for reporting 
are given in section 6.
    5.4  Single-Analysis-Day Accuracy for Pb. Each organization, at the 
end of each sampling quarter, shall calculate and report the percentage 
difference for each Pb analysis audit during the quarter. Directions for 
calculations are given below and directions for reporting are given in 
section 6.
    For each analysis audit for Pb described in section 3.4.2, let 
Xi represent the known value of the audit sample and Yi the 
indicated value of Pb. Calculate the percentage difference (di) for 
each audit at each concentration level using equation 1.

6. Organization reporting requirements.

    At the end of each sampling quarter, the organization must report 
the following data assessment information:
    (1) For automated analyzers--precision probability limits from 
section 4.1 and percentage differences from section 4.2, and
    (2) For manual methods--precision probability limits from section 
5.1 and percentage differences from sections 5.2 and 5.3. The precision 
and accuracy information for the entire sampling quarter must be 
submitted with the air monitoring data. All data used to calculate 
reported estimates of precision and accuracy including span checks, 
collocated sampler and audit results must be made available to the 
permit granting authority upon request.

[[Page 181]]



                              Table B-1.--Minimum PSD Data Assessment Requirements                              
----------------------------------------------------------------------------------------------------------------
                                                                                                  Parameters    
             Method                Assessment method       Coverage            Frequency           reported     
----------------------------------------------------------------------------------------------------------------
Precision:                                                                                                      
  Automated Methods for SO2,      Response check at   Each analyzer.....  Once per 2 weeks..  Actual            
   NO2, O3, and CO.                concentration                                               concentration 2 &
                                   between .08 & .10                                           measured         
                                   ppm (8 & 10 ppm                                             concentration.3  
                                   for CO) 2.                                                                   
  TSP, PM10, Lead...............  Collocated          Highest             Once per week or    Two concentration 
                                   samplers.           concentration       every 3rd day for   measurements.    
                                                       site in             continuous                           
                                                       monitoring          sampling.                            
                                                       network.                                                 
Accuracy:                                                                                                       
  Automated Methods for SO2,      Response check at:  Each analyzer.....  Once per sampling   Actual            
   NO2, O3, and CO.                .03-.08 ppm;1,2                         quarter.            concentration2 & 
                                   .15-.20 ppm;1,2                                             measured         
                                   .35-.45 ppm;1,2                                             (indicated)      
                                   .80-.90 ppm;1,2                                             concentration3   
                                   (if applicable).                                            for each level.  
  TSP, PM10.....................  Sampler flow check  Each sampler......  Once per sampling   Actual flow rate  
                                                                           quarter.            and flow rate    
                                                                                               indicated by the 
                                                                                               sampler.         
  Lead..........................  1. Sample flow      1. Each sampler...  1. Once/quarter...  1. Same as for    
                                   rate check..       2. Analytical       2. Each quarter Pb   TSP.             
                                  2. Check             system.             samples are        2. Actual         
                                   analytical system                       analyzed.           concentration &  
                                   with Pb audit                                               measured         
                                   strips.                                                     concentration of 
                                                                                               audit samples    
                                                                                               (g Pb/  
                                                                                               strip).          
----------------------------------------------------------------------------------------------------------------
\1\ Concentration shown times 100 for CO.                                                                       
\2\ Effective concentration for open path analyzers.                                                            
\3\ Corrected concentration, if applicable, for open path analyzers.                                            

References

    1. Rhodes, R.C. Guideline on the Meaning and Use of Precision and 
Accuracy Data Required by 40 CFR part 58, appendices A and B. EPA-600/4-
83-023. U.S. Environmental Protection Agency, Research Triangle Park, NC 
27711, June, 1983.
    2. ``Quality Assurance Handbook for Air Pollution Measurement 
Systems, Volume I--Principles.'' EPA-600/9-76-005. March 1976. Available 
from U.S Environmental Protection Agency, Atmospheric Research and 
Exposure Assessment Laboratory (MD-77), Research Triangle Park, NC 
27711.
    3. ``Quality Assurance Handbook for Air Pollution Measurement 
Systems, Volume II--Ambient Air Specific Methods.'' EPA-600/4-77-027a. 
May 1979. Available from U.S. Environmental Protection Agency, 
Atmospheric Research and Exposure Assessment Laboratory(MD-77), Research 
Triangle Park, NC 27711.
    4. ``List of Designated Reference and Equivalent Methods.'' 
Available from U.S. Environmental Protection Agency, Department E (MD-
77), Research Triangle Park, NC 27711.
    5. Hughes, E.E. and J. Mandel. A Procedure for Establishing 
Traceability of Gas Mixtures to Certain National Bureau of Standards 
SRM's. EPA-600/7-81-010. U.S. Environmental Protection Agency, Research 
Triangle Park, NC 27711, May, 1981. (Joint NBS/EPA Publication)
    6. Paur, R.J. and F.F. McElroy. Technical Assistance Document for 
the Calibration of Ambient Ozone Monitors. EPA-600/4-79-057. U.S. 
Environmental Protection Agency, Atmospheric Research and Exposure 
Assessment Laboratory (MD-77), Research Triangle Park, NC 27711, 
September, 1979.
    7. McElroy, F.F. Transfer Standards for the Calibration of Ambient 
Air Monitoring Analyzers for Ozone. EPA-600/4-79-056. U.S. Environmental 
Protection Agency, Atmospheric Research and Exposure Assessment 
Laboratory (MD-77), Research Triangle Park, NC 27711, September, 1979.

[44 FR 27571, May 10, 1979; 44 FR 65070, Nov. 9, 1979; 44 FR 72592, Dec. 
14, 1979, as amended at 46 FR 44168, Sept. 3, 1981; 48 FR 2530, Jan. 20, 
1983; 51 FR 9596, Mar. 19, 1986; 52 FR 24741, July 1, 1987; 59 FR 41628, 
41629, Aug. 12, 1994; 60 FR 52321, Oct. 6, 1995]

         Appendix C--Ambient Air Quality Monitoring Methodology

1.0 Purpose
    This appendix specifies the monitoring methods (manual methods or 
automated analyzers) which must be used in State ambient air quality 
monitoring stations.

2.0 State and local air monitoring stations (SLAMS)

    2.1  Except as otherwise provided in this appendix, a monitoring 
method used in a SLAMS must be a reference or equivalent method as 
defined in Sec. 50.1 of this chapter.
    2.2  For purposes of showing compliance with the NAAQS for 
particulate matter, the high volume sampler described in appendix B of 
part 50 of this chapter may be used in a

[[Page 182]]

SLAMS as long as the ambient concentration of particles measured by the 
high volume sampler is below the PM10 NAAQS.
    If the TSP sampler measures a single value which is higher than the 
PM10 24-hour standard or has an annual average greater than the 
PM10 annual standard, the high volume sampler designated as a 
substitute PM10 sampler must be replaced with a PM10 sampler. 
For the 24-hour standard, the TSP sampler should be replaced with a 
PM10 sampler before the end of the calendar quarter following the 
quarter in which the exceedance occurred. For the annual standard, the 
PM10 sampler should be operating by June 30 of the year following 
the exceedance.
    In order to maintain historical continuity of ambient particulate 
matter trends and patterns, for PM10 NAMS that were previously TSP 
NAMS, the TSP high volume sampler must be concurrently operated with the 
PM10 sampler for a one-year period beginning with the PM10 
NAMS start up date. The operating schedule for the TSP sampler must be 
at least once every six days regardless of the PM10 sampling 
frequency.
    2.3  Any manual method or analyzer purchased prior to cancellation 
of its reference or equivalent method designation under Sec. 53.11 or 
Sec. 53.16 of this chapter may be used in a SLAMS following cancellation 
for a reasonable period of time to be determined by the Administrator.
    2.4--2.5 [Reserved]
    2.6  Use of Methods With Higher, Nonconforming Ranges in Certain 
Geographical Areas.
    2.6.1  [Reserved]
    2.6.2  Nonconforming ranges. An analyzer may be used (indefinitely) 
on a range which extends to concentrations higher than two times the 
upper limit specified in Table B-1 of part 53 of this chapter if:
    2.6.2.1  The analyzer has more than one selectable range and has 
been designated as a reference or equivalent method on at least one of 
its ranges, or has been approved for use under section 2.5 (which 
applies to analyzers purchased before February 18, 1975);
    2.6.2.2  The pollutant intended to be measured with the analyzer is 
likely to occur in concentrations more than two times the upper range 
limit specified in Table B-1 of part 53 of this chapter in the 
geographical area in which use of the analyzer is proposed; and
    2.6.2.3  The Administrator determines that the resolution of the 
range or ranges for which approval is sought is adequate for its 
intended use. For purposes of this section (2.6), ``resolution'' means 
the ability of the analyzer to detect small changes in concentration.
    2.6.3  Requests for approval under section 2.6.2 must meet the 
submittal requirements of section 2.7. Except as provided in subsection 
2.7.3, each request must contain the information specified in subsection 
2.7.2 in addition to the following:
    2.6.3.1  The range or ranges proposed to be used;
    2.6.3.2  Test data, records, calculations, and test results as 
specified in subsection 2.7.2.2 for each range proposed to be used;
    2.6.3.3  An identification and description of the geographical area 
in which use of the analyzer is proposed;
    2.6.3.4  Data or other information demonstrating that the pollutant 
intended to be measured with the analyzer is likely to occur in 
concentrations more than two times the upper range limit specified in 
Table B-1 of part 53 of this chapter in the geographical area in which 
use of the analyzer is proposed; and
    2.6.3.5  Test data or other information demonstrating the resolution 
of each proposed range that is broader than that permitted by section 
2.5.
    2.6.4  Any person who has obtained approval of a request under this 
section (2.6.2) shall assure that the analyzer for which approval was 
obtained is used only in the geographical area identified in the request 
and only while operated in the range or ranges specified in the request.
    2.7  Requests for Approval; Withdrawal of Approval.
    2.7.1  Requests for approval under sections 2.4, 2.5, or 2.6.2 must 
be submitted to: Director, Atmospheric Research and Exposure Assessment 
Laboratory, Department E (MD 75), United States Environmental Protection 
Agency, Environmental Research Center, Research Triangle Park, North 
Carolina 27711.
    2.7.2 Except as provided in section 2.7.3, each request must 
contain:
    2.7.2.1  A statement identifying the analyzer (e.g., by serial 
number) and the method of which the analyzer is representative (e.g., by 
manufacturer and model number); and
    2.7.2.2  Test data, records, calculations, and test results for the 
analyzer (or the method of which the analyzer is representative) as 
specified in subpart B, subpart C, or both (as applicable) of part 53 of 
this chapter.
    2.7.3 A request may concern more than one analyzer or geographical 
area and may incorporate by reference any data or other information 
known to EPA from one or more of the following:
    2.7.3.1 An application for a reference or equivalent method 
determination submitted to EPA for the method of which the analyzer is 
representative, or testing conducted by the applicant or by EPA in 
connection with such an application;
    2.7.3.2  Testing of the method of which the analyzer is 
representative at the initiative of the Administrator under Sec. 53.7 of 
this chapter; or
    2.7.3.3 A previous or concurrent request for approval submitted to 
EPA under this section (2.7).

[[Page 183]]

    2.7.4 To the extent that such incorporation by reference provides 
data or information required by this section (2.7) or by sections 2.4, 
2.5, or 2.6, independent data or duplicative information need not be 
submitted.
    2.7.5  After receiving a request under this section (2.7), the 
Administrator may request such additional testing or information or 
conduct such tests as may be necessary in his judgment for a decision on 
the request.
    2.7.6 If the Administrator determines, on the basis of any 
information available to him, that any of the determinations or 
statements on which approval of a request under this section (2.7) was 
based are invalid or no longer valid, or that the requirements of 
section 2.4, 2.5, or 2.6, as applicable, have not been met, he may 
withdraw the approval after affording the person who obtained the 
approval an opportunity to submit information and arguments opposing 
such action.
    2.8  Modifications of Methods by Users.
    2.8.1  Except as otherwise provided in this section (2.8), no 
reference method, equivalent method, or alternative method may be used 
in a SLAMS if it has been modified in a manner that will, or might, 
significantly alter the performance characteristics of the method 
without prior approval by the Administrator. For purposes of this 
section (2.8), ``alternative method'' means an analyzer the use of which 
has been approved under section 2.4, 2.5, or 2.6 of this appendix or 
some combination thereof.
    2.8.2  Requests for approval under this section (2.8) must meet the 
submittal requirements of sections 2.7.1 and 2.7.2.1 of this appendix.
    2.8.3  Each request submitted under this section (2.8) must include:
    2.8.3.1  A description, in such detail as may be appropriate, of the 
desired modification;
    2.8.3.2  A brief statement of the purpose(s) of the modification, 
including any reasons for considering it necessary or advantageous;
    2.8.3.3  A brief statement of belief concerning the extent to which 
the modification will or may affect the performance characteristics of 
the method; and
    2.8.3.4  Such further information as may be necessary to explain and 
support the statements required by sections 2.8.3.2 and 2.8.3.3.
    2.8.4  Within 75 days after receiving a request for approval under 
this section (2.8) and such further information as he may request for 
purposes of his decision, the Administrator will approve or disapprove 
the modification in question by letter to the person or agency 
requesting such approval.
    2.8.5 A temporary modification that will or might alter the 
performance characteristics of a reference, equivalent, or alternative 
method may be made without prior approval under this section (2.8) if 
the method is not functioning or is malfunctioning, provided that parts 
necessary for repair in accordance with the applicable operation manual 
cannot be obtained within 45 days. Unless such temporary modification is 
later approved under section 2.8.4, the temporarily modified method 
shall be repaired in accordance with the applicable operation manual as 
quickly as practicable but in no event later than 4 months after the 
temporary modification was made, unless an extension of time is granted 
by the Administrator. Unless and until the temporary modification is 
approved, air quality data obtained with the method as temporarily 
modified must be clearly identified as such when submitted in accordance 
with Sec. 58.28 or Sec. 58.35 of this chapter and must be accompanied by 
a report containing the information specified in section 2.8.3. A 
request that the Administrator approve a temporary modification may be 
submitted in accordance with sections 2.8.1 through 2.8.4. In such cases 
the request will be considered as if a request for prior approval had 
been made.

3.0  National Air Monitoring Stations (NAMS)

    3.1  Methods used in those SLAMS which are also designated as NAMS 
to measure SO2, CO, NO2, or O3 must be automated 
reference or equivalent methods (continuous analyzers).

4.0  Photochemical Assessment Monitoring Stations (PAMS)
    4.1  Methods used for O3 monitoring at PAMS must be automated 
reference or equivalent methods as defined in Sec. 50.1 of this chapter.
    4.2  Methods used for NO, NO2 and NOX monitoring at PAMS 
should be automated reference or equivalent methods as defined for 
NO2 in Sec. 50.1 of this chapter. If alternative NO, NO2 or 
NOX monitoring methodologies are proposed, such techniques must be 
detailed in the network description required by Sec. 58.40 and 
subsequently approved by the Administrator.
    4.3  Methods for meteorological measurements and speciated VOC 
monitoring are included in the guidance provided in references 2 and 3. 
If alternative VOC monitoring methodology (including the use of new or 
innovative technologies), which is not included in the guidance, is 
proposed, it must be detailed in the network description required by 
Sec. 58.40 and subsequently approved by the Administrator.
    5.0  Particulate Matter Episode Monitoring.
    5.1  For short-term measurements of PM10 during air pollution 
episodes (see Sec. 51.152 of this chapter) the measurement method must 
be:
    5.1.1  Either the ``Staggered PM10'' method or the ``PM10 
Sampling Over Short Sampling Times'' method, both of which are based on 
the reference method for PM10 and are described in reference 1: or

[[Page 184]]

    5.1.2  Any other method for measuring PM10:
    5.1.2.1  Which has a measurement range or ranges appropriate to 
accurately measure air pollution episode concentration of PM10,
    5.1.2.2  Which has a sample period appropriate for short-term 
PM10 measurements, and
    5.1.2.3  For which a quantitative relationship to a reference or 
equivalent method for PM10 has been established at the use site. 
Procedures for establishing a quantitative site-specific relationship 
are contained in reference 1.
    5.2  Quality Assurance. PM10 methods other than the reference 
method are not covered under the quality assessment requirements of 
appendix A. Therefore, States must develop and implement their own 
quality assessment procedures for those methods allowed under this 
section 4. These quality assessment procedures should be similar or 
analogous to those described in section 3 of appendix A for the 
PM10 reference method.

6.0 References

    1. Pelton, D. J. Guideline for Particulate Episode Monitoring 
Methods, GEOMET Technologies, Inc., Rockville, MD. Prepared for U.S. 
Environmental Protection Agency, Research Triangle Park, NC. EPA 
Contract No. 68-02-3584. EPA 450/4-83-005. February 1983.
    2. Technical Assistance Document For Sampling and Analysis of Ozone 
Precursors. Atmospheric Research and Exposure Assessment Laboratory, 
U.S. Environmental Protection Agency, Research Triangle Park, NC 27711. 
EPA 600/8-91-215. October 1991.
    3. Quality Assurance Handbook for Air Pollution Measurement Systems: 
Volume IV. Meteorological Measurements. Atmospheric Research and 
Exposure Assessment Laboratory, U.S. Environmental Protection Agency, 
Research Triangle Park, NC 27711. EPA 600/4-90-0003. August 1989.

[44 FR 27571, May 10, 1979, as amended at 44 FR 37918, June 29, 1979; 44 
FR 65070, Nov. 9, 1979; 51 FR 9597, Mar. 19, 1986; 52 FR 24741, 24742, 
July 1, 1987; 58 FR 8469, Feb. 12, 1993; 59 FR 41628, Aug. 12, 1994]

 Appendix D--Network Design for State and Local Air Monitoring Stations 
  (SLAMS), National Air Monitoring Stations (NAMS), and Photochemical 
                  Assessment Monitoring Stations (PAMS)

    1.  SLAMS Monitoring Objectives and Spatial Scales
    2.  SLAMS Network Design Procedures
    2.1  Background Information for Establishing SLAMS
    2.2  Substantive Changes in SLAMS/NAMS Network Design Elements
    2.3  Sulfur Dioxide (SO2) Design Criteria for SLAMS
    2.4  Carbon Monoxide (CO) Design Criteria for SLAMS
    2.5  Ozone (O3) Design Criteria for SLAMS
    2.6  Nitrogen Dioxide (NO2) Design Criteria for SLAMS
    2.7  Lead (Pb) Design Criteria for SLAMS
    2.8  PM10 Design Criteria for SLAMS
    3.  Network Design for National Air Monitoring Stations (NAMS)
    3.1  [Reserved]
    3.2  Sulfur Dioxide (SO2) Design Criteria for NAMS
    3.3  Carbon Monoxide (CO) Design Criteria for NAMS
    3.4  Ozone (O3) Design Criteria for NAMS
    3.5  Nitrogen Dioxide (NO2) Design Criteria for NAMS
    3.6  Lead (Pb) Design Criteria for NAMS
    3.7  PM10 Design Criteria for NAMS
    4.  Summary
    5.  References

    1.  SLAMS Monitoring Objectives and Spatial Scales

    The purpose of this appendix is to describe monitoring objectives 
and general criteria to be applied in establishing the State and Local 
Air Monitoring Stations (SLAMS) networks and for choosing general 
locations for new monitoring stations. It also describes criteria for 
determining the number and location of National Air Monitoring Stations 
(NAMS) and Photochemical Assessment Monitoring Stations (PAMS). These 
criteria will also be used by EPA in evaluating the adequacy of the 
SLAMS/NAMS/PAMS networks.
    The network of stations which comprise SLAMS should be designed to 
meet a minimum of four basic monitoring objectives. These basic 
monitoring objectives are: (1) To determine highest concentrations 
expected to occur in the area covered by the network; (2) to determine 
representative concentrations in areas of high population density; (3) 
to determine the impact on ambient pollution levels of significant 
sources or source categories; and (4) to determine general background 
concentration levels. Of these four basic ambient air monitoring network 
design objectives, attempts to measure in areas of maximum 
concentrations and maximum population exposures (these can be exclusive 
or coincident) are primary due to the combination of prevailing needs 
and constraints.
    It should be noted that this appendix contains no criteria for 
determining the total number of stations in SLAMS networks, except that 
a minimum number of lead SLAMS is prescribed. The optimum size of a 
particular SLAMS network involves tradeoffs between data needs and 
available resources which the EPA believes can best be resolved during 
the network design process.

[[Page 185]]

    This appendix focuses on the relationship between monitoring 
objectives and the geographical location of monitoring stations. 
Included are a rationale and set of general criteria for identifying 
candidate station locations in terms of physical characteristics which 
most closely match a specific monitoring objective. The criteria for 
more specifically siting the monitoring station, including spacing from 
roadways and vertical and horizontal probe and path placement, are 
described in appendix E of this part.
    To clarify the nature of the link between general monitoring 
objectives and the physical location of a particular monitoring station, 
the concept of spatial scale of representativeness of a monitoring 
station is defined. The goal in siting stations is to correctly match 
the spatial scale represented by the sample of monitored air with the 
spatial scale most appropriate for the monitoring objective of the 
station.
    Thus, spatial scale of representativeness is described in terms of 
the physical dimensions of the air parcel nearest to a monitoring 
station throughout which actual pollutant concentrations are reasonably 
similar. The scale of representativeness of most interest for the 
monitoring objectives defined above are as follows:
    Microscale--defines the concentrations in air volumes associated 
with area dimensions ranging from several meters up to about 100 meters.
    Middle Scale--defines the concentration typical of areas up to 
several city blocks in size with dimensions ranging from about 100 
meters to 0.5 kilometer.
    Neighborhood Scale--defines concentrations within some extended area 
of the city that has relatively uniform land use with dimensions in the 
0.5 to 4.0 kilometers range.
    Urban Scale--defines the overall, citywide conditions with 
dimensions on the order of 4 to 50 kilometers. This scale would usually 
require more than one site for definition.
    Regional Scale--defines usually a rural area of reasonably 
homogeneous geography and extends from tens to hundreds of kilometers.
    National and Global Scales--these measurement scales represent 
concentrations characterizing the nation and the globe as a whole.
    Proper siting of a monitoring station requires precise specification 
of the monitoring objective which usually includes a desired spatial 
scale of representativeness. For example, consider the case where the 
objective is to determine maximum CO concentrations in areas where 
pedestrians may reasonably be exposed. Such areas would most likely be 
located within major street canyons of large urban areas and near 
traffic corridors. Stations located in these areas are most likely to 
have a microscale of representativeness since CO concentrations 
typically peak nearest roadways and decrease rapidly as the monitor is 
moved from the roadway. In this example, physical location was 
determined by consideration of CO emission patterns, pedestrian 
activity, and physical characteristics affecting pollutant dispersion. 
Thus, spatial scale of representativeness was not used in the selection 
process but was a result of station location.
    In some cases, the physical location of a station is determined from 
joint consideration of both the basic monitoring objective, and a 
desired spatial scale of representativeness. For example, to determine 
CO concentrations which are typical over a reasonably broad geographic 
area having relatively high CO concentrations, a neighborhood scale 
station is more appropriate. Such a station would likely be located in a 
residential or commercial area having a high overall CO emission density 
but not in the immediate vicinity of any single roadway. Note that in 
this example, the desired scale of representativeness was an important 
factor in determining the physical location of the monitoring station.
    In either case, classification of the station by its intended 
objective and spatial scale of representativeness is necessary and will 
aid in interpretation of the monitoring data.
    Table 1 illustrates the relationship between the four basic 
monitoring objectives and the scales of representativeness that are 
generally most appropriate for that objective.

     Table 1--Relationship Among Monitoring Objectives and Scale of     
                           Representativeness                           
------------------------------------------------------------------------
         Monitoring objective               Appropriate siting scales   
------------------------------------------------------------------------
Highest concentration.................  Micro, middle, neighborhood     
                                         (some-times urban).            
Population............................  Neighborhood, urban.            
Source impact.........................  Micro, middle, neighborhood.    
General/background....................  Neighborhood, regional.         
------------------------------------------------------------------------

    Open path analyzers can often be used effectively and advantageously 
to provide better monitoring representation for population exposure 
monitoring and general or background monitoring in urban and 
neighborhood scales of representation. Such analyzers may also be able 
to provide better area coverage or operational advantages in high 
concentration and source-impact monitoring in middle scale and possibly 
microscale areas. However, siting of open path analyzers for the latter 
applications must be carried out with proper regard for the specific 
monitoring objectives and for the path-averaging nature of these 
analyzers. Monitoring path lengths need to be commensurate with the 
intended scale of representativeness and located carefully with respect 
to local sources or potential obstructions. For short-term/ 

[[Page 186]]

high-concentration or source-oriented monitoring, the monitoring path 
may need to be further restricted in length and be oriented 
approximately radially with respect to the source in the downwind 
direction, to provide adequate peak concentration sensitivity. 
Alternatively, multiple (e.g., orthogonal) paths may be used 
advantageously to obtain both wider area coverage and peak concentration 
sensitivity. Further discussion on this topic is included in section 2.2 
of this appendix.
    Subsequent sections of this appendix describe in greater detail the 
most appropriate scales of representativeness and general monitoring 
locations for each pollutant.

2. SLAMS Network Design Procedures

    The preceding section of this appendix has stressed the importance 
of defining the objectives for monitoring a particular pollutant. Since 
monitoring data are collected to ``represent'' the conditions in a 
section or subregion of a geographical area, the previous section 
included a discussion of the scale of representativeness of a monitoring 
station. The use of this physical basis for locating stations allows for 
an objective approach to network design.
    The discussion of scales in sections 2.2-2.6 does not include all of 
the possible scales for each pollutant. The scales which are discussed 
are those which are felt to be most pertinent for SLAMS network design.
    In order to evaluate a monitoring network and to determine the 
adequacy of particular monitoring stations, it is necessary to examine 
each pollutant monitoring station individually by stating its monitoring 
objective and determining its spatial scale of representativeness. This 
will do more than insure compatibility among stations of the same type. 
It will also provide a physical basis for the interpretation and 
application of the data. This will help to prevent mismatches between 
what the data actually represent and what the data are interpreted to 
represent. It is important to note that SLAMS are not necessarily 
sufficient for completely describing air quality. In many situations, 
diffusion models must be applied to complement ambient monitoring, e.g., 
determining the impact of point sources or defining boundaries of 
nonattainment areas.
    2.1  Background Information for Establishing SLAMS
    Background information that must be considered in the process of 
selecting SLAMS from the existing network and in establishing new SLAMS 
includes emission inventories, climatological summaries, and local 
geographical characteristics. Such information is to be used as a basis 
for the judgmental decisions that are required during the station 
selection process. For new stations, the background information should 
be used to decide on the actual location considering the monitoring 
objective and spatial scale while following the detailed procedures in 
References 1 through 4.
    Emission inventories are generally the most important type of 
background information needed to design the SLAMS network. The emission 
data provide valuable information concerning the size and distribution 
of large point sources. Area source emissions are usually available for 
counties but should be subdivided into smaller areas or grids where 
possible, especially if diffusion modeling is to be used as a basis for 
determining where stations should be located. Sometimes this must be 
done rather crudely, for example, on the basis of population or housing 
units. In general, the grids should be smaller in areas of dense 
population than in less densely populated regions.
    Emission inventory information for point sources should be generally 
available for any area of the country for annual and seasonal averaging 
times. Specific information characterizing the emissions from large 
point sources for the shorter averaging times (diurnal variations, load 
curves, etc.) can often be obtained from the source. Area source 
emission data by season, although not available from the EPA, can be 
generated by apportioning annual totals according to degree days.
    Detailed area source data are also valuable in evaluating the 
adequacy of an existing station in terms of whether the station has been 
located in the desired spatial scale of representativeness. For example, 
it may be the desire of an agency to have an existing CO station 
measuring in the neighborhood scale.
    By examining the traffic data for the area and examining the 
physical location of the station with respect to the roadways, a 
determination can be made as to whether or not the station is indeed 
measuring the air quality on the desired scale.
    The climatological summaries of greatest use are the frequency 
distributions of wind speed and direction. The wind rose is an easily 
interpreted graphical presentation of the directional frequencies. Other 
types of useful climatological data are also available, but generally 
are not as directly applicable to the site selection process as are the 
wind statistics.
    In many cases, the meteorological data originating from the most 
appropriate (not necessarily the nearest) national weather service (NWS) 
airport station in the vicinity of the prospective siting area will 
adequately reflect conditions over the area of interest, at least for 
annual and seasonal averaging times. In developing data in complex 
meteorological and terrain situations, diffusion meteorologists should 
be consulted. NWS

[[Page 187]]

stations can usually provide most of the relevant weather information in 
support of network design activities anywhere in the country. Such 
information includes joint frequency distributions of winds and 
atmospheric stability (stability-wind roses).
    The geographical material is used to determine the distribution of 
natural features, such as forests, rivers, lakes, and manmade features. 
Useful sources of such information may include road and topographical 
maps, aerial photographs, and even satellite photographs. This 
information may include the terrain and land-use setting of the 
prospective monitor siting area, the proximity of larger water bodies, 
the distribution of pollutant sources in the area, the location of NWS 
airport stations from which weather data may be obtained, etc. Land use 
and topographical characteristics of specific areas of interest can be 
determined from U.S. Geological Survey (USGS) maps and land use maps. 
Detailed information on urban physiography (building/street dimensions, 
etc.) can be obtained by visual observations, aerial photography, and 
also surveys to supplement the information available from those sources. 
Such information could be used in determining the location of local 
pollutant sources in and around the prospective station locations.
    2.2  Substantive Changes in SLAMS/NAMS Network Design Elements
    Two important purposes of the SLAMS monitoring data are to examine 
and evaluate overall air quality within a certain region, and to assess 
the trends in air pollutant levels over several years. The EPA believes 
that one of the primary tools for providing these characterizations is 
an ambient air monitoring program which implements technically 
representative networks. The design of these networks must be carefully 
evaluated not only at their outset, but at relatively frequent intervals 
thereafter, using an appropriate combination of other important 
technical tools, including: dispersion and receptor modeling, saturation 
studies, point and area source emissions analyses, and meteorological 
assessments. The impetus for these subsequent reexaminations of 
monitoring network adequacy stems not only from the need to evaluate the 
effect that changes in the environment may pose, but also from the 
recognition that new and/or refined tools and techniques for use in 
impact assessments are continually emerging and available for 
application.
    Substantiative changes to an ambient air monitoring network are both 
inevitable and necessary; however, any changes in any substantive aspect 
of an existing SLAMS network or monitoring site that might affect the 
continuity or comparability of pollutant measurements over time must be 
carefully and thoroughly considered. Such substantive changes would 
include cessation of monitoring at an existing site, relocation of an 
existing site, a change in the type of monitoring method used, any 
change in the probe or path height or orientation that might affect 
pollutant measurements, any significant changes in calibration 
procedures or standards, any significant change in operational or 
quality assurance procedures, any significant change in the sources or 
the character of the area in the vicinity of a monitoring site, or any 
other change that could potentially affect the continuity or 
comparability of monitoring data obtained before and after the change.
    In general, these types of changes should be made cautiously with 
due consideration given to the impact of such changes on the network/
site's ability to meet its intended goals. Some of these changes will be 
inevitable (such as when a monitoring site will no longer be available 
and the monitor must be relocated, for example). Other changes may be 
deemed necessary and advantageous, after due consideration of their 
impact, even though they may have a deleterious effect on the long-term 
comparability of the monitoring data. In these cases, an effort should 
be made to quantify, if possible, or at least characterize, the nature 
or extent of the effects of the change on the monitoring data. In all 
cases, the changes and all information pertinent to the effect of the 
change should be properly and completely documented for evaluation by 
trends analysts.
    The introduction of open path methods to the SLAMS monitoring 
network may seem relatively straightforward, given the kinds of 
technical analyses required in this appendix. However, given the 
uncertainties attendant to these analyses and the critical nature and 
far-reaching regulatory implications of some sites in the current SLAMS 
network composed of point monitors, there is a need to `bridge' between 
databases generated by these different candidate methods to evaluate and 
promote continuity in understanding of the historical representativeness 
of the database.
    Concurrent, nominally collocated monitoring must be conducted in all 
instances where an open path analyzer is effectively intended to replace 
a criteria pollutant point monitor which meets either of the following:
    1. Data collected at the site represents the maximum concentration 
for a particular nonattainment area; or
    2. Data collected at the site is currently used to characterize the 
development of a nonattainment area State implementation plan.
    The Regional Administrator, the Administrator, or their appropriate 
designee may also require collocated monitoring at other sites which 
are, based on historical technical data, significant in assessing air 
quality in a

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particular area. The term of this requirement is determined by the 
Regional Administrator (for SLAMS), Administrator (for NAMS), or their 
appropriate designee. The recommended minimum term consists of one year 
(or one season of maximum pollutant concentration) with a maximum term 
indexed to the subject pollutant NAAQS compliance interval (e.g., three 
calendar years for ozone). The requirement involves concurrent 
monitoring with both the open path analyzer and the existing point 
monitor during this term. Concurrent monitoring with more than one point 
analyzer with an open path analyzer using one or more measurement paths 
may also be advantageous to confirm adequate peak concentration 
sensitivity or to optimize the location and length of the monitoring 
path or paths.
    All or some portion of the above requirement may be waived by the 
Regional Administrator (for SLAMS), the Administrator (for NAMS), or 
their designee in response to a request, based on accompanying technical 
information and analyses, or in certain unavoidable instances caused by 
logistical circumstances.
    These requirements for concurrent monitoring also generally apply to 
situations where the relocation of any SLAMS site, using either a point 
monitor or an open path analyzer, within an area is being contemplated.
    2.3 Sulfur Dioxide (SO2) Design Criteria for SLAMS
    The spatial scales for SO2 SLAMS monitoring are the middle, 
neighborhood, urban, and regional scales. Because of the nature of 
SO2 distributions over urban areas, the middle scale is the most 
likely scale to be represented by a single measurement in an urban area, 
but only if the undue effects from local sources (minor or major point 
sources) can be eliminated. Neighborhood scales would be those most 
likely to be represented by single measurements in suburban areas where 
the concentration gradients are less steep. Urban scales would represent 
areas where the concentrations are uniform over a larger geographical 
area. Regional scale measurements would be associated with rural areas.
    Middle Scale--Some data uses associated with middle scale 
measurements for SO2 include assessing the effects of control 
strategies to reduce urban concentrations (especially for the 3-hour and 
24-hour averaging times) and monitoring air pollution episodes.
    Neighborhood Scale--This scale applies in areas where the SO2 
concentration gradient is relatively flat (mainly suburban areas 
surrounding the urban center) or in large sections of small cities and 
towns. In general, these areas are quite homogeneous in terms of 
SO2 emission rates and population density. Thus, neighborhood scale 
measurements may be associated with baseline concentrations in areas of 
projected growth and in studies of population responses to exposure to 
SO2. Also concentration maxima associated with air pollution 
episodes may be uniformly distributed over areas of neighborhood scale, 
and measurements taken within such an area would represent neighborhood, 
and to a limited extent, middle scale concentrations.
    Urban Scale--Data from this scale could be used for the assessment 
of air quality trends and the effect of control strategies on urban 
scale air quality.
    Regional Scale--These measurements would be applicable to large 
homogeneous areas, particularly those which are sparsely populated. Such 
measurements could provide information on background air quality and 
interregional pollutant transport.
    After the spatial scale has been selected to meet the monitoring 
objectives for each station location, the procedures found in reference 
2 should be used to evaluate the adequacy of each existing SO2 
station and must be used to relocate an existing station or to locate 
any new SLAMS stations. The background material for these procedures 
should consist of emission inventories, meteorological data, wind roses, 
and maps for population and topographical characteristics of specific 
areas of interest. Isopleth maps of SO2 air quality as generated by 
diffusion models5 are useful for the general determination of a 
prospective area within which the station is eventually placed.
    2.4 Carbon Monoxide (CO) Design Criteria for SLAMS
    Micro, middle, and neighborhood scale measurements are necessary 
station classifications for SLAMS since most people are exposed to CO 
concentrations in these scales. Carbon monoxide maxima occur primarily 
in areas near major roadways and intersections with high traffic density 
and poor atmospheric ventilation. As these maxima can be predicted by 
ambient air quality modeling, a large fixed network of CO monitors is 
not required. Long-term CO monitoring should be confined to a limited 
number of micro and neighborhood scale stations in large metropolitan 
areas to measure maximum pollution levels and to determine the 
effectiveness of control strategies.
    Microscale--Measurements on this scale would represent distributions 
within street canyons, over sidewalks, and near major roadways. The 
measurements at a particular location in a street canyon would be 
typical of one high concentration area which can be shown to be a 
representation of many more areas throughout the street canyon or other 
similar locations in a city. This is a scale of measurement that would 
provide valuable information for devising and evaluating ``hot spot'' 
control measures.
    Middle Scale--This category covers dimensions from 100 meters to 0.5 
kilometer. In

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certain cases discussed below, it may apply to regions that have a total 
length of several kilometers. In many cases of interest, sources and 
land use may be reasonably homogeneous for long distances along a 
street, but very inhomogeneous normal to the street. This is the case 
with strip development and freeway corridors. Included in this category 
are measurements to characterize the CO concentrations along the urban 
features just enumerated. When a location is chosen to represent 
conditions in a block of street development, then the characteristic 
dimensions of this scale are tens of meters by hundreds of meters. If an 
attempt is made to characterize street-side conditions throughout the 
downtown area or along an extended stretch of freeway, the dimensions 
may be tens of meters by kilometer.
    The middle scale would also include the parking lots and feeder 
streets associated with indirect sources which attract significant 
numbers of pollutant emitters, particularly autos. Shopping centers, 
stadia, and office buildings are examples of indirect sources.
    Neighborhood Scale--Measurements in this category would represent 
conditions throughout some reasonably homogeneous urban subregions, with 
dimensions of a few kilometers and generally more regularly shaped than 
the middle scale. Homogeneity refers to CO concentration, but it 
probably also applies to land use. In some cases, a location carefully 
chosen to provide neighborhood scale data, might represent not only the 
immediate neighborhood, but also neighborhoods of the same type in other 
parts of the city. These kinds of stations would provide information 
relating to health effects because they would represent conditions in 
areas where people live and work. Neighborhood scale data would provide 
valuable information for developing, testing, and revising concepts and 
models that describe the larger scale concentration patterns, especially 
those models relying on spatially smoothed emission fields for inputs. 
These types of measurements could also be used for interneighborhood 
comparisons within or between cities.
    After the spatial scale has been determined to meet the monitoring 
objectives for each location, the location selection procedures, as 
shown in reference 3 should be used to evaluate the adequacy of each 
existing CO station and must be used to relocate an existing station or 
to locate any new SLAMS stations. The background material necessary for 
these procedures may include the average daily traffic on all streets in 
the area, wind roses for different hours of the day, and maps showing 
one-way streets, street widths, and building heights. If the station is 
to typify the area with the highest concentrations, the streets with the 
greatest daily traffic should be identified. If some streets are one-
way, those streets that have the greatest traffic during the afternoon 
and evening hours should be selected as tentative locations, because the 
periods of high traffic volume are usually of greatest duration through 
the evening hours. However, the strength of the morning inversion has to 
be considered along with the traffic volume and pattern when seeking 
areas with the highest concentrations. Traffic counters near the 
stations will provide valuable data for interpreting the observed CO 
Concentrations.
    Monitors should not be placed in the vicinity of possible anomalous 
source areas. Examples of such areas include toll gates on turnpikes, 
metered freeway ramps, and drawbridge approaches. Additional information 
on network design may be found in reference 3.
    2.5  Ozone (O3) Design Criteria for SLAMS
    Ozone is not directly emitted into the atmosphere but results from 
complex photochemical reactions involving organic compounds, oxides of 
nitrogen, and solar radiation.
    The relationships between primary emissions (precursors) and 
secondary pollutants (O3) tend to produce large separations 
spatially and temporally between the major sources and the areas of high 
oxidant pollution. This suggests that the meteorological transport 
process and the relationships between sources and sinks need to be 
considered in the development of the network design criteria and 
placement of monitoring stations, especially in measuring peak 
concentration levels.
    The principal spatial scales for SLAMS purposes based on the 
monitoring objectives are neighborhood, urban, regional, and to a lesser 
extent, middle scale. Since ozone requires appreciable formation time, 
the mixing of reactants and products occurs over large volumes of air, 
and this reduces the importance of monitoring small scale spatial 
variability.
    Middle Scale--Measurement in this scale would represent conditions 
close to sources of NOx such as roads where it would be expected 
that suppression of O3 concentrations would occur. Trees also may 
have a strong scavenging effect on O3 and may tend to suppress 
O3 concentrations in their immediate vicinity. Measurements at 
these stations would represent conditions over relatively small portions 
of the urban area.
    Neighborhood Scale--Measurements in this category represent 
conditions throughout some reasonably homogeneous urban subregion, with 
dimensions of a few kilometers. Homogeneity refers to pollutant 
concentrations. Neighborhood scale data will provide valuable 
information for developing, testing,

[[Page 190]]

and revising concepts and models that describe urban/regional 
concentration patterns. They will be useful to the understanding and 
definition of processes that take periods of hours to occur and hence 
involve considerable mixing and transport. Under stagnation conditions, 
a station located in the neighborhood scale may also experience peak 
concentration levels within the urban areas.
    Urban Scale--Measurement in this scale will be used to estimate 
concentrations over large portions of an urban area with dimensions of 
several kilometers to 50 or more kilometers. Such measurements will be 
used for determining trends, and designing area-wide control strategies. 
The urban scale stations would also be used to measure high 
concentrations downwind of the area having the highest precursor 
emissions.
    Regional Scale--This scale of measurement will be used to typify 
concentrations over large portions of a metropolitan area and even 
larger areas with dimensions of as much as hundreds of kilometers. Such 
measurements will be useful for assessing the ozone that is transported 
into an urban area. Data from such stations may be useful in accounting 
for the ozone that cannot be reduced by control strategies in that urban 
area.
    The location selection procedure continues after the spatial scale 
is selected based on the monitoring objectives. The appropriate network 
design procedures as found in reference 4, should be used to evaluate 
the adequacy of each existing O3 monitor and must be used to 
relocate an existing station or to locate any new O3 SLAMS 
stations. The first step in the siting procedure would be to collect the 
necessary background material, which may consist of maps, emission 
inventories for nonmethane hydrocarbons and oxides of nitrogen 
(NOx), climatological data, and existing air quality data for 
ozone, nonmethane hydrocarbons, and NO2/NO.
    For locating a neighborhood scale station to measure typical city 
concentrations, a reasonably homogeneous geographical area near the 
center of the region should be selected which is also removed from the 
influence of major NOX sources. For an urban scale station to 
measure the high concentration areas, the emission inventories should be 
used to define the extent of the area of important nonmethane 
hydrocarbons and NOX emissions. The most frequent wind speed and 
direction for periods of important photochemical activity should be 
determined. Then the prospective monitoring area should be selected in a 
direction from the city that is most frequently downwind during periods 
of photochemical activity. The distance from the station to the upwind 
edge of the city should be about equal to the distance traveled by air 
moving for 5 to 7 hours at wind speeds prevailing during periods of 
photochemical activity. Prospective areas for locating O3 monitors 
should always be outside the area of major NOX.
    In locating a neighborhood scale station which is to measure high 
concentrations, the same procedures used for the urban scale are 
followed except that the station should be located closer to the areas 
bordering on the center city or slightly further downwind in an area of 
high density population.
    For regional scale background monitoring stations, the most frequent 
wind associated with important photochemical activity should be 
determined. The prospective monitoring area should be upwind for the 
most frequent direction and outside the area of city influence.
    Since ozone levels decrease significantly in the colder parts of the 
year in many areas, ozone is required to be monitored at NAMS and SLAMS 
monitoring sites only during the ``ozone season'' as designated in the 
AIRS files on a State by State basis and described below:

                    Ozone Monitoring Season By State                    
------------------------------------------------------------------------
              State                   Begin month          End month    
------------------------------------------------------------------------
Alabama.........................  March.............  November.         
Alaska..........................  April.............  October.          
Arizona.........................  January...........  December.         
Arkansas........................  March.............  November.         
California......................  January...........  December.         
Colorado........................  March.............  September.        
Connecticut.....................  April.............  October.          
Delaware........................  April.............  October.          
District of Columbia............  April.............  October.          
Florida.........................  January...........  December.         
Georgia.........................  March.............  November.         
Hawaii..........................  January...........  December.         
Idaho...........................  April.............  October.          
Illinois........................  April.............  October.          
Indiana.........................  April.............  September.        
Iowa............................  April.............  October.          
Kansas..........................  April.............  October.          
Kentucky........................  April.............  October.          
Louisiana.......................  January...........  December.         
Maine...........................  April.............  October.          
Maryland........................  April.............  October.          
Massachusetts...................  April.............  October.          
Michigan........................  April.............  September.        
Minnesota.......................  April.............  October.          
Mississippi.....................  March.............  November.         
Missouri........................  April.............  October.          
Montana.........................  June..............  September.        
Nebraska........................  April.............  October.          
Nevada..........................  January...........  December.         
New Hampshire...................  April.............  October.          
New Jersey......................  April.............  October.          
New Mexico......................  January...........  December.         
New York........................  April.............  October.          
North Carolina..................  April.............  October.          
North Dakota....................  May...............  September.        
Ohio............................  April.............  October.          
Oklahoma........................  March.............  November.         
Oregon..........................  April.............  October.          
Pennsylvania....................  April.............  October.          
Puerto Rico.....................  January...........  December.         
Rhode Island....................  April.............  October.          
South Carolina..................  April.............  October.          
South Dakota....................  June..............  September.        
Tennessee.......................  April.............  Octber.           

[[Page 191]]

                                                                        
Texas AQCR 4,5,7,10,11..........  January...........  December          
Texas AQCR 1, 2, 3, 6, 8, 9, 12.  March.............  October           
Utah............................  May...............  September.        
Vermont.........................  April.............  October.          
Virginia........................  April.............  October.          
Washington......................  April.............  October.          
West Virginia...................  April.............  October.          
Wisconsin.......................  April 15..........  October 15.       
Wyoming.........................  April.............  October.          
American Samoa..................  January...........  December.         
Guam............................  January...........  December.         
Virgin Islands..................  January...........  December.         
------------------------------------------------------------------------

Additional discussion on the procedures for siting ozone stations may be 
found in reference 4.
    2.6 Nitrogen Dioxide (NO2) Design Criteria for SLAMS
    The typical spatial scales of representativeness associated with 
nitrogen dioxide monitoring based on monitoring objectives are middle, 
neighborhood, and urban. Since nitrogen dioxide is primarily formed in 
the atmosphere from the oxidation of NO, large volumes of air and mixing 
times usually reduce the importance of monitoring on small scale spatial 
variability especially for long averaging times. However, there may be 
some situations where NO2 measurements would be made on the middle 
scale for both long- and short-term averages.
    Middle Scale--Measurements on this scale would cover dimensions from 
about 100 meters to 0.5 kilometer. These measurements would characterize 
the public exposure to NO2 in populated areas. Also monitors that 
are located closer to roadways than the minimum distances specified in 
Table 3 of appendix E of this part, would be represented by measurements 
on this scale.
    Neighborhood and Urban Scales--The same considerations as discussed 
in section 2.5 for O3 would also apply to NO2.
    After the spatial scale is selected based on the monitoring 
objectives, then the siting procedures as found in reference 4 should be 
used to evaluate the adequacy of each existing NO2 station and must 
be used to relocate an existing station or to locate any new NO2 
SLAMS stations. The siting procedures begin with collecting the 
background material. This background information may include the 
characteristics of the area and its sources under study, climatological 
data to determine where concentration maxima are most likely to be 
found, and any existing monitoring data for NO2.
    For neighborhood or urban scales, the emphasis in site selection 
will be in finding those areas where long-term averages are expected to 
be the highest. Nevertheless, it should be expected that the maximum 
NO2 concentrations will occur in approximately the same locations 
as the maximum total oxides of nitrogen concentrations. The best course 
would be to locate the station somewhat further downwind beyond the 
expected point of maximum total oxides of nitrogen to allow more time 
for the formation of NO2. The dilution of the emissions further 
downwind from the source should be considered along with the need for 
reaction time for NO2 formation in locating stations to measure 
peak concentration. If dispersion is favorable, maximum concentrations 
may occur closer to the emission sources than the locations predicted 
from oxidation of NO to NO2 alone. This will occur downwind of 
sources based on winter wind direction or in areas where there are high 
ozone concentrations and high density NO2 emissions such as on the 
fringe of the central business district or further downwind. The 
distance and direction downwind would be based on ozone season wind 
patterns.
    Once the major emissions areas and wind patterns are known, areas of 
potential maximum NO2 levels can be determined. Nitrogen dioxide 
concentrations are likely to decline rather rapidly outside the urban 
area. Therefore, the best location for measuring NO2 concentrations 
will be in neighborhoods near the edge of the city.
    2.7  Lead (Pb) Design Criteria for SLAMS. Presently, about 90 
percent of the lead concentration in air originates from automobile 
exhaust, while the remaining 10 percent comes from industrial processes 
and stationary combustion sources. (6) The most important spatial scales 
to effectively characterize the emissions from both mobile and 
stationary sources are the micro, middle, and neighborhood scales. For 
purposes of establishing monitoring stations to represent large 
homogeneous areas other than the above scales of representativeness, 
urban or regional scale stations would also be needed.
    Microscale--This scale would typify areas such as downtown street 
canyons and traffic corridors where the general public would be exposed 
to maximum concentrations from mobile sources. Because of the very steep 
ambient Pb gradients resulting from Pb emissions from mobile sources, 
(7) the dimensions of the microscale for Pb generally would not extend 
beyond 15 meters from the roadway. Emissions from stationary sources 
such as primary and secondary lead smelters, and primary copper smelters 
may under fumigation conditions likewise result in high ground level 
concentrations at the microscale. In the latter case, the microscale 
would represent an area impacted by the plume with dimensions extending 
up to approximately 100 meters. Data collected at microscale stations 
provide information for evaluating and developing ``hot-spot'' control 
measures.

[[Page 192]]

    Middle Scale--This scale generally represents lead air quality 
levels in areas up to several city blocks in size with dimensions on the 
order of approximately 100 meters to 500 meters. However, the dimensions 
for middle scale roadway type stations would probably be on the order of 
50-150 meters because of the exponential decrease in lead concentration 
with increasing distances from roadways. The middle scale may for 
example, include schools and playgrounds in center city areas which are 
close to major roadways. Pb monitors in such areas are desirable because 
of the higher sensitivity of children to exposures to Pb concentrations. 
(7) Emissions from point sources frequently impact on areas at which 
single sites may be located to measure concentrations representing 
middle spatial scales.
    Neighborhood Scale--The neighborhood scale would characterize air 
quality conditions throughout some relatively uniform land use areas 
with dimensions in the 0.5 to 4.0 kilometer range. Stations of this 
scale would provide monitoring data in areas representing conditions 
where children live and play. Monitoring in such areas is important 
since this segment of the population is more susceptible to the effects 
of lead.
    Urban Scale--Such stations would be used to present ambient Pb 
concentrations over an entire metropolitan area with dimensions in the 4 
to 50 kilometer range. An urban scale station would be useful for 
assessing trends in city-wide air quality and the effectiveness of 
larger scale air pollution control strategies.
    Regional Scale--Measurements from these stations would characterize 
air quality levels over areas having dimensions of 50 to hundreds of 
kilometers. This large scale of representativeness would be most 
applicable to sparsely populated areas and could provide information on 
background air quality and interregional pollutant transport.
    Monitoring data for ambient Pb levels are required in major 
urbanized areas, particularly where Pb levels have been shown or are 
expected to be of significant concern such locations are to be expected 
in urban areas having high population densities and accompanying high 
traffic densities. The total number and type of stations for SLAMS are 
not prescribed but must be determined on a case-by-case basis. As a 
minimum there must be two stations in any urbanized area which has a 
population exceeding 500,000. Also, as a minimum, there must be two 
stations in any area where lead concentrations currently exceed or have 
exceeded 1.5 g/m3 quarterly arithmetic mean measured since 
January 1, 1974. For those areas less than 500,000 population where the 
lead concentrations have exceeded 1.5 g/m3 quarterly 
arithmetic mean, the Regional Administrator may waive the requirement 
for establishing SLAMS provided the State can demonstrate that measured 
lead concentrations have not exceeded the NAAQS for the eight quarters 
prceeding the lead monitoring plan submission required by Sec. 58.20. 
For locations where monitors are not being operated at the time of the 
Pb monitoring plan submission, data showing attainment during the final 
eight quarters of operation will generally provide the basis for the 
waiver. The EPA Regional Administrator may specify more than two 
monitoring stations if it is found that two stations are insufficient to 
adequately determine if the Pb standard is being attained and 
maintained. The Regional Administrator may also specify that stations be 
located in areas outside the boundaries of the urbanized areas.
    Concerning the previously discussed required minimum of two 
stations, one of the stations must be a category (a) type station and 
the second a category (b) station. Both of these categories of stations 
are defined in section 3. For areas where the predominant lead levels 
come from automotive sources, the category (a) station must be a 
microscale or middle scale station located near a major roadway [>30,000 
average daily traffic, (ADT)] in order to measure maximum Pb 
concentrations from mobile sources. In areas where there are no roadways 
exceeding 30,000 ADT, the station should be located near the roadway 
with the largest traffic volume. Studies (7, 8) indicate that lead 
levels decrease exponentially with distance from roadways. Thus, the 
higher concentrations are close to the roadway and stations located in 
such areas because of the steep concentration gradients, are most often 
found to represent the microscale and middle scale dimension. For areas 
where predominant lead levels come from point sources, the category (a) 
station generally represents the microscale or middle scale impact of 
the point source. However, in a few cases, sufficient mixing may occur 
during transport of the emissions from the source to the ground so that 
the category (a) station represents a neighborhood scale. The required 
category (b) station must be a neighborhood scale station since the 
microscale and middle scale station would not represent the air quality 
over large geographical areas and frequently may not be located in 
highly populated areas. It is recognized that in certain areas, a middle 
scale station may be located at schools or playgrounds near major 
roadways. However, in most cases, they are not located in such areas and 
since children (7) are the segment of the population most susceptible to 
the effects of lead and are more likely to live and play in the 
residential section of the urban area, the category (b) station should 
be located in residential areas having a combination of high population 
and traffic density. In the case where lead levels come primarily from 
point sources, the category (b) station generally

[[Page 193]]

represents a neighborhood scale impact of the point source.
    To locate monitoring stations, it will be necessary to obtain 
background information such as stationary and mobile source emissions 
inventories, morning and evening traffic patterns, climatological 
summaries, and local geographical characteristics. Such information 
should be used to identify areas that are most suitable to the 
particular monitoring objective and spatial scale of representativeness 
desired. Reference 9 provides additional guidance on locating sites to 
meet specific urban area monitoring objectives and must be used in 
locating new stations or evaluating the adequacy of existing stations.
    After locating each Pb station, and, to the extent practicable, 
taking into consideration the collective impact of all Pb sources and 
surrounding physical characteristics of the siting area, a spatial scale 
of representativeness must be assigned to each station.
    Guidance on locating monitoring stations in the vicinity of 
stationary lead sources is given in reference 10. This reference 
provides assistance in designing a network to meet the monitoring 
objective of determining the impact of point sources on ambient Pb 
levels.
    2.8  PM10 Design Criteria for SLAMS
    As with other pollutants measured in the SLAMS network, the first 
step in designing the PM10 network is to collect the necessary 
background information. Various studies11, 12, 13, 14, 15, 16 have 
documented the major source categories of particulate matter and their 
contribution to ambient levels in various locations throughout the 
country. Because the sources for PM10 are similar to those for TSP, 
the procedures for collecting the necessary background information for 
PM10 are also similar. Sources of background information would be 
regional and traffic maps and aerial photographs showing topography, 
settlements, major industries and highways. These maps and photographs 
would be used to identify areas of the type that are of concern to the 
particular monitoring objective. After potentially suitable monitoring 
areas for PM10 have been identified on a map, modeling may be used 
to provide an estimate of PM10 concentrations throughout the area 
of interest. After completing the first step, existing TSP SLAMS or 
other particulate matter stations should be evaluated to determine their 
potential as candidates for SLAMS designation. Stations meeting one or 
more of the four basic monitoring objectives described in section 1 of 
this appendix must be classified into one of the five scales of 
representativeness (micro, middle, neighborhood, urban and regional) if 
the stations are to become SLAMS. In siting and classifying PM10 
stations, the procedures in reference 17 should be used.
    If existing TSP samplers meet the quality assurance requirements of 
appendix A, the PM10 siting requirements of appendix E, and are 
located in areas of suspected maximum concentrations are described in 
section 3 of appendix D, and if the TSP levels are below the ambient 
PM10 standards, TSP samplers may continue to be used as substitutes 
for PM10 SLAMS samplers under the provisions of section 2.2 of 
appendix C.
    The most important spatial scales to effectively characterize the 
emissions of PM10 from both mobile and stationary sources are the 
micro, middle and neighborhood scales. For purposes of establishing 
monitoring stations to represent large homogenous areas other than the 
above scales of representativeness, urban or regional scale stations 
would also be needed.
    Microscale--This scale would typify areas such as downtown street 
canyons and traffic corridors where the general public would be exposed 
to maximum concentrations from mobile sources. Because of the very steep 
ambient PM10 gradients resulting from mobile sources, the 
dimensions of the microscale for PM10 generally would not extend 
beyond 15 meters from the roadway, but could continue the length of the 
roadway which could be several kilometers. Microscale PM10 sites 
should be located near inhabited buildings or locations where the 
general public can be expected to be exposed to the concentration 
measured. Emissions from stationary sources such as primary and 
secondary smelters, power plants, and other large industrial processes 
may, under certain plume conditions, likewise result in high ground 
level concentrations at the microscale. In the latter case, the 
microscale would represent an area impacted by the plume with dimensions 
extending up to approximately 100 meters. Data collected at microscale 
stations provide information for evaluating and developing ``hotspot'' 
control measures.
    Middle Scale--Much of the measurement of short-term public exposure 
to PM10 is on this scale. People moving through downtown areas, or 
living near major roadways, encounter particles that would be adequately 
characterized by measurements of this spatial scale. Thus, measurements 
of this type would be appropriate for the evaluation of possible short-
term public health effects of particulate matter pollution. This scale 
also includes the characteristic concentrations for other areas with 
dimensions of a few hundred meters such as the parking lot and feeder 
streets associated with shopping centers, stadia, and office buildings. 
In the case of PM10, unpaved or seldom swept parking lots 
associated with these sources could be an important source in addition 
to the vehicular emissions themselves.
    Neighborhood Scale--Measurements in this category would represent 
conditions

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throughout some reasonably homogeneous urban subregion with dimensions 
of a few kilometers and of generally more regular shape than the middle 
scale. Homogeneity refers to the PM10 concentrations, as well as 
the land use and land surface characteristics. In some cases, a location 
carefully chosen to provide neighborhood scale data would represent not 
only the immediate neighborhood but also neighborhoods of the same type 
in other parts of the city. Stations of this kind provide good 
information about trends and compliance with standards because they 
often represent conditions in areas where people commonly live and work 
for periods comparable to those specified in the NAAQS. This category 
also includes industrial and commercial neighborhoods, as well as 
residential.
    Neighborhood scale data could provide valuable information for 
developing, testing, and revising models that describe the larger-scale 
concentration patterns, especially those models relying on spatially 
smoothed emission fields for inputs. The neighborhood scale measurements 
could also be used for neighborhood comparisons within or between 
cities. This is the most likely scale of measurements to meet the needs 
of planners.
    Urban Scale--This class of measurement would be made to characterize 
the PM10 concentration over an entire metropolitan area. Such 
measurements would be useful for assessing trends in city-wide air 
quality, and hence, the effectiveness of large scale air pollution 
control strategies.
    Regional Scale--These measurements would characterize conditions 
over areas with dimensions of as much as hundreds of kilometers. As 
noted earlier, using representative conditions for an area implies some 
degree of homogeneity in that area. For this reason, regional scale 
measurements would be most applicable to sparsely populated areas with 
reasonably uniform ground cover. Data characteristics of this scale 
would provide information about larger scale processes of PM10 
emissions, losses and transport.

3.  Network Design for National Air Monitoring Stations (NAMS)

    The NAMS must be stations selected from the SLAMS network with 
emphasis given to urban and multisource areas. Areas to be monitored 
must be selected based on urbanized population and pollutant 
concentration levels. Generally, a larger number of NAMS are needed in 
more polluted urban and multisource areas. The network design criteria 
discussed below reflect these concepts. However, it should be emphasized 
that deviations from the NAMS network design criteria may be necessary 
in a few cases. Thus, these design criteria are not a set of rigid rules 
but rather a guide for achieving a proper distribution of monitoring 
sites on a national scale.
    The primary objective for NAMS is to monitor in the areas where the 
pollutant concentration and the population exposure are expected to be 
the highest consistent with the averaging time of the NAAQS. 
Accordingly, the NAMS fall into two categories:
    Category (a): Stations located in area(s) of expected maximum 
concentrations (generally microscale for CO, microscale or middle scale 
for Pb and PM10, neighborhood scale for SO2, and NO2, and 
urban scale for O3.
    Category (b): Stations which combine poor air quality with a high 
population density but not necessarily located in an area of expected 
maximum concentrations (neighborhood scale, except urban scale for 
NO2). Category (b) monitors would generally be representative of 
larger spatial scales than category (a) monitors.
    For each urban area where NAMS are required, both categories of 
monitoring stations must be established. In the case of TSP and SO2 
if only one NAMS is needed, then category (a) must be used. The analysis 
and interpretation of data from NAMS should consider the distinction 
between these types of stations as appropriate.
    The concept of NAMS is designed to provide data for national policy 
analyses/trends and for reporting to the public on major metropolitan 
areas. It is not the intent to monitor in every area where the NAAQS are 
violated. On the other hand, the data from SLAMS should be used 
primarily for nonattainment decisions/ analyses in specific geographical 
areas. Since the NAMS are stations from the SLAMS network, station 
locating procedures for NAMS are part of the SLAMS network design 
process.
    3.1  [Reserved]
    3.2  Sulfur Dioxide (SO2) Design Criteria for NAMS
    It is desirable to have a greater number of NAMS in the more 
polluted and densely populated urban and multisource areas. The data in 
Table 3 show the approximate number of permanent stations needed in 
urban areas to characterize the national and regional SO2 air 
quality trends and geographical patterns. These criteria require that 
the number of NAMS in areas where urban populations exceed 1,000,000 and 
concentrations also exceed the primary NAAQS may range from 6 to 10 and 
that in areas where the SO2 problem is minor, only one or two (or 
no) monitors are required. For those cases where more than one station 
is required for an urban area, there should be at least one station for 
category (a) and category (b) objectives as discussed in section 3. 
Where three or more stations are required, the mix of category (a) and 
(b) stations is determined on a case-by-case basis. The actual number 
and location of the NAMS must be determined by EPA Regional Offices and 
the State agency,

[[Page 195]]

subject to the approval of EPA Headquarters Office of Air and Radiation 
(OAR).

                              Table 3--SO2 National Air Monitoring Station Criteria                             
                                   [Approximate number of stations per area] a                                  
----------------------------------------------------------------------------------------------------------------
                                                                       High           Medium            Low     
                       Population category                        concentrationb  concentrationc  concentrationd
----------------------------------------------------------------------------------------------------------------
>1,000,000                                                             6-10               4-8            2-4    
500,000 to 1,000,000                                                    4-8               2-4            1-2    
250,000 to 500,000                                                      3-4               1-2            0-1    
100,000 to 250,000                                                      1-2               0-1             0     
----------------------------------------------------------------------------------------------------------------
a Selection of urban areas and actual number of stations per area will be jointly determined by EPA and the     
  State agency.                                                                                                 
b High concentration--exceeding level of the primary NAAQS.                                                     
c Medium concentration--exceeding 60 percent of the level of the primary or 100% of the secondary NAAQS.        
d Low concentration--less than 60 percent of the level of the primary or 100% of the secondary NAAQS.           

    The estimated number of SO2 NAMS which would be required 
nationwide ranges from approximately 200 to 300. This number of NAMS 
SO2 monitors is sufficient for national trend purposes due to the 
low background SO2 levels, and the fact that air quality is very 
sensitive to SO2 emission changes. The actual number of stations in 
any specific area depends on local factors such as meteorology, 
topography, urban and regional air quality gradients, and the potential 
for significant air quality improvements or degradation. The greatest 
density of stations should be where urban populations are large and 
where pollution levels are high. Fewer NAMS are necessary in the western 
States since concentrations are seldom above the NAAQS in their urban 
areas. Exceptions to this are in the areas where an expected shortage of 
clean fuels indicates that ambient air quality may be degraded by 
increased SO2 emissions. In such cases, a minimum number of NAMS is 
required to provide EPA with a proper national perspective on 
significant changes in air quality.
    Like TSP, the worst air quality in an urban area is to be used as 
the basis for determining the required number of SO2 NAMS (see 
Table 3). This includes SO2 air quality levels within populated 
parts of urbanized areas, that are affected by one or two point sources 
of SO2 if the impact of the source(s) extends over a reasonably 
broad geographic scale (neighborhood or larger). Maximum SO2 air 
quality levels in remote unpopulated areas should be excluded as a basis 
for selecting NAMS regardless of the sources affecting the concentration 
levels. Such remote areas are more appropriately monitored by SLAMS or 
SPM networks and/or characterized by diffusion model calculations as 
necessary.
    3.3  Carbon Monoxide (CO) Design Criteria for NAMS
    Information is needed on ambient CO levels in major urbanized areas 
where CO levels have been shown or inferred to be a significant concern. 
At the national level, EPA will not routinely require data from as many 
stations as are required for TSP, and perhaps, SO2, since CO trend 
stations are principally needed to assess the overall air quality 
progress resulting from the emission controls required by the Federal 
motor vehicle control program (FMVCP).
    Although State and local air programs may require extensive 
monitoring to document and measure the local impacts of CO emissions and 
emission controls, an adequate national perspective is possible with as 
few as two stations per major urban area. The two categories for which 
CO NAMS would be required are: (a) Peak concentration areas such as are 
found around major traffic arteries and near heavily traveled streets in 
downtown areas (micro scale); and (b) neighborhoods where concentration 
exposures are significant (middle scale, neighborhood scale).
    The peak concentration station (micro scale) is usually found near 
heavily traveled downtown streets (street canyons), but could be found 
along major arterials (corridors), either near intersections or at low 
elevations which are influenced by downslope drainage patterns under low 
inversion conditions. The peak concentration station should be located 
so that it is representative of several similar source configurations in 
the urban area, where the general population has access. Thus, it should 
reflect one of many potential peak situations which occur throughout the 
urban area. It is recognized that this does not measure air quality 
which represents large geographical areas. Thus, a second type of 
station on the neighborhood scale is necessary to provide data 
representative of the high concentration levels which exist over large 
geographical areas.
    The category (b) (middle scale or neighborhood scale) should be 
located in areas with a stable, high population density, projected 
continuity of neighborhood character, and high traffic density. The 
stations should be located where no major zoning changes, new highways, 
or new shopping centers are being considered. The station should be 
where a significant CO pollution problem exists, but not be unduly 
influenced by any one line source. Rather, it should be more 
representative of the overall effect of the sources in a significant 
portion of the urban area.
    Because CO is generally associated with heavy traffic and population 
clusters, an urbanized area with a population greater than 500,000 is 
the principal critertion for identifying the urban areas for which pairs 
of NAMS for this pollutant will be required. The criterion is based on 
judgment that stations in

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urban areas with greater than 500,000 population would provide 
sufficient data for national analysis and national reporting to Congress 
and the public. Also, it has generally been shown that major CO problems 
are found in areas greater than 500,000 population.
    3.4  Ozone (O3) Design Criteria for NAMS
    The criterion for selecting locations for ozone NAMS is any 
urbanized area having a population of more than 200,000. This population 
cut off is used since the sources of hydrocarbons are both mobile and 
stationary and are more diverse. Also, because of local and national 
control strategies and the complex chemical process of ozone formation 
and transport, more sampling stations than for CO are needed on a 
national scale to better understand the ozone problem. This selection 
criterion is based entirely on population and will include those 
relatively highly populated areas where most of the oxidant precursors 
originate.
    Each urban area will generally require only two ozone NAMS, One 
station would be representative of maximum ozone concentrations 
(category (a), urban scale) under the wind transport conditions as 
discussed in section 2.5. The exact location should balance local 
factors affecting transport and buildup of peak O3 levels with the 
need to represent population exposure. The second station (category (b), 
neighborhood scale), should be representative of high density population 
areas on the fringes of the central business district along the 
predominant summer/fall daytime wind direction. This latter station 
should measure peak O3 levels under light and variable or stagnant 
wind conditions. Two ozone NAMS stations will be sufficient in most 
urban areas since spatial gradients for ozone generally are not as sharp 
as for other criteria pollutants.
    3.5 Nitrogen Dioxide (NO2) Criteria for NAMS. Nitrogen dioxide 
NAMS will be required in those areas of the country which have a 
population greater than 1,000,000. These areas will have two NO2 
NAMS. It is felt that stations in these major metropolitan areas would 
provide sufficient data for a national analysis of the data, and also 
because NO2 problems occur in areas of greater than 1,000,000 
population.
    Within urban areas requiring NAMS, two permanent monitors are 
sufficient. The first station (category (a), middle scale or 
neighborhood scale) would be to measure the photochemical production of 
NO2 and would best be located in that part of the urban area where 
the emission density of NOx is the highest. The second station 
(category (b) urban scale), would be to measure the NO2 produced 
from the reaction of NO with O3 and should be downwind of the area 
of peak NOx emission areas.
    3.6  Lead (Pb) Design Criteria for NAMS. In order to achieve the 
national monitoring objective, two of the SLAMS located in urbanized 
areas with populations greater than 500,000 will be designated as NAMS. 
One of the stations must be a microscale or middle scale category (a) 
station, located adjacent to a major roadway (30,000 ADT) or 
near the roadway with the largest traffic volume if the volume is less 
than 30,000 ADT. A microscale location is preferred, but a middle scale 
is also acceptable if a suitable microscale location cannot be found.
    The second station must be a neighborhood scale category (b) station 
located in a highly populated residential section of the urbanized area 
where traffic density is high, preferably (30,000 ADT) or 
near the roadway with the largest traffic volume if the volume is less 
than 30,000 ADT.
    In certain urbanized areas greater than 500,000 population, point 
sources may have a significant impact on air quality lead levels in 
populated areas. To measure the impact of such sources, other monitors 
in the SLAMS network would normally be used.
    3.7  PM10, Design Criteria for NAMS
    Table 4 indicates the approximate number of permanent stations 
required in urban areas to characterize national and regional PM10 
air quality trends and geographical patterns. The number of stations in 
areas where urban populations exceed 1,000,000 must be in the range from 
2 to 10 stations, while in low population urban areas, no more than two 
stations are required. A range of monitoring stations is specified in 
Table 4 because sources of pollutants and local control efforts can vary 
from one part of the country to another and therefore, some flexibility 
is allowed in selecting the actual number of stations in any one locale.
    It is recognized that no PM10 samplers will be designated as 
PM10 reference or equivalent methods until, at the earliest, 
approximately six months after promulgation of PM10 NAAQS and the 
reference and equivalent method requirements. Even though non-designated 
PM10 samplers will have been commercially available, and a small 
number of samplers will have been in use by EPA, other agencies, and 
industry, there will not be enough ambient PM10 data to determine 
ambient PM10 levels for all areas of the country. Accordingly, EPA 
has provided guidance18 on converting ambient IP15 data to 
ambient PM10 data. Ambient IP15 data are data from high volume 
samplers utilizing quartz filters or dichotomous samplers, both with 
inlets designed to collect particles nominally 15 um and below. Also 
included in the guidance are procedures for calculating from ambient TSP 
data the probability that an area will be nonattainment for PM10. 
For determining the appropriate number of NAMS per area, the converted 
IP15 data or the probabilities of PM10 nonattainment are used 
in Table 4, unless ambient PM10 data are available. If only one 
monitor is required

[[Page 197]]

in an urbanized area, it must be a category (a) type. Since emissions 
associated with the operation of motor vehicles contribute to urban area 
particulate matter levels, consideration of the impact of these sources 
must be included in the design of the NAMS network, particularly in 
urban areas greater than 500,000 population. In certain urban areas 
particulate emissions from motor vehicle diesel exhaust currently is or 
is expected to be a significant source of PM10 ambient levels. If 
an evaluation of the sources of PM10 as described in section 2.8 
indicates that the maximum concentration area is predominantly 
influenced by roadway emissions, then the category (a) station should be 
located adjacent to a major road and should be a microscale or middle 
scale. A microscale is preferable but a middle scale is also acceptable 
if a suitable microscale location cannot be found. However, if the 
predominant influence in the suspected maximum concentration area is 
expected to be industrial emissions, and/or combustion products (from 
other than an isolated single source), the category (a) station should 
be a middle scale or neighborhood scale. A middle scale exposure is 
preferable to a neighborhood scale in representing the maximum 
concentration impact from multiple sources, other than vehicular, but a 
neighborhood scale is acceptable, especially in large residential areas 
that burn oil, wood, and/or coal for space heating.
    For those cases where more than one station is required for an urban 
area, there should be at least one station for category (a) and one 
station for category (b) neighborhood scale objectives as discussed in 
section 3. Where three or more stations are required, the mix of 
category (a) and (b) stations is to be determined on a case-by-case 
basis. The actual number of NAMS and their locations must be determined 
by EPA Regional Offices and the State agencies, subject to the approval 
of the Administrator as required by Sec. 58.32. The Administrator's 
approval is necessary to insure that individual stations conform to the 
NAMS selection criteria and that the network as a whole is sufficient in 
terms of number and location for purposes of national analyses. As 
required under the provisions of section 2.2 of appendix C, all 
PM10 NAMS that were previously designated as TSP NAMS must 
concurrently collect ambient TSP and PM10 data for a one-year 
period beginning when each NAMS PM10 sampler is put into operation.

                             Table 4--PM10 National Air Monitoring Station Criteria                             
                                   [Approximate Number of Stations per Area] a                                  
----------------------------------------------------------------------------------------------------------------
                                                                  High             Medium              Low      
                    Population category                     concentration b,  concentration c,  concentration d,
                                                                    e                 e                 e       
----------------------------------------------------------------------------------------------------------------
>1,000,000................................................        6-10                 4-8              2-4     
500,000-1,000,000.........................................         4-8                 2-4              1-2     
250,000-500,000...........................................         3-4                 1-2              0-1     
100,000-250,000...........................................         1-2                 0-1                0     
----------------------------------------------------------------------------------------------------------------
a Selection of urban areas and actual number of stations per area will be jointly determined by EPA and the     
  State agency.                                                                                                 
b High concentration areas are those for which: Ambient PM10 data or ambient IP15 data converted to PM10 show   
  ambient concentrations exceeding either PM10 NAAQS by 20 percent or more; or the probability of PM10          
  nonattainment, calculated from TSP data, is 95 percent or greater.                                            
c Medium concentration areas are those for which: Ambient PM10 data or ambient IP15 data converted to PM10 show 
  ambient concentrations exceeding either 80 percent of the PM10 NAAQS, or the probability of PM10              
  nonattainment, calculated from TSP data, is 20 percent and <95 percent.                                       
d Low concentration areas are those for which: Ambient PM10 data or ambient IP15 data converted to PM10 show    
  ambient concentrations less than 80 percent of the PM10 NAAQS; or the probability of PM10 nonattainment,      
  calculated from TSP data, is less than 20 percent.                                                            
e Procedures for estimating ambient PM10 concentrations from IP15 ambient air measurements or for estimating the
  probability of nonattainment for PM10 given observed TSP data are provided in reference 18.                   


4.  Network Design for Photochemical Assessment Monitoring Stations 
(PAMS)
    In order to obtain more comprehensive and representative data on 
O3 air pollution, the 1990 Clean Air Act Amendments require 
enhanced monitoring for ozone (O3), oxides of nitrogen (NO, 
NO2, and NOX), and monitoring for VOC in O3 nonattainment 
areas classified as serious, severe, or extreme. This will be 
accomplished through the establishment of a network of Photochemical 
Assessment Monitoring Stations (PAMS).
    4.1  PAMS Data Uses. Data from the PAMS are intended to satisfy 
several coincident needs related to attainment of the National Ambient 
Air Quality Standards (NAAQS), SIP control strategy development and 
evaluation, corroboration of emissions tracking, preparation of trends 
appraisals, and exposure assessment.
    (a) NAAQS attainment and control strategy development. Like SLAMS 
and NAMS data, PAMS data will be used for monitoring O3 exceedances 
and providing input for attainment/nonattainment decisions. In addition, 
PAMS data will help resolve the roles of transported and locally emitted 
O3 precursors in producing an observed exceedance and may be 
utilized to identify specific sources emitting excessive concentrations 
of O3 precursors and potentially contributing to observed 
exceedances of the O3 NAAQS. The

[[Page 198]]

PAMS data will enhance the characterization of O3 concentrations 
and provide critical information on the precursors which cause O3, 
therefore extending the database available for future attainment 
demonstrations. These demonstrations will be based on photochemical grid 
modeling and other approved analytical methods and will provide a basis 
for prospective mid-course control strategy corrections. PAMS data will 
provide information concerning (1) which areas and episodes to model to 
develop appropriate control strategies; (2) boundary conditions required 
by the models to produce quantifiable estimates of needed emissions 
reductions; and (3) the evaluation of the predictive capability of the 
models used.
    (b) SIP control strategy evaluation. The PAMS will provide data for 
SIP control strategy evaluation. Long-term PAMS data will be used to 
evaluate the effectiveness of these control strategies. Data may be used 
to evaluate the impact of VOC and NOX emission reductions on air 
quality levels for O3 if data is reviewed following the time period 
during which control measures were implemented. Speciation of measured 
VOC data will allow determination of which organic species are most 
affected by the emissions reductions and assist in developing cost-
effective, selective VOC reductions and control strategies. A State or 
local air pollution control agency can therefore ensure that strategies 
which are implemented in their particular nonattainment area are those 
which are best suited for that area and achieve the most effective 
emissions reductions (and therefore largest impact) at the least cost.
    (c) Emissions tracking. PAMS data will be used to corroborate the 
quality of VOC and NOX emission inventories. Although a perfect 
mathematical relationship between emission inventories and ambient 
measurements does not yet exist, a qualitative assessment of the 
relative contributions of various compounds to the ambient air can be 
roughly compared to current emission inventory estimates to evaluate the 
accuracy of the emission inventories. In addition, PAMS data which are 
gathered year round will allow tracking of VOC and NOX emission 
reductions, provide additional information necessary to support 
Reasonable Further Progress (RFP) calculations, and corroborate 
emissions trends analyses. While the regulatory assessments of progress 
will be made in terms of emission inventory estimates, the ambient data 
can provide independent trends analyses and corroboration of these 
assessments which either verify or highlight possible errors in 
emissions trends indicated by inventories. The ambient assessments, 
using speciated data, can gauge the accuracy of estimated changes in 
emissions. The speciated data can also be used to assess the quality of 
the VOC speciated and NOX emission inventories for input during 
photochemical grid modeling exercises and identify potential urban air 
toxic pollutant problems which deserve closer scrutiny.
    The speciated VOC data will be used to determine changes in the 
species profile, resulting from the emission control program, 
particularly those resulting from the reformulation of fuels.
    (d) Trends. Long-term PAMS data will be used to establish speciated 
VOC, NOX, and limited toxic air pollutant trends, and supplement 
the O3 trends database. Multiple statistical indicators will be 
tracked, including O3 and its precursors during the events 
encompassing the days during each year with the highest O3 
concentrations, the seasonal means for these pollutants, and the annual 
means at representative locations.
    The more PAMS that are established in and near nonattainment areas, 
the more effective the trends data will become. As the spatial 
distribution and number of O3 and O3 precursor monitors 
improves, trends analyses will be less influenced by instrument or site 
location anomalies. The requirement that surface meteorological 
monitoring be established at each PAMS will help maximize the utility of 
these trends analyses by comparisons with meteorological trends, and 
transport influences. The meteorological data can also help interpret 
the ambient air pollution trends by taking meteorological factors into 
account.
    (e) Exposure assessment. PAMS data will be used to better 
characterize O3 and toxic air pollutant exposure to populations 
living in serious, severe, or extreme areas. Annual mean toxic air 
pollutant concentrations will be calculated to help estimate the average 
risk to the population associated with individual VOC species, which are 
considered toxic, in urban environments.
    4.2  PAMS Monitoring Objectives. Unlike the SLAMS and NAMS design 
criteria which are pollutant specific, PAMS design criteria are site 
specific. Concurrent measurements of O3, NOX, speciated VOC, 
and meteorology are obtained at PAMS. Design criteria for the PAMS 
network are based on selection of an array of site locations relative to 
O3 precursor source areas and predominant wind directions 
associated with high O3 events. Specific monitoring objectives are 
associated with each location. The overall design should enable 
characterization of precursor emission sources within the area, 
transport of O3 and its precursors into and out of the area, and 
the photochemical processes related to O3 nonattainment, as well as 
developing an initial, though limited, urban air toxic pollutant 
database. Specific objectives that must be addressed include assessing 
ambient trends in O3, NO, NO2, NOX, VOC (including 
carbonyls), and VOC species, determining spatial and diurnal variability 
of O3, NO, NO2, NOX, and VOC species and assessing 
changes in the VOC species profiles that

[[Page 199]]

occur over time, particularly those occurring due to the reformulation 
of fuels. A maximum of five PAMS sites are required in an affected 
nonattainment area depending on the population of the Metropolitan 
Statistical Area/Consolidated Metropolitan Statistical Area (MSA/CMSA) 
or nonattainment area, whichever is larger. Specific monitoring 
objectives associated with each of these sites result in four distinct 
site types. Note that detailed guidance for the locating of these sites 
may be found in reference 19.
    Type (1) sites are established to characterize upwind background and 
transported O3 and its precursor concentrations entering the area 
and will identify those areas which are subjected to overwhelming 
transport. Type (1) sites are located in the predominant morning upwind 
direction from the local area of maximum precursor emissions during the 
O3 season and at a distance sufficient to obtain urban scale 
measurements as defined in section 1 of this appendix. Typically, type 
(1) sites will be located near the edge of the photochemical grid model 
domain in the predominant morning upwind direction from the city limits 
or fringe of the urbanized area. Depending on the boundaries and size of 
the nonattainment area and the orientation of the grid, this site may be 
located outside of the nonattainment area. The appropriate predominant 
morning wind direction should be determined from historical wind data 
occurring during the period 7 a.m. to 10 a.m. on high O3 days or on 
those days which exhibit the potential for producing high O3 
levels, i.e., O3-conducive days as described in reference 25. 
Alternate schemes for specifying this morning wind direction may be 
submitted as a part of the network description required by Secs. 58.40 
and 58.41. Data measured at type (1) sites will be used principally for 
the following purposes:
     Future development and evaluation of control strategies,
     Identification of incoming pollutants,
     Corroboration of NOX and VOC emission inventories,
     Establishment of boundary conditions for future 
photochemical grid modeling and mid-course control strategy changes, and
     Development of incoming pollutant trends.
    Type (2) sites are established to monitor the magnitude and type of 
precursor emissions in the area where maximum precursor emissions are 
expected to impact and are suited for the monitoring of urban air toxic 
pollutants. Type (2) sites are located immediately downwind of the area 
of maximum precursor emissions and are typically placed near the 
downwind boundary of the central business district to obtain 
neighborhood scale measurements. The appropriate downwind direction 
should be obtained similarly to that for type (1) sites. Additionally, a 
second type (2) site may be required depending on the size of the area, 
and should be placed in the second-most predominant morning wind 
direction as noted previously. Data measured at type (2) sites will be 
used principally for the following purposes:
     Development and evaluation of imminent and future control 
strategies,
     Corroboration of NOX and VOC emission inventories,
     Augmentation of RFP tracking,
     Verification of photochemical grid model performance,
     Characterization of O3 and toxic air pollutant 
exposures (appropriate site for measuring toxic emissions impact),
     Development of pollutant trends, particularly toxic air 
pollutants and annual ambient speciated VOC trends to compare with 
trends in annual VOC emission estimates, and
     Determination of attainment with the NAAQS for NO2 and 
O3.
    Type (3) sites are intended to monitor maximum O3 
concentrations occurring downwind from the area of maximum precursor 
emissions. Locations for type (3) sites should be chosen so that urban 
scale measurements are obtained. Typically, type (3) sites will be 
located 10 to 30 miles downwind from the fringe of the urban area. The 
downwind direction should also be determined from historical wind data, 
but should be identified as those afternoon winds occurring during the 
period 1 p.m. to 4 p.m. on high O3 days or on those days which 
exhibit the potential for producing high O3 levels. Alternate 
schemes for specifying this afternoon wind direction may also be 
submitted as a part of the network description required by Secs. 58.40 
and 58.41. Data measured at type (3) sites will be used principally for 
the following purposes:
     Determination of attainment with the NAAQS for O3 
(this site may coincide with an existing maximum concentration O3 
monitoring site),
     Evaluation of future photochemical grid modeling 
applications,
     Future development and evaluation of control strategies,
     Development of pollutant trends, and
     Characterization of O3 pollutant exposures.
    Type (4) sites are established to characterize the extreme downwind 
transported O3 and its precursor concentrations exiting the area 
and will identify those areas which are potentially contributing to 
overwhelming transport in other areas. Type (4) sites are located in the 
predominant afternoon downwind direction, as determined for the type (3) 
site, from the local area of maximum precursor emissions during the 
O3 season and at a distance sufficient to obtain urban scale 
measurements as defined elsewhere in this appendix. Typically, type (4) 
sites will be located near the downwind edge of the photochemical grid 
model domain. Alternate

[[Page 200]]

schemes for specifying the location of this site may be submitted as a 
part of the network description required by Secs. 58.40 and 58.41. Data 
measured at type (4) sites will be used principally for the following 
purposes:
     Development and evaluation of O3 control strategies,
     Identification of emissions and photochemical products 
leaving the area,
     Establishment of boundary conditions for photochemical grid 
modeling,
     Development of pollutant trends,
     Background and upwind information for other downwind areas, 
and
     Evaluation of photochemical grid model performance.
    States choosing to submit an individual network description for each 
affected nonattainment area, irrespective of its proximity to other 
affected areas, must fulfill the requirements for isolated areas as 
described in section 4 of appendix D, as an example, and illustrated by 
Figure 1. States containing areas which experience significant impact 
from long-range transport or are proximate to other nonattainment areas 
(even in other States) should collectively submit a network description 
which contains alternative sites to those that would be required for an 
isolated area. Such a submittal should, as a guide, be based on the 
example provided in Figure 2, but must include a demonstration that the 
design satisfies the monitoring data uses and fulfills the PAMS 
monitoring objectives described in sections 4.1 and 4.2 of appendix D. 
EPA recognizes that specific monitoring sites identified for one area 
may serve to fulfill the monitoring objectives for a different site in 
another area; for example, a downwind site for one area may suffice as 
an upwind site for another. These alternative network designs must also 
be reviewed and approved by the Administrator.

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[GRAPHIC] [TIFF OMITTED] TC01JY92.002



[[Page 203]]

    Alternative PAMS network designs should, on a site-by-site basis, 
provide those data necessary to enhance the attainment/nonattainment 
database for criteria pollutants and explain the origins of overwhelming 
O3 transport. The alternative PAMS data should be usable for the 
corroboration and verification of O3 precursor emissions 
inventories and should comprise a qualitative (if not quantitative) 
measure of the accuracy of RFP calculations. The data should be 
sufficient to evaluate the effectiveness of the implemented O3 
control strategies and should provide data necessary to establish 
photochemical grid modeling boundary conditions and necessary inputs 
including appropriate meteorological parameters, and provide 
measurements which can serve as model evaluation tools. Further, 
utilizing its PAMS database (alternative or not), a State should be able 
to draw conclusions regarding population exposure and conduct trends 
analyses for both criteria and non-criteria pollutants. Overall, the 
PAMS network should serve as one of several complementary means, 
together with modeling and analysis of other data bases (e.g., 
inventories) and availability of control technology, etc., for States to 
justify the modification of existing control programs, design new 
programs, and evaluate future courses of actions for O3 control.
    4.3  Monitoring Period. PAMS precursor monitoring will be conducted 
annually throughout the months of June, July and August (as a minimum) 
when peak O3 values are expected in each area; however, precursor 
monitoring during the entire O3 season for the area is preferred. 
Alternate precursor monitoring periods may be submitted for approval as 
a part of the PAMS network description required by Sec. 58.40. Changes 
to the PAMS monitoring period must be identified during the annual SLAMS 
Network Review specified in Sec. 58.20. PAMS O3 monitors must 
adhere to the O3 monitoring season specified in section 2.5 of 
appendix D. To ensure a degree of national consistency, monitoring for 
the 1993 season should commence as follows:
    One in 3-day sampling--June 3, 1993.
    One in 6-day sampling--June 6, 1993.
    These monitoring dates will thereby be coincident with the 
previously-established, intermittent schedule for particulate matter. 
States initiating sampling earlier (or later) than June 3, 1993 should 
adjust their schedules to coincide with this national schedule.
    4.4  Minimum Monitoring Network Requirements. The minimum required 
number and type of monitoring sites and sampling requirements are based 
on the population of the affected MSA/CMSA or nonattainment area 
(whichever is larger). The MSA/CMSA basis for monitoring network 
requirements was chosen because it typically is the most representative 
of the area which encompasses the emissions sources contributing to 
nonattainment. The MSA/CMSA emissions density can also be effectively 
and conveniently portrayed by the surrogate of population. Additionally, 
a network which is adequate to characterize the ambient air of an MSA/
CMSA often must extend beyond the boundaries of such an area (especially 
for O3 and its precursors); therefore, the use of smaller 
geographical units (such as counties or nonattainment areas which are 
smaller than the MSA/CMSA) for monitoring network design purposes is 
inappropriate. Various sampling requirements are imposed according to 
the size of the area to accommodate the impact of transport on the 
smaller MSAs/CMSAs, to account for the spatial variations inherent in 
large areas, to satisfy the differing data needs of large versus small 
areas due to the intractability of the O3 nonattainment problem, 
and to recognize the potential economic impact of implementation on 
State and local government. Population figures must reflect the most 
recent decennial U.S. census population report. Specific guidance on 
determining network requirements is provided in reference 19. Minimum 
network requirements are outlined in Table 2.

       Table 2.--PAMS Minimum Monitoring Network Requirements \1\       
------------------------------------------------------------------------
                                              Minimum         Minimum   
  Population of MSA/CMSA or     Required   speciated VOC     carbonyl   
    nonattainment area \2\     site type     sampling        sampling   
                                  \3\      frequency \4\   frequency \4\
------------------------------------------------------------------------
Less than 500,000............  (\1\)      A or C          ..............
                               (\2\)      A or C          D or F \5\    
500,000 to 1,000,000.........  (\1\)      A or C          ..............
                               (\2\)      B               E             
                               (\3\)      A or C          ..............
1,000,000 to 2,000,000.......  (\1\)      A or C          ..............
                               (\2\)      B               E             
                               (\2\)      B               E             
                               (\3\)      A or C          ..............
More than 2,000,000..........  (\1\)      A or C          ..............
                               (\2\)      B               E             
                               (\2\)      B               E             
                               (\3\)      A or C          ..............
                               (\4\)      A or C          ..............
------------------------------------------------------------------------
\1\ O3 and NOX (including NO and NO2) monitoring should be continuous   
  measurements.                                                         
\2\ Whichever area is larger.                                           
\3\ See Figure 1.                                                       
\4\ Frequency Requirements are as follows: A--Eight 3-hour samples every
  third day and one additional 24-hour sample every sixth day during the
  monitoring period; B--Eight 3-hour samples, every day during the      
  monitoring period and one additional 24-hour sample every sixth day   
  year-round; C--Eight 3-hour samples on the 5 peak O3 days plus each   
  previous day, eight 3-hour samples every sixth day, and one additional
  24-hour sample every sixth day, during the monitoring period; D--Eight
  3-hour samples every third day during the monitoring period; E--Eight 
  3-hour samples every day during the monitoring period; F--Eight 3-hour
  samples on the 5 peak O3 days plus each previous day and eight 3-hour 
  samples every sixth day during the monitoring period. (NOTE: multiple 
  samples taken on a daily basis must begin at midnight and consist of  
  sequential, non-overlapping sampling periods.)                        
\5\ Carbonyl sampling frequency must match the chosen speciated VOC     
  frequency.                                                            

[[Page 204]]

                                                                        
Note that the use of Frequencies C or F requires the submittal of an    
  ozone event forecasting scheme.                                       


    For purposes of network implementation and transition, EPA 
recommends the following priority order for the establishment of sites:
     The type (2) site which provides the most comprehensive 
data concerning O3 precursor emissions and toxic air pollutants,
     The type (3) site which provides a maximum O3 
measurement and total conversion of O3 precursors,
     The type (1) site which delineates the effect of incoming 
precursor emissions and concentrations of O3 and provides upwind 
boundary conditions,
     The type (4) site which provides extreme downwind boundary 
conditions, and
     The second type (2) site which provides comprehensive data 
concerning O3 precursor emissions and toxic air pollutants in the 
second-most predominant morning wind direction on high O3 days.
    Note also that O3 event (peak day) monitoring will require the 
development of a scheme for forecasting such high O3 days or will 
necessitate the stipulation of what meteorological conditions constitute 
a potential high O3 day; monitoring could then be triggered only 
via meteorological projections. The O3 event forecasting and 
monitoring scheme should be submitted as a part of the network 
description required by Secs. 58.40 and 58.41 and should be reviewed 
during each annual SLAMS Network Review specified in Sec. 58.20.
    4.5  Transition Period. A variable period of time is proposed for 
phasing in the operation of all required PAMS. Within 1 year after (1) 
February 12, 1993, (2) or date of redesignation or reclassification of 
any existing O3 nonattainment area to serious, severe, or extreme, 
or (3) the designation of a new area and classification to serious, 
severe, or extreme O3 nonattainment, a minimum of one type (2) site 
must be operating. Operation of the remaining sites must, at a minimum, 
be phased in at the rate of one site per year during subsequent years as 
outlined in the approved PAMS network description provided by the State.
    4.6  Meteorological Monitoring. In order to support monitoring 
objectives associated with the need for various air quality analyses, 
model inputs and performance evaluations, meteorological monitoring 
including wind measurements at 10 meters above ground is required at 
each PAMS site. Monitoring should begin with site establishment. In 
addition, upper air meteorological monitoring is required for each PAMS 
area. Upper air monitoring should be initiated as soon as possible, but 
no later than 2 years after (1) February 12, 1993, (2) or date of 
redesignation or reclassification of any existing O3 nonattainment 
area to serious, severe, or extreme, or (3) the designation of a new 
area and classification to serious, severe, or extreme O3 
nonattainment. The upper air monitoring site may be located separately 
from the type (1) through (4) sites, but the location should be 
representative of the upper air data in the nonattainment area. Upper 
air meteorological data must be collected during those days specified 
for monitoring by the sampling frequencies in Table 2. of section 4.4 of 
this appendix D in accordance with current EPA guidance.
5.  Summary

    Table 5 shows by pollutant, all of the spatial scales that are 
applicable for SLAMS and the required spatial scales for NAMS. There may 
also be some situations, as discussed later in appendix E, where 
additional scales may be allowed for NAMS purposes.

                                        Table 5--Summary of Spatial Scales for SLAMS and Required Scales for NAMS                                       
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                 Scale Applicable for SLAMS                         Scales Required for NAMS            
                    Spatial Scale                    ---------------------------------------------------------------------------------------------------
                                                        SO2      CO     O3     NO2      Pb      PM10      SO2      CO     O3     NO2      Pb      PM10  
--------------------------------------------------------------------------------------------------------------------------------------------------------
Micro...............................................                      
Middle..............................................                                        
Neighborhood........................................            
Urban...............................................                                                 
Regional............................................                                                             
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                                        

6.  References
    1. Ludwig, F. L., J. H. S. Kealoha, and E. Shelar. Selecting Sites 
for Monitoring Total Suspended Particulates. Stanford Research 
Institute, Menlo Park, CA. Prepared for U.S. Environmental Protection 
Agency, Research Triangle Park, NC. EPA Publication No. EPA-450/3-77-
018. June 1977, revised December 1977.
    2. Ball, R. J. and G. E. Anderson. Optimum Site Exposure Criteria 
for SO2 Monitoring. The Center for the Environment and Man,

[[Page 205]]

Inc., Hartford, CT. Prepared for U.S. Environmental Protection Agency, 
Research Triangle Park, NC. EPA Publication No. EPA-450/3-77-013. April 
1977.
    3. Ludwig, F. L. and J. H. S. Kealoha. Selecting Sites for Carbon 
Monoxide Monitoring. Stanford Research Institute, Menlo Park, CA. 
Prepared for U.S. Environmental Protection Agency, Research Triangle 
Park, NC. EPA Publication No. EPA-450/3-75-077. September 1975.
    4. Ludwig, F. L. and E. Shelar. Site Selecting for the Monitoring of 
Photochemical Air Pollutants. Stanford Research Institute, Menlo Park, 
CA. Prepared for U.S. Environmental Protection Agency, Research Triangle 
Park, NC. EPA Publication No. EPA-450/3-78-013. April 1978.
    5. Guideline on Air Quality Models. OAQPS, U.S. Environmental 
Protection Agency, Research Triangle Park, NC. OAQPS No. 1.2-080. April 
1978.
    6. Control Techniques for Lead Air Emissions, OAQPS, U.S. 
Environmental Protection Agency, Research Triangle Park, NC. EPA-450/2-
77-012. December 1977.
    7. Air Quality Criteria for Lead. Office of Research and 
Development, U.S. Environmental Protection Agency, Washington, DC. EPA-
600/8-77-017. December 1977.
    8. Johnson, D. E., et al. Epidemiologic Study of the Effects of 
Automobile Traffic on Blood Lead Levels, Southwest Research Institute, 
Houston, TX. Prepared for U.S. Environmental Protection Agency, Research 
Triangle Park, NC. EPA-600/1-78-055. August 1978.
    9. Optimum Site Exposure Criteria for Lead Monitoring. PEDCo 
Environmental, Inc., Cincinnati, OH. Prepared for U.S. Environmental 
Protection Agency, Research Triangle Park, NC. EPA Contract No. 68-02-
3013. (May 1981.)
    10. Guidance for Lead Monitoring in the Vicinity of Point Sources. 
Office of Air Quality Planning and Standards, and Environmental 
Monitoring Systems Laboratory, U.S. Environmental Protection Agency, 
Research Triangle Park, NC. EPA-450/4-81-006. January 1981.
    11. Cooper, J.A., et. al. Summary of the Portland Aerosol 
Characterization Study. (Presented at the 1979 Annual Air Pollution 
Association Meeting, Cincinnati, OH. APCA 79-24.4).
    12. Bradway, R.M. and F.A. Record. National Assessment of the Urban 
Particulate Problem. Volume 1. Prepared for U.S. Environmental 
Protection Agency, Research Triangle Park, NC. EPA-450/3-76-024. July 
1976.
    13. U.S. Environmental Protection Agency, Air Quality Criteria for 
Particulate Matter and Sulfur Oxides, Volume 2. Environmental Criteria 
and Assessment Office, Research Triangle Park, NC. December 1981.
    14. Watson, J.G., et al. Analysis of Inhalable and Fine Particulate 
Matter Measurements. Prepared for U.S. Environmental Protection Agency, 
Research Triangle Park, NC. EPA-450/4-81-035. December 1981.
    15. Record, F.A. and L.A. Baci. Evaluation on Contribution of Wind 
Blown Dust from the Desert Levels of Particulate Matter in Desert 
Communities. GCA Technology Division, Bedford, MA. Prepared for U.S. 
Environmental Protection Agency, Research Triangle Park, NC. EPA-450/2-
80-078. August 1980.
    16. Goldstein, E.A. and Paly M. The Diesel Problem in New York City. 
Project on the Urban Environment. Natural Resources Defense Council, 
Inc., New York, NY. April 1985.
    17. Koch, R.C. and H.E. Rector. Optimum Network Design and Site 
Exposure Criteria for Particulate Matter. GEOMET Technologies, Inc., 
Rockville, MD. Prepared for U.S. Environmental Protection Agency, 
Research Triangle Park, NC. EPA Contract No. 68-02-3584. EPA 450/4-87-
009. May 1987.
    18. Pace, T., et al. Procedures for Estimating Probability of 
Nonattainment of a PM10 Data. U.S. Environmental Protection Agency, 
Research Triangle Park, NC. EPA-450/4-86-017. December 1986.

[44 FR 27571, May 10, 1979; 44 FR 72592, Dec. 14, 1979, as amended at 46 
FR 44168, Sept. 3, 1981; 51 FR 9597, Mar. 19, 1986; 52 FR 24742--23744, 
July 1, 1987; 52 FR 27286, July 20, 1987; 54 FR 15183, Apr. 17, 1989; 56 
FR 64483, Dec. 10, 1991; 57 FR 44496, Sept. 28, 1992; 58 FR 8469, Feb. 
12, 1993; 59 FR 41628, Aug. 12, 1994; 60 FR 11909, Mar. 3, 1995; 60 FR 
52323, Oct. 6, 1995]
    Effective Date Note:  At at 60 FR 52323, October 6, 1995, appendix D 
to part 58 was amended in part by adding Section 2.2. This section 
contains information collection and recordkeeping requirements and will 
not become effective until approval has been given by the Office of 
Management and Budget. A notice will be published in the Federal 
Register once approval has been obtained.

 Appendix E--Probe and Monitoring Path Siting Criteria for Ambient Air 
                           Quality Monitoring

    1.  Introduction
    2  Sulfur dioxide (SO2), Ozone (O3), and Nitrogen Dioxide 
(NO2)
    2.1  Horizontal and Vertical Placement
    2.2  Spacing from Minor Sources (Applicable to SO2 and O3 
Monitoring Only)
    2.3  Spacing From Obstructions
    2.4  Spacing From Trees
    2.5  Spacing From Roadways (Applicable to O3 and NO2 Only)
    2.6  Cumulative Interferences on a Monitoring Path
    2.7  Maximum Monitoring Path Length
    3  [Reserved]
    4.  Carbon Monoxide (CO)
    4.1  Horizontal and Vertical Placement

[[Page 206]]

    4.2  Spacing from Obstructions
    4.3  Spacing From Roadways
    4.4  Spacing From Trees and Other Considerations
    4.5  Cumulative Interferences on a Monitoring Path
    4.6  Maximum Monitoring Path Length
    5-6  [Reserved]
    7.  Lead(Pb)
    7.1  Vertical Placement
    7.2  Spacing from Obstructions
    7.3  Spacing from Roadways
    7.4  Spacing from trees and other considerations.
    8.  Particulate Matter (PM10)
    8.1  Vertical Placement
    8.2  Spacing from Obstructions
    8.3  Spacing from Roadways
    8.4  Other Considerations
    9.  Probe Material and Pollutant Sample Residence Time
    10.  Photochemical Assessment Monitoring Stations (PAMS)
    10.1  Horizontal and Vertical Placement
    10.2  Spacing From Obstructions
    10.3  Spacing From Roadways
    10.4  Spacing From Trees
    11.  Discussion and Summary
    12.  Summary
    13.  References

1. Introduction
    This appendix contains specific location criteria applicable to 
ambient air quality monitoring probes and monitoring paths after the 
general station siting has been selected based on the monitoring 
objectives and spatial scale of representation discussed in appendix D 
of this part. Adherence to these siting criteria is necessary to ensure 
the uniform collection of compatible and comparable air quality data.
    The probe and monitoring path siting criteria discussed below must 
be followed to the maximum extent possible. It is recognized that there 
may be situations where some deviation from the siting criteria may be 
necessary. In any such case, the reasons must be thoroughly documented 
in a written request for a waiver that describes how and why the 
proposed siting deviates from the criteria. This documentation should 
help to avoid later questions about the validity of the resulting 
monitoring data. Conditions under which the EPA would consider an 
application for waiver from these siting criteria are discussed in 
section 11 of this appendix.
    The spatial scales of representation used in this appendix, i.e., 
micro, middle, neighborhood, urban, and regional, are defined and 
discussed in appendix D of this part. The pollutant-specific probe and 
monitoring path siting criteria generally apply to all spatial scales 
except where noted otherwise. Specific siting criteria that are phrased 
with a ``must'' are defined as requirements and exceptions must be 
approved through the waiver provisions. However, siting criteria that 
are phrased with a ``should'' are defined as goals to meet for 
consistency but are not requirements.

2. Sulfur dioxide (SO2), Ozone (O3), and Nitrogen Dioxide 
(NO2)
    Open path analyzers may be used to measure SO2, O3, and 
NO2 at SLAMS/NAMS sites for middle, neighborhood, urban, and 
regional scale measurement applications. Additional information on 
SO2, NO2, and O3 monitor siting criteria may be found in 
references 11 and 13.
2.1  Horizontal and Vertical Placement
    The probe or at least 80 percent of the monitoring path must be 
located between 3 and 15 meters above ground level. The probe or at 
least 90 percent of the monitoring path must be at least 1 meter 
vertically or horizontally away from any supporting structure, walls, 
parapets, penthouses, etc., and away from dusty or dirty areas. If the 
probe or a significant portion of the monitoring path is located near 
the side of a building, then it should be located on the windward side 
of the building relative to the prevailing wind direction during the 
season of highest concentration potential for the pollutant being 
measured.
2.2  Spacing from Minor Sources (Applicable to SO2 and O3 
Monitoring Only)
    Local minor sources of SO2 can cause inappropriately high 
concentrations of SO2 in the vicinity of probes and monitoring 
paths for SO2. Similarly, local sources of nitric oxide (NO) and 
ozone-reactive hydrocarbons can have a scavenging effect causing 
unrepresentatively low concentrations of O3 in the vicinity of 
probes and monitoring paths for O3. To minimize these potential 
interferences, the probe or at least 90 percent of the monitoring path 
must be away from furnace or incineration flues or other minor sources 
of SO2 or NO, particularly for open path analyzers because of their 
potential for greater exposure over the area covered by the monitoring 
path. The separation distance should take into account the heights of 
the flues, type of waste or fuel burned, and the sulfur content of the 
fuel. It is acceptable, however, to monitor for SO2 near a point 
source of SO2 when the objective is to assess the effect of this 
source on the represented population.
2.3  Spacing From Obstructions
    Buildings and other obstacles may possibly scavenge SO2, 
O3, or NO2. To avoid this interference, the probe or at least 
90 percent of the monitoring path must have unrestricted airflow and be 
located away from obstacles so that the distance from the probe or 
monitoring path is at least twice the height that the obstacle protrudes 
above the probe or monitoring path. Generally, a probe or monitoring 
path located near or along a vertical wall is undesirable because air 
moving along the wall may be subject to possible removal mechanisms. A 
probe must have unrestricted

[[Page 207]]

airflow in an arc of at least 270 degrees around the inlet probe, or 180 
degrees if the probe is on the side of a building. This arc must include 
the predominant wind direction for the season of greatest pollutant 
concentration potential. A sampling station having a probe located 
closer to an obstacle than this criterion allows should be classified as 
middle scale rather than neighborhood or urban scale, since the 
measurements from such a station would more closely represent the middle 
scale. A monitoring path must be clear of all trees, brush, buildings, 
plumes, dust, or other optical obstructions, including potential 
obstructions that may move due to wind, human activity, growth of 
vegetation, etc. Temporary optical obstructions, such as rain, 
particles, fog, or snow, should be considered when siting an open path 
analyzer. Any of these temporary obstructions that are of sufficient 
density to obscure the light beam will affect the ability of the open 
path analyzer to continuously measure pollutant concentrations.
    Special consideration must be devoted to the use of open path 
analyzers due to their inherent potential sensitivity to certain types 
of interferences, or optical obstructions. While some of these potential 
interferences are comparable to those to which point monitors are 
subject, there are additional sources of potential interferences which 
are altogether different in character. Transient, but significant 
obscuration of especially longer measurement paths could be expected to 
occur as a result of certain prevailing meteorological conditions (e.g., 
heavy fog, rain, snow) and/or aerosol levels that are of a sufficient 
density to prevent the open path analyzer's light transmission. If 
certain compensating measures are not otherwise implemented at the onset 
of monitoring (e.g., shorter path lengths, higher light source 
intensity), data recovery during periods of greatest primary pollutant 
potential could be compromised. For instance, if heavy fog or high 
particulate levels are coincident with periods of projected NAAQS-
threatening pollutant potential, the representativeness of the resulting 
data record in reflecting maximum pollutant concentrations may be 
substantially impaired despite the fact that the site may otherwise 
exhibit an acceptable, even exceedingly high overall valid data capture 
rate.
    In seeking EPA approval for inclusion of a site using an open path 
analyzer into the formal SLAMS/NAMS or PSD network, monitoring agencies 
must submit an analysis which evaluates both obscuration potential for a 
proposed path length for the subject area and the effect this potential 
is projected to have on the representativeness of the data record. This 
analysis should include one or more of the following elements, as 
appropriate for the specific circumstance: climatological information, 
historical pollutant and aerosol information, modeling analysis results, 
and any related special study results.
2.4  Spacing From Trees
    Trees can provide surfaces for SO2, O3, or NO2 
adsorption or reactions and obstruct wind flow. To reduce this possible 
interference, the probe or at least 90 percent of the monitoring path 
should be 20 meters or more from the drip line of trees. If a tree or 
trees could be considered an obstacle, the probe or 90 percent of the 
monitoring path must meet the distance requirements of Section 2.3 and 
be at least 10 meters from the drip line of the tree or trees. Since the 
scavenging effect of trees is greater for O3 than for other 
criteria pollutants, strong consideration of this effect must be given 
to locating an O3 probe or monitoring path to avoid this problem.
2.5  Spacing From Roadways (Applicable to O3 and NO2 Only)
    In siting an O3 analyzer, it is important to minimize 
destructive interferences from sources of NO, since NO readily reacts 
with O3. In siting NO2 analyzers for neighborhood and urban 
scale monitoring, it is important to minimize interferences from 
automotive sources. Table 1 provides the required minimum separation 
distances between a roadway and a probe and between a roadway and at 
least 90 percent of a monitoring path for various ranges of daily 
roadway traffic. A sampling station having a point analyzer probe 
located closer to a roadway than allowed by the Table 1 requirements 
should be classified as middle scale rather than neighborhood or urban 
scale, since the measurements from such a station would more closely 
represent the middle scale. If an open path analyzer is used at a site, 
the monitoring path(s) must not cross over a roadway with an average 
daily traffic count of 10,000 vehicles per day or more. For those 
situations where a monitoring path crosses a roadway with fewer than 
10,000 vehicles per day, one must consider the entire segment of the 
monitoring path in the area of potential atmospheric interference from 
automobile emissions. Therefore, this calculation must include the 
length of the monitoring path over the roadway plus any segments of the 
monitoring path that lie in the area between the roadway and the minimum 
separation distance, as determined from Table 1. The sum of these 
distances must not be greater than 10 percent of the total monitoring 
path length.

[[Page 208]]



  Table 1.--Minimum Separation Distance Between Roadways and Probes or  
Monitoring Paths for Monitoring Neighborhood--and Urban--Scale Ozone and
                            Nitrogen Dioxide                            
------------------------------------------------------------------------
                                                               Minimum  
                                                             separation 
      Roadway average daily traffic, vehicles per day       distance,\1\
                                                               meters   
------------------------------------------------------------------------
 10,000........................................            10
   15,000.................................................            20
   20,000.................................................            30
   40,000.................................................            50
   70,000.................................................           100
110,000........................................           250
------------------------------------------------------------------------
\1\ Distance from the edge of the nearest traffic lane. The distance for
  intermediate traffic counts should be interpolated from the table     
  values based on the actual traffic count.                             

2.6  Cumulative Interferences on a Monitoring Path
    The cumulative length or portion of a monitoring path that is 
affected by minor sources, obstructions, trees, or roadways must not 
exceed 10 percent of the total monitoring path length.
2.7  Maximum Monitoring Path Length
    The monitoring path length must not exceed 1 kilometer for analyzers 
in neighborhood, urban, or regional scale. For middle scale monitoring 
sites, the monitoring path length must not exceed 300 meters. In areas 
subject to frequent periods of dust, fog, rain, or snow, consideration 
should be given to a shortened monitoring path length to minimize loss 
of monitoring data due to these temporary optical obstructions. For 
certain ambient air monitoring scenarios using open path analyzers, 
shorter path lengths may be needed in order to ensure that the 
monitoring station meets the objectives and spatial scales defined for 
SLAMS in appendix D. Therefore, the Regional Administrator or the 
Regional Administrator's designee may require shorter path lengths, as 
needed on an individual basis, to ensure that the SLAMS meet the 
appendix D requirements. Likewise, the Administrator or the 
Administrator's designee may specify the maximum path length used at 
monitoring stations designated as NAMS or PAMS as needed on an 
individual basis.

3  [Reserved]

4. Carbon Monoxide (CO)
    Open path analyzers may be used to measure CO at SLAMS/NAMS sites 
for middle or neighborhood scale measurement applications. Additional 
information on CO monitor siting criteria may be found in reference 12.
4.1  Horizontal and Vertical Placement
    Because of the importance of measuring population exposure to CO 
concentrations, air should be sampled at average breathing heights. 
However, practical factors require that the inlet probe be higher. The 
required height of the inlet probe for CO monitoring is therefore 
3\1/2\ meters for a microscale site, which is a compromise 
between representative breathing height and prevention of vandalism. The 
recommended 1 meter range of heights is also a compromise to some 
extent. For consistency and comparability, it would be desirable to have 
all inlets at exactly the same height, but practical considerations 
often prevent this. Some reasonable range must be specified and 1 meter 
provides adequate leeway to meet most requirements.
    For the middle and neighborhood scale stations, the vertical 
concentration gradients are not as great as for the microscale station. 
This is because the diffusion from roads is greater and the 
concentrations would represent larger areas than for the microscale. 
Therefore, the probe or at least 80 percent of the monitoring path must 
be located between 3 and 15 meters above ground level for middle and 
neighborhood scale stations. The probe or at least 90 percent of the 
monitoring path must be at least 1 meter vertically or horizontally away 
from any supporting structure, walls, parapets, penthouses, etc., and 
away from dusty or dirty areas. If the probe or a significant portion of 
the monitoring path is located near the side of a building, then it 
should be located on the windward side of the building relative to both 
the prevailing wind direction during the season of highest concentration 
potential and the location of sources of interest, i.e., roadways.
4.2  Spacing from Obstructions
    Buildings and other obstacles may restrict airflow around a probe or 
monitoring path. To avoid this interference, the probe or at least 90 
percent of the monitoring path must have unrestricted airflow and be 
located away from obstacles so that the distance from the probe or 
monitoring path is at least twice the height that the obstacle protrudes 
above the probe or monitoring path. A probe or monitoring path located 
near or along a vertical wall is undesirable because air moving along 
the wall may be subject to possible removal mechanisms. A probe must 
have unrestricted airflow in an arc of at least 270 degrees around the 
inlet probe, or 180 degrees if the probe is on the side of a building. 
This arc must include the predominant wind direction for the season of 
greatest pollutant concentration potential. A monitoring path must be 
clear of all trees, brush, buildings, plumes, dust, or other optical 
obstructions, including potential obstructions that may move due to 
wind, human activity, growth of vegetation, etc. Temporary optical 
obstructions, such as rain, particles, fog, or snow, should be 
considered when siting an open path analyzer. Any of these temporary 
obstructions that are of sufficient density to obscure the light beam 
will affect the ability

[[Page 209]]

of the open path analyzer to continuously measure pollutant 
concentrations.
    Special consideration must be devoted to the use of open path 
analyzers due to their inherent potential sensitivity to certain types 
of interferences, or optical obstructions. While some of these potential 
interferences are comparable to those to which point monitors are 
subject, there are additional sources of potential interferences which 
are altogether different in character. Transient, but significant 
obscuration of especially longer measurement paths could be expected to 
occur as a result of certain prevailing meteorological conditions (e.g., 
heavy fog, rain, snow) and/or aerosol levels that are of a sufficient 
density to prevent the open path analyzer's light transmission. If 
certain compensating measures are not otherwise implemented at the onset 
of monitoring (e.g., shorter path lengths, higher light source 
intensity), data recovery during periods of greatest primary pollutant 
potential could be compromised. For instance, if heavy fog or high 
particulate levels are coincident with periods of projected NAAQS-
threatening pollutant potential, the representativeness of the resulting 
data record in reflecting maximum pollutant concentrations may be 
substantially impaired despite the fact that the site may otherwise 
exhibit an acceptable, even exceedingly high overall valid data capture 
rate.
    In seeking EPA approval for inclusion of a site using an open path 
analyzer into the formal SLAMS/NAMS or PSD network, monitoring agencies 
must submit an analysis which evaluates both obscuration potential for a 
proposed path length for the subject area and the effect this potential 
is projected to have on the representativeness of the data record. This 
analysis should include one or more of the following elements, as 
appropriate for the specific circumstance: climatological information, 
historical pollutant and aerosol information, modeling analysis results, 
and any related special study results.
4.3  Spacing From Roadways
    Street canyon and traffic corridor stations (microscale) are 
intended to provide a measurement of the influence of the immediate 
source on the pollution exposure of the population. In order to provide 
some reasonable consistency and comparability in the air quality data 
from microscale stations, a minimum distance of 2 meters and a maximum 
distance of 10 meters from the edge of the nearest traffic lane must be 
maintained for these CO monitoring inlet probes. This should give 
consistency to the data, yet still allow flexibility of finding suitable 
locations.
    Street canyon/corridor (microscale) inlet probes must be located at 
least 10 meters from an intersection and preferably at a midblock 
location. Midblock locations are preferable to intersection locations 
because intersections represent a much smaller portion of downtown space 
than do the streets between them. Pedestrian exposure is probably also 
greater in street canyon/corridors than at intersections. Also, the 
practical difficulty of positioning sampling inlets is less at midblock 
locations than at the intersection. However, the final siting of the 
monitor must meet the objectives and intent of appendix D, sections 2.4, 
3, 3.3, and appendix E, section 4.
    In determining the minimum separation between a neighborhood scale 
monitoring station and a specific line source, the presumption is made 
that measurements should not be substantially influenced by any one 
roadway. Computations were made to determine the separation distance, 
and table 2 provides the required minimum separation distance between 
roadways and a probe or 90 percent of a monitoring path. Probes or 
monitoring paths that are located closer to roads than this criterion 
allows should not be classified as a neighborhood scale, since the 
measurements from such a station would closely represent the middle 
scale. Therefore, stations not meeting this criterion should be 
classified as middle scale.

  Table 2.--Minimum Separation Distance Between Roadways and Probes or  
   Monitoring Paths for Monitoring Neighborhood Scale Carbon Monoxide   
------------------------------------------------------------------------
                                                               Minimum  
                                                             separation 
                                                            distance \1\
                                                             for probes 
      Roadway average daily traffic, vehicles per day        or 90% of a
                                                             monitoring 
                                                                path    
                                                              (meters)  
------------------------------------------------------------------------
10,000.........................................            10
  15,000..................................................            25
  20,000..................................................            45
  30,000..................................................            80
  40,000..................................................           115
  50,000..................................................           135
  60,000.......................................           150
------------------------------------------------------------------------
\1\ Distance from the edge of the nearest traffic lane. The distance for
  intermediate traffic counts should be interpolated from the table     
  values based on the actual traffic count.                             

4.4  Spacing From Trees and Other Considerations
    Since CO is relatively nonreactive, the major factor concerning 
trees is as obstructions to normal wind flow patterns. For middle and 
neighborhood scale stations, trees should not be located between the 
major sources of CO, usually vehicles on a heavily traveled road, and 
the monitor. The probe or at least 90 percent of the monitoring path 
must be 10 meters or more from the drip line of trees which are between 
the probe or the monitoring path and the road and which extend at least 
5 meters above the probe or monitoring path. For microscale stations, no

[[Page 210]]

trees or shrubs should be located between the probe and the roadway.
4.5  Cumulative Interferences on a Monitoring Path
    The cumulative length or portion of a monitoring path that is 
affected by obstructions, trees, or roadways must not exceed 10 percent 
of the total monitoring path length.
4.6  Maximum Monitoring Path Length
    The monitoring path length must not exceed 1 kilometer for analyzers 
used for neighborhood scale monitoring applications, or 300 meters for 
middle scale monitoring applications. In areas subject to frequent 
periods of dust, fog, rain, or snow, consideration should be given to a 
shortened monitoring path length to minimize loss of monitoring data due 
to these temporary optical obstructions. For certain ambient air 
monitoring scenarios using open path analyzers, shorter path lengths may 
be needed in order to ensure that the monitoring station meets the 
objectives and spatial scales defined for SLAMS in appendix D. 
Therefore, the Regional Administrator or the Regional Administrator's 
designee may require shorter path lengths, as needed on an individual 
basis, to ensure that the SLAMS meet the appendix D requirements. 
Likewise, the Administrator or the Administrator's designee may specify 
the maximum path length used at monitoring stations designated as NAMS 
or PAMS as needed on an individual basis.

5-6  [Reserved]

7.  Lead (Pb)

    7.1  Vertical Placement. Several studies (5, 14-15) on the 
relationship between roadway placement of lead samplers and measured 
ambient concentrations do not typically indicate large gradients within 
the first 6 to 7 meters above ground level. Similar to monitoring for 
other pollutants, optimal placement of the sampler inlet for lead 
monitoring should be at breathing height level. However, practical 
factors such as prevention of vandalism, security, and safety 
precautions must also be considered when siting a lead monitor. Given 
these considerations, the sampler inlet for microscale lead monitors 
must be 2-7 meters above ground level. The lower limit was based on a 
compromise between ease of servicing the sampler and the desire to avoid 
unrepresentative conditions due to re-entrainment from dusty surfaces. 
The upper limit represents a compromise between the desire to have 
measurements which are most representative of population exposures and a 
consideration of the practical factors noted above.
    For middle or larger spatial scales, increased diffusion results in 
vertical concentration gradients which are not as great as for the small 
scales. Thus, the required height of the air intake for middle or larger 
scales is 2-15 meters.
    7.2  Spacing from Obstructions. The sampler must be located away 
from obstacles such as buildings, so that the distance between obstacles 
and the sampler is at least twice the height that the obstacle protrudes 
above the sampler.
    A minimum of 2 meters of separation from walls, parapets, and 
penthouses is required for rooftop samplers. No furnace or incinerator 
flues should be nearby. The height and type of flues and the type, 
quality, and quantity of waste or fuel burned determine the separation 
distances. For example, if the emissions from the chimney have high lead 
content and there is a high probability that the plume would impact on 
the sampler during most of the sampling period, then other buildings/
locations in the area that are free from the described sources should be 
chosen for the monitoring site.
    There must be unrestricted airflow in an arc of at least 270 deg. 
around the sampler.
Since the intent of the category (a) site is to measure the maximum 
concentrations from a road or point source, there must be no significant 
obstruction between a road or point source and the monitor, even though 
other spacing from obstruction criteria are met. The predominant 
direction for the season with the greatest pollutant concentration 
potential must be included in the 270 deg. arc.
    7.3  Spacing from Roadways. Numberous studies have shown that 
ambient lead levels near mobile source are a function of the traffic 
volume and are most pronounced at ADT 30,000 within the first 
15 meters, on the downwind side of the roadways. (1, 16-19) Therefore, 
stations to measure the peak concentration from mobile sources should be 
located at the distance most likely to produce the highest 
concentrations. For the microscale station, the location must be between 
5 and 15 meters from the major roadway. For the middle scale station, a 
range of acceptable distances from the major roadway is shown in Table 
4. This table also includes separation distances between a roadway and 
neighborhood or larger scale stations. These distances are based upon 
the data of reference 16 which illustrates that lead levels remain 
fairly constant after certain horizontal distances from the roadway. As 
depicted in the above reference, this distance is a function of the 
traffic volume.

 Table 3--Separation Distance Between Pb Stations and Roadways (Edge of 
                          Nearest Traffic Lane)                         
------------------------------------------------------------------------
                                    Separation distance between roadways
                                            and stations, meters        
                                   -------------------------------------
   Roadway average daily traffic                            Neighborhood
         vehicles per day                         Middle        urban   
                                    Microscale     scale      regional  
                                                                scale   
------------------------------------------------------------------------
10,000............................       5-15   \1\>15-50       \1\>50  

[[Page 211]]

                                                                        
  20,000..........................       5-15   >15-75             >75  
40,000............................       5-15   >15-100            >100 
------------------------------------------------------------------------
\1\Distances should be interpolated based on traffic flow.              

    7.4.  Spacing from trees and other considerations. Trees can provide 
surfaces for deposition or adsorption of lead particles and obstruct 
normal wind flow patterns. For microscale and middle scale category (a) 
roadway sites there must not be any tree(s) between the source of the 
lead, i.e., the vehicles on the roadway, and the sampler. For 
neighborhood scale category (b) sites, the sampler should be at least 20 
meters from the drip line of trees. The sampler must, however, be placed 
at least 10 meters from the drip line of trees which could be classified 
as an obstruction, i.e., the distance between the tree(s) and the 
sampler is less than the height that the tree protrudes above the 
sampler.

8.  Particulate Matter (PM10)
    8.1  Vertical Placement--Although there are limited studies on the 
PM10 concentration gradients around roadways or other ground level 
sources, References 1, 2, 4, 18 and 19 of this appendix show a distinct 
variation in the distribution of TSP and Pb levels near roadways, TSP, 
which is greatly affected by gravity, has large concentration gradients, 
both horizontal and vertical, immediately adjacent to roads. Lead, being 
predominately sub-micron in size, behaves more like a gas and exhibits 
smaller vertical and horizontal gradients than TSP. PM10, being 
intermediate in size between these two extremes exhibits dispersion 
properties of both gas and settleable particulates and does show 
vertical and horizontal gradients.\3\\0\ Similar to monitoring for other 
pollutants, optimal placement of the sampler inlet for PM10 
monitoring should be at breathing height level. However, practical 
factors such as prevention of vandalism, security, and safety 
precautions must also be considered when siting a PM10 monitor. 
Given these considerations, the sampler inlet for microscale PM10 
monitors must be 2-7 meters above ground level. The lower limit was 
based on a compromise between ease of servicing the sampler and the 
desire to avoid re-entrainment from dusty surfaces. The upper limit 
represents a compromise between the desire to have measurements which 
are most representative of population exposures and a consideration of 
the practical factors noted above.
    For middle or larger spatial scales, increased diffusion results in 
vertical concentration gradients that are not as great as for the 
microscale. Thus, the required height of the air intake for middle or 
larger scales is 2-15 meters.
    8.2  Spacing from Obstructions--If the sampler is located on a roof 
or other structure, then there must be a minimum of 2 meters separation 
from walls, parapets, penthouses, etc. No furnace or incineration flues 
should be nearby. This separation distance from flues is dependent on 
the height of the flues, type of waste or fuel burned, and quality of 
the fuel (ash content). In the case of emissions from a chimney 
resulting from natural gas combustion, as a precautionary measure, the 
sampler should be placed at least 5 meters from the chimney.
    On the other hand, if fuel oil, coal, or solid waste is burned and 
the stack is sufficiently short so that the plume could reasonably be 
expected to impact on the sampler intake a significant part of the time, 
other buildings/locations in the area that are free from these types of 
sources should be considered for sampling. Trees provide surfaces for 
particulate desposition and also restrict airflow. Therefore, the 
sampler should be placed at least 20 meters from the dripline and must 
be 10 meters from the dripline when the tree(s) acts as an obstruction.
    The sampler must also be located away from obstacles such as 
buildings, so that the distance between obstacles and the sampler is at 
least twice the height that the obstacle protrudes above the sampler 
except for street canyon sites. Sampling stations that are located 
closer to obstacles than this criterion allows should not be classified 
as neighborhood, urban, or regional scale, since the measurements from 
such a station would closely represent middle scale stations. Therefore, 
stations not meeting the criterion should be classified as middle scale.
    There must be unrestricted airflow in an arc of at least 270 deg. 
around the sampler except for street canyon sites. Since the intent of 
the category (a) site is to measure the maximum concentrations from a 
road or point source, there must be no significant obstruction between a 
road or point source and the monitor, even though other spacing from 
obstruction criteria are met. The predominant direction for the season 
with the greatest pollutant concentration potential must be included in 
the 270 deg. arc.
    8.3  Spacing from Roads--Since emissions associated with the 
operation of motor vehicles contribute to urban area particulate matter 
ambient levels, spacing from roadway criteria are necessary for ensuring 
national consistency in PM10 sampler siting.
    The intent is to locate category (a) NAMS sites in areas of highest 
concentrations

[[Page 212]]

whether it be from mobile or multiple stationary sources. If the area is 
primarily affected by mobile sources and the maximum concentration 
area(s) is judged to be a traffic corridor or street canyon location, 
then the monitors should be located near roadways with the highest 
traffic volume and at separation distances most likely to produce the 
highest concentrations. For the microscale traffic corridor station, the 
location must be between 5 and 15 meters from the major roadway. For the 
microscale street canyon site the location must be between 2 and 10 
meters from the roadway. For the middle scale station, a range of 
acceptable distances from the roadway is shown in Figure 2. This figure 
also includes separation distances between a roadway and neighborhood or 
larger scale stations by default. Any station, 2 to 15 meters high, and 
further back than the middle scale requirements will generally be 
neighborhood, urban or regional scale. For example, according to Figure 
2, if a PM10 sampler is primarily influenced by roadway emissions 
and that sampler is set back 10 meters from a 30,000 ADT road, the 
station should be classified as a micro scale, if the sampler height is 
between 2 and 7 meters. If the sampler height is between 7 and 15 
meters, the station should be classified as middle scale. If the sample 
is 20 meters from the same road, it will be classified as middle scale; 
if 40 meters, neighborhood scale; and if 110 meters, an urban scale.

[[Page 213]]

[GRAPHIC] [TIFF OMITTED] TC01JY92.003



[[Page 214]]

    It is important to note that the separation distances shown in 
Figure 2 are measured from the edge of the nearest traffic lane of the 
roadway presumed to have the most influence on the site. In general, 
this presumption is an oversimplification of the usual urban settings 
which normally have several streets that impact a given site. The 
effects of surrounding streets, wind speed, wind direction and 
topography should be considered along with Figure 2 before a final 
decision is made on the most appropriate spatial scale assigned to the 
sampling station.
    8.4  Other Considerations. For those areas that are primarily 
influenced by stationary source emissions as opposed to roadway 
emissions, guidance in locating these areas may be found in the 
guideline document Optimum Network Design and Site Exposure Criteria for 
Particulate Matter.\2\\9\
    Stations should not be located in an unpaved area unless there is 
vegetative ground cover year round, so that the impact of wind blown 
dusts will be kept to a minimum.

9.  Probe Material and Pollutant Sample Residence Time

    For the reactive gases, SO2, NO2, and O3, special 
probe material must be used for point analyzers. Studies20-24 have 
been conducted to determine the suitability of materials such as 
polypropylene, polyethylene, polyvinyl chloride, Tygon, aluminum, brass, 
stainless steel, copper, Pyrex glass and Teflon for use as intake 
sampling lines. Of the above materials, only Pyrex glass and Teflon have 
been found to be acceptable for use as intake sampling lines for all the 
reactive gaseous pollutants. Furthermore, the EPA25 has specified 
borosilicate glass or FEP Teflon as the only acceptable probe materials 
for delivering test atmospheres in the determination of reference or 
equivalent methods. Therefore, borosilicate glass, FEP Teflon, or their 
equivalent must be used for existing and new NAMS or SLAMS.
---------------------------------------------------------------------------

    20-28 See References at end of this appendix.
---------------------------------------------------------------------------

    For VOC monitoring at those SLAMS designated as PAMS, FEP teflon is 
unacceptable as the probe material because of VOC adsorption and 
desorption reactions on the FEP teflon. Borosilicate glass, stainless 
steel, or its equivalent are the acceptable probe materials for VOC and 
carbonyl sampling. Care must be taken to ensure that the sample 
residence time is 20 seconds or less.
    No matter how nonreactive the sampling probe material is initially, 
after a period of use reactive particulate matter is deposited on the 
probe walls. Therefore, the time it takes the gas to transfer from the 
probe inlet to the sampling device is also critical. Ozone in the 
presence of NO will show significant losses even in the most inert probe 
material when the residence time exceeds 20 seconds.26 Other 
studies27-28 indicate that a 10-second or less residence time is 
easily achievable. Therefore, sampling probes for reactive gas monitors 
at SLAMS or NAMS must have a sample residence time less than 20 seconds.

         10. Photochemical Assessment Monitoring Stations (PAMS)

                 10.1  Horizontal and Vertical Placement

    The probe or at least 80 percent of the monitoring path must be 
located 3 to 15 meters above ground level. This range provides a 
practical compromise for finding suitable sites for the multipollutant 
PAMS. The probe or at least 90 percent of the monitoring path must be at 
least 1 meter vertically or horizontally away from any supporting 
structure, walls, parapets, penthouses, etc., and away from dusty or 
dirty areas.

                     10.2  Spacing From Obstructions

    The probe or at least 90 percent of the monitoring path must be 
located away from obstacles and buildings such that the distance between 
the obstacles and the probe or the monitoring path is at least twice the 
height that the obstacle protrudes above the probe or monitoring path. 
There must be unrestricted airflow in an arc of at least 270 deg. around 
the probe inlet. Additionally, the predominant wind direction for the 
period of greatest pollutant concentration (as described for each site 
in section 4.2 of appendix D) must be included in the 270 deg. arc. If 
the probe is located on the side of the building, 180 deg. clearance is 
required. A monitoring path must be clear of all trees, brush, 
buildings, plumes, dust, or other optical obstructions, including 
potential obstructions that may move due to wind, human activity, growth 
of vegetation, etc. Temporary optical obstructions, such as rain, 
particles, fog, or snow, should be considered when siting an open path 
analyzer. Any of these temporary obstructions that are of sufficient 
density to obscure the light beam will affect the ability of the open 
path analyzer to continuously measure pollutant concentrations.
    Special consideration must be devoted to the use of open path 
analyzers due to their inherent potential sensitivity to certain types 
of interferences, or optical obstructions. While some of these potential 
interferences are comparable to those to which point monitors are 
subject, there are additional sources of potential interferences which 
are altogether different in character. Transient, but significant 
obscuration of especially longer measurement paths could be expected to 
occur as a result of certain prevailing meteorological conditions (e.g., 
heavy fog, rain, snow) and/or aerosol levels

[[Page 215]]

that are of a sufficient density to prevent the open path analyzer's 
light transmission. If certain compensating measures are not otherwise 
implemented at the onset of monitoring (e.g., shorter path lengths, 
higher light source intensity), data recovery during periods of greatest 
primary pollutant potential could be compromised. For instance, if heavy 
fog or high particulate levels are coincident with periods of projected 
NAAQS-threatening pollutant potential, the representativeness of the 
resulting data record in reflecting maximum pollutant concentrations may 
be substantially impaired despite the fact that the site may otherwise 
exhibit an acceptable, even exceedingly high overall valid data capture 
rate.
    In seeking EPA approval for inclusion of a site using an open path 
analyzer into the formal SLAMS/NAMS or PSD network, monitoring agencies 
must submit an analysis which evaluates both obscuration potential for a 
proposed path length for the subject area and the effect this potential 
is projected to have on the representativeness of the data record. This 
analysis should include one or more of the following elements, as 
appropriate for the specific circumstance: climatological information, 
historical pollutant and aerosol information, modeling analysis results, 
and any related special study results.

                       10.3  Spacing From Roadways

    It is important in the probe and monitoring path siting process to 
minimize destructive interferences from sources of NO since NO readily 
reacts with O3. Table 4 below provides the required minimum 
separation distances between roadways and PAMS (excluding upper air 
measuring stations):

         Table 4.--Separation Distance Between Pams and Roadways        
                     [Edge of Nearest Traffic Lane]                     
------------------------------------------------------------------------
                                                               Minimum  
                                                              separation
                                                               distance 
                                                               between  
      Roadway average daily traffic, vehicles per day          roadways 
                                                                 and    
                                                             stations in
                                                              meters \1\
------------------------------------------------------------------------
 <10,000...................................................          >10
 15,000....................................................           20
 20,000....................................................           30
 40,000....................................................           50
 70,000....................................................          100
 >110,000..................................................         250 
------------------------------------------------------------------------
\1\ Distance from the edge of the nearest traffic lane. The distance for
  intermediate traffic counts should be interpolated from the table     
  based on the actual traffic flow.                                     

                        10.4  Spacing From Trees

    Trees can provide surfaces for adsorption and/or reactions to occur 
and can obstruct normal wind flow patterns. To minimize these effects at 
PAMS, the probe or at least 90 percent of the monitoring path should be 
placed at least 20 meters from the drip line of trees. Since the 
scavenging effect of trees is greater for O3 than for the other 
criteria pollutants, strong consideration of this effect must be given 
in locating the PAMS probe or monitoring path to avoid this problem. 
Therefore, the probe or at least 90 percent of the monitoring path must 
be at least 10 meters from the drip line of trees.

11.  Waiver Provisions

    It is believed that most sampling probes or monitors can be located 
so that they meet the requirements of this appendix. New stations with 
rare exceptions, can be located within the limits of this appendix. 
However, some existing stations may not meet these requirements and yet 
still produce useful data for some purposes. EPA will consider a written 
request from the State Agency to waive one or more siting criteria for 
some monitoring stations providing that the State can adequately 
demonstrate the need (purpose) for monitoring or establishing a 
monitoring station at that location. For establishing a new station. a 
waiver may be granted only if both of the following criteria are met:
    The site can be demonstrated to be as representative of the 
monitoring area as it would be if the siting criteria were being met.
    The monitor or probe cannot reasonably be located so as to meet the 
siting criteria because of physical constraints (e.g., inability to 
locate the required type of station the necessary distance from roadways 
or obstructions).
    However, for an existing station, a waiver may be granted if either 
of the above criteria are met.
    Cost benefits, historical trends, and other factors may be used to 
add support to the above, however, they in themselves, will not be 
acceptable reasons for granting a waiver. Written requests for waivers 
must be submitted to the Regional Administrator. For those SLAMS also 
designated as NAMS, the request will be forwarded to the Administrator. 
For those SLAMS also designated as NAMS or PAMS, the request will be 
forwarded to the Administrator.

12.  Summary
    Table 5 presents a summary of the general requirements for probe and 
monitoring path siting criteria with respect to distances and heights. 
It is apparent from Table 5 that different elevation distances above the 
ground are shown for the various pollutants. The discussion in the text 
for each of the pollutants described reasons for elevating the monitor, 
probe, or monitoring path. The differences in the specified range of 
heights are based on the vertical concentration gradients. For CO, the 
gradients in the vertical direction are very large for the microscale,

[[Page 216]]

so a small range of heights has been used. The upper limit of 15 meters 
was specified for consistency between pollutants and to allow the use of 
a single manifold or monitoring path for monitoring more than one 
pollutant.

                                             Table 5.--Summary of Probe and Monitoring Path Siting Criteria                                             
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                         Horizontal and                                                 
                                                              Height from ground to    vertical distance     Distance from trees       Distance from    
                                         Scale [maximum          probe or 80% of        from supporting       to probe or 90% of    roadways to probe or
             Pollutant                   monitoring path        monitoring path A    structures B to probe    monitoring path A      monitoring path A  
                                         length, meters]            (meters)          or 90% of monitoring         (meters)               (meters)      
                                                                                        path A  (meters)                                                
--------------------------------------------------------------------------------------------------------------------------------------------------------
SO2 C,D,E,F........................  Middle [300m]           3-15..................  >1...................  >10..................  N/A.                 
                                      Neighborhood, Urban,                                                                                              
                                      and Regional [1km].                                                                                               
CO D,E,G...........................  Micro Middle [300m]     30.5; 3-15  >1...................  >10..................  2-10; See Table 2 for
                                      Neighborhood [1km].                                                                           middle and          
                                                                                                                                    neighborhood scales.
O3 C,D,E...........................  Middle [300m]           3-15..................  >1...................  >10..................  See Table 1 for all  
                                      Neighborhood, Urban,                                                                          scales.             
                                      and Regional [1km].                                                                                               
Ozone precursors (for PAMS) C,D,E..  Neighborhood and Urban  3-15..................  >1...................  >10..................  See Table 4 for all  
                                     [1 km]................                                                                         scales.             
NO2 C,D,E..........................  Middle [300m]           3-15..................  >1...................  >10..................  See Table 1 for all  
                                      Neighborhood and                                                                              scales.             
                                      Urban [1km].                                                                                                      
Pb C,D,E,F,H.......................  Micro; Middle,          2-7 (Micro); 2-15 (All  >2 (All scales,        >10 (All scales).....  5-15 (Micro); See    
                                      Neighborhood, Urban     other scales).          horizontal distance                           Table 3 for all     
                                      and Regional.                                   only).                                        other scales.       
PM-10 C,D,E,F,H....................  Micro; Middle,          2-7 (Micro); 2-15 (All  >2 (All scales,        >10 (All scales).....  2-10 (Micro); See    
                                      Neighborhood, Urban     other scales).          horizontal distance                           Figure 2 for all    
                                      and Regional.                                   only).                                        other scales.       
--------------------------------------------------------------------------------------------------------------------------------------------------------
N/A--Not applicable.                                                                                                                                    
A Monitoring path for open path analyzers is applicable only to middle or neighborhood scale CO monitoring and all applicable scales for monitoring SO2,
  O3, O3 precursors, and NO2.                                                                                                                           
B When probe is located on a rooftop, this separation distance is in reference to walls, parapets, or penthouses located on roof.                       
C Should be >20 meters from the dripline of tree(s) and must be 10 meters from the dripline when the tree(s) act as an obstruction.                     
D Distance from sampler, probe, or 90% of monitoring path to obstacle, such as a building, must be at least twice the height the obstacle protrudes     
  above the sampler, probe, or monitoring path. Sites not meeting this criterion may be classified as middle scale (see text).                          
E Must have unrestricted airflow 270 deg. around the probe or sampler; 180 deg. if the probe is on the side of a building.                              
F The probe, sampler, or monitoring path should be away from minor sources, such as furnace or incineration flues. The separation distance is dependent 
  on the height of the minor source's emission point (such as a flue), the type of fuel or waste burned, and the quality of the fuel (sulfur, ash, or   
  lead content). This criterion is designed to avoid undue influences from minor sources.                                                               
G For microscale CO monitoring sites, the probe must be >10 meters from a street intersection and preferably at a midblock location.                    
H For collocated Pb and PM-10 samplers, a 2-4 meter separation distance between collocated samplers must be met.                                        


13. References
    1. Bryan, R.J., R.J. Gordon, and H. Menck. Comparison of High Volume 
Air Filter Samples at Varying Distances from Los Angeles Freeway. 
University of Southern California, School of Medicine, Los Angeles, CA. 
(Presented at 66th Annual Meeting of Air Pollution Control Association. 
Chicago, IL., June 24-28, 1973. APCA 73-158.)
    2. Teer, E.H. Atmospheric Lead Concentration Above an Urban Street. 
Master of Science Thesis, Washington University, St. Louis, MO. January 
1971.
    3. Bradway, R.M., F.A. Record, and W.E. Belanger. Monitoring and 
Modeling of Resuspended Roadway Dust Near Urban Arterials. GCA 
Technology Division, Bedford, MA. (Presented at 1978 Annual Meeting of 
Transportation Research Board, Washington, DC. January 1978.)
    4. Pace, T.G., W.P. Freas, and E.M. Afify. Quantification of 
Relationship Between Monitor Height and Measured Particulate Levels in 
Seven U.S. Urban Areas. U.S. Environmental Protection Agency, Research 
Triangle Park, NC. (Presented at 70th Annual Meeting of Air Pollution 
Control Association, Toronto, Canada, June 20-24, 1977. APCA 77-13.4.)
    5. Harrison, P.R. Considerations for Siting Air Quality Monitors in 
Urban Areas. City of

[[Page 217]]

Chicago, Department of Environmental Control, Chicago, IL. (Presented at 
66th Annual Meeting of Air Pollution Control Association, Chicago, IL., 
June 24-28, 1973. APCA 73-161.)
    6. Study of Suspended Particulate Measurements at Varying Heights 
Above Ground. Texas State Department of Health, Air Control Section, 
Austin, TX. 1970. p.7.
    7. Rodes, C.E. and G.F. Evans. Summary of LACS Integrated Pollutant 
Data. In: Los Angeles Catalyst Study Symposium. U.S. Environmental 
Protection Agency, Research Triangle Park, NC. EPA Publication No. EPA-
600/4-77-034. June 1977.
    8. Lynn, D.A. et. al. National Assessment of the Urban Particulate 
Problem: Volume 1, National Assessment. GCA Technology Division, 
Bedford, MA. U.S. Environmental Protection Agency, Research Triangle 
Park, NC. EPA Publication No. EPA-450/3-75-024. June 1976.
    9. Pace, T.G. Impact of Vehicle-Related Particulates on TSP 
Concentrations and Rationale for Siting Hi-Vols in the Vicinity of 
Roadways. OAQPS, U.S. Environmental Protection Agency, Research Triangle 
Park, NC. April 1978.
    10. Ludwig, F.L., J.H. Kealoha, and E. Shelar. Selecting Sites for 
Monitoring Total Suspended Particulates. Stanford Research Institute, 
Menlo Park, CA. Prepared for U.S. Environmental Protection Agency, 
Research Triangle Park, NC. EPA Publication No. EPA-450/3-77-018. June 
1977, revised December 1977.
    11. Ball, R.J. and G.E. Anderson. Optimum Site Exposure Criteria for 
SO2 Monitoring. The Center for the Environment and Man, Inc., 
Hartford, CT. Prepared for U.S. Environmental Protection Agency, 
Research Triangle Park, NC. EPA Publication No. EPA-450/3-77-013. April 
1977.
    12. Ludwig, F.L. and J.H.S. Kealoha. Selecting Sites for Carbon 
Monoxide Monitoring. Stanford Research Institute, Menlo Park, CA. 
Prepared for U.S. Environmental Protection Agency, Research Park, NC. 
EPA Publication No. EPA-450/3-75-077. September 1975.
    13. Ludwig, F.L. and E. Shelar. Site Selection for the Monitoring of 
Photochemical Air Pollutants. Stanford Research Institute, Menlo Park, 
CA. Prepared for U.S. Environmental Protection Agency, Research Triangle 
Park, NC. EPA Publication No. EPA-450/3-78-013. April 1978.
    14. Lead Analysis for Kansas City and Cincinnati, PEDCo 
Environmental, Inc., Cincinnati, OH. Prepared for U.S. Environmental 
Protection Agency, Research Triangle Park, NC. EPA Contract No. 66-02-
2515, June 1977.
    15. Barltrap, D. and C. D. Strelow. Westway Nursery Testing Project. 
Report to the Greater London Council. August 1976.
    16. Daines, R. H., H. Moto, and D. M. Chilko. Atmospheric Lead: Its 
Relationship to Traffic Volume and Proximity to Highways. Environ. Sci. 
and Technol., 4:318, 1970.
    17. Johnson, D. E., et al. Epidemiologic Study of the Effects of 
Automobile Traffic on Blood Lead Levels, Southwest Research Institute, 
Houston, TX. Prepared for U.S. Environmental Protection Agency, Research 
Triangle Park, NC. EPA-600/1-78-055, August 1978.
    18. Air Quality Criteria for Lead. Office of Research and 
Development, U.S. Environmental Protection Agency, Washington, DC EPA-
600/8-77-017. December 1977.
    19. Lyman, D. R. The Atmospheric Diffusion of Carbon Monoxide and 
Lead from an Expressway, Ph.D. Dissertation, University of Cincinnati, 
Cincinnati, OH. 1972.
    20. Wechter, S.G. Preparation of Stable Pollutant Gas Standards 
Using Treated Aluminum Cylinders. ASTM STP. 598:40-54, 1976.
    21. Wohlers, H.C., H. Newstein and D. Daunis. Carbon Monoxide and 
Sulfur Dioxide Adsorption On and Description From Glass, Plastic and 
Metal Tubings. J. Air Poll. Con. Assoc. 17:753, 1976.
    22. Elfers, L.A. Field Operating Guide for Automated Air Monitoring 
Equipment. U.S. NTIS. p. 202, 249, 1971.
    23. Hughes, E.E. Development of Standard Reference Material for Air 
Quality Measurement. ISA Transactions, 14:281-291, 1975.
    24. Altshuller, A.D. and A.G. Wartburg. The Interaction of Ozone 
with Plastic and Metallic Materials in a Dynamic Flow System. Intern. 
Jour. Air and Water Poll., 4:70-78, 1961.
    25. CFR Title 40 part 53.22, July 1976.
    26. Butcher, S.S. and R.E. Ruff. Effect of Inlet Residence Time on 
Analysis of Atmospheric Nitrogen Oxides and Ozone, Anal. Chem., 43:1890, 
1971.
    27. Slowik, A.A. and E.B. Sansone. Diffusion Losses of Sulfur 
Dioxide in Sampling Manifolds. J. Air. Poll. Con. Assoc., 24:245, 1974.
    28. Yamada, V.M. and R.J. Charlson. Proper Sizing of the Sampling 
Inlet Line for a Continuous Air Monitoring Station. Environ. Sci. and 
Technol., 3:483, 1969.
    29. Koch, R.C. and H.E. Rector. Optimum Network Design and Site 
Exposure Criteria for Particulate Matter, GEOMET Technologies, Inc., 
Rockville, MD. Prepared for U.S. Environmental Protection Agency, 
Research Triangle Park, NC. EPA Contract No. 68-02-3584. EPA 450/4-87-
009. May 1987.
    30. Burton, R.M. and J.C. Suggs. Philadelphia Roadway Study. 
Environmental Monitoring Systems Laboratory, U.S. Environmental 
Protection Agency, Research Triangle Park, N.C. EPA-600/4-84-070 
September 1984.
    31. Technical Assistance Document For Sampling and Analysis of Ozone 
Precursors.

[[Page 218]]

Atmospheric Research and Exposure Assessment Laboratory, U.S. 
Environmental Protection Agency, Research Triangle Park, NC 27711. EPA 
600/8-91-215. October 1991.
    32. Quality Assurance Handbook for Air Pollution Measurement 
Systems: Volume IV. Meteorological Measurements. Atmospheric Research 
and Exposure Assessment Laboratory, U.S. Environmental Protection 
Agency, Research Triangle Park, NC 27711. EPA 600/4-90-0003. August 
1989.
    33. On-Site Meteorological Program Guidance for Regulatory Modeling 
Applications. Office of Air Quality Planning and Standards, U.S. 
Environmental Protection Agency, Research Triangle Park, NC 27711. EPA 
450/4-87-013. June 1987.

[44 FR 27571, May 10, 1979; 44 FR 72592, Dec. 14, 1979, as amended at 46 
FR 44170, Sept. 3, 1981; 51 FR 9598, Mar. 19, 1986; 52 FR 24744--24748, 
July 1, 1987; 52 FR 27286, July 20, 1987; 58 FR 8474, 8475, Feb. 12, 
1993; 60 FR 52324, Oct. 6, 1995]

            Appendix F--Annual SLAMS Air Quality Information

    1.  General
    2.  Required information
    2.1  Sulfur Dioxide (SO2)
    2.1.1  Site and Monitoring Information
    2.1.2  Annual Summary Statistics
    2.2  Total Suspended Particulates (TSP)
    2.2.1  Site and Monitoring Information
    2.2.2  Annual Summary Statistics
    2.2.3  Episode and Other Unscheduled Sampling Data
    2.3  Carbon Monoxide (CO)
    2.3.1  Site and Monitoring Information
    2.3.2  Annual Summary Statistics
    2.4  Nitrogen Dioxide (NO2)
    2.4.1  Site and Monitoring Information
    2.4.2  Annual Summary Statistics
    2.5  Ozone(O3)
    2.5.1  Site and Monitoring Information
    2.5.2  Annual Summary Statistics
    2.6  Lead (Pb).
    2.6.1  Site and Monitoring Information.
    2.6.2  Annual Summary Statistics.
    2.7  Particulate Matter (PM10)
    2.7.1  Site and Monitoring Information
    2.7.2  Annual Summary Statistics
    2.7.3  Episode and Other Unscheduled Sampling Data

1.  General

    This appendix describes information to be compiled and submitted 
annually to EPA for each ambient monitoring station in the SLAMS Network 
in accordance with Sec. 58.26. The annual summary statistics that are 
described in section 2 below shall be construed as only the minimum 
necessary statistics needed by EPA to overview national air quality 
status. They will be used by EPA to convey information to a variety of 
interested parties including environmental groups, Federal agencies, the 
Congress, and private citizens upon request. As the need arises, EPA may 
issue modifications to these minimum requirements to reflect changes in 
EPA policy concerning the National Ambient Air Quality Standards 
(NAAQS).
    As indicated in Sec. 58.26(c), the contents of the SLAMS annual 
report shall be certified by the senior air pollution control officer in 
the State to be accurate to the best of his knowledge. In addition, the 
manner in which the data were collected must be certified to have 
conformed to the applicable quality assurance, air monitoring 
methodology, and probe siting criteria given in appendices A, C, and E 
to this part. A certified statement to this effect must be included with 
the annual report. As required by Sec. 58.26(a), the report must be 
submitted by July 1 of each year for data collected during the period 
January 1 to December 31 of the previous year.
     EPA recognizes that most air pollution control agencies routinely 
publish air quality statistical summaries and interpretive reports. EPA 
encourages State and local agencies to continue publication of such 
reports and recommends that they be expanded, where appropriate, to 
include analysis of air quality trends, population exposure, and 
pollutant distributions. At their discretion, State and local agencies 
may wish to integrate the SLAMS report into routine agency publications.

2.  Required information

    This paragraph describes air quality monitoring information and 
summary statistics which must be included in the SLAMS annual report. 
The required information is itemized below by pollutant. Throughout this 
appendix, the time of occurrence refers to the ending hour. For example, 
the ending hour of an 8-hour CO average from 12:01 a.m. to 8:00 a.m. 
would be 8:00 a.m.
    For the purposes of range assignments the following rounding 
convention will be used. The air quality concentration should be rounded 
to the number of significant digits used in specifying the concentration 
intervals. The digit to the right of the last significant digit 
determines the rounding process. If this digit is greater than or equal 
to 5, the last significant digit is rounded up. The insignificant digits 
are truncated. For example, 100.5 ug/m3 rounds to 101 ug/m3 
and 0.1245 ppm rounds to 0.12 ppm.
    2.1  Sulfur Dioxide (SO2)
    2.1.1  Site and Monitoring Information. City name (when applicable), 
county name and street address of site location. AIRS-AQS site code. 
AIRS-AQS monitoring method code. Number of hourly observations. (1) 
Number of daily observations. (2)
    2.1.2  Annual Summary Statistics. Annual arithmetic mean (ppm). 
Highest and second highest 24-hour averages (3) (ppm) and dates

[[Page 219]]

of occurrence. Highest and second highest 3-hour averages (1, 3) (ppm) 
and dates and times (1) (ending hour) of occurrence. Number of 
exceedances of the 24-hour primary NAAQS. (3) Number of exceedances of 
the 3-hour secondary NAAQS. (3) Number of 24-hour average concentrations 
(4) in ranges:

------------------------------------------------------------------------
                       Range                           Number of values 
------------------------------------------------------------------------
0.00 to 0.04 (ppm).................................  ...................
0.05 to 0.08.......................................  ...................
0.09 to 0.12.......................................  ...................
0.13 to 0.16.......................................  ...................
0.17 to 0.20.......................................  ...................
0.21 to 0.24.......................................  ...................
0.25 to 0.28.......................................  ...................
Greater than .28...................................  ...................
------------------------------------------------------------------------

    2.2  Total Suspended Particulates (TSP)
    2.2.1  Site and Monitoring Information. City name (when applicable), 
county name and street address of site location. AIRS-AQS site code. 
Number of daily observations.
    2.2.2  Annual Summary Statistics. Annual arithmetic mean 
(g/m \3\) as specified in appendix K of part 50. Daily TSP 
values exceeding the level of the 24-hour PM10 NAAQS and dates of 
occurrence. If more than 10 occurrences, list only the 10 highest daily 
values. Sampling schedule used such as once every six days, once every 
three days, etc. Number of additional sampling days beyond sampling 
schedule used. Number of 24-hour average concentrations in ranges:

------------------------------------------------------------------------
                                                             Number of  
                          Range                               values    
------------------------------------------------------------------------
  0 to 50 (g/m \3\)............................  ..............
  51 to 100.............................................  ..............
  101 to 150............................................  ..............
  151 to 200............................................  ..............
  201 to 250............................................  ..............
  251 to 300............................................  ..............
  301 to 400............................................  ..............
  Greater than 400......................................  ..............
------------------------------------------------------------------------

    2.2.3  Episode and Other Unscheduled Sampling Data. List episode 
measurements, other unscheduled sampling data, and dates of occurrence. 
List the regularly scheduled sample measurements and date of occurrence 
that preceded the episode or unscheduled measurement.
    2.3  Carbon Monoxide (CO)
    2.3.1  Site and Monitoring Information. City name (when applicable), 
county name and street address of site location. AIRS-AQS site code. 
AIRS-AQS monitoring method code. Number of hourly observations.
    2.3.2  Annual Summary Statistics. Highest and second highest 1-hour 
values (ppm) and date and time of occurrence. Highest and second highest 
8-hour averages (3) (ppm) and date and time of occurrence (ending hour). 
Number of exceedances of the 1-hour primary NAAQS. Number of exceedances 
of the 8-hour average primary NAAQS. (3) Number of 8-hour average 
concentrations (4) in ranges:

------------------------------------------------------------------------
                       Range                           Number of values 
------------------------------------------------------------------------
0 to 4 (ppm).......................................  ...................
5 to 8 (ppm).......................................  ...................
9 to 12............................................  ...................
13 to 16...........................................  ...................
17 to 20...........................................  ...................
21 to 24...........................................  ...................
25 to 28...........................................  ...................
Greater than 28....................................  ...................
------------------------------------------------------------------------

    2.4  Nitrogen Dioxide (NO2)
    2.4.1  Site and Monitoring Information. City name (when applicable), 
county name, and street address of site location. AIRS-AQS site code. 
AIRS-AQS monitoring method code. Number of hourly observations. (1) 
Number of daily observations. (2)
    2.4.2  Annual Summary Statistics. Annual arithmetic mean (ppm). 
Highest and second highest hourly averages (3) (ppm) and their dates and 
time of occurrence. Highest and second highest 24-hour averages (2) and 
their date of occurrence (ppm). Number of hourly average concentrations 
in ranges. (1)

------------------------------------------------------------------------
                       Range                           Number of values 
------------------------------------------------------------------------
.0 to .04 (ppm)....................................  ...................
.05 to .08.........................................  ...................
.09 to .12.........................................  ...................
.13 to .16.........................................  ...................
.17 to .20.........................................  ...................
.21 to .24.........................................  ...................
.25 to .28.........................................  ...................
Greater than 0.28..................................  ...................
------------------------------------------------------------------------

    2.5  Ozone (O3)
    2.5.1  Site and Monitoring Information. City name (when applicable), 
county name and street address of site location. AIRS-AQS site code. 
AIRS-AQS monitoring method code. Number of hourly observations.
    2.5.2  Annual Summary Statistics. Four highest daily maximum hour 
values (ppm) and their dates and time of occurrence. Number of 
exceedances of the daily maximum 1-hour primary NAAQS. Number of daily 
maximum hour concentrations in ranges:

------------------------------------------------------------------------
                       Range                           Number of values 
------------------------------------------------------------------------
0 to .04 (ppm).....................................  ...................
.05 to .08.........................................  ...................
.09 to .12.........................................  ...................
.13 to .16.........................................  ...................
.17 to .20.........................................  ...................
.21 to .24.........................................  ...................
.25 to .28.........................................  ...................
Greater than .28...................................  ...................
------------------------------------------------------------------------

    2.6  Lead (Pb).
    2.6.1  Site and Monitoring Information--City name (when applicable), 
county name, and street address of site location, AIRS-AQS site code. 
AIRS-AQS monitoring method code. Sampling interval of submitted 

[[Page 220]]

data, e.g., twenty-four hour or quarterly composites.
    2.6.2  Annual Summary Statistics--The four quarterly arithmetic 
averages given to two decimal places for the year together with the 
number of twenty-four hour samples included in the average, as in the 
following format:

------------------------------------------------------------------------
                                                           Quarterly    
             Quarter               Number of 24-hour  arithmetic average
                                        samples        (g/m\3\)
------------------------------------------------------------------------
Jan.-March......................  ..................  ..................
April-June......................  ..................  ..................
July-Sept.......................  ..................  ..................
Oct.-Dec........................  ..................  ..................
------------------------------------------------------------------------

    2.7  Particulate Matter (PM10)
    2.7.1  Site and Monitoring Information. City name (when applicable), 
county name, and street address of site location. AIRS-AQS site code. 
Number of daily observations.
    2.7.2  Annual Summary Statistics. Annual arithmetic mean 
(g/m\3\) as specified in appendix K of part 50. All daily 
PM10 values above the level of the 24-hour PM10 NAAQS and 
dates of occurrence. Sampling schedule used such as once every six days, 
once every three days, etc. Number of additional sampling days beyond 
sampling schedule used. Number of 24-hour average concentrations in 
ranges:

------------------------------------------------------------------------
                                                             Number of  
                          Range                               values    
------------------------------------------------------------------------
  0 to 25 (g/m \3\)............................  ..............
  26 to 50..............................................  ..............
  51 to 75..............................................  ..............
  76 to 100.............................................  ..............
  101 to 125............................................  ..............
  126 to 150............................................  ..............
  151 to 175............................................  ..............
  176 to 200............................................  ..............
  Greater than 200......................................  ..............
------------------------------------------------------------------------

    2.7.3  Episode and Other Unscheduled Sampling Data. List episode 
measurements, other unscheduled sampling data, and dates of occurrence. 
List the regularly scheduled sample measurements and date of occurrence 
that preceded the episode or unscheduled measurement.

                                Footnotes

    1. Continuous methods only.
    2. Manual or intermittent methods only.
    3. Based on nonoverlapping values computed according to procedures 
described in reference (1) or on individual intermittent measurements.
    4. Based on overlapping running averages for continuous measurements 
as described in reference (1) or on individual measurement for 
intermittent methods.

                                Reference

    1. ``Guidelines for the Interpretation of Air Quality Standards'' 
U.S. Environmental Protection Agency, Office of Air Quality Planning and 
Standards, Research Triangle Park, NC 27711. OAQPS No. 1.2-008, 
February, 1977.

[44 FR 27571, May 10, 1979, as amended at 46 FR 44171, Sept. 3, 1981; 51 
FR 9600, Mar. 19, 1986; 52 FR 24748, 24749, July 1, 1987; 59 FR 41628, 
Aug. 12, 1994]

        Appendix G--Uniform Air Quality Index and Daily Reporting

    1.  General.
    2.  Definitions.
    3.  Monitoring data.
    4.  Geographic applicability.
    5.  Daily index report.
    6.  Prominent public notice.
    7.  Uniform air quality index.
    7.1  Uniform index computation.
    7.2  Example computation.
    8.  Exceptions.
    9.  Reporting agency recordkeeping.
    10.  Basis for PSI.
    11.  Additional information.
    12.  References.

1.  General. This appendix describes the uniform air quality index to be 
used by States in reporting the daily air quality index required by 
Sec. 58.40.

2.  Definitions

    a. The uniform air quality required for the daily reporting of air 
quality is a modified form of the Pollutant Standards Index (PSI).
    b. Reporting agency means the applicable State agency or, in 
metropolitan areas, a local air pollution control agency designated by 
the State to carry out the provisions of Sec. 58.40.
    c. Reporting area means the geographical area for which the daily 
index is representative for the reporting period. This area(s) may be 
the total urban area (or subpart thereof) or each of any number of 
distinct geographical subregions of the urban area deemed necessary by 
the reporting agency for adequate presentation of local air quality 
conditions.
    d. Reporting day means the calendar day during which the daily 
report is given.
    e. Reporting period means the time interval for which the daily 
report is representative. Normally, the reporting period is the 24-hour 
period immediately preceding the time of the report and should coincide 
to the extent practicable with the reporting day. In cases where the 
index will be forecasted the reporting period will include portions of 
the reporting day for which no monitoring data are available at the time 
of the report.
    f. Critical pollutant means the pollutant with the highest subindex 
during the reporting period.

[[Page 221]]

    g. Subindex means the calculated index value for a single pollutant 
as described in section 7.

3. Monitoring Data

    The monitoring data used to prepare the daily index report must be 
based on data obtained from the SLAMS network (or portions thereof) 
required under 40 CFR 58.20. Air quality measurements need not be made 
on reporting days for which the agency does not ordinarily schedule 
monitoring to occur. For example, PM10 measurements are to be 
included in the index calculations on days for which data are required 
(minimum of one sample per 6 days), but may be excluded on other days. 
PM10 measurements from samplers other than the reference or 
equivalent method sampler, may be included in index calculations 
provided such measurements can be quantitatively related to reference or 
equivalent method measurements.
    Data used to calculate the daily index (and respective subindices) 
should come from the most recent sampling period. The index should be 
based on data obtained during the 24-hour period for which the index is 
reported. No monitoring data are to be used for index calculations for 
which the end of the sampling period precedes the reporting day by more 
than 24-hours. To the extent practicable, agencies should forecast the 
index using whatever procedures are most accurate and reasonable through 
consideration of local meteorological and topographical conditions and 
the availability of data and forecasting expertise.

4.  Geographic Applicability

    Generally, the area contained within the geographic boundaries of 
the urban area is sufficient for purposes of calculating and reporting 
the index. The exception occurs in cases where a significant air quality 
problem exists (PSI greater than 100) in highly populated areas adjacent 
to, but outside of, the urban area. For example, ozone concentrations 
are often highest downwind and outside the urban area.

    Agencies should report a separate air quality index for each 
subregion of the urban area which is likely to have air quality 
significantly different from other portions of the urban area if such 
data are readily available. At a minimum, the subregion subject to the 
highest index values shall be included in the index computation. This 
subregion shall be selected by the reporting agency after past air 
quality has been reviewed to determine which monitoring stations 
typically record the highest pollutant concentrations.

5.  Daily Index Report

    The daily index report must be based on the uniform air quality 
index described in section 7 and contain the following information: (1) 
The reporting area(s); (2) the reporting period; (3) the critical 
pollutant; (4) the subindex corresponding to the critical pollutant; and 
(5) the descriptor word according to the following system:

                   Index Range and Descriptor Category

0 to 50.........................................................``Good''
51 to 100...................................................``Moderate''
101 to 199...............................................``Unhealthful''
200 to 299..........................................``Very Unhealthful''
300 and above..............................................``Hazardous''

    Reporting agencies should, at their discretion, report additional 
information such as the following: (1) Pollutants other than the 
critical pollutants and their individual subindices; (2) subindices and 
respective pollutant names for each of a number of distinct reporting 
areas within the urban area; (3) actual pollutant concentration values; 
and (4) causes for unusual PSI readings, such as high background air 
quality levels and other natural phenomena.

6.  Prominent Public Notice

    The reporting agency shall make prominent public notice of the daily 
index report on at least 5 days per week. Prominent public notification 
consists of at a minimum: (1) Furnishing the daily report to one or more 
of the appropriate news media (radio, television, newspapers); and (2) 
making the daily index report publicly available at one or more places 
of public access. Index reports also may be disseminated by means of 
recorded messages.

7.  Uniform Air Quality Index

    The uniform index is based on the pollutants standards index (PSI) 
structure (see section 10), which includes the five pollutants for which 
primary National Ambient Air Quality Standards (NAAQS) have been 
established. These pollutants are: Particulate matter (PM10), 
sulfur dioxide (SO2), carbon monoxide (CO), ozone (O3) and 
nitrogen dioxide (NO2). For each pollutant, a subindex is 
calculated from a segmented linear function that transforms ambient 
concentrations onto a scale extending from 0 through 500, with 100 
corresponding to the primary NAAQS concentrations and 500 corresponding 
to the significant harm levels established in Sec. 51.16 of this 
chapter. In order to achieve relative uniformity for intermediate PSI 
values of 200, 300, and 400 among the several pollutants, their effects 
were approximately normalized by using the breakpoints corresponding to 
the Alert, Warning and Emergency levels in the example episode criteria. 
(1) However, because many factors, including meteorological conditions, 
are taken into account before triggering episode control actions, the 
reported PSI values and the calling of an episode do not always 
correspond. It should be recognized that over time with new information 
on effects, the actual concentrations corresponding to the PSI values

[[Page 222]]

may change. The PSI values themselves and their health implications, 
however, should remain the same. Similarly, concentrations and 
conditions leading to administrative episode actions may change.
    The breakpoint used in defining each of the five pollutant 
subindices are listed in gravimetric units (Table 1) and in volumetric 
units (Table 2). The individual computational scheme is defined below 
for calculating the pollutant subindex values.

    7.1  Uniform index computation. Each subindex i, is calculated by 
using a segmented linear function (Figures 1-6) that relates pollutant 
concentration, Xi, to subindex value, Ii. A segmented linear 
function consists of straight-line segments joining discrete coordinates 
(i.e., breakpoints). For pollutant i and segment j, the coordinates of 
the jth breakpoint are represented by subindex value Ii,j and 
concentration Xi,j giving the ordered pair (Xi,jIi,j). If 
the observed concentration is Xi, the corresponding subindex value 
Ii is calculated using the following equation over the 
concentration range:


 58-187a.eps

where Xi = observed concentration for ith pollutant
Ii,j = PSI value for ith pollutant and jth breakpoint (Table 1 or 
          2)
Ii,j+1 = PSI value for ith pollutant and (j + 1)th breakpoint 
          (Table 1 or 2)
Xi,j = concentration for ith pollutant and jth breakpoint (Table 1 
          or 2)
Xi,j+1 = concentration for ith pollutant and (j + 1)th breakpoint 
          (Table 1 or 2)
Finally, the overall index is calculated as the maximum of subindices:

         PSI = max (I1, I2,.....,Ii,.....In)

n = number of pollutants (including pollutant combinations)

    7.2  Example computation. Suppose a PM10 24-hour concentration 
of 283 g/m3 is observed. The PM10 subindex is 
calculated using equation 1 as follows: In Table 1, the observed 
concentration of Xi=283 g/m3 lies between 150 and 350 
g/m3, therefore this computation is carried out for the 
second segment (j=2). For this segment, X1,2=150 and X1,3=350, 
with corresponding subindex values for I1,2=100 and I1,3=200. 
The computation is as follows:

where

Ii = subindex for ith pollutant

                                                                                                                
             I1,3-I1,2                               200-100                          100                       
  Ii=  --------------------    (283-X1,2)+I1=    --------------    (283-150)+100=   -------     x 133+100=167   
             X1,3-X1,2                               350-150                          200                       
                                                                                                                


Therefore, the PM10 subindex is I=167. If four other pollutant 
subindices calculated in a similar manner from observations on the same 
data were: I2=0, I3=0, I4=20, and I5=30, then the 
overall index is reported as the maximum of these values:

    PSI=max(167,0,0,20,30)=167

    A typical report might contain the following statement: ``Today's 
air quality index is 161 which is regarded as unhealthful. The 
responsible pollutant is particulate matter. This report represents 
conditions prevailing over most of the downtown urban area for the 
previous 24-hour period ending at noon today.'' If the index were 
forecast for the 

[[Page 223]]

next day, the following additional language might also be used: ``The 
current forecast is for improved air quality tomorrow with the index not 
expected to exceed 80.''

8.  Exceptions.

    In many urban areas, a given air pollutant may exhibit low 
concentrations repetitively. At the discretion of the reporting agency, 
pollutants for which PSI values are consistently below 50 for an 
extended period (for example, a season or year) may be excluded in 
calculations of the daily index. Also, in situations where the PSI value 
has not exceeded 50, as calculated by the critical pollutant, for the 
previous calendar year, the requirement to measure and report the PSI 
will be left up to the discretion of the reporting agency.
    Because the index is for the purpose of achieving national 
uniformity of daily air quality reports, the following variations are 
not permitted unless approved by the EPA Administrator:
    a. Exlusion of pollutants described in section 7 from index 
calculations except as permitted above.
    b. Incorporation of pollutants and/or pollutant combinations into 
the index not described in section 7.
    c. Use of breakpoints other than those given in Table 1 or 2.
    d. Use of descriptor words other than those given in section 5.

9.  Reporting Agency Recordkeeping. 

    The reporting agency shall keep annual records of the frequency with 
which reporting index values occur in each of the index descriptor 
categories. These records must also indicate the pollutant monitors in 
the SLAMS network being used for purposes of calculating the index for 
each reporting area. Such records must be made available for inspection 
at the request of the Administrator.

10.  Basis for PSI. 

    The development and evaluation of the PSI index structure have been 
documented extensively. (2-12) The index was created as a result of a 
joint EPA/CEQ study (2) which identified problems resulting from the 
diversity of indices used in the United States and Canada. This report 
proposed design principles that could be used to develop a nationally 
uniform index to meet the needs of State and local agencies. The design 
principles on which PSI is based, along with previous versions of the 
index, have been presented in various scientific reports, (3, 4) 
articles in technical journals, (4, 5, 11) and at various scientific 
meetings and conferences. (7-10) Most recently, the history of the 
development of PSI along with its scientific rationale, has been 
summarized in a book. (6) In September 1976, PSI was published in the 
Federal Register (13) for use by State and local air pollution control 
agencies on a voluntary basis.

11.  Additional Information

    A variety of computational techniques have been developed to assist 
the user in calculating PSI in an accurate, convenient and rapid manner. 
(6) The primary techniques available are graphs (linear and 
logarithmic), nomograms, tables, and computer approaches. An EPA report 
(14) describes each technique, lists its advantages and disadvantages, 
includes examples of the methods, and provides nomograms and tables in 
both gravimetric and volumetric units. The nomograms are considered to 
be the most efficient way of competing the index and should be of 
greatest assistance to State and local agencies. Computer approaches for 
calculating PSI also are available. (15) These approaches lend 
themselves to applications with programmable hand calculators, mini-
computers, or large-scale digital computers. A general computer program, 
Index Plot, used in an earlier evaluation of PSI, (11) is available from 
EPA and is fully documented. (15) This computer program is useful for 
analyzing air quality data by means of PSI over relatively long periods 
(a month, a season, or a year). It plots the time series of daily index 
values on the line printer, generates and plots a histogram and 
cumulative frequencies of PSI values, computes summary data by subindex 
and descriptor category, computes overall statistics for PSI, and 
inventories all missing values in the data set. Agencies can use this 
program to translate all historical data collected at any station into 
the corresponding PSI values, and, thus, retain for recordkeeping 
purposes a uniform retrospective record of air quality. (11, 15) 
Requests for these reports should be addressed to the Environmental 
Protection Agency, Library, MD-35, Research Triangle Park, NC 27711.
    Additional information on descriptive language to report with the 
index is provided in an earlier report (1) and in the air quality 
criteria documents published for each air pollutant. (16-20) Additional 
information on meteorological forecasting services from the National 
Weather Service also is available in the literature. (21, 22)
    Additional information on the health effects of each air pollutant 
used in PSI is available in a brochure entitled, ``Measuring Air 
Quality: The New Pollutant Standards Index,'' Printing Management Office 
(PM-215), U.S. Environmental Protection Agency, 401 M Street, SW., 
Washington, DC 20460.

12.  References

    1. ``Guideline for Public Reporting of Daily Air Quality-Pollutant 
Standards Index (PSI), '' U.S. Environmental Protection Agency Office of 
Air Quality Planning and Standards, Research Triangle Park, NC OAQPS No. 
1.2-044, August 1976.

[[Page 224]]

    2. Thom, Gary C., and Wayne R. Ott., Air Pollution Indices: A 
Compendium and Assessment of Indices Used in the United States and 
Canada, joint study supported by the Council on Environmental Quality 
and the U.S. Environmental Protection Agency, December 1975, and 
reprinted by Ann Arbor Science Publishers, Ann Arbor, MI, 1976.
    3. ``A Recommended Air Pollution Index,'' report prepared by the 
Federal Interagency Task Force on Air Quality Indicators, Council on 
Environmental Quality, Environmental Protection Agency, and Department 
of Commerce, September 1976.
    4. Thom, Gary C., and Wayne R. Ott., ``A Proposed Uniform Air 
Pollution Index,'' Atmos Environ 10:261 (1976).
    5. Ott, Wayne R., and Gary C. Thom, ``A Critical Review of Air 
Pollution Index Systems in the United States and Canada,'' J. Air 
Pollution Control Association 26:460 (1976).
    6. Ott, Wayne R., Environmental Indices, Ann Arbor Science 
Publishers, Ann Arbor, MI, 1978.
    7. Hunt, William F., William M. Cox, Wayne R. Ott, and Gary C. Thom. 
``A Common Air Quality Reporting Format: Precursor to an Air Quality 
Index,'' Proceedings of the Fifth Annual Environmental Engineering and 
Science Conference, Louisville, KY, March 3-4, 1975, pp. 101-121.
    8. Ott, Wayne R., and Gary C. Thom, ``Air Pollution Indices in the 
United States and Canada--the Present Picture,'' presented at the 171st 
National Meeting of the American Chemical Society, New York, NY, April 
7, 1976.
    9. Thom, Gary C., Wayne R. Ott, William F. Hunt, and John B. Moran 
``A Recommended Standard Air Pollution Index,'' presented at the 171st 
National Meeting of the American Chemical Society, New York, NY, April 
7, 1976.
    10. Hunt, William F., Raymond Smith, Wayne R. Ott, and Wilson B. 
Riggan, ``The Pollutant Standards Index (PSI)--An Early Warning System 
for Air Pollution,'' presented at the 8th International Scientific 
Meeting of the International Epidemiological Association, Las Croabas, 
PR, September 18-23, 1977.
    11. Ott, Wayne R., and William F. Hunt, ``A Quantitative Evaluation 
of the Daily Air Pollution Index Proposed by the U.S. Environmental 
Protection Agency,'' J. Air Pollution Control Association 26:1050 
(1976).
    12. Hunt, William F., and Wayne R. Ott, Pollutant Standards Index 
(PSI) Evaluation Study, Joint Office of Air and Waste Management and 
Research and Development Report, U.S. Environmental Protection Agency, 
Research Triangle Park, NC, April 1976.
    13. Federal Register, Vol. 41, September 7, 1976, pp. 37660-37671.
    14. Wallace, Lance A., and Wayne R. Ott, ``Rapid Techniques for 
Calculating the Pollutant Standards Index (PSI),'' U.S. Environmental 
Protection Agency, Washington, DC Report No. EPA-600/4-78-002, March 
1978.
    15. Ott, Wayne R., ``A FORTRAN Program for Computing the Pollutant 
Standards Index (PSI),'' U.S. Environmental Protection Agency, 
Washington, DC, Report No. EPA-600/4-78-001, May 1978.
    16. ``Air Quality Criteria for Particulate Matter,'' USDEHEW, PHS, 
CPEHS, NAPCA, Washington, DC, January 1969, No. AP-49.
    17. ``Air Quality Criteria for Sulfur Oxides,'' USDHEW, PHS, CPEHS, 
NAPCA, Washington, DC, January 1969, No. AP-50.
    18. ``Air Quality Criteria for Carbon Monoxide,'' USDHEW, PHS, 
CPEHS, Washington, DC, March 1970, No. AP-42.
    19. ``Air Quality Criteria for Photochemical Oxidants,'' USDHEW, 
PHS, CPEHS, Washington, DC, March 1970, No. AP-63.
    20. ``Air Quality Criteria for Nitrogen Dioxide,'' EPA, APCO, 
Washington, DC, January 1971, No. AP-84.
    21. National Weather Service Operations Manual Air Pollution Weather 
Forecasts, WSOM Issuance 75-13, Part C. Chapter 30, April 1975.
    22. National Weather Service Technical Procedures Bulletin No. 122: 
``Air Stagnation Guidance for Facsimile and Teletype (3rd Edition),'' 
October 21, 1974. (supercedes previous TPB's Nos. 52, 58 and 69).

                                 Table 1--Breakpoints for PSI in Metric Units\1\                                
----------------------------------------------------------------------------------------------------------------
                                                   24-hr. PM    24-hr. SO2                1-hr. 03      1-hr.   
             PSI value ()               g/  g/   8-hr. CO   g/  NO2!3           m3         mg/m3         m3         m>g/m3  
----------------------------------------------------------------------------------------------------------------
50..............................................           50           80           5          120       (\2\ )
100.............................................          150          365          10          235       (\2\ )
200.............................................          350          800          17          400        1,130
300.............................................          420        1,600          34          800        2,260
400.............................................          500        2,100          46        1,000        3,000
500.............................................          600        2,620        57.5        1,200        3,750
----------------------------------------------------------------------------------------------------------------
\1\At 25 deg.C and 760 mm Hg.                                                                                   
\2\No index value reported at these concentration levels because there is no short-term NAAQS.                  


[[Page 225]]


                                          Table 2--Breakpoints for PSI                                          
                                               [Parts per million]                                              
----------------------------------------------------------------------------------------------------------------
                     PSI value ()                       24-hr. SO2   8-hr. CO    1-hr. O3    1-hr. NO2
----------------------------------------------------------------------------------------------------------------
50..............................................................        0.03         4.5         .06      (\1\ )
100.............................................................        0.14           9         .12      (\1\ )
200.............................................................        0.30          15         0.2         0.6
300.............................................................        0.60          30         0.4         1.2
400.............................................................        0.80          40         0.5         1.6
500.............................................................        1.00          50         0.6         2.0
----------------------------------------------------------------------------------------------------------------
\1\No index value reported at these concentration levels because there is no short-term NAAQS.                  


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[GRAPHIC] [TIFF OMITTED] TC01JY92.004











[[Page 230]]

[GRAPHIC] [TIFF OMITTED] TC01JY92.005


[[Page 231]]

[GRAPHIC] [TIFF OMITTED] TC01JY92.006


[44 FR 27571, May 10, 1979; 44 FR 65070, Nov. 9, 1979; 44 FR 72592, Dec. 
14, 1979, as amended at 51 FR 9600, Mar. 19, 1986; 52 FR 24749, 24750, 
July 1, 1987; 59 FR 41628, Aug. 12, 1994]



PART 59--[RESERVED]
Page 229]]


[[Page 233]]



                              FINDING AIDS




  --------------------------------------------------------------------

  A list of CFR titles, subtitles, chapters, subchapters and parts and 
an alphabetical 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 separately and revised annually.

  Material Approved for Incorporation by Reference
  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  Table of OMB Control Numbers
  List of CFR Sections Affected

[[Page 235]]

........................................................................

            Material Approved for Incorporation by Reference

                      (Revised as of July 1, 1996)

  The Director of the Federal Register has approved under 5 U.S.C. 
552(a) and 1 CFR Part 51 the incorporation by reference of the following 
publications. This list contains only those incorporations by reference 
effective as of the revision date of this volume. Incorporations by 
reference found within a regulation are effective upon the effective 
date of that regulation. For more information on incorporation by 
reference, see the preliminary pages of this volume.


40 CFR, CHAPTER I (PART 55): SUBCHAPTER C--AIR PROGRAMS

ENVIRONMENTAL PROTECTION AGENCY


Environmental Protection Agency Air Docket (A-91-76)

  U.S. EPA, Room M-1500, 401 M Street, SW., Washington, DC 20460
Alaska: State of Alaska Requirements Applicable to 
  OCS Sources, August 21, 1992; South Central 
  Alaska Air Authority Requirements Applicable to 
  OCS Sources, August 21, 1992....................               Part 55
California: State of California Requirements 
  Applicable to OCS Sources, August 30, 1994; San 
  Luis Obispo County Air Pollution Control 
  District Requirements Applicable to OCS Sources, 
  March 11, 1994; Santa Barbara County Air 
  Pollution Control District Requirements 
  Applicable to OCS Sources, August 1995; South 
  Coast Air Quality Management District 
  Requirements Applicable to OCS Sources, August 
  1995; and Ventura County Air Pollution Control 
  District Requirements Applicable to OCS Sources, 
  August 1995.....................................               Part 55
Florida: State of Florida Requirements Applicable 
  to OCS Sources, January 11, 1995................               Part 55
North Carolina: State of North Carolina Air 
  Pollution Control Requirements Applicable to OCS 
  Sources, August 21, 1992........................               Part 55


                                                                    Chap.

[[Page 237]]



                    Table of CFR Titles and Chapters



                      (Revised as of June 30, 1996)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
        IV  Miscellaneous Agencies (Parts 400--500)

                          Title 2--[Reserved]

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  General Accounting Office (Parts 1--99)
        II  Federal Claims Collection Standards (General 
                Accounting Office--Department of Justice) (Parts 
                100--299)

                   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  Advisory Committee on Federal Pay (Parts 1400--1499)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
       VII  Advisory Commission on Intergovernmental Relations 
                (Parts 1700--1799)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Part 2100)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
        XV  Office of Administration, Executive Office of the 
                President (Parts 2500--2599)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Part 3202)
      XXVI  Department of Defense (Part 3601)

[[Page 238]]

       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Part 4301)
        XL  Interstate Commerce Commission (Part 5001)
       XLI  Commodity Futures Trading Commission (Part 5101)
      XLVI  Postal Rate Commission (Part 5601)
     XLVII  Federal Trade Commission (Part 5701)
    XLVIII  Nuclear Regulatory Commission (Part 5801)
       LII  Export-Import Bank of the United States (Part 6201)
      LIII  Department of Education (Parts 6300--6399)
       LIX  National Aeronautics and Space Administration (Part 
                6901)
        LX  United States Postal Service (Part 7001)
      LXII  Equal Employment Opportunity Commission (Part 7201)
     LXIII  Inter-American Foundation (Part 7301)
      LXIX  Tennessee Valley Authority (Part 7901)
     LXXVI  Federal Retirement Thrift Investment Board (Part 8601)
    LXXVII  Office of Management and Budget (Part 8701)

                          Title 6--[Reserved]

                         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, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Consumer Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (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 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)

[[Page 239]]

       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  Rural Telephone Bank, Department of Agriculture (Parts 
                1600--1699)
      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, Department of Agriculture (Parts 1800--
                2099)
      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, Department of Agriculture (Parts 
                2900--2999)
       XXX  Office of Finance and Management, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  [Reserved]
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  Cooperative State Research, Education, and Extension 
                Service, Department of Agriculture (Parts 3400--
                3499)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)
    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
     XXXIX  Economic Analysis Staff, Department of Agriculture 
                (Parts 3900--3999)
        XL  Economics Management Staff, Department of Agriculture 
                (Parts 4000--4099)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

                    Title 8--Aliens and Nationality

         I  Immigration and Naturalization Service, Department of 
                Justice (Parts 1--499)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)

[[Page 240]]

        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Meat and Poultry 
                Inspection, Department of Agriculture (Parts 300--
                399)

                           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)
        XI  United States Enrichment Corporation (Parts 1100--
                1199)
        XV  Office of the Federal Inspector for the Alaska Natural 
                Gas Transportation System (Parts 1500--1599)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)

                      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  Office of Thrift Supervision, Department of the 
                Treasury (Parts 500--599)
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  Federal Housing Finance Board (Parts 900--999)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Thrift Depositor Protection Oversight Board (Parts 
                1500--1599)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700-1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department 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 
                Commerce (Parts 300--399)

[[Page 241]]

                    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  Office of Commercial Space Transportation, Department 
                of Transportation (Parts 400--499)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)

                 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 Export Administration, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  Technology Administration, Department of Commerce 
                (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        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)

                    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)

[[Page 242]]

          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  United States Customs Service, Department of the 
                Treasury (Parts 1--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)

                     Title 20--Employees' Benefits

         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  Employment Standards Administration, Department of 
                Labor (Parts 700--799)
       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, 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, International 
                Development Cooperation Agency (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  United States Information Agency (Parts 500--599)

[[Page 243]]

        VI  United States Arms Control and Disarmament Agency 
                (Parts 600--699)
       VII  Overseas Private Investment Corporation, International 
                Development Cooperation Agency (Parts 700--799)
        IX  Foreign Service Grievance Board Regulations (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  Board for International Broadcasting (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)

                          Title 23--Highways

         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 
                Development
         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 Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)

[[Page 244]]

      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs and Section 202 Direct Loan Program) 
                (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--999)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3699)
       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 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--799)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900)
        VI  Office of the Assistant Secretary-Indian Affairs, 
                Department of the Interior (Part 1001)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--799)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Bureau of Alcohol, Tobacco and Firearms, Department of 
                the Treasury (Parts 1--299)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--199)
       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)

[[Page 245]]

                            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 Programs, 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 Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Pension and Welfare Benefits Administration, 
                Department of Labor (Parts 2500--2599)
      XXVI  Pension Benefit Guaranty Corporation (Parts 2600--
                2699)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Minerals Management Service, Department of the 
                Interior (Parts 200--299)
       III  Board of Surface Mining and Reclamation Appeals, 
                Department of the Interior (Parts 300--399)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
        VI  Bureau of Mines, Department of the Interior (Parts 
                600--699)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)

                 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
         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)

[[Page 246]]

       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)
      VIII  Office of International Investment, Department of the 
                Treasury (Parts 800--899)

                      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 
                Defense
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
       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)
      XXIX  Presidential Commission on the Assignment of Women in 
                the Armed Forces (Part 2900)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Corps of Engineers, Department of the Army (Parts 
                200--399)
        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (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, Department of Education (Parts 300--399)
        IV  Office of Vocational and Adult Education, Department 
                of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599)
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)

[[Page 247]]

       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799)
        XI  National Institute for Literacy (Parts 1100-1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                        Title 35--Panama Canal

         I  Panama Canal Regulations (Parts 1--299)

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 
                300--399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
       XIV  Assassination Records Review Board (Parts 1400-1499)

             Title 37--Patents, Trademarks, and Copyrights

         I  Patent and Trademark Office, Department of Commerce 
                (Parts 1--199)
        II  Copyright Office, Library of Congress (Parts 200--299)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--499)
         V  Under Secretary for Technology, Department of Commerce 
                (Parts 500--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--99)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Rate Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--799)
         V  Council on Environmental Quality (Parts 1500--1599)

[[Page 248]]

          Title 41--Public Contracts and Property Management

            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans 
                Employment and Training, Department of Labor 
                (Parts 61-1--61-999)
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System
       201  Federal Information Resources Management Regulation 
                (Parts 201-1--201-99)
            Subtitle F--Federal Travel Regulation System
       301  Travel Allowances (Parts 301-1--301-99)
       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Parts 303-1--303-2)
       304  Payment from a Non-Federal Source for Travel Expenses 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Health Care Financing Administration, Department of 
                Health and Human Services (Parts 400--499)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1999)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 200--499)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10005)

[[Page 249]]

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services, 
                General Administration (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families Department of Health and 
                Human Services (Parts 400--499)
         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  ACTION (Parts 1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)
       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission on Fine Arts (Parts 2100--2199)
      XXII  Christopher Columbus Quincentenary Jubilee Commission 
                (Parts 2200--2299)
     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
        IV  Federal Maritime Commission (Parts 500--599)

[[Page 250]]

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Department of Defense (Parts 200--299)
         3  Department of Health and Human Services (Parts 300--
                399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  Agency for International Development (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  United States Information Agency (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        22  Small Business Administration (Parts 2200--2299)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        35  Panama Canal Commission (Parts 3500--3599)
        44  Federal Emergency Management Agency (Parts 4400--4499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399)
        54  Defense Logistics Agency, Department of Defense (Part 
                5452)

[[Page 251]]

        57  African Development Foundation (Parts 5700--5799)
        61  General Services Administration Board of Contract 
                Appeals (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Research and Special Programs Administration, 
                Department of Transportation (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Highway Administration, Department of 
                Transportation (Parts 300--399)
        IV  Coast Guard, Department of Transportation (Parts 400--
                499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board, Department of 
                Transportation (Parts 1000--1399)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Regulatory Agencies (Fishing and 
                Whaling) (Parts 300--399)
        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

[[Page 252]]

                      CFR Index and Finding Aids

            Subject/Agency Index
            List of Agency Prepared Indexes
            Parallel Tables of Statutory Authorities and Rules
            Acts Requiring Publication in the Federal Register
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR



[[Page 253]]





           Alphabetical List of Agencies Appearing in the CFR



                      (Revised as of June 30, 1996)

                                                  CFR Title, Subtitle or
                     Agency                               Chapter

ACTION                                            45, XII
Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
Advisory Commission on Intergovernmental          5, VII
     Relations
Advisory Committee on Federal Pay                 5, IV
Advisory Council on Historic Preservation         36, VIII
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Commodity Credit Corporation                    7, XIV
  Cooperative State Research, Education, and      7, XXXIV
       Extension Service
  Economic Analysis Staff                         7, XXXIX
  Economic Research Service                       7, XXXVII
  Economics Management Staff                      7, XL
  Energy, Office of                               7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Finance and Management, Office of               7, XXX
  Food and Consumer Service                       7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force Department                              32, VII
  Federal Acquisition Regulation Supplement       48, 53
Alaska Natural Gas Transportation System, Office  10, XV
     of the Federal Inspector
Alcohol, Tobacco and Firearms, Bureau of          27, I
AMTRAK                                            49, VII

[[Page 254]]

American Battle Monuments Commission              36, IV
Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Arms Control and Disarmament Agency, United       22, VI
     States
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Assassination Records Review Board                36, XIV
Benefits Review Board                             20, VII
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase From People Who Are
Board for International Broadcasting              22, XIII
Census Bureau                                     15, I
Central Intelligence Agency                       32, XIX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Christopher Columbus Quincentenary Jubilee        45, XXII
     Commission
Civil Rights, Commission on                       45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Commerce Department                               44, IV
  Census Bureau                                   15, I`
  Economic Affairs, Under Secretary               37, V
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Export Administration, Bureau of                15, VII
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office                     37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  Secretary of Commerce, Office of                15, Subtitle A
  Technology, Under Secretary for                 37, V
  Technology Administration                       15, XI
  Technology Policy, Assistant Secretary for      37, IV
Commercial Space Transportation, Office of        14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Product Safety Commission                16, II
Cooperative State Research, Education, and        7, XXXIV
     Extension Service
Copyright Office                                  37, II
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Customs Service, United States                    19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51

[[Page 255]]

  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Defense Mapping Agency                          32, I
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 2
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Mapping Agency                            32, I
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Affairs, Under Secretary                 37, V
Economic Analysis, Bureau of                      15, VIII
Economic Analysis Staff                           7, XXXIX
Economic Development Administration               13, III
Economics Management Staff                        7, XL
Economic Research Service                         7, XXXVII
Education, Department of                          5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
  Vocational and Adult Education, Office of       34, IV
Educational Research and Improvement, Office of   34, VII
Elementary and Secondary Education, Office of     34, II
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             10, II, III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Enrichment Corporation, United States             10, XI
Environmental Protection Agency                   40, I
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Administration, Office of                       5, XV
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                25, III, LXXVII; 48, 99
  National Drug Control Policy, Office of         21, III
  National Security Council                       32, XXI; 47, 2
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export Administration, Bureau of                  15, VII
Export-Import Bank of the United States           5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV

[[Page 256]]

Farm Service Agency                               7, VII, XVIII
Farmers Home Administration                       7, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
Federal Claims Collection Standards               4, II
Federal Communications Commission                 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       11, I
Federal Emergency Management Agency               44, I
  Federal Acquisition Regulation                  48, 44
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II; 49, III
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Board                     12, IX
Federal Information Resources Management          41, Subtitle E, Ch. 201
     Regulations
Federal Inspector for the Alaska Natural Gas      10, XV
     Transportation System, Office of
Federal Labor Relations Authority, and General    5, XIV; 22, XIV
     Counsel of the Federal Labor Relations 
     Authority
Federal Law Enforcement Training Center           31, VII
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  29, XXVII
Federal Pay, Advisory Committee on                5, IV
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Property Management Regulations System    41, Subtitle C
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Finance and Management, Office of                 7, XXX
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Fishery Conservation and Management               50, VI
Fishing and Whaling, International Regulatory     50, III
     Agencies
Food and Drug Administration                      21, I
Food and Consumer Service                         7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV
Forest Service                                    36, II
General Accounting Office                         4, I, II
General Services Administration
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Information Resources Management        41, Subtitle E, Ch. 201
     Regulations
[[Page 257]]

  Federal Property Management Regulations System  41, 101, 105
  Federal Travel Regulation System                41, Subtitle F
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Travel Allowances                               41, 301
Geological Survey                                 30, IV
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Great Lakes Pilotage                              46, III
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          45, Subtitle A
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Health Care Financing Administration            42, IV
  Human Development Services, Office of           45, XIII
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Health Care Financing Administration              42, IV
Housing and Urban Development, Department of      24, Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Human Development Services, Office of             45, XIII
Immigration and Naturalization Service            8, I
Independent Counsel, Office of                    28, VII
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Information Agency, United States                 22, V
  Federal Acquisition Regulation                  48, 19
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Intergovernmental Relations, Advisory Commission  5, VII
     on
Interior Department
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V

[[Page 258]]

  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  Minerals Management Service                     30, II
  Mines, Bureau of                                30, VI
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            43, Subtitle A
  Surface Mining and Reclamation Appeals, Board   30, III
       of
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, Agency for             22, II
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
  International Development, Agency for           22, II; 48, 7
  Overseas Private Investment Corporation         5, XXXIII; 22, VII
International Investment, Office of               31, VIII
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Regulatory Agencies (Fishing and    50, III
     Whaling)
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice Department                                28, I
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             4, II
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration and Naturalization Service          8, I
  Offices of Independent Counsel                  28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department
  Benefits Review Board                           20, VII
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Relations and Cooperative      29, II
       Programs, Bureau of
  Labor-Management Programs, Office of            29, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Pension and Welfare Benefits Administration     29, XXV
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training, Office of    41, 61; 20, IX
       the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I
Labor-Management Relations and Cooperative        29, II
     Programs, Bureau of
Labor-Management Programs, Office of              29, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII

[[Page 259]]

  Copyright Office                                37, II
Management and Budget, Office of                  5, III, LXXVII; 48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II
Micronesian Status Negotiations, Office for       32, XXVII
Mine Safety and Health Administration             30, I
Minerals Management Service                       30, II
Mines, Bureau of                                  30, VI
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
National Aeronautics and Space Administration     5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National Archives and Records Administration      36, XII
  Information Security Oversight Office           32, XX
National Bureau of Standards                      15, II
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National and Community Service, Corporation for   45, XXV
National Council on Disability                    34, XII
National Credit Union Administration              12, VII
National Drug Control Policy, Office of           21, III
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 49, V
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
National Labor Relations Board                    29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI
National Security Council and Office of Science   47, II
     and Technology Policy
National Telecommunications and Information       15, XXIII; 47, III
     Administration
National Transportation Safety Board              49, VIII
National Weather Service                          15, IX
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Nuclear Regulatory Commission                     5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Offices of Independent Counsel                    28, VI
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Panama Canal Commission                           48, 35
Panama Canal Regulations                          35, I
Patent and Trademark Office                       37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       22, III
Pennsylvania Avenue Development Corporation       36, IX

[[Page 260]]

Pension and Welfare Benefits Administration       29, XXV
Pension Benefit Guaranty Corporation              29, XXVI
Personnel Management, Office of                   5, I; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Postal Rate Commission                            5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Commission on the Assignment of      32, XXIX
     Women in the Armed Forces
Presidential Documents                            3
Prisons, Bureau of                                28, V
Productivity, Technology and Innovation,          37, IV
     Assistant Secretary
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Regional Action Planning Commissions              13, V
Relocation Allowances                             41, 302
Research and Special Programs Administration      49, I
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                17, II
Selective Service System                          32, XVI
Small Business Administration                     13, I
  Federal Acquisition Regulation                  48, 22
Smithsonian Institution                           36, V
Social Security Administration                    20, III
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  22, I
  Federal Acquisition Regulation                  48, 6
Surface Mining and Reclamation Appeals, Board of  30, III
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV
Technology, Under Secretary for                   37, V
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Depositor Protection Oversight Board       12, XV
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of
  Coast Guard                                     33, I; 46, I; 49, IV
  Commercial Space Transportation, Office of      14, III
  Contract Appeals, Board of                      48, 63
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II; 49, III
  Federal Railroad Administration                 49, II

[[Page 261]]

  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 49, V
  Research and Special Programs Administration    49, I
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Surface Transportation Board                    49, X
Transportation, Office of                         7, XXXIII
Travel Allowances                                 41, 301
Treasury Department                               5, XXI; 17, IV
  Alcohol, Tobacco and Firearms, Bureau of        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs Service, United States                  19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Law Enforcement Training Center         31, VII
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  International Investment, Office of             31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
  Thrift Supervision, Office of                   12, V
Truman, Harry S. Scholarship Foundation           45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
United States Enrichment Corporation              10, XI
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training, Office of the  41, 61; 20, IX
     Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Vocational and Adult Education, Office of         34, IV
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I
World Agricultural Outlook Board                  7, XXXVIII

[[Page 263]]



                                     

                                     



                      Table of OMB Control Numbers



         PART 9--OMB APPROVALS UNDER THE PAPERWORK REDUCTION ACT

    Authority: 7 U.S.C. 135 et seq., 136-136y; 15 U.S.C. 2001, 2003, 
2005, 2006, 2601-2671; 21 U.S.C. 331j, 346a, 348; 31 U.S.C. 9701; 33 
U.S.C. 1251 et seq., 1311, 1313d, 1314, 1318, 1321, 1326, 1330, 1342, 
1344, 1345 (d) and (e), 1361; E.O. 11735, 38 FR 21243, 3 CFR, 1971-1975 
Comp. p. 973; 42 U.S.C. 241, 242b, 243, 246, 300f, 300g, 300g-1, 300g-2, 
300g-3, 300g-4, 300g-5, 300g-6, 300j-1, 300j-2, 300j-3, 300j-4, 300j-9, 
1857 et seq., 6901-6992k, 7401-7671q, 7542, 9601-9657, 11023, 11048.

Sec. 9.1  OMB approvals under the Paperwork Reduction Act.

    This part consolidates the display of control numbers assigned to 
collections of information in certain EPA regulations by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act (PRA). 
This part fulfills the requirements of section 3507(f) of the PRA.

------------------------------------------------------------------------
                                                            OMB control 
                     40 CFR citation                            No.     
------------------------------------------------------------------------
                           Public Information                           
                                                                        
Part 2, subpart B.......................................       2050-0143
------------------------------------------------------------------------
                                                                        
   General Regulation for Assistance Programs for Other than State and  
                           Local Governments                            
                                                                        
30.400..................................................       2030-0020
30.500..................................................       2030-0020
30.501..................................................       2030-0020
30.503..................................................       2030-0020
30.505..................................................       2030-0020
30.510..................................................       2030-0020
30.520..................................................       2030-0020
30.530..................................................       2030-0020
30.531..................................................       2030-0020
30.532..................................................       2030-0020
30.535..................................................       2030-0020
30.1002.................................................       2030-0020
30.1003.................................................       2030-0020
30.1200.................................................       2030-0020
------------------------------------------------------------------------
                                                                        
     Uniform Administrative Requirements for Grants and Cooperative     
               Agreements to State and Local Governments                
                                                                        
------------------------------------------------------------------------
31.10...................................................       2030-0020
31.20-31.21.............................................       2030-0020
31.31-31.32.............................................       2030-0020
31.36(g)-31.36(h).......................................       2030-0020
31.40...................................................       2030-0020
31.42...................................................       2030-0020
31.6....................................................       2030-0020
                                                                        
------------------------------------------------------------------------
                 Procurement Under Assistance Agreements                
                                                                        
------------------------------------------------------------------------
33.110..................................................       2030-0003
33.211..................................................       2030-0003
                                                                        
------------------------------------------------------------------------
                       State and Local Assistance                       
                                                                        
------------------------------------------------------------------------
35.2015.................................................       2040-0027
35.2025.................................................       2040-0027
35.2034.................................................       2040-0027
35.2040.................................................       2040-0027
35.2105-35.2107.........................................       2040-0027
35.2110.................................................       2040-0027
35.2114.................................................       2040-0027
35.2118.................................................       2040-0027
35.2120.................................................       2040-0027
35.2127.................................................       2040-0027
35.2130.................................................       2040-0027
35.2140.................................................       2040-0027
35.2211-35.2212.........................................       2040-0027
35.2215-35.2216.........................................       2040-0027
35.2218.................................................       2040-0027
35.3010.................................................       2040-0095
35.3030.................................................       2040-0095
35.3130.................................................       2040-0118
35.3135.................................................       2040-0118
35.3140.................................................       2040-0118
35.3145.................................................       2040-0118
35.3150.................................................       2040-0118
35.3155.................................................       2040-0118
35.3160.................................................       2040-0118
35.3165.................................................       2040-0118
35.3170.................................................       2040-0118
35.6055(a)(2)...........................................       2010-0020
35.6055(b)(1)...........................................       2010-0020
35.6055(b)(2)(i)-(ii)...................................       2010-0020
35.6105(a)(2)(i)-(v), (vii).............................       2010-0020
35.6110(b)(2)...........................................       2010-0020
35.6120.................................................       2010-0020
35.6145.................................................       2010-0020
35.6155(a), (c).........................................       2010-0020
35.6230(a), (c).........................................       2010-0020
35.6300(a)(3)...........................................       2010-0020
35.6315(c)..............................................       2010-0020
35.6320.................................................       2010-0020

[[Page 264]]

                                                                        
35.6340(a)..............................................       2010-0020
35.6350.................................................       2010-0020
35.6500.................................................       2010-0020
35.6550(a)(1)(ii).......................................       2010-0020
35.6550(b)(1)(iii)......................................       2010-0020
35.6550(b)(2)(i)........................................       2010-0020
35.6585.................................................       2010-0020
35.6595(a)..............................................       2010-0020
35.6600(a)..............................................       2010-0020
35.6650.................................................       2010-0020
35.6655.................................................       2010-0020
35.6660.................................................       2010-0020
35.6665(a)..............................................       2010-0020
35.6700.................................................       2010-0020
35.6705.................................................       2010-0020
35.6710.................................................       2010-0020
35.6805.................................................       2010-0020
35.6815 (a), (d), (e)...................................       2010-0020
35.9000-35.9070.........................................       2040-0138
                                                                        
------------------------------------------------------------------------
 Requirements for Preparation, Adoption, and Submittal of Implementation
                                  Plans                                 
                                                                        
------------------------------------------------------------------------
51.160-51.166...........................................       2060-0003
51.321-51.323...........................................       2060-0088
51.353-51.354...........................................       2060-0252
51.365-51.366...........................................       2060-0252
51.370-51.371...........................................       2060-0252
51.850-51.860...........................................       2060-0279
                                                                        
------------------------------------------------------------------------
            Approval and Promulgation of Implementation Plans           
                                                                        
------------------------------------------------------------------------
52.21...................................................       2060-0003
52.741..................................................       2060-0203
                                                                        
------------------------------------------------------------------------
                 Outer Continental Shelf Air Regulations                
                                                                        
------------------------------------------------------------------------
55.4-55.8...............................................       2060-0249
55.11-55.14.............................................       2060-0249
                                                                        
------------------------------------------------------------------------
                    Ambient Air Quality Surveillance                    
                                                                        
------------------------------------------------------------------------
58.11-58.14.............................................       2060-0084
58.20-58.23.............................................       2060-0084
58.25-58.28.............................................       2060-0084
58.30-58.31.............................................       2060-0084
58.33...................................................       2060-0084
58.35...................................................       2060-0084
58.40-58.41.............................................       2060-0084
58.43...................................................       2060-0084
58.45...................................................       2060-0084
58.50...................................................       2060-0084
                                                                        
------------------------------------------------------------------------
         Standards of Performance for New Stationary Sources \1\        
                                                                        
------------------------------------------------------------------------
60.7(d).................................................       2060-0207
60.45-60.47.............................................       2060-0026
60.46a-60.49a...........................................       2060-0023
60.40b..................................................       2060-0072
60.42b..................................................       2060-0072
60.44b-60.49b...........................................       2060-0072
60.42c..................................................       2060-0202
60.44c-60.48c...........................................       2060-0202
60.53-60.54.............................................       2060-0040
60.50a..................................................       2060-0210
60.56a-60.59a...........................................       2060-0210
60.63-60.65.............................................       2060-0025
60.73-60.74.............................................       2060-0019
60.84-60.85.............................................       2060-0041
60.93...................................................       2060-0083
60.104-60.108...........................................       2060-0022
60.113a-60.115a.........................................       2060-0121
60.113b-60.116b.........................................       2060-0074
60.123..................................................       2060-0080
60.133..................................................       2060-0110
60.142-60.144...........................................       2060-0029
60.143a-60.145a.........................................       2060-0029
60.153-60.155...........................................       2060-0035
60.192(b)...............................................       2060-0031
60.194-60.195...........................................       2060-0031
60.203-60.204...........................................       2060-0037
60.213-60.214...........................................       2060-0037
60.223-60.224...........................................       2060-0037
60.233-60.234...........................................       2060-0037
60.243-60.244...........................................       2060-0037
60.253-60.254...........................................       2060-0122
60.273-60.276...........................................       2060-0038
60.273a-60.276a.........................................       2060-0038
60.284-60.286...........................................       2060-0021
60.292-60.293...........................................       2060-0054
60.296..................................................       2060-0054
60.303..................................................       2060-0082
60.310..................................................       2060-0106
60.313-60.316...........................................       2060-0106
60.334-60.335...........................................       2060-0028
60.343-60.344...........................................       2060-0063
60.373-60.374...........................................       2060-0081
60.384-60.386...........................................       2060-0016
60.393-60.396...........................................       2060-0034
60.398..................................................       2060-0034
60.403-60.404...........................................       2060-0111
60.433-60.435...........................................       2060-0105
60.443-60.447...........................................       2060-0004
60.453-60.456...........................................       2060-0108
60.463-60.466...........................................       2060-0107
60.473-60.474...........................................       2060-0002
60.482-2................................................       2060-0012
60.482-3................................................       2060-0012
60.482-4................................................       2060-0012
60.482-7................................................       2060-0012
60.482-8................................................       2060-0012
60.482-10...............................................       2060-0012
60.483-1................................................       2060-0012
60.483-2................................................       2060-0012
60.484-60.487...........................................       2060-0012
60.493-60.496...........................................       2060-0001
60.502-60.503...........................................       2060-0006
60.505..................................................       2060-0006
60.530-60.536...........................................       2060-0161
60.537 (a)(1)-(2), (a)(4)-(5), (b)-(i)..................       2060-0161
60.538-60.539...........................................       2060-0161
60.543 (b)(2)-(4), (c)-(n)..............................       2060-0156
60.544..................................................       2060-0156
60.545 (a)-(d), (f).....................................       2060-0156
60.546 (a)-(e), (f)(4)-(6), (g)-(j).....................       2060-0156
60.547..................................................       2060-0156
60.562-1................................................       2060-0145
60.562-2................................................       2060-0145
60.563-60.565...........................................       2060-0145
60.580..................................................       2060-0073
60.583-60.585...........................................       2060-0073
60.592-60.593...........................................       2060-0067
60.603-60.604...........................................       2060-0059
60.613-60.615...........................................       2060-0197
60.622..................................................       2060-0079
60.624-60.625...........................................       2060-0079
60.632-60.636...........................................       2060-0120
60.640..................................................       2060-0120
60.642-60.644...........................................       2060-0120
60.646-60.647...........................................       2060-0120
60.663-60.665...........................................       2060-0197
60.670..................................................       2060-0050

[[Page 265]]

                                                                        
60.672..................................................       2060-0050
60.674-60.676...........................................       2060-0050
60.683-60.685...........................................       2060-0114
60.692-1................................................       2060-0172
60.692-2................................................       2060-0172
60.692-3................................................       2060-0172
60.692-4................................................       2060-0172
60.692-5................................................       2060-0172
60.693-1................................................       2060-0172
60.693-2................................................       2060-0172
60.695-60.698...........................................       2060-0172
60.703-60.705...........................................       2060-0269
60.710..................................................       2060-0171
60.713-60.717...........................................       2060-0171
60.722-60.725...........................................       2060-0162
60.734-60.736...........................................       2060-0251
60.740..................................................       2060-0181
60.743-60.747...........................................       2060-0181
                                                                        
------------------------------------------------------------------------
      National Emission Standards for Hazardous Air Pollutants \2\      
                                                                        
------------------------------------------------------------------------
                                                                        
61.24-61.25.............................................       2060-0191
61.32-61.34.............................................       2060-0092
61.53-61.55.............................................       2060-0097
61.65(b)-(d)............................................       2060-0071
61.67-61.71.............................................       2060-0071
61.93-61.95.............................................       2060-0191
61.103-61.105...........................................       2060-0191
61.107..................................................       2060-0191
61.123-61.124...........................................       2060-0191
61.126..................................................       2060-0191
61.132-61.133...........................................       2060-0185
61.135-61.139...........................................       2060-0185
61.142..................................................       2060-0101
61.144-61.147...........................................       2060-0101
61.149..................................................       2060-0101
61.150-61.155...........................................       2060-0101
61.163-61.165...........................................       2060-0043
61.203..................................................       2060-0191
61.206-61.209...........................................       2060-0191
61.223-61.224...........................................       2060-0191
61.242-1................................................       2060-0068
61.242-2................................................       2060-0068
61.242-3................................................       2060-0068
61.242-4................................................       2060-0068
61.242-7................................................       2060-0068
61.242-8................................................       2060-0068
61.242-10...............................................       2060-0068
61.242-11...............................................       2060-0068
61.243-1................................................       2060-0068
61.243-2................................................       2060-0068
61.244-61.247...........................................       2060-0068
61.253-61.255...........................................       2060-0191
61.271-61.276...........................................       2060-0185
61.300..................................................       2060-0182
61.302-61.305...........................................       2060-0182
61.342..................................................       2060-0183
61.344-61.349...........................................       2060-0183
61.354-61.357...........................................       2060-0183
                                                                        
------------------------------------------------------------------------
   National Emission Standards for Hazardous Air Pollutants for Source  
                             Categories \3\                             
------------------------------------------------------------------------
                                                                        
------------------------------------------------------------------------
63.52-63.56.............................................       2060-0266
63.72...................................................       2060-0222
63.74-63.79.............................................       2060-0222
63.91-63.96.............................................       2060-0264
63.103..................................................       2060-0282
63.105..................................................       2060-0282
63.117-63.118...........................................       2060-0282
63.122-63.123...........................................       2060-0282
63.129-63.130...........................................       2060-0282
63.146-63.148...........................................       2060-0282
63.151-63.152...........................................       2060-0282
63.181-63.182...........................................       2060-0282
63.302-63.311...........................................       2060-0253
63.322-63.325...........................................       2060-0234
63.345-63.347...........................................       2060-0327
63.363-63.367...........................................       2060-0283
63.403-63.406...........................................       2060-0268
63.420..................................................       2060-0325
63.422-63.428...........................................       2060-0325
63.467-63.468...........................................       2060-0273
63.525-63.528...........................................       2060-0290
63.548-63.550...........................................       2060-0296
63.563-63.567...........................................       2060-0289
63.653..................................................       2060-0340
63.654..................................................       2060-0340
63.703-63.707...........................................       2060-0326
63.752-63.753...........................................       2060-0341
63.806-63.807...........................................       2060-0324
63.829-63.830...........................................       2060-0335
                                                                        
------------------------------------------------------------------------
                 Chemical Accident Prevention Provisions                
                                                                        
------------------------------------------------------------------------
68.120 (a), (e), and (g)................................       2050-0127
                                                                        
------------------------------------------------------------------------
                     State Operating Permit Programs                    
                                                                        
------------------------------------------------------------------------
70.3-70.11..............................................       2060-0243
                                                                        
------------------------------------------------------------------------
                    Federal Operating Permit Programs                   
                                                                        
------------------------------------------------------------------------
71.5....................................................       2060-0336
71.6(a),(c),(d),(g).....................................       2060-0336
71.7....................................................       2060-0336
71.9(e)-(j).............................................       2060-0336
71.24-71.26.............................................       2060-0276
                                                                        
------------------------------------------------------------------------
                           Permits Regulation                           
                                                                        
------------------------------------------------------------------------
72.7-72.10..............................................       2060-0258
72.20-72.25.............................................       2060-0258
72.30-72.33.............................................       2060-0258
72.40-72.44.............................................       2060-0258
72.50-72.51.............................................       2060-0258
72.60-72.69.............................................       2060-0258
72.70-72.74.............................................       2060-0258
72.80-72.85.............................................       2060-0258
72.90-72.96.............................................       2060-0258
                                                                        
------------------------------------------------------------------------
                            Allowance System                            
                                                                        
------------------------------------------------------------------------
73.10-73.13.............................................       2060-0261
73.16...................................................       2060-0261
73.18-73.21.............................................       2060-0261
73.30-73.38.............................................       2060-0258
73.50-73.53.............................................       2060-0258
73.70-73.77.............................................       2060-0221
73.80-73.86.............................................       2060-0258
73.90...................................................       2060-0258
                                                                        
------------------------------------------------------------------------
                         Sulfur Dioxide Opt-ins                         
                                                                        
------------------------------------------------------------------------
74.12...................................................       2060-0258
74.14...................................................       2060-0258
74.16...................................................       2060-0258
74.18...................................................       2060-0258

[[Page 266]]

                                                                        
74.20...................................................       2060-0258
74.22...................................................       2060-0258
74.24-74.25.............................................       2060-0258
74.41...................................................       2060-0258
74.43-74.44.............................................       2060-0258
74.46-74.47.............................................       2060-0258
74.60-74.64.............................................       2060-0258
                                                                        
------------------------------------------------------------------------
                     Continuous Emission Monitoring                     
                                                                        
------------------------------------------------------------------------
75.4-75.5...............................................       2060-0258
75.10-75.18.............................................       2060-0258
75.20-75.24.............................................       2060-0258
75.30-75.34.............................................       2060-0258
75.40-75.48.............................................       2060-0258
75.50-75.52.............................................       2060-0258
75.53-75.56.............................................       2060-0258
75.60-75.67.............................................       2060-0258
                                                                        
------------------------------------------------------------------------
               Nitrogen Oxides Emission Reduction Program               
                                                                        
------------------------------------------------------------------------
76.8-76.15..............................................       2060-0258
                                                                        
------------------------------------------------------------------------
                            Excess Emissions                            
                                                                        
------------------------------------------------------------------------
77.3-77.6...............................................       2060-0258
                                                                        
------------------------------------------------------------------------
                 Appeal Procedures for Acid Rain Program                
                                                                        
------------------------------------------------------------------------
78.1-78.20..............................................       2060-0258
                                                                        
------------------------------------------------------------------------
                Registration of Fuels and Fuel Additives                
                                                                        
------------------------------------------------------------------------
79.10-79.11.............................................       2060-0150
79.20-79.21.............................................       2060-0150
79.31-79.33.............................................       2060-0150
79.51(a), (c), (d), (g), (h)............................       2060-0150
79.52...................................................       2060-0150
79.57(a)(5).............................................       2060-0150
79.57(f)(5).............................................       2060-0150
79.58(e)................................................       2060-0150
79.59(b)-(d)............................................       2060-0150
79.60...................................................       2060-0150
79.61(e)................................................       2060-0150
79.62-79.68.............................................       2060-0297
                                                                        
------------------------------------------------------------------------
                 Regulation of Fuels and Fuel Additives                 
                                                                        
------------------------------------------------------------------------
80.20...................................................       2060-0066
80.25...................................................       2060-0066
80.27...................................................       2060-0178
80.29(c)................................................       2060-0308
80.141(c)-(f)...........................................       2060-0275
80.157..................................................       2060-0275
80.158..................................................       2060-0275
80.160..................................................       2060-0275
                                                                        
------------------------------------------------------------------------
                   Protection of Stratospheric Ozone                    
                                                                        
------------------------------------------------------------------------
82.9-82.13..............................................       2060-0170
82.21...................................................       2060-0170
82.36...................................................       2060-0247
82.38...................................................       2060-0247
82.40...................................................       2060-0247
82.42...................................................       2060-0247
82.122..................................................       2060-0259
82.156..................................................       2060-0256
82.160-82.162...........................................       2060-0256
82.164..................................................       2060-0256
82.166..................................................       2060-0256
82.176(a)...............................................       2060-0226
82.176(c)(3)............................................       2060-0226
82.178..................................................       2060-0226
82.180(a)(5)............................................       2060-0226
82.180(b)(3)............................................       2060-0226
82.184(c)...............................................       2060-0226
82.184(e)...............................................       2060-0226
                                                                        
------------------------------------------------------------------------
 Control of Air Pollution From Motor Vehicles and Motor Vehicle Engines 
                                                                        
------------------------------------------------------------------------
85.503..................................................       2060-0104
85.505..................................................       2060-0104
85.1503-85.1507.........................................       2060-0095
85.1509-85.1510.........................................       2060-0095
85.1511(b)-(d), (f).....................................       2060-0095
85.1511(b)(3)...........................................       2060-0007
85.1512.................................................       2060-0095
85.1514-85.1515.........................................       2060-0095
85.1703.................................................       2060-0124
85.1705-85.1706.........................................       2060-0007
85.1901-85.1909.........................................       2060-0048
85.2112-85.2123.........................................       2060-0065
85.2114.................................................       2060-0016
85.2115.................................................       2060-0016
                                                                        
------------------------------------------------------------------------
 Control of Air Pollution From New and In-Use Motor Vehicles and New and
     In-Use Motor Vehicle Engines: Certification and Test Procedures    
                                                                        
------------------------------------------------------------------------
86.079-31-86.079-33.....................................       2060-0104
86.079-36...............................................       2060-0104
86.079-39...............................................       2060-0104
86.080-12...............................................       2060-0104
86.082-34...............................................       2060-0104
86.085-13...............................................       2060-0104
86.085-37...............................................       2060-0104
86.087-38...............................................       2060-0104
86.090..................................................       2060-0104
86.090-21...............................................       2060-0104
86.090-25...............................................       2060-0104
86.090-26...............................................       2060-0104
86.090-27...............................................       2060-0104
86.091-7................................................       2060-0104
86.091-15...............................................       2060-0104
86.091-21...............................................       2060-0104
86.091-23...............................................       2060-0104
86.091-28...............................................       2060-0104
86.091-30...............................................       2060-0104
86.092-14...............................................       2060-0104
86.092-15...............................................       2060-0104
86.092-23...............................................       2060-0104
86.092-24...............................................       2060-0104
86.092-26...............................................       2060-0104
86.092-35...............................................       2060-0104
86.094-7-86.094-9.......................................       2060-0104
86.094-15-86.094-16.....................................       2060-0104
86.094-17...............................................       2060-0104
86.094-18...............................................       2060-0104
86.094-21...............................................       2060-0104
86.094-23...............................................       2060-0104
86.094-24(a)(3)(iii)....................................       2060-0314
86.094-25...............................................       2060-0104
86.094-30...............................................       2060-0104
86.094-35...............................................       2060-0104
86.094-38...............................................       2060-0104
86.095-14...............................................       2060-0104
86.095-23...............................................       2060-0104
86.095-24...............................................       2060-0104
86.095-26...............................................       2060-0104

[[Page 267]]

                                                                        
86.095-30...............................................       2060-0104
86.095-35...............................................       2060-0104
86.096-7................................................       2060-0104
86.096-8................................................       2060-0104
86.096-9................................................       2060-0104
86.096-10...............................................       2060-0104
86.096-14...............................................       2060-0104
86.096-21...............................................       2060-0104
86.096-23...............................................       2060-0104
86.096-24...............................................       2060-0104
86.096-26...............................................       2060-0104
86.096-30...............................................       2060-0104
86.096-35...............................................       2060-0104
86.097-9................................................       2060-0104
86.098-23...............................................       2060-0104
86.098-28...............................................       2060-0104
86.099-8................................................       2060-0104
86.099-9................................................       2060-0104
86.099-10...............................................       2060-0104
86.111-94...............................................       2060-0104
86.113-82...............................................       2060-0104
86.113-87...............................................       2060-0104
86.113-90...............................................       2060-0104
86.113-91...............................................       2060-0104
86.113-94...............................................       2060-0104
86.135-82...............................................       2060-0104
86.135-90...............................................       2060-0104
86.135-94...............................................       2060-0104
86.142-90...............................................       2060-0104
86.144-90...............................................       2060-0104
86.144-94...............................................       2060-0104
86.150-98...............................................       2060-0104
86.336-79...............................................       2060-0104
86.337-79...............................................       2060-0104
86.412-78...............................................       2060-0104
86.414-78...............................................       2060-0104
86.415-78...............................................       2060-0104
86.416-80...............................................       2060-0104
86.421-78...............................................       2060-0104
86.423-78...............................................       2060-0104
86.427-78...............................................       2060-0104
86.428-80...............................................       2060-0104
86.429-78...............................................       2060-0104
86.431-78...............................................       2060-0104
86.432-78...............................................       2060-0104
86.434-78...............................................       2060-0104
86.435-78...............................................       2060-0104
86.436-78...............................................       2060-0104
86.437-78...............................................       2060-0104
86.438-78...............................................       2060-0104
86.439-78...............................................       2060-0104
86.440-78...............................................       2060-0104
86.513-94...............................................       2060-0104
86.537-90...............................................       2060-0104
86.542-90...............................................       2060-0104
86.603-88...............................................       2060-0064
86.604-84...............................................       2060-0064
86.605-88...............................................       2060-0064
86.606-84...............................................       2060-0064
86.607-84...............................................       2060-0064
86.608-88...............................................       2060-0064
86.608-90...............................................       2060-0064
86.608-96...............................................       2060-0104
86.609-84...............................................       2060-0064
86.609-96...............................................       2060-0104
86.612-84...............................................       2060-0064
86.614-84...............................................       2060-0064
86.615-84...............................................       2060-0064
86.709-94...............................................       2060-0104
86.709-99...............................................       2060-0104
86.884-5................................................       2060-0104
86.884-7................................................       2060-0104
86.884-9................................................       2060-0104
86.884-10...............................................       2060-0104
86.884-12...............................................       2060-0104
86.884-13...............................................       2060-0104
86.1003-88..............................................       2060-0064
86.1003-90..............................................       2060-0064
86.1004-84..............................................       2060-0064
86.1005-88..............................................       2060-0064
68.1005-90..............................................       2060-0064
86.1006-84..............................................       2060-0064
86.1007-84..............................................       2060-0064
86.1008-88..............................................       2060-0064
86.1008-90..............................................       2060-0064
86.1008-96..............................................       2060-0104
86.1009-84..............................................       2060-0064
86.1009-96..............................................       2060-0104
86.1012-84..............................................       2060-0064
86.1014-84..............................................       2060-0064
86.1015-87..............................................       2060-0064
86.1106-87..............................................       2060-0132
86.1108-87..............................................       2060-0132
86.1110-87..............................................       2060-0132
86.1111-87..............................................       2060-0104
86.1112-87-86.1115-87...................................       2060-0132
86.1213-85..............................................       2060-0104
86.1213-87..............................................       2060-0104
86.1242-85..............................................       2060-0104
86.1242-90..............................................       2060-0104
86.1308-84..............................................       2060-0104
86.1310-90..............................................       2060-0104
86.1311-94..............................................       2060-0104
86.1313-84..............................................       2060-0104
86.1313-87..............................................       2060-0104
86.1313-90..............................................       2060-0104
86.1313-91..............................................       2060-0104
86.1313-94..............................................       2060-0104
86.1314-84..............................................       2060-0104
86.1316-84..............................................       2060-0104
86.1316-90..............................................       2060-0104
86.1319-84..............................................       2060-0104
86.1319-90..............................................       2060-0104
86.1321-84..............................................       2060-0104
86.1321-90..............................................       2060-0104
86.1323-84..............................................       2060-0104
86.1327-84..............................................       2060-0104
86.1327-88..............................................       2060-0104
86.1327-90..............................................       2060-0104
86.1332-84..............................................       2060-0104
86.1332-90..............................................       2060-0104
86.1334-84..............................................       2060-0104
86.1335-90..............................................       2060-0104
86.1336-84..............................................       2060-0104
86.1340-84..............................................       2060-0104
86.1340-90..............................................       2060-0104
86.1341-90..............................................       2060-0104
86.1342-90..............................................       2060-0104
86.1344-94..............................................       2060-0104
86.1413.................................................       2060-0104
86.1427.................................................       2060-0104
86.1432.................................................       2060-0104
86.1434.................................................       2060-0104
86.1437.................................................       2060-0104
86.1442.................................................       2060-0104
86.1542-84..............................................       2060-0104
86.1544-84..............................................       2060-0104
86.2500.................................................       2060-0104
                                                                        
------------------------------------------------------------------------
                           Clean-Fuel Vehicles                          
                                                                        
------------------------------------------------------------------------
88.104-94 (a), (c), (e), (f), (g), (h), (i), (j), (k)...       2060-0104
88.105-94...............................................       2060-0104
88.204-94(b)(1).........................................       2060-0314
88.204-94(c)............................................       2060-0314

[[Page 268]]

                                                                        
88.305-94...............................................       2060-0104
88.306-94(a), (b) introductory text.....................       2060-0104
88.306-94(b)(1).........................................       2060-0314
88.306-94(b)(2).........................................       2060-0314
88.306-94(b)(4).........................................       2060-0314
88.306-94(c)............................................       2060-0314
88.306-94(f)............................................       2060-0314
                                                                        
------------------------------------------------------------------------
        Control of Emissions From New and In-Use Nonroad Engines        
                                                                        
------------------------------------------------------------------------
89.1....................................................       2060-0124
89.2....................................................       2060-0124
89.114-96-89.120-96.....................................       2060-0287
89.122-96-89.127-96.....................................       2060-0287
89.129-96...............................................       2060-0287
89.203-96-89.207-96.....................................       2060-0287
89.209-96-89.211-96.....................................       2060-0287
89.304-96-89.331-96.....................................       2060-0287
89.404-96-89.424-96.....................................       2060-0287
89.505-89.905...........................................       2060-0064
89.511..................................................       2060-0064
89.512..................................................       2060-0064
89.603-89.605...........................................       2060-0095
89.607-89.610...........................................       2060-0095
89.611..................................................      2060-0007,
                                                               2060-0095
89.612..................................................       2060-0095
89.801..................................................       2060-0048
89.803..................................................       2060-0048
89.903..................................................       2060-0048
89.905..................................................       2060-0007
89.906..................................................       2060-0007
                                                                        
------------------------------------------------------------------------
        Control of Emissions From New and In-use Nonroad Engines        
90.107-90.108...........................................       2060-0338
90.113..................................................       2060-0338
90.115-90.124...........................................       2060-0338
90.126..................................................       2060-0338
90.304-90.329...........................................       2060-0338
90.404-90.427...........................................       2060-0338
90.505-90.509...........................................       2060-0295
90.511-90.512...........................................       2060-0295
90.604..................................................       2060-0294
90.611-90.613...........................................       2060-0294
90.800..................................................       2060-0048
90.802-90.804...........................................       2060-0048
90.806..................................................       2060-0048
90.903..................................................       2060-0124
90.905-90.906...........................................       2060-0007
                                                                        
------------------------------------------------------------------------
      Determining Conformity of Federal Actions to State or Federal     
                          Implementation Plans                          
                                                                        
------------------------------------------------------------------------
93.150-93.160...........................................       2060-0279
                                                                        
------------------------------------------------------------------------
                        Mandatory Patent Licenses                       
                                                                        
------------------------------------------------------------------------
95.2....................................................       2060-0307
                                                                        
------------------------------------------------------------------------
                        Oil Pollution Prevention                        
                                                                        
------------------------------------------------------------------------
112.1-112.7.............................................       2050-0021
                                                                        
------------------------------------------------------------------------
 Oil Pollution Prevention; Non-Transportation-Related Onshore Facilities
                                                                        
------------------------------------------------------------------------
112.20..................................................       2050-0135
                                                                        
------------------------------------------------------------------------
   Designation, Reportable Quantities, and Notification for Hazardous   
                               Substances                               
                                                                        
------------------------------------------------------------------------
116.4...................................................       2050-0046
117.3...................................................       2050-0046
117.21..................................................       2050-0046
                                                                        
------------------------------------------------------------------------
   EPA Administered Permit Programs: The National Pollutant Discharge   
                           Elimination System                           
                                                                        
------------------------------------------------------------------------
122.21(f)-(l)...........................................      2040-0086,
                                                               2040-0170
122.21(j)(4)............................................       2040-0150
122.21(m)-(p)...........................................      2040-0068,
                                                               2040-0170
122.26(c), (d)..........................................       2040-0086
122.41(h)...............................................      2040-0068,
                                                               2040-0170
122.41(j)...............................................      2040-0009,
                                                              2040-0110,
                                                               2040-0170
122.41(l)...............................................      2040-0110,
                                                              2040-0068,
                                                               2040-0170
122.42(c)...............................................       2040-0086
122.42(a), (b), (l).....................................      2040-0068,
                                                               2040-0170
122.44(g), (i)..........................................      2040-0004,
                                                               2040-0170
122.44(r)...............................................       2040-0180
122.45(b)...............................................      2040-0004,
                                                               2040-0110
122.45(b)(4)............................................       2040-0068
122.47(a)...............................................      2040-0110,
                                                               2040-0170
122.47(b)...............................................      2040-0110,
                                                              2040-0068,
                                                               2040-0170
122.48..................................................      2040-0004,
                                                               2040-0170
122.62(a)...............................................      2040-0068,
                                                               2040-0170
122.63..................................................      2040-0068,
                                                               2040-0170
                                                                        
------------------------------------------------------------------------
                        State Permit Requirements                       
                                                                        
------------------------------------------------------------------------
123.21-123.24...........................................      2040-0057,
                                                               2040-0170
123.25..................................................      2040-0004,
                                                              2040-0110,
                                                              2040-0170,
                                                               2040-0180
123.26-123.29...........................................      2040-0057,
                                                               2040-0170
123.43..................................................      2040-0057,
                                                               2040-0170
123.44..................................................      2040-0057,
                                                              2040-0170,
                                                               2040-0180
123.45..................................................      2040-0057,
                                                               2040-0170
123.62..................................................      2040-0057,
                                                              2040-0170,
                                                               2040-0180

[[Page 269]]

                                                                        
123.63..................................................      2040-0057,
                                                              2040-0170,
                                                               2040-0180
123.64..................................................      2040-0057,
                                                               2040-0170
                                                                        
------------------------------------------------------------------------
                      Procedures for Decisionmaking                     
                                                                        
------------------------------------------------------------------------
124.5...................................................       2040-0068
124.31..................................................       2050-0149
124.32..................................................       2050-0149
124.33..................................................       2050-0149
124.53-124.54...........................................       2040-0057
                                                                        
------------------------------------------------------------------------
 Criteria and Standards for the National Pollutant Discharge Elimination
                                 System                                 
                                                                        
------------------------------------------------------------------------
125.59-125.67, and Appendix A and B.....................       2040-0088
                                                                        
------------------------------------------------------------------------
                  Water Quality Planning and Management                 
                                                                        
------------------------------------------------------------------------
130.6-130.10............................................       2040-0071
130.15..................................................       2040-0071
                                                                        
------------------------------------------------------------------------
                   Water Quality Standards Regulation                   
                                                                        
------------------------------------------------------------------------
131.1...................................................       2040-0180
131.5...................................................       2040-0180
131.6-131.8.............................................       2040-0049
131.20..................................................       2040-0049
131.21..................................................      2040-0049,
                                                               2040-0180
131.22..................................................       2040-0049
131.31-131.36...........................................       2040-0049
                                                                        
------------------------------------------------------------------------
            Water Quality Guidance for the Great Lakes System           
                                                                        
------------------------------------------------------------------------
132.1...................................................       2040-0180
132.2...................................................       2040-0180
132.3...................................................       2040-0180
132.4...................................................       2040-0180
132.5...................................................       2040-0180
Part 132, Appendix A....................................       2040-0180
Part 132, Appendix B....................................       2040-0180
Part 132, Appendix C....................................       2040-0180
Part 132, Appendix D....................................       2040-0180
Part 132, Appendix E....................................       2040-0180
Part 132, Appendix F....................................       2040-0180
                                                                        
------------------------------------------------------------------------
              National Primary Drinking Water Regulations               
                                                                        
------------------------------------------------------------------------
141.2...................................................       2040-0090
141.4...................................................       2040-0090
141.11-141.15...........................................       2040-0090
141.21-141.22...........................................       2040-0090
141.23-141.24...........................................       2040-0090
141.25-141.30...........................................       2040-0090
141.31-141.32...........................................       2040-0090
141.33-141.35...........................................       2040-0090
141.40..................................................       2040-0090
141.41-141.43...........................................       2040-0090
141.50-141.52...........................................       2040-0090
141.60-141.63...........................................       2040-0090
141.70-141.75...........................................       2040-0090
141.80-141.91...........................................       2040-0090
141.100.................................................       2040-0090
141.110-141.111.........................................       2040-0090
                                                                        
------------------------------------------------------------------------
       National Primary Drinking Water Regulations Implementation       
                                                                        
------------------------------------------------------------------------
142.2-142.3.............................................       2040-0090
142.10-142.15...........................................       2040-0090
142.16..................................................       2060-0090
142.17-142.24...........................................       2040-0090
142.56-142.57...........................................       2040-0090
142.60-142.61...........................................       2040-0090
142.62..................................................       2040-0090
142.63-142.64...........................................       2040-0090
142.70-142.78...........................................       2040-0090
142.81-142.81...........................................       2040-0090
                                                                        
------------------------------------------------------------------------
                  Underground Injection Control Program                 
                                                                        
------------------------------------------------------------------------
144.8...................................................       2040-0042
144.12..................................................       2040-0042
144.14-144.15...........................................       2040-0042
144.23..................................................       2040-0042
144.25-144.28...........................................       2040-0042
144.31-144.33...........................................       2040-0042
144.38..................................................       2040-0042
144.41..................................................       2040-0042
144.51-144.55...........................................       2040-0042
144.62-144.66...........................................       2040-0042
144.70..................................................       2040-0042
                                                                        
------------------------------------------------------------------------
      Underground Injection Control Program: Criteria and Standards     
                                                                        
------------------------------------------------------------------------
146.10..................................................       2040-0042
146.12-146.15...........................................       2040-0042
146.22-146.25...........................................       2040-0042
146.32-146.35...........................................       2040-0042
146.52..................................................       2040-0042
146.64..................................................       2040-0042
146.66-146.73...........................................       2040-0042
                                                                        
------------------------------------------------------------------------
              State Underground Injection Control Programs              
                                                                        
------------------------------------------------------------------------
147.104.................................................       2040-0042
147.304-147.305.........................................       2040-0042
147.504.................................................       2040-0042
147.754.................................................       2040-0042
147.904.................................................       2040-0042
147.1154................................................       2040-0042
147.1354-147.1355.......................................       2040-0042
147.1454................................................       2040-0042
147.1654................................................       2040-0042
147.1954................................................       2040-0042
147.2103-147.2104.......................................       2040-0042
147.2154................................................       2040-0042
147.2402................................................       2040-0042
147.2905................................................       2040-0042
147.2912-147.2913.......................................       2040-0042
147.2915................................................       2040-0042
147.2918................................................       2040-0042
147.2920-147.2926.......................................       2040-0042
147.2929................................................       2040-0042
147.3002-147.3003.......................................       2040-0042
147.3006-147.3007.......................................       2040-0042
147.3011................................................       2040-0042
147.3014-147.3016.......................................       2040-0042
147.3101................................................       2040-0042
147.3104-147.3105.......................................       2040-0042
147.3107-147.3109.......................................       2040-0042
                                                                        
------------------------------------------------------------------------

[[Page 270]]

                                                                        
                 Hazardous Waste Injection Restrictions                 
                                                                        
------------------------------------------------------------------------
148.5...................................................       2040-0042
148.20-148.23...........................................       2040-0042
                                                                        
------------------------------------------------------------------------
          Pesticide Registration and Classification Procedures          
                                                                        
------------------------------------------------------------------------
152.46..................................................       2070-0060
152.50..................................................      2070-0024,
                                                             2070-0040 &
                                                               2070-0060
152.80..................................................     2070-0040 &
                                                               2070-0060
152.85..................................................     2070-0040 &
                                                               2070-0060
152.98..................................................       2070-0060
152.122.................................................       2070-0060
152.132.................................................       2070-0044
152.135.................................................       2070-0060
152.164.................................................       2070-0060
152.404.................................................     2070-0040 &
                                                               2070-0060
152.406.................................................     2070-0040 &
                                                               2070-0060
152.412.................................................     2070-0040 &
                                                               2070-0060
152.414.................................................     2070-0040 &
                                                               2070-0060
                                                                        
------------------------------------------------------------------------
                         Registration Standards                         
                                                                        
------------------------------------------------------------------------
155.30..................................................       2070-0057
                                                                        
------------------------------------------------------------------------
            Labeling Requirements for Pesticides and Devices            
                                                                        
------------------------------------------------------------------------
156.36..................................................       2070-0052
156.206.................................................       2070-0060
156.208.................................................       2070-0060
156.210.................................................       2070-0060
156.212.................................................       2070-0060
                                                                        
------------------------------------------------------------------------
            Packaging Requirements for Pesticides and Devices           
                                                                        
------------------------------------------------------------------------
157.22..................................................       2070-0052
157.24..................................................       2070-0052
157.34..................................................       2070-0052
157.36..................................................       2070-0052
                                                                        
------------------------------------------------------------------------
                   Data Requirements for Registration                   
                                                                        
------------------------------------------------------------------------
158.30..................................................      2070-0040,
                                                              2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.32..................................................      2070-0040,
                                                              2070-0053,
                                                              2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.34..................................................      2070-0040,
                                                              2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.45..................................................      2070-0040,
                                                              2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.75..................................................      2070-0040,
                                                              2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.101.................................................      2070-0040,
                                                              2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.155.................................................      2070-0040,
                                                              2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.160.................................................      2070-0040,
                                                              2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.162.................................................      2070-0040,
                                                              2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.165.................................................      2070-0040,
                                                              2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.167.................................................      2070-0040,
                                                              2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.170.................................................      2070-0040,
                                                              2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.175.................................................      2070-0040,
                                                              2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.180.................................................      2070-0040,
                                                              2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.190.................................................      2070-0040,
                                                              2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.240.................................................      2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.290.................................................      2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.340.................................................      2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.390.................................................      2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.440.................................................      2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.490.................................................      2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.540.................................................      2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.590.................................................      2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.640.................................................      2070-0057,
                                                             2070-0060 &
                                                               2070-0107
158.690.................................................      2070-0057,
                                                             2070-0060 &
                                                               2070-0107

[[Page 271]]

                                                                        
158.740.................................................      2070-0057,
                                                             2070-0060 &
                                                               2070-0107
                                                                        
------------------------------------------------------------------------
                   Good Laboratory Practice Standards                   
                                                                        
------------------------------------------------------------------------
part 160................................................      2070-0024,
                                                              2070-0032,
                                                              2070-0040,
                                                              2070-0055,
                                                              2070-0057,
                                                             2070-0060 &
                                                               2070-0107
                                                                        
------------------------------------------------------------------------
                State Registration of Pesticide Products                
                                                                        
------------------------------------------------------------------------
162.153.................................................       2070-0055
                                                                        
------------------------------------------------------------------------
           Certification of Usefulness of Pesticide Chemicals           
                                                                        
------------------------------------------------------------------------
163.4...................................................     2070-0060 &
                                                               2070-0024
163.5...................................................     2070-0060 &
                                                               2070-0024
                                                                        
------------------------------------------------------------------------
   Exemption of Federal and State Agencies for Use of Pesticides Under  
                          Emergency Conditions                          
                                                                        
------------------------------------------------------------------------
166.20..................................................       2070-0032
166.32..................................................       2070-0032
166.43..................................................       2070-0032
166.50..................................................       2070-0032
                                                                        
------------------------------------------------------------------------
        Registration of Pesticide and Active Ingredient Producing       
             Establishments, Submission of Pesticide Reports            
                                                                        
------------------------------------------------------------------------
part 167................................................       2070-0078
                                                                        
------------------------------------------------------------------------
         Statements of Enforcement Policies and Interpretations         
                                                                        
------------------------------------------------------------------------
168.65..................................................       2070-0027
168.75..................................................       2070-0027
168.85..................................................      2070-0027,
                                                            2070-0028, &
                                                               2070-0078
                                                                        
------------------------------------------------------------------------
       Books and Records of Pesticide Production and Distribution       
                                                                        
------------------------------------------------------------------------
169.2...................................................       2070-0028
                                                                        
------------------------------------------------------------------------
         Worker Protection Standards for Agricultural Pesticides        
                                                                        
------------------------------------------------------------------------
170.112.................................................       2070-0060
part 170................................................       2070-0148
                                                                        
------------------------------------------------------------------------
                 Certification of Pesticide Applicators                 
                                                                        
------------------------------------------------------------------------
171.7...................................................       2070-0029
171.8...................................................       2070-0029
171.9...................................................       2070-0029
171.10..................................................       2070-0029
171.11..................................................       2070-0029
                                                                        
------------------------------------------------------------------------
                        Experimental Use Permits                        
                                                                        
------------------------------------------------------------------------
172.4...................................................       2070-0040
172.8...................................................       2070-0040
                                                                        
------------------------------------------------------------------------
                  Issuance of Food Additive Regulations                 
                                                                        
------------------------------------------------------------------------
177.81..................................................       2070-0024
177.92..................................................       2070-0024
177.98..................................................       2070-0024
177.99..................................................       2070-0024
177.102.................................................       2070-0024
177.105.................................................       2070-0024
177.110.................................................       2070-0024
177.116.................................................       2070-0024
                                                                        
------------------------------------------------------------------------
 Tolerances and Exemptions from Tolerances for Pesticide Chemicals in or
                     on Raw Agricultural Commodities                    
                                                                        
------------------------------------------------------------------------
180.7...................................................       2070-0024
180.8...................................................       2070-0024
180.9...................................................       2070-0024
180.31..................................................       2070-0024
180.32..................................................       2070-0024
180.33..................................................       2070-0024
                                                                        
------------------------------------------------------------------------
                      404 State Program Regulations                     
                                                                        
------------------------------------------------------------------------
233.10-233.12...........................................       2040-0168
233.21..................................................       2040-0168
233.30..................................................       2040-0168
233.50..................................................       2040-0168
233.52..................................................       2040-0168
233.61..................................................       2040-0140
                                                                        
------------------------------------------------------------------------
              Criteria for Municipal Solid Waste Landfills              
                                                                        
------------------------------------------------------------------------
258.10-258.16...........................................       2050-0122
258.20..................................................       2050-0122
258.23..................................................       2050-0122
258.28-258.29...........................................       2050-0122
258.51..................................................       2050-0122
258.53-258.55...........................................       2050-0122
258.57-258.58...........................................       2050-0122
258.60-258.61...........................................       2050-0122
258.71-258.74...........................................       2050-0122
                                                                        
------------------------------------------------------------------------
               Hazardous Waste Management System: General               
                                                                        
------------------------------------------------------------------------
260.20-260.22...........................................       2050-0053
260.23..................................................       2050-0145
260.31-260.33...........................................       2050-0053
                                                                        
------------------------------------------------------------------------
              Identification and Listing of Hazardous Waste             
                                                                        
------------------------------------------------------------------------
261.3...................................................       2050-0085
261.4...................................................       2050-0053
261.35..................................................       2050-0115
                                                                        
------------------------------------------------------------------------
          Standards Applicable to Generators of Hazardous Waste         
                                                                        
------------------------------------------------------------------------
262.12..................................................       2050-0028
262.20..................................................       2050-0039
262.22-262.23...........................................       2050-0039
262.34..................................................      2050-0035,
                                                               2050-0085

[[Page 272]]

                                                                        
262.40(a)...............................................       2050-0039
262.40(b)...............................................       2050-0024
262.40(c)...............................................       2050-0035
262.41..................................................       2050-0024
262.42..................................................       2050-0039
262.43..................................................       2050-0035
262.44(a)-(b)...........................................       2050-0039
262.44(c)...............................................       2050-0035
262.53-262.57...........................................       2050-0035
262.60..................................................       2050-0035
                                                                        
------------------------------------------------------------------------
         Standards Applicable to Transporters of Hazardous Waste        
                                                                        
------------------------------------------------------------------------
263.11..................................................       2050-0028
263.20-263.22...........................................       2050-0039
263.30..................................................       2050-0039
                                                                        
------------------------------------------------------------------------
    Standards for Owners and Operators of Hazardous Waste Treatment,    
                    Storage, and Disposal Facilities                    
                                                                        
------------------------------------------------------------------------
264.11..................................................       2050-0028
264.12 (a)..............................................       2050-0120
264.13..................................................     2050-0120 &
                                                               2050-0009
264.14..................................................       2050-0009
264.15..................................................     2050-0120 &
                                                               2050-0009
264.16..................................................     2050-0120 &
                                                               2050-0009
264.17..................................................       2050-0120
264.18..................................................       2050-0009
264.19..................................................       2050-0009
264.32..................................................       2050-0009
264.35..................................................       2050-0009
264.37..................................................       2050-0120
264.51..................................................       2050-0009
264.52..................................................       2050-0009
264.53..................................................       2050-0120
264.54..................................................       2050-0120
264.56..................................................       2050-0120
264.71..................................................       2050-0039
264.72..................................................       2050-0039
264.73..................................................       2050-0120
264.74..................................................       2050-0120
264.75..................................................       2050-0024
264.76..................................................       2050-0039
264.90..................................................       2050-0009
264.96..................................................       2050-0120
264.97 (g)..............................................       2050-0120
264.97 (h)..............................................       2050-0009
264.97 (j)..............................................       2050-0120
264.98 (c), (g)(1), (g)(5), (g)(6)......................       2050-0033
264.98 (g)(4), (h)......................................       2050-0009
264.99 (c), (g), (h)(1), (i)(1), (i)(2).................       2050-0033
264.99 (h)(2), (i)(3), (j)..............................       2050-0009
264.100 (e), (f), (g)...................................       2050-0033
264.100 (h).............................................       2050-0009
264.101.................................................       2050-0120
264.112 (a), (b), (c)...................................       2050-0009
264.112 (d).............................................       2050-0120
264.113 (a), (b), (d)...................................       2050-0120
264.113 (e).............................................       2050-0050
264.115.................................................       2050-0120
264.116.................................................       2050-0120
264.118.................................................       2050-0009
264.119 (a) & (b).......................................       2050-0120
264.119 (c).............................................       2050-0009
264.120.................................................       2050-0120
264.142 (a).............................................       2050-0009
264.142 (b), (c), (d)...................................       2050-0120
264.143.................................................       2050-0120
264.144 (a).............................................       2050-0009
264.144 (b), (c), (d)...................................       2050-0120
264.145.................................................       2050-0120
264.147 (a)(7), (b)(7), (f),(g).........................       2050-0120
264.147 (a)(1), (b)(1), (c), (f), (g), (h), (i), (j)....       2050-0009
264.148.................................................       2050-0120
264.149.................................................       2050-0009
264.150.................................................       2050-0009
264.190.................................................       2050-0050
264.191.................................................       2050-0050
264.192 (a).............................................       2050-0009
264.192 (g).............................................       2050-0050
264.193 (c), (d), (e), (g), (h).........................       2050-0009
264.193 (i).............................................       2050-0050
264.196.................................................       2050-0050
264.197 (b).............................................       2050-0050
264.197 (c).............................................       2050-0009
264.221.................................................       2050-0009
264.222 (a).............................................       2050-0009
264.222 (b).............................................       2050-0050
264.223 (a).............................................       2050-0009
264.223 (b), (c)........................................       2050-0050
264.226 (c).............................................     2050-0050 &
                                                               2050-0009
264.226 (d).............................................       2050-0050
264.227.................................................       2050-0050
264.231.................................................       2050-0009
264.251.................................................       2050-0009
264.252 (a).............................................       2050-0009
264.252 (b).............................................       2050-0050
264.253 (a).............................................       2050-0009
264.253 (b), (c)........................................       2050-0050
264.254.................................................       2050-0050
264.259.................................................       2050-0009
264.271.................................................       2050-0009
264.272.................................................       2050-0009
264.276.................................................     2050-0050 &
                                                               2050-0009
264.278 (a)-(f), (h)....................................       2050-0050
264.278 (g).............................................     2050-0050 &
                                                               2050-0009
264.280.................................................       2050-0050
264.283.................................................       2050-0009
264.301.................................................       2050-0009
264.302 (a).............................................       2050-0009
264.302 (b).............................................       2050-0050
264.303 (a).............................................       2050-0009
264.303 (b).............................................       2050-0050
264.304 (a).............................................       2050-0009
264.304 (b), (c)........................................       2050-0050
264.314.................................................       2050-0050
264.317.................................................       2050-0009
264.340.................................................       2050-0009
264.343.................................................       2050-0050
264.344.................................................       2050-0009
264.347.................................................       2050-0050
264.552.................................................       2050-0009
264.570.................................................       2050-0050
264.571.................................................       2050-0050
264.573.................................................       2050-0050
264.574.................................................       2050-0050
264.575.................................................       2050-0009
264.603.................................................       2050-0050
264.1033 (a)............................................       2050-0009
264.1033 (j)............................................       2050-0050
264.1034................................................       2050-0050
264.1035................................................       2050-0050
264.1036................................................       2050-0050
264.1061................................................       2050-0050
264.1062................................................       2050-0050
264.1063................................................       2050-0050
264.1064................................................     2050-0050 &
                                                               2050-0009

[[Page 273]]

                                                                        
264.1065................................................       2050-0050
264.1089................................................       2060-0318
264.1090................................................       2060-0318
264.1100................................................       2050-0050
264.1101................................................       2050-0050
                                                                        
------------------------------------------------------------------------
  Interim Status Standards for Owners and Operators of Hazardous Waste  
               Treatment, Storage, and Disposal Facilities              
                                                                        
------------------------------------------------------------------------
265.11..................................................       2050-0028
265.12 (a)..............................................       2050-0120
265.13..................................................       2050-0120
265.15..................................................       2050-0120
265.16..................................................       2050-0120
265.19..................................................       2050-0120
265.37..................................................       2050-0120
265.51..................................................       2050-0120
265.52..................................................       2050-0120
265.53..................................................       2050-0120
265.54..................................................       2050-0120
265.56..................................................       2050-0120
265.71..................................................       2050-0039
265.72..................................................       2050-0039
265.73..................................................       2050-0120
265.75..................................................       2050-0024
265.76..................................................       2050-0039
265.90..................................................       2050-0033
265.92..................................................       2050-0033
265.93..................................................       2050-0033
265.94..................................................       2050-0033
265.112.................................................       2050-0120
265.113 (a), (b), (d)...................................       2050-0120
265.113 (e).............................................       2050-0050
265.115.................................................       2050-0120
265.116.................................................       2050-0120
265.118.................................................       2050-0120
265.119.................................................       2050-0120
265.120.................................................       2050-0120
265.142.................................................       2050-0120
265.143.................................................       2050-0120
265.144.................................................       2050-0120
265.145.................................................       2050-0120
265.147.................................................       2050-0120
265.148.................................................       2050-0120
265.149.................................................       2050-0120
265.150.................................................       2050-0120
265.190.................................................     2050-0035 &
                                                               2050-0050
265.191.................................................     2050-0035 &
                                                               2050-0050
265.192.................................................     2050-0035 &
                                                               2050-0050
265.193.................................................     2050-0035 &
                                                               2050-0050
265.195.................................................       2050-0120
265.196.................................................     2050-0035 &
                                                               2050-0050
265.197 (b).............................................       2050-0050
265.197 (c).............................................       2050-0120
265.221.................................................       2050-0050
265.222.................................................       2050-0050
265.223.................................................       2050-0050
265.225.................................................       2050-0050
265.226.................................................       2050-0050
265.229.................................................       2050-0050
265.254.................................................       2050-0050
265.255.................................................       2050-0050
265.259.................................................       2050-0050
265.260.................................................       2050-0050
265.273.................................................       2050-0120
265.276.................................................       2050-0050
265.278.................................................       2050-0050
265.280.................................................       2050-0050
265.301.................................................       2050-0050
265.302.................................................       2050-0050
265.303.................................................       2050-0050
265.304.................................................       2050-0050
265.314.................................................       2050-0050
265.340.................................................       2050-0050
265.352.................................................       2050-0050
265.383.................................................       2050-0050
265.404.................................................       2050-0050
265.440.................................................       2050-0050
265.441.................................................       2050-0050
265.443.................................................       2050-0050
265.444.................................................       2050-0050
265.445.................................................       2050-0120
265.1033................................................       2050-0050
265.1034................................................       2050-0050
265.1035................................................       2050-0050
265.1061................................................       2050-0050
265.1062................................................       2050-0050
265.1063................................................       2050-0050
265.1064................................................       2050-0050
265.1090................................................       2060-0318
265.1100................................................       2050-0050
265.1101................................................       2050-0050
                                                                        
------------------------------------------------------------------------
 Standards for the Management of Specific Hazardous Wastes and Specific 
             Types of Hazardous Waste Management Facilities             
                                                                        
------------------------------------------------------------------------
266.70 (b)..............................................       2050-0028
266.70 (c)..............................................       2050-0050
266.80..................................................       2050-0028
266.100.................................................       2050-0073
266.102.................................................       2050-0073
266.103.................................................       2050-0073
266.104.................................................       2050-0073
266.106.................................................       2050-0073
266.107.................................................       2050-0073
266.108.................................................       2050-0073
266.109.................................................       2050-0073
266.111.................................................       2050-0073
266.112.................................................       2050-0073
Appendix IX.............................................       2050-0073
                                                                        
------------------------------------------------------------------------
                       Land Disposal Restrictions                       
                                                                        
------------------------------------------------------------------------
268.4-268.5.............................................       2050-0085
268.6...................................................       2050-0062
268.7...................................................       2050-0085
268.9...................................................       2050-0085
268.42..................................................       2050-0085
268.44..................................................       2050-0085
                                                                        
------------------------------------------------------------------------
  EPA Administered Permit Programs: The Hazardous Waste Permit Program  
                                                                        
------------------------------------------------------------------------
270.1...................................................     2050-0028 &
                                                             2050-0034 &
                                                               2050-0009
270.10..................................................       2050-0009
270.11..................................................       2050-0034
270.13..................................................       2050-0034
270.14..................................................       2050-0009
270.14 (b)(21)..........................................     2050-0062 &
                                                               2050-0085
270.15..................................................       2050-0009
270.16..................................................       2050-0009
270.17..................................................       2050-0009
270.18..................................................       2050-0009

[[Page 274]]

                                                                        
270.19..................................................       2050-0009
270.20..................................................       2050-0009
270.21..................................................       2050-0009
270.22..................................................       2050-0073
270.23..................................................       2050-0009
270.24..................................................       2050-0009
270.25..................................................       2050-0009
270.26..................................................       2050-0115
270.30..................................................       2050-0120
270.33..................................................       2050-0009
270.40..................................................       2050-0009
270.41..................................................       2050-0009
270.42..................................................       2050-0009
270.51..................................................       2050-0009
270.62..................................................     2050-0009 &
                                                               2050-0149
270.63..................................................       2050-0009
270.65..................................................       2050-0009
270.66..................................................     2050-0073 &
                                                               2050-0149
270.72..................................................       2050-0034
270.73..................................................       2050-0009
                                                                        
------------------------------------------------------------------------
    Requirements for Authorization of State Hazardous Waste Programs    
                                                                        
------------------------------------------------------------------------
271.5-271.8.............................................       2050-0041
271.20-271.21...........................................       2050-0041
271.23..................................................       2050-0041
                                                                        
------------------------------------------------------------------------
                Standards for Universal Waste Management                
                                                                        
------------------------------------------------------------------------
273.14..................................................       2050-0145
273.15..................................................       2050-0145
273.18..................................................       2050-0145
273.32..................................................       2050-0145
273.34..................................................       2050-0145
273.35..................................................       2050-0145
273.38..................................................       2050-0145
273.39..................................................       2050-0145
273.61..................................................       2050-0145
273.62..................................................       2050-0145
273.80..................................................       2050-0145
                                                                        
------------------------------------------------------------------------
                  Standards for Management of Used Oil                  
                                                                        
------------------------------------------------------------------------
279.10-279.11...........................................       2050-0124
279.42..................................................      2050-0028,
                                                               2050-0124
279.43-279.44...........................................       2050-0124
279.46..................................................       2050-0050
279.51..................................................       2050-0028
279.52-279.55...........................................       2050-0124
279.56..................................................       2050-0050
279.57..................................................      2050-0050,
                                                               2050-0124
279.62..................................................       2050-0028
279.63..................................................       2050-0124
279.65-279.66...........................................       2050-0050
279.72..................................................       2050-0050
279.73..................................................       2050-0028
279.74-279.75...........................................       2050-0050
279.82..................................................       2050-0124
                                                                        
------------------------------------------------------------------------
  Technical Standards and Corrective Action Requirements for Owners and 
             Operators of Underground Storage Tanks (USTs)              
                                                                        
------------------------------------------------------------------------
                                                                        
280.11(a)...............................................       2050-0068
280.20(a)-(b)...........................................       2050-0068
280.20(e)...............................................       2050-0068
280.22(a)-(f)...........................................       2050-0068
280.22(g)...............................................       2050-0068
280.31..................................................       2050-0068
280.33(f)...............................................       2050-0068
280.34(a)...............................................       2050-0068
280.34(b)...............................................       2050-0068
280.34(c)...............................................       2050-0068
280.40..................................................       2050-0068
280.43..................................................       2050-0068
280.44..................................................       2050-0068
280.45..................................................       2050-0068
280.50..................................................       2050-0068
280.53..................................................       2050-0068
280.61..................................................       2050-0068
280.62..................................................       2050-0068
280.63..................................................       2050-0068
280.64..................................................       2050-0068
280.65..................................................       2050-0068
280.66(a)...............................................       2050-0068
280.66(c)...............................................       2050-0068
280.66(d)...............................................       2050-0068
280.67..................................................       2050-0068
280.71(a)...............................................       2050-0068
280.72(a)...............................................       2050-0068
280.74..................................................       2050-0068
280.95..................................................       2050-0068
280.96..................................................       2050-0068
280.97..................................................       2050-0068
280.98..................................................       2050-0068
280.99..................................................       2050-0068
280.100.................................................       2050-0068
280.101.................................................       2050-0068
280.102.................................................       2050-0068
280.103.................................................       2050-0068
280.104.................................................       2050-0068
280.105.................................................       2050-0068
280.106.................................................       2050-0068
280.107.................................................       2050-0068
280.108.................................................       2050-0068
280.109(a)..............................................       2050-0068
280.109(b)..............................................       2050-0068
280.110.................................................       2050-0068
280.111.................................................       2050-0068
280.111(b)(11)..........................................       2050-0068
280.114(a)-(d)..........................................       2050-0068
280.114(e)..............................................       2050-0068
                                                                        
------------------------------------------------------------------------
           Approval of State Underground Storage Tank Programs          
                                                                        
------------------------------------------------------------------------
281.120(a)..............................................       2050-0068
281.120(g)..............................................       2050-0068
281.121.................................................       2050-0068
281.122.................................................       2050-0068
281.124.................................................       2050-0068
281.125.................................................       2050-0068
281.140.................................................       2050-0068
281.143(a)..............................................       2050-0068
281.150.................................................       2050-0068
281.152.................................................       2050-0068
281.161.................................................       2050-0068
                                                                        
------------------------------------------------------------------------
    National Oil and Hazardous Substances Pollution Contingency Plan    
                                                                        
------------------------------------------------------------------------
300.405.................................................       2050-0046
300.425.................................................       2050-0095
300.430.................................................       2050-0096
300.435.................................................       2050-0096
300.920.................................................       2050-0141
Part 300, Appendix A....................................       2050-0095
                                                                        
------------------------------------------------------------------------

[[Page 275]]

                                                                        
          Designation, reportable quantities, and notification          
                                                                        
------------------------------------------------------------------------
302.4...................................................       2050-0046
302.6...................................................       2050-0046
302.8...................................................       2050-0086
                                                                        
------------------------------------------------------------------------
       Hazardous Substances Superfund; Response Claims Procedures       
                                                                        
------------------------------------------------------------------------
307.11-307.14...........................................       2050-0106
307.21-307.23...........................................       2050-0106
307.30-307.32...........................................       2050-0106
                                                                        
------------------------------------------------------------------------
 Reimbursement to Local Governments for Emergency Response to Hazardous 
                           Substance Releases                           
                                                                        
------------------------------------------------------------------------
310.05..................................................       2050-0077
310.10-310.12...........................................       2050-0077
310.20..................................................       2050-0077
310.30..................................................       2050-0077
310.40..................................................       2050-0077
310.50..................................................       2050-0077
310.60..................................................       2050-0077
310.70..................................................       2050-0077
310.80..................................................       2050-0077
310.90..................................................       2050-0077
Part 310, Appendix II...................................       2050-0077
                                                                        
------------------------------------------------------------------------
Worker Protection Standards for Hazardous Waste Operations and Emergency
                                Response                                
                                                                        
------------------------------------------------------------------------
311.1-311.2.............................................       2050-0105
                                                                        
------------------------------------------------------------------------
Trade Secrecy Claims for Emergency Planning and Community Right-to-Know;
                          Health Professionals                          
                                                                        
------------------------------------------------------------------------
350.5-350.16............................................       2050-0078
350.27..................................................       2050-0078
350.40..................................................       2050-0078
                                                                        
------------------------------------------------------------------------
                   Emergency planning and notification                  
                                                                        
------------------------------------------------------------------------
Part 355, Appendix A, Appendix B........................       2050-0046
                                                                        
------------------------------------------------------------------------
        Toxic Chemical Release Reporting: Community Right-to-Know       
                                                                        
------------------------------------------------------------------------
part 372................................................       2070-0093
part 372, subpart A.....................................     2070-0093 &
                                                               2070-0143
372.22..................................................     2070-0093 &
                                                               2070-0143
372.25..................................................       2070-0093
372.27..................................................       2070-0143
372.30..................................................     2070-0093 &
                                                               2070-0143
372.38..................................................     2070-0093 &
                                                               2070-0143
part 372, subpart C.....................................     2070-0093 &
                                                               2070-0143
part 372, subpart D.....................................     2070-0093 &
                                                               2070-0143
372.85..................................................       2070-0093
372.95..................................................       2070-0143
                                                                        
------------------------------------------------------------------------
    General Pretreatment Regulations for Existing and New Sources of    
                                Pollution                               
                                                                        
------------------------------------------------------------------------
403.5(b)................................................       2040-0009
403.6-403.7.............................................       2040-0009
403.8(a)-(e)............................................       2040-0009
403.8(f)................................................       2040-0009
403.9-403.10............................................       2040-0009
403.12(b)-(g)...........................................       2040-0009
403.12 (h), (i).........................................       2040-0009
403.12 (j), (k), (l), (o)...............................       2040-0009
403.12 (m), (p).........................................       2040-0009
403.13..................................................       2040-0009
403.15..................................................       2040-0009
403.17-403.18...........................................      2040-0009,
                                                               2040-0170
                                                                        
------------------------------------------------------------------------
            Steam Electric Generating Point Source Category             
                                                                        
------------------------------------------------------------------------
423.12-423.13...........................................       2040-0033
423.15..................................................       2040-0033
                                                                        
------------------------------------------------------------------------
           Pulp, Paper, and Paperboard Point Source Category            
                                                                        
------------------------------------------------------------------------
430.14-430.17...........................................       2040-0033
430.24-430.27...........................................       2040-0033
430.54-430.57...........................................       2040-0033
430.64-430.67...........................................       2040-0033
430.74-430.77...........................................       2040-0033
430.84-430.87...........................................       2040-0033
430.94-430.97...........................................       2040-0033
430.104-430.107.........................................       2040-0033
430.114-430.117.........................................       2040-0033
430.134-430.137.........................................       2040-0033
430.144-430.147.........................................       2040-0033
430.154-430.157.........................................       2040-0033
430.164-430.167.........................................       2040-0033
430.174-430.177.........................................       2040-0033
430.184-430.187.........................................       2040-0033
430.194-430.197.........................................       2040-0033
430.204-430.207.........................................       2040-0033
430.214-430.217.........................................       2040-0033
430.224-430.227.........................................       2040-0033
430.234-430.237.........................................       2040-0033
430.244-430.247.........................................       2040-0033
430.254-430.257.........................................       2040-0033
430.264-430.267.........................................       2040-0033
                                                                        
------------------------------------------------------------------------
        The Builders' Paper and Board Mills Point Source Category       
                                                                        
------------------------------------------------------------------------
431.14-431.17...........................................       2040-0033
                                                                        
------------------------------------------------------------------------
            Pharmaceutical Manufacturing Point Source Category          
                                                                        
------------------------------------------------------------------------
439.14-439.17...........................................       2040-0033
439.24-439.27...........................................       2040-0033
439.34-439.37...........................................       2040-0033
439.44-439.47...........................................       2040-0033
                                                                        
------------------------------------------------------------------------
                   Coil Coating Point Source Category                   
                                                                        
------------------------------------------------------------------------
465.03..................................................       2040-0033
                                                                        
------------------------------------------------------------------------
               Porcelain Enameling Point Source Category                
                                                                        
------------------------------------------------------------------------
466.03..................................................       2040-0033
                                                                        
------------------------------------------------------------------------

[[Page 276]]

                                                                        
                 Aluminum Forming Point Source Category                 
                                                                        
------------------------------------------------------------------------
467.03..................................................       2040-0033
                                                                        
------------------------------------------------------------------------
              State Sludge Management Program Requirements              
                                                                        
------------------------------------------------------------------------
501.15(a)...............................................      2040-0086,
                                                               2040-0110
501.15(b)...............................................      2040-0004,
                                                              2040-0068,
                                                               2040-0110
501.15(c)...............................................       2040-0068
501.16..................................................       2040-0057
501.21..................................................       2040-0057
                                                                        
------------------------------------------------------------------------
           Standards for the Use or Disposal of Sewage Sludge           
                                                                        
------------------------------------------------------------------------
503.17-503.18...........................................       2040-0157
503.27-503.28...........................................       2040-0157
503.47-503.48...........................................       2040-0157
                                                                        
------------------------------------------------------------------------
                     Fuel Economy of Motor Vehicles                     
                                                                        
------------------------------------------------------------------------
600.006-86..............................................       2060-0104
600.007-80..............................................       2060-0104
600.010-86..............................................       2060-0104
600.113-88..............................................       2060-0104
600.113-93..............................................       2060-0104
600.206-86..............................................       2060-0104
600.207-86..............................................       2060-0104
600.209-85..............................................       2060-0104
600.306-86..............................................       2060-0104
600.307-86..............................................       2060-0104
600.311-86..............................................       2060-0104
600.312-86..............................................       2060-0104
600.313-86..............................................       2060-0104
600.314-86..............................................       2060-0104
600.507-86..............................................       2060-0104
600.509-86..............................................       2060-0104
600.510-86..............................................       2060-0104
600.512-86..............................................       2060-0104
                                                                        
------------------------------------------------------------------------
                  Toxic Substances Control Act: General                 
                                                                        
------------------------------------------------------------------------
700.45..................................................     2070-0012 &
                                                               2070-0038
                                                                        
------------------------------------------------------------------------
                Reporting and Recordkeeping Requirements                
                                                                        
------------------------------------------------------------------------
704.5...................................................     2010-0019 &
                                                               2070-0067
704.11..................................................     2010-0019 &
                                                               2070-0067
704.25..................................................       2070-0067
704.33..................................................       2070-0067
704.43..................................................       2070-0067
704.45..................................................       2070-0067
704.95..................................................       2070-0067
704.102.................................................       2070-0067
704.104.................................................       2070-0067
704.175.................................................       2070-0067
                                                                        
------------------------------------------------------------------------
                      Chemical Imports and Exports                      
                                                                        
------------------------------------------------------------------------
707.65..................................................       2070-0030
707.67..................................................       2070-0030
707.72..................................................       2070-0030
                                                                        
------------------------------------------------------------------------
                     Inventory Reporting Regulations                    
                                                                        
------------------------------------------------------------------------
part 710................................................       2070-0070
                                                                        
------------------------------------------------------------------------
                       Chemical Information Rules                       
                                                                        
------------------------------------------------------------------------
712.5...................................................       2070-0054
712.7...................................................       2070-0054
712.20..................................................       2070-0054
712.28..................................................       2070-0054
712.30..................................................       2070-0054
                                                                        
------------------------------------------------------------------------
                    Health and Safety Data Reporting                    
                                                                        
------------------------------------------------------------------------
716.5...................................................       2070-0004
716.10..................................................       2070-0004
716.20..................................................       2070-0004
716.25..................................................       2070-0004
716.30..................................................       2070-0004
716.35..................................................       2070-0004
716.40..................................................       2070-0004
716.45..................................................       2070-0004
716.50..................................................       2070-0004
716.60..................................................       2070-0004
716.65..................................................       2070-0004
716.105.................................................       2070-0004
716.120.................................................       2070-0004
                                                                        
------------------------------------------------------------------------
    Records and Reports of Allegations that Chemical Substances Cause   
       Significant Adverse Reactions to Health or the Environment       
                                                                        
------------------------------------------------------------------------
717.5...................................................       2070-0017
717.7...................................................       2070-0017
717.12..................................................       2070-0017
717.15..................................................       2070-0017
717.17..................................................       2070-0017
                                                                        
------------------------------------------------------------------------
                       Premanufacture Notification                      
                                                                        
------------------------------------------------------------------------
720.1...................................................       2070-0012
720.22..................................................       2070-0012
720.25..................................................       2070-0012
720.30..................................................       2070-0012
720.36..................................................       2070-0012
720.38..................................................       2070-0012
part 720, subpart C.....................................       2070-0012
720.62..................................................       2070-0012
720.75..................................................       2070-0012
720.78..................................................       2070-0012
720.80..................................................       2070-0012
720.85..................................................       2070-0012
720.87..................................................       2070-0012
720.90..................................................       2070-0012
720.102.................................................       2070-0012
part 720, Appendix A....................................       2070-0012
                                                                        
------------------------------------------------------------------------
               Significant New Uses of Chemical Substances              
                                                                        
------------------------------------------------------------------------
part 721, subpart A.....................................     2070-0012 &
                                                               2070-0038
721.72..................................................     2070-0012 &
                                                               2070-0038
721.125.................................................     2070-0012 &
                                                               2070-0038
721.160.................................................     2070-0012 &
                                                               2070-0038
721.170.................................................     2070-0012 &
                                                               2070-0038

[[Page 277]]

                                                                        
721.185.................................................     2070-0012 &
                                                               2070-0038
721.225.................................................       2070-0012
721.275.................................................       2070-0012
721.285.................................................       2070-0012
721.320.................................................       2070-0012
721.323.................................................       2070-0012
721.325.................................................       2070-0012
721.370.................................................       2070-0012
721.390.................................................       2070-0012
721.400.................................................       2070-0012
721.415.................................................       2070-0012
721.430.................................................       2070-0012
721.445.................................................       2070-0012
721.460.................................................       2070-0012
721.470.................................................       2070-0012
721.490.................................................       2070-0012
721.505.................................................       2070-0012
721.520.................................................       2070-0012
721.530.................................................       2070-0012
721.536.................................................       2070-0012
721.540.................................................       2070-0012
721.550.................................................       2070-0012
721.562.................................................       2070-0012
721.575.................................................       2070-0012
721.600.................................................       2070-0012
721.625.................................................       2070-0012
721.639.................................................       2070-0012
721.642.................................................       2070-0012
721.650.................................................       2070-0038
721.700.................................................       2070-0012
721.715.................................................       2070-0012
721.750.................................................       2070-0012
721.757.................................................       2070-0012
721.775.................................................       2070-0012
721.805.................................................       2070-0012
721.825.................................................       2070-0012
721.840.................................................       2070-0012
721.875.................................................       2070-0012
721.925.................................................       2070-0012
721.950.................................................       2070-0012
721.982.................................................       2070-0012
721.1000................................................       2070-0012
721.1025................................................       2070-0038
721.1050................................................       2070-0012
721.1068................................................       2070-0012
721.1075................................................       2070-0012
721.1120................................................       2070-0012
721.1150................................................       2070-0012
721.1175................................................       2070-0012
721.1187................................................       2070-0012
721.1193................................................       2070-0012
721.1210................................................       2070-0012
721.1225................................................       2070-0012
721.1240................................................       2070-0012
721.1300................................................       2070-0012
721.1325................................................       2070-0012
721.1350................................................       2070-0012
721.1372................................................       2070-0012
721.1375................................................       2070-0012
721.1425................................................       2070-0038
721.1430................................................       2070-0038
721.1435................................................       2070-0038
721.1440................................................       2070-0038
721.1450................................................       2070-0012
721.1500................................................       2070-0012
721.1525................................................       2070-0012
721.1550................................................       2070-0012
721.1555................................................       2070-0012
721.1568................................................       2070-0012
721.1575................................................       2070-0012
721.1612................................................       2070-0012
721.1625................................................       2070-0012
721.1630................................................       2070-0012
721.1637................................................       2070-0012
721.1640................................................       2070-0012
721.1643................................................       2070-0012
721.1645................................................       2070-0012
721.1650................................................       2070-0012
721.1675................................................       2070-0012
721.1700................................................       2070-0012
721.1725................................................       2070-0012
721.1728................................................       2070-0012
721.1732................................................       2070-0012
721.1735................................................       2070-0012
721.1740................................................       2070-0012
721.1745................................................       2070-0012
721.1750................................................       2070-0012
721.1755................................................       2070-0012
721.1765................................................       2070-0012
721.1769................................................       2070-0012
721.1775................................................       2070-0012
721.1790................................................       2070-0038
721.1800................................................       2070-0012
721.1820................................................       2070-0012
721.1825................................................       2070-0012
721.1850................................................       2070-0012
721.1875................................................       2070-0012
721.1900................................................       2070-0012
721.1907................................................       2070-0012
721.1920................................................       2070-0012
721.1925................................................       2070-0012
721.1950................................................       2070-0012
721.2025................................................       2070-0012
721.2050................................................       2070-0012
721.2075................................................       2070-0012
721.2084................................................       2070-0038
721.2085................................................       2070-0012
721.2086................................................       2070-0012
721.2088................................................       2070-0012
721.2089................................................       2070-0012
721.2092................................................       2070-0038
721.2120................................................       2070-0012
721.2140................................................       2070-0012
721.2170................................................       2070-0012
721.2175................................................       2070-0012
721.2250................................................       2070-0012
721.2260................................................       2070-0012
721.2270................................................       2070-0012
721.2275................................................       2070-0012
721.2287................................................       2070-0038
721.2340................................................       2070-0012
721.2355................................................       2070-0038
721.2380................................................       2070-0012
721.2410................................................       2070-0012
721.2420................................................       2070-0012
721.2475................................................       2070-0012
721.2520................................................       2070-0012
721.2540................................................       2070-0012
721.2560................................................       2070-0012
721.2565................................................       2070-0012
721.2575................................................       2070-0012
721.2600................................................       2070-0038
721.2625................................................       2070-0012
721.2650................................................       2070-0012
721.2675................................................       2070-0012
721.2725................................................       2070-0038
721.2750................................................       2070-0012
721.2800................................................       2070-0038
721.2815................................................       2070-0012
721.2825................................................       2070-0012
721.2840................................................       2070-0012
721.2860................................................       2070-0012
721.2880................................................       2070-0012
721.2900................................................       2070-0012
721.2920................................................       2070-0012

[[Page 278]]

                                                                        
721.2930................................................       2070-0012
721.2940................................................       2070-0012
721.2950................................................       2070-0012
721.2980................................................       2070-0012
721.3000................................................       2070-0012
721.3020................................................       2070-0012
721.3028................................................       2070-0012
721.3034................................................       2070-0012
721.3040................................................       2070-0012
721.3060................................................       2070-0012
721.3080................................................       2070-0012
721.3100................................................       2070-0012
721.3120................................................       2070-0012
721.3140................................................       2070-0012
721.3152................................................       2070-0012
721.3160................................................       2070-0038
721.3180................................................       2070-0012
721.3200................................................       2070-0012
721.3220................................................       2070-0038
721.3248................................................       2070-0012
721.3260................................................       2070-0012
721.3320................................................       2070-0012
721.3340................................................       2070-0012
721.3350................................................       2070-0038
721.3360................................................       2070-0012
721.3364................................................       2070-0012
721.3374................................................       2070-0012
721.3380................................................       2070-0012
721.3390................................................       2070-0012
721.3420................................................       2070-0012
721.3430................................................       2070-0038
721.3435................................................       2070-0012
721.3437................................................       2070-0012
721.3440................................................       2070-0012
721.3460................................................       2070-0012
721.3480................................................       2070-0012
721.3486................................................       2070-0012
721.3500................................................       2070-0012
721.3520................................................       2070-0012
721.3560................................................       2070-0012
721.3620................................................       2070-0012
721.3625................................................       2070-0012
721.3627................................................       2070-0012
721.3629................................................       2070-0012
721.3640................................................       2070-0012
721.3680................................................       2070-0012
721.3700................................................       2070-0012
721.3720................................................       2070-0012
721.3740................................................       2070-0012
721.3760................................................       2070-0012
721.3764................................................       2070-0012
721.3780................................................       2070-0012
721.3790................................................       2070-0012
721.3800................................................       2070-0012
721.3815................................................       2070-0012
721.3840................................................       2070-0012
721.3860................................................       2070-0012
721.3870................................................       2070-0012
721.3880................................................       2070-0012
721.3900................................................       2070-0012
721.4000................................................       2070-0012
721.4020................................................       2070-0012
721.4040................................................       2070-0012
721.4060................................................       2070-0012
721.4080................................................       2070-0038
721.4100................................................       2070-0012
721.4110................................................       2070-0012
721.4128................................................       2070-0012
721.4133................................................       2070-0012
721.4140................................................       2070-0038
721.4155................................................       2070-0038
721.4160................................................       2070-0038
721.4180................................................       2070-0038
721.4200................................................       2070-0012
721.4215................................................       2070-0012
721.4220................................................       2070-0012
721.4240................................................       2070-0012
721.4250................................................       2070-0012
721.4255................................................       2070-0012
721.4260................................................       2070-0012
721.4270................................................       2070-0012
721.4280................................................       2070-0012
721.4300................................................       2070-0012
721.4320................................................       2070-0012
721.4340................................................       2070-0012
721.4360................................................       2070-0038
721.4380................................................       2070-0012
721.4390................................................       2070-0012
721.4400................................................       2070-0012
721.4420................................................       2070-0012
721.4460................................................       2070-0012
721.4463................................................       2070-0012
721.4466................................................       2070-0012
721.4470................................................       2070-0012
721.4473................................................       2070-0012
721.4480................................................       2070-0012
721.4490................................................       2070-0012
721.4500................................................       2070-0012
721.4520................................................       2070-0012
721.4550................................................       2070-0012
721.4568................................................       2070-0012
721.4585................................................       2070-0012
721.4590................................................       2070-0012
721.4594................................................       2070-0012
721.4600................................................       2070-0012
721.4620................................................       2070-0012
721.4640................................................       2070-0012
721.4660................................................       2070-0012
721.4680................................................       2070-0012
721.4700................................................       2070-0012
721.4720................................................       2070-0012
721.4740................................................       2070-0038
721.4780................................................       2070-0012
721.4790................................................       2070-0012
721.4794................................................       2070-0012
721.4800................................................       2070-0012
721.4820................................................       2070-0012
721.4840................................................       2070-0012
721.4880................................................       2070-0012
721.4925................................................       2070-0038
721.5050................................................       2070-0012
721.5075................................................       2070-0012
721.5175................................................       2070-0038
721.5192................................................       2070-0012
721.5200................................................       2070-0012
721.5225................................................       2070-0012
721.5250................................................       2070-0012
721.5275................................................       2070-0012
721.5278................................................       2070-0012
721.5282................................................       2070-0012
721.5285................................................       2070-0012
721.5300................................................       2070-0012
721.5310................................................       2070-0012
721.5325................................................       2070-0012
721.5330................................................       2070-0012
721.5350................................................       2070-0012
721.5375................................................       2070-0012
721.5385................................................       2070-0012
721.5400................................................       2070-0012
721.5425................................................       2070-0012
721.5450................................................       2070-0012
721.5475................................................       2070-0012
721.5500................................................       2070-0012
721.5525................................................       2070-0012
721.5540................................................       2070-0012
721.5550................................................       2070-0012

[[Page 279]]

                                                                        
721.5575................................................       2070-0012
721.5600................................................       2070-0038
721.5700................................................       2070-0012
721.5705................................................       2070-0012
721.5710................................................       2070-0038
721.5740................................................       2070-0012
721.5760................................................       2070-0012
721.5763................................................       2070-0012
721.5769................................................       2070-0012
721.5780................................................       2070-0012
721.5800................................................       2070-0012
721.5820................................................       2070-0012
721.5840................................................       2070-0012
721.5860................................................       2070-0012
721.5867................................................       2070-0012
721.5880................................................       2070-0012
721.5900................................................       2070-0012
721.5910................................................       2070-0012
721.5915................................................       2070-0012
721.5920................................................       2070-0012
721.5960................................................       2070-0012
721.5970................................................       2070-0012
721.5980................................................       2070-0012
721.5990................................................       2070-0012
721.6000................................................       2070-0038
721.6020................................................       2070-0012
721.6060................................................       2070-0012
721.6070................................................       2070-0012
721.6080................................................       2070-0012
721.6085................................................       2070-0012
721.6090................................................       2070-0012
721.6100................................................       2070-0012
721.6110................................................       2070-0012
721.6120................................................       2070-0012
721.6140................................................       2070-0012
721.6160................................................       2070-0012
721.6180................................................       2070-0012
721.6186................................................       2070-0012
721.6200................................................       2070-0012
721.6220................................................       2070-0012
721.6440................................................       2070-0012
721.6470................................................       2070-0012
721.6500................................................       2070-0012
721.6520................................................       2070-0012
721.6540................................................       2070-0012
721.6560................................................       2070-0012
721.6580................................................       2070-0012
721.6600................................................       2070-0012
721.6620................................................       2070-0012
721.6625................................................       2070-0012
721.6640................................................       2070-0012
721.6660................................................       2070-0012
721.6680................................................       2070-0012
721.6700................................................       2070-0012
721.6720................................................       2070-0012
721.6740................................................       2070-0012
721.6760................................................       2070-0012
721.6780................................................       2070-0012
721.6820................................................       2070-0012
721.6840................................................       2070-0012
721.6880................................................       2070-0012
721.6900................................................       2070-0012
721.6920................................................       2070-0012
721.6940................................................       2070-0012
721.6960................................................       2070-0012
721.6980................................................       2070-0012
721.7000................................................       2070-0012
721.7020................................................       2070-0012
721.7040................................................       2070-0012
721.7046................................................       2070-0012
721.7080................................................       2070-0012
721.7100................................................       2070-0012
721.7140................................................       2070-0012
721.7160................................................       2070-0012
721.7180................................................       2070-0012
721.7200................................................       2070-0012
721.7210................................................       2070-0012
721.7220................................................       2070-0012
721.7240................................................       2070-0012
721.7260................................................       2070-0012
721.7280................................................       2070-0012
721.7300................................................       2070-0012
721.7320................................................       2070-0012
721.7340................................................       2070-0012
721.7360................................................       2070-0012
721.7370................................................       2070-0012
721.7400................................................       2070-0012
721.7420................................................       2070-0012
721.7440................................................       2070-0012
721.7450................................................       2070-0012
721.7460................................................       2070-0012
721.7480................................................       2070-0012
721.7500................................................       2070-0012
721.7540................................................       2070-0012
721.7560................................................       2070-0012
721.7580................................................       2070-0012
721.7600................................................       2070-0012
721.7620................................................       2070-0012
721.7655................................................       2070-0012
721.7660................................................       2070-0012
721.7680................................................       2070-0012
721.7780................................................       2070-0012
721.7710................................................       2070-0012
721.7720................................................       2070-0012
721.7700................................................       2070-0012
721.7740................................................       2070-0012
721.7760................................................       2070-0012
721.7770................................................       2070-0012
721.8075................................................       2070-0012
721.8082................................................       2070-0012
721.8090................................................       2070-0012
721.8100................................................       2070-0012
721.8155................................................       2070-0012
721.8160................................................       2070-0012
721.8170................................................       2070-0012
721.8175................................................       2070-0012
721.8225................................................       2070-0012
721.8250................................................       2070-0012
721.8265................................................       2070-0012
721.8275................................................       2070-0012
721.8290................................................       2070-0012
721.8300................................................       2070-0012
721.8325................................................       2070-0012
721.8335................................................       2070-0012
721.8350................................................       2070-0012
721.8375................................................       2070-0012
721.8400................................................       2070-0012
721.8425................................................       2070-0012
721.8450................................................       2070-0012
721.8475................................................       2070-0012
721.8500................................................       2070-0012
721.8525................................................       2070-0012
721.8550................................................       2070-0012
721.8575................................................       2070-0012
721.8600................................................       2070-0012
721.8650................................................       2070-0012
721.8654................................................       2070-0012
721.8670................................................       2070-0012
721.8675................................................       2070-0012
721.8700................................................       2070-0012
721.8750................................................       2070-0012
721.8775................................................       2070-0012
721.8825................................................       2070-0012
721.8850................................................       2070-0012
721.8875................................................       2070-0012
721.8900................................................       2070-0012

[[Page 280]]

                                                                        
721.8965................................................       2070-0012
721.9000................................................       2070-0038
721.9075................................................       2070-0012
721.9100................................................       2070-0012
721.9220................................................       2070-0012
721.9240................................................       2070-0012
721.9260................................................       2070-0012
721.9280................................................       2070-0012
721.9300................................................       2070-0012
721.9320................................................       2070-0012
721.9360................................................       2070-0012
721.9400................................................       2070-0012
721.9420................................................       2070-0012
721.9460................................................       2070-0012
721.9470................................................       2070-0038
721.9480................................................       2070-0012
721.9500................................................       2070-0012
721.9505................................................       2070-0012
721.9510................................................       2070-0012
721.9520................................................       2070-0012
721.9525................................................       2070-0012
721.9526................................................       2070-0012
721.9527................................................       2070-0012
721.9530................................................       2070-0012
721.9540................................................       2070-0012
721.9550................................................       2070-0012
721.9570................................................       2070-0012
721.9580................................................       2070-0038
721.9620................................................       2070-0012
721.9630................................................       2070-0012
721.9650................................................       2070-0012
721.9656................................................       2070-0012
721.9658................................................       2070-0012
721.9660................................................       2070-0038
721.9665................................................       2070-0012
721.9675................................................       2070-0012
721.9700................................................       2070-0012
721.9720................................................       2070-0012
721.9730................................................       2070-0012
721.9740................................................       2070-0012
721.9750................................................       2070-0012
721.9780................................................       2070-0012
721.9800................................................       2070-0012
721.9820................................................       2070-0012
721.9850................................................       2070-0012
721.9870................................................       2070-0012
721.9892................................................       2070-0012
721.9900................................................       2070-0012
721.9920................................................       2070-0012
721.9925................................................       2070-0012
721.9930................................................       2070-0038
721.9940................................................       2070-0012
721.9957................................................       2070-0038
721.9975................................................       2070-0012
                                                                        
------------------------------------------------------------------------
                 Premanufacture Notification Exemptions                 
                                                                        
------------------------------------------------------------------------
723.50..................................................       2070-0012
723.175.................................................       2070-0012
723.250(m)(1)...........................................       2070-0012
                                                                        
------------------------------------------------------------------------
Lead-Based Paint Poisioning Prevention in Certain Residential Structures
                                                                        
------------------------------------------------------------------------
part 745, subpart F.....................................       2070-0151
                                                                        
------------------------------------------------------------------------
                        Water Treatment Chemicals                       
                                                                        
------------------------------------------------------------------------
part 749, subpart D.....................................       2060-0193
749.68..................................................       2060-0193
                                                                        
------------------------------------------------------------------------
Polychlorinated Biphenyls (PCBs) Manufacturing, Processing, Distribution
                    in Commerce, and Use Prohibitions                   
                                                                        
------------------------------------------------------------------------
761.20..................................................     2070-0008 &
                                                               2070-0021
761.30..................................................      2070-0003,
                                                             2070-0008 &
                                                               2070-0021
761.60..................................................       2070-0011
761.65..................................................       2070-0112
761.70..................................................       2070-0011
761.75..................................................       2070-0011
761.80..................................................       2070-0021
761.93(a)(1)(iii).......................................       2070-0149
761.93(b)...............................................       2070-0149
761.125.................................................       2070-0112
761.180.................................................       2070-0112
761.185.................................................       2070-0008
761.187.................................................       2070-0008
761.193.................................................       2070-0008
761.202.................................................       2070-0112
761.205.................................................       2070-0112
761.207.................................................       2070-0112
761.207(a)..............................................       2050-0039
761.208.................................................       2070-0112
761.209.................................................       2070-0112
761.210.................................................       2070-0112
761.211.................................................       2070-0112
761.215.................................................       2070-0112
761.218.................................................       2070-0112
                                                                        
------------------------------------------------------------------------
                                Asbestos                                
                                                                        
------------------------------------------------------------------------
part 763, subpart E.....................................       2070-0091
part 763, subpart G.....................................       2070-0072
part 763, subpart I.....................................       2070-0082
                                                                        
------------------------------------------------------------------------
                    Dibenzo-para-dioxin/Dibenzofurans                   
                                                                        
------------------------------------------------------------------------
766.35(b)(1)............................................       2070-0054
766.35(b)(2)............................................       2070-0054
766.35(b)(3)............................................       2070-0017
766.35(b)(4)(iii).......................................       2070-0054
766.35(c)(1)(i).........................................       2070-0054
766.35(c)(1)(ii)........................................       2070-0054
766.35(c)(1)(iii).......................................       2070-0017
766.35(d) Form..........................................       2070-0017
766.38..................................................       2070-0054
                                                                        
------------------------------------------------------------------------
     Procedures Governing Testing Consent Agreements and Test Rules     
                                                                        
------------------------------------------------------------------------
790.5...................................................       2070-0033
790.42..................................................       2070-0033
790.45..................................................       2070-0033
790.50..................................................       2070-0033
790.55..................................................       2070-0033
790.60..................................................       2070-0033
790.62..................................................       2070-0033
790.68..................................................       2070-0033
790.80..................................................       2070-0033
790.82..................................................       2070-0033
790.85..................................................       2070-0033
790.99..................................................       2070-0033
                                                                        
------------------------------------------------------------------------
                   Good Laboratory Practice Standards                   
                                                                        
------------------------------------------------------------------------
part 792................................................      2010-0019,

[[Page 281]]

                                                                        
                                                              2070-0004,
                                                              2070-0017,
                                                              2070-0033,
                                                             2070-0054 &
                                                               2070-0067
                                                                        
------------------------------------------------------------------------
                       Provisional Test Guidelines                      
                                                                        
------------------------------------------------------------------------
795.45..................................................       2070-0067
795.232.................................................       2070-0033
                                                                        
------------------------------------------------------------------------
    Identification of Specific Chemical Substance and Mixture Testing   
                              Requirements                              
                                                                        
------------------------------------------------------------------------
799.1053................................................       2070-0033
799.1250................................................       2070-0033
799.1560................................................       2070-0033
799.1575................................................       2070-0033
799.1645................................................       2070-0033
799.1700................................................       2070-0033
799.2155................................................       2070-0033
799.2325................................................       2070-0033
799.2475................................................       2070-0033
799.2500................................................       2070-0033
799.2700................................................       2070-0033
799.3300................................................       2070-0033
799.4360................................................       2070-0033
799.4440................................................       2070-0033
799.5000................................................       2070-0033
799.5025................................................       2070-0033
799.5050................................................       2070-0033
799.5055................................................       2070-0033
799.5075................................................       2070-0033
------------------------------------------------------------------------
\1\ The ICRs referenced in this section of the Table encompass the      
  applicable general provisions contained in 40 CFR part 60, subpart A, 
  which are not independent information collection requirements.        
\2\ The ICRs referenced in this section of the Table encompass the      
  applicable general provisions contained in 40 CFR part 61, subpart A, 
  which are not independent information collection requirements.        
\3\ The ICRs referenced in this section of the Table encompass the      
  applicable general provisions contained in 40 CFR part 63, subpart A, 
  which are not independent information collection requirements.        


[58 FR 27472, May 10, 1993]

    Editorial Note: For Federal Register citations affecting Sec. 9.1 
see the List of CFR Sections Affected in the Finding Aids section of 
this volume.

    Effective Date Notes: 1. At 61 FR 16309, Apr. 12, 1996, in Sec. 9.1 
table, the heading ``Public Information'' and its entry for part 2, 
subpart B were added, effective July 11, 1996.

    2. At 61 FR 33206, June 26, 1996, in Sec. 9.1 table, the entry for 
170.112 was removed and the entry for part 170 was added, effective Aug. 
26, 1996.

    3. At 61 FR 34228, July 1, 1996, in Sec. 9.1 table, entries 71.5, 
71.6(a),(c),(d),(g), 71.7, and 71.9(e)-(j) were added, effective July 
31, 1996.

[[Page 283]]

........................................................................


List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations which were 
made by documents published in the Federal Register since January 1, 
1986, are enumerated in the following list. Entries indicate the nature 
of the changes effected. Page numbers refer to Federal Register pages. 
The user should consult the entries for chapters and parts as well as 
sections for revisions.
For the period before January 1, 1986, see the ``List of CFR Sections 
Affected, 1949-1963, 1964-1972, and 1973-1985'' published in seven 
separate volumes.

                                  1986

40 CFR
                                                                   51 FR
                                                                    Page
Chapter I
57.102  (b)(3) corrected...........................................10211
58.1  (s) revised...................................................9586
58.26  (b)(2) removed; (b)(3) redesignated as (b)(2)................9586
58.35  (c)(1) revised...............................................9586
58.36  Added........................................................9586
58.40  (c) revised..................................................9586
58  Appendix A revised..............................................9587
    Appendix B amended..............................................9596
    Appendixes C and D amended......................................9597
    Appendix E amended..............................................9598
    Appendixes F and G amended......................................9600
60  Authority delegation notices...................................3171,
3172, 6736, 8673, 9190, 11021, 11727, 12144, 14993, 15886, 20648, 22520 
26546, 27033-27037, 27407, 32641, 32642, 33041-33046, 34216, 44984, 
46856
    Existing regulations unchanged.................................43572
60.4  (b)(RR) amended..............................................4344,
    (b)(FF) revised................................................15770
    (b)(MM) introductory text and (ix) revised.....................23419
    (b)(FF)(1) table amended; (b)(BBB) revised.....................26547
    (b)(Q) and (AA) revised; (b)(R) added..........................37910
60.11  (e)(4) corrected.............................................1790
60.13  (c) introductory text amended; (c) (1) and (2) added........21765
60.16  Amended.....................................................42796
60.17  (a)(38) revised; (a)(46) added...............................2702
    (a) (1) and (10) revised; (a)(47) added........................42794
60.18  Added........................................................2701
60.40b--60.49b (Subpart Db)  Added.................................42788
60.44  (a) (1) and (2) revised.....................................42797
60.45  (c)(1) revised..............................................21166
60.46  (a) (2), (4), and (5), (f) (2), (3) introductory text and 
        (i) revised; (c) amended...................................21166
    (a) (2) and (3), (b), (c), and (f)(3)(ii) revised..............42841
60.46b  (d) (1), (2) introductory text, (i), and (ii), (5), and 
        (6) revised; (d)(2)(iii) added.............................42841
60.47a  (h) (1) and (4) amended; (i)(1) revised....................21166
60.48a  (a)(1) revised.............................................21166
    (a) (1) through (6) revised; (a)(7) removed....................42842
60.90--60.93 (Subpart I)  Heading revised (classification 
        corrected at 51 FR 12325)...................................3300
    Heading correctly republished..................................12325
60.90  (a) revised (classification corrected at 51 FR 12325)........3300

[[Page 284]]

    (a) correctly republished......................................12325
60.91  Revised (classification corrected at 51 FR 12325)............3300
    Correctly republished..........................................12325
60.106  (a)(1)(i) and (2) revised..................................42842
60.140--60.144 (Subpart N)  Heading revised..........................160
60.141  (a), (b), and (c) revised; (d) added.........................160
60.142  (a) introductory text revised; (b) and (c) added.............161
60.143  (b)(2) and (c) revised; OMB number...........................161
60.144  (b) revised; OMB number......................................161
60.140a--60.145a (Subpart Na)  Added.................................161
60.280  Revised....................................................18544
60.281  (e) revised................................................18544
60.283  (a)(1) introductory text, (iv), and (v) and (4) revised....18544
60.284  (a)(2) introductory text and (b)(1) introductory text, (d) 
        introductory text, (3) introductory text and (ii) revised; 
        (c)(4) added; OMB number...................................18545
60.466  (c) revised................................................22938
60.482-10  (d) revised..............................................2702
60.633  (g) revised.................................................2702
60  Appendix A amended......................................20288, 21166
    Appendix A corrected...........................................29104
    Appendix A amended......................................32455, 42842
    Appendix B amended.............................................21766

                                  1987

40 CFR
                                                                   52 FR
                                                                    Page
Chapter I
53  Technical correction...........................................27902
53.1  (j) revised; (m) and (n) added; eff. 7-31-87.................24727
53.2  Revised; eff. 7-31-87........................................24727
53.3  Revised; eff. 7-31-87........................................24727
53.4  (a) and (b)(3) amended; footnote 1 removed; (b) (4) through 
        (6) and (c) revised; eff. 7-31-87..........................24727
53.9  (c) revised; (d), (f), and (g) amended; eff. 7-31-87.........24728
53.20--53.23 (Subpart B)  Heading revised; eff. 7-31-87............24728
53.30--53.34 (Subpart C)  Heading revised; eff. 7-31-87............24728
53.30  (a), (b)(2) heading, (c) and (d)(2) heading, (3) and (4) 
        revised; (b)(4) added; eff. 7-31-87........................24728
53.31  (b) heading revised; (b) text amended; eff. 7-31-87.........24728
53.32  Heading revised; (c) (1), (2), (3) (i) and (ii) and (4) 
        amended; eff. 7-31-87......................................24728
53.33  Heading and (h) (2) and (3) revised; (b), (e), (h) heading 
        and (i) amended; eff. 7-31-87..............................24728
53.34  Added; eff. 7-31-87.........................................24729
53.40--53.43 (Subpart D)  Added; eff. 7-31-87......................24729
58.1  (t), (u), and (v) added; eff. 7-31-87........................24739
58.13  (b) revised; (c) added; eff. 7-31-87........................24739
58.20  (e) amended; eff. 7-31-87...................................24740
58.23  Introductory text revised; eff. 7-31-87.....................24740
58.30  (a) introductory text amended; eff. 7-31-87.................24740
58.34  Introductory text amended; eff. 7-31-87.....................24740
58.35  (d) amended; eff. 7-31-87...................................24740
58  Appendix A, B and C amended; eff. 7-31-87......................24741
    Appendix D amended; eff. 7-31-87...............................24742
58  Appendices D and E corrected...................................27286
    Appendix E amended; eff. 7-31-87...............................24744
    Appendix F amended; eff. 7-31-87...............................24748
60  Appendix F corrected...........................................27612
    Appendix G amended; eff. 7-31-87...............................24749
60  Authority delegation notices...8585-8587, 9164, 23178, 28255, 33934, 
          35083-35085, 35087, 35088, 35090, 35091, 36033, 36417, 36418, 
                                                                   42114
    Authority citation corrected...................................37874
60.4  (b)(FF)(1) revised...........................................19512
60.7  (a)(7) added..................................................9781
60.11  (b) revised; (e)(1) amended; (e) (5), (6), and (7) 
        redesignated as (e) (6), (7), and (8); new (e)(5) added; 
        new (e)(6) revised..........................................9781
60.13  (c) revised..................................................9782
    (j) correctly added............................................17555
    (a) revised....................................................21007

[[Page 285]]

60.16  Amended.....................................................11428
60.17  (a) (1), (3), (7) through (10), (24) through (28), and (47) 
        revised; (a) (48) through (53) added.......................47842
60.17  (a) (13) and (37) and (c) introductory text and (1) revised
                                                                   11429
60.40b--60.49b (Subpart Db)  Revised...............................47842
60.43  (a)(2) revised; (e) added...................................28954
60.45  (c)(1) revised..............................................21007
60.46  (h) added...................................................28955
60.47a  (h) introductory text, (1) and (2) and (i)(1) revised......21007
60.106  (d) introductory text amended; (d)(2) revised..............20392
60.110--60.113 (Subpart K)  Heading revised........................11429
60.111  (l) revised................................................11429
60.110a--60.115a (Subpart Ka)  Heading revised.....................11429
60.111a  (g) revised...............................................11429
60.113a  (a)(1)(i) introductory text revised; (a)(1)(i) (D) and 
        (E) added..................................................11429
60.114a  Revised...................................................11429
60.110b--60.117b (Subpart Kb)  Added...............................11429
60.117b  (b) correctly revised.....................................22780
60.285  (d) (1) and (3) revised....................................36409
60.300  (b) correctly revised......................................42434
60.330  Correctly revised..........................................42434
60.343  (b) revised.................................................4773
60.344  (c) revised.................................................4774
60.540--60.548 (Subpart BBB)  Added................................34874
60.543  (a) and (h) introductory text corrected....................37874
60.546  (c)(2) corrected...........................................37874
60  Appendix A amended....5106, 9658, 20392, 34639, 36410, 36415, 41425, 
                                                                   47853
    Appendix A corrected...............10852, 19797, 22888, 33316, 42061
    Appendixes A and B amended.....................................30675
    Appendix B amended.............................................34650
    Appendix B corrected...........................................17556
    Appendix F added...............................................21007
60  Appendix F corrected...........................................27612
    Appendix G added...............................................28955

                                  1988

40 CFR
                                                                   53 FR
                                                                    Page
Chapter I
53  Petition denied................................................52705
58  Petition denied................................................52705
60  Authority citation revised......................................2675
    Authority delegation notices...................................3891,
            8182, 12517, 17038, 22172, 23390, 24698, 27685, 45764, 46614
60.4  (b)(G), (BB), (JJ), (QQ), (TT), and (ZZ) revised; (b) Region 
        VIII table removed; (c) added..............................12520
    (b) (P), (Y), and (KK) revised.................................18985
    (b)(WW)(iii) revised...........................................24449
    (c) table revised..............................................50527
60.17  (a) (54) and (55) and (g) added..............................5872
60.61  (b), (c), and (d) added.....................................50363
60.63  (b), (c), (d), and (e) added................................50363
60.64  (a)(5) added................................................50364
60.65  Added.......................................................50364
60.66  Added.......................................................50364
60.106  (b) amended................................................41333
60.153  (a) introductory text republished; (a)(1) revised; (b), 
        (c), (d), and (e) added....................................39416
60.154  (d) added..................................................39417
60.155  Added......................................................39417
60.156  Added......................................................39418
60.286  (a)(2) introductory text revised...........................12009
60.530--60.539a (Subpart January 1, 1988)  Added....................5873
60.533  (k)(2) introductory text corrected.........................14889
60.536  (j) introductory text and (3) through (8) correctly 
        removed; (j)(1) and (2) correctly revised..................12009
60.538  (a) corrected..............................................14889
60.690--60.699 (Subpart QQQ)  Added................................47623
60.710--60.718 (Subpart SSS)  Added................................38914
60.711  (c) Table 1B corrected.....................................43799
    (b)(26) and Table 1A corrected.................................47955
    Correctly designated...........................................49822
60.713  (a)(2) and (b)(1)(iii)(C) and (9)(ii) corrected............43799
    (a) introductory text and (3)(i) and (b)(5)(i)(D) corrected....47955
60.715  (d) corrected..............................................43799

[[Page 286]]

60.717  (f) introductory text and (1) corrected....................43799
    (d)(2), (4)(ii)(C), and (7) and (h) corrected..................47955
60.718  (b) corrected..............................................47955
60.720--60.726 (Subpart TTT)  Added.................................2676
60.726  (b) correctly revised......................................19300
60  Appendix A corrected...........................................2914,
                                                     11591, 12498, 14889
    Appendix A amended.............................................4142,
                                                             5884, 29682
    Appendixes A and B amended.....................................41333
    Appendix A corrected...........................................41649
    Appendix B amended..............................................7515
    Appendix I added................................................5913

                                  1989

40 CFR
                                                                   54 FR
                                                                    Page
Chapter I
58  Appendix D amended.............................................15183
60  Authority delegation notices...................................5078,
12627, 12910, 18495-18496, 26041, 50754
    Determination of status........................................13385
    Petition denied................................................27166
60.2  Amended.......................................................6662
60.4  (a) amended; (b)(E), (T), (GG) and (LL)(i) revised...........32445
    (b)(I) amended.................................................40664
    (b)(GG)(i) added...............................................52032
60.8  (b) and (e)(1) amended........................................6662
    (b) corrected..................................................21344
60.17  (a)(56), (57), (58), and (59) added.........................34026
    (h) added......................................................51825
60.22  (a) revised.................................................52189
60.41b  Amended....................................................51819
60.42b  (a) amended; (d), (e) and (f) revised; (j) added...........51819
60.43a  (h) (1) and (2) amended.....................................6663
    (h) (1) and (2) corrected......................................21344
60.43b  (b) and (f) revised........................................51819
60.44a  (a)(1) and (c) amended......................................6664
60.44b  (a) and (b) amended; (h) revised; (i), (j), and (k) added 
                                                                   51825
60.45  (c)(1) revised; (f)(3) amended...............................6662
60.45b  (d) introductory text revised; (j) added...................51820
    (b) revised....................................................51825
60.46  Revised......................................................6662
    (b)(1) corrected...............................................21344
60.46a  (d)(3) and (h) amended......................................6664
60.46b  (d) introductory text revised..............................51820
    (c) revised; (g) and (h) added.................................51825
60.47a  (f), (h), (i) introductory text, (1) and (2) revised; (j) 
        added.......................................................6664
60.47b  (a) amended; (f) added.....................................51820
60.48a  (d) redesignated as (f); new (d) added; (a), (b), (c) and 
        (e) added...................................................6664
60.48b  (b) revised; (i) added.....................................51825
60.49b  (r) added..................................................51820
    (a)(2), (b), (e), (g) introductory text revised; (p) and (q) 
added..............................................................51825
60.54  Revised......................................................6665
60.64  Revised......................................................6666
60.73  (a) revised; (b) amended.....................................6666
60.74  Revised......................................................6666
60.84  (a), (b), and (d) amended....................................6666
60.85  Revised......................................................6666
60.93  Revised......................................................6667
60.100  Heading and (b) revised; (c), (d), and (e) added...........34026
60.101  (m), (n), (o), (p), and (q) added..........................34027
60.102  Introductory text added; (a) introductory text revised.....34027
60.103  Revised....................................................34027
60.104  Heading and (a) introductory text revised; (b), (c), and 
        (d) added..................................................34027
60.105  Heading and (a) introductory text and (c) revised; (a)(8), 
        (9), (10), (11), (12), (13), and (14) added; (e)(4) 
        removed....................................................34028
60.106  (a)(7) amended; (e), (f), (g), and (h) added...............34028
60.107  Added......................................................34029
60.108  Added......................................................34030
60.109  Added......................................................34031
60.110b  (c) revised...............................................32973
60.111b  (f) introductory text revised.............................32973
60.113b  (a)(2) and (4) revised....................................32973
60.123  Revised.....................................................6667
60.133  Revised.....................................................6667
60.143  (b)(5) and (c) amended......................................6667

[[Page 287]]

60.144  Revised.....................................................6667
60.144a  (d) (1) and (2) redesignated as (c) (1) and (2); (a), 
        (b), (c) introductory text and (d) revised..................6667
60.154  Revised.....................................................6668
    (c) and (d) added..............................................27015
60.165  (b)(2) (i) and (ii) amended.................................6668
60.166  Revised.....................................................6668
60.175  (a)(2) (i) and (ii) amended.................................6668
60.176  Revised.....................................................6669
60.185  (a)(2) (i) and (ii) amended.................................6668
60.186  Revised.....................................................6669
60.194  (c) and (d) redesignated from 60.195 (a) and (b)............6669
60.195  (a) and (b) redesignated as 60.194 (c) and (d); revised.....6669
60.203  (b) amended.................................................6669
60.204  Revised.....................................................6669
60.213  (b) amended.................................................6670
60.214  Revised.....................................................6670
60.223  (b) amended.................................................6670
60.224  Revised.....................................................6670
60.233  (b) amended.................................................6670
60.234  Revised.....................................................6670
    (b)(3)(ii) corrected...........................................21344
60.243  (b) amended.................................................6671
60.244  Revised.....................................................6671
60.253  (b) amended.................................................6671
60.254  Revised.....................................................6671
60.266  Revised.....................................................6671
    (c)(1) corrected...............................................21344
60.273  (c) revised.................................................6672
60.275  (c) redesignated as 60.276 (c); (a), (b), (d), (e) (f) 
        revised; new (c) added......................................6672
    (b) correctly designated; (e)(2) corrected.....................21344
60.276  (c) redesignated from 60.275 (c); (b) amended...............6672
60.273a  (c) revised................................................6672
60.275a  (d) redesignated as 60.276a (f); (a), (b), (c), (e) and 
        (f) revised; new (d) added..................................6673
    (e)(2) corrected...............................................21344
60.276a  (f) redesignated from 60.275a (d); (e) amended.............6673
60.285  Revised.....................................................6673
    (c) (1), (2) and (d)(3) corrected..............................21344
60.292  (a)(2) amended..............................................6674
60.296  Revised.....................................................6674
    (b)(1) and (d)(1) corrected....................................21344
60.303  Revised.....................................................6674
60.335  Revised.....................................................6675
    (c)(1) amended.................................................27016
60.343  (e) amended.................................................6675
60.344  Revised.....................................................6675
60.374  Revised.....................................................6675
60.385  (c) amended.................................................6676
60.386  Revised.....................................................6676
60.404  Revised.....................................................6676
    (b)(1) corrected...............................................21344
60.424  Revised.....................................................6676
60.474  Revised.....................................................6677
    (c)(4) introductory text amended...............................27016
60.485  Revised.....................................................6678
    (g)(4) amended.................................................27016
60.502  (h) amended.................................................6678
60.503  Revised.....................................................6678
    (c)(3) corrected...............................................21344
60.540  (a) and (b) revised........................................38635
60.542a  Added.....................................................38635
60.543  (b) (1) and (2) amended; (b)(4), (f)(2)(iv) and (n) added; 
        (d) and (f)(2) introductory text revised...................38635
60.545  (f) added..................................................38637
60.546  (c)(7), (i), and (j) added.................................38637
60.547  (a)(5) added...............................................38638
60.643  (b) revised.................................................6679
60.644  Revised.....................................................6679
60.645  Removed.....................................................6679
60.646  (a) (2), (4) and (d) amended................................6680
60.675  Revised.....................................................6680
60.676  (d) amended.................................................6680
60.685  Revised.....................................................6680
60.721  (a) amended................................................25459
60.740--60.748 (Subpart VVV)  Added................................37551
60  Appendix A amended...............................12622, 46235, 46238
    Appendix A corrected...........................................51550

                                  1990

40 CFR
                                                                   55 FR
                                                                    Page
Chapter I
60  Authority delegation notices.....................................28,
                                                      5990, 19882, 23077
    New stationary sources performance standards review............11338

[[Page 288]]

    Authority delegation notices............................28393, 48233
60.1  Introductory text designated as (a); (b) added...............51382
60.2  Amended......................................................51382
60.4  (c) table revised............................................29016
    (c) table revised..............................................39406
60.7  (c) introductory text and (1) revised; (d) through (f) 
        redesignated as (e) through (g); new (d) and Figure 1 
        added......................................................51382
60.17  (a)(6) and (38) revised; (a)(46) removed; (a)(47) through 
        (55) redesignated as (a)(46) through (54)..................26922
    (a)(6) and (38) amended........................................26942
    (a)(1), (10), and (50) revised.................................37683
    (a)(6), (38), and (40) revised; (a)(60) and (61) added.........51053
    (a)(56) through (59) amended...................................40175
60.40c--60.48c (Subpart Dc)  Added.................................37683
60.45  (c)(1) amended..............................................18876
    (g) introductory text revised..................................51382
60.46  (b)(2)(ii), (4)(ii), (5)(ii), (d)(1)(ii), (4) and (6) 
        amended; (d)(7) added.......................................5212
60.46b  (d)(1) amended.............................................18876
60.47a  (h)(3), (j)(1) and (3) amended; (j)(4) added................5212
    (i)(1) amended.................................................18876
60.47b  (b)(2) amended..............................................5212
    Corrected......................................................18876
60.48a  (b)(2)(ii) amended..........................................5212
60.54  (b)(3), (c)(1)(iii) and (2)(ii) amended......................5212
60.103  (a) amended................................................40175
60.104  (a)(1), (2)(i) and (ii) revised............................40175
60.105  (a)(1) through (7), (13)(i), (d) and (e) revised; (a)(14) 
        removed....................................................40175
60.106  (a) through (d) revised; (e) through (h) redesignated as 
        (g) through (j); new (e), (f) and (k) added................40176
    (h)(3) through (5), (i) introductory text, (2)(i) and (7) 
amended............................................................40178
    (j)(3)(ii) amended.............................................40178
60.107  (b)(1)(ii), (2), (c)(1)(i) through (iii) amended...........40178
60.108  (d) amended................................................40178
60.109  (b)(2) amended.............................................40178
60.266  (c)(5) amended..............................................5212
60.285  (b)(2) and (d)(2) amended...................................5212
60.315  (b) revised; (c) redesignated as (d); new (c) added (OMB 
        number)....................................................51383
60.395  (b) and (c) revised (OMB number)...........................51383
60.447  (b) revised; (c) redesignated as (d); new (c) added........51383
60.455  (b) revised; (c) redesignated as (d); new (c) added (OMB 
        number)....................................................51383
60.465  (c) redesignated as (e); new (c) and (d) added (OMB 
        number)....................................................51383
60.495  (b) revised; (c) and (d) redesignated as (d) and (e); new 
        (c) added..................................................51384
60.560--60.566 (Subpart DDD)  Added................................51035
60.604  (a)(2) revised.............................................51384
60.610--60.618 (Subpart III)  Added................................26922
60.611  Corrected..................................................36932
60.614  (e)(2) table corrected.....................................36932
60.615  (b)(3) corrected...........................................36932
60.660--60.668 (Subpart NNN)  Added................................26942
60.665  (g)(4) corrected...........................................36932
60  Appendix A amended.............................................5212,
                                                      5616, 21753, 25604
    Appendix A amended.......................................47472-47474
    Appendix A corrected...........................................48208
    Appendix B amended.............................................18876
    Appendix B amended......................................40178, 47474

                                  1991

40 CFR
                                                                   56 FR
                                                                    Page
Chapter I
58  Appendix D amended.............................................64483
60  Authority delegation notices.............................8280, 13079
    Authority delegation notices...................................13589
    Authority delegation notices...................................29182
    Authority delegation notices.......50518, 55826, 59886, 63875, 65994
60.4  (c) table revised; eff. 8-19-91..............................28324
    (c) table corrected............................................41391
60.17  (h) revised; eff. 8-12-91....................................5506
60.30  Revised......................................................5523

[[Page 289]]

60.32  Removed......................................................5525
60.33  Removed......................................................5525
60.34  Removed......................................................5525
60.30a--60.39a (Subpart Ca)  Added..................................5523
60.30b--60.32b (Subpart Cb)  Added..................................5525
60.50a--60.59a (Subpart Ea)  Added; eff. 8-12-91....................5506
60.106  (b)(2) revised..............................................4176
60.465  (c) corrected..............................................20497
60.495  (c)(2) corrected...........................................20497
60.561  Corrected...................................................9178
60.562-1  (a)(1)(i)(A), (ii) Table 3, (iii) introductory text, (c) 
        introductory text and (1)(i)(B) corrected...................9178
60.564  (e)(1) and (j)(1)(iii) corrected............................9178
60.565  (a)(3)(i), (c)(2)(ii), (e)(2), (f)(1)(i), (ii), (2), (3) 
        and (h) introductory text corrected.........................9178
60  Appendix B amended..............................................5526
    Appendix F amended..............................................5527
    Appendix A amended........................................5760, 5774

                                  1992

40 CFR
                                                                   57 FR
                                                                    Page
Chapter I
55  Added..........................................................40806
57.103  (p) removed; (q) through (x) redesignated as (p) through 
        (w).........................................................5328
57.806  (a)(2) revised..............................................5328
57.809  (c)(2) amended..............................................5328
58  Appendix D amend